text
stringlengths 1.36k
1.27M
|
|---|
Avian wingtip shape reconsidered: wingtip shape indices and morphological adaptations to migration
Rowan Lockwood, John P. Swaddle and Jeremy M. V. Rayner
Lockwood, R., Swaddle, J.-P. and Rayner, J. M. V. 1998. Avian wingtip shape reconsidered: wingtip shape indices and morphological adaptations to migration. – J. Avian Biol. 29: 273–292.
In this paper we review the existing methods of quantifying avian wingtip shape, and compare their efficiency at detecting morphological adaptations to migration. We use multivariate methods to derive two novel measures of avian wingtip shape, pointedness $C_2$ and convexity $C_3$, based on measurements of primary feather lengths. Size-constrained components analysis, a modified form of principal components analysis, is used to ensure that the measures are independent of isometric size, and have a consistent interpretation in terms of the geometric shape of the wingtip. Our measures of pointedness and convexity can be calculated easily for both live birds and museum skins, and can be applied to any ecomorphological or functional analysis of avian wingtip shape. This approach circumvents many of the interpretational problems associated with previous wingtip shape indices that are often based on less accurate wing measurements. To test the suggested interpretations of previously published wingtip shape indices, we use a comparative interspecific analysis to determine the interrelations of our new shape measures with these published indices, and with aerodynamic parameters which have known functional significance. Published indices do not always measure the quantities that they are claimed to do, and are beset with awkward terminological inconsistencies. We assess the efficacy and utility of these wingtip shape measures with regard to predicted and well-known morphological adaptations in the wings for migration. Once phylogenetic bias and extraneous ecological factors are controlled, the majority of published wingtip shape indices are unable to detect morphological differences between migratory and non-migratory species. Our measures of pointedness and convexity confirm that migrants have wingtips that are relatively more pointed and more convex; they also have wings of relatively larger aspect ratio. The biomechanical implications of these adaptations for different flight behaviours are discussed. An appendix discusses some of the statistical problems involved in the analysis of size and shape, and introduces the size-constrained components analysis (SCCA) method, which is applicable to any study of morphological variation.
R. Lockwood, Committee on Evolutionary Biology, University of Chicago, Culver Hall, Room 402, 1025 East 57th Street, Chicago, IL 60637, USA. J. P. Swaddle and J. M. V. Rayner, School of Biological Sciences, University of Bristol, Woodland Road, Bristol BS8 1UG, U.K. E-mail: firstname.lastname@example.org
Wing shape and the design of the wingtip play a major role in determining the aerodynamic and mechanical performance of the avian wing. Wings are subject to a suite of interacting and conflicting constraints, reflecting among other factors the bird’s need to fly economically, to exploit a habitat effectively, and to survive either as predator or as prey. Close ecomorphological relations between wing design (measured by aerodynamic, skeletal and morphometric parameters), ecology and behaviour have been demonstrated both within and between species (see, for example, Norberg 1979, 1981, Leisler and Winkler 1985, 1991, Norberg and Rayner 1987, Rayner 1988, Hedenström and Møller 1992). Until now it has not been possible to take wingtip shape into account since measures of wing outline and wingtip geometry have been imprecise, and have lacked rigorous geometric or biomechanical interpretations.
Wing shape can be quantified in various different ways. Wing outline, or the spanwise distribution of aerodynamic wing chord, can be described by algebraic formulae (Oehme and Kitzler 1975, Dathe 1985, Norberg and Rayner 1987), and can be summarized by various spanwise moments of wing chord (Ellington 1984, Meirte 1987). These methods are limited because they require extensive measurements that cannot readily be made from museum skins or live birds, but can potentially be valuable since the wing chord distribution is related to both wing weight and to aerodynamic lift. However, to provide an accurate measure of wing shape in flight it is desirable to determine the changing wing geometry in three dimensions (incorporating camber as well as variation in chord), and this presents considerable technical difficulties.
To simplify wing geometry, a number of wingtip shape indices have been suggested (Table 1); most of these indices are ratios of the dimensions of one or more of the main flight feathers, and are based either on primary feather lengths or on primary distances. Primary distances are defined as the length of the line between the wingtip and the relevant primary feather tip projected onto a line parallel to the wing chord, on a folded wing spread in which all primaries are approximately parallel (Fig. 1). The indices are on the whole simple to derive, and primary lengths and distances are straightforward to measure. As they are based on the dimensions of the main flight feathers, these indices tend to characterize the shape of the wingtip more than of the whole wing. The indices do not take into account the spacing or separation of the feathers, or the geometry of individual feathers. They have been shown to be sensitive to various behavioural and trophic factors, but rarely lend themselves to straightforward geometrical or functional interpretations. In this paper, we consider a variety of measures of wing shape, including the indices in most common use, and demonstrate the extent to which these measures clarify the relations between wing design and migration in birds.
**Wingtip shape indices**
Authors proposing formal definitions of wingtip shape have generally asserted that their indices describe wing shape by measuring either the pointedness or the symmetry of the wingtip (Table 1). However, there is little consistency in the use of the term ‘pointedness’, which has no obvious mathematical definition when the wingtip outline is defined by the envelope of the ends of the feathers. Only Levin et al. (1991) propose indices – based on the rate of change of the feather lengths over the entire handwing (sharpness $I_{L}$) or about the wingtip (pointedness $I_{p}$) – which have an immediate interpretation related to the angle of the wing outline at the tip. Levin’s indices are correlated with each other (Levin et al. 1991) and do not measure independent features of wingtip shape; prior to this study they appear not to have been applied to practical analyses of wingtip shape.
Several of the ‘pointedness’ indices measure wingtip shape according to the position of the wingtip (longest primary) with respect to the leading (distal) edge of the wing: in pointed wings the longest primary is more distal (Sundevall 1834, Dixon 1892, Pettigrew 1905, Averill 1925, Rensch 1938, Kipp 1959, Stegmann 1962, Kokshaysky 1973). There is no obvious aerodynamic reason why wings should change shape only in this way (though this may be a response to developmental constraints): it is possible to envisage an aerodynamically effective pointed wing in which the fourth or fifth primary (from the distal-most) forms the wingtip, but this apparently does not occur in birds.
Table 1. The calculation and interpretation of wingtip shape indices. All measurements are based on folded wing spreads. N, sample size; W, wing length; $\Delta Q$, primary length distance of $Q$; $\Sigma p$, sum of primary distances proximal to wingtip; $\Sigma d$, sum of primary distances distal to wingtip; $\Delta S'$, distance for most distal secondary feather, defined equivalently to $\Delta Q$. Hedenström's indices are based on the lengths of the 5th and 9th primaries numbered conventionally; in most birds these are primaries $Q_2$ and $Q_3$ in our notation. Original author's proposed interpretation of the indices shown in second column: (+) indicates that index increases with pointedness, symmetry etc., (−) that it decreases.
| Wingtip shape index | Original authors' interpretation | Source | N | Mean (SE) | Range |
|---------------------|---------------------------------|--------|---|-----------|-------|
| Kipp's index | $I_K = \frac{100}{W} \frac{\Delta S'}{\Sigma p - \Sigma d}$ | Tugarinov (1946), Gladkov (1949), Kipp (1959)$^f$ | 164 | 40.38 (0.96) | 15.5–74 |
| Holynski's index | $I_A = \frac{100}{W} (\Sigma p - \Sigma d)$ | Holyński (1965) | 252 | 88.45 (2.98) | −13.0–215.5 |
| Busse's index | $I_B = \frac{100}{W} (\Sigma p + \Sigma d)$ | Busse (1967) | 252 | 103.39 (2.34) | 21.4–215.5 |
| Tainen's index | $I_t = \frac{\Sigma p}{\Sigma d}$ | Tainen (1982) | 186 | 44.59 (6.40) | 0.5–910 |
| Hedenström's P9 index | $I_{H9} = \frac{100}{W} (W - \Delta Q_2)$ | Hedenström and Pettersson (1986) | 252 | 94.02 (0.48) | 63.7–100 |
| Hedenström's P5 index | $I_{H5} = \frac{100}{W} (W - \Delta Q_2)$ | Gladkov (1955), Hedenström and Pettersson (1986) | 252 | 87.70 (0.45) | 68.6–100 |
| Mlikovsky's pointedness index | $I_{M\alpha}$ | Mlikovsky (1978, 1982) | 252 | 1.84 (0.0024) | 1.77–2.0 |
| Mlikovsky's symmetry index | $I_{M\beta}$ | Mlikovsky (1978, 1982) | 252 | 0.15 (0.004) | −0.02–0.34 |
| Levin's $\alpha$ index | $I_{L\alpha}$ | Levin et al. (1991) | 252 | 14.87$^a$ (0.60) | −14.2–37 |
| Levin's $\beta$ index | $I_{L\beta}$ | Levin et al. (1991) | 252 | 68.81$^b$ (0.49) | 49.6–103.7 |
$^f$ This index was originally proposed by a number of Russian authors, but we follow normal usage in referring to it as Kipp's index.
$^a$ Mlikovsky's indices are computed as weighted third and fourth moments of the distribution of feather lengths; see Mlikovsky (1982) for details of their computation. See Busse (1986) for comments on Mlikovsky's indices. A possible further development of these indices is to use Fisher's statistics of skewness and kurtosis (Sokal and Rohlf 1995), which are effectively normalized equivalents of the indices.
$^b$ Levin's $\alpha$ and $\beta$ indices are measures of handwing geometry, computed as the regression slope (in degrees) of primary length against primary number for all primary feathers (sharpness $\alpha$), and as the sum of the slopes for feathers distal to and proximal to the wingtip (pointedness $\beta$). See Levin et al. (1991) for details.
It is claimed that some indices measure 'symmetry' through comparison of the variation in primary distances on either side of the wingtip. These indices must be biased by the position of the longest primary forming the wingtip, and therefore cannot be independent of measures of pointedness (Tiainen 1982, Busse 1986, Hedenström 1986, Chandler and Mulvihill 1988).
There have been a few empirical intraspecific tests of the efficacy of wingtip shape indices (Busse 1967, Chandler and Mulvihill 1988, Eck 1992), but only Kipp's index ($I_K$), which is based on the length of the most distal secondary feather and so is a measure of the pointedness of the entire handwing rather than of the wingtip alone, has been used in comparative surveys of a wide range of species. Indices have been used effectively to quantify variation among populations of the same species (geographical variation, migratory and less-migratory populations, subspecies, age- and sex-classes) (Gladkov 1935, Tugarinov 1946, Yakobi 1964, Nitecki 1969, Gatter 1979, Milikovský 1982, Tiainen 1982, Lövei 1983, Tsvyelyikh 1983, 1989, Tiainen and Hanski 1985, Hedenström and Pettersson 1986, Lövei et al. 1986, Norman 1997, Scebba and Lövei 1986, Tsvyelyikh and Dyadichyeva 1986, Heininger 1991, Tsvyelyikh and Goroshko 1991, Eck 1992, Borras et al. 1993), and in ecomorphological and flight-mechanical comparisons among species (Gladkov 1935, Tugarinov 1946, Kipp 1959, 1961, 1976, Yakobi 1966, Eck 1974, Gaston 1974, Gatter 1976, 1979, Bährmann 1978, Leisler 1980, Bairlein 1981, Laske and Immelmann 1981, Pulliainen et al. 1981, Leisler and Thaler 1982, Tiainen 1982, Leisler and Winkler 1985, 1991, Tiainen and Hanski 1985, Winkler and Leisler 1985, 1992, Bairlein et al. 1986, Scebba and Lövei 1986, Landmann and Winding 1993).
An alternative approach to the problem of wingtip shape is to use multivariate statistical methods to summarize a collection of primary length or distance measurements (Chandler and Mulvihill 1988, 1990, Mulvihill and Chandler 1990, 1991, Senar et al. 1994, Mönkkönen 1995, Marchetti et al. 1995). This approach can incorporate the dimensions of all the primary feathers, and therefore has the potential to be applied consistently in a comparative study. Chandler and Mulvihill (1988) applied principal components analysis (PCA) to primary distances for the Dark-Eyed Junco *Junco hyemalis*, and found three significant axes of variation. The first principal component (PC$_1$) combined increasing wing length with its allometric effects on wingtip shape; PC$_2$ was interpreted as an increase in distal primary distances, and PC$_3$ as an inverse relationship between the wingtip and adjacent primary distances. This method describes shape variation within the junco wing effectively, but the shape measures (and their interpretations) which it generates are applicable solely to the junco and cannot be generalized to an arbitrary sample of birds. Marchetti et al. (1995) and Mönkkönen (1995) have applied PCA to primary distances to describe wing shape of *Phylloscopus* warblers and 14 passerine species, respectively, with similar limitations.
Within an individual species, variation of wing proportions and of size is relatively modest. Between species, size variation may be considerable, and it is normal for bird wings to show allometric variation of shape with size: larger birds have relatively large wing areas and long wingspans (Rayner 1988, 1996); accordingly, wingtip shape may also vary with size. PCA is inappropriate for a between-species analysis of wingtip shape because allometric shape variation is distributed across all components (including the first), and therefore the geometric interpretation of the shape components will not be consistent in birds of different sizes (Appendix 1). Senar et al. (1994) and Mönkkönen (1995) have attempted to resolve this problem by size-correcting individual feather lengths by dividing by wing length, but again their analyses are valid only for a limited sample. This method can only separate size and shape if all size variation is included in wing length: the validity of this assumption has not been tested, and is unlikely to be valid. Moreover, the technique is susceptible to various statistical problems associated with the use of ratios (see Appendix 1).
In this study, we apply wingtip shape indices to an interspecific sample comprising a wide range of birds to compare their sensitivity and applicability as measures of wing shape. Where possible we ascribe geometric interpretations to these shape measures. We use the term 'pointedness' to describe a shift in the position of the wingtip feather towards the leading edge of the wing (Fig. 2a, b), and avoid the term symmetry. We introduce the concept of convexity as a measure of the decrease in the acuteness of the handwing (Fig. 2c, d). We also introduce a technique derived from PCA, Size-Constrained Components Analysis (SCCA; see Appendix 1), that describes size by reference to isometric changes between individuals, and therefore successfully differentiates shape from isometric size, and maintains a consistent geometric interpretation of shape across all bird species and all sizes. We assess the usefulness of wingtip shape indices and of our components by applying them to interspecific analyses of wingtip shape in relation to migration behaviour.
**Wing shape and migration**
Migration represents an important adaptive strategy for many bird species. There has been a broad range of studies of behavioural and physiological strategies appropriate for avian migration (e.g. Pennycuick 1969, Alerstam 1990, 1991, Hedenström and Alerstam 1992, 1995, Lindström and Alerstam 1992, Hedenström 1993,
Wing morphology in birds evolves within a complex of mechanical and other constraints, and is sensitive to many aspects of ecology and behaviour which may be independent of migration (Magnan 1922, Lorenz 1933, Saville 1957, Kipp 1959, Kokshaysky 1973, Norberg 1981, 1990, Rayner 1988, 1996, Marchetti et al. 1995). For instance, wingtip shape is known to vary with high altitude habitat (Hamilton 1961, Lo Valvo et al. 1988, Heiningier 1991, Landmann and Winding 1993, 1995a, b), latitude (Scebba and Lövei 1986), flocking (Gatter 1976, Kipp 1976) and the ability to respond to wind (Laske and Immelmann 1981); and wing shape may also change in individuals between juvenile and adult states (Alatalo et al. 1984). The constraints and demands experienced by birds vary between species and populations, and despite its importance there is no reason to think that adaptation for migration dominates the evolution of wing morphology in all flying birds. However, migration represents a critical selective pressure on adaptation and on the behaviour of species which undertake it, since failure to migrate successfully can often mean death or failure to reproduce.
Aerodynamic arguments predicting wing design for migration have been based on the hypothesis that selection for low cost of transport (or high range per unit fuel) outweighs other pressures on wing design. For the reasons outlined above, this may not always be the dominant pressure. Cost of transport is minimized by evolving wings with high aspect ratio (wingspan squared divided by wing area, or a measure of wing shape) (Rayner 1988), and is influenced only weakly by wing loading (weight divided by wing area, or a measure of wing size). Thus, migrants should have longer and more pointed wings (Rayner 1988, 1990, Norberg 1990). It has also been suggested that long, pointed wings may be adaptive because they increase load-carrying capacity (Ward 1964), but no mechanism was proposed, and in fact a wing designed for load carrying should have a lower wing loading; many migrants such as ducks and auks have relatively high wing loading because fast flight speeds are adaptive for them (Rayner 1988). In addition to high aspect ratio, migrants and other sustained fliers are predicted to have a tapering, pointed wingtip, which minimizes induced drag by optimizing the configuration of the wingtip vortices. These predictions have not been formally tested across a broad range of species. One previous study has shown a trend for aspect ratio to increase between migratory and non-migratory birds (Norberg 1990), but this trend is non-significant at the 5% level. Winkler and Leisler (1992) found that aspect ratio is higher in migrants within some taxonomic groups; exceptions included Charadriiformes, Columbiformes and Trochilidae. Mönkkönen (1995) has indicated that wingtip pointedness is related to migratory distance in 14 passerine species.
Across a broad range of avian taxa, relationships between migration, phylogeny and ecology are evident. To test hypotheses concerning the response of design to migration *per se* it is essential to minimize the possibility that variation within an interspecific sample is attributable to ecology and flight behaviour, or to common adaptations in related species (Harvey and Pagel 1991). In this study we isolate migration from other factors as a possible influence on wing morphology by using pairwise comparisons (Felsenstein 1985) of measures of flight morphology and wingtip shape between congeneric pairs of species that occupy the same ecological niche, but exhibit different migratory behaviours. Previous studies of flight morphometrics in relation to migration have not controlled for both phylogenetic and ecological bias.
**Materials and methods**
**Flight morphology measurements**
Lengths $Q_1 - Q_8$ of the eight distal-most primary feathers were measured from museum skins for adults of 148 avian species spanning 12 orders (Sibley and Ahlquist 1990), primarily from the Western Palearctic. Primary feather lengths were defined as the distance from the tip of the feather to the point where it enters the skin. The eight distal-most primaries were numbered ascendingly as 1–8 (with feather 1 the most distal, i.e. forming the leading edge of the wing). Vestigial feathers (Averill 1925, Stegmann 1962), defined as distal-most primary feathers shorter than the most proximal primary, were ignored. This unconventional primary feather notation (Jenni and Winkler 1994) was adopted to account for interspecific differences in absolute numbers of primaries between species (Stresemann 1963). This numbering sequence also helped to minimize interspecific differences between insertion points of primary feathers onto the wing bones. In both passerine and non-passerine species, the four distal-most primaries are attached to the digits and the rest are attached to the metacarpus (Jenni and Winkler 1994). Therefore, by numbering primaries ascendingly from distal to proximal, we have generally accounted for any variation in points of feather attachment. Lengths were measured with Vernier callipers to 0.1 mm accuracy for primaries up to 150 mm in length, and with a metal rule to 1 mm accuracy for longer feathers. Primary distances $\Delta Q_1 - \Delta Q_8$ (Fig. 1) and ornithological wing length (sometimes termed wing chord) were also measured from folded wing spreads of the museum skins with a metal rule. Measurements of individual primary feather lengths for adults of 212 species were obtained from the literature (Brown et al. 1987), and primary distances were calculated for these species by subtracting the length of each primary feather from the length of the longest primary. We defined wing length for these species as the length of the longest primary. The validity of the literature measurements was determined by correlating the primary lengths, primary distances, and wing lengths for the literature sample with the mean values of those measured from museum skins on a species by species basis for 116 species in both datasets. The literature data were highly correlated with the museum data (range of Spearman rank correlation coefficients $r_s = 0.972 \leq r_s \leq 0.985$, $p < 0.0001$, for primary lengths; $0.626 \leq r_s \leq 0.919$, $p < 0.0001$, for primary distances; $r_s = 0.982$, $p < 0.0001$, for wing length; $N = 116$ in all cases), and so the measurements for the additional 96 species from the literature were combined with our measurements to total 244 species for analysis. Eight species were included twice in the database reflecting geographical races with different migratory behaviours.
Estimates of body mass (kg), wingspan (m), wing area ($m^2$), aspect ratio and wing loading ($N/m^2$) were collected from the literature for as many of the 244 species in the original data set as possible. These data were analysed previously by Rayner (1988); additional mass estimates were obtained from Dunning (1993).
**Repeatability and normality of feather measurements**
Previous wingtip shape indices have mostly been based on primary distances. We identified a number of practical and statistical problems associated with the use of distances, and therefore based our analysis on primary lengths.
**Measurement error**
Primary distances are much shorter than primary lengths, and therefore are more susceptible to measurement errors.
**Repeatability of measurements**
By testing the repeatability of primary distance and length measurements in sample species we found that primary distances could not always be measured consistently. This was not exclusively ascribed to measurement error, but also to the potential variability in folded wings, even of the same individual. Primary distances measured with a metal rule (accuracy 1 mm) from three repeated folded wing spreads of each of 18 mixed sex, live adult European Starlings *Sturnus vulgaris* selected at random from a large wild-caught, free-flying captive population were not always significantly repeatable (range of intraclass correlation coefficients $r_i$ (Zar 1984) for individual primaries: $-0.207 \leq r_i \leq 0.969$; $0.654 \leq F_{3,2} \leq 64.06$; $0.015 \leq p \leq 0.69$; $N = 18$). Primary feather lengths measured with Vernier callipers from the same individuals were far
more repeatable than primary distances (range: $0.963 \leq r_1 \leq 0.998$; $34.5 \leq F_{s,2} \leq 1288$; $0.00093 \leq p \leq 0.018$; $N = 18$; for all primaries). Primary lengths from three repeated measurements with a metal rule of skins of six adult Mallard *Anas platyrhynchos* were also highly repeatable (range: $0.963 \leq r_1 \leq 0.999$; $53.1 \leq F_{s,3} \leq 8244$; $0.00012 \leq p \leq 0.019$; $N = 6$; for all primaries). The high repeatability of primary length measurements has previously been noted by Berthold and Friedrich (1979), Jenni and Winkler (1989) and Swaddle and Witter (1994).
**Normality of primary lengths**
The frequency distribution of recorded primary feather lengths differed significantly from the normal (range of Kolmogorov-Smirnov goodness of fit D with intrinsic normal distribution (Rohlf and Sokal 1995, Sokal and Rohlf 1995): $0.136 \leq D \leq 0.165$, $p < 0.0001$). When log-transformed, primary lengths again differed from normal, but to a much smaller extent (range: $0.060 \leq D \leq 0.082$, $0.001 \leq p \leq 0.05$), largely because most feather length distributions were platykurtic. The Kolmogorov-Smirnov intrinsic test detects very slight differences from normality, which in this analysis are insufficient to disrupt the multivariate techniques that we employ (Mardia 1975). Therefore log-transformed feather lengths were used for subsequent analysis.
**Normality of primary distances**
The frequency distribution of primary distances $\Delta Q_i$ differed significantly from the normal both when untransformed and log-transformed (untransformed range: $0.112 \leq D \leq 0.330$, $p < 0.0001$; log-transformed $[\ln(\Delta Q_i + 1)]$ range: $0.070 \leq D \leq 0.206$, $p \leq 0.01$). We did not use $\ln(\Delta Q_i)$ because of the zero values in the distance measurements for all longest primaries. Because of the way they are defined, we do not expect the untransformed primary distances to be normally distributed; distances incorporate interspecific size variation, they are confined to be non-negative, and must include zero values (i.e. they obey a Dirichlet distribution including lower bound 0). They are also sensitive to the identification of the longest primary, which may vary in an individual with factors such as condition and moult, as well as with the extent to which the wing is folded. Logarithmic transformation is appropriate for both lengths and distances because of the size variation in the sample, and its ability to test isometric hypotheses expressed in power-law form (Rayner 1985); it is, however, unable to transform all primary distances to a normal distribution.
From these preliminary analyses we concluded that primary lengths are more reliable and accurate measures of wing morphometrics than are primary distances derived from the folded wings of live birds or skins. Therefore, we used log-transformed primary feather lengths in our multivariate analyses. We caution against the use of primary distances in any interspecific or intraspecific (e.g. Chandler and Mulvihill 1988) analysis of wingtip shape, or in the comparative analysis of wingtip shape indices, unless attention is paid to their unfavourable statistical distributions.
**Wingtip shape indices**
Wingtip shape indices were calculated from our measures of $Q_1 - Q_8$ and $\Delta Q_1 - \Delta Q_8$ (see Table 1 for definitions), with the exception of $I_K$, for which we used median values from the ranges given in the literature (Kipp 1959, 1961, 1976). Miškovský’s and Levin’s indices can be calculated for variable numbers of primaries; we consistently used the distances and lengths, respectively, of the eight primaries measured.
**Size-constrained multivariate analysis**
We applied size-constrained components analysis (SCCA, Appendix 1; derived from Burnaby 1966) to length measurements of the eight distal-most primaries for each species. Measurements were log-transformed, which increased normality (above), and were standardized to equal unit variances for each $Q_i$. SCCA, which is closely related to PCA, constrains the first component to measure isometric size, and unambiguously identifies allometry in the shape components (Appendix 1).
**Classification of ecology and migration behaviour**
All 244 species were classified according to ecological niche and migratory behaviour. Nine ecological categories were established on the basis of foraging modes (Cramp and Simmons 1977, 1980, 1983, Cramp 1985, 1988, 1992, Alerstam 1990, Cramp and Perrins 1993): (i) birds in wetlands; (ii) birds which forage on lakes and the sea bottom; (iii) birds which feed on terrestrial plants; (iv) birds which feed on fish; (v) birds which obtain food at the water surface; (vi) birds of prey; (vii) insectivores; (viii) seed-eaters; (ix) and omnivorous birds. Migration was ranked into four categories (Cramp and Simmons 1977, 1980, 1983, Harrison 1982, Cramp 1985, 1988, 1992, Cramp and Perrins 1993): (i) migratory ($Mig$, all or most individuals make regular seasonal movements between breeding and wintering ranges); (ii) partially migratory ($Part$, populations contain substantial migratory and non-migratory elements); (iii) dispersive ($Disp$, population can undergo infrequent, random movements over a long distance); (iv) and non-migratory ($Non$, either resident or sedentary species).
Statistical procedures
Univariate statistical analyses were performed with Minitab v 10.1 (Minitab Inc. 1994). Where appropriate, significance levels were adjusted by the Bonferroni correction procedure for multiple comparisons (Zar 1984). Two-tailed tests of probability are used throughout. Software for multivariate analyses was written by JMVR.
Results
Wingtip shape indices
Means and ranges for the computed indices are shown in Table 1. Tiainen's index $I_T$ is infinite for many birds in which the most distal primary is the longest; these values were omitted from correlation computations below; for this group of birds $I_H$ and $I_B$ were identical.
Multivariate analysis
SCCA on length measurements of the eight most distal primary feathers produced three significant axes of variation (Fig. 3, Table 2, Appendix 2); subsequent axes correlated with no other wing shape parameters and explained less than 0.40% of the size variance or 9% of the variation in shape, and were ignored. The first component $C_1$ was, by definition, a measure of isometric size. A decrease in $C_2$ represented an increase in wingtip pointedness (decrease in wingtip roundedness) and a shift of the wingtip towards the leading edge of the wing (Fig. 2a, b). Increasing $C_3$ corresponded to an increase in the convexity of the outline of the proximal portion of the handwing, and a decrease in the acuteness of the wingtip (Fig. 2c, d). $C_2$ was not significantly allometric ($\rho_2 = 0.056$, (A9)), but $C_3$ included significant positive size allometry ($\rho_3 = 0.437$): small birds tend to have more rounded wings. The pooled coefficient of allometry was 0.496 (243 d.f.).
The interpretations of the components can be visualized by plotting idealized bar diagrams of the primary lengths ($Q_1 - Q_8$, left to right) for a range of values of $C_2$ and $C_3$ (extending beyond the range occupied by our broad sample) with constant size $C_1$ and with $C_4$ to $C_8$ equal to zero (Fig. 4). Each bar diagram indicates the relative primary lengths of species distributed in that region of the plot; the diagrams should not be interpreted as outlines of real wings.
The scatter plot of $C_2$ and $C_3$ summarizes variation in wingtip shape, and these components clearly differentiate birds with visibly different wingtip outlines (Fig. 3). $C_2$ and $C_3$ are statistically uncorrelated, but the distribution of $C_2$ and $C_3$ is not even. Birds with very low values of $C_3$, corresponding to extreme trailing edge concavity, tend to have average to low pointedness. Very low values of $C_2$ (high pointedness) are associated with high $C_3$ in the upper left quadrant: these are the pointed wings of birds such as terns (Laridae) for which the wingtip formed by $Q_1$ or $Q_2$ is very pointed but has little concavity in the more proximal primaries. No bird possesses a very pointed and concave wing (i.e. more concave than Fig. 2c), possibly because an isolated extended feather could not tolerate extreme mechanical loads.
We considered correlations between the wingtip shape components and flight morphology. Apart from the expected strong correlations between size-dependent
Table 2. Results of the SCCA on primary feather lengths. Component loadings (correlations) between the original variables and the derived components. $Q_1 - Q_8$ refer to primaries 1 to 8, numbered ascendingly from the distal, leading edge of the wing. Shape variance is the partitioning of variance after the isometric size variance explained by $C_1$ is removed. Loadings with $C_3$ are all positive because of size allometry in this component.
| | $C_1$ | $C_2$ | $C_3$ |
|-------|-------|-------|-------|
| $Q_1$ | 0.977 | -0.149 | 0.376 |
| $Q_2$ | 0.993 | -0.054 | 0.452 |
| $Q_3$ | 0.997 | 0.001 | 0.475 |
| $Q_4$ | 0.998 | 0.054 | 0.480 |
| $Q_5$ | 0.998 | 0.105 | 0.469 |
| $Q_6$ | 0.995 | 0.137 | 0.440 |
| $Q_7$ | 0.994 | 0.155 | 0.403 |
| $Q_8$ | 0.988 | 0.195 | 0.376 |
| % total variance explained | 98.46 | 1.19 | 0.22 |
| % shape variance explained | 77.3 | 14.0 | |
Fig. 3. Distribution of species in terms of the two size-constrained components of wing shape. $C_2$ is a measure of wingtip pointedness, decreasing as pointedness increases; $C_3$ increases with increasing wingtip convexity. Each point on the graph represents a single species: a, tern; b, duck; c, pigeon; d, gull; e, magpie; f, buzzard; g, sparrowhawk. Bird outlines from Herzog (1968).
morphological parameters (mass, wingspan, wing area, wing length, wing loading) and $C_1$, the only appreciable correlations were log aspect ratio with $C_2$ (Pearson product-moment correlation $r_{233} = -0.584$, $p < 0.00001$), and log wing loading with $C_3$ ($r_{233} = -0.322$, $p < 0.00001$). Therefore, the wingtip shape components explain additional dimensions of wing design beyond those described by the flight morphology parameters.
We propose that $C_2$ and $C_3$ can be used as interspecific measures of wingtip shape. Unlike wingtip shape indices they give geometrically consistent measures of shape independent of wing size, and are easy to interpret in interspecific comparative analyses of birds with widely differing size and wing design. $C_2$ (pointedness) and $C_3$ (convexity) may be calculated quickly and easily for any species by the formulae presented in Appendix 2. The coefficients in the equations (Appendix 2) depend on our sample, and would vary if a different interspecific sample was analysed. However, we believe that our sample is sufficiently broad to be representative of birds in general, that the structure of the components is robust, and therefore the components are applicable across most data sets.
**Relations among indices**
Spearman rank correlations were used to relate the wingtip shape indices, aspect ratio and our size-constrained components, because not all the variate pairs displayed a bivariate normal distribution; results with Pearson product-moment correlations showed the same levels of significance. Many of the wingtip shape indices measure similar, but not identical, quantities (Table 3, Fig. 4). $I_H$, $I_{Ms}$, $I_{H5}$, $I_B$, $I_{L\beta}$ and $I_K$ all varied very closely with one another, with $C_2$ and with aspect ratio $A$, and were not significantly correlated with $C_3$. With the exception of the pair $I_T$ and $I_{H9}$, which were not correlated with $I_{Mp}$ and $I_{L\beta}$, all indices were significantly correlated with each other, and therefore to some extent measure a common factor. Notably, $I_K$, $I_{H9}$, $I_{Mp}$ and $I_{L\beta}$ were significantly correlated with isometric size $C_1$ and therefore confound elements of size and shape. All indices were significantly correlated with wingtip pointedness $C_2$ (Fig. 4) and with aspect ratio $A$; $I_K$ was particularly closely correlated with $A$ (see below), and the correlation between $I_{L\beta}$ and $C_2$ was almost unity, although the relationship between these two quantities was not linear. Wingtip convexity $C_3$ was closely correlated with few indices: $I_{Mp}$ and $I_{L\beta}$ were more closely correlated with $C_3$, but all other indices correlated more closely with $C_2$. There is little to distinguish the indices which purport to measure symmetry ($I_H$, $I_T$, $I_{Ms}$) from those designed to measure pointedness, indicating that these features are not independent.
**Wingtip shape and migration**
Wingtip shape varied with migratory behaviour (Table 4; Fig. 5). Within our pooled sample, all wingtip shape indices that are reputed to measure wingtip pointedness, including $C_2$ but with the exception of $I_{Mp}$, demonstrated that migrants have significantly more pointed wings than non-migrants (for statistical details see Table 4). There was also a significant difference in wingtip convexity $C_3$ between migratory and non-migratory species (Fig. 5f) as a result of the low $C_3$ in dispersive species; Kipp (1959) has demonstrated that
eruptive passeriform species have unusually rounded wings.
This trend in wingtip shape in migrants might have arisen because migrants in our sample share common phylogeny, or because wing design is a response to extraneous ecological or behavioural factors, such as a need for manoeuvrability in a particular environment (Norberg and Rayner 1987, Rayner 1988), and are not adaptations that occur specifically to facilitate migration. To test whether wings become more pointed in response to migration behaviour we controlled for phylogenetic and ecological bias by comparing the wingtip shapes of closely related pairs of species that exhibit different degrees of migratory behaviour, but occupy similar ecological niches. Paired t-tests for 27 pairs of species, representing 22 genera (Table 5), produced different results from the uncontrolled analyses (Table 4). Only $I_{Ks}$, $I_{Ls^+}$, $I_{Ls^-}$ and our shape components ($C_2$ and $C_3$) detected differences in wingtip shape between migratory and less-migratory species. Only these latter indices and our new measures are effective at discerning the morphological adaptations to migration.
**Flight morphology and migration**
It is also expected that migrants should have longer wings. The only flight morphology parameter to show a significant difference between migratory and non-migratory species was aspect ratio (Fig. 5m). Body mass, wingspan, wing area and wing loading did not differ significantly between migratory and less-migratory species (mass, $F_{3,247} = 1.41$, $p = 0.24$; wingspan, $F_{3,245} = 1.86$, $p = 0.136$; wing area, $F_{3,231} = 1.27$, $p = 0.284$; wing loading, $F_{3,231} = 2.11$, $p = 0.100$). These relationships did not alter when phylogenetic and ecological factors were controlled: migratory species had a higher aspect ratio than less-migratory species (Table 4), but there was no significant difference in other flight morphology parameters (mass, $t_{26} = -1.85$, $p = 0.076$; wingspan, $t_{26} = -1.74$, $p = 0.093$; wing area, $t_{24} = -2.04$, $p = 0.053$; wing loading, $t_{24} = 0.07$, $p = 0.94$). These results strongly support the conclusion from the wingtip shape indices: migrants have more pointed wings. Since aspect ratio may be viewed as a measure of relative wing spread, migrants also have relatively longer wings, even though there is no absolute difference in either wingspan or wing area between migratory and less-migratory species.
**Discussion**
**Wing shape and aerodynamics**
Selection in response to aerodynamic factors may influence wing shape in several interacting and possibly conflicting ways.
---
**Table 3. Spearman rank correlation coefficients (Siegel and Castellan 1988) between all wingtip shape indices, wingtip shape components $C_1$ and aspect ratio $A$. All correlations are significant at $p = 0.05$ unless coefficient is given in parentheses. Bonferroni corrected. Sample size ranges from 108 ($I_{Ls}$ vs $I_{Ls}$) to 252 (most other comparisons).**
| | $I_{H}$ | $I_{B}$ | $I_{T}$ | $I_{H9}$ | $I_{H9}$ | $I_{M9}$ | $I_{M9}$ | $I_{Ls}$ | $I_{Ls}$ | $A$ |
|-------|---------|---------|---------|----------|----------|----------|----------|---------|---------|------|
| $I_{H}$ | 0.748 | | | | | | | | | |
| $I_{B}$ | 0.768 | 0.899 | | | | | | | | |
| $I_{T}$ | 0.506 | 0.832 | 0.472 | | | | | | | |
| $I_{H9}$ | 0.527 | 0.788 | 0.523 | 0.944 | | | | | | |
| $I_{H5}$ | -0.664 | -0.354 | -0.869 | -0.773 | -0.745 | | | | | |
| $I_{mp}$ | 0.568 | 0.479 | 0.723 | (-0.011) | (-0.027) | -0.392 | | | | |
| $I_{ms}$ | 0.720 | 0.973 | 0.911 | 0.746 | 0.698 | 0.600 | | | | |
| $I_{Ls}$ | 0.696 | 0.865 | 0.746 | 0.776 | 0.739 | 0.851 | 0.855 | | | |
| $I_{Ls^+}$ | -0.612 | -0.660 | -0.660 | (-0.072) | (-0.095) | -0.796 | -0.550 | -0.562 | | |
| $I_{Ls^-}$ | 0.864 | 0.625 | 0.606 | 0.421 | 0.519 | -0.578 | 0.590 | 0.603 | -0.332 | |
| $A$ | | | | | | | | | | |
| $C_1$ | 0.533 | (-0.019)| (0.158) | (-0.153) | (-0.019) | -0.224 | (0.070) | 0.387 | (-0.019)| -0.332 |
| $C_2$ | -0.688 | -0.689 | -0.734 | -0.790 | -0.759 | -0.583 | -0.581 | (0.019) | -0.397 | -0.439 |
| $C_3$ | 0.314 | (0.097) | 0.370 | (-0.193) | (-0.037) | 0.745 | (0.158) | 0.214 | (0.127) | -0.784 |
Table 4. Summary of analyses of variance (ANOVA) between migratory categories and wingtip shape indices. Values given in table are F-ratios for the analysis of variance, p values (statistics as follows: **<0.01; ***<0.001; ****<0.0001; NS, p>0.05) and Student's t statistics. Uncontrolled analyses are broad interspecific analyses of variance. Sample size ranges from 108 ($I_K$) to 250 (most other indices). Significant (p<0.05) pairwise comparisons shown were identified with Tukey tests (Minitab Inc. 1994). Migration categories: Mig. = 1; Part. = 2; Disp. = 3; Non. = 4 (see Methods). Phylogenetically and ecologically controlled analyses were paired t-tests of closely related pairs of species that occupy the same ecological niche, but exhibit differing migratory behaviours.
| No control | With phylogenetic and ecological control |
|------------|----------------------------------------|
| ANOVA | Tukey comparisons |
| $I_K$ | $F_{1,104} = 12.5$ | **** vs 4; 3 vs 4 | $t_{15} = 4.40$ | *** |
| $I_H$ | $F_{3,248} = 17.2$ | **** vs 3; 1 vs 4 | $t_{26} = 0.97$ | NS |
| $I_D$ | $F_{3,248} = 12.55$ | **** vs 3; 1 vs 4 | $t_{26} = 1.16$ | NS |
| $I_T$† | $F_{3,183} = 5.59$ | *** vs 3; 1 vs 4 | $t_{17} = 1.22$ | NS |
| $I_{1H}$ | $F_{3,248} = 8.60$ | *** vs 4 | $t_{26} = -0.34$ | NS |
| $I_{1S}$ | $F_{3,248} = 16.63$ | **** vs 3; 1 vs 4; 2 vs 4 | $t_{26} = -1.49$ | NS |
| $I_{MP}$† | $F_{3,248} = 2.08$ | NS | $t_{26} = 0.15$ | NS |
| $I_{MS}$ | $F_{3,248} = 14.12$ | **** vs 3; 1 vs 4 | $t_{26} = 1.18$ | NS |
| $I_{L^2}$ | $F_{3,248} = 22.02$ | **** vs 3; 1 vs 4; 2 vs 4 | $t_{26} = 3.14$ | ** |
| $I_{L^3}$ | $F_{3,248} = 4.90$ | * vs 4 | $t_{26} = -3.39$ | ** |
| $C_2$ | $F_{3,248} = 22.10$ | **** vs 3; 1 vs 4; 2 vs 4 | $t_{26} = -2.93$ | ** |
| $C_3$ | $F_{3,248} = 1.33$ | NS | $t_{26} = 3.87$ | *** |
| $A$† | $F_{3,231} = 14.87$ | **** vs 4; 3 vs 4 | $t_{24} = 2.81$ | ** |
† These variates were transformed to natural logarithms to approach a normal distribution of the residuals.
**Overall wing proportions**
The quantity usually used to model the gross shape of the wing is the aspect ratio, which is defined as the ratio of wingspan squared to wing area, and which is equivalent to wingspan divided by mean wing chord. Aspect ratio affects the relative magnitudes of induced and profile drags: if mass, wing area and other wing shape parameters remain constant, a long, thin high-aspect-ratio wing gives a low cost of transport or high range (Norberg and Rayner 1987, Rayner 1988). Large values of this quantity have always been considered by aerodynamicists to provide the prime evidence for selection for flight economy in sustained flights, though large aspect ratio is not necessarily associated with high speed (which is favoured by small wings), or low power (which is favoured by relatively long, broad wings) (Rayner 1988). In accordance with this prediction, high aspect ratios occur in birds for which flight economy is critical, as, for instance, the larger long-distance migrants, marine soaring birds, and many aerial predators. This correlation between long, thin wings and migration is formally confirmed, for the first time, by our analyses with ecological and phylogenetic controls (Table 4): migrant birds have wings of higher aspect ratio. This study represents the first stringent test of this hypothesis across a broad range of avian species.
Kipp’s index $I_K$ is determined by the length of the handwing and the length of the first secondary feather. The first secondary usually lies approximately perpendicular to the leading edge of the wing, and its length is a reasonable estimate of wing chord; the handwing represents a considerable proportion of the wingspan. Of all of the indices we consider (Table 1), this is the only one which measures the overall proportions of the handwing rather than some aspect of the geometry of the wingtip. It identifies a different dimension of wing shape from the other indices, and it is not surprising that this index is closely correlated with aspect ratio, and shows similar patterns of variation with migration classes (Fig. 5a, m).
**Wing outline**
The spanwise distribution of wing chord affects the distribution of aerodynamic lift or bound wing circulation across the wing, and therefore is related to the aerodynamic force moments acting at the wing root, to the geometry of the vortex wake, and to the induced drag. We do not yet know fully the criteria and constraints which determine wing outline in birds of different behaviours, particularly in flapping flight. The accepted wisdom is that an elliptic wing outline is optimal for low-speed wings because this profile minimizes induced drag for given lift and given wing area. However, this criterion is probably simplistic for many birds: a more rounded wing can maximize thrust from flapping, while a more pointed wing with a sharp wingtip minimizes wing weight and wing inertia (Rayner 1986, 1993). A short wing must be flapped at high frequency to provide sufficient thrust, and is therefore more likely to be subject to selection to minimize inertia, and hence to have a pointed, low-inertia outline. This explains the wing form of birds such as waders, auks and ducks, which fall in the upper left quadrant of Fig. 3, and have very pointed but convex wings; $C_3$ as a measure of primary feather convexity is very effective in identifying this group of birds. On the
other hand, relatively larger wings are more diverse in shape (cf. gull and buzzard in Fig. 3), and are probably not influenced by constraints on wing weight or inertia. Our convexity coefficient $C_3$ distinguishes between species with a relatively convex wing providing high thrust and those with a relatively concave wing with reduced wing weight and inertia.
The elliptic wing is optimal in the theoretical case of a straight wing, lying perpendicular to the line of flight. Bird wings are rarely straight and perpendicularly aligned, but are often designed with a forward or backward sweep. This can reduce induced drag compared with the elliptic value: a backward swept wing is more efficient if it is pointed, while a forward swept wing should be rounded (Aschenberg and Wehns 1984, D. Wehns, pers. comm.). It appears that bird wings have evolved in this way – pointed wings are backward swept, while square and rounded wings tend to sweep forwards (Fig. 3 in Rayner 1988) – though these patterns have not been formally tested. Backward swept, pointed wings, for example in gulls and swans, often show appreciable concavity of the tips of the proximal primaries.
More rounded wings (larger $C_2$) generate a greater proportion of their lift towards the wingtip, where the wing is moving faster. They are particularly effective for birds which fly at slow speeds (including taking off from the ground), or which need high levels of acceleration or of lateral manoeuvrability. All of these conditions benefit from the larger moments when lift is generated more distally on the wing. Many small passerines often fly slowly or among clutter, or need rapid acceleration to escape predators or during the flapping phases of bounding flight. Many of the same factors also apply to woodland predators such as sparrowhawks, buzzards and corvids. The latter pressures correlate with the relatively rounded and convex wings of these species, and the prevalence of extremely rounded wings in passerines explains the appreciable allometry of $C_3$ with size. Similar trends occur within species: take-off in European Starlings shows a significant increase in angle of ascent with wingtip roundedness (increasing $C_2$) (J. P. Swaddle, unpubl. data). This probably reflects the greater thrust available from a more rounded wing at low flight speeds. Marine gliding and soaring birds do not experience pressures of this kind, and tend to have convex but pointed wings.
**Wingtip geometry**
The geometry of the wingtip affects the way the wingtip vortices are shed into the wake, but the aerodynamic processes at the feathered wingtips are relatively poorly understood. Tip shape can theoretically have a significant effect on induced drag, especially when the primary feathers are highly separated and each feather acts as a separate aerofoil (e.g. see Tucker 1993, 1995). A pointed tip should allow the tip vortex to be shed smoothly and to roll up quickly, while on a more rounded wing the tip vortex will occupy a larger volume and presumably, therefore, rolls up more slowly, and gives rise to a higher induced drag. However, recent flow visualization studies of gliding wakes reveal that the rounded but highly cambered wings of owls are remarkably efficient; not only do they not have the high induced drag expected with this wing shape, but they appear to function more effectively than a planar elliptic wing (Rayner 1995); this may be due to the vertical as well as horizontal spacing of the primary feather tips. Moreover, while a very pointed wingtip formed of one narrow feather should shed wake vortices with minimum tip losses, it would also be susceptible to deformation under aerodynamic loads, as well as to physical damage and abrasion.
Our pointedness coefficient $C_2$ distinguishes the shape of the wingtip largely by the location of the longest primary feather (Fig. 4). Its aerodynamic interpretation is presently not entirely clear. Work is currently in progress predicting and measuring tip vortices of wings of different design with the aim of differentiating between conflicting aerodynamic and mechanical pressures on wingtip adaptation. Our pointedness and convexity indices will prove invaluable in quantifying tip geometry. We believe they will also prove particularly valuable in moult studies, by permitting quantification of the variation in wing geometries of moulting birds by a measure which may be understood in terms of flight aerodynamics.
**Wingtip shape indices**
Although they all correlate with $C_2$ (wingtip pointedness), the wingtip shape indices are not identical to one another; our analysis raises several questions regarding the compatibility and interpretation of these measures. Some authors have concluded that particular between-index comparisons are valid for closely related species (Täinien and Hanski 1985, Hedenström and Pettersson 1986), but it is evident that different indices measure different aspects of wing shape variation (see also Busse 1967, Chandler and Mulvihill 1988). A criticism made of the indices has been that wingtip pointedness and symmetry are not independent quantities (Täinien 1982, Täinien and Hanski 1985, Chandler and Mulvihill 1988). Our study supports this finding, since all published indices, including those supposed to measure symmetry, tend to increase with decreasing $C_2$ (Fig. 4), and symmetry indices ($I_{H}$, $I_T$ and $I_M$) are significantly correlated with most pointedness indices. However, despite the significant correlations between indices and the measures of wingtip shape as derived by SCCA, the majority of indices tested in our analyses were unable to detect ecologically-relevant shape variation across a wide range of species when phylogenetic and ecological biases were controlled. Our analyses of migratory
---
**Table 5.** Pairs of species used in phylogenetically and ecologically controlled analyses. More-migratory and less-migratory species in con-generic pairs that occupy the same ecological niche, but exhibit differing migratory behaviours. Species that are more migratory have more pointed and convex wingtip shapes and have a higher aspect ratio (Table 4) than less-migratory species.
| Family | More-migratory species | Less-migratory species |
|--------------|------------------------|------------------------|
| Ardeidae | *Ardea purpurea* | *Ardea cinerea* |
| Anatidae | *Cygnus columbianus* | *Cygnus olor* |
| Anatidae | *Anser albifrons* | *Anser anser* |
| Anatidae | *Branta bernicla* | *Branta canadensis* |
| Anatidae | *Anas clypeata* | *Anas crecca* |
| Anatidae | *Anas querquedula* | *Anas platyrhynchos* |
| Anatidae | *Aythya ferina* | *Aythya fuligula* |
| Accipitridae | *Circus aeruginosus* | *Circus cyaneus* |
| Accipitridae | *Buteo lagopus* | *Buteo buteo* |
| Rallidae | *Gallinago media* | *Gallinago gallinago* |
| Laridae | *Larus fuscus* | *Larus argentatus* |
| Laridae | *Larus eburnea* | *Larus marinus* |
| Laridae | *Larus melanocephalus* | *Larus ridibundus* |
| Columbidae | *Streptopelia turtur* | *Streptopelia decaocto*|
| Strigidae | *Asio flammeus* | *Asio otus* |
| Hirundinidae | *Hirundo rustica* | *Hirundo daurica* |
| Passeridae | *Motacilla flava* | *Motacilla alba* |
| Muscicapidae | *Saxicola rubetra* | *Saxicola torquata* |
| Muscicapidae | *Turdus iliacus* | *Turdus merula* |
| Muscicapidae | *Turdus philomelos* | *Turdus viscivorus* |
| Regulidae | *Regulus ignicapillus* | *Regulus regulus* |
| Paridae | *Parus ater* | *Parus palustris* |
| Fringillidae | *Emberiza hortulana* | *Emberiza calandra* |
| Fringillidae | *(Miliaria)* | |
| Fringillidae | *Emberiza aureola* | *Emberiza citrinella* |
| Fringillidae | *Fringilla montifringilla* | *Fringilla coelebs* |
| Fringillidae | *Carduelis spinus* | *Carduelis chloris* |
| Fringillidae | *Acanthis cannabina* | *Acanthis flavirostris*|
wingtip shape adaptations suggest that $I_{L^*}$ and $I_{L^p}$ are the most powerful wingtip shape indices in identifying species adapted for migration (although their calculation may be prohibitively time-consuming); our measures are more straightforward and simpler to calculate than Levin's indices, and are therefore recommended as sensitive measures of wingtip pointedness and concavity that are independent of size bias.
We have tested the congruence and significance of indices in interspecific analyses. As Chandler and Mulvihill (1988) predicted, all indices detect gross morphological changes associated with the transformation from a rounded to a pointed wing. With the exception of $I_T$, $I_{H^0}$, $I_{M^0}$ and $I_{L^p}$, all indices were highly correlated with each other, and therefore may be supposed either to measure the same features of wingtip shape, or to combine aspects of the wingtip design which, for mechanical or structural reasons, are constrained to vary together. For these reasons, the indices measure primarily wingtip pointedness, despite the various claims that they measure 'symmetry' or 'sharpness'.
High correlations among indices were not apparent in Chandler and Mulvihill's (1988) intraspecific analysis of the Dark-eyed Junco, in which $I_{H^0}$ was not significantly correlated with $I_{H^0}$, and $I_{H^0}$ was only occasionally correlated with $I_B$. Chandler and Mulvihill also found that the indices were insensitive to a high percentage of the wingtip shape variation in Dark-eyed Juncos, as quantified by principal components analysis. Our failure to find many indices varying closely with $C_3$ (Fig. 4) shows that the same is true in interspecific analyses. The indices (in the main, at least) are straightforward to compute and in interspecific studies are convenient as measures of pointedness, if their geometrical and statistical limitations are set aside. They are not effective in measuring hand wing convexity, and can have little validity in comparative analyses across a broad range of species. SCCA has identified two significant axes of interspecific wingtip shape variability; it is possible that within certain individual species these axes do not form the most significant trends of variation, and indices may continue to prove useful in intraspecific problems, provided that the problem of size bias is addressed for $I_{K^1}$, $I_{H^0}$, $I_{M^0}$ and $I_{L^p}$.
There is a further source of close relations among the indices. There are strict geometric constraints on feather length at and around the wingtip, since in most wings feather lengths must decrease monotonically away from the longest primary. For instance, only in rare cases is $Q_8$ longer than $Q_7$, or $Q_6$ than $Q_5$; such extreme concave wings would fall in the lower right quadrant of Fig. 4, where there are few real wings (Fig. 3). These constraints are reflected in the form of our indices (Appendix 2). $C_1$ has an approximately equal weight with all $Q_i$ (it can be expressed symbolically as $\Sigma \ln(Q_i)$); this is in part a consequence of its definition as an isometric size component. $C_2$ is structured as a weighted and centred first moment of feather lengths, of the form $\Sigma i \ln(Q_i)$, and $C_3$ is essentially a centred second moment $\Sigma i^2 \ln(Q_i)$, weighted slightly to the most distal and most proximal feathers. Ramsay and Silverman (1997) provide a mathematical explanation for why our indices take the form of moments. The algebraic similarity of our indices to Milikovsky's indices (Table 1) based on the statistics of skewness and kurtosis (Milikovsky's indices are uncentred third and fourth moments) is evident. The appearance of these simple algebraic forms in primary feather SCCA reflects structural and biological constraints on primary feather lengths.
**Wing shape, morphometrics and migration**
The results of our phylogenetically and ecologically controlled analyses highlight the importance of controlling for both of these biases in any interspecific study of adaptations for migration. The significant difference in wingtip pointedness between migratory and less-migratory species supports both practical and theoretical analyses of morphological migratory adaptations. Theoretical analyses (Rayner 1988, Norberg 1990) predict that migratory species should have wings with higher aspect ratio, and these predictions are broadly confirmed by previous morphometric studies (Fitzpatrick 1985, Winkler and Leisler 1985, 1992, Yong and Moore 1994). In both our broad interspecific and controlled analyses we found a significant difference in aspect ratio, which is independent of size, with migration, but no difference in mass, wingspan, wing area or wing loading, all of which depend on size. Some previous studies of migration may have failed to detect morphological adaptations in the wings because of the confounding effect of phylogenetic and ecological bias, and because of a failure to compensate adequately for isometric variation in size.
The size-constrained measures of wingtip shape introduced in this study are straightforward to calculate and are applicable to ecomorphological analyses of the function and consequences of wingtip design in birds. Unlike the previously published indices, our measures statistically isolate shape from size in an interspecific sample and are free of the interpretational problems from which the other indices suffer. $C_2$ and $C_3$ can be utilized in any subsequent interspecific study of wingtip shape and interpreted in terms of the aerodynamic and biomechanical predictions of pointedness ($C_2$) and convexity ($C_3$). This cannot be achieved with any other previously published index of wingtip shape. Our analyses also provide a phylogenetically and ecologically controlled indication that migrants have a more pointed and more convex wingtip shape and a higher aspect ratio. This is the first study to provide unambiguous support for these morphological adaptations to migration at the interspecific level.
Acknowledgements – This research was carried out in the School of Biological Sciences at the University of Bristol. We thank Rob Massie for all routine maintenance of captive birds. We are also grateful to Dr. Michael Walters of The Natural History Museum, Tring for access to museum specimens. RL was funded by the Marshall Aid Commemoration Commission, JPS was funded by a NERC Postdoctoral Fellowship. We thank Mark Witter and Anders Hedenström for comments on the manuscript.
References
Alatalo, R. V., Gustafsson, L. and Lundberg, A. 1984. Why do young passerine birds have shorter wings than older birds? – Ibis 126: 410–415.
Alerstam, T. 1990. Bird migration. – Cambridge University Press.
Alerstam, T. 1991. Bird flight and optimal migration. – Trends Ecol. Evol. 6: 210–215.
Aschenberg, J. and Wehls, D. 1984. Minimum induced drag of wings with curved planform. – J. Aircraft 21: 89–94.
Atchley, W. R. and Anderson, D. 1978. Ratios and the statistical analysis of biological data. – Syst. Zool. 27: 71–77.
Averill, C. K. 1920. Migration and physical proportions. A preliminary study. – Auk 37: 572–579.
Averill, C. K. 1925. The outer primary in relation to migration in the ten-primaried oscines. – Auk 42: 353–358.
Bährmann, V. 1978. Über die Beziehungen der äußeren Flügelform zum Flügelskelettbau (Aves). – Zool. Abh. staat. Mus. Tierk. Dresden 34: 339–348.
Bairlein, F. 1981. Ökosystemanalyse der Rastplätze von Zugvögeln. – Ökol. Vogel 3: 7–137.
Bairlein, F., Leisler, B. and Winkler, H. 1986. Morphologische Aspekte der Habitatwahl von Zugvögeln in einem Süddeutschen Rastgebiet. – J. Orn. 127: 463–473.
Berthold, P. and Friedrich, W. 1979. Die Flederläge: ein neues nützliches Flügelmaß. – Vogelwarte 30: 11–21.
Bookstein, F. L. 1988. “Size and shape”: a comment on semilandmarks. – Syst. Zool. 38: 175–180.
Bookstein, F. L., Chernoff, B. C., Elder, R. L., Humphries, J. M., Smith, G. R. and Strauss, R. E. 1985. Morphometrics in evolutionary biology. – Academy of Natural Sciences Philadelphia Special Publ. 15.
Borras, A., Cabrera, F., Colomé, X. and Senar, J. C. 1993. Sexing fledglings of cardueline finches by plumage color and morphometric variables. – J. Field Orn. 64: 199–204.
Brown, R., Ferguson, J., Lawrence, M. and Lees, D. 1987. Tracks and signs of the birds of Britain and Europe. An identification guide. – Christopher Helm, London.
Burnaby, P. 1966. Growth-invariant discriminant functions and generalized distances. – Biometrics 22: 96–110.
Busse, P. 1967. [Application of the numerical indexes of the wing shape]. Notatki Ornitol. 8: 1–8. (In Polish with English summary.)
Busse, P. 1986. [Wing-shape indices and the problems with their interpretation]. Notatki Ornitol. 27: 139–155. (In Polish with extended English summary.)
Chandler, C. R. and Mulvihill, R. S. 1988. The use of wing shape indices: an evaluation. – Ornis Scand. 19: 212–216.
Chandler, C. R. and Mulvihill, R. S. 1990. Wing-shape variation and differential timing of migration in dark-eyed Junco. – Condor 92: 54–61.
Cramp, S. (ed.) 1985. The birds of the Western Palearctic. Volume 4. – Oxford University Press.
Cramp, S. 1988. The birds of the Western Palearctic. Volume 5. – Oxford University Press.
Cramp, S. 1992. The birds of the Western Palearctic. Volume 6. – Oxford University Press.
Cramp, S. and Perrins, C. M. (eds) 1993. The birds of the Western Palearctic. Volume 7. – Oxford University Press.
Cramp, S. and Simmons, K. E. L. (eds) 1977. The birds of the Western Palearctic. Volume 1. – Oxford University Press.
Cramp, S. and Simmons, K. E. L. (eds) 1980. The birds of the Western Palearctic. Volume 2. – Oxford University Press.
Cramp, S. and Simmons, K. E. L. (eds) 1983. The birds of the Western Palearctic. Volume 3. – Oxford University Press.
Dohle, H. H. 1985. Ein Modell zur optimierten Beschreibung der Flügeltiefenverteilung von Vögeln. – Milu 6: 18–27.
Dilger, W. C. 1956. Adaptive modifications and ecological isolating mechanisms in the thrush genera Catharus and Hylocichla. – Wilson Bull. 68: 171–159.
Dixon, C. 1892. The migration of birds. – Chapman and Hall, London.
Dunning, J. B. Jr. 1993. CRC handbook of avian body masses. – CRC Press Inc., Boca Raton.
Eck, S. 1974. Intraspezifische Ausformungen in Flügel- und Schwanzbau bei Würger-Formenkreisen der Gattung Lanius. – Zool. Abh. staat. Mus. Tierk. Dresden 32: 75–119.
Eck, S. 1992. Der Handflügelindex südwestpalaearktischer Raubwürger (Lanius excubitor) – Kritik eines Klischees. – J. Orn. 133: 349–364.
Ellington, C. P. 1984. The aerodynamics of hovering insect flight. – Phil. Trans. R. Soc. Lond. B 305: 1–181.
Felsenstein, J. 1985. Phylogenies and the comparative method. – Am. Nat. 125: 1–15.
Fitzpatrick, J. W. 1985. Form, foraging behavior, and adaptive radiation in the Tyrannidae. – Orn. Monogr. 36: 447–470.
Fredericus II Hohenstaufen, Imperator (Kaiser Friedrich II) ca. 1240. De arte venandi cum avibus, cum Manfredi Regis additionibus. [Ms. Facsimile ed. C. A. Willensm. Das Falkenbuch Kaiser Friedrichs II., Bibliophilen Taschenbücher 152, Dortmund: Harenberg, 1979. Trans. C. A. Wood and F. M. Fyfe (eds). The art of falconry. – Stanford University Press, Stanford, 1943.]
Gaston, A. J. 1974. Adaptation in the genus Phylloscopus. – Ibis 116: 432–430.
Gatter, W. 1976. FeldKennzeichen ziehender Passeres. – Vogelwelt 97: 201–217.
Gatter, W. 1979. Unterschiedliche Zuggeschwindigkeit nahe verwandter Vogelarten. – J. Orn. 120: 221–225.
Gladkov, N. A. 1935. Prolyetnyi put’ i kryilo ptitsyi. [Course of migration path and the wings of birds.] – Byull. mosk. Obshch. Ispytl. Prir. Otd. Biol. 44: 65–73. (In Russian.)
Gladkov, N. A. 1949. Biologicheskaya osnovyi poletya ptits. [Biological principles of bird flight.] – Nauka, Moscow. (In Russian.)
Gould, S. J. 1966. Allometry and size in ontogeny and phylogeny. – Biol. Revs Camb. Phil. Soc. 41: 587–640.
Greenewalt, C. H. 1975. The flight of birds. – Trans. Am. Phil. Soc. 65: 4.
Haberman, K., Mackenzie, D. I. and Rising, J. D. 1991. Geographic variation in the gray kingbird. – J. Field Orn. 62: 117–131.
Hamilton, T. H. 1961. The adaptive significance of intraspecific trends of variation in wing length and body size among bird species. – Evolution 15: 180–195.
Harrison, C. 1982. An atlas of the birds of the Western Palearctic. – Collins, London.
Harvey, P. H. and Pagel, M. D. 1991. The comparative method in evolutionary biology. – Oxford University Press, Oxford.
Headley, F. W. 1912. The flight of birds. – Witherby, London.
Hedenström, A. 1986. Which wing index should be used? – Ibis 131: 154.
Hedenström, A. 1993. Migration by soaring or flapping flight in birds: the relative importance of energy cost and speed. – Phil. Trans. R. Soc. B 342: 353–361.
Hedenström, A. and Alerstam, T. 1992. Climbing performance of migratory birds as a basis for estimating limits for fuel carrying capacity and muscle work. – J. Exp. Biol. 164: 19–38.
Hedenström, A. and Alerstam, T. 1995. Optimal flight speed of birds. – Phil. Trans. R. Soc. B 348: 471–487.
Hedenström, A. and Möller, A. P. 1992. Morphological adaptations to song flight in passerine birds: a comparative study. – Proc. R. Soc. Lond. B 247: 183–187.
Hedenström, A. and Pettersson, J. 1986. Differences in fat deposits and wing pointedness between male and female Willow Warblers caught on spring migration at Ottenby, SE Sweden. – Ornis Scand. 17: 182–185.
Heininger, P. H. 1991. Zur Ökologie des Schneefinken (Montifringilla nivalis): Raumnutzung im Winter und Sommer mit besonderer Berücksichtigung der Winterschlafplätze. – Revue Suisse Zool. 98: 897–924.
Herzig, K. 1968. Anatomie und Flugbiologie der Vögel. – Gustav Fischer, Stuttgart.
Holyński, R. 1965. [The methods of analysis of wing-formula variability.] – Notatki Ornitol. 6: 21–25. (In Polish with English summary.)
Humphries, J. M., Bookstein, F. L., Chernoff, B., Smith, G. K., Elder, R. L. and Poss, S. G. 1981. Multivariate discrimination by shape in relation to size. – Syst. Zool. 30: 291–308.
Jenni, L. and Winkler, R. 1989. The feather-length of small passerines: a measurement for wing-length in live birds and museum skins. – Bird Study 36: 1–15.
Jenni, L. and Winkler, R. 1994. Moult and ageing of European passerines. Academic Press, London.
Jolicoeur, P. 1963. The multivariate generalization of the allometry equation. – Biometrics 19: 497–499.
Keast, A. 1980. Spatial relationships between migratory parulid warblers and their ecological counterparts in the Neotropics. – In: Keast, A. and Morton, E. S. (eds). Birds in the Neotropics: ecology, behaviour, distribution and conservation. Smithsonian Institution Press, Washington, D.C, pp. 109–130.
Keast, A. 1996. Wing shape in insectivorous passerines inhabiting New Guinea and Australian rain-forests and eucalypt forest/eucalypt woodlands. – Auk 113: 94–104.
Kipp, F. 1936. Studien über den Vogelzug in Zusammenhang mit Flügelbau und Mauserzyklus. – Mitt. Vogelwelt 35: 49–80.
Kipp, F. 1942. Über Flügelbau und Wanderung der Vögel. – Biol. Zbl. 62: 289–299.
Kipp, F. 1958. Zur Geschichte des Vogelzuges auf der Grundlage der Flügelanpassungen. – Vogelwarte 19: 233–242.
Kipp, F. 1959. Der Handflügel-Index als flugbiologische Maß. – Vogelwarte 20: 77–86.
Kipp, F. 1961. Flügelbau und Zugverhalten bei der Anatiden. – Vogelwarte 21: 28–36.
Kipp, F. 1976. Das Leben in Flugschwärmen und seine Auswirkungen auf den Flügelbau. – Vogelwarte 28: 171–180.
Kokshaysky, N. V. 1973. Functional aspects of some details of bird wing configuration. – Syst. Zool. 22: 442–450.
Landmann, A. and Winding, N. 1993. Niche segregation in high-altitude Himalayan chats (Aves, Turdidae) – does morphology match ecology? – Oecologia 95: 506–519.
Landmann, A. and Winding, N. 1995a. Adaptive radiation and resource partitioning in Himalayan high-altitude finches. – Zoology 99: 8–20.
Landmann, A. and Winding, N. 1995b. Guild organisation and morphology of high-altitude granivorous and insectivorous birds: convergent evolution in an extreme environment. – Oikos 73: 237–250.
Laske, V. and Immelmann, K. 1981. Eine Beziehung zwischen Handflügelindex und Windempfindlichkeit bei Zugvögeln. – Vogelwarte 31: 174–177.
Leisler, B. 1980. Morphological aspects of ecological specialization in bird genera. – Ökol. Vögel 2: 199–220.
Leisler, B. and Thaler, E. 1982. Differences in morphology and foraging behaviour in the goldcrest Regulus regulus and firecrest R. ignicapillus. – Ann. Zool. Fenn. 19: 277–284.
Leisler, B. and Winkler, H. 1985. Ecomorphology. – Curr. Orn. 2: 155–186.
Leisler, B. and Winkler, H. 1991. Ergebnisse und Konzepte ökomorphologischer Untersuchungen an Vögeln. – J. Orn. 132: 373–425.
Levin, Å. S., Gavrilov, E. I. and Mikhailov, A. M. 1991. Forma kryila ptits i novaya metodika yeye izucheniya. [The form of the bird’s wing and a new method of its study.] – Zool. Zh. 70 (3): 90–96.
Lindström, Å. and Alerstam, T. 1992. Optimal fat loads in migrating birds: a test of the time minimization hypothesis. – Am. Nat. 140: 477–491.
Lorenz, K. 1933. Beobachtetes über das Fliegen der Vögel und über die Beziehungen der Flügel- und Steuerform zur Art des Fluges. – J. Orn. 81: 107–236.
Lo Valvo, F., Lo Verde, G. and Lo Valvo, M. 1988. Relationships among wing length, wing shape and migration in blackcap Sylvia atricapilla populations. – Ring. Migr. 9: 51–54.
Lővei, G. L. 1983. Wing shape variations of chiffchaffs on autumn migration in Hungary. – Ring. Migr. 4: 231–236.
Lővei, G. L., Scebba, S., Minchiello, F. and Milone, M. 1986. Seasonal activity, wing shape, weights and fat reserve variation of robins (Erithacus rubecula) in southern Italy. – Rich. biol. Selvag. 10: 229–241.
Magman, A. 1922. Les caractéristiques des oiseaux suivant le mode de vol. – Ann. Sci. nat. Sér. Zool. 5: 125–334.
Marchetti, K., Price, T. and Richman, A. 1995. Correlates of wing morphology with foraging behaviour and migration distance in the genus Phylloscopus. – J. Avian Biol. 26: 177–181.
Mardia, K. V. 1975. Assessment of multinormality and the robustness of Hotelling’s $T^2$ test. – Appl. Stat. 24: 163–171.
Meirte, D. 1987. Insularisation and flight in Hypsipetes (Aves, Pycnonotidae). – Rev. zool. Afr. 101: 243–256.
Meise, W. 1949. Über einen Gattungsbastard und eine Zwillingssart der Tyrannen nebst Bemerkungen über Zugweite und Flügelform. – In: Mayr, E. and Schuz, E. (eds). Ornithologie als biologische Wissenschaft; 28 Beiträge als Festschrift zum 60. Geburtstag von Erwin Stresemann (22. November 1949). – Carl Winter Universitätsverlag, Heidelberg, pp. 61–83.
Minitab, Inc. 1994. Minitab 10 User’s Guide. – Minitab Inc., Pennsylvania.
Mílkovsky, J. 1978. Die Flügelformel der Vögel und ihre Auswertung. – Vogelwarte 29: 268–272.
Mílkovsky, J. 1982. Biometrische Untersuchungen zum Geschlechtsdimorphismus in der Flügelform von Fringilla coelebs (Passeriformes: Fringillidae). – Vogelwarte 31: 442–445.
Mönkkönen, M. 1995. Do migrant birds have more pointed wings?: a comparative study. – Evol. Ecol. 9: 520–528.
Mosimann, J. E. 1970. Size allometry, size and shape variables with characterizations of the lognormal and generalized gamma distributions. – J. Am. Stat. Ass. 65: 930–945.
Mulvihill, R. S. and Chandler, C. R. 1990. The relationship between wing shape and differential migration in the dark-eyed junco. – Auk 107: 490–499.
Mulvihill, R. S. and Chandler, C. R. 1991. A comparison of wing-shape between migratory and sedentary dark-eyed juncos (Junco hyemalis). – Condor 93: 172–175.
Niemi, G. J. 1985. Patterns of morphological evolution in bird genera of New World and Old World peatlands. – Ecology 66: 1215–1228.
Niethammer, G. 1937. Über die Beziehungen zwischen Flügelänge und Wanderstrecke bei einigen europäischen Singvögeln. – Arch. Naturgesch., N. F. 6: 519–525.
Nitecki, C. 1969. [Variability of the wing-formula in dunnock, Prunella modularis]. – Notatki Ornitol. 10: 1–8. (In Polish with English summary.)
Norberg, U. M. 1979. Morphology of the wings, legs and tail of three coniferous forest tits, the goldcrest and the treecreeper in relation to locomotor pattern and feeding station selection. – Phil. Trans. R. Soc. Lond. B 287: 131–165.
Norberg, U. M. 1981. Flight, morphology, and the ecological niche in some bats and birds. – Symp. zool. Soc. Lond. 48: 173–197.
Norberg, U. M. 1990. Vertebrate flight. – Springer Verlag, Heidelberg.
Norberg, U. M. and Rayner, J. M. V. 1987. Ecological morphology and flight in bats (Mammalia: Chiroptera): wing adaptations, flight performance, foraging strategies and echolocation. – Phil. Trans. R. Soc. Lond. B 316: 335–427.
Norman, S. C. 1997. Juvenile wing shape, wing moult and weight in the family Sylviidae. – Ibis 119: 617–630.
Oehme, H. and Kitzler, U. 1975. Untersuchungen zur Flugbiophysik und Flugphysiologie der Vögel II. Zur Geometrie des Vogelflügels. – Zool. Jb. Abt. Physiol. 79: 402–424.
Pennycook, C. J. 1969. The mechanics of bird migration. – Ibis 111: 525–556.
Pettigrew, J. B. 1905. Design in nature. Vol. 3. – Longman, London.
Potapov, R. L. 1967. Zavisimost’ formy kryila ptitsy ot dal’nosti pyeryelyeta. [Relation of bird wing form to migration distance.] – Trudy zool. Inst. Leningr. 40: 218–230 (In Russian.)
Pulliainen, E., Helle, P. and Tunkari, P. 1981. Adaptive radiation of the digestive system, heart and wings of Turdus pilaris, Bombycilla garrulus, Sturnus vulgaris, Pyrrhula pyrrhula, Pinicola enucleator and Loxia pytopsisittacus. – Ornis Fenn. 58: 21–28.
Ramsay, J. O. and Silverman, B. W. 1997. Functional data analysis. – Springer-Verlag, New York.
Rayner, J. M. V. 1985. Linear relations in biomechanics: the statistics of scaling functions. – J. Zool. Lond. A 206: 415–439.
Rayner, J. M. V. 1986. Vertebrate flapping flight mechanics and aerodynamics, and the evolution of flight in bats. – In: Nachtigall, W. (ed.). Biona Report 5, Bat flight – Fledermausflug. Gustav Fischer, Stuttgart, pp. 27–74.
Rayner, J. M. V. 1988. Form and function in avian flight. – Curr. Orn. 5: 1–66.
Rayner, J. M. V. 1990. The mechanics of flight and bird migration performance. – In: Gwinner, E. (ed.). Bird migration: physiology and ecophysiology. Springer-Verlag, Heidelberg, pp. 283–299.
Rayner, J. M. V. 1993. On aerodynamics and the energetics of vertebrate flapping flight. – In: Cheer, A. Y. and van Dam, C. P. (eds). Fluid dynamics in biology. Contemporary Maths, Vol. 141. American Mathematical Society, Providence, pp. 351–400.
Rayner, J. M. V. 1995. Dynamics of the vortex wakes of swimming and flying vertebrates. – Symp. Soc. exp. Biol. 69: 131–155.
Rayner, J. M. V. 1996. Biomechanical constraints on size in flying vertebrates. – In: Miller, P. J. (ed.). Miniature vertebrates. Symp. Zool. Soc. Lond., Oxford University Press, pp. 83–109.
Reist, J. D. 1985. An empirical evaluation of several univariate methods that adjust for size variation in morphometric data. – Can. J. Zool. 63: 1429–1439.
Rensch, B. 1938. Einwirkung des Klimas bei der Ausprägung von Vögelrassen, mit besonderer Berücksichtigung der Flügelform und der Eizahl. – Proc. 8th Int. Orn. Congr: 285–311.
Reyment, R. A. 1991. Multidimensional palaeobiology. – Pergamon Press, Oxford.
Rising, J. D. and Somers, K. M. 1989. The measurement of overall body size in birds. – Auk 106: 666–674.
Rohlf, F. J. and Bookstein, F. L. 1987. A comment on shearing as a method for “size-correction”. – Syst. Zool. 36: 356–367.
Rohlf, F. J. and Sokal, R. R. 1995. Statistical tables. – W. H. Freeman, New York.
Sampson, A. F. and Siegel, A. F. 1985. The measure of “size” independent of “shape” for multivariate lognormal populations. – J. Am. Stat. Ass. 80: 910–914.
Saville, D. B. O. 1957. Adaptive evolution in the avian wing. – Evolution 11: 212–224.
Seebba, S. and Lövei, G. L. 1986. Winter residence, sex ratio, and wing shape of goldcrests (Regulus regulus) and firecrests (R. ignicapillus) on a southern Italian island. – Vogelwarte 33: 220–225.
Seebohm, H. 1880. Siberia in Europe: a visit to the Valley of the Petchora in North-East Russia. – John Murray, London. Reprinted in The Birds of Siberia. – John Murray, London, 1901.
Seebohm, H. 1882. Siberia in Asia: a visit to the Valley of the Yenesay in East Siberia. – John Murray, London. Reprinted in The Birds of Siberia. – John Murray, London, 1901.
Senar, J. C., Lleonart, J. and Metcalfe, N. B. 1994. Wing-shape variation between resident and transient wintering Siskins Carduelis spinus. – J. Avian Biol. 25: 50–54.
Shea, B. T. 1985. Bivariate and multivariate growth allometry: statistical and biological considerations. – J. Zool. Lond. A 206: 367–390.
Sibley, C. G. and Ahlquist, J. E. 1990. Phylogeny and classification of birds. A study in molecular evolution. – Yale University Press, New Haven.
Sokal, R. R. and Rohlf, F. J. 1995. Biometry. – W. H. Freeman, New York.
Siegel, S. and Castellan, N. J. 1988. Nonparametric statistics for the behavioral sciences. – McGraw-Hill, New York.
Somers, K. M. 1986. Multivariate allometry and removal of size with principal components analysis. – Syst. Zool. 35: 359–368.
Somers, K. M. 1989. Allometry, isometry and shape in principal components analysis. – Syst. Zool. 38: 169–173.
Stegmann, B. K. 1962. Die verkürmte distale Handschwinge des Vogelflügels. – J. Orn. 103: 50–85.
Stresemann, E. 1963. Variations in the number of primaries. – Condor 65: 449–459.
Sundberg, P. 1989. Shape and size-constrained principal components analysis. – Syst. Zool. 38: 166–168.
Sundevall, C. J. 1834. On the wings of birds. – Ibis 4: 389–457, 1886.
Swaddle, J. P. and Witter, M. S. 1994. Food, feathers and fluctuating asymmetry. – Proc. R. Soc. Lond. B 255: 147–152.
Tiainen, J. 1982. Ecological significance of morphometric variation in three sympatric Phylloscopus warblers. – Ann. Zool. Fenn. 19: 285–295.
Tiainen, J. and Hanski, I. K. 1985. Wing shape variation of Finnish and central European Willow Warblers Phylloscopus trochilus and Chiffchaffs P. collybita. – Ibis 127: 365–371.
Tsvyelyikh, A. N. 1983. Forma vyershiny kryila ptits i yeye otsyenka. [Form of the bird wing tip and its measurement.] – Vestn. Zool. (6): 54–58. (In Russian.)
Tsvyelyikh, A. N. 1989. Izmyeneniye formy vyershiny kryila v ontogenyeye u soroki (provjerka dvuh gipotez). [Ontogenetic changes in wing tip shape in magpies (testing of two hypotheses).] – Zh. obshch. Biol. 50: 541–544. (In Russian.)
Tsvyelyikh, A. N. and Dyadicheva, E. A. 1986. Pravilo Siboma i polo-vozrastnyye razlichiya v formye vyershiny kryila u zyablika. [Seebohm’s rule and age and growth variation in the wing tip shape of chaffinches] – Vestn. Zool. (2): 50–54. (In Russian.)
Tsvyelyikh, A. N. and Goroshko, O. A. 1991. Vozrastnoy dimorfizm v formye vyershiny kryila u dyerevyevskikh lastochyek (Hirundo rustica). [Age dimorphism in the form of the wing tip in the swallow Hirundo rustica.] – Zool. Zh. 70: 87–90. (In Russian.)
Tucker, V. A. 1993. Gliding birds: reduction of induced drag by wingtip slots between the primary feathers. – J. exp. Biol. 180: 285–310.
Tucker, V. A. 1995. Drag reduction by wing tip slots in a gliding Harris hawk, *Parabuteo unicinctus*. – J. exp. Biol. 198: 775–781.
Tugarinov, A. Ya. 1946. K voprosu ob izmenchivosti krylya u pyrevelyetnyikh ptits. [On the question of the variation of the wing and migration of birds.] – Trudy zool. Inst., Leningr. 8: 221–237. (In Russian.)
Ward, P. 1964. A suggested relationship between the wing shape of migrants and migratory fat. – Ibis 106: 256–257.
Weber, T. P., Houston, A. I. and Ens, B. J. 1994. Optimal departure fat loads and stopover site use in avian migration – an analytical model. – Proc. R. Soc. B 258: 29–34.
Winkler, H. and Leisler, B. 1985. Morphological aspects of habitat selection in birds. – In: Cody, M. L. (ed.), Habitat selection in birds. Academic Press, New York, pp. 435–444.
Winkler, H. and Leisler, B. 1992. On the ecomorphology of migrants. – Ibis 134 (suppl. 1): 21–28.
Yakobi, V. E. 1964. Ekolovo-morfologicheskoje issledovaniye polyeta dikikh i domashnikh golubey. [Eco-morphology of flight in wild and captive pigeons.] – In: Yakobi, V.E., Kokshaiskii, N. V. and Borodulina, T. L. (eds). Funktsional'naya morfologiya ptits [Functional morphology of birds]. Nauka, Moscow, pp. 15–32. (In Russian.)
Yakobi, V. E. 1966. Morfo-ekologicheskiye prisooblyeniya k skorostnomu polyetu u ptits. [Morpho-ecological adaptations of birds for swift flight.] – In: Kleinenberg, S. E. (ed.). Mekhanizmi polyeta i orientatsii ptits [Mechanisms of flight and orientation of birds.] Nauka, Moscow, pp. 64–81. (In Russian.)
Yong, W. and Moore, F. R. 1994. Flight morphology, energetic condition, and the stopover biology of migrating thrushes. – Auk 111: 683–692.
Zar, J. H. 1984. Biostatistical analysis. – Prentice Hall International, Englewood Cliffs, N.J.
(Received 4 September 1995, revised 24 April 1996, accepted 3 May 1996)
**Appendix 1. Size-corrected components analysis (SCCA)**
This appendix describes a modification to principal components analysis (PCA) which incorporates a rigorous geometric model of size, defined, in most cases, as that axis which maintains constant isometric shape. It is intended for morphometric problems that have defined shape isometry, and is applicable to other cases in which it is necessary to constrain variation relative to an externally-imposed vector or geometry. The method is presented here for $p$ variates $X$ which are logarithmically transformed and standardized (for rationale see main text, also Bookstein et al. 1985, Rayner 1985); logarithmic transformation is not essential, but is convenient when the size vector, and associated hypotheses, are formulated in power-law form. The method is derived from a discriminant function method of Burnaby (1966), which is also extended by derivation of the appropriate form of the isometric size vector with a standardized multivariate sample.
Principal components analysis (PCA) is frequently used in morphometric studies because it often reduces dimensionality, and produces a set of $p$ orthogonal principal components which may be easier to interpret than direct measurements with a complex correlation structure. When most of the variates are dimensions of organisms spanning a reasonable size range, the first principal component ($PC_1$) is likely to be positively weighted to all input variates, and is usually interpreted as a measure of size (e.g. Shea 1985, Bookstein 1989; for examples see Chandler and Mulvihill 1988, Rayner 1988, Rising and Somers 1989, Leisler and Winkler 1991). The remainder of the variance is encompassed in the remaining principal components ($PC_2$–$PC_p$) which are deemed to be independent of size and are usually identified as measures of shape. Those components with small eigenvalues, representing insignificant partitions of the sample variance, can be ignored.
A limitation of PCA is that the terms ‘size’ and ‘shape’ are poorly defined. Since the formulae for the component loadings depend on the sample, they have no predictable geometric interpretation. In many morphometric problems both terms ‘size’ and ‘shape’ are ambiguous, and there is considerable confusion in the literature surrounding their use. Bookstein (1989) has reviewed PCA and other measures of size and shape in multivariate morphometrics, and has made a strong case for the need for greater precision in the definition of these quantities: “we may see fewer arguments over what size and shape are supposed to mean, and fewer arguments that size-your-style does not have property-X-ray-style.” Similar confusion surrounds the terms ‘isometry’ and ‘allometry’, which are used to describe the extent to which shape depends on size: these can only be consistently meaningful in the context of a rigorous geometric definition of size (and shape). With a strict geometric definition, a sample can be said to obey isometric scaling if shape is independent of size, and to show positive or negative allometry according to whether a shape variable increases or decreases as size increases (e.g. Rayner 1985, 1996). If shape and size are ill defined, and if they partition variance to different extents when estimated by different methods, allometry cannot be uniquely quantified. Allometry is an important biological phenomenon (e.g. Gould 1966), and arises frequently in the course of growth, or as a consequence of adaptation within size-dependent constraints (e.g. Rayner 1988, 1996). The investigator must often expect *a priori* that shape will depend upon size; a goal of a morphometric study may be to quantify allometry or to test its significance, or to control for the effects of size and/or allometry before testing hypotheses about shape. The principal component method, although it appears to separate ‘size’ and ‘shape’ into independent components, cannot give a robust model of the geometrical relationships of the variates in the presence of allometry.
Various other methods have been proposed to separate size and shape (for reviews see Humphries et al. 1981, Reist 1985, Bookstein 1989), but all reflect different, and often inconsistent, definitions of size. The two most familiar methods correct each variate for size independently. Variates can be converted to ratios, so that if $X_i$ is expected to vary with a certain size variate $X_s$, then $X_i$ is replaced by $X'_i = X_i / X_s^{b_i}$, and subsequent analyses are performed with the $p - 1$ variates $X'_i$ to $X'_n$. In general the first principal component is no longer positively weighted with all the $X'_i$, because scaling has eliminated variation with size. This approach is unsatisfactory because $X_s$ is unlikely to encompass all size variation, because it may not be possible to choose a single most appropriate $X_s$, and because ratios are subject to severe statistical and conceptual difficulties and rarely satisfy the normality and linearity criteria required for methods such as PCA (Atchley and Anderson 1978, Humphries et al. 1981). (It should be noted that the use of wingtip shape indices as variates in a PCA is an example of this method, and would be subject to the problems inherent in the use of ratios.)
A more sensitive approach is to compute $X'_i$ as the regression residual $X'_i = X_i / X_s^{b_i}$, where $b_i$ is determined from the sample as the log-linear regression coefficient of $X_i$ on $X_s$ (Humphries et al. 1981); for examples of this method see Senar et al. (1994) and Mönkkönen (1995). As with the method above, this approach remains subject to statistical limitations of ratios, and can only eliminate that component of size which is measured by $X_s$. Both methods are highly sensitive to measurement errors in $X_s$, but their more serious limitation is that they do not provide an unique measure of size. This information is retained in the principal component approach as $PC_1$, albeit confounded by the apparent, though illusory, removal of allometry.
Two approaches are available to circumvent these problems. Humphries et al. (1981), Bookstein et al. (1985) and Rohlf and Bookstein (1987) have developed a ‘shearing’ path analysis model by which size is extracted by regression of the individual
PCA component loadings on a within-group size component (for a similar method see also Sampson and Siegel (1985)). This method is intended primarily for landmark or Cartesian co-ordinate data, and is not intended for size correction or control. The primary limitation of shearing for our purposes is that it determines the measure of size from the sample, and therefore the numerical measure and the structural formulation of size are dependent on the sample measured and the variates chosen, and as with PCA could have no consistent geometric interpretation between different analyses of the same phenocline.
For problems in which strict control of geometry and of the definition of size are important, it is preferable to use the growth-invariant discriminant function of Burnaby (1966) (see also Rohlf and Bookstein 1987; Rayment 1991). The method starts with an *a priori* geometric definition of the size vector, $p - 1$ shape variables (some of which may not be significant) are defined to be constant in isometrically similar animals (as isometric measurement functions, *sensu* Mosimann (1970)), then the remaining variable is a measure of *isometric size*. Burnaby's method was originally applied to discriminant analysis, but translates readily to the components problem with a single population. We term the method size-constrained components analysis (SCCA), following the terminology of Sundberg (1989). SCCA is similar to PCA in that it rotates the co-ordinate system to partition variance; the rotation is equivalent to mapping component 1 to the pre-defined size vector, and then performing a PCA on the subsequent components.
Suppose that size is measured by the known vector $g$. Then if $R$ is the sample estimate of the dispersion matrix of the standardized and log-transformed input variates $x$ (i.e. $R$ is the correlation matrix of the unstandardized input variates $\log(X)$), the eigensolution $l$ must minimize $l' R l$ subject to the constraints $|l| = 1$, $l \cdot g = 0$ and $|l| = 1$, and can be written as
$$L - \lambda \cdot I = 0,$$
where
$$L = (I - gg')R$$
(after Burnaby (1966), eqn (5); see also Rohlf and Bookstein (1987) and Rayment (1991)). $L$ is a $p \times p$ idempotent matrix with, at most, $p - 1$ non-trivial eigenvectors; projections of $x$ onto these eigenvectors give the shape components $C_2 - C_p$. The size factor $C_1$ is estimated from the projection of $x$ onto $g$. The first (size) component derived by this method is not an eigensolution, and the components should therefore not be referred to as *principal*.
Somers (1986) proposed an alternative approach to this problem based on an iterative matrix reduction, which has some similarities to the present method. His approach is subject to a number of statistical limitations, in particular its tendency to predict negative eigenvalues (Rohlf and Bookstein 1987, Somers 1986, 1989). Sundberg (1989) raised a number of specific criticisms of Somers' method; problems due to inappropriate data scaling are significant (and were corrected by Somers (1989)), but the problem of non-zero correlations between the size and shape components is neither an error (Somers 1989) nor a disadvantage, and is a valuable feature of both Somers' and Burnaby's methods, as we demonstrate below.
It remains to estimate the size vector $g$. Burnaby (1966) firmly recommended that this should not be estimated from the data themselves, but should be determined independently: this rules out using the first principal component of the within-groups variation (Burnaby 1966, Rayment 1991). Somers (1986) and Rohlf and Bookstein (1987) suggest using the vector
$$g_1 = (p^{-\frac{1}{2}}, p^{-\frac{1}{2}}, \ldots, p^{-\frac{1}{2}}),$$
which they termed an isometric size vector, following Jolicoeur (1963) and Mosimann (1970). $g_1$ is the first eigenvector of a dispersion matrix with all variances equal and all co-variances equal; at first sight it appears the natural choice for the size vector. However, it is misleading to term this vector 'isometric', since it does not measure sample isometry in the geometric sense defined above. This can readily be demonstrated by considering the bivariate case. The dispersion and correlation matrices of a standardized bivariate sample are identical and of the form
$$\begin{pmatrix} 1 & \rho \\ \rho & 1 \end{pmatrix}$$
for some $\rho$; therefore all bivariate samples have 'isometric size' eigenvector $g_1 = (2^{-1/2}, 2^{-1/2})$ and corresponding eigenvalue $1 + \rho$, regardless of the population variance structure. This eigensolution $y = x$ is the bivariate reduced major axis (Rayner 1985), and is not independent of sample variances $v_{xx}$ and $v_{xy}$, since, in the equation for the relation $Y = X^\beta$ between centred unstandardized variates, $\beta = (v_{yy}/v_{xx})^{1/2}$ and is not in general unity. The isometric equation must be of the form $Y = X^1$. The vector $g_1$ is geometrically isometric only in the special case in which all sample variates have equal variance.
To represent sample isometry, $g$ in the standardized space must reflect the centring and standardizing transformations employed to reach that space. Suppose isometric variation in the untransformed sample variates can be written as the line
$$a_1 X_1^{b_1} = a_2 X_2^{b_2} = \ldots = a_p X_p^{b_p},$$
with unit vector of scaling indices
$$G \propto (b_1, b_2, \ldots, b_p),$$
for some $a_i$; the $b_i$ are determined by the geometrical relationships and physical dimensions of the $X_i$ (and in many cases will be identically 1). After log-transformation and standardization the isometric line becomes
$$b_1 V_1^{\frac{1}{2}} x_1 = b_2 V_2^{\frac{1}{2}} x_2 = \ldots = b_p V_p^{\frac{1}{2}} x_p,$$
where $V_i$ is the sample variance of $\log_i(X_i)$. Therefore $g$ (which for convenience has unit modulus) should be proportional to the vector
$$(b_1^{-1} V_1^{-\frac{1}{2}}, b_2^{-1} V_2^{-\frac{1}{2}}, \ldots, b_p^{-1} V_p^{-\frac{1}{2}}).$$
The geometry of this transformation of the isometric vector and the SCCA method is illustrated in Fig. 6. The key feature of this method is that the geometry of the isometric vector is prescribed *a priori* in the sample dataspace (in the transformed and standardized dataspace $g$ will depend on the sample variances). If all the $X_i$ have the same physical dimension (for instance they are all measurements of length) and the size hypothesis is that they vary isometrically with one another, then all the $b_i$ are unity. This is not always the case: if for example the sample comprised three variates mass, wingspan, wing area (as in Norberg and Rayner (1987) and Rayner (1988)), then the isometric similarity hypothesis would be represented by $b_1 = \frac{1}{3}$, $b_2 = 1$ and $b_3 = \frac{2}{3}$.
The result of SCCA is a vector $C_i$ of component loadings for each sample. As in PCA, it is convenient to standardize the loadings, though in some applications it may be appropriate not to standardize the $C_1$ so that the size measure is not dependent on the sample. Small eigenvalues of $L$ are associated with insignificant components of variance, and may be identified by the same tests as used for PCA, but applied only to the $p - 1$ shape components. Correlations $\rho_i$ between $C_1$ and the $C_2 - C_p$ scores are not in general zero, and can be used
to test the significance of allometry either of each component, or, using the multiple correlation coefficient
$$\rho = \left( \sum_{i=2}^{p} \rho_i^2 \right)^{\frac{1}{2}},$$ \hspace{1cm} (A9)
with $N - p - 1$ d.f., of pooled allometry (Fig. 6d); in the two-dimensional case $\rho_2$ is equivalent to the expected slope regression test for allometry (Rayner 1985).
In real applications for which PC$_1$ would be an acceptable measure of size, the components derived by SCCA will normally differ only slightly from those of conventional PCA, even when allometry is significant. SCCA can be obtained from PCA by an orthogonal rotation. The distinction between them is in the partitioning of variance. In PCA, PC$_1$ is that linear combination of the variates which explains maximum variance, and although conveniently described as 'size' will differ from isometric size unless allometry is absent because it must include some shape variation. PC$_2$–PC$_p$ are measurements of shape independent of allometry. In applications such as our measurement of avian wingtip geometry where an exact quantification of shape is needed, the inclusion of allometry in PC$_1$ is disruptive. Two animals with identical wingtip geometry but differing isometrically in size would have different PCA size components, but would also have different shape components. PCA cannot identify consistency of geometric shape. By defining a size vector $a$ priori, SCCA circumvents this problem: these two animals will have identical shape components, and their size components C$_1$ will differ by the exact ratio of the linear dimensions. In SCCA, C$_1$ is defined to measure size only, and subsequent shape components are geometrically orthogonal to it (though the sample correlations between size and shape components need not be zero; Fig. 6d). The method is valid for any definition of the size vector $g$, but when all input variates are linear measurements, there is a natural $a$ priori formulation of size as isometry. Like PCA, SCCA is intended for use with a multivariate normal sample, but usually responds well with samples which are not normally distributed. The advantages of SCCA lie in its explicit formulation of size in terms of a shape measurement function, in its retention of the most useful properties of PCA (sequentially partitioned variances, uncorrelated shape components), and in its explicit quantification of the magnitude of allometry.
**Appendix 2. Formulae for SCCA components**
The wingtip shape indices derived in this study can be calculated directly from the formulae below. C$_1$ is a measure of isometric size. C$_2$ and C$_3$ are measures of wingtip pointedness (−) and convexity, respectively. Q$_1$–Q$_8$ are the lengths of primaries 1 to 8, numbered ascendingly from the distal leading edge of the wing, but omitting any vestigial distalmost primaries (see text).
$$e^{C1} = 4.705 \times 10 - 4Q_1^{0.209}Q_2^{0.200}Q_3^{0.198}Q_4^{0.195}Q_5^{0.192}$$
$$\times Q_6^{0.192}Q_7^{0.204}Q_8^{0.210}$$ \hspace{1cm} (A10)
$$e^{C2} = 3.332Q_1^{-3.490}Q_2^{-1.816}Q_3^{-0.893}Q_4^{-0.003}$$
$$\times Q_5^{0.829}Q_6^{0.351}Q_7^{1.660}Q_8^{2.363}$$ \hspace{1cm} (A11)
$$e^{C3} = 0.0879Q_1^{-6.233}Q_2^{1.683}Q_3^{0.033}Q_4^{2.721}Q_5^{3.955}$$
$$\times Q_6^{1.349}Q_7^{-3.185}Q_8^{-6.326}$$ \hspace{1cm} (A12)
|
IN THE CIRCUIT COURT OF THE
FIFTEENTH JUDICIAL CIRCUIT IN AND
FOR PALM BEACH COUNTY, FLORIDA
GENERAL JURISDICTION DIVISION
CASE NO.:
MARGARET SCHULTZ,
Plaintiff, on Behalf of a Putative Class,
vs.
AMERICAN AIRLINES, INC.
a foreign for-profit corporation,
Defendant.
CLASS REPRESENTATION
COMPLAINT
Plaintiff, Margaret Schultz, individually and on behalf of a putative class of similarly situated individuals, sues Defendant, American Airlines, Inc., for damages stemming from American’s purposeful, systematic, and profit-driven breach of contracts with its airline customers, and states:
I. PARTIES, JURISDICTION, AND VENUE
1. Plaintiff is a citizen of Florida who resides in Palm Beach County.
2. America Airlines, Inc. (“American”) is a corporation organized and existing under the laws of Delaware.
3. American’s headquarters and principal place of business are in Fort Worth, Texas.
4. The putative class (referred to herein collectively as the “putative Class” or the
“Class,” and individually as a “Class Member” or the “Class Members”) consists of citizens of the various United States, including residents of Florida and Palm Beach County. As to all utterances herein, the Class includes Plaintiff.
5. A Class aggregate of greater than $15,000, exclusive of costs, fees, and interest, is at issue, as:
a. The Class is likely to exceed 250 persons, as:
i. Tens of thousands of airline flights are booked on American’s website, aa.com, each day;
ii. The offending conduct is fueled by profit motive and is systematic and not incidental;
iii. Plaintiff herself was victimized by the offending conduct no less than three times in five months;
iv. Internet message boards and other consumer forums are rife with complaints of the offending conduct; and
b. The known instances of the offending conduct projects that each Class Member incurred approximately $30 in damages.
6. At all material times, American subjected itself to the jurisdiction of the Courts of Florida via the state’s long-arm jurisdiction provision, Fla. Stat. § 48.193, by:
a. Maintaining regularly functioning business offices in Florida;
b. Operating, conducting, engaging in, and carrying on its business—including the marketing and selling of commercial airline tickets and operation of commercial flights—in Florida, both in various airports and other establishments throughout the state, and by reaching into Florida via the
c. While reaching into Florida from other states via the Internet as part of its regular business practices, committing the wrongful acts and omissions alleged herein against various Class Members, who at the time of such acts and omissions were, as American knew, in Florida;
d. Causing injury by breaching contracts while the breaching American agents were physically outside of Florida but:
i. While American was engaged in solicitation and service activities in Florida; and
ii. While American’s services were sold, used, and consumed within Florida in the ordinary course of trade and commerce;
e. Consummating and breaching contracts with Plaintiff and other Class Members at times when American knew that such Class Members were in Florida and would suffer harm from American’s actions herein;
f. Through its continuous and systematic business practices, establishing Florida’s general jurisdiction over American such that it could at any time reasonably be haled into court herein for acts and omissions occurring in Florida and elsewhere; and
g. Operating so regularly and establishing contacts so pervasive in Florida that the state courts’ jurisdiction over American is consistent with due process and traditional notions of fair play and substantial justice.
7. As Plaintiff accessed her computer in Palm Beach County, American intentionally reached into the county via the Internet and induced Plaintiff to enter into the
contract at issue through direct marketing to a consumer it knew, on account of America’s sophisticated information technology system, was located in the county.
8. Knowing Plaintiff was at the time located in Palm Beach County, American entered into (and breached) the contract at issue in the county\(^1\), knowingly causing harm to Plaintiff in Palm Beach County and effecting accrual of Plaintiff’s action, as defined by Fla. Stat. § 47.011, in the county.
9. Palm Beach County is home to more than 1.3 million people, has the fifth-highest per-capita income of all Florida counties, is a center for tourism and seasonal living, and contains an international airport and numerous corporate headquarters. These factors correlate with disproportionately frequent air travel to and from the county, and thus the citizens of Palm Beach County are, relative to the average county in the United States, disproportionately likely to fall victim to the contractual breaches by American that are described herein. As such, Palm Beach County is an ideal forum.
10. Based on the foregoing, jurisdiction lies, and venue is proper and convenient, in this Circuit Court of the Fifteenth Judicial Circuit in and for Palm Beach County, Florida.
\(^1\) “[A] contract is made at the place where the last act necessary to complete the contract is done.” *Jemco, Inc. v. UPS*, 400 So. 2d 499, 500 (Fla. 3d DCA 1981); *See also Prime Ins. Syndicate, Inc. v. B.J. Handley Trucking, Inc.*, 363 F.3d 1089, 1092-93 (11th Cir. 2004) (“The determination of where a contract was executed is fact-intensive, and requires a determination of where the last act necessary to complete the contract was done.”) (internal citation omitted).
II. FACTUAL ALLEGATIONS
11. Plaintiff incorporates by reference Paragraphs 1 through 10 as though fully set forth herein.
12. By every meaningful measure—fleet size, flights offered, passengers flown—American is the largest airline in the world.
13. The majority of American flights are purchased through its website, aa.com.
14. To maximize profitability, American hires computer engineers to continually manipulate flight prices by, *inter alia*, tracking behavior through Internet “cookies” and other machinations and changing prices on consumers whom American learns will pay a higher price based on their browsing histories.
15. Among its most nefarious practices is the “bait-and-switch” that forms the basis of this lawsuit and that has substantially harmed thousands of United States airline consumers.
16. On May 25, 2017, American listed for purchase on its website a flight from Ronald Reagan Washington National Airport (“DCA”) to Miami International Airport (“MIA”).
17. In plain and unequivocal language, American offered a completely delineated and specific service—airfare and all accompanying taxes and fees, including baggage and seat fees, from DCA to MIA, on an identified aircraft, with an identified flight number, that was to leave DCA and land at MIA at a definite time on a definite date—for a clear and unmistakable price: $197.
18. In posting this offer, American announced to all potential customers searching for flights on aa.com from DCA to MIA, including Plaintiff, that they could accept
American’s offer and purchase this specific service—to be performed at on an allotted date, at an allotted time, from an allotted place, on an allotted aircraft, with an allotted flight number, in an allotted seat—and that they must manifest their acceptance, if at all, in this exclusive manner: Entering passenger biographical and valid payment information, then clicking the “Pay now” button on the aa.com purchase screen.
19. Because it was actively manipulating prices for this flight and because it purposefully utilizes the web cache system described in more detail herein, American at all material times knew that the payment screen would continue to display the offer and exact terms until the “Pay now” button was clicked by a customer who had entered his or her information and the customer paid $197 to American.
20. For the same reasons, American also knew that it was offering to Plaintiff a contract it intended to breach.
21. Plaintiff saw the aforementioned offer, entered all of the biographical information required by American for acceptance of the offer, and entered all of the payment information required by American—which information was valid and of a type explicitly accepted by American—for acceptance of the offer.
22. After completing all steps necessary to accept American’s offer, under the terms of acceptance set out by American itself, except for clicking “Pay now,” Plaintiff could see on the buying screen that the exact flight, on the exact date, exact flight time, exact flight number, exact departure location, exact arrival location, and exact seat number were indeed being offered for purchase for an exact price: $197.
23. As Plaintiff centered her computer cursor on the “Pay now” button—the clicking of which was, per American’s own indication, the only task remaining to fully accept
American’s clearly delineated offer, American had created a reasonable expectation in Plaintiff, as an objectively reasonable consumer, that American had a willingness to enter into a contract with Plaintiff pursuant to the terms annunciated above.
24. Moreover, as it followed entry of information for a valid form of payment, explicitly authorized by American and backed by more than sufficient funds, Plaintiff’s click of the “Pay now” button paid American and constituted completion of the only substantial performance obligation Plaintiff had under the established contract.
25. Instead of performing as agreed, American immediately breached the contract, refusing to perform as promised and putatively revoking its offer (which revocation was wholly ineffective because it came after acceptance\(^2\)).
26. The May 25, 2017 incident giving rise to this action was the third time, since October of 2016, that American had refused to provide promised airfare to Plaintiff after Plaintiff had purchased tickets in a manner substantially identical to the May 25th purchase.
27. On May 25th, after American refused to honor its contract with Plaintiff regarding the $197 DCA-MIA flight, it raised the price to $297.\(^3\)
28. Though upset at American’s contractual breach, Plaintiff, left with no choice and in a manner substantially identical to her purchase of the $197 ticket, decided to purchase
\(^2\) See Note 11, infra.
\(^3\) American’s tactic is a classic bait and switch, albeit refurbished for the Internet age. *See Izadi v. Gus Machado Ford*, 550 So. 2d 1135, 1139 n.8 (Fla. 3d DCA 1989) (“‘Bait and switch’ describes an offer which is made not in order to sell the advertised product at the advertised price, but rather to draw the customer to the store to sell him another similar product which is more profitable to the advertiser.”) (internal citations omitted). The Class would undoubtedly have a sound false-advertising claim, Fla. Stat. § 817.44, and Florida Deceptive and Unfair Trade Practices Act claim, Fla. Stat. § 501.201 et seq., but for preemption of these provisions by the Airline Deregulation Act of 1978, codified at 49 U.S.C. § 40101 et seq.
the $297 ticket.
29. After she did so, American again failed to perform, breaching the contract regarding the $297 ticket in substantially the identical manner in which it breached the contract regarding the $197 ticket. When Plaintiff clicked “Pay now” and paid American $297 via the same process and payment method as the $197 ticket, American refused to provide the promised services, returned the $297 payment, and claimed the ticket price was now $379.
30. Not wanting to pay $379 for a ticket she had previously purchased for $197, Plaintiff decided to use points from her account with American’s frequent flyer program, AAdvantage, to purchase her ticket.
31. Plaintiff ultimately used AAdvantage points worth the equivalent of $320 to purchase a ticket on the same DCA-MIA flight, in the same or substantially the same seating class, as the ticket she had previously purchased for $197.
32. American’s breach of its contract with Plaintiff for the $197 ticket\(^4\) is part of a systematic and purposeful effort by American to dishonestly lure customers with contracts it knows it cannot honor, then fatten its coffers after the consumer—having already accepted the contract at a lower price—is forced to pay more for the same service.
33. American has ascertained, through millions of observations of millions of flight bookings on its website and other forms of data mining, that once consumers decide on an airline, departure airport, arrival airport, flight time, and price level for a specific seat, they will likely pay a higher price for the same seat to avoid the stress associated with changing their flight.
\(^4\) Plaintiff is not suing for the second breach, wherein American refused to honor the parties’ contract for the $297 ticket after it refused to honor the contract for the $197 ticket, or any other of many contracts American made and breached with Plaintiff.
34. Because of this, at the time of Plaintiff’s and each Class Member’s purchase, American used a web cache system that it knew does not update inventory in real time.
35. American knew at all material times that using this system would guarantee it would have to renege on multiple contract offers to customers on a daily basis.
36. During the five years preceding the filing of this action, the Class Members each viewed and purchased a flight offer on aa.com.
37. To purchase their airfare from aa.com, each Class Member—after entering a departure and arrival place, and date, in a screen substantially identical to Screen 1: “Destination,” attached as Exhibit 1—clicked, in order, through a series of screens substantially identical to:
a. Screen 2: “Choose Departure Flight,” attached as Exhibit 2;
b. Screen 3: “Choose Return Flight,” attached as Exhibit 3;
c. Screen 4; “Trip Summary,” attached as Exhibit 4;
d. Screen 5: “Passengers,” attached as Exhibit 5;
e. Screen 6: “Choose Your Seat,” attached as Exhibit 6; and
f. Screen 7: “Review and Pay,” attached as Exhibit 7.
38. When each Class Member was on Screen 7, in plain and unequivocal language, American promised a completely delineated and specific service—airfare and all accompanying taxes and fees, including baggage and seat fees, on an identified aircraft, with an identified flight number, that was to leave one specific airport and land at another at a definite time on a definite date—for a clear and unmistakable price.
39. Because Plaintiff understandably did not screen-shot the payment screen before she clicked “Pay now” and American breached the contract, it is not possible to attach a copy
of her pursuant to Fla. R. Civ. P. 1.130(a).
40. However, Plaintiff warrants that the below screen-shot of the pertinent portions of Screen 7, which screen-shot is also the pertinent portions of Exhibit 7 and is incorporated into Paragraph 43, is substantially identical—except for departure city, destination city, and price—to the contract offer made by American to Plaintiff, on May 25th, that forms the basis of Plaintiff’s breach-of-contract claim. Neither departure city, nor destination city, nor price bear on the identical contract-formation issues encountered by Plaintiff and the putative Class.
41. The below screen-shot of the pertinent portions of Screen 7, which screen-shot is also the pertinent portions of Exhibit 7 and is incorporated into Paragraph 43, is substantially identical—except for departure city, destination city, and price, which vary with each Class Member—to the contract offers made by American to all Class Members, including Plaintiff, that form the bases for the Class’ breach-of-contract claim.
42. The allegations in the preceding two paragraphs allow American to plead with specificity.\(^5\)
43. As evidenced below, American’s offer directly communicated to Plaintiff a promise and commitment to certain and definite terms by which the parties were to be bound:
\(^5\) See Sachse v. Tampa Music Co., 262 So. 2d 17, 19 (Fla. 2nd DCA 1972).
Depart Miami, FL to Denver, CO
Friday, October 6, 2017
| Flight | Depart | Arrive | Travel time | Aircraft | Class | Seats |
|--------|--------|--------|-------------|----------|-------|-------|
| 2424 | 7:02 AM| 9:23 AM| 4h 21m | 738 | Economy | Choose seats |
Return Denver, CO to Miami, FL
Sunday, October 8, 2017
| Flight | Depart | Arrive | Travel time | Aircraft | Class | Seats |
|--------|--------|--------|-------------|----------|-------|-------|
| 1912 | 2:15 PM| 8:11 PM| 3h 56m | 319 | Economy | Choose seats |
Cost summary
Your total $388.40
Includes all taxes and carrier-imposed fees
How do you want to pay for your trip
Select a payment option
- Credit/Debit card
- AMERICAN EXPRESS
- Card number: 11243572282880
- Expiration date: 12/2016
- Security code (CVV): 2231
- First name: Joe
- Middle name:
- Last name: Traveller
- Country: United States
- Billing address 1: 7800 Flyer Street
- City: Miami
- State: Florida
- Postal code: 33133
Email for receipt
- Primary email: email@example.com
- Confirm primary email: firstname.lastname@example.org
I agree to the privacy policy, terms and conditions, refund policy, and conditions of carriage.
Pay now
44. Accordingly, when each Class Member checked the box corresponding to “I agree to the privacy policy, terms and conditions and refund policy,” then clicked “Pay now,” as all Class Members did, they officially accepted American’s valid offer under the terms specified by American and agreed to by American and each Class Member.
45. Through its website, American had announced to the individual Class Members that they could accept American’s offer and purchase a specific service—to be performed at on an allotted date, at an allotted time, from an allotted place, on an allotted aircraft, with an allotted flight number, in an allotted seat—and that they must manifest their acceptance, if at all, in this exclusive manner: Entering passenger biographical and payment information, then clicking the “Pay now” button on Screen 7.
46. Because it was actively manipulating prices for these flights, American knew that the screens being viewed by the Class Members continued to display the offers and exact terms until the “Pay now” button was clicked by each Class Member who had entered his or her valid payment information, i.e., until each Class Member had already completely accepted the contract and had already paid American.
47. Each Class Member saw the specific offer, entered all of the biographical information required by American for acceptance of the offer, and entered all of the payment information required by American—which information was valid and of a type explicitly accepted by American—for acceptance of the offer.
48. After completing all steps necessary to accept American’s offer, under the terms of acceptance set out by American itself, except for clicking “Pay now,” the Class Members could see on the buying screen that the exact flight, on the exact date and bearing the exact flight time, exact flight number, exact departure location, exact arrival location, and exact
seat number, were indeed being offered for purchase for a specified price.
49. As the individual Class Members were poised to hit their respective “Pay now” buttons—clicking on which was explicitly the last and only task remaining to fully accept American’s clearly delineated offer—American had created a reasonable expectation in an objectively reasonable consumer that American had a willingness to enter into a contract with each Class Member pursuant to the terms that American itself had spelled out.
50. Moreover, as it followed entry of information for a valid form of payment explicitly authorized by American, each Class Member’s click of the “Pay now” button effectively paid American and constituted completion of the only substantial performance obligation the Class Members had under the then-established contract.
51. As visible in Exhibit 7 and the excerpt incorporated into Paragraph 43, Screen 7 contains multiple hyperlinks that, when clicked from the screen, open a page containing additional information, which information was substantially the same for each Class Member, varying only as to some hyperlinks and when varying doing so only in departure city, destination city, and price, which individual terms control only the damages of each Plaintiff and in no material way alter a reasonable person’s expectations as to whether he or she was entering into a contract. In order from top to bottom in Screen 7, attached as Exhibit 7, and submitted here as exemplars substantially identical, subject to the above clarification, to those viewed by the Class Members, these pages are titled:
a. “Optional service fees” (Screen 7 hyperlink text: “Bag and optional fees), attached as Exhibit 8;
b. “Reservation & tickets FAQs” (Screen 7 hyperlink text: same as linked page title), attached as Exhibit 9;
c. “Fare, taxes and fees” (Screen 7 hyperlink text: “Price and Tax Information”), attached as Exhibit 10;
d. “Conditions of Carriage” (Screen 7 hyperlink text: same as linked page title), attached as Exhibit 11;
e. “Customer service plan”\(^6\) (Screen 7 hyperlink text: “Refund policy”), attached as Exhibit 12;
f. “Optional service fees” (Screen 7 hyperlink text: same as linked page title) attached as Exhibit 13;
g. “Detailed Fare Rules” (Screen 7 hyperlink text: “terms and conditions”) attached as Exhibit 14; and
h. “Privacy policy” (Screen 7 hyperlink text: same as linked page title), attached as Exhibit 15;\(^7\)
52. None of these pages contained any language that purported to revoke or in any way dilute the firm contract offer that the Class Members accepted pursuant to American’s explicit offers.
53. As to each Class Member, instead of performing as agreed, American immediately breached the contract.
54. At all material times and as to its contract with each Class Member, American
---
\(^6\) To access the “Refunds” portion of the linked “Customer service plan” page that is attached as Exhibit 12, one needs to expand the “Refund” tab, which has been done in the exhibit.
\(^7\) The “Refund policy” link appears twice on Screen 7. The page it links to, “Customer service plan,” is attached once as Exhibit 12. It is not attached twice. Similarly, the link to “Detailed Fare Rules,” appears twice on Screen 7. The second time it appears, the link is named “terms and conditions” rather than “Detailed fare rules.” The page linked to by these links is attached as Exhibit 14. It is not attached twice.
possessed the expertise to avoid falsely offering ticket prices (the bait), then changing the terms after it knowingly strings along the unsuspecting consumer (the switch), but willfully chose not to change the system, for two reasons: (1) It would cost money to purchase the technology, hardware, and software to change the system; and (2) It would cost American hundreds of thousands of dollars in revenue to change the system because it would no longer receive the occasional $20, and even $40, increases in fares from people who, having had their first contract already breached and not wishing to start the process over on another web site, will relent and pay extra money for substantially identical airfare.
55. Due solely to American’s breach, each Class Member ultimately paid more money—ranging, for most Class Members, between $20 and $40—for a ticket on the same or substantially the same flight, in the same or substantially the same seating class, as their original purchased ticket.
III. CLAIMS
COUNT 1: BREACH OF CONTRACT
56. Plaintiffs and the putative Class incorporate by reference Paragraphs 11 through 55 as though fully set forth herein.
57. The Airline Deregulation Act of 1978 does not preempt state breach-of-contract actions between consumers and an airline.\(^8\)
58. American created a reasonable expectation in the Class that American was willing to enter into a contract, by directly expressing to the Class a promise, undertaking, and/or commitment to enter into an agreement under certain and definite terms that
\(^8\) *American Airlines v. Wolens*, 513 U.S. 219, 232-33 (1995).
constituted all terms essential for travel with a common carrier: Date, time, distance, departure site, arrival site, seat number and location, baggage policies, and price.\(^9\)
59. The Class Members believed, as would any reasonable person in their position, that they could exercise the power given to them by American’s offer to consummate the contract by providing all information required by American, including payment information, and clicking the “Pay now” button.
60. Each Class Member manifested his or her assent to be bound by the terms of American’s contract offer by checking a box indicating agreement to terms proposed by American, entering biographical information in the manner specified by American, and paying American in a manner American had deemed acceptable: Entering credit-card information and clicking the “Pay now” button, thereby transferring money to American.
61. At the point at which the individual Class Members clicked “Pay now,” they had accepted American’s offer for a specific service at a specific price, and had performed under the contract by paying American.
62. The money each Class Member paid American constituted valuable consideration.
63. Likewise, American’s promised provision of air carriage to each Class Member constituted valuable consideration.
64. The moment each Class Member clicked “Pay now,” thereby accepting
\(^9\) It is beyond argument that American’s offers to the Class were sufficiently specific to be binding. *See Izadi v. Gus Machado Ford*, 550 So. 2d 1135, 1139 (Fla. 3d DCA 1989) (citing Annot., Advertisement Addressed to Public Relating to Sale or Purchase of Goods at the Specified Price As an Offer the Acceptance of Which Will Consummate a Contract, 43 A.L.R.3d 1102 (1972)).
American’s offer\textsuperscript{10} and performing via payment, American became obligated to uphold its end of the bargain by rendering the services (chiefly, an airline flight) it had promised to provide in exchange for the Class Members’ consideration.
65. After extending an unambiguous offer for a specified service at a specified price and delineating the exact manner by which the Class was to enter into the agreement, and after each Class Member entered into the agreement in that precise manner and performed under the contract by paying American via the Internet, American reneged.
66. American refused to accept the payment each Class Member had made and refused to provide the services it had promised, and in so doing breached its contract with each Class Member.
67. American did not attempt to revoke its contract offer, if at all, until \textit{after} each Class Member accepted the offer by clicking the “Pay now” button\textsuperscript{11} and simultaneously paid
\textsuperscript{10} That this action by the Class constituted acceptance is black-letter law that has been applied recently and uniformly by the courts in the e-commerce context. \textit{See, e.g., Ewers v. Genuine Motor Cars, Inc.}, No. 1:07 CV 2799, 2008 U.S. Dist. LEXIS 21466, at *14 (N.D. Ohio Mar. 18, 2008) (“An enforceable contract existed for the purchase of the van at the time plaintiffs hit the ‘buy it now’ button on EBay.”) (emphasis added); \textit{Devries v. Experian Info. Sols., Inc.}, No. 16-cv-02953-WHO, 2017 U.S. Dist. LEXIS 26471, at *14-15 (N.D. Cal. Feb. 24, 2017) (“The text containing the Terms and Conditions hyperlink was located directly above that button and indicated that clicking ‘Submit Secure [*15] Purchase’ constituted acceptance of those terms.”).
\textsuperscript{11} “If an offer is accepted without conditions, and without varying its terms, and the acceptance is communicated to the other party without unreasonable delay, a contract arises, from which neither party can withdraw at its pleasure.” \textit{Am. Appraisal Assocs. v. Am. Appraisals, Inc.}, 531 F. Supp. 2d 1353, 1358 (S.D. Fla. 2008) (emphasis added) (citing \textsc{RESTATEMENT OF CONTRACTS}, § 64 and \textit{Kendel v. Pontious}, 261 So. 2d 167, 169 (Fla. 1972) (“The trial judge and the District Court of Appeal in the case sub judice correctly held that the acceptance must be communicated to the offeror and that the offeror could revoke the offer provided the communication of such revocation is received [**8] prior to the acceptance.”)); \textit{see also id. at 170} (“the pivotal issue is whether the contract was revoked before acceptance.”) (emphasis added). Here, American attempted to revoke its offer and return the Class Members’ payments \textit{after} acceptance—i.e., too late.
American. Once each Class Member clicked the button, American was in receipt of their payments and unilaterally chose to give them back, thereby breaching the contract after each Class Member had already manifested his or her assent to American’s definitive offer, and after performance under the contract by each Class Member. To the extent American wished to revoke its offer, it was too late.\(^{12}\)
68. No valid justification, at law or in equity, existed for American’s breaches of its contract with any Class Member.
69. As a direct and proximate result of American’s breach, each Class Member was forced to find another airline ticket to replace the ticket he or she had bought and which American refused to honor.
70. Each Class Member, in good faith and without unreasonable delay, found cover in the form of a higher-priced ticket on the same or a substantially similar flight.
71. Each Class Member is entitled to recover from American the benefit of the bargain of the original contract offer, and/or the difference between the cost of their cover and their original contract price with American, plus incidental and consequential damages.
**COUNT 2: UNJUST ENRICHMENT**
72. Plaintiffs and the putative Class incorporate by reference Paragraphs 11
\(^{12}\) The flagship case on the issue, taught in most every law school in America, is *Lefkowitz v. Great Minneapolis Store, Inc.*, 86 NW 2d 689 (Minn. 1957). In *Lefkowitz*, a Minneapolis store published an advertisement stating, “Saturday 9 A.M. Sharp 3 Brand New Fur Coats Worth to $100.00. First Come First Served $1 Each.” *Id.* at 690. Lefkowitz arrived with $1.00, wishing to buy a fur coat. *Id.* The store refused. *Id.* Lefkowitz sued. *Id.* The court held that the advertisement was sufficiently definitive as to constitute a contract offer, and the Lefkowitz, having successfully managed to comply with the terms of the advertisement, and having offered the state purchase price of the article, was entitled to performance on the part of the defendant. *Id.* at 691. *See also Izadi v. Gus Machado Ford*, 550 So. 2d 1135, 1139 (Fla. 3d DCA 1989) (citing *Lefkowitz* holding).
through 55 as though fully set forth herein.
73. As it took from each Class Member the benefit of their bargain with American, and/or the difference in money between their original contract price and their cost of cover, American was conferred a benefit by each Class Member that enriched American to the detriment of each Class Member.
74. American accepted and retained this benefit from Plaintiff and each Class Member, accumulating substantial ill-gotten profit that, on information and belief, it has utilized in its business pursuits and/or to enrich its employees.
75. Under the circumstances described herein, it would be unjust and inequitable to allow American to retain these benefits, as they were obtained through practices that intentionally and effectively misled the Class even though each Class Member acted as reasonable consumers at all material times.
IV. CLASS REPRESENTATION ALLEGATIONS
76. Plaintiff incorporates the foregoing paragraphs by reference as though fully set forth herein.
77. The Class is defined as follows:
All United States residents who: (1) accepted an American Airlines, Inc. offer to buy airfare on the airline’s website by (a) navigating substantially the same airline website screens and content as Margaret Schultz and (b) clicking “Pay now” after entering valid payment information; then (2) were informed by the airline that it was refusing to honor the offer, after which the airline returned the payment; then (3) booked more costly, alternative airfare.
PREREQUISITES FOR CLASS REPRESENTATION (Fla. R. Civ. P. 1.220(a))
78. Certifying and maintaining this cause as a class action is both appropriate and
necessary given the nature of the claims and in light of the following factors:
79. The members of the class are so numerous that separate joinder of each member is impracticable (Fla. R. Civ. P. 1.220(a)(1): Numerosity). Plaintiff conservatively alleges in Paragraph 5, supra, that there are more than 1,000 Class Members. Maintenance of 1,000 separate and nearly identical claims is untenable, would unnecessarily overwhelm the court system, and is best remedied by use of class litigation, which the Supreme Court of the Florida and the Florida Legislature, by adoption of Fla. R. Civ. P. 1.220, have expressed preference for in like circumstances.
80. The claim or defense of the representative party raises questions of law or fact common to the questions of law or fact raised by the claim or defense of each member of the class (Fla. R. Civ. P. 1.220(a)(2): Commonality); and the claim or defense of the representative party is typical of the claim or defense of each member of the class (Fla. R. Civ. P. 1.220(a)(3)): Typicality). A chronology of events common to Plaintiff and to each Class Member demonstrates that American breached contracts with each Class Member in nearly identical fashion. Each Class Member, including Plaintiff, encountered Screen 7, which for each Class Member, including Plaintiff, was identical but for the (1) flight locations and (2) prices—the former of which is irrelevant to any analysis, and the latter of which affects only damages and not liability.\(^{13}\)
\(^{13}\) See, e.g., Butler v. Sears, Roebuck & Co., 727 F.3d 796, 801 (7th Cir. 2013) (“It would drive a stake through the heart of the class action device…to require that every member of the class have identical damages. If the issues of liability are genuinely common issues, and the damages of individual class members can be readily determined in individual hearings, in settlement negotiations, or by creation of subclasses, the fact that damages are not identical across all class members should not preclude class certification. Otherwise defendants would be able to escape liability for tortious harms of enormous aggregate magnitude but so widely distributed as not to be remediable in individual suits. As we noted in Carnegie v. Household Int’l, Inc., 376 F.3d 656, 661 (7th Cir. 2004), ‘the more claimants there
contract with American by the exact same presentation and language by American, each Class Member had their contract with American immediately breached by American in a uniform and summary manner and without justification. Each Class Member, including Plaintiff, then incurred damages—losing the benefit of their bargain and being forced to book substantially identical airfare at a higher price—that can be calculated using the exact same formula. Thus, the only material difference among the Class Members, including Plaintiff, is as to the amount of total damages of each Class Member. An individual determination as to damages among a Class harmed by a defendant’s uniform and systematic wrongs is insufficient to defeat class certification, and indeed such a scenario demands class action as the only option conducive to judicial economy.
Among the numerous questions of law and fact common to Plaintiff and to each Class Member are:
a. Whether American’s display on Screen 7—which as indicated above was viewed identically by Plaintiff and every Class Member—constitutes an offer or, rather, is an invitation to bargain;
b. Whether, under the circumstances encountered on a uniform basis on the payment screen by Plaintiff and all Class Members, a reasonable person in a Class Member’s position would believe that American was willing to enter into an agreement under the terms proposed on the screen;
are, the more likely a class action is to yield substantial economies in litigation. It would hardly be an improvement to have in lieu of this single class 17 million suits each seeking damages of $15 to $30…The realistic alternative to a class action is not 17 million individual suits, but zero individual suits, as only a lunatic or a fanatic sues for $30.”)) (emphasis added); see also In re Checking Account Overdraft Litig., 307 F.R.D. 656, 666 n.5 (S.D. Fla. 2015) and Philip Morris USA, Inc. v. Douglas, 110 So. 3d 419, 429 (Fla. 2013).
c. Whether American’s uniform offers as appear on the screen manifest an assent to be bound by the terms therein;
d. Whether the Class Members manifested assent to the terms through the uniform actions they took as they moved through the various aa.com screens;
e. Whether a valid contract was formed at the moment each Class Member clicked “Pay now”;
f. Whether entering valid payment information and clicking “Pay now” constituted performance under the contract by each Class Member;
g. Whether the Class’ breach-of-contract actions are preempted by the Airline Deregulation Act of 1978, 49 U.S.C. § 40101 et seq.;
h. Application of contract-formation principles regarding when advertisements constitute offers—which principles have been deeply embedded in the common law and do not vary in any significant manner among the laws of each state—to the contract-formation issue that is uniform among all Class Members;
i. Whether the putative choice-of-law clause contained on the bottom of American’s website—a pure “browse-wrap” agreement—was sufficiently conspicuous as to put the Class on notice that Texas law applies;
j. Whether the choice-of-law clause is unenforceable as violative of the public policy embodied in the Airline Deregulation Act of 1978, 49 U.S.C. § 40101 et seq.; and
k. Whether the aforementioned choice-of-law clause is unenforceable as unconscionable.
81. The representative party can fairly and adequately protect and represent the
interests of each member of the class (Fla. R. Civ. P. 1.220(a)(4): Adequacy). Plaintiff is *sui juris*, intelligent, honest, and fair. She is a responsible, law-abiding citizen who believes that if a person (or entity) promises to do something, she or he (or it) should follow through with that guarantee, including honoring bargained-for agreements. Plaintiff raises this claim to pursue justice on behalf of all consumers who have been wronged by American, which, buoyed by sheer size and in the interest of profit, has taken advantage of customers via deceptive practices. Plaintiff is an ideal class representative.
**TYPE OF CLASS ACTION (Fla. R. Civ. P. 1.220(b))**
82. Satisfaction of either subsection (b)(1), (b)(2), or (b)(3) of Fla. R. Civ. P. 1.220 would allow this action to proceed in class form; this action is especially conducive to class action and disposition in that it meets all three criteria:
83. The prosecution of separate claims or defenses by or against individual members of the class would create a risk of either inconsistent or varying adjudications concerning individual members of the class which would establish incompatible standards of conduct for the party opposing the class, and adjudications concerning individual members of the class which would, as a practical matter, be dispositive of the interests of other members of the class who are not parties to the adjudications, or substantially impair or impede the ability of other members of the class who are not parties to the adjudications to protect their interests (Fla. R. Civ. P. 1.220(b)(1). If actions are pursued individually, and one court or jury rules that American’s uniform actions toward its customers constituted a breach of contract and another adjudicates that it did not, the result would be untenable. The upshot would be American being told by one court that its actions constitute a breach of contract, and told by another court that its actions are legitimate and as such American can
continue to operate in such a manner. Moreover, given the nearly identical nature of the claims, under collateral estoppel and *res judicata*, if thousands of claims are brought individually, the adjudications of individual members would likely be dispositive as to future claimants' rights, and thus these very important rights would essentially be decided in the subsequent plaintiffs' absence. Additionally, in lieu of class representation, early settlements of some cases could lessen the pool of money available to subsequent claimants, leading to an unjust result whereby an identically aggrieved plaintiff recovers nothing merely because he or she filed suit after many other plaintiffs.
84. The party opposing the class has acted or refused to act on grounds generally applicable to all the members of the class, thereby making final injunctive relief or declaratory relief concerning the class as a whole appropriate (Fla. R. Civ. P. 1.220(b)(2)). As shown *supra*, American has harmed every Class Member in substantially identical fashion. Declaratory and/or injunctive relief would signal to all Class Members whether they have a valid claim, furthering the interests of efficiency and finality.
85. The questions of law or fact common to class members predominate over any questions affecting only individual members and class action is superior to other available methods for fairly adjudicating the controversy (Fla. R. Civ. P. 1.220(b)(3)). As Paragraph 80, *supra*, demonstrates, dozens of questions of law or fact, which will control whether the Class is entitled to relief, are common to all Class Members. There is only one issue that varies with each individual Class Member: Dollar amount of damages, which will be determined pursuant to the same rubric as to all Class Members. Because meting out damages will be formulaic and because every other issue is the same for every Class Member, class action without question is the manner in which to resolve this dispute that most furthers
the interest of judicial economy. Among all methods of adjudication, class action will be fairest for all parties and will reduce the burden on the courts, and will reduce attorney’s fees and costs for all parties.
VII. REQUEST FOR RELIEF
WHEREFORE, based on the foregoing, Plaintiff individually, and Plaintiff on behalf of the putative Class, respectfully prays that the Court: Enter an order deeming Plaintiff the representative of the Class and the law firms below counsel for the Class; enter judgment for Plaintiff and the Class; and award money damages, costs, and pre- and post-judgment interest as allowed by law to the Class, and a reasonable attorney’s fee to Class counsel.
VIII. JURY TRIAL DEMAND
Plaintiff and the Class hereby demand a trial by jury as to all issues so triable.
Respectfully Submitted By:
/s/ MK
MASON KERNS (FBN 91754)
email@example.com
firstname.lastname@example.org
MASON KERNS LAW, P.A.
350 South Miami Avenue, Suite 2404
Miami, Florida 33130
P. 305.725.8300 | F. 305.725.8305
ROBERT E. BURKETT, JR. (FBN 545074)
email@example.com
BURKETT LAW OFFICE
5237 Summerlin Commons Blvd. Suite 217
Fort Myers, Florida 33907
239.275.2145
Attorneys for Plaintiff
|
Prelude “Great Is Thy Faithfulness” arr. Bish
Chiming of the Hour
Welcome
Call to Worship
We come. We wait.
**We long. We hope.**
We suffer. We pray.
**We rejoice. We sing.**
We know we are children of God.
**We wait for Christ to set all things right.**
Prayer of the Day
Almighty God, in Jesus Christ you opened for us a new and living way into your presence. Give us pure hearts and constant wills to worship you in spirit and in truth; through Jesus Christ our Lord, who lives and reigns with you and the Holy Spirit, one God, now and forever. **Amen.**
* Hymn #321 “The Church’s One Foundation”
Call to Confession
There is goodness within us that grows like fresh wheat. There is also sin within us that chokes that wheat like weeds. Let us bring all of who we are to God, who can separate out what is good, so that we are not overcome with evil.
Prayer of Confession
**Ever-present God, there is no place where you are not with us. You see us at our worst and at our best. There is much we would hide from you— the ways we harm your creation, the ways we mistreat others, the ways we turn away when we should turn toward. Even as you know us, forgive us. Guide our thoughts, our words, our actions, that you may delight in us as we delight in you.**
(Silence for Reflection)
Declaration of Forgiveness
Beloved, hear the good news: God knows us and Forgives us and leads us in the way of everlasting life.
**Thanks be to God!**
* Passing of the Peace
Leader: May the Peace of Christ be with you.
**People: And also with you.**
* Gloria Patri (Hymn #581)
**Glory be to the Father, and to the Son, and to the Holy Ghost; as it was in the beginning, is now, and ever shall be, world without end. Amen, Amen.**
* Affirmation of Faith (Apostles’ Creed)
*I believe in God, the Father Almighty, Maker of heaven and earth, and in Jesus Christ his only Son, our Lord; who was conceived by the Holy Ghost, born of the Virgin Mary, suffered under Pontius Pilate, was crucified, dead, and buried; he descended into hell; the third day he rose again from the dead; he ascended into heaven, and sitteth on the right hand of God the Father Almighty; from thence he shall come to judge the quick and the dead. I believe in the Holy Ghost; the holy catholic church; the communion of saints; the forgiveness of sins; the resurrection of the body; and the life everlasting. Amen.*
Faith Formation Moment
Offering of our Gifts
Offertory “In Christ There Is No East or West” arr. Che
*Doxology (Hymn #606)
Praise God, from whom all blessings flow; praise him, all creatures here below; praise him above, ye heavenly host; praise Father, Son, and Holy Ghost. Amen.*
Prayer of Dedication
Prayers of the People and The Lord’s Prayer
**Our Father, who art in heaven, hallowed be thy name, thy kingdom come, thy will be done, on earth as it is in heaven. Give us this day our daily bread; and forgive us our debts, as we forgive our debtors; and lead us not into temptation, but deliver us from evil. For thine is the kingdom, and the power, and the glory, forever. Amen.**
Responsive Reading Psalm 86:11-17
11 Teach me your way, O LORD,
that I may walk in your truth;
give me an undivided heart to revere your name.
12 I give thanks to you, O Lord my God, with my whole heart,
and I will glorify your name forever.
13 For great is your steadfast love toward me;
you have delivered my soul from the depths of Sheol.
14 O God, the insolent rise up against me;
a band of ruffians seeks my life,
and they do not set you before them.
15 But you, O Lord, are a God merciful and gracious,
slow to anger and abounding in steadfast love and faithfulness.
16 Turn to me and be gracious to me;
give your strength to your servant;
save the child of your maidservant.
17 Show me a sign of your favor,
so that those who hate me may see it and be put to shame,
because you, LORD, have helped me and comforted me.
New Testament Lesson Romans 8:12-25
12 So then, brothers and sisters, we are obligated, not to the flesh, to live according to the flesh— 13 for if you live according to the flesh, you will die, but if by the Spirit you put to death the deeds of the body, you will live. 14 For all who are led by the Spirit of God are children of God. 15 For you did not receive a spirit of slavery to fall back into fear, but you received a spirit of adoption. When we cry, “Abba! Father!” 16 it is that very Spirit bearing witness with our spirit that we are children of God. 17 and if children, then heirs: heirs of God and joint heirs with Christ, if we in fact suffer with him so that we may also be glorified with him. 18 I consider that the sufferings of this present time are not worth comparing with the glory about to be revealed to us. 19 For the creation
waits with eager longing for the revealing of the children of God, 20 for the creation was subjected to futility, not of its own will, but by the will of the one who subjected it, in hope 21 that the creation itself will be set free from its enslavement to decay and will obtain the freedom of the glory of the children of God. 22 We know that the whole creation has been groaning together as it suffers together the pains of labor, 23 and not only the creation, but we ourselves, who have the first fruits of the Spirit, groan inwardly while we wait for adoption, the redemption of our bodies. 24 For in hope we were saved. Now hope that is seen is not hope, for who hopes for what one already sees? 25 But if we hope for what we do not see, we wait for it with patience.
Anthem “Onward Christian Soldiers” Sullivan Choir
Gospel Lesson Matthew 13:24-30, 36-43
24 Jesus told them another parable: “The kingdom of heaven is like a man who sowed good seed in his field. 25 But while everyone was sleeping, his enemy came and sowed weeds among the wheat, and went away. 26 When the wheat sprouted and formed heads, then the weeds also appeared.
27 The owner’s servants came to him and said, ‘Sir, didn’t you sow good seed in your field? Where then did the weeds come from?
28 “‘An enemy did this,’ he replied.
“The servants asked him, ‘Do you want us to go and pull them up?
29 “‘No,’ he answered, ‘because while you are pulling the weeds, you may uproot the wheat with them.’ 30 Let both grow together until the harvest. At that time I will tell the harvesters: First collect the weeds and tie them in bundles to be burned; then gather the wheat and bring it into my barn.’”
31 Then he left the crowd and went into the house. His disciples came to him and said, “Explain to us the parable of the weeds in the field.”
32 He answered, “The one who sowed the good seed is the Son of Man. 33 The field is the world, and the good seed stands for the people of the kingdom. The weeds are the people of the evil one, 34 and the enemy who sows them is the devil. The harvest is the end of the age, and the harvesters are angels.
40 “As the weeds are pulled up and burned in the fire, so it will be at the end of the age. 41 The Son of Man will send out his angels, and they will weed out of his kingdom everything that causes sin and all who do evil. 42 They will throw them into the blazing furnace, where there will be weeping and gnashing of teeth. 43 Then the righteous will shine like the sun in the kingdom of their Father. Whoever has ears, let them hear.
Meditation “Basic Weed Control” Rev. Dr. Jeff Beebe
* Hymn #839 “Blessed Assurance, Jesus Is Mine!”
* Benediction
* Congregational Response (Hymn #306)
Blest be the tie that binds our hearts in Christian love.
The fellowship of kindred minds is like to that above.
* Postlude “Go Your Way with Rejoicing” Wagner
* Denotes please stand if able.
WORSHIP NOTES
Greeters: Susan Kopyar
Ushers: Ed Murgitroyde, Ron & Penny Weidner, Bill & Sandy Boland
Lay Reader: Bill Butler Audio Tech: Ken Mettler
Flowers: The flowers this morning are given by Sandy & Bill Boland in celebration of their 72nd Anniversary and by Kay James in memory of her loving husband Ed.
Children’s Worship Table: Children are invited to the Children’s Worship Table after the Faith Formation to enjoy this week’s Children’s Worship booklet and/or any of the other quiet activities in the Children’s area.
Join us in prayer for our members and loved ones
Gail Alvaro, Baby Winn, Ajit Banerjee, Billings Family, Doris Boone, Jason Bradley*, Eliza Brown, Al Burgess, Jim & Willa Burns, Jasper Casey, John Chappa, Hal Childs, Rev. Dr. Jeff DeVoe, Dickenson Family, Joe Digby*, William Downs, Wendy & Colin Earle and Family, Kirsten Fitzgeralld & Family, Patrick Floyd*, Clarisa Gibson, Stanley Hannum*, Judy Hennenlotter, Cathie Huff, A.J. Jebbia, Bob Johnson, Gene Johnson, Javan N. Jones*, Kathy Jones-Mills, Jennifer Kaczmarek, Brady Klefman, Bruce Lee, Florence Lyman, Marissa Mallicote, Ed Manen, Gloria Martin, Marie McCray, Declan Mitchell*, Pam Mitchell-Hess, Pat Olson, Joseph C. Orr*, Evelyn Parker, William Patterson, Helene Read, Bradford Robinson, Ian Samuel, George Sampson, Jennifer Sheringham*, Sara Shoreland, Diane Simmons, Bonnie Slager, Michelle Smith, Brian Thomas, Ryan Tugas*, Tony & Doris Valent, Monique Warmington, Norma Warwell, Todd Whipper, Ben Whitenack, Matthew Winterheimer*, Theodore Winterheimer*
If someone is in need of prayer, please let the church office know.
Those listed in bold are members of the church and the asterisk indicates active military service.
CELEBRATING BIRTHDAYS THIS WEEK
Gwendolyn Levene 7/23 Beatrice Pison 7/26
Bob Settles 7/24 Matthew Goff 7/28
Sharon Hildebrandt 7/26 Lois Settles 7/29
This week in our Church (Office hours: Tuesday-Thursday, 9am-12noon)
Sunday, July 23rd
10:00 AM Worship Service
Wednesday, July 26th
8:00 PM AA Meeting (Mehaffey)
Thursday, July 27th
6:30 PM ALANON Meeting (Calvin)
Friday, July 28th
6:30 PM NA Meeting (Mehaffey)
Saturday, July 29th
12:30 PM Parker Memorial Service (Chapel-Family only)
Sunday, July 30th
10:00 AM Worship Service
UPCOMING SUMMER EVENTS
Montreat Sunday-Worship & Luncheon August 6th
Sacrament of Communion August 6th
Jamaican Service & Celebration August 6th 4pm
Trinity Times Fall Edition articles & announcements due August 15th
Midweek Worship, Food & Fellowship August 23rd 5-7pm
ROOF/WATER INTRUSION FINANCIAL SUMMARY
Work on our Roof/Water Intrusion project is finishing, and we now have final numbers to present to you. As we discussed previously, Session authorized a loan from Presbytery to pay for the work while we raised funds. We borrowed $100,000, which we are in the process of converting to a mortgage. Our interest rate is fixed for the first 5 years, and we very much want to repay the loan by that time.
A summary of funding and costs is shown in the tables below. All of you were very generous in contributing funding for the project, and we are very grateful for your outstanding financial support. Our remaining need to pay off the loan is approximately $35,046. We included estimated interest over a 5-year payback of the loan, so clearly this could change if we pay off the loan earlier or if we take longer to pay off the loan.
If you are able to help with any additional One Time Gifts or any additional pledges, those would be welcome.
Funding:
| Fund | Amount |
|-----------------------|----------|
| Restricted Fund | $120,000 |
| One Time Gifts | $88,945 |
| Pledges Paid | $36,905 |
| Pledges over 3 years | $49,385 |
| **TOTAL FUNDS** | **$295,235** |
Costs:
| Item | Amount |
|-----------------------|----------|
| Roof | $262,652 |
| Other repairs | $57,629 |
| Loan closing and interest | $10,000 |
| **TOTAL COSTS** | **$330,281** |
Remaining Financial Need: $35,046
HERITAGE FUND
Were you aware that Trinity has a Heritage Fund? This fund was established a few years ago with an initial estate gift of well over $200,000. We have received several more gifts, in varying amounts, since that time, including another estate gift of almost $200,000 a few months ago.
The purpose of the Heritage Fund is to support, maintain and strengthen the ministries of Trinity Palm Coast, today and in the future. Money in this fund has been used for special purposes, such as purchase of an air conditioner, as well as supplementing our annual budget. All expenditures from the Heritage Fund must be authorized by Session.
Our Heritage Fund currently contains about $350,000. While that is a lot of money, we are using about $5800 per month to supplement our budget in 2023. We would all love to see the fund grow to the point that we are maintaining the principal and only using investment returns; we are not at that point today.
All contributions to this fund are welcome and appreciated. Contributions can come from estate bequests, beneficiary designations, gifts from 401K Required Minimum Distributions, annuities or annual bonuses, stock or bond gifts, or any other source. Please prayerfully consider your ability to ensure the future of Trinity by contributing to the Heritage Fund.
|
Environmental Monitoring
One of the many disposal pits recently dug in Herefordshire. Smoke from the burning pyres makes the photo appear hazy.
Accurate and detailed records on the impacts and losses within the historic environment today can provide information for the monitoring of change and assess the implications for the environment in the short- and long-term.
The need for such accurate and detailed recording has been clearly demonstrated over the past ten weeks due to the Foot and Mouth Disease. During this crisis the combined disposal operations throughout the county produced the largest, single impact upon the rural historic environment that Herefordshire has ever seen. Pyre building, pit digging, hedgerow removal for the access of heavy machinery and the clearance of some farm buildings necessitated an operation of archaeological monitoring on a scale never before imagined.
It is hoped the information gathered during this time will enable future generations to appreciate and understand the scale of the impacts and losses to the historic environment and what our response was. A report on this monitoring is given in more detail on the back page.
The end of Historic Environment Today?
Historic Environment Today (HET) was launched in October 1998 as a quarterly newsletter with the aim of raising the profile of the specifically historic environment work undertaken by the Conservation and Environmental Planning section of the newly established Herefordshire Council. With a revolving editorship and an emphasis on new discoveries and activities within the rich historical heritage of the county, the purpose of HET was to share this information with a wider audience.
However as a part of a current review of spending priorities for the section, the value and importance of Historic Environment Today is being examined. The future of HET is uncertain and we therefore ask you for your views on its future: hence the enclosed questionnaire.
I hope you have found enough of interest in past and present HETs to send us your opinions, by completing and returning the enclosed questionnaire. It is only through a good return of questionnaires that we will be able to judge the viability of continuing to produce the newsletter and to share news and involve a wider audience with the work of the Conservation and Environmental planning team in whatever form of publication.
Please send your completed questionnaires and any letters to:
The Editor, Historic Environment Today,
Planning HQ, PO Box 3, Leominster, HR6 8LU
Or e-mail general comments to the current editor:
email@example.com
Inside: Parks ↔ Barn Owls ↔ Hereford City ↔ Aerial Photos ↔ Foot and Mouth
Historic Environment Today is produced by Herefordshire Archaeology, PO Box 3, Leominster HR6 8LU
Editor Paul White
The Archaeological Importance of Hereford
Few people who live and work in Herefordshire may be aware that the centre of Hereford is protected in legislation as an Area of Archaeological Interest (AAI). But what does this mean and what are the implications for the archaeology of the city?
Hereford is in fact one of only five in the whole country (Canterbury, Chester, Exeter, and York are the others). The designation requires by law, notification of any groundworks, flooding or tipping operations. It also permits the Investigating Authority (since 1999 for Hereford, Herefordshire Archaeology) access to observe and record affected remains, and to conduct excavations within the AAI.
© C. Musson, 1995
The centre of Hereford is designated as an AAI.
The designated area covers the area within the medieval city walls, and extends to include the historic suburbs, sites of monastic houses and the area south of the River Wye including the Bishop’s Meadow.
Anyone who disturbs the ground within the AAI is obliged by law to notify Herefordshire Council on a prescribed form before doing so, giving six weeks notice. They are also required to submit a certificate before the works to commence. Herefordshire Archaeology is the Council’s advisory body on matters affecting the AAI and as the Investigating Authority is the organisation ultimately responsible for securing with archaeological monitoring work that may be required within the designated area.
Julian Cotton
NEWS FLASH! Sutton Dating
We have just received a radiocarbon date from our 2000 season of excavations at Sutton St. Michael. The sample was taken from an animal skeleton found in the backfilled void of the first of two palisades that were built to enclose an area east of the parish church. The dates (OxA-10310) indicate a likely date-range of 1064-1130AD. I take this as indicating the likelihood that this dates the event of demolition of this first palisade to the late eleventh century. It matches very closely the pottery dating, and tells us nothing about middle Saxon activity, least of all associated with Offa!
However, it does indicate that a likely manorial complex was both enclosed and defended here in the late and early Norman period. It also suggests that our still visible Norman mottes were not the only militarily defensible sites in the contemporary landscape.
Keith Ray
National Archaeology Days
Sat. 21st and Sun. 22nd July 2001
Herefordshire Archaeology is teaming up with the Council’s Heritage Services to bring a weekend of events for young and old alike to mark National Archaeology Days.
On Saturday 21st July join Herefordshire Archaeology on Bishop’s Meadow, Hereford from 10.30am onwards for a ‘Living Survey’ demonstration. Watch as subtle earthwork features are revealed before your eyes through the survey drawing as well as seeing what is buried beneath your feet by looking at the results of a geophysical survey. There will also be a heritage clues trial designed for families, with prizes to be won.
Then on Sunday 22nd July the Museum Service play host to a day of activities from 11am at the playing fields behind St. Martin’s Church, Holme Lacy Road, Hereford. Children can ‘dig’ in a simulated excavation, have their finds identified, and even help to draw and record them.
Details for 21st July from Tim Hoverd on 01568 614931 and for 22nd July from Siriol Collins/ Claudia Hart on 01432 260692
Revisiting Historic Parks and Gardens
Herefordshire Council’s Landscape Officer and members of the Hereford and Worcester Gardens Trust are carrying out a survey of the County’s historic parks and gardens. The aim is to produce a database of those gardens considered to be of local importance for the County’s Unitary Development Plan along with a reference book of all the County’s historic parks and gardens for publication by the Trust. The project has already thrown up some fascinating history and intriguing details of gardens that are well known but not necessarily well documented.
Bredenbury Court, which is now the location of St. Richard’s Preparatory School, was rebuilt by T. H. Wyatt between 1873-4 and the church removed to a new site to the north of the house in 1876. This enabled Edward Milner, the celebrated Victorian landscape gardener and erstwhile assistant of Sir Joseph Paxton, to lay out the grounds. He promoted the ‘mixed style’ of gardening – formal and picturesque – by planting formal flower gardens and terraces near to the house, that gives way to a serpentine drive passing his new lake and boathouse, all shielded by shrubberies from the main road. He also created the new park, planting this after the manner of Uvedale Price without formal clumps, although the new pool was given a fringe of exotic trees.
Jane Patton
Biological Records Centre: Update
The study by independent consultants looking at the feasibility of establishing a Biological Records Centre in the County (in HET 3,2) is now complete. The consultation process involved questionnaires, meetings and workshops with natural history recorders and users of data. The recommendation is that the Centre is hosted by Herefordshire Council and situated within the Conservation and Environmental Planning Section.
A Management Panel of the funding partners and representatives of data suppliers and data users will help set data standards and reach decisions on survey priorities. Initially one member of staff, a Records Centre Manager will be recruited to lead the establishment phase of the Centre. We now look forward to this progressing to the next stage and will keep you updated.
Birds in decline
The national loss of once common farmland birds has been well publicised and the continuing losses at a local level probably reflect the impacts of modern farming and changes in historical land use on the availability of food items such as seeds and insects. As a result of the decline in particular bird populations like the bullfinch and barn owl these are given ‘priority’ species status within the County’s Bio-diversity Action Plan.
The bullfinch used to be regarded as a pest in orchards because they would eat fruit buds and orchard owners could obtain a licence to kill or trap bullfinches. MAFF has now withdrawn this licence in the light of a decline in the species and now where any severe damage is reported new ways of discouraging bullfinches are recommended.
The barn owl is also benefiting from active conservation action with a recent public survey organised by the Herefordshire Ornithological Club yielding 36 nest sites in the County. The planning department in conjunction with the Barn Owl Trust has also run a training session for planners and historic building officers so that they would recognise signs of barn owl occupation when applications for barn conversion are received.
Jo Hackman
“..there were 29 places with urban characteristics in the county in medieval times.”
Sites and Monuments News
Thanks to the regular number of volunteers many new sites and completed projects can now be added to the SMR. These contribute to our developing knowledge of the history of the County. The cataloguing and interpreting of the photos from the Millennium Air Survey has revealed previously unknown sites including a possible Roman marching camp at Lyonshall.
Completed projects include the Herefordshire Railway project which has mapped and listed in detail information on all of the six railway lines that once traversed Herefordshire, including the stations, halts and when each opened and closed. Other projects include the recording of Cold War installations and the quarry project that has recorded every quarry mapped on the first edition Ordnance Survey of 1888. Over 2050 quarries are recorded and this reveals the extent the natural resources were being exploited, including clay, gravel, lime and stone. New projects are now underway recording brickworks, the utilities (gas, water, electricity) and hedgerows.
Volunteers working in the SMR, based in Leominster
The inputting of the field name survey onto a communal computer database is steadily progressing and has now reached 160 parishes (out of 245).
If you would like to get involved in volunteer projects, particularly if you have a computer and can work from home, please ring Rebecca on 01432 260130.
Rebecca Roseff
Foot and Mouth Fieldwork
In parallel with the neighbouring counties of Gloucestershire and Worcestershire, the county archaeology service in Herefordshire has been responding to the conservation challenge of ground works associated with the foot and mouth outbreak. Herefordshire is in the mid-range of counties in respect to the extent of impact of the outbreak. It has had, for instance, more cases than Warwickshire, but many less than Devon.
The archaeological monitoring project involved staff of three local contract archaeological units, as well as three of us in Herefordshire Archaeology. When we have assimilated the results of the work, we shall report them more widely, but finds of prehistoric and medieval date featured prominently from among the very many trenches and pits monitored.
Tim Hoverd
Medieval Towns Review
During 2000 and early 2001, I have carried out a review of the evidence for medieval towns in the county. This has involved looking at the results of the mid-1990s Central Marches Historic Towns Survey, as well as the new information that has emerged since then.
I have concluded that there were 29 places with urban characteristics in the county in medieval times. Only eight of these were recognisably urban by 1500AD. Brampton Bryan, Lyonshall and Much Cowarne extend the list of substantial settlements, while a further eight towns achieved this status for less than 50 years or so.
In the report that summarises the findings of the review I also outline a twelve-point strategic programme for research and conservation for the 23 former (and 6 present-day) towns. This includes a database project for Hereford, some whole-town earthwork surveys, and a special designation in the Unitary Development Plan. The report, ‘Medieval towns in Herefordshire: a management review’ is Herefordshire Archaeology Report No.2. Copies can be obtained by writing to Tim Hoverd, via the address on the cover of this issue.
Keith Ray
|
McKee, Andrew (1996) Photoabsorption induced disordering of InGaAs-InGaAsP multiple quantum well structures for optoelectronic integration. PhD thesis
http://theses.gla.ac.uk/6614/
Copyright and moral rights for this thesis are retained by the author
A copy can be downloaded for personal non-commercial research or study, without prior permission or charge
This thesis cannot be reproduced or quoted extensively from without first obtaining permission in writing from the Author
The content must not be changed in any way or sold commercially in any format or medium without the formal permission of the Author
When referring to this work, full bibliographic details including the author, title, awarding institution and date of the thesis must be given.
Glasgow Theses Service
http://theses.gla.ac.uk/
email@example.com
PHOTOABSORPTION INDUCED DISORDERING OF InGaAs-InGaAsP MULTIPLE QUANTUM WELL STRUCTURES FOR OPTOELECTRONIC INTEGRATION
by
Andrew McKee
May 1996
A thesis submitted to the Faculty of Engineering of the University of Glasgow for the degree of Doctor of Philosophy
© Andrew McKee, 1996
Abstract
This thesis is concerned with the intermixing of indium phosphide based multiple quantum well structures using a high power continuous wave (CW) operated Nd:YAG laser which shall be referred to as Photoabsorption Induced Disordering (PAID).
A wide range of discrete devices have been fabricated from intermixed material such as low-loss single mode waveguides, broad area oxide stripe lasers, strip loaded ridge waveguide lasers and electroabsorption ridge waveguide modulators. These devices have been characterised which gives an indication as to how the optical and electrical properties of the multiple quantum well material changes as it is intermixed.
Single mode ridge waveguides have exhibited losses of around 5 dBcm$^{-1}$ at 1550 nm while losses as low as 1.6 dBcm$^{-1}$ have been observed at 1570 nm.
Broad area and ridge waveguide lasers have been fabricated from material which has been bandgap widened by up to 160 nm. There is little deterioration in the lasing performance as the material is intermixed with only a 20% increase in the threshold current density due to the alteration of the 2-D density of states towards bulk material.
Electroabsorption in disordered material is investigated using photocurrent spectroscopy and also by fabricating ridge waveguide modulators. The ON/OFF ratios are 20 dB in 500 μm long devices fabricated from material which has been bandgap shifted by 120 nm while material shifted by only 80 nm yielded devices with extinction ratios as high as 27 dB.
The thermodynamics of the PAID process have been modelled using a commercially available finite element package (ABAQUS). This modelling has yielded useful results which gives an insight into the resolution capabilities of the process, and the physical parameters (such as spot size and heat sink temperature) which affect it.
Extended cavity broad area oxide stripe lasers have been fabricated demonstrating that the process can be used to produce useful integrated devices. The fabrication of these devices is explained by the thermal modelling.
Acknowledgements
I wish to express my gratitude to Professor Peter Laybourn for the use of facilities and materials at the Department of Electronics and Electrical Engineering of the University of Glasgow.
I am extremely grateful to my joint supervisors Professor Richard M. De La Rue and Professor John Marsh for their guidance, encouragement and continual support given throughout the duration of this project.
Much of the work carried out in this thesis was aided by colleagues Dr. Chris McLean and Dr. Giuseppe Lullo to whom I am especially indebted. I also wish to thank Dr. Catrina Bryce, Dr. Steven Ayling, Dr. Ooi Boon Siew and Dr. Karen McIlvaney for helpful discussions and constant encouragement. Special thanks must go to the technical staff of the department particularly Jim Gray, the Dry Etch team and all members of the Cleanroom staff.
I would also like to acknowledge the practical assistance given by Dr. Chris Button at Sheffield University who supplied all of the epi-wafers used in this project.
I would finally like to thank all of my fellow Post-Graduate students and Research Assistants who helped to create a friendly and enjoyable atmosphere both within and outwith the department.
This project was supported by EPSRC and by a CASE studentship with the Defence Research Agency (Malvern) under the supervision of Dr. David Wight.
# Table of Contents
**Chapter 1** Integrated Optoelectronic Circuits
1.1 Introduction
1.2 Multiple growth epitaxy
1.3 Selective area epitaxy
1.4 Growth on non-planar substrates
1.5 Laser assisted epitaxy
1.6 Quantum well intermixing
1.7 Conclusions
**Chapter 2** Properties of Quantum Well Structures
2.1 Introduction
2.2 Quantum Well Modelling
2.3 Band Structure of Indium Phosphide
2.4 Density of States
2.5 Optical Absorption
2.6 The Effect of an E-Field on the Properties of Quantum Wells
**Chapter 3** Photo-Absorption-Induced-Disordering (PAID)
3.1 Introduction
3.2 Experimental Arrangement
3.3 PL Measurements
3.4 Absorption of light in a Semiconductor
3.5 Generation of heat in a Semiconductor
3.6 Thermal Conduction in a Semiconductor
3.7 Intermixing of Quantum Wells
3.8 Calculation of Energy levels in a Disordered Quantum Well
3.9 Advantages of PAID
3.10 Conclusions
**Chapter 4** Low-Loss Optical Waveguides
4.1 Introduction
4.2 General Theory of slab Waveguides
4.3 Fabrication of Optical Waveguides
4.4 Fabry-Perot Loss Measurements
4.5 Results
4.6 Conclusions
| Chapter | Title | Page |
|---------|----------------------------------------------------------------------|------|
| 5 | Broad Area Oxide Stripe Lasers | 81 |
| | 5.1 Introduction | 81 |
| | 5.2 General Theory of a Fabry-Perot Laser Oscillator | 81 |
| | 5.3 Application to Multiple Quantum Well Lasers | 82 |
| | 5.4 Fabrication of Oxide Stripe Lasers | 86 |
| | 5.5 Testing Lasers | 88 |
| | 5.6 Results | 93 |
| | 5.7 Conclusions | 100 |
| 6 | Bandgap Tuned Oxide Stripe Lasers | 101 |
| | 6.1 Introduction | 101 |
| | 6.2 Fabrication | 101 |
| | 6.3 Results | 101 |
| | 6.4 Conclusions | 106 |
| 7 | Bandgap Tuned Ridge Waveguide Lasers | 107 |
| | 7.1 Introduction | 107 |
| | 7.2 Fabrication | 107 |
| | 7.3 Comparison between oxide stripe lasers and ridge waveguide lasers | 113 |
| | 7.4 Results | 113 |
| | 7.5 Comparison Between different amounts of disordering | 115 |
| | 7.6 Temperature Dependence of threshold current | 120 |
| | 7.7 CW measurements of ridge waveguide lasers | 124 |
| | 7.8 Life-time measurements | 132 |
| | 7.9 Spontaneous Emission of Lasers | 135 |
| | 7.10 Conclusions | 135 |
| 8 | Electroabsorption in InGaAs(P) Quantum Wells | 136 |
| | 8.1 Introduction | 136 |
| | 8.2 Photocurrent Spectroscopy | 136 |
| | 8.3 Features in Photocurrent Spectroscopy of MQW Structures | 136 |
| | 8.4 Device Fabrication | 137 |
| | 8.5 Experimental Set-up | 140 |
| | 8.6 Results | 142 |
| | 8.7 Electroabsorption Modulators | 147 |
| | 8.8 Measurement Set-up | 148 |
| | 8.9 Results | 148 |
| | 8.10 Conclusions | 153 |
| Chapter | Title | Page |
|---------|----------------------------------------------------------------------|------|
| 9 | Broad Area Extended Cavity Oxide Stripe Lasers | 155 |
| | 9.1 Introduction | 155 |
| | 9.2 Fabrication | 155 |
| | 9.3 Results | 160 |
| | 9.4 Conclusions | 166 |
| 10 | Thermal Modelling | 167 |
| | 10.1 Introduction | 167 |
| | 10.2 Equations of Heat Flow | 167 |
| | 10.3 Model of the PAID process | 171 |
| | 10.4 Resolution of the PAID process | 180 |
| | 10.5 Conclusions | 199 |
| 11 | Conclusions and Future Work | 201 |
| | 11.1 Conclusions | 201 |
| | 11.2 Future Work | 202 |
| A | ABAQUS | |
Chapter 1 Integrated Optoelectronic Circuits
1.1 Introduction
Monolithic integration of optoelectronic devices potentially offers similar advantages to those obtained from silicon based electronic integrated circuits. These advantages include the possibility of mass production, reduction in size leading to reduced cost and higher operating speeds (due to reduced parasitic capacitance and inductance), and increased reliability. There is a wide range of potential applications for optoelectronic integrated circuits, e.g. for optical generation and detection, optical waveguiding, switching, filtering, interferometry and signal processing.
Integrating optoelectronic devices, however, presents many problems that do not exist in standard silicon based processing. The fundamental problem with optoelectronic integration is the requirement to produce areas with significantly different optical and electrical properties on a single substrate. This is a far more complex problem than producing areas with only different electrical properties, which can easily be achieved by introducing the correct amount of electrically active dopants to the material.
Many different processes have been studied which allow areas of different optical properties to be produced on a single wafer. This discussion is confined to III-V semiconductor compounds, although optoelectronic circuits have also been fabricated in other materials such as lithium niobate and silica-on-silicon.
The different processes relevant to monolithic integration with III-V semiconductors include multiple growth steps, selective area epitaxy, laser assisted epitaxy, growth on non-planar substrates, and a range of quantum well intermixing techniques. These techniques differ substantially, but strive to achieve much the same result, namely, producing areas of different bandgap on a single epitaxial wafer or chip.
1.2 Multiple growth epitaxy
Multiple growth epitaxy is perhaps the simplest technique to understand. The first stage is an initial growth of a structure with a bandgap of say $\lambda_1$. This epitaxially grown structure usually consists of either bulk material, multiple quantum well layers, or a superlattice structure. Selected areas of the wafer are then etched away and material with a different bandgap is grown. During the second growth stage, the remaining initial structure is masked (typically with SiO$_2$) to prevent overgrowth. The bandgap of the material grown at the second growth stage is chosen for the
particular application required. For example, if the second growth is to serve as a passive waveguide region for a laser operating at wavelength $\lambda_1$, then it is desirable that the losses in the passive region are low and consequently $\lambda_2 < \lambda_1$ is chosen. The disadvantages of this process are the high costs incurred by the multiple growth stages, and the optical and electrical coupling problems between the areas of different bandgap. Another potential problem of such growth and regrowth processes in the indium phosphide system is intermixing of the quantum wells grown in the first growth run during the overgrowth stage. This can happen rather easily since intermixing occurs at temperatures similar to typical growth temperatures (of around 650°C).
A technique related to the one just described is to grow a coupled laser section and waveguide section on top of each other, with the upper laser section etched away in some regions. This process still, however, requires a regrowth stage to produce an upper cladding layer for the waveguide region. Wakita\textsuperscript{1} \textit{et al.} used this technique to fabricate an integrated Distributed Feedback (DFB) Laser and electroabsorption modulator. The active region of the laser consisted of four strained InGaAsP quantum wells with InGaAsP barriers grown on top of a multiple quantum well \textit{pin} waveguiding layer. The modulator section had the upper quantum wells layers (i.e. the laser section) removed and an indium phosphide upper cladding layer regrown on top of the waveguide core. The device produced transform-limited 7 ps optical pulses at a repetition rate of 20 GHz, when the modulator was driven sinusoidally at 20 GHz with a 4.0 V peak-peak voltage.
A similar circuit was fabricated by Raybon\textsuperscript{2} \textit{et al.} where a Distributed Bragg Reflector (DBR) laser was integrated with an electroabsorption modulator. Again, a multiple quantum well active laser region consisting of strain compensated layers was grown on a waveguide layer which acted as the backbone of the device, with regrowth of p-doped indium phosphide forming the cladding layers of the modulator section. The DBR grating was etched into an InGaAsP layer situated between the active region and the waveguide core. The laser section was directly modulated at 2.5 GBits\textsuperscript{-1} generating a non-return-to-zero (NRZ) signal while the modulator was sinusoidally driven giving a coded pulse stream at the output.
### 1.3 Selective Area Epitaxy
Selective area growth of a range of InGaAsP compounds by low pressure metal-organic chemical vapour deposition (MOCVD) has been carried out by Gibbon\textsuperscript{3} \textit{et al.} By growing on InP substrates patterned with silicon dioxide masks, they have achieved a 100 nm range in photoluminescence (PL) emission (and lasing) wavelengths in InGaAs(P) multiple quantum well structures. The technique relies on
the fact that the dielectric mask inhibits epitaxial growth of material. This means that some of the material which would have grown in the masked region will be deposited in the vicinity. This results in thicker layers being deposited around masked areas. So, in a multiple quantum well structure, the PL wavelength is increased due to the well thickness increasing.
Fabry-Perot lasers were fabricated from multiple quantum well material with lasing wavelengths ranging from 1507 nm to 1626 nm and with no degradation in the threshold current density or differential quantum efficiency.
By appropriate design of the SiO$_2$ mask pattern, areas of different bandgap can be grown with smooth transition regions between them. The transition region width is around 100 µm. This approach was used by Aoki et al. to produce an InGaAs(P) multiple quantum well electroabsorption modulator integrated with a DFB laser in a circuit which operated at 10 GBits$^{-1}$ with only a 1 V peak-peak signal applied to the modulator. The laser section of the device was grown between two SiO$_2$ masks which were 15 µm wide and spaced by 10 µm. The PL emission wavelengths of the laser section and the modulator section were 1.57 µm and 1.49 µm respectively, with a transition region of approximately 70 µm between them.
### 1.4 Growth On Non-Planar Substrates
Growth on non-planar substrates is similar to selective area epitaxy in that the substrate has been altered in some way prior to growth, in order to alter the local growth rate of the material. In this case, areas of the substrate are etched away to reveal crystal planes other than the standard (100) plane. Since these crystal sidewalls have lower growth rates than the (100) plane, the atoms tend to migrate onto the top of the ridge, thereby increasing the growth rate. Regions which are designed to have a long PL wavelength (i.e. thick quantum wells) are grown on top of narrow ridges, while areas which are required to have a short PL wavelength are grown on unetched planar regions of the substrate.
Work by Brovelli et al. focused on growing strained quantum wells of InGaAs with AlGaAs barriers on non-planar GaAs substrates, with PL shifts of up to 70 nm attained using this technique. They fabricated a mode-locked InGaAs-AlGaAs quantum well laser with integrated passive waveguide cavity and quantum well modulator capable of generating transform-limited pulses of 4.4 ps duration. The lasing section was grown on a 16 µm wide ridge while the modulator section was grown on a 19 µm wide ridge. The passive waveguide section was grown on a planar region. The different ridge widths gave a shift in bandgap energy of about 10 nm between the laser and modulator section while there was an approximately 35 nm difference between the lasing and waveguide sections.
1.5 Laser Assisted Epitaxy
Work by Iga *et al.* involved using a laser to alter the composition of InGaAsP compounds grown by metal-organic molecular beam epitaxy (MOMBE). The laser was a continuous-wave (CW) operated argon ion (multi-lines) with a power density of 40 W/mm$^2$, which was scanned over selected areas of the wafer using a galvanometer controlled mirror.
The substrate temperature at growth was fixed at 510°C, which was increased to 535°C in the areas exposed to the laser. This increase in temperature caused the gallium content in the layers to reduce by 90% and the growth rate to drop by 30%. Layers of different composition (and therefore bandgap) were grown simultaneously on different areas of the wafer defined by laser exposure. It should be noted that since the gallium content of the film changed so much in areas exposed to the laser, the layers did not remain lattice matched to indium phosphide. The transition width between areas of different composition was around 30 μm, which was due to the diffusion of heat from areas of high temperature to lower temperature.
Using this technique, the authors fabricated an InAsP-InGaAsP superlattice structure\textsuperscript{7} simply by turning the laser on and off, on a time scale of seconds. They also demonstrated an integrated laser array operating at two different frequencies\textsuperscript{8} and an integrated detector\textsuperscript{9,10} operating at both 1.3 μm and 1.55 μm.
1.6 Quantum Well Intermixing
Although the work in this thesis is confined to the InP based system (with compounds of InGaAsP lattice matched to InP), it is also worthwhile reviewing the work carried out on the (Al)GaAs system, since the basic concepts of well-barrier intermixing are essentially the same. The main difference between the two systems is the greater thermal stability of the GaAs system.
1.6.1 Impurity Induced Disordering
The first experiment carried out using Impurity Induced Disordering (IID) was by Laidig\textsuperscript{11} *et al.* in 1980 in an attempt to intermix undoped AlAs-GaAs superlattice (SL) structures. They diffused zinc into the SL and found that the layers intermixed at temperatures much less than those necessary for ordinary thermal interdiffusion in the undoped SL, yielding bulk material with a composition of Al$_{1-x}$Ga$_x$As. Using silicon nitride masks, they produced regions of disordered and undisordered material with a spatial resolution of around 1-2 μm.
Zinc has proved to be one of the most widely studied diffusants in the (Al)GaAs system with a wide range of work reported. Kamizato\textsuperscript{12} \textit{et al.} used Zn diffusion to intermix (Al)GaInP layers on GaAs substrates. They used intermixed regions to fabricate non-absorbing mirrors (NAMs) at the cleaved facets of conventional Fabry-Perot lasers to prevent catastrophic optical damage (COD). The reduced absorption at the facets increases the output power achievable before facet damage occurs. However, the Zn diffusion increases the free-carrier absorption coefficient in the intermixed regions, which leads to increased laser threshold and reduced ex-facet efficiency.
Zn-diffusion enhanced intermixing has also been investigated in long wavelength material. Van Gurp\textsuperscript{13} \textit{et al.} demonstrated that Zn enhances the group III diffusion rate in InGaAsP-InP structures at temperatures as low as 420°C compared to 750°C for unimplanted material. Increased diffusion on the group III site causes the bandgap of the well to reduce and also induces strain. Reducing the bandgap of the quantum well is opposite to most intermixing mechanisms.
Another electrically active diffusant used to promote intermixing in the (Al)GaAs system is silicon. The silicon is incorporated into the structures from a layer deposited on the material surface. Deppe\textsuperscript{14} \textit{et al.} used silicon-enhanced interdiffusion of (Al)GaAs multiple quantum well structures to fabricate buried heterostructure laser diodes. During the diffusion process, the active region of the device was masked with a 5 µm wide stripe of silicon nitride. Outside the active region, the increase in bandgap due to intermixing reduces the refractive index, thus forming a lateral refractive index step which leads to optical confinement. The Si doping also provides current confinement, as Si acts as an n-type dopant in (Al)GaAs.
Thornton\textsuperscript{15} \textit{et al.} used Si-enhanced intermixing to produce an extended cavity laser in which the passive waveguide section was bandgap shifted to higher energies.
Silicon has also been used to enhance the diffusion rate of long wavelength materials. Tell\textsuperscript{16} \textit{et al.} used material consisting of 50 periods of InGaAs-InP (wells-barriers) capped with 0.1 µm of InP. Photoresist was used to mask areas of the material during the Si-ion implantation at a dose of $5.10^{14}$ cm$^{-2}$ with an energy of 200 keV. The material was then annealed in a furnace for 2 hrs at 650°C resulting in the PL wavelength shifting from 1.45 µm to 1.2 µm. TEM micrographs showed selective intermixing at the edges of the masks, although they also showed significant residual damage in the implanted regions.
### 1.6.2 Neutral Impurity Induced Disordering (IID)
In optoelectronic integrated circuits (OEICs) it is important that the absorption losses of passive components are low ($\leq 10$ dBcm$^{-1}$). Electrically active dopants,
however, introduce higher losses due to free-carrier absorption. Another requirement of OEICs is good electrical isolation\textsuperscript{17} ($\geq 100$ k$\Omega$) between components in the circuit to avoid crosstalk. In a typical waveguide structure (3 $\mu$m x 1 $\mu$m x 5 mm), this would require a doping level of under $10^{17}$ cm$^{-3}$, which is below the threshold level required for enhanced interdiffusion to take place. These are the two main reasons which led to work using electrically neutral impurities to increase the intermixing rate.
Work carried out by Marsh and co-workers at Glasgow involved studying boron and fluorine; both of which are electrically neutral dopants at room temperature in GaAs and AlGaAs. Double quantum well and multiple quantum well (Al)GaAs structures were implanted with doses ranging from $3 \times 10^{16}$ to $3 \times 10^{19}$ cm$^{-3}$. Fluorine caused the PL to shift by twice as much as boron under identical annealing conditions, although Secondary-Ion Mass Spectrometry (SIMS) studies showed that fluorine diffused during the anneal while boron did not. This means that boron would be more suited to applications requiring high spatial resolution.
Propagation losses in passive waveguides were lower for F-disordered material than B-disordered material\textsuperscript{18}. Using the sequential cleave technique, losses as low as 4.7 dBcm$^{-1}$ were measured at a wavelength of 875 nm in material blue-shifted by 60 meV using fluorine.
Using F-disordering, a double quantum well (Al)GaAs extended cavity single mode ridge waveguide laser was fabricated\textsuperscript{19}. The waveguide region was implanted with F at a doping level of $10^{14}$ cm$^{-2}$ with an implantation energy of 1 MeV during which, the active region was masked with a 3 $\mu$m layer of SiO$_2$. The material was then annealed in a furnace at 890°C for 90 mins, giving a blue shift in the PL peak of the waveguide section of 40 meV. The threshold current for a 600 $\mu$m laser with no passive section was 55 mA, while a laser with the combination of a 600 $\mu$m active section and a 600 $\mu$m passive section had a threshold current of 60 mA. The losses were calculated to be about 19 dBcm$^{-1}$ in the passive section. This loss is substantially higher than that for the passive waveguides (4.7 dBcm$^{-1}$), simply due to the free-carrier absorption in the n and p-cladding layers.
Neutral IID has also been investigated in long wavelength material by Bradshaw\textsuperscript{20} and co-workers at Glasgow. Multiple quantum well structures containing InGaAs wells and barriers of AlGaInAs or InGaAsP were annealed as-grown, implanted with boron, and implanted with fluorine. Unimplanted InGaAs(P) material was found to intermix at temperatures above 500°C for a 30 min. furnace anneal. The PL shift was always to higher energies, attributed to P diffusing into and As diffusing out of the wells. The (Al)GaInAs material was more stable, with no shifts observed up to 650°C. Above that temperature, small red shifts were observed due to the interdiffusion of In and Ga.
Phosphorus-quaternary material implanted with boron showed red-shifts for temperatures over 650°C, which can be explained by enhanced group III interdiffusion. Zn has already been shown to increase only the group III diffusion rate, which introduces strain into the structures. Boron-implanted aluminium-quaternary showed small blue shifts at temperatures below 650°C, independent of dose, which suggests that the implantation damage caused the intermixing. Above 650°C, the material showed a red shift similar to that for as-grown material.
Fluorine implantation induced large blue shifts (of > 60 meV) in P-quaternary structures at temperatures of 650°C, but this shift was only 20 meV larger than for the as-grown material, implying that the thermal instability of the material was the dominant intermixing mechanism. Passive waveguides were fabricated from fluorine-intermixed InGaAs(P) material with losses as low as 8.5 dBcm⁻¹. In Al-quaternary, fluorine produced significant blue shifts at all temperatures above 600°C indicating that fluorine plays an active part in the intermixing process.
1.6.3 Impurity-Free Vacancy Disordering
Impurity-free vacancy disordering (IFVD) has also been used to selectively disorder both GaAs and InP based materials. This process does not require impurities to be introduced by either ion implantation or diffusion, but relies on atoms diffusing out selectively from the material into dielectric caps at high temperatures, causing vacancies to be generated at the surface which diffuse rapidly through the material and cause intermixing. Certain dielectric caps, such as silicon dioxide and silicon nitride (Si₃N₄) have been found to enhance intermixing, while strontium fluoride²¹,²² (SrF₂) inhibits it.
IFVD was used to fabricate an extended cavity laser from InGaAs-InP multiple quantum well material²³. Silicon nitride films were used to enhance the intermixing rate in the waveguide regions, while the lasing regions were uncapped during the anneal. Although both regions intermixed, producing blue shifts, there was a 55 nm difference in PL wavelength between the lasing section and waveguide section. The poor thermal stability of this material system presents problems in inhibiting intermixing. By fabricating lasers with different lengths of waveguide section, the loss in these regions was calculated to be 7.8 cm⁻¹ (34 dBcm⁻¹).
Rao²⁴ et al. have investigated a process which worked well in the InP system. (InGaAsP)₁-(InGaAsP)₂ multiple quantum well samples were annealed in either a Rapid Thermal Annealer (RTA) or a conventional diffusion furnace, partially coated with silicon dioxide doped with phosphorus. The uncapped regions were protected during the high temperature anneal with an InP proximity cap. The capped regions
demonstrated blue shifts of over 50 meV due to group V diffusion, with no shift in the uncapped regions. This process, however, is restricted to near-surface layers which means that, in a standard laser structure, the upper cladding layers and cap layer have to be overgrown after the active region has been disordered.
1.6.4 Plasma Damage Induced Disordering
Plasma damage induced disordering relies on generating point defects at the material surface due to reactive ion bombardment. These point defects can enhance the group III interdiffusion of the quantum well region during a subsequent high temperature anneal as they diffuse through the structure. This process was used by Ooi\textsuperscript{25} \textit{et al.} to produce broad area oxide stripe lasers with different operating wavelengths from a single GaAs-AlGaAs quantum well laser structure. A range of 25 nm in lasing wavelength was achieved. Extended cavity lasers were also fabricated using this technique with the passive waveguide section blue shifted using plasma damage induced disordering. Losses as low as 18 dBcm\textsuperscript{-1} were measured in a laser with an active region of 450 µm and a passive length of 500 µm.
1.6.5 Laser Assisted Disordering
Lasers have been used to intermix quantum well structures in the (Al)GaAs system in the past. Epler\textsuperscript{26} \textit{et al.} fabricated buried heterostructure (BH) lasers from a single quantum well (Al)GaAs structure by direct-write laser-assisted intermixing. These devices were similar to those previously described\textsuperscript{27}, but with the areas of intermixing defined by a scanning laser instead of a dielectric mask.
The laser used in the process was a focused argon ion laser with a beam size of ~1 µm, power of 200 mW and a scan speed of 100 µms\textsuperscript{-1}. To fabricate single stripe BH lasers, the scan pattern was a pair of lines separated by 8 µm. The laser beam caused melting of the crystal on a micron scale due to the high power densities involved (~250 kWmm\textsuperscript{-2}). During this melt phase, the constituents intermixed rapidly and large amounts of silicon were incorporated from the surface layers of Si-Si\textsubscript{3}N\textsubscript{4}, yielding a homogeneous AlGaAs alloy heavily doped with Si to a concentration of ~10\textsuperscript{20} cm\textsuperscript{-3}. A subsequent thermal anneal of 850°C for 0.7 hrs caused the Si to diffuse through the structure causing the intermixed region to increase in size. The increase in bandgap due to intermixing caused the refractive index to decrease, thus giving lateral optical confinement. Lasers were fabricated
from the material which operated CW for several minutes with no degradation although no meaningful lifetest data were obtained.
Brunner\textsuperscript{28} \textit{et al.} have used a similar process, but on a much smaller scale, to fabricate quantum wires from (Al)GaAs quantum wells. They used a CW operated argon ion Gaussian profiled laser beam (514 nm) focused to a spot with a FWHM of 500 nm and a power of 6.6 mW ($\sim$30 kWmm$^{-2}$). This power density caused the material to heat up to around 1000°C where rapid interdiffusion of atoms between the wells and barriers occurred. The interdiffused region was found to be narrower than the laser beam, with a lateral distance of 200 nm.
Intermixing multiple layer structures is not confined to using CW operated lasers. Ralston\textsuperscript{29} \textit{et al.} intermixed (Al)GaAs superlattices using pulsed irradiation from a KrF excimer laser at a wavelength of 248 nm, with a pulse duration of 22 ns. The energy density was controlled by varying the laser power and the spot size (of around 2.5 mm$^2$). It was found that energy densities of $\sim$400 mJcm$^{-2}$ caused visible damage on the material surface, while 220 mJcm$^{-2}$ caused no damage.
Sputter-Auger profiles of the 20 period superlattice indicated that, after one pulse of 220 mJcm$^{-2}$, the first 11 periods were completely intermixed while the remaining 9 remained unaltered. The intermixing mechanism was assumed to be purely thermal i.e. the large energy densities caused the material to melt where the laser was absorbed. In the molten state, the Al atoms from the barriers diffused rapidly, followed by epitaxial recrystallization to a homogeneous AlGaAs alloy. The authors proposed a simple 1-dimensional heat flow model to explain the temperature distribution as a function of time and depth within the material. For large incident energies, the temperature of the material rises above the melting point of GaAs (1507 K) at depths greater than $1/\alpha$, where $\alpha$ is the absorption coefficient of the material. This model explained why there was such an abrupt transition region between intermixed material and unaffected material. Such a process is obviously restricted to near-surface layers unless the laser radiation used has a long absorption length.
\subsection*{1.7 Conclusions}
This chapter has given a brief introduction into the wide range of processes which have been used to integrate optoelectronic components on both gallium arsenide and indium phosphide substrates. Each different process has both advantages and drawbacks and none has yet been universally accepted.
1. K. Wakita, K. Sato, I. Kotaka, M. Yamamoto, and M. Asobe, IEEE Photonics Tech. Lett., 5 (8), pp 899-901, 1993
2. G. Raybon et al., IEEE Photonics Tech. Lett., 6 (11), pp 1330-1331, 1994
3. M. Gibbon, J.P. Stagg, C.G. Cureton, E.J. Thrush, C.J. Jones, R.E. Mallard, R.E. Pritchard, N. Collis, A. Chew, Semicond. Sci. Technol., 8, pp 998-1010, 1993
4. M. Aoki, M. Suzuki, H. Sano, T. Kawano, T. Ido, T. Taniwatari, K. Uomi, A. Takai, IEEE Journal of Quantum Electronics, 29 (6), pp 2088-2096, 1993
5. L.R. Brovelli, D.J. Arent, H. Jäckel, H.P. Meier, IEEE Journal of Quantum Electronics, 27, p 1470, 1991
6. L.R. Brovelli, R. Germann, J.P. Reithmaier, H. Jäckel, H.P. Meier, H. Melchior, IEEE Photonics Tech. Lett., 5 (8), pp 896-899
7. R. Iga, T. Tamada, H. Sugiura, Journal of Crystal Growth, 136, pp 273-277, 1994
8. R. Iga, T. Tamada, H. Sugiura, Appl. Phys. Lett., 61, p 1423, 1992
9. H. Sugiura, K. Wakita, R. Iga, T. Yamada, Journal of Crystal Growth, 136, pp 64-68, 1994
10. H. Sugiura, IEEE Proc. of LEOS, 1, pp 46-47, 1994
11. W.D. Laidig, N. Holonyak, Jr., M.D. Camras, K. Hess, J.J. Coleman, P.D. Dapkus, J. Bardeen, Appl. Phys. Lett., 38, p 776, 1981
12. T. Kamizato, S. Arimoto, H. Watanabe, K. Kadoiwa, E. Omura, S. Kakimoto, K. Ikeda, 13th IEEE International Semi. Laser conf., Takamatsu, Japan, D-30, pp 94-95, 1992
13. G.J. van Gurp, W.M van ve Wijgert, G.M. Fontijn, P.J.A. Thijs, J. Appl. Phys., 67 (6), pp 2919-2926, 1990
14. D.G. Deppe, K.C. Hsieh, N. Holonyak, Jr., R.D. Burnham, R.L. Thornton, J. Appl. Phys., 58, p 4515, 1985
15. R.L. Thornton, W.J. Mosby, T.L. Paoli, IEEE Journal Lightwave tech., LT-6, pp 786-792, 1987
16. B. Tell, B.C. Johnson, J.L. Zyskind, J.M. Brown, J.W. Sulhoff, K.F. Brown-Goebele, B.I. Miller, U. Koren, Appl. Phys. Lett., 52 (17), pp 1428-1430, 1988
17. M. Suzuki, H. Tanaka, S. Akiba, Y. Kushiro, Journ. Lightwave Tech., 6, p 779, 1988
18. M. O'Neill, J.H. Marsh, R.M. De La Rue, J.S. Roberts, C. Button, R. Gwilliam, Electron. Lett., 26, pp 1613-1615, 1990
| | Authors | Journal/Conference | Volume/Issue | Pages | Year |
|---|------------------------------------------------------------------------|---------------------------------------------------------|--------------|------------------------|------|
| 19| S.R. Andrew, J.H. Marsh, M.C. Holland, A.H. Kean | Photonics Tech. Lett. | | pp 426-428 | 1992 |
| 20| J.H. Marsh, S.A. Bradshaw, A.C. Bryce, R. Gwilliam, R.W. Glew | J. Electron. Mat. | 20 (12) | pp 973-978 | 1991 |
| 21| J. Beauvais, J.H. Marsh, A.H. Kean, A.C. Bryce, C.Button | Electron Lett. | 28 | pp 1670-1672 | 1992 |
| 22| J. Beauvais, S.G. Ayling, J.H. Marsh | IEEE Photonics Tech. Lett. | 5 (4) | p 372 | 1993 |
| 23| T. Miyazawa, H. Iwamura, M Naganuma | IEEE Photonics Lett. | 3 (5) | pp 421-423 | 1991 |
| 24| E.V.K. Rao, A. Hamoudi, Ph. Krauz, M. Juheh, H. Thibierge | Appl. Phys. Lett. | 66 (4) | pp 472-474 | 1995 |
| 25| B.S. Ooi, A.C. Bryce, J.H. Marsh | Electron Lett. | 31 (6) | pp 449-451 | 1995 |
| 26| J.E. Epler, R.D. Burnham, R.L. Thornton, T.L. Paoli | Appl. Phys. Lett. | 50 (23) | pp 1637-1639 | 1987 |
| 27| D.G. Deppe, K.C. Hsieh, N. Holonyak, Jr., R.D. Burnham, R.L. Thornton | J. Appl. Phys. | 58 | p 4515 | 1985 |
| 28| K. Brunner, G. Abstreiter, M. Walther, G. Böhm, G. Tränkle | Surface Science | 267 | pp 218-222 | 1992 |
| 29| J. Ralston, A.L. Moretti, R.K. Jain, F.A. Chambers | Appl. Phys. Lett. | 50 (25) | pp 1817-1819 | 1987 |
Chapter 2 Multiple Quantum Well Structures
2.1 Introduction
This thesis deals with quantum well intermixing of structures containing InGaAs wells and InGaAsP barriers. In order to understand the disordering process and the range of optoelectronic devices fabricated, it is necessary to understand the basic optical and electrical properties of quantum wells and multiple quantum well structures.
2.2 Quantum Well Modelling
2.2.1 The Schrödinger Equation
The classical expression for the energy of a particle is given as:
\[ \text{kinetic energy} + \text{potential energy} = \text{total energy} \]
(K.E. + P.E. = T.E.).
This expression can be written as:
\[ W = H(r, p) = \frac{1}{2m}p^2 + U(r) \]
(2.1)
where \( W \) is the total energy,
\( H \) is the Hamiltonian,
\( m \) is the mass,
\( p \) is the momentum,
\( r \) is the position of the particle, and
\( U(r) \) is some time independent potential
In quantum-mechanical theory, however, the position and momentum of a particle are defined by a complex scalar wavefunction \( \Psi(r,t) \). The quantity \( \Psi(r,t)\Psi^*(r,t)dxdydz \) gives the probability that at a time \( t \), the particle will be found in the elementary volume \( dxdydz \). Since the particle must be found somewhere in space, this leads to the normalising condition:
\[ \int \int \int_{-\infty}^{\infty} |\Psi|^2 dxdydz = 1 \]
(2.2)
The function $\Psi(r,t)$ and its derivative $\nabla \Psi = \left( \frac{\partial \Psi}{\partial x}, \frac{\partial \Psi}{\partial y}, \frac{\partial \Psi}{\partial z} \right)$ are assumed to be continuous.
Quantities such as average position and momentum must be derived from the wavefunction, $\Psi$, rather than directly from classical equations of motion.
In quantum mechanics, classical variables such as position and momentum are replaced with operators (which operate on the wavefunction) and are given in Table 1.
| Classical variable | Quantum mechanical operator |
|--------------------|-----------------------------|
| Position | $r = (x,y,z)$ | $r$ |
| Momentum | $p = (p_x,p_y,p_z)$ | $\frac{\hbar}{i} \nabla = \frac{\hbar}{i} \left( \frac{\partial}{\partial x}, \frac{\partial}{\partial y}, \frac{\partial}{\partial z} \right)$ |
| Energy | $W$ | $-\frac{\hbar}{i} \frac{\partial}{\partial t}$ |
Table 1 Classical and quantum mechanical definitions of particle properties
It is now possible to write the Hamiltonian in the quantum mechanical form given by the partial differential equation:
$$-\frac{\hbar^2}{2m} \left( \frac{\partial^2 \Psi}{\partial x^2}, \frac{\partial^2 \Psi}{\partial y^2}, \frac{\partial^2 \Psi}{\partial z^2} \right) + U(r) \Psi = -\frac{\hbar}{i} \frac{\partial \Psi}{\partial t} \quad (2.3)$$
Equation (2.3) is called the time-dependent Schrödinger Equation. Solutions to this equation given by $\Psi(r,t)$ completely describe the motion of a particle in the quantum mechanical sense.
A useful simplification is to seek separable solutions where $\psi(r)$ and $T(t)$ are independent such that:
$$\Psi(r,t) = \psi(r) T(t) \quad (2.4)$$
Substituting equation (2.4) into the time-dependent Schrödinger equation and dividing by $\psi T$ gives:
$$-\frac{1}{\psi} \frac{\hbar^2}{2m} \left( \frac{\partial^2 \psi(r)}{\partial x^2}, \frac{\partial^2 \psi(r)}{\partial y^2}, \frac{\partial^2 \psi(r)}{\partial z^2} \right) + U(r) = -\frac{\hbar}{i} \frac{1}{T} \frac{\partial}{\partial t} T(t) \quad (2.5)$$
The left hand side of equation (2.5) is a function of \( r \) only and the right hand side is a function of \( t \), so the separation has been shown to be valid. If the constant of separation is equal to \( W \) then:
\[
-\frac{\hbar}{i} \frac{\partial}{\partial t} T(t) = WT
\]
(2.6)
which has a solution of the form:
\[
T = \exp(-iWt/\hbar)
\]
(2.7)
The wavefunction can now be written as:
\[
\Psi(r,t) = \psi(r)\exp(-iWt/\hbar)
\]
(2.8)
It has already been stated in equation (2.3) that the time derivative of the wavefunction represents the total energy of the particle. Therefore:
\[
-\frac{\hbar}{i} \frac{\partial}{\partial t} (\Psi(r,t)) = W\psi(r)\exp(-iWt/\hbar)
\]
\[
= W\Psi(r,t)
\]
(2.9)
implying that \( W \) is the total energy of the particle.
The position dependent part of equation (2.8) substituted into equation (2.3) yields the time-independent Schrödinger equation:
\[
-\frac{\hbar^2}{2m} \left( \frac{\partial^2 \psi}{\partial x^2}, \frac{\partial^2 \psi}{\partial y^2}, \frac{\partial^2 \psi}{\partial z^2} \right) + U(r)\psi = W\psi
\]
(2.10)
where \( W \) is an eigenvalue of the equation and \( \Psi \) is an eigenfunction of the equation.
### 2.2.2 The One-Dimensional Square Potential Well
A thin layer of low bandgap material (such as InGaAs) sandwiched between two identical layers of high bandgap material (such as InGaAsP) results in a conduction band profile similar to that shown in Fig. 1.
The potential profile for the conduction band of such a quantum well can be described by:
\[ U(x) = \begin{cases}
0 & \text{for } |x| < a \\
U_0 & \text{for } |x| > a
\end{cases} \] \hspace{1cm} (2.11)
**Fig. 1** Conduction band potential profile for a quantum well of finite depth
Schrödinger's Equation then reduces to:
\[
-\frac{\hbar^2}{2m_e(x)} \frac{\partial^2 \psi}{\partial x^2} = W\psi \quad \text{for } |x| < a
\]
\[
-\frac{\hbar^2}{2m_e(x)} \frac{\partial^2 \psi}{\partial x^2} = (W - U_0)\psi \quad \text{for } |x| > a
\] \hspace{1cm} (2.12)
where \( m_e(x) \) is the effective mass of the electron in the conduction band which is composition dependent (i.e., the mass of an electron is different in the well and the barrier).
For \( 0 < W < U_0 \) this equation has the general solution:
\[
\psi(x) = A \sin \alpha x + B \cos \alpha x \quad \text{for } |x| < a
\]
\[
\psi(x) = C \exp(-\beta x) + D \exp(\beta x) \quad \text{for } |x| > a
\] \hspace{1cm} (2.13)
\[
\alpha = +\sqrt{2m_e(x)W/\hbar^2}, \quad \beta = +\sqrt{2m_e(x)(U_0 - W)/\hbar^2}
\] \hspace{1cm} (2.14)
The solutions of the Schrödinger equation for a potential well are analogous to finding the guided modes in an optical waveguide (see Chapter 4). The only solutions
of interest are normalizable wavefunctions, implying that $D = 0$ for $x > a$ and $C = 0$ for $x < -a$. The requirement that $\psi(x)$ and $\frac{1}{m_e(x)} \frac{\partial \psi}{\partial x}$ are both continuous imposes further conditions at the boundaries $x = \pm a$. Working through some simple maths leads to:
$$\beta a = \alpha a \tan \alpha a \quad \text{or} \quad \beta a = -\alpha a \cot \alpha a \quad (2.15)$$
Solutions to equation (2.13) are then given by the intersection points (in the $\alpha$-$\beta$ plane) of equations (2.15) and the circular arc given by equation (2.14) such that:
$$(\alpha a)^2 + (\beta a)^2 = 2m_e(x)U_0a^2 / \hbar^2 \quad (2.16)$$
Solutions of the wavefunction which fit the boundary conditions therefore only occur for discrete eigenvalues and are called bound states. For $W > U_0$ there is a continuous spectrum of wavefunctions whose magnitudes do not decay to zero as $|x| \to \infty$. For $W \leq 0$ there is no normalizable function which is a solution.
In the valence band, the wavefunction must be solved for both light and heavy holes since they have different effective masses (both in the well and in the barrier). This typically leads to twice as many bound levels in the valence band compared to the conduction band. Fig. 2 shows a schematic representation of the bound states (or eigen-energies) for electrons, light holes and heavy holes, in a quantum well of finite depth.
### 2.2.3 The Potential Well of Infinite Depth
A simpler model to analyse is the square well of infinite depth (i.e. where the potential barriers are infinitely high). The potential profile can be described as:
$$U(x) = \begin{cases}
0 & \text{for } |x| < a \\
\infty & \text{for } |x| > a
\end{cases} \quad (2.17)$$
with boundary conditions at $x = \pm a$ simplifying to:
$$A \sin \alpha a + B \cos \alpha a = 0$$
$$-A \sin \alpha a + B \cos \alpha a = 0 \quad (2.18)$$
which gives:
$$A \sin \alpha a = 0, \quad B \cos \alpha a = 0 \quad (2.19)$$
Fig. 2 Schematic diagram of bound states in a quantum well of finite depth
For symmetric solutions:
\[ A = 0 \text{ and } \cos \alpha a = 0 \]
(2.20)
while for asymmetric solutions:
\[ B = 0 \text{ and } \sin \alpha a = 0 \]
(2.21)
This requires that \( \alpha a = m\pi/2 \), which gives (from equations (2.20) & (2.21)):
\[ W_m = \frac{\pi^2 \hbar^2 m^2}{8m_e a^2}, \quad m = 1, 2, 3... \]
(2.22)
The wavefunctions can then be described by:
\[ \psi(x) = B \cos \left( \frac{(2m-1)\pi x}{2a} \right) \]
(2.23)
and,
\[ \psi(x) = A \sin \left( \frac{2m\pi x}{2a} \right) \]
(2.24)
with A and B given by the normalising condition in equation (2.1).
Fig. 3 shows the first three wavefunctions in a square well of infinite depth which correspond to
\[ \psi(x) = B \cos \frac{\pi x}{2a}, \quad \psi(x) = A \sin \frac{\pi x}{a}, \quad \psi(x) = B \cos \frac{3\pi x}{2a} \]
(2.25)
The square well of infinite depth can be used as a quick way of calculating approximately the lowest energy eigenvalue in a square well of finite depth.
It has been assumed in the above that the barriers are infinitely thick and that no interaction takes place between wells (i.e. the wavefunctions do not overlap). This is not always the case, especially when dealing with superlattice structures which are specifically designed to utilise the effects of overlapping wavefunctions. The material used in this thesis, however, can be assumed to have no overlap of the wavefunctions between adjacent quantum wells.
Fig. 3 First three wavefunctions in conduction band of quantum well of infinite depth
2.2.4 The free electron
It is possible to regard an electron in the conduction band of a semiconductor as a free electron on which no forces are acting. If the potential $U(r)$ is arbitrarily set to zero, then the time-independent Schrödinger equation can be written as:
$$-\frac{\hbar^2}{2m_e} \left( \frac{\partial^2 \psi}{\partial x^2} + \frac{\partial^2 \psi}{\partial y^2} + \frac{\partial^2 \psi}{\partial z^2} \right) = W \psi \quad (2.26)$$
Solutions to equation (2.25) are plane waves of the form:
$$\psi(x, y, z) = \text{const.} \exp[ik \cdot r] \quad (2.27)$$
where:
$$k^2 = k_x^2 + k_y^2 + k_z^2 = 2m_e W / \hbar^2 \quad (2.28)$$
There are energy states for all values of $W > 0$, thus forming a continuous spectrum. The parabolic relationship between the wave number, $k$, and the energy, $W$, is shown in Fig. 4.
Fig. 4 Parabolic relationship between the wavenumber and energy of a free-electron
2.3 Band structure of indium phosphide
The band structure of InP is shown schematically in Fig. 5. The profiles of various bands are shown in two different crystal directions starting from the centre of the first Brillouin zone at $\Gamma = \frac{2\pi}{a}(0,0,0)$. The point L corresponds to the limit of the first Brillouin zone along the $\Lambda$ axis $<111>$ and the co-ordinates are given by $L = \frac{2\pi}{a}\left(\frac{1}{2}, \frac{1}{2}, \frac{1}{2}\right)$. The point X corresponds to the limit of the first Brillouin zone along the $\Delta$ axis $<100>$ and the co-ordinates are given by $X = \frac{2\pi}{a}(0,0,1)$. $a$ is the relevant lattice parameter of the unit cell under consideration.
The conduction and valence bands both consist of sub-bands which play important roles in determining the properties of the semiconductor. For example, in the valence band there is a heavy-hole (hh) band and a light-hole (lh) band which have the same energy at $k=0$ ($\Gamma$) and are said to be degenerate. The hh band is less strongly bent away from this point and lies at higher energies than the lh band. The split-off band (sb) lies at lower energies than the lh and hh bands with a separation at $k=0$ of 0.11 eV. In the conduction band, higher bands exist which electrons can reach if they obtain enough kinetic energy. This effect is used in microwave devices such as the Gunn diode.
The conduction band minima and valence band maxima are both situated at $k=0$, which is indicative of a direct bandgap semiconductor. The energy gap at room temperature is 1.35 eV. The band structure of InGaAsP compounds lattice matched to InP is also direct and is similar to Fig. 5.
The most important part of Fig. 5 is around the minima of the conduction band and the maxima of the valence band. This is where electrons will be found in the conduction band, and holes in the valence band. In the neighbourhood of the conduction band minima, the band profile can be approximated by the parabolic relation
$$W(k) = W_g + \frac{\hbar^2 k^2}{2m_e} \quad (2.29)$$
where the top of the valence band has been chosen as the point of zero energy,
$W_g$ is the energy of the bandgap,
$k$ is the wave number, and
$m_e$ is the effective mass of the electron.
Fig. 5 Band structure of indium phosphide
The effective mass of the electron at $k=0$ is then given by:
$$m_e = \hbar^2 \left( \frac{\partial^2 W}{\partial k^2} \right)^{-1}$$ \hspace{1cm} (2.30)
Similarly, the effective masses of the heavy-hole and the light-hole can be obtained by using a parabolic approximation for the different valence sub-bands:
$$W(k) = -\frac{\hbar^2 k^2}{2 m_{hh}}$$ \hspace{1cm} (2.31)
for heavy-holes,
$$W(k) = -\frac{\hbar^2 k^2}{2 m_{lh}}$$ \hspace{1cm} (2.32)
for light-holes, and
$$W(k) = -\Delta_{sb} - \frac{\hbar^2 k^2}{2 m_{sb}}$$ \hspace{1cm} (2.33)
for the split-off band.
### 2.4 Density of States
#### 2.4.1 Density of states for a parabolic band
In section 2.2.4 it was assumed that electrons close to the band edge behave like particles which are described by the wavefunction $\psi(x,y,z) = const.\exp[i\mathbf{k} \cdot \mathbf{r}]$. In a cube of material length $L$, the allowed $\mathbf{k}$ vectors are given by:
$$k_x, k_y, k_z = 0, \pm 2\pi/L, \pm 4\pi/L, \ldots.$$ \hspace{1cm} (2.34)
as shown in Fig. 6. This means that each allowed $\mathbf{k}$-value occupies a volume of $(2\pi/L)^3$ in $\mathbf{k}$-space and the number of states per unit volume (in $\mathbf{k}$-space) is given as $(L/2\pi)^3$. Dividing by the volume of the cube gives the density of states as:
$$D(\mathbf{k})d\mathbf{k} = \frac{2}{(2\pi)^3} d\mathbf{k}$$ \hspace{1cm} (2.35)
where the factor of 2 has been introduced to account for the 2 spin orientations possible for each state. \( D(k)dk \) represents the total number of states in the region from \( k \) to \( k + dk \).
**Fig. 6 Density of states in k-space**
The number of states in the energy interval \( W_0 \) to \( W_0 + dW \) is given by the volume of \( k \)-space bounded by these energies, multiplied by the density of states in \( k \)-space. From Fig. 6 it can be seen that regions of constant energy form concentric spheres in \( k \)-space with the volume, \( V \), between two concentric spheres given as:
\[
V = 4\pi k^2 dk
\]
(2.36)
where \( k \) is the radius of the inner sphere, and
\( dk \) is the distance between them.
Combining equations (2.35) and (2.36), the total number of states in the energy interval \( W_0 \) to \( W_0 + dW \) is then given by:
\[
D(W_0)dW = 2/(2\pi)^3 * 4\pi k^2 dk
\]
(2.37)
Substituting \( W \) for \( k \) using equation (2.31) gives:
\[
D(W_0)dW = \sqrt{2\pi^{-2}\hbar^{-3}m_e^{3/2}}(W - W_g)^{1/2}dW
\]
(2.38)
and
\[ D(W_0) = \sqrt{2\pi^{-2}\hbar^{-3}m_e^{3/2}}(W - W_s)^{1/2} \]
(2.39)
where \( D(W_0) \) is called the density of states i.e. the density of allowed energy states per unit volume.
### 2.4.2 Density of states for a quantum well
In a quantum well, the motion of the electrons and holes (in the direction perpendicular to the plane of the well) is described by discrete values of the wavevector component \( k_{xy} \), \( \gamma = 1, 2, 3, \ldots \). In the plane of the quantum well, the carriers are free to move, thus forming a 2-dimensional gas.
For each value of \( \gamma \), the energy of the electrons is given as:
\[ W_{e\gamma}(k) = W_{e\gamma} + \frac{\hbar^2}{2m_e}(k_y^2 + k_z^2) \]
(2.40)
where the wavevector \( k \) is written as \( k = (k_{xy}, k_y, k_z) \) with fixed x-components and arbitrary y and z components.
The components \( k_{xy} \) can be found by solving the Schrödinger equation for the particular well and finding the energy levels, \( W_{e\gamma} \), and using the equation:
\[ k_{xy}^2 = \frac{2m_eW_{e\gamma}}{\hbar^2} \]
(2.41)
\( k_y \) and \( k_z \) are identical to the parabolic case
\[ k_y, k_z = 0, \pm 2\pi/L, \pm 4\pi/L, \ldots \]
(2.42)
The density of states is then given by:
\[ D_{e\gamma}(k)dk = \frac{2\delta(k_x - k_{xy})dk}{a_x(2\pi)^2} \]
(2.43)
where \( \delta \) is the Dirac delta function, and
\( a_x \) is the width of the quantum well.
From equation (2.39), surfaces of constant energy in k-space will form circular cylinders with their axis being the $k_x$ axis. The energy dependent density of states is then given by:
$$D_{\tau} (W)dW = \frac{m_e}{\pi a_s^2 \hbar^2} dW \quad \text{for } W \geq W_{c\tau}$$
(2.44)
i.e. the function $D_{\tau} (W)$ is constant. For each sub-band, the density of states is therefore constant so that the density of states consists of a series of steps given by
$$D_c(W) = \sum_{\tau} D_{\tau} (W) = \frac{m_e}{\pi a_s^2 \hbar^2} \sum_{\tau} H(W - W_{c\tau})$$
(2.45)
where $H$ is the step function
$$H(W - W_{c\tau}) = \int_{-\infty}^{W} \delta(W' - W)dW' = \begin{cases} 1 & \text{for } W \geq W_{c\tau} \\ 0 & \text{otherwise} \end{cases}$$
(2.46)
In reality the density of states does not follow a sharp step but is smeared out due to the finite width of the energy levels within the quantum wells. This leads to the step like function shown in Fig. 7 with the density of states for bulk material (3-D) and the true 2-D density of states shown for reference.
Fig. 7 Density of states for bulk material and quantum-well material
2.5 Optical Absorption
In multiple quantum well structures, interband optical absorption results when a photon excites an electron from a confined state in the valence band to a confined state in the conduction band. It is for this reason that the absorption spectrum follows the density of states function, since the electron must move from one allowed energy level to another. In addition to this condition, the transition probability must be non-zero which means that there must be a finite overlap of the wavefunctions of the initial and final states. For a quantum well which has equal confinement factors of the carriers in the conduction and valence bands (i.e. the barrier heights and the effective masses are equal) then this imposes the condition $\Delta n=0$ for an allowed transition.
2.5.1 Effect of Material Structure
The multiple quantum well structures studied in this thesis consist of InGaAs wells ($\approx 5$ nm thick) sandwiched between wider bandgap InGaAsP barriers ($\approx 12$ nm thick). The difference in bandgap between the two layers results in potential wells in both the valence band and conduction band. There is some uncertainty as to the ratio of the well depths $^3$, but it is of the order of 60:40, valence band : conduction band (i.e. the potential well in the valence band is deeper than the conduction band). Carriers in the valence band and conduction band also have different effective masses which affect the eigen-energies within the well. The carriers also have different effective masses in the wells and barriers which leads to a modification of the boundary conditions when solving the Schrödinger equation; $\frac{1}{m(x)} \left( \frac{\partial \psi}{\partial x} \right)$ must be continuous at the well/barrier interface, rather than $\left( \frac{\partial \psi}{\partial x} \right)$.
The well strength parameter (which is a measure of the confinement factor of the carrier in the potential well) is dependent on the depth of the potential well and the effective mass of the confined carriers and as a result leads to different well strengths for the electrons, light holes and heavy holes. It is the different well strengths of the hh and lh bands that leads to the degeneracy at $k=0$ being lifted, since the $1/m^*$ factor in the kinetic energy term in the Hamiltonian results in the hh eigen-energies being smaller than the lh eigen-energies.
The points raised in this section lead to slight modifications of the selection rules which control the interband transitions and thus the absorption spectrum. The different well strengths mean that while eigen-functions in one well remain orthogonal, eigen-functions of different bands with $\Delta n \neq 0$ may not necessarily be
orthogonal. As a consequence, transitions of $\Delta n = \text{even integer}$ are observed as weak peaks in the absorption spectrum of MQW material.
### 2.5.2 Excitonic Effects in MQWs
Interband optical absorption always involves the creation of an electron-hole pair which are attracted due to Coulombic forces. Since the electron and hole interact, they cannot be regarded as single particle states and therefore the concept of the exciton must be introduced. An exciton is defined as an electron-hole pair which is bound together like a hydrogen atom but free to move through the lattice. In bulk semiconductors, peaks are observed in the absorption spectra due to excitons but only at low temperatures since the weakly bound e-h pair is easily ionised by phonon interactions.
The confinement of an exciton in a quantum well modifies the spherically symmetric orbit by squashing it into the quantum well plane. The reduced average separation of the electron and hole increases the Coulombic force between them and leads to an increase in the binding energy. This increase in binding energy means the thermal energy required to ionise them increases which means that excitons can exist at room-temperature in MQW structures and thus have an important effect on the absorption spectrum of an MQW structure.
There are excitonic states associated with each step in the optical absorption spectrum with two peaks observed at the $n=1$ transition. The low energy peak is associated with an exciton created from an electron and a heavy-hole while the high energy peak is associated with a light-hole exciton. In general, excitons are in the $1s$ hydrogenic ground state and lie at an energy just below the step in the density of states function.
The binding energy for an exciton in 3-dimensions is given by:
$$B_{3D} = -\frac{e^2 \mu^*}{2 \varepsilon^2 h^2}$$ \hspace{1cm} (2.47)
where $\mu^*$ is the reduced effective mass of the exciton, and $\varepsilon$ is the dielectric constant of the material.
In a purely 2-dimensional case, the binding energy is increased by a factor of 4 giving:
$$B_{2D} = -\frac{2e^2 \mu^*}{\varepsilon^2 h^2}$$ \hspace{1cm} (2.48)
In reality, both the finite width of the quantum wells and the penetration of the electron and hole wavefunctions into the barriers results in a quasi 2D exciton with a binding energy lying somewhere between B$_{2D}$ and B$_{3D}$. It is this increase in the binding energy that allows excitons to be observable at room temperature in MQW structures.
### 2.5.3 Polarisation Dependence Of Absorption Spectra
The absorption spectrum of an MQW structure is polarisation dependent. For light which is polarised in the plane of the wells (TE), two excitonic peaks are observed; one associated with the heavy-hole band $|3/2,\pm3/2\rangle$ and a second associated with the light-hole band $|3/2,\pm1/2\rangle$. The relative absorption strengths of the peaks are 3:1 for the heavy and light holes respectively. For light polarised perpendicular to the plane of the wells (TM), there is only one peak observed, corresponding to the light hole exciton which gives relative absorption strengths of 0:1 for the heavy and light hole transitions. These selection rules are related to crystal symmetry and can be explained in terms of the transition matrix elements.
### 2.6 The Effect Of An Electric Field On The Properties Of Quantum Wells
The previous sections in this chapter have dealt with analysis of the properties of quantum wells with no applied electric field. By applying an electric field, the properties of quantum wells can be radically changed, which can be utilised in different optoelectronic components. The electric field can be applied either parallel to the plane of the wells or, more usefully, perpendicularly. Before analysing the effect an electric field has on an MQW structure it is worth examining the effect on bulk semiconductor.
#### 2.6.1 The Franz-Keldysh Effect In Bulk Semiconductors
When a large DC electric field ($\approx 10^5$ Vcm$^{-1}$) is applied to a semiconductor, the optical absorption edge broadens, causing a tail in the absorption spectrum at energies below the band edge and oscillations in the absorption spectrum at energies above the band edge$^5$. This effect is known as the Franz-Keldysh effect$^6$.
The effective decrease in the band gap can be explained in terms of photon assisted tunnelling of electrons from the valence band to the conduction band. In the presence of an electric field, the bands tilt but remain parallel and with the same vertical bandgap as shown in Fig. 8. The wavefunction of the carriers in the conduction and valence bands are now asymmetric, decaying into the band gap and oscillating into the bands. It is apparent from the wavefunctions that an electron can be excited from the valence band to the conduction band by a photon whose energy, $E_1$, is less than the vertical band gap, $E_g$. The electron can also be excited from a region where the wavefunction is oscillatory by a photon with energy, $E_2$, greater than the band gap, giving rise to the oscillations observed in the absorption spectrum.
### 2.6.2 Electric Field Perpendicular to the Plane of the Quantum Wells
When an electric field is applied perpendicular to the plane of the quantum wells, the change in absorption is radically different to changes observed when the field is parallel to the plane of the quantum wells or to that for bulk semiconductors. The effect which is observed is called the Quantum Confined Stark Effect (QCSE) and is shown schematically in Fig. 9.
In section (2.2.2) it was shown that carriers in a finite potential well exist at discrete energies given by the solution to the time-independent Schrödinger equation.
Fig. 9 Quantum Confined Stark Effect
When an electric field is applied normal to the plane of the quantum wells, the bands slope (as shown in Fig. 9) with Eq. (2.12) now redefined as:
\[
-\frac{\hbar^2}{2m_e(x)} \frac{\partial^2 \psi}{\partial x^2} = eF_x x + W \psi \quad \text{for } |x| < a \\
-\frac{\hbar^2}{2m_e(x)} \frac{\partial^2 \psi}{\partial x^2} = eF_x x + (W - U_0) \psi \quad \text{for } |x| > a
\]
(2.49)
where \(e\) is the electronic charge, and
\(F_x\) is the electric field.
Solving equations (2.49) yields wavefunctions which have been displaced to the lower energy sides of the well (i.e. the electron wavefunction has moved in the direction of the field and the hole wavefunction has moved in the opposite direction). Another important consequence of the electric field is that the eigen-energies in the wells have changed, with the effective bandgap being reduced. This change in bandgap moves the absorption edge to lower energies, with the shift being proportional to the square of the applied electric field. This is the effect known as the Quantum Confined Stark Effect (QCSE).
The main features of the QCSE are that the exciton associated with the n=1 transition moves to lower energies\(^7\) and that the exciton resonances remain resolvable for electric field strengths of up to 50 times the classical exciton ionisation field\(^8\).
The asymmetry of the wavefunctions introduced by the field causes a reduction in the overlap and thus reduces the oscillator strength of the absorption. By the same argument, the overlap (and oscillator strength) for transitions with \(\Delta n \neq 0\) increases with field, thus increasing the absorption. The asymmetry in the wavefunctions will cause the absorption edge to broaden in a manner similar to that for bulk semiconductor. This effect is called the Quantum Confined Franz-Keldysh effect (QCFKE).
---
1 Integrated Optoelectronics, K.J. Ebeling, Springer-Verlag
2 GaInAsP Alloy Semiconductors, T.P. Pearsall, Wiley & Sons, New York, 1982, p 295
3 Properties of Lattice matched and strained InGaAs, INSPEC EMIS Data Review Series, No. 8,
4 D.S. Chemla, D.A.B. Miller, P.W. Smith, A.C. Gossard, W. Wiegman, IEEE J. Quantum Electron., 20, p265, 1984
5 J.D. Dow, D. Renfield, Phys. Rev. B, 1, p3358, 1970
6 L.V. Keldysh, Sov. Phys., JETP, 34(7), p788, 1958
7 M. Whitehead, G. Parry, K. Woodbridge, P.J. Dobson, G. Duggan, Appl. Phys. Lett., 52, p345, 1988
8 D.A.B. Miller, D.S. Chemla, T.C. Damen, A.C. Gossard, W. Weigmann, T.H. Wood, C.A. Burrus, Appl. Phys. Lett., 45, p13, 1984
Chapter 3 Photoabsorption Induced Disordering
3.1 Introduction
Laser induced disordering processes are unlike any other quantum well intermixing process in that they rely entirely on using the temperature dependence alone of the diffusion coefficient to produce preferential intermixing across a wafer. All other intermixing processes rely on changing the diffusion coefficient in some way, and using a constant temperature to produce areas of different bandgap on a wafer. Photoabsorption Induced Disordering (PAID), however, is unique amongst laser induced intermixing processes in that it is aimed at processing large areas of material.
For this reason, there are several important considerations in understanding the PAID process. For example: what are the mechanisms which produce heat in the material when being irradiated with a laser and, perhaps more importantly, what does that heat do after it is generated?
This chapter will describe the experimental procedure used to intermix multiple quantum well structures by PAID. The processes involved in heating semiconductor material using a laser will be discussed, along with the thermal properties of semiconductors.
The potential profile of the quantum wells is also investigated with a brief explanation given as to how changes in the photoluminescence emission wavelength of multiple quantum well material can be related to the amount of intermixing.
3.2 Experimental Arrangement
The experimental set-up for intermixing material using PAID is shown in Fig. 1. The laser used in PAID was a CW operated Spectron Nd:YAG solid state laser shown schematically in Fig. 2. The laser can operate at either 1064 nm or 1320 nm depending on the mirror set used but was used exclusively at 1064 nm in this work.
The YAG rod of the Spectron laser is flashlamp pumped and water cooled. The rear mirror (which is dielectric coated) is approximately 99% reflecting while the output coupler is approximately 95% reflecting. Inside the optical cavity, there is a mount which allows various diameters of aperture to be placed, which controls the transverse mode profile of the beam. All work carried out in this thesis involved using the largest possible aperture (to maximise the power), with the resultant beam being multimoded in the transverse direction. There is also a mount which holds an
Fig. 1 Experimental set-up used in the PAID process
Nd:YAG laser beam
rf generator
acousto-optic modulator
gold coated mirrors
lens
molybdenum plate
thermocouple
hotplate
temperature monitor
optical bench
Fig. 2 Schematic diagram of Spectron Nd:YAG laser
intra-cavity acousto-optic modulator which allows the laser to be Q-switched, although the modulator was not used during this work.
Since Nd:YAG lasers suffer from thermal lensing (which causes the beam divergence to increase at higher powers), an external acousto-optic modulator was used to control the beam power. The beam direction was controlled using gold coated mirrors on kinematic mounts which allowed accurate control of the beam position on the sample. A lens was also included in the system, depending on the beam size required at the sample.
During the PAID process, the sample was placed on a piece of polished molybdenum and then on a hotplate with a background temperature of around 240°C. The use of a piece of molybdenum allowed the sample to be removed from the hotplate and cooled relatively quickly to a temperature at which photoluminescence measurements could be carried out. The increase in equilibrium temperature reduced the incident laser power density required to heat the material up to a temperature at which intermixing would occur. The power density could be further reduced simply by reducing the heat flow from the sample using a piece of insulating ceramic. This reduced the required power density from around 5 Wmm\(^{-2}\) to around 1 Wmm\(^{-2}\). Using an insulator such as ceramic to trap the heat in the sample has the effect, however, of reducing the resolution of the process, due to lateral conduction of the heat instead of the desired vertical conduction through the substrate. This effect is discussed in more detail in Chapter 10.
During the PAID process the sample was coated with a layer of plasma-deposited silicon dioxide which acted both as an anti-reflection coating and as a protective layer against surface reactions with the atmosphere. It was found that a layer of around 500 nm was sufficient to protect the surface during the disordering process. This thickness also corresponds to an anti-reflection coating since it is approximately equal to:
\[
\frac{3\lambda_{YAG}}{4n_{(SiO_2)}} = 532nm
\]
If the layer was thinner, then it tended to crack open at high temperatures, exposing the material to the air and causing surface reactions. The reason for it cracking open was due to the fact that the thermal expansion coefficient of the epitaxial material is an order of magnitude greater than that of the silicon dioxide which meant that, at high temperatures, the silicon dioxide could not withstand the strain caused by the expanding material.
3.3 Photoluminescence Measurements
Photoluminescence measurements were carried out relatively simply using the same Nd:YAG laser as that used to intermix the material. The set-up is shown schematically in Fig. 3. The laser beam used was the first diffracted order from the acousto-optic modulator, at a power level of approximately 50 mW coupled into a multimode fibre using a X10 microscope objective lens. By gluing the sample to the multimode fibre, the photoluminescence spectra could be measured at both room temperature and at 77 K (by immersing the sample in liquid nitrogen). The spectrum was measured by an Advantest Optical Spectrum Analyser.
3.4 Absorption of light in a semiconductor
The absorption of light by semiconductor material is substantially dependent on the bandgap of the different epi-layers within the structure. This means that, for any appreciable absorption to take place, the material must not be transparent to the laser irradiation.
Fig. 4 shows the bandgap of different layers within a typical InGaAs(P) multiple quantum well laser structure. Also indicated is the photon energy of the incident laser radiation from a Nd:YAG laser ($\lambda = 1064$ nm). From this diagram it is obvious that absorption should only take place within the active region, with the indium phosphide substrate and cladding layers being effectively transparent.
Absorption in the active region will cause electrons to be promoted from the valence band to empty states in the conduction band.
3.5 Generation of heat inside a Semiconductor
3.5.1 Debye Temperature
An important quantity when dealing with thermal conduction is the Debye temperature of the material. This temperature, $\theta_D$, is defined as:
$$\theta_D = \frac{\hbar \omega_{\text{max}}}{k_B}$$ \hspace{1cm} (3.1)
where $\hbar$ is Planck's constant,
$\omega_{\text{max}}$ is the maximum frequency of atomic vibrations in the crystal lattice, and $k_B$ is Boltzmann's constant.
Fig. 3 Experimental set-up for measuring PL spectra
laser beam
micro positioner
X10 objective lens
fibre
sample
3dB coupler
liquid nitrogen
spectrum analyser
optical bench
Fig. 4 Bandgap of different layers within an InGaAs(P) MQW laser structure
Fig. 5 Thermal conductivity as a function of temperature of InP
The Debye temperature can be regarded as a measure of the maximum frequency of atomic vibrations\(^1\) within a crystal lattice. For a material with a high \(\theta_D\) there is a large ratio of interatomic force to the atomic mass. Of course, there will be a temperature dependent spectral range of vibrational frequencies in the crystal lattice. For temperatures which are well above the Debye temperature, most of the oscillators in the system will vibrate with frequency equal or close to \(\omega_{\text{max}}\).
Typical values of \(\theta_D\) for semiconductors are of the order of a few hundred Kelvin. In indium phosphide\(^2\), the Debye temperature is 460 K which means that the maximum frequency of oscillation in the system is approximately \(10^{13}\) Hz, calculated from Eq. (3.1).
### 3.5.2 Carrier Cooling
The electrons which are promoted to the conduction band by the laser radiation will cool rapidly, giving up their energy to the crystal lattice through electron-phonon collisions\(^3\).
Due to the large difference between electron and phonon energies, the energy exchange typically requires several collisions between the electrons and phonons and occurs on a time scale of the order of a few picoseconds. For example, an electron which absorbs a photon with wavelength, \(\lambda = 1064\) nm, will gain energy given by:
\[
E = \frac{hc}{\lambda}
\]
(3.2)
where \(h\) is Planck's constant,
\(c\) is the speed of light in a vacuum, and
\(\lambda\) is the wavelength in free-space.
which is equal to 1.165 eV.
This means that an electron at the top of the valence band will be promoted high into the conduction band, since the bandgap of the multiple quantum well active region is only 800 meV (1550 nm) at room temperature. Now the energy of a phonon is simply given by:
\[
E = hf
\]
(3.3)
where \(h\) is Planck's constant, and
\(f\) is the frequency of the phonon vibration.
This means that in indium phosphide at temperatures of around 700°C to 800°C (i.e. $T \gg \theta_D$) the typical energy of a phonon is 41 meV (since most phonons will have a frequency approaching $10^{13}$ Hz). This means that an electron will require to interact with approximately 9 phonons to give up energy before reaching the bottom of the conduction band.
The process is obviously more complicated than this for several reasons. Firstly, as electrons are raised into the conduction band there will be a reduction in the number of filled states at the top of the valence band. This means that electrons will be promoted from energies deeper in the valence band to lower levels in the conduction band, implying that they have less free energy to give to the lattice. There is also the possibility that free electrons in the conduction band will absorb the laser radiation thus removing the need to overcome the bandgap. Another consideration is that, as the temperature is increased, the bandgap of the multiple quantum well active region will become smaller as the width of the quantum wells increases due to thermal expansion. This effective bandgap decrease will have the effect of promoting electrons to higher states in the conduction band and also increasing the thermal energy that they pass to the lattice.
After the electron has "cooled" and occupies a state at the bottom of the conduction band, it will recombine with a hole in the valence band and either emit a photon or not. The probability of a photon being emitted is defined as the internal quantum efficiency of the material and is typically around 80% in the InP based material system. For the 20% of occasions in which there is no photon emitted, the electron and hole are said to recombine non-radiatively. This can be due to imperfections in the material or different non-radiative processes such as Auger recombination or intra-valence band absorption. Since energy and momentum must be conserved, these recombinations also contribute to heating the crystal lattice.
Of course, the photons emitted by the e-h recombination may themselves be re-absorbed and contribute to lattice heating. This process is known as photon recycling and has been observed in InP\textsuperscript{4}. The typical recombination time for an electron in an InGaAs(P) multiple quantum well structure is of the order of nanoseconds which means that an electron on average has "plenty of time" to transfer its energy to the lattice before recombining. If this is considered with the value of 80% for the internal efficiency of the material, then it can be assumed that carrier cooling is the dominant heat generation process in laser-irradiated material.
This energy exchange between the electrons and the lattice causes the material to heat up, with a steady-state temperature reached in the order of a second.
### 3.6 Thermal Conduction in Semiconductors
In semiconductors, various carriers can contribute to the thermal conductivity including phonons, electrons, and holes.
Phonons are the main contributor to the thermal conductivity in most semiconductors and it is useful to describe them briefly. A phonon is a quantized mode of vibration in a crystal lattice and involves collective vibrations from the entire atomic system. These vibrations take the form of displacement waves in the volume of the crystal which produce coupled simple harmonic motion of the individual atoms. The thermal conductivity can be thought of as the propagation of these displacement waves through the lattice.
Due to the periodicity of the crystal lattice, phonons have a similar band structure to electrons although it is somewhat more complicated since phonons are polarised. In crystals with more than one type of atom per unit cell (as in the case of most semiconductors) the dispersion relationship for phonons is quite complicated. Different branches of the dispersion relation exist as a result of atoms of different mass being present in the lattice and this leads to the definition of acoustic and optic phonons.
For a given direction in a crystal lattice (e.g. [100]) the acoustic and optic phonons can both propagate in three modes, one being longitudinal and the other two being transverse. The longitudinal mode is similar to a sound wave with the atoms moving backward and forward in the direction of propagation, giving alternating areas of compression and expansion. For the transverse modes, the atoms vibrate in a plane normal to the direction of propagation and are orthogonal, as in the case of electromagnetic waves.
In a perfect crystal with completely elastic binding forces between atoms, free from defects, and boundless in size, the thermal conductivity would be infinite. In real crystals however, the atoms are not in perfect harmonic motion due to anharmonic mechanisms which determine the maximum value of thermal conductivity and how it varies with temperature. Fig. 5 shows a curve of thermal conductivity vs. temperature which is typical of virtually all semiconductors.
A simple expression for the thermal conductivity can be given as:
\[ k = \frac{1}{3} C \nu l \]
(3.4)
where \( k \) is the thermal conductivity in units of Wm\(^{-1}\)K\(^{-1}\),
\( C \) is the specific heat capacity of the material in units of JKg\(^{-1}\)K\(^{-1}\),
\( \nu \) is the propagation velocity, and
\( l \) is the mean free path of the excitation.
The effective mean free path, $l$, is defined as the average distance an excitation (phonon, photon, or electron) will travel before being scattered and can be expressed as:
$$\frac{l}{L} = \sum_j \frac{l_j}{l_j}$$ \hspace{1cm} (3.5)
where $l_j$ is the average distance travelled between collisions due to the $j$th scattering process. Examples of these scattering processes are impurity scattering, isotopic scattering, defect scattering, and phonon scattering. If there are several types of excitation contributing to the conductivity, then $k$ is simply the sum of each. Reference 3 contains much more detailed maths regarding Eq. (3.4) and (3.5), and supplies values for the relaxation times for different scattering mechanisms.
The thermal conductivity is zero at 0 K and rises approximately exponentially to a maximum at around 20 K due to the increase in specific heat capacity. The maximum value of thermal conductivity depends on the imperfections and impurities within the material. Above 20 K the thermal conductivity drops due to other scattering mechanisms which have the effect of reducing the scattering length of the excitations. As the temperature increases, the phonons begin to scatter each other to a significant extent, thereby further reducing the mean free path length and, consequently, the conductivity. At high temperatures, the conductivity decreases approximately as $1/T$, due to three phonon scattering.
Contributions to the thermal conductivity from electrons (and holes) in semiconductors becomes important only at temperatures well above the Debye temperature. At these temperatures and above, the conductivity due to electrons and holes in the lattice will be of the same order of magnitude as the conductivity due to phonons.
### 3.6.1 Effect of Doping
Highly doped semiconductors with carrier concentrations around $10^{18}$ cm$^{-3}$ to $10^{19}$ cm$^{-3}$ have a lower thermal conductivity than undoped semiconductors. While the extra carriers might be expected to contribute to the thermal conductivity, they actually have the effect of increasing both impurity scattering and electron-phonon scattering, with the overall effect of reducing the conductivity by as much as 30% in
heavily doped material. A simple approximation is that the conductivity drops by a factor of 8% for every decade of doping above $3.10^{15} \text{ cm}^{-3}$.
### 3.6.2 Thermal Conductivity of Indium Phosphide
The temperature dependence of the thermal conductivity of indium phosphide is similar to that shown in Fig. 5, with a maximum occurring between 10 K and 20 K. Above 60 K the conductivity is well described by:
$$k = AT^{-n} \quad (3.6)$$
with values of $A=2890$ and $n=1.45$ given in the literature\(^9\). Eq. (3.6) gives a room temperature thermal conductivity of 0.74 Wcm\(^{-1}\)K\(^{-1}\) for undoped indium phosphide. Fig. 6 shows the thermal conductivity for temperatures up to 1000 K which indicates that there is a massive reduction in thermal conductivity at elevated temperatures. The Debye temperature for InP is about 460 K, which means that electrons and holes will contribute significantly to the thermal conductivity only at these temperatures and above.
Experimentally measured values\(^{10,11,12}\) for the thermal conductivity give a mean of $0.74 \pm 0.1$ Wcm\(^{-1}\)K\(^{-1}\) with the reason for such a range in measured values being attributed to material purity and stoichiometry. Adachi\(^{13}\) gives a room temperature calculated value of 0.68 Wcm\(^{-1}\)K\(^{-1}\).
### 3.6.3 Thermal Conductivity of Ternary and Quaternary Alloys of InGaAsP
It is also useful to know how the thermal conductivity of the different layers within the epitaxial structure vary with respect to their atomic composition. It was stated in section (3.6.1) that introducing large numbers of foreign atoms to the host lattice (such as doping) has the effect of reducing the thermal conductivity. The formation of ternary and quaternary alloys can also be regarded as introducing foreign atoms to a simple compound at a high level. For example, indium phosphide is a simple binary compound which has a relatively high thermal conductivity (approximately 60% higher than gallium arsenide\(^{14}\)). However, when this compound forms an alloy with gallium and arsenic atoms to form InGaAs(P), the thermal conductivity drops dramatically. This drop is due to an increase in anharmonicity between the atoms in the lattice as a result of atoms of different masses being present in the crystal. Another reason for the conductivity to drop is the random position of the atoms in the lattice, especially when considering quaternary compounds.
Fig. 6 Thermal conductivity of doped and undoped InP as a function of temperature
Fig. 7 Thermal conductivity of $\text{In}_{1-x}\text{Ga}_x\text{As}_y\text{P}_{1-y}$ lattice matched to InP
Fig. 7 shows the change in thermal conductivity as a function of y for In\(_{1-x}\)Ga\(_x\)As\(_y\)P\(_{1-y}\) alloys lattice matched to InP and shows that the minimum conductivity occurs at approximately \(y = 0.75\). At \(y = 0\) the composition is InP, while at \(y = 1\) the composition is In\(_{0.53}\)Ga\(_{0.47}\)As. This is a theoretical curve predicted by Adachi\(^{15}\).
Although there is a large difference between the thermal conductivity of the different compositions, this will only affect heat transfer problems which are either on a very small scale (such as focused laser beam writing) or problems which are transient in nature (such as pulsed laser irradiation). This is because the layers with ternary or quaternary compositions in the MQW structures under investigation here are very thin compared to the substrate. This structural factor means that such layers then have negligible thermal resistance and will not greatly affect the heat flow.
### 3.7 Intermixing of Quantum Wells
Fick’s laws of diffusion are based on the hypothesis that the rate of transfer of diffusant across an area is proportional to the concentration gradient of the diffusant. This leads to:
\[
F = -D \frac{\partial C(x)}{\partial x}
\]
(3.7)
where \(F\) is the rate of diffusant crossing the area (m\(^2\)\(s^{-1}\)),
\(D\) is the diffusion coefficient (m\(^2\)\(s^{-1}\)), and
\(C(x)\) is the concentration (m\(^{-3}\))
The negative sign arises from the convention that the diffusants move in the direction of negative gradient. This is Fick’s first law of diffusion in 1-dimension.
By considering diffusion through a unit volume and using equation (3.7), Fick’s second law can be written as:
\[
\frac{\partial C}{\partial t} = D \frac{\partial^2 C(x)}{\partial x^2}
\]
(3.8)
Since we are dealing with quantum wells, it is possible to disregard diffusion in the y and z directions where the composition is constant, so the 1-dimensional equations are adequate. A solution to Eq. (3.8) is:
\[ C(x) = \frac{A}{\sqrt{t}} \exp \left( -\frac{x^2}{4Dt} \right) \]
(3.9)
where A is a constant. Eq. (3.9) represents the diffusion from an infinite source at \( x=0 \) with the diffusion profile being symmetric about \( x=0 \). The total amount of diffusant per unit area is then given by:
\[ M = \int_{-\infty}^{\infty} C(x) dx \]
\[ = 2A\sqrt{\pi D} \]
(3.10)
where M is the total amount of diffusant present at \( x=0 \) and \( t=0 \).
Substituting Eq. (3.10) into Eq. (3.9) then gives:
\[ C(x) = \frac{M}{2\sqrt{\pi Dt}} \exp \left( -\frac{x^2}{4Dt} \right) \]
(3.11)
which represents the solution to the diffusion equation for a total amount of substance M deposited at a surface at \( x=0 \) and \( t=0 \). In the case of quantum wells the source is also finite in width (in the x-direction), but this can be modelled by using an infinite number of line sources, as shown in Fig. 8. The total amount of diffusant per unit area for each strip is given by \( C_0 \delta \zeta \). The concentration of diffusant at a point P due to the highlighted strip is then given by:
\[ C = \frac{C_0 \delta \zeta}{2\sqrt{\pi Dt}} \exp \left( -\frac{\zeta^2}{4Dt} \right) \]
(3.12)
The total concentration at point P is found by integrating over all the line sources in the region $-\infty < x < 0$. The result of the integration can be expressed in terms of the complementary error function, (erfc):
$$C(x,t) = \frac{C_0}{2} \text{erfc} \left( \frac{x}{2\sqrt{Dt}} \right)$$
where
$$\text{erfc}(x) \equiv 1 - \frac{2}{\sqrt{\pi}} \int_0^x \exp(-y^2) dy$$
Fig. 9 Concentration profile of diffusing atom in quantum well and surrounding barrier before intermixing
The simplest way to model a quantum well is shown in Fig. 9. The width of the well is $a$ ($-a/2 < x < a/2$) and the barriers are assumed to be infinite. The final concentration of any atom in the model can be written as:
$$C(x,t) = C_2 + (C_1 - C_2) \left[ 1 - \frac{1}{2} \text{erfc} \left( \frac{x+a/2}{2\sqrt{Dt}} \right) + \frac{1}{2} \text{erfc} \left( \frac{x-a/2}{2\sqrt{Dt}} \right) \right]$$
where $C_1$ and $C_2$ are the initial concentrations of the diffusant in the barrier and the well, respectively and $D$ is the diffusion coefficient of the atom, which is assumed to be concentration independent. The diffusion length can be defined as $L_d = 2\sqrt{Dt}$. Eq. (3.15) holds provided that the width of the well (a) is large compared to the
diffusion length, so that no diffusing species can migrate from one barrier through the well to the other barrier. Fig. 10 shows an 80 Å quantum well at different stages of intermixing corresponding to three different diffusion lengths of 20Å, 40Å, and 60 Å. The limit of this model is around 40 Å, at which point the diffusing species reach the opposite barrier with a concentration of around 5%. Above this limit, the problem becomes more complex and requires a more complicated, Green's function\textsuperscript{17,18} approach.
3.8 Calculation Of Energy Levels In A Disordered Quantum Well
The simplest way to model the PAID process in a quantum well of In$_{0.53}$Ga$_{0.47}$As with barriers of InGaAsP is to look at the diffusion of the phosphorus from the barriers to the well. For a given diffusion length (= $2\sqrt{Dt}$), the final phosphorus concentration can be found using Eq. (3.15). If the material is assumed to remain lattice-matched throughout the intermixing process i.e. the diffusion coefficients of the two sublattices are equal ($D_{III} = D_V$), then it is simple to calculate the quaternary composition (In$_{1-x}$Ga$_x$As$_y$P$_{1-y}$) as a function of position using Vergard's Law\textsuperscript{19}. Using this composition profile, the bandgap of the quantum well can be deduced from Ref. 20. The conduction and valence band discontinuities are then used to determine the energy profile for the respective bands. The energy levels can now be found for the conduction and valence bands using the time independent Schrödinger Equation (described in Chapter 2), taking care to define the effective mass of the carriers as a function of material composition.
3.9 Advantages of PAID
Photo Absorption Induced Disordering has several advantages over other forms of intermixing processes.
1) The process is not restricted to near surface layers. This is because the laser is only absorbed in the active region of the multiple quantum well material as discussed in section (3.4), with the cladding layers being transparent. Impurity Induced Disordering (IID)\textsuperscript{21} which relies on ion implantation is limited by the stopping range of the ions in the material while Impurity Free Vacancy Disordering (IFVD) is limited by the diffusion length of the vacancies generated in the cap layers.
Fig. 10 80 Å quantum well at three different stages of intermixing
2) The power density required to intermix the material is much less than other laser intermixing processes which use focused laser beams. The typical power density used in PAID is $\approx 1$ W/mm$^2$ while direct write processes have used power densities of 30 kW/mm$^2$ in the (Al)GaAs system.
3) Since PAID is essentially a free-space process, it is possible to carry out photoreflectance measurements on the material as it is intermixed. This in-situ high temperature photoreflectance monitoring could allow very accurate one-step processing to achieve a precise wavelength shift in the as-grown material.
4) The process is potentially self-limiting. It may be possible to design a laser structure such that as the active region is intermixed and the bandgap widens, then the entire structure becomes transparent to the irradiating laser. This could happen, for example, in the InGaAs(P) system using a Nd:YAG laser operating at 1320 nm. A problem which may arise is that the bandgap shrinks at elevated temperatures but this could be overcome by using a repetitive heating-cooling cycle on a time scale of tens of seconds.
5) After processing, the surface morphology remains very good which is vital for subsequent processing. Other intermixing processes such as strontium fluoride cap annealing have not always yielded good surface integrity, which can prove a problem when making devices.
6) The process does not require any ion implantation. This is both a time consuming and an expensive process which also has the disadvantage of introducing foreign atoms into the crystal lattice.
3.10 Conclusions
This chapter has described the experimental procedure used to intermix material using the PAID process. The absorption of light within a semiconductor has been discussed along with heat generation mechanisms and the thermal conduction properties of semiconductors.
A simple model has been described which allows the measured photoluminescence shifts to be related to the rate of intermixing between the wells and barriers within the multiple quantum well structure. Finally, some advantages of PAID over other intermixing processes have been described.
1. H.M. Rosenberg, *The Solid State*, 3rd Edition, Oxford Science Press, 1989
2. U. Piesbergen, *Semiconductors and Semimetals*, Academic, New York, 1967, Vol. 2
3. T.Q. Qiu, C.L. Tien, *International Journal of Heat and Mass Transfer*, Vol. 35 (3), 1992, pp 719-726
4. W.P. Dumke, *Physics Review*, Vol. 105, 1957, p 139
5. M.G. Holland, *Semiconductors and Semimetals*, Academic, New York, 1967, Vol. 2
6. U. Piesbergen, *Semiconductors and Semimetals*, Academic, New York, 1967, Vol. 2
7. M.G. Holland, *Semiconductors and Semimetals*, Academic, New York, 1967, Vol. 2
8. S. Adachi, *Journal of Applied Physics*, Vol. 54 (4), April 1983, pp 1844-1848
9. Properties of Indium Phosphide, INSPEC EMIS Dataviews Series No. 6
10. I. Kudman, E.F. Steigmeier, *Physics Rev.* vol. 133 (1964) p. A 1665
11. P.D. Maycock, *Solid State Electronics*, vol 10, 1967, p 161
12. S.A. Aliev, A.Ya. Nashel'skii, S.S. Shalyt, *Sov. Phys.-Solid State*, vol. 7 (1965), p. 127
13. S. Adachi, *Journal of Applied Physics*, Vol. 54 (4), April 1983, pp 1844-1848
14. P.D. Maycock, *Solid State Electronics*, vol 10, 1967, p 161
15. S. Adachi, *Journal of Applied Physics*, Vol. 54 (4), April 1983, pp 1844-1848
16. H. Peyre, F. Alsina, J. Camassel, J. Pascual, R.W. Glew, *Journal of Applied Physics*, 73 (8), April 1993 pp 3760-3768
17. B.I. Boltaks in *Diffusion in Semiconductors*, Infosearch Ltd., London, 1963
18. K.P. Homewood, D.J. Dunstan, *Journal Appl. Phys.*, 69, p 7581, 1991
19. T.P. Pearsall, *GaInAsP Alloy Semiconductors*, Wiley & Sons, New York, 1982, p 295
20. S. Adachi, *Journal of Applied Physics*, Vol. 54 (4), April 1983, pp 1844-1848
21. J.H. Marsh, S.A. Bradshaw, A.C. Bryce, R. Gwilliam, R.W. Glew, *J. Electron. Mat.*, 20 (12), pp 973-978, 1991
22. I. Gontijo, Y.S. Tang, R.M. De La Rue, C.M.S. Torres, J.S. Roberts, J.H. Marsh, *J. Appl. Phys.* 76 (9), pp. 5434-5438, 1994
Chapter 4 Low Loss Optical Waveguides
4.1 Introduction
Low-loss single-mode optical waveguides\(^1\) are required in optoelectronic circuits to transport the light around the chip from one device to another, in a similar way to the use of wires in an electrical circuit.
This chapter deals with the theory behind these waveguides and the fabrication processes involved in making them. The testing of these waveguides is then described in detail with loss measurements and other results presented at the end.
4.2 General Theory of Slab Waveguides
4.2.1 Three layer slab waveguide
In a three-layer slab waveguide\(^2\), the composition of the layers is chosen such that \(n_1 < n_2 > n_3\) as shown in Fig. 1. The effect of sandwiching a high refractive index layer between two low index layers is that light is confined or "guided" due to the principle of total internal reflection.
To avoid decay of optical power as the plane waves travel along the guide, the wavefronts of successive reflections (normal to the zig-zag rays) must interfere constructively. This means that the total phase change of a point on such a wavefront which travels from the \(n_1-n_2\) interface to the \(n_3-n_2\) interface and back again must be a multiple of \(2\pi\). This condition can be expressed as:
\[2n_2kh \cos \theta - 2\phi_1 - 2\phi_3 = 2m\pi \quad (m = 0, 1, 2, \ldots)\] \hspace{1cm} (4.1)
where $h$ is the thickness of the guide layer, $k = 2\pi/\lambda_0$ where $\lambda_0$ is the free-space wavelength of the guided light, $\theta$ is the angle of reflection with respect to the x-direction, $m$ is the mode number, and $\phi_1$ and $\phi_3$ are the phase shifts incurred at the interfaces due to total internal reflection. These phase shifts can be interpreted as penetration of the zig-zag ray into the confining layers, 1 and 3, before being reflected and are defined as:
$$\phi_1 = \tan^{-1} \frac{+\sqrt{n_2^2 \sin^2 \theta_i - n_1^2}}{n_2 \cos \theta_i}$$ \hspace{1cm} (4.2)
$$\phi_3 = \tan^{-1} \frac{+\sqrt{n_2^2 \sin^2 \theta_i - n_3^2}}{n_2 \cos \theta_i}$$ \hspace{1cm} (4.3)
for TE polarised fields and:
$$\phi_1 = \tan^{-1} \frac{+n_2^2 \sqrt{n_1^2 \sin^2 \theta_i - n_1^2}}{n_1^2 n_2 \cos \theta_i}$$ \hspace{1cm} (4.4)
$$\phi_3 = \tan^{-1} \frac{+n_2^2 \sqrt{n_3^2 \sin^2 \theta_i - n_3^2}}{n_3^2 n_2 \cos \theta_i}$$ \hspace{1cm} (4.5)
for TM polarised fields.
For a given mode and the parameters $n_1$, $n_2$, $n_3$, and $h$, the angle $\theta_m$ can be calculated. This produces a set of discreet angles corresponding to the various modes.
Equation (4.1) can be solved graphically by plotting $n_2 k h \cos \theta - m \pi$ and $\phi_1 + \phi_3$ as a function of $\theta$. Intersections of the two curves represent the solutions to the equation with characteristic angles $\theta_m$, where $m$ is the order of the mode. For each mode there is a corresponding propagation constant given by:
$$\beta_m = n_2 k \sin \theta_m$$ \hspace{1cm} (4.6)
and one can define an effective index for that particular mode as:
$$n_{\text{eff}} = \frac{\beta_m}{k} = n_2 \sin \theta_m$$ \hspace{1cm} (4.7)
Fig. 2 shows a typical graphical representation of this equation for a symmetrical waveguide (i.e. $n_1 = n_3$) which is sufficiently thick to support 2 modes.
As guiding layer thicknesses and refractive index steps are reduced, the number of modes which a waveguide can support gets smaller. When a mode just ceases to propagate it is said to be "cut-off". For a symmetrical three-layer waveguide, the cut-off condition for TE polarised light is given by:
\[ k \sqrt{(n_2^2 - n_1^2)} h = m\pi \quad (m = 0, 1, 2, \ldots) \]
or,
\[ \Delta n = (n_2 - n_1) > \frac{m^2 \lambda_0^2}{4h^2(n_2 + n_1)} \quad (m = 0, 1, 2, \ldots) \]
Fig. 3 shows this relationship graphically with the minimum \( \Delta \varepsilon = n_2^2 - n_1^2 \) plotted as a function of guide layer thickness and wavelength. This condition is very important in semiconductor waveguide devices as choosing \( m=1 \) defines the maximum thickness of
active region which will ensure single mode propagation in the direction perpendicular to the plane of the quantum wells.
**Fig. 3** Mode cut-off conditions for a symmetrical three layer waveguide
Due to the large refractive index changes introduced by heterojunctions, it is necessary for the active region to be quite thin to ensure single mode operation. For example, a double heterostructure InP-InGaAsP-InP laser operating at 1.3 μm would require an active region to be less than 0.5 μm for single mode operation.
It is interesting to note that in a symmetrical waveguide, the lowest order mode (m=0) does not exhibit a cut-off as all others do. This implies that any wavelength of light is guided in this mode no matter how small the refractive index change, or guide layer thickness is. Of course under these conditions (with small Δn or h) the confinement will be poor, with large evanescent fields extending into the substrate and upper cladding layers.
4.2.2 Four layer slab waveguide
The three layer model takes no account of the thickness of the cladding layers and therefore assumes that the optical field decays to zero in these regions. Obviously this is not always the case especially when the upper cladding layer is thin, or if certain areas of it have been etched away.
A more accurate and useful model is the four-layer slab waveguide which takes account of the thickness of the upper cladding layer and how that affects the effective index of a given mode within the guide layer. The characteristic equation for a four layer slab is given by:
\[
k_3 h_3 = \tan^{-1} \left[ \frac{\eta_4 k_4}{\eta_3 k_3} \right]
\]
\[
+ \tan^{-1} \left[ \frac{\eta_2 k_2 (\eta_2 k_2 + \eta_1 k_1) \exp(k_2 h_2) - (\eta_2 k_2 - \eta_1 k_1) \exp(-k_2 h_2)}{\eta_3 k_3 (\eta_2 k_2 + \eta_1 k_1) \exp(k_2 h_2) + (\eta_2 k_2 - \eta_1 k_1) \exp(-k_2 h_2)} \right] \tag{4.10}
\]
where
\[
k_i^2 = \begin{cases}
\beta^2 - n_i^2 k_0^2 & i \neq 3 \\
n_i^2 k_0^2 - \beta^2 & i = 3
\end{cases} \tag{4.11}
\]
The terms \( \eta_i \) have been included to account for the two different sets of boundary conditions which are required for TE and TM polarised light and are defined as:
\[
\eta_i = \begin{cases}
1 & TE \text{ fields} \\
\frac{1}{n_i^2} & TM \text{ fields}
\end{cases} \tag{4.12}
\]
4.2.3 The Effective Index Method
Fig. 4 shows a strip loaded waveguide which can be modelled relatively simply using the four-layer model and the effective index method (EIM)\(^4\).
The first step in analysing this structure using the EIM is to separate the three regions (see fig. 5(a)) and solve the characteristic four-layer slab equation (4.10) for each one. This yields the effective index for the fundamental \((m=0)\) mode for each of the sections.
It is obvious that regions I and III will be more strongly influenced by the air and so subsequently the effective index in these regions will be lower than in region II where the upper cladding layer is much thicker.
The original 2-D model can now be simplified to a 1-D case (see fig. 5(b)) in which the refractive indices are \(n_{\text{effI}}\), \(n_{\text{effII}}\) and \(n_{\text{effIII}}\). Rotating this model by 90° yields a situation similar to a three-layer vertical slab guide (see fig. 5(c)). This model can be solved using equations (4.1), (4.2) and (4.3), remembering to solve for TM polarised light.
To solve the original problem for TM modes, the four-layer slab equation (4.10) should be solved for TM polarised light yielding different effective indices, and the three-layer vertical slab should be solved for TE polarised light. The EIM makes the
assumption that the three regions are independent and infinite in size which is not strictly the case. In fact, the electric field distribution is influenced by the guiding structure of the neighbouring region with the effect that the accuracy deteriorates as these "edge effects" increase.
The four-layer slab method is usually sufficient for most waveguide structures, however, the structures used in this thesis are more complicated with graded index layers between the waveguide core and the outer cladding layers. A more suitable method for analysing a multi-quantum well graded index ridge waveguide is to use a multi-layer matrix solver which allows the effective indices of the three regions (I, II, and III) within the EIM, to be calculated more accurately. Section 4.5.1 in this chapter presents some calculations on the waveguides fabricated.
### 4.3 Fabrication of Optical Waveguides
#### 4.3.1 Material Structure
The epitaxial structure used to fabricate the waveguides is shown in Fig. 6. It is a standard multiple quantum well structure with a core region containing five 85 Å InGaAs wells and 6 120 Å InGaAsP (\(\lambda_g = 1.26 \mu m\), where \(\lambda_g\) is the bandgap of the material expressed as wavelength) barriers. The core region was surrounded by a stepped graded index (GRIN) waveguide core consisting of two InGaAsP confining
layers. The thicknesses and compositions of these layers (working out from the QWs) were 500 Å of $\lambda g = 1.18 \mu m$ and 800 Å of $\lambda g = 1.05 \mu m$. The structure, which was lattice matched to InP throughout and nominally undoped, was completed with an InP upper cladding layer of thickness 1.5 µm.
This structure is based on a standard 1.55 µm multiple quantum well laser design except that there is no doping in the structure and there is no InGaAs contact layer on the surface. These modifications mean that the fabrication of the waveguides is simpler and the resulting losses will be lower due to the absence of dopants.
4.3.2 Disordering of quantum well waveguides
The material was disordered using the procedure described in Chapter 3 with the result that the material was shifted from a starting photoluminescence wavelength of 1585 nm to a final photoluminescence wavelength of 1385 nm which is approaching total intermixing between the wells and barriers.
**Fig. 7** Room temperature and 77K photoluminescence measurements of the material before and after disordering.
4.3.3 Fabrication of waveguides
After the material had been disordered, ridge waveguides were fabricated in the following manner.
1. Remove 500 nm SiO$_2$ cap layer with buffered HF for 5 mins.
2. Plasma-Enhanced Chemical-Vapour-Deposition (PECVD) of 200 nm SiO$_2$
- Power = 10 watts
- Gas flow: SiH$_4$ = 9 sccm, N$_2$O = 710 sccm, N$_2$ = 171 sccm
- Temperature = 300°C
- Pressure = 1 torr
3. Spin on primer: Hexadimethylsylane
4. Spin on resist: S1400-31 @ 6000 rpm for 30 secs
5. Post bake for 30 mins. @ 90°C
6. Expose with alignment in β direction to ensure vertical sidewalls
7. Develop pattern for 60 secs.
8. Dry etch SiO$_2$ in BP machine
- Power = 100 watts
- Gas flow: C$_2$F$_6$ = 20 sccm
- Temperature = 30°C
- Bias = 400 V
9. Oxygen clean in BP machine
- Power = 50 watts
- Gas flow: O$_2$ = 30 sccm
- Temperature = 30°C
- Pressure = 50 mtorr
- Time = 5 mins.
10. Remove resist
11. Dry etch InP for 12 mins. to a depth of 1 μm in Electro-Tech 340
- Power = 100 watts
- Gas flow: CH$_4$ = 3.6 sccm, H$_2$ = 26.4 sccm
- Temperature = 300°C
- Pressure = 14 mtorr
- Bias = 850 V
12. Oxygen clean to remove polymer build-up
13. Wet etch with HCl : H$_3$PO$_4$ (in ratio 1:3) for 90 secs. to etch stop layer
14. Remove SiO$_2$ with buffered HF
15. Thin sample to 150 μm using 9 μm alumina grit
16. Scribe and cleave sample to a length of 3.3 mm
The mask used in the fabrication process contained lines which ranged in size from 2 μm to 10 μm. This ensured that the photolithography process was not critical in terms of the final ridge widths and gave a range of single and multi-moded waveguides.
4.3.4 Wet etching of InP
The ridge direction is very important in the InP system as ridges can be fabricated with either vertical or sloping sidewalls using a selective wet etch\textsuperscript{5}. This wet etch, hydrochloric acid mixed with orthophosphoric acid, is also very controllable in that it will stop on any layers containing arsenic leaving good surface quality. Fig. 8 and 10 show the different etching characteristics for ridges aligned in the α and β directions with Fig. 9 and 11 showing the crystal planes revealed after etching. For ridges aligned in the α-direction, the etch stops on (211) planes of In atoms which have a much lower etch rate than the (100) plane. This plane forms an angle of 35° with the substrate. For ridges aligned in the β-direction, a reverse mesa is produced as the mask is undercut with (111) planes of In revealed, producing an angle of 55° to the substrate.
However, in order to achieve good lateral confinement in the waveguides, a step in the effective refractive index is required between the different regions I, II, and III as shown in Fig. 5. This means that it is vital to have vertical sidewalls on our waveguides in order to achieve such an index step. It is obvious that purely wet etching will not give the desired waveguide profile. For this reason, a combined dry-etch wet-etch process was used which yielded vertical sidewalls (in the β-direction), together with reasonable surface quality. Fig. 12 shows a waveguide fabricated in this manner which was used for the loss measurements described later in this chapter. Although the etched surface is of reasonable quality, it is evident that the sidewalls are appreciably more ragged which will increase the scattering losses of the waveguide. This is most likely caused by non-uniform dry-etching of the material surface after it has been disordered or poor lithography.
Fig. 8 Waveguide fabricated in the $\alpha$-direction (01$\bar{1}$)
ridge aligned in the {011} direction
(211) plane
(211) plane
(100) plane
$\delta = 35.26^\circ$
(011) cleave plane
Fig. 9 Etch planes revealed when wet-etching with $\alpha$ aligned mask
Fig. 10 Wet-etched waveguide fabricated in the $\beta$-direction (011)
Fig. 11 Etch planes revealed when wet-etching with $\beta$ aligned masks
Fig. 12 Waveguide fabricated in $\beta$-direction by dry-etching and wet-etching
ridge aligned in [011] direction
(011) cleaved plane
(100) plane
(011) plane
Fig. 13 Etch planes revealed when dry-etching then wet-etching with $\beta$ aligned masks
4.4 Fabry-Perot Loss Measurements
4.4.1 Fabry-Perot theory
The Fabry-Perot technique is a simple non-destructive way of measuring waveguide losses. The technique relies on cleaved facets to form a Fabry-Perot waveguide resonator, the finesse of which is measured by varying the optical length of the cavity using thermal tuning. Fig. 14 shows the transmission characteristics of such a waveguide resonator. It is worth noting that throughout this thesis, the loss, $\alpha$, of any given device (waveguide or laser) will be defined as the Intensity Attenuation Coefficient (i.e. $I = I_0 \exp(-\alpha l)$).
Fig. 14 Optical waveguide resonator with partially reflecting facets
The incident light (with electric field strength equal to $E_i$) to this resonator is partially reflected such that the portion transmitted into the cavity is equal to $t_1 E_i$, where $t_1$ represents the e-field transmission coefficient of facet 1. This light then undergoes a phase shift equal to $\exp(-ikl)$, where $k = 2\pi n_{\text{eff}}/\lambda_0$ and $l$ is the length of the cavity, and an attenuation equal to $\exp(-\alpha l/2)$ where $\alpha$ is the intensity attenuation coefficient. The light is then split into two components after meeting facet 2, with a portion $t_2$ transmitted through the facet and the remainder $r_2$ reflected back into the cavity. This reflected portion will be partially reflected at facet 1, with a standing wave being the result of these multiple reflections.
From the diagram it can be seen that the transmission at facet 2 can be expressed as:
\[ E_t = E_i t_1 t_2 e^{-ikl} e^{-\alpha l/2} \left[ 1 + r_1 r_2 e^{-2ikl} e^{-\alpha l} + r_1^2 r_2^2 e^{-4ikl} e^{-2\alpha l} + \ldots \right] \quad (4.13) \]
This equation can be simplified by substituting \( T = t_1 t_2 \) and \( R = r_1 r_2 \), and noting that the term in the bracket is a geometrical expansion giving:
\[ \frac{E_t}{E_i} = \left[ \frac{T e^{-ikl} e^{-\alpha l/2}}{1 - Re^{-2ikl} e^{-\alpha l}} \right] \quad (4.14) \]
The ratio of transmitted to incident intensities is then given as:
\[ \left( \frac{E_t}{E_i} \right)^2 = \frac{E_t E_t^*}{E_i E_i^*} \]
\[ = \frac{T^2 e^{-\alpha l}}{\left[ (1 - Re^{-\alpha l} \cos(2kl)) - iRe^{-\alpha l} \sin(2kl) \right] \left[ (1 - Re^{-\alpha l} \cos(2kl)) + iRe^{-\alpha l} \sin(2kl) \right]} \quad (4.15) \]
where \( E_x^* \) is the complex conjugate of \( E_x \). This can be simplified to:
\[ \left( \frac{E_t}{E_i} \right)^2 = \frac{T^2 e^{-\alpha l}}{1 - 2Re^{-\alpha l} \cos(2kl) + R^2 e^{-2\alpha l}} \quad (4.16) \]
Substituting \( \gamma = e^{-\alpha l} \) and \( T = (1 - R) \) gives:
\[ \left( \frac{E_t}{E_i} \right)^2 = \frac{(1 - R)^2 \gamma}{1 - 2R\gamma \cos(2kl) + R^2 \gamma^2} \quad (4.17) \]
where \( \gamma \) is the single pass loss of the waveguide.
This equation yields values for the transmission at resonant (\( T_R \)) and anti-resonant (\( T_A \)) conditions and these are given by:
\[ T_R = \left| \frac{(1 - R)\sqrt{\gamma}}{1 - R\gamma} \right|^2 \quad T_A = \left| \frac{(1 - R)\sqrt{\gamma}}{1 + R\gamma} \right|^2 \quad (4.18) \]
Using these two equations, we can find the loss of the waveguide, \( \gamma \), by measuring the Fabry-Perot fringe contrast which is given by:
\[ K = \frac{I_t T_R}{I_i T_A} = \frac{T_R}{T_A} \quad (4.19) \]
giving:
\[
\gamma = \frac{\sqrt{K} - 1}{R(\sqrt{K} + 1)}
\]
(4.20)
which yields a single pass loss in dB of:
\[
\Gamma = -10 \log_{10} \gamma = -10 \log_{10} \left[ \frac{\sqrt{K} - 1}{R(\sqrt{K} + 1)} \right]
\]
(4.21)
where the reflection coefficient, R, is given by:
\[
R = \left( \frac{n_{dielec.} - n_{air}}{n_{dielec.} + n_{air}} \right)^2
\]
(4.22)
where \( n_{dielec.} \) is the refractive index of the waveguide and \( n_{air} \) is the refractive index of air (=1). Dividing this loss by the length of the waveguide yields the loss in units of dBcm\(^{-1}\).
The Fabry-Perot fringes are produced by varying \( \alpha l \) in equation (4.17) which produces the resonant and anti-resonant transmission conditions. The variation is achieved by applying gentle heat to the sample, which has the effect of increasing both the length and the refractive index of the waveguide which increases the optical length of the cavity.
Fig. 15 shows typical Fabry-Perot fringes from a low loss single mode waveguide indicated by the high contrast between the resonant and anti-resonant conditions.
In order that the contrast fringes can be resolved, it is important that the linewidth of the probe source be much less than the free-spectral range of the cavity (i.e. the spacing between longitudinal modes of the cavity) which is given by:
\[
\Delta v = \frac{c}{2n_{eff}l}
\]
(4.23)
where \( c \) is the speed of light in a vacuum,
\( l \) is the length of the waveguide, and
\( n_{eff} \) is the effective index of the waveguide.
This value is typically around 15 GHz (or \( \approx 1.3 \text{ Å} \)) for a 3 mm long waveguide compared with a linewidth of around 1 MHz for an extended cavity ridge
waveguide laser\textsuperscript{8}. Any errors introduced by using a broad linewidth source would result in an over-estimation of the losses.
Another limitation of the Fabry-Perot technique is its restriction to single mode waveguide propagation. The response of a multimode waveguide is the superposition of the resonance fringes for each different phase velocity which will oscillate at different rates due to the change in effective index for each mode.
4.4.2 Experimental Technique
Fig. 16 shows the experimental arrangement used to determine the waveguide losses by the Fabry-Perot technique. The source used was a CW operated ridge waveguide laser with one facet anti-reflection coated. The output from this facet was collimated onto a grating with the reflection coupled back into the laser. This arrangement ensured that only one longitudinal mode oscillated in the cavity. Tuning was achieved simply by rotating the grating with a resulting tuning range of 1510 nm to 1570 nm. The laser was powered by a battery pack via a variable power supply unit to eliminate power spikes which may damage the laser, and temperature controlled using a Peltier cooler.
A collimating lens coupled the light from the laser facet to the end-fire arrangement where the light was coupled into and out of the waveguide using a X40 (NA=0.65) microscope objective lenses. The output from the waveguide was monitored by an infra-red camera and the intensity measured by an optical spectrum analyser (OSA). Heat was supplied to the sample in the form of a fine tipped soldering iron with the resulting Fabry-Perot oscillations observed on the OSA.
Fig. 15 Typical Fabry-Perot oscillations observed from a single mode waveguide.
Fig. 16 Experimental set-up for measuring waveguide losses
rotatable grating
micro control blocks
ridge waveguide laser (with AR coating)
mirror
collimated beam
waveguide sample
micro control blocks
spectrum analyser
aperture
partially reflecting mirror
multi-mode fibre
IR camera
monitor
4.5 Results
4.5.1 Modelling of Waveguides using the Effective Index Method
The EIM described earlier in this chapter (see section 4.2.3) has been used to evaluate the characteristics of the fabricated waveguides. Some approximations have been used to simplify the model, for example the refractive indices of the different quaternary layer compositions has been linearly extrapolated from the refractive indices of InP ($n=3.16886$) and InGaAs ($n=3.6$)\(^9\). This is a common technique for determining material properties of alloy semiconductors and should not introduce large errors\(^{10}\).
Another simplification is that the core region (of wells and barriers) has been regarded as a single layer. To evaluate the refractive index of this core region, a weighted root-mean-square method\(^{11}\) is used which takes into account the relative thicknesses and refractive indices of the wells and barriers. Equations (4.24) and (4.25) give these refractive indices:
$$n_{TE} = \sqrt{\frac{n_w^2 L_w + n_b^2 L_b}{L_w + L_b}} \quad (4.24)$$
$$n_{TM} = \sqrt{\frac{(L_b + L_w) n_w^2 n_b^2}{n_w^2 L_w + n_b^2 L_b}} \quad (4.25)$$
where $n_{TE}$ and $n_{TM}$ denote the refractive indices of the TE and TM polarised light. $L_w$ and $L_b$ are the total thicknesses of the wells and the barriers, with their refractive indices given by $n_w$ and $n_b$. For the structure used in these waveguides, the refractive index of the core has been calculated to be 3.4084.
It is now possible to evaluate the effective indices in the three regions using the layer profiles given in Fig. 17 and 18.
| layer no. | composition | thickness (\(\mu m\)) | refractive index |
|-----------|-----------------|------------------------|------------------|
| 1 | air | 5 | 1 |
| 2 | Q(1.05\(\mu m\)) | 0.08 | 3.2212 |
| 3 | Q(1.18\(\mu m\)) | 0.05 | 3.2664 |
| 4 | core | 0.1145 | 3.4084 |
| 5 | Q(1.18\(\mu m\)) | 0.05 | 3.2664 |
| 6 | Q(1.05\(\mu m\)) | 0.08 | 3.2212 |
| 7 | InP | 5 | 3.16886 |
Fig. 17 Layer parameters for regions I and III in waveguide structure
| layer no. | composition | thickness (μm) | refractive index |
|-----------|-----------------|----------------|------------------|
| 1 | air | 5 | 1 |
| 2 | InP | 1.5 | 3.16886 |
| 3 | Q(1.05μm) | 0.08 | 3.2212 |
| 4 | Q(1.18μm) | 0.05 | 3.2664 |
| 5 | core | 0.1145 | 3.4084 |
| 6 | Q(1.18μm) | 0.05 | 3.2664 |
| 7 | Q(1.05μm) | 0.08 | 3.2212 |
| 8 | InP | 5 | 3.16886 |
Fig. 18 Layer parameters for region II in waveguide structure
Fig. 19 shows a schematic diagram of the variation in refractive index within the layers of region II in the waveguide model and gives an indication of how the core region has been simplified to a single layer.
Fig. 19 Schematic diagram of refractive index of the different layers within the waveguide structure
Using these two different models, the effective indices calculated for the three regions were 3.1705, 3.209, and 3.1705 for TE polarised light. The effective index in regions I and III is much lower than region II because the upper cladding has been entirely etched away, resulting in a greater portion of the guided mode extending to the air. The original 2-D model has been greatly simplified to a 3-layer 1-D case as described previously. This problem can be solved simply using a program called FOURLAY\textsuperscript{12}.
Calculations carried out using this program indicate that the waveguides remain single-moded in the transverse direction for widths up to 1.8 \(\mu\)m. These results are not entirely consistent with experimental observations, with waveguides of wider dimensions exhibiting single-mode behaviour. The second order modes which will propagate in the waveguides which are wider than 1.8 \(\mu\)m will be quite leaky, which means that they will not contribute to the Fabry-Perot oscillations. It should be noted that waveguides were determined to be single moded from both their near-field pattern and the shape of the Fabry-Perot oscillations.
4.5.2 Experimental Results
Guiding was in fact observed in all the waveguides (15 in total) with the larger guides being multi-mode in the transverse direction, as predicted by the calculations in section 4.5.1. Figs. 20 and 21 show the different near-field patterns for single and multi-mode waveguides.
Fig. 20 Near field pattern of single mode waveguide showing the TE$_{00}$ mode propagating.
Fig. 21 Near field pattern of double mode waveguide showing the TE$_{01}$ mode propagating.
Fig. 22 Intensity profile of TE$_{00}$ mode
Fig. 23 Intensity profile of the TE$_{01}$ mode
Loss measurements were carried out on the largest waveguide which exhibited apparently single mode behaviour (about 2 μm measured on the SEM.) Fig. 24 shows the loss measured as a function of wavelength in the range 1510 nm to 1570 nm.
![Graph showing loss (dB/cm) vs wavelength (nm)]
**Fig. 24** Single mode waveguide loss as a function of wavelength
The loss calculated from the peak to trough ratio of the Fabry-Perot transmission oscillations indicates the absolute single pass loss in decibels. Dividing this loss by the length of the waveguide gives the loss in dBcm⁻¹.
Losses in this material should be quite low as the band-edge of the material has been shifted by a substantial amount. At higher wavelengths (lower energy) the losses will be mainly due to scattering from rough interfaces¹³ (both epilayer boundaries and etched waveguide sidewalls) and absorption losses from impurities in the material. At shorter wavelengths the losses will rise as the tail of the band-edge is encountered and the absorption increases. Free-carrier absorption should not contribute greatly to the losses as the cladding layers are undoped. Such doping, as would be found in a typical laser structure, would contribute approximately a further 5-10 dBcm⁻¹ to the values observed here. It is evident from this graph that the losses are very low, with a value of 5 dBcm⁻¹ at a wavelength of 1550 nm, the wavelength at which integrated devices in the InP system will operate. The loss is actually as low as 1.6 dBcm⁻¹ at a wavelength of 1570 nm, which is close to the original PL peak wavelength of the material. These results compare favourably with Impurity Induced Disordering¹⁴ (fluorine) where
typical losses were around 8.4 dBcm$^{-1}$ at 1550 nm. This superiority is to be expected, however, as no impurities are introduced at any stage during the PAID process which could cause damage in the crystal structure and increase the scattering losses.
4.6 Conclusions
These results (propagation losses of below 10 dBcm$^{-1}$) demonstrate that PAID is an effective way of producing low loss interconnecting waveguides for use in photonic integrated circuits.
---
1 R.J. Deri, E. Kapon, IEEE Journal of Quantum Electronics, 27(3), pp 626-640, 1991
2 Integrated Optics: Theory and Technology, R.G. Hunsperger, Springer Series in Optical Sciences, Vol. 33, Springer-Verlag
3 D.W. Hewark, J.W.Y. Lit., Applied Optics, 26(5), pp 833-841, 1984
4 Electromagnetic Principles of Integrated Optics, D.L. Lee, J. Wiley and Sons, New York, 1986
5 Properties of Indium Phosphide, INSPEC EMIS Datareviews Series No. 6
6 R.G. Walker, Electronics Letters, 21, p 581, 1985
7 Integrated Optoelectronics, K.J. Ebeling, Springer-Verlag
8 M.W. Fleming, A. Mooradian, IEEE Journal Quantum Electron., QE-17, pp 44-59, 1981
9 Properties of Indium Phosphide, INSPEC EMIS Datareviews Series No. 6
10 S. Adachi, Journal of Applied Physics, 53(12), p 8775, 1982
11 S. Ohke, T. Umeda, Y. Cho, Optics Communications, 56(4), pp 235-239, 1985
12 Program written by Bindi Bhumbra (former Research Student in Dept.)
13 R.J. Deri, E. Kapon, Applied Physics Letters, 54(18), pp 1737-1739, 1989
14 S.A. Bradshaw, J.H. Marsh, R.W. Glew, IEEE Proceedings Fourth International Conference on Indium Phosphide and Related Materials, Newport, April 1992
Chapter 5 Broad Area Oxide Stripe Lasers
5.1 Introduction
This chapter deals with the fabrication and testing of Broad Area Oxide Stripe Lasers using as-grown multiple quantum well (MQW) laser material. By fabricating devices such as these it is possible to determine different material characteristics (e.g. threshold current density, internal quantum efficiency and propagation losses) and how they vary when the material is intermixed.
5.2 General Theory of a Fabry-Perot Laser Oscillator
The equation of a simple model of a Fabry-Perot cavity was given in Chapter 4 as:
\[
\frac{E_t}{E_i} = \left[ \frac{T e^{i k l} e^{-\alpha l/2}}{1 - R e^{-2 i k l} e^{-\alpha l}} \right]
\]
(5.1)
From the above equation relating the transmitted and incident electric field intensities, it can be seen that if the denominator becomes zero then, for an incident wave with finite amplitude, the transmitted wave will have infinite amplitude. The condition for laser oscillation requires a round trip net gain equal to one and is the threshold required for amplification to take place within the cavity. To introduce gain to the model, we modify the losses $\alpha$ in such a way that they are the difference of the intrinsic losses and the gain of the cavity. This can be written as:
\[
\alpha = \alpha_i - g
\]
(5.2)
where $\alpha$, $\alpha_i$ and $g$ are defined for intensity.
We can now write the threshold condition as:
\[
r_1 r_2 \exp \{ (g - \alpha_i) l \} \exp \{ -2 i k l \} = 1
\]
(5.3)
where $r_1$ and $r_2$ are the electric field reflection coefficients. Solving the real part of this equation yields the threshold gain, $g_{th}$, required for lasing to occur.
\[
r_1 r_2 \exp \{ (g_{th} - \alpha_i) l \} = 1
\]
(5.4)
\[ g_{th} = \alpha_i + \frac{I}{l} \ln \left( \frac{l}{R} \right) \]
where \( R = r_1 r_2 \).
This gain, \( g_{th} \), is the gain required to overcome the intrinsic losses of the cavity (both absorption and scattering) and the losses (due to transmission) at the cleaved mirror facets, in order that amplification and laser oscillation can occur.
Solving the imaginary part of equation (5.3) gives:
\[ \exp(-2ikl) = 0 \]
\[ \Rightarrow 2kl = 2m\pi \quad (m = 1, 2, 3, \ldots) \]
where
\[ k = \frac{2\pi n_{eff}}{\lambda} \]
\[ \Rightarrow \lambda_m = \frac{2n_{eff}l}{m} \quad (m = 1, 2, 3, \ldots) \]
These values of \( \lambda \) are the Fabry-Perot (or longitudinal) modes of the cavity and indicate the wavelengths at which lasing will take place. The spacing of these modes is given by:
\[ \Delta \lambda = \frac{\lambda^2}{2nl(1 - \frac{\lambda}{n} \frac{d\lambda}{dn})} \]
and is typically 0.9 nm for a 400 \( \mu \text{m} \) InGaAs(P) multiple quantum well laser operating at 1.55 \( \mu \text{m} \). This value is much less than the width of a gain curve of a typical semiconductor laser and it is for this reason that more than one Fabry-Perot (longitudinal) mode may be supported in the cavity.
### 5.3 Application to Multiple Quantum Well Lasers
#### 5.3.1 Loss in an MQW laser
The loss in an MQW laser is due to a combination of free-carrier absorption in the cladding layers, bulk absorption within the active region and scattering losses.
The free-carrier absorption arises from the optical overlap of the guided mode with the doped p and n cladding layers. Equations (5.10) give the expression which relates the total power in a mode to the power in the cladding layers, which is an important consideration when calculating the free-carrier absorption loss in an MQW laser.
\[
\Gamma_n = \frac{\int_{-d/2}^{d/2} P(x).dx}{\int_{-\infty}^{\infty} P(x).dx}, \quad \Gamma_p = \frac{\int_{d/2}^{\infty} P(x).dx}{\int_{-\infty}^{\infty} P(x).dx}
\]
(5.10)
where the x-direction is defined as perpendicular to the plane of the quantum wells and the active region extends from -d/2 < x < d/2. P(x) is the power and the denominator in both equations is equal to the total power in the laser.
These equations give the fraction of the total power which is present in the n and p-type cladding layers which must be multiplied by the absorption coefficient (for both the p-type cladding and the n-type) to determine the actual loss within the laser cavity. This absorption coefficient for a free electron is given in Eq. (5.11) which would suggest that the n-type cladding will contribute more absorption due to the different effective masses. This, however, is not the case because of the different band structure in the conduction and valence bands which leads to more absorption in the p cladding layers¹.
\[
\alpha_f = \frac{Ne^4\lambda_0^2}{4\pi^2n(m^*)^2\mu\varepsilon_0c^3}
\]
(5.11)
where,
N is the doping level in the cladding layer (either n-type or p-type),
e is the charge of an electron,
\(\lambda_0\) is the free-space wavelength of the guided light,
n is the refractive index of the cladding layers,
m* is the effective mass of the free carriers (for n-type and p-type)
\(\mu\) is the mobility,
\( \varepsilon_0 \) is the dielectric constant of air, and
c is the speed of light in a vacuum.
The bulk absorption in the active region is due to interband absorption between the conduction and valence bands due to the wavelength of the light being close to the bandgap of the quantum wells. Again, the confinement must be taken into account as only a certain fraction of the power will overlap with the quantum wells. Equation (5.10) can be simply modified to calculate this confinement factor.
Another important loss mechanism in InP based lasers is interband Auger recombination\(^2\). This arises when an electron in the conduction band relaxes into the valence band with the energy (and momentum) being conserved by promoting an electron from within the valence or within the conduction band to a higher energy. Since no photon is emitted in this process, it is said to be non-radiative.
### 5.3.2 Gain in an MQW Laser
The effective gain of an MQW laser up to threshold can be expressed as\(^{34}\):
\[
g(J) = n \Gamma_w g_0 \ln \left( \frac{\eta_i J}{n J_T} \right)
\]
where
- \( J \) is the total injected current density in units of Acm\(^{-2}\),
- \( n \) is the number of wells,
- \( J_T \) is the transparency current for one well in units of Acm\(^{-2}\),
- \( \Gamma_w \) is the optical overlap of the mode profile with one well,
- \( \eta_i \) is the internal quantum efficiency of the material, and
- \( g_0 \) is the maximum gain coefficient for one well
Fig. 2 shows a typical gain curve for a MQW laser with \( n=5 \), \( \Gamma=0.02 \), \( g_0=600 \text{ cm}^{-1} \), \( J_T=30 \text{ Acm}^{-2} \), and \( \eta_i=80\% \).
The transparency current, \( J_T \), is defined as the injected current density required to overcome the intrinsic losses in a well and produce net gain for that well, assuming an internal quantum efficiency equal to 1 (i.e. there is a 100% conversion factor from injected carriers to created photons). A factor of \( \eta_i \) must be introduced which allows for material imperfections and has the effect of increasing the injected current density required to achieve this transparency.
If the current density is increased above the lasing threshold current density then the gain does not increase but remains constant (just below $g_{th}$ due to spontaneous emission where $g_{th}$ is the gain at threshold). The extra injected electrical power is converted into optical power with a conversion factor given by:
$$\eta_{ex} = \eta_i \left(1 - \frac{\alpha}{g_{th}}\right)$$ \hspace{1cm} (5.13)
where $\eta_{ex}$ is defined as the differential external quantum efficiency.
Combining equations (5.5) and (5.13) gives:
$$\frac{I}{\eta_{ex}} = \frac{I}{\eta_i} \left(1 - \frac{\alpha l}{\ln(R)}\right)$$ \hspace{1cm} (5.14)
Using equation (5.14), it is possible to calculate the intrinsic loss, $\alpha$, and the internal quantum efficiency, $\eta_i$, of the laser by plotting $1/\eta_{ex}$ against the cavity length, $l$. It is now possible to modify equation (5.5) to incorporate the gain in a quantum well structure.
$$g_{th} = \alpha_i + \frac{I}{l} \ln \left(\frac{I}{R}\right)$$ \hspace{1cm} (5.15)
If we incorporate the threshold gain given in equation (5.12) then:
\[ n\Gamma_w g_0 \ln \left( \frac{\eta_i J_{th}}{nJ_T} \right) = \alpha_i + \frac{I}{L} \ln \left( \frac{I}{R} \right) \]
\[ \Rightarrow J_{th} = \frac{nJ_T}{\eta_i} \exp \left( \frac{\alpha_i + \frac{I}{L} \ln \left( \frac{I}{R} \right)}{n\Gamma_w g_0} \right) \]
where \( J_{th} \) is the injected threshold current density. If we take the natural log of both sides, we obtain:
\[ \ln(J_{th}) = \ln \left( \frac{nJ_T}{\eta_i} \right) + \frac{\alpha}{n\Gamma_w g_0} + \frac{I}{L} \cdot \frac{\ln(I/R)}{n\Gamma_w g_0} \]
The threshold current density, \( J_{th} \), can be determined as a function of cavity length which makes it possible to calculate \( J_{th} \) for an infinitely long laser and also the gain factor, \( n\Gamma_w g_0 \), of the lasers.
### 5.4 Fabrication of Oxide Stripe Lasers
#### 5.4.1 Laser Structure
The laser structure as shown in Fig. 3 was grown by metal organic vapour phase epitaxy (MOVPE) on an n+ doped (Si) InP substrate and consisted of five 85 Å InGaAs wells with 120 Å InGaAsP (\( \lambda_g = 1.26 \mu m \)) barriers. The active region was surrounded by a stepped graded index (GRIN) waveguide core consisting of InGaAsP confining layers. The thicknesses and compositions of these layers (working out from the QWs) were 500 Å of InGaAsP (\( \lambda_g = 1.18 \mu m \)) and 800 Å of InGaAsP (\( \lambda_g = 1.05 \mu m \)). The structure, which was lattice matched to InP throughout, was completed with an InP upper cladding layer and a InGaAs contact layer. The first 0.2 µm of the upper cladding layer was doped with Zn to a concentration of \( 5 \times 10^{17} \text{cm}^{-3} \) and the remaining 1.2 µm to \( 2 \times 10^{18} \text{cm}^{-3} \). The lower cladding layer was Si doped to a concentration of \( 1 \times 10^{18} \text{cm}^{-3} \). The waveguide core was undoped, so forming a pin structure with the intrinsic region restricted to the QWs and the GRIN region.
5.4.2 Fabrication Process
The fabrication process is described in detail below:
1. Clean sample in ultrasonic bath: 3 mins. methanol, 3 mins. acetone, rinse in RO water
2. Etch off InP cap layer with HCl : H₃PO₄ (in ratio 1:3) for 20 secs.
3. Plasma-Enhanced Chemical-Vapour-Deposition (PECVD) of 200 nm SiO₂
Power = 10 watts
Gas flow : SiH₄ = 9 sccm, N₂O = 710 sccm, N₂ = 171 sccm
Temperature=300°C
Pressure=1 torr
4. Spin on primer : dihexamethylsylane
5. Spin on resist : S1400-31 @ 6000 rpm for 30 secs
6. Post bake for 30 mins. @ 90°C
7. Expose with pattern of 75 µm windows spaced by 300 µm
8. Develop pattern for 60 secs.
9. Wet-etch SiO₂ in buffered HF for 15 secs.
10. Remove resist with Acetone
11. Mount sample in holder for p-contact evaporation
70 nm Titanium
150 nm Gold
11. Mount sample on small glass slide with resist for thinning
12. Thin sample to 200 μm using 9 μm alumina grit
13. Thin sample to 150 μm using 3 μm alumina grit
14. Wet-etch with HCl : H₃PO₄ (in ratio 1:3) for 10 mins. to remove any damage
15. Mount sample on glass slide with resist for n-contact evaporation
14 nm Gold
14 nm Germanium
14 nm Gold
11 nm Nickel
150 nm Gold
16. Remove from glass slide with acetone
17. Anneal contacts in Rapid Thermal Annealer at 360°C for 90 secs.
18. Scribe and cleave samples with lengths ranging from 200 μm to 1000 μm
Fig. 4 shows a schematic diagram of the lasers which are now ready for testing.
5.5 Testing Lasers
5.5.1 Test Procedure for L-I-V characteristics
Fig. 5 shows the experimental set-up used to test lasers. The rig is fully automated and is controlled from an Apple Mac computer using LabView (a commercial software package from National Instruments) which allows accurate measurements to be taken very quickly.
The devices are held in a spring-loaded, gold-plated laser clip p-side down in such a way that the output of only one facet was monitored by the detector. Because of the lasing wavelengths under investigation, the detector used was a Germanium photodetector which was reverse biased at 4.5 V.
Fig. 4 Schematic diagram of oxide stripe laser
Silicon Dioxide Passivation Layer
InGaAs contact layer
Active layer
p metal
Contact window
n-metal
Fig. 5 Experimental set-up for measuring laser characteristics
Computer control and display
100 MHZ Oscilloscope
Boxcar Averager
Avtech pulse generator
Germanium detector
laser mount
50 Ω to 12.5 Ω load transformer
variable attenuator
laser clip
optical bench
IEEE Bus
Pulse amplitude control
Trigger
The current supply is an Avtech pulse generator which has an adjustable pulse width and repetition rate. All pulsed measurements in this thesis were carried out using a 400 ns pulse at a 1 kHz repetition rate (i.e. a duty cycle of 0.04 %). The pulse generator can be controlled manually or automatically, which allows the lasers to be tested very quickly manually (to see if they work) before taking any accurate measurements. Between the signal generator and the laser there is a variable attenuator and a transformer which allows a wide range of currents to be supplied to the devices (0 to $\approx 4$ A).
Fig. 6 shows the circuit which the laser is driven from.
**Fig. 6 Electrical connections to laser indicating probes**
The laser diode is placed in series with a $1 \Omega$ resistor and a $9 \Omega$ resistor. The current through the diode is measured by monitoring the voltage across the $1 \Omega$ resistor while the voltage across the laser is measured from the combined voltage across the diode and the resistor. Since the resistance of the laser will be around $2 \Omega$, a $9 \Omega$ resistor is placed in the circuit to match the impedance of the circuit to the output of the Avtech which is designed for a $50 \Omega$ load (allowing for the transformer).
A Boxcar Averager monitors these voltages and also the voltage generated by the Germanium photodetector. It averages the measurements over a number of cycles which reduces the noise from the signals. This data is then transferred to the computer via an IEEE GPIB which then calculates the current through the laser, the
voltage across the laser and the output power from the laser. The data is also displayed on the screen and saved in memory.
The output of the Boxcar Averager is also monitored by an oscilloscope which looks at the current through the laser and the output from the detector and is the main indicator to the operator that the laser is working.
5.5.2 Test Procedure for Spectrum Analysis
It is possible to analyse the spectrum of the lasers, simply by rotating the laser mount by 180° on the optical bench where it is aligned with a collimating lens as seen in Fig. 7. This collimated beam is focused into a multi-mode fibre using a X10 objective lens, and into an OSA. The laser is controlled manually from the Avtech pulse generator at a current typically from 1.5 $I_{th}$ to 2 $I_{th}$, where $I_{th}$ is the threshold current of the laser.
The spectrum can be transferred via the IEEE GPIB to the computer and saved as before.
**Fig. 7** Experimental set-up for measuring laser spectra
5.6 Results
5.6.1 L-I Characteristics of lasers
The material was tested, with L-I-V measurements taken from lasers with cavity lengths ranging from 200 μm to 1000 μm. Because of imperfections in the material and processing non-uniformities, all lasers do not have similar characteristics. Fig. 8 shows a spread in Light-Current (L-I) performance for a bar of 400 μm long lasers which is typical for all lengths of devices. Also shown in Fig. 9 is the spread in current-voltage (IV) characteristics for the same bar of lasers.
Fig. 8 Light-Current characteristic for 400 μm as-grown lasers
The lasers with the lowest threshold currents and best ex-facet efficiencies were chosen in determining the device and material parameters. These devices were assumed to have the best metal contacts and facets etc.
Table 1 shows the threshold currents and the external differential quantum efficiencies of the best lasers with lengths from 200 μm to 1000 μm. It is evident that as the length of the laser is increased, then the threshold current increases and the external efficiency decreases. This is to be expected from equations (5.14) and (5.18) and is shown graphically in Fig. 10.
| length (µm) | Threshold current (mA) | External quantum efficiency (mW/mA) |
|------------|------------------------|-----------------------------------|
| 200 | 330 | 0.151 |
| 400 | 333 | 0.106 |
| 600 | 370 | 0.0952 |
| 800 | 450 | 0.08 |
| 1000 | 500 | 0.061 |
Table 1 Characteristics of best lasers fabricated from as-grown material
Fig. 10 Light-Current characteristics for different cavity length lasers
Using these results, it is now possible to calculate the threshold current density for an infinitely long cavity, the internal quantum efficiency and the propagation loss of the material using the equations described previously.
The external efficiency measured by the Germanium photodetector is in units of milliwatts per milliamp. However, the photodetector has a non-uniform response at these wavelengths and requires to be calibrated as a function of the emission wavelength of the laser. Calibration is relatively simple if the spectral response of the detector is known which can usually be found in data sheets. After calibrating these results, the efficiency can then be expressed in units of emitted photons per injected electrons by multiplying by a factor of $\frac{e\lambda}{hc}$ which is equal to $\frac{\lambda}{1.242}$ where $\lambda$ is expressed in $\mu$m. This gives the external quantum efficiency per facet (as the detector only monitors the output from one facet) which must be multiplied by 2 to give the correct external efficiency. It is assumed here that the output power from both facets is equal which should be the case for a symmetrical Fabry-Perot laser. Fig. 11 is a plot of the inverse of the external efficiency as a function of cavity length from which the internal quantum efficiency can be found. From equation (5.14) it can be seen that the intercept with the y-axis is equal to the inverse of the internal efficiency which is equal to 62.2% in this case.
Fig. 11 Graph of inverse of external efficiency as a function of length
Equation (5.14) also states that the gradient of the graph is equal to \(-\alpha/\eta_i \ln(R)\) from which the loss of the material at the lasing wavelength, \(\alpha\), can be easily found. Assuming \(R=0.3\) and \(\eta_i=0.622\), \(\alpha\) for this material is equal to 31 cm\(^{-1}\).
The threshold current density for each laser is simply given by:
\[
J_{th} = \frac{I_{th}}{lw}
\]
(5.19)
where \(l\) is the length of the laser and \(w\) is the width of the oxide stripe. Fig. 12 shows a plot of \(\ln(J_{th})\) against \(1/L\) from which the threshold density for an infinitely long laser can be inferred. The intercept on the y-axis (where \(L=\infty\)) yields a value of 491 Acm\(^{-2}\) which indicates that the material is of good quality. The gain factor, \(n\Gamma_w g_0\), can be found from the gradient of this graph assuming a power reflection coefficient of \(R=0.3\). For these devices the gain factor is equal to 41.5 cm\(^{-1}\). If we return to equation (5.16), it is apparent that the threshold current density of 491 Acm\(^{-2}\) is equal to:
\[
\ln\left(\frac{nJ_{th}}{\eta_i}\right) + \frac{\alpha}{n\Gamma_w g_0}
\]
(5.20)
Since we have calculated \(\eta_i\), \(\alpha\) and \(n\Gamma_w g_0\), it is possible to evaluate the transparency current, \(J_T\). For this material we find that \(J_T=30\) Acm\(^{-2}\). Using these parameters, we can determine the gain for a given length of laser from equation (5.12). For example, for a 600 \(\mu m\) long laser with \(n\Gamma_w g_0=41.5\) cm\(^{-1}\), \(\eta_i=0.622\), \(J_T=30\) Acm\(^{-2}\), and \(J=810\) Acm\(^{-2}\), the gain is equal to 50.3 cm\(^{-1}\). The difference between the calculated values of gain and loss in the cavity can be attributed to the mirror losses and for this particular laser are equal to 19.3 cm\(^{-1}\). The mirror losses can be regarded as the amount of power which is lost (or emitted) by the cavity when the light meets the facets and is expressed in terms of the cavity length. The loss predicted by the second term in equation (5.5) is:
\[
\frac{I}{l} \ln\left(\frac{l}{R}\right)
\]
\[
= 20.1 \text{ cm}^{-1}
\]
and therefore shows close agreement with the measured value.
5.6.2 Lasing Spectra of Lasers
Because shorter lasers require a higher threshold current density to achieve lasing, their lasing wavelength alters. A higher threshold current will cause band-filling in such a way as to increase the energy of the emitted photons and reduce the lasing wavelength of the device.
Fig. 13 shows the output spectrum of lasers with three different lengths, 200 μm, 600 μm, and 1000 μm, with a bias current of around 1.5 I_th. It is obvious that, as the length of the laser increases (and the current density decreases), the lasing wavelength increases. This wavelength variation (which is of the order of 20 nm in this case) leads to small errors in the calculated quantum efficiencies due to the wavelength dependence of photon energy. However, these errors have been ignored for simplification purposes and each length of laser is assumed to emit at the same wavelength.
It is also worth noting that the spacing of the Fabry-Perot (longitudinal) modes decreases from about 1.73 nm for a 200 μm long laser to 0.36 nm for a 1000 μm laser. These are in good agreement with results predicted by equation (5.9).
Fig. 13 Spectra of different length lasers under similar bias conditions
5.7 Conclusions
By fabricating broad area oxide stripe lasers of different lengths, the electrical and optical properties of the as-grown material have been thoroughly examined. The threshold current density, internal quantum efficiency, transparency current, gain, and loss have been determined and the lasing spectra of different length lasers have been examined. The same parameters will allow monitoring of the electrical and optical properties of material which has been intermixed to determine if any significant degradation in material quality or device performance occurs and this is found in Chapter 6.
1 Integrated Optics: Theory and Technology, R.G. Hunsperger, Springer Series in Optical Sciences, Vol. 33 Springer-verlag Electromagnetic
2 N.K. Dutta, J. Appl. Phys., 54, p 1236, 1983
3 B. Garrett, Lecture notes presented at University of Glasgow
4 P.W.A. McIlroy, A. Kurobe, Y. Uematsu, IEEE J. Quantum Elec., QE-21 (12), pp 1958-1963, 1985
Chapter 6 Bandgap Tuned Broad Area Oxide Stripe Lasers
6.1 Introduction
Intermixing MQW structures can also be used to shift the gain envelope of as-grown material to allow lasers with a range of tuned wavelengths to be fabricated from a single wafer. Integrated arrays of lasers with different wavelengths have many applications, e.g. in wavelength division multiplexing (WDM) and instrumentation.
By fabricating Oxide Stripe Lasers from material which has been intermixed by different amounts it is possible to determine how the intermixing affects the optical and electrical properties of the material.
6.2 Fabrication
The material used to fabricate the lasers was identical to that used in Chapter 5 with the samples being 5 mm x 5 mm in size. The material was disordered using a ceramic heat sink as described in Chapter 3, with a relatively large laser spot size of FWHM = 2.9 mm. The use of a ceramic heat sink meant that the temperature profile of the sample was much more uniform (see Chapter 10) than simply placing the sample on the polished molybdenum. Material was intermixed by varying degrees with room temperature photoluminescence (PL) peak shifts of approximately 40 nm, 100 nm, and 140 nm.
As the samples were heated using a Gaussian profiled laser beam, the sample was not uniformly heated over its entire area, despite the use of the ceramic insulator. This meant that slightly less disordering occurred around the edges of the samples, where the temperature was lower compared with the more uniform central region. For this reason there was a range of lasing wavelengths obtained from each sample, typically a spread of about 30 nm, so only lasers from the centre of the samples (with a wavelength spread of around 10 nm) were used for assessment.
6.3 Results
Fig. 1 shows the spectra of 600 μm long oxide stripe lasers fabricated from the samples intermixed by 40 nm, 100 nm, and 140 nm respectively. From the graphs, it is clear that the gain envelope of the material has not broadened measurably as the wells and barriers have intermixed. This result indicates that wells are disordering by the same amount, irrespective of depth within the epitaxial structure,
Fig. 1 Lasing spectra of 600 μm long lasers from samples intermixed by 40 nm, 100 nm and 140 nm
which is to be expected because of the thermal nature of the disordering process and the close spacing of the wells. The material parameters were then calculated for the three samples using the methods described in Chapter 5.
The threshold current density for infinite cavity length as a function of lasing wavelength is plotted in Fig. 2. As the material is intermixed and the lasing wavelength becomes shorter, the threshold current density increases from a value of $490 \text{ Acm}^{-2}$ for the as-grown material to $600 \text{ Acm}^{-2}$ for material which has been shifted by 150 nm. This is due to the current required to achieve transparency increasing\(^1\) as the density of states changes from 2-D like to bulk like (see section (2.4.2)).
The internal quantum efficiency as a function of lasing wavelength is plotted in Fig. 3. An apparent initial increase in efficiency with intermixing is observed, followed by an apparent drop. It is not clear how reliable these trends really are. It can, however, be inferred with certainty that the internal quantum efficiency remains substantially unaffected by the PAID process, i.e. that the process appears not to induce a significant number of nonradiative recombination centres.
Fig. 4 shows how the internal propagation losses of the laser decrease as the material is disordered. The decrease is likely to be mainly due to a reduction in Auger effects and inter-valence band absorption, as the lasing wavelength becomes shorter\(^2\).
In addition, the free-carrier absorption coefficient is, to a first approximation, proportional to the square of wavelength ($\lambda^2$) and so it will be reduced by around 20% over the range of wavelengths studied\(^3\). Another factor which will reduce the loss is the guided mode will become more strongly confined in the vertical direction within the active region of the laser as the wavelength is reduced\(^4\).
The results demonstrate that no additional losses are incurred because of dopant diffusion (Zn) into the active region, a conclusion which is also supported by the observation that the internal loss decreases with intermixing. This is an important point, as a displaced $pn$ junction produced by the diffusion of dopants would seriously reduce the performance of devices fabricated from intermixed material.
The current-voltage (I-V) characteristics of 600 $\mu$m long lasers from the intermixed and as-grown samples are shown in Fig. 5. There appears to be a reduction in the turn-on voltage of around 0.2 volts for all the samples which have undergone some degree of intermixing. This effect can be explained by a reduction in the contact resistance of the Ti/Au p-type contact. As the material is intermixed, there will be Gallium outdiffusion from the InGaAs contact layer into the cap layer of SiO$_2$. This will cause the composition at the material surface to be a lower bandgap In$_{1-z}$Ga$_z$As ($z < 0.47$) compound\(^5\) which has been reported elsewhere to reduce the
Fig. 2 Threshold current density as a function of lasing wavelength
Fig. 3 Internal quantum efficiency as a function of lasing wavelength
Fig. 4 Internal loss as a function of lasing wavelength
Fig. 5 I-V curves for different lasing wavelengths
contact resistance\textsuperscript{6} of Ti/Au contacts by forming a favourable interfacial microstructure.
6.4 Conclusions
Broad area oxide stripe lasers have been fabricated from intermixed material which has been bandgap shifted by up to 140 nm. The threshold current density for lasers with an infinite length cavity increased by only 20% from 490 Acm\textsuperscript{-2} to 600 Acm\textsuperscript{-2} due to changes in the density of states. The internal quantum efficiency also remained high after intermixing with values of over 60% measured. The internal losses of the lasers actually reduced as the material was intermixed (and the lasing wavelength became shorter) due to a reduction in the free-carrier absorption coefficient and an increase in the optical confinement in the active region.
The results presented in this chapter indicate that material which has been intermixed by large amounts is still of quality suitable for use in the integration of devices.
\begin{enumerate}
\item Integrated Optics: Theory and Technology, R.G. Hunsperger, Springer Series in Optical Sciences, Vol. 33, Springer-Verlag Electromagnetic
\item N.K. Dutta, \textit{J. Appl. Phys.}, \textbf{54}, p 1236, 1983
\item Integrated Optics: Theory and Technology, R.G. Hunsperger, Springer Series in Optical Sciences, Vol. 33, Springer-Verlag Electromagnetic
\item Principles of Integrated Optics, D.L. Lee, J. Wiley and Sons, New York, 1986
\item Properties of Lattice matched and strained Indium Gallium Arsenide, INSPEC EMIS Data review Series, No. 6, p 6
\item S.N.G. Chu, A. Katz, T. Boone, P.M. Thomas, V.G. Riggs, W.C. Dautremont-Smith, W.D. Johnston, Journal of Applied Physics, vol. \textbf{67}, 1990, pp 3754-3760
\end{enumerate}
Chapter 7 Bandgap Tuned Ridge Waveguide Lasers
7.1 Introduction
The oxide stripe lasers described in Chapter 5 are ideal for checking the quality and various parameters of epitaxially grown laser material. They are also useful practical devices for high power applications, such as pumping solid state lasers, where the mode structure and lasing spectra are not critical. However, when a high degree of phase coherence or minimal dispersion is required, such as in long distance fibre communications, single mode operation becomes a necessity.
In a laser structure, single transverse mode operation can be achieved in a number of ways such as proton bombardment, diffusion of dopants to define current injection, and epitaxially grown buried-heterostructures (BH). Another simple way to achieve single transverse mode operation is to fabricate strip-loaded waveguides in the laser structure, utilising the change in effective index described in detail in Chapter 4. Single longitudinal mode operation is more difficult to achieve (especially in long wavelength lasers where the gain spectrum is quite broad) and typically requires a grating of some sort to be fabricated.
7.2 Fabrication
The material used to fabricate the Ridge Waveguide Lasers (RWLs) was identical to that used in Chapter 5. Fig. 1 shows a schematic diagram of the RWLs fabricated in this chapter. The areas which have been etched away do not extend between consecutive ridges but are only 8 μm wide, thus forming a double trench pattern. Because the mode is quite strongly confined in the transverse direction by the large change in effective index, this should not affect the guiding properties of the ridges and also means that the ridges are effectively protected during subsequent processing and testing. The fabrication process is listed below:
1. Clean sample in ultrasonic bath: 3 mins. methanol,
3 mins. acetone,
rinse in RO water
2. Etch off InP cap layer with HCl : H₃PO₄ (in ratio 1:3) for 20 secs.
3. Plasma-Enhanced Chemical-Vapour-Deposition (PECVD) of 500 nm SiO₂
Power = 10 watts
Gas flow : SiH₄ = 9 sccm, N₂O = 710 sccm, N₂ = 171 sccm
Temperature = 300°C
Fig. 1 Schematic diagram of ridge waveguide laser
Silicon Dioxide Passivation Layer
InGaAs contact layer
Active layer
p metal
Double trench
Contact window
n-metal
Pressure = 1 torr
4. Disorder samples as described in Chapter 3
5. Remove 500 nm SiO$_2$ cap layer with buffered HF for 5 mins.
6. Plasma-Enhanced Chemical-Vapour-Deposition (PECVD) of 200 nm of SiO$_2$
Power = 10 watts
Gas flow: SiH$_4$ = 9 sccm, N$_2$O = 710 sccm, N$_2$ = 171 sccm
Temperature = 300°C
Pressure = 1 torr
7. Spin on primer: dihexamethylsilane
8. Spin on resist: S1400-31 @ 6000 rpm for 30 secs
9. Post bake for 30 mins. @ 90°C
10. Expose with pattern of 4 µm ridges (spaced by 300 µm) in β-direction to ensure vertical profile of sidewalls (see Chapter 4)
11. Develop pattern for 60 secs.
12. Dry etch SiO$_2$ in BP machine
Power = 100 watts
Gas flow: C$_2$F$_6$ = 20 sccm
Temperature = 30°C
Bias = 400 V
13. Oxygen clean in BP machine
Power = 50 watts
Gas flow: O$_2$ = 30 sccm
Temperature = 30°C
Pressure = 50 mtorr
Time = 5 mins.
14. Remove resist with acetone
15. Dry etch InP for 12 mins. to a depth of 1 µm in Electro-Tech 340 machine
Power = 100 watts
Gas flow: CH$_4$ = 3.6 sccm, H$_2$ = 26.4 sccm
Temperature = 300°C
Pressure = 14 mtorr
Bias = 850 V
16. Oxygen clean in Electro-Tech 340 to remove polymer build-up
Power = 50 watts
Gas flow: O$_2$ = 30 sccm
Temperature = 30°C
Pressure = 50 mtorr
Time = 5 mins.
17. Wet etch remainder of InP cladding layer with HCl : H₃PO₄ (in ratio 1:3) for 90 secs. to etch stop layer
18. Remove SiO₂ with buffered HF
19. Plasma-Enhanced Chemical-Vapour-Deposition (PECVD) of 200 nm of SiO₂
Power = 10 watts
Gas flow: SiH₄ = 9 sccm, N₂O = 710 sccm, N₂ = 171 sccm
Temperature = 300°C
Pressure = 1 torr
20. Spin on primer: dihexamethylsilane
21. Spin on resist: S1400-31 @ 6000 rpm for 30 secs
22. Post bake for 30 mins. @ 90°C
23. Expose with pattern of 3 μm contact windows spaced by 300 μm
24. Develop pattern for 60 secs.
25. Etch SiO₂ with buffered HF for 12 seconds
26. Remove resist with acetone
27. Mount sample in holder for p-contact evaporation
70 nm titanium
150 nm gold
28. Mount sample on small glass slide with resist for thinning
29. Thin sample to 200 μm using 9 μm alumina grit
30. Thin sample to 150 μm using 3 μm alumina grit
31. Wet-etch with HCl : H₃PO₄ (in ratio 1:3) for 10 mins. to remove any damage
32. Demount from glass slide with acetone
33. Mount sample on glass slide with resist for n-contact evaporation
14 nm gold
14 nm germanium
14 nm gold
11 nm nickel
150 nm gold
34. Remove from glass slide with acetone
35. Anneal contacts in Rapid Thermal Annealer at 360°C for 90 secs.
36. Scribe and cleave samples into chips with lengths ranging from 300 μm to 1000 μm
Fig. 2 to Fig. 5 show SEM photographs of lasers fabricated from four individual samples, one as-grown and three with different amounts of intermixing. It is obvious that the processing required to fabricate ridge waveguide lasers is far more complicated than that required to fabricate oxide stripe lasers (OSLs). In particular, no alignment is required when fabricating OSLs whereas, when fabricating RWLs,
Fig. 2 SEM micrograph of laser fabricated from sample A
Fig. 3 SEM micrograph of laser fabricated from sample B
Fig. 4 SEM micrograph of laser fabricated from sample C
Fig. 5 SEM micrograph of laser fabricated from sample D
accurate alignment is required between the contact windows and the tops of the etched ridges. Consequently there is usually a variation in performance between devices fabricated from different samples. A slight variation in ridge width is observed between samples and this variation will affect the device properties. There is also misalignment between the ridges and the contact windows. For these reasons it is difficult to compare material parameters from sample to sample with any accuracy, unlike the OSLs fabricated in Chapter 5.
7.3 Comparison between oxide stripe lasers and ridge waveguide lasers
7.3.1 Waveguiding
An important difference between the OSLs fabricated in Chapter 5 and the RWLs fabricated here is the way in which the light is confined or guided in the transverse direction. The broad area lasers achieve guiding simply by restricting the areas to which current is injected by the use of silicon dioxide passivation layers. The ridge waveguide devices described here, however, use a change in the effective index to produce waveguiding and confine the light.
The waveguiding properties of the RWLs will be very similar to the waveguiding properties of the low-loss waveguides fabricated in Chapter 4 since the basic material structure is the same.
The ridge width required to achieve single mode operation was calculated in section (4.5.1) to be approximately 2 μm but it was decided that this was too small to fabricate successfully. The ridges fabricated in this chapter were approximately 4 μm wide and consequently supported two modes in the transverse direction. However, the second order mode was not expected to feature strongly due to the lower optical confinement and, hence, lower modal gain.
7.4 Results
Devices were tested in a similar manner to that described in Chapter 5.
7.4.1 L-I Characteristics
Fig. 6 shows the L-I characteristics obtained for a bar of 600 μm long lasers fabricated from as-grown material. If this graph is compared to Fig.8 in Chapter 5 it is obvious that the L-I curve, above threshold, is much more linear for the ridge lasers than for the oxide stripe lasers. This is due to the number of transverse modes being
Fig. 6 L-I curves for a bar of 600 μm long ridge waveguide lasers
less in the RWLs, meaning that there is less mode hopping (the transfer of power between the different transverse modes) causing kinks in the L-I curve.
For the as-grown material, the threshold current varies from 25 mA for a 300 μm long device to 41.5 mA for a 1 mm long device. Fig. 7 is a plot of the natural log of the threshold current density as a function of inverse cavity length, from which the threshold current density for an infinitely long device has been calculated to be 800 Acm\(^{-2}\). This value is substantially larger than the threshold current density of 560 Acm\(^{-2}\) for oxide stripe lasers fabricated from the same wafer. The difference is due to the injected current spreading in the MQW region, which results in the effective area pumped being slightly larger than the width of the ridge.
From the same graph the gain factor, \(n\Gamma g_0\), has been calculated to be =44.4 cm\(^{-1}\). This is slightly larger than the gain factor of 37.5 cm\(^{-1}\) for OSLs fabricated from the same wafer. The difference can be explained by an increase in the confinement factor of the guided mode in the regions either side of the ridge. This is because most of the cladding layers have been removed thus compressing the mode more into the active region and increasing the optical overlap, \(\Gamma\), of the mode with the quantum wells.
### 7.4.2 Internal Quantum Efficiency
The internal quantum efficiency has been inferred from Fig. 8 to be equal to 54% for the RWLs fabricated from the as-grown material with the loss calculated to be equal to 10 cm\(^{-1}\). This compares with a value of 72% for OSLs fabricated from the same wafer. The difference is due to a combination of two reasons. Firstly, a proportion of the injected carriers in the RWLs will recombine outside the ridge region (due to the current spreading), where the optical field is weaker. The current spreading increases the probability that these carriers will recombine spontaneously and not contribute to lasing. Secondly, photons which are generated outside the waveguide are less likely to be guided by the waveguide and are therefore less likely to contribute to the optical power in a mode.
These effects will of course occur in OSLs but, because the gain section is so wide, can be neglected.
### 7.5 Comparison between different amounts of disordering
Figs. 9, 10, 11 & 12 show the lasing spectra of 600 μm long ridge waveguide lasers fabricated from the four samples. As mentioned previously, these devices are not ideal for studying material parameters, due to their strict fabrication requirements,
Fig. 7 Graph of $\ln(J_{th})$ as a function of inverse cavity length
Fig. 8 Graph of inverse of external efficiency as a function of cavity length
Fig. 9 Lasing spectrum of 600 μm long device from sample A
Fig. 10 Lasing spectrum of 600 μm long device from sample B
Fig. 11 Lasing spectrum of 600 μm long device from sample C
Fig. 12 Lasing spectrum of 600 μm long device from sample D
particularly alignment of contact windows on the ridges, and consequently this study has not been carried out.
It is, however, sensible to compare actual device parameters for the different chips. For example, in Table 1, the threshold currents are presented for 300 μm and 800 μm long RWLs fabricated from the four samples. The wavelengths quoted are the lasing wavelengths for 600 μm long devices. The table indicates that there is only a 2.5 mA spread for the 300 μm devices and a 7 mA spread for 800 μm devices. It seems reasonable to assume that processing differences will be a major cause for the range in threshold currents.
The external differential quantum efficiencies for 300 μm long and 800 μm long RWLs fabricated from the four samples are given in Table 2. It can be seen that there is a 5.1 % variation in quantum efficiency for 300 μm lasers, while there is only a variation of 4.3 % for lasers which have a cavity length of 800 μm.
| Sample I.D. | Wavelength (nm) | Threshold current (mA) for 300 μm long laser | Threshold current (mA) for 800 μm long laser |
|-------------|-----------------|---------------------------------------------|---------------------------------------------|
| A | 1547 | 25.0 | 37 |
| B | 1512 | 25.0 | 42 |
| D | 1474 | 22.5 | 35 |
| C | 1413 | 22.5 | 37 |
Table 1 Threshold currents for lasers with cavity lengths of 300 μm and 800 μm
| Sample I.D. | Wavelength (nm) | External quantum efficiency for 300 μm long laser | External quantum efficiency for 800 μm long laser |
|-------------|-----------------|--------------------------------------------------|--------------------------------------------------|
| A | 1547 | 43.7 % | 32.4 % |
| B | 1512 | 42.7 % | 33.1 % |
| D | 1474 | 48.0 % | 34.0 % |
| C | 1413 | 42.9 % | 29.7 % |
Table 2 External differential quantum efficiencies of lasers with cavity lengths of 300 μm and 800 μm
7.6 Temperature Dependence of Threshold Current
The temperature dependence of the threshold current can be expressed as:
\[ I_{th} = I_{th0} \exp\left(\frac{T}{T_0}\right) \]
(7.1)
where \( I_{th} \) is the threshold current (A),
\( I_{th0} \) is the threshold current at 0 K, and
\( T_0 \) is the characteristic temperature (K).
The characteristic temperature, \( T_0 \), of a laser is a measure of the degree of temperature sensitivity of the threshold current. A typical value of \( T_0 \) for a conventional (Al)GaAs double heterostructure laser is 150 K, with a higher value of around 220 K for (Al)GaAs quantum well lasers. In InGaAs(P) double heterostructure lasers however, the characteristic temperature is much lower\(^1\), at around 70 K, and is due to the strong Auger recombination in this material system. Furthermore, no improvement (i.e. an increase in \( T_0 \)) has been observed in InGaAs(P) quantum well lasers.
7.6.1 Experimental Procedure
The temperature of the lasers under test was varied using a Peltier cooler placed just below the laser clip. A simple control box with temperature feedback controlled the temperature of the Peltier device by altering the magnitude and polarity of the bias applied to it, meaning a range of temperatures could be obtained.
Light-current pulsed measurements (400 ns @ a 1 kHz rep. rate) were carried out on 800 \( \mu \)m long devices from each of the four samples, A, B, C, & D. Fig. 13 shows the L-I graph for sample A over a range of temperatures from 10°C to 40°C.
7.6.2 Results
It is obvious that, as the temperature is increased, the threshold current of the laser also increases. The external differential efficiency of the lasers however, remains virtually constant. The threshold current for each temperature is given in Table 3, from which it can be seen that there is a strong dependence with temperature. For example, there is an increase of 56 % in the threshold current for a modest 30°C increase in the temperature, which is indicative of a low characteristic temperature. By plotting \( \ln(I_{th}) \)
Fig. 13 Light-Current Curve for 800 μm as-grown laser as a function of temperature
Fig. 14 Threshold current as a function of temperature
Table 4.1 shows threshold temperature ($T_{th}$) as a function of wavelength.
against temperature, a straight line is obtained with the gradient equal to the reciprocal of the characteristic temperature. Results are shown in Fig. 14, from which $T_0$ has been calculated to be 66.2 K.
Measurements were repeated for each sample, with the calculated $T_0$s given in Table 4. It can be seen that there is little difference between each sample, with values of $T_0$ similar to those reported elsewhere\textsuperscript{2,3,4}. It might have been expected that an increase in the characteristic temperature would be seen as the lasing wavelength was reduced, due to a reduction in Auger recombination, but this was not the case. It should be noted that the characteristic temperature is a measure of the temperature performance of the \textit{device} and not necessarily of the material. Therefore, variations in the device dimensions described earlier in this chapter will also affect the accuracy of the values calculated here.
| Temperature (°C) | Threshold Current (mA) |
|------------------|------------------------|
| 10 | 31 |
| 15 | 33 |
| 20 | 36 |
| 25 | 38.5 |
| 30 | 42 |
| 40 | 48.5 |
Table 3 Threshold current as a function of temperature for as-grown material
| Sample | Wavelength (nm) | Characteristic Temperature, $T_0$ (K) |
|--------|-----------------|--------------------------------------|
| A | 1550 | 66.2 |
| B | 1500 | 67.6 |
| D | 1470 | 57 |
| C | 1420 | 76 |
Table 4 Characteristic temperature ($T_0$) as a function of wavelength
7.7 CW Measurements of Ridge Waveguide Lasers
The lasers described in Chapters 6 and 7 have been fabricated from material which has been intermixed by large amounts. Although there is no significant degradation in lasing properties, no tests have been carried out to determine device reliability.
7.7.1 Bonded Devices
To carry out Continuous Wave (CW) measurements, it is important to heat-sink the devices so that the active region does not overheat during operation. Devices were soldered to a copper block using small balls of indium and deoxidising flux (shown in Fig. 15). The flux is necessary to make the indium "flow" on the copper block. The devices were bonded p-side down which meant that the active region was as close as possible to the heat-sink. A bond pad was glued onto the end of the block, from which a Gold wire connection was made (using an ultrasonic bonder). This block was then placed in a mount which contained a Peltier cooler, with the current supplied through a probe to the bond pad. The current source consisted of a battery pack and a variable power supply unit which allowed currents of up to 110 mA to be supplied to the lasers. The output from one facet was collimated by a X40 objective lens (NA=0.65) and measured by an Anritsu optical power meter.
Fig. 16 shows the Light-Current characteristics for 600 μm long devices from samples A-D. Although the devices worked, there was a large variation in the threshold currents and external differential quantum efficiencies which was not predicted by the pulsed measurements on the same lasers. The reason for the variation (and general deterioration) in the threshold current and external efficiency was thought to be the combination of two problems; solder induced stress around the ridges, and the flux used in the soldering. When the lasers are bonded p-side down, the solder will flow in the double trench structure of the devices. The solder will then contract as it cools down, leading to stress around the ridge and the nearby active region. This problem has been observed in p-side down ridge lasers before, although it is not a problem in buried heterostructure lasers which have a planar p-side. The flux is extremely difficult to remove and often forms a tough layer on the laser facets. This layer will have the effect of altering the reflection coefficient of the facets, thereby altering the threshold current and external efficiency of the laser. To verify these assumptions, the lasers were tested again in pulsed operation and the L-I curves were found to be similar to those for CW operation. This similarity indicates that the degradation in the performance of the lasers, is due to the bonding process and not due to the heating of the active region caused by CW operation.
Fig. 16 CW L-I curves for 600 μm long lasers from samples A, B, C, and D.
The L-I curves in Fig. 16 are similar to those found in [2] due to inadequate thermal contact between the laser chip and the heat sink under CW operation in which the laser chip is mounted on a copper block. The thermal resistance of the copper block is much lower than that of the heat sink, resulting in a higher temperature rise at large currents. This roll-off is more pronounced in sample A, which has a higher current density. The heating effect is further enhanced by the presence of a red shift in the lasing spectrum, as shown in Fig. 23, which shows the lasing spectra of the four samples with 40 mA, which suggests an increase in temperature of about 50°C.
The three samples tested under pulsed and CW operation are shown in Fig. 17, with the lasing spectrum of each sample being measured at 40 mA, which suggests an increase in temperature of about 50°C.
The lasing spectra of the devices are shown in Figs. 17, 18, 19 & 20 at a power output of 1 mW (per facet) for each laser.
The peak wavelength of each spectrum is at an identical position to the spectrum of the laser taken under pulsed operation, indicating that the active region temperature is well controlled and the device is not overheating. There is further evidence of this in Fig. 21 which shows the lasing spectra of a 600 μm long laser from sample B for different output power levels (and different injected current levels). Again there is very little shift in the peak lasing wavelength, demonstrating that no significant heating is taking place in the active region.
7.7.2 CW Measurements of Lasers in Clip
The increase in threshold current due to bonding was confirmed when the lasers were tested under CW operation in a simple laser clip. Surprisingly, the lasers worked well despite the poor thermal contact between the laser and the clip. The threshold currents were much lower than those for devices which were bonded and, instead, closely resembled those for pulsed measurements in the laser clip.
Fig. 22 shows the L-I curves of as-grown lasers of different cavity lengths. Obviously the poor thermal contact does have an effect on the threshold current and the external differential efficiency, which is the reason (in Fig. 22) that roll-off of the L-I curves occurs at large currents. This roll-off is more of a problem in short cavity lasers, which have higher current densities. This heating effect is also observed in the lasing spectra, as shown in Fig. 23 which shows the lasing spectrum for a 300 μm long as-grown laser. There is a red shift in the lasing spectra of about 24 nm for a current of 80 mA, as compared with 40 mA, which suggests an active region temperature rise of approximately 60°C.
The threshold currents for pulsed and CW operation are shown for comparison in Table 5, with the heating of the active region being responsible for the increase. Similar effects were observed in all of the samples (A-D).
Fig. 17 CW lasing spectrum of 600 μm device from sample A
Fig. 18 CW lasing spectrum of 600 μm device from sample B
Fig. 19 CW lasing spectrum of 600 μm device from sample C
Fig. 20 CW lasing spectrum of 600 μm device from sample D
Fig. 21 Lasing spectra of 600 μm long device at different output powers
- 0.5 mW (70.5 mA)
- 1 mW (77.9 mA)
- 1.5 mW (86.1 mA)
- 2 mW (94.6 mA)
- 2.5 mW (104 mA)
Fig. 22 L-I curves of devices operated CW in a laser clip
Fig. 22 The performance of an as-grown laser and a 3° cleaved laser
In order to determine the reliability of devices which have been wavelength-shifted by 80 nm was tested under similar conditions, i.e., a range of set of time and at a constant current of 40 mA. A device from an grown material was also tested under similar test conditions. The lasing spectra taken every 24 hours (on average).
Fig. 23 shows how the normalised output power of the device varies with the injection of bias. It is obvious that the laser fabricated from material with a 3° cleavage direction from the laser fabricated from as-grown material.
The figure suggests simply i.e. the output power of the laser decreases with time which is indicative of some transient degradation mechanism. This is not a long term wear-out mode in the device. A typical way of examining the long-term wear-out mode in the laser by operating it at high temperature (150°C) and high current (100 mA) for around 10 hours. This burn-in effectively depletes the quantum defects from the laser, thereby ensuring that, when the laser is cooled down, the long-term degradation is caused by the long-term wear-out mode.
It is obvious that this apparent degradation needs to be examined further since the test period used is not large enough to give adequate confidence in the results. A more appropriate way of carrying out the experiment would be to burn-in a large number of devices and then test them at elevated temperature to accelerate the degradation and use constant output power to measure the output current. This approach is more realistic since the most common criterion for measuring the lifetime of a laser is the time when the drive current has increased by 30% over the start of lasing operation. It was found that the lifetime of the laser was around 1000 hours.
| Cavity Length (μm) | Threshold Current under pulsed operation (mA) | Threshold Current under CW operation in laser clip (mA) |
|-------------------|-----------------------------------------------|------------------------------------------------------|
| 300 | 25 | 27.5 |
| 600 | 30 | 31 |
| 800 | 37 | 39 |
| 1000 | 41.5 | 42 |
Table 5 Threshold currents of as-grown lasers under pulsed operation and CW operation
7.8 Life time measurements
In order to determine the reliability of material which had been intermixed, a RWL which had been bandgap-shifted by 80 nm was tested CW at room temperature, over a long period of time and at a constant current of 100 mA. A RWL fabricated from as-grown material was also tested under similar conditions with output power measurements taken every 24 hours (on average).
Fig. 24 shows how the normalised output powers of the two lasers vary as a function of time. It is obvious that the laser fabricated from disordered material exhibits more degradation than the laser fabricated from as-grown material, although this seems to be saturating slightly i.e. the output power level seems to be bottoming out. This effect is indicative of some transient degradation mechanisms and does not reflect the long term wear-out mode of the device. A typical way of removing this initial transient effect is to "burn-in" the laser by operating it at high temperature (~85°C), high drive current (~100 mA) for around 10 hours. This burn-in effectively purges the transient degradation modes from the laser, thereby ensuring that, when the laser is tested, the only degradation is caused by the long term wear-out mode.
It is obvious that this apparent degradation needs to be examined further as the sample size used is not large enough to give adequate confidence in the results. A more appropriate way of carrying out the experiment would be to burn-in a large number of devices and then test them at elevated temperature (to accelerate the degradation) and use constant output power to control the input current. This approach is more useful, since the most common criterion for measuring the lifetime of a laser is the time when the drive current has increased by 50% over the start of life condition. It is worth noting that the lifetime of a standard optoelectronic telecomms component is 25 years.
Fig. 24 Normalised output power as a function of time
Fig. 25 Spontaneous emission spectra of 1000 μm long devices from samples A, B, C and D.
Fig. 25 Spontaneous emission spectra of 1000 μm long devices from samples A, B, C, and D.
7.9 Spontaneous Emission of Lasers
The spontaneous emission of the lasers is shown in Fig. 25 for 1000 μm long lasers. The injected current, at 20 mA, is approximately 50% of the threshold current. It is obvious that the gain peak is not broadening to any great extent, which validates the theory that an equal level of disordering is occurring in all the quantum wells.
7.10 Conclusions
Ridge Waveguide Lasers described in this chapter have been fabricated from both as-grown and disordered material and have operated CW at room temperature for long periods of time. A more extensive study of the reliability of devices fabricated from intermixed material would be both useful and interesting given the lack of published work on the subject (to the author's knowledge).
---
1 Integrated Optics: Theory and Technology, R.G. Hunsperger, Springer Series in Optical Sciences, Vol. 33, Springer-Verlag Electromagnetic
2 G.H.B. Thompson, G.D. Henshall, Electron. Lett., vol. 16 (1), Jan (1980), pp 42-44
3 A. Mozer et al., IEEE Journal Quantum Quantum Elec., Vol QE-19, No.6, pp 913-916
4 M. Asada et al., IEEE Journal Quantum Quantum Elec., Vol QE-20, No.7, pp 745-753
Chapter 8
Electroabsorption in InGaAs(P) MQW Structures
8.1 Introduction
Multiple Quantum Well (MQW) material has been shown to produce excellent modulators utilising the electroabsorption effect at wavelengths close to the bandgap\(^1\).
The electroabsorption in MQW structures close to the bandgap is dominated by the Quantum Confined Stark Effect (QCSE) as discussed in Chapter 2. By applying a reverse bias voltage (and electric field) to material the electroabsorption characteristics can be determined by monitoring the photocurrent induced in the material.
8.2 Photocurrent Spectroscopy
Photocurrent measurements can be used very simply to gauge the modulation capabilities of disordered material at any wavelength without the need for fabricating any actual devices. They can also be used to determine what is the optimum bandgap shift required for an electroabsorption modulator to work at the original lasing wavelength of the material. The technique works by illuminating the material with monochromatic light to create free-carriers. These carriers are swept from the depletion region by the built in field of the \(p\)-\(i\)-\(n\) structure and create a current in the bias circuit. By scanning monochromatic light over a range of wavelengths, the absorption spectrum can be found.
This technique was used to determine the electroabsorption properties of both as-grown and disordered multiple quantum well material.
8.3 Features in Photocurrent Spectra of MQW Structures
8.3.1 Forbidden Transitions In Quantum Wells
Photocurrent spectra show peaks associated with interband transitions which, for material in large electric fields, include some transitions which are forbidden for zero fields. This concept has already been discussed in chapter 2.
The appearance of forbidden transitions in the absorption spectrum of the material is accompanied by a corresponding reduction in the absorption of the zero-field transitions\(^2\). This is a direct result of the absorption sum rules\(^3\) which states that
the net change in absorption in the material over the entire spectrum must be zero. Assuming that the hh and lh transitions are completely decoupled, the sum rule for heavy hole and light hole transitions operate independently.
8.3.2 Exciton Broadening
The exciton peaks measured by the photocurrent have an associated linewidth which is due to both homogeneous and inhomogeneous broadening.
The homogeneous broadening is mainly due to the lifetime of the exciton. Three possible mechanisms limiting the exciton lifetime are phonon interactions, carrier tunneling through the barrier, and electron hole recombination. At room temperature, phonon interactions dominate the lifetime and lead to an estimated exciton lifetime\(^4\) of 300 fs. This lifetime leads to a spread of exciton energies through the Heisenberg uncertainty principle and therefore an associated linewidth \((\Delta \lambda)\). In an electric field, the exciton lifetime is reduced since the electron and hole are spatially separated causing the linewidth to broaden further.
The exciton broadening is, however, dominated by inhomogeneous broadening. The two main mechanisms leading to this broadening are variations in the well widths and variations in the electric field strength across the \(p\)-\(i\)-\(n\) structures\(^5\). Broadening through well width variations can occur in two ways. Firstly, there can be a variation in width from one well to another, giving the excitons in each well a different resonant energy\(^6\). The separation of these energies is small and leads to a broadening of the peak rather than different peaks for each well. Secondly, there can be a variation in the well width within a single well due to interface roughness. In the (Al)GaAs material system, the linewidth of excitons is narrower in high purity bulk GaAs\(^7\) than for (Al)GaAs quantum wells\(^8\) demonstrating that interface roughness is the main mechanism for exciton broadening\(^9\).
The exciton broadening associated with variations in the electric field causes broadening of the peak which increases with field strength. The MQW structure experiences a non-uniform electric field strength due to residual doping in the intrinsic region, so each well experiences a different field strength and, since the resonant energy of the excitons is field dependent, there is a broadening in the absorption spectrum.
8.4 Device Fabrication
8.4.1 Material Structure
The material used was a standard laser structure (MR 193) as shown in Fig. 1. It was grown by metal organic vapour phase epitaxy (MOVPE) on an n+ doped (Si) InP substrate and consisted of five 85 Å InGaAs wells with 120 Å InGaAsP ($\lambda_g = 1.26 \mu m$) barriers. The active region was surrounded by a stepped graded index (GRIN) waveguide core consisting of InGaAsP confining layers. The thicknesses and compositions of these layers (working out from the QWs) were 500 Å of $\lambda_g = 1.18 \mu m$ and 800 Å of $\lambda_g = 1.05 \mu m$. The structure, which was lattice matched to InP throughout, was completed with an InP upper cladding layer and a InGaAs contact layer. The first 0.2 µm of the upper cladding layer was doped with Zn to a concentration of $5 \times 10^{17} \text{cm}^{-3}$ and the remaining 1.2 µm to $2 \times 10^{18} \text{cm}^{-3}$. The lower cladding layer was Si doped to a concentration of $1 \times 10^{18} \text{cm}^{-3}$. The waveguide core was undoped, so forming a pin structure with the intrinsic region restricted to the QWs and the GRIN region.
**Fig. 1** Schematic of material structure used for photocurrent measurements
### 8.4.2 Fabrication
Samples were fabricated from both as-grown material and material which had been intermixed by varying amounts. The fabrication process is described in detail below.
1. Scribe and cleave samples to 2 mm x 2 mm in size
2. Clean sample in ultrasonic bath:
3 mins. methanol,
3 mins. acetone,
rinse in RO water
3. Etch off InP cap layer with HCl : H₃PO₄ (in ratio 1:3) for 20 secs.
4. Plasma-Enhanced Chemical-Vapour-Deposition (PECVD) of 500 nm SiO₂
Power = 10 watts
Gas flow : SiH₄ = 9 sccm, N₂O = 710 sccm, N₂ = 171 sccm
Temperature = 300°C
Pressure = 1 torr
5. Disorder samples as described in Chapter 3
6. Remove 500 nm SiO₂ cap layer with buffered HF for 5 mins.
7. Spin on primer : dihexamethylsylane
8. Spin on resist : S1400-31 @ 6000 rpm for 30 secs
9. Post bake for 30 mins. @ 90°C
10. Expose with light-field pattern of 800 μm diameter circles
11. Develop pattern for 60 secs.
12. Mount sample in holder for p-contact evaporation
70 nm Titanium
150 nm Gold
13. Lift-off pattern (with acetone) to leave 800 μm diameter windows in p-contact
14. Mount sample on glass slide with resist for n-contact evaporation
14 nm Gold
14 nm Germanium
14 nm Gold
11 nm Nickel
150 nm Gold
15. Remove from glass slide with Acetone
16. Anneal contacts in Rapid Thermal Annealer (RTA) at 360°C for 90 secs.
Fig. 2 shows a schematic representation of the devices used to measure photocurrent.
8.5 Experimental Set-up
The experimental set-up for measuring photocurrent is shown in Fig. 3. The tuneable light source was derived from a white light source coupled into a monochromator. The output was collimated into an objective lens and focused onto the sample, which was held in a modified laser clip with a small aperture in it. The laser clip held the sample in place by means of a spring and provided electrical contacts to the sample from the bias circuit. The bias circuit is shown in Fig. 4 and allows the reverse bias voltage to the diode to be varied.
Fig. 3 Experimental set-up for measuring photocurrent
The sample is mounted on a motorised stage and is illuminated with a collimated beam of monochromatic light. The photocurrent is measured using a lock-in amplifier, which is synchronised to the chopper. The bias circuit applies a constant voltage to the sample. There is a probe connected to the sample to measure the photocurrent.
8.6 Results
Fig. 5 shows the photocurrent spectra from a series of samples which have undergone various degrees of intermixing (PL peak blue shifted by 10 nm, 63 nm and 78 nm) as well as from an undisordered control sample.
In the case of the control sample, although no clear excitons were observed, features corresponding to the light and heavy hole excitons are distinguishable. For the intermixed samples, these features become more poorly defined as the extent of disordering increases, and quickly merge to form a single absorption edge. Another clearly defined feature in Fig. 5, at $\sim 1.38 \mu m$, corresponds to optical absorption by atmospheric water molecules. Due to run-to-run variations, all photocurrent spectra have been normalised at the water absorption feature.
Fig. 6 shows how the absorption edge of each sample varies upon the application of a reverse bias voltage. In each case the photocurrent spectrum clearly indicates increased absorption at longer wavelengths resulting from a broadening of the absorption edge. The applied bias was limited in these experiments to 1.5 V due to the reverse leakage current.
As a consequence of the excitons being poorly resolved, even in the control sample at zero bias, it is not clear whether or not there is any appreciable demonstration of the QCSE, however the broadening of the absorption edge shows there is a substantial FK effect.
The experiment was repeated with a different wafer (MR 378, with an identical structure to MR 193 described above) which had improved reverse-bias diode characteristics. Fig. 7 shows photocurrent spectra of the as-grown material with different reverse bias voltages applied. There is a clear excitonic feature visible at
Fig. 5 Photocurrent spectra of samples intermixed by varying amounts
- as-grown
- blue shifted by 10 nm
- blue shifted by 63 nm
- blue shifted by 78 nm
wavelength (nm)
Fig. 6 Photocurrent spectra of samples under reverse bias, which have undergone intermixing of (a) 0 nm (control), (b) 10 nm, (c) 63 nm and (d) 78 nm.
Fig. 7 Photocurrent spectra of as-grown material (MR378) under different reverse bias conditions.
Fig. 8 Photocurrent spectra of disordered material (MR378) under different reverse bias conditions
Depending on irradiation conditions, different amounts of shift were measured. The...
1550 nm under zero bias conditions. As a voltage is applied and an electric field created, the feature is gradually shifted to longer wavelengths and washed out. This is clear evidence of the QCSE although also present is a broadening of the band-edge due to the Franz-Keldysh (FK) effect\textsuperscript{10}. Again, the spectra have been normalised at $\sim 1.38 \mu m$.
There is obviously some optimum shift in the PL peak wavelength (and absorption edge) which will yield the best electroabsorption characteristics at the original lasing wavelength of the material. For example, if the shift is too small, the losses will be too high when the modulator is in the OFF regime. However, if the shift is too large and the band-edge is far removed from the operating wavelength, then the electroabsorption properties will be minimal.
Fig. 8 shows the photocurrent spectra of material which has been disordered by 80 nm with the original lasing wavelength (1550 nm) of the material indicated. As there are no excitonic features visible in the disordered material, it is difficult to determine whether there is any amount of QCSE present. The shape of the spectra seems to indicate that there is more change in the absorption due to broadening from the Franz-Keldysh (FK) effect rather than the band-edge shifting as a result of the QCSE.
Judging by the substantial change in absorption under applied electric field at 1550 nm, it would seem that this 80 nm shift is close to optimum to yield material which will give the best electroabsorption modulation performance (e.g. low propagation losses and high ON/OFF extinction ratios.)
To determine actual modulator performance, however, real devices were fabricated. This work was carried out by Giuseppe Lullo at Glasgow and also at BNR Europe (Harlow) and is summarised in the following section.
### 8.7 Electroabsorption Modulators
The material used to fabricate the electroabsorption modulators was identical to that used to fabricate the bandgap tuned lasers (MR 378) with the excitonic peak of the as-grown material, measured by photoluminescence at room temperature, occurring at approximately 1580 nm.
Room temperature photoluminescence and photocurrent measurements were carried out after disordering to determine the extent of bandgap shift in the samples. Depending on irradiation conditions, different amounts of shift were measured. The
maximum shift used for this group of devices was about 120 nm, although larger shifts can be realised in this structure.
The device structure of the modulators was identical to that of the ridge waveguide lasers and subsequently, the fabrication process was also identical (see section (7.2)). The only difference was that all devices were cleaved to a length of 500 μm.
8.8 Measurement Set-up
A semiconductor laser, tuneable in the wavelength range from 1480 nm to 1580 nm, was used to assess the device performance. Light was end-fire coupled into the sample through a tapered microlensed single-mode fibre. A fibre polarisation rotator ensured that only the TE-mode was excited in the waveguides. The output from the sample was collected by another fibre and detected by a germanium photodiode. Fig. 9 shows the experimental set-up. Transmission characteristics were investigated as a function of wavelength. Assuming a coupling loss of 6 dB at the sample facets, the estimated propagation loss of the modulators at the optimum operating wavelength with no applied bias was about 2 dB per 100 μm.
8.9 Results
Fig. 10 shows the modulation depth versus wavelength for three different degrees of disordering, corresponding to a shift in the bandgap edge, with respect to the as-grown material, of 80 nm, 95 nm and 120 nm. Measurements have been carried out with a voltage sweep between +0.5 V and -1 V. A decrease in the modulation depth is clearly noticeable in samples which have increased disordering. Such behaviour is in good agreement with theoretical expectation, as disordering causes a reduction in quantum confinement due to the smoothing of the potential barrier shape. This effect is worthy of further investigation because the use of shallow wells is suggested as a solution for increasing the saturation intensity in electroabsorption modulators\textsuperscript{11}. Moreover, shallow wells would prevent hole pile-up in the active region, allowing a higher cut-off frequency at low bias voltages and an improvement in quantum efficiency.
The normalised transmitted power is plotted in Fig. 11 (for samples which have been disordered by 80 nm and 120 nm) which indicates that the transmitted power is strongly wavelength dependent for both samples. This is to be expected as these devices are working at wavelengths very close to the band-edge.
Fig. 9 Quantum Confined Stark Effect
Fig. 10 Modulation depth as a function of wavelength for three different degrees of intermixing
Fig. 11 Normalised transmitted power for sample (a) disordered by 120 nm and sample (b) disordered by 80 nm
Fig. 12 Modulation depth as a function of reverse bias voltage at optimum operating wavelength
At the optimum modulation wavelength of 1522 nm for samples whose bandgap had been shifted as far as 120 nm, an ON/OFF ratio of over 20 dB (Fig. 12) was obtained when the bias voltage was varied between +0.5 V and -2.5 V. This is further evidence that the PAID process does not produce any dramatic degradation in the optical properties of the MQW structure. Samples disordered to a lesser degree (80 nm) gave higher ON/OFF ratios of at least 27 dB at 1555 nm, limited by the measuring system. Unfortunately it was impossible to compare these results to modulators fabricated from as-grown material as the operating wavelength would be around 1630 nm.
A forward bias of about +0.5 V was found to increase the output power from the modulators, typically by 5 dB. Because this voltage is well below the diode turn-on voltage, only a very small current actually flows through the device. This means that no amplifying effect can account for such an increase in the output power. Most likely, the small forward bias neutralises the built-in diffusion potential between the doped layers which form the pin structure.
8.10 Conclusions
The evidence that these devices work well after disordering demonstrates that PAID appears to be a useful technique for fabricating electroabsorption modulators. This chapter has also demonstrated that photocurrent spectroscopy is a very useful technique for analysing the electroabsorption properties of both as-grown and intermixed multiple quantum well material.
---
1 T.H. Wood, *J. Lightwave Technol.*, LT-6, pp. 743-757, 1988
2 H. Iwamaru, T. Saku, H. Okamoto, Jpn. J. Appl. Phys., 24, p 104, 1985
3 D.A.B. Miller, J.S. Wiener, D.S. Chemla, IEEE J. Quantum Electron., 22, p 1816, 1986
4 D.S. Chemla, D.A.B. Miller, J. Opt. Soc. America B, 2, p 1155, 1985
5 P.J. Stevens, M. Whitehead, G. Parry, K. Woodbridge, IEEE J. Quantum Electron., 24, p 2007, 1988
6 D.S. Chemla, D.A.B. Miller, P.W. Smith, A.C. Gossard, W. Wiegman, IEEE J. Quantum Electron., 20, p 265, 1984
7 J.D. Dow, D. Renfield, Phys. Rev. Lett., 1, p 3358, 1970
8 D.S. Chemla, D.A.B. Miller, J. Opt. Soc. America B, 2, p 1155, 1985
9 F.Y. Juang, J. Singh, P.K. Bhattacharya, Appl. Phys. Lett., 48, p 1246, 1986
10 L.V. Keldysh, Sov. Phys. Jept., 34(9), p788-790, 1958
F. Devaux, E. Bigan, A. Ougazzaden, B. Pierre, F. Huet, M. Carre, and A. Carenco, IEEE Photonics Technol. Lett., 4, pp 720-722, 1992
Chapter 9 Extended Cavity Broad Area Oxide Stripe Lasers
9.1 Introduction
An intermixing technique which allows discreet bandgap tuned devices to be fabricated could be useful for many applications. However, the real potential of intermixing processes lies in their ability to produce integrated optoelectronic circuits. One of the simplest forms of such a circuit is an extended cavity laser which contains a bandgap widened passive waveguide section.
A device such as this also has practical applications. For example, the use of external cavities to narrow the linewidth of semiconductor lasers is commonplace but they are bulky and require careful alignment with good stability. An internal cavity promises to be appreciably more stable and requires a cavity approximately four times shorter than an equivalent air cavity.
Fabricating a laser with a built in waveguide section can be accomplished by using some form of intermixing process to create transparent waveguides at the lasing wavelength over selected areas of the wafer. The PAID process is particularly suited to this form of selective bandgap shifting as areas which are not required to be disordered can be effectively masked during the process. The extended cavity laser also allows loss measurements to be carried out on disordered waveguides, which can be compared with measurements obtained on passive ridge waveguide structures (as in Chapter 4).
9.2 Fabrication
The material used to fabricate the Extended Cavity Lasers (ECLs) was identical to that used in Chapter 8 except that the quantum wells were only 55 Å wide leading to a photoluminescence peak of a 1480 nm. Fig. 1 shows a schematic diagram of the ECLs. In the passive waveguide sections, the highly p-doped InGaAs contact layer has been etched off to prevent current spreading. The fabrication process is listed below:
1. Clean sample in ultrasonic bath: 3 mins. methanol,
3 mins. acetone,
rinse in RO water
2. Etch off InP cap layer with HCl : H₃PO₄ (in ratio 1:3) for 20 secs.
Fig. 1 Schematic Extended Cavity Laser
Silicon Dioxide Passivation Layer
InGaAs contact layer
Active layer
p metal
Contact window
n-metal
3. Plasma-Enhanced Chemical-Vapour-Deposition (PECVD) of 500 nm SiO$_2$
Power = 10 watts
Gas flow: SiH$_4$ = 9 sccm, N$_2$O = 710 sccm, N$_2$ = 171 sccm
Temperature = 300°C
Pressure = 1 torr
4. Disorder samples as described in Chapter 3
5. Carry out spatial photoluminescence of sample
6. Remove 500 nm SiO$_2$ cap layer with buffered HF for 5 mins.
7. Spin on primer: dihexamethylsylane
8. Spin on resist: S1400-31 @ 6000 rpm for 30 secs
9. Post bake for 30 mins. @ 90°C
10. Expose with pattern to define contact regions
11. Develop pattern for 60 secs.
12. Etch InGaAs contact layer
H$_2$SO$_4$:H$_2$O$_2$:H$_2$O (3:1:1) @ 20°C for 30 secs
13. Remove resist with acetone
14. Plasma-Enhanced Chemical-Vapour-Deposition (PECVD) of 200 nm SiO$_2$
Power = 10 watts
Gas flow: SiH$_4$ = 9 sccm, N$_2$O = 710 sccm, N$_2$ = 171 sccm
Temperature = 300°C
Pressure = 1 torr
15. Spin on primer: dihexamethylsylane
16. Spin on resist: S1400-31 @ 6000 rpm for 30 secs
17. Post bake for 30 mins. @ 90°C
18. Expose with pattern of 75 µm contact windows (on top of InGaAs regions)
19. Develop pattern for 60 secs
20. Wet etch SiO$_2$ with buffered HF for 12 seconds
21. Remove resist with acetone
22. Mount sample in holder for p-contact evaporation
70 nm Titanium
150 nm Gold
23. Mount sample on small glass slide with resist for thinning
24. Thin sample to 200 µm using 9 µm alumina grit
25. Thin sample to 150 µm using 3 µm alumina grit
26. Wet-etch with HCl: H$_3$PO$_4$ (in ratio 1:3) for 10 mins. to remove any damage
27. Remove from glass slide with acetone
28. Mount sample on glass slide with resist for n-contact evaporation
14 nm Gold
14 nm Germanium
14 nm Gold
11 nm Nickel
150 nm Gold
29. Demount from glass slide with acetone
30. Anneal contacts in Rapid Thermal Annealer at 360°C for 90 secs.
31. Scribe and cleave samples with active region lengths of 600 μm and a passive region length of 600 μm
The experimental set-up used to intermix the material is shown in Fig. 2. During the disordering process, half of the Gaussian profiled laser beam was shielded using a metal mask suspended approximately 200 μm above the material surface. This mask effectively stops any heat being generated within certain regions of the material, thereby generating an interface between disordered and undisordered regions. The beam size was approximately 2 mm (FWHM) and the material was disordered by moving the laser along the mask edge in steps of approximately 1.5 mm.
**Figure 2** Experimental set-up used to intermix the ECL samples
The position of the metal mask does not determine the precise position of the interface because of the diffusion of heat away from the regions of high temperature i.e. the heat generated by the laser tends to diffuse under the mask. Chapter 10 deals
with analysis of this problem in more detail. In order to examine the spatial profile of the bandgap and determine where the active region and passive region of the ECL should be, photoluminescence measurements were carried out perpendicular to the mask edge in steps of 50 μm. Fig. 3 shows the experimental set-up used to carry out these measurements.
In these original devices, the only region of interest was the region where no intermixing had occurred. This implied that the transition regime between the intermixed and non-intermixed regions was strongly absorbing at the laser wavelength. For the device to lase, this absorbing transition region must be bleached and, bleaching is achieved by increasing the pump power until output power at threshold.
With regard to the devices fabricated in this chapter, it was decided to pump only half of the emission region. This was because the other half of the emission Figure 4 shows the spatial PL plot of the sample, indicating shifts of up to 140 nm in the disordered section, with a transition region width of around 200 μm. Also indicated on the graph is the position from which material for the fabricated devices was extracted. The interface between the active region and the passive region of the devices was chosen to be the mid-point between the zero intermixing and maximum intermixing regions. There were a number of reasons for this. Firstly, earlier devices fabricated by G. Lullo had a snap-on problem, as shown in Fig. 5. At threshold, these devices show a near vertical jump (snap-on) in the L-I characteristics but then a more
typical linear regime, with no kinks, takes over at higher currents. This sort of L-I relationship is typical of a Q-switched laser, which contains a saturable absorber in the cavity. This effect can also occur in broad area lasers with bad metal contacts, which cause inhomogeneous current injection, leading to gain switching\(^2\).
**Fig. 4 Spatial PL plot of extended cavity laser sample**
In these original devices, the only region definitely pumped was the region where no intermixing had occurred. This implied that the transition region between the intermixed and non-intermixed regions was strongly absorbing at the lasing wavelength. For the device to lase, this absorbing transition region must be bleached and, bleaching, being a non-linear effect, can explain the sudden burst in output power at threshold.
With regard to the devices fabricated in this chapter, it was decided to pump only half of the transition region. This was because the other half of the transition region would have much lower absorption losses, due to the wider bandgap, and similarly would contribute very little gain at the lasing wavelength.
### 9.3 Results
The sample was cleaved (as shown in Fig. 6) in such a way as to produce broad area OSLs next to the extended cavity devices, making direct device performance comparison possible.
Fig. 6 Schematic diagram of disordered sample
9.3.1 L-I Measurements
The oxide stripe lasers were tested under pulsed operation (400 ns @ 1 kHz rep. rate) in a similar manner to that described in Chapter 5. Fig. 7 shows the L-I curves of a bar of 600 μm lasers situated immediately beside the (active region of the) Extended Cavity lasers. The threshold current of these lasers was around 500 mA which corresponds to a threshold current density of 1.1 kAcm⁻².
Fig. 8 shows the L-I curves of the bar of EC lasers with 600 μm passive regions and 600 μm active regions. The best threshold current was around 1.2 A which is a factor of 2.4 greater than that of the 600 μm long oxide stripe lasers. The increase in threshold current is due to the absorption in the passive waveguide region, and the divergence of the light from the active region due to the lack of optical confinement in the waveguide region. It seems likely that the main loss is due to the lack of optical confinement in the transverse direction of the passive section, leading to poor coupling back into the active section.
Fig. 7 Light-current curves for a bar of 600 μm OSLs
Fig. 8 Light-current curves for a bar of 600μm/600μm ECLs
It is not possible to determine the propagation losses from the change in threshold current as there is no transverse confinement in the passive section. The losses can, however, be determined by measuring the sub-threshold luminescence from both facets of the device and using the equation:
\[
\alpha(\lambda_o) = -\frac{1}{L_{pass}} \ln \left( \frac{J_{pass}(\lambda_o)}{J_{act}(\lambda_o)} \right)
\]
(9.1)
where \( \alpha(\lambda_o) \) is the wavelength dependent absorption (cm\(^{-1}\)),
\( J_{pass}(\lambda_o) \) is the luminescence from the passive waveguide (mW), and
\( J_{act}(\lambda_o) \) is the luminescence from the active laser side (mW).
The losses were calculated in this manner for all the lasers in the bar and the average was found to be 16 cm\(^{-1}\). This value is the average loss of the entire passive waveguide section over the lasing wavelength range. It is expected that the losses are higher close to the interface (where the bandgap is narrower) and lower in regions away from the active section.
The propagation loss of this particular laser wafer was found to be 28 cm\(^{-1}\) calculated by fabricating OSLs in the same way as described in Chapter 5. It is therefore evident that the propagation losses have been reduced by the intermixing process.
### 9.3.2 Lasing Spectra
The lasing spectrum of a 600 µm OSL is shown in Fig. 9, taken at a drive current of \( I_{th} + 500 \) mA, indicating a peak lasing wavelength of around 1500 nm. The lasing spectrum of an ECL is shown in Fig. 10, which indicates that the peak lasing wavelength has blue shifted by around 25 nm to 1475 nm. The shift in lasing wavelength to higher energy is due to the large increase in current density in the active region of the device. This shift in lasing wavelength will cause the propagation losses to increase slightly, since the energy of the photons is closer to the bandgap of the passive waveguide section. Thus, the loss of 16 cm\(^{-1}\) stated in the previous section is influenced by the blue shift in lasing wavelength.
Fig. 9 Lasing spectrum for a 600 μm OSL
Fig. 10 Lasing spectrum for a 600μm/600μm ECL
9.4 Conclusions
The losses measured in the passive sections of Extended Cavity Lasers fabricated in this chapter are $16 \text{ cm}^{-1}$ (70 dBcm$^{-1}$) compared to $28 \text{ cm}^{-1}$ in the active regions. Even allowing for the extra losses incurred due to free-carrier absorption from the doping in the upper and lower cladding layers, and the coupling losses between the active and passive sections, the losses are much higher than those measured in the passive single-mode ridge waveguides fabricated in Chapter 4. It has already been shown in the previous chapters that intermixed material retains good electrical and optical properties, which suggests that perhaps the transition region between the intermixed and unintermixed material may have introduced some problems.
This assumption was made because of the slight undulations visible on the material surface. These undulations arose from the large temperature gradients present across the sample during the intermixing process. The temperature of the sample during the process varies from around 300°C (under the mask) to around 800°C in the areas exposed to the laser. This variation in temperature occurs in only about 150 μm, meaning that the strain placed on the material due to the varying amounts of thermal expansion probably causes it to warp in some way.
---
1 J.H. Marsh, S.R. Andrew, S.G. Ayling, J. Beauvais, S.A. Bradshaw, R.M. De La Rue, R.W. Glew, Mat. Res. Soc. Symp. Proc. 240, pp 679-690, 1992
2 C. Harder, K.Y. Lau and A. Yariv, IEEE J. Quantum El., vol. QE-18, pp. 1351-1361, 1982.
3 S.A. Gurevich, E.L. Portnoi, and M.E. Raikh, Sov. Phys. Semicond., 12(6), pp688-694, 1978
Chapter 10 Thermal modelling of the PAID process
10.1 Introduction
In this chapter, results will be presented on thermal modelling of PAID, giving an insight into the ultimate resolution capabilities of the process and the different factors such as laser spot size and heat sinking conditions which affect it.
Virtually all of the calculations carried out in this chapter are numerical in nature (i.e. they have been solved using a computer) because the model and therefore the calculations are complicated and the availability of a commercial software package allowed the problems to be solved with relative ease. It should be noted that the problems were solved with "relative ease" only after a rather complicated model and program had been created.
10.2 Equations of Heat Flow
In order to understand the model, it is useful to describe the basic equations of heat-flow and conduction.
10.2.1 1-D case
The simplest case of heat transfer by conduction is given by the Fourier rate equation:
\[ Q_x = -kA \frac{\partial T}{\partial x} \]
(10.1)
where \( Q_x \) is the rate of heat flow in the x direction (W),
\( k \) is the thermal conductivity of the material (Wm\(^{-1}\)K\(^{-1}\))
\( A \) is the area of heat flow (m\(^2\)), and
\( T \) is the temperature (K).
The negative sign arises from the definition that positive heat flow is in the direction of negative temperature gradient. Eq. (10.1) is analogous to Ohms law which can be described by:
\[ I = -\sigma A \frac{dV}{dx} \]
(10.2)
where \( I \) is the current (A),
\( \sigma \) is the electrical conductivity (Sm\(^{-1}\)),
$A$ is the area (m$^2$), and
$\frac{dV}{dx}$ is the electric field (Vm$^{-1}$).
### 10.2.2 Differential Equation of Conduction in a Cartesian Co-ordinate System
Consider an infinitesimal element of material of volume $dxdydz$ as shown in Fig. 1. The heat flowing into and out of the element can be resolved into x, y, and z components such that the rate of heat flowing into the element in the x direction is given by the Fourier Eq. as:
$$dQ_x = -kdydz \frac{\partial T}{\partial x}$$ \hspace{1cm} (10.3)
since the area of heat flow is $dydz$. The rate of heat flowing out of the element in the x direction is given as:
\[ dQ_{(x+dx)} = -kdydz \frac{\partial}{\partial x} \left( T + \frac{\partial T}{\partial x} dx \right) \]
(10.4)
\[ = -kdydz \frac{\partial T}{\partial x} - kdx dy dz \frac{\partial^2 T}{\partial x^2} \]
(10.5)
Therefore, the net rate of heat flowing into the element in the \( x \) direction is:
\[ dQ_x - dQ_{(x+dx)} = kdx dy dz \frac{\partial^2 T}{\partial x^2} \]
(10.6)
And similarly for the \( y \) and \( z \) directions:
\[ dQ_y - dQ_{(y+dy)} = kdx dy dz \frac{\partial^2 T}{\partial y^2} \]
(10.7)
\[ dQ_z - dQ_{(z+dz)} = kdx dy dz \frac{\partial^2 T}{\partial z^2} \]
(10.8)
The total rate of heat flow into the element is the sum of the three components and is given as:
\[ kdx dy dz \left( \frac{\partial^2 T}{\partial x^2} + \frac{\partial^2 T}{\partial y^2} + \frac{\partial^2 T}{\partial z^2} \right) \]
(10.9)
Heat may also be generated or stored within the element in addition to flowing into and out of it. If \( q' \) is the heat generated per unit volume, then the heat generated within the element is given by
\[ q' dx dy dz \]
(10.10)
The rate at which heat is stored within the element is given by:
\[ dx dy dz \rho c_P \frac{\partial T}{\partial t} \]
(10.11)
where \( \rho \) is the density of the material (Kgm\(^{-3}\)), \( c_P \) is the specific heat capacity at constant pressure (JKg\(^{-1}\)K\(^{-1}\)), and \( \frac{\partial T}{\partial t} \) is the rate of change of temperature with time.
We can bring these 3 terms together, if we state that the rate at which heat is being stored in an element is the sum of the heat generated within the element and the net rate of heat flow into the element. This gives:
\[
\rho c_P \frac{\partial T}{\partial t} = k \left( \frac{\partial^2 T}{\partial x^2} + \frac{\partial^2 T}{\partial y^2} + \frac{\partial^2 T}{\partial z^2} \right) + q' \tag{10.12}
\]
\[
\Rightarrow \frac{\partial T}{\partial t} = \alpha \left( \frac{\partial^2 T}{\partial x^2} + \frac{\partial^2 T}{\partial y^2} + \frac{\partial^2 T}{\partial z^2} \right) + \frac{q'}{\rho c_P} \tag{10.13}
\]
where \( \alpha = \frac{k}{\rho c_P} \) and is known as the thermal diffusivity of the material. Eq. (10.13) is the general differential equation of conduction in a Cartesian co-ordinate system and can be adapted to suit any application.
For example, the steady-state solution is when \( \frac{\partial T}{\partial t} = 0 \) i.e. there is no variation in temperature with time. This simplifies Eq. (10.13) to:
\[
0 = \alpha \left( \frac{\partial^2 T}{\partial x^2} + \frac{\partial^2 T}{\partial y^2} + \frac{\partial^2 T}{\partial z^2} \right) + \frac{q'}{\rho c_P}
\]
\[
\Rightarrow \frac{\partial^2 T}{\partial x^2} + \frac{\partial^2 T}{\partial y^2} + \frac{\partial^2 T}{\partial z^2} = -\frac{q'}{k} \tag{10.14}
\]
### 10.2.3 Heat transfer by Convection
Heat will also be transferred from the edges of the solid object of interest due to thermal convection. Thermal convection can be either *free* or *forced* depending on whether there is any external pressure imposed on the fluid surrounding the solid body in which the body is immersed. In the present case, the motion of the fluid (which is air) is due solely to the action of buoyancy forces due to changes in density as the result of heating and therefore is said to be free convection.
The rate of heat transfer between the boundary surface and the fluid is given by:
\[
q = hA(T_s - T_f) \tag{10.15}
\]
where \( q \) is the rate of heat transfer (W),
\( h \) is the heat transfer coefficient in units of Wm\(^{-2}\)K\(^{-1}\),
$A$ is the surface area, m$^2$ and
$T_s - T_f$ is the temperature difference between the surface and the fluid (K).
While this is a simple equation, $h$ is a very complicated function due to the fluid flow and the geometrical configuration of the problem. Eq. (10.15) is in fact much simpler to solve numerically than analytically.
### 10.2.4 Heat transfer by Radiation
The effect of losing energy due to radiation has been discussed in section (3.5.2) when dealing with photons emitted from the material. It is worth pointing out that semiconductors are non-black bodies and therefore emit more strongly at specific optical wavelengths due to their band structure as described earlier.
### 10.3 Model of the PAID process
The simplest relevant way to model the PAID process is in 2 dimensions with the schematic diagram of the model used shown in Fig. 2. The laser beam is assumed to have a Gaussian profile (in 1-dimension) which can be described by the equation:
$$P = A \exp\left(-\frac{(x-a)^2}{w^2}\right)$$
(10.16)
where $P$ is the power density (Wmm$^{-2}$),
$A$ is the peak power at the centre of the beam,
$a$ is the position of the beam centre, and
$w$ is a measure of the width of the beam.
It is important to note here that in order to give the model physical dimensions, then it must have depth (in the z-direction). Therefore, all the power levels quoted in this chapter assume the laser beam is 5 mm deep in the z-direction which is the reason that some of the laser powers are quite large.
The conduction equation for this problem can be simplified somewhat to:
\[
\frac{\partial^2 T}{\partial x^2} + \frac{\partial^2 T}{\partial y^2} + \frac{\partial^2 T}{\partial z^2} = -\frac{q'}{k}
\]
(10.17)
since we are interested in the steady state solution. The boundary condition for Eq. (10.17), assuming negligible thermal contact resistance, is given by:
\[
k_1 \frac{\partial T_1}{\partial y} = k_2 \frac{\partial T_2}{\partial y}
\]
(10.18)
where
- \(k_1\) is the thermal conductivity of the heat sink,
- \(k_2\) is the thermal conductivity of the material, and
- \(\frac{\partial T_n}{\partial y}\) is the temperature gradient as a function of \(y\).
In this model, it is assumed that $\frac{\partial T_1}{\partial y} = 0$ (i.e. the temperature within the heat sink is constant), and therefore $\left. \frac{\partial T_2}{\partial y} \right|_{y=0} = 0$.
The convection equation must also be solved and was given in Eq. (10.15) as:
$$q = hA(T_s - T_f) \quad (10.19)$$
The boundary conditions for Eq. (10.19) are given as:
$$k \left( \frac{\partial T}{\partial n} \right)_s = h(T_s - T_f) \quad (10.20)$$
where $\left( \frac{\partial T}{\partial n} \right)_s$ is the temperature gradient at the surface.
Eq.s (10.17) and (10.19) must be now be solved simultaneously with the correct conditions placed on all boundaries. The heat generated, $q'$, must also be defined as a function of material position such that $q' = q'(x,y)$. It is obvious that this is not a simple problem to solve especially as the thermal conductivity, $k$, is strongly dependent on temperature. Several papers have attempted to solve these equations analytically and to provide general solutions. While these references have provided useful information, the equations presented tend to be too general to be of use, with the main problem being that they deal with the case of focused laser beams on a much smaller scale than those which are used here. This means that no account is taken of the equilibrium temperature of the material (controlled by the heat sink) and it is for these reasons that it was decided to use a numerical technique to solve the problem.
### 10.3.1 ABAQUS
The software used to run simulations of the model was a finite-element package called ABAQUS which has been tailored to solve complex non-linear problems. It is intended for a range of applied mechanics problems and can solve such things as stresses, displacements, mass diffusion, and a range of heat transfer problems (both transient and steady-state). In the case of heat transfer analysis, a Petrov-Galerkin finite-element algorithm is used to solve the problem. References 7
and 8 give a detailed description of the formulas used within these algorithms and how they are applied to the models.
Appendix A is intended as a brief guide to ABAQUS and how problems can be solved using it. In particular it deals with how to generate a suitable mesh for the model, and how to define the correct initial and boundary conditions for the system. Also contained in App. A is some simple maths which is required to correctly calibrate the input power levels to the model.
10.3.2 Simplifications to the model
The model which has been described above makes several assumptions which may introduce very small errors. Firstly, it is assumed that the material is made purely of indium phosphide, which is not the case. There is an approximately 3 μm thick epitaxial structure containing layers of ternary and quaternary alloys of InGaAs and InGaAsP. These layers have different heat conduction properties to indium phosphide but are sufficiently thin as to be ignored.
Another assumption is that the base of the sample is at a fixed temperature i.e. that there is perfect heat-sinking between the sample and the hotplate. This will not always be the case but should not introduce large errors, as results will show.
The power levels quoted in the results are for absorbed power, and not necessarily the incident power from the laser. The ratio of incident power to absorbed power has been discussed in section (3.5.2) and allowances can be made for it.
No account is taken of the oxidation of the side walls of the model at the high temperatures used. Although no conduction takes place at these regions, the rate of heat lost by convection may be changed, although this is assumed to be small enough to ignore.
10.3.3 Results
The first set of simulations carried out was variation of the input power of the laser beam and monitoring of the subsequent temperature profile of the sample surface. The Full Width at Half Maximum (FWHM) was kept constant at 1.66 mm (w = 1 mm in Eq. (10.16)). Fig. 3 shows the temperature profiles on the sample surface with varying laser power. Fig. 4 shows the variation in peak temperature (which always occurs at the centre of the laser beam where the power density is maximum), and the FWHM of the temperature variation as a function of laser power. It is obvious that there is a non-linear relationship between the incident laser power density and the peak temperature on the sample surface, which is due to the strong temperature dependence of the thermal conductivity. Because the centre of the
sample tends to heat up to a greater extent, the temperature profile becomes non-Gaussian, which has the effect of reducing the FWHM of the temperature profile at higher input power levels.
Fig. 3 Temperature rise induced by a Gaussian profiled laser beam
The next act of surface modification is to reduce the size of the laser spot on the sample. This is done by increasing the power of the laser, which results in a higher temperature at the same position (Fig. 4). The peak temperature increases with increasing power, but the temperature profile remains unchanged. This indicates that the temperature profile is independent of the power level.
Fig. 4 Maximum temperature at different powers of the laser beam
As the laser beam is reduced in size, the peak temperature profile becomes more pronounced. This effect can be explained by considering the heat transfer process. As the laser spot size decreases, the thermal conductivity of the material increases, leading to a higher temperature gradient and thus a more pronounced temperature profile.
Fig. 4 Maximum temperature and FWHM of the temperature profile as a function of laser power
The next set of simulations carried out was to vary the spot size of the laser beam and to keep the total power level constant. These simulations used the same model as before, with the only alterations being to the user defined subroutine (see App. A). Fig. 5 shows the temperature variation on the sample surface for a constant beam power of 70 W with beam sizes of FWHM ranging from 0.1 mm to 2 mm. The peak temperature as a function of laser spot size is shown in Fig. 6, which indicates that, as the spot size is reduced and the power density increases, then the peak temperature increases.
Fig. 7 shows the ratio of the FWHM of the temperature profile to the FWHM of the laser beam as a function of laser beam width and indicates that, as the laser spot is reduced in size, the lateral temperature profile does not reduce by the same factor. This effect is to be expected because, as the laser spot size is reduced (and the power densities increase), the induced temperature gradients in the model become larger. Subsequently, according to Eq. (10.17), the diffusion of heat (from areas of high temperature to areas of low temperatures) will increase causing the temperature profile to broaden.
Fig. 5 Temperature profile produced by varying the laser beam width at constant power
Fig. 6 Maximum temperature as a function of laser beam width with constant power
Fig. 7 Ratio of the FWHM of the temperature profile to the FWHM of the laser profile, as a function of laser beam width with constant power
10.4 Resolution of the PAID process
In order to determine the resolution of the PAID process, and how the different process parameters affect it, the temperature dependence of the intermixing rate must be quantified.
The easiest way to do this accurately is to anneal test multiple quantum well material in a Rapid Thermal Processor (RTP) and measure the photoluminescence (PL) shifts for different temperatures. Since the temperature and anneal time can be measured accurately and the material parameters are known, the diffusion length (and diffusion coefficient) can be calculated.
Fig. 8 shows results of an anneal test of MQW waveguide material carried out with a temperature range of 600°C to 800°C for a fixed time of 90 seconds. For a temperature of 600°C there is no measurable shift in the PL wavelength, whereas for 800°C the PL wavelength has shifted by 100 nm. The points follow quite a smooth curve, which is indicated for reference only.
A program written by M.W. Street (using the procedure described in Chapter 3) was used to fit diffusion coefficients to different PL wavelength shifts. The program models the interdiffusion of atoms between the wells and the barriers using an error function profile\(^9\) and then uses a Schrödinger solver to calculate the energy levels in the disordered wells. For a specified anneal time, the program calculates the PL wavelength of the disordered wells for a range of diffusion coefficients. The diffusion coefficient can be easily inferred from comparison of the PL spectra of the as-grown and intermixed material.
Fig. 9 shows the diffusion coefficient, D, plotted as a function of PL shift, \(\Delta \lambda\), for a fixed anneal time of 90 seconds. A 4th order polynomial curve was then fitted to this data, giving the relationship between D and \(\Delta \lambda\) as:
\[
D = 2.04E-28(\Delta \lambda)^4 - 2.43E-26(\Delta \lambda)^3 + 2.15E-24(\Delta \lambda)^2 \\
+ 2.97E-22(\Delta \lambda) + 2.60E-23
\]
(10.22)
Using Eq. (10.22), the diffusion coefficient was calculated for each temperature used in the anneal test and the values are given in Table 1. Since D and T are related by the Eq.10:
\[
D = D_0 \exp \left( -\frac{E_A}{kT} \right)
\]
(10.23)
\(D_0\) and \(E_A\) can be found by plotting \(\ln(D)\) as a function of \(1/kT\). This graph is shown in Fig. 10 and is known as an Arrhenius plot. The intercept of the line with the y axis
Fig. 8 PL shift as a function of anneal temperature
Fig. 9 Diffusion coefficient as a function of PL shift
Fig. 10 Arrhenius plot of diffusion coefficient
The results show that the diffusion coefficient is independent of the beam energy and the beam current density. The diffusion coefficient is also independent of the temperature, which is consistent with the results obtained in section 4.2.1 and Fig. 7.
The diffusion coefficient for a larger spot width (0.5 mm) was measured at 800°C. The beam profile was measured using a laser beam profiler and the beam diameter was found to be 0.5 mm. The peak value of 800°C was reached at a dwell time of 30 seconds. The results are shown in Fig. 11 for a 30 second exposure time.
Fig. 11 shows the beam profile and the temperature distribution. It is obvious that the peak temperature is not achieved everywhere due to the thermal inertia of the laser. This difference in peak temperature is due to the laser beam diffusing away from the center of the incident beam profile. The laser beam profile has been uniform to the center of the incident beam profile.
is $D_0$, and is equal to 9.11E-11 m$^2$s$^{-1}$ while the gradient of the graph is $-E_A$ and is equal to 1.981 eV which is the activation energy.
Since all the constants are known in Eq. (10.23), it is possible to calculate the PL peak shift of the material for any time and temperature using the same program.
| Anneal Temperature (C) | Shift in PL wavelength (nm) | Diffusion Coefficient (m$^2$s$^{-1}$) |
|------------------------|-----------------------------|--------------------------------------|
| 600 | 0 | 2.60 E-23 |
| 625 | 2.3 | 7.21 E-22 |
| 650 | 4.4 | 1.37 E-21 |
| 675 | 7.8 | 2.46 E-21 |
| 700 | 18.8 | 6.24 E-21 |
| 725 | 23.8 | 8.06 E-21 |
| 750 | 45.8 | 1.67 E-20 |
| 775 | 66.6 | 2.62 E-20 |
| 800 | 99.6 | 4.70 E-20 |
Table 1 Diffusion Coefficient as a function of anneal temperature
### 10.4.1 Resolution for a laser spot with a FWHM = 1.66 mm
The model used to determine the resolution of the process or the "transition region" between disordered and undisordered material was similar to that described earlier in section (10.3) and Fig. 2, with the addition of a shadow mask which blocked exactly half of the Gaussian laser beam. This means that only half of the total beam power is absorbed within the material.
For this model, the boundary condition for the base of the sample is T = 200°C. The input power has been chosen so that the maximum temperature reached is 800°C, which requires a total power of 375.9 W (corresponding to a peak power density of 42.4 Wmm$^{-2}$) for a laser beam with a FWHM = 1.66 mm. The peak value of 800°C was chosen as it produced a PL shift of approximately 100 nm for a 90 second anneal time.
Fig. 11 shows the beam profile and the temperature rise induced by it. It is obvious that the peak temperature is at a different position from the peak power of the laser. This difference in position is due to the heat generated close to the mask diffusing away laterally underneath it, which means that the peak temperature occurs nearer to the centre of the incident power (i.e. where the laser beam is not blocked).
In the present case the peak temperature position is approximately 325 μm from the edge of the mask.
The temperature gradient under the mask is greater than the irradiated side which is to be expected due to the abrupt gradient of the incident power density.
Fig. 11 Laser power profile and induced temperature profile of sample surface
Fig. 12 shows the PL peak shift across the sample. Although there is only a small area which is disordered by the maximum amount (100 nm), it is possible to achieve a much broader area of disordering which can be accomplished by either scanning the laser across the sample in a direction normal to the edge of the mask or by stepping the beam position. Both methods should ensure that the disordered region is broadly uniform over a larger area than a single exposure can achieve.
For this reason, the transition region will be considered only for the area under the mask.
The simulation was repeated under different heat sinking conditions. With $T_{\text{sink}} = 350^\circ C$, the incident power required to produce a maximum temperature of 800°C was 233.5 W, while only 134 W was required when the base of the sample was
fixed at a temperature of 500°C. In all cases, the peak temperature of 800°C occurs at the same position of 325 μm away from the mask.
**Fig. 12** PL shift as a function of position across sample
The transition regions produced for the three different heat sinking conditions are shown in Fig. 13. The resolution was considered to be the lateral distance between 10% and 90% of maximum disordering (i.e. from a PL shift of 10 nm to a PL shift of 90 nm). The size of the transition region for the three heat sinking conditions is given in Table 2 and indicates that the heat sinking plays an important role in determining the resolution of the process. It is interesting to note that for the heat sinking conditions $T_{\text{sink}} = 200^\circ C$ and $T_{\text{sink}} = 350^\circ C$, there is essentially no intermixing at the edge of the mask (which can be regarded as being at a position of 325 μm on the graph). The reason that there is no intermixing, is that the temperature is 446°C and 556°C respectively for the two heat sinking conditions, i.e. below the temperature at which there is a measurable shift in the PL peak for a 90 second anneal.
Fig. 13 Transition region profile for laser beam of FWHM = 1.66 mm
A similar plot is shown in Fig. 13 for the heat sink conditions, with the laser beam focused on the sample. It is clear that the temperature distribution is much more localized than in the contours of Fig. 12.
Fig. 12 Resolution for a laser spot with a FWHM = 0.83 mm
The simulation was repeated but with some alterations to the model. A reduced beam width of 0.83 mm was used, which required a finer mesh to achieve accurate analysis. To calculate the power input correctly, the peak amplitude, the factor $A$ in Eq. (10.24), also had to be increased by a factor of 1.5.
In this simulation, the peak temperature was reached at a position of 1.5 mm from the edge of the mask, compared with 2.5 mm for a FWHM of 1.66 mm. This change in the peak temperature location is due to the fact that the beam width is narrower and thus the average power density is higher close to the mask. In a similar fashion to a beam width reduction, the temperature is less discontinuous at the mask interface for heat sink conditions.
Fig. 13 shows the transient temperature profile for diffused heat sinking conditions. The resolution for a laser beam of FWHM = 0.83 mm is, as expected, better than for the more localized heating caused by the smaller beam spot. For example, for a heat sink temperature of 200°C, the resolution has improved from 700 μm to 400 μm. Better localized heating is also the reason that the input power levels required to reach surface temperatures of 800°C are much lower.
Fig. 14 Temperature profile of the cross section of the sample with a heat sink temperature of 200°C and a beam size of FWHM = 1.66 mm
| Heat Sink Temperature (C) | Total Input Power (Watts) | Transition Region Width (\(\mu m\)) |
|--------------------------|---------------------------|-----------------------------------|
| 200 | 375.9 | 150 |
| 350 | 233.5 | 183 |
| 500 | 134 | 211 |
Table 2 Transition region width and total input power as a function of heat sink temperature for a beam with FWHM of 1.66 mm
A contour plot of temperature as a function of x-y position is shown in Fig. 14, for the heat sink condition of 200°C, which gives an indication of the rate of heat diffusion in the sample. It is worth stating that the direction of heat flow will always be normal to the contours of equal temperature (isotherms).
10.4.2 Resolution for a laser spot with a FWHM = 0.83 mm
The simulation was repeated but with some alterations to the model. A reduced beam width of 0.83 mm was used, which required a finer mesh to achieve accurate analysis. To calibrate the power levels correctly, the peak amplitude, the factor \(A\) in Eq. (10.21), also had to be increased by a factor of 2.
In this simulation, the peak temperature occurred at a position of 175 \(\mu m\) from the edge of the mask, compared with a distance of 325 \(\mu m\) for a FWHM of 1.66 mm. This change in the peak temperature position is due to the fact that the beam width is narrower and thus the average power density occurs much closer to the mask. In a similar fashion to a beam width of 1.66 mm, there is no intermixing at the mask interface for heat sink conditions of \(T_{sink} = 200^\circ C\) and 350°C.
Fig. 15 shows the transition region profiles for different heat sinking conditions. The resolution (as indicated in Table 3) with a laser beam of FWHM = 0.83 mm is, as expected, much better due to the more localised heating caused by the smaller beam spot. For example, for a heat sink temperature of 200°C, the resolution has improved from 150 \(\mu m\) to 91 \(\mu m\). This localised heating is also the reason that the input power levels required to reach a peak temperature of 800°C are much lower.
Fig. 15 Transition region profile for laser beam of FWHM = 0.83 mm
Fig. 16 Temperature profile of the cross section of the sample with a heat sink temperature of 200°C and a beam size of FWHM = 0.83 mm
Table 4 Transition regions width and peak temperature value function of heat sink temperature for a beam size of FWHM = 0.83 mm
| Heat Sink Temperature (°C) | Transition Region Width (μm) | Peak Temperature Value (°C) |
|---------------------------|-------------------------------|-----------------------------|
| 200 | 54 | 79 |
| 350 | 36 | 62 |
| 500 | 28 | 58 |
The simulation results show that the transition region width has decreased from 54 μm to 28 μm when the heat sink temperature increases from 200°C to 500°C. The peak temperature value has also decreased, from 79°C to 58°C.
Fig. 16 shows the temperature profile of the cross section of the sample with a heat sink temperature of 200°C and a beam size of FWHM = 0.83 mm. The temperature distribution is shown in the figure, with the temperature increasing from the center of the sample to the edge. The temperature profile is affected by the heat sink temperature and the beam size.
| Heat Sink Temperature (C) | Total Input Power (Watts) | Transition Region Width (μm) |
|--------------------------|---------------------------|-----------------------------|
| 200 | 243.5 | 91 |
| 350 | 151.3 | 109 |
| 500 | 86.8 | 123 |
Table 3 Transition region width and total input power as a function of heat sink temperature for a beam with FWHM of 0.83 mm
A contour plot of temperature as a function of x-y position is shown in Fig. 16, for the heat sink condition of 200°C, which gives an indication as to the rate of heat diffusion in the sample. This plot indicates that the region of heating in the sample induced by the laser is much smaller both in the x and y dimensions compared to the larger beam spot (of FWHM = 1.66 mm) used in the previous simulation.
10.4.3 Resolution for a laser spot with a FWHM = 0.415 mm
The simulation was repeated with a smaller laser beam spot (FWHM = 0.415 mm). The peak temperature in this case occurred at a distance of 90 μm from the edge of the mask compared to 325 μm and 175 μm for laser beams with a FWHM = 1.66 mm and 0.83 mm respectively. The transition region width has also decreased, as shown in Fig. 17, with a transition region width of 54.5 μm for a heat sink temperature of 200°C.
| Heat Sink Temperature (C) | Total Input Power (Watts) | Transition Region Width (μm) |
|--------------------------|---------------------------|-----------------------------|
| 200 | 168.9 | 54.5 |
| 350 | 105 | 63 |
| 500 | 60.2 | 76 |
Table 4 Transition region width and total input power as a function of heat sink temperature for a beam with FWHM of 0.415 mm
Fig. 17 Transition region profile for laser beam of FWHM = 0.415 mm
Fig. 18 Temperature profile of the cross section of the sample with a heat sink temperature of 200°C and a beam size of FWHM = 0.415 mm
A contour plot of temperature as a function of x-y position is shown in Fig. 18, for the heat sink condition of 200°C, which gives an indication as to the rate of heat diffusion in the sample. This plot indicates that the region of heating in the sample induced by the laser is again much smaller both in the x and y dimensions compared to the larger beam spots (with FWHM = 1.66 mm and 0.83 mm) used in the previous two simulations.
Fig. 19 Transition region width as a function of laser beam width and heat sink temp.
Fig. 19 shows the resolution as a function of laser beam width and heat sink temperature. As the laser width is reduced, the effect of the heat sink temperature becomes smaller. This reduction is simply due to the effective depth of the sample becoming larger as the lateral dimensions of the laser become smaller.
The total power required to achieve a peak temperature of 800°C is shown graphically in Fig. 20. It can be seen that, for a constant beam width, the power required becomes less as the heat sink temperature increases. The relationship is not linear however, because of the strong temperature dependence of the thermal conductivity. For example, with a heat sink temperature of 200°C (and a FWHM = 1.66 mm) it takes 375.9 W to raise the temperature by 600°C to 800°C (i.e. 0.6265 W°C⁻¹) whereas for a heat sink temperature of 500°C, a total power of 134 W is required to raise the temperature by 300°C to 800°C, i.e. only 0.447 W°C⁻¹.
There is also a non-linear relationship between the power required and the laser spot size. As the beam spot is reduced in size, the power density required to achieve a peak temperature of 800°C increases. This is due to the heat diffusing at a greater rate because of the larger thermal gradients induced by the laser. For example, for $T_{\text{sink}} = 200^\circ C$ a peak power density of 42.4 Wmm⁻² is required for a FWHM = 1.66 mm, whereas for a FWHM = 0.415 mm the peak power density is 76.2 Wmm⁻².
These simulations have demonstrated that the heat sinking conditions and laser beam width are both important factors in determining the ultimate resolution of the process. A transition width of 54.5 μm achieved for a beam width of FWHM = 0.415 mm and a heat sink temperature of 200°C compares favourably with other integration processes such as selective area epitaxy¹¹.
Fig. 20 Input power required to achieve peak temp. of 800°C as a function of laser beam width and heat sink temperature.
10.4.4 Resolution with a Ceramic Heat sink
The model was adapted to determine what effect introducing a layer of low conductivity material between the sample and the heat sink would have on the transition region width. A piece of ceramic with dimensions of 7 mm x 2 mm and a thermal conductivity of 0.015 Wcm\(^{-1}\)K\(^{-1}\) was added to the model as shown in Fig. 21.
Fig. 21 Schematic diagram of model including layer of low thermal conductivity ceramic
Simulations were carried out for three different laser beam widths with FWHM of 1.66 mm, 0.83 mm and 0.415 mm. In each case the heat sink temperature was kept constant at 200°C with a shadow mask extending from the centre of the material to the right hand edge (i.e. from 2.5 mm < x < 5 mm). Fig. 22 shows the temperature rises induced by the three different laser beam widths, calibrated so that the peak temperature was 800°C. The power levels required to achieve these
temperatures are given in Table 5 and indicate that there is only a small variation with beam size. This is because the ceramic plate is effectively trapping the heat within the material and therefore the heat tends to diffuse laterally to a much greater extent than in the previous simulations (without the ceramic plate). This also explains why the power levels are drastically reduced from the original model (e.g. for a FWHM = 1.66 mm the power required is 375.9 W without the ceramic plate, but only 20.7 W with the ceramic plate!). In fact, the temperature at the bottom of the sample is only 20°C to 50°C cooler than the top of the sample, when the ceramic plate is included. This result contrasts to the previous situation, where the temperature difference between the top and bottom of the sample was 600°C (i.e. 800°C - 200°C).
Fig. 22 Temperature rise induced with layer of ceramic and a heat sink temperature of 200 °C
Also shown in Table 5 is the distance from the edge of the mask to the position of peak temperature which shows similar trends to those of the previous model. The transition region width, however, does not show such a strong dependence on the beam width as seen in the previous model which is also a result of the increase in lateral diffusion of the heat within the sample.
| FWHM (mm) | power required (Watts) | Distance of peak temp. from edge of mask (µm) | Transition region width (µm) |
|-----------|------------------------|---------------------------------------------|-------------------------------|
| 1.66 | 20.71 | 500 | 650 |
| 0.83 | 18.98 | 200 | 520 |
| 0.415 | 17.18 | 100 | 397 |
Table 5 Data for different laser beam sizes
The above simulations have shown that the power densities required from the laser beam can be drastically reduced by using a layer of low thermal conductivity material below the sample, in this case a ceramic plate. The ceramic layer "traps" the heat generated in the sample and has the effect of raising the temperature of the base of the sample to a value much higher than the heat sink temperature of the base of the ceramic plate. As a consequence of this, the resolution of the process becomes worse, which is undesirable. One advantage of using a ceramic plate however, is that large areas can be processed so that the deviation in temperature is relatively small, thus producing regions of similar bandgap shifts. This method was used to process samples for the fabrication of oxide stripe lasers, where it was desirable to achieve the same shift over the whole sample (see chapter 6).
10.5 Conclusions
This chapter has presented results which has given an insight into the ultimate resolution capabilities of the PAID process. For a beam size of FWHM = 0.415 mm and a heat sink temperature of 200°C then the transition width is 54.5 µm which compares favourably with other forms of integration processes such as selective area epitaxy.
1 J.B. Fourier, Théorie analytique de la chaleur, Paris, 1822. Translated by A. Freeman, Dover Publications, New York, 1955
2 M. Lax, Journal of Applied Physics, 48, (1977), p 3919
3 M. Lax, Applied Physics Letters, 33 (18) October 1978, pp 786-788
4 M. Yamada, Japanese Journal Of Applied Physics, Vol. 30 (7), 1991, pp. 1418-1427
5 W.B. Boyce, R.W. Dixon, Journal of Applied Physics, Vol. 46, 1975, p 855
6 Comp. Meth. Appl. Mech. Eng., 45 (1984)
7 C.C. Yu, J.C. Heinrich, International Journal for Numerical Methods in Engineering, Vol 23, (1986), pp 883-901
8 D.W. Kelly, S. Nakazawa, O.C. Zienkiewicz, J.C. Heinrich, International Journal for Numerical Methods in Engineering, Vol 15, (1980), pp 1705-1711
9 H. Peyre, F. Alsina, J. Carnassell, J. Pascual, R.W. Glew, Journal of Applied Physics, 73 (8), April 1993 pp 3760-3768
10 J. Crank, The Mathematics of Diffusion, Oxford University Press, London, 1957
11 M. Gibbon, J.P. Stagg, C.G. Cureton, E.J. Thrush, C.J. Jones, R.E. Mallard, R.E. Pritchard, N. Collis, A. Chew, Semicond. Sci. Technol., 8, pp 998-1010, 1993
Chapter 11 Conclusions and Future Work
11.1 Conclusions
A wide range of discrete optoelectronic devices have been reported in this thesis which have utilised Photoabsorption Induced Disordering (PAID) in some way to alter their bandgap. These devices included single-mode strip loaded waveguides, bandgap tuned lasers (both oxide stripe and ridge waveguide) and electroabsorption modulators.
Fabrication and testing of these devices has demonstrated that PAID is a very promising quantum well intermixing technique. For example, propagation losses of 5 dBcm$^{-1}$ at 1550 nm (with losses as low as 1.6 dBcm$^{-1}$ at 1570 nm) were measured in single-mode ridge waveguides which shows that PAID is an effective way of producing low loss interconnecting waveguides for use in photonic integrated circuits.
Broad area oxide stripe lasers of different lengths were fabricated from multiple quantum well laser material intermixed by varying amounts. It was shown that no significant degradation of the device properties (such as threshold current, ex-facet efficiency and propagation losses) occurred due to intermixing. The threshold current density of material intermixed by up to 140 nm was found to increase by only 20% which was attributed to the alteration of the potential profile in the quantum wells leading to an increase in the current density required to achieve transparency.
There was further evidence that the multiple quantum well material retained good electrical and optical properties after intermixing with the fabrication of electroabsorption modulators. ON/OFF ratios were measured to be 20 dB in 500 μm long devices fabricated from material which has been bandgap shifted by 120 nm, while material shifted by only 80 nm yielded devices with extinction ratios as high as 27 dB. It was also demonstrated that photocurrent spectroscopy is a very useful technique for analysing the electroabsorption properties of both as-grown and intermixed multiple quantum well material.
In order to demonstrate that PAID is capable of selectively intermixing areas of a wafer and producing integrated devices, a simple extended cavity laser was fabricated. The device consisted of a broad area active lasing section and a passive waveguide section which had been bandgap widened by 140 nm using PAID. The losses measured in the passive sections of the lasers were 16 cm$^{-1}$ (70 dBcm$^{-1}$)
compared to 28 cm\(^{-1}\) in the active regions. The main reasons that this loss was higher than the losses measured in the single-mode waveguides was due to the extra free-carrier absorption caused by the doping in the structure and the lack of optical confinement in the waveguide.
The process was modelled using a commercially available finite element package (ABAQUS) in order to determine the potential resolution of the PAID process. This modelling yielded useful results which gave an insight into how the physical parameters (such as spot size and heat sink temperature) affected it. It was found that a transition region width of only 54 µm was achievable with a laser beam size of FWHM = 0.415 mm assuming perfect heat sinking conditions of 200°C.
### 11.2 Future Work
Many of the results obtained in this thesis have assumed that the material remains lattice-matched as it is intermixed. This is particularly relevant in the section on modelling the band profiles of the intermixed quantum wells. More work is required on determining whether or not this is the case. For example, it would be useful to look at the polarisation of lasers fabricated from material intermixed by different amounts. This would give an indication if there was any strain present in the quantum wells induced by intermixing. It would also be useful to measure the x-ray rocking curves of material before and after intermixing to see if any satellites appear in intermixed material, indicative of strained layers present in the structure.
It is evident from the results presented in this thesis that more work is required in optimising the process for fabricating integrated devices. In particular, more understanding is needed of the transition region between intermixed and unintermixed material.
For a process such as PAID to be accepted, the reliability of devices fabricated using it must be proven. Although some testing was carried out in this thesis, a more comprehensive study would be required to ensure good device reliability. It would also be very interesting to see if any trends were observed from as-grown material to fully intermixed.
The process of PAID was initially investigated as it offered the possibility of processing large areas of a wafer quickly, unlike direct write laser processes. One potential application of the process could be in tuning the photoluminescence wavelength of epitaxial wafers. One major problem in fabricating lasers
commercially is the tight wavelength requirements. PAID, however, could be used to "fine tune" the PL wavelength of wafers in order that they would yield lasers in the required wavelength range. Obviously it would be restricted to wafers in which the PL wavelength was too long. PAID is particularly suited to this application as it would obviously not require high spatial resolution and it has been demonstrated in this thesis that the material still retains good electrical and optical properties after intermixing.
Appendix A
A.1 Introduction
ABAQUS is written in FORTRAN and runs on an IBM Scirroco computer. It has its own user language with programs written with lines of "data cards" of which there are three types. The first type is a line starting with ** which is ignored by ABAQUS and is used for comments. Lines starting with a * contain ABAQUS control parameters and are called keywords. Examples of these keywords are NODE, ELEMENT, PRINT, CONDUCTIVITY and BOUNDARY. All other lines contain data of some sort relating to the keywords which describe the model.
The program written by the user is split into two sections, the MODEL DEFINITION SECTION and the HISTORY DEFINITION SECTION. At the end of each section, output is usually requested such as the temperature at each node.
A.2 Model Definition Section
The model definition section of the input file contains a description of the model, made up of nodes, elements, material properties, initial conditions and fixed boundary conditions.
The simplest model to simulate is the 2-D case as shown in Fig. (10.2). The model must be split into a fine mesh of elements and nodes. In this case, the number of elements is $200 \times 20$ which means the element size is $50 \mu m \times 20 \mu m$. The program has internal mesh generating facilities which means that the user does not require to input the co-ordinates of every single node, but only the boundary ones. In this case, defining the four corner nodes is sufficient. These are defined as:
*NODE
1,0,0,0,0
201,0,01,0,0
8001,0,0,0,0004
8021,0,01,0,0004
where the keyword is NODE, and the relevant data cards are in the format: node number, x co-ordinate, y co-ordinate. The program must now be told to generate all the other nodes and calculate their co-ordinates:
*NGEN, NSET=BASE
The key word NGEN tells the computer to generate nodes (and their co-ordinates) at equal spacing between node 1 and node 201 in increments of 1. The keyword NSET assigns all these nodes to a set and calls it BASE. This can be useful especially when assigning boundary conditions to a large number of nodes. The keyword NFILL generates nodes (and their co-ordinates) in the mesh between the node sets BASE and SURFACE. The relevant data card for this keyword is in the format: node set 1, node set 2, number of nodes between each set, node increment between each set. All the nodes have now been defined with the mesh shown in Fig. A1.
After the nodes have been defined, it is necessary to assign the node numbers to the elements as shown in Fig. A.1. The convention is to number the element nodes in an anti-clockwise direction starting from bottom left such that element 1 is defined as:
*ELEMENT, TYPE=DC2D4
1, 1, 2, 402, 401
where the keyword ELEMENT defines the nodes of an element with the relevant data card in the format: element number, node1, node2, node3, node4. The keyword TYPE is necessary to define what type of analysis will be carried out in the simulation. In this case DC2D4 is a heat transfer element with Diffusive and Convective properties, 2D indicates that the problem is two dimensional and 4 indicates the number of nodes associated to each element. Again the program must generate all the other elements within the mesh and assign the nodes to them. Element 1 is regarded as the Master Element with the remainder generated by:
*ELGEN, ELSET=CRSECEL
1, 200, 1, 1, 20, 400, 200
The keyword ELGEN generates elements with the data card in the format: master element number, number of elements in first row (x direction), increment in node numbers along the row, increment in element numbers along the row, number of rows
Fig. 1 Node mesh layout with x-y coordinates
All material parameters are in units of kg/m$^3$, K, W/m$^2$, K, J/kg/K, and m/s. Heat flux is temperature range used for the thermal analysis. The density and specific heat are assumed to be constant. In the case of the transient analysis, the heat capacity was zero. The heat capacity was zero for the thermal conductivity was defined over the range 0°C to 100°C. The material being used in the model was steel.
The heat transfer required to achieve the temperature rise of 100°C was found to be a BAR or 1000 W/m$^2$. The heat transfer coefficient was found to be 50 W/m$^2$K.
Fig. A1 Element Identification
(in y direction), increment in node numbers between rows, increment in element numbers between rows. The keyword ELSET assigns all the elements to a set called CRSECEL in a similar fashion to NSET.
The mesh has now been defined in terms of elements and node numbers. The material parameters must now be assigned to the mesh which makes the model physically realistic. For heat transfer simulations such as these, the density, specific heat capacity, and thermal conductivity of the material are all required and can be defined as a function of temperature. The data below is for doped indium phosphide
*MATERIAL, NAME=IN_P
*CONDUCTIVITY
63.6,0
60.4,10
57.4,20
.
.
.
7.0,980
6.9,990
6.8,1000
*SPECIFIC HEAT
350
*DENSITY
4790
All material parameters are in units of watts, metres, kilograms and seconds. Over the temperature range used in these simulations, the density and specific heat were assumed to be constant\(^1\). In the case of steady state analysis, the values of density and specific heat capacity are arbitrary due to equation (10.14), although this is not the case for transient analysis. Another assumption made was that the thermal expansion coefficient was zero. The thermal conductivity which was shown in Fig. 3.6 was defined over the range 0°C to 1000°C. It is also useful to assign names to a material if more than one material is being used in the model (e.g. multiple layer structures).
The final keyword required to define the mesh is the physical shape. This can be a BAR or a RING or BEAM etc. In this case the mesh is defined as:
*SOLID SECTION, ELSET=CRSECEL, MATERIAL=IN_P
0.005
The SOLID SECTION has been defined as consisting of the element set CRSECEL (i.e. all the elements in the model) and it being formed of IN_P (indium phosphide). The accompanying data card defines the depth of the SOLID SECTION and is necessary simply to calibrate input power levels in the simulations.
The final data required in the model section is the initial conditions of the mesh nodes which in this model are absolute temperatures.
*INITIAL CONDITIONS, TYPE=TEMPERATURE
CRSEC, 240
The keyword TYPE simply indicates that the initial conditions defined for the nodes is temperature. The relevant data indicates that the nodes in CRSEC (i.e. all of the nodes) are initially at 240°C.
A.3 History Definition Section
The history section lists the step definitions, boundary conditions and requests for output data etc. In this case, the step definition is given by:
** Define step conditions
*STEP
*HEAT TRANSFER, END=SS, STEADY STATE
0.5,2,,2
*DFLUX
CRSECEL,S3NU,
*BOUNDARY, OP=MOD
BASE, 11,,240
*NODE PRINT, NSET=SURFACE, FREQ=1
N111
*NODE FILE, FREQ=4
Nf
*EL PRINT, FREQ=0
*END STEP
The keywords STEP and END STEP define the start and end of the step of which there may be any number in a simulation. The keyword HEAT TRANSFER tells ABAQUS the nature of the simulation with the associated keywords STEADY STATE and END=SS indicating that it is a steady state problem with the simulation (or STEP)
terminated when the steady state solution is found. The following data is in the format: time step, time period, minimum time increment, maximum time increment, rate of temperature change. These values of different analysis control parameters can be defined by the user, or left blank in which case default values are assumed by ABAQUS.
The keyword DFLUX is perhaps the most important in the program. It allows the user to define a heat flux (surface or volume) as a function of material position which means that the heat generated by the laser can be incorporated into the model very accurately. This flux is defined by writing a subroutine (in FORTRAN) and incorporating it into the listing. The accompanying data indicates that the flux is being generated in the element set CRSECEL and that it is a Non-Uniform Surface flux flowing through face 3 of the element (see Fig. A1). A typical example of this is given by:
*USER SUBROUTINES
SUBROUTINE DFLUX
(FLUX, TEMP, KSTEP, KINC, TIME, NOEL, NPT, COORDS, JLTYP)
C INCLUDE 'ABA_PARAM.INC'
C DIMENSION FLUX(2), TIME(1), COORDS(3)
FLUX(2)=0.0
C power in watts
POWER=20
IF (COORDS(2).GE.0.000395) THEN
FLUX(1)=POWER*1.1284E+5*EXP ((-(COORDS(1)-0.005)**2)/1e-6)
ELSE
FLUX(1)=0.0
END IF
RETURN
END
This subroutine defines the input power which is created in the uppermost row of elements (where the y co-ordinates of face 3 is > 3.95 mm). This surface flux is in units of Wm\(^{-2}\). Fig. 10.11 shows how the heat generated varies across the sample with a Gaussian distribution.
It is important to calibrate the power levels correctly in the model and to do this, the total power in a Gaussian beam must be calculated. In this model, it is assumed that
the power is constant in the z direction which gives an expression for the total power, P as:
\[ P = zA \int_{-\infty}^{\infty} \exp\left(-\frac{x^2}{w^2}\right) dx \]
(A.1)
where \( z \) is the "depth" of the model defined in the model definition section,
\( A \) is the peak power at the centre of the Gaussian beam, and
\( w \) is a measure of the beam width. Since
\[ \int_{-\infty}^{\infty} \exp\left(-\frac{x^2}{w^2}\right) dx = w\sqrt{\pi} \]
(A.2)
the total power is given as:
\[ P = zAw\sqrt{\pi} \]
(A.3)
\[ \Rightarrow A = \frac{P}{zw\sqrt{\pi}} \]
(A.4)
This factor, \( A \), has been used to ensure that the power levels are correct in all simulations carried out using a Gaussian laser beam.
The keyword BOUNDARY defines that a boundary condition is placed on the node set BASE, restricting its 11th degree of freedom (which is the absolute temperature) to a value of 240°C. This keyword could also have been placed in the model definition section as it is constant throughout the simulation.
It is worth pointing out at this stage that boundary conditions do not need to be specified on the three other surfaces. This is because ABAQUS assumes that free convection takes place on unspecified boundaries, which is the case in this model.
Other keywords in the STEP conditions are used to define the data required. For example, NODE PRINT sends a copy of the node conditions to the results file. The node set defined is SURFACE with the data sent at the end of every iteration. The relevant data NT11 indicates that only the absolute temperature of the node is required. The data card NT would send all temperature conditions of the node (i.e. \( \frac{\partial T}{\partial x}, \frac{\partial^2 T}{\partial x^2}, \frac{\partial T}{\partial t} \) etc.) to a file. The keyword FREQ indicates the frequency at which the requested data is sent to a file, with FREQ=0 suppressing data transmission.
Properties of Indium Phosphide, INSPEC EMIS Datareviews Series No. 6
|
Oadby & Wigston Borough Council Audit Progress Report and Sector Update
Years ending 31 March 2021 and 2022
March 2022
## Contents
| Section | Page |
|----------------------------------------------|------|
| Introduction | 3 |
| Progress at March 2022 | 4 |
| Audit Deliverables | 6 |
| Financial Reporting Council annual report | 7 |
| Sector Update | 9 |
The contents of this report relate only to the matters which have come to our attention, which we believe need to be reported to you as part of our audit planning process. It is not a comprehensive record of all the relevant matters, which may be subject to change, and in particular we cannot be held responsible to you for reporting all of the risks which may affect the Authority or all weaknesses in your internal controls. This report has been prepared solely for your benefit and should not be quoted in whole or in part without our prior written consent. We do not accept any responsibility for any loss occasioned to any third party acting, or refraining from acting on the basis of the content of this report, as this report was not prepared for, nor intended for, any other purpose.
Grant Thornton UK LLP is a limited liability partnership registered in England and Wales: No. OC307742. Registered office: 30 Finsbury Square, London, EC2A 1AG. A list of members is available from our registered office. Grant Thornton UK LLP is authorized and regulated by the Financial Conduct Authority. Grant Thornton UK LLP is a member firm of Grant Thornton International Ltd (GTIL). GTIL and the member firms are not a worldwide partnership. Services are delivered by the member firms. GTIL and its member firms are not agents of, and do not obligate, one another and are not liable for one another’s acts or omissions.
This paper provides the Audit Committee with a report on progress in delivering our responsibilities as your external auditors.
The paper also includes:
- a summary of emerging national issues and developments that may be relevant to you as a local authority; and
- includes a number of challenge questions in respect of these emerging issues which the Committee may wish to consider (these are a tool to use, if helpful, rather than formal questions requiring responses for audit purposes)
Members of the Audit Committee can find further useful material on our website, where we have a section dedicated to our work in the public sector. Here you can download copies of our publications https://www.grantthornton.co.uk/en/services/public-sector-services/
If you would like further information on any items in this briefing, or would like to register with Grant Thornton to receive regular email updates on issues that are of interest to you, please contact either your Engagement Lead or Engagement Manager.
Progress at March 2022
Financial Statements Audit 2020/21
We undertook our initial planning for the 2020/21 audit in September 2021 following completion of the 2019/20 audit in July 2021. We began our work on your draft financial statements in October 2021.
We are nearing completion of our work on the 2020/21 financial statements, however there are still a number of queries outstanding including:
- Evidence to support a long term debtor relating to Bushloe Developments (a company established by the Council in 2016 but dissolved 8 January 2019)
- Reconciliation of the Collection Fund accounts to the general ledger
- Finalisation and agreement of the proposed amendments identified through the audit and then review of the revised financial statements.
Officers are currently working to answer these queries and we expect to complete our work in April and will report our work in the Audit Findings Report at the next Audit Committee on 1 June 2022 and aim to give our opinion on the Statement of Accounts shortly afterwards.
Financial Statements Audit 2021/22
We will commence work on the 2021/22 financial statements audit upon completion of the 2020/21 audit.
The Accounts and Audit (Amendment) Regulations 2021 push back the date by which principal authorities need to publish their draft financial statements to the first working day of August. The Department for Levelling Up, Communities and Housing (DLUHC) states that they intend, subject to consultation, to introduce secondary legislation to extend the deadline for publishing audited local authority accounts to 30 November 2022 for the 2021/22 accounts.
Value for Money
The new Code of Audit Practice (the “Code”) came into force on 1 April 2020 for audit years 2020/21 and onwards. The most significant change under the new Code was the introduction of an Auditor’s Annual Report, containing a commentary on arrangements to secure value for money and any associated recommendations, if required.
The new approach is more complex, more involved and is planned to make more impact.
Under the 2020 Code of Audit Practice, for relevant authorities other than local NHS bodies auditors are required to issue our Auditor’s Annual Report no later than 30 September or, where this is not possible, issue an audit letter setting out the reasons for delay.
As a result of the ongoing pandemic, and the impact it has had on both preparers and auditors of accounts to complete their work as quickly as would normally be expected, the National Audit Office has updated its guidance to auditors to allow us to postpone completion of our work on arrangements to secure value for money and focus our resources firstly on the delivery of our opinions on the financial statements. This is intended to help ensure as many as possible could be issued in line with national timetables and legislation. The extended deadline for the issue of the Auditor’s Annual Report is now no more than three months after the date of the opinion on the financial statements for both 2020/21 and 2021/22.
Progress at March 2022 (cont.)
Other areas
Certification of claims and returns
We certify the Authority’s annual Housing Benefit Subsidy claim in accordance with procedures agreed with the Department for Work and Pensions [DWP]. The certification work for the 2020/21 claim began in November. DWP extended the deadline for reporting the findings of this work to 28 February 2022. We completed our work and reported to DWP on 7 March.
We also certify the Authority’s annual Pooling of Housing Capital Receipts return in accordance with procedures agreed with the Department for Levelling Up, Communities and Housing (“DLUCH”). The deadline for completion and reporting of the certification work for the 2020/21 return was 4 February 2022. We submitted our return to DLUCH on 8 February.
Meetings
We continue to have regular meetings with Finance Officers to discuss emerging developments and to ensure the audit process is smooth and effective.
We also met with your new Director of Finance in February 2022 to introduce ourselves.
Events
We provide a range of workshops, along with network events for members and publications to support the Authority. Your officers attended our Accounts Workshop in January and February 2022, where we highlighted financial reporting requirements for local authority accounts and gave insight into elements of the audit approach.
Further details of the publications that may be of interest to the Authority are set out in our Sector Update section of this report.
Audit Fees
During 2017, PSAA awarded contracts for audit for a five year period beginning on 1 April 2018. 2021/22 is the fourth year of that contract. Since that time, there have been a number of developments within the accounting and audit profession. Across all sectors and firms, the Financial Reporting Council [FRC] has set out its expectation of improved financial reporting from organisations and the need for auditors to demonstrate increased scepticism and challenge and to undertake additional and more robust testing.
Our work in the Local Government sector in the period 2018/19 to 2021/22 has highlighted areas where financial reporting, in particular, property, plant and equipment and pensions, needs to improve. There is also an increase in the complexity of Local Government financial transactions and financial reporting. This combined with the FRC requirement that all Local Government audits are at or above the “few improvements needed” (2A) rating means that additional audit work is required.
We are currently reviewing the impact of these changes on both the cost and timing of both the 2020/21 and 2021/22 audits. Whilst we have not yet commenced the 2021/22 audit the finalisation of the 2020/21 audit is taking longer than budgeted.
We will discuss this with your s151 Officer including any proposed variations to the Scale Fee set by PSAA Limited, and will communicate this with the Audit Committee as part of our audit findings report for 2020/21 and the audit plan for 2021/22.
As a firm, we are absolutely committed to meeting the expectations of the FRC with regard to audit quality and local government financial reporting.
## Audit Deliverables
### 2020/21 Deliverables
| Deliverable | Planned Date | Status |
|--------------------------------------------------|--------------|-----------------|
| **Audit Plan** | December 2021| Complete |
| We are required to issue a detailed audit plan to the Audit Committee setting out our proposed approach in order to give an opinion on the Authority’s 2020/21 financial statements and the Auditor’s Annual Report on the Authority’s Value for Money arrangements. | | |
| **Audit Findings Report** | June 2022 | Not yet due |
| The Audit Findings Report will be reported to the January Audit Committee. | | |
| **Auditors Report** | June 2022 | Not yet due |
| This includes the opinion on your financial statements. | | |
| **Auditor’s Annual Report** | June 2022 | Not yet due |
| This Report communicates the key issues arising from our Value for Money work. | | |
### 2020/21 Audit-related Deliverables
| Deliverable | Planned Date | Status |
|--------------------------------------------------|--------------|-----------------|
| **Housing Benefit Subsidy – certification** | 28 February 2022 | Completed 7 March 2022 |
| This is the report we submit to Department of Work and Pensions based upon the mandated agreed upon procedures we are required to perform. | | |
| **Pooling of housing capital receipts - certification** | 4 February 2022 | Completed 8 February 2022 |
| This is the report we submit to Ministry of Housing, Communities and Local Government based upon the mandated agreed upon procedures we are required to perform. | | |
On 29 October, the Financial Reporting Council (FRC) published its annual report setting out the findings of its review of the work of local auditors. The report summarises the results of the FRC’s inspections of twenty audit files for the last financial year. A link to the report is here: [FRC AOR Major Local Audits - October 2021](#).
Grant Thornton are one of seven firms which currently delivers local audit work. Of our 330 local government and NHS audits, 87 are currently defined as ‘major audits’ which fall within the scope of the AQR. This year, the FRC looked at nine of our audits.
**Our file review results**
The FRC reviewed nine of our audits this year. It graded six opinion files (67%) as ‘Good’ and requiring no more than limited improvements. No files were graded as requiring significant improvement, representing an impressive year-on-year improvement. The FRC described the improvement in our audit quality as an ‘encouraging response by the firm to the quality findings reported in the prior year.’ Our Value for Money work continues to be delivered to a high standard, with all of the files reviewed requiring no more than limited improvement. We welcome the FRC findings and conclusions which demonstrate the impressive improvement we have made in audit quality over the past year.
The FRC also identified a number of good practices including effective challenge of management’s valuer, use of an auditor’s expert to assist with the audit of a highly specialised property valuation, and the extent and timing of involvement by the audit partner on the VFM conclusion.
Our “Opinion” results over the past three years are shown in the table below:
| Grade | Number 2020/21 | Number 2019/20 | Number 2018/19 |
|--------------------------------------------|----------------|----------------|----------------|
| Good with limited improvements (Grade 1 or 2) | 6 | 1 | 1 |
| Improvements required (Grade 3) | 3 | 5 | 2 |
| Significant improvements required (Grade 4) | 0 | 0 | 1 |
| Total | 9 | 6 | 4 |
Our “VFM” results over the past two years are shown in the table below. The FRC did not review VFM in 2018/19:
| Grade | Number 2020/21 | Number 2019/20 |
|--------------------------------------------|----------------|----------------|
| Good with limited improvements (Grade 1 or 2) | 6 | 6 |
| Improvements required (Grade 3) | 0 | 0 |
| Significant improvements required (Grade 4) | 0 | 0 |
| Total | 6 | 6 |
Quality Assurance Department (QAD) Reviews
In addition to the reviews undertaken by the FRC on major local audits, the QAD team from the ICAEW undertake annual reviews of non-major local audits as well as reviews of Foundation Trusts on behalf of NHSE&I.
The QAD reviewed five of our audits this year and graded all of them (100%) as ‘Satisfactory / generally acceptable’ for both the financial statements and VFM elements of the audit, which is the highest grading.
| Grade | Number 2020/21 | Number 2020/19 | Number 2019/18 |
|--------------------------------------|----------------|----------------|----------------|
| Satisfactory / generally acceptable | 5 | 6 | 2 |
| Improvement required | 0 | 1 | 0 |
| Significant improvement required | 0 | 0 | 0 |
| Total | 5 | 7 | 2 |
Our continued commitment to Audit quality and continuous improvement
Our work over the past year has been undertaken during the backdrop of COVID-19, when the public sector has faced the huge challenge of providing essential services and helping safeguard the public during the pandemic. Our NHS bodies in particular have been at the forefront of the public health crisis.
As auditors we have shown compassion to NHS staff deeply affected by the crisis, whilst staying focused on the principles of good governance and financial management, things which are more important than ever. We are very proud of the way we have worked effectively with audited bodies, demonstrating empathy in our work whilst still upholding the highest audit quality.
Over the coming year we will make further investments in audit quality including strengthening our quality and technical support functions, and increasing the level of training, support and guidance for our audit teams. We will address the specific improvement recommendations raised by the FRC, including:
- Enhanced training for local auditors on key assumptions within property valuations, and how to demonstrate an increased level of challenge
- Having formal internal consultations when considering complex technical issues.
As part of our enhanced Value for Money programme, we will focus on identifying the scope for better use of public money, as well as highlighting weaknesses in governance or financial stewardship where we see them.
Conclusion
Local audit plays a critical role in the way public sector audits and society interact, and it depends on the trust and confidence of all those who rely on it. As a firm we’re proud to be doing our part to promote good governance, effective stewardship and appropriate use of public funds.
Authorities continue to try to achieve greater efficiency in the delivery of public services, whilst facing the challenges to address rising demand, ongoing budget pressures and social inequality.
Our sector update provides you with an up to date summary of emerging national issues and developments to support you. We cover areas which may have an impact on your organisation, the wider local government sector and the public sector as a whole. Links are provided to the detailed report/briefing to allow you to delve further and find out more.
Our public sector team at Grant Thornton also undertake research on service and technical issues. We will bring you the latest research publications in this update. We also include areas of potential interest to start conversations within the organisation and with audit committee members, as well as any accounting and regulatory updates.
More information can be found on our dedicated public sector and local government sections on the Grant Thornton website by clicking on the logos below:
On 2 February the Department for Levelling Up, Communities and Housing (“DLUCH”) published its Levelling Up White Paper.
The paper states “Levelling up requires a focused, long-term plan of action and a clear framework to identify and act upon the drivers of spatial disparity. Evidence from a range of disciplines tells us these drivers can be encapsulated in six “capitals”:
- Physical capital – infrastructure, machines and housing.
- Human capital – the skills, health and experience of the workforce.
- Intangible capital – innovation, ideas and patents.
- Financial capital – resources supporting the financing of companies.
- Social capital – the strength of communities, relationships and trust.
- Institutional capital – local leadership, capacity and capability.”
The paper also states “This new policy regime is based on five mutually reinforcing pillars.” These are set out and explained as:
1) The UK Government is setting clear and ambitious medium-term missions to provide consistency and clarity over levelling up policy objectives.
2) Central government decision-making will be fundamentally reoriented to align policies with the levelling up agenda and hardwire spatial considerations across Whitehall.
3) The UK Government will empower decision-makers in local areas by providing leaders and businesses with the tools they need.
4) The UK Government will transform its approach to data and evaluation to improve local decision-making.
5) The UK Government will create a new regime to oversee its levelling up missions, establishing a statutory duty to publish an annual report analysing progress and a new external Levelling Up Advisory Council.
Levelling Up the United Kingdom - GOV.UK (www.gov.uk)
Grant Thornton – reaction to Levelling up White Paper
On 2 February the Department for Levelling Up, Communities and Housing (“DLUCH”) published its Levelling Up White Paper.
Commenting on the release of the government’s Levelling up White Paper plans, Phil Woolley, Head of Public Sector Consulting, Grant Thornton UK LLP, said:
“The publication of today’s White Paper plans is a welcome first step and it is reassuring to see the government recognise the need for systemic changes in order to deliver its central aim of Levelling up. The ‘12 missions’ can be seen as an attempt to consolidate existing elements of government activity behind a singular banner and now provides a clearer picture of the levelling up opportunity.
“Following a decade of successful regional devolution and mayors, the White Paper marks the next stage of the country’s devolution journey. With government now offering a clear framework of devolved powers and accountability, local leaders will need to embrace the opportunity and collaborate across the public and private sector to ensure they negotiate and then deliver the best deal for their communities. Grant Thornton’s Levelling Up Index shows that the economies of the 10 worst performing local authorities in England are on average over five times smaller than their best performing counterparts - highlighting the scale of the challenge ahead.
“To level up, these areas would need to grow their economies by £12billion, increase employment rates by 6 percentage points, create 1,700 new businesses a year and increase average weekly pay by £200. It is too early to determine whether the measures announced today will be sufficient, but it is a start. Success will ultimately depend on the ability and willingness of local and national government to translate these new frameworks into meaningful change in people’s lives.
“The Spending Review offers the next opportunity for government to show its commitment by realigning departmental objectives behind these new goals.”
Emergency consultation on 2021/22 reporting requirements – CIPFA
On 4 February CIPFA released an emergency four week consultation on time limited changes to the Code to help alleviate delays to the publication of audited financial statements. This explores two possible changes that might be made as an update to the 2021/22 code and to the agreed position in the 2022/23 code.
The decision to launch the consultation came after the Department for Levelling up, Housing and Communities (DLUHC) asked CIPFA to consider amendments to the Code of Practice on Local Authority Accounting, after just 9% of local audits for 2020-21 were published on time.
After considering a wide range of options CIPFA LASAAC decided to explore two approaches:
1) An adaptation to the code to allow local authorities to pause professional valuations for operational property, plant and equipment for a period of up to two years (though the initial proposal is for the 2021/22 financial year); this approach also explores the use of an index to be used to increase or reduce that valuation
2) Deferring the implementation of IFRS 16 Leases for a further year and reversing the planned changes to the 2022/23 code to implement that standard.
CIPFA Chief Executive Rob Whiteman said: “DLUHC is understandably concerned about this growing crisis – and CIPFA shares this concern. We are committed to supporting CIPFA LASAAC in its exploration of the options that may improve timeliness issues, without significantly impacting accountability. But this is a difficult issue, and we need feedback from stakeholders on whether and how this might work.”
CIPFA said that the changes do not represent the best form of financial reporting for local authorities, but are a “temporary expedient to help improve an unacceptable situation”.
The consultation closed on Thursday 3 March. Any updates to the Code are subject to oversight by the Financial Reporting Advisory Board before implementation.
The consultation can be found here:
https://www.cipfa.org/policy-and-guidance/consultations/emergency-proposals-for-update-of-202122-and-2022223-codes
Summary of the Grant Thornton response
Property, Plant & Equipment Valuations
In principle we are very supportive of changes to the measurement basis for operational property, plant and equipment. However our view is that it is too late to effect change for the 2021/22 reporting cycle. Our response highlighted a number of difficulties with this approach, including the risk that some assets then fall outside of the requirement to be revalued every five years as a minimum, and the challenge of consistent application of indexation. The proposed amendments to the Code do not appear to override the requirement that the carrying amount does not differ materially from that which would be determined using the current value at the end of the reporting period, which stems from IAS 16:31. If the financial reporting requirements are not sufficiently tightly defined and auditors therefore cannot obtain sufficient and appropriate audit evidence to support this requirement, there is a risk that audit opinions could be modified as a result.
Deferral of IFRS 16 - Leases
The removal of the requirement for disclosure (based upon IAS 8) in 2021/22 is not likely to have a significant impact in terms of freeing up auditor time and audit work covering the disclosures in 2022/23 would then be required in the 2022/23 audit. Savings to preparer time and effort would depend on what progress has already been made in preparing for the imminent implementation of IFRS 16.
17 March 2022 Update
CIPFA/LASAAC published its preliminary decision and feedback statement in response to the emergency Code consultation on 17 March 2022:
• CIPFA/LASAAC has decided not to progress any of the proposals around pausing formal valuation of assets.
• At this stage, CIPFA/LASAAC is pursuing the proposal on deferring IFRS 16 – however, it should be noted that this is subject to approval by the Financial Reporting Advisory Board.
The CIPFA/LASAAC feedback statement can be found at:
https://www.cipfa.org/policy-and-guidance/cipfa-lasaac-local-authority-code-board
On 20 December CIPFA published the new Prudential Code for Capital Finance in Local Authorities (Prudential Code) and Treasury Management in the Public Services Code of Practice and Cross-Sectoral Guidance Notes (the Treasury Management Code).
CIPFA commented “These two statutory and professional codes are important regulatory elements of the capital finance framework in which local authorities operate. Local authorities are required by regulation to ‘have regard to’ their provisions. These two codes have been published a principles-based consultation from February to April, which was followed by a second consultation on the detailed changes to the code from September to mid-November.
The updated Prudential Code includes some substantive changes. Most notably, the provisions in Code which present the approach to borrowing in advance of need in order to profit from additional sums borrowed have been strengthened. Additionally, the relevant parts of Code have augmented to be clear that borrowing for debt-for-yield investment is not permissible under the Prudential Code. This recognises that commercial activity is part of regeneration but underlines that such transactions do not include debt-for-yield as the primary purpose of the investment or represent an unnecessary risk to public funds.”
The updated Prudential Code removes the "advance of need" terminology and emphasises the legislative basis for borrowing, namely that a local authority can borrow and invest for any legislative function and/or for the prudent management of their financial affairs.
The examples listed in the Code of legitimate prudential borrowing are:
- Financing capital expenditure primarily related to the delivery of a local authority’s functions;
- Temporary management of cash flow within the context of a balanced budget;
- Securing affordability by removing exposure to future interest rate rises; or
- Refinancing current borrowing, including replacing internal borrowing, to manage risk or reflect changing cash flow circumstances.
The National Audit Office (NAO) has published this guide which sets out good practice principles for annual reporting with examples from public sector organisations.
The NAO comment that the guide sets out “good-practice principles that we believe underpin good annual reporting. These principles are: Supporting Accountability; Transparency; Accessibility; and the need for the report to be Understandable.”
The NAO further comment “The best annual reports we have seen use these principles to tell the “story” of the organisation. It is important that stakeholders, including the public and Parliament, are able to hold an organisation to account. To do this effectively, stakeholders need to properly understand the organisation’s strategy, key risks that might get in the way of delivering this strategy and the effectiveness of their management, and the amount of taxpayers’ money that has been spent to deliver the outcomes the organisation seeks to achieve.”
The guide draws on examples of good practice from within each of the six sections of an Annual Report:
- Strategy
- Risk
- Operations
- Governance
- Measures of success
- Financial performance
- External factors
Although the guide does not include any local authority examples, those included, and the underlying principles, are equally relevant to all public facing organisations.
The guide can be found here:
Good practice in annual reporting - National Audit Office (NAO) Report
© 2022 Grant Thornton UK LLP.
“Grant Thornton” refers to the brand under which the Grant Thornton member firms provide assurance, tax and advisory services to their clients and/or refers to one or more member firms, as the context requires. Grant Thornton UK LLP is a member firm of Grant Thornton International Ltd (GTIL). GTIL and the member firms are not a worldwide partnership. GTIL and each member firm is a separate legal entity. Services are delivered by the member firms. GTIL does not provide services to clients. GTIL and its member firms are not agents of, and do not obligate, one another and are not liable for one another’s acts or omissions.
|
CAMPUS BRIEFS
D. K. E.
Word was received at the Dake house Monday that "Joe" Thomas would be unable to return to College due to trouble with his eyes. Upon consulting his doctor at home, it was learned that "Al" would be unable to use his eyes for at least a week. All the boys are sorry to lose "Al" and look forward to his return on Monday.
The annual Alumni night of the D. K. E. fraternity was held on Wednesday, April 29, 1925. A number of alumni were present. Freshmen were served after the fraternity meeting, then all returned to their rooms. The boys had a glorious day at Colby.
The Dake tennis court is in good shape now that all the boys are taking advantage of it, led by the Dake tennis star, "Farr" Bartlett.
Barney Palmer left Boston with the baseball team.
"Ken" Shaw took his weekly flying trip to Augusta.
"Jess" Cook had the misfortune to receive an injury last week which will keep him from continuing his work on the tennis courts. Have luck "Jess," but you have plenty more chances to show what you can do.
The Dake bus "Troniders" is doing well, and as yet no serious injuries are reported among the boys, although the hair breadth escapes have been numerous and close.
L. C. T.
The Star rolled down to Augusta this week-end and favorable reports were again received from "Charlie" Nelson.
"Charlie" Abbott and Clausen Hadley were initiated into the fraternity on Wednesday evening.
"Gar" D'Amico has been elected to the editorial board of the "White Mule" to fill the vacancy left by "Charlie" Nelson.
"Wilbur" Ford returned from the Maine Intercollegiate Athletic Association on Tuesday and immediately set about putting the track in condition for the North-South meet. "Willie" certainly did a busy week.
D. K. E.
"Strooge" Brown and "Gar" Parker spent the week-end in Belfast and Rockland. "Gar" brought back a Ford for the boys.
"Jack" Warren beat it up to Madison. We expect him back before June.
Captain "Jack" McGowan, "Faggle" Fagerstrom, "Frog" Saucer, Manager "Shoy" Mills, and some Apache "Toms" went down from the house making the baseball trips.
Oscar Beno went to Augusta last week and successfully entered the "White Mule."
"Af" Wassall has been elected manager of the musical clubs and leader of the orchestra for next year. "Gus" Parker is the elected leader of the Mandolin club.
"Reuben" Hunsicker, "Frog" Fagerstrom, and "Gar" Parker, who came through in the meet held last Saturday.
PII DELTA THETA.
Douglas Grunzen returned from one of his usual trips to Portland. He spent an excellent time there.
Charles Shaffer enjoyed a most enjoyable week-end at a camp on Long Pond, near Lake Laken.
A large delegation from the house attended the Alpha Tau Omega dance last Friday evening. As yet we do not hear of anyone getting sick, so we consider the dance a very successful affair.
"Slothy" Marr has been seen pianoing most of his time riding up and down College avenue and throughout the surrounding country in a "big blue Dutch wagon."
Ernest L. Warren, '14, was a recent victim of the Dake house. Brother Gregory of the University of North Carolina was at the Phi Dake house, Tuesday.
A. T. O.
Carl McPherson, '26, is now acting as official umpire at the M. C. I. baseball games. We wish him success.
We will agree that the A. T. O. dances are a great success under the supervision of "Turk," "Sluys" and "Bow."
"Cliff" Hildreth, '26, the new dormitory dance promoter, is still carrying on his business and has shifted to a new location.
"Turk" McPherson, '26, and "Ted" Hodgkins, '25, both put in an excellent round of golf last week.
"Turk" has been behaving himself under such a handicap.
A "Tom" of the A. T. O. presented dancing lessons to the girls during the white kindness last Sunday. People walking by remarked how wonderful they looked "in ole school" costumes.
Charles Alexander "Fishboy," '25, was visited by his relatives from Hallowell on last Sunday afternoon.
Many brothers enjoyed the weekend at nearby camps, returning during the late hours of Sunday evening.
"Dent" Nickerson, '27, and "Link" McPherson, '27, joined the crew bound to Augusta last Sunday and returned during the evening.
L. C. A.
"Buck" Freeman returned to college after visiting New Hampshire and Maine as a representative of the Colby League Girls.
Elliot Williams, '27, is the proud possessor of a championship in the intercollegiate tennis tournament. He is now travelling around in a touring car model instead of his horse "cuttwood."
William Simonds, '28, journeyed to Worcester Tech as a delegate from this chapter at their annual banquet.
"Binky" Bob, "Binky" there is very unstable about the situation, for no one has assumed the responsibility of operating his vest pocket grocery.
Tom Cook, '24, dropped in to see the boys while he was enjoying a short vacation.
ALPHA
"Billy" Springer was a visitor at the Alpha house recently.
G. Arnold Callaghan was a visitor at the Alpha house last week, taking a great pleasure in introducing Mrs. Callaghan to the boys.
"Mally" Bennett, "the mystery man," has been cleaning his room with a decorated tooth for the last few days. All cases for trial are to be suspended until he recovers.
"Billy" Bennett has discovered that mayflowers are in bloom and has only been seen once since last Sunday.
The Nessuskees has become popular again and "Dave" Thurlow is considering buying the canoe factory during the vacation.
LANCERS
"Lemlie" Finnemore, '27, spent the week-end in Augusta with friends.
Mike Carpenter, '28, received a visit from his folks at the house Monday evening.
"HJ" Crie was taken unawares by a sudden attack of homesickness on Sunday afternoon. "HJ" made a trip to his home Tuesday and is expecting to return with his "bathskirt" at "Turk."
Carl Crummett, '27, made his usual appearance to go to his home.
"Af" Warren, '27, went to South Paris for a few days.
Louis Carpenter spent a few days at his home with Henry Allen on his guest.
WHITE MULE ISSUE PLANNED FOR MAY 16
The next issue of Kabby's Komical Klubs, otherwise known as the "White Mule," will be placed on sale May 16. The next issue will be the issue of the "Lantern," Harvard's weekly paper. This issue will be 90.465% pure, in spite of the word of student-Censor Jones, who carefully read every joke, through two pairs of glasses in order to make the point, that there will be found something in Monthly Mullings, plenty of originality. From the time of the finish this issue will be top string. The cover is a work of art, wonderfully done by Colby's own artist, Miss Mildred Robinson, '27, who is now studying at the Boston Art School. Robinson needs no introduction to the readers of the "White Mule." He won last year the blue ribbon that put the paper on its feet. Her friends are pleased to learn that she has been honored with a place on the front page. Not only is her work a piece of art but the covering as well is worth the price. Believing in advancement, the management has decided to have this issue printed in full colors, in spite of the customary "no." The results show that their judgment was right. The storekeeper has handled his splendid efforts with admirable jokes and humorous sayings for this issue as never before, but in spite of the many articles written by the editorial staff, many of them have been anonymous. Thus the board finds that the editor has used the right material to fill its columns.
"The White Mule" is a Colby paper, written by Colby men, and over increasing circulation, and an ever growing reputation. It is the desire of the editor that this publication shall not be allowed to become one less than better than the foregoing issues. It is the hope of the editor that the student body for more articles. The White Mule is edited by "Turk" McPherson, who is not content in the male kingdom, for he looks at the cover of the next issue. It is the desire of the staff that more articles be turned in by the girls division. Soon in the latest "Colbian Gossip" will be found the stories drawn of the professors during class time, but remember the board of editors and make your jokes full of fun, however, ever with life and 90.465% pure.
LEONARD—DRUMMOND.
Cards have been received in this chapter from the house of Hill-digard V. Drummond and Neil Leonard, Tuesday, in Boston. Mrs. Leonard is the daughter of Mr. A. M. Leonard, '13, of this city. After graduation from Coburn Classical Institute, she attended Simmons college for two years. In 1913 she graduated from Colby with Phi Beta Kappa honors, returning for one year to receive the degree of M. A. in 1920. She taught in Amherst, Mass., for one year, and for several years has been the head of the English department in Waterville Junior high school.
Mr. Leonard is the son of Mrs. F. J. Leonard of Waterville. He is a graduate of Colby in the class of 1913 and was graduated from Yale in 1915. He is in the law office of Herrick, Farley, Dole and Hubbard, Boston.
After a wedding trip by car, Mr. and Mrs. Leonard will be at home June 1, at 29 Prescott street, Cambridge, Mass.
More Mileage in Van Raalte and Phoenix Silk Hosiery.
College girls will get wonderful satisfaction from this silk hosiery. Handsomely made, rich lustrous finish, in the seasons most favored colors. Very moderately priced.
EMERY-BROWN CO.
Represented by Miss Margaret Hardy, Fass Hall
Young China Restaurant
83 Main St., formerly Harmon Cafe
50c REGULAR DINNER
SOUP, MEAT, VEGETABLE, DESSERT, DRINKS included.
Chicken Dinner every Tuesday and Saturday
SPECIAL SUPPER 49 CENTS to $1.00
Private Dining Room for Parties
The Ticonic National Bank
OFFERS
A complete banking service conducted under the direct supervision of the
UNITED STATES GOVERNMENT
Commercial Department—Savings Department—Trust Department
THE SECURITY OF THE DEPOSITORS IS GUARANTEED BY 110 YEARS OF CONTINUOUS BUSINESS
WATERVILLE, MAINE
"QUALITY ASSURES SATISFACTION"
We'll let you be the judge. Compare our merchandise, prices and service with other Waterville stores. If you think we're giving you as much as the other fellow we'll appreciate part of your trade.
We're the Men's Store nearest to you
DUBORD'S, INC.
GOOD CLOTHES FOR MEN AND BOYS
The Professional Building,
Waterville, Maine
W. B. Arnold Co.
Established 1820
Incorporated 1884
HARDWARE MERCHANTS
PLUMBING HEATING SPORTING GOODS LUMBER
HOTEL AND HOME KITCHEN UTENSILS
MOPS POLISH PAINT BROOMS PAPER
"One of Maine's Leading Hardware Stores"
G. S. Flood Co., Inc.
Supplies and dealers in all kinds of ANTHRACITE AND BITUMINOUS COAL
Wood, Lime, Cement, Hat, Bridle, and Dash Floor
Coal Yards and Office, Corner Main and Pleasant Streets
Telephone, 840 and 841.
"SAY IT WITH FLOWERS"
When you think of flowers think of Mitchell's
When you think of Mitchell think of Flowers
We are always at your service. Tel. 467
- The College Printers -
Printers of the Echo, and everything needed for Athletics, Fraternities and other activities.
Come in and talk it over.
City Job Print
Savings Bank Building.
Tel. 207
Wardwell Dry Goods Co.
WE SHALL HIGH CLASS DRESSES, SUITS, COATS, BLOUSES, AND OTHER READY-TO-WEAR GARMENTS FOR YOUNG LADIES AT REASONABLE PRICES
|
In Communist and Workers' Parties
CENTRAL COMMITTEE MEETING OF THE COMMUNIST PARTY OF JAPAN
A recent meeting of the Central Committee of the Communist Party of Japan elected Comrade Sanzo Nozaka First Secretary of the C.C.; Comrade Shigeo Shida head of the Organisational Department; Comrade Yojiro Konno head of the Agricultural Department, and Comrade Shoichi Kasuga head of the Youth Department.
FORTHCOMING CONGRESS OF THE COMMUNIST PARTY OF SWEDEN
A meeting of the Central Committee of the Communist Party of Sweden was held in Stockholm in mid-August.
In his opening speech, Comrade Hilding Hjalmarson, the Chairman, reviewed the political situation in the country and the tasks now facing the Swedish working class. He underlined that the main tasks are to strengthen the fight for peace, and the freedom of the Swedish nation, the further development of democracy in all spheres of public life, and the unity of the working class in the struggle against the domination of big capital.
Comrade Knut Tell reported on the proposals for amending the Party Rules. The meeting also heard a report by Comrade Erik Karlsson, Secretary of the C.C., on the Party's organisational work in connection with the forthcoming Congress.
The keynote of the discussion which developed at the meeting was political unity and firmness in the fight for the interests of the working class.
The meeting decided to convene the XVIIIth Party Congress in Stockholm on October 28-31, 1955, and endorsed the following agenda:
1. Political situation and the Party's work;
2. Party press;
3. Party Rules;
4. Elections to the Central Committee and Control Commission.
ENLARGED CENTRAL COMMITTEE OF THE COMMUNIST PARTY OF FINLAND
A recent enlarged meeting of the Central Committee of the Communist Party of Finland, held in Helsinki, discussed Comrade Urho Lokkisen's report on the political situation and the tasks facing the Party in connection with the forthcoming presidential elections.
In order to strengthen the united front of working people, it agreed for the Party to continue its efforts to explain the political significance of the situation at home and abroad. The meeting emphasized that to achieve victory in the class struggle it was necessary to step up activity to unite the working people in the fight against big capital and the capitalist party.
A unanimously adopted resolution reads in part: "The numerous international events of the last few months, so favourable to the cause of peace, have strengthened the possibilities of preserving peace and a peoples' faith in a brighter future. The Geneva Conference of the heads of government, the result of the growing pressure of the masses throughout the world, particularly contributed to this."
"The Central Committee is convinced that the spirit of concord which prevailed at Geneva and the decision of the negotiations also accord with the hopes of the Finnish people and urge all citizens who value peace and agreement between the states to redouble their efforts for peace."
It is essential, the resolution goes on, to launch an urgent demand to that the government actively supports the establishment of a collective security system in Europe, which would mean the consolidation of world peace.
MEETING OF CENTRAL COMMITTEE, SLOVAK COMMUNIST PARTY
The Central Committee of the Communist Party of Slovakia held a meeting on August 18-19. It was attended by a delegation from the C.C. of the Communist Party of Czechoslovakia headed by Comrade Vilém Stříbrný, member of the Political Bureau of the C.C. of the Czechoslovak Communist Party. At the meeting there was a report by Comrade Karol Bacilec, First Secretary of the Slovak C. C., on how the Party organisations of Slovakia were carrying out the decisions of the June meeting of the C.C. of the Czechoslovak Communist Party.
Comrade Pavel Majling made a report on the preparations now under way for the first year of the second Five-Year Plan. Following a discussion, in which 28 comrades took part, the meeting unanimously passed a resolution urging more consistent efforts to carry out the fulfilment of the directives of the June meeting of the Czechoslovak Communist Party.
PREPARATIONS FOR THE FOURTH CONGRESS OF THE COMMUNIST PARTY OF INDIA
The organisations of the Communist Party of India have launched energetic preparations for the Fourth Congress, to be held in September. The Congress will discuss the problems of the present period and the tasks confronting the Party.
The weekly *New Age*, the Party's newspaper, is also carrying material in connection with the Congress preparations.
Restoration of Korean Towns
In the past two years the Korean people have made great strides in the rehabilitation of Pyongyang, Wonson, Kimchak, Chongjin, Sinpju, Nampo and other cities and towns, settlements and villages, reduced to heaps of rubble during the war.
Hwanghae is an important port and industrial city, is springing up from the ruins on the shores of the Sea of Japan; over 7,000 dwellings have been built there alone. Many brick and cement factories and Second Main streets. Some government offices, educational establishments and hospitals have been built in the new areas created, and a library is already open. Restoration of a педагогical college is almost finished and an agricultural college is nearing completion. An Arts Theatre will soon be opened.
The city's industry is reviving. The Wonson shipyard, building fishing craft, is working at full capacity; the locomotive repair works is being restored and extended at a rapid rate.
Kimchak, another industrial city, to the north of Wonsan, is also taking shape. The largest steelworks in this city was in operation within two months after the signing of the armistice. The workers turned out dozens of tons of rolled metal and steel iron. Recently it began to produce stainless steel for transformers.
As many as 522 flats are now under construction in Kimchak, most of them were occupied by August 15—Liberation Day—by which date two secondary schools were completed. Administrative offices, a department store, and a workers' hostel are under reconstruction and a new park is being laid out.
EXPERIENCE OF PARTY WORK
INITIATIVE—INALIENABLE QUALITY OF A PARTY WORKER
W. Kruczek
Member, Central Committee,
Polish United Workers' Party,
Secretary,
Bydgoszcz Regional Committee of the PUWP
In carrying out the decisions of the Central Committee of the PUWP, particularly those of its Third Plenum, the Bydgoszcz Party organisation has notable successes to record. The Party leadership devotes a great deal of attention to local Party organisations, pointing out their important role in socialist construction and bringing to light the shortcomings in their work, which lie mainly in the unsatisfactory way in which decisions are prepared, in the constant waiting for directives, assignment and instructions, in shyness and lack of initiative and self-reliance in solving problems concerning their respective districts.
In carrying out the Plenum decisions, our regional Party organisation and its leadership have rendered more deeply the necessity for scientifically studying and generalising the experience acquired in Party, economic and cultural work and the necessity of the basic Party organisations giving due consideration for the specific conditions in each district, of setting new tasks to the Party activists and workers of the region as a whole. The regional organisation now appreciates more fully that the implementation of Party decisions and directives requires a thorough, well-thought-out, constructive approach that should always guarantee a thorough understanding of Party policy. This was made evident in the discussions on the Party programme. Third Plenum at which many comrades sharply criticised the leadership of the Bydgoszcz Party organisation for restricting the initiative of the cadres, members of the Party and district apparatus, and for the fact that the role of district committees is often confined simply to fulfilling assignments set by the regional committee.
This criticism by the activists helped us to improve our methods of work and, in particular, to develop the initiative of the Party leadership of the regional committee. The new drawing-up of a series of Party organisations to the necessity of developing, on the basis of an analysis of the situation in each district, a plan of action for the Party apparatus without waiting for instructions, directives and ready-made formulas. The very question of whether the regional committee has not been creating their initiative enough, but at the same time drawing attention to the fact that it has weakened its links with the workers' bodies and organisations at a lower level.
In criticising the regional committee, the Party organisation pointed out that it had passed many resolutions, but had not always made it clear what of these resolutions were important. The committee took due note of this and now tells the Party organisations, in individual cases, to study the directives they receive, to find out what their main, decisive tasks are and advise them how individual questions should be handled in the course of work.
The Bydgoszcz Party organisation now regards the question of lowering production costs as an important one in industry and has taken effective measures and forms of work to ensure the fulfilment of the plan for reducing these costs throughout industry.
With a view to familiarising the workers in the Party apparatus with the economy of industrial enterprises, we organised special courses for them. We also gave a short course of the Party organisations in the major industrial enterprises. In order that they had of making more rational use of materials, the workers discussed these questions with representatives of the district committee and launched an emulation campaign for a more economical use of high-quality steels, and called upon factory and office workers in other enterprises to take part in this campaign. This was a wide response to this initiative in the region and all over the country. In the region as a whole was taken up by 48 enterprises, with the result that they have benefited by a saving of 416 tons of high-quality steels and 100 tons of grade steels valued at 6,000,000 zloty. Another initiative was shown in the setting up of exchange-of-experience commissions, which includes the best workmen in Party activities in leading industrial enterprises. These commissions are sent to works and factories lagging behind in order to help them straighten out their difficulties on the spot.
The Bydgoszcz Party organisation is also giving much attention to the development of agriculture. Of great importance is the campaign launched for developing meadows and pasture lands. Last autumn meadow work involving about 100,000 people was begun in the region, with 8,000 hectares of meadowland to be developed. This year we decided to extend this work and prepare a plan under which work valued at 40 million zloty would be carried out. Emulation has developed between districts and villages, and there are 10,000 people joining the campaign in its first few days. The peasants know that through developing meadowslands they will obtain more fodder for their livestock.
It should be noted, however, that the Party apparatus has failed to use to the full its possibilities in advancing agricultural experience in promoting producer co-operation.
The Party committee reckons that the organisations now functioning in the region—more than 1,000, of which 200 were set up in 1954 and 70 this year—do not fully reflect our potentialities. Party activists and members have considerable facilities in this field for displaying initiative and for carrying out varied forms of organisational and propaganda work.
The district committee has added to discussing co-operative rates at local Party meetings, also organises excursions to those co-operatives which are functioning well and arranges visits by individual peasants to meet co-operative members. Many co-operative Party branches assign groups of activists and peasants to carry out educational work among individual peasants. These groups are especially active in the villages where peasants do not get their pay-books. More and more leading co-operatives are taking newly organised ones under their wing. Members of such co-operatives attend each other's meetings and organise joint activities.
In the work of organising co-operatives we concentrate first of all on those leading peasants who enjoy high prestige in their village. The winning of such peasants as a rule is the deciding point in the work of setting up a co-operative.
It should be said, however, that not all Party bodies realise the significance of the co-operative movement as a factor in the rapid development of agriculture.
In our region there are still district secretaries who do not understand that the organisation of the country's economy demands not only the widest possible observance of the voluntary principle but also initiative, and a high degree of activity on the part of the workers during the process of realising the advantages of co-operative over individual farming. In words they approve of the new line. However, every effort appears to be on the surface and it seems they cannot be accused of doing nothing. For instance, the district committee of the Bydgoszcz, Rybnik and Olsztyn, which are notorious laggards behind in the producer co-operation movement, talk about building Socialism in the countryside at the expense of any initiative and do not carry out the necessary organisational work. Instead of conducting activities throughout the whole of their district, they only work in some of the villages and insufficiently draw in the local activists.
The experience of our region shows that in organising Party work one does not fear everything. The difficult mass work, there is a climate in the Party organisation, which encourages and develops of useful initiative, and if people understand that only direct leadership stimulates initiative. Collective leadership and a frank critical and self-critical analysis of the work of every comrade are the immediate prerequisites for the real Party practical worker. Developing the initiative of Party activists does not mean waiting until they display it. Individual comrades as well as organisations as a whole must be encouraged to act.
It should be noted that the bureau of the regional committee still works inadequately with Party activists, especially with those in the lower Party organisations. As a result, comrades who are sent to work in the state apparatus or the mass organisations frequently do not display initiative in carrying out their assigned tasks. There are instances of people being promoted to leading posts who forget their duties, forget what they should be an example to others and that they are called upon to educate and organise the masses.
The regional committee has taken sufficient steps to ensure that leading activists thoroughly understand that in the period of transition from capitalism to Socialism, it is a very important task to evaluate correctly to estimate the work of every individual person, as well as to notice the achievements of our life; it is also very important to see how people develop and realise that their further development depends on the initiative and ideological and political level of Party activists.
The sharpening of the class struggle, especially in the countryside, demands that the Party organisation should increase its activity and that all Party members serve as an example to the broad masses in the rural areas, and that they still further bond their flocks with the masses.
Much has yet to be done to enhance the ideological and political level of Party activists.
The Central Committee of the Communist Party of Slovakia held a meeting on August 14th attended by a delegation from the C.C. of the Communist Party of Czechoslovakia headed by Comrade William Sidor, Secretary of the Political Bureau of the Czechoslovak Communist Party.
The C.C. discussed Karácsony's report, "Building Karácsony", and discussed a report by Comrade Slovák, C.C., on how the present organisation of Slovakia was carrying out the decisions of the June meeting.
PREPARATIONS FOR THE FOURTH CONGRESS OF THE COMMUNIST PARTY OF INDIA
The organisations of the Communist Party have launched energetic preparations for the Fourth Party Congress, to be held in December this year at Kozhikode in Southern India. A lively discussion is going on about the resolution of the June meeting, "The Communist Party - Its Struggle for Peace, Democracy and the Advance", as well as other documents connected with the forthcoming Congress.
New Age, political monthly of the Communist Party, has issued a series of special articles by Party leaders on the problems which face the country and are to be the subject of discussion at the Fourth Congress. The editorial board has called on all readers to send in questions on problems that interest them and a "Questions & Answers" feature is now appearing.
The weekly New Age, the Party's newspaper, is also carrying material on the Congress preparations. On August 14 it published an item about the huge temple of MahaBali at the invitation to hold the Fourth Congress in their region. Even before the official call for funds was made, the people of MahaBali began to send in contributions. For instance, the faithful Mokeri, calling on the village Party secretary, offered to donate 200 rupees to produce his coconut palm to the Congress funds. The workers of the Erumkollat estate at Meppadi have decided to give a day's wages.
The second sheet rolling mill of China's Anshan Iron and Steel Works is turning out large quantities of sheet steel for rolling into various shapes. In 1954 its workers mastered the production of eight new types of sheet steel. Also, Sa Faluo-yun, one of the girls working in the second sheet rolling mill, at the concretes their duties. The secretaries of the Party organisations have been instructed to carry out these instructions immediately that the regional committees has not been cramping the initiative so much, but that it has been the line drawn by the Party that it has weakened its links with the Party base and organisations at a lower level.
In criticising the regional committees, Party activists pointed out that it had massed many resolutions but that it always made the same mistakes. This was the most important. The committee took due note of this and now tells the Party organisations in industry and agriculture to stop trying what their main decisive tasks are and address themselves to urgent questions should be settled on the spot.
The Bydgoszcz Party organisation now regards the question of reducing production costs as the most important one in industry and has used new, effective methods and forms of work to ensure the fulfilment of the plan by reducing these costs throughout industry.
With a view to familiarising workers in the Party with the essentials of industrial enterprises, we have opened special courses for Party activists, including secretaries of the Party organisations in the non-industrial estates. In order that activists might make a better understanding of the question of production costs, we issued a special pamphlet in which we outlined the main causes of the negative and positive, and drew the attention of the Party activists in plants and factories to unused reserves.
All this has had great importance. For instance, as a result of the regional committee drawing the attention of the Bydgoszcz Railway Signal Works to the state apparatus and the mass organisations. Frequently do not display activity in carrying out their assignments. There are instances of people being promoted to leading posts who forget their duties, forget that they should serve as an example to others and that they are called to educate and organise the masses.
The regional committees have taken insufficient measures to see that all leading activists thoroughly realised that in the period of transition from capitalism to Socialism, when the class struggle sharpened, it is very important to see and be able to correctly estimate the work of every individual person, and as to whether he is ready or not to take part in building a new whole which has come into life. It is also very important to see how people develop and realise that their further development depends upon the initiative and ideological training of Party activists.
The sharpening of the class struggle, especially in the countryside, demands that the Party organisation ensure that it maintains its activity and that all Party members serve as an example to the broad masses of the working people and continue still further their bonds with the masses.
Much has yet to be done to enhance the ideological and political level of Party activists, of all members of our Party organisation; for without this it cannot carry out the complex tasks set by the Central Committee of the Bulgarian Communist Party. Experience teaches us that where Party members thoroughly master the Marxist-Leninist teaching, the Party organisation is fully alive, displays initiative and carries out its own plans on the job in a really big way.
NEW UPURGE OF SOCIALIST EMULATION IN BULGARIA
Todor Prahov
Alternate Member, Political Bureau,
C.C., Communist Party of Bulgaria
Chairman, Central Council of the Trade Unions of Bulgaria
In their efforts to accomplish the tasks set by the Sixth Congress of the Party, the working class and the working people of town and countryside are launching a socialist emulation drive to raise labour productivity, since production is labour, as V.I. Lenin taught us, is the most important principal thing for the victory of the working class system.
Our trade unions regard it as their main task to develop, on a mass scale and to the utmost, socialist emulation among the working class and all working people. They support the initiative of foremost workers and clear the way for the new and progressive that emerges, in the course of the emulation movement.
Some months ago the workers of 93 leading enterprises in Sofia and the Sofia Region appealed to men and women workers, construction, foremen and office workers of the country substantially to raise the productivity of their labour and to cut down production costs. This important and highly progressive initiative was responded to by trade unions and over the country as a whole to acquire the character of a powerful mass movement. The scope of socialist emulation in our country is evidenced by the fact that it embraces 85% of the working population, 85% of the workers in the light and food industry and 87% of the transport. Increasing numbers of people in other branches of the economy are taking part in socialist emulation.
One of the leading enterprises in the country, the Central Bark Mars Sosa Factory which fulfils its production plan with honour, is this explained by the fact that the Party, trade unions and government, as well as the factory management work to popularise Marxism-Leninism and technology into production. They direct their efforts to greatly improving the organisation of labour raising the technical level and skills of workers and technical specialists, tightening up state and labour discipline and developing the movement of inventors and rationalisers.
With the help of the trade unions, workers in the enterprise are successfully using the experience of both Soviet and Bulgarian innovators. Uninterrupted work all round the clock and high-speed cutting are being introduced in the mines on an ever-wider scale, likewise the emulation drive in transport, the high-speed method of bricklaying, the introduction in building, high-speed metal-cutting in the machine-building and metal-working industries, mass-producing in the textile industry, etc.
The growing number of inventions and rationalisations is evidence of the developing initiative and activity of the working people, whose progress continues to the continuous strengthening of labour productivity. Thus, in 1954 alone, some 22% more rationalisation proposals were carried into effect than in 1953, and the total output amounted to 93 million leva over the whole year.
One of the most important forms of socialist emulation is that of rendering concrete assistance to the working people. The trade union arrange for experienced and qualified workers to assist the inexperienced or new industrial workers. Some enterprises have established special classes for exchange of production experience and courses have been organised at factories and plants for raising the qualifications of workers and assisting them to enter skilled schools based on more advanced production methods are established; they are led by advanced workers. Last year more than 250,000 factory and office workers improved their skill.
There are still grave shortcomings in the organisation of socialist emulation. Some of the heads of trade unions and economic organisations allow the socialist emulation drive to be carried out in a haphazard manner, or do not go deeply into the nature of the innovators' proposals. Not everywhere is emulation organised on the basis of the following indices: raising labour productivity, improving quality of output and reducing costs.
Much valuable time is spent by trade unions in collecting and analysing reports and accounts, and this prevents them from maintaining closer contact with factory and office workers and giving concrete assistance to socialist emulation.
Not so long ago there were serious shortcomings in bestowing titles on leading workers: such titles were often given out wholesale. The Central Council of Trade Unions has decided to put an end to this abnormal situation and retained only the titles of "adarikar" (shock worker), and "best worker" in this or that trade (best turner, etc). The trade unions consider it necessary to lead office worker" on the office desk.
Some enterprises still do not make sufficient use of the opportunities and possibilities for studying popularisation and applying the experience of advanced workers. Not enough is done to popularise the important methods of increasing labour productivity, such as the methods used by such workers to fulfil and overfulfil their production quotas, turn out high-quality products, save material, fuel and electricity and keep their place of work in excellent order.
The working class of Bulgaria, organised in the trade unions, is making efforts to eliminate these and other shortcomings to develop socialist emulation on a mass scale in order to raise labour productivity and thereby strengthen the economic achievements of the second Five-Year Plan—to strengthen still more the economic might of the country and to raise substantially the material and cultural level of the working people.
The Bulgarian people, under the tested leadership of the Communist Party, march boldly and confidently along the path of Socialism. Their labour successes, which grow by day, deny represent a contribution to the common struggle of the peoples of Europe and the whole world for lessening international tension and for peace. They realise that only in the struggle of race and friendship between the peoples of Europe successfully to build the magnificent and bright edifice of Socialism in their country. That is why the people of Bulgaria, people support the Appeal of the World Peace Council for a ban on atomic weapons, wholeheartedly welcome the results of the Soviet-Yugoslav talks and the Geneva Conference and stand, firmly and steadfastly in the camp of peace, democracy and Socialism headed by the great Soviet Union.
Young Italian Communists' Programme of Struggle
Enrico Berlinguer
General Secretary,
Italian Communist Youth Federation
During the four months leading up to the recent XIVth Congress of the Italian Communist Youth Federation, which has 430,000 members between the ages of 13 and 21, lively discussions have taken place during at least 10,000 meetings. Hundreds of thousands of young people, including more than 20,000 members of other youth organisations, were present at these meetings at which their living and working conditions and educational opportunities were keenly analysed. This led to a better understanding of the life, the aspirations and the thoughts of Italian youth, and made it possible for a common programme to be put forward by all young people as the first step towards the solution of the youth problem in Italian society.
At the present time young Italians are in the midst of uncertainty of today and without prospects for the morrow; their hard life depresses them.
Official statistics reveal that there are as many as 150,000 young people in Italy trying to find their first jobs. But it is no easy matter to find work; parliamentary enquiries have revealed that 1,200,000 young people—an alarming figure—are already unemployed.
The life of the young unemployed is really tragic. However those who are working often have a difficult time, and for many years now their conditions have been appalling. For instance, young workers are paid lower wages than adults for doing the same job. A particularly subtle method of exploitation and oppression is that the employers agreements with the employers try to subdue the young workers completely to their will, on pain of dismissal. A hard life of poverty and want also affects the young peasant youth. For instance, the results of investigations in the Bicampana community, announced at the National Conference of Peasants, showed that for 28 out of 34 young people dinner usually consists of bread and onions, while 22 have employment from 10 to 150 days a year only.
The young people's discontent and uncertainty are aggravated by the crisis into which the schools have been plunged during the years of clerical domination.
If our young people are to have a different life the face of the country must be completely transformed; there must be far-reaching changes in the economic and political structure of Italian society, it must be made into a socialist society. Our approach and task, however, are not confined to this: to intensified propaganda and agitation for mass political action. The road to Socialistism runs through day-to-day struggle against everything that impedes society's progress and for Italy, through the implementation of the profound economic and social reforms outlined in our Constitution. An important contribution to this broad activity is the proposal advanced by the Central Committee of the Italian Communist Youth Federation to settle, by means of mass political struggle, the most urgent problems agitating young people. These proposals will form the basis of the immediate future work of the Italian Communist Youth Federation.
The first spoundful of this medicine has already made me feel better.
Drawing by Verdini from the Italian magazine Vie Nuove
mands of Italian society, and its pledges in the struggle for the regeneration of this society.
The Italian Communist Youth Federation proposes the following four points for such a programme:
1. To provide work in industry and agriculture for at least 300,000 young people.
2. To organise vocational training courses catering for not less than 500,000 young people, of whom at least 200,000 should be girls.
3. To establish a unified system of compulsory education, providing free tuition for children up to 14 years of age, based not on the study of Latin but on the achievement of progressive culture and science.
4. To build Youth and sports grounds to be established in each community and in each district.
These proposals must undoubtedly find reflection in parliamentary measures. It is particularly important that they should be made the broad basis for agitation, work and joint struggle among the organisations. We must make clear to all young people interested in carrying out definite measures of the kind we have outlined fully appreciate that this can only be done through a struggle for profound economic and social transformations in Italian society, without a fight for a radical change in the political situation. The struggle is still being followed by the present dominating groups—the Christian Democratic Party in particular. It cannot succeed unless it puts an effective social and political swing to the left, urgently demanded by the present objective situation in Italy.
We must therefore make fight in the front ranks, with all popular forces and with the vanguard and enthusiasm it has so often displayed, for an important demand: to put an end to the present situation, so grave and fraught with imminent danger, and to dismiss the distressing silence of indifference into which the country has been plunged by the political monopoly of the Christian Democratic Party.
This is essential to give a new impetus and orientation to the life of the nation. Youth demands the full restoration of and respect for freedom and democracy, for a policy of reform and social progress, for a policy of peace and national independence.
The swing to the left that we are demanding should pave the way for a rapprochement of all democratic forces working for the country's regeneration, and lead to the revision of the entire foreign policy in order to make it more long run, more independent and more in line with the country's national interests.
The facts show that young people of all political persuasions are aware of the fact that the responsibility for this rests on the present ruling classes. They coincide on the social demands to be advanced and at times their viewpoints also coincide in the search for the political allies necessary for winning them.
That is why, in welcoming every action taken by the young Catholics to explain grim living conditions and injustice, and in noticing their feelings reflecting their desire to regenerate the country, we must appeal to Catholic youth to set aside their sectarian prejudices and make a more open fight for the unity and cooperation of all popular forces. To work for a rapprochement, to mutual understanding and co-operation between the Communist and Catholic world—is this the honourable mission which every young Catholic, every young Socialist, and every young Communist who seeks to make his/her social mission useful and humane, to make it possible for the younger generation to grow up in happiness, should be called upon to fulfil.
An important factor in implementing this political line is our work and that of all our organisations, work that is based on a correct understanding of the class, class-consciousness, fervour and the necessary confidence.
The line we have been following these last couple of years, and in the main, been the correct one. Substantially, our policies have, however, come to light, and are to be dealt with in the poor application of the political line; we have given a biased analysis of the economic and political situation in Brazil since the military coup d'état which a year ago placed the power in the hands of the most zealous agents of foreign monopolies. It appears that the party supports Juscelino Kubitschek and Joao Goulart for Vice-President and expects these two further candidates—Ademar de Barros, who has been nominated for the purpose of splitting the forces—and Tancredo Neves, who are fighting against the threat of a new coup d'état. The party, which represents the fascist and fascist-like generals supporting the coup d'état and is in favour of concessions to Standard Oil of the U.S.A.
The manifesto urges all democrats to develop the election campaign into a powerful struggle for the defence of democratic liberties with a view to bringing the forces which seek to place in power those who support the military coup d'état and to ensure that free elections are held.
It also stresses the victory of Kubitschek and Goulart would mean the defeat of the generals who intend to maintain fascist and military dictatorship, that it would give a fresh impetus to the struggle of the democratic and patriotic forces and lead to rapid and radical changes in the balance of political forces to the advantage of the cause of peace, democracy, independence and progress for Brazil.
Rising Prices
in Latin American Countries
Prices are soaring in the Latin American countries. According to official figures, during the first six months of this year the cost of living in Montevideo, capital of Uruguay, increased by 16% between 1943 and June 30, 1955, its rise by 282.2%. Prices of foodstuffs have soared by 170%, and those of clothing by 100%.
Election Manifesto of the Brazilian Communist Party
In Brazil the President and Vice-President of the Republic and the governors of certain states will come up for re-election on October 3. The central committee of the Central Committee of the Brazilian Communist Party has issued an election manifesto which gives a brief analysis of the economic and political situation in Brazil since the military coup d'état which a year ago placed the power in the hands of the most zealous agents of foreign monopolies. It appears that the party supports Juscelino Kubitschek and Joao Goulart for Vice-President and expects these two further candidates—Ademar de Barros, who has been nominated for the purpose of splitting the forces—and Tancredo Neves, who are fighting against the threat of a new coup d'état. The party, which represents the fascist and fascist-like generals supporting the coup d'état and is in favour of concessions to Standard Oil of the U.S.A.
The manifesto urges all democrats to develop the election campaign into a powerful struggle for the defence of democratic liberties with a view to bringing the forces which seek to place in power those who support the military coup d'état and to ensure that free elections are held.
It also stresses the victory of Kubitschek and Goulart would mean the defeat of the generals who intend to maintain fascist and military dictatorship, that it would give a fresh impetus to the struggle of the democratic and patriotic forces and lead to rapid and radical changes in the balance of political forces to the advantage of the cause of peace, democracy, independence and progress for Brazil.
1. Apologists of International Tension
People generally praise what they like. As far as Mr. Carl Beck is concerned, he likes the "cold war"—the idea of a detente is anathema to him. In an article published by the New York Herald Tribune, he goes to pieces with the conspiratorial strategy of Moscow—an invention of his own—in "every step" made by the Soviet Union. He is scared and annoyed, and the prospect of a strengthening of the friendly ties between the American and Soviet people makes him nervous. He adjures the American public to "go forward." Where to? He himself supplies the answer: Along the road of "dynamic" cold war. For the U.S.A., he declares, the "cold war" is "here to stay." And his desire, he announces, is to stem the powerful tide of revolutionary Communism.
Only a few advocates of the outworn "positions of strength" policy might be mentioned, none could be more candid about their political views as Beck has been. In the U.S.A. the ranks of those opposed in favour of hostility and hatred between the peoples have shrunk to a marked degree—these people are now resorting to other means. In their attempts to disguise their reactionary facts they are going in for all sorts of tricks and devices to belittle the significance of the Geneva Conference and undermine confidence in its success. They are preparing for the U.S. to return to the "cold war" atmosphere just before the UNO disarmament conference opens on August 29 and to show that there is no point in preparing for the Foreign Ministers' meeting in Geneva on October 27th.
A most telling sign is that while millions of ordinary Americans have expressed deep satisfaction at the Soviet Government's decision to reduce the USSR's armed forces by 600,000 men, some of the more rabid supporters of the cold war have begun to spread all kind of rumours about the "secret motives" underlying this decision and its alleged impracticability. This is the line taken by the not unknown U.S. Senator Knowland, who has declared that any relaxation of the anti-Communist measures still in force in certain Western countries will start up a chain reaction of catastrophic proportions.
Knowland's is not a lone voice crying in the wilderness. Others join in the chorus, such as American Federation of Labour President Meany, who advises Americans not to talk about the "achievements of Geneva".
Quite out of step with the times is the New York Daily Mirror, which has come out in support of Syngman Rhee's provocations and openly boasts that its correspondent Drew Pearson, provided the inspiration for the "ballroom curtain" over Czechoslovakia, and that the paper, which boasts 400 tons of leaflets have been dropped within the last four years, leaflets would add, of a most provocative nature.
According to U.S. press reports, it is clear that the U.S. is world tension-worrier, the representatives of big business, who see it as a threat to their arms sales. It is from them, one assumes, that all their slanderous, tendentious and pessimistic comments originate.
An improvement in Europe's political climate and the strengthening of confidence among states obviously goes against the interests of reactionary elements in the U.S.A. The elements which for some years have been eulogising and extolling the "positions of strength" policy renounced and condemned by the peoples, continue their old game. The peace-loving peoples will not relax their efforts and will not allow themselves to be deceived by the Becks and Knowlands and their fellow advocates of the "cold war", the apologists of world tension.
2. The Wall of Shame
Via Marina is one of the finest streets in Naples, twisting and curving around the Bay of Naples, famous for its beauty. However, the postcards and photographs and its smoky cap, of the big hotels and palaces and picturesque street, never portray a certain port, the port of Naples—stacks of the port. But any passer-by or tram-driver will tell you where to find it: "You know the wall of shame?" Just go that way...
Having descended the stairs, we arrive at a scene of devastation. Here, over 450 ghoulish dwellings are built, constructed from old lorry cabins, rusty sheets of old planks and beams salvaged from war-time wreckage. Most of these "houses" are crammed from mud and wooden cases, from cardboard and tin, with old posters and advertisements on the windows.
This desolation of a whole quarter has been built on bomb-damaged land. The shacks either sink in shell-holes or perch on heaps of rubble or refuse. And this place, alive with rats and cockroaches, is inhabited by the poor, the homeless, the soldiers and invalids, port workers and others who live there. The wall, this wall creeping up, stone by stone, day by day, a secret to hide their poverty from the world, and their name is the "wall of shame."
And where are the 385 thousand air-lire which were destroyed in Naples? What has happened to the law providing that dwellings destroyed during the bombings here shall be rebuilt? These questions remain unanswered.
To control all the poverty of Naples hide from curious eyes all the city's slums populated by more than 200,000 Neapolitans who would need to build very long walls indeed!
Nevertheless, even such wall would not conceal the fact that out of the 1,011,019 people of Naples only 291,000 can be classified as employed, more than 28%. The average daily consumption of foodstuffs in Naples is 1,000 lire per capita, whereas the average daily consumption in Rome is 1,500 lire.
|
In Honor of Our Mothers
ST. CHARLES BORROMEO CATHOLIC CHURCH
SUNDAY, MAY 8, 2022
FOURTH SUNDAY OF EASTER
The mission of St. Charles is to spread the life-saving message of Jesus Christ through the Sacraments, Prayer and Service to others.
Bishop Kevin C. Rhoades,
Bishop of Fort Wayne/South Bend
Fr. Tom Shoemaker, Pastor
Fr. James Kumbakkeel, O.S.B., Parochial Vicar
Fr. Daniel Koehl, Parochial Vicar
St. Charles Parish Office
4916 Trier Rd., Fort Wayne, IN 46815
Phone: (260) 482-2186 Fax: (260) 471-2144
Office Hours—Monday thru Friday, 8:30 a.m. - 4:30 p.m.
Church Website: www.stcharlesfortwayne.org
Business Administrator, Robert Carroll
Director of Adult Education, RCIA, Baptisms, Casey Ryan
Directors of Music & Liturgy, Karen Hope and Tim Robison
Directors of Religious Education, Amy Johns and Lisa Schleinkofer
Youth & Young Adult Ministry Coordinator, Stacey Huneck
St. Charles School
4910 Trier Rd., Fort Wayne, IN 46815
Phone (260) 484-3392 Fax (260) 482-2006
School website: www.stcharlesschoolfw.org
School Principal, Robert Sordelet
Asst. Principal, Sr. Genevieve Raupp, OSF
Asst. Principal, Kevin Hoersten
E-mail: email@example.com
© Diocesan
MASSES
Saturday, May 7, Vigil, Fourth Sunday of Easter
5:00 p.m. † Dora P. Villalon
Sunday, May 8, Fourth Sunday of Easter, Mother’s Day, World Day of Prayer for Vocations
7:30 a.m. For Our Parish Community
9:00 a.m. † Living & Deceased of the Rosary Sodality
11:00 a.m. † Barbara Nix
5:00 p.m. † Midge Vodde
Monday, May 9, Easter Weekday
6:15 a.m. † Paul Ehinger
7:30-8:00 a.m. Confessions
8:15 a.m. † Kathleen Shank
6:30 p.m. † Karen Schleinkofer
RE Closing Mass-Mass will be in the gym
Tuesday, May 10, Easter Weekday, St. Damien de Veuster, Priest
6:15 a.m. † Peter Johnston
7:30-8:00 a.m. Confessions
8:15 a.m. † Hugh & Nancy Gerard
6:30 p.m. † Felix & Clementa Barile
Wednesday, May 11, Easter Weekday
6:15 a.m. † Gene Curran
7:30-8:00 a.m. Confessions
8:15 a.m. † Living & Deceased of the Salem Simon Family
6:30 p.m. † Charlene Hartman
Thursday, May 12, Easter Weekday, Sts. Nereus and Achilleus, Martyrs; St. Pancras, Martyr
6:15 a.m. † Living & Deceased Members of the William F. Martin Family
7:30-8:00 a.m. Confessions
8:15 a.m. † Jessica Crismore
6:30 p.m. † Kathy Current
7:00 p.m. Confessions
Friday, May 13, Easter Weekday, Our Lady of Fatima
6:15 a.m. † Deitrick Family
7:00-8:00 a.m. Confessions
8:15 a.m. † Jean Hartman
6:30 p.m. † Charles & Rose Michel
7:00 p.m. Adoration
Saturday, May 14, St. Matthias, Apostle
7:30-8:00 a.m. Confessions
8:15 a.m. † Tony Scatena
Saturday, May 14, Vigil, Fifth Sunday of Easter
5:00 p.m. † Robert Ummel
Sunday, May 15, Fifth Sunday of Easter
7:30 a.m. † Dorothy Pequignot
9:00 a.m. † Joseph Bragg
11:00 a.m. † Margaret Fortier
5:00 p.m. For Our Parish Community
READINGS FOR THE WEEK OF MAY 8
Sun., May 8: Acts 13.14, 43-52/Rv 7.9, 14b-17/Jn 10.27-30
Mon., May 9: Acts 11.1-18/Jn 10.1-10
Tues., May 10: Acts 11.19-26/Jn 10.22-30
Wed., May 11: Acts 12.24-13.5a/Jn 12.44-50
Thurs., May 12: Acts 13.13-25/Jn 13.16-20
Fri., May 13: Acts 13.26-33/Jn 14.1-6
Sat., May 14: Acts 1.15-17, 20-26/Jn 15.9-17
FOURTH SUNDAY OF EASTER
Protected by Christ
Reading I
Acts 13.14, 43-52
(Paul’s and Barnabas’ address to the Gentiles)
Reading II
Revelation 7.9, 14-17
(Rejoicing of the elect of every nation)
Gospel
John 10.27-30
(Words of the feast of the dedication of the temple)
Key Passage: Jesus said, “My sheep hear my voice, I know them, and they follow me. I give them eternal life, and they shall never perish. No one can take them out of my hand.”
Adult: Whom do you try to protect as Christ protects you?
Child: Who helps you feel safe and protected? Whom can you take care of and help feel safe?
Saturday, May 14
5:00 p.m. Extraordinary Ministers of Holy Communion:
Roby Kaufman, Edward Koors, Lisa
Schleinkofer, Linda Schneider, Carolyn Tyndall
(C Carolyn Tyndall)
Altar Servers: Jozlynn Bird, Ronnie Buskirk,
Lorenzo Escueta
Lectors: Donna Kaiser, Robert Vandell
Sacristan: Margo Ldwig
Sunday, May 15
7:30 a.m. Extraordinary Ministers of Holy Communion:
Sean Digan, Margie Stier, Larry & Linda
Wellman (C Maggie Kleber)
Altar Servers: Ryan Eisaman, Joey Gabet,
Andrew Jacob
Lectors: Cece Dunderman, Carol Merkel
Sacristan: Margaret Digan
9:00 a.m. Extraordinary Ministers of Holy Communion:
Tom Ade, John Magsam, Mary Lou Morris, Matt
Smith (C Kathy VandeZande)
Altar Servers: Lily Hilger, Colin Lytle, Jillian
Scherschel
Lectors: Patricia Henry, Deb Wagner
Sacristan: Kate Schweigert
11:00 a.m. Extraordinary Ministers of Holy Communion:
Claudia Crabill, Jerry & Sharon Nuerge, Kelly
Tippmann (C Tes Sanderlin)
Altar Servers: Brenden James, Taylor
Mathews, Maya Rivera
Lectors: Cindy O'Shaughnessey, Matthew
O'Shaughnessey
Sacristan: Julie Weingartner
5:00 p.m. Extraordinary Ministers of Holy Communion:
Jerry Tippmann, Judi Ueber
(2 Volunteers Needed)
(C Volunteer Needed)
Altar Servers: Nolan Hartman, Malachi
Palumbo, Vincent Palumbo
Lectors: Debra Rorick, Nicole Scott
Sacristan: Volunteer Needed
BAPTISM CLASS FOR PARENTS
A Baptism class will be held at St. Charles Wednesday,
June 22, 7:00 p.m. - 8:00 p.m. in the Parish Office
Basement. To register, please call the Parish Office,
482-2186. Next class is Wednesday, July 27.
A NOTE FROM THE PASTOR!
This weekend we remember Mother’s Day. It is a time for all of us to remember the many ways that our mothers have nurtured us and to thank the Lord for that gift. We remember in a special way the mothers and grandmothers who have passed on to the next life. May they rest in God’s hands. We remember, too, all of the spiritual mothers in our lives, those women who have taught us, have comforted us, have inspired us, and have led us closer to the Lord. Be sure to offer thanks today for the women who have made a difference in your life.
This is a big week in our parish. Last Sunday, 91 young parishioners received their First Communion, with another three, a little older, on Saturday evening. On Monday we had our school May crowning. We were able to fit all of our school children in the gym for a beautiful tribute to the Blessed Mother. On Saturday of this weekend, Noah Isch is graduating from the college seminary in Indianapolis and is ready for a summer in Omaha and then four years of seminary in Maryland.
Unfortunately, our big plans for a Eucharistic Procession on April 25, didn’t turn out as expected. After collecting two bushels of flower petals and organizing the monstrance, canopy, relics, bells, thuribles, and dozens of other details, after preparing litanies and song sheets and having our second graders dress up for an exciting event…. it rained. So it goes. Maybe this was God’s reminder that the First Communion Mass is a far more important event.
Renovation, Week 17. Builders still seem to think we are on track for our May 31 Mass. As I write this column, terrazzo pre-poured steps are in shipment. The light fixtures we are awaiting may or may not arrive in time, but we have the idea of substituting some inexpensive fixtures from the hardware store until the expected fixtures arrive.
Today’s picture shows an interesting view of something you will not recognize and will never see again. The photo was taken in the daily Mass chapel, showing the tabernacle liner set in the wall. Our marble tabernacle, (the original tabernacle from the 1958 church), has a brass liner. This photo shows the liner with the marble removed. It is now mounted in the wall and with a hole cut for the second door. It is painted with a water-resistant black coating on the outside. A marble ledge will soon be placed on the stand underneath and then the tabernacle marble will be reassembled around this liner. When finished, we will have a lovely tabernacle that everyone will recognize.
From Tom
MOTHER’S DAY
This Mother’s Day, we give thanks for all women and the many unique ways that they live out the gift of motherhood. Let us remember with gratitude and joy our own mothers, grandmothers, and those women who have been spiritual mothers to us. We pray for hope and healing for mothers who have lost children, for those struggling to become mothers, and those whose hearts long for the gift of children. We ask God to make His presence known to these women through their longing. We pray for mothers, who battle feelings of inadequacy, that they may recognize the gift that they are to the world. Open the eyes of all women to see that they are enough and they are deeply loved. We remember and pray for our mothers who have passed into eternity. We pray for healing for those who have strained relations with their mothers or mothers that have stained relationships with their children. We ask for an increase of all women to recognize and answer the call to live out the gift of spiritual motherhood in our world today. We entrust all of these women to the hands of Mary, Blessed Virgin, and ask God’s blessings upon them this day and always. Amen.
VACATION BIBLE SCHOOL 2022
HAPPY HOLY DAYS
Want to celebrate and learn more about 4 great HOLY DAYS? Join us for Vacation Bible School 2022 and join in learning about the lives of 4 incredible feast days! Vacation Bible School will be held June 13 -16, 2022 from 9:00 a.m. through 12:00 p.m. Registration forms can be found on the parish website under Children’s Religious Education or on the table as you enter the gym. The cost is minimal at $15 per child. Forms and fees should be returned to the Religious Education office by June 3 so the accurate number of supplies will be ready.
Registration and volunteer forms can be found at http://www.stcharlesfortwayne.org/vacation-bible-school.php.
We Hope You Can Join Us!
SPRINGS IN THE DESERT
For Catholics struggling with infertility and pregnancy loss, Mother’s Day can be hard—but there is hope and healing in community! Springs in the Desert is a Catholic ministry that accompanies these women and couples by offering them a place of respite and solidarity where they can know God’s love for them and discover His unique call to fruitfulness. For virtual and in-person events and encouraging blog posts, resources, and podcast episodes, visit www.springsinthedesert.org.
ST. CHARLES MENS SOFTBALL LEAGUE
© The St. Charles Men’s Softball League is looking for two more teams to play in the summer league. Games are once a week, starting in mid-May going until late July/early August. Please contact Alf DeJong, 260-415-5444.
ST. CHARLES FINANCIAL STEWARDSHIP
07/01/2021 - 06/30/2022
May 1, 2022
| Budgeted Collection Needed | $37,500.00 |
|----------------------------|------------|
| May 1 Collection | $36,357.64 |
| This Week | $(1,142.36)|
| Fiscal Year to Date | $(4,616.44)|
SCRIP NEWS
Blessed is the Mother Who Walks with God!
Happy Mother's Day!
In honor of mom, SCRIP is having a
Mother’s Day Giveaway
... this weekend. Place an order of $100 or more May 6th, 7th, or 8th and you will be automatically entered to win a special gift basket from SCRIP.
Help the SCRIP office with our spring cleaning! We currently have over 85 credit statements that need to be picked up. If you purchased SCRIP during the last 6 months of 2021, please check with us for your statement showing the money you earned. Also, if you have old credit statements from previous years that you need to sign and turn in, please do so at your earliest convenience. The money can be used for more than just tuition at any school. You can get a check made out to you ($20 or greater) or you can donate it back to the church, regardless of the amount. You can choose to give the money to the Welcome the Tabernacle Campaign, the St. Vincent DePaul Society, a student’s lunch account, a teacher for classroom supplies, or other worthy causes. Don’t let the money just sit around…turn in your credit statement today!
Check out our order form online at www.StCharlesFortWayne.org/scrip. Call us at 260-969-4027, or send us an email firstname.lastname@example.org to place your order or if you have any questions.
Volunteers:
Mon., May 9 – Classroom Delivery: Jennifer Dawkins
Fri., May 13 – Tom Ryan (sub), Sue Christie, Peggy Keefer
Fri., May 13 – Classroom Delivery: Laura Ijames
Sat., May 14 – Jennifer Hogan, Tricia Lilly, Tom Neuhaus
Sun., May 15 – Deb Brandenberger, Kasey Eckland, Terri Wallace
Help Support St. Charles School!
HASA Fundraiser with Moe’s Taco Kit!
St. Charles will receive 25% cash back for each taco kit sold. Pre-order your meal now for the upcoming HASA Fundraising Event. Order via the link below and pick up your taco kits on Wednesday, May 18, at St Charles. Orders due no later than noon, Tuesday, May 17. Link: https://form.jotform.com/220544149175152
Saints Open Golf Outing - June 3
Bishop Dwenger’s Annual Saints Open Golf Outing is Friday, June 3, at Riverbend Golf Course. Registration is at noon with shotgun start at 1:00 p.m. Please join us for this fun outing by putting together a foursome, sponsoring, donating a door prize, or all of the above! Must be 21 years old to play, or be with a parent/legal guardian. Visit bishopdwenger.com or contact email@example.com for registration information. See you on the links!
Sponsor of the Week
(Stein Auto Salvage)
WORLD DAY OF PRAYER FOR VOCATIONS
SUNDAY, MAY 8
The purpose of World Day of Prayer for Vocations is to publicly fulfill the Lord’s instruction to, “Pray the Lord of the harvest to send laborers into his harvest” (Mt 9:38; Lk 10:2). As a climax to a prayer that is continually offered throughout the Church, it affirms the primacy of faith and grace in all that concerns vocations to the priesthood and to the consecrated life. While appreciating all vocations, the Church concentrates its attention this day on vocations to the ordained ministries (priesthood and diaconate), consecrated life in all its forms (male and female religious life, societies of apostolic life, consecrated virginity), secular institutes in their diversity of services and membership, and to the missionary life.
Continue to pray for Jake Schneider, Noah Isch, Sam Martinez, Jacob Eifrid and Brother Marius Roy as they continue their journey to the Priesthood and Religious Life.
St. Charles Parish Prayer for Vocations
Loving God, you have made us in your image and likeness, and for this we will praise you forever.
As we pray this Prayer for Vocations, we call to mind the priests and consecrated religious whose lives have been instruments of holiness. Thank you Lord for the gift and inspiration each of them has been, proving that your steadfast love endures forever.
Through the intercession of the Blessed Mother and St. Charles Borromeo, we pray to you Lord Jesus, that more men and women will open their hearts to your loving plan. We pray especially for those whom you are calling to serve the church as priests, deacons, sisters and brothers. Help them to hear and answer your call to discipleship.
Bless our families Lord, so that they may become instruments of holiness and peace.
Let us give thanks to the Lord for He is good and His steadfast love endures forever.
Amen
Volunteers Are Welcomed for the Vocation Crucifix.
It’s simple and rewarding. A family or individual will take the Vocation crucifix home for a week and pray daily for vocations! Prayer book is included. Return the vocation crucifix to church the next weekend. A reminder letter will be sent. Sign up book is in the Hession Center Lobby. Volunteers are needed for May and June.
On this Good Shepherd Sunday, we celebrate World Day of Prayer for Vocations. Pray for an increase in vocations to the Priesthood, Diaconate, and Religious Life, that God will raise up good shepherds in our midst. (John 10.27-30)
ATTENTION:
Extraordinary Ministers of Holy Communion, Lectors, Sacristans
DEADLINE IS MAY 16, 2022
The new schedule is in preparation for June 4, thru September 25, 2022, so please submit your availability information via the web terminal, or email at firstname.lastname@example.org. You may also call the office, 484-6570.
College Crew
Mondays 7pm at St. Charles
Bring a lawn chair
5/23, 5/30, 6/6, 6/13,
6/20, 6/27, 7/11, 7/18
Food, Games, Talk, Prayer, Jesus
All college-age young adults are welcome!
Info: stcharlesfortwayne.org/cc
The National Eucharistic Revival is coming
Recent studies have shown that less than 1/3rd of US Catholics believe in the Real Presence of Christ in the Eucharist. Catholics continue to leave the Church not knowing that the living Jesus is present in the Eucharist - body, blood, soul, and divinity.
The Eucharistic Revival is a movement of Catholics across the United States, encouraged by our bishops, with the mission to renew the Church by enkindling a living relationship with the Lord Jesus Christ in the Holy Eucharist. During the Revival, the full doctrine of the Real Presence will be proclaimed through the Truth of our teaching, the Beauty of our worship, and the Goodness of a life of service. The Revival is empowered by the grassroots creativity of parishes and apostolates in every diocese, including ours.
Following the current Year of Preparation, there will be activities at the diocesan level and the parish level, leading to a national Eucharistic congress in Indianapolis.
The Diocesan year begins with a diocesan-wide Eucharistic procession and festival on Corpus Christi Sunday, June 19, 2022, in Warsaw, IN. In the rest of the Diocesan year, Eucharistic formation will be provided to leaders across our diocese, including parishes and apostolates.
In the Parish year, our parishes and apostolates will: 1) evangelize fallen-away Catholics and the unchurched and 2) form practicing Catholics with a full understanding and deep devotion to Our Lord in the Eucharist.
For information and how you or your Catholic group can contribute to the Revival, visit diocesefwsb.org/eucharist or email email@example.com.
St. Joe Christmas Tree Farm
Quality Choose & Cut, Pre-cut & Wreaths
JUDY & MIKE REFFENBERG - PARISHIONERS
"Making Christmas Memories Fun!"
www.stjoetreefarm.com
486-4336 9801 St. Joe Rd.
PARKER TOWING
Local & Long Distance • Light & Heavy
485-5032 485-9014
7544 St. Joe Rd.
Dan Parker - Parishioner
ODANIELAUTO.COM
We’ve Got Your Car!
Over 300 Used Vehicles Every Day!
L & S Alignment - Tune-up, Inc.
“Quality Is Not Expensive,
It’s Priceless”
493-6693
220 Hartzell Rd., New Haven
Steven Jacob, D.M.D.
Parishioner
485-5530
7210 Maplecrest
Premier AUTO GROUP
Get Approved Today!
No Credit Slow Payments Collections Bankruptcy Repossessions Judgements
Lima Road (260) 484-8400
South Anthony (260) 426-2277
www.PremierAutoFW.com
EPCO
INSURANCE | ACCOUNTING | TAX
HOME | AUTO | BUSINESS INSURANCE | LIFE | HEALTH
6010 East State Blvd.
493-6661
Troy Wooten CIC & Linda Wooten, Parishioner
firstname.lastname@example.org
email@example.com
Family DENTISTRY
DRIVING ACADEMY.COM
10216 Coldwater Rd.
(260) 490-7005
DRIVER EDUCATION
Online or Classroom
St. Joe Vision
Martin R. White, O.D.
Mitchell Minix, O.D.
Parishioners
486-8833
6110 Maplecrest Rd.
www.stjoevision.com
Vision and Eye Health Care
Contact Lens Specialist
Looking for Extra Income?
Now Hiring!
Various positions & hours in Fort Wayne and Northeast Indiana
APPLY ONLINE AT www.cioccas.com
CIOLCCA
Cleaning & Restoration
483-2112
STEIN
Auto Salvage
Cash paid for junk and unwanted vehicles
260-615-0273
Lopshire Flowers
2211 Maplecrest Rd.
Georgetown
493-1581
www.lopshireflowers.com
Summit City Roofing
COMMERCIAL
MIKE BLUME - PARISHIONER
Ofc: 441-0425 Cell: 740-7133
Your Ad could be!
Call Brian Morano to find out more
616-894-2821
Plumbing • Heating
Electrical • Sheet Metal
Air Conditioning
Humidification
260-485-3412
6332 Maplecrest Rd. • Ft. Wayne, Indiana 46835
healthmarkets.
Life | Health | Medicare | Long-term Care
HealthMarkets.com/vapias
260-245-3450
Insurance Services Provided by HealthMarkets Insurance Agency, Inc. is licensed to sell insurance products in all 50 states and the District of Columbia. All insurance products are subject to state regulations. Service and product availability varies by state.
Angela Pias
Licensed Insurance Agent
HealthMarkets Insurance Agency
SHAWNEE
Construction & Engineering
www.shawneaconstruction.com
Matt Schenkel & John Schenkel, Jr.
489-1234
LEE’S
Famous Recipe Chicken
— Scrip Sponsor —
Connolly’s
Best
HARDWARE
SCRIP SPONSOR
NEW HAVEN BAKERY
• Weddings • Birthdays • Donuts • Pastries
915 LINCOLN HWY, E — 749-2161 —
Personalized Care and Prevention
Michael F. Barile
DC, PT
420-4400
3030 Lake Ave. * Ste. #26
hoosierpt.com
KNIGHTS of COLUMBUS
YOUR SHIELD FOR LIFE
C: 260.403.6514
O: 260.422.8008
firstname.lastname@example.org
116 E BERRY ST - STE L100
FORT WAYNE, IN 46802
ANTHONY MOORE
RETIREMENT • LIFE • DISABILITY INCOME • LONG TERM CARE
catholicmatch®
Indiana
CatholicMatch.com/goIN
The App for Catholic Life Every Day
www.myParishApp.com
Available for Apple and Android
Your Church is closer than you think...
Visit DISCOVERMASS.com
Bulletin
Directions
Mass Times
Local Businesses
Your bank. For business.
OLD NATIONAL BANK
Call Sarah Strimmenos at 260-310-6714
email@example.com
MemberFDIC
© 2022 DIOCESAN
View Our Parish Supporters at www.DiscoverMass.com
North East Chiropractic Center
Dr. Adam Osenga, D.C.
4332 Flagstaff Cove See Us On Facebook
www.northeastchirocenter.com 260-245-0460
Parishioner Discounts
DINE IN CARRY OUT
Casa Grande Mexican Grill
Carry Out: 260.969.0005 • Fax: 260.969.6664
6035 Stellhorn Road, Fort Wayne
New Location! Dupont & Coldwater Road
Thanks for Making Mi Casa Su Casa
Haffner Paint Co.
2530 N Clinton at Spy Run
Our 100th Year in Fort Wayne
483-0511
Jim & Linda Haffner, Parishioners
Plant Center Garden Center & Nursery
Family Owned & Operated for 59 Years!
Trees • Shrubs Perennials • Annuals
Steve Straessle
432-7370
9431 US-24 West
Love your ride. Protect your ride.
Mike’s Carwash
OPEN DAILY 7 to 9
mikescarwash.com
Six Ft. Wayne locations
Jacobson Photography
Weddings, Senior Portraits, Family Portraits & Special Events
www.jacobsonphotographync.com
Bradley & Colleen Jacobson
5118 Starwood Dr.
260-486-5308
firstname.lastname@example.org
Century 21 Bradley Realty, Inc.
Dan Schneider
Realtor • Parishioner
260-312-1479
DanSchneider.C21Bradley.com
Cosmos
3232 St Joe Center Rd
260-492-6262
9807 Lima Rd.
260-444-4802
Salvatori’s
An Authentic Italian Eatery
Voted #1 Traditional Restaurant
New Haven 2244 McKenzie Dr. 260-748-2057
Ft Wayne 10314 Illinois Rd 260-625-3600
Ft Wayne North 117 West Washington Center Rd. 260-755-0130
Auburn 170 Snitzel Way 260-333-3307
www.SalvatorisItalian.com
Franciscan Center Family Thrift
Your support stays local, to help local families!
260-774-3977
2 Locations North & South
Compliments of Rick & Sally Ley
Trentadue CPA Firm
Tom Trentadue
Tax & Accounting Services for you and your business
email@example.com
482-5750
McComb & Sons
McCombCares.com
260-426-9494
Saint Anne Communities
Faith centered. Family focused.
Available Openings for Residents
For your on site tour call:
260-484-5555
Evans Toyota.com
Chad J. Voglewede
Direct: 260-443-7860
Cell: 260-639-3377
firstname.lastname@example.org
Dignity Memorial
www.dignitymemorial.com
Hockemeyer & Miller
In Times Of Need
485-8500
Casa Ristorante Italiano
Casa Grille Italiane (Northeast)
6340 Stellhorn Rd. 969-4700
Casa Ristorante (Southwest)
7545 W Jefferson Blvd. 436-2272
Casa Ristorante Italiane (Next to the Coliseum)
4111 Parrell Ave. 483-0202
Casa Gille (Northwest)
411 E Dupont Rd. 490-4745
For Advertising Information call:
BRIAN MORANO 616-894-2821
Credo Family Medicine
(260) 4-FAMILY
Private • Independent • Pro-Life
credofamilymedicine.com
Hillside Pools
7677 Maplested Rd.
Fort Wayne, IN 46855
260-627-5580
Bishop Dwenger High School
Citizens of Two Worlds
www.bishopdwenger.com
Culligan
Water Conditioning
484-8668
Drinking Water • Bottled Water
Softeners • Salt Deliveries
Andy O’Rourke & John Wirtner • Parishioners
Specialty What We Do
We provide solutions for complex problems.
www.jhspecialty.com
John Henry III
260-485-5264
The Chevron Group exp Realty
Nate Cheviron
Broker / Owner
260.385.0123
BUY | SELL | BUILD | INVEST | JOIN
Summit Academy Of Gymnastics
482-2511
VISIT US AT: summitacademyofgymnastics.com
Ceruti’s Catering
From 10 to 5,000 People
Wedding Business
Catering At Any Location
6601 Innovation Blvd.
207-2000
Casa Ristorante Italiano
Where care beyond dentistry changes lives!
260.486.9950
Todd P Briscoe, DDS
Dedicated to Patients, Family & Community
BriscoeDentistry.com • 7833 St Joe Center Rd
260-489-4433
Lancia Homes
Parishioner Justin Purdy
www.LanciaHomes.com
© 2021 DIOCESAN
|
Heredity.
"Ex pituitoso pituitosus, ex biloso bilosus
gignitur, ut ex tabido tabidus, et ex lien-
oso lienosus + + + + Semen etiam
genitale ab omnibus corporis partibus
procedit. a sanis sanum, a morbosis
morbosum".
Hippocrates.
ProQuest Number: 27539167
All rights reserved
INFORMATION TO ALL USERS
The quality of this reproduction is dependent upon the quality of the copy submitted.
In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion.
ProQuest 27539167
Published by ProQuest LLC (2019). Copyright of the Dissertation is held by the Author.
All rights reserved.
This work is protected against unauthorized copying under Title 17, United States Code
Microform Edition © ProQuest LLC.
ProQuest LLC.
789 East Eisenhower Parkway
P.O. Box 1346
Ann Arbor, MI 48106 – 1346
Heredity.
During the past few years inquiries at the bedside into the family history of patients have become very general; and in many cases they may be considered almost as essential to a correct and complete diagnosis as the examination of the pulse or tongue.
We may learn from such inquiries not merely what diseases to expect and guard against; but, even if the disease from which the patient suffers be one not considered capable of hereditary transmission, they may elucidate complications and peculiarities otherwise inexplicable; for it is well known how very numerous are the varieties of individual diseases in different constitutions. Their importance does not end when we have explained by them to our own satisfaction certain puzzling symptoms; but they must be carefully kept in view in forming our prognosis, and in mapping out for ourselves a line of treatment. How frequently do we find in pneumonia, for example,
a patient seemingly strong and otherwise healthy, who has been reared under all the hygienic advantages of good food, pure air, and judicious clothing, pass on to death on account of some hereditary taint; while another less carefully reared and to all appearance less fitted to weather the disease, which at its commencement may be as severe in his case as the other, return to work in a few weeks comparatively well, his only primary advantage being a good family history. In such a case as the former our prognosis should be guardedly given, and our treatment should not include an early application to the lancet as it would probably have done had we belonged to an earlier generation; but we should use our best endeavour to save our patient's strength and otherwise assist him to fight with this peculiarity with which we have made ourselves acquainted.
So great is the importance of this subject that there are very few cases indeed in the investigation of which it would be proper to omit a few questions
in this direction. Very considerable tact is frequently necessary to elucidate the required information. The unwillingness of parents to believe themselves capable of transmitting anything injurious to the constituents of their children, or still oftener the desire to hide facts which they consider irrelevant and in no way necessary in the examination of the particular case, leads them to equivocate, and often renders an accurate conclusion a result impossible to be attained. We are accustomed in the consideration of a disease to search for a prime cause; and it is only when we clearly see that from this starting point the result was inevitable under prevailing circumstances that we feel perfectly satisfied. But in actual diagnosis we have rarely a clear conception of all these circumstances; and the primary cause it is frequently impossible to find. Nevertheless, their excitants being equal, we are able by a consideration of family tendency to explain many disparities between individual cases.
Although it is medical men who most commonly have their minds directed to this subject of heredity, it has very great importance and interest apart from its connection with disease. It points to the source of certain admirable qualities in one individual as plainly as in another; it may reveal the origin of some transmitted disorder. A man may receive his keen intellect from the same parent and by the same law as he receives his gout.
A family likeness indeed seems to pervade all nature's works; and it is this which enables us to divide and sub-divide natural objects into classes or groups having certain peculiarities as separating characteristics. The two great classes into which matter is divided are organic and inorganic, each having certain distinctive qualities. The organic consists of organized bodies built according to a definite and generally complicated plan; whereas the inorganic consists of bodies which have no such arrangement.
but are made up of elements in certain proportions and quantities in a fashion capable of imitation and production by man. The organic world again is divided into vegetable and animal kingdoms, its being so classed from certain recognized likenesses and differences in its objects. Vegetables have undergone various classifications by different writers. Some have fixed upon one class of peculiarities which seems to characterize a group and classed them according to their views. Others have, upon sheer grounds, classified them in some other way. There are families and races in the vegetable as in the animal kingdom; but for our purpose it will be sufficient to look for a little for evidences of hereditary transmission in the various races of mankind.
A question at once arises, the difficulty in settling which is as great as it is in itself interesting and important; namely whether it be possible for the existing races, with their separate family peculiarities to have come in direct descent from Adam. If
is believed that Ham was the father of the coloured races, and that from him and his two brothers sprang the whole human family as it is now. At first three persons transmit to their offspring their peculiarities, and by the continued transmission of individual features distinct races are formed each with its characteristic stamp. This view seems to me difficult of belief, whereas the other, that each race has its origin in a distinct and separate creation, would, if it were only scriptural be accepted at once and easily understood. I think there can be at present no question of the permanence of the existing physical types. Nott says that without separate creations the phenomenon can only be explained in one of three ways. First, that it is the result of a miracle; second, that it is from the gradual action of physical change, climate, food, habits, etc.; and third, that it is from congenital or accidental varieties. Dr. Pritchard, in his Physical History of Mankind, gives examples of Jews
Persians, Hindus, Arabs, etc., who migrated and were found a thousand or fifteen hundred years afterwards each to have preserved their original types. He says a sun-burnt cheek is never handed down to posterity; that is to say that acquired peculiarities are not transmitted to the offspring. This is a point which will be considered further on. Some amusing explanations are given of natural differences. For example, it was stated that the round head of the Turk was from wearing a turban, that the Hottentot's small head was from scarcity of food; and Coombe says that the Dutch owe their dulness and phlegm to their living among marshes. Sir Charles Bell is credited with having said that the heavy cloaks of the Englishman accounted for his slender legs; and that the vigorous calf of the French woman was from the absence of side pavements in Paris.
I cannot but believe that until very recently much of our information regarding the various tribes was unreliable,
and that frequently some particular dissimilarity noticed in one or two individuals was given to us as the distinguishing feature of the tribe. That these malformations at I believe them to have been would be common in isolated races we can readily understand from what we know of the results of consanguinous marriages nearer home. Some races are said to be unable to extend their arms or legs to full extension; some have two or more fingers or toes webbed; some no arms, only hands; others no legs, merely feet; in some the thumbs are too short for the arms; in some the back is straight and curved; some have claws, and some races have hare-lip and cleft palate. That a whole race should exist characterised by some such peculiarity I cannot accept as true, but that such malformations are common I readily believe and ascribe many of them to near family intermarriages. Now we can easily believe that a particular temperament or disposition, strongly developed in both husband and wife will be
liable to reproduction and be still more greatly developed in the offspring, destroying that balance necessary to health and ending in incapacity and disease.
However any two races may differ they are capable of fruitful union, and the offspring will bear evidence of the parentage. The Mulatto for example is the offspring of a negro and a European woman, or of a negro and a white man; and it bears plainly the likeness of both parents. The skin is neither black nor white, but of a yellow hue; and otherwise the child shows its parentage by a commingling of the characters of each, or, as in some instances, by having some part of its body strongly resembling one parent and another part the other. One case is reported where the child was very fair like its mother who was a white woman, but showed the likeness of its father, a black, by its right hip and much being as black as his.
How are we to explain this likeness of the offspring to the parent? The likeness
If the child to the father has been ascribed to the mother's mental impressions being sympathetically conveyed to it. But there are three explanations, some one of which is probably true. The general belief is that the ovum matures to a certain extent in the ovary of the mother and requires but a vivifying "aura" from the male parent, when the germ, which would otherwise have perished, develops step by step and carries with it the resemblance not only of its originator, but of the co-operator, who seems from this theory to have so little to do with its production.
Many have justly questioned whether this aura is likely to stamp so strongly as we frequently see it the resemblance to the male parent; and have taken, it seems to me, a less probable view, and one just as far on the mother side of what is probably the truth. They say that the germ is contributed by the father, and that what we call the ovum is only an abode for this germ until, at the proper period, the
shell is broken, and development in this sphere comes to an end. At first sight we should say, arguing as formerly, why does this production resemble its maternal parent so forcibly if she is only the cradle for its nurture? But this we could explain from its intimate connection with her during the period of maturation, receiving as it does from her its food, and suffering as we know with her the consequences of sometimes slight mental emotions.
In the most simple subject we often find ourselves struggling through heavy mists after an explanation of difficulties, which when we have found makes us blush that we did not perceive it before, and lament the loss of time that seems misspent. Of the first theory it is said that it is not simple enough. Why does not nature with her universal simplicity complete the whole in one parent when the interference of the other is so slight? Again, can it be possible that this "breath" can stamp
the shape of a finger maid or give the offspring a taste for music? The second explanation is a very beautiful one.
It is this: Malitte's father supplies the germ while his mother provides for its development; Malitte's germ is created in him and reaches a certain stage of maturity but remains at this stage unless provided with a harbour and food for its development, which only the mother can supply. It is impossible by the most careful examination to demonstrate the existence of this germ; but what I believe its nature to be I will explain when I have finished the consideration of these two theories. We can, however, see the cradle in which it is received and nourished; and soon after it has received the paternal germ, according to this theory, its character is obviously changed and in the centre of the brain is visible the developing germ of the offspring. Although in the human species our opportunities of observation are few for the elucidation
If this subject, we can with great interest and benefit study the subject in some of the lower animals and vegetables. No better example of the development of the embryo can be shown than that of the hen egg; and in the first place I would say of all that so far as we know there is so little difference between it and the human ovum that we are justified in arguing from analogy that what takes place in the one takes place in the other also. We find that there are eggs which although placed under the most favorable circumstances for hatching remain without any appearance of fetal development; while others after a few weeks warmth have their coverings broken, and from their interiors emerge the young as far advanced in growth and development as there was food and space within the shell to allow. In other words there are eggs which are fertile and eggs which are barren, the difference being that the eggs which are capable of producing young have come
under the influences of the male parent, the mere haven't. One
theoretical would say that the vivifying
aura of the male parent had awakened
to life the germ of the ovum in the
fertile egg, while no such influence
had extended to the mere. Another
theoretical would say that there was no
germ at all in the egg that was
barren, and that the most necessary
element to reproduction had not been
contributed by the male.
So in vegetable life we find
that it is necessary for both parents
to take part in the production of new life. No plant is really self-
produced. We find the male and
female existing in different relations;
but their existence and connection
are necessary before they can reproduce
themselves. They exist sometimes in
the same flower, sometimes in different
flowers of the same plant, and sometimes
in different plants entirely. But
for the preservation of the species nature
have beautifully arranged that they shall come together even under what often seems impossible circumstances. Certain it is that whether it is all necessary that the pollen should give a vivifying aura to the ovum, or that the ovum takes the pollen or its essential part into its interior, they must come together, else the seed which would otherwise produce in all its beauty a plant bearing the characters of its ancestors, would shrivel and die.
The third theory explaining why both parents are required in our production has been advanced within the last few weeks by Mr. Edw. Cox, S. L., F. R. S., and I must confess myself a convert to the view, explaining, as I see to my mind, points which seem inexplicable by either of the other theories I have mentioned. These points are the hereditary transmission of parental peculiarities, chiefly those of the father; and, secondly, the limit to prolific intercourse in divergences from the original type. Mr. Cox's theory is
New, that organized structure is produced by the junction of two germs, one being supplied by each parent. That the female parent provides the food and calcification is admitted, but more than this, it is contended that she supplies a germ which by some mysterious affinity connects itself with the germ contributed by the father, and this junction is the beginning of the embryo. Now we can readily see why the offspring should resemble either or both parents; why the peculiarities of the father are equally represented with those of the mother. This theory will also explain the symmetrical arrangement which pervades every animal or vegetable.
It will be said that we live if the offspring would resemble the father and the mother themselves; the child of a negro by a European would perhaps have one side black and the other side white. We know, however, from actual dissection as well as from the result of experiments by galvanism, that the nerve centres of the one side send nerves to the other, and we
can thus understand why it is that the characters of the parent are blended in the double germ from the nervous system, thus interchanging. We cannot find in vegetables anything like nerve fibres, but most of us believe that there must be something to represent them; for we have beautiful illustrations of sensation and motion in many plants. This substitute for the nervous system must interchange its influences the one side with the other as I believe it to do in the germ of the animal. Would not this commingling of characteristics derived from each parent produce a child whose qualities occupied exactly a middle position? No doubt the germ bears the stamp of both parents; but as the nerve force in some particular direction is stronger in the one parent than in the other, the offspring is most forcibly stamped with that character which predominates in the one or the other. Thus we explain how the simple father may have a clever son, and a gentle mother a passionate child: "I shunt sin," says Miranda in The Tempest.
"to ninth but mostly if my grandmothers' good wombs have born bad sons". No doubt the character of the germ is considerably changed also by its residence within the mother, hearing as it does so close a relation to her and receiving from her various visible sometimes after its birth of having been affected by her emotions. It is in the mental powers chiefly that a child bears resemblance to its parents; and this from the fact that it is the character of the nerve system of the parents that is transmitted to the germ. This germ is, I consider, a minute object containing the nerve skeleton of half the future embryo; this nerve skeleton bearing probably all the characteristics of the parent who supplied it, as a bud from his or her nervous system.
These germs must bear a certain hybridism resemblance to each other before they will unite to form one body; and so we cannot have beyond a certain limit fertile
The germs of the horse and the dog are not sufficiently unlike to be repellent to each other; but the germ of their offspring, the mule, is not sufficiently like either to join in forming an embryo. This is the explanation of hybridism, and the only one, it seems to me, capable of satisfying the mind; but it would entirely exclude the possibility of certain kinds of monsters which sometimes we hear of, bearing a likeness to two distinct kinds of animals. We know, however, that within certain limits Nature's laws seem frequently transgressed, and congenital peculiarities are by no means congenital uncommon. "While we find cause" peculiarities. Says Dr Holland "if wonder at the extraordinary transmission of resemblances from parent to offspring, we must admit the equal wonder that there should ever be deviations from these likenesses. The one is in reality as great a miracle to our understanding as the other". Such deviations are doubtless much more common than
many of us believe. When we reflect that it is only such as are very obvious malare likely to come under our notice, we must admit that the existing number of these deviations must be very large. Indeed I question very much if a large majority of mankind have not something of this sort which could it be known would serve to distinguish them more or less from their fellow-men. It might be a mole, an almost imperceptible capillary nevus, such as I have seen, or some mere slight divergence from what we consider natural; nevertheless decided, a congenital peculiarity as a six-toed foot, which might in some cases be the only existing difference between one particular individual and the generality of mankind. I think there is no doubt that congenital peculiarities are most common when either or both parents are in a not very sound state of health; but more consideration ought to be paid to the strange accounts we hear in connection with certain maternal
impressions acting upon the fetus in utero. Many women are inclined to smile at them, but belief in what are generally considered among the profession "old wives' tales" is becoming more common, and some of them are certainly extremely interesting, although popular ignorance has no doubt led to exaggeration in them.
The nervous system seems to be responsible for these peculiarities; but how the maternal impressions are communicated to the child through a nervous connection such as the umbilical cord is believed to be appears mysterious. Could we discover nerve fibres as well as blood vessels in the cord then the great difficulty would be explained; but in their absence, if they are absent, we are driven to the belief that the maternal blood transmits these impressions to the foetus. One writer on the subject, Mr Clapperton, suggests that possibly nervous communication may exist in some unexplored region such as the vaso-motor nerves. The same
writer, speaking of the great resemblance which the ovum in its early condition bears first to a fish, then to a reptile, then a bird, and lastly a mammal, thinks that anything arresting the development at any one of these stages may give the child the appearance of any one of these animals. I consider this most improbable, and while admitting that these impressions alter in some way the fetus, I am of opinion that such resemblances as we are sometimes told of are more generally mental illusions of the observer than well defined existences; and that the observer, as Dr Lee says, forces the resemblances to suit the theory. No doubt many of these abnormalities would have occurred had the woman never had a fright. It is generally believed that a sudden impression is not sufficient to cause the change; but that continued brooding over the subject, in relation to the pregnant condition, is necessary to produce it. We know, however, that the incident explaining the occurrence which is afterwards
Observed had sometimes taken place before the mother was aware of her condition, rendering any mental dread of such a thing impossible. A story is told of a dog whose pups bore a strong resemblance to a cur which it had seen shot just before it had connection with the father. The pups, the cur having never had contact with the mother.
It is generally understood that these abnormalities occur in the early months of pregnancy, but in the case of the bitch just related it occurred before pregnancy although immediately before it.
The women too must be women of peculiarly impressionable organizations, for we know diseases where serious frights with weeks or months of thought or apprehension have produced nothing of this kind. Dr. Lee asks if it might not be that certain emotions affect certain organs of the foetus, as we know they do in ourselves; and he quotes from Dr. Peacecoxe
who says "The occurrence of accidents and strong impressions upon the mind of the mother are also supposed to tenduce to the irregular development of the offspring, and in many cases such causes appear to have operated. In several instances which have fallen under my own notice the mothers of children labouring under malformations of the heart have assigned the defects in their offspring to strong mental impressions and shocks which they sustained during pregnancy; and there seems reason to believe that such causes by deranging the maternal and indirectly the foetal circulation, might produce the effects." Here is an interesting point, we should naturally expect, and we find it to be true, that when the cause of fright in the mothers is of a moral character, the abnormalities of the children are of the intellect and these cases are extremely common, although difficult to cite instances as the intellectual derangement has observed until the children have reached ages
which we can judge of their mental capacity. Independently of the cause just mentioned, maternal influence, there are others which I shun to name as likely to influence the parents sufficiently to account for degeneracy, at least, in the offspring; but why it should in any particular case take one shape, and in another another shape, is as inexplicable now as I fear it will remain forever. It has been questioned whether any acquires peculiarities in the parent of their own constitutional character only be transmitted to the offspring; and although it is difficult to explain, it sometimes seems to be the case. Acquired constitutional diseases are, unquestionably, so transmitted, as we find so frequently in syphilis, but it seems that accidental non-constitutional characteristics occasionally affect the offspring. There is an instance of a father of three healthy children who received an injury which necessitates the amputation of a limb. The next child which his wife bore had the corresponding limb
Shorter and weaker than the other. This might be from the mental impression of the mother being sympathetically conveyed to the child, but it is certain that these occurrences are extremely rare and might almost be looked upon as peculiar coincidences.
The continued increase of crime and suicide, the precocity of young criminals, certain formations of skull, physiological resemblances in the criminal class, the increased number of lunatics in the country, the relative increase of certain constitutional diseases and nervous affections are spoken of as points to be considered in judging of the correctness of any suspicion of degeneracy in our race; and the most common causes of such degeneracy I will now mention.
(1) Toxemia. The impressions made upon the parents by the influence of poisons are transmitted to the offspring, for as the poisons decrease the procreative power of the father so do they diminish the vital standard of
The child. "No man," says Morel, "is the vice of alcoholic abuse hereditarily transmissible, but it also frequently leads to insanity in the offspring of the drunkard and where dipsomania has been transmitted its cure is generally impossible." I should like to give one instance of hereditary dipsomania cited by Morel.
The great grandfather was a dipsomaniac and the first generation was characterized by its excesses, immorality, depravity and brutishness; the second by hereditary drunkenness, mania, and general paralysis; and the third by sobriety, not to say, but hypochondriae, hypomania, homicidal tendencies; the fourth by feeble intelligence, mania at sixteen, stupidity running on to idiocy, and to a condition involving extinction of the race.
We must expect, and we find, similar results from the use of opium and such narcotics, when habitually used, but chiefly from alcohol; and when both parents are in the habit of resorting to them can
we expect otherwise than that they should have an unhealthy generation. Successful one whose functions were generally kept suppressed or perverted by the habitual use of some such poison. (A sanis sanum; a morbovis morboeum.) Malaria acts in a similar way by depressing the system which is exposed to its influences; and a tolerance of it seems to be gained by long experience, as in the case of these other poisons.
(2) Epidemics have a similar character and influence upon succeeding generations, the only great difference being that we cannot to the same extent avoid their influences although our increasing knowledge of sanitary laws will to a large extent suppress their hurtfulness.
(3) The Town System acts also in decreasing the vigour of our children, and our children's children, from the deficiency of air in many of our dwellings, as well as from its inferior quality, incorporated as it is with the
Smoke inseparable from all large towns. Add to these, hurtful occupations, improper or insufficient nourishment, great immorality, or wretchedness, and crime, and the town system will be seen to possess few of the qualities likely to improve the mental, or physical character of our future generations.
(4) Consanguineous Marriages. There is another reason given to explain many divergences from health in the offspring of seemingly healthy parents; it is most frequently met with away from large towns where a few families seem to be separated from the rest of mankind in some lonely village. I mean the hurtful influences of consanguineous marriage. This subject of consanguineous marriages is so closely connected with that of heredity that the consideration of the latter would be incomplete without some reference to the former. The subject is a very difficult one from the fact that we can only be guided by statistics,
and there are so frequently fallacious. It will be well to look for a little to plants and the lower animals to see if anything can be found in regard to them which may help us to a proper understanding of the subject. Sprengel, a German botanist, pointed out one variety of plant whose pollen could be carried by the wind from one flower to another in consequence of its light, powdery character; and another whose pollen could only be carried from flower to flower by insects owing to its heavy, glutinous character, and that in this case the pollen could only be applied to the stigma through such a medium. The most important fact to my mind against consanguineous marriages from his view has been supplied by Mr Darwin, and Professor Earnest Fairire of the Faculty of Science, Lyons, has also written upon the subject, showing that although in some flowers both stamens and pistil may exist, any attempt at fertilization between them ends either in degeneracy in the character of the
seen, or is entirely unfruitful, while neither the pollen nor the pistil is in itself unsound or incapable of healthy reproduction. It is only necessary that the pollen of one flower should reach the pistil of some other flower of the same species and the desired result ensues. The purpose seems to be the prevention of the continued propagation of individual characteristics; and Professor Dickson, in an Introductory Lecture delivered to the students of Glasgow University, expresses his opinion on the subject. Speaking of propagation by gemmation he says: "How may very naturally be asked how or why, with this simple and apparently non-injurious method of propagation does there exist the more complicated arrangement of sexuality. The reason or use it seems to me is not far to seek. The avoidance of self-fertilization and the facilitation of cross-breeding so manifest, for instance, in the vegetable kingdom, really amounts to, or may be expressed in other words as the avoidance of the
perpetuation, and favouring of the dilution of individual peculiarities. The function of sexuality therefore seems to be to keep up an average tone or quality in the species; and by dilution of individual peculiarities to eliminate possible sources of evil on their appearance; and if I am right in this opinion it is quite evident that in the practice of consanguineous marriages the special end or use of sexuality as such would be frustrated, for instead of dilution we should then have not merely perpetuation but probably exaggeration of individual peculiarities; and if these partake, as they but too frequently do of the nature of constitutional defects could hardly fail to be injurious.
Domesticated animals have been pointed to by one party as giving proof of surely the innocence but the first results to be derived from what is called breeding in and in. In England cattle breeding has arrived at great perfection; and although I believe they often put father and daughter, mother
and sin together. The general impression is that this can be carried too far and will ultimately end in degeneration. "La consanguinité élève l'hérédité à sa plus haute puissance; elle est favorable si les producteurs sont bons, nuisible, au contraire, s'ils sont entachés de vices héréditaires, qui se transmettent à leurs descendants avec d'autant plus de certitude que les parents sont eux-mêmes plus rapprochés par liens du sang." But we cannot forget that just as too far east is west so too much good is bad, and it is often said of the English race horse that when there has been this interbreeding its foal has not its father's strength. Many of its admired qualities arise from its nervous irritability, and the system tends to produce degeneracy in its vigor and power of propagation. Much might be said on both sides, but those who defend the innocence of interbreeding seem rather to criticize the statements produced by those who hold the opposite view than bring forth facts for themselves. There are a few cases recorded by them, however, which are worthy
notice. Bourgeois says of his family that there has been 68 unions, all of them consanguineous and no evil results. Sequin gives a history of 10 consanguineous marriages in which no single deformed or infirm child can be shown. Lagneau cites the case of two families in which there has been 8 intermarriages in 87 years whose descendants are still sound and vigorous. An interesting case is recorded by Dally (a strong supporter of the innocence of these marriages) of the family of one of his pupils. During the period of 150 years 5 generations of marriages had been consanguineous. The degree of relationship never reached beyond that of cousins-german, except in two cases where the daughters of cousins-german married their uncles. The total offspring was calculated at from 120 to 140 and in that number there was not one deaf-mute or idiot or one suffering from any disease which could be considered the result of the
marriage. Only two, who were females, died from phthisis; one only was demented, and not until the age of 68 years, three years previous to death. No diathesis except the rheumatic belonged to any single one, and the number of offspring was the more surprising as a great number became priests. These facts are of much importance as showing that under certain circumstances these unions are innocent; and whole villages are pointed to as demonstrating their harmlessness. Partisans of the other view also point to villages which they think prove as clearly their side of the question. Many facts in this way are interpreted differently by the opposite sides, and turned to strengthen their respective cases. Statistics seem the only source for real information, and the question to be solved is whether they show that certain infirmities are more numerous after such alliances. It seems clear that such alliances do not
invariably produce evil results; but this is all that the supporters of our view have demonstrated. They have certainly not shown these unions to be desirable or worthy of encouragement. Boudin computes the number of consanguineous (non-consanguineous) marriages in France at 2 percent, but it is difficult to rely upon this though it is the very foundation of our research. We find Mers stating it to be as high as 25 percent and even 30 percent; and Dr. Arthur Mitchell gives it as one to two or four. This point could be settled by compelling persons when they marry to tell the registrar their relationship, if any existed; and through the registrar's figures we should get at the number. If this point were fixed how should we proceed in our investigation? Should we examine from the parents to the children or from the children to the parents? If the former the difficulties are insurmountable. How could we get
to know with accuracy the hereditary diseases they possessed before marriage, and the state of health of their ancestors; how many miscarriages had the female had and the causes which produced them; how many children had died and the correct causes of death? Again, in supposing we found the family healthy how are we to know that some infirmity may not appear in some future generation? Suppose the parent is free from hereditary disease, may not the infirmity attributed to consanguinity arise from some other cause—her mother's emotions, such as I have before mentioned, or affections of the mother and child during gestation? We must exclude all possible influences other than the intermarriage before we can accept Mr. Hambleton's method of examining from children to parents is much more easily conducted. We start
with an unknown person and inquire if his parents were blood relations; but the great difficulty again arises, as to whether the infirmity is not produced by some other cause, probably hereditary transmission. Deaf-mutism seems to be a common consequence of these alliances; and Bondin found that of 95 deaf-mutes 19 had parents already consanguineously related. Professor Dickson, quoting from Dr Arthur Mitchell gives the following results: of 411 idiots and imbeciles there were 98 whose parents were thus related, 42 the offspring of first, 35 of second, and 21 of third cousins; thus showing that the nearer the relationship the greater is the risk. Of 544 deaf-mutes 28 were from related parents. Bondin points to the Jews also to support his theory of the hurtfulness of intermarriage. He says that this is why they have degenerated and that it accounts for the
greater prevalence amongst them than amongst Christians, of deaf-mutism and dementia. Dr Liebreich speaks of the prevalence of deaf-mutism amongst the Jews of Berlin and of what is called retinite pigmentaire, ascribing the greater prevalence of these to consanguineous marriages. I have thus endeavoured to show the difficulties surrounding the subject, but we can at least come to this conclusion that it would be very desirable, until the innocency of these marriages be satisfactorily proved which I believe will never come to pass, that they should not be contracted as there is the strongest reason for believing that the effect upon descendants is in-primis.
I now come to the last part of my subject, that of hereditary diseases; and the number of these is very large. I will enumerate the most important of them; and as it is impossible in this essay to conconsider each separately. I will choose that which seems to me best understood as an example and speakful as typical of the character of the rest. The most important diseases usually considered liable to hereditary transmission are Scrofula, Phthisis, Cancer, Insanity, Epilepsy, Apoplexy, Asthma, Dropsy, Scurf, Rheumatism, Quinsy, and Syphilis. No doubt there are others, but these come most commonly under our notice. The disease itself however does not always appear in the offspring in the same manifestations as in the parent. For example, we find epilepsy in the father and, it may be, insanity in the child; or hysteria or some other nervous affection. Nor do we always find it appear in the immediate offspring, but, missing one generation, it may appear in the next. This is particularly noticeable in cancer.
The example which I want to chose is syphilis, as the disease which at least
by myself is most commonly under observation and the hereditary character of which is often most painfully obvious. Although we can obtain the matter which contains the syphilitic poison we have not been able to distinguish its essential principle. Still we know that this being introduced into the blood undergoes some change more or less slowly, which ends in manifestations that are spoken of as secondary; the local result of the inoculation being its primary phenomenon. The tertiary symptoms appear still later on in the disease.
It is however the appearance of the disease in the offspring that I would speak as serving to complete my subject of heredity. There can be little doubt that the blood is the part of the system whence the poison is derivable; and that the body, nourished by this blood or any secretion or excretion the body carries with it a diseased taint. Some have spoken of a
peculiar appearance of the blood corpuscles in persons affected with this disease. Although this may be so, it does not constitute a reason for believing that the poison is lodging here more than in any other part of the body, but is simply the result of the action of the virus, which may show some other manifestation in some other part of the body simultaneously or afterwards. The mother whose system is saturated with the disease will almost necessarily produce children similarly contaminated; or the father having a syphilitic constitution will contribute to the foetus his disease, whence the mother also will become affected as we can easily understand from their intimate connection. One parent being perfectly healthy will no doubt greatly counteract the evil influence of the other. A healthy widow may, by a second healthy husband, bear syphilitic children from the hurtful
influence of her first husband; and Professor McLeod has told us also that a healthy woman falling with child to a healthy father may have this child syphilitised by her future connection previous to its birth with a man suffering from the constitutional disease. No doubt many diseases of the same character can be communicated in obedience to the same laws. Sir Thomas Watson, speaking of the impossibility of communicating phthisis by contagion says "A wife watches the deathbed of her consumptive husband and presently Smith herself becomes consumptive, and there may be no traceable or acknowledged example of serpulid in her pedigree. Yet her latent diathesis may fairly be presumed to have existed. Very few families are perfectly pure from a strumous intermixture." Surely it is not necessary to assume the presence of any such predisposition.
in the case of this woman for as we have already seen a syphilitic father can transmit the future communicate the disease to the mother I think we can with equal correctness explain such a case as this in the same way.
I have shown how one generation communicates its likeness to the next; how individual peculiarities are propagated or subdued; how the sins of the father are visited upon the children in the form of diseases which personally they had as little hand in contracting as they have power to prevent. I have shown how grave men ought to consider their responsibilities, since the consequences of any indiscretion may not only fall upon themselves but upon those whom most they love and be a source of heart-rending regret in after-years.
|
Mean Reversion and other Misconceptions about Profit Margins
Aggregate Profit Margins Are the Product of Complex Economic Processes; Their Behavior Is Neither Random nor “Mean-Reverting”; Nor Are They the Outcome of a Class Struggle
* From a January 2016 client memo
Myths, Misstatements, and Misunderstandings
From 2012 through 2014, the widest U.S. corporate profit margins in many years caught the attention of everyone from investment strategists to religious leaders. Unfortunately, the abundant public attention did not lead to enlightenment but to the spread of misguided conventional wisdom—both empirical and conceptual—concerning aggregate profit margins. In this case, what investors don’t know can hurt them.
One common myth is that corporate profit margins have achieved record girth during the present business cycle expansion. This belief has its origins in a popular but seriously flawed statistical hodge-podge purported to represent a profit margin for the entire corporate sector. A much sounder measure indicates that margins are indeed above their postwar average but not exceedingly so, and they have remained below their highest levels of the post-World War II era.
Misconceptions about profit margins arise not only because people look at the wrong measures, but also because most people harbor fallacious notions about what determines aggregate margins and what changes in margins imply. Five of these flawed notions appear in box 1.
None of the statements in box 1 is true. Even when data may seem to back up these assertions, the thinking behind these statements is at odds with the processes actually at work.
Few people understand the behavior and implications of aggregate profit margins because few understand the determinants of aggregate profits, which for over 100 years have been at the center of the economic analysis conducted by the Jerome Levy Forecasting Center LLC and its predecessors in the Levy family. Although the equation for the sources of profits has captured the attention of a number of economists, bloggers, and investors during the past few years, be aware that these individuals tend to struggle to reconcile the implications of the profits equation with long- and closely-held fallacious beliefs about profits. We address some of these fallacious beliefs in this memorandum.
Aggregate profit margins (as well as other aggregate profits ratios, such as the ratio of profits to the market value of corporate equities) are important metrics that help observers understand and evaluate the corporate sector’s profits, but they are not determined in the same textbook way as in a single product market. In the real world, an aggregate profit margin is a derivative of two interacting but in important ways independent variables: aggregate profits and aggregate sales. The
numerator and denominator each have complex determinants. Market mechanisms *distribute* profits among firms and industries, but other, more profound dynamics—the profit sources—determine the magnitude of aggregate profits.
A narrowing or widening of aggregate profit margins signals changes in business conditions, but only through examining the *profit sources* can one determine what is causing a given change. The profit sources are specific activities or transactions with associated flows of funds that account for the difference between the aggregate corporate sector’s revenue and expenses. (See *Where Profits Come From*, a complimentary publication available at www.levyforecast.com.)
**Measuring the Corporate Sector Profit Margin**
Calculating the profit margins of individual firms is a simple exercise, of course, just profits divided by sales (or revenue). One can easily calculate various margins according to one’s purpose—before-tax, after-tax, EBITDA, and so forth. However, calculating comparable profit margins for the entire corporate sector is not so straightforward. In fact, it is possible to calculate only a proxy for an aggregate corporate profit margin from the available data. Moreover, this proxy is distinctly different from the average margin for all corporations in the economy using generally accepted accounting principles (GAAP), which would be calculable if every firm’s data were available. Calculating the aggregate corporate profit margin requires avoiding a number of common methodological pitfalls along the way, pitfalls we discuss below.
The *aggregate corporate profit margin* is merely the sum of all corporate profits over the sum of all corporate revenue, but one runs into serious practical problems when calculating both the numerator and the denominator. Calculating the denominator is problematic because the data simply do not exist. One would need a total of the sales of every corporation, both publicly and privately held. Unfortunately, there is no suitable historical data series on the total sales or revenue of all U.S. corporations. The best available alternative is to use the corporate sector’s gross value added, which is the corporate sector’s contribution to GDP (see box 2). The data in the national income and product accounts (NIPA) *do* provide the total value added by the corporate sector.
(continued on the next page...)
---
**Box 2: Using Corporate Value Added as a Proxy for Sales**
Unfortunately, the federal government’s statistical agencies do not have a measure of total corporate sales including all intermediate sales. The Bureau of Economic Analysis’s NIPA do provide some total sales data, but they (1) pertain to the entire business sector not just the corporate sector (whereas profits are reported only for the corporate sector) and (2) have little historical data, dating only back to 1987 for annual data and 2005 for quarterly data. Another sales measure, the monthly “manufacturing and trade” figure for total sales from the Census Bureau, has a longer history, but it lacks comparable sales figures for total services (including intermediate services) and for the mining and utility sectors’ output, and it also does not distinguish between corporate and noncorporate business revenue. Thus, at present, we cannot calculate margins with total corporate revenue and must instead use corporate value added.
Profit margins using value added as the denominator are good indicators of what is happening to the margins reported by individual firms with four important qualifications. First, margins using value added as a denominator are larger than they would be if total sales data were available, since value added is only a portion of total sales. Second, margins with value added in the denominator have different dynamics than margins calculated with total sales would have if the data were available. The reason is that total sales are more cyclically variable than value added. Third, total sales will fluctuate along with changes in business-to-business sales brought about by vertical integration, while value added is unaffected by the degree of vertical integration. Fourth, value added is a measure of the product of domestic operations. Therefore, it cannot be used against measures of profits that include profits on foreign operations.
Measuring the numerator, aggregate profits, involves problems of its own. At least the government does publish figures for total corporate sector profits in the NIPA. These are the only quarterly measures of profits with both coverage of the entire corporate sector and long histories. Unfortunately, there are a number of conceptual differences between NIPA profits and the profits that corporations report to shareholders. The closest NIPA measure to an aggregate corporate profit margin is domestic after-tax corporate profits, without the Bureau of Economic Analysis’s inventory valuation and current-cost depreciation adjustments, as a percentage of corporate gross value added (chart 1). By this measure, the aggregate margin made a striking recovery in recent years from extreme lows in 2001, but it has remained below its peak in the late 1940s, when the economy was booming after World War II.
The Aggregate Profit Margin vs. What Firms Report
If the goal is to compare an aggregate profit margin to profit margins for individual firms constructed from their reported operating income, one further adjustment should be made. Chart 2 shows our preferred profit margin for the aggregated nonfinancial corporate sector, which is the NIPA profits measure with concepts most similar to operating income reported by corporations as a percentage of the value added by the nonfinancial corporate sector. This is the best NIPA profit margin measure to use as an indicator of corporate margins as seen by managers and investors. Like chart 1, it shows profits above their long-term average, but below their postwar peaks.
Most of the differences between NIPA profits and profits that businesses report are manageable in one way or another, but not the vast differences in financial sector profits between the NIPA definition and the GAAP that govern how managers and investors calculate financial sector profits. Simply put, NIPA financial sector profits often look nothing like GAAP profits; they are fundamentally different measures. The NIPA were designed to measure economic activity and income flows related to that activity but not to reflect changing values of assets, capital gains or losses, or write-downs for unusual charges (such as restructuring). Thus, the Bureau of Economic Analysis expunges capital gains and losses when calculating profits in the NIPA. However, many financial institutions report trading gains or losses as a major component of their profits.
Another sometimes sizable item on bank income statements is adjustments to loan loss provisions, which are treated differently in the NIPA measure of financial sector profits.
Gross value added is also a particularly poor proxy for sales in the case of financial corporations. First of all, the NIPA include the activities of the Federal Reserve in financial corporate value added data. Second, value added includes a number of imputations for financial services furnished without payment to depositors and borrowers, which are obviously not contributing to corporate revenue on financial statements.
The incompatibilities between the NIPA and financial reporting concepts of financial corporations’ profits and sales are too great to ignore and too difficult to correct. The best way to cope with this problem is to leave the financial sector—as important as it is—out of aggregate profits and to calculate an aggregated profit margin only for the nonfinancial corporate sector.
Keep in mind that while the measure in chart 2 arrives closest to what nonfinancial firms actually report in their financial statements, it is an aggregate for only the nonfinancial corporate sector. Thus, it can be affected by the distribution of profits between financial and nonfinancial firms. For example, reduced interest expenses paid to banks will not directly impact the aggregate corporate profit margin in chart 1, as the reduced costs for the nonfinancial sector represent reduced income for the financial sector. However, once the financial sector is removed, it is no longer a fallacy of composition to claim that reduced interest expenses can boost the profit margin of the nonfinancial sector. In practice, changes in interest rates and other interactions between the financial and nonfinancial corporate sectors usually do not change the picture much, as can be seen by the fact that the margins in charts 1 and 2 are on the same scale and generally exhibit similar trends.
**The Fallacy of the Record Profit Margin**
Chart 3, purported by many to be the profit margin of the U.S. corporate sector, has appeared widely over the past few years as evidence of record profit margins. Actually, this “margin” is a Frankenstein’s monster construct: *NIPA profits of U.S. corporations after tax, with inventory valuation and capital consumption adjustments, as a percentage of GDP.*
*(continued on the next page…)*
Here are some of the problems with this “profit margin.”
1. GDP includes much beyond corporate value added. It includes the output from all domestic sectors—including unincorporated businesses, not-for-profit organizations, and governments. Thus GDP is currently 1.75 times corporate value added, large enough to produce a much smaller corporate sector “profit margin” than when dividing corporate profits by corporate value added. Moreover, during postwar history, the ratio of GDP to corporate value added has changed considerably, ranging from as high as 2 to as low as 1.65 (chart 4). This changing proportion severely affected the behavior of the profits-to-GDP measure over the years for reasons having nothing to do with profitability.
2. Even if one eliminated all those parts of the denominator that are not related to the corporate sector, there would still be a mismatch between the corporations included in the tabulation of profits and those from which value added is counted. The profits measure in the numerator includes the profits of corporations based in the United States earned either from their domestic or their foreign operations. The profits of foreign-owned operations in the United States are not counted. By contrast, both GDP and value added by the corporate sector are measures of the product of domestic operations, regardless of the nationality of the parent company.
3. The profits measure used in the numerator includes the inventory valuation and capital consumption adjustments, which remove certain inflation effects from profits that businesses do in fact experience.
Our preferred measures of the aggregate profit margin shown in charts 1 and 2 have none of these problems, and removing them does change the historical picture significantly. However, while our preferred measures are probably the best that can be constructed from available data, using value added instead of sales means that they are still only a proxy for the “true” aggregate profit margin. They are necessarily larger, because value added is less than sales; they are seasonally adjusted; and they are based on accounting practices that are not the same as GAAP practices. They should move similarly to the unmeasurable aggregate GAAP profit margin, and they usually serve as a pretty good indicator of whether margins are relatively fat or lean, widening or contracting, and gratifying or disappointing; however, one should never think that they quantify the true share of business sales that is profit.
The Fallacy of Margins Determining Profits, and What Determines Aggregate Profit Margins
Faulty measurement of profit margins is only the beginning of the common errors in the analysis of aggregate margins. Margins are not independent variables that determine profits; rather, margins depend on the composition and interaction of the aggregate profit sources, as defined by the profits equation in box 3. The profit sources reflect the behavior of households, businesses, governments, and foreign trading partners, and these behaviors are influenced and constrained by financial circumstances, technological developments, attitudes, expectations, and other variables. (See box 3 for some quick insights into the profits generation process.)
As go the profit sources, so go profits, and as go profits, so (to a large extent) go margins, since profits can, proportionately, change much more abruptly than either sales or value added.
Fallacies of Mean Reversion and Competition
Treating profit margins as an independent random variable, many people blithely assert, “Historically, margins tend to revert to the mean.” A casual perusal of the historical record shows that margins fluctuate along with the business cycle and that the average margin in any decade can deviate substantially from the postwar average (chart 5). Moreover, margins once remained consistently lower than their post-World War II average for nearly 20 years. This is not the behavior of a simple random variable.
Chart 5 also defies the theory, “Margins cannot remain abnormally wide for long because the excess will be competed away.” Although competition can compress fat profit margins in a given industry by increasing supply and driving down prices, competition does not directly affect aggregate profit margins. The reason is that if increasing competition in one industry reduces prices, profits, and profit margins in that industry, profits will necessarily rise in other industries unless the profit sources change.
Box 3: Macroeconomic Process of Profits Generation
The Aggregate Corporate Profits Equation
Profits after tax = + investment net of depreciation
− personal saving (household saving)
− foreign saving (inverse of current account balance)
− government saving (inverse of government deficit)
+ dividends
A few observations may be helpful in thinking about the economy’s generation of profits as a macroeconomic process, a process driven by decisions made throughout the economy that shape the profit sources.
1. Profits are wealth accumulated by business during a given period of time, which depends on two things: (a) how much wealth (assets that carry value into the future) is created in the economy and (b) how much of that wealth is diverted away from business to governments, households, and the foreign sector.
2. This new wealth is investment net of depreciation, and it includes new buildings, equipment, and intellectual capital less all the wealth lost as these assets depreciate. It also includes additions to inventories.
3. Saving by other sectors—households, government, and the rest of the world—is their accumulation of new wealth.
4. Profits after tax are business’s share of that new wealth before some of it is distributed as dividends.
Investment determines the amount of wealth created in the economy, and the less of this new wealth that is saved by households, governments, and the foreign sector, the more that flows to business as profits.
(continued on the next page…)
To illustrate, let’s consider a closed economy (for simplicity). Suppose profits in the small electric motor industry are high enough to encourage expansion of output, either among current industry firms or new entrants, leading to lower prices, lower profits, and narrower margins in that industry. Now, their customers—such as small appliance manufacturers whose products have electric motors in them—enjoy a cost reduction, higher profits, and wider margins. In this case, competition does indeed reduce margins in the electric motor industry, but it does not necessarily widen or narrow margins in the business sector overall.
Increasing competition can redistribute profits from one industry to another but *aggregate profits will change only if and to the extent that the profit sources change*. In the above example, consider what would happen if price declines are passed on to end users, such as consumers of small appliances. Consumers may spend more on other products, bidding margins wider in those industries, or they may pocket the savings, in which case aggregate profits will fall by the amount that personal saving rises. On the other hand, business fixed investment could rise as small appliance manufacturers, encouraged by the drop in electric motor costs and the improved profitability it implies, pull the trigger on some contemplated equipment purchases, in which case the increase in investment would add directly to aggregate profits. The effects of a redistribution of profits on the various profit sources are largely uncertain and often countervailing, so the net effect may be to raise, lower, or do nothing to aggregate profits and, by extension, margins.
Jerome Levy (1882-1967), the first person to derive the aggregate profits identity, devised an analogy to illustrate how competition, *micro* profitability, and *macro* profitability all interrelate. Imagine a class for school children in which prizes are periodically awarded to students who perform best on various tests and assignments. The best competitors—the smartest, hardest-working, and quickest kids—will undoubtedly win the most prizes, but the total number of prizes is beyond any student’s control. Similarly, firms and industries compete for the profits available in the economy, and the best competitors will profit the most. However, no firm or industry has any control over whether aggregate profits will be high, as during a strong expansion, or low, as during a recession.
**The Fallacy of Corporate Cost-Cutting and the Class War That Isn’t**
Everybody knows that reducing labor costs directly augments a firm’s profit margins and that rising labor costs take a bite out of margins. After all, people see these effects all the time in their own businesses. Labor costs go down, and, all else equal, the savings from this cost reduction go right to their bottom line. So, when labor costs are falling throughout the economy, most people assume that for the entire corporate sector, aggregate margins are widening and aggregate profits are benefiting accordingly. But they are generally wrong. Indeed, *most of the time aggregate labor costs and aggregate profits move in the same direction*: when they do diverge, the reason is far different from that on the micro level.
*(continued on the next page…)*
Attributing increasing aggregate business profits and widening corporate sector margins to falling labor costs is a classic example of the fallacy of composition. Certainly, one firm enjoys higher profits if it reduces its own labor costs because its revenue continues to flow in unaffected. However, if all firms in the business sector cut their labor costs, their revenue would fall as well as their expenses. Less worker pay means less personal income and, most likely, less consumer spending on the goods and services sold by businesses. The extent to which households are willing to adjust their saving—a term in the profits equation—will determine whether aggregate profits and profit margins expand, contract, or change little. (Further explanation and examples of the possibilities are in the appendix on page 11.)
If we consider government’s role, business cuts in worker compensation often do increase aggregate profits somewhat, because part of the reduction in worker compensation reduces government tax revenue rather than households’ spendable income. Thus, a dollar in payroll expenses cut by business reduces household income by the amount of that dollar after tax, say 80 cents, while reducing government saving by the remainder, 20 cents. Even if we assume that personal saving remains unchanged, business revenue falls by only 80 cents for every dollar of expenses cut. Thus profits increase, but only by the amount that government saving declines (20 cents). Again, the key is that profits will only change if and to the extent that the profit sources change.
When business cuts its payroll expense, there can be myriad secondary and tertiary consequences that affect the aggregate profits (and thus profit margins) of American corporations. Thus, while many people believe that slashed labor compensation expenses go right to profits, the actual result may be higher or lower aggregate profits than would have occurred without the pay cuts, depending on how the profit sources change.
Yet, if cutting labor costs does not widen margins, what about the strong inverse relationship visible in chart 6 between profits and employee compensation as shares of gross domestic income? Many see it as clear evidence that lower wages cause higher aggregate profits and vice versa. However, that inference from the chart is primarily a mathematical illusion.
To illustrate, suppose two series have zero correlation. Consider a newsstand in a commuter train station that sells only two items: newspapers and umbrellas. Suppose newspaper sales are pretty stable but vary somewhat according to the day of the week, since there are more shoppers midweek and more commuters taking days off on Monday or Friday. Umbrella sales vary almost entirely according to the weather. The correlation between umbrella sales and newspaper sales would be close to zero. However, suppose we calculate umbrellas’ share of unit sales and newspapers’ share. Lo and behold, the two shares have a perfect negative correlation. (The correlation of two variables of the form A/(B+A) and B/(B+A) will always be -1 as long as B + A does not equal 0.)
Similarly, even if there were no correlation between profits and employee compensation, there would tend to be a strong negative correlation between their shares of gross income since the two together comprise roughly 60% of domestic income. Notice that chart 6 shows a cyclical pattern of inverse correlation; the profits share often rises during expansions and falls during recessions while the labor compensation share behaves antithetically. Actually, both profits and compensation (measured in dollars) accelerate during expansions and decelerate during recessions. The big difference is that the cyclical swings in profits are proportionately greater (and tend to begin somewhat earlier in the cycle) than those in compensation. Thus, profits’ behavior dominates the behavior of both its share and labor’s share of income.
If we look at the data for profits and labor compensation in dollars rather than as shares of income, there is a strong positive correlation because they both grow roughly proportionally over the long term. There is also a positive correlation between the four-quarter percentage changes in profits and compensation (chart 7). There are still plenty of potential issues affecting even this finding (e.g., both profits and compensation reflect inflation), but the fact that profits and labor compensation are positively correlated suggests that the interests of the working class and the capitalist class may be more aligned than is commonly thought. The important point is that one can safely dismiss the popular conclusion that aggregate labor compensation directly influences aggregate profits and margins.
So What Do Aggregate Margins Tell Us?
We have seen that profit margins in the aggregate case (1) do not behave like an independent random variable; (2) do not determine but rather reflect profits, which are determined by the profit sources; (3) are not dictated by competition; and (4) are not a reflection of corporate success in controlling costs. So what do margins tell us?
The answer is: independently, not much. The appropriate interpretation of a given level of, or change in, aggregate profit margins depends a great deal on context—in particular, what profit sources have changed. Judging where margins are headed depends almost entirely on the outlook for the profit sources.
Margin movements often reflect the business cycle, chiefly because profits themselves are intensely cyclical. Profits are useful indicators of changing economic conditions in part because they tend to lead the cycle. Thus, margin expansion can signal that an economy is turning up as profits begin growing faster than revenue. Similarly, margin erosion can signal that an expansion is becoming tired, because profits are likely to turn down well before other measures of the economy. In all cases, changes in the profit sources are what drive the changes in profits, and analyzing the profit sources helps determine whether a change in margins is likely to continue, end, or reverse.
If measured correctly, the performance of the aggregate corporate profit margin reflects fairly well the behavior of the average margin for all individual corporations, and thus it is worth monitoring as a key part of business cycle analysis. In the corporate sector as a whole—as in the case of the individual firm—margins in one period influence business decisions for subsequent periods, thus affecting some of the profit sources and, consequently, future profits.
**Conclusions**
When it comes to conventional wisdom about macroeconomic profit margins, investors beware.
First of all, do not expect margins to “revert to the mean.” A profit margin is not a random variable. Its behavior is complex and sometimes hard to predict, but that does not make it random. Throughout history, when the aggregate profit margin has been unusually far from its historical mean, it would have been unwise to expect it to revert. One would often have ended up waiting for many years, and sometimes for decades.
Second, looking to the future, each step of the way profit margins will depend on profits, which will depend on the profit sources. *Global structural financial issues, public policy, business trends, technology, demographics, sociology, and other influences on the profit sources—and not a simple probability distribution—will determine what happens to profits and profit margins.*
Third, interpreting profit margins depends a great deal on context. For example, recent years’ wide margins have been accompanied by a low ratio of profits-to-equity, which is what ultimately matters to shareholders.
Fourth, remember that the influences on aggregate profit margins are different from the influences on the margins of individual firms. Competition can certainly compress margins within a firm or industry, but aggregate profit margins are not “competed away” in the business sector as a whole. Rather, changes in the profit sources are what increase or decrease aggregate profit margins.
Fifth, in the event of a new wave of corporate wage and salary cutting, do not assume the cuts will be bullish for business.
Wage deflation can mean general deflation, which most certainly is not good for business revenue, profits, asset prices, or debt quality. *While wages are an important factor in determining the profits of a given firm, aggregate wages are not a direct determinant of aggregate profits. Labor-cost-cutting throughout the business sector may be associated with either widening or narrowing profit margins, depending once again on the behavior of the profit sources.*
Sixth, be wary of misconceptions about aggregate profit margins in the realm of public policy. For example, the flawed notion that wider profit margins in the aggregate come at the expense of wages often infects debates on taxes, transfer payments, and regulatory policies. Generally, the owners of capital and workers experience more or less together the improving or worsening of conditions that come with the business cycle. (Incidentally, much of the increase in income disparity reflects differing compensation rates and income gains tied to asset inflation—as opposed to relatively more profits and less worker compensation.)
Understanding aggregate profits and profit margins provides critical insights into the economic outlook. For example, the profits recovery that powered the 2009-2015 business cycle expansion in the United States was not a reflection of corporate cost cutting, as widely believed, but the direct result of vast government deficit spending, which reversed the profits decline in the first quarter of 2009 when the private profit sources were still falling. Although the government deficit eventually shrank as the recovery continued, it has remained historically large and a critical support to corporate profits and, therefore, to the economy.
The many influences on—and interactions among—the profit sources along with the many factors that affect household income growth *simultaneously determine profits, revenue, and margins*. Moreover, since profits are more volatile than revenue, profits are virtually always involved—indeed, dominant—in any major short-term widening or narrowing of aggregate margins. In short, the profit sources determine profits, and profits are the most critical determinant of profit margins.
APPENDIX: Examples of Economic Changes and Their Effects on Aggregate Profit Margins
To demonstrate some of the processes that determine aggregate profits and, therefore, profit margins, consider a rudimentary economy, leaving out the government sector and the rest of the world.
For starters, let’s assume that in this economy,
- The household sector receives $100 in wages (W), spends $90 (C), and saves $10 (S).
- Business produces consumer goods and capital goods. Firms that make capital goods sell them to other firms—gross investment (I)—for $35 in total, but businesses have $15 of depreciation expense (D) for existing capital goods.
Thus, business revenue (R) is made up of household consumption and business investment:
\[ R = C + I = \$90 + \$35 = \$125 \]
Profits = (I – D) – S = ($35 – $15) – $10 = $10
Profit margin = profits/revenue = $10/$125 = 8.0%
**Case 1. What happens to aggregate profits and margins when wages are slashed?**
We asserted earlier that wage cuts do not increase profits unless consumers maintain their spending and take the pay cuts entirely out of their saving. To illustrate, first suppose business cuts wages by 3%, so household income falls from $100 to $97. Further, suppose households still spend $90 and reduce their saving. The effects on profits, margins, and revenue are as follows:
\[ R = C + I = \$125, \text{ unchanged from before.} \]
However, since personal saving is now lower,
\[ \text{Profits} = (I - D) - S = (\$35 - \$15) - \$7 = \$13. \]
Finally, the profit margin = $13/$125 = 10.4%. Both profits and margins improved.
**Case 2. But what happens with that same wage cut if households maintain their saving and cut spending?**
Suppose that, as before, business cuts aggregate wages by $3, but this time households continue to save $10 and cut spending by $3.
Now consumption declines:
\[ C = W - S = \$97 - \$10 = \$87 \]
\[ R = C + I = \$87 + \$35 = \$122, \text{ so revenues are down.} \]
Personal saving stays at $10.
Profits = (I – D) – S = ($35 – $15) – $10 = $10, so profits are unchanged from our starting point (which is in marked contrast to their rise in the previous example when personal saving fell rather than spending). Aggregate margins go up, but only slightly, since revenue fell but not profits:
\[ \text{Profit margin} = \$10/\$122 = 8.2\% \]
**Case 3. What happens if business cuts aggregate wages, but then the household sector (perhaps fearing further wage cuts to come) eliminates a lot of discretionary outlays and actually increases its saving?**
Let’s assume the same $3 cut in wages, but this time households increase their saving from $10 to $13.
Now consumption and revenue decline by a greater amount, $6:
\[ C = W - S = \$97 - \$13 = \$84 \]
\[ R = C + I = \$84 + \$35 = \$119 \]
Profits = (I – D) – S = ($35 – $15) – $13 = $7
Profit margins in this case went down, as revenue declined but profits declined proportionally more.
\[ \text{Profit margin} = \$7/\$119 = 5.9\%. \]
The last three examples have shown profits rising, remaining unchanged, and falling, all depending on household saving decisions. Indeed, wages and the wage cut were the same in all three cases, but only if personal saving fell did profits rise. In all three cases, the change in profits equaled the change in personal saving. Now, one last example:
(appendix continued on the next page...)
Case 4. What happens if business slashes wages but we have a government that replaces some of the household sector’s lost income with transfer payments?
Again, let’s say that wages are cut from $100 to $97, but this time we add a government sector that does nothing but transfer $2 (P) to the household sector, causing a government deficit (Df) of $2. Let’s assume no change in personal saving at $10. Thus income is now wages plus transfer payments, so
\[ C = (W + P) - S = (\$97 + \$2) - \$10 = \$89 \]
\[ R = C + I = \$89 + \$35 = \$124 \]
The government deficit adds to profits, so
\[ \text{Profits} = (I - D) - S + Df = (\$35 - \$15) - \$10 + \$2 = \$12. \]
And margins = \( \frac{\$12}{\$124} = 9.7\% \)
Once again, the change in profits equaled the change in the profit source, this time the government deficit.
What emerges from all of these examples is that for an entire economy, wage cuts do not independently have any specific effects on profits the way they do in the case of a single firm or single industry. For wage cuts to have any positive effect on profits, the profit sources must change—either reduced household saving as in Case 1, or an increased government deficit as in Case 4. And if the profit sources move in the other direction, as in Case 3, so do profits. In all three cases, profits change by the exact amount of the change in the profit source. Although margins can rise if profits remain the same while revenue declines, as in Case 2, the effect is relatively insignificant compared to the examples in which profits changed. In all of these examples, as would still be the case if we had included more complex examples, aggregate profit margins depend chiefly on the behavior of the profit sources, including household saving and the government deficit as we saw above, and also net exports of goods and services, residential investment, inventory changes, and others.
|
#ThisIsNotBaseball: How Angels in the Outfield Might Unfold in the Social Media Era
Al Daniel · Follow
12 min read · 3 days ago
Thirty years later, two social-media savvy sportswriting fans of the film offer their take.
Ranch Wilder’s (Jay O. Sanders) frustration hits the second power when he is strapped for a case to delegitimize George Knox’s (Danny Glover) newfound success that looks less fluky by the game.
After *Angels in the Outfield*’s title team secures its second consecutive walkoff win by drawing a single-play-record 19 errors on the Oakland Athletics, the manager turned play-by-play announcer can only vent, “This is not baseball!”
Meanwhile, the umpires can only inspect the ball that touched every corner of the infield while plebeian pinch hitter Danny Hemmerling (Adrien Brody) safely toured the bases. The extent of their reaction is one amazed whistle, for as unprecedented as this play is, it yields no suspicion.
But keep in mind, as of this Monday, July 15, this Disney screenplay is thirty years old. This was almost a decade before Major League Baseball got actively serious about testing for steroids. It was two-plus decades before the NFL’s Deflategate, and while doctoring was a longstanding practice among pitchers, manipulating the ball for an offensive edge was all but an afterthought.
And this was well before “This is not baseball!” (which Ranch takes care to utter off the air) was liable to become #ThisIsNotBaseball.
If this story were set in the 2020s, you could bank on that hashtag generating a couple-dozen posts rounded up by *For the Win*. Given the product placement *USA Today* garnered in the film (“**HEAVEN ON EARTH!!: Angels in 1st Place!**”), the paper’s digital offshoot devoted primarily to viral social media aggregation since its 2013 inception would show up in any hypothetical update.
Hey, *Mean Girls* just got a remake at its 20-year mark to reflect the rise of TikTok. So as for the hardball highlights of Holly Goldberg Sloan’s family cult classic fitting into the Twittersphere and Metaverse, just ask J.P. (Milton Davis Jr.).
“It could happen.”
“We’d cover all of these moments in the way we usually do for any wacky sports shenanigans,” Mary Clarke, FTW’s associate editor and a committed ’90s kid who never misses a chance to reference *Angels in the Outfield* on her own social accounts, told me via email.
“We do a lot of fan reaction posts, so I’m sure we’d follow the same rules here. Twitter would definitely have a field day with this.”
Starting no later than the All-Star Break, yes. But maybe not so much come the postseason, at least not in-house.
Heather Rule is a freelance sportswriter, another *Angels* aficionado apt to drop a related GIF when the circumstances invite it, and until recently provided in-game social content for the Minnesota Twins.
Assuming Ranch’s underhanded action, other forces driven by new media, or a combination thereof coalesce to push Knox against the wall at the same point — namely, when the Angels are one win away from the pennant — Rule figures the fun would end for the club’s social department around the same time that Boss Angel Al (Christopher Lloyd) stops deploying his divine charges. (“Championships have to be won on their own.”)
“I would probably just need to adjust my tone on Twitter with things like lineup tweets and anything posted from the game,” she said in another email chat. “I would be careful with my copy during that game after the big press conference to make sure not to focus on anything ‘angel’ related. The tone would probably be a little more subdued.”
“Baseballs literally — and I don’t use that word lightly because baseballs were destroyed on their way out of the park. That would raise a few eyebrows and red flags in today’s game, for sure.” – Heather Rule
Naturally, the same protocol would apply to the movie’s first mound-visit scene. With a mid-July 14-game skid bound to roll on to 15, petulant pitcher Frank Gates (Robert Clohessy) impels Knox to take him out by force. An intramural bench-clearing brawl ensues, underscoring the skipper’s desperation for a turnaround.
At the dusk of the last century, that might rile up a few Ranch-like jockeys on talk radio and flash among the lowlight montages on *SportsCenter* and its regional imitators. Otherwise, the Angels’ shadowed status behind the Dodgers in Greater Los Angeles might have spared them excessive
Moreover, their subsequent surge up the standings and in Knox’s mood would bury the preceding ugliness. Fewer digital resources and urges would be available to rehash the Gates incident so easily or often.
Conversely, said Clarke, “Given how wild the media is today, I’m sure that incident would be one of the top stories in baseball. Plus, given the existence of angels is hidden until this incident, steroids probably would be people’s first guess as to what’s going on with the Angels during this time.”
Indeed, precisely four weeks after *Angels* hit theaters, the actual major-league laborers hit the picket line, preempting the 1994 playoffs. Among the subsequent public-relations boosters credited with wooing back estranged fans, the 1998 single-season home-run record rush tends to jut out the most.
Lo and behold, the purported party poopers who insisted steroids were behind the longball buffet turned out to have a point all along. Only then, in the early aughts, did MLB demonstrate any meaningful commitment to cracking down on PEDs, which had long been present and occasionally verbally addressed before.
But the way it was in the mid-’90s, banned substances were as good as nominally so. In turn, within Sloan’s alternate universe, the summer passes without anyone drawing up equations with California’s Knox-snapping loss to the Blue Jays and the nature of their 1–0 win in the next day’s rematch.
Ben Williams’ (Matthew McConaughey) impossible sixth-inning catch would certainly be the envy of all world-class long jumpers. But Triscuit Messmer’s (RIP Tony Longo) sudden-victory blast — the film’s second angel-assisted feat — would have been a definitive PED accusations magnet in this century. A 2015 [College Humor spoof of ESPN’s 30 for 30](https://www.collehumor.com/30-for-30/) — complete with “testimony” by Neal McDonough in character as eccentric pitcher Whit Bass — obligingly touches on that notion.
To everyone’s eyes except the uniquely informed Roger’s (Joseph Gordon-Levitt), it would take unnatural strength for a swing to disintegrate the bat
and make the soaring ball’s back cover flap like a defective storm door clutching its hinges. And that, as Ranch says just beforehand, is coming from a scrappy slugger nursing a skid of 26 hitless at-bats.
“Baseballs literally — and I don’t use that word lightly because baseballs were destroyed on their way out of the park,” said Rule. “That would raise a few eyebrows and red flags in today’s game, for sure.”
At the next game, the clinching ball looks borderline sentient, or at least technologically tweaked in a way that only those behind the doctoring could conceive of yet. Any perplexed bystander might as well have asserted, “That is not a baseball!”
And with Hemmerling being the leadoff man whose first contact swing sets the wacky visual in motion, that ball is obviously the only one used in the half-inning. So it would not be an open-and-shut dismissal against anyone supposing the home team altered it the way grease-palmed pitchers have a readier opportunity to do.
“Since umpires already check pitchers for sticky stuff in the modern game, I definitely think people would cry foul,” said Clarke, “even if (the umps) cleared Hemmerling’s after the play happened.”
Clarke cited a latter-day real-life case from the 2022 playoffs. Her FTW colleague Andrew Joseph recounted the controversy surrounding Padres pitcher Joe Musgrove’s perspiring ears by twice plastering a “paranoid” label on the opposing Mets’ manager and faithful.
The call crew for that National League wild-card series obliged Buck Showalter’s request for an ear inspection and gave Musgrove a clean bill. No different than the officiating quartet’s conclusion at that fictional mid-’90s midsummer Angels-A’s contest.
But to that point, no nothingburger ruling will quiet any partisan foul detectors these days.
“There’s no doubt people would call shenanigans with the ball bouncing strangely,” Clarke concluded.
On the other side of the ball, aging pitcher Mel Clark’s (Tony Danza) right arm has an equivalent instantaneous flip from frozen to searing. After Clark’s lights-out debut back from the DL — as a last-minute insert, no less — the bitter broadcaster is really upping a brow. As Knox cuts off the postgame interview to go chauffeur Roger and J.P. — who PR man turned chaperone David “Nacho Butt” Montagne (RIP Taylor Negron) is briefly seen ushering out of everyone’s line of vision — Ranch mutters, “Something’s going on.”
But since this is before MLB started acting interested in cracking down on strength-boosting substances, the real scandal is about expressing a belief in angels. For those who don’t, despite Knox’s cold hard statistical success, it’s a question of his fitness for office. Somehow, that too sounds familiar late in the twenty-first century’s first quarter.
“Mental is the key word here,” owner Hank Murphy (RIP Ben Johnson) says when Knox’s honest explanation doesn’t suffice. He then only agrees to let his bench boss finish the pennant race (again, only one game left) if Knox
his bench boss finish the pennant race (again, only one game left) in Knox tells an assembled press corps that he is levelheaded and does not genuinely believe he has heavenly aide at hand.
"Not even real angels could fix this team as it stands. Still, it'd be an incredibly heartwarming story that would have everyone rooting for L.A., even if they falter at the finish line." — Mary Clarke on the real-life 2024 Angels
The owner's surprise summons and stern ultimatum all stem from Ranch's anonymous leak to at least one newspaper beat reporter. The play-by-play man who previously derailed Knox's All-Star catching career with an overly aggressive slide had extracted the secret from a vulnerable J.P. after Roger had missed his first game since becoming the good-luck charm, his absence ostensibly precipitating the loss to the White Sox that squares the standings on the season's penultimate day.
As the off-day proceedings unveil, said reporter has gone ahead with that spicy story, keeping "the source" anonymous while spilling Roger's identity and role with the team. Knox only hears about it when he enters Murphy's mansion to be confronted over it the morning after.
For any real-life print journalist, that sequence tops any Everything Wrong With *Angels in the Outfield* list. Or, if it's not a problem with the screenplay itself, it is with Ranch and the writer's egregious ethical breaches. Equally or exceedingly disgusting deeds have happened in the real world of our profession.
Rule, who strings for the *Minneapolis Star Tribune*'s high school sports page and covers the NHL's Wild and the Walter Cup champion PWHL Minnesota team as an award-winning executive editor for *Minnesota Hockey Magazine*, would care enough to corroborate such a mind-blowing side story.
"The reporter's first move," she said, "if not to ignore Ranch altogether, would have been to talk with Knox or reach out to him to get a comment and see if there's anything to it. The beef between Knox and Ranch wasn't a big secret, so that should give any reporter pause."
Whoever that cinematic sportswriter is, the timeless temptation to score a scoop clearly gets the better of them. That craving would be all the more acute in this century's deeper pool of credentialed and, in some cases, less formal and more distant media outlets.
Today's landscape would make any evidence of an unusual storyline more readily apparent. Whether Ranch starts or furthers it behind any number of digital Gyges Rings, the Roger-Knox dynamic would surely be circulating in the blogosphere, Twittersphere, and Metaverse even before hardball pundits bestowed the Angels with contenders' caps.
"Probably, the TV broadcasts of the game would have caught Roger doing his angels arm signals near the dugout," said Rule. "So that could have already gone viral on social media in GIF or meme form much earlier in the season."
If not that, or in addition to that, a few neighboring ticketholders would have camera phones channeling those tactical talks for YouTube and Instagram subscribers to view and ask, *Who is this kid? What is Knox talking to him about? Has anyone noticed the Angels always replace better players with worse*
ones who surprise the living snot out of everyone right after these two have chatted?
In our conversation, Clarke mentioned the Houston Astros, a franchise whose first ultimate glory in 2017 was marred by a sign-stealing scandal. With Roger’s position next to the Angels’ dugout and across from the opposition’s, today’s climate would surely arouse similar suspicions.
The question is how, when, and whether the ‘real angels’ angle prickles Murphy without Ranch’s strategic spillage.
Forget Ranch going to the *Los Angeles Times* (the paper we can clearly see Roger reading and Murphy laying out for Knox) in October in the mid-‘90s, when such outlets had no immediate reach beyond Southern California. In this century, those citizen journalists would generate instantaneous, unbridled theorizing on devices in every state, province, and prefecture throughout the dog days.
The question is how, when, and whether the “real angels” angle prickles Murphy without Ranch’s strategic spillage. Both parties would surely be attuned to the web-based whispers of every volume about the capital-A Angels surely having *something* to hide.
In turn, Knox’s answer of small-A angels and care not to drive the spirits away by lying would only shorten his leash with the owner.
All the more incentive for his bane in the booth to leak the story without a second thought.
“Ranch seemed like he didn’t deal in journalistic integrity too much,” said Rule, “so it’s not that surprising that he spilled the beans when he saw the opportunity. I think he wanted to ruin Knox more than anything else. If he put it on an anonymous account instead, it might have just delayed what happened a bit as reporters tried to verify it.”
And so, when the inevitable unfolds and Murphy calls that presser, the national media would be raring to recap the resurgence, dating back to the season’s nadir and Knox’s last time in the owner/principal’s office.
“A sports website like *For The Win* would no doubt be on top of this story as soon as it happens,” said Clarke. “We’d definitely write a major explainer and/or timeline about all the details of the story, and I’m sure one of my coworkers would have a take about it, especially in the wake of the Angels losing Shohei Otani if we’re considering the team’s modern-day players.”
Indeed, as of this writing, [this year’s Angels](#) hold the A.L.’s third-worst and MLB’s fifth-worst record after Otani’s offseason defection to the dominant Dodgers. Since pole-vaulting the A’s for fourth in the AL West, they have been stuck there for a month and counting.
So what of that? Could Mike Trout come back and fix this himself the way Clark closes out the White Sox unassisted?
“Not even real angels could fix this team as it stands,” said Clarke. “Still, it’d be an incredibly heartwarming story that would have everyone rooting for [LA](#), even if they falter at the finish line.”
Which, in our present-day landscape, would palpably delight more detractors than just Ranch.
“Twitter arguments, rants to ESPN, and such would just be the start,” said Clarke. “I think it’d be a lot harder for Knox and the team to push back on defense, especially because people despise cheaters, regardless of their methods.”
“Still,” she continued, “in the end, I think the Angels would get a good amount of people on their side when all was said and done. People love an underdog story, after all!”
And it is Disney we’re talking about. Today’s climate might allow for something resembling rough drafts the *Mighty Ducks* trilogy toyed with. (Did you know what *D3* producer [Jordan Kerner originally had in mind](#)? Namely, an ending yielding a bigger win without a victory on the scoreboard.
Even if much of the public within the film’s universe chooses to villainize Knox and company, and even if Murphy is not swayed, this story would still allot some measure of satisfaction for who we the outside viewers unambiguously understand to be the protagonists. Remember, those angels are at the ballpark not so much to help the team win but to help Roger and J.P. find an ideal family.
And, maybe in today’s climate, to teach that not everyone is going to be on your side, but that you can and should lean on those who will stick with you despite the digital white-noise blizzard.
Wridols: Dan Barry
Author's note: This is the start of a periodic series where I break down the qualities of a...
Jun 21
Emily Kalfelz: What to know about Jamestown, Rhode Island's first...
Starting three months from this weekend, the thirteenth state will have its thirteenth...
Apr 26
New England Sports Network: 40 years of sticking to a name
Built around a dual Red Sox-Bruins nucleus, NIESN has constantly kept all of New Englan...
Mar 29
10 Pre-NHL Highlights in Utah Hockey History
A look back —
Jun 24
Recommended from Medium
I Slept With All Kinds Of Men For 3 Years
And that's what I learned about them
Jul 3
Needle and Thread
Poetry
Jan 22
Lists
What is ChatGPT?
9 stories · 391 saves
The New Chatbots: ChatGPT, Bard, and Beyond
12 stories · 422 saves
Stories to Help You Grow as a Designer
11 stories · 835 saves
Best of The Writing Cooperative
67 stories · 340 saves
|
World Water Day
Empty Taps
Interview: Madhav Kumar Nepal
Politics: Stable Democracy & Volatile Dictatorship
Gaur Carnage: The Aftermath
All for one, Tuborg for all!
< TUBORG Law no. 15 >
< TUBORG Law no. 1 > जिउ जिन्दगी रमेर
## CONTENTS
| Section | Page |
|--------------------------------|------|
| LETTERS | 3 |
| NEWS NOTES | 4 |
| BRIEFS | 6 |
| QUOTE UNQUOTE/TRANSITION | 7 |
| OPINION : Dr. Ananda Bahadur Thapa | 8 |
| GAUR BLOODSHED: Ominous Trend | 10 |
| BUSINESSMEN’S AGITATION: Short Relief | 20 |
| VIEWPOINT: Govinda Raj Joshi | 21 |
| NATIONAL: Show of Concern | 22 |
| NATIONAL | 23 |
| FACE TO FACE: M.P. Singh | 24 |
**COVER STORY:** Empty Taps
While leaders haggle over political issues, people of capital valley once again suffer from acute shortage of drinking water
Page 12
**POLITICS:** Stable Democracy of Volatile Dictatorship?
Past experiences show that Nepal can become stable only under democracy not any kind of dictatorship
Page 14
**INTERVIEW:** Madhav Kumar Nepal
General secretary of UML Madhav Kumar Nepal talks about Gaur killings, efforts to form interim government and hold CA polls
Page 18
Though it is chaotic and disorderly, democracy is the time-tested solution of all the problems that originate from conflicts, disorder and instability of every nature. Nepal’s own experiences have shown that only a democracy can accommodate and assimilate people of varied ethnicity and region. Whether it was in the first parliament in 1959 or following the restoration of democracy in 1990, parliamentary democracy has shown its capability to accommodate varied ethnicity and region. During the first parliamentary experience in 1959, all castes and ethnic people suffered for common democratic cause under the leadership of B.P. Koirala. Under his unique coordination, persons from various regions and ethnicity came to the single democratic fold. It is interesting to note that persons from Newar community like Ganesh Man Singh to Madheshi Ram Narayan Singh and from Yogendra Man Sherchan (Thakali), to Dewan Singh Rai and Prem Raj Angdangbe (Limbu) were in prison with him together for many years. After that, there was almost 30 years of authoritarian experience of power under Panchayat system in which there was no such political solidarity as was seen in the team of politicians of first parliament. Even in the second phase of parliamentary democracy after 1990, a process of accommodation, integration and consolidation was seen. It was disrupted only after the King’s step of October 4, 2002 when there was no opportunities of sharing the power. Even at this interim period, though there is no immediate possibility to hold the elections and when parties are sharing power, there is some process of accommodation and integration guaranteeing the stability to the country. Despite all these characters of democracy, the debate has already been generated against the democratic process. After prime minister Girija Prasad Koirala shifted his earlier stand and sided with populism without realizing the importance of monarchy in national context, the question now is what will be the fate of democracy in case the disorder and anarchy escalates in the country. At this stage, the future scenario between military and democracy would be completely a new thing for Nepal. It is a fact that a state cannot do away the organized army though it might continue without a popular politics. In the past, monarchy in Nepal had played a very important role as a cushion between army and democratic forces. Whenever there appeared a direct conflict between these two, the monarchy stepped in to prevent it. After sidelining monarchy following the promulgation of new interim constitution, there is no such cushion now between them. In this context, we conclude that democracy stabilizes all the problems while dictatorship is always volatile.
Keshab Poudel
Managing Editor
No Priority
Apropos the cover story “Priorities In Conflict (SPOTLIGHT March 23), I want to point out that there is no priority in this country at all. This country including its economy has no plan or priority. Had there been any plan, people of Nepal would not have to suffer from these terrible problems. So, when there is no plan at all, it is simply futile to talk about priorities or conflicting priorities.
Ganesh Maharjan
Sitapaila
New Nepal But Old Mindset
Even though all kinds of political leaders are issuing calls for new Nepal “Priorities In Conflict (SPOTLIGHT March 23), nobody can be seen actually explaining it. Besides, there is still old mindset prevailing. While communist leaders are talking about the need to do away with feudal culture or capitalist tradition, they have failed to clearly explain how they want to achieve that. Maoists have even said they want to put ceiling on private property. Is that a new mindset? No, that is old and discarded mindsets that have been proved failure in various countries of the world. To create a democratic, prosperous and peaceful new Nepal, new kind of visionary thinking about the way to achieve economic development and eradicate poverty is required.
Kishore Bista
Manbhawan
Education and Job
Primary issue of Nepalese people is the issue related with bread and butter “Priorities In Conflict (SPOTLIGHT March 23). In the cacophony of political debates, this issue has been cast aside. Creating jobs and providing education and health facilities are topmost priorities of the people but they are nowhere in the priority list of political parties and leaders who concentrate on interim constitution, interim cabinet, CA elections and etc.
Diwakar Singh
New Road
New Dictatorship
The interview with Rabindra Nath Sharma (SPOTLIGHT March 23) was quite interesting. Sharma has accused that the eight parties are behaving like new dictator. He has also said that holding referendum is necessary to decide the fate of monarchy. It actually was the most appropriate method to decide about monarchy. But the eight parties settled for deciding the fate through CA majority. Had they decided on referendum and had the people voted out monarchy, even staunchest of monarchists would have thought twice defending monarchy thenafter. Even the King himself would have been satisfied since that would have been clear and direct verdict of the people. But other indirect forms of deciding monarchy’s fate could provide space for regressive elements to play long after the monarchy is gone.
Shiva KC
Buddhanagar
Stakes In Nepal
In his interview (SPOTLIGHT March 23), Rabindra Nath Sharma has raised many important issues. One is his statement that Nepal’s traditional forces are allies of India. He has suggested that monarchy –even in a ceremonial form can guarantee stability in Nepal which, in turn, is in India’s interest. However, it was India who played the key role in defeating monarchy in last year’s power struggle. He should have explained why it happened.
Jeevan Gautam
Naxal
NEA Unbundling Process Set To Begin Soon
The government is going to introduce a legislation in the parliament ‘in a fortnight’ kick-starting reforms in energy sector. The legislation is coming as part of the institutional and political commitment to power sector reforms, which, among others, involves unbundling of Nepal Electricity Authority (NEA) and having a regulatory body, too. “Power sector reforms hold. The draft bills are being scrutinized by the Ministry of Law, Justice and Parliamentary Affairs. They will come up with their views in ten days before we push forth,” said Tika Dutta Niraula, Secretary at the Water Resource Ministry. “Our agenda now is to have all the laws on power sector reforms ready by June 15,” Niraula said. Once enacted, the Electricity Bill 2007 will split the NEA into two separate entities with separate functions, as part of the reforms process “to boost the performance and image of NEA.” While one entity will be entrusted with the sole task of looking into power generation, the other will look into tasks like power transmission. Similarly, once passed, the Nepal Electricity Regulatory Commission (NERC) Bill 2007 will culminate in the formation of a regulatory body, which will revitalize the now defunct Electricity Tariff Fixation Commission (ETFC). Niraula said the task was being speeded up following a circular from the Prime Minister’s Office, which had explicitly said that “the task of enacting necessary legislation for energy sector reforms be finished by the end of the current fiscal year by July 15.” The bid to supersede the governing laws by new Acts goes back to the second half of 2005. The efforts received setback in January 2006 when the erstwhile regressive government failed to push the ordinance lacking ‘political commitment.’ However, the enforcement of the new law could cause employees unrest, with NEA employees’ union flaying unbundling as a ploy to benefit none else than the existing ‘cronies’ in the power sector. *The Himalayan Times daily reports*
Gas Companies Stop Its Import
Putting forth their three demands, gas companies have stopped importing cooking gas from Sunday (March 25) – adding to the problems of consumers who are already facing fuel shortage. The LP Gas dealers’ association has said that the Nepal Oil Corporation (NOCO) was not allowing them to import gas as per demands. They have also demanded increasing transport fare by 21 percent and setting separate purchase prices for separate processing plants. The NOC, on the other hand, says that owing to financial crunch, it cannot allow increase of quota of import. *Kantipur daily reports*
Deuba Breaks His Silence; Appeals For Putting Off CA Polls
Nepali Congress (Democratic) president Sher Bahadur Deuba has suggested postponing the Constituent Assembly (CA) on consensus. Two days after the grisly Gaur killings, Deuba told reporters in the capital on Friday (March 23) that the polls have to be postponed on consensus among eight parties including the Maoists. “Already Ian Martin (UNMIN chief) has said it will be difficult. We should amend the constitution to postpone the elections,” Deuba said. “There is no reason to feel ashamed. We also cannot blame each other,” he said. *Leading dailies report*
Overseas Workers Decline Slightly
After the number of workers leaving for two largest destinations – Malaysia and Qatar – declined, the total number of workers leaving for overseas has come down by 6 percent in the first eight months of the current fiscal year. According to the Department for Labor and Employment Promotion, the number of workers leaving for Malaysia and Qatar has declined by 20 and 30 percent respectively. As a result, the total number of overseas job seekers has come down by 6 percent to 115,879. The department’s data shows that during the period 48,171 workers left for Malaysia – compared to 60,541 in the same period previous year. Likewise, 27,540 workers went to Qatar during the period – compared with 39,397. Experts have assumed that Terai unrest might have affected the number of youths going overseas from Terai. “In this period, there have been difficulties for youths from Terai to go overseas,” said Keshar Bahadur Baniya, director general of the department. In Malaysia, the cumbersome process might have pulled down the number of prospective workers whereas in Qatar, the demand for workers has come down after the completion of Doha Asian Games. However, the numbers of workers going for United Arab Emirates and Saudi Arabia have increased substantially in this period. Those going to Saudi increased by 99 percent to reach 21,632 and those going to UAE increased by 26 percent to reach 13,691. *Kantipur daily reports*
Rights Activists Give Gory Details Of Gaur Killings
Human rights activists have revealed shocking and gory details of how people were murdered in cold blood in course of Gaur attack on Wednesday (March 21). The group of rights activists who made on-field inspection on Thursday has informed that over one dozen persons were murdered in cold blood in a grisly manner. The rights activists have informed that murderers raped five women and cut off their breasts before killing them. Over one dozen persons were chased five to eight kilometers before they were killed. In total, 28 persons have died in the incident. The rights activists have also suspected that organized criminal gang must have been involved in the attack. “Looking at the grisly manner of killing, one cannot
imagine that any political organization can engage in such act," said Padma Ratna Tuladhar, a member of the group. The activists have also informed that those who were killed have been found to have sustained grave wounds in their heads. Bamboo sticks and spears have been used repeatedly to smash their heads, they informed. The group of rights activists who went to Gaur on Thursday include Dr. Mathura Prasad Shrestha, Dr. Arjun Karki, Dr. Gauri Shankar Lal Das, Padma Ratna Tuladhar, Daman Nath Dhungana, Subodh Pyakurel, Gauri Pradhan, Bishnu Pukar Shrestha and Bimal Chandra Sharma. nepalnews.com reports
Maoists Obstruct Rana From Entering Sindhupalchowk
The Maoist cadres obstructed Rastriya Prajatantra Party (RPP) president Pashupati SJB Rana from entering his home district of Sindhupalchowk on Wednesday (March 21). He was stopped when he reached the border between Kavre and Sindhupalchowk district in Dhadkhola at 9 am in the morning. Rana was planning to address a public meeting in Lagarche VDC in Melamchi area. Later, however, Rana went to the district after he talked with the Prime Minister over security and a team of Armed Police Force was deployed for his security. Leading dailies report
Changes Proposed In CA-Related Bills To Ensure Women Representation
Activists of women’s rights have proposed some changes in the Constituent Assembly Member Election Bill and Political Parties Bill to ensure that women will get at least one-third of representation as promised by the interim constitution. Activists led by Shanti Mallika – a campaign aimed at ensuring women’s proportional representation - and the UNIFEM office in Nepal, met with Speaker and MPs on Wednesday (March 21). They handed over their amendment proposal (in the two bills) to the general secretary of the Parliament Secretariat and members of State Affairs Committee – which has initiated discussions on those bills. According to lawyer Bhimarjun Acharya, the women activists have proposed mainly two changes – one is to ensure there will be one-third women candidacy also in the constituencies that will be added as per the amendment of the interim constitution, and second is to ensure that one-third of candidates who will be named in the closed-list the parties will provide to Election Commission for proportional representation-based election should be women. “And they should list these women in the priority also,” he said. On the bill related with political parties, the women activists have demanded changes to ensure one-third women representation in all their organizations. Saru Joshi Shrestha of UNIFEM said that women activists have been demanding 50 percent share in all levels of the state. “But due to given reality, we now want to ensure that the one-third reservation by the interim constitution is lived up to by the leaders who have only given us lip-service in the past,” she said. Babita Basnet, president of Sancharika Samuha, said the women will continue their movement to realize their due share in the state affairs.
Compiled from reports
NEA Cuts Power Outage Hours
The Nepal Electricity Authority (NEA) has decided to reduce power cuts by 16 hours weekly from Wednesday (March 21), owing to “decreasing power demands in the country.” The new schedule has provided a relief for the people of Kathmandu valley from power cuts at night. The NEA had been slapping a total of 40 hours of load-shedding weekly, which would now be 24 hours weekly. “we have reduced the hours of power cuts by 16 hours a week, thanks to decreasing demand for power. Also, there have been some positive changes in the power generation plants at Kulekhani,” said Sher Singh Bhat, the chief at System Operation Department of NEA. According to the new schedule, the NEA has dropped its shift of 9.30 pm to 1.30 am and from 1.30 am to 5.30 am in the Kathmandu valley. The Himalayan Times daily reports
Prachanda Accuses Royalists Of Stoking Fire
Talking to reporters in Dhangadi on Tuesday, Maoist chairman Prachanda has accused that royalist elements were stoking fire to flare up the strike called by the business community. He claimed that the hotelier Shrestha who was beaten by Maoist cadres was anti-employees and had committed gross crimes against workers. He also went on to apologize for beating him saying it was against party’s policy. Prachanda accused that royalist elements were trying to use the incident to attack the Maoists. Meanwhile, Prachanda also said that seven parties were working under pressure from domestic and foreign reactionaries to delay the formation of interim government. Leading dailies report
MJF Dismisses Prachanda’s Demands To Ban It
The Madhesi Janadhikar Forum (MJF) has dismissed demands made by Maoist chairman Prachanda to ban their organization. “The Maoists should actually be banned,” Kishore Kumar Bishwas told Kantipur FM. He also denied that MJF activists had used weapons first in Gaur. “It was the Maoists who used weapons first. Then the public retaliated,” he said, adding that MJF regretted the whole incident. Meanwhile, another MJF leader has termed Prachanda’s remarks as undemocratic and autocratic. “That is an undemocratic remark. There is no reason to ban the MJF,” Sita Nandan Raya, central leader and MJF’s talks team coordinator, told Kantipur TV. Compiled from reports
THE THREE-DAY PEOPLE'S SAARC held in Kathmandu on the eve of 14th Summit of SAARC in New Delhi ended on Sunday (March 25) by issuing 25-point Kathmandu Declaration. Organized by civil society organizations of the countries in the region, the People's SAARC has decided to hand over their declaration to the SAARC Secretariat so that it will be taken up during the summit meeting. In the declaration, the People's SAARC has urged all the parties concerned to act together to fight against poverty, injustice, imperialism and discrimination of gender, caste, religion, language and ethnicity. "From monarchic or military dictatorship to exercise of dictatorial power in the guise of democracy and to functioning formal democracies, all variations exist in the region," the declaration stated, and reiterated its demand to ensure democracy, human rights, justice, demilitarization, de-nuclearization of states and its machineries. It has urged to make the region visa-free and reduce defense budget by 10 percent. It asked the SAARC to declare 2007-2017 a SAARC Dalit Rights decade.
THE UNITED NATIONS WORLD FOOD PROGRAM in Nepal has received donations of US$617,000 from the Netherlands and US$410,000 from Switzerland to support WFP's efforts to provide food supplies to over 108,000 Bhutanese refugees living in seven camps in eastern Nepal. "The combined donation will secure enough food resources to feed all of the refugees for over one month," said a WFP statement. "These donations could not have come at a more critical time as we were facing resource shortfalls that may have required food rationing for the months of April and May, placing the health and safety of the refugees at serious risk," stated Richard Ragan, WFP's Country Representative in Nepal. "Also let me make clear that recent reports that WFP is cutting rations to pressure refugees to consider 3rd country repatriation are completely inaccurate." Ragan said that the WFP in Nepal still needs over US$7 million for this year, or approximately US$1 million a month, to provide adequate food to the over 108,000 Bhutanese refugees who are completely dependent upon WFP's humanitarian assistance.
SAYING THAT THE COUNTRY WAS FOCUSING MORE on political transition, a senior World Bank official has urged the leaders to prepare for economic growth as well. "The historic change in Nepal should be used to bring about economic development," said Ken Ohashi, Country Director of the World Bank, addressing a program organized to launch Access to Financial Services report 2006 prepared by the World Bank, DFID and Nepal Rastra Bank. The program was organized by WB and NRB. Ohashi said the government should pay attention to the areas from where perceptible changes in the lifestyle of the people can be attained. He cautioned against delay in formulating strategies for economic growth and appealed for attracting investment, particularly in infrastructure sector. The report has pointed out the poor access to financial services from formal institutions. It says that only 26 percent of Nepali households have bank accounts, 18 percent have deposits in financial NGOs and cooperatives while 4 percent have access to micro-finance institutions. The rest depend on informal sectors such as friends, families, money lenders etc.
THE UNITED NATIONS HIGH COMMISSIONER for Human Rights, Louise Arbour, has called for probe into killings in Terai. "I am deeply shocked by the news of at least 25 killings in Nepal. Reports received indicate that these deaths, alongside many injuries, occurred during clashes between the Madheshi People's Rights Forum (MPRF) and the Communist Party of Nepal (Maoist) in the Terai," she said in a statement issued from Geneva on Thursday (March 22). She added, "I urge the authorities to take all necessary steps to initiate a full and impartial investigation into the killings and other violent incidents and to hold accountable anyone found to be responsible."
The interim parliament, on Monday, unanimously passed two electoral legislations, which were earlier approved by the State Affairs Committee (SAC). The Bill on Functions, Responsibilities and Authorities of the Election Commission and Bill on Election (Crime and Punishment) were passed today. Both the bills were tabled in the House on Monday afternoon. The two bills have provisions that aim to stem 'excess expenditures' in the election campaigning and has fixed ceilings for the candidates and the parties. It empowers the EC to debar candidates who make excess expenditure. The EC can even take decision to cancel a candidate's candidacy. Other provisions include punishments for booth capturing or rigging. Since the EC had complained that it has not enough time to hold the polls on time, the bills have provision that allow the Commission to obtain necessary logistics without going through the time-consuming process of inviting tenders publicly. Likewise, to provide adequate manpower, the EC can also use teachers of community schools. Till now, the parliament has passed three electoral legislations. Two more legislations – CA Member Election Bill and CA Court Bill – are still under consideration of House committees. "The passage of these bills has opened some more doors. But there are still more doors that remain to be opened," said Chief Election Commissioner Dr. Bhoj Raj Pokharel.
“Nation will face situation like that of 1960 (2017BS) if there is no election.”
Prime Minister Girija Prasad Koirala, expressing commitment to hold CA polls on time, during the meeting with Election Commission.
“Nation will face situation like that of 1950 (2007 BS) if there is no election.”
Madhav Kumar Nepal, general secretary of the UML, addressing a mass meeting in Panauti.
“There is no reason to feel ashamed.”
Sher Bahadur Deuba, president of Nepali Congress (Democratic), saying that it is impossible
“There is a game to make the Prime Minister unsuccessful by the eight parties.”
Dr. Ram Baran Yadav, co-general secretary of Nepali Congress, in Jana Bhawana.
“RPP cannot accept the dictatorship of eight parties.”
Pashupati SJB Rana, president of Rastriya Prajatantra Party (RPP), speaking at a program in Barhabise.
“We will continue agitation if our demands are not fulfilled in the coming days.”
Chandi Raj Dhakal, president of FNCCI, after the business community withdrew agitation following commitments by the eight parties.
“It is possible and feasible to hold polls in next two and a half months. But it really boils down to the role of key players here.”
Neena Gill, head of the 5-member working group of European Parliament’s Delegation for Relations with South Asia, at a press meet.
“Killings in Gaur have shocked the international community as they have shocked Nepal.”
Ian Martin, chief of UNMIN, at a press meet.
**TRANSITION**
**FORMED:** Electoral Constituency Delimitation Commission, headed by former Supreme Court judge Arjun Prasad Singh and members Professor Surya Lal Amatya, Dambar Chemjong, Dr. Suniti Shrestha and Dr. Swayambhu Man Amatya as its member secretary.
Four member committee headed by Patan Appellate Court judge Hari Prasad Ghimire with members Ram Sarobar Dube, acting chief of National Vigilance Center, joint attorney general Tika Bahadur Hamal and Deputy Inspector of Police Niraj Pun.
**ELECTED:** Chandi Prasad Shrestha, as president of Nepal-JICA Alumni Association.
**HONORED:** Bhairab Risal, senior journalist, Durga Baral, cartoonist, and Ram Rijan Yadav, a journalist, with Press Freedom Fighter Award.
**APPOINTED:** Taranath Dahal, executive chairman of National News Agency.
**LEFT:** Neena Gill, head of the European Parliament’s delegation for South Asia, after making a brief trip to Nepal.
**PROMOTED:** Brigadier Generals Toran Jung Bahadur Singh, Pawan Jung Thapa, Gaurav SJB Rana, Anil Jung Thapa, and Ananta Bahadur Thebe, to the post of Major Generals of Nepali Army (NA).
Mr. Eugene Black then President of the World Bank was concerned that the continuation of the Indus dispute was bound to have serious repercussions on the economic well-being of both India and Pakistan and also the peace and security in the South Asian Sub-continent. The Indus Dispute was then the flash point in Indo-Pakistan conflict that was going to end up into another war after the first war over the control of Kashmir. In 1952, Mr. Black offered the good offices of the Bank in an attempt to resolve the dispute. The Indus Waters Treaty was the outcome of eight years of discussion and negotiation between the Governments of India and Pakistan, carried out under the auspices of the World Bank that brought to an end the longstanding dispute between these two countries. The conclusion of the Indus Waters Treaty was almost universally hailed as an important event in international relations.
**The Indus River**
The main Indus river, fed by Himalayan snows and torrential monsoon rains, brings into the plains as much water as the Nile at Aswan. Next to the Indus, in terms of water supply, rank the three tributaries, the Kabul on the west and the Jhelum and the Chenab on the east. These three tributaries and the Sutlej, including the Beas which falls into the former are the large rivers.
**Existing Use of Water**
The Indus is the river of the north-west Indian Sub-continent. Irrigation had been practiced in the Indus basin from very early period; but until about the middle of the nineteenth century, the basin was largely an arid, fringed with narrow strip of cultivation along the foot-hills and six even narrower strips along the valleys of the rivers. The development in a period of about one hundred years preceding the partition of the Indian sub-continent in 1947 had converted the Indus basin into an intensively cultivated area, with 26 million acres irrigated by a large network of canals, some of which carry more water than the Thames River in flood or the average flow in the Potomac River near Washington D.C. This was by far the largest irrigated area on any one river system in the world. The United States of America had at that time only about 23 million irrigated acres.
**The Dispute**
With the partition of India (and of the Indus basin) in 1947 the dispute became an issue between East Punjab and West Punjab. In April 1948, it was referred to the Governments of India and Pakistan and was thereafter an Indo-Pakistan affair.
The Indo-Pakistan dispute was discussed in the Security Council. M. Zafrulla Khan, the Pakistan representative in the Security Council presented about it during a Security Council debate on the 16th December 1952. The partial text is given below:
"The partition of the Punjab cut across the river system of the Province......The partition line was so drawn that two of the rivers - Sutlej together with its tributary Bias, and Ravi - while originating in India, later on flow into Pakistan... On April 1, 1948.... India turned off the waters of these rivers which used to flow into Pakistan..."
India’s position on the water right principle she is subscribing to has been clearly stated in the Indo-Pakistan Agreement on Indus (Interim) signed on the 4th May, 1948. It is stated: "...the propriety rights in the waters of the rivers in East Punjab (India) vest wholly in the East Punjab..."
West Punjab(Pakistan) disputed India’s contention. Its view being that in accordance with international law and equity West Punjab had a right to the waters of the East Punjab rivers. Finally the Indus dispute was resolved through the World Bank’s good offices. India and Pakistan came to an agreement. The Indus Treaty was signed on September 19, 1960. The Indus Treaty provided that the waters of the contentious rivers Ravi, Beas and Sutlej would be for the exclusive use of India. However, India would have to pay Pakistan some compensation for the construction of projects to tap other rivers in Pakistan to replace the supply from the above three rivers.
**Role of the World Bank**
Mr. Eugene Black (then President of the World Bank) was concerned that the continuation of the Indus dispute, and the imminent possibility of its escalation, was bound to have serious repercussions on the economic well-being of both countries, in which the Bank had an active institutional interest. Accordingly, in 1952, Mr. Black offered the good offices of the Bank in an attempt to resolve the dispute. The offer was accepted by both the countries.
In 1952 the World Bank entered the picture as a good officer. After two years in early 1954, the Bank put forward a proposal embodying the main principles for a settlement; the negotiation virtually broke down. They were resumed by the end of the year under the direct guidance of the Bank management.
Sir William Iliff, former Vice-President of the World Bank
has written that the Indus Waters Treaty was the outcome of eight years of discussion and negotiation between Governments of India and Pakistan, carried on under the auspices of the World Bank. It brought to an end the longstanding dispute between India and Pakistan about the use, for irrigation and hydropower, of the waters of the Indus system of rivers.
**The Indus Treaty**
India had been subscribing all along to the principle that water belongs to the country where it originates. India turned off the waters which used to flow into Pakistan to irrigate lands. India took such action according to N.D. Gulhati (the Indian negotiator for the Treaty on the Indus) because the East Punjab (India) was anxious to establish its exclusive ownership. In the final treaty on the Indus the principle of establishment of right due to prior appropriation of water was ignored. The Treaty went in favour of a principle based on the sovereignty of a state over its national domain. The Indus Treaty might have set a precedent for the future. But in the Article-XI a special provision to restrict its use has been made. So it could not become a law. The Article XI of the Indus Treaty has been presented below:
1. **It is expressly understood that**
(a) this Treaty governs the rights and obligations of each party in relation to the other with respect only to the use of the waters of the rivers and matters incidental thereto, and
(b) nothing contained in this Treaty, and nothing arising out of the execution thereof, shall be construed as constituting a recognition or waiver (whether tacit, by implication or otherwise) of any rights or claims whatsoever of either of the parties other than those rights or claims which are expressly recognized or waived in this Treaty.
Each of the Parties agrees that it will not invoke this Treaty, anything contained therein, or anything arising out of the execution thereof, in support of any of its own rights or claims whatsoever or in disputing any of the rights or claims whatsoever of the other Party, other than those rights or claims which are expressly recognized or waived in this Treaty.
2. Nothing in this Treaty shall be construed by the Parties as in any way establishing any general principle of law or any precedent.
3. The rights and obligations of each Party under this Treaty shall remain unaffected by any provisions contained in, or by anything arising out of this execution of, any agreement establishing the Indus Basin Development Fund.
**The Ganges Issue**
India needed a greater part of the Ganges flow in the dry seasons for flushing the silts into the sea from the port area in Calcutta. India must have considered that it is allowed to take up a scheme to divert the flow because of her sovereignty right over the domain. However, the Ganges is a navigable river. The diversion would have violated the International Barcelona Convention on the regime of navigable waterways. This convention was ratified by British Empire that included India also in 1922. India to free herself to undertake the Ganges diversion scheme, denounced the Barcelona Convention to take effect from 26 March, 1957. Soon after that India commenced the Ganges diversion scheme at Farakka in 1960s.
Very recently the Treaty of the Ganges water at Farakka has been concluded between India and Bangladesh. This Treaty has a similarity to the Indus Treaty in one important matter of great interest to us. It contains at the very beginning in the preamble of the Treaty itself a statement that this Treaty will not affect the rights and entitlements of either country other than those covered by the Treaty and will not establish any general principles of law or precedent.
**Precedent or General Principle of Law**
The Indus Treaty and the Treaty of Ganges could not be construed as establishing law or precedent because of the provision in the treaty to restrict such use. However, these treaties can help us to come to some important conclusions. We can infer from these treaties the recognition of the principle that in the absence of imposition of restriction, a treaty may be construed to imply the following:
*It can set a general principle of law. It can service as a precedent for similar cases in future. Any one of the Parties can invoke a treaty, anything contained therein, or anything arising out of the execution thereof, in support of any of its own rights or claims whatsoever or disputing any of the rights or claims whatsoever of the other party.*
**Why a Treaty is Necessary?**
Our mega projects are too big for our exclusive use. It is necessary to enter into an agreement with India to recover full benefits from any of our mega projects. The Government of India must agree that the hydroelectric power produced in Nepal would get unhindered access to their market. These projects, on top of the power benefit, would provide significantly large downstream benefits to India. Nepal has every right to seek a fair share of the downstream benefits. We can draw a lesson from the Columbia River Treaty between the United States and Canada that provided Canada 50% of downstream benefits accrued from the use of regulated flow of the Columbia river in the United States.
*(Dr. Thapa writes on water resources)*
GAUR BLOODSHED
Ominous Trend
Despite Maoists joining the mainstream, the politics of violence continues to grip the country
By SANJAYA DHAKAL
Beginning from Nepalgunj riots late last year to the Siraha killings and various clashes in Hetauda, Bhairahawa and Birgunj, the trouble was brewing quite rapidly. The Gaur carnage was only a culmination of worsening rivalry between the Maoists and the regional organization called Madhesi Janadhikar Forum (MJF).
The incident of Gaur on March 21 shook the whole nation and caused the international community to become really nervous.
In the single biggest incident of fatal violence since the restoration of peace, 28 persons including five women were killed in most barbaric manner in Gaur city of Rautahat.
Subsequent reports by human rights activists and women activists quoting eyewitness accounts have brought to the fore heart-twisting narratives of the brutal murder.
The incident had occurred at a time when the country was heading towards the Constituent Assembly (CA) and when formation of interim government – a basic precondition to hold the polls – was being negotiated.
Even as Maoists have described the incident as ‘new Doramba,’ they could not give plausible replies to charges made by independent right activists that their arrogance of power was also a reason for the carnage. Senior Maoist leader Dr. Baburam Bhattarai said that the incident was a calculated conspiracy against his party. “This is another Doramba. It is the conspiracy of regressive forces to push the Maoists back to jungle,” he said (Kantipur, March 22).
By Doramba, the Maoists were referring to the killings of 19 Maoist cadres by then Royal Nepalese Army in Dormaba of Ramechhap in August 17, 2003 when the Maoists were then in talks with the King-installed government led by Surya Bahadur Thapa. On August 27, the Maoists broke off the talks and resumed violent insurgency.
What Happened In Gaur?
On March 21, the Gaur incident occurred when activists of Madhesi Mukti Morcha affiliated with the Maoists and Madhesi Janadhikar Forum (MJF) clashed with each other. Both the Maoists and the MJF had scheduled their mass meeting at the same venue – Rice Mills Ground for that day.
The incident occurred after 1 pm at the Rice Mills ground. The MJF and Morcha had taken out separate rallies in Gaur city. After their rally entered the ground, the MJF activists vandalized the podium erected by Morcha, according to media reports. Later when Morcha activists entered the ground, they also vandalized the MJF’s podium. Both podiums were some 100 meters apart. Reports say that after the Morcha activists started vandalizing the MJF podium, fierce clash occurred and bullets were also fired in what seems like a targeted and planned attack. Over 40 persons have been injured in the incident. Most of the dead and injured belong to Morcha.
The leaders of MJF claim that people retaliated against Maoist excesses. “The Maoists are to blame for the whole incident. They attacked MJF program first after which the people retaliated,” said Kishore Kumar Bishwas, vice president of MJF.
Twelve bodies were found at the major clash site at the Rice Mills ground in Gaur while fifteen more bodies were discovered in Hajmaniya and Mudhbaliya VDCs - five kilometers away from Gaur city in Rautahat district.
One of the primary reasons for the incident was the choice of same venue by two rival parties. The MJF had planned to hold the meeting in the area a week ago while the Maoists later decided to hold their meeting in the same area. Maoist lawmaker Prabhu Shah and MJF chairman Upendra Yadav were to address their respective mass meetings.
Furious Uproar
Following the bloodshed, the Maoists have become furious. Their PLA combatants walked out en masse from all the cantonment sites to protest the killing.
Prachanda has demanded that MJF be banned and its leaders arrested. He accused MJF action aimed at sabotaging peace process and Constituent Assembly polls. He said the MJF was a front of reactionaries. “Contra was created to derail peace process in Nicaragua. This (MJF) is also a similar design by imperialists,” he said (Kantipur daily).
In a separate statement, Prachanda accused that armed Indian Hindu extremists who had come from across the border were involved in the Gaur bloodshed. Prachanda has also accused that the attack was a result of conspiracy hatched by royalist reactionaries; Indian Hindu extremists and expansionists; and anti-peace regressive elements. "There is no doubt that behind this Rautahat massacre is conspiracy and master plan by Indian Hindu extremists, foreign and royalist regressive forces who don't want peace, democracy and progress and who want to derail eight party understanding, and Constituent Assembly elections," Prachanda has stated.
"Seal the border. Form joint investigation team of eight parties. Declare all those killed as martyrs," Maoist spokesperson Krishna Bahadur Mahara said in the interim parliament.
The Maoists also sponsored a resolution in the interim parliament - which was unanimously passed - condemning the Gaur bloodshed and demanding that the government punish the perpetrators. The resolution demands that a separate political committee formed to probe the incident. The Maoists had rejected the earlier committee headed by an Appellate court judge formed by the government.
The resolution also directs the government to confiscate weapons distributed in the past to anti-Maoist groups. The Maoists have accused that such weapons were used to effect the Gaur bloodshed. The resolution also asks the government to become serious about groups that were hurting the sovereignty and integrity of the country.
Consequently, local administrations in some Terai districts have decided to prohibit Madhesi Janadhikar Forum (MJF) from holding any program fearing Gaur-like clashes. Police have arrested Binod Raut, Bablu Raut, Ramjanam Das, Baidnath Raut, Lal Bahadur Paswan and Dharmendra Mahato from Gaur municipality on suspicions of their involvement in the heinous incident.
As Madhav Kumar Nepal, general secretary of the UML who also represents Rautahat district said after he visited Gaur, "This is a blot on human history," the Gaur incident is going to have a long-term implications on the security as well as peace process. Already there are signs that the culture of violence is being picked up by fringe elements even though Maoists have joined the mainstream. If that culture and trend is not stemmed right away, the country will be heading towards a disaster.
**Gory Details Of Gaur**
Human rights activists have revealed shocking and gory details of how people were murdered in cold blood in course of Gaur attack. The group of rights activists who made on-field inspection last week informed that over one dozen persons were murdered in cold blood in a grisly manner. The rights activists have informed that murderers raped five women and cut off their breasts before killing them. Over one dozen persons were chased five to eight kilometers before they were killed. In total, 28 persons have died in the incident. The rights activists have also suspected that organized criminal gang must have been involved in the attack. "Looking at the grisly manner of killing, one cannot imagine that any political organization can engage in such act," said Padma Ratna Tuladhar, a member of the group. Furthermore, following the field investigations by the women rights activists in Gaur, they have reached conclusion that the carnage was effected by criminals who even used rape as a weapon. The nine activists of Shanti Mallika including Sharada Pokharel,
Shobha Gautam, Kalyani Shah, among others, had conducted field investigations for three days in the Gaur area. The activists said the tragic incident occurred due to communal and revenge feeling spread by the Madhesi Janadhikar Forum (MJF) and arrogance by the Maoists. The activists informed that three women who were trying to cross the Bagmati river in Pataiya of Hajmariya village were attacked by criminals who raped and killed them. "They were chased, raped and killed in most barbaric manner. Their bloods were spilled in the local village temple also," said Sharada Pokharel. "The incident showed that women were subjected to worse treatment just because they were women. The dignity of women was violated," said Pokharel. The activists also said that most of those who were killed were killed in an inhuman and barbaric manner - by thrashing with bamboo sticks, extreme torture and rape. Of the 28 who died in the incident, 12 were killed five kilometers away from Gaur in the field of Hajmaniya village where they were stoned and beaten with sticks.
**Chronology of Clashes**
*January 18*: Maoists open fire in a public rally organized by MJF in Lahan killing MJF worker Ramesh Mahato.
*February 21*: In Bhairawa, 15 injured after Maoists-MJF clash
*February 22*: Maoists clashed with JTMM in Gaur
*March 5*: MJF workers detain 18 Maoists including its MP in Nawalparasi
*March 9*: Maoists-MJF clash in Nepalgunj
*March 10*: JTMM (Jwala Singh)-Maoists clash in Inaruwa.
*March 16*: Maoists-MJF clashes in Birgunj and Kalaiya
*March 21*: Carnage in Gaur
At a time when Nepal celebrates World Water Day, Kathmandu valley continues to suffer from severe crisis of drinking water. Along with the cost of drinking water, depleting water level in the valley is causing a great concern as drinking water is gradually becoming a scarce commodity. While the country’s political leadership is busy holding debates and discussions on politics all the time, nobody seems bothered about water issues.
By KESHAB POUDEL
Seventy-five-years old Janaki Karki, a resident of Imadol, Lalitpur, had never imagined that one day she will have to pay money to buy drinking water. It is believed in Nepali culture that offering drinking water to thirsty people is a virtue. There was a time when water was abundant nearby her house. From wells to stone spouts, water was everywhere.
In the past, many people even spent money to build water spouts and wells so that people can drink water. They did so in a philanthropic manner. As water level has now depleted, it is beyond imagination that anybody will do so. Thanks to depleting water level, most of the people now extract ground water from below 75 feet. In most of the cases, the water has so many minerals, it needs heavy treatment before it becomes drinkable.
“Our family has to pay about Rs.400.00 (US$ 5) a month to buy drinking water. For other use, we have to pay Rs.1200.00 (US$ 20) a month. I didn’t imagine that such situation will come,” said Karki.
From a middle class family like Karki to poor ones, one has to pay the price for drinking water. Though Nepal Water Supply Corporation (NWSC) also has tanker service and community distribution system, the supply of 20 liters of water per family is not enough for drinking and other usages.
As population pressure continues to soar while water supply remains stagnant, valley people have no option in future other than to be prepared to pay higher prices for drinking water.
Looking at the growing demands of water, private entrepreneurs have already invested huge money in water tankers, which are now supplying huge volume of water in the valley. Even there are a numbers of groups producing mineral water to supply in the market.
According to experts, ground water is being extracted at twice the sustainable rate and causing the drop of ground water levels at rate of 2.5 meters per year. “Depleted ground water levels can lead to subsistence, the sinking of soil causing property damage. A reduced level of groundwater can lead to Arsenic contamination which will force more people onto the current system making less water available for your home,” wrote Prakash Amatya and George Fowler in their article published in ENPHO magazine in 2005.
In the last two decades, the population of Kathmandu Valley increased by many folds. Imadol village development committee – on the eastern outskirts of valley – alone has witnessed dramatic transformations - from just about hundred houses two decades ago to about 3000 houses and population from merely 2,500 to 30,000 thousands.
These kinds of changes are not only taking place in Imadol but all areas in Kathmandu valley. The situation is worse inside the ring road where the population density is much higher. According to the Ministry of Population and Health, the population of valley is projected to be 1.5 million including the floating population. However, the progress in supply of drinking water is very low.
“We have to wake up at the mid-night every alternative day so that water can be pumped,” said Jamuna Shrestha of Baneswor. Shrestha and Karki are vividly and accurately narrating what is undoubtedly one of the most pressing problems every household in the valley is facing.
Although the government has been trapped into single project option stressing on Melamchi project to maintain the water supply in the valley, its implementation continues to delay due to several technical, political and financial reasons.
According to an estimate of NWSC, the valley now demands more than 146 Million Liters Per day. According to Corporation, it has the capacity to supply just between 73 to 98 MLD. The people of valley have to manage remaining water through various other alternatives.
The government expected that by 2016, the valley’s population will reach 2.1 million and the demand of water will rise to 268 MLD per day. Even if Melamchi is completed on schedule, there will be huge short fall of water and they need to divert the water from Larke and Yangri.
Although Nepal is known as a country of abundant fresh water, large number of population in capital Kathmandu has to pay high price and many people have to use even dirty water.
As soon as monsoon begins, taps in the valley also sees sufficient running water. Prepared by WaterAid Nepal, the Urban Program Operation Framework (2005-2010), states that on an average 78 percent urban population have access to water supply. This does not ensure adequate and safe supply. For example, water distribution is contaminated and most part of Kathmandu receives only half an hour supply on alternative days.
According to the framework, the city supply also has been contaminated by various types of bacterial coliform resulting in frequent outbreak of water borne diseases. As the distributing network is getting older, the possibility of water pollution is higher.
**Rain Water Harvesting**
As the water supply continues to decline, people are looking at different alternatives. In most of the areas, communities have begun the renovation of stone spouts and adopted new technology of rain water harvesting.
According to experts, rain water harvesting can be the best way to maintain water supply in the valley. Rain water harvesting can provide complimentary sources of water for household needs. As it is safe to drink except in areas with high air pollution, Kathmandu has immense possibility to exploit it.
Kathmandu receives annual average rainfall of 1610 mm. During the four months period from June to September, the rainfall is highest. According to experts, the system can be built on all types of building.
Despite immense possibility to harvest the rain water, it is yet to be tapped by the people. Thanks to the efforts of NGOs, people are gradually moving to harvest the rain water for household use. Any sized roof can be used to collect water.
**Water As The Priority**
Although Nepal has been making plans to increase the access to water and sanitation in remote areas, the country is still struggling to address the sanitation and drinking water supply demands in urban areas like capital Kathmandu.
As 2015 deadline set by Millennium Development Goals is coming closer, Nepal seems to be in no position to meet the goals about providing access to drinking water and sanitation to all of its population.
"One in three people do not have access to drinking water. Similarly, every two in three do not have access to sanitation in Nepal," said Umesh Pandey, director of Nepal Water For Health (NEWAH).
"The access to safe drinking water is very low in the valley. Large number of poor people don't have access to piped drinking water," said Lazana Manandhar, executive director of Lumanti, an NGO working in sanitation and water sector.
"Without sanitation and water, there can be no sustainable development in health, education, and livelihoods, locking people into a cycle of poverty and disease," said Sanjaya Adhikary, country representative of Water Aid Nepal.
The report prepared by WaterAid reveals that 17 percent or 218,322 households in 5 municipalities are unconnected to piped water supply.
According to the report, to reach the sanitation target, an additional 14,000 households need to be served per month between 2000 and 2015, and an additional 11,300 households need to be served per month to reach the drinking water target. The total financial requirement to meet these targets is US$ 1,087 million while the resource availability for 2000 to 2015 is US$ 755 million resulting in an annual resource gap of US$ 23 million.
Published by United Nations Development Program (UNDP) and National Planning Commission, Millennium Development Goals Needs Assessment for Nepal states that the total cost of attaining the MDG target on water supply and sanitation for 2005-2015 amounts to Rs 137,398.2 million at 2004/05 constant prices.
According to Human Development Report 2006, Nepal falls in the category of countries with sanitation coverage less than 40 percent. Inequality in water provision relates not just to access and expenditure but also to price. Price rise steeply as water passes through intermediaries i.e. trucks, vendors, tankers. In Kathmandu, the municipal water utility reaches about three quarters of the population but half of the poor depend upon public taps.
As population pressure increases, the demands of water will also increase. Melamchi has shown that it is a very difficult and long process to bring the water in valley from outside. The time has come now to start using alternative sources like harvesting rain water, which is cheap and safe. Till now it is an agenda of non-governmental organizations only, the time has come for the government to develop a long term planning to use this alternative. Otherwise, water is going to be scarce and expensive community to the people.
Stable Democracy Or Volatile Dictatorship?
With the upsurge in violence and chaos in the country, there appear no signs for immediate elections in the country. At a time when Nepal is trying to adjust with the new system, a debate is raging how to stabilize Nepal - either through democracy or dictatorship. Although one of the leading newspapers of democratic India termed democracy as volatile and dictatorship as stable for Nepal, Nepal’s own experiences have shown just the opposite - as it was stable during the period of democracy and volatile in the period of dictatorship. Stable democracy will be right prescription to bring the country back to track.
By KESHAB POUDEL
“… If events in that landlocked nation (Nepal) should spin out of control, New Delhi could well be left scratching its head and wondering whether in case of countries in its immediate neighborhood, stable dictatorship or volatile democracies are more in its interest.” (Times of India, 14 March).
Although Nepal has several experiences of volatile situation during the period of dictatorship whether it was during Panchayat or recently after October 4, 2002 or with the formation of seven party government after April, 2006, Times of India, a leading paper of one of the world’s largest democracies, however, prescribed opposite views.
M.R. Josse, a renowned Nepalese journalist, who is well known for his commentary on international affairs, writes in his article, “Finally, one may consider a somewhat new Indian dimension to the Nepalese Maoist issue as reflected in a Times of India editorial (14 March) entitled “Virtual Republic.” Josse argue that the editorial of the Indian establishment newspaper often reflects what is on South Block’s mind.
Whatever the intention of the editorial, the paper suggested a very wrong alternative to the people of India about Nepal. “Unfortunately, this opinion has come not as a correct diagnosis and treatment of Nepal’s problems. But this can be taken as a reflection of utter frustrations of the elites and opinion builders of India about their own democratic experiments till now,” said a political analyst. “In fact, democracy is the time tested solution of all these problems originating from conflicts, disorders and instability of all these natures.”
Democratic India
Though democratic experiment in India, in terms of two prominent scholars Francis Fukuyama or even Fareed Zakaria, is an illiberal and slow in its delivery, had there been no democracy in India, there would have been nothing to preserve its integrity as a nation.
“Despite being desperately poor, India has had functioning democracy since 1947. Whenever someone wants to prove that you do need to develop economically to become democratic they use as their one example – India. Much of this praise is warranted. India is genuinely free and free-wheeling society. In recent decades, Indian has become something quite different from the picture in the hearts of its admirers. Not that it is less democratic: in important ways it has become more democratic. But it has become less tolerant, less secular, less law-abiding, less liberal. And these two trends – democratization and illiberalism- are directly related,” writes Zakaria in his book The Future of Freedom. “India’s semi liberal democracy has survived because of, not despite, its strong regions and varied languages, cultures, and even castes. The point is logical, even tautological, decentralized government helps produce limited government.”
Fukuyama has his own views on democracy. “There is no doubt that contemporary democracies face any number of serious problems, from drugs, homelessness, and crime to environmental damage and the frivolity of consumerism. But, these problems are not obviously insoluble on the basis of liberal principles, nor so serious that they would necessarily lead to the collapse of society as a whole, as communism collapsed in the 1980s,” said Fukuyama in his book The End of History and the Last Man.
Stable Democracy
The experiences of different countries have shown that it is the democracy which is stable and smooth compared with dictatorships. Though tyrant and dictatorship guarantees short term stability; democracy, which is often volatile in nature, is a system guaranteeing a long-run stability accommodating conflicting interests and groups.
One of the basic characters of democracy is that it accommodates all aspirations of religious, ethnic and other groups through the periodical elections. India is the best example of how democracy accommodates various linguistic, ethnic, religious and regional groups. For example, India’s present leaders of power structures show an example. India’s democracy shows model of inclusiveness in its power structure electing Muslim as a president, minority Sikh as a prime minister and Dalit as a chief justice.
“We can guarantee the stability only through democracy. There are no
alternatives to democracy. We have already seen how unstable and unpredictable absolute power in one or other forms can be," said RPP-Nepal president Rabindra Nath Sharma.
One cannot see these kinds of accommodations of various groups in stable dictatorship. Even in many other South Asian countries which passed through various modes of dictatorship which brought temporary stability and ended in volatile situation. Even for the integration of nation, democracy is the best solution.
Several countries in the world including the dissolved Soviet Union or former Yugoslavia or Czechoslovakia, they were disintegrated as they were under the tyrannical communist regime. So far as democratic countries are concerned, democratic values and ideals bind the country together even in difficult times.
Nepal's Experiments
In the last six decades, Nepal has experimented with various models of democratic system. From liberal democratic system to tyranny of the King and from parliamentary democracy to newer form of tyranny of eight political parties.
As a country of various geographical regions and numbers of ethnic and linguistic groups, tyranny in any form, cannot accommodate their conflicting interests. It is possible only in democracy.
"Nepali people should take the responsibility of restoring democracy as well as safeguarding the nation. If we talk of only one responsibility we will be following the wrong track by being one-sided. Therefore, we need to understand that the national unity can be built on the foundation of democracy only," said Nepali Congress leader BP Koirala in his statement issued on December 16, 1976.
Nepal's six decades of experiments helps to draw the conclusion that period of normal parliamentary process was able to accommodate conflicting interests and opinions through the electoral process.
The first phase of Nepal's experiment on parliamentary democracy began in 1959 when country held the first elections for parliament. After the elections, a first elected government was formed under the leadership of Nepali Congress leader B.P. Koirala in 30 June 1959. However, this experiment did not last for long and King Mahendra dismissed the elected government led by B.P. Koirala on December 4, 1960 dissolving both Houses of Parliament and suspending the constitution.
Whether in the elections for first parliament in 1959 or past three parliamentary elections following the restoration of democracy in 1990 - which were keenly observed by international teams of vigilance from different countries and organizations - showed how they could accommodate the conflicting interests.
"During the first parliament in 1959, all the persons belonging to different casts and ethnic groups suffered for common democratic cause. Under the leadership of B.P. Koirala, persons like Ganeshman Singh, a Newar, Ram Narayan Singh, a Madhesi, Yogendra Man Sherchan, a Thakali, Premraj Angdumbe, a Limbu and Dewan Singh Rai - who were in prison with B.P. Koirala for many years together - made great contributions," said the analyst.
According to the Elections Commission, the first general elections were held in February 19, 1959 and Elections in two constituencies were held two months later. Out of 42,46,468 voters of estimated 8.4 million population, Nepali Congress secured 45 percent votes winning 74 seats out of 109.
"Only a democratic ideal could accommodate and assimilate persons of such varied ethnicity and regions," said an analyst. "There was no such emotional integration or political solidarity as was seen in the team of politicians of first parliament. Even the main opposition leader joined the majority party to fight for the restoration of the parliamentary democracy. That experience of the formative period of democratic phase of Nepal now serves a lesson to keep in mind."
Second Phase of Tyrany
After the dissolution of elected parliament and dismissal of elected government, the second round of authoritarian came into existence under the leadership of the King. There was almost 30 years of authoritarian exercise of power under Panchayat system but when it failed all of its prominent leaders scattered to different alliances.
Although frequent elections were held for various units of Panchayat from grass root level to central level, it failed to accommodate all conflicting interests for a quite a long time.
Panchayat system evolved individualistic approach and competition among various individuals for the sake of power. Though Panchayat system established some stability, it was at most a volatile situation that survived through various compromises with unseen forces
with ulterior motives.
Unlike the government accountable to the people, authoritarian Panchayat system harped slogans of nationalism of all kinds but it survived with a series of compromises with unseen powers.
**Second Phase of Parliamentary Democracy**
As the Panchayat system crumbled following mass uprising in 1990, the second phase of parliamentary democracy started in 1991 following the elections for parliament. In the second phase of practice of parliamentary democracy, there began a process of accommodation, integration and consolidation.
Nepali Congress emerged as the biggest political party not because of any wise and charismatic leader but because of commonalities of interests of persons representing constituencies of heterogeneous ethnic and regional elements.
"The second elections of 1991 had drawn criticisms about the quality of fairness but still it was much better than violent and rigged atmosphere of elections in the neighboring state of India and in which Bihar is the worst example."
"Although Nepal has a long border with Indian state of Bihar, those kinds of deterioration was not seen at all in any constituency in Nepal," said the analyst.
In the parliament too, Nepal had two closely competitive political parties which were able to form the governments turn by turn. The centrist Nepali Congress had secured highest votes in all previous elections and thus they were able to form the government most of the time. In all three parliamentary elections held in 1991, 1994 and 1999, Nepali Congress emerged as the largest party and CPN-UML secured second largest number of votes.
According to the Elections Commission, Nepali Congress secured 37.75 percent votes in 1991 election winning 110 seats out of 205 followed by CPN-UML with 27.98 percent votes winning 69 seats. Rastriya Prajatantra Party came up with 17.93 votes winning 20 seats and Nepal Sadbhavana Party secured 3.49 percent votes winning 3 seats.
In 1999 elections, Nepali Congress secured 36.14 percent of votes taking 111 out of 205 seats. Similarly, CPN-UML won 30.74 percent votes with 71 seats. RPP's two factions secured 14 percent votes. Interestingly, breakaway group of CPN-UML the CPN-ML secured 6.38 percent votes.
Once considered as an extremist party like India's Naxalites with the same kind of brutal and violent records, the UML became the second largest party and there was a drastic change in its character and rapidly it emerged as the left of center party.
**The Third Phase: King’s Authoritarianism**
The third phase of authoritarianism began following the dismissal of elected government led by King Gyanendra on October 4, 2002 and its culmination was the action of February 1, 2005 when the King took control of all state power leading the council of ministers.
When all possibilities of sharing power was stopped during this period, many political parties were fragmented into the pieces and there began the politics on the basis of caste, ethnicity and regionalism.
Following King Gyanendra's pronouncement of April 24, 2006 reviving the dissolved House of Representatives, the situation has not changed much. From the King's to eight political parties', absolute government was imposed upon people. The new Interim Constitution 2007 - which was promulgated on January 15, 2007 - stipulates that the eight parties are superior and others are inferior in terms of sharing power.
"This government has mixed up characters having combination of heterogeneous views and ideologies. Some have commitment for pluralism and democracy pluralism and many have communist authoritarianism as their guiding ideology. As fully democratic constitution has been abrogated by compromised document of interim constitution which is not able to fulfill
any particular political goal, the freedom at present in Nepal is not a guaranteed one but at the mercy of eight political parties' alliance. Most undemocratic article of this constitution is not to allow any other political party except eight in the government," said the analyst.
**Role of Monarchy**
Monarchy in Nepal has played very important role as a cushion between army and democratic forces. Whenever there appeared a direct conflict between these two, the monarchy stepped in to prevent it. After sidelining monarchy following the promulgation of new interim constitution, there is no such cushion now between them.
Debate has started on monarchy ultimately after prime minister Koirala shifted his stand and sided with populism without realizing the role of monarchy. Of course, certain individuals have played certain roles, but one cannot ignore the importance of institution as such.
"The utility of this institution is not dependent upon the person and character with the crown but it is a mysticism of this institution that the people are assured and believe that the monarchy is there to act according to its role. Having some experiences with the constitutional monarchy the people in Nepal at the grass root believe that it is neither absolute nor tyrannical," said the analyst.
Soon after sidelining the monarchy, people have started to debate possibility of military intervention. This debate should not come when new Army Chief has already reiterated his full support and cooperation to new democratic government. Whether one likes it or not, this debate is there.
Following the sidelining of the monarchy, the future scenario at the moment between civil and military authority is completely a new thing in Nepal. "A state can not do away the organized army though it can continue without popular politics. Of course, its prices are very high and dangerous in the long run," said the analyst.
The debate on volatile democracy and stable dictatorship has come at a time when monarchy was completely sidelined.
**Interim Period**
**Eight Party's Absolutism**
When the possibility of holding the elections has become uncertain, political parties, slowly and gradually, are facing problems of fragmentation on pieces on the basis of ethnicity and regionalism.
"As Nepal is in a critical stage of interim period having no compulsions to go to the constituencies and remain accountable to the electorates, various fractions and groups have again jumped into the political field to try their capacities and, thus, fish into the troubled water," said the analyst.
Even at this interim period as the power is shared on the party basis, all the political parties have maintained their integration except some smallest units - but that also is in the process of reuniting again.
"Had the leaders of political parties been determined and committed to their own following masses, instead of seen and unseen patrons, with their ulterior designs and strategies, the most unfortunate dirty games of such invisible forces would not have disturbed the real political process," said the analyst.
As there are no immediate chances for sharing power by holding the elections, various ethnic groups and regional groups are coming up creating the situation more volatile - as such, under the posture of democratic absolutism Nepalese democracy seems to be volatile. If there is no possibility of sharing power through holding elections, these kinds of situations are inevitable.
Interestingly, the transition of interim period was quiet and peaceful till there was parliament with legitimate mandate of people. Following the promulgation of new interim constitution framed by eight political parties and interim legislative-parliament with nominated members from eight parties, the new phase of unrest began in the country.
Nepal's own experiences have shown that dictatorship is more volatile with unpredictable results while democracy leads to stability as well as predictability. The prescription for Nepal's volatile situation would be the parliamentary democracy accountable to the people. Till the government is unaccountable to the people through the periodical elections, it will be known as absolute government whether it is the government of eight parties formed after April, 2006 or King Gyanendra after October 2, 2004. Both the governments failed to bring stability in the country accommodating all conflicting interests.
"It Will Be A Great Mistake To Postpone The Elections"
-Madhav Kumar Nepal
Amid growing doubts over the holding of Constituent Assembly on stipulated time thanks to spreading uncertainty and unrest, political leaders are still confident that they can hold credible polls. An old-hand of Nepali politics, general secretary of CPN-UML, MADHAV KUMAR NEPAL spoke to KESHAB POUDEL on various aspects of current political debates in the country at his residence at Koteshwore. Excerpts of the hour-long talks:
Since you also represent from Rautahat district, how do you see the recent carnage in Gaur?
So far as the incident of Gaur is concerned, it was one of the most brutal acts in the human history where people were murdered by using cruelest of methods. It is a condemnable act in human history. I cannot imagine that any man is capable of committing such barbaric act. There might be some sort of political clashes in some places but one cannot imagine seeing this level of cruel and inhuman act like we saw in Gaur.
How do you see the role of district administration during the whole Gaur episode?
It was the complete failure of district administration. The administration completely failed to avert the incident. The incident was the result of failure of Home Ministry’s administration. The government is inefficient and it failed to guarantee the law and order. What is the use of such government in the country? What can you expect from such government?
Maoist leaders are blaming regressive forces, sympathizers of Palace and Hindu fundamentalists from across the border for the Gaur incident. What do you say?
I don’t want to make comment without investigation is complete since the government has already set up high level committee, we have to wait for the report before making accusations. After findings of investigation are made public, we need to punish those who are found guilty. What I can say is that Gaur’s incident is a barbaric act by criminals. Even my own house and our party office were attacked in Gaur and statue of leaders like B.P. Koirala were destroyed but our home ministry was unable to prevent them. If the government cannot contain the activities of criminals, what is the use of state? The government must punish those who violate the law. We have to learn a lesson from the incident.
There have been frequent clashes between workers of Madhesi Janadhiikar Forum and Maoists in different parts of Terai. And in many places there were casualties. Don’t you think this needs to stop now?
Unlike previous clashes, Gaur’s incident was not just a political clash between MJF and Maoists. It was one-sided attack where people were chased and murdered. When I visited the incident site and met with people, I found that people were killed with cold blood. After this incident, it shows that there is a need to change the relations between MJF and Maoists to prevent future incidents. If somebody wants to pursue their political views, they must follow the political rule and pursue the political route.
What are your impressions about the ongoing political situation in the country?
The political situation is very uncertain. There are differences of opinions regarding the way out for political solutions.
What options your party has?
The CPN-UML believes that holding the elections for the Constituent Assembly is the only way out to settle the present political crisis. I have repeatedly said this for quite a long time. Since the restoration of previous parliament, our party has been stressing the need to announce the date for the elections. It is unfortunate to say that other political forces have not paid heed to our suggestions. Even two months after the promulgation of interim constitution, we have not been able to form the interim government and announce the date for the elections.
Why are you stressing on holding the elections in June?
If we cannot hold the elections in coming June, there is going to be a disaster in future. The unity of eight political parties will break and the country will witness a series of political crises. The country may not be able to hold the elections in future and will fall into a vicious cycle of uncertainty. It will be a great mistake to postpone the elections. We can still hold the elections in June. The time has not run out. We need to cut short the duration of interim period. This is the reason I have been stressing to hold the elections on time since July, 2006.
If this is the case, why your views are being ignored by the leaders of other political parties?
That is a very sad thing. Despite my frequent suggestions, nobody has taken them seriously. Had we announced the date for elections on September, the country’s situation would not have come to such a worse phase and many other reactionary and regressive forces would not have gotten the opportunity to fish in the troubled waters.
As one of the top leaders of eight political
parties, don’t you see any responsibility on your part for the present situation?
I don’t have any answer to such question as I have been raising a lone voice among eight party leaders stressing the need to announce the date for elections.
**What is the reason behind the present situation, then?**
From the very beginning, a group of political leaders have been making efforts to prove that the elections cannot be held in June, 2007. This group doesn’t want the elections. Due to their own intention, steps were taken one after another to delay the elections. One of the reasons might be their conclusion that the election results will not come to their favor in case they hold the elections in June. Everybody has been nursing his/her own interests; nobody is bothered about the country’s interest. Some see CPN-UML’s growing popularity as a threat and others want to delay the elections to further weaken CPN-Maoists. Sooner the country attains political stability, better it will be for its people and their future. Even investors need political stability as a pre-requisite for making investments to develop economy. Longer the interim period continues, more the people and the country has to suffer.
At a time when country’s law and order situation is deteriorating with continued violence intimidations and extortions by Maoists as well as worsening situation in terai, how can the elections be free, fair and without intimidation?
Of course, the law and order situation is getting worse and there is no presence of administration in the country but we have to manage it. If government handles issues of law and order and Maoists ask their cadres to be disciplined, the scenario will change. The administration must take stern actions against those who try to affect the elections by disrupting the public meeting of others.
Former prime minister and leader of Nepali Congress Sher Bahadur Deuba has said that the elections is impossible in June, what do you say?
I don’t know on what ground Sher Bahadurji was speaking as he has to forward his arguments. Finally, all political leaders need to endorse it. So far as my opinion is concerned, I firmly believe that we can hold the elections on schedule in June. Even a leader of European Union Parliament delegation said the elections can be held in three months time. If we work by concentrating our whole efforts on elections, nothing can prevent us from holding the elections.
As you have been stressing to hold the elections in June, when will you pass the bills pending in the parliament?
Of course, the bills need to pass before holding the elections. We can do it overnight. If leaders of eight political parties decide, the parliament will make the law within a day. If you could present most sensitive citizenship bill in parliament without giving us adequate time to discuss, what harm is there to present bills related to Election Commission. What are the reasons behind the game when you used all force and expedited process to pass citizenship bill from parliament and now you are dilly dallying the process to enact bills related to elections. The government has to take responsibility for all this.
**How do you see the role of other parties?**
I don’t want to blame any body. I don’t want to create misunderstanding. If we cannot hold the elections, some body has to take responsibility.
Do you mean it is alright to hold abnormal elections in abnormal time as said by prime minister Girija Prasad Koirala?
I don’t know what prime minister said but I am confident that we can still hold the free and fair elections with the presence of international observers from European Union. Time has not run out.
Still, the eight party leaders have failed to develop consensus for the appointment of vice chancellors for country’s four universities. How do you look at it?
It is very unfortunate to see country’s four universities without vice chancellors. Minister of Sports and Education Mangal Siddhi Manandhar had proposed the names for selection committee to prime minister just a few months after the formation of the government but the names were not accepted. It shows that there is no rule of law and everybody wants to politicize the universities by appointing political persons. If there is a provision in new law to appoint the vice chancellors under the recommendation of the selection committee, what is preventing (the PM) from proceeding with the appointment process? There is a provision in our law that vice chancellors should be appointed under the recommendation of selection committee.
How do you guarantee that the names proposed by the Minister affiliated with CPN-UML are not your party sympathizers?
I have told you that there is a law to constitute the selection committee to recommend the names for vice chancellors. Our intention is clear, we want vice chancellors in universities to run the administration smoothly. I have not seen any concern from anybody. This is most anti-national view.
BUSINESSMEN AGITATION
Short Relief
The business community warns it will re-launch agitation if eight parties do not fulfill their commitments
By A CORRESPONDENT
This time the business community got what it wanted through its agitation. After huge participation and wide solidarity for its agitation, the eight parties were compelled to issue a joint statement stating they were ready to ensure atmosphere conducive for conducting normal business activities.
The business community halted their indefinite strike on March 21 after the top leaders of eight parties expressed written commitment to ensure conducive environment for conducting business activities. The business community decided to halt their strike for the time being. They have warned to continue their agitation if the commitment is not put into practice. They have also decided to form talks team to hold talks with Maoists and the government.
"We now hope that there will be conducive environment for the business activities as both the Prime Minister and Maoist chairman have also given us assurances," said Surendra Bir Malakar, president of Nepal Chamber of Commerce (NCC).
The eight party commitment followed their separate meetings with the Prime Minister and Prachanda – both of whom urged them to withdraw strike.
In his interaction with agitated businessmen, Prachanda said his party was trying to come in the competitive politics and he was saddened by such incidents which are not in accordance with the official party policy. "We have felt that there is a big communication gap between us and the business community," he said assuring the community of all cooperation in future.
The businessmen had launched indefinite strike closing down private sector after the Maoists abducted two businessmen from the capital, tortured them and demanded extortions. Hotelier Hari Shrestha and printing press entrepreneur Suresh Malla were abducted by Maoist supporters. Later, the Maoist-affiliated All Nepal Trade Union Federation (ANTUF) informed that it had suspended two of its members – Deepak Rai and Mukunda Neupane – for their involvement in the incident of beating of Shrestha.
Meanwhile, on March 21 itself, the Maoists also held a massive demonstrations in the capital city. Thousands of workers affiliated with Maoists' trade unions took to the streets demanding action against "black-listed and exploitative businessmen." The pro-Maoist workers also locked up hotels and forced staffs out for some hours.
The indefinite strike of business enterprises and private sector called by the business community led by FNCCI, Confederation of Nepalese Industries (CNI) and Nepal Chamber of Commerce (NCC) had affected normal life across the country on March 20 and 21. Shops, department stores, banks and industries remained closed down. The business community even received support from other parties including the UML.
For the time being, business community has withdrawn agitation. But events of last week show that the community – which rarely takes to streets – was forced to come out amid mounting pressures from the Maoists' activities like labor unrest, extortion, intimidation and even abduction. At a time when Maoists are poised to join the government, the agitation was a blot on their credentials.
OHCHR Insists On Full Probe
Referring to the recent exhumation of bones thought to be that of Maina Sunuwar, who was killed in army custody, the OHCHR-Nepal has insisted that there be full probe.
"While the exhumation is a positive development, it is essential that police complete a thorough investigation, with full cooperation from the NA," said a press release by the Office.
"A team from OHCHR-Nepal on Friday (March 23) monitored the exhumation of the remains thought to be those of Maina Sunuwar, the 15-year-old girl who was allegedly tortured and died in the custody of the (Royal) Nepalese Army (NA) in February 2004. The team was accompanied by an international forensic expert, who assisted forensic pathologists from the Department of Forensic Medicine at the Teaching Hospital in the exhumation after an official request was received."
The remains were exhumed from the grounds of the NA's Birendra Peace Operations Training Centre in Panchkhal, Kayre District, where military personnel are trained before being deployed on UN peacekeeping missions. "The exhumation marks a crucial step in the criminal investigation launched by police into the girl's death, which has been stalled for many months due to the NA challenging the jurisdiction of civilian authorities over the case as well as the reluctance of authorities to proceed with an investigation." As part of a court martial, the NA in September 2005 found three military personnel guilty of failing to dispose of the body properly. "However, details regarding the court martial and the NA's court of inquiry investigation that preceded it have never been made public. The NA has also failed to provide court of inquiry and court martial documentation to OHCHR despite repeated requests," the release said.
Is the election of the Constituent Assembly possible?
- Govinda Raj Joshi
The question whether the election of the constituent assembly will be held on time is rising even when the provision has been made in the directive principle of the interim constitution 2007 that the election will be held by mid June. Though the time is running out, no symptom of the election process can be seen. Top leaders of some political parties are now trying to blame the prime minister that the responsibility falls on him if the election does not take place on time. Who is responsible for not holding the election is not the primary question today. But why leaders of eight political parties did not give priority to implement the roadmap of seven political parties, which was mandated by the People’s Revolution II?
The roadmap of seven political parties was clear - restoration of the dissolved House of Representatives, holding peace talks and settlement with the Maoists, forming interim government and holding the election of the constituent assembly. So only after the elections of the constituent assembly can all other major political and social problems facing the country be solved and give the country a way for safe-landing. The constituent assembly being the real representative of the people has the right to decide what kind of political system the country needs, how other social and ethnic problems faced by the country can be solved and so on. When the Peoples Movement II was successful, the King not only declared the House of Representative restored but also committed to abide by the roadmap of the seven political parties. Then GP Koirala was appointed prime minister as a consensus candidate of all political parties. When the new government was formed, the seven party stopped working according to the roadmap. They themselves declared the parliament supreme and started to work in the name of the consensus of seven political parties. The conspiracy started from the day of the announcement of the restoration of the parliament. G.P. Koirala, being very honest and simple, could not understand all these conspiracies and fell into a grand design. After the House of Representatives was restored, the government forgot the mandate of the movement and started to work off-track putting the country in ad hoc phase in the name of consensus of political parties. In the beginning everything was done in the name of the consensus of seven political parties and later on it was done in the name of consensus of eight political parties. Thus, even after the restoration of House of Representatives and formation of the government, the country started to be run unconstitutionally with the decision of the parliament in the name of the consensus of eight political parties. The movement was launched to usher in a permanent democratic political system. But after the 14-point resolution passed by the parliament in May, the country entered into the interim phase. I was surprised why the government formed under the leadership of seasoned politician GP Koirala started to work to make the country volatile and preferred to work in an interim manner. He was convinced to dismantle all permanent systems and compelled the country to enter into interim phase. Amid these conspiratorial moves, the elected House of parliament was dissolved and an ad hoc body, which we call interim legislative parliament, was established. Again the constitution of 1990 was replaced by the new interim constitution 2007. The parliament was declared supreme and other organs of the state were made subservient to the parliament. The system of check and balance was completely destroyed. Some power centers might have advised (the PM) to do so. But who advised him is a matter of question even today. It has been said that the parliament is supreme now. According to the interim constitution 2007, all the functions of the government and parliament will be carried out in consensus of the eight supreme leaders. Clearly, this does not mean that the parliament is supreme. We started to make ad hoc decisions from the parliament having no constitutional and legal base. Thus we completely ignored the supremacy of the people, supremacy of the parliament and supremacy of the government. After GP Koirala was appointed prime minister, he did not get good advice. It is because of the fact that the Prime Minister’s Office was not made functional. His private secretariat is not up to date. All orthodox people gathered there. Even the responsibility in the congress party was given to the same category of people. They did not work for the sake of party, people and democracy. The incident that recently occurred when agitating businessmen were denied access to prime minister in Baluwatar is one example of its inefficiency. Congress, the ruling party, has become functionless and the country is running in such a situation.
Secondly, Maoists did not understand the real political situation of the country. They feel that their political ideology is the best one. They think that all other seven political parties having faced with no alternative to restore democracy in Nepal had surrendered before them. This is not the fact. They have to understand that Nepali Congress and Maoists have totally different ideology. Their speech in the parliament does not represent the reality of the country. They have to understand that when they had committed to participate in the competitive politics and left the armed revolution, then only they could enter into understanding with the seven party alliance. After the restoration of the parliament, they did not help create the environment for the election of the constituent assembly, arms management and permanent peace. The arms show in Rautahat and many other parts of the country proves that they have not submitted all their arms in the cantonment. As the date of the constituent assembly is nearing, threats to the people are also increasing. So in this situation, how can the election of the constituent assembly be held in free and peaceful manner. At this juncture, the agitation in terai and ethnic community’s unrest are going ahead, the government doesn’t seem serious about the problem. In spite of having dialogue with the agitating people, if the government chooses to cross their movements that will be a disaster for the country.
It seems that no political party has given priority to the election. We didn’t pay our attention to create the environment for the election. A lot of time was spent on arms management and peace agreement. The election should have been held way back in September/October. Why it was delayed cannot be understood? Are not all eight political parties responsible for that? Even now captured properties have not been returned. People displaced by the 12-years-long conflict have not been able to return to their homes. Thus, there is no environment of election of the constituent assembly. When no candidate can go to the people and no voter can fearlessly cast his/her vote for the party whom he/she prefers, how can we say that the election of the constituent assembly can be held in proper time. So the leaders of eight political parties are just waiting and watching to see who will bell the cat so that one can shift the responsibility of not holding the election of constitutional assembly to others.
(The writer is a member of parliament and a member of Central Working Committee of Nepali Congress. He can be reached at email@example.com, firstname.lastname@example.org. This article recently appeared in nepalnews.com.)
Adverse Signals Will Be Sent If CA Polls Put Off: Gill
Neena Gill, head of the 5-member working group of European Parliament’s Delegation for Relations with South Asia, has said that delaying elections will send adverse signals “internally and externally” that the country is not able to hold the polls.
Addressing a press meet on Friday (March 23), Gill said that CA polls can still be held by mid-June if all parties demonstrate their will to do so. “There is a huge amount of goodwill and support (from international community to Nepal). It is possible and feasible to hold polls in next two and a half months. But it really boils down to the role of key players here,” she said. Gill said European Parliament and EU are ready to send substantial Election Observation Mission.
Gill said the Maoists must walk the talk and show clear commitments to democratic norms so that the interim government can be formed soon and date for elections fixed. “Without interim government, there will be no solid basis to go ahead with election,” she said.
“Our impression is that there is not sufficient amount of self-discipline among followers of some parties. We are disappointed to note that extortion, abductions and violence continues,” she said. Referring to recent agitation by business community, she said, “You cannot have a situation where business and industries are held to ransom for no particular reason.”
Gill whose delegation recently toured Bhutan, said the Bhutanese authorities told them they were ready to reopen talks with Nepal. “The time is particularly right given the American offer of resettlement. We cannot continue with the situation indefinitely,” she said, adding that even after resettlement in third countries, the refugees will continue to retain the right to return to Bhutan. She, however, added that it was not realistic to imagine that all 100,000 refugees will be able to return to Bhutan.
During their stay in Nepal, the delegation met with Prime Minister GP Koirala, deputy Prime Minister KP Oli, Law Minister Narendra Nemwang, Speaker Subas Nemwang, Chief Election Commissioner Dr. Bhoj Raj Pokharel, UNMIN chief Ian Martin, chief of OHCHR-Nepal Lena Sundh and US ambassador James Moriarty, among others.
MAOISTS JOINING GOVT BEFORE ABANDONING VIOLENCE WILL BE ‘DANGEROUS’: MORIARTY
American ambassador James F. Moriarty has said that it would be dangerous if the Maoists join the interim government without abandoning violence. “If the government decides to allow Maoists into interim government without concessions, that will be fairly dangerous (for Nepal),” Moriarty said in an interview with Disha Nirdesh in Nepal Television on Monday evening. He added the Maoists would then start pushing for ‘absolute power.’ He advised the government to use the ‘last big carrot’ (of including Maoists in the government) intelligently. Moriarty said that the Maoists are threatening the peace process by not keeping with their commitments. He said that peace process cannot succeed unless the Maoists implement their commitments. “Judging by their actions, I believe they are not serious (to implement their commitments),” he said referring to last week’s agitation by businessmen against extortion, abduction and intimidation by the Maoists. On the peace process, he gave high marks ‘for good set of agreements’ but ‘poor marks’ for implementation. He said the recent episode of Maoist combatants walking out of cantonments were one indication of Maoists trying to show the people of Nepal that they can come out anytime they like. When asked if he felt singled out by the Maoists for making harsh remarks, Moriarty said that perhaps was because he is more outspoken. “I do think strongly that most ambassadors here are very worried with continued Maoist violence,” he said, adding, “I represent the US and so my words are perhaps given more importance.” Saying that his government was ‘concerned’ with the situation in Nepal at present, Moriarty also appealed for peaceful resolution of all problems raised by Madhesi and Janajati communities. “None of the marginalized community should resort to violence,” he said. On the issue of Constituent Assembly elections, he refused to comment on whether holding it by June is possible. He, however, said that the CA elections should be held since the interim legislature cannot continue indefinitely. Moriarty informed that his terms in Nepal would end by the end of June this year. He said he wants to shake hands with Prachanda before leaving Nepal but added that he would be able to do so only if Prachanda actually abandons violence for good.
(Courtesy: nepalnews.com reports)
Gaur Incident Has Shocked Int’l Community: Martin
Ian Martin, chief of UNMIN, has said that the killings in Gaur have shocked the international community as they have shocked Nepal. “This confrontation could and should have been avoided. I hope the perpetrators will be identified and brought to justice. I also hope that these terrible events will cause leaders of all groups to cease putting the lives of their followers at risk, and that all Nepalese, especially in the Terai, will pause and commit themselves to pursuing their goals by exclusively peaceful means. Even legitimate claims are discredited by the use of violence, and provocative acts risk unleashing greater conflict,” he said at a press meet on Thursday (March 24).
Meanwhile, Martin said at the press meet that the Fifth Committee of the General Assembly is due to adopt the resolution giving UNMIN its budget. “This will be an amount of $88,822,000, as recommended by the Advisory Committee on Administrative and Budgetary Questions (ACABQ). This is only a little less than the $91,523,300 requested by the Secretary-General. The staffing of UNMIN will eventually grow to a little under 700 international personnel in all categories, including 186 arms monitors and 258 UN Volunteers, and a little under 400 national staff.”
He said that the presence of UNMIN has one objective: to support Nepal in achieving the context for a credible Constituent Assembly election. “Arms management is one aspect of creating that climate, and I want to clarify some aspects of the debate since we made public the results of the first stage of registration. First, I regret that agreement has not yet been reached between the Government and the CPN(Maoist) regarding arrangements for the personal security of Maoist leaders. UNMIN has registered 96 weapons retained by the Maoists outside the cantonments pending this agreement.”
As regards the second stage of registration, Martin said, he has made clear to the Maoist leadership that UNMIN believes that there are substantial numbers of minors in the cantonments as well as persons who were recruited after 25 May 2006, and has asked for their cooperation regarding their discharge, as the agreement requires.
On the issue of CA elections, he said, “A credible election requires not only the management of arms and armies, and the right laws and technical preparations: it requires a climate in which all political parties can campaign freely in all places, and all voters can vote free of any intimidation or fear of reprisal.”
He also expressed dismay at abductions and beatings of businessmen and others, in Kathmandu and elsewhere. “I have expressed concern to the Maoist leadership that the Young Communist League must be a peaceful political organization and must not engage in purported law enforcement.”
---
**Book List**
- Fateful Interview, Madhav Kumar Rimal, Rs. 400.00
- Beyond The frontiers Women’s stories from Nepal Padmavati Singh/2006 Rs. 200.00
- Bonded Labour Kamaiya in Nepal. Padma Raj Lamichhane/2005 Rs. 350.00
- Dhoopee “The Juniper” A Long Poem. Toya Gurung/2006 Rs. 185.00
- Distribution of goods and Services in Nepal’s Conflict Ananda P. Shrestha \Hari Uprety\2006 Rs. 200.00
- Ecotourism in Nepal with theoretical concepts and principles Damodar Prasad Bhatt/2006 Rs. 675.00
- Development planning in the Era of Globalization. Govind Nepal/2006 Rs. 110.00
- Human Rights yearbook 2007 Kundan Aryal/2007 Rs. 500.00
- Insurgency Affected People of Nepal Rehabilitation. Ujjwal Upadhyay/2006 Rs. 100.00
- Mass Media in Post -1990 Nepal Pratyous onta\2006 Rs. 200.00
- My Life Story Ramhari Sharma Nepal \ 2006 Rs. 250.00
- Nepal –Japan Relation, Ram Kumar Panday\2006 Rs. 200.00
- Nepal Struggle for Existence -Jagadish Sharma\2006 Rs. 999.00
- Nepal Postage Stamps Catalogue 2005, Chandra Kumar Stapit \Deepak Manandhar \2005 Rs. 150.00
- Nepal ‘s conflict and its impact on Public Ananda P. Shrestha \Hari Uprety\2006 Rs. 150.00
- 15. Peaks and Pinnacles Mountaineering in Nepal Harka Gudung/2004 Rs. 500.00
- The Sakyas, Ajaya Kranti Shakya/2006 Rs. 350.00
- Simple Convictions My Struggle for Peace and Democracy Girija Prasad Koirala\2006 Rs. 250.00
- 18 Uncertainty on a Himalayan Scale, Thompson \Warburation \Hatley\2007 Rs. 250.00
"Federalism Is Sometimes Necessary To Accommodate Differences"
- MP Singh
Professor M.P. SINGH, vice chancellor of West Bengal National University of Judicial Science, is a well known constitutional expert of India. He worked as a professor at Delhi University, visiting professor at Heidelberg University in Germany and Hong Kong University. Professor Singh came to Nepal recently at a program on constitution making, organized by Constitutional Advisory Support Unit/United Nations Development Program. Singh Spoke to KESHAB POUDEL on various issues related with constitution making. Excerpts:
How do you define federal structure of the government?
Actually, there are no fixed criteria for deciding and defining what is federalism. The word federal comes from the Latin expression Fedus which means an agreement between two or more parties to function in accordance with what they agreed upon. Then that arrangement may be called as federal which may not meet any particular criteria set by any definition of federalism. The example of federation may be as many as the federations in the world are. Each of them are different from each other in respect with the other. However, a classical definition which was given by Professor K.C. Vier is that it is a division of power between the center and states in a manner that they are independent of each other and coordinate with each other in their specified sphere. There he counted USA, Australia and Switzerland. There are other examples like Canada, India, South Africa and former Soviet Union which he said are quasi-federal constitutions.
As our interim constitution has already been amended announcing to make Nepal as a federal state, how do you see the possibility of a federal system in a small country like Nepal with diverse ethnic, linguistic groups?
Federation may be ideal for this kind of situation that people would like to be different in respect of their differences but they would like to be united or common in respect of their commonalities. Nepal having been a nation for long time and an independent country, people know of their nationality and people know that they belong to Nepal. But at the same time they might have a feeling that their mother tongue is different from people of another area or their ethnicity is different from another area. So far as their differences are concerned, with respect to regulations of their differences, they may have one arrangement while with respect to common things they would like to have this nation as a strong nation and they would like to be protected from outside and they would be represented in outer world as one country. Now in all these matters, they agree that there would be one country.
Nepal is a country where all ethnic groups are in minorities. How would federalism accommodate all of them?
Best example is India where nobody is in majority and everybody is in minority. Yet we have a functional federal arrangement. The federalism in India is not from today but you can go historically up to Mughal period or before that. One may say that India is too big and the division is necessary. India is much more diverse than Nepal. Rather one may say that further divisions are made to accommodate this diversity.
In Nepal people are saying federation is right to self determination and separatism. Is federation a separation of state?
That is a misunderstanding. If federation means right to self determination, then why nowhere in the world there is a federation which allows its parts or its members to secede. Even if it is mentioned somewhere in the constitution it never works. So even in USA some states thought they could secede from union but they are not allowed to break away and so the right of self determination does not mean that you can separate from nation. It is self determination on certain matters only which are agreed upon between different units or states.
Many people in Nepal see federalism is panacea for all the problems. How do you look at it?
I don’t think so. Generally federalism is not considered to be panacea for all the problems of the country. Federal governments require much more arrangement and somewhere they lead to weak government as total power of the government is divided into a central government and various regions. Therefore, the government at either level cannot act as effectively as a unitary government can. It is somehow creating a kind of weak government. At the same time, it may be sometime necessary to accommodate differences which exist among the people and certain issues.
We are in the constitution making process through the CA. How difficult is it to formulate the constitution through CA for federalism?
Federation and federalism cannot succeed without democracy. There is no example of successful federation in the world where there is no democracy. You cannot achieve a federation by merely writing in constitution. Secondly, democracy is dependent upon human rights. Therefore the protection of human rights is also the part of federalism. Democracy is essential for federalism.
Having just six decades of experiences of democratization and making institutions, how do you see the possibility of bringing democracy through the new constitution?
Democracy is also a process of learning and experimentation. Just by giving right to vote to all the people, people don’t suddenly become democrats. However, in course of time when they are exercising this power, they slowly start realizing that they can make a difference and they can change a government and they can make the government to rethink. Moreover, if they have to work for more than one government, they have to vote for the government which is closer to them. Then, they start participating more actively. The lessons of democracy is close to them and if, during the last sixty years, the democracy has not grown much in this country, one reason could be that people have thought that the government is too far away. If the government comes closer to them, they may get educated much faster by taking much more interest and by knowing they can make a difference in the functioning of the state.
How did you find the two days of discussions in Nepal about constitution making?
I got the impression that there is a general consensus among different political groups to have some sort of federal arrangement in Nepal. They may not be having a very clear idea as to what federation and federalism is. But they feel that the existing arrangements of one central government operating from Kathmandu alone is no more suitable to them. So it is a question of working out the details. I got the idea the kind of enthusiasm the people are showing in matter of creating a New Nepal. It may not be an easy process and it may take much longer than people might be expecting. I am sure that people of Nepal will come to some kind of arrangement that would be functional.
The News Magazine Packaged with Up-To-Date News Views & Analyses Our Readers Deserve The Best
SPOTLIGHT
The National News Magazine
BALUWATAR, GPO BOX: 7256
TELEPHONE: (977-1) 4423127, FAX: (977-1) 4417845
Email : email@example.com
The Star is in Your Favor.
Choose Your Lucky Casino!
CASINO NEPAL
Soaltee Compound
Tahachal, Kathmandu
Tel: 4280588
Fax: 9771 4271244
firstname.lastname@example.org
CASINO ANNA
Hotel de L’ Annapurna
Durbar Marg, Kathmandu
Tel: 4228650
Fax: 9771 4225228
email@example.com
CASINO EVEREST
Hotel Everest
New Baneshwor, Kathmandu
Tel: 4780925
Fax: 9771 4782284
firstname.lastname@example.org
CASINO ROYALE
Hotel Yak & Yeti
Durbar Marg, Kathmandu
Tel: 4438619
Fax: 9771 4223933
email@example.com
CASINO RAD
Radisson Hotel
Lazimpat, Kathmandu
Tel: 4420311
Fax: 9771 445525
firstname.lastname@example.org
CASINO TARA
Hyatt Regency
Boudha, Kathmandu
Tel: 4482517
Fax: 9771 4470722
email@example.com
|
Theses Digitisation:
https://www.gla.ac.uk/myglasgow/research/enlighten/theses/digitisation/
This is a digitised version of the original print thesis.
Copyright and moral rights for this work are retained by the author
A copy can be downloaded for personal non-commercial research or study, without prior permission or charge
This work cannot be reproduced or quoted extensively from without first obtaining permission in writing from the author
The content must not be changed in any way or sold commercially in any format or medium without the formal permission of the author
When referring to this work, full bibliographic details including the author, title, awarding institution and date of the thesis must be given
The Development Of Confocal Laser Scanning Methods For The Study of Vascular Structure, Function And Receptor Distribution.
Craig James Daly
A thesis presented for the degree of PhD (Oct. 1999).
Faculty of Medicine.
University of Glasgow.
© Copies of the thesis may be produced by photocopying.
All rights reserved
INFORMATION TO ALL USERS
The quality of this reproduction is dependent upon the quality of the copy submitted.
In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion.
ProQuest 10391323
Published by ProQuest LLC (2017). Copyright of the Dissertation is held by the Author.
All rights reserved.
This work is protected against unauthorized copying under Title 17, United States Code
Microform Edition © ProQuest LLC.
ProQuest LLC,
789 East Eisenhower Parkway
P.O. Box 1346
Ann Arbor, MI 48106 – 1346
11847 (Copy 2)
Abstract.
The work contained within this thesis describes the development of confocal laser scanning methods as applied to the study of blood vessel structure and receptor distribution. Prior to the start of the project there were no suitable techniques available for the study of 3D structure and spatial distribution of receptors which therefore necessitated the development of novel methods. The first phase of the work employed fluorescent DNA stains which provided an increased contrast and an ability to identify all cell types, number, orientation and viability within a living vascular wall. This nuclear staining method was then extended by introducing confocal analysis of myograph mounted arterial segments. The confocal method was successful in detecting areas of apparently disorganised smooth muscle cells within the wall of SHR basilar arteries. In addition, CLSM detected changes in the media of human arteries taken from cases of critical limb ischaemia and in the adventitia of mouse tail artery where the $\alpha_{1b}$-adrenoceptor had been deleted.
Structural studies of the vascular wall required the use of image analysis methods for quantification and feature extraction. This required the development of novel methods specific for, CLSM-derived, 3D volumes of vascular structure. A semi-automated thresholding and segmentation algorithm (IMTS) was developed and tested. The imaging and segmentation phase of the research aided in the identification of problems associated with quantification of 3D volumetric structures.
Fluorescent-ligands can be used to identify high affinity binding sites within cells. A significant proportion of this thesis describes the development of fluorescence-binding using CLSM and image analysis. The results document the developmental work leading up to the construction of the first 'specific' binding curve to be performed on a single living cell. This paves the way for ligand-binding-type experiments on cells dissociated from biopsies or other small tissue samples.
Overall, the project has established the use of confocal microscopy for the study of blood vessel structure, function and receptor distribution. This thesis describes the key steps in the development of the techniques and hopefully serves as a guide to those interested in using confocal based methods for the study of blood vessels.
## Contents.
| Section | Page No. |
|------------------------------------------------------------------------|----------|
| I Acknowledgements | |
| II Declaration | |
| III Publications arising from the work | |
| IV List of abbreviations | |
| V List of figures | |
| VI Summary of results | |
| VII General Introduction | |
### Chapter 1. - The Development of Fluorescence Myography and the Use of Fluorescent Nuclear Stains.
#### Introduction.
- Blood Vessel Structure and Function
- Asymmetry of responsiveness.
- Wire Myography
- Alpha-adrenoceptors in the vasculature
#### Methods.
- Phase Contrast Studies of Vasoconstriction.
- Fluorescent Staining procedures.
- In-Vitro toxicity tests.
- Free radical generation and cell-viability assays
- Collection of Fluorescence Micrographs.
- Image Analysis.
- Drugs and Solutions
#### Results.
- Phase Contrast
- Fluorescent probes.
- Hoechst 33342 & Ethidium bromide.
- Extraluminal staining.
- Cell Viability
- Intraluminal staining.
- Staining of large (thick walled) blood vessels.
- Image analysis.
#### Discussion.
- Phase Contrast.
- Fluorescent nuclear stains
- Cell viability
- Image analysis.
#### References.
Chapter 2. - Confocal Microscopy and Image Analysis.
Introduction. 37
Principles of Confocal Microscopy. 39
practical uses of CLSM. 41
Emission attenuation with depth. 42
Optical aberrations in CLSM. 42
Bleaching and Fluorescence attenuation. 45
Collection of Serial Optical Sections. 46
Digital Images and 3-dimensional volumes. 47
Methods. 49
Tissue harvest. 49
Tissue mounting. 49
Tissue staining. 50
Fluorescent Stains. 51
Confocal Microscopy. 52
Calibration of objectives. 54
Image Capture. 56
Image Analysis and 3D processing. 56
Results. 59
Extracellular staining. 59
Cytoplasmic Staining. 60
Combined extracellular and nuclear staining. 61
BCECF stained, myograph mounted arterial segments. 62
Nuclear stained, myograph mounted vessels. 63
Agonist activation of stained pressure mounted vessels. 65
Vector models. 66
Structural studies using extracellular and nuclear stains. 66
Automated Analysis of 3D volumes. 68
Testing the IMTS segmentation method. 69
Discussion. 72
The Vascular Wall. 72
Confocal (fluorescence) microscopy. 72
Nuclear staining. 73
Application of the CLSM method to studies of vascular remodelling. 74
Human Resistance Arteries. 75
Automated 3D-analysis. 77
Problems associated with CLSM. 78
Multi-level thresholding and segmentation (IMTS). 80
Object Classification and measurement. 81
References. 84
Chapter 3. - The use of fluorescent ligands and the development of methods for fluorescent ligand-binding in isolated cells and tissues. 89-132
Introduction. 89
Current Classification of $\alpha_1$-adrenoceptor subtypes. 91
Selectivity of Antagonist drugs and new compounds. 93
Receptor distribution and location. 93
History of fluorescent "drug" ligands. 94
Examples of fluorescent ligands for various receptors. 95
Methods. 98
Reagents. 98
Cell culture. 98
Inositol phosphate studies. 98
Membrane preparation. 99
Radioligand binding studies. 99
Analysis of functional antagonism by QAPB. 100
Assessment of antagonist potency versus agonist CRCs. 101
Confocal Microscopy. 101
Whole cell image analysis. 102
Ligand binding to tissue slices. 102
Iso-Surface Modelling. 103
Simulated Fluorescence Projection. 103
Results. 104
Ligand affinity. 104
Concentration dependent fluorescence. 105
Image analysis. 108
3-dimensional visualisation and localisation of QAPB (30nM) binding to $\alpha_1\beta$-adrenoceptor transfected fibroblasts. 110
QAPB (0.1$\mu$M) binding to whole tissue. 111
QAPB binding to transverse sections of rat mesenteric artery. 112
Discussion. 113
Affinity and Selectivity. 114
Visualisation and construction of concentration / fluorescence curves and competition binding studies on live cells. 116
Spatial distribution of $\alpha_1$-adrenoceptor subtypes. 120
Iso-surface modelling. 121
Analysis of receptor binding intensity in thick biological specimens. 122
References. 127
Chapter 4 - Case Study:
Pharmacology and Confocal Studies of Mouse Tail Artery. 135-149
Introduction. 133
Methods. 137
Functional Studies. 137
Analysis of functional data 137
Confocal Study of Structure 138
Dissociation of Smooth Muscle cells. 138
Drugs and Solutions 139
Results. 140
Antagonist profile 140
Agonist potency 140
Electrical field stimulation 140
Confocal analysis of structure 141
Fluorescent ligand binding 141
Discussion. 142
Antagonist potency. 143
Agonist potency. 144
Electrical field stimulation. 144
Confocal Studies of Structure. 145
α-adrenoceptor distribution. 145
References. 147
General Discussion 150-154
1. Acknowledgements.
Once again I am indebted to Professor JC McGrath for giving me the freedom to follow my interests wherever they were headed. In the 19 years that I have worked in his laboratory he has been supportive in everything I have aimed for and I am grateful for his constant support and enthusiasm. Thanks.
To my old lab partner John Gordon I extend my gratitude. It was his idea to try a confocal microscope and we worked together closely on the development of the original methods. John was lucky enough to break the habit. I, on the other hand, got addicted to imaging and all things confocal and I am still feeding my habit to this day.
To my many colleagues, old and new, I offer a special thank you. It has been a great lab to work in and my confocal buddies have made it all the more enjoyable. There are too many to mention. However, special thanks go to those who have been collaborators on various confocal projects, namely, Janet, Paul, Silvia, Simon and Daisheng. There is a little of all of you within these pages.
The others who have made 440 a brighter place to work in also deserve a special mention. Jillian, Joyce, Ann, Anna, Clare, Alison and Angela. Thanks.
To my parents, a special thanks for constantly preparing me for interviews and vivas. ‘So tell me again, what is it you do at your work?’ Seriously, I thank them for their love and support for much longer than the 20 years that I have been working here.
Finally, and by no means least, thanks to my wife Maureen and my children Scott and Jennifer. I learned in the course of this study that the working day finishes at 5’30pm for a reason and that is to spend time with them. There are some things more important than science and words cannot express how fortunate I am to have my family around me. They know what IS important.
II. Declaration.
The work contained within this thesis is entirely my own. Some of the collaborative work has been published and is included within the references of the next section. All of the graphs are my own with the exception of;
Figure 2.15 & 2.16 Done in collaboration with Dr SM Arribas
Figure 2.17 Done in collaboration with Mr. Paul Coats
Figure 2.20 Done in Collaboration with Dr. D. Luo
Figure 3.2 Done in Collaboration with Prof G. Milligan & Dr. JF Mackenzie
Figure 3.13(h) Done in Collaboration with Dr. JF Mackenzie
Figure 4.7 Done in Collaboration with Dr. JF Mackenzie
This work has not been presented in whole or as part of any other degree course.
III. Publications Resulting from the work in this thesis.
Chapter 1.
Daly CJ, Gordon JF, Boyle FC, Gillespie JS, McGrath JC, Moss VA & Spurway NC (1990). Fluorescent myography: Analysis of vascular smooth muscle cells of the rat labelled with bisbenzimide during vasoconstriction. *J Physiol*, **429**, 11.
Gordon JF, Daly CJ, Boyle FC, Kusel JR, Gillespie JS & McGrath JC (1990). A simple smooth muscle cell viability assay for use in rat blood vessels in vitro. *J Physiol*, **429**, 10.
Daly CJ, Gordon JF & McGrath JC (1991). Assessment of cell viability within the wall of rat mesenteric arteries. *Blood Vessels*, **28**, 282.
Daly CJ, Gordon JF & McGrath JC (1991). Fluorescence image analysis methods for the study of smooth muscle cell interaction within the vascular wall of small blood vessels. In Resistance arteries - Structure and Function. Eds. Mulvany MJ et al., Vol 1. Amsterdam Elsevier, 339-343.
Daly CJ, Gordon, JF & McGrath, JC (1991) Assessment of cell viability within the wall of rat mesenteric arteries. *Blood Vessels* **28** 282.
Daly CJ, Gordon, JF, McGrath JC & Spedding M. (1991) Quantification of experimentally induced ischaemic damage to smooth muscle cell membranes within the wall of resistance arteries. *Blood Vessels* **28** 281.
Daly CJ, Gordon JF & McGrath JC (1991) A fluorescence image analysis method for the study of smooth muscle cell interaction within the vascular wall of small blood vessels. *Blood Vessels* **28** 281.
Daly CJ, Gordon JF & McGrath JC (1992) The use of fluorescent nuclear dyes for the study of blood vessel structure and function: novel applications of existing techniques. *J. Vasc. Res.* 29 41-48.
Chapter 2.
Daly CJ, Gordon JF & McGrath, JC (1993) Observation of vasodilatation in small arteries with confocal microscopy. Proceedings of XXXII Congress of the International Union of Physiological Sciences, Glasgow, 1993. 73.12/O.
Gordon JF, Daly CJ & McGrath JC. (1993) Analysis of rat resistance artery structure in pressurised vessels using confocal microscopy. Proceedings of XXXII Congress of the International Union of Physiological Sciences, Glasgow, 1993. 249.48/P.
Daly CJ, Gordon JF & McGrath JC (1993) 3-Dimensional analysis of smooth muscle cell reactivity within the rat resistance artery using confocal microscopy. Proceedings of XXXII Congress of the International Union of Physiological Sciences, Glasgow, 1993. 249.47/P.
Daly CJ, Gordon JF & McGrath JC (1994) The use of confocal microscopy for the study of resistance artery structure and function. *J. Vasc. Res.* 31 10.
Arribas S, Gordon JF, Daly CJ, Davidson A, Dominiczak AF & McGrath JC (1994) Vascular smooth muscle rearrangement and impaired contractions in basilar artery of the stroke-prone spontaneously hypertensive rat. *J. Hypertension* 12 1307-1352.
Arribas S, Gordon J, Daly CJ, Davidson A. Dominiczak AF & McGrath JC (1994) Smooth muscle cell rearrangement and impaired contractions basilar artery of SHRSP. *Meth. Find. Exp. Clin. Pharmacol.* 16 47 (CO-16).
Arribas S., Daly CJ, Gordon JF & McGrath JC (1994) Confocal myography: applications for the study of resistance arteries. In: *The resistance arteries: integration of the regulatory pathways*. Ed. W. Halpern et al., New Jersey USA, Humana Press. pp. 259-264 [ISBN 0-8960 3-303-1]
Arribas SM, Gordon JF, Daly CJ, McGrath JC (1995) Confocal microscopy for structure and realtime pharmacology in blood vessels. *J. Human Hypertension* **9** 645-647.
Arribas SM, Gordon JF, Daly CJ, Davidson A, Dominiczak AF & McGrath JC (1995) Structural and functional alterations in the basilar artery from stroke prone spontaneously hypertensive rats. 7th European Meeting on Hypertension, Milan, June 1995, p. 12, 42.
Arribas SM, Gordon JF, Daly CJ, Dominiczak AM & McGrath JC. (1996) Confocal microscopic characterization of a lesion in a cerebral vessel of the stroke-prone spontaneously hypertensive rat. *Stroke* **27** 1118-1123.
Luo D, Robert A, Daly CJ, Mackenzie JF, Arribas S, McGrory S. & McGrath JC (1997) Segmentation of laser scanning confocal microscopy images. Computers in Microscopy Meeting, Cambridge, September 1997.
Arribas SM, Daly CJ & McGrath JC (1999) Measurements of vascular remodeling by confocal microscopy. (ed. P.M. Conn). *Methods Enzymol.* **307** Suppl ‘Confocal Microscopy’ 246-273.
Chapter 3.
McGrath JC & Daly CJ. (1995) Viewing adrenoceptors; past, present and future; commentary and a new technique. *Pharmacol. Commun.* **6** 269-279.
McGrath JC, Arribas S, Brown CM, Daly CJ, Gordon JF, Milligan G, Pediani J., Smith K. & Wilson, S.M. (1995) Real-time agonist and antagonist competition binding studies at $\alpha_1$-adrenoceptors using Bodipy FL-Prazosin; A fluorescent $\alpha_1$-adrenoceptor antagonist. *FASEB J.* 9 No3 A104.
Daly CJ & McGrath, JC (1997) Binding of a fluorescent quinazoline to recombinant $\alpha_1$-adrenoceptors. *J. Autonom. Pharmacol.* 17 220.
McGrath JC, Arribas SM & Daly CJ (1996) Fluorescent ligands for the study of receptors. *Trends in Pharmacological Sciences.* 17 No 11 393-399.
Daly CJ, de la Rue SA, Luo D. & McGrath JC (1997) 3D-distribution of $\alpha$-adrenoceptors in blood vessel lack of staining on endothelial cells. *J. Vasc. Res.* 34 Suppl 1 034P.
Daly CJ, Mackenzie JF & McGrath JC (1997) Fluorescent ligand binding to recombinant $\alpha_{1a/\alpha}$-adrenoceptors. *J. Vasc. Res.* 34 Suppl 1 033P.
Mackenzie JF, Daly CJ & McGrath JC (1998) Comparison and validation of human $\alpha_1$-adrenoceptor binding characteristics on live, whole cells using radioligand binding and confocal laser scanning microscopic techniques. *Naunyn-Schmiedeberg's Arch. Pharmacol.* 358 Suppl. 2 P6.45.
Luo D, Daly CJ, Mackenzie JF, McGroty SP, Robert A & McGrath JC (1998) 3D remodelling of $\alpha_1$-adrenoceptors in live cells using a fluorescent ligand, QAPB and confocal laser scanning microscopy. *Naunyn-Schmiedeberg's Arch. Pharmacol.* 358 Suppl. 2 P6.44.
Mackenzie JF, Daly CJ, Luo D & McGrath JC (1998). Cellular localisation of alpha-1 adrenoceptors in native smooth muscle cells. On-line Proceedings of the 5th Internet World Congress on Biomedical Sciences '98 at McMaster University, Canada
Daly CJ, Milligan CM, Milligan G, Mackenzie JF & McGrath JC (1998) Cellular localisation and pharmacological characterisation of functioning α1-adrenoceptors by fluorescent ligand binding and image analysis reveals identical binding properties of clustered and diffuse populations of receptors. *J. Pharmacol. Exp. Ther.* **286** 984-990.
McGrath JC, Mackenzie JF & Daly CJ (1999) Sub-cellular localisation of α1-adrenoceptors in live cells and tissues. British Pharmacological Society, Joint Spring Meeting with Portuguese Pharmacological Society, Porto, Portugal, April 1999. *Br. J. Pharmacol.* **127** 133P
Mackenzie JF, Daly CJ, Luo D, & McGrath JC (1999) Cellular localisation of α1-adrenoceptors in human primary smooth muscle cells derived from the prostate of patients with benign prostatic hypertrophy. *Eur. Urol.* **36** Suppl 1 115.
Chapter 4.
Daly CJ, Cotecchia S & McGrath JC (1998) Low frequency electrical field stimulation elicits responses in segments of mouse tail artery which are slower in α1b-knockout mice than in control mice. *Naunyn-Schmiedeberg's Arch. Pharmacol.* **358** Suppl. 2 P6.40.
IV. List of Abbreviations.
5,6 CF 5(6)-carboxyfluorescein mixed isomers.
AO Acridine Orange,
BCECF AM 2',7'-bis-(2-carboxyethyl)-5-(and-6)-carboxyfluorescein, acetoxyethyl ester.
CLSM Confocal Laser Scanning Microscopy
DHE Dihydroethidium.
EB Ethidium Bromide.
FITC fluorescein isothiocyanate.
FKD Fluorescence dissociation constant
H33342 Hoechst 33342 (bisBenzamide).
IMTS Iterative Multi-Level Thresholding Segmentation
KCl potassium chloride
NA noradrenaline
pA2 Affinity constant of an antagonist derived from Schild plot.
Phe phenylephrine
PI Propidium Iodide.
pKB Estimated affinity value for an antagonist (log)
QAPB BODIPY FL-prazosin
SHR Spontaneously Hypertensive Rat
TO Thiazole Orange.
WKY Wistar Koyoto (control for SHR)
V. List of Figures and Tables.
Chapter 1. The development of fluorescence myography and the use of fluorescent nuclear stains.
Figure 1.1 Schematic diagram of the vascular wall
Figure 1.2 In situ contraction of rat mesenteric artery
Figure 1.3 Wire myograph mounted vessel segment
Figure 1.4 Contraction of wire mounted vessel
Figure 1.5 Top view; wire mounted vessel
Figure 1.6 Cell viability; fluorescence micrographs
Figure 1.7 Fluorescent nuclear stain of vessel segment
Figure 1.8 H33342 & Ethidium staining of RMA
Figure 1.9 Free radical damage of RMA segments
Figure 1.10 In vivo staining of RMA and cerebral vessels
Figure 1.11 Schematic of nuclear stained wire mounted vessel
Figure 1.12 Combined brightfield and fluorescence images of RMA
Figure 1.13 Functional toxicity test of H33342 vs RMA
Figure 1.14 Contraction of wire mounted RMA
Figure 1.15 Identification of nuclear group during contraction
Figure 1.16 Analysis of movement of nuclei during contraction
Chapter 2. Confocal Microscopy and Image analysis
Figure 2.1 Schematic of the confocal principal
Figure 2.2 Extracellular (5,6 CF) staining of RMA
Figure 2.3 Cytoplasmic staining of RMA media & adventitia
Figure 2.4 Combined BCECF and H33342 staining in RMA
Figure 2.5 Combined extracellular and nuclear staining of RMA
Figure 2.6 BCECF staining of pressurised arteries
Figure 2.7 Nuclear stained pressurised RMA segment (30mmHg)
Figure 2.8 Nuclear stained pressurised RMA segment (80mmHg)
Figure 2.9 Nuclear stained pressurised RMA segment (40mmHg)
Figure 2.10 Nuclear stained WKY segment (40mmHg)
Figure 2.11 Nuclear stained SHR segment (60mmHg)
Figure 2.12 Nuclear stained SHR segment (120mmHg)
Figure 2.13 KCl activated nuclear stained wire mounted RMA
Figure 2.14 Vector models of Wistar and SHR nuclear volumes
Figure 2.15 Vector model of KCl activated RMA segment
Figure 2.16 Extracellular staining of WKY basilar artery segment
Figure 2.17 Extracellular staining of SHR basilar artery segment
Figure 2.18 Proximal and distal human cutaneous artery segment
Figure 2.19 3D reconstruction of nuclear stained volume (RMA)
Figure 2.20 IMTS segmentation of 3 sample volumes
Table 2.1 List of fluorescent compounds used in the study.
Table 2.2 Average morphology of 10 randomly selected nuclei
Table 2.3 Smooth muscle cell arrangement in WKY and SPSHR rats.
Table 2.4 Analysis of human subcutaneous resistance arteries.
Table 2.5 IMTS morphometric analysis of CLSM segmented volume.
Chapter 3. The use of fluorescent ligands and the development of the methods for fluorescent ligand binding in isolated cells and tissues.
Figure 3.1 Chemical structure of QAPB and quinazolines
Figure 3.2 Biochemical and ligand binding assays of QAPB affinity
Figure 3.3 Functional assay of QAPB affinity in blood vessels
Figure 3.4 Functional assay of QAPB in Vas Deferens
Figure 3.5 QAPB binding to transfected fibroblasts (10-160nM)
Figure 3.6 Construction of binary masks from induced fluorescence
Figure 3.7 QAPB binding versus prazosin in transfected fibroblasts
Figure 3.8 Analysis (graph) of QAPB binding shown in figure 3.7
Figure 3.9 Displacement of QAPB with prazosin and phentolamine
Figure 3.10 QAPB binding to living and fixed cells
Figure 3.11 QAPB Saturation fluorescence curves vs competitors
Figure 3.12 QAPB binding to α₁-d-transfected cells (0.4-10nM)
Figure 3.13 ‘Specific’ fluorescence & radioligand binding curves
Figure 3.14 Z-sectioning of QAPB (30nM) binding in cells
Figure 3.15 Z-Sectioning showing intracellular and membrane binding
Figure 3.16 SFP and iso-surface models of membrane bound QAPB
Figure 3.17 Iso-surface models of transfected and native cells
Figure 3.18 QAPB (100nM) binding to RMA whole mount segments
Figure 3.19 Comparison of QAPB binding to mesenteric and basilar A.
Figure 3.20 QAPB binding to vascular and nonvascular smooth muscle
Figure 3.21 Schematic of method of cutting transverse vascular sections
Figure 3.22 QAPB (5-10nM) binding to TS sections of RMA
Figure 3.23 Analysis of QAPB binding to RMA transverse sections
Table 3.1 Fluorescent ligands versus radioligand. Advantages and disadvantages.
Table 3.2 Analysis of diffuse and clustered QAPB-binding
Table 3.3 List of BODIPY fluorescent linked ligands.
Chapter 4. Case study: Pharmacology and confocal studies of mouse tail artery.
Figure 4.1 Adrenoceptor profile of mouse isolated tail artery
Figure 4.2 Effect of CEC in wildtype and KO mouse artery
Figure 4.3 A86641 & phenylephrine vs BMY7378 in mouse tail artery
Figure 4.4 EFS responses in mouse tail artery
Figure 4.5 Adventitial structural analysis of WT and KO tail artery
Figure 4.6 3D model of pressurised tail artery segment
Figure 4.7 QAPB binding to dissociated tail artery SMC
VI. Summary of results.
Chapter 1.
1. This thesis contains the developmental work which has resulted in the group of techniques which are generally referred to as confocal myography and fluorescent ligand binding.
2. Studies of agonist induced activity in wire myograph mounted vessel segments indicated that cells were active prior to stimulation and that rhythmic activity develops from an apparently uncoordinated initial contraction.
3. Hoechst 33342 provided greater contrast than cytoplasmic stains and enabled the identification of cell type, axial position, number and orientation.
4. Ethidium related dyes (i.e. bromide and homodimer) are sensitive enough to detect free radical-induced cellular damage in the vascular endothelium.
5. Nuclear stains administered in-vivo up to 30mg/kg stained vascular endothelial cell nuclei and did not cross the blood brain barrier.
6. H33342 did not alter the sensitivity of rat isolated mesenteric artery to noradrenaline.
7. NA-induced nuclei re-arrangement can be analysed, plotted and is consistent with the expected shortening (and bunching) of smooth muscle cells in a wire myograph system.
Chapter 2.
1. Confocal microscopy was evaluated as a tool for the study of vascular structure.
2. Extracellular, cytoplasmic and nuclear stains were compared. The nuclear stains appeared to be the most appropriate for confocal microscopy studies of cellular arrangement.
3. Pressure myography and CLSM was used to build 3D models of cytoplasmic and nuclear stained vessels under different transmural pressures.
4. During increases in transmural pressure the smooth muscle cell nuclei become longer and wider indicating that cells become longer and flatter.
5. WKY and SHR pressurised segments revealed the presence of significant invaginations of the internal elastic lamina which are more prominent at low (i.e., <= 40mmHg) transmural pressures.
6. Vector models provided simple visualisation for 3D volumetric data of nuclei.
7. CLSM revealed regions of disorganised smooth muscle cells in basilar arteries taken from SHR but not WKY animals.
8. CLSM analysis of limb cutaneous arteries showed distal (ischaemic) arteries had fewer cells and reduced wall thickness than proximal segments.
9. A new method of segmentation, the iterative multi-level thresholding segmentation (IMTS) was found to be a reliable semi-automated method of nuclei extraction which will provide a basis for further development.
Chapter 3.
1. A novel fluorescent ligand (BODIPY FL-prazosin aka QAPB) was evaluated as a possible ligand for $\alpha_1$-adrenoceptors.
2. QAPB inhibited IP$_3$ generation ($pA_2$ 7.78) and $^3$[H]-prazosin binding ($pK_i$ 8.9) with high affinity when tested versus recombinant $\alpha_{1d}$-adrenoceptors.
3. Functional studies of vascular tissues yielded pA₂ values of 8.25 (rat aorta) and 7.6 (rabbit saphenous artery).
4. QAPB (0.1uM) caused a rightward shift of the noradrenaline concentration response curve in the rat vas deferens. In vas, responses to acetylcholine were unaffected by QAPB. Thus, QAPB exerts its action via blockade of α₁-adrenoceptors and is non-toxic.
5. QAPB-induced fluorescence was time- and concentration-dependent. Initial experiments revealed diffuse and clustered binding consistent with the expected distribution of receptors. QAPB binding (fluorescence) was inhibited by non-fluorescent antagonists. However, displacement of QAPB was difficult to achieve, presumably due to the high degree of intracellular binding which occurs at high (i.e. >10nM) concentrations.
6. Lowering the concentration of QAPB (0.4-10nM) and increasing the detector sensitivity enabled specific binding (K_D 3.9nM) with characteristics similar to those of radioligand binding (K_D 1.89nM). This result represents the first specific binding curve (and fluorescence K_D) to be calculated for a living cell at true equilibrium.
7. Image analysis enabled the calculation of the relative distribution of diffuse and clustered binding. Low level fluorescence (diffuse binding) accounted for 41.2% of the total whilst high intensity (clustered) binding accounted for 15.5%.
8. 3D spatial analysis of >5nM QAPB binding in live cells using a Z-section viewer showed that binding was both intracellular and membrane bound.
9. QAPB (0.1uM) binding to segments of blood vessels and anococcygeus muscle was inhibited in the presence of YM12617 (10uM) and phenoxybenzamine (10uM) respectively. Binding was consistent with the orientation of the smooth muscle and was both diffuse and clustered. Comparative studies of rat mesenteric and basilar arteries showed fewer QAPB binding sites in the basilar artery.
10. Staining of transverse sections of blood vessels indicated that most QAPB binding occurs in the regions of the internal and external elastic lamina.
11. In conclusion, fluorescent ligands are an ideal way of obtaining information on the spatial distribution of receptors within living tissue and isolated cells. However, issues relating to the specificity of the fluo-ligand must be resolved prior to its use for either quantitative or qualitative purposes.
Chapter 4.
1. A short case study of the mouse tail artery was undertaken to demonstrate the ways in which confocal studies can complement conventional pharmacological methods.
2. The $\alpha_2$-antagonists delequamine (pK$_{B}$ 6.02) and rauwolscine (pK$_{B}$ 6.33) exhibited low affinity versus noradrenaline.
3. The proposed $\alpha_{1B}$-antagonist chloroethylclonidine (CEC) caused a slight rightward shift in the noradrenaline concentration response curve. In mice lacking the $\alpha_{1B}$-adrenoceptor the CEC induced shift was reduced indicating only a minor role for $\alpha_{1B}$-adrenoceptors.
4. The potency order of the $\alpha_1$-agonists A86441 and phenylephrine (A86441 >> phenylephrine) and the lack of effect of BMY7378 precludes the involvement of the $\alpha_{1D}$-subtype and leaves the $\alpha_{1A}$-adrenoceptor subtype as the most likely subtype to be involved in the noradrenaline-induced response.
5. Electrical field stimulation indicated that the $\alpha_{1B}$-subtype may initiate the initial response to adrenergic neurotransmission since responses in $\alpha_{1B}$-knockout mouse were slower than those of the wild type.
6. Confocal studies of the adventitia of the wild type and knockout mouse tail artery revealed a marked reduction (59%) in the number of adventitial cells present in the adventitia of the KO mouse tail artery.
7. CLSM studies of pressurised arteries revealed a heterogeneous orientation of medial smooth muscle cells.
8. QAPB binding to mouse dissociated tail artery smooth muscle cells revealed both membrane bound and intracellular receptors. The $F_K_D$ calculated from the specific QAPB-binding to a single living cell (2nM) is constant with other values obtained for $\alpha_{1A}$-adrenoceptor transfected cells in Prof. McGrath's group.
9. In conclusion, the confocal-derived data supports the pharmacological findings and gives greater confidence for the use of confocal methods in vascular research.
Studies of vascular structure and function have yet to be unified by a single method or technique. There is no question that vascular structure is altered in many cardiovascular related diseases (such as hypertension and heart failure) and these will be discussed in the chapters that follow. There is also little doubt that a significant alteration in structure will have a subsequent impact on the normal function of the diseased vessel. Despite the intense research into vascular mechanisms worldwide, we still know very little about the structure-function relationship. Classical histological studies have not advanced our knowledge in the past twenty years. Current histology textbooks still provide only the most basic description of the vascular wall. Even if it was possible to obtain the set of cells required to build a blood vessel it would certainly not be possible to find the instructions on how to put them together. Indeed, even the placement of the first two cells is not known. Perhaps then it is not surprising that the influence that structure has on function is not yet known, except in its most basic sense (e.g. a damaged endothelium may cause impaired vasodilatation).
In my previous research project (MSc) I studied the participation of $\alpha_2$-adrenoceptors in the response to sympathetic neuroeffector transmission in the rabbit isolated saphenous and plantaris veins. Briefly, it was found that $\alpha_2$-adrenoceptors can participate in the postjunctional response to neurotransmitters under certain conditions, namely in the presence of cocaine to block neuronal uptake. This raised the question of location of vascular $\alpha$-adrenoceptors. Two possible conclusions were
reached from the study; i) $\alpha_2$-adrenoceptors required prolonged activation or ii) $\alpha_2$-adrenoceptors are located extrajunctionally. However, many questions were left unanswered. i) how are the adrenoceptor subtypes distributed throughout the vascular wall? ii) do smooth muscle cells express subtypes in equal quantities? iii) will noradrenaline (and other selective agonists) stimulate specific cell layers (i.e. asymmetry of responsiveness)?
For my PhD project I was given the task of determining the action of selective agonists at different depths within the vascular wall, in an attempt to answer some of the questions raised in the previous project. Fortunately, the development of wire and perfusion myographs made it possible to mount very small segments of resistance arteries. Furthermore, the design of the myograph enabled them to be used in conjunction with a microscope thus offering a view of the vessel. However, the imaging was primarily for morphometric measurement of wall thickness (wire myograph) or gross functional response (pressure myograph measure of internal and external diameter coupled with wall thickness). These technologies therefore dictated that the following study would be performed on resistance arteries. Unfortunately, this meant leaving the rabbit saphenous and plantaris veins but the questions raised with these vessels are just as relevant (and perhaps even more so) in the resistance vasculature.
With the benefit of hindsight I realise now that the task I was given was hugely complicated and it has taken my research in a direction that I could not have predicted. What started out as an adrenoceptor related pharmacological project has
required the use of fluorescence and confocal microscopy, image analysis methods, 3D modelling, cell culture and the development of novel fluorescent ligands for adrenergic receptors.
This thesis sets out to describe in detail the development of methods which have become commonly used in Professor McGrath's laboratory and is widely referred to as 'confocal myography'. Chapter 1 introduces the problems briefly outlined above and suggests a method for staining and visualising 'living' myograph mounted segments of blood vessels. In addition this chapter introduces a novel cell viability assay for blood vessels and shows that these methods can also be applied to in-vivo preparations. Chapter 2 introduces the principles of confocal microscopy and details my search for the vital stains and conditions that could be used for the study of blood vessel structure. Chapter 2 also introduces the methods of image analysis and the problems associated with 3D quantification. Chapter 3 describes the work with fluorescent ligands, which can be used with other structural stains. This chapter describes the problems of maintaining drug selectivity while at the same time obtaining good images for analysis. Chapter 3 also presents the first published 'specific' fluorescence binding curve performed on living cells. This technique will provide a means of determining receptor subtype on a single dissociated cell and will hopefully provide a direct answer to one of the questions previously raised. Chapter 4 is a case study of the mouse tail artery. This chapter shows what information can be gained using a combination of confocal microscopy and myography (confocal myography).
Chapter 1
The Development of Fluorescence Myography and the Use of Fluorescent Nuclear Stains.
Introduction
Blood Vessel Structure and Function
Current histology texts devote very little space to the description of vascular structure. In general, the main vessels (with the exception of the capillaries) are composed of 3 ‘tunics’. The tunica adventitia is the outer coating of cells, comprising mainly macrophage and fibrocyte cells. The adventitia also provides support for the postganglionic sympathetic nerves that innervate some vessels and which terminate at the adventitia medial border in arteries and slightly deeper in the veins. The inner layer of endothelial cells (EC’s), which form the endothelium, are generally flat cells which are in contact with the blood and are referred to as the tunica intima. Between the intima and adventitia is the tunica media. The media is composed of smooth muscle cells (SMCs), elastin and collagen fibres.
The arrangement and number of SMCs has become a focus of attention in the past 20 years, stimulated by the discovery that medial thickness (and thus wall:lumen ratio) is altered in resistance vessels of hypertensive animals. Mulvany & Halpern (1977) reported a 23% increase in wall thickness in 3rd order branches of rat mesenteric artery taken from spontaneously hypertensive rats (SHR’s) compared with their normotensive Wistar Koyoto (WKY) controls. This finding has been confirmed by many workers in recent years and is reviewed in several articles by Mulvany (see most recent 1999). It is beyond the scope of this thesis to review the recent literature regarding hypertension and the reader is encouraged to read the reviews by Mulvany et al. However, in a general sense it may be worth considering the ‘regular’
arrangement of vascular smooth muscle cells and the complex interactions that undoubtedly exist between the cells of the adventitia, media and intima.
Older histology texts state that the smooth muscle cells of arterioles are orientated circumferentially and spiral around the vessel lumen (Garvin 1965). Current knowledge adds nothing to this description. In a review of the fine structure of vascular walls in mammals, Rhodin (1982) writes "Generally speaking, the muscle cells are arranged in a helical fashion around the vessel". The same author estimated the angle between the helical turn and the long axis of the mouse femoral artery to be around $30^\circ$. In large 'elastic' arteries the spiralling may vary from one layer to the next (Pease & Paule 1960). Moreover, the orientation of smooth muscle cells in the rat aorta changes from oblique to radial in the lathyritic vessel (Keech 1960). Aalkjaer and Mulvany (1983) described the circumferentially orientated smooth muscle cell arrangement of resistance arteries of both rat and human.
There have been no studies which have focussed on the detailed arrangement of cells in the vascular wall. This is surprising given the intense research into the mechanisms of vascular remodelling which occurs in hypertension (Baumbach & Heistad 1989; Haegerty et al., 1993; Mulvany et al., 1996). The debate over remodelling in the literature tends to centre around the cause of the increased media thickness. However, no attempts have been made to describe the organisation of smooth muscle cells in normal vessels.
The outer coating (tunica adventitia) of most blood vessels contain post-ganglionic sympathetic nerves which release neurotransmitters (noradrenaline, ATP and
neuropeptides) which act on the vascular smooth muscle cells (VSMCs) to cause constriction of the vessel. Falck-Hillarp and Glyoxylic acid staining reveals a plexus of nerves which appears to have no real pattern or organisation. However, these nerve stains are rarely visualised in combination with stains for the VSMC or cells in the adjacent adventitia. It could be expected that the nerve plexus will be intimately linked with the underlying VSMCs upon which the neurotransmitters act. Similarly the endothelium exerts control over VSMC and the cells make individual contact yet the general relationship is not known.
In an early review of vascular structure and function Burton (1954) concentrated on the relationship of elastic fibers and SMCs and largely ignored both endothelial cells and any influence that nerves may play. In his review Burton suggested that the only important role the endothelium plays is in the closure (by nuclear swelling) of capillaries. While our knowledge of the various endothelium derived factors has been extended in recent years it is still not clear how the individual EC’s relate to the adjacent SMCs.
Bozler (1941) classified smooth muscle cells into two groups. ‘Multi-unit’ groups are activated by motor neurones and ‘visceral’ smooth muscle groups are intrinsically rhythmically active. Since the vascular wall can be innervated and can exhibit rhythmic contractions the possibility exists that two (or even more) functional groups of SMCs may exist. This has yet to be established.
Figure 1.1 shows a simplified schematic of the blood vessel wall. Generally, the vascular sympathetic nerves terminate at the adventitia medial border in arteries. The
Figure 1.1. Schematic diagram of the vascular wall showing varicose sympathetic nerves terminating at the adventitia-media border. Noradrenaline (NA) and perhaps ATP & NPY are released from the varicosities to cause vasoconstriction. Nitric oxide (NO) and endothelin can be released from the endothelial cells to cause vasodilation and vasoconstriction respectively. It is not possible to represent the receptor distribution for any of these molecules on the diagram.
adrenergic nerves depicted in the diagram release NA which acts on vascular α-adrenoceptors to cause contraction. In many cases the P2x agonist ATP is a cotransmitter with NA. Neuropeptide-Y is also present in some sympathetic nerves. Nitric oxide (NO) is one of the many factors liberated by the endothelium and is presently one of the most widely studied vasodilators. The relatively unstable nature of NO and NA in the biophase might suggest that the outer layers of smooth muscle cells would be most sensitive to NA. However, this does not appear to be the case.
**Asymmetry of responsiveness.**
The asymmetry of responsiveness within the vascular wall is a little understood but well documented and important phenomenon. The inner layers of smooth muscle of the perfused rabbit car artery are more sensitive to noradrenaline (NA) than the outer layers (De La Lande et al., 1967; Kalsner, 1972). Using heat damaged strips of sheep carotid artery, Graham and Keatinge (1972) showed that inner layers of SMCs were more responsive to vasoconstrictor hormones than the outer layers. The relative contraction of inner and outer smooth muscle was later assessed by measuring shortening and direction of torque produced during contraction of helical strips of sheep carotid artery (Keatinge & Torrie, 1976). Techniques using silicone grease to restrict the access of drugs to adventitia or intimal surfaces were subsequently developed and provided further evidence for asymmetry of response in strips of rabbit aorta (Pascual & Bevan, 1979; Pascual & Bevan 1980) and rings of rabbit ear artery (McCalden & Bevan, 1980). Such asymmetry has been demonstrated in isolated perfused rat mesenteric resistance arteries using on-line video analysis (Tesfamariam & Halpern, 1988).
All of the above studies have concentrated on the application of the agonist to the inner (luminal) or outer (adventitial) surfaces of the preparation. Studying the activity of individual cells within the wall of a vessel requires that the tissue be visually inspected for changes in force development, circumferential length and/or resistance to flow. Present computerised techniques are capable of monitoring internal and external diameter but cannot determine how cell-cell interactions within the media brings about these changes.
A starting point for the present study was to develop a method that would enable the study of cell activation at different medial depths in response to $\alpha$-adrenoceptor subtype selective and non-selective agonists.
**Wire Myography**
The study of small segments of resistance arteries was made possible by the development of the wire-myograph. This development was a major breakthrough and enabled the mechanical properties of vascular smooth muscle cells to be studied *in-situ* (Mulvany & Halpern 1976). Prior to this development smooth muscle cells were studied by visual means since it was not possible to tether individual cells between supports and transducers. One such study of the arrangement of filaments in activated SMCs (using phase contrast and birefringence) suggested that intracellular filaments are arranged in a regular 3D-pattern that reorganises on activation and in turn leads to shortening of the SMC (Fisher & Bagby 1977).
Using wire myograph mounted segments of rat mesenteric artery Mulvany and Halpern (1976) employed Nomarski interference microscopy to visualise smooth muscle cells in the media of an isolated vessel thus permitting measurement of cell length and width. The authors even report the visualisation of nuclei and mitochondria in certain cells. Apart from Mulvany’s group few, if any, papers have appeared that have used the wire myograph as a tool for visualisation of contraction. Most workers have used the myograph simply to measure isometric force. In some cases morphological measurements of wall thickness have been made of mounted vessels (Mulvany & Halpern 1977).
It was therefore decided that, for the present project, wire myograph mounted segments of rat mesenteric artery would be used to study activation of cellular layers in response to $\alpha$-agonists.
$\alpha$-adrenoceptors in the vasculature.
Functional $\alpha$-adrenoceptors (ARs) are found in most (but not all) blood vessels. $\alpha$-adrenoceptors can be divided into two main classes; $\alpha_1$ and $\beta$. Circulating adrenaline can stimulate $\alpha$- and $\beta$-adrenoceptors while the neurotransmitter noradrenaline (NA) activates mainly $\alpha_1$-adrenoceptors. A fuller discussion of the various $\alpha_1$-adrenoceptor subtypes is given in chapter 3 of this volume.
$\alpha_1$-ARs are 7 transmembrane domain (7TM) G-protein coupled receptors (GPCR). Activation of the receptor causes activation of the G-protein, which causes an increase
in inositol phospholipid hydrolysis. The resulting increased concentration of IP$_3$ triggers the release of calcium from intracellular stores. The increased [Ca2+], leads to contraction of vascular smooth muscle cells.
It has been suggested that different $\alpha_1$-subtypes utilise different pools of Ca$^{2+}$ in effecting their response (McGrath 1982). Therefore, a vessel with a mixed population of functioning $\alpha_1$-adrenoceptors subtypes would be expected to display asymmetry of responsiveness in cases where the subtypes are distributed unevenly throughout the media. This has yet to be established conclusively.
$\alpha$-adrenoceptors play a crucial role in the function of both arteries and veins. The distribution of $\alpha_1$ and $\alpha_2$-adrenoceptors varies widely in the vessels of the cardiovascular system. In our own lab we have studied vessels which range from being mainly $\alpha_1$ (rabbit carotid artery, M. Nahagadeh PhD thesis) to mainly $\alpha_2$ (rabbit ear vein, Daly et al., 1988b). Between these two anatomical locations the mix of $\alpha_1$ to $\alpha_2$ in individual vessels is remarkably varied (Daly et al., 1988a).
In resistance sized arteries there have been several recent studies of $\alpha$-AR subtype mediated vasoconstriction. The rat mesenteric artery appears to contain $\alpha_{1A}$ & $\alpha_{1B}$ adrenoceptor subtypes (Smith & McGrath 1996) and constricts strongly to noradrenaline in-vitro and in-vivo (figure 1.2).
There are presently 4 main methods of determining degree of contraction/activation of VSMCs.
Figure 1.2. In-situ rat mesenteric artery branches contracted with exogenously applied NA. The mesenteric arcade was exposed under anaesthesia (thiopentone Na) and immersed in Krebs solution. A standard monochrome camera was used to image the bifurcation prior to and during exposure to topical application of 1 & 2 mM noradrenaline.
i) Biochemical; Tissue levels of G-protein, IP3 etc. can be measured at set times during incubation with activators.
ii) Fluorimetry; Ca2+ indicators can be used to report [Ca2+]i in cells in the presence of activators. The signal can be detected by PMT devices or CCD cameras.
iii) Physiological; Isolated cells or tissue segments can be studied for their electrophysiological or mechanical response to activators.
iv) Molecular; Recent developments have enabled the measurement of DNA and RNA synthesis in homogenised tissues. The amount of mRNA can be an indicator of receptor synthesis which in turn may be linked to degree of cellular activation.
Unfortunately, there is no recognised method for studying cellular activation at different depths within thick 'living' biological specimens. Ideally, a combination of methods ii & iii would have the potential to answer questions regarding the asymmetric action of certain agonists.
The eventual goal of the current research project is to establish a collection of methods that together will be able to report on the actions of agonists from a 3-dimensional perspective.
The experiments in this chapter detail the search for a method of staining cells and detecting movement in response to pharmacological stimuli. An interesting use of cell-viability assays was also investigated. A significant portion of this chapter has been published in the Journal of Vascular Research (Daly et al., 1992) and was presented in both poster and oral form at the International Symposium on Resistance Arteries (ISRA3, Rebild, Denmark, 1991).
Methods.
Male Wistar rats (250-300g) were killed by stunning followed by exsanguination. Branches of rat mesenteric artery (RMA; 3rd order) and segments of rat aorta were isolated and cleared of connective tissue for subsequent in-vitro staining. Male Wistar rats were prepared for *in-vivo* study as described below.
*Phase Contrast Studies of Vasoconstriction.*
Segments of RMA were mounted on a wire myograph and normalised at L1=0.9L100 (Mulvany & Halpern 1977). Using a x40 Zeiss water immersion objective the wall of the vessel (including the supporting 40um wire) was brought into focus. The vessel was then stretched by 20um to observe the change in wall morphology. After an initial ‘sighting concentration’ (noradrenaline 10uM followed by washing) a variety of known vasoconstrictors were added to the bath (KCl 30mM; NA 1uM; α, β, mATP 3uM).
In a separate series of experiments the centre of the vessel (top surface) was focused. Phase contrast optics permitted the discrimination of adventitia and smooth muscle. Therefore, it was possible to focus past the adventitia and into the media. The movement of the cells was video taped prior to and during application of NA (1uM) to initiate rhythmic activity. In some experiments prazosin (10nM) was used to block rhythmic activity.
Fluorescent Staining procedures.
The use of fluorescent markers was investigated with the purpose of providing a greater degree of contrast between cellular structures and extracellular matrix. The dyes used were Hoescht 33342 (Bisbenzimide) 5ug/ml (Sigma), Ethidium Bromide 5ug/ml (Sigma) and Ethidium Homodimer 4μM (Molecular Probes).
Two methods of staining were used. a) Extraluminally (in-vitro); Isolated tissues were incubated in Krebs' solution containing dyes for 20-30 minutes at room temperature or 15 minutes at 37°C. b) Intraluminally (in-vivo); Wistar rats were anaesthetised (i.p. injection) with Thiopentone Na (120mg/kg). Dyes were then administered via a cannula in the left jugular vein. After 15-45 minutes (depending on the amount of staining required) the animals were sacrificed and the tissues (vessels) of interest were quickly removed and placed in fresh Krebs solution.
In-Vitro toxicity tests.
To identify any toxic effects of H33342 in RMA, cumulative concentration response curves (CCRC) to NA (10nM - 10uM) were performed in the presence and absence of H33342 (5ug/ml). After an initial sighting concentration to NA (10uM), a CCRC to NA was constructed. After washing RMA segments were incubated with H33342 for 45 minutes prior to construction of a second CCRC to NA.
Free radical generation and cell-viability assays
Segments of rat mesenteric artery were used to determine the sensitivity of the cell-viability assay. Segments were subjected to incubation with hypoxanthine (1mM; HO) and xanthine oxidase (0.025 units specific activity/ml; XO) along with the nuclear
stains H33342 and ethidium homodimer for 45 minutes. These experiments were performed in 1ml aliquot vials. Following incubation, vessel segments were removed to fresh Kreb’s for immediate viewing (unfixed) under fluorescence.
**Collection of Fluorescence Micrographs.**
Stained vessels were mounted (unfixed) on glass microscope slides. A central square well was created on the slide using thin streaks of silicone grease. The vessel segment was placed in the well and covered with fresh Krebs solution. A number 1 coverslip was then placed over the vessel and was gently pressed down to hold the sample in position.
A Zeiss Axiophot fitted with a 35mm camera was used to photograph the vessels under different excitation wavelengths. Filter blocks for UV (Ex. 364nm; LP >400nm), Fluoresceine (Ex. 488nm; I.P >515nm) and rhodamine (Ex. 529nm; I.P 610nm) were used to image Hoechst 33342, Calceine and Ethidium respectively. Exposure time was determined automatically by the camera system.
**Image Analysis.**
A standard Zeiss microscope fitted with an Hg light source and epi-fluorescence assembly was used with filter sets for Hoechst (Zeiss filter set 2, Excitation 365nm, Beam splitter 395nm, Long pass filter 420nm) and Rhodamine (Zeiss filter set 15, Excitation 546nm, Beam splitter 580nm, Long pass filter 590nm). The microscope was also fitted with a Panasonic camera (type WV CD 20).
Branches of rat mesenteric artery were mounted on a wire myograph and normalised at L₁=0.9L₁₀₀ (Mulvany & Halpern 1977). Tissues were then stained extraluminally
before the whole myograph was placed on the stage of the microscope. A water immersion objective (x40/0.75) was used to focus discrete layers of cells within the upper wall of the vessel (see figure 1.11). Images obtained on the microscope were simultaneously captured on video tape and computer. The video recorder was a Pal umatic model CR 606OE. The computer was a colour Macintosh IIcx with 8Mb of onboard RAM fitted with an analog-digital 'Data capture' board. The 'public domain' software for thresholding and imaging was 'Image v1.16'. This software reports the cartesian coordinates in pixels of any selected object (nucleus) on the screen. For each nucleus the x-y coordinates were recorded during movement on a frame by frame basis. This particular system does not provide an automated means of identifying the centre of a nucleus (more advanced object analysis routines are described in Chapter 2). For my initial experiments I was only concerned with the principle of the technique and therefore I estimated the centre of the nuclei, based primarily on pixel intensity, before and after contraction. Clearly this manual method introduces a degree of error which was reduced by further developments outlined at the end of chapter 2 of this thesis.
The way in which vessels are mounted on an isometric wire myograph causes accumulation of tissue between the wires during contraction of sufficient force (see discussion). I have concentrated not on the overall movement of nuclei along the circular axis but on the average spacing of a group of cells (defined by their nuclei positions) relative to each other along the circular and longitudinal axis. I also calculated the average diagonal spacing between the nuclei of the selected group. To measure the change in nuclei spacing during contraction the method employed was as follows.
a) The video camera is oriented to show the vessel segment as it is on the myograph, with the circular smooth muscle running horizontally and the longitudinal axes of the vessel (lumen) running vertically. The computer will therefore display smooth muscle cell nuclei oriented along the computer screen x-axis.
b) A group of nuclei were selected for analysis prior to contraction. The arrangement of smooth muscle is such that groups of nuclei will generally be arranged in a roughly diagonal distribution. The nucleus nearest the bottom of the screen is designated number 1 the next nearest in the longitudinal axis being number 2 and so on until all nuclei within the group are numbered. These numbers are not used in any calculation and are for reference only.
c) The centre of each nucleus is estimated and a pointing device (mouse) used to label the centre and obtain screen coordinates in pixels. The positions of nuclei in the group were thus obtained and logged.
d) The average of spacing of the group of nuclei, ordered in this way, was then calculated as follows;
(i) Circular Spacing
The difference in the x-axis coordinates between nucleus 1&2, 2&3, 3&4 etc. was calculated by subtraction to give the circular spacing between each pair. The average circular spacing was thus calculated.
(ii) Longitudinal Spacing
The difference in the y-axis coordinates between nucleus 1&2, 2&3, 3&4 etc. is calculated by subtraction to give the longitudinal spacing between each pair. The average longitudinal spacing was thus calculated.
(iii) Diagonal Spacing
By constructing right angled triangles between nucleus 1&2, 2&3, 3&4 etc. the hypotenuse can be calculated from the known opposite and adjacent (x and y spacings) to give the diagonal spacing between each pair. The average diagonal spacing was thus calculated.
Points c and d are then repeated after contraction has reached a plateau and the two data sets are compared.
A fully automated system would ideally perform steps c and d continuously and in real time.
Drugs and Solutions.
The composition of the Krebs-Henseleit solution was (mM): NaCl 118, KCl 4.7, CaCl₂ 2.5, MgSO₄·7H₂O 1.2, NaHCO₃ 24.9, KH₂PO₄ 1.2, and glucose 11.1. The substances used were: Hoechst 33342 (Ex. 343nm, Em. 483nm) (Sigma), ethidium bromide (Ex. 482, Em. 616) (Sigma), ethidium homodimer (Ex. 492, Em. 627) (Molecular Probes Inc.), noradrenaline (NA) (Sigma) & acetylcholine (ACh) (Sigma).
Results.
Phase Contrast.
After mounting on the wire myograph (figure 1.3a & 1.3b) a x40 water immersion objective was used to focus the wall of the vessel (figure 1.3c). The supporting wire, media and adventitia can be clearly discriminated. On activation with noradrenaline (NA; 1uM) the tissue becomes compressed causing thinning of the wall on the wire and also causing increased folding of the internal elastic lamina (figure 1.3d).
On all of the arteries studied the media appeared to contain an area of high contrast which appears as a thin black line running down the centre of the media. Alteration in brightness and contrast were moderately successful at enhancing this feature (figure 1.4).
KCl 50mM caused a visible thinning of the vessel wall (figure 1.4a).
NA 1uM caused a visible thinning of the wall and disappearance of the central line of contrasting material (figure 1.4b).
α, β, mATP 3uM also caused a significant thinning of the wall which equated to 300mg of force generation as measured on the wire myograph (figure 1.4c).
These experiments show that the wire myograph is not 100% isometric and that contraction of vascular smooth muscle can be visualised.
Figure 1.3. Rat mesenteric artery segment mounted on a wire myograph. a) low magnification image showing the supporting wires and vessel segment in the space between the adjacent heads. b) Higher magnification showing only the vessel segment. c) Using a water (x40 NA 0.75) immersion objective the supporting (left hand wire) and wall thickness can be imaged. d) The vessel region shown in c) during contraction to 1uM noradrenaline.
Figure 1.4. The effect of contractile agents on wall thickness of wire mounted segments of rat mesenteric artery. ai), bi) & ci) show arteries at rest. aii), bii) & cii) show arteries contracted with 50mM KCl, 1μM NA & 3μM α,β, mATP respectively.
NA caused rhythmic activity to develop in certain arteries. Figure 1.5 shows one such example. The central point on the top surface of the mounted segment is brought into focus (x40 w/0.75). Prior to contraction, very slight vasomotion was observed under no active tone. As phasic activity continues the artery oscillates between two general arrangements (figure 1.5c&d). The smooth muscle cells (SMCs) appear to be arranged circumferentially around the artery. Focussing into deeper medial layers did not enable visualisation of inner layers of SMCs (figure 1.5b). During contraction to NA (1uM) rhythmic activity developed and the folds of the internal elastic lamina became clearly defined. The lowest (figure 1.5c) and highest (figure 1.5d) forces of rhythmic contraction are shown.
Regardless of the focal position, degree of stretch or activator used, it was not possible to achieve sufficient contrast to identify individual cells or cell layers. Therefore, a series of fluorescent vital stains were tested.
**Fluorescent probes.**
The molecular probes cell viability kit contains Calceine AM and ethidium bromide. Live cells will take up calceine AM after which esterase activity will cleave the AM to produce green fluorescence in the healthy cells. Ethidium bromide is a red nuclear stain which is excluded from live cells and will stain only the nuclei of permeabilised cells. Figure 1.6 shows a representative example of a series of experiments. The artery was lifted in the middle using forceps prior to being incubated in EB & calceinAM. Subsequent analysis revealed the damaged areas adjacent to the live (green) cells (figure 1.6a). Unfortunately, calceine fluorescence bleached quickly
Figure 1.5. All four plates show a wire mounted segment of rat resistance artery viewed under bright field illumination. a) Immediately under the adventitia, smooth muscle cells are arranged circularly (top to bottom on the plate). b) Focussing deeper into the media results in a loss of definition of cellular structure. c) Focussing in the lumen reveals the folds of the internal elastic lamina. d) During contraction distance between the folds decreases as the tissue becomes compressed.
Figure 1.6. Results obtained using a standard cell viability assay on segments of rat isolated mesenteric arteries. Calceine AM is a vital stain which is taken up into living cells where esterases render it fluorescent producing green fluorescence in the cytoplasm. Ethidium Bromide is a nuclear stain which is cell impermeant and therefore will only stain nuclei of non-viable cells. a) Shows an area of live (green) cells alongside an area of forcep damaged (orange nuclei) cells. b) Shows a high magnification view of ‘live’ cells. c) A vessel with healthy media and damaged endothelial cell nuclei (see text for details)
making prolonged study impossible. The contrast even in healthy cells was often not sufficient to resolve cell boundaries. Cells in inner layers of the media could not be visualised (figure 1.6b). Figure 1.6c shows the healthy (green) media and damaged (orange nuclei) of a free radical treated vessel (described later).
**Hoechst 33342 & Ethidium bromide.**
H33342 is a lipophilic vital stain for DNA. Together with EB this combination should be able to distinguish viable from non-viable cells. H33342 will label ALL cell nuclei while other stains can be used which target specific cells/nuclei. Image subtraction can then be used to determine nuclear differences.
**Extraluminal staining.**
Branches of rat mesenteric artery were stained extraluminally with Hoechst 33342 (5µg/ml) and ethidium bromide (5µg/ml) for 15 minutes at 37ºC. Under fluorescence using the Hoescht filter set only the nuclei of the various cells are visible (figure 1.7). When the focus is only on the adventitia the cell nuclei are irregular or roughly round in shape (figure 1.7a), this is consistent with the known shape of macrophage and fibroblast cells, which are the main cell types of the adventitial coat. We have observed that a proportion of the outermost cells take up ethidium and are presumably damaged during dissection. If the focus is set on the outermost smooth muscle the adventitial nuclei fall out of focus but can still be identified (figure 1.7b). The smooth muscle cell nuclei however can be sharply focused (figure 1.7b) and these are distinguished by their elongated shape. When the plane of focus is set on the luminal surface the endothelial cells are sharply focused and the smooth muscle cell nuclei fall
Figure 1.7. Fluorescent nuclear staining of rat mesenteric artery. The top panel (a) shows the image obtained when the focal plane is set within the adventitia. The lower panel (b) shows the smooth muscle cell nuclei of those cells immediately under the adventitia.
out of focus, the adventitial cell nuclei cannot be distinguished. The use of objectives >x25 with a numerical aperture of 0.75-1.00 does not permit simultaneous viewing of the adventitia, smooth muscle and endothelium. Thus focal plane and nuclear shape can be used to identify cell types and focal depth and therefore allow identification of discrete cell layers.
**Cell Viability**
Segments of RMA were incubated in H33342 & EB and visualised at x10 to show the general structure of the vessel (figure 1.8a&b) or the wall thickness and lumen diameter (figure 1.8d).
There appears to be no damage to smooth muscle cells during careful dissection of most blood vessels (figure 1.8a). If, however, forceps are used to hold the vessel, the area under the compression can be severely damaged (figure 1.8b&c). This technique is sensitive enough to show damage caused by less invasive methods, e.g. infusion of air (figure 1.8e), 'gentle intimal rubbing' (not shown) and exposure to free radicals (figure 1.9).
In a brief study of rat aorta it was found that the aortic wall is too thick to permit visualisation of the endothelial cell layer through the adventitial surface. Therefore, rings of aorta were cut open to permit viewing from the luminal surface (figure 1.8f). This technique is particularly well suited for studying endothelial cell arrangement.
Figure 1.9 demonstrates the greater selectivity (brightness relative to background) of ethidium homodimer (figure 1.9 b, c & d) compared with ethidium bromide (figure
Figure 1.8. Segments of rat isolated rat mesenteric artery (RMA; a-e) and rat aorta (f) stained with Hoechst 33342 in combination with ethidium bromide. a) RMA showing damage (orange nuclei) in only the outermost cells of the adventitia. b) RMA showing damage of smooth muscle cells in the media following compression with forceps. c) High magnification view of forcep damage to the medial smooth muscle. d) Focussing through to the lumen provides good enough contrast to measure wall thickness and lumen diameter. e) The passage of air through the lumen causes damage to the endothelial cells, indicated by the orange nuclei. f) Endothelial cell nuclei of the rat aorta.
Figure 1.9 Free radical damage in four segments (a-d) of rat mesenteric artery. The images are from 4 different vessels. Nuclei of damaged cells are stained with (red) stain ethidium homodimer.
Figure 1.10. In-vivo staining using 30mg/Kg Hoechst 33342 (intravenously).
a) Examination of the rat mesenteric arteries revealed good staining of the endothelial cell nuclei. b) Inspection of capillaries in the brain revealed much poorer staining although white blood cells where clearly visible within the lumen. c) Bright-field imaging of larger cerebral arteries showed the presence of red blood cells in the artery and its branches. d) Fluorescence microscopy showed good staining of the main arterial smooth muscle nuclei but an absence of stain in the branch.
Figure 1.11. Schematic diagram of a nuclear stained segment of rat mesenteric artery mounted for visualisation on a wire myograph.
Figure 1.12. Combination of brightfield images (a&c) and fluorescence images (H33342; b&d). a) shows the brightfield image obtained when focussed near the lumen where the supporting wire is clearly visible. The fluorescence image at the same plane of focus (b) shows the arrangement of smooth muscle cells at this depth. c) the brightfield image shows the general direction of smooth muscle in the layer immediately below the adventitia. The fluorescence image at this depth reveals a different smooth muscle cell layer. (40x water objective, NA 0.75).
Figure 1.13. The effect of H33342 on responses to noradrenaline in isolated segments of wire myograph mounted rat mesenteric artery. Filled symbols represent responses in the presence of H33342. a) responses expressed as a percent of control (unfilled symbols) maximum. b) results expressed in mN force generated. Data points represent the mean +/- s.e.m of 4 experiments, there was no significant difference between stained and unstained tissues.
Figure 1.14. The plate shows the position of the outer layer of smooth muscle cells prior to (a) and during (b-f) contraction to 1µM noradrenaline. The last image (f) required refocusing to show the nuclei which had fallen out of focus as a result of tissue bunching. The contraction lasts only a few seconds and images b-f are at different time points (chosen for clarity rather than being equally spaced in time). The entire sequence shows the movement of tissue towards the center (left-right) of the segment. (x40 water objective, NA 0.75).
Figure 1.15. The position of 7 nuclei identified from the previous figure. The upper panel shows nuclei position at rest. The lower panel shows the result of contraction to 1μM noradrenaline. The average circular, longitudinal and diagonal spacing were calculated as described (in methods page 15) and results are shown in the following figure.
Figure 1.16. Shows the analysis of cellular movement shown in figures 14 & 15. The top graph (a) shows the change in xy position of 7 cell nuclei from resting (open circles) to contracted positions (closed symbols). The lower graph (b) shows an analysis of the relative changes in circular (C) longitudinal (L) and diagonal (D) spacing. See methods section for a full description of the analysis method used.
Rat mesenteric arteries were bathed in Krebs containing ethidium homodimer (4μM), hypoxanthine (HO, 1mM) and xanthine oxidase (XO, 0.025 units specific activity/ml) for 4.5 minutes. This combination of HO and XO has been shown to produce free oxygen radicals (Ytrehus et al., 1986). Examination under fluorescence of vessels treated in this way showed that ethidium homodimer stained the nuclei of only the outermost adventitial cells and the endothelium, giving it the appearance of an 'inner-tube'. The absence of any stain in the media suggests that the free radical treatment has selectively permeabilised the endothelium. The cells of the adventitia are damaged due to dissection. Furthermore, damage was not observed in 1st order branches of the superior mesenteric artery, suggesting that ECs may be a heterogeneous population in the vasculature.
**Intraluminal staining**
Rats were prepared as described above. Bolus injections of Hoechst 33342 (10mg/kg) had no effect on either blood pressure or heart rate. Bolus injections of 30mg/kg, however, were observed to cause accumulation of fluid in the trachea. Rats were therefore injected with 3 x 10mg/kg doses of Hoechst 33342 at 5 minute intervals which eliminated this. The rats were killed by exsanguination 5-40 minutes after the third injection. Subsequent inspection, under fluorescence, of branches of rat mesenteric artery revealed a selective staining of the endothelium (Figure 10a). Further experiments have shown the staining to be both time and concentration dependent. If the animals are killed 60 minutes after injection 3 substantial staining of the media is observed. If this time period is increased to two hours all cells within the vessel are well stained.
Analysis of a variety of blood vessels showed that 33342 accumulated in the lungs, probably due to the i.v. route delivering the stain to the lungs first. Interestingly, capillaries in brain slices of cortex showed much lighter staining compared with RMA from the same animal. Indeed, white blood cells stained much brighter than the endothelial cells in brain capillaries (figure 1.10).
**Staining of large (thick walled) blood vessels.**
Experiments were performed to investigate the effect of free radical generation on responses to exogenously applied NA and endothelium derived vasodilation in isolated rings (3-4mm in length) of rat aorta. At the end of the experiment the rings were incubated in Krebs' containing Hoechst 33342 (5µg/ml) for 45 minutes at 37ºC. After washing in fresh Krebs' the rings were cut open and placed endothelial side up on slides. Under fluorescence the endothelial cell nuclei can be distinguished by their oval shape, their positions relative to the overlying smooth muscle and their focal position (i.e. on top) (Figure 1.8f). After exposure to hypoxanthine (HO, 1mM) and xanthine oxidase (XO, 0.025 units specific activity/ml) for 45 minutes, causing the formation of free radicals, endothelial cell number is reduced (see Daly et al., 1992 for full details).
**Image analysis.**
Nuclear staining facilitates tracking of cell positions during vasomotion and the dyes themselves do not interfere with contraction (figure 1.11 & 1.13). Light and electron microscopy studies have confirmed the assumption that the nucleus remains central within the cell during contraction (Lance 1965; Gabella 1976). Therefore the
assumption is that the nucleus position is a reliable indicator of the cell position within the wall. Rings of rat mesenteric artery (149±10 μm normalised diameter) were mounted on a wire myograph and a layer of cells within the media was selected (figure 1.12 & 1.14). The artery was then challenged with NA (1μM) and the average spacings (circular, longitudinal and diagonal) of the 7 nuclei before and during contraction were compared. Figure 1.15 shows the positions of the 7 nuclei during force development of 13.3mN. The positions of the nuclei before and during contraction can be plotted on a graph (figure 1.16a). During contraction circular and diagonal spacing between nuclei is decreased whereas longitudinal spacing is increased (figure 1.16b), as expected from a shortening and widening of the circular helically arranged smooth muscle cells.
Discussion.
Phase Contrast.
Vessels mounted on the wire myograph can be imaged using conventional 'white light' (bright field). Use of phase contrast optics provides further contrast and enables the identification of smooth muscle cell orientation. Image quality is similar to that obtained using the Nomarski interference method (Mulvany & Halpern, 1976). However, unlike the Nomarski method it was not possible to resolve intracellular organelles including nuclei or mitochondria in any of the vessels studied. It should be noted that the Nomarski method does not enable detection of the organelles of all cells.
Using bright field illumination (phase contrast) it is possible to make morphological measurements of wall thickness. It is possible to distinguish adventitia from media using this approach although determination of intimal thickness is difficult. Initial experiments showed that wall thickness could be measured before and during contraction with KCl and the agonists NA and α, β, mATP. All three agents caused a significant thinning of the wall adjacent to the wires and presumably bunching of the tissue in the centre of the vessel. The three vasoconstrictors appeared to cause a uniform thinning of the wall and showed no 'visual' evidence of asymmetric agonism. Since it was not possible to distinguish individual cells in the wall surrounding the wires, even after image processing it was decided to study the vessel between the wires from the top surface where the cells are presented for viewing as essentially a flat sheet.
An unexpected property of the vessel wall was observed when viewing from the top. After normalisation and under no active tension visible vasomotion was observed. The movement of VSM was very subtle, detectable, but did not cause a measurable degree of isometric force. Although no further investigation was made of this phenomenon this spontaneous activity may be the basis on which the greater rhythmic activity observed in response to 1uM of NA is based. If this is the case dihydropyridine drugs may be expected to block this, Ca2+ channel, activity. Whatever the mechanism this phenomenon may be worthy of further study.
The tunica adventitia can easily be distinguished from the tunica media using phase contrast. The adventitia has a very disorganised 'swirly' appearance. Focusing through the adventitia reveals the media as an almost 'striated' layer of tissues. Unfortunately, contrast is not sufficient to permit identification of individual cells. The response to application of 1uM NA was fast and powerful. The vessel appears to twist on the wires in what seems to be an uncoordinated fashion which eventually gives way to rhythmical contractions. The most notable feature of rhythmic activity is the folding of the internal elastic lamina which can be clearly seen in figure 5. Interestingly, prazosin (0.1uM) effectively abolished the rhythmic contractions within 2 minutes (not shown). This raises some interesting questions regarding the optimum incubation time required for such antagonists to reach equilibrium within a tissue and to produce a maximum effect.
Overall, the results of these preliminary experiments proved that it is possible to image vasoconstrictor response to various agonists in myograph mounted segments of arteries. While these studies revealed many interesting properties of the wall it was
not possible to determine which (if any) cells were more sensitive to agonists or were responsible for the onset of rhythmic/phasic activity (i.e. pacemakers). Therefore, a search for non-toxic, vital stains was undertaken in the hope of finding a suitable, contrast enhancing, stain that could be used on living myograph mounted vessels.
**Fluorescent nuclear stains**
Nuclear fluorescent dyes have been used routinely by cell biologists for many years to quantify cell numbers and screen out non-viable cells (i.e. those which would not survive in culture medium). The range of application of these dyes outwith cell culture has not been appreciated. This chapter describes preliminary experiments which indicate that these dyes can be applied successfully to the study of cell viability within blood vessels *in vitro* and *in vivo*. Standard histological techniques depend primarily on labelling the cell nuclei to facilitate identification of tissue type and any abnormalities associated with pathology. Similarly vital fluorescent nuclear dyes provide information by outlining the position and distribution of cells via their nuclei. However their use confers significant advantages. Since fixation and sectioning is not necessary the labelling procedure is simpler and more flexible. This lack of a fixation requirement allows dynamic events such as cell movement to be monitored, vital characteristics such as viability to be measured and labelling of living tissue *in vivo* and *in vitro* to be achieved.
**Cell viability**
I define cell viability as being the ability of a cell to survive in a normal culture medium, such as DMEM, which mimics extracellular fluid. Cell survival is wholly dependent on the maintenance of ionic gradients across the plasma membrane. Loss
of such gradients allows passage of Ethidium Homodimer and labelling of the nuclei. I would draw a distinction between cell viability and cell function since permeabilised cells retain some intracellular functions such as enzymatic activity. I have previously investigated this distinction in saponin skinned/permeabilised blood vessels (not work for this thesis). In skinned preparations, of rat mesenteric artery, esterase activity was present and was indicated by the ability of the smooth muscle cells to hydrolyse Calcein AM to the fluorescent product Calcein. In addition, the contractile apparatus can function if the intracellular fluid is mimicked. However, the smooth muscle cells also label with Ethidium Homodimer indicating their non-viability in the long term in extracellular conditions. This was supported by the loss of contractile function in normal Krebs'.
The results of this chapter have shown this method to be sensitive enough to show damage to blood vessels which have been manipulated with forceps, damaged during dissection, exposed to free radicals and other mechanisms such as intimal rubbing (not shown).
The experiments with free radicals highlights the two ways in which hydrophilic and lipophilic dyes can be used. In figure 1.9 there is significant ethidium staining in the lumen of a vessel exposed to free radicals. This is not surprising as it is widely accepted that free radicals can cause lipid peroxidation (Wrens & Lucchesi 1990). The results show that in rat mesenteric artery it is the endothelial cells which are most sensitive to the effects of free radicals. If this vessel was stained with Hooscht 33342 it would be possible to quantify the ratio of viable and non-viable cells (Daly et al., 1991a). However the purpose of figure 1.9 is to show that ethidium is sensitive
enough to show localised biochemical injury. Therefore, lipophilic dyes can be used to obtain information about cell arrangement and density. Hydrophilic dyes can be used to identify permeabilised cells. Labelling with both dyes simultaneously, therefore, provides a convenient cell viability assay for isolated blood vessels.
Experiments using segments of blood vessels are sometimes ended when the tissue has lost its responsiveness. This is often attributed to desensitisation of membrane receptors or second messenger systems. Alternatively a loss of responsiveness may be blamed on the combination of pharmacological antagonists or physiological interventions which the tissue has been exposed to. The double labelling techniques described here can be used to demonstrate any damaging effects of a particular protocol, which results in permeabilisation of the membrane and loss of viability.
Studies on cell viability are not limited to isolated blood vessels. These dyes can be given intravenously to anaesthetised animals and are not toxic with the protocol used. Intra-venous injections of 30mg/kg Hoechst 33342 causes staining of the endothelium after as little as 15 minutes. If the dyes are left to circulate for 1-2 hours examination of any blood vessel (except those of the brain, figure 1.10) will show staining of the media as well as the intima and adventitia. Preliminary experiments have shown that the dyes do not cross the blood brain barrier. All other organs and tissue types will stain well if given sufficient time. This creates a great number of possibilities for investigations of pathological conditions. Animals could be subjected to an experimental protocol and then injected with a dye combination for cell viability. Any blood vessel or tissue bed could then be inspected for cell death.
Endothelial cell nuclei can be stained selectively by intravenous application of the dyes for a short time period (15 minutes, figure 1.10a). This has now been done in Professor McGrath's laboratory using a perfusion myograph where the amount of staining can be monitored and therefore optimised for any given vessel type.
Nuclear dyes can be used in many areas of physiology and pharmacology. The most immediate uses may be for morphological studies. Normally this is done by histology or electron microscopy and requires reconstruction of several sections. Using fluorescent dyes, morphological studies (e.g. smooth muscle cell density, arrangement, viability, etc.) can be done by non-microscopists either before or after experimentation.
**Image analysis**
I draw a distinction between the lateral movement of a nucleus and the spacing between groups of nuclei. Cell movement refers to the displacement of a single cell within the overall dimensions of the vessel. This displacement occurs along the circular (x) axis of the vessel. All of the nuclei in figure 1.15 move from left to right towards the central axis of the section of the wall running between the supporting wires during contraction. This lateral movement is ignored to concentrate on the change in average nuclei spacing (see methods) during contraction.
Overall the results have highlighted advantages and disadvantages of the isometric wire myograph. If cell movement is to be analysed then clearly a truly isometric system is not suitable. However, the wire myograph is not truly isometric partly due
to elasticity within the tissue and a little compliance within the mounting wires. To generate sufficient measurable change in nuclear spacing the vessel segment was challenged with 1μM noradrenaline. This concentration normally produces 80% of the maximum contraction. It is not surprising therefore that at this degree of contraction some nuclei will twist or fold and thus increase their fluorescence. This does not present much of a problem since nuclear spacing is measured and not lateral movement or length. What is perhaps surprising is that it is possible to make any kind of quantitative analysis of change in cell spacing on an isometric myograph. Thus it is difficult to make any suggestions about the physiological relevance of the measurements made other than they are consistent with the expected shortening and widening of vascular smooth muscle cells during contraction. What is important in the context of this chapter is that the techniques developed make it possible to monitor cell rearrangement within the wall of a small artery during contraction.
Clearly the wire myograph is limited as a tool for image analysis of cellular rearrangement, although the flat surface of the stretched vessel may be useful for Ca$^{2+}$ studies where the cellular movement must be kept to a minimum if ratiometric Ca$^{2+}$ indicators are not used. The next logical step for the current technique, is to move to an isotonic or perfusion myograph where greater rearrangement for a given agonist concentration may be observed. The ability to make measurements up to at least 80% of the maximum contraction means that it should be possible to construct concentration response curves for change in nuclear spacing. Exactly what physiological information on vascular mechanics this will provide remains to be seen.
While asymmetry of responsiveness has been clearly demonstrated in a number of preparations, the various investigators have concentrated on the route of drug administration and have measured the response of the whole tissue. The work of Tesfamariam, and Halpern (1988) concentrated on visualising a perfused microvessel to show asymmetry. However, this method is unable to distinguish movement within discrete layers of cells. Nomarski interference microscopy has been used to obtain a general outline of smooth muscle cells, some of which have visible nuclei and mitochondria (Mulvany & Halpern 1976). Nuclear fluorescent dyes provide significant advantages: a) the position of all cells is clearly marked; b) the contrast for image analysis is significantly enhanced; c) the transparency of the cytoplasm, under fluorescence, allows discrimination of layers at depth within the media and d) cell viability can be assessed in parallel.
Clearly much more work needs to be done on the basic mechanics of blood vessel contraction. It is not clear how much independence of movement a given layer of smooth muscle cells has. This is fundamental information which will be required before making any assessment of the sensitivity of different layers of cells to selective and non-selective agonists. To this end comparisons of responses obtained on isometric, isotonic, isobaric and perfusion systems will be invaluable.
In conclusion, nuclear fluorescent dyes can be used to assess cell viability in a number of tissue types but is particularly well suited to blood vessels. The dyes can be used to enhance current diametric image analysis methods and can be used to enable the study of cell rearrangement within the wall of myograph mounted vessels.
References.
Aalkjaer C. and Mulvany M.J. (1983) Human and rat resistance vessels: A comparison of their morphological and pharmacological characteristics. *Gen. Pharmac.* Vol. 14, 85-87.
Baumbach, G.L. & Heistad, D.D. (1989) Remodelling of cerebral arterioles in chronic hypertension. *Hypertension*, Vol 13, 968-972
Bozler E. (1941) Action potentials and conduction of excitation in muscle. *Biol. Rev.* 3: 95-110
Burton A.C. (1954). Relation of Structure to Function of the Tissues of the Wall of Blood Vessels. *Physiological Reviews*. Vol 34, No.4; 619-642.
Daly C.J., McGrath J.C. & Wilson V.G. (1988a) An examination of the post-junctional $\alpha$-adrenoceptor subtypes for (-)-noradrenaline in several isolated blood vessels from the rabbit. *Br. J. Pharmacol.* 95 473-484.
Daly, C.J., McGrath, J.C. & Wilson, V.G. (1988b) Evidence that population of post-junctional adrenoceptors mediating contraction of smooth muscle in the rabbit isolated ear vein is predominantly $\alpha_2$. *Br. J. Pharmacol.* 94 1085-1090.
Daly C.J., Gordon J.F. & McGrath J.C. (1991). Assessment of cell viability within the wall of rat mesenteric arteries. *Blood Vessels*, 28, 282.
Daly C.J., Gordon J.F. & McGrath J.C. (1992) The use of fluorescent nuclear dyes for the study of blood vessel structure and function: novel applications of existing techniques. *J. Vasc. Res.* 29 41-48.
De La Lande I.S., Frewin D. & Waterson J.G. (1967). The influence of sympathetic innervation on vascular sensitivity to noradrenaline. *Br J Pharmacol*, 31, 82-93.
Fisher B.A., Bagby R.M. (1977). Reorientation of myofilaments during contraction of a vertebrate smooth muscle. *Am J Physiol* Jan; **232**(1):C5-14.
Gabella G. (1976). Structural changes in smooth muscle cells during isotonic contraction. *Cell Tissue Res*, **170**, 187-201.
Garvin, H.S.D. (1965). A Student's histology (2nd Edition). Pub. E & S Livingstone Ltd.
Gordon J.F., Daly C.J., Boyle F.C., Kusel J.R., Gillespie J.S. & McGrath J.C. (1990). A simple smooth muscle cell viability assay for use in rat blood vessels in vitro. *J Physiol*, **429**, 10.
Graham J.M. & Keatinge W.R. (1972). Differences in sensitivity to vasoconstrictor drugs within the wall of the sheep carotid artery. *J Physiol*, **221**, 477-492.
Haegerty, A.M., Aalkjaer, C. Bund, S.J., Korsgaard, N & Mulvany, M.J. (1993) Small artery structure in hypertension: dual process of remodeling and growth. *Hypertension* Vol **21**, 391-397.
Haugland R.P. (1989-1991). Nuclear stains. in Handbook of fluorescent probes and research chemicals. Eugene, Molecular Probes.
Kalsner S (1972). Differential activation of the inner and outer cell layers of the rabbit ear artery. *Eur J Pharmacol*, **20**, 122-124.
Keatinge W.R. & Torrie C. (1976). Action of sympathetic nerves on inner and outer muscle of sheep carotid artery, and the effect of pressure on nerve distribution. *J Physiol*, **257**, 699-712.
Keech, M.K.(1960) Electron microscopy study of the lathyritic rat aorta. *J Biophys. Biochem. Cytol*. Vol 7, 539.
Lance B.P. (1965). Alterations in the cytologic detail of intestinal smooth muscle cells in various stages of contraction. *J Cell Biol*, 27, 199-213.
McCaddon T.A. & Bevan J.A. (1980). Asymmetry of the contractile response of the rabbit ear artery to exogenous amines. *Am J Physiol*, 238, H618-H624.
McGrath J.C. (1982) Commentary: Evidence for more than one type of post-junctional α-adrenoceptor. *Biochem. Pharmacol*. 31 467-484.
Mulvany MJ & Halpern W (1976). Mechanical properties of vascular smooth muscle cells in-situ. *Nature*, 260, 617-619.
Mulvany MJ & Halpern W (1977). Contractile properties of small arterial resistance vessels in spontaneously hypertensive and normotensive rats. *Circ Res*, 41, 19-26
Mulvany, M.J., Baumbach, G.L., Aalkajaer, C. & Heagerty, A.M. (1996) Vascular remodelling. *Hypertension*, Vol 28, 505-506.
Mulvany MJ. (1999) Vascular remodelling of resistance vessels: can we define this? *Cardiovascular Research* 41, 9-13.
Pascual R & Bevan JA (1979). Variation in contractile response characteristics of rabbit aorta strips with surface of drug entry. *J Pharmacol Exp Ther*, 210, 51-55.
Pascual R & Bevan JA (1980). Asymmetry of consequence of drug disposition mechanisms in the wall of the rabbit aorta. *Circ Res*, 46, 22-28.
Pease, D.C. & Paule, W.J. (1960) Electron microscopy of elastic arteries; the thoracic aorta of the rat. *J Ultrastruc. Res*. Vol 3, 469,
Rhodin (1982). Fine Structure of the Vascular Wall in mammals. In. 'Vascular smooth muscle: metabolic, ionic, and contractile mechanisms'. ed. by M.F. Crass and C.D. Barnes Pub. New York London: Academic Press, 1982
Smith, K.M. & McGrath, J.C. (1996) Investigation of developmental changes in $\alpha_1$-adrenoceptor subtypes in rat mesenteric resistance arteries. *Br. J. Pharmacol.* **119**, 340P.
Tesfamariam B & Halpern W (1988). Asymmetry of responses to norepinephrine in perfused resistance arteries. *Eur J Pharmacol*, **152**, 167-170.
Werns SW & Lucchesi R (1990). Free radicals and ischemic tissue injury. *TIPS*, **11**, 161-166
Ytrehus K, Myklebust R & Mjos R (1986). Influence of oxygen radicals generated by xanthine oxidase in the isolated perfused rat heart. *Cardiovasc Res*, **20**, 597-603.
Chapter 2
Confocal Microscopy and Image Analysis
Introduction
In the previous chapter a method for studying cellular distribution and activation was developed. It was found that nuclear fluorescent stains could be used to assess cell viability and identify cell type, number and orientation by nuclear morphology alone (Daly et al., 1992). Using conventional wide field fluorescence microscopy it was possible to image nuclei of cells at varying depths within the blood vessel wall. In some cases, depending on wall thickness, it was even possible to determine endothelial cell nuclei morphology and number. Unfortunately, computer analysis of digitised images of nuclei was severely hampered by out-of-focus glare from nuclei above and below the plane of focus. In particular, it was almost impossible to obtain images of cell cytoplasm at sufficiently high resolution to determine cell size. Following on from this it can be postulated that measures of cell volume would not be practicable using conventional epi-fluorescence.
Nevertheless, the data from the previous chapter provided an insight into the kind of methodology that would have to be adopted and the kind of problems that would have to be addressed in order to achieve the goal of studying the activation of individual cells within the wall of a living resistance artery. The first major problem to overcome concerned the loss of resolution (contrast) in images deep within a relatively thick biological specimen. The second major problem was that of quantification. During a visit to our laboratory by Dr. John Russ (author of the internationally renowned Handbook of Image Processing) he correctly pointed out that 'an image may well be worth a thousand words but a number is worth a thousand
pictures'. I was soon to discover how true this is when presenting image data to the physiological and pharmacological community.
A colleague, Dr. John Gordon, suggested that Laser Scanning Confocal Microscopy (CLSM) may offer some solutions to the problems outlined above. CLSM provides thin 'optical sections' of thick biological specimens that are relatively free from out-of-focus glare emanating from structures above and below the plane of focus. The laser illumination source can be tuned to excite specific fluorescent markers and the resulting images are digitised and stored (as numbers) in the memory of a computer. It therefore would seem to be an ideal tool for the study of vascular structure and function, assuming that suitable non-toxic dyes can be found and also that methods of quantification can be adapted or developed.
In the summer of 1990 I travelled through to Edinburgh to examine some slide mounted nuclear stained vessels on a Leica CLSM system. The results were (at that time) astonishing and proved without doubt that confocal microscopy could be used to obtain 'quality' images (optical slices) of nuclei from the adventitia through to the endothelium. I realised that if this technique could be combined with wire or even perfusion myography it would create the potential to study many features of vascular mechanics that previously had not been studied due to technical limitations. Fortunately, the Edinburgh data was collected in time to be presented at the forthcoming Physiological Society meeting being held in The Institute of Physiology, University of Glasgow (1990). At the meeting I demonstrated the method of Fluorescence Myography (Chapter 1) and introduced the idea of using Confocal Microscopy (Daly et al., 1990).
From 1990 to 1992 I studied the use of nuclear dyes and evaluated methods of tracking the movement of nuclei using freely available Macintosh imaging software (e.g. Vision, NIH Image etc.). Following, the publication of the studies with nuclear stains (Daly et al., 1990, 1991a, 1991b & 1992) and based on the preliminary confocal and imaging data, Prof. J.C. McGrath secured funding for a NORAN Odyssey CLSM system. The system was evaluated during August 1992 and was installed soon after. There followed a period of intense research into the possibilities for the use of confocal microscopy in studying vascular structure.
The following sections describe the results obtained using various fluorescent stains, the study of normotensive and hypertensive resistance arteries, 2D methods of quantification, 3D modelling and the problems associated with developing a fully automated algorithm for the quantification of segmented objects within digital volumes.
**Principles of Confocal Microscopy.**
The patent which describes the illumination path of the confocal system was registered by Marvin Minsky in 1957. In his patent he describes both transmitted and epi-illumination pathways. The essential components of the system are the pinholes (or slits) through which the excitation and emission light sources must pass. In the transmitted light path the excitation light source passes through a pinhole and is focussed by a condenser onto a specimen. The transmitted light is then focussed by an objective and passes through a second pinhole which is positioned at an equal distance from the point of focus in the specimen. The two equidistant pinholes are said to be
'confocal' to one another. The more common epi-illumination light path is shown in Figure 2.1. The resulting image is a sharply focussed point of light which is relatively free from out-of-focus glare. Therefore the sample (stage) must be moved in order to build up a picture of the complete focal plane. More modern systems move (scan) the beam rather than the stage. The beam scan is typically performed using a galvanometer or, in the case of the NORAN Odyssey, an acousto optical deflector (AOD). The patented Noran AOD provides a scan speed of 25 frames per second (video rate Odyssey) and 250 fps in the new Oz systems.
The advantages of using confocal over conventional fluorescence are as follows;
i) Reduced blurring of images
ii) Increased effective resolution
iii) Improved signal to noise ratio
iv) Axial (z-axis) scans are possible
v) Serial axial scans can be combined
vi) Digital images are produced
vii) Living (i.e. unfixed) tissue can be studied
viii) Numerous fluorescent stains are available
Points vi-viii are now generally applicable to many epi-fluorescence (imaging) systems.
Although the confocal principal was first published in 1957 it was not until the mid 1980's that commercial instruments (using lasers) became widely available. The biological applications of such techniques were quickly realised (Carlsson et al. 1985; Amos et al., 1987 & White et al., 1987).
Figure 2.1. Schematic diagram of the confocal light path. The yellow coloured block represents the biological specimen. The light from the laser illumination source is reflected off the beam splitter and down to the tissue. Reflected light of a longer wavelength passes back along the same light path and passes through the dichroic mirror (beam splitter) and then through the pinhole to reach the detector (PMT). Light from above the point of focus (green light path) is focussed behind the pinhole and is therefore rejected. Light below the plane of focus (not shown) would focus in front of the pinhole. Diagram reproduced from the NORAN Odyssey sales material (1991).
practical uses of CLSM.
Confocal systems can use reflective surfaces to form an image. This property has been exploited in the imaging of silicon chips and in other metallurgic applications. However, apart from the autofluorescent properties of elastin and other biological molecules, it is generally necessary to use a fluorescent stain to 'label' a structure of interest. Fortunately, there are stains and antibodies for practically every cellular component from the nucleus to the plasma membrane bound proteins. The major drawback of using fluorescent stains is the phenomenon known as photobleaching.
Definition: An excited fluorophore is raised to a singlet state and decays back to ground state in a variety of ways. The most common way is emission of a photon which generates a fluorescent signal. Powerful excitation can raise the fluorophore to a triplet state which can react with molecular oxygen to generate a non-fluorescent molecule. Thus fluorescence is lost and addition of free radical scavengers (anti-fade agents) can reduce the rate of photobleaching.
Effect: Significant photobleaching will cause a fluorescent sample to fade rapidly.
Photobleaching is a significant problem for both wide field and confocal microscopy. If we consider that a thick sample like a blood vessel wall is to be scanned 60 to 80 times during the collection of a 3D volume of data, it might be expected that photobleaching could be a significant problem to be overcome. Therefore, it is important to balance illumination intensity (laser power) with photomultiplier gain and photon averaging in order to minimise bleaching and still maintain adequate signal/noise ratio. Unfortunately, each stain on each sample will require different parameters. It is not simply a matter of preparing the slide and turning on the scanner.
Emission attenuation with depth.
In an ideal situation where dye loading is even throughout the sample and photobleaching is minimal, focal planes deep within the specimen will be dimmer due to light diffraction and absorption. While there are routines for correcting this it remains a significant disadvantage of studying thick specimens.
Optical aberrations in CLSM.
Confocal laser scanning microscopy has been shown to be a powerful technique for the 3 dimensional imaging of relatively thick living biological specimens (Brackenhoff et al., 1989). These authors calculated that lateral resolution is more affected by pinhole diameter than is axial resolution. This feature of the confocal system is important when faint staining is required to be imaged and excessive bleaching requires that the pinhole aperture be opened. This feature of a CLSM system is exploited in Chapter 3 of this volume.
Given that relatively thick specimens will be studied on a CLSM system, one should consider the nature of any optical aberrations that may exist when light may be passing through air (objective), oil (immersion media), glass (cover slip) and tissue components.
In a study of thick (up to 300μm) uniform samples (a volume of water), Carlsson (1991) noted that axial/lateral resolution ratio is reduced by a factor of 3 as scanning depth increases from zero to 300μm. Carlsson suggests that for thick specimens it may be necessary to increase the sampling distance in the axial plane. These
measurements were made using reflected light. In confocal fluorescence microscopy the axial resolution could deteriorate by a factor of eight where refractive indices (RI) are mismatched. Therefore, specimen RI can seriously affect the resolution of thick tissues. Even high NA objectives are subject to the same limitations and it is suggested by Carlsson that dependent upon the actual sample it may be advisable to use a low NA objective.
Chen et al., (1991) developed a correction factor for the refraction of light passing through a blood vessel wall which they quote has an RI of 1.523. However, this value (taken from Gahm & Witte, 1986) appears to be derived from a sample of rat mesentery comprising mainly "hyaluronic acid, elastin, collagen fibrils and connective tissue cells". Gahm & Witte make no mention of blood vessels in their paper. It is not clear therefore how accurate this value is with respect to the vascular wall. It has been reported by others that embryonic cytoplasm has an RI of 1.5.
Chen et al., go on to suggest that internal diameter measurement of vessels mounted in a Halpern style myograph (Halpern et al., 1984) should be corrected since the water solution has an RI of 1.33 compared with the blood vessel wall RI of 1.523.
Further studies cast doubt on the published data of measured volumes imaged by confocal microscopy. Visser et al., (1992) point to the inaccuracy of depth measurements made of watery samples using high NA oil immersion objectives. These authors examined the lateral aberrations caused by RI mismatch using fluorescent beads and a Biorad CLSM. The data show that RI of sample and
mounting/immersion media must be matched in order to maintain lateral/axial resolution ratio at 1.
Further aberrations in CLSM systems caused by RI mismatch were considered by Hell et al., (1993). These authors state that: "provided that immersion liquids of correct Refractive Index are used, aberrations can be neglected". Hell et al., provide descriptions and quantification of the point spread functions at different depths within a watery sample using an oil immersion objective. The full width half maximum (FWHM; measure of axial resolution) is reduced from 0.53μm (plane zero) to 0.68μm (5μm in) to 0.9μm (10μm in) to 1.23μm (20μm in). This and other data provided by Hell et al., explained the physical properties which are responsible for the main aberrations caused by RI mismatch in CLSM systems namely: 1) loss of resolution as axial focal position increases; 2) signal attenuation as axial position increases; 3) elongation of the sample as axial position increases.
Increasing detector pinhole increases the affect of aberrations. High NA oil immersion objective measurements of biological specimens are more susceptible to aberration than are low NA (less than 1) objectives. Overall the published literature would suggest that if myograph blood vessels are to be studied the best conditions would be to use a water immersion objective. The choice of NA would appear to be of less importance given the relatively thick nature of the sample and the expected axial resolution.
In the present study three objectives were used: for slide mounted samples an X60 oil immersion (NA 1.1); for myograph mounted vessels an X40 water immersion objective (NA 0.75) and X40 water immersion objective (NA 1.13, UV corrected.)
**Bleaching and Fluorescence attenuation.**
Bleaching and attenuation with depth is a common problem in both conventional and confocal fluorescence microscopy. Since confocal microscopy encourages the use of thick specimens it is important to consider the implications such physical effects will have on any attempts to quantify amounts of fluorescence in a 3D volume of confocal derived data.
Using thick (50µm) slices of nuclear stained rat liver Rigaut & Vassy (1991) quantified the amount of photobleaching and attenuation caused by confocal scanning. The method of staining used by these authors allowed penetration of dye from both sides of the tissue block thus ensuring equal staining. Using axial step sizes of 1µm they concluded that at depths up to 50µms there was no attenuation of excitation through the sample. However, attenuation of emission was observed. With regards to photobleaching Rigaut & Vassey observed uniform bleaching that was independent of depth.
For the present study of isolated perfused blood vessels it seemed appropriate to use a luminal and extra-luminal staining protocol to ensure equilibrium. Furthermore, since the vascular wall thickness of (200 - 300µm i.d.) resistance arteries would be expected to be in the region of 50 - 70 µm axial step sizes of 1µm appear to be acceptable.
Collection of Serial Optical Sections.
As stated above CLSM provides a means of capturing optical sections of a living specimen. In order to construct a 3D volume it is necessary to optically section the sample at fixed distances along the optical axis of the imaging system. This raises the question of what is the correct sampling distance (Z). Unfortunately, there is not one answer to this as the optimal value of Z will be determined by tissue/imaging conditions and by investigator requirements. There is though one school of thought which states that Z-sampling distance should equal twice the spatial resolution. This is known as the Nyquist theorem and in practical terms demands that Z-sampling should be no greater than 0.5μm. The rule applies particularly where quantification of 3D volumes is to be relied on. In many cases it will simply be spatial information that is required (i.e. how many cells of a particular shape are present at a specific depth). It appears to be left to the individual to justify their chosen parameters.
In their review of digital 3D imaging Chen et al., (1995) described the variety of protocols used in their studies. For studies of living embryos they prefer to use Z steps of 0.5 to 1μm in combination with X60 (1.4) or X40 (1.3) objectives respectively.
When photobleaching is problematic, or even where intensity is to be measured within a volume, it is advisable to take a reverse stack of images. This requires that the focal plane be set at the maximum depth within the specimen and the focus direction is moved step-wise towards the surface. This will minimise the deleterious effect of light in the converging and diverging cones of the excitation beam.
Digital Images and 3-dimensional volumes.
The Human eye and brain together form an unparalleled imaging system which is able to recognise millions of colours, shapes and forms almost instantaneously. Computers and cameras (or photomultipliers) by comparison are really very poor and while cameras may be capable of capturing images at high resolution, once digitised the image will be typically reduced to 256 colours or grey levels for the purpose of image processing. All of the images contained within this thesis are 8 bit and fall into this category. High end systems now work with 24 bit images and in time this will improve further. For the purpose of this thesis though we will consider only 8 bit images.
An 8 bit digital image comprises a 2D array (in this case 512 x 512) of picture elements (pixels). These are small squares that have an intensity value of between 0 (black) and 255 (white). Values between 0 and 255 are usually assigned shades of grey or colours (pseudocolour). The mapping of a colour to a particular intensity is done by a look up table (LUT or palette). Different palettes can be assigned to an image and these can be user defined. Palette editing can be useful in assigning a particular colour to a range of intensities which may define a specific feature.
The digital (numeric) nature of the captured image is such that numeric algorithms can be applied to alter selected values in order to remove or enhance certain features. This would be commonly known as image processing. Once images have been processed measurements can be made in order to quantify the data (image analysis). These are general definitions that will be adopted for the discussion and description of work in this thesis. A comprehensive review of current methods and theories of digital
imaging is far beyond the scope of this thesis and the reader is referred to the several good texts that are available (e.g. 'Handbook of Image Processing' by Dr. John Russ).
The experiments in this chapter detail the search for appropriate fluorescent probes that can be used for the study of vascular structure using confocal microscopy and small vessel myography. In addition, the transferral of the techniques developed in Chapter 1 to CLSM, the analysis of diseased vessels and the first steps towards a semi-automated analysis method are detailed.
Methods.
Tissue harvest.
Male wistar, WKY and SPSHR rats were obtained from either Biological Services (Internally bred colonies of wistar) or from Dr. A. Dominiczak (WKY & SPSHR) at the Department of Medicine and Therapeutics, University of Glasgow. The SPSHR are a genetically modified strain of (stroke prone) spontaneously hypertensive rat. The WKY rats serve as controls and are sex and age matched in all experiments. The SPSHR & WKY rats have been bred in the department since 1991. Wistar rats were generally killed by stunning followed by exsanguination. WKY & SHR were killed by inhalation of halothane (4%) in oxygen. All rats weighed between 250 and 300g.
Branches off the superior mesenteric artery (3rd order) were excised and cleaned of surrounding fat and connective tissue before being placed in fresh PSS solution (at room temperature). Cerebral vessels were obtained from whole brains (ex vivo) which were dissected in cooled PSS (i.e. on ice). Branches of posterior cerebral artery or the complete basilar artery were removed from the brain and cleaned of connective tissue. Samples of human subcutaneous (limb) resistance arteries were obtained from amputated limbs following critical limb ischaemia. One segment of rat pulmonary artery was also used. Vessels to be kept for later study were refrigerated at 4°C.
Tissue Mounting.
Vessel segments were visualised mounted on a perfusion myograph or on glass slides. Slide Mounting: Standard glass slides and coverslips (No. 1) were used throughout. A well was created on the slide using high vacuum grease. The grease is applied using a
long needle. The streaks of grease resemble a noughts and crosses grid on the slide. The central portion of the grid is filled with PSS into which is placed the vessel segment. A coverslip is then placed over the grid and gently pressed taking care not to compress the tissue. The slide is then ready for viewing. Nuclear stained sample such as these can be kept refrigerated for up to two days with no discernible loss in tissue integrity or staining.
Myograph Mounting: The model used was a Halpern Pressure Myograph system (Living Instruments, Burlington, Vermont). Segments of artery are cannulated between two micro pipettes and tied in position using fine ligatures. Warmed PSS is allowed to flow through the system prior to mounting to remove any air bubbles and to flush out any cleaning solution or water in the system. Once the vessel is mounted the pipette at one end is blocked by closing its associated three-way tap. By use of a servo-pump the pressure can be increased from 0 to 199mmHg. Pressures of between 40 and 60mmHg were chosen for WKY arteries and in some cases 120mmHg for SHR arteries. The choice of 40-60mmHg was based on the observed values for $0.91_{100}$ obtained in normalisation of wire mounted vessels.
Tissue Staining.
A variety of staining protocols was employed depending on the requirements of the stain and thickness of the preparation. All of the stains used require either, fixed tissue, unfixed tissue and/or staining at 37°C.
Fixed Tissue: Vessel segments are fixed in formalin, in aliquots, and left to equilibrate in nuclear stains overnight in a fridge (4°C). Before visualisation fixed segments are rinsed in fresh PSS to remove any unbound stain.
Living Tissue (room temperature): Vessel segments are incubated in aliquots with either nuclear or extracellular stains. Aliquots are either wrapped in foil or stored in a cupboard to prevent any degradation of the fluorophores by bright laboratory lighting.
Living Tissue (37°C): Many AM ester dyes require to undergo esterase activity within a cell before the fluorescent molecule is activated/released. To enable staining at 37°C two methods were used. For myograph mounted vessels the dye was simply applied to the bathing chamber once the gassing conditions (pH) and temperature were at the desired level. For vessels stained in aliquots it was first necessary to vigorously oxygenate the PSS to stop the precipitation of calcium. Vessel segments were then incubated in sealed, 'full' aliquots of gassed PSS containing the stain. The aliquots were then floated in a water bath (37°C) using plastic aliquot racks. After staining tissues are rinsed with fresh PSS and visualised immediately.
Fluorescent Stains
All stains were purchased from Molecular Probes inc (Eugene, Oregon or Leiden Netherlands). Table I shows the full list of fluorescent compounds tested in this thesis along with their solubility, fluorescent characteristics and sites of action.
Table 2.1: Fluorescent Stains used in this study. Excitation and Emission wavelengths are those used and do not necessarily reflect the maxima reported for each compound. Confocal microscopy is often limited by the available laser lines and long pass filters.
| Stain Name | Solubility of stock soln. | Conc. (mg/ml) | Site Stained | Ex. (nm) | Em. (nm) | Comments |
|----------------|----------------------------|---------------|-----------------------|----------|----------|--------------------------------------------------------------------------|
| FITC-albumin | water | 1mg/ml | extracellular | 488 | 515 | effective for elastin, collagen and lamella |
| 5,6 CF | water | 1mg/ml | extracellular | 488 | 515 | fills extracellular space, excluded from living cells |
| BCECF AM | DMSO | 5uM | cytoplasmic | 488 | 515 | pH indicator, stain at 37°C |
| DHE | DMSO | 1uM | DNA | 529 | 610 | requires esterase activity, poor shelf life, red stain 'live' cells |
| PI | water | 10ug/ml | DNA | 529 | 610 | red stain for fixed/damaged cells. Stable under LSCM |
| H33342 | water | 10ug/ml | DNA | 364 | 400 | excellent, stable, 'Y' stain |
| AO | water | 10ug/ml | DNA+RNA | 488 | 515 | shows DNA in green, RNA in orange |
| IO | water | 10ug/ml | RNA | 488 | 515 | toxic in blood vessels |
| EB | water | 10ug/ml | DNA | 529 | 610 | good red stain for dead cells |
| Phalloidin | DMSO | | F-actin | 488 | 515 | requires fixation and long incubation period |
| Rhodamine | DMSO | | mitochondria | 529 | 610 | gave poor results in blood vessels good results in cells |
| 123 | | | α-receptors | 488 | 515 | interference from autofluorescence in blood vessels (Ch.3) |
| QAPB | DMSO | 0.4-10uM | | | | |
FITC: fluorescein isothiocyanate.
5,6 CF: 5(6)-carboxyfluorescein mixed isomers.
BCECF AM: 2',7'-bis-(2-carboxyethyl)-5-(and -6)-carboxyfluorescein, acetyloxymethyl ester.
DHE: Dihydrorhodamine.
PI: Propidium Iodide.
H33342: Hoechst 33342 (bisBenzamide).
QAPB: BODIPY FL-proazin (see chapter 3 for full details).
Confocal Microscopy.
Two NORAN odyssey confocal laser scanning microscope were used in the course of this project. The vessel work was performed on an upright (Nikon Optiphot) configuration and the single cell work of chapter 3 was performed on an inverted configuration (Nikon Diaphot). The NORAN odyssey CLSM is a slit scanning system that runs at video rate (25 frames per second). The raw video rate signal can be captured directly to video tape. Alternatively, the signal can be output to a computer via an analogue (Matrox) frame grabber board. This is the preferred option if frame averaging is required or if there is no need to run at the top speed. The Odyssey uses point illumination and slit detection and as such sits between point scanners and slit scanners in terms of design. The xy scan is performed by a galvanometer (y-scan) and an acousto-optical deflector (AOD; x-scan). The AOD controls the horizontal sweep and the diffraction efficiency, which in simple terms means that the laser intensity can be software controlled. Therefore if the laser power entering the system is set to 50%, the AOD can be tuned to deliver 0 - 100% of that incoming laser intensity. The Odyssey is a two channel fluorescence system which uses a primary and secondary photomultiplier (PMT) for detection
UV CLSM system: The upright microscope is fitted with a mixed gas UV laser (Coherent) and can deliver lines of 364nm, 488nm and 525nm. The laser is water cooled and is remote from the scan module due to its large size. The laser is delivered to the scan module via an optical cable. The scan module offers barrier filters of 400nm, 515nm and 529nm. This system is optically best suited for UV stains and green fluorescent stains. However, the power of this laser enables excitation of red
stains such as PI and EB (see table 1 for spectral information). The system is physically best suited for myograph mounted vessels and fixed cell work.
Argon Ion CLSM system: The inverted system is fitted with a single argon ion laser (OmniChrome) capable of delivering lines of 454nm, 488nm and 529nm. The laser is cooled by a motorised fan and is housed within the scan module. Available barrier filters are 515nm, 550nm and 610nm. This system is optically best suited to dual fluorescence work using green and red stains (i.e. fluorescein and rhodamine type stains). The system is physically best suited to work with single cells mounted on a specialised flow chamber (see chapter 3).
Control software for the CLSM system was used to set the following parameters to ensure that similar or identical parameters can be set when comparing different specimens.
i) Brightness (PMT offset)
ii) Contrast (PMT gain)
iii) Laser intensity (AOD power)
iv) Pan and Zoom (Illumination area and size)
v) Excitation wavelength (depending on the stain)
vi) Emission wavelength (barrier/long pass filter)
vii) Slit size (the size of the detection aperture)
viii) Frame averaging (2-256)
The above parameters (together with axial step size and lateral resolution) are the settings that are recorded and stored with each image or stack. These settings are
important for purposes of 3D reconstruction and psf calculations required for deconvolution algorithms.
**Calibration of objectives.**
Objectives: The main objectives used in this study were; Nikon x60 oil (NA 1.3); Nikon x40 water (NA 1.13); Zeiss x40 water (NA 0.75). These objectives produce final images which are 70, 100 & 102 µm square respectively.
For each objective used it is important to know the calibration in microns. This requires that the pixel per micron scaling is determined at each excitation wavelength and at each optical zoom. In addition, if dual excitation is required it is important that the two excitation beams are aligned and that ‘image shift’ is minimised. It is also useful to know the psf of the optical system for any combination of excitation wavelength and objective. This can be determined using sub-resolution *point spek-beads*. The final important calibration is the determination of axial resolution of a given objective.
Distance calibrations: A slide which has vertical lines etched 10µm apart was imaged under a given combination of objective and illumination (no slit for detection was used). The line tool of MetaMorph (see below) was used to draw a line parallel to the y-axis and joining the right hand side of one etched line to the right hand side of the next. The number of pixels was recorded and used to determine pixels per micron. This process was repeated for all objectives at all wavelengths.
Laser alignment: Focal check beads (15μm diameter) were obtained from Molecular probes. These beads have a coating of one fluorescent dye and a core of a different dye (i.e. blue (UV) core, green (fluorescein) surface. This enabled the 364, 488 and 525 nm beams of the upright CLSM to be aligned. The 488 and 529nm beams of the inverted CLSM were aligned in the same way.
psf determination: As mentioned in the introduction the point spread function (psf) is an important determinant of the axial resolution and can be calculated if a sub-resolution point of light can be imaged. Point speck beads (0.15μm diameter) were purchased from molecular probes and mounted on slides using non-fluorescent mounting media. A point of light was located using a high NA objective (x40 water NA 1.13) and a confocal volume (z = 0.1μm) was collected. The data set was then processed by HugensII software (Bitplane AG) to measure the psf of the system. This calibration was only performed for the 364nm line of the upright CLSM system since this is the microscope used for thick (i.e. blood vessel) specimens.
Axial resolution: A mirrored slide is used to measure the reflected fluorescent light. As the focal plane moved towards the mirror the intensity at the PMT is plotted. This results in a transient peak which generally displays a tail on its trailing edge. The width of the peak at the point of 50% maximum intensity is referred to as the full width half maximum (FWHM) and is a measure of axial resolution. This calibration was performed by a NORAN engineer at the time of installation.
Image Capture.
MetaMorph (v2.5) image processing software (described below) was used to control the microscope and to acquire images. A special drop down menu contains all of the functions required to control the scan and capture systems. A general running average of 16 frames was used. This enables the live monitor to be used as a reasonable 'real time' display. The actual scan speed 33.33 msec per frame (30Hz) but some time must be given for the hardware to perform the frame averaging. Nevertheless, averaging at 16 frames gave a good response time for general use. Depending on the signal quality and bleach rate a frame average of between 16 and 256 was chosen (64 being the norm and producing an image in just over two seconds).
A stack of images was collected by selecting a start plane within the specimen, setting the stepper motor interval (z) and specifying the number of planes required. The motor can be set to travel in a positive or negative direction. After each plane (optical section) is scanned the shutter is closed (to preserve the sample) and the resulting image is stored in the computer memory. This process is repeated for each plane until the required volume has been scanned. The resulting stack of optical sections can then be inspected before being saved or deleted to make way for a new stack with different settings of brightness, contrast, AOD intensity or frame averaging as required.
Image Analysis and 3D processing.
The upright CLSM system was originally used in conjunction with the IMAGE1 image processing package (Universal Imaging Corporation). This software eventually became MetaMorph (MM) and is currently at version 4 which is windows95
compliant. The versions used for this study were v2.5 for Image Capture and v2.76 for off-line analysis of 2D images. For 3D visualisation a combination of Imaris (Bitplane AG, Switzerland) and Microvision (Fairfield Imaging, England) software packages were used.
**Extended Focus Models:** EF models were constructed using MM's 3D-reconstruction option. The models are built using all of the slices in a volume and using a maximum intensity projection. The models are rotated around a central x-axis in steps of $10^\circ$ and an animation is created to help perspective viewing of the volume. For myograph mounted vessels where 1um steps in z were used a pixel distance of 3 was used (without interpolation) to introduce artificial space into the model.
**Rendered Models:** More realistic alpha blended or back to front (BTF) rendering was performed on SiliconGraphics workstations using Imaris and Microvision respectively. The rendering algorithms work with the parameters listed in the previous section (confocal microscopy) to interpolate between the collected slices.
Limited image processing was employed prior to the building of EF models. In some cases a low pass or median (3 x 3) smoothing filter may have been used to reduce noise in images with low frame averaging.
**Measurements of angles:** For the comparison of basilar arteries taken from WKY and SPSHR rats the measure angle tool of MetaMorph was used. Full details are given in (Arribas et al., 1996). Briefly, the direction of flow was established by visualising the direction of the longest axis of the endothelial cells or by detecting the folded internal
lamina of vessels under low pressure. The axis of flow is set and the angle of the longest axis of individual smooth muscle cells is measured relative to the axis of flow.
Results.
Extracellular staining.
Slide mounted, isolated segments of 3rd order rat mesenteric artery (RMA) branches were incubated in 1mg/ml 5,6 carboxyfluorescein for 20 minutes prior to visualisation under excitation of 488nm (em 515nm) using a x60 oil immersion objective (NA 1.3). No washing was performed prior to visualisation. 5,6 CF produced a very bright 'green' fluorescence which under non-confocal (slit = none) conditions did not provide images of extracellular space due to out-of-focus glare. Reducing the slit width to 15μm enabled resolution of cell boundaries within the media of the arteries (Figure 2.2a & 2.2b). The images in figure 2.2 show the high degree of fluorescence in the lumen and around the outside of the vessel. Live cells were shown to exclude 5,6 CF producing a cell profile or negative image of cell cytoplasm.
By combining the 'red' nuclear stain dihydroethidium (DHE, 1μM) with 5,6 CF it was possible to image the cell nuclei and cell profiles independently. The images can then be combined to show the nuclear position in each cell. As expected, not all cells have nuclei due to the optical sectioning and plane of section (Figure 2.2c & 2.2d). Figure 2.2e shows a vessel similar to those of 2.2a-d but under a x2 zoom. Figure 2.2f shows another view of a dual stained vessel observed from the top surface of the vessel, just under the adventitia. The longitudinal profiles can be seen along with the nuclei of a few smooth muscle cells as they wrap around the wall.
Using a water immersion (x40, NA 0.75) objective it was not possible to obtain comparable images of myograph mounted vessels due to the amount of fluorescence in solution. Unfortunately, a short working distance high NA objective (as used for
Figure 2.2. Combination staining of 5,6 carboxyfluoresceine and DHE showing cell profiles in the media of isolated segments of rat mesenteric artery (60x oil immersion NA 1.3).
the human studies at the end of this chapter (figure 2.18) was not available at the time these experiments were performed.
**Cytoplasmic Staining**
The use of Calcein AM as a cytoplasmic stain for live cells was described in chapter 1. Under confocal excitation this stain was found to be extremely unstable and bleached too quickly to be of any use. Another stain had to be found.
BCECF is a commonly used fluorescent pH indicator and as such has been shown to be non-toxic (see discussion). It was therefore of interest to examine the distribution of this stain throughout the media and to determine its usefulness as a cytoplasmic stain. Segments of RMA were incubated in 5µM BCECF in PSS for 15 minutes at 37°C. Vessels were then removed, rinsed and incubated for a second time for 15 minutes at 37°C. This double staining protocol was found to give optimal loading of the dye. Vessel segments were then rinsed in fresh PSS and slide mounted for visualisation using an x60 oil immersion objective (NA 1.3). By balancing laser (AOD) and contrast (PMT sensitivity) it was possible to reduce bleaching rate to enable 64 frame averaging and scanning times of several seconds. The adventitial cells loaded BCECF in apparently equal amounts to the SMCs of the media. Figure 2.3a shows at least 3 different structures in the adventitia which have loaded BCECF. The smooth muscle cells directly below this area of adventitia are shown in figure 2.3b. It was not possible to resolve SMC in deeper layers of the media. Therefore, BCECF may be of use for imaging studies only of outer layers of smooth muscle or of arterioles. Smaller cerebral arteries are particularly well suited for study using this stain (see figure 2.6). An extended focus view of a different vessel segment to that shown in figure 2.3a&b suggests that certain adventitial structures stained by BCECF
Figure 2.3 Rat mesenteric artery stained with BCECF (5uM).
a) adventitia showing several cellular structures. b) smooth muscle within the media immediately below the adventitial region shown in a). c) The overlay shows possible nerves (at the adventitia/media border) and the underlying smooth muscle cells. All images were collected from slide mounted vessels using a x60 oil immersion objective. Ex. & Em. as shown in table 2.1.
may be nerves (Figure 2.3c). The nerve-like structures shown in figure 2.3c resemble similar structures found in the adventitia following staining with glyoxylic acid, rhodamine 123 and phalloidin (not shown).
By combining BCECF with DHE (as above with 5,6 CF) it was possible to image both cell cytoplasm and nuclei position in isolated segments of slide mounted RMA (Figure 2.4a&b). These studies confirmed that the nucleus is indeed generally confined to the central part of the cell (as suggested in chapter 1). Although this methodology can provide beautiful images of cell cytoplasm and thus shape, it is not possible to resolve the tips (ends) of the cells. Furthermore, the amount of fluorescence (due to the relative lack of extracellular space) makes it difficult to analyse 3D volumes of cytoplasmic staining. Preliminary studies of volumetric analysis were largely unsuccessful but provided valuable information on the limitations of 3D-image analysis (see figure 2.19 & 2.20 and discussion).
**Combined extracellular and nuclear staining**
Figure 2.5 shows the results obtained from imaging RMA segments stained with both DHE and FITC-albumen. The combination of these two stains enables visualisation of both stains together when using 529nm excitation (610nm emission). Figure 2.5 shows images from both slide mounted (2.5a) and pressure myograph mounted (2.5b-d) RMA segments. Figure 2.5a provides an excellent example of the confocality of the instrument when using the x60 oil objective. Figure 2.5ai shows adventitial cell nuclei and elastin fibrils. Focusing towards the media shows the adventitial nuclei falling out of focus and new elastin fibres become visible (Figure 2.5aii). Increasing the plane depth brings the external elastic lamina into focus (figure 2.5aiii) and just
Figure 2.4. Rat mesenteric artery stained with a combination of BCECF and DHE. The plates (a&b) show medial smooth muscle of unfixed (slide mounted) tissue.
Figure 2.5. Combination of FITC-albumin and DHE. Rat mesenteric artery segment mounted on slide ai-aiv or pressure mounted at 60mmHg b-d. ai) adventitial nuclei and elastin fibers on the outermost surface of the vessel. aii) a deeper adventitial section showing fibres immediately under the cells shown in ai. aiii) the external lamina). aiv) Smooth muscle cell nuclei immediately below the external lamina (x60 oil immersion objective NA 1.3). b) outer layers of smooth muscle cell nuclei and external lamina. c) inner layers of smooth muscle also showing internal elastic lamina. d) extended focus model of all optical slices from b&c (water immersion x40 NA 0.75).
under the external lamina the first layers of smooth muscle cell nuclei can be clearly resolved (Figure 2.5iv).
Figures 2.5b-d show different optical sections of a pressure mounted (60mmHg) RMA segment visualised with an x40 water immersion objective (NA 0.75). The external lamina can be seen in addition to the underlying smooth muscle cell nuclei. The low NA of the x40 water objective provides a thicker optical section (i.e. focal depth). A diagonal (helical) arrangement of smooth muscle cells is suggested from the image. Focusing down to the inner layers (just above the internal lamina) shows a different layer and arrangement of cells (Figure 2.5c). An extended focus view of all of the optical sections in the volume produces the image shown in Figure 2.5d.
**BCECF stained, myograph mounted arterial segments.**
Vessel segments of RMA and rat posterior cerebral artery (PCA) were stained with BCECF as described above prior to mounting on a pressure myograph. Both segments were pressurised to 40mmHg and imaged under 488nm excitation using the x40 water objective. Optical sections were collected at 1μm steps along the optical axis and extended focus models were constructed from the resulting stack of images. Figure 2.6a and 2.6b show RMA and PCA respectively. The lack of substantial adventitia on the PCA vessel makes it easier to visualise the smooth muscle cell cytoplasm. By rotating the EF models by 30° around a central y-axis, the images shown in figures 2.6c & 2.6d are obtained. Visualisation of the animated model shows how surprisingly thin the wall is when pressurised and suggest that these 200μm i.d. vessels have no more than two layers of smooth muscle when under pressure.
Figure 2.6. BCECF staining of pressure mounted segments of rat mesenteric artery (a&c) and rat basilar artery (b&d). All plates show extended focus models of the complete 'confocal' stack. The model can be rotated for viewing at different angles. The 0° view is shown in a&b. The view at 30° rotation is shown in c&d. Both vessels were held at 60mmHg and viewed with x40 water objective (NA 0.75).
The combination of FITC-albumen and DHE proved to be a very useful combination providing images of nuclei and extracellular matrix under a single wavelength excitation (488nm; the most widely used CLSM laser line). Figure 2.5 shows that this combination of dyes can be used with both high NA (figure 2.5a) and low NA (figure 2.5b-d) objectives. Figure 2.5 also shows images of a pressurised vessel. This is a significant improvement on the techniques developed in chapter 1. The vessel is now under the physical forces that would be experienced in-vivo and therefore the cells have their natural arrangement. This provides a very interesting platform for further study of vascular function. A similar method using BCECF stained vessel produced good images but the general arrangement of cells is difficult to determine when there are no cellular markers other than the homogeneous staining of the cytoplasm. These experiments did however highlight the optical clarity of cerebral vessels compared with the mesentery, due mainly to the virtual lack of adventitia (Figure 2.6).
**Nuclear stained, myograph mounted vessels.**
DIIE (1µM) stained vessels were mounted on a pressure myograph and pressurised to 30mmHg. Full z-sections from adventitia through to endothelium were obtained and archived. When the extended focus model of the vessel shown in figure 2.7 was constructed (without adventitial layers), two distinct arrangements of circularly arranged smooth muscle cells were observed. In addition to the expected diagonal arrangement there was an apparent region of cells arranged in a ring. This does not appear to be associated with a branch point since no leak was detected in the vessel. If the servo was constantly re-inflating the vessel due to a leak it would not have been possible to collect the sharp z-series of images since movement artefacts would have
severely blurred the image. It is tempting to speculate that this group of cells may represent a functional unit. Figure 2.7 shows 4 orientations (0,40,60 & 90°) of the EF model. Figure 2.7d gives an indication of the curvature of the vessel under the loading pressure. Increasing the holding pressure to 80mmHg caused the vessel to lengthen, thus changing the lateral position of the 'ring' of nuclei (Figure 2.8a). The nuclear spacings did not appear to be altered dramatically by this increase of 50mmHg. However, the nuclei became 13.7% longer and 11.4% broader as a result of the pressure increase. This suggests that the smooth muscle cells become longer and flatter (as opposed to thinner). As the wall thins and cells compress during pressurisation it is reasonable to assume that the cells will get flatter. However, analysis of full 3-dimensional volumes would be the only way to verify this assumption.
Figure 2.9a-d shows a different segment of rat mesenteric artery stained (DHE 1μM) and pressurised to 40mmHg. The plates show different views of the full EF model (0,40,60 & 90°). The SMCs are all orientated circumferentially and are perpendicular to the axis of flow indicated by the endothelial cell nuclei which are aligned from left to right on the image. The endothelial cells line the grooves in the internal elastic lamina (IEL) which form invaginations at this transmural pressure. This gives the impression that the endothelial cells are arranged in horizontal lines. A roughly helical (zig-zag) arrangement of SMC nuclei can also be seen. The adventitial cells do not appear to be ordered in any particular fashion.
Segments of WKY mesenteric artery show structurally similar features to the Wistar mesenteric arteries. Figure 2.10 a-d shows a segment of WKY RMA stained (DHE
Figure 2.7. A pressure mounted segment of DHE stained rat mesenteric artery showing only the media. The holding pressure was set to 30mmHg. Extended focus views are shown for different rotations. a) 0°, b) 40°, c) 60° & d) 80°. The asterisks in panel (a) shows those nuclei chosen for analysis as detailed in the results section. Images were collected using a x40 water immersion objective (NA 0.75).
Figure 2.8. A pressure mounted segment of rat mesenteric artery (as shown in figure 2.7). The holding pressure was set to 80mmHg. Extended focus views are shown for different rotations. a) $0^\circ$, b) $40^\circ$, c) $60^\circ$ & d) $80^\circ$. The same nuclei as those shown in figure 2.7 were selected for analysis.
Figure 2.9. A segment of DHE stained rat mesenteric artery pressure mounted at 40mmHg showing the full depth of the vascular wall. Round nuclei represent adventitial cells. Elongated nuclei running from top to bottom represent smooth muscle cells of the media. Elongated nuclei running left to right represent the endothelial cell nuclei. Extended focus views are shown for different rotations. a) $0^\circ$, b) $40^\circ$, c) $60^\circ$ & d) $80^\circ$. Images were collected using a x40 water immersion objective (NA 0.75).
Figure 2.10. A segment of DHE stained WKY rat mesenteric artery pressure mounted at 40mmHg showing the full depth of the vascular wall. Round nuclei represent adventitial cells. Elongated nuclei running from top to bottom represent smooth muscle cells of the media. Elongated nuclei running left to right represent the endothelial cell nuclei. Extended focus views are shown for different rotations. a) $0^\circ$, b) $40^\circ$, c) $60^\circ$ & d) $80^\circ$. Images were collected using a x40 water immersion objective (NA 0.75).
1μM) and pressurised to 40mmHg. The plates show different views of the full EF model (0,40,60 & 90°). Like the Wistar RMA the SMCs are arranged perpendicular to the endothelial cells, which again appear to run in lines due to folding of the IEL. Comparing figure 2.10a with 2.9a suggests that the WKY may have a lower density of SMCs per unit area.
Figure 2.11a-d shows a segment of SHR RMA stained (DHE 1μM) and pressurised to 60mmHg. The plates show different views of the full EF model (0,40,60 & 90°). In this particular vessel there appears to be more deviation of SMCs from the circular axis perpendicular to the endothelial cells (i.e. axis of flow). A striking increase in the density of adventitial cells was observed in this sample. Increasing the transmural pressure to 120mmHg caused no significant change in length (figure 2.12).
**Agonist activation of stained pressure-mounted vessels.**
A DHE stained vessel was mounted on a perfusion myograph and maintained at 40mmHg (figure 2.13a). An series of optical sections through the media of the vessel was captured before and after the application of 50mM KCl to cause a graded contraction. During contraction all nuclei appeared to move as a unit (figure 2.13b). Analysis of 10 nuclei picked at random from control (figure 2.13a) and contracted (figure 2.13b) showed no difference in shape, length breadth or orientation.
**Table 2.2** shows the average morphology of 10 randomly selected nuclei shown in figure 2.13
| | Length | Breadth | Shape | Orientation |
|----------------|----------|----------|----------|-------------|
| Control | 89.0 +/- 4.9 | 22.67 +/- 1.16 | 0.4 +/- 0.02 | 84.9 +/- 0.8 |
| Contracted | 90.8 +/- 4.85 | 22.67 +/- 1.26 | 0.42 +/- 0.03 | 84.85 +/- 0.64 |
Figure 2.11. A segment of DHE stained SHR rat mesenteric artery pressure mounted at 60mmHg showing the full depth of the vascular wall. Round nuclei represent adventitial cells. Elongated nuclei running from top to bottom represent smooth muscle cells of the media. Elongated nuclei running left to right represent the endothelial cell nuclei. Extended focus views are shown for different rotations. a) $0^\circ$, b) $40^\circ$, c) $60^\circ$ & d) $80^\circ$. Images were collected using a x40 water immersion objective (NA 0.75).
Figure 2.12. The segment of DHE stained SHR rat mesenteric artery (shown in figure 2.11) pressurised to 120mmHg showing the full depth of the vascular wall. Round nuclei represent adventitial cells. Elongated nuclei running from top to bottom represent smooth muscle cells of the media. Elongated nuclei running left to right represent the endothelial cell nuclei. Extended focus views are shown for different rotations. a) $0^\circ$, b) $40^\circ$, c) $60^\circ$ & d) $80^\circ$. Images were collected using a x40 water immersion objective (NA 0.75).
Figure 2.13. The effect of KCl on the arrangement of vascular smooth muscle cells within the media of a wire myograph mounted segment of rat mesenteric artery. a) Extended focus view of the media prior to contraction. b) Extended focus view of the media during contraction to KCl. c) 10 nuclei selected from view (a). d) 10 nuclei selected from view (b).
Vector models.
The first attempt to visualise data sets in 3D involved reducing all nuclei down to their longest cord (vector) which would describe the position and orientation in 3D space. A freeware software package (3Dview) was used for visualisation on the vector fields. Figure 2.14 shows an example of vector maps of the real data sets shown in figure 2.9 (mapped in fig 2.14 a&b) and figure 2.12 (mapped in fig 2.14 c&d). This approach was then applied to the data sets shown in figure 2.13 (KCl contraction data). The resulting vector maps (figure 2.15) aid the visualisation of the effects of contracting a pressurised vessel with KCl.
Structural studies using extracellular and nuclear stains.
The data thus far suggested that interesting observations could be made of smooth muscle cell organisation in pressurised arteries. Therefore a more detailed structural and functional study of basilar arteries isolated from WKY and SPSHR animals was undertaken in collaboration with Dr. Silvia Arribas. The results given in this section are confined to the confocal-derived data since the full study (including functional data) has already been published (Arribas et. al., 1996).
Isolated segments of basilar artery were stained with 5,6 carboxyfluoresceine as described above. Full z-series stacks (z=1μm) were obtained for both WKY (Figure 2.16) and SPSHR (Figure 2.17) arteries. The axis of flow was determined by focusing the IEL and drawing a line parallel to the long axis of the endothelial cells. The long axis of the SMCs in three distinct layers (outer, middle and inner) was then identified
Figure 2.14. The plate shows vector models of a wistar (a&b) and SHR (c&d) segment of RMA pressure mounted and stained with DHE. Rotation of the models permits visualisation of the orientation and arrangement of the smooth muscle cell nuclei. a&b represent data taken from the RMA segment shown in figure 2.9. c&d represent data taken from the SHR RMAsegment shown in figure 2.11. Yellow/green vectors represent smooth muscle cell nuclei.
Figure 2.15. Vector diagrams of the data shown in figure 2.13. The left hand panels show views of the smooth muscle cell nuclei at rest in a pressurised RMA. The adventitial and endothelial cells have not been plotted. a) top view (i.e. looking down on the vessel). b) end elevation view. c) & d) show identical views during contraction with KCl.
Figure 2.16 . Basilar artery from WKY stained with 5,6-CF. The figure shows selected images from the full stack of optical slices, collected at 1um intervals along the axial plane. 5,6 CF is excluded from live cells which appear as 'empty' cells in these images. The extracellular space is clearly visible and the orientation of the cells in each plane can be easily distinguished. Images are of slide mounted vessel segments visualised with a x40 water immersion objective (NA 0.75).
Figure 2.17. Basilar artery from SHR stained with 5,6-CF. The figure shows selected images from the full stack of optical slices, collected at 1μm intervals along the axial plane. 5,6 CF is excluded from live cells which appear as 'empty' cells in these images. The extracellular space is clearly visible and the orientation of the cells in each plane can be easily distinguished. Images are of slide mounted vessel segments visualised with a x40 water immersion objective (NA 0.75).
for each cell and this angle was expressed as a deviation from 90° to the axis of flow.
The results are summarised in table 2.3.
**Table 2.3** The average deviation from 90° of the long axis of smooth muscle cells in comparable layers of WKY and SHR basilar arteries. Number in parentheses represents number of cells measured from 6-9 different animals. Measurements were made according to the description of angle measurements given in the methods section.
Data taken from: Arribas S, Gordon J, Daly CJ, Davidson A, Dominiczak AF & McGrath JC. (1994). Smooth muscle cell rearrangement and impaired contractions in basilar artery of SHRSP. *Methods & Findings in Experimental & Clinical Pharmacology*, 16, p47
| Strain | Layer 1 | Layer 2 | Layer 3 | KCl | SHT |
|--------|-----------|-----------|-----------|--------|--------|
| WKY | 7.2±0.2 (45) | 6.4±0.7 (46) | 5.5±0.6 (46) | 235 ± 37 | 256 ± 30 |
| SHR | 25.0±2.0 (57) ** | 9.1 ± 1 (65) | 11.6±2.0 (65)** | 77 ± 19** | 98 ± 25** |
A brief study of human cutaneous resistance vessels was conducted as part of a Wellcome Trust funded project grant to study the structure of vessels taken from critical limb ischaemic patients. Vessels were mounted in a pressure myograph as previously described and inflated to 80mmHg. Preliminary observations showed that at 40mmHg tissue compression (or folding) within the wall severely limited the ability to obtain good quality optical sections. Increasing the pressure to 80mmHg provided much clearer images. The reasons for this observation require further study. Figure 2.18 shows examples of both proximal (i.d. 186 um) and distal (i.d. 174 um) vessels taken from ischaemic limbs. Overall the distal portion of the artery had fewer smooth muscle cells and a thinner wall. The data is summarised below.
**Table 2.4.** Analysis of the z-series collected of H33342 stained pressurised (80mmHg) segments of human subcutaneous resistance arteries taken from proximal and distal regions of amputated ischaemic limb.
| | Wall thickness | Cell No. (Adv.) | Cell. No. (SMC) | Cell No. (EC) | W:L ratio | Media (% of wall) |
|--------|----------------|-----------------|-----------------|---------------|-----------|-------------------|
| Proximal | 41um | 14 | 49 | 14 | 22.2% | 56.3% |
| Distal | 25um | 8 | 23 | 15 | 14.8 | 47.1% |
It is interesting that hypotension, as a result of the blockage, appears to cause remodelling in the opposite direction to that observed in cases of increased pressure.
Figure 2.18. Comparison of proximal and distal subcutaneous resistance arteries taken from a human lower limb. Amputation was the result of critical limb ischaemia. a) Extended focus model of a pressurised proximal artery at 80mmHg. b) Extended focus model of a distal segment of artery pressurised at 80mmHg. c) a 90° rotation of the proximal EF model. Wall thickness measured at 41um. d) a 90° rotation of the distal EF model. Wall thickness measured at 25um. Field size 102um square.
In any case the CLSM method is shown to be sensitive enough to detect the differences in cellular composition of the two arterial segments.
**Automated Analysis of 3D volumes.**
Several methods of 3D rendering were investigated. The extended focus visualisation method is adequate for displaying general cellular arrangement. However, the EF is not a true 3D volume where the slices would be blended together and the space between the slices would be interpolated to produce a solid model of each object (nuclei). The optical aberrations and elongations described in the introduction to this chapter play a major role in determining the success or otherwise of any 3D rendering and subsequent segmentation.
Data volumes ($z$-series of a rabbit isolated perfused cutaneous resistance artery) were transferred to SiliconGraphics workstations for rendering by Microvision and Imaris. Figure 2.19a shows a maximum intensity (analogous to the EF model) projection produced by Microvision. In this method the dark voxels (which carry no valuable information) prevent efficient visualisation. Figure 2.19b shows a back-to-front (BTF) rendering of the same data with the dark voxels made transparent. This then allows lighting and textures to be mapped to the remaining objects to further enhance visualisation. The circle drawn on the volume denotes an area where the nuclei appear to fuse together (optical aberration). After iterative multi level thresholding (IMTS) the same group of nuclei are still fused (figure 2.19c). This is more apparent when the object analysis routine measures the segmented volume and draws a vector along the longest cord of each individual object (i.e. the software sees the group of fused nuclei as one object (figure 2.19d)).
Figure 2.19. 3-dimensional reconstruction of raw and processed data from a segment of myograph mounted (pressurised) rabbit cutaneous resistance artery. The figure shows identical views of the same data set after different rendering and analysis processes. a) extended focus view of the nuclei within the wall of the vessel. Note that some nuclei are brighter than others (object intensity heterogeneity.). b) The volume has been rendered using a back-to-front (BTF) algorithm which allows for the control of opacity of individual voxels. In this case the background (i.e. darkest) voxels have been made transparent. This method is effective for volume examination and identification of potential problems. One particular group of nuclei were found to be touching (object fusion) and have been circled in the figure. c) The data volume was then processed using the IMTS routine (without object classifiers) which segmented the objects. Some individual nuclei were clearly segmented while some others were not. Some degree of object fracturing and fusion was observed. d) The segmented volume was then passed for automated analysis. Only the longest cord of each object is shown. These cords are 3D-vectors which describe the length and orientation of the object. It is clear that the software has failed to identify certain 'individual' objects (circled).
Testing the IMTS segmentation method.
In choosing data sets with which to test the segmenter, I have kept in mind the major problems associated with object extraction from CLSM data volumes. These "real" data sets have been chosen as representative examples.
Confocal set-up
Serial optical sections were collected using either an Argon Ion laser (Ex. 488 nm; Em 610 nm; Data set 1) or a UV Argon ion laser (Ex. 364 nm; Em 400 nm; Data set 2 & 3). Individual volumes consist of serial images each of which represents a 64 frame average to reduce noise and improve image quality. Data set 1 was collected using a x40 water (NA 0.75 long working distance) immersion objective and as such represents a relatively poor quality (in terms of confocality) data set. Data sets 2 & 3 were collected using a x40 water (NA 1.13 short working distance) immersion objective and represent good "confocal" data sets. Deconvolution methods to account for blurring caused by the point spread function were not employed in this study.
Data set 1 (figure 2.20a)
The data volume is made up of 54 confocal serial sections of a segment of pressurised resistance artery, shown in figure 2.12. Sections were acquired at steps of 1 μm in the axial plane and are 512x512 pixels (102 μm) in x-y. The volume contains objects (cell nuclei stained with dihydroethidium) which define the number (i.e. one object/nucleus per cell) and type of cell (i.e. determined by shape, position and orientation). For further details see reference (Daly et al. 1992).
Figure 2.20 The figure shows top and end elevation views of three different confocal data sets. a) Segmented volume of a pressurised resistance artery (figure11). The volume contains objects (cell nuclei) which define the number (i.e. one object/nucleus per cell) and type of cell (i.e. determined by shape, position and orientation). b) Confocal volume of endothelial cell nuclei on the inner surface or an isolated segment of pulmonary artery. These nuclei are characterised by their heterogeneity of intensities (indicative of DNA concentration). In particular some nuclei have a bright perimeter. c) A single endothelial cell nucleus.
Data set 2 (figure 2.20b)
The data volume consists of confocal serial sections of endothelial cell nuclei on the inner surface or an isolated segment of rat pulmonary artery. Sections are 332x174 pixels and axial spacing is 0.5 µm. These Hoechst 33342 stained nuclei are characterised by their heterogeneity of intensities (indicative of DNA concentration). In particular some nuclei have a bright perimeter.
Data set 3 (figure 2.20c)
A single endothelial cell nucleus. The bright spots are characteristic of some nuclei which may be about to die (apoptosis). The image size is 130x83 pixels (xy) and 18 µm (z).
IMTS Segmentation of Data Set 1
The relatively wide intensity distribution histogram (not shown) indicates that data set 1 is comprised of a wide range of voxel intensities, most of which were black (i.e. background / non-nuclear cellular material). The 3D rendered volume shows the range of intensities of individual nuclei (objects) within the volume. IMTS segmentation parameters (Table 2.5) extracted 188 objects which were identified as nuclei according to the pre-set classifiers (Table 2.5; Figure 2.20 (a)). An end elevation view of the 3D model reveals the curvature of the data set and demonstrates the efficient segmentation and separation of individual objects (Figure 2.20 (a), bottom panel).
Table 2.5.
Analysis of Multi-segmented vascular wall
Parameters
| Parameters | all nuclei | round nuclei | long nuclei |
|-----------------------------|---------------------|---------------------|---------------------|
| Classifier vol. | > 10µm³vol. | > 10µm³vol. w / l > 0.49 | > 10µm³ w / l < 0.49 |
| No. of Objects | 188 | 132 | 52 |
| volume (µm³) | 47.06 ± 2.39 | 48.10 ± 2.93 | 43.48 ± 4.25 |
| length (µm) | 8.93 ± 0.27 | 7.78 ± 0.22 | 11.65 ± 0.67 |
| width (µm) | 4.96 ± 0.13 | 5.19 ± 0.15 | 4.34 ± 0.22 |
| width / length (µm) | 0.59 ± 0.01 | 0.67 ± 0.01 | 0.39 ± 0.01 |
| thick / length (µm) | 0.29 ± 0.01 | 0.33 ± 0.01 | 0.18 ± 0.01 |
IMTS Segmentation of Data Set 2
The intensity histogram of data set 2 (not shown) indicated that this data set does not contain a wide range of intensity values and that the majority of voxel values represent the ‘background’ voxels. The 3D rendered volume reveals several nuclei with bright perimeters which appear to fuse with neighbouring nuclei (figure 2.20b). IMTS segmentation parameters successfully extracted 14 separate objects with 2 joined pairs.
IMTS Segmentation of Data Set 3
The intensity histogram of data set 3 (not shown) indicated that this data set does not contain a large range of intensity. However, a smaller peak representing the bright spots in the nucleus was apparent (figure 2.20c). The 3D-rendered volume shows that the single nucleus does not have a uniform intensity. IMTS segmentation parameters successfully segmented the nuclei into 1 separate object.
Discussion.
The Vascular Wall.
There are many reports describing the orientation of smooth muscle cells in the vascular wall. The general consensus is that the smooth muscle cells of arteries are orientated circumferentially and spiral around the vessel lumen (Garvin 1965; Rhodin (1982; Pease & Paule; 1960; Aalkjaer and Mulvany 1983). Few (if any) studies have focussed on the detailed arrangement of cells in the vascular wall. This is surprising given the intense research into the mechanisms of vascular remodelling which occurs in hypertension (Baumbach & Heistad 1989; Haegerty et al., 1993; Mulvany et al., 1996). The debate over remodelling in the literature tends to centre around the cause of the increased media thickness. However, no attempts have been made to describe the organisation of smooth muscle cells in normal vessels. Perhaps due to a lack of suitable methodology.
Confocal (fluorescence) microscopy.
The aim of this part of the study was to investigate the use of confocal microscopy as a method for answering the primary question of the project; do selective agonists activate all cells equally? Secondly, can the reported asymmetry of responsiveness be visualised using CLSM methods. There are many technical advantages and disadvantages to using confocal based approaches (see Introduction) and so it was important to evaluate CLSM as an appropriate method for studying vascular structure (and possibly function).
The initial work with BCECF provided some of the most stunning images on smooth muscle cells in-situ. These particular images have been particularly useful as a
teaching aid for they provide an insight into the architecture of the vessel wall. If only the nuclei are visible the observer may be fooled into thinking that there is a considerable amount of extracellular space. However, the smooth muscle cells are packed very tightly leaving very little extracellular space. Unfortunately, the sheer amount of fluorescence caused by BCECF staining precludes imaging of deep layers of SMCs. However, 2-photon systems which have greater depth resolution may provide a solution here.
**Nuclear Staining.**
Nuclear stains were considered to be the best option for studying cell number, orientation and (perhaps) activation. The previous chapter had already provided data to suggest that nuclear stains were non-toxic and fairly stable under fluorescence excitation (Daly et al., 1992).
Visualising a full Z-series as an EF model provided spatial information on the distribution (and number) of adventitial, smooth muscle and endothelial cells. The adventitial cells do not appear to conform to any specific pattern. However, without any detailed analysis of spatial self-organisation it is difficult to be certain that there is indeed no pattern. The smooth muscle cells on the other hand have a specific orientation (perpendicular to the axis of flow) and appear to be diagonally offset (helical) with a pitch of between 45-55°. The diagonal arrangement of SMCs in the vascular wall is currently being studied as part of a Wellcome Project Grant recently awarded to Prof. McGrath. The aim of the project is to mathematically model the arrangement of cells in the vascular wall. This project is a direct result of the development work documented in this thesis. One of the interesting findings of this
study was the location of endothelial cells within the invaginating grooves of the internal elastic lamina under conditions of low pressure. Figures 2.9 (wistar RMA) & 2.10 (WKY RMA) show endothelial nuclei appearing to run in lines. However, when the pressure is increased the endothelial cells appear to be more evenly distributed within the lumen. It would be of interest to determine if the altered arrangement of endothelial cells has any differential effects on the overlying (inner layers) of smooth muscle.
Overall, the experiments on nuclear stained pressurised vessels confirmed that this is an excellent method for the study of vascular structure if detailed information on 3D spatial organisation of cells is required. Furthermore nuclei morphology can be conveniently analysed using routine image analysis on a slice by slice basis (i.e. 2D analysis). Morphometric and automated analysis of 3D volumes is discussed later.
Activation of pressurised segments of RMA was assessed using KCl. The contraction caused more nuclei to come into the field of view. However, the contraction was not sufficient to cause a significant change in the nuclear morphology (Table 2.2). These experiments show that it is possible to maintain function of a pressure mounted segment under laser scanning excitation. Furthermore it is possible to construct models of cellular position before and during contraction.
**Application of the CLSM method to studies of vascular remodelling.**
The techniques developed in the course of this project seemed ideal for investigating the nature of 'remodelling' in hypertensive arterial segments. Since the stroke prone spontaneously hypertensive rat model was available to our group it was decided to
investigate the structure of the isolated basilar artery using confocal microscopy. In normal (WKY) basilar arteries the cells, in all layers, were regularly arranged and deviated by no more than $7.2^\circ$ from an axis perpendicular to the direction of flow (Figure 2.15). However, in the SPSHR basilar arteries several disorganised regions were found and these deviated by as much as $25^\circ$ in the outer layers (Figure 2.16). The data is presented in Table 2.3.
It is interesting that the greatest differences were observed near the adventitia since a significant increase in the number of adventitial cells was also observed (Arribas et al., 1996). Adventitial-like cell nuclei were also observed in the medial layers of the basilar artery. In all of the hypertensive arterial segments of rat mesenteric artery examined in this study, a noticeable increase in adventitial cell density was observed. The importance of the adventitia is slowly being realised and it will be interesting to follow the research in this area since a more intimate relationship between adventitial and smooth muscle cells (with respect to remodelling) may be revealed.
**Human Resistance Arteries.**
The study of human vessels taken from cases of critical limb ischaemia demonstrated the power of the confocal method to quickly identify a structural difference in proximal and distal arterial segments following ischaemia. In general the distal portions of artery contained fewer cells and had a reduced wall thickness (see Table 2.4). This may be the reverse of the phenomenon observed in remodelled ‘hypertensive’ vessels and may point to a common mechanism of remodelling of arterial vessels. A more detailed study of Human limb arteries and an investigation of
common remodelling mechanisms will be undertaken during the forthcoming EU programme grant (VASCAN 2000).
CLSM methods can therefore reveal aspects of cellular organisation and morphology that are not obtainable by other methods. The foci of disorganised cells in SPSHR basilar arteries had not previously been described, perhaps due to the more aggressive nature of conventional histology where shrinkage artefacts and 'plane of section' can combine to give false impressions of structure (to an inexperienced observer). On the other hand, CLSM methods enable structural studies to be made on living and fixed tissue. The throughput is greater and the ability to build 3D-models adds another dimension to the possible analysis. Combining different stains in living tissues and studying function simultaneously will allow vascular scientists to tackle problems that would not have been possible without the development of confocal methods.
Ideally, it would be possible to pass a complete data volume (i.e. image stack) to a software routine that could identify discrete objects, count and classify them and then report the findings to the user. However, any computerised measurement system requires a set of classifiers that first tell the software within which parameters to operate. For a nuclei stained volume this could consist of a set of arguments that define the limits of individual nuclear dimension (e.g. minimum and maximum length and width). In this respect the measurement algorithm will be semi-automated in that it requires the user to set the classifiers at the beginning and then perhaps alter the classification depending on the output (results). If a given tissue and staining protocol yielded uniform staining each and every time then it may be possible to fully automate the process. However, in my experience, tissue variability makes it almost impossible
to predict for different vessels what the classifier values should be, particularly where intensity of staining is a factor. For this reason, and because of the problems described below, we have yet to find an algorithm that can fully automate this process. Furthermore, even our own semi-automated method is not 100% accurate.
**Automated 3D-analysis.**
The quantitative advantage of imaging modalities can only be fully realised once suitable analysis software is available. Unfortunately, the current state-of-the-art in rendering and segmentation is not equipped to cope with the variability of many biological tissues. The previous sections have dealt solely with 2-dimensional imaging. The extended focus models shown in this chapter are only pseudo-3D projections on which measurement is not permitted. Although structural studies were not the primary goal of the project it seemed necessary to investigate the power of 3D-rendering. I was particularly interested in investigating the possibilities for quantifying 3D volumetric data of vascular objects (i.e. nuclei). If vascular reactivity could be monitored in 2D, perhaps it could be quantified in 3D. This proved to be (and still is) an enormous task. It is not within the scope of this thesis to describe the development work and experiments in deconvolution and rendering that led to the final algorithms that were developed by Dr. Daisheng Luo. However, I will describe here the general problems that need to be overcome in studying blood vessel walls in 3D.
Thresholding and segmentation routines are at the heart of many image based measurements. I define ‘thresholding’ as being the process of selecting intensity ranges; ‘segmentation’ is defined as the process of extracting an object from a volume.
Nuclei stained blood vessels present a particular challenge to the thresholding and segmentation routines. Essentially, the vascular wall can be treated as a 3D volume containing several objects (in this case nuclei) which have different sizes, shapes, orientations and intensities. The challenge is to accurately segment each nucleus from the volume with the minimum input from the user. Several segmentation methods have been suggested. In biomedical image processing, Ong et al. (1996) give a review of four categories for the segmentation of tissue section images: thresholding, region growing, edge detection, and pattern matching. Most methods deal only with 2-D images and although some can be extended to 3D, it is far more complicated. Specific routines for confocal derived data are particularly difficult to find. The need for such routines has prompted us to develop our own methods designed to handle volumetric data from vascular segments.
Problems associated with CLSM.
The data of this chapter have identified a series of segmentation problems associated with studying nuclear stained vascular segments. For example, (1) objects (i.e. nuclei) can be as little as a few microns apart and may appear to fuse together in the segmented volume. (2) Neighbouring objects can have different intensities and individual objects can themselves have a wide range of intensity values. (3) Intensity will be lower deep within the specimen due to diffraction of light. (4) Even in CLSM data sets, some objects will be out-of-focus. The problems described above are general and will be relevant to most biological applications employing thick ‘live’ tissue. Now consider each problem with respect to the confocal study of blood vessels.
Object Fusion. With the exception of cells undergoing mitosis, there will be no cases where two nuclei occupy the same cell and therefore be touching. In general, cell nuclei must be separated by, at least, the thickness of two cell membranes. In this extreme case it will probably not be possible to resolve the distance between the nuclei, particularly in the optical (z) axis. Fortunately, the architecture of the vessel wall is such that cells are generally offset and are not stacked along the optical axis. Therefore, it is a reasonable assumption that where two nuclei appear to fuse it is probably the result of some optical aberration which may or may not be corrected. If the objects cannot be separated then the user must ensure that classifier parameters are stringent enough to eliminate objects whose volume is greater than the average by a factor of two (i.e. is it a double nuclei?).
Object intensity heterogeneity. This creates the greatest problem for efficient thresholding. Vital nuclear stains report the concentration of DNA. Therefore, if a nucleus has regions of high or low DNA concentration (i.e. an apoptotic nuclei) the resulting image of that nucleus will have a range of intensities. Selecting a fixed range of intensities for thresholding will undoubtedly result in fracturing of the object where only the brightest (or dimmest) regions will be segmented. One solution would be to broaden the thresholding range. However, this will increase the incidence of object fusion. In addition, two nuclei occupying the same optical plane can have completely different intensity ranges. This means that efficient segmentation of one nuclei in a plane does not guarantee segmentation of all other nuclei in that plane.
Intensity attenuation with depth. This is a more general problem which has a significant effect on our ability to image the complete vascular wall. As the focal
plane is increased along the z-axis the intensity of the fluorescent signal drops. This is mainly due to the diffraction of light and the efficiency of penetration of the laser. Practically, it means that nuclei deep within the wall (near the lumen) are more difficult to resolve cleanly. Moreover, it makes visualisation of the endothelial cells particularly difficult. One solution is to simply increase the PMT gain or laser power slightly with each increase in z-axis position during stack acquisition. This solution is only valid if intensity data per se is not meaningful or required.
**Diffraction of light.** Even in the best confocal system there will be some out-of-focus glare from fluorescent structures above and below the plane of focus. In vascular samples this is not a major problem since the relative size of the objects is greater than the actual diffraction from the point light source. Much has been written about the use of deconvolution methods to correct for this (Van Der Voort & Strasters 1995; Shaw 1995). I have tested several methods of deconvolution on vascular samples and have found the Iterative Constrained Tikhonov Miller and Maximum Likelihood methods to produce the best results for vascular tissues.
**Multi-level thresholding and segmentation (LMTS).**
To overcome the problems described above a specialised semi-automated algorithm for thresholding and segmenting objects from confocal volumes of vascular structure was developed in collaboration with Dr. Daisheng Luo.
The iterative multilevel thresholding and splitting (LMTS) method segments 3D images into volumes iteratively by increasing the threshold value and splitting larger volumes into smaller volumes. The volumes are extracted by the *slice merging*
method. The object segmentation is controlled by *intensity homogeneity* and *volume size* criterion.
Unlike the automatic multilevel thresholding (Chang, 1995) where threshold values are found from the global histogram and different objects are segmented in different threshold bands, IMTS segments different objects at different threshold values which match the object themselves. This method is particularly effective for segmenting nuclei in vascular segments. Operation of IMTS is simple. The routines have been built into an existing 3D-rendering package (Microvision; Fairfield Imaging). The software runs on SiliconGraphics hardware and has a friendly windows like interface. Once the volume has been loaded the user selects the thresholding range and the incremental step size. The software then segments the volume interactively and displays the segmented volume in the render window. The user can then examine the volume visually and can view the object data text file. If the results are not satisfactory, the thresholding step size and range is altered and the process is repeated.
**Object Classification and measurement.**
As stated earlier (and shown in the figures), cell type can be identified by nuclei position, shape and orientation. Therefore, segmented objects can be used to report the number, position and orientation of the different cell types. Once a data volume has been analysed by the IMTS segmenter the object data is output to a simple text file. Objects can then be ordered by size, shape factor orientation etc. If only smooth muscle cells are to be examined then classifiers which are unique to these cells can be defined (i.e. ratio of length to width; shape factor; orientation with respect to a fixed axis etc. Table 2.5).
In summary, the data within this chapter have helped clarify exactly what is possible in terms of studying vascular structure and function using confocal microscopy. Stains for the extracellular matrix, cytoplasm and nucleus have been validated and their respective limitations identified. It has been shown that nuclear stains can provide information on the spatial organisation of vascular cells. Furthermore, the cellular arrangement can be examined at different perfusion pressures or degrees of activation. The method is sensitive enough for detection of vascular abnormalities resulting from at least two cardiovascular disorders.
The process of thresholding and segmentation of 3D volumes has been tackled and was largely successful. A major conclusion to be drawn from these experiments is that structural analysis using the stains described here is unlikely to be useful in the study of vascular asymmetry. An alternative approach (studying receptor distribution) is described in the next chapter.
Focussing on the positive aspects of the results it should be noted we are now able to clearly define the way in which our studies of vascular structure and function will continue in the future. In the course of examining several hundred arterial segments, 2 questions are constantly raised in my mind.
1. Are there groups of cells which act as functional ‘pacemaker’ units for initiation of contraction? I firmly believe that we will find repeating patterns of cell arrangements which may or may not be functional units.
2. Is there a relationship between the adventitial nerve plexus and the arrangement of smooth muscle cells on the outermost layers of the tunica media? Do nerves follow the pattern of cell arrangement?
3. Is there a simple mathematical formulae to describe the arrangement of cells mapped to a tubular structure which could be used to build models of vascular cell arrangement. Furthermore, alteration of which variables of the formulae would cause reorganisation akin to remodelling.
The methods described in this chapter make it possible to address the questions outlined above. Answering these questions will form a major focus of my work in the coming years.
References.
Aalkjaer C. and Mulvany M.J. (1983) Human and rat resistance vessels: A comparison of their morphological and pharmacological characteristics. *Gen Pharmac.* Vol. **14**, 85-87.
Amos WB, White J.G. & Fordham M (1987). Use of confocal imaging in the study of biological structures. *Appl. Opt.* **26**:3239-3243.
Arribas S.M., Gordon J.F., Daly C.J., Davidson A., Dominiczak A.F. & McGrath J.C. (1994). Smooth muscle cell rearrangement and impaired contractions in basilar artery of SHRSP. *Methods & Findings in Experimental & Clinical Pharmacology*, **16**, p47
Arribas S.M., Gordon J.F., Daly C.J., Dominiczak A.F. & McGrath J.C. (1996). Confocal microscopic characterisation of a lesion in a cerebral vessel of the stroke-prone spontaneously hypertensive rat. *Stroke*, **27**; 1118-1123
Baumbach, G.L. & Heistad, D.D. (1989) Remodelling of cerebral arterioles in chronic hypertension. *Hypertension*, Vol **13**, 968-972.
Brakenhoff G.J., van der Voort H.T.M., van Spronsen E.A. & Nanninga N. (1989). Three-dimensional imaging in fluorescence by confocal scanning microscopy. *J. Microscopy* Vol **153**, pt2 p151-159.
Carlsson K., Danielsson P., Lenz R., Liljeborg A., Majlof L. & Aslund N. (1985). Three-dimensional microscopy using a confocal laser scanning microscope. *Opt. Lett.*, **10**:53-55
Carisson K (1991). The influence of specimen refractive index, detector signal integration, and non-uniform scan speed on the imaging properties in confocal microscopy. *J. Microscopy*. Vol. **163**, pt2 p167-178
Chang F.J., Yen J.C. and Chang S. (1995). A new criterion for automatic multilevel thresholding. *IEEE Trans. Image Process* Vol. **4**, pp. 370-378.
Chen E.Q., Chan F, Lam & Periasamy A (1991). Effect of refraction on optical microscopic measurement of internal blood vessel diameter and its correction. *J. Microscopy* Vol. **164**, pt3 0239-245
Chen H, Swedlow J.R., Grote M., Sedat J. and Agard D. (1995). The collection, processing and display of digital three dimensional images of biological specimens. In *Handbook of Biological Confocal Microscopy*. Ed. J. Pawley, Plenum Press NY p197-210.
Daly, C.J., Gordon, J.F., Boyle, F.C., Gillespie, J.S., McGrath, J.C., Moss, V.A. & Spurway, N.C. (1990) Fluorescent myography: the analysis of isolated vascular smooth muscle cells of the rat labelled with bisbenzamide during vasoconstriction. *J. Physiol (Lond.)*. **429** 11P.
Daly, C.J., Gordon, J.F. & McGrath, J.C. (1991a) A fluorescence image analysis method for the study of smooth muscle cell interaction within the vascular wall of small blood vessels. *Blood Vessels* **28** 281.
Daly, C.J., Gordon, J.F. & McGrath, J.C. (1991b) Fluorescence image analysis methods for the study of smooth muscle cell interaction within the vascular wall of small blood vessels. In 'Resistance Arteries, Structure and Function.' Ed. M.J. Mulvany et al., The Netherlands: Elsevier. pp. 339-343. [ISBN 0 444 89193 5]
Daly, C.J., Gordon, J.F. & McGrath, J.C. (1992) The use of fluorescent nuclear dyes for the study of blood vessel structure and function: novel applications of existing techniques. *J. Vasc. Res.* **29** 41-48.
Daly C.J., Gordon J.F. & McGrath J.C. (1993a). 3-Dimensional analysis of smooth muscle cell reactivity within the rat resistance artery using confocal microscopy. Proceedings of the XXXII Congress of IUPS p249,47
Daly C.J., Gordon J.F. & McGrath J.C. (1993b). Observation of vasodilatation in small arteries with confocal microscopy. Proceedings of the XXXII Congress of IUPS O73.12
Gahm T & Witte S (1986). Measurement of the optical thickness of transparent tissue layers. *J. Microscopy* Vol. **141** pt1 p101-110.
Garvin, H.S.D. (1965) *A Student's histology* (2nd Edition). Pub. E & S Livingstone Ltd.
Halpern W, Osol G & Coy GS (1984). Mechanical behavior of pressurized in vitro prearteriolar vessels determined with a video system. *Ann Biomed Eng;**12**(5):463-79.
Haegerty, A.M., Aalkjaer, C. Bund, S.J., Korsgaard, N & Mulvany, M.J. (1993). Small artery structure in hypertension: dual process of remodeling and growth. *Hypertension* Vol **21**, 391-397.
Hell S, Reiner G, Cremer C & Stelzer H.K. (1993). Aberrations in confocal fluorescence microscopy induced by mismatches in refractive index. *J. Microscopy* Vol. **169**, pt3, 391-405.
Mulvany, M.J., Baumbach, G.L., Aalkajaer, C. & Heagerty, A.M. (1996). Vascular remodelling. *Hypertension*, Vol 28, 505-506.
Ong SH., Jin XC, Jayasooriah, and Simmiah R (1996). Image analysis of tissue section. *Computers in Biology and Medicine* Vol. 26, No. 3, pp. 269-279.
Pawley, J. B., (1995). *Handbook of biological confocal microscopy*. Second Edition, Plenum Press, London, pp. 200-201, 238-239, 373-402.
Pease, D.C. & Paule, W.J. (1960). Electron microscopy of elastic arteries; the thoracic aorta of the rat. *J. Ultrastruc. Res.* Vol 3, 469.
Rhodin. Vascular smooth muscle: metabolic, ionic, and contractile mechanisms. ed. by M.F. Crass and C.D. Barnes Pub. New York London: Academic Press, 1982
Rigaut JP and Vassy J (1991). High resolution three-dimensional images from confocal scanning laser microscopy; quantitative study and mathematical correction of the effects from bleaching and fluorescence attenuation in depth. *Analytical and Quantitative Cytology and Histology*, Vol 13 No. 4 223-232
Russ JC. (1995). *The Image Processing Handbook*. CRC Press Ann Arbor. Second edition. ISBN 0-8493-2516-1.
Shaw PJ (1995). Comparison of wide-field deconvolution and confocal microscopy for 3D-imaging. In *Handbook of Biological Confocal Microscopy*. Ed. J. Pawley. Plenum Press New York and London
Van der Voort HTM. and Strasters KC (1995). Restoration of confocal images for quantitative image analysis. *Journal of Microscopy*, Vol. 178, pp. 165-181.
White JG, Amos WB & Fordham M (1987). An evaluation of confocal versus conventional imaging of biological structures by fluorescence light microscopy. *J. Cell Biol.*, **105**: 41-48
Visser TD, Oud JL & Brakenhoff GJ (1992). Refractive index and axial distance measurements in 3-D microscopy. *Optik*, Vol **90**, No. 1 p17-19
Chapter 3
The use of fluorescent ligands and the development of methods for fluorescent ligand-binding in isolated cells and tissues.
Introduction.
The previous chapters have dealt with fluorescence based methods for identifying cells and cell types. Much of the previous work was focused on developing a means of visualising cells during vasomotion at different depths within the vascular wall in response to agonists and other stimuli. In many respects the fluorescence based approach was largely successful, proving that it is indeed possible to stain living (pressurised) vessels, to identify cell type, to build 3D models of vascular structure and to monitor the change in position/arrangement of cells during contraction and changes in transmural pressure. In addition, several other interesting features of vascular structure and possible avenues for investigation became apparent and are currently being followed by members of Professor McGrath's research group (i.e. confocal studies of hypertension induced remodelling, confocal analysis of vessels from organoid culture, mathematical descriptions of vascular cell arrangement, automated analysis of 3D volumes etc.). However, with respect to the main aim of this project, which is the determination of sensitivity of individual cells and cell layers to selective agonists, it appears that the organelle staining approach might not be sensitive enough. Moreover, it is not exactly clear how much freedom of movement an individual cell might have. Even if one cell in a group is rich in adrenoceptors and is activated first, contraction of this cell may be constrained by other physical factors like anchorage to elastin and collagen or the presence of surrounding cells. This is indicated by careful examination of the movies of KCl and noradrenaline contraction of pressurised vessels where there is no evidence for initial activation of subpopulations of cells.
One possible line of attack would be to study Ca$^{2+}$ activation in the cells of the vascular wall. $\alpha_1$-adrenergic receptor activation causes a rise in intracellular Ca$^{2+}$ which leads to contraction of vascular smooth muscle (McGrath 1982). There are now many forms of fluorescent Ca$^{2+}$ indicator which will increase or decrease their fluorescence in proportion to the amount of free cytosolic Ca$^{2+}$ (Minta et al., 1989). This creates the possibility of using confocal microscopy to examine Ca$^{2+}$ signalling in vascular smooth muscle at different depths within the media in response to selective agonists. However, while I believe that this particular approach will provide very important information in the future, I did not feel that it would fully address the real pharmacological question relating to receptor distribution and its relationship to the observed asymmetry of responsiveness. Nevertheless this approach is being strongly considered for future developments by professor McGrath's research group.
A very recent paper described Ca$^{2+}$ activation in renal arterioles using confocal microscopy (Miriel et al., 1999). Unfortunately, the image quality in the study was relatively poor and suggests work with thicker walled arteries may be problematic and difficult to interpret. My preliminary experiments (not shown here) of loading fura-red into blood vessels showed that it was possible to obtain reasonable resolution of smooth muscle cells in the region just underneath the adventitia. It will be interesting to watch the developments in this area.
At the same time as I was considering which direction to follow next (to go with Ca$^{2+}$, to stick with the fluorescent nuclear stains, or move to arterioles and try to establish the mechanics of contraction), Molecular Probes announced the synthesis and commercial availability of BODIPY FL-prazosin. Prazosin is a high affinity $\alpha_1$-adrenoceptor antagonist and has been used to distinguish $\alpha_1$ and $\alpha_2$ adrenoceptors preand postjunctionally (McGrath 1982). BODIPY (borate-dipyrromethene) is a more stable (pH insensitive) fluorophore than FITC (FITC bleaches quickly under laser illumination and is sensitive to intracellular pH). Therefore BODIPY is a more suitable fluorophore for conjugating to a ligand.
The development of this compound raised the possibility of mapping the location of $\alpha_1$-ARs rather than inferring their presence indirectly based on cellular activation. Furthermore, since prazosin is not selective for the three $\alpha_1$-subtypes (see below) it may be possible to use the non-selective fluorescent drug in combination with subtype selective compounds in order to determine the distribution of individual receptor subtypes. It was thus decided to follow a program of work investigating the functional pharmacology and ligand-binding characteristics of BODIPY FL-prazosin in single transfected cells, in freshly dissociated cells and in living tissue sections. The experiments in this chapter describe the preliminary work leading up to the development of the method of fluorescent ligand binding. Data from some recent publications will also be presented (McGrath & Daly 1995; McGrath et al., 1996; Daly et al., 1998).
**Current Classification of $\alpha_1$-adrenoceptor subtypes.**
Classical pharmacological methods and theory dictate that identification of a receptor subtype requires proof of the existence of the endogenous ligand. In addition, an antagonist that binds to the receptor with high (nanomolar) affinity must be available. In recent years this approach has been radically changed. It is now possible to identify the genes which code for receptor subtypes. These genes (cDNA) can now be transfected into cells which will then transcribe the DNA and manufacture the
recombinant receptors. Therefore the classical requirements for identification of a receptor subtype have changed. The original requirements for an antagonist and endogenous ligand still stand, unless you have the gene! This situation has resulted in the discovery of receptor subtypes for which, in many cases, there is either no endogenous ligand or recognised physiological role. This situation now exists to a certain extent for the $\alpha_1$-ARs.
There are currently three recognised subtypes (known genes) of $\alpha_1$-ARs; $\alpha_{1A}$, $\alpha_{1B}$ and $\alpha_{1D}$ (Hieble et al, 1995). The $\alpha_{1C}$ nomenclature has been abandoned to avoid confusion (see Hieble et al for details). A further important classification ($\alpha_{1L}$) is recognised functionally but not 'officially accepted' due to the absence of a known cDNA sequence which can transcribe the functional receptor in recombinant systems. Nevertheless the $\alpha_{1L}$-AR, which is characterised by its low affinity for prazosin, has been demonstrated functionally in many tissues including, most recently, those of the lower urinary tract (Ford et al., 1996). The wide range of observed pA$_2$ values for prazosin was highlighted by Drew (1985) at a workshop on $\alpha$-adrenoceptors hosted by Prof. J.C. McGrath and later published in Clinical Science. Drew's observations led others to suggest that the low affinity prazosin site may represent a new $\alpha$ -AR subtype (Flavahan & Vanhoutte 1986; Murumatsu 1990). Some authors have suggested that the $\alpha_{1L}$-AR is a low affinity state of the $\alpha_{1A}$-AR (Ford et al., 1996). If this is the predominant AR on prostatic SMCs it may explain why prazosin is not used therapeutically since relatively high doses would need to be administered and the resulting hypotension caused by non-selective vasodilation would be an unacceptable side-effect.
Selectivity of Antagonist drugs and new compounds.
The quinazoline family of compounds (which includes prazosin, doxazosin, alfuzosin etc. Figure 3.1) are not selective among the three $\alpha_1$-AR subtypes. Tamsulosin (YM12617) has high affinity for $\alpha_{1A}$-ARs but also has affinity for $\alpha_{1D}$ ARs. While the current group of pharmacological tools for subdivision of the $\alpha_1$-ARs are not ideal there are several compounds which do possess relatively high selectivity for individual subtypes (i.e. BMY77378 for $\alpha_{1D}$; 5-methylurapidil for $\alpha_{1A}$; L765,314 for $\alpha_{1B}$ etc.). Although many different compounds are used for the classification of subtypes it seems that the relatively 'non-selective' ones are used clinically, probably due to the mix of receptor subtypes that are generally present on native tissues. It should also be noted that the quinazolines are lipophilic and will therefore have access to any intracellular receptors which may contribute to their observed potency.
Receptor distribution and location
It is now apparent from biochemical and molecular studies that receptor desensitisation and downregulation is probably associated with the mechanism of receptor internalisation which occurs by an endocytotic process and which is reviewed extensively elsewhere (von Zastrow & Kobilka 1994).
It has been shown in recombinant systems that $\alpha_{1A}$-ARs are expressed as intracellular receptors whereas $\alpha_{1B}$-ARs are more readily translocated to the plasma membrane (Hirisawa et al., 1997). Presently, nothing is known about receptor turnover in blood vessels at the cellular level. It is also not known if cell surface ARs are distributed evenly through the medial smooth muscle cells of the vessel wall. It was therefore of
Figure 3.1. The structure of quinazolinyl piperazine (top) and the various substituents (R) that distinguish prazosin, doxazosin and QAPB. This particular form of BODIPY is excited at 488nm and emits above 515nm. The compound was obtained from Molecular Probes and is listed in their catalogue as "BODIPY FL-prazosin" but since it lacks the furan group which defines prazosin, as opposed to other compounds which share the quinazolinyl piperazine group, such as doxazosin, we refer to it by an acronym, "QAPB", derived from its chemical name (quinazolinyl piperazine borate-dipyromethene).
interest to determine whether fluorescent ligands could be usefully applied to tackling these issues.
Until recently fluorescently labelled receptor ligands were used more or less as irreversible histological "stains". The long duration of the ligand-receptor association was considered as akin to a covalent bond. Unlabelled competitors were merely a means of occluding the association and validating the receptor type. However, some compounds are now available which have the ability to report the "amount" of ligand-receptor complex at equilibrium: these compounds fluoresce when bound to the receptor but have low background fluorescence in the aqueous phase giving a high signal to noise ratio. This opens up the possibility of assessing the affinity of the receptors for the fluorescent ligand and, further, of assessing the affinity of other ligands by competition. The big advantage is that quantitative ligand binding can be carried out with very high spatial resolution which is ideal for dealing with heterogeneous tissue, but many other advantages follow (table 3.1).
**History of fluorescent "drug" ligands.**
Many attempts have been made at conjugating fluorescent molecules to receptor ligands in the hope of identifying their binding sites. This was aimed mainly at the localisation of the receptors rather than studying their properties. The objective was to produce a fluorescent compound which would remain fluorescent when bound to the receptor and would remain bound when the free drug was washed away. This actually makes the experiment more demanding since washing is likely to cause the
Table 3.1 Fluorescent-ligands vs Radio-ligands
Advantages
- Fluorescence is relatively safe and inexpensive compared with tritiated or iodinated compounds.
- Spatial resolution is greatly enhanced, compared with autoradiography or cell fractionation.
- Experiments can be performed at true equilibrium.
- Fluorescent ligands can be displaced from their binding sites by non-fluorescent ligands. Using image subtraction it is thus possible to identify the sites recognised by the non-fluorescent ligand.
- Bleaching of certain fluorescent molecules (i.e. those which are only fluorescent when bound) can be used for FRAP type experiments. Once an area has been bleached the rate of recovery of fluorescence provides information on the association of the fluorescent ligand.
- Signal does not degrade. Although photobleaching of individual molecules can occur, the kinetic nature of binding replenishes the site with an intact ligand. This also allows signal averaging c.f. radioligand decay.
- Different fluorophores are available to suit particular experimental set-ups. This enables the use of multiple fluorescent ligands or the co-localisation of ligands and antibodies.
- Live or fixed tissue can be used.
- Small amounts of tissue or single cells can be studied.
- Immediate results are obtained.
Disadvantages
- The large fluorescent group can affect the affinity of some (but not all) ligands.
- The yield of a single fluorescent molecule may be different for different fluorophores and may be affected by the binding conditions. This complicates the calculation of a Bmax.
- Very sensitive detectors are required for the low concentrations of fluorescent ligands which are required to maintain specificity.
- Bleaching will occur if the excitation source is too great or the ligand concentration too low. In some cases it may be difficult to find the right balance if the source light is not tuneable.
- Tissue autofluorescence can cause significant problems in some samples. Elastin is particularly problematic.
- If fluorescent ligands are internalised in live tissue or cells they may be subject to degradation.
ligand to dissociate and diffuse away, unless it has very high affinity (or a slow off-rate). Increased fluorescence on binding was not an objective. Early studies were also limited by the insensitivity of detectors. However the greatest obstacle was the lack of suitable probes, necessitating the ad hoc development of the fluorescent ligands. In reviewing the limited critical acceptance of some early examples, it is worth noting whether the pharmacological properties of the ligands were examined or whether the assumption was made that they possessed similar properties to the parent compound. The contemporary situation is simpler since the development of fluorescent biochemicals has become important in molecular biology and the tools for rapid pharmacological screening are available.
**Examples of fluorescent ligands for various receptors**
*Nicotinic*: α-Bungarotoxin was one of the first drugs to be exploited as a fluorescent ligand (Anderson & Cohen 1974). It was used to label acetylcholine (ACh) receptors of Xenopus sartorius muscle fibres. Fluorescent α-bungarotoxin binding could be inhibited by carbachol or unlabelled α-bungarotoxin. This early report is significant in taking account of both the selectivity and affinity of the fluorescent ligand, noting that the fluorescent conjugate exhibited lower potency than the native toxin. Fluorescent α-bungarotoxin is still in use: one study combined this probe with 4-Di-2-ASP to visualise simultaneously the dynamic architecture of nerve terminals and their associated postjunctional receptors during development (Balice-Gordon & Lichtman 1993). High affinity toxins whose binding is virtually irreversible are ideal for these "localisation" studies and carry the additional advantage that they can be translocated inside the cell with receptors.
*β-Adrenoceptors*: Atlas and co-workers synthesised a fluorescent analogue of propranolol (9-AAP) and used this probe in an attempt to localise β-adrenoceptors in rat cerebellum (Atlas et al., 1976). They found 'spots' of fluorescence, consistent with binding to presynaptic sites, which were reduced in both number and intensity in the
presence of unlabeled propranolol. Similar results were obtained with a dansyl analogue of propranolol (DAPN) which prompted the authors to suggest that fluorescent β-adrenoceptor antagonists could be used in vivo to study β-adrenoceptors in the CNS (Atlas & Melamed 1978). However, the use of fluorescent β-antagonists did not find widespread use. There are two possible reasons for this. Firstly, the qualitative nature of the technique may have limited its appeal and, secondly, there was criticism that the fluorescent spots observed may be autofluorescent granules (Hess 1979). A later development in this field was the use of fluorescent labelled CGP12177. Heithier et al., (1994) showed that a BODIPY derivative of CGP12177 had similar binding properties to native CGP12177 on human β2-adrenoceptor transfected SF9 cells and were able to demonstrate punctate fluorescence on lightly fixed cells which was abolished in the presence of non-fluorescent CGP.
**Opioid:** The understanding of opiate-induced desensitisation of receptors was advanced following the synthesis of a fluorescently labeled enkephalin which was used to study opiate receptors in neuroblastoma cells (Hazum et al., 1979). Using this probe it was found that opiate receptors normally exist in a diffuse state and that both agonists and antagonists can induce receptor clustering (Hazum et al., 1980).
**Histamine:** Petty & Francis (1986) synthesised and studied fluorescein-histamine. They identified clusters of mobile receptors on the cell surface of polymorphonuclear leukocytes. Furthermore, fluorescein-histamine binding was inhibited in the presence of histamine and cimetidine confirming that conjugation of the fluorophore does not markedly alter its selectivity.
**Neurotensin:** Faure et al., (1994) synthesized a fluorescent derivative of neurotensin, Nα-F'FC-[Glu¹]NT (fluo-NT). Using (i) flow cytometry, (ii) ligand binding and (iii) confocal microscopy the authors demonstrated that fluo-NT, over the concentration range tested (0.16-16nM), exhibits (i) 85% specific binding, (ii) a pKi (0.67nM) against [125I]-NT similar to non fluorescent NT (0.55nM) and (iii) granular hot spots within nerve cell bodies on rat brain sections. Fluo-NT binding to SN17 cells (septal
neuron-neuroblastoma hybrid cells, which express high affinity NT-binding sites) produced hot spots which were predominantly on the cell surface although a population of intracellular hot spots was identified using confocal microscopy.
**α-adrenoceptors**: The experiments of this chapter have employed a BODIPY-labelled fluorescent quinazoline, QAPB (figure 3.1) which is related to the α₁ adrenoceptor antagonists doxazosin, prazosin and terazosin (Ruffolo et al., 1995) to visualise α-adrenoceptors on live cells and intact pieces of tissue. The punctate fluorescence found is visually similar to that found with other receptor antibodies and confirms the punctate nature of α-adrenoceptor distribution found by Uhlen et al., (1995) in MDCK cells.
Cell surface G-protein-coupled receptors are notoriously difficult to localise accurately, even in fixed tissue using antibodies, due to the non-specificity caused by the high degree of conservation of sequence, or using radioligands due to the inherent low resolution of autoradiography. However, high affinity fluorescent ligands based on "antagonist" drugs/ligands could be used in a manner analogous to radioligands, but with much higher spatial resolution and in real-time on live tissue, if their concentration can be measured photometrically.
The data which follow document the validation of the compound BODIPY FL-prazosin (or QAPB). Firstly, the pharmacology of the ligand is established in a variety of tissue types using functional, binding and biochemical assays. Secondly, by using a transgenic cell line, the concentration-fluorescence characteristics of the compound are investigated in an attempt to produce data similar to that obtained in conventional radioligand binding. In addition, the fluo-ligand is tested on dissociated cells and tissue sections harbouring known α₁-AR subtype populations. Finally, the use of image analysis methods for studying receptor binding induced fluorescence and spatial distribution is also considered.
Methods
Reagents
Reagents used were of the highest analytical grade. The following compounds were used: DMEM (GIBCO UK); $[^3\text{H}]$-prazosin (86Ci mmol$^{-1}$) and $m\alpha-[2-^3\text{H}]$inositol were obtained from Amersham; BODIPY FL-prazosin 'QAPB' (Molecular Probes Inc); prazosin HCl and doxazosin (Pfizer); phentolamine mesylate (Ciba); phenylephrine HCl & phenoxybenzamine (Sigma); YM12617 (Chinoin).
Cell culture.
Rat 1 fibroblasts stably expressing the $\alpha_1d$-adrenoceptor (see Wise et al., 1995) were maintained in DMEM containing 5% (v/v) new-born calf serum, glutamine, penicillin, streptomycin and gentamicin (G418) in a humidified atmosphere at 37°C containing 5% CO$_2$.
Inositol phosphate studies.
Cells were seeded in 24-well plates and labelled close to isotopic equilibrium by incubation with 1 $\mu$Ci/ml $m\alpha-[2-^3\text{H}]$inositol in 0.5 ml of inositol-free DMEM containing 1% (v/v) dialysed newborn calf serum for 36 h. On the day of the experiments the labelling medium was removed and cells were washed twice with HBG buffer [0.5 ml Hanks buffered saline, pH 7.4, containing 1% (w/v) BSA and 10 mM glucose]. Cells were then washed twice for 10 min with HBG/LiCl buffer (HBG supplemented with 10 mM LiCl) and subsequently stimulated with agonist in HBG/LiCl for 20 min. All incubations were conducted at 37 °C. Reactions were terminated by the addition of 0.5 ml of ice-cold methanol. Cells were then scraped, transferred to vials and chloroform was added to a CHCl3/MeOH ratio of 1:2 (v/v). Total inositol phosphates were extracted for 30 min before the addition of chloroform and water to a final ratio of 1:1:0.9 (CHCl3/MeOH/H2O, by vol). The upper phase
was taken and total inositol phosphates were analysed by batch chromatography on Dowex-1 formate as previously described (MacNulty et al., 1992).
**Membrane preparation.**
Cells were grown to confluence and harvested using a rubber policeman followed by centrifugation at 600×g for 5 mins. The cell pellet was resuspended in 5 ml of Tris-HCl assay buffer (150 mM NaCl, 50 mM Tris-HCl, 10 mM MgCl₂, 5 mM EDTA, 1 μg/ml leupeptin, 10 mM benzamidine, 500 μg/ml soya bean trypsin inhibitor, pH 7.4) and homogenised at setting 6 for 3×5 secs using an ultrapolytron. Following centrifugation (600 g, 10 mins, 4°C) the supernatant was retained on ice while the pellet was resuspended, rehomogenised and recentrifuged. The supernatants were pooled and centrifuged at 56,000 g for 30 mins at 4°C. The resulting membrane pellet was resuspended in 1 ml of ice-cold Tris-HCl assay buffer and homogenised with a 5 ml teflon-in-glass homogeniser. The homogenate was processed for protein estimation using a Pierce protein assay kit and adjusted to 0.5 mg/ml. Aliquots which were not used immediately for ligand binding were stored frozen at -80°C.
**Radioligand binding studies.**
Saturation studies were performed with rat α₁d fibroblast membranes (0.05 mg/ml) which were incubated in triplicate with [³H]-prazosin (0.05-10 nM) in a total volume of 0.5 ml of 150 mM NaCl, 50 mM Tris-HCl, 10 mM MgCl₂, 5 mM EDTA, pH 7.4. Competition binding assays were performed by incubating membranes with 0.2 nM [³H]-prazosin in the presence or absence of a range of 12 concentrations of the competing ligands. Non-specific binding was defined as the concentration of bound ligand in the presence of 10 μM phentolamine. Following equilibrium (30 mins at 25°C) bound ligand was separated from free by vacuum filtration over GF/C filters on a Brandell cell harvester. Inhibition of specific binding of [³H]-prazosin by ligands
was analysed to estimate the IC50 (concentration of the ligand displacing 50% of specific binding). The inhibitory constant (Ki) was calculated from the IC50 by the equation of Cheng and Prusoff (1973). Binding isotherms from displacement studies were analysed by a non-linear least square parametric curve fitting programme GRAPHPAD Prism, capable of iterative curve fitting to a single or two-site model.
**Analysis of functional antagonism by QAPB.**
Preparations of rabbit saphenous artery or rat aorta were cut transversely into 3-4mm rings and suspended between thick wire supports. Each ring was suspended horizontally by means of two stainless-steel L-shaped hooks carefully passed through the lumen. The upper support was connected by cotton to an isometric transducer while the lower support was connected to a glass tissue holder. The arterial rings were mounted in 10ml isolated organ bath, bathed in Krebs maintained at 37°C and gassed with 95% O₂ plus 5% CO₂. The rings were then placed under resting tension at 1.5-2g for each group of arterial rings, which was determined from active tension development curves and found to be optimal. Segments of rat (epididimal) vas deferens were isolated and mounted longitudinally (under 1g tension) in a 10 ml organ bath. Isometric contractions were measured by a Grass FT03 transducer connected to a Linseis (TYP 7208) pen recorder. In all experiments, tissues were left to equilibrate for a 60 min period, during which time the tension was re-adjusted to a set value which was maintained constant throughout the rest of the experiment. Each preparation was then exposed to NA (1μM) and allowed to contract for 5-10 min. This first contraction to an agonist minimised changes in the sensitivity of preparations to further addition of agonists. The presence of the endothelium (on vascular segments) was confirmed pharmacologically by a relaxant response to acetylcholine (1μM). Following
complete washout, an additional one hour equilibration period was allowed before commencement of any other experimental procedure.
**Assessment of antagonist potency versus agonist concentration response curves**
Cumulative concentration response curves to noradrenaline or phenylephrine (0.1nM to 30µM in increments of a half of a log unit) were constructed. When QAPB was used, the preparations were incubated at least for 45 minutes with the antagonist drug prior to the onset of a second cumulative concentration response curve. Only two consecutive curves were tested on each preparation.
The potency of agonist was determined as the pD$_2$, which is the negative logarithm of the concentration causing half the maximal response.
In examining the effects of the antagonist versus concentration response curves to agonists, agonist concentration ratio values were determined from the concentrations producing 50% of the maximum response (EC$_{50}$) in the absence and presence of each concentration of antagonist. The EC$_{50}$ value of the agonist was expressed as the pD$_2$ value which was calculated as the negative logarithm of the EC$_{50}$ value (pD$_2$ = -log EC$_{50}$).
**Confocal Microscopy.**
A Noran Odyssey real-time confocal laser scanning microscope (CLSM) was used in conjunction with an Nikon Diaphot (inverted) microscope. The 488nm line (515 band pass) of an argon-ion laser was used throughout. In order to maximise the signal detection at very low concentrations of the fluorescent ligand a 100µm slit was used in all experiments. While not giving the optimum 'confocality' required for 3D-reconstruction work, this slit width nevertheless gave a significant increase in axial resolution compared with a conventional fluorescence microscope. A Nikon 40x oil
immersion objective (NA 1.3) was used throughout. Krebs solution is identical to that given in chapter 1.
**Whole cell image analysis.**
Images were collected and analysed using Universal Imaging's 'MetaMorph' software. Cells were grown on coverslips for 24 hours prior to use. Coverslips were mounted in a flow chamber (WPI) and placed on the stage of an invert (Nikon Diaphot) microscope fitted with a Noran Odyssey Laser Scanning Confocal Module. Using cell autofluorescence a suitable group of cells was selected and the focal plane fixed by locking the focus motor. The system was then set to acquire images (64 frame averages; 2.56 seconds exposure) at 1 minute intervals. After a 'run in' period of 5-6 minutes the first concentration of fluorescent ligand was added and allowed to equilibrate for at least 5 minutes. After equilibration the next concentration of fluorescent ligand is added, without washing, and given at least 5 minutes to reach equilibrium (i.e. no further increase in fluorescence). Once saturation has been reached the individual cells are outlined using MetaMorph's define-region tool and the whole time series is plotted as intensity vs time for each cell. Non-specific binding was defined as fluorescent binding in the presence of 10µM phentolamine. The composition of the Hlepes buffer for cellular studies was as follows: (mM) NaCl 130, KCl 5.0, HEPES 20, Glucose 10, MgCl 1, CaCl 1.
**Ligand binding to tissue slices.**
Rat mesenteric artery segments were isolated and cleared of connective tissue. The segments (5-10mm in length) were placed in a mixture of molten glycerine and gelatine (37°) and allowed to cool to room temperature when the gelatine would set firmly. Segments were then cut transversely using a Sorvall TC-2 tissue chopper. Cut
ring segments (75-100um thickness) were then suspended in fresh HEPES for 10-15 minutes. Ring segments were then placed on coverslips coated with Cel-Tak tissue adhesive (3.5ug/cm$^2$). The coverslips were then mounted in a flow chamber for microscopy studies identical to those used for isolated and cultured cells.
**Iso-Surface Modelling.**
Using the depth analysis module of the Imaris image analysis suite, a suitable iso-value was selected for construction of an iso-surface model. The iso-value represents and intensity value (or range). The full data volume is inspected for comparable values. The co-ordinates of the iso-values are plotted and connecting vectors are drawn between the points to create simple geometric shapes (i.e. triangles). This creates a wire-frame model upon which a surface can be mapped. The surface colour, texture and opacity can be user defined to enable visualisation of multi-layered surfaces. The surface area of each ‘layer’ can be quantified. Unfortunately, current software versions do not permit accurate calibration to provide quantification to be expressed in microns or some other suitable unitary measure.
**Simulated Fluorescence Projection.**
SFP is another rendering method offered by the Imaris suite (Messerli et al., 1993). The software treats the data volume as a block of absorbent material. If a light ray passes through the volume at a given point it will be adsorbed and cast a shadow. In a fluorescent stained volume areas of heavy staining (fluorescence) will tend to cast shadows on the background. This method is ideal in certain situations for showing a 2D image of a 3D volume.
Results.
Ligand affinity.
In Rat-1 fibroblasts expressing the rat $\alpha_1$-d-adrenoceptor, co-incubation of the cells with increasing concentrations of QAPB resulted in a progressive, parallel rightward shift in the concentration-effect curve for the generation of inositol phosphate induced by the $\alpha_1$-adrenoceptor agonist phenylephrine (Wise et al., 1995) without alteration in the maximal effect (Figure 3.2a), demonstrating QAPB to act as a competitive, functional antagonist at this receptor. Transformation of this data to produce a Schild plot resulted in an estimated pA$_2$ for QAPB at the rat $\alpha_1$-d-adrenoceptor of 7.78 which was not significantly different from its antagonism of phenylephrine in rat aorta (pA$_2$ 8.25, figure 3.3a).
$^3$H-prazosin binding to fractionated cell membranes is the common method used to determine $\alpha_1$-adrenoceptor number and affinity (Kenny et al., 1996). Inhibition of $^3$H-prazosin binding to $\alpha_1$-d-membranes by unlabelled competitors resulted in Ki (pKi; antagonist) values of 1.04 (9; prazosin), 1.24 (8.9; QAPB) and 17.8nM (7.5; doxazosin) (figure 3.2b). Inhibition curves were analysed using GraphPad PRISM and were statistically best fit by a single site model, confirming binding-site homogeneity.
QAPB acted as a competitive antagonist versus phenylephrine in rat aorta (pA$_2$ 8.25 slope 0.9; figure 3.3a) and against noradrenaline in rabbit saphenous artery (pA$_2$ 7.6 slope 0.75; figure 3.3b)
QAPB (0.1uM) caused a rightward shift in the concentration response curve to noradrenaline in isolated rat vas deferens (figure 3.4a). Versus acetylcholine in the same preparation QAPB (0.1uM) caused no shift in the CRC, confirming that there is no non-specific effect (or toxicity; figure 3.4b).
Figure 3.2. The graphs show two different assays in which QAPB has been tested for its functional antagonism at $\alpha_{1d}$-adrenoceptors. A) Inositol phosphate generation in response to varying concentrations of phenylephrine was measured in the presence of a range of concentrations of QAPB (control ■; 10nM ○; 30nM ◇; 100nM △; 1μM +) in cells of the $\alpha_{1d}$-adrenoceptor expressing clone. B) Inhibition of 0.2nM $^3$H-prazosin from $\alpha_{1d}$-membranes by prazosin ▼, QAPB □ and doxazosin ▲.
Figure 3.3. QAPB antagonism of phenylephrine (A; rat aorta) and noradrenaline (B; rabbit saphenous artery). Control (○); time control (X); 1nM (□); 10nM (△); 100nM (▽); 1uM (◇). All data points represent the mean ± s.e.m. of n=4-6 experiments.
Figure 3.4. The antagonism of QAPB (0.1uM) versus noradrenaline (A) and acetylcholine (B) in the rat isolated vas deferens. Control CRC (■). Agonist in the presence of QAPB (▲). Each data point represents the mean ± s.e.m of 4 experiments.
Concentration dependent fluorescence.
Initial experiments examined the binding of QAPB to fibroblasts transfected with the rat $\alpha_{1d}$ adrenocceptor. Using a 15µm slit and an oil immersion objective (x40 NA 1.13) produced a faint image of the unstained cells (autofluorescence) which was used to fix the focal plane. The CLSM system was then set to collect images (64 frame averages) every minute. QAPB was increased from 10 – 160nM in steps of 10nM every minute. Figure 3.5 shows the development of fluorescence with increasing concentrations. The development of clusters (hot spots) can be seen from frame 11 onwards. Fluorescence developed in clusters and in a diffuse manner with regions of high and low intensity.
The image produced by incubating with 100nM QAPB was selected for the construction of image masks. By selecting (thresholding, see chapter 2) a range of low (33-64), intermediate (65-96) and high (97-128) intensities it was possible to make masks of the regions which achieved the designated intensity (Figure 3.6). These masks were then used to measure the fluorescence development in only those regions through the course of the entire experiment. As can be seen from the graph in figure 3.5, the high intensity fluorescence is last to develop (at 90nM) while the low intensity fluorescence develops from 50nM.
To demonstrate the specific nature of the binding, experiments were performed in the presence and absence of the non-fluorescent $\alpha_1$-antagonist prazosin. Prazosin (100nM) inhibited the development of QAPB-induced fluorescence (figure 3.7). By measuring the average fluorescence in each image it is possible to plot a concentration fluorescence curve (CFC). Figure 3.8 shows the CFC in the presence and absence of non-fluorescent prazosin. As expected, the control CFC was shifted to the left.
The experiments thus far have shown that it is possible to inhibit the development of binding-induced fluorescence. I then considered the possibility of reversing the
fluorescence by adding a high concentration of non-fluorescent ligand in the presence of QAPB (at equilibrium). Figure 3.9 shows the effect of applying 10nM of prazosin and phentolamine in the presence of QAPB-induced fluorescence. 3 sample traces are shown in figure 3.9 which accurately represent the overall conclusion of many attempts to 'reverse' QAPB fluorescence, namely that it is not possible to completely reverse the binding of 5-10nM QAPB. These results led to the assumption that either QAPB has a slow dissociation rate, there is a population of receptors unavailable to the competitor or the concentration of QAPB is too high and thus has a non-specific component.
There followed a period of experimentation in which the sensitivity of the CLSM method was increased to enable visualisation of binding at lower (i.e. < 5nM) concentrations. Increasing CLSM sensitivity was achieved by
1. opening the pinhole aperture
2. increasing the gain of the PMT
3. Allowing longer incubation periods.
4. removing the secondary dichroic block from the system.
Point 4 is a technical consideration and has no effect on image quality (only system flexibility). However, point 1 & 2 have serious implications for image quality. Point 1 reduces confocality to almost non-confocal condition. Point 2 introduces PMT noise into the image. Point 3 allows more time for equilibrium to be achieved and for fluorescence to develop.
Figure 3.10 shows the results using the new parameters of 100um slit, increased gain, 5 minute incubations. QAPB was applied every 5 minute (or longer if required) from 0.4nM – 10nM. Figure 3.10a shows the individual data (average intensities) measured at each point in a fluorescence saturation experiment on live cells, fixed cells and fixed cells + prazosin (1uM). By plotting the maximum point (intensity measure) of
Figure 3.9. Experiments showing the effect of non-fluorescent ligands on QAPB fluorescence development in rat $\alpha_{1A}$-adrenoceptor transfected fibroblasts. A) The effect of phentolamine versus 200nM QAPB. B) Phentolamine + prazosin (10uM) vs 10nM QAPB. C) phentolamine + prazosin (10uM) vs 20nM QAPB.
Figure 3.10. Concentration fluorescence curves (A) and saturation curves (B) for QAPB (0.4 - 10nM) versus fixed cells, fixed in the presence of 1uM prazosin and live cells. A) Average fluorescence measured at 1 minute intervals and plotted versus time; live cells (■), fixed (●) fixed + prazosin (▲). B) Peak fluorescence measured at each concentration of QAPB and plotted versus QAPB concentration; live cells (●), fixed (■) fixed + prazosin (▲). Non-linear regression was used to estimate fluorescence KD (FKD) values (see results). Data points represent the mean fluorescence value obtained from a patch of cells comprising 10-15 cells expressing rat $\alpha_{1d}$-adrenoceptors.
each concentration and performing a non-linear regression analysis, saturation curves similar to those of a radioligand binding study were produced. $K_D$ values were as follows; live cells 0.6nM, fixed cells 2.4nM, fixed + prazosin 1.6nM. These curves represented the first time a saturation binding curve has been constructed (at equilibrium) for a living or fixed single cell. Radioligand binding is a non-equilibrium method. Having proved the principal with prazosin as the competitor it was important to try other $\alpha_1$-adrenoceptor antagonists.
YM12617 (also known as tamsulosin) is a high affinity $\alpha_1$-antagonist which is structurally unrelated to the quinazoline family of compounds (shown in figure 3.1). YM12617 caused a decrease in the maximum fluorescence and a rightward shift in the saturation curve ($FK_D$ 5.5nM) compared with control experiments ($FK_D$ 0.8nM; n=9; figure 3.11a). The non-transfected control cells displayed no fluorescence at 10 – 20nM QAPB.
The prazosin-related compound (doxazosin 0.1 - 1uM; see figure 3.1) also inhibited QAPB induced fluorescence (figure 3.11b). Control $FKD=1.6nM$; + doxazosin 0.1uM = 1.7nM; + doxazosin 1uM = 1.4nM.
So far the saturation curves shown have been of total binding in either the presence or absence of competitor. The next stage of development was to examine the saturation of diffuse (low intensity) and clustered (high intensity) binding and to determine the specific binding using fluorescence. This was tested on the cells expressing the recombinant $\alpha_{1d}$-adrenoceptor. Incubation with QAPB produced concentration-related fluorescence on the cells. There was virtually no background fluorescence from QAPB in solution and minimal fluorescence from non-transfected fibroblasts demonstrating a high specificity of fluorescence for the presence of the receptors. This enabled capture of a fluorescent image of the $\alpha_{1d}$-adrenoceptor expressing cells in the presence of the fluorescent ligand which is virtually an image of the receptor distribution (Figures 3.12a-h).
Figure 3.11. Fluorescence saturation curves for control 'live' cells ($\alpha_{1}$-adrenoceptors) in the presence of (A) YM12617 or (B) doxazosin. A) QAPB (0.4-10nM) versus human $\alpha_{1b}$-adrenoceptors in the presence ($\blacktriangle$) and absence ($\blacksquare$) of YM12617. B) QAPB (0.4-10nM) + doxazosin ($\blacktriangle$ 0.1uM; $\blacktriangledown$ 1uM) versus rat $\alpha_{1d}$-adrenoceptors. Estimated FKD values are given in the results section. Data points represent the average of 9 individual cells (a) or average fluorescence from a patch of cells (b).
Figure 3.12. QAPB binding-induced fluorescence on $\alpha_{1d}$-adrenoceptor transfected cells. Patches of cells grown on coverslips were examined by confocal microscopy. A) single cell plus 1nM QAPB. B) 1nM QAPB in the presence of phenoxybenzamine (10uM). C-H) timelapse photography of a patch of 7 fibroblasts. Increasing concentrations (0.4 - 10nM) were added cumulatively and images were collected at 1 minute intervals. C-H) show images collected at equilibrium point for each concentration (C, control - autofluorescence; D, 0.4; E, 1; F, 2; G, 5; H, 10 nM). Images are in greyscale where black indicates no staining and white indicates maximal concentration (saturation) of the fluorophore.
A single cell stained with 1nM QAPB exhibits binding on the cell membrane (figure 3.12a). The presence of phenoxybenzamine (10uM) markedly inhibited the binding of 1nM QAPB leaving only the intracellular sites available. The nucleus (n) contains no binding sites for QAPB. The diffuse fluorescence over the nucleus in (figure 3.12a) is probably the result of light diffraction from the overlying membrane.
For saturation experiments images were taken at 1 minute intervals and each concentration was given time to reach equilibrium, typically 3-6 minutes. Two patterns of fluorescence were visible over a cumulatively increasing concentration range (0.4-10nM). At the lowest concentration (0.4nM) binding sites appeared to be diffuse and tended to be concentrated at the cell membrane/boundaries (figure 3.12d). At 1nM diffuse staining became stronger and clusters of binding sites became visible (figure 3.12d). As the concentration increased to 10nM (figure 3.12e-h) the clusters became visibly more distinct from the diffuse staining.
**Image analysis.**
The digital image contains considerable information on the concentration as well as localisation of the fluorescent ligand-receptor complex. The image was segmented into three regions of interest, i. the high intensity 'clusters', ii the mid-range intensities and iii. lower intensity 'diffuse' fluorescence, to compare how much of the total receptor population each represented and to assess whether their affinities differed (figure 3.4a-d). The regions were set according to the images obtained at 5nM QAPB (figure 3.3e). This shows that the majority of the total fluorescence emanates from the diffuse and mid-range regions (41.2 and 43.2% respectively), even though the average fluorescence intensity of the clusters is greater. The clusters cover 9.4% of the cell area and contain 15.5% of the total fluorescence and hence receptors. The diffuse staining covers 54.9% of the total cell area providing 41.2% of the total fluorescence. This data is summarised in table 3.2.
| | Total Intensity (%) | Cell Coverage (%) | Average Intensity |
|----------------|---------------------|-------------------|-------------------|
| Red (65-128) | 41.2 | 54.9 | 96.7 ± 17.6 |
| Green (129-191)| 43.2 | 35.6 | 156.5 ± 17.5 |
| Blue (192-255) | 15.5 | 9.4 | 212.4 ± 16.8 |
**Table 3.2. Analysis of the image obtained after incubation with 5nM QAPB (figure 3.12 & 3.13).** Red represents the low level (diffuse) staining. Green and blue represent the mid-range and clustered staining respectively, numbers in parentheses show the actual range of pixel intensities analysed in each range. Values between 0 and 64 are considered as background noise in this example.
The data can be scattered and fit by a non-linear regression to give a fluorescence half maximum (FHM) value in nM (Figure 3.13c&d). The mid range intensities (green) produced a value of 1.6, slightly higher than the low (diffuse; red) and high (clustered; blue) ranges which produced identical values of 1.3nM, consistent with the $K_i$ (1.04nM) calculated from displacement of $^3$H-prazosin with QAPB. This is of course total binding, although the very low fluorescence from non-transfected cells suggests that the amount of non-specific binding at the concentrations employed is negligible.
Specificity of binding was further defined in a separate series of experiments in which absolute values of fluorescence intensity were measured over a range of concentrations under identical conditions in separate sets of cells. Data was collected from experiments in the absence (total binding; example cell shown in figure 3.13e) or presence (non-specific binding; example shown in figure 3.13f) of 10µM phentolamine and used to construct a specific binding curve (Figure 3.13g; $K_D = 3.9 \pm 0.74$ nM). Scatchard analysis of the specific binding curve for $^3$H-prazosin binding
Figure 3.13. A-D) Image analysis of the data set shown in figure 3.12. A) 5nM QAPB staining (taken from fig 3.12e). B) The diffuse, mid-range and clustered areas were separately analysed. The image of the receptors was split into low intensity (65-128; red) "diffuse" areas, mid-range intensity (129-191; green) and high intensity (192-255; blue) "clustered" areas, prepared from figure 3.12e. C) The "masks" were then used to construct saturation curves. D) The data from figure c as percentage of maximum fluorescence. E) control cell (1nM QAPB). F) 1nM QAPB + phentolamine 10uM. G&H) Total (■), Specific (●) and non-specific (▲) binding of radiolabelled (H) and fluorescent-labelled 'prazosin' (G) to $\alpha_{1d}$-adrenoceptors. Non-specific binding was determined in the presence of 10uM phentolamine.
to $\alpha_1d$-membranes produced a $K_D$ of 1.89 ± 0.15 nM. Thus the binding characteristics of fluorescent QAPB on living cells and radioactive prazosin on membrane fractions are very similar as shown by their dissociation constants and saturation binding curves (figure 3.13g & 3.13h).
**3-dimensional visualisation and localisation of QAPB (30nM) binding to $\alpha_1d$-adrenoceptor transfected fibroblasts.**
Cells were grown on coverslips and visualised on an inverted CLSM. QAPB (30nM) was added to the cells and allowed to achieve equilibrium (15 minutes). This relatively high concentration was required in order to optimise the confocality (in the absence of any deconvolution) by using a 15µm slit. Without washing, individual cells were selected for serial sectioning and reconstruction. 30 serial sections (0.3µm apart) were collected along the z-axis of the cell. The data set was then reconstructed as a simulated fluorescence projection (sfp; figure 3.14a). In the presence of phenylephrine (10uM) the fluorescence was significantly reduced (figure 3.14b). Z-sectioning was used to determine the degree of intracellular fluorescence. Figure 3.14c shows a single xy-section, indicating the presence of fluorescence inside the cell. The xz and yz-sections also indicate intracellular fluorescence at the planes studied. The presence of intracellular sites was confirmed in all experiments. Figure 3.15 shows z-sectioning on two representative experiments (QAPB 10nM). In both panels (figure 3.15a & b) the xz and yz-sections show clear intracellular staining. However, the cells have regions where the fluorescence is largely confined to the cell membrane (figure 3.15a, figure 3.16). Examples of visualisation methods are shown in figure 3.16. The z-sectioning method is useful for determining spatial distribution at a single plane/section. Figure 3.16a shows a more detailed z-section of the intense membrane binding shown in figure 3.15a. The z-sections show strong binding within the membrane. The SFP reconstruction of the full data set (of figure 3.16a) confirms the membrane binding (figure 3.16b). To visualise the membrane binding from any angle
Figure 3.14 A. and B. QAP-B-induced fluorescence is shown on two similar cells, one in the absence (A), the other in the presence (B), of the $\alpha_1$-adrenoceptor agonist phenylephrine (10$\mu$M). This view shows the overall reduction in fluorescence produced by phenylephrine. Measuring the "total" fluorescence the cell exposed to phenylephrine had 30% of that on the other cell. This difference is likely to be due to competition between the two ligands rather than down regulation of receptors since the time of exposure was short (20 min). C. The sub-cellular location of QAP-B (30nM) binding is shown. (Ci) shows a single optical section (x-y plane) through the middle of the cell. The bright areas indicate regions of intense binding at the cell edges. An impression of the three dimensional distribution can be obtained by re-sectioning the cell. y-z (Cii) and x-z (Ciii) sections are shown: these are taken from between the vertical or horizontal lines, respectively. These views suggest that both membrane located and intracellular binding sites exist for QAPB.
Figure 3.15. Z-sectioning of two groups of fibroblasts. QAPB (10nM) binding to $\alpha_{v\beta_3}$-transfected fibroblasts. A) 3 fibroblasts showing strong membrane binding. B) A group of fibroblasts showing diffuse and clustered intracellular binding. Both groups of cells are obtained from the same cell line and represent the heterogeneity of cells in culture with respect to receptor distribution.
Figure 3.16. Three different methods of visualising the same data set. The data is a subset of data taken from fig 3.15a. A) Z-sectioning the subset using the same method shown in fig 3.15. B) the simulated fluorescence projection (SFP) mode. C-F) Different views of the fully interactive iso-surface model. All methods are supplied as part of the Imaris visualisation software suite.
or magnification it is possible to build a ‘virtual’ iso-surface model (see methods). Four views of the data set are shown in figures 3.16c-f. The flat images do not fully convey the flexibility offered to the viewer by using this method. It is possible to fly through the data and even position the viewer in the middle of the data set.
This iso-surface analysis was further developed by combining multiple channels of data. Figure 3.17 shows a variety of views of a single cell ($\alpha_{1A}$-transfected) which is displayed as 3 channels of data comprising the nucleus, diffuse membrane binding and clustered (intracellular) binding.
**QAPB (0.1 $\mu$M) binding to whole tissue.**
Using the CLSM optical sections from the media of rat mesenteric artery and basilar artery were examined. The rat mesenteric artery (RMA) was incubated in 0.1 $\mu$M of QAPB (a concentration which is at the upper limit of its selectivity) for 30 minutes. Optical sections were collected along the optical axis. Selected optical planes are shown in figure 3.18. Staining in the mesenteric artery was greatest in the medial smooth muscle layers (figure 3.18b). The adventitia showed clustered staining (figure 3.18a) while there was little visual evidence of staining in the intima (figure 3.18c).
Rat isolated basilar artery was studied under identical conditions to those described above for RMA. Figure 3.19a shows the same image from figure 3.18b for reference. Figure 3.19b shows a medial optical section of the basilar artery. The relatively poorer staining of the basilar artery is consistent with the lack of contractile responsiveness to noradrenaline in this vessel. In both plates the out-of focus autofluorescent internal elastic lamina in a lower plane can be seen running perpendicular to the smooth muscle orientation.
QAPB binding to non-vascular smooth muscle cells of the rat anococcygeus was also examined. Once again an image of RMA is shown for reference (figure 3.20a). Figure
Figure 3.17. Images a-c show 3D localisation of QAPB-associated fluorescence (100nM) on the cell membrane (yellow) and in the cytosol (blue) of rat-1-fibroblasts transfected with $\alpha_{1\beta}$-adrenoceptors. 3D images were constructed using the ISO-surface module of IMARIS on a SGI workstation. Two ISO values were selected, one for the surface (s) and another for the intracellular (i) QAPB signal. A separate ISO value was selected for the nucleus (red) using a nuclear stain (Syt013). Images b and c are cut to show the location of intracellular QAPB-associated fluorescence. Images d and e show 3D localisation of QAPB-associated fluorescence (0.4nM) on the membrane (blue) and the nucleus (yellow) of a freshly dissociated human prostatic smooth muscle cell. (see chapter 4 for cell dissociation method).
Figure 3.18. QAPB (100nM) binding to whole mount (slide mounted) segments of rat mesenteric artery. Bright spots represent regions of high intensity binding. A) adventitial optical section. B) medial optical section showing binding consistent with SMC orientation. C) luminal section showing less binding and internal elastic lamina grooves. x40 objective (0.57 optical zoom); field size 200um square.
Figure 3.19. Comparison of QAPB (100nM) binding to rat mesenteric artery medial smooth muscle cells (A) and rat isolated basilar artery smooth muscle cells (B). x40 objective (0.57 optical zoom); field size 200µm square.
Figure 3.20. Comparison of QAPB (100nM) binding to rat mesenteric artery medial smooth muscle (A) and rat anococcygeus smooth muscle (C). Binding was also examined in the presence of 10uM phenoxybenzamine for mesenteric artery (B) and in the presence of 10uM YM12617 for anococcygeus (D).
(A&B) x60 oil immersion objective; field size 70um square.
(C&D) x40 water objective; field size 100um square.
3.20b shows the effect of preincubating RMA with 10uM phenoxybenzamine prior to application of QAPB (0.1uM). Figure 3.20c&d shows QAPB binding to anococcygeus smooth muscle prior to (3.20c) and following preincubation with YM12617 (10uM) (3.20d). QAPB binding to anococcygeus smooth muscle was consistent with the orientation of the cells. This is similar to the observations made for QAPB binding in the media of RMA (figures 3.19a & 3.20a).
**QAPB binding to transverse sections of rat mesenteric artery.**
Figure 3.21 shows a diagram of the method used to study binding to transverse sections of RMA (see methods section for details). QAPB bound to transverse sections to produce a strong fluorescence signal at 5-10nM. Binding was most notable in the regions of internal and external elastic lamina (figure 3.22b & 3.22c). Use of the low (more specific) concentration of QAPB required use of a wide confocal slit (i.e. 100µm). Reducing the slit to 15µm for the 10nM QAPB response confirmed binding in the external lamina. The time course of binding in both lamina and media was examined using a ‘region brightness over time’ function. The average data is plotted in figure 3.23a. The time course graph indicates that fluorescence developed more quickly in the lamina than in the medial smooth muscle. These findings are discussed in the next section.
Figure 3.21. Schematic diagram of the method used to study QAPB binding on transverse sections of blood vessels (details in methods section). This setup enables the use of high NA oil immersion objectives and thus optimal confocality can be achieved if the fluorescence signal is great enough. More importantly the method enables visualisation of inner and outer layers of smooth muscle simultaneously.
Figure 3.22. CLSM optical images (extended focus models, 100um slit) of rat mesenteric artery transverse sections mounted as shown in figure 21. A) autofluorescence from unstained tissue. (B). Binding of QAPB 5nM. (C) QAPB 10nM binding. (D) The section in (C) imaged using a 15um slit to increase confocality (BUT reduce the fluorescence). x40 oil immersion objective; field size 102um.
Figure 3.23. The graphs show the fluorescence development of QAPB (5-10nM) on the transverse sections shown in figure 3.22. A) Fluorescence development plotted versus time. B) Average data plotted as a bar chart showing maximum intensity in three regions of the vascular wall. The data were collected by defining a region outlining the two lamina and media and then following the development of fluorescence at 1 minute intervals.
Discussion.
The results of this chapter have produced the only available characterisation of the fluorescent ligand QAPB (BODIPY FL-prazosin). The model presented here could be applied to the validation of any new fluorescent ligand which may be developed. There is a growing list of fluorescent peptides which are currently available (e.g. fluo-endothelin, fluo-angiotensin & fluo-NPY; Advanced Bioconcepts, Canada). In addition, a current collaboration with Prof. D. Robins (Chemistry Dept., Glasgow University) has resulted in the production of two novel fluorescent compounds, FITC-QAPB ($\alpha_1$-AR ligand) and rhodamine-yohimbine ($\alpha_2$-AR ligand). Both compounds are currently being evaluated by Professor McGrath’s group.
A recent collaboration with Advanced Bioconcepts provided positive results in the study of NPY receptors in rat anococcygeus. The validation methods outlined here were perfectly suited to testing of a fluo-peptide on living tissues.
Many of the advantages of confocal microscopy (table 3.1) could have been identified based on technical theory alone. In practice, many other key issues emerged which on one hand caused delay but on the other provided fascinating new avenues to explore.
Following the routine pharmacological analysis, it was necessary to consider some aspects of what is expected of ‘membrane bound’ receptors. Interpretation of image data is a considerable departure from reading averaged data presented in graphical form. Ironically, it became clear at an early stage that in order to quickly convey image data it is necessary to have a means of graphing it.
Since the image data to be generated represented ligand-binding processes it seemed reasonable to apply known pharmacological methods (and theories) to the image analysis process.
The most demanding part of image analysis is in not seeing. This was perfectly demonstrated in chapter 2 where efficient image segmentation is the barrier. In receptor imaging we see total (specific and non-specific) binding. We are also blinded by our prejudices concerning what we ‘know’ to be true from non-image based functional studies.
Aside from the technical construction of the fluo-ligand (discussed later), the experiment can be made simpler by staying within the specific concentration range of the fluo-ligand. Knowledge of the native ligand pharmacology cannot be relied on. The first (and most important) question to be asked of any ligand must be affinity at the receptor. Fluorescent characteristics are secondary.
**Affinity and Selectivity.**
The most important characteristic of any fluorescent ligand should be that it retains as much as possible of the affinity and selectivity of the related un-labelled compound for the receptors of interest.
Borate-dipyromethene (BODIPY) has become one of the most popular fluorophores in recent years and a variety of receptor and ion-channel ligands have been synthesised (table 3.3). BODIPY iodoacetamides have very high fluorescent yields,
Table 3.3 Receptor selective fluorescent probes.
| Ligand | Site of action |
|-------------------------------|---------------------------------|
| BODIPY FL-prazosin (green) | α-adrenoceptors 1 |
| BODIPY FL-prazosin (red) | α-adrenoceptors 2 |
| BODIPY CGP 12177A | β₂-adrenoceptors 3 |
| BODIPY FL-AB1 | muscarinic receptors 4 |
| BODIPY pirenzepine | muscarinic (M1) receptors 5 |
| BODIPY α-bungarotoxin | nicotinic receptors 6 |
| BODIPY FL-NAPS | D2-receptors 7 |
| BODIPY FL-SCH 23390 | D1-receptors 8 |
| BODIPY Ro-1986 | benzodiazepine 9 |
| BODIPY dihydropyridine | Ca++ Channels 10 |
The table shows a selection of site selective BODIPY ligands which are currently available. This is by no means an exhaustive list. The purpose of this table is to emphasise the growing popularity of BODIPY as a fluorescent conjugate. The site of action is that claimed by the manufacturer or from studies undertaken by the cited authors. Many of the probes listed are available in both red and green versions as shown for prazosin.
1. McGrath, J.C. and Daly, C.J. (1993) *Pharm. Comm.*, 6(1-3), 269-279
2. Spence, T.Z. (1993). Bio Probes 18. Molecular Probes, Inc.
3. Illeithier, H., et.al., (1994). *Biochemistry*, 33, 9126-9134
4. Spence, T.Z. (1994). Bio Probes 22. Molecular Probes, Inc.
5. Wang, Y., Gu, Q., Mao, F., Iliaugland, R.P. and Cynader, M.S. (1994) *J.Neurosci.*, 14, 4147-4158
6. Robitaille, R., Adler, E.M. and Clarkson, M.P. (1990) *Neuron*, 5, 773-779
7. Aboud, R., Shaffi, M. and Docherty, J.R. (1993). *Br.J. Pharmacol.*, 109, 80-87.
8. Ariano, M.A. et al., (1989) Proc. Natl. Acad. Sci. 86 (21), p8370-8574
9. Velazquez, J.L., Thompson, C.L., Barnes, E.M. Jr and Angelides, K.J. (1989) *J. Neurosci.*, 9, 2163-2169
10. Goligorsky, M.S., Colflesh, D., Gordienko, D and Moore, I.C. (1995) *Am J Physiol.*, 268, P251-P257.
are relatively pH insensitive and long wavelength versions are also available (Haugland 1992). A crucial issue is whether the addition of the fluorescent moiety affects ligand affinity. A comparative study of BODIPY and another fluorescein derivative (FITC) of CGP 12177 demonstrated that the BODIPY conjugate exhibited 10 fold higher affinity for the recombinant human β₂-receptor than did the FITC conjugate (Heithier et al., 1994).
QAPB was validated as a competitive antagonist versus phenylephrine's production of inositol phosphates and as a competitive ligand versus $^3$H-prazosin, confirming that it is a ligand for functional α₁-d-adrenoceptors. The binding and functional antagonism data shows that despite the modification of the molecule to incorporate the fluorescent tag, it retains the properties required of a high affinity pharmacological "antagonist" ligand. The affinity for QAPB versus 3H-prazosin (-Log Ki = 8.9) is slightly higher than the derived pA₂ values of 8.25 (in rat aorta) and 7.78 (vs IP₃ generation in transfected cells) and is consistent with other comparisons of binding and functional antagonism which tend to imply higher affinity in radioligand binding studies.
Functional studies with QAPB suggest that this compound has an approximately ten fold lower affinity for α₁-adrenoceptors than prazosin (QAPB pA₂ 8.25 vs phenylephrine in rat aorta; 7.9 vs phenylephrine in rat anococcygeus; 7.6 vs noradrenaline in rabbit saphenous artery). A reduction in affinity caused by conjugation of the BODIPY in place of the furan ring in prazosin might be expected given the large size of the BODIPY ring structure (Mole wt. prazosin HCl 419.9;
The good retention of affinity probably derives from the placement of the substituent away from the parts of the molecule involved in binding.
Anderson and Cohen (1974) attributed the reduced affinity of α-bungarotoxin (conjugated to either fluorescein isothiocyanate or tetramethylrhodamine isothiocyanate) to the fact that the dyes react with amino acid residues which alter their charge. Faure et al. (1994) report identical $K_i$ values for fluo-NT and unlabeled NT. Heithier et al., have reported similar $K_D$ values for both BODIPY CGP 12177 and native CGP 12177. It is possible therefore to add a fluorescent molecule to a ligand with minimal alteration to its affinity although this will depend largely on the structure of the native ligand. Choice of "substrate" drug therefore becomes an important factor in the synthesis of any putative fluo-ligand.
**Visualisation and construction of concentration / fluorescence curves and competition binding studies on live cells**
With QAPB it is not necessary to remove the unbound ligand by washing the tissues before visualisation. The lack of any significant background fluorescence makes it possible to measure fluorescence at equilibrium and to record the development of fluorescence/binding with time. The binding over time can be performed by time-lapse recording at a fixed focal plane. Fluorescence measured in this way is both time and concentration dependent (figures 3.5 & 3.7). Analogous to ligand binding studies, pre-incubation of cells in a high concentration of a 'cold' competitor shifts the fluorescence curve to the right revealing the extent of non-specific binding (figure 3.8, 3.10 & 3.11). Cultured cells show low non-specific binding and a ready visualisation
of the recombinant receptors which gives some confidence that the ligand might allow visualisation of receptors in native tissue.
Initial experiments were designed to produce good quality images under optimal confocal conditions (figure 3.5). The high quality images permitted image analysis using masks which could be used to investigate the fluorescence development in different regions of the cell. However, further work demonstrated that use of such high concentrations (i.e. >10nM) caused a degree of non-specific binding which was difficult to displace with non-fluorescent competitor ligands (figure 3.9). Nevertheless, even very high concentrations of QAPB (10 - 100nM) could be inhibited by preincubation with prazosin (figure 3.8). The difficulty in displacing QAPB from its binding sites awaits clarification. Current work in Professor McGrath's laboratory suggests that QAPB may dissociate very slowly from its receptor. Furthermore, the competitor ligand may not have access to QAPB-bound intracellular receptors.
In order to reduce the concentration of QAPB required to produce a detectable signal it was necessary to compromise the image quality by increasing the PMT gain and opening the confocal slit. Compare figure 3.12h (10nM QAPB; 100um slit) with figure 3.5 (plate 20; 150nM QAPB; 15um slit). If a 100um slit had been used for the 10-160nM curve the signal would have saturated resulting in a useless image for quantification purposes. If a 15um slit had been used for the 0.4-10nM curve there would have been no detectable signal since around 90% of the light is rejected by the slit. Experiments on live and fixed cells in the presence and absence of high affinity
α₁-antagonists proved that it is possible to construct saturation binding curves for individual cells which exhibit similar characteristics to the binding of the native ligand in conventional radioligand binding studies (figures 3.10 & 3.11).
If the interpretation is correct, then the fluorescence binding characteristics should correspond quantitatively to the other pharmacological measures. The binding characteristics of QAPB's fluorescence (FK₅₀ between 1-5nM) lay between its functional competitive antagonism at the α₁d-adrenoceptor (A₂ = 12nM) and its displacement of \(^{3}\text{H}\)-prazosin (K_D = 2nM). A further corollary confirming that fluorescence indicates the ligand-receptor complex is the reduction of fluorescence by other competitive ligands for the site. Experiments performed in the presence of phentolamine (figure 3.13g) allow the quantification of "specific" binding. In fact this is an extremely useful feature of fluorescence binding because image subtraction can remove the non-specific binding leaving only the image of the receptors which have been "removed", i.e. competitively antagonised by the competitor.
A requirement for efficient ligand binding is the ability to use the ligand at concentrations which are low in relation to its binding affinity. To represent receptor binding, the concentration of unlabelled ligand displacing 50% of the labelled ligand should be similar to the K_D. It proved possible to use the fluorescent antagonist QAPB on live cells at similar concentrations to those of \(^{3}\text{H}\)-prazosin on membrane preparations in radioactive binding experiments. A study of α₁b-adrenoceptors using flow cytometry (Hirasawa et.al., 1996) examined QAPB binding at 1µM, a concentration which is almost certain to have significant non-specific effects. Similarly, Wang et.al., (1997) employed 50-500nM
of QAPB to study $\alpha_1$-adrenoceptors in rat cultured cortical neurons. Interestingly, the same group also reported an apparent $K_i$ for QAPB of 64nM (vs 10nM [$^3$H]-prazosin). This is in contrast to our estimation of 1.24nM (vs 0.2nM [$^3$H]-prazosin). It is clear from the present work and other studies with QAPB that great caution should be taken in the interpretation of fluorescence-derived images. It is crucial that for any given tissue and receptor subtype the degree of non-specific binding at the concentrations used should be determined. In this study I have sacrificed a certain degree of confocality (i.e. by using a wide, 100µm, slit) thus retaining ligand specificity in the low nM range (0.4-10).
Since the detection is by microscopy, analysis can be made on the subcellular level and under physiological conditions, both of which are advances on radioligands. New information on both of these aspects was found in relation to "clusters" of receptors, which have previously been demonstrated by immunohistochemistry in fixed tissue for several receptor types. For example, Uhlen et al.,(1995) using antibodies for epitope tagged receptors, reported that $\alpha_2a$-adrenoceptors exist as two populations of diffuse and clustered receptors which is in accord with the known clustering of G proteins.
This study demonstrates for the first time the existence of diffuse and clustered populations of $\alpha_1$-adrenoceptor binding sites in live cells. The results indicate that the affinity of both populations for the ligand is identical. This shows that the environment of the clustered domain leaves the binding site accessible to ligands. I then estimated the relative distribution of receptors between these two domains. This quantitative analysis showed that although the clusters are visually striking they represent a relatively small proportion of the receptor population which is accessible to ligand. This emphasises that
subjective visual assessment can exaggerate the relative proportion of receptors which appears to be present in the clusters. It is also possible to be misled by quantification of processed photographic images since alteration of 'contrast' can change the linearity of the signal, thus underestimating the diffuse signal or in other circumstances underestimating intense 'out-of-range' peaks. In immunohistochemistry a similar bias against low level diffuse staining is found since this can be dismissed as background noise.
**Spatial distribution of $\alpha_1$-adrenoceptor subtypes.**
There is currently much interest in identifying the mechanisms of receptor internalisation and sequestration. The development of GFP and flag-tagged receptors has enabled new ways of localising receptors in single cells. Biochemical methods are now being replaced by more visual methods which have the advantage of being performed on living cells. It has been suggested that $\alpha_{1b}$-adrenoceptors are primarily located on the cell membrane whereas $\alpha_{1a}$-adrenoceptors are largely confined to the cytoplasm (Hirisawa et al., 1996). It also been shown that stimulation of NPY receptors in the membrane can inhibit the recycling of $\alpha_{1a}$-adrenoceptors back into the membrane following stimulation with phenylephrine (Hollback et al., 1999). Many receptor systems have now been shown to internalise following agonist stimulation and it is now accepted that intracellular receptors do exist in most cells (Hall et al., 1999).
The results of this study confirm the presence of intracellular binding sites for QAPB. When discussing $\alpha_1$-adrenoceptors I prefer to reserve the term 'receptor' for a binding site which is known to couple to a G-protein and initiate a $2^{nd}$ messenger cascade. Presently we can not be certain of the function of these intracellular sites and it is not known if they are functionally coupled or are merely primitive proteins which are pre-cursors of the
membrane bound receptors. Intense staining was often observed around the nucleus and this may represent sites in the Golgi apparatus. However, no counter-staining was used to confirm this.
The Z-sectioning module of IMARIS permitted the visualisation of 3D volumes from any plane or angle. Figures 3.14 – 3.16 show representative examples of the type of receptor distribution seen in transfected fibroblasts. Figure 3.14 shows a fibroblast with strong binding on the cell surface although some faint intracellular fluorescence was observed. Figure 3.15 (top panel) shows very clear membrane binding in a group of 3 fibroblasts. The bottom panel (figure 3.15) shows diffuse and clustered intracellular binding. In general the findings suggest that in transfected cell systems there is a considerable proportion of intracellular binding sites. It will be extremely interesting to study freshly dissociated cells to determine whether they have the same proportions of intracellular and membrane bound binding sites. Initial studies of dissociated prostate smooth muscle cells indicates that both exist in real tissues (McGrath et al., 1999).
Iso-surface modelling.
Alternatives to Z-sectioning are the various rendering and visualisation methods made available by the IMARIS and Microvision software programs. The iso-surface modelling method appears to be the best when multiple data sets are to be visualised simultaneously.
Figure 3.16 shows a region of a fibroblast (shown in figure 3.15) following deconvolution using the iterative constrained Tikhonov Miller algorithm (supplied as a HuygensII module). It can be seen that the fluorescence is largely confined to the cell membrane. A simulated fluorescence projection of the sub-volume also shows strong membrane
binding (figure 3.16b). By constructing an iso-surface model it is possible to view the data from any angle, four examples are shown in figure 3.16c-f. The power of the iso-surface modelling procedure lies in its ability to combine channels of data. Figure 3.17 shows different views of a 3 channel iso-model. The raw data has been segmented into three distinct volumes for the nucleus, diffuse staining and clustered (high intensity) staining. It can be clearly seen that the clusters are located inside the cell in close proximity to the nucleus and are probably located in the Golgi-apparatus. Figure 3.17 also shows the iso-model of a dissociated human prostatic smooth muscle cell indicating that this technique will be applicable to native cells even where the receptor expression level may not be as high as is found in recombinant systems.
**Analysis of receptor binding intensity in thick biological specimens.**
In cell culture monolayers it is possible to visualise and measure receptor-activated fluorescence with conventional fluorescence microscopy since the cell membranes are directly visible. With intact pieces of tissue this is impractical due to "bleed through" from out-of-focus planes. This problem can be addressed by the use of either confocal microscopy or wide field/deconvolution. One technical problem in attempting to measure receptor distribution, at different depths, is that concentration of the fluorescent ligand may vary according to the rate of diffusion and time of incubation. However, if the incubation time needed for full functional antagonism is known then analysis at that time point should indicate which receptors are involved in the response. Depending on the composition of the tissue, it is practicable to "see through" tissue to a depth of between 20 and 50 μm. Small resistance vessels and other thin preparations are therefore ideal. Unfortunately, thick preparations
containing large amounts of elastin (i.e. aorta, carotid artery etc.) exhibit autofluorescence in the same spectrum as many of the available fluorescent probes.
Rat mesenteric arteries (RMA) and basilar arteries (RBA) are particularly well suited to optical methods of studying their structure (see chapter 2). In this chapter I have examined the binding of QAPB to whole mount (unfixed) samples of RMA and RBA. To enable the capture of high quality confocal sections it was necessary to use a concentration of QAPB (0.1uM) which was higher than its anticipated dissociation constant and therefore may display some non-specific binding. However, this is an acceptable concentration of QAPB to use as an antagonist on blood vessels since it is expected to have approximately 10 fold lower affinity than prazosin which would commonly be used in functional studies at around 10nM. Furthermore, QAPB binding (100nM) was significantly reduced in the presence of phenoxybenzamine and YM12617. In all of the RMA sections studied the QAPB binding was found to be both diffuse and clustered. In addition the binding was consistent with the orientation of the smooth muscle cells. Figure 3.18a shows a significant degree of binding in the adventitia. The presence of $\alpha_1$-adrenoceptors in the adventitia has yet to be described and this binding may simply reflect non-specific binding to prejunctional $\alpha_2$-adrenoceptors. However, the affinity of QAPB at $\alpha_{2D}$-adrenoceptor subtypes (the expected subtype on rat sympathetic varicosities) is unknown and this is merely speculation.
Further confirmation of the relative selectivity of QAPB on blood vessels comes from the observation that 100nM produced less binding in the media of the rat basilar artery
(a tissue which responds poorly to noradrenaline). When compared with the RMA media it appears that the RBA does not exhibit the diffuse binding which I believe represents the membrane bound 'specific' binding sites.
Non-vascular smooth muscle also exhibits diffuse and clustered binding. The rat isolated anococcygeus muscle is richly innervated with sympathetic nerves (Gillespie & Maxwell 1971) and produces a powerful ($\alpha_2$-adrenoceptor mediated) contraction in response to noradrenaline (Docherty et al., 1979). In this tissue QAPB binding was associated with the orientation of smooth muscle cells and was inhibited in the presence of the high affinity $\alpha_4$-antagonist YM12617.
Having proved that fluorescent-ligand binding could provide information on the spatial distribution of $\alpha_1$-adrenoceptors it was decided that a method of visualising binding to inner and outer layers of vascular smooth muscle simultaneously would be advantageous. Figure 3.21 shows such a method where the blood vessel is cut into transverse sections (TS), mounted on cover slips and visualised using the method developed for single cells. Interestingly, the results of QAPB binding to TS rings of RMA were almost identical to the results obtained by using tritiated prazosin binding to rat aortic sections (Dashwood & Jacobs 1985). These authors claimed their data showed the presence of high concentrations of $\alpha_1$-adrenoceptors in the inner layers of smooth muscle. However, it is also possible that they were observing binding of prazosin to the internal elastic lamina: In the present study, binding of QAPB was found to be strongly associated with the internal and external elastic lamina (figure 3.23). It is not clear if the binding is to the laminae per se or if the binding is to cells
which are lining the laminae. Nevertheless, the binding of QAPB is almost identical to that observed with radio-labelled prazosin which further confirms the similarity between both compounds.
In conclusion, fluorescent ligands combined with confocal microscopy can provide new methods for studying receptors and receptor-mediated mechanisms in living tissues. QAPB is an interesting example with which to explore the potential of the method since it fluoresces more brightly when bound to the receptors. It is possible, using such a fluorescent ligand, to determine the presence and distribution of receptors within a multi-cellular preparation and to localise the binding on or within single cells at a given time point. It is also possible to measure concentration-dependent binding in the presence and absence of non-labelled competitors to further determine receptor profiles in order to locate subtypes.
Using confocal microscopy or similar techniques, the study of receptors can be extended beyond the approaches described here. Receptor populations within intact live tissue can be localised and analysed at the cellular and sub-cellular level. There are possibilities to study the spontaneous or induced relocation and cycling of receptors.
A further important advantage of having developed the method using confocal microscopy is that important questions such as the localisation of the signal to the membrane phase and the extent of penetration of the probe into the cell can be characterised. This validates the technique and sets the scene for the development of
simpler, less expensive and, potentially, automated analytical systems based on the same principle.
The technology can thus be extended in the hi-tech or lo-tech directions.
References.
Anderson, M.J. and Cohen, M.W. Fluorescent staining of acetylcholine receptors in vertebrate skeletal muscle. *J. Physiol.*, **237**, 385-400, 1974
Atlas D, Melamed E & Lahav M (1976). Direct localisation of β-adrenoceptor sites in rat cerebellum by a new fluorescent analogue of propranolol. *Nature*, **261**, 420-421
Atlas D & Melamed, E. (1978) Direct mapping of β-adrenergic receptors in the rat central nervous system by a novel fluorescent β-blocker *Brain Res.*, **150**, 377-385
Balice-Gordon, R.J. and Lichtman, J.W. (1993) In Vivo observations of pre- and postsynaptic changes during the transition from multiple to single innervation at developing neuromuscular junctions. *J. Neuroscience*, **13**(2), 834-855
Cheng, Y.C. & Prusoff, W.H. (1973) Relationship between the inhibition constant (Ki) and the concentration of inhibitor which causes 50% inhibition (IC50) of an enzymatic reaction. *Biochem. Pharmacol.*, **22**, 3099-3108
Daly CJ, Milligan CM, Milligan G, Mackenzie JF & McGrath JC (1998) Cellular localisation and pharmacological characterisation of functioning α1-adrenoceptors by fluorescent ligand binding and image analysis reveals identical binding properties of clustered and diffuse populations of receptors. *J. Pharmacol. Exp. Ther.* **286** 984-990.
Dashwood M, Jacobs M (1985). Autoradiographic study of the alpha-adrenoceptors of rat aorta and tail artery. *Eur J Pharmacol* Sep **10**:115(1):129-30
Docherty, J.R., MacDonald, A. & McGrath, J.C. (1979) Further sub-classification of $\alpha$-adrenoceptors in the cardiovascular system, vas deferens and anococcygeus of the rat. *Br. J. Pharmacol.* **67** 421-422P.
Drew GM (1985) What do antagonists tell us about $\alpha$-adrenoceptors. *Clin Sci.*, **68**, (Suppl 10), 15s-19s
Faure, M-P., Gaudreau, P., Shaw, I. Cashman N. and Beaudet A. (1994). Synthesis of a biologically active fluorescent probe for labeling neuropeptin receptors. *J. Histochem and Cytochem*, **46**(6), 755-763,
Flavahan NA & Vanhoutte PM (1986) $\alpha_1$-adrenoceptor subclassification in vascular smooth muscle. *TIPS* **7**, 347-349.
Ford AP, Arredondo NF, Blue DR Jr, Bouhaus DW, Jasper J, Kava MS, Lesnick J, Pfister JR, Shieh IA, Vimont RI, Williams TJ, McNeal JF, Stamey TA & Clarke DE. (1996) RS-17053 (N-[2-(2-cyclopropylmethoxyphenoxy)ethyl]-5-chloro-alpha, alpha-dimethyl-1H-indole-3-ethanamine hydrochloride), a selective alpha 1A-adrenoceptor antagonist, displays low affinity for functional alpha 1-adrenoceptors in human prostate: implications for adrenoceptor classification. *Mol Pharmacol* Feb;**49**(2):209-15
Gillespie JS & Maxwell JD (1971). Adrenergic innervation of sphincteric and nonsphincteric muscle in the rat intestine. *Journal of Histochemistry and Cytochemistry* **19**, 676-681.
Hall R.A., Premont R.T., and R. J. Lefkowitz. (1999). Heptahelical Receptor Signaling: Beyond the G Protein Paradigm. *J. Cell Biol.* **145**: 927-932.
Haugland, R.P. (1992), Molecular Probes Handbook, set 1, 9
Hazum, E., Chang, K-J. and Cuatrecasas, P. (1979) Role of disulphide and sulphydryl groups in clustering of enkephalin receptors in neuroblastoma cells. *Nature*, **282**, 626-628
Hazum, E., Chang, K-J. and Cuatrecasas, P. (1980) Cluster formation of opiate (enkephalin) receptors in neuroblastoma cells: Differences between agonists and antagonists and possible relationships to biological functions. *Proc. Natl. Acad. Sci.* **77**(5), 3038-3041
Heithier H, Hallmann D, Boege F, Reilander H, Does C, Jaeggi KA, Arndt-Jovin D, Jovin TM & Helmreich EJ (1994). Synthesis and properties of fluorescent beta-adrenoceptor ligands. *Biochemistry*, **33**, 9126-9134
Hess, A. (1979) Visualisation of beta-adrenergic receptor sites with fluorescent beta-adrenergic blocker probes – or autofluorescent granules? *Brain Res.*, **160**, 533-538
Hieble, J.P., Bylund, D.B., Clarke, D.E., Eilkenburg, D.C., Langer, S.Z., Leffkowitz, R.J., Minneman, K.P. and Ruffolo, R.R. International union of pharmacology X. Recommendation to nomenclature of $\alpha_1$-adrenoceptors; consensus update. *Pharmacological Reviews*, **47**, No.2, 255-266, 1995.
Hirasawa, A. Tsumaya, K., Awaji, T., Shibata, K., Homma, N., Shinomiya, T. & Tsujimoto, G. Flow cytometry analysis of $\alpha_1$-adrenoceptor subtypes. *FEBS letters* **386**: 141-148, 1996.
Hirasawa A, Sugawara T, Awaji T, Tsunaya K, Ito H, & Tsujimoto G (1997) Subtype-Specific Differences in Subcellular Localization of $\alpha_1$-Adrenoceptors: Chlorethyleclonidine Preferentially Alkylates the Accessible Cell Surface $\alpha_1$-Adrenoceptors Irrespective of the Subtype. *Mole. Pharmacol.* 52, Issue 5, 764-770.
Holtback U., Brismar H., DiBona G.F., Fu W., Greengard P. & Aperia A (1999). Receptor recruitment: A mechanism for interactions between G protein-coupled receptors. *Proc. Nat. Acad. Sci.*, 96; 7271-7275.
Mirel VA, Mauban JR, Blaustein MP, Wier WG. (1999) Local and cellular Ca2+ transients in smooth muscle of pressurized rat resistance arteries during myogenic and agonist stimulation. *J Physiol (Lond)* Aug 1;518(Pt 3):815-824
Kenny, B.A., Miller, A.M., Williamson, I.J.R., O'Connel, J., Chalmers, D.H. and Naylor, A.M. Evaluation of the pharmacological selectivity profile $\alpha_1$-adrenoceptor antagonists at prostatic $\alpha_1$-adrenoceptors: binding, functional and in-vivo studies. *Br. J. Pharmac.* 118, 871-878, 1996.
MacNulty, E. E., McClue, S. J., Carr, I. C., Jess, T., Wakelam, M. J. O. and Milligan, G. Alpha 2-C10 adrenergic receptors expressed in rat 1 fibroblasts can regulate both adenyllycyclase and phospholipase D-mediated hydrolysis of phosphatidylcholine by interacting with pertussis toxin-sensitive guanine nucleotide-binding proteins. *J. Biol. Chem.* 267, 2149–2156, 1992.
McGrath, J.C. (1982) Commentary: Evidence for more than one type of post-junctional $\alpha$-adrenoceptor. *Biochem. Pharmacol.* 31: 467-484.
McGrath, J.C., Arribas, S.M. and Daly, C.J. Fluorescent ligands for the study of receptors. *TIPS*, **17** (11), 393-399, 1996.
McGrath, J.C. and Daly, C.J. (1995) Viewing adrenoceptors; past, present, and future; commentary and a new technique. *Pharmacology Communications* Vol 6 269-279.
McGrath, J.C., Nagadeh, M.A., Pediani, J.D., Mackenzie, J.F. & Daly, C.J. (1999) Importance of agonists in α-adrenoceptor classification and localisation of α₁-adrenoceptors in human prostate. *Eur. Urol.* **36** Suppl 1 80-88
Messerli JM, Van Der Voort HTM, Rungger-Brandle & Perriard JC. (1993). Three-dimensional visualisation of multi-channel volume data: The amSFP algorithm. *Cytometry*, **14**: 725-735.
Muramatsu I, Ohmura T, Kigoshi S, Hashimoto S & Oshita M (1990). Pharmacological subclassification of α₁-adrenoceptors in vascular smooth muscle. *Br. J. Pharmacol.*, **99**, 197-201
Petty, H.R. and Francis, J.W. Polymorphonuclear leukocyte histamine receptors: Occurrence in cell surface clusters and their redistribution during locomotion. *Proc. Natl. Acad. Sci.*, **83**, 4332–4335, 1986.
Von Zastrow M & Kobilka BK. (1994). Antagonist-dependent and –independent steps in the mechanism of adrenergic receptor internalisation. *J. Biol. Chem.*, **269** No. 28, pp18448-18452.
Minta A, Kao JP, Tsien RY (1989). Fluorescent indicators for cytosolic calcium based on rhodamine and fluorescein chromophores. *J Biol Chem* **1989** May 15;264(14):8171-8
Ruffolo, R.R., Bondinell, W., and Hieble, J.P. $\alpha$- and $\beta$-adrenoceptors: From gene to the clinic. 2. Structure-activity relationships and therapeutic applications. *J. Med. Chem.*, **38** (19), 3681-3716, 1995.
Uhlén, S., Axelrod, D., Keefer, J., Limbird, L. and Neubig, R. Membrane organisation and mobility of $\alpha_2$-adrenenergic receptors in MDCK cells. *Pharmacology Communications* Vol 6 155-167, 1995.
Wang, Y, Gu, Q., Mao, F. & Cynader, M.S. (1997) Developmental expression and regulation of $\alpha_1$ adrenergic receptors in cultured cortical neurons. *Dev. Brain Res.*, **102**, 35-46.
Wise, A. Lee, T.W. MacEwan,D.J. and Milligan, G. Degradation of G11 alpha/Gq alpha is accelerated by agonist occupancy of alpha1A/D, alpha1B and alpha1C adrenergic receptors. *J. Biol. Chem.* **270**, 17196-17203, 1995.
Chapter 4
Pharmacological and CLSM study of the mouse tail artery; a case study bringing together the methods developed in the previous chapters.
Introduction.
In the previous chapters confocal-based methods for the study of vascular structure and receptor distribution were developed. This chapter is a case study of one particular artery and aims to show how CLSM methods can complement the conventional pharmacological (functional) studies that are normally employed.
The pharmacology of the mouse vasculature is relatively unknown since most studies of blood vessels have tended to focus on higher animals due to their ease of study and due to the technical limitation of studying such small diameter vessels. In addition, many workers have attempted to study human vessels due to their clinical relevance. However, genomic research has resulted in a proliferation of transgenic animal models harbouring various mutated genes or lacking in specific genes. The mouse has become a favourite for reasons other than an existing comprehensive knowledge of murine physiology. This may not be important from a molecular point of view but it leaves physiologist and pharmacologists with a significant amount of ground work to do prior to studying the effect of any gene defects. Fortunately, the methods of confocal myography described in this thesis are ideal for studying mouse blood vessels. The myographs are tailor made for small vessels and the microscopy permits the visualisation of structure and receptor distribution.
Wild type and KO mice
Cavalli et al., (1997) have engineered an $\alpha_{1B}$-knockout mouse using targeted gene disruption and have shown that pressor responses to phenylephrine are reduced and that binding sites in both liver and brain are reduced. This type of approach to
determining adrenergic receptor (AR) subtype function is essential since the current collection of subtype-selective antagonists and agonists do not display sufficient selectivity for the $\alpha_{1B}$-AR over $\alpha_{1A}$- and $\alpha_{1D}$. The original definition of the $\alpha_{1B}$-AR was that it showed high affinity for the alkylating agent chloroethyleclonidine (CEC) and relatively low affinity for WB4101 (Morrow & Cresse 1986; Han et al., 1987). However, later studies have shown that CEC is an unreliable compound that is relatively non-selective between $\alpha_2$-AR and $\alpha_3$-AR subtypes, its action is dependent on the protocol used (Michel et al., 1993). Studies with transfected cells have suggested that the $\alpha_{1B}$-AR is confined mainly to the cell membrane while the $\alpha_{1A}$-AR is mainly intracellular (Hirisawa et al 1997). Functionally, the $\alpha_{1B}$-AR has been suggested to be involved in growth regulation (Chen et al., 1995.) and is thought to be present on rabbit cutaneous resistance arteries (Smith et al., 1997) and rat carotid artery (Stassen et al., 1998). More recently, a new compound L765,314 has been reported to display 100 fold higher affinity for $\alpha_{1B}$-AR over $\alpha_{1A}$ or $\alpha_{1D}$ (Patane et al., 1998 ) although this compound appears to have been tested in only one published report and its acceptance as a highly selective compound awaits further study by other investigators. Preliminary work from Professor J.C. McGrath’s research group suggests that L765,314 does not show the same degree of selectivity (i.e. 100 fold higher) for $\alpha_{1B}$- over $\alpha_{1A}$- & $\alpha_{1D}$.
Overall, the role of the $\alpha_{1B}$-AR in vascular function awaits clarification. Since there are no reports of a vessel which expresses $\alpha_{1B}$- alone it is likely that it plays a synergistic role with other receptor subtypes. The advantage of using tissues (vessels) from an $\alpha_{1B}$-KO mouse is that the loss of such an interaction may cause a change in
expression or coupling efficiency of the remaining receptors. If the change can be identified then the functional role of the missing receptor can be inferred indirectly. Until such times as the pharmaceutical companies can produce high affinity receptor ligands at the same speed with which molecular biologists identify and express gene products, we will have to rely on transgenic models to provide less complicated functional tissues. Even if such high affinity compounds were available the ability to remove one subtype completely (as opposed to a pharmacological blockade) from a multi-receptor system would prove invaluable.
Colonies of $\alpha_{1B}$-KO and wild-type (WT) C57-black mice have been raised from breeding pairs kindly supplied by Prof. Susanna Cotecchia (University of Lausanne; Switzerland). The lack of any literature concerning murine vasculature required a preliminary study of selected vessels to determine which would give strong and reproducible contraction to adrenergic agonists. A comparison of mouse carotid, mesenteric and tail artery showed the latter to be a strong candidate. The rat tail artery has already been widely studied and shown to possess a rich adrenergic innervation along with postjunctional $\alpha_2$- and $\alpha_2$-ARs (Redfern et al., 1995). The subtype of $\alpha$-AR has been suggested to be mainly $\alpha_{1A}$. Therefore if the mouse tail artery exhibits a similar adrenergic system it may provide information on the possible interactions between $\alpha_{1A}$- and $\alpha_{1B}$-AR.
Mouse tail artery segments taken from WT and KO mice were studied on the wire myograph to determine the major postjunctional receptor subtype and to establish a functional role (if any) for the $\alpha_{1B}$-subtype. Following the suggestion that $\alpha_{1B}$-AR is
involved in growth a structural study was undertaken using CLSM. In addition a short study of receptor distribution in isolated cells and tissue sections was attempted to show the distribution of native receptors.
It is not within the scope of this chapter to present a full and comprehensive description of the pharmacology, structure and receptor distribution of the mouse tail artery. The aim of the chapter is merely to give a flavour of what is now possible following the development of the CLSM and fluorescence based methods and to show how these types of studies can be combined with the more conventional studies.
Methods.
C-57 black (Wild Type and Knockout) mice weighing between 25-35g were killed by stunning. The tail was marked on its underside before being removed and placed in a Petri dish containing normal Krebs' solution. A mid section (1-2cm) of tail artery was removed for staining, cell dissociation or myograph mounting. Preliminary studies employed the normalisation technique of Mulvany & Halpern (1977; see chapter 1). In order to obtain vessel internal diameter and normalised resting tension. Thereafter, vessel segments were set at 200mg resting tension prior to construction of concentration response curves (CRCs).
Functional Studies.
CRCs to noradrenaline (NA; 1nM - 10uM), phenylephrine (phe; 1nM - 10uM) and the selective $\alpha_{1A}$-adrenoceptor agonists A86641 (0.01nM - 0.1uM) were constructed in the presence and absence of $\alpha_{1A}$-adrenoceptor subtype selective antagonists. After an initial sighting concentration to NA (10uM) tissues were washed and allowed 40 minutes before beginning the first CRC. Antagonists were allowed at least 45 minutes to reach equilibrium prior to the beginning of a second or third CRC.
Analysis of functional data.
The potency of the agonists was determined by comparing EC$_{50}$ (concentration required to produce 50% of maximum response) values obtained for each agonist. This value is sometimes referred to as the pD$_2$ (see methods section of Chapter 3). Antagonist affinity was determined by calculating the pK$_{B}$ where a single antagonist concentration was used.
Confocal Study of Structure.
Vessel segments were stained with 10ug/ml of H33342 as described in chapters 1 & 2. For studies of adventitial cell density, vessels were slide mounted. For pressurised structural studies, segments were mounted in a specialised pressure myograph system (JP Trading).
Using an upright Noran Instruments Odyssey CLSM, optical sections of vessels were obtained as single images (adventitial study) or as z-series (structural study). For z-series capture a step size of 1um was maintained.
Dissociation of Smooth Muscle cells.
Cells were dissociated by the method of Kamishima et al., 1997. Briefly, tail artery segments are immediately placed in buffer 1 (147mM NaCl, 5mM KCl, 1mM MgCl$_2$, 1.8mM CaCl$_2$, 10mM HEPES, 0.1% BSA, pH7.4). Segments are washed once in buffer 1, resuspended in buffer 2 (80mM sodium glutamate, 54mM NaCl, 5mM KCl, 1mM MgCl$_2$, 0.1mM CaCl$_2$, 10mM HEPES, 10mM glucose, 0.2mM EDTA, 0.1% BSA, pH7.3) with 1.7mM papain, 0.7mM dithioerythritol and incubated at 35°C for 30mins. Segments were centrifuged at 1200g for 2mins and supernatant discarded. Segments were resuspended in buffer 2 with 1.0mM collagenase II, 1.0mM hyaluronidase and SMC were dispersed immediately with a fire polished pasteur pipette. Cells were plated onto coverslips.
Drugs and Solutions.
The composition of the modified Krebs solution was as follows: (in mM): NaCl 118.4, NaHCO$_3$ 25, KCl 4.7, KH$_2$PO$_4$ 1.2, MgSO$_4$ 1.2, CaCl$_2$ 2.5 and glucose 11.
Na₂EDTA (23μM) was also included in the Krebs in all experiments to prevent degradative oxidation of NA.
Noradrenaline, phenylephrine (Sigma Chemical Co.); A86441 (Dr Hancock, Abbott laboratories); BMY7378, YM12617, chloroethylclonidine (Research Biochemical International, RBI); delequamine (low affinity isomer; Roche pharmaceuticals); QAPB (BODIPY-FL prazosin), H33342 (Molecular Probes).
Results.
Antagonist profile
In wire mounted segments of mouse tail artery, the high affinity $\alpha_1$-adrenoceptor antagonist YM12617 (tamsulosin; 1nM) caused a rightward shift in the CRC to NA with a p$K_B$ of 9.41 (Figure 4.1a). YM12617 also caused a reduction in maximum response. The $\alpha_2$-antagonists delequamine (1uM, p$K_B$ 6.02; figure 4.1b) and rauwolscine (1uM, p$K_B$ 6.33; figure 4.1c) displayed low potency versus NA in the tail artery.
Chloroethylclonidine (CEC; 10uM) caused a small rightward shift in the CRC to NA in normal (wild type) mouse tail artery (figure 4.2b). In tail arteries taken from knockout (KO) mice devoid of $\alpha_{1B}$-adrenoceptors CEC was less effective (figure 4.2c). BMY7378 displayed no antagonism at concentrations up to and including 0.1uM. At 1uM BMY7378 exhibited slight rightward shift versus the $\alpha_{1A}$-agonist A86441 (figure 4.3).
Agonist potency
The $\alpha_{1A}$-agonist 86641 was approximately 100 fold more potent than phenylephrine (which was equipotent with noradrenaline). (Figure 4.3).
Electrical field stimulation.
Stimulus parameters of 4-64Hz (of 1 second duration) produced frequency dependent responses which were transient in nature, having a fast initial component with a slower declining phase to the response. Maximum size of response, time to reach maximum amplitude and the slope of the initial fast phase was calculated for
Figure 4.1. The effect of α-adrenoceptor antagonists versus noradrenaline (NA) on the mouse isolated tail artery. (n=5)
Figure 4.2. The role of $\alpha_{1B}$-adrenoceptors in the mouse isolated tail artery in response to noradrenaline induced contraction. a) NA CRC in both normal (WT) and $\alpha_{1B}$-knockout (KO) mouse tail artery. b) the effect of the $\alpha_{1B}$-adrenoceptor blocker chloroethylclonidine (CEC) in WT tail artery. c) the effect of CEC on KO tail artery. Data points represent the mean of 4 experiments +/- S.E.M. Shifts with CEC were non-significant (WT p=0.2; KO p=0.18; paired t-test)
Figure 4.3 The effect of the $\alpha_{1D}$-adrenoceptor antagonist BMY7378 versus contractile responses induced by A86641 (filled symbols) or phenylephrine (empty symbols) in the mouse isolated tail artery. Control (squares), 0.1 uM BMY (diamonds), 1uM BMY (circles). The data points represent the mean of 4 experiment +/- S.E.M. * p = 0.018 (paired t-test).
each frequency. Low frequency responses (4-16Hz) were significantly greater in magnitude in the WT compared with the KO (p<0.05; figure 4.4a). In addition, the time to maximum for low frequency response was also greater (Figure 4.4b) and this is accounted for by the reduction in slope (expressed in mV/sec.) (Figure 4.4c).
**Confocal analysis of structure.**
Arterial segments from WT and KO mice were taken from 4 animals of each type (representative images are shown in figure 4.5). Nuclear (and thus cell) density (number per unit volume) was found to be 59.2 ± 17% lower in the KO adventitia. In addition, more autofluorescent extracellular material, perhaps elastin or collagen, was observed.
Analysis of pressure-mounted segments of WT tail artery revealed a characteristic punctate staining of the nucleus, by H33342, which was also observed in the KO tail artery. The orientation of the smooth muscle cells indicates that at least two orientations (or bands) of smooth muscle exist in the tail artery of WT mice (figure 4.6).
**Fluorescent ligand binding.**
QAPB binding to dissociated cells was time and concentration dependent and was inhibited in the presence of 10uM phentolamine. The binding sites were found to be associated with the membrane but also with intracellular sites (figure 4.7). Clusters of intracellular binding sites were also apparent. The calculated $F_{KD}$ was 2.0nM which is consistent with the expected affinity of QAPB at $\alpha_1A$-adrenoceptor subtypes.
Figure 4.4 Analysis of the responses in mouse isolated tail artery elicited by electrical field stimulation. a) Size of the response. b) Time taken to reach maximum peak. c) The rate of rise of the initial component of the response. All data represent the mean of 4 experiments +/- S.E.M. (* p<0.05).
Figure 4.5. Representative images of the adventitial cell nuclei in the normal (WT) and knockout (KO) isolated mouse tail artery. The black spots represent individual nuclei. Each image is 102 um square.
Figure 4.6. Extended focus images of a mouse tail artery segment mounted on a perfusion myograph at 100mmHg and stained with H33342 (10ug/ml). a-c) Show different regions of the same vessel. d) endothelial cell nuclei on the luminal surface. Images were collected using ax40 water objective (NA1.13). Field (image) size 97um square.
Figure 4.7. i. Smooth muscle cells freshly dissociated from murine tail artery, were plated on coverslips and examined by confocal microscopy and time-lapse photography at 1min intervals with increasing concentrations of QAPB (0, 0.4, 1, 2, 5nM) in the absence (a-e) and presence (f-j) of 10uM Phentolamine. Representative images of cells are shown in pseudocolour, where black indicates no staining and blue, green, and yellow indicate increasing levels of saturation of QAPB. ii. QAPB-associated fluorescence intensity was calculated by MetaMorph software and plotted against increasing concentrations of QAPB to demonstrate the levels of total (■), non-specific (○) and specific (▲) binding. The specific affinity (FKD) of QAPB for murine tail artery smooth muscle cells was estimated as 2.0nM.
Discussion.
The purpose of this chapter was to demonstrate how the confocal approach can compliment the pharmacological study of an unknown vessel. The idea was to use some of the methods developed in the previous chapters and apply them to the study of a new vessel. The mouse represents a relatively unknown species with respect to its pharmacology. It is reasonable to assume that it will be similar to the rat and other rodents and indeed this assumption would suffice if only a general knowledge of function was required. However, now that molecular biology has delivered a multitude of transgenic models (mainly mice) it has become important to fully understand the 'lower' animals that have previously been ignored in favour of studying the physiology of 'higher' animals and humans where possible.
The mouse brings other advantages for microscopy and myography. Previously, it was not feasible to study large thick walled vessels (of larger rodents) under the microscope without first fixing and sectioning. The mouse gives us the chance to study intact segments of conduit vessels on the myograph and under the confocal microscope. One such line of study (the mouse carotid artery) is presently being followed by a member of Prof. McGraths research group.
For this chapter I have chosen to study the mouse tail artery. This vessel has a rich adrenergic innervation, has relatively few branches and contracts powerfully to noradrenaline. Until the present study, the relative contribution of $\alpha$-adrenoceptor subtypes to contraction was unknown. The receptor distribution in murine smooth muscle cells and the 3D architecture of the vessel wall were also unknowns.
Antagonist potency.
The first question I would ask of any new vascular preparation is; what is the ratio of $\alpha_1$- to $\alpha_2$-adrenoceptors. The low potency of delequamine and rauwolscine suggest that in the isolated tail artery $\alpha_2$-adrenoceptors do not play a major functional role. The potency of YM12617 confirms the involvement of $\alpha_4$-adrenoceptors. However, the apparent non-competitive action of YM (i.e. reducing the maximum) may indicate an unusual property of the murine adrenoceptor.
CEC is reported to be an alkylating agent at $\alpha_{1B}$-adrenoceptors and therefore should reduce the response to NA if $\alpha_{1B}$-adrenoceptors play a significant role. In the present study CEC (10uM) caused only a slight reduction in maximum and rightward shift in normal mice. In the $\alpha_{1B}$-KO mice CEC was even less effective. This points to only a minor role (if any) for $\alpha_{1B}$-adrenoceptors in the response to NA in the mouse tail artery.
A comprehensive study of $\alpha_{1B}$ -AR distribution in 7 rat arteries found that $\alpha_{1B}$-immunoreactivity was widely distributed in all arteries but that $\alpha_{1B}$- functionality could only be attributed to the mesenteric resistance arteries (Piascik et al., 1997)
The $\alpha_{1D}$-selective antagonist BMY7378 exhibited low potency against A86441 and phenylephrine, in mouse tail artery, which precludes any involvement of the $\alpha_{1D}$-adrenoceptor.
Agonist potency.
The selective $\alpha_{1A}$-agonist A86441 was approximately 100 fold more potent than phenylephrine which is consistent with a functional population of $\alpha_{1A}$-adrenoceptors (Knepper et al., 1995). This is similar to the rat tail artery which has also been reported to be mainly $\alpha_{1A}$ (Lachnit et al., 1997).
Electrical field stimulation.
Since the tail artery in expected to be richly innervated (from knowledge of the rat) I decided to investigate the nature of the neuroeffector response in both wildtype and knockout mice. If a functional difference could be identified then perhaps a structural alteration may also exist since the $\alpha_{1B}$-adrenoceptor has been implicated in mediating a growth response (Chen et al., 1995).
The sensitivity to exogenous agonists was no different in the WT and KO mice. However, responses to electrical field stimulation were smaller in the KO mouse, particularly at low frequencies. A detailed analysis of the shape of the responses indicated that the initial rapid response to EFS was slowed in the KO mouse tail artery. This was the first evidence of a difference in the small (resistance?) vessels of the mouse.
The postganglionic sympathetic nerves are located in the adventitia/medial border. Therefore it was of interest to examine the adventitia of the WT and KO mice.
Confocal Studies of Structure.
WT and KO mice (4 of each) were selected at random and a mid section of tail artery was removed from each and stained with H33342 and mounted on slides. In all cases the cell density (indicated using nuclear staining) was lower in the adventitia of the KO mice. This supports the previously reported suggestion that the $\alpha_{1B}$-adrenoceptors play a role in growth.
Further experiments using pressure (100mmHg) mounted ‘living’ vessels showed an arrangement of smooth muscle cells which was apparently more complex than that observed in the rat mesenteric resistance arteries. At least two orientations of SMCs were observed. It is possible that this arrangement may play a role in the rhythmic activity which often develops in response to low concentrations of $\alpha$-AR agonists. A characteristic of the mouse tail artery vascular cells was the punctate staining obtained with the nuclear stain H33342. The spots of fluorescence within the nucleus are similar to those observed in apoptotic nuclei. However, it is unlikely that all cells in the wall are in this state. Nevertheless, this staining pattern was observed in 3 WT arteries and 1 KO artery and certainly warrants further study.
$\alpha$-adrenoceptor distribution.
It has previously been shown that recombinant adrenoceptor subtypes can have differential localities. Hirisawa et al. (1997) found that $\alpha_{1B}$-adrenoceptors are confined to the cell membrane whereas $\alpha_{1A}$-adrenoceptors are mainly intracellular. The pharmacological data of this chapter indicates that the $\alpha_{1A}$-adrenoceptor subtype is functionally expressed in the tail artery smooth muscle cells. However, the
presence of $\alpha_{1B}$-ARs cannot be discounted. To distinguish clearly subcellular receptor location it is necessary to first dissociate cells. QAPB binding to dissociated cells was found to be both intracellular and membrane bound. Presumably these receptors represent the previously identified functional sites. However, it is not possible to say from these experiments what the proportion of $\alpha_{1A}$- and $\alpha_{1B}$-adrenoceptors is. Further experiments with non-fluorescent antagonists used in competition studies, followed by image processing and subtraction, are necessary to establish the proportions of each receptor type in different locations.
In conclusion, the main functional $\alpha$-adrenoceptor subtype is the $\alpha_{1A}$-subtype. The functional role of $\alpha_{1B}$-adrenoceptors appears to be confined to the initial phase of the neuroeffector response and may be involved in growth. Since the major structural alterations were observed within the adventitia, it is interesting to speculate that the role of $\alpha_{1B}$-ARs in neurotransmission and the location of the sympathetic nerves in the adventitia may be a significant factor in the growth and structure of the adventitia.
Confocal studies have revealed an alteration in the adventitial structure and have confirmed the existence of two spatially distributed populations of adrenoceptor subtypes which may correlate with the expected locations of $\alpha_{1A}$- and $\alpha_{1B}$-adrenoceptors.
References.
Cavalli, A., Lattion, A., Hummler, E., Nenniger, M., Pedrazzini, T., Aubert, J.F., Michel, M.C., Yang, M., Lembo, G., Vecchione, C., Mostardini, M., Schmidt, A., Beerman, F. and Cotecchia, S. (1997). Decreased Blood Pressure Response in Mice Deficient of the $\alpha_{1B}$-Adrenergic Receptor. *Proc. Natl. Acad. Sci. USA* **94**, 11589-11594.
Chen L, Xin X, Eckhart AD, Yang N, Faber JE. (1995) Regulation of vascular smooth muscle growth by alpha 1-adrenoreceptor subtypes in vitro and in situ. *J Biol Chem.* Dec 29;**270**(52):30980-8
Han, C., Abel, P.W. & Minneman, K.P. (1987b). $\alpha_1$-adrenoceptors linked to different mechanisms for increasing intracellular calcium in smooth muscle. *Nature*. **329**, 333-5
Hirasawa A, Sugawara T, Awaji T, Tsumaya K, Ito H, & Tsujimoto G (1997) Subtype-Specific Differences in Subcellular Localization of $\alpha_1$-Adrenoceptors: Chlorehylclonidine Preferentially Alkylates the Accessible Cell Surface $\alpha_1$-Adrenoceptors Irrespective of the Subtype. *Mole. Pharmacol.* **52**, Issue 5, 764-770.
Kamishima, T & McCarron, J.G. 1997. Regulation of the cytosolic Ca$^{2+}$ concentration by Ca$^{2+}$ stores in single smooth muscle cells from rat cerebral arteries. *J. Physiol.* **501**: 497-508.
Knepper, S.M., Buckner, S.A., Brune, M.E., Debernardis, J.F., Meyer, M.D. & Hancock A.A. (1995). A-66103, a potent $\alpha_1$-adrenergic receptor agonist, selective for the $\alpha_{1A}$ receptor subtype. *J. Pharmacol. Exp. Ther.*, **274**, 97-103
Lachnit WG, Tran AM, Clarke DE & Ford APDW (1997). Pharmacological characterisation of an $\alpha_{1A}$-adrenoceptor mediated contractile responses to noradrenaline in isolated caudal artery of rat. *Br. J. Pharmacol.*, 120, 819-826.
Michel MC, Kerker J, Branchek TA & Forray C. (1993). Selective irreversible binding of chloroethylclonidine at $\alpha_1$- and $\alpha_2$-adrenoceptor subtypes. *Mol Pharmacol.*, 44, 1165-1170.
Morrow AI., & Creese I. (1986). Characterization of alpha1-adrenergic receptor subtypes in rat brain: A reevaluation of [3H]WB4101 and [3H]prazosin binding. *Molecular Pharmacology*. Vol 29(4)(pp 321-330)
Patane, M. A., Scott, A. L., Broten, T.P., Chang, R.S.L., Ransom, R. W., Disalvo, J. Forray, C. & Bock, M.G. (1998). 4-Amino-2-[4-[(benzyloxy carbonyl)-2(S)-[[[1,1-dimethyl]amino]carbonyl]-piperazinyl]-6,7-dimethoxyquinazoline (L-765, 314): A Potent and Selective $\alpha_{1b}$ Adrenergic Receptor Antagonist. *J. Med. Chem.*, 41; 1205-1208.
Piascik MT, Hrometz SL, Edelmann SE, Guarino RD, Hadley RW & Brown RD. (1997). Immunocytochemical localisation of the alpha1B- adrenergic receptor and the contribution of this and other subtypes to vascular smooth muscle contraction: Analysis with selective ligands and antisense oligonucleotides. *J. Pharmacol. Exp. Ther.* 283: 854-868.
Redfern, W.S., MacLean, M.R., Clague, R.U. & McGrath, J.C. (1995) The role of $\alpha_2$-adrenoceptors in the vasculature of the rat tail. *Br. J. Pharmacol.* 114 1724-1730.
Smith, K.M., Macmillan, J.B. & McGrath, J.C. (1997) Investigation of $\alpha_1$-adrenoceptor subtypes mediating vasoconstriction in rabbit cutaneous resistance arteries. *Br. J. Pharmacol.* **122**, 825-832.
Stassen, F.R.M., Maas, R.G.H.T., Schiffers, P.M.H., Janssen, G.M.J. and DeMey, J.G.R. (1998) A Positive and Reversible Relationship Between Adrenergic Nerves and Alpha-1A Adrenoceptors in Rat Arteries. *J. Pharm. Exp. Ther.* **284**, 399-405
General Discussion and Future Research.
The original aim of this study was to investigate the phenomenon known as vascular asymmetry whereby the inner layers of smooth muscle are more sensitive to activation by noradrenaline than the outer layers. This characteristic of many blood vessels has been known about for almost 30 years and yet we still do not fully understand the underlying mechanism. A major goal was to investigate the nature of asymmetry and to try to determine its basis. Initially it was thought that this would simply involve mounting a small vessel under a microscope and focusing on the different layers while monitoring the activation caused by a range of α-adrenoceptor subtype selective and non-selective agonists. In practice it became clear that this would not be a simple task.
The first problem to overcome was that of contrast within the living vessels. Studies with brightfield illumination confirmed that vascular contraction was a complex (multi-cellular) process. However, it was not possible to identify individual cells at varying depths within the wall. This led to the development of methods employing fluorescent nuclear stains. These stains proved to be non-toxic and enabled the identification of cell type, position, orientation and viability within a living (unfixed) vascular wall.
The work with fluorescent nuclear stains led to the realisation that activation of cells within a 3D matrix would require a more sophisticated method of analysis. This led to the evaluation and eventual purchase of a laser scanning confocal microscope (CLSM) which provided a means of collecting 3D volumes of vascular cell
arrangement. While this alone provided interesting insights into the structure of the resistance artery wall, it also created a requirement to use image analysis and processing methods which previously had not been used within our research group. A variety of fluorescent stains were evaluated along with a large number of image processing and analysis methods. The outcome of the work presented here is that we are now in a position to define the next set of problems which must be solved in order to fully automate the process of quantifying 3D volumes of vascular structure. In support of this, a multi-centre European partnership to study vascular structure using CLSM methods has recently been funded which Professor McGrath’s group will coordinate.
The methods I have developed have already been used for the study of cellular rearrangements within SPSHR basilar arteries, mouse tail artery, rat mesenteric arteries and human subcutaneous resistance arteries. Furthermore, Professor McGrath’s research group have recently been awarded a Welcome Trust project grant to construct mathematical models of vascular structure based on the CLSM data which we have collected. Briefly, I believe that there may be a simple mathematical formula that will describe the arrangement of smooth muscle cells in the vascular wall. This model may contain repeating patterns of cells which may or may not represent groups of pacemaker cells. The project is a combination of pattern recognition and mathematical modelling. It will be very interesting if we can find a simple formula to describe the arrangement of cells mapped to a cylindrical structure. Even more interesting will be to alter the variables in the formula to cause cellular rearrangement. The question then would be; what physiological factors do these variables relate to? In many respects this is ‘blue skies’ research but the ideas within
the project outline are the result of studying structure from a 3D point of view. The Wellcome project and VASCAN-2000 (EU programme grant) will form a major part of my research in the next 2-3 years.
Segmentation of objects within 3D volumes of biological data is currently the focus of much attention within the computer imaging field. Presently there is not one well defined (or accepted) method of segmenting biological data. Much of the research centres around MRI and High Resolution ultrasound scanning. While the spatial resolution of these imaging modes is far lower than that of CLSM, the same problems apply. In fact, efficient segmentation/thresholding will continue to be a problem for my confocal studies in the years to come. It will be important therefore to keep up to date with the current methods and wherever possible identify collaborators who are working in this field.
Fluorescent ligands provided an interesting avenue of research at a point where the structural studies had reached a major hurdle to be overcome in the form of segmentation. It seemed an altogether simpler approach to map the receptor distribution within the vascular wall. However, as now expected with this project, there were many problems to overcome first.
Historically, fluorescent ligands were used like dyes and were not employed by pharmacologists. It took many months of studying the binding characteristics of BODIPY FL-prazosin (QAPB) before I would be convinced that any observed fluorescence was the result of the formation of a receptor-ligand complex. Once again I had to employ methods that I was not previously familiar with, namely cell culture
and the use of recombinant cell lines. There followed many more months of study with cloned cell lines which eventually resulted in the development of a fully quantitative method of ligand binding that could be performed at equilibrium on a single cell. This is perhaps the single biggest scientific achievement of the project (and the one which brought the most personal satisfaction). The method is now in regular use and we have recently published binding curves derived from a single human prostatic smooth muscle cell. The work is now being applied to whole sections of blood vessels and I believe that here we will find some answers to the question of asymmetry.
The work with fluorescent ligands is timely. Almost every month a new fluorescent peptide is synthesised by Advanced Bioconcepts or Molecular probes. There are now fluo-peptides for angiotensin II, endothelin, bradykinin, CGRP, substance P and a host of other molecules that are important to the cardiovascular system. The British Pharmacological Society awarded last year's AJ Clark scholarship to Professor McGrath to develop new fluorescent compounds for the study of $\alpha$-adrenoceptors. This was a direct result of our work and publications in this area. We are currently evaluating an FITC-prazosin and a FITC-yohimbine which have been synthesised by our collaborators in the Dept of Chemistry (University of Glasgow). In the next two years it is hoped that we will be able to synthesise subtype-selective fluorescent probes for the known subtypes of $\alpha_1$- and $\alpha_2$-adrenoceptors.
In conclusion, the central question of vascular asymmetry remains unanswered and may remain so for a few years to come. However, in the course of working on this project I feel that I have more clearly defined some of the problems which must first
be solved if we are getting closer to an understanding of the mechanisms of vascular cell interactions. The confocal methods described here will go a long way in helping to define vascular structure and receptor distribution. Much of the hard work has now been done and I believe that this now sets the scene for new approaches to the interesting problems of vascular biology.
|
RECEIVE THE HOLY SPIRIT. WHOSE SINS YOU FORGIVE ARE FORGIVEN THEM, AND WHOSE SINS YOU RETAIN ARE RETAINED.
JOHN 20:22-23
PENTECOST SUNDAY
JUNE 5, 2022
PARISH STAFF
Contact: (602) 942-2608
Pastor: Rev. Fr. Dindo “Bruno” Cuario Ext. 114
Parochial Vicar: Rev. Fr. Ishaya Samaila Ext. 115
Pastoral Associate: Craig Cullity Ext. 113
Director of Liturgy and Worship: Sr. Georgina Victor, SHS Ext. 121
Director of Religious Education: Craig Cullity (Interim) Ext. 113
Director of Music: Jojo Concepcion Ext. 119
Parish Receptionist & Scheduler: Salina Villanueva Ext. 110
Liturgy & Social Media Coordinator: Dr. Susan “Sue” Moravec, PharmD Ext. 121
IT In Charge & S.E.T. Coordinator: Joseph Castellarin
Marriage Preparation & Annulment Minister: Edward “Ed” Seymour Ext. 120
Weekly Schedule
SUNDAY MASSES
Saturday (Vigil): 5:00 pm
Sunday: 7:30 am, 9:30 am, and 12:00 pm
Live Stream Via YouTube
9:30 AM Mass
Visit youtube.com/stpaulsphoenix
DAILY MASSES
In Chapel, except Friday Noon
Monday-Friday:
7:30 am & 12:00 pm
Saturday: 7:30 am
SACRAMENT OF RECONCILIATION
Tuesdays - Wednesdays: 11:30 am
Saturdays: 3:30 pm
ROSARY
Weekdays, 20 minutes before Mass
Sundays, 30 minutes before Mass
ADORATION CHAPEL HOURS:
Sunday - Friday: 6:00 am - 12:00 pm
Saturday: 6:00 am - 6:00 pm
CHAPEL OPEN HOURS:
Sunday - Friday: 6:00 am - 1:00 pm
Saturday: 6:00 am - 6:00 pm
OFFICE HOURS
Monday: 10:00 am - 3:00 pm
Tues to Thurs: 8:00 am - 3:00 pm
Friday: 8:00 am - 12:00 pm
Saturday - Sunday: Closed
ANOINTING OF THE SICK
Call the office: (602) 942-2608 during the day
For in danger of death only, call: 602-212-6708 and leave a detailed message
Prayer Before Mass
Accept, O most Holy Trinity, this Holy Sacrifice of the Mass enacted once by the Divine Word,
which is now renewed on this altar through the hands of your priest.
We unite ourselves to the intentions of Jesus Christ, Priest and Victim, that we may be consumed
for Your glory and for the salvation of all people.
We intend through Jesus Christ, with Jesus Christ, in Jesus Christ, to adore Your eternal Majesty,
to thank Your immense goodness, to satisfy Your offended justice, and to beg for Your mercy for
the Church, for our dear ones, and for ourselves here present. Amen.
Introductory Rites
Entrance
Ministry Presentation:
Thanksgiving to the Holy Spirit
Gathering: Come Holy Ghost (BB#453)
1. Come, Holy Ghost, Creator blest,
And in our hearts take up thy rest;
Come with thy grace and heavenly aid
To fill the hearts which thou hast made,
To fill the hearts which thou hast made.
2. O Comforter, to thee we cry,
Thou heavenly gift of God most high;
Thou font of life and fire of love,
And sweet anointing from above,
And sweet anointing from above.
Text and music © 2001, 2018, Chris Muglia. Published by Spirit & Song®, a division
of OCP. All rights reserved.
Set A Fire
No place I would rather be
No place I would rather be
No place I would rather be
Than here in Your love
Here in Your love
Set a fire down in my soul
That I can’t contain and I can’t control
I want more of You God
I want more of You God
CCLI Song # 5911299 Will Reagan © 2010 United Pursuit Music (Admin.
by Capitol CMG Publishing) For use solely with the SongSelect® Terms of
Use. All rights reserved. www.ccli.com CCLI License # 11431533
Penitential Act
Priest: (Brethren) Brothers and Sisters,
let us acknowledge our sins and so prepare
ourselves to celebrate the sacred mysteries.
You were sent to heal the contrite of heart,
Lord have mercy, (Lord have mercy)
You came to call sinners,
Christ have mercy, (Christ have mercy)
You are seated at the right hand of the Father to
intercede for us:
Lord have mercy, (Lord have mercy)
Gloria:
Glory to God in the highest, and on earth peace to
people of good will. We praise You, we bless
You, we adore You, we glorify You, we give You
thanks, for Your great glory, Lord God, heavenly
King, O God, almighty Father. Lord Jesus Christ,
Only Begotten Son, Lord God, Lamb of God, Son
of the Father, You take away the sins of the
world, have mercy on us; You take away
the sins of the world, receive our prayer;
You are seated at the right hand of the Father:
(have mercy), have mercy on us.
For You alone are the Holy One, You alone are
the Lord, You alone are the Most High, Jesus
Christ, with the Holy Spirit, in the glory of God
the Father. Amen.
Collect (Opening Prayer)
Liturgy of the Word
First Reading: Acts 2:1-11 (BBpg.175)
When the time for Pentecost was fulfilled, they were
all in one place together. And suddenly there came
from the sky a noise like a strong driving wind,
and it filled the entire house in which they were. Then there appeared to them tongues as of fire, which parted and came to rest on each one of them. And they were all filled with the Holy Spirit and began to speak in different tongues, as the Spirit enabled them to proclaim.
Now there were devout Jews from every nation under heaven staying in Jerusalem. At this sound, they gathered in a large crowd, but they were confused because each one heard them speaking in his own language. They were astounded, and in amazement they asked, “Are not all these people who are speaking Galileans? Then how does each of us hear them in his native language? We are Parthians, Medes, and Elamites, inhabitants of Mesopotamia, Judea and Cappadocia, Pontus and Asia, Phrygia and Pamphylia, Egypt and the districts of Libya near Cyrene, as well as travelers from Rome, both Jews and converts to Judaism, Cretans and Arabs, yet we hear them speaking in our own tongues of the mighty acts of God.”
The Word of the Lord Thanks be to God.
Responsorial Psalm:
PS 104:1, 24, 29-30, 31, 34
[R]. Lord, send out your Spirit, and renew the face of the earth.
Bless the LORD, O my soul!
O LORD, my God, you are great indeed!
How manifold are your works, O LORD!
the earth is full of your creatures. [R].
May the glory of the LORD endure forever;
may the LORD be glad in his works!
Pleasing to him be my theme;
I will be glad in the LORD. [R].
If you take away their breath, they perish
and return to their dust.
When you send forth your spirit, they are created,
and you renew the face of the earth. [R].
Second Reading: 1 Cor 12:3b-7, 12-13
Brothers and Sisters:
No one can say, “Jesus is Lord,” except by the Holy Spirit. There are different kinds of spiritual gifts but the same Spirit; there are different forms of service but the same Lord; there are different workings but the same God who produces all of them in everyone. To each individual the manifestation of the Spirit is given for some benefit.
As a body is one though it has many parts, and all the parts of the body, though many, are one body, so also Christ. For in one Spirit we were all baptized into one body, whether Jews or Greeks, slaves or free persons, and we were all given to drink of one Spirit.
The Word of the Lord Thanks be to God
Sequence
Come, Holy Spirit, come! And from your celestial home. Shed a ray of light divine!
Come, Father of the poor! Come, source of all our store! Come, within our bosoms shine.
You, of comforters the best; You, the soul’s most welcome guest; Sweet refreshment here below;
In our labor, rest most sweet; Grateful coolness in the heat; Solace in the midst of woe.
O most blessed Light divine, Shine within these hearts of yours, And our inmost being fill!
Where you are not, we have naught, Nothing good in deed or thought, Nothing free from taint of ill.
Heal our wounds, our strength renew; On our dryness pour your dew; Wash the stains of guilt away:
Bend the stubborn heart and will; Melt the frozen, warm the chill; Guide the steps that go astray.
On the faithful, who adore, And confess you, evermore In your sevenfold gift descend; Give them virtue’s sure reward; Give them your salvation, Lord;
Give them joys that never end. Amen. Alleluia.
Gospel Acclamation:
Alleluia, Alleluia, Alleluia
Come, Holy Spirit, fill the hearts of your faithful and kindle in them the fire of your love.
Alleluia, Alleluia, Alleluia
Gospel: Jn 20: 19-23
On the evening of that first day of the week, when the doors were locked, where the disciples were, for fear of the Jews, Jesus came and stood in their midst and said to them,
“Peace be with you.”
When he had said this, he showed them his hands and his side. The disciples rejoiced when they saw the Lord. Jesus said to them again, “Peace be with you. As the Father has sent me, so I send you.” And when he had said this, he breathed on them and said to them, “Receive the Holy Spirit. Whose sins you forgive are forgiven them, and whose sins you retain are retained.”
The Gospel of the Lord
Praise to You Lord Jesus Christ
Homily
Profession of Faith
The Nicene Creed
I believe in one God, the Father almighty, maker of heaven and earth, of all things visible and invisible.
I believe in one Lord Jesus Christ, the Only Begotten Son of God, born of the Father before all ages. God from God, Light from Light, True God from true God, begotten, not made, consubstantial with the Father; through him all things were made. For us men and for our salvation. He came down from heaven,
(Bow) and by the Holy Spirit was incarnate of the Virgin Mary, and became man.
For our sake he was crucified under Pontius Pilate, he suffered death and was buried, and rose again on the third day in accordance with the Scriptures. He ascended into heaven and is seated at the right hand of the Father. He will come again in glory to judge the living and the dead and his kingdom will have no end.
I believe in the Holy Spirit, the Lord, the giver of life, who proceeds from the Father and the Son, who with the Father and the Son is adored and glorified, who has spoken through the prophets.
I believe in one, holy, catholic and apostolic Church. I confess one Baptism for the forgiveness of sins and I look forward to the resurrection of the dead and the life of the world to come. Amen.
Universal Prayer: (Prayer of the Faithful)
Prayer to Saint Joseph Terror of Demon
Saint Joseph, Terror of Demons, cast your solemn gaze upon the devil and all his minions, and protect us with your mighty staff. You fled through the night to avoid the devil’s wicked designs; now with the power of God, smite the demons as they flee from you! Grant special protection, we pray, for children, fathers, mothers, families, for priests and religious and the dying. By God’s grace, no demon dares approach while you are near, so we beg of you, always be near to us. Amen.
Liturgy of the Eucharist
Preparation Song:
Spirit Song
Oh let the Son of God enfold you
With His Spirit and His love
Let Him fill your heart and satisfy your soul
Oh let Him have those things that hold you
And His Spirit like a dove
Will descend upon your life and make you whole
Jesus oh Jesus. Come and fill Your lambs
Jesus oh Jesus! Come and fill Your lambs
CCLI Song # 27824 John Wimber © 1979 Mercy / Vineyard Publishing (Admin. by Integrity Music) For use solely with the SongSelect® Terms of Use. All rights reserved. www.ccli.com CCLI License # 11431533
Preparation of Gifts:
May the Lord accept the sacrifice at your hands for the praise and glory of His name, for our good and the good of all His Holy Church.
The Acclamation: Sanctus/Holy
Holy, holy, holy, Lord God of Hosts,
Heaven and earth are full of your glory.
Hosanna in the highest.
Blessed is He who comes in the name of the Lord.
Hosanna in the highest.
Memorial Acclamation:
We proclaim Your Death O, Lord, and profess Your Resurrection, until You come again.
Amen, Lord’s Prayer, Sign of Peace
Lamb of God
Lamb of God, you take away the sins of the world,
have mercy on us. (2X)
Lamb of God, you take away the sins of the world,
Grant us peace.
Invitation to Communion
Lord, I am not worthy that You should enter under my roof, but only say the word and my soul shall be healed.
Communion:
Remembrance (The Communion Song)
1. Oh how could it be that my God would welcome me
Into this mystery. Say take this bread take this wine
Now the simple made divine for many to receive
By Your mercy we come to Your table
By Your grace You are making us faithful
Lord we remember You,
And remembrance leads us to worship.
And as we worship You
Our worship leads to communion
We respond to Your invitation. We remember You
2. See His body His blood know that He has overcome
Every trial we will face.
And none too lost to be saved, None too broken or ashamed. All are welcome in this place
Dying You destroyed our death
Rising You restored our life
Lord Jesus come in glory (4X)
Spirit and Fire
Can you hear the sound of angels sing?
As we lift our voice and the echoes ring
"Hallelujah, Hallelujah!"
Can you feel the rush of the mighty wind?
As the Spirit moves our hearts to sing,
Hallelujah, Hallelujah!
Hallelujah! Come, O come, Spirit and Fire.
Hallelujah! Come, o come, Spirit and Fire.
Spirit and Fire, our heart's one desire,
Holy Spirit come set our hearts on fire.
Spirit and Fire, our heart's one desire,
Holy Spirit come set our hearts on fire.
© 2010 Jojo Concepcion, Simple Praise! Music
Sending Forth:
They’ll Know We Are Christians
We are one in the Spirit, we are one in the Lord,
We are one in the Spirit, we are one in the Lord,
And we pray that all unity may one day be restored.
All praise to the Father, from whom all things come,
And all praise to Christ Jesus, his only Son,
And all praise to the Spirit, who makes us one.
Refrain; Peter Scholtes. Music: Peter Scholtes. Text and music © 1966, F.E.L. Publications, Ltd., assigned 1991 to the Lorenz Corporation. All rights reserved. International copyright secured. Used with permission.
Awake My Soul
Breathe on me breath of God breathe on me
Breathe on me breath of God breathe on me
I come alive I’m alive when You breathe on me
I come alive I’m alive when You breathe on me .
Awake, awake, awake my soul
God resurrect these bones
From death to life for You alone, Awake my soul.
Saint Michael The Archangel Prayer
Saint Michael the Archangel, defend us in battle.
Be our protection against the wickedness and snares of the devil. May God rebuke him,
we humble pray. And do thou, O Prince of the Heavenly Host, by the power of God,
cast into hell Satan and all evil spirits who prowl about the world seeking the ruins of souls. Amen.
Want to join our music ministry?
Email Jojo at firstname.lastname@example.org
Attention: Young Adults, Young Couples & Young Professionals
(Ages 18-25 & 25-40)
St Paul is forming New Young Adult Groups
Contact jojo: email@example.com
**MASS INTENTIONS & LITURGIES**
**Saturday, June 4, 2022 Easter Weekday**
- 7:30 am Dee Munster (✝) Fr. Ishaya
- 3:30 pm Confessions, Main Church Fr. Ishaya, Fr. Bitrus
- 5:00 pm Bob & Theresa Waugh (Intention), SAIHM Fr. Bitrus
**Sunday, June 5, 2022 Solemnity of Pentecost**
- 7:30 am People of the Parish (Intention) Fr. Ishaya
- 9:30 am Francis A. Vermette (✝) Fr. Bitrus
- 12:00 pm Iluminada Elar (✝) Fr. Ishaya
**Monday, June 6, 2022 The Blessed Virgin Mary, Mother of the Church**
- 7:30 am Donna Holmberg (✝) Fr. Ishaya
- 12:00 pm Virgil Passarelli (✝) Fr. Ishaya
**Tuesday, June 7, 2022 Weekday**
- 7:30 am Daniel Tirabasso (✝) Fr. Bitrus
- 11:30 am Confessions, Main Church Fr. Bitrus
- 12:00 pm Nora O'Brien (✝) Fr. Bitrus
**Wednesday, June 8, 2022 Weekday**
- 7:30 am Andrew Patti (✝) Fr. Ishaya
- 11:30 am Confessions, Main Church Fr. Ishaya
- 12:00 pm Jody Nguyen (Intention) Fr. Ishaya
**Thursday, June 9, 2022 Weekday; St. Ephrem, Deacon & Doctor of the Church**
- 7:30 am Sr. Regina Roba (✝) Fr. Ishaya
- 12:00 pm Deanna & Adam Lobaido (Intention) Fr. Bruno
**Friday, June 10, 2022 Weekday**
- 7:30 am Sr. Georgina Victor (Intention) Fr. Ishaya
- 12:00 pm Jeannette Pedraza (Intention), SAIHM Fr. Bill, CSC
**Saturday, June 11, 2022 St. Barnabas, Apostle**
- 7:30 am Sr. Mary Kiden (✝) Fr. Ishaya
- 3:30 pm Confessions, Main Church Fr. Bruno, Fr. Ishaya, Fr. Bitrus
- 5:00 pm Virginia Macaluso (✝), SAIHM Fr. Bill, CSC
*The Rosary will be prayed 20 minutes before daily Masses and 30 minutes before weekend Masses.*
**READINGS FOR THE WEEK**
| Day | Readings |
|-----------|--------------------------------------------------------------------------|
| Monday | Gn 3:9-15,20; Ps 87:1-3,5-7; Jn 19:25-34 |
| Tuesday | 1 Kgs 17:7-16; Ps 4:2-5,7b-8; Mt 5:13-16 |
| Wednesday | 1 Kgs 18:20-39; Ps 16:1b-2ab,4-5ab,8,11; Mt 5:17-19 |
| Thursday | 1 Kgs 18:41-46; Ps 65:10-13; Mt 5:20-26 |
| Friday | 1 Kgs 19:9a,11-16; Ps 27:7-9abc,13-14; Mt 5:27-32 |
| Saturday | Acts 11:21b-26, 12:1-3; Ps 98:1-6; Mt 5:33-37 |
| Sunday | Prv 8:22-31; Ps 8:4-9; Rom 5:1-5; Jn 16:12-15 |
**CAMPUS CALENDAR**
**Saturday, June 4, 2022**
- 6:00 am KofC #15001 Pilgrimage to Tonopah, ends 1 pm Courtyard
**Sunday, June 5, 2022**
- 8:00 am K of C #15001 Donuts Sunday, ends 12 pm Courtyard
**Monday, June 6, 2022**
- 6:30 pm Rosary for the USA, ends 7:00 pm Chapel
**Tuesday, June 7, 2022**
- 6:00 pm Guard. Of the Blessed Sacrament, ends 7 pm Rms. 5/6
**Wednesday, June 8, 2022**
- 9:00 am Night Owls AZ Quilters Guild, ends 3 pm Conf. Ctr.
- 10:40 am Legion of Mary, ends 11:40 am Library
**Thursday, June 9, 2022**
- 6:00 am Men of Christ, ends 7:30 am Rms. 5/6
- 7:00 pm Boy Scouts Troop 916 Meeting, ends 9 pm Conf. Ctr.
**Friday, June 10, 2022**
**Saturday, June 11, 2022**
- 8:15 am Pastoral Care Liturgical Training, ends 9:15 am Rms. 5/6
- 1:00 pm Mats for the Homeless, ends 3 pm Rm. 10
**PARISH MINISTRY CONTACT INFORMATION**
- **Baptismal Registration:** Call the office for Baptismal Package
- **Bulletin In Charge:** Joe Castellarin (Interim)
- firstname.lastname@example.org
- **Bulletin Articles are due by email or on paper on Thursday, Ten (10) Days Prior to Sunday. Send to:** email@example.com
- **Event Scheduling:** Salina Villanueva
- Ext. 110 firstname.lastname@example.org
- **Family Faith Formation Registration/Inquiries:** Craig Cullity
- Ext. 113 email@example.com
- **Funeral Arrangements:** Sr. Georgina Victor
- Ext. 121 firstname.lastname@example.org
- And Dr. Sue Moravec, PharmD
- Ext. 121 email@example.com
- **Safe Environment Training and Renewals:** Joe Castellarin
- firstname.lastname@example.org
- **Liturgy & Social Media Communications:** Dr. Sue Moravec, PharmD
- Ext. 121 email@example.com
The gifts of the Holy Spirit evolved into a sacrament, which is defined as an outward sign of an inward grace; a recipient of the sacrament of confirmation, therefore, avails himself or herself of the seven gifts of the Holy Spirit: wisdom, knowledge, piety, fear of the Lord, understanding, counsel, and fortitude.
1. **Wisdom**: helps us to see things from God’s point of view; and it gives us the ability to act and relate with God with a clear conscience (Rom 11:13).
2. **Knowledge**: through which the will of God is revealed and humanity empowered to deepen a relationship with God and neighbors (Jer 29:11).
3. **Piety**: helps us to love God, our merciful Father, and to embrace His teaching out of love for Him. Attention shifts from mere routines to a deeper relationship with God who loves unconditionally (Jn 15:15).
4. **Fear of the Lord**: implies obedient submission to the will of God, as the Creator and initiator of human redemption. Humanity is incapable of existing without Him; and therefore, we need to cooperate with Him, in order not to tarnish the main source of our grace (Lk 12:27).
5. **Understanding**: brings into limelight the mysteries God is revealing through our faith; and in return we are expected to respond accordingly (Jer 24:7).
6. **Counsel**: assists us in discerning what is right from what is wrong; and to further differentiate between God’s action from devilish encroachment (Mt7:13-14).
7. **Courage** (Fortitude): makes us to stand for what is right and good in the sight of God and humanity, in order to live our lives as witnesses to the ageless revealed truth (Lk 21:12-17) (aleteia.org).
However, six sins against the Holy Spirit according to Pope Pius X are:
1. **Despairing of Salvation**: loss of hope, feeling condemned before judgment, belittling divine mercy, not trusting power and justice of God.
2. **Presumption of Salvation**: an idea of self perfection, being prideful, guaranteed salvation by what he or she has done.
3. **Denying a Truth**: acknowledged by the magisterium, when one denies truthful deposit of faith after an exhaustive explanation, it is heretical; he or she feels his understanding is greater than that of the Church and the tutorship of the Holy Spirit on mentoring the magisterium.
4. **Envying the Grace that God gives to other People**: a sense of discontent over someone’s success, even if one is able to acquire it someday. It is not desiring good of a neighbor; this tendency makes one the judge of the world; going against Divine Will and revolting against being a good neighbor.
5. **Obstinacy in Sin**: a determination to remain in darkness after receiving the light of the Holy Spirit; whence one sets standard and criteria for moral judgment and thereby distances himself from God and His salvation.
6. **Final Impenitence**: A life that rejects God; when one remains in error to the end; it is liken to one who initiates his life to the devil; even at the point of dying such a person may not approach God with humility; he may not be open to the invitation of the Holy Spirit (Six Sins Against the Holy Spirit aleteia.org).
Welcome to the celebration of Pentecost. All our lessons about Jesus come together on this very special day. From His birth, a baby, where He lay in a manger, as He grew, He stayed back in the temple to talk with the elders then He was taught to be a carpenter by His father Joseph. Jesus performed His first miracle at the wedding in Cana and moved on to His public speaking about the Kingdom of God. Jesus rode into Jerusalem on a donkey while people waved palm branches. Jesus commissioned His apostles as priests on Holy Thursday and gave His body and Blood in Holy Communion. Jesus knew, what He had to do, to save the world. Jesus was hung on a wooden cross for three agonizing hours before He died. On Easter morning the earth shook, and the stone was rolled away. Jesus was not there. Forty days later, Jesus ascended into heaven to prepare a place for all those who love God. Jesus told the Apostles to return to Jerusalem and wait for the Advocate. Nine days later, Jesus appears to the Apostles and brings them out of fear as He blesses them with the gift of the Holy Spirit. That’s what we celebrate today, Pentecost. Continue to pray for our children who will be receiving the sacrament of First Reconciliation, and those receiving First Communion and Confirmation during this month.
Pastoral Care Training - June 11
Ministers for the Pastoral Care Ministry must attend Training on Saturday, June 11th, from 8:15 am to 9:15 am, in Rooms 5/6.
Ed Slott, America’s IRA Expert, presents Retirement Planning in a Changing Landscape
Ed Slott, CPA is a nationally recognized speaker, television personality & best-selling author known for his unparalleled ability to turn advanced tax strategies into understandable, actionable and entertaining advice. Ed combines current research, in-depth expertise, and humor to teach viewers about the ins and outs of their retirements and provides insight to the latest tax and planning information.
You are invited to join our free virtual webinar featuring Ed Slott. Ed specializes in the latest retirement planning strategies and opportunities for 2022. Register today to reserve your spot.
May 26: 9:00 PM EDT: https://tinyurl.com/SlottMay26
June 23: 9:00 PM EDT: https://tinyurl.com/SlottJune23
Magnificat Luncheon
Come and Join Us,
Time: 11:15-2:30 - on June 11, 2022
Where:
Sts. Simon and Jude Cathedral
6352 N. 27th Ave.
Phoenix, AZ 85017
Registration-$18.00
Registration through Eventbrite—search for Magnificat Luncheon
Our speaker
Rita Morton, Co-Coordinator for Magis Women and Coordinator for Sacred Sorrows
Registration ends June 7, 2022
Contact information for registration
make checks payable to Phoenix Magnificat; include your email address and mail to: Esther Ramirez, 10604 N. 53rd Ave., Glendale, AZ 85304
MATS FOR THE HOMELESS
We are running out of plastic bags to make mats for the homeless. Please bring your grocery plastic bags in the office to help us make more mats.
God Bless you and we thank you!
Our members meet on the 2nd Saturday of the month from 1-3 pm in Room 10. Please join us!
CALLING ALL ADVERTISERS
Whenever you see an advertiser supporting our bulletin, please know that they are playing a key role in the finances of our parish. Their support means we do not have to pay for the printing or shipping of our weekly bulletin.
Why not advertise your business and reach out to our parishioners?
Call Claudia Borders at 520-298-1265
FRIENDS IN NEED OF OUR PRAYERS
- Michelle Montinari
- Harold Rotteger
- Margaret O’Brien
- Mary Ann Agnes
- Curtis Luchsinger
- Fr. Joy Vargas
- Arnold Moore
- Maddalena Pentkowski
- Kimberly Kapinski
- Philomena Ekeinde
- Rick Spurgis
- Mary Ann Dube
- Robert Gomez
- Ida Alonge
- Kathy Thielen
- Larry Manion
- Carmel Gioglio
- Mildred Rowe
- Jackie Ignacio
- Lorrane Lucas
- Maura Lenz
- Sanda Alonge
- Janice Whetlorn
- Dube Family
- Ginny Shaffery
- Connie Green
- Pat Cummings
- Jon Gordon
- Doug Davy
- Robert LaLonde
- Bernadine Astesana
- Lisa Glaughlin
- David Cooper
- Kathy Williams
- Rose Buchanan
- Teresa & Family
- Brian Vergara
- Terra Billingsley
- Greg Pentkowski
- Mercy Rodriguez
- Gilbert Bracamonte
- Jan Luchsinger
- Christine Gatewood
- Fr. Bitrus Maigama
- Jay O’Brien
- Aurora Weatherford
- Rhonda Bensfield
- Judy Lawrence
- Martin Ancona
- Jon Nelson
- Dr. Rebecca Cairo
- Betty
- Julie Del Brocco
- Tillie Nortz
- Linda Chavez
- Mary
- Steve Engstler
- Tess Lorenzo
- Rachel Kozera
- Roxanne
- Theresa Waugh
- Jim Bensfield
- Karen Granera
- Henry Kreutzbarg
- Bethany
PORTERs of SAINT JOSEPH
Protecting & Defending Our Faith, Our Community & Our Church Home
Recent attacks on the Catholic Church by protestors such as SatanCon, Abortion Rights Groups and others have given rise to a Diocese wide effort to “Protect & Defend the Blessed Sacrament, Our Faith, Our Community & Our Church Home.” Click here of the image below https://portersofstjoseph.org/
TEXT: PoSJ to 602-339.3357 include your Name, eMail and Cell Phone Number
Our Church campus is currently being assessed for our specific security needs. Meetings to begin soon and professional training will be provided by police and security experts.
"BOTH THE DEVIL AND SATAN ARE WAGING A FIERCE BATTLE AGAINST MASCULINITY AND FATHERHOOD IN OUR DAY" — BISHOP THOMAS OLMSTED
Thank you for your support of St. Vincent de Paul’s 5th Sunday Collection
Your generosity and compassion have helped the increasing families who need assistance with rising rent, utilities, food and other urgent expenses.
SUMMER SCHEDULE
All Daily Masses, except Friday Noon, will be in the Chapel. Confessions remain in the Church.
An Invitation to Pray the Rosary for The United States of America
JOIN US on Mondays at 6:30 pm in the Chapel Invite your family, friends and neighbors.
Thank you to all our dedicated parishioners who continue to gift the parish by mail or by office drop-off. Your contributions to St. Paul’s are greatly appreciated.
Thank You for your Generosity and Faithful Giving.
Plate Collection for the Weekend of May 29, 2022
| Mass Offertory | $ 6,629 |
| Envelopes Received in Office | $ 1,424 |
| Online Giving | $ 6,875 |
| Total Plate Offering | $ 14,928 |
| Debt Offerings Mass + Office | $ 5 |
| Debt Reduction Online Giving | $ 1,319 |
| Total Debt Reduction Offering | $ 1,324 |
| Capital Offerings Mass + Office | $ 10 |
| Capital Project Online Giving | $ 1,216 |
| Total Capital Project Offering | $ 1,226 |
Retrouvaille (retro-vi) simply means 'rediscovery'.
This Catholic program presents the opportunity to rediscover yourself, your spouse, and a loving relationship in your marriage. It is a live-in weekend and post-weekend program for married couples, with an emphasis on a technique of communication between husband and wife.
A series of in-depth presentations are given by one of three married couples and a priest, focusing on a specific area of a marriage relationship. You will be encouraged to put the past behind you and begin 'rediscovering' one another again.
Our Next Program in Phoenix:
June 24-26, 2022
(Registration ends June 20th)
For a confidential inquiry,
please email us at firstname.lastname@example.org
or visit us at helpourmarriage.org
St. Paul’s Knights of Columbus Council 15001 wishes to express its utmost thanks to the St. Paul’s parishioners for their recent support of the charitable raffle, which grossed $12,612 in sales.
One-half of these funds are forwarded to our Knights of Columbus State organization, and are distributed to Arizona Special Olympics, the annual Arizona Rosary Celebration, and others.
Our local Council earmarks the other half of the funds as follows:
$1,500 to the Sunshine Soccer League for Handicapped children
$1,500 to the Phoenix Diocesan Seminary (includes $500 from Women’s Guild)
$1,000 to the Women’s Life Choices Clinic
$1,000 to the Poor Clare Nuns of Tonopah
$500 to Boy Scouts Troop #916
$581 to the St. Paul’s Chapter of SVdP
$500 to GCU Newman Center
Est. $300 to NAU Newman Center
Est. $300 to ASU Newman Center
Do you have pain?
St. André INNER HEALING Ministry
Join us:
Fr. Bill Faiella, CSC Psy.D. & Fr. Mike Couhig, CSC
Everyone experiences pain; it is part of life. It is how you deal with it that can actually transform your pain, (anxiety, worries, mistakes, struggles, sickness, problems, etc.) into a fruitful and peaceful inner healing. As you are transformed, you will experience the deep loving relationship with Jesus.
Learn and practice Catholic silent prayer as pathway for forgiveness, healing and gratefulness.
Every Friday at Daily Noon Mass
It is true that we make many mistakes. But the biggest of them all is to be surprised at them: as if we had any hope of never making any. Mistakes are part of our life, and not the least important part. It is by making mistakes that we gain experience, not only for ourselves but for others. —Thomas Merton
Come & Receive Healing from Our Savior!
Pentecost Sunday, June 5, 2022
St. Joseph Catholic Church, 11001 N 40th St.
Phoenix, AZ 85028
Jesus is Lord
FELLOWSHIP
MASS
Concelebrants: Fr. Frank Bartel and Fr. Reggie Carreon
2:30 PM - Praise and Worship
3:00 PM - Mass
For more information call Theresa Clavecilla - 909-896-9739 or Marge Chavez - 480-201-6691
St. Joseph Music Ministry
Ron and Theresa Clavecilla
Sponsored by CRM
Get this weekly bulletin delivered by email - for FREE!
Sign up here:
www.jspaluch.com/subscribe
Courtesy of J.S. Paluch Company, Inc.
Protecting Seniors Nationwide
Medical Alert System
$29.95/Mo. billed quarterly
• One Free Month
• No Long-Term Contract
• Price Guarantee
• Easy Self Installation
Toll Free 1.877.801.8608
Call Today!
Grow Your Business, Advertise Here.
Support Your Church & Bulletin.
Free professional ad design & my help!
email: email@example.com
www.jspaluch.com
Call Claudia Borders
800.231.0805
THE DELONG GROUP
TERRA BILLINGSLEY
REALTOR | 602.625.0342
firstname.lastname@example.org
Selling: Call for a free valuation.
Parishioners: I will contribute 25% of my commission from your deal toward 40DAYSFORLIFE.
TOP 1% REAL ESTATE TEAM
Kevin M. Peck, DDS
Hillary K. Peck, DDS
Parishioners
14640 N. Tatum Blvd #10
602-867-1398
Catholic Cruises and Tours and The Apostleship of the Sea of the United States of America
Take your FAITH ON A JOURNEY.
Call us today at 860-399-1785 or email email@example.com
www.CatholicCruisesandTours.com
LIVING TRUSTS & WILLS
Preserve Your Legacy.
RJP ESTATE PLANNING
Call Today 480.346.0361
rjpestateplanning.com
Schedule your FREE consultation or attend a workshop.
• Ask for Parishioner Discount
• Catholic Owned & Operated
If You Live Alone You Need MDMedAlert!
24 Hour Protection at HOME and AWAY!
✔ Ambulance ✔ Police ✔ Fire ✔ Friends/Family
FREE Shipping FREE Activation NO Long Term Contracts
Solutions as Low as $19.95 a month
CALL NOW! 800.809.3352
This Button SAVES Lives!
As low as 19.95/mo.
Lower Price is Guaranteed!
GPS Tracking w/Fall Detection Nationwide, No Land Line Needed
EASY Set-up, NO Contract
24/7 365 Monitoring in the USA
ONE PARISH
Grow in your faith, find a Mass, and connect with your Catholic Community with OneParish!
Download Our Free App or Visit www.MY.ONEPARISH.com
LA SIENA
AN SRG SENIOR LIVING COMMUNITY
Independent and Assisted Living Residences
909 East Northern Avenue
Phoenix, AZ 85020
Call today (602) 626-9593
SRGseniorliving.com
Your comfort. Our privilege.
FINDaPARISH.com
Check It Out Today!
The Most Complete Online National Directory of Catholic Parishes
For Ads: J.S. Paluch Co., Inc. 1-800-231-0805
|
BUILDING AN ALL-WAVE THREE
Practical Wireless
Vol 22. No. 484. || Editor: F. J. CAMM || OCTOBER, 1946
A TWO-VALVE
ALL-DRY PORTABLE
PRINCIPAL CONTENTS
New Midget Valves
Points for S.W. Constructors
More About "Phase" in Amplifiers
Frequency Modulation
Radio Amateurs' Examinations
Crystal I.F. Filters
Battery L.F. Amplifiers
Analysis of the Television Receiver
The Universal AvoMinor
Electrical Measuring Instrument
A small but highly accurate instrument for measuring A.C. and D.C. voltage, D.C. current, and also resistance. It provides 22 ranges of readings on a 3-inch scale, the required range being selected by plugging the leads supplied into appropriately marked sockets. An accurate moving-coil movement is employed, and the total resistance of the meter is 200,000 ohms.
The instrument is self-contained for resistance measurements up to 20,000 ohms, and, by using an external source of voltage, the resistance ranges can be extended up to 10 megohms. The ohms compensator for incorrect voltage works on all ranges. The instrument is suitable for use as an output meter when the A.C. voltage ranges are being used.
Supplied complete with leads, testing prods, crocodile clips and instruction booklet.
Size: 4\(\frac{1}{2}\)'' x 3\(\frac{1}{2}\)'' x 1\(\frac{1}{2}\)''. Nett weight: 10 ozs.
Sale Proprietors and Manufacturers —
AUTOMATIC COIL WINDER & ELECTRICAL EQUIPMENT CO., LTD,
Winder House, Douglas Street, London, S.W.1 Phone Victoria 3404-8
ARE YOU A ONE ROOM RADIO LISTENER?
Now that Stentorian Extension Speakers are coming back to the shops the pleasure of listening again becomes complete. Just plug in one of these superb permanent magnet speakers to your set and you can enjoy its clean, pure tone anywhere in the house; sitting-room, kitchen, bedroom, wherever you happen to be. Supplies are still short, but a Stentorian is worth looking for. Ask your local dealer about them.
Stentorian
THE PERFECT EXTRA SPEAKER FOR ANY SET
WHITELEY ELECTRICAL RADIO CO. LTD., Mansfield, Notts.
The Passing of the R.M.A.
THE Radio Manufacturers' Association, which has served the industry well for so many years, was finally dissolved on July 26th, 1946, at a meeting whose purpose was to pass the resolutions necessary to give final effect to the reorganisation of the Radio Industry Manufacturing Association under the name of the Radio Industry Council, and to make legal transference of the functions, assets and liabilities of the R.M.A. to the new Council.
This course was decided upon at the Annual General Meeting of the R.M.A. on June 2nd, 1944, and the action now taken is the final step required to hand over to the Radio Industry Council the work previously performed by the R.M.A. Everyone hopes that the new Council will function as satisfactorily as the old association.
The first Secretary and Treasurer of the R.M.A. was Mr. D. G. Strachen, who resigned some time ago.
The R.M.A. was, of course, responsible for staging the succession of wireless shows known to the public as Radiolympia. It had been known for a long time that the R.M.A. had outgrown its period of usefulness, since it was still functioning on lines laid down in the early days of radio. It had, as a fact, become slightly out of step with the times. Whilst we have not always agreed with the attitude of the R.M.A., which in some cases bordered on dictatorship, we readily admit that it laid the foundations of the industry, evolved conditions of fair trading, and did its best to purge the industry of the quacks, the charlatans, the bearded "scientists," and the schoolboy technicians who obtained posts in firms as designers merely on the strength of having once built a crystal set. No wonder that some of the early commercial receivers built by firms who were led by the nose by these schoolboy designers were so unsatisfactory. Little wonder, too, that those firms are now no longer in existence.
When the first issue of this journal went to press on September 24th, 1932, the R.M.A. did not welcome our entry into the field of radio journalism exactly with open arms, notwithstanding the clean editorial policy on which the paper was founded, and which has been the guiding principle in the conduct of the journal ever since. We did not design this journal around a group of advertisements whose goods were specified in articles describing receiver construction. We designed the receivers to give satisfaction to our readers, and we specified only those parts which we had actually used in the original design. There were no alternatives. Moreover, we guaranteed our receivers under a free service guarantee to fulfil the claims we made for them. It would be thought by reasonable people that this policy would have been supported by an industry which had been complaining for years about alternative specifications, and whose goods were not specified unless they were supported by advertisements. It took some time, however, for the industry to make up its mind that this journal intended to stand on its policy and that it was not just an advertising sheet. It has stuck to that policy ever since, and the rightness of it is demonstrated by the fact that, except for one esteemed contemporary, all of the other journals catering for the experimenter and the amateur have ceased publication.
It has been our duty since 1932 frequently to criticise the R.M.A., and we like to feel that we have played our part in showing the way which has led to its reformation under an entirely new regime.
We wish the new Council success and long life.
First Post-War Radiolympia
ONE of the first decisions reached by the new Radio Industry Council was to hold the first post-war Radiolympia in late September or early October, 1947. Negotiations are now being made for a tenancy of Olympia in the autumn of 1947 for this purpose.
The radio industry has thus not got off the mark so quickly as other industries which have either held exhibitions already or intend to do so before the autumn of 1947.
Needless to say, our readers will have an opportunity of visiting us at the 1947 Radiolympia, where our stand will display a full range of our technical books and blueprints as well as copies of this journal.
Television Possibilities
Brig. Gen. David Sarnoff, president of the R.C.A. and chairman of the National Broadcasting Company, during his recent visit to this country, said that internal television installations giving shoppers the opportunity of viewing various departments of a store, and factory managers being able to tour their works by television, would soon be in their offices were now possible. He stated that the number of television receivers in the U.S.A. was about 15,000, two-thirds of these being in New York City. He added, "Colour television will mean a change in the entire system as we know it at present, and it will probably come in the next phase of development, in about five years."
M.B.E. for Philips Scientist
Dr. K. E. Latimer M.I.E.E., of the Philips Group, has been awarded the M.B.E. He served in H.M.S. Vixen for nine months, 1940-41, and later served in Iceland for a time.
Dr. Latimer joined the Philips Group later in 1941, where he worked mostly on H.M. Anti-submarine Experimental Establishment Contracts. He is now in charge of the newly-formed Link Development Laboratory. The award of the M.B.E. was made to Dr. Latimer in respect of his services to the country during the war. These include the period during which he was in the Navy and for the work he did at the Philips Laboratories.
In this equipment the standard cine film is projected direct into the television camera. The film is used as a fill-in in broadcast plays, etc. Trainee Mrs. Dorothy Jones is operating the apparatus.
Radio in Every Room
In addition to the Grosvenor Hotel installation mentioned in our issue, Bournemouth hotel was recently supplied with 71 loudspeakers, each fitted with a switch for the Home or Light programme, the receiver and amplifiers operating from a room in the basement of the hotel and controlled by a time switch. The installation was carried out by Signals Radio and Electronics of Bournemouth, who are now installing 150 speakers in another hotel.
Two Appointments to the Board of Radio and Television Trust
Air Vice Marshal Robert Stanley Aitken, C.B., C.B.E., M.C., A.F.C. and U.S. Legion of Merit, Vice-president of the British Institute of Radio Engineers, has been appointed to the Board of Radio and Television Trust Ltd. as a director.
In his new post, Air Vice Marshal Aitken will be occupied with general administrative matters for the RadioTel Group. The group of companies consists of Philco Radio and Televised Corporation of Great Britain, Ltd.; Radio Service, Ltd.; Airwave International Sales, Ltd.; P.R.T. Laboratories, Ltd.; Britannic Electric Cable and Construction Co., Ltd.; British Mechanical Productions Ltd.; General Accessories Co., Ltd.; and Hopkinson Motors and Electric Co., Ltd.
Air Vice Marshal Aitken retired from the R.A.F. on July 19th at the age of 50. He had had a long and distinguished career with the Royal Air Force, joining the Royal Flying Corps as a pilot from the Royal Garrison Artillery in 1916. Throughout the greater part of the last war he was a fighter pilot, but after the war in 1916, having lost his former rank as a Garrison Artillery officer, he became an artillery co-operation pilot. Since 1921 he has specialised in signals, and subsequently Radar, for the R.A.F.
Appointed British Air Attaché to China in 1938, he returned to Gt. Britain in 1940. He then became Chief Signals Officer, Fighter Command, which post he held until 1941. From then until 1943, he held the post of Air Officer Commanding No. Signals Radar Group. From that date until he served in the North African and Mediterranean areas as Air Signals Officer of the Mediterranean Allied Air Force. Throughout the whole of his Service experience he remained an active pilot.
Following VE-Day, he went to Cairo to become Chief Signals Officer, Mediterranean and Middle East Command of the R.A.F., until his recent retirement.
Radio and Television Trust Ltd. also announces the appointment to the Board of Mr. B. Hallows Gardise, M.I.E.E. and member of the Association of American Electrical Engineers. Mr. Gardise is the managing director of Hopkinson Motors and Electric Co. Ltd. and the Britannic Electric Cable and Construction Co., Ltd. both of which are subsidiaries of the RadioTel Group.
Rola Speaker Servicing
The repair, reconditioning and overhaul of Rola Speakers is now being undertaken by Speaker Services, Ltd., of Chelsea. This company has been newly formed especially to carry out this Rola service, and has as its managing director, Mr. W. T. Maynard, who for 15 years was works director of British Rola, Ltd.
Communication Convention
The I.E.E. is holding a Radio-Communication Convention from March 25th to 29th, 1947. Papers to be read will refer particularly to wartime developments and their peacetime applications.
Servicing Examinations
THERE were 68 entrants for the Radio Servicing Certificate Examination of the Radio Trade's Examination Board held in May, and of these 44 passed the entire examination, six passed the written section and nine passed the practical tests.
Broadcast Receiving Licences
STATEMENT showing the approximate numbers issued during the year ended June 30th, 1946:
| Region | Number |
|-------------------------|----------|
| London Postal | 2,026,000|
| Home Counties | 1,351,000|
| Midland | 1,514,000|
| North Eastern | 1,607,000|
| North Western | 1,418,000|
| South Western | 893,000 |
| Welsh and Border | 617,000 |
| **Total England and Wales** | **9,489,000** |
| Scotland | 1,027,000|
| Northern Ireland | 155,000 |
| **Grand Total** | **10,671,000** |
Airmec Board
MR. LAURENCE D. BENNETT, chairman of Radio and Television Trust, Ltd., is giving up the joint managing directorship of Airmec, Ltd., Alberto shared with Mr. E. M. Benjamin but continues as group chairman and chief executive of the RadioTel Group.
On October 1st, Mr. J. Vivian Holman, A.F.R.Ae.S., M.I.Ae.S. became joint managing director of Airmec, Ltd., with Mr. Bennett.
Mr. Holman, who recently resigned as manager of the Aeronautical Section of the Sperry Gyroscope Co., Ltd., is also joining the boards of Airmec International Sales, Ltd., Philco Radio and Television Corporation of Gt. Britain, Ltd., and P.R.T. Laboratories, Ltd.
Having spent a working lifetime in aviation, Mr. J. Vivian Holman is well aware of the aeronautical industries here, and of the Continent, Europe and the U.S.A. He served in the R.F.C. and the R.A.F. in the first world war, and ceased active service in 1928. He then joined the De Havilland School of Flying as instructor, and later Cirrus Aero Engines, Ltd. as assistant sales manager, and later held the position of sales manager and test pilot up to 1932.
Mr. J. Vivian Holman then rejoined the De Havilland Aircraft Co. and was closely concerned with the introduction of the controllable pitch airscrew. He later resigned to join the Lockheed Hydraulic Brake Co. as manager of the Aeronautical Products Division. In 1938 he joined the Sperry Gyroscope Co., Ltd., and was in charge of all aeronautical sales. He became general manager of the Sperry Gyroscope Co.'s Western Division Factory, Glos., in 1940, relinquishing that position in 1942 and returned to the London office as manager of the aeronautical division.
He made an extensive tour of American aircraft industry, 1942-3. He has had 3,000 hours Service instruction and test flying. He is the holder of the Polish Air Force Honorary Pilot's Badge for services to the Polish Air Force during the war. He is a member of The Guild of Air Pilots and Air Navigators of the British Empire, and a member of the executive committee of the Air League of the British Empire.
Ekco Experts Back
JUST back from Germany are two Ekco Technical Experts—Mr. E. B. Greenwood of the Radio Division, and Mr. J. Hanaway of Lighting Division. Their reports to the British Intelligence Objectives Sub-committee have been submitted and will be published later, with those from other members of the Industrial Team.
An All-wave Three
Constructional Details of a Simple Battery-operated Set for All Wavelengths from 10 Metres Upwards
As the circuit in Fig. 1 shows, this is a detector-L.F.-pentode arrangement with band-pass tuning on long and medium waves but only a single tuned circuit for the short-wave range. As a result, the selectivity is as high on long and medium waves as with a H.F.-detector-pentode circuit, while on short waves there is considerably more volume than with the latter arrangement. In consequence the receiver performs very well on all wavelengths. So that the short-wave frequencies tumble are not limited, plug-in coils are used on this range, and the receiver will function well down to 10 metres.
In the L.F. part of the circuit a volume control and top-cut control are fitted, the latter being useful to remove resonant high-pitched interference as well as for its usual purpose. A switch to change from speaker to 'phones is also used (this is not shown in the circuit, but in the wiring diagram) for listening to very weak stations.
Ample decoupling assures stability. To avoid any trouble due to resonant peaks over the frequencies tuned a resistor is included in series with the high-frequency choke.
Panel and Baseboard
The panel layout will be seen in Fig. 5; 12 in. by 8 in. is a suitable size, although this may be adjusted to fit a cabinet available. The baseboard is of similar size; 3-ply is used for the latter and it is fixed 1½ ins. above the lower edge of the panel to leave room for the switches and trimmer and wave condenser. The rear of the panel should be covered with screening foil before any of the parts are secured to it; the foil is taken across the baseboard also, leaving the section of the panel below unscreened which permits the 'phone-speaker switch, included in the H.T. circuit, volume control, etc., to be mounted upon the bare wood.
The components shown in Fig. 2 are now screwed in position as depicted, paying particular attention to the short leads which will be necessary in the detector circuit for best results.
The gang condenser is mounted back from the panel to allow sufficient for a good quality reduction dial and dial. To shorten wiring the wave-change switch is similarly positioned, either by mounting on a plate bolted to the condenser or to a component bracket. A coupling and length of ¾ in. rod extends the spindle as necessary. To assist in tuning to high frequencies on the S.W. ranges the trimmer of the octal section of the gang condenser is removed and subsequently connected across the long- and medium-wave detector coil.
The reaction condenser and controls below the baseboard are fixed permanently to the panel in the position shown in Figs. 2 and 3.
The detector valve holder is raised about 2½ ins. so that its connecting tags come above the wave-change switch to shorten wiring. The rear octal holder is for coils and is fixed 1½ in. by means of bolts. When fixing, position the keyswitch as shown.
Baseboard holders are used in the L.F. section of the receiver, these being right to the edge of the base with the L.F. transformer between. Although a decoupling condenser with three 1 mfd. sections is used, three separate components could be used instead.
The Coils
The well-known plug-in coils are used for short waves and if any other make is employed instead, connections must be changed accordingly. If home-made coils are used, the manufacturer's instructions should be followed so that no error arises. If care is taken with the wiring and a tuning condenser with low minimum capacitance used the smaller coil will enable the 10 metre band to be tuned, when many amateurs will be heard.
Any type of coil may be used for long and medium waves, those shown being Wearite. One coil is fixed...
to the panel, as shown in the illustration. The particular connections for the coils used must be followed, any unnecessary primary or reaction windings being ignored. Unscreened coils are suitable although screened, iron cored coils naturally provide slightly better results.
**Fig. 4.—Details of the switch wiring.**
If the baseboard is not covered with foil the can of the rear coil must be earthed by a convenient lead.
**Wiring the Switch**
This should present no difficulty if Fig. 4 is examined. A small soldering iron will be necessary and the detector valve holder may be temporarily removed to facilitate connections. Commencing with section 1 on the switch, the first contact is taken to the S.W. primary and the second and third to the band-pass coil primary. Section 2 is wired so that when the switch is in the central position the long-wave winding of the band-pass coil is shorted out mechanically. Section 3 connects the detector anode to the short-wave coil in its first position; in both second and third positions the anode is switched to the reaction winding on the second band-pass coil. Section 4 shorts the other band-pass coil in its central position for medium-wave reception. Section 5 connects the grid condenser to the short-wave coil in its first position; both second and third positions connect to the band-pass grid coil.
Section 6 is left blank because only a 3-pole 3-way switch is required. If the other sections are wired one at a time as in Fig. 4 no error should arise.
**Other Wiring**
Fairly stout tinned-copper wire is used for all connections in the receiver, insulation being added where wires may touch each other or the foil. Leads in the tuned circuits should be short, and this is best attained by running the wires as shown in Fig. 2.
The band-pass coupling capacitor and the short-wave coil is suspended in the wiring. The band-pass coupling capacity is obtained by twisting together two insulated wires for about 1in. of their length.
Battery leads are made from flex and taken down through the baseboard. Other leads which pass through the baseboard are connected as in Fig. 3. Here, the left-hand switch is the on-off switch and the right-hand one 'phone-speaker switch, the headphones and speaker being connected to the four terminals on the strip to the left of the base. The right-hand variable potentiometer controls the tone and the potentiometer to the left the volume. Figs. 2 and 3 make these connections clear.
**Fig. 2.—Above chassis wiring of the All-wave Three.**
Above the baseboard the aerial connection is taken to a terminal fixed upon an insulated strip near the detector. If an earth is used it is taken to grid bias positive.
**Adjusting**
Upon setting the switch to the medium-wave (central) position and switching on, stations should be received when the tuning and reaction controls are adjusted. The band-pass coils should then be trimmed in the usual way by having one trimmer fully opened and the other screwed down until further increase of capacity decreases volume. The band-pass coupling capacity may then be adjusted to reach the desired compromise between selectivity and volume on both medium and long waves. The circuits should be trimmed on a wave section with the reaction control near the oscillation point.
**LIST OF COMPONENTS**
**FIXED CONDENSERS:** Three 1 mfd., two .02 mfd., one .0003 mfd., one .00005 mfd. for band-pass coupling (see text).
**VARIABLE CONDENSERS:** Two-gang .0005 mfd., one .0003 mfd. PRE-SETS: Two .00005 mfd. trimmers, one .0003 mfd.
**RESISTORS:** One 3 megohm, one 5 megohm potentiometer, one 50,000 ohm, one 25,000 ohm variable, two 10,000 ohm, one 1,000 ohm.
Premier short-wave coils and holder.
Band-pass or similar coils for long and medium waves, with reactance.
One 4-pin and one 5-pin low-loss octal baseboard holders.
High-frequency choke.
Low-frequency transformer for direct coupling.
On-off switch.
5-pole, 3-way switch.
Single-pole, double-throw switch.
High-level reduction drive; knobs, etc.
Valves: Mazda HL23, Osram HL2, Cassor 220HPT (or similar types).
On short waves there is no trimming, but the .0001 mfd. condenser should be adjusted to remove any dead-spots caused by a long aerial. For all-wave reception a high wire, clear of all walls, etc., about 30ft. long is most suitable. Other short-wave coils may be inserted in the rear holder as desired.
**NEWNES SHORT-WAVE MANUAL**
6/-, or 6/6 by post from
GEORGE NEWNES, LTD. :: Tower House, Southampton St., London, W.C.2
Crystal Filters
Features in the Design and Operation of I.F. Circuits in Communications Type Receivers
Many amateurs are aware of the high standard of efficiency set up by the type of superhet receivers commonly known as Communications Types. These receivers are merely well-designed superhets, with a few features not found in standard broadcast equipment. These features generally include a Beat Frequency Oscillator, an adjustable A.V.C. circuit, some form of band-width tuning on the front-ends used by amateur transmitters, and in most of the better class models by a Phasing control or Crystal Filter. The many varieties with different makes of receiver, but the principle is the same, namely, a form of Intermediate-Frequency amplifying stage in which a special crystal is included, with means for varying the degree of selectivity. This particular type of filter can, of course, be included in any home-made receiver or even in some forms of commercial equipment, and for the benefit of those readers who are anxious to know more about the filter the following notes will prove of value. These details were given recently by J. G. Grisdale, Ph.D., and R. B. Armstrong, B.Sc., in a paper read before the I.E.E.
Two Types of Circuit
The types of I.F. selectivity curves attained with a modern high-grade communication receiver are shown in Fig. 1. It will be seen that discreet values of pass-band are provided, covering requirements varying between reception of music at one extreme and the practical limits of adjacent channel selectivity for telegraph working at the other.
Some of the variation in band-width shown is provided by altering the coupling between circuits, and narrower band-widths are achieved by switching in crystal resonant circuits.
Where additional L.F. selectivity is incorporated, it is convenient from an operational point of view to introduce this feature by the same switch control as that involved in I.F. pass-band variations.
The behaviour of quartz crystals as circuit elements has been extensively investigated by Mason and others in connection with work on lattice and bridged T-filters for use mainly at frequencies of the order of 100 kc/s.
The circuits used at intermediate frequencies in communication receivers are simpler than these filter circuits, and the band-pass characteristic is less ambitious.
Two types of circuits are in general use. The first is the neutralised single-crystal circuit shown in Fig. 2. With the omission of condenser $C_3$, this was the first type of crystal circuit to be used in communication receivers. By making condenser $C_3$ the front-of-panel control and adjusting it to neutralise the crystal capacitance, a symmetrical curve, as shown in Fig. 3, is obtained. As $C_3$ is adjusted to under- or over-neutralise the crystal capacitance, a rejection dip appears above or below the optimum response of the circuit. This arrangement is popular among skilled operators because, with considerable experience, a high degree of selectivity can be obtained to a single specified intermediate frequency. It is now considered inferior to an arrangement in which the crystal is left permanently neutralised and the effective pass-band of the circuit is altered by a series of finite and symmetrical values. Apart from being more satisfactory to inexperienced operators, this arrangement does not call for readjustment as the frequency of the interfering signal changes.
In order to provide two narrow band-widths with a single crystal as in Fig. 2, the capacitance $C_3$ is introduced, and switched to effect the band-width change. Finally, neglecting $C_3$, the circuit reduces to Fig. 4, giving a stage gain at mid-band frequency
$$G = \frac{\omega^2 Z_1 Z_2}{Z_1 + Z_2 + R_s}$$
where $Z_1$ and $Z_2$ are the impedances of the side circuits when adjusted to resonate at the crystal series-resonant frequency, and $R_s$ is the series-resonant impedance of the crystal. $C_3$ disappears in the neutralised condition.
The band-width at 6 db below optimum response is approximately
$$\Delta f = \frac{1.73}{2\pi} \times \frac{Z_1 + Z_2 + R_s}{L}$$
Typical values in use are $Z_1 = Z_2 = 75,000$ ohms; $R_s = 5,000$ ohms; $L = 25$ H; $f_0 = 465$ kc/s; $g_m = 2 \times 10^{-2}$ A/V. Then band-width = 1,710 c/s and gain, $\approx 37$ db.
The above condition gives the maximum band-width because the impedances of the side circuits are a maximum and the crystal resonator is subjected to maximum damping. If $C_4$ be made a part of the total tuning capacitance of one or other side circuit, the resonant condition is avoided; it even so, the other tuned circuit detunes the side circuits above and below their resonant value by equal amounts, and it is shown that for $C_4 = 7.6 \mu F^2$ the original band-width of 2,710 c/s would be reduced to 300 c/s, although the gain changes only from 32 db to 26.5 db. Wider band-widths can be obtained by short-circuiting the crystal altogether and changing the mutual inductance between coupled pairs of circuits in subsequent I.F. amplifier stages, and narrower band-widths by the insertion of L.F. tuned circuits.
A similar result may be obtained by lowering the impedance of one or both of the side circuits by inserting series damping, but the crystal filter stage then has substantially lower gain.
**Alternative Circuit**
The second type of circuit in general use, with which the two narrowest band-pass curves in Fig. 1 are obtained, is shown in Fig. 5.
The crystal series-resonant frequencies are spaced above and below the mid-band frequency $f_0$, and the effective band-width is somewhat greater than the crystal frequency spacing. The crystals have equal inductance.
The response curve shown in Fig. 6 is produced when the differential condenser, with the crystal capacitances, does not give a perfect capacitance balance. As balance is approached the two rejection dips $f_{a1}$ and $f_{a2}$ move outwards from the pass-band, and the trough between the two crystal frequencies $f_{c1}$ and $f_{c2}$ becomes deeper. After balance is passed, the dips move in towards the pass-band and the steepness of the sides of the curve increases; however, the response at the "return hump" frequencies $f_{r1}$ and $f_{r2}$ also increases, and the usual working condition is when the return humps are 20 db below mid-band response. The response at
---
**Fig. 4.**—Theoretical representation of the circuit of Fig. 2.
$f_{a1}$ and $f_{a2}$ is attenuated by the other selective circuits of the amplifier.
Most of the crystals in use in communication receivers employ air-gap holders. The air-gap increases the inductance considerably, and requires close production tolerances. The plates used for oscillator control are unsuitable for resonator use because of their numerous spurious responses, which are not necessarily apparent when the crystals are used as oscillators. On the other hand, the temperature coefficient of frequency of the resonator is not usually so important as it operates with circuits whose temperature coefficient is of the order of 50 parts in $10^6$ per deg. C.
---
**THREE NEW VEST-POCKET BOOKS!**
**WIRE AND WIRE GAUGES**
By F. J. CAMM
3/6 or by post 3/9
**NEWNES ENGINEER'S POCKET BOOK**
By F. J. CAMM
10/6 or by post 11/-
**MATHEMATICAL TABLES & FORMULÆ**
By F. J. CAMM
3/6 or by post 3/9
Obtainable from all booksellers, or by post from George Newnes, Ltd. (Book Dept.), Tower House, Southampton Street, London, W.C.2
More About "Phase" in Amplifiers
Further Details on L.F. Design, with Simplified Vector Conventions
BY "DYNATRON"
In a previous article I outlined some basic ideas on phase-shifts in amplifier circuits. The present article will enter into more detail and show how to apply vector diagrams to various cases.
Mention of "vector diagrams" at once raises a vexed question. Whose vector diagrams? The subject has begun to look pretty abstruse, and it seems hopeless to try to reach any general agreement.
Now this state of agreement does not necessarily prove anything essentially "wrong" about the many theories and conventions. Different points of view are possible. Thus while one writer shows $E_g$ and $I_a$ in phase, another may look at things from an angle which puts these two quantities 180 deg. out of phase.
It should be observed, too, that matters of displacement generally have to do with the vector interpretation of valve equivalent circuits. That particular aspect need not be considered in any detail in this article.
While it is true that different conventions are possible, it is equally true that if a simpler set will yield the same results, they will be more easily applied for practical purposes. Moreover, we must distinguish between a mere "convention" and a well established fact, or principle.
Let us first consider a few fundamental facts which are not open to dispute.
Some Fundamental A.C. Ideas
In my previous article, certain essential phase relationships were mentioned, which do not depend upon any conventions. They must be true, irrespective of what are defined as "positive" or "negative" directions, etc. For example: in any inductance an alternating current develops a back E.M.F., which, by definition, is phase opposed (or at 180 deg.) to the supply voltage.
No amount of juggling with signs and conventions can alter this statement.
If, in any circuit, conventions lead to the conclusion that these E.M.F.s are "one and the same thing," there is something radically wrong with the conventions!
In the previous article, reference was made to rather involved arguments to show that the secondary E.M.F. of a transformer must be at 180 deg. to the primary supply voltage, i.e., using + and - signs, etc. But the phase of the induced E.M.F.s must be the same in both windings. They are both at 180 deg. to the primary supply voltage, since they are caused by the same inducing magnetic flux.
In a pure inductance, too, an alternating current lags 90 deg. on the applied voltage—or leads 90 deg. on the back E.M.F. A convention might be used quite consistently, which reverses these phase relations, e.g., clockwise instead of anti-clockwise vector rotation.
But only confusion could result from such a non-standard convention. Moreover, the back E.M.F. and supply voltage would still be at 180 deg. The statement "action and reaction are equal and opposite" cannot be altered by drawing the parallelogram of forces upside down!
Here is the difference between a convention and a fact. Again, in a pure resistance the current and supply voltage are in phase. How, therefore, can the supply voltage component across a load resistor in the anode circuit of a valve be said to be phase-reversed relative to $E_g$ and $I_a$?
We shall consider this in a moment.
Meanwhile, we may note there are those who say that the phase-reversed output voltage is also the load voltage—implying that it represents the phase of the supply component derived from the H.T.
It is considered that this is the main source of confusion in applying vectors to valve circuits, since, to get a consistent account, it becomes necessary to give Ia also, a reversed phase; i.e., put the alternating anode current at 180 deg. to its cause, Eg.
"Output" and "Supply" Voltages
In Fig. 1 (a) we have an output voltage Vo, phase-reversed in respect to the grid signal E.M.F. Eg, because an oppositely-phased component of the H.T. is dropped across the load resistance R.
If we set out to represent things graphically, our curves would be as in Fig. 1 (b). When Vo is on its negative half-cycle, say, we must denote the increase in potential-drop across R by a half-cycle of a voltage, V at 180 deg. to Vo.
While $Vo = V = IaR$ as regards magnitude, the phase relationship is quite clearly, $Vo = -V$, or $V = -Vo$. There is no way of showing the two voltages by sine curves or vectors other than by drawing them 180 deg. out of phase.
It follows that we must consider a supply (or applied) voltage component in the anode circuit, itself at 180 deg. to the output voltage Vo, and it can only result in hopeless confusion to say V and Vo are one and the same as regards phase.
Practical Demonstration
But while all this seems pretty obvious, the valve circuit presents some peculiarities.
The only point in Fig. 1 (a) where we can find any alternating potential is the anode end of R. The opposite end is tied to the fixed potential of H.T.+—or from an A.C. point of view, it is at "+earth" (cathode) potential.
So the phase-reversed component Vo is the only alternating voltage which can be found anywhere in the circuit! If a "supply" component V exists, how can it be demonstrated?
At ordinary A.C. frequencies no demonstration is possible, but if we used a very low frequency which the pointer of a centre-zero galvanometer could follow, definite deflection would be observed across R, and the valve, respectively, during an A.C. cycle. Even with an ordinary voltmeter, the steady drop across R would move the pointer to some steady scale reading, and an A.C. change would be indicated by a movement above and below this steady reading.
Come to think of it, no ordinary A.C. measuring instrument will tell us much about "phase," but this experiment with a low frequency at least demonstrates V and Vo varying in opposite "sense"—which could only be denoted graphically by two sine-waves of opposite phase.
What is true at a very low frequency must be equally true at any other, in this case (neglecting the effects of reactances, etc), even at radio-frequencies.
Oscilloscope Experiments
Will a cathode-ray oscilloscope show a voltage V across R, of opposite phase to the output voltage Vo? If the experiments were tried (using suitable blocking condensers to D.C.), it would again be found the CRO tells us nothing about any "supply voltage." The oscilloscope will show only the voltage Vo, whether connected across the valve or directly across R from anode to H.T.+
This looks like a flat contradiction of our low-frequency meter experiment! The CRO suggests that V and Vo are one and the same, and that both are at 180 deg. to Eg?
But wait a moment! Why cannot the CRO tell us anything about V? Surely, because, unless one deflector plate is given the D.C. potential of H.T., conditions are identical as under ordinary working conditions, i.e., at usual frequencies, the oscilloscope will always virtually be connected across anode and earth—or anode/cathode.
We will now look at a case where theoretical considerations demand E.M.F.s of phase of V and Vo.
A Theoretical Demonstration
Let us substitute for R a pure inductance, L, Fig. 2 (a).
Here, at any rate, we cannot get away from the facts. By the fundamental principles of A.C., an alternating E.M.F. of self-induction (or a back E.M.F.), E, is developed in the inductance, lagging 90 deg. on the alternating current Ia in Fig. 2 (b) and (c).
Now, Ia cannot possibly be the only E.M.F. in the circuit. There must be an equal and opposite applied voltage V, which is a component of the H.T. acting in the opposite sense to the back E.M.F.
Thus during the first part of a positive half-cycle of Eg, the current Ia will be increasing—in magnitude. The magnetic field around L will be increasing—forces of force will be coming into existence—and will induce a counter E.M.F. opposing the current-change. This will obviously be a back E.M.F. in the direction of the dotted arrow in Fig. 2 (a)—in direct opposition to +H.T.
Simultaneously, an equal but opposite component of the H.T. will be developed across L, acting therefore in the direction (or "sense") of the full-line arrow in Fig. 2 (a). The two E.M.F.s are denoted throughout by E (dotted lines and vectors), and V (full lines).
Clearly, then, we have two voltages, equal in magnitude but in mutual phase-opposition. V is what we call the "applied" voltage.
The curves and vector diagram are given in Fig. 2 (b) and (c). Ia develops the back E.M.F. E, lagging 90 deg. Directly opposing E is the supply voltage V, at 180 deg. to E, and therefore leading Ia by 90 deg.—or, the current in a pure inductance lags 90 deg. on the applied voltage.
What is the Phase of Vo?
What is the phase of the output voltage Vo in this inductive case? Has it the same phase as E, or V?
The question is important because the answer will settle the point for us whether it is necessary to make any distinction between V and Vo. True, we are not dealing with a simple resistance at the moment; but a principle that is true of an inductive load must be equally true of any other load—in so far as a "supply voltage" is always present.
Look again at the dotted arrow in Fig. 2 (a). This is the back E.M.F. in the coil (over the part of a cycle considered), and it is acting away from the anode. Its direct opposition to +HT is such a direction as to make the anode potential negative, or "less positive." The anode valve is tied to HT—hence the potential difference across the valve falls.
But this potential-difference across the valve is represented by Vo. A CRO will show it lagging 90 deg. on Ia, exactly the same as E. This statement, of course, depends on some extent what conventions are made in defining the phase of Ia.
Here, we shall adopt the simple view, that Ia and Eg are in-phase, that Ia develops a back E.M.F. in L, lagging Ia by 90 deg., that the back E.M.F. is counterbalanced by an equal and opposite applied voltage V, which therefore leads Ia and Eg by 90 deg.; finally, from a consideration of the "negative" potential sign across the valve (during a part of a cycle when Eg and Ia are varying in a positive sense), the output voltage Vo has the same sign as the back E.M.F., i.e., is at 180 deg. to the supply voltage V.
In our previous article we referred to certain ambiguities of "signs." For example, a + sign may refer to an applied E.M.F. acting upon a circuit, say, in the direction A—B, or to an internally generated counter E.M.F. acting in the direction B—A.
However, in Fig. 2 (a), the arrows show both E.M.F.s in mutual opposition. The "valve voltage" Vo has the negative phase sign of E.
Observe, too, that although the phase shift of Vo on Eg is 90 deg., V and Vo are always at 180 deg., whatever the nature of the anode load. The current vector (and Eg) will take up some other angle, depending upon the resistance and reactance of the load.
"Load Reaction"
"Ah!" it will be said, "your inductive case does not explain Fig. 4." If the load is a pure resistance, you have no back E.M.F.!
It is at least certain that there must be some equivalent of a supply voltage. As before, this must be derived from the H.T. source. What is not so clear is how Vo can be said to have the same phase as a "back E.M.F."
While we cannot very well talk of a "back E.M.F." in a resistance—there is no self-induction, we will suppose—yet, there is something not so very different from a back E.M.F. and having the same negative sign in relation to an applied voltage.
This has been termed by Morcroft (Principles of Radio-communication) the load reaction, as in mechanics. Stated simply: "the volts lost in a resistance give rise to a potential-difference of opposite sign to the applied E.M.F. Or: the alternating potential-difference across an anode load resistance is at 180 deg. to the applied volts, and the current.
Fig. 5.—Equivalent valve circuit, when the internal resistance ra is taken into account (purely inductive load).
Generally, when we use the term "p.d." we mean the supply voltage. But we are now considering a case where one end of a load resistance is at a fixed potential. It is then a question of interpreting the "negative" alternating potential sign of Vo at the anode end.
The negative sign of Vo, in all cases, denotes the load reaction, owing to the peculiar circumstance that the +H.T. end of the load is virtually at "earth" A.C. potential.
If a load resistance were placed on the cathode side, Fig. 3, one end is now tied to the constant potential of H.T. The output voltage sign at the cathode end will be positive, thus denoting the phase of the applied voltage V, i.e., no phase-reversal occurs between input and output sides. However, the valve-voltage (anode-to-cathode) will still be of negative phase.
"Earthed" A.C. Circuits
Fig. 4 (a) and (b) will make some of these points clear.
A resistance R is connected to an alternator. In (a), the line B is earthed, while in (b) A is earthed.
Suppose we agree with the convention that an applied E.M.F. acting from A towards B represents a "positive half-cycle"—this matters little as far as phase relationships are concerned, and we might equally choose the direction B to A.
If we wanted to define potential signs relative "to earth," we would say that terminal A, in (a), is, say, of + sign. But if A were the earthed terminal, as in (b), then, over the same interval, a potential taken off terminal B would be of - sign with respect to earth.
We might talk of "phase-reversal" of voltages if dealing with a valve circuit having opposite ends earthed, as in Fig. 4 and Fig. 5. The output voltage, Vo, in each case, takes the sign of potential at the "insulated" end of the circuit.
If so, one sign (say the +) denotes the phase of the supply voltage, whilst the negative sign must be interpreted to signify the phase of the back E.M.F., or the load reaction.
Phase of Eg and Ia
The question of the relative phase of V and Vo has been discussed at length, because failure to take account of V probably accounts for all the confusion attached to valve vectorising.
For example, if the supply voltage is considered as having a negative phase, it becomes necessary for consistent results to take reactance $V$ relative to $Eg$. Some writers do, in fact, adopt this convention. There is nothing fundamentally wrong about it, except that matters are made extremely difficult for the student. Except at very high frequencies where electron transit times have a bearing on the matter, the anode current of a valve appears to vary exactly in step with, or in time-phase with, the alternating E.M.F. $Eg$ on the grid.
A consistent theory can be held, putting $Eg$ and $Ia$ at 180 deg. But why? Simply to get a convenient set of conventions which might be started off from more obvious premises! In some books, the writer has seen vectors drawn where $Ia$ is shown out of phase with $Eg$ by some angle $\phi$, such as 30 deg.—if the reader can picture such a condition in any valve at ordinary frequencies!
As stated earlier, the convention—if it is a convention—adopted here is the obvious one that $Eg$ and $Ia$ are always in-phase. If the reader makes this his starting-point in drawing vector diagrams, and remembers that *phase conditions in the grid circuit are not altered by the nature of the anode load* (neglecting Miller effects), he will not go far wrong.
**Phase-shifts in Typical Valve Circuits**
Finding the phase-shift of the output voltage $Vo$ on $Eg$ is a simple matter if we bear the foregoing considerations in mind. At least, the results may be readily checked by oscilloscope.
The resistance load, Fig. 1, is the simplest. Starting with $Eg$ and $Ia$ in-phase, we have: the supply voltage $V$ across $R (=IaR)$, in phase with $Ia$ and $Eg$; an output voltage $Vo = V - IaR$, across the valve, at 180 deg. to $Ia$ and $Eg$. Thus $Vo$ is phase-shifted 180 deg. on $Eg$.
As shown in Fig. 2 (c), $Vo$ is shifted 90 deg. on $Eg$ where the load is a pure inductance, with $Ia$ and $Eg$ still in phase. This gives the true phase-shift, but we may elaborate a little on our vector analysis, taking into account the effect of the valve internal resistance $ra$. This is in series with the external load, and a more complete vector diagram for the inductive case is given in Fig. 5. Starting again with $Eg$ and $Ia$ in-phase, we have $Ia$ leading $Ia$ by angle $ra$, and $Vo = V$, as before. Thus the phase-shift between $Eg$ and $Vo$ is 90 deg. (No loading, irrespective of $ra$).
The effect of the internal resistance is to cause an internal voltage-drop, $Iara$, in phase with the current. As far as the output circuit is concerned, these volts are "lost," but if added vectorially to the supply voltage $V$, we get the total E.M.F., $\mu Eg$, Fig. 5. This is the E.M.F. given by an "equivalent generator," i.e., $Eg$ volts applied to the grid is equivalent to $\mu Eg$ volts acting upon the load and $ra$ in series, Fig. 5 (b).
It follows that $V$ is the vector-difference, or the result of vectorially subtracting the internal drop $Iara$ from $\mu Eg$. With a pure resistance load, Fig. 1, simple arithmetic addition or subtraction apply—or simply Ohm's law.
**Load with Reactance and Resistance**
To repeat, internal resistance has no effect upon the phase-shift between input and output voltages. But things are different if the *external load* has resistance and reactance.
In Fig. 6 is a load having inductive reactance and series resistance. The current $Ia$ must lag on $V$ by some angle $\phi_1$, less than 90 deg. Fig. 6 (b). As usual, as before, $Vo$ will be at 180 deg., to $V$, having here the phase of the *total* load reaction, including the back E.M.F. in $L$.
Suppose $\phi = 60$ deg. Then the simplest way of stating the phase-shift is to say that $Vo$ is leading $Eg$ by (180 deg. + 60 deg.) = 240 deg. Again, $\mu Eg$ is the vector resultant of $V$ and $Iara$. The load has a power factor of 0.5 (= the cosine 60 deg.), and so the true power output is $(\mu Eg \times \text{power factor}) = \frac{1}{2} \mu Eg$.
If the load were a resistance and *capacitive* reactance, $Ia$ would lead on $V$ by an angle $\phi$. With $Vo$ at 180 deg. to $V$, and $\phi = 60$ deg., as before, the simplest statement of phase-shift is: (180 deg. - 60 deg.) = 120 deg., i.e., $Vo$ is leading $Eg$ by 120 deg. (Fig. 7).
Thus an inductive reactance makes $Vo$ lead by (180 deg. + $\phi$), and a capacitive reactance by (180 deg. - $\phi$).
In a later article we shall apply these principles to other devices, such as oscillators.
---
**Servicemen are Honest**
THE following details of an American trade survey will, no doubt, be of interest to our readers. A similar test should be carried out in this country.
Fifty five per cent. of the radio shops canvassed by a non-technical shopper for a big metropolitan daily are to be recommended on a basis of servicing charges and operating policies. This will be welcome news to the serviceman, who has been issued surveys which show him in an unfavourable light. The 45 per cent. "not recommended" were not necessarily classed as "gyps" but other factors such as high prices were taken into consideration.
The survey was made by the New York City newspaper PM, and was carried out by a person unfamiliar with the technical side of radio work, which was actually defective was used. The sharp contrast to a famous survey made six years ago, in which defects were faked. This offered the shops a genuine repair job to estimate, and was no doubt responsible for the higher number of shops found to be competent to do an honest and reasonably priced job.
Before taking the set to the first shop, a radio engineer was called to determine the trouble and to estimate a reasonable charge for putting the set into first-class operating condition. The total cost of repair work was estimated at $4.00 to $5.00 without new valves. If these were replaced, the cost would rise to a maximum of $7.00. Of the 10 shops canvassed with the radio, only two erred in their diagnosis. Prices, however, varied from $4.73 to $8.00. The highest price quoted by a "recommended" shop was $7.10. Five of the shops were recommended on the basis of the charges and operating policies.
In contrast to the "survey" conducted by *Reader's Digest* several years ago, the findings of PM present a much more accurate picture of the radio servicing field. It should also be noted that as previously, stated, the mal-function of the receiver was real and not some wire that had been disconnected purely as a means of testing the serviceman.
Radiolympia
THE expected 1946 Radio Show will not take place and we must wait until the autumn of 1947 before we shall have a chance of inspecting all those technical developments which manufacturers have promised us as a result of six years of war-time opportunity. It seems a long time since 1939, when the threat of war put an untimely end to the last of the pre-war radio shows. It was easily the best of them, but war and the fear of war cast a cloud over it, and in spite of all the efforts which had been put in by the late Colonel Ozanne it made at a great success, the exhibition closed without having completed its prearranged run. Television at that time was on the move and many television receivers were on view. The war put an end to all that, and so here we are in 1946 putting out television programmes on the same system and on the same system as when we left them in 1939. No blame attaches to the B.B.C. here, and the gap of six years represents a loss which cannot be retrieved.
However, we can now look forward to a definite show in 1947, when I hope once again to be able to renew my acquaintance with the many hundreds of readers who called upon me before the war and to make fresh acquaintances among the tens of thousands of new readers who have joined our ranks since the war began. I shall hope even to meet some of those few readers who do not share my views on crooning. I shall hope to convert them. For I do not think any of them are so far gone that they cannot be put back on to the path of rectitude from which they have in their technical juvenescence strayed! If I am to take some of those few critics to task, I shall have to be very careful to complete plate with visor. But then, perish the thought! Crooners and lovers of crooning must be meek and mild people to have their voices pitched in so soft a key.
Long before the next Radiolympia I shall have had an opportunity, and so will many others, of seeing the latest receivers and components at the "Britain Can Make It" exhibition, which will have taken place before you read these notes. This exhibition may to some extent steal the thunder of Radiolympia, for it will undoubtedly attract orders normally made at Radiolympia. I think it is an error of judgment not to have held the radio show this year. I can claim to have been to every radio show held before and since broadcasting commenced. I founded the first radio journal which appealed entirely to the home-constructor, and I have regularly contributed to every issue of that journal. Notwithstanding my long association, I look forward to the next show with greater enthusiasm than ever before. It will help to get the public mind off wars and effects of wars.
Lord Reith on Critics
LORD REITH in a letter to the "Times" attacks the critics of the B.B.C. engineers.
"Animadversions on them in recent debates in the House of Commons so astonished me that I made inquiries of the Corporation, what they say is good enough for me, and I will underwrite it. Charges of neglect of ultra-short waves and of frequency modulation were adequately met by the Postmaster-General in the Lords and by the Lord President and the Assistant Postmaster-General in the Commons. But two other specific charges have had no reply. One speaker said:
"'The most powerful and the most efficient broadcasting station in this country during the war was not run by the B.B.C., but was run by the Government, and it was in no way under B.B.C. control. It is also worth bearing in mind that that station, which was put up by engineers and run by engineers who had no connection with the B.B.C. at all, was able to do things which the B.B.C. engineers had announced in advance were impossible. The station reached a pitch of efficiency and set an example of what could be done in wireless which the B.B.C. would never have set.'
"The reference was presumably to a special war purposes transmitter erected by the Government in the South of England. But this was not the most powerful broadcasting station in Great Britain, and it was probably neither more nor less efficient than others. The one at Ottringham, designed throughout by B.B.C. engineers, has a maximum power of 800 kW, which is 200-500 kW higher, moreover, it can be used on both long and medium wavelengths instead of exclusively. And what did B.B.C. engineers announce as impossible? There were abstruse discussions and disagreements about calculated coverage, the facts of which are still uncertain, but as to which the B.B.C. engineers are at least as likely to be right as wrong."
The same speaker remarked:
"'Their reproduction of gramophone records is frankly paralytic compared with that of other nations. If you take a gramophone record programme of the B.B.C. and compare it with a gramophone record programme coming out of Germany, Holland, France, America, or anywhere you like, there is just no comparison at all.'"
"Does this refer to the reproduction of commercial records, some of which probably are mediocre? But that is not the fault of the B.B.C.; they must use what they have to hand. The particular type of apparatus?"
"Or did the speaker refer to records which the B.B.C. itself makes? The number of discs cut weekly by the B.B.C. in August, 1939, was 350; in August, 1945, it was 4,300. This means procuring apparatus from abroad, good in itself, but suited to striking for which it was not designed. Even so, I expect their home-made records were as good as those used anywhere; certainly no such violent stricture is justified. The B.B.C. will shortly have in service broadcast recording apparatus of their own design, probably the most highly developed of its kind in the world."
A Pean of Victory
Suggested for the B.B.C. on the renewal of their present Charter for another five years.
TRALLALALAY AIL, whoops! Trallalalay,
And we've got another five years to stay,
To give the listeners what we like!
From bores gathered round the mike,
Brain-trust jugglers, they dug in,
Have heard the word with a happy grin;
Croonettes with adenoids take fresh hope—
For another five years of their awful dope;
Dancing band leaders, who cannot play
A single instrument, blithe and gay;
Government speeches telling the tale—
With all the B-movies and music-hall!
We'll broadcast "Orders" as 'e're spoken—
With penalties mentioned if they're broken.
Our hard-pressed staffs we'll cut down,
No matter how the listeners groan;
Sponsored programmes they shall not hear,
We'll show them they don't need them there.
And in the courts, crude but true,
The listener's fate you may construe,
And we've doubled the fee he used to pay,
Now we've got another five years to stay,
Whoops, trallalalay, and trallalalay!"
Torch."
The Battery L.F. Amplifier
Hints on the Construction and Design of Various Types of Equipment for the Battery User
By F. G. RAYER
The particular type of L.F. amplifier which is used in any receiver greatly affects the results obtained. It may be desired to obtain maximum amplification with low current consumption, as in a long-wave set of reproduction, as in a short-wave receiver. Or rather better quality may be required, with current consumption of only secondary importance and a high amplification not necessary, as with apparatus intended primarily for local station reception. Maximum power output, current consumption, overall amplification and quality of reproduction are considerations upon which the design of the amplifier will depend. The circuits following—besides being suitable for inclusion in many battery receivers—should clear up any difficulties and enable a choice to be made when constructing a receiver.
Single-valve Amplifiers
Fig. 1 shows a very simple type of amplifier, but one which is very satisfactory for either an S.W. receiver for phone reception, or a long- and medium-wave receiver of moderate power. It will also give fair speaker reproduction of the more powerful S.W. stations.
In this, and the circuits to follow, the point marked X should be connected to the anode of the detector, not forgetting the H.F. choke used for reactive purposes, which should be wired near the detector. Similarly the leads which are to be taken to the receiver should be connected to the filament positive and filament negative sockets on the detector valve holder. H.T. and other battery supplies will then be applied to the detector in the required manner.
Because the 50,000 ohm resistor reduces the voltage reaching the detector anode 120 volts should, for preference, be used. If a S.G. or pentode detector is used the resistance may be increased to 100,000 to 150,000 ohms with advantage. If used with an S.W. set where a fairly high voltage is required on the detector anode the resistor may be reduced to 25,000 ohms, but a lower value should not be used. With a S.W. receiver a "grid stopper" of about .1 megohm may be included at the point marked Y.
An Improved Circuit
One or more of the modifications shown in Fig. 2 may be added. The .01 mfd. condenser and 25,000 ohm variable resistor provide a means of mellowing reproduction, making it easy to obtain a balance if the resistor is set zero ohms. Alternatively, a fixed condenser of from .001 to .01 mfd. may be used, connected either from anode to earth, or across the speaker. The higher the capacity the more will high notes be reduced.
The use of automatic bias removes the need for a grid bias battery or connection. From the circuit it will be seen the valve grid will be negative by the extent of the voltage dropped across the resistor R. This governs the bias made available. From Ohm's Law the value of R may be obtained, but for a battery set 500 to 750 volts is generally suitable. If the anode current of the receiver is 10 mA., 500 ohms will drop 5 volts, so this will be the bias applied. With a reduction in H.T. voltage less bias voltage will automatically be obtained. The .25 mfd. condenser may be of 12 volts working, and the polarity should be observed, as shown.
Decoupling
Both detector anode and pentode screen are decoupled in Fig. 3. The latter is not usually necessary unless more than one stage of L.F. amplification is used. In addition a transformer provides an increase in gain, the coupling condenser being increased to .03 or .1 mfd. for
preference when this is done. If the transformer is of the type suitable for including directly in the anode circuit then the primary should be connected in place of the 40,000 ohm resistor shown. The 10,000 ohm decoupling resistor may then be taken to a H.T. tapping of about 80 volts.
Suitable valve types for these circuits are Cossor 220HPT, Osram PT2, Mullard PM22A, or a similar type, either of L.F. pentode or tetrode. These valves will give a very good degree of amplification with low consumption. A triode, such as Osram PT2, Mullard PM2A, or similar small power valve, may be used. Less amplification will be obtained. In all cases the bias should be adjusted for best results with the H.T. voltage used.
**Two-valve Amplifiers**
Where more gain is required (as with a S.W. set for speaker reproduction, or a portable), the circuit in Fig. 3 may be used. The detector is shown also, to make connections clear. In the first L.F. stage a detector valve may be used (such as Osram HL2, Hadiza HL2, Mullard PM2HL, or PM4HL). The output valve may be any of the types mentioned for Figs. 1 and 2.
In this circuit a fixed degree of tone control is obtained by the .005 mfd. condenser connected across the speaker. If volume control is required the .3 megohm feedback may be replaced by a potentiometer of similar value, the grid of the L.F. valve being transferred to the slider of this control.
The circuit in Fig. 3 is not suitable for a long- and medium-wave receiver, unless some pre-detector type of volume control, or the L.F. volume control mentioned, is used. This is because although it provides considerable amplification it is easily overloaded on strong signals.
The L.F. transformer may be parallel fed, as in Fig. 2, but this will considerably reduce the anode voltage of the L.F. stage, with a consequent reduction in amplification. For the valves mentioned, and 120 volts H.T., G.B.1 may be taken to \( \frac{1}{2} \) or 3 volts, and G.B.2 to \( \frac{1}{2} \) or .6 volts.
---
**Fig. 2.**—A parallel-fed transformer-coupled amplifier.
**Fig. 6.**—An elaborate two-stage amplifier, with Q.P.P., and a multiple valve for the first stage.
A Simple Triode Circuit
Although the circuit in Fig. 4 contains only the bare essentials, it will give a good degree of amplification. For the driver stage, a L.F. valve, such as Osram L1r is suitable, with a power or small power for the output stage. In a S.W. receiver, however, a detector type may be used instead for the L.F. stage with advantage.
The first transformer may have a ratio of about $1:2$ and the second $1:3$. With a good layout no instability should arise, but if it does the connections to the secondary of the first transformer may be reversed. If this does not afford a cure the H.T. battery is probably developing a high internal resistance and decoupling may be added. Normally, however, this circuit is stable with triodes.
Class B Circuits
For higher outputs with moderate current consumption, the single output valve is not very suitable. A circuit such as that in Fig. 5 may then be used. It should be realised that the Class B valve itself does not amplify more than would one valve of a type similar to one of its sections, but greater volume may be handled. Furthermore, the current consumption is proportional to the signal so that during low volume and silent periods the drain on the battery is greatly reduced.
A suitable valve type is the Osram B21, Mullard PM2BA, or Mazda PL220A, or similar double triode. A driver, such as the Osram L1r, is required to provide a signal of sufficient volume for application to the output valve.
If greater volume is required a small power valve may be used for driving.
Tone control may be obtained by connecting a condenser from anode to anode (see Fig. 6), or from each anode to earth, with a resistor also in series if desired.
With 120 volts H.T. about $\frac{1}{2}$ volts grid bias will be required on each valve, although this may be increased if a small power valve is being used in the driver stage.
The output transformer shown will in most cases be in the speaker. If a speaker is connected at L.S., it must be of the low-impedance type, e.g., moving-coil speaker without transformer.
Double Pentode
With a circuit such as Fig. 6, considerable power output may be obtained with comparatively low current consumption. Suitable types are the Mazda QF210 or Osram QP21. Alternatively separate valves (Cossor 220HPT, etc.) may be used provided they are of the same "age" and characteristics.
A valve of this kind may be operated satisfactorily without the aid of a driver so that it may follow the detector, especially in a superhet, where the detector output will be fairly powerful. If possible, 150 volts should be applied to H.T.2, with 120 volts to the screens (H.T.1). To small-capacitance stages a fairly large capacity condenser may be connected across the H.T. battery. The circuit (in common with normal Class B circuits) is not suitable for operation from an eliminator, due to the considerable variation in anode current when reproducing at varying volumes.
Figure 6 also shows how a multiple valve may be used to provide L.F. amplification. With a valve such as the Mullard TDD2 or Mazda HL21DD detection, A.V.C., and L.F. amplification may be obtained. It will be seen that one diode anode provides detection; the L.F. signal is then applied to the grid of the double section through a mid coupling condenser with a potentiometer for volume control. Sufficient volume will then be available to load the trouble pentode. Alternatively, of course, a separate valve of the detector or L.F. type may be used before the output stage. An additional L.F. amplification wholly omitted if the detector output is fairly high.
---
**A New Vest Pocket Book!**
**RADIO VALVE DATA POCKET BOOK**
By F. J. CAMM
5/-, or 5/6 by post from
GEORGE NEWNES, LTD., Tower House,
Southampton Street, Strand, London, W.C.2.
'What's it like in the Navy, Chum?'
It's a good life and a good job, too! I'm an Able Seaman and a Gunner—ovilkins, bofors, pom-poms. That's my line. You might go for wireless or radar. What's the gold stripe mean? That's a badge. It means extra pay for one thing. There are lots of extras in the Navy... chance to travel... plenty of sport, plenty of leave, plenty of friends—and a good chance to get on...
If you are between the ages of 15½ and 23 there are some vacancies for you in the Navy now. For more information call at any recruiting office or write today to the Director of Naval Recruiting, Admiralty, London, S.W.I.
Make the ROYAL NAVY your career
CONCORDIA L.V. TRANSFORMERS
Designed by transformer specialists to suit given conditions of service. Types available for Bell Lighting. Minimise phase changing. Concordia also design and make transformers to order to customer's requirements, air or oil cooled, and arrange for any enclosure (e.g., damp-proof, totally enclosed, etc.)
Sole Agents: ELCOGOLD LTD., 225, Westbourne Bridge Road, London, S.E.1.
Tel.: WATERloo 682/3.
Grams: Elcogold Lamb London.
BRITISH PHYSICAL LABORATORIES
17 RANGE UNIVERSAL TEST SET
1,000 ohms per volt on A.C. and D.C. ranges. Toughened glass. Size 5¾" x 4¾" x 2¼". Ranges 0/75m.V. D.C., A.C. and D.C. volts 0/10, 0/50, 0/100, 0/500, 0/1,000. D.C. Milliamperes 0/1, 0/10, 0/100, 0/500. Resistance ranges 0/1,000 and 0/100,000 ohms ± 0/1 megohm with external battery. Accuracy 2%. Rotary range selector.
PRICE £8:17:6
If unable to obtain this high-grade instrument from your dealer, apply to U.K. Trade Distributors:
RADIO AGENCIES LTD.
157, WARDOUR ST., LONDON, W.1.
Phone: GERRARD 4486.
FOR THE RADIO SERVICE MAN, DEALER AND OWNER
The man who enrolls for an I.C.S. Radio Course learns radio thoroughly, completely, practically. When he earns his diploma, he will KNOW radio. We are not content merely to teach the principles of radio, we want to show our students how to apply that training in practical, every-day, radio service work. We train them to be successful!
INTERNATIONAL CORRESPONDENCE SCHOOLS
Dept. 94, International Buildings, Kingsway, London, W.C.2.
Please explain fully about your instruction in the subject marked X.
Complete Radio Engineering
Radio Service Engineers
Radio Mechanics
If you wish to pass a Radio examination, indicate it below.
British Institute of Radio Tech.
P.M.I.R.T. (Professional Military Radio Operators)
City and Guilds Telecommunications
Wireless Telegraph Operators
Wireless Mechanic, R.A.F.
Write to the I.C.S. Advisory Dept., stating your requirements. It places you under no obligation.
Name ............................................ Age ............
(Use BLOCK LETTERS)
Address ..............................................
(Use penny stamp on unsealed envelope.)
COVENTRY RADIO
COMPONENT SPECIALISTS SINCE 1925
NOW READY 21st BIRTHDAY LIST OF COMPONENTS
With full details of the "NAPP" AC/DC 5-VALVE SUPER HET. Circuit, Plans and Component List. Price 3d. post paid.
COVENTRY RADIO,
191, Dunstable Road, Luton, Beds.
HENRY'S
RADIO COMPONENTS & VALVES,
5, Harrow Road, Edgware Road, W.2.
PAD. 2194.
9.30-6 o'clock, Mon.-Sat. Thurs. 1 o'clock.
2 Gang .0005 Con. Ceramic with feet. 10/6.
T.C.C. and B.I. 8 mfd. 500v. wkg. 3/-
8 mfd. 1,000v. 500v. wkg. 3/-
8×16 mfd. 500v. wkg. block. 6/-
16 mfd. 350v. wkg. block. 3/6.
4 mfd. 1,000v. wkg. 7/6.
1 mfd. 750v. wkg. 2/-
1 mfd. 1,000v. wkg. 2/6.
Metal Rectifiers. 200/500 Input, Output 300 mA. 30/-
Analysis of the Television Receiver—3
D.C. Restoration and Vision Output Circuits are This Month's Subjects
Theoretically, in order to reproduce frequencies down to and including zero, direct coupling must be used in the video-amplifier, the anode of one valve must be connected directly to the grid of the next without a coupling condenser. This can be done, and is used in some amplifiers abroad, but it is not a thing to be attempted by the home constructor. The usual, and by far the simplest, thing to do is to use coupling condensers in the ordinary way, ignoring the D.C. component of the signal until later on, when it can be reinserted by a very simple device.
\[ L_g = \frac{1,100}{2\pi \times 2.5 \times 10^6} = 72 \mu H \text{ approx.} \]
In practice these theoretical values may be raised to 2,500\( \Omega \) and 85 \( \mu H \) respectively for the coupling resistance and the series inductance. With these proportions the amplification is substantially constant up to the desired 2.5 mc/s as shown in Fig. 14. By using other values of coupling components, it is possible to obtain either a rising or a falling characteristic as the figure depicts.
Overloading the Video-amplifier
Overloading the output stage of a sound receiver leads to serious aural distortion; similarly, overloading the video-stage of a television receiver leads to a peculiar form of picture distortion.
Consider the characteristic \( I_a-V_g \) curve of a typical video-amplifier valve as shown in Fig. 15. During the complete excursion of the grid signal swing, the curved foot of the characteristic is swept over by three voltages corresponding to 100 per cent modulation, or white regions of the picture. As the curve is such that in the area of the bottom bend the \( I_a \) change for a given \( V_g \) change is less than on the linear portion of the characteristic, the result is a reduction, or compression, of the normal peaks and valleys in the white tones. As a result the image on the screen of the cathode-ray tube loses much of the detail contained in the bright portions.
It is apparent that if the valve curvature is excessive, or the signal input is so large that it sweeps beyond the extremity of the curve into the mode current cut-off region, all detail in the white parts of the picture will disappear.
D.C. Restoration
In feeding the video-frequency stage from the detector, not only is it necessary to avoid the above overloading, but it is necessary that the D.C. component of the signal is retained, as well otherwise economical operation of the V.F. stage will not be secured. The detector \( V_0 \) of Fig. 1 is connected directly to the grid of the video stage \( V_7 \), and the D.C. component is therefore retained. If, however, the detector output is applied to the
video-amplifier through any form of resistance-capacity coupling, such as is shown in Fig. 16a, the condenser C will remove the D.C. component of the signal and proper working of the video stage will not be obtained.
In order to understand this point consider Fig. 17a, where two typical line signals are shown. These signals correspond roughly to lines consisting of a black line with a bright centre and a bright line with a black centre. The signals are of negative phase, as they would be had they come from the diode detector of Fig. 16a, and the amplitude of signal handled by the video stage is obviously equal to A. These signals have the D.C. component retained.
Now at (b) in Fig. 17 are shown the same two signals with the D.C. component removed. These signals, it will be noticed, have settled down to enclose equal areas on either side of the valve bias line. It is at once apparent that on the right hand case, consisting of so many such variable lines, the change in amplitude on the grid of the video stage will be at least equal to A₁, which is considerably greater than A. With the D.C. component removed, therefore, the video stage has to handle a much greater grid swing and economical operation is lost, for a larger valve has to be employed. Again, in order to handle this large grid voltage excursion, the bias point of the valve must be about the centre of the \(I_g-V_g\) characteristic as in audio technique.
On the other hand, with the D.C. component retained, the video stage need only be biased (for a negative phase input) to the point of zero current flow. This accounts for the low bias resistance (\(R_{BD}\)) of the video-amplifier of Fig. 1. The signal then only swings the grid more negative and full economical operation of the valve is secured.
Fig. 16.—A resistance-coupled video stage at (a) with a D.C. restoration diode connected at (b).
Fig. 17.—Vision signals with the D.C. component retained at (a) do not constitute such an uneconomical grid swing as those with the D.C. component removed as at (b).
Fig. 16a shows a "trick" for reintroducing the D.C. component before the video-amplifier if it is removed by a condenser coupling. A small diode is connected across the grid resistance R. This diode fails in the D.C. component by preventing the signal from settling down to a steady state on either side of the bias line after the fashion of Fig. 17b. This method of D.C. restoration is adopted when the signal is of positive phase and the bias on the video stage is abnormally high, i.e., the valve is biased right back on the characteristic. When the signal is of negative phase—much preferable—a simple method of retaining the D.C. component is to omit the bias resistor of the video stage and connect the cathode directly to the earth line. The grid and cathode of the valve then act as a restoring diode. We shall deal further with D.C. restoration when synchronisation is discussed.
**Coupling the Cathode-ray Tube**
There are a great variety of ways of feeding the cathode-ray tube with the video signals, a few of which are shown in Fig. 18. Much depends on whether a video-amplifier is used or not, and much upon the type of tube employed. The object in any case is to apply the saw-tooth signals to the object of the cathode-ray tube so that the spot is modulated in intensity as the picture tones are impressed upon the saw-tooth scanning motions.
I do not propose to go into the design of cathode-ray tubes at this point as much has been written elsewhere on the subject, but it might be as well to discuss briefly tube characteristics from the point of view of grid modulation on beam intensity. As in ordinary thermionic valves, the grid, Wehnelt cylinder, of a cathode-ray tube controls the number of electrons passing from the cathode to the screen and therefore controls the intensity of the spot. By increasing the negative potential on the tube grid, a point is reached where the electron stream is completely suppressed and the spot disappears from the screen. For the average television tube some −25 volts is required to cut the beam to zero, though some especially sensitive tubes cut off with a grid potential as low as −10 volts.
Now, the graph of grid voltage against beam intensity is not linear for any tube; it is curved, as shown in Fig. 19. This means that for equal reductions in the grid voltage, equal reductions in beam brilliance are not obtained; due to the curvature in the characteristic the change in intensity for a given grid-voltage change is less in the dark regions of the image than in the bright regions. This leads to a loss of detail in the darker portions of the picture. The effect is very similar to the loss of detail in the bright portions of the picture brought about by overloading of the video-amplifier. Taken together, these "defects" lead to a very flat reproduction of the transmitted scene. The curvature of the tube characteristic cannot be avoided, of course, and in a reasonable tube it is not excessively pronounced in any one but overloading of the video stage can and must be prevented if good picture contrast is to be secured.
Turning to Fig. 18: (a) shows a method of feeding the cathode-ray tube directly from the detector. This method is only adopted when the tube is more than normally sensitive, and a fairly large output can be obtained from the detector. The output must be taken from the cathode of the diode so that it is in positive phase and therefore correct to apply to and modulate the cathode beam. Diagram (b) shows a voltage doubling type of diode detector stage, which is fully suitable when the tube is being fed without video amplification. The circuit as shown is arranged to give an output in positive phase, suitable circuit values being $C = C_1 = 10 \mu\mu F$, and $R = 2,000 \Omega$.
Fig. 18 (c) shows a video-frequency stage following the detector, the cathode-ray tube being fed directly from the anode of the former. This method of feed is quite satisfactory, uses few components, and the D.C. component of the signal is not too great in magnitude. Provided, too, that the input capacitance of the tube is small, the value of $R$, the video coupling resistance, can be made higher than usual, with a resulting increase in the stage gain. A disadvantage of the system, however, is this: the normal tube bias developed across $R_2$ is such that the cathode of the tube is some 30 volts above earth, that is, the grid will be about 30 volts—the usual bias on the tube in the absence of signal modulation—above that present upon the anode of the video-amplifier when no signal is being received. This latter is quite likely to be at least 470 volts, assuming a 250 volt H.T. supply. During normal operation this condition is quite satisfactory, but should the heater of the video-amplifier fail or an open circuit develop in $R_1$ so that the valve ceases to conduct, the anode will at once rise up to full H.T., thus carrying the grid of the cathode-ray tube some +50 volts above the cathode. Such a condition will almost certainly damage the tube.
On account of this, and several smaller points, it is generally wiser to feed the tube through an ordinary resistance-capacitance coupling, as shown in Fig. 18(d). The coupling condenser $C$ removes the D.C. component of the signal, of course, and so it becomes necessary to re-insert it immediately afterwards by the dodge of the diode, as shown. This valve rectifies the mean vision modulation to produce a bias equal to the mean carrier amplitude, and so controls the mean illumination of the picture to correspond with the transmission.
The output circuit and tube feed of Fig. 1 is a good typical design of the latter form of circuit. Referring back to Fig. 1 we have the video-amplifier $V_1$, resistance-capacitance coupled to $V_2$, a triode stage from the cathode of which the tube grid is fed. The diode $V_3$ is the D.C. restoring valve. The output of the video-amplifier is in positive phase and suitable, therefore, to apply to the tube grid. $V_2$ is actually a cathode-follower, outputs being taken from the anode and cathode circuits. The grid input of this valve is in positive phase, as is the cathode output which goes to modulate the grid of the C.R.T., but the anode output is in negative phase. This output goes to the synch separating network, which latter will be described later on.
The tube is normally biased by a preset control, $R_{20}$, so that the spot is just blacked-out in the absence of a signal; on the application of the positively phased vision signals from the cathode of $V_2$ to the grid of the tube, the spot is brightened in accordance with the signal amplitude, say 50 per cent., giving full brilliance by just overcoming the bias voltage developed across $R_{20}$. No coupling condenser is used between $V_2$ and the grid of the tube, so that the D.C. component of the signal is retained and the bias conditions are easily obtained. During the negative synch pulses, which correspond to the spot fly-back period between lines and between frames, the tube grid is carried more negative than the standing cut-off bias already present, and so the spot is completely suppressed during these intervals.
Suitable experimental component values for the circuit of Fig. 19 are: $R_{11}, R_{12} = 1 M\Omega, R_{13} = 10,000 \Omega, C_0 = 0.1 \mu F, V_2$ may be a german diode and $V_3$ a medium-impedance triode such as the Cossor 4T MHz. These values should prove suitable for tubes of average sensitivity, though $R_{11}$ and $R_{12}$ are open to experiment and may need to be altered.
In all the diagrams of Fig. 18 an output lead is shown marked $S$; this lead goes to some form or other of synch separator such as will be discussed next month.
Two-valve A.F.
A Neat, Light-weight Receiver
By
The increase in size of the new set is not excessive. At the same time such an arrangement results in a set which is much easier to tune and which gives a large increase in the number of stations received.
Circuit
The circuit diagram is given in Fig. 1. It will be seen that the circuit is built around a couple of ICS5GT/G valves. The advantages of using such a valve are these:
1. The ICS5GT/G valve is only 2½in. in length. This helps to keep the set small.
2. Such a valve requires only some 15 volts H.T. and about 3 volts L.T. in order to function well. The 15 volts H.T. is supplied by two G.B. batteries connected in series, and an arrangement like this will help more than anything else to keep the size of the finished set down to the very minimum. Since two valves are employed, the circuit is so constructed that the L.T. needed is 3 volts, although each valve only needs 1.5 volts.
The number of parts used still remains small and the cost, even if all the components are bought new, still remains low. Finally, a most important point must be taken into account—namely, that of upkeep. An arrangement such as has been outlined here can maintain the set at an extraordinarily low cost, as the following details show:
During its tests this set was worked for three hours a day regularly over a period of four months. At the end of this time the H.T. batteries were replaced as new—in fact, it was even found that distortion occurred if the full H.T. voltage i.e., (18v.) was applied; The L.T. batteries changed every three monthly intervals. The amount of money spent on H.T. and L.T. batteries during this period came to 7s. rd. or 5½d. per week. This would work out at 3d. per day.
Construction
The set is designed to be as light and compact as possible. The components are housed in a wooden cabinet which is made either from 3-ply wood...
or preferably 2-ply oak, which is somewhat thicker and helps to ensure a better job. The number of pieces of wood and the size of each piece is given in the following table (the figures given are for the 3-ply oak, which is slightly thicker than the ordinary 3-ply).
Top and bottom (5\(\frac{1}{8}\)in. x 3\(\frac{1}{4}\)in.): 2 pieces.
Front and back (5\(\frac{1}{8}\)in. x 3\(\frac{1}{4}\)in.): 2 pieces.
Sides (6\(\frac{1}{8}\)in. x 3\(\frac{1}{4}\)in.): 2 pieces.
These pieces should then be drilled for holding the switch, condensers and 'phone sockets. The necessary data for this part of the construction is given below:
Fig. 2(a) shows the left-hand side of the set as seen from the front. The holes for the plug sockets are both drilled \(\frac{1}{8}\)in. back from the front of the set and \(\frac{1}{8}\)in. and 1\(\frac{1}{8}\)in. down from the top of the set respectively.
The front of the set is shown in Fig. 2(b). Two holes for the tuning and position condensers and one for the switch are drilled in this piece of wood. Those for the condensers are drilled \(\frac{1}{8}\)in. down from the top of the set and \(\frac{1}{8}\)in. in from the sides. The switch is fitted into a hole \(\frac{1}{8}\)in. down from the top of the set and 2\(\frac{1}{8}\)in. in from the sides.
Once this has been done the valveholder strip and the L.T. holder may be mounted on the strip of wood which fits above the G.B. batteries. However, before finally screwing down the valveholder strip it is advisable to screw the two valveholders into position and then insert the valves in order to make quite sure that the valves do not project beyond the back of the set. The upper end of the strip may be secured to a suitable piece of wood which in turn is glued to the top of the set.
**The Aerial**
The frame aerial is now dealt with. This consists of 29 turns of wire which act as a grid winding, and five
---
**Fig. 2.—Cabinet side and front, with drilling details.**
It is quite a good idea to use panel pins for fitting up the case. At this stage only the sides, top and bottom should be joined together. When this is finished it is advisable to make quite sure that there is sufficient room for the G.B. batteries to lie in the set. It being that they fit is added a further piece of wood 3\(\frac{1}{8}\)in. x 5\(\frac{1}{8}\)in. is cut to fit above the G.B. batteries. This piece of wood is not yet fixed into position with panel pins, for at a later date components have to be screwed into position on it. The front of the set is also left off for the time being so as to facilitate wiring up.
A strip of metal is now cut to fit behind the front of the set. It is then drilled in the appropriate places in order to allow the condenser spindles to pass through, when the variable condensers are fitted into their position (i.e., through the holes which have already been drilled in the wood). In this way the metal strip which should measure 4\(\frac{1}{8}\)in. x 2in. acts as a common earth to both variable condensers.
At this point some mention must be made about the valveholder strip (Fig. 4). This is constructed from aluminium or any other suitable material and should measure (4\(\frac{1}{8}\)in. x 2in.). The strip is then bent along the dotted lines and cut so as to give the result seen in the illustration.
Finally, a holder for a No. 800 battery (L.T. battery), is also constructed from metal. This is shown in Fig. 5.
turns of wire acting as a reaction winding. The turns are wound on the outside of the set as shown in Fig. 3. The wire used is 24 gauge silk-covered. In winding the turns care must be taken to see that the turns are evenly wound on and that the various turns lie adjacent to one another. A gap of 1/20in. is left between the grid and reaction windings. The ends of the frame aerial are soldered to the legs of a terminal strip which is fitted up inside the set. A suitable earth point can be made by breaking off a small portion of a resistance board.
The components are now wired up. The wiring should be kept as short as possible for this helps to ensure greater all-round efficiency. In addition, all joints are soldered. It is advisable to make the first joint with an earth connection may be taken to a similar point on the metal plate which fits behind the front panel. The advantages derived by not fitting the front of the set into position until now will be appreciated. In the first place the wiring up of the set will be greatly speeded, and in the second the length of wiring between the front panel and the rest of the set can be kept to a minimum.
As a final additional precaution it is advisable to check up all wiring from the circuit diagram and also the direction of the coil windings.
Connecting Up the Batteries
Some mention must now be made concerning the method employed in wiring up the G.B. batteries. It has already been stated that the H.T. is supplied by two G.B. batteries.
The important point to be remembered is that the —9 volts shown on the grid bias battery must be taken as TRUE NEGATIVE. From this it follows that the —7 volts corresponds with +1 volts positive, —6 volts corresponds to 3 volts positive and so on.
If this point is kept in mind no undue difficulty should arise in the interpretation of the drawing shown (Fig. 6). Between the H.T. and L.T. there is a difference of potential of 15 volts, but the set will work quite well on a slightly lower voltage (13½ volts), and if distortion occurs it is advisable to step the voltage down a little.
The L.T. is supplied by a No. 800 battery, which delivers 3 volts. The battery fits into the holder already described, making contact with the negative strip at the side of the battery. The positive terminal at the top of the battery should be allowed to make contact with a strip of metal which then acts as the L.T.+ terminal.
Tuning
The tuning dial is first set approximately to the station it is desired to receive and the reaction control is then advanced until a soft hiss is heard in the 'phones. At this point the set is in its worst condition. The tuning dial is next rotated until the carrier wave of the station is heard. Then the reaction control is eased back until the station is rendered intelligible.
Should oscillation be erratic—
(a) Check up on all battery connections. Make sure they are firm. Make sure that the L.T. battery is in good contact with the holder.
(b) See that the H.T. voltage is not too high.
(c) Look at the frame aerial. The gap between the grid and reaction coils should not be more than 1/20in.
(d) Finally look at the wiring and make quite sure that all joints are good and firm.
Additional Improvements
There is a danger that the frame aerial might become worn if the set is left in this state after the wiring up is completely finished.
Good results are obtained, and this difficulty is overcome, if some form of webbing is wrapped around the frame aerial. In addition it is found advantageous to raise the whole set off the ground by fixing rubber stops to the base.
Further, it is suggested that the set be polished or stained in some way, and that a handle is added. French polishing will help to preserve the wood if the set is exposed to damp conditions, and will also give a good finish to the completed article. This is especially true if three-ply oak is used, for a really fine effect can be produced.
600 Radio and Television Patents and Inventions Negotiated
The Philco Corporation in the U.S. has just licensed the Radio Corporation of America to use 600 Philco patents and inventions relating to radio and television receivers and electronic gramophones. This bold statement heralds a move of world-wide importance to the entire radio industry.
The corresponding Philco patent rights in Great Britain are licensed to the A.T.L. Ltd., manufacturers of Philco radio and television receivers. A.T.L. is a subsidiary of Radio and Television Trust.
Leading in importance in the inventions covered by the agreement is the new Philco Advanced FM system. This is an entirely new system of frequency modulation detected, and it is considered one of the greatest advances in the radio art. Philco Advanced FM offers the important advantage of greater clarity in reception because it ignores natural and man-made noise and also provides a marked gain in fidelity.
The agreement just concluded between Philco and R.C.A. covers the general patent licence issued by the Philco Corporation. It covers the results of almost 20 years of research and development work in the field of radio and television.
Speaking of the agreement, Mr. J. B. Ballantyne, President of the Philco Corporation, said: "The technical progress in radio, television and electronics in recent years is extraordinarily great, and with our research and engineering facilities increased and strengthened, Philco is desirous of co-operating with others in the radio and television industries to share the fruits of our research. Such co-operation was practised extensively during the war, specifically, and the new licensing agreement with R.C.A. represents the first translation of that spirit to commercial operations."
New Midget Valves
Details of Some New Valves from U.S.A. and a Midget Receiver Built Round Them
The heart of the smallest radio receiving set being commercially produced is the post-war development of the valve that made possible the amazing performance of the VT fuse. Details concerning these sub-miniature radio valves, only 1\(\frac{3}{4}\)in. long, have been released by Raytheon Manufacturing Co., Newton, Mass.
The five Raytheon plug-in valves used in the Belmont pocket receiver weigh about a half ounce and occupy less than a cubic inch total volume, yet they perform all the functions of normal size valves found in conventional superheterodyne sets.
Each valve in the series has the same physical dimensions, measuring 1\(\frac{3}{4}\)in. by 1\(\frac{1}{2}\)in. by .30in., or approximately the cross-sectional area of an oval cigarette. Yet one of these valves (a converter) has nine active surfaces between the two glass walls which are only \(\frac{1}{8}\)in. apart.
These amazing sub-miniature valves are already finding wide application. As standard receiving valves in the Belmont pocket set, in hearing aids and special medical equipment they are demonstrating their reliability and performance.
Weight of the individual valves varies between .07 and .09 oz., depending upon the type of valve. They may be mounted directly by their leads, which will easily support the valve body, or by using commercially available sockets.
The elements of Raytheon sub-miniature valves—filaments, grids and plates—are all located and held together at top and bottom by very thin pieces of mica which have previously been punched with extremely accurate locating holes. All metal parts are held together by soldering. The filament is made from wire, less than a thousandth of an inch in diameter, made by being drawn through fine diamond dies. These valves contain more parts than those used in proximity fuses or hearing aids; about 25 to 30 parts go to make up one valve. Greatly improved performance will be the immediate benefit to users of equipment requiring such components of this size.
Of the five valves used in the Belmont set, two are radio frequency amplifier pentodes, one is a triode-heptode frequency converter, one a diode-pentode detector amplifier, and the fifth is an output valve similar to the type used in hearing aids. Two of the valves are actually combinations of two valves in one envelope. All five require less than one-third of a watt to operate and require a miniature H.T. battery of only 22\(\frac{1}{2}\) volts.
Standard Raytheon sub-miniature valves have long life, require little battery power and operate from low battery voltages. Performance compares in every way with their larger counterparts. Because they are manufactured on automatic machinery these sub-miniature products will find wide application at little increase in cost. Belmont's pocket radio is one of the first examples of their application in things to come.
BOOKS FOR ENGINEERS — By F. J. Camm
Gears and Gear Cutting, 6/-, by post 6/6.
Workshop Calculations, Tables and Formulae, 6/-, by post 6/6.
Engineers' Manual, 10/6, by post 11/-
Engineers' Vest Pocket Book, 10/6, by post 11/-
Watches: Adjustment and Repair, 6/-, by post 6/6.
Screw Thread Manual, 6/-, by post 6/6.
Wire and Wire Gauges (Vest Pocket Book), 3/6, by post 3/9.
Radio Amateurs' Examinations
Sample Test Paper and Details of the Results in the First Examination
Many readers are anxious to know what type of questions may be set in the official examinations set by the City and Guilds of London Institute, which must be passed before a G.P.O. Transmitting Licence can be obtained. So far there has only been one of these examinations, when the following paper was set:
Candidates should attempt as many questions as possible. The maximum possible marks for each question are shown in brackets.
1. A 100-ohm resistor and a 300-ohm resistor are joined in parallel and connected to a battery of e.m.f. 7.5 volts and negligible internal resistance.
(a) What is the total current taken from the battery?
(b) What power is dissipated in the 100-ohm resistor? (10 marks.)
2. What do you understand by the term "resonance"? If an inductance of 100 μH is connected in parallel with a capacitance of 100 μF, what is the resonant frequency of the circuit? (10 marks.)
3. Draw a diagram of a self-oscillating valve circuit and explain simply its method of functioning. (10 marks.)
4. Why are quartz crystals frequently used in radio transmitters? Describe, with diagram, a typical crystal-controlled oscillator. (10 marks.)
5. Explain why "standing waves" are undesirable in a feeder system connecting a transmitter to an aerial. How would you detect their presence and minimise them? (10 marks.)
6. Describe an "artificial aerial." How can an "artificial aerial" be used to measure the power output of a transmitter? (10 marks.)
7. In what ways may a low-power transmitter interfere with radio and television reception? What precautions should be taken to minimise such interference? (20 marks.)
8. What are the conditions laid down by the Postmaster-General for the frequency measurement and control of amateur transmissions? (20 marks.)
Results
The following general report is given on the papers as a whole and is not necessarily applicable to the work from individual schools.
| No. of Candidates | No. of Passes | No. of Failures | Percentage of Failures |
|-------------------|---------------|-----------------|------------------------|
| 182 | 145 | 37 | 22.2 |
This examination was the first of the series and was arranged at fairly short notice, so that entrants had not much time for preparation. In view of this, the standard of the papers was very satisfactory; 77.8 per cent of the entrants obtaining a pass. The latter was fairly equally divided between the very poor and the excellent. It is worth recording that, apart from the few candidates whose knowledge obviously was insufficient to enable them to tackle questions, the vast majority found time to attempt all the questions. Comments on the questions individually are as follows:
Question 1 (a) was answered well.
Question 1 (b)—A number of candidates encountered difficulties here, some of them calculating the total power expenditure, instead of that in the 100-ohms resistor alone.
Question 2.—The term "resonance" was fairly well described and the numerical calculation was well done.
Question 3—Most candidates could draw the diagram, though the description of how it functioned tended to be vague.
Question 4 was well done, though there was a tendency to stress the high "Q" of the quartz crystal, whereas the principal reason for using it is the high degree of frequency stability.
Question 5 was fairly well done.
Question 6 was quite well done.
Question 7—A limited number of the students answered the question somewhat thoroughly. The majority of the others did it quite well.
Question 8 was also well done.
A large number of students illustrated their answers by excellent diagrams, but a number handicapped themselves by failing to give any diagrams at all.
Next Examination
It has been decided to hold the next examination on November 15th, 1946, from 7 p.m. to 10 p.m. This decision has been reached to satisfy the requirements of the many radio amateurs whose activities have been affected by war conditions and who are now anxious to acquire a transmitting licence. It is intended that from 1947 onwards the examination will be held annually in May.
In accordance with the usual custom, the examination will be held at a number of centres throughout the country, and intending candidates should apply to their local technical colleges. The Institute's examination fee is 10s., and examination centres may charge a small accommodation fee in addition.
Applications for entry to the examination should be made to examination centres not later than October 8th, 1946. In view of the fact that a further examination will be held in May, 1947, no late entries can be accepted.
TWO VEST-POCKET BOOKS!
WIRE AND WIRE GAUGES
By F. J. CAMM
3/6 or by post 3/10
NEWNES ENGINEER'S POCKET BOOK
By F. J. CAMM
10/6 or by post 11/-.
Obtainable from all booksellers, or by post from George Newnes, Ltd. (Book Dept.), Tower House, Southampton Street, Strand, W.C.2
Practical Hints
Using a Neon Lamp as a Small Rectifier
It is possible to use the normal "behaviour" neon lamp as a small H.T. rectifier when "doctoring" in a certain way, and here is how it is done. First of all soak the base of the bulb in methylated spirits for three or four hours, then remove the cement which holds the base to the bulb, and then hold a soldering iron across the two contacts and pull the bulb away from the base. Inside will be found a small resistance in series with one of the leads, remove this and join a piece of wire, to make up for lost length, in its place.
Then solder the two wires to the contacts again, and cement up the bulb. It is now ready for use.
Here is the theoretical diagram to illustrate the method of connecting up.
The spiral element of the neon lamp is the positive D.C. connection, and the central flat plate is connected to the negative. The voltage is only small, being about 35-40 v. at about 1 mA., but sufficient power to provide for a midget one-valve set or oscillator.
The L.F. choke may conveniently take the form of the primary of an old L.F. transformer.
In the event of a faulty circuit, the most that can happen is that the lamp will blow up, or possibly become damaged. Care should, of course, be taken to ensure that this does not happen.
A mains switch and fuse were incorporated in the original, in case the 4 mfd. condenser on the mains side of the rectifier broke down, but these are, of course, optional.—G. Allonby (Windermere).
Novel Test Prod
I have found this general purpose test prod to be very useful. Valve pins can be fitted with crocodile clips, to fasten to coil terminals, etc. The idea is to give inverted readings when required, I am physically handicapped. I have only one hand, but I still manage to make my own coils, chokes, continuity test gear, etc.—J. H. Hatfield (Perivale).
L.T. Switching
When building a short-wave receiver, requiring it to be battery driven and also easily portable, I decided to use a dry battery for the L.T. supply. However, in order to save the battery when operating the set indoors, I evolved the following easy method of changing from the dry battery to the accumulator and vice versa.
A circuit break-in type of jack is fitted to the set, and wired in the manner as shown in the diagram. All that is necessary to do when changing is to connect a jack-plug to the accumulator and then simply pull this out of the set. This automatically cuts out the internal dry battery.—R. J. B. Day (S.W.20).
Simply Constructed Indoor Aerial Insulators
For those amateurs experimenting at this time on the ultra-short-wave bands, the sketches show simple and quickly made aerial insulators for indoor aerials of the doublet type, using ribbon aerial. The tubing used may be of any good insulating material, and are simply cut to half their diameter with wedge-shaped slots. Through these the ribbon is passed, turned back, and bound by copper wire, which is finally soldered. The end insulators are drilled with holes, as shown, for cord or rubber stretchers, the latter material, if obtainable, being useful to keep the aerial taut.
The simple method of connecting twin lead to the receiver via a commercial type of pedestal insulator, may be found useful where the sockets themselves are needed for experimental connections.—R. L. Graper (Chelmsford).
High Fidelity Electrogram de Luxe
Advance Details of a New Type of Gramophone Record Reproducer
In sound reproduction the term "high fidelity" has been applied to conditions in which the entire range of frequencies existing in the original performance are present in the reproduction, and the changes in amplitude of these frequencies are at all times exactly the same in reproduction as in the original sound.
It is not, however, always appreciated that other factors than a mere response, quantitatively as well as qualitatively, to the frequencies existing in a sustained note are of importance in obtaining realistic reproduction. It is a technical fact that a good deal of the special quality associated with particular instruments depends on the initial pulses of sound which they give out at the instant at which a new note is sounding. These pulses are known as transients, and it by no means follows that instruments which are capable of reproducing all the frequencies existing in a steady note are able to reproduce the very complex starting and stopping transients which may exist. These transients are particularly important in the case of instruments of a percussion type, among which must be classed the piano, and also in a complex organisation such as a large orchestra.
Separate Units
In "His Master's Voice" Electrogram de Luxe, not only has great attention been paid to the full range of frequencies covering the steady notes from 30 to 125 cycles per second, but elaborate precautions have been taken to ensure high fidelity to transient response. This has been achieved by designing a complex chain for the reproduction, from pick-up to loudspeaker. A new pick-up is employed (Moths 15) of the ordinary electro-magnetic type with a very large gap, light needle-pressure and very low inertia. Most of the drawbacks of the early type electro-magnetic pick-up are overcome, although naturally the output is reduced considerably. The amplifier takes care of this and is designed on liberal lines with two KT66's in push-pull in the output stage. Negative feedback is included, and the output is then taken to the speaker network.
All the above equipment, plus a new type record changer is included in a single cabinet, with four controls, their functions being—filter control consisting of an 8-way rotary switch providing variable top cut, and filters of surface noise; bass balance control which is in two stages, the first giving preset bass lift and the second giving overall bass balance. The remaining controls are the main switch and volume control.
Push-buttons beneath the main controls operate the automatic record changer and are "Off," "Auto," and "Manual." Similar push-buttons are provided inside the amplifier cabinet.
The record changer is of a new design which incorporates many improvements on previous models.
Speaker Design
The loudspeaker is of a complex nature, consisting of a well-built cabinet somewhat larger than the ordinary type of radiogram cabinet, in which are three speakers. Two of these are of the elliptical cone moving-coil type for reproduction of the bass, and from about 3,000 cycles upwards a new-type speaker takes over. This is a ribbon type of a ribbon (very similar to the ribbon-type microphone) suspended at the mouth of an exponential metal horn. By this means the higher frequencies are radiated over an arc in front of the cabinet instead of being directed in a more or less thin beam as with the ordinary type of speaker. The cabinet housing these three speakers is packed with glass wool to kill resonances, and a multi-cable connects the two cabinets together.
The results are certainly a revelation. At a demonstration which we recently attended various records were played, including some special test records designed entirely for "test sound" effects. Transients were produced perfectly, and even a 1937 record of the organ was reproduced with a degree of realism which we have not heard before.
Underneath the Dipole
Television Pick-ups and Reflections.
By "THE SCANNER"
The high spots of the post-war television programmes up to now have undoubtedly been the "actuality" transmissions of topical and historical events. These outside television broadcasts have been well selected, the equipment first class, and the technical results, on the whole, very good. But, in my opinion, the principal factor which has led to their overwhelming success has been their psychological effect on the viewer, who has enjoyed that exhilarating sense of being "present" at each of the events. All viewers have experienced this thrill, and have remarked upon its absence when watching a televised film of the same event, or of seeing a news reel of it at the cinema.
Mass Emotion
The very success of these outside television broadcasts must be something of an embarrassment to the programme designers at the Alexandra Palace. They tend to throw the programmes out of balance, not only by their vitality, but also owing to the fact that the best of them are usually on air only during the odd hours for the afternoon transmissions. Here is something the cinema cannot give. The event itself may or may not be of particular interest to every viewer, but the mass reaction of the spectators or audience is most vividly conveyed via ether, especially with certain commentaries. But the television host is not a spectator; Unseen and unheard, he is the man in control of the transmission, and on his judgment depends the editing of the transmission while it is actually going on, the fading from one television camera to another for long shots and close ups, and the "cutting" of sound, commentary, audience reaction and music. With films, this cutting of sound and picture is the craft of technicians of the most patient type, who are able to build up a dramatic situation or a topical event with all the laboratory care that is required by a jig-saw puzzle or a crossword. The television man is a prayer within the area of a threepenny bit. The television producer or editor, however, must be a man capable of instant decisions, whose artistic flair and dramatic sense (born, no doubt, from hard experience) enable him to anticipate all unforeseen situations so that he can put them over with all the smoothness of a well directed and well edited film. These supermen will in time be the unseen stars of television, the "big names" of tomorrow. Sydney Ross Compton-Bennett-Jack Harris-es of the film production world. May the television producers' pay packets never grow less!
The Theatre and Television.
Theatrical, variety and film management continue to be unhelpful to the television service—with a few notable exceptions. Curiously enough, one of the most open-minded is the great Stoll Theatre Corporation, presided over by Prince Little, one of the most enterprising and progressive figures in the entertainment world. This is a complete change of policy as compared with before the war, when the late Sir Oswald Stoll co-operated with the B.B.C. by allowing the televising of several shows from the London Coliseum. Sir Oswald was interested in television and presented one or two of the earliest demonstrations of Baird television experiments in the form of a variety turn on the stage of the great theatre. His son, Dennis, with Leigh Henry, also produced in 1935 a revue called "Televariety," an odd mixture of variety turns, sketches and ballet presented within the framework of a scenic artiste's idea of a future television scene of the future, complete with microphone announcements and commentary. Ballet was the principal feature of the show, however, and with such names as Lydia Sokolova, Harold Turner, Madeleine Lloyd and Stanislas Idzikowski creating new ballets especially for the production, it seems strange to recall that it was a commercial failure. But that was before the West End theatre-going public caught the ballet fever. Sir Oswald Stoll was presented by his staff with a luxury model television-gramodrom in 1938, and was a keen viewer at his home in Primrose Hill, television being the outbreak of war. And now, the Stoll organisation says "No!" to television; but I feel sure that when Mr. Little produces a show which he considers particularly suitable for television, he will grasp the opportunity of using one of the facilities thus provided. Personally, I feel that his present Coliseum show, "The Night and the Music," comes within this category! Any television viewer seeing a few excerpts from this production, especially of the wonderful spectacular scenes and ensembles, would put the name of the show down on his "Must See!" list.
The Cost of Television Programmes
It is no secret that the cost of putting on television programmes is far, far higher than the "old-fashioned" sound radio programmes. Settings, lights, technicians, stage hands and a large outlay in technical plant all add up to a huge figure, without taking into account additional rehearsal time which is really necessary to properly rehearse and present a television show. The costs in cinema studios is high—far higher than before the war, and I expect that the costs at the Alexandra Palace studios have risen in like manner. But at some film studios the making of a film is retarded by temperamental directors, ca-canny shop stewards and...
general lack of co-operation to such an extent that a film which would take 36 days to make in Hollywood requires about 100 days here! All British studios are not afflicted with this peculiar "disease" which, I am sure, is one of the principal causes of the operation of E.P.R., coupled with the control of labour. The managements tended to think "What does the cost matter—the profits will be taxed away in any case"; the workers tended to think "What's the hurry? They can't sack me, anyway!" Fortunately, the disease hasn't yet reached the Alexandra Palace.
Sponsored Television Programmes
It will be a difficult job keeping up a really high standard of programmes unless the studio space at the Alexandra Palace is considerably extended and there is a much larger allocation of money for assistants and scripts, not to mention additional equipment. I feel that the solution to the problem would be to allow the B.B.C. to televise sponsored programmes on two or three evenings each week. I do not advocate blatant advertising programmes with the numerous calls being thrown down one's dipole every few minutes! But the televising of stage plays from West-end theatres, which already occurs all too infrequently, can be considered to be on the "sponsored" list, and nobody objects to that—excepting perhaps the theatrical managers! But with one or two rival "sponsored" programme teams at work, enterprise would be encouraged and the art of television production would progress, to the gratification of all who subscribe their annual £2 for a licence.
Long-distance Television
Happening to be in the Torquay neighbourhood a week or so ago, I took the opportunity of calling upon Mr. Swaine, of Babacombe, who was reputed to have received television sound and pictures at his home. I watched over his set, scanning the horizon for signs of an elaborate aerial array, with multitudes of directors, reflectors and so forth, on the lines of the Daventry stations. To my surprise, there was a house with an ordinary dipole and reflector fastened to one of the chimneys, and that was the house of Mr. Swaine. Watching his set, which was a standard Pye, I was surprised to see a picture which was quite good. Occasionally, sound or picture faded down and back again, and it was rather disconcerting that the fading on the picture seemed to occur at a different time from the fading of the sound. When such fading was in progress, interference troubles were experienced, particularly from something which might have emanated from diathermic apparatus, and radar from an aeroplane was also picked up. This was to be expected when receiving television at a distance of over 200 miles. Nevertheless, there were long periods during which the television image was excellent, and I couldn't help wondering what the results would be like with better and higher aerials at both receiving and transmitting ends. At the Alexandra Palace, we would raise another two or three hundred feet; it would solve a lot of problems. Still, that might happen yet, if the great Exhibition of Industry is held at the Alexandra Palace, and if they decide to build a London edition of the Eiffel Tower there.
Chapter contents include: Elementary Algebra—The Fundamental Ideas—Indices and Logarithms—Equations—Complex Numbers—Compound Fractions—Series—Geometry and Trigonometry—The Differential and Integral Calculus—The Application of Mathematical Ideas to Radio. Each section contains examples and the answers appear at the end of the book.
B.S.R.A. BULLETIN
The current issue of the Bulletin of the British Sound Recording Association has recently been published, and is an enlarged 21-page number. Its contents include the first part of a glossary of disc-recording terms, selected answers from the queries dealt with by the Information Bureau, and personal news of members concerned with recording, either as a hobby or profession.
The Association hopes to arrange an exhibition of sound-recording equipment in London in the autumn. A new leaflet, giving details of the revised membership fees and the activities of the organisation can be obtained from the Technical Secretary, D. W. Aldous, British Sound Recording Association, BCM/BSRA, London, W.C.I.
REFRESHER COURSE IN MATHEMATICS
By F. J. CAMM.
8/6, by post 9/-
THE SLIDE-RULE MANUAL
By F. J. CAMM.
5/-, by post 5/6
From: GEORGE NEWNES, LTD., Tower House, Southampton Street, Strand, W.C.2.
Frequency Modulation—2
This Month C. A. QUARRINGTON Discusses the Effects of F.M. on Quality Reproduction
To complete the sideband picture discussed last month it is necessary to take into account two factors:
(a) Sidebands due to low modulation frequency produce a series of sidebands at relatively small frequency intervals from the carrier, but retain a relatively large amplitude as they recede from the unmodulated carrier frequency.
(b) Sidebands due to high modulation frequency produce a series of sidebands at relatively large frequency intervals from the carrier, but quickly lose amplitude as they recede from the unmodulated carrier frequency. For normal purposes any sidebands less in amplitude than 1 per cent. of the unmodulated carrier can be disregarded.
As a postscript to the above analysis of the frequency modulation process it may be of advantage to make one further observation for the benefit of those readers who take an above-average interest in the mathematical side of radio. Such readers may, after reading the foregoing, have some difficulty in appreciating how the vector sum of the complete sideband array can possibly combine with the carrier so that a constant amplitude is maintained, a condition which is, of course, vital to the success of the system. The clue to this problem lies in the fact that the polarity of odd-numbered sidebands is opposite to the polarity of even-numbered sidebands.
Noise/Signal Ratio
The advantages and disadvantages of frequency modulation are often drawn up and expressed in a form quite devoid of details of arbitrary values on which quoted figures are based, and often without proper reference to the fundamental principles on which certain advantages depend. Loose phraseology when comparing the advantages and disadvantages of principles sometimes leads to the impression that the advantages are inherent; while this is sometimes true, it is not the case with frequency modulation.
The practical advantages of frequency modulation are obtained by taking advantage of opportunities which many systems offer. For example, the net increase of signal-to-noise ratio which is obtained in advance of the system is achieved partly by an inherent peculiarity of the system, but also by increasing the bandwidth employed. Under given reasonable conditions, it is possible for frequency modulation to give a signal-to-noise ratio superior to amplitude modulation, by more than 375 : 1 or, if a further consideration is taken into account, which is to some extent economic in character, this increase is doubled.
The increase of signal-to-noise ratio of 375 : 1 is not achieved entirely by inherent physical advantages but by three separate factors, only one of which is the smallest, is inherent in the system; the second is obtained by taking advantage of an opportunity, and the third by what actually amounts to a trick. It is desirable, therefore, that the physicist go a little further and to examine the several factors which contribute to the increased signal-to-noise ratio, and to record the extent to which each contributes to the overall gain. Before doing so however it is necessary to make some reference to the Limiter stage, even though a full description of this device must necessarily appear in a later article.
The second detector in a frequency modulated receiver is replaced by an amplitude limiter and a frequency amplitude converter. The purpose of the latter device is to convert the frequency modulated carrier into amplitude modulation in order that the original broadcast material can stimulate the human ear by means of a loudspeaker and ancillary equipment. Immediately before the converter is placed the amplitude limiter, the sole purpose of which is to prevent any amplitude modulation however caused from reaching the frequency amplitude converter. This, at first sight, would seem to effect a too per cent. noise elimination, provided, of course, that the wanted signal was powerful enough to operate the limiter effectively; unfortunately however this state of perfection is not realised, since the presence of amplitude modulation (of which noise is almost entirely composed) causes phase modulation which exhibits certain of the characteristics of frequency modulation.
Effects of the Limiter
It is not considered desirable to enter into a mathematical analysis of the wave-form that appears in the limiter anode, since it will be more advantageous to take the strictly practical viewpoint and summarise the effect of the limiter which in its most popular form is a high-slope short grid-base pentode valve biased by the incoming signal and working with very low anode and screen voltage. An incoming signal of adequate strength biases the valve in a manner corresponding as nearly as possible to the amplitude modulation shape of the incoming signal; the low screen and anode voltages cause the valve to saturate easily, and if correctly designed the gain will be inversely proportional to grid bias, and output will remain at a constant level for any input above a certain minimum level. Amplitude variation, although suppressed by the limiter, causes phase modulation which has the effect of introducing a percentage of noise in a form that amounts to frequency modulation, depending on carrier deviation; assuming that such deviation is equal to 10 per cent., in a frequency range of 15 kc/s, the relative standard, the increase of signal-to-noise ratio over an amplitude modulated receiver working under favourable conditions is roughly 3 : 1. Certain forms of noise, such as the impulse noise caused by automobile ignition, results in a condition whereby...
a signal-to-noise ratio gain, substantially better than 3:1 is obtained; clearly, this factor is of a special significance where television is concerned, and furthermore, impulse noise will normally form a significant part of total noise. It follows, therefore, that in normal conditions the above quoted figure of 3:1 may be conservative.
It is not necessary or even desirable to confine the carrier deviation to the maximum audio frequency to be modulated; clearly, then, noise can be further increased by increasing carrier deviation, so that deviation to noise is proportionally less significant. The tentative standard for frequency modulation in this country is a maximum audio modulating frequency of 15 kc/s, and maximum carrier deviation (i.e., caused by the expression of both audio frequency and carrier) of 75 kc/s. This, as explained in the previous article, gives a deviation ratio of 5:1, which in turn gives an increase in signal-to-noise ratio of 25:1. It will be recalled that the gain due to the action of the limiter valve was 3:1, while the second factor, the use of a high deviation, gave an increase of 25:1. Combining these two gains, total gain is achieved in signal-to-noise ratio of 75:1. On reflection, it may appear that the gain obtained from increasing the bandwidth will to some extent be offset by permitting additional signals due to noise; while this is in fact the case, it has no practical significance, since such additional noise interference will be outside the range of audible frequency providing that the carrier amplitude is greater than noise amplitude.
The Third Way
It was suggested in an earlier paragraph that the increase of signal-to-noise ratio obtainable by frequency modulation was achieved in three ways. By an inherent advantage of the system, the action of the limiter valve; by taking advantage of the opportunity to increase the bandwidth; and finally, by means of the D.C. The first two ways have already been described in detail; the third way, is by emphasising the high notes of the audio-frequency band at the transmitter, and effecting a corresponding high-note attenuation at the receiver; this procedure is called pre-emphasis and de-emphasis, at the transmitter and receiver respectively. The higher audio frequencies of even the very best quality reproduction are low in amplitude, compared with the middle and lower frequencies, and it is the higher end of the audio frequency range where the bulk of unwanted noise is found. It is therefore, quite a simple matter to give a rising audio frequency characteristic to the transmitter, and equally simple to bring about a corresponding falling off at the receiver. Providing that the rise at the transmitter and the fall at the receiver is equal, no loss of quality will result but the falling characteristic of the receiver will bring about a corresponding reduction in noise. Clearly, the gain in signal-to-noise ratio obtained in this manner will vary with the type of noise experienced and the extent of pre-emphasis used at the transmitter which will be inversely imitated in the receiver. A gain of 10:1 is however easily obtainable. By combining this gain with that due to the limiter valve (3:1) and the use of deviation ratio of 5:1 (giving a signal to noise gain of 25:1) the resulting total is $3 \times 25 \times 5 = 375:1$.
The use of a bandwidth five times greater than the highest audio frequency to be transmitted seems somewhat reckless when it is increasingly difficult to find frequency space for the innumerable radio stations that desire to operate. It is necessary, therefore, to compare frequency and amplitude modulation from this particular standpoint. It will be recalled that when two amplitude-modulated transmitters are working on adjacent frequencies, interference in the form of an audible note, or heterodyne will result if the separation between the two carrier frequencies is not greater than the limits of audio frequency; such interference will, of course, depend in volume on the selectivity characteristic of the receiver and the relative power of the two stations. As a rough guide, it may be said that the wanted station must be greater in amplitude than the unwanted by at least 10:1 for comfortable enjoyment of the spoken word, while for the enjoyment of music this figure may be reduced to 6:1. Even if the carrier frequencies of amplitude-modulated transmitters are spaced sufficiently far apart to prevent a continuous whistle being introduced, interference will still be present due to the sidebands of the unwanted transmission inter-acting with the wanted carrier; such interference is colloquially called "monkey-chatter," and will be all too familiar to the reader.
Station Separation
Attention can now be turned to the behaviour of frequency modulated transmitters working on adjacent frequencies. It is first of all necessary to become acquainted with two facts. The interference arising between two frequency modulated transmitters brings about interference that is (a) equal in frequency to the carrier frequency separation, and (b) directly proportional in amplitude to the carrier frequency separation; (b) is more significant since it means that the closer are the carrier frequencies to one another, the smaller will be the amplitude of the resulting interference—in practice, however, mutual interference reaches the maximum nuisance value when the carrier frequencies are spaced by about 5 Kc/s and even at this critical stage the interference begins to be tolerable when listening to the spoken word, as the amplitude ratio of wanted to unwanted transmitter becomes better than 2:1, which is a very great advance on the figure of 10:1 quoted for amplitude modulation. Both these figures can be regarded as the minimum ratio at which the economy of the system can be carried on conveniently. To summarise, for an equivalent set of conditions the interference area of an amplitude-modulated transmitter, is greater than the interference area of a frequency modulated transmitter.
There is one further advantage of frequency modulation, which in effect still further increases the signal-to-noise ratio but as intimated at the beginning of this article, it is to some extent more economic than technical in character. The point is that a transmitter using amplitude modulation should be designed to permit ten per cent modulation, which means that the D.C. supply must be double that required when the carrier is unmodulated; since the amplitude of a frequency modulated carrier is constant, it follows that for amplitude for amplitude the power amplifier will only require half the D.C. supply which would be needed for a given strength at the receiver, under given conditions, the input power for the frequency modulated transmitter is half that required for a similar amplitude-modulated installation. From the economic point of view, this advantage is enormous; not of course,
(Continued on page 482)
COULPHONE RADIO
"THE RETURN OF POST MAIL ORDER SERVICE."
Station Road, New Longton,
Near Preston.
New Goods Only—Over 15,000 satisfied
clients. Most comprehensive stock of
radio sets and parts in this country.
C.O.D. or cash with order. All orders
over £2 sent by post free. Postage charges
are listed below, send 2d. stamp for
intimation.
Valves—All B.V.A. and Tungsram,
including American.
Kitted—All wave gear. 2d. stamp for list.
Mains Transformers—Interleaved
and Impregnated. For 200/240 v. mains,
300 v. 6 mA. 4 v. or 8 v. L.T.s. 17/6
300 v. 10 mA. 4 v. or 8 v. L.T.s. 17/6;
450 v. 200 mA. with three L.T.s. 4 v. or
8 v. 17/6.
Smoothing Chokes—40 mA. 4/6;
50 mA. 4/6; 60 mA. 7/-; 100 mA. 9/6;
125/6; 300 mA. 21/6.
Speaker Transformers—Midget Pen-
dulum 4/6; Midget PowerPen 40 mA. E.C., Std. size Push-Pull Over-
load 40 mA. 10/6; Extra H.D. 21/6.
Extra H.D. 100 mA. 37/6.
Mains Fuses—100 amp. with feet
and two faders, 2 amps. 4/3; 3 amp.
4/6.
Loud Speakers—P.M. 21in. 25/-; 31in.
28/8; 50in. 20/6; 81in. 22/6; 101in. 25/6.
W. 21in. 25/6; 31in. 28/6; 50in. 20/6.
Weymouth Tuning Coil Pack—Com-
plete with 2-way Short Wave and
Long Wave Superhet type for 250 k/c.f.
I.F. 380k.
Line cord, 60/70 ohms per foot. 3 amp.
Note price per yard, 2 way, 1/6; 3-way,
1/6.
Tuning Condenser—Midget 2-gang
0.0005 mfd. 250 volts. 1/6.
And everything from a grid clip to a
50 watt amplifier. Send NOW for that
catalogue which saves you time.
EXCLUSIVELY MAIL ORDER
WEYMOUTH SUPERHET
A.C./D.C. ALL-WAVE SUPERHET KIT
kit is assembled from the best parts, cali-
bration, tracking and I.F. alignment
assured by use of 30 Coil Pack. Kit consists
of 2-way short wave and long wave
tuned circuits, complete with dial, aligned iron-cored permeability
transformers, 2-way superhet type, and
F.M. speaker. Performance equal to factory
built. Circuit, separate 1/6.
100gns.
Cash with order or C.O.D. over £2
SEND 1d.
STAMP FOR LATEST PRICE LIST.
COIL PACK
Covers 19-50, 200-550 and 800-2,000
metres, for 200-2,000. Single hole
finished only 5l coloured wire to
connect. High sensitivity and selectivity,
and when receiver is built to design
GIVEN WITH THE PACK, fine bass
reproduction is assured. Available
from your dealer. Price 81 18s. 6d.
WEYMOUTH RADIO
MFG. CO. LTD.
Crescent St., Weymouth,
Dorset
Grams, 'Weyrad.' Phone: 70112
WEBBS' Radio
THIS MONTH'S SPECIAL OFFERS
with Webb's Unconditional GUARANTEE of Satisfaction
WEBB'S
Superhets—Long 2-band Slow-motions
with escutcheon 5lhn. x 4in.,
calibrated scale and pointer 10s. 6d.
EDDYSTONE
Non-Standard MICRODENSER
5 p.f., 3,000 v. spacing. Adequate for UHF
tuning and neutralising ... 1s. 6d.
PORTABLE AMPLIFIER CASES
high grade construction, totally
watertight, finished black lacquer.
Overall size 16in. x 8in. x 9in.
Chassis punched for transformer and
other components. Front with carrying
handles and ventilating louvres.
Suitable for P.A. on domestic
amplifiers, modulators, etc. ... £2 12s. 6d.
TUNING CONDENSER
single-gang .0005 ceramic insulation. 8s. 6d.
LEXINGTON Moving Coil Pick-up
automatic rejection of sapphire or
steel needles ... 1s. 6d.
Transformer and Mu-boxal box £1 10s. 2d.
Sapphires ... 1s. 3d.
PICK-UPS for all purposes
Rotherham senior crystal $2 16s. 6d.
B.T.H. magnetic ... $1 11s. 9d.
HI-FI OUTPUT TRANSFORMERS
secondaries tapped 2, 7 and 15ohms,
20 watts—in four push-pull types.
PPFH4, 4,000 ohms; PPFH6, 6,000 ohms;
PPFH8, 8,000 ohms; PPFH10, 10,000 ohms
Anode to Anode Load each £1 7s. 6d.
HEADPHONES
Webb's Lightweight, by
Brown, 2,000 ohms ... 6l 4s. 0d.
URALUMIN TUBE
for receiving and transmitting aerials.
In 8ft. 6in. lengths covering five and
ten metre radiators and reflectors.
Inside diameter 3in. Per ftic. 6l.
length 45d.
NOTE: CALLERS ONLY FOR THIS TUBE
EDDYSTONE. Full Range of Components Available Ex Stock. New Illustrated Eddystone Components List Now Available.
WEBB'S RADIO
14, SOHO ST., OXFORD ST.,
LONDON, W.I.
Note our SHOP HOURS 9 a.m. to 5 p.m.
Sats., 9 a.m. to 1 p.m.
Telephone: GERard 2089
Further Points for the S.W. Constructor
In this Article "EXPERIMENTER" Deals with Various Forms of Instability, Volume Control, etc.
After dealing with the simplest points which confront the S.W. constructor—such as insulation and wiring—a number of other factors remain. Amongst these may be mentioned the various forms of instability which may arise from faulty layout; points to bear in mind when modifying published designs for experimental or other reasons, etc.
Instability in R.F. Stages
The symptoms of oscillation in an R.F. stage will be a whistle when tuning through stations. These whistles may be quite faint and may not be present at all on some frequencies of the tuning range; reducing the gain of the R.F. stage by the V.A.M. volume control may stop the instability if it is not very serious.
This trouble is caused by feed-back from the anode circuit of the R.F. stage (in which must be included the tuned circuit of the next stage) and it is only by removing this feed-back that a real cure will be effected.
One of the most likely causes is coupling between the coils in the R.F. and detector circuits, especially if the coils are not screened. Although satisfactory results may often be obtained if the coils are at least 6in. apart, with thin metal objects between (such as the ganged tuning condenser), if the trouble persists, a metal screen may be erected between the coils. This screen should not be near either coil or the tuning range will be affected, and it should extend well beyond the coils in each direction.
Where fixed or switched coils are used it is often possible to arrange these so that the chassis provides screening. To avoid trouble caused by the switch leads to each stage should be kept well apart or a switch with two or more separate sections used.
R.F.-Detector Feed-back
Feed-back from the anode circuit of the detector to the grid circuit of the R.F. stage usually results in instability only arising when the reaction condenser is advanced. If a meter is connected in the anode circuit of the detector it should be included on the H.T. side of the anode coupling condenser, i.e. bypassed by means of a \( \times \) mfd. non-inductive condenser and the R.F. grid coil shorted, this will show whether the R.F. valve is oscillating by a change in deflection.
The cure will be a good layout with reaction leads well clear of leads in the R.F. stage. A good decoupling and by-pass condensers to prevent R.F. straying into the A.F. circuits will also be of use. In some cases screening the leads to the reaction coil will remove the trouble.
A.F. Instability
This usually shows up as heaving, bubbling and whistling noises which scarcely vary at all with adjustment of tuning and reaction controls. It shows that feed-back is occurring in the A.F. parts of the circuit.
When searching for a cure the decoupling should be improved by using a larger decoupling condenser or larger decoupling resistor if there is any doubt as to the suitability of the components used.
If more than one A.F. transformer is used, reversing the secondary connections of one may improve matters. Special care in phasing should be kept clear of the aerial and other wires in the set.
Modifying a transformer-coupled stage to R.C.C. will generally cure this trouble, especially if the set was originally intended to have R.C.C. and the constructor had included a transformer to secure greater gain.
I.F. Instability
Due to the complete screening of the transformers this does not usually arise except in receivers with more than one I.F. stage. If it does, the screening cans may not be perfectly earthed, or leading the transformer leads may be longer than necessary. It is wise in order to screen the leads, if necessary, as they are not required to handle signals of S.W. frequencies.
Coupling through V.M. bias circuits may also cause the trouble, and the V.M. feeds to the transformers should be decoupled by a megohm resistor and \( \times \) mfd. condenser being suitable. It may also prove of advantage to lessen coupling between the transformer windings where this is adjustable.
Acoustic Instability
This is caused by direct vibration or the sound waves from the speaker impinging on R.F. components or wiring. Solid construction is helpful, although the simplest cure is usually to house the speaker in a separate cabinet. It seldom arises except in very sensitive receivers and a T.R.F. set operated with reaction at its most sensitive point is more prone to it than a superhet.
Modifying Designs
This is usually done for experimental reasons or to use parts readily available. It is often quite satisfactory provided circuit requirements are not overlooked, when disappointment may result. For example, replacing a triode detector by a S.G. or pentode detector will not give improved results unless the impedance of the anode load is also increased—a 100,000 ohm resistor or high-impedance choke or transformer being used. And, as an anode resistor of this value will reduce the anode voltage, a screen voltage of as low as 30 may be best, although the same valve may require 70 or more volts in an R.F. stage.
Coils
The various makes of plug-in coil can be used to replace one another, provided the holder is replaced according to the data sheet of the particular coils used. Similarly, 6-pin coils may be used instead of those of the 4-pin type by omitting the primary winding connections. Four-pin coils may sometimes be used instead of 6-pin coils, but there will, of course, be no primary lead, thus the aerial must be connected via a small condenser to the grid coil, tuned-anode or tuned-grid coupling used instead of R.F. transformer coupling between R.F. and detector stages.
Valves
Replacing 4-pin types by 7-pin types, and vice-versa, presents no difficulties unless the circuit is such that the suppressor grid should not be connected to earth, as it is (via the filament leg) in 4-pin types. In the output stage a triode may replace a pentode, but the reverse is not always possible as instability may arise.
Reaction and Tuning Condensers
The capacitance of reaction condensers may be changed if it is remembered a larger capacitance will give a more coarse control, while a smaller capacitance may not be large enough to provide sufficient reaction. Values from .0001 to .0003 mfd. are usually quite suitable.
The capacitance of the tuning condenser will govern the range tuned, and above .0002 mfd. is unsuitable for S.W. operation. Larger condensers make tuning difficult, and results are not good when the component is
approaching its maximum position. Apart from this, such a component will have a higher minimum, and a good condenser of about .00015 mfd. is usually best.
**Volume Controls**
V.M. controls may be between 10,000 and 100,000 ohms, but if the potentiometer forms part of a voltage dropping network, as is sometimes the case, the results of modifying the value shown should be considered. Rather lower values will naturally impose a greater drain upon the G.B., or H.T. supply in the case of S.G. volume control.
For A.F. volume control it is not wise to deviate much from the nominal value of .25 or .5 megohms, otherwise loss of volume and inferior tone will result.
**Screen Supplies**
Frequently, R.F. screens are supplied through a voltage-dropping network, and this can usually be omitted if desired, a separate connection to the H.T. supply being used for the sets of battery sets. In some cases, however, instability may be caused, and decoupling by a mfd. condenser from screen to earth should be used. In addition, it may be necessary to add a decoupling resistor of from 10,000 to 100,000 ohms in series with the screen lead.
**Mains Receivers**
Although many modifications may be made when constructing a mains receiver, alterations which will result in changed current consumption (e.g., output valve changes) should only be undertaken when it is known that other valves or components will not be damaged as a result. Likewise, voltage-dropping networks should be retained and valves of the specified types used.
---
**The Surrey Radio Contact Club**
At a recent meeting of the club, 36 members attended to hear Mr. C. Crook, G5BT, give a talk on Cathode-Ray Oscilloscopes. The chair was taken by the president, Mr. H. Bevan-Swift, G2TI.
Mr. Crook went into the various uses of Oscilloscopes at amateur stations, and also went into the design of various types of time bases. Two C.R.T.s were used to illustrate his points, one being used to show the wave-forms of the other. Hon. Sec.: L. Blanchard, 122, St. Andrew's Road, Coulsdon.
**The South Shields Amateur Radio Club**
The activities of the above club are going ahead rapidly. New members keep coming in, and the interesting lectures and demonstrations are still main features.
Recently G8VV gave an interesting talk on crystals, their uses, and testing. Talks to short-wave workers were very interested, and it is the aim of the club to encourage new Hams. Secretary: W. Dennell, 12, South Frederick Street, South Shields.
**Medway Amateur Transmitters Society**
The post-war plans of the society are now well in hand, and showing considerable progress with groups of members busy with the construction of club gear. A 100 kc/s crystal oscillator is complete and available for calibration work, together with Lecher wire equipment for V.H.F. The society's transmitter is well under way, and will soon be heard on C.W. on the bands, with the club callsign G7CF. Regular reports would be welcomed. A full programme of interesting talks and lectures has been arranged, and will cover a wide range of subjects. A "brains trust" evening which proved very successful recently is due to be repeated at frequent intervals. Several of the members are called upon to answer technical questions put to them, and they are expected to provide between them a satisfactory answer no matter how elementary or otherwise the query. Many of the members are active on all the short-waves, including G4AU, G3FN, G3JV, G8RQ, G2FAO, G2FVD and G2DOH.
Meetings are held every Monday at 7.30 p.m. at the Co-operative Employees Welfare Club, 207, Luton Road, Chatham, and all interested in radio, including servicemen stationed in the area, can be sure of a welcome. Hon. Secretary: Mr. S. J. Coombe, "Stanvic," Longhill Road, Chatham.
**Bradford Short-wave Club**
The above club has now obtained permanent H.Q. at 1,374, Leeds Road, Bradford, and all future meetings will be held at that address. Meeting night at present is Monday, but when settled down it is expected to open most nights during the week. Arrangements have already been made for the renewal of the club's transmitting licence (G3NN), and it is hoped before long to get on the air. Hon. Secretary: W. V. Sowen, G2BYC, 6, West View, Eldwick, Bingley.
**Sheppey Amateur Radio Club**
At the July meeting of the above club, sufficient evidence of keenness in amateur radio on the island was displayed by the promising gathering of members for a discussion on the reformation of the club and its future activity and policy.
The response of the "licensed hams" on the island was not as great as was expected, nor as was desired, but it is hoped that the re-formation of the club will offer suitable attraction to increase its membership, in spite of a weak wave of pessimism which has been created.
The future programme was discussed, and an agenda was laid down embracing such items as Theory Classes in Transmitters and Receivers, Morse Classes, Lectures, visits to other Radio Interests, Exchange of visits to other Clubs, etc. etc. The resolution was carried unanimously to extend a cordial invitation to all S.W. enthusiasts on the island to become members, and at the next meeting the election of officials will take place.
Full information and particulars will be obtained from the Hon. Secretary, F. G. Maynard, G4OU160, Invicta Road, Sheerness, Kent, who will likewise be pleased to see any S.W. enthusiast interested at his QRA, at any time.
**Stoke-on-Trent and District Amateur Radio Society**
A NEW Radio Society has been formed: "The Stoke-on-Trent and District Amateur Radio Society."
At the last meeting the chairman, Mr. T. Rudge, gave a talk on modern deaf-aids and their uses, followed by a discussion on wireless aerials.
Later on it is hoped to organise morse classes for would-be key-tappers.
All with an interest in radio are welcomed, especially ex-Navy, Army and R.A.F.—not forgetting the ladies' Section, W.A.S., A.I.T.S., etc., etc. A.A.F.S.
Any local reader wishing to join the "happy band" should contact the Secretary, Dan Poole, at 13, Oldfield Avenue, Norton-le-Moors, Stoke-on-Trent, Staffs.
**The Wirral Amateur Transmitting and Short-wave Club**
The Wirral Amateur Transmitting and Short-wave Club has been brought into being. With past and prospective members in the areas of Bromborough Wallasey and West Cheshire communicate with the Acting Secretary, B. O'Brien (G2AMV), "Caldy," Irby Road, Heswall, Cheshire, with a view to calling an early meeting.
Impressions on the Wax
Review of the Latest Gramophone Records
"MIRACLE IN THE GORBALS" is one of the most striking ballets to be added to the repertory in recent years. The scene is laid in the notorious riverside slum area of Glasgow, known as "The Gorbals." Against this grim backcloth Robert Helpmann, who conceived the ballet, has placed a modern incident. In the first act of "The Gorbals" we see the sordid life of the area; sailors from the docks, lovers, sinister youth in slouch caps, degraded by their surroundings and ready to use a razor on any provocation. The Girl Suicide enters, driven to the last search for oblivion for inner spiritual madness. The Young Lovers pass across the stage, wrapping up in each other and claiming some of the tenderest music in the score. Then the suicide's body is discovered and brought from the river. The Stranger, a raggedly-dressed man whose air of authority and dignity sets the others into uneasy silence, brings the dead girl to life and the Dance of Deliverance follows. In the end, however, the stranger is attacked and killed by a razor gang, suborned by a Judas of the Gorbals. The whole conception is remarkable, and those who saw Helpmann himself dance the part of the divine stranger will not easily forget him. Arthur Blyth's score was specially written for Helpmann's production, and the scenes given in this new recording by the Covent Garden Opera Orchestra under Constant Lambert provide an intimate survey of the brilliant music. The records are Columbia DX1260-1.
Strauss Waltzes
MANY of the waltzes of Johann Strauss contain introductions of great beauty, fixing the atmosphere of the main piece before the main tune gets underway. "Tales from Vienna Woods" is one of these, with a short prelude strongly suggestive of early morning mist clearing before the sun in the woods near the city. Both this and its companion "Voices of Spring" are accorded the virile treatment they require by Kostelanetz and his talented body of players on Columbia DX7459.
"The Ruler of the Spirits," recorded this month on Columbia DX1262 by the Philharmonia Orchestra under the able baton of Walter Susskind, is one of Weber's earlier works, and it clearly shows the command of orchestration and the sense of drama that made have the later dramatic works of Weber so famous. There are some delicious passages for woodwind, delicately interpreted by the talented musicians of the Philharmonia Orchestra. Walter Susskind shows complete sympathy with the freshness of Weber's orchestral writing.
Charles Shawell's New Orchestra
FOLLOWING on the remarkable success of "The Dancing Years," Ivor Novello created a new "best-seller" in "Perchance to Dream." He composed it, wrote the libretto, and plays the lead in it. The story deals with the adventures of a lover through three generations—Renaissance, Victorian and Modern. There is plenty of romance and humour, with the charm of Novello's music running all through the piece. The generous selection of tunes from the show on H.M.V. C3501 is beautifully played by Charles Shawell and the orchestra he has formed, who is taking on tour after leaving the B.B.C. Few artists could be better qualified to interpret the score of "Perchance to Dream," which is theatre music at its best.
Alan Rawthorne's "Street Corner" Overture, recorded this month by the Philharmonia Orchestra conducted by Constant Lambert, on H.M.V. C3502, is a short and brilliant overture commissioned for ENSA symphony concerts for war-workers. Its purpose was to provide a short opening-piece playing not more than ten minutes or so to begin a concert, showing off the brilliance of the modern orchestra and putting the audience in the frame of mind to listen to more substantial fare.
"The Pearl Fishers"
HEDDLE NASH, tenor, with the Liverpool Philharmonic Orchestra conducted by Dr. Malcolm Sargent, chooses two arias from "The Pearl Fishers" and "La Favorita" for his latest recording on H.M.V. C3409. They are: "In Memory I Lie Beneath Palms and Dream of Love," and "Spirit so Fair." At the point in Act I of "The Pearl Fishers" where the first aria comes, a pearl-fisher, Nadir, feels his tender love for the priestess Leila returning, as he recalls in his mind all the memories of his first sight of her "beneath the palms."
Delibes's opera "La Favorita" deals with a young man, Fernando, who forsakes the monastic life for love of Leonora, a king's mistress who is married to the hero as a reward for military services rendered. Fernando does not know Leonora has been the king's love and on learning the truth his horror is such that he determines to re-enter the monastery. Leonora comes to him, dying of remorse and grief, and he forgives her.
Variety
ANNE ZIEGLER and Webster Booth have this month recorded two songs from their latest film "The Laughing Lady" on H.M.V. BD490. "Laugh at Love" and "Love is the Key" is a very charming recording and is typical of these two famous duettists.
Leslie A. Hutchinson ("Hutch") has chosen two popular songs for his latest recording on H.M.V. BD491, "Day by Day" and "High Time," both of which are played in the "Hutch" style.
Another vocalist who is becoming increasingly popular is Jean Cavall, the French Canadian singer. This month he sings "Prisoner of Love" and "Encore un jour qui passe" (Another Day is Over) on H.M.V. BD491.
Paul Fenouillet with the Skyrockets Dance Orchestra, now starting in the London Palladium show "High Time," plays Primrose Hill," with vocal by Cyril Smith, and "Blue Moon" with vocal by Dorrell Lundy, on H.M.V. BD4938, whilst Joe Loss and his Orchestra have recorded "It Couldn't Be True" and "Save a Piece of Wedding Cake for Me," on H.M.V. BD5936.
Sinfra fans will be pleased with his latest recording of "I Only Have Eyes For You," coupled with "I Don't Know Why," on Columbia DB2330, or if you like Turner Layton's style of singing you should not miss "Primrose Hill" and "If I Can't Help Somebody," sung by him on Columbia FB3234.
Another vocalist who has been likened as "the English Bing Crosby," is Steve Conway, and accompanied by Jack Byfield and his Orchestra he has this month recorded "Beautiful Dreamer" and "Temptation," on Columbia FB3233.
In the swing section there is a formidable array of dance bands. First we have the Benny Goodman Quartet, with Benno Goodwin on the cornet, Slam Stewart (bass), Teddy Wilson (piano), Mike Brian (guitar), Mory Fields (drums) and Red Norvo (vibraphone) with two numbers, "She's Funny That Way" and "Rachel's Dream," on Parlophone R3008, and Count Basie and his Orchestra singing "Lazy Lady Blues" and "Stay Cool" on Parlophone R3007. Finally we have the one and only Gene Krupa and his Orchestra playing "Aprikosdy" and "Ta-ta-ra-Boom-de-Ay" on Parlophone R2905.
Programme Pointers
Further Notes on the National Memorial.
By MAURICE REEVE
Just as I had finished writing about my suggested acquisition of a West End theatre as the Henry Wood Memorial Hall, came news of plans adopted and an outline of the shape this seems likely to take.
Firstly, a site in the heart of Marylebone Road. This seems little, i.e., any, advantage over Kensington, which is not only the present centre of the nation's musical life and activities, but is where the Shakespeare National Theatre contemplated raising its head some years ago. Land, I believe, was bought for the purpose.
One of the objections to the Royal Borough is its lack of that stimulating atmosphere for concert-giving and concert-going, which the neighbourhood of Langham Place and Wigmore Street possesses in such a marked degree. This is a very important point and of equal interest whether you are thinking for pleasure or profit. The neighbourhood of Madame Tussauds and Dr. Watson's practice may be less atmospheric even than the Albert Memorial and Exhibition Road. At least the Albert Hall can claim to have borne on its boards all the great musicians from Wagner to Jeanette MacDonald over a period of some sixty years' approach to a century. The new hall will have to build and create its own atmosphere and tradition during the passage of the years—no easy task.
The second point, as great an advantage as the other is a disadvantage in fact, starting from scratch, the organisers will be able to create a hall embodying every conceivable device and modern invention for the honour and glory of music. In fact, there are to be no less than three halls, seating 3,000, 1,200 and 600 respectively.
Looking complications are easily imaginable here. In the old days top grand concerts used to be given, simultaneously, in Queen's Hall (Langham Place), Wigmore Hall (Wigmore Street), and Aeolian Hall (New Bond Street). Competition between the rival artists was largely carried out by the distance between, although critics, sometimes to their own harm of the recitalists, used to lumber between the three places with feelings little short of malice aforesaid.
Whether it will be possible to house, successfully, three such events on the same evening in the same building must be an entirely different kettle of fish.
The whole thing is to cost £450,000, of which £42,000 have already been raised.
The Proms.
The present series of what we must now and in future call the Henry Wood Promenade Concerts raises questions which should not avoid answers were more than the finances of the season in dispute. The programmes have grown far beyond what was either the original intention behind the concerts, or what is capable of being done in them, that is to say, a middle standard. Either two symphonies and a concerto or two concertos (by the same soloist) and a symphony, plus overtures, arias, suites and what not, every night for forty-eight consecutive nights is more than can either be adequately rehearsed, perfectly presented or critically listened to.
We must not forget that these concerts now compete with the most famous series of symphony concerts. They are, in fact, symphony concerts. Or perhaps I should say "symphonic concerts." They are "Promenade concerts" in name only. And as such they naturally invite criticism and comparison with any other series. No excuses on the unique conditions and circumstances of their offering or reason for existence should either be offered or accepted. Many know that the greatest masterpieces of symphonic music are performed at them after only the most perfunctory rehearsing; nothing else is possible. New works and concertos get most of the rehearsal time available.
The Critical Public
It would be deplorable, on all counts, if the concert-going public ceased to be a musical public—that is to say, a body of people whose critical faculties and whose powers of comparison as between one performance and another, a body with acute perceptions and preferences, likes and dislikes, knowledge and discretion—and just degenerated into concert-goers and picture-goers. When people rush the streets if they can do so that they "go to a concert" because it has become one of a number of entertainments provided in every community, but with little knowledge of what is on and less still of how it is put over, then, indeed, a sad day will have arrived.
There are ominous signs, one of which is this massed herding to listen uncritically and indiscriminately. The foreign competition, which has already begun to come along, will do much to check it. We mustn't become so champagne-thirsty that we draft it out of any old tea-cup or tin mug that may be within reach so long as it is at a somewhat reasonable price. We ever bear in mind that it is not "champagne" but merely another intoxicating liquor unless drunk in the right time, the right place and the right conditions.
Solomon's Return
Solomon's name was missed from this season's "Proms." He returns from an extensive tour of Australia and South Africa in November. Many important dates have been fixed for him during the winter. We miss pianists of his calibre. And more still those like Casals and Toscanini. The cancellation of the latter's concert this summer was a big blow to the music lover of discrimination, though he is to come in the winter. It made us realise that even musicians err and have unbalanced judgments at times. What a pity they can't play that art first and leave all things, and take the point of view that it is much more important that the world hear their incomparable art than that some tenth-rate hoodlum rules in God knows where. Their presence and art in current English musical life would do immeasurable more to revive our critical faculties and perceptions, and to inspire the fads of their otherwise discredited countries, than all their "strikes" and feeble protests. When will people learn sense?
A story of Toscanini's demand for perfection, though perhaps going too far in the reverse direction, well illustrates the comparison with what I have just remarked. He was to have conducted the Ninth Symphony through the Beethoven centenary celebrations. But after more than thirty hours of rehearsing, he laid his baton down on the desk in front of him and said to the orchestra and choir: "Ladies and Gentlemen, next year!" He demanded the same standards that were demanded of him.
PRACTICAL WIRELESS SERVICE MANUAL
By F. J. CAMM
From all Booksellers 8/6 net, or 9/- by post direct from the Publishers, George Newnes, Ltd. (Book Dept.)
Tower House, Southampton St., Strand, London, W.C.2
Open to Discussion
The Editor does not necessarily agree with the opinions expressed by his correspondents. All letters must be accompanied by the name and address of the sender (not necessarily for publication).
A Belgian Reader's Results
SIR,—When I received your August issue, I managed to build the super economy as a one-valver. After achieving satisfactory results, I began trying to improve it.
There are some amendments which could eventually interest your readers. Instead of a simple triode, I put in a double grid valve, actually an A441N. At first this valve may seem unusual to British readers, but it has many British equivalents, such as the PM4DG Mullard, 6JX7 and AB4 Mazda, 210 and 4J0 DG Cossor and G4 Queen.
After a series of experiments by the trial and error method, I settled upon a circuit which was a complete success.
I tried to maintain Mr. Baldwin's very low voltage and to reduce the overall dimensions. So I fitted a 50,000 ohms potentiometer across the reaction winding, and removed the R.F.C., shunting the 'phones with a .002 condenser.
A 3 megohm resistor, shunted by a .00015 condenser inserted between the first grid and the grid coil, was a further improvement.
Both these values aren't critical. Filament and H.T. supply is drawn from a midget battery made following Mr. Dobbs's hint in Practical Wireless, March issue.
Three 1.5 volt cells are used for filament heating while there is more supply H.T. and grid bias. The battery is housed in the set, allowing a very neat and compact layout. As a simplification, the variable pre-set is replaced by a .0001 fixed one, giving good results along the whole band.
I found that reaction was much finer if both coils are wound in the same direction and the plate put on the far end of the reaction coils. I haven't yet tried the set on the higher frequencies, since my coil is now soldered, but I think it would do very well on the 80 m.c/s. bands.
Just now it now works perfectly, showing very fair and many foreign stations coming out at good volume, even with the finger as an aerial. Since I read your magazine, I have been increasingly successful and satisfied.
I wish Practical Wireless to continue this good line and express herewith all my gratitude.—Philippe Ledent (Brussels).
Super-regenerative Sets—A Warning
SIR,—On reading through the correspondence in your "Open to Discussion" columns, I have observed that quite a number of short-wave listeners are using super-regenerative receivers on the 28 m.c/s. band.
Probably some of these listeners are not aware that this type of receiver, by virtue of its super-regenerative circuit, radiates a very considerable form of interference which can cause severe interference to amateur transmitting stations.
Although I have no wish to discourage short-wave listening, on the contrary, I am most anxious to see their numbers increase—I feel that on behalf of the transmitting fraternity it is only right to point out that this interference, particularly in densely populated areas where large numbers of such receivers may be in operation, can be a serious nuisance. It is realised that the possession of a modern communication receiver or an ordinary short-wave superhet does not come within the range of everyone's pocket, but a "straight" circuit with reaction, particularly if a buffer H.P. stage is used in front of the detector, would not only provide better reception on weak signals, but would greatly help in reducing interference on the already far too crowded narrow wavebands allocated for amateur transmission.
I am not speaking as one of the newly licensed amateur stations, for G5CV has been regularly on the air since before 1930, and during that time all reports from short-wave listeners and many hundreds have been received—have been answered with the station's QSL card, even though only a small percentage of reports have been of any material assistance.
Whilst on this subject, I might mention that if listeners sending reports would bear in mind the following few suggestions, they would stand a better chance of receiving a QSL card from some of those stations which are apt to frown upon listeners' reports:
(1) Send sufficient reply postage—it becomes expensive when four or five reports a week are received.
(2) Give a full report of reception, with details of conditions prevailing at the time.
(a) Remember that reports are not usually required from listeners living in the vicinity of the transmitting station, but over 38 m/c/s., generally speaking, reports from all distances over 20 miles are useful.—Douglas Walters, G5CV (Godalming).
Service Engineers
SIR,—This is my first correspondence to you, and I sincerely regret having to utilise it in criticism.
I am one of those unfortunate Mr. A. S. Knight describes in the August issue of Practical Wireless as having a six-months course, followed by practical work which is "a joke in the trade" and a "mile through."
I would like to voice the opinion of many others in "my street" and decry his self-opinionated record of his own skill and ability, and lack of intelligence that he assumes we have in being able to service a civilian receiver.
What was so intelligent in diagnosing the "interesting fault" with which he concludes his letter? I presume he knew it was "that kind" of distortion that led him to the grid circuits, for there are several reasons for "distortion," which distinguish from the others.
Being an unashamed learner, six years ago, I often consulted someone with this gift of "higher intelligence" (obtainable only in "civvy street"), but often much to my regret.
Naturally, I agree that the more one gains knowledge, the more practical experience one gets, but surely that does not make us so much less intelligent. I venture to say we can diagnose, carefully and systematically, and repair and restore the set to its former standard, also stating the exact reason for the original breakdown according to my knowledge, and this is rarely done by the many "self-taught" so-called radio engineers.
I have had many dealings with radio service engineers as a customer, and I would like to conclude with one of my more recent experiences.
My friend's set was collected for repair by a local service man. After keeping it several weeks, he went to them and told them about some difficulty in being able to obtain certain parts, and offered to let them have a radio set to use temporarily. A few more weeks elapsed and he phoned me again with the set, but not repaired, saying it was beyond repair, and tried to persuade him into purchasing the second-hand set he had lent them which, incidentally, had gone u/s. a few days after they had it.
At this juncture I was called in. As the set was an old one (Allan A.C. Model 78) and I could not obtain a service sheet for it, I commenced tracing the circuit, and
completed the entire diagram of it on paper. The output valve being u/s and from observation of the power supply and output circuit, pointed out a great deal of the trouble. I purchased a new valve (equivalent) removed the existing biasing arrangement incorporated components in the output stage which I had to calculate to suit the valve's working conditions—renovated the speaker and incorporated the speaker and field system in the present-day conventional manner. On top of this three of the wavechange switch contacts were broken, but the only matter I could obtain was slightly thicker tin insulated making iron contacts.
The set was working from the moment of switching on, and with the aid of an "Avo" service oscillator I re-aligned the set, I.F.s, L.W. and M.W.
My moral to this letter is: "Live and let live"; it is so easy to criticise. A small mistake by myself could raise quite a number of incidents of gross inefficiency where these "pre-war experience" men are concerned.
We remain unperturbed of the professional jealousy thrown at us pleasantly, but we would appreciate a "leg-up" by the periodical, which has helped so many of "our kind" into jobs and out of difficulties. I naturally refer to Practical Wireless which I consider my greatest asset.—A. ROGERS (Baldock).
B.B.C. Transmitters
SIR,—Now that all things mysterious to us during the War years are being gradually taken off the Secret List, don't you agree with me that it is high time for the B.B.C. to "come clean" and give a complete list of their stations working, with powers used and wavelengths. So far I am unaware of any such particulars being published since this last spot of trouble we have had.—J. ROBERTSON (Wick, Caithness).
Radio SEAC
SIR,—I am sitting at the control-desk of the transmitter to which you refer in a recent issue.
We radiate the programme "Radio Seac" from our 100 kW Marconi S.W.B.18 short-wave sender. It is not true to say that it is the most powerful short-wave sender in the world, as the B.B.C. has many senders of this type. It is one of the most powerful, and as far as actual power is concerned the B.B.C. senders put out more, as they are tuned up to 13 amps in the final stage at 12 kV, whereas we only work at 10.5-12.5, depending on the frequency.—E. L. HITCHCOCK (Ceylon).
An Amateur's Views
SIR,—I have noticed in recent months several very interesting Amateur Band Logs published in Practical Wireless, and must be interested to know why so many amateurs give any worthwhile data, such as times of reception, telephony or C.W., antenna designs, type of receiver in use, and so on.
The log of Mr. Cox in the August issue is one of the most complete, but even this most enthusiastic amateur gives us to understand whether the hams he received were on phone or C.W., at any rate not the Americans on 28 mc/s.
I would also suggest that Mr. Bagley, in the same issue, takes a rather narrow view of the G.P.O.'s reaction to 7, 14 and 28 mc/s, since to restore these bands, as he suggests (and which has now been carried out) cannot possibly stop the pirating, since I consider a large proportion of unauthorised activity on these bands is due to people who are completely unlicensed to operate a Fx on any band—not to mention the "ordinary" amateurs." Please 'em! I would have paid them £15 or so for a walkie-talkie and mean to have some fun with the thing, which covers the 7 mc/s band, at the expense of the true spirit of amateur radio.
With a sunspot maximum expected in 1948, and the increasing number of hams being licensed, notably in Europe and the United States, it would seem that 7, 14 and 28 mc/s are all going to be positive headaches with QRM in the next two years! I've half a mind to take up photography or something! Best wishes to Practical Wireless and staff.—P. W. BARNETT (St. Albans).
Station Information
SIR,—I am writing to give answers to a few queries of some of your correspondents in the September issue of Practical Wireless. First of all to reply to J.S. DUNBAR, who asks two stations here in London, C.W. GFA/2 is an R.A.F. C.W. station and the QRA is Air Ministry, Whitehall, London, and the other one, J.EYK, is a U.S. Army C.W. Station, and is located at U.S. Army H.Q., Germany.
I am not the QSA of RNYSX, this is a Royal Navy call and is used by an amateur who is on board ship in the Adriatic Sea and operates on 14 mc/s. It may be of interest to readers to learn that Radio Australia has now started a programme especially for DXers and S.W. fans. It consists of news and talks for DXers and gives the latest up-to-the-minute news on DX conditions. This programme is beamed to the British Isles and is at 15.45 G.M.T. or 4.45 p.m. B.S.T. every Saturday over VLAC on 30.09 m. It is repeated for N. America at 10.10 G.M.T. or 2.10 a.m. B.S.T. on every Sunday morning over VLCO at 16.28 m. Radio Australia started this new programme on July 28th, and will welcome reports of reception and comments.—B. HAYES (Bletchley).
A.C. or D.C.?
SIR,—If I may be permitted to add a few lines to the "heat" of discussion now taking place in your "Open to Discussion" column, I should like to take sides with Sir G. House, of Bradford, whose letter appeared in your July issue. Mr. House's statement "voltage doublers" seems to have raised an unwarranted storm of protest. It must be admitted that voltage doubling with D.C. may not be a workable commercial proposition in view of the number of components involved, but it is far from being "impossible."
Have not Messrs. Harrison and the Experimenter of Charing Cross of the Inverter, so called by the Americans, I believe.
In order to accomplish voltage doubling with a D.C. supply presumably it is necessary first to convert the D.C. into A.C., in fact use a "D.C. transformer." If such a circuit is used for voltage "doubling," itself should not be necessary, as the "D.C. transformer" can be arranged to step up the supply to the required voltage.
A satisfactory circuit can be built around two gas-filled triodes operating as a push-pull oscillator. If the experimenter wishes, he would be prepared to go into considerable detail, but I submit that he applies himself to one of the standard works on radio for a few moments where no doubt, power push-pull oscillators using gas-filled triodes are described as being a method by which D.C. may be "stepped up."—J. COPELEY-MAY (Richmond).
SIR,—I have been following keenly the discussion as to the relative advantages possessed by the A.C. receiver over the A.C./D.C. receiver.
Apart from hum elimination and other disagreeable noises, a study of the respective receivers' power supply will reveal the superiority of the A.C. receiver.
In London town, the regulation is 250 v. A.C. and yet only 18 miles distant it is 175 v. A.C., hence all that is normally required on the A.C. receiver is to move the power lead to a lower tapping on the mains transformer. This simple remedy, however, does not exist on the A.C./D.C. receiver—nor on the voltage-doublers, unless a transformer is employed—and this we desire to eliminate.
In fairness to all I agree that not all A.C. mains transformers have such a low turning point, but such can be obtained and once fitted can be made to serve for all voltage regulations without any further alterations—in contrast to the A.C./D.C. receiver.
Mr. R. G. Harrison's remarks in the September issue of your excellent journal is to me further evidence in support of the A.C. receiver.—F. C. PALMER (Truro).
"Technical Notes"
SIR,—I wish to point out an error in the article by "Dynatron" in the September issue of PRACTICAL WIRELESS.
In referring to his Fig. 1(a), he states that the voltage amplification will be the same as if the resistive load were in the anode. This is not the case. The voltage across the cathode load subtracts from the input voltage, being in phase with it. If the input had been applied from grid to cathode from the secondary of a transformer, for example, then his statement would have been correct. For all practical purposes the circuit in 1(a) is a cathode follower, as the cathode swing cannot exceed that of the grid, so that the effective output impedance and the percentage of feedback are substantially equal in each case.
In the section dealing with "output impedance," "Dynatron" expresses the commonly held view that a cathode follower in the output stage must be matched as though it were connected by an ordinary mains lead. To match a cathode follower output stage for optimum results the transformer ratio should depend on the available input voltage. As long as the valve does not reach anode current cut off, the ratio is not too low. As the valve is supplied virtually the constant output voltage, for varying load, a reduction in the turn ratio is an advantage, as it provides greater speech coil current for the same input. It would take about 240 volts, peak to peak, to swing the grid of a normal output valve fully, when connected as a cathode follower, if this were compared with an ordinary triode valve necessarily behave like triodes in cathode follower connection, of course). This grid voltage can be reduced to 150 volts by matching to about a quarter of the normal optimum load impedance, while still feeding back two-thirds of the input voltage. This has been checked on an oscilloscope.
"Dynatron" also states that the cathode follower provides 100 per cent. negative feedback. This is not quite correct, as some voltage is required to drive the valve, which reduces the net grid-to-cathode potential subtracts from his percentage, 70-90 per cent., practical figures for cathode follower circuits.—J. L. SARKEY (London, N.W.3).
[Our contributor, "Dynatron," makes the following comments on Mr. Sarkey's criticism:—
I MUST thank Mr. J. L. Sarkey for writing to point out the obvious error in my Fig. 1(a). Though correct in my copy, the wrong drawing was somehow sent to be sent with this article. A first sheet (the one printed) had been prepared, but for a different wording of the text—1(a) and 1(b) were set as "problems" for the experimenter. For the text as it stands, the input cell of 1(a) should have been an anode load, returned to cathode.
Fig. 1(a), of course, represents a cathode follower. As Mr. Sarkey states, "the voltage across the cathode load subtracts from the input voltage, being in phase with"—actually, in phase-opposition from the "earth" end of the input. I did not deal mainly with particular cathode follower circuits in another article.
Although I do not quite follow all the arguments adduced in reference to optimum load, I think that what Mr. Sarkey says is perfectly correct. With restricted drive, the advantages of lowering the load from the normal optimum value are very clear. But my main remonstrance is that I am mainly concerned to show why the apparent internal impedance (with respect to changes in load impedance) has itself little to do with load matching. I agree, of course, that the illustrations used were inadequate to take account of all its factors in an actual output stage.
I do not follow your suggestion to point about "100 per cent. feedback." If $E_0$ is the output voltage of an amplifier, and a fraction, $\beta$, of this is negatively fed back, the resultant signal on grid-cathode is $(E_0 - E_0)$—treating $\beta$ as positive. In a cathode follower $\beta$ is obviously 1.0, or 100 per cent. A proper definition of "Sarkey regards it as a percentage of the input voltage $E_0$, which seems confirmed by his remark in par. 3 about "feeding back two-thirds of the input voltage." I should have said that, with 100 per cent. feedback, the overall voltage gain of a cathode follower is 0.7-0.9 (or 70-90 per cent.).
I am indebted to Mr. J. L. Sarkey and others as Mr. Sarkey to help in debunking the obscurities with which many technicalities are wrapped. Though not intentional, perhaps the present error in Fig. 1(a) has been useful if it has led other readers to experiment and ask questions!
Dynatron.]
A Level Response Amplifier
SIR,—No doubt G. W. Brown will be interested to know that I have adapted his "Level Response" Amplifier (published in PRACTICAL WIRELESS of August last) for use in a T.R.F. receiver I had constructed. This receiver was affected by "motor-boating," and I had tried various forms of negative feedback in an attempt to cure it. I found that L.F. coupling in the receiver in accordance with the circuit published in the article, making the necessary alteration for plugging-in a gramophone pick-up. The result is complete freedom from "motor-boating," and also from motor-boating produced by a gramophone record. Needless to say, I adhered to the values of the resistors and condensers as given, but the L.F. transformer has a somewhat higher ratio than that advised.—D. SMITH (Edgelye).
Old Circuits Reviewed
SIR,—I would like to take this opportunity of thanking W. Ninnoms for his very interesting series of articles entitled, "Old Circuits Reviewed," and am writing to tell you of an intriguing experience which I recently had:
I was building a four-valve (r-v-z) battery set for a friend, and was testing it out, using my mains power pack to supply HT.
On accidentally banging the mains plug (which was not inserted very far), one side of the mains became disconnected from my power pack. Immediately the programme came through more clearly, and the hum died out so that it was scarcely audible even when no station was tuned in.
Can any reader explain this for me?—PETER CLARKE (Ealing).
Frequency Modulation
(Continued from page 472.)
primarily on account of the reduction of current, but the decrease in size of the transmitter generally. This more efficient form of transmission can be looked at the other way round, and it is never talked that by using the same power for the two systems the strength will be increased at the receiver, in the case of frequency modulation, in which case it is fair to record a further gain in signal-to-noise ratio, making a grand total of 75% i.
The real potential advantage of frequency modulation over amplitude modulation, as a system for the transmission and reception of high-quality speech and music with a minimum of noise interference, can be epitomised in the following few words. Frequency modulation permits better quality reproduction, with improved signal-to-noise ratio, whereas amplitude modulation permits increased quality of reproduction at the expense of increased noise interference.
(To be continued.)
"LET ME BE YOUR FATHER"
Thus is expressed the friendly, personal bond existing between Bennett College and each student. It is this close individual tuition which leads to quick success. We teach nearly all the Trades and Professions by post in all parts of the world. The most progressive and most successful Correspondence College in the world. If you know what you want, try us straight away for prospectus. If you are undecided, write for our fatherly advice. It is free.
Distance makes no difference.
EARNING POWER IS A SOUND INVESTMENT
DO ANY OF THESE SUBJECTS INTEREST YOU?
Accountancy Examinations
Advertising and Sales Management
Agriculture
A.M.I. Fire E. Examinations
Applied Mechanics
Area Measurement
Auctioneers and Estate Agents
Aviation Engineering
Aviation Wireless
Book-keeping
Blue Prints
Boiler Making
Book-keeping Accountancy and Modern Business Methods
B.Sc. (Eng.)
Building, Architecture and Civil Works
Builders' Quantities
Candidate Senior School Certificate
Civil Engineering
Civil Service
All Commercial Subjects
Commercial Law
Common Prelim. E.J.E.E.
Concrete and Structural Engineering
Draftsmanship. All Branches
Engineering, All branches, subjects and examinations
General Education
G.P.A. (Engineering)
Heating and Ventilating Industries
Institute of Housing
Insurance
Japanese
Languages
Mathematics
Matriculation
Metallurgy
Mining. All subjects
Mining. Electrical Engineering
Motor Engineering
Motor Trade
Moving and County Engineers
Nautical Architecture
Novel Writing
Photography
Phi. Writing
Police Special Course
Practical College of Press Tool Work
Production Engineering
Pumps and Pumping
Stacking
Radio Communication
Radio Service Engineering
Road Building
Road Making and Maintenance
Sanitation
Shipbuilding, I.S.M.A.
Sanitation
Stationery Attendance Officer
Secretarial Exams.
Shoe-Metal Work
Shorthand
Shorthand (Private)
Short-hand Writing
Short-wave Radio
Speaking in Public
Surveying Engineering
Surveying
Telephony and Telegraphy
Television
Testing Inst. Exams.
Viewers, Gaugers, Inspectors
Weights and Measures
Inspector
Wireless
Wireless Telegraphy and Telephony
Works Managers
If you do not see your own requirements above, write to us on any subject. Full particulars free.
COUPON CUT THIS OUT
To DEPT. 104, THE BENNETT COLLEGE, LTD., SHEFFIELD.
Please send me (free of charge)
Particulars of ........................................... (Cross out line which does not apply.)
Your private advice about ...........................................
PLEASE WRITE IN BLOCK LETTERS
Name ...........................................
Address ...........................................
Telephone ...........................................
Published on the 7th of each month by GEORGE NEWNES, LIMITED, Tower House, Southampton Street, Strand, London, W.C. Printed in England by W. SRAIGHT & SONS, LTD., Enniscoe Street, London, W.10. Sole Agents for Australia and New Zealand GORDON & GOTCH (AISIA), LTD., South Africa; CENTRAL NEWS AGENCY, LTD. Subscription rates including post Inland 10s. 6d. per annum; Abroad 10s. per annum. Registered at the General Post Office for the Canadian Mails.
|
Preferential Activation of SMAD1/5/8 on the Fibrosa Endothelium in Calcified Human Aortic Valves - Association with Low BMP Antagonists and SMAD6
Randall F. Ankeny, Georgia Institute of Technology
Vinod Thourani, Emory University
Daiana Weiss, Emory University
J David Vega, Emory University
W Taylor, Emory University
Hanjoong Jo, Emory University
Journal Title: PLoS ONE
Volume: Volume 6, Number 6
Publisher: Public Library of Science | 2011-06-15, Pages e20969-e20969
Type of Work: Article | Final Publisher PDF
Publisher DOI: 10.1371/journal.pone.0020969
Permanent URL: https://pid.emory.edu/ark:/25593/r9v13
Final published version: http://dx.doi.org/10.1371/journal.pone.0020969
Copyright information:
© 2011 Ankeny et al.
This is an Open Access work distributed under the terms of the Creative Commons Attribution 3.0 Unported License (http://creativecommons.org/licenses/by/3.0/).
Accessed April 14, 2025 9:38 PM EDT
Preferential Activation of SMAD1/5/8 on the Fibrosa Endothelium in Calcified Human Aortic Valves - Association with Low BMP Antagonists and SMAD6
Randall F. Ankeny¹, Vinod H. Thourani², Daiana Weiss³, J. David Vega², W. Robert Taylor¹,³, Robert M. Nerem⁴, Hanjoong Jo¹,³,⁵*
¹Wallace H. Coulter Department of Biomedical Engineering, Georgia Institute of Technology and Emory University, Atlanta, Georgia, United States of America, ²Division of Cardiothoracic Surgery, Emory University, Atlanta, Georgia, United States of America, ³Division of Cardiology, Emory University, Atlanta, Georgia, United States of America, ⁴Petit Institute for Bioengineering and Bioscience, Georgia Institute of Technology, Atlanta, Georgia, United States of America, ⁵Department of Bioinspired Science, Ewha Woman's University, Seoul, Korea
Abstract
Background: Aortic valve (AV) calcification preferentially occurs on the fibrosa side while the ventricularis side remains relatively unaffected. Here, we tested the hypothesis that side-dependent activation of bone morphogenetic protein (BMP) pathway in the endothelium of the ventricularis and fibrosa is associated with human AV calcification.
Methods and Results: Human calcified AVs obtained from AV replacement surgeries and non-calcified AVs from heart transplantations were used for immunohistochemical studies. We found SMAD-1/5/8 phosphorylation (a canonical BMP pathway) was higher in the calcified fibrosa than the non-calcified fibrosa while SMAD-2/3 phosphorylation (a canonical TGFβ pathway) did not show any difference. Interestingly, we found that BMP-2/4/6 expression was significantly higher on the ventricularis endothelium compared to the fibrosa in both calcified and non-calcified AV cusps; however, BMP antagonists (crossvienless-2/BMPER and noggin) expression was significantly higher on the ventricularis endothelium compared to the fibrosa in both disease states. Moreover, significant expression of inhibitory SMAD-6 expression was found only in the non-calcified ventricularis endothelium.
Conclusions: SMAD-1/5/8 is preferentially activated in the calcified fibrosa endothelium of human AVs and it correlates with low expression of BMP antagonists and inhibitory SMAD6. These results suggest a dominant role of BMP antagonists in the side-dependent calcification of human AVs.
Citation: Ankeny RF, Thourani VH, Weiss D, Vega JD, Taylor WR, et al. (2011) Preferential Activation of SMAD1/5/8 on the Fibrosa Endothelium in Calcified Human Aortic Valves - Association with Low BMP Antagonists and SMAD6. PLoS ONE 6(6): e20969. doi:10.1371/journal.pone.0020969
Editor: Pere-Joan Cardona, Fundació Institut Germans Trias i Pujol; Universitat Autònoma de Barcelona CibeRES, Spain
Received January 28, 2011; Accepted May 15, 2011; Published June 15, 2011
Copyright: © 2011 Ankeny et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.
Funding: This work was supported by funding from National Institutes of Health grants HL75209, HL87012, and HL80711, and WCU Program (R31-2008-000-10010-0) (HJ), as well as an American Heart Association pre-doctoral fellowship 0715417B (RFA). Imaging studies were performed in part through the use of the Emory Internal Medicine Imaging Core, (supported by NIH grants PO1 HL05800 and PO1 HL075209). The funders had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript.
Competing Interests: The authors have declared that no competing interests exist.
* E-mail: email@example.com
Introduction
Aortic valve (AV) disease is a major cause of cardiac deaths worldwide and is a strong risk factor for additional cardiovascular events [1,2,3]. With the aging United States population, it is believed that 20% of individuals over the age of 80 have AV calcification, making it the most common cardiac disease [4]. AV calcification was once thought to be a passive degenerative disease but is now known as an active inflammatory pathology [5,6,7]. AV calcification is characterized by the accumulation of calcium, inorganic phosphates, extracellular matrix proteins, bone-related factors [8,9,10], and osteoblast-like cells [8,11] in the fibrosa, or aortic side, of the valve cusp [10,12].
The AV is comprised of three distinct layers: the fibrosa, ventricularis, and spongiosia. The fibrosa, which faces the aorta, is comprised of collagen fibers, while the ventricularis faces the left ventricle and is comprised of elastin and collagen fibers. Finally, the spongiosia, which is located in between the fibrosa and ventricularis, is comprised of glycosaminoglycans [13]. A continuous endothelial monolayer covers the valve, while a healthy valvular leaflet contains a heterogeneous population of valvular interstitial cells [13]. The AV resides in a complex mechanical environment that includes fluid shear stresses, varying pressures, and bending stresses [14]. Similar to the vascular endothelial system, where atherosclerosis preferentially occurs in areas of disturbed flow, AV calcification and sclerosis primarily occur in a side-dependent manner [15,16,17,18,19]. The fibrosa endothelium experiences disturbed flow conditions throughout the cardiac cycle and is prone to accelerated AV calcification. Conversely, the ventricularis endothelium experiences stable flow during systole and remains relatively unaffected. The correlation between hemodynamic forces and AV disease development suggests that the AV endothelium may be playing a role in AV disease development. Recent studies performed by our group and others have begun to investigate the endothelium’s role in AV valve
biology. In a study looking at side-specific mRNA of the AV endothelium of porcine AVs, Simmons et al. found the pro-inflammatory and bone growth chemokine bone morphogenic protein 4 (BMP-4) was expressed on the fibrosa endothelium, while chordin, a natural BMP antagonist, was found to be up-regulated on the ventricularis endothelium. This suggests a pro- and anti-osteogenic conditions on the fibrosa and ventricularis sides respectively [20]. Butcher, et al. found that porcine AV endothelial cells, when exposed to unidirectional laminar flow, decreased BMP-4 expression [15]. Furthermore, BMP-4 expression was higher in the fibrosa of porcine AV compared to the ventricularis [14]. It was also reported that BMPs -2 and -4 are present in calcified regions of human AV [21]. However, it is not known whether BMPs are activated in endothelial cells in a side-dependent manner and whether it correlates with calcification in human AVs.
BMPs are members of the TGFβ superfamily. Initially discovered as inducers of bone formation [8], the BMPs are now known to play important roles in embryonic development, patterning, cartilage formation, and cell differentiation [22,23]. We have shown that BMP-4 is a mechanosensitive and proinflammatory cytokine in vascular endothelial cells [24,25]. Furthermore, BMP-4 infusion induced hypertension in mice in a NADPH oxidase-dependent manner [26]. In addition, BMP-2 and -4 expression is increased in calcified human AVs and human atherosclerotic lesions [21,27].
Another classification of molecules, BMP antagonists, bind to the BMPs with varying degrees of affinity. Once bound, BMP antagonists inhibit the interaction of the BMPs with their cognate receptors [28,29,30,31,32,33]. BMP antagonists include, noggin, crossveinless 2 (CV-2, also known as BMPER), chordin, follistatin, DAN and matrix Gla protein-1(MGP-1) [34]. In porcine AV leaflets, chordin was increased on the ventricularis endothelium [20]. Interestingly, uncarboxylated MGP-1 is decreased in the plasma of human patients that have AV calcification versus the healthy cohort [35].
The BMPs and TGFβ have two types of specific signaling receptors: BMPR-I and BMPR-II, or TGFβR-1 and TGFβR-II, respectively, and both are required for signaling. Once the ligand is bound to its receptors, the active domain of the type II receptor phosphorylates the type I receptor, which in turn phosphorylates the R-SMADs (phospho-SMAD 1, 2, 3, 5, 8) [36,37]. SMAD-2/3 and SMAD-1/5/8 are canonical mediators of TGFβ and BMP signaling, respectively. These phospho-SMADs then bind with co-SMAD-4 and translocate into the nucleus, regulating a wide range of gene expression. SMAD-6, an inhibitory SMAD, can block the R-SMADs from being phosphorylated by competing for activation of the type I receptors [36,37].
**Figure 1. Calcification and endothelial staining of AV cusps.**
Valves were obtained from either heart transplant (non-calcified) or valve replacement (calcified) surgeries, snap frozen and sectioned. Sections were then stained for H&E (A, E), alizarin red (B, F), Verhoeff Van Giessen (C, G) or von Willebrand factor (D, H). Representative staining (n = 12 patients) shows side-specific calcification (*) in calcified leaflets (B, F), while maintaining an intact endothelial layer (D, H; arrows). Verhoeff Van Giessen stain was used to stain for elastin (shown in black, arrows) to help in leaflet orientation (C, G). f: fibrosa, v: ventricularis.
*NYHA – New York Heart Association.*
doi:10.1371/journal.pone.0020969.g001
**Table 1. Patient Characteristics.**
| | Calcified | Non-Calcified |
|--------------------------|-----------|---------------|
| Number of Patients | 16 | 6 |
| Age (mean ± SD) | 66.4 ± 16.28 | 54.7 ± 8.5 |
| Female | 7 (43.8%) | 1 (16%) |
| Bicuspid valves | 1 (6.25%) | 0 (0%) |
| Ejection Fraction (mean ± SD) | 0.498 ± 0.139 | NA |
| NYHA* (mean ± SD) | 2.2 ± 1.1 | NA |
| Congestive Heart Failure | 9 (56.25%) | 6 (100%) |
| Diabetes mellitus | 2 (12.5%) | 3 (50%) |
| Hemoglobin A1C (mean ± SD) | 6 ± 1.18 | NA |
| Dyslipidemia | 6 (37.5%) | NA |
| Hypertension | 12 (75%) | 2 (33.3%) |
| Last Creatinine Level (mean ± SD) | 1.12 ± 0.33 | NA |
| Dialysis | 0 (0%) | NA |
*NYHA – New York Heart Association.*
doi:10.1371/journal.pone.0020969.t001
At present, it is not known whether BMPs and BMP antagonists play a role in human AV calcification. We hypothesized that BMP pathway is preferentially activated in the fibrosa endothelium, which leads to side-specific human AV calcification in the fibrosa. Our current study using calcified and non-calcified human AVs show that phospho-SMAD-1/5/8 is significantly higher in the fibrosa endothelium, suggesting that BMP pathway is preferentially activated in the fibrosa endothelium of calcified human AVs. Our studies further show that the fibrosa-dependent activation of the BMP pathway correlates well with decreased levels of BMP antagonists and inhibitory SMAD-6.
Materials and Methods
Human AV Procurement
AVs were received from two patient populations according to the IRB-approved study at Emory University with written informed consent. Calcified human AVs were obtained immediately following valve replacement surgeries in 16 patients at Emory University Hospital Midtown. Fifteen patients had trileaflet valves, while one patient had a bicuspid AV. Non-calcified AV (n = 6, all trileaflet AV) were harvested from recipient patients undergoing heart transplantation at Emory University Hospital. Two of the six patients underwent cardiac transplantation due to ischemic cardiomyopathy. Patient demographics are presented in Table 1. Immediately following harvesting, the AVs were photographed, washed in ice-cold phosphate buffered saline, and cusps were individually snap-frozen in optimal cutting temperature (O.C.T.) compound (Tissue-Tek). Valves were then sectioned (7 μm) in the radial direction to include the base and free edge (tip), stored at −80°C and used for immunohistochemical staining studies.
Histochemistry and Immunohistochemistry
Hematoxalin and eosin (H&E for general histology), Verhoeff Van Giessen (for elastin), and Alizarin Red (for calcification) staining was carried out for histomorphometric analysis. Immunohistochemical studies were carried out as previously described [34] using the following specific antibodies: endothelial marker;
Calcified
Non-Calcified
BMP-2 Expression (% of Calcified Fibrosa)
Fibrosa Ventricularis
BMP-4 Expression (% of Calcified Fibrosa)
Fibrosa Ventricularis
BMP-6 Expression (% of Calcified Fibrosa)
Fibrosa Ventricularis
von Willebrand Factor or vWF, (Dako, 1:400), BMPs; BMP-2 (Lifespan Biosciences, 1:100), BMP-4 (Biovision, 1:25), and BMP-6 (Santa Cruz, 1:25), BMP antagonists; noggin (LabFrontier, 1:100), CV-2/BMPER (R&D, 1:100), MGP-1 (ABCAM, 1:100) and DAN (R&D, 1:25), phospho-SMAD-1/5/8 (Cell Signaling, 1:200) and phospho-SMAD-2 (Cell Signaling, 1:100), and SMAD-6 (Lifespan Biosciences 1:25). Rhodamine Red X antibody (Jackson Labs) was used as a secondary antibody with a Hoechst dye nuclear counter staining. Fluorescent images were taken with a Zeiss Axioskop epifluorescence microscope using a 10× objective.
**Image Analysis**
Three cross-sectional images were obtained from each AV section, where endothelial layer staining was present based on Hoechst staining. Digital images were then graded for endothelial staining intensity from 0 (no positive staining) to 5 (most intense positive staining) by three blinded individuals. The grades of the three cross-sections were averaged to determine the staining intensity of each antibody examined. The fibrosa and ventricularis endothelium were graded separately.
**Statistical Analysis**
All data are reported by mean ± SE with n signifying the number of different AV leaflets stained. Significant differences were determined by ANOVA using a Tukey HSD testing. All p-values <0.05 were considered significant.
**Results**
**Immunohistochemical examination of AVs**
H&E staining for general histology (Figure 1A,E), Alizarin Red (Figure 1B,F) for calcification and Verhoeff Van Giessen (Figure 1C,G) for elastin was carried out with calcified and non-calcified human AVs (Table 1). All human AVs (n = 6 patients) obtained from the heart transplantation patients were negative for Alizarin Red staining (Fig. 1F), suggesting that they were not calcified. In contrast, all calcified AVs (n = 16 patients) obtained from AV replacement surgeries were confirmed by Alizarin Red staining (Figure 1B). To examine the presence of an intact endothelium, von Willebrand factor staining was performed on the AV leaflet (Figure 1D, H). Intact endothelium was confirmed on valves used in our study.
**Preferential activation of BMP-dependent SMAD1/5/8 pathway in calcified human AV**
To determine whether the BMP pathway is activated in human AV endothelium in a side-dependent manner, we examined the level of phospho-SMAD-1/5/8, a canonical BMP activation pathway marker. Intense phospho-SMAD-1/5/8 staining was observed only in the calcified fibrosa endothelium (Fig. 2A–G). In contrast, non-calcified AV endothelium in both fibrosa and ventricularis showed only faint levels of phospho-SMAD-1/5/8. While the phospho-SMAD-1/5/8 staining level was low in the calcified ventricularis, it did not reach statistical significance in comparison to the calcified fibrosa (Fig. 2G).
As a comparison, phospho-SMAD-2 levels, a canonical TGFβ signaling activation marker, was studied. Overall, we did not observe any statistically significant differences in phospho-SMAD-2 levels in any of the AV endothelial groups; however, we found a trend for lower phospho-SMAD-2 levels in the non-calcified fibrosa endothelium (p<0.1, n = 13) compared to the non-calcified ventricularis endothelium (Fig. 2 H–N).
**Side-dependent expression of BMPs in human AV**
Next, we determined whether the side- and calcification-dependent phosphorylation of SMAD-1/5/8 correlates with BMP expression levels. Robust expression of BMPs -2, -4, and -6 was observed in all the tested AV endothelium. To our surprise, based on previous studies using healthy porcine AVs [15,20], BMP-2, -4, and -6 expression was higher in ventricularis endothelium than fibrosa endothelium (Figure 3). BMP-2 and -4 expression was significantly higher in non-calcified ventricularis endothelium compared to the fibrosa endothelium of both calcified and non-calcified AVs (Figure 3 A–N). BMP-6 expression was significantly higher in the calcified ventricularis endothelium than the fibrosa endothelium (Figure 3 O–U). There was no significant difference in expression levels of all three BMPs in the ventricularis endothelium of calcified and non-calcified AVs. The same was true for the fibrosa endothelium of calcified and non-calcified AVs (Figure 3).
**Side-dependent expression of BMP antagonists and the inhibitory SMAD-6 in human AV**
Next, we determined whether the side- and calcification-dependent phosphorylation of SMAD-1/5/8 correlates with expression levels of BMP antagonists (CV-2/BMPER, noggin, DAN, follistatin, chordin, and MGP-1). CV-2/BMPER and noggin expression was significantly lower in the fibrosa endothelium both in calcified and non-calcified AVs (Figure 4 A–G). Furthermore, we found that CV-2/BMPER expression was significantly reduced in the calcified ventricularis endothelium than the non-calcified ventricularis endothelium (Figure 4G), while this disease-dependency was not observed for noggin (Figure 4N). DAN expression was not significantly different in the endothelium; although, a trend of decreased staining was seen between the calcified and non-calcified fibrosa endothelium (Figure 4H–N). At this time, none of the available antibodies that we examined resulted in specific staining patterns for follistatin, chordin, and MGP-1, when compared to isotype IgG controls (data not shown). Lastly, we examined the level of inhibitory SMAD-6. SMAD-6 expression was significantly higher in non-calcified ventricularis endothelium compared to non-calcified fibrosa endothelium and endothelium of calcified valves (Figure 5G).
**Discussion**
The main findings of our current work are that 1) phosphorylation of SMAD-1/5/8 is significantly increased in calcified fibrosa endothelium, 2) surprisingly, BMP-2/4/6 expression is higher in the ventricularis endothelium in both calcified and non-calcified AVs, 3) BMP antagonists noggin and CV2/BMPER expression was increased in the ventricularis endothelium in both calcified and non-calcified AVs, and 4) inhibitory SMAD-6 expression was highest in the non-calcified ventricularis endothelium. These results suggest that the side-dependent calcification of human AV is linked to the
Activation of SMAD1/5/8 on the Fibrosa Endothelium
**Figure 2**
**A-F:** Immunofluorescence staining for CV-2 (red) and Noggin (green) in calcified (A, B) and non-calcified (D, E) fibrosa. Scale bar = 100 μm.
**G:** Quantification of CV-2 expression in calcified and non-calcified fibrosa. *p < 0.05.
**H-M:** Immunofluorescence staining for DAN (red) and Noggin (green) in calcified (H, I) and non-calcified (K, L) fibrosa. Scale bar = 300 μm.
**N:** Quantification of Noggin expression in calcified and non-calcified fibrosa. #p < 0.05.
**O-T:** Immunofluorescence staining for DAN (red) and Noggin (green) in calcified (O, P) and non-calcified (R, S) ventricularis. Scale bar = 100 μm.
**U:** Quantification of DAN expression in calcified and non-calcified ventricularis.
Figure 4. BMP antagonist expression in the fibrosa and ventricularis endothelium. Calcified and non-calcified AV sections were stained for CV-2/BMPER (A–F), noggin (H–M), DAN (O–T), and SMAD-6 (V–BB), and a rhodamine-labeled secondary antibody. Shown are representative images. Bar graphs show staining intensities of fibrosa- and ventricularis-endothelium for each antagonist (G, N, U, BB) (mean±SEM). For CV-2/BMPER, n = 20 calcified and n = 14 non-calcified. For noggin, n = 14 calcified and n = 6 non-calcified. For DAN, n = 10 calcified and n = 8 non-calcified. For SMAD-6, n = 22 calcified and n = 15 non-calcified. *p<0.05, f: fibrosa, v: ventricularis.
doi:10.1371/journal.pone.0020969.g004
preferential activation of the BMP-dependent SMAD-1/5/8. This SMAD-1/5/8 activation in the fibrosa endothelium correlates with the decreased levels of the BMP antagonists (noggin and CV-2/BMPER) and inhibitory SMAD-6.
AV calcification and sclerosis primarily occur in the fibrosa, while the ventricularis is relatively unaffected [10,12]; however, the specific mechanisms underlying this side-dependent AV disease is unclear. Our initial hypothesis was that the side-dependent AV calcification is mediated by preferential activation of BMP signaling pathway in the fibrosa endothelium. To test this hypothesis, we studied SMAD-1/5/8 phosphorylation, the canonical BMP pathway activation marker, by staining frozen sections of AV leaflets obtained from patients undergoing AV replacement (calcified AVs) or heart transplantation (non-calcified AVs) surgeries (Table 1). Our results showed that SMAD-1/5/8 was preferentially activated in the calcified fibrosa endothelium compared to non-calcified fibrosa endothelium (Fig. 2). In contrast, we found no significant differences in phospho-SMAD-2 levels among all groups (Fig. 2), indicating that there was no differential activation of the canonical TGFβ signaling pathway in human AV endothelium. These findings demonstrate a strong correlation between the phospho-SMAD-1/5/8 activation in the endothelium and calcification in the fibrosa side in human AVs.
Previous results have shown clear evidence that disturbed flow stimulates BMP-4 expression in endothelial cells in vitro, ex vivo and in vivo, and that BMP expression leads to endothelial inflammation, aortic wall calcification and AV calcification [21,24,25,27,38]. In addition, in normal pig AVs, BMP-4 mRNA and protein levels are higher on fibrosa endothelium [15,20], further demonstrating the close correlation among disturbed flow, BMP-4 expression in the fibrosa endothelium, and side-specific AV calcification.
Therefore, we next tested the hypothesis that the preferential activation of SMAD-1/5/8 on the fibrosa endothelium is mediated by increased BMP expression due to disturbed flow conditions. Contrary to our hypothesis, however, we found that BMP-2,-4 and -6 expression was higher on the ventricularis endothelium compared to fibrosa endothelium of both calcified and non-calcified AV (Figure 3). These results show, unlike in normal healthy porcine AVs, that endothelial BMP expression levels in both calcified and non-calcified human AVs do not correlate with the side-dependent AV calcification and phosphorylation of SMAD-1/5/8. It is interesting, however, that a recent study showed that BMP-4 levels were decreased in the fibrosa endothelium of the hypercholesterolemic pig AVs compared to the normal pig AV [19]. This surprising result in diseased human AVs is consistent with our current finding in diseased human AVs.
We next tested the alternative hypothesis that decreased expression of BMP antagonists in the fibrosa endothelium is responsible for the preferential activation of SMAD-1/5/8 and calcification in human AVs. Our results show that noggin and CV-2/BMPER expression levels were higher in the ventricularis endothelium than the fibrosa endothelium in both calcified and non-calcified AVs. These results suggest that abundant levels of BMP antagonists in the ventricularis endothelium, especially in non-calcified human AVs, provide an anti-calcific environment. These results are also con-
Figure 5. SMAD-6 expression in the fibrosa and ventricularis endothelium. Calcified and non-calcified AV sections were stained for SMAD-6, and a rhodamine-labeled secondary antibody. Shown are representative images. Bar graphs show staining intensities of fibrosa- and ventricularis-endothelium for each antagonist (G) (mean±SEM). For SMAD-6, n = 22 calcified and n = 15 non-calcified. *p<0.05, #p<0.06. f: fibrosa, v: ventricularis.
doi:10.1371/journal.pone.0020969.g005
sistent with a previous report showing higher chordin mRNA expression on the ventricularis endothelium compared to the fibrosa endothelium in normal porcine AV [20].
In addition to BMP antagonists, BMP pathway can be regulated by inhibitory SMAD-6 and -7 [39]. This led us to test the alternative hypothesis that side-dependent activation of SMAD-1/5/8 and calcification is regulated by inhibitory SMAD-6. We found that SMAD-6 expression levels were highest in the non-calcified ventricularis endothelium, contributing to the anti-calcific environment on the ventricularis-side of the AV (Fig. 5). Consistent with our results, SMAD-6 was shown to be induced by laminar shear stress in vascular endothelial cells [40]. Moreover, SMAD-6 deficiency causes cardiac valve hyperplasia in mice [41], demonstrating its importance in AV biology.
Our results clearly show that the relative lack of the BMP antagonists and inhibitory SMAD-6 in the fibrosa endothelium correlates with the SMAD-1/5/8 phosphorylation in calcified AVs; however, what is not clear is the mechanisms by which SMAD-1/5/8 activation is prevented in non-calcified human AVs compared to the calcified AVs.
There are several potential mechanisms that may explain this finding. First, a recent study showed that patients with AV calcification have significantly lower levels of circulating uncarboxylated MGP (ucMGP) than the healthy cohort [35]. They suggested that the low level of ucMGP was due to the lack of release of MGP into circulation. The deficiency in circulating MGP, in combination with the lack of the BMP antagonists and inhibitory SMAD-6 in the fibrosa endothelium, may promote the side-dependent BMP pathway activation and calcification in human AVs. Second, some BMP antagonists (e.g. follistatin, chordin, MGP-1) that we could not examine due to the lack of specific antibodies for immunostaining studies may also be responsible for our finding. Third, expression of the BMP receptors may also contribute to the observed difference.
References
1. Hsu SY, Hsieh IC, Chang SH, Wen MS, Hung KC (2005) Aortic valve sclerosis is an echocardiographic indicator of significant coronary disease in patients undergoing diagnostic coronary angiography. Int J Clin Pract 59: 72–77.
2. Mohler ER, Sheridan MJ, Nichols R, Harvey WP, Waller BF (1991) Development and progression of aortic valve stenosis: atherosclerosis risk factors-a causal relationship? A clinical morphologic study. Clin Cardiol 14: 995–999.
3. Otto CM, Lind BK, Kirzman DW, Gersh BJ, Sicivick DS, et al. (1999) Association of Aortic-Valve Sclerosis with Cardiovascular Mortality and Morbidity in the Elderly. N Engl J Med 341: 142–147.
4. Thorlund VH, Myung R, Kilgo P, Thompson K, Puskas JD, et al. (2008) Long-Term Outcomes After Isolated Aortic Valve Replacement in Octogenarians: A Modern Perspective. The Annals of Thoracic Surgery 86: 1458–1465.
5. Mohler ER, 3rd (2000) Are atherosclerotic processes involved in aortic-valve calcification? Lancet 356: 524–525.
6. Mohler ER (2004) Mechanisms of Aortic Valve Calcification. Ann J Cardiol 94: 1396–1402.
7. Parolari A, Loardi C, Musoni L, Cavallotti I, Camera M, et al. (2009) Nonrheumatic calcific aortic stenosis: an overview from basic science to pharmacological prevention. European Journal of Cardio-Thoracic Surgery 35: 493–504.
8. Jian B, Jones PL, Li Q, Mohler ER, 3rd, Schoen FJ, et al. (2001) Matrix metalloproteinase-2 is associated with tenascin-C in calcific aortic stenosis. Am J Pathol 159: 321–327.
9. Jian B, Narula N, Li QY, Mohler ER, 3rd, Levy RJ (2003) Progression of aortic valve stenosis: TGF-beta1 is present in calcified aortic valve cusps and promotes aortic valve interstitial cell calcification via apoptosis. Ann Thorac Surg 75: 457–465; discussion 465–456.
10. O’Brien KD, Reichenbach DD, Marcovina SM, Kuusisto J, Alpers CE, et al. (1996) Apolipoproteins B, (a), and E accumulate in the morphologically early lesion of ‘degenerative’ valvular aortic stenosis. Arterioscler Thromb Vasc Biol 16: 523–532.
11. Rajanamman NM, Subramanian M, Rickard D, Stock SR, Donovan J, et al. (2005) Human aortic valve calcification is associated with an osteoblast phenotype. Circulation 107: 2181–2184.
It is important to emphasize that the non-calcified AVs used for this study were obtained from recipient hearts following heart transplantations. Therefore, these samples were from heart failure patients, not from a “healthy” subject population, and should not be viewed as non-diseased AVs although they were not calcified. The lack of healthy human aortic valve samples limited our ability to study the factors that may be important in the initiation of this disease. Since our study objective was to test the endothelial expression levels of AV leaflets, we were limited in our approaches to the immunohistochemical staining method since Western blots, using endothelial lysates without significant interstitial contamination, could not be performed. This posed a quantitative and mechanistic limitation in our study.
In summary, we showed that the BMP signaling pathway is preferentially activated in the calcified fibrosa endothelium of human AVs. This side- and disease-dependent activation of BMP pathway correlates with the relative deficiency of the BMP antagonists and inhibitory SMAD-6 in the fibrosa endothelium. These findings suggest that preferential activation of BMP pathways may be controlled by the balance between the BMPs and BMP antagonists and that the BMP inhibitors play a dominant role in side-dependent calcification of human AVs.
Acknowledgments
Authors would like to recognize Casey J. Holliday and Sarah Gerbig in contributing to the content of this manuscript.
Author Contributions
Conceived and designed the experiments: RFA HJ RMN VHT. Performed the experiments: RFA VHT. Analyzed the data: RFA HJ RMN VHT. Contributed reagents/materials/analysis tools: RFA HJ RMN VHT DW WRT JDV. Wrote the paper: RFA HJ RMN VHT.
12. Otto CM, Kuusisto J, Reichenbach DD, Gown AM, O’Brien KD (1994) Characterization of the early lesion of ‘degenerative’ valvular aortic stenosis. Histological and immunohistochemical studies. Circulation 90: 844–853.
13. Yetkin E, Waltenberger J (2009) Molecular and cellular mechanisms of aortic stenosis. International Journal of Cardiology 135: 4–13.
14. Sacks MS, Yoganathan AP (2007) Heart valve function: a biomechanical perspective. Philosophical Transactions of the Royal Society B: Biological Sciences 362: 1369–1391.
15. Butcher JT, Tressel S, Johnson T, Turner D, Sorescu G, et al. (2005) Transcriptional Profiles of Valvular and Vascular Endothelial Cells Reveal Phenotypic Differences. Influence of Shear Stress. Arterioscler Thromb Vasc Biol.
16. Ku DN, Giddens DP, Zarins CK, Glagov S (1985) Pulsatile flow and atherosclerosis in the human carotid bifurcation. Positive correlation between plaque location and low oscillating shear stress. Arteriosclerosis 5: 293–302.
17. Weiss KM, Ohashi M, Miller JD, Young SG, Heistad DD (2006) Calcific aortic valve stenosis in old hypercholesterolemic mice. Circulation 114: 2065–2069.
18. Zarins CK, Giddens DP, Bharadvaj BK, Sotiurai VS, Mabon RF, et al. (1983) Carotid bifurcation atherosclerosis. Quantitative correlation of plaque localization with flow velocity profiles and wall shear stress. Circ Res 53: 502–514.
19. Guerraay MA, Grant GR, Karanian JW, Chiesa OA, Pritchard WF, et al. (2010) Hypercholesterolemia Induces Cell-Specific Phenotypic Changes in Peroxinsome Proliferator-Activated Receptor(gamma) Target Gene Activation in Swine Aortic Valve Endotheliums. Arterioscler Thromb Vasc Biol 30: 225–231.
20. Simmons CA, Grant GR, Manchachi E, Davies PF (2005) Spatial heterogeneity of endothelial phenotypes correlates with side-specific vulnerability to calcification in normal porcine aortic valves. Circ Res 96: 792–799.
21. Mohler ER, 3rd, Gannon F, Reynolds C, Zimmerman R, Keane MG, et al. (2001) Bone formation and inflammation in cardiac valves. Circulation 103: 1522–1528.
22. Hogan BL. (1996) Bone morphogenetic proteins in development. Curr Opin Genet Dev 6: 432–438.
23. Massague J (2000) How cells read TGF-beta signals. Nat Rev Mol Cell Biol 1: 169–178.
24. Sorescu GP, Song H, Tressel SL, Hwang J, Dikalov S, et al. (2004) Bone morphogenetic protein 4 produced in endothelial cells by oscillatory shear stress
induces monocyte adhesion by stimulating reactive oxygen species production from a novel-based NADPH oxidase. Circ Res 95: 772–779.
25. Kooistra GP, Sjoberg M, Weise D, Platt AO, Saha A, et al. (2003) Bone morphogenetic protein 4 produced in endothelial cells by oscillatory shear stress stimulates an inflammatory response. J Biol Chem 278: 31128–31135.
26. Miriyala S, Gongora Nieto MC, Mingone C, Smith D, Dikakos S, et al. (2006) Bone morphogenetic protein-4 induces hypertension in mice: role of noggin, vascular NADPH oxidases, and impaired vasorelaxation. Circulation 113: 2818–2825.
27. Bestrom K, Watson KE, Horn S, Wortham C, Herman IM, et al. (1993) Bone morphogenetic protein expression in human atherosclerotic lesions. The Journal of Clinical Investigation 91: 1800–1809.
28. Piccolo S, Sasai Y, Lu B, De Robertis EM (1996) Dorsal-ventral Patterning in Xenopus: Inhibition of Ventral Signals by Direct Binding of Chordin to BMP-4. Cell 86: 589–598.
29. Smith WC, Harland RM (1992) Expression cloning of noggin, a new dorsalizing factor localized to the Spemann organizer in Xenopus embryos. Cell 70: 439–446.
30. Zimmerman LB, De Jesus-Escobar JM, Harland RM (1996) The Spemann Organizer Signal noggin Binds and Inactivates Bone Morphogenetic Protein 4. Cell 86: 599–606.
31. Sudo S, Avissar-Kretchmer O, Wang LS, Hauch AJW (2004) Protein Related to DAN and Cerberus Is a Bone Morphogenetic Protein Antagonist That Participates in Ovarian Paracrine Regulation. Journal of Biological Chemistry 279: 23134–23141.
32. Hemmati-Brivanlou A, Kelly OG, Melton DA (1994) Follistatin, an antagonist of activin, is expressed in the Spemann organizer and displays direct neuralizing activity. Cell 77: 283–295.
33. Nakamura T, Takio K, Eto Y, Shibai H, Titani K, et al. (1990) Activin-binding protein from rat ovary is follistatin. Science 247: 926–928.
34. Chang K, Weisz D, Sun J, Vega JD, Giddens D, et al. (2007) Bone Morphogenic Protein Antagonists Are Coexpressed with Bone Morphogenetic Protein 4 in Endothelial Cells Exposed to Unstable Flow In Vitro in Mouse Aortas and in Human Coronary Arteries: Role of Bone Morphogenetic Protein Antagonists in Inflammation and Atherosclerosis. Circulation 116: 1258–1266.
35. Koos R, Krueger T, Westenfeld R, Kuhl HP, Brandenburg V, et al. (2009) Relation of circulating matrix Gla-protein and anticoagulation status in patients with aortic valve calcifications. Thrombosis and Haemostasis 101: 603–704.
36. Massague J, Wotton D (2000) Transcriptional control by the TGF-[beta]/Smad signaling system. EMBO J 19: 1745–1754.
37. Andrew LC, Carrie F, Chuanju L, Michael PL, Eric C, et al. (2004) Expression of bone morphogenetic proteins, receptors, and tissue inhibitors in human fetal, adult, and osteoarthritic articular cartilage. Journal of Orthopaedic Research 22: 1188–1192.
38. Sucosky P, Balachandran K, Ellammali A, Jo H, Yogananthan AP (2009) Altered Shear Stress Stimulates Upregulation of Endothelial VCAM-1 and ICAM-1 in a BMP-4 and TGF-(beta)-Dependent Pathway. Arterioscler Thromb Vasc Biol 29: 254–260.
39. Miyazono K (1999) Signal transduction by bone morphogenetic protein receptors: functional roles of Smad proteins. Bone 25: 91–93.
40. Topper JN, Cai J, Qin Y, Anderson KR, Xu Y-Y, et al. (1997) Vascular MADs: Two novel MAD-related genes selectively inducible by flow in human vascular endothelium. Proceedings of the National Academy of Sciences of the United States of America 94: 9314–9319.
41. Galvin KM, Donovan MJ, Lynch CA, Meyer RJ, Paul RJ, et al. (2000) A role for Smad6 in development and homeostasis of the cardiovascular system. Nat Genet 24: 171–174.
|
A wavelet method for modeling and despiking motion artifacts from resting-state fMRI time series
Ameera X. Patel\textsuperscript{a,*}, Prantik Kundu\textsuperscript{a,b}, Mikail Rubinov\textsuperscript{a,c}, P. Simon Jones\textsuperscript{a}, Petra E. Vértes\textsuperscript{a}, Karen D. Ersche\textsuperscript{a}, John Suckling\textsuperscript{a}, Edward T. Bullmore\textsuperscript{a}
\textsuperscript{a} Behavioral and Clinical Neuroscience Institute, Department of Psychiatry, University of Cambridge, UK
\textsuperscript{b} National Institutes of Health, Bethesda, MD 20892, USA
\textsuperscript{c} Churchill College, University of Cambridge, UK
\textbf{Article history:}
Accepted 8 March 2014
Available online 21 March 2014
\textbf{Keywords:}
fMRI
Resting-state Connectivity
Motion Artifact
Spike
Wavelet
Despike
Non-stationary
\textbf{Abstract}
The impact of in-scanner head movement on functional magnetic resonance imaging (fMRI) signals has long been established as undesirable. These effects have been traditionally corrected by methods such as linear regression of head movement parameters. However, a number of recent independent studies have demonstrated that these techniques are insufficient to remove motion confounds, and that even small movements can spuriously bias estimates of functional connectivity. Here we propose a new data-driven, spatially-adaptive, wavelet-based method for identifying, modeling, and removing non-stationary events in fMRI time series, caused by head movement, without the need for data scrubbing. This method involves the addition of just one extra step, the Wavelet Despike, in standard pre-processing pipelines. With this method, we demonstrate robust removal of a range of different motion artifacts and motion-related biases including distance-dependent connectivity artifacts, at a group and single-subject level, using a range of previously published and new diagnostic measures. The Wavelet Despike is able to accommodate the substantial spatial and temporal heterogeneity of motion artifacts and can consequently remove a range of high and low frequency artifacts from fMRI time series, that may be linearly or non-linearly related to physical movements. Our methods are demonstrated by the analysis of three cohorts of resting-state fMRI data, including two high-motion datasets: a previously published dataset on children ($N = 22$) and a new dataset on adults with stimulant drug dependence ($N = 40$). We conclude that there is a real risk of motion-related bias in connectivity analysis of fMRI data, but that this risk is generally manageable, by effective time series denoising strategies designed to attenuate synchronized signal transients induced by abrupt head movements. The Wavelet Despiking software described in this article is freely available for download at \url{www.brainwavelet.org}.
© 2014 Published by Elsevier Inc.
\textbf{Introduction}
Head movement has long been known to induce undesirable, artifactual effects on functional magnetic resonance imaging (fMRI) signals (Biswal et al., 1995; Bullmore et al., 1999a; Friston et al., 1996; Hajnal et al., 1994). Head movement artifacts can originate from a number of sources including physiological noise caused by respiration and cardiac pulsations, slow involuntary drifts in head position, and briefer ‘spike-like’ movements. Notably, it is the latter that are most damaging to fMRI data, as they can induce substantial spin-history and slicereadout artifacts, and cause geometric deformation of the brain (Friston et al., 1996; Hajnal et al., 1994).
Traditional methods for correcting primary motion artifacts, such as misalignment of image position and geometric deformation of the brain, include volume realignment using a rigid-body or affine transform. Correction for secondary motion artifacts, such as field inhomogeneity changes and spin-history effects, is more difficult. Commonly used methods to correct some of these include linear regression of head movement parameters (Bullmore et al., 1999a), or component filtering after Independent Component Analysis (Beckmann and Smith, 2005). These methods are often able to remove some, but not all of these secondary artifacts. Notably, spin-history effects can be difficult to remove. The difficulty in modeling these secondary effects on fMRI time series from the movement parameter information available, may be further complicated by a number of factors, including, but not limited to, subject movement in between frames, which may result in substantial non-linear and non-spatially-uniform effects in time series. As demonstrated concurrently by three recent independent studies (Power et al., 2012; Satterthwaite et al., 2012; Van Dijk et al., 2012), and as demonstrated by a number of subsequent studies (Bright and Murphy,
even small head movements in the range of 0.5 to 1 mm can induce systematic biases in correlation strength between nearby brain regions. As suggested by these studies, the more subtle effects may be difficult to remove with traditional methods, particularly in groups of patients and children, where spike-like head movements are more frequent, are likely to be larger in amplitude, and often correlate with the feature being studied, such as the age of the subject or severity of the disease.
In light of this problem, a number of methods have been proposed to ameliorate the observed motion-induced biases in the estimation of functional connectivity. These have largely focused around data ‘scrubbing’ (originally proposed by Power et al. (2012)), which involves the removal of motion-affected frames of data from pre-processed time series, guided by head movement and signal change parameters. A number of more recent articles have suggested improvements on the original method, including: (i) removing affected frames prior to Fourier filtering and interpolating the missing data to prevent temporal leakage of artifact (Carp, 2012), (ii) scrubbing within regression ('spike regression', Satterthwaite et al., 2013) and (iii), use of higher-order, or Volterra-expanded, confound regressors with or without data scrubbing, such as the 36-parameter model proposed by Satterthwaite et al. (2013), and the 24-parameter autoregressive model proposed by Yan et al. (2013).
Here we propose a new data-driven, wavelet-based method for modeling and removing secondary motion artifacts from fMRI data, without the need for data scrubbing. This unsupervised method detects non-stationary events, caused by movement, as chains of scale-invariant maximal or minimal wavelet coefficients, and despikes these from voxel time series. Importantly, because the algorithm can identify non-stationary events across different frequencies, it is able to remove slower, prolonged, motion artifacts such as spin-history type effects, as well as higher frequency events such as step changes in signal intensity and spikes. We demonstrate, at a single-subject and group level, using a number of previously published and new diagnostic measures, that this method provides benefits over more standard despiking procedures, and is more successful at removing motion artifacts than previously published regression methods, because there is no dependence on a predefined model explaining the relationship between physical movements and effects of fMRI signal. This property also affords the algorithm spatial adaptivity. As a result, it is more effective at removing a wide range of movement-induced artifacts, which can themselves be spatially heterogeneous in nature.
We illustrate these new methods in three cohorts of single-echo fMRI data, including two high-motion cohorts: a previously published group of children ($N = 22$; Power et al., 2012); and a new dataset on adults with stimulant drug dependence ($N = 40$). We also analyze a relatively low-motion cohort: a new healthy adult dataset ($N = 45$). We conclude that the addition of the wavelet-based despiking step prior to confound signal regression during pre-processing, provides a benefit over use of more standard despiking algorithms, and enables better removal of motion artifacts from high-motion cohorts than previously described regression-only and/or scrubbing methods.
**Materials and methods**
**Subjects**
Resting-state fMRI data from three cohorts of subjects were studied. Cohort 1 is a previously published cohort of 22 children (Power et al., 2012) average age 8.5. All subjects gave assent with parental consent as approved by the Washington University Human Studies Committee. Cohort 2 is a group of 40 stimulant-dependent adults that met the DSM-IV criteria for stimulant dependence, average age 34.8 years. Cohort 3 is a group of 45 healthy biological siblings of cohort 2 subjects, average age 32.3 years. From the original cohort, 5 subjects were excluded from cohort 2, and 4 from cohort 3 due to the presence of acquisition errors or brain clipping. These subjects are not included in the total cohort numbers. Data collection for cohorts 2 and 3 was approved by the Cambridge Research Ethics Committee (REC08/H0308/310), and all subjects provided written informed consent prior to enrolment. Table 1 contains further details on these cohorts. Cohort 1 was used to demonstrate results for all analyses, except those presented in Inline Supplementary Figs. S5 and S6, and Table 1, where results from all three cohorts were used.
**fMRI data acquisition**
Cohort 1 data (Power et al., 2012) was obtained from Washington University at St. Louis, and the surrounding areas. Subjects were scanned on a Siemens MAGNETOM Tim Trio 3.0 T Scanner. Each dataset comprised a T1 weighted MPRAGE structural image (TE = 3.06 ms, TR-partition = 2.4 s, TI = 1000 ms, flip angle = 8°) with a voxel resolution of $1.0 \times 1.0 \times 1.0$ mm, and a BOLD functional image, acquired using a whole-brain gradient echo echo-planar (EPI) sequence with interleaved slice acquisition (TR = 2.2–2.5 s, TE = 27 ms, flip angle = 90°), and
---
**Table 1**
Summary of cohorts. *These subjects were excluded for excessive amount of head movement (see the Subject exclusion criteria section). In addition, 5 subjects were excluded from cohort 2 and 4 subjects from cohort 3 during pre-processing due to the presence of acquisition errors or brain clipping. These latter subjects are not included in the cohort totals represented by [N]. Superscript numbers represent scrubbing criteria used in: ¹Yan et al. (2013), ²Power et al. (2013), and ³Satterthwaite et al. (2013).
| Cohort | Length of scan | Cohort numbers | Age, yr | Mean Framewise Displacement, $\overline{FD}$ (mm) |
|--------|----------------|----------------|---------|-----------------------------------------------|
| | TR(s) | Frames | Subjects [N] | Excluded* [E] | $\mu$ (σ) [N] | $\mu$ (σ) [N – E] | [N] | [N – E] | Max. $\overline{FD}$ | $\mu \overline{FD}$ (σ) [N] | $\mu \overline{FD}$ (σ) [N – E] |
| Cohort 1 | 2.2 – 2.5 | 76 – 266 | 22 | 6 | 8.5 (10) | 8.5 (1.0) | 11:11 | 8:8 | 1.32 | 0.39 (0.31) | 0.24 (0.11) |
| Cohort 2 | 2 | 261 | 40 | 6 | 34.8 (7.4) | 34.7 (7.6) | 3:37 | 2:32 | 0.86 | 0.39 (0.18) | 0.34 (0.13) |
| Cohort 3 | 2 | 261 | 45 | 2 | 32.3 (8.3) | 32.7 (8.2) | 23:22 | 23:20 | 0.73 | 0.30 (0.14) | 0.29 (0.12) |
Mean % time points despiked
| Wavelet Despike | Time Despike |
|-----------------|--------------|
| $\mu$ SP (σ) [N] | $\mu$ SP (σ) [N – E] | $\mu$ (σ) [N] | $\mu$ (σ) [N – E] |
| 3.9 (5.3) | 1.5 (1.2) | 1.6 (1.6) | 0.8 (0.7) |
| 2.4 (2.5) | 1.5 (1.0) | 2.1 (1.9) | 1.4 (0.7) |
| 1.8 (1.8) | 1.5 (1.4) | 1.9 (1.9) | 1.7 (1.8) |
Mean % time points that would be removed by scrubbing
| FD>0.2mm¹ | FD>0.2 mm or DVARS>0.3%² | rmsFD>0.25mm³ |
|-----------|--------------------------|---------------|
| $\mu$ (σ) [N] | $\mu$ (σ) [N – E] | $\mu$ (σ) [N] | $\mu$ (σ) [N – E] | $\mu$ (σ) [N] | $\mu$ (σ) [N – E] |
| 64.9 (29.4) | 52.7 (26.8) | 74.9 (19.7) | 69.4 (19.1) | 18.2 (22.0) | 7.5 (7.2) |
| 87.3 (16.6) | 86.1 (17.6) | 87.3 (16.6) | 86.2 (17.5) | 10.2 (13.5) | 6.5 (10.3) |
| 75.5 (25.0) | 74.7 (25.3) | 75.8 (24.8) | 75.1 (25.1) | 6.7 (8.8) | 5.3 (5.7) |
with voxel dimensions of $4.0 \times 4.0 \times 4.0$ mm. For some subjects, independent runs were concatenated, as in Power et al. (2012). Where this was the case, subject data was concatenated at a regional level, after parcellation (see the Definition of regional time series section below), as on average, concatenated scans were taken 15.5 days apart, and therefore there was often substantial variability in voxel numbers, which made it difficult to concatenate scans reliably during functional image pre-processing.
Cohorts 2 and 3 were scanned at the Wolfson Brain Imaging Centre, Cambridge, UK, using a Siemens MAGNETOM Tim Trio 3.0 T Scanner. For each subject, a T1-weighted sagittal MPRAGE structural image was acquired at the start of the scanning session ($TE = 2.98$ ms, $TR = 2300$ ms, $TI = 900$ ms, flip angle = 9°, FOV = 256 mm), with a voxel resolution of $1.0 \times 1.0 \times 1.0$ mm. BOLD functional images were acquired with eyes closed, using a whole-brain gradient echo echo-planar (EPI) sequence of 261 volumes with interleaved slice acquisition ($TR = 2000$ ms, $TE = 30$ ms, flip angle = 78°, FOV = 192 mm, slice thickness/gap = 3 mm/0 mm), and with voxel dimensions of $3.0 \times 3.0 \times 3.0$ mm.
Functional image pre-processing
Functional and structural images were processed using AFNI/SUMA (http://afni.nimh.nih.gov/) and FSL (http://fsl.fmrib.ox.ac.uk).
Functional image pre-processing was divided into two sections: core image processing, and denoising.
Core image processing included the following steps: (i) slice acquisition correction using heptic (7th order) Lagrange polynomial interpolation; (ii) rigid-body head movement correction to the first frame of data, using quintic (5th order) polynomial interpolation to estimate the realignment parameters (3 displacements and 3 rotations); (iii) obliquity transform to the structural image; (iv) affine co-registration to the skull-stripped structural image using a gray matter mask; (v) standard space transform to the MNI152 template in Talairach space; (v) spatial smoothing (6 mm full width at half maximum); and (vi) a within-run intensity normalization to a whole-brain median of 1000.
Denoising steps included: (vii) time series despiking (wavelet or time domain); (viii) confound signal regression including the 6 motion parameters estimated in (ii), their first order temporal derivatives, and ventricular cerebrospinal fluid (CSF) signal (referred to as 13-parameter regression); and (ix) a temporal Fourier filter. Frequency filtering was restricted to a high-pass filter \((0.009 \text{ Hz} < f)\), except for the analyses presented in Inline Supplementary Figs. S1, S5, S6 and S7, in order to prevent temporal smoothing from biasing our inter-method
comparisons. For these Supplementary figures, a temporal band-pass filter (0.009 < f < 0.08 Hz; frequency bands as in Power et al., 2012) was applied in the final step, in order to facilitate comparison with results presented in Power et al. (2012) and Satterthwaite et al. (2012). Results in Figs. 3, 5, 6, and Inline Supplementary Fig. S4, which show outputs immediately after despiking, do not include any frequency filtering. We did not regress white matter or global signals, as they were found to increase distance-dependent connectivity biases in accordance with previously published reports (Satterthwaite et al., 2013; Jo et al., 2013; see Inline Supplementary Fig. S1). A summary of our pre-processing steps can be found in Fig. 1, and a more detailed overview in Inline Supplementary Fig. S2.
Inline Supplementary Figs. S1 and S2 can be found online at http://dx.doi.org/10.1016/j.neuroimage.2014.03.012.
Despiking algorithms
Two despiking algorithms were used for the analysis presented: the Wavelet Despiking algorithm was compared against a more standard type of despiking algorithm, here called the Time Despike. Both were implemented at a voxel level prior to confound signal regression.
Time Despike
This algorithm was implemented as part of AFNI’s 3dBandpass function. This function identifies spikes as supra-threshold deviations from the local Median Absolute Deviation (MAD), and compresses these to the level of the local median. The following steps were conducted:
1. For each time series $X_t$, the local median was calculated at each time point from a local sample of 4 time points either side of any given time point (see Inline Supplementary Fig. S3A). So, for $t = \{4, ..., N - 5\}$, where $N$ is the number of time points,
$$\text{MED}_t = \text{median}(\{X_{t-4}, ..., X_{t+4}\}).$$ \hspace{1cm} (1)
Inline Supplementary Fig. S3 can be found online at http://dx.doi.org/10.1016/j.neuroimage.2014.03.012.
This window was compressed at the time series boundaries for $t = \{0, ..., 3, N - 4, ..., N - 1\}$, so for example,
$$\text{MED}_0 = \text{median}(\{X_0, ..., X_4\}).$$ \hspace{1cm} (2)
2. For each time point, the local MAD was then calculated as follows, again within a $4 \times 4$ window (see Inline Supplementary Fig. S3B): for $t = \{4, ..., N - 5\}$,
$$\text{MAD}_t = \text{median}(\{|X_{t-4} - \text{MED}_t|, ..., |X_{t+4} - \text{MED}_t|\}).$$ \hspace{1cm} (3)
Again, the window was compressed at the time series boundaries for $t = \{0, ..., 3, N - 4, ..., N - 1\}$, so for example,
$$\text{MAD}_1 = \text{median}(\{|X_0 - \text{MED}_1|, ..., |X_3 - \text{MED}_1|\}).$$ \hspace{1cm} (4)
3. For each time point, if the time point’s deviation from the local median was greater than the MAD for that time point $\times 6.8$, then that time point was despiked to the level of the local median (see Inline Supplementary Fig. S3C). So, for $t = \{0, ..., N - 1\}$,
$$\begin{align*}
\text{if } & |X_t - \text{MED}_t| > \text{MAD}_t \times 6.8 \\
\text{then } & X_t = \text{MED}_t.
\end{align*}$$ \hspace{1cm} (5)
Wavelet Despike
This algorithm was designed to identify non-stationary events caused by motion, using a wavelet-based approach. Wavelet analysis offers a powerful set of tools for analyzing the properties of complex time series (Daubechies, 1992; Mallat, 1998). Wavelet transforms provide multi-resolution (multi-frequency) information about signals, and are known to be effective at detecting transient phenomena, such as spikes, for which Fourier methods are relatively ineffective (Mallat, 1998).
The Wavelet Despiking algorithm comprised five key steps, which are detailed below. A diagrammatic explanation of these steps can be found in Fig. 2.
1. **Time series decomposition.** Each voxel time series $X_t$ was decomposed in the wavelet domain to $W_{s,t}$, using the (partial) Maximal Overlap Discrete Wavelet Transform (MODWT, WMTSA toolbox: http://www.atmos.washington.edu/wmtsa/); $s$ represents the scale, or frequency band, and $t$ represents time, where $s = \{1, ..., J\}$, $t = \{0, ..., N - 1\}$, $J$ is the number of scales, and $N$ is the number of time points. $J$ was defined as the largest positive integer satisfying the condition:
$$J \leq \log_2(N) \quad \text{where } J \in \mathbb{Z}^+. \hspace{1cm} (6)$$
The MODWT was implemented using the pyramid algorithm (Percival and Walden, 2006), and Daubechies scaling (father) and wavelet (mother) filters of length 4 (db4; Daubechies, 1992). The MODWT has a number of key advantages over the Discrete Wavelet Transform (DWT), which makes it particularly useful for our purposes. First, it is naturally defined for all sample sizes. Thus, the length of time series has no ‘power of 2’ restrictions. In addition, the MODWT can eliminate alignment artifacts (Percival and Walden, 2006), making it easier to detect transients in coarser scales that are due to an event at a particular point in time.
For $N$ time points, the MODWT wavelet ($\tilde{W}$) and scaling ($\tilde{V}$) coefficients of signal $X_t$ were defined as follows:
$$\begin{align*}
\text{for } t &= \{0, ..., N - 1\} \quad \text{and} \quad s = \{1, ..., J\} \\
\tilde{W}_{s,t} &\equiv \sum_{l=0}^{L_s-1} \tilde{h}_{s,l} \cdot X_{t-l \mod N} \quad \& \\
\tilde{V}_{s,t} &\equiv \sum_{l=0}^{L_s-1} \tilde{g}_{s,l} \cdot X_{t-l \mod N} \quad \& \\
\text{where } & \{\tilde{h}_{s,l} : l = 0, ..., L_s - 1\} \quad \& \\
& \{\tilde{g}_{s,l} : l = 0, ..., L_s - 1\}.
\end{align*}$$ \hspace{1cm} (7)
---
**Fig. 2.** Guided example of the Wavelet Despike method. Each numbered step in the figure refers to the correspondingly numbered step in the *Wavelet Despike* section. Wavelet Despiking was performed for each voxel time series separately. In step (1), each time series was decomposed using the Maximal Overlap Discrete Wavelet Transform (MODWT) to add an extra dimension of information, the scale (or frequency band). The wavelet decomposition is represented as a number matrix of time vs. scale (or frequency band). In (2), local maxima and minima were defined from this matrix by searching through coefficients in the scale plane. For each coefficient, maxima and minima were defined within a local $2 \times 2$ window of coefficients, and boundaries were circularized. A coefficient was defined as maximal (or minimal) if its value was at least half the size of the local (within a $2 \times 2$ window) maximum (or minimum) and its modulus was greater than a threshold value of 10. This produced a relatively dense set of maxima and minima; the diagram only shows a few of these for clarity. In step (3), maxima and minima were chained across scales. For each maximum, a sliding window function searched across scales for any adjacent maxima (denoted in pink), and for each minimum, searched for adjacent minima (denoted in blue). The window size was fixed at $2 \times 2$ in the scale plane, $1 \times 1$ in the time plane, and was circularized in the scale plane. Only maxima that had at least one other accompanying maximum within this window were kept (denoted by ticks), others were removed from the set (denoted by crosses); the same applied for the set of minima. This resulted in a final set of maximal and minimal wavelet coefficients that were part of maxima or minima chains. In the final step (4), the signals were recomposed using the inverse Maximal Overlap Discrete Wavelet Transform (iMODWT). Two time series were recomposed at this stage. First, the set of maximal and minimal wavelet coefficients were removed from the time vs scale plane, and the remaining coefficients recomposed to create a denoised ‘Wavelet Despiked’ time series. Secondly, the maximal and minimal wavelet coefficients themselves were recomposed to create a ‘noise signal’. The noise signals were used for a variety of analyses to look at the nature of the signals being removed by the algorithm.
The MODWT wavelet and scaling filters \((\tilde{h}_{s,l} \text{ and } \tilde{g}_{s,l} \text{ respectively})\) have length \((2^S - 1)(L - 1) + 1\).
The pyramid algorithm (Percival and Walden, 2006) computes scale \(s\) wavelet \((\tilde{W})\) and scaling \((\tilde{V})\) coefficients from scale \(s - 1\) scaling coefficients \((\tilde{V}_{s-1})\) as follows:
\[
\tilde{V}_{0,t} \equiv X_t \quad \text{for all } s \geq 1
\]
\[
\tilde{W}_{s,t} = \sum_{l=0}^{L-1} \tilde{h}_l \cdot \tilde{V}_{s-1,t-l+1 \mod N} \quad \& \\
\tilde{V}_{s,t} = \sum_{l=0}^{L-1} \tilde{g}_l \cdot \tilde{V}_{s-1,t-2^{s-1} \mod N}.
\]
(8)
Next, coefficients at each scale were temporally aligned according to the phase delay properties of the filter applied. For the db4 filter, the circular shift is defined at each scale by \(T_s\), which is calculated as follows: for \(s = \{1, ..., J\}\), and where \(L = 4\) (the filter length),
\[
T_s = 2^{s-1}(L - 1) - 1.
\]
(9)
Thus, all wavelet coefficients \(\tilde{W}_{s,t}\) were redefined as follows:
\[
\tilde{W}_{s,t} = \tilde{W}_{s,t-T_s}.
\]
(10)
2. **Definition of maximal and minimal wavelet coefficients.** After temporal alignment, the \(2 \times 2\) neighborhood of each coefficient was searched for maximal or minimal wavelet coefficients, in the scale plane. Maxima and minima were considered separately throughout all steps, in order to preserve the directionality of the wavelet coefficients. This aided separation of non-stationary events where they occurred with relatively high frequency (continuously or in every few frames). This is an adaptation of the ‘modulus maxima method’, which is better suited for identifying non-stationary events which are rarer. One potential drawback of these methods is the limited temporal resolution, i.e. for a \(2 \times 2\) neighborhood, a maximum or minimum can only be defined at most every 3 frames. This is a problem for identifying non-stationary events in all scales, but particularly for correctly identifying prolonged non-stationary events in higher scales (lower frequencies), such as low frequency artifacts, or spin-history type effects as spins realign after a large movement, and signal intensity slowly recovers. Therefore, to overcome these limitations in temporal resolution, a coefficient was defined as maximal (or minimal) if its value was at least half the size of the local maximum (or minimum). Details can be found below in Eqs. (11)–(13).
For \(s = \{1, ..., J\}\) and \(t = \{2, ..., N - 3\}\), the set of maxima \(\tilde{W}_{\max}\), and minima \(\tilde{W}_{\min}\) was defined as any set of wavelet coefficients, \(\tilde{W}_{s,t}\), that satisfied the following conditions:
\[
\tilde{W}_{\max} \equiv \left\{ \tilde{W}_{s,t} \geq 0.5 \cdot \max \left( \left\{ \tilde{W}_{s,t-2}, ..., \tilde{W}_{s,t+2} \right\} \right) \right\} \quad \& \\
\tilde{W}_{\min} \equiv \left\{ \tilde{W}_{s,t} \leq 0.5 \cdot \min \left( \left\{ \tilde{W}_{s,t-2}, ..., \tilde{W}_{s,t+2} \right\} \right) \right\}.
\]
(11)
Function boundaries for \(t\) were circularized for each scale, such that for \(t = \{0, 1, N - 2, N - 1\}\) and \(s = \{1, ..., J\}\), the wavelet coefficient \(\tilde{W}_{s,N-1}\) was considered maximal if:
\[
\tilde{W}_{s,N-1} \geq 0.5 \cdot \max \left( \left\{ \tilde{W}_{s,N-3}, ..., \tilde{W}_{s,N-1}, \tilde{W}_{s,0}, \tilde{W}_{s,1} \right\} \right)
\]
(12)
and minimal if:
\[
\tilde{W}_{s,N-1} \leq 0.5 \cdot \min \left( \left\{ \tilde{W}_{s,N-3}, ..., \tilde{W}_{s,N-1}, \tilde{W}_{s,0}, \tilde{W}_{s,1} \right\} \right).
\]
(13)
This produced a relatively dense set of maximal and minimal wavelet coefficients. In order to identify which coefficients in \(\tilde{W}_{\max}\) and \(\tilde{W}_{\min}\) originated from large non-stationary events, we used the common method, within the modulus maxima method literature, of thresholding coefficients. We used a lenient threshold, which retained many of these coefficients, as we subsequently used a chain detection algorithm to identify large non-stationary events crossing multiple scales or frequency bands. The sets of maximal and minimal wavelet coefficients surviving the thresholding operation, denoted \(\tilde{W}_{\max}\) and \(\tilde{W}_{\min}\) respectively, were thus defined as follows:
\[
\tilde{W}_{\max}' \equiv \left\{ \tilde{W}_{\max} | \tilde{W}_{\max} \in \mathbb{Z} \geq 10 \right\} \quad \& \\
\tilde{W}_{\min}' \equiv \left\{ \tilde{W}_{\min} | \tilde{W}_{\min} \in \mathbb{Z} \leq -10 \right\}.
\]
(14)
3. **Maxima and minima chain search algorithm.** Non-stationary events caused by abrupt changes in time series are represented as chains of maximal and minimal wavelet coefficients, present at the same time point, but in multiple scales or frequencies. These chains characterize both the higher and lower frequency time series components related to the abrupt non-stationary change. To prove mathematically which maxima or minima propagate from lower to higher scales, we would need a very large set of scales, which is computationally expensive. A commonly used approximation is to implement a search algorithm that looks at the position and directionality of the maximal or minimal coefficient at any given scale relative to other maxima or minima in the same, or adjacent, scales. So, for example, a coefficient in the set \(\tilde{W}_{\max}\) at \(s = 1\) will be chained to a coefficient at \(s = 2\), if it is of the same sign, and its position is close (within two time points and one scale) to the coefficient at \(s = 1\). Sets of coefficients \(\tilde{W}_{\max}'\) and \(\tilde{W}_{\min}'\) were thus entered into the search algorithm independently. Taking the example of \(\tilde{W}_{\max}'\), coefficients that were part of maxima chains \(\tilde{W}_{C\max}\) were defined as follows: for \(s = \{2, ..., J - 1\}\), and \(t = \{2, ..., N - 3\}\),
\[
\tilde{W}_{C\max} \equiv \tilde{W}_{\max}', \quad \text{such that} \\
\tilde{W}_{C\max} \equiv \left\{ \tilde{W}_{\max}' | \tilde{W}_{s+k,t+l} \in \tilde{W}_{\max}' \right\},
\]
(15)
for any value of \(k \in \{-1, 0, 1\}\) and \(l \in \{-2, ..., 2\}\),
but where \((k, l) \neq (0, 0)\).
The same conditions were applied to \(\tilde{W}_{\min}'\), to produce a set of minima chains, \(\tilde{W}_{C\min}\). We refer to this final set of coefficients comprising maxima, \(\tilde{W}_{C\max}\), and minima, \(\tilde{W}_{C\min}\), chains as \(\tilde{W}_{MMC}\) (i.e. \(\tilde{W}_{MMC} = \{\tilde{W}_{C\max}, \tilde{W}_{C\min}\}\)). Boundaries were circularized in the time dimension, \(t\), as in the previous step; so for example, where \(t = 0\), the values \(t + l\) could take were: \(t + l \in \{N - 2, N - 1, 0, 1, 2\}\).
4. **Maxima and minima chain removal.** All coefficients at position \(\tilde{W}_{s,t}\) that were part of maxima and minima chains, \(\tilde{W}_{MMC}\), were then located and set to zero in the scale-time plane, \(\forall \tilde{W}_{s,t} \in \tilde{W}_{MMC}\), for \(s = \{1, ..., J\}\) and \(t = \{0, ..., N - 1\}\). In other words, maxima and minima chains were masked out in the wavelet domain. All wavelet coefficients were then re-shifted back out of temporal alignment, according to the phase delay of the filter, before the signal was recomposed. The time shift function is given in Eq. (9) above. Wavelet coefficients \(\tilde{W}_{s,t}\) were thus redefined as follows:
\[
\tilde{W}_{s,t} = \tilde{W}_{s,t+T_s}.
\]
(16)
5. **Time series recomposition.** After non-stationary events had been removed, the ‘Wavelet Despiked’ (denoised) signal could be recomposed from all scales using the inverse MODWT (iMODWT).
This was done using the inverse pyramid algorithm (Percival and Walden, 2006):
\[
\tilde{V}_{s-1,t} = \sum_{l=0}^{L-1} h_l \cdot \tilde{W}_{s,t+2^{l-1} \mod N} + \sum_{l=0}^{L-1} g_l \cdot \tilde{V}_{s,t+2^{l-1} \mod N}.
\]
(17)
For some analyses, the final set of maxima and minima chain coefficients themselves was recomposed to create a ‘noise signal’. In this case, all wavelet coefficients not part of the set of maxima or minima chains, \( \tilde{W}_{s,t} \in \tilde{W}_{MMC} \), for \( s = \{1, \ldots, J\} \) and \( t = \{0, \ldots, N-1\} \), were set to zero in the scale-time plane, and the noise signal recomposed from all scales using the iMODWT.
Where frequency filtering was conducted, despiked, and recomposed, time series were filtered in the Fourier domain (following regression) in order to keep frequency bands consistent with the Time Despiking method. We note that it is also possible to frequency filter in the wavelet domain by recomposing a subset of scales, or indeed to use the wavelet coefficients themselves for connectivity analysis.
**Definition of regional time series**
After functional image pre-processing, voxel time series were parcellated into 230 approximately evenly-sized parcels. The template was made by randomly parcellating gray matter regions (Zalesky et al., 2010), as identified by the Eickhoff–Zilles macrolabels atlas in Talairach space (distributed with AFNI). Voxel time series within each parcel were averaged to form regional time series. The template was created to contain a comparable number of parcels to those described in Power et al. (2012) and Satterthwaite et al. (2012), which used 264 and 116 regions of interest, respectively.
To ensure that our results were template independent, we repeated our core analyses with two additional templates: another randomly parcellated gray matter template comprising 325 parcels; and an anatomical parcellation, based on the Eickhoff–Zilles atlas in Talairach space, comprising 116 parcels. The use of these alternate templates did not change our findings.
**Framewise Displacement, DVARS and Spike Percentage**
Movement was quantified and summarized into a single vector for each subject using four different methods; including three previously published measures: Framewise Displacement (FD; Power et al., 2012), root mean square displacement (rmsFD; Satterthwaite et al., 2012, 2013), DVARS (Smyser et al., 2010; Power et al., 2012), and Spike Percentage (new).
**Framewise Displacement**
Framewise Displacement (FD) was defined as the sum of the absolute derivatives of the 6 motion parameters (\( x, y, z, \alpha, \beta, \gamma \)), representing 3 planes of translation and 3 planes of rotation. Rotational parameters (yaw \( \alpha \), pitch \( \beta \) and roll \( \gamma \)) were converted to distances by computing the arc length displacement on the surface of a sphere with radius 50 mm (as in Power et al., 2012). For \( t = \{1, \ldots, N - 1\} \), where \( N \) = the number of time points,
\[
FD_t = \sum_{d \in D} |d_{t-1} - d_t| + 50 \cdot \frac{\pi}{180} \cdot \sum_{r \in R} |r_{t-1} - r_t|
\]
where \( D = \{x, y, z\} \quad \& \quad R = \{\alpha, \beta, \gamma\} \)
\( FD \) at time \( t = 0 \) was given the value 0 in order for the length of \( FD \) to equal \( N \). For any subject \( \bar{FD} \) was defined as the mean value of the \( FD \) vector.
**Root mean square displacement**
rmsFD was defined as the root mean square variance across the absolute frame-to-frame difference of the unaltered 6 movement parameters. Rotations were not converted to distances (as in Satterthwaite et al., 2012, 2013). For \( t = \{1, \ldots, N - 1\} \),
\[
rmsFD_t = \sqrt{\frac{1}{6} \sum_{p \in P} \left\langle \left| m_{p(t-1)} - m_{pt} \right|^2 \right\rangle}
\]
(19)
where \( P = \{x, y, z, \alpha, \beta, \gamma\} \)
\( rmsFD \) at time \( t = 0 \) was given the value 0 in order for the length of \( rmsFD \) to equal \( N \).
**DVARS**
DVARS, is the root mean square variance across all brain voxels, of frame-to-frame difference in percent signal change. DVARS was calculated at different stages within the denoising section of our functional image pre-processing pipeline, but before frequency filtering (see Fig. 1, Inline Supplementary Fig. S2), in order to analyze the effects of different operations on percent signal change. The stage of preprocessing after which DVARS was calculated, is indicated in the text and figure legends where relevant. For \( t = \{1, \ldots, N - 1\} \),
\[
DVARS_t = \sqrt{\frac{1}{n(V)} \cdot \sum_{l \in V} \left\langle \left[ l_t - l_{t-1} \right]^2 \right\rangle}
\]
(20)
where \( V \) is the set of all voxel time series.
DVARS at time \( t = 0 \) was given the value 0 in order for the length of \( DVARS \) to equal \( N \).
**Spike Percentage**
The Spike Percentage (SP) at any given time point, is defined as the percentage of gray matter voxels containing a spike in that frame of data. For a run of \( N \) time points, the SP is therefore a vector of \( N \) points. Spikes may be defined in a number of ways, such as deviations above a threshold, or from the mean; but here we mark a time point for any given voxel time series as a spike, if there is a maximal or minimal wavelet coefficient (in the final set comprising maxima and minima chains) at that time point in scale \( s = 1 \) (see the Wavelet Despike section). In other words, the Spike Percentage for any given frame represents the percentage of gray matter voxels containing a maximal or minimal wavelet coefficient in scale \( s = 1 \) at that point in time. So, for \( t = \{0, \ldots, N - 1\} \),
\[
SP_t = \frac{n(P_t)}{G} \times 100, \quad P_t = \{\tilde{W}_{1,t} \in C\},
\]
(21)
where \( G \) is the number of gray matter voxels, and \( C \) is the set of maxima and minima chain wavelet coefficients (\( \tilde{W}_{MMC} \)) across all gray matter voxels.
Unless otherwise indicated, the Spike Percentage was calculated after core image processing, and prior to any frequency filtering. For any subject, \( \bar{SP} \) is the mean value of the \( SP \) vector.
**Distance-dependent movement artifact diagnostics**
Distance-dependent movement artifacts were analyzed in two ways, using two previously published group-level metrics: the ‘\( \Delta R \) plot’ (which can also be computed at a single-subject level; Power et al., 2012), and the ‘motion correlation plot’ (Satterthwaite et al., 2012).
For each subject, the \( \Delta R \) plot first requires the identification of motion-affected frames of data using the global measures of \( FD \) and \( DVARS \). For these plots, DVARS was calculated immediately after core image processing (see Fig. 1). Marked frames were then scrubbed from all time series, after parcellation. The difference in correlation between pair-wise regional time series (scrubbed correlation minus
Fig. 3. Time series denoising capabilities of the Time and Wavelet Despike. This figure shows the effects of the two despiking algorithms, the Time Despike, and the Wavelet Despike, on voxel time series from a moderately high, and two low movement cohort 1 subjects. Original time series (central, black), were taken from voxels after core image processing (see Fig. 1). These voxel time series were then independently entered into the two despiking algorithms, and the despiked outputs are shown, along with the spikes (or noise signals) removed. The diagrams underneath the Wavelet Despiked outputs represent the temporally aligned MODWTs for the original time series, used by the wavelet algorithm. Further examples from two high-movement cohort 1 subjects can be found in Inline Supplementary Fig. S4. More details on the wavelet algorithm can be found in the Wavelet Despike section.
Unscrubbed correlation) was noted as ΔR. Frames were marked for removal if both the FD was >0.5 mm (including 1 frame before and two frames after those marked, where possible) and DVARS was >0.3% above baseline (similarly including 1 frame before and two frames after those marked). This DVARS threshold was chosen to be most similar to the fixed threshold of DVARS > 0.5% described in Power et al. (2012), but to also allow for variation in the baseline of DVARS, as occurs when different pre-processing strategies are employed. The more recently proposed criteria for scrubbing (Power et al., 2013; FD > 0.2 mm and DVARS > 0.3%) were not used here as they were found to remove excessive amounts of data (see Table 1). Group-level ΔR plots were made by computing ΔR for all 52,900 pair-wise correlations between the 230 regional time series, at a single-subject level, averaging the ΔR vectors across all subjects, and plotting ΔR as a function of the Euclidean distance between the centroids of these regions.
The motion-correlation plot (Satterthwaite et al., 2012) identifies whether pair-wise correlations between regional time series are correlated with motion, at a group level. To make this plot, we correlated an estimate of connectivity between each paired set of regional time series (determined by Pearson correlation between the two time series) with an estimate of that subject's motion, across all subjects. Motion here was defined by a single integer representing the mean absolute displacement relative to the previous frame, at each brain volume, averaged across x, y, and z planes (Satterthwaite et al., 2012). For each paired set of time series (52,900 in total), the correlation between motion and connectivity was plotted against the distance between the regions. This summarized whether group-level distance-dependent connectivity biases existed in the cohort as a whole.
Subject exclusion criteria
Subjects with a mean Spike Percentage (SP) > 5% were excluded from analysis. This included 6 subjects from cohort 1, 6 subjects from cohort 2, and 2 subjects from cohort 3. Compared to previously described criteria for exclusion, these subjects had, on average across the cohorts, <0.1 min of good data, using FD >0.2 mm for identifying motion-affected frames (Yan et al., 2013); <2.6 min of good data, using rmsFD >0.25 mm (Satterthwaite et al., 2013); and <3.0 min of good data, using FD > 0.5 mm and ADVARS >0.3% (Power et al., 2012). This is in contrast to the 3, 4 and 5 min thresholds described in these papers respectively. Importantly, we do not consider all the frames marked as motion-affected by these methods as irrecoverable, and therefore we are able to keep considerably more datasets in high-motion cohorts (such as cohorts 1 and 2), than would be possible with any of the previously published methods.
A summary of the cohorts, including a comparison of the percentage of time points despiked by the Time and Wavelet Despiking methods, and different methods for scrubbing time series can be found in Table 1.
Results
Time series denoising capabilities of the Time and Wavelet Despike
We began by analyzing the ability of the despiking algorithms to identify and remove non-stationary events caused by movement, at a time series level. Cohort 1 subjects that had been pre-processed through the core image processing section of our pipeline (see Fig. 1) were entered into the Time and Wavelet Despike modules independently, and the outputs of the two were compared, along with the spikes or noise signals removed by the respective algorithms.
Example voxel time series from a moderately high and two lower motion cohort 1 subjects ($\overline{SP} = 2.7\%, 1.0\%$ and $0.5\%$ respectively) can be found in Fig. 3, and further examples from two high-motion subjects ($\overline{SP} = 23.7\%, 9.4\%$ respectively) can be found in Inline Supplementary Fig. S4. The original signals represent time series that have just been processed through the core image processing module. In each case, spikes present in the original signals, that were coincident with subject movement, were effectively removed by the Wavelet Despike algorithm, but less efficiently by the Time Despike. Voxel time series were chosen to demonstrate a wide variety of motion artifacts, ranging from complex low frequency artifacts (Fig. 3, column 1), to high frequency artifacts combined with spin-history type effects, represented by a large drop in signal intensity taking many frames to recover (Fig. 3, column 2), to isolated ‘wide spikes’ caused by complex, isolated movements (Fig. 3, column 3), and finally, signal intensity changes resulting from multiple partial voxel shifts (Fig. 3, column 4). The Wavelet Despike algorithm was able to characterize and remove all of these artifacts from the fMRI time series, given that it characterizes events in multiple scales (frequency bands), thus enabling the removal of high
**Fig. 4.** Effects of despiking on time series correlation with movement and percent signal change. (A) For two high-movement cohort 1 subjects, voxel time series were correlated with estimates of subject movement (Framewise Displacement) or the percentage of gray matter voxels containing spikes for each frame of data (Spike Percentage; see the Framewise Displacement, DVARS and Spike Percentage section of the Methods), under various pre-processing scenarios. Row 1 maps were generated immediately after core image processing (see Fig. 1). Row 2–4 map were generated under different pre-processing scenarios immediately after core image processing. In all cases, low-pass filtering was omitted. (B) DVARS traces for the subjects in (A). Upper panels show the effects of Time Despiking + 13-parameter regression (blue), and lower panels show the effects of Wavelet Despiking + 13-parameter regression (green). The DVARS trace for the noise signal removed by the Wavelet Despike algorithm is also shown for each subject (brown). In summary, despiking prior to regression was able to reduce time series correlation with movement better than regression alone, and large fluctuations in frame-to-frame percent signal change were captured and removed much more effectively by the Wavelet Despike than the Time Despike.
frequency artifacts and any associated (or independent) lower frequency components. The Time Despike, a more standard procedure for despiking time series, was unsuccessful at removing many of these artifacts, because it uses a local median based method for identifying events in the time domain.
Inline Supplementary Fig. S4 can be found online at http://dx.doi.org/10.1016/j.neuroimage.2014.03.012.
Impact of despiking on time series correlation with movement and percent signal change
We next looked at the effects of the two despiking procedures on correlation between voxel time series and movement across the brain. Voxel time series from cohort 1 subjects were quantitatively compared, using Pearson correlation, with their respective Framewise Displacement and Spike Percentage vectors, under a number of pre-processing scenarios prior to frequency filtering, to produce two sets of correlation maps. Across all subjects, images that had only been processed through the core image processing module, contained considerable negative correlation with movement, due to the widespread presence of negatively deflecting spikes in the time series. An example from two high-movement subjects, one displaying globally correlated movement artifacts, and the other displaying locally correlated movement artifacts, can be found in Fig. 4 (subjects 1 and 2 respectively). Negative correlation with movement was reduced, but not eliminated, by the addition of 13-parameter regression (6 motion parameters, their first order temporal derivatives, and CSF signal; see Fig. 4A, row 2). However, the application of either the Time Despike or Wavelet Despike prior to 13-parameter regression produced significantly improved results, with near complete elimination of globally (subject 1) and locally (subject 2) correlated movement (see Fig. 4A, rows 3 and 4).
The ability of these despiking operations to suppress large frame-to-frame fluctuations in percent signal change (DVARS), caused by subject movement, in these high-movement subjects was then compared. Both the Time and Wavelet Despike algorithms were able to dampen large frame-to-frame fluctuations in DVARS; however, the Wavelet Despike produced considerably better results, with near complete suppression, and a resulting near-flat DVARS trace, without the application of a low-pass filter (Fig. 4B). These high-amplitude fluctuations were almost completely captured by the noise signal removed by this algorithm (Fig. 4B, row 2).
Spatial adaptivity of despiking
Given that the despiking algorithms despike all voxels independently, they have the flexibility of being spatially adaptive, that is, they can be tuned to remove motion artifacts only in voxels where they are present, in contrast to a global operation like scrubbing. In the case of the despiking algorithms we use, this tuning is unsupervised. To quantify the spatial heterogeneity of time series variance, and to investigate how the despiking algorithms deal for this, we analyzed standard deviation maps of cohort 1 subjects, before and after despiking. We used the standard deviation, as opposed to variance, in order to highlight the more subtle spatial effects of movement. As demonstrated by the high-movement example subject in Fig. 5, areas of high standard deviation (Fig. 5B) corresponded to areas of high correlation with movement (Fig. 5A), due to the presence of high-amplitude spikes in the time series. While the Time Despike was able to remove much of this motion-related signal variance, it did not perform nearly as well as the Wavelet Despike, which was able to more robustly capture signal variance related to movement. We observed this effect across all subjects analyzed. Further examples from a range of high-, medium- and low-motion cohort 1 subjects can be found in Fig. 6. Importantly, brain areas in the ‘noise signal removed’ maps (Figs. 5B and 6) with low standard deviation (green areas) were areas that were identified as ok by the Wavelet Despike algorithm, and therefore not despiked.
A comparison of despiking with previously published methods
A number of methods have been proposed to alleviate movement biases, including both scrubbing and regression techniques applied globally to all brain voxels. We first analyzed scrubbing with regard to the identification of spike-containing frames. Scrubbing uses the Framewise Displacement (FD) and/or DVARS to identify motion-affected frames, and censors these from time series. As we demonstrate in Figs. 7A and B, FD and DVARS do not always correctly identify spike-containing frames. We highlighted this by correlating these vectors with the Spike Percentage (SP) for all cohort 1 subjects (Fig. 7B). This latter measure is, by definition, sensitive to small subsets of voxels containing spikes (see the Framewise Displacement, DVARS and Spike Percentage section of the Methods), which may be enough to contribute a connectivity bias if spikes in these areas of the brain are not correctly identified and removed. We note that since the ‘ground truth’ in resting-state data is in fact unknown, the SP is simply an estimate of the noise introduced into fMRI time series by abrupt head movement. While FD and DVARS generally capture frames containing large artifacts, any thresholding operation on these vectors may miss more subtle biases.
(see Fig. 7A). In order to quantify this, we compared the ability of different scrubbing thresholds, proposed in different studies, to correctly identify spike-containing frames across all subjects in cohort 1. Masks of motion-affected frames identified by these methods were augmented with 1 frame before, and 2 frames after those marked, as described in Power et al. (2012). Here, we defined spike-containing frames as frames with a $SP > 0.25\%$, as this corresponded to, on average, 125 voxels (the largest region size in our 230 region parcellation). The single criterion approach for scrubbing within regression (spike regression) of $rmsFD > 0.25$ mm (Satterthwaite et al., 2013), and the dual criteria approach for scrubbing of $FD > 0.5$ mm and $\Delta DVARS > 0.5\%$ (Power et al., 2012), not only were the least aggressive, but also correctly identified on average fewer than 40 % of spike-containing frames (Fig. 7C, left panel). In contrast, the single criterion approach of $FD > 0.2$ mm (Yan et al., 2013) and the dual criteria approach of $FD > 0.2$ mm and $\Delta DVARS > 0.3\%$ (Power et al., 2013) for scrubbing, both produced relatively good (>75%) identification of spike-containing frames (Fig. 7C, left panel), but were considerably more aggressive, removing large numbers of frames (>60% and >80%, respectively; Fig. 7C, right panel). The Wavelet Despike method, by contrast, despiked on average 1.5% of time points from gray matter time series across the cohorts, without removing any frames of data. A summary of the percentage of time points that would be removed by the most recently proposed scrubbing methods, compared with the percentage of time points impacted by despiking, for all cohorts, can be found in Table 1.
We then directly compared previously published regression approaches with the Time and Wavelet Despike algorithms. These included the Friston 24 autoregressive approach (Friston et al., 1996; 6 motion parameters, their square terms, and these 12 parameters modeled one frame back) described in Yan et al. (2013), and the higher-order motion parameter regression model (6 motion parameters + CSF signal, their first order temporal derivatives, and the square of these 14 parameters) described in Satterthwaite et al. (2013). The 28 parameters used here were equivalent to the 36 parameters described in Satterthwaite et al. (2013), without the white matter and global signal regressors. These were omitted as they were found to increase distance-dependent connectivity biases (Inline Supplementary Fig. S1; Satterthwaite et al., 2013; Jo et al., 2013). We included CSF signal regression in all models, in order to make a fair comparison between regression strategies. An initial comparison of analyzing the effects of these different regression approaches, without low-pass filtering, on $DVARS$ and $SP$ vectors across cohort 1 can be found in Fig. 8A. All regression approaches produced improvements on the pre-processing scenario where only core image processing was performed, with the Time Despike + 13-parameter
regression and the 28-parameter model performing better than the other regression-only models, but the best results were obtained by the Wavelet Despike + 13-parameter regression model (see Fig. 8A). Example DVARS and SP traces for a high-motion cohort 1 subject produced by the different regression approaches can be found in Fig. 8B. By definition, the SP for the Wavelet Despike is zero across all frames. Next, given our previous observation that areas of the brain correlated with movement correspond to areas of high signal standard deviation (Fig. 5), we plotted the mean whole-brain variance against the mean FD ($\bar{FD}$) and the mean SP ($\bar{SP}$) for all subjects in cohort 1. As expected, a significant positive trend (quantified by a linear regression coefficient and visualized by a scatterplot) was observed if subjects had only been processed through the core image processing module of our pipeline. This trend was reduced significantly, and to a similar degree, by all regression approaches, and the Time Despike ($p < 0.05$, t-test). However, the Wavelet Despike method almost completely eliminated this positive trend, by further reducing the association between head movement and variance of the processed time series, compared to all other regression-based approaches ($p < 0.05$, t-test; see Fig. 8C). This result strongly suggests that the Wavelet Despike + regression approach is
**Fig. 7.** Scrubbing methods do not always correctly identify spike-containing frames. (A) Framewise Displacement, DVARS and Spike Percentage vectors for a single subject in cohort 1 (see the Framewise Displacement, DVARS and Spike Percentage section of the Methods for information on how these vectors were computed). This demonstrates that frames containing spikes in small areas of the brain (identified by the Spike Percentage, shaded in gray) may not always be picked up by the global measures of Framewise Displacement and DVARS. The Spike Percentage was calculated after core image processing, and DVARS after 13-parameter regression and high-pass filtering at 0.009 Hz (as in Power et al., 2012). The low-pass filter was omitted here, to prevent bias from temporal smoothing. (B) The relationship between Spike Percentage and both Framewise Displacement and DVARS, across all subjects in cohort 1. Lines represent the linear best fit when the two vectors presented in the x and y axes were plotted against each other. Lines were extrapolated for some subjects in order to allow better visual comparison between subjects. While there is good correspondence for some subjects, this is not always the case, as highlighted by the group average correlation ($\bar{r}_{group}$). (C) Left panel shows the percentage of spike-containing frames captured by the different scrubbing criteria described in previous papers, across all subjects in cohort 1. Spike-containing frames were defined as any frame with a Spike Percentage > 0.25%. This corresponded to, on average, 125 voxels, which was the maximum size of any region defined by our 230 region parcellation. Outlier points marked by crosses are subjects with values $> q_3 + 1.5(q_3 - q_1)$ or $< q_1 - 1.5(q_3 - q_1)$, where $q_n$ refers to the relevant quartile. Right panel shows the percentage of data left across all subjects in cohort 1 for the top three box plots in the left panel, compared to the percentage of spike-containing frames successfully identified.
quantifiably superior to alternative regression methods in ameliorating the effects of head movements on fMRI time series variance.
**Effects of despiking on distance-dependent connectivity bias**
Next, we assessed the efficacy of the despiking algorithms at removing distance-dependent connectivity artifacts, using two previously published measures: the ΔR plot (Power et al., 2012), and the motion-correlation plot (Satterthwaite et al., 2013). A description of the methods used to create these plots can be found in the *Distance-dependent movement artifact diagnostics* section of the Methods. Subject data from all three cohorts was fully pre-processed with despiking, and band-pass filtering (see Fig. 1). In the absence of despiking, cohorts 1 and 2 showed marked distance-dependent connectivity bias, however, the addition of despiking prior to regression produced complete removal of this bias from these cohorts as described by the ΔR plot (Inline Supplementary Fig. S5); and complete removal of distance-dependent artifacts from cohort 2, with near complete removal from cohort 1, as described by the motion-correlation plot (see Inline Supplementary Fig. S6). In the absence of despiking, cohort 3 (healthy subjects) did not show any distance-dependent connectivity artifacts, as measured by the ΔR and motion-correlation plots, and the inclusion of despiking prior to regression did not impact this, suggesting that despiking may not be necessary in lower-motion cohorts.
Inline Supplementary Figs. S5 and S6 can be found online at http://dx.doi.org/10.1016/j.neuroimage.2014.03.012.
For all motion-correlation plots, there appeared to be a positive overall mean correlation with movement when correlations were averaged over distances. To demonstrate that this could occur by chance, given that correlations with movement were being estimated over a small number of time points, for each plot we performed 1000 random permutations of the estimated movement metric (see the *Distance-dependent movement artifact diagnostics* section of the Methods) across subjects, each permutation producing a motion-correlation plot itself, and computed the distribution of mean correlations that could occur by chance to create a null distribution (Inline Supplementary
For all cohorts, the mean correlation with movement observed in the true motion-correlation plots was not significantly different from $\mu = 0$ at $p = 0.05$ (two-tailed $t$-test) where the Wavelet Despike was used. This was not true for the Time Despike, where the mean correlation with movement for cohort 3 ($\mu = 0.15$) was significantly different from the null distribution at $p = 0.05$. This suggested that the inclusion of Time Despiking prior to regression in low-motion cohorts, such as cohort 3, may cause over-fitting during regression (see Inline Supplementary Fig. S6, and the Discussion section), likely due to the spike-identification method used by this algorithm. This was not so evident for the Wavelet Despike, suggesting that it is relatively safe to include Wavelet Despiking prior to regression in lower-motion cohorts, as algorithm is much more effective at identifying where and when despiking should be conducted.
**Variance removed by Wavelet Despiking and impact on resting-state networks**
Finally, we assessed the amount of signal variance retained in each gray matter time series (gray matter voxels identified by the Eickhoff–Zilles macrolabels atlas in Talairach space) after Wavelet Despiking compared to traditional 13-parameter regression, and the effects of this denoising on resting-state networks. All other pre-processing steps between the two methods were kept constant, including the exclusion of frequency filtering in the final step. On average across cohort 1, pre-processing with traditional regression methods retained 39% of signal variance, whereas pre-processing with Wavelet Despiking + regression retained 35%. A scatter plot of the amount of variance left after pre-processing for all gray matter time series across all cohort 1 subjects can be found in Fig. 9A. Notably, Wavelet Despiking + regression conserved more variance in 31% of voxels than traditional regression alone. The similar amount of variance removed by both methods (Fig. 9B) suggests that Wavelet Despiking is likely better at focused elimination of variance components often related to spiky, high frequency head movements, in light of the results presented above.
For subsequent group seed-based correlation analysis, we located seeds in three brain regions: the right primary visual cortex, right primary motor cortex, and right posterior cingulate cortex (Fig. 10). The resulting pair-wise correlations with all other voxels in the maps were consistently thresholded at a p-value equivalent to $FDR \ q < 1 \times 10^{-6}$. We compared pre-processing with traditional regression only to pre-processing with Wavelet Despiking + regression, without low-pass filtering in the final step, in order to avoid removal of network components in higher frequencies. All other pre-processing steps were kept consistent between the two methods being compared. The two sets of maps generated were broadly similar, indicating that the Wavelet Despike method does not remove too much of the real signal. Moreover, the motor cortical connectivity map obtained following the Wavelet Despike pre-processing included anatomically predictable regions of the contralateral cerebellum and ipsilateral thalamus that were not demonstrated in the connectivity maps obtained following regression only (Fig. 10, indicated by arrows). As noted above, it is often difficult to assess the relative validity of different methods for functional connectivity analysis in the absence of a gold standard or ground truth; however, these results are consistent with the view that Wavelet Despiking does not attenuate, and may indeed enhance, demonstration of functional connectivity between anatomically connected brain regions.
**Discussion**
Small amplitude, spike-like, head movements can have damaging effects on fMRI signals, which may manifest in complex spatial and temporal patterns. Here we describe a new data-driven, spatially-adaptive, unsupervised method, for denoising motion artifacts using wavelets. We demonstrate that this new method, the Wavelet Despike, outperforms previously published methods, using a range of previously published and new diagnostic measures, and importantly, requires inclusion of only one additional step in standard pre-processing pipelines.
**Removing heterogeneous motion artifacts from time series**
Abrupt head movement within a scanner introduces spikes into fMRI time series. The majority of these deflect negatively (negative spikes) due to signal intensity drops from disruption in the tissue's
 Percentage of temporal variance removed by pre-processing. This figure highlights the amount of variance remaining after pre-processing with traditional regression, compared to Wavelet Despike + regression, for cohort 1. No low-pass filtering was conducted to enable comparison with all other analyses shown in the main figures. (A) A scatter plot representing the percentage of variance remaining after pre-processing, for each gray matter voxel in each cohort 1 subject, after conventional 13-parameter regression only, compared to Wavelet Despiking + regression. In 31% of voxels (green points), Wavelet Despiking + regression conserved more variance than conventional regression alone. (B) Box plots of the variance left after pre-processing (shown in A) across the gray matter of cohort 1 subjects. The mean for conventional regression only denoising (gray) is 39%, and for Wavelet Despike + regression (green) is 35%. Outlier points marked by crosses are values $>q_3 + 1.5(q_3 - q_1)$ or $<q_1 - 1.5(q_3 - q_1)$, where $q_n$ refers to the relevant quartile.
steady-state magnetization, and subsequent spin misalignment. Given that movement may occur in 6 non-mutually-exclusive planes, the manifestation of these movement effects in time series can be complex. This is further complicated by a number of factors, including, but not limited to, the fact that these artifacts can take a number of frames to recover (spin-history artifacts), and the fact that subject movement is estimated from the brain realignment parameters, which have a time resolution of the TR, and therefore do not characterize any head movement that has occurred between frames. Combined, this can make motion artifacts difficult to identify, quantify and remove effectively. Frequency filtering without adequate removal of these spikes can result in aliasing of these events to other frequencies: the basis for the distance-dependent connectivity bias, originally described by Power et al. (2012), Satterthwaite et al. (2012), and Van Dijk et al. (2012).
Given that the effects of movement on time series can be so variable, even within an individual run (Fig. 3, Inline Supplementary Fig. S4), we take a data-driven approach to correcting motion artifacts, with our new algorithm, the Wavelet Despike. Such wavelet approaches for removing non-stationary events from time series have been used in other fields for decades, and are strongly grounded in Mathematics. The Wavelet Despiking algorithm does not assume any *a priori* model between movement and its effects on time series, and is therefore not limited by the temporal resolution of movement parameter information. Furthermore, as described above, artifacts from abrupt movements can induce both fast and slow artifacts. The Wavelet Despike offers a key advantage in this regard, by virtue of the fact that it is able to characterize non-stationary event coefficients in multiple scales (or frequency bands), and can therefore deal with both high frequency, and slower artifacts associated with movement, as we demonstrate in a range of high- and low-motion subjects (Fig. 3, Inline Supplementary Fig. S4). For example, a spin-history type artifact containing both a fast and slow motion artifact component (Fig. 3, column 2; Inline Supplementary Fig. S4, column 1) will be seen by the algorithm as a maxima or minima chain spanning multiple scales, including lower frequency bands. Only coefficients recognized as part of these chains are removed, and thus, information from the highest scales (lowest frequency bands), which have better signal to noise ratios, is often retained. The Wavelet Despike, therefore, does not simply interpolate values for spikes, but rather, removes artifact events in the wavelet domain, only in the frequencies in which they occur, while retaining information from any unaffected frequencies at the time of the non-stationary event. This is in contrast to the Time Despike, and other sinusoidal curve fitting or *tanh* functions (such as AFNI’s 3dDespike) for despiking time series, which will only be effective at isolating high frequency events, and will interpolate spikes with a value calculated form the surrounding time points or from a fitted curve. Additionally, these interpolating algorithms may not always correctly identify movement artifacts; for example the Time Despike samples the local median from a fixed window and will therefore be caught out by prolonged plateaus, wide spikes, or step-like motion artifacts (Fig. 3, Inline Supplementary Fig. S4).
**Accounting for inter-subject and spatial variability of motion artifacts**
One drawback of applying a fixed model to all subjects, is that motion artifacts are not only spatially variable within a scan, but also considerably variable between subjects; while some subjects may contain motion artifacts correlated across the whole brain, others contain only local motion artifacts (Fig. 4). This is due to the type of movement exhibited, for example, rotational movements are likely to have the greatest impact on parts of the brain furthest from the center of mass or pivot point, leaving anterior parts of the brain vulnerable to artifacts (Satterthwaite et al., 2013; Wilke, 2012). Thus, approaches that involve creating a ‘motion fingerprint’ for each subject and using this as a basis for removing motion artifacts on a subject-by-subject basis (Wilke, 2012), or modeling motion parameters separately for each voxel (Satterthwaite et al., 2013; Wilke, 2012; Yan et al., 2013), have considerable merit. However, the observation by Satterthwaite et al. (2013) and Yan et al. (2013), that modeling and regressing motion parameters at a voxel level do not provide a benefit over the more commonly used approach of regressing one set of parameters from all voxels, reflects the difficulty of accurately modeling the effects of motion on time series at a voxel level. If the voxel-wise motion parameter model does not provide
a good fit for the spatially variable artifacts present, then the artifacts will not be removed. Such artifacts might originate from spin-history effects, or from movement in between frames. Given that there is currently no gold standard for modeling the spatially variable effects of movement on fMRI time series from movement parameter information, we advocate the use of data-driven voxel-wise methods, such as the Wavelet Despike we describe here, which, as mentioned above, does not rely on any prior assumptions about movement and its effects on time series.
**Motion effects on signal variance**
Regional differences in signal variance may originate from a variety of sources, including thermal noise, physiological sources created by the cardiac and respiratory cycles, low frequency scanner drift, and as we demonstrate here, may be strongly related to subject movement (Bianciardi et al., 2009; Chang and Glover, 2009). Increases in signal variance by movement may be due to abrupt spikes, some of which may be controllable by regression-only approaches, or more prolonged effects, such as spin-history artifacts (Wilke, 2012). While it is unclear whether the Wavelet Despike is able to remove unwanted signal variance from physiological and very low frequency scanner/head position drift noise (the latter of which is less damaging to fMRI data, and much easier to correct by conventional approaches), we demonstrate that it is able to robustly remove variance explained by both high and low frequency artifacts caused by abrupt subject movement (Figs. 3, 5, 6, 8C and Inline Supplementary Fig. S4); and does so at a relatively low cost, in terms of degrees of freedom, and temporal variance lost (Fig. 9). By applying despiking locally in time, space and frequency bands, the Wavelet Despike algorithm is set apart from other commonly used regression or despiking approaches, such as the Time Despike, which despikes on average a similar number of time points from the cohorts we analyzed (1.5% by the Wavelet Despike, compared to 1.3% by the Time Despike; see Table 1), but is less effective than the wavelet method at removing motion-related signal variance because it is less effective at tuning despiking to brain areas particularly affected by subject movement (Figs. 5 and 6).
Motion-related spikes in time series contributing to increased signal variance should mostly be negative due to drops in signal intensity from spin misalignment. However, smaller positive spikes are sometimes present that may have BOLD origins relayed from the motor cortex (Yan et al., 2013), much like a task activation (where the positive spike directly precedes the negative spike), or be related to movement between regions of different magnetic susceptibilities. These sometimes occur with large movements. However, positive spikes may also be introduced as a result of denoising methods. Any regression strategy risks removal of BOLD-related signal variance that occurs synchronously with subject movement (Johnstone et al., 2006), but there is a risk, when combining despiking with regression in low-motion cohorts (in which additional consideration for motion may not have been necessary), that over-fitting may occur following regression. In the worst case, this could re-introduce spikes (that were removed by despiking) back into the time series. Although this was not formally examined here, we found that over-fitting was much more of a problem for the Time Despike, and higher-order, 28-parameter regression model (Satterthwaite et al., 2013), and not so apparent for the Wavelet Despike; this may be one reason why Time Despiking prior to regression in cohort 3 resulted in a significant positive overall correlation between connectivity and movement (compared to the permutation test null model; Inline Supplementary Fig. S6, p < 0.05).
One potential concern with using unsupervised methods on resting-state data in general, where the ground truth is unknown, is that too much real signal may be removed during the course of denoising. This is an important consideration for the design of any pre-processing strategy. The Wavelet Despike method was designed with the primary aim of neutralizing artifacts caused by abrupt movements, both high and low frequency components; and we demonstrate for cohort 1 that this does not necessitate the removal of excessive amounts of signal variance (Fig. 9), nor components of resting-state networks (Fig. 10). In fact, we find that Wavelet Despiking yields functional connectivity maps that are consistent with prior expectations based on anatomical pathways, especially for motor cortical connectivity (Fig. 10), where Wavelet Despiking may, in fact, enhance expected patterns of functional connectivity between anatomically connected brain regions.
**Evaluation of alternate methods for dealing with subject motion**
Many of the most recent methods advocated for correcting movement artifacts have focused on scrubbing (Power et al., 2012, 2013), and combining different censoring operations with higher-order motion parameter regression models (Satterthwaite et al., 2013; Yan et al., 2013). As described above, and as demonstrated in Fig. 8, regression models based on movement parameters may be able to remove linear, and some non-linear, effects of movement on time series, but will not be able to account for all types of motion artifacts. This is in contrast to the data-driven Wavelet Despike method, which is able to identify artifacts in time series that are both linearly and non-linearly related to subject movement. In addition, given that in many high-movement subjects, nearly all frames of data are affected by movement to some degree (the timecourse of movement parameters is almost never completely flat), there are likely to be non-stationary events in at least some areas of the brain, in most frames (as we demonstrate with the Spike Percentage, Fig. 7A). Scrubbing identifies and censors those frames that contain large numbers of spikes, and therefore, cannot completely remove motion artifacts from all frames without harsh truncation of most, if not all, time points. In addition, given that there is often considerable within-cohort variability in subject motion, the amount of scrubbing could vary greatly from subject to subject. There are also other potential disadvantages of scrubbing. First, truncation disrupts the temporal structure of time series, and therefore certain types of analyses cannot be conducted (Yan et al., 2013). While methods such as spike regression (Satterthwaite et al., 2013), which involves scrubbing within regression, do not physically truncate time series, data at flagged time points are still lost, and given that motion-affected time points are identified using global criteria, many spike-containing frames (where the spike burden is less severe) may be missed (Fig. 7C, left panel). Secondly, the scrubbing and temporal concatenation of frames can result in the introduction of discontinuity artifacts. Subsequent Fourier filtering will result in aliasing of these discontinuities to other frequencies and will result in addition of new low frequency artifacts, which may spread bi-directionally to tens of frames either side (Carp, 2012); one reason why interpolation of scrubbed frames prior to frequency filtering was proposed (Carp, 2012). However, if the difference in signal intensity between concatenated time points is large enough (for example, if a large spin-history artifact has been incurred), such discontinuity artifacts cannot be avoided, even by interpolation; and where multiple consecutive frames have been scrubbed, the interpolation of a single value will still result in time series truncation. Thirdly, given that the effects of movement may persist for many frames after the actual movement has occurred, effective scrubbing strategies would require the exclusion of multiple frames of data after any events identified, which could result in the loss of substantial amounts of data. By contrast, the Wavelet Despike is able to neutralize potential biases from prolonged effects of movement by identifying and removing these artifacts in lower frequencies, without removing any frames of data.
Finally, we highlight the importance of appropriately ordered preprocessing operations for effective motion artifact removal. The commonly used method of band-pass filtering time series prior to confound regression (Power et al., 2012; Van Dijk et al., 2012) where the regressors have not been filtered with the same frequency bands beforehand, results in re-introduction of high-frequency noise back into time series (Weissenbacher et al., 2009). This noise will include motion-related
spikes, and can thus result in exacerbations of distance-dependent connectivity artifacts (Inline Supplementary Fig. S7).
Inline Supplementary Fig. S7 can be found online at http://dx.doi.org/10.1016/j.neuroimage.2014.03.012.
Limitations and areas of further study
One potential drawback of despiking time series independently at a voxel level is in the estimation of degrees of freedom. If more points are despiked in some time series than others, this makes estimating the total number of degrees of freedom for that subject difficult. A simple approach would be to base the degrees of freedom for that subject on the most heavily despiked voxel, however, this would perhaps result in unfair penalization. We note, that in general, the estimation of degrees of freedom is difficult, owing to the long-memory, or slowly-decaying, autocorrelational properties of fMRI time series (Achard et al., 2008; Bullmore et al., 1996), and thus, the accurate estimation of degrees of freedom is often non-trivial, even in datasets that have not been despiked. The Wavelet Despike method may also require further exploration in group analysis to test for type I error control (Bullmore et al., 1999b); and further analysis at a time series level to assess the extent to which wavelet boundary conditions affect detection of non-stationary events at the start and end of time series. In addition, given recent debate on global signal regression and its impact on motion artifacts, further study on the extent to which global signal regression is de-necessitated by Wavelet Despiking may be useful.
While this paper focuses on resting-state data, we note that Wavelet Despiking may also be useful for removing motion artifacts from task data, such as stimulus-correlated motion; though a thorough analysis of this warrants additional study. Finally, we acknowledge that motion artifact control may also benefit from alternate acquisition approaches, which have not been explicitly discussed here, such as high-speed imaging (Setsonopm et al., 2012), 3D imaging, multi-band imaging, multi-echo imaging (Poser et al., 2006), and combinations of these sequences with other pre-processing methods (Bright and Murphy, 2013; Kundu et al., 2012). Of note, a direct comparison between multi-echo and single-echo acquisitions with regard to motion artifact removal will be an important area of future study.
Conclusion
In summary, we demonstrate that Wavelet Despiking provides an effective, data-driven, and spatially-adaptive method for identifying, modeling, and removing motion artifacts from resting-state fMRI time series, in an unsupervised manner. We show generalizability of this method to multiple cohorts affected by motion, and demonstrate robust removal of a variety of motion artifacts, ranging from large frame-to-frame fluctuations in percent signal change, to motion-related effects on signal variance, spatially variable correlations with movement, global correlations between connectivity and motion, and distance-dependent connectivity biases.
Software
This article is accompanied by the BrainWavelet Toolbox (BWT), which includes all code needed for implementing Wavelet Despiking on fMRI data. The toolbox is freely available for download from www.brainwavelet.org, and can be implemented as a slot-in module to existing pre-processing pipelines. In addition, this software is also available as part of the fMRI Signal Processing Toolbox (SPT), which contains our pre-processing pipeline and motion diagnostic tools, also freely available for download from www.brainwavelet.org. We hope that the fMRI community will benefit from these tools and will in turn be able to contribute to them.
Acknowledgments
This work was supported by the Wellcome Trust Translational Medicine and Therapeutics Programme (085686/Z/08/C, award to AXP) and the University of Cambridge MB/PhD Programme (AXP). PK was supported by the NIH-Cambridge PhD Programme. The data for cohorts 2 and 3, KDE, and PSJ were supported by the UK Medical Research Council (G0701497). MR was supported by the NARSAD Young Investigator (19490) and Isaac Newton Trust (13.07q) grants. The Behavioral and Clinical Neuroscience Institute is funded by a Core Award from the Medical Research Council (G1000183) and the Wellcome Trust (093875/Z/10/Z). We also thank Jonathan Power, Sophie Achard and Ted Satterthwaite for their helpful correspondence, and Ted Satterthwaite for his code implementing spike regression.
References
Achard, S., Bassett, D.S., Meyer-Lindenberg, A., Bullmore, E.T., 2008. Fractal connectivity of long-memory networks. Phys. Rev. E Stat. Nonlinear Soft Matter Phys. 77 (3 Pt 2), 036104.
Beckmann, C.F., Smith, S.M., 2005. Tensorial extensions of independent component analysis for multibject fMRI analysis. NeuroImage 25 (1), 294–311.
Bianciardi, M., Fukunaga, M., Gelderen, P.V., Horovitz, S.G., De, J.A., Shmueli, K., Duyn, J.H., 2009. Sources of fMRI signal fluctuations in the human brain at rest: a 7 T study. Magn. Reson. Imaging 27 (8), 1019–1029.
Biswal, B., Yetkin, F.Z., Haughton, V.M., Hyde, J.S., 1995. Functional connectivity in the motor cortex of resting human brain using echo-planar MRI. Magn. Reson. Med. 34 (4), 537–541.
Bright, M.C., Murphy, K., 2013. Removing motion and physiological artifacts from intrinsic BOLD fluctuations using short echo data. NeuroImage 64, 526–537.
Bullmore, E.T., Brammer, M.J., Williams, S.C., Rabe-Hesketh, S., Janot, N., David, A., Mellers, J., Howard, R., Sham, P., 1996. Statistical methods of estimation and inference for functional MR image analysis. Magn. Reson. Med. 35 (2), 261–277.
Bullmore, E.T., Brammer, M.J., Rabe-Hesketh, S., Curtis, V.A., Morris, R.G., Williams, S.C., Sharma, T., McGuire, P., 1999a. Methods for diagnosis and treatment of stimulus-correlated motion in generic brain activation studies using fMRI. Hum. Brain Mapp. 7 (1), 38–48.
Bullmore, E.T., Suckling, J., Overmeyer, S., Rabe-Hesketh, S., Taylor, E., Brammer, M.J., 1999b. Global, voxel, and cluster tests, by theory and permutation, for a difference between two groups of structural MR images of the brain. IEEE Trans. Med. Imaging 18 (1), 32–42.
Carp, J., 2012. Optimizing the order of operations for movement scrubbing: comment on Power et al. NeuroImage 76, 436–438.
Chang, C., Glover, G.H., 2009. Relationship between respiration, end-tidal CO₂, and BOLD signals in resting-state fMRI. NeuroImage 47 (4), 1381–1393.
Daubechies, I., 1992. Ten Lectures on Wavelets. SIAM, Philadelphia (PA).
Friston, K.J., Williams, S., Howard, R., Frackowiak, R.S., Turner, R., 1996. Movement-related effects in fMRI and PET studies. Magn. Reson. Med. 35 (3), 346–355.
Hajnal, J.V., Hill, D.L., Oatridge, A., Schweser, J.E., Young, I.R., Bydder, G.M., 1994. Artifacts due to stimulus correlated motion in functional imaging of the brain. Magn. Reson. Med. 31 (3), 283–291.
Jo, H.J., Gotts, S.J., Reynolds, R.C., Bandettini, P.A., Martin, A., Cox, R.W., Saad, Z.S., 2013. Effective preprocessing procedures virtually eliminate distance-dependent motion artifacts in resting state fMRI. J. Appl. Math. 2013, 1–9.
Johnstone, T., Ores Walsh, K.S., Greischar, LL, Alexander, A.L., Fox, A.S., Davidson, R.J., Oakes, T.R., 2006. Motion correction and the use of motion covariates in multiple-subject fMRI analysis. Hum. Brain Mapp. 27 (10), 779–788.
Kundu, P., Inati, S.J., Evans, J.W., Luh, W.-M., Bandettini, P.A., 2012. Differentiating BOLD and non-BOLD signals in fMRI time series using multi-echo EPI. NeuroImage 60 (3), 1759–1770.
Mallat, S., 1998. A Wavelet Tour of Signal Processing. Academic Press, San Diego (CA).
Mowinckel, AM., Espeseth, T., Westlie, LT., 2012. Network-specific effects of age and in-scanner subject motion: a resting-state fMRI study of 238 healthy adults. NeuroImage 63 (3), 1364–1373.
Percival, D.B., Walden, A.T., 2006. Wavelet Methods for Time Series Analysis (Cambridge Series in Statistical and Probabilistic Mathematics). Cambridge University Press, New York (NY).
Poser, B.A., Versluis, M.J., Hoogduin, J.M., Norris, D.G., 2008. BOLD contrast sensitivity enhancement and artifact reduction with multiecho EPI: parallel-acquired nulled-homogeneity-desensitized fMRI. Magn. Reson. Med. 55 (6), 1227–1235.
Power, J.D., Barnes, K.A., Snyder, A.Z., Schlaggar, B.L., Petersen, S.E., 2012. Spurious but systematic correlations in functional connectivity MRI networks arise from subject motion. NeuroImage 59 (3), 2142–2154.
Power, J.D., Barnes, K.A., Snyder, A.Z., Schlaggar, B.L., Petersen, S.E., 2013. Steps toward optimizing motion artifact removal in functional connectivity MRI; a reply to Carp. NeuroImage 76, 439–441.
Satterthwaite, T.D., Wolf, D.H., Loughead, J., Ruparel, K., Elliott, M.A., Hakonarson, H., Gur, RC., Gur, RE., 2012. Impact of in-scanner head motion on multiple measures of functional connectivity: relevance for studies of neurodevelopment in youth. NeuroImage 60 (1), 623–632.
Satterthwaite, T.D., Elliott, M.A., Gerraty, R.T., Ruparel, K., Loughead, J., Calkins, M.E., Eickhoff, S.B., Hakonarson, H., Gur, R.C., Gur, R.E., Wolf, D.H., 2013. An improved framework for confound regression and filtering for control of motion artifact in the preprocessing of resting-state functional connectivity data. NeuroImage 64, 240–256.
Setsompop, K., Gagoski, B.A., Polimeni, J.R., Witzel, T., Wedeen, V.J., Wald, L.L., 2012. Blipper: controlled aliasing in parallel imaging for simultaneous multislice echo planar imaging with reduced g-factor penalty. Magn. Reson. Med. 67 (5), 1210–1224.
Smyser, C.D., Inder, T.E., Shimony, J.S., Hill, J.E., Degnan, A.J., Snyder, A.Z., Neil, J.J., 2010. Longitudinal analysis of neural network development in preterm infants. Cereb. Cortex 20 (12), 2852–2862.
Tyszka, J.M., Kennedy, D.P., Paul, L.K., Adolphs, R., 2013. Largely typical patterns of resting-state functional connectivity in high-functioning adults with autism. Cereb. Cortex. http://dx.doi.org/10.1093/cercor/bht040.
Van Dijk, K.R., Sabuncu, M.R., Buckner, R.L., 2012. The influence of head motion on intrinsic functional connectivity MRI. NeuroImage 59 (1), 431–438.
Weissenbacher, A., Kasess, C., Gerstl, F., Lanzenberger, R., Moser, E., Windischberger, C., 2009. Correlations and anticorrelations in resting-state functional connectivity MRI: a quantitative comparison of preprocessing strategies. NeuroImage 47 (4), 1408–1416.
Wilke, M., 2012. An alternative approach towards assessing and accounting for individual motion in fMRI timeseries. NeuroImage 59 (3), 2062–2072.
Yan, C.-G., Cheung, B., Kelly, C., Colcombe, S., Craddock, R.C., Di, A., Li, Q., Zuo, X.-n., Castellanos, F.X., Milham, M.P., 2013. A comprehensive assessment of regional variation in the impact of head micromovements on functional connectomics. NeuroImage 76, 183–201.
Zalesky, A., Fornito, A., Harding, L.H., Cocchi, L., Yücel, M., Pantelis, C., Bullmore, E.T., 2010. Whole-brain anatomical networks: does the choice of nodes matter? NeuroImage 50 (3), 970–983.
|
Comparison of the CatBoost Classifier with other Machine Learning Methods
Abdullahi A. Ibrahim\textsuperscript{1}, Raheem L. Ridwan\textsuperscript{2}, Muhammed M. Muhammed\textsuperscript{3}, Rabiat O. Abdulaziz\textsuperscript{4}, Ganiyu A. Saheed\textsuperscript{5}
Department of Mathematical Sciences, Baze University, Abuja, Nigeria\textsuperscript{1, 3}
African Institute for Mathematical Sciences, Accra, Ghana\textsuperscript{2}
Department of Energy Engineering, PAUWES, University of Tlemcen, Algeria\textsuperscript{4}
Institute of Mathematics, University of Silesia, Katowice, Poland\textsuperscript{5}
Abstract—Machine learning and data-driven techniques have become very famous and significant in several areas in recent times. In this paper, we discuss the performances of some machine learning methods with the case of the catBoost classifier algorithm on both loan approval and staff promotion. We compared the algorithm’s performance with other classifiers. After some feature engineering on both data, the CatBoost algorithm outperforms other classifiers implemented in this paper. In analysis one, features such as loan amount, loan type, applicant income, and loan purpose are major factors to predict mortgage loan approvals. In the second analysis, features such as division, foreign schooled, geopolitical zones, qualification, and working years had a high impact on staff promotion. Hence, based on the performance of the CatBoost in both analyses, we recommend this algorithm for better prediction of loan approvals and staff promotion.
Keywords—Machine learning algorithms; data science; CatBoost; loan approvals; staff promotion
I. INTRODUCTION
Machine learning and data-driven techniques have become very significant and famous in several areas. Some of the machine learning algorithms used in practice include; support vector machine, logistic regression, CatBoost, random forest, decision tree, AdaBoost, extreme gradient boosting, gradient boosting, naive Bayes, K-nearest neighbor, and many more. In supervised machine learning, classifiers have been widely used in areas such as fraud detection, spam email, loan prediction, and so on. In this work, we shall look into the applications of some machine learning methods in areas of loan prediction and staff promotion.
The issuance of loans is one of the many profit sources of financial institutions. However, the problems of default by applicants have been of major concern to credit providing institutions [1]. Studies conducted in the past were mostly empirical and as such the problems of default have not been definitively dealt with. The furtherance of time to the 21\textsuperscript{st} century was accompanied by bulks of archived data collected from years of loan applications. Statistical techniques have been developed to study past data to develop models that can predict the possibility of defaults by loan applicants; thus, providing a score of creditworthiness. The availability of voluminous data called Big data necessitated the introduction of machine learning tools that can be used to discriminate loan applicants based on creditworthiness. This study considered some of these machine learning techniques to classify loan applicants based on available data to assess the probability of default and also recommend the technique that yields the best performance.
Since the advent of machine learning, several pieces of research has been conducted to discriminate against a loan applicants. In Goyal and Kaur [2], the authors developed an ensemble model by aggregating together Support Vector Machine (SVM), Random Forest (RF), and Tree Model for Genetic Algorithm (TMGA). The ensembled model was compared with each of these models individually and eight other machine learning techniques namely Linear Model (LM), Neural Network (NN), Decision Trees (DT), Bagged CART, Model Trees, Extreme Learning Machine (ELM), Multivariate Adaptive Regression Spline (MARS) and Bayesian Generalized Linear Model (BGLM) and was concluded from the analysis that the ensembled algorithm provided an optimum result. Alomari and Fingerman [3] tried to discriminate against loan applicants by comparing six machine learning techniques. The study compared DT, RF, K-Nearest Neighbour (KNN), OneR (1R), Naïve Bayes (NB), and Artificial Neural Networks (ANN) in which Random Forest gave the best performance with an accuracy of 71.75%. In Ibrahim and Rabiat [1], four classifiers were used to prediction in titanic analysis and XGBoost achieved the highest accuracy. Also, Uлага \textit{et al.} [4] conducted exploratory research where the suitability of RF was tested in classifying loan applicants and accuracy of 81.1\% was achieved. In related research by Li [5], RF, BLR, and SVM were used to predict loan approvals and RF outperformed the other techniques with an accuracy of 88.63\%. Xia \textit{et al.} [6] predicted approvals for a peer-to-peer lending system by comparing Logistic Regression (LR), Random Tree (RT), Bayesian Neural Network (BNN), RF, Gradient Boosted Decision Trees (GBDT), XGBoost, and CatBoost and the results indicated that CatBoost gave the best performance over the other classifiers. The review of past literature showed tremendous developments in the applications of machine learning classifiers and how ensembled classifiers outperform single classifiers. However, only a few pieces of research considered CatBoost classifier in loan prediction approvals; hence, this research seeks to compare eight machine learning methods namely Binary Logistic Regression, Random Forest, Ada Boost, Decision Trees, Neural Network, Gradient Boost, Extreme Gradient Boosting, and CatBoost algorithms in the prediction of loan approvals.
The application of machine learning in employee promotion is another area we shall look into. Employees/staff play a
significant role in the development of an enterprise. Employee promotion in an enterprise is a major concern to both the employer and employee. In human resource management, staff promotion is very vital for organizations to attract, employ, retain, and effectively utilize their employee’s talents [7]. Promotion of staff in an organization is based on some factors among which are age [8], gender [9], education [10], previous experience [11] and communication strategy or pattern [12]. In Long et. al [7], the authors applied some machine learning algorithms on Chinese data to predict employee promotion. It was discovered that, among all the available features in their dataset, the number of the different positions occupied, the highest departmental level attained and the number of working years affect staff promotion. In Sarkar et. al [13], joint data clustering, and decision trees were used to evaluate staff promotion. Saranya et. al [14] researched why the best and performing employees quit prematurely and predicted performing and valuable employees likely to quit prematurely. The proposed algorithm was recommended to the human resource department to determine valuable employees likely to quit prematurely. Previous works showed tremendous developments in the applications of machine learning but only few researchers have considered the CatBoost classifier in staff promotion. This research seeks to compare four machine learning methods namely Random Forest, Gradient Boost, Extreme Gradient Boosting, and CatBoost algorithms in the prediction of staff promotion.
Some of these literature only discussed the applications without emphases on the mathematics behind this algorithm. This paper will differ from others by highlighting the mathematics of the algorithm, the process of data cleaning, applying the supervised learning algorithms and evaluating these algorithms. This paper aim to develop a predictive machine learning model from supervised machine learning in areas of loan prediction and staff promotion. To achieve this aim, we shall set some objectives which will also be our contribution:
- Perform data science process such as exploratory analysis, perform data cleaning, balancing, and transformation
- Develop a predictive model from machine learning methods
- Apply some model evaluation metrics to determine the performance of the implemented models.
The rest of the paper is structured as follows: some machine learning algorithms are given in Section II while designs and nomenclatures are presented in Section III. Section IV presents the analytical results and Section V concludes the paper.
II. MATERIALS AND ALGORITHMS
The following algorithms; Binary logistic regression, Random forest, Adaptive Boosting, Decision trees, Neural networks, gradient boost, XGBoost and Catboost, shall be discussed in this section.
A. Binary Logistic Regression
Consider a dataset with response variable (Y) classified into two categories, \( Y = \{ 'promoted', 'notpromoted' \} \). Logistic regression models the probability of Y belongs to a specific category. With approach (1) below to predict this probability:
\[
p(X) = \beta_0 + \beta_1 X_1 + \beta_2 X_2 + \cdots + \beta_n X_n
\]
(1)
The conditions \( p(X) < 0 \) and \( p(X) > 0 \) can be predicted for values of \( X \), except for range of \( X \) is limited. To keep away from this, \( p(X) \) must be modelled with the help of a logistic function that generates between 0 and 1 values as output. The function is defined as in (2)
\[
p(X) = \frac{e^{\beta_0 + \beta_1 X_1 + \beta_2 X_2 + \cdots + \beta_n X_n}}{1 + e^{\beta_0 + \beta_1 X_1 + \beta_2 X_2 + \cdots + \beta_n X_n}}
\]
(2)
The ‘maximum likelihood’ method is used to fit (2). The unknown coefficients \( \beta_0, \beta_1, \beta_2, \ldots, \beta_n \) in (2) should be approximated based on the data available for training the model. The intuition of likelihood function can be expressed mathematically as in (3):
\[
\ell(\beta_0, \ldots, \beta_n) = \prod_{i : y_i = 1} p(x_i) \prod_{i' : y_i' = 0} (1 - p(x_i'))
\]
(3)
The estimates \( \beta_0, \ldots, \beta_n \) are selected to maximize this function [1]. More explanation can be obtained in [15].
Basic Assumptions of Binary Logistic Regression
(i) The response variable must be binary.
(ii) The relationship between the response feature and the independent features does not assume a linear relationship.
(iii) Large sample size is usually required.
(iv) There must be little or no multicollinearity.
(v) The categories must be mutually exclusive and exhaustive.
B. Random Forest
Random forest (RF) algorithm is a well-known tree-based ensemble learning method and the bagging-type ensemble [16]. RF differs from other standard trees, each node is split using the best among a subset of predictors randomly chosen at that node [17]. This additional layer of randomness is what makes RF more robust against over-fitting [18]. To improve the bagged trees in RF, a small tweak that de-correlates the trees are made. As in bagging, we build several decision trees on bootstrapped training sets. But when building these decision trees, each time a split in a tree is considered, a random sample of \( m \) predictors is chosen as split candidates from the full set of p-predictors [19]. The RF approach for both classification and regression is presented in Algorithm 1.
Algorithm 1 Random Forest Algorithm
(i) Draw $m_{tree}$ bootstrap samples from the initial data.
(ii) Initialize an unpruned tree, for every bootstrap sample, with the modification given as follow: instead of choosing the best-split among all predictors at each node, sample randomly $n_{try}$ of the predictors and select the best-split from among those features. Bagging can be seen as a special case of random forests which can be obtained when $n_{try} = k$, number of predictors.
(iii) new data is predicted by aggregating the predictions of the $m_{tree}$ trees.
Algorithm 2 Adaboost Algorithm
Given: $(x_1, y_1), \ldots, (x_m, y_m)$ where $x_i \in X$, $y_i \in Y = \{-1, +1\}$
Initialize: $D_1(i) = \frac{1}{m}$ for $i = 1, \ldots, m$. For $t = 1, \ldots, T$:
- Train weak learner using distribution $D_t$.
- Get weak hypothesis $h_t : X \rightarrow \{-1, +1\}$ with error $\epsilon_t = Pr_{i \sim D_t}[h_t(x_i) \neq y_i]$
- Choose $\alpha_t = \frac{1}{2} \ln(\frac{1 - \epsilon_t}{\epsilon_t})$
- Update: $D_{t+1}(i) = \frac{D_t(i)}{Z_t} \times \begin{cases} \exp(-\alpha_t) & \text{if } h_t(x_i) = y_i \\ \exp(\alpha_t) & \text{if } h_t(x_i) \neq y_i \end{cases} = \frac{D_t(i) \exp(-\alpha_t y_i h_t(x_i))}{Z_t}$
where $Z_t$ is a normalization factor (chosen so that $D_{t+1}$ will be a distribution).
Output the final hypothesis:
$$H(x) = \text{sign}(\sum_{t=1}^{T} \alpha_t h_t(x))$$
C. Adaptive Boosting
Adaptive boosting (AdaBoost) algorithm is another machine learning method used to improve the accuracy of other algorithms. It is a boosted algorithm generated by training weaker rules to develop a boosted algorithm. In Adaboost, training sets $(x_1, y_1), \ldots, (x_m, y_m)$ is the input, where each $x_i$ belongs to some instance space $X$, and each feature $y_i$ is in some label set $Y$ (in this case assuming that $Y = \{-1, +1\}$). This method calls repeatedly a given weak or base learning algorithm in a given series of rounds $t = 1, \ldots, T$. One of the significant and vital ideas of the algorithm is to keep a distribution or set of weights over the training set. The weight of this distribution on training samples $i$ on round $t$ is represented by $D_t(i)$.
At initial, all weights are set equally, but on each round, the weights of misclassified samples are increased so that the weak learner is forced to focus on the hard samples in the training set. The weak learner’s job is to find a weak hypothesis $h_t : X \rightarrow \{-1, +1\}$ appropriate for the distribution $D_t$ [20]. A metric used to measure the goodness of a weak hypothesis is its error. The algorithm procedure is presented in algorithm 2.
D. Decision Trees
Decision trees are one of the supervised learning algorithms that can be applied to both classification and regression problems [21]. We shall briefly consider regression and classification tree problems. There are two steps (as explained in [21]) for building a regression tree:
(i) Divide the set of feasible values $X_1, \ldots, X_n$ for into $I$–distinct and non-overlapping regions, $R_1, R_2, \ldots, R_I$.
(ii) For each sample that falls into $R_i$, the same prediction is made, which is the average of the dependent feature for the training sets in $R_i$.
In order to construct regions $R_1, \ldots, R_i$, we elaborate on step (i) above. In theory, $R_1, R_2, \ldots, R_i$ could take any shape or dimension.
However, for simplicity, we may split the predictor space into high-dimensional boxes and for easy interpretation of the predictive model. The aim is to obtain boxes $R_1, \ldots, R_i$ that minimizes the Residual Sum of Squares (RSS) as given in the mathematical expression in (4)
$$\sum_{i=1}^{I} \sum_{j \in R_i} (y_j - \hat{y}_{R_i})^2$$
Where ($\hat{y}_{R_i}$) is the mean response of the training sets in the $i$th box.
The classification tree on the other hand predicts a qualitative response variable. In a classification tree, we predict that every observation belongs to the ‘most frequently occurring’ class of training sets in the region to which it belongs since
we intend to allocate sample in a given region to the ‘most frequently occurring’ class of training sets in that region, the classification error rate is the part of the training sets in that region that do not belong to the most frequent class, as given in (5).
\[
E = 1 - \max_l (\hat{p}_{ml})
\]
(5)
where \( \hat{p}_{ml} \) denotes the ratio of training samples in the \( m \)th region from \( l \)th class. However, it turns out that classification error is not sensitive enough for tree-growing. The *Gini index* which is defined mathematically in (6)
\[
G = \sum_{l=1}^{L} \hat{p}_{ml}(1 - \hat{p}_{ml})
\]
(6)
A measure of total variance over the L classes. Further details can be found in [21].
**E. Neural Network**
An Artificial Neural Network (ANN) is an imitation of the interconnections made up in the human brain. The inputs in ANN represent the dendrites in the human brain which receives electrochemical signals from other neurons into the cell body. Every input carries a signal which is obtained by the product of its weight and the input to a hidden layer in the neuron powered by an activation function usually a sigmoid function, other activation functions like tangent hyperbolic function, linear function, step function, ramp function, and Gaussian function can also be used [22]. The last layer is the output layer which represents the axon extending to the synapse that connects two different neurons. A typical ANN architecture has inputs, output, and a bias. The ANN architecture differs majorly by layers. The most common and simple architecture is a Perceptron which has two inputs, a hidden layer, and a single output. The neural networks are mostly backpropagated to be used for classification and prediction. The back and forth movement in a neural network between the input and output layers is referred to as an epoch. A neural network undergoes several epochs until a tolerable error is achieved and thus the training of an artificial neural network is achieved. ANN architecture is shown in Fig. 1.
![Fig. 1. Architecture of an Artificial Neural Network [23]](image)
where \( \Theta = \text{external threshold}, \text{offset or bias} \) \( w_{ji} = \text{synaptic weights} \) \( x_i = \text{inputs} \) \( y_j = \text{output} \) as in (7)
\[
y_i = \psi(\sum_{i=1}^{n} w_{ji}x_i + \Theta_i)
\]
(7)
**F. Gradient Boost**
Gradient boost is a boosted algorithm used for regression and classification. It is derived from the combination of Gradient Descent and Boosting. It involves fitting an ensemble model in a forward stage-wise manner. The first attempt to generalize an adaptive boosting algorithm to gradient boosting that can handle a variety of loss functions was done by [24], [25]. The steps for gradient boosting algorithm is outlined in algorithm 3.
**Algorithm 3** Gradient Boost Algorithm
Inputs:
- Input data \((x, y)_{i=1}^{N}\)
- number of iterations M
- choice of the loss-function \( \psi(y, f) \)
- choice of the base-learner model \( h(x, \theta) \)
Algorithm:
- initialize \( \hat{f}_0 \) with a constant
- compute the negative gradient \( g_t(x) \)
- fit a new base-learner function \( h(x, \theta_t) \)
- find the best gradient descent step-size \( \rho_t : \)
\[ \rho_t = \arg \min_\rho \sum_{i=1}^{N} \psi[y_i, \hat{f}_{t-1}(x_i) + \rho h(x_i, \theta_t)] \]
- update the function estimate:
\[ \hat{f} \leftarrow \hat{f}_{t-1} + \rho_t h(x, \theta_t) \]
- end for
**G. Extreme Gradient Boosting**
Extreme Gradient Boosting (XGBoost) is one of the boosted tree algorithms [16], which follows the principle of gradient boosting [24]. When compared with other gradient boosting algorithms, XGBoost makes use of a more regularized model formalization in other to control over-fitting of data, which gives it better performance [16]. In other to achieve this, we need to learn functions \( h_i \), with each containing structure of tree and leaf scores [26]. As explained in [27], Given a data with \( m \)-samples and \( n \)-features, \( D = \{(X_j, y_j)\}(|D| = m, X_j \in \mathbb{R}^n, y_j \in \mathbb{R}) \) a tree ensemble model makes use of L additive functions to predict the output as presented in (8).
\[
\hat{y}_j = \phi(X_j) = \sum_{l=1}^{L} h_l(X_J), \quad h_l \in \mathcal{H}
\]
(8)
where \( \mathcal{H} = \{h(X) = w_q(X)\} (q : \mathbb{R}^n \rightarrow U, w \in \mathbb{R}^U) \) is the space of regression trees. \( q \) denotes the structure of each tree that maps a sample to its corresponding leaf index. \( U \) denotes number of leaves in the tree. Each \( h_l \) corresponds to independent structure of tree \( q \) and leaf weights \( w \).
To learn the set of functions used in the model, the regularized objective is minimized (9) as follows:
\[
\mathcal{L}(\phi) = \sum_{j} l(\hat{y}_j, y_j) + \sum_{l} \Omega(h_l), \quad \Omega(h) = \gamma U + \frac{1}{2} \lambda ||w||^2
\]
(9)
where \( l \) is differentiable convex loss function which measures difference between the target \( y_j \) and predicted \( \hat{y}_j \). \( \Omega \)
penalizes the complexity of the model to avoid over-fitting. The model is trained in an additive way. A score to measure the quality of a given tree structure $q$ is derived as given in (10):
$$\hat{L}^{(u)}(q) = -\frac{1}{2} \sum_{j=1}^{U} \frac{(\sum_{i=I_j} f_i)^2}{\sum_{i=I_j} g_i + \lambda} + \gamma U$$ \hspace{1cm} (10)
where $f_i = \partial_{\hat{y}^{(u-1)}} l(y_i, \hat{y}^{(u-1)})$ and $g_i = \partial^2_{\hat{y}^{(u-1)}} l(y_i, \hat{y}^{(u-1)})$ are the gradient and second order gradient statistics, respectively. Further explanation can be obtained in [27].
**H. CatBoost**
Another machine learning algorithm that is efficient in predicting categorical feature is the CatBoost classifier. CatBoost is an implementation of gradient boosting, which makes use of binary decision trees as base predictors [28]. Suppose we observe a data with samples $D = \{(X_j, y_j)\}_{j=1,\ldots,m}$, where $X_j = (x^1_j, x^2_j, \ldots, x^n_j)$ is a vector of $n$ features and response feature $y_j \in \mathbb{R}$, which can be binary (i.e yes or no) or encoded as numerical feature (0 or 1). Samples $(X_j, y_j)$ are independently and identically distributed according to some unknown distribution $p(\cdot, \cdot)$. The goal of the learning task is to train a function $H : \mathbb{R}^n \rightarrow \mathbb{R}$ which minimizes the expected loss given in (11)
$$\hat{L}(H) := \mathbb{E} L(y, H(X))$$ \hspace{1cm} (11)
where $L(\cdot, \cdot)$ is a smooth loss function and $(X, y)$ is a testing data sampled from the training data $D$.
The procedure for gradient boosting [24] constructs iteratively a sequence of approximations $H^t : \mathbb{R}^m \rightarrow \mathbb{R}, t = 0, 1, \ldots$ in a greedy fashion. From the previous approximation $H^{t-1}$, $H^t$ is obtained in an additive process, such that $H^t = H^{t-1} + \alpha g^t$, with a step size $\alpha$ and function $g^t : \mathbb{R}^n \rightarrow \mathbb{R}$, which is a base predictor, is selected from a set of functions $G$ in order to reduce or minimize the expected loss defined in (12):
$$g^t = \arg \min_{g \in G} \hat{L}(H^{t-1} + g)$$
$$= \arg \min_{g \in G} \mathbb{E} L(y, H^{t-1}(X) + g(X))$$ \hspace{1cm} (12)
Often, the minimization problem is approached by the Newton method using a second-order approximation of $\hat{L}(H^{t-1} + g^t)$ at $H^{t-1}$ or by taking a (negative) gradient step. Either of these functions is gradient descent [29], [30]. Further explanation of CatBoost algorithm can be obtained in [28].
**III. Design and Nomenclatures**
Some evaluation metrics such as confusion matrix, the area under the curve (AUC), accuracy, error rate, true positive rate, true negative rate, false-positive rate, and false-negative rate shall be discussed.
**A. Confusion Matrix**
A confusion matrix contains information about actual and predicted classifications from a classifier. The performance of such a classifier is commonly evaluated using the data in the matrix. Table I shows the confusion matrix for classifier [1], [31].
| Actual | Predicted |
|--------|-----------|
| | Negative | True Negative (TN) | False Negative (FN) |
| Negative | True Negative (TN) | | |
| Positive | False Positive (FP) | True Positive (TP) |
**True Positive**: The classifier predicted a true event and the event is actually true.
**True Negative**: The classifier predicted that an event is not true and the event is actually not true.
**False Positive**: The classifier predicted that an event is true but the event is actually not true.
**False Negative**: The classifier predicted that an event is not true but the event is actually true.
The confusion matrix can be interpreted as: the TN and TP are the correctly classified classes while FN and FP are the misclassified classes.
**B. Model Evaluation Metrics**
The Model training time, model accuracy, and memory utilized are some good metrics for comparing the performance of the classifiers. Also, the area under the Receiver Operating Characteristics Curve (ROC-AUC) is a performance metric for classification accuracy. The AUC is another metric which checks the performance of multiple-class classification accuracy [26]. Model accuracy is the proportion of the correct predictions (True positive and True negative) from the total predictions defined in (13).
$$\text{Accuracy} = \frac{TN + TP}{TP + TN + FP + FN} \times 100\%$$
$$\text{Error Rate} = \frac{FP + FN}{FP + FN + TP + TN} \times 100$$ \hspace{1cm} (13)
The error rate is the proportion of all incorrect predictions divided by the total number of samples, given in (13).
True Positive Rate (TPR), also called the sensitivity or recall, is the proportion of correct positive predicted class from total positive class. The best sensitivity is 1.0 and the worst is 0.0. True Negative Rate (TNR), also called the specificity, is the proportion of correct negative predictions from the total number of negative classes. The best specificity is 1.0 and the worst is 0.0. The TPR and TNR are given in (14).
$$\text{True Positive Rate} = \frac{TP}{FN + TP} \times 100$$
$$\text{True Negative Rate} = \frac{TN}{FP + TN} \times 100$$ \hspace{1cm} (14)
Precision is the number of correctly predicted positive value out of the total number of positive class, as given in (15). False Positive Rate (FPR) is the number of incorrect positive prediction out of the total number of negatives as in (15).
\[
\text{False Positive Rate} = \frac{TP}{FNP + TP} \times 100 \\
\text{False Negative Rate} = \frac{FP}{FP + TN} \times 100
\]
(15)
C. Calibration Plots
Calibrated methods (classifiers) are probabilistic classifiers for which the outcome of the predicted probabilities of a particular classifier can be interpreted as a confidence interval. The metric is used to determine whether the predicted probability can be interpreted as a confidence interval.
D. System Specification
All classifiers were run on Jupyter notebook in python 3.7.4 on Linux 19.10 version. The codes were run on 8GB HP elite book, core i5.
IV. RESULTS AND DISCUSSION
In this section, we shall perform two analyses to determine the performance of all the machine learning algorithms discussed previously. We begin by exploring the data to obtain the numerical statistics, identify missing values, outliers, and if the independent feature is balanced or not. After initial exploration we were able to identify missing values and outliers, the independent feature is balanced.
A. Analysis 1: Predicting Mortgage Approvals from Government Data
The analysis is based on US Government data concerning predicting mortgage approvals [32]. This is a binary classification problem. Our analysis was based on the 500,000 observations with 23 features from the training data-set of mortgage approvals government data, each containing specific characteristics for a mortgage application which will either get approval (“1”); or not (“0”). We tested our model on a data-set with 150,000 samples.
1) Exploratory Analysis: Before developing a predictive model, we need to understand the data-set by exploratory analysis. In the exploratory analysis, we intend to find answers to some questions such as (i) which features have missing values, (ii) features with outliers, (iii) is the response feature balanced? (iv) the distribution of the data points and so on. We present some visualizations in Fig. 2 and 3 to answer these questions.
Fig. 2 shows the both classes give almost the same frequency, with 250,114 for the accepted data points and 249,886 for not accepted data points. The data distribution seem balanced and other analysis can be performed. Fig. 3 shows the distributions of the three classes of the loan purpose that we have. The Loan amount follows a normal distribution for both the accepted and not accepted in Fig. 4. Fig. 5 shows the two classes of loan type. The accepted class of the conventional loan type has highest frequency with around 180,000. In Fig. 6 state code 6 has the highest number ($\approx 890$) of district lenders, with state code 50 having the least. Fig. 7 shows the feafeatures “msa-md, applicant-income, number-of-owner-occupied-units, number-of-1-to-4-family-units, tract-to-msa-md-income-pct” having numbers of 76982, 39948, 22565, 22530, 22514, respectively. Generally, from our visualizations we can see that the major features that contribute to the prediction of mortgage loan are loan amount, loan type, applicant income and loan purpose.
**Fig. 6. District Lenders by State Code**
**Fig. 7. Features with Missing Information**
2) **Data Pre-processing:** To replace the missing values (NA’s) for both numerical and categorical features. Starting with the categorical features, the NA’s encountered were replaced with the mode of that feature. Also, categorical features were one-hot encoded, which means each of the distinct categories in a particular feature was converted to numerical fields. For numerical features, the NA’s were replaced on a case by case basis. Features like “applicant-income, number of owner-occupied units” were replaced with the median as it handles the presence of outliers, unlike mean imputation. The test set used has 150, 000 samples for each of the models.
| Algorithm | Score | Avg. time (s) | Avg. time (seconds) | F1 score | AUC | Precision |
|--------------------|-------|---------------|---------------------|----------|-------|-----------|
| Logistic Regression| 0.62 | 72.806 | 0.012 | 0.62 | 0.67 | 0.61 |
| Random Forests | 0.69 | 19.045 | 1.271 | 0.64 | 0.71 | 0.68 |
| AdaBoost | 0.67 | 28.632 | 1.664 | 0.63 | 0.72 | 0.66 |
| XGBoost | 0.69 | 28.322 | 1.342 | 0.65 | 0.75 | 0.68 |
| Neural Networks | 0.68 | 27.234 | 1.123 | 0.73 | 0.66 | 0.66 |
| Gradient Boosting | 0.69 | 30.233 | 3.432 | 0.66 | 0.75 | 0.68 |
| CatBoost | **0.732** | 46.657 | 6.725 | 0.75 | 0.78 | 0.83 |
| Decision Trees | 0.68 | 4.272 | 1.012 | 0.054 | 0.62 | 0.66 |
3) **Results and Discussion:** False positive rate is a method of committing a type I error in null hypothesis testing when conducting multiple comparisons. For the problem used in this paper, the false positive rate is an important metric as it would be a disaster if the system predicts a client would be given a loan but in reality, he was not. From Table II, the CatBoost algorithm achieved the highest accuracy. This means that the confusion metrics for CatBoost, the value of correctly classified (TP + FN) is higher than the other six algorithms implemented. And with the least number of miss-classified. Other metrics such as f1 score, AUC, and precision are also shown in Table II.
**Fig. 8. ROC Curves for the Algorithms**
**Fig. 9. Boxplots for the Algorithms**
After training the models on the training set and predicted the probabilities on the test set, we then obtained the true positive rate, false positive rate, and AUC scores. From Fig. 8, CatBoost achieved highest AUC value of 0.78 which is closer to 1 than other classifiers. Also, Fig. 9 shows the comparison with other implemented algorithms. The names of the algorithms are written in the short form where LR denotes Logistic regression, ADB for AdaBoost, RF denotes random forest, GBC for gradient boosting, CART for decision trees, NB for naive Bayes, XGB denotes XGBoost, and CAT for CatBoost algorithms. Box 9 shows the spread of the accuracy scores across each cross-validation fold for each algorithm. Box 9 is generated based on the mean accuracy and standard
deviation accuracy of the algorithms. In Fig. 10, the calibration plots for all the implemented algorithms are plotted, CatBoost method produced well-calibrated predictions as it optimizes log-loss. Fig. 11 shows the model performance graph for the CatBoost classifier.
**Fig. 10. Calibration Plots**
**Fig. 11. Graph of the Model Training**
From the plot 9, it would suggest that CatBoost is perhaps worthy of further study on this problem due to its performance. The result has been presented in Table II which contains the model accuracies, AUC, the average time to fit, and score. In summary, features such as *loan amount*, *loan type*, *applicant income* and *loan purpose* played a key role in predicting mortgage loan approvals. This means, for an individual to get a mortgage loan, the amount of loan, what type of load, income of the loan applicant and purpose for wanting to secure loan are the key questions that need to be addressed before a loan will be approved.
### B. Analysis 2: Staff Promotion Algorithm
HR analytics using machine learning will revolutionize the way human resources departments now operate. This will lead to higher efficiency and better results overall. This analysis uses predictive analytics in identifying the employees most likely to get promoted or not using historical staff promotion datasets [32]. We trained the model on a dataset with 38,312 samples and 19 features and tested it on a data-set with 16,496 samples.
#### 1) Exploratory Analysis:
Before developing a predictive model, we need to understand the data points and have a pictorial view of what the data-set contains. In the exploratory analysis, we intend to find answers to some questions such as (i) which features have missing values, (ii) features with outliers, (iii) is the response feature balanced? (iv) the distribution of the data points and so on. We present some visualizations in Fig. 12, 13, 14, 15, 16, 17, and 18 to answer these questions.
**Fig. 12. Division**
**Fig. 13. Foreign School**
Starting with Fig. 12, the CSS class have the highest number (over 1000) of staff that was promoted in the Division feature. In Fig. 13, more than 30000 staff who got promoted were foreign-schooled and $\approx 2500$ studied locally. Fig. 14 shows the geographical zones of staffs, the South-West zone recorded the highest number of promoted staff while the North-East zone has the least number of promoted staff. Fig. 15 shows the frequency for the two classes in the response variable. It was observed that most of the staffs fall in the “not promoted” class, with a ratio of “promoted” to “not promoted” as $8 : 92\%$.
Furthermore, in Fig. 16, employees from Oyo state (in South-West) appears to have the highest number of working years (38 years) while employees from Zamfara state had 24 years of working experiences. This could further support Fig. 14 with staff from the South-West zone having the highest
number of promotion because of their working years. In Fig. 17, the graduate employees appear older than the Non-graduate employee. This could be due to the number of years spent studying before joining the workforce. The distribution of staff channel of recruitment is shown in Fig. 18. In summary, features such as division, foreign schooled, geopolitical zones, qualifications, and working years had a high impact on staff promotion.
2) Data-preprocessing: We replaced the missing values (NA’s) for both numerical and categorical features. For the categorical features, the NA’s encountered were replaced with the mode of that feature. For Numerical features, the NA’s were replaced on a case by case basis. For the imbalanced response feature, it was balanced with a Resampling technique, to improve our prediction. After this step, we split the data and proceed to the prediction phase. The test set used has 16,496 samples for each of the models.
3) Results and Discussion: Table III shows a summary of the evaluation metrics for implemented algorithms. CatBoost and XGBoost achieved the highest score with 94%. And when uploaded into Kaggle [33] online, we had a difference of 0.01. Other metrics are also shown in this table.
| Algorithm | Score (PC) | Score (Kaggle) | AUC | Precision | F1-Score |
|---------------|------------|----------------|-------|-----------|----------|
| Random forest | 0.93 | 0.88 | 0.71 | 1.70 | 0.94 |
| XGBoost | 0.94 | 0.93 | 0.82 | 0.91 | 0.92 |
| Gradient Boost| 0.90 | 0.84 | 0.82 | 0.93 | 0.95 |
| CatBoost | **0.94** | **0.93** | **0.82**| **0.91** | **0.95** |
In Fig. 19 the AUC value of the applied algorithms are plotted, the random forest classifier had the least value of 0.71 while other algorithms achieved 0.82. The distribution of the algorithms is shown in Fig. 20. Again, the random forest classifier achieved the least value while other algorithms achieved high values. The model performance graph for the CatBoost algorithm showing how the model was trained, the number of iterations, and the accuracy is shown in Fig. 21.
The proportion of the training set and the test error rate is plotted in Fig. 22. CatBoost and XGBoost had little error compared to other implemented algorithms. Fig. 23 shows that the CatBoost and XGBoost methods produced well-calibrated predictions.
V. CONCLUSION
Having applied all the mentioned algorithms in our methodology, this paper aimed to compare some predictive machine learning algorithms from supervised learning with applications in areas of loan prediction and staff promotion. We performed two analyses: loan prediction and staff promotion. Each analysis started with exploratory analysis where we find insights from the data, then the data was cleaned, balanced, and transformed for prediction. The machine learning algorithms discussed in this paper were then implemented and some metrics were used to evaluate the implemented models’ performance. CatBoost classifier did pretty well achieving the highest score (accuracy) in both applications (or analysis). Other evaluation metrics also support the performance of this algorithm. We thereby recommend the CatBoost classifier for the predictive model.
For the mortgage loan analysis, features such as *loan amount*, *loan type*, *applicant income* and *loan purpose* played a significant role in predicting mortgage loan approvals. And for the staff promotion analysis, features such as *division*, *foreign schooled*, *geopolitical zones*, *qualifications*, and *working years* had a significant impact towards staff promotion.
Future work might consider cross-validation. Cross-validation could also be used to compute the model’s accuracy based on different combinations of training and test samples. Besides, some other classifiers with larger datasets may be applied.
ACKNOWLEDGMENT
The authors would like to appreciate Sowole Samuel for his suggestions.
REFERENCES
[1] Abdullahi Ibrahim and Rabiat Ohunene Abdulaziz, *Analysis of Titanic Disaster using Machine Learning Algorithms*, Engineering Letters, vol. 28, no. 4, pp1161-1167, 2020.
[2] Anchal Goyal and Ranpreet Kaur, *Loan Prediction using Ensemble Technique*. International Journal of Advanced Research in Computer and Communication Engineering. Vol. 5(3), 2016.
[3] Zakaria Alomari and Dmitriy Fingerman, *Loan Default Prediction and Identification of Interesting Relations between Attributes of Peer-to-Peer Loan Applications*. New Zealand Journal of Computer-Human Interaction ZICHI. Vol. 2(2), 2017.
[4] K. Ulaga Priya, S. Pushpa, K. Kalaivani and A. Saritha, *Exploratory Analysis on Prediction of Loan Privilege for Customers using Random forest*. International Journal of Engineering and Technology. Vol. 7(2,21) Pp. 339-341, 2018. https://doi.org/10.14419/ijiet.v7i2.21.12399
[5] Li Ying, *Research on Bank Credit Default Prediction Based on Data Mining Algorithm*. The International Journal of Social Sciences and Humanities Invention Vol. 5(6): 4820-4823, 2018.
[6] Y. Xia, L. He, Y. Li, N. Liu and Y. Ding, *Predicting Loan Default in Peer-to-Peer Lending using Narrative Data*. Journal of Forecasting. Pp. 1–21, 2019. https://doi.org/10.1002/for.2625
[7] Y. Long, J. Liu, M. Fang, T. Wang, & W. Jiang, *Prediction of Employee Promotion Based on Personal Basic Features and Post Features*. In Proceedings of the International Conference on Data Processing and Applications (pp. 5-10), 2018.
[8] C. S. Machado and M. Portela, *Age and Opportunities for Promotion*. IZA Discussion Paper No.7784, 2013.
[9] F. D. Blau and J. DeVaro, *New Evidence on Gender Differences in Promotion Rates: An Empirical Analysis of a Sample of New Hires*. Industrial Relations: A Journal on Economy and Society. 46, 3 (July. 2007), 511-550. DOI= https://doi.org/10.1111/j.1468-232x.2007.00479.x.
[10] S. Spilerman and T. Lunde, *Features of Educational Attainment and Job Promotion Prospects*. American Journal of Sociology. 97, 3 (Nov. 1991), 689-720, 1991. DOI= https://doi.org/10.1086/229817
[11] I. E. De Pater, A. E. Van Vianen, M. N. Bechtoldt and U. C. KLEHE, *Employees’ Challenging Job Experiences and Supervisors’ Evaluations of Promotability*. Personnel Psychology. 62, 2 (Summer 2009), 297-325. DOI= https://doi.org/10.1111/j.1744-6570.2009.01139.x
[12] A. W. Woolley, C. F. Chabris, A. Pentland, N. Hashmi and T. W. Malone, *Evidence for a Collective Intelligence Factor in the Performance of Human Groups*. Science. 330, 6004 (Oct. 2010), 686-688. DOI= https://doi.org/10.1126/science.1193147.
[13] A. Sarker, S. M. Shamim, M. S. Zama, & M. M. Rahman, *Employee’s Performance Analysis and Prediction using K-Means Clustering & Decision Tree Algorithm*. Global Journal of Computer Science and Technology, 2018.
[14] S. Saranya and J. S. Devi, *Predicting Employee Attrition using Machine Learning Algorithms and Analyzing Reasons for Attrition*. 2018
[15] Gareth James, Daniela Witten, Trevor Hastie, and Robert Tibshirani, *An Introduction to Statistical Learning: with Applications in R*. Springer Texts in Statistics 103, DOI 10.1007/978-1-4614-7138-7 2017.
[16] R. Punnoose and P. Ajit, *Prediction of Employee Turnover in Organizations using Machine Learning Algorithms*. International Journal of Advanced Research in Artificial Intelligence (IJARAI). Vol. 5, No. 9, 1-5, 2016.
[17] A. Liaw and M. Wiener, *Classification and Regression by Random forest*. R news, 2(3), 18-22, 2002.
[18] L. Breiman, *Random forests*. Machine Learning. 45(1), 5–32, 2001.
[19] Gareth James, Daniela Witten, Trevor Hastie, Robert Tibshirani, *An Introduction to Statistical Learning with Applications in R*. Springer textbook, 2013.
[20] Yoav Freund and E. Robert Schapire, *A Short Introduction to Boosting*. Journal of Japanese Society for Artificial Intelligence. Vol 14(5):771-780, 1999.
[21] G. James et al., *An Introduction to Statistical Learning: with Applications in R*. Springer Texts in Statistics 103, DOI 10.1007/978-1-4614-7138-7 8
[22] Shiruru, Kuldeep, *An Introduction to Artificial Neural Network*. International Journal of Advance Research and Innovative Ideas in Education. 1, 27-30, 2016.
[23] Kumamoto University http://www.cs.kumamoto-u.ac.jp/epslab/ICinPS/Lecture-2.pdf
[24] J. H. Friedman, *Greedy Function Approximation: A Gradient Boosting Machine*. Annals of statistics. 1189-1232, 2001.
[25] N. Alexy and K. Alois, *Gradient Boosting Machines: A Tutorial*. Frontiers in Neurorobotics. Vol 7(21) pp 3, 2013.
[26] S. Lessmann and S. Voß, *A Reference Model for Customer-centric Data Mining with Support Vector Machines*, European Journal of Operational Research 199, 520–530, 2009.
[27] T. Chen and C. Guestrin, *XGBoost: Reliable Large-scale Tree Boosting System*, 2015.
[28] L. Prokhorenkova, G. Gusev, A. Vorobev, A. V. Dorogush & A. Gulin, *CatBoost: Unbiased Boosting with Categorical Features*. In Advances in Neural Information Processing Systems (pp. 6638-6648), 2018.
[29] J. Friedman, T. Hastie and R. Tibshirani, *Additive Logistic Regression: A Statistical View of Boosting*. The Annals of Statistics, 28(2):337—407, 2000.
[30] L. Mason, J. Baxter, P. L. Bartlett and M. R. Frean, *Boosting Algorithms as Gradient Descent*. In Advances in Neural Information Processing Systems, pages 512–518, 2000.
[31] R. Kohavi and F. Provost, *Glossary of Terms*. Machine Learning—Special Issue on Applications of Machine Learning and the Knowledge Discovery Process. Machine Learning, 30, 271-274, 1998.
[32] Microsoft Capstone Project https://www.datasciencecapstone.org/ (Assessed in April 2019)
[33] Kaggle https://www.kaggle.com/c/intercampusai2019 (Assessed in August 2019)
|
INSIDE
BUILDING A DESKTOP FIREWALL
PERFORMANCE COMPARISON ITTIA DB AND SQLITE
SOME INTERESTING ONE FLOPPY SYSTEMS
REMOTE INSTALLATION OF THE FREEBSD
OPENBSD AS A MAIL SERVER
The new Triton TwinBlade Server is the most technologically advanced blade server system in the industry, and the ideal solution for power-efficiency, density, and ease of management.
The Triton TwinBlade Server supports up to 120 DP servers with 240 Intel® Xeon® 5600/5500 series processors per 42U rack, achieving an unmatched 0.35U per DP node. Up to two 4x QDR (40 Gbps) Infiniband switches, 10G QDE switches or pass-through modules give the TwinBlade the bandwidth to support the most demanding applications.
With N+1 redundant, high efficiency (94%) 2500W power supplies, the TwinBlade is the Greenest, most energy-efficient blade server in the industry. The energy saved by the iX-Triton TwinBlade Server will keep the environment cleaner and greener, while leaving the green in your bank account.
Server management is also simple with the Triton Twin Blade Server. Remote access is available through SOL (Serial Over Lan), KVM, and KVM over IP technologies. A separate controller processor allows all of the Triton’s remote management and monitoring to function regardless of system failures, offering true Lights Out Management.
Using the Triton’s management system, administrators can remotely control TwinBlades, power supplies, cooling fans, and networking switches. Users may control the power remotely to reboot and reset the Triton TwinBlade Center and individual Twin Blades, and may also monitor temperatures, power status, fan speeds, and voltage.
For more information on the iX-Triton TwinBlade, or to request a quote, visit:
http://www.iXsystems.com/tritontwinblade
The iX-TB4X2 chassis holds 10 TwinBlade servers and each TwinBlade supports two nodes. This gives the iX-TB4X2 chassis the ability to house 20 nodes in 7U of rack space. The powerful Triton TwinBlade achieves 0.35U per dual-processor node, and is twice as dense as the previous generation of dual-processor blades.
A fully-loaded iX-Triton TwinBlade supports 40 Intel® Xeon® 5600/5500 series processors and up to 2.5 TB DDR 1333/1066/800MHz ECC Registered DIMM memory. In a 42U rack this translates into 120 nodes with 240 Intel® Xeon® 5600/5500 series processors and 15 TB DDR 1333/1066/800MHz ECC Registered DIMM memory.
Key features:
- Up to 10 dual-node TwinBlades in a 7U Chassis, 6 Chassis per 42U rack
- Remotely manage and monitor TwinBlades, power supplies, cooling fans, and networking switches
- Hardware Health Monitor
- Virtual Media Over Lan (Virtual USB, Floppy/CD, and Drive Redirection)
- Integrated IPMI 2.0 w/ remote KVM over LAN/IP
- Remote Power Control
- Supports one hot-plug management module providing remote KVM and IPMI 2.0 functionalities
- Up to four N+1 redundant, hot-swap 2500W power supplies
- Up to 16 cooling fans
Each of the TwinBlade’s two nodes features:
- Intel® Xeon® processor 5600/5500 series, with QPI up to 6.4 GT/s
- Intel® 5500 Chipset
- Up to 128GB DDR3 1333/ 1066/ 800MHz ECC Registered DIMM / 32GB Unbuffered DIMM
- Intel® 82576 Dual-Port Gigabit Ethernet
- 2 x 2.5” Hot-Plug SATA Drive Trays
- Integrated Matrox G200eW Graphics
- Mellanox ConnectX QDR InfiniBand 40Gbps or 10GbE support (Optional)
* Electricity costs vary by location.
** According to Energy Information Agency (a statistical agency of the U.S. Department of Energy), saving one kilowatt hour of electricity reduces carbon dioxide emissions by 1.43 pounds.
Call iXsystems toll free or visit our website today!
+1-800-820-BSDi | www.iXsystems.com
Intel, the Intel logo, and Xeon Inside are trademarks or registered trademarks of Intel Corporation in the U.S. and other countries.
Dear Readers!
The first month of summer is coming to an end, I guess most probably many of you are on vacations having good time with your friends and family. I am happy you don’t forget about BSD Magazine and download it every month. :)
BSD Magazine is growing, it has already around 22,000 subscribers all over the world. Comparing to 10,000 printed copies which were distributed in USA before January - this number has really grown! We are looking for the new ways to promote our magazine all the time and we are very grateful for every help you give us! Thank you for spreading a word about BSD Mag!
This issue is devoted to OpenBSD mainly, but not only. A little bit of firewalling, floppy systems, sharing interesting experience and other. All these great authors worked hard to contribute to this issue: Dru Lavigne, Juraj Sipos, Daniel Gerzo, Daniele Mazzocchio, Sasan Montaseri, Joshua Ebarvia, Jesse Smith. In case you have any questions about the articles, just let us know we will forward them directly to authors.
Enjoy your reading and have a nice day!
Olga Kartseva
Editor in Chief
email@example.com
Editor in Chief:
Olga Kartseva
firstname.lastname@example.org
Contributing:
Jan Stadehouder, Rob Sonnevile, Marko Milenovic, Petr Topiarz, Paul McMath, Eric Vintimilla, Matthias Pfeifer, Theodore Tereshchenko, Mikel King, Machtelt Garrels, Jesse Smith
Special thanks to:
Marko Milenovic, Worth Bishop and Mike Bybee
Art Director:
Ireneusz Pogroszewski
DTP:
Ireneusz Pogroszewski
Senior Consultant/Publisher:
Paweł Marciniańk email@example.com
National Sales Manager:
Ewa Lozowicka
firstname.lastname@example.org
Marketing Director:
Ewa Lozowicka
email@example.com
Executive Ad Consultant:
Karolina Leśniska
firstname.lastname@example.org
Advertising Sales:
Olga Kartseva
email@example.com
Publisher:
Software Press Sp. z o.o. SK
ul. Bokserska 1, 02-682 Warszawa
Poland
worldwide publishing
tel: 1 917 338 36 31
www.bsdmag.org
Software Press Sp z o.o. SK is looking for partners from all over the world. If you are interested in cooperation with us, please contact us via e-mail: firstname.lastname@example.org.
All trade marks presented in the magazine were used only for informative purposes. All rights to trade marks presented in the magazine are reserved by the companies which own them.
The editors use automatic DTP system ADOBE.
Mathematical formulas created by Design Science MathType™.
**GET STARTED**
06 **Building a Desktop Firewall with pf and fwbuilder**
*Dru Lavigne*
This article is an excerpt from the Firewalls and VPNs chapter of the book *The Best of FreeBSD Basics* (ISBN 9780979034220), published by Reed Media Publishing.
Everyone knows that you should be behind a firewall whenever you go online. However, not everyone knows that it’s easy to create a personal firewall for a FreeBSD (or PC-BSD or DesktopBSD) system. This section shows how even a casual home user can get a firewall up and running in about ten minutes.
**HOW TO’S**
12 **OpenBSD Some Interesting One Floppy Systems**
*Juraj Sipos*
One floppy systems are very practical, as they usually have a specific goal, which cannot be said about all Live CD’s.
16 **Remote Installation of the FreeBSD Operating System without a Remote Console**
*Daniel Gerzo*
This article documents the remote installation of the FreeBSD operating system when the console of the remote system is unavailable. The main idea behind this article is the result of a collaboration with Martin Matuska email@example.com with valuable input provided by Pawel Jakub Dawidek firstname.lastname@example.org.
22 **OpenBSD as Mail Server**
*Daniele Mazzocchio*
In a previous document, we built redundant firewalls using the CARP and PFSYNC protocols; these were the first building blocks of a hypothetical, OpenBSD-based, small private network that we are going to build step by step across several documents.
**LET’S TALK**
40 **Performance Comparison ITTIA DB and SQLite**
*Sasan Montaseri*
ITTIA DB SQL and SQLite are used by software developers to manage information stored in applications and devices. Designed to be hidden from the end-user, these embedded relational database management systems are linked into the application or firmware as self-contained software libraries.
48 **Interview with Jeff Roberson**
*Jesse Smith*
Any administrator who has rushed to bring a system back on-line after a crash knows how frustrating it can be to sit through a filesystem check. It can be a painfully slow, yet necessary process. One BSD developer, Jeff Roberson, has found a way to make all our lives easier and system recovery faster. Jeff took some time out of his very busy schedule to explain some of the bottlenecks in filesystem recovery and how he has gone about speeding up the process.
50 **FreeBSD Experience and Succes Story**
*JOSHUA EBARVIA*
In 2007, I was hired as a programmer at University of the Philippines Open University (UPOU). I came from a Microsoft Windows platform and Visual Basic background. At UPOU, there was no room for my skills since they use various distributions of Linux for servers and open source programming languages for applications development.
Everyone knows that you should be behind a firewall whenever you go online. However, not everyone knows that it’s easy to create a personal firewall for a FreeBSD (or PC-BSD or DesktopBSD) system. This section shows how even a casual home user can get a firewall up and running in about ten minutes.
The Software
Like all of the BSDs, FreeBSD has always been security conscious. It offers several built-in firewalls to choose from: `iptfw`, `ipf`, and `pf`. I use `pf` because it is built into all of the BSDs, including OpenBSD, NetBSD, and DragonFly BSD.
I also recommend using a GUI firewall editor called `fwbuilder`. While my examples will demonstrate this utility from a FreeBSD system, it is available for Linux, Mac OS X, and Windows XP and supports `iptables`, `ipf` (IP Filter), `pf` and `iptfw`. `pf` comes with FreeBSD, but double-check that it is loaded on your system by typing the following as the superuser:
```
# kldload pf
```
If you get your prompt back, you just loaded it manually. If you’re in the habit of turning off your computer, add a line to `/etc/rc.conf` to reload `pf` when your system boots:
```
pf_enable="YES"
```
Your FreeBSD & PC-BSD Resource
www.FreeBSDMall.com
FreeBSD 7.2 Jewel Case CD/DVD
Set contains:
- Disc 1: Installation & Live File System (for system recovery)
- Disc 2: Packages and Documentation
- Disc 3: Additional Packages
- Disc 4: More Packages
FreeBSD 7.2 CD ................................................................. $39.95
FreeBSD 7.2 DVD ............................................................... $39.95
FreeBSD 6.4 CDROM ......................................................... $39.95
FreeBSD 6.4 DVD ............................................................... $39.95
FreeBSD Subscriptions
Save time and $$ by subscribing to regular updates of FreeBSD!
FreeBSD Subscription, start with CD 7.2 .......................... $29.95
FreeBSD Subscription, start with DVD 7.2 ......................... $29.95
FreeBSD Subscription, CD 6.4 ............................................. $29.95
FreeBSD Subscription, DVD 6.4 ......................................... $29.95
PC-BSD 7.1 DVD (Galileo Edition)
PC-BSD 7.1 DVD ............................................................... $29.95
PC-BSD Subscription ......................................................... $19.95
BSD Magazine
BSD Magazine ...................................................................... $15.00
BSD Magazine Subscription .............................................. $11.99
The FreeBSD Handbook
The FreeBSD Handbook, Volume 1 (User Guide) .................... $39.95
The FreeBSD Handbook, Volume 2 (Admin Guide) ................. $39.95
Special: The FreeBSD Handbook, Volume 2 (Both Volumes) ....... $59.95
Special: The FreeBSD Handbook, Both Volumes, & FreeBSD 7.2 .... $79.95
The FreeBSD Bundle
Inside the Bundle, you'll find:
- FreeBSD Handbook, 3rd Edition, Users Guide
- FreeBSD Handbook, 3rd Edition, Admin Guide
- FreeBSD 7.2 4-disc set
- FreeBSD Toolkit: DVD
Special: The FreeBSD CD Bundle ........................................ $89.95
Special: The FreeBSD DVD Bundle ...................................... $89.95
The FreeBSD Toolkit DVD ................................................. $39.95
FreeBSD Mousepad ......................................................... $10.00
FreeBSD Caps ..................................................................... $20.00
PC-BSD Caps ..................................................................... $20.00
For MORE FreeBSD & PC-BSD items, visit our website at FreeBSDMall.com!
CALL 925.240.6652 Ask about our software bundles!
If you instead get an error like:
```
kldload: can't load pf: File exists
```
it means that your system is already configured to load pf for you.
**Installation and Configuring the Firewall Object**
From the GUI, become the superuser and install and start `fwbuilder`:
```
# pkg_add -r fwbuilder
# rehash
# fwbuilder
```
This will take you to the fwbuilder GUI, which is divided into two main sections. The left frame contains an Object tree and the right frame contains your firewall rules (after you have defined some objects). Using objects is a very powerful visual aid, allowing you to quickly see your networks, computers, and services, and to cut and paste these objects into firewall rules.
The first object you create should represent your firewall. Click on the New Object icon (it looks like a sheet of paper) and select New Firewall from the drop-down menu. Give your firewall a name (I called mine `my_firewall`), select PF from the drop-down menu of firewall software, and click Next. Keep the default to Configure interfaces manually, and press Next. You should see a screen like Figure 1.
Be sure to Add the interface information for each NIC in your computer as well as the loopback. If your firewall will protect only your personal computer, you need only one physical NIC installed in your computer. If you wish your computer to provide NAT to other computer(s) on your home network, you need to have two NICs installed.
If your ISP assigns you a DHCP address, check the Dynamic address option. Otherwise, enter your static IP address and subnet mask.
To determine the FreeBSD names of your interfaces as well as the associated IP addressing information, type: see Listing 1.
With my information, I entered into the New Firewall screen; see Listing 2.
When choosing a label, `external` is good for the NIC you use to access the internet, and `internal` is good for the NIC attached to your home network. If you need to add a static subnet mask, you must first convert that hex number (`0xffffff00`, for example) to decimal. Ignore the `0x`, as that simply indicates a hex number. What remains is four pairs of numbers: `ff ff ff 00`. `ff` is easy; it represents `255`; and `00` represents `0`. So this mask is: `255.255.255.0`. If you have a pair that isn’t an `ff` or a `00`, use the conversions in Table 1.
Note to users of modems: your interface name will be either `ppp0` or `tun0`. Running `ifconfig` while connected to the Internet will make it easier to spot your IP address.
Once you’ve entered the information for a NIC, click Add and repeat for each of your NIC(s). When finished, click on the Finish button. If you take a look at your Object tree, it now contains some new objects: one for your firewall and one for each interface you defined.
You have one last change to finish the firewall object – marking one of the interfaces as a Management interface. For a personal firewall, it should be the loopback. Double-click your loopback object and check the Management interface box, then click Apply.
Table 1: Hex Conversion Table
| Hex | Decimal |
|-----|---------|
| 80 | 128 |
| c0 | 192 |
| e0 | 224 |
| f0 | 240 |
| f8 | 248 |
| fc | 252 |
| fe | 254 |
Creating a Simple Firewall Ruleset
You now have everything you need to create a simple firewall ruleset that allows your personal computer to access the internet and prevents anyone on the internet from accessing your computer.
Highlight the Policy object under your firewall, then click on the Rules menu and select Insert Rule (see Figure 2).
Notice that the default rule denies any source from reaching any destination using any TCP/UDP service. To allow the system running the firewall, right-click your firewall object and select Copy. Right-click inside the Source box of the rule and Paste. Your firewall should now show as the source of packets. Next, right-click the Deny word under Action and change it to Accept. In the Options box, right-click and select Logging Off – you don’t want to log every one of your successful packets.
You should always add a comment to remind yourself why you made a rule. If you double-click on the box, you can type in your comment. I wrote: allow my computer to access the internet.
That one rule is enough to give you a working firewall. If you want, you can add a second rule. With your existing rule highlighted, click on the Rules menu and select Add Rule Below. Add a comment: deny all other traffic.
If you don’t plan on looking at your firewall logs, turn off logging in the Options box.
Note that this second rule isn’t necessary for this setup, because the pf firewall assumes you want to deny any traffic you didn’t explicitly accept. This is known as an implicit deny. You may find it useful to add the rule with a comment to remind you of this behavior.
Tip: A quick administrator’s trick is to add this rule only when you are troubleshooting a problem and to leave the Logging option on.
Installing your Firewall Rules
You’ve just created a firewall ruleset, but it won’t start working until you install it.
First, you need to configure sshd to allow the superuser to connect and install the firewall rules. By default, FreeBSD doesn’t allow superuser ssh sessions. Change this default by typing the next line very carefully and double-checking your upper- and lowercase and your >> before pressing enter:
```
# echo "PermitRootLogin yes" >> /etc/ssh/sshd_config
```
Don’t worry; no one on the internet will be able to ssh to your computer once you install your firewall rules.
Next, tell sshd about that change:
```
# /etc/rc.d/sshd reload
```
Reloading sshd config files.
If you see an error:
```
sshd not running? (check /var/run/sshd.pid).
```
use this command instead:
```
# /etc/rc.d/sshd start
```
Starting sshd.
Double-check that sshd is running with:
```
# /etc/rc.d/sshd status
```
sshd is running as pid 5467.
Next, select Install from the Rules menu. Make sure both boxes are checked to Compile and Install the firewall. Click Next which will prompt you to select a filename and location to save your fwbuilder policy (it will end in a .fwb extension). In the next men, enter root for the username and type in the password for your superuser account.
Figure 2. Inserting a rule
Review the options, then press OK. You should receive a New RSA key message:
You are connecting to the firewall my_firewall for the first time. It has provided you its identification in a form of its host public key. The fingerprint of the host public key is:
b6:76:30:aa:01:27:64:48:3b:18:28:18:5b:c9:ae:e4
You can save the host key to the local database by pressing YES, or you can cancel connection by pressing NO. You should press YES only if you are sure you are really connected to the firewall my_firewall.
It is safe to press Yes because you know you are connecting to your own firewall. However, it is good to know how to check a host’s fingerprint in case you ever connect to a remote FreeBSD system:
```
# ssh-keygen -l -f /etc/ssh/ssh_host_dsa_key.pub
1024
b6:76:30:aa:01:27:64:48:3b:18:28:18:5b:c9:ae:e4
```
Note: You will only need to verify the fingerprint the very first time you install your firewall.
Once you click Yes, the policy will be installed and should indicate a Progress of Success. Your firewall is now running.
Note: The installation may fail if `pf` is already running. Try running the command `pfctl -d` to disable the firewall and then retry the Install from the Rules menu again.
**Controlling the Firewall**
Use the `pfctl` (pf control) command to see what’s happening with your firewall and to stop and start the firewall. Use the show switch (`-s`) to view the rules currently running on the firewall:
```
# pfctl -s rules
pass out quick inet from (xl0) to any flags S/SA keep state
label "RULE 0 -- ACCEPT "
block drop quick inet all label "RULE 1 -- DROP "
block drop quick inet all label "RULE 10000 -- DROP "
```
If you compare that text to the rules you made in `fwbuilder`, you’ll recognize rules 0 and 1. Rule 10000 is that implicit deny rule.
If you ever wish to stop your firewall, use the disable switch:
```
# pfctl -d
```
To restart the firewall, specify the name of your ruleset. It will be in `/etc` and have the same name as your firewall. In my case, it is in `/etc/my_firewall.conf`. To start this firewall, I use `pfctl` at the command line to load the rules and enable the packet filter:
```
# pfctl -e -f /etc/my_firewall.conf
```
Alternatively, I can right-click the firewall in the Objects tree and choose Install from the drop-down menu.
Note: If you added the line to `/etc/rc.conf` mentioned at the beginning of this section, add another line to load your ruleset if you reboot your computer:
```
pf_rules="/etc/my_firewall.conf"
```
where `my_firewall.conf` is the name of your ruleset. It is always a good idea to run `pfctl -s` rules after a reboot to double-check that your firewall is running.
**Conclusion**
I’ve demonstrated how to make a personal firewall that protects your system while allowing you to access the internet. The next section will show you how to install a NAT policy with `fwbuilder` and explore some of its other features.
---
**Original Article:**
http://www.onlamp.com/pub/a/bsd/2006/08/03/FreeBSDBasics.html
---
**DRU LAVIGNE**
*Dru Lavigne is a network and systems administrator, IT instructor, author and international speaker. She is author of O’Reilly’s FreeBSD Basics column and the books BSD Hacks, The Best of FreeBSD Basics and the Definitive Guide to PC-BSD.*
*She is currently the Editor-in-Chief of the Open Source Business Resource, a free monthly publication covering open source and the commercialization of open source assets. She is founder and Chair of the BSD Certification Group Inc., a non-profit organization with a mission to create a standard for certifying BSD system administrators. Dru is a Director at the FreeBSD Foundation.*
MOBILE EXPLOITATION
PRIVACY KEEPING AND EXPLOITATION METHODS
EXPLOITING NULL POINTER DEREFERENCES
MOVEMENT ON THE MOBILE EXPLOIT FRONT
METHODS OF SECRECY
BRUTE FORCING USER NAMES
DATA MINING AS A TOOL FOR SECURITY
MOBILE WEB:
PRIVACY KEEPING AND EXPLOITATION METHODS
INTELLIGENCE REPORT:
ANALYSIS OF A SPEAR PHISHING ATTACK
VIDEOJAKING:
MULTIPLE IP VIDEO CALLS
APPLICATIONS ON THE CD
CERTIFIED WIRELESS NETWORK ADMINISTRATOR TRAINING BY SECOURITORG
DOUBLE ANTI-SPY PRO TRIAL
WIRELESS SECURITY WITH WEP AND WPA
A LOOK AT THE MALWARE TRENDS EXPECTED IN 2010 BY JULIAN EVANS
OpenBSD
Some Interesting One Floppy Systems
One floppy systems are very practical, as they usually have a specific goal, which cannot be said about all Live CD's.
What you will learn...
- Readers will learn something about how to use serial console in OpenBSD, how embedded systems can be made, or what is a transparent firewall.
What you should know...
- how to setup network connections with `ifconfig`
- they should read manual pages of some important OpenBSD commands (pfctl, disklabel, fdisk, etc.)
To configure OpenBSD installed on your hard disk as router, you must make some configurations; with a floppy system already designed to work as router no such configuration is needed (except for the most basic one like putting the proper names of network devices into configuration files). Such a diskette is portable and easy to use. You may, too, have other wishes – an MP3 player on a diskette, or even a transparent firewall.
I am the author of SONaFR and KarmaBSD – two quite interesting one floppy systems. MaheshaBSD is a bit larger project of mine, but I already wrote an article about this LiveCD in the May issue of the BSD Magazine. SONaFR is a router based on OpenBSD 4.1 and the latter one (KarmaBSD aka 1FCD-OpBSD) is a one floppy MP3 player with a number of possibilities I describe later.
**SONaFR**
There are not many one floppy OpenBSD routers or firewalls and my project usually always appears on the top in Google with keywords like: one – floppy – router – OpenBSD. Another floppy router is fdgw ([http://www.fml.org/software/fdgw/](http://www.fml.org/software/fdgw/)), but it is based on NetBSD. One of the best one floppy OpenBSD projects is foaf (Floppy OpenBSD Firewall) ([http://www.theapt.org/openbsd/firewall.html](http://www.theapt.org/openbsd/firewall.html)).
**How to use SONaFR**
This floppy distro has a minimal kernel. You must have two network interface cards (NIC's) in a computer where you use this floppy. To see all the network cards available on your system, type:
```
ifconfig (from within SONaFR after it boots).
```
To see all the cards that the SONaFR kernel supports, type:
```
more etc/cards
```
The configuration scripts of SONaFR (for example, `/etc/pf.conf`) may be immediately used in any OpenBSD hard disk installation for firewall/router purposes; thus anybody can learn how to configure the OpenBSD packet filter.
**Transparent Firewall**
This thing may also be used as a transparent firewall (invisible firewall). If you have a computer with two NIC's (the third NIC may be used only for a SSH login with purpose to control such a transparent firewall) and you move data from one network card to another one via a bridge (without IP addresses), you work on the OSI layer 2 model (data link); thus, if you move...
data this way over firewall, the advantage is that you may put such a firewall anywhere – you can split any network segment without needing to configure anything (except for the transparent firewall). Such a firewall is very quick, as no decisions need to be made with respect to IP addresses a normal firewall always requires. Bandwidth, too, may be easily reduced (with use of ALTQ – ALTerate Queueing framework for BSD UNIX).
A good (and quick) overview of transparent firewalls in OpenBSD with tips and setup requirements can be found here: http://www.dalantech.com/fusionbb/showtopic.php?tid/71026/pid/71026/post/last/m/1/.
First, you must create the bridge (type the following command from within SONaFR):
```
ifconfig bridge0 create
```
Then activate the bridge:
```
brconfig bridge0 add r10 add r12 up
```
(replace “r10” and “r12” with real network devices present on your system.)
To activate the transparent firewall, you have to run the pfctl command (for packet filtering; the `/etc/pf.conf` file needs to be edited if you have special requirements; SONaFR has a little editor for such a purpose, just type `mg`):
```
pfctl -f /etc/pf.conf
```
The behavior of such a firewall depends on rules defined in the `/etc/pf.conf` file.
To run SONaFR, your minimal requirements must be at least 9.5 MB of RAM and a Pentium (486 too) computer with two network cards and a working diskette drive. However, the SONaFR’s ability to detect all possible network cards (NIC’s) is limited. This is because the system has a minimalist kernel.
The `/etc/pf.conf` file in SONaFR works immediately. If you have more requirements, look into pf (Packet Filter) Internet tutorials and edit the `pf.conf` file appropriately. The purpose of this distribution was to bring something quick and easy-to-use. The only thing that the user must do is to substitute the `nfe0` and `r10` entries in the SONaFR’s `pf.conf` file with network devices on his or her system (`/etc/pf.conf`):
```
IntIf="nfe0"
ExtIf="r10"
```
**KarmaBSD**
I often meet with broken notebooks on which the CD-ROM or floppy drive does not work. It is a pity to discard such a notebook. If some sensitive data lies on its disk and the computer’s hard drive does not boot, you will hardly find a BSD tool with use of which you can copy and save data from such a notebook’s USB port to a USB hard drive (or stick). You may oppose that there is quite a number of BSD Live CD’s today. But if the CD-ROM drive on such a notebook is broken, such an argument does not have any weight.
KarmaBSD supports mounting of a number of disk formats:
- Type of medium: USB; CD-ROM/DVD; network
- Format: NTFS; ISO9660; EXT2FS; FAT MSDOS file systems; UDF; NFS file system (network)
**How to prepare a disk**
KarmaBSD, too, has the OpenBSD’s base system tools such as newfs, disklabel, fdisk, etc., so if the hard drive (and the CD-ROM drive, too) on your notebook is broken, you may insert a new one into it and prepare your MSDOS partition, for example:
```
fdisk -e wd0
```
then type:
```
print (or help to learn more); then:
```
```
edit0 (if 0 is the partition you want to edit); then: 04 (for DOS FAT16), or 0B or 0C (both for FAT32), or A6 (for OpenBSD), A5 (for FreeBSD), A9 (for NetBSD), 83 (for Linux), 82 (for Linux swap). After you specify the operating system, type quit to save changes.
```
Finally, the partition needs one more thing – a format. To make the FAT32 format on your hard drive, type:
```
newfs_msdos -F 32 /dev/rwd0i
```
**How to mount disks**
To mount any drive (NTFS drive, for example), type:
```
disklabel wd0
```
or
```
disklabel sd0 (USB disk)
```
You will then see all available partitions marked with letters like j, k, l, m.
If you type:
```
mount_ntfs /dev/wd0j /mnt
```
your NTFS partition (:) will be mounted to the `/mnt` directory (as read only).
**Serial console**
This mini BSD also supports serial console (capturing output of a remote computer's screen to the screen of the local computer over a serial cable). Type:
```
set tty com0
```
at the boot prompt when KarmaBSD starts; then on your desktop computer (not the one on which KarmaBSD runs) type:
```
tip tty00
```
This way you can control any computer that has a broken keyboard or display (a very common failure with notebooks). Instead of the command `tip tty00` you must type in another OpenBSD box, you may use Putty, a free program also available for Windows.
**The most important thing – music**
KarmaBSD, too, can work as a one floppy MP3 player, as the purpose of this thing was to maximally utilize broken notebooks (computers). MP3 files can be played over network, too (NFS). It is all very simple. From within KarmaBSD you just type:
```
1
```
The script (: for `/dev/cd0a`, or 2 for `/dev/cd1a`) will mount your CD with MP3 files, it will create a playlist in `/tmp`, and with use of mpg123 you will automatically listen to hours of never-ending music or audiobooks by pressing one single key (1).
**How to put these floppy systems on a CD**
Today, when floppy drives gradually disappear from computers, both these one floppy systems may be quite easily put on a CD: to make the ISO image of any bootable diskette, just type `dd` (to copy the diskette's contents to a file – `floppy.fs` in our case); if you download the image of KarmaBSD or SONaFR, you do not have to do this, as you will have the same image you will create with the following command, but in case you first try the floppy, it may also be handy to do it this way):
```
dd if=/dev/fd0a of=floppy.fs
```
Then run:
```
mkisofs -b floppy.fs -c boot.cat -R -v -o /bootableCDFromFloppy.iso .
```
(do not worry if "boot.cat" is not available)
The dot (.) at the end of the above `mkisofs` command is for the current directory, so you must run this command in the (current) directory where the `floppy.fs` file resides. If `floppy.fs` is in the `/flp` directory, for example (or use: `dd if=/dev/fd0a of=/flp/floppy.fs`), cd to it (`cd /flp`) and run the `mkisofs` command as you see above.
The two above-mentioned one floppy systems can be thus used on a CD. To use multiboot, apply the `-eltorito-alt-boot` option to `mkisofs`.
**How to add packages to KarmaBSD (or SONaFR)**
KarmaBSD is reviewed on the following forum: [http://www.daemonforums.org/showthread.php?p=3092](http://www.daemonforums.org/showthread.php?p=3092).
The writer of the text in the above forum is interested to know how to add applications into KarmaBSD but does not know how, so I decided to add this information here.
As some people think (as the author of the text in the forum) that it is a complication to install OpenBSD 4.1 today – when the version 4.7 of OpenBSD is already available and the version 4.1 is rather quite old, I decided to publish a solution how packages can be instantly (and easily) transported from any OpenBSD (or FreeBSD) system to any OpenBSD (or FreeBSD, NetBSD, etc.) system. The solution is to compile packages statically. What does it mean?
Ports and the base system
Before you compile packages (from ports), you may decide to add the `--enable-static` option to your makefiles. Without this, the result of compilation (binary application) of packages on OpenBSD 4.4, for example, depends always on this system’s libraries. Every compilation is made against these global libraries (OpenBSD 4.7, FreeBSD 8.0, etc). Thus, if you compile packages in OpenBSD 4.7, which has different versions of libraries than OpenBSD 4.6, 4.5, etc., you cannot use these binaries in other versions of OpenBSD.
Static versus dynamic
The concept of the shared (dynamic) libraries (when many programs use certain libraries) started on the premise of saving space. But today, when a 40 GB hard drive is cheaper than ice cream in a very good European restaurant, the philosophy to save a few dozens of megabytes is, on the other hand, a very big barrier to portability of packages (if libraries are embedded in binary packages, you may use such binaries almost in any version of the system they were built for).
Programs (and sources) contained in the base system (fdisk, ifconfig, chmod, etc.) are also dependent on the kernel they are distributed with. If you deal with sources of ifconfig (or ee editor in FreeBSD) in OpenBSD 4.7, for example, you must compile them against the OpenBSD 4.7 kernel.
This is a very important hint, as we must differentiate compilation of sources from 1) the base system (binaries are not easily transportable) and from 2) ports (add-on packages). The `--enable-static` option in your makefiles must only be used in source files that are not kernel-version dependent (`/usr/ports`).
Base system tools like fdisk, mount, ifconfig, etc., are kernel(system)-version dependent (like OpenBSD 4.7) and although they, too, can be compiled statically, using them with a different kernel would bring a number of system failures.
However, packages (in `/usr/ports`), i.e. binaries of ports compiled on OpenBSD 4.5, for example, are only library dependent (they require shared libraries used in OpenBSD 4.5), but not kernel dependent. They cannot be used on other versions of OpenBSD only because they were compiled against libraries that are missing in other versions of OpenBSD. To solve the issue (backward compatibility), you may install the so-called compatibility libraries. But if you work with a small floppy (or CD) system, it is a bit hard to install such compatibility libraries into the floppy (or minimal CD) environment. To solve this, compile packages (in `/usr/ports`) statically.
When you compile your sources this way (statically), the system’s libraries get embedded into the resulting binaries. Packages (not the base system) statically compiled on OpenBSD 4.5, for example, will run on any OpenBSD system including KarmaBSD. The binary of mpg123 in KarmaBSD was compiled statically too.
As most floppy systems are space limited, the best way is to make some additional room in memory and then copy such a statically compiled binary there from another floppy.
KarmaBSD and SONaFR run in memory, too, so their floppies, after you boot with them, can be taken out.
To prepare a memory file system in KarmaBSD, type (the number 4917 may vary in dependence of free RAM):
```
mount_mfs -s 4917 -o async,nosuid,nodev,noatime swap /mnt
```
The above two floppy systems can be downloaded here:
- SONaFR – [http://www.freebsd.nfo.sk/opbsd/openbsdeng.htm](http://www.freebsd.nfo.sk/opbsd/openbsdeng.htm)
- KarmaBSD – [http://www.freebsd.nfo.sk/opbsd/karmabsdeng.htm](http://www.freebsd.nfo.sk/opbsd/karmabsdeng.htm)
They both were made with crunchgen. A crunched binary (result of crunchgen) is a program (kernel/system-version dependent) made up of many other programs (like fdisk, mount, chown, ifconfig, etc.) and libraries linked together into a single executable. The crunchgen utility is a tool that will make this binary. It is available on all BSD systems. And because it builds programs like fdisk, disklabel, mount, etc., from the heart of OpenBSD (or FreeBSD, etc.), you need sources of the base system.
My first project was 1FCDBSD – One Floppy MP3 and CD Player (KarmaBSD does not have a player for standard audio CD’s). 1FCDBSD is based on FreeBSD 4.5. As I made a very handy multiboot CD with 1FCDBSD, SONaFR, and KarmaBSD, I am also happy that I can provide its download link. I thank www.rootbsd.net for allowing me to distribute my projects: ftp://2227.x.rootbsd.net/bsd-multiboot.iso
JURAJ SIPOS
Remote Installation of the FreeBSD Operating System without a Remote Console
This article documents the remote installation of the FreeBSD operating system when the console of the remote system is unavailable. The main idea behind this article is the result of a collaboration with Martin Matuska email@example.com with valuable input provided by Pawel Jakub Dawidek firstname.lastname@example.org.
What you will learn…
• you should have a network accessible operating system with SSH access
• understand the FreeBSD installation process
• be familiar with the sysinstall(8) utility
• have the FreeBSD installation ISO image or CD handy
What you should know…
• you will know how to remotely install (using SSH) a FreeBSD system from within other operating system, such as Linux. It covers an advanced installation procedure with which one can replace Linux installation with FreeBSD OS.
There are many server hosting providers in the world, but very few of them are officially supporting FreeBSD. They usually provide support for a Linux® distribution to be installed on the servers they offer.
In some cases, these companies will install your preferred Linux distribution if you request it. Using this option, we will attempt to install FreeBSD. In other cases, they may offer a rescue system which would be used in an emergency. It’s possible to use this for our purposes as well.
This article covers the basic installation and configuration steps required to bootstrap a remote installation of FreeBSD with RAID-1 and ZFS capabilities.
Introduction
This section will summarize the purpose of this article and better explain what is covered herein. The instructions included in this article will benefit those using services provided by colocation facilities not supporting FreeBSD.
As we have mentioned in the Background section, many of the reputable server hosting companies provide some kind of rescue system, which is booted from their LAN and accessible over SSH. They usually provide this support in order to help their customers fix broken operating systems. As this article will explain, it is possible to install FreeBSD with the help of these rescue systems.
The next section of this article will describe how to configure, and build minimalistic FreeBSD on the local machine. That version will eventually be running on the remote machine from a ramdisk, which will allow us to install a complete FreeBSD operating system from an FTP mirror using the sysinstall utility.
The rest of this article will describe the installation procedure itself, as well as the configuration of the ZFS file system.
Requirements
To continue successfully, you must:
• Have a network accessible operating system with SSH access
• Understand the FreeBSD installation process
• Be familiar with the sysinstall(8) utility
• Have the FreeBSD installation ISO image or CD handy
Preparation – mfsBSD
Before FreeBSD may be installed on the target system, it is necessary to build the minimal FreeBSD operating system image which will boot from the hard drive. This way the new system can be accessed from the network, and the rest of the installation can be done without remote access to the system console.
Carry the card that supports BSD events around the world
BSD Fund is proud to sponsor of BSDCan 2010 and meetBSD California 2010 thanks to revenue from the BSD Fund Visa. A donation is made every time you use the card and simply charging your travel to an event can help sponsor that event.
BSD Fund also raises money through direct donations on behalf of BSD projects such as the pcc compiler.
Find out more at www.bsdfund.org
BSD Fund Visa currently available in the USA • BSD Fund is a 501(c)(3) nonprofit organization
The mfsBSD tool-set can be used to build a tiny FreeBSD image. As the name of mfsBSD suggests (mfs means memory file system), the resulting image runs entirely from a ramdisk. Thanks to this feature, the manipulation of hard drives will not be limited, therefore it will be possible to install a complete FreeBSD operating system. The home page of mfsBSD, at http://people.freebsd.org/~mm/mfsbsd/, includes pointers to the latest release of the toolset.
Please note that the internals of mfsBSD and how it all fits together is beyond the scope of this article. The interested reader should consult the original documentation of mfsBSD for more details.
Download and extract the latest mfsBSD release and change your working directory to the directory where the mfsBSD scripts will reside:
```
# fetch http://people.freebsd.org/~mm/mfsbsd/mfsbsd-latest.tar.gz
# tar xvzf mfsbsd-1.0-beta3.tar.gz
# cd mfsbsd-1.0-beta3/
```
**Configuration of mfsBSD**
Before booting mfsBSD, a few important configuration options have to be set. The most important that we have to get right is, naturally, the network setup. The most suitable method to configure networking options depends on whether we know beforehand the type of the network interface we will use, and the network interface driver to be loaded for our hardware. We will see how mfsBSD can be configured in either case.
Another important thing to set is the root password. This can be done by editing the conf/rootpw.conf file. Please keep in mind that the file will contain your password in the plain text, thus we do not recommend to use real password here. Nevertheless, this is just a temporary one-time password which can be later changed in a live system.
**The conf/interfaces.conf method**
When the installed network interface card is unknown, we can use the auto-detection features of mfsBSD. The startup scripts of mfsBSD can detect the correct driver to use, based on the MAC address of the interface, if we set the following options in conf/interfaces.conf:
```
initconf_interfaces="ext1"
initconf_mac_ext1="00:00:00:00:00:00"
initconf_ip_ext1="192.168.0.2"
initconf_netmask_ext1="255.255.255.0"
```
Do not forget to add the defaultrouter information to the conf/rc.conf file:
```
defaultrouter="192.168.0.1"
```
**The conf/rc.conf method**
When the network interface driver is known, it is more convenient to use the conf/rc.conf file for networking options. The syntax of this file is the same as the one used in the standard rc.conf(5) file of FreeBSD.
For example, if you know that a re(4) network interface is going to be available, you can set the following options in conf/rc.conf:
```
defaultrouter="192.168.0.1"
ifconfig_re0="inet 192.168.0.2 netmask 255.255.255.0"
```
**Building an mfsBSD image**
The process of building an mfsBSD image is pretty straightforward.
The first step is to mount the FreeBSD installation CD, or the installation ISO image to /cdrom. For the sake of example, in this article we will assume that you have downloaded the FreeBSD 8.0-RELEASE ISO. Mounting this ISO image to the /cdrom directory is easy with the mdconfig(8) utility:
```
# mdconfig -a -t vnode -u 10 -f 8.0-RELEASE-amd64-discl.iso
# mount_cd9660 /dev/md10 /cdrom
```
Next, build the bootable mfsBSD image:
```
# make BASE=/cdrom/8.0-RELEASE
```
Note: The above make command has to be run from the top level of the mfsBSD directory tree, i.e. ./mfsbsd-1.0-beta3/.
**Booting mfsBSD**
Now that the mfsBSD image is ready, it must be uploaded to the remote system running a live rescue system or pre-installed Linux® distribution. The most suitable tool for this task is scp:
```
# scp disk.img email@example.com:.
```
To boot mfsBSD image properly, it must be placed on the first (bootable) device of the given machine. This may be accomplished using this example providing that sda is the first bootable disk device:
```
# dd if=/root/disk.img of=/dev/sda bs=lm
```
If all went well, the image should now be in the MBR of the first device and the machine can be rebooted. Watch for
the machine to boot up properly with the `ping(8)` tool. Once it has come back on-line, it should be possible to access it over `ssh(1)` as user root with the configured password.
**Installation Of The FreeBSD Operating System**
The mfsBSD has been successfully booted and it should be possible to log in through `ssh(1)`. This section will describe how to create and label slices, set up `gmirror` for RAID-1, and how to use `sysinstall` to install a minimal distribution of the FreeBSD operating system.
**Preparation of Hard Drives**
The first task is to allocate disk space for FreeBSD, i.e.: to create slices and partitions. Obviously, the currently running system is fully loaded in system memory and therefore there will be no problems with manipulating hard drives. To complete this task, it is possible to use either `sysinstall` or `fdisk(8)` in conjunction to `bsdlabel(8)`.
At the start, mark all system disks as empty. Repeat the following command for each hard drive:
```
# dd if=/dev/zero of=/dev/ad0 count=2
```
Next, create slices and label them with your preferred tool. While it is considered easier to use `sysinstall`, a powerful and also probably less buggy method will be to use standard text-based UNIX® tools, such as `fdisk(8)` and `bsdlabel(8)`, which will also be covered in this section. The former option is well documented in the Installing FreeBSD chapter of the FreeBSD Handbook. As it was mentioned in the introduction, this article will present how to set up a system with RAID-1 and ZFS capabilities. Our set up will consist of a small `gmirror(8)` mirrored `/root`, `/usr` and `/var` file systems, and the rest of the disk space will be allocated for a `zpool(8)` mirrored ZFS file system. Please note, that the ZFS file system will be configured after the FreeBSD operating system is successfully installed and booted.
The following example will describe how to create slices and labels, initialize `gmirror(8)` on each partition and how to create a UFS2 file system in each mirrored partition:
```
# fdisk -Bl /dev/ad0 1
# fdisk -Bl /dev/ad1
# bsdlabel -wB /dev/ad0s1 2
# bsdlabel -wB /dev/ad1s1
# bsdlabel -e /dev/ad0s1 3
# bsdlabel /dev/ad0s1 > /tmp/bsdlabel.txt && bsdlabel -R /dev/ad1s1 /tmp/bsdlabel.txt 4
# gmirror label root /dev/ad[01]s1a 5
# gmirror label var /dev/ad[01]s1d
# gmirror label usr /dev/ad[01]s1e
# gmirror label -F swap /dev/ad[01]s1b 6
# newfs /dev/mirror/root 7
# newfs /dev/mirror/var
# newfs /dev/mirror/usr
```
1. Create (http://www.freebsd.org/doc/en_US.ISO8859-1/articles/remote-install/installation.html#FDISK) a slice covering the entire disk and initialize the boot code contained in sector 0 of the given disk. Repeat this command for all hard drives in the system.
2. Write (http://www.freebsd.org/doc/en_US.ISO8859-1/articles/remote-install/installation.html#BSDLABEL-WRITING) a standard label for each disk including the bootstrap code.
3. Now (http://www.freebsd.org/doc/en_US.ISO8859-1/articles/remote-install/installation.html#BSDLABEL-EDITING), manually edit the label of the given disk. Refer to the `bsdlabel(8)` (http://www.freebsd.org/cgi/man.cgi?query=bsdlabel&sektion=8) manual page in order to find out how to create partitions. Create partitions a for `/root` file system, b for swap, d for `/var`, e for `/usr` and finally f which will later be used for ZFS.
4. Import (http://www.freebsd.org/doc/en_US.ISO8859-1/articles/remote-install/installation.html#BSDLABEL-RESTORE) the recently created label for the second hard drive, so both hard drives will be labeled in the same way.
5. Initialize (http://www.freebsd.org/doc/en_US.ISO8859-1/articles/remote-install/installation.html#GMIRROR1) `gmirror(8)` (http://www.freebsd.org/cgi/man.cgi?query=gmirror&sektion=8) on each partition.
6. Note (http://www.freebsd.org/doc/en_US.ISO8859-1/articles/remote-install/installation.html#GMIRROR2) the `-F` option used for swap partition. This instructs `gmirror(8)` (http://www.freebsd.org/cgi/man.cgi?query=gmirror&sektion=8) to assume that the device is in the consistent state after the power/system failure.
7. Create (http://www.freebsd.org/doc/en_US.ISO8859-1/articles/remote-install/installation.html#NEWFS) a UFS2 file system on each mirrored partition.
**System Installation**
This is the most important part. This section will describe how to actually install the minimal distribution of FreeBSD on the hard drives that we have prepared in the previous section. To accomplish this goal, all file systems need to be mounted so `sysinstall` may write the contents of FreeBSD to the hard drives:
```
# mount /dev/mirror/root /mnt
# mkdir /mnt/var /mnt/usr
```
# mount /dev/mirror/var /mnt/var
# mount /dev/mirror/usr /mnt/usr
When you are done, start sysinstall(8). Select the Custom installation from the main menu. Select Options and press Enter. With the help of arrow keys, move the cursor on the Install Root item, press Space and change it to /mnt. Press Enter to submit your changes and exit the Options menu by pressing q.
Warning: Note that this step is very important and if skipped, sysinstall will be unable to install FreeBSD.
Go to the Distributions menu, move the cursor with the arrow keys on the Minimal option, and check it by pressing Space. This article uses the Minimal distribution in order to save network traffic, because the system itself will be installed over ftp. Exit this menu by choosing Exit option.
Note: The Partition and Label menus will be skipped, as these are useless now.
In the Media menu, select FTP. Select the nearest mirror and let sysinstall assume that the network is already configured. You will be returned back to the Custom menu. Finally, perform the system installation by selecting the last option, Commit. Exit sysinstall when it finishes the installation.
Post Installation Steps
The FreeBSD operating system should be installed now; however, the process is not finished yet. It is necessary to perform some post installation steps in order to allow FreeBSD to boot in the future and to be able to log in to the system. You must now chroot(8) into the freshly installed system in order to finish the installation. Use the following command:
# chroot /mnt
To complete our goal, perform these steps:
- Copy the GENERIC kernel to the /boot/kernel directory:
# cp -Rp /boot/GENERIC/* /boot/kernel
- Create the /etc/rc.conf, /etc/resolv.conf and /etc/fstab files. Do not forget to properly set the network information and to enable sshd in the /etc/rc.conf file. The contents of the /etc/fstab file will be similar to the following:
| Device | Mountpoint | FStype | Options | Dump | Pass# |
|--------------|------------|--------|---------|------|-------|
| /dev/mirror/swap | none | swap | sw | 0 | 0 |
| /dev/mirror/root | / | ufs | rw | 1 | 1 |
| /dev/mirror/usr | /usr | ufs | rw | 2 | 2 |
| /dev/mirror/var | /var | ufs | rw | 2 | 2 |
| /dev/cd0 | /cdrom | cd9660 | ro,nosauto | 0 | 0 |
- Create the /boot/loader.conf file, with the following contents:
geom_mirror_load="YES"
zfs_load="YES"
- Perform the following command, which will make ZFS available on the next boot:
# echo 'zfa_enable="YES"' >> /etc/rc.conf
- Add additional users to the system using the adduser(8) tool. Do not forget to add a user to the wheel group so you may obtain root access after the reboot.
- Double-check all your settings.
The system should now be ready for the next boot. Use the reboot(8) command to reboot your system.
ZFS
If your system survived the reboot, it should now be possible to log in. Welcome to the fresh FreeBSD installation, performed remotely without the use of a remote console!
The only remaining step is to configure zpool(8) and create some zfs(8) file systems. Creating and administering ZFS is very straightforward. First, create a mirrored pool:
# zpool create tank mirror /dev/ad[01]s1f
Next, create some file systems:
# zfs create tank/ports
# zfs create tank/src
# zfs set compression=gzip tank/ports
# zfs set compression=on tank/src
# zfs set mountpoint=/usr/ports tank/ports
# zfs set mountpoint=/usr/src tank/src
That’s all. If you are interested in more details about ZFS on FreeBSD, please refer to the ZFS (http://wiki.freebsd.org/ZFS) section of the FreeBSD Wiki.
DANIEL GERZO
I am a FreeBSD user and enthusiast since around 2003. I received a documentation commit bit in 2006 which makes me a FreeBSD developer as well. I am living in central Europe, the capital of Slovakia – Bratislava. I currently study Computer science at the Slovak University of Technology. I also own a small company providing consultancy, administration, and other IT services for FreeBSD servers.
11th Libre Software Meeting
Free Admission
Bordeaux - Pessac - Talence
July 6th - 11th, 2010
Tuesday 6 to Friday 9: Enseirb-Matmeca and Université Bordeaux 1
Saturday 10 and Sunday 11: Central Bordeaux
And also lots of events all around Bordeaux metropolitan area and Aquitaine
Accessibility - Sustainable development
Free art and culture - Science and education - Technology - Corporate - Administration and public policies
Live on...
Radio RMLL
http://radio.rmll.info
OpenBSD
as a Mail Server
In a previous document, we built redundant firewalls using the CARP and PFSYNC protocols; these were the first building blocks of a hypothetical, OpenBSD-based, small private network that we are going to build step by step across several documents.
What you will learn…
• Installing a full-featured mail server
• Basic mail server security
What you should know…
• A good knowledge of OpenBSD administration
• Basic MySQL database administration
Now that we have raised the defensive walls of our network, it’s time to think about the services we want to provide. Offering a reliable and secure email service is probably one of the top priorities of most system administrators; therefore, in the next chapters, we will build a full-featured mail server, based on open-source software and focusing on security. The following is the list of the pieces of software we will use:
OpenBSD
http://www.openbsd.org/ – the secure by default operating system, with only two remote holes in the default install, in a heck of a long time!;
Postfix
http://www.postfix.org/ – an MTA that started life at IBM research as an alternative to the widely-used Sendmail (http://www.sendmail.org/) program and which attempts to be fast, easy to administer, and secure;
MySQL
http://www.mysql.com/ – the world’s most popular open source database;
Courier-IMAP
http://www.courier-mta.org/imap/ – a fast, scalable, enterprise IMAP server that supports MySQL and maildirs;
Figure 1. Network layout
Cyrus SASL
http://asg.web.cmu.edu/sasl/ – the Cyrus (http://cyrusimap.web.cmu.edu/) implementation of the SASL (http://asg.web.cmu.edu/sasl/) protocol;
Amavisd-new
http://www.ijs.si/software/amavisd/ – a high-performance interface between mailer (MTA) and content checkers (antivirus and antispam), written in Perl and optimized for Postfix;
SpamAssassin
http://spamassassin.apache.org/ – a Perl-based mail filter to identify Spam, using a variety of mechanisms including header and text analysis, Bayesian filtering, DNS blocklists, and collaborative filtering databases;
ClamAV
http://www.clamav.net/ – a fast and easy-to-use open-source virus scanner.
A good knowledge of OpenBSD is assumed, since we won’t delve into system management topics such as base configuration (http://www.openbsd.org/cgi-bin/man.cgi?query=afterboot&sektion=8) or packages/ports (http://www.openbsd.org/faq/faq15.html) installation.
Preliminary installation steps
Before delving into the installation and configuration of all the mail-handling software, we will take a brief look at the operating system that will host it.
As usual, my choice goes to OpenBSD for its proven security, reliability and ease of use. Needless to say, all these features are essential for a system that will have to handle a large volume of email traffic while still making life hard for spammers and malicious users.
We won’t dwell upon the installation procedure here, which is documented in full detail on the OpenBSD web site (http://www.openbsd.org/faq/faq4.html). Just a couple of notes:
• while partitioning the hard drive, bear in mind that we will configure Postfix to use virtual domains (http://www.postfix.org/VIRTUAL_README.html) and, consequently, it will store all users’ mail folders in a single directory (/var/vmail). Therefore, it is recommended to assign a (large) dedicated slice to this filesystem, in order to prevent mails from filling up any critical filesystem, should quotas fail. Furthermore, if you choose to install MySQL on the mail server itself, it is usually recommended to assign one of the first slices to /var/mysql, in order to allow for faster disk access by the database engine;
• the only file sets we will need to install are those marked as required on the documentation (http://www.openbsd.org/faq/faq4.html#FilesNeeded), i.e. bsd (the kernel), baseXX.tgz (the base system), and etcXX.tgz (the configuration files in /etc) plus ccompXX.tgz (the C compiler), since we will also have to install some ports (http://www.openbsd.org/ports.html) not available as precompiled packages for licensing reasons.
Note: since leaving a compiler on a publicly accessible server is a definite security risk, it is recommended that you remove the compiler when the installation is over or that you compile on another machine.
After the first reboot, we can disable some default network services managed by inetd (8) (http://www.openbsd.org/cgi-bin/man.cgi?query=inetd&sektion=8): see Listing 1.
by commenting them out in /etc/inetd.conf (http://www.openbsdorg.com/cgi-bin/man.cgi?query=inetd&sektion=8) and reloading inetd (8) (http://www.openbsdorg.com/cgi-bin/man.cgi?query=inetd&sektion=8):
Listing 1. Default services on OpenBSD
```
$ grep -v ^# /etc/inetd.conf
ident stream tcp nowait _identd /usr/libexec/identd identd -el
ident stream tcp6 nowait _identd /usr/libexec/identd identd -el
127.0.0.1:comsat dgram udp wait root /usr/libexec/comsat comsat
[::1]:comsat dgram udp6 wait root /usr/libexec/comsat comsat
daytime stream tcp nowait root internal
daytime stream tcp6 nowait root internal
time stream tcp nowait root internal
time stream tcp6 nowait root internal
$
```
Listing 2. Postfix configuration
/etc/postfix/main.cf
# Directory containing all the post* commands
command_directory = /usr/local/sbin
# Directory containing all the Postfix daemon programs
daemon_directory = /usr/local/libexec/postfix
# Full pathnames of various Postfix commands
sendmail_path = /usr/local/sbin/sendmail
newaliases_path = /usr/local/sbin/newaliases
mailq_path = /usr/local/sbin/mailq
# Directories containing documentation
html_directory = /usr/local/share/doc/postfix/html
manpage_directory = /usr/local/man
readme_directory = /usr/local/share/doc/postfix/readme
# The owner of the Postfix queue and of most Postfix daemon processes
mail_owner = _postfix
# The group for mail submission and queue management commands
setgid_group = _postdrop
# The myhostname parameter specifies the internet hostname of this mail system. It is used as default for many other configuration parameters (default = system's FQDN)
myhostname = mail.kernel-panic.it
# The internet domain name of this mail system. Used as default for many other configuration parameters (default = $myhostname minus the first component)
mydomain = kernel-panic.it
# The domain name that locally-posted mail appears to come from, and that locally posted mail is delivered to. As you can see, a parameter value may refer to other parameters
myorigin = $myhostname
# Network interface addresses that this mail system receives mail on
inet_interfaces = all
# Network interface addresses that this mail system receives mail on by way of a proxy or NAT unit
proxy_interfaces = router.kernel-panic.it
# List of domains that this machine considers itself the final destination for. Virtual domains must not be specified here
mydestination = $myhostname, localhost.$mydomain, localhost
# List of "trusted" SMTP clients allowed to relay mail through Postfix.
mynetworks = 127.0.0.0/8, 172.16.0.0/24, 172.16.240.0/24
# What destination (sub)domains this system will relay mail to
relay_domains = $mydestination
# The default host to send mail to when no entry is matched in the optional transport(5) table. Square brackets turn off MX lookups
relayhost = [smtp.isp.com]
# List of alias databases used by the local delivery agent
alias_maps = hash:/etc/postfix/aliases
# Alias database(s) built with "newaliases" or "sendmail -bi". This is a separate configuration parameter, because alias_maps may specify tables that are not necessarily all under control by Postfix
alias_database = hash:/etc/postfix/aliases
# SMTP greeting banner
smtpd_banner = $myhostname ESMTP $mail_name
# Postfix is final destination for the specified list of "virtual" domains
virtual_mailbox_domains = kernel-panic.it
# Virtual mailboxes base directory
virtual_mailbox_base = /var/vmail
# Optional lookup tables with all valid addresses in the domains that match # virtual mailbox domains.
virtual_mailbox_maps = hash:/etc/postfix/vmailbox
# The minimum user ID value accepted by the virtual(8) delivery agent
virtual_minimum_uid = 2000
# User ID that the virtual(8) delivery agent uses while writing to the recipient's mailbox
virtual_uid_maps = static:2000
# Group ID that the virtual(8) delivery agent uses while writing to the recipient's mailbox
virtual_gid_maps = static:2000
# Optional lookup tables that alias specific mail addresses or domains to other local or remote address
virtual_alias_maps = hash:/etc/postfix/virtual
Anyway, OpenBSD is considered secure also with those services turned on and the mail server should be placed behind a firewall; nevertheless, I prefer staying on the safe side and disable them all (including `consat(8)` (`http://www.openbsd.org/cgi-bin/man.cgi?query=consat&sektion=8`), since we won't have any interactive user receiving mail on the system).
To modify the server network configuration, please refer to the related chapter (`http://www.kernel-panic.it/openbsd/carp/carp3.html`) in the previous document about redundant firewalls (`http://www.kernel-panic.it/openbsd/carp/`) or to the networking (`http://www.openbsd.org/faq/faq6.html`) FAQ.
**Postfix**
Postfix (`http://www.postfix.org/`) is a MTA (Mail Transport Agent) developed by Wietse Venema (`http://www.porcupine.org/wietse/`) as an alternative to the widely-used Sendmail (`http://www.sendmail.org/`) program. It attempts to be fast, easy to administer, and secure, while at the same time being sendmail compatible enough to not upset existing users. Thus, the outside has a sendmail-ish flavor, but the inside is completely different. Postfix also comes with excellent documentation (`http://www.postfix.org/documentation.html`) and a lot of howtos (`http://www.postfix.org/docs.html`).
Our mail server requirements will be quite simple: it will be final destination solely for its canonical domains (`http://www.postfix.org/docs.html`) and it will only relay mail from systems on the internal network (though we will also consider relaying from untrusted networks by means of SMTP authentication). Canonical domains include the hostname (in our case, `mail.kernel-panic.it`) and the IP address (172.16.240.150) of the machine that Postfix runs on, and the parent domain of the hostname (`kernel-panic.it`).
Canonical domains are usually implemented with the Postfix local domain address class (`http://www.postfix.org/ADDRESS_CLASS_README.html#local_domain_class`), which, unfortunately, has one major drawback for me: it requires that each e-mail account have a corresponding Unix account. On the contrary, I prefer:
1. keeping Unix and e-mail accounts apart and
2. having all mailboxes well-ordered inside a single directory.
Therefore, we will use *Postfix Virtual Domain Hosting* (`http://www.postfix.org/VIRTUAL_README.html`), which is normally used for hosting multiple internet domains on the same server, but will also allow us to achieve our two goals.
**Configuration**
In this paragraph, we will configure Postfix to work standalone, with no back-end database. Then, in the next chapter, when everything will be working fine, we will hook up Postfix to a MySQL database; this will allow us to centrally store configuration information that both Postfix and Courier-IMAP will need to access.
There are a few packages we need to install:
- `mysql-client-x.x.x.tgz`
- `pcxe-x.x.tgz`
- `postfix-x.x.x-mysql.tgz`
Note: if you're planning to use SMTP authentication, you will need to compile Postfix from the ports, because there's no pre-compiled package available with both MySQL and SASL support.
**Listing 3. Replacing Sendmail with Postfix**
```
# /usr/local/sbin/postfix-enable
old /etc/mailer.conf saved as /etc/mailer.conf.pre-postfix
postfix /etc/mailer.conf enabled
NOTE: do not forget to add sendmail_flags="-bd" to /etc/rc.conf.local to startup postfix correctly.
NOTE: do not forget to add "-a /var/spool/postfix/dev/log" to syslogd_flags in /etc/rc.conf.local and restart syslogd.
NOTE: do not forget to remove the "sendmail clientmqueue runner" from root's crontab.
#
```
**Listing 4. Postfix startup commands**
```
/etc/rc.conf.local
# Specify a location where syslogd(8) should place an additional log socket
# for Postfix
syslogd_flags="-a /var/spool/postfix/dev/log"
# Make Postfix start in background and process queued messages every 30 min
sendmail_flags="-bd"
```
The installation will create the `/etc/postfix` directory, containing all the configuration files. Postfix has several hundred configuration parameters that are controlled via the `/etc/postfix/main.cf` file, but don’t worry: for the vast majority of these parameters, the default value is the best option (see `postconf(5)` (http://www.postfix.org/postconf.5.html) for a detailed list of all the available configuration parameters, their description and their default value) and we will only have to override a very small subset of them: see Listing 2.
Listing 5. Testing the basic functionality
```
# chgrp _postdrop /usr/local/sbin/postqueue /usr/local/sbin/postdrop
# chmod 2755 /usr/local/sbin/postqueue /usr/local/sbin/postdrop
# pkill syslogd
# syslogd -a /var/empty/dev/log -a /var/spool/postfix/dev/log
# pkill sendmail
# /usr/local/sbin/sendmail -bd
postfix/postfix-script: starting the Postfix mail system
and test our hard work!
# telnet mail.kernel-panic.it 25
Trying 172.16.240.150...
Connected to mail.kernel-panic.it.
Escape character is '\'.
220 mail.kernel-panic.it ESMTP Postfix
HELO somedomain.org
250 mail.kernel-panic.it
mail from: firstname.lastname@example.org
250 Ok
rcpt to: email@example.com
250 Ok
data
354 End data with <CR><LF>.<CR><LF>
From: firstname.lastname@example.org
To: email@example.com
Subject: Test mail
It works!
.
250 Ok: queued as 548D7286
quit
221 Bye
Connection closed by foreign host.
# tail /var/log/maillog
Dec 16 10 15:26:35 mail postfix/smtpd[29212]:
connect from wsl.lan.kernel-panic.it[172.16.0.15]
Dec 16 15:26:53 mail postfix/smtpd[29212]: 57076222:
client-wsl.lan.kernel-panic.it[172.16.0.15]
Dec 16 15:27:02 mail postfix/cleanup[13428]: 57076222:
message-id=<firstname.lastname@example.org>
Dec 16 15:27:02 mail postfix/qmgr[26776]: 57076222:
from=<email@example.com>,
size=392, nrcpt=1 (queue active)
Dec 16 15:27:02 mail postfix/virtual[14381]: 57076222:
firstname.lastname@example.org,
relay=virtual, delay=15,
delays=15/0.28/0/0.03, dsn=2.0.0,
status=sent (delivered to maildir)
Dec 16 15:27:02 mail postfix/qmgr[26776]: 57076222:
removed
Dec 16 15:27:06 mail postfix/smtpd[29212]:
disconnect from wsl.lan.kernel-panic.it[172.16.0.15]
# cat /var/vmail/kernel-panic.it/d.mazzocchio/new/1118
146014.V319448M811660.mail.kernel-panic.it
Return-Path: <email@example.com>
X-Original-To: firstname.lastname@example.org
Delivered-to: email@example.com
Received: from somedomain.org (wsl.lan.kernel-panic.it [172.16.0.15])
by mail.kernel-panic.it (Postfix) with SMTP id
57076222
for <firstname.lastname@example.org> Sat, 16 Dec
2007 15:26:47 +0100 (CET)
From: email@example.com
To: firstname.lastname@example.org
Subject: Test mail
Message-id: <email@example.com>
Date: Sat, 16 Dec 2007 15:26:47 +0100 (CET)
It works!
```
Let’s take a closer look at some of the above configuration parameters.
One of the goals we had was to avoid having a separate Unix account for each e-mail account. We have achieved this by configuring Postfix to write to the mailboxes using uid 2000 and gid 2000 (see the virtual_uid_maps and virtual_gid_maps parameters above). Now we only have to create a user with this pair of uid and gid:
```
# useradd -d /var/vmail -g -uid -u 2000 -s /sbin/nologin \
> -c "Virtual Mailboxes Owner" -m vmail
```
Our second goal was having all mailboxes grouped together in a single directory; this is achieved by setting the value of the virtual_mailbox_base parameter to the path of that directory (in our configuration, /var/vmail). In matter of fact, this parameter is a prefix that the virtual(8) agent prepends to all pathname results from virtual_mailbox_maps table lookups.
In our configuration, the virtual_mailbox_maps parameter refers to the /etc/postfix/vmailbox file, containing the list of all valid addresses in the virtual domains (virtual_mailbox_domains parameter) and the path to the corresponding mailboxes or maildirs (a mailbox is a single file containing all the emails; a maildir (http://www.qmail.org/man/man5/maildir.html), instead, is a directory, with a defined structure, containing all the emails in separate files):
```
/etc/postfix/vmailbox
firstname.lastname@example.org kernel-panic.it/info/
email@example.com kernel-panic.it/
d.mazzocchio/
[...]
```
Please pay attention to the trailing slashes: they tell Postfix that the pathname refers to a maildir instead of a mailbox file, and maildirs are our only option, since Courier-IMAP doesn’t support mailbox files.
The virtual_alias_maps parameter allows to alias specific mail addresses or domains to other local or remote address. Its value is the pathname to a file (in our case /etc/postfix/virtual) containing the alias mappings:
```
/etc/postfix/virtual
firstname.lastname@example.org email@example.com
firstname.lastname@example.org email@example.com
firstname.lastname@example.org email@example.com
[...]
```
Finally, the /etc/postfix/aliases file contains the addresses to which Postfix will redirect mail for local recipients (see aliases(5), http://www.postfix.org/aliases.5.html). Since many accounts point to root’s email address, you should check root email frequently or forward it all to another account. E.g.:
```
/etc/postfix/aliases
root: firstname.lastname@example.org
MAILER-DAEMON: postmaster
postmaster: root
```
Listing 6. MySQL installation and configuration
```
# /usr/local/bin/mysql_install_db
[ ... ]
# mysqld_safe &
[ ... ]
# /usr/local/bin/mysql_secure_installation
[ ... ]
Enter current password for root (enter for none):
<Enter>
OK, successfully used password, moving on...
[ ... ]
Set root password? [Y/n] Y
New password: root
Re-enter new password: root
Password updated successfully!
[ ... ]
Remove anonymous users? [Y/n] Y
... Success!
[ ... ]
Disallow root login remotely? [Y/n] Y
... Success!
[ ... ]
Remove test database and access to it? [Y/n] Y
- Dropping test database...
... Success!
- Removing privileges on test database...
... Success!
[ ... ]
Reload privilege tables now? [Y/n] Y
... Success!
[ ... ]
#
```
Now we only have to reload Postfix lookup tables:
```
# /usr/local/sbin/postmap /etc/postfix/vmailbox
# /usr/local/sbin/postmap /etc/postfix/virtual
# /usr/local/sbin/newaliases
```
replace Sendmail: see Listing 3.
and follow the above advice, by commenting out the `sendmail clientmqueue runner` in root's crontab:
```
# sendmail clientmqueue runner
#*/30 * * * * /usr/sbin/sendmail -L sm-msp-queue -Ac -q
```
and adding a couple of variables in the `/etc/rc.conf.local(8)` file see Listing 4.
Now we can change a few permissions and restart the processes (or simply reboot): see Listing 5.
**MySQL**
If Postfix is working fine, we can proceed to the next step and install MySQL. MySQL is the world's most popular open source database, combining performance, reliability and ease of use. It will ensure faster data access times and allow us to centralize configuration information that both Postfix and Courier-IMAP will need to access.
There are a few packages we need to install:
Listing 7. Creating the database
```
# mysql -u root -p
password: root
mysql> CREATE DATABASE mail;
Query OK, 1 row affected (0.01 sec)
mysql> use mail
Database changed
mysql> CREATE TABLE domains
-> id INT NOT NULL PRIMARY KEY AUTO_INCREMENT,
-> domain VARCHAR(255) NOT NULL UNIQUE;
Query OK, 0 rows affected (0.02 sec)
mysql> CREATE TABLE users (
-> id INT NOT NULL PRIMARY KEY AUTO_INCREMENT,
-> login VARCHAR(255) NOT NULL UNIQUE,
-> name VARCHAR(255) NOT NULL,
-> password CHAR(13) NOT NULL,
-> uid SMALLINT NOT NULL DEFAULT 2000,
-> gid SMALLINT NOT NULL DEFAULT 2000,
-> home VARCHAR(255) NOT NULL DEFAULT '/var/vmail',
-> maildir VARCHAR(255) NOT NULL,
-> quota VARCHAR(10) NOT NULL DEFAULT '10000000S');
Query OK, 0 rows affected (0.01 sec)
mysql> CREATE TABLE alias_maps (
-> id INT NOT NULL PRIMARY KEY AUTO_INCREMENT,
-> account VARCHAR(255) NOT NULL UNIQUE,
-> alias VARCHAR(255) NOT NULL);
Query OK, 0 rows affected (0.00 sec)
mysql> GRANT SELECT ON mail.* to 'vmail'@'localhost'
-> IDENTIFIED BY 'vmail';
Query OK, 0 rows affected (0.01 sec)
mysql> INSERT INTO domains (domain) VALUES ('kernel-panic.it');
Query OK, 1 row affected (0.01 sec)
mysql> INSERT INTO users (login, name, password, maildir)
-> VALUES ('email@example.com',
-> 'Daniele Mazzocchio',
-> ENCRYPT('danix'), 'kernel-panic.it/d.mazzocchio/');
Query OK, 1 row affected (0.01 sec)
mysql> INSERT INTO alias_maps (account, alias)
-> VALUES ('firstname.lastname@example.org',
-> 'email@example.com');
Query OK, 1 row affected (0.00 sec)
mysql> INSERT INTO alias_maps (account, alias)
-> VALUES ('firstname.lastname@example.org',
-> 'email@example.com');
Query OK, 1 row affected (0.00 sec)
```
After the installation, you will find various sample configuration files in the `/usr/local/share/mysql` directory; choose the most suitable to your needs and copy it to `/etc/my.cnf`. E.g.:
```
# cp /usr/local/share/mysql/my-small.cnf /etc/my.cnf
```
**The socket dilemma**
Choosing a good location for the MySQL socket file is sometimes hard because of chrooted processes, which need to access it from inside their *reduced* filesystem. But Postfix goes even further: of its many processes, most are chrooted to the `/var/spool/postfix` directory, but a few are not! As a consequence, by default, part of the Postfix processes will look for the socket file in the `/var/run/mysql/` directory, while the others will look for it in the `/var/spool/postfix/var/run/mysql/` directory!
Anyway, there are many possible workarounds:
- if the database runs on a remote server, there is no need to bother with the socket file! We will later see how to configure Postfix and Courier-IMAP for connecting to a remote database;
- if you want to preserve the defaults as much as possible, you can create a symbolic link to the socket inside the chroot before the database startup:
```
# mkdir -p /var/spool/postfix/var/run/mysql/
# ln -f /var/run/mysql/mysql.sock /var/spool/postfix/var/run/mysql/mysql.sock
```
- Remember to add the above commands to the `/etc/rc.local(8)` ([http://www.openbsd.org/cgi-bin/man.cgi?query=rc&sektion=8](http://www.openbsd.org/cgi-bin/man.cgi?query=rc&sektion=8)) script to automatically create the link at boot time.
- you can place the socket inside the Postfix chroot (by setting the value of the `socket` variable in the `[mysqld]` section of `/etc/my.cnf` to the path of the socket, e.g. `/var/spool/postfix/mysql/mysql.sock`), and give Postfix the possibility to choose between two distinct paths: `/var/spool/postfix/mysql/mysql.sock`, for non-chrooted processes, and `/mysql/mysql.sock`, for chrooted processes;
- finally, you can forget about socket files and connect through the loopback network interface.
**Listing 8. Additional Postfix configuration for MySQL**
```
/etc/postfix/mysql_virtual_domains.cf
user = vmail
password = vmail
# solution 1:
# hosts = db_server_name
# Solution 2: skip this parameter
# Solution 3 (this file is required only by chrooted processes):
# hosts = unix:/mysql/mysql.sock
# Solution 4:
hosts = 127.0.0.1
dbname = mail
query = SELECT domain FROM domains WHERE domain='%s'
/etc/postfix/mysql_virtual_alias_maps.cf
user = vmail
password = vmail
# solution 1:
# hosts = db_server_name
# Solution 2: skip this parameter
# Solution 3 (this file is required only by chrooted processes):
# hosts = unix:/mysql/mysql.sock
# Solution 4:
hosts = 127.0.0.1
dbname = mail
query = SELECT alias FROM alias_maps WHERE account='%s'
/etc/postfix/mysql_virtual_mailboxes.cf
user = vmail
password = vmail
# solution 1:
# hosts = db_server_name
# Solution 2: skip this parameter
# Solution 3 (this file is required by both chrooted and non-chrooted processes):
# hosts = unix:/mysql/mysql.sock unix:/var/spool/postfix/mysql/mysql.sock
# Solution 4:
hosts = 127.0.0.1
dbname = mail
query = SELECT maildir FROM users WHERE login='%s'
```
Listing 9. Configuring MySQL-based authentication for Courier
```
/etc/courier/authmysqlrc
MYSQL_SERVER 127.0.0.1
MYSQL_USERNAME vmail
MYSQL_PASSWORD vmail
# If you connect through the socket:
#MYSQL_SOCKET /path/to/mysql.sock
#MYSQL_PORT 0
MYSQL_PORT 3306
MYSQL_OPT 0
MYSQL_DATABASE mail
MYSQL_USER_TABLE users
MYSQL_CRYPT_PWFIELD password
MYSQL_DEFAULT_DOMAIN kernel-panic.it
MYSQL_UID_FIELD uid
MYSQL_GID_FIELD gid
MYSQL_LOGIN_FIELD login
MYSQL_HOME_FIELD home
MYSQL_NAME_FIELD name
MYSQL_MAILDIR_FIELD maildir
MYSQL_QUOTA_FIELD quota
# MYSQL_WHERE_CLAUSE field=value AND field=value...
```
Mmmh... what to choose? After a moment's thought, I chose the latter solution, which is probably the simplest. Therefore, I left `skip networking` commented out in `/etc/my.cnf` and added the following line in the `[mysqld]` section:
```
/etc/my.cnf
bind-address = 127.0.0.1
```
thus preventing MySQL from listening on the external network interfaces.
**Configuration**
First and foremost, we need to install the default databases, change the password of the MySQL root user (don't take my passwords as an example!): see Listing 6, and configure the system to start MySQL on boot:
```
/etc/rc.local
if [ -x /usr/local/bin/mysqld_safe ]; then
echo -n ' MySQL'
/usr/local/bin/mysqld_safe >/dev/null 2>&1 &
fi
```
Next, we will hook Postfix up to the database. In particular, we will modify the value of a few parameters in the `/etc/postfix/main.cf` file:
```
/etc/postfix/main.cf
virtual_mailbox_domains = mysql:/etc/postfix/mysql_virtual_domains.cf
virtual_mailbox_maps = mysql:/etc/postfix/mysql_virtual_mailboxes.cf
virtual_alias_maps = mysql:/etc/postfix/mysql_virtual_alias_maps.cf
```
We will see in a moment the contents of those files; but first, we are going to create the database. Tables don't need to have any particular structure, since we will tell Postfix which queries to use to extract the data. Therefore, this will actually be just one among the many
Listing 10. Testing IMAP functionality
```
IMAP_test.py
#!/usr/bin/env python
import imaplib
# Constants
IMAP_SRV = "mail.kernel-panic.it"
USER = "firstname.lastname@example.org"
PASSWD = "danix"
# Connect to server
imap_srv = imaplib.IMAP4(IMAP_SRV)
imap_srv.login(USER, PASSWD)
# Select the INBOX folder
imap_srv.select()
# Retrieve message list
msg_nums = imap_srv.search(None, 'ALL') [1]
# Print all messages
for num in msg_nums[0].split():
msg = imap_srv.fetch(num, '(RFC822)') [1]
print 'Message %s\n%s\n' % (num, msg[0][1])
# Disconnect from server
imap_srv.close()
imap_srv.logout()
```
Starting from May 1st, 2010 users and developers of UNIX systems (in particular the BSD family) can register for the 7th edition of the meetBSD Conference. This time the event will take place in a beautiful city of Krakow, Poland, on July 2nd and 3rd, 2010 (Friday and Saturday). Similar to previous editions, conference speakers will include people actively involved in BSD development, with international audience and guests, including representatives from companies cooperating with the Open Source community. During this year’s edition it will be possible for participants to take the BSD Certification Group exam and obtain the well recognized and valued certificate.
meetBSD is an annual event dedicated to UNIX-based operating systems, especially from the BSD family. It also supports projects related to the BSD systems, people behind them and Open Source communities. meetBSD is a strictly technical event with focus on high quality content, with opportunities for both seasoned professionals and those only planning to learn the BSD way. The truly open world of BSD is waiting for you.
Besides the conference proper, meetBSD has always been a great social event, full of attractions and surprises. Hurry up and register for the conference yet today, as the registration deadline is approaching shortly. See you all in Krakow, July 2-3!
meetBSD 2010 Conference
July 2nd and 3rd 2010, Kraków, Poland
www.meetBSD.org
organizers:
outsource.me
SEMIHALF
EMBEDDED SYSTEMS
meetBSD identity by ondezine.com • all rights reserved • contact: email@example.com • copyright by 2004-2010 by ondezine.com
possible implementations: feel free to modify it according to your taste and needs.
Note: Postfix obtains the full pathname of the maildirs by joining the values of the `virtual_mailbox_base` and `virtual_mailbox_maps` parameters, while Courier-IMAP obtains it by joining the values of the `MYSQL_HOME_FIELD` and `MYSQL_MAILDIR_FIELD` parameters. As a consequence, we will create two separate fields in the `users` table (`home` and `maildir`) and make those variables point to them in order for Postfix and Courier-IMAP to get along see Listing 7.
Now let’s take a brief look at the new Postfix configuration files, which include the configuration settings for MySQL see Listing 8.
That’s all: now we can reload Postfix configuration:
```
# postfix reload
postfix/postfix-script: refreshing the Postfix mail system
```
and test our work; everything should run exactly as before!
**Courier-IMAP**
Now that our server can send and receive email, it may be useful to let users read it! For this purpose, we’re going to install Courier-IMAP ([http://www.courier-mta.org/imap/](http://www.courier-mta.org/imap/)), a fast, scalable, enterprise IMAP server that uses Maildirs. This is the same IMAP server that comes with the Courier mail server ([http://www.courier-mta.org/](http://www.courier-mta.org/)), but configured as a standalone IMAP server that can be used with other mail servers, such as Postfix.
**Installation and configuration**
The following is the list of the required packages:
- gdbm-x.x.x.tgz
- libltdl-x.x.x.tgz
- tcl-x.x.x.tgz
- expect-x.x.x-no_tk.tgz
- courier-authlib-x.x.tgz
- courier-imap-x.x.x.tgz
- courier-authlib-mysql-x.x.x.tgz
Once you have added all the packages, you will find a fresh new `/etc/courier/` directory containing Courier IMAP’s configuration files. Let’s take a brief look at each of them.
The `/etc/courier/authdaemonrc` configuration file sets several operational parameters for the `authdaemond` process (the resident authentication daemon); fortunately, we only need to edit the `authmodulelist` parameter, which specifies the list of the authentication modules available; set it to `authmysql` to allow for MySQL based authentication:
```
/etc/courier/authdaemonrc
[ ... ]
authmodulelist="authmysql"
[ ... ]
```
The `/etc/courier/authmysqlrc` configuration file contains the `authmysql` database connection parameters; below is a sample configuration file: see Listing 9.
The next step is creating the SSL certificate for the IMAPS protocol. To make your life easier, Courier-IMAP comes with a script, `mkimapdcert` ([http://www.courier-mta.org/mkimapdcert.html](http://www.courier-mta.org/mkimapdcert.html)), which will create the certificate after reading all the necessary information from the `/etc/courier/imapd.cnf` configuration file. Therefore,
**Listing 11. Testing the POP service**
```
# telnet mail.kernel-panic.it 110
Trying 172.16.240.150...
Connected to mail.kernel-panic.it.
Escape character is '\r'.
+OK Hello there.
user firstname.lastname@example.org
+OK Password required.
pass danix
+OK logged in.
list
1 2531
{ ... }
quit
+OK Bye-bye.
Connection closed by foreign host.
#
```
**Listing 12. Freshclam configuration**
```
/etc/freshclam.conf
DatabaseDirectory /var/db/clamav
DatabaseOwner _clamav
DNSDatabaseInfo current.cvd.clamav.net
DatabaseMirror db.it.clamav.net
DatabaseMirror database.clamav.net
MaxAttempts 3
checks 24
```
you should first customize the latter file (in particular, pay close attention to the *common name* (CN) parameter, which must match the name of the server the users will connect to) and then run `mkimapdcert(8)` ([http://www.courier-mta.org/mkimapcert.html](http://www.courier-mta.org/mkimapcert.html)):
```
# /usr/local/sbin/mkimapdcert
[ ... ]
```
Now we only have to start the daemons:
```
# mkdir -p /var/run/courier/,-auth/
# /usr/local/sbin/authdaemond start
# /usr/local/libexec/imapd.rc start
# /usr/local/libexec/imapd-ssl.rc start
```
configure the system to start Courier-IMAP on boot:
```
/etc/rc.local
echo -n ' Courier-IMAP'
/bin/mkdir -p /var/run/courier/,-auth/
[ -x /usr/local/sbin/authdaemond ] && /usr/local/sbin/authdaemond start
```
Listing 13. Updating virus signatures with freshclam
```
# freshclam
ClamAV update process started at Tue Dec 18 00:35:25 2007
WARNING: Your ClamAV installation is OUTDATED!
WARNING: Local version: 0.90.3 Recommended version: 0.92
DON'T PANIC! Read http://www.clamav.net/support/faq
Downloading main.cvd [100%]
main.cvd updated (version: 45, sigs: 169676, f-level: 21, builder: sven)
WARNING: Your ClamAV installation is OUTDATED!
WARNING: Current functionality level = 16, recommended = 21
DON'T PANIC! Read http://www.clamav.net/support/faq
Downloading daily.cvd [100%]
daily.cvd updated (version: 5160, sigs: 8698, f-level: 21, builder: sven)
WARNING: Your ClamAV installation is OUTDATED!
WARNING: Current functionality level = 16, recommended = 21
DON'T PANIC! Read http://www.clamav.net/support/faq
Database updated (178374 signatures) from db.it.clamav.net (IP: 188.8.131.52)
```
```
[ -x /usr/local/libexec/imapd.rc ] && /usr/local/libexec/imapd.rc start
[ -x /usr/local/libexec/imapd-ssl.rc ] && /usr/local/libexec/imapd-ssl.rc start
```
...and test our hard work! I suggest using a simple Python script, just to give our weary fingers a break: see Listing 10.
Adding POP3 access
It is usually desirable that email users be offered the choice between IMAP and POP3 remote access; after all, POP3 users tend to use less disk space, bandwidth and resources on the server.
Adding POP3 support to our mail server is fairly simple; first, we need to add the appropriate package:
```
courier-pop3-x.x.x.tgz
```
Then, we have to run `mkpop3dcert(8)` ([http://www.courier-mta.org/mkpop3dcert.html](http://www.courier-mta.org/mkpop3dcert.html)) to generate the SSL certificate for POP3 over SSL (similarly to `mkimapdcert(8)` ([http://www.courier-mta.org/mkimapcert.html](http://www.courier-mta.org/mkimapcert.html)), SSL parameters are read from a configuration file, `/etc/courier/pop3d.cnf`) and start the daemons:
```
# /usr/local/sbin/mkpop3dcert
[ ... ]
# /usr/local/libexec/pop3d.rc start
# /usr/local/libexec/pop3d-ssl.rc start
```
Add the following lines to `/etc/rc.local(8)` ([http://www.openbsd.org/cgi-bin/man.cgi?query=rc.local§ion=8](http://www.openbsd.org/cgi-bin/man.cgi?query=rc.local§ion=8)) to start the POP3 server on boot:
```
/etc/rc.local
[ -x /usr/local/libexec/pop3d.rc ] && /usr/local/libexec/pop3d.rc start
[ -x /usr/local/libexec/pop3d-ssl.rc ] && /usr/local/libexec/pop3d-ssl.rc start
```
Finally, we can perform a quick test to make sure everything works as expected: see Listing 11.
Managing disk space
Quotas allow you to specify the maximum size of maildirs, in order to prevent the `/var/vmail` filesystem from filling up. The best option would certainly be to use the operating system's built-in quota support ([http://www.openbsd.org/faq/faq10.html#Quotas](http://www.openbsd.org/faq/faq10.html#Quotas)), but we can't, because we have
a single user writing to all the maildirs. Therefore, we must rely on the mail software to get quota support on maildirs.
Courier-IMAP comes with built-in quota support, but this solves only one half of the problem: in fact, also Postfix must be able to reject mail sent to over-quota users. To achieve this, we will rely on the deliverquota(8) (http://www.courier-mta.org/deliverquota.html) utility, which delivers mail taking into account any software-imposed quota on maildirs.
The first step is assigning a quota to each maildir with maildirmake(1) (http://www.courier-mta.org/maildirmake.html). E.g.:
```
# /usr/local/bin/maildirmake -q 10000000s \
> /var/vmail/kernel-panic.it/d.mazzocchio
```
The above command installs an (approximately) 10MB quota on the /var/vmail/kernel-panic.it/d.mazzocchio maildir. Note: maildirmake(1) (http://www.courier-mta.org/maildirmake.html) also allows you to create and initialize maildirs, thus allowing users to access them; otherwise, a user's maildir will be created upon receiving his first email.
Next, we need to define, in /etc/postfix/master.cf (http://www.postfix.org/master.5.html), a special Postfix daemon for delivery through deliverquota(8) (http://www.courier-mta.org/deliverquota.html):
```
/etc/postfix/master.cf
[ ... ]
qdeliver unix - n n - - pipe
flags=uh user=vmail argv=/usr/local/bin/deliverquota -c -w 90
/var/vmail/$domain/$user
```
and tell Postfix to use this daemon for final delivery to virtual domains, by setting the value of the virtual_transport parameter in /etc/postfix/main.cf:
```
/etc/postfix/main.cf
virtual_transport = qdeliver
```
deliverquota(8) will place a warning message into the maildir if, after the message is successfully delivered, the maildir is at least 90 percent full (-w 90). The body of the warning message is copied verbatim from the /etc/courier/quotecwarnmsg file.
Please note that, as reported by Giovanni Bechis, deliverquota(8) (http://www.courier-mta.org/deliverquota.html) fails to correctly deliver emails sent to an alias that maps to multiple accounts, one of which has the same name as the alias itself, unless you set the following parameters in /etc/postfix/main.cf:
```
/etc/postfix/main.cf
qdeliver_destination_concurrency_limit = 1
qdeliver_destination_recipient_limit = 1
```
Listing 14. Amavisd configuration
```
/etc/amavisd.conf
# COMMONLY ADJUSTED SETTINGS:
$max_servers = 2;
$daemon_user = '_clamav'; # Run under the same
# user as ClamAV
$daemon_group = '_clamav'; # Run under the same
# group as ClamAV
$mydomain = 'kernel-panic.it';
$MYHOME = '/var/amavisd';
$TEMPBASE = "$MYHOME/tmp"; # working directory,
# needs to be created manually
$ENV{TMPDIR} = $TEMPBASE;
$QUARANTINEDIR = '/var/clamav/quarantine';
[ ... ]
# Leave only ClamAV uncommented
@av_scanners = (
['ClamAV-clamd',
'\&ask_daemon, "CONTSCAN {}\n", "/var/clamav/
clamd.sock"',
qr/\bOK/ , qr/\bFOUND/,
qr/^\.*?: \(?!Infected Archive)\.(.*) FOUND$/ ],
);
[ ... ]
# Leave only ClamAV uncommented
@av_scanners_backup = (
['ClamAV-clamscan', 'clamscan',
"--stdout --disable-summary -r --tempdir=$TEMPBASE
{}",
[0], [1],
qr/^\.*?: \(?!Infected Archive)\.(.*) FOUND$/ ],
);
1;
```
Looking for help, tip or advice?
Want to share your knowledge with others?
Visit BSD magazine forum
BSD MAGAZINE
Give us your opinion about the magazine’s content and help us create the most useful source for you!
www.bsdmag.org
Listing 15. Running amavisd
```
# mkdir /var/amavisd/tmp
# chown -R clamav:clamav /var/amavisd/
# /usr/local/sbin/amavisd debug
Dec 18 22:07:11 mail.kernel-panic.it /usr/local/sbin/amavisd[24429]: starting.
/usr/local/sbin/amavisd at mail.kernel-panic.it
amavisd-new-2.3.2 (20050629),
Unicode aware
Dec 18 22:07:11 mail.kernel-panic.it /usr/local/sbin/amavisd[24429]: user=,
EUID: 0 (0) ; group=, EGID: 0 31 20 5 4 3 2 0 (0 31 20 5 4 3 2 0)
Dec 18 22:07:11 mail.kernel-panic.it /usr/local/sbin/amavisd[24429]: Perl version 5.008008
[...]
```
Listing 16. Adding the content-filtering services to Postfix
```
/etc/postfix/master.cf
smtp-amavis unix - - - - 2 smtp
-o smtp_data_done_timeout=1200
-o smtp_send_xforward_command=yes
-o disable_dns_lookups=yes
-o max_use=20
127.0.0.1:10025 inet n - - - - smtpd
-o content_filter=
-o local_recipient_maps=
-o relay_recipient_maps=
-o smtpd_restriction_classes=
-o smtpd_delay_reject=no
-o smtpd_client_restrictions=permit_mynetworks,reject
-o smtpd_helo_restrictions=
-o smtpd_sender_restrictions=
-o smtpd_recipient_restrictions=permit_mynetworks,reject
-o mynetworks_style=host
-o mynetworks=127.0.0.0/8
-o strict_rfc821_envelopes=yes
-o smtpd_error_sleep_time=0
-o smtpd_soft_error_limit=1001
-o smtpd_hard_error_limit=1000
-o smtpd_client_connection_count_limit=0
-o smtpd_client_connection_rate_limit=0
-o receive_override_options=no_header_body_checks,no_unknown_recipient_checks
```
Setting these parameters to `1` disables parallel deliveries to the same recipient.
**Content filtering**
Now we have a fully-functional mail server, able to send and receive email and providing remote access to users’ mailboxes. However, if we don’t want our server to become an immune carrier of computer viruses or to be drowned under a sea of spam, we need to install all the necessary content-filtering tools.
Though Postfix natively supports multiple content inspection mechanisms ([http://www.postfix.org/BUILTIN_FILTER_README.html](http://www.postfix.org/BUILTIN_FILTER_README.html)), the documentation ([http://www.postfix.org/CONTENT_INSPECTION_README.html](http://www.postfix.org/CONTENT_INSPECTION_README.html)) itself encourages the use of external filters and standard protocols because this allows you to choose the best MTA and the best content inspection software for your purpose. Therefore, we will rely on third-party software for content filtering; in particular, we will use SpamAssassin to filter spam, ClamAV to check emails for viruses and Amavisd-new to coordinate it all. Below is the outline of the whole architecture: see Figure 2.
**SpamAssassin**
SpamAssassin ([http://wiki.apache.org/spamassassin/](http://wiki.apache.org/spamassassin/)) is a mature, widely-deployed open source project that serves as a mail filter to identify Spam. SpamAssassin uses a variety of mechanisms including header and text analysis, Bayesian filtering, DNS blocklists, and collaborative filtering databases.
There are quite a few packages we need to install:
- p5-Compress-Raw-Zlib-x.x.tgz
- p5-IO-Compress-Base-x.x.tgz
- p5-IO-Compress-Zlib-x.x.tgz
- p5-Compress-Zlib-x.x.tgz
- p5-IO-Zlib-x.x.tgz
- p5-IO-String-x.x.tgz
- p5-Algorithm-Diff-x.x.tgz
- p5-Text-Diff-x.x.tgz
- p5-Archive-Tar-x.x.tgz
- re2c-x.x.x.tgz
- p5-Net-CIDR-Lite-x.x.tgz
- p5-Net-IP-x.x.tgz
- p5-Digest-SHA1-x.x.tgz
- p5-Digest-HMAC-x.x.tgz
- p5-Net-DNS-x.x.tgz
- p5-Sys-Hostname-Long-x.x.tgz
- p5-URI-x.x.tgz
- p5-Mail-SPF-Query-x.x.tgz
After the packages installation, you will find the main SpamAssassin configuration file (\texttt{/etc/mail/spamassassin/local.cf}) in the fresh new \texttt{/etc/mail/spamassassin} directory. The configuration phase can be very complex and goes beyond the scope of this document; anyway, you can find all the details in the man page (Mail::SpamAssassin::Conf \url{http://spamassassin.apache.org/full/3.1.x/dist/doc/Mail_SpamAssassin_Conf.html}).
Like Postfix, SpamAssassin has a lot of configuration parameters, although, in most cases, default values can be preserved and only a few parameters need to be overridden:
\begin{verbatim}
/etc/mail/spamassassin/local.cf
rewrite_header Subject ***** SPAM *****
report_safe 1
lock_method lock
required_score 8.0
\end{verbatim}
\textbf{ClamAV}
ClamAV (\url{http://www.clamav.net/}) is an open source (GPL) anti-virus toolkit for UNIX; the main purpose of this software is the integration with mail servers (i.e. attachment scanning). All the antivirus tasks are handled by three processes:
- \texttt{freshclam} – which automatically updates the virus definitions, by connecting to one of the ClamAV mirrors (\url{http://www.clamav.net/mirrors.html}); its configuration file is \texttt{/etc/freshclam.conf};
- \texttt{clamd} – a flexible and scalable multi-threaded antivirus daemon; its configuration file is \texttt{/etc/clamd.conf};
- \texttt{clamscan} – a command line antivirus scanner.
The required packages are:
- \texttt{arc-x.xx.tgz}
- \texttt{lha-x-xx.xxxxxx.tgz}
- \texttt{unzip-x.x.tgz}
- \texttt{zoo-x.x.x.tgz}
- \texttt{gmp-x.x.x.tgz}
- \texttt{unar-j-x (from the ports)}
- \texttt{unrar-x-x (from the ports)}
- \texttt{clamav-x.x.tgz}
The \texttt{freshclam.conf} configuration file requires only a few parameters: see Listing 12.
Now we can update the virus definition database by running the \texttt{freshclam} command. Please make sure you have installed the latest release of ClamAV, or you'll get warning messages about reduced functionality, like the following: see Listing 13.
The reduced \textit{functionality level} means that you may not be able to use all the available virus signatures and, consequently, fail to detect the latest viruses. To automatically update the database, we simply have to schedule \texttt{freshclam} in \texttt{crontab} every hour (preferably not on the hour, just to avoid traffic peaks):
\begin{verbatim}
16 * * * /usr/local/bin/freshclam >/dev/null 2>&1
\end{verbatim}
Also the \texttt{/etc/clamd.conf} configuration file needs editing only very few parameters:
\begin{verbatim}
/etc/clamd.conf
DatabaseDirectory /var/db/clamav
LocalSocket /var/clamav/clamd.sock
User _clamav
[...]
\end{verbatim}
\textbf{Figure 2. Mail filtering}
Now we can run clamd:
```
# touch /var/log/clamd.log
# chown _clamav /var/log/clamd.log
# clamd
Running as user _clamav (UID 539, GID 539)
```
and add the following lines to `/etc/rc.local(8)` to start it on system boot:
```
/etc/rc.local
if [ -x /usr/local/sbin/clamd ]; then
echo -n ' clamd'
[ -S /var/clamav/clamd.sock ] && cm -f /var/clamav/clamd.sock
/usr/local/sbin/clamd >/dev/null 2>&1
fi
```
**Amavisd-new**
Amavisd-new is a high-performance interface between mailer (MTA) and content checkers.
We will configure it to bind to port 10024 on the loopback interface, where Postfix will forward all incoming e-mails. If the e-mail successfully passes all the checks, it will be forwarded back to Postfix, listening on localhost port 10025; otherwise, mails may be deleted or quarantined and the administrator and recipients may be notified.
The following is the list of the required packages:
- cabextract-x.x.tgz
- freeze-x.x (from the ports)
- p5-Convert-BinHex-x.x.tgz
- p5-IO-stringy-x.x.tgz
- p5-Mail-Tools-x.x.tgz
- p5-Time-TimeDate-v.x.tgz
- p5-MIME-tools-x.x.tgz
- p5-Convert-TNEF-x.x.tgz
- p5-Convert-UnixB-x.x.tgz
- rpm2cpio-x.x.tgz
- p5-Net-Server-x.x.tgz
- p5-Unix-Syslog-x.x.tgz
- amavisd-new-x.x.x.tgz
**References**
- http://www.kernel-panic.it/openbsd/carp/index.html – Redundant firewalls with OpenBSD, CARP and pfsync
- http://www.openbsd.org/ – OpenBSD, a FREE, multi-platform 4.4BSD-based UNIX-like operating system
- http://www.postfix.org/ – Postfix, an Open source email server for Unix
- http://www.postfix.org/TLS_README.html – [TLS] – Postfix TLS Support
- http://www.mysql.com/ – MySQL, the world’s most popular open source database
- http://www.courier-mta.org/imap/ – Courier-IMAP, a fast, scalable, enterprise IMAP server that uses Maidirs
- http://asg.web.cmu.edu/sasl/ – Cyrus SASL, the Cyrus SASL API implmentation
- http://www.jjs.si/software/amavisd/ – Amavisd-new, a high-performance interface between mailer (MTA) and content checkers: virus scanners and/or SpamAssassin
- http://spamassassin.apache.org/ – SpamAssassin, a mail filter to identify spam using a wide range of heuristic tests on mail headers and body text
- http://www.clamav.net/ – ClamAV, an open source (GPL) anti-virus toolkit for Unix
- http://www.postfix.org/VIRTUAL_README.html – Postfix Virtual Domain Hosting Howto
- http://tools.ietf.org/html/rfc4954 – [RFC4954] – RFC 4954, SMTP Service Extension for Authentication
- http://www.postfix.org/SASL_README.html – [SASL] – Postfix SASL Howto
The installation procedure creates a new user and group called `vscan`; however, the easiest way to get Amavisd-new to cooperate with ClamAV, is to run them both under the same user (`clamav`). The configuration file is `/etc/amavisd.conf`, which is actually a perl script (so pay attention to the semi-colons at the end of the lines); below are the options you will most likely want to tweak: see Listing 14.
After manually creating Amavisd-new’s working directory (`/var/amavisd/tmp`), we can start the daemon in debug mode (i.e. in foreground), just to check any errors: see Listing 15.
Now we can configure the system to start Amavisd-new on boot:
```
/etc/rc.local
if [ -x /usr/local/sbin/amavisd ]; then
echo -n ' amavisd'
/usr/local/sbin/amavisd >/dev/null 2>&1
fi
```
The last step is to update Postfix configuration to enable interfacing between Postfix and Amavisd-new. To achieve this, we have to add a couple of services to the `/etc/postfix/master.cf[5]` (http://www.postfix.org/master.5.html) configuration file: one to forward all incoming emails to Amavisd-new, and the other to get emails back again; see Listing 16.
Finally, we need to tell Postfix to start forwarding all the emails it receives to amavisd-new for content inspection and reload the configuration.
```
# postconf -e 'content_filter=smtp-amavis:[127.0.0.1]:10024'
# postfix reload
postfix/postfix-script: refreshing the Postfix mail system
```
**Appendix**
Special thanks to TomazZ for his detailed notes on configuring TLS in Postfix.
---
**DANIELE MAZZOCCHIO**
*Latest version:* http://www.kernel-panic.it/openbsd/mail/
If you wish to contribute to BSD magazine, share your knowledge and skills with other BSD users – do not hesitate – read the guidelines on our website and email us your idea for an article.
**Join our team!**
Become BSD magazine Author or Betatester
As a betatester you can decide on the contents and the form of our quarterly. It can be you who read the articles before everybody else and suggest the changes to the author.
Contact us:
email@example.com
www.bsdmag.org
Performance Comparison
ITTIA DB and SQLite
ITTIA DB SQL and SQLite are used by software developers to manage information stored in applications and devices. Designed to be hidden from the end-user, these embedded relational database management systems are linked into the application or firmware as self-contained software libraries.
This greatly simplifies the application code responsible for organizing data and sharing it between concurrent tasks, while protecting data from corruption and race conditions.
SQLite is an open source software library that provides the basic features for storing information in an SQL database. SQLite is designed for self-contained applications that require an SQL database, but do not frequently modify or share access to the database.
ITTIA DB SQL is a scalable database engine that supports a wide range of features, providing high performance for self-contained applications without limiting the application’s ability to scale up as requirements change. ITTIA DB SQL can be used as either a stand-alone software library, or with a lightweight server.
This white paper explores how differences between ITTIA DB SQL and SQLite affect the performance, features, and maintenance of database-driven applications.
Criteria for Selecting a Lightweight Relational Embedded Database
Every software development project has unique requirements, including performance objectives, reliability expectations, and time-to-market constraints. Careful planning, and the incorporation of the right database technology, can dramatically reduce project development time while increasing the performance and reliability of an application.
Databases can be implemented in many different ways, and the choice of algorithms in a particular database product has a profound impact on performance characteristics and what features are available. Areas most impacted by the implementation of the database include:
- Frequency of costly disk or flash media I/O operations.
- Time required to recover from a crash or power loss.
- Ability to manage large amounts of data without severe performance degradation.
- Performance impact of sharing data between tasks and other applications.
- Relative performance of read and write operations.
- Portability of the storage format and application code.
- Effort required to integrate database technology into the application.
Database software must carefully balance the flow of data between persistent storage and memory. If information is not saved regularly, recovery from a power loss will be slower. If information is saved too often, performance will suffer and some media, such as flash memory, will wear out more quickly.
Scalability is a concern for many applications, both for the amount of data that can be stored and for the impact of sharing data. If scalability is not important, a database can greatly optimize performance. If scalability is needed, or may be needed in the future, the performance cost can be very high if the database has not provisioned for it.
By considering the current and future requirements of an application, an embedded software developer can select the most appropriate database technology.
**Benchmark**
This benchmark will measure elapsed time for three operations:
- Insert rows into an empty database.
- Select rows using indexed search.
- Update rows using indexed search.
**Test Environment**
The benchmark is performed on the following platform: see Table 1.
**Test Methodology**
**Product Configuration**
For this benchmark, the database products are configured as follows: see Table 2.
**Database Schema**
The following database schema is used for the benchmark: see Listing 1.
| Table 1. Benchmark Hardware |
|-----------------------------|
| Operating System | Architecture | Speed | RAM | Media |
| Windows XP PC | Windows XP | x86 | 1.7GHz | 256 MiB | Hard Disk |
| Linux PC | Fedora Core Linux | x86 | 2.8GHz | 1 GiB | Hard Disk |
| Linux Device | Angstrom Linux | ARM9 | 400Mhz | 64 MiB | Flash |
**Parameters**
Each product is tested for both disk-based and in-memory storage. Additionally, ITTIA DB is tested using both table cursors and SQL queries. SQLite only supports SQL queries. The benchmark is run with the following parameters for disk-based storage:
- inserts = 10,000
- selects = 10,000
- updates = 10,000
- max_inserts_per_tx = 40
- max_selects_per_tx = 120
- max_updates_per_tx = 80
The number of operations is increased for in-memory storage:
- inserts = 100,000
- selects = 100,000
- updates = 100,000
**Test Algorithms**
SQL queries are prepared once at the beginning of the test. When table cursors are used, SQL queries are replaced with equivalent ITTIA DB C API syntax see Listing 2 and Listing 3.
**Results**
Results are measured as a ratio of elapsed time for SQLite to elapsed time for ITTIA DB. A result of 1.00 indicates equivalent performance. Values greater than 1.00 favor ITTIA DB. Values less than 1.00 favor SQLite.
Metrics for elapsed time are available upon request. Contacting ITTIA Research and Development using the form at: http://www.ittia.com/contact
- Disk Storage see Figure 1 and Figure 2.
- Memory Storage see Figure 3 and Figure 4
**Feature Comparison**
**Atomic Transactions**
In an embedded database, related database operations are grouped together into transactions, each of which will be saved either completely or not at all. To the application, it is as though all changes made in the transaction are saved immediately and simultaneously.
when the transaction is committed. This feature is known as atomic commit.
ITTIA DB SQL and SQLite both support atomic commit, but with different performance characteristics. SQLite creates a rollback journal for each transaction that remembers the original value before each change is made. ITTIA DB stores both the original value and the new value in a write-ahead log that can be shared by
Listing 1. Schema
```sql
create table benchmark_table (
a integer not null,
b integer,
unused1 integer,
unused2 integer,
unused3 integer,
unused4 integer,
unused5 integer,
unused6 integer,
unused7 integer,
unused8 integer,
unused9 integer,
unused10 integer,
unused11 integer,
unused12 integer,
unused13 integer,
unused14 integer,
unused15 integer,
unused16 integer,
unused17 integer,
unused18 integer
);
create unique index ixl on benchmark_table (a);
```
Listing 2. Benchmark Insert Algorithm
```c
const int inserts;
const int max_inserts_per_tx;
begin transaction;
for(long i = 1; i <= inserts; i++) {
insert into benchmark_table(a, b) values(i, i+2);
if (max_inserts_per_tx > 0 && i % max_inserts_per_
tx == 0) {
commit transaction;
begin transaction;
}
}
commit transaction;
```
Listing 3. Benchmark Select Algorithm
```c
const int selects;
const int max_selects_per_tx;
begin transaction;
for (long i = 1; i <= selects; i++) {
long value = (rand() % inserts) + 1;
select b from benchmark_table where a = value;
if (i % max_selects_per_tx == 0) {
commit transaction;
begin transaction;
}
}
commit transaction;
```
Listing 4. Benchmark Update Algorithm
```c
const int updates;
const int max_updates_per_tx;
begin transaction;
for (long i = 1; i <= updates; i++) {
long value = (rand() % inserts) + 1;
update benchmark_table set b = value + 8 where a =
value;
if (i % max_updates_per_tx == 0) {
commit transaction;
begin transaction;
}
}
commit transaction;
```
genioDATA Multiverse
Exactly the IT systems you need
genioDATA hosts every important operating system (NetBSD, FreeBSD, MacOS X Server) and many others as well (Linux, Solaris, Windows, HPUX) – on real hardware or virtualized.
All of them run in premier grade data centers (e.g. Level3). This is what you get:
– clustered virtual machines,
– SAN-Storage (clustered or single),
– redundant routing and switching paths,
– assistance or complete management for your system (optional),
– several backup strategies including regional disaster recovery options.
Ask other providers if they can keep up:
– professional UNIX administrators with various certifications (RHCE, ACSA, …),
– no long-term contracting (very low customer quit rate: no ties involved),
– individual setups for elaborated requirements,
– reliable platforms for those who do everything on their own,
– SLAs for up to 99,999 % availability (depending on the setup),
– very competitive prices.
Special discount:
10% discount for readers of the BSD Magazine!
Get in contact:
– write an email to firstname.lastname@example.org,
– use our web contact form: www.geniodata.com/contact.
multiple transactions. This has some surprising results on overall performance.
When a transaction is committed, the database must write enough information to disk to guarantee that no changes made in the transaction are lost. Data is organized into pages to optimize access to block devices such as disks and flash memory. In most cases, changes are scattered throughout the database, only modifying a small portion of each page.
When SQLite commits a transaction, it must write all modified pages to disk in their entirety and then wait for the operation to finish. This is extremely costly, but necessary to support recovery with only a rollback journal.
When ITTIA DB SQL commits a transaction, only the write-ahead log must be written immediately because it contains a copy of all the changes made in the transaction. Log entries are written sequentially and only contain information about changes, so fewer pages are written to disk. Other modified pages are written to disk later, after accumulating changes from many transactions.
Under high load, ITTIA DB SQL can significantly reduce the amount of write activity compared to SQLite, both boosting performance and reducing wear on flash storage media.
**Shared Access**
Device applications usually perform many different tasks on data stored in the database. Some tasks perform best when run in parallel, allowing long-running tasks such as synchronization to happen without completely stopping normal operations. Tasks can be performed by a single application with multiple threads or instances, multiple applications on a device, or even remote applications across a network.
SQLite uses the locking mechanism built-in to the file system to protect database files during modification, which allows any process on the device with access to the file to use the database. This approach relies on the stability of the file system locking framework, and therefore cannot be used with files that are shared over a network. Many operating systems do not fully implement the range locks required to safely share an SQLite database.
ITTIA DB SQL uses a lightweight data server to negotiate shared access. The server is self-contained, requiring little or no configuration so that it is straightforward to use on a device. To access the database, an application is linked with a small client library in place of the stand-alone library. No code changes are required to access a database file on the same device and the application can also open database files remotely over a TCP/IP network.
File system locks operate on an entire file at once, so when an SQLite transaction begins to modify the database, it must obtain exclusive access to the entire database file until the transaction is finished. This is not a problem when sharing is infrequent and every transaction only involves one or a few rows. However, one long-running transaction, such as a synchronization task, can block all other activity in the database, even when there is no real conflict.
ITTIA DB SQL uses a less restrictive locking technique: row-level locking with isolation levels. The database automatically tracks all rows that are read or modified in a transaction. At the highest level of isolation, known as *serializable*, rows are locked in such a way as to prevent all possible conflicts. And for most simple transactions, the isolation level can be reduced to minimize locking even further. This ensures that a transaction is only blocked when it would create a conflict with another transaction already in progress. In addition, an entire table can be locked manually.
Row-level locking is also available when an ITTIA DB SQL database is shared between threads in an application. SQLite allows an open database to be shared between threads, but only one thread can modify the database at a time. ITTIA DB SQL permits multiple threads to concurrently read and modify different rows in the same database without risk of conflict.
**In-Memory Databases**
Databases are typically designed to store data on a block device, such as a hard disk or flash media. Some applications have sufficient memory to store data entirely in main memory. To optimize for this scenario, both ITTIA DB SQL and SQLite support in-memory storage.
When a database is created in memory, SQLite uses its normal paging algorithms to organize the data, but does not write any pages to disk. ITTIA DB SQL uses algorithms that are specialized for memory tables. In this way, ITTIA DB SQL is able to take advantage of optimizations such as direct pointers to significantly improve performance.
ITTIA DB SQL also supports hybrid in-memory/on-disk databases that contain a mixture of memory and disk tables. A similar result can be achieved with SQLite by attaching an existing database file to a memory database. When tables are stored on disk, ITTIA DB uses row-level locking for higher concurrency.
**Data Typing**
Embedded databases can store many types of information, the most common being numbers, text, date,
and time. A value’s data type must be known when it is read, whether it is used in an expression, displayed as text, or accessed natively in a programming language. Many types are incompatible: a string of text cannot always be used where a number is expected, and large numbers will not fit in an 8-bit variable.
To prevent a type mismatch, the database can check a value’s data type either when it is written to the database, or when it is read. In the first case, the database must have some information about how the value will be used later so that it can check incoming values for conformance, and when a type mismatch occurs, the error must be reconciled when the value is stored in the database. In the case where the value is checked at read time, the database must be able to accommodate values of arbitrary type, and type mismatch errors are not handled until the value is read.
SQLite uses dynamic run-time typing, which means that data types are only checked when a value is read from the database and used. This is useful in prototyping, before the application’s requirements are fully formed, because it allows data to be written to the database without much regard for how it will be used later. Production code, however, must be carefully audited to ensure that type mismatches are not possible or can be dealt with in a reasonable way.
ITTIA DB SQL uses static typing, where type information is stored in the database schema as part of a table’s description. Each column can contain only a specific type of data. This ensures that type mismatch errors are identified early, when there is the best chance to successfully fix the mistake. This is important when the database is shared between applications that are developed separately, as the database schema forms a contract by which all parties must abide.
**Application Programming Interface**
ITTIA DB SQL and SQLite each have an interactive utility that provides access to database files through standard SQL commands. While this is suitable for testing and maintenance, applications need a native interface to access the database.
To access data in an SQLite database, applications use SQL queries. ITTIA DB SQL similarly supports SQL queries, but also provides direct access to tables and indexes with low-level table cursors. Table cursors have lower overhead than SQL queries and allow modifications to be made directly while browsing a table, without constructing an update query. In many cases, an application can use table cursors to both improve performance and minimize data layer source code.
To protect a database from unauthorized access, the database file can be encrypted. ITTIA DB SQL provides encryption callbacks for an application to plug in any desired page-level encryption library. SQLite users must purchase the *SQLite Encryption Extension* (SEE), which utilizes password-based AES encryption only. Both products decrypt data when it is read from disk and encrypt data before it is written to disk.
Developers of embedded systems and intelligent devices find it important to protect their database from unauthorized access. This significant requirement was recognized by the architects of ITTIA DB SQL. ITTIA DB SQL provides encryption callbacks that an application utilizes to plug in any desired page-level encryption library. This important feature is not included in the open source version of SQLite.
**Technical Support**
The problems solved by an embedded database are not trivial. Even though the database software hides most of the details of data management from the application, learning to use the database effectively takes some time. The problem is magnified on restricted hardware, where small configuration details can have a big impact on footprint.
The involvement of a database expert can greatly improve the quality of the application by identifying the best strategies for design and implementation. Except for large enterprise companies, the only way to receive support for SQLite is through the open source community. While this is sometimes sufficient for small, specific questions, the community rarely provides high-level guidance and cannot provide confidentiality.
The commercial-grade support offered by ITTIA provides critical assistance from database experts throughout all phases of development, from laying down the best approach in the initial design, through development and testing, and into deployment of the application.
Information in this document is provided solely to enable system and software implementers to use ITTIA products. No express or implied copyright license is granted hereunder to design or implement any database management system software based on the information in this document.
ITTIA reserves the right to make changes without further notice to any products described herein. ITTIA makes no warranty, representation or guarantee regarding the suitability of its products for any particular purpose, nor does ITTIA assume any liability arising out of the application of or use of any product, and specifically disclaims any and all liability, including without limitation consequential or incidental damages. Statistics and parameters provided in ITTIA white papers and data sheets can and do vary in different applications and actual performance may vary over time. All operating parameters must be validated for each customer application by customer’s technical experts.
**Conclusion**
Often used as a stand-alone database software library, ITTIA DB SQL greatly simplifies data management for applications on embedded systems and devices, but without the complexity of a back-end database server.
SQLite is suited for simple projects that need basic transactional storage using SQL. SQLite takes advantage of self-imposed limitations to optimize for the most basic use cases. Advanced projects with robust or undefined requirements can benefit from ITTIA DB SQL’s solid framework for formalizing, updating, and sharing data. Benchmarks show that even for simple operations, ITTIA DB outperforms SQLite.
Each embedded application has unique requirements for data management and storage. Selecting the right tools requires a careful problem analysis and a thorough understanding of database technology. Using a technology with the right features makes a significant impact on the performance, maintainability, and extensibility of the application.
For any questions about this white paper or benchmark, please contact ITTIA Research and Development using the form at: [http://www.ittia.com/contact](http://www.ittia.com/contact)
---
**ITTIA DB** ITTIA and the ITTIA logo are trademarks or registered trademarks of ITTIA, L.L.C. in the U.S. and other countries. All other product or service names are the property of their respective owners.
Copyright 2008-2010, ITTIA L.L.C. All rights Reserved.
www.bsdmag.org
If you wish to contribute to BSD magazine, share your knowledge and skills with other BSD users – do not hesitate – read the guidelines on our website and email us your idea for an article.
**Join our team!**
**Become BSD magazine Author or Betatester**
As a betatester you can decide on the contents and the form of our quarterly. It can be you who read the articles before everybody else and suggest the changes to the author.
**Contact us:**
email@example.com
www.bsdmag.org
Interview with
Jeff Roberson
Any administrator who has rushed to bring a system back on-line after a crash knows how frustrating it can be to sit through a filesystem check. It can be a painfully slow, yet necessary process. One BSD developer, Jeff Roberson, has found a way to make all our lives easier and system recovery faster. Jeff took some time out of his very busy schedule to explain some of the bottlenecks in filesystem recovery and how he has gone about speeding up the process.
To start off, could you tell our readers a little about yourself. Where you’re from and how you got involved with BSD?
JR: I’ve been writing software professionally since 1997 and I’ve been an independent contractor since 2002, the same year I became a FreeBSD committer. Before BSD I did some hacking on Linux but switched and never looked back after taking a job working on a FreeBSD-based product. I wrote the ULE scheduler, UMA kernel memory allocator, parts of the thr threading support, as well as quite a lot of work on SMP scalability. I live on the island of Maui with my wife, dog, and cat but I’m originally from Virginia.
Could you please explain the previous limitations to the FreeBSD filesystem? What was the motivation behind your work?
JR: FreeBSD’s FFS (Berkeley Fast File System) implementation has a feature called soft-updates which permits filesystem meta-data to be written asynchronously without fear of corruption after an unclean shutdown. While this feature prevents unsafe filesystem states it can potentially leak blocks or inodes in the event of a crash or power loss. To recover from this, a background fsck is run which finds unclaimed blocks and inodes and frees them. This process is relatively expensive and time consuming which detracts from the utility of the near instant boot provided by the ordering guarantees.
You’ve added a journal to the existing file system, could you please explain how this will help end-users and system administrators?
JR: With the addition of a small intent log the background filesystem check step is eliminated. The fsck program has been augmented to parse the journal and recover only those operations which were pending at the time of the crash. On a large and fully populated filesystem this can reduce fsck time from many hours to few seconds. The recovery time actually scales with the size of the journal and not the size of the filesystem. Bigger filesystems need not take longer to recover. The journal size itself is limited by how many dirty or uncommitted meta-data changes can be in memory at once.
Will your changes be compatible with existing BSD file systems? For instance, will it be possible for people to use your journal on existing file system without re-formatting?
JR: The meta-data changes were very minimal. The journal itself is just a special file in the filesystem. Enabling journaling may be done with tunefs on an unmounted filesystem. Journaling may then be disabled also with tunefs. There are no significant compatibility issues. An older FFS implementation can even fsck and mount a journaled filesystem, although care should be taken to ensure that it is clean when returning to an implementation.
that does support journaling as there could otherwise be stale recovery information.
**Was it difficult to add a journal to the existing filesystem code? Were there moments when you considered starting a new FS from scratch?**
**JR:** While I never considered starting a whole new filesystem, it was indeed very difficult. This took roughly 500 hours to get to a state where it could be committed to head and used by the general public. This is not the simple full-block journaling that many filesystems implement. The recovery operation has to parse the available logs and the current filesystem state and make an determination of what it should be. The journal writes in the kernel had to be ordered properly with other metadata writes in soft-updates. The end result was nearly 10,000 lines of code which favourably compares to advanced journaling implementations in other operating systems.
**To take advantage of your work, will people need to upgrade to FreeBSD-current, or will your work be ported to existing stable versions, ie FreeBSD 8?**
**JR:** There are currently backports in the project's SUJ FreeBSD svn repository. We are still discussing how long these will be maintained and if there will be an official 8.x release with SUJ. A lot of that depends on how stable and performant the code turns out to be in -current. For now I would suggest those that want to try SUJ run current and report any bugs or issues that arise on the freebsd-current email list.
**You've mentioned on your blog that some companies (iXsystems and Yahoo) were sponsoring your work. How did that come about?**
**JR:** I had an initial idea of hinting fsck with a journal at BSDCan and discussed it with a few people. I was considering at the time ways that filesystems are limited by sticking to only one meta-data coherency protocol (softdep, journaling, copy-on-write). After I was convinced that the idea would work I produced a proposal and draft of a technical document and began to pursue contributions. Ultimately about half of my time was paid for by corporate sponsors but the benefit to FreeBSD and the experience gained was worth it.
**If I understand your latest blog post, you've made recovery from a filesystem crash up to 1,200 times faster. That's a huge improvement. I have to wonder why there wasn't a strong push to do this sooner. What made you be the first?**
**JR:** I can't say exactly that I was the first. The gjournal project by pjd provided full block logging with FFS many years prior. There are certain overheads with full block logging which meant it didn't see as much use as it could, and perhaps should, have. Many were deterred from implementing journaling because it is a big task no matter how you do it. I think several people attempted to make fully journaled versions of FFS but I was probably the first to reduce the scope by integrating with soft-updates rather than replacing it. Many companies have an interest in this type of infrastructure work but lack the expertise or man power to ultimately tackle it.
**This was a big task, were you working with anyone else? Other FS gurus or people testing changes with you?**
**JR:** I worked closely with the original author of FFS and soft-updates, Kirk McKusick. He reviewed my changes, and provided design feedback as well as essential details about the rationale and design of the existing mechanisms. Peter Holm was instrumental in testing. His kernel stress suite and new custom tests made this a far more stable and higher-quality system than I could've done alone. Scott Long, Matt Olander, and Debbie Chu should also be thanked for their parts in organizing funding for the project, without which I could not have done it. Many others have provided excellent bug reports and performance feedback.
**Do you have any other projects on the go? Other things you'd like to tackle?**
**JR:** I'm just starting a project to bring Infiniband to FreeBSD that will consume some time. One day I would love to have the funding and support required to write a new filesystem from scratch. Until then I spend my free time on other infrastructure projects in FreeBSD.
In 2007, I was hired as a programmer at University of the Philippines Open University (UPOU). I came from a Microsoft Windows platform and Visual Basic background. At UPOU, there was no room for my skills since they use various distributions of Linux for servers and open source programming languages for applications development.
Being a new employee (that time), I was never part of server discussions, since I never knew what they were talking about. Fedora, Ubuntu, Debian, NFS, FTP, those were the things I heard, but I was all at lost in those technical terms.
After a few months, I decided to try my hands on those system so that I may be able to join the discussion and be a part of the systems administration meeting and team. I tried my hands on a popular Linux distribution using KDE. I was quite impressed by KDE, but to be honest, I got a lot of system crashes (KDE related) so I decided to look for another one. I came across at this website (can’t remember) with a little devil logo. I clicked the link and it brought me to the freebsd website.
I downloaded the three (3) installation discs of version 6.2 for i386. At first I was afraid to install it since, the installer was not GUI-based, unlike my previous experience with the popular Linux distribution. So this was my second experience of a non-Windows operating system, and my first experience of installing using a non-GUI based installed.
After a couple of failure installations on my laptop, I decided to study the documentation first. I read the handbook to keep me going. And finally, after a lot of disc-switching in my CD-drive, I was able to do a complete installation of FreeBSD 6.2 with KDE as my window manager.
Since then, I used FreeBSD 6.2 for my laptop. To cut the story short, I became a novice FreeBSD user and I joined the FreeBSD Forum to seek more knowledge and skills for systems administration, since that was my dream job (not being a programmer). I was able to get a grasp of how to setup a DHCP, DNS and an FTP server. I was also looking at how the Squid Caching server works through the FreeBSD forum. I also bought the *The Book of PF* by P. N. M. Hansteen, to learn about setting up a firewall, port forwarding and NAT. I also downloaded PDF files from the BSD Magazine website to learn from the articles.
A couple of months ago, our primary gateway computer crashed, leaving our entire organization without a way to connect to the Internet. The whole IT team was required to setup a new one at the soonest possible time. Our system administrator back then, wasn’t around and I was the only one with technical know-how to do the job.
I saw the old Sun Ultra 10 Workstation on the server room doing nothing. I decided to use that for the gateway. I downloaded FreeBSD 8.0 for Sparc and immediately installed it. I quickly downloaded the ports collection and installed ISC-DHCP 3.1 server first, then DNSMasq, and Squid. I recompiled the kernel with PF, created pf.conf and tested the system. To no avail, I was able to setup a gateway/firewall, DHCP server, DNS server, and Squid proxy server in less than half a working day.
Our organization was back online once again and the management was happy because the setup I made includes a proxy server which can block unwanted web sites. I was able to document my setup and experience. I created a generalized how-to article and submitted it to BSD Magazine for review and publication. I was surprised that my how-to article was published in the April, 2010 issue of the BSD Magazine and I’m very thankful for it. You can download a copy of the how-to in BSD Magazine website.
When our system administrator left for another company, I took charge of the entire systems and network and I became the new system administrator. All the thanks to FreeBSD, the members of the Documentation Team, active members of the FreeBSD forum, BSD Magazine, and the author of the Book of PF.
I now enjoy my job as a system administrator and I continue to read the FreeBSD documentation, BSD magazine and read the posts and help others in the FreeBSD forum. Once again, thanks.
**JOSHUA EBARVIA**
*Joshua Ebarvia is a systems administrator, programmer and part-time lecturer at the University of the Philippines Open University. He enjoys working with different operating systems specially the UNIX variants and clones. You can reach him at firstname.lastname@example.org*
In the next issue:
- MidnightBSD
- Ubuntu vs FreeBSD
- and Other!
Next issue is coming in August!
Orion II iX-N4236
Powerful 4U Orion II Storage Series
- Outstanding Performance
- Excellent Cooling Efficiency
- Up to 24 Processing Cores with Hyper-Threading
- Up to 72TB in 4U, Unparalleled Storage Density
- Up to 432TB in 20U of Rack Space Utilizing Optional Orion II JBOD Expansion Units
To order today call: 1-800-820-BSDi
Notable features include:
- Dual Intel® 64-Bit Socket 1366 Six-Core, Quad-Core, or Dual-Core, Intel® Xeon® Processor 5600/5500 Series
- 4U Storage Server Chassis with up to 72 TB storage capacity
- 36 x 3.5 Hot-Swap SAS/SATA HDDs (24 front side + 12 rear side)
- 1400 W (1+1) Redundant High Efficiency Power Supply (Gold level 93%+ power efficiency)
- Dual Intel® 5520 chipsets with QuickPath Interconnect (QPI) up to 6.4 GT/s
- Up to 192GB DDR3 1333/1066/800 MHz ECC Registered DIMM/24 GB Unbuffered DIMM
- 2 (x16) PCI-E 2.0, 4 (x8) PCI-E 2.0 (1 in x16 slot), 1 (x4) PCI-E (in x8 slot)
- Intel® 82576 Dual-port Gigabit Ethernet Controller
iXsystems Introduces the OrionII 4U Storage Solution
The iX-N4236 boasts energy efficient technology and maximum, high density storage capacity, creating a 4U powerhouse with superior cooling.
The Orion II has thirty-six hot-swappable SAS/SATA drive bays, providing 50% more storage density than its predecessor. By delivering high-end storage density within a single machine, IXsystems cuts operating costs and reduces energy requirements.
Storage sizes for the iX-N4236 are customizable, with 250GB, 500GB, 750GB, 1TB, and 2TB hard drives available. For environments requiring maximum storage capacity and efficiency, 2TB Enterprise-class drives are available from Western Digital®, Seagate®, and Hitachi. These drives feature technologies to prevent vibration damage and increase power savings, making them an excellent choice for storage-heavy deployment schemes.
The Intel® Xeon® Processor 5600 Series (Six/Quad-Core) and Intel® Xeon® Processor 5500 Series (Quad/Dual-Core) have a light energy footprint, while creating a perfect environment for intense virtualization, video streaming, and management of storage-hungry applications. Energy efficient DDR3 RAM complements the other power saving components while still providing 18 slots and up to 192GB of memory overall.
100% cooling redundancy, efficient airflow, and intelligent chassis design ensure that even under the heaviest of workloads, the Orion II remains at an optimal temperature, while still drawing less power than other servers in its class. With a 1400 W Gold Level (93%+ efficient) power supply, the entire system works together to efficiently manage power draw and heat loss.
For more information or to request a quote, visit:
http://www.iXsystems.com/Orion2
|
CMA Close Up
AUGUST/SEPTEMBER 2009
CMA MUSIC FESTIVAL
RODNEY ATKINS
Celebrating What Matters
CMA CONSUMER RESEARCH STUDY
HOLLY WILLIAMS Sees the Light
CMA INDUSTRY INSITE
MATCHMAKER MARKETING
Artist/Brand Connection
FAN CLUBS
Mobilizing the Base
“CMA MUSIC FESTIVAL: COUNTRY’S NIGHT TO ROCK”
Aug. 31 on ABC-TV
KEITH URBAN
TRUST AND INSPIRATION
CMA AWARDS
ONLINE VOTING
SECOND BALLOT
Aug. 11 – Aug. 24
FINAL BALLOT
Oct. 16 – Nov. 3
| Page | Article |
|------|------------------------------------------------------------------------|
| 4 | CMA MUSIC FESTIVAL |
| 13 | "CMA Music Festival: Country’s Night to Rock" |
| | Airs Aug. 31 |
| 14 | Matching the Brand: Artists and Products |
| 16 | Rodney Atkins |
| 18 | The Fan Club Revolution |
| 20 | Keith Urban |
| 22 | Eventful — New Horizons in Concert Booking |
| 24 | LEGENDS: The Oak Ridge Boys |
| 26 | CMA CONSUMER RESEARCH STUDY |
| 28 | Holly Williams |
| 30 | EXECUTIVE SPOTLIGHT: Dave Pomeroy |
| 31 | MARKETING INNOVATIONS |
| | Craig Morgan |
| | Red Roof Inn |
| 32 | DEBUT ARTIST SPOTLIGHT |
| 34 | CMA INTERNATIONAL AWARDS |
| 35 | INTERNATIONAL EVENTS CALENDAR |
| | CCMA Honors Tammy Genovese |
| 36 | CMA SONGWRITERS SERIES |
| | CMA Industry InSite Part 2: Managers |
| 37 | IN MEMORIAM |
| 38 | CMA AWARDS |
| 39 | NEW CD RELEASES |
| 40 | CMA PRESENTS THE COUNTRY MUSIC HALL OF FAME |
| | Ray Price Remembers Hank Williams |
| 41 | CMA EVENTS CALENDAR |
Summer is a special part of the year. We all value the opportunities it offers to be with loved ones, maybe to enjoy a little time off for a picnic or a trip to the beach.
But for those who are lucky enough to have worked on the CMA Music Festival, summer has an extra meaning. Our summers begin with the last weeks of preparation as these four unique days and nights draw near. And then, after the thousands of fans have come and gone, and the many hours of amazing music and activities have wound down, we can already look ahead to another event that in some ways marks the conclusion of this wonderful season as the ABC Television Network brings our Festival experiences back to life with the broadcast of “CMA Music Festival: Country’s Night to Rock,” on Monday, Aug. 31.
This year the program will be especially memorable, as it expands for the first time from two to three hours. Since ABC began airing these specials in 2005, they have been consistently terrific. But with this extra slice of prime time, the results will be even better — a win/win situation for everyone involved.
The artists, for example, will have that much more time in the spotlight — more time to connect with existing fans and reach out to new ones in the viewing public. Rising interest in Country Music as a brand will enjoy an extra boost. The attractions of our home city and state will receive that much more exposure, which will translate into more visitors, more stimulus to our economy and more proceeds to be donated to our Keep the Music Playing initiative for music education in Metro Nashville Public Schools.
As I write, we’re at the midpoint between these two milestones, just shy of the Fourth of July. Like the Festival, the Fourth is about family, friends and the culture we value. That’s why I think it’s appropriate that the CMA Music Festival experience bookends this season and frames this especially American holiday. Like fireworks lighting up the night, the future of the music we love grows more brilliant every year, and we’re proud to be part of making that happen.
Tammy Genovese
CMA Chief Executive Officer
CMA Close Up® welcomes your letters and feedback.
615.244.2840 | Fax: 615.242.6783
or e-mail firstname.lastname@example.org
ADDRESS CHANGE?
Visit My.CMAWorld.com to correct your address information so you don’t miss any issues of CMA Close Up!
Statements of fact and opinion are the responsibility of the contributors alone and do not imply an opinion on the part of the officers, directors, members or staff of CMA.
©2009 Country Music Association®, Inc. Materials may not be reproduced without written permission. CMA Close Up is a registered trademark owned by CMA. All logos and photos used by permission.
CMA Close Up (ISSN 0896-372X) is the official bimonthly publication of CMA.
Available to CMA members only.
CMA Close Up subscription price of $25 per year is included in membership dues.
Periodicals postage paid at Nashville, Tenn.
Postmaster: send address changes to CMA Membership | One Music Circle South
Nashville, Tenn. 37203-4312
For all of the figures that might be totaled, and all of the resources mobilized to meet the challenges involved, perhaps the thing that impresses most about each year’s CMA Music Festival is the bond between artist, audience and the music they love.
Without that we wouldn’t see the scenes that play out each year, when the Festival once again draws thousands of visitors to Nashville to celebrate this communion. And yet this year, as with the years that preceded it all the way back to the Festival’s debut in 1972, the numbers impress nearly as much as the spirit that generated them.
Begin with the most basic statistic. Even with an uncertain economy and a general decline in attendance at festivals throughout the United States, the 2009 CMA Music Festival broke its own record by drawing an average of 56,000 fans for each of four days, Thursday through Sunday, June 11–14. That compares favorably to the 52,000 per day who turned out in 2008, adding up to a 7.2 percent increase.
While sales of four-day tickets dipped by a slight 3.6 percent, this was offset by a 19.5 percent rise in single-night tickets. Add to that the increase in traffic to free areas of the Festival, encouraged in part by the decision to open the Riverfront Park Daytime Stage to the public, as well as by the addition of the new Music City Zone to the other free areas of the Festival. That translated into $22 million pumped directly into the local economy, according to the Nashville Convention & Visitors Bureau, matching the total for 2008, with hotels packed, restaurants filled and shops throughout Downtown Nashville bustling with visitors from out of town.
And who were those out-of-towners? They came from every state of the Union and Washington, D.C. They also included many who made their pilgrimages to Music City from much further away — from 26 foreign countries including portions of Africa, Argentina, Australia, Austria, Belgium, Brazil, Canada, Croatia, the Czech Republic, Denmark, Finland, France, Germany, Ireland, Israel, Italy, Japan, Jersey, the Netherlands, New Zealand, Norway, Peru, Spain, Sweden, Switzerland and the United Kingdom.
Media from far and wide also attended, with more than 700 journalists from more than 200 media outlets credentialed to cover the Festival, among them correspondents from 42 outlets in 12 nations throughout Australia, Canada, Europe and the Middle East.
Doubtless there were many fans whose circumstances didn’t allow them to join the fun in person. For them, and for those who look forward to reliving their Festival adventures, the ABC Television Network will document some of the music and excitement on “CMA Music Festival: Country’s Night to Rock,” on Aug. 31 and expanded for the first time from two to three hours.
Even so, nothing can replace the experience of being immersed in the nonstop live performances, the personal encounters with the stars and reunions with friends made during previous visits — or through social networks prior to leaving for Nashville. It’s not surprising that when tickets for 2010 went on sale as this year’s Festival was underway, initial purchases raced 4.6 percent ahead of the figures for ticket orders the year before.
Credit the artists who appear for free in order to give back to their fans and to contribute to CMA’s ongoing commitment to donating half of the net Festival proceeds to its “Keep the Music Playing” program in support of music education throughout Metro Nashville Public Schools; to date, CMA has donated more than $2.2 million on behalf of the artists. The many volunteers who ensure the safety and enjoyment of visitors also deserve thanks for maintaining this event’s appeal.
VAULT SPONSORS FOUR UNFORGETTABLE NIGHTS AT LP FIELD
The nightly shows at the VAULT Concert Stage at LP Field were packed with excitement, surprises and sensational performances by nearly 30 acts. Some surprises were perhaps not what participants had in mind on opening night, when lightning and high winds suspended the concerts for three hours as thousands of fans were escorted to safety inside the stadium corridors to wait for the weather to break.
The show began impressively with presentation of the Stars and Stripes by the U.S. Marine Corps Recruiting Station Nashville Color Guard and a flyover by FA-18s from The Thunderbolts of VMFA 251 from the Marine Corps Air Station at Beaufort, S.C., the unit would repeat its electrifying ceremony on the three following nights as well. Chuck Wicks performed the national anthem as the crowd cheered and fireworks exploded, and Nashville Mayor Karl Dean welcomed visitors to Music City.
The opening set was delivered by Brooks & Dunn, who yielded the stage to Reba McEntire. The storm broke as she finished her second song, however, forcing three acts, Jimmy Wayne, Julianne Hough and Rascal Flatts, to cancel their appearances; host Storme Warren, of GAC’s “Headline Country” and Sirius XM Satellite Radio’s “The Highway,” expressed their regrets after clearance had been given for the show to resume. Inspired sets followed by Darius Rucker, Dierks Bentley and Brad Paisley, whom Bentley joined at around 2 AM for the last tune, “Alcohol.” “Good morning, Nashville! You guys are hardcore!” Paisley said from the stage.
The next three nights proved quiet on the weather front but just as memorable musically. The lineup on Friday included Luke Bryan, Little Big Town, Rodney Atkins, Lady Antebellum, Jake Owen, Zac Brown Band making their Festival debut, Jason Aldean and a surprise appearance by Kid Rock, who welcomed Martina McBride for a performance of “Picture,” which he had recorded with Sheryl Crow.
Highlights on Saturday included a performance by Jamey Johnson, in his LP Field debut, who sang “In Color” as the stadium lights momentarily shut down and fans lit the nighttime sky with countless illuminated cell phones, and a reunion of The Judds as Wynonna finished her solo set by playfully declaring, “It’s Bring-Your-Mom-to-Work Day!” Then, Naomi Judd joined her daughter onstage for several emotional songs. Powerful sets were delivered as well by Trace Adkins, Jason Michael Carroll, Martina McBride, Josh Turner and Lee Ann Womack.
The LP Field shows finished strong on Sunday. Following an acoustic appearance by Heidi Newfield, Wendy Davis and Sally Pressman (who play “Joan Burton” and “Roxy LeBlanc” on the Lifetime series “Army Wives”) introduced Jack Ingram, who delivered a fiery performance. He was followed by Miranda Lambert, Montgomery Gentry, John Rich, Sugarland in a surprise appearance, Taylor Swift and Kenny Chesney, who shared a heartfelt comment to the crowd: “Thank you for loving Country Music.”
STARS SPEAK THROUGH PREMIERE RADIO NETWORKS
It started at 5:45 AM on Wednesday, wrapped for the day a little after 9 AM and then repeated the process the next day. The Premiere Radio Networks live remotes emanate from two bustling ballrooms within the Nashville Convention Center. Radio hosts from major markets throughout the United States broadcast live interviews with artists, along with Blair Garner taping his interviews for the nationally syndicated “After MidNite with Blair Garner.” During the busy morning hours, scores of talent escorts led artists from table to table like commuters rushing for trains in Grand Central.
“Each year at the Festival we address new strategies,” said Ilycia Deitch Chiaromonte, Senior Director of Events, Premiere Radio Networks. “This year, we continued to drive ticket sales via our 20-station morning drive broadcast. And then throughout the remainder of the summer, we utilize Premiere’s strong list of talent and programming to increase viewership for the ABC-TV special in August.”
Seventy-five artists and celebrities participated in the Premiere remotes, reaching 14.7 million listeners ages 12+, according to Arbitron Nationwide Fall 2008 figures.
Exciting as these mornings are, participants may have been especially thrilled at their orientation on Tuesday night, when Reba McEntire made a surprise appearance to greet the broadcasters, record interviews to air ahead of local drive times and play her new album.
INTERNATIONAL STARS ILLUMINATE NASHVILLE
As more Country artists extend their tours beyond the United States, it’s fitting that some of the best talent from abroad converge on Nashville to herald each Festival with free performances. The fun began June 8 at The Stage, as emcee Jace Everett welcomed performers from Australia, Canada, Ireland, New Zealand and the United Kingdom for the CMA Global Artist Party, presented by CMA and sponsored by Nitetrain Coach Company. The following afternoon, another array of artists from Australia, Canada, France, Norway and Switzerland shared the spotlight during the AristoMedia Global Showcase at The Second Fiddle, hosted by former Mavericks bassist Robert Reynolds, Director of Industry Relations for Digital Rodeo, and sponsored by CMA, Digital Rodeo and Nitetrain Coach Company.
PERFORMERS, SPONSORS AND PRESENTERS AT ARISTOMEDIA GLOBAL SHOWCASE.
(TOP) CHIP HUFFMAN, PRESIDENT, NITETRAIN COACH COMPANY; JEFF WALKER, PRESIDENT, ARISTOMEDIA/MARCO PROMOTIONS; MARK MOFFATT, PRODUCER; COREY COLUM; ROLF FRITSCHI; TORE ANDERSEN; GREG HANNA; AND HOST ROBERT REYNOLDS.
(BOTTOM) DAVID BRADLEY; PIERRE LORRY; BRIANIE; DIANNA CORCORAN; AND CODIE PREVOST.
THAT’S WHY THEY CALL IT “FUN ZONE”
It’s a cross-section of the Festival, a point where product samples and autographs can be collected, games can be played and refreshments can be tasted, with a soundtrack provided by performances on the nearby Hard Rock Outdoor Stage.
Exhibitors included the U.S. Marines, who awarded free T-shirts to those who completed a pull-up challenge and invited visitors to climb atop a tank. A smaller but equally impressive vehicle, Dale Earnhardt’s Chevy Impala SS, emblazoned with No. 88, drew admirers to the Nationwide Insurance booth. Skin-care products, and a little pampering, were available aboard the Votre Vu bus. Would-be warblers could hit their high notes at the Tetley Iced Tea karaoke tent. Those who aspired to a TV career could audition at the DIY Network booth for a shot at hosting its “Stud Finder” program. And from Blue Bell Ice Cream and Smoothie King to Post Honey Bunches of Oats cereal and VAULT Citrus Soda, there was free food and drink to suit everyone’s needs.
STARS AND CELEBRITIES STREAM THROUGH DOWNTOWN NASHVILLE
Thousands of fans filled the sidewalks and clustered onto balconies overlooking several blocks of Broadway in Downtown Nashville on Wednesday afternoon to cheer the artists and celebrities that took part in “The Fifth Annual CMA Music Festival Kick-Off Parade.” The Music City Drum and Bugle Corps led the way, followed by Grand Marshall Rodney Atkins, his wife Tammy Jo and their son Elijah, riding together in the back of a red Chevy Silverado. Other highlights included Sammy Kershaw, arcing Mardi Gras beads toward onlookers; LoCash Cowboys, tossing soft spongy baseballs to the crowd; Sean Patrick McGraw, signing and handing out photos; Joe Bonsall gleefully filming fans as they took pictures of him and the rest of The Oak Ridge Boys; and dozens more, including Championship Bull Riding stars, Girl Scouts of Middle Tennessee, Ronald McDonald and six leather-vested members of the Combat Veterans Motorcycle Association on window-rattling Harleys. The procession ended on the Sommet Center Plaza, where the CMA Music Festival Block Party rocked until late. Jon Anthony and Storme Warren broadcast the concert and conducted artist interviews live for “The Highway” on Sirius XM Radio, with performers including Rodney Atkins, Jason Michael Carroll, Eric Church, Emerson Drive, LoCash Cowboys, The Lost Trailers, James Otto and Trent Tomlinson.
MARTY STUART’S LATE-NIGHT JAM SETS STAGE FOR FESTIVAL OPENING
From a magical opening courtesy of Brule and the American Indian Rock Opera through spirited picking and singing by a stellar lineup of guests, Marty Stuart’s Late-Night Jam filled the Ryman Auditorium on Wednesday night with lively music while also raising $33,000 in ticket sales, with proceeds to be donated to MusiCares and CMA’s Keep the Music Playing program.
VISITORS COLLECT AND CONSUME FREE SAMPLES
From cooling fans to rainproof ponchos, CDs to sunscreen, there were plenty of FREE goods for every interested attendee — and for those who were short on pocket space, it was easy to pick up a variety of complimentary tote bags.
Nearly 800,000 FREE items were given out at the Festival at all event site locations. VAULT reported distributing 70,106 samples in Fan Fair Hall, the Fun Zone and LP Field. Greased Lightning dispensed more than 12,000 logood grocery bags, 25,000 glow sticks and 32,000 other samples.
All of these items, along with the ones pictured below-right, account for only a portion of what was available. Still, the Festival offers consumers a lot to enjoy at no charge while also offering exhibitors a unique opportunity to broaden their outreach to potential customers.
ADD TO MEMENTOS WITH FESTIVAL PROGRAM BOOK
Visit CMAfest.com or call CMA to order a collectible program book featuring artists and celebrities listing and photographs, schedules, FAQ, history, around town events and more. Books are only $5 each plus shipping and handling.
SUNSHINE TRUMPS STORMS ON RIVERFRONT PARK DAYTIME STAGE
After an hour-long delay due to rain and high winds, the Festival opened triumphantly on Thursday with an energetic set by Gretchen Wilson. By 2:15 PM the morning downpour was a memory as four days of music along the Cumberland ensued.
The sun-splashed saga concluded on Sunday afternoon with a rousing final set by John Michael Montgomery that had fans on their feet and even line-dancing. In all, 44 acts performed for nearly 32 hours on the scenic stage.
ABC ALL-STAR BLOCK PARTY EXPANDS TO TWO DAYS
The glamour of music and Daytime television mixed during the ABC All-Star Block Party, which expanded for the first time from one to two days. Hosted by Cameron Mathison, the festivities included the Nashville debut performance by the Divas of Daytime: Kathy Brier, Kassie DePaiva and Bobbie Eakes. Mathison and The Divas also signed autographs and participated in audience Q&A sessions along with other ABC Daytime stars including Bradford Anderson, Brandon Barash, Rebecca Herbst, Kimberly McCullough, Greg Vaughan, Bree Williamson and Laura Wright. Sarah Buxton, Caitlin & Will, Sara Evans and Love and Theft performed and Chuck Wicks participated in a Q&A. Visitors also competed in games, which included an ABC Trivia Wheel and a “General Hospital vs. Grey’s Anatomy” contest. Winners received “Desperate Housewives Dollars,” which could be redeemed for prizes. And throughout all four days of the Festival, the “Wipeout” obstacle course, modeled on the one featured on the popular ABC reality show, drew participants eager to try their luck with its rolling log, punch wall and other attractions.
SAM BASS ARTWORK RAISES FUNDS FOR KEEP THE MUSIC PLAYING
Motorsports artist Sam Bass helped raise funds for CMA’s Keep the Music Playing program by donating a portion of funds raised through sales of limited-edition prints and posters. These items, which Bass autographed in the Fan Fair Hall and the Sports Zone, depict his design of an Epiphone acoustic guitar in tribute to artists who have made significant contributions to Country Music. Information on purchasing these pieces is available by texting CMASAM to 66937.
SOMMET PLAZA STAGE KEEPS DOWNTOWN DANCING
An eclectic mix of artists offered a kaleidoscope of music on the Sommet Plaza Stage. Thirty-nine acts performed more than 20 hours as crowds filled the plaza aligned with Chevy vehicle displays and spectators took in the action from nearby balconies and windows.
DURANGO SPONSORS ACOUSTIC CORNER
The Festival’s most intimate listening opportunities unfolded at Durango Acoustic Corner, a comfortable area within the Nashville Convention Center, one floor up from Greased Lightning Fan Fair Hall. Jimmy Kish, “the Flying Cowboy,” was the first of 24 solo or group performers featured at Acoustic Corner, where nearly 18 hours of music unfolded from Thursday morning through a closing set by Miko Marks on Sunday afternoon.
ARTISTS GET CLOSE TO FANS AT GREASED LIGHTNING FAN FAIR HALL
Autographs are the collectibles of choice for the fans who filled Greased Lightning Fan Fair Hall, but most came away as well with memories that will endure as long as their coveted signatures.
After a 13-year absence from the Exhibit Hall, Reba McEntire signed 350 autographs. Also on hand were Carrie Underwood, who signed for four hours, and Taylor Swift, for whom fans began lining up outside at 2:30 PM the previous day. Swift signed 500 autographs in five hours at the Big Machine Records booth, beginning moments after the Hall opened and then signing even more and hugging well-wishers as she made her way out at closing time to attend her sound check at LP Field.
Jason Aldean, Rodney Atkins, Dierks Bentley, Jason Michael Carroll, Bucky Covington, Emerson Drive, Julianne Hough, Lady Antebellum, The Lost Trailers, Neal McCoy, Montgomery Gentry, James Otto, LeAnn Rimes, Chuck Wicks, Gretchen Wilson, Wynonna and Zac Brown Band drew long lines as well.
Other highlights ranged from multiple product sample giveaways to a Warner Bros. and Microsoft Xbox booth where visitors could play Guitar Hero and Rock Band with Whitney Duncan, James Otto or John Rich.
In total, 433 artists and celebrities made appearances, booth space sold out with 86 exhibitors and attendance exceeded 53,000 over all four days.
MUSIC CITY ZONE KEEPS THE FOCUS LOCAL
Visitors from throughout the world enjoyed some attractions unique to Nashville at the new Music City Zone, sponsored by the Nashville Convention & Visitors Bureau. In addition to an Air Temp Cool Zone, Back Yard Burgers, a Yazoo Beer Garden and other offerings from locally-based companies, the Zone offered live music on the GAC Stage and autograph opportunities at a booth sponsored by NowPlayingNashville.com with artists who call Music City home.
CMAFEST.COM ENGAGES FANS AND PROMOTES TV SPECIAL
As new means of delivering information open online, new opportunities arise for serving and expanding both the customer base and the numbers of viewers invited to tune into “CMA Music Festival: Country’s Night to Rock” when the ABC special airs on Aug. 31. Components of this campaign were posted prior to the Festival under the “Interactive/Promos” heading on CMAfest.com. The “Be This Close” game, for example, invited visitors to take part in a “scavenger hunt” by looking through a collage of more than 800 photos from previous Festivals for images that answered a series of questions. (Example: “Can you find Michael Peterson’s name on the blue tractor at the 2007 CMA Music Festival?”) Data on players who agreed to opt into receiving Festival updates were retained by CMA member radio stations and filed as well at CMA for targeted promotional notices and tune-in reminders. Participants were also invited to take part in a sweepstakes with an audio/visual package, including a flat-screen television as the grand prize.
Outreach was provided through Web slices, developed by Microsoft as a means of alerting subscribers through their browsers of updates as they happen, from announcements of artists appearing at the next Festival to details on the ABC special. Links are provided as well to artist sites on social networks (DigitalRodeo, Facebook, MySpace, Twitter, etc.), along with “click to buy” links for purchase of music, Festival and Awards tickets and more.
New features included a “Photo Booth” where visitors can retrieve shots of themselves before green-screen mockups of the Awards or the Festival stage that they had taken at the CMA Booth in the Greased Lightning Fair Hall and a “Hot Shots” gallery where attendees post and vote for their favorite photos and videos taken at the Festival.
Interest in CMAfest.com has risen dramatically, with figures indicating the number of unique visitors up 18 percent and overall visits up 7 percent. Page views were 11 percent higher during May and June than during the same period last year.
ONLINE SCAVENGERS CONVENE FOR CMA FAN SOCIAL
The question posed in our last issue’s Festival preview of the third CMA Fan Social Sponsored by CMT was simple: Where is this mystery event going to happen? The answer was no mystery to social networkers who followed clues posted on CMT.com, Rhapsody.com and on their cell phones as well as on CMA’s and CMT’s newsletters and Facebook, MySpace and Twitter pages. And so the line was long outside of The Stage on Broadway well before the doors opened for an afternoon of great music and face-to-face “friending.”
Hosted by Lance Smith of CMT’s “Top 20 Countdown,” the Social featured sets by the Carter Twins, The Eli Young Band, Emerson Drive, Gloriana, Joey + Rory and Holly Williams, along with contests whose prizes included Julianne Hough’s autographed boots and a guitar signed by every artist in the Social lineup.
PRO AND CELEBRITY ATHLETES BATTLE IN SPORTS ZONE SHOWDOWNS
The spirit was friendly but competitive at an array of events that took place both in the Sports Zone, adjacent to the Schermerhorn Symphony Center, and in a second space overlooking the Cumberland River next to Fort Nashboro.
Field & Stream sponsored two well-attended events. Artists and other public figures tested their mettle in the Field & Stream Celebrity Total Outdoorsman Challenge, with Rhean Boyer of Carolina Rain finishing first. Later, 50 pre-qualified sports enthusiasts competed in the Total Outdoorsman Challenge Regional Qualifier. Winner Tom Boattright of Perdido, Ala., earned top honors, which included an invitation to participate in the National Championships Sept. 10-13 in Springfield, Mo.
Daniel Lee Martin, host of The Sportsman Channel’s “Backstage & Backroads,” presided at the Outdoor Life Save-a-Stream Charity Pro Am, with artist John Stone and Keith Burgess of Primos Hunting Calls coming out on top of a field of artists and Primos staff members in a friendly battle of game-calling skills. Stone donated his $1,000 winnings to St. Jude Children’s Research Hospital.
The Mahindra Tractors Celebrity Bull Riding Challenge partnered artists with champion bull riders to see which team could best handle a mechanical bull ride. Hosted by Susie Dobbs, singer and Executive Producer and Co-Host of “Beyond Rodeo” on RFD-TV, the event ended with a victory by artist Jason Brown and professional rider Jake Littlefield.
The “Fifth Annual New Holland Celebrity Tractor Race, hosted by Michael Peterson,” ended with a photo finish as the 2008 champion, singer/songwriter Darby Ledbetter, completed the course on a New Holland Boomer compact tractor in 48.31 seconds, with Stephen Barker Liles of Love and Theft just a blink behind at 48.34 and Joey Martin of Joey + Rory in third place with 49.31.
There were many other Sports Zone events including a treat for fans of four-legged acrobatics, the popular K9s In Flight “Ultimate K9 Sports Show Presented by Waggin’ Train.” Participating artists included Brad Cotter, Dan Evans, Joey + Rory and LoCash Cowboys.
HARD ROCK SERVES MUSIC DAILY
Positioned at the junction of the Riverfront Park Daytime Stage area and the Fun Zone, the Hard Rock Outdoor Stage presented 33 acts, who performed nearly 18 hours of music during daytime hours.
THE PARTY CONTINUES AFTER HOURS
For some Festival-goers, the party concluded with the fireworks at LP Field, but for the die-hards who couldn’t say goodbye to the night just yet, there was After Hours at Downtown bars and clubs.
CMA hosted three nights, Thursday through Sunday, of the CMA Songwriters Series at the Hard Rock Cafe, with some of Country Music’s best tunesmiths providing the stories behind the songs in the separately ticketed events. Writers included Rhett Akins, Gary Burr, Sarah Buxton, Dallas Davidson, Bob DiPiero, Luke Laird, Jason Matthews, Bobby Pinson, Rachel Proctor, Karyn Rochelle, Leslie Satcher, Jonathan Singleton, James Slater and the Warren Brothers.
MERCHANDISE SALES SKYROCKET
Festival merchandise, created by CMA’s 15-year partner Music City Merchandise, experienced record sales. The collection featured T-shirts, caps, bandana, hoody and more. Episodes of rainfall and high temperatures doubtless accounted for the popularity of the Festival’s ponchos and pink tank tops, which ranked as the top-selling items. Visit CMAfest.com for items still available.
FANS BOUGHT MERCHANDISE FROM FIVE LOCATIONS THROUGHOUT THE FESTIVAL.
INSTRUMENT DONATIONS THRIVE
Festival fans were instrumental in helping bring music to Metro Nashville Public School students during the band instrument drive at the Nashville Alliance for Public Education tent at the Dr Pepper–McDonald’s Family Zone. NAPE collected new and gently-used instruments at the Family Zone location all four days, with help from Jimmy Wayne on Thursday.
Among the donations were a 1905 silver-plated saxophone and a mint-condition clarinet that belonged to — and was personally delivered by — Bo Bice. The level of interest from the community compelled the Country Music Hall of Fame and Museum to offer to be a drop-off location through the end of June for anyone who wasn’t able to donate during the Festival.
CMA BOARD PRESIDENT STEVE MOORE, JIMMY WAYNE AND CMA CEO TAMMY GENOVESE
HARD ROCK CAFE RAISES FUNDS FOR KEEP THE MUSIC PLAYING
The Hard Rock Cafe introduced two collectible pins for sale at the Festival, with proceeds contributed to CMA’s Keep the Music Playing initiative. All pins sold out by the Festival’s second day.
ALEX MERCHANT, MARKETING DIRECTOR, EAST REGION, HARD ROCK INTERNATIONAL; NASHVILLE SCHOOL OF THE ARTS STUDENT SAM HUNTER; CMA CEO TAMMY GENOVESE; JOHN MICHAEL MONTGOMERY; AND PAM GARRETT, EXECUTIVE DIRECTOR, NASHVILLE ALLIANCE FOR PUBLIC EDUCATION.
ALAN JACKSON CELEBRATES 20TH ANNIVERSARY
Alan Jackson commemorated his 20th anniversary as an Arista Nashville artist with a free snow before a jam-packed crowd at Cadillac Ranch on Tuesday. CMA honored Jackson at the event with a framed collage of photos depicting Jackson at various CMA Awards and extolling him as “a Celebrated Singer of Simple Songs.”
ALAN JACKSON; WILL TENNYSON, CMA MANAGER OF ADMINISTRATIVE AFFAIRS AND COMMUNITY RELATIONS; HANK ADAM LOCKLIN, CMA SENIOR MANAGER OF MEMBERSHIP AND INDUSTRY RELATIONS; AND CMA BOARD MEMBER KIX BROOKS OF BROOKS & DUNN.
VISITORS OF ALL AGES ENJOY DR PEPPER-MCDONALD’S FAMILY ZONE
The Dr Pepper–McDonald’s Family Zone offered entertainment and hands-on activities at a pace that engaged parents and kids of all ages.
Highlights included readings of Random House children’s books by Katie Armiger, Dean Brody and Megan Mullins, an educational quiz on outer space conducted by TV personality Janet Planet, cooking demonstrations by celebrity chef Jon Ashton with assistance from Joey Martin of Joey + Rory and Mullins, a home-improvement show by DIY Network’s Matt Blashaw with guest Whitney Duncan, Ronald McDonald’s magic show and musical performances by a variety of family-friendly entertainers and artists.
The Family Zone also hosted several recurring special events. The YWCA Celebrity Auction raised $72,100 for the YWCA of Nashville and Middle Tennessee through auctioning items donated by artists. And the Dr Pepper–McDonald’s Family Picnic distributed free Southern Style Chicken sandwiches, Apple Dippers and Cherry Pies to the first 500 in line as well as more than 55,000 coupons redeemable at McDonald’s restaurants for all attendees.
2010 TICKETS SELLING FAST
Even economic uncertainties can’t dampen the determination of fans to book their tickets to the 2010 Festival; two sections have already sold out. Purchase tickets at 1-800-CMA-FEST, Ticketmaster 1-800-745-3000, ticketmaster.com, CMAfest.com or CMA Music Festival box office at the Sommet Center. Limited four-day parking passes for LP Field are also available to purchase.
| LP FIELD SEATING LEVEL | TICKET PRICE |
|----------------------------------------|--------------|
| GOLD CIRCLE | SOLD OUT |
| FLOOR (FIELD) RENEWABLE | $185 |
| LOWER RENEWABLE | SOLD OUT |
| LOWER | $155 |
| CLUB RENEWABLE | $155 |
| CLUB | $145 |
| UPPER RESERVED | $120 |
| UPPER GENERAL ADMISSION | $110 |
Prices do not include applicable handling fees and are subject to change. All sales are final and non-refundable. Four-day ticket categories correspond to a different level of seating at LP Field. Children 3 years and younger are admitted FREE. A four-day ticket will be required for any child occupying a seat at LP Field.
STUDENT JOURNALISTS POST FESTIVAL REPORTS AND PHOTOGRAPHS
For the third consecutive year, a group of talented student volunteers has covered Festival highlights as part of CMA’s commitment to providing real-world experience to prospective photographers and journalists assigned to file daily Festival reports and photographs. Their stories and bylines are in the “Best of the Fest” section of CMAfest.com as well as photographs throughout the site.
Though everyone delivered excellent work under demanding deadline pressure, Alyssa Smith, who graduated in June from Vanderbilt University, has been selected to receive the CMA Close Up Award of Merit in recognition of exceptional performance.
CMA MUSIC FESTIVAL is organized and produced by the Country Music Association. CMA Board member Tony Conway is the Executive Producer of CMA Music Festival. Premiere Radio Networks is the official radio broadcaster. Partners include Allstate Insurance Company; American Airlines; ASSETS; Barnes & Noble Ogry Mills; Blue Bell Creameries; Bullfrog Sunbuck; Carl Black Chevrolet; Chevy: The Official Ride of Country Music; CMT; Coca-Cola Bottling Co. Consolidated; DIY Network; Dr Pepper; Durango; Field & Stream; First Act; GEICO; Girl Scouts of Middle Tennessee; Greased Lighting; Great American Country (GAC); Hard Rock Cafe Nashville; HUSHABBY BABY; Mahinstra USA, Inc.; Maker’s Mark; Martha White Foods, Inc.; McDonald’s; Nashville Shores; Roper Apparel & Footwear; Roughstock.com; Smooshee King; Super 8; Tennessee Aquarium; Tennessee Lottery; Telety Iced Tea; VAULT Citrus Soda; Vanderbilt LifeFlight; Votre Vu; Waggin’ Train dog treats; U.S. Smokeless Tobacco Company; World Vision; and Wrangler: The Exclusive Jean of the CMA Music Festival. CMA Music Festival and Fan Fair are registered trademarks of CMA.
CMA Music Festival preview written by Bob Donschuk.
photos: Amanda Eckard, Jim Hajani, Karen Hicks, Amy Ishoy, Donn Jones, Brian Kaplan, Drew Maynard, Theresa Montgomery, Stephanie Mullins, John Russell and Jamie Schramm.
CMA BREAKS NEW GROUND WITH
It might seem like a challenge to fill three rather than two hours of air time for a highly visible annual event on primetime television. Not to Robert Deaton, The Executive Producer of “CMA Music Festival: Country’s Night to Rock,” to broadcast 8–11 PM/ET on ABC, Monday, Aug. 31, saw his assignment as an opportunity.
“It was daunting at first,” admitted Deaton, who has overseen the special for five years. “But as we got into it, it became a luxury.”
It became possible to give more exposure to artists whose concerts on the VAULT Concert Stage at LP Field are the backbone of the broadcast. “In the past, let’s say Sugarland had two great performances,” Deaton explained. “We would have room to put only one song in. This year, we can feature both. And with some artists, we can feature three songs.”
The longer format allowed Deaton to apply elements from CMA’s Consumer Research Segmentation Study to adjust the show’s focus. “Previously, we’ve dwelled a lot on the fans by telling their backstories and showing how they got to the Music Festival,” he said, “The fans are involved this year too, but we’ve moved primarily toward the artist.”
Aside from performance footage, the program documents what it’s like for an artist at the Festival. Deaton pursued this goal in different ways — for example, assigning a crew to spend most of one day in the company of Julianne Hough.
“And we also stayed with Kellie Pickler awhile as she walked up Broadway and interacted with fans,” he continued. “We learn from her encounters that they come to the Festival from all walks of life and from England, Ireland and all over the world.”
Interviews also help to bring artists into a more complete perspective.
“For Taylor Swift, we taped questions from fans,” Deaton said. “We played them back on a monitor so she could watch and answer them directly. It’s all about letting the audience in on some things they’d never known before about their favorite stars.”
One segment spotlights Reba McEntire. Thirteen years had passed since she had last sat for an extended autograph session at the Festival, so her decision to make herself available this year at the Greased Lightning Fan Fair Hall is examined. But this segment also offers a more historic look at the Festival, as seen through McEntire’s eyes. “We felt like letting her tell that story because she has been a part of it for such a long time and the Festival has evolved so much through those years,” Deaton said.
Fans do continue to play a crucial role, even in the shoots themselves. This proved true in one episode that has become a regular feature of the special: unannounced artist appearances at club gigs.
“This year, we shot it at Fuel with Kellie Pickler on first, Jason Aldean second and then Brad Paisley,” Deaton said. “We had a packed house because the fans have figured out that we’re going to shoot this show on Wednesday night and more of them are finding out where.”
The shooting schedule covered five days. Also the crew captured at least two songs by artists appearing at the LP Field shows; in some cases, including Kenny Chesney and Kid Rock, their entire sets were captured. While artists, including Martina McBride, Kellie Pickler and Darius Rucker, introduce some segments, there are no hosts, so that each vignette and every song stands out.
In the end, according to Deaton, a big difference in this year’s Festival came down to the ongoing growth of interest and enthusiasm for the music it celebrates. “I walked out into LP Field on Sunday night,” he reflected. “I could see that even the third tier, at the top of the stadium, was almost full. That’s really gratifying to know that the loyal fans keep coming back and that new fans are coming every year too.”
Online promotion for the special revs up in August, when the “CMA Music Festival: Country’s Night to Rock” site launches at ABC.com. Three 4- to 5-minute Webisodes will post weekly, one from three different series. On “Nashville Nights with Jake Owen” the artist reprises his role last year on ABC.com by touring nighttime events at the Festival. “CMA Music Festival: Around Town with Luke Bryan” focuses on daytime events, with Bryan acting as host. And “I’m with Wy” takes a unique approach, which documents Wynonna’s Festival activities.
In addition to ABC.com, these series will appear for the first time on YouTube.com and Hulu.com. “Robert Deaton really embraced what we do as an extension of the special,” said David Beebe, Director of Video Production, Post Production & Distribution, Disney/ABC Television Digital Video Group. “His support gave us extraordinary access behind the scenes and even on the stage itself.”
PR and ad campaigns are underway including a 30-second promotional spot, courtesy of VAULT, airing Aug. 1–31 on 30,000 screens in 4,000 movie theaters across the United States, reaching an audience of 20 million.
Artists appearing on “CMA Music Festival: Country’s Night to Rock” include Trace Adkins, Jason Aldean, Dierks Bentley, Brooks & Dunn, Kenny Chesney, Julianne Hough, Jamey Johnson, The Judds, Kid Rock, Miranda Lambert, Martina McBride, Reba McEntire, Jake Owen, Brad Paisley, Kellie Pickler, John Rich, Darius Rucker, Sugarland, Taylor Swift, Lady Antebellum and Zac Brown Band.
Directed by Gary Halvorson, “CMA Music Festival: Country’s Night to Rock” is filmed in high definition and broadcast in 720 Progressive (720P), ABC’s selected HDTV format, with 5.1 channel surround sound.
Anyone who has studied Marketing 101 knows that music can help sell a brand, and a brand can help sell music. That’s a simple truth. What’s not so simple is the task of researching, constructing and strategically activating a sponsorship deal that will benefit the recording act and the brand alike.
Marketing experts frequently mention four key questions that artists and brands should consider when pondering a partnership. First of all, does the artist’s fan base match well with the target demographic that the brand wants to reach? Second, would an endorsement by the artist have credibility and believability? Third, what tactical components must be utilized for the program to succeed? And most important, will the program help both parties meet their overall goals?
Marcus Peterzell, Managing Director, Engagement and Entertainment Marketing, Fathom Communications, is familiar with each side of the sponsorship equation because his agency advises both brands and artists. “Brands hire us because we have the criteria to enable them to make an informed decision,” he explained. “In terms of empirical data, first we look at the artist’s historic album sales, historic concert ticket sales and historic press. Sometimes we look at their Q Scores or their E-Scores, which show their relative popularity based on a standardized consumer opinion survey. We look at the artist’s history with other brands. We look at any demographic information, either from the music label or from an independent research company. Then we combine it all to make a picture for the brand and we say, ‘Here’s the data that backs up why we think this artist is a good choice for you.’”
Experts agree that analyzing consumer research data is vital to the process, but the numbers have to be paired with sound judgment.
“The research can point you in the right direction,” said Russ Crupnick, VP/Senior Industry Analyst, The NPD Group. “But as important as the research is, the issue of believability, the issue of match, the issue of credibility — all of that is probably more important than what the research says.”
Corporations are turning increasingly to Nashville to help them sell their products and services. A series of recent and current sponsorship deals reflects the enduring confidence that corporations have in the appeal of Country Music.
Among the artists who have signed marketing deals are Luke Bryan (Lucchese Boots), Sara Evans (Libby’s Vegetables), Faith Hill (Coty) and Chuck Wicks (Dr Pepper). In each case, the endorsement has high credibility because consumers will believe the artist would actually use the product. It’s easy to imagine Bryan pulling on a pair of Lucchese boots, Evans serving her children Libby’s canned vegetables, Hill dabbing on some Coty perfume and Wicks sipping a can of Dr Pepper.
Crupnick explained how these types of marketing partnerships can help both parties. “From the branding standpoint, artists have the ability to break through all the clutter and get your message through,” he said. “This is because of the types of fan bases they have. For instance, George Strait will get someone’s attention. From the artist’s perspective, a sponsorship deal is a sensational way for the brand to help them be retailers. Whereas artists traditionally were promoted by having an end-cap display in a store, now they might promote their music through an affiliation with Cotton, Ford or Wrangler. That helps artists at a time when it’s becoming increasingly difficult to get promotion in retail stores and on radio. That’s where the two-way street is. When a deal is done correctly, it’s a clutter-breaker for the brand, and it’s an awareness vehicle for the artist.”
Earlier this decade, stadium-filling superstar Kenny Chesney enjoyed a multi-year deal with Cruzan Rum, which sponsored his concert tour. GMR Marketing, which worked on the campaign, reported that the tour resulted in a 50 percent sales growth for Cruzan Rum in every market that Chesney visited. Sales figures like this certainly helped pave the way for Chesney’s current deal with the beer brand Corona Extra, which sponsors his ongoing “Sun City Carnival Tour.”
Another act bolstering this trend is Rascal Flatts. The band’s partnership with JCPenney is one of the most expansive and integrated deals to involve a Country Music act. For the retailer, the central focus of the campaign is its American Living apparel, which was developed by Polo Ralph Lauren’s Global Brand Concepts and is sold at JCPenney.
stores as well as online at jcp.com.
Band members Jay DeMarcus, Gary LeVox and Joe Don Rooney composed an original song, “American Living,” which is featured in the campaign. The song is included on an exclusive version of the trio’s Unstoppable album, available only at JCPenney. For each one sold, the retailer will donate $1 to the JCPenney Afterschool Fund, a charitable organization that assists children in need.
This fully integrated marketing campaign will run at least two years. In addition to sponsorship of Rascal Flatts’ concert tour, it includes primetime television commercials that star the band; customized American Living apparel that the trio wears onstage, tour merchandise sold in stores and at concert venues, a fleet of semi trucks decorated with American Living imagery, brand signage in concert venues, live radio remotes, a Web site (jcp.com/RascalFlatts) with concert updates and exclusive video clips, and social media elements that involve online interaction with users of Facebook, MySpace and Twitter. It’s a massive program and music is its linchpin.
“First and foremost, we’re trying to make an emotional connection with our customer,” said Mike Boylson, Chief Marketing Officer, JCPenney. “Nothing connects emotionally more than the power of music. When you get the music right, and you can tie your brand to a sound and an artist, it elevates your brand. The thing that attracted us to Rascal Flatts is the fact that not only are they the No. 1 group across all genres of music but also they have many fans who are females 18-35, which is a customer we’re trying to grow out base with. It didn’t take a lot of research to figure out that they were hitting right in the sweet spot of our target demographic.”
JCPenney enlisted the services of Executive Visions Inc. (EVI) to serve as architects of the campaign. “Our company helps to fully integrate the band and the brand,” explained Michael Marco, President and CEO, EVI. “Notice the tour name: ‘Rascal Flatts: American Living Unstoppable Tour Presented by JCPenney.’ The name ‘American Living’ will be everywhere — on the radio, on a ticket stub, on a promotion, on a bus, on a truck and on a computer screen. It’s an integrated part of the name of the tour. Even integrating the name was a very strategic success.”
Before the tour kicked off in June, LeVox said, “We are proud to represent the American Living brand with JCPenney and the relationship is off to a great start. We are excited about the things we have planned with them for the tour.”
The scale of this program is certain to raise the profile of Rascal Flatts among consumers. According to Advertising Age, JCPenney spent more than $1.1 billion on U.S. advertising efforts in 2007. The company, which has 1,101 department stores, posted revenue of $18.5 billion in 2008.
Another Country act with a high-profile sponsorship deal is Miranda Lambert, who has teamed with Cotton Incorporated. Lambert, R&B vocalist Jazmine Sullivan and actress/pop singer Zooey Deschanel have each recorded a new version of the brand’s theme song with its memorable hook, “the touch, the feel of cotton.” The song was retired in 2001 but revived this year; Lambert’s version is posted on TheFabricOfOurLives.com, with new verses that were written specifically for her.
“People of all ages fondly remember the ‘cotton song,’” said Ric Hendee, VP Consumer Marketing, Cotton Incorporated. “With these new renditions, cotton gains a stylish, youthful energy, which will help demonstrate that cotton is in the full range of today’s fashion.”
Though she has turned down other sponsorship offers, Lambert described her decision to partner with Cotton a no-brainer. “There were just a lot of things that coincided with me as a person and with Cotton as a brand,” she said. “It has an All-American image, and overall, that’s what I have. The majority of cotton is grown in Texas, my home state. It’s natural and it’s good for you. This is a ‘feel-good’ type of campaign, and the company was open to letting me be myself in the press and all the commercials, really representing who I am.”
Matching a corporate brand with a Country act is a bit like finding a spouse. Both parties work hard to connect with the ideal partner and then they strive to make each other happy. Ideally, both will prosper as a result of their union. The romance between Madison Avenue and Music Row is several decades old, but the passion seems sure to remain.
With lyrics about lemonade stands and high school proms, Rodney Atkins' No. 1 hit "It's America," written by Brett James and Angelo Petraglia, sounds like an idealized vision of life in the United States. But it's actually not so far from the boyhood Atkins enjoyed in Cumberland Gap, Tenn.
"I grew up in a Tom Sawyer world," Atkins explained. "I'd go down to the river with a fishing line, tie it to my toe, and lie down on a rock and wait. When I got a bite, it would wiggle my toe. In the summer, we'd camp in the woods for two or three days and not be scared. It's the kind of place where people play sports, work hard and have close families. Growing up in a place like that just instills values in you. It's the kind of place that will sustain you."
This imagery distinguishes all of the Atkins catalog, going back to Honesty from 2003 and the breakthrough If You're Going through Hell, which hit No. 1 in 2006. But for Atkins, the focus on his latest album, also titled It's America, was a little tighter. "I set out for this album to be a celebration of life, not by measurement of where you are on the hierarchy of class as far as how much money you make, because that really does not define who you are," he said. "It's about those things you have to remind yourself sometimes to be thankful for, the things that really matter.
"That's what I like about 'The River Just Knows,'" he said, citing the closing tune on his new album. Written by Sam Tate, Annie Tate and Dave Berg, the song is about a battle-scarred veteran seeking solace in nature. In a very literal sense, that's what Atkins found when he came to Cumberland Gap as an infant. "The folks who raised him there were his third adoptive parents; he was so sickly that the first two couples who took him home returned him to the orphanage in Greenville, Tenn. Clearly, he faced his share of trials in childhood.
Still, Atkins is one of the most unremittingly positive performers in Country Music today. It's America exemplifies this perhaps most personally on the two that Atkins had a hand in writing: "Got It Good," penned with Casey Beathard and Ed Hill, which itemizes the pleasures from "a Saturday game at Wrigley Field" to the blessings of family life over a foot-stomping beat, and "Simple Things," a co-write with Dave Berg and Rivers Rutherford replete with images of back porches, tire swings, sunset over a pine forest silhouette and a dog named Ace. The rest of these 11 tracks reinforce this impression through pumped-up anthems about friends, family and old-fashioned values, sung in his natural oaken twang. And his music pairs old-school Country signatures such as fiddle and pedal steel guitar with the distinctly modern whack of a driving snare drum and grinding guitars.
Key to the impact of It's America is its sound — specifically, as Atkins sees it, his co-production with Ted Hewitt helps the up-tempo songs rock harder, and his vocals are stronger than anything he's recorded to date. Atkins credits two sessions he arranged with Nashville vocal coach Janet Kenyon for helping him stretch his range to the point that he can tackle the highs and lows of songs such as "Tell a Country Boy" without any problem.
"When I moved to Nashville and got signed to Curb, I was singing probably high A's all the time," he reflected. "Then, with Honesty and Going through Hell, I relearned my approach because I couldn't sing the low end; it was really hard to sing 'Watching You.' Then I had to relearn how to open back up because my whole upper register had gone away. Now I've learned to re-access that stuff. She gave me some exercises that I do every single night before I go onstage, whether it's a little acoustic deal for a TV show or a 90-minute concert. She's really helped me, and now I'm singing higher notes than I could have two years ago."
The story of Atkins' success dates back further, though, to 1993, when the then 25-year-old met fellow songwriter Hewitt. "He already had songs in his back pocket that blew me away," said Hewitt, who was working for the Greenwood Publishing Group at the time.
They began their ongoing collaboration, writing and cutting demos together while Hewitt, who is also a guitarist, helped Atkins assemble a band. "We did gigs and various projects, and in 1997 I was able to get Rodney signed to Curb Records," Hewitt said.
That year his debut album, Rodney Atkins, was recorded. Though never released, it did send Atkins and Hewitt on a journey of artistic self-discovery as they began working on songs and visiting publishers and writers for material.
"Hits aren't the be-all and end-all of a career," Atkins said. "But they're important, and we wanted to find the right songs and a way to present them that felt like me."
They found a champion at Curb in Phil Gernhard, the late producer and Senior VP of A&R at Curb Records, who encouraged them to write more songs and, based on the strength of a series of what Hewitt describes as "hall Mary demos," gave them the green light to co-produce Atkins' next album.
The pair took their time, sifting through the tunes they eventually used for Honesty, released in 2004, which yielded Atkins' first Top 5 cut, the piano-driven "Honesty (Write Me a List)." Still, "Honesty" wasn't
what Atkins and Hewitt were ultimately looking for as they defined their direction.
A deeper search ensued. Atkins retreated to his country home, cutting tunes with Hewitt in his stripped-down studio, revamping his music and refining his craft to crystallize his art and identity.
"I decided that I am happiest when I'm not concerned with the mundane things in life or in the music business," said Atkins. "I wanted to sing about topics that mean something to me, like family and friends and love and loyalty and other things that are really important in life. And I wanted to just be myself and not worry about a persona or something. So when you see the guy on the stage in jeans, a T-shirt and a baseball cap, that guy's me."
And that guy made both 2006's *If You're Going through Hell*, which lobbed the title track, "Cleaning This Gun (Come On In Boy)," "These Are My People" and "Watching You" to the top of the charts, and *It's America*.
Though Atkins and Hewitt co-produced both albums, they credit Kelly Lynn, A&R Music Consultant, Curb Records, for her ability to find a strong selection of songs. "She really believes in what we're doing," said Atkins.
From Lynn's perspective, her chief responsibility was to make sure that Atkins was free to represent himself as he really is. "He wanted to use the microphone and sing and play the way he wanted to sing and play," she said. "It was easy to believe in him because he's such an honest and easygoing guy. With Rodney, what you see is what you get. So when I disagreed with him about a song or felt strongly he should record a certain tune or go with a different arrangement, I could also expect him to listen and react honestly. That makes him very easy to work with."
Lynn added that Atkins' upfront nature is why so many people relate to him personally and through his music. "They know what they're hearing and seeing is all Rodney," she insisted. "There's no act there, no marketing. When he's singing about good old boys and true love and what's great about America, he believes every word, so they do too."
"For me," Atkins reflected, "singing songs about family and loving America are natural things, the kind of things I grew up with in my life. I'm proud of this country that makes so many of the things I love in life possible, and I'm proud to make a living doing this."
With a clear-eyed, idealistic vision of America reflected through his music, and with his high-energy stage show, it's possible for some Atkins fans to equate his values with those of Bruce Springsteen.
"I really admire Bruce Springsteen and enjoy his music," said Atkins, who name-checks the rock icon on the title cut of his album. "He and I probably have a lot in common. We also probably have some opinions about how things should run that we disagree on. But I think in the end we both believe that the simple and honest life is the best kind of life."
RodneyAtkins.com
Dierks Bentley: up 95 percent annually for the past four years. Keith Urban: up 170 percent in his first year. Brooks & Dunn: up more than 500 percent in 18 months. Kenny Chesney: from 3,000 to 30,000 in less than 18 months. Lady Antebellum: a 10 percent increase every month since March 2008.
If this sounds like a rally from the good old days of Dow Jones, think again. These numbers, supplied by industry sources, reflect across-the-board increases in artist online fan community growth.
“Thanks to the Internet, fans and fan clubs today are absolutely more important than they’ve ever been,” stated T.K. Kimbrell, President, TKO Artist Management and longtime manager to Toby Keith. “More and more people every day have access to computers and the Web. That’s where people go to get their information. We can spread news about our artists and instantly reach fans all over the world.”
“Fan clubs are an online community of like-minded people who care about your music and your lifestyle,” said Shelia Shipley-Biddy, President, Stringtown Records and Artist Manager, Hallmark Direction Company. “The more they get that personal touch, the better it is, because that’s their opportunity — and yours — to share.”
“It benefits all artists to have an online community,” said Heather Conley, Director, Marketing, Lyric Street and Carolwood Records. “As a record company, we really look to the Web and fan communities as major components of our marketing strategy. We’ve developed online tools like widgets, countdowns and wakeup calls for fans, as well as viral mechanisms to alert and activate these core consumers. In most cases, our artists’ fan communities are a significant part of our overall marketing plans.”
From record sales and ticket buys to sponsorship tie-ins, e-commerce and other promotional activities, nearly every element of branding and broadening an artist’s career draws on the close-knit connectivity of online fan communities to spread their message.
According to Jon Wright, Creator of Directives and Managing Partner, MusicCityNetworks (MCN), ABOCs — affinity-based online communities — are critical to extending an act’s career. “The fan is in control,” he insisted. “They can and do demand that artists be interactive with them. They expect it. It’s in the artists’ best interest to incorporate this relationship into their own daily lifestyles.”
Moving beyond the models of yesteryear, today’s fan clubs have become sophisticated, multi-tiered operations, where fans choose which level they want to join. Anyone can sign up at no cost for inclusion into an artist’s Internet, e-mail or mobile community, but at paid levels of membership the benefits increase.
“Typically speaking, when you talk about fan clubs, you’re talking about a paid subscription level with lots of content and interaction,” observed Hal Hassall, former VP, Marketing Services, echo, Ticketmaster Entertainment’s Nashville-based digital entertainment marketing firm. “Price points in Country Music usually work out to around $25, $35 and $50. The two upper tiers usually involve discounted product and merchandise in addition to digital access to content hidden behind the log-in. As a visitor to an artist’s Web site, you might find a few hundred photos to view for free; there might be a few thousand photos available to paid members behind the log-in screen. There might be a handful of videos for fans on the outside; there might be a few hundred videos for members on the inside.”
In other words, joining a fan club appeals to fans willing to shell out a few extra dollars for an all-access online pass. This can include viewing personal interview segments and backstage footage; joining live chats, blogs, forums and message boards; a chance to pre-order upcoming CD releases or buy discounted merchandise and apparel; entering contests to win prizes and autographed
Discounts • Member-Only Videos • Advance Tickets • E-mail and Text Updates • Pre-Show Party • Vote Which Single • Giveaways • Contests • Meet and Greets • Exclusives
gifts; purchasing concert tickets in VIP seating sections or even registering for meet-and-greets backstage after the show.
In the case of Kellie Pickler, for example, those who joined her official fan club, launched in March at KelliePickler.com, were eligible to buy tickets to her shows (including her concert dates with Taylor Swift) before they went on public sale, as well as access to rare photos and videos, a members-only message board, contests, giveaways and merchandise discounts — all for a $19.99 annual subscription.
In return for this level of support, artists can galvanize a significant portion of their fan base into a dynamic marketing resource. As street teamers, fans spread the word virally through MySpace, Facebook, iLike, imeem and other social networking Web sites. They link music and videos to their own pages, participate in promoting specific events and even shoulder some of the responsibility for publicity and promotion.
“Rascal Flatts has a very large and rabid online community,” said Conley. “We use those fans on all our online initiatives because they’ve learned how to be really good marketers in their own right. We send out packages to regional marketing leaders’ who have developed a community of fans in their own areas that they oversee. These leaders are fans that management has picked out as being responsible and able to do ‘above and beyond’ what a regular street team member does. They function almost as an extension of our label marketing or distribution. They hand out thousands of postcards, put up posters, take pictures in stores and send back reports about product placement and inventory. They are totally invested in the band, and they help us as a record company to get the word out about new product, new ringtones or a new single at radio.”
In April, Lyric Street and Turner, Nichols and Associates mobilized this force on a national scale to promote Rascal Flatts’ latest album, Unstoppable. In return, participants received opportunities to interact personally with the band as well as to receive free merchandise.
“We’ve had people download artwork they’ve created with the street date on it, blow it up to a poster, plaster it on the side of a hot air balloon and fly it over the city,” said Lang Scott, President and Managing Partner, MCN. “We could never dream up what these fans come up with when you give them the marketing assets and a little added incentive to help their favorite artist. If you then add viral components such as trackable promotional banners for them to embed on their own social networking sites, you’re talking about thousands and thousands of instant impressions, which help the artist, the label and everyone connected with that act.”
When does it make sense to add paid memberships to a fan club operation? Hassall suggested a rule of thumb: “If your e-mailable audience is greater than 30,000 people, you’re probably at the point of having a profitable fan club operation. Below this, it’s probably not going to be a money-maker.”
Money remains an issue, not only in challenging fan clubs to make sure they deliver what members want but also to stay afloat in today’s turbulent economy. “People are cutting corners everywhere they can,” acknowledged Wright. “If your Sara Evans fan club membership is coming up for renewal, it may be hard to warrant such a discretionary expenditure when simply paying the rent is a challenge. We’re trying to tackle these issues by expanding member benefits and discounts, providing physical goods as part of a membership or adding a paid membership subscription when you purchase the artist’s CD package.”
Others follow a more traditional approach by keeping their fan club management in-house, including Alan Jackson, who employs two full-time staffers to oversee his operation. “I know we’re probably a dying breed nowadays, doing a fan club the way we do,” admitted Cindy Hart, President, Alan Jackson International Fan Club. “But people really like it. I think fans respond to being able to hold something in their hand that you send them for free and a personal voice they can talk with.”
But whether a fan club is managed by artists or through third-party new media firms, certain truths endure. “Fan club members are the first ones to buy your records and concert tickets,” said Hart. “They’ll be the first ones to support your charities and your sponsors. They genuinely want to support you. For artists who are changing labels or have been dropped from a label, fans can help lure new sponsors or a record deal. It’s a major selling point for artists to know they can count on this support and to encourage it every way they can.”
If you had yet to experience the music of Keith Urban and still had somehow found your way into one of his rehearsals prior to the May launch of this year's 58-city "Escape Together World Tour," you might have emerged with a few mistaken ideas about this Country Music phenomenon.
On one sunny spring afternoon, for example, you would have seen Urban in the vast rehearsal space within Nashville's Sommet Center, counting off "Standing Right in Front of You" from his No. 1 album Defying Gravity — and just after his band locked onto the groove, smoke and blinding white light flooded the room, the huge backdrop behind the 3,500-square-foot stage exploded into five separate 60-foot tall high-definition video screens that rotate up to 270 degrees which, when he later kicked into "Sweet Thing," the album's chart-topping first single, lowered and loomed practically on top of Urban's head, blazing with stars as if we were all racing into space.
A spectacle to be sure, but the longer you lingered the clearer it became that these effects weren't about mere razzle-dazzle as much as bringing listeners into the heart of Urban's artistry.
"Production can definitely be overdone," Urban conceded. "When I go and see a band playing, they might sound amazing but I can't listen to something that sounds the same, song after song. And I can't watch the same production constantly because that fatigues me after a while. So it's about knowing when to back out and also using the lighting and the videos to connect with the audience instead of compensating for something that's missing — using those screens to project intimate moments to the very back of the crowd."
When planning a tour, Urban takes the lead in finding the best visual complements to the songs he'll be performing. His insights are technical as well as creative, thanks to experience he picked up in his late teens as a stage lighting tech in Australia. Always his aim is to bring fans closer to the music — and sometimes that means bringing Urban closer to them.
"With YouTube and that sort of thing, people start talking about the show and suddenly there are very few surprises for everybody," Urban said. "We had to find ways to be spontaneous every night, so now we have a couple of different stages out in the crowd. I asked them to build one that is really just big enough for one person, a portable stage that we can put on the main floor or up in the bleachers, wherever we want it, at a moment's notice. And so I can go out in the audience, get on that little stage and perform a song in a different position every night. It's always unpredictable."
This satellite stage with two massive ramps that provide direct access to the floor and Urban's inborn desire to play anywhere that the stage isn't has led to some interesting encounters. Just nine dates into the tour in June, Urban had lost a guitar, had his shirt nearly ripped off, been forced to stop playing and had visited the floor and first tier seats more than two dozen times. (See video footage at KeithUrban.net.)
Deciding what not to use is a part of the process too. "Sometimes the visual things I imagine are modified. Sometimes they're scrapped altogether because they look better on paper than they do onstage," he said, laughing. "It's very much like making a record: You have to be willing to sacrifice things to achieve a much more consistent result."
Onstage and in the studio, Urban's target is the same: to reach as many people as honestly and expressively as possible. "I'm much more interested in inspiring than impressing," the five-time CMA Awards winner explained. "The best concerts I've been to, I find myself a week or two later talking to somebody about it and remembering things that keep coming back to me. I'd be excited about everything — the guitars the guy was playing, the way the band moves around onstage, what they do with arrangements of certain songs to take me on a journey. And it's the same kind of thing when I'm making records."
That's how it was with Defying Gravity. Working closely with producer Dann Huff, Urban dedicated himself to presenting the kind of upbeat, ear-friendly sound that's been his trademark since his self-titled debut album launched his first No. 1 single, "But for the Grace of God," in 2001 and began its voyage toward becoming the first of Urban's two multi-Platinum and two Platinum albums.
From the innocent romanticism and infectious beat of the No. 1 single "Sweet Thing" through the aching nostalgia and sheer craft of "Til Summer Comes Around," both of which Urban wrote with Monty Powell, to the sunny sing-along hook that drives "Why's it Feel So Long," his single solo-composed song among these 11 tracks, Defying Gravity ups the ante for all writers who strive to combine the commercial with the personal in one irresistible package.
Having worked with Urban as a producer since 2002, Huff brought a personal and musical familiarity into the studio for Defying Gravity. "Keith will record outside songs, but first and foremost he's a writer/artist," he noted. "So therefore by definition, when he goes to record, it's an extension of what he's living and feeling and learning at that period in time. And so each album is different. Now, if you go to his show, he's certainly aware that people are there to be wowed and he doesn't disappoint. But in the studio, his focus is more to get to the heart of the matter."
"This was definitely the first record I've written from a place of being in it, as opposed to imagining it," said Urban, who co-wrote eight of its 11 songs. "On previous records, I've done a lot of imagining about love and relationships and freedom and so forth. This record has more quality because I'm in those places much more so than ever before, because my family has been such a tower of strength to me."
Nothing makes this point clearer than the final cut. Written by Urban and Rick Nowels, "Thank You" begins with its eloquently simple title and unfolds like the heart of a penitent accepting his blessing. It's fitting that Defying Gravity opens with the rollicking, familiar Urban vibe of "Kiss a Girl" and ends with this unabashed expression of gratitude to his partner in life.
Capturing this variety of emotion in music isn't always easy. In some ways, that's especially true when two creative people join forces, each with ideas that may at times clash with those of the other. Partly because they know each other so well, and partly because of the pressures involved in
"I'm much more interested in inspiring than impressing."
— Keith Urban
Huff and Urban eventually found themselves at a point of confrontation that might have derailed a partnership less grounded in shared history and mutual respect.
They were into their second week of tracking at the Castle Recording Studios in Franklin, Tenn. "We had one day where we'd hit a really strange wall," Urban recalled. "There's a good balance between us, but we hadn't been able to achieve it on this record. Finally one day we had to walk outside and go at it, verbally and emotionally, and clear the air on everything."
Ironically, they were working on a track that didn't make the album's final cut. "We were doing an overdub," Huff remembered. "We'd invited Stuart Duncan, the fiddle virtuoso, to come in and do a very minuscule part — something he is so over-qualified to do. But Keith was like, 'Just throw it in there.' I was waiting to hear something that hit that sweet spot, where I really felt it. And Keith interpreted that as my being microscopic about it."
In part, the pressure was relieved by Capitol Records Nashville agreeing to allow a little more time for recording. But more directly, the personal exchange between Huff and Urban had an instant and positive effect. "It was incredibly cathartic," Urban said. "The very next day and all the way to the end of the record, it was completely positive and productive."
"It's OK to feel tension," Huff added. "It's OK to have disagreements as long as you're willing to communicate and, like in any good marriage, be humble and willing to apologize. Making an album is not a clinical operation. It's different every day. You're making stuff up. You're chasing something that doesn't exist. So we were like brothers, picking at each other: 'You did this! No, you did that!' And by the end of it our eyes had misted up and we were hugging each other. It was good. It allowed us to go to the next level."
Whether laying tracks or designing a tour, real emotions, expressed respectfully, can make the difference in bringing a team closer together and giving the public the quality it deserves. "My respect for Keith has grown through the years and our friendship goes way deeper than the music," Huff summed up. "I know that when we're old guys, sitting on our rockers and talking about 'back in the day,' I'll be able to say, 'Boy, what a great job I had!'"
What started as a way to make sure favorite artists didn’t slip by unnoticed has turned into a powerful information tool for fans and artists.
Launched in 2004, San Diego-based Eventful was conceived by founder and Board Chairman Brian Dear, a veteran of eBay and RealNetworks, among other companies. His motivation, according to Jordan Glazier, CEO, Eventful, was that Dear was “fed up” at finding out that events he would have liked to attend had already come and gone.
“There was no good way to find out what was happening across your interests in your local market or in a market you’re traveling to,” Glazier said.
So Dear launched Eventful, which utilizes a Web site (Eventful.com) and e-mail notification as well as mobile applications and content distributed through widgets and apps to keep users informed about things they’re interested in before they happen. “Eventful gives people time to make plans with their friends or to connect with people with common interests, so they can go together,” Glazier explained.
From that service goal, it was a short step to address another common concern: events you wish would happen but had not been scheduled. This inspired Eventful to create its Demand feature, which helps fans register and influence where and when events such as music performances can occur. “It’s a way to finally be able to communicate to event organizers, promoters and performers that you would be willing to buy a ticket to see your favorite performer,” Glazier said.
Through this process, fans become emotionally invested in the performers they help bring into their markets. “Instead of just reading about it in your local daily and deciding whether you’re going to go, which is a very passive experience, for months in advance of the event you have been a part of the process of where that event is going to occur,” Glazier pointed out. “When the event happens, not only do you go, you also bring your friends and family.”
Eventful’s users select from nearly 4 million events taking place in local markets throughout the world, from concerts and sports to singles events and political rallies. While some of the first events to use the Demand feature were book signings and art gallery openings, Glazier noted, “It very quickly became apparent that we’d struck a nerve in the music industry.”
That connection has amplified to the point of KISS partnering with Eventful to route its upcoming U.S. and Canadian tours. Fans “demanded” where the legendary rock band would perform, beginning this September. And along with registering votes in hopes of bringing KISS into the market, fans could monitor the tally of votes elsewhere to see which cities were in the lead.
“We help performers make the right decisions about where to perform, based upon really good, substantial, rigorous data about where there is demand by their fans for events,” Glazier said. “Whether to go to Nashville or Chicago or Los Angeles, those are easy decisions. When they’re deciding to go to Columbus or Cleveland, historically it’s like throwing a dart. Economically, where should they tour to sell tickets?”
Eventful has impacted the Country market too, as Little Big Town teamed with the organization to find an opening act for four shows on “A Place to Land,” the group’s first headlining tour, in March. Prospective artists and groups responded by encouraging
“We help performers make the right decisions about where to perform, based upon really good, substantial, rigorous data about where there is demand by their fans for events.”
in Concert Booking Matches Artists and Markets
their fans to "demand" that they get the opportunity.
The campaign was a natural fit for Little Big Town. "We're all about nurturing new artists and struggling artists because we did the exact same thing," said band member Phillip Sweet. "We went out and played in front of whomever so we could get our name out there. It was about giving these artists an opportunity and letting them do their thing in front of our audience. There are fewer and fewer opportunities for new artists."
Fifty thousand fans participated and 309 bands competed. It was, as Sweet described a "good all-around experiment. There was no faking it. You definitely had to get your fans going for you. It's good to find new ways to market yourself and generate activity for yourself. We didn't know what to expect or what would come from it. We got four different and unique artists [to open for us], which was cool."
One of those winners was Josey Greenwell, an independent artist from Kentucky who earned the chance to open for the group in Tulsa, Okla. While Greenwell, who counts John Mayer, Taylor Swift and Keith Urban among his influences, had considered entering talent search type contests in the past, the Eventful experience exceeded his expectations.
"I never thought there'd be a contest where you could actually win something for something," he said. "I think it's really cool and a great experience. I'm sure someone in Little Big Town's position would extend this opportunity to someone trying to get started. I'm so thankful to them. I've been introduced to a broader audience. We've been getting a few more gigs here and there, and more people have been checking out my MySpace page."
Greenwell, who also stays in touch with fans through his Twitter account, had been using Eventful's Demand widget on his MySpace page even before entering the contest. He also uses the company's Performer Dashboard feature. "They give you a lot of stats that I can look at and see who is listening to my music and where we should go," he noted.
Record label executives are also taking note of the Eventful model. "What can we do to add more ticket sales and word of mouth when it's a smaller tour?" asked Cindy Mabe, Senior VP, Marketing, Capitol Records Nashville. "You want to build as much word of mouth as you can. When there's less cash involved, getting fans involved is just the way you've got to go."
Club owners and venue operators are utilizing Eventful too. "Venues are coming to our site to see who is in demand in their local market to make informed decisions about who they should book," Glazier said. "We've got venues all across the country using the data."
Luke Bryan, whose second Capitol Nashville album *Doin' My Thing* is due in October, has partnered with Eventful for a promotion that allowed his fans to bring an album release show to their city. Bryan's hometown of Leesburg, Ga., won the honor by submitting the most demands over an eight-week period.
Mabe chose Eventful for the Bryan promotion because of the label's experience with the Little Big Town promotion. "It generated a lot of noise, got people excited about the tour and helped propel their first headlining tour," she explained.
"In this day and age, it's so critical to encourage fan involvement and accessibility," added Bryan. "You're always looking for a new way to capture a fan and get them involved."
Almost immediately after the contest was announced in May, fans began posting Demand banners and widgets on their local networks, according to Mabe. "We're competing for everyone's attention, time and money," she said. "Having the fan involvement and word of mouth is more critical than ever these days."
People use Eventful to track and share events in many ways, which include importing iTunes and Last.fm performer lists, exporting events via feeds, calendar widgets and services, e-mail alerts and customized e-mail event guides and watch lists.
Supported by advertisers, Eventful is free to artists, labels, booking agents, and managers. The company also makes money through ticketing partnerships and ringtone partnerships and from licensing event content to other companies that use the information to power their online calendars and mobile applications.
And it's expanding its fan base to include many of the artists who have made use of it. "It's a really cool idea," Sweet said. "I think we're going to see it evolve and grow. They are making an impact, and I think we're going to see a lot of artists experimenting with this in the future."
Eventful.com
the right decisions about where to perform."
- Jordan Glazier, CEO, Eventful
If anyone has proven the merits of the old adage “if it ain’t broke, don’t fix it,” it’s The Oak Ridge Boys.
For more than 35 years, the internationally renowned quartet has been making hit records, collecting honors that include three CMA Awards and selling out concert halls with much the same ebullient blend of Country, pop and gospel — and, except for one late ‘80s interruption, the same four voices.
So what’s with the version of the White Stripes’ “Seven Nation Army” on the quartet’s new Spring Hill Music album, *The Boys are Back?* And not just that, but what about the hip-hop-inflected rhythms on the title track and producer David Cobb’s blues- and rock-influenced arrangements elsewhere on the album?
It all started with Shooter Jennings, according to group members Duane Allen and William Lee Golden. Jennings, they explained, wrote “Slow Train,” a song from his 2007 album *The Wolf,* with the idea of having the Oaks sing on that track. Not long after the group did, Jennings invited them to join him onstage during a gig at City Hall, a now-shuttered rock club in the trendy Nashville district, The Gulch.
“We went down and performed with him,” said Golden, who sings baritone in the group. “And then he and his band backed us up on ‘Elvira’ and ‘Bobbie Sue,’ and man, that young crowd was just so enthusiastic about the music.
“After that, we were thinking about doing a new album,” he continued. “We got to talking to Shooter’s producer, David Cobb, since the music we were doing that night was so much fun and the audience appealed to was such a hip audience. The music had that edge, that Country-rock feel.”
“Those kids were Shooter supporters and they sang along to our songs,” added lead singer Allen. “They responded so well, we got offstage and looked at each other and said, ‘We can do this.’”
“This” became *The Boys Are Back,* the latest Oak Ridge Boys album — and nowhere near the second coming of “Elvira.” With fresh arrangements of songs from artists as diverse as blues great John Lee Hooker, classic rocker Neil Young and alt rock troubadour Ray LaMontagne, the Oaks’ latest is as bracing as it is inspired.
“We make no excuses about going for that youth market that Shooter appeals to,” said Allen. “But to do that, we knew we had to be relevant. We knew that the only way to get them to follow us in a new day was to record something for them, with them in mind. So we went with a young, hip producer who could take us in a new direction and yet who still respected our past, much to the tune of what Rick Rubin did with Johnny Cash.”
The gamble paid off, at least if early reports from the road are any indication, including house-rocking performances before a young rock-leaning crowd at Austin’s annual South by Southwest music festival in March and an eclectic audience at CMA Music Festival in June. Even so, none of the group’s members — who, besides Allen and Golden, include tenor Joe Bonsall and bass vocalist Richard Sterban — knew quite what to make of it when Los Angeles-based producer Cobb brought “Seven Nation Army” to the table.
“David said, ‘I want to get y’all singing things that you maybe haven’t done before,’” Golden recalled. “When the bass comes in — *bum, bum, bum* — I want Richard to match that vocally. And then on the chorus, where those guitar lines are, I want that chord that Jack White played done vocally, with harmonies.”
The result, an ominously atmospheric track that sounds like the Oaks are ushering in Judgment Day, sounds nothing like the White Stripes’ original. “I had a funny feeling about covering that song,” Allen remembered. “But David said, ‘We’re not going to cover this, we’re going to take these licks and do them like The Oak Ridge Boys would do them. We’re going to reinvent it.’”
Golden admitted that Cobb had to push the group at times to get those kinds of results. “David would sing the parts if we were not getting it,” he said. “He would teach Duane how to put the inflections to his voice, to get the rhythms to flow not like a metronome, the way we usually do it, but to lay back and push. David wanted us to sing with more of a rock-type phrasing than we use when we’re singing Country or gospel.
“It was a real raw, emotional thing he was after,” Golden continued. “There would be times when we’d be trying to do it too straight and, standing in the control room, he would mash that button and sing it for us until what he was after sank in.”
Cobb doesn’t remember being quite the taskmaster that Golden describes, but he does agree that he was going for something different in the studio. “If anything, I was trying to get them on the edge of not being in control,” the producer said. “If you look at the way that Duane sings that last verse of ‘Seven Nation Army,’ he really blows it out.
“The main thing I got out of them was that fire and I think some of the phrasing, like on the title track, the song Shooter wrote,” Cobb continued. “It’s a really interesting rhythm. It’s very modern. They had to learn some rhythms they weren’t accustomed to, but they were down for everything and anything, and it sounds like it. If you could have seen Richard singing ‘Boom Boom’ [written by John Lee Hooker], there was such energy to it. He was cracking up, just laughing. Everyone was just having a blast.”
Cynics might write off all of this carrying on and these newfangled rhythms as pandering to the youth market. But that’s not how the group sees it. “We didn’t sell our soul,” Allen insisted. “We just found another way to get to it. David provided us with the bridge to get us to another place without abandoning where we’d been all along.”
Even a cursory listen to *The Boys Are Back* bears this out. By turns tender and robust, “Hold Me Closely” and “You Ain’t Gonna Blow My House Down,” written by Ethan Johns and Ray LaMontagne, find the quartet drinking deeply of the Southern gospel music well.
“I wanted to pull from gospel because that’s where they came from,” said Cobb, whose cousin, Brent Cobb, wrote “Hold Me Closely.” “I grew up in a Pentecostal church, and I wanted that one to feel like a church service with gospel piano. I thought there was nobody better to play...
church piano than Jessi Colter, so we brought her in to play on it.”
In an amusing turn of events, Cobb, until them playing the role of producer/teacher, found himself in the role of student while working on that track. “I said, ‘We should do this like a Stamps Quartet thing. Y’all know what I’m talking about, right?’” he began. “And then Richard comes over and says, ‘Well, you know, Dave, I sang background for Elvis with the Stamps.’
“I felt like such an idiot,” Cobb said, laughing.
“You Ain’t Gonna Blow My House Down” likewise brought the group full circle by reuniting them with “Elvira” writer Dallas Frazier, who came out of retirement to co-write the song with Glenn Ashworth for this album. Taking the Oaks back even further was the Jennings-penned title track, which name-checks gospel great Wally Fowler, who assembled the very first version of the group, the Oak Ridge Quartet, back in the mid 1940s.
All of which is to say that for all its new wrinkles and twists, The Boys Are Back is undeniably an Oak Ridge Boys album.
“The song selection is different, and the production is maybe rawer than what they’ve usually done, but it still sounds like them,” insisted Cobb. “They’re maybe just opening up a little bit more.”
In any event, it’s not like the group, which has recorded with Ray Charles, George Jones and Bill Monroe and sung on Paul Simon’s “Slip Slidin’ Away,” hasn’t reinvented itself before. “We crossed over from gospel,” said Allen, alluding to how the Oaks recast their church-bred harmonies on their 1977 breakthrough hit “Y’all Come Back Saloon.” “When we did that, we sang [Glen Campbell’s] ‘Try a Little Kindness’ and [The Youngbloods’] ‘Get Together,’ all kinds of songs that talked about the good life, even if they weren’t necessarily about Jesus. They weren’t really Country songs, they weren’t really gospel songs.
“This is really something we’ve done all along,” Allen elaborated. “And the new album is no different. It has a modern Country song written by Jamey Johnson [‘Mama’s Table’], a classic by Dallas Frazier and a mix of blues, rock and other stuff aimed directly at the youth market we met through working with Shooter.”
This synthesis of different strains of classic American music is what made so many people fans of the Oaks over the years — including Cobb’s father.
“Country, rock, blues, bluegrass — they’re all American music,” the producer concluded. “At the end of the day, that’s what Southern people like. We have broad tastes, and I think with the Oaks and those rhythms, it’s a very Southern approach, even if it has a little hip-hop in it. That’s what people listen to in the South.”
OakRidgeBoys.com
“I was trying to get them on the edge of not being in control.”
— Dave Cobb, producer
William Lee Golden, Joe Bonsall, Duane Allen, Richard Sterban
A brief overview of CMA's Country Music Consumer Segmentation Study was published in the June/July issue of CMA Close Up. This sweeping research project, conducted by the Leo Burnett Company and Starcom MediaVest Group to further CMA's mission of servicing the Country Music industry, identified the consumer segments most likely to monetize their enthusiasm for Country Music. Following, an excerpt from an in-depth article recently posted on My.CMAworld.com gives a portrait of the key consumers of Country Music, a.k.a. the "CountryPhiles," presented by one of the architects of the study, Jana O'Brien, former EVP, Chief Consumer Officer, Starcom MediaVest Group and current Principal, The Right Brain Consumer Consulting, LLC.
by JANA O'BRIEN
ATTITUDES TOWARD MUSIC AND THE COUNTRY GENRE
Music is clearly integral to the CountryPhiles' lifestyle. More than seven in 10 strongly agree that "listening to music is one of my favorite things to do." When it comes to which specific music genre is essential, the CountryPhile clearly believes that "Country is King." While up to half of this segment shows a liking of other genres, Country accounts for an astonishing 83 percent share of total hours spent listening to music. And their passion is trending up, as 43 percent state that they like Country more than they did a few years ago, while only 3 percent state they like it less.
That passion includes a conviction among 3/4 of the segment that Country Music tells real-life stories with true heart they can relate to, that it is "feel-good" music and that it is underrated and underappreciated as a genre. About 2/3 believe that Country artists are more real, down-to-earth and relatable than artists in other genres and that they care about their fans and share the same values and sense of community. Most CountryPhiles acknowledge that contemporary Country Music has broader appeal than the genre has had in the past, but there is little sign that they have any problem with that. Only about one in six feel that music has "sold out" or isn't as good as it used to be. But there is some CountryPhile backlash against crossover artists, as about 1/3 "get tired of music artists from other genres who suddenly decide they'll record a Country album."
FREE COUNTRY MUSIC ENGAGEMENT
Radio and television remain the main avenues by which CountryPhiles connect with their favorite music, with CDs staying the dominant format for paid engagement.
Much of this is attributable to the fact that, relative to other adults in the United States, CountryPhiles have been slower to adopt and/or fully embrace digital technology. Only half have Internet connectivity at home, compared to about 75 percent of adults 18-54. Reasons for this are diverse and in large part not due to any stereotypical lack of technological knowledge. About half find the cost prohibitive, one third don't see a compelling need and just under one in five cite a lack of experience or concerns about online content access for members of their households.
Many also note that they can access the Internet elsewhere. Nearly 60 percent who lack home access can get online at work or school. About half show interest in getting home Web access in the future. Still, its current absence does appear to limit these fans' ability to search and download Country content from the Net.
Radio is the hub of the CountryPhile's free engagement with Country Music. Nearly every CountryPhile listens to Country radio in the average
week. They also seek out televised Country content on CMT, through the two major genre awards programs and, for nearly half, through GAC. Additionally, CountryPhiles constitute 33 percent of all the hours spent by genre fans overall listening to Country radio as well as 31 percent of all who obtain free downloads of Country Music and 18 percent of all who watch Country content on television, view awards shows and visit Country sites online.
CountryPhiles may have less home Internet access than their peers in other fan segments, but those who do go online visit a wide range of sites for Country content to a significantly higher degree than less dedicated, non-CountryPhile fans — and they are more likely than younger, “surf-and-explore” Country fans to go directly to what they consider the most single-mindedly Country-devoted sites, including those for artists, fans of artists, CMT.com and GACtv.com. Also popular are YouTube, radio station sites and MySpace.
**CONTRIBUTIONS TO REVENUE**
It is hard to overestimate the importance of the CountryPhile segment to the financial health of the genre. CountryPhiles contribute 45 percent of the industry revenue associated with CDs and download purchases for themselves and others, concerts and related artist merchandise. There isn’t a Country Music revenue category that isn’t financially supported to some degree by the CountryPhile, with lower-tech products having a higher penetration than higher-tech. And the levels of CountryPhile penetration across all offerings are 30 to 150 percent higher than those of the average Country fan.
Even more notable is the proportion of total revenues for each Country Music product that is accounted for by the segment. CountryPhiles contribute more than half of the revenues derived from Country CDs (57 percent) and concerts (53 percent) as well as 26 percent of gift-giving dollars for Country products. And though they are less involved with digital commerce, they account for 56 percent of the Country Music industry’s digital download revenue, in part because fewer CountryPhiles indulge in digital music piracy than fans of other genres. CountryPhiles purchased their last CD from Wal-Mart (47 percent), Target (15 percent), online e-tailers (10 percent) and electronics stores (9 percent). iTunes is their main source of digital music purchases (68 percent), with Wal-Mart a distant second (13 percent).
The downside to this concentration of Country Music industry revenue within such a small segment of adults is that the loss of any individual CountryPhile would be akin to losing from 10 to 20 fans in other Country Music segments. The recent economic downturn increases this concern: CMA follow-up research, conducted in November 2008, indicated that CountryPhiles have been hit particularly hard by economic stresses. Given their family demographic, it is no surprise that their primary commitment to supporting their families’ needs can cut into their investment in entertainment goods and services, including Country Music.
**FINDING COUNTRYPHILES BEYOND COUNTRY PIPELINES**
Many Country Music content providers want to reach core fans beyond the times they’re directly engaged with Country Music. The CMA study addresses this issue by capturing the CountryPhiles’ general media behavior; this in turn provides insight into the media content that attracts them beyond Country Music.
On television, CountryPhiles seem drawn to the same story-driven content that makes Country Music appealing. Most of their viewing is devoted to reality programs with elements of daytime drama, hour-long dramas, movies and wholesome programming as shown on ABC Family and Lifetime. Sports and humorous programming also fall in their top tier of appeal. Within sports, CountryPhiles are more likely than average adults to follow traditional American fare: football, basketball and baseball. They are, however, no more likely than average to follow NASCAR, due probably to NASCAR’s expanded consumer footprint as well as its rather male audience, in contrast to the CountryPhile segment’s female skew.
CountryPhiles continue to be traditional media users as they skew above average on reading a wide range of magazines at a time when all print media readership is trending down. They index particularly higher versus average adults 18-54 on entertainment magazines (People, Us Weekly, etc.), home/food/garden-focused shelter books, and sports and outdoor titles, consistent with the perceived traditional nature of the Country fan lifestyle.
**IMPLICATIONS**
Anyone marketing a Country Music product or service would be wise to target the CountryPhiles and MusicPhiles. Success depends on understanding how many from each segment are present in a given marketer’s user or audience base, because the profiles, attitudes and behaviors of the individual Core Fan segments are so distinctly different that they would often require unique messaging and media approaches for optimal results. Application of the CMA BrandProspect Segmentation Algorithm, outlined in the June/July issue of *CMA Close Up* and at [My.CMAworld.com](http://My.CMAworld.com), can quantify Core Fans in a user base, with a huge upside given that its two small segments account for the most of the dollars currently invested in the Country Music industry.
Throughout 2009 and beyond, CMA will continue to invest in research to build on the knowledge base established with the initial segmentation study. Trends in fan segment attitudes and behavior will be tracked, the impact of the stressed U.S. economy will be monitored and ideas for building business will be explored. And CMA will continue to publish deep-dive analyses of the segmentation database to keep its membership informed on the opportunities represented by the Country Music fan.
An in-depth portrait of CountryPhiles and MusicPhiles as well as information on CMA’s Country Music Consumer Segmentation Study and CMA BrandProspect™ Segmentation Algorithm presented in PDF, Power Point and interactive formats are available on the CMA members-only Web site, [My.CMAworld.com](http://My.CMAworld.com).
**For more information on**
- CMA’s consumer research study or future agendas, contact CMA (615) 263-3696 or email@example.com
- use or integration of the Excel-based segmentation algorithm into a new or existing customer survey for information collection, contact Elizabeth Knapp (312) 220-4225 or firstname.lastname@example.org
- database overlay approach to typing an existing customer database, contact Carol Foley (312) 220-4205 or email@example.com
- focus group or CMA’s consumer research study, contact Jana O’Brien (708) 383-5794 or firstname.lastname@example.org
“segment to the financial health of the genre.” - Jana O’Brien
Holly Williams Sees the Light
by TIM GHIANNI
The blonde with the face that carries the delicate features of her grandfather likes to drop in to check out the goods in her upscale Nashville boutique, where boots that were dragged by a truck through Italian dirt go for $1,200-plus.
"I love it," said Holly Williams, granddaughter of Hank, daughter of Hank Jr., talking about her Nashville store H. Audrey, whose stock of contemporary clothing and accessories ranges from those Golden Goose boots at the higher end to some $198 jeans on sale for $50. Audrey is her middle name as well as the name of her dad's mother, the woman who inspired Hank Williams to compose some of Country's greatest songs of heartbreak and love.
"My grandparents sold clothing, cowboy boots and all that at a place called Hank and Audrey's Corral," she said, referring to the family-run store that once operated on Commerce Street in Downtown Nashville. "I've always had this business side. So did they. I'd always secretly wanted to have a little boutique with off-the-cuff designers — and after the wreck, I decided to do it."
Williams was referring to a near-fatal auto accident in 2006, which has affected her somewhat surprisingly, personally and professionally, in a positive way. Instead of facing life with her feet hanging out the window of a fast-moving car, she is firmly grounded. And some of that matter-of-fact approach is evident when she drops in at her store on days off from the road.
"She likes to come in and try on the jeans," said Sarah Richey, who has worked at H. Audrey since it opened in 2007. "This is like her big clothes closet."
Richey's eyes twinkled as she talked about her boss, who makes sure each piece of clothing meets her personal approval. "She's such a sweetheart."
With the early radio interest shown to her first full-album foray into Country Music, Here With Me, co-produced by Williams, Tony Brown and Justin Niebank, she may have a little less hands-on time at the boutique. Williams' songs on the album include "I Hold On," "He's Making a Fool Out of You," and "Mama," which tells the story of her mother and the positive attitude she displayed to her daughters while splitting up with their father. She's able to wrap her voice around a lyric and wring the emotion out of every syllable as evident on the first single, "Keep the Change," written by Hillary Lindsey and Luke Laird.
"My whole thing with writing is I love to tell a story," Williams said. "When I listen to songs, I play the movie in my head. I've always hoped some of my songs inspire vivid pictures."
Her measured choice of words and haunting vocal performance of "Three Days in Bed" paint a startling visual in the listener's mind as they recount a love affair in Paris. "This song speaks for itself, inspired by truth and fantasy," explained Williams. "It's the only track on the record that is a live performance with me and my guitar, completely raw, which was very important to me to have on this record."
Niebank, whose client list includes Vince Gill, George Jones, Taylor Swift, Keith Urban and now Williams, noted that this album is destined to connect with her targeted audience because "I think she has something to say.
"To me, Country Music, in the perfect world, is about great songs and great personality," he explained. "As a songwriter, she gets better with each song. As a singer, I love the directness of her voice."
Perhaps that directness is what distinguishes this sophomore album from her debut in 2004, The Ones We Never Knew. While suggesting that "the songs have stayed the same, we just added some steel guitar to them," Williams allowed that her first album was more "organic" singer/songwriter than Country.
"This time, it's a little more lyrically driven, more vocally driven," Niebank continued. "Her first record was too closed off vocally. This time, I let it out, let it be who she is, let her open up that expression. Holly was trying to find a way to communicate her personality to people," which was why she double-checked every take, striving to ensure that the vocal was dead-on for the message the song was intended to convey.
To Williams, this more-defined self-expression suggests the possibility of accelerating her career. The critical acclaim of her previous album (as well as an earlier EP) didn't translate into significant commercial success. "I didn't realize how hard it is for women in the genre," she admitted. "At the time, Country radio was..."
so into the pop Country world. The genre wasn’t open to the singer/songwriter stuff until Miranda Lambert, Michelle Branch and Sheryl Crow came along. We experimented with Country stations, but for the time I was left of center.”
The timing is better now, with female singers among the biggest Country artists on radio, stage and video. “I used to feel young. And then Taylor Swift came along and I thought, ‘Oh, my God, I’m such an old lady,’” Williams said, with a self-deprecating laugh. “When I was her age, I couldn’t even play a guitar.”
Williams began playing, with a vengeance, when inspiration hit. At 18, just out of high school, she became a regular at, as she put it, “every club in Nashville.” Fueled by a passion for Jack Kerouac’s rambling tales, she embraced life on the road as she opened for John Mellencamp, Ron Sexsmith, Billy-Bob Thornton and other performers. In stumbles and starts, she began discovering herself and fashioning her own spot in her family’s hierarchy.
Good-timing and rowdy living are components of that heralded family’s tradition. But so is tragedy. And just as it shaped the legends of her grandfather and father, so too did it play a big part in defining the artistry of the 28-year-old Williams.
That near-fatal car wreck in 2006, from which her older sister Hilary is still recovering, left a gory scene that recalls Hank Jr.’s life-defining, 400-plus-foot fall down a Montana mountain in 1975. After arduous reconstructive surgery, he returned to Country with a new, live-for-tonight attitude.
In contrast, rather than transform into a female Bocephus, she emerged from her near tragedy with the conviction that “I was left here for a reason.”
Her conclusion stems from one simple detail. A mile before the accident, Hilary advised her to buckle her seatbelt. “It was a sunny day and I had my feet out the window,” Williams recalled. “I usually didn’t wear my seatbelt, I guess maybe because everyone said you had to.”
Still, she went against her nature, buckled up — and survived, with injuries less severe than those of her sister. “When they found my sister, she was medically dead. Her blood pressure was 55 over 0. She was blue.”
Even so, Williams sustained serious injuries that “were worse visually” than Hilary’s. “Neither of our faces was damaged,” she said. “It was like an angel was covering our faces. But when I first saw myself, my head was so swollen up I didn’t recognize myself. Mine was more gore. There was no white in my eyes. It’s a wonder I didn’t have brain injuries. I have all these scars on my head and in my hairline. They tried to shave my head but I was like, ‘No!’ I was pulling glass out of my head for about a year.”
Both parents hovered and prayed over their daughters after their hospitalization. “It was good for my dad that he had that experience with the mountain fall,” Williams reflected. “He was so helpful. He would sit at the bedside for 24 hours.”
As the healing began, Williams found spiritual fortification. “My faith was reinstilled,” she said. “I did see the light and have a ‘come-to-Jesus’ moment,” documented on the album with an original song, “Without Jesus Here With Me.”
“I don’t know why I’m still here or why I lived that Wednesday morn,” she sings before wondering in the song about her grandfather’s legacy, her terrified parents, physical and spiritual salvation and seeing the light.
Even with the maturity and artistry exemplified by that song, Williams wasn’t sure she was ready for the big time in the Country market as she began work on *Here With Me*, for Mercury Nashville. She leaned initially toward the Lost Highway part of the Universal Music Group family, home to Willie Nelson, Lucinda Williams and other icons of alternative Country. But when Luke Lewis, Chairman, UMG Nashville, suggested Mary Chapin Carpenter and Emmylou Harris as models for a strategy of pursuing wider, more mainstream radio and venue exposure on the way toward establishing their niches as artists, Williams was receptive to the point of accepting invitations to open arena shows for Sugarland and Keith Urban.
“Where I am most comfortable is on a theater stage, with me and a guitar and a piano,” she said. “Country tours don’t lend themselves to that. But when I’m 60, I want to be touring the world with a sit-down audience. That is my favorite thing in the world.”
HollyWilliams.com
Change is constant in today's music industry, but few changes have had greater symbolic import than when Dave Pomeroy succeeded Country Music Hall of Fame member Harold Bradley as President of American Federation of Musicians Local 257 in March.
After serving in that office for 18 years, Bradley had become an institution in the Musicians Union as much as he had been for decades in the city's studios. Having played bass on more than 500 albums and earned honors as both Studio Musician of the Year and Bassist of the Year at the Nashville Music Awards, Pomeroy has also built a fabled reputation as a Music City session player, yet in the election he presented himself as an agent for updating the Nashville chapter's practices in several key areas. His message resonated sufficiently to earn him victory with 675 votes to Bradley's 449 and implement what many regard as a significant shift in Union agenda.
During his first months in office, Pomeroy set a number of initiatives in motion. These include creating a "Single Song Overdub" scale for musicians who record parts in home studios for out-of-town clients via the Internet, communicating with Nashville publishers about ways to release and market publishing demos as records, bringing Local 257 into the CMA's Sound Health Care group plan and even changing the Local's official name from the Nashville Association of Musicians to the more emphatic Nashville Musicians Association. Next up is revamping the Local's Web site into a multifaceted information hub for musicians and employers as well as tourists looking for great live music.
Yet through all of the complexities that arise when pursuing his agenda, Pomeroy keeps one overarching goal in mind.
"Our key issue is to redefine what the Musicians Union means within the Nashville community," he asserted. "We are definitely getting away from the perceived mentality that the Union is here to tell you what you can't do. We want our members to be treated fairly, make no mistake. But we also must acknowledge that things are different from the way they used to be."
Certainly they've changed dramatically since Pomeroy came from Virginia to Nashville 32 years ago and began a saga that included 14 years on the road with Don Williams and sessions for an array of artists that ran the gamut from Elton John and The Chieftains through Chet Atkins, Alan Jackson, Earl Scruggs, Keith Whitley and scores of other Country giants. "The community has diversified," he said. "And that has opened up the level of musicianship in this town to a level that's unparalleled anywhere else on Earth."
Pomeroy's range as a player, coupled with his increased involvement in Union activities in recent years, defined his vision of Nashville as a musical center whose borders stretch further than many outsiders might believe. "Country Music is the crown jewel of the music business in Nashville," he said. "But pop and R&B records have been cut here since the '50s. We've got a Grammy-winning symphony. I don't see why it all can't exist together. That's why everybody wants to come here. This year it's Elvis Costello, who's touring with some Nashville musicians who are some of the greatest players ever. So it's a win/win situation for everybody when you talk about music in terms of 'in addition to,' never 'in place of.'"
Along with CMA CEO Tammy Genovese and other leaders in the city's music industry, Pomeroy is a member of the recently formed Nashville Music Council, whose charter is to "spearhead economic development efforts that capitalize on Nashville's identity as Music City." The unity of interests and genres implicit in this mission fits Pomeroy's agenda as snugly as his bass in its well traveled case.
"This is a very personality-driven town," he said. "Sometimes when you're negotiating with employers and people in the industry, you find yourself across the table from someone who's your friend. I see them as partners. There's an open door between us. We want to help musicians protect themselves, but we also want to create an atmosphere of cooperation with their employers, because what's good for them is going to be good for us as well. A lot of it has to do with the attitude you bring when you walk into the room and what kind of a person you want to be perceived as. I look at myself as a communicator and problem solver. That's what I like to do."
DavePomeroy.com, AFM257.org
Several years ago, seeking a better insight into their customer base, Red Roof Inn assigned its public relations and marketing partner, Florida-based Hill & Knowlton/SAMCOR, to look into the subject.
The results of the investigation were clear. "The Red Roof Inn customer is 'gray-collar,' not quite white- or blue-collar," said Jim Rink, President, Rink Entertainment. "They don't need to spend a lot of money. They don't care about frills. And their passion lifestyle experience is dead on target with two areas: NASCAR and Country Music."
This was the picture the company gave to Rink along with an assignment to create a media campaign based on that commitment to Country. As Co-creator of GAC's "GAC Short Cuts" branded micro-series, which helped catapult Taylor Swift a 15 into the spotlight, he knew the strength of the artist/fan bond. This became the basis of a series of Weisodes created by Rink Entertainment, with a goal of tapping into and extending that bond to the economy hotel chain.
Because Country fans were already responsive to that brand, the campaign grew from a solid foundation. Rink reasoned that multiple artists from various record labels should serve as brand ambassadors. Not only did Phil Vassar, Whitney Duncan and Little Big Town fit that bill, but GAC also engaged KingBilly, whose experiences as a fast-rising band were chronicled by the network's reality series "Who Is KingBilly."
Several themes wove through these Weisodes, posted at RedRoofLovesCountry.com within the GACTV.com Web site and aired on GAC. These involved real-life fans, whose stories reflect some element of the artist's latest work or views of life. For example, Vassar's dedication to the military tied into an anniversary trip for a soldier and his wife to Nashville, where he surprised them with a private concert in the Red Roof Inn lobby as they emerged from their room. Weisodes, photo galleries, promotions and contests as well as TV commercials and print ads are all part of the Red Roof Loves Country campaign, which awards thousands of prizes.
"All of us look for new ways to get our artists in front of people," said Greg Hill, President, GHM/Red Light Management. "I'd already been talking with several hotels about doing partnerships, but Red Roof was actually willing to print up cards with information about Phil and place them on pillows for everybody who checked in — and that's tens of thousands of people each week."
The benefits come back to Red Roof too, as they post links to the hotels nearest to stops on each artist's tour just below the Weisode screen. "We measure the campaign's impact in multiple ways," said Marina MacDonald, VP, Sales and Marketing, Red Roof Inn. "We know how many unique visitors we're getting. There's click-through to book rooms. At the end of the day, we look at whether distribution is going up on RedRoof.com. And it is."
There were plenty of reasons why it made sense that Craig Morgan and Bush's Baked Beans could form an ideal partnership of artist and product, each enhancing and benefiting from what the other had to offer. But for Morgan himself, none of it mattered if not for one essential truth.
"I love to grill," he said. "I could probably try to sell something I'm not that into, but when I'm looking at potential sponsors or endorsements I try to affiliate myself with products I would use. I ride Kawasaki motorcycles. When I'm on a tractor, it's my Case IH. I'm loyal to these products."
And he is loyal to the pleasures of the grill, to the point of packing one onto his bus and using it to whip up aromatic meals for his band and crew during tours.
That got the attention of Scott Daniel, who as Marketing Director at Bush's Baked Beans was in the midst of searching for an influencer to speak about the company's upcoming Grillin' Beans campaign. Research confirmed that a Country artist would be the best fit for their customer base.
"But it was also important that we have someone who is truly passionate about grilling," Daniel said. "It took just a couple of minutes of speaking with Craig to know that he's a guy our consumers can relate to."
By February, Morgan, company spokesman Jay Bush, great-grandson of the company's founder Condon Bush, and Jay's dog Duke were filming vignettes for GrillIU.com, which now includes a space reserved for Morgan where visitors could go behind the scenes during the video shoots; check out his favorite recipes and download "Love Remembers," from his latest BNA Records album, That's Why. More Morgan items — albums, T-shirts and hats — were among the prizes offered in a game and sweepstakes hosted at the Web site.
Morgan took his message to the media too, beginning with "Fox & Friends" in April and "The Bonnie Hunt Show" in May, as well as custom-branded vignettes airing across the Scripps Networks. This represented an immediate return on the Bush's arrangement, according to his manager, Faith Quesenberry of Vector Management. "We'd hit a lot of media when Craig's album dropped in October," she said. "But by having an angle that's not necessarily his music, he could hit all these shows with his grilling expertise."
As Morgan sees it, the payoff can go further than that. "Someone might win my CD in that sweepstakes, take it home, listen to it and go, 'Wow, I really like this!' That not only benefits me, it benefits the entire Country industry. It really is a win/win for everybody."
If you can make your past come alive through music, then you’ve got a gift that will serve you well. In this department, Justin Moore is amply blessed.
Case in point: Though written by Randy Houser and Jeremy Stover, Moore’s first single, “Back That Thing Up,” conjures how life must have felt back on the Arkansas farm where he was raised. Kids grew up there hunting, fishing, milking the cows and working the land — the kind of routine that feeds the good-natured, double-entendre swagger in this tale of a country boy as he introduces a city lass to the wonders of rural recreation.
In addition to driving a Bush Hog and excelling at sports, Moore spent a lot of time singing, whether in the church choir or onstage with his uncle’s Southern rock band. His passion for music catapulted him right out of Poyen High School, shortly after graduation, to Nashville. For several years he divided his time between the two locales, writing for Keith Stegall’s Big Picture Music, playing shows for friends and family back home and eventually cutting his self-titled debut album for The Valory Music Co., with Stover producing. And on these 10 tracks, nine of them bearing his credit as co-writer, including his Top 25 second single, the wistful hometown hymn “Small Town USA,” which he wrote with Stover and Brian Maher, Moore makes his world feel like you’d grown up there too.
Kudos is due to Sarah Darling’s grandparents. As she was growing up in Iowa, her grandmother was often the one she’d call for comfort. And much of her musical inspiration stems from the Country radio stations her grandfather would dial in as they drove to church.
But her parents kindled her dream to perform when they gave Darling a small sound system for her 14th birthday. She began singing everywhere she could find an audience: weddings, talent shows, pageants and the Iowa State Fair. By the time of her high school graduation in 2002, she was charting her route to Nashville. It took her a while — including a detour to Las Vegas, where she made the final three in Wayne Newton’s reality competition “The Entertainer” on E! Entertainment Television — and a bit of romantic disappointment, which actually opened the door to opportunity: When she wrote a song to cope with the breakup and posted it on her MySpace page, Jimmy Nichols heard it and invited her to join his new record label, Black River Music Group.
That song, “Stop the Bleeding,” is one of 13 tracks, co-written by Darling, on her Nichols-produced debut album, *Every Monday Morning*. Even at up tempos, such as the single “Jack of Hearts,” which she penned with Marc Beeson and Don Pfrimmer, the band tracks are somewhat muted to expose her honeyed timbre and well-crafted lyric, qualities made even clearer when she stacks her harmonies on tracks such as “Knowing What I Know About Heaven.” It’s the right approach for Darling, who knows how to write as well as sing from the heart.
Music found its way early to 18-year-old Sarah Jarosz, beginning with solfège and ear training in kindergarten and culminating with her participation for seven consecutive years in the Organization of American Kodaly Educators National Honor Choir. But her true muse came in the form of a mandolin, given by her parents one Christmas when she was almost 10 and living in Wimberley, Texas. Her proximity to Austin may have been the final ingredient in leading her toward American roots music.
Jarosz’s road wound through the bluegrass festival circuit to Sugar Hill Records, which released her debut album. Produced by Jarosz and Gary Paczosa, filled with 11 of her solo-penned songs and two covers, *Song Up In Her Head* reflects varied influences, from Bob Dylan and Joni Mitchell to Mike Marshall, Chris Thile and other acoustic innovators. But her handiwork transcends their contributions, in her emphasis on tasteful, melodic picking and vocals that are understated yet emotionally compelling. As a singer, arranger and storyteller, Jarosz shows distinction in her cover of the Decemberists’ “Shankill Butchers.” Add to that her multi-instrumental technique, narrative lyric skills and compositional artistry, and it’s clear that her journey is just beginning.
Established through club gigs in North Carolina as a duo, brothers Mike and Tom Gossin moved to Nashville in 2007 and soon after hooked up with Rachel Reinert. Working now as a trio, they connected with Cheyenne Kimball, a member of the audience during one of their gigs at Nashville club 3rd & Lindsley; instrumentally as well as vocally, she proved the last ingredient in the sound of Gloriana.
They rehearsed for six months before sending a demo to Emblem Music Group. Matt Serletic, founder of the new record label, responded immediately, welcomed them to the roster and got to work lining up material for their debut album. With Stephanie Bentley and Josh Kear, he co-wrote their first single, “Wild at Heart.” Rock-solid chords are their vocal trademark; on this track, they sing in a single, high-impact sound, roaming over a restless rhythm bed and climbing between verse and chorus to a peak of exuberant intensity.
Produced by Serletic, *Gloriana* overflows with an upbeat, attractive energy. Much of it stems from the material, from the electrifying opener “How Far Do You Wanna Go?” to the group’s one co-write, with Kyle Cook, on “Time to Let Me Go,” set over a relaxed train-track beat and sweetened by fiddle and steel. A lot owes to the positive qualities of the group’s main influences, which range from Ryan Adams to Fleetwood Mac and Keith Urban. But ultimately it’s the performance that distinguishes this foursome — a union of voices so confident and strong that it seems guaranteed to succeed.
Debut Spotlight compiled by BOB DOERSCHUK
**Q&A**
**CD IN YOUR STEREO** “*Graceland*, by Paul Simon.”
**GREATEST PERFORMANCE TO DATE** “The Telluride Bluegrass Festival in 2007. When Planet Bluegrass producer Craig Ferguson invited me to have my own set on that magical stage, it was a dream come true.”
**SONG YOU WISH YOU’D WRITTEN** “Everything Is Free,” by David Rawlings and Gillian Welch.”
**GREATEST CHALLENGES** “My greatest short-term challenge is to finish high school, begin college and balance that with my music career. My long-term challenge will be to not get lost in the music business and to stay true to who I am.”
**LEGACY** “I hope people will say that I was always original and true to my music.”
SarahJarosz.com
---
**Q&A**
**SONG YOU WISH YOU’D WRITTEN (REINERT)** “‘Beautiful,’ by Christina Aguilera.”
**CD IN YOUR STEREO (MIKE GOSSIN)** “The Beatles — every album they did.”
**DREAM DUET PARTNER (KIMBALL)** “Jason Michael Carroll.”
**SOMETHING WE’D NEVER GUESS ABOUT YOU (TOM GOSSIN)** “I can cut hair. I went to hair school.”
**FAVORITE FOOD ON THE ROAD (EVERYONE)** “Mexican!”
Gloriana.com
CMA International Awards Presented During CMA Music Festival
by SCOTT STEM
Three international media representatives were presented with awards from CMA at the start of an Irish showcase at the Sommet Center Plaza Stage during CMA Music Festival.
Joe Fish and Pio McCann, who hosted the Irish showcase, each received the International Country Broadcaster Award for 2008. Roger Ryan received the 2008 Wesley Rose International Media Achievement Award.
"I would like to thank CMA," said Fish. "It's an honor to receive an Award for something that I still enjoy after 30 years."
Fish has presented Country programs in the United Kingdom for more than 30 years. Since 2000, he has presented the Country shows on BBC Radio Lancashire. He has a successful tour operator company, which brings artists to CMA Music Festival each year from a variety of countries including England, France, Italy, Norway and Spain.
"I'm hugely honored to receive such a prestigious award from CMA — one of the best days of my life," said McCann. "It makes me proud to be a part of the musical bridge between Nashville and Ireland."
McCann has been a radio broadcaster for almost 30 years. He has produced a three-hour radio special, "When Nashville Came to Ireland," which highlights the musical and cultural links between the United States and Ireland. He has also been a presenter of artist spotlight radio specials; the latest of these, with guest Dolly Parton, aired in September.
"I am deeply grateful to CMA for giving me the Wesley Rose International Media Achievement Award," said Ryan. "Promoting Country Music has been a lifelong passion for me, and to be rewarded in this way is really a dream come true."
Ryan, who has spent most of his life promoting Country Music, founded the Country Music Association of Ireland in 1969. He has been a Country Music correspondent for the Cork Evening Echo for more than 20 years. He is also the chief writer for Personalities magazine as well as host of a video show on PTVIreland.com.
CMA CEO Receives International Award from CCMA
CMA CEO Tammy Genovese received the Canadian Country Music Association’s Leonard T. Rambeau International Award prior to the CMA Global Artist Party at The Stage during CMA Music Festival.
The award recognizes an individual who has demonstrated extraordinary efforts in assisting the aims and initiatives of the Canadian Country Music industry internationally.
"With her engaging personality and diligent work ethic, Tammy Genovese has been a great ambassador and representative for Country Music, both domestically and internationally," said Jim Cressman, First Vice Chair, CCMA Board of Directors, who presented the award to Genovese.
"Tammy Genovese has continually shown outstanding support for the CCMA," said Jackie-Rae Greening, Chair, CCMA Board of Directors. "From attending Canadian Country Music Week to the great exposure Canadian artists have received at CMA Music Festival every June, we feel Tammy is a very worthy recipient of the Leonard T. Rambeau International Award. On behalf of the Board of Directors, the CCMA staff and our entire association, we'd like to thank Tammy for thinking globally when she thinks Country Music."
The CCMA is a nonprofit trade association dedicated to the growth and development of Canadian Country Music. For 30 years the CCMA has marked each September with Country Music Week, a four-day conference and celebration culminating in the internationally broadcast Canadian Country Music Awards, established in 1983. Country Music Week is one of the largest music events in Canada, with a combination of activities for both community and industry, including showcase opportunities for newcomers, educational seminars and an all-day FanFest.
Continues with “The Art of Artist Management”
by BOB DOERSCHUK and SCOTT STEM
The opening of “The Art of Artist Management” might seem a little strange — a tropical forest, a burning sun overhead, exotic bird chirps in the distance. But it all becomes clear just a few moments into this second installment of CMA’s educational Web series on the music industry, as narrator Alex Kendig warns, “Make no mistake. When it comes to the music business, you’re in the jungle, baby!”
Following the lead of the first CMA Industry InSite episode, which was focused on songwriting and music publishing and posted in May on CMA’s members-only Web site My.CMAworld.com, Episode 2 further reflects CMA’s ongoing strategic mission of being a resource for the industry by outlining what managers do and how artists can search those best equipped to meet their needs.
“The Art of Artist Management,” which went online in June, features interviews with several leaders in that field, who share wisdom in ways that inform newcomers while enhancing the knowledge that more experienced members have picked up in the business.
For example, anticipating the question of how young artists might find the right manager, Kerry Hansen, President, Big Enterprises, suggested that they begin by finding out who manages their favorite artist — someone whose success and style might serve as a model to follow. From that point, you can learn about them by asking questions and listening to what people say throughout the musical community.
On the other hand, it can be a mistake to connect with any manager too hastily. Clarence Spalding, President, Spalding Entertainment, observed that it can take as long as three years for a new performer to be ready for a management deal. Experience is always a plus in choosing management, though Clint Higham, Executive VP, Morris Management Group, admitted to being “young and hungry” himself when he began his ongoing 16-year run as Kenny Chesney’s manager.
In any event, when the time is right, it’s critical to have an attorney go through the contract before signing on the dotted line. “This town is full of artists who have signed with managers and then realized pretty quick that this person is not legitimate,” said Kix Brooks of Brooks & Dunn and Chairman of CMA’s Artist Relations Committee, which developed the series. “But if you’ve signed a contract, you may have to pay that person for the rest of your career.”
Basic information mingles throughout this 11-minute episode with advice that only insiders can provide. Standard rates are spelled out. Three years is indicated as the usual length for a binding management contract. Yet everything is negotiable too. This means, as noted by Kevin Levitan, President, Vector Management, that artists should not be afraid to ask their managers questions throughout the life of their arrangement.
Amidst all this practical advice, an unexpected and ephemeral truth emerges on the bottom line. “If I love you but I don’t love your music, it doesn’t work,” Spalding said. “Hopefully we’ll be friends, but I’m not going to be your manager. I really have to love the music.”
From sunset clauses and percentage points to the differences between personal and business managers, “The Art of Management” packs ample information into a presentation that’s concise yet detailed, easy to understand and vital to finding the right manager, identified as “the most important person to have by your side.”
“We are getting a lot of positive feedback for the series,” said CMA CEO Tammy Genovese. “We are hearing from our members that this is a very valuable industry awareness tool and something they are encouraging their members, employees and business associates to watch.”
Produced by the digital marketing firm Hi-Fi Fusion, CMA Industry InSite will be updated on the third Monday of every month on My.CMAworld.com. Upcoming episodes will focus on digital downloading, entertainment law, performance rights organizations, radio, record labels, royalties, social networking, touring and other topics. CMA members are invited to submit questions to the experts appearing in each episode, with replies posted when received.
CMA Songwriters Series Heads West
by BOB DOERSCHUK
It’s no accident that the CMA Songwriters Series launched in New York City in 2005. The CMA Awards made its historic migration from its traditional base in Nashville to Madison Square Garden that year, and among the many activities that heralded that event was CMA’s presentation of some of Nashville’s most illustrious songwriters at Joe’s Pub, playing the tunes they’d written and that the stars of Country had made famous. While the Awards returned to Nashville in 2006, the CMA Songwriters Series became a popular recurring event at Joe’s Pub.
The series continued July 30, with two shows featuring Billy Currington (whose hit co-writes include “Walk a Little Straighter,” “I Got a Feelin’” and “Why, Why, Why”), Keith Follese (who wrote Faith Hill’s hit “The Way You Love Me,” Martina McBride’s “I Love You” and Tim McGraw’s “Something Like That”) and Jason Sellers (Keith Anderson’s “I Still Miss You,” Reba McEntire’s “Strange” and Montgomery Gentry’s “Some People Change”). Bob DiPiero (Brooks & Dunn’s “You Can’t Take the Honky Tonk Out of the Girl,” Faith Hill’s “Take Me As I Am,” Montgomery Gentry’s “Gone” and George Strait’s “Blue Clear Sky”) reprised his frequent role as emcee.
Upcoming CMA Songwriters Series performances at Joe’s Pub are Sept. 9 and Nov. 5. CMA Songwriters Series at Joe’s Pub is sponsored by American Airlines, ASCAP, BMI and GAC.
The five-year success of these evenings in New York has set the stage for expanding them to new sites.
CMA Songwriters Series makes its Los Angeles debut Sept. 15 with a 9:30 PM show at the House of Blues. With DiPiero emceeing, the lineup will include Chris Lindsey and Aimee Mayo (Lonestar’s “Amazed,” Martina McBride’s “This One’s for the Girls” and Tim McGraw’s “Drugs or Jesus”) and Kellie Pickler (“Small Town Girls,” “Somebody to Love Me” and “Red High Heels,” written by Pickler, Lindsey and Mayo). The House of Blues show is sponsored by Artwerk Music.
Chicago welcomes the CMA Songwriters Series with an inaugural show at 8:30 PM Oct. 2 at Joe’s Bar and a second show at 4 PM Oct. 3 as part of the Chicago Country Music Festival at Grant Park. Participants at both shows include Dean Dillon, Scotty Emerick and Lee Ann Womack, with DiPiero onboard as host. American Airlines is the official airline of the CMA Songwriters Series. For details and updates on all shows, visit CMASongwritersSeries.com.
CMA Songwriters Series at Joe’s Pub sponsors:
AA.com
ASCAP
BMI
GAC
CMA
NELSON ANDREWS, philanthropist and business leader, 82, died June 13 from leukemia. After earning his way to a bachelor’s in business administration and economics from Vanderbilt University by playing banjo and guitar with the Tennessee Dew Drops, Andrews embarked on a career in Nashville distinguished by his service to multiple charities and civic projects. He made an especially enduring impact on the city’s musical community as a founder of Leadership Nashville, the parent organization of Leadership Music, and the Nashville Alliance for Public Education, through which CMA enhances music education in Metro schools via its Keep the Music Playing program.
BARRY BECKETT, producer and keyboardist, 66, died June 10 in Hendersonville, Tenn., following complications from a stroke. Born in Birmingham, Ala., Beckett began playing sessions at Fame Studios in Muscle Shoals before joining David Hood, Roger Hawkins and Jimmy Johnson to open Muscle Shoals Sound Studio in Sheffield, Ala. As the nucleus of the Muscle Shoals Rhythm section, a.k.a. The Swampers, Beckett and his colleagues were in high demand as backup unit capable of laying down strong grooves in multiple genres. His keyboard credits included Dire Straits, Bob Dylan, Aretha Franklin, Wilson Pickett, Linda Ronstadt, Paul Simon and many others. After accepting an A&R position with Warner Bros. Records in Nashville, Beckett shifted his focus toward production with an emphasis on Country artists. Two Gold and one Platinum album by Hank Williams Jr. bear Beckett’s name as producer, including *Born to Boogie*, which received Album of the Year honors at the CMA Awards in 1988. His other Country clients included Alabama, Asleep at the Wheel, Kenny Chesney, Lorrie Morgan and Neal McCoy.
TIM KREKEL, songwriter and guitarist, 58, died June 24 in Louisville, Ky., from cancer. In the mid 1970s Krekel began the first of two stints as a member of Jimmy Buffett’s band, with whom he toured extensively and played guitar on “Cheeseburger in Paradise,” “Livingston Saturday Night” and other tracks. Krekel also performed and recorded as a solo artist and as leader of The Groovebillys, The Sluggers and other bands. Many of his songs were recorded by Country artists, among them “Cry on the Shoulder of the Road” (Martina McBride), “Turning Away” (Crystal Gayle) and “You Can Feel Bad” (Patty Loveless).
DANNY PETRAITIS, music industry executive, 51, died June 3 in Nashville, from brain cancer. Born in Red Bank, N.J., he earned a bachelor’s in arts management from the University of Tampa. After playing music and producing children’s plays throughout the ‘80s along the Jersey shore, Petraitis moved to Nashville in 1989, where as Director of PLA Media he worked with Garth Brooks, Brooks & Dunn, Diamond Rio, Tim McGraw and Lorrie Morgan, among other clients. Appointed VP of High Five Entertainment in 1992, he played a key role in presenting Country Music television events that included “The Road” series syndicated through Tribute Entertainment, “At the Ryman” on CMT, “This Is Garth Brooks Too” on NBC and “The Women of Country” on CBS. He also produced and directed the ASCAP Country Music Awards show for eight years, composed the theme to GAC’s “Opry Live,” oversaw the filming of Levon Helm’s September concert at the Ryman Auditorium and recently finished creating a pilot for a proposed reality series based on the life and work of costume designer Manuel.
Reach Voting Members with CMA Awards Mailing and E-Mail Service
CMA provides an opportunity for CMA Awards nominees to educate CMA voting members about them and their nominated products. This service is available to all nominees, but those who are CMA members may take advantage of discounted rates. The CMA Awards mailing service is available only for those nominees that appear on the second or final ballots during the balloting period from Aug. 11 through Nov. 3.
In addition to the regular mailing service, CMA offers CMA Awards e-mail service, operated by Hi-Fi Fusion, for sending e-mails to CMA voting members.
Under NO circumstances will the authorized mailing house, Southern Post, or Hi-Fi Fusion release the CMA Awards mailing list. Fees vary based on level of CMA membership.
Visit [CMAworld.com/Events](http://CMAworld.com/Events) and click on CMA Awards mailing service for options. Questions? Contact Brandi Simms (615) 664-1607 or email@example.com.
Purchase CMA Awards Tickets Online
Eligible CMA Individual Sterling and Organizational members may purchase CMA Awards tickets on CMA’s members-only Web site, My.CMAworld.com, beginning Wednesday, Aug. 26.
Members will receive ticket purchasing instructions via e-mail from firstname.lastname@example.org. A user name and password are required. This information is obtainable now by e-mailing email@example.com.
CMA Awards ticketing office correspondence will be conducted via e-mail, so please allow messages sent to you from firstname.lastname@example.org.
CMA Awards tickets available for sale to the general public will be announced at a later date.
Advertise Now in the CMA Awards Program Book
Reach die-hard Country Music fans and the music industry on “Country Music’s Biggest Night” by reserving your advertising space in the only official publication of the CMA Awards.
**AD SPACE RESERVATION DEADLINES**
Aug. 17 EARLY BIRD RENEWALS RATE
Sept. 14 REGULAR RATES
**ARTWORK AND PAYMENT DUE**
Sept. 28
**ADVERTISING SALES CONTACT**
Angela Lang (615) 664-1653 or email@example.com.
**JULY 7**
- Jimmy Bowen & Santa Fe / *Single Down in San Antone* / Santa Fe
- Son Volt / *American Central Dust* / Rounder
- Those Darlins / *Those Darlins / Oh Wow Dang*
- various artists / *Poet: A Tribute to Townes Van Zant* / Fat Possum
**JULY 14**
- Angela Easterling / *BlackTop Road* / De L'Est Music
- Charlie Faye / *Wilson St.* / Wine & Nut Records
- John Flynn / *America's Waiting* / Flying Stone
- Bryan Sutton (and Friends) / *Almost Live* / Sugar Hill
**JULY 21**
- Bill Noonan / *The Man That I Can't Be* / Catawba City
- Ricky Skaggs / *Don't Cheat in Our Hometown* (reissue) / Skaggs Family
**AUG. 4**
- Steve Azar / *Slide On Over Here* / Ride
- Cooper Boone / *Cooper Boone* / Green Rooster
- Gloriana / *Gloriana* / Emblem / Warner Bros.
- Mac McAnally / *Down By the River* / Show Dog
- Sugarland / *Live on the Inside* (CD/DVD – Wal-Mart only) / Mercury Nashville
**AUG. 11**
- Darren Kozelsky / *Arrivals and Departures* / Major 7th Entertainment
- Justin Moore / *Justin Moore* / The Valory Music Co.
- Willie Nelson / *Lost Highway* / Lost Highway
- Mindy Smith / *Stupid Love* / Vanguard
- George Strait / *Twang* / MCA Nashville
**AUG. 18**
- The Giving Tree Band / *Great Possessions* / Crooked Creek/Redeye
- Noelle Hampton / *Thin Line* / CD Saby
- Delbert McClinton / *Acquired Taste* / New West
- Reba McEntire / *Keep on Loving You* / The Valory Music Co./Starstruck
- Nathan Moore / *Folk Singer* / Royal Pctato Family
- David Nail / *I'm About to Come Alive* / MCA Nashville
- Old Crow Medicine Show / *Live at the Orange Peel and Tennessee Theater* (DVD) / Nettwerk Music
- Brady Seals / *Play Time* / StarCity
- Two Tons of Steel / *Not That Lucky* / Smith Music
- Loudon Wainwright III / *High Wide & Handsome: The Charlie Poole Project* / 2nd Story Sound
**AUG. 25**
- Woody Guthrie / *My Dusty Road* / Rounder
- Jack Ingram / *Big Dreams & High Hopes* / Big Machine
- Love and Theft / *World Wide Open* / Carolwood
- Willie Nelson / *American Classic* / Blue Note
**SEPT. 1**
- Terri Clark / *The Long Way Home*
- Cross Canadian Ragweed / *Happiness and All the Other Things* / Universal Records South
- Radney Foster / *Revival* / Devil's River
- George Jones / TBD / Cracker Barrel
- Chris Young / *The Man I Want to Be* / RCA Nashville
- Zac Brown Band / TBD / Cracker Barrel
**SEPT. 8**
- Brooks & Dunn / *#1s... and then some* / Arista Nashville
- Bucky Covington / TBD / Lyric Street
- James Hand / *Shadows on the Ground* / Rounder
- Greg Hanna / Greg Hanna / Pheromone
**SEPT. 15**
- Bomshel / *Fight Like a Girl* / Curb
- Claire Lynch / *Wacha Gonna Do* / Rounder
- John Arthur Martinez / *Purgatory Road* / Apache Ranch
- Tom Russell / *Blood and Candle Smoke* / Shout! Factory
- Ricky Skaggs / *Solo (Songs My Dad Loved)* / Skaggs Family
- Aaron Watson / *Deep in the Heart of Texas: Aaron Watson Live* (CD/DVD) / Unrest Music
**SEPT. 22**
- Guy Clark / *Somedays the Song Writes You* / Dualtone
- Mark Stuart and the Bastard Sons / *Bend in the Road* / Texacali
- Nitty Gritty Dirt Band / *Speed of Life* / NGDB/Sugar Hill
- Adam Steffey / *One More for the Road* / Sugar Hill
**SEPT. 29**
- Bellamy Brothers / *The Anthology, Vol. 1* / Bellamy Brothers Records
- Kris Kristofferson / *Closer to the Bone* / New West
- Miranda Lambert / *Revolution* / Columbia Nashville
- Patty Loveless / *Mountain Soul II* / Saguaro Road
- Corb Lund / TBD / New West
- Joe Nichols / *Old Things New* / Universal Records South
- Chris Smither / *Time Stands Still* / Signature Sounds
**OCT. 6**
- Luke Bryan / *Don't My Thing* / Capitol
- Robert Earl Keen / *The Rose Hotel* / Lost Highway
**OCT. 13**
- Charlie Daniels / TBD / Blue Hat/E1 Music
- Toby Keith / *American Ride* / Show Dog
**OCT. 20**
- Sam Bush / *Circles Around Me* / Sugar Hill
**NOV. 3**
- Grayson Capps / *Live at the Paradiso* / Hyena
- Carrie Underwood / TBD / 19 Recordings/Arista Nashville
**NOV. 10**
- Becky Schlegel / *Dandelion* / Lilly Ray/160 Records
New CD Releases compiled by ATHENA PATTERSON
Ray Price could relax and look back on an incredible career. Instead, the Country Music Hall of Fame member is looking ahead. He's starting his own record label, recording new music and performing for his enthusiastic fans.
But doesn't he ever think about taking it easy, maybe doing a little fishing? "I'd be wondering why the hell I ain't out there singing — that's what I'd be doing on a fishing boat," he said. "I love making music. It's my life. I was born for it, I guess. I want to do it better and better and better and better. I'm not satisfied. I don't think anybody should be."
That ambition, coupled with a natural vocal gift, made Price a Country Music pioneer and star. Born near Perryville, Texas, he served in the United States Marines during World War II and then returned to Texas with plans to become a veterinarian. That ambition was forgotten as he began performing around the Lone Star state.
An early friendship with Country Music Hall of Fame member Hank Williams played a significant role in Price's career. This was the topic on the table when WSM/Nashville radio personality Eddie Stubbs welcomed Price in March to the Ford Theater at the Country Music Hall of Fame and Museum. Their discussion was timed to coincide with a special exhibit, "Family Tradition: The Williams Family Legacy," on display at the Museum through Dec. 31.
"We were both young and he had plenty of damn talent," Price recalled while seated in his tour bus following the Ford Theater event. "He could write good songs because he wrote what people felt. If you can do that, you can write anything."
An endorsement from Williams went a long way on those days. "I can't explain why on all those shows, everywhere he went, he was telling everybody to watch out for a young guy named Ray Price — 'He's going to be No. 1,'" Price recalled, with a smile. "He took me and introduced me to some people on the Grand Ole Opry. He just helped me in general. I didn't know anything about the business. I was young and just out of college. The way I got a contract was I sang a song for a publisher. The next thing I knew, I had a contract, signed to Bullet Records in Nashville. It was a brand new world for me when I came here, and he helped me get started with it."
Williams took Price on the road and let him use his band, the Drifting Cowboys, in the studio. They wrote one song together, "Weary Blues (From Waiting)," one of Price's early recordings. They were also roommates for a while after Price moved to Nashville. "He'd just go eat or cook something and eat at the house," Price remembered. "And he was always on the phone calling his wife [Audrey]. He was trying to get everything back together and just couldn't do it. She was just too hard-nosed about it. Of course, after he was gone, it was too late. But Hank was top-notch. He was the leader."
In time, Price also assumed a leadership role in Country Music. He maintained his ties to Williams, though, by playing for a while with his band after their leader's death. He also included two of its members, steel guitarist Don Helms and fiddler Jerry Rivers, in the group he subsequently formed, the Cherokee Cowboys. "We loved each other," Price recalled. "We built all our houses together and lived right there for 14 years, Jerry across the street, Don behind me. We were friends, all the way to the grave."
On his own, Price helped grow the Country Music audience with an evolving style that encompassed traditional honky tonk in the '50s and '60s with hits that included "Crazy Arms" and "My Shoes Keep Walking Back to You." In the '70s, he broadened its reach even more with pop-flavored ballads that included "For the Good Times" and "I Won't Mention It Again," the title track of the 1971 CMA Album of the Year.
Like Williams, Price had an eye for new talent, and over the years his Cherokee Cowboys band would include Johnny Bush, Roger Miller, Willie Nelson and Johnny Paycheck. "I know a good musician when I see him and hear him," said Price. "Of course, Willie was easy to spot after the first song I ever heard he'd written. They were all great. Willie is still making it."
Price is still making it too, with a busy recording and touring schedule that continues to enhance his legacy. When asked why Price has endured for so long as a successful and productive artist, Michael McCall, Writer/Editor at the Country Music Hall of Fame and Museum, laid it out clearly.
GOOD TIMES WITH HANK WILLIAMS
by DEBORAH EVANS PRICE
“His voice and his musicality,” he said, “Ray’s voice is one of the great instruments of Country Music history. He’s smoother than most Country singers, as he’s studied opera and loves the jazz and pop singers of the ‘40s and ‘50s. So he has a control you can hear, and he understands a microphone and how to use it to his advantage. But he’s got this incredibly rich tone too, and his range is amazing, although he uses it subtly and, unlike most singers, doesn’t bring a lot of attention to it. Add to that his phrasing and how nuanced he is in expressing the emotions of his songs, and you have the basis for why he’s been such a primary influence and big star for so many years.”
McCall also appreciates Price’s role in mentoring other musicians. “He loves good musicians and understands good musicianship,” said McCall, who served as Co-Curator of the Museum’s “For the Good Times: The Ray Price Story” exhibit in 2006 through 2007. “He’s open to change and experimentation, which you can hear throughout his career. That’s why he led two movements, beginning with the back-to-basics traditionalism of the late ‘50s shuffle recordings, which are so dynamic and fresh yet also so rooted in the swing and honky-tonk traditions. It’s the basic DNA of Texas Country Music, really. But by the ‘60s, he was experimenting with blues and jazz and ultimately created these lush recordings with strings that were influenced by Frank Sinatra and Dean Martin. Price always loved that music and he had a voice for it, and I think his recordings in the late ‘60s and early ‘70s represent some of the best Nashville Sound records ever cut.”
This urge to move forward drives Price to this day. High on his agenda is an upcoming collaboration with some of his friends, including Willie Nelson, with whom Price and Merle Haggard had performed in their “Last of the Breed Tour” in 2007. “It will be me and Willie, Billy Bob Thornton, Leon Russell and Bob Dylan,” he said. “We’re going to do a CD. I don’t know exactly what we’ll be doing, but I’m sure Willie will let me know about two minutes just before they turn the mic on.”
Price also plans to record a gospel album, which he’ll release on his own record label, Priceless Records. Asked whether he will be signing other acts to Priceless, he replied, “It depends on what I run into. I always like to give a hand up to anybody, but I have to be in a position to do it. If it goes good, we’ll let the company build itself and then as it builds, if I find new talent, you bet we’ll sign them.”
Still vital at 83, Price credits his health and longevity to good genes and clean country living. “I was raised in the country — good fresh air and good food,” he said, who currently makes his home near Dallas. “We raised our own food. I had a good mother and a good dad. My mother lived to be 96 and all her people lived to be over 100. On my dad’s side, my grandpa died at 98. I come from a family of hearty people, I guess. I haven’t done all that good trying to take care of myself. Like some old boy said, if I’d known I was going to live this long, I’d have took better care of myself. But that’s the way it is. I’m doing fine. I can’t complain.”
BobbyRoberts.com/Artist/Ray-Price
OfficialRayPriceFanClub.com
CountryMusicHallOfFame.com
HANK WILLIAMS AND AUDREY WILLIAMS MARRIAGE CERTIFICATE
FAMILY TRADITION:
THE WILLIAMS FAMILY LEGACY
The Williams family has had a major impact on Country Music. This 5,000-square-foot exhibition at the Country Music Hall of Fame and Museum examines the personal lives of Hank Williams and Hank Williams Jr. and explores the dynamics that inspired some of the most influential music recorded.
See the connections between these iconic figures and their creative heirs and discover how American music continues to be measured by the standards they set. To help tell the story, Hank Jr., Jett Williams and members of the Williams family have offered more than 200 rare artifacts never seen by the public, enabling the Museum to create a memorably compelling saga of love, heartache and redemption. The voices and music of the family are heard throughout the exhibit — an intimate, behind-the-scenes portrait of a great American musical dynasty.
CMA created the Country Music Hall of Fame in 1961 to recognize individuals for their outstanding contributions to the format with Country Music’s highest honor. Inductees are chosen by CMA’s Hall of Fame Panel of Electors, which consists of more than 300 anonymous voters appointed by the CMA Board of Directors.
WILLIAMS FAMILY SCRAPBOOK PAGES IN BACKGROUND
photos courtesy of the Country Music Hall of Fame and Museum; exhibit photos by Diane Lohr
NASHVILLE INDUSTRY LEADERS HOLD A BREAKFAST AT THE LORD'S VANDERBILT PLAZA TO HONOR LARRY VALLON, SENIOR VP AND CEO, AEG, AS THE RECIPIENT OF THIS YEAR'S CITY OF HOPE SPIRIT OF LIFE AWARD FOR HIS PHILANTHROPIC COMMITMENT TO THE COMMUNITY.
Larry Vallon, SVP North American Regional Office, AEG Live!; CMA Board Chairman Randy Goodman, President, Sony Music Nashville and Cashwood Records; Rick Shipp, Co-COO, William Morris Endeavor Entertainment; CMA Board President Steve Moore, Senior VP, AEG Live! / Moore Entertainment Group; Tim Leiwke; Ali Harmell, Senior VP, AEG Live! / The Messina Group, Tammy Genovese, CMA CEO; Rob Light, Managing Partner and Head of Music, Cashwood Records; and Brian Lambert, Senior VP of Music for Film and Television, Universal Music Publishing Group. photo courtesy of AEG
MEMBERS OF THE CMA AND NASHVILLE SYMPHONY ORCHESTRA (NSO) BOARDS HOLD A RECEPTION PRIOR TO A CONCERT BY JAZZ TRUMPETER CHRIS BOTTI AT NASHVILLE'S SCHERMERHORN SYMPHONY HALL.
Alan D. Valentine, President and CEO, NSO; Chris Botti; Albert-George Schram, Resident Conductor, NSO; CMA CEO Tammy Genovese; and CMA Board President Steve Moore, Senior VP, AEG Live!
photo: Amanda Eckard
VANGUARD/SUGAR HILL RECORDS DUO JOEY & RORY ENTERTAIN STAFF AND GUESTS AT CMA WITH SONGS FROM THEIR DEBUT ALBUM LIFE OF A SONG, INCLUDING THE SINGLE "CHEATER CHEATER."
Hank Adam Locklin, CMA Senior Manager of Membership and Industry Relations; CMA Board member Dale Bobo; Tom Moran, VP of Promotion and Marketing, Nine North Records; Jeff Stiles, VP of Artist Management, Larry Feigis, President, Nine North Records; Rory Feek; Joey Martin; CMA CEO Tammy Genovese; Molly Nagel, Senior Director of Artist Development, Sugar Hill Records; and Donica Christensen, Director of Artist and Media Relations, Sugar Hill Records. photo: Amanda Eckard
BNA RECORDS ARTIST KENNY CHESNEY TAKES A MOMENT BACKSTAGE AT PAPA JOHN'S CARDINAL STADIUM IN LOUISVILLE, KY., DURING HIS "SUN CITY CARNIVAL TOUR."
Brian Phillips, President, CMT; Kenny Chesney; Joe Galante, Chairman, Sony Music Nashville; and CMA CEO Tammy Genovese. photo: Wes Veasey
2009 CMA EVENTS
JULY
THURSDAY, JULY 30
CMA Songwriters Series | Joe's Pub | New York | 6:30 and 9:30 PM | Billy Currington, Bob DiPiero, Keith Folles and Jason Sellers | Tickets: JoesPub.com
AUGUST
MONDAY, AUG. 10
CMA membership renewal payment must be received at CMA to vote on second and final CMA Awards ballot.
TUESDAY, AUG. 11
Eligible CMA voting members receive e-mail notice for the second CMA Awards ballot.
MONDAY, AUG. 24
Second CMA Awards ballot online voting closes at 5 PM/CT.
WEDNESDAY, AUG. 26
CMA Awards tickets on sale to eligible CMA Individual Sterling and Organizational members at My.CMAworld.com.
MONDAY, AUG. 31
"CMA Music Festival: Country's Night to Rock" | 8 PM/ET | ABC-TV
SEPTEMBER
WEDNESDAY, SEPT. 9
CMA Songwriters Series | Joe's Pub | New York | 6:30 and 9:30 PM | Chuck Wicks and more | Tickets: JoesPub.com
TUESDAY, SEPT. 15
CMA Songwriters Series | House of Blues | Los Angeles | 9:30 PM | Bob DiPiero, Chris Lindsey, Aimee Mayo, Kellie Pickler and Chuck Wicks | Tickets: HouseOfBlues.com
OCTOBER
FRIDAY, OCT. 2
CMA Songwriters Series | Joe's Bar | Chicago | 8:30 PM | Dean Dillon, Bob DiPiero, Scotty Emerick and Lee Ann Womack | Tickets: JoesBar.com
SATURDAY, OCT. 3
CMA Songwriters Series | Chicago Country Music Festival | Grant Park | Chicago | 4 PM | FREE admission
WEDNESDAY, OCT. 7 – THURSDAY, OCT. 8
CMA Board of Directors Meetings | Nashville
CMA MUSIC FESTIVAL
COUNTRY'S NIGHT TO ROCK
MONDAY, AUGUST 31
ABC
WORLD'S BIGGEST MUSIC PLAYING
COUNTRY MUSIC FESTIVAL
COUNTRY'S NIGHT TO ROCK
MONDAY, AUGUST 31
ABC
WORLD'S BIGGEST MUSIC PLAYING
|
Karl von Lindener’s sunspot observations during 1800–1827: Another long-term dataset for the Dalton Minimum
Hisashi Hayakawa\textsuperscript{1,2,3,4,*}, Rainer Arlt\textsuperscript{5}, Tomoya Iju\textsuperscript{6}, and Bruno P. Besser\textsuperscript{7}
\textsuperscript{1} Institute for Space-Earth Environmental Research, Nagoya University, Nagoya 4648601, Japan
\textsuperscript{2} Institute for Advanced Researches, Nagoya University, Nagoya 4648601, Japan
\textsuperscript{3} UK Solar System Data Centre, Space Physics and Operations Division, RAL Space, Science and Technology Facilities Council, Rutherford Appleton Laboratory, Harwell Oxford, Didcot, Oxfordshire OX11 0QX, UK
\textsuperscript{4} Nishina Centre, Riken, Wako 3510198, Japan
\textsuperscript{5} Leibniz-Institut für Astrophysik Potsdam (AIP), An der Sternwarte 16, D-14482 Potsdam, Germany
\textsuperscript{6} Astronomical Observatory, Graduate School of Science, Kyoto University, Kyoto 6068502, Japan
\textsuperscript{7} Space Research Institute, Austrian Academy of Sciences, Schmiedlstr. 6, Graz 8042, Austria
Received 15 March 2023 / Accepted 7 September 2023
Abstract—On a centennial timescale, solar activity oscillates quasi-periodically and also tends to occasionally get into a low-activity period. The Dalton Minimum (circa 1790s–1820s) was one of such low-activity periods that had been captured in telescopic sunspot observations. However, it has been challenging to analyse the Dalton Minimum, as contemporary source records remained mostly unpublished and almost inaccessible to the scientific community. Recent studies have established reliable datasets for sunspot group number, sunspot number, and sunspot positions. This study further analyzes independent Silesian sunspot observations from 1800 to 1827 in a manuscript from the Library of Wrocław University (Ms AKC.1985/15) and complements it with the metadata for the observer: Karl Christian Reinhold von Lindener. We identified 547 days of sunspot observations in these records and derived the sunspot group number, individual sunspot number, and sunspot positions between 1800 and 1827. The results of this study have significantly revised von Lindener’s sunspot group number, which was previously known for only 517 days in scientific databases, and removed contamination from general descriptions. Using our results, we extended investigations into individual sunspot counts and derived their positions. In our analysis, we locate von Lindener’s sunspot positions in both solar hemispheres and contrast the Dalton Minimum with the Maunder Minimum, adding further independent credits to the previous results for Derflinger’s and Prantner’s datasets. Sunspot positions are also slightly biased towards the northern solar hemisphere in early Solar Cycle 6 (1812–1813). The high-latitude sunspot positions indicate the onset of Solar Cycle 7 as early as June 1822.
Keywords: Dalton Minimum / Solar cycles / Sunspot number / Solar activity / Space climate
1 Introduction
Telescopic sunspot monitoring dates back centuries and is used as a basis for discussions on long-term solar variability, multiple solar cycles, and background solar-dynamo activity (Charbonneau, 2020; Clette et al., 2014; Hathaway, 2015; Muñoz-Jaramillo & Vaquero, 2019; Arlt & Vaquero, 2020). Solar activity also varies on time scales longer than the regular Schwabe cycles (i.e., the 11-year activity cycle), with some cycles being greater than others. From time to time, the sun undergoes comparatively more quiet periods (hereafter, “low-activity periods”) with diminished or nearly ceased solar activity over a longer period of time (like the Maunder Minimum or other grand minima) or just a couple of cycles (like the Dalton Minimum or other secular minima) (Brehm et al., 2021; Silverman & Hayakawa, 2021; Usoskin et al., 2021a). Thus far, these telescopic observations have detected two low-activity periods, the Maunder Minimum (MM) in circa 1645–1715 and the Dalton Minimum (DM) in circa 1790s–1820s (Eddy, 1976; Siscoe, 1980; Soon & Yaskell, 2003; Usoskin et al., 2015; Vaquero et al., 2015a; Hayakawa et al., 2020b, Hayakawa et al., 2021a; Usoskin, 2023). These periods allow us to develop a deeper understanding of the background physics of long-term...
solar activity. In addition, proxy reconstructions using cosmogenic isotope data indicate similar low-activity periods in a millennial timescale (Usoskin et al., 2016; Brehm et al., 2021; Silverman & Hayakawa, 2021; Usoskin et al., 2021b; Kudsk et al., 2022; Usoskin, 2023). These low-activity periods are unique among the instrumental sunspot observations and are occasionally used as references for similar periods detected in the cosmogenic isotope records (Usoskin et al., 2007, 2021b; Brehm et al., 2021).
As such, the MM (1645–1715) and the DM (1790s–1820s) have served as unique references for the low-activity periods and require archival investigation for contemporary observational records (Muñoz-Jaramillo & Vaquero, 2019; Usoskin, 2023). In particular, the MM has been considered a grand minimum with a distinct state of solar-dynamo activity based on highly suppressed solar cycles, weakened solar magnetic fields, extremely asymmetric distribution of sunspot appearances, and apparent loss of significant solar coronal streamers (Eddy, 1976; Ribes & Nesme-Ribes, 1993; Riley et al., 2015; Vaquero et al., 2015a; Usoskin et al., 2015; Hayakawa et al., 2021b, 2021c; Usoskin, 2023). In contrast, the DM has been considered shorter and shallower but has been less studied owing to significant data scarcity, with large scatters in the existing cycle reconstructions and poor data accessibility of contemporary sunspot positions (Muñoz-Jaramillo & Vaquero, 2019; Clette et al., 2023).
Recent studies have conducted intensive analyses of original sunspot records in the past (e.g. Vaquero et al., 2016 (hereafter V16); Svalgaard, 2017). These analyses have significantly revised estimates of past solar cycle reconstructions (Clette et al., 2014, 2023; Clette & Lefèvre, 2016; Svalgaard & Schatten, 2016; Usoskin et al., 2016, Usoskin et al., 2021a; Muñoz-Jaramillo & Vaquero, 2019) from what was previously known in the scientific community (Hoyt & Schatten, 1998 (hereafter HS98)). These efforts allow us to significantly improve our understanding of solar irradiance before the instrumental measurements (Tapping & Morgan, 2017; Criscuoli et al., 2018; Chatzistergos et al., 2019, 2020; Lean et al., 2020; Clette, 2021). Among such global efforts, long-term records of historical sunspot observers have played significant roles in these revisions, as exemplified by those of Johann Staudach (Arlt, 2009; Svalgaard, 2017), Heinrich Schwabe (Arlt et al., 2013; Senthamizh Pavai et al., 2015), Hisako Koyama (Hayakawa et al., 2020b), Locarno Observatory (Clette et al., 2016; Cortesi et al., 2016), Greenwich Observatory (Willis et al., 2013), Madrid Observatory (Aparicio et al., 2014), and Mt. Wilson Observatory (Pevtsov et al., 2019).
Despite these recent efforts, the DM was located in a gap between two prominent long-term observers’ data series (i.e. Staudach and Schwabe). Most contemporary observations covered only relatively short periods and remained unpublished, except for Wolf’s preliminary tabulations. As reviewed in Clette et al. (2023), these difficulties have led to significant discrepancies in recent reconstructions of sunspot numbers and group numbers around the DM (Clette & Lefèvre, 2016; Svalgaard & Schatten, 2016; Usoskin et al., 2016, 2021b; Chatzistergos et al., 2017; Velasco Herrera et al., 2022).
In this regard, recent archival investigations have steadily improved our understanding of solar activity around the DM based on contemporary observations since V16. Recent studies have added several short-term observers overlooked in the existing databases (Demig & McVaugh, 2017; Hayakawa et al., 2018; Carrasco et al., 2018). Furthermore, recent studies have examined original manuscripts from several long-term observers’ records around the DM, especially those of Thaddäus Derfflinger in 1802–1824 (Hayakawa et al., 2020a), Stefan Prantner in 1802–1844 (Hayakawa et al., 2021a), Cornelis Tevel in 1816–1836 (Carrasco, 2022), and Honoré Flaugergues in 1782–1830 (Illarionov & Arlt, 2023). These results significantly improved the sunspot group number and confirmed sunspot distributions in both hemispheres during DM (as a secular minimum), in contrast to the MM (as a grand minimum). These contrasts have been independently supported by contemporary eclipse records that had shown significant coronal streamers in the DM compared to those in the MM without significant coronal streamers (Hayakawa et al., 2020c, 2021c).
However, several long-term sunspot observations during the DM have not yet been analysed in detail. Among them, a forgotten long-term observer known as “B.A. Lindener” observed sunspots from 1800 to 1827 (HS98). The scientific community first got knowledge of this observer through HS98 as “Lindener, B.A., 1800–1827. Manuscripts. University Library Archives, Wroław [sic.], Poland”, with only the sunspot group number having been incorporated into scientific databases (HS98 and V16). Their bibliographic description does not allow us to immediately identify the source record. Wroław is most probably a mistake of Wrocław. “B.A. Lindener” was almost unknown as an astronomer to the scientific community.
Such records require us to analyse their original manuscripts both in terms of sunspot group numbers and sunspot positions. This is because recent studies have revealed significant differences in historical and modern methods of group counting (e.g. Svalgaard, 2017). In addition, they have revealed contaminations through general descriptions and solar altitude observations (e.g. V16; Carrasco et al., 2019; Hayakawa et al., 2020a), which have significantly influenced the existing reconstructions (Clette et al., 2014; c.f., HS98). Furthermore, Lindener’s name was known wrongly: not “B.A. Lindener”, as referred to in HS98 but “Karl C.R. von Lindener” (Von Priesdorff, 1937, p. 139), and his background has been virtually unknown to the scientific community (HS98). Therefore, this article locates and re-examines von Lindener’s original records, details the observer and his observational instruments, and reconstructs the time series of his sunspot group numbers and sunspot positions.
## 2 Karl von Lindener and his observations
The name “Lindener” occasionally appears as “General-Major von Lindener” in Bode’s *Berliner Astronomisches Jahrbuch* (e.g. Bode, 1809, 1819) and ‘General von Lindener’ in his sunspot manuscript of the Library of Wrocław University (MS Akc.1985/15). One of his correspondences located him at Glatz of Silesia (currently Klodzko in Poland) in 1819 (Bode, 1819, p. 228). Indeed, a biographical reference to Prussian generals shows his name not as “B.A. Lindener” as in HS98 and V16 but as Karl Christian Reinhold von Lindener (Von Priesdorff, 1937, p. 139).
According to this biographical reference, Lindener was born in 1742 in East Prussia and passed away on 15 May 1828, in Glatz. He started his military career in engineering corps on 4 November 1767, and worked for Silesian fortresses, such as Breslau. His family name was honoured as “von” Lindener after he was ennobled in 1772. The First Coalition War was fought in 1792. In the early 1800s, he was based in Breslau and engaged in wars against the French army. On 20 May 1803, he was promoted to a major general and became a brigadier of Silesian fortresses. In 1806, he became a commander of the Breslau Fortress but had to surrender to the French army. After release, he was caught on 31 March 1808, and sentenced to perpetual imprisonment at Glatz Fort on 19 March 1811. This was due to his failure in Napoleon’s invasion in 1806. He was pardoned in March 1814 and obtained a monthly pension of 25 thalers. He died on 15 March 1828, at Glatz (Von Priesdorff, 1937, p. 139).
Furthermore, von Lindener engaged in astronomical research in addition to his military duties. He had once recalled his sunspot observations in “a letter written by General-Major von Lindener from Glatz on Aug. 6th”, published in Bode’s Jahrbuch with the ephemerides for 1822 (Bode, 1819). In this letter, he explains his observations as follows: “I observed the sun as often as weather conditions allowed since 1800, still in my 77th year, twice to thrice a day with my 2 1/2 f. Ramsden’s achromatic telescope of 25 or 75 times enlargement and a composite of light brown and light blue flat glass, which makes the image of the sun appear white. I put a cross thread in the telescope, and show in every square [or quadrant] all, even the smallest noticeable sunspots with visually estimated shapes and positions” (Bode, 1819, p. 228). The letter indicates that he used Ramsden’s Achromatic for eyepiece observations with two magnifications ($\times 25$ and $\times 75$), two glasses as filters, and micrometres a few times a day. The telescope’s focal length is difficult to convert into a modern unit of measurement. The focal length may be 72 cm (Silesian feet), 76 cm (British feet), or 79 cm (Prussian feet), depending upon which definition of feet von Lindener used (see Aldefeld, 1838). Since his early observations, he seems to have relied on the same instruments, or at least similar ones.
Apart from the fragmentary information in his correspondences, most of von Lindener’s observations have remained unpublished. Our close inspection identified his observational records with MS Akc.1985/15 at the Library of Wrocław University. The manuscript title is translated as “Figures of sunspot observations in the years from 1800 to 1806 and from 1811 to 1824, and 26, 27 of General von Lindener: Belonging to the manuscript: On sunspot and comet observations (Figuren zu den Sonnen Flecken Beobachtungen in den Jahren von 1800 bis 1806, u.[nd] von 1811 bis 1824 u.[nd] 26, 27, vom General von Lindener Zum M[anu]scripte: Über Sonnen flecken u.[nd] Kometen Beobachtungen gehörig)”. According to the title of this manuscript, another (forgotten) manuscript should have been produced for his observations of sunspots and comets.
At the time of our research, we were not able to locate such a manuscript in the manuscript collections of the Library of Wrocław University.
Figure 1 shows examples of his sunspot drawings. Here, he may have described the umbral and penumbral regions. He also composited sunspot groups on the same solar disks over several days. For a few days, he also tracked the same groups, especially in composite drawings. Furthermore, he occasionally provided close-up drawings of specific sunspot groups with a higher magnification (probably $\times 75$) in addition to his regular sunspot drawings at a normal magnification (probably $\times 25$).
As can be inferred from the title, his manuscript is separated into two segments: his early observations from 1800 to 1806 (ff. 1a–5b) and his late observations from 1811 to 1827 (ff. 10a–35a). Apparently, his manuscript exhibited a relatively large data gap between these two parts. Moreover, the early part of his work only partially recorded his observations of sunspots (1800–1802). However, his observational engagements at Schweidnitz in Silesia (currently Świdnica in Poland) had been confirmed up to 1806 in his correspondence with Bode (1809, p. 90). This hiatus was probably a result of the War of the Fourth Coalition (1806–1807) when von Lindener was captured by the French army and afterward imprisoned in Prussia for “lifelong confinement in Glatz Fort” (Von Priesdorff, 1937, p. 139). This manuscript summarizes his early observations in 1800–1802. This manuscript also contains 68 blank solar disks, while their majority is without explicit dates (ff. 5a–6b). The indication is consistent with the manuscript title, which indicates the existence of another manuscript, lost or buried in archives, relating to observations of sunspots and comets. Consequently, we believe that the summary of his early observations has been incompletely incorporated into this summary.
Von Lindener described his observational site as Glatz in his original manuscript; however, it was occasionally referred to as Schweidnitz from 1800 to 1806 (Bode, 1804, p. 263; Bode, 1809, p. 89). Fortunately, von Lindener had enough time to engage in astronomy while imprisoned at Glatz Fort in 1811. Despite being pardoned in 1814, he appears to have spent his final years at Glatz with his “monthly pension of 25 thalers”. Therefore, his observational sites are located around Schweidnitz (current Świdnica: N50°51′, E16°29′) in his early observations (1800–1802) and Glatz (current Kłodzko: N50°26′, E16°39′) in his late observations (1811–1827).
3 The sunspot groups recorded in von Lindener’s observations
We have identified 547 days of sunspot observations that were included in his summary manuscript (MS Akc.1985/15) and his correspondence with Bode, apart from his close-up sketches for specific sunspot groups. Using the Waldmeier classification (see Kiepenheuer, 1953), we counted the sunspot groups in his records (Hayakawa et al., 2023) and compared them with the V16 database (Fig. 2) and contemporary long-term observers (Fig. 3). Most part of the data were derived from his summary manuscript, except for two days of data from his textual correspondence with Bode (1819, p. 228). Our analysis removed 31 days with generic zeros in March 1813 but increased von Lindener’s dataset to 547 days, in contrast to the knowledge of scientific databases (519 days in HS98 and V16).
The generic zero values in March 1813 in the existing dataset (HS98; V16) are most likely based on von Lindener’s footnote on spotless days. In this case, von Lindener stated: “from 8 February to 8 April, there was no visible spot on the sun” (MS Akc.1985/15, f. 11a; see lower right of Fig. 1). Von Lindener himself included solar disks with sunspots on 8 February and 8 April 1813. On their basis, we had to revise the spotless interval from 1–31 March to 9 February–7 April 1813. However, it is unclear exactly when von Lindener monitored the solar disk during this period. Therefore, these generic descriptions have significantly suppressed existing reconstructions compared to reality (Clette et al., 2014; V16). Silesian weather conditions during this season prevent this
interval from being completely sunny. Therefore, it is highly unrealistic that von Lindener viewed the solar disk every day during this interval. In 1813, von Lindener observed for 47 days, excluding the period from February to April. Thus, his monthly observation days for this year amount to 4.7 days. In the period between 9 February and 7 April 1813, von Lindener cannot be expected to be extremely diligent and cover the entire period. Consequently, we removed the general zeros in this interval from our dataset.
Additionally, caveats should be noted regarding the empty solar disks in 1802, which spanned 18 days (see Fig. 4). Although HS98 (and hence V16 too) interpreted them as active days, we have not found datable solar drawings with sunspots in this interval. Therefore, we had to revise them to spotless days. Although sunspots were active around 1802, neither Derfflinger nor Flaugergues reported them during this period (Hayakawa et al., 2020a; Illarionov & Arlt, 2023). However, we can also accommodate another scenario in which von Lindener depicted empty disks for his observation days but eventually failed to fill these solar disks for an undocumented reason. Moreover, he depicted empty solar disks without dates on the following folia (MS Akc.1985/15, ff. 5a–6b), and sunspots were actively observed in 1813 (e.g. Hayakawa et al., 2020b). Von Lindener’s faint sketches of faculae on 31 July, 1 August, and 5 August challenge this interpretation, although they appear strangely at the same location. The spotless day scenario contradicts the average solar activity in 1802. Unfortunately, von Lindener’s observing days during this period do not coincide with those of other observers, which leaves us incapable of determining which scenario to pursue. Therefore, these empty disks should be treated cautiously and might need to be omitted from quantitative discussions.
As a result, Figure 5 shows von Lindener’s yearly sunspot group number and compares this data series with those of three long-term observers around the DM: Derfflinger (Hayakawa et al., 2020b) Prantner (Hayakawa et al., 2021a), and Tevel (Carrasco, 2022), except for 1816–1818, where Derfflinger’s data appear significantly lower than those of von Lindener and Tevel. According to this comparison, von Lindener’s time series is mostly consistent with those of Derfflinger, Prantner, and Tevel during Solar Cycle 6 (August 1810–May 1823; see Hathaway, 2015). Von Lindener’s early deviations in 1813–1814 may need to be corrected. Since von Lindener only provided a general description of spotless days occurring between 9 February and 7 April, 1813, we should consider our current estimate omitting this period to be somewhat exaggerated compared to the reality. The local deviations between 1817 and 1819 coincide among those observed by von Lindener and Derfflinger. This trend seems more consistent with the reconstructions of Clette & Lefèvre (2016), Usoskin et al. (2016), and Chatzistergos et al. (2017) rather than that of Svalgaard & Schatten (2016).
However, it is not straightforward to compare von Lindener’s time series with others in Solar Cycles 5 and 7 (April 1798–August 1810; May 1823–November 1833; see Tab. 2 of Hathaway (2015)). This is partial because von Lindener had a different observational site before his hiatus for a decade and may therefore have practiced different observational procedures.
In Solar Cycle 5, von Lindener’s data showed a sharp spike in 1801 and “spotless days” in 1802, whereas Derfflinger showed considerable sunspot groups in 1802. This result may be related to von Lindener’s failure to fill the blank solar disk in 1802. If this interpretation is correct, we must be cautious when referring to his records from 1802. According to von Lindener, Solar Cycle 5 exhibited a marginally higher amplitude than Solar Cycle 6, although there is a single data point from 1801 that supports this interpretation. This is consistent with Derfflinger’s time series (see Hayakawa et al., 2020b). It indicates the centre of the DM during Solar Cycle 6.
Figure 4. Examples of von Lindener’s empty solar disks with or without date (MS Akc.1985/15, ff. 4b–5a) courtesy of the Library of Wrocław University. Von Lindener showed the diagram number above each solar disk, whereas they are different from the date of the observations.
Figure 5. Yearly sunspot group number of von Lindener (red diamonds), Derfflinger in his summary manuscript (blue circles: Hayakawa et al., 2020b), Prantner (blue diamonds: Hayakawa et al., 2021a), and Tevel (orange squares: Carrasco, 2022). For reference, these data are compared with the annual sunspot group number of Chatzistergos et al. (2017), which has been regarded as “the most recommendable version for further analysis” in Petrovay (2020, p. 11). Accordingly, we have calculated the error margins for the individual data series in a standard error, whereas we have derived the error margins of Appendix B in Chatzistergos et al. (2017).
For Solar Cycle 7, von Lindener chronologically overlapped with Tevel during the ascending phase (Fig. 2). Tevel’s data display a sharper ascending curve of the sunspot group number, even though both show the ascending phase smoothly. This does not fit well with von Lindener’s data. This interval occurred immediately before von Lindener’s death in 1828, when he was 83–85 years old. Therefore, it would not be surprising even if von Lindener’s visual acuity had already started to deteriorate in Solar Cycle 7.
4 Sunspot positions
We confirm sufficient quality in von Lindener’s drawings of the solar disk to determine the locations of all individual sunspots. The drawings include a basic coordinate system consisting of at least two pencil lines. Comparing the sunspot paths across the disk in the morning and evening hours, it is evident that there is a substantial difference in the position and angle of the sunspots. This occurs if the telescope is mounted horizontally, and the horizontal and vertical pencil lines are parallel to the horizon and perpendicular to the zenith, respectively.
Therefore, to obtain the sunspot positions, one option is based on the transformation of the horizontal coordinate system into an equatorial coordinate system and further conversion into heliographic coordinates. The latter conversion employs an ephemeris of how the solar rotation axis was positioned concerning the Earth’s rotation axis, i.e. the equatorial coordinate system. We used the ephemeris computed by the JPL Horizons system (https://ssd.jpl.nasa.gov/horizons/), which provides us with the sun’s north-pole direction concerning the celestial north pole as well as the heliographic coordinates of the centre of the visible disk.
Another option is to use the motion of spots across the solar disk to determine the position angles of the drawings. Theoretically, if at least one spot is visible for a minimum of two days, Bayesian inference can be used to determine the position angles and, thus, the heliographic coordinates of the spot. We used the same method described in Section 2.2 of Arlt et al. (2013). In practice, however, a single spot often fits with low residuals but leads to unlikely results concerning the spot’s latitude and the observational method employed by von Lindener (as evident from the typical orientations of other drawings given the time of day). Finding two spots in different groups seen on at least two days provided more plausible results. When only one sunspot group was available, we preferred to use the time of day for calculating the position angle.
Occasionally, both methods led to implausible spot positions, especially when only one spot was available on consecutive days. Afterwards, we manually adjusted the position angle of the solar disk to match the latitudes of the spots on adjacent days. This was done regardless of the longitudinal shift of the spots from one day to the next; in other words, the match would require an incorrect rotation rate of the sun. It differs from the Bayesian method, which considers two-dimensional coordinates in the drawing and does not give preference to latitudes or longitudes. We performed manual matches only if no other method yielded reasonable results. It is also important to clarify some spots did not allow us to derive positions owing to a lack of the required data.
Figure 6 shows the heliographic latitude of the sunspot positions obtained from von Lindener’s sunspot drawings. We can observe the beginning of Solar Cycle 5, the fair coverage of Solar Cycle 6, and the first half of Solar Cycle 7. The positions were compared with those obtained by Derfflinger (Hayakawa et al., 2020b) and Prantner (Hayakawa et al., 2021a) and the
group positions from Schwabe (Senthamizh Pavai et al., 2015). Figure 6 confirms von Lindener’s sunspots in both solar hemispheres, following other contemporary sunspot observers’ data (Hayakawa et al., 2020b, 2021a; Illarionov and Arlt, 2023). This result contrasts the Dalton Minimum with the Maunder Minimum (Ribes & Nesme-Ribes, 1993), unlike some claims that classify both of them as the same solar-activity categories (Zolotova & Ponyavin, 2015). Additionally, Figure 6 illustrates the relative concentration of sunspot positions in the Northern Solar Hemisphere during the ascending phase of Solar Cycle 6 (1812–1813). We have also tentatively derived a hemispheric asymmetry index \((\text{HA} = \frac{(R_{NH} - R_{SH})}{(R_{NH} + R_{SH})})\) for von Lindener’s observations, as shown in Figure 7. Figure 7 also confirms more sunspot groups in the northern solar hemisphere over Solar Cycle 6. This trend is consistent with the butterfly diagrams reconstructed from manuscripts of Prantner and Flauggergues (Hayakawa et al., 2021a; Illarionov & Arlt, 2023) and contrasted with those of the Maunder Minimum (Ribes & Nesme-Ribes, 1993; Vaquero et al., 2015b; Hayakawa et al., 2021b, 2021c).
We found two groups far from the solar equator on 3 June 1822 (at \(\approx -40^\circ\)), and 30 July 1822 (at \(\approx +47^\circ\)). Due to the absence of adjacent days, we were unable to generate secondary information regarding either the latitudes of the groups or the position angles of the spots. Therefore, the locations of the spots remain uncertain. We observed a second group on 3 June that was also observed by Derfflinger on 4 June between \(+1^\circ\) and \(+17^\circ\) in heliographic latitude (again, the exact position is unknown). By adjusting the second group observed by von Lindener to the location derived from Derfflinger, the group at \(\approx -40^\circ\), not observed by Derfflinger, remains slightly south of \(-30^\circ\). This is unusual for spots at the end of a cycle. Thus, the two above incidences on 3 June and 30 July may represent the first spot occurrences of Solar Cycle 7 in 1822. Figure 6 shows that expected latitudinal migration during a cycle is less evident in von Lindener’s sunspot positions than in Derfflinger and Schwabe’s sunspot positions (Arlt et al., 2013; Hayakawa et al., 2020a).
5 Summary and discussions
In this article, we present an overview of von Lindener’s observations and analyse his sunspot records. We identified the observer as Karl Christian Reinhold von Lindener. We located his observational sites as Schweidnitz (current Świdnica: N50°51', E16°29') or its neighbourhood for his early observations (1800–1802) and Glatz (current Klodzko: N50°26', E16°39') for his late observations (1811–1827). Furthermore, we identified his main telescope as a 79-cm Ramsden’s achromatic telescope with magnifications of \(\times 25\) or \(\times 75\) and two filter glasses. His personal history explains the comparatively long hiatus between his early observations a slate observations with his military engagements and imprisonment as a consequence of the War of the Fourth Coalition.
We identified his manuscript as MS Akc.1985/15 at the Library of Wrocław University (Fig. 1) and acquired two reports in his correspondence to Bode (1819, p. 228). These records can be used to document von Lindener’s instrumentation, recount sunspot groups, count individual sunspots, and reconstruct the time series of his sunspot group number. We need to cast caveats on dated empty sunspot drawings in 1802 and general descriptions of spotless days from 9 February to 7 April 1813 (Figs. 2 and 3). Von Lindener’s records have enabled us to identify 547 days of sunspot observations with caveats on empty solar disks in 1802, omitting these unreliable records for possible spotless days. This reconstruction has shown a consistent trend with Derfflinger and Prantner’s time series for Solar Cycle 6, with a caveat in his time series in 1802, and requires further reference data for the ascending phase of Solar Cycle 7 (Fig. 4).
Von Lindener’s manuscript also allowed us to derive sunspot positions from 1800 to 1801 and from 1811 to 1827 (Fig. 5). The reported sunspots were located in both solar hemispheres, mostly within a latitudinal interval of $-40^\circ$ to $40^\circ$. These data allow us to locate the onset of Solar Cycle 7 around June–July 1822 owing to the occurrence of the first high-latitude sunspots.
The DM has shown significant differences against the MM due to the presence of sunspots in both solar hemispheres and apparent solar cycles in both sunspot group numbers and sunspot positions in the DM. These results also allow us to show reasonable consistency among the long-term sunspot observers’ data series, namely those of von Lindener, Derflinger, Prantner, Tevel, and Flaugarques, in terms of the sunspot group number (Figs. 2 and 4) and reasonable agreement in terms of sunspot positions (Fig. 6). Further inter-comparisons and inter-calibrations are needed for the long-term sunspot observers’ data series around the DM so that the data can be bridged to sunspot records around Staudach and Schwabe’s data series in 1749–1799 and 1825–1867, allowing us to derive solar activity in the DM more quantitatively.
**Data accessibility**
Karl Christian Reinhold von Lindener’s original manuscript is accessible in the Library of Wrocław University as MS Akc.1985/15. See Hayakawa et al. (2023) in https://doi.org/10.18999/2007775 and https://nagoya.repo.nii.ac.jp/record/2007775/files/von_lindener_sgn_ver2.txt for von Lindener’s sunspot group number and individual sunspot number.
**Acknowledgements.** We thank the Library of Wrocław University for permissions on research and reproductions of von Lindener’s manuscript. HH thanks Yuichiro Hayashi for his advice on the references of Prussian generals. HH thanks Agnieszka Gil-Swiderska, Lidia van Driel, and Stanislav Gunar for their help in identifying this manuscript. HH thanks Arkadiusz Berlicki for his helpful discussions on interpretations of von Lindener’s manuscript. This research was conducted under the financial support of JSPS Grant-in-Aids JP15H05812, JP20K20918, JP20H05643, JP21K13957, JP20KK0072, JP21H01124, JP21H04492, and JP22K02956. HH has been part funded by JSPS Overseas Challenge Program for Young Researchers, the ISEE director’s leadership fund for FYs 2021–2023, Young Leader Cultivation (YLC) programme of Nagoya University, Tokai Pathways to Global Excellence (Nagoya University) of the Strategic Professional Development Program for Young Researchers (MEXT), and the young researcher units for the advancement of new and undeveloped fields, Institute for Advanced Research, Nagoya University of the Program for Promoting the Enhancement of Research Universities. HH acknowledges the International Space Science Institute and the supported International Teams #417 (Recalibration of the Sunspot Number Series), #510 (SEESUP Solar Extreme Events: Setting Up a Paradigm), and #475 (Modeling Space Weather And Total Solar Irradiance Over The Past Century). The editor thanks two anonymous reviewers for their assistance in evaluating this paper.
**References**
Aldefeld CLW. 1838. *Die Maße und Gewichte der Deutschen Zoll-Vereins-Staaten*, Cotta, Stuttgart.
Aparicio AJP, Vaquero JM, Carrasco VMS, Gallego MC. 2014. Sunspot numbers and areas from the Madrid astronomical observatory (1876–1986). *Sol Phys* **289**: 4335–4349. https://doi.org/10.1007/s11207-014-0567-x.
Arlt R. 2009. The butterfly diagram in the eighteenth century. *Sol Phys* **255**: 143–153. https://doi.org/10.1007/s11207-008-9306-5.
Arlt R, Leussu R, Giese N, Mursula K, Usoskin IG. 2013. Sunspot positions and sizes for 1825–1867 from the observations by Samuel Heinrich Schwabe. *Mon Notices Royal Astron Soc* **433**: 3165–3172. https://doi.org/10.1093/mnras/stt961.
Arlt R, Vaquero JM. 2020. Historical sunspot records. *Living Rev Sol Phys* **17**: 1. https://doi.org/10.1007/s41116-020-0023-y.
Bode JE. 1801. Aus verschiedenen Briefen des Hrn. Obrist v. Lindener in Schweidnitz. In: *Astronomisches Jahrbuch für das Jahr 1804*, G.A. Lange, Berlin, pp. 263–265.
Bode JE. 1806. Astronomische Beobachtungen und Nachrichten vom Herren General-Major und Brigadier von Lindener, in Schweidnitz. In: *Astronomisches Jahrbuch für das Jahr 1809*, G. A. Lange, Berlin. pp. 89–96.
Bode JE. 1819. Aus einem Schreiben des Herm General-Major von Lindener aus Glatz vom 6ten Aug. In: *Astronomisches Jahrbuch für das Jahr 1822*, F. Dümmler, Berlin, pp. 228–229.
Brehm N, Bayliss A, Christl M, Synal HA, Adolphi F, et al. 2021. Eleven-year solar cycles over the last millennium revealed by radiocarbon in tree rings. *Nat Geosci* **14**: 10–15. https://doi.org/10.1038/s41561-020-00674-0.
Carrasco VMS. 2022. Number of sunspot groups and individual sunspots recorded by Tevel for the period 1816–1836 in the Dalton Minimum. *Astrophys J* **922**(1): 58. https://doi.org/10.3847/1538-4357/ac2a45.
Carrasco VMS, Vaquero JM, Arlt R, Gallego MC. 2018. Sunspot observations made by Hallaschka during the Dalton Minimum. *Sol Phys* **293**: 102. https://doi.org/10.1007/s11207-018-1322-5.
Carrasco VMS, Vaquero JM, Gallego MC, Muñoz-Jaramillo A, De Toma G, et al. 2019. Sunspot characteristics at the onset of the Maunder minimum based on the observations of Hevelius. *Astrophys J* **886**: 18. https://doi.org/10.3847/1538-4357/ab4ade.
Charbonneau P. 2020. Dynamo models of the solar cycle. *Living Rev Sol Phys* **17**: 4. https://doi.org/10.1007/s41116-020-00025-6.
Chatzistergos T, Usoskin IG, Kovaltsov GA, Krivova NA, Solanki SK. 2017. New reconstruction of the sunspot group numbers since 1739 using direct calibration and “backbone” methods. *A&A* **602**: A69. https://doi.org/10.1051/0004-6361/201630045.
Chatzistergos T, Ermolli I, Krivova NA, Solanki SK. 2019. Analysis of full disc Ca II K spectroheliograms. II. Towards an accurate assessment of long-term variations in plage areas. *A&A* **625**: A69. https://doi.org/10.1051/0004-6361/201834402.
Chatzistergos T, Ermolli I, Giorgi F, Krivova NA, Puui CC. 2020. Modelling solar irradiance from ground-based photometric observations. *J Space Weather Space Clim* **10**: 45. https://doi.org/10.1051/swsc/2020047.
Clette F. 2021. Is the F10.7cm – sunspot number relation linear and stable? *J Space Weather Space Clim* **11**: 2. https://doi.org/10.1051/swsc/2020071.
Clette F, Lefèvre L. 2016. The new sunspot number: Assembling all corrections. *Sol Phys* **291**: 2629–2651. https://doi.org/10.1007/s11207-016-1014-y.
Clette F, Svalgaard L, Vaquero JM, Cliver EW. 2014. Revisiting the sunspot number. A 400-year perspective on the solar cycle. *Space Sci Rev* **186**: 35–103. https://doi.org/10.1007/s11214-014-0074-2.
Clette F, Lefèvre L, Cagnotti M, Cortesi S, Bulling A. 2016. The revised Brussels-Locarno sunspot number (1981–2015). *Sol Phys* **291**: 2733–2761. https://doi.org/10.1007/s11207-016-0875-4.
Clette F, Lefèvre L, Chatziorgios T, Hayakawa H, Carrasco VMS, Arlt R, Cliver EW, Dudok de Wit T, Friedli TK, Karachik N, Kopp G. 2023. Recalibration of the sunspot-number: status report. *Solar Phys* **298**: 44. https://doi.org/10.1007/s11207-023-02136-3.
Cortesi S, Cagnotti M, Bianda M, Ramelli R, Manna A. 2016. Sunspot observations and counting at Specola Solare Ticinese in Locarno since 1957. *Sol Phys* **291**: 3075–3080. https://doi.org/10.1007/s11207-016-0872-7.
Criscuoli S, Penza V, Lovric M, Berrilli F. 2018. The correlation of synthetic UV color versus Mg II index along the solar cycle. *Astrophys J* **865**: 22. https://doi.org/10.3847/1538-4357/aad809.
Denig WF, McVaugh MR. 2017. Early American sunspot drawings from the “year without a summer”. *Space Weather* **15**: 857–860. https://doi.org/10.1002/2017SW001647.
Eddy JA. 1976. The maundur minimum. *Science* **192**: 1189–1202. https://doi.org/10.1126/science.192.4245.1189.
Hathaway DH. 2015. The solar cycle. *Living Rev Sol Phys* **12**: 4. https://doi.org/10.1007/lrsp-2015-4.
Hayakawa H, Iwashashi K, Tamazawa H, Toriumi S, Shibata K. 2018. Iwashashi Zenbei’s sunspot drawings in 1793 in Japan, *Sol Phys* **293**: 8. https://doi.org/10.1007/s11207-017-1213-1.
Hayakawa H, Besser BP, Iju T, Arlt R, Uneme S, Imada S, Bourdin PA, Kraml A. 2020a. Thaddäus Derflinger’s sunspot observations during 1802–1824: a primary reference to understand the Dalton Minimum. *Astrophys J* **890**: 98. https://doi.org/10.3847/1538-4357/ab65c9.
Hayakawa H, Clette F, Horaguchi T, Iju T, Knipp DJ, Liu H, Nakajima T. 2020b. Sunspot observations by Hisako Koyama: 1945–1996, *Mon Notices Royal Astron Soc* **492**: 4513–4527. https://doi.org/10.1093/mnras/stz3345.
Hayakawa H, Owens MJ, Lockwood M, Söma M. 2020c. The solar corona during the total eclipse on 1806 June 16: graphical evidence of the coronal structure during the Dalton Minimum. *Astrophys J* **900**: 114. https://doi.org/10.3847/1538-4357/ab9807.
Hayakawa H, Uneme S, Besser BP, Iju T, Imada S. 2021a. Stephan Prantner’s sunspot observations during the Dalton Minimum. *Astrophys J* **919**: 1. https://doi.org/10.3847/1538-4357/abee1b.
Hayakawa H, Kuroyanagi C, Carrasco VMS, Uneme S, Besser BP, Söma M, Imada S. 2021b. Sunspot observations at the Eimmart Observatory and its neighbourhood during the late Maunder Minimum (1681–1718). *Astrophys J* **909**: 166. https://doi.org/10.3847/1538-4357/abd949.
Hayakawa H, Lockwood M, Owens MJ, Söma M, Besser BP, van Driel L. 2021c. Graphical evidence for the solar coronal structure during the Maunder Minimum: comparative study of the total eclipse drawings in 1706 and 1715, *J Space Weather Space Clim* **11**: 1. https://doi.org/10.1051/swsc/2020035.
Hayakawa H, Arlt R, Iju T, Besser BP. 2023. *Von Lindener’s sunspot data: sunspot group number and individual sunspot number (Dataset)*. https://doi.org/10.18999/2007775.
Hoyt DV, Schatten KH. 1998. Group sunspot numbers: a new solar activity reconstruction. *Sol Phys* **181**: 491–512. https://doi.org/10.1023/A:1005056326158.
Illariionov E, Arlt R. 2023. Sunspot positions from observations by Flaugergues in the Dalton minimum. *Mon Not Royal Astron Soc* **523**: 1809–1821. https://doi.org/10.1093/mnras/stad1489.
Kiepenheuer KO. 1953. Solar activity. In: *The solar system: the Sun*, Kuiper GP (Ed.), The University of Chicago Press, Chicago, USA, vol. **745**, pp. 322–465.
Kudsk SGK, Knudsen MF, Karoff C, Baittinger C, Misios S, Olsen J. 2022. Solar variability between 650 CE and 1900 – Novel insights from a global compilation of new and existing high-resolution $^{14}$C records. *Quat Sci Rev* **292**: 107617. https://doi.org/10.1016/j.quascirev.2022.107617.
Lean JL, Coddington O, Marchenko SV, Machol J, DeLand MT, Kopp G. 2020. Solar irradiance variability: modeling the measurements. *Earth Space Sci* 7: e2019EA000645. https://doi.org/10.1029/2019EA000645.
Muñoz-Jaramillo A, Vaquero JM. 2019. Visualization of the challenges and limitations of the long-term sunspot number record. *Nat Astron* **3**: 205–211. https://doi.org/10.1038/s41550-018-0638-2.
Petrovay K. 2020. Solar cycle prediction. *Living Rev Sol Phys* **17**: 2. https://doi.org/10.1007/s41116-020-0002-z.
Pevtsov AA, Tlatova KA, Pevtsov AA, Heikkinen E, Virtanen I, Karachik NV, Bertello L, Tlatov AG, Ulrich R, Mursula K. 2019. Reconstructing solar magnetic fields from historical observations-V. Sunspot magnetic field measurements at Mount Wilson observatory. *A&A* **628**: A103. https://doi.org/10.1051/0004-6361/201834985.
Ribes JC, Nesme-Ribes E. 1993. The solar sunspot cycle in the Maunder minimum AD1645 to AD1715. *A&A* **276**: 549–563.
Riley P, Lionello R, Linker JA, Cliver E, Balogh A, et al. 2015. Inferring the structure of the solar corona and inner heliosphere during the maunder minimum using global thermodynamic magnetohydrodynamic simulations. *Astrophys J* **802**: 105. https://doi.org/10.1088/0004-637X/802/2/105.
Senthiamizh Pavai V, Arlt R, Dasi-Espuig M, Krivova NA, Solanki SK. 2015. Sunspot areas and tilt angles for solar cycles 7–10. *A&A* **584**: A73. https://doi.org/10.1051/0004-6361/201527080.
Silverman SM, Hayakawa H. 2021. The Dalton minimum and John Dalton’s auroral observations. *J Space Weather Space Clim* **11**: 17. https://doi.org/10.1051/swsc/2020082.
Siscoe GL. 1980. Evidence in the auroral record for secular solar variability. *Rev Geophys Space Phys* **18**: 647–658. https://doi.org/10.1029/RG018i003p00647.
Soon W, Yaskell SH. 2003. *The Maunder Minimum and the variable Sun–Earth connection*. World Scientific Publishing, New Jersey.
Svalgaard L. 2017. A recount of sunspot groups on Staudach’s drawings. *Sol Phys* **292**: 4. https://doi.org/10.1007/s11207-016-1023-x.
Svalgaard L, Schatten KH. 2016. Reconstruction of the sunspot group number: the backbone method. *Sol Phys* **291**: 2653–2684. https://doi.org/10.1007/s11207-015-0815-8.
Tapping K, Morgan C. 2017. Changing relationships between sunspot number, total sunspot area and $F_{10.7}$ in cycles 23 and 24. *Sol Phys* **292**: 73. https://doi.org/10.1007/s11207-017-1111-6.
Usoskin IG, Arlt R, Asvestari E, Hawkins E, Käpylä M, et al. 2015. The Maunder minimum (1645–1715) was indeed a grand minimum: a reassessment of multiple datasets. *A&A* **581**: A95. https://doi.org/10.1051/0004-6361/201526652.
Usoskin IG, Kovaltsov GA, Lockwood M, Mursula K, Owens M, Solanki SK. 2016. A new calibrated sunspot group series since 1749: statistics of active day fractions. *Sol Phys* **291**: 2685–2708. https://doi.org/10.1007/s11207-015-0838-1.
Usoskin IG, Solanki SK, Kovaltsov GA. 2007. Grand Minima and Maxima of solar activity: New observational constraints. *A&A* **471**(1): 301–309. https://doi.org/10.1051/0004-6361:20077704.
Usoskin I, Kovaltsov G, Kiviiaho W. 2021a. Robustness of solar-cycle empirical rules across different series including an updated Active-Day Fraction (ADF) sunspot group series. *Sol Phys* **296**: 13. https://doi.org/10.1007/s11207-020-01750-9.
Usoskin IG, Solanki SK, Krivova NA, Hofer B, Kovaltsov GA, Wacker L, Brehm N, Kromer B. 2021b. Solar cyclic activity over the last millennium reconstructed from annual $^{14}$C data. *A&A* **649**: A141. https://doi.org/10.1051/0004-6361/202140711.
Usoskin IG. 2023. A history of solar activity over millennia. *Living Rev Sol Phys* **20**: 2. https://doi.org/10.1007/s41116-023-00036-z.
Vaquero JM, Kovaltsov GA, Usoskin IG, Carrasco VMS, Gallego MC. 2015a. Level and length of cyclic solar activity during the Maunder minimum as deduced from the active-day statistics. *A&A* **577**: A71. https://doi.org/10.1051/0004-6361/201525962.
Vaquero JM, Nogales JM, Sánchez-Bajo F. 2015b. Sunspot latitudes during the Maunder Minimum: a machine-readable catalogue from previous studies. *Adv Space Res* **55**: 1546–1552. https://doi.org/10.1016/j.asr.2015.01.006.
Vaquero JM, Svalgaard L, Carrasco VMS, Clette F, Lefèvre L, Gallego MC, Arlt R, Aparicio AJP, Richard JG, Howe R. 2016. A revised collection of sunspot group numbers. *Sol Phys* **291**: 3061–3074. https://doi.org/10.1007/s11207-016-0982-2.
Velasco Herrera VM, Soon W, Hoyt DV, Muraközy J. 2022. Group sunspot numbers: a new reconstruction of sunspot activity variations from historical sunspot records using algorithms from machine learning. *Sol Phys* **297**: 8. https://doi.org/10.1007/s11207-021-01926-x.
Von Priesdorff WWK. 1937. *Soldatisches Führertum, Teil 5, Die preußischen Generale von 1798 bis zum Zusammenbruch Preußens 1806*. Hamburg: Hanseat. Verlagsanst.
Willis DM, Coffey HE, Henwood R, Erwin EH, Hoyt DV, Wild MN, Denig WF. 2013. The Greenwich photo-heliographic results (1874–1976): summary of the observations: applications, datasets, definitions and errors. *Sol Phys* **288**: 117–139. https://doi.org/10.1007/s11207-013-0311-y.
Zolotova NV, Ponyavin DI. 2015. The Maunder Minimum is not as grand as it seemed to be. *Astrophys J* **800**: 42. https://doi.org/10.1088/0004-637X/800/1/42.
*Cite this article as*: Hayakawa H, Arlt R, Iju T & Besser BP 2024. Karl von Lindener’s sunspot observations during 1800–1827: Another long-term dataset for the Dalton Minimum. *J. Space Weather Space Clim.* **13**, 33. https://doi.org/10.1051/swsc/2023023.
|
Atmospheric Phase Interferometer Instrument Description
Keith Morris
September 16, 2014
I Introduction and Background
The Atmospheric Phase Interferometer (API) is a two-element atmospheric seeing monitor located at the Very Large Array (VLA) site. The instrument measures turbulent refractive index variation through the atmosphere by examining phase differences in a satellite beacon signal detected at two (or more) antennas. Instability of the atmosphere above the VLA causes phase fluctuations in propagating radio signals, which scale with frequency.
The VLA is dynamically scheduled, in other words the choice of what to observe next depends on the observing conditions: wind speed, atmospheric phase stability, and other priorities. In order to know which frequency to observe at any given time, the atmospheric phase stability at the VLA is measured continuously. If fluctuations are above predetermined thresholds, then observing at the higher frequencies will not be undertaken at that time.
From 1997 until 2014 this continuous measurement was made with the Atmospheric Phase Interferometer (API): a two-element atmospheric phase monitor located at the VLA site. The instrument measures atmospheric phase by examining phase differences in a satellite beacon signal at $\sim$12 GHz measured at four antennas separated by 300 m and recording those phase differences as a time series. The phase differences give the continuous measurement of atmospheric phase stability above the VLA that is required for dynamic scheduling.
The first dedicated API to be built was deployed at the NMA. This API used a geosynchronous satellite signal at 19.45 GHz for its measurement, on a baseline of 35 m. Frequencies of 10-20 GHz and baselines of 10-300 m have been used for all subsequent APIs. The choice of frequency for a particular API is driven mostly by (1) availability of satellite signals, which are common in the 10-20 GHz range, especially around 12 GHz, (2) a desire to not go too high in frequency, which avoids some difficult instrumentation, and (3) a desire to not go too low in frequency, to be sure that the measurement is still dominated by tropospheric, and not ionospheric, fluctuations.
The API at the NMA was followed by an instrument deployed at Mauna Kea, Hawaii, to measure the atmospheric stability in preparation for the new SubMillimeter Array (SMA). Shortly thereafter, NRAO built and deployed an API at the future ALMA site, and another at the Very Long Baseline Array (VLBA) antenna site on Mauna Kea, to measure and compare atmospheric stability at those two locations (Holdaway et al. [1995]). The design and construction of the NRAO APIs is described in detail in Radford et al. [1996]. Another API was deployed at an alternative possible ALMA site near where that telescope was eventually built.
The instrument at the VLBA site on Mauna Kea was deployed to the VLA site in 1997, as a full-time atmospheric stability measuring instrument (Carilli et al. [1998]). Following the practice of the previous APIs, the VLA API measures a continuous time series of phase differences on a 300 meter baseline once per second, and processes each ten minutes of this time series in real time to produce a continuous measure of atmospheric phase stability above the VLA. Ten minutes is
considered sufficient because enough independent parcels of air will have blown over the two antennas of the API to obtain an adequate statistical measurement of the atmospheric stability, even under very calm conditions. The VLA API has been operating continuously, with various modifications, since its original installation. While it has performed admirably, it is beginning to suffer from reliability problems.
In March 2011 we undertook the development of an upgraded instrument design, one that would be reliable enough to produce data for the expected lifetime of the VLA telescope (~2030), and address some of the limitations of the original system. This upgrade project was also an opportunity to design features into the instrument that will allow us to study the directional nature of the turbulence, probe the distance structure function, and to study the instrument itself.
The API measures the phase of an extremely weak (picowatts as measured at the ground) satellite signal that has propagated through the atmosphere and been detected at two (or more) locations on the ground. In order to do this, the instrument must:
1. Detect the weak microwave signals
2. Translate the detected signals to a frequency convenient for transport over distances up to 1000 meters
3. Filter unwanted signal components
4. Translate the signals to a frequency convenient for digitizing
5. Digitize and analyze the signals.
Based on funding, and a requirement to prove the design (see below), the API upgrade project was split into two “phases.” The first (“Phase I”) would include design and construction of most of the central electronics, but would include only two elements of the full 4-element API. These two elements would be tested while co-located, within 5 meters of the existing API. The second (“Phase II”) would comprise the completion of the full 4-element API.
2 Technical Requirements for the Upgraded Instrument
In addition to the general requirements listed above, the primary capabilities which the new instrument must have are
1. Flexibility in frequency coverage – when the original satellite with the 11.3 GHz beacon was decommissioned about 6 years ago, the API had to be modified to allow frequency conversion from a different beacon frequency. The modifications necessary to allow this in the existing API are mostly improvised from available parts, and some portions of this scheme are aging and prone to failure. The new API shall have remotely tunable oscillators, which will allow for adaptation to other beacons.
2. Redundancy and diversity of measurement length scales and directions – the baseline directions of the VLA antennas span the horizontal plane, and as such could be sensitive to path length variation that is not detected by the current one-dimensional API measurement. Like the VLA, the new API shall span the plane, and even if we find no particular direction dependence to the turbulence measurement, the extra baselines provide redundancy in the event of a detector failure. Redundancy increases the reliability of the instrument.
3. A factor of two or more increase in sensitivity over the old instrument. That is, the new instrument shall be able to resolve changes in saturation phase of 0.4 degrees or less. This requirement arises from the VLA frequency-based observing condition thresholds. The highest-frequency receiver band has a threshold of 5 degrees root-mean-square (RMS) or less, while the next-lower receiver band has a threshold of 7 degrees RMS or less. The new instrument must reliably detect the difference between these two thresholds. For an unambiguous detection, we require that difference to be 5 standard deviations or more; therefore the instrument must have a maximum measurement uncertainty of 0.4 degrees RMS. Note that the existing API has a measurement uncertainty of around one degree RMS in the saturation phase.
The locations of the receiving antennas relative to the electronics shack drove an additional constraint: the signal attenuation due to the 900 m cable haul from the most distant antenna to the shack made the use of coaxial cable for transmitting the intermediate frequency signal undesirably lossy. Instead, fiber optic cable provides a lower-attenuation signal transmission, where signal attenuation is dominated by the modulator/demodulator and not by the link length.
These top-level technical requirements drive requirements for the subsystems, namely the phase sensitivity of the instrument, the stability of the oscillators, and the choice of local oscillator and intermediate RF frequencies.
2.1 Sensitivity
Although the smallest saturation phase threshold that is used in the dynamic scheduling algorithm is $5^\circ$ for the 40-50GHz (Q) observing band, we must be able to resolve the difference between $5^\circ$ and $7^\circ$, which is the next-lowest threshold, for the 26-40GHz (Ka) band. An instrumental measurement sensitivity of $1^\circ$ RMS allows only a 2-standard-deviation detection of the difference between these two thresholds. A measurement sensitivity of $0.4^\circ$ RMS would yield a 5-standard-deviation detection.
The satellite signal itself, as detected on the ground, has a Signal-to-Noise Ratio (SNR) of approximately 23dB; in other words, a factor of about 200 separates the amplitude of the sinusoidal beacon signal from the inherent noise floor. This means that the zero-crossing point of the sine wave has an inherent 0.5% uncertainty, and this uncertainty propagates to the phase measurement. Each sinusoid’s noise can be treated as independent. If this were a simple zero-crossing phase detector, such as an oscilloscope, the theoretical uncertainty $e_{total}$ in the resolution of the phase angle of two such signals, $e_1$ and $e_2$, would be
$$e_{total} = \sqrt{e_1^2 + e_2^2} \times 360^\circ = \sqrt{2 \times (0.005)^2} \times 360^\circ = 2.5^\circ$$ \hspace{1cm} (19)
which fails to meet even the coarsest resolution requirement. Fortunately, we can do much better than that. The API uses an averaging complex correlation to measure the phase. The value of the zero-crossing location is the mean across $\frac{1}{f_{\text{baseband}}}$, or about 10,000 samples. The uncertainty in the zero-crossing location is reduced by a factor of $\sqrt{10000} \sim 100$. This means that the SNR of the signal does not limit the phase resolution as it would in a direct zero-crossing detecting system.
Given the LNB manufacturer’s stated noise figure, and the noise and gain figures of all subsequent devices, we can predict the total noise figure of the system. Table 1 shows the gain and noise contribution of each amplifier in the system, and the gain and noise budget for the
system as a whole, calculated from manufacturers’ device data. Clearly the gain of the LNB is high enough and its noise figure low enough, that the system SNR is fixed when the signal leaves the LNB. Additionally, amplifiers have been chosen such that they remain in linear operation, free of gain compression, over the range of expected signal levels.
Table 1: System gain and noise budget, calculated from manufacturers' device data. LNB and intermediate amplifiers are shown.
| Device | Location | Gain (dB) | Noise Figure (dB) |
|-----------------|--------------|-----------|-------------------|
| LNB | Front end | 60 | 0.6 |
| ZFL-1000LN | Front end | 25 | 2.9 |
| Fiber link | 1st conversion | -35 | 3.0 |
| 2nd conversion mixer | 2nd conversion | -7 | 7 |
| ZX60-2531M | 2nd conversion | 33 | 3.5 |
| ZFL-1000LN | 2nd conversion | 23 | 2.9 |
| ERA-5SM | 3rd conversion | 12 | 4.3 |
| 3rd conversion mixer | 3rd conversion | -7 | 7 |
| Total | | 105 | 0.6 |
2.2 Frequency Conversion and Filtering
The microwave frequency of the satellite signal is a convenient, industry-standard frequency for communications and television distribution – it has adequate bandwidth for the signal payload, the electronic components are compact and lightweight, the transmission through the atmosphere is well-understood. But this frequency is less than convenient for other types of signal processing, such as narrow bandwidth filtering, modulation of lasers, or precision phase-detection. The API detects the phase of an extremely narrow bandwidth sinusoid, and the high frequencies that allow for wide-bandwidth signal transmission add unnecessarily to the cost of the components. For these reasons we convert the frequency of the signal, as early in the signal chain as possible.
The process preserves the phase of the original signal; any subsequent frequency conversion operations will also preserve the phase of the original signal, as long as the phase of the LO signal is controlled. The result is a signal, at some arbitrary frequency, with the desired phase.
At each stage of the three stages of frequency conversion, we perform band-limiting filtering. This reduces pressure on the gain cascade – the amplifiers are more likely to remain in their linear regions if they are not required to amplify unnecessary signal bandwidth. It also removes unwanted signal components that threaten to corrupt the signal multiplicatively.
Table 2 lists the three frequency conversions – the RF, LO, and IF frequencies, and the bandwidths and types of the filters used at each stage.
Table 2: Conversion frequencies and signal component selection filters
| Conversion | LO | RF | IF = RF - LO | Filter frequency/width/type |
|------------|----------|-----------|--------------|--------------------------------------|
| 1st | 10.75GHz | 11.701GHz | 951MHz | 950MHz/12MHz/ bandpass |
| 2nd | 961.01MHz| 951MHz | 10.01MHz | 10MHz/1MHz/ bandpass |
| 3rd | 10MHz | 10.01MHz | 10kHz | 10kHz/20kHz/ lowpass |
2.3 Oscillator Frequency Stability
All local oscillator signals in the API are phase-locked to the 10 MHz LO reference, or else employ the 10 MHz oscillator signal directly, as in the case of the 3rd frequency conversion. The 10.75 GHz LNB oscillator and the 961 MHz 2nd LO are each coherent with each other and among the four antennas.
The two primary sources of jitter in the system are the 10 MHz reference oscillator, because its jitter is multiplied by a factor of 1075, and the LNB 10.75 GHz oscillator, because it is the highest frequency signal generated in the system. The LNB 10.75GHz oscillator contributes approximately 0.1fs (10^{-16} seconds) of jitter. Since it is phase-locked to the reference signal, any jitter present in the reference signal that is within the phase-locked loop bandwidth will also appear in the output signal. In this case, the 10MHz reference oscillator contributes 3 orders of magnitude less than that, but is multiplied in frequency by a factor of 1075, so appears on the same order as the LNB jitter. The reference oscillator signals are degraded by the additive noise of each amplifier in the signal path, as well as the fiber optic link.
3 Instrument Geometry
In order to meet the second requirement above, a four-element API array was chosen. The geometry of the four-element array is designed to
(a) Preserve the current 300 m nearly east-to-west (E-W) measurement,
(b) Add a 300m roughly north-to-south (N-S) measurement baseline, and
(c) Add a 1km measurement baseline that bisects the other two.
The location of the new antenna pads was constrained by the availability of land that is controlled by the VLA; the central square mile which houses the VLA facilities and staff, and by the density and location of existing buried infrastructure. The location of the two new antenna pads minimized conflict with existing buried lines, while providing the lengths and directions suitable for the new design.
The “east-to-west” (E-W) baseline is not strictly east-to-west; it is aligned with the VLA east arm, at an angle of approximately 20.5° south of east. The “north-south” (N-S) baseline forms an angle of 86.3° to this, so the near-orthogonality of these two baselines will allow the turbulence field to be decomposed into longitudinal and transverse components, regardless of the fact that the array is not cleanly aligned to compass points. In addition, wind patterns at the VLA site are such that the prevailing wind direction (taken to be the driving energy source for the
turbulent flow) is largely westerly about 70% of the time, and southerly about 30% of the time. The orientation of the measurement baselines is therefore such that the transverse-versus-longitudinal measurement is available at all times, and will allow for full recovery of the 2-dimensional turbulent field statistics.
Table 1 lists the physical and effective (“projected”) baseline lengths and directions, and their E-W and N-S components. The inclusion of the projected length column accounts for the position of the satellite signal in the sky. If the satellite were at the zenith, the effective baseline would be equal to the projected baseline. But the elevation angle of the satellite foreshortens any projection in the north-south direction, and the azimuthal angle foreshortens the projection in the east-west direction. From the API geographical centroid, the satellite is located at an elevation angle of 49.75° and an azimuthal angle of 168.34°.
Table 3: API baseline vectors. "Length" is the distance measured along the ground. "Projected length" is that distance projected to the angles at the location of the satellite in the sky
| Baseline | Length (m) | Projected length (m) | Bearing degrees from N | E-W component (m) | N-S component (m) |
|----------|------------|----------------------|------------------------|-------------------|-------------------|
| N - W | 345 | 298 | 26.50 | 133 | 267 |
| W – E | 454 | 450 | 66.37 | 412 | 180 |
| W – S | 880 | 744 | 134.13 | 534 | 518 |
| N – E | 291 | 267 | 115.94 | 240 | 117 |
| N – S | 1038 | 813 | 152.63 | 374 | 722 |
| E - S | 823 | 629 | 164.81 | 165 | 607 |
If the turbulent field were azimuthally symmetric, the baseline direction would be arbitrary – all orientations would produce the same result. But if the theory of Tatarski holds, and distinct structure function coefficients exist for longitudinal and transverse fields, then the present API will tend to underestimate the turbulent effect much of the time, due to the intermediate angle it forms with the prevailing wind direction. The new system will provide measurement baselines parallel and perpendicular to the majority wind direction, and will span the space at all times, regardless of wind direction.
4 The Satellite: SES-1
Presently we are using SES-1, a television and communications satellite that orbits at 101° W longitude in the geosynchronous Clarke belt. The advantage of using geosynchronous satellites as signal sources, as Radford [1996] mentions, is that they do not move across the sky (significantly), and therefore do not require receiving antennas with tracking capability. This greatly simplifies the complexity of the receiving stations.
SES-1 transmits two sinusoidal beacon signals, in addition to its payload of digital television signals. These beacon signals appear at 11.701 GHz and 12.901 GHz. Antenna technicians on
the ground use these beacon signals for aligning dishes toward the satellite. We use the 11.701 GHz beacon as the signal source for the API.
5 Elements of the Hardware Design
A description of the hardware that comprises the instrument subsystems will be followed by a description of the principles and techniques of their operation.
5.1 The Antennas
The antennas used to detect the satellite beacon signal are commercially-available dual-band (C/Ku) satellite communications dishes. These are model 1183 offset-feed paraboloid reflectors manufactured by Prodelin of North America, approximately 1.8 m in diameter, with a feed offset angle of $22.3^\circ$.
5.2 Front Ends: Receiver and 1st Frequency Conversion
The satellite beacon signal is extremely weak at the ground, typically picowatts. Commercially-available radio frequency small-signal amplifiers function optimally with signals in the microwatt ($\mu$W) to milliwatt (mW) regime. So the receiver electronics must provide 60 dB (a factor of one million) of gain to this signal while not significantly contributing self-generated noise. From the satellite’s published Effective Isotropic Radiated Power (EIRP) specification and information about the transmitting antenna’s beam pattern, we can calculate the link budget between the satellite-based transmitter and the ground-based receiver. The EIRP for a transmitting antenna is the product of the true transmitted power and the antenna gain factor.
The link can be characterized according to the Friis Transmission Equation, which gives the received power in terms of the transmitted power, transmitting antenna gain factor, receiving antenna gain factor, and path loss that is dependent on the distance $R$ and wavelength $\lambda$:
$$P_R = \left( P_T + G_T \right) + G_R + 10 \log_{10} \left( \frac{\lambda}{4\pi R} \right)^2$$
Expressed in decibels, EIRP is the sum of the transmitted power $P_T$ and the transmitting antenna gain factor $G_T$. The published EIRP for SES-1 is 48 dBW, or approximately 63 kW. For $\lambda = 2.6$ cm, $R = 36,000$ km, and $G_R = 45$ dB, this would yield $P_R = -112$ dBW = -82 dBm ~ 6.3 pW received at the ground.
The API front end is a receiver and low-noise block downconverter (LNB), Orbital Research LNB-5400X, which is a commercially-available device used in satellite communications and television groundstation applications. During the development phase of the API design, two competing products offered the right frequency coverage and the ability to accept an external frequency reference signal. Of these, the Orbital Research device offered the lower internal frequency jitter.
The block diagram of this receiver is shown in Figure 1. The receiver receives and amplifies the 11.7 GHz satellite beacon signal. An internal voltage-controlled oscillator (VCO) phase locks to an external 10 MHz reference and produces a Local Oscillator (LO) signal at 10.75 GHz. The resulting 951 MHz Intermediate Frequency (IF) signal is amplified with a conversion gain of about 60 dB, which gives about -30 dBm, or ~1 µW at the output of the LNB. This signal power is within the dynamic range of relatively inexpensive, general-purpose commercially-available amplifiers to amplify without undue SNR degradation.
The front-end interface module houses a fiber optic receiver, which receives a 10MHz reference signal from the electronics shack. This signal requires about 40 dB of amplification, in two stages – a low-noise stage followed by a high-gain stage -- in order to drive the reference input of the LNB, which contains an integral oscillator that is phase-locked to the common 10 MHz signal. This VCO operates at 1.34375 GHz; the 8th harmonic of the VCO output is selected by a bandpass filter and used as the 1st-conversion LO signal, at 10.75 GHz.
The 951 MHz IF out of the LNB is bandpass filtered to 12MHz around the beacon frequency and amplified with an additional 30dB of gain. The output of this amplifier drives the modulator of the fiber optic transmitter, which is optimally modulated by a signal power of 1mW. This signal is transmitted to the shack for further processing.
5.3 Local Oscillator
A common 10 MHz reference signal is used to phase lock both the 1st conversion front-end LNB oscillator and the 2nd conversion synthesizer, and as the LO for the third frequency conversion. This reference signal is provided by a stable 10 MHz crystal oscillator in the LO module. This oscillator can be phase-locked to an external 10 MHz signal, but will self-center its frequency tuning in the absence of an external reference signal. Since this signal is common to all
antennas, all other oscillators in the system are mutually coherent, and any frequency instability in this central oscillator will cancel in phase comparisons.
A digitally programmable VCO-based synthesizer (Texas Instruments/National Semiconductor LMX2531) produces the 2\textsuperscript{nd} conversion LO signal at 961.01 MHz. This synthesizer is also phase-locked to the common 10 MHz reference signal. The synthesizer-programming interface allows independent control over output frequency, phase detector frequency, prescaler value, loop filter resistor and capacitor values, and charge pump gain. These parameters allow the performance of the synthesizer to be optimized for each selection of output frequency; for example, spurious output signals can be suppressed, but at the expense of increased noise floor. Figure 2 shows the graphical programming interface. This synthesizer is programmed for an output frequency 10 kHz away from the IF signal frequency. The synthesizer control register settings, as determined by the graphical controls, are stored to a text file where they can be read and asserted by the data acquisition computer.
The synthesizer parameters that influence the output frequency are
1. VCO frequency,
2. Phase detector frequency, and
3. Output frequency divider
These can be set independently, as long as the VCO frequency divided by the output frequency divider ratio is within the tunable range of the synthesizer (in the case of the LMX25312080, this
is $1904\text{MHz} < f_{VCO} < 2274\text{MHz}$.) Additionally, the phase detector frequency, charge pump gain, and loop filter component values can all influence spectral shape, the presence of spurious signal components, and overall oscillator jitter. From the LMX2531 datasheet, for phase detector frequency $f_{PD}$ and oscillator (VCO) frequency $f_{OSCm}$, $f_{PD} = f_{OSCm}/R$:
Choosing $R = 1$ yields the highest possible phase detector frequency and is optimum for phase noise, although there are restrictions on the maximum phase detector frequency which could force the $R$ value to be larger. The far out PLL noise improves 3 dB for every doubling of the phase detector frequency, but at lower offsets, this effect is much less due to the PLL Iff noise. Aside from getting the best PLL phase noise, higher phase detector frequencies also make it easier to filter the noise that the delta-sigma modulator produces, which peaks at an offset frequency of $f_{PD}/2$ from the carrier.
Similarly, the charge pump gain affects both the overall phase noise and the level of spurious signal components:
Increasing the charge pump current improves the phase noise about 3 dB per doubling of the charge pump current, although there are small diminishing returns as the charge pump current increases. From a loop filter design and PLL phase noise perspective, one might think to always design with the highest possible phase detector frequency and charge pump current. However, if one considers the worst case fractional spurs that occur at an output frequency equal to 1 channel spacing away from a multiple of the $f_{OSCm}$, then this gives reason to reconsider. If the phase detector frequency or charge pump currents are too high, then these spurs could be degraded, and the loop filter may not be able to filter these spurs as well as theoretically predicted. For optimal spur performance, a phase detector frequency around 2.5 MHz and a charge pump current of 1X are recommended.
The five API 2nd LO frequencies that have been used since the beginning of the project – 961.005, 961.01, 961.015, 961.016, and 961.02MHz -- have all used $f_{PD}=5\text{MHz}$ and charge pump gain = 1.
Once a new output frequency has been chosen and the relevant synthesizer parameters determined, the LMX2531 control register values can be exported from the CodeLoader program into a text file (include the output frequency in the name of the text file, e.g. synthregisters_961_016.txt). These register values are stored in the columns of a table which are indexed by the frequency select command, issued from the M360 synth_freq_cmd control point.
An example spectrum of a real oscillator signal is shown in Figure 3. These are the measured spectra of the API 2nd LO signal. In each successive frame of Figure 3, the frequency span is reduced by a factor of 10. At a sufficiently large span, 50MHz, the signal appears impulse-like (a), with some measurement noise. In (b), at 5MHz width, there is some apparent widening of the signal, though no meaningful spectral structure is resolved. In (c) at 500kHz width, other spectral features begin to emerge. These details were lost at the frequency resolution of the previous frames. Finally, in (d), 50kHz span, we see distinct features – other impulses, plus some structure in the noise floor. The 50kHz span is significant, because this is the sampling frequency of the API digitizer – any signal energy contained in this bandwidth will be sampled and will contribute to the total sampled signal energy.
Figure 3: The LO signal at 961MHz, viewed at four different frequency scales. Each is measured using a constant number of frequency bins.
5.4 Fiber Optic Distribution of Signals
Fiber optic cable is used to distribute the 10 MHz LO reference signal from the shack to the antennas, and the 951 MHz IF signals from the antennas to the shack. A separate set of fiber optic cables carries Ethernet monitor and control signals between the shack and the VLA control building. These are 12-conductor bundles of double-armored single-mode fiber at an operating wavelength of 1310nm, buried to a depth of approximately four feet. This burial depth was found to provide optimal temperature stability at a reasonable labor cost.
The transmitter and receiver for the Local Oscillator reference signal are the TimeLink DL-series from Linear Photonics, optimized for distributing time and frequency reference signals over long distances. The transmitter/receiver pairs for the analog RF signals are Fiberspan AC123-T/R, which are standard parts commonly used in the distribution of cable television signals. The transmitter is a direct-modulation 1310 nm laser driven by the incoming 951 MHz signal at a power level of approximately 0 dBm. The receivers are photodiodes followed by an RF
amplifier cascade with a bandwidth of approximately 1.5 GHz. The receivers impart noise to the analog signals, particularly at low (< 1 MHz) frequencies. It is therefore necessary to bandpass filter the RF output of each fiber link.
The 1 km haul of the longest API baseline made the coaxial copper distribution of signals impractical, due to signal attenuation in the cable, which is a function of cable length. Using premium low-loss cable, the loss over a 1 km distance at 951 MHz was approximately 72 dB. This was deemed unacceptable, requiring fiber optic cable to be used for the longest baseline. In the interest of standardizing the four antennas’ signal performance, regardless of distance, fiber optic links are used to carry the 10 MHz local oscillator reference to each antenna, and to carry the 1\textsuperscript{st} IF signal from each antenna to the processing shack. This turned out to be one of the most challenging aspects of the project, owing to the jitter contributed by the laser modulator.
The fiber optic link operates by modulating an RF signal onto a directly-modulated laser, guiding the laser signal through a fiber optic cable, and demodulating or detecting the signal with a photodiode and recovering the RF signal. For the API distances, the signal attenuation in the fiber optic link is dominated by fiber splices and connectors, and by the modulator/demodulator circuits, and the loss is approximately the same for all four antennas, independent of distance.
The API uses two distinct models of fiber optic link: a low-jitter (and relatively expensive) transmitter/receiver pair for the 10 MHz LO reference, Linear Photonics TimeLinkDL DTMT(R)HFMC, and a lower-cost pair, Fiberspan AC-123T/R for the 1\textsuperscript{st} IF signal. The IF signal fiber links were developed and marketed for the distribution of cable television signals, but were adapted for use in the VLA (and ultimately the API) signal distribution system.
Originally all the fiber components were the Fiberspan models, which are used successfully in the VLA for local oscillator distribution. In fact, the units used in the API are surplus stock from the VLA upgrade project. But these were found to add an unacceptable amount of jitter to the 10 MHz signal. The VLA reference signals are high enough in frequency that they do not get corrupted by the frequency response of the modulator/demodulator link. The TimeLink models are specifically designed to transmit and receive timing reference signals, such as the API 10 MHz signal, and do not add appreciable jitter to the signals.
Table 4 shows the RMS jitter, from 1 to 100Hz, of the 10MHz oscillator alone, and after being detected on each of the TimeLink and Fiberspan links. Also listed is the RMS jitter of the LMX2531 synthesizer at 961MHz.
| Source | Jitter (ps) |
|---------------------------------------------|-------------|
| 10MHz Wenzel oscillator (reference and 3\textsuperscript{rd} LO) | 0.402 |
| Fiber link (Timelink) | 0.405 |
| Fiber link (Fiberspan) | 4.965 |
### 5.5 2nd Frequency Conversion
After the IF is demodulated from the fiber, it is amplified by about 40 dB before entering the 2\textsuperscript{nd} conversion frequency mixer. The 961.01 MHz LO signal converts the IF to a nominal 10.01 kHz
signal. The 2\textsuperscript{nd} IF signal is bandpass filtered by a narrow (+/- 500 kHz) filter to eliminate spurious signals and fiber optic link artifacts that would otherwise corrupt the signal.
### 5.6 3rd Frequency Conversion and Baseband Conditioning
The 10.01 MHz 2\textsuperscript{nd} IF is mixed with a copy of the central 10 MHz LO frequency reference, resulting in the desired nominal baseband signal of 10 kHz. The baseband signal is low-pass filtered by a programmable active filter circuit with a cutoff frequency of 20 kHz, to prevent aliasing in the digitizer, which has a Nyquist frequency of 25 kHz. The baseband filter can be reconfigured with different cutoff frequencies and gains, or as an entirely different filter topology, should the signal require different filtering.
The baseband lowpass filter is realized with a Texas Instruments UAF42 biquad filter, whose schematic representation is shown in Figure XX. This filter can be configured using FILTER42 program from Texas Instruments. This program allows a filter topology and set of characteristics to be specified in a GUI and returns the component values and pin connections necessary for realization of that filter.
### 5.7 Digitizer
The digitizer resides in the Data Acquisition (DAQ) module, and is an APEX Systems model STX-104 PC/104-standard multiplexed-input, 16-bit analog-to-digital converter (ADC) that can accommodate up to 16 input channels, for a maximum sample rate of 200 ksps. In this configuration, we use four input channels, each with a sample rate of 50 ksps. The inputs are configured as differential pairs, although each signal is single-ended. This pseudo-differential arrangement has the advantage of cancelling noise that is common to each signal cable and its cable shield, and allows a broader range of adjustable gain within the digitizer module. Each channel can sample a +/-10V amplitude signal, although for smaller-level signal, a reduced range is preferable, so that the signal is represented by as many bits as possible. Each channel is configured with the maximum possible gain, which allows +/- 1.25V full scale amplitude.
The 200 kHz digitizer sample clock is the one reference signal in the system that is not coherent to the 10 MHz reference oscillator. This is acceptable, since any drift in this clock will appear in common to all four channels, and therefore it does not impart any drift onto the sampled signals.
6 Data collection and analysis
The API instrument produces raw voltage streams from the two antennas, which are then collected, correlated, integrated, and processed into the phase difference time series (one phase difference per second) in software running on a Module Interface Board (MIB) unit located in the electronics shack. The phase difference time series is then analyzed in 10-minute segments in a program deployed on one of the VLA monitor and control remote server computers. This second program derives the interesting structure function quantities (power-law slope, corner time, and saturation phase) and writes them to the VLA archive database. This software all predated this thesis project, having been developed by VLA staff for the original 1997 API installation, and was taken as-is from the existing implementation for the new API.
6.1 Integration and Correlation
The MIB CPU requests a data packet from the DAQ module once per second. This packet contains nominally 200,000 samples, 50,000 each from the four channels. Although we have not yet installed the third and fourth antennas or their associated electronics modules, the data acquisition system is capable of processing all four potential channels. The program forms the six pairs of signals, places each pair in quadrature, and correlates.
The complex correlation of two time series $x_1(t)$ and $x_2(t)$ is given by
$$y(t) = \int_0^t x_1(t + \tau) x_2^*(\tau) d\tau$$
where the conjugation is accomplished by Hilbert transforming $x_2$,
$$x_2^*(t) = x_2(t) \otimes \frac{1}{i\pi t}$$
In the API processor, the integral becomes a summation over discrete values of time:
$$y(k) = \sum_{n=1}^{50,000} x_1(n + k) x_2^*(n)$$
The one-second data from each pair is correlated in the data acquisition module, resulting in the real (Re) and imaginary (Im) parts of the correlation. The phase is calculated as
$$\phi = \arctan\left(\frac{\text{Im}(y)}{\text{Re}(y)}\right)$$
and communicated over the network to the monitor and control server.
6.2 Derived Structure Function Quantities
1. The remote server program operates on a 10-minute stream of one-second phase difference data. It performs the following operations on the time series:
2. Unwrap the phase to remove $2\pi$ phase ambiguities
3. Calculate and remove a least-squares quadratic fit, to remove phase drift due to satellite motion
4. Calculate the saturation phase, which is the RMS of the residual from (2)
5. Calculate the structure function of the phase difference time series
For more details, see Butler and Desai [1999].
6.3 Baseband signal frequency calculation
One further calculation is made in software on the MIB, which is of use to the API instrument. Once per ten minutes, the MIB software performs a Fast Fourier Transform (FFT) on one second’s worth of sampled signal from one of the four channels. The program removes the DC component and identifies the frequency at which the maximum occurs in the spectrum and displays and archives this value. Because the master oscillator in the API system is not synchronized to the oscillator on board the satellite, the two oscillators are free to drift in frequency with respect to each other, and the result of this mutual drift is that the baseband signal may drift out of range of its lowpass filter, and ultimately of the digitizer. Periodic adjustments are made to the 2nd LO signal to compensate for this drift.
6.4 Data Visualization
Presently, the API Engineering Screen (Figure 5) displays voltages, power levels, temperatures, and other diagnostic data in table form, updated continuously by the M&C system. In addition, the Weather Screen (Figure 6) displays the graphical time series of the ten-minute RMS phases from each of the six baseline products. A proposed future GUI screen would show the RMS phase value for each baseline superimposed on a map of the API array, as in Figure 7.
Figure 5: API Engineering screen, showing diagnostic monitor points for the electronic modules throughout the system.
Figure 6: Weather screen API/Wind tab, showing 24 hours of API RMS phase and wind speed.
Figure 7: API RMS phase map (proposed future GUI display)
7 An Example Analysis of API Data
It will be illustrative to look at an example of the API measurement products at this point. Figure 8 shows the raw phase difference from the existing API, sampled once per second, spanning a period of about one day. It is apparent that the phase wraps many times around the phase circle over this period due to $2\pi$ ambiguity, motivating the phase-unwrapping step of the analysis software.
Figure 9 shows the same raw phase data, after unwrapping. Even after the unwrapping, there is almost 4000 degrees of phase excursion, which is almost entirely due to the effect of the motion of the satellite within the beam of the antennas. Figure 10 shows the ephemeris of the satellite throughout one day. The visible discontinuity in the position course requires that the satellite perform a daily position correction, and this discontinuity is evident in the frequency of the detected and converted “baseband” signal, as shown in Figure 11.
This large change in frequency is the result of the frequency of the beacon signal changing according to the Doppler formula,
$$f_{\text{observed}} = \left(\frac{c + v_r}{c + v_s}\right) f_0$$
where $c$ is the speed of propagation of the signal through the medium (taken to be the speed of light in air), $v_r$ is the velocity of the receiver, $v_s$ is the velocity of the source, and $f_0$ is the nominal
signal frequency. The observed frequency will be greater than the nominal frequency when the source is approaching and less than the nominal frequency when the source is receding.
Figure 9: Same raw phase data, unwrapped to show complete phase excursion.
Figure 10: Satellite SES-1 ephemeris for one day
Figure 11: Signal baseband frequency, showing Doppler variation from satellite motion and discontinuity from position correction.
Figure 12: One day of raw phase data, diurnal sinusoidal trend removed
It is difficult to discern at the scale of Figure 9, but the thickness of the line varies throughout the day. This is due to the changing atmospheric stability throughout the day, and it is this quantity that we seek to measure. Figure 12 shows the same data, but with the diurnal sinusoid removed; the variance on timescales of minutes and hours becomes more apparent. Notice that there are ten-minute regions of Figure 12 that would not be well-fit by a quadratic curve, for example regions where there are multiple inflection points. This will naturally influence the RMS measurement and except in rare cases that condition is unlikely to persist for multiple contiguous ten-minute periods.
Figure 13 shows the raw phase values for the final ten-minutes of the data in blue, and the same data, but with a quadratic fit removed, in red. The quadratic trend accounts for the satellite motion and slow temperature-induced phase drift.
Calculating the root-mean-square of the residual from that fit gives us the API measurable – the saturation phase, in this example 2.94 degrees. We can perform this exercise for each of the 10-minute segments of the entire data set for the day, deriving a saturation phase for each of these segments. Figure 14 shows this quantity for the entire 24-hour data set. As noted above, the software also determines the power-law exponent of the structure function for each of the 10-minute segments – Figure 15 shows that quantity for each ten-minute period plotted for the entire 24-hour data set.
Figure 14: Time series of saturation phase derived each 10 minutes over the entire 24 hours of data shown in Figure 8.
Figure 15: Time series of power-law exponent (slope) derived each 10 minutes over the entire 24 hours of data shown in Figure 8.
The VLA Monitor and Control (M&C) system provides both real-time monitor data – for the API, these data include signal power levels, circuit board temperatures and supply voltages, and more importantly the instantaneous one-second phase and correlated amplitude. In addition, these quantities are archived in a database where retrieval of historic data allows matching of trends, for example outdoor air temperature, windspeed, humidity, or insolation, to signal levels and phase. This archived database has enabled data analysis that otherwise would have required costly dedicated data-logging systems to be deployed in advance. Much of the progress that has occurred in the API project has resulted from discovering unanticipated interactions that could only have been revealed by inspection of this comprehensive data archive.
8 Future Work
Several further improvements to the Phase I design are planned, which are expected to improve overall phase stability of the instrument, and result in lower instrumental noise and variation, and therefore better overall instrumental sensitivity. In particular, work is underway to improve the jitter performance of the Local Oscillator distribution, and to thermally stabilize the electronics shack and its components.
Of all the components comprising the API, the Fiber optic and Teflon-dielectric coaxial cables (because of their low thermal mass) are particularly sensitive to rapid temperature changes. Thus, temperature changes on the scale of one to six hundred seconds result in an electrical or optical length variation, which translates to induced phase variation, of a sufficient magnitude to affect the API measurement.
The HVAC unit in the electronics shack occasionally cycles between its set point and its hysteresis point, when its cooling capacity is out of balance with the heat load of the shack. This cycling provides the rapid temperature variation to which the API cables are sensitive. To mitigate this effect, we are reinforcing the insulation of the shack, thermally isolating sensitive components from air that is changing temperature quickly, and balancing the heat load so that the HVAC runs continuously. These three parallel approaches will minimize the instrumental sensitivity to rapid temperature variation.
More comprehensive data visualization tools may be required as NRAO staff become more acquainted with the new instrument’s data output. Also, further analysis of API and weather station data can probe whether the direction-dependence of the structure function constant as predicted by Tatarski is apparent.
9 Acknowledgements
Much of the substance of this memo was taken from my Master’s thesis, which available through the NRAO Library and the NM Tech Library. That work represented the combined effort of many people, including my advising committee: Bryan Butler, Dave Westpfahl, Richard Sonnenfeld, and Sharon Sessions, as well as the contributions from all who worked and collaborated on the project: Eric Chavez, Steve Tenorio, Brent Willoughby, Hichem Ben Frej, as well as all who have labored on this problem before me.
|
FLOODS
Record rainfall all along the southern foothills resulted in floods and landslides throughout most parts of the kingdom with considerable loss of life and property reported in southern districts. 10 people were reportedly buried alive under a landslide in a single incident at Karkhola in Sarbhang district on the morning of July 13 while a religious ceremony was in progress.
Sarbhang town, always under threat, was ‘islanded’ after the Sarbhang river abruptly changed course, sweeping away 2 houses and rendering hundreds homeless. Chirang and the major portion of Sarbhang district remained cut off due to landslides on the Wangdi-Chirang road and swollen rivers on the Gyalgeybang-Sarbhang route. Parts of the Gyalgeybang area were also affected, disrupting drinking water supply while many industries in Pasakha near Phuntsholing had to be temporarily shut down. According to reports, security forces based in the south were ordered to evacuate and rescue stranded people.
The unpreparedness, heavy mid-July monsoon rains which destroyed homes, crops and livestock in the south also effected people in other parts of the kingdom. Loss of life and property was reported from Tashiqang and Sandrup Jhongkh districts. Most of the villages there also suffered from landslides and remained closed for some days. The unstable Sorchen heads on the main national highway linking the capital Thimphu with the bordering on the Indo-Bhutan border was the source of problems yet again, resulting in the capital remaining cut-off for 10 consecutive days leading to scarcity of goods and price hikes.
PEACE MARCHERS RELEASED
791 Bhutanese refugees who were detained in different prisons in India’s West Bengal state after they were arrested as they attempted to march to groups across Indian territory to Bhutan from Nepal, were released unconditionally on July 4. The Calcutta High Court ordered the release of the marchers, including 58 women, held in Darjiling, Jalpaiguri and Berhampur jails.
The march was organized by the Appeal Movement Coordination Council (AMCC) when His Majesty King Jigme Singye Wangchuck failed to respond to an appeal, dispatched by AMCC on a number of occasions, that called for political recognition of the human rights and early repatriation of Bhutanese refugees. The refugees were making the journey to submit a copy of the appeal to the King. The government had taken the position that it could not permit hostile political activity against a neighbour, prevented the refugees from undertaking the march in Indian territory.
DISCONTINUE TALKS, MEMBERS DEMAND
Maintaining that no progress had been achieved in the negotiations with Nepal, and accusing the Nepalese Government of not being honest about the progress made, members who had entered after losing their property would have to be taken back. He also reported to the Assembly that Nepali did not seem to be interested in the peace process. He alleged that all Nepalese ambassadors abroad have been instructed to make various allegations to tarnish Bhutan’s image.
In his report to the Assembly, the Foreign Minister alleged that the Nepalese side had taken a position which was a marked departure from the previous position. According to the minister, the new Nepalese position was that verification of refugees should be based solely on individual statements, and that all the people who had lived in Bhutan should be taken back regardless of whether they were Bhutanese citizens or not. Based on this new position, the minister warned, besides labourers and others who had entered after losing their property would have to be taken back. He also reported to the Assembly that Nepali did not seem to be interested in the peace process. He alleged that all Nepalese ambassadors abroad have been instructed to make various allegations to tarnish Bhutan’s image.
His Majesty intoned in the discussion that the State that Bhutan was fully committed to solving the problem. He commended that the eighth round of bilateral talks would take place soon. Bhutan had agreed to hold it in Thimphu. The views of the members would be kept in mind by the Royal Government during the process of negotiations, His Majesty said.
BUDGETS, SALARIES, AND JOB RESPONSIBILITIES
Budget
The presentation of the annual budget by the Finance Minister in the National Assembly is itself a very recent phenomenon. This decision to make legislative privilege to such a presentation is commendable, fortunately, besides thanking the government for this privilege, members can do little else. The Assembly lacks the authority to approve or reject the budget. In fact, as the absence of discussion or debate on the figures indicate, it lacks even the courage to question. Moreover, the responsibility that the government might have acquired as a forum for seeking financial accountability from the government is quashed by the irregularity of sessions. When the budget is presented only at and when it is convenient for the government to do so, at times well past the start of the fiscal year and in some years not at all, Assembly participation in the process becomes devoid of meaning.
RAC Functions
Once every two years, as if to remind themselves too, the authorities take time off to highlight in the Assembly the role of the other two bodies of the Bhutanese polity - the Lhodra Shabdray (Royal Advisory Council), an eight-member body (5 from the public, 2 from the monk body and a chairman nominated by the King) established in 1985 and often described as the “guardian of the constitution”. Responding this time to a member’s request to explain the functions of the RAC, the chairman said that the RAC, with members elected to this important body by the people themselves, was responsible for “promoting and safeguarding the constitution and harmonious relationship between the government and the people.” It is RAC’s duty, he declared, to bring to the attention of His Majesty, the cabinet, and the National Assembly, any activity against the country by any individual or organization, including by the King himself. Councillors were expected, the chairman said, to discharge these duties “without fear or favour”. But if councillors are found to be lacking enthusiasm about their duties, they will find ample sympathy among the public for their discretion - Teck Nath Rizan, a ‘elected’ councillor who has remained silent for discharging this very duty (the only time any councillor attempted to advise the government) and who is now spending his seventh year in prison, remains a good example of what can befall someone who happens to take this “responsibility” seriously. Consequently, councillors have refused to take another set of responsibilities thrown upon them resolving High Court decisions challenged by litigants. Conveniently for both councillors and the regime, this task occupies the ‘royal advisers’ year round.
New Front Declared
The formation of a new front of Bhutanese dissidents, the United Front for Democracy in Bhutan (UFD) was announced on July 11. At a press conference in Kathmandu, Chairman Dorji of the National Congress (DNC) Roughong Kunley Dorji disclosed that the UFD had been formed to take the struggle to India. The party, Dorji informed the gathering that in a meeting held in Kathmandu on June 22 friends had entrusted him with the task of providing the central leadership.
Besides the DNC and the People’s Forum for Human Rights, Bhutan (FFHR/B.S.K.Pradhan), the launching of the new alliance was attended by Bhutanese dissident youth based in Kathmandu. A representative of the All-Party Movement Coordination Council (AMCC) was present as an observer, but the Bhutanese Coalition for Democratic Movement (BCDM) was conspicuous by its absence. The absence of the two political parties, Bhutan National Democratic Party (BNDP) and Bhutan People’s Party (BPP) which are the main constituents of the BCDM, has not bred any doubt that a new group claiming to represent a “united front”.
Responding to suggestions that the announcement may have been premature since the alliance had evidently not succeeded in bringing all dissident factions together, Dorji indicated that he was holding discussions with the other organizations. He said he was confident that within a year or two all the factions would unite under a central leadership.
Explore Appointment of Mediator - UNHCR Ex-Com Chairman
Ambassador Larsen who visited Bhutan, Nepal, and India in January last year, had recommended that the appointment of an impartial mediator be further explored to resolve the problem of Bhutanese refugees in Nepal. He has also suggested that a closer relationship between Bhutan and UNHCR be developed, and indicated that India’s involvement would be helpful in facilitating a solution.
See page 3 for more
In his capacity as Chairman of the Executive Committee of the United Nations High Commissioner for Refugees (UNHCR), Jakob Esper Larsen, Danish Ambassador to the United Nations in Geneva, visited Bhutan, Nepal and India in January of this year. After the Ambassador had visited the refugee camps or met with representatives of the exiled Bhutanese community, people accused him of foul work, but not so much because Larsen ostensibly had been pressing engagements elsewhere, a concerned international community in Kathmandu made its displeasures known with a leak in the local media. A rejoinder issued by Larsen from Geneva did nothing to clear the air or justify the Ambassador's lapse. [Review, March 1996]
Ambassador Larsen submitted his mission report this June. If he learnt anything from his trip to Nepal, it is not reflected in the report. His mission statement, that he set out on a gallant mission to help the Governments of Nepal and Bhutan find a solution to "the problem caused by refugees and other persons who have arrived in Nepal from Bhutan", is ignored. Larsen's ignorance of the fact that Bhutanese are suffering worldwide who, not out of choice but because of circumstances created by their governments, are not able to live in their own homes and countries.
The fact of the matter is that a problem prevails today because a regime, for reasons best known to itself, considered it politically expedient to target a particular ethnic group resulting in the eviction of a sixth of the country's population. To state that the victims of this move on the part of the Government are now the cause of the problem is not only an unintelligent comment but a travesty of justice. No matter how helpful his recommendations might be, WE ARE NOT AMUSED.
Report by the Chairman of the Executive Committee of UNHCR to India, Bhutan and Nepal 6-27 January 1996
In my capacity as Chairman of the Executive Committee, I undertook, from 6 to 27 January this year, a mission to India, Bhutan and Nepal. The purpose of the mission was first and foremost to maintain contact with the Governments of Bhutan and Nepal with a view to familiarizing myself with and, if possible, facilitating a solution to the problems caused by the refugees and other persons who have arrived in Nepal from Bhutan, via India, since 1991 and by the presence of some 30,000 persons in six camps in eastern Nepal.
I also had talks in New Delhi with representatives of the Government of India and with NGO and UNHCR representatives about UNHCR's presence and activities in India. In addition, I had meetings with the Ambassadors of Bhutan and Nepal, the Charge d'Affaires of India in New Delhi, and had interviews with the press and radio in the countries visited. It was foreseen that I should have visited the refugee camps in Nepal but unfortunately, this visit had to be cancelled due to a changed schedule and because of the weather. During my visits to Bhutan and Nepal, the authorities of both countries briefed me extensively on their concerns and perceptions in relation to complex issues such as birth problems of ethnicity, citizenship, nationality, identity and security considerations all play a part.
In Bhutan, I had extensive discussions with the Majesty King Jigme Wangchuck - who is also Head of the Royal Government of Bhutan, Foreign Minister Dawa Tsering, and Home Minister Dung Dorji. I also had meetings with the President of the Supreme Court and the Representative of UNDP in Bhutan.
According to the Bhutanese authorities, the return of 1988 to 1989, which revealed the presence of a large number of illegal immigrants of Nepalese ethnic origin, had led to a declaration that the refugees in Nepal were being forcibly evicted; Bhutanese who were emigrants, not Nepalese (Bhutanese who have committed criminal acts). The Bhutanese Government found it important that the bilateral negotiations should be pursued under certain conditions and that any other procedures for solving the problems might have to be considered.
During my stay in Kathmandu I had meetings with the Prime Minister, Foreign Minister Lohar and Foreign Secretary Shrestha. I also had a long meeting - which partly involved the media - with the refugee campers, with the WFP Acting Representative and the heads of NGOs participating in the Bhutanese refugee programme.
In Kathmandu, I had talks with the Ambassadors of the USA, Germany and India in Kathmandu on the refugee problem. I also had over lunch with a group of former Nepalese Ministers and high officials.
In the meetings I had, it was emphasized by the Nepalese Ministers that Nepal had opened itself to a new immigrant - with considerable economic and social damage as the consequence - of the population problem of Bhutan. It is a common theme from the talks with the Prime Minister and the Foreign Minister that the Kingdom of Nepal views the problem of continuing uncontrolled bilateral movements of the people - that is to say using the four categories I have already described as the point of departure for solving the problems. Nepal is deeply concerned by the Bhutanese contention that the majority of the refugees are not Bhutanese citizens, or by voluntarily leaving Bhutan and having no right to citizenship. This would mean that Bhutan would accept to take back only a small number of the refugees and thousands of the refugees in the camps could be left stateless, making solutions even more difficult to find.
It is the wish of the Government of Nepal that, once the foreseen resumed bilateral negotiations, the two Governments should not seek to obtain agreements on the interpretation and interpretation of the four categories agreed upon in 1993, but rather right away begin the foreseen joint verification of the status of the refugees. The Nepalese Government has no doubts as to whether acceptance results can be obtained during such a verification process if it were conducted by a neutral body alone. It is therefore believed that the two countries could agree to appoint a mutually acceptable impartial mediator, be it a government or non-governmental person or persons, who would ensure that the process of verification is carried through in a reliable way.
The Prime Minister underlined that the Bhutanese Government had accepted the findings of such an impartial body, and integrate anybody identified as Nepalese. Nepal
It is indeed a tragic and situation that these two small developing countries - which have otherwise enjoyed friendly relations for years - find themselves caught up in a conflict over, refugees in the eastern Eastern Nepal become more and more desperate and without hope for a future outside the camps, the future for the refugees is bleak. There has been no real progress in bilateral negotiations and the risk of eventual donor fatigue.
It is difficult to give meaningful advice in the current circumstances. Should I nonetheless attempt to do so, then it would be that, for a solution acceptable to the two countries, the following would seem relevant:
* Firstly, mutual confidence and cooperation should be developed between the two countries. UNHCR gives the central role UNHCR and the overall administrator of the camps and will have to play in the context of any solution to the problem.
* Secondly, the appointment of an impartial mediator should be further explored. The task of the mediator would be to facilitate the negotiations between the representatives of the two countries and in cooperation with UNHCR - the foreigner verification process of the population in the camps which might be given priority over the political discussions between the two countries which have not proved fruitful so far.
* And thirdly, as recommended by the Council of Development Ministers of the European Union in December 1995, I believe it would be helpful if the two Governments would also to play some kind of mediating role in facilitating a solution to the problem.
Geneva, 26 June 1996
Jakob Esper Larsen
"In 1987 and 1988 many [non-nationals/ workers] were sent back along with the refugees - reduced from the Pender and Chhukpa projects. The non-national labourers all left the country and returned home and made no effort to prove that they were forcibly evicted, nor did they claim to be Bhutanese until four years later."
"The message of the Bhutanese people is loud and clear. The people claiming to be refugees of their own free will will be cancelled the right to be Bhutan as their own country. Otherwise why would they sell all their properties and migrate? They have not violated the existence of our national laws. Otherwise, why would they commit criminal acts?"
Home Minister Dago Tobering, in the 74th National Assembly.
NO MEETING GROUND
Less than a decade ago, Bhutan, the last lamaist Buddhist monarchy in the Himalayas, was considering the possibility in which the Sri Lankan government and rebel Tamil militants might negotiate a solution to their violent ethnic conflict. Within a couple of years, however, Bhutan itself had turned into another theatre of ethnic strife, this one pitting the dominant Buddhist community against the minority Hindu-dominated Nepali Hindu community in the southern third of the kingdom. The situation quickly became a stalemate, and for the past five years it has remained the most significant political issue in the country, although it tends to be treated as a sideshow by the rest of the world.
If one reads the proceedings of Bhutan's Thongdrol (National Assembly) and speeches by its members, one rarely finds a forward-looking statement that calls for political pluralism or social reform. Nor has there been an honest effort to assess issues affecting the Bhutanese people. However, the Thongdrol is handicapped as a forum for dissenting voices, and structural reforms in the style of representation are badly needed. Visitors to Bhutan are told that political reforms are on King Jigme Singye Wangchuck's agenda, but it remains unclear about the timing of their introduction and his subjects' response...
In the face of a worldwide uproar in favour of the refugees, the Bhutanese establishment, from King Jigme to the least significant functionaries, showed restraint and made no concerted effort to explain what they claimed was Nepalese disinformation. Cabinet ministers, High Court judges, articulate members of the Tsongdu, senior bureaucrats, and above all, the king himself, were aggressive in explaining their point of view. They denied any refugee resettlement, sent delegates to the camps where the refugee issue was debated; invited scholars, journalists, jurists, and concerned opinion leaders to Bhutan; welcomed representatives of UNHCR and refugee agency, as well as diplomats from the United States, Canada, and other countries engaged in talks with His Majesty's Government of Nepal to try and resolve the deadlock.
The effort has paid off. The Bhutanese have successfully portrayed themselves as victims of a Nepalese conspiracy, as people who had nothing to hide and who were perfectly sincere, self-preserving. The diplomatic offensive mounted by the small Bhutanese establishment has been so effective that despite the uproar, the refugees have been left with no significant voice in the world fora.
The Bhutanese establishment developed a sense of confidence in their ability to handle the ethnic conflict in their own way, believe the talks with Nepal (seven in all, with Kathmandu governments of all hues) have deflated the issue. Once the talks were under way, it became a game of numbers. The number of the refugees willing to return to Bhutan, however, many of them will remain in Nepal; some may opt for India, although India is not officially involved in the negotiations. Bhutanese officials hasten to add, however, that those who do return are certain to face social, economic, political, and even administrative discrimination. They are also worried about the role of international NGOs that have been active in the refugee camps...
For the Bhutanese authorities, the ethnic conflict represents a problem of law and order, and left to themselves, they would handle it in their own way. In the viewpoint of those who have left, the real issues facing the kingdom are not illegal immigration, anti-national activity, or terrorism as claimed by the government, but rather the establishment of political pluralism, democracy and protection for human rights. The two sides are at far apart, and it is possible to be in their perception.
A.C.Sinha, HIMAL South Asia, July 1996
PROMISES TO KEEP
Acquiescing to royal wishes, during its 76th session Bhutan's National Assembly entrusted His Majesty the King with the responsibility of finding a permanent solution to the ngolop (anti-national) problem. Matching this trust, on October 17, 1991, His Majesty pledged he would abide if he did not succeed in finding a lasting solution. However, while accepting this responsibility, His Majesty also assured that His Majesty would lead the National Assembly to allow him a free and unfettered hand to resolve the problem because, His Majesty explained to the members, "if the authority and power to decide on how to go about finding a solution to the problem was not included with the responsibility and accountability involved, it would not be possible to find a proper solution to the ngolop problem."
Alas, promises have been hard to keep.
The root cause behind the reasons why a lasting solution is still elusive - and why fulfilling the related pledge cannot be deemed obligatory - appears to lie within the political system of Bhutan. Otherwise disclaimed, evidence from reports carried by the official media that members of the august body have not only consistently failed to abide by their 1991 promise to the king, they appear to be intent on being singularly uncooperative. They agreed back then to let His Majesty have his full say in the matter and agreed to be bound accept all his decisions on the issue. But, disregarding their solemn vow, they have continued to question and advise the government on matters relating to the ngolop problem. His Majesty is obviously constrained by this tight leash. Consequently, the Royal Government has been unable to come up with a satisfactory solution to the problem.
In each of the four sessions in the five years since the deal between monarch and legislators was struck, despite handing over the task of finding a solution to His Majesty, Assembly members have forced lengthy debates on the various facets of the Bhutanese problem. The representatives have probed and prodded, queried and scrutinized, demanded and persuaded. These meetings from the Assembly floor, and still, demands which are, without exception, at variance with benevolent government policy, have made it extremely difficult for His Majesty and the Royal Government to implement any workable strategy. Indeed, even now, wisdom is required because His Majesty seeks to preserve his声誉的 Bhutanese subjects, "evict every thieving thief," members demand; when royal magnanimity is displayed, "no amnesty to ngolops," they cry; and when royal perseverance persists, "discontinue the talks," they advise. When the Government is at pains to explain to the world that it has never occurred to them ever to evict any individual from the country, let alone expel thousands, and also to explain that there is no discrimination in the kingdom, the members are not very helpfully throwing spanners into the works with repeated 'discussions' on the Assembly floor about throwing out citizens and removing southern Bhutanese from government service. Little wonder, then, that His Majesty and the Royal Government have not been able to make a decision.
By not giving His Majesty the promised free hand, the Assembly members are guilty of violating the 1991 genja (legally binding written agreement). Assembly resolutions, all will agree, must qualify as super genjas. The desire of the members to time-and-again needlessly choose the place for the Royal Government to situate the problem in a file. Using issues unilateral rule decreases and unnecessarily increases meaning royal commands to ensure the smooth and effective functioning of the system, His Majesty and the Royal Government are suddenly at a loss. The quest for transparency on the part of the National Assembly in the present case is concentrated mainly by elected members that the government take into account their own, has, understandably, complicated matters for His Majesty and the regime. Because of its 'democratic' heritage and image, the Royal Government cannot overlook the wishes of the people, and clearly feels duty-bound to accept the questions of the National Assembly. In the process, any progress in making a permanent solution to the ngolop problem that His Majesty might have made by riding roughshod over the people's sentiments has been stymied.
Whoever may be at fault, the problem remains unsolved. For their part, the elected members are unlikely to remind His Majesty of his pledge. As individuals who have outsmarted their neighbours in the village to be elected to the nation's highest and most powerful body, the people's representatives are, if nothing else, astute. Aware of their own failure to uphold their end of the bargain, these parliamentarians are not forthcoming with the truth.
For His Majesty, it would be simple enough to command the National Assembly to recall the 1991 agreement, to stop interfering, and to allow him take decisions as he sees fit on this issue, as he has competently done, and continues to do, in every other sphere. But this might not be so simple. And even if such a command were issued, His Majesty's most serious political crisis, it would to Bhutan's image no good to be seen as undemocratic. Therefore, since, in any case, nobody seems to remember or care for the pledge and counter-pledge anyway, His Majesty might choose to pay 'heed' to the 'elected' representatives and release them from the Nepalese (who, at least according to his officials, are not keen about a solution) and by doing so his Government, despite their better judgment and appreciation of the problem, cannot afford to be more accommodating and forthcoming.
While the honourable elected representatives of the Bhutanese people demonstrate qualities of the Bhuneese form of government - a monarchical monarchy and democracy at work by participating in lively discussions and spirited debates from June and July in the National Assembly, a forum where members are encouraged with the freedom to express their opinions and even criticize the King, the political crisis in Bhutan also featured in other parliaments abroad.
It is not unreasonable that the issue of Bhutanese refugees has recently come up again for discussions in the Nepalese Parliament since the refugees are on Nepalese soil and are a cause of considerable problems in southern Bhutan remain unresolved after all these years. In every session since refugees from Bhutan in large numbers were forced to seek sanctuary in the country, parliamentarians in Nepal have continued to question His Majesty's Government on what steps being taken to resolve the problem.
The subject has been broached in the parliaments in Europe too. Parliamentarians have expressed their concerns and sought clarification from their governments. In a significant move this March, some Members of the European Parliament representing a number of countries filed the motion in the House of the Representatives of the House to the Bhutanese crisis and succeeded in unanimously passing a resolution that called for, inter alia, the United States to pressure the Government of Bhutan to make proposals for the repatriation and reintegration of refugees in their former homes in Bhutan, and for the Government of Bhutan to make practical preparations for UNHCR-supervised return of refugees, and to safeguard the rights of minorities in its territories.
More recently, Members of Parliament in Britain and in India raised, in their respective Parliaments, questions concerning the political problem in Bhutan and matters relating to Bhutanese refugees. In the British House of Commons, Mr. Nicholas Winterton, MP, and Mr. Ronnie Campbell, MP, presented questions to the Secretary of State, Foreign Ministry, on 12 June 1996. In the Indian Lok Sabha, Mr. R.B.Rai, MP, submitted a written question for response by the Minister of External Affairs on 15 July 1996. The transcripts of the proceedings in the two Houses follow.
BRITISH HOUSE OF COMMONS
Oral Questions and Answers concerning Bhutan raised in the British House of Commons on June 12, 1996.
Mr. Nicholas Winterton: To ask the Secretary of State for Foreign and Commonwealth Affairs if he will make a statement on human rights in Bhutan.
Mr. Hanley, Secretary of State, Foreign Ministry: We understand that the human rights situation in southern Bhutan has improved significantly in the past three years and that the flow of refugees has almost ceased.
Mr. Winterton: As the position of the Bhutanese and Nepalese Governments is irreconcilable, with the Government of Bhutan stating that 99 per cent of the refugees are not Bhutanese and the Nepalese Government insisting that they are not Nepalese but that they came from Bhutan and want to go back there, how can the British Government continue to argue that the best approach to solving the problem lies in bilateral talks between the Governments of Nepal and Bhutan? What chance can my right honourable Friend give to those refugees that they will not become stateless, which many of them fear?
Mr. Hanley: My honourable Friend has rightly drawn attention to a serious dilemma. We believe that bilateral negotiations offer the best solution to the problem but we will continue to encourage the Governments of Bhutan and Nepal to conduct such talks. We take suitable opportunities to explain firmly our concern to the Bhutanese about human rights. We provide humanitarian aid to support the refugees in Nepal because they are human beings irrespective of the status that people might give them. We have raised the issue with the Indian Government, too, on the basis of our humanitarian concern. We will continue to encourage Bhutan and Nepal in their dialogue.
Mr. Ronnie Campbell, MP: Does the right honourable Gentleman agree that human rights in Bhutan and throughout the Indo-Nepal corridor are of great concern to neighbouring countries, including those that share borders with Bhutan? One of my constituents who went to visit family not long ago was murdered at the airport and did not even get into the country. I have already written to the Minister about that case and I hope that he will take up that abuse of human rights of one of our passport holders.
Mr. Hanley: I would be grateful if the honourable Gentleman could send me the details of that case, which I do not have with me. I shall certainly look into the matter.
As for talks between Bhutan and Nepal, matters are quite as bad as some might think. The seventh round of inter-ministerial talks took place in Kathmandu in April, and ended with an agreement to continue those talks at Thimphu, although no date was set. I hope that those next talks will help to make progress towards a lasting solution to the problem.
We agree that bilateral negotiations offer the best solution to the problem but we will continue to encourage the honourable Gentleman referred, any such case must be properly investigated independently and the guilty must be brought to justice.
(a) & (c): It is learnt that one of the delegates Shri Baba Ram Tamang, who was suffering from tuberculosis, passed away on 13 June 1996 in the Berhampur Central Jail.
The National Assembly which met in session between 28 June and 19 July discussed several issues. The *ngolop* (anti-national) problem, however, continued to remain the most ‘debate’. The following represents the crisis-related issues as reported in *Kauesel*.
1. **Halt Bilateral Talks**
Many members called for a halt to the bilateral talks with Nepal as the Nepalese government, they claimed, was not serious about the process. The frequent change in position by the Nepalese side every time a new government came to power was an indication of their ulterior motive to resolve the problem and the reason for the lack of progress, members said.
Briefing the Assembly, Foreign Minister David Tsering, leader of the Bhutanese delegation to the bilateral talks in April this year, reported that the Nepalese position had undergone a sea change. The acceptance of the *ngolop* position, which was against all mutually agreed decisions, would imply, he said, that a large number of labourers who had worked in Bhutan and already settled down in their place and emigrated would have to be taken back. He also endorsed the views of other members that “the Nepalese government does not seem to be interested in solving the problem through the bilateral process.” He claimed that Nepal was now engaging in tarnishing the image of Bhutan through its ambassadors and diplomats, who were being approached to put pressure on the Royal Government to accept all the people in the camps.
Bringing the issue to the level of the public representatives, Home Minister Dago Tshering ingeniously suggested that Bhutan should not convert its cabinet’s ‘decisions’ to Nepal since the Nepalese had not conveyed theirs. It is not, of course, a matter of literally disclosing state secrets - the seventh round of negotiations stalled after the Home Minister expressed his inability to react immediately to a Nepalese submission and indicated that a response would be possible only after this “new proposal has been passed by the Bhutanese cabinet”. The minister, however, probably biasing his assumptions on his own level of understanding and interpretation of the negotiations, went on to warn that the current Nepalese attitude was not conducive to progress in finding a solution to the problem of people in the camps.
His Majesty indicated that Bhutan was committed to solving the problem and regretted the backstep in the bilateral negotiations. The eighth round should be held, His Majesty said, because Bhutan had already agreed to hold it in Thimphu. The views of the members would be taken into account during the negotiations, he said, and reports would be submitted to the National Assembly during the 75th session.
2. **Bhutan should not take back people**
While on the one hand government resolve to find a solution purportedly still exists, and to this end was forced to intervene when the same representatives reiterated a demand which has been heard before - the release of those in exile not being allowed to pair with other Bhutanese citizens.
As in past sessions, the Secretary of the Royal Civil Service Commission (RCSC) defended the equal-opportunity policy of the Royal Government. Southern Bhutanese, without discrimination, continued to be recruited, trained and promoted in the armed service, and southern Bhutanese continued to be educated outside the country, he claimed. This policy prevailed, he said, despite the fact that only southern Bhutanese were absconded from the country. Senior government officials expressed their concern and questioned the wisdom of continuing such a policy. Government authorities of relocation and anti-nationals encouraged subservient activities, members stated.
His Majesty commented the Assembly on the decisions of the 72nd and 73rd sessions when it was decided not to discriminate against relatives of ngolops. Bhutan was the only country in the world. His Majesty also informed the Assembly, which employed relatives of anti-nationals in all sectors of the government and treated them equally with other citizens.
The members’ comments on this topic leads one to wonder: If, as the Royal Government likes to claim, “most of the people in the camps are not Bhutanese, and many have no connection whatsoever in Nepal” shouldn’t the whole business of ngolops’ relatives in Bhutan, whether in or out of jobs, really be investigated? How much money involved should be significant?
6. **Ngolops should be punished according to law of land**
The Assembly reminded the cabinet for punishing ngolops according to the law of the land if they returned.
“The criminals who absconded will fall under category 4, namely, Bhutanese who have committed criminal acts,” the Home Minister said, providing details of crimes and terrorist activities allegedly committed by anti-nationals. Rongkong Kuenel, a Tibetan national turned traitor, has violated the laws of the land and must appear before court of law, the Home Minister said, adding that he would be brought back to Bhutan to face the law. The Assembly endorsed the seizure of Kunel’s properties.
7. **Citizenship Act should not be changed**
The public was alarmed by ngolop propaganda aimed at changing the Citizenship Act. The Assembly, some members claimed, and appealed to the government not to alter the 1985 Citizenship Act and the census records. Outsiders’ declaration of citizenship and the National Assembly itself can amend the laws of the country, the Home Minister reminded members. The Speaker confirmed that all citizenship laws and acts could be deliberated upon and passed by the Assembly and it was up to the Bhutanese people and the National Assembly to make amendments if required.
8. **New ID cards only after verification**
The issue of identity cards surfaced again with representations alleging misuse of existing documents by anti-nationals. The Home Minister said that the temporary cards printed in Calcutta were easy to fake, but reminded the Assembly that the issue had been deliberated upon during the 71st and 73rd sessions. In his statement, he commanded that new cards be withheld until the verification of people in the camps is completed.
9. **People seek for resettlement, govt seeks workers**
A number of public representatives reminded the Assembly that the government had promised to settle 10,000 ngolops on agricultural land now lying vacant in southern Bhutan. Government officials joining the debate supported the demand of the members and said that the resettlement of landless and marginal farmers would significantly increase food production, reduce environmental degradation, and improve the overall quality of life. The Home Minister informed that more than 10,000 applications for land had been received and that some areas in the south had been identified. Resettlement would proceed, he said, so soon as security arrangements were made.
Discussions, however, veered toward the country’s huge unemployment and manpower development problems. In addition to 30,000 non-nationals already working in Bhutan, some 50,000 manual workers more would be needed to meet project demands which had only been initiated, His Majesty said. Given this large requirement of labour, even Bhutanese were generally reluctant to working as manual workers. His Majesty suggested that mobilization of these people into the work force instead of re-settlement may be an answer. His Majesty commanded the establishment of a committee to study the settlement and labor mobilization issues.
10. **Stop employing Nepalis**
A total ban on the employment of non-nationals, both in government and private sectors, was proposed by the Assembly. The number of those already employed would be reduced, the speaker proposed. In response, the Home Minister disclosed that in 1987 there were 113,000 non-nationals working in Bhutan. Many had been ‘sent back’ in 1987 and 1988. They were in no complaints of being forcefully evicted, “nor did they call to be Bhutanese refugees until four years later”, he said. Then, the Home Minister, after four years of managing quite well on their own, attracted by the facilities they trooped into the camps in Nepal in 1991/92.
Currently, of the more than 30,000 non-nationals employed in the country, some 10,000 were Nepalese nationals, he revealed. These people were being housed, the Minister claimed, because if retrenched they would head straight for the camps in Nepal and claim to be refugees.
11. **Peace March**
The so-called “peace march”, claimed members, was actually a demonstration by those who reported *Kuenel*, “emerged from the refugee camps in Nepal but was greatly flamed by support among ethnic Nepalese across the Duars.” The declaration of the march was to send an “appeal letter” which in reality was a 37-point demand letter, said the Home Minister.
Both His Majesty and the Home Minister inflectedly accused Assembly that the march would allegedly begin with a few hundred people from the north and swell to thousands in India. The Assembly, needless to say, more than 90 per cent non-Bhutanese, had no intention of leaving Bhutan once they entered the country, it was stated. They had been promised land and jobs, the Home Minister said, the Chhuka Dzongdags claimed.
His Majesty and the members expressed their deep appreciation to the Government of India for the steps taken to provide the members from creating law and order problems and for not allowing anti-Bhutanese activities on Indian soil.
12. **Security concerns**
Assembly members requested the southern dzongkhags requested the government for additional security bases because of the continued terror activities of anti-nationals. General Lam Dorji said the security forces were always at the service of the people, and pointed out that since His Majesty had come to power, the dzongkhags had established a number of security bases in the south in 1990, 15 outposts and 3 military wings had been established. No one, however, questioned why such a large security base had still not been successful in “patrolling” the public from alleged attacks by terrorists and criminals.
13. **Lhutshopa loyalty to Tsawa sum**
National Assembly members from the southern dzongkhags reiterated their full loyalty to the Tsawa sum and asked the government to comment in the *pajra* session on all lhutshopa members and submitted to the 71st session. According to the representatives, the people of southern Bhutan were ready to drop down their lives to protect their villages and security of the country. The members claimed that the people have vowed to keep out at all costs anti-nationals intent on causing harm in the name of a “peace march”.
14. **Allegiance to HM and monarchy**
Pledging their allegiance to the King and commitment to the institution of monarchy, the members described the latter as the foundation of Bhutan’s past and future. They continued to be concerned over the negative impact but expressed their faith and confidence in His Majesty in dealing with this threat to the security of the nation. A southern dzongkhag called the borrows committed by anti-nationals and, along with his colleagues from the south, pledged support to resolve the ngolop problem.
|
REGISTRATION BROCHURE
WPRA REUNION 2022
A Past to Appreciate • A Present to Celebrate • A Future to Generate
2022 ANNUAL CONFERENCE & TRADE SHOW
FEBRUARY 21-24, 2022
Kalahari Resort & Convention Center
Wisconsin Dells
JOIN US ON SOCIAL MEDIA
#WPRAReunion2022
Wisconsin Park and Recreation Association
6737 W. Washington St., Suite 4210, Milwaukee, WI 53214
414-423-1210 • www.wpraweb.org
MESSAGE FROM THE CHAIR
On behalf of the “WPRA REUNION 2022” Conference Committee, we enthusiastically invite you back to Wisconsin Dells for the WPRA 2022 Annual Conference & Trade Show. Our committee’s goal is to offer all attendees access to a first-class educational experience along with the opportunity to re-connect with peers and colleagues at this engaging and fun event!
This year’s education sessions will focus on a wide variety of topics that reflect on the unique challenges we have faced over the past two years, celebrate where we are at now, and inspire the impactful work we do in the future. Our Keynote, General Assembly and Endnote presenters will motivate you to take on the challenges we face today and encourage you to continue to help build strong communities.
Besides the impressive educational sessions and amazing presenters, we are also offering three outstanding pre-conference sessions including “Effective Learning Activities for Teaching Life-Safety Swim Skills”, “Winter Trail Maintenance” and “Creating Innovative Youth Sports Programming Using Non-Traditional Sports”.
It is crazy to think that it will have been over two years since we last gathered as Park and Recreation Professionals. As such, we look forward to offering opportunities to reunite with peers and meet new colleagues at evening socials filled with energy and entertainment! Monday night’s Kick-off Social will be at Tom Foolery’s in the Kalahari, featuring a college reunion theme and a ton of fun games and music. Tuesday night we are heading to The Grateful Shed in downtown Wisconsin Dells for an 80’s glow party, music, games, and evening appetizers. We’ll end with our social at the Kalahari on Wednesday for a Homecoming evening while enjoying music from the band Swifkick, a throwback to the last time we all gathered together in 2019.
The “WPRA REUNION 2022” committee is thrilled to be back in Wisconsin Dells! We hope you all are equally as excited as we are to get together and re-connect, reunite, and recharge at the WPRA REUNION 2022 Conference!
# Table of Contents
| Section | Page |
|----------------------------------------------|------|
| President’s Message | 2 |
| Conference Chair Message | 2 |
| General Information | 5 |
| Hotel Information | 5 |
| Prepare for the WPRA Reunion | 6 |
| Trade Show Information | 7 |
| Student & Young Professional Information | 7 |
| Keynote Speakers | 8 |
| Kalahari Resort Map | 9 |
| Schedule at a Glance | 10-11|
| Schedule of Events | 12-23|
| Notes | 24 |
| Conference Sponsors | 25 |
| Membership Information | 26 |
| Registration | 27 |
# Meet Your 2022 Annual Conference Committee
**Chair**
Erin Cross
**Executive Sessions**
Jessica Loomans
**Local Arrangements**
Chad Shelton
**Keynote Speakers**
Kiley Schulte
**Tradeshow Coordinators**
Megan James
Troy Schoblaske
Danyelle Pierquet, ISG
**Publicity/Marketing**
Brooke Franseen
**Networking Events**
Andrea Fullerton
Abby Schultz
---
## Thank You to Our Sponsors!
### Platinum Sponsor
Burke®
Play That Moves You®
### Bronze Sponsors
- Gerber Leisure Products, Inc.
- League of Wisconsin Municipalities Mutual Insurance
- Lee Recreation, LLC
- Northland Recreation
- Parkitecture + Planning
STEP ASIDE NORMAL, THERE’S A NEW WAY TO SWING!
Swinging on the Brava™ Universal Swing is a whole new experience for all children. Seamless transfer, motion options and room for multiple users means independence, socialization and a play experience like no other.
Isn’t it time to Join Our Movement?
Burke
PLAY THAT MOVES YOU.
bclburke.com
LEE RECREATION LLC
PATENT PENDING | Trademark(s) are the property of BCI Burke Company © BCI Burke Company 2021. All Rights Reserved.
The WPRA 2022 Annual Conference & Trade Show will be held at the Kalahari Resort in Wisconsin Dells.
**What to Bring**
- Casual business attire for educational sessions
- Casual attire for social events
- College Apparel - Monday
- 80’s Theme Clothes - Tuesday
- Homecoming Dance Clothes - Wednesday
- Brochures, business cards and program information to share in the resource area
**Check-In & Information Headquarters**
The check-in and general information headquarters for all conference activities is Registration Booth 3, located in the Kalahari Resort & Convention Center in Wisconsin Dells.
**Hours of Registration**
| Day | Time |
|-----------|---------------|
| Monday | 10:00 am – 7:00 pm |
| Tuesday | 7:00 am – 5:30 pm |
| Wednesday | 7:30 am – 2:00 pm |
| Thursday | 8:00 am – 10:00 am |
**Name Badges**
All attendees will receive a name badge when checking in for the conference. Badges are required for admittance to education sessions, exhibit halls, meals, functions, special events and socials. Name badges will contain all your meal tickets and special event admission tickets.
**Continuing Education Units (CEUs)**
Continuing Education Units (CEUs) are available at no cost to attendees for all educational sessions. Attendance will be tracked at each session. You must have your name badge scanned and sign in on the CEU form at each session to obtain CEUs.
Up to 1.5 CEUs are available (including Pre-Conference sessions). Educational sessions are subject to change and additional CEUs may be added to the final program schedule, or sessions may be dropped. All educational sessions are .1 CEU unless otherwise indicated.
**Cancellation and Refund Policy**
Cancellations received in writing by January 21st, 2022 will receive a refund minus a 25% administrative fee. No refunds will be issued after January 21st, 2022. There is a $35 service charge on ALL returned checks.
**Hotel Information**
Kalahari Resort & Convention Center
1305 Kalahari Drive
Wisconsin Dells, WI 53965
877–253–5466
$117 (plus tax) – Single, Double, Triple, Quads – Includes passes to the Indoor Waterpark.
Reservations must be made by calling 877–253–5466. Be sure to mention Wisconsin Park & Recreation Association when making your reservation to receive our special group rate or reserve your room online at wpraweb.org.
For attendees interested in larger rooms, upgrades or suites, additional room styles may be available at discounting pricing. Please inquire with the resort after asking for the WPRA group rate.
A sleeping room block does not guarantee sleeping rooms will be next to each other. Deposit policy for individual reservations: One night (plus tax) at the time the reservation is made. Cancellation policy for individual reservations: 72 hours, or more, prior to arrival to receive full refund less $25 processing fee. Less than 72 hours prior to scheduled arrival forfeits entire deposit.
Reservation Deadline is January 20, 2022.
*All sessions and information provided in this conference registration booklet are tentative and subject to change.*
Attending conferences is beneficial to you and your community. You can get the most out of your conference experience by having a plan before you arrive. Below are some techniques to get the most out of your conference investment.
1. **Arrive Ready to Network** – Interacting with others, especially people you don’t know, requires stepping outside of your comfort zone, but it’s worth it. The contacts, learning, and interaction will boost your confidence and create great connections that you will find helpful in the future. Be prepared to start conversations with strangers or ease into group discussions where you have information or ideas to contribute.
2. **Be Prepared** – Plan Ahead. Use your conference time wisely. Decide in advance what sessions you want to attend so that you can focus on other things once you get to the conference.
3. **Consider Your Learning Objectives** – Why do you want to attend? What do you hope to learn at the event? Who do you need to connect with? What industry trends do you want to know more about?
4. **Attend and Leave Your Work at Work** – It is very common to see conference delegates checking emails, making phone calls and even participating in conference calls during breaks while at an event. Let people know you will be away, and set up your voicemail and email auto responder to notify people that you are not available. Do whatever you can to keep your work obligations from stealing your attention from your educational investment.
5. **Trade Show Time is Valuable** – The exhibit hall is a key part of every conference. The exhibitors can show you new technologies and products that can dramatically enhance your work performance. Use your time at the Trade Show wisely and plan to visit every booth…in addition to meeting new people and learning lots of new things, you could win some great prizes! Remember to thank our exhibitors for attending… their support makes a huge difference to our Annual Conference.
6. **Follow Up** – Collect business cards from colleagues and commercial partners and write personal notes on the back to help remind you of your discussion. Stay in touch through social media. Send a quick email reminding people of your conversation at the conference.
7. **Share What You Learn with Your Colleagues** – It will reinforce your own learning, strengthen your team, and make it easier to negotiate attending the event next year. Ask to present the best ideas captured at your next staff meeting.
**Save the Dates for Upcoming Annual Conference & Trade Shows**
- January 31 - February 3, 2023 - Wisconsin Dells
- January 30 - February 2, 2024 - La Crosse
- February 4 - 7, 2025 - Wisconsin Dells
- February 3 - 6, 2026 - Wisconsin Dells
- February 2 - 5, 2027 - Wisconsin Dells
TRADE SHOW INFORMATION
The Trade Show features over 100 commercial and educational exhibitors, presenting the latest products, innovations, and services to the park, recreation, and aquatic fields. There will be no educational sessions, special events or other activities scheduled at this time. The Trade Show hours are 100% dedicated to our commercial vendors and our delegates.
1:30 – 5:30 pm……………… Trade Show
4:00 – 5:30 pm……………… Snacks & Beverages
Don’t Forget to pick up your 3-day Conference Favor in Booth #300 (Available ONLY on Tuesday at the Trade Show)!
All registered delegates entering the Exhibit Hall must have a conference name badge. Everyone is invited to attend the WPRA Trade Show FREE of charge. If you are inviting additional staff, board and commission members or others to only attend the Trade Show, be sure to obtain special name badges to allow them to attend from the WPRA Registration Booth or at www.wpraweb.org. Many booths will hold promotional drawings…don’t forget your business cards!
To fit in with our Reunion theme, attendees will have a section in their Trade Show Brochure, “Yearbook”, to have participating vendors sign or stamp. Once they complete the form they will be entered into the drawing.
Resource Area
During the Trade Show you will have the opportunity to share your great ideas and learn what everyone else is doing. There are a lot of great pieces on information that you can share and gather from other professionals. Please bring your agency printed material such as: Program Guides, Job Descriptions, Employment Evaluations, Sponsorship Brochures, Program Evaluations, Volunteer Manuals, Program Booklets, etc. and display at the Agency Showcase outside the Exhibit Hall. Please bring, so you can take!
STUDENT & YOUNG PROFESSIONAL ATTENDEE INFORMATION
The Annual Conference provides new experiences and opportunities for students and young professionals to create connections with professionals, work on resume and interview skills, and possibly find a mentor to assist with navigating your career path and professional development.
Young Professional Educational Sessions
Young Professional sessions are planned for the conference, and many of the regular sessions will be of interest to students and young professionals.
Resume & Cover Letter Review
The WPRA Young Professional Section has worked with this year’s conference committee to offer students the chance to have their resume and cover letter reviewed by a professional. Your professors have given you great feedback as you begin to build your resume and cover letter for applying for your internship and first job, but this is the chance to be given feedback from professionals that are hiring in the field that will help set you apart from your peers. Please bring a hard copy of your resume to YPS Booth #801 at the Trade Show to take advantage of this opportunity. It is also recommended you bring an electronic copy of your resume if you wish to be able to share your updated resume at the conference.
Mentor/Mentee Lunch
The Young Professional Section will be holding a Mentor/Mentee lunch on Wednesday during the Annual Conference. All interested mentees will be assigned a mentor. Make sure to register for this special lunch.
Students and professionals should not miss participating in these methods to meet and connect at the conference. For students and young professionals, it’s an opportunity to advance your career. Professionals, this is your opportunity to meet the students and get an intern who is involved in the Association.
2022 KEYNOTE SESSION SPEAKERS
OPENING SPEAKER
TREVOR RAGAN
Opening Speaker
Trevor Ragan is the founder of The Learner Lab – an educational website designed to unpack and share the science of learning and development. He has worked with professional, college, and Olympic sports teams, Fortune 50 companies, prisons, and in hundreds of schools across the country. These workshops are designed to help people understand and apply important principles of development, to become better, more resilient learners. Trevor will dig into the research and clear up a few misconceptions around growth mindset.
GENERAL ASSEMBLY SPEAKER
KEN NWADIKE, JR.
General Assembly Speaker
Ken Nwadike, Jr. is a peace activist, motivational speaker, and video journalist known as the Free Hugs Guy online. Nwadike Jr. is the founder of the Free Hugs Project, which produces motivational videos to spread love, inspire change, and raise awareness of social issues.
Ken launched the Free Hugs Project in 2014 to spread love in response to the bombing of the Boston Marathon. The Free Hugs Project gained popularity in 2016, as Nwadike made major news headlines for his peace-keeping efforts and de-escalating violence during protests, riots, and political rallies. Nwadike has made many appearances on news programs and radio broadcasts worldwide, including CNN, USA Today, Good Morning Britain, and BBC News.
ENDNOTE SPEAKER
NICOLE PHILLIPS
Endnote Speaker
Nicole Phillips has been favored by Oprah and won a car on The Price is Right! But her favorite joy comes from spreading the message of the transformative power of kindness. She hosts NPR’s The Kindness Podcast, has written four books and The Forum’s Kindness is Contagious column, and enjoys speaking at conferences, events, and hosting professional development workshops all over the country. Nicole has her Broadcast Journalism degree from the University of Wisconsin and has worked as a television anchor and reporter in Milwaukee, Wisconsin, Madison, Wisconsin, and Fargo, North Dakota.
MAP OF KALAHARI RESORT & CONVENTION CENTER
SAVE THE DATE
WPRA 2023 ANNUAL CONFERENCE & TRADE SHOW
JANUARY 31- FEBRUARY 3, 2023 - WISCONSIN DELLS
## SCHEDULE AT A GLANCE
### MONDAY, FEBRUARY 21 - PRE-CONFERENCE
| Time | Aquatics Pre-Conference: Effective Learning Activities for Teaching Life-Safety Swim Skills Jill White | Parks Pre-Conference: Winter Trail Maintenance Panel of Staff & Volunteer Groomers | Recreation Pre-Conference: Creating Innovative Youth Sports Programming Using Non-Traditional Sports Dan Zereth, Tony Albertina, & Brandon Culpepper |
|---------------|----------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------|-----------------------------------------------------------------------------------------------------------------------------|
| 1:00 - 4:00 pm| | | |
| 5:00 - 7:00 pm| | Leadership Orientation | |
| 7:30 pm - 12:00 am| | College Reunion Social - Tom Foolery's | |
### TUESDAY, FEBRUARY 22
| Time | Aquatics | Aquatics | Executive | Executive | Parks | Parks | Recreation | Recreation | Young Professional |
|---------------|----------|----------|-----------|-----------|-------|-------|------------|------------|-------------------|
| 8:30 am - 9:30 am | Opening: Becoming Better Learners - Growth Mindset - Trevor Ragan | | | | | | | | |
| 9:45 am - 10:45 am | Pandora’s Box: What Lifeguards and Lay Responders Have Taught Us Paul Smidelen | VGBA Compliance Update Cyndi Robertson & Mary Ellen Breusch | Becoming Better Learners - Overcoming Fear Trevor Ragan | Innovative Strategies Activating Parks for Community Well-Being Natalie Bomstad | Advancing Better Parks by Advancing Tree Care: Tree Selection & Growing Trees Richard Hauser | Outfield Lighting Technology in Parks Greg Smith | Introducing Non-Traditional Sports to Promote Inclusion Among All Ages, Races, & Genders Brandon Culpepper & Monica Tevs | Finding, Training, and Recruiting Officials Tony Albertina, CPBP | Outdoor Fitness Courses: Fitness and Fun Sarah Lisiecki |
| 11:00 am - 12:00 pm | Mythbusters: Fighting Misinformation in the Aquatics Industry Matthew Freely | Pool Testing Kits Cyndi Robertson & Mary Ellen Breusch | Becoming Better Learners - Framing and Taking Action Trevor Ragan | Trends in Play Design Sarah Lisiecki | Encouraging Equity & Connecting Cultures: A Process for Developing Effective Waysiders & Wayfinding Regine Kennedy & Chris Evans | Park Impact Fees | E-Sports in Recreation Erich Bao | Pickleball League and Tournament Director Guide Shane Wampler | Using Mindfulness to Find Balance over Burnout Katie Garrett |
| 12:00 - 1:15 pm | Lunch & WPRA Annual Meeting | | | | | | | | |
| 1:30 pm - 5:30 pm | Trade Show | | | | | | | | |
| 7:00 pm - 11:30 pm | Totally 80’s Social - The Grateful Shed | | | | | | | | |
### WEDNESDAY, FEBRUARY 23
| Time | Aquatics | Aquatics | Executive | Executive | Parks | Parks | Recreation | Recreation | Young Professional |
|---------------|----------|----------|-----------|-----------|-------|-------|------------|------------|-------------------|
| 8:30 am – 9:30 am | General Assembly: Restoring Civility in the Workplace - Ken Nwadike | | | | | | | | |
| 9:45 am - 10:45 am | Emergency Response Leader: Keys to Successful Incident Command Natalie Livingston | Think Outside the Tank Matthew Freely | Healthy Community Design Approaches for Park & Recreation Professionals Mark Fenton | Leadership: Become the Leader That They are Searching For Ken Nwadike | Full Circle Urban Forestry - Urban Wood Use Dwayne Spehner | Effective Communication with Elected Officials About Parks & Forestry Maureen Cramble | Best Practices for Childcare/Young Star Bonnie Winikofsky | USTA Youth Programming and You Adrienne Lacy, Judy Veleff, & Erik Seifert | Parks & Recreation “Roll” in Creating Bike Friendly Communities Michelle Bachaus |
| 11:00 am - 12:00 pm | Universal Splash Pad Design Melinda Pearson | New & Trending Technology Matt Carrico | Building Community Engagement with a Walk Audit Mark Fenton | Perseverance: You Define Your Finish Line Ken Nwadike | Park Design Award Presentations | Planning Parks for the Future Blake Thiesen | Connections Needed to Improve Older Adult Services Lori Oertel & Catherine Kiener | What are Dementia Friendly Communities? Audrey Warrington | Creating a Cohesive and Connected Team…No Glue Required Jed & Roz Buck |
### SCHEDULE AT A GLANCE (continued)
#### Wednesday, February 23 Continued
| Time | Aquatics | Aquatics | Executive | Executive | Parks | Parks | Recreation | Recreation | Young Professional |
|---------------|-----------------------------------------------|-----------------------------------------------|------------------------------------------------|------------------------------------------------|-----------------------------------------------|-----------------------------------------------|-----------------------------------------------|-----------------------------------------------|---------------------------------------------|
| 12:00 pm - 1:15 pm | Lunch | | | | | | | | Mentor/Mentee Lunch |
| 1:15 pm - 2:15 pm | Surveillance in a Saddle World: Teaching, Coaching, and Auditing for Maximum Impact Natalie Livingston | Spring Start-Up & Water Balancing Cyndi Robertson | Perspectives from the Park Randy Crane | A Holistic Approach to Facilities Operating Cost Reduction Farhan Khatri | Public Art in Parks – Civic Engagement Creative Placemaking & Placekeeping, & Community Investment Anne Katz | Inclusive Play Matters: Creating Destinations that Thoughtfully Align with Developmental Needs of the Whole Child Ron Blake | Solving Pickleball Problems Shane Wampler | Sign This and Don’t Sue Me! Brian Bean, J.D. & Paul Lessila | WPRA: Be the Change You Wish to See - Get Involved! WPRA Panel |
| 2:30 pm - 3:30 pm | 12 Ways to Re-think In-Service Natalie Livingston | How Play and Curiosity Connect Melinda Pearson | Soundbites for Success Judy Rupnow | Navigating a Design Contract: The Steps Before “Sign Here!” Lynda Hink | Ecological Restoration: Planning for Success Carl Korfmarkner & David Hoffman | Outdoor Ice Rinks - Compare and Contrast Systems Jake Anderson | The Many Faces of Diversity Tracey Crawford & Oralethea Davenport | Getting the Most Out of Department Data: A Research Treasure Trove Dr. Lynn Jamieson | Grow More Leaders Jed & Roz Buck |
| 3:45 pm - 4:45 pm | The Art of Staff Training Kate Connell | Free Aquatic Play in a Controlled World Melinda Pearson | Once Upon YOUR Time Randy Crane | Trends and Issues from Wisconsin’s Capitol Hill Caty McDermott | Building a Culture of Empathy to Assist People Who are Homeless in our Parks Holly Pappel & Kim Propp | Technology Trends in Parks Raine Gardner & Laura Gilbert | Customer Service in Parks and Recreation Annie Olson & Iris Pahlerg Peterson | Managing Violence in Sports: Excellence in Governance Dr. Lynn Jamieson | Congrats, You’re a Full-Time Supervisor! Danielle Wilson & Elisa Fischer |
5:00 pm - 6:30 pm | WPRA Foundation Basket Raffle & Social Hour
6:30 pm - 8:30 pm | Awards Banquet
8:30 pm – 12:00 am | Hometown Homecoming Social
#### Thursday, February 24
| Time | Aquatics | Aquatics | Executive | Executive | Parks | Parks | Recreation | Recreation | Young Professional |
|---------------|-----------------------------------------------|-----------------------------------------------|------------------------------------------------|------------------------------------------------|-----------------------------------------------|-----------------------------------------------|-----------------------------------------------|-----------------------------------------------|---------------------------------------------|
| TBD | | | | | | | | | |
| Morning Activity | | | | | | | | | |
| 8:30 am - 9:30 am | Equitable Aquatics: The 3 P’s of Inclusive Aquatics Kate Connell | Outdoor Recreation's Economic Impacts in Wisconsin Mary Monroe Brown | Knowing Your Retirement Sara Karwiek & Kayla Kanas | Municipal Separate Storm Sewer System (MS4 Permit) Overview and Park Implications Andrew Marainci & Anna Baitch | Increase Efficiency Managing Your Park Amenities Dan Schmitt & Scott Kiley | Trend Seekers Danielle Wilson | Inclusive Recreation Programs Part 1 Kathleen Happel | Protect Your Business from Toxic Staff Jed & Roz Buck |
| 9:45 am - 10:45 am | Public Pools & Water Attractions: Updates from DATAACP Mary Ellen Bruesch | Stopping the Doomsday: Public Construction Lynda Fink & Travis Brush | Wisconsin Tourism - Are you Connected to this $20 Billion Industry? Drew Nussbaum | From Dumps to Destinations: Converting Landfills to Parks Ben Peetor & Bill Honea | Outdoor Recreation Grants for Local Government & Partners Cheryl Buckley, Pam Roed, & Roberta Winehar | Engaging Silent Voices Danielle Wilson | Inclusive Recreation Programs Part 2 Kathleen Happel | Train Your Staff to Gratitude Using Impactful Teachable Moments Jed & Roz Buck |
| 11:00 am – 12:00 pm | Endnote: The Negativity Remedy: Unlocking More Joy, Less Stress, and Better Relationships Through Kindness - Nicole Phillips |
### MONDAY, FEBRUARY 21, 2022
**10:00 am – 7:00 pm**
Registration
*Registration Booth 3*
#### AQUATICS
**1:00 pm – 4:00 pm**
Aquatics Pre-Conference Session: Effective Learning Activities for Teaching Life-Safety Swim Skills
*Additional Registration Fee $40*
Jill White
To reduce drowning risk there are foundational “life-safety” aquatic skills that should be mastered by everyone before learning strokes. This session explores the evidence-based rationale for this approach to teaching swimming and presents practical learning activities swim instructors can incorporate into any swim lesson program.
*Guava*
#### PARKS
**1:00 pm – 4:00 pm**
Park Pre-Conference Session: Winter Trail Maintenance
*Additional Registration Fee $20*
Panel of Staff & Volunteer Groomers
In a good snow year, Wisconsin’s winter wonderland provides ample outdoor recreation activities. Learn from communities who groom trails for snowshoeing and cross-country skiing. Discuss what you should expect for staff time commitment and budget. Trail grooming equipment will be on-site for field demos. Discuss the pros and cons of these groomers in the field.
*Mirror Lake State Park*
#### RECREATION
**1:00 pm – 4:00 pm**
Recreation Pre-Conference Session: Creating Innovative Youth Sports Programming Using Non-Traditional Sports
*Additional Registration Fee $40*
Dan Zeroth, Tony Albertina, & Brandon Culpepper
Rugby and Lacrosse have rich histories in the USA but are only just now on the verge of stepping out of some of the larger sport shadows in this country. In part 1, Tony Albertina, Recreation Supervisor from Decatur Park District will share his methodology for creating and building amazing lacrosse programming for departments of any size. In part 2, Dan Zeroth, Recreation Supervisor from Menomonee Falls CE&Rec, will overview the sport of flag rugby, and how he used his recreation experience to create a program that epitomizes everything that is great about recreational sports. In part 3, Brandon Culpepper, founder and president of PeppNation, ties both sports together and will detail how he uses non-traditional sports as tools to teach leadership, to connect student athletes with scholarship and advancement opportunities, and to provide recreation to hundreds of Milwaukee youth each summer.
*Tamarind*
**5:00 pm – 7:00 pm**
Leadership Orientation
If you are a current or incoming leader in one of WPRA’s volunteer positions, or if you have ever wondered what it would take to get involved with Committee or Section activities, attend this session conducted by Jennifer Rzepka, CAE, Executive Director of the WPRA for an overview of WPRA’s structure. She will walk attendees through the Association’s governing documents, including the Operations Handbook, and answer questions about the roles and responsibilities of all volunteer roles.
*Portia*
**7:30 pm**
College Reunion Social
Kick off the Wisconsin Park & Recreation Association 2022 Annual Conference at Tom Foolery’s the adventure park inside the Kalahari Resort. The theme for the social is College Days, so show your pride by wearing your college’s apparel!
*Sponsor: BCI Burke*
*Tom Foolery’s*
### TUESDAY, FEBRUARY 22, 2022
**7:00 am – 5:30 pm**
Registration
*Registration Booth 3*
#### KEYNOTE SESSION
**8:30 am – 9:30 am**
Becoming Better Learners - Growth Mindset
*Trevor Ragan*
Our mindsets and attitudes towards learning have more of an impact on our growth than we realize. Developing a growth mindset can help fuel our learning actions, while our fixed mindset can impede these actions. Trevor will dig into the research and clear up a few misconceptions around growth mindset.
Game plan:
- Review of Carol Dweck’s Growth Mindset research
- How our mindsets impact learning
- How to build an authentic growth mindset
- Growth mindset leadership
*Kalahari Ballroom C/D/E/F*
#### EDUCATION SESSIONS SET 1
#### AQUATICS
**9:45 am – 10:45 am**
Pandora’s Box: What Lifeguards and Lay Responders Have Taught Us
*Paul Snobelen*
This presentation will focus on what started out as an investigation into chronically low bystander CPR and AED use that quickly turned into opening Pandora’s Box. During the first informal conversations with those who acted to save a life, lifeguards and lay responders communicated some form of mental trauma effects in their daily lives,
including a wide range of acute physical and/or psychological reactions to the event. For some individuals, acute stress reactions caused enough distress to interfere with everyday activities. These findings resulted in the application of Psychological First Aid principles and the development of the Lay Responder Support Model. This model now provides feedback to professionals/scholars in health sciences, aquatics, mental health, and first aid education. This presentation will explore our journey of learning, and realities as we opened Pandora’s Box following up with sudden cardiac arrests.
**Guava**
### AQUATICS
9:45 am – 10:45 am
**VGBA Compliance Update**
*Cyndi Robertson & Mary Ellen Breusch*
Learn about the specific documentation requirements under the VGBA and continued compliance requirements for drain covers and devices that your inspector will verify during your pool inspections.
**Tamarind**
### EXECUTIVE
9:45 am – 10:45 am
**Becoming Better Learners - Overcoming Fear**
*Trevor Ragan*
In order to become a better learner, we need to understand how to overcome fear. Our traditional approach to dealing with fear, and other tough emotions, is to suppress or deny. Trevor will present the research that outlines a more effective approach.
Game plan:
- Where fear comes from and why we feel it
- How fear impacts learning, performance, and decision making
- How changing the way we think about fear can help us overcome it
**Aloeswood**
### EXECUTIVE
9:45 am – 10:45 am
**Innovative Strategies Activating Parks for Community Well-Being**
*Natalie Bornstad*
This session will dive into utilizing community development and well-being data along with a win-win approach to foster public-private partnerships in support of park and recreation departmental goals. The session will use specific examples and provide strategies to ensure the relevancy of local park systems while addressing community-level and resident health and well-being.
**Tamboti**
### PARKS
9:45 am – 10:45 am
**Advancing Better Parks by Advancing Tree Care: Tree Selection & Growing Trees**
*Richard Hauer*
So you want better parks, who doesn’t. This presentation will provide a value-based treatment on modern ways to advance public parks through better tree care. Really, tour the world and historic parks and you will find and see that trees make the park. Sure, facilities are important, but trees really define and provide the place-making for people. Learn new advancements in tree selection, installation, and maintenance to grow your parks into the next century.
**Marula**
### PARKS
9:45 am – 10:45 am
**Outfield Lighting Technology in Parks**
*Greg Smidt*
Join us for an overview of what's ahead in sports lighting. We will cover the transition process from metal halide to LED and progression of LED technology and glare control, as well as fan/player enhancements like controls and monitoring and streaming capabilities.
**Aralia**
### RECREATION
9:45 am – 10:45 am
**Introducing Non-Traditional Sports to promote inclusion among all ages, races, & genders**
*Brandon Culpepper & Monica Tews*
During this session we will discuss the opportunities non-traditional sports present for youth and young adults of all ages, genders and races.
**Wisteria**
### RECREATION
9:45 am – 10:45 am
**Finding, Training, and Recruiting Officials**
*Tony Albertina, CPRP*
Officials are an integral part of any sports program from youth to adult. Most recreation professionals that are involved in athletics in their job will have some involvement with officials through using an official’s assignor. Others may take a more involved approach to officials including recruiting, hiring, training, evaluating, and handling payroll for officials. Many new professionals are often scrambling to find ways to find officials to work their leagues. To make things worse on recreation professionals there is a nationwide shortage of officials. In this presentation, we look at ways to grow the number of officials in your contact list, introduce new ways to train officials, and strategies to retain officials that work for your agency.
**Portia**
### YOUNG PROFESSIONAL
9:45 am – 10:45 am
**Outdoor Fitness Courses: Fitness and Fun**
*Sarah Lisiecki*
Obesity rates in the U.S. have reached epic numbers and correlate to significant health and economic impacts. Outdoor obstacle courses in public green spaces can provide appealing, effective, and free training equipment to the community to help increase physical activity. Review the theories of obstacle course training and guidelines for their design and installation.
**Mangrove**
### EDUCATION SESSIONS SET 2
#### AQUATICS
11:00 am – 12:00 pm
**MythBusters: Fighting Misinformation in the Aquatics Industry**
*Matthew Freeby*
Learn how to spot misinformation in the aquatics industry.
**Guava**
### AQUATICS
**11:00 am – 12:00 pm**
**Pool Testing Kits**
*Cyndi Robertson & Mary Ellen Breusch*
Learn what is new in the world of Pool Water Testing. There are many different ways you can test your pool - Are you getting the results you need?
*Tamarind*
---
### EXECUTIVE
**11:00 am – 12:00 pm**
**Becoming Better Learners - Framing and Taking Action**
*Trevor Ragan*
By building a growth mindset and understanding how to overcome fear, we’ve established powerful tools for better learning, but nothing changes unless we take action. Learning is a skill. Anytime we do it, we get a little better at it. This also impacts those around us more than we realize.
*Aloeswood*
---
### PARKS
**11:00 am – 12:00 pm**
**Encouraging Equity & Connecting Cultures: A Process for Developing Effective Waysides and Wayfinding**
*Regine Kennedy & Chris Evans*
At Garman Nature Preserve in Jefferson County, County personnel and a consultant team collaborated with the Ho-Chunk Nation and an Indigenous artist to interpret Native American mounds culture. The project also interprets the natural history of the site, including the restoration of an oak savanna and the geologic forces that created this distinctive landscape. Using Garman Nature Preserve as a case study, the presenters will share how they built equity into the process, describe the best practices they employed for interpretation and wayfinding, and explain how sensory experiences support accessibility and create exceptional visitor experiences. This lecture-style presentation will encourage attendee participation and provide time for Q&A. The presenters will introduce park and recreation professionals to a process for developing interpretive waysides and wayfinding at their sites or throughout their park systems.
*Marula*
---
### RECREATION
**11:00 am – 12:00 pm**
**E-Sports in Recreation**
*Erich Bao*
Come discover what esports are and why it is quickly becoming a staple of recreation. In addition, hear more about what it would take for you to get involved with esports and how easy it can be.
*Wisteria*
---
### RECREATION
**11:00 am – 12:00 pm**
**Pickleball League and Tournament Director Guide**
*Shane Wampler*
Pickleball has become one of the fastest growing sports in the country and many Parks and Recreation Departments have implemented Pickleball programs in their cities. However, recreation professionals may lack the knowledge and understanding of the game to fully grow and expand their Pickleball program offerings. This workshop will provide strategies for managing Pickleball tournaments, including the pros and cons of sanctioning, as well as provide strategies for implementing multiple Pickleball league formats.
*Portia*
---
### YOUNG PROFESSIONAL
**11:00 am – 12:00 pm**
**Using Mindfulness to Find Balance over Burnout**
*Katie Garrett*
The World Health Organization has officially designated Burnout an occupational phenomenon. Burnout is on the rise especially for new professionals and students looking to start their careers. Many young professionals have the constant goal of moving their career forward and the stress of striving and overwork can build to unhealthy levels if not properly understood and dealt with. Mindfulness can be a superpower helping us relate to stress better. By investigating what is causing the stress and ways to shift perspective to what is truly important, we can find more balance in our lives. Join your fellow park and recreation professionals for a roundtable conversation on burnout and mindfulness. Leave with concrete tools and methods to help you deal with stress better.
*Mangrove*
---
**12:00 pm – 1:15 pm**
**Lunch & WPRA Annual Meeting**
*Kalahari Ballroom C/D/E/F*
---
**1:30 pm – 5:30 pm**
**Trade Show**
*Kilimanjaro Ballroom*
Tradeshow Hall Reception Sponsor: Mt. Olympus
---
**7:00 pm – 11:30 pm**
**Totally 80’s Social**
80’s Night! Come dressed in 80’s themed for a night at The Grateful Shed featuring the band CherryPie. There will be shuttles to and from the Grateful Shed. The shuttles will start departing at 6:45pm from the Kalahari Lobby. The last shuttle will leave the Grateful Shed at 11:30pm.
*Sponsor: Musco Sports Lighting*
*The Grateful Shed*, 1470 Wisconsin Dells Pkwy, Wisconsin Dells, WI 53965
*We Make It Happen*
**GENERAL ASSEMBLY SESSION**
8:30 am – 9:30 am
Restoring Civility in the Workplace
Ken Nwadike
Creating safe and inclusive work environments begins with how civil we are towards our fellow men and women. As a business keynote speaker, Ken shares stories of de-escalating intense confrontations on the front-lines of riots and protests. He describes ways that peacekeeping principles can be used proactively in the workplace and community to prevent heightened situations from occurring.
*Kalahari B/G*
**EDUCATION SESSIONS SET 3**
**AQUATICS**
9:45 am – 10:45 am
Emergency Response Leader: Keys to Successful Incident Command
Natalie Livingston
As Aquatics and Operations Professionals, we learn basic emergency care, but are left to “figure out” the best practices of how to manage an emergency scene and how to fulfill the role of Incident Commander successfully. Join us for this session as we explore the A to I Framework to build confidence and strategy for how to handle emergencies as an effective leader.
*Guava*
**AQUATICS**
9:45 am – 10:45 am
Think Outside the Tank
Matthew Freeby
We will identify challenges and opportunities to increase awareness and revenue of an aquatic facility.
*Tamarind*
**EXECUTIVE**
9:45 am – 10:45 am
Navigating a Design Contract: The Steps Before “Sign Here”!
Lynda Fink
Are you intimidated by contract language? Are you restless at night worrying over phrases like “if authorized”, “we may need an amendment”, and “that’s not in our scope”? This session can help. We’ll review the basic contract types, with the pros and cons of each. This session will highlight techniques for negotiation and outline the “must haves” in your deliverables section of your contract. We’ll even get into the exciting “terms and conditions” and the reality of the attorney’s cage-matching to win.
*Tamboti*
**EXECUTIVE**
9:45 am – 10:45 am
Leadership: Become the Leader That They are Searching For
Ken Nwadike
This program is perfect for: inspiring leadership in the workplace, on campus, and within organizations. The audience will leave with: inspiration and new ideas on how to identify needs, courage to take on new challenges, better problem-solving skills.
*Aloeswood*
**PARKS**
9:45 am – 10:45 am
Full Circle Urban Forestry - Urban Wood Use
Dwayne Sperber
Urban trees have their highest value while living. However, trees removed for reasons other than harvest should be utilized to their highest and best use to maximize economic, environmental, and societal benefits for urban communities, their residents and their visitors. Changing attitudes and practices to maximize utilization of urban forest products will develop a supply of raw material that can feed.
*Marula*
**PARKS**
9:45 am – 10:45 am
Effective Communication With Elected Officials About Parks and Forestry
Maureen Crombie
Talking to an elected official may seem intimidating at first, but it is important to remember that it is an important part of your job and a normal part of theirs. Park capital improvement projects tend to require a lot of support from the general public and elected officials to be funded and embraced by the community. Urban forestry may seem very positive on the surface, but City Foresters know that it can be very controversial - from tree removal to tree planting and everything in between. Learn tips on how you can increase your effectiveness in communicating with your Community's elected officials about park and forestry projects.
*Aralia*
**RECREATION**
9:45 am – 10:45 am
Best Practices for Childcare/YoungStar
Bonnie Winkofsky
Participants will review the descriptions, rationale and examples of the school age curricular framework nine content areas, discuss highlights of the School Age Evaluation criteria and look at requirements for STOP (short-term operational programs) through YoungStar policy.
*Wisteria*
**RECREATION**
9:45 am – 10:45 am
USTA Youth Programming and You
Adrienne Lacy, Judy Veloff, & Erik Seifert
We will discuss youth tennis programming options, grant opportunities, and how to play anywhere.
*Portia*
**YOUNG PROFESSIONAL**
9:45 am – 10:45 am
Parks & Recreation “Roll” in Creating Bike Friendly Communities
Michelle Bachaus
Learn how you can create bike friendly spaces and help people feel comfortable and confident riding a bike. We will share how you can inspire bike friendliness in your community. Upon completion of this session, you will have proven techniques and resources to help you bring bikes out of garages and see more smiling faces sharing the roads.
*Mangrove*
**EDUCATION SESSIONS SET 4**
**AQUATICS**
11:00 am – 12:00 pm
Universal Splash Pad Design
Melinda Pearson
In today’s world we strive to avoid segregation and provide inclusive spaces. The 7 principles of universal design, developed in 1979 by a professional group of designers, researchers, and engineers, are still applicable today and have become world renowned in the design of any public space. We can apply these principles in aquatic environments to create rewarding experiences featuring flexible, intuitive and approachable play for people of all ages and abilities.
*Guava*
**AQUATICS**
11:00 am – 12:00 pm
New & Trending Technology
Matt Carrico
Carrico Aquatic Resources will highlight some of the latest technology trends in mechanical room operations. Updating the filter room can be challenging and choosing the right equipment for your facility makes all of the difference. This session will discuss what you’ll need to know to make educated decisions on selecting the right equipment and technologies to improve operations.
*Tamarind*
**EXECUTIVE**
11:00 am – 12:00 pm
Building Community Engagement with a Walk Audit
Mark Fenton
A walk audit is a facilitated group walk of an area to observe both challenges to and opportunities for healthy behaviors, such as routine walking, cycling, and recreation. This session will demonstrate how walk audits can be the centerpiece of a healthy design workshop, as it inspires community leaders and stakeholders, educates participants on best practices, and provides practical planning for specific interventions, policy, and environmental improvements.
*Tamboti*
**EXECUTIVE**
11:00 am – 12:00 pm
Perseverance: You Define Your Finish Line
Ken Nwadike
Motivating corporate / sales teams and athletes to break through the boundaries and limitations that they set for themselves, teams struggling with forward momentum, managers of underperforming sales teams. As a former homeless student athlete, Ken shares his story of using running to change his finish line.
*Aloeswood*
**PARKS**
11:00 am – 12:00 pm
Park Design Award Presentations
Marula
Come see the award-winning park development projects from throughout the state of Wisconsin. Projects are separated into four categories based on project budget. The award applications are ranked by: innovation, functionalism, aesthetics, community benefits, environmental stewardship and maintenance.
**PARKS**
11:00 am – 12:00 pm
Planning Parks for the Future
Blake Theisen
There are many important factors to think about when planning for future open spaces in your community. Identify the different types of plans typically used to guide the development of park and trail systems, from Park and Open Space Plans down to Master Plans. This session will outline the planning process for various types of plans.
*Aralia*
**RECREATION**
11:00 am – 12:00 pm
Connections Needed to Improve Older Adult Services
Lori Gertel & Catherine Kienier
Learn why connecting with older adults is so important. This presentation will include ideas to help you create classes that will assist older adults to age well, while maintaining their physical and mental health. Also learn the basics about the Aging Networks in Wisconsin and other resources that can provide support and valuable information to your department.
*Wisteria*
**RECREATION**
11:00 am – 12:00 pm
What are Dementia Friendly Communities?
Audrey Warrington
As of 2021, more than 6 million Americans are living with Alzheimer’s & other dementias; by 2050, this number is projected to rise to nearly 13 million. Research supports that nature can provide a calming effect for people living with dementia, can provide physical and psychological health benefits, and can impact one’s well-being and self-worth. Dementia Friendly Communities & Organizations have the goal to raise awareness of dementia & reduce stigma, improve recognition of signs, improve communication, increase acceptance & compassion, and promote inclusively & accessibility. Learn how community spaces can
meet these goals to work towards creating more Dementia Friendly environments and programming.
Portia
**YOUNG PROFESSIONAL**
11:00 am – 12:00 pm
Creating a Cohesive and Connected Team…No Glue Required
Jed & Roz Buck
If your staff, across every level, is cohesive and connected, will that make a positive difference in your programming for every member of your community? When you think about the important messages that you want to convey to your staff as part of their training, is Teamwork one of them? Attendees will play and participate in a variety of team-building exercises and activities. We will discuss the value of connection and the benefits of working as a team. You will take away an assortment of fun, interactive and thought-provoking activities to incorporate into your staff training as you create and strengthen your cohesive and connected team!
Mangrove
12:00 pm – 1:15 pm
Lunch
Kalahari Ballroom C/D/E/F
12:00 pm – 1:15 pm
YPN Mentor/Mentee Luncheon
Cypress
12:00 pm – 1:15 pm
Past President Luncheon
Mahogany
**EDUCATION SESSIONS SET 5**
**AQUATICS**
1:15 pm – 2:15 pm
Surveillance in a Selfie World: Teaching, Coaching, and Auditing for Maximum Impact
Natalie Livingston
This session will focus on tactical strategies for addressing the modern world in our operations. Learn strategies for improving your lifeguard’s surveillance and how to support for maximum impact when it matters most.
Guava
**AQUATICS**
1:15 pm – 2:15 pm
Spring Start-Up & Water Balancing
Cyndi Robertson
The key to a successful season is in the preparation. This session will discuss what steps you should take to ensure your pool is prepared and the water is balanced in order to protect your swimmers, facility and sanity.
Tamarind
**EXECUTIVE**
1:15 pm – 2:15 pm
Perspectives from the Park
Randy Crane
Whether it's old ways of doing things, indecision, or just feeling stuck, a change in perspective can make all the difference. We all get stuck from time to time and being able to move forward out of it is one of the most critical skills for a leader. I will show you how to make that happen in your life as we explore the use of “forced perspective” in the Disney parks.
Tamboti
**EXECUTIVE**
1:15 pm – 2:15 pm
A Holistic Approach to Facilities Operating Cost Reduction
Farhan Khatri
From a societal development perspective, education is fundamental to its progress. As we spend a large majority of our time in buildings, it is crucial that the facilities we learn, work and live in are healthy, sustainable, durable, and safe. Drawing on technical examples, lessons learned, and best practices from a recently completed project portfolio, I will comprehensively explore and explain the challenges and key components necessary to execute a successful facilities operating cost management and reduction plan. We will discuss case studies around the major components of facility operating costs, Active Maintenance, Preventive Maintenance and Utility Bills. We will discuss opportunities associated with these major components as well as tools you can use to estimate short term and long-term plans for the operational budgets. We will also discuss resources and incentives available that can help pay towards reducing your operating expenses.
Aloeswood
**PARKS**
1:15 pm – 2:15 pm
Public Art in Parks = Civic Engagement, Creative Placemaking & Placekeeping, & Community Investment
Anne Katz
Creativity, Imagination, Vitality, Access, That's what public art adds to the resilience and revitalization of parks and communities large and small. Public art activates and transforms parks, people and communities, an investment that is blossoming throughout Wisconsin. From Kenosha to Superior, public art is all about resilient, vibrant and welcoming parks and communities, bringing people together, providing awareness of the environment and community, enhancing the environment. The arts are at the heart of 21st century its murals and sculptures to integrated environmental work to memorials - is at the heart of 21st century vitality, energy, and action for people and parks.
Marula
**PARKS**
1:15 pm – 2:15 pm
Inclusive Play Matters: Creating Destinations that Thoughtfully Align with Developmental Needs of the Whole Child
Ron Blake
Parks and recreation professionals have advocated for inclusive playgrounds for years, however, there has been a lack of valid research to help make a data driven case. Discover evidence-based design best practices that support the physical, social-emotional, cognitive,
sensory, and communicative development of all children, including those with disabilities. Thoughtfully champion play for people of all ages and abilities and effectively make the case for inclusive play in your community.
**Aralia**
### RECREATION
**1:15 pm – 2:15 pm**
**Solving Pickleball Problems**
*Shane Wampler*
Pickleball has become one of the fastest growing sports in the country and many Parks and Recreation Departments have implemented Pickleball programs in their cities. However, recreation professionals may lack the knowledge and understanding of the game to fully grow the sport in their communities and to address emerging problem behaviors as the program grows. This workshop will provide tangible strategies for identifying and correcting common problem behaviors with open Pickleball play, identify strategies and solutions for adding or creating more Pickleball courts, and provide strategies for growing existing Pickleball programs.
**Wisteria**
### RECREATION
**1:15 pm – 2:15 pm**
**Sign This and Don’t Sue Me!**
*Brian Bean & Paul Lessila*
Liability waivers are often used as a way to protect organizations from liability and litigation. But how good are they really? How does Wisconsin treat these waivers and are they really enforceable? We will review case law and what is required for a liability waiver to be potentially enforceable. We will also discuss insurance requirements in contracts. What should you ask for, and what should you avoid agreeing to in all of your contracts.
**Portia**
### YOUNG PROFESSIONAL
**1:15 pm – 2:15 pm**
**WPRA: Be the Change You Wish to See - Get Involved!**
*WPRA Panel*
The field of Parks and Recreation is ever-changing! Through continuing education, training, and the sharing of ideas, the Wisconsin Park & Recreation Association strives to keep leaders in our field up to date on the cutting edge of these changes. But WPRA doesn’t exist without YOU! WPRA provides a variety of opportunities to help you along your career path; join us as we explore how you can become involved & engaged in this thriving association, how you can become a leader in your field, and how it can help benefit you personally and advance your career!
**Mangrove**
### EDUCATION SESSIONS SET 6
### AQUATICS
**2:30 pm – 3:30 pm**
**12 Ways to Re-think In-Service**
*Natalie Livingston*
In-service is an important element to any successful aquatic’s operation. It is most likely the closest training staff will have to a real event. It is a critical marker for culture and is often used against operators in post event litigation. Join us for a fun a fast-paced session featuring 12 questions to ask to re-think your in-service training program with tactical and practical solutions to elevate your in-service game and protect yourself as a leader.
**Guava**
### AQUATICS
**2:30 pm – 3:30 pm**
**How Play and Curiosity Connect**
*Melinda Pearson*
Children are naturally curious about everything! Our most important job is to nurture this curiosity and build these learning processes into our aquatic spaces. We need to instill our children with a sense of curiosity so that they seek out new experiences and develop the right skill set for the 21st century. The curiosity cycle is an evolving learning model that teaches children to challenge and refine their environments through discovery and mastery. With the widespread decline in unscheduled outdoor play time, it is more critical than ever that children of all abilities have access to safe, engaging play spaces that respond to the cycle of curiosity and positive child development.
**Tamarind**
### EXECUTIVE
**2:30 pm – 3:30 pm**
**Soundbites for Success**
*Judy Rupnow*
Every day you talk with multiple audiences regarding your projects, but are you delivering the messages that make an impact? Research shows most people will forget 90% of what you share within 24 hours. Staying on message can be the difference between a so-so story and a one with punch. When dealing with the media, we coach executives to deliver their messages in concise soundbites to ensure a memorable story is related. Whether working with local media, community groups and decision makers, or your team, unifying everyone behind meaningful, memorable messages ensures the story you want told is shared consistently across all channels. During this interactive session, we will explore how to craft the story for your next project into meaningful, memorable messages and soundbites. The true sign of success is when others echo your soundbites! Are ready to find your 10%?
**Tamboi**
### EXECUTIVE
**2:30 pm – 3:30 pm**
**Healthy Community Design Approaches for Park & Recreation Professionals**
*Mark Ferlito*
Simply encouraging people to exercise has not stemmed the nation’s rising tide of chronic disease and obesity. The answer is designing communities so that physical activity becomes a way of life. Park and recreation professionals can help lead the charge by supporting more walk- and bike-friendly land use and infrastructure. This session will outline design approaches that not only boost community health, but also economic vibrancy, environmental sustainability, and overall quality of life.
**Aloeswood**
PARKS
2:30 pm – 3:30 pm
Ecological Restoration: Planning for Success
Carl Korfmacher & David Hoffman
We will review the basic components of a Management Plan that can be used over several years to align budget, timing and ecological goals.
Marula
PARKS
2:30 pm – 3:30 pm
Outdoor Ice Rinks - Compare and Contrast Systems
Jake Anderson
There are many factors to consider when implementing a new ice rink or thinking about revamping your existing one. Identify which system may work best for your community based by comparing and contrasting different systems on the time it takes to install and maintain, season length you are looking for and expenses. Learn from park managers with experience on the various types of rinks: ground rinks, liners, ponds and chiller systems.
Aralia
RECREATION
2:30 pm – 3:30 pm
The Many Faces of Diversity
Tracey Crawford & Oralethea Davenport
Diversity initiatives have taken on a new meaning in a renewed era of civil rights, protests, and social unrest. Park and recreation agencies are in a unique position to be an active part of the solution, by cultivating an agency environment that openly explores ways to become more diverse, inclusive and ultimately more welcoming environment that leads and sets positive examples for the communities that we serve. This session will offer a brave space to explore concepts such as equity, inclusion, micro-aggressions, unconscious bias and how to have conversations to explore these concepts at your agency in a safe and productive manner.
Wisteria
RECREATION
2:30 pm – 3:30 pm
Getting the Most Out of Department Data: A Research Treasure Trove
Dr. Lynn Jamieson
Park and recreation professionals often need to develop factual information that can be used to support programs, budgets, master
plans, and resolution for the many issues faced by day-to-day operations. Often it is difficult to determine where to find factual information, supported by research, and how to capitalize on the readily existing information that is contained in the many databases contained within the agency’s computers. Learn how to access key databases and/or create data from information collected during daily operations of a department. Research answers may be just a keystroke away!
**Portia**
**YOUNG PROFESSIONAL**
2:30 pm – 3:30 pm
**Grow More Leaders**
*Jed & Roz Buck*
We all know that no leader can do everything without assistance from a strong team. One of our most important roles as leaders is to shape and empower the next generation of leaders. This interactive session focuses on experiential and participant-centered activities that will give us tools to use in training young, emerging leaders within our organizations as well as strengthening our personal leadership skills.
*Mangrove*
**EDUCATION SESSIONS SET 7**
**AQUATICS**
3:45 pm – 4:45 pm
**The Art of Staff Training**
*Kate Connell*
Creating staff training’s can be one of the most unactionable to-dos in your legal pad. And worse, you might only dabble in writing agendas and laying out expectations and professional development once or twice a year which leaves you out of practice once it rolls around. Whether your leading temp or full-time staff, it’s essential to learn how to generate ideas, content, and format for staff enrichment all year round. This dynamic session is designed to lead you through in-person exercises and explore strategies to make your training’s more intentional, impactful, and organized while leaving with concrete ideas that are unique to your leadership approach and employee/operational needs. Spoiler alert: staff training’s will no longer be a marathon talkfest you dread annually but instead a multilayered approach that is woven into the every day.
*Guava*
3:45 pm – 4:45 pm
**Free Aquatic Play in a Controlled World**
*Melinda Pearson*
We know that risky play helps to increase self-esteem, decrease conflict sensitivity, and help with problem solving skills but what does risky play look like in an aquatic environment? Kids learn and develop through play. They make bold decisions and rely on their burgeoning creativity to problem solve within make-believe; microcosmic plots based on the real world. So, what happens when we, as adults in a fear-based society, take away their freedom and force them into the controlled play opportunities that are found in many play spaces today? Methodology: This session will include a mixed delivery approach that encourages participation by incorporating both visual and verbal learning methods designed to stimulate critical thinking and encourage response and discussion. This session will offer eye-opening awareness delivered face-to-face by three subject matter experts who offer extensive knowledge of the benefits of free aquatic play and developing a true sense of space for all.
*Tamarind*
**EXECUTIVE**
3:45 pm – 4:45 pm
**Once Upon YOUR Time**
*Randy Crane*
When it comes to leadership, being able to intentionally take control of our schedule is a critical skill and sets a great example for those we lead. Yet, we spend our time like there is no tomorrow. A few minutes here, maybe an hour there, and the day is gone, often with little to show for it. Inspired by Disney, I will share specific actions all leaders can take to give them the pixie dust they’ll need to tame the clock and conquer the tasks that threaten to overwhelm them.
*Tamboti*
**EXECUTIVE**
3:45 pm – 4:45 pm
**Trends and Issues from Capitol Hill**
*Caty McDermott*
In this forum, WPRA’s lobbying team will cover the 2021-2022 session of the Wisconsin legislature and discuss the issues that impacted WPRA members. Participants will hear an overview of the ways in which WPRA participated in the legislative process. Finally, the WPRA government relations team will preview what is ahead in the next session of the legislature.
*Aloeswood*
**PARKS**
3:45 pm – 4:45 pm
**Building a Culture of Empathy to Assist People Who Are Homeless in Our Parks**
*Holly Pagel & Kim Propp*
This session will focus on the basics of mental health, substance use, and the issues that people who are homeless are struggling with. The presenters will demonstrate how to approach a person in our parks with empathy and understanding. The audience will be offered specific skills to use and practice. The presenters will discuss the emerging trends presenting in our parks. The audience will learn how to find necessary resources that are available in every county.
*Marula*
**PARKS**
3:45 pm – 4:45 pm
**Technology Trends in Parks**
*Raine Gardner & Laura Gilbert*
Find out the latest trends with security cameras, lighting, trail counters and sound systems within park systems.
*Aralia*
### RECREATION
**3:45 pm – 4:45 pm**
**Customer Service Boot Camp 2.0: Call to Action**
*Annie Olson & Iris Pahlberg Peterson*
March right in and remain at ease at the all-new Call to Action, the highly anticipated sequel to the hit Back to The Basics session. Meet the growing needs within your own park system with foolproof strategies to satisfy and delight all park patrons. Whether just beginning to focus on customer service or brushing up on a refined program, this interactive course will keep you awake and engaged while providing easily applied skills that close the gap between expectations and performance. Maximize results in your own agency after participating in exercises which illustrate core service delivery concepts. Leave the session with renewed energy and motivation to provide phenomenal customer experiences back at home.
*Wisteria*
---
### RECREATION
**3:45 pm – 4:45 pm**
**Managing Violence in Sports: Excellence in Governance**
*Dr. Lynn Jamieson*
Sport related violence regularly occurs at the community level regardless of type of sport, age or gender of participant, level of skill, level of ability, or other factors. This presentation will include a discussion of the social issue of sport violence. Several steps for anticipating potential problems will be reviewed, and solutions will be presented to ensuring positive sport experiences for players, coaches, officials, parents or guardians, and others who enjoy community sports.
*Portia*
---
### YOUNG PROFESSIONAL
**3:45 pm – 4:45 pm**
**Congrats, You’re a Full Time Supervisor!**
*Dannielle Wilson & Elsa Fischer*
You’ve worked hard and been rewarded for it, so now what?! Managing a team of your peers for the first time can be intimidating, but it doesn’t have to be! Join us to learn how to align your team’s goals with the agency’s vision, the art of managing up and how to mentor and support the professional development of full-time leaders. We’ll share tips & tricks as well as pitfalls to avoid. Learn what it means to be a mid-level leader and how to navigate this new territory of managing others.
*Mangrove*
---
### 5:00 pm – 6:30 pm
**WPRA Foundation Basket Raffle and Social Hour**
*Kalahari Ballroom C/D/E/F*
---
### 6:30 pm – 8:30 pm
**Awards Banquet**
*Kalahari Ballroom C/D/E/F*
---
### 8:30 pm – 11:30 pm
**President’s Reception Social: Homecoming**
Join WPRA at the Homecoming dance featuring the Swiftkick band! The Presidents Reception is open to all attendees and exhibitors at the Kalahari Resort.
*Kalahari Ballroom A/B/G/H*
---
### THURSDAY, FEBRUARY 24, 2022
#### EDUCATION SESSIONS SET 8
#### AQUATICS
**8:30 am – 9:30 am**
**Equitable Aquatics: The 3 P’s of Inclusive Aquatics**
*Kate Connell*
LGBTQ/non-binary individuals, non-native English speakers, breastfeeding moms, low-income families, and persons who are differently abled: are these people able to have equal experiences at your facilities? Equitable aquatics is about making sure that you are making your pools accessible AND working to get all types of folks to your facilities. Part exercises, part lecture this session is designed for you to “work-in” your aquatics operations area in real time and leave with ideas to unpack later. We’ll explore the implications and implementation of the 3 P’s of Inclusive Aquatics: Personnel, Programming, and Policies and discuss outcomes and examples for each of the areas. We’ll touch on how to grade your policies and rules for inclusively, the fundamentals of low-income and scholarship-based offerings, and how to focus on outreach to fill your pool, programs, and payroll list with individuals who represent your diverse community.
*Guava/Tamarind*
#### EXECUTIVE
**8:30 am – 9:30 am**
**Outdoor Recreation’s Economic Impacts in Wisconsin**
*Mary Monroe Brown*
Hear from Mary Monroe Brown, Director of the Wisconsin Office of Outdoor Recreation, to learn how outdoor recreation is a driving engine of the state’s economy. From tourism dollars to manufacturing, Wisconsin’s outdoors attract visitors, inspire makers, and provide a high quality of life for residents. In fact, Wisconsin’s vast outdoors are consistently a top reason traveler choose to visit Wisconsin, highlighting the importance of our parks and green spaces and the work needed to sustain them.
*Aloeswood*
#### EXECUTIVE
**8:30 am – 9:30 am**
**Knowing Your Retirement**
*Sara Karweick & Kayla Kanas*
We will help you understand what your benefits will be when you retire and go through the statements to explain what it all means. We will also talk about other strategies for retirement savings and supplementing your current plan.
*Tamboti*
### PARKS
**8:30 am – 9:30 am**
Municipal Separate Storm Sewer System (MS4 Permit) Overview and Park Implications
*Andrew Maracini & Anna Bartsch*
The MS4 permits require municipalities to reduce polluted storm water runoff by implementing storm water management programs with best management practices. Park systems play an important role in managing storm water runoff and have some specific requirements to meet within a MS4 Permit.
*Marula*
### PARKS
**8:30 am – 9:30 am**
Increase Efficiency Managing Your Park Amenities
*Dan Schmitt & Scott Kiley*
Modern parks and recreational facilities have complex built and natural infrastructure. They are like mini cities with assets that require inspections and maintenance. GIS empowers staff to manage their assets from anywhere. Interactive GIS maps can engage visitors while park managers can assign and track maintenance assignments to staff who update work progress using a mobile device. All information can be displayed using live dashboards to provide a complete understanding of park operations in real-time.
*Aralia*
### RECREATION
**8:30 am – 9:30 am**
Trend Seekers
*Dannielle Wilson*
Trends. That single word- trend- ignites a desire to know what the next “thing” will be and sends people clamoring. If your crystal ball needs new batteries, join us for a high-energy, information-filled, leave-you-with-your-mind-spinning session. We’ll explore where to find and identify trends, then we’ll dive into a listing of current trends, hot topics, and potential future trends in a variety of parks and recreation facets. Unleash your inner Trend Seeker in this thought-provoking session!
*Wisteria*
### RECREATION
**8:30 am – 9:30 am**
Inclusive Recreation Programs Part 1
*Kathleen Happel*
This session is designed to introduce and teach about the world of Adapted Games, Sports, and Recreational Activities. It will offer instruction, content knowledge, some practical experiences to promote innovative thinking and understanding of individuals with disabilities. It is indeed a diverse sport area and very needed from children and adolescents with disabilities to returning veterans with various disabilities. This session will promote and continue to work toward understanding and practicing inclusion with schools, coaches, adaptive community partners, recreational facilities, students, athletes and parents. It will also help provide the tools and guidelines by which physical education and adapted physical education teachers, coaches, athletic directors, and school administrators can include students with physical disabilities in interscholastic sports and intramural programs.
*Portia*
### YOUNG PROFESSIONAL
**8:30 am – 9:30 am**
Protect Your Business from Toxic Staff
*Jed & Roz Buck*
Most of us have experienced a toxic staff member at some point. How does it make you feel? How does it impact the rest of your staff? We will explore the ways toxic staff members can negatively influence your culture and energy. We will examine ways to avoid hiring potentially toxic staff members as well as what to do when you identify one on your staff. We will also focus on creating an environment that safeguards against the development of toxic staff members. Finally, we will self-reflect and discuss ways to avoid becoming toxic employees ourselves.
*Mangrove*
### EDUCATION SESSIONS SET 9
### AQUATICS
**9:45 am – 10:45 am**
Public Pools & Water Attractions: Updates from DATACP
*Mary Ellen Bruesch*
Updates from the Program, including updates about code items (what is likely to change and what is expected to stay the same as existing code) that will likely be of interest to municipal pool and water park operators. By this time, we will have a new Pool code, or close to a new Pool code, and I will focus on what’s new with that but also include any policy or other relevant updates.
*Guava/Tamarind*
### EXECUTIVE
**9:45 am – 10:45 am**
Stopping the Doormat Syndrome: Public Construction
*Lynda Fink*
Are you tired of your construction projects always running over in cost or time or the quality just not being where you want it to be? Do you sometimes feel that the contractor is not working in your best interest? If so, come to this session and learn tips to have more success in preventing these issues in both design and construction oversight of your parks and trail projects.
*Aloeswood*
### EXECUTIVE
**9:45 am – 10:45 am**
Wisconsin Tourism - Are You Connected to This $20 Billion Industry?
*Drew Nussbaum*
Attracting visitors to our region requires a clear message about the experiences we offer. Providing great destinations begins with providing great customer service. Join us for a discussion about marketing to today’s travelers, the ever-changing world of social media, and the basics of welcoming guests when they arrive at our doorstep.
*Tamboti*
**PARKS**
9:45 am – 10:45 am
From Dumps to Destinations: Converting Landfills to Parks
*Ben Peatter & Bill Honea*
Most towns had the town dump or burn area on the edge of town. These were unlicensed landfills, usually capped installed to minimize the impacts to soil and groundwater, and most of these sites remain this way into perpetuity. However, community progress is not static, and as both urban and suburban areas continue to grow and expand these sites are idle opportunities. Turning these liabilities into community assets is an important planning and redevelopment approach, which can range from minimal investment for things like trails to large investment for competition athletic complexes. This session address how to manage issues former landfills present, what site uses are congruent with this past use, the regulatory hurdles that need to be overcome, and the benefits to the community. We’ll highlight case studies from Cedar Rapids (IA), City of Glendale (WI) ball field and park, and other landfill projects completed with a recreational reuse.
*Maria*
**PARKS**
9:45 am – 10:45 am
Outdoor Recreation Grants for Local Government & Partners
*Cheryl Housley, Pam Rood, & Roberta Winebar*
WDNR staff will introduce several outdoor recreations grants available to local governments and other partners. Updates on funding status for each grant as well as application steps will be explained including eligibility, deadlines, project ranking and support. Example projects from around the state will be highlighted.
*Aralia*
**RECREATION**
9:45 am – 10:45 am
Engaging Silent Voices
*Danniele Wilson*
National standards indicate that we should engage the community in our planning processes. So, we dutifully conduct focus groups and statistically valid surveys - and rely on responses from those who choose to actively participate. What about those who don’t respond? Who are they? What do they have to say? Join us to explore eight strategies and create a plan that helps you listen to and engage with your community’s diverse perspectives.
*Wisteria*
**RECREATION**
9:45 am – 10:45 am –
Inclusive Recreation Programs Part 2
*Kathleen Happel*
A continuation from Part 1
*Portia*
**YOUNG PROFESSIONAL**
9:45 am – 10:45 am
Train Your Staff to Greatness Using Impactful Teachable Moments
*Jed & Roz Buck*
How do you create the teachable moments that empower your staff to act as positive role models and mentors for your campers? Experiential learning, combined with meaningful reflection and debriefs, provides the tools you need to effectively communicate to your staff your key training messages that are consistent with your camp’s culture. We will introduce, play and effectively debrief a variety of activities that will add intentionality to your staff training and bring out the greatness in your staff. You will leave this session with a collection of exciting and interactive ideas that you can easily incorporate into your upcoming summer’s Staff Orientation.
*Mangrove*
**ENDNOTE SESSION**
11:00 am – 12:00 pm
The Negativity Remedy: Unlocking More Joy, Less Stress, and Better Relationships Through Kindness
*Nicole Phillips*
Nicole J Phillips is a champion for using kindness to overcome all of life’s difficulties, including her own battle with breast cancer. Nicole has a weekly podcast, a kindness column that runs in newspapers in North Dakota, South Dakota and Minnesota, and is the author of the books, *Kindness is Contagious, Kindness is Courageous* and *The Negativity Remedy*. She is also a regular guest on Hallmark Channel’s Home & Family Show. A former Miss Wisconsin and a former television news anchor, Nicole now prefers the title of mom. She has three kids and lives in Aberdeen, South Dakota. She is married to her childhood sweetheart, Saul Phillips, who is the Northern State University Men’s Head Basketball Coach.
*Kalahari Ballroom C/D/E/F*
ANNUAL AWARDS BANQUET RAFFLE
Benefitting the WPRA Foundation
1 Hour Prior to Dinner
30 tickets for $20.00
Cash, Checks & Credit Cards Accepted
The Foundation would like to THANK all the agencies and individuals that donated to the raffle.
Baskets will be available for winner pickup at the conclusion of the banquet.
Proceeds benefit the WPRA Foundation’s efforts to provide Conference Scholarships to Students, Educational Grants to Professionals, Speakers and Other Educational Opportunities.
Thank you for your Support!
* You can apply for Professional Grants and Student Scholarships directly online.
* There is NO Deadline for Professional Grants! Apply anytime and have a decision within weeks!
* Students that receive a $50.00 per person/per conference lodging reimbursement along with a paid conference scholarship.
DON’T WAIT! APPLY TODAY!
THE WPRA FOUNDATION IS COMMITTED TO:
PRESERVE OUR PAST
BE ACTIVE IN THE PRESENT
SECURE OUR FUTURE
At the 2022 Conference, join the WPRA Foundation at BOOTHS #214 & #216 and become an active advocate of the future of Parks & Recreation!
THANK YOU 2022 CONFERENCE SPONSORS
Boland Recreation
Break Sponsor
BCI Burke
Monday Social Sponsor
Gerber Leisure Products, Inc.
TBD
League of Wisconsin Municipalities Mutual Insurance
Education Session Sponsor
Lee Recreation
Name Badge Sponsor & Break Sponsor
Musco Lighting
We Make It Happen
Musco Sports Lighting
Tuesday Social Sponsor
Mt. Olympus
Trade Show Hall Reception Sponsor
Northland Recreation
Break Sponsor
Parkitecture + Planning
Tote Bag & Break Sponsor
Visual Image Photography
Conference Photographer
WPRA Foundation
Main Session Speaker Sponsor
## Membership Information
| Membership Type | Fee |
|------------------------------------------------------|-------|
| Individual Professional | $150 |
| Emeritus/Retired | No Fee|
| Affiliate | $50 |
| Student | No Fee|
| **Full time undergraduate student with a minimum of 12 credits in the field of Parks/Rec/TR** | |
| University | No Fee|
| **Includes unlimited students, must be currently enrolled in January and unlimited educators with affiliated curriculum in PR, Tourism, or related** | |
### Premier Memberships
| Premier (up to 15) | $775 |
|-----------------------------------------------------|-------|
| **1-15 individual professionals and unlimited Board/Commission Members** | |
| Premier (16 and more) | $1,500|
| **16 or more individual professionals and unlimited Board/Commission Members** | |
Join WPRA today online at wpraweb.org or contact the WPRA Office for more information at 414-423-1210 or email@example.com.
---
**Think you know which one is LED?**
They both are. See the vast disparity in how different LED lighting performs. That’s Musco on your left.
Our Total Light Control—TLC for LED® technology is ideal for retrofit installations, saving money by utilizing your existing poles, while also providing structural reliability with new cross arms and unparalleled glare and spill control, uniformity, and field playability.
To learn more, scan here or go to promo.musco.com/wisconsin-retrofit
©2021 Musco Sports Lighting, LLC - ADW021-3
HOW TO REGISTER
Complete and return enrollment form via:
- Mail – WPRA, 6737 W Washington St, Ste 4210, Milwaukee, WI 53214
- Online – www.WPRAweb.org
Name ____________________________________________________________
First/Last (Name to appear on name badge)
Title ____________________________________________________________
Agency:
- [ ] City of _______________________________________________________
- [ ] School District _________________________________________________
- [ ] Village of ______________________________________________________
- [ ] Other _________________________________________________________
(Department/University/Business)
Address __________________________________________________________
City ______________________________________________________________
State ___________________________ Zip _______________________________
Business Phone _____________________________________________________
Cell Phone _________________________________________________________
E-mail _____________________________________________________________
Do you have any special dietary needs? ________________________________
ADA Compliance: Please complete if you require special accessibility or accommodations. My requirements are: _______________________________________________________________________________________________________________________
Current 2021 WPRA Member? [ ] Yes [ ] No
2021 Membership Dues Online at WPRAweb.org
Are you a first time attendee? [ ] Yes [ ] No
Will you be attending the Awards Banquet on Wednesday night? [ ] Yes [ ] No
Will you be attending the YP Mentor/Mentee lunch on Wednesday? [ ] Yes [ ] No
Children and spouses will not be allowed to attend sessions. No children will be allowed to attend regular conference socials, meals or be allowed in the exhibit hall.
Check payable to: Wisconsin Park & Recreation Association
[ ] Please invoice me (WPRA Members only)
Cancellations received in writing by January 21, will receive a refund minus a 25% administrative fee. NO REFUNDS will be issued after January 21, 2022.
3-DAY PACKAGE
Includes sessions, socials, Tuesday & Wednesday lunch, awards banquet, 3-Day Conference favor, CEU’s if submitted.
Early Registration
(Postmarked by January 21)
| Professional | Member | Non-Member | Late Fee |
|--------------|--------|------------|----------|
| | $300 | $415 | $25 |
| Student | Member | Non-Member | Late Fee |
|--------------|--------|------------|----------|
| | $100 | $140 | $25 |
1-DAY PACKAGE
Includes sessions, meals and social.
Early Registration
(Postmarked by January 21)
| Professional | Member | Non-Member | Late Fee |
|--------------|--------|------------|----------|
| Tuesday | $150 | $200 | $25 |
| Wednesday | $150 | $200 | $25 |
| Thursday | $60 | $75 | $25 |
| Student | Member | Non-Member | Late Fee |
|--------------|--------|------------|----------|
| Tuesday | $60 | $75 | $25 |
| Wednesday | $60 | $75 | $25 |
| Thursday | $30 | $40 | $25 |
EMERITUS PACKAGE
For Emeritus Members, the fee has been waived for Wednesday ONLY.
[ ] Check if you will be attending on Wednesday.
SPOUSE PACKAGE
Includes meals, exhibit hall, and social – no sessions.
Spouse Name _______________________________________________________
| Early Registration | Late Fee |
|--------------------|----------|
| 3-Day Package | $150 | $5 |
| Tuesday | $100 | $5 |
| Wednesday | $100 | $5 |
PRE-CON EVENTS
Pre-Conference Sessions have limited space and will be filled on a first-come, first-served basis.
Aquatics: Effective Learning Activities for Teaching Life-Safety Swim Skills [ ] $40
Parks: Winter Trail Maintenance [ ] $20
Recreation: Creating Innovative Youth Sports Programming Using Non-Traditional Sports [ ] $40
Conference Total $____________________
Photo & Video Disclosure
Photos and video footage are periodically taken of people participating in a WPRA meeting. Please be aware that by registering for a WPRA meeting or participating in an activity or attending an event at a WPRA meeting, you authorize WPRA to use these photos and video footage for promotional purposes in WPRA publications, advertising, marketing materials, brochures, social media (including Facebook, YouTube, Instagram, Twitter, and other social media sites operated by WPRA), and the WPRA website without additional prior notice or permission and without any compensation. All photos and videos are property of WPRA.
WPRA REUNION 2022
A Past to Appreciate • A Present to Celebrate • A Future to Generate
THANK YOU FOR ATTENDING!
SEE YOU NEXT YEAR!
JANUARY 31- FEBRUARY 3, 2023
WISCONSIN DELLS
Wisconsin Park and Recreation Association
6737 W. Washington St., Suite 4210, Milwaukee, WI 53214
414-423-1210 • www.wpraweb.org
|
**OFFICERS:**
Brendon Haack • President
785-332-4120
Ken Beougher • Vice President
785-332-4822
Darci Schields • Secretary
785-734-7172
Rod Klepper • Treasurer
785-734-7369
**DIRECTORS:**
Gary Brubaker
Steve Busse
Lonnie Coon
Norman Dorsch
Dennis Wright
**MASTER OF CEREMONIES:**
Michael Sager
**MORE INFORMATION:**
Telephone Number
785-734-2291
www.ThresherShow.org
www.birdcity.com
Like us on facebook
Facebook Page = The Official Tri-State Antique Engine and Thresher Association
---
**Chuck Wagon Breakfast**
Location: Thresher Grounds
Saturday • July 29th
The Mike McGilvery Family who own draft horses and builds and restores horse drawn wagons, stage coaches and equipment has agreed to provide the Saturday morning Chuck Wagon breakfast.
---
**BIG ED’S HORSESHOE TOURNAMENT**
SATURDAY • JULY 29TH
ADULT DIVISION + KIDS DIVISION (16 AND UNDER)
Registration starts at 1:00PM North of Office Building #2
START TIME - 1:30PM
For more details or questions Contact Willy Martinez
785-332-4059
---
**9TH ANNUAL TRI-STATE THRESHER SHOW FUN RUN**
8:00 AM START TIME AT THE THRESHER GROUNDS
Fun Run Sponsored by the Cheylin HS Volleyball Team
Watch for registration info or Contact Coach Morgan Sherlock with questions at 785-772-7014 or email: email@example.com
3 COURSES AVAILABLE • 1 MILE 2 MILE 5K RACES
Country Church
The Neville Methodist Church was closed after 74 years in 1984. The church was moved to the Thresher grounds that same year. This year marks the thirty-third anniversary of the church being open on the show grounds. If anyone has history of the church that they would like to share, please contact Ken Beougher in Bird City; we will include the new information in next year’s newsletter.
There has been an interest in replacing the church windows with stained glass, when the finances become available we will hopefully achieve this goal.
The Neville Church service will be held Sunday, July 30th from 9:00-9:30 a.m. Please plan to attend the worship service to conclude this year’s Thresher Show.
Telephone
# 785-734-2291
We voted to reactivate our phone number. We will be using call forwarding to eliminate the problem of no one answering the phone. We will have volunteers that will answer questions or provide callers the phone number to one of our members who can.
Fiber Arts and Quilt Room
It will soon be time for the 2017 Antique Engine and Thresher Association Show. It will be here before we know it.
I would like to thank the ladies who volunteer to watch over the Quilt Room during the show. They do such a tremendous job of welcoming people who come into the Quilt Room and sharing their knowledge. Thank you for all that you do.
This year, 2017, we will feature the Friendship Signature Quilts. If anyone has a quilt they would like to share, please let me know and we will display it. If you have any information about the history of the quilt or any of the names on it, please send it along with the quilt. These quilts usually start conversations with visitors in the Quilt Room when they recognize a name. It is so amazing to learn the history of these quilts.
We will also be displaying the signature quilts that belong to the Association. They have not been on display for several years, and hopefully they bring back fond memories.
We will be at the Thresher grounds on Monday and Tuesday, prior to the show. If you would drop your quilts off or arrange to have them picked up. We will be hanging the quilts on Wednesday. It is always wonderful to see the beautiful quilts that have been created.
Also, if you have any type of fiber art items, we would welcome them too. We are looking forward to another year of beautiful creations to display. We are location next to the Print Shop across from the caboose.
Hope to see you at the 2017 Antique Engine and Thresher Association show. If you have any items to display, information, or questions, please call: Marcia Hickert at 785-734-2522. See you this summer!
Do you hear the school bells? Now, only in memory. The little white schoolhouse from District Highland School that once sat on a hill nine miles southwest of St. Francis; south of the Republican River.
Teachers in these rural schools taught many varied subjects to students in grades first through eighth. Highlights of the school year were often box suppers, spelling bees, and track meets with other rural schools. There was nearly always a Christmas program to share student talents with family and the community.
Relocated to the Thresher Show Grounds in Bird City, it serves as an example of those memories.
Stop in for a visit. We always enjoy sharing our "Little Schoolhouse" with visitors at the show.
By: Rosemary Powell • Marsha Magley • Shirley Watson
Treasurer's Report
Balances as of the Annual Meeting (March 2017):
Actual Available Balance ——— $5,896
Wright Building Balance ——— $9,778
Endowment Fund Balance ——— $24,263
The Wright building account has funds set aside to install natural gas lines, connect the furnace and install overhead lights in the big room.
A special thanks to Ken Beougher and Kale & Darci Schields for their donations on Bird City Match Day. If you are considering a donation, watch for this year’s Bird City Match Day event which will be held on Tuesday, November 28th in conjunction with National Giving Tuesday. Bird City Century II Foundation matches all donations that day to benefit our local community organizations.
Quarterly Meetings
To increase involvement and communication it was voted to hold Quarterly Meetings during the months that have 5 Saturdays.
2017 Meetings:
April 29th
July 29th
Sept. 30th
Dec. 30th
We voted that this year we would begin the long discussed process of inventorying items at the show grounds, recognizing owners and placing informational signs where possible.
We will be using a system developed and used by many museums of listing each item by: category - number - owner - donated by - restored by - history - mfg. data
Example: Tractors TR-0000, Steam Engines ST-1234, Tractor Implements TI-5678, Horse Implements HI-9876, Harvest Equipment (combines, threshers, pickers, shellers, etc.) HE-5432, Household Items (irons, stoves, washing machines, lamps, etc.) HH-3456.
By using the 4-digit numbering code we have room for 9999 items in each category. This will be a big project, but once finished will be a big addition to our show.
♦ Brendon, Rex & Gerald installed a new clutch in our Ford Scoop Tractor.
♦ Norman Dorsch & Rod Klepper picked up the Wilbur Tractor in Montrose, Colorado.
♦ Nine sets of different size Stilts were built and enjoyed during the show.
♦ Mike Boyson added pin striping to the wheels on the Huber Steam Engine and has the New Road Sign ready for installation.
♦ Don Wright ran underground cable and Willy Martinez installed four large flood lights in the Car Museum.
♦ Willy Martinez painted the ceiling beams and floor of the Wilkens Building Interior Room where glass cases will display Arts large collection of Model Tractors, Cars, Trucks & Farm Machinery.
♦ Art Wilkens had Ray & Willy Martinez install laminated shelving on the interior walls of his building and put on display his collection of over 100 Pedal Toys.
♦ Norman cleaned, painted and put on display a nice collection of Grease Guns in the Dorsch-Sawyer Building.
♦ Roy Shrader completed the interior Room and installed a balcony stairway in the Wilkens Building.
♦ Ken Beougher & Norm Dorsch transported the Rogers Model A from Kansas City to the show grounds.
♦ Roy Shrader corrected the floor drainage problem, switched the restroom doors to allow handicap accessible, installed the trim, siding, and vents on the west side of the Wamhoff Shower Building.
♦ Rodney Neitzel removed the loose paint, installed new trim boards, primed and painted the Creamery.
♦ Ken Beougher and Norm Dorsch organized and moved our Horse Drawn equipment onto the new pad.
♦ Janice Busse hand washed all the vehicles in the Car Museum prior to the 2016 show.
♦ Robert Bell, Michel Sager & Brendon Haack made improvements to our Show Ground Sound System.
♦ Ken Beougher purchased and installed a large display case in the Clark Building for his Dick Tracy Collection.
♦ The Gallo brothers installed a wooden operator platform and painted the wheels on the Huber Steam Engine.
♦ Work on the Wright Building included: Ceiling fans, lights and electric outlets were installed on the balcony. The floor, hand rails and stairs to the balcony were primed and painted. Gerald Wright relocated and installed our Gyrocopter in the ceiling. Neitzel Heating installed the air conditioning units for the 1800 square foot display room. Wire overhead display shelves were installed on the east and west walls. Dennis Wright installed glass shelving and organized their collection of Oil Cans for display.
♦ Rex Weishpal and the Steam Engine Crew got the 75 horse Case Steam Engine owned by the Brent Family of Colorado back in working order.
♦ Under the supervision of Gerald Wright & Brendon Haack the large doors for the west side of the Bressler Hangar have been installed and a frame for the walk in door has been completed. Once the large roll up door on the North side is installed, building painted, and electric service installed, we will be ready to install shelves and move in.
♦ The Association purchased: A Fork Lift from American Implement. The Kite Family Safe at the Brethower Sale. Surveillance camera that was installed at the main entrance to the Show Grounds. The Underwood tractors that have been a part of our show for years. Included with the purchase the family graciously included an Antique Display Stand and a large steel front door from a Case Steam Engine. A 30 ft. Wide by 96 ft. long used greenhouse in St. Francis which will be used for permeant Antique Tractor Storage.
Donations Received
- Keith Fay donated a nice School Bell in good condition.
- Don Bruder provided the display case and filled it with Antiques for Building 5.
- The Demi Shahan family donated a Chain Hoist Steel Overhead Lift for our shop.
- The Chris & Peggy Ertler Family donated large Flood Lights for the Car Museum.
- McCarty Dairy donated a steer that provided all the meat for the Bar-B-Q, hamburger for the sloppy joes made by the Church Ladies and walking tacos for the Community Club Thursday evening meal.
- The Keith Headrick family donated a heavy duty work table with adjustable height and casters for the shop.
- The Leon Breathower Family donated the original Highway Sign for the Show in mint condition.
- Henry Burr donated his F-20 Tractor that had been on loan in the Dorsch Sawyer building for several years.
- Robert Wray Wilbur Estate donated a large Antique Anvil and a recently restored F-20 Farmall Tractor.
- The Breathower Family donated a CASE COMPANY framed picture featuring a Steam Engine.
- Bird City Century II Foundation donated a Volleyball Set to be used for the younger generations entertainment during the show.
- With generous grants from the Dane G. Hansen Foundation and Sporer Land Development a large Asphalt Pad to display Horse Drawn Equipment was built on the West side of our show grounds.
- Gary Neitzel & Glenda Carter, at the suggestion of their uncle Don Bruder, allowed the Association to select a trailer load of Antiques and Farm Tools including Log Chains, Boomers, Shovels, Electrical Cords, Welder and numerous items from their Family Farm at no cost to the Association.
- Bob Golding has put on loan a 1959 McCormick manure spreader in great condition for use during our show.
- With a suggestion from Norm Dorsch, Henry Burr has agreed to put on loan Grover Rogers 1930 Model A Ford Coupe, that has a great history in Bird City.
Community Events
- Brendon Haack, with the help of Gerald Wright, operated a Steam Engine, Corn Sheller and Grinder during the Fall Pumpkin Patch weekends.
- Association loaded the Huber and the Criss eight bottom plow to participate in setting a World Record Plowing Event in Concordia, Kansas.
- Roger Orth demonstrated one row Corn Picking during the Neitzel Fall Pumpkin Patch Show.
Work In Progress
The Neitzel Family, owners of Crow Haven Maze and Pumpkin Patch, have volunteered to paint the Sod and School Houses this spring. Due to the exposure of the weather, the Sod House is in need of exterior repairs. The Martinez Brothers have agreed to organize and supervise a work day using mud and straw to stucco the outside of the Sod House.
Max Keltz, local Cheylin Ag Teacher has volunteered to take on the restoration of an antique farm tractor during the 2017-2018 school year. The project will be utilizing the students in the Ag Mechanics Class. What a great way to get them involved!
**SUMMER INTERN**
We applied for and received a grant from Nex-Tech for a nine week summer intern. This will be the Association’s first employee! Plans are to have them do general maintenance, help in the shop, prepare for and put things up after the show, and lend a hand to anyone working at the show grounds.
**Eggers Building**
The Eggers Building continues to be one of the most popular buildings on our show grounds and is enjoyed by men and women of all ages.
The recent addition of the Bird City High School graduates pictures and displays of sports and student apparel has become a popular gathering place where grandchildren can identify their grandparents. The small children’s play area is always busy and allows parents the chance to view the displays within eyesight of that area. Another must see display for kids of all ages is Norman Dorsch’s collection of toys.
**NATIONAL SHOWS**
We have applied to host National Shows that will bring in guests from all over the U.S.A. and other Countries.
| Year | Show Name | Status |
|------|-----------------------------------------------|----------|
| 2020 | J.I. CASE HERITAGE FOUNDATION | APPROVED |
| 2021 | J.I. CASE COLLECTORS ASSOCIATION | APPROVED |
| 2022 | ANTIQUE CATERPILLAR OWNERS | PENDING |
| 2023 | RUMLEY PRODUCTS COLLECTORS | PENDING |
This exciting information will put our show at a National Level and add to our success and growth.
**Fall Show**
We discussed and voted to have a one-day Fall Show featuring Horse Drawn Equipment and Steam Engines. Our location is perfect for a Tri-State show with Draft Horses from Kansas, Colorado and Nebraska participating. Our hopes are that this will become an annual event that will provide an opportunity for visitors who cannot attend in the summer to visit our show grounds. It will also provide another source of income for the Association.
**FORKLIFT PURCHASED**
Brendon Haack located and arranged for the association to purchase a used Forklift that needed some repairs but was available at a reasonable price. This will be very handy around the Show Grounds when heavy items need to be moved.
SAVED THE SAFE!
We were notified that an Antique Safe out of the STATE BANK of Bird City was available for purchase. With a group of generous donors and a grant from the Dane G Hansen Foundation we have added it to our collection.
When you consider this Bank was closed during the dirty 1930’s, no one in this area remembers the Bank Safe. The previous owner had a scale ticket showing it was weighed at the CO-OP in 1961. It appears we have somewhat of a mystery that will need to be solved. The safe will be displayed in Building 5. Come by and look it over!
LARRY FIKAN DISPLAY
At our quarterly meeting it was voted on and approved that at each show we will honor one of our deceased members who made a significant contribution to our show’s success.
This year we will honor Larry Fikan of Atwood, Kansas. His collection of Tractors and Combines will be featured during our 2017 Show.
Larry spent many years working with Norm Dorsch restoring his collection and also helping everyone who had a project on the grounds. Larry enjoyed preparing for the Show and helping put everything away afterwards. His presence at the show will be missed.
STEAM ENGINE NEWS BY: BRENDON HAACK
Hello all! In March, the Kansas Antique Engine and Steam Safety Association (KAESSA) held their annual meeting in Concordia, Kansas. The venue was different this year due to some issues with the normal location in Salina. Attending the meeting this year from our Association was as follows: Gerald Wright, Brendon Haack, Rex Weishapl, Randy Paden, Bob Galo, Randall Neff and Lloyd Stover. Topics of discussion at this meeting included the KAEssa website and its contents, the addition of 2 or more inspectors for each member association and the approval of Brendon Haack as the voting member and inspector, Rex as a boiler inspector, and the retention of Gerald as a boiler inspector. At the 2016 show, Rex and Brendon completed the practical test to the approval of the KAEssa Master inspector’s opinion and were accepted into the ranks as inspectors. Another change for the KAEssa, it was decided that the annual meetings be held at the various show locations that make up the KAEssa. Next year we will be traveling down to the opposite end of the state for our meeting. It will be at that meeting where the next year’s meeting location will be decided. To me, this is a good idea, since it will allow members to see other locations that they normally may never have opportunity to see. I look forward to our turn of hosting.
Closer to home, the steam gang and others are busy working on various engines and are always looking for help. We have setup a ‘work night’ on Tuesdays at 7pm if you would like to help out and need some guidance, please drop by and we’ll see what can be done. Along with the work nights, we’re working on a database to inventory everything at the show and have as much information available in that database as possible. This information, when the database is complete, will be accessible by anything that can connect to the internet. Items on display will have a QR code sticker attached to them. This sticker will allow your connected device to go to the net, access the database and return a link to the details about whatever item you are looking at. This project is very ambitious and I believe will make a great addition to the show and will help us keep better track of our inventory. Thanks much!! Hope to see you there in 2017!!
Join us for our 64th Annual Show
July 27, 28, 29 ~ 2017
CAMPING / RV ELECTRIC HOOKUPS
The Association decided to designate the limited electrical camper hookups at the show grounds to be reserved for volunteer workers this year. Additional camping is available at T-N-T RV Parking, located along US Hwy 36, approximately ¼ mile from the show grounds. T-N-T RV Parking has 30 & 50 amp electric hookups and water.
For reservations call:
785-734-7100.
We will have a new entrance to the visitor's parking lot by Show Time. The old one was too close to the campers and in a low spot where visitors got stuck in the mud last year. The new entrance will create better traffic flow and with a little signage allow visitors to park closer to the ticket booth.
Vendors & Swap Meet
Long time Association member Maxine Wright of Atwood, KS has agreed to take over Vendor Management. She has managed and attends several area craft fairs and flea markets. Maxine is one of the leaders of the Mini Sappi Antique Club and has lots of contacts in the Craft Business. We want to increase and diversify the number and type of vendors we have at the show, as well as work on getting the old swap meet back in operation. If you know of anyone interested in selling their crafts or wants to be a vendor at our swap meet have them contact Maxine Wright at 785-626-7240.
|
Acute hazard assessment of silver nanoparticles following intratracheal instillation, oral and intravenous injection exposures
Ali Kermanizadeh, Nicklas R. Jacobsen, Agnieszka Mroczko, David Brown & Vicki Stone
To cite this article: Ali Kermanizadeh, Nicklas R. Jacobsen, Agnieszka Mroczko, David Brown & Vicki Stone (2022): Acute hazard assessment of silver nanoparticles following intratracheal instillation, oral and intravenous injection exposures, Nanotoxicology, DOI: 10.1080/17435390.2021.2020350
To link to this article: https://doi.org/10.1080/17435390.2021.2020350
© 2022 The Author(s). Published by Informa UK Limited, trading as Taylor & Francis Group.
View supplementary material
Published online: 11 Jan 2022.
Submit your article to this journal
View related articles
View Crossmark data
Acute hazard assessment of silver nanoparticles following intratracheal instillation, oral and intravenous injection exposures
Ali Kermanizadeh\textsuperscript{a} \textsuperscript{✉}, Nicklas R. Jacobsen\textsuperscript{b}, Agnieszka Mroczko\textsuperscript{c}, David Brown\textsuperscript{c} and Vicki Stone\textsuperscript{c}
\textsuperscript{a}Human Sciences Research Centre, University of Derby, Derby, United Kingdom; \textsuperscript{b}National Research Centre for the Working Environment, Copenhagen, Denmark; \textsuperscript{c}Institute of Biological Chemistry, Biophysics and Bioengineering, School of Engineering and Physical Sciences, Heriot Watt University, Edinburgh, United Kingdom
ABSTRACT
With ever-increasing production and use of nanoparticles (NPs), there is a necessity to evaluate the probability of consequential adverse effects in individuals exposed to these particles. It is now understood that a proportion of NPs can translocate from primary sites of exposure to a range of secondary organs, with the liver, kidneys and spleen being some of the most important. In this study, we carried out a comprehensive toxicological profiling (inflammation, changes in serum biochemistry, oxidative stress, acute phase response and histopathology) of Ag NP induced adverse effects in the three organs of interest following acute exposure of the materials at identical doses via intravenous (IV), intratracheal (IT) instillation and oral administration. The data clearly demonstrated that bioaccumulation and toxicity of the particles were most significant following the IV route of exposure, followed by IT. However, oral exposure to the NPs did not result in any changes that could be interpreted as toxicity in any of the organs of interest within the confines of this investigation. This finding of this study challenges the the importance of the route of exposure in secondary organ hazard assessment for NPs. Finally, we identify Connexin 32 (Cx32) as a novel biomarker of NP-mediated hepatic damage which is quantifiable both (\textit{in vitro}) and \textit{in vivo} following exposure of physiologically relevant doses.
ARTICLE HISTORY
Received 24 August 2021
Revised 30 November 2021
Accepted 15 December 2021
KEYWORDS
Liver; kidneys; spleen; Ag NPs; different routes of exposure; inflammation; oxidative stress; acute-phase response; pathology; Connexin 32
Introduction
The ever-increasing utilization of engineered nanoparticles (NPs) in various products and applications has led to considerable interest in the field of nanotechnology (Kermanizadeh, Jacobsen et al. 2020; Radwan et al. 2021). Unfortunately, the same unique nano-specific chemical and physical characteristics which make NPs desirable could also contribute to toxicity in exposed individuals. With the inevitable rise of public and occupational exposure from increasing production and use of NPs, there is an urgent need to assess the potential health consequences of being exposed to these NPs (Jacobsen et al. 2017; Karakus, Bilgi, and Winkler 2021; Kermanizadeh et al. 2019). The assessment of risk to human health in a ‘nano’ context is based upon the physicochemical properties of the particle in question, dose-response relationship of adverse effects and the exposure scenarios. The exposure scenario is essential as it influences the exposure concentrations and the route of exposure; the latter being critical in governing the translocation, distribution, accumulation in a variety of target organs.
The skin, lungs and the gastrointestinal tract (GIT) are in constant contact with the external environment and are the primary exposure sites for NPs (Huang and Tang 2021). It is now understood that a proportion of NPs can translocate from these primary sites to a range of secondary organs with the liver, kidneys and spleen being some of the most important in terms of the accumulation of relatively large quantities of NPs (Balasubramanian et al. 2010; Kermanizadeh et al. 2015; Lee et al. 2013; Lipka et al. 2010). Importantly, with the advances over the last decade in the field of nanomedicine, there is now potential for intravenous (IV) and...
direct injection of NPs into the bloodstream (Kermanizadeh, Jacobsen, et al. 2020). The presence of NPs in the blood will result in the particles reaching a number of extra-pulmonary organs quickly and in very large concentrations (Balasubramanian et al. 2010; Kermanizadeh et al. 2015). This has been exemplified by the consensus that for particulates in the blood, the liver is key and the forefront to the xenobiotic challenge.
Silver (Ag) NPs are used in various applications which include but are not limited to additives to textiles and plastics, in water filters and disinfectants, as health supplements, health care devices as well as routinely being utilized in food preservation and packaging fundamentally due their inherent anti-microbial properties (Ahamed, Al Sahli, and Siddiqui 2010; Radwan et al. 2021). Therefore, there is very likely scenario for these particles to be ingested by consumers and reach the GIT or be inhaled during the manufacturing process (Geiser and Kreyling 2010; Kermanizadeh et al. 2015). It is believed that once in the submucosal tissue, certain particulates are able to enter the lymphatic system and the bloodstream. As touched upon nanomedicines can be deliberately introduced into the body via injection hence direct entry of NPs into the circulatory system (Kermanizadeh, Jacobsen, et al. 2020; Lagopati et al. 2021). The presence of these NPs in the blood will result in direct distribution to a wide range of target organs, including the liver, kidneys and spleen (Geraets et al. 2014; Hadrup and Lam 2014; Hadrup, Sharma, et al. 2020). Crucially, it is widely demonstrated that the liver has significance with regards to NPs accumulating in the organ following IV exposure compared to other organs (Kermanizadeh et al. 2015; Lipka et al. 2010). Alongside the kidneys, the liver might be responsible for the clearance of NPs from the blood (Geiser and Kreyling 2010; Semmler-Behnke et al. 2008).
In this study, we investigated the biokinetics and acute hazard potential of Ag NPs following three different routes of exposure (namely intratracheal instillation (IT), oral gavage and IV). The focus of the study was placed on three extrapulmonary organs identified for accumulating large quantities of materials. The Ag NPs was selected as a highly soluble particle. Here, we assessed a wide and comprehensive array of biomarkers/end-points of damage which included organ-specific inflammation, changes in serum biochemistry (biomarkers of general toxicity and functional and metabolic activity), anti-oxidant depletion, acute-phase response and histopathology of the liver, kidneys and the spleen. Finally, we identify a novel biomarker of NP-induced hepatic injury (connexin 32) which might prove to be useful as a means of assessing liver damage which is quantifiable both *in vitro* and *in vivo* following exposure of physiologically relevant doses. This would allow for more meaningful *in vitro* and *in vivo* data comparisons and bridges the gap between data generated from *in vitro* and animal models and for better linking of the two different testing strategies.
**Materials and methods**
**Nanoparticles and AgNO₃**
The Ag NPs was sourced from Fraunhofer IME – Germany (NM300-K), sub-sampled under Good Laboratory Practice conditions and preserved under argon in the dark until use. AgNO₃ was purchased from Sigma, UK.
**Characterization of the Ag NPs**
The Ag NPs used within this study were extensively characterized using a combination of analytical techniques to identify their primary physical and chemical properties important for understanding their toxicological potential. These primary physico-chemical properties have been described in detail previously (Kermanizadeh, Pojana, et al. 2013) and reproduced below. Furthermore, the primary size as measured via TEM and the hydrodynamic size distribution of the particles in PBS (exposure medium) was determined at a concentration of 10 μg/ml by Dynamic Light Scattering (DLS) using a Malvern Zetasizer nano series – Nano ZS (USA) (Table 2).
**Animals and treatments**
This study used eight-week-old female C57BL/6N mice (19.5–21 g), which were obtained from The University of Edinburgh Animal Unit (UK) and from Taconic (Denmark). The mice were housed in polypropylene cages with bedding (sawdust) and enrichment at controlled environmental conditions.
Table 1. The outline of the experimental treatment groups – 60 female mice were randomly divided at random into 12 exposure groups.
| | Control (PBS) | Ag NP low dose (25 μg per animal) | Ag NP high dose (100 μg per animal) | AgNO₃ (80 μg per animal) |
|----------------|---------------|-----------------------------------|-------------------------------------|--------------------------|
| IT | 5 | 5 | 5 | 5 |
| Oral gavage | 5 | 5 | 5 | 5 |
| IV | 5 | 5 | 5 | 5 |
Table 2. The main primary physical and chemical properties of investigated NPs reproduced from Kermanizadeh, Pojana, et al. (2013).
| NP code | NP type | Primary size (nm) | Surface area [m²/g] (BET) | Coating | Size in PBS (nm) | Zeta potential (mV) |
|-----------|---------|-------------------|---------------------------|----------------------------------------------|------------------|---------------------|
| NM300-K | Ag | 15 | – | 4% Polyoxyethylene glycerol trioleate and 4% Tween 20 | 44.6 ± 8.1 | 10.2 |
| | | | | | –9.88 | |
| | | | | | –10.6 | |
The Ag NPs were also characterized in PBS within 30 mins of preparation. *Size by DLS in biological media measured within 30 min of sonication.
The mice were allowed to acclimatize and randomly divided into 12 groups of five animals. The experimental groups are summarized in Table 1. The in vivo procedures followed the guidelines for care and handling of laboratory animals according to the EC Directive 86/609/EEC, the Danish law and UK home office were approved by the local ethical committee for animal research and by the Danish Animal Experiment Inspectorate (under the Danish Ministry of Justice, permission 2015-15-0201-00465) and by both Heriot-Watt University and the University of Edinburgh.
In this experiment, the animals were exposed to the particle or controls either via the IT, oral gavage or IV (via the lateral tail vein) routes. The IT instillation was conducted as previously described (Kjovska et al. 2015). The Ag NPs were dispersed in sterile PBS (two doses of either 25 or 100 μg per animal) in a volume of 100 μl for the IT and IV exposures and 500 μl for the oral route. These experiments incorporated negative controls (PBS vehicle only and an Ag ion control (80 μg of AgNO₃ per animal). The NP doses utilized within this investigation were selected based on previous acute dosing studies including those conducted as part of FP7 funded EU project ENPRA, keeping in mind the overall aim and the selection of dosage which would allow for distinction of adverse effects following different routes of exposure. The in vivo IV dose, 100 μg NPs per animal, corresponds to approximately 0.5 μg/10⁶ hepatocytes based on previous literature regarding liver cell numbers and particle retention in the liver following IV exposure (Gaiser et al. 2013). The high IT doses reflect pulmonary deposition in mice equivalent to 1–10 working days of 8 hr at the Danish occupational exposure limit of 3.5 mg/m³ for materials such as carbon black (Poulsen, Saber, Mortensen, et al. 2015). The mice were kept under 3.5% isoflurane anesthesia during the IV and IT process. The animals were conscious within minutes after these treatments and suffered no ill effects. The mice were monitored over the entire 24-hr exposure period. Following the exposure, the mice were sacrificed by exsanguination while anesthetized (200 μl of ZRF cocktail composed of Zoletil 250 mg/ml, Rompun 20 mg/ml and Fentanyl 50 μg/ml) after collection of intracardial blood. The liver was removed, the caudate lobe (glutathione measurements) and the left lobe (biokinetics/inflammation/biomarker analysis) were snap frozen in liquid nitrogen and stored at −80 °C, while the right medial lobe was fixed in a 4% formaldehyde solution for histological and biokinetics analysis. Additionally, the spleen and kidneys were also removed and either snap-frozen or fixed in 4% formaldehyde.
Detection of Ag concentration in mouse liver, spleen and kidneys
The Ag content in the tissues was determined in the vehicle control and 100 μg/mouse dose groups by High Resolution Inductively Coupled Plasma Mass Spectrometry (HR-ICP-MS) (ELEMENT XR,
Thermo Fisher Scientific, UK). In short, ~80 mg of fixed tissue was transferred into digestion tubes. A volume of 2 ml of 60% nitric acid was added for the complete digestion of the samples. The digests were kept at 120 °C overnight. At this juncture, the samples were diluted prior to analysis by HR-ICP-MS. The Ag content was measured as $^{107}$Ag; while $^{109}$Ag was used for the control. The low-resolution mode was selected for maximal sensitivity and there was no interference for the isotopes. In our trials, external calibration with internal standard correction by rhodium as $^{103}$Rh was carried out. For quantification, the tissues from three random animals were selected from each group.
**Analysis of serum biomarkers relating to toxicity**
The collected intracardial blood samples were centrifuged and serum frozen at −80 °C for the analysis of biomarkers and the acute-phase response. The serum biochemistry measurements included lactate dehydrogenase (LDH), aspartate aminotransferase (AST), alanine aminotransferase (ALT), cholesterol, triglycerides and albumin. Prior to measurements, the samples were thawed, centrifuged for 10 min at 2000 g at room temperature with the analysis performed on a Cobas 8000 modular analyzer (Roche, USA).
**Acute-phase response**
The acute-phase protein serum amyloid A3 (SAA3) was measured in the prepared serum (described above) utilizing a commercially available mouse SAA3 ELISA kit (Abcam, UK - ab157723) according to the manufacturer’s instructions.
**Tissue homogenization**
The liver samples were thawed on ice and homogenized in a homogenization buffer (RIPA lysis buffer supplemented with a complete protease inhibitor mixture and a protein phosphatase inhibitor) (Abcam, UK). For tissue homogenization, pre-filled bead mill tubes (Thermo Fisher, UK) and an evolution homogenizer was used (Percellys, France). The samples were thoroughly mixed and stored on ice for 10 min before centrifugation at 10000 g for 10 min. The supernatants were transferred to a fresh tube and centrifuged for a further 10 min. The protein concentrations were measured utilizing a Coomassie Plus Bradford assay reagent (Thermo Scientific, UK) and the supernatants stored at −80 °C until use.
**Liver cytokine levels**
The levels of Interleukin 10 (IL10), IL6, Monocyte Chemoattractant Protein-1 (MCP-1) and keratinocyte-derived chemokine (KC) and Tumor Necrosis Factor-α (TNF-α) was determined in the cell supernatant of homogenized liver tissue using R&D Systems magnetic Luminox® Performance Assay multiplex kits (bead-based immunoassay; Bio-techne, USA) according to the manufacturers instruction. The proteins were detected via a Bio-Rad Bio-Plex MAGPIX multiplex reader. The technology is based on analyte-specific antibodies pre-coated onto magnetic microplates embedded with fluorophores at set ratios for each unique microparticle region being recognized by the MAGPIX reader.
**Western blotting**
The changes in the levels of the two proteins of interest (CD36 and connexin 32) was quantified by Western blotting. In short, 40 μg of denatured protein from each sample was added to a 10% sodium dodecyl sulfate polyacrylamide gel electrophoresis (SDS-PAGE) gel (Thermo Fisher, UK). The electrophoresis products were transferred onto polyvinylidene difluoride (PVDF) membranes (Bio-Rad, USA), blocked with blotting-grade blocker (Abcam, UK) and 0.1% Tween 20 at 1 hr at room temperature. Subsequently, the membranes were incubated with primary anti-CD36 and anti-connexin 32 antibodies (1:1000) (Abcam, UK) over night and anti-IgG peroxidase-conjugated secondary antibody (1:5000) (Abcam, UK). In these experiments, GADPH was used as an internal control (Abcam, UK). The proteins were detected using the Clarity™ ECL Western substrate kit (Bio-Rad, USA) and visualized via a Fusion FX7 imager (Witec AG, Switzerland). Finally, immunoblotting signals were quantitated using Image Studio 4.0 (LI-COR Biotechnology, USA).
**Glutathione depletion**
The mouse liver and kidney samples were weighed, thawed on ice and homogenized in 2 ml of lysis buffer. The homogenized samples were incubated on ice for 10 min before being centrifuged at 10000 g for 5 min to generate lysates. Glutathione was quantified in the lysate by reaction of sulfhydryl groups with the fluorescent substrate o-phthalaldehyde (Sigma, UK) using a fluorimeter with an excitation wavelength of 350 nm and emission wavelength of 420 nm. The protocol was modified to include measurements of total glutathione by reducing oxidized glutathione dimers (GSSG) by addition of 7 μl of 10 mM sodium dithionite the samples and incubation at room temperature for 1 hr.
**Histological analysis of liver, kidneys, and spleen**
The tissue samples were trimmed, dehydrated and embedded in paraffin wax using a Shandon duplex tissue processor (SCE 0540). After embedding, the tissue was sectioned at a thickness of 5 μm using a BROMMA 2218 Historangae Microtome (LKB). The cut sections were attached to glass microscope slides and stained using hematoxylin and eosin (H&E) before examination using a Carl Zeiss Axiovert inverted microscope (Germany). Three random animals (five slides per animal) were chosen from each group for histological analysis.
**Statistical analysis**
The data are expressed as mean ± standard error of the mean (SEM). For statistical analysis, the detection of significant differences was calculated using a two-way full factorial ANOVA with post hoc multiple comparisons (Tukey) and a defined significance level of \( p < 0.05 \). All statistical analysis was carried out utilizing SPSS 26.
**Results**
**Particle characterization**
The main physicochemical characteristics for the Ag NPs used within this study has been reproduced from previously published work. Additionally and importantly, the Ag NPs were also characterized in the exposure medium. The hydrodynamic size distribution and zeta potential of the materials in PBS is presented in (Table 2). Of note, no endotoxin contamination (\( \leq 0.25 \text{ EU/ml} \)) was detected for the Ag NPs. The TEM images of the Ag NPs is provided as Supplementary information (Supplementary Figure 1).
**Bodyweight changes in the alcohol fed and/or Ag NP-exposed animals**
There was no significant change in the body weight of Ag NP or AgNO₃ exposed animals (data not shown). In addition, none of the animals showed any visible signs of discomfort during or subsequent to any of the treatments.
**Ag biokinetics and organ accumulation following different routes of exposure**
To investigate the tissue distribution and disposition of Ag NPs following exposure of the animals via the different routes of administration, the concentrations of silver in liver, kidneys and spleen were determined by HR-ICP-MS with the data presented in Table 3. Silver was below the limit of detection in the organs of mice in the control group. As expected, after a single intravenous dose of the NPs the highest concentrations of Ag was detected in the liver and spleen. In comparison, IT administration resulted in smaller quantities of Ag in all three target organs. Interestingly, very little Ag was detected in any of extra-pulmonary organs following oral exposure to the NPs.
| Table 3. Silver content in the liver, kidneys and spleen determined by HR-ICP-MS following exposure to 100 μg of NP per animal via three different routes of exposure (n = 3). |
|-----------------------------------------------|-----------------|-----------------|-----------------|
| Liver (μg/g wet tissue) | Kidneys (μg/g wet tissue) | Spleen (μg/g wet tissue) |
| PBS | <0.01 | <0.01 | <0.01 |
| IV | 36.4 ± 11.7 | 2.3 ± 1.7 | 37.5 ± 13.6 |
| IT | 1.9 ± 0.9 | 0.4 ± 0.3 | 0.2 ± 0.1 |
| Oral | <0.01 | 0.08\(^a\) | 0.09 ± 0.07 |
\(^a\)Ag only detected in one animal.
Hepatic inflammation
The analysis of liver-specific inflammation demonstrated significant alterations in the levels of Interleukin 10 (IL10), Monocyte Chemoattractant Protein-1 (MCP-1) and keratinocyte-derived chemokine (KC) in tissues from mice treated with Ag NPs in a dose-dependent manner (Figure 1). For these cytokines, the data demonstrated that exposure via IV route resulted in the most significant alterations as compared with the PBS treated control animals. This being said, smaller yet significant increases in levels of IL10 and MCP-1 were noted following IT exposure to the Ag NPs at the highest dose (Figure 1(c,d)). Moreover, a significant increase in the levels of IL6 and IL1β were noted following exposure to the NPs via the IV route (Figure 1(a,b)). Next, the data showed no changes in any of the cytokines investigated following oral exposure to the Ag NPs. Interestingly, one of the most notable changes in the overall hepatic cytokine response was an increase in the anti-inflammatory IL10 level following exposure to Ag NPs, suggesting an overall anti-inflammatory and immune-tolerant milieu of the healthy liver.
Acute phase response
The acute-phase response is a vital systemic response to disturbances to local and/or systemic
homeostasis caused by a variety of factors including infection, injury, trauma or immunological disorders. The most significant proportion of acute-phase response proteins are manufactured and secreted by the liver in response to cytokines IL1 and IL6. Here, SAA3 levels were measured as an indicator of such a response following the NP challenge. The data showed that the exposure to Ag NPs resulted in a dose-dependent increase in SAA3 levels in the appropriate animals, most notable for the IV route of exposure but also following IT exposure albeit at lower levels. There was no evidence of an SAA3 response following oral exposure at the specific doses and time-points measured (Figure 2).
**Glutathione depletion**
As a measure of oxidative stress, the levels of reduced and total glutathione content were measured in the liver and kidney homogenates (Figure 3). The data showed a clear decrease in both reduced GSH and total GSH in the livers of Ag NP-exposed animals at 24 hr at the highest dose of 100 μg per animal following IV exposure. Additionally, a small yet significant decrease in reduced GSH levels were noted following IT exposure. Finally, as one of the few positive observations relating to the oral route of exposure within the whole study, a small yet significant decrease in total GSH in the liver was noted following exposure to the highest dose of the NPs (Figure 3(a)).
Similarly, in the kidneys, the IV route of exposure resulted in the most evident decrease in the antioxidant levels in the organs (Figure 3(b)). Moreover, the IT exposure of Ag NPs at 100 μg per animal resulted in a small decrease in total GSH in the kidneys. The oral exposure to the Ag NPs at these doses and time point did not alter kidney antioxidants.
**Blood biochemistry**
The analysis of blood biomarkers showed some statistically significant changes with regards to AST, ALT and LDH following the acute exposure of the Ag NPs (Table 4). Most notably the IT exposure of the Ag NPs resulted in the biggest increase in ALT, AST and LDH in serum of expose animals which is indicative of liver-specific and general cellular damage. Following exposure via the IT route, the only significant change was in LDH levels, which was evident following exposure to the NPs at the highest dose. This finding suggests that IT exposure to Ag NPs does indeed result in cell death that might not necessarily be in organs that are the focus of this study. Interestingly, the oral exposure to the NPs did not result in any significant change in any of parameters investigated including LDH. This observation is important in corroborating the findings in other endpoints all suggesting that acute exposure to a relatively toxic NP via the oral route might not be associated with any meaningful adverse effects in locations other than the gastrointestinal tract.
**Liver biomarkers of damage**
In an effort to identify potentially novel NP-induced biomarkers of liver damage, the changes in the expression of target proteins (CD36 and connexin 32) in the organ was analyzed by Western blotting (Figure 4) (the rationale for this is fully explained in the discussion section). The data demonstrated that Cx32 levels were decreased significantly following IV exposure to Ag NPs at the highest dose. The acute IT or oral exposure to the Ag NPs at either dose did not result in a change in the levels of the investigated proteins as compared to the PBS exposed animals. The novel finding here are further strengthened by *in vitro* observation of changes in Cx32 in nanoparticulate exposed quadruple cell human primary hepatic spheroids. The western blot data did not show any changes in the levels of
Figure 3. Reduced GSH (GSH) and total glutathione (Total GSH) measured in the (a) liver and (b) kidneys of control and Ag NPs-exposed animals at 24-hr postexposure. The values depict mean ± SEM \((n = 5)\), significance indicated by *\(p < 0.05\) and **\(p < 0.005\).
Table 4. Blood biomarkers of liver and systemic toxicity assessed in the serum of control and Ag NP (25 µg or 100 µg/per animal) exposed animals sacrificed 24-hr post-treatment following IV, IT and oral routes of exposure.
| Biomarker | PBS | Low dose Ag NPs | High dose Ag NPs | AgNO₃ |
|-----------|-----------|-----------------|------------------|-----------|
| **IV** | | | | |
| ALT (U/l) | 27.1 ± 2.5| 26.8 ± 2.1 | 34.2 ± 1.8* | 43.5 ± 1.0** |
| AST (U/l) | 90.3 ± 15.1| 110.9 ± 8.4 | 187.5 ± 5.6** | 194.3 ± 10** |
| Albumin (g/l) | 12.3 ± 0.1| 12.4 ± 0.5 | 12.9 ± 0.3 | 13.1 ± 0.2 |
| Cholesterol (mmol/l) | 2.4 ± 0.1| 2.3 ± 0.1 | 2.4 ± 0.1 | 2.4 ± 0.1 |
| Triglycerides (mmol/l) | 0.7 ± 0.1| 0.7 ± 0.1 | 0.7 ± 0.1 | 0.6 ± 0.1 |
| LDH (U/l) | 645.2 ± 32.4| 598.5 ± 23.7 | 795.2 ± 33.6* | 745.8 ± 29.3* |
| **IT** | | | | |
| ALT (U/l) | 25.4 ± 4.3| 23.6 ± 1.2 | 25.5 ± 3.4 | 24.7 ± 4.3 |
| AST (U/l) | 83.8 ± 6.4| 90.6 ± 7.4 | 84.8 ± 9.5 | 100.6 ± 9.6 |
| Albumin (g/l) | 12.7 ± 0.4| 10.7 ± 1.6 | 13.6 ± 2.4 | 11.8 ± 0.6 |
| Cholesterol (mmol/l) | 2.2 ± 0.3| 2.1 ± 0.2 | 2.2 ± 0.2 | 2.0 ± 0.3 |
| Triglycerides (mmol/l) | 0.7 ± 0.2| 0.9 ± 0.1 | 0.7 ± 0.1 | 0.7 ± 0.2 |
| LDH (U/l) | 598.6 ± 39.9| 602.3 ± 11.8 | 645.8 ± 13.8* | 687.3 ± 47.2* |
| **Oral** | | | | |
| ALT (U/l) | 23.6 ± 3.1| 25.8 ± 1.8 | 26.6 ± 2.3 | 22.8 ± 1.7 |
| AST (U/l) | 76.8 ± 3.3| 80.3 ± 2.4 | 77.5 ± 2.1 | 73.7 ± 3.7 |
| Albumin (g/l) | 10.8 ± 0.4| 12.2 ± 0.26 | 11.8 ± 0.1 | 11.1 ± 0.1 |
| Cholesterol (mmol/l) | 2.1 ± 0.2| 2.2 ± 0.1 | 2.2 ± 0.1 | 2.2 ± 0.1 |
| Triglycerides (mmol/l) | 0.6 ± 0.1| 0.6 ± 0.1 | 0.7 ± 0.1 | 0.6 ± 0.1 |
| LDH (U/l) | 631.2 ± 22.8| 621.5 ± 46.9 | 640.2 ± 27.8 | 667.3 ± 66.2 |
The values depict mean ± SEM \((n = 5)\), significance indicated by *\(p < 0.05\) and **\(p < 0.005\). - \(n = 4\).
CD36 for either of doses or routes of exposure (data not shown).
**Histology**
The histopathological examination of the mice livers, kidneys and spleens revealed that exposure via the IV route resulted in the most notable pathological changes (Figure 5 and Tables 5–7). The exposure to the high dose of Ag NPs via the IV route resulted in comprehensive pathology in the liver manifested as numerous bi-nucleate hepatocytes, ballooning of hepatocytes, aggregation of inflammatory cells, necrotic hepatocytes, areas of necrosis, granuloma formation and the destruction of the liver plates (Figure 5(b)). The exposure via IT or oral routes resulted in very little histological change in the livers as compared to PBS control animals (Table 5). Overall, the examination of the histopathology of the kidneys showed very little change in the normal renal cortex and glomeruli structure. However, the exposure via the IV route to the highest dose of the NPs resulted in a mild influx of inflammatory cells (Table 6). The histopathological examination of the control spleen sections showed normal splenic structure with normal lymphoid follicles and sinuses with well-defined white pulp. The IV exposure to the Ag NPs at the
dose of 100 μg per animal resulted in minor changes, mostly visible as low–mild distorted lymphoid structures and detection of a few giant macrophages (Figure 5(f)). The histopathological changes in the spleens of oral and IT Ag NPs exposed animals were less noticeable (Table 7). Finally, it is important to state that the damage observed was not uniform across all regions of the lobes investigated and/or all the slides examined.
**Discussion**
It is now clear that NPs entering the blood stream will accumulate within the liver (Sadauskas et al. 2009), kidneys (i.e. Recordati et al. 2016) and the spleen (Tassinari et al. 2021). It has previously been shown that the Ag NPs have adverse effects on hepatic and renal cell lines/models *in vitro* (i.e. Gaiser et al. 2013; Kermanizadeh, Vranic, et al. 2013) and induce an acute response in the liver and kidneys *in vivo* (i.e. Kermanizadeh et al. 2017; Recordati et al. 2016). In this study, we demonstrate that IV administration of Ag NPs resulted in NP-induced liver-specific inflammation, anti-oxidant depletion and an acute-phase response from the organ. The histopathological examination and analysis of a novel organ specific and general blood bio-markers further corroborated NP-induced liver damage. The IV exposure at the dose of 100 μg per animal also showed mild renal and spleen toxicity in the exposed animals. Interestingly, the IT exposure of Ag NPs also resulted in significant alterations in a number of end-points investigated which will be discussed in detail in turn. However, the oral exposure of Ag NPs did not result in any changes that could be interpreted as toxicity to the examined organs.
In this study as expected, the tissue distribution and disposition of Ag NPs following acute exposure of the nanoparticles was clear in the target organs, with the liver and the spleen accumulating largest quantities of Ag. The IT administration of the NPs resulted in smaller quantities of Ag, compared to IV administration, in all three target organs (Table 3). Of note and crucial in this acute study, was the observation that very little Ag was detected in any of the extra-pulmonary organs following oral exposure to the NPs. Numerous previous studies have demonstrated accumulation of NPs in the liver and spleen following IV exposure for Ag NPs (Gaiser et al. 2013), Silica NPs (Tassinari et al. 2021) and TiO$_2$ NPs (Kreyleng et al. 2017). Moreover, acute IT administration of Ag NPs was shown to result in small quantities of materials reaching the liver (Gosens et al. 2015). In an interesting study from 2018, long-term low-dose exposure to CeO$_2$ and
Figure 5. The histopathological examination of H and E stained liver of mice exposed to (a) control (b) high dose NPs via the IV route with damage most evident by steatosis, vacuolar degeneration, inflammatory cell influx and hepatic necrosis; kidneys of mice exposed to (c) control (d) high-dose NPs via the IV route with small influx of immune cells and from spleen of mice exposed to (e) control (f) IV exposed to high-dose NPs resulting in observation in a number of giant macrophages.
TiO$_2$ NPs for 180 days via the IT route also resulted in accumulation of materials in liver, spleen, and kidneys, while the authors did not observe any absorption from the digestive tract to other organs following oral gavage of the same materials (Modrznyska et al. 2018).
The analysis of hepatic organ inflammatory cytokines showed significant alterations in the levels of
Table 5. The histological score of liver pathology from five slides from three random animals for each treatment group ranked from 0–5.
| IV | -PBS | Low Ag NP | High Ag NP |
|-------------|------|-----------|------------|
| Steatosis | 0, 1, 0 | 0, 0, 0 | 0, 0, 1 |
| Inflammation| 0, 0, 0 | 1, 0, 1 | 4, 4, 4 |
| Necrosis | 0, 0, 0 | 0, 0, 0 | 3, 1, 4 |
| IT | -PBS | Low Ag NP | High Ag NP |
|-------------|------|-----------|------------|
| Steatosis | 0, 0, 0 | 0, 0, 1 | 0, 0, 0 |
| Inflammation| 0, 0, 0 | 0, 0, 0 | 1, 0, 2 |
| Necrosis | 0, 0, 0 | 0, 0, 0 | 0, 0, 0 |
| Oral | -PBS | Low Ag NP | High Ag NP |
|-------------|------|-----------|------------|
| Steatosis | 1, 0, 0 | 1, 0, 1 | 0, 1, 0 |
| Inflammation| 0, 0, 1 | 0, 0, 1 | 0, 1, 0 |
| Necrosis | 0, 0, 0 | 0, 0, 0 | 0, 0, 0 |
Table 6. The histological score of kidney pathology from five slides from three random animals for each treatment group ranked from 0–5.
| IV | -PBS | Low Ag NP | High Ag NP |
|-------------|------|-----------|------------|
| Diminished and distorted glomeruli | 0, 0, 0 | 0, 0, 0 | 0, 0, 1 |
| Infiltration of inflammatory cells | 0, 0, 0 | 0, 0, 1 | 1, 1, 0 |
| Necrosis | 0, 0, 0 | 0, 0, 0 | 0, 0, 0 |
| IT | -PBS | Low Ag NP | High Ag NP |
|-------------|------|-----------|------------|
| Diminished and distorted glomeruli | 0, 0, 0 | 0, 0, 0 | 0, 0, 0 |
| Infiltration of inflammatory cells | 0, 0, 0 | 0, 0, 1 | 1, 1, 1 |
| Necrosis | 0, 0, 0 | 0, 0, 0 | 0, 0, 0 |
| Oral | -PBS | Low Ag NP | High Ag NP |
|-------------|------|-----------|------------|
| Diminished and distorted glomeruli | 0, 0, 0 | 0, 0, 0 | 0, 0, 0 |
| Infiltration of inflammatory cells | 0, 0, 0 | 0, 0, 1 | 1, 0, 0 |
| Necrosis | 0, 0, 0 | 0, 0, 0 | 0, 0, 0 |
Table 7. The histological score of spleen pathology from five slides from three random animals for each treatment group ranked from 0–5.
| IV | -PBS | Low Ag NPI | High Ag NP |
|-------------|------|------------|------------|
| Distorted lymphoid architecture | 0, 0, 0 | 0, 0, 0 | 2, 2, 2 |
| Diffuse white pulp | 0, 0, 0 | 1, 0, 1 | 2, 1, 2 |
| Granular leukocytes, and giant macrophages | 0, 0, 0 | 0, 0, 0 | 3, 3, 4 |
| Vacuolation of red pulp | 0, 0, 0 | 0, 0, 0 | 0, 0, 3 |
| IT | -PBS | Low Ag NPI | High Ag NP |
|-------------|------|------------|------------|
| Distorted lymphoid architecture | 0, 0, 0 | 0, 0, 0 | 0, 0, 0 |
| Diffuse white pulp | 0, 1, 0 | 0, 0, 1 | 1, 1, 1 |
| Granular leukocytes, and giant macrophages | 0, 0, 0 | 0, 1, 0 | 1, 0, 0 |
| Vacuolation of red pulp | 0, 0, 0 | 0, 0, 0 | 0, 0, 0 |
| Oral | -PBS | Low Ag NPI | High Ag NP |
|-------------|------|------------|------------|
| Distorted lymphoid architecture | 0, 0, 0 | 0, 0, 0 | 0, 0, 1 |
| Diffuse white pulp | 0, 0, 0 | 1, 0, 1 | 1, 1, 0 |
| Granular leukocytes, and giant macrophages | 0, 0, 0 | 0, 0, 0 | 1, 1, 0 |
| Vacuolation of red pulp | 0, 0, 0 | 0, 0, 0 | 0, 0, 0 |
IL10, MCP-1 and KC in liver tissue from mice treated with Ag NPs in a dose-dependent manner (Figure 1). For these cytokines, the data demonstrated that exposure via the IV route resulted in the most significant alterations compared to the negative control mice. Moreover, smaller yet significant increases in the level of IL10 and MCP-1 were noted following IT exposure of the Ag NPs at the highest dose. Next, a significant increase in the levels of IL6 and IL1β were noted following exposure of the NPs via the IV route. Notably, the data showed no changes in any of the cytokines investigated following oral exposure to the Ag NPs.
Of note, one of the most significant changes in the overall hepatic cytokine response was increases in the anti-inflammatory IL10 levels following exposure to Ag NPs suggesting at an overall anti-inflammatory and immune-tolerant milieu of the healthy liver. It is understood that IL10 acts as an antagonist against the pro-inflammatory cytokines emphasizing that tolerance might be favored over an inflammatory response as a consequence of the acute NP challenge *in vivo*. Interestingly, similar observations in the fine counter-balance between anti versus pro-inflammatory hepatic cytokines have also been noted in complex multi-*cellular* *in vitro* models of the organ (Kermanizadeh et al. 2019). It is now understood that Kupffer cells are very important in dictating the overall liver immunity against xenobiotics including gut originated antigens and are known to contribute to a cytokine storm which can further activate hepatic T cells, in turn promoting phagocytosis and additional inflammatory response in a positive feedback loop (Kubes and Jenne 2018). These cells are also actively involved in progression of liver disease (Koyama and Brenner 2017). However, it is hypothesized that Kupffer cells in a nondiseased liver are in a constant semi-activated state and are essential in the maintenance of tolerance to food antigens in everyday life and one of the main reasons why there is not an extensive immune response to eating food (Heymann et al. 2015). Hence, the liver offers a unique environment in which the resident hepatic macrophages can both initiate an immune response or play an active role in retaining an immuno-tolerant state (Heymann et al. 2015). The data here clearly demonstrate the complexities of hepatic inflammation and reiterates the limitation of assessing this endpoint *in vitro* where single hepatocyte cell lines and IL8 alone are often used as a surrogate and representative for inflammation in the organ *in vivo*.
Acute-phase proteins are a range of blood proteins predominately produced in the liver (Jain,
The acute-phase response is a vital component of the innate immune system, which can be triggered by different stress stimuli including but not limited to infection, inflammation and physical trauma. To date, over 200 acute-phase proteins have been identified (Eklund, Niemi, and Kovanen 2012). The biological activities of these proteins are extremely important and varied and described previously in detail (Grusy et al. 2005). Serum amyloid A is a highly conserved protein produced by the liver. The plasma SAA concentration begins to increase 3–6 hr after an inflammatory stimulus, peaks on day 3, and returns to baseline levels after day 4 (this states that the peak of this response was not detected in this study). During an acute inflammatory response, the liver dictates a significant proportion of its synthesis capacity into producing SAA, which in mice comprised 2% of the total hepatic protein production (Eklund, Niemi, and Kovanen 2012). Important to this study is recognition that SAA is extremely immunologically active and plays a vital role in the recruitment of macrophages and neutrophils (Saber et al. 2014). In our experiments, the exposure to Ag NPs resulted in a dose-dependent increase in SAA3 levels most notable for the IV route of exposure but also following IT at lower levels. There was no evidence of a response following oral exposure at the specific doses and time-point. Similar observations have been observed following acute IV exposure to a different Ag NPs (Kermanizadeh et al. 2017) and IT exposure of multi-walled carbon nanotubes (Poulsen, Saber, Mortensen, et al. 2015).
As a means of assessing NP-induced oxidative stress, the levels of reduced and total glutathione content were measured in liver and kidney homogenates (Figure 3). The data in this study, showed a decrease in both reduced GSH and total GSH in the livers of Ag NP-exposed animals at 24 hr at the highest dose of Ag NPs after IV exposure. Next, a small yet significant decrease in reduced GSH levels were noted following IT exposure. Finally, the oral route of exposure resulted in a small yet significant decrease in total GSH in the liver following exposure to the highest dose of the NPs. The anti-oxidant depletion data are very much in line with other end-points in establishing the ranking of the route of NP exposure being vital in the adverse effects observed in extra-pulmonary organs. In a healthy human adult, hepatocytes contain about 10% of the total human body pool of GSH (Loguercio and Federico 2003); therefore, in theory, the assessment of GSH could be a useful tool in assessing xenobiotic oxidative stress induced in the organ. This being said, it is important to state that the preservation of the redox balance is extremely complex and constantly is flux; hence, it is very difficult to identify an optimal time point for these measurements. It is conceivable that the assessment of GSH levels in the liver and kidneys a few hours before or after the 24-hr time point used within this study would have resulted in different outcomes. As a means of corroborating this point previous literature shows disparities in patterns of GSH depletion in the liver. As an example, the examination of antioxidant levels in the liver post IV administration of Ag NPs in rats had no significant effect in hepatic GSH levels 24 hr after exposure (Gaiser et al. 2013). However, the IT exposure to Ag NP resulted in a dose-dependent decrease in GSH levels in the liver of a mouse model (Gosens et al. 2015). Similarly, in the kidneys, the IV route of exposure resulted in the most evident decrease in the antioxidant levels in the organs. Moreover, the IT exposure to Ag NPs resulted in a small decrease in total GSH in the kidneys. The oral exposure to the Ag NPs at these doses and time-point did not alter kidney GSH levels. In a previous study on IV exposure of rats to 34 mg of AlCl$_3$/kg for 24 hr resulted in a clear decrease in reduced GSH in the kidneys in the exposed animals (Al Kahtani 2010). Elsewhere, acute 24 hr in vitro exposure of a kidney cell line to varying NPs have also resulted in decreased GSH levels in the exposed cells (Enea et al. 2020; Kermanizadeh, Vranic, et al. 2013).
In summary of blood biochemistry, the data showed statistically significant increases in the levels of AST, ALT and LDH following the acute exposure to the Ag NPs most notable for the IV route of exposure but also significant alterations in LDH levels following s the IT route. Collectively, these biomarkers are indicative of Ag NP-induced cell death with AST and ALT being liver specific and LDH as a general systemic indicator of cell damage. Interestingly, there was no changes in any of the functional and metabolic biomarkers (albumin, triglycerides and cholesterol). Once again, these observations strongly suggest that the route of
exposure is critical in governing extra-pulmonary NP-induced adverse effects. Previous IV exposure to two differently sized PEG modified gold NPs at a dose of 4 mg per animal over 28 days, resulted in changes in blood biochemistry indicative of liver damage (Zhang et al. 2011). Elsewhere, 5 day repeated oral exposure of mice at a dose of 1000 mg/kg of amorphous silica NPs did not cause changes in blood chemistry (Cabellos et al. 2020). As another example, the IT exposure to 800 μg/kg of ZnO NPs four times over a week did not result in changes in AST/ALT levels in the serum of exposed animals (Wang et al. 2017). In a subacute study in which rats were intravenously co-administered with Au and Ag NPs, no changes in blood chemistry (Lee et al. 2018) were found. The variations between the data presented here and those observed by Lee and colleagues could be explained by the different species used in the studies, and the important consideration that acute transient changes in biochemistry might or might not manifest or be detectable in organ toxicity at a single time point following long-term exposure to NPs.
It is generally accepted that it is not always possible to make direct or meaningful comparisons between *in vitro* and *in vivo* hepatic toxicological responses. This statement is equally valid for all xenobiotics including chemicals, drugs and particulates (discussed in detail in Kermanizadeh, Powell, and Stone 2020). Amongst numerous reasons for such differences is the clear absence of appropriate organ-specific biomarkers and toxicological end points that can be measured both *in vitro* and *in vivo*. In an attempt to address this issue, in this study the expression of two target proteins (CD36 and Cx32) were investigated in the homogenates of the Ag NP-exposed animals (these proteins were identified from a pilot study looking at a total of 15 potential candidate biomarkers (data not shown)).
Gap junctions are intercellular channels consisting of connexin proteins that directly connect the cytosol of coupled cells and allow rapid communication of cellular signals and act as a unique route for amplification of innate immunity. The hepatic gap junction Cx32, is readily expressed throughout the organ and is understood to be most highly distributed in the pericentral region. Several previous studies have demonstrated the crucial role of Cx32 gap junctions in injury in various models of liver disease (Guerra, Hadjihambi, and Jalan 2019; Luther et al. 2018; Willebroords et al. 2017). In this study, we show that Cx32 levels were decreased significantly following IV exposure to Ag NPs at the highest dose. The acute IT or oral exposure to the Ag NPs at either dose did not result in a change in the levels of the investigated proteins as compared to the PBS exposed animals. The novel findings here are further strengthened by *in vitro* observation of changes in Cx32 in nanoparticulate exposed quadruple cell human primary hepatic spheroids. Overall, the data within this study demonstrated Cx32 to be a promising candidate as a meaningful biomarker of NP-mediated liver damage which is quantifiable both *in vitro* and *in vivo* following exposure to physiologically relevant doses. In time, this will hopefully allow for more meaningful *in vitro* and *in vivo* data comparisons to be made which in turn will bridge the vast gap between data generated from *in vitro* and animal models and for better linking of the two different testing strategies. It is very important to state that despite early promise this biomarker still requires comprehensive validation in order to better understand the nature of the response, its mechanism and consequences. In order to address this, we have now analyzed over 200 pieces of liver tissue from animals exposed to a panel of NPs acutely and chronically via varying route of exposure at a range of doses (manuscript in preparation).
CD36 is a member of the class B scavenger receptor family with the ability to bind oxidized low-density lipoprotein (LDL). CD36 expression is relatively low in normal hepatocytes, but has been shown to increase in lipid-rich diets, hepatic steatosis, and nonalcoholic fatty liver disease (NAFLD) in animal models (Wilson et al. 2016). The western blot data here did not show any changes in the levels of CD36 for either Ag NP doses or any of the routes of exposure. Despite some encouraging *in vitro* observations, the reliability, and/or suitability of this protein as a meaningful biomarker of NP-induced hepatic injury is questionable (as mentioned above further investigations are in progress).
Finally, the histopathological examination of the mice livers, kidneys, and spleens revealed that exposure via the IV route resulted in the most notable pathological changes. The exposure to the high dose of Ag NPs via the IV route resulted in
comprehensive hepatic pathology manifested most notably as necrosis, changes in the structure of the organ and inflammatory cell infiltration. The degenerative changes in the Ag NP treated groups were observed in all zones of the hepatic lobules, but were not uniform across all regions of the lobes investigated and slices examined. The exposure via IT or oral routes resulted in almost no histopathological change in the livers as compared to PBS control mice. Overall, the examination of the histopathology of the kidneys only showed a mild influx of inflammatory cells following IV administration of NPs. In the spleen, the IV exposure of the Ag NPs at the highest dose resulted in low distortion in the lymphoid structure as well the detection of a number of giant macrophages. There were no histopathological changes from the controls in the spleens of oral and IT Ag NP-exposed animals. In the past, Ag NP exposure in mice has also shown varying degrees of similar hepatic histological pathologies (Ansari et al. 2016; Patolla, Hackett, and Tchounwou 2015; Recordati et al. 2016). Elsewhere, the oral daily treatment of Ag NPs for three weeks at a dose of 50 mg/kg in rats resulted in increased number of abnormal glomeruli and necrotic tubules (Abdel-Wahhab et al. 2019). In a 2016 study, a single IV exposure to Ag NPs at a dose of 10 mg/kg resulted in severe hyperemia of the red pulp in the spleen of exposed animals (Recordati et al. 2016).
Ag NPs dispersed in any aqueous medium will release a degree of soluble Ag ions. Therefore, it might be important to distinguish between the toxic effects of Ag NPs and the dissolved Ag ion content. In this study, we included a AgNO₃ exposure group which was equivalent to 80% of NP dissolution. This being said, it is important to mention that it is almost impossible to state unequivocally what aspects of adverse effect observed in the organs of interest were attributed to the Ag ions, the Ag NPs or a contribution from both (which is most likely scenario at the 24-hr end-point).
Despite the many insights offered in this study and the comprehensive toxicological assessment in the extra-pulmonary organs, there is a major limitation in the study design that needs to be mentioned and considered in the interpretation of findings. In all reality, any realistic NP-induced adverse effects to extra-pulmonary organs in man would only occur following long-term exposure (with the exception of intentional IV administration of nanomedicines). Hence in an ideal *in vivo* hazard assessment, studies should to be carried out with low intermittent repeated dosing and to incorporate recovery periods to allow for the assessment of clearance of NPs, manifestation of adverse effects and potential for organ recovery to be identified. That being said, this study is valuable in allowing for a direct comparison to be made between the different routes of toxicity and how this important variable affects the toxicity observed extra-pulmonary tissues. Any upcoming studies might also investigate a wider range of time points post material exposure to identify the optimum peak for certain endpoints (e.g. acute-phase response, cytokine production). It is also important to state that this is the first of two independent studies investigating NP-induced extra-pulmonary toxicity following different routes of exposure. In this paper, Ag NPs was selected as a high solubility material, while TiO₂ is utilized in the second study as a low solubility NP (manuscript in preparation).
**Conclusions**
In this study, we carried out a comprehensive toxicity profiling of Ag NP-induced adverse effects in liver, kidneys, and spleen following acute exposure of the materials at identical doses via IV, IT and oral administration. The data clearly demonstrated that bioaccumulation and toxicity of the particles were most significant following IV, followed by IT. However, the oral exposure of the nanoparticles did not result in any changes that could be interpreted as toxicity in any of the organs of interest within confines of this investigation. The finding of this study clearly indicates the importance of the route of exposure in hazard assessment for NPs. Finally, we identify CX32 as a novel biomarker of NP-mediated hepatic damage which is quantifiable both (*in vitro*) and *in vivo* following exposure of physiologically relevant doses.
**Acknowledgements**
The authors are grateful to colleagues University of Derby, National Research Centre for Working Environment and Heriot Watt University. A special mention for Michael Guldbrandsen for assisting with animal experiments.
Disclosure statement
No potential conflict of interest was reported by the author(s).
Funding
This work has been financially supported by SULSA and H2020 funded project PATROLS [Grant code – 760813]. NRJ received funding from FFIKA, Focused Research Effort on Chemicals in the Working Environment, from the Danish Government.
ORCID
Ali Kermanizadeh [ID](http://orcid.org/0000-0002-2989-9078)
Nicklas R. Jacobsen [ID](http://orcid.org/0000-0002-2504-2229)
References
Abdel-Wahhab, M. A., H. M. S. Ahmed, A. A. El-Nekeety, S. H. Abdel-Azim, H. A. Sharaf, M. S. Abdel-Aziz, M. F. Sallam, and F. A. Mannaa. 2019. “Chenopodium Murale Essential Oil Alleviates the Genotoxicity and Oxidative Stress of Silver Nanoparticles in the Rat Kidney.” *Egyptian Journal of Chemistry* 0 (0): 0–2646. doi:10.21608/ejchem.2019.18341.2128.
Ahamed, M., M. S. Al Salhi, and M. K. J. Siddiqui. 2010. “Silver Nanoparticle Applications and Human Health.” *Clinica Chimica Acta; International Journal of Clinical Chemistry* 411 (23–24): 1841–1848. doi:10.1016/j.cca.2010.08.016.
Al Kahntani, M. A. 2010. “Renal Damage Mediated by Oxidative Stress in Mice Treated with Aluminum Chloride: Protective Effects of Taurine.” *Journal of Biological Sciences* 10 (7): 584–595. doi:10.3923/jbs.2010.584.595.
Ansari, M. A., A. K. Shukla, M. Oves, and H. M. Khan. 2016. “Electron Microscopic Ultrastructural Study on the Toxicological Effects of AgNPs on the Liver, Kidney and Spleen Tissues of Albino Mice.” *Environmental Toxicology and Pharmacology* 44: 30–43. doi:10.1016/j.etap.2016.04.007.
Balasubramanian, S. K., J. Jittiwat, J. Manikandan, C. N. Ong, L. E. Yu, and W. Y. Ong. 2010. “Biodistribution of Gold Nanoparticles and Gene Expression Changes in the Liver and Spleen after Intravenous Administration in Rats.” *Biomaterials* 31 (8): 2034–2042. doi:10.1016/j.biomaterials.2009.11.079.
Cabellos, J., I. Gimeno-Benito, J. Catalan, H. K. Lindberg, G. Vales, E. Fernandez-Rosas, R. Ghemis, et al. 2020. “Short-Term Oral Administration of Non-Porous and Mesoporous Silica Did Not Induce Local or Systemic Toxicity in Mice.” *Nanotoxicology* 14 (10): 1324–1341. doi:10.1080/17435390.2020.1818235.
Eklund, K. K., K. Niemi, and P. T. Kovanen. 2012. “Immune Functions of Serum Amyloid A.” *Critical Reviews in Immunology* 32 (4): 335–348. doi:10.1615/critrevimmunol.v32.i4.40.
Enea, M., E. Pereira, M. P. de Almeida, A. M. Araujo, M. D. Bastos, and H. Carmo. 2020. “Gold Nanoparticles Induce Oxidative Stress and Apoptosis in Human Kidney Cells.” *Nanomaterials* 10 (5): 995. doi:10.3390/nano10050995.
Gaiser, B. K., S. Hirn, A. Kermanizadeh, N. Kanase, K. Fytianos, A. Wenk, N. Haberl, A. Brunelli, W. G. Kreyling, and V. Stone. 2013. “Effects of Silver Nanoparticles on the Liver and Hepatocytes in Vitro.” *Toxicological Sciences* 131 (2): 537–547. doi:10.1093/toxsci/kfs306.
Geiser, M., and W. G. Kreyling. 2010. “Deposition and Biokinetics of Inhaled nanoparticles.” *Particle and Fibre Toxicology* 7: 2. doi:10.1186/1743-8977-7-2.
Geraets, L., A. G. Oomen, P. Krystek, N. R. Jacobsen, H. Wallin, M. Laurentie, H. W. Verhaeren, E. F. Brandon, and W. H. de Jong. 2014. “Tissue Distribution and Elimination after Oral and Intravenous Administration of Different Titanium Dioxide Nanoparticles in Rats.” *Particle and Fibre Toxicology* 11: 30. doi:10.1186/1743-8977-11-30.
Gosens, I., A. Kermanizadeh, N. R. Jacobsen, A. G. Lenz, B. Bokkers, W. H. de Jong, P. Krystek, et al. 2015. “Comparative Hazard Identification by a Single Dose Lung Exposure of Zinc Oxide and Silver Nanomaterials in Mice.” *PLOS One* 10 (5): e0126934. doi:10.1371/journal.pone.0126934.
Gruys, E., M. J. M. Toussaint, T. A. Niewold, and S. J. Koopmans. 2005. “Acute Phase Reaction and Acute Phase Proteins.” *Journal of Zhejiang University. Science. B* 6 (11): 1045–1056. doi:10.1631/jzus.2005.B1045.
Guerra, M. H., A. Hadjihamba, and R. Jalan. 2019. “Gap Junctions in Liver Disease: Implications for Pathogenesis and Therapy.” *Journal of Hepatology* 70 (4): 759–772. doi:10.1016/j.jhep.2018.12.023.
Hadrup, N., and H. R. Lam. 2014. “Oral Toxicity of Silver Ions, Silver Nanoparticles and Colloidal Silver-A Review.” *Regulatory Toxicology and Pharmacology* 68 (1): 1–7. doi:10.1016/j.yrtph.2013.11.002.
Hadrup, N., A. K. Sharma, K. Loeschner, and N. R. Jacobsen. 2020. “Pulmonary Toxicity of Silver Vapours, Nanoparticles and Fine Dusts: A Review.” *Regulatory Toxicology and Pharmacology* 115: 104690.
Hadrup, N., V. Zhernovkov, N. R. Jacobsen, C. Voss, M. Strunz, M. Ansari, H. B. Schiller, et al. 2020. “Acute Phase Response as a Biological Mechanism-of-Action of NanoParticle-Induced Cardiovascular Disease.” *Small* 16(21): e1907476. doi:10.1002/smll.201907476.
Heymann, F., J. Peusquens, I. Ludwig-Portugall, M. Kohlhepp, C. Ergen, P. Niemietz, C. Martin, et al. 2015. “Liver Inflammation Abrogates Immunological Tolerance Induced by Kupffer cells.” *Hepatology* 62 (1): 279–291. doi:10.1002/hep.27793.
Huang, X. Q., and M. Tang. 2021. “Review of Gut Nanotoxicology in Mammals: exposure, Transformation, Distribution and Toxicity.” *Science of the Total Environment* 773: 145078. doi:10.1016/j.scitotenv.2021.145078.
Jacobsen, N. R., P. Møller, P. A. Clausen, A. T. Saber, C. Micheelletti, K. A. Jensen, H. Wallin, and U. Vogel. 2017. “Biodistribution of Carbon Nanotubes in Animal Models.” *Basic and Clinical Pharmacology and Toxicology* 121: 30–43. doi:10.1111/bcpt.12705.
Jain, S., V. Gautam, and S. Naseem. 2011. “Acute-Phase Proteins: As Diagnostic Tool.” *Journal of Pharmacy and Bioallied Sciences* 3 (1): 118–127. doi:10.4103/0975-7406.76489.
Karakuş, C. O., E. Bilgi, and D. A. Winkler. 2021. “Biomedical Nanomaterials: Applications, Toxicological Concerns, and Regulatory Needs.” *Nanotoxicology* 15(3): 331–351. doi:10.1080/17435390.2020.1860265.
Kermanizadeh, A., D. Ballhary, H. Wallin, S. Loft, and P. Møller. 2015. “Nanomaterial Translocation-the Biokinetics, Tissue Accumulation, Toxicity and Fate of Materials in Secondary Organs-A Review.” *Critical Reviews in Toxicology* 45(10): 837–872. doi:10.3109/10408444.2015.1058747.
Kermanizadeh, A., T. Berthing, E. Guzniczak, M. Wheelendon, G. Whyte, U. Vogel, W. Moritz, and V. Stone. 2019. “Assessment of Nanomaterial-induced Hepatotoxicity using a 3D Human Primary Multi-cellular Microtissue Exposed Repeatedly Over 21 Days – The Suitability of the *In vitro* System as an *In vivo* Surrogate.” *Particle and Fibre Toxicology* 16 (1): 42. doi:10.1186/s12989-019-0326-0.
Kermanizadeh, A., N. R. Jacobsen, F. Murphy, L. Powell, L. Parry, H. Zhang, and P. Møller. 2020. “A Review of the Current State of Nanomedicines for Targeting and Treatment of Cancers – Achievements and Future Challenges.” *Advanced Therapeutics* 4 (2): 2000186. doi:10.1002/adtp.202000186.
Kermanizadeh, A., N. R. Jacobsen, M. Roursgaard, S. Loft, and P. Møller. 2017. “Hepatic Hazard Assessment of Silver Nanoparticle Exposure in Healthy and Chronically Alcohol Fed Mice.” *Toxicological Sciences* 158 (1): 176–187. doi:10.1093/toxsci/kfx080.
Kermanizadeh, A., G. Pojana, B. K. Gaiser, R. Birkedal, D. Bilančiová, H. Wallin, K. A. Jensen, et al. 2013. “In Vitro Assessment of Engineered Nanomaterials Using C3A Cells: Cytotoxicity, Pro-Inflammatory Cytokines and Function Markers.” *Nanotoxicology* 7 (3): 301–313. doi:10.3109/17435390.2011.653416.
Kermanizadeh, A., L. G. Powell, and V. Stone. 2020. “A Review of Hepatic Nanotoxicology - Summation of Recent Findings and Considerations for the Next Generation of Study Designs.” *Journal of Toxicology and Environmental Health, Part B* 23 (4): 137–176. doi:10.1080/10973404.2020.1751756.
Kermanizadeh, A., S. Vranic, S. Boland, K. Moreau, A. B. Squiban, B. K. Gaiser, L. A. Andrzejczuk, and V. Stone. 2013. “An In Vitro Assessment of Panel of Engineered Nanomaterials Using a Human Renal Cell Line: Cytotoxicity, Pro-Inflammatory Response, Oxidative Stress and Genotoxicity.” *BMC Nephrology* 14 (1): 96. doi:10.1186/1471-2369-14-96.
Koyama, Y., and D. A. Brenner. 2017. “Liver Inflammation and Fibrosis.” *The Journal of Clinical Investigation* 127 (1): 55–64. doi:10.1172/JCI88881.
Kreyling, W. G., U. Holzwarth, N. Haberi, J. Kozempel, S. Hirn, A. Wenk, C. Schleh, et al. 2017. “Quantitative Biokinetics of Titanium Dioxide Nanoparticles after Intravenous Injection in Rats: Part 1.” *Nanotoxicology* 11 (4): 434–442. doi:10.1080/17435390.2017.1306892.
Kubes, P., and C. Jenne. 2018. “Immune Responses in the Liver.” *Annual Review of Immunology* 36: 247–277. doi:10.1146/annurev-immunol-051116-052415.
Kyjovska, Z. O., N. R. Jacobsen, A. T. Saber, S. Bengtson, P. Jackson, H. Wallin, and U. Vogel. 2015. “DNA Strand Breaks, Acute Phase Response and Inflammation following Pulmonary Exposure by Instillation to the Diesel Exhaust Particle NIST1650b in Mice.” *Mutagenesis* 30 (4): 499–507. doi:10.1093/mutage/gev009.
Lagopati, N., K. Evangelou, P. Falaras, E.-P. C. Tsilibary, P. V. S. Vasileiou, S. Havaki, A. Angelopoulou, E. A. Pavlatou, and V. G. Gourgoulis. 2021. “Nanomedicine: Photo-Activated Nanostructured Titanium Dioxide, as a Promising Anticancer Agent.” *Pharmacology and Therapeutics* 222: 107795. doi:10.1016/j.pharmthera.2020.107795.
Lee, J. H., M. Gulumian, E. M. Faustman, T. Workman, K. Jeon, and I. J. Yu. 2018. “Blood Biochemical and Hematological Study after Subacute Intravenous Injection of Gold and Silver Nanoparticles and Coadministered Gold and Silver Nanoparticles of Similar Sizes.” *Biomed Research International* 2018: 1–10. doi:10.1155/2018/8460910.
Lee, J. H., Y. S. Kim, K. S. Song, H. R. Ryu, J. H. Sung, H. M. Park, N. W. Song, et al. 2013. “Biopersistence of Silver Nanoparticles in Tissues from Sprague-Dawley Rats.” *Particle and Fibre Toxicology* 10: 36. doi:10.1186/1743-8977-10-36.
Lipka, J., M. Semmler-Behnke, R. A. Sperling, A. Wenk, S. Takenaka, C. Schleh, T. Kissel, W. J. Parak, and W. G. Kreyling. 2010. “Biodistribution of PEG-Modified Gold Nanoparticles following Intratracheal Instillation and Intravenous Injection.” *Biomaterials* 31(25): 6574–6581. doi:10.1016/j.biomaterials.2010.05.009.
Loguerio, C., and A. Federico. 2003. “Oxidative Stress in Viral and Alcoholic Hepatitis.” *Free Radical Biology and Medicine* 34 (1): 1–10. doi:10.1016/S0891-5849(02)01167-X.
Luther, J., M. K. Gala, N. Borren, R. Masia, R. P. Goodman, I. H. Moeller, E. Di Giacomo, et al. 2018. “Hepatic Connexin 32 Associates with Nonalcoholic Fatty Liver Disease Severity.” *Hepatology Communications* 2 (7): 786–797. doi:10.1002/hep4.1179.
Modrzynska, J., T. Berthing, G. Ravn-Haren, K. Kling, A. Mortensen, R. R. Rasmussen, E. H. Larsen, A. T. Saber, U. Vogel, and K. Loeschner. 2018. “In Vivo-Induced Size Transformation of Cerium Oxide Nanoparticles in Both Lung and Liver Does Not Affect Long-Term Hepatic Accumulation following Pulmonary Exposure.” *PLOS One* 13 (8): e0202477. doi:10.1371/journal.pone.0202477.
Patolla, A. K., D. Hackett, and P. B. Tchounwou. 2015. “Silver Nanoparticle-Induced Oxidative Stress-Dependent Toxicity
in Sprague-Dawley Rats.” *Molecular and Cellular Biochemistry* 399 (1–2): 257–268. doi:10.1007/s11010-014-2252-7.
Poulsen, S. S., A. T. Saber, A. Mortensen, J. Szarek, D. Wu, A. Williams, O. Andersen, et al. 2015. “Changes in Cholesterol Homeostasis and Acute Phase Response Link Pulmonary Exposure to Multi-Walled Carbon Nanotubes to Risk of Cardiovascular Disease.” *Toxicology and Applied Pharmacology* 283 (3): 210–222. doi:10.1016/j.taap.2015.01.011.
Poulsen, S. S., A. T. Saber, A. Williams, A. Williams, O. Andersen, C. Kobler, R. Alturi, et al. 2015. “MWCNTs of Different Physicochemical Properties Cause Similar Inflammatory Responses, but Differences in Transcriptional and Histological Markers of Fibrosis in Mouse Lungs.” *Toxicology and Applied Pharmacology* 284 (1): 16–32. doi:10.1016/j.taap.2014.12.011.
Radwan, I. M., P. M. Potter, D. D. Dionysiou, and S. R. Al-Abed. 2021. “Silver Nanoparticle Interactions with Surfactant Based Household Surface Cleaners.” *Environmental Engineering Science* 38(6): 481–488. doi:10.1089/ees.2020.0160.
Recordati, C., M. De Maglie, S. Bianchessi, S. Argentiere, C. Cella, S. Mattiello, F. Cubadda, et al. 2016. “Tissue Distribution and Acute Toxicity of Silver after Single Intravenous Administration in Mice: Nano-Specific and Size-Dependent Effects.” *Particle and Fibre Toxicology* 13: 12. doi:10.1186/s12989-016-0124-x.
Saber, A. T., N. R. Jacobsen, P. Jackson, S. S. Poulsen, Z. O. Kiyovska, S. Halappanavar, C. L. Yauk, H. Wallin, and U. Vogel. 2014. “Particle-Induced Pulmonary Acute Phase Response May be the Causal Link Between Particle Inhalation and Cardiovascular Disease.” *Wiley Interdisciplinary Reviews. Nanomedicine and Nanobiotechnology* 6 (6): 517–531. doi:10.1002/wnm.1279.
Sadauskas, E., N. R. Jacobsen, G. Danscher, M. Stoltenberg, U. Vogel, A. Larsen, W. Kreyling, and H. Wallin. 2009. “Bio-Distribution of Gold Nanoparticles in Mouse Lung Following Intratracheal Instillation.” *Chemistry Central Journal* 3: 16.
Semmler-Behnke, M., K. G. Wolfgang, J. Lipka, S. Fertsch, A. Wenk, S. Takeneka, G. Schmid, and W. Brandau. 2008. “Biodistribution of 1.4- and 18-nm Gold Particles in Rats.” *Small* 4(12):2108–2111. doi:10.1002/smll.200800922.
Tassinari, R., A. Martinelli, M. Valeri, and F. Maranghi. 2021. “Amorphous Silica Nanoparticles Induced Spleen and Liver Toxicity after Acute Intravenous Exposure in Male and Female Rats.” *Toxicology and Industrial Health* 37 (6): 328–335. doi:10.1177/0748237211010579.
Wang, D. J., H. B. Li, Z. H. Liu, J. Y. Zhou, and T. L. Zhang. 2017. “Acute Toxicological Effects of Zinc Oxide Nanoparticles in Mice after Intratracheal Instillation.” *International Journal of Occupational and Environmental Health* 23 (1): 11–19. doi:10.1080/10773525.2016.1278510.
Willebroords, J., B. Cogliati, I. V. A. Pereira, T. C. da Silva, S. Crespo Yanguas, M. Maes, V. M. Govoni, et al. 2017. “Inhibition of Connexin Hemichannels Alleviates Non-Alcoholic Steatohepatitis in Mice.” *Scientific Reports* 7 (1): 8268. doi:10.1038/s41598-017-08583-w.
Wilson, C. G., J. L. Tran, D. M. Erion, N. B. Vera, M. Febbraio, and E. J. Weiss. 2016. “Hepatocyte-Specific Disruption of CD36 Attenuates Fatty Liver and Improves Insulin Sensitivity in HFD-Fed Mice.” *Endocrinology* 157 (2): 570–585. doi:10.1210/en.2015-1866.
Zhang, X. D., D. Wu, X. Shen, P. X. Liu, N. Yang, B. Zhao, H. Zhang, Y. M. Sun, L. A. Zhang, and F. Y. Fan. 2011. “Size-Dependent *In Vivo* Toxicity of PEG-Coated Gold Nanoparticles.” *International Journal of Nanomedicine* 6: 2071–2081. doi:10.2147/IJN.S21657.
|
Open Archive Toulouse Archive Ouverte (OATAO)
OATAO is an open access repository that collects the work of Toulouse researchers and makes it freely available over the web where possible.
This is an author-deposited version published in: http://oatao.univ-toulouse.fr/
Eprints ID: 4947
To link to this article: DOI: 10.1016/j.memsci.2011.06.004
URL : http://dx.doi.org/10.1016/j.memsci.2011.06.004
To cite this version: Braek, Etienne and Alliet-Gaubert, Marion and Scherrite, Sylvie and Albasi, Claire Aeration and hydrodynamics in submerged membrane bioreactors. (2011) Journal of Membrane Science, 379 . pp.1-18. ISSN 0376-7388
Any correspondence concerning this service should be sent to the repository administrator: email@example.com
Aeration and hydrodynamics in submerged membrane bioreactors
Etienne Braak\textsuperscript{a,*}, Marion Alliet\textsuperscript{a}, Sylvie Schetrite\textsuperscript{a}, Claire Albasi\textsuperscript{a,b}
\textsuperscript{a} Université de Toulouse, INPT, UPS, Laboratoire de Génie Chimique, 4 Allée Émile Monso, F-31030 Toulouse, France
\textsuperscript{b} CNRS, Laboratoire de Génie Chimique, F-31030 Toulouse, France
\textbf{A B S T R A C T}
Membrane bioreactor (MBR) is already a well-developed wastewater treatment process for both municipal and industrial applications. Nonetheless, membrane fouling remains a significant problem for its wider development. In the case of submerged membrane bioreactors (SMBRs), one of the most efficient strategies to limit fouling is the use of a gas/liquid two-phase flow to enhance the mass transfer. However, the effect of aeration still remains incompletely understood. The complexity of flows and of the nature of activated sludge makes a theoretical approach difficult. Aeration is the source of a large part of the operating costs in most industrial scale plants and its optimization is a necessity to make the process really efficient. This paper first deals with hydrodynamics in MBRs, then it reviews the parameters of aeration and their impact on filtration performance. Finally, the effects of aeration mechanisms on biological media are described.
\textbf{Keywords:}
Submerged membrane bioreactor
Fouling
Hydrodynamics
Aeration
Energy saving
\textbf{Contents}
0. Introduction .................................................................................................................. 2
1. Filtration hydrodynamics ............................................................................................... 2
1.1. Flux heterogeneity ................................................................................................... 3
1.2. Packing density ...................................................................................................... 3
1.3. Filtration sequencing, backwash and relaxation .................................................... 4
1.4. Aeration and filtration hydrodynamics ..................................................................... 5
2. Global effect of aeration on fouling .............................................................................. 6
2.1. Characteristic parameters ....................................................................................... 6
2.2. Aeration homogeneity and design .......................................................................... 7
2.3. Air sparging efficiency: influence of airflow rate .................................................... 8
2.4. Bulbling .................................................................................................................. 9
2.4.1. Size of nozzle and bubbles ............................................................................... 9
2.4.2. Frequency ....................................................................................................... 10
2.5. Sequencing of aeration .......................................................................................... 11
2.6. Conclusion on global effect of aeration .................................................................. 11
3. Local phenomena induced by the aeration .................................................................. 11
3.1. Turbulence and back-transport ............................................................................... 12
3.2. Particle movement: amplitude and effect of looseness ......................................... 12
3.3. Aeration shear stress .............................................................................................. 13
3.3.1. Shear stress on membrane surface .................................................................. 13
3.3.2. Shear stress effect on sludge fractions ............................................................ 14
3.3.3. Shear stress effect on extracellular polymeric substances ............................... 15
3.4. Conclusion on local phenomena induced by the aeration ..................................... 15
4. Conclusion .................................................................................................................... 16
References ......................................................................................................................... 17
* Corresponding author. Tel.: +33 5 34323628; fax: +33 5 34323697.
E-mail address: etienne.braak@enslactif (E. Braak).
0. Introduction
MBR is a wastewater treatment process which combines biological treatment and physical separation by membrane filtration in one step only. It has numerous advantages over the conventional activated sludge process (CASP), i.e., more constant permeate quality, independent control of solid and hydraulic retention times, operation at higher mixed liquor suspended solids concentration and most of the time sludge production reduction [1]. This process has generated a real scientific interest and more than 800 scientific articles dealing with MBRs for wastewater treatment have been published between 1997 and 2007 [2]. MBR process is more complex than conventional ones, needing membrane maintenance and higher capital outlay for equipment while also having higher operating costs. Nevertheless MBR technology has seen strong growth over recent years due to the good quality of the produced water. The global market is expected to reach $3.5 billion by 2016, up from $2.4 billion in 2011 and $880 million by 2012 [3]. Legjean and Huisjes [4] studied the evolution of the European market until 2005 and found a non-negligible increase in the number of installations, particularly since 2002. In 2005, although the municipal sector was made up of fewer installations, it represented about five times the surface area of the industrial sector and consequently generated the largest part of the market. This is related to the viability of large municipal plants owing to the successful introduction and commercialization of the immersed configuration (SMBR, submerged membrane bioreactors). Similar trends are observed on the Chinese market [5]. However, one of the main drawbacks regarding the widespread use of MBRs is membrane fouling. This is one of the key factors in the development of this process, and the number of publications linked to this topic has increased rapidly (Fig. 1). The other key point is probably membrane material: membrane-module costs, and consequently capital costs, have significantly decreased over the last years. Given the great variety of membrane materials and the widespread use of MBR, interactions between membrane materials and the pollution or sludge constituents are numerous, leading to research topics on fouling-reducing membranes material.
The effects of membrane materials and characteristics as well as those of sludge and operating parameters on fouling have recently been reviewed [6–8].
Besides controlling and optimizing these parameters, the management of hydrodynamic conditions in MBRs may be a solution to limit fouling. It has already been investigated with the use of gas bubbling which is now well known to improve filtration performance. However aeration can require a great proportion of the energy used to run the process, particularly in SMBRs [9,10]. The latter reviews mentioned above [6–8] briefly tackled the issue of hydrodynamics and aeration in MBRs but did not focus on it. The use of gas bubbling to enhance the membrane process was the subject of a previous review by Cui et al. [11]. Some improvements have been made since its publication. For instance, the local characterization of two-phase flow has been made more accurate by the development of techniques such as computational fluid dynamics (CFD) or particle image velocimetry (PIV), so that previous results should be completed.
The present paper follows Cui et al. [11] work. It focuses on hydrodynamic conditions and the use of air sparging in the particular case of SMBRs. The effect of hydrodynamics in SMBRs is reminded, including design considerations such as fibre size or packing density. The effect of aeration through operational parameters is then reviewed. Considering hydrodynamic issues, the reported conclusions may be applied to any other submerged filtration systems, such as drinking water treatment processes. Finally, the paper concludes the explanation of the effect of hydrodynamic operational parameters on fouling, based upon the study of local-scale phenomena such as fibre movements and the influence of shear induced by two-phase flows.
1. Filtration hydrodynamics
Filtration flux has often been reported as the main parameter which controls membrane performance [12–14]. The best way to manage flows to limit fouling is not obvious and several concepts have been created and improved on. They have already been reviewed [15,16].
Fouling mechanisms are usually described in three stages for constant flux operation mode [6,17] which can be seen in Fig. 2:
- A fast but short rise in trans membrane pressure (TMP): conditioning fouling. Strong interactions, among which adsorption, between the membrane surface and colloids, including EPS, cause initial fouling and pore blockage.
- A long period during which TMP increases slightly: slow, steady fouling. The particles settle on the membrane surface and form the cake layer. The duration of the second step, or sustainability time, depends on the permeate flux [18] (Fig. 3).
- A very strong rise of TMP: TMP jump. During the previous step permeability is not much affected but fouling is not uniform. Some areas suffer stronger fouling because of flux heterogeneities along the membranes. This is a self-accelerating phenomenon, which leads to exponential fouling. TMP jump could also be induced by a sudden change in the biofilm developed in the membrane [19].
Hydrodynamics homogeneity appears to be of prime importance when MBRs need to be managed efficiently. Homogeneous
![Fig. 2. Variation of TMP with various filtration fluxes [18].](image2)
hydrodynamic conditions would enable to limit fouling and many works have dealt with this key point.
1.1. Flux heterogeneity
A serious drawback of hollow fibre membranes is the internal pressure drop caused by permeate suction. TMP is higher at the output of a hollow fibre (where permeate is drawn). Therefore the local flow is stronger in this part and may be higher than the critical flux, which will result in faster fouling there [20]. To maintain a constant flux, it is necessary to increase the TMP but, in that case, fouling spreads to the other end of the fibre [21]. The mechanism is described in detail in [22]. It is therefore essential to limit the axial pressure losses along fibres to avoid an uneven distribution of filtration and faster fouling.
The heterogeneity of fluxes also influences fouling at bundle scale. The individual contribution of each hollow fibre to filtration performance has been experimentally investigated in a square bundle with 3 fibres on each side and one in the centre [23]. Rather low fluxes were imposed which led to slow and thus observable fouling phenomena. The average fluxes presented a difference of about 25% after 180 min of filtration [21, 18 and 15 L m\(^{-2}\) h\(^{-1}\) for the corner, side and centre fibres, respectively]. This mal-distribution was linked with fouling behaviour. As shown in Fig. 4, the increase of TMP just followed the increase of standard deviations of individual fibre fluxes. It was found that an increase in the standard deviation of fluxes above about 0.20 caused the TMP to increase significantly.
To explain the flux heterogeneity and the poor performance of the central fibre, two mechanisms were proposed: “bundle resistance”, which is related to the mechanical resistance of the bundle without filtration, and “permeate competition”, which accounts for the negative effect of filtration by neighbouring fibres. To evaluate the effect of these mechanisms, the hydrodynamic resistance (which added to the intrinsic resistance of the membrane gave the total resistance in the “resistance-in-series” model) of fibres was calculated. To separate their effect, the hydrodynamic resistance of the central fibre was evaluated with and without suction of the other fibres. The hydrodynamic resistance of the centre fibre was between 3.4 and \(4 \times 10^{-12}\) m\(^{-1}\) whereas that of the other fibre was lower than \(2 \times 10^{-12}\) m\(^{-1}\) when all the fibres were operated. However, fibres near the centre, whether the centre one or the one to operate, then showed that the “permeate competition” had a predominant effect on “bundle resistance” with respect to filtration performance. The authors suggested that many spaced subunits could improve performance.
In a further work, a system was developed to monitor this heterogeneous permeate flux distribution at the module scale [24]. The SMBR was made of five mini bundles representing different regions of the module. Each bundle was composed of 10 hollow fibres. Constant temperature anemometry (CTA) probes were used to evaluate the permeate velocity at each bundle outlet. A different trend was observed at the module scale compared to the bundle scale. Two experiments were performed using five clean bundles and one using a pre-fouled bundle. In the first experiment, all the bundles had similar behaviour whereas, with the “used” bundle configuration, notable standard deviations between fluxes were observed. The monitored TMP was similar for both experiments. In this case, heterogeneity in flux distribution could not be related to a fouling increase. Nonetheless, the authors concluded that global TMP history could not indicate fouling nor flux mal-distribution. Thus there was a need for this local monitoring of system performance. It enabled to detect local fouling or blockage but also failure of aeration (see Section 2.2).
1.2. Packing density
The fact that flux heterogeneities inside hollow fibre bundles influences filtration performance implies that packing density is of great importance. In a SMBR lowering the packing density from 44 to 28% led to a marked improvement [25]. It was believed to be due to the way cake builds up on the fibre. Some of the fibres could get stuck together as their cake layers merge. These fibres would then foul rapidly, while the other fibres would not foul as rapidly. This merging of cake layers has been observed in early studies when filtering activated sludge alone [26].
Similar results were found in another study where too high a packing density (57 fibres cm\(^{-2}\) with an external diameter of 0.72 mm) led to rapid fouling [27]. Decreasing the fibre density by 10 enabled more viable fouling rates to be reached. Other authors have observed the appearance of dead zones and sludging in the
centre of hollow fibre bundles, depending on the bundle diameter and packing density [28].
More recently CFD enabled to provide more insight to this problem of packing density. CFD gives access to values of local parameters which are difficult to measure and, in a shorter time and for a lower cost, provides results that would otherwise require extremely impractical experiments (e.g. fluid flows inside membrane pores). It has been widely used to model membrane processes and its applications has been reviewed in 2006 [29]. Pereira et al. a CFD model has developed with its final element solver COMSOL multiphysics to study the packing density of hollow fibres [30] by solving the Navier Stokes equations. The pressure profiles obtained with the model for both permeate and retentate sides are shown in Fig. 6. Filtration flux was calculated and compared with experimental results (Fig. 7).
An increase in packing density led to a more heterogeneous permeate profile along the fibre length and consequently to a strong decrease of the filtration flux per surface area of the membrane. Thus a compromise must be found regarding packing density between a higher filtration surface area (and its consequent permeate production) and the loss of performance per surface area. In this study, a packing density between 0.5 and 0.6 (on the elbow of the curve) would give a good compromise.
However, the bundle was modelled as a perfect arrangement of regular cylinders and the effect of random packing was neglected. This factor should be taken into account as heterogeneity of fluxes is a prevalent mechanism in fouling. To the best of our knowledge, this has not been done with MBRs but some publications deal with this approach regarding hollow fibre contactors. Voronoi tessellation has been used to develop models [31–34]. Straight boundaries are set between neighbours, which are equidistant from each other (Fig. 8). Each elementary fibre is in a polygonal cell and the entire space is taken into account.
The models showed that random packing had a serious effect on flow mal-distribution in membrane contactors. Moreover, the increase in packing density led to a decrease in mass transfer coefficients. A similar approach would provide a means to simulate the hydrodynamic conditions in hollow fibre bundles more accurately and define the most suitable packing density.
### 1.3. Filtration sequencing, backwash and relaxation
Most of the papers mentioned in this paragraph are reported in Table 1 with detail of the main operating conditions of the studied processes.
A solution to manage the hydrodynamics is filtration sequencing through operational parameters. Backwashing consists of reversing the flow of permeate in order to limit membrane fouling. This method requires production stop and permeate reuse. Backwashing is a solution to limit membrane fouling but it remains expensive in time and energy, and risky for membrane integrity.
The introduction of a relaxation time when the filtration is stopped makes back-transport easier by ending the convective flow. Hong et al. [35] managed to improve their MBR performance with intermittent filtration.
Nonetheless long and frequent relaxation could cause fouling because of the high instantaneous fluxes needed to maintain water production [14]. Various filtration modes (continuous, relaxation and backwash) were tested with the same average flux ($20\,\text{Lm}^{-2}\cdot\text{h}^{-1}$). It induced instantaneous filtration fluxes of $22\,\text{Lm}^{-2}\cdot\text{h}^{-1}$, $10\,\text{Lm}^{-2}\cdot\text{h}^{-1}$ and $2\,\text{Lm}^{-2}\cdot\text{h}^{-1}$ for the backwash ones. The resistance of the upper layer of the cake (consisting predominantly of loosely bound biomass flocs and attached soluble microbial products (SMP)) strongly depended on instantaneous fluxes and on the resulting compression of this layer. Consequently fouling rates were higher with relaxation and even worse with backwash than with continuous filtration.
The fact that relaxation is more efficient than backwash has been confirmed elsewhere [36]. However, the relaxation mode was more efficient than the continuous one. In the studied configuration relaxation was effective to control fouling by reducing the cake layer which had a non-negligible fouling contribution. It should be noted that the instantaneous fluxes were close to those of the
Table 1
Influence of sequencing on filtration performance.
| Reactor volume (L) | Membrane surface area (m²) | Effluent type | $J_b$ (L m⁻² h⁻¹) | MLSS (g L⁻¹) | Filtration sequencing | Observations | Refs. |
|--------------------|-----------------------------|---------------|-------------------|--------------|-----------------------|--------------|------|
| 3.5 FS 0.106 | Simulated sewage | 10–25 | – | 6.8–8.8 | 8 min F/15 s–4 min R | The residual fouling rate increased exponentially as relaxation time decreased. Fouling was eliminated by filtration below the critical flux (22 L m⁻² h⁻¹) with a relaxation time of 4 min for 8 min of filtration. Intermittent permeation allowed long-term operation. Combined with aeration, it enabled to be operated above critical flux, with a variable throughput. | [38] |
| 3.5 FS 0.106 | Simulated settled sewage | 10–28 | 6.8–21.1 | 8 min F/2 min R | Continuous | Continuous mode was the most efficient filtration mode because of the lower instantaneous fluxes induced. They strongly influenced the formation of the upper cake layer and its compaction. Relaxation was more effective than backwash because of lower instantaneous fluxes. It was more effective than continuous filtration for close instantaneous fluxes. Relaxation removed solids (cake layer) and, to a lesser extent, irreversible fouling (SMBR was not effective against pore clogging). The cake layer resistance decreased by a factor of 1.63 with an optimal sequence of 8 min of filtration every 10 min of filtration. These sequences were effective in reducing fouling caused by cake layer formation and pore clogging. Critical flux determined by a stepwise method at 44–49 L m⁻² h⁻¹. Continuous filtration was less efficient because of the low initial instantaneous flux. High instantaneous flux induced higher pore clogging resistance and consequently higher fouling rate. | [39] |
| 30 (aeration and membrane tank) HF 0.3 | Synthetic wastewater | 20–40 34 | 5.5 | Continuous 220 s F/20 s R 220 s F/20 s B | Continuous | [14] |
| 7 HF 0.25 | Synthetic wastewater | 20–34 30–50 | 9–10 | Continuous 220–480 s F/20–40 s R/20–40 s B | Continuous | [36] |
| 230 HF 0.9 | Screened raw domestic wastewater | 20 39 | 6.6–6.8 | 5–60 min F/0–20 s B | Continuous | [40] |
| 57.6 FS 0.7 | Synthetic wastewater | 16.7–33.3 | 7.4 | 10 min F/2–10 min R | Continuous | [41] |
Abbreviations: MLSS, mixed liquor suspended solids; HF, hollow fibre; FS, flat sheet; $J_b$, filtration flux; $j_b$, backwash flux; F, filtration; B, backwash; R, relaxation.
study mentioned above (between 20 L m⁻² h⁻¹ and 22 L m⁻² h⁻¹ depending on the sequencing).
Filtration sequences with various fluxes have also been tested. Metzger et al. [14] tried a mixed mode with different permeate flux: 40 L m⁻² h⁻¹ for 80 s and 20 L m⁻² h⁻¹ for 340 s. They found that this mode induced the highest fouling rate, compared to continuous, relaxatant and backwash ones, because of higher instantaneous fluxes. In contrast, Wu et al. [37] found that this technique could be used to reduce fouling. They tested various sequences with high flux (40–60 L m⁻² h⁻¹) followed by filtration at a lower flux (10.3–22.3 L m⁻² h⁻¹) for various durations, keeping the same median filtration flux (20 L m⁻² h⁻¹). These mixed modes were more efficient than conventional ones, with an optimal sequence of 120 s of filtration at 60 L m⁻² h⁻¹ and 290 s at 10.3 L m⁻² h⁻¹. The authors suggested that a cake layer acting as an SMP filter was formed during the high flux step. Then the fouling proceeded very slowly and this layer remained loose. This meant that it could be removed during the backwash step, with the entrapped SMP.
1.4. Conclusion on filtration hydrodynamics
If it is known that the filtration flux has a non-negligible impact on membrane fouling, recent studies highlighted the influence of the flow distribution upon MBRs performances. Permeate flux mal-distribution has early been observed along fibre length. More recently this phenomenon has been investigated in the depth of fibre bundles. Besides the development of local monitoring systems, CFD modelling could be used to tackle this issue. Module configuration, through packing density, was found to impact on permeate flux profile along the fibre. Design considerations are closely linked with local filtration performances. Thus a compromise must be found between a sufficient space between fibres (low density bundle) and a large number of fibres (high density bundle). Given the importance of hydrodynamics homogeneity a next step would be the modelling of random packed modules to simulate more accurately SMBRs and further improve their performances.
Filtration sequencing is another solution to run SMBRs efficiently. Although the average filtration flux must be considered for economical reasons, the instantaneous flux really impacts on filtration performances. It depends on filtration, relaxation and backwashing times. Hence backwashing can be very effective to remove fouling but needs too high instantaneous flux to maintain the water production to be profitable. Relaxation generally presents an intermediate behaviour already reported in Table 1. The operating conditions vary widely from one pilot to another. The contradictory results found with relaxation [14,36] while the instantaneous fluxes imposed were nearly the same highlight the difficulty to draw conclusions. The efficiency of filtration sequencing depends...
on each MBR configuration and operating parameters but also on the pollution composition (and the sludge quality it induces) and on the aeration usually imposed to remove fouling.
2. Global effect of aeration on fouling
In the previous section, hydrodynamic parameters used to control fouling were presented. The process performance could be further enhanced with the use of air sparging. For instance, combined liquid and gas flow has been shown to have more effect on fouling than a liquid flow with higher velocity [42]. Fig. 9 presents the permeate volume produced after 90 min of filtration in a hollow fibre SMBR. $U_l$ and $U_g$ are respectively the superficial liquid and gas velocities ($\text{m s}^{-1}$). Permeate volume was 30 and 20% higher with bubbling than for single flow filtration which shows the beneficial effect of air sparging. Its use has been the subject of many studies but the management of the membrane flux and aeration flow remains a fundamental aspect for the improvement of MBRs.
An early study about energetic expense in MBRs (2000) pointed out the importance of aeration in SMBRs [43]. Because of the need for scouring in SMBRs, both coarse and fine aerators are required. In consequence, the cost of aeration in submerged systems was found to represent more than 90% of the total costs. More recently the main operating conditions of SMBRs were summarised by Melin et al. [44]. They compared several references and found a value of energy consumption per unit volume of produced permeate between 0.2 and 0.4 kWh m$^{-3}$ with respective consumptions of 80–90% for membrane aeration and 10–20% for pumping for permeate extraction. Aeration is the main operating cost in SMBRs and its significant consumption of energy accounts for the numerous scientific articles which deal with this topic.
Aeration used for MBRs has three main roles: to provide oxygen to the biomass, to maintain the activated sludge in suspension and to limit membrane fouling. Most of the time, aeration for biomass oxidation and fouling prevention are separated. The latter is a key parameter for the enhancement of MBR performance and this section focuses on it. The main issues being dealt with are gas velocities, bubble characteristics (size, shape and frequency), aeration design and its homogeneity.
2.1. Characteristic parameters
Besides the injected airflow, $Q_g$, aeration in an MBR is generally quantified by one of the following parameters:
- Aeration intensity or superficial gas velocity $U_g$ (m s$^{-1}$):
$$U_g = \frac{Q_g}{S_i}.$$
(1)
This parameter is quite conventional for gas/liquid characterization, and other parameters specific to SMBRs are frequently used in the literature:
- Specific aeration demand in m$^3$ h$^{-1}$ air m$^{-2}$ membrane area:
$$\text{SAD}_m = \frac{Q_g}{S_m}$$
(2)
- Specific aeration demand in m$^3$ h$^{-1}$ air m$^{-3}$ h$^{-1}$ permeate product:
$$\text{SAD}_p = \frac{Q_g}{S_m d} = \frac{Q_g}{Q_p}$$
(3)
where $Q_g$ and $Q_p$ are the flows of gas and permeate respectively, $J$ is the permeate flux (L m$^{-2}$ h$^{-1}$), $S_m$ is the membrane surface area (m$^2$) and $S_r$ is the cross-sectional area of the module (m$^2$).
$\text{SAD}_p$ is particularly useful for industry. It provides the specific energy demand for the aeration of the membrane ($E_a$ in kWh m$^{-3}$ permeate) to produce permeate and is therefore a direct indicator of the MBR energetic performance [45]. For a given aeration system at a fixed depth in the tank, $\text{SAD}_p$ relates directly to specific energy demand for membrane aeration:
$$E_a = k \text{SAD}_p$$
(4)
where
$$k = \frac{pT\lambda}{2.73 \times 10^5 \xi (\lambda - 1)} \left[ \left( \frac{10000y + p}{p} \right)^{-(1/\lambda)} - 1 \right]$$
(5)
where $p$ is the blower inlet pressure in Pa; $T$ is the air temperature in K; $\xi$ is the blower efficiency; $\lambda$ is the aerator constant (~1.4) and $y$ is the aerator depth in m.
On most real-scale operational MBRs, $\text{SAD}_p$ generally exceeds 10 and can reach 50 [1]. Pollet [46] gathered similar values with most $\text{SAD}_p$ between 10 and 25, and a maximum of 65. These values are more variable for lab-scale MBRs, being between 0.002 and 280 [46] and comparisons between experiments may require very precise information regarding experimental conditions. The data given in the publications usually enable $\text{SAD}_p$ or $U_g$ to be calculated. This is used in addition to $Q_g$ to compare the results of the various experiments. These parameters provide information to quantify the energy demand to run the process but it is also useful to have order of magnitude of the energy costs of SMBRs.
They were assessed in a pilot scale SMBR [9]. The SMBR was composed of 10 flat-sheet membranes with a total area of 16 m$^2$. It was run at two fluxes: 19 and 25 L m$^{-2}$ h$^{-1}$. The respective energy demands were 6.06 and 4.88 kWh m$^{-3}$. In each case, the coarse bubble aeration required the biggest proportion of energy consumption and represented almost 50%. Rather high productivity costs were found when considering that experiment was run at pilot scale, which is not economically viable.
Similarly, in a full scale SMBR, coarse bubble aeration was the largest consumer but to a smaller extent (35%) [10]. However, the authors noted that the overall filtration process (including electrical heating, permeate extraction, tank cleaning in place and compressors for the activation of valves) was very costly in energy, with 56% of the total energy consumption, and that care should also be taken to deal with this point. The SMBR consumed 0.64 kWh m$^{-3}$ of permeate, which was higher than the cost of a CASP running in the same city (0.19 kWh m$^{-3}$) but lower than the values the author found in the literature for other full scale MBRs, ranging from 0.8 to 1.2 kWh m$^{-3}$.
A slightly wider range was stated in a review on the state of science in MBR for wastewater treatment with value of energy between 0.5 and 2.5 kWh m\(^{-3}\) [2]. The authors precised that this demand could be less than this of CASP (the paper was written in 2007) but that MBR had to be compared with a system that could produce the same effluent quality.
Besides comparing MBR with other processes, MBR plants should be compared with each other. Energetic costs were calculated for each operating equipment of MBRs for the development of a benchmark simulation [47]. The authors found respective values of 0.019 and 0.025 kWh Nm\(^{-3}\) of air for coarse and fine bubble aeration whereas the pumping energy factor for permeate was set at 0.075 kWh m\(^{-3}\) based on values from MBRs plant. Same order of magnitude has been provided by Racault et al. [48] regarding aeration of municipal MBR plants: they worked on three hollow fibre SMBRs and found a range of energy consumption between 0.013 and 0.065 kWh Nm\(^{-3}\) of air and 0.01 and 0.05 kWh Nm\(^{-3}\) of air for flat sheet SMBR it should be noticed that in this work a part of the air provided to limit fouling also contributed to biomass oxygenation.
This highlights the difficulty to estimate the energetic costs in SMBRs. Specific costs for aeration can be twice higher from one plant to another one and no reference value could be provided. Nonetheless the papers mentioned above give an order of magnitude of these costs and emphasize the importance of tackling the problem of aeration energetic consumption in SMBRs.
### 2.2. Aeration homogeneity and design
As seen previously homogeneity of the hydrodynamics is important and it may depend on good design of the aeration system [28], Nguyen Cong Duc et al. [49] faced a problem of aeration homogeneity in their SMBR. A circulation loop appeared leading to the creation of a dead zone at its centre (Fig. 10).
The holes of the aerator did not all distribute the same amount of gas. The pressure drop due to air friction on the inner surface of the vent tube made aeration control difficult. If friction was too strong, the holes near the air intake distributed almost all the gas. Conversely, if the input pressure of the air was strong enough to prevail over frictional forces, the holes far from the air injection ejected more gas (Fig. 10). Kinetic energy and viscosity must be balanced.
Mayer et al. [50] recommended the use of complex systems provided with numerous holes, which would make the air distribution more homogeneous and thus more effective. Another solution was to confine the air bubbles near the fibre instead of letting them diffuse in the hollow-fibre SMBR [51]. In a further study, the confinement of bubbles was also used to control fouling in a submerged hollow fibre module [52]. A pipe of 2 cm diameter was used to surround 12 hollow fibres of 0.7 mm outside diameter. It kept the bubbles close to the membrane surface, thus using the energy provided to the system more effectively. Moreover, this configuration created slug flow on the outer surface of fibres. The results showed that it was better than a study [53] where fibres were not confined. At the same feed concentration (5 g L\(^{-1}\)), with same nozzle size (1 mm), with a higher filtration flux (36 L m\(^{-2}\) h\(^{-1}\) instead of 30 L m\(^{-2}\) h\(^{-1}\)), the module that confined the bubbles provided an average TMP increase of 0.02 kPa min\(^{-1}\) against a rate of 0.07 kPa min\(^{-1}\) for the other module with a smaller SAD\(_m\) (1.7 m\(^{3}\) m\(^{-2}\) h\(^{-1}\) against 11.7 m\(^{3}\) m\(^{-2}\) h\(^{-1}\)). Although results should be compared on a more similar configuration (same fibre length and number), this comparison helps to quantify the efficiency of the tested configuration. Confining bubbles close to the fibres, besides making it possible to create slug flow, appears to be a solution to limit fouling in the submerged hollow-fibre configuration.
CTA sensors (see Section 1.1 for a description of the system) were used to evaluate the effect of aeration homogeneity on permeate flux distribution [24]. Permeate flux profiles were evaluated for two kinds of aeration conditions during the filtration of bentonite at 2 g L\(^{-1}\): even distribution with all the bundles aerated (Fig. 11) and uneven distribution with only one bundle aerated (bundle 3 in Fig. 12).
TMP was evaluated during a filtration experiment that lasted 180 min. The TMP profiles of the two experiments overlapped for 30 min but, after that, the TMP for the unevenly aerated module was higher than that of the evenly aerated one, with a maximum deviation of 25%. These results confirm that aeration homogeneity enhanced the distribution of permeation fluxes, and is consequently a tool for fouling prevention. Moreover the authors suggested that sensors such as CTA could be used to monitor the permeate flux distribution and provide early warning of fouling or blockage.
**Fig. 11.** Permeate flux profile in an evenly aerated system [24].
The development of CFD enables a more performant approach to tackle this problem of design configuration and avoid design problems such as prevention of dead zones or aeration homogeneity. A 3-phase flow model was developed to improve the design of a real scale hollow fibre SMBR [54]: enlargement of the tank size led to an increase of the mixed liquor and air velocities by 50%.
In another work Lee et al. [55] found a high correlation between local TMP distribution and bio-cake porosity. In consequence, they advised placing the aerator device near the bottom suction of the hollow fibre module because that is where local porosity of the bio-cake is the smallest.
Another solution proposed to improve the air sparging efficiency was to superimpose a pump (and consequently liquid circulation) on the two-phase flow [56]. This led to higher permeation fluxes than with an airlift system. It improved the gas distribution around the fibres and resulted in a more stable, regular slug flow. This showed that homogeneity of the aeration could play a key role in improving the operation of submerged hollow-fibre bundles. However for a $U_g$ value of 0.4 m s$^{-1}$ increasing liquid velocity from 0.2 to 0.4 m s$^{-1}$ in tight fibres configuration and from 0.4 to 0.6 m s$^{-1}$ for loose fibres induced a decrease of final flux obtained after 2 h of filtration. The negative impact of high liquid velocity was confirmed in a later study [57], implying that the background flow could damp the turbulence imposed by the bubbles. High axial flow (0.16 m s$^{-1}$ against 0.016 m s$^{-1}$) induced a decrease of standard deviation of shear stresses and the authors found that it can have a detrimental effect on filtration performances.
### 2.3. Air sparging efficiency: influence of airflow rate
The aeration flow $Q_a$ is a basic parameter for the management of aeration. It has a noticeable influence on fouling and must be reduced to limit running costs. A wide range of experiments have been done to study its effect on MBRs and some publications are listed in Table 2 with the main operating conditions of the studied processes.
Ueda et al. [58] found that air injection reduced fouling in SMBR up to a critical flow rate (0.7 m$^3$ min$^{-1}$) corresponding to a SAD$_{m}$ of 0.25 m$^2$ m$^{-2}$ h$^{-1}$. Beyond this value, increasing airflow did not have a greater effect on TMP, which was linked with the cake removal efficiency. When Chua et al. [38] filtered a suspension in which MLVSS was 15 g L$^{-1}$, the fouling rate decreased exponentially when the superficial gas velocity increased from 0.02 to 0.15 m s$^{-1}$. Delgado et al. [59] obtained the same behaviour of the fouling rate against mean shear intensity due to air-sparging. These results highlight the existence of a threshold value for airflow rate beyond which no improvement in filtration can be reached.
The existence of a threshold value or a plateau could be linked to the fact that the rising velocity of bubbles is not proportional to airflow rate. In a pilot scale SMBR Sofia et al. [60] found that, beyond a certain value, the effect of increasing airflow rate on the cross flow velocities of bubbles was insignificant. They thus obtained a maximum bubble velocity of 0.69 m s$^{-1}$ for an optimal $U_g$ of 0.017 m s$^{-1}$. In an SMBR with hollow fibres, the rising velocity of bubbles was found to increase by 34% when the airflow was increased from 20 to 50 Nm$^3$ h$^{-1}$ and by 6% when switching from 50 to 90 Nm$^3$ h$^{-1}$ [49]. To give an order of magnitude, the measured values of velocity were 1.14 and 1.80 m s$^{-1}$ for airflows of 20 and 90 Nm$^3$ h$^{-1}$ respectively, corresponding to SAD$_{m}$ of 0.21 m$^2$ m$^{-2}$ h$^{-1}$ and 0.95 m$^2$ m$^{-2}$ h$^{-1}$.
The beneficial effect of aeration can also be seen through the increased of permeate flux. Li et al. [61] found that increasing the superficial gas velocity allowed a positive effect on the critical flux. A suspension of 4 g L$^{-1}$ was filtrated with a submerged tubular membrane. The critical flux increased from 16 to 51 Lm$^{-2}$ h$^{-1}$ for superficial gas velocities of 0.07 and 0.22 m s$^{-1}$ respectively. In another study for an MLVSS concentration of 17.15 g L$^{-1}$ and an increase of superficial gas velocities from 0.02 to 0.22 m s$^{-1}$, the critical flux rose from 10 to 23 Lm$^{-2}$ h$^{-1}$ [39]. However, the decrease of aeration efficiency with increasing aeration rate appeared again. The loss of performance can be seen in Fig. 13.
Germain et al. [12], studying the aeration effect depending on flux variations, found a transitional flux between 16.5 and 22 Lm$^{-2}$ h$^{-1}$. Below this value, no significant fouling was observed whereas, above it, high aeration velocities were required to maintain low fouling rates. This would imply that air sparging is more efficient in operating conditions that are unfavourable towards fouling (high filtration flux, high suspended solids (SS) concentration). Gui et al. [13] tested aeration with SS concentrations of 10 g L$^{-1}$ and of 1 g L$^{-1}$. Its effect was seen only for the highest concentration. Similarly, Lu et al. [52] only saw the effect of bubbling parameters when the yeast concentration of their filtrated solution increased from 3 g L$^{-1}$ to 5 g L$^{-1}$.
Finally, it must be noted that some studies report a negative effect of aeration. In SMBRs filtering synthetic wastewater, strong aeration (80 L h$^{-1}$, 5 AD$_{m}$, 85 g m$^{-2}$ h$^{-1}$) resulted in floe breakage and promoted the release of colloids and solutes [62]. This negative impact of aeration on mixed liquor was studied in other works and is discussed in Sections 3.3.2 and 3.3.3. In a tight hollow fibre module filtrating a baker’s yeast suspension, Martinelli et al. [63] showed that local airflow rate increased the fouling resistance and thus reduced the performance of the SMBR. This is explained by the fact that the horizontal liquid flow induced by the bubbles increased with airflow rate and made it probable that particles would reach the filtration layer and contribute to higher fouling. However for this last study, it should be noted that the SS concentration was lower than in the previous works. It was only 0.56 g L$^{-1}$ whereas it was mainly around 10 g L$^{-1}$ in previously quoted works.
Table 2
Effect of air sparging and operating conditions on filtration performance.
| Reactor volume (L) | Membrane surface area (m²) | $J$ (L m⁻² h⁻¹) | MLSS (g L⁻¹) | $U_f$ (m³ m⁻² s⁻¹) | SAD$_a$ (m³ m⁻² h⁻¹) | Observations | Refs. |
|--------------------|-----------------------------|-----------------|--------------|-------------------|----------------------|------------------------------------------------------------------------------|-------|
| 21,400 | HF | 88 | 7.9–15.4 | 8–12 | 0.0068–0.0102 | Cake removing efficiency was affected by the standard deviation of the flow velocity. Increase in airflow rate enhanced the cake removal but there was a critical value beyond which it no longer had any effect. Membrane fouling increased exponentially with increase in $J$ and with decrease in $U_f$. Fouling was controlled even at high $J$ by adapting $U_f$. | [58] |
| 3.5 | FS | 0.106 | 10–28 | 6.8–16.5 | 0.018–0.23 | | [38] |
| 93.5 | HF | 4 | 3–10 | 1–10 | 0.0062–0.043 | $J$ was the key factor. Aeration was more effective at high SS concentration. Correlation found between fouling, critical flux, airflow rate and SS. An increase of aeration intensity led to a plateau region of crossflow velocity (0.69 m s⁻¹ for $U_f$ of 0.017 m s⁻¹). | [13] |
| 9 | FS | 0.1 | 16.9 | 8–10 | 0.005–0.025 | | [60] |
| 12,700 | HF | 42 | 5.5–33 | 4.3–13.5 | 0.07–0.13 | Permeate flux had the greatest influence on fouling rate whereas membrane aeration had the least effect. Existence of a transitional flux between 16.5 and 22.1 m⁻² h⁻¹; above which aeration was required to maintain low fouling. Low aeration could not remove the foulants whereas high aeration induced a dramatic change due to stronger shear. The smaller size of particles was related to dramatic fouling increase. | [12] |
| 12 | HF | 0.1 | 6–60 | 6 | 1.5–8 | Exponential decrease of the fouling ratios with increasing scouring aeration intensity. Independence of the effect of scouring aeration intensity and permeate flux on fouling ratio. | [62] |
| 950 | HF | 66.9–69.7 | 24–44 | 8–12 | 0.12–0.46 | Low shear induced by air injection (0.25 Pa). Local airflow rate is the key factor. The turbulence caused due to air injection increases the particle transport towards the membrane and leads to fouling. | [64] |
| 90 | HF | 0.032 | 50 | 0.56 | 0.26–3.12 | | [63] |
Abbreviations: HF, hollow fibre; FS, flat sheet.
Some values of this table were calculated from other values extrapolated from graphics or reported from these graphics and may consequently not be totally accurate.
The fact that aeration is more efficient when operating conditions yield heavy fouling is confirmed. However the influence of airflow on fouling is complex regarding the involved phenomena which will be described in Section 3.
2.4. Bubbling
Table 3 sums up the effect of bubbling. It should be noticed that most of the results presented were obtained with synthetic effluent which could modify the fouling mechanisms because of various parameters such as the form in which the model substances were obtained, the chemical nature of the effluent, the absence of a solid matrix in these models, the influence of pH or ions on the model polymer’s aggregate and the change in properties (aggregate size or concentration) during the course of the experiments [8].
As advised in recent years, the bubbling parameters should be investigated in large detail. Krishna et al. [65] found three to six times greater velocities in a bubble swarm than for an isolated bubble. Larger bubbles generated strong turbulences in their wake and following bubbles were accelerated. Providing larger bubbles would enhance the turbulence and increasing the frequency would improve the effect of bubbles on each other and lead to more homogeneous fouling. But this costs energy. Number density $\rho$ is expressed as the number of bubbles ($N_b$) over the airflow rate [53]:
$$\rho = \frac{N_b}{Q_a} = \frac{1}{V_b}$$ \hspace{1cm} (6)
where $V_b$ is the bubble volume and $Q_a$ is the airflow rate. This density is proportional to $(\text{bubble radius})^{-3}$ and it appears that halving the bubble size provides 8 times as many bubbles for the same airflow rate. This can also be written as
$$Q_a = \sqrt[3]{N_b}$$ \hspace{1cm} (7)
where [66] the bubbling frequency $f$ is directly related to a number of bubbles. These equations show the relation of bubble size and frequency with the airflow, which is linked to energy consumption. The bubble size and frequency must be optimized to provide the best hydrodynamic conditions but, at the same time, lower the energy necessary to introduce them.
### Table 3
Influence of bubbling parameters on filtration performance.
| Bubble size (mL) | Solid type MLSS (g L\(^{-1}\)) | Mean diameter (\(\mu\)m) | Membrane surface area (m\(^2\)) | SAD\(_{m}\) (m\(^2\) m\(^{-2}\) h\(^{-1}\)) | Observations | Refs. |
|------------------|---------------------------------|--------------------------|-------------------------------|---------------------------------|-------------|------|
| 0.5–2 mm | Sludge | – | FS | 0.1 | Aeration intensity | Optimal value related to higher crossflow velocity; it first increases with aeration intensity and then reaches a plateau. Smaller bubbles lead to higher values of crossflow velocity and better control of fouling due to a more uniform distribution of air. Larger bubbles at high frequency provide the biggest standard deviation of liquid velocity and smallest standard deviation of fluxes between fibres. However, the smallest bubbles at high frequency could be more profitable regarding energy consumption. | [60] |
| 0.09–8.36 mL | Bentonite 1 g L\(^{-1}\) | 5 \(\mu\)m | HF | 0.011 | 0.014–2.74 | Dependency of mass transfer coefficients on bubble size and frequency had two regions: first increasing and then reaching a plateau region \( \geq \) optimal size and frequency: 60 min and 0.4 Hz. | [23] |
| 5–200 mL | Electrolytic solution | – | FS | 0.3 | 0.004–1 | Rather low shear induced by air injection (<0.25 Pa). Horizontal flow leads to fouling, related to higher airflow rate. No bubble characteristic influence. | [71] |
| 0.11–55 mL | Bakers yeast | 5 \(\mu\)m | HF | 0.032 | 0.56 g L\(^{-1}\) | 0.93–3.125 | Similar results were found in another study that was conducted using a flat-sheet module which filtered water [71]. Setting a rather low aeration frequency (0.067 Hz) enabled bubbles to be separated and prevented them from influencing each other. An optimum bubble size of 60 \(\mu\)m was found to improve the mass transfer estimated by an electrochemical method. It corresponded to a slug flow. Above this volume, no improvement was observed. This could be related to the wake size of bubbles. It had already been observed by Campos and Guedes de Carvalho [72] that there was a critical length for slugs beyond which further increase had no effect on the wake size. | [63] |
Abbreviations: HF, hollow fibre; FS, flat sheet.
Some values of this table were calculated from other values extrapolated from graphics or reported from this graphics and may consequently not be totally accurate.
#### 2.4.1. Size of nozzle and bubbles
In tubular membranes, slug flow has been widely studied for the enhancement of filtration performance and turns out to be favourable [11,66–68]. It is more complex in SMBRs where most of the time flow is unconfined and slug is not necessarily the most suitable kind of flow to save energy.
The nozzle size influences the kind of bubble and its effect has been studied. In a flat sheet MBR fed with raw domestic sewage, Sofia et al. [60] better controlled fouling with a 0.5 mm diffuser instead of a 2.0 mm one. Small bubbles induced higher cross-flow velocities and a stronger shearing effect than coarse bubbles (0.69 m s\(^{-1}\) against 0.4 m s\(^{-1}\)). They were able to operate their MBR for 8 months whereas the maximal TMP value that they set was reached in just weeks when coarse bubbles at the same aeration intensity (0.017 m s\(^{-1}\)). The firm and more uniformly dispersed bubbles were thought to make more stable operation possible with lower TMP across the membrane. Fane et al. [69] found similar results with hollow fibres filtrating bakers yeast. A nozzle diameter of 0.5 mm was more efficient than a diameter of 1.0 mm in controlling fouling characterized by TMP variations. The authors deduced that the more numerous shear events provided by smaller bubbles were related to the better fouling control. This was confirmed in other studies dealing with hollow fibres, many small bubbles being more efficient than few large bubbles at the same airflow rate [23,53,70].
The effect of bubble size can vary [23]; small bubbles gave the same fouling behaviour (related to standard deviations of liquid velocities and consequently turbulences) as big bubbles that needed ten times their airflow rate. Although the biggest bubbles involved smaller standard deviations of individual fibre fluxes, the author concluded that small bubbles were better regarding their energy consumption. This would mean that turbulence is a more important mechanism than flux homogeneity.
A larger nozzle provides larger bubbles but with lower frequency at the same airflow rate [52]. Three nozzle sizes were tested: 1, 3 and 12 mm. At low yeast concentration (3 g L\(^{-1}\)), each nozzle had the same effect on fouling tendency. Results were different for a higher yeast concentration (5 g L\(^{-1}\)). At low airflow (80 mL min\(^{-1}\) or SAD\(_{m}\) of 0.25 m\(^2\) m\(^{-2}\) h\(^{-1}\)), large air bubbles and slug flow were more effective than small bubbles and smaller nozzles. This was related to the stronger wakes of larger bubbles. However, when airflow increased, nozzle size had less influence and, when 150 mL min\(^{-1}\) was reached, it had no effect.
#### 2.4.2. Frequency
Increasing bubble size and frequency led to better fouling control [23]. However it induced higher operational costs and these parameters could be improved regarding energy savings. For volume ratios of small:medium:large bubbles of 1:1:2:5:93, corresponding to bubble sizes of 0.08, 1.13 and 8.36 cm\(^3\), small bubbles were more efficient at high frequencies. A frequency of 2 Hz for medium bubbles generated the same standard deviation of liquid velocity (related to fouling control) as large bubbles at a frequency of 1 Hz, but using only 30% of the air required for large bubbles. The result was the same between small- and medium-sized bubbles for respective frequencies of 2 and 0.5 Hz (Fig. 14).
The effect of bubbling frequency on shear rate has also been assessed [57]. Different frequencies were tested for small, cap and
![Fig. 14. Effect of bubbling frequency on standard deviation of velocity [23].](image-url)
slug bubbles. Their influence on shear stress when no axial flow was imposed is presented in Fig. 15. Similar trends were observed for 10 min of filtration during which shear stress could be seen to reach a plateau value for each kind of bubble. This study focused on the influence of shear stress on fouling (see Section 3.3). Here, it was related to fouling control efficiency with the observation of TMP increase rates (Fig. 16). It can be seen that increasing the frequency by more than 1 Hz does not decrease fouling rates much. This confirms the existence of a threshold value and the need to optimize airflow rate.
In this study, the same airflow rate provided 400 small bubbles for one slug. Without axial flow, a TMP increase rate of 2 kPa min\(^{-1}\) was found for airflow rates of 0.01 L min\(^{-1}\) using small bubbles and of 0.1 L min\(^{-1}\) using cap or slug bubbles. The authors suggested that two mechanisms could account for the effect of bubbles on submerged hollow fibres: contact between bubbles and fibres and also bubble wakes. For small bubbles, few contacts with fibres were observed compared to bigger ones. As similar performance was obtained for small bubbles with tenfold lower airflow rate, the authors deduced that bubble wakes were the predominant mechanism that determined submerged hollow fibre performance.
Similarly, an optimal frequency of 0.4 Hz has been reported in a flat sheet module [71]. Beyond this value, the energy costs associated with increased frequency are no longer acceptable. These studies confirm that an optimal airflow exists.
### 2.5. Sequencing of aeration
Intermittent aeration on each side of a submerged hollow fibre cassette has been reported as an interesting improvement over continuous aeration [73]. Similar conclusions have been reported by Van Kaam et al. [74] for a submerged hollow fibre bundle. The relation between relaxation time after high shear stress and floc size would be a factor limiting fouling. Rheological measurements showed that activated sludge stability evolved with shear stress and was used to simulate the effect of hydrodynamics on biological media [75]. This demonstrated the benefit of intermittent aeration. It prevented fouling and floc damage while minimizing energy costs.
The effect of air injection was greater in the absence of TMP [35]. A judicious combination of aeration sequences with those of filtration/relaxation seems essential for a proper management of fouling. To save energy, cutting off the aeration for half the time was tested [76]. The SMBR was run with a sequence of 10 min of filtration at 35 L m\(^{-2}\) h\(^{-1}\) followed by 30 s of backwash. Airflow rates from 0 to 4 L min\(^{-1}\) (SAD from 0 to 24 m\(^3\) m\(^{-2}\) h\(^{-1}\)) where tested. Sequences of intermittent aeration were compared to sequences with aeration 10 s on/10 s off at the same airflow rate. The fouling rates were similar, meaning that 50% of the energy could be saved. In a new geometry module, aeration demand was reduced to 260 NLm\(^{-2}\) h\(^{-1}\) owing to sequencing [77]. Moreover, low aeration during filtration and high aeration during backwash reduced aeration demand to 190 NLm\(^{-2}\) h\(^{-1}\), which is much lower than in the conventional MBR processes.
But a recent study pointed out contrary results [70]. Intermittent aeration was found to be less effective than continuous aeration in a hollow fibre SMBR. Aeration was set 1 min on/9 min off. Air was provided when filtration was stopped (filtration sequence of 9 min on/1 min off). Sequences were run for SAD\(_{mf}\) from 10 to 75 m\(^3\) m\(^{-2}\) h\(^{-1}\) in continuous mode with continuous aeration mode with SAD\(_{mf}\) of 1–7.5 m\(^3\) m\(^{-2}\) h\(^{-1}\). This result could be explained by the fact that rather high SAD\(_{mf}\) were set during intermittent filtration and this could have had an impact on the biological media.
### 2.6. Conclusion on global effect of aeration
The global effects of aeration have been investigated in this section. Aeration is more efficient when running conditions yield heavy fouling (i.e. high MLSS concentrations, high filtration flux, etc.). Among the numerous parameters involved, a trend is emerging as the existence of a threshold of filtration efficiency linked to the gas flow rate. But given the wide range of SMBRs configurations and of operational parameters (that are interrelated) it is not possible to set an “optimal” airflow rate.
Inside SMBRs gas flow is most of the time unconfined. Thus generating homogeneous hydrodynamic conditions with slug flow is difficult. Slugs or huge bubbles would provide stronger wakes but cost more energy. They were efficient when the flow was confined: in hollow fibres surrounded by a cylindrical pipe [52] as well as in a flat sheet module [71]. On the other hand, smaller bubbles generate more homogeneous turbulence in unconfined flow. Many small bubbles homogenize the shear effect of air sparging and prevent the creation of dead zones while limiting the energy consumption.
Several studies “confirm” positive results by showing the existence of a threshold, such as size and velocity of bubbles. At a more local scale this threshold value could be linked to parameter such as standard deviation of flow [58]. The complexity of the analysis leads some researchers to the use of modelling to contribute to the phenomenon description and mastering. In this context, investigations at the local scale appear to be of prime importance.
### 3. Local phenomena induced by the aeration
Several phenomena induced by aeration at local scale turned out to have an impact on fouling: movement of fibres, turbulence and the associated back-transport, shear stresses at the membrane.
surface and, finally, shear stresses in the mixed liquor which influence floe size and EPS release. However, up to now, none of these phenomena have been found to be the key factor for the impact of aeration on the limitation of fouling. Since the impact of each of these phenomena depends on the operating conditions, the actual problem from the hydrodynamics point of view consists of quantifying the impact of each of the operating parameters on them. A first option may be to model each of these phenomena independently and then to group the models or to compare the results of the models in order to find the range of impact of each phenomenon.
3.1. Turbulence and back-transport
Turbulences have widely been reported as having a beneficial effect in membrane processes. It is always desirable to suppress concentration polarization by promoting turbulence or running at lower fluxes [78]. Moreover, turbulence enhances the back-transport of particles. Spacers promoting turbulence are also used in many applications.
In a SMBR, the cake removing efficiency of the airflow was affected by the standard deviation of the flow velocity [58] which is related to its turbulence. Standard deviation of flow velocity variations agreed with those of TMP. An optimal value was found for the airflow rate, linked to the fact that standard deviations of flow velocity no longer increased beyond this value.
More recently, Orantes et al. [79] managed to improve performance of their MBRs by doubling the airflow rate. Aeration was placed below each submerged module and designed to create turbulence around the modules. Switching the airflow from 25 to 50 l.h\(^{-1}\) enabled the rate of change of TMP to be decreased. In consequence the MBR would have been run with cycles ranging over 200 days without a change in filtration fluxes with no need for elaborate washing instead of cycles between 10 and 50 days. The authors relate this improvement to the local turbulences created by the airflow in the vicinity of the hollow-fibre module (another hypothesis for the beneficial effect of aeration is the local intensification of oxygen transfer).
A study confirmed the importance of turbulence for filtration performance. The increase in the standard deviation of liquid velocities induced by air has been shown to be more effective in MBR filtration than the increase of the average velocities [23]. The beneficial effect of aeration was estimated with the final TMP after a given time of filtration at constant flux. From Fig. 17, no clear relation appears between average liquid velocity and final TMP, whereas increasing standard deviation improves the filtration performance (Fig. 18) by lowering the final TMP. Thus generating unsteady state flows with large standard deviation in local velocity could be a strategy to improve MBR performance.
![Fig. 17. Effect of average liquid velocity on TMP variations [23].](image)
![Fig. 18. Effect of standard deviation of liquid velocity on TMP variations [23].](image)
3.2. Fibre movement: amplitude and effect of looseness
Besides influencing the back-transport of the particles, turbulences shake the fibres and make them move, which is beneficial for filtration or for fouling prevention [42,58].
TMP has been observed to rise 40% faster for tight fibres than for loose ones [53]. Tightness was 96%, i.e. the distance between the potted extremities was equal to 96% of the fibre length. The benefit of loose fibres has already been reported elsewhere [80]. Observation of the tight bundle showed that many particles adhered to the fibres, particularly in the centre of the bundle. When the hydrodynamic environment is more restrictive (high SS concentration, low aeration rate) the filtration performance of the module is greatly diminished. Since inter-fibre fouling is difficult to control by back-washing or by chemical cleaning, the problem may be greater for real scale plants with larger modules and longer use.
However, although loose fibres are preferable to limit fouling, it is important to keep the tension within a given range to prevent them from breaking. Furthermore, an optimal tightness (99%) was found with different aeration conditions [57]. A compromise should be found between tight fibres, which damp the bubbling effect, and loose fibres, which can move away from the influence of the bubbles. In the same study, fibre displacement was investigated. To observe the fibre movement, particles were fixed at their mid-height. The velocity of the fibre, which was calculated from their displacement versus time, did not show any effect on the rate of increase of TMP whereas fibre acceleration, which was determined from the rate of change of fibre velocity, improved it.
A different interpretation has been given by Bérubé and Lei [81]. Promoting lateral sway in a multi-fibre module could lead to physical contact between membrane surfaces and enhance the permeate flux by mechanical erosion of the cake layer. Pseudo steady-state permeate flux has been found to be 40% higher in a multi-fibre module than for a single fibre.
Another mechanism has been proposed to account for the better performance of loose fibres [82]; the flow paths of bubbles rising in this configuration are not confined to a specific region, as is the case for tight fibres. In consequence, a larger number of fibres could benefit from the sparged bubbles.
Given the importance of fibre movement the influence of their dimension has been studied. It was found that fibres with a large diameter are more prone to fouling while smaller fibres would have a greater response to the surrounding hydrodynamic environment [42]. It was confirmed in a later study [53]. This tendency is linked to the smaller displacement amplitude of large fibres (Fig. 19). However, pressure losses are higher in smaller fibres and a balance must be found. The problem is the same with fibre length: when the length increases, the amplitude also increases and fouling is lower.
but pressure losses also increase, thus reducing available TMP. For instance, Fane et al. [69] improved the performance of their MBR by increasing the fibre length (from 50 to 70 cm), although this caused a faster initial rise in TMP.
Mechanical displacement of a single hollow fibre has also been tested [53]. The fibre was moved laterally with an amplitude of 3.8 cm every 2 s. This resulted in fouling being reduced to a third of the value found for a stationary fibre without bubbling but it remained less efficient than aeration. The results are presented in Fig. 20. Curve (A) corresponds to mechanical movement without bubbling and curve (C) to suction. It appears that TMP variations are more reduced with the use of bubbling (C).
Mechanical movement of fibres could become effective at higher frequencies [81]. Axial vibration in a 10 Hz frequency range enabled industrially relevant operating fluxes to be reached with critical fluxes of 60–80 L m\(^{-2}\) h\(^{-1}\). Addition of transverse vibration resulted in the critical flux being practically doubled (130 L m\(^{-2}\) h\(^{-1}\) at 10 Hz).
### 3.3. Aeration shear stress
Shear stresses induced by aeration influence membrane fouling by two mechanisms: they can have a beneficial effect with the enhancement of filtration performance due to scouring of the membrane surface but they can also have an impact on biological floc characteristics. To our best knowledge few studies dealt with this last point. Indeed tackling this issue is made difficult by the lack of standard method for sludge characterization. Activated sludge is described as a non-Newtonian fluid [84,85] composed of three main fractions: solutes, colloids and particles [1]. There is no standard method to separate those [6] and it is consequently not obvious to compare the mentioned studies. Nonetheless further work is required to quantify the beneficial influence of aeration through membrane scouring and the potential negative impact on mixed liquor through changes of biological parameters such as floc size (and activated sludge fractionation) and also EPS concentrations.
#### 3.3.1. Shear stress on membrane surface
To evaluate shear stress on membrane surfaces, the electrochemical shear method has been widely used [82,86–88]. An example of shear measurement with this method is shown for a gas slug in Fig. 21.
Both the time-averaged value and the amplitude of wall shear stress influenced flux enhancement but its frequency had no effect in a flat sheet module [86]. In another study, the fluctuating component of wall shear rate appeared to be the quantity that controlled the transfer processes at the wall of the membrane [87].
Further work described the importance of the two parameters in the tight hollow fibre configuration [57]. At low values of average shear stress, the performances of hollow fibres were dominated by the standard deviation of the stress. As the mean value of shear stress increased (with an increase of the axial flow), standard deviation of shear stress decreased and the mean value became the predominant factor regarding fouling reduction. In this study shear stresses were determined from the velocity vectors evaluated by PIV.
Shear stresses in a simulated module of hollow fibres were experimentally examined with the electrochemical shear method for monophasic and biphasic flows [88]. The ‘active’ hollow membrane fibres were replaced by Teflon tubes of similar diameter (i.e. 2 mm). The electrochemical shear probe was mounted flush with the surface of the Teflon tube. The average shear stresses and their variations were much greater with aeration (Fig. 22).
The study showed that they were not distributed evenly along the length of fibre. For biphasic flow, greater stress was found in the upper part of fibres. In consequence, the authors suggested that aspirating permeate from the top would be better. It would generate greater permeation fluxes where the shear related to aeration was the strongest, and thus homogenize fouling. They also advised the use of long fibres. However, a compromise had to be found with the pressure losses due to the increased length. Tight and loose configurations were also tested. It was proposed that close proximity of other fibres in a tightly configured multi-fibre module could potentially shield certain areas of a fibre from both the bulk liquid flow and the sparged gas bubbles. As a result, the average shear force generated over the entire length of a fibre surface would be lower for tightly configured multi-fibre modules, which could explain the benefit of a loose configuration.
But different results were found in a further study [82]. Unlike the case of a tight configuration, no negative shear was observed for loose fibres, which means that gas sparging did not induce flow reversal. Consequently the scouring of the fibre by falling film, an important mechanism in confined systems [11] did not occur. Moreover, contrary to what was expected, the average shear signals were, in general, lower than that observed in tight configuration, apart from some occasional peaks. Considering this result, the authors suggested that the fact that loose fibres move, and consequently have more probability of benefiting from air sparging, could explain their better performance. This would imply that aeration homogeneity is a predominant mechanism for filtration. The shear profile surrounding the fibre was also assessed by rotating the shear probe (with the probe facing away from the rising bubbles (probe was rotated 180° relative to the air diffusers) shear profiles were similar but lower in magnitude compared to those found when the probe faced the air diffuser. This result may be a first step in quantifying the degree of foulant control of fibres at different locations in a full-scale submerged hollow fibre system where there may be a great difference between the shear forces applied to the outer fibres, closer to air diffusers, and fibres located inside the module. This kind of probe could be used for a more accurate investigation of the homogeneity of air distribution through shear distribution in hollow fibre bundles and could thus lead to improvements in the air sparging efficiency.
Shear intensity can be directly linked to airflow rate through aeration intensity. Several models [59,90,91] use the apparent shear intensity $G$ defined as
$$G = \left( \frac{\rho_s g U_k}{\mu_s} \right)^{1/2}$$ \hspace{1cm} (8)
where $\rho_s$ is the sludge density, $g$ is the constant of gravity, $U_k$ is the aeration intensity and $\mu_s$ is the apparent viscosity. This expression was deduced from an energy analysis where power dissipation was expressed as a function of shear stress and velocity gradient.
CFD simulations were used to provide order of magnitude of shear stresses. Ndimisa et al. [92] and Prieske et al. [93] calculated shear stresses in the flat sheet configuration. They respectively found maximum value of 0.7 and around 4 Pa. More recently, attempts have been made to model hollow fibres but unconfined flow is very difficult to model and the effect of bubbles in submerged hollow fibres is still being assessed. For instance, in 2006 Bérubé et al. [88] stated that CFD analysis of dual-phase flow at the level of resolution of the motion and interaction of bubbles in non-confined three-dimensional systems was complex and beyond the scope of their study. Consequently they only treated the monophasic case and had problems even with this model. CFD simulations provided higher shear forces than experimentally. For a crossflow velocity of 0.2 m s$^{-1}$, average shear forces of 0.3, 0.26 and 0.24 Pa were predicted by CFD whereas the experiment gave 0.25, 0.18 and 0.15 Pa for respective heights of 10, 26 and 32 cm on 42-cm-long fibres. The fact that the fibre was modelled as a rigid body was thought to be the cause of this difference. This highlights the difficulty of modelling hollow fibres SMBRs. However this kind of investigations at a local scale is necessary to deepen the understanding of the mechanisms involved and the way that bubbles impact on filtration performance. In a recent study a particular configuration of SMBR was used to do so [63]. The module was composed of only 6 thin fibres to eliminate fibre movement and make it easier to simulate the geometry accurately. Wall shear stresses were measured along the membrane surface and rather low values were found with a maximum of 0.25 Pa.
### 3.3.2. Shear stress effect on sludge fractions
Particle size distribution (PSD) was found to be one of the main parameters influencing membrane fouling in an SMBR [94]. It should be noted that a small correlation was found between PSD and EPS concentrations, which effect will be discussed in the next part. The authors suggested that PSD should be taken as a separate membrane fouling factor. A later study focused more precisely on the effect of particle size. Mixed liquor with mean floc diameter larger than 80 μm was found to have good filterability (with a lower increase rate of membrane resistance) whereas, when the mean floc diameter was smaller than 80 μm, floc size had a more marked effect on permeability [95]. Although no general trend can be deduced from these works (the typical particle size found in these studies may depend strongly on the system configuration and the membrane used), they highlight the importance of understanding the effect of shear on floc size to run MBRs more efficiently.
The direct effect of aeration on sludge fractionation was assessed in a hollow fibre SMBR [76]. Airflow rate ranged from 0 to 4 L min$^{-1}$ and mean velocity gradients were estimated from 0 to 337 s$^{-1}$. Low aeration led to stronger fouling when the SS content increased from 7.0 g L$^{-1}$ to 14.3 g L$^{-1}$ and 21.0 g L$^{-1}$ due to the deposition of MLSS in the membrane. This was observed for aeration rates below 2 L min$^{-1}$, corresponding to a SAD$_{eff}$ of 12 m$^{-2}$ h$^{-1}$. Above this value, increasing the aeration did not have any beneficial effect. The authors concluded that the reason for this was not elucidated because the solutes and colloids became responsible for fouling. The influence of the different fractions is presented for the tested the airflow rate in Fig. 23. For low airflow rates, MLSS was the major...
foulant: shear was not strong enough to remove the cake layer and prevent the deposit of MLSS in the membrane. This explained why fouling rates were higher for high MLSS concentrations. When aeration intensity increased, colloids became the major foulant and MLSS made a negative contribution to fouling; they acted as a secondary membrane that prevented pore blocking as well as adsorption of colloids and solute on the membrane surface.
Similar results were found later [62]. Three SMBRs were run with different airflow rates: 150, 400 and 800 L h\(^{-1}\) (SAD\(_{90}\) of 1.5, 4 and 8 m\(^3\) m\(^{-2}\) h\(^{-1}\), respectively). At the beginning of the run (first 4 h) aeration had a positive effect. It removed foulants from the membrane surface and the MBR, with the highest airflow rate leading to the highest permeate flux. But in the long term (up to 400 h) only the MBR with medium airflow rate showed a steady permeate flux value. This was explained by the formation of a flocking layer acting as a secondary “dynamic membrane”. For the low airflow rate MBR, severe fouling occurred due to the deposition of a cake layer that could not be removed by air scouring whereas for the high airflow rate MBR, too high an aeration intensity led to the release of EPS and the breakage of sludge flocs. PSD analysis gave an insight into these mechanisms. It showed that, in the 3 MBRs, 70% of the particles had sizes ranging from 10 to 100 µm. However, only 20% were smaller than 50 µm in the low airflow MBR whereas 48% were below this size in the high airflow one. Moreover, the percentages of particles smaller than 10 µm were 0.126, 0.226 and 0.826 in the low, medium and high airflow rate MBRs respectively. This emphasizes the importance of these small particles, which is discussed hereafter.
### 3.3.2. Shear stress effect on extracellular polymeric substances
Besides having influence on fouling through a physical mechanism that modifies sludge fractionation, shear stresses can also impact the behaviour of biological media. Rochex et al. [96] applied shears from 0.055 to 0.27 Pa on biofilms in a conical Couette–Taylor reactor. High shear decreased the biofilm diversity and slowed down biofilm maturation. In the case of SMBRs, it is of interest to investigate how shear stresses modify the EPS concentrations. EPS are substances secreted by bacteria, which enable them to form aggregates such as flocs or biofilms. They may act on MBR fouling (i) because of their influence on flocculating ability and (ii) because of the formation of biofilms on the membrane surface (the death of bacteria in the biofilm leads to cake) and the resulting release of EPS could be involved in the TMP drop [19]. More recently, quorum sensing, the communication among bacteria via a small signal molecule, has been introduced as a new biofouling paradigm in MBRs for wastewater treatment [97]. Biofouling was prevented by regulating the soluble EPS concentration through quorum sensing control. Given their importance for MBR performances, EPS influence on the process has already been reviewed [6–8,98].
Park et al. [99] found that, in an airlift MBR, greater recirculation velocity induced more severe turbulence and reduced fouling until a threshold value was reached. But too high a recirculation velocity had a significant negative effect on the behaviour of flocs. It reduced their size and led to a release of polymeric substances, causing a rapid loss in membrane permeability.
Menniti et al. [100] studied the impact of shear rate on EPS production in a stirred SMBR. In the short term, high shear (1840 s\(^{-1}\)) was applied to activated sludge for 6 h. It resulted in a release of SMP detected through the increase in protein concentration, the carbohydrate concentration remaining little affected. Thus the authors observed an increase in fouling with a strong contribution of the soluble fraction of the mixed liquor. Increased mechanical shear was thought to erode the floc-associated EPS. Opposite effects were observed in a long-term experiment (134 days). Higher shear (1124 s\(^{-1}\) against 160 s\(^{-1}\)) reduced the concentration of bound and soluble EPS. This was correlated with lower fouling. For the second long-term experiment (56 days), fouling potential was still lower in the high-shear reactor. Floc-associated EPS were studied with atomic force microscopy to evaluate their adhesion force and stickiness. EPS concentration was related to higher shear stress stronger adhesion. But physical adaption of micro-organisms to the heavy mechanical stresses imposed by shear could explain this behaviour. These experiments dealt only with mechanical shear. Although they provide interesting results, EPS release specifically due to aeration should also be assessed. To the best of our knowledge, little work has so far been done on this subject in the SMBR configuration.
Ji and Zhou [101] observed the following effects of increasing aeration on EPS in the long term: increased concentration and decreased protein/carbohydrate ratio for soluble EPS (SMP) and both lower concentration and lower protein/carbohydrate ratio for bound EPS. The experiments were carried out with three lab-scale continuous-flow SMBRs at aeration rates of 20, 80 and 40 L h\(^{-1}\), which corresponded to respective SAD\(_{90}\) of 0.8, 0.53 and 0.27 m\(^3\) m\(^{-2}\) h\(^{-1}\). Filtration was performed on synthetic wastewater with a flow of 8 L m\(^{-2}\) h\(^{-1}\) for 170 days. Filtration cycles were defined as the period between two successive physical cleanings, the membrane being removed for cleaning it as soon as TMP reached 50 cm\(_{H_2O}\). The authors defined the parameter \(V_f\) that corresponded to the final VSS mass on the membrane at the end of each cycle (g m\(^{-2}\)). The strongest correlation with the TMP was found for the product of the protein/carbohydrate ratio by \(V_f\). This means that the composition and also the quantity of sludge that has accumulated on the membrane have an impact on fouling. The beneficial effect of aeration is explained by the declining protein/carbohydrate ratio. This is consistent with another study which showed that activated sludge flocs with higher protein/carbohydrate ratios were less stable [102]. Hence it was possible to reach larger values of \(V_f\) thus accumulating more material on the same membrane for the same fouling, and consequently work on longer cycles. In this case [101], aeration had a combined impact, by scouring the membrane and modifying the EPS composition. It appears that, under higher airflow rate (and consequently shear stress) the microbial community reacts differently. It seems to adapt towards a more stable floc structure with a lower protein/carbohydrate ratio.
A new mechanism has been proposed to account for the beneficial effect of aeration related to its influence on predation [103]. Predation by the large aquatic earthworm *Aelosoma hemprichi* increased the floc-associated EPS production in MBR biomass. In this study, the aeration did not have a direct effect on EPS concentrations but *A. hemprichi* proliferated in low-shear experiments whereas they were never observed in higher-shear reactors. Membrane fouling was related to the EPS concentrations, which showed the importance of predation in MBR fouling management.
### 3.4. Conclusion on local phenomena induced by the aeration
In MBR the filtration flux infers a transport of solids and soluble elements towards the membranes which contributes to fouling. Coarse bubble aeration is imposed to limit this fouling. There are several hypotheses of local phenomena involved in the effect of this aeration, without knowing how to quantify their respective contribution:
– The movement of bubbles infers a movement in the inverse direction of the filtration of the fluid and of the solid close to the membrane wall [23,58,79].
– The passage of bubbles inferring a movement of fibres, what favours the fouling abrasion by contact of fibres [81] and increases the shear stresses close to the wall of membranes [82].
– The generation of shear stresses that could remove the fouling cake close to the wall of membranes was shown experimentally [82,86–88]. These shear stresses can be quantified by numerical simulation [92,93].
– The shear stresses in the bulk have an influence both on floc size [94,95] and on EPS concentrations [100,101].
To progress in the understanding of the process operation, it would be interesting to make a mapping which locates the TMP increasing rate depending on various parameters i.e. instantaneous flux, SS, SPM, SAD$_p$; this would allow a comparative quantification of every phenomenon.
The fundamental understanding of local scale phenomena induced by aeration that occur at the membrane surface would also be useful to develop global MBRs model. As underlined by some authors [104] who tackled CFD issues, the natural progression for the development of an MBR CFD model would be the incorporation of bioreactions such as the activated sludge model (ASM). This seems to emerge as a trend and ASM based modelling of MBRs have recently been reviewed [105]. In a further step a global model linking operational parameters, biokinetics and transport/adhesion phenomena would be a powerful tool to manage MBRs, attempts has already been done [91] but there is still a need for more improvement.
4. Conclusion
Significant progress has been done towards SMBRs in the last years and the process has changed with time regarding structure (packing density, fibre diameter and length, etc.) as well as operating conditions (MLSS concentration, permeate flux and aeration). Some years ago the process was often operated with very high SS concentrations, up to 30 g L$^{-1}$ whereas nowadays the concentrations are still higher than those of CASP but much lower than previously with a range of 6–20 g L$^{-1}$.
Filtration flux and sequencing management have already been widely investigated. Even if it is sometimes impossible to manage MBRs without backwashing, this operation has proved not to be of any great interest in terms of mean flux. Intermittent filtration with short relaxation time is more efficient because of the lower instantaneous fluxes and it reduces for the same water production.
More recently care as been taken to aeration parameters improvement. Aeration is more efficient when the operating conditions (high MLSS and permeate flux) generate fouling. As with hydrodynamics, aeration sequencing management is important: intermittent aeration, especially working with intermittent filtration, enables to save energy. But further work is required to lower the energy consumption involved by air sparging. It should be pointed out that there is a lack of standardised method to compare studies. This problem has already been mentioned in former reviews dealing with membrane fouling and it is also true for hydrodynamics and the characterization of aeration global effect. Similarly it is possible to find many studies that test the same parameter but given the wide range of operating parameters and MBRs configurations, comparing them would not be consistent most of the time. Finally there is a lack of real scale study and many pilots are run with synthetic effluent. It is thus difficult to provide an optimal operational setting even if the existence of a threshold of filtration efficiency related with airflow rate is demonstrated.
One strategy would be to find global trends that could be applied to all MBRs. More particularly, there is a need to quantify the predominant mechanism induced at local scale by aeration that improves the filtration performance, depending on operating conditions. These mechanisms are:
- Turbulences, which have a positive effect on the enhancement of back-transport. The membrane may also face more homogeneous hydrodynamic conditions because of the unsteady property of turbulent flow.
- Fibre movement, which would increase the probability for the membrane to benefit from air sparging and allow higher shear to be induced by the liquid.
- Air shear stresses, which can have both positive and negative impact; a balance must be found between the increase of shear stresses that will allow the removal of foulants sticking to membrane on the one hand, and the preservation of the mixed liquor integrity on the other hand.
At a wider scale, hydrodynamics and aeration homogeneity are of prime importance to produce even fouling distribution. The particular case of permeation flux mal-distribution along a hollow fibre is well known but the same behaviour has been observed at the global scale of SMBRs.
In conclusion, improving MBRs may require a double approach that would tackle the issue of local mechanisms and the design considerations. CFD may be a very powerful tool for this purpose and has already been validated its efficiency on the two cases. A further step would be the implementation of a global dynamic model that would enable the energy consumption of the process to be monitored. Attempts have already been made, combining biological and hydrodynamic conditions in a same model. However modelling difficulties due to phenomena involving different time scales required specific settings which limit the generalization of the whole process model. Abetter knowledge of the influence of local mechanisms and of the behaviour of biological media is expected to update these models and consequently increase the energy savings related to aeration.
| Nomenclature |
|--------------|
| ASM | activated sludge model |
| CASP | conventional activated sludge process |
| CTA | constant temperature anemometry |
| CFD | computational fluid dynamics |
| EPS | extracellular polymeric substances |
| FS | flat sheet |
| HF | hollow fibre |
| $J$ | filtration flux (L h$^{-1}$ m$^{-2}$) |
| $J_b$ | backwash flux (L h$^{-1}$ m$^{-2}$) |
| MBR | membrane bioreactor |
| MLSS | mixed liquor suspended solids (g L$^{-1}$) |
| MLVSS | mixed liquor volatile suspended solids (g L$^{-1}$) |
| PIV | particle image velocimetry |
| PSD | particle size distribution |
| $Q_a$ | airflow rate (m$^3$ h$^{-1}$) |
| $Q_p$ | permeate flux (m$^3$ h$^{-1}$) |
| $S_m$ | membrane surface area (m$^2$) |
| $S_r$ | cross-sectional area of the membrane module (m$^2$) |
| SAD$_m$ | specific aeration demand in m$^3$ h$^{-1}$ air m$^{-2}$ membrane area |
| SAD$_p$ | specific aeration demand in m$^3$ h$^{-1}$ air m$^{-3}$ h$^{-1}$ permeate product |
| SMBR | submerged membrane bioreactor |
| SMP | soluble microbial products |
| SS | suspended solids (g L$^{-1}$) |
| $T$ | air/process temperature (K) |
| TMP | transmembrane pressure |
| $U_S$ | superficial gas velocity (m s$^{-1}$) |
References
[1] S. Judd, The status of membrane bioreactor technology, Trends Biotechnol. 26 (2008) 109–116.
[2] A.F. Van der Maasland, I. Tognetti, G.A. Uijterlinde, F.L. Schulting, Review on the state of science on membrane bioreactors for municipal wastewater treatment, Water Sci. Technol. 57 (2008) 979–986.
[3] Frost Sullivan, MBR market worldwide is experiencing strong growth, Membr. Technol. (2008) 10–11.
[4] B. Lesjean, H. Broujes, Survey of the European MBR market: trends and perspectives, Desalination 231 (2008) 71–81.
[5] Z. Xiang, Z. Yufen, C. Shanghua, Z. Hong, Z. Zhongping, Survey of MBR market: trends and perspectives, Desalination 250 (2010) 609–612.
[6] P. Le-Clech, V. Chen, T.A.G. Fane, Fouling in membrane bioreactors used in wastewater treatment, J. Membr. Sci. 284 (2006) 17–53.
[7] F. Meng, S.S. Chai, A. Drews, M. Kraume, H.S. Shin, P. Yang, Recent advances in membrane bioreactors (MBR): membrane fouling and membrane material, Water Res. 43 (2009) 1489–1512.
[8] A. Drews, Membrane fouling in membrane bioreactors – characterisation, consequences and cures, J. Membr. Sci. 363 (2010) 1–28.
[9] J.A. Gil, L. Tiua, B. Montaño, M. Rodriguez, D. Prats, Monitoring and analysis of the energy cost of an MBR, Desalination 250 (2010) 997–1001.
[10] A. Fane, J. Wang, M. Wiesner, K. De Wever, C. Gugia, G. Favier, R. Van de Steene, Energy audit of a full scale MBR system, Desalination 262 (2010) 121–128.
[11] Z.-L. Cui, J. Chang, A.G. Fane, The use of gas bubbling to enhance membrane processes, J. Membr. Sci. 221 (2003) 1–35.
[12] E. Germain, T. Stephenson, P. Pearce, Biogas characteristics and membrane aeration: towards a better understanding of membrane fouling in submerged membrane bioreactors, MBRs, Bioresour. Biogas. 90 (2005) 316–322.
[13] P. Gui, X. Huang, Y. Chen, Qian, Effect of operational parameters on sludge accumulation on membrane surfaces in submerged membrane bioreactor, Desalination 208 (2008) 185–192.
[14] U. Metzger, P. Le-Clech, R.M. Stuetz, H.F. Frimmel, V. Chen, Characterization of polymeric fouling in membrane bioreactors and the effect of different filtration modes, J. Membr. Sci. 262 (2005) 1–10.
[15] A. Pullic, A. Brookes, B. Jefferson, S. Judd, Sub-critical flux fouling in membrane bioreactors—a review of recent literature, Desalination 174 (2005) 221–230.
[16] P. Barcia, P. Ammar, R.W. Field, Critical and sustainable fluxes: theory, experiments and applications, J. Membr. Sci. 281 (2006) 42–46.
[17] J. Zhang, H.C. Chua, J. Zhou, A.G. Fane, Factors affecting the membrane performance in submerged membrane bioreactors, J. Membr. Sci. 284 (2006) 54–66.
[18] G. Guglielmelli, D.P. Santoro, L. Chiavari, G. Andreussi, Subcritical fouling in a membrane bioreactor for municipal wastewater treatment: experimental investigation and mathematical modelling, Water Res. 41 (2007) 3903–3914.
[19] B.K. Hwang, W.N. Lee, K.M. Yoon, P.K. Park, C.H. Lee, I.S. Chang, A. Drews, M. Kraume, Correlating TMP increases with microbial characteristics in the bio-cake on the membrane surface in a membrane bioreactor, Environ. Sci. Technol. 42 (2008) 3868–3874.
[20] S. Chai, A.G. Fane, S. Nirmawar, Modeling and optimizing submerged hollow fiber membrane bioreactors, AIChE J. 48 (2002) 2203–2212.
[21] S.H. Yoon, H.S. Kim, I.Y. Yoon, Optimization of submerged hollow fiber membrane bioreactor, J. Membr. Sci. 234 (2004) 147–156.
[22] K. Yu, X. Wen, Q. Bu, H. Xia, Critical flux enhancements with air sparging in axial hollow fibers cross-flow microfiltration of biologically treated wastewater, J. Membr. Sci. 321 (2008) 10–16.
[23] A.P.S. Yeo, A.W.K. Law, A.G.T. Fane, Factors affecting the performance of a submerged hollow fiber bundle, J. Membr. Sci. 280 (2006) 969–982.
[24] F. Wicaksana, A.G. Fane, A.W.K. Law, The effect of constant temperature annealing for permeability and discoloration measurements in a submerged hollow fibre system, J. Membr. Sci. 339 (2009) 195–203.
[25] A. Yao, A. Drews, Performance of individual fibres in a submerged hollow fibre module, Water Sci. Technol. 51 (2005) 105–112.
[26] W.Y. Kiat, K. Yanamoto, S. Ohgaki, Optimal fibre spacing in externally pressurized hollow fibre module for solid liquid separation, Water Sci. Technol. 26 (1992) 1245–1254.
[27] P. Le-Clech, J. Zhang, M. Hasan, A. Grasmick, Influence of module configuration and hydrodynamics in water clarification by immersed membrane systems, Water Sci. Technol. 51 (2005) 135–142.
[28] J. Lebon, A. Drews, A. Grasmick, Membrane bioreactor: distribution of critical flux throughout an immersed HF bundle, Desalination 231 (2008) 245–252.
[29] R. Ghisalberti, D. Veyret, P. Moulin, Computational fluid dynamics applied to membranes: state of the art and opportunities, Chem. Eng. Process. 45 (2006) 437–454.
[30] J. Günther, P. Schmitt, C. Alblas, C. Lauffargue, A numerical approach to study the impact of packing density on fluid flow distribution in hollow fiber module, J. Membr. Sci. 346 (2010) 277–286.
[31] J.D. Rogers, R.L. Long, J. Modeling hollow fiber membrane contactors using fiber bundles: fouling mechanisms and fouling factors for systems with interface reactions, J. Membr. Sci. 134 (1997) 1–17.
[32] J. Wu, V. Chen, Shell-side mass transfer performance of randomly packed hollow fiber modules, J. Membr. Sci. 172 (2000) 59–74.
[33] Y. Wang, F. Chen, Y. Wang, C. Luo, Y. Dai, Effect of random packing on shell-side flow and mass transfer in hollow fiber module described by normal distribution function, J. Membr. Sci. 216 (2003) 81–93.
[34] J. Zheng, Y. Xu, Z. Xu, Flow distribution in a randomly packed hollow fiber membrane module, J. Membr. Sci. 211 (2003) 263–269.
[35] S.P. Hong, T.H. Bae, J. Kim, Tak, J. Kim, A. Ramaswamy, fouling control in activated sludge submerged hollow fiber membrane bioreactors, Desalination 143 (2002) 215–228.
[36] J. Wu, P. Le-Clech, R.M. Stuetz, A.G. Fane, V. Chen, Effects of relaxation and backwashing conditions on fouling in membrane bioreactor, J. Membr. Sci. 324 (2008) 26–32.
[37] J. Wu, P. Le-Clech, R.M. Stuetz, A.G. Fane, V. Chen, Novel filtration mode for fouling prevention in membrane bioreactors, Water Res. 42 (2008) 3677–3684.
[38] H.C. Chua, T.C. Arndt, J.A. Howell, Controlling fouling in membrane bioreactors operated with a variable aeration regime, Desalination 149 (2002) 119–128.
[39] J.A. Howell, H.C. Chua, T.C. Arndt, In situ monitoring of critical flux in a submerged membrane bioreactor using variable aeration rates, and effects of membrane type, J. Membr. Sci. 242 (2004) 13–19.
[40] N.O. Yildiz, M. Yilmaz, M. Harmanci, M. Ozkan, M. Kirs, Effects of various backwash scenarios on membrane fouling in a membrane bioreactor, Desalination 237 (2009) 346–356.
[41] J. Wu, Y. Wang, Z. Wang, Y. Dai, Q. Zhou, D. Yang, Membrane fouling properties under different filtration modes in a submerged membrane bioreactor, Process Biochem. 45 (2010) 1699–1706.
[42] S. Chiang, A.G. Fane, The effect of fibre diameter on filtration and flux distribution in response to submerged hollow fibre modules, J. Membr. Sci. 184 (2001) 221–231.
[43] M. Gander, B. Jefferson, S. Judd, Aergic MBRs for domestic wastewater treatment: a review with cost considerations, Sep. Purif. Technol. 18 (2000) 119–130.
[44] T. Meijns, B. Jefferson, P. Bixio, A. De Wever, W. De Wilde, J. De Koning, J. van der Gaast, M. Gander, Membrane bioreactors for wastewater treatment and reuse, Desalination 187 (2006) 271–286.
[45] S. Judd, The MBR Book, Elsevier, Amsterdam, 2006.
[46] S. Follet, Caractérisation du comportement de l’hydrodynamique dans les bioreacteurs à membranes: étude de la caractérisation d’un module et de l’aération, PhD Thesis, Institut National des Sciences Appliquées, Toulouse, France, 2003.
[47] T. Meijns, P. Verrecht, S. Moerenhout, S. Judd, I. Nopens, BSM-MBR: a bench-scale simulation model to compare control and operational strategies for membrane bioreactors, Water Res. 45 (2011) 2181–2190.
[48] L. Ravelle, M. Sperandeo, C. Gugia, Dépoussières techniques des bioreacteurs à membranes pour le traitement des eaux résiduaires urbaines, Proceedings of Journées Techniques En Eau et Déchets, Toulouse, France, 2010, http://congres.techniques-en-eau.fr/2010/pdf/1001.pdf.
[49] S. Follet, M. Gander, D. Duc, L. Ferreira, J. Lavecchia, B. Lesjean, P. Grelier, A. Tazi-Pain, Local hydrodynamic investigation of the aeration in a submerged hollow fibre membrane cassette, J. Membr. Sci. 321 (2008) 264–271.
[50] M. Gander, B. Jefferson, W. De Wilde, Design of aeration devices for air sparging in crossflow membrane filtration, J. Membr. Sci. 277 (2006) 258–269.
[51] R. Ghosh, Enhancement of membrane permeability by gas-sparging in submerged hollow fibre ultrafiltration of macromolecular solutions: role of module design, J. Membr. Sci. 274 (2006) 73–82.
[52] Y. Liu, Z. Ding, F. Liu, Z. Wang, R. He, The influence of bubble characteristics on the performance of submerged hollow fiber membrane module used in microfiltration, Sep. Purif. Technol. 61 (2008) 89–95.
[53] F. Wicaksana, A.G. Fane, V. Chen, Fibre performance indexed by bubbling using submersed hollow fibre modules, J. Membr. Sci. 271 (2005) 186–196.
[54] C.W. Kang, J. Hua, J. Lou, W. Liu, E. Jordan, Bridging the gap between membrane bio-reactor (MBR) pilot and plant studies, J. Membr. Sci. 325 (2008) 861–871.
[55] W.N. Lee, W.S. Cheong, K.M. Yoon, B.K. Hwang, C.H. Lee, Correlation between local TMP difference and membrane porosity on the membrane in submerged MBR, J. Membr. Sci. 333 (2009) 50–55.
[56] S. Chiang, A.G. Fane, Filtration of biomass with axial inter-fibre upward slug flow performance and mechanisms, J. Membr. Sci. 180 (2000) 57–69.
[57] A.P.S. Yeo, A.W.K. Law, A.G.T. Fane, The relation between performance of submerged hollow fibre membrane bioreactors and fouling phenomena examined by particle image velocimetry, J. Membr. Sci. 304 (2007) 125–137.
[58] T. Ueda, K. Hata, Y. Kikukawa, O. Seino, Effects of aeration on suction pressure in submerged hollow fiber membrane bioreactor, J. Membr. Sci. 311 (2008) 458–464.
[59] S. Delgado, R. Villanell, E. Gonzalez, Effect on the shear intensity on fouling in submerged membrane bioreactor for wastewater treatment, J. Membr. Sci. 311 (2008) 10–17.
[60] A. Sankar, W.J. Ng, S.L. Ong, Engineering design approaches for minimum fouling in submerged MBR, Desalination 160 (2004) 67–74.
[61] P. Le Clech, B. Jefferson, S. Judd, Impact of aeration, solids concentration and membrane characteristics on the transmembrane performance of a membrane bioreactor, J. Membr. Sci. 218 (2003) 117–129.
[62] F. Meng, F. Yang, B. Shi, H. Zhang, A comprehensive study on membrane fouling in submerged hollow fiber membrane bioreactors operated under different aeration intensities, Sep. Purif. Technol. 59 (2008) 91–100.
[63] L. Martellini, C. Gugia, A. Line, Characterisation of hydrodynamics induced by air injection related to membrane fouling behaviour, Desalination 250 (2010) 587–591.
[64] J.P. Nywenning, H. Zhou, Influence of filtration conditions on membrane fouling and scouring action: Effective use in submerged membrane bioreactors to treat municipal wastewater, Water Res. 43 (2009) 3548–3558.
[65] R. Krishna, M.J. Urusman, J.M. Van Baten, J. Ellenberger, Rise velocity of a swarm of large bubbles in liquid suspension, Eng. Sci. Technol. 17 (1971) 1–10.
[66] Q. Li, Z.F. Guo, D.S. Wang, Effect of bubble size and frequency on the permeate flux of gas sparged ultrafiltration with tubular membranes, Chem. Eng. J. 67 (1997) 71–75.
[67] C. Gauthier, P. Taborie, J.M. Lainé, How slug flow can improve ultrafiltration flux in organic hollow fibres, J. Membr. Sci. 128 (1997) 93–101.
[68] T. Taha, Z.F. Cui, Effect of gas sparged ultrafiltration in tubular membranes, J. Membr. Sci. 210 (2002) 13–27.
[69] A.G. Fane, S. Yeo, A. Law, K. Paramasivan, F. Wicaksana, V. Chen, Low pressure membrane processes – doing more with less energy, Desalination 185 (2005) 159–165.
[70] J.V. Yu, Y.P. Wu, Z.L. Chen, J. Nan, G.B. Li, Air bubbling for alleviating membrane fouling of immersed hollow-fiber membrane for ultrafiltration of river water, Desalination 260 (2010) 225–231.
[71] K. Zhao, C. Cui, R.W. King, Effect of bubble size and frequency on mass transfer in flat sheet MBR, J. Membr. Sci. 332 (2009) 30–37.
[72] J.B.L.M. Campelo, J.R.F. Guedes, M.A. Valvão, An experimental study of the wake of gas slugs, Chem. Eng. J. 130 (2007) 22–31.
[73] D. Sjöberg, R. Ben Aim, H. Röhle, P. Côté, Aeration performance of immersed hollow-fiber membranes in a benthone suspension, Desalination 148 (2002) 385–392.
[74] R. Van Kaam, D. Anne-Archard, M. Alliet, S. Lopez, C. Albiac, Aeration, shear stress and sludge rheology in a submerged membrane bioreactor: some keys of energy saving, Desalination 199 (2006) 482–488.
[75] R. Van Kaam, D. Anne-Archard, M. Alliet, S. Lopez, A. Bialas, Rheological characterization of mixed liquor in a submerged membrane bioreactor: interest for process management, J. Membr. Sci. 317 (2008) 26–33.
[76] F. Fan, X. Zhang, Interactions between activated sludge liquor fractions on membrane fouling for submerged membrane bioreactor processes in wastewater treatment, Environ. Sci. Technol. 41 (2007) 2523–2528.
[77] O. Lorain, P.B. Dufaye, W. Bossi, J.M. Espenan, A new membrane bioreactor geometry: influence of the aeration strategy on membrane-shear stress management by sequencing aeration cycles, Desalination 250 (2010) 630–643.
[78] I. Stevenson, S. Judd, B. Jefferson, K. Brindle, Membrane Bioreactors for Wastewater Treatment, IWA Publishing, London, 2000.
[79] J. Orantes, C. Gauthier, M. Herbelin, A. Grassick, The influence of operating conditions on permeability changes in a submerged membrane bioreactor, Sep. Purif. Technol. 52 (2006) 60–66.
[80] S. Chang, A.G. Fane, Filtration of biomass with lab-scale submerged hollow fibre membranes: the effect of aeration conditions and module configuration, J. Chem. Technol. Biotechnol. 77 (2002) 1030–1039.
[81] P.R. Berubé, E. Lei, The effect of hydrodynamic conditions and system configurations on the permeate flux in a submerged hollow fibre membrane system, J. Membr. Sci. 271 (2006) 28–36.
[82] C.C.V. Chan, P.R. Berube, E.R. Hall, Shear profiles inside gas sparged submerged hollow fiber membrane modules, J. Membr. Sci. 297 (2007) 104–120.
[83] G. Geninat, T.D. Wong, A. Fane, S. Chang, The effect of vibration and coagulant addition on the filtration performance of submerged hollow fibre membranes, J. Membr. Sci. 281 (2006) 726–734.
[84] I. Seysseigne, J.H. Ferrasse, N. Roche, State-of-the-art: rheological characteristics of wastewater treatment sludge, Biochem. Eng. J. 12 (2003) 41–56.
[85] A. Police, C. Gauthier, G. Lacra, D. Saturnus, G. Mihindu, Physical characteristics of the sludge in a complete retention membrane bioreactor, Water Res. 41 (2007) 1832–1840.
[86] G. Ducout, F.P. Puech, C. Cabassud, Air sparging with flat sheet nanofiltration: field activities wall linear stresses and flow enhancement, Desalination 145 (2002) 97–102.
[87] C. Gaucher, P. Legendrehomme, P. Joly, J. Couderc, J. Pons, Hydrodynamics study in a plate ultrafiltration module using an acousto-optical method and particle image velocimetry visualization, Exp. Fluids 32 (2002) 283–293.
[88] P.R. Berubé, G. Afonso, F. Taghipour, C.C.V. Chan, Quantifying the shear at the surface of submerged hollow fiber membranes, J. Membr. Sci. 279 (2006) 495–502.
[89] C.C.V. Chan, P.R. Berube, E.R. Hall, An investigation of the hydrodynamic conditions inside a submerged membrane module under aeration, in: British Columbia Water and Wastewater Association Annual General Meeting, Whistler, British Columbia, 2006.
[90] X. Li, X. Wang, Modelling of membrane fouling in a submerged membrane bioreactor, J. Membr. Sci. 262 (2005) 1–10.
[91] A. Abassi, J. Gonzalez, S. Schette, M. Alliet, U. Jauregui-Haza, C. Abassi, Modelling of submerged membrane bioreactor: conceptual study about link between activated sludge biokinetics, aeration and fouling process, J. Membr. Sci. 325 (2008) 61–68.
[92] N.V. Ndiniña, A.G. Fane, D.E. Wiley, Fouling control in a submerged flat sheet membrane system, Part II: Membrane fouling characterization and CFD simulations, Sep. Purif. Technol. 41 (2004) 138–140.
[93] H. Priestel, L. Behm, A. Drewes, M. Kraume, Optimised hydrodynamics for membrane bioreactors with immersed flat sheet membrane modules, Desalination Water Treat. 11 (2010) 267–279.
[94] X. Li, X. Zhang, F. Yang, Y. Zhang, Y. Li, X. Zhang, Identification of activated sludge properties affecting membrane fouling in submerged membrane bioreactors, Sep. Purif. Technol. 51 (2006) 99–102.
[95] X. Li, X. Zhang, Effect of microbial properties on fouling propensity in membrane bioreactors, J. Membr. Sci. 342 (2009) 88–96.
[96] A. Rochex, J.J. Godon, N. Bernet, E. Escudie, Role of shear stress on compaction and growth dynamics of biofilm bacterial communities, Water Res. 42 (2010) 4915–4922.
[97] K.M Yeon, W.S. Cheong, H.S. Oh, W.N. Lee, B.K. Hwang, C.H. Lee, H. Beyenal, Z. Lewandowski, Quorum sensing: a new biofouling control paradigm in membrane bioreactors for wastewater treatment, Environ. Sci. Technol. 43 (2009) 380–385.
[98] A. Drewes, C.H. Lee, M. Kraume, Membrane fouling – a review on the role of EPS, Water Res. 40 (2006) 186–189.
[99] J.S. Park, K.Y. Yeon, C.H. Lee, Hydrodynamics and microbial physiology affecting performance of a new MBR with integrated-coupled high-performance composite membrane, Water Res. 43 (2009) 181–190.
[100] A. Menniti, S. Kang, M. Elimelech, E. Morenguth, Influence of shear on the production of extracellular polymeric substances in membrane bioreactors, Water Res. 43 (2009) 4004–4015.
[101] L.J. Joubert, The influence of aeration on microbial polymers and membrane fouling in submerged membrane bioreactors, J. Membr. Sci. 276 (2006) 168–177.
[102] G.P. Sheng, H.Q. Yu, X.Y. Li, Stability of sludge flocs under shear conditions: roles of extracellular polymeric substances, Biotechnol. Bioeng. 93 (2006) 1095–1102.
[103] A. Menniti, E. Morenguth, The influence of aeration intensity on predation and EPS production in membrane bioreactors, Water Res. 44 (2010) 2541–2553.
[104] M. Brannock, Y. Wang, G. Leslie, Mining characterisation of full-scale membrane bioreactors: CFD modelling with experimental validation, Water Res. 44 (2010) 3181–3192.
[105] A. Fenu, G. Guglielm, J. Jimenez, M. Sperandio, D. Saroj, B. Lesjean, C. Breols, C. Thoeye, N. Nopens, Activated sludge model ASM based modelling of membrane bioreactor (MBR) processes: a critical review with special regard to MBR-specificities, Water Res. 44 (2010) 4272–4294.
|
Implementing ‘Awakened Need of Change’ for Applying Ergonomics to Work System with Macroergonomics Approach in an Industrially Developing Country and its Meta-Reflection
Nosrat Abdollahpour* and Faramarz Helali**
1Department of Occupational Health Engineering, University of Medical Sciences Tabriz, Iran
2Department of Business Administration, Technology and Social Sciences, Lulea University of Technology, 971-87 Lulea, Sweden
Abstract
This study aimed to create macroergonomics awareness and wakefulness at the organizational level at a manufacturing company with emphasis on understanding the importance improving “Working Conditions Systems” (Health, Safety, and Ergonomics) and understanding the necessity of applying ergonomics to work system. It sought to develop a vision and plan as well as creating learning opportunities for organizational work when the researchers led by the company and the participation of participants not only on people or technical work tools. The survey approach was used. Data was collected from several steps with different sample participants: 1) Three questionnaires were conducted on managers viewpoint (29 people), on health, safety and environment staff’s viewpoint (5 people) and operating worker’s viewpoint (85 people), 2) Using of the “Future Workshop” for middle managers (15 participants), 3) Using of ILO ergonomics checklist in one of units of the company (29 participants), 4) Evaluating the workshop among middle managers (15 participants), 5) Interview with some participants in “Future Workshop” (10 people), 6) And, 8) Interview with some participants results in applying macroergonomics concept (4 participants), 7) Review of the organizational documents was used. In the data collection, the participants were made to study the organizational knowledge with different PDSA cycles of learning and the desire of understanding for changing the improving working condition system when an external and internal facilitator team was formed. Based on the analysis of participants feedbacks on the implementation of different work evaluation approaches and their reflection from learning, key findings were made through intentional learning on PDSA Cycles of learning, based on a systemic pre-macroergonomics intervention work process on how the participants could be ‘empowerment through reflection’ with the different getting learning understanding when there were the different concepts of “learning” and reply on the appreciative inquiries as a meta-reflection.
Keywords: Macroergonomics; Work system; PDSA cycles of learning; Awakened Need of Change; Macroergonomic intervention; Industrially Developing Countries (IDCs)
Introduction
The significant role of macroergonomics and important subsystems
In the 90’s decade, the interest in ergonomics issues in a wide sense grew in enterprise level, as a result of an increasing awareness of the importance of those matters for corporate core values such as productivity, quality and an inevitable change process [1]. Hendrick is attributed macroergonomics with the formalization of Organizational Design and Management (ODAM) in ergonomics [2]. For many years now (since the early 1980s), ODAM factors become an accepted field of research for ergonomics. For this reason that ‘Historical Development of Macroergonomics’ by Hendrick): Macroergonomics is a top-down sociotechnical system approach to the design of work systems and the application of the overall work-system design of the human-job, human-machine, and human-software interfaces [2,3]. It is the formalization of attention to ODAM factors in ergonomics [4]. Macroergonomics is based on, the sociotechnical systems framework, which dates back to English coal mine studies performed, by Trist and Bamforth of the London Traviostock Institute [5].
Hendrick claimed, “Good ergonomics is good economics” and defended this point with 25 case studies showing the business value of macroergonomic interventions work [6].
Experience from Industrialized Countries (ICs) and also Industrially Developing Countries (IDCs) shows that consideration of macroergonomics play a significant role in creating the appropriate working environment in which participants are motivated to participate and better utilize company resources for increasing system productivity, reliability and availability [7-14].
Hendrick noted that macroergonomics intervention begins with an assessment of the relevant sociotechnical variables and their implications for the design of the structure of the work system and processes [15,16]. Once key characteristics of the overall work system have been determined, microergonomics prescriptions, such as how to optimally allocate functions and tasks to humans and machines, can be accomplished [16]. A sociotechnical system is a bounded, purposeful enterprise comprised of people whose purpose is to transform inputs into outputs [17]. The system is open in that it exists in and is influenced by an environment [4]. Mumford states that sociotechnical system design has two important components (i.e., to humanise work and support democracy at work) [18]. According to Trist et al., some of the primary principles of socio-technical system are as follows [19]:
*Corresponding author: Faramarz Helali, Department of Business Administration, Technology and Social Sciences, Lulea University of Technology, SE-971 87, Lulea, Sweden, Tel: +46738070567; Fax: +46920491030; E-mail: firstname.lastname@example.org
Received October 28, 2016; Accepted November 18, 2016; Published November 25, 2016
Citation: Abdollahpour N, Helali F (2016) Implementing ‘Awakened Need of Change’ for Applying Ergonomics to Work System with Macroergonomics Approach in an Industrially Developing Country and its Meta-Reflection. J Ergonomics 6: 182. doi: 10.4172/2165-7556.1000182
Copyright: ©Abdollahpour N, et al. This is an open-access article distributed under the terms of the Creative Commons Attribution License, which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.
• Work organizations consist of two independent yet interdependent systems: the technical system (equipment, machinery, chemical processes, etc.) and the social system (individual workers and groups of workers).
• The work system is the basic unit, comprising a set of activities that make up a functioning whole, rather than single jobs and tasks.
• The work group, rather than the individual jobholder, is central.
• Regulation of the system is performed by the group itself, instead of by supervisors (completely counter to Taylor’s scientific management notions).
• An individual worker is complementary to the machine, rather than an extension of it.
• In sociotechnical theory, the system is broken into three subsystems: technological, personnel, and job design [16]. The technological sub-system contains the tools, technology, work rules, and processes that convert system inputs into outputs [16].
As illustrated in the Work System Sub-Systems are several important sub-systems, including the personnel sub-system, technological sub-system, organizational job and task design, and the internal and external environments [7,20]. The three major principles behind sociotechnical system theory [21] are: 1) Joint causation (i.e., a characteristic of sociotechnical systems is that they are open systems); 2) Joint optimization (i.e., if the personnel or technological sub-system were to be optimized, the result would be a sub-optimized system); and 3) Joint design (i.e., joint optimization is achieved through joint design. According to Kleiner and Drury, these can be factors of a successful macroergonomic practice [22]. The requirements of each sub-system are considered along with the influence of the environment in designing the system) [16]. There are at least three major characteristics of the personnel sub-system these are sensitive to the design of an organization’s work system structure [15]: 1) The degree of professionalism; 2) Demographic characteristics; and 3) Psychosocial aspects of the workforce.
For this reason that the three major sociotechnical system elements include the: (1) Technological subsystem; (2) Personnel subsystem; and (3) Relevant external environment that permeate the organization [23]. Empirical models have been developed that study each of the sociotechnical system elements in relation to the effects upon the three organizational design dimensions of complexity (degree of differentiation and integration that exist within a work system’s structure, formalization (degree of differentiation and integration that exist within a work system’s structure.), and centralization (degree to which jobs within the work system are standardized. Centralization—where formal decision-making occurs within the work system [3,24].
Macroergonomics is concerned with the optimization of work system design through the consideration of relevant social, technical, and environmental variables and their inter-actions [22]. An important outcome of macroergonomics intervention is a culture change, where organizational culture is primarily defined as organization’s core values, but which also includes traditions and unwritten rules [2,25]. Kleiner in Europe, there has been a strong tradition to investigate ergonomics problems within a holistic, systems context. “Macroergonomics” builds upon this tradition by providing specific methods and tools that yield large-scale results [20].
**IDCs, the Ergonomists’ work and their common outcome of the past activities in IDCs**
It is noted about IDCs and the ergonomists’ work that “Talking about ergonomics in relation to IDCs means that we have to define what is an IDC, not by economic criteria (e.g., GNP (Gross National Product)) but by population, prevailing forms of work and work ethic [26]. The case in point is studies of ergonomists who had conducted interventions in IDGs such as H, Shahnazav, K. Kogi, H.W. Hendrick, PA Scott, A. Wisner and others was reviewed by Yeow and Sen [27]. On the other hand, the development and the need for ergonomics in IDCs is emphasized by Scott when Ergonomics can play a key role on assisting developing areas to break out of their negative poverty-driven spiral. Indeed, ergonomics can be a major factor in narrowing the gap between the ‘rich’ and the ‘poor’ nations of the world [11]. For this reason that, the working conditions in IDCs have been described by Shahnazav, Scott, and Scott and Shahnazav as ‘suboptimal’, ‘physically demanding’ and a complex array of problems [28-30]. The lack of awareness about the potential benefits of ergonomics is the primary cause for underutilization of ergonomics principals. There is, however, no doubt that application of micro and macroergonomics is essential for improving working conditions, system efficiency and promotion of the quality of working life in IDCs [31].
One special and common outcome of the past activities in IDCs, regarding various types of ergonomics interventions and ergonomics awareness building in IDCs was the low involvement of ergonomists, the low degree of industry involvement, the short term impact of training and the low effect of training on the organization as a whole, mostly due to the fact that individuals have received the training and not the groups or organizations [7,8].
This is emphasized that for an ergonomics ‘know-how’ transfer management to IDCs’ industries, need to a more challenging ‘comprehensive plan and planning’ with different ergonomics intervention techniques and its strategies with an intentional learning [7,8]. For this reason, there was a problem in focusing on problems because, deficit-phrased questions lead to deficit based conversation [32,33]. For example, according to Helali observed that it is mentioned as a definition of a problem in industries of IDCs like Iran, there are technical focus managers at work, a lack of interfaces between individual, group, and organizational levels at work, unsuitable work systems and unsuitable informal relationships within the organizations, and poor livelihood [33].
The main attention of ergonomists work in IDCs was on ergonomics awareness’ (i.e., understanding without knowing) and working conditions when IDCs’ industries need to further of here for ergonomics awakening (understanding with knowing) to purpose applying the ergonomics and human factors to work system in the organizations [8,33,34].
**Necessity of the applying macroergonomics in IDCs’ industries**
Shahnazav asserts that the advent of new technology, especially through technology transfer, imposes numerous health and safety problems on IDCs workplaces, which hampers the company’s competitiveness [13]. However, the emphasis for improvement limited to few companies’ employees’ focuses on microergonomics which caused by traditional thinking, cultural issues and lack of knowledge and skill needed to deal with macroergonomics approach. Helali observed that it is insufficient for firms rely on only training, awareness creation,
and ergonomics intervention when addressing safety, health, and ergonomics issues [7]. For this reason, Helali noted that both practical learning and reflection learning should be provided at all levels of the organization. Such provision could lead to the emergence of better organizational interventions, underlined by macroergonomics attitude in firms, when implementing systemic ergonomics intervention work at the workplaces [7,34].
The ergonomics intervention work in IDCs will be best achieved through macroergonomics input, which triggers with even no-cost/low-cost microergonomics improvements [7,34]. Productivity improvement is also a key issue in IDCs [7,12,13]. The success of no-cost/low-cost improvements actually depends on the careful selection of feasible solutions. Consequently, it is suggested that one should select, with the help of appropriate support tools, low-cost improvements that can be built into work methods and equipment and are realizable by means of local skills and materials [35-37]. Scott and Charteris emphasized that it is necessary to include such microergonomics (i.e., as a concept of an Ergonomics Stress Index) in the top-down and bottom-up approaches (i.e., the goal of it is to optimize the work system’s design in sociotechnical system characteristics, and then carry the characteristics of the overall work system design down through to the design of individual jobs, human-machine and human-software interfaces to ensure a fully harmonized work system) [39]. Instead of evaluating the performance of two approaches, one needs to acknowledge their complementary interdependence, where the ratio between their inputs will vary according to the situation being addressed [39].
Hendrick and Kleiner noted, when the goal of macroergonomics is achieved, the result should be dramatic improvements in various aspects of organizational performance and effectiveness [3]. This has been shown in the results of ergonomics intervention work at Glucosan factories from 1995 to 1997 [40-42] and also three subsidiary companies in Iranian industries [43,44].
According to Hendrick and Kleiner, macroergonomics is top-down (i.e., strategic approach to analysis), bottom-up (i.e., participatory ergonomics) and middle-out approaches (i.e., focus on processes) [2,3]. Central to macroergonomics is the expectation that analysis and design of work systems will be participatory in nature [45-47]. To achieve human-centered work system design, human-centered analytical processes must be used. This constitutes the sociotechnical principle of compatibility. Consistent with the emphasis on participation in a number of domains, participatory ergonomics is rapidly emerging as an area of international inquiry in its own right [48] and is seen as a core method in Macroergonomics. Macroergonomics is human-centered [16] and participatory ergonomics is a primary methodology of macroergonomics involving employee’s at all organizational levels in the design process [49]. Therefore, it is emphasized that the concept of macroergonomics is human-centered and participatory [7,8].
Robertson noted, when a macroergonomics approach is taken, training is part of a comprehensive, systematic approach to enable knowledge within an organization [50]. But Deming describes a system as a network of interdependent components that work together to try to accomplish the aim of the system [51]. The system begins with an awakening ‘(an awakening to the crisis’ as Deming described i) [52]. The aim of the awakening could be to stress the importance of the need to change. Without an awakening, the person can, at best, learn many important lessons. For example, Helali observed that different participants participated in the ergonomics training workshops between 1996 and 2002 from Iranian industries, or the ergonomics training workshops were conducted at group level for the Iran Khodro (Car) Company, between 2001 and 2002, or according to implementing “Job Enrichment” with using Ergonomic Checkpoints (ILO, new version 2010, [53]) at a Pharmaceutical Manufacturing Company in 2012 [54]. This resulted in participants learning many lessons. But, deeply motivated intention occurs after the awakening about using the ‘Future Workshop’ at the organizational level (Helali and Dastan, Hesabi, 7/41) and also materialized through employing ILO’s “Ergonomic Checkpoints” and appreciating the need for approaching ergonomics in the deep health, safety, and ergonomics, and the working conditions as a whole research in the study of Dastan) and Helali; Helali and Dastan) [54,55].
**The use macroergonomic intervention work in Iran**
The ergonomics intervention technique models based on the long research journeys since 1996 by Helali’s study could be focused on Ergonomics ‘Know-How’ (i.e., learning by doing could be characterized as practical knowledge), ‘Know-What’ (i.e., learning by using could be characterized as strategic understanding), ‘Know-Why’ (i.e., learning by studying could be characterized as theoretical understanding), ‘Know-Who’ (i.e., learning by engaging participants to purpose participation and collaboration) [33,34]. For this reason, the participants could be engaged in the recognition of processes and applying different ergonomics interventions—based on levels ‘Training’ (i.e., training as a learning-performance workshop), ‘Learning’ (i.e., learning by doing individually and collectively as the Ergonomics Intervention Programme Technique (EIPIT) Process) and its ‘Meta-reflection’ (i.e., ‘this is thinking again about our reflection-on-practice. It is stepping back and checking out what we thought and said earlier. It is further removed from the action than ‘reflection-on-practice’ [7,56]. Accordingly, building ‘taxonomy knowledge’ on the ergonomics intervention work as a product joining up practice with theory could be outlined in Table 1 by Helali as follows [34]:
The activities training and learning were based on using different technologies on the knowledge within organization. For this reason that, knowledge can be purposeful coordination of action. Achieving intended purpose is the sole proof or demonstration of knowledge [57]. Zeleny noted that its quality could be judged from the quality of the outcome (product) or even from the quality of the coordination (process) [57]. Helali has indicated that, ergonomics know-what’ refers to the knowledge of objects, facts, components and goals from different strategic understanding as ‘learning by using’ because, Zeleny has noted “what is knowledge?” and also Sanchez has stated “what are three different kinds of knowledge within an organization [33,57,58]. Zeleny emphasized that pragmatic philosophical roots firmly established the knowledge when it was Albert Einstein who cautioned our world “Information is not knowledge” [57]. Thus Einstein also asserted “Knowledge is experience. Everything else is information” [57].
The first result of applying macroergonomics was at the Glucosan Factories between 1995 to 1997 in the manufacturing industries of Iran that it had a positive effect on their production capacity by applying macroergonomics intervention, i.e., a) in which the capacity rose from 70% to 105% of the nominal capacity; b) ‘Utilization’ of starch from corn was improved by 11%; c) Glucosan factories has achieved to the world best practices production level; d) The quality of the products was improved, reaching international standard, making it possible to be exported; e) An increase of up to 600% in all employee wages through profit sharing; f) Development of a new organizational system for making full use of worker participation; g) This practice was the first sample of applying ergonomics to work system in Iranian industries.
Citation: Abdollahpour N, Helali F (2016) Implementing ‘Awakened Need of Change’ for Applying Ergonomics to Work System with Macroergonomics Approach in an Industrially Developing Country and its Meta-Reflection. J Ergonomics 6: 182. doi: 10.4182/2165-7556.1000182
| Data | Technology | Analogy building 'Ergonomics Intervention Work' | Effect | Purpose |
|------|------------|-------------------------------------------------|--------|---------|
| | Ergonomics Intervention Programme (EIP) | Elements are Actors; Coach, Participants/Students, and also Ergonomics tools | Muddling through | Know-nothing |
| Information | Ergonomics Intervention Programme Technique (EIPT) | Ergonomics Training+Ergonomics Application+Evaluation Ergonomics Intervention Programme Technique (EIPT): Ergonomics Awareness Building+Research Action Plan+Monitoring+ Evaluation, Preparatory Ergonomics (PE) will improve the intervention process | Efficiency | Know-how: Leaning by doing |
| Knowledge | EIPT process | Coordination the ergonomics intervention technique processes with different useful factors toward the result product | Effectiveness | Know-what: Learning by using |
| Wisdom | Ergonomics intervention work (EW) | Why systemic ergonomics interventions work? Why in this way? How can it reframe? | Explicability | Know-why: Learning by studying |
| Enlightenment | 'Appreciative EIW?' | Systemic Ergonomics intervention work, clearly | Truth | Know-for- use |
Table 1: Taxonomy knowledge on the systemic ergonomics intervention work as a meta-reflection of a product joining up practice with theory.
and was successful at the organizational level so that, after 12 months of macroergonomics intervention at Glucosan factories, the company’s profit rose by 390% when there were also Organizational Development (OD) and a learning strategy at Glucosan Factories [7,42].
More than 19 years studies conducted by Helali on the ergonomics intervention work show the necessity of an awakening process and the applying ergonomics to work system in industries of IDCs such as Iran [34]. Consequently, developing vision, ideas and awakening at the organizations to apply ergonomics for improving the work system helps to achieve productivity in the workplaces [7,8,33].
Based on ILO (1996; new version 2010) findings and also, Niu; Helali; Helali and Abdollahpour; Helali and Dastranj; Dastranj and Helali), “Improving Working Conditions Systems” includes development and implementation of programs to improve Health, Safety, and Ergonomics and competence people (both technical and social skills) in the workplaces [43,53-55,59-61].
The purpose of this study therefore was to create macroergonomics awareness and wakefulness at a Manufacturing Company, in order to emphasize the importance of improving “Working Conditions Systems” (Health, Safety, and Ergonomics) and understanding the necessity of the applying ergonomics to work system. It sought to develop vision, ideas and draw up checkpoints for the organization of work where research considers involving both of the company and the participation of participants, not only on people or techniques and tools.
This study was therefore underlined by the following question: “How cans a systemic pre-macroergonomics intervention work process, be introduced at the Manufacturing Company, in order to ensure the successful “Awakened need of change” to apply the ergonomics?”
The company focuses on building up the capabilities of the hot section of gas turbine blades in various capacities, as the largest manufacturer of turbine blades used in thermal power plant in Iran is active. It had 738 employees (46 women and 692 men). Inclusion criteria for this study were: (i) Diploma or higher, and (ii) At least one year experience in the relevant units.
Methods
Procedure and Material
First research working organized through arranging four meetings (Separately for each member lasting one or two hours each) between the authors and the Heads of the Company’s HSE (Health, Safety and environment) Department, Research and Development (R&D) Department, Human Resources and Logistics Department. Then a final meeting was held with all of them to present finding after conducting the study plan, which lasted up to 2011. Then, the manufacturing company approved the study and aimed to carry it during one year.
The survey approach was used from several steps with different sample participants: including; 1) Studying the three questionnaires which evaluated manager’s viewpoint (29 people), health, safety and environment (HSE) employee’s viewpoint (5 people), and operating worker’s viewpoint (85 people), 2) Using Future Workshop (FW) for middle managers (15 participants), 3) Doing an ergonomics checklist in one of units of the company (29 participants), 4) Evaluating Workshop, with middle managers (15 participants), 5) Interviews with some participants in Future FW (10 participants), 6) Interviews with some participants in using of the checklist (4 participants) and, 7) Review of the organizational documents were used that this survey research describes detail it as follows:
Questionnaire Survey
First of all, three questionnaires on improving working conditions (three questionnaires for the managers, personnel of HSE department, and operational staff) designed by Chavalitsakulchai (1992; Appendices III to V) to evaluate improving working conditions programme in the industry were used to gather basic information about improvements in working conditions system in the company [62]. Each questionnaire followed a different approach.
In the Questionnaire Survey, the main and independent variable was Improving ‘Working Conditions Systems’ and the views expressed in the three groups and background variables such as demographic characteristics.
The sampling method used for managers and HSE staff was the census sample method, and the method used for operational employees (Population of 270) was the Cochrane (Correlation coefficient 0.3) approach.
To analyze the questionnaires, the primary relation between Chi-square, Pearson, Kruskal Wallis and Mann–Whitney tests were used.
First Workshop (Future Workshop with introducing Macroergonomics)
Future workshop (FW) based on the Müllert and Jungk (1987) model, has 5 phases, with phases 2, 3, and 4 forming the main parts of the FW [63].
According to Helali and Shahnava (1998), the five phases are defined as follows:
1) Preparation phase (i.e. the aim of this phase is to define a clear, short and challenging ‘theme’ for the workshop, acceptable to all participants) [41].
2) Experience phase: Also called ‘critic phase’ (i.e. this phase aimed to highlight all problems experienced by participants with regards to the workshop’s theme. A complete ‘problem catalogue’ is developed).
3) Fantasy phase (i.e. the aim of this phase is to come out of the daily limitations that usually lead to restraint, traditional thinking and acting. Participants have many ideas that have never been expressed or formulated because they are framed in what they believe is right and possible. In the fantasy phase, everything is possible. There are no barriers, no economic, personal, technical or organizational limitations. The idea is to develop future visions).
4) Strategy phase (i.e. the aim of this phase is to go through all the written fantasies with the aim of finding all the barriers regarding the realization of the fantasies). Participants have learned to use the different techniques, such as desirability and possibility assessment, the circle model or development model activity, the triangular model, and cause and effect diagram, in order to develop a feasible strategy and solution to the problem on hand at the FW.
5) Action phase (i.e. after the workshop, a complete report is prepared containing all the critical problems, and fantasies, as well as the programme/plan proposed by the participants. The report is an idea catalogue for future actions).
This method has also been used in IDCs as an ergonomics tool in studies carried out by, Helali and Shahnava (1998); Sanda (2006); (Helali, et al. (2008) and Helali (2008; 2009) and also see Sanda et al. (2011) the using it further of here as a tool in problem-identification workshop [7, 8, 41, 44, 64, 65].
The FW was announced through an invitation sent by the training department to all Top and Middlel Managers of the company, and was held for two days at the conference hall of the company. It was attended by the mid-managers and individuals from different departments of the organization. At the beginning of the FW, some discussions were presented about the necessity of knowing about macroergonomics and participatory ergonomics as its tools in order to provide a correct understanding of the working conditions improvement system and the removal of obstacles as well as developing a working conditions improvement system.
In the first phase of the FW, developing organizational behavior was the main factor contributing to a working conditions improvement system using the macroergonomic approach. Therefore, the FW focused on developing Organizational Behavior (OB). Once the participants agreed with this topic, and the FW would be entered phases 2, 3 and 4.
**Applying an Ergonomics Checklist on some ‘Department’**
A checklist of ergonomics issues presented by the International Labor Office (ILO) and the International Ergonomics Association (IEA) (ILO, 1996 [60]) was used to continue the analysis using the macroergonomics approach after a manager with one of units of the company taking part in the FW showed interest in this regard. This first version of the book’s translated was published to Farsi by Gclosaan Factories in 1996.
It is comprised of a checklist, checkpoints on 9 different topics and important principles related to safety, health and ergonomics, including materials storage and handling (21 checkpoints), hand tools (15 checkpoints), machine safety (20 checkpoints), improving workstation design (14 checkpoints), lighting (9 checkpoints), premises (6 checkpoints), environmental hazardous (7 checkpoints), welfare facilities (13 checkpoints), and work organization (23 checkpoints).
Furthermore, a new version ILO (2010) developed for application in both industrial developed and IDCs. This new version also translated to Farsi in 2015 by Dastranj and Helali (2015) as a free edition [53, 66].
The ILO book (version 1996) was used and this was done in a production unit of the company, which had 29 employees, including the chairman, supervisors and operational staff (used census sample method). Seven action groups were formed to implement the checklist: Group 1: Material Storage and Handling, Group 2: Hand Tools, Group 3: Machine Safety, Group 4: Workstation Design, Group 5: Lighting and Premises, Group 6: Welfare facilities, Hazardous substances and agents, and Group 7: Work organization.
In each action group, the organization of work was assigned to supervisors and heads of departments while other tasks were given to ordinary employees. Learning from each other and sharing their experiences in the workplace, the taskforces examined the ergonomics checklists 2 months after they were implemented, and represented their solutions for problems existing in their workplace. Finally, the feasibility and application of all the solutions were evaluated in the presence of all the participants. As well as to assess the ergonomics condition based on the participants’ answer to checklist, the ELMERI index was used [67].
**Second Workshop (Evaluation Workshop)**
Almost five months after using the FW technique, the pre-macroergonomics intervention situation was evaluated at a workshop attended by the participants. The evaluation covered the following question: “after this period of time, what do you think about the existing or future working condition improvement systems as well as the optimization of such systems? Meanwhile, the company’s training department evaluated the effectiveness of the FW independently, determining the level of macroergonomics based on the viewpoint of 15 participants (who had participated voluntarily).
**Interview with the participants of the First Workshop**
This interview aimed to explore and understand ideas of people as a reflection about Improving ‘Working Conditions System’ problems after participating in the FW. After explaining the purpose of the interview participants, they voluntarily participated in the interviews (10 participants).
In this stage, the participants were interviewed based on a semi-structural basis (they were asked questions such as “since you have taken part in the FW, how do you evaluate the problems existing in your own company?), in order to better understand the depth of problems with the company’s working conditions improvement system. To analyze the results of the interviews, analytical interpretation methods were used.
Interview with those participating in applying the checklist
After 2 months from applying the checklist, 4 participants were interviewed on a semi-structural basis (they were asked questions such as “how the application of the checklist to all levels of your organization affected efforts to identify problems with its working condition improvement system?”, “Having applied the checklist to all organizational levels, what do you think is wrong with your company’s working conditions improvement system?”, “How did the utilized approach affect you and your organization?” After of interview, for analyze the results, analytical interpretation methods were used.
Review of the organizational documents
In this stage, monthly and annual reports on HSE department, along with the personnel records of the employees belonging to 2009 and 2010 were surveyed.
Results
Results of the Questionnaire Survey
The Demographic and organizational characteristics of questionnaire study population has shown in Table 2.
Based on Table 2, almost of participants were men in the middle managers and the HSE department personnel (respectively 96.6% and 80%). Also the operational staffs of the study population, 100% of the sample were men.
A statistical analysis of the data revealed that the three questionnaires had covered 119 people of the three groups presented in Table 3.
The results of the questionnaire indicate that the three groups taking part in this study had similar ideas on some issues with regard to the working conditions improvement system, and there were no significant differences between them, and there were significant differences between them on some other issues. It is important that the three groups have pledged to participate in efforts to promote the existing working condition improvement system presented in Table 3.
The Results of the Future Workshop
FW conducted for middle managers 15 participants that Table 4 has shown demographic and organizational characteristics of participants in the FW.
Based on Table 4, the middle managers of the subjects, 86.7% of males and 13.3% were women. The mean age and Job Tenure of participants in FW was, respectively 34 and 3.4 years. Also, many participants (80%) were bachelor level education.
In the FW, in the first phase, which was the preparation phase, the participants mentioned the problem related to organizational behaviour as the most important problem ahead of the working condition improvement system. A total of 83 problems were mentioned by the participants in the experimental phase. Having prioritized the stated problems, the results were classified under three topics related to the organizational and corporate culture of the company, these topics included:
- Systems, methods and organization (17 items);
- Human resources (Cultural, educational) (13 items);
- Business development, strategy and planning (3 items).
After selecting items for the three above individuals based on their interest and expertise in organizational units, three groups were formed with the above titles for the implementation phase of the fantasy.
33 prioritized problems classified in the experimental phase and moved to the fantasy and strategy phases so as to adopt proper solutions for the problems.
The 33 problems were scored and classified into three groups, including the systems, methods and organization group, human resources group and business development, strategy and planning group. After initial examinations, the groups represented the 4 main problems in the fantasy phase. Finally, solutions offered for the problems, were examined by the three working groups in the strategy phase.
Lack of accountability system and lack of collaborative leadership styles were the two fundamental problems related to organizational behaviour and working condition improvement system discussed by the first group. Regarding the lack of accountability in the company, some mid-level managers stated that unaccountability on the part of different departments contribute to the lower quality of the overall performance of the work system. The second problem (lack of collaborative leadership styles) leads to the failure to use the full capabilities of individuals to improve working conditions.
The second group studied the problem of profit-orientation, which could not be blamed on individuals. This problem is due to the lack of workable systems for improving working conditions, according to the questionnairees and the viewpoints of those taking part in the FW.
The third group examined the problems of the sudden growth of the organization and waste of resources. These problems were represented as important problems ahead of the work system of the company related to improving working conditions, according to interviews with the participants after the workshop.
Results related to the effectiveness of the FW were also studied by the ‘Training Department of the Company’, with the effectiveness standing at 78%. After the second day of the workshop, the participants were asked to offer their opinion about being in the process and their understanding of it. The main viewpoints offered by the participants included: 1) To sort out the problems and the related departments; 2) To get better viewpoints on macroergonomics; 3) To learn more about the interaction between individuals and departments; 4) To determine the synergy effects of macroergonomics; 5) To become prospective and identify methods for creating cooperation between managers and employees to solve problems and make better decisions; 6) To secure
| Variant | Gender N (%) | Age (year) | Job Tenure (year) | Education N (%) |
|-----------|--------------|------------|-------------------|-----------------|
| | Men | Women | Mean (SD) | Mean (SD) | Diploma | Associate degree | B.Sc. | M.Sc. and above |
| Managers | 1 (3.4) | 28 (96.6) | 35.2 (4.5) | 4.06 (1.9) | 1 (3.4) | 27 (93.2) | 1 (3.4) | - |
| HSE staff | 1 (20) | 4 (80) | 32.4 (2.9) | 3 (1.2) | 1 (20) | 3 (60) | 1 (20) | - |
| Workers | - | 85 (100) | 26.6 (2.4) | 3.6 (2.5) | - | - | 32 (37.6) | 53 (62.4) |
'SD: Standard Deviation
Table 2: Demographic and organizational characteristics of questionnaire study population.
| Viewpoint | Managers | HSE staff | workers | Chi-squared test (P-value) | Kruskal - Wallis test (P-value) | Man Whitney (P-value) |
|--------------------------------------------------------------------------|----------|-----------|---------|----------------------------|---------------------------------|-----------------------|
| The most important item on The goals of improving working conditions programme | | | | | | |
| Improving working condition (Health, Safety, and Ergonomics) | | | | Most options >0.05 | Some of the <0.05 and others options >0.05 | <0.05 |
| The person or group responsible for setting goals of improving working conditions programme | Senior management | Senior management | HSE staff | Most options >0.05 | Some of the <0.05 and others options >0.05 | <0.05 |
| The person or group decides on policy of improving working conditions programme | Senior management | Senior management and HSE staff | All three groups (Managers, HSE staff and workers) | Most options >0.05 | Some of the <0.05 and others options >0.05 | <0.05 |
| The person or group initiated a specific case for improving working conditions | Management unit | Head of Unit, HSE staff Safety Committee | Head of Unit | Most options >0.05 | Some of the <0.05 and others options >0.05 | <0.05 |
| The person or group responsible for identifying problems related to the improvement of working conditions | HSE staff | Safety Committee | HSE staff and workers | Some of the options <0.05 and others options >0.05 | Some of the <0.05 and others options >0.05 | <0.05 |
| The person or group responsible for proposing recommendations for improving working conditions | HSE staff Safety Committee | Management unit, HSE staff | workers | Most options >0.05 | Some of the <0.05 and others options >0.05 | <0.05 |
| The person or group responsible decision for improving working conditions | Senior management | Senior management | Management unit | Most options >0.05 | Most options >0.05 | <0.05 |
| The person or group responsible for implementation recommendations to improve working conditions | Senior management, Head of Unit And HSE staff | Management unit, HSE staff | Head of Unit | Most options >0.05 | Most options >0.05 | <0.05 |
| Methods for the promotion of improving working conditions programme | | | | | | |
| Increased knowledge regarding the identification of problems of working condition | Greater participation between three groups | Greater participation between three groups | Most options >0.05 | Most options >0.05 | Most options >0.05 |
Table 3: The results of the questionnaire responses of the three groups about improving working conditions programme in the target company.
| Variant | Gender | Age (year) Mean (SD) | Job tenure (year) Mean (SD) | Education N (%) |
|---------|--------|----------------------|-----------------------------|-----------------|
| | Men | Women | | Associate degree | B.Sc. | M.Sc. and above |
| 13 (86.7) | 2 (13.3) | 34 (4.1) | 3.7 (1.6) | 1 (6.7) | 12 (80) | 2 (13.3) |
SD: Standard Deviation
Table 4: Demographic and organizational characteristics of participants in future workshop.
Results related to the application of ILO ergonomics principles checklist to one department of the company by the 7 action groups have showed that out of the 128 questions on the checklist (ILO [60]), 68 questions pointed to problematic issues and 60 questions referred to desirable issues. The ergonomics conditions for problematic working environments were mentioned in category 3 of the checklist selection guide (Laitinen et al.,) based on the ELMERI index, the issue needs to be explored and solutions for improving the situation should be developed in the future in addition to focusing on the priorities. It should be noted that, with regard to the ergonomics problems observed in the department, 47 ergonomics solutions to improve working conditions were presented by the action groups (Figures 1 and 2).
Results related to applying the checklist to some departments
The demographic and organizational characteristic of participants in using the checklist has shown in Table 5.
The survey of this workshop showed that participants emphasize and confirm the effectiveness the cases of the result of the learning by using of the FW again after five months.
**Results related to interviews with the participants of the future workshop**
Results related to interviews with mid-level managers participating in the FW are presented in Table 7. The interviews were conducted five months after the FW.
**The results of interviews with those participating in applying the checklist**
The results of interviews with participants involved in applying the checklist of Ergonomics Checkpoints (ILO [60]) are presented and interpretation on requirements them in Table 8.
**Results related to the review of the organizational documents**
Records of absence from work, taken from organizational documents, and the prevalence rate of musculoskeletal disorders among the workers are seen in Figure 3. Based on Figure 3, most of the employees were suffering from low back and knee problems. The poor postures of workers in the production line are indicative of the poor performance of the company’s working condition improvement system (Health, safety, and Ergonomics). The percentage of each musculoskeletal problem that made employees quit their job last year is as follows: neck (13%), shoulder (7.4%), elbow (0%), upper back (3.7%), low back (38.9%), wrist/hand (5.6%), hip/light (5.6%), knee (11%), ankle (7.4%), feet (7.4%).
Furthermore, the workers were absent from work for 1819 days due to occupational diseases in 2010, up 36.5% compared to the 1333 days in 2009.
**Discussion**
The results and relevant interpretation are discussed from the perspectives of the following ‘the definition of a phase method systemic pre-macroergonomics intervention work for ‘awakened need of change”’, “A model on getting the different levels of learning”, and “its meta-reflection on” as follows:
As it is shown in Figure 4, a frame has been designed to define the systemic pre-macroergonomics intervention work process prior to using different macroergonomics methods on the learning levels. This is a concept of empowerment as process [62-68]. Based on the empirical evidences from this study, integrating the aforementioned factors coupled with the creation of a team of facilitators (the authors were the internal and external facilitators), resulted in the purpose of this study for the awakened need to change to apply ergonomics to work system. The key findings were made through intentional learning on how the middle managers with the macroergonomics attitudes as ‘Top-down’ (i.e., strategic approaches to analysis from the three questionnaires study), ‘Middle-out’ (i.e., focus on the process of using FW) and ‘Bottom-up’ (i.e., participatory ergonomics of using the ergonomic checkpoints), the participants could be empowered in the different cycles of learning, based on the interactive approach used the systemic pre-macroergonomics intervention work.
| Variant | Gender | Age (year) Mean (SD) | Job tenure (year) Mean (SD) | Education N (%) |
|---------|--------|----------------------|-----------------------------|-----------------|
| Men | | | | |
| 29 (100)| - | 28.9 (2.6) | 3.3 (1.4) | 22 (75.9) |
| Woman | | | | |
| | | | | 6 (20.7) |
| | | | | 1 (3.4) |
Table 5: Demographic and organizational characteristics of participants in the checklist.
Figure 1: Pictures before and after press machine width reduction to improve poor postures while working.
Figure 2: Before and after hand tools ergonomics intervention to improve working efficiency and reduce strain on hand muscles.
Based on the Figure 2, diameter and pinch point of Hand tools redesigned for operators’ health and performance. The main ergonomics solutions that offered by the action groups are presented in Table 6.
**The results of the evaluation workshop**
In this evaluation workshop, the participants expressed the company’s main problem in operating systems and the lack of appropriate interaction between different departments of the company as well as the lack of proper work systems, which have led to a lot of problems (such as delays in implementing solutions to improve working conditions, poor cooperation between different departments in implementing the solutions, and the lack of such interaction), and noted that these problems result in the lack of proper solutions to improve working conditions.
In addition, the head of the related department who voluntarily allowed the implementation of the ergonomics checklist in his department, has presented results concerning the implementation of the ergonomics checklist in a report on the evaluation of the FW’s effectiveness and offered relevant evidences presented by the action groups within two working months, emphasizing 47 ergonomics solutions due to their usefulness both in micro and macroergonomics levels, as well as their differentiation and positive organizational interaction (Table 6).
| Technical area | Problems identified in workplace | Number of solutions | Main solutions offered by action groups |
|--------------------------------------|----------------------------------|---------------------|----------------------------------------------------------------------------------------------------------|
| Materials storage and handling | 13 | 6 | Using of lift jack, Reduce the height of the shelves, Hand placement on cartons, using of mechanical devices, Locate suitable for emergency exit doors |
| Hand tools | 8 | 8 | Use mechanical or hydraulic arm to keep and carry blades, Reduction tool diameter, Use plastic coatings on tools to easily work with them |
| Machine safety | 3 | 3 | Machinery safety training for new workers, Regular inspections of electrical cables |
| Improving workstation design | 12 | 11 | Put the equipment used at the proper height, Wide Working desks, Adjusting the work tables, Removing obstacles from workstations, Cleaning work area the insuring of ventilates, Change in design of hanging manipulator for easier access, the use of mobile manipulator, Design round table with adjustable height Increasing the number of light sources |
| Lighting | 4 | 4 | Use dark plates for less glare, Regular cleaning of light sources |
| Premises | 4 | 3 | The use of thermal isolation, Installation of local exhaust ventilation, Cleaning ventilation valves |
| Control of hazardous substances and agents | 4 | 1 | Training employees about the risks of hazardous chemical agents |
| Welfare facilities | 9 | 3 | Improve the locker rooms, Training on the proper use of personal protective equipment, Appoint a person to clean the work area at the end of each work shift |
| Work organization | 11 | 8 | Talking to staff to turn their ideas into creativity, Increased score and reward personnel for any contribution to the improvement of working conditions, Deliver results to their workers When grading their work, Increase training time and New training, Using other companies’ experiences |
Table 6: Main solutions offered by action groups.
The findings in this study are signified by PDSA Cycles of learning introduced by Deming [51]. Accordingly, the notion of open system theory has played a crucial role in the study of organizations; for example, the sociotechnical theory is heavily influenced by the systems theory. It is usually also referred as macroergonomics [3]. Action however, must be managed by different learning levels (Figure 5), this could be accomplished through a Plan-Do-Study-Act (PDSA) cycle [51]; i.e., the PDSA cycle describes a method of continuous improvement. First, the problem is identified and a subsequent solution is found (Plan). Then the solution is applied with the hope that it eliminates the problem (Do). After this, the result of the activities is investigated (Study). The last phase is to establish the result in the organization to see if the result is satisfactory, and gives feedback to other interested parties (Act). This cycle is a flow diagram for learning, as well as for improvement of a product or of a process. Additionally, learning must be continual. The only way to continue the transformation is to obtain feedback and to reflect [69], and then to repeat the loop to different purpose learning levels (Figure 5) with a “Meta-Reflection” when we go further of here as an “empowerment as a way of thinking” [33,59,68].
Therefore, based on the design of this kind of work by the second author, a study has been implemented in one of Iranian industries in 2010 by the authors as a successful interactive research work [59,70].
The model could be characterized based on understanding the organizational knowledge on the systemic pre-macroergonomics intervention work at the company with the different getting learning understanding when there are the different concepts of “learning” and its meta-reflection in Figure 5 as follows:
The first cycle of the research survey on the organizational knowledge was ‘know-why’ as theoretical understanding or learning by studying for the awakened need of change. For this reason, we were used the three different questionnaires survey to managers, HSE (Health, Safety, and Environment) department personnel and operational staff that it could be used to gather basic information about the improving working condition system status of each company from three views of organizational levels. This could show us one kind of empowerment as a way of thinking on the company when we use example Chavalditsakulchai’s questionnaires that it was designed in 1992 and we could apply and analyze statistically it to propose where company is standing for improving working condition system as follows:
All the three groups (managers, HSE department personnel, and operational staff) have realized the importance of improving working conditions (health, safety and ergonomics).
Improving working conditions and offering solutions for health, safety, and ergonomics problems were the main goal behind developing the working conditions improvement program. According to the results of the Chi-square and Kruskal Wallis correlation test, there was no significant difference between the viewpoints of the three groups.
| N | The stated common opinion | Explains | Interpretation on requirements |
|---|---------------------------|---------|--------------------------------|
| 1 | Performing independently from the whole organization | This means that each of the various departments of the company sought to achieve its own specific objectives rather than contributing to achieving the goal of performance because of the lack of interaction between units and the whole organization. As a result, the interaction between the units was limited and was not sufficient, and the objectives of performance rather than the working conditions improvement programs progressed slowly, or the performance of the whole system programs could not be supported by all levels of the organization | Implementation of skills, practices and objectives of other units and the whole organization. |
| 2 | Lack of sophistication | Means insufficient cooperation among people and lack of required vocational skills on their part | Learning from each other and the possible development of all of those involved. |
| 3 | Inappropriate interaction among the departments | It means that there is poor interaction among the departments and that customers are not respected sufficiently | Task & people level: Socio-technical approach which both technical and human-centered approaches are Acknowledged and merged together in the social & technical approach. |
| 4 | Abnormal and unplanned development is the main reason behind all the problems existing in the company | This means that, the staff always has high levels of stress at work, because they are not ready and are not aligned with the requirements; and do not have the potential to make changes and move toward development. As a result, the company is unable to develop and implement organizational change. Management & Leadership indicate hiring young staff is the best solution to the problem, but loss of financial and human resources were still one of the main concerns of the director in the initial meeting. He stated: "we are losing our skilled workforce and that is problematic. So we need the ergonomics." | Management & Leadership contributes to making changes (applying Macroergonomics) |
| | There is no workable system in the company Variable methods such as EFQM, ISO 14000, and OHSAS18001 and 5s are used of course, but the systems are not comprehensive and they are not fully applied. Training is provided to individuals regardless of their duties. Due to lack of communication, the company cooperates fully. So to study beginning problems such as the lack of interactions between the departments. As a result, programs are not and does not respond in a dynamic way implemented properly and expectations are not met | This means that the lack of staff involvement and cooperation in implementing these systems is one of the main reasons behind using flawed methods. | Participatory Ergonomics and Practitioners' commitment toward working with people ethically |
| 5 | There is no workable system in the company Variable methods such as EFQM, ISO 14000, and OHSAS18001 and 5s are used of course, but the systems are not comprehensive and they are not fully applied. Training is provided to individuals regardless of their duties. Due to lack of communication, the company cooperates fully. So to study beginning problems such as the lack of interactions between the departments. As a result, programs are not and does not respond in a dynamic way implemented properly and expectations are not met | This means that the lack of staff involvement and cooperation in implementing these systems is one of the main reasons behind using flawed methods. | Participatory Ergonomics and Practitioners' commitment toward working with people ethically |
| 6 | Poor planning due to poor job descriptions which to mid-level managers, employees are confused and suffer from stress, do not define the duties and responsibilities clearly something that interfere with the progress of work, organizational commitment and motivation. | This means that work expectations are not clear, especially with regard to the duties and responsibilities of employees. | Work systems should be modified |
| 7 | Lack of proper planning at the macro level and lack of relevant database, as well as lack of proper information on the annual programs of the departments. As a result, programs are not and does not respond in a dynamic way implemented properly and expectations are not met | This means that the process of work in the company has not been organized properly and expectations are not met | Ideas or actions, including middle-out (i.e., focus on processes), top-down (i.e., strategic approach to analysis), and bottom-up (i.e., participatory ergonomics). |
| 8 | The organization is facing many problems due to the independence of work systems, doing jobs in cross-sectional ways, and lack of proper communication between departments | Means parallel work, waste of resources, and so on | Commitment to learning and change |
| 9 | It will be due to pressure (sectional) exerted by related relations, so that a formal organization acceptable by the staff will be macroergonomics intervention programs | This also requires proper macroergonomics intervention programs |
| 10 | Employee commitment and motivation decline day by day due to paying little attention to the lower staff, particularly operators and technicians, and paying too much attention to mid-level managers and directors who are rewarded with bonuses. | It means that there is little commitment toward learning, organizing and making positive changes | Using participatory ergonomics in the company is necessary |
**Table 7:** Results related to interviews with mid-level managers and relevant interpretations.
It is noteworthy that, according to the viewpoints of the three groups, group solidarity does not play an important role in improving working conditions, something that is regarded as a weakness. Hendrick stated that interactions among different departments would be improved if the macroergonomics approach used beside the human-machine and human-software interactions at the micro level [15]. This conclusion is clearly evident in the results of studies on Glucosan Factories by Helali and Shahnazav, and the results of studies on the Iranian industries by Helali et al.; Helali and Shahnazav et al. [42-44,71].
Based on the viewpoints of the personnel of the HSE department, their working goals contribute to improving working conditions in the company. Preservation and maintenance of labour at each working environment is the most important objective of the HSE department (Table 3).
According to viewpoints the managers and HSE staff, the top management is responsible for setting goals for the working conditions improvement program. The employees believe that the supervisor of the HSE department should be assigned to do this job. The results show that the three groups taking part in the study had no idea who was responsible for the aforementioned task (Table 3). As for the macroergonomics concept [2,3], the interaction must be a two-way or multi-way one, so that it could lead to synergistic cooperation and better results.
| N | The stated common opinion | Explains | Interpretation on requirements |
|---|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| 1 | Practical acquaintance with ergonomics took place when we got involved in the identification process through the checklist that provided practical and inexpensive solutions | It means that problems were identified, practically because we began to learn from each other | More action learning is needed in order to solve ergonomics problems |
| 2 | Better interaction was observed among the staff superiors and mid-level managers with regard to offering innovative and creative ways to identify problems and provide appropriate solutions after the taskforces became cooperative. | It means that better interactions were observed among different levels of the organization with regard to identifying problems after they all were involved in the process. Previously, there was no such interaction in the company with regard to using appropriate ergonomics tools. | Macroergonomics approach should be used in the company in order to involve all levels in ergonomics interventions |
| 3 | Involving all levels of the organization in the process of identifying problems and providing convenient and inexpensive solutions to improve the working conditions of the departments led to a better interaction between different departments of the company. | It means that it will lead to better interaction among different departments in identifying and solving problems | The Macroergonomics approach, especially the participatory ergonomics, should be employed in the company in order to improve work systems |
| 4 | The employees were motivated to identify problems and offer solutions so as to make managers realize the important role of the employees in improving working conditions. | It means that the employees should interact with each other using all potentials of the different levels of the organization in order to show their creativity and innovation. | Using participatory ergonomics is necessary |
Table 8: Results related to interviews with those participating in applying the checklist.
Figure 4: A phase method of the systemic pre-macroergonomics intervention process for awakened need of change, improving ‘Working Conditions System’ (i.e., Health, Safety, and Ergonomics) resource [59].
Figure 5: A model of PDSA cycles of learning on the organizational knowledge and its ‘Meta-reflection’, adapted resource [59].
Based on the viewpoint of the management, the personnel of the HSE department, the manager and supervisor of each department should be in charge of setting goals for the working conditions development program. The personnel of the HSE department believed that this responsibility should go to the safety committee. The results show a significant difference between the three groups in this regard. As for the results of the Chi-square correlation test, the three groups attach little importance to the role of inter-group interaction in identifying problems related to the working conditions improvement program (Table 3). Interviews with the organizational workers showed that they were more motivated to cooperate in identifying problems because they believe they face with the problems and can better help identify them. According to the policies of the company’s working conditions improvement program, the employees are of little importance. Imada has noted that employee participation plays a major role in improving working conditions [72].
According to the management, the personnel of the HSE department and the safety committee are in charge of the working conditions improvement program. The personnel of the HSE department believed that this responsibility should go to the manager of each department and the personnel of the HSE department. The workers believed that such a responsibility should go to the workers. Regarding the results of the Chi-square correlation test, there was a significant difference between the managers and workers in this regard. Based on the Kruskal-Wallis and Man-Whitney tests, there was a significant difference between the average answers provided by the two groups of managers and employees. The managers and the HSE department personnel believed that the workers play a little role in presenting solutions to improve working conditions, because they themselves are to blame for the related problems. It is noteworthy that the three groups attached little importance to the role of interaction among themselves in improving working conditions, something that could be blamed on the lack of proper working systems (Table 3). On the other hand, the literature of macroergonomics shows that all available resources in the organization should be used in order to increase the accuracy of the measurements and contribute to employee motivation and commitment [3].
The three groups emphasized the role of the manager of each department and the personnel of the HSE department in improving working conditions. According to the Kruskal-Wallis and Man Whitney tests, the average answers provided by the managers, workers, and the personnel of the HSE department showed a significant difference between the three groups. It indicates that there has been little interaction among these groups (Table 3).
In addition, enhancing knowledge to identify problems is an important factor that contributes to improving working conditions, according to the three groups. It indicates the need for extra-organizational scientific support to improve working conditions. Also, the three groups believed that support from the top manager also contributes to the success of the working conditions improvement program.
Regarding the results of the Chi-square correlation test, there was no significant difference between the three groups in terms of ideas, but there was as significant difference between them with regard to the use of better interactive methods.
According to this study, lack of a proper work system in the company under study has led to problems such as insufficient cooperation among different levels of the organization, independent performance of different departments, poor interactions among the departments, lack of a constant working conditions improvement program, and slow improvements and reforms.
Tables 7 and 8 imply that the organization of work in the company is not appropriate and should be revised. They also show the importance of organizational planning and correct management coupled with cooperation among all levels of the organization. The need for using macroergonomics and making suitable interventions in the company are the other things that could be construed from the above-mentioned tables.
The second cycles of the research survey on the organizational knowledge was ‘know-what’ as strategic understanding or learning by using for the awakened need of change. For this reason, there are three kinds of the strategic understanding for building ergonomics intervention techniques that were noted by the Helali’s study in 2012 [33]. However, there are two different research questions here: 1) How can vision and ideas be developed for applying ergonomics to work system in the company with a middle-out macroergonomics intervention; and 2) What are new checkpoints of work organizations. This could show us one kind of empowerment as a process. Consequently, we could use Future Workshop (FW) based on the Müllert and Lungk model [63]. Before that, it has been used and tested as an ergonomics tool in the IDC since 1996 as mentioned [41]. Here the focus is on the second learning cycles (Figure 4) that all middle-mangers of the company must be participated in FW. Because of turnover the change of top managers is high in the IDC’s industries. However, the middle-managers have more support role implementing each positive plan and planning.
For this reason, Hendrick and Kleiner noted that Middle-out, an analysis of subsystems and work process can be assessed both up and down the hierarchy from intermediate levels, and changes are made to ensure a harmonized work system design [3].
Awakened need of change has shown that the awakening will be motivated by dissatisfaction with the current state and/or the vision of the future state should the current approach to management and leadership remain [69]. The aim of the awakening is planning for change was the most important issue indicating dissatisfaction with the present state and articulating a desired future. The planning process involved participants from all levels of the organization rather than relying on a single entity or group [51].
According to the findings, the participants showed a kind of awakened need of change after attending the FW and presenting feedback for the learning of each other after five months. It also should be noted that two of the midlevel managers who took part in the FW have changed their approach to the participatory ergonomics approach, which means the involvement of the staff and interactions in the department. Also, the results of the questionnaires, the FW, and applying of the checklist show that all personnel of the company from all levels are not involved in the working condition improvement system, something that led to more absence from work due to occupational and musculoskeletal disorders during the two-year period covered by the study. It also led to doing tasks slowly and little cooperation among different levels of the organization with regard to improving working conditions. To solve these problems, it is necessary to apply changes to the working condition improvement system and review ergonomics. These points could be taken into consideration by Top Managers understanding and also, using the participatory ergonomics intervention method.
The participants in the FW (middle managers) emphasized the fact that the desire for change process should also be observed among the top management, so that the organization could implement the proper intervention process for improving the working conditions through the top management’s full support. It should be noted that the continuation of the process requires full implementation of macroergonomics intervention such as the ergonomics intervention program technique process model employed by Helali’s [7], which emphasizes the importance of practical learning and full realization of macroergonomics attitudes toward applying ergonomics to the work system [2,3].
The third cycles of the research survey on the organizational knowledge was ‘know-how’ as practical understanding or learning by doing, for the awakened need of change. Accordingly, there are different doing of ergonomics intervention techniques that Helali has shown that how step by step an ergonomics intervention technique and its developing could be formed and studied in an IDC [7,8,9]. In this process, one of the main contributions of the systemic macroergonomics process is using the ergonomic checkpoints [7,53,60,73]. For this reason, the using ILO’s book which is based on an action learning or participant engagement by doing helps participants to see integrating “Health, Safety, and Ergonomics” at the workplace as well as one kind of job enrichment based on ergonomics principles and finding new checkpoints. In this study, the ergonomics problems observed in the department, 47 ergonomics solutions to improve working conditions were presented by the action groups. For this reason that, the action-checklist of the ergonomic checkpoints helped to organization that the participants discuss and use it in some divisions till they see and take a whole picture of health, safety, and ergonomics problems in the workplace as one kind of collective empowerment [43,54].
Following this study, the participants took part in the systemic pre-macroergonomics intervention based on the Figures 4 and 5, so as to better understand the work system and macroergonomics reach the awakened need of change stage. In this way, full support of the top manager is necessary in implementing ergonomics ‘know-how’ transfer management to enhance human working for sustainable improvements in the industry sector of IDCs such as Iran [33].
A Meta-reflection; this research could be in an ‘appreciative way’, i.e., research with company and the participation of the participants, not only on people or techniques and tools. For this reason, this could be ‘empowerment through reflection’, i.e., “empowerment as a process”, “Empowerment as a discourse”, “empowerment as a way of thinking”, and also “collective empowerment” for the awakened need of change to apply ergonomics to work system [68].
The practical applications and implications of the systemic pre-macroergonomics intervention are drawn from the finding of the framing positive question. The appreciative reflection is a new form of reflection and it has shown four basic types of appreciative intent toward, knowing, relating, action, and organizing [33,74]. This is one kind of appreciative work system or an appreciative systemic macroergonomics work compliance where the participants would be empowerment through reflection on the awakened need of change to apply ergonomics to work system further of here and, its meta-reflection as “maximizing strategy” (recognizing when an amplification of the ‘success’ is necessary; including, appreciative inquiries and root cause of success). This can be concluded as follows:
- **Knowing**: What could be the successful of this kind of systemic pre-macroergonomics intervention right now? (Appreciative): Some inquiries and concepts in an action pathway ergonomics intervention journey in the IDC and this paper for knowing are significant now: “What will the awakened need of change be we want more of here?” (i.e., Appreciative innovating) and “How can we amplify this? As well as how does the future unfold an appreciation of the positive present?” (i.e., reflection learning and action), or “How will we go further here?” (i.e., leading through appreciative). Therefore, this noted that appreciative inquiry and appreciative intelligence are considering something that is looking towards a better future, not necessarily what is wrong [7,33].
- **Relating**: What did we need to change to make a better future? (Imagine): Based on the Work System Sub-Systems study, Figure 6 can be a conceptual model of “Awakened Need of Change” for an Appreciative Work System. This is also indicated as the key characteristic of the sociotechnical system components identified by Kleiner [75].
- **Action**: How did we do this? (Design): This is toward a kind of ergonomics intervention-type action research or reflection learning and action [7,33,76], for this reason, totally, it is mentioned that Participatory and Appreciative Action Research (PAAR) are the third kind of action research about: 1) Using the power of the positive question; 2) Amplifying the core positive question not ‘problem solving’; 3) Leading by valuing, not evaluating; 4) ‘Appreciative Intelligence’ (multiple intelligence); i.e., the ability to see the mighty oak in the acorn, and look at all successful things; 5) re-framing (i.e., how one can amplify those things that will help a better future emerging from present present) by appreciating and best fit for doing, or seeing how the future unfolds the present [76,77]. This can be with focus on the following sub-research questions that it can be formulated as “What are your workplace stories”, “journeys”, “cultures” and “ballots (i.e., dances)” about applying ergonomics to work system and how you want to amplify it?
- **Organizing**: Who took action and with what consequences? (Act): In the appreciative way, the role of people/participants are to engage in the appreciate path to ask and reply to the
![Figure 6: Basic conceptual model of an ‘Awakening Need of Change’ for the appreciative work system, adapted resource [20,33,59]](image-url)
reflective questions and also what can they learn from each other and services end-users’ experience? This requires the applying ergonomics and Human Factors to work systems in IDCs in an appreciative way completely [33].
Conclusion
Factors which contributed to the success of this research for identify the awakened need to change from understanding of the applying ergonomics to work system include the following: 1) Learning by studying (Example here, which materialized through employing the three questionnaires survey, evaluation of the three groups of all organizational levels and applying the tool for appreciating understanding the improving working conditions programme); 2) Learning by using (e.g., which materialized through the use of the FW technique for midlevel managers to develop vision and ideas and also find new checkpoints for work organization and work system); 3) Learning by doing (Example here, which materialized through performing the ILOs ergonomic checkpoints review principles checklist in an organizational unit to get a full image of health, safety and ergonomics in the workplace; 4) Learning of reflection (by interviews as the positive feedbacks from the participants); and 5) Its meta-reflection as “maximizing strategy” (recognizing when an amplification of the ‘success’ is necessary; including, appreciative inquiries and root cause of success) could be formulated and introduced.
It is a necessity that such applicable research will be financially supported by industrial managers and health policymakers in IDCs’ Industries and also ICS’ Industries that the awakened need to change to apply ergonomics and human factors to work system is further understood to contribute and considerate of the integrating “Ergonomics, Health, and Safety” at the workplaces and also, the identifying and developing appreciative work system in the organizations when it will be undertaken with the maximizing strategy approach.
References
1. Wilson JR (1999) Interactions as the focus for human centered systems. Proceedings of the International Conference on TQM and Human Factors—towards successful integration, Centre for Studies of Humans, Technology and Organization, Linkoping University and Institute of Technology, Linkoping, Sweden. pp: 15-17.
2. Hendrick HW, Kleiner BM (2001) Macroergonomics, an Introduction to work system design. Hum Fac Ergon Soc.
3. Hendrick HW, Kleiner BM (2002) Macroergonomics: theory, methods, and applications. Lawrence Erlbaum Associates, New Jersey.
4. Hendrick HW (1981) Ergonomics in organizational design and management. Ergonomics 34: 743-758.
5. Trist E, Bamforth K (1951) Some social and psychological consequences of the Longwall method. Hum Relat 4: 3-38.
6. Hendrick HW (1996) The ergonomics of economics is the economics of ergonomics. Proceedings of the Hum Fac Ergon Soc Annual Meeting, SAGE Publications. pp: 1-10.
7. Helali F (2008) Developing an ergonomics intervention technique model to support a participatory ergonomics process for improving work systems in organizations in an industrially developing country and its ‘Meta-Reflection’. [Doctoral dissertation]. Lulea, Sweden: Lulea University of Technology p: 28.
8. Helali F (2009) The Ergonomics Know-how Transfer Models to IDC’s Industries (Concept, Theory, Methodology, Method, Technique). LAMBERT Academic Publishing AG and Co. KG, UK and the USA.
9. Hendrick HW (2008) Applying ergonomics to systems: Some documented ‘lessons learned’. Appl Ergon 39: 418–426.
10. Schultz/Wild R (1990) Process-related Skills: Future Factory Structures and Training. New technology and manufacturing management: strategic choices for flexible production systems pp: 87-99.
11. Scott PA (2009) Ergonomics in Developing Regions: Needs and Applications. CRC Press.
12. Shahnavaz H (2000) Creating ergonomics awareness in industrially developing countries. Hum Fac Ergon Soc pp: 414-417.
13. Shahnavaz H (2002) Macroeconomic considerations in technology transfer. Macroeconomics: Theory, methods, and applications. Mahwah, NJ: Lawrence Erlbaum Associates pp: 311-322.
14. Shahnavaz H (1994) Macroeconomics factors in technology transfer. ODAM - IV, Elsevier science, pp: 669-673.
15. Hendrick H (1997) Organizational design and macroergonomics. Handbook of Human Factors and Ergonomics 2: 594-627.
16. Hendrick HW (1986) Macroeconomics: A conceptual model for integrating human factors with organizational design. In: Brown O Jr and Hendrick HW (eds) Human factors in organizational design and management, Amsterdam pp: 467-478.
17. Taylor JC, Felten DF (1983) Performance by design: Sociotechnical systems in North America. Prentice-Hall.
18. Mumford E (2003) Redesigning human systems. Idea Group Publishing, Hershey, PA.
19. Trist E, Murray H, Trist B, Cytrynbaum S (1995) The Social Engagement of Social Science: A Tavistock Anthology Vol. II: The Socio-Technical Perspective. Int J Group Psychother 45: 567-569.
20. Kleiner BM (2004) Macroeconomics as a Large Work-System Transformation. Technology Human Factors and Ergonomics in Manufacturing 14: 99-115.
21. Badham RJ, Clegg CW, Wall T (2001) Socio-technical theory. International encyclopedia of ergonomics and human factors, Taylor and Francis, Incorporated, Florence, KY, USA pp: 1370-1373.
22. Kleiner B, Drury C (1999) Small-scale regional economic development: Macroergonomic issues and problems. Human Factors and Ergonomics in Manufacturing and Service Industries 9: 151-163.
23. De Greene KB (1973) Sociotechnical systems: Factors in analysis, design, and management. Prentice-Hall, Englewood Cliffs.
24. Hendrick HW (2007) Macroeconomics: The analysis and design of work systems. Rev Hum Factors Ergon 3: 44-78.
25. Hendrick HW (1995) Future directions in macroergonomics. Ergonomics 38: 1617-1624.
26. North K (1987) Ergonomics in developing countries: a need or a luxury. Ergonomics in Developing Countries: an International Symposium, Occupational Safety and Health Series No. 58, International Labour Office, Geneva pp: 126-133.
27. Yeow P, Sen R (2002) The promoters of ergonomics in industrially developing countries: their work and challenges. Proceedings of the 3rd International Cybernetic Conference on Ergonomics.
28. Scott P (1997) Macro-ergonomic approach to establishing ergonomics in industrially developing countries. Proc.: 19th Triennial Congress of the Intern Erg Assoic, Tampere, Finland pp: 154-156.
29. Scott P, Shahnavaz H (1997) Ergonomics training in Industrially Developing Countries: Case studies from roving seminars. Proceedings: 7th International Conference on Human-Computer Interaction, San Francisco, USA pp: 135-144.
30. Shahnavaz H (1996) What can we do to help ergonomic practice in the industrially developing countries. International Conference on Applied Ergonomics pp: 1008-1010.
31. Shahnavaz H (1995) Making ergonomics a world-wide concept. Ergonomics 39: 1391-1402.
32. Ghaye T (2008) Building the reflective healthcare organisation. John Wiley and Sons.
33. Helali F (2012) How could you use the ergonomics ‘knowhow/transfer management to enhance human working for sustainable improvements in industrially developing countries? Work 41: 2730-2735.
34. Helali F (2015) Building Taxonomy Knowledge ‘Systemic Ergonomics Intervention Work-a Product Joining up practice with theory in an Industrially Developing Country and its’ Meta-Reflection’. Proceedings 19th Triennial Congress of the IEA, Melbourne.
35. Kogi K (1995) Participatory ergonomics that builds on local solutions. J Hum Ergol 24: 37-45.
36. Kogi K (1997) Low-cost ergonomic solutions in small-scale industries in developing countries. African Newsletter on Occupational Health and Safety 7: 31-33.
37. Kogi K (2008) Facilitating participatory steps for planning and implementing low-cost improvements in small workplaces. Appl Ergon 39: 475-481.
38. Gensady A, Karwowski W, Guo L, Hidalgo J, Garbutt G (1992) Physical training: a tool for increasing work tolerance limits of employees engaged in manual handling tasks. Ergonomics 35: 1081-1102.
39. Scott P, Charlesi J (2001) Micro-and Macro-ergonomic Interventions in Industrially Developing Countries. International Encyclopedia of Ergonomics and Human Factors 2: 1533-1536.
40. Helali F, Shahnavaz H (1996) Ergonomic intervention in industries of the industrially developing countries. Case study: Glucosan Iran. Human factors in organizational design and management, VI, Amsterdam, The Netherlands: North-Holland pp: 141-148.
41. Helali F, Shahnavaz H (1998) Adopting macroergonomic approach for identification of workplace problems and development of low-cost/no-cost solutions in industrially developing countries. Case study: Glucosan-Iran. Human factors in organizational design and management, VI, Amsterdam, The Netherlands: North-Holland pp: 585-592.
42. Helali F, Shahnavaz H (1998) Experimental model of ergonomics intervention in industries of the industrially developing countries. Case study: Iran. Global ergonomics of Ergonomics Conference Amsterdam, Elsevier, The Netherlands pp: 51-56.
43. Helali F (2009) Using ergonomics checkpoints to support a participatory ergonomics intervention in an industrially developing country (IDC)—a case study. Int J Occup Saf Ergon 15: 325-337.
44. Helali F, Lonnroth E, Shahnavaz H (2008) Participatory Ergonomics Intervention in an Industrially Developing Country-A Case Study. Int J Occup Saf Ergon 14: 159-176.
45. Imada AS (1986) Is participatory ergonomics appropriate across cultures? Trends and future criteria. Proceedings of the Hum Fact Ergon Soc Annual Meeting, SAGE Publications, Santa Monica, CA, pp: 1107-1109.
46. Imada AS, Nagamachi M (1996) Introduction to participatory ergonomics. Int J Ind Ergon 15: 309-310.
47. Vink P, Imada AS, Zink K (2008) Defining stakeholder involvement in participatory design processes. Appl Ergon 39: 519-526.
48. Brown OJ (1994) The evolution and development of participatory ergonomics. Proceedings of the XIlth Triennial Congress of the International Ergonomics Association, Mississauga: Human factors association of Canada, pp: 95-97.
49. Imada AS (1988) Participatory ergonomics. In: Adams AS, Mcphee BJ and Oxenburgh R (eds.) Ergonomics International 88, proceedings of the Tenth Congress of the International Ergonomics Association, Sydney: Ergonomics Society of Australia pp: 711-713.
50. Robertson M (2002) Macroeconomics in training systems development. Lawrence Erlbaum Associates, New Jersey.
51. Denning WE (1993) The New Economics for Industry, Government, and Education. MIT Center for Advanced Engineering Study, Cambridge, Massachusetts.
52. Denning WE (1988) Out of the Crisis: quality, productivity and competitive position. MIT Press, Cambridge, Massachusetts.
53. ILO (2010) Ergonomics Checkpoints. Practical and easy-to-implement solutions for improving safety, health and working conditions. International Labour Office, Geneva.
54. Dastranj F, Helali F (2016) Implementing ‘Job Enrichment’ with using ergonomic checkpoints in an Appreciative Way at a Manufacturing Company in an Industrially Developing Country and its Meta-reflection. J Ergonomics 6: 1000172.
55. Helali F, Dastranj F (2014) How could you use the ergonomic checkpoints for job enrichment in an ‘appreciative way’ in industrial of industrially developing countries? International Symposium on Human Factors in Organisational Design and Management (ODAM) 46th Annual Nordic Ergonomics Society (NES) Conference: 17–21 August 2014 Copenhagen, Denmark pp: 17-21.
56. Ghaye T, Lillyman S (2000) REFLECTION: Principles and practice for healthcare professionals. Mark Allen Publishing Ltd. Reprinted in the UK by IGBL Global, London.
57. Zelemy M (2010) What is Knowledge? Governing and Managing Knowledge in Asia. Series A, Series on Innovation and Knowledge Management, World Scientific Publishing Co, River Edge, NJ, USA 9: 21-68.
58. Sanchez R (1996) Strategic product creation: Managing new interactions of technology, markets, and organizations. EMJ 14: 121-138.
59. Helali F, Abdollahpour N (2014) How could you implement ‘awakened need of change’ for the applying ergonomics to work system in industrially developing countries? Proceeding, human factors in organizational design and management – xi nordic ergonomics society annual conference - 46: 251-257.
60. ILO (1998) Ergonomic Checkpoints, Practical and easy-to-implement solutions for improving safety, health and working conditions. International Labour Office, Geneva.
61. Niu S (2010) Ergonomics and occupational safety and health: An ILO perspective. Appl Ergon 41: 744-753.
62. Christofatoukou P (1992) ergonomics for the improvement of health and safety of female workers in industrially developing countries. doctoral thesis. lulea university of technology.
63. Müllert N, Jungk R (1987) Future Workshops: How to create desirable futures. the Institute for Social Inventions (English adaptation), London.
64. Sanda MA (2006) Four case studies on commercialisation of government R&D agencies: an organizational activity theoretical approach (Doctoral dissertation). Lulea-Sweden. Lulea University of Technology.
65. Sanda MA, Fåtholm Y, Abrahamsson L, Johansson J (2011) Using PW as a strategic participatory tool to capture implicit knowledge in organizations. Global Journal of Strategies and Governance (GJSG) 2: 27-41.
66. Dastranj F, Helali F (2015) Translated ILO book, International Labour Office, Geneva: Ergonomics Checkpoints, Practical and easy-to-implement solutions for improving safety, health and working conditions. Publisher, Tehran: Farhang-e Rasa 2015: 334.
67. Laitinen H, Rasa P, Lankinen T (2000) ELMER: a workplace safety and health observation method. Helsinki, Finland: Finnish Institute of Occupational Health.
68. Ghaye T, Lillyman S (2012) Empowerment through reflection: a guide for practitioners and healthcare teams, Reflective practices series. Quay Books, MA Healthcare Limited.
69. Oden HW (1999) Transforming the organization: A social-technical approach. Greenwood Publishing Group.
70. Abdollahpour N (2011) An Improving Working conditions System (Health, Safety and Ergonomics) Survey and Analysis with Macroeconomics Approach in a manufacturing company from Iran Power Plant Industry in 2010. University of Social Welfare and Master Thesis of Ergonomics Rehabilitation Sciences (USWR) - Iran.
71. Shahnavaz H, Rabiei J, Sharif A (2009) Macro Ergonomics Intervention in a Medium Sized Company in Iran: Tehran Urban & Suburban Railway Operation Company (Metro), 17th World Congress on Ergonomics IEA Beijin, China.
72. Imada AS (2000) A Macroergonomic Approach to Reducing Work Related Injuries in a Petroleum Distribution Operation. Carmichael, CA AS Imada and Associates.
73. Wilson JR, Haines HM (2001) Participatory Ergonomics, International Encyclopedia of Ergonomics and Human Factors. Karwowski, Waldemar, pp: 1282-1286.
74. Ghaye T (2010) In what ways can reflective practices enhance human flourishing?
75. Kleiner BM (2008) Macroergonomics: work system analysis and design. Human Factors: The Journal of the Hum Fact Ergon Soc 50: 481-467.
76. Ghaye T (2008) Participatory and Appreciative Action Research (PAAR) Some Principles and Practice. Extract from Ghaye T (2008) An introduction to Participatory and Appreciative Action Research (PAAR), New Vista Publications, Gloucester, England.
|
Exposure to biological and chemical agents at biomass power plants
Sirpa Laitinen\textsuperscript{a,b,*}, Juha Laitinen\textsuperscript{a}, Leena Fagernäs\textsuperscript{b}, Kirsi Korpijärvi\textsuperscript{c}, Leena Korpinen\textsuperscript{d}, Kari Ojanen\textsuperscript{a}, Marjaleena Aatamila\textsuperscript{a}, Mika Jumpponen\textsuperscript{a}, Hanna Koponen\textsuperscript{e}, Jorma Jokiniemi\textsuperscript{f}
\textsuperscript{a} Finnish Institute of Occupational Health, PO Box 310, FI-70101, Kuopio, Finland
\textsuperscript{b} VTT Technical Research Centre of Finland Ltd, PO Box 1000, FI-02044 VTT, Espoo, Finland
\textsuperscript{c} VTT Technical Research Centre of Finland Ltd, PO Box 1603, FI-40101, Jyväskylä, Finland
\textsuperscript{d} Tampere University of Technology, EIT, PO Box 682, FI-33101, Tampere, Finland
\textsuperscript{e} University of Eastern Finland, PO Box 1627, FI-50201, Kuopio, Finland
\textbf{Article history:}
Received 3 February 2016
Received in revised form 19 May 2016
Accepted 24 June 2016
Available online 5 July 2016
\textbf{Keywords:}
Bioenergy
Power plants
Occupational hygiene
Exposure
Biological agents
Chemical compounds
\textbf{Abstract}
The increasing use and production of bioenergy means that the number of employees working in this area will inevitably grow, making it ever more important to know the health and safety issues involved in the biomass supply chain. Our aim was to determine the exposure of employees to biological and chemical agents during various job tasks in different biomass-powered power plants in Finland. The study included personal surveys on biomass operations and occupational measurements at three chip plants. Workers' main health risks were bacteria and fungi, which were easily spread to the air during heavy biomass processes. The exposure levels of actinobacteria, bacterial endotoxins and fungi were high, especially during the unloading of peat and wood chips. In addition, workers were exposed to mechanical irritation caused by organic dust, and chemical irritation caused by volatile organic compounds and components of diesel exhausts. Multiple exposures to these agents may simultaneously have synergistic health effects on workers' lower and upper respiratory tracts. During operations, workers were exposed to actinobacteria, actinomycetes, actinomycetales, fungi, and total dust during handling of wood chips in silos and while working near grinders or crushers. The measured concentrations exceeded the limit values proposed for these agents. The highest concentration of volatile organic compounds was found near conveyors. On the basis of these measurements, we suggested best practices for the power plants. The levels of biological agents in outdoor measurements reflected only low spreading of contaminants from power plants to the environment.
© 2016 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).
\section*{1. Introduction}
The use of bioenergy in Finland has increased significantly during the last decade. In 2014, the total use of wood chips in heat and power plants was about 16 TWh, which, according to the 2020 target, should be increased to 25 TWh. The use of wood fuels in multi-fuel boilers is the most central and cost-effective way to increase the use of renewable energy in the generation of heat and power. The number of employees working with bioenergy is therefore expected to grow, making it increasingly important to know about the health and safety issues involved in the biomass supply chain. The exposure of people living near heat and power plants may also grow.
During storage, wood fuels are subject to biological and chemical reactions and decomposition caused by bacteria and fungi. A potential health hazard can be raised from airborne microspores [1]. Microbial dustings in solid biofuels has been studied especially in sawmills [2]. The concentrations of microorganisms in straw and wood chip dust were found high during drum tests [3]. Correlations between endotoxins, total bacteria and fungi, and total dustiness were found significant for outdoors stored baled straw and wood chips from piles [4]. During the outdoor storage of forest residues, low volatile hydrocarbons, such as terpenes, are emitted into the air in the gas phase [7]. Also hexanal from fatty acid oxidation has been found to be an important volatile compound emitted during the storage of solid wood fuels [8].
Occupational hygiene measurements during processing of solid biofuels at power plants have been reported in a few papers...
In these studies, levels of airborne microbial components varied between the workplaces in the plants and between the plants. The personal exposure levels to endotoxin, thermophilic actinomycetes, total bacteria and total fungi at the Danish biofuel plants were high when compared with suggested exposure limits [3]. Higher concentrations of endotoxin were found at straw plants than at wood-based plants, while the highest concentration for a fungus called *Aspergillus fumigatus*. In a Polish study [10] at a power plant co-firing biomass with coal, the highest bacterial and fungal concentrations were determined at workplaces related to reloading, screening and biomass transport via conveyor belts to silos. The results indicated that workers are exposed to bioaerosols containing potentially pathogenic bacteria and fungi. *Aspergillus fumigatus* was found in the air at all investigated workplaces.
Inflammation but no DNA damage in mice exposed to airborne dust from a biofuel plant has been found [5]. In addition, mutagenic activity of airborne particulate matter sampled in a biomass-fuel plant has been investigated [6]. Recently, Rohr et al. [11] reviewed the literature on known and potential occupational health and safety issues related to biomass-powered electricity generation. They suggested that pre-combustion risks, including bioaerosols and biogenic organics, should be considered further. Their results from the two biomass-based power generating plants indicated that the dust concentrations can be extremely variable. Workers may be exposed to many different agents at the same time during work in biomass-burning power plants. Multiple exposure of workers depends on many things, such as the fuels and chemicals used, type of fuels, work tasks, the usage of protective clothes and respirators, and the weather.
As in the wood-processing industry [12], bacterial and fungal components in biomass are also associated with diseases, ranging from toxic pneumonitis symptoms to severe chronic lung diseases such as asthma, chronic obstructive pulmonary disease (COPD) and allergic alveolitis [13–17]. The exposure level to micro-organisms has an impact on the occurrence of respiratory symptoms among biofuel workers [18]. Bacterial and fungal concentrations of > 10^4 colony-forming units per cubic meter of air (cfu m^{-3}) should be considered a threat to workers' health [19]. For single fungal species such as thermotolerant *Aspergillus fumigatus*, a threshold limit value (TLV) of 500 cfu m^{-3} has been suggested. Due to their higher toxicity, mycotoxin-producing and pathogenic species have to be detected specially [20]. Endotoxins may be present in small particles below 1 μm, which are present in the air of solid biofuel plants [21]. The Nordic and Dutch Expert Group [22] has concluded that adverse health effects are expected after chronic occupational exposure at approximately 90 EU m^{-3}. Other organic and wood dust, diesel exhaust and gases from degradation processes may be harmful, particularly vaporous and gaseous agents in biomass-fuelled power plants. The Finnish Ministry of Social Affairs and Health has established occupational exposure limit (OEL) values for these agents in Finland [23]. The Finnish Institute of Occupational Health has established a reference value of 3000 μg m^{-3} for total volatile organic compounds (TVOC), which should not be exceeded in a good working environment. In the indoor environment, a target value of 300 μg m^{-3} has been established.
More surveys and measurements need to be carried out to assess the occupational hazards of modern energy production that utilises renewable biomass. It is important to assess the public health effects and provide recommendations for future scenarios. The aim of the study was to clarify the health and safety issues in the context of bioenergy supply chains. The main focus of this paper was to analyse the exposure of employees to biological agents and chemical compounds during various work tasks at different biomass-fuelled power plant sites in Finland.
## 2. Materials and methods
### 2.1. Measurements at power plant sites
Occupational hygiene measurements were carried out at three biomass- and solid recovered fuel- (SRF) fuelled power plants, located in different parts of Finland, in the autumn of 2012 and the winter of 2013. The selection of the combined heat and power (CHP) plants for case studies and the measurements was mainly based on the fuel used, but other factors such as the age of the plant were also considered (Table 1). All the case power plants received at least one of the fuels by truck: rear-unloading, full-trailer trucks or rear-tipping trucks.
The research was carried out according to the process presented in Fig. 1. We performed a technical survey on biomass operations at the selected power plants to collect background information by interviews and observations regarding the power plant, the fuels used, their delivery chains, working habits, and occupational safety and health issues.
Workers' exposure to biological and chemical agents was measured during their normal duties. The collected air samples and measurements with direct reading instruments are summarised in Table 2. The stationary sampling points were reserved for source identification and mapping out concentration levels in different working areas. The personal exposure of workers during a work task was monitored from their breathing zones. Sampling periods varied from 38 to 430 min at stationary sites and from 26 to 170 min in breathing zones. Material samples of the fuels \((n = 23)\) used were collected from fuel reception sites and from conveyors.
### Table 1
Basic information on case studies’ combined heat and power plants.
| Power plant | A | B | C |
|-------------|---|---|---|
| Boiler type | BFB\(^a\) | BFB\(^b\) | BFB\(^c\) |
| Power (appr.) | 75 MW\(_{\text{net}}\) | 200 MW\(_{\text{net}}\) | 170 MW\(_{\text{net}}\) |
| Age of plant | New | ~10 years | Old |
| Fuels used | Wood fuels 100%: forest chips, used wood, whole-tree chips, stemwood chips, wood processing industry residues | Wood fuels 50%: forest chips, stumps, forest residues, sawdust Bark 20% | Bark and waste water sludge 50% SRF\(^d\) 50% |
| Additives used | Elemental sulphur | None | Elemental sulphur |
| Flue gas cleaning | Bag filter | ESP\(^e\) | ESP\(^e\) + Scrubber |
\(^a\) Bubbling fluidized bed.
\(^b\) Solid recovered fuel.
\(^c\) Electrostatic precipitator.
before the boiler when possible. The samples were wood chips, hog fuel from stumps, bark, sawdust, thermally dried sludge, peat and SRF.
2.2. Analysis of biological exposure
Airborne viable bacteria and fungi were collected by open face cassettes with polycarbonate filters (0.4 µm, Ø 37 mm, Whatman International Ltd.) at a flow rate of 2 L min\(^{-1}\) in a sample pump. Material samples for the laboratory analysis were taken directly from fuels into plastic bags according to EN 14778:2011 Solid biofuels (Sampling). All samples used for microbial cultivations and the analysis of endotoxins were processed within 24 h of sampling.
The viable bacteria and fungi of the samples were cultivated from 3 to 14 days on the following culture media at the temperatures specified. Mesophilic actinobacteria (\textit{e.g. Streptomyces} spp.) and other bacteria were cultivated on tryptone yeast extract glucose –agar (−25 °C), mesophilic fungi on media with Rose Bengal (Hagem) and on Dichloran 18% glycerol –agar (−25 °C), thermotolerant fungi on Hagem –agar (−40 °C), and thermophilic actinobacteria on Half-strength nutrient –agar (±55 °C). After the incubation period, colonies were counted and those of actinobacteria and fungi were identified by microscopic examination of morphology. Concentrations of viable micro-organisms are expressed as (cfu m\(^{-3}\)), and as (cfu g\(^{-1}\)).
The detection method for endotoxins serves as a marker for the whole group of gram-negative bacteria, and indicates their presence in the sample. Inhalable endotoxins were collected into a glass fibre filter (1.0 µm, Ø 25 mm, SKC Inc.) by an IOM Sampler at a flow rate of 2 L min\(^{-1}\). The biologically active endotoxins in the air samples were measured using a validated kinetic chromogenic \textit{Limulus} amebocyte lysate assay (Kinetic QCL, Lonza). The results were expressed as endotoxin units per cubic meter of air (EU m\(^{-3}\)).
2.3. Analysis of exposure to particulates, vaporous and gaseous agents
The power plant operators’ and truck drivers’ exposure to inhalable dust was evaluated by a Millipore-filter (25 mm AAWP, pore size 0.8 µm, Merck Millipore), using an IOM sampler (SKC) at a flow rate of 2.0 L min\(^{-1}\) [24]. Inhalable dust was also measured by the direct reading instrument SPLIT 2 (SKC). The results of the direct reading instruments were corrected gravimetrically.
X-am 3600, X-am 7000, and PAC 7000 (Drago) direct reading instruments were used to measure concentrations of carbon monoxide (CO), carbon dioxide (CO\(_2\)), oxygen (O\(_2\)), nitric oxide (NO), nitrogen dioxide (NO\(_2\)), ammonia, and hydrogen sulphide. Measured data was recorded on data loggers, and the recorded values represented the average values of sampling intervals from 10 s to 1 min. The gas monitor sensors for CO, CO\(_2\), NO and NO\(_2\) were calibrated using calibrating gases (AGA) with known concentrations. Other sensors were calibrated in a service provided by the manufacturer of the instrument.
The VOCs were collected in Tenax TA adsorption tubes (SKC) at a flow rate of 0.1 L min\(^{-1}\). Samples were analysed using a gas chromatograph (GC) equipped with a thermal desorption injection technique and mass selective detector [25]. Reduced sulphur compounds were collected into sample bags (Standard FlexiFlow 263-20, SKC) using an evacuating sampling chamber [26]. The samples were analysed using the GC photoionisation detector technique.
3. Results and discussion
3.1. Micro-organisms in the indigenous fuels
Most of the indigenous solid fuels contained a great deal of
| Operation/place | Collected air samples | Direct measurements |
|-----------------|-----------------------|---------------------|
| | Microbes | Endotoxin | Inhalable organic/inorganic dust | Other | Particles | Gases |
| Unloading | 11 | 17 | 17 | 5 | 13 | 22 |
| Processing of solid biofuels | 16 | 18 | 13 | 26 | 9 | 21 |
| Control room | 5 | 5 | 4 | 3 | 2 | 0 |
| Environmental air outdoors | 11 | 8 | 0 | 0 | 0 | 0 |
Fig. 1. Schema of research process.
Table 3
Concentrations of micro-organisms (cfu g\(^{-1}\)) in fuel samples collected from power plants.
| Fuel (N\(^a\)) | Mesophilic fungi | Thermotolerant fungi | Mesophilic bacteria | Mesophilic actinobacteria | Thermophilic actinobacteria |
|----------------|------------------|----------------------|---------------------|--------------------------|----------------------------|
| Wood chips (6) | \(9.3 \times 10^4\)–\(1.5 \times 10^5\) | \(1.0 \times 10^3\)–\(3.6 \times 10^4\) | \(2.5 \times 10^5\)–\(2.4 \times 10^6\) | \(2.7 \times 10^4\)–\(1.0 \times 10^6\) | <\(1.0 \times 10^2\)–\(2.7 \times 10^4\) |
| Hog fuel from stumps (1) | \(6.8 \times 10^4\) | \(3.0 \times 10^3\) | \(1.6 \times 10^6\) | \(1.8 \times 10^4\) | \(2.0 \times 10^4\) |
| Bark (3) | \(9.3 \times 10^4\)–\(5.2 \times 10^5\) | \(5.6 \times 10^3\)–\(1.5 \times 10^6\) | \(4.2 \times 10^5\)–\(1.6 \times 10^6\) | <\(1.0 \times 10^2\)–\(1.8 \times 10^3\) | \(1.0 \times 10^2\)–\(3.0 \times 10^2\) |
| Sawdust (1) | \(2.5 \times 10^4\)–\(9.5 \times 10^4\) | \(1.5 \times 10^3\) | \(3.7 \times 10^5\) | <\(1.0 \times 10^2\) | <\(1.0 \times 10^2\) |
| Thermally dried sludge (1) | \(1.0 \times 10^4\)–\(4.0 \times 10^4\) | <\(1.0 \times 10^4\) | \(1.4 \times 10^4\) | \(1.8 \times 10^4\) | <\(1.0 \times 10^2\) |
| Blend of fuels (5) | \(4.0 \times 10^4\)–\(2.5 \times 10^4\) | \(1.6 \times 10^3\)–\(4.0 \times 10^3\) | \(4.3 \times 10^4\)–\(1.1 \times 10^5\) | \(1.8 \times 10^3\)–\(5.1 \times 10^5\) | \(2.2 \times 10^4\)–\(7.3 \times 10^4\) |
| Peat (3) | \(7.2 \times 10^4\)–\(3.7 \times 10^4\) | \(6.0 \times 10^3\)–\(3.8 \times 10^3\) | \(1.5 \times 10^4\)–\(1.1 \times 10^4\) | <\(1.0 \times 10^2\)–\(1.8 \times 10^3\) | <\(1.0 \times 10^2\)–\(2.0 \times 10^2\) |
| SRF (3) | \(3.4 \times 10^4\)–\(4.8 \times 10^4\) | \(5.9 \times 10^3\)–\(7.1 \times 10^3\) | \(5.1 \times 10^4\)–\(1.1 \times 10^{10}\) | <\(1.0 \times 10^2\)–\(2.7 \times 10^4\) | <\(1.0 \times 10^2\)–\(7.5 \times 10^4\) |
* Number of samples.
bacteria and fungi (Table 3). The variations in workers’ exposure levels were mainly different in fuels and work tasks. The SRF fuels included the highest numbers of micro-organisms of the studied fuels, although they released lower bioaerosol and dust levels into the air than the other solid fuels. Peat, a slowly renewable biomass fuel, included smaller amounts of mesophilic bacteria than the SRF, but it caused the largest concentrations of mesophilic bacteria in working areas during the unloading of the fuel (Table 4). A majority of these bacteria are apparently gram-negative bacteria, because high concentrations of endotoxins were also detected in the breathing zones of peat drivers (Table 5). A Canadian study [27] found bacterial levels of up to \(4.8 \times 10^4\) cfu g\(^{-1}\) in peat samples, and the presence of thermophilic bacteria was only sporadic.
Thermotolerant fungi and thermophilic actinobacteria were more abundant in the wood chip and bark SRF fuels than in the milled peat. Mixtures of fuels also seemed to be very susceptible to microbial growth. Actinobacteria, *Aspergillus fumigatus*, *Penicillium* spp., and yeasts were the most common identified species. This may be due to the self-heating of biomass in storages, which causes a growth of these micro-organisms. When organic material with sufficient moisture content is stored for a prolonged time, microorganisms may start to grow. Outdoor storage of solid biofuels seems to increase at least the microbial contamination of wood chips [28]. The multiplying process of micro-organisms could be prevented by drying fuel masses. One example of this in our study was the thermally dried sludge, which included only a few micro-organisms. That sludge from the waste water treatment plant of a paper mill was dried to a dry matter content of 80 w-% and then pneumatically conveyed to the boiler.
3.2. Workers’ exposure during fuel reception
Employees were exposed to a huge amount of organic dust while unloading indigenous fuels (Fig. 2). Usually the driver has to enter the unloading room several times during the process for manual fuel sampling, opening and closing doors, and cleaning the area, which causes a great deal of variation in workers’ exposure. The inhalable dust concentrations during unloading were highest for peat and lowest for SRF (Table 5). The average inhalable dust concentrations were over 5.0 times higher than the Finnish OEL\(_{8 \text{ hours}}\) for organic dust (5 mg m\(^{-3}\)) in stationary sites for peat, wood chips and stumps. The personal measurements from truck drivers’ breathing zones supported the stationary site sampling findings. However, technical preventive measures decreased drivers’ average exposure levels to below the OEL\(_{8 \text{ hour}}\) value in almost all cases (Table 5). The only exception was the unloading of peat, when the average inhalable dust concentration was 2.4 times higher than the OEL\(_{8 \text{ hour}}\) value. The dust values measured in the unloading of forest residues and stumps were very similar to those of earlier Finnish studies [9].
Organic inhalable dust includes a great deal of bioaerosols, and therefore endotoxin levels were also the highest in the unloading of indigenous fuels (Table 5). The air concentrations of endotoxins several times exceeded the suggested limit value of 90 EU m\(^{-3}\), which may cause adverse health effects for workers after short- or long-term occupational exposure. Microbial concentrations during unloading were higher than \(10^4\) cfu m\(^{-3}\), which may be a threat to workers’ health (Table 4). Bioaerosol levels measured during the unloading of fuels were higher than those in the corresponding power plants of previous studies [3,9,10]. The highest air concentrations of fungi were measured during the handling of wood chips, while the highest airborne bacterial levels were in the unloading of peat. The composition of airborne micro-organisms was similar to that identified in the biomass of the fuels.
The highest measured concentration of the TVOC during the unloading of fuels was six times the recommended reference value for good industrial air (3000 µg m\(^{-3}\)) established by the Finnish Institute of Occupational Health (Table 6). The main VOCs in the air were \(\alpha\)-pinene, \(\beta\)-caryene, \(\beta\)-pinene, limonene, and other mono-terpenes (C\(_{10}\)H\(_{16}\)). The major part of the detected VOCs originated from pine and spruce wood. Our findings concerning fuel reception during the unloading of biofuels supported the earlier results of fuel emissions, in which the most abundant VOCs in the air of logging residue storage were \(\alpha\)-pinene, \(\beta\)-pinene and \(\Delta^2\)-
Table 4
Air concentrations of micro-organisms (cfu m\(^{-3}\)) during unloading and processing of fuels at power plants.
| Operation (N\(^a\)) | Mesophilic fungi | Thermotolerant fungi | Mesophilic bacteria | Mesophilic actinobacteria | Thermophilic actinobacteria |
|---------------------|------------------|----------------------|---------------------|--------------------------|----------------------------|
| Unloading wood chips (6) | \(4.5 \times 10^4\)–\(1.4 \times 10^5\) | <\(2.3 \times 10^2\)–\(1.1 \times 10^3\) | \(2.3 \times 10^5\)–\(9.4 \times 10^5\) | \(4.6 \times 10^2\)–\(8.9 \times 10^3\) | <\(1 \times 10^2\)–\(1.2 \times 10^4\) |
| Supervision room during unloading chips (2) | \(2.8 \times 10^4\)–\(8.8 \times 10^4\) | \(1.3 \times 10^2\)–\(1.8 \times 10^2\) | \(9.2 \times 10^2\) | \(73\)–\(92\) | <\(92\) |
| Unloading stumps (1) | \(3.3 \times 10^4\)–\(5.7 \times 10^4\) | \(2.6 \times 10^3\) | \(2.1 \times 10^5\) | \(9.9 \times 10^3\) | <\(2.4 \times 10^2\) |
| Unloading bark (2) | \(3.7 \times 10^4\)–\(1.0 \times 10^5\) | \(1.9 \times 10^2\)–\(1.9 \times 10^3\) | \(1.0 \times 10^5\)–\(2.3 \times 10^5\) | \(1.7 \times 10^2\)–\(2.8 \times 10^4\) | <\(5.3 \times 10^1\) |
| Unloading SRF (1) | \(2.0 \times 10^4\)–\(2.3 \times 10^4\) | \(1.9 \times 10^4\) | \(5.5 \times 10^3\) | \(9.0 \times 10^2\) | <\(8.3 \times 10^1\) |
| Cabin of wheel loader during unloading SRF (2) | <\(2.8 \times 10^2\)–\(6.1 \times 10^2\) | <\(6.1 \times 10^2\) | <\(2.8 \times 10^2\)–\(1.2 \times 10^3\) | <\(6.1 \times 10^2\) | <\(6.1 \times 10^2\) |
| Screen, crusher (3) | \(4.0 \times 10^4\)–\(5.6 \times 10^4\) | \(5.3 \times 10^3\)–\(2.0 \times 10^4\) | \(1.2 \times 10^5\)–\(4.1 \times 10^3\) | \(1.1 \times 10^2\)–\(2.1 \times 10^3\) | <\(1.2 \times 10^2\)–\(3.4 \times 10^3\) |
| Conveyor (1) | \(1.5 \times 10^4\)–\(1.8 \times 10^4\) | \(8.7 \times 10^3\) | \(4.7 \times 10^4\) | \(1.7 \times 10^3\) | \(3.1 \times 10^2\) |
| Silo (2) | \(8.4 \times 10^4\)–\(7.0 \times 10^4\) | \(4.3 \times 10^3\)–\(1.3 \times 10^4\) | \(1.2 \times 10^2\)–\(6.5 \times 10^4\) | \(3.4 \times 10^2\)–\(4.8 \times 10^4\) | <\(3.8 \times 10^2\) |
* Number of samples.
Table 5
Concentrations of inhalable organic dust (mg m\(^{-3}\)) and endotoxins (EU m\(^{-3}\)) at stationary site and in truck drivers’ breathing zones during unloading of fuels at power plants.
| Fuel | Reception hall (N\(^a\)) | Truck drivers’ breathing zone (N\(^b\)) |
|----------|---------------------------|----------------------------------------|
| | Organic dust | Endotoxin | Organic dust | Endotoxin |
| Wood chips | \(-0.2–43\) (4) | \(<2.8–6700\) (5) | 1.5 (1) | \(36–140\) (2) |
| Stumps | 0.5–25 (2) | 450 (1) | \(<1.6–3.7\) (3) | \(11–44\) (3) |
| Peat | 33–87 (2) | 96 (1) | 4.5–12 (2) | \(58–590\) (2) |
| SRF | \(-1.6\) (1) | 16 (1) | \(<1.8\) (2) | \(17–49\) (2) |
\(^a\) Number of samples.
Table 6
Concentrations of total volatile organic compounds (TVOCs) and major VOCs in fuel reception hall.
| Operation (N\(^a\)) | TVOC (\(\mu g\) m\(^{-3}\)) | Major VOCs | VOC concentration (\(\mu g\) m\(^{-3}\)) |
|---------------------|-----------------------------|------------|----------------------------------------|
| Unloading of wood chips and unloading and crushing of stumps (4) | 80–18000 | \(\alpha\)-Pinene, \(\beta\)-Pinene, Limonene, Monoterpenes, C\(_{10}\)H\(_{18}\), Acetone, Sulphur dioxide, 1-Propanol, Camphene | 120–5300, 48–3900, 3500, 23–2200, 2000, 54, 45, 28, 9 |
\(^a\) Number of samples.
Carene [7]. According to Edman et al. [29], the measured concentration levels of monoterpenes in pellet storage ranged from 640 \(\mu g\) m\(^{-3}\) to 28000 \(\mu g\) m\(^{-3}\).
Acetone and sulphur dioxide were also detected in the air of the reception hall. Diesel gasoline contains a certain amount of sulphur, which might be responsible for sulphur dioxide emissions in trucks exhausts (Table 6). Workers’ exposure to other components of diesel exhaust was also relatively high (Fig. 3). For example, during the unloading of SRF, the highest short-term concentration of nitrogen dioxide was 1.1 times higher than the OEL\(_{15}\) min value (6 ppm), and that of carbon monoxide was 1.3 times higher than the OEL\(_{15}\) min value (75 ppm). Concentrations of nitric oxide were under the OEL\(_{8}\) hour value of 25 ppm.
Supervision of unloading from a separate control room (Fig. 4) reduced workers’ exposure to harmful agents, although in some cases it was noticed that the air flowed through the supervision hatches to the direct control room from the unloading hall. In addition, considerably lower concentrations were obtained in drivers’ breathing zones in the cabins of trucks or wheel loaders. The drivers who had to go inside the halls to take fuel samples and clean the trucks, and into the unloading areas had higher exposure levels in their breathing zones than others.
During preparation of fuel samples in the laboratory, when opening of a barrel containing fuels, the inhalable dust concentration achieved the OEL\(_{15}\) minutes-value for organic dust (10 mg m\(^{-3}\)) in worker’s breathing zone. The average inhalable dust concentration in worker’s breathing zone was 2.6 mg m\(^{-3}\) during the whole working period, which was 52% of the OEL\(_{8}\) hours-value for organic dust.
3.3. Workers’ exposure during processing of indigenous fuels
Stationary measurements at different locations during the processing of fuels aimed to cover all the places workers had to continuously visit. Personal samples were collected from workers who did surveillance work and walked around the power plant doing operator’s tasks such as checking, cleaning and sampling during their work shift.
Crushing and screening buildings, conveyor belts, and the areas below storage silos were recognized by employees as possible exposure sites (Table 4). While the crusher and screen were processing, the concentrations of bioaerosols were high (endotoxins up to 130 EU m\(^{-3}\) and fungi up to 56000 cfu m\(^{-3}\)). The highest short-term inhalable dust concentrations were recorded when
**Fig. 2.** Variation of organic dust concentration in drivers’ breathing zones during unloading of peat.
workers had to go to the screening and crushing department of SRF: these were 1.5 times higher than the OEL$_{15 \text{ min}}$ value for organic dust (Fig. 5). During the cleaning of SRF screens, the concentration of endotoxins was very high (570 EU m$^{-3}$) in the breathing zones of the workers. The highest average inhalable dust concentration was measured during the cleaning of screens and the changing of the sulphur sack, at 4.3 mg m$^{-3}$, which was 86% of the OEL$_8$ hour value, the highest short term exposure level was 2.8 fold higher than the OEL$_{15 \text{ min}}$-value for organic dust, respectively (Fig. 5).
The concentrations of reduced sulphur compounds in the heat recovery department were at a significant level and must be addressed as an occupational hazard in biomass-fired power plant processes. The average hydrogen sulphide concentrations in heat recovery were 24% of the OEL$_8$ hour value (5 ppm), and the corresponding values for methyl mercaptan were 60% of the OEL$_8$ hour value (0.5 ppm). A small amount (0.1 ppm) of dimethyl sulphide was also found here. The use of additives, such as sulphur or ammonium sulphate, to prevent fouling of the boiler heat transfer surfaces, to avoid the corrosion caused by alkaline chlorides from fuels, and to control air emissions, is increasing at biomass-fuelled power plants. This means that health and safety issues during these new process stages should be carefully considered. High short-term exposure to carbon monoxide in boiler rooms was also possible during malfunctions of boilers, according the data recorded in the boiler room during the entire work shift.
One surveillance operator’s exposure to carbon dioxide was measured when he washed the floors near the silo department in order to determine the possible risk caused by the fermentation of biofuels. The highest measured short-term exposure level of CO$_2$ exceeded the OEL$_8$ hour value (5000 ppm) (Fig. 5). It was also interesting to note that during the highest carbon dioxide concentrations, oxygen concentration started to decrease, which might reflect the ability of carbon dioxide to replace oxygen in the air at already measured concentration levels. The measured decrease of oxygen concentration was not significant enough to have any effects on workers. The ratio of oxygen has to decrease to 18% before workers start to suffer [23]. Some bacteria and yeasts, especially anaerobic bacteria such as clostridia, are capable of converting a wide range of carbon sources of biomass via fermentation into chemicals and fuels such as carboxylic acids (e.g. acetic acid), acetone, butanol, and ethanol [30]. These compounds were found in the air samples taken from unloading and crushing halls, and from inside conveyors and silos, and showed the rate of the fermentation process of biofuels.
**Fig. 3.** Concentration variation of nitric oxide (A and B), nitrogen dioxide (C) and carbon monoxide (D) at stationary sites (A, C and D) and in drivers’ breathing (B) zones during unloading of biofuels.
**Fig. 4.** A driver can supervise rear-unloading from a separate room through a small window.
The highest TVOC concentration was measured near the conveyor of bark and sludge (Fig. 6). The measured concentration was 12 times higher than the reference value for good air quality in industry (3000 μg m⁻³). The main detected VOCs were acetic acid 23000 μg m⁻³, different monoterpens 11500 μg m⁻³, and ethanol 7200 μg m⁻³. Near the bio silo, TVOC concentration was 5.3 times higher than the reference limit value, and the main VOCs were δ³-carene 3700 μg m⁻³, α-pinene 3600 μg m⁻³, and β-pinene 2100 μg m⁻³. The highest average concentrations of terpenes were under 10% of the OELₜₕₒᵤᵣ value for turpentine [23]. TVOC concentrations measured in other parts of the process fulfilled the reference value for good air quality in industry.
The concentrations of bioaerosols and dust were low in the vicinity of enclosed processes. Another study of bridge drying units, in which operators’ dryers and conveyors were closed, found that the monitoring tasks in the dryer room were also associated with low levels of personal exposure to bioaerosols [31]. However, when the cleaning and maintenance of the dryers and conveyors required the equipment to be opened, significantly higher task-based personal exposure levels were obtained. This was also seen in our study during maintenance work in a silo of wood chips: the concentration of endotoxins was 310 EU m⁻³ in the workers’ breathing zones, and the concentrations of fungi and bacteria were >10⁴ cfu m⁻³. In addition, during the preparation of fuel samples in the laboratory – for example, opening a barrel containing fuels – the short term inhalable dust concentration reached the OEL₁₅ₘᵢₙ value for organic dust (10 mg m⁻³), and fungal levels were >10² cfu m⁻³ in workers’ breathing zones.
The levels of endotoxins, bacteria and fungi in outdoor measurements showed that only a small amount of contaminants spread from power plants to the environment. A few hundred metres away from the processing buildings, the environmental concentrations of bioaerosols were lower than in the vicinity of the power plants. The median level of mesophilic fungi was
795 cfu m\(^{-3}\) and the median concentrations of endotoxins were <2.7 EU m\(^{-3}\), which are normal values for micro-organisms outdoors. The results are in accordance with measurements taken by Madsen [3], where the median reference level of *cfu fungi* was 320 cfu m\(^{-3}\), and that of endotoxins 2.2 EU m\(^{-3}\). Especially in rainy weather, all concentrations of the microbial samples and dust samples taken from the outdoor air were low. Differences between seasons were not perceived during the study period, because the winter resembled autumn, and the temperature did not really fall significantly below zero.
4. Conclusions
Using sequential technical surveys and occupational hygiene measurements at different biomass-fired power plant sites proved to be an effective method for the study. We found places and work tasks that possibly caused exposure. The occupationally harmful process steps at biofuel power plants were unloading, screening, crushing, conveying of fuels, and the handling of biomass in silos. Unloading produced a great deal of organic dust, which spread to the station area. The main occupational exposure-associated health risks for workers at biomass-fired power plants were bacteria and fungi, which easily spread to the air from indigenous fuels during heavy biomass processes. The measured exposure levels of bio-aerosols were especially high during the unloading of peat and wood chips. In addition, workers were exposed to mechanical irritation caused by organic dust, and chemical irritation caused by volatile organic compounds and components of diesel exhausts. The measured concentrations exceeded the proposed limit values for these agents. The highest concentration of volatile organic compounds was found near conveyors. The measured profile of these agents contained many metabolites of bacteria and fungi. Multiple exposures to these agents may have synergistic health effects on workers’ lower and upper respiratory tracts.
More attention should be paid to health and safety issues when developing new technologies or changing processes preventing exposure-associated respiratory impairments of workers at the biomass-fuelled power plant sites is to improve the quality of fuels. Better microbial quality also ensures higher calorific value of a solid biofuel. As a preventive technical measure, the fuel reception halls, crushers and screens could be isolated, for example, and hoods could be used in these operations. Enclosure of conveyors could also reduce the spreading of bioaerosols and other agents into the surroundings. Control rooms for the supervision of unloading fuel trucks, automated fuel sampling, and automatic cleaning systems for fuel trucks are favourable solutions for reducing truck drivers’ exposure. Employee exposure should primarily be diminished by technical solutions and secondarily by the regular use of appropriate protective clothing and respirators.
Acknowledgments
The study was performed in the Sustainable Bioenergy Solutions for Tomorrow (BEST) research program coordinated by CLIC Innovation Ltd. The authors thank the Finnish Funding Agency for Innovation for financial support. Other co-financiers such as ANDRITZ, Fortum Oyj, Helen Oy, Stora Enso Oyj, UPM-Kymmene Oyj, and Valmet Technologies Oy are also acknowledged. Special thanks are due to Ismo Tihinen for experimental measurements, to Alice Lehtinen providing language check, Fabriziomaria Gobba for proof reading the article, and to the personnel of power plants for their help during the measurements.
References
[1] R. Jegis, Health risks associated with the storage of wood fuels, in: Proc. IEA Bioenergy Task XII, Feedstock Preparation and Quality Workshop, 1996, pp. 9–15.
[2] A.M. Madsen, L. Mårtensson, T. Schneider, L. Larsson, Microbial dustiness and airborne release of different biofuels, Ann. Occup. Hyg. 48 (4) (2004) 327–338.
[3] A.M. Madsen, Exposure to airborne microbial components in autumn and spring during work at Danish biofuel plants, Ann. Occup. Hyg. 50 (8) (2006) 801–810.
[4] A. Sebastian, A.M. Madsen, L. Mårtensson, D. Pomorska, L. Larsson, Assessment of microbial exposure risks from handling of biofuel wood chips and straw – effect of outdoor storage, Ann. Agric. Environ. Med. 13 (2006) 135–145.
[5] A. Madsen, A.T. Salo, P. Poutanen, A.H. Kiviranta, H. Vehviläinen, U. Vepsälä, Inflammation but no DNA (deoxyribonucleic acid) damage in mice exposed to airborne dust from a biofuel plant, Scand. J. Work Environ. Health 34 (4) (2008) 378–384.
[6] C.A. Cohen, C.L. Lemieux, A.S. Long, J. Kystof, U. Vogel, P.A. White, A.M. Madsen, Physical-chemical and microbiological characterization, and mutagenic activity of airborne dust sampled from biomass-fueled electrical production facilities, Int. Mol. Mutagen. 52 (2011) 318–326.
[7] K. Rupar, M. Sanati, The release of terpenes during storage of biomass, Biomass Bioenergy 28 (2005) 29–34.
[8] K.M. Grainger, Emission of hexenal and terpenes during storage of solid biomass, Fuel Process. Technol. 27 (1992) 1–10.
[9] S. Ajanloo-Laurikko, L. Fagernäs, Occupational hazards in the handling of new biofuels, in: Book of Proc. Bioenergy 2007, 3rd International Bioenergy Conference, Jyväskylä, Finland, 2007, pp. 415–420.
[10] A. Lawrance-Walczak, M. Godot-Franczak, M. Cyprysowski, R.L. Gorny, Exposure to harmful microbiological agents during the handling of biomass for power production purposes, Med. P. R. S. 8 (4) (2012) 395–407.
[11] K.C. Rolfe, S.L. Campbell, C.M. McLaughlin, J. Petersen, S. Heatherthorpe, W. Quick, A. Lewis, Potential occupational exposures and health risks associated with biomass-based power generation, Int. J. Environ. Res. Public Health 12 (2015) 8542–8565.
[12] E.H. Alves, J. Mota-Sampaio, A.D. Roching, Exposure to bioaerosols in wood dust-bacteria, fungi, endotoxins, and [(1,3)-β-D-glucans], Appl. Occup. Environ. Hyg. 14 (1999) 598–608.
[13] D. Dulski, Bacterial bacteria and fungi in organic dust as potential health hazard, Ann. Agric. Environ. Med. 4 (1997) 11–16.
[14] A.H. van Assendelft, M. Raitio, V. Turkia, Fuel chip-induced hypersensitivity pneumonitis caused by *Penicillium* species, Chest 87 (1985) 394–396.
[15] A. Reif, Asthma, Organic dust toxic syndrome among farmers, Br. J. Ind. Med. 46 (1989) 233–238.
[16] D.M.G. Halpin, B.J. Graneeck, M. Turner-Warwick, AJ Newman Taylor, Extrinsic allergic alveolitis in farmers: a review of the literature report and review of the literature, Occup. Environ. Med. 51 (1994) 160–165.
[17] Y. Cormier, E. Israel-Assayag, G. Bedard, C. Duchaine, Hypersensitivity pneumonitis in pig farm processing plant workers, Am. J. Respir. Crit. Care Med. 158 (2003) 412–417.
[18] V. Schliissnen, A. Madsen, S. Skov, T. Sigsgaard, Does the use of biofuels affect respiratory health among male Danish energy plant workers? Occup. Environ. Med. 68 (2011) 467–473.
[19] H. Haahtela, T. Barrena, R. Van der Zee, Occupational exposure and indoor air quality monitoring in a composting facility, Am. Ind. Hyg. Assoc. J. 56 (1995) 39–41.
[20] M. Lund, Fungal spores: a critical review of the toxicological and epidemiological evidence as a basis for occupational exposure limit setting, Crit. Toxicol. 39 (2009) 799–864.
[21] A.M. Madsen, V. Schliissnen, T. Olsen, T. Sigsgaard, H. Aveli, Airborne fungal and bacterial components in PM1 dust from biofuel plants, Ann. Occup. Hyg. 53 (2009) 740–757.
[22] The Nordic Expert Group for Criteria Documentation of Health Risks from Chemical and Biological Agents, Dutch Expert Committee on Occupational Health 144, Endotoxin, 154 (2007), ISBN 978-9-85977-31-2. Available at: http://hdl.handle.net/2077/6596.
[23] STM, HPT-arvot, Haitätieteen perusteet, Julkaisuja 2014/2, Sosiaali- ja terveydenhuollon toiminta, Suomen Työterveys Oy, Helsinki, 2014, 97 s. (In Finnish), http://urn.fi/URN:ISBN:978-0-00-3749-5.
[24] EN 481, Workplace Atmospheres - Size Fraction Definitions for Measurement of Airborne Particles, 1993. Central Secretariat: rue de Stassart 36 B-1050 Brussels.
[25] SFS-EN ISO 16017–1, Indoor, Ambient and Workplace Air - Sampling and Analysis of Volatile Organics Generated by Solid and Liquid Tubercle (Desorption) Cartridge Sampling - Part 1: Sample Preparation, 2009.
[26] Guide to Air Sampling Canisters and Bags, http://www.census.gov/media/161448/guide-to-air-sampling-analysis-2014-06-27_revised-logos.pdf.
[27] A. Meriaux, P. Pagau, Y. Cormier, N. Goyer, C. Duchaine, Bioaerosols in peat moss processing plants, J. Occup. Environ. Hyg. 3 (2006) 408–417.
[28] A. Sebastian, A.M. Madsen, L. Martensson, D. Pomorska, L. Larsson, Assessment of microbial exposure risks from handling of biofuel wood chips and...
straw—effect of outdoor storage, Ann. Agric. Environ. Med. 13 (2006) 139–145.
[29] K. Edman, H. Löfstedt, P. Berg, K. Eriksson, S. Axelsson, I. Bryngelsson, C. Fedeli, Exposure assessment to α— and β—pinene, Δ^3—carene and wood dust in industrial production of wood pellets, Ann. Occup. Hyg. 47 (2003) 219–226.
[30] P. Patakova, M. Linhova, M. Rychtera, L. Paulova, K. Melzoch, Novel and neglected issues of acetone-butanol-ethanol (ABE) fermentation by clostridia: Clostridium metabolic diversity, tools for process mapping and continuous fermentation systems, Biotechnol. Adv. 31 (1) (2013) 58–67.
[31] O. Schlosser, A. Huyard, V. Catalán, Exposure to dust, endotoxin and airborne microorganisms in wastewater sludge thermal drying units, Water Sci. Technol. 64 (2011) 1073–1080.
|
CDM Experiences in Indonesia
20 January 2009
Le Meridien Hotel, Jakarta
Renewable Energy & Sustainable Development in Indonesia. Past experiences – Future challenges
TODAY’S PLAN OF PRESENTATION
1. Kyoto Protocol and the CDM Mechanism
2. Issues we have encountered
3. A cross section of our projects
4. About Sindicatum Carbon Capital
KYOTO PROTOCOL AND THE CLEAN DEVELOPMENT MECHANISM (CDM)
KYOTO PROTOCOL
Concept
- Green House Gas (GHG) have a global effect:
- it makes no difference to the atmosphere where the gases are released
- it also makes no difference where they are reduced
Scope
- Developed countries (so called “Annex 1”) to cap and reduce their GHG emissions.
- Developing countries (“non-Annex 1”) do not have an obligation to reduce their GHG emissions.
- Expires on 31 December 2012
Mechanisms
- Defines the flexibility mechanisms, which are based around trade in GHG:
- CDM Clean Development Mechanism
- JI Joint implementation
- IET International Emissions Trading
CLEAN DEVELOPMENT MECHANISM (CDM)
Dual Objectives:
- Assist developed countries (“Annex 1”) to meet their emission targets
- Assist developing countries (“non-Annex 1”) to achieve sustainable development
Additionality … a key concept!
- Project must provide emission reductions “that are additional to any emissions that would occur in the absence of the certified project activity”
- Additionality is established on the basis of:
- Financial Analysis: additional cost, lower IRR, etc…
- Barrier Analysis: barriers preventing the “clean” project to take place:
- Difficulties to achieve financial closure (no long term commercial loans)
- Technology risk: first of kind in the country (super-critical coal technology)
- Social / market acceptability (scavengers resettlement for landfill gas to power)
- Etc.
Methodologies
- Determination of Baseline Emissions
- Monitoring Project Emissions
- Calculation of Emission Reductions
PRINCIPLES BEHIND CDM PROJECTS
Note:
1 CER = 1 tonne of CO2e
Set out in the Methodology
CO2 Emissions (in tCO2e)
- Start of the Project Activity: e.g. commissioning of a new LPG Plant to utilise flare gas
- Baseline Emissions: emissions that would have occurred without the project activity
- Project Emissions: the new level of emissions with the project activity
- Emission Reductions: measured in tons of CO2e
CER Crediting Period: 3 x 7 years or 10 years
Time (years)
Development - Finance - Technology
PRINCIPLES BEHIND CDM PROJECTS
1. A European company has exceeded its legislated emissions cap.
2. A Plant in Asia reduces its emissions levels via a CDM project.
3. The European company can choose to offset its over-pollution by purchasing Carbon Credits from the open market.
4. The Asian company receives Carbon Credits for reducing its emissions levels, which can be sold on the open market.
European Plant
Asian Plant (baseline scenario)
After CDM project is implemented
Emissions cap
Emissions reduction
Carbon Credits
$ $
$ $
Development - Finance - Technology
BENEFITS TO PLANT OWNER
The benefits to the Plant Owner from developing its CDM potential include:
1. Offsetting the cost of new Assets
- Upgrade of existing equipment at little or no cost
2. Reduction in O&M Costs:
- Reduction in Operation Costs through efficiency improvement of new equipment (especially a reduction fuel);
- Reduction in Maintenance Costs through the introduction of new equipment, which requires less on-going maintenance and repair;
3. Increase in Revenues:
- Registering the projects as CDM activities will provide new streams of foreign revenue from the resulting Carbon Credits;
- Additional generation capacity will provide revenue from electricity sales.
IMPLEMENTING THE CDM
THE UPTAKE OF CDM IN INDONESIA HAS BEEN SLOW BUT IS PICKING UP PACE...
Indonesia has 22 projects registered so far, compared to 371 for China and 386 for India.
Breakdown of CDM projects in Indonesia – at validation and submitted for registration
- Biomass: 24.44%
- Composting: 20.35%
- Hydro: 5.75%
- Landfill: 12.83%
- Geothermal: 10.11%
- Gas Flare: 7.32%
- Energy Efficiency: 0.49%
- Fuel Switch: 1.30%
- Co-gen: 1.01%
- N2O: 1.18%
- Solar Cooker: 0.05%
- Other Power Generation: 0.00%
- Cement: 15.18%
Total 2,493 kCERs / Annum Registered
Total 1,010 kCERs * / year Already produced
SCC share of the market
Challenges to carbon and carbon finance
- **Post 2012 uncertainty**
- We are all betting on a market post 2012 but what will it look like? High quality CERs / VERs? Host countries? HFC23 and N2O? Who are the buyers?
- **Closing window to get money back**
- This emphasizes the impact of delays in project implementation, registration and issuance
- Flying start vs consideration of CDM
- **EB Process:**
- Retrospective application of rules by EB
- Meth complications
- Increasingly stringent monitoring rules – resulting in delays / non-issuance of some CERs from existing operational projects
- **Additionality**
- Most project rejections are down to proof of additionality and consideration of the CDM
- Becoming more of an art than a science
---
**CROSS-SECTION OF SCC PROJECTS**
**TAMBUN LPG Plant**
**PROJECT** Construction of an LPG Plant to process flared gas.
**OWNER** PT Odira Energy Persada
| CDM | SCC’s scope: Finance, CDM Accreditation & Commercialisation
Emission Reductions: 400,000 tCO₂ per year |
|-----|---------------------------------------------|
| **Timeline** | Contract Signed Feb 07
Project Registered Feb 08
First Credits Sold June 08 |
| **STATUS** | Registration completed
900,000 VERs sold; CERs forward sales at >EUR16.00/CER
130,000 CERs issued & Sold, 170,000 further in Verification |
---
**BANGKOK Landfill**
**PROJECT** 5,000 Tonne / day waste
Construction of gas recovery and 30MW Power Generation.
**OWNER** GR Tech Limited
| CDM | SCC’s scope: Finance, OBC System © design
CDM Accreditation & Commercialisation
Emission Reductions: 1,200,000 tCO₂ per year |
|-----|-------------------------------------------------|
| **Timeline** | Contract Signed Aug 08
Project Registered Feb 09 |
| **STATUS** | Largest Landfill in SE Asia
Construction commenced |
KABIL 2
Gas Engine Power Plant
PROJECT 11.4 MW Gas Engines, Batam
OWNER PT Indo Matra Power – a fast growing IPP
| CDM | SCC’s scope: Accreditation & Commercialisation |
|-----|-----------------------------------------------|
| | Emission Reductions: 40,000 tCO₂ per year |
| STATUS | PDD Completed April – May 2008 |
|--------|-------------------------------|
| | Validation |
| | Registration |
| | 1st CERs |
| | June 2008 |
| | October 2008 |
SCC – Project Pipeline
| Title | Host Country | Status | Type | Methodology |
|--------------------------------------------|--------------|--------------|---------------|-------------|
| Tambun LPG Associated Gas Recovery and Utilization Project | Indonesia | Registered | Fugitive | AM9 |
| Mianyang Landfill Gas Utilisation Project | China | Registered | Landfill Gas | ACM1 |
| Multi Nitro Indonesia Nitrous Oxide Abatement Project | Indonesia | At Validation| N2O | AM34 |
| Malea Run-of-River Hydropower Plant Project | Indonesia | Awaiting Validation | Hydro | Revision AM19 |
| Tomboli Run-of-River Hydropower Plant Project | Indonesia | Awaiting Validation | Hydro | Revision ACM0002 |
| Hua'an Wang Yuan Landfill Gas Utilisation Project | China | At Validation| Landfill Gas | ACM1 |
| Xuzhou Landfill Gas Utilization Project | China | At Validation| Landfill Gas | ACM1 |
| Suzhou Landfill Gas Utilisation Project | China | At Validation| Biogas | ACM1 |
| Dahua Hydropower Project | China | At Validation| Hydro | ACM2 |
| Geji Bridge Hydropower Project | China | At Validation| Hydro | ACM2 |
| Nahuuhe Hydropower Project | China | At Validation| Hydro | ACM2 |
| Malinghe Hydropower Project | China | At Validation| Hydro | ACM2 |
| Yongkang Small Scale Hydropower Project | China | At Validation| Hydro | AMS-I.D. |
| Duerping Coal Mine Methane Utilization Project | China | At Validation| Coal mine methane | ACM8 |
SINDICATUM CARBON CAPITAL
SCC is a specialist end-to-end developer of climate change projects.
**SCC takes the risk out of developing CDM projects:**
- We manage all aspects of the CDM registration project (UN and host country)
- We implement best-in-class abatement and monitoring technology
- We meet up to 100% of project costs (if required)
- We sell Carbon Credits generated to get *best international market price*
- We share an agreed proportion of Carbon Credit proceeds with the Asset’s owner
**Our interests are aligned with plant owner’s**
- We are not only doing consultancies or intermediation – we invest our own development funds into every project
- We do not earn any fees – we only earn a return when credits are issued & sold
- SCC is already producing Carbon Credits from projects in SE Asia and will sell 1,000,000 Carbon Credits from the region this year
SCC - Capabilities
SCC has the full range of capabilities to originate, accredit and commercialize CDM projects.
**Origination**
- offices in 15 countries – major operations in London, Beijing, Shanghai & Jakarta
- teams develop, plan & execute projects in partnership with Project owners
- teams are predominantly local engineers – with backgrounds in industries they cover
**Accreditation & Compliance**
- SCC’s Climate Change team; in-house Carbon Credit regulatory experts
- Key to translating a physical project into a Carbon Credit activity
**Commercialisation**
- London-based team with carbon market expertise
- Proprietary price analysis software that enables SCC to regularly outperform the market
Key Sectors
- Power Generation
- Oil & Gas
- Industrial Emissions
- Landfills
- Coal Methane
- Biomass
- Plantations
SCC – Resources
SCC brings together strengths in Development, Finance and Technology.
**Development**
- Team of over 100 engineers, technicians & CDM regulatory specialists
- Teams are located on the ground – where the projects and their owners are
**Finance**
- Strong institutional support
- Keystone investments from major financial institutions
- +/- $300M Fund to invest in select projects
- Exclusive partnership with investment institutions in Middle East and Asia.
- Ready access to capital through Fund and financial markets
**Technology**
- Sindicatum Carbon Technology (a SCC subsidiary) procures & deploys cutting edge technology for carbon credit projects (eg. vent-air methane)
THANK YOU
Brandon Courban
Vice President
E email@example.com
Mobile: +62 81510601700
Landline: +62 21 251 5217
SINDICATUM CARBON CAPITAL LTD
Wisma 46 Kota BNI 12 Floor Suite 2407
Jl. Jend. Sudirman Kav. 1 Jakarta 10220
Indonesia
www.carbon-capital.com
Development - Finance - Technology
|
Spectral and statistical analysis of plasma turbulence: beyond linear techniques
Thierry Dudok de Wit
LCPE, UMR 6115 CNRS-Université d’Orléans, 3A, av. de la Recherche Scientifique, F-45071 Orléans cedex 2, France
published in: J. Büchner, C. T. Dum and M. Scholer (eds.), Space Plasma Simulation, Springer, Berlin (2003)
Abstract. The analysis of plasma turbulence has traditionally been based on limited set of techniques: spectral analysis, correlation analysis, etc. This text gives a short overview of what can be done with more "advanced" techniques, i.e. techniques that exploit nonlinear properties of the data.
1 Linear vs nonlinear world
Although linear descriptions traditionally constitutes a rule of conduct in the analysis of space plasma data, there is clear evidence that nonlinear descriptions may often provide considerable added value. The problem of characterizing nonlinear processes from experimental or simulation data has in the last decade received considerable attention. This field of study is often referred to as "nonlinear time series analysis" because the sequences of observations are generally time series.
Linear descriptions can all be cast within the single convenient framework of Fourier analysis, which includes quantities such as power spectra and autocorrelation functions. There is no such single framework, however, for making nonlinear descriptions. A key problem in nonlinear world therefore is the choice of the right technique, or equivalently, the right invariant. Physical guidance is a must here. For simulation data, the underlying model can sometimes provide such guidance, but we shall not make this assumption here.
The number of time series analysis techniques is huge and increases by the day, see for example [1,35,57]. Only a small subset of these techniques, however, is actually relevant for space plasma applications. By relevant we mean that:
• a clear physical interpretation can be given to the output of the technique;
• the assumptions underlying the technique are compatible with the properties of the data.
Some applications to space plasmas can be found in [24, 27, 22, 69, 70]. Most applications deal with experimental data, although they can be readily exported to simulation data. Significant advantages of the latter are generally a smaller noise level, a more flexible size of the dataset and the possibility to access quantities that cannot be properly measured experimentally. If simulation data have received comparatively less attention so far, it is not by lack of relevance, but often because we simply don’t know yet how to properly handle large ensembles of multivariate data!
There exist essentially three major families of techniques, all of which have a long history in the literature on statistics or dynamical processes. They are respectively: *higher order spectra* (section 2), *higher order statistics* (section 3), and *phase-space methods*. The latter are relevant for the characterization of low-dimensional deterministic (chaotic) systems. They will not be considered, however, because this would really require another full article. Our selection is therefore somewhat arbitrary, even more so since there are many connections between all the techniques.
The domain of application of each family can be characterized by comparing the degrees of stochasticity and nonlinearity of the process of interest, see Fig. 1.
![Fig. 1. Sketch of the variety of systems spanned by the properties “nonlinearity” and “stochasticity”. Areas where knowledge for the analysis of time series is best available are mostly located near the borders, leaving a “no man’s land” in between. Besides the two main families that are described in this text, there exist many other techniques based for example on linear oscillations (a), nonlinear Fourier transforms for solitary waves (b), hidden Markov models (c), and stochastic linear models (d). Sketch made after a figure from [57].](image)
Note that the applicability of each technique is generally restricted to a neighbourhood around some hypothesis. The hypotheses we have chosen are the degree of nonlinearity (*how nonlinear is the process?*) and the degree of stochasticity.
One could add to this the extension (is the process temporal or spatio-temporal?), the number of degrees of freedom, etc.
**Higher order spectra** can be seen as a generalization of Fourier analysis to include information about phase coherence. This approach is particularly relevant for wave phenomena with a weak departure from nonlinearity. Typical applications are: nonlinear wave interactions, wave-particle interactions, weak turbulence, etc.
**Higher order statistics** although closely related to higher order spectra, are more generally applied to stochastic processes, regardless of the degree of nonlinearity. Higher order statistics are needed when the probability density departs from a Gaussian distribution. Typical applications are fully developed turbulence, fluctuations in spatio-temporal systems etc.
**Phase space techniques** is the name given to techniques that are generally applied to chaotic systems, i.e. to systems whose evolution in time can be modelled by a low-dimensional deterministic model. Such systems are not generic in space plasmas but the concepts that have been developed in this framework are powerful and deserve attention. Good candidates for this are particle and wavefield simulations, but successful applications to experimental data have also been reported.
## 2 Higher-order spectra and spectral energy transfers
One of the most obvious approaches for making the transition from a linear to a nonlinear description, consists in starting from a linear description of the system of interest, and subsequently introducing a weak nonlinearity. How far this perturbative approach can be extended to strongly nonlinear systems depends on the type of problem one is addressing.
Since one starts with a linear description, it is appropriate to describe the system in terms of its eigenmodes, namely Fourier modes. The basic assumption that underlies standard Fourier analysis is that any stationary fluctuating physical quantity can be regarded as the superposition of statistically independent Fourier modes. This means that all the relevant information is contained in the amplitude of these modes only, that is, the power spectral density (or alternatively, the autocorrelation function). If, however, there exists some parametrical or nonlinear physical process, then the phases of the Fourier modes are not independent anymore, and information is also conveyed by the phases. Higher order spectra\footnote{higher order spectra are also called polyspectra or multispectra} provide a means for characterizing such phase coherence [45,49,39].
### 2.1 Why higher order spectra?
Let us start with an example that is based on magnetic field data as gathered by the AMPTE UKS spacecraft just upstream the Earth’s quasiparallel bow
shock. The dataset and its nonlinear properties are discussed in more detail in [20]. In this dataset, the turbulent wavefield is characterized by the occasional occurrence of large-amplitude structures that are preceded at their upstream edge by whistler wavetrains, see Fig. 2. This raises two questions: 1) is there a causal relationship between the whistler waves and the large structures? 2) If such a coupling exists, are whistlers just instabilities that are triggered by the large structures or do they actually grow out of them? Higher order spectra will answer the first question, whereas spectral energy transfers will be needed for the second.
Higher order spectra are usually defined in the field of signal processing, using cumulants [11]. The articles by Powers and his coworkers [36, 63] are good introductions, written in the framework of laboratory plasma wave experiments. Let us start with a nonlinear system, whose dynamics is a function of time $t$ and space $x$, and is described by the generic model
$$\frac{\partial u(x,t)}{\partial x} = f(u(x,t)),$$
where $f(.)$ is a continuous nonlinear and time-independent function, and $u(x,t)$ the physical quantity of interest\(^2\). We shall henceforth assume that $u(t)$ is stationary in time and has zero mean. By analogy with Taylor series let us decompose $f$ into a series of linear, quadratic, cubic, and higher order functions
$$f(u) = f_1(u) + f_2(u) + f_3(u) + \cdots$$
\(^2\)the spatial derivative is used here for notational convenience; one could switch time and space.
so that \( f_k(\lambda u) = \lambda^k f(u) \). In a weakly nonlinear system, \( f_1(u) \) should dominate over all the other terms. Wiener has shown that with mild assumptions, eq. 2 can be written as a Volterra series,
\[
\frac{\partial u(x,t)}{\partial x} = \int g(\tau_1) \, u(x,t-\tau_1) \, d\tau_1 \\
+ \iint g(\tau_1,\tau_2) \, u(x,t-\tau_1) \, u(x,t-\tau_2) \, d\tau_1 \, d\tau_2 \\
+ \iiint g(\tau_1,\tau_2,\tau_3) \, u(x,t-\tau_1) \, u(x,t-\tau_2) \, u(x,t-\tau_3) \, d\tau_1 \, d\tau_2 \, d\tau_3 \\
+ \cdots
\]
As we shall see later, each term can be ascribed to a different physical process. Let us now take the discrete Fourier transform in time of this series (with the notation \( u_p = u(x,\omega_p) \)):
\[
\frac{\partial u_p}{\partial x} = \Gamma_p u_p + \sum_{k,l} \Gamma_{kl} u_k u_l \delta_{k+l,p} + \sum_{k,l,m} \Gamma_{klm} u_k u_l u_m \delta_{k+l+m,p} + \cdots
\]
Note how the nonlinearity couples each Fourier mode \( u_k \) to all other Fourier modes. This coupling can only occur in a specific way: for quadratic nonlinearities (the \( \Gamma_{kl} \) kernels), the resonance condition for interacting Fourier modes reads
\[
\omega_k + \omega_l = \omega_p,
\]
whereas for cubic nonlinearities we must have\(^3\)
\[
\omega_k + \omega_l + \omega_m = \omega_p.
\]
A major asset of this description is the existence of analytical expressions and consequently the possibility to interpret the Volterra kernels \( \Gamma \) in terms of physical processes. Much work has been done in the framework of Hamiltonian systems [72] and several applications to weak plasma turbulence have been reported in [34,46]. With some additional assumptions, even the description of strong plasma turbulence can be considered, see [32].
Volterra series may in principle contain an infinite number of terms, but in many applications (and by definition in all weakly nonlinear systems) only low order terms are significant. The quadratic Volterra kernel \( \Gamma_{kl} \) describes three-wave interactions because three different Fourier modes are involved in the resonance condition (eq. 5). Two examples of such interactions are harmonic generation (the fundamental gives rise to its first harmonic) and the decay instability (a Langmuir wave decays into another Langmuir wave and an ion sound wave). In the same way, the cubic kernel \( \Gamma_{klm} \) describes four-wave interactions. The modulational instability is example of a four-wave interaction, in which a Langmuir wave decays into two other Langmuir waves plus a low-frequency ion sound wave.
\(^3\)frequencies can be both positive and negative, so for example \( \omega_k + \omega_l - \omega_p = 0 \) could be rewritten as \( \omega_k + \omega_l = \omega_p \).
2.2 Defining higher order spectra
Volterra kernels $\Gamma$ embody all the information about the nonlinear dynamics of a process, so they should be the main quantities of interest. We shall nevertheless prefer to them two other quantities. The first are \textit{higher order spectra}, which can be obtained at low cost, using single point measurements. The second are \textit{energy transfer functions}, which are more relevant but also more difficult to evaluate.
Let us first multiply eq. 4 by $u_p^*$ and calculate its expectation\footnote{In practice the ensemble averaging can often be replaced by an averaging over time.}. The following series results
$$\langle \frac{\partial u_p}{\partial x} u_p^* \rangle = \Gamma_p \langle |u_p|^2 \rangle + \sum_{k+l=p} \Gamma_{kl} \langle u_k u_l u_{k+l}^* \rangle + \sum_{k+l+m=p} \Gamma_{klm} \langle u_k u_l u_m u_{k+l+m}^* \rangle + \cdots$$
(7)
In a homogeneous plasma the term of the left vanishes, and so we conclude that the amplitude $\langle |u_p|^2 \rangle$ is not an invariant quantity anymore but depends on all the other modes. To characterize such interactions, we must first compute the coefficients of this equation. The first term on the right is nothing but the power spectrum
$$P(\omega_p) = \langle u_p u_p^* \rangle .$$
(8)
The quadratic term gives the \textit{bispectrum}
$$B(\omega_k, \omega_l) = \langle u_k u_l u_{k+l}^* \rangle ,$$
(9)
and the cubic term is what we shall call the \textit{trispectrum}\footnote{the true definition of the trispectrum is not a fourth order moment like here, but a fourth order cumulant $T(\omega_k, \omega_l, \omega_m) = \langle u_k u_l u_m u_{k+l+m}^* \rangle - \langle u_k u_l \rangle \langle u_m u_{k+l+m}^* \rangle - \langle u_k u_m \rangle \langle u_l u_{k+l+m}^* \rangle - \langle u_k u_{k+l+m}^* \rangle \langle u_l u_m \rangle$.}
$$T(\omega_k, \omega_l, \omega_m) = \langle u_k u_l u_m u_{k+l+m}^* \rangle .$$
(10)
Higher order spectra can therefore be seen as generalizations of the Fourier power spectrum. The bispectrum measures the amount of phase coherence between three Fourier modes that obey the frequency summation rule $\omega_k + \omega_l = \omega_p$. It vanishes if the phases of the modes are uncorrelated. Trispectra measure the amount of phase coherence between four modes.
It is often more convenient to use normalized quantities. Such a normalization can be performed in several different ways (see for example [37]). The usual approach consists in using Schwartz’s inequality to define a normalized bispectrum, called \textit{bicoherence}
$$b^2(\omega_k, \omega_l) = \frac{|\langle u_k u_l u_{k+l}^* \rangle|^2}{\langle |u_k u_l|^2 \rangle \langle |u_{k+l}|^2 \rangle} ,$$
(11)
and a normalized trispectrum, called \textit{tricoherence}
$$t^2(\omega_k, \omega_l, \omega_m) = \frac{|\langle u_k u_l u_m u_{k+l+m}^* \rangle|^2}{\langle |u_k u_l u_m|^2 \rangle \langle |u_{k+l+m}|^2 \rangle} .$$
(12)
Both quantities are real and bounded by 0 and 1.
The interpretation of the bicoherence is the following: it measures the proportion of the signal energy at any bifrequency \((\omega_k, \omega_l)\) that is quadratically phase coupled to \(\omega_{k+l}\). A large bicoherence means that the phase difference \(\arg u_k + \arg u_l - \arg u_{k+l}\) reaches a fixed value, even though each phase, when taken separately, may vary in a random way. The tricoherence similarly quantifies cubic phase couplings between triplets \((\omega_k, \omega_l, \omega_m)\). Such phase couplings are a hallmark of nonlinearity, which is the main motivation for using higher order spectra.
Several applications of bicoherence to space plasmas have been reported, such as Langmuir wave coalescence in the solar wind [6], parametric instabilities in the ionosphere [60], the interaction of radio emitters with the ionosphere [40], nonlinear structures in the magnetosphere [20], simulations of beam-plasma interactions [61]. Tricoherent analysis has so far only been reported in weak turbulence simulations [37] and in magnetospheric turbulence [23].
### 2.3 Some properties of higher order spectra
Higher order spectra are intimately connected to higher order statistics. If a time series has a Gaussian probability density, then all higher order spectra are automatically equal to zero. Conversely, a process that has nonlinear wave interactions must necessarily give rise to a non-Gaussian probability density. The choice of the technique essentially depends on the type of coupling: if a few Fourier modes are coupled, then higher order spectra are appropriate since the deviation from Gaussianity may be weak. Conversely, if the coupling involves many different modes (e.g. in fully developed turbulence) then higher order spectra will be small whereas the probability may significantly depart from a Gaussian.
Higher order spectra have been defined so far by considering a single quantity \(u(x, t)\), but they may be extended to study the phase coupling between different variables. To distinguish the two situations one should use the prefix auto- for a single quantity (i.e. the autobicoherence) and cross- for multiple quantities. Beam-plasma interactions is a typical example in which the cross-bicoherence is appropriate. According to the Zakharov equations the formation of cavitons occurs via a coupling between the electron density \(n\) and the electric field \(E\), with \(n \sim E^2\). To characterize this coupling, one must use the cross-bicoherence \(B_{n,E}(\omega_k, \omega_l) = \langle F_k E_l n^*_{k+l} \rangle\) and not the autobicoherence.
One of the problems encountered with higher order spectra is their representation. Because of their multivariate nature, displays in several dimensions are needed. Fortunately, one can take advantage of symmetry properties and strongly reduce the non-redundant frequency domain (called principal domain). The principal domain of the bicoherence is shown in Fig. 3 for a real signal. For the tricoherence it is a prism in 3D [48].
To illustrate these results with real data we now consider two examples:
**Example 1**: We first reconsider the AMPTE magnetic field data. We know that the turbulent magnetic field contains nonlinear structures that steepen
and progressively decay into dispersive whistler wave packets. This decay occurs via nonlinear wave interactions, and thus gives rise to phase couplings that should be detected in the wavefield autobicoherence and autotricohere-
Figure 4 shows the bispectrum and the bicoherence. The former reveals a featureless but significant level of wave coupling, with most of the energy concentrated in low frequency modes. The coupling strength, however, cannot be assessed by lack of normalization. The bicoherence in contrast shows a significant phase coupling between Fourier modes that satisfy the condition $f_1 + f_2 = 0.6 \text{ Hz}$, with $f_1 < f_2 < 0.6 \text{ Hz}$. This phase coupling implies that the large amplitude magnetic structures are somehow coupled to the whistler waves. The coupling is significant ($b^2 \approx 0.7$) but it does not reach higher levels because the nonlinear structures are embedded in a randomly fluctuating wavefield.
**Example 2:** A different aspect is revealed by water level fluctuations that were recorded in a laboratory experiment. The swell results in regular and fairly monochromatic gravity waves on top of which small amplitude capillary waves are produced by wind. The bicoherence analysis of these water waves is shown in Fig. 5.
The salient features of the bicoherence are a marked peak at $1.2 + 1.2 = 2.4 \text{ Hz}$ and a ridge $1.2 + f = 1.2 + f$ with $f > 1.2 \text{ Hz}$. The former is the classical signature of harmonic generation (the fundamental is coupled to the first harmonic). One can also distinguish peaks for higher harmonics. The ridge means that the fundamental mode is phase coupled to all modes having frequencies higher than it, and not just its harmonics. The reason for that is that the high frequency capillary waves are always located on top of the
swell (i.e. they are phase coupled to the fundamental) because this is where they are most efficiently generated by the wind.
These two examples both reveal the existence of significant phase couplings between specific Fourier modes. We must stress, however, that a phase coupling does not necessarily imply the existence of nonlinear wave interactions per se. In the first example, the ridge could be interpreted both as a decay \((0.6 \rightarrow f_1 + f_2)\) or as an inverse decay \((f_1 + f_2 \rightarrow 0.6)\) process. At this stage we cannot tell whether the observed phase coupling is accompanied by an energy transfer between Fourier modes (i.e. the wavefield is dynamically evolving) or whether it is just the remnant of some nonlinear effect that took place in the past or maybe even some nonlinear instrumental effect. This caveat has been highlighted by Pécseli and Trulsen [53]. Multipoint measurements are needed to unambiguously assess nonlinear wave interactions. This will be addressed shortly in section 2.6.
### 2.4 Estimating higher order spectra
Higher order spectra can be estimated either by direct computation of the higher order moments from Fourier transforms, or by fitting the data with a parametric model.
The **Fourier approach** is computationally straightforward: the time series is divided into \(M\) sequences, for each of which the Fourier transform is computed. An unbiased estimate of the bispectrum is then
\[
\hat{B}(\omega_k, \omega_l) = \frac{1}{M} \sum_{i=1}^{M} u_k^{(i)} u_l^{(i)} u_{k+l}^{*(i)},
\]
(13)
The empirical estimate of the bicoherence becomes
\[
\hat{b}^2(\omega_k, \omega_l) = \frac{\left| \hat{B}(\omega_k, \omega_l) \right|^2}{\sum_{i=1}^{M} \left| u_k^{(i)} u_l^{(i)} \right|^2 \sum_{i=1}^{M} \left| u_{k+l}^{(i)} \right|^2}.
\]
(14)
Careful validation of higher order quantities is essential as these quantities are prone to errors. Hinich and Clay [30] have shown that the variance of the bicoherence is approximately
\[
\text{Var}[\hat{b}^2] \approx \frac{4\hat{b}^2}{M} \left( 1 - \hat{b}^2 \right),
\]
(15)
and that this quantity has a bias
\[
\text{bias}[\hat{b}^2] \approx \frac{4\sqrt{3}}{M}.
\]
(16)
It is therefore essential to have long time series (i.e. many intervals \(M\)) in order to properly assess low bicoherence levels. This constraint becomes even more stringent for tricoherence estimates.
The need for long time series can be partly alleviated by using alternative spectral representations. Morlet wavelets, because of their better time-frequency resolution, can improve the estimates [68,20]. Nevertheless, great care should be taken in estimating higher order spectra from short or non stationary time series. It is essential that higher order spectra are averaged over many periods of the largest period of interest.
The **parametric approach** consists in fitting the time series with a parametric model, like an autoregressive (AR) model [41]. If this model correctly fits the data, the one can retrieve from it not only the spectrum but also higher order spectra. For a detailed description, see [50] and [45].
Which method is the best? The problem of selecting the best approach is identical to that encountered in the estimation of power spectra [54]. Parametric methods are appropriate for short time series, or for time series whose spectrum and higher order spectra are either featureless (i.e. they are smooth functions of the frequency), or contain a few narrow spectral lines. Fourier methods are easier to apply and do not require any decision on the type of model that should be fitted.
### 2.5 Higher order spectra: more properties
Before considering spectral energy transfers and Volterra kernels, two remarks are in order. First, the bicoherence is a useful quantity for detecting asymmetries in a time series. Time-reversal asymmetries \((u(t) \leftrightarrow u(-t))\) generate imaginary bispectra only, so to detect them one should use a variant of the bicoherence
\[
b_i^2(\omega_k, \omega_l) = \frac{|\Im B(\omega_k, \omega_l)|^2}{\langle |u_k u_l|^2 \rangle \langle |u_{k+l}|^2 \rangle} .
\]
Up-down asymmetries \((u(t) \leftrightarrow -u(t))\) show up in the imaginary bispectrum only, so the quantity to be used is
\[
b_r^2(\omega_k, \omega_l) = \frac{|\Re B(\omega_k, \omega_l)|^2}{\langle |u_k u_l|^2 \rangle \langle |u_{k+l}|^2 \rangle} .
\]
The distinction between symmetries is useful for separating concurrent nonlinear processes: time-reversal asymmetries arise during nonlinear wave steepening, whereas up-down asymmetries may occur in wavefields with cavitons. These properties are illustrated in Fig. 6, which shows the "real" and "imaginary" bicoherences for the example on gravity waves. Water waves are known to have strong up-down asymmetries, and this indeed shows up in large values of the "real" bicoherence \(b_r^2\). More surprising is the weak value of \(b_i^2\), which indicates that the waves are still far from overturning, despite the wind strength.
A second remark concerns the generalization of higher order spectra from temporal couplings to spatio-temporal couplings. Space plasmas are truly spatio-temporal systems, so a nonlinear wave coupling should not only involve resonant frequencies, but also resonant wavenumbers. Three-wave interactions for example
can only occur between waves that satisfy four conditions
\[
\begin{cases}
\omega_k + \omega_l = \omega_p \\
k_k + k_l = k_p
\end{cases}.
\]
(19)
The first condition can be interpreted as a conservation of energy while the second is a conservation in momentum. This resonance is illustrated in Fig. 7 for one-dimensional case. For four-wave interactions one should have
**Fig. 6.** Autobicoherence of the water level fluctuations (as in Fig. 5), using the real bispectrum (left) and the imaginary one (right).
\[
\begin{cases}
\omega_k + \omega_l + \omega_m = \omega_p \\
k_3 + k_1 + k_m = k_p
\end{cases}.
\] (20)
Most of the time, one has access to one variable only, so that hypotheses must be made on the other. In the case of strong convection, or if the Taylor hypothesis holds, then $\omega \propto |k|$ and so it is sufficient to consider frequencies only. If, however, the wavefield is dispersive then one cannot recover all the information from a single time series only. That is, a resonance between specific frequencies does not necessarily imply that the associated wavenumbers are also resonant.
### 2.6 Spectral energy transfers
One of the main shortcomings of higher order spectra is their inability to tell the origin of the phase coupling. Is it the consequence of an instrumental nonlinearity, is it the remnant of a nonlinearity that took place some time during the wavefield evolution, or does it result from an ongoing dynamical process? To answer this question, we must go back to the Volterra kernels (eq. 3) and define a new quantity, which is called *spectral energy transfer* [64]\(^a\).
For a large ensemble of waves with different frequencies, the random phase approximation implies that
\[
\langle u^*_p u_q \rangle = P_p \delta_{pq},
\] (21)
where $\delta_{pq}$ is the Dirac delta function and $P_p = P(\omega_p)$ is the power spectrum. Combining this with eq. 4 gives
\[
\frac{\partial P_p}{\partial x} = \gamma_p P_p + \sum_{m+n=p} T_{m,n} + \sum_{m+n+k=p} T_{m,n,k} + \cdots
\] (22)
This equation expresses the spatial variation in the spectral energy density at a given frequency (or wavenumber) as a sum of linear and nonlinear terms. The first term ($\gamma_p E_p$) describes linear processes, the second ($T_{m,n}$) quadratic processes, etc. The latter tells us how much energy is being transferred to ($T > 0$) or away ($T < 0$) from the $p$'th Fourier mode through nonlinear interactions with other modes [34].
Spectral energy transfers are probably the most relevant quantities for describing nonlinear wave interactions, but the difficulty in estimating them from experimental data has severely restricted their use so far. In contrast to higher order spectra, they require multipoint measurements and need a large and often ill-conditioned system of linear equations to be solved. Significant results have nevertheless been reported with quadratically nonlinear models in laboratory plasma turbulence [64] and for magnetospheric turbulence [23].
The numerical problems encountered in estimating spectral energy transfers can be significantly alleviated by estimating the Volterra kernels in the time domain, using parametric models, and subsequently computing the energy transfers
\(^a\) An older article [62] provides a better introduction to the subject, but the computational scheme is outdated.
in Fourier space. The reason for that is that time-domain models are often much more efficient in capturing nonlinear features in a small number of terms.
The exists many types of nonlinear parametric models. Polynomial models offer flexibility at a reasonable computational expense. A popular class of flexible models is called Nonlinear AutoRegressive Moving Average with eXogeneous input (NARMAX) [52]. Consider two measurements that are made simultaneously and at closely spaced locations, in such a way that the time evolution of $y(t)$ is a consequence of $u(t)$. These are typically the measurements made by two spacecraft, one of which is upstream of the other: $u(t)$ is then the input signal, and $y(t)$ the output which embodies the nonlinear response of the plasma. By modelling the transfer function that relates the two signals, one can recover all the relevant nonlinear properties of the plasma, as shown by Ritz and Powers [62].
**Fig. 8.** The plasma behaves like a black box, which reacts to the input $u(t)$ by giving a response $y(t)$. The nonlinear properties of the plasma are recovered by modelling this response.
In practice, both $u(t)$ and $y(t)$ are continuously sampled, so a discrete transfer function model is needed. With NARMAX models the output $y_i = y(t_i)$ at a given time is expressed as a polynomial
$$y_i = \mathcal{P}[y_{i-1}, \ldots, y_{i-n}, u_i, u_{i-1}, \ldots, u_{i-n}, \varepsilon_{i-1}, \ldots, \varepsilon_{i-n}] + \varepsilon_i,$$
(23)
where $u_i$ is the input, $\varepsilon_i$ the residual error between $y_i$ and the model response, and $\mathcal{P}$ a polynomial. The output of the model thus depends on combinations involving past outputs, past and present inputs and past residual errors. A successful application of NARMAX modelling to magnetospheric turbulence (based on the AMPTE dataset of this book) was reported in [17]. The capacity of such models to fit nonlinear systems with a few (often less than a dozen) polynomial terms is clear asset. Unfortunately some of the mathematical tools associated with it are not in the public domain.
### 3 Higher order statistics
Higher order statistics and higher order spectra are intimately related, but they are generally used in different contexts. When a system is driven away from the linear-deterministic corner in Fig. 1, then time-domain representations are often more appropriate than spectral representations.
Most of the literature on probability theory and statistics deals with random variables whose probability density\footnote{From a mathematical point of view, the terms \textit{probability density} and \textit{probability distribution} bear different meanings. Here, as in the physics literature, they are used interchangeably.} function (pdf) is a Gaussian. However, Gaussian distributions is not all there is to statistics. Very often it is precisely the deviation from Gaussianity that contains pertinent information about the underlying physics. The tails of the distribution, which represent large but rare events, are of particular interest and have received much attention. Many statistical tools have been developed for this purpose. Most of them appeared in the context of turbulence [26], but new paradigms such as complexity [5], self-organization [33] and anomalous transport [10] stimulate today the development of novel tools.
### 3.1 Scale invariance
Symmetry is one of the key concepts behind higher order statistical analysis. Indeed, many physical systems are known to exhibit symmetries. In turbulent wavefields, for example, quantities like the velocity field often remain unchanged under the following transformation
$$v(x, t) \longrightarrow \lambda v(\lambda^a x, \lambda^b t)$$ \hspace{1cm} (24)
Because of these symmetries, the system is said to be \textit{scale invariant}. Roughly speaking, scale invariance means that within a wide range of (spatial or temporal) scales, it is not possible to identify a predominant scale. The property of interest is the interplay between scales, rather than the role played by characteristic scales. This property is typical of thermodynamical systems that are at a critical point. It can be quantified in many different ways.
**Spectral signatures** Scale invariance can easily be expressed in the Fourier domain. Equation 24 implies that the Fourier spectra in frequency (and in wavenumber) of a scale invariant quantity behave like power laws with no characteristic cutoff frequency (or cutoff wavenumber)
$$P(\omega) \propto \omega^{-\beta}.$$ \hspace{1cm} (25)
It should be stressed that this property is a necessary but not a sufficient condition. The same power law scaling should hold for all higher order spectra and structure function analysis (see below) will provide a means for getting more information.
Power laws are never observed exactly in practice. Mesoscales always provide a low-frequency cutoff (otherwise the variance of the process would diverge) whereas the high frequency cutoff is generally caused by damping or viscosity. In between, the spectrum is often corrupted by spectral lines associated with plasma waves. In spite of this, power laws extending over several decades have
been observed in the solar wind [28]. Inside the magnetosphere, this range is generally shorter. For a power law to be meaningfully assessed in experimental data, it should be observed over at least one decade.
Equation 25 suggests that the scaling exponent or spectral index $\beta$ can be directly estimated from the Fourier power spectrum. It has been shown since [3] that wavelets are better for that purpose because they are inherently self-similar. The distinction between the two approaches becomes particularly important when one has to deal with short and noise-corrupted data. Figure 9 shows an example based on a synthetic data set. A time series with $N = 512$ samples was generated with a spectral index $\beta = 2$. The figure compares the spectrum obtained by standard FFT and by using a discrete wavelet transform with Daubechies wavelets. Clearly, the latter succeeds much better in capturing the power law scaling.
**Fig. 9.** Power spectral density of a synthetic time series with $N = 512$ samples and a spectral index $\beta = 2$; a) stands for standard periodogram estimate with a single Welch window, b) was obtained with 3rd order Daubechies wavelets (the scales $a$ are converted into frequencies by $\omega = 1/a$), c) gives the exact result. The power spectra have been shifted vertically for easier comparison.
**Scale-invariance and structure functions** Since the spectrum is not sufficient for assessing scale invariance, it is necessary to look at higher order moments. In addition to this, one should also consider spatial gradients and higher order derivatives in order to distinguish temporal variations from spatial structures. For a stationary Gaussian process, these derivatives all must have a Gaussian pdf.
In practice, it is quite difficult to properly separate spatial structures from temporal variations, even with multipoint measurements. Therefore, instead of
computing gradients, it is customary to compute spatial increments
\[
\delta y = y(x + 1, t) - y(x, t).
\]
Furthermore, assumptions are often made to convert spatial structures into temporal dynamics. In the solar wind, for example, the turbulence is nearly frozen in the wavefield (this is better known as the Taylor hypothesis, see [26]) so that one can reasonably set \( \tau = l/v \) and hence for a scalar quantity
\[
\delta y = y(t + \tau) - y(t).
\]
**Fig. 10.** Excerpt of Ulysses magnetic field data (left column) and the associated pdfs (right column). Each row corresponds to a different value of \( \tau \), the first row showing the original data. The number of samples is 20000 and the \( B_x \) component was used.
different values of \( \tau \). All the pdfs have been rescaled to have unit standard deviation and zero mean; a Gaussian distribution with equal mean and standard deviation is shown for comparison. The sampling period is 1 min. and error bars correspond to \( \pm 1 \) standard deviation.
Figure 10 shows an excerpt of magnetic field data gathered by Ulysses in 1994 within the solar wind from the south solar pole. The wavefield mainly consists of Alfvén waves that rotate on a sphere of constant radius, hence the peculiar pdf, which is much more akin to a uniform than to a Gaussian distribution. The pdfs of the differenced data on the contrary exhibit strongly enhanced tails. For small $\tau$, the time series shows large bursts and the pdf is highly non-Gaussian. The larger $\tau$ is, the closer the pdfs are to the original one, because distant fluctuations are essentially independent. The study of this departure from Gaussianity is a central research issue in many fields because it is indicative of the microscopic turbulent processes.
The simplest way of quantifying the various shapes of the pdfs consists in computing their higher order moments. This is called the structure function approach
$$S_p(\tau) = \langle |y(t + \tau) - y(t)|^p \rangle.$$
(28)
A large amount of literature is devoted to this technique. For general references, see [51,26,9]; introductions to plasmas can be found in [8,44,14]. Structure functions can in principle be computed from any physical quantity, but a meaningful comparison against theory requires the use of natural variables. In space plasmas, the natural variables for Alfvén waves are the Elsässer variables $Z^\pm = V \pm V_A$, where $V_A$ is the Alfvén velocity [44].
An interesting result is the existence of a universal scaling law when the wavefield is scale-invariant
$$S_p(\tau) \propto \tau^{\alpha(p)}.$$
(29)
The larger order $p$ is, the more emphasis is put on the tails of the distribution and the more difficult it becomes to measure the scaling exponent $\alpha(p)$. The range in which this scaling holds is called inertial range. Any deviation of $\alpha(p)$ from a linear dependence is an indication for irregular redistribution of the energy in the turbulent cascade. In the classical K41 model by Kolmogorov [26], the turbulent eddies are supposed to be in a state of local equilibrium: each eddy decays into smaller ones, which again give rise to smaller eddies, and so on. For this model, one obtains $\alpha = p/3$. Many theoretical models for turbulent cascades have been developed since in order to match experimental results [51,9]. The model developed by Castaing and coworkers is today widely used both in neutral fluids and in plasmas [14].
As an example, consider a turbulent cascade in which the eddies are not space filling but occupy a domain whose physical dimension is $D \leq 3$. One should then have $\alpha(p) = 3 - D + p(D - 2)/3$. This property is illustrated in Fig. 11 for three cases: a) the K41 model in which each eddy is space-filling ($D=3$), b) the monofractal case in which each eddy occupies a fixed fraction of space ($D$ is fixed), and c) the multifractal case in which the occupancy of space varies locally ($D$ varies). A sparse filling of space can results from a stretching of eddies into filamentary vortices. Numerical simulations indeed support such a picture [8].
Burlaga [12] first pointed out the striking similarity between solar wind turbulence and hydrodynamic turbulence, a result confirmed since by many authors
Structure function analysis has also been applied to other quantities, such as geomagnetic indices [67]. All these studies suggest that space plasmas are scale-invariant but that this scaling varies locally, hence the name multifractal. The macroscopic consequence of this local property is irregular behaviour with sudden bursts of activity called intermittency.
The structure function associated with the Ulysses data is shown in Figure 12, for orders between $p = 1$ and $p = 6$. It can be argued that an inertial range is apparent for $\tau = 3 - 30$ min. In this range, the scaling exponent is a convex function of $p$, which supports the multifractal character of the turbulent wavefield. The figure also shows another quantity
$$A_p(\tau) = \frac{S_p(\tau)}{S_2(\tau)^{p/2}}.$$
(30)
For a Gaussian distribution, $A_p(\tau)$ should not depend on the scale $\tau$. This quantity confirms the existence of wide distributions for small $\tau$ and on the contrary rather narrow distributions for large $\tau$.
**Structure functions: pitfalls** Structure functions suffer from a number of problems. First, theoretical models are not as easy to develop for magnetofluids as for neutral fluids. Some obstacles to a straightforward interpretation are symmetry breaking due to the magnetic field, the need to have Elsässer variables, and the questionable validity of the Taylor hypothesis in space plasmas.
Furthermore, structure functions, like all higher order quantities, become very vulnerable to outliers and lack of statistics as the order $p$ increases. This problem has often been overlooked in the literature. It turns out that moments beyond $p = 4$ or $p = 5$ often cannot be meaningfully assessed, even with large data sets [21,31]. Therefore, great care should be taken in interpreting results.
Scale invariance: beyond structure functions
Structure functions have enjoyed great popularity so far, but there are many alternatives to the characterization of scale invariance. It has been shown [47] for example that structure function estimates based on wavelets perform better. The reason is to be found in the self-similar nature of wavelets.
Scale invariance can be probed by many other quantities, which are conceptually related the topology of phase space, information measures etc. Since the domain of application largely exceeds plasma physics and nonlinear time series analysis, any classification tends to be arbitrary. We just mention here multifractal analysis, whose purpose is to measure the singularity spectrum (or multifractal spectrum). The latter is indicative of the dimension of the region over which a spectral index $\beta$ of a given value is observed. Singularity spectra are in turn connected to generalized dimensions [5]. Figure 13 shows an example of singularity spectrum that was computed by Consolini [18] from the auroral electrojet (AE) geomagnetic index. For a monofractal process, only one value of...
$\beta$ should occur, whereas we observe a broad distribution of values that indicative of a multifractal process.
![Fig. 13. Singularity spectrum from auroral electrojet data. Dots are experimental data points and the line comes from a model that is based on a two-scale Cantor set. Figure adapted from [18].](image)
The robust estimation of singularity spectra is a delicate task and validation is not straightforward. The estimation of singularity spectra can be done in various ways, e.g. [16]. These techniques are outperformed today by a wavelet method called *wave transform modulus maxima* [4].
Finally, let us mention the theory of large deviations [66] as an alternative approach to the modelling of pdfs with long tails. Its relevance for many geophysical phenomena (such as earthquakes) may well extend to space plasmas.
### 3.2 Long-range dependence and self-organized criticality
Long-range dependence is just another manifestation of scale invariance. But, since it is often studied in connection with Self-Organized Criticality (SOC), it deserves a section on its own.
The SOC paradigm has recently enjoyed great popularity as a possible explanation for a wide range of phenomena that are observed in complex systems. SOC occurs in spatially-extended metastable systems, in which small perturbations can trigger fluctuations or avalanches of any size. The main signatures of SOC are scale invariance and long-range correlations, and a fractal topology (i.e. a self-similar spatial structure). For a general reference on SOC, see [33] and for a discussion on the quantification of long-range dependence see [7]. Whether SOC is really applicable to space plasma phenomena is still a matter of controversy; meanwhile, some fingerprints of SOC have been identified in magnetospheric dynamics [71,19].
Spectral signatures Processes with long-range dependence are sometimes termed $1/f$ processes because their power spectra generally exhibit a power law scaling $P(\omega) \propto \omega^{-\beta}$ with a spectral index $\beta$ that is close to 1. Therefore, a necessary (but not a sufficient) condition for having long-range dependence is to observe spectra that follow a power law down to the smallest frequencies (or wavenumbers). A cutoff will always eventually appear due to the finite size of the system.
As discussed before in Sec. 3.1, the estimation of the spectral index $\beta$ should be done with great care. In particular, estimators based on wavelets [3] should systematically be preferred.
Figure 14 shows an application to the AE geomagnetic index, a quantity that is often used because of its close connection with the dynamics of substorms. One year of one-minute resolution data were analyzed. The Fourier spectrum reveals a broken power law, with approximately a $\omega^{-2}$ scaling at high frequencies and a $\omega^{-1}$ scaling below. The wavelet-based spectrum gives much better evidence for this broken power law, and in addition reveals the cutoff frequencies more evidently. The spectrum eventually saturates around a period of a few tens of days, which is likely to be associated with the solar rotation period. From the wavelet spectrum, we estimate the following spectral indices: $\beta = 0.96 \pm 0.18$ for periods from about 4 hours up to 4 days, and $\beta = 1.87 \pm 0.03$ for periods between 1 minute and approximately 4 hours. An accurate assessment of these spectral indices is important for determining the underlying physical models.
Autocorrelation Many simple physical models (i.e. Markov models, autoregressive models) give rise to exponentially decaying autocorrelation functions.
Such a functional dependence means that the process has a characteristic time scale (or spatial scale). For scale invariant processes, the autocorrelation function should instead decay algebraically
\[ C(\tau) \propto \tau^{-\gamma}, \]
(31)
where the exponent is connected to the spectral index by \( \gamma = 1 - \beta \). Strictly speaking, a process is called long-range correlated when \( 0 < \gamma < 1 \).
Unfortunately, autocorrelation functions provide a poor estimate of the indices \( \beta \) and \( \gamma \) [7]. This is illustrated in Fig. 14: note how difficult it is to recognize a power law scaling in the autocorrelation function; an exponential gives almost as good a fit.
**Waiting time statistics** Another candidate for an unambiguous indication of long-range dependence and in particular SOC, is the waiting-time statistics. The idea is to consider the interval between bursts rather than the burst size. Many simple models yield distributions of intervals that follow a Poisson distribution with exponential tails, whereas scale invariant systems should give a power law. See [25] for an application to the AE index. These methods are receiving today much attention in the context of solar physics, see [2].
The problem here is merely a question of properly estimating the pdf and finding a sufficiently long range over which a power law can be meaningfully assessed. For the estimation of pdfs see [65].
**Fig. 15.** Excerpt of the AE index data. Waiting times are based on the intervals between each successive crossing of the \( AE = 200 \) line.
An example is shown in Fig. 16, again based on one year of AE index data. An excerpt of the time series is shown in Fig. 15. We computed the duration of the intervals between successive values where the index cross the \( AE = 200 \) amplitude line. Changing this level does not significantly affect the results as long as it stays in the bulk of the distribution. The pdf of the time intervals clearly shows a power law scaling that extends over almost two decades (left plot), and which can definitely not be fitted with an exponential (right plot).
For small intervals, the results are indicative of the magnetospheric dynamics, whereas long intervals may be affected by external driving terms such as the solar wind, hence the deviation from the power law scaling.
**Other measures** One can think of many other possible measures for long-range dependence; the main problem is to keep physical insight. The *Hurst exponent* is a quantity that has been popular lately in laboratory plasma experiments, but which should be used with caution. The method itself is called *Hurst rescaled range analysis*; it was originally proposed by Hurst, who used it to detect persisting trends in time series (see for example [42]). A recent application of the Hurst exponent to tokamak plasma turbulence was used to claim the existence of long-range dependence and SOC [15]. Similar conclusions were drawn from the analysis of AE data [56]. The problem with this quantity is its ambiguous interpretation [7].
### 3.3 Lévy walks and anomalous transport
Recently, a great deal of attention has been paid to anomalous (i.e. non-diffusive) transport in fluids. For low frequency magnetic turbulence and a strong background magnetic field, the motion of charged particles is approximately along the magnetic field lines. When the fluctuation level increases and/or the anisotropy of the magnetic field changes, the braided topology of the magnetic field may generate new types of transport regimes that are not necessarily diffusive anymore. This again results in scale-invariance and non-Gaussian properties.
Anomalous transport can be appropriately described in the framework of Lévy distributions [10,58]. Consider the probability distribution of the distance
and the duration of a particle trajectory between two successive bounces. Anomalous transport is intimately associated with distributions that asymptotically decay as power laws. This means that the particle has a significant probability to move long distances. Furthermore, some of the moments of the distribution (such as the mean distance, the variance, etc.) may actually diverge. Studies of Lagrangian transport of tracer particles in fluid experiments [59] and in plasma turbulence simulations [55] have revealed the mechanisms by which Lévy walks occur. The resulting anomalous transport can have an noticeable impact on macroscopic plasma properties, and may explain percolation from the solar wind into the magnetosheath.
**Fig. 17.** Trajectory in 2D space of a particle with Brownian motion (left) and Lévy random walk (right).
Figure 17 compares the trajectories in 2D space of a particle with standard random walk motion (i.e. Brownian motion) and a particle that makes Lévy random walks. The first has a diffusive motion whereas the second will give super-diffusion. The characterization of such transport regimes is appropriately done by using a Lagrangian approach with test particles. Let $\langle \Delta r^2 \rangle_\tau$ be the mean square distance traveled by a particle during a time interval $\tau$. Then
$$\langle \Delta r^2 \rangle_\tau = 2D\tau^\alpha,$$
where $D$ is the diffusion coefficient and $\mu$ the diffusion exponent. Brownian motion with standard diffusion corresponds to the case $\mu = 1$, $\mu < 1$ is called subdiffusion, $\mu > 1$ superdiffusion, and $\mu = 2$ corresponds to ballistic motion\footnote{Note that for processes with Gaussian statistics, the value of $\mu$ is connected to the spectral index $\beta$.}.
As an example we consider test particle simulations based on a 2-D model [38]. The scaling of the mean squared displacement with the observation time is shown in Fig. 18. A power law is indeed apparent over several decades. Below the ion gyrofrequency, the scaling exponent is $\alpha = 2$, in agreement with the ballistic nature of the ion gyration. Above the gyrofrequency, however, the exponent $\alpha$ stays close to 1.8, thereby suggesting that the motion is neither diffusive, nor ballistic. The deviation at largest time intervals is a finite sample size effect.
Fig. 18. Scaling of the mean square displacement along the magnetic field vs travel time $\tau$. The slopes of the straight lines are $\mu = 1.8$ (full line) and $\mu = 2.0$ (dashed line).
4 Outlook
The development of techniques for characterizing nonlinear processes is a challenging and rapidly expanding area. However, as the techniques tend to become more and more sophisticated, there appears the risk of losing physical insight. It is indeed tempting to gather many techniques in a toolbox, and then start doing data mining.
In the next decades, significant outbreaks are expected (or at least hoped for) in the following areas:
- The analysis of spatio-temporal processes, which include data from multi-point measurements, 1D, 2D and 3D models. Our capacity of analyzing data dramatically drops as soon as a spatial dimension comes in, and most of the results obtained so far are still based on time-domain techniques.
- As we increasingly have to deal with large and multivariate data sets with a lot of redundant information, there is also a growing need for doing preprocessing. This involves “reducing” the number of significant variables to make them more tractable. It also means locating interesting features in the data. Many techniques have been developed for that purpose, using either classical methods (e.g. principal component analysis) or more novel concepts such as artificial intelligence.
- Models have a significant advantage over experiments: they can produce long records of data with a very low noise level. Many nonlinear models in addition show signatures of low-dimensional determinism, and therefore lend themselves for a characterization of chaotic behaviour. Tools that have been developed for that purpose (e.g. [57]) can nowadays provide deep insight into the analytical properties of such models.
Acknowledgements
Part of these results come out of a working group on data analysis techniques for Cluster, which was hosted by the International Space Science Institute (ISSI, Bern). I gratefully acknowledge the team members for their contributions and ISSI for the excellent working conditions.
References
1. H. D. I. Abarbanel, R. Brown, and J. J. Sidorovich: *The analysis of observed chaotic data in physical systems*, Rev. Mod. Phys. 65, 1331-1392 (1993).
2. M. J. Aschwanden, B. R. Dennis, and A. Benz: *Logistic Avalanche Processes, Elementary Time Structures, and Frequency Distributions in Solar Flares*, Astrophysical Journal 497, 972-993 (1998).
3. P. Abry, P. Gonçalvès, and P. Flandrin: *Wavelets, spectrum estimation, $1/f$ processes, in Wavelets and Statistics*, edited by A. Antoniadis and G. Oppenheim, Lecture Notes in Statistics, Vol. 103 (Springer, Berlin, 1995), pp. 15-30.
4. E. Bacry, J.F. Muzy, and A. Arneodo: *Singularity spectrum of fractal signals from wavelet analysis: exact results*, J. Stat. Phys. 70, 635-674 (1993).
5. R. Badii and A. Politi: *Complexity* (Cambridge Univ. Press, Cambridge, 1997).
6. S. D. Bale, D. Burgess, P. J. Kellogg, K. Goetz, R. L. Howard, and S. J. Monson: *Evidence of three-wave interactions in the upstream solar wind*, Geoph. Res. Lett., 23, 109-112 (1996).
7. J. Beran: *Statistics for long-memory processes*, (Chapman & Hall, London, 1994).
8. D. Biskamp: *Nonlinear magnetohydrodynamics*, (Cambridge Univ. Press, Cambridge, 1993).
9. T. Bohr, M. H. Jensen, G. Paladin, and A. Vulpiani: *Dynamical systems approach to turbulence*, (Cambridge Univ. Press, Cambridge, 1998).
10. J.-P. Bouchaud and A. Georges: *Anomalous diffusion in disordered media: statistical mechanisms, models, and physical applications*, Phys. Reports 195, 127-293 (1990).
11. D. R. Brillinger: *Time series*, (Holt, New York, 1975).
12. L. F. Burlaga: *Multifractal structure of the interplanetary magnetic field*, Geoph. Res. Lett. 18, 69-72 (1991).
13. V. Carbone: *Scaling exponents of the velocity structure functions in the interplanetary medium*, Ann. Geoph. 12, 585-590 (1994).
14. V. Carbone, P. Consolini, L. Morriso-Valvo, P. Veltri, R. Bruno, E. Martines, and V. Ammari: *Intermittency in plasma turbulence*, Planet. Space Sci., in the press.
15. B. C. Carreras, B. P. van Milligen, M. A. Pedrosa, et al.: *Experimental evidence of long-range correlation and self-similarity in plasma fluctuations*, Phys. Plasmas 6, 1885-1892 (1999).
16. A. Chhabra and R. V. Jensen: *Direct determination of the $f(\alpha)$ singularity spectrum*, Phys. Rev. Lett. 62, 1327-1330 (1989).
17. D. Coca, M. A. Balikhin, S. A. Billings, H. St. C. K. Alleyne, M. W. Dunlop, and H. Lühr: *Time-domain identification of nonlinear processes in space-plasma turbulence using multi-point measurements*, in *Proc. Cluster II workshop on Multiscale/Multipoint Plasma Measurements*, document ESA SP-449, ESA, Paris (2000).
18. G. Consolini, M. F. Marcucci, and M. Candidi: *Multifractal structure of the auroral electrojet index data*, Phys. Rev. Lett., 76, 4082-4085 (1996).
19. G. Consolini and T. Chang: *Magnetic field topology and criticality in GEOTAIL dynamics: relevance to substorm phenomena*, Space Science Rev. 95, 309-321 (2001).
20. T. Dudok de Wit and V. V. Krasnosel’skikh: *Wavelet bicoherence analysis of strong plasma turbulence at the Earth’s quasiparallel bow shock*, Phys. Plasmas 2, 4307-4311 (1995).
21. T. Dudok de Wit and V. V. Krasnosel’skikh: *Non-Gaussian statistics in space plasma turbulence: fractal properties and puffalls*, Nonl. Proc. Geoph. 3, 262-273 (1996).
22. T. Dudok de Wit: *Data analysis techniques for resolving nonlinear processes in plasmas: a review*, in *The URSI Review on Radio Science 1993-1995*, edited by R. E. Stutz (Oxford University Press, Oxford, 1996).
23. T. Dudok de Wit, V. Krasnosel’skikh, M. Dunlop, and H. Lühr: *Identifying nonlinear wave interactions using two-point measurements: a case study of SLAMS*, J. Geophys. Res. 104, 17079-17090 (1999).
24. P. Escoubet, A. Roux, F. Lefevre, and D. LeQuéau (eds.): *START: Spatio-temporal analysis for resolving plasma turbulence*, document WPP-047 (ESA, Paris, 1993).
25. M. P. Freeman, N. W. Watkins, and D. J. Riley: *Evidence for a solar wind origin of the power law burst lifetime distribution of the AE indices*, Geoph. Res. Lett. 27, 1087-1090 (2000).
26. U. Frisch: *Turbulence* (Cambridge Univ. Press, Cambridge, 1995).
27. K.-H. Glassmeier, U. Motschmann, and R. Schmidt: *CLUSTER workshops on data analysis tools, physical measurements and mission-oriented theory*, document SP-371 (ESA, Paris, 1995).
28. M. L. Goldstein and D. A. Roberts: *Magnetohydrodynamic turbulence in the solar wind*, Phys. Plasmas 6, 4154-4160 (1999).
29. P. Grassberger and I. Procaccia: *Characterization of strange attractors*, Phys. Rev. Lett. 50, 1265 (1983).
30. M. J. Hinich and C. S. Clay: *The application of the discrete Fourier transform in the estimation of power spectra, coherence and bispectra of geophysical data*, Rev. Geoph. 6, 347-363 (1968).
31. T. S. Horbury and A. Balogh: *Structure function measurements of the intermittent MHD turbulent cascade*, Nonl. Proc. Geoph. 4, 185-199 (1997).
32. W. Horton and A. Hasegawa: *Quasi-two-dimensional dynamics of plasmas and fluids*, Chaos 4, 227-251 (1994).
33. H. J. Jensen: *Self-organized criticality* (Cambridge University Press, Cambridge, 1998).
34. B. B. Kadomtsev: *Plasma turbulence* (Academic Press, New York, 1965).
35. H. Kantz and T. Schreiber: *Nonlinear time series analysis* (Cambridge University Press, Cambridge, 1997).
36. Y. C. Kim and E. J. Powers: *Digital bispectral analysis and its applications to nonlinear wave interactions*, IEEE Trans. Plasma Sci. PS-7, 120-131 (1979).
37. V. Kravtchenko-Berejnoi, F. Lefevre, V. V. Krasnosel’skikh, and D. Lagoutte: *On the use of tricoherent analysis to detect non-linear wave interactions*, Signal Processing 42, 291-309 (1995).
38. Y. Kuramitsu and T. Hada: *Acceleration of charged particles by large amplitude MHD waves: effect of wave spatial correlation*, Geophys. Res. Lett. 27, 629-632 (2000).
39. J.-L. Lacoume, P.-O. Amblard, and P. Comon: *Statistiques d’ordre supérieur pour le traitement du signal* (Masson, Paris, 1997).
40. D. Lagoutte, D., F. Lefeuvre, and J. Hanasz: *Application of bicoherence analysis in study of wave interactions in space plasmas*, J. Geophy. Res. 94, 435-442 (1989).
41. L. Ljung: *System identification: theory for the user* (Prentice-Hall, Englewood Cliffs, NJ, 1999).
42. B. Mandelbrot: *Fractals and scaling in finance* (Springer Verlag, Berlin, 1997).
43. E. Marsch and C.-Y. Tu: *Non-Gaussian probability distributions of solar wind fluctuations*, J. Geophys. 12, 1127-1138 (1994).
44. E. Marsch: *Analysis of MHD turbulence spectra of ideal invariants, structure functions and intermittency scalings*, in [27], pp. 107-118.
45. J. M. Mendel: *Tutorial on Higher Order Statistics (Spectra) in signal processing and system theory: theoretical results and some applications*, Proc. IEEE 79(3), 278-305 (1991).
46. S. L. Mushet, A. M. Rubenchik, and V. E. Zakharov: *Weak Langmuir turbulence*, Phys. Rep. 252, 177-274 (1995).
47. J.-F. Muzy, E. Bacry, and A. Arneodo: *Multifractal formalism for fractal signals: the structure-function approach versus the wavelet-transform modulus-maxima method*, Phys. Rev. E 47, 875-884 (1993).
48. S. W. Nam and E. J. Powers: *Applications of higher order spectral analysis to cubically nonlinear system identification*, IEEE Trans. Acoust. Speech Signal Proc. ASSP-42, 1746-1765 (1994).
49. C. L. Nikias and A. P. Petropulu: *Higher-order spectra analysis* (Prentice Hall, New Jersey, 1993).
50. C. L. Nikias and M. E. Raghuveer: *Bispectrum estimation: a digital signal processing framework*, Proc. IEEE 75, 869-891 (1987).
51. G. Paladin and A. Vulpiani: *Anomalous scaling laws in multifractal objects*, Phys. Reports 156, 147-225 (1987).
52. R. K. Pearson: *Discrete-time dynamic models* (Oxford Univ. Press, Oxford, 1999).
53. H. L. Pécseli and J. Trulsen: *On the interpretation of experimental methods for investigating nonlinear wave phenomena*, Plasma Phys. Controlled Fusion 25, 1701-1715 (1993).
54. D. B. Percival and A. T. Walden: *Spectral Analysis for Physical Applications: Multitaper and Conventional Univariate Techniques* (Cambridge University Press, Cambridge, 1993).
55. P. Pommois, G. Zimbardo, and P. Veltri: *Magnetic field line transport in three dimensional turbulence: Lévy random walk and spectrum models*, Phys. Plasmas 5, 1288-1297 (1998).
56. C. P. Price and D. E. Newman: *Using the R/S statistic to analyze AE data*, J. Atmos. Solar-Terrestr. Phys. 63, 1387-1397 (2001).
57. T. Schreiber: *Interdisciplinary application of nonlinear time series analysis*, report WUB-98-13 (University of Wuppertal, Wuppertal, Germany, 1998) [available at http://xxx.lanl.gov/abs/chao-dyn/9807001].
58. M. F. Shlesinger, G. M. Zaslavsky, and J. Klafter: *Strange kinetics*, Nature 363, 31-37 (1993).
59. T. D. Solomon, E. R. Weeks, and H. Swinney: *Chaotic advection in a two-dimensional flow: Lévy flights and anomalous diffusion*, Physica D 76, 70-84 (1994).
60. K. Stasiewicz, B. Holback, V. Krasnosel'skikh, M. Boehm, R. Boström, and P. M. Kintner: *Parametric instabilities of Langmuir waves observed by Freja*, J. Geoph. Res. 101, 21515-21525 (1996).
61. L. Rezeau, G. Belmont, B. Guéret, and B. Lembege: *Cross-bispectral analysis of the electromagnetic field in a beam-plasma interaction*, J. Geophys. Res. 102, 24387-24392 (1997).
62. C. P. Ritz and E. J. Powers: *Estimation of nonlinear transfer functions for fully developed turbulence*, Physica D 20, 320-334 (1986).
63. C. P. Ritz, E. J. Powers, T. L. Rhodes, et al.: *Advanced plasma fluctuation analysis techniques and their impact on fusion research*, Rev. Sci. Instrum. 59, 1739-1744 (1988).
64. C. P. Ritz, E. J. Powers, and R. D. Bengtson: *Experimental measurement of three-wave coupling and energy cascading*, Phys. Fluids B 1, 153-163 (1989).
65. B. W. Silverman: *Density Estimation for statistics and data analysis* (Chapman & Hall, London, 1986).
66. D. Sornette: *Critical phenomena in natural sciences: chaos, fractals, self-organisation and disorder* (Springer Verlag, Berlin 2000).
67. J. Takens, R. Lohseki, and J. Timmer: *Structure function as a tool in AE and Dat time series analysis*, Geophys. Res. Lett. 22, 635-638 (1995).
68. B. P. van Milligen, E. Sánchez, T. Estrada, C. Hidalgo, B. Braña, B. Carreras, and I. García: *Wavelet bicoherence: a new turbulence analysis tool*, Phys. Plasmas 2, 3017-3032 (1995).
69. D. V. Vassiliadis, D. N. Baker, H. Lundstedt, and R. C. Davidson (eds.): *Nonlinear methods in space plasma physics*, Phys. Plasmas 6(11), 4137-4199 (1999).
70. D. Vassiliadis: *System identification, modeling, and prediction for space weather environments*, IEEE Trans. Plasma Science, in the press.
71. N. Watkins, M. P. Freeman, S. C. Chapman, and R. O. Dendy: *Testing the SOC hypothesis for the magnetosphere*, J. Atmos. Terr. Phys., in the press.
72. V. E. Zakharov, S. L. Musher, and A. M. Rubenchik: *Hamiltonian approach to the description of non-linear plasma phenomena*, Phys. Rep. 129, 285-366 (1985).
|
Memorandum
From the office of
Commissioner Andy Tobin
Arizona Corporation Commission
1200 W. WASHINGTON
PHOENIX, ARIZONA
(602) 542-3625
TO: Docket Control
DATE: January 30, 2018
FROM: Commissioner Andy Tobin’s Office
SUBJECT: Docket No. E-00000Q-16-0289
Letter and Proposed Energy Modernization Plan from Commissioner Andy Tobin.
Arizona Corporation Commission
DOCKETED
JAN 30 2018
DOCKETED BY
2018 JAN 30 A 8:04
January 30, 2018
Today I am proposing a series of reforms for consideration by the Commission at the upcoming Open Meeting on February 6-7, 2018. These policies are offered as a way to help better position our state to embrace the many changes occurring in the energy space while protecting our ratepayers and ensuring that we maintain our ability to provide clean, affordable, reliable energy for generations to come.
For nearly a century, Arizona has been a national leader in the development of clean energy resources to power our state’s rapidly growing economy, from the deployment of hydropower on the Salt and Verde Rivers in the 1920’s to the construction of the Palo Verde Nuclear Generating Station in the 1970’s. More recently, the state’s Renewable Energy Standard and Tariff (REST) has made Arizona a national leader in the adoption of renewable energy.
It has been over a decade since the Commission passed the REST and the energy landscape in Arizona and across the country is drastically different today. For the past few years the Arizona Corporation Commission has convened multiple workshops related to modernizing Arizona’s energy policies. From these workshops, I have concluded that Arizona’s energy policies need to be updated to reflect these major changes occurring in the energy space.
Notably, I am proposing a goal that Arizona’s economy run on 80 percent clean energy by 2050. While this is ambitious, testimony from stakeholders and scientific studies from around the country show that it is achievable and will benefit all of Arizona. Our utilities are already transitioning away from coal and are expanding their use of renewables, energy efficiency, and storage. If there is a focus on maximizing existing generation assets, this goal can be achieved with proper planning and market signals. Other states have set targets that focus on renewable resources as the ultimate goal. A more productive approach is working towards sustainability, affordability, and reliability, with renewable energy being a tool to help us get there.
Another major target of this proposal is to expand energy storage in the state to 3000 MW by 2030. This is the largest such target in the United States today and would allow our state to not only maximize the renewable resources we have already deployed, but help develop the next wave of innovation in our country’s energy evolution. “Utilities in Arizona are already partnering with leading companies to deploy proven new technologies in energy storage,” said John Zahurancik, chief operating officer of Fluence, a Siemens and AES company that has worked with Arizona utilities on multiple storage projects in the state. “This policy provides strong support to take Arizona further in that direction, ensuring the state will realize the economic benefits of clean, low-cost power and get the most from its power infrastructure.” I have added a Clean Peak Target for our utilities to establish that ensures we can manage our peak hour energy demand and meet more of those needs with clean energy. Today, the top 10 percent of our demand accounts for 40 percent of our overall electricity costs. These policies will help us save money, protect the grid, and limit our environmental impact.
After working closely with Commissioner Boyd Dunn and his staff, I am also setting a forest biomass energy requirement for our regulated utilities to help us expand our use of renewables, improve our watersheds, and protect our state’s forest land. Wildfires, made worse by unhealthy forests, threaten
lives, property, watersheds, wildlife, businesses, and grid reliability. From 2002 - 2017, the State has seen over 5.2 million acres burned, 29 lives lost, and total expense of over $162 million due to Arizona wildfires. According to state Forester Jeff Whitney, “Prevention is our most important opportunity. If we can treat the fuels before the fire starts -- in other words, if we can minimize the vegetation that feeds a fire -- we’ll be more successful at extinguishing that fire.” Partnering with utilities in this effort not only helps them protect their infrastructure in high risk areas, but offers a unique solution to a problem that has plagued the state for decades. To limit the chance of catastrophic forest fires in the long term, our state must clear about one million acres over the next twenty years, or 50,000 acres each year. This plan represents the first true, statewide commitment to help resolve this annual crisis in a meaningful way.
Finally, I am asking utilities to incorporate greater use of electric vehicle infrastructure into their planning to propose ways to make our homes, businesses, communities, and highways ready for the coming expansion of electric vehicles. Following Governor Doug Ducey’s lead, Arizona has already taken steps to lead the transition to electric vehicles. The Governor recently partnered with seven other western states on efforts to create a corridor of charging stations. Beyond being the future of personal transportation, electric vehicles offer critical air quality benefits for a sprawling metropolis like Phoenix. ADEQ documents show that the Phoenix metro area being in ozone nonattainment for EPA clean air standards can cost the state as much as $296 million annually.
Our State needs a forward looking, comprehensive energy plan that can direct long-term decision making at the Commission and Utility level and I believe this policy proposal will accomplish this goal.
The list of workshops and dockets which have informed my policy proposal for consideration is extensive and includes, but is not limited to:
E-00000J-15-0094; In the matter of resource planning and procurement
E-00000J-15-0182; In the matter of demand-side management cost effectiveness, peak demand reductions, demand response and load management programs
E-00000J-16-0257; In the matter of the application of Commissioner Tobin's inquiry into reducing system peak demand costs.
E-00000Q-16-0289; To Open a Docket for Review, Modernization and Expansion of the Arizona Energy Standards and Tariff Rules and Associated Rules.
E-00000C-17-0039; In the matter of the Arizona Corporation Commission Investigation Concerning the Future of the Navajo Generating Station.
E-00000U-17-0057; Opened for Demand-side Management progress reports due by March 1, 2017 and status reports due by September 1, 2017
E-00000Q-17-0138; Commissioner Dunn's Inquiry into the Role of Forest Bioenergy in Arizona.
E-00000Q-17-0293; Evaluating Arizona's current and future baseload security.
Workshop: Integrated Resource Plans July 18, 2016
Workshop: Reducing System Peak Demand Costs August 4, 2016
Workshop: Demand-Side Management Cost-Effectiveness, Peak Demand Reductions, Demand Response/Load Management Program November 29, 2016
Workshop: Battery Storage Technology March 20, 2017
Workshop: Coal Markets April 6, 2017
I look forward to the opportunity of discussing this policy proposal with my fellow commissioners in the near future. Please see the attached full proposal for further details.
Sincerely,
Andy Tobin
Commissioner
INTRODUCTION
For nearly a century, Arizona has been a national leader in the development of clean energy resources to power our state’s rapidly growing economy, from the deployment of hydropower on the Salt and Verde Rivers in the 1920’s to the construction of the Palo Verde Nuclear Generating Station in the 1970’s. More recently, the state’s Renewable Energy Standard and Tariff (REST) has made Arizona a national leader in the adoption of renewable energy. It has been over a decade since the Arizona Corporation Commission passed the REST and the energy landscape in Arizona and across the country is drastically different today. For the past few years the Corporation Commission has convened multiple workshops related to modernizing Arizona’s energy policies. This includes workshops on energy technology innovation, battery storage, peak demand reduction, baseload security, biomass related energy, etc. From these workshops, I have concluded that Arizona’s energy policies need to be modernized to reflect the major changes occurring in the energy space and the information gathered from these workshops has helped guide the development of the policies in this plan with the aim of doing just that.
Accordingly, I would propose the Corporation Commission have an opportunity to discuss and consider the following policy at an upcoming public meeting.
Arizona’s Energy Standard Modernization Plan is a comprehensive update to Arizona’s energy policies to accomplish cleaner energy resources, lower prices for consumers, and greater grid security. The plan revolves around these main topics.
1. Policy Framework
2. Clean Energy
3. Energy Storage
4. Forest Health – Biomass Related Energy
5. Dispatchable Clean Energy
6. Energy Efficiency
7. Electric Vehicles
8. Energy Planning
The guiding principles outlined below should serve as guidance when implementing energy policy in this state.
GUIDING PRINCIPLES
Resiliency
When implementing energy policy, Arizona will ensure that its energy system, from generation to distribution, is capable of providing the state with safe and reliable power by taking the following steps:
1. Ensuring that the deployment of new technology does not jeopardize reliability or grid security
2. Working with state and federal regulators to ensure Arizona continues its record as a top-tier state for reliability and security
3. Focusing on innovative solutions to reduce summer peak demand with clean energy resources
4. Maintaining top level cyber and physical security protocols and procedures
**Affordability and Reliability**
As a basic, life-sustaining commodity, nothing is more important than ensuring that energy in Arizona remains affordable and reliable for all residents. Accordingly, Arizona will take steps to ensure that its pursuit of a clean energy future does not come at the expense of these principles, including:
1. Thoughtful planning so that the transition to clean energy is gradual and considers the useful life of existing facilities while not locking into new non-clean energy investments that may be stranded in the near future
2. Taking advantage of economies of scale, while recognizing the role that customer sited technology can play in accomplishing state goals
3. Preservation of existing clean and affordable generation assets
4. Benefiting from low cost clean energy flows from neighboring states
5. Incorporating more sophisticated system modeling and forecasting in planning processes
6. Reinforcing the grid and empowering customers through grid modernization efforts
7. Offering dispatchability price signals to intermittent resources
**Innovation**
Arizona will lead the nation in the deployment of clean energy technologies by:
1. Developing a coordinated statewide energy policy
2. Deploying grid optimization technologies
3. Encouraging the production and adoption of electric vehicles
4. Participating strategically in regional energy markets
5. Continuing to be a leader in energy storage
6. Maximizing the use of non-wires alternatives
7. Maintaining focus on economic development through competitive electric rates
8. Exploring business model progression
**Economic Development**
Inherently, a key goal of any energy policy is economic development. The nexus between competitive energy rates and economic development is one that either enhances the State’s economic development efforts or hinders it. Arizona is committed to enhancing economic development through energy policy by:
1. Providing fair competitive energy rates
2. Developing innovative pricing and billing structures
3. Supporting customer choice whenever possible
4. Considering both the direct and indirect effects of attracting businesses
5. Cooperating internationally on energy issues
**Resource Diversity**
Unlike other states that have banned certain fuel sources, or switched to a single fuel source because of its low price, Arizona will maintain its commitment to resource diversity to protect against interruptions in supply, fluctuations in price, and the intermittency of weather. This pertains not only to energy based resources but to capacity oriented generation as well.
MODERNIZED POLICIES
I. **Policy Framework** - One of the cornerstones of Arizona’s current energy policy is the REST. This policy has helped spur a thriving renewable energy industry here in the state. *Using the REST’s policy framework as the foundation for modernizing the state’s energy policy, the REST will now be renamed the Clean Resource Energy Standard and Tariff (CREST).* This name change will allow for the development of broader diversified energy policies relating to clean energy resources, energy storage, and energy efficiency, not just those related to renewable energy. The focus of the CREST is to advance responsible clean energy policies in the state. *The underlying REST targets and associated eligible technologies shall remain unchanged.* Separate surcharges may be used in the collection of funds to implement these policies allowing for the tracking of individual policy costs.
II. **Clean Energy** – Arizona’s energy future should consist of policies that work towards a singular unifying goal. *The singular unifying goal is to have Arizona’s economy powered by clean energy sources that make up at least 80 percent of the state’s electricity generating portfolio, by 2050, with the ultimate goal being 100 percent.* Clean energy sources are defined as generation resources that operate with zero net emissions beyond that of steam, including energy efficiency (EE). Each year, affected utilities will file a CREST Implementation Plan describing their strategy to achieve their goal of reaching 80 percent use of clean energy sources and a Compliance Report detailing their progress. The changes necessary to achieve this target will significantly transform the state’s energy industry. The process to achieve this ambitious goal will be slow and steady and the Guiding Principles, outlined above, will help create the path to accomplish this goal. Reaching this target will show Arizona’s commitment to maintaining clean air and water. It will also greatly reduce our state’s reliance on imported fuels and provide new economic opportunities for the future of our great state.
III. **Energy Storage** – Low priced, and sometimes free electricity, is being exported from surrounding states; at the same time, increasing peak demand in Arizona is causing new expensive investments for ratepayers. Energy storage can leverage low priced energy during the day and reinject it at peak times to reduce the long-term costs of these projected investments for consumers. Moreover, energy storage provides reliable system back up and stability, as seen in the California Aliso Canyon gas leak as well as the islands impacted by hurricanes Irma and Maria. *As such, and in anticipation of attracting large-scale energy storage solutions, the state shall pursue a target of 3,000 MW of deployed energy storage by 2030.* Eligible technologies shall include the following categories: electrochemical, mechanical, thermal, and gravitational. The target shall encourage a variety of sizes, ownership structures, and technologies, to be deployed in a prudent and responsible manner. Each year, affected utilities will file detailed programs within their CREST Implementation Plan. Progress toward the 2030 target shall be included in the annual CREST Compliance Filings. An analysis in the planning process should be presented considering how various levels of energy storage investment will impact grid operations, cost-effectiveness, and align with national energy storage trends. In order to reduce curtailment and unlock the peak shaving and grid support capabilities of existing renewable resources, priority should be given to exploring retrofits of existing renewable energy resources that currently lack energy storage solutions.
IV. **Forest Health – Biomass Related Energy** – Wildfires, made worse by unhealthy forests, threaten lives, property, watersheds, wildlife, businesses, and grid reliability. From 2002 - 2017, the state has seen over 5.2 million acres burned, 29 lives lost, and total expense of over $162
million due to Arizona wildfires.\textsuperscript{123} Biomass facilities offer a proven solution in helping solve the unhealthy forest problem, while providing stable priced carbon neutral energy. In order to start the process of rebuilding healthy and sustainable forests in Arizona, nearly 50,000 forested acres a year have to be thinned to reach the goal of treating one million forested acres in the next 20 years. The treatment of 50,000 forested acres a year will generate enough biomass to support 90 nameplate capacity MWs of biomass derived energy yearly.\textsuperscript{4} The Corporation Commission regulates electric utilities that serve approximately 60% of customers in the state. \textit{As such, to the benefit of Arizona citizens and the health of Arizona’s forests, state regulated electric utilities, who deliver more than 100,000 MWh annually, shall share the costs and benefits of procuring a yearly proportional share of 60 MW of nameplate capacity biomass derived energy, through either bundled or unbundled renewable energy certificates}. The fuel used to generate the biomass derived energy must come from high-risk fuel, sourced at least 80 percent from within the state of Arizona. The 60 MWs of nameplate capacity must be in-service by December 31, 2021 and the procurement should end no sooner than December 31, 2041. The procurement process may account for seasonal grid needs, by using such strategies as seasonal curtailment and strategic outages. This biomass derived energy shall count toward each utilities’ compliance with the unchanged REST targets and payment for the procurement shall be collected through each utilities’ REST surcharge.
V. \textbf{Dispatchable Clean Energy} – Arizona has always been a leader in clean energy; from the nation’s largest nuclear power plant to innovative solar plus storage installations, Arizona has built a successful industry with jobs spread across the state. Recently, the price of clean energy technology has dropped significantly, all while capabilities have increased. Unfortunately, current policies do not encourage the adoption of beneficial new clean energy sources, nor protect existing ones. Moreover, current intermittent renewable energy sources can crowd out crucial baseload resources during certain times of the day and introduces challenges to system reliability at scale due to lack of dispatchability. The state’s consumer advocate office filed a plan to correct this, and use clean energy in a way that benefits all ratepayers by harnessing this energy to reduce peak demand in a policy labeled the “Clean Peak Standard.” \textit{Based on recommendations in that document, and after considering extensive information gathered in a variety of Corporation Commission workshops, regulated utilities shall set a Clean Peak Target (CPT) that incorporates existing and new clean energy sources. To set this target, regulated utilities shall quantify existing levels of clean resources deployed during peak hours to establish a baseline, and incrementally increase that baseline figure 1.5\% per year on average until 2030}. This shall ensure that Arizona continues to expand its use of clean energy resources, while also considering the overall impact that deployment of various resources will have on the grid’s most expensive critical peak hours. Retrofitting existing renewable resources to maximize effectiveness during peak windows is permitted. Each year, affected utilities will file detailed programs within their CREST Implementation Plan. Progress toward the 2030 target shall be included in the annual CREST Compliance Filing. Credit creation and counting for compliance shall be done in the same manner as the REST, with the new compliance window being each utilities’ four peak value hours each day (e.g. summer net load peak: 4pm-8pm) instead of the current 24-hour window. Shoulder months may have a different four-hour window or may be split into two separate two hour windows.
\textsuperscript{1} National Interagency Fire Center, “Fire Information, Statistics, Historical Year-end Fire Statistics by State.” https://www.nifc.gov/fireinfo_statistics.html
\textsuperscript{2} National Interagency Fire Center, “Wildland Fatalities by Year,” https://www.nifc.gov/safety/safety_documents/Fatalities-by-Year.pdf
\textsuperscript{3} Arizona Department of Forestry and Fire Management, “Internal Cost Spreadsheets Years 2002-2007 and years 2008-2017.”
\textsuperscript{4} Supported by testimony at Arizona Corporation Commission Forest Bioenergy Workshop, December 5, 2017.
VI. **Energy Efficiency** – Energy efficiency (EE) will be critical in helping the state meet the new 80 percent clean energy target. In 2017 alone, over 747,000 MWh’s in energy were saved in Arizona’s two largest regulated utility territories.\(^5\) The current EE Standard, however, is scheduled to sunset in 2020. *Within 120 days of this policy being adopted, the Corporation Commission shall initiate a process to implement a new EE policy, to be part of the CREST. This initiative shall complement the goal of achieving 80 percent clean energy resources by 2050, while reducing costs for ratepayers.* Demand Side Management type plans should continue to be developed to aid in the strategic deployment of EE measures. This may take place as part of the broader CREST Implementation Plan filing. The Demand Side Management funding structure shall also be maintained to track costs related to this specific policy.
VII. **Electric Vehicles** - The electrification of the transportation sector is critical to the state being able to meet its environmental regulations for air quality. Currently, parts of Arizona are considered in “moderate” nonattainment with EPA clean air standards. Such conditions impose millions of dollars of compliance costs on major industries looking to operate in Arizona. Estimates from the Arizona Department of Environmental Quality show that the costs of the Phoenix Metro area being in noncompliance could be over $296 million dollars per year.\(^6\) Strategic electrification of the transportation sector will provide a valuable tool to address these issues and set the state on the path to a clean energy future. Arizona should take advantage of rapidly changing transportation technologies to help meet the state’s air quality goals and the new clean energy target while bolstering the state’s own economy by reducing out of state spending on fuel. *To aid in this strategic implementation, regulated utilities shall propose electric vehicle (EV) infrastructure in future CREST implementation plans for Corporation Commission consideration. Specifically, utilities should propose EV charging infrastructure (1) in new home construction programs, (2) in existing home programs, (3) for strategic commercial and industrial customers or large fleet owners, and (4) on major highways and interstates across their service areas to provide our citizens with charging options.* Charging infrastructure should be deployed strategically and in high use or critical areas. Priority should be given to implementation plans where day time charging is encouraged.
VIII. **Energy Planning** - Currently, Arizona utilities use Integrated Resource Plans (IRP) to inform the Commission about the utility’s plans to provide safe, reliable, and affordable electric services. The lack of clear energy policy in the state has resulted in each utility using their own strategies as the guiding principles in developing their IRP. This process lacks the focus needed to move Arizona forward uniformly toward its clean energy future. *As such, the rules and regulations governing the IRP process shall be amended for the purpose of supporting and promoting the policies adopted herein.* Any future IRP filings should be placed on hold with the expectation of it being rescheduled, following the completion of the rulemaking process.
---
\(^5\) 2017 Integrated Resource Plans for APS and TEP. [https://www.tep.com/wp-content/uploads/2016/04/TEP-2017-Integrated-Resource-FINAL-Low-Resolution.pdf](https://www.tep.com/wp-content/uploads/2016/04/TEP-2017-Integrated-Resource-FINAL-Low-Resolution.pdf) and [https://www.aps.com/library/resource%20alt/2017IntegratedResourcePlan.pdf](https://www.aps.com/library/resource%20alt/2017IntegratedResourcePlan.pdf)
\(^6\) Arizona Department of Environmental Quality, “Technical Memorandum: Electric Vehicles in Arizona”
CERTIFICATION OF SERVICE
On this 30th day of January, 2018, the foregoing document was filed with Docket Control as a correspondence from Commissioner Andy Tobin, and copies of the foregoing were mailed on behalf of Commissioner Andy Tobin to the following who have not consented to email service. On this date or as soon as possible thereafter, the Commission’s eDocket program will automatically email a link to the foregoing to the following who have consented to email service.
Docket. No. E-00000Q-16-0289
By: ____________________________
Daniel P. Schwiebert
Policy Intern, Water Committee
Arizona Corporation Commission
Andy Kvesic
Director, Legal Division
ARIZONA CORPORATION COMMISSION
1200 West Washington
Phoenix, Arizona 85007
firstname.lastname@example.org
Elijah Abinah
Director, Utilities Division
ARIZONA CORPORATION COMMISSION
1200 West Washington
Phoenix, Arizona 85007
email@example.com
Thomas Acker
1605 N. Wood Hollow Way
Flagstaff, AZ 86004
firstname.lastname@example.org
email@example.com
firstname.lastname@example.org
email@example.com
Karin Wadsack
Project Director
Northern Arizona University
Box 5694
Flagstaff, AZ 86011
firstname.lastname@example.org
Andrew Wang
SolarReserve, LLC
520 Broadway, 6th Floor
Santa Monica, CA 90401
email@example.com
Amanda Ormond
WESTERN GRID GROUP
7650 S. McClintock, Ste. 103-282
Tempe, AZ 85284
firstname.lastname@example.org
Court Rich
ROSE LAW GROUP, PC
7144 E. Stetson Drive, Suite 300
Scottsdale, AZ 85251
email@example.com
firstname.lastname@example.org
Melissa Krueger
ARIZONA PUBLIC SERVICE COMPANY
Thomas L. Mumaw
400 N. 5th St. Suite 8695
Phoenix, AZ 85004
email@example.com
firstname.lastname@example.org
email@example.com
firstname.lastname@example.org
email@example.com
Timothy Hogan
ARIZONA CENTER FOR LAW IN THE PUBLIC INTEREST
514 W. Roosevelt St.
Phoenix, AZ 85003
firstname.lastname@example.org
email@example.com
firstname.lastname@example.org
Meghan Grabel
OSBORN MALEDON, PA
2929 N. Central Avenue Suite 2100
Phoenix, AZ 85012
email@example.com
firstname.lastname@example.org
email@example.com
Benjamin Lowe
Alevo USA Inc.
2321 Concord Parkway South
Concord, NC 28027
firstname.lastname@example.org
C. Webb Crockett
FENNEMORE CRAIG, PC
2394 E. Camelback Rd, Ste 600
Phoenix, AZ 85016
email@example.com
firstname.lastname@example.org
Michele Van Quathem
LAW OFFICES OF MICHELE VAN QUATHEM, PLLC
7600 N 15th St, Suite 150-30
Phoenix, AZ 85020
email@example.com
Jason Pistiner
SINGER PISTINER PC
15849 N. 71st Street, Suite 100
Scottsdale, AZ 85254
firstname.lastname@example.org
email@example.com
|
February 25, 2015
Clerk of Circuit Court
Racine County Courthouse
730 Wisconsin Avenue
Racine, WI 53403
Re: Milewski, et al. v. Town of Dover, et al.
Case No.: 14-CV-1482
Our File No.: 231.229059
Dear Clerk:
I enclose with this letter a Notice of Motion and Motion for Judgment on the Pleadings and/or for Summary Judgment and the supporting brief on behalf of the defendants, Town of Dover and Board of Review for the Town of Dover in the above-referenced matter. I would appreciate it if you would file this on our behalf and indicate the date of filing on the bottom of the photocopy of this letter and return it to me in the self-addressed, stamped envelope provided.
By copy of this letter, we are providing a copy of the same to the Honorable Phillip A. Koss in Walworth County and the attorneys of record.
Thank you for your courtesy and cooperation.
Very truly yours,
Michael J. Cieslewicz
MJC/jw
Enclosures
cc: Honorable Phillip A. Koss
Thomas C. Kamenick, Esq.
Mitchell R. Olson, Esq.
NOTICE OF MOTION AND MOTION FOR JUDGMENT ON THE PLEADINGS
AND/OR FOR SUMMARY JUDGMENT
TO: Thomas C. Kamenick, Esq.
Wisconsin Institute for Law & Liberty
1139 E. Knapp Street
Milwaukee, WI 53202
Mitchell R. Olson, Esq.
Axley Brynelson LLP
2 E. Mifflin St., Ste. 200
P.O. Box 1767
Madison, WI 53701-1767
PLEASE TAKE NOTICE that the defendants, Town of Dover and Board of Review for the Town of Dover, by their attorneys, Kasdorf, Lewis & Swietlik, S.C., will move the court, the Honorable Phillip A. Koss, in his courtroom at the Walworth County Courthouse, for judgment on the pleadings pursuant to Wis. Stat. § 802.06(3), or in the alternative, for summary judgment pursuant to Wis. Satt. § 802.08 on the 6th day of May, 2015 at 8:30 a.m., or as soon thereafter as this matter can be heard.
This motion is based upon the record and file herein and the brief in support filed herewith.
Dated at Milwaukee, Wisconsin, this 25th day of February, 2015.
KASDORF, LEWIS & SWIETLIK, S.C.
Attorneys for Defendants, Town of Dover and Board of Review for the Town of Dover
By: [Signature]
Michael D. Cieslewicz
State Bar No. 1016974
Casey M. Kaiser
State Bar No. 1088881
P.O. ADDRESS:
One Park Plaza, Suite 500
11270 West Park Place
Milwaukee, WI 53224
Phone: (414) 577-4039
Fax: (414) 577-4400
Email: firstname.lastname@example.org
email@example.com
BACKGROUND
This would be a run-of-the-mill property tax assessment if the plaintiffs would have just let the Town of Dover’s assessor, Gardiner Appraisal Service, LLC (“Gardiner”) do its job. When Gardiner went about conducting a Town-wide assessment in 2013, the plaintiffs refused to let its employee inside their property so that he could perform a view of the interior.\(^1\) (Compl. ¶¶ 13-20). The interior viewing would have provided Gardiner with additional facts on which to base its valuation.
After refusing entry to the Gardiner employee, Gardiner sent the plaintiffs a certified letter requesting that they schedule a mutually convenient time for an interior view. (Id. ¶ 18, Ex. B). The plaintiffs never responded, and Gardiner was forced to assess their property without the benefit of an interior view. (Id. ¶ 20).
\(^1\) The facts relevant to this motion are not in dispute and are pulled from the allegations in the plaintiffs’ Complaint.
The plaintiffs were unhappy with Gardiner’s assessment. (Id. ¶ 31). They undertook to challenge the assessment before the Board of Review for the Town of Dover. (Id. ¶ 31-33). However, because the plaintiffs refused Gardiner’s request to view the interior of their property, the Board refused to entertain the plaintiffs challenge, in conformance with Wis. Stat. § 70.47(7)(aa). (Id. ¶ 33-35).
The plaintiffs are seeking to challenge Gardiner’s assessment before this Court under Wis. Stat. § 74.37(4)(a). (Id. ¶ 49). As a prerequisite though, they must show that they actually had a right to challenge the assessment before the Board in the first place. The plaintiffs argue that they should have been allowed to challenge the assessment before the Board because Gardiner had no right to view the interior of their property. (Id. ¶ 50). They are wrong.
ARGUMENT
I. The plaintiffs are not permitted to challenge the assessment because State law recognizes the necessity of an interior view.
The Town’s refusal to hear the plaintiffs’ challenge is supported by statute, Wis. Stat. § 70.47(7)(aa), which provides:
No person shall be allowed to appear before the board of review, to testify to the board by telephone or to contest the amount of any assessment of real or personal property if the person has refused a reasonable written request by certified mail of the assessor to view such property.
There is no dispute that the plaintiff’s refused Gardiner’s written request by certified mail to view the interior of their property. Instead, the plaintiffs argue that Gardiner’s request to view the interior of the property was unreasonable and, therefore, they were entitled to contest the assessment. Thus, the outcome here turns on the interpretation of what constitutes a “reasonable request.”
The plaintiffs argue that Gardiner’s request was unreasonable because they have a right to refuse to consent to a government search of their property. They believe that if Gardiner wanted to view the interior of their property, he would have needed to obtain a warrant.
The plaintiffs’ arguments are meritless, and Gardiner’s request to view the interior of their property was reasonable under prevailing law. Accordingly, the Board acted properly in refusing to allow the plaintiffs to challenge the assessment, and the plaintiffs cannot now contest the assessment before this Court.
State law and the Wisconsin Property Assessment Manual recognize that Gardiner’s request to view the interior of the plaintiffs’ property was reasonable. Not only was it reasonable, but pursuant to the Wisconsin Property Assessment Manual, it was required. As the Manual recognizes, an interior view is a necessary step for an assessor whose goal is to collect as much information as possible about the property so that he or she can make the most accurate assessment possible.
Wis. Stat. § 73.03 requires the Wisconsin Department of Revenue to prepare and publish a property assessment manual which “shall discuss and illustrate accepted methods, techniques and practices with a view to more nearly uniform and more consistent assessments of property at the local level.” It is also suggests procedures for how assessors are to comply with state law regarding how to value real estate, which is set forth in Wis. Stat. § 70.32.
Consistent with Wis. Stat. § 73.03, the Department has published the “Wisconsin Property Assessment Manual.”\(^2\) Wis. Stat. § 70.32 provides that “[r]eal property shall be valued by the assessor in the manner specified in the Wisconsin property assessment manual provided under s. 73.03 (2a) from \textit{actual view} or from the best information that the assessor can
\(^2\) The Manual is conveniently available at: http://www.revenue.wi.gov/slf/wpam/wpam15.pdf.
practicably obtain, at the full value which could ordinarily be obtained therefor at private sale.” (Emphasis added.)
Chapter 8 of the Manual deals with Residential Property Valuation. Throughout the chapter, the Department instructs on the importance of viewing the interior of the property being assessed.
At page 8-22, the Manual provides:
Upon entering the field, the assessor should be concerned with the following points:
1. Proper identification of the parcel
2. Property owner interview
3. Measuring improvements and **interior viewing**
4. Proper classification and depreciation estimates
5. Land value factors (emphasis added)
At page 8-23, the Manual provides:
To be sure that nothing is overlooked during the viewing many assessors set up a routine. For instance, the interior viewing may begin with the basement and continue on to the last level needing viewing.
Once the assessor has collected sufficient interior and exterior information, it is possible to subjectively consider the improvements and determine the proper grade.
In addition to publishing the Manual, the Department publishes the “Property Assessment Appeal Guide For Wisconsin Real Property Owners.”\(^3\) The Guide provides property owners with a set of several helpful FAQs, one of which provides:
---
\(^3\) The Property Assessment Appeal Guide For Wisconsin Real Property Owners is available at http://www.revenue.wi.gov/pubs/slf/pb055.pdf.
What happens if I refuse to allow the assessor inside to view my property?
If a property owner denies entry to view the property, the assessor will send a certified letter requesting admittance to the property to view it. If the property owner still refuses admittance, the assessor will value the property using the best evidence available. This is commonly referred to as a doomage assessment. Furthermore, the property owner will not be able to appear before the BOR. Most actions of appeal require that the assessor be allowed entry to view the property.
It is clear then that the State expects all assessors to view the interior of the properties that they are assessing. Actually, pursuant to Wis. Stat. § 70.32, which provides that assessments shall be made in conformance with the Manual, there is more than just an expectation—it is a mandate.
Taking these statutes and the Manual together, Gardiner’s request to view the interior of the plaintiffs’ property cannot be classified as anything other than reasonable. Because Gardiner was simply doing what the state statutes and the Manual required it to do, its request was reasonable. Accordingly, the Board properly barred the plaintiffs from contesting the assessment.
**CONCLUSION**
If the plaintiffs had permitted the Town’s assessor to view their property, they would have been permitted to contest his valuation before the Board. However, because they denied Gardiner access to that information, they were rightly precluded from doing so pursuant to Wis. Stat. § 70.47(7)(aa). Because the plaintiffs did not comply with the procedures necessary for contesting the assessment, Wis. Stat. § 74.37(4)(a) prohibits the plaintiffs from maintaining this suit. The Town and the Board are entitled to judgment, and the plaintiffs’ Complaint should be dismissed.
Dated at Milwaukee, Wisconsin, this 25th day of February, 2015.
KASDORF, LEWIS & SWIETLIK, S.C.
Attorneys for Defendants, Town of Dover and Board of Review for the Town of Dover
By:
Michael J. Cieslewicz
State Bar No. 1016974
Casey M. Kaiser
State Bar No. 1088881
P.O. ADDRESS:
One Park Plaza, Suite 500
11270 West Park Place
Milwaukee, WI 53224
Phone: (414) 577-4039
Fax: (414) 577-4400
Email: firstname.lastname@example.org
email@example.com
|
The first real-time worldwide ionospheric predictions network: an advance in support of spaceborne experimentation, on-line model validation, and space weather
Article
Published Version
Szuszczewicz, E. P., Blanchard, P., Wilkinson, P., Crowley, G., Fuller-Rowell, T., Richards, P., Abdu, M., Bullett, T., Hanbaba, R., Lebreton, J. P., Lester, M., Lockwood, M. ORCID: https://orcid.org/0000-0002-7397-2172, Millward, G., Wild, M., Pulinets, S., Reddy, B. M., Stanislawska, I., Vannaroni, G. and Zolesi, B. (1998) The first real-time worldwide ionospheric predictions network: an advance in support of spaceborne experimentation, on-line model validation, and space weather. Geophysical Research Letters, 25 (4). pp. 449-452. ISSN 0094-8276 doi: https://doi.org/10.1029/97GL03279 Available at https://centaur.reading.ac.uk/38759/
It is advisable to refer to the publisher’s version if you intend to cite from the work. See Guidance on citing.
Published version at: http://dx.doi.org/10.1029/97GL03279
To link to this article DOI: http://dx.doi.org/10.1029/97GL03279
Publisher: American Geophysical Union
All outputs in CentAUR are protected by Intellectual Property Rights law, including copyright law. Copyright and IPR is retained by the creators or other copyright holders. Terms and conditions for use of this material are defined in the End User Agreement.
www.reading.ac.uk/centaur
CentAUR
Central Archive at the University of Reading
Reading's research outputs online
The first real-time worldwide ionospheric predictions network: An advance in support of spaceborne experimentation, on-line model validation, and space weather
E.P. Szuszczewicz\textsuperscript{1}, P. Blanchard\textsuperscript{1}, P. Wilkinson\textsuperscript{2}, G. Crowley\textsuperscript{3}, T. Fuller-Rowell\textsuperscript{4}, P. Richards\textsuperscript{5}, M. Abdu\textsuperscript{6}, T. Bullett\textsuperscript{7}, R. Hanbaba\textsuperscript{8}, J. P. Lebreton\textsuperscript{9}, M. Lester\textsuperscript{10}, M. Lockwood\textsuperscript{11}, G. Millward\textsuperscript{4}, M. Wild\textsuperscript{10}, S. Pulinet\textsuperscript{12}, B.M. Reddy\textsuperscript{13}, I. Stanislawksa\textsuperscript{14}, G. Vannaroni\textsuperscript{15}, and B. Zolesi\textsuperscript{16}
Abstract. We report on the first realtime ionospheric predictions network and its capabilities to ingest a global database and forecast F-layer characteristics and "in situ" electron densities along the track of an orbiting spacecraft. A global network of ionosonde stations, operational ground-track models, a set of F-region heights and densities, and an on-line library of models provided forecasting capabilities. Each model was tested against the incoming data; relative accuracies were intercompared to determine the best overall fit to the prevailing conditions; and the best-fit model was used to predict ionospheric conditions on an orbit-to-orbit basis for the 12-hour period following a twice-daily model test and validation procedure. It was found that the best-fit model often provided averaged (i.e., climatologically-based) accuracies better than 5% in predicting the heights and critical frequencies of the F-region peaks in the latitudinal domain of the TSS-1R flight path. There was a sharp contrast, however, in model-measurement comparisons involving predictions of small unergaged along-track densities at the 295 km nominal altitude of TSS-1R. In this case, errors in the first-sample models varied by as much as an order of magnitude in density predictions, and the best-fit models were found to disagree with the "in situ" observations of N\textsubscript{e} by as much as 140%. The discrepancies are interpreted as a manifestation of difficulties in accurately and self-consistently modeling the external controls of solar and magnetospheric inputs and the spatial and temporal variabilities in electric fields, thermospheric winds, plasmaspheric fluxes, and chemistry.
1. Introduction
Intelligent operations of many of today's near-Earth space experiments and the effective utilization of space-based technology assets are looking more and more to accurate and timely forecasting of the Earth's space environment. Such a capability is seen to be critical to enhancing scientific productivity during interactive on-orbit experimentation as well as to the mitigation of, or protection from, space environment effects on man-made systems.
Realtime monitoring and prediction are also becoming increasingly important for effective and efficient execution of large system science programs like those in NASA's International Solar-Terrestrial Physics program (e.g. Berchem et al., 1995) and the National Space Weather Initiative (e.g., Szuszczewicz, 1995). These programs involve large databases with inputs from an array of ground-based and spaceborne sensors, and more often than not, employ a suite of large computational codes used in the planning, execution, and analysis of campaign investigations.
The SUNDIAL/TSS-1R activity reported here (see, e.g., Szuszczewicz et al., 1996, Dobrowolny and Stone, 1994; and Stone and Bonfázi, 1997 (this issue)) was the first demonstrated worldwide effort to meet this need. The effort focused on implementing TSS-1R objectives which dealt with the conduct and analysis of experiments exploring plasma processes and related technologies that control current generation and current closure in space, on-orbit power generation techniques, and associated manifestations in current-voltage characteristics and spacecraft charging. In meeting these objectives the primary geophysical parameter was the ionospheric electron density acting through its first-order control of conductivities and plasma sheaths.
While functional objectives and an on-orbit time-line are established well in advance of any mission, an optimized experiment scenario dictates realtime or near-realtime access and analysis of onboard data (e.g., spacecraft potentials, current-voltage characteristics, etc.) in frequent, irregular intervals, usually leading to the need for a repeat of certain functional objectives under identical, different, or more ideal conditions. This generated the need for a realtime worldwide ionospheric monitoring network and a capability to predict along-track plasma densities on time scales ranging from orbit-to-orbit to a full 24 hr period. We describe the network, the data ingestion procedures, prediction methodologies, and initial results on prediction accuracies.
2. Orbit Logistics, the Worldwide Monitoring Network, and the Prediction Methodology
TSS-1R was launched on February 22, 1996 (UT day/min = 53/2018) into a 28.5° inclination orbit at an altitude of 295 km. With the height of the F\textsubscript{2}-region peak-density generally varying between 200 and 600 km, TSS-1R experiments were expected to operate in plasma density environments generally less than $4 \times 10^6$ cm\textsuperscript{-3} but greater than $(10^7)$ cm\textsuperscript{-3}, with the orbiter and the tethered subsatellite operating variously at, above, or below the F\textsubscript{2}-region peak.
Since the worldwide monitoring of plasma densities at 295 km is technically not feasible (this statement is true for any fixed altitude), the monitoring and predictions approach employed in this application was built upon a combination of internationallyrecognized models and a globally-distributed network of ionosondes for around-the-clock measurements of F-region characteristics. The ionosonde database provided a nowcasting capability and the framework for benchmarking model accuracies, establishing optimal fits to prevailing conditions, and subsequent forecasting by the model run best matching the realtime data. The accuracy of the optimized model fit to the global ionosonde measurements of $N_{\text{mF2}}$ and $h_{\text{mF2}}$ was assumed to provide a measure of confidence that model values of electron densities at the TSS-1R altitude were of comparable accuracy.
There were 33 ionosonde stations employed in support of TSS-1R, a subset of the 50-70 stations typically engaged in worldwide SUNDIAL campaigns (e.g., Szuszczewicz et al., 1996; and references therein). The reduced number reflected a conservative approach to the selection of a first realtime data ingestion procedure and an on-the-fly refinement for model optimization. The procedure was as follows:
1) Every 12 hours each of the 33 stations transmitted an up-to-the-hour set of data via Internet to the SUNDIAL Ionospheric Weather Station in the TSS-1R Science Operations Center. The data provided hourly values of $f_{\text{cF2}}$ and $M(3000)\text{F2}$ for that 12-hour period. $M(3000)\text{F2}$ yielded values of $h_{\text{mF2}}$ in accordance with the procedures of Dudeney (1983) and the critical frequency of the F$_2$-peak, $f_{\text{cF2}}$, provided a measurement of $N_{\text{mF2}}$ through the relationship $f_{\text{cF2}} \cdot (Hz) = 8.9 \times 10^5 \sqrt{N_{\text{mF2}}} [\text{cm}^{-3}]$. (Most of the 33 stations could transmit data on a more frequent basis, e.g. hourly (or fractions thereof) if dictated by future mission requirements.)
2) The database was then compared with an on-line library of model runs that included: a) the International Reference Ionosphere, IRI (Schunk and Szuszczewicz, 1988, and references therein), b) the Field-Line Interhemispheric Plasma model, FLIP (Richards et al., 1994; and references therein), c) the Coupled Thermosphere-Ionosphere Plasmasphere model, CTIP (Florinsky et al. 1996; and references therein), and d) the Thermosphere Ionosphere Electrodynamic General Circulation Model, TIEGCM (Richmond et al., 1992; and references therein). Multiple on-line runs of FLIP and TIEGCM, expected to bracket ranges of solar fluxes and geomagnetic conditions predicted by the NOAA Space Environment Center ($70 \leq 10.7 \text{ cm flux} \leq 76$, $5 \leq Ap \leq 10$, and $kp \leq 3$), were compared against the data. A single "best-guess" run of the CTIP model and several cases of the IRI (with varying values for the sunspot number and several sliding 30 day averages bracketed by 1 February and 31 March) were also compared against the data. (The first-principle models were completed several weeks before the mission and installed in an on-line library for the on-the-fly comparisons with the data. We note that no model is rigorously "first-principle", since all rely, to varying degrees, on empirically-based boundary conditions or force descriptions. This is true of all models in the specification of solar and magnetospheric inputs; and as an example of empirically-based inputs for internal driving forces, the FLIP model uses IRI specifications of $h_{\text{mF2}}$ to effectively allow for influences of thermospheric winds at mid-latitudes and electric fields at low-to-equatorial latitudes.)
3) The runs of each model which best fit the data were then intercompared, and the "best-of-the-best" was selected to predict the orbit-to-orbit along-track densities for the next 12 hours.
4) New data were ingested every 12 hours and the procedure repeated, with the orbit-to-orbit predictions posted on an "Ionospheric Weather Board" in the Science Operations Center.
In varying degrees the models represented the coupled ionospheric-thermospheric system - each with different approaches to the prevailing physics and different levels of computational complexity. The IRI is a PC-based empirical model. FLIP, CTIP, and TIEGCM are first-principle models. FLIP, CTIP and TIEGCM are VAX-, workstation, and Cray-based, respectively.
### 3. Results
We concentrate on the segment of the TSS-1R mission from the initial subsatellite deployment (UT = 56/00:45, defined as the "fly-away") to the tether break (UT = 57/01:29). This involved the four orbits shown in Plate 1, defined here as orbits 1 through 4, color-coded by the thin green, blue, red, and black lines, respectively. The black dots identify the ionosonde stations, while the two red dots identify the locations of the initial fly-away (on green orbit #1) and the location of the orbiter at the time of the tether break (on black orbit #4). The bold red and blue overlays on the orbit tracks identify functional objective periods IV and DC (Stone and Bonifazi, 1997 (this issue)), respectively, in which tether current-voltage characteristics were measured. There are orbit-to-orbit differences, the general diurnal characteristics of the ionospheric conditions encountered by the orbiter during orbits 1-4 being such that sunrise and sunset were approximately at 90° E and 270° E longitudes, respectively. The descending node in the late afternoon and early evening period (i.e., $210^\circ < \text{long} \leq 270^\circ$) therefore crossed the region of the Appleton Anomaly (see e.g., Klobuchar et al., 1991 and references therein). This was the ionospheric domain encountered just after fly-away and just after the tether break.
The SUNDIAL ionospheric weather activities supporting the four-orbits involved data ingestion, model fit, and prediction updates at UT = 56/16:00, 57/04:00, and 57/16:00. We summarize the accuracies of each best-fit-model-run in Table 1 (% accuracy = 100 x (model-data)/data). The results show accuracies of the best-fits to $f_{\text{cF2}}$ and $h_{\text{mF2}}$ cataloged according to daylight (D/N) time frames.
Table 1. Model Accuracies (%) at Low Latitudes (≤ 30°)
| Observable → | Time of Data Ingest → | f₃F₂ | h₃F₂ |
|--------------|------------------------|------|------|
| | 56/16:00 | 57/04:00 | 57/16:00 | 56/16:00 | 57/04:00 | 57/16:00 |
| IRI | D | 0.4<sup>83</sup><sub>-4.6</sub> | 1.3<sup>5.5</sup><sub>-4.6</sub> | −0.7<sup>3.4</sup><sub>-6.7</sub> | 5.0<sup>12.5</sup><sub>-2.8</sub> | 5.2<sup>14.0</sup><sub>-6.3</sub> | 5.3<sup>12.1</sup><sub>-10.4</sub> |
| | N | 5.6<sup>14.6</sup><sub>-4.5</sub> | 3.6<sup>15.9</sup><sub>-8.9</sub> | −3.6<sup>5.7</sup><sub>-11.1</sub> | −0.9<sup>7.3</sup><sub>-4.9</sub> | −3.6<sup>6.8</sup><sub>-10.8</sub> | −5.4<sup>5.1</sup><sub>-13.2</sub> |
| TIEGCM | D | −5.3<sup>21.0</sup><sub>-12.1</sub> | −4.6<sup>7.0</sup><sub>-12.8</sub> | −7.1<sup>7.0</sup><sub>-15.0</sub> | 6.4<sup>14.5</sup><sub>-0.1</sub> | 6.6<sup>15.2</sup><sub>-1.2</sub> | 7.0<sup>14.3</sup><sub>-5.9</sub> |
| | N | 3.4<sup>17.8</sup><sub>-10.9</sub> | 1.1<sup>14.2</sup><sub>-8.2</sub> | −5.2<sup>9.6</sup><sub>-10.4</sub> | 5.3<sup>11.0</sup><sub>-2.1</sub> | 2.3<sup>11.4</sup><sub>-1.3</sub> | 0.5<sup>9.4</sup><sub>-5.9</sub> |
| FLIP | D | 3.7<sup>57.7</sup><sub>-0.8</sub> | 5.1<sup>11.6</sup><sub>0.0</sub> | 1.0<sup>6.5</sup><sub>-2.5</sub> | 5.0<sup>11.5</sup><sub>-2.3</sub> | 5.3<sup>12.9</sup><sub>-5.5</sub> | 5.7<sup>11.7</sup><sub>-10.0</sub> |
| | N | 18.4<sup>27.6</sup><sub>4.8</sub> | 14.6<sup>23.4</sup><sub>4.6</sub> | 5.5<sup>4.8</sup><sub>-0.9</sub> | 0.8<sup>2.2</sup><sub>-4.3</sub> | −1.5<sup>8.7</sup><sub>-10.4</sub> | −3.4<sup>6.9</sup><sub>-12.7</sub> |
| CTIP | D | 25.6<sup>43.5</sup><sub>-73.0</sub> | 26.7<sup>35.7</sup><sub>16.4</sub> | 22.4<sup>28.7</sup><sub>13.9</sub> | 6.0<sup>1.9</sup><sub>1.0</sub> | 6.5<sup>13.3</sup><sub>1.1</sub> | 6.3<sup>11.8</sup><sub>-3.3</sub> |
| | N | 53.5<sup>72.0</sup><sub>26.9</sub> | 49.4<sup>47.5</sup><sub>25.4</sub> | 36.7<sup>66.4</sup><sub>8.5</sub> | −0.6<sup>7.1</sup><sub>-6.4</sub> | −2.5<sup>7.9</sup><sub>-9.2</sub> | −4.6<sup>5.4</sup><sub>-8.5</sub> |
The largest-font numerical entry represents the accuracy of the model fit averaged over the full daytime (or nighttime) period, while the smaller-font numerical entries (super- and subscripted) represent the extrema of the hourly accuracies during that same period. (We note that the same best-fit run of each model prevailed from data-report-period to data-report-period. As a consequence, the 2nd and 3rd reporting periods tested the accuracy of the model predictions developed during the previous 12-hr data-ingest and model-fit period.)
Table 1 shows that during daytime periods the IRI consistently provided the best accuracies in both f₃F₂ and h₃F₂; while at night, best-fit honors in f₃F₂ were generally shared by the IRI and the TIEGCM, with differences generally not in excess of 2 percent. In terms of nighttime values for h₃F₂ all model accuracies tended to be comparable, with the IRI and FLIP models the leaders. (We note that slight differences in their respective h₃F₂ accuracies [remembering that FLIP uses IRI specifications for h₃F₂] are a result of differences in selecting the sunspot numbers that initiated the IRI.) In the realtime operations, the IRI was the model selected as "best-of-the-best" as a result of its overall day/night and f₃F₂/h₃F₂ accuracies.
Discussed thus far have only been the accuracies relative to NₐF₃ and h₃F₂ as measured by the ionosondes. The ultimate TSS-1R test involved the along-track Nₐ accuracy at the orbiter and/or the tethered subsatellite. Plate 2 provides a measure of this accuracy for the subsatellite during orbit 4 (which involved the tether break), with each of the models' along-track model predictions compared against an "in situ" density measurement by a Langmuir probe that was part of the RETE (Research on Electrodynamic Tether Effects) instrument complement (Dobrowolny et al., 1994). (The discontinuities in the RETE results stem from attempts to correct for known periods involving sheath-effect perturbations and/or to delete data collected during periods of perturbed satellite potentials [G. Vannaroni and J.-P. Lebreton, private communication]).
With reference to Plate 2 we offer the following observations: 1) all models show the qualitative feature of the Appleton Anomaly (i.e., the double peaks in the time frame between 30 and 65 minutes after 57/00:48) but all differ in the intensity and location of the peaks; and 2) qualitatively and quantitatively, the along-track RETE data agree better with the IRI and CTIP results between 10 and 25 minutes (after 57/00:49) and again between 33 and 40 minutes (after 57/00:48), while there is better agreement between RETE data and the TIEGCM results in the period between 25 and 32 minutes (after 57/00:48). This latter period encompasses the late afternoon ionospheric domain with cooling temperatures and descending values for h₃F₂.
Plate 2 also reveals a broad range of model predictions, (with, for example, CTIP and TIEGCM differing by nearly an order of magnitude) a result that might be considered unexpected given the prevailing low-solar and low-to-moderate geomagnetic activities. However, at low latitudes ionospheric densities are particularly sensitive to electric fields (yet to be accurately modeled) with variability driven by the E and F region dynamo winds. (There may also be magnetospherically-imposed fields during storms, but such was not the case in this period.) Other issues involve the controls of the topside and bottomside gradients, which tend to dominate the domain of Nₐ sampling in Plate 2, a topic discussed in the following section. (In the version of CTIP used here, an equatorial zonal electric field for moderately-high solar activity was employed. This turned out to be unrealistically high for the prevailing conditions, and accounts for some of the large differences in the models. We also note that recent work on TIEGCM by Crowley and Fesen (pvt. comm., 1997) appears to provide significant improvements in low-latitude dynamo effects.)
4. Comments and Conclusions
Based on daytime and nighttime averages (Table 1), the optimized model fits to the database and subsequent predictions of F₃-region heights and densities were very good, with the "best-of-the-best" yielding averaged f₃F₂ and h₃F₂ accuracies generally better than 5%. (We note, however, that typical non-averaged hourly extrema of the "best-of-the-best" model extended to values near ±15%). Much of this goodness-of-fit is due to the fact that overall conditions were predominantly quiet-to-moderately disturbed (i.e. 0 ≤ kp ≤ 3 for the majority of the reporting periods) conditions under which models are expected to perform optimally. Other factors contributing to the overall goodness-of-fit deal with the averaging process itself, which provided more of a climatological perspective (again, a framework in which models are expected to perform optimally). The combination of these circumstances provided an environment in which the IRI would be expected to perform especially well. It is an empirically-based model which represents the sum total of all cause-effect relationships as manifested by nature itself. In the case of the first-principle models, the cause-effect terms are at the root of the individual approaches and a number of controlling forces upon which the models are based are still under investigation (see e.g., Szuszczewicz, 1995; and Szuszczewicz et al., 1996).
In comparing the along-track Nₐ measurements with model predictions (Plate 2), we find the results in sharp contrast with the Table 1 comparisons discussed in the previous paragraph. The difference is traceable to several issues, including relative abilities to model climatologies (i.e., averaged behaviors) versus abilities to model weather (i.e., day-to-day and hour-to-hour variability). Other issues involve, on the one hand, the comparison of densities at the
F-peak (i.e., Table 1), where a great deal of data have been available for model development studies. On the other hand, there is the comparison with densities at a fixed altitude (i.e., Plate 2) which cuts across the F-peak and involves bottomside and topside gradients where little data have been available and few model development studies have been carried out. The results are rather sobering: differences are now almost an order of magnitude different between CTIP and TIEGCM predictions, and differences as large as 140% between the IRI and RETE values for N_e (see, e.g., Fig. 2 near 28 minutes after 48:00). This reflects the difficulty of properly and self-consistently modeling the controlling forces, with those on the topside being primarily electric fields, diffusion, and plasmaspheric fluxes, while those on the bottomside are electric fields, winds, and chemistry. These forces are fundamental to all ionospheric-physics, but electric fields are especially critical at low-to-equatorial latitudes. It is the electric fields that are the primary agent for the development of the Appleton Anomaly, with winds playing a secondary role. Within this context we note that overall agreement is best among the data sets in the FLIP and IRI predictions, because those models effectively include the prevailing electric fields through their empirical specification of N_F. (We note that the fine structure and occasional discontinuities in the FLIP results in Plate 2 are related to the fact that the model solution is carried out along separate flux tubes, each with its own unique set of conditions, and the fact that the plot requires interpolation onto the continuous orbital track between locations of flux tube solutions.)
In general, it is understood that day-to-day and hour-to-hour variability is traceable to variations in atmospheric gravity waves, tidal controls, high latitude inputs, and solar EUV fluxes. These drive the winds, thermospheric densities, temperatures, and electric fields - all of which control chemistry, diffusion, and transport - and ultimately the electron density. A recent study [Suszczewicz et al. 1996] has shown that the modeling of these forces is not well in hand, with specific issues addressing the accuracy in meteorological perspectives of thermospheric winds, winds, and thermospheric fluxes, electric fields. Clearly, more work is necessary on the fundamental controls of the ionosphere and on data-model comparisons in order to better understand the physics and develop a more accurate space weather predictive capability.
Plans for follow-up activities include detailed views on regional and local station results, with emphasis on model accuracies within large-scale phenomenological domains (e.g., the Appleton Anomaly, the sunrise/sunset terminator, etc.). Attention will also be directed at model-specific assumptions and the density gradients above and below the F_2 peak, since these greatly influence the degree to which models and data agree.
Acknowledgment. The SAIC activity was supported by NASA under contract NAS8-36811. Thanks are extended to the institutions throughout the world which support ionosonde operations. Thanks are also extended to NSF for supporting the modeling efforts of G. Crowley under grant ATM-9696234.
References
Berchem, J., J. Raeder, P.J. Walker, and M. Asfour-Abdalla, Interactive visualization of numerical simulation results: A tool for mission planning and data analysis in Visualization Techniques in Space and Atmospheric Science, E.P. Szuszczewicz and J. Brodeur, Eds., NASA SP-519, National Aeronautics and Space Administration, Washington, D.C. 1993.
Dudokovskiy, M.L., R. Melchiori, U. Guidoni, L. Iess, M. Maggi, R. Orfe, Y. de Conchy, C.C. Harvey, R.M. Manning, F. Wouters, J.-P. Lebreton, S. Echolm, and A. Butler, The RETE experiment for the TSS-1 mission, Nuovo Cimento, 17, 101-121, 1994.
Dobrowolny, M., and N.H. Stone, A technical overview of TSS-1: the first telecommunication satellite system mission, Nuovo Cimento, 17, 1-12, 1994.
Doherty, J.R., The accuracy of simple methods for determining the height of the maximum electron concentration of the F2-layer from scaled ionospheric characteristics, J. Atmos. Terr. Phys., 45, 629, 1983.
Fuller-Rowell, T.J., M.V. Codreanu, R.J. Moffett, and S. Quegan, Response of the thermosphere and ionosphere to geomagnetic storms, J. Geophys. Res., 92, 3983-3914, 1987.
Kamide, Y., R.L. McPherron, W.D. Gonzalez, D.C. Hamilton, H.S. Hudson, J.A. Joselyn, S.W. Kohler, L.K. Lyons, H. Lundstedi, and E. Szuszczewicz, Magnetic Storms, in Proceedings of the Chapman Conference on Magnetic Storms, T. Tsurutani, W.B. Gonzalez, Y. Kamide and J.K. Arballo, eds., IPL Pasadena, CA, AGU Monograph (1997, in press).
Klobuchar, J.A., D.N. Anderson, and P.H. Doherty, Model studies of the latitudinal extent of the equatorial anomaly during equinoctial conditions, Rad. Science, 26, 1025-1047, 1991.
Richardson, P.G., D.G. Torr, M.J. Burleson, and D.P. Sipior, Ionospheric effects of the solar wind-magnetosphere interaction: comparison of theory and measurement, J. Geophys. Res., 99, 23,359-23,365, 1994.
Richmond, A.D., Ridley, E.C., and Roble, R.G., A thermosphere/ionosphere general circulation model with coupled electrodynamics, Geophys. Res. Lett., 19, 691-694, 1992.
Schunk, R.W., and E.P. Szuszczewicz, First principle and empirical modeling of the global-scale ionosphere, Ann. Geophys., 6, 19, 1988.
Stone, N., and C. Bonafazi, The TSS-1R mission: Overview and scientific context, Geophys. Res. Lett., (1997, this issue).
Szuszczewicz, E.P., Advances in ionospheric physics: roles, relevance and future directions, in Space Weather and Ionospheric Effects, U.S. Natl. Rep. to IUGG 1991-1994, Reviews of Geophysics, Supplement, 721-728, 1995.
Szuszczewicz, E.P., D. Torr, P. Wilkinson, P. Richards, R. Roble, B. Emery, G. Lu, M. Abdu, D. Evans, R. Hanababa, K. Igarashi, P. Jiao, M. Lester, S. Pulinetis, B.M. Reddy, F. Blanchard, K. Miller, J. Joselyn, F region climate modeling during the SUNDIAL/ATLAS 1 campaign of March 1992: Model-measurement comparisons and cause-effect relationships, J. Geophys. Res., 101, 26,741-26,758, 1996.
M. Abdu, Instituto Nacional de Pesquisas Espaciais, Sao Paulo, Brazil.
P. Blanchard, Centre National d'Etudes Spatiales, Aerospatiales International Corporation, 1710 Goodridge Drive, P.O. Box 1303, McLean, VA 22102.
T. Bullert, Phillips Lab, Hanscom AFB, Massachusetts.
G. Crowley, Southwest Research Institute, San Antonio, Texas.
T. Fuller-Rowell, National Oceanic and Atmospheric Administration, Boulder, Colorado.
R. Hanababa, France Telecom/CNET, Lannion, France
J.P. Lebreton, Space Science Department, ESA/ESTEC, Nordwijk, The Netherlands.
M. Lester and M. Wild, University of Leicester, Leicester, United Kingdom.
B.M. Reddy, Rutherford Appleton Lab, Oxon, United Kingdom.
G. Milanez, National Oceanic and Atmospheric Administration, Boulder, Colorado.
S. Pulinetis, IZMIRAN, Moscow Region, Russia.
B.M. Reddy, National Geophysical Research Institute, Hyderabad, India.
P. Richards, University of Alabama, Huntsville, Alabama.
I. Sluszkiewska, Space Research Center, Warsaw, Poland.
G. Vannarotti, Instituto di Fisica dello Spazio Interplanetario, Frascati, Italy.
P. Wilkinson, IPS Radio & Space Services, West Chatswood, Australia.
B. Zotes, Istituto Nazionale di Geofisica, Italy.
(Received January 15, 1997; revised October 27, 1997; accepted October 30, 1997)
|
East 7th Street Peninsula Study
July 2019
Wilmington Initiatives
City of the City of Wilmington
DELAWARE
DelDOT
Wilmapco
Wilmington Area Planning Council
Century Engineering, Inc.
56 W. Main Street Suite 100A Newark, DE 19702
RESOLUTION
BY THE WILMINGTON AREA PLANNING COUNCIL (WILMAPCO)
ENDORSING THE EAST 7TH STREET PENINSULA STUDY
WHEREAS, the Wilmington Area Planning Council (WILMAPCO) has been designated the Metropolitan Planning Organization (MPO) for New Castle County, Delaware and Cecil County, Maryland by the Governors of Delaware and Maryland, respectively; and
WHEREAS, the WILMAPCO Council recognizes that comprehensive planning for future land use, transportation, sustainable economic development, environmental protection and enhancement, and community health and livability are necessary actions to implement the goals and objectives in the 2050 Regional Transportation Plan (RTP); and
WHEREAS, the City of Wilmington submitted a Unified Planning Work Program (UPWP) request for WILMAPCO to assist the City in developing a comprehensive plan that identifies necessary improvements to the street network and stormwater infrastructure of the East 7th Street Peninsula in order to support the existing businesses and cultural resources while providing a more walkable and bikeable community asset; and
WHEREAS, the Study assessed the peninsula’s existing street network, stormwater management facilities and topography to determine the most flood-prone areas of the transportation network; and
WHEREAS, the Study employed continuous and thorough public engagement with the community and stakeholders throughout the planning process, including three public workshops, to determine the needs of existing cultural institutions and the community’s desire for recreational amenities; and
WHEREAS, the Study puts forth a concept with a menu of improvements and utilized a workshop to develop prioritized recommendations that will improve the safety, connectivity, and access to the East 7th Street Peninsula; and
WHEREAS, the Mayor’s Office and City Council’s Public Works & Transportation Committee have supported the East 7th Street Peninsula Study;
NOW, THEREFORE, BE IT RESOLVED that the Wilmington Area Planning Council does hereby endorse the final report and recommendations of the East 7th Street Peninsula Study.
July 11, 2019
John Sisson, Chairperson
Wilmington Area Planning Council
# Table of Contents
Location Map ........................................................................................................... 2
Executive Summary ................................................................................................. 3
Project Need ............................................................................................................. 5
Project Description and Purpose .............................................................................. 5
Existing Conditions .................................................................................................... 7
- Traffic Analysis ....................................................................................................... 7
- Flooding Concerns .................................................................................................. 11
- Land Uses ............................................................................................................... 12
Meeting Summaries .................................................................................................. 15
Proposed Concept .................................................................................................... 17
Proposed Improvements ............................................................................................ 18
Flooding and Stormwater Management Improvements ........................................ 18
Transportation Improvements .................................................................................... 20
Recreational Amenities and Improvements ............................................................. 23
Cost Estimates and Phasing ..................................................................................... 23
Related Studies ......................................................................................................... 26
Next Steps ................................................................................................................ 28
Assumptions and Limiting Conditions ....................................................................... 28
Concept Plan ............................................................................................................. 28
Appendix A
Appendix B
Appendix C
Location Map
Study Area
Executive Summary
To protect the development potential of the East 7th Street Peninsula, WILMAPCO, in conjunction with Wilmington Initiatives, the City of Wilmington and DelDOT have identified several issues of concern that need to be remedied to secure the Peninsula’s future. These current issues include flooding, both tidal and stormwater, lack of accessibility, poor traffic circulation, lack of pedestrian/bicycle/multi-modal facilities, missing recreational uses, and limited current land uses. In an effort to examine the current issues and determine resolutions, the City submitted a request to WILMAPCO for a Unified Planning Work Program (UPWP) Study for a Roadway Improvements and Development Analysis for the Peninsula to address these topics to protect current businesses and future growth potential.
The 115-acre East 7th Street Peninsula is located at the confluence of the Christina River and Brandywine Creek, east of the Amtrak Viaduct. The study area also includes an area southwest of the Peninsula along Swedes Landing Road to East 4th Street and the area west of the Viaduct to Church Street between East 4th Street and East 8th Street in the East Side neighborhood section of the City.
There are several community resources located within the study area including: the Henderson Museum and Holy Trinity Church, also known as Old Swedes Church, which dates to the late 1600s; Fort Christina Park, which is included with Old Swedes Church in the First State National Park; the Kalmar Nyckel Shipyard and Museum; and Babiarz Park, which includes the East 7th Street Skate Spot, a City approved “do-it-yourself” skate park.
Given its location, limited access to and from the Peninsula is an issue. Additionally, flooding is a primary concern. Both of these issues have limited growth potential at the Peninsula and have the potential to limit future investment unless they are adequately addressed. These key issues, along with preserving and protecting cultural resources, enhancing and preserving the adjacent stakeholder community, and protecting the future growth potential of the East 7th Street Peninsula are the guiding forces driving this study. It is therefore essential that improvements to address stormwater and flooding, land use and the transportation network are fully evaluated and recommendations for improvements are identified. Due to its low elevation, the Peninsula falls within the 100- and 500-year floodplains and will be impacted by future sea-level rise and other climate-change issues.
Potential solutions suggested in this study vary in cost from low-to-high, short-term to long-term implementation, and those that can be implemented by public agencies or private property owners. Some solutions may be eligible for special funding or grants.
Flooding and stormwater management options include priority action items that can begin immediately in order to maintain or provide safe access, protect property, and serve as catalysts to future improvements.
Short-term action items are items that should begin within 1-2 years and should be completed within 5-years. Short-term action items can be considered the initial building blocks to a more resilient Peninsula.
Long-term action items are items that should be accomplished in conjunction with development and maturation of the Peninsula. These items should be considered essential to the long-term resiliency on the Peninsula but are more dependent on the action and concurrence of individual lot owners. Many of these items may require financial assistance to individual lot owners from either FEMA, the State of Delaware, or the Clean Water State Revolving Fund.
Various transportation improvements are proposed for the Peninsula to improve connectivity to adjacent neighborhoods, as well as, inter-connectivity within the Peninsula. These improvements include network improvements, intersection improvements, pedestrian and bicycle accommodations, streetscapes, and pedestrian lighting.
Cost Estimates were prepared for the proposed solutions for the Peninsula and include the following:
**Immediate**
- Tide Gates and minor drainage/pipe improvements - $2.1 Million
- Clean out existing pipe system and video inspect for issues – No additional cost anticipated as this can be added to the City’s annual maintenance program
**Short-Term**
- Detailed Master Plan for Stormwater Management (Design, and Implement) - $350,000
- Install new tide gates (4) - $100,000
- Install stormwater management pond - $1.65 Million
**Long-Term**
- Phase 1 – East 7th Street Improvements - $6.4 Million
- Phase 2 – East 4th/ Swedes Landing Road Intersection - $3 Million
- Phase 3 – East 8th Street Improvements - $4 Million
- Phase 4 – Streetscapes - $1 Million per block
Project Need
WILMAPCO, in coordination with Wilmington Initiatives, the City of Wilmington and DelDOT, identified the East 7th Street Peninsula in Wilmington, DE as an area of the City in need of improvements to protect the development potential of the Peninsula. The City submitted a request to WILMAPCO for a Unified Planning Work Program (UPWP) study for a Roadway Improvements and Development Program for the Peninsula to address concerns to protect current businesses and future development.
The purpose of this study is to analyze the current conditions on the Peninsula related to roadway deficiencies, access issues, and flooding concerns to determine the feasibility and effectiveness of recommended improvements to enhance development potential for this part of Wilmington. WILMAPCO and their partners determined that concerns at the Peninsula include: flooding, both tidal and stormwater, lack of accessibility, poor traffic circulation, lack of pedestrian/bicycle/multimodal facilities, missing recreational uses, and limited current land uses. The project need is consistent with the vision for the area as described in *Wilmington 2028 A Comprehensive Plan for Our City and Communities* (*Wilmington 2028*). *Wilmington 2028* has identified the East 7th Street Peninsula as an “Economic Opportunities” area, and identifies the Peninsula as having the potential for a “Robust Local Economy.” Further, *Wilmington 2028* identifies 7th Street as an important east-west connector in the City and encourages “…investment in 7th Street.”
In addition to WILMAPCO and their partners, extensive coordination with project stakeholders, as well as the community at large, occurred throughout the course of this study. Coordination with several key agencies was also initiated including, the Department of Natural Resources and Environmental Control (DNREC), Delaware Area Rapid Transit (DART), and the Federal Highway Administration (FHWA). The Meeting Summaries section of this report provides a description and details on much of this coordination.
Project Description and Purpose
The primary purpose of this study is to examine initiatives to preserve and protect cultural resources, enhance and preserve the adjacent stakeholder community, and protect the future growth potential of the East 7th Street Peninsula. This will be accomplished through the recommendation of a series of modifications to stormwater management, land-use, and transportation network operations while mitigating flood impacts, enhancing recreational amenities and preserving the culturally and historically significant landmarks on the Peninsula.
The study began with a data gathering phase. Data was gathered from a variety of sources including desktop reviews of environmental and hydrologic data. Unmanned Aerial Photography (UAS) was used to document the Peninsula and gather existing photography. Field visits were used to explore the Peninsula on ground level as well. A Visioning Workshop, open to the public, was held to gather information and determine issues or concerns of the local
community. Attendance at Wilmington Initiatives Meetings, as well as, East 7th Street Coalition Meetings also helped gather and report data.
The existing data was analyzed, and alternatives were formalized into a Peninsula-wide Master Plan to determine potential recommendations to the concerns and issues of the Peninsula Stakeholders. These solutions were presented to the community in a second public workshop for feedback and discussion. Comments and feedback from this public workshop were incorporated into the Master Plan. The Master Plan elements were prioritized into various phases based on observed needs, with input from the community from the three public workshops. Conceptual cost estimates were prepared for each phase. The Revised Master Plan with conceptual estimates and a suggested prioritization were presented to the stakeholders at a third public workshop. Workshop summaries can be found in Appendix C.
The Master Plan was presented to the stakeholders using a series of Concept Plans, renderings, and displays to explain the topics or concerns regarding the Peninsula and their suggested solutions. The Concept Plan addresses the concerns related to flooding, environmental issues, land use and zoning, recreational amenities, the transportation network, and accessibility.
This Master Plan was developed as a Planning and Environmental Linkages (PEL) study. PEL studies are a collaborative and integrated approach to transportation decision-making that consider environmental, community and economic issues early in the planning process. This information and analyses can then be utilized to inform the National Environmental Policy Act (NEPA) review process. PEL studies are an FHWA initiative used to help make better-informed project-level decisions and to shorten project delivery time, and they follow provisions set forth in 23 U.S.C. 168(b)(1)(A) and associated regulations under 23 CFR 450.212(d) and 450.313(e). A PEL checklist is included in Appendix A.
Existing Conditions
Located at the confluence of the Christina River and Brandywine Creek, the Peninsula encompasses approximately 115 acres west of the Amtrak Viaduct. The WILMAPCO East 7th Street Peninsula Study also includes the area south of the Peninsula along Swedes Landing Road to 4th Street and the area west of the Viaduct to Church Street between 4th Street and 8th Street.
Traffic Analysis
The East 7th Street Peninsula is somewhat isolated. The Amtrak Viaduct on the west side of the Peninsula limits accessibility to the Peninsula from the East Side Neighborhood. Currently only two roadways, East 7th Street and Swedes Landing Road, from the 4th Street corridor, provide access to the Peninsula. East 7th Street between the AMTRAK Viaduct and N. Buttonwood Street is two lanes with one lane in each direction. At N. Buttonwood Street vehicles traveling westbound, out of the Peninsula itself, are required to turn right onto N. Buttonwood Street as East 7th Street becomes an eastbound one-way street allowing travel toward the Peninsula only. N. Buttonwood Street and the adjacent roads are laid out in a grid typical of many urban transportation networks. Turning radii are typically not suited for large trucks, and the land use is mostly residential.
Traffic counts were performed at seven (7) intersections, which included:
- Swedes Landing Road and East 4th Street
- S Heald Street and Christiana Avenue
- E 4th Street and N Church Street
- E 4th Street and Spruce Street
- E 7th Street and Spruce Street
- E 7th Street and N Church Street
- E 7th Street and Swedes Landing Road
The operational analysis was completed utilizing Synchro to model a “multiple intersection network” including the following intersections:
- DE 9 / E 4th Street at Swedes Landing Road
- Swedes Landing Road at E 7th Street
- DE 9 / E 4th Street at Christiana Avenue (Signal Permit N691T)
- DE 9 / E 4th Street at US 13 / N Church Street (Signal Permit N690T)
- DE 9 / E 4th Street at N Spruce Street (Signal Permit N689T)
- N Spruce Street at E 7th Street
The operational analysis was reported with HCM 6th Edition methodologies to obtain Level of Service (LOS), delay, and queuing. The intersections of E 4th Street at Swedes Landing Road and E 4th Street and Christiana Avenue were reported with HCM 2010 edition methodologies due to combined lane movements. The difference between the HCM 6th edition and the HCM 2010
edition are not significant. The input values for the 2018 existing conditions included utilizing turning movement count data collected on Thursday, May 31st, 2018 by The Traffic Group and provided by WILMAPCO. For the signalized intersection standard signal timing cycle lengths with signal timing optimization was utilized for the preliminary operational analyses.
The focus of the preliminary traffic analysis was the intersection of E 4th Street at Swedes Landing Road, as this is the only intersection within the modeled network for which the intersection control and the movements at the intersection were altered in the proposed scenario. With that noted, the other five (5) intersections within the model network operated at an acceptable LOS C or better for both the AM and PM peak hour periods, including the addition of the modifications being made to the intersection of E 4th Street and Swedes Landing Road. The results determined a majority of approaches would operate with an LOS A or LOS B. The one exception to this was the intersection of E 4th Street and Spruce Street for the AM Peak Period for the scenario that included the signalization of E 4th Street and Swedes Landing Road, for which the southbound N Spruce Street approach was reflected to operate at a LOS D. This should be confirmed using the actual City of Wilmington Synchro timing, in a later design phase.
At the intersection of E 4th Street at Swedes Landing Road, it was determined that for the AM and PM peak hour conditions with the restriction of left-turns from Swedes Landing Road and the approach operating under stop-control conditions, the approach is reflected to operate at a LOS B and a low delay of 11.7s for the AM peak hour and a LOS B with a low delay of 10.4s for the PM peak hour. When the intersection operations were analyzed with allowing the left-turn movement from Swedes Landing Road, the approach LOS remained a LOS B for both the AM and PM peak hours with the delay increasing slightly to 14.0s and 11.2s respectively. In additional to the Swedes Landing approach, the E 4th Street southbound left-turn movement was reflected to operate with an LOS A and a delay of 9.9s during the AM peak hour and 8.6s during the PM peak, for both stop-control condition scenarios (i.e. with and without the Swedes Landing left-turn movement restricted).
When completing the operational analyses for the signal control condition at the intersection of E 4th Street and Swedes Landing Road, there is a decline in LOS and increase in delay. This is intuitive for the E 4th Street approaches as they were previously free movements. Although, the Swedes Landing Road approach LOS declines to a LOS C for both the AM and PM peak hours with a delay of 22.5s and 26.3s respectively. Furthermore, the E 4th Street left-turn movement is also reflected to operate a lower LOS D during the AM and the PM peak hours with a higher delay of 38.8s and 36.4s respectively. As for the overall intersection, under the stop-controlled condition the intersection delay was reflected to be under 1.0s for both peak hours and both scenarios (LOS A), while the intersection delay under signal control is 19.5s and 11.4s for the AM and PM peak hours (LOS B).
Field observations were completed on the existing roadway network within the study area. Swedes Landing Road is a two-lane road in fair to good condition with sidewalks on both sides. There is a traffic light at a gated entrance to Noramco with pedestrian crosswalks. The traffic light was at one time in operation and began having operational issues. Noramco coordinated with the City of Wilmington, who put the traffic signal on flashing. Currently, the traffic signal is not in operation. Staff members of Noramco use this crossing to reach the other side of the Noramco plant. Traffic calming is something Noramco would like to see addressed at this intersection.
On the Peninsula east of the AMTRAK Viaduct, there is a limited roadway network. There are three main roads on the Peninsula; East 7th Street, Wilmington Industrial Park, and East 8th Street. Each roadway on the Peninsula is a two-lane road with approximately 12’ wide lanes and no shoulders. The pavement on all three roadways is in fair to poor condition. East 7th Street has a double yellow stripe down the centerline that is worn and faded. East 8th Street and Wilmington Industrial Park do not have pavement markings. There are no pedestrian or bicycle accommodations on the three roadways, except for a sidewalk along the south side of East 7th Street from Swedes Landing Road to the Kalmar Nyckel property. East 7th Street services the length of the Peninsula.
Wilmington Industrial Park services the northeast limits of the Peninsula. East 8th Street services the northern portion of the Peninsula, but only connects to East 7th Street on the western end of the Peninsula via Claymont Street. East 8th Street ends at the eastern limit of the Peninsula with no connection to the other roadways. There are signs of flooding throughout the roadways. Ponding is very common and water marks left behind from ponding water are also very common throughout the Peninsula.
As property owners have modified or developed their parcels throughout the Peninsula those properties have been raised to avoid flooding. Overall this has left the roadways much lower in elevation than the surrounding ground, causing flooding and ponding of water.
The intersection of East 7th Street and Wilmington Industrial Park is the lowest point on the Peninsula. Water ponding is often visible at this intersection. The intersection is a multi-legged intersection with a center grass median that causes driver confusion. The streets join together in
a configuration that forms an “A.” In addition, there is an entrance to a private property at this intersection.
The intersection of Swedes Landing Road and East 4th Street is an unsignalized intersection that allows all vehicular movements except left turns from Swedes Landing Road onto East 4th Street. These left turns would provide a direct route to access Interstate 495, allowing vehicles to leave the Peninsula without traveling through the City grid transportation network.
**Flooding Concerns**
In addition to limited accessibility, flooding is an issue on the Peninsula. Flooding occurs in many situations such as after significant weather events or during high tide in any weather condition. Community members have observed that water has risen over the Peninsula perimeter in the area of the Kalmar Nyckel. The community noted that there are a few days every year when post weather event flooding prevent them from reaching their destination on the Peninsula. During these events flooding is measured from 12-inches of standing water and higher. Standing water is often observed along the edges of the roadway on the Peninsula even during dry periods not following weather events, as a result of tidal events. Limited access and flooding limit the East 7th Street Peninsula from reaching its full potential. Improvements to the stormwater management system and roadway network to, from and within the Peninsula, including accessibility, circulation and multimodal connectivity are being evaluated in this study. **Appendix B** provides a detailed description of the environmental concerns related to flooding, on the East 7th Street Peninsula, as well as, proposed infrastructure improvements, recommendations, and immediate, short-term and long-term action items.
*Photo of the submerged intersection of East 7th Street and Industrial Avenue*
The area in dark blue in Figure 1 is the area of the Peninsula that experiences the heaviest flooding on a continual basis. This map is consistent with the information gathered at the Visioning Workshop.
**Figure 1: East 7th Street Peninsula Flooding Areas**
**Land Uses**
Zoning separates land uses into permissible zones that are regulated for uniformity. Current zoning, shown on Figure 2 on the East 7th Street Peninsula is comprised of the following codes: W-2 Commercial/Manufacturing; W-3 Low Intensity Manufacturing/Commercial Recreation; W-4 Residential Commercial; and O Open Space (Fort Christina National Park and Mayor John E. Babiarz Park).
**Figure 2: East 7th Street Peninsula Zoning Map**
Currently DART does not provide service to the Peninsula, however DART Route 9 provides service across Brandywine Creek on 12th Street, DART Route 15 passes by the Peninsula on 4th Street, and DART Route 8 passes by the Peninsula on 4th Street and Church Street between 4th and 8th Streets. As development of the East 7th Street Peninsula grows and the demand for transit service increases, the potential for transit service on the Peninsula will be reevaluated. Any proposed transit service to, from and/or on the East 7th Street Peninsula will be closely coordinated with DART.
The East Side Neighborhood of Wilmington forms the western boarder of the study area. Originally a Swedish settlement, the East Side Neighborhood has evolved through the many years of its history. Today, the area is experiencing redevelopment and includes residences, restaurants and other amenities.
The study area also includes the Henderson Museum and Holy Trinity Church, also known as Old Swedes Church. Located at East 7th Street and North Church Street, the Church is a designated National Historical Landmark and dates back to the late 1600s. Old Swedes Church is considered one of the few remaining examples of Swedish Colonial architecture in the area.
Located along East 7th Street, just east of Swedes Landing Road, and bordered by the Christina River to the south, Fort Christina was the site of the first Swedish settlements in North America. Built in 1638 and named after Queen Christina of Sweden, today the site is the location of Fort Christina National Park. Old Swedes Church and Fort Christina are included in the First State National Historical Park, which is comprised of seven sites across the State and is Delaware’s only National Park.
The East 7th Street Peninsula was the landing spot for the Kalmar Nyckel ship which brought the first Swedish settlers to the area. The Peninsula celebrates this history with the Kalmar Nyckel Shipyard and Museum which maintains a replica of the ship on-site, as well as many other historical artifacts, and documents Swedish settlement and history of the area.
Recreational amenities on the Peninsula include a skate park located at the eastern end of the Peninsula within Babiarz Park. Known as the 7th Street Skate Spot, it is a City approved, “do-it-yourself” skate park built and run by the Wilmington Skate Project.
Kinetic Skateboarding and local skaters. The skate park is very popular with local skaters. The skating community maintains the skate park themselves, as well.
Trees on the peninsula are a mix of native and non-native species that likely grew after the closure of the Wilmington Landfill. Several mature stands of trees exist along the southern edge of the peninsula. Currently these trees appear in good health but may show signs of stress in the future due to impacts from Sea Level Rise, erosion, and increasing salinity levels.
Potential wetlands can be found along the entire perimeter of the Peninsula, as well as, in some of the forested areas as shown in Figure 3. Future improvements to the Peninsula will require more in-depth wetland studies and potential mitigation measures. Coordination with the Army Corps of Engineers (ACOE) and DNREC will occur throughout the wetland identification, impacts and if necessary, mitigation efforts.
Hazardous materials/waste analyses are not within the scope of this study. As private development occurs on the Peninsula it will be incumbent on the individual property owners to have their properties cleared and/or undertake necessary mitigation efforts. Road improvements that proceed to future phases will also require hazardous materials/waste analyses with potential mitigation. These analyses are typically conducted by DelDOT for state highway projects, as well as, other improvements conducted on state owned lands. For City funded projects, the analyses and mitigations would fall under the purview of the City.
During public workshops, trash and debris on the Peninsula were concerns of the stakeholders. Trash and debris were observed during site visits, mostly in areas that were not immediately adjacent to occupied buildings. Some trash and debris could be traced back to the following sources:
- Open dumpsters in close vicinity
- Users who park on the peninsula during lunch break and throw trash out of their window
- Blown litter from trash receptacles and from sources beyond the peninsula
- Construction/demolition debris associated with specific sites
**Meeting Summaries**
This study was conducted with the Wilmington Initiatives Partners (City of Wilmington Departments of Planning, Public Works, Economic Development and the Mayor’s Office) acting as the management committee, assisting in decision-making and administrative issues. Active
participation from area stakeholders was encouraged, and the project team met with the East 7th Street Peninsula Coalition several times over the course of the study. This group is made up of state and local institutions, agencies and groups related to Old Swedes Church, Fort Christina and the Kalmar Nyckel Foundation with a focus on promoting the Peninsula as a cultural and recreational area, and creating better connections with the Eastside neighborhood and City residents. The project team also met with businesses and property owners on the peninsula to ensure that we were hearing from all local stakeholders, and these groups and local residents were invited to three public workshops to ensure inclusion through our public outreach process. A more detailed description of the public outreach process can be found in Appendix C.
On May 16, 2018 Century presented the project team and our approach to the study to Wilmington Initiatives. Materials for discussion at the June 20, 2018 public workshop held by Wilmington Initiatives and the June 26, 2018 public “visioning” workshop were discussed for approval.
On June 20, 2018 Wilmington Initiatives held a city-wide consortium on current and future projects. Century attended to present the East 7th Street Peninsula study and to gather feedback and data from the community in attendance. Feedback was generalized and included relief that Peninsula improvements were gaining traction in the City.
On June 26, 2018 WILMAPCO in conjunction with the project partners held the first public workshop. There were 49 people in attendance. Following the presentation, participants were invited and encouraged to attend a roundtable discussion on a variety of topics which included: Flooding, Environmental Constraints/Cultural Resources, Future of the Peninsula in the No-Build Scenario, Land Use/Zoning, Recreational Amenities, and Transportation Network. Participants were given 10 minutes to discuss each topic and then report back to the group their thoughts on each topic. Maps were used to gather feedback and collect data. Information such as issues and challenges relating to flooding, environmental concerns, preservation, protection, growth, amenities, recreation, education, and transportation network improvements were discussed with the local community to gather first-hand information and knowledge.
On August 15, 2018 Century presented a summary of the workshop materials, including feedback from the June 2018 public workshop to the Wilmington Initiatives Partners.
On September 19, 2018 Century presented a summary of workshop feedback from the June 26, 2018 public workshop to the East 7th Street Coalition at the Kalmar Nyckel Copeland Maritime Center.
On September 20, 2018 Century presented the results of the study analysis and possible solutions to Wilmington Initiatives.
On October 2, 2018 a meeting was held with Mayor Purzycki, Herb Inden (Director of Planning and Development), Brian Mitchell (Director of Transportation – Public Works), Tanya
Washington (Chief of Staff at Mayor’s Office at City of Wilmington), and representatives from Century Engineering. Topics that were covered include the future of the Peninsula and difficulties for the city to purchase properties for repair. One of the constraints in the improvement of the peninsula is requirements for deep piles. It was suggested by City representatives in the meeting that the number one priority should be raising the roads and improving the drainage.
At one time Noramco, a pharmaceutical company on the Peninsula, suggested closing Swedes Landing Road between East 7th and East 4th Street to expand their business. That suggestion has been abandoned as there was not enough property to expand as needed.
On **July 11, 2018** a meeting was held with the East 7th Street Coalition at the Kalmar Nyckel Copeland Maritime Center. Topics included finding ways to enhance visitor’s experiences when visiting the Peninsula. It was announced at the meeting that potentially William Penn Foundation has money for a grant and would like to be a sponsor of improvements on Peninsula.
Senator Harris McDowell III proposed for the Peninsula to be a tourist attraction and suggested there should be a second smaller ship along with the Kalmar Nyckel. This would enable the Peninsula to still have a ship docked when the Kalmar Nyckel is sailing off-site. There may be $150,000 secured in the near future for the second ship as well as a potential visitor center located near the Riverfront.
On **February 6th, 2019** the Wilmington Initiatives partners, including City of Wilmington, DelDOT and WILMAPCO, presented the draft Master Plan for the East 7th Street Peninsula to the public at the Kalmar Nyckel Copeland Maritime Center. The Master Plan addressed flooding, business access, resiliency, transportation, preservation of cultural resources, wayfinding signs, recreation and education opportunities, including a 50 foot waterfront buffer around the Peninsula to protect the shoreline. Proposed improvements include improved tide gates, shore protection and Riverwalk with rest areas. Some of the proposed transportation network improvement included a four-way signal on 4th Street, elevated roadways, open 8th Street Viaduct Connection to East Side Community, connectivity between 8th Street and Wilmington Industrial Park, and pedestrian lighting along all roadways.
On **May 15, 2019** Public Workshop information was presented to the East 7th Street Coalition at the Kalmar Nyckel Copeland Maritime Center. The stakeholders were briefed on a summary of the information that would be available at the Public Workshop being held on May 15, 2019. The Final Master Plan was presented as well as suggested phasing and costs.
Proposed Concept: Figure 9: East 7th Street Master Plan
LEGEND
- PROPOSED SIGNAL / INTERSECTION IMPROVEMENTS
- PROPOSED ROADWAY IMPROVEMENTS
- PROPOSED MULTI-USE PATH
- PROPOSED RIVERWALK WITH REST AREAS
- PROPOSED LIGHTING
- ARMOR SHORELINE
- SHORE PROTECTION
- PROTECTED OPEN SPACE
- OPEN SPACE AREAS
- DEVELOPABLE LAND
- FUTURE HOME OF CHALLENGE PROGRAM
- PROPOSED SWM POND
- EDUCATION CENTER
- COMMERCIAL BUILDINGS
- KAYAK LAUNCH AREA
- BOAT RAMP / DOCK
Proposed Improvements
In addition to the more obvious concerns of flooding, both tidal and stormwater, accessibility, and traffic circulation, the lack of pedestrian/bicycle/multimodal facilities, recreational uses, and retail/restaurant land uses were identified as significant concerns by the project stakeholders and nearby residents. A range of improvement options were developed, discussed and evaluated to address these needs. These options were vetted through an extensive public and community participation process, and consensus was reached on the most supported options. The consensus balanced the needs, desires and requirements of the various stakeholders including those concerned with: preserving environmental and cultural resources; enhancing recreational amenities; maximizing the Peninsula for future development; alleviating flooding; improving access to, and circulation through the Peninsula, including multimodal improvements; and stabilizing the Peninsula, thereby allowing it to remain flexible for yet to be determined future uses.
An alternative was vetted to provide additional access to the Peninsula via a bridge from 12th Street across Brandywine Creek to the Peninsula; however, use and need on the Peninsula did not justify the cost at this time. This option may be reevaluated at a future time if additional growth on the Peninsula necessitates this connection.
The following descriptions explain the options considered in this study:
Potential recommendations suggested in this study vary in cost from low-to-high, short-term to long-term implementation, and the solutions are separated between those that can be implemented by public agencies or private property owners. Some solutions may be eligible for special funding or grants.
Flooding and Stormwater Management Improvements
To address the flooding and stormwater management issues of the Peninsula, various solutions are suggested. The suggestions are separated between immediate, short-term, and long-term action items. (See Appendix B) Wilmington Public Works has commissioned a Resilient Wilmington Study to prepare the City for Climate Risks. When that study report is final and adopted by City government, elements that apply to the East 7th Street Peninsula should be included in the implementation plan.
Priority action items are suggested to begin immediately in order to maintain or provide safe access, protect property, and serve as catalysts to future improvements. Many immediate action items provide a quick return in observed benefits. These immediate action items include:
- Develop a detailed resiliency implementation plan for the future of the Peninsula. The detailed implementation plan should be an extension of the initial study and should be indexed to development phases on the Peninsula, allowing the City to determine the appropriate time to execute the elements of the plan. Indexing the plan to development activities potentially allows the City to request contribution from developers that trigger
elements of the resiliency implementation plan. The resiliency implementation plan should focus on items such as: determining the ideal building lot elevation for each lot on the Peninsula; determining ideal roadway elevations; determining whether current flood design standards are sufficient for development on the Peninsula; identifying and preparing any ordinances that are beneficial to development on the Peninsula while designing for future flood conditions; identifying specific partners to provide financial assistance to existing residents who are currently suffering regular impacts from flooding; developing a drainage master plan; and identifying specific areas to be preserved for open space and wave energy dissipating buffers.
- Implement strict code requirements for any new development and redevelopment on the Peninsula to be in compliance with stringent flood design standards, including the requirement to elevate portions of lots containing infrastructure. There has been recent redevelopment on the Peninsula and additional redevelopment and development is anticipated in the future, making this a high priority item. Having cohesive flood design standards that are Peninsula-wide in place is important so that all new development and re-development follow the overall cohesive plan.
- Survey and maintain existing drainage infrastructure, including flushing all pipes and clearing all ditches. Additionally, install tide gates on all outlet pipes. Tide gates allow runoff to flow out of the drainage system into the Brandywine Creek or Christina River during low tide, but closes during high tide to prevent water from the Creek or River to enter the drainage system.
- Following the results of a detailed hydrology study, evaluate whether existing drainage is sufficiently sized to drain the existing and proposed roadway improvements. It is anticipated that this will need to be done in conjunction with design of the stormwater management system.
Short-term action items are items that should begin within 1-2 years and should be completed within 5-years. Short-term action items can be considered the initial building blocks to a more resilient Peninsula. Items that should be considered short-term are as follows:
- Elevate the existing roadway system. Currently the roadway system is the low point on the Peninsula in multiple locations and becomes one of the first areas to become flooded, blocking ingress and egress. Raising the roadway system to the elevations determined in the detailed master plan will ensure that residents have safe access during flooding events and will encourage additional development and redevelopment. Raising the road will require interim drainage improvements to ensure that buildings and lots that are lower than the elevated roadways are not negatively impacted.
- Construct a stormwater retention pond. A stormwater retention pond allows for buffer storage of rainwater during high tide events, when the tide gates on the outlets of the drainage system are closed. At minimum the pond should be sized to hold 12-hours of runoff from the 100-year storm event and drain completely during one tide cycle.
- Design and implement elements of the drainage master plan. Several instances were observed where it appears development has altered or blocked pre-existing drainage conveyances. Restore or replace these conveyances to ensure that all lots drain.
• Bulkhead or elevate and armor the northwest side of the Peninsula where elevations are lowest, and the Brandywine Creek continues to slowly erode the neck of the Peninsula. Armoring a shoreline can include the construction of a sea wall made of metal, rock, or wood to protect the shoreline from erosion particularly during storms.
• Begin obtaining and preserving areas identified for buffers, particularly in locations where development is most expected. Buffers are identified in the concept plan around the perimeter of the Peninsula to protect the Peninsula from erosion. These buffers will provide wave energy dissipation during storm surge events and will provide open spaces that reduce runoff during rain events.
Long-term action items are items that should be accomplished in conjunction with development and maturation of the Peninsula. These items should be considered essential to the long-term resiliency on the Peninsula, but are more dependent on the action and concurrence of individual lot owners. Many of these items may require financial assistance to individual lot owners from either FEMA, the State of Delaware, or the Clean Water State Revolving Fund. The Peninsula is located within the City’s Federal Opportunity Zone, which could potentially connect investors to property owners to help fund the needed improvements. Items that should be considered long-term are as follows:
• Elevate existing developed lots and infrastructure. This may occur as lots are redeveloped or as individual lot owners perform major upgrades to their existing facilities. It is anticipated that financial assistance will be required for the majority of individual lot owners.
• Implement living shorelines, breakwaters, or other energy attenuating devices to ensure long-term shoreline stability. This may occur on a lot by lot basis or may occur as several publicly funded projects.
• Complete acquisition of preserved areas for buffers.
**Transportation Improvements**
Various transportation improvements are proposed for the Peninsula to improve connectivity to adjacent neighborhoods and inter-connectivity within the Peninsula.
Based on community feedback that the Peninsula is isolated and difficult to exit without traveling through the city’s gridded system of roadways, the intersection of East 4th Street and Swedes Landing Road is proposed to be improved including: two restriped and repaved, eastbound through lanes and a dedicated left turn lane from East 4th Street to Swedes Landing Road; two restriped and repaved, westbound East 4th Street through lanes; restriped and repaved, east and westbound through lanes separated by brick medians; restriped and repaved, dedicated right and left turn lanes from southbound Swedes Landing Road to east and westbound East 4th Street separated by brick medians; and a new traffic signal will be installed at the intersection. The intersection will be improved with turn lanes and a traffic signal to accommodate all turning movements. This proposed improvement will allow truck traffic from various stakeholders such as Light Action and Noramco more direct access to the Interstate system and will assist in preventing truck traffic from inundating the residential neighborhoods.
Due to the proximity of the intersection of East 4th Street and Swedes Landing Road to the moveable bridge over the Christina River, the proposed traffic signal should be interconnected with the existing drawbridge control. This will enable the traffic signal at the intersection to be designed for preemption by the operation of the drawbridge. The preemption will involve the display of a steady red indication for a special sequence of signal phases to prohibit traffic movements from the intersection towards the moveable bridge when activated. During the special sequence, through traffic on southbound 4th Street and westbound left-turn traffic from Swedes Landing Road will be stopped for the duration of the preempt phase.
East 7th Street is proposed to be restriped and repaved from North Church Street to the end of the Peninsula. This roadway is also proposed to be raised 3-5’ to improve drainage and stormwater management, as described above.
• East 8th Street is proposed to be repaved between North Church Street and the Amtrak Viaduct. The 8th Street tunnel beneath the 8th Street Viaduct will be reopened and refurbished with lighting for bicycle and pedestrian use. East 8th Street on the Peninsula is proposed to be raised 3’ to 5’ and repaved from just east of Claymont Street (including Claymont Street) for its entire length, including drainage and stormwater management improvements, as previously described. A connection will be sought to extend East 8th Street to Wilmington Industrial Park. This would improve circulation on the Peninsula and serve as a necessary connection to maintain access during the construction of East 7th Street. The connection shown in this Master Plan is located to line up with the entrance of the Kalmar Nyckel and to fit between the solar panel site and Verizon. Locations of these connections are conceptual and will need further investigation during the design phase.
• The current intersection of East 7th Street and Wilmington Industrial Park is proposed to be converted to a compact roundabout to ease driver confusion, while providing an elevated intersection to meet the elevated roadways meeting at this intersection. Roundabouts can provide lasting benefits and value in many ways. They are often safer, more efficient, less costly and more aesthetically appealing than conventional intersection designs. Furthermore, roundabouts are an excellent choice to complement other transportation objectives – including Complete Streets, multimodal networks, and corridor access management – without compromising the ability to keep people and freight moving.
• Streetscape improvements are suggested for all roadways within the Peninsula, as well as, roadways west of the Peninsula to Church Street. Church Street is also suggested to be improved by a streetscape between East 4th and East 8th Streets. Streetscape improvements include pedestrian facility improvements along all roadways. West of the Viaduct where existing sidewalks are very wide, pedestrian improvements would include new concrete sidewalks with decorative brick accents. East of the Viaduct where few-to-no sidewalks exist,
a multi-use path will be added to one side of the roadway to accommodate both bicycles and pedestrians. The side of the road that the multi-use path is constructed will be determined in design. Based on funding, the side of the road that does not have a multi-use path may receive a 5-foot side sidewalk. Pedestrian lighting is also included with all streetscape improvements. Landscaping, signing, striping, and decorative fixtures such as decorative light poles or signal poles are also suggested.
- All improvements throughout the study area will meet ADA Accessibility requirements.
**Recreational Amenities and Improvements**
In addition to the goals of protecting the East 7th Street Peninsula from future flooding and improving its economic viability, improving the recreational opportunities and connecting the East Side Neighborhood to the Peninsula are additional goals of the study. Recreational amenities suggested as part of this study include a two-mile Riverwalk proposed around the entire perimeter of the Peninsula. The Riverwalk would include pedestrian lighting and rest areas, such as locations for educational kiosks and benches. The location of the Riverwalk on the Master Plan is conceptual. The actual location will be determined in design.
Boat ramps and kayak launch areas are proposed at various locations around the Peninsula.
Wayfinding signs are recommended at strategic locations throughout the East Side Neighborhood and on the Peninsula to facilitate mobility in and around the study area. The Wayfinding signs will also assist in connecting the adjacent neighborhoods to the Peninsula, enabling them to be the gateway into the Peninsula. The Wayfinding signs will assist in directing visitors between Old Swedes Church and the Fort Christina/Kalmar Nyckel Foundation. Outbound Wayfinding signs will direct westbound traffic from East 7th Street to North Buttonwood Street to East 8th Street to get back to Church Street. Historical markers, as well as plaques for locally significant resources, are recommended at appropriate sites and locations throughout the East Side Neighborhood and on the Peninsula. Kiosks and educational centers will be proposed throughout the study area detailing the area’s history and to serve as guides providing information about the area’s new amenities.
**Cost Estimates and Phasing**
Cost Estimates were prepared for the proposed solutions for the Peninsula. These cost estimates are based on conceptual sketches using aerial photography and field verification. Topographic survey was not used for the cost estimates. Assumptions and contingencies were made to produce the most accurate cost estimate possible using the information available.
A phased approach is suggested, and cost estimates were developed based on the suggested phasing. The costs and phases are as follows:
Immediate
- Tide Gates and minor drainage/pipe improvements - $2.1 Million
- Clean out existing pipe system and video inspect for issues – No additional cost anticipated as this can be added to the City’s annual maintenance program
Short-Term
- Detailed Master Plan for Stormwater Management (Design, and Implement) - $350,000
- Install new tide gates (4) - $100,000
- Install stormwater management pond - $1.65 Million
Long-Term
- Phase 1 – East 7th Street Improvements - $6.4 Million
- Phase 2 – East 4th/ Swedes Landing Road Intersection - $3 Million
- Phase 3 – East 8th Street Improvements - $4 Million
- Phase 4 – Streetscapes - $1 Million per block
EAST 7TH STREET PENINSULA STUDY
PHASING
PHASING LEGEND
* PHASE 1 – EARLY ACTION DRAINAGE IMPROVEMENTS
* PHASE 2 – 7TH ST / ROUNDABOUT
* PHASE 3 – 4TH ST / OLD SWEDES LANDING
* PHASE 4 – 8TH STREET IMPROVEMENTS
* PHASE 5 – STREETSCAPES
Page 25
Related Studies
There is a draft report available for the City Department of Public Works Study, *Resilient Wilmington: Preparing Today for Tomorrow’s Climate Risks*. The goals of this report include assessing the current and future risks to Wilmington from climate change and to, “develop near-, mid- and long-term recommendations to mitigate and prepare for the effects of climate change”. Two of the threats to Wilmington are changing precipitation (more frequent and intense rainfall events) and rising sea levels. The 7th Street Peninsula falls within FEMA’s designated 100 and 500 year Floodplain areas, are vulnerable to both 1% and 0.2% annual chance storm events, and fall within the Mean Higher High Water planning scenarios for +3 and +6 feet of inundation. In the draft report, East 7th Street on the Peninsula is noted as being subject to repetitive flooding events.
The draft report stresses adaptation for at-risk areas by updating current Waterfront Development Standards, using zoning as a tool to set strong design standards for areas within the floodplain, and developing greener stormwater management practices. The report advocates for Wilmington’s Tide Gate Program, which includes the assessment, repair and replacement of the City’s tide gates, and would directly impact the 7th Street Peninsula stormwater management network. The draft report also recommends raising the northern shoreline of the Peninsula along the Brandywine Creek as part of a multi-phase near- and mid-term improvement. As the Resilient Wilmington study concludes and the report is finalized, these measures should be included in the implementation plan for the 7th Street Peninsula study.
*Wilmington 2028 A Comprehensive Plan for Our City and Communities (Wilmington 2028)* is an update of the City’s current comprehensive plan, which was completed in 2009. According to *Wilmington 2028*, “The Plan establishes priorities, helps guide decision making, determines how to best spend limited resources, and helps raise money for improvements citywide.”
The proposed improvements described in the East 7th Street Peninsula Master Plan are consistent with the vision for the area as outlined in Wilmington 2028. The East 7th Street Peninsula is identified in *Wilmington 2028* as an “Economic Opportunities” area, and future land use is shown as Waterfront Mixed Commercial / Light Manufacturing. As part of its context within the East Side Neighborhood, the East 7th Street Peninsula is described in *Wilmington 2028* as having potential for a “Robust Local Economy” and recommends “…position and promote the 7th Street Peninsula for neighborhood and economic development.” Additionally, *Wilmington 2028* recommends “Invest in 7th Street as an important east-west connector in the city that links assets from the 7th Street Peninsula to Bancroft Parkway.”
Strong Safe Neighborhoods
1. Prevent nuisance properties and stabilize vacant properties.
2. Support community engagement through community-based public safety.
3. Implement an equitable investment strategy for civic spaces like parks, pools, libraries and community centers.
Healthy Thriving Communities
4. Partner with service agencies to transform civic spaces into community hubs that offer cross-programming.
Robust Local Economy
5. Position and promote Front Street Warehouse District and 7th Street Peninsula for neighborhood economic development.
Connected City and Region
6. Create better multimodal connections on 4th, 11th, 12th, and Walnut Streets.
7. Redesign Walnut Street to serve as a bridge between East Side and downtown.
8. Invest in 7th Street as an important east-west connector in the city that links assets from the 7th Street Peninsula to Bancroft Parkway.
9. Limit truck traffic in neighborhoods.
Sustainable and Resilient City
10. Extend the off-street trail along the rivers to connect and provide flood mitigation to neighborhoods north and south of the rivers.
11. Increase green space through yards and vacant lot improvement.
Next Steps
Environmental - All Federally funded projects, as well as those which involve federally regulated resources must adhere to the regulations set forth in the National Environmental Policy Act of 1969 (NEPA). Given these parameters, it is likely that environmental evaluation and documentation will be required before improvements may proceed to design and construction.
There are also numerous historic/potentially historic (Section 106) resources, as well as recreation, wildlife and waterfowl [Section 4(f)] resources located within the study area. Therefore, any impact to, or taking of lands from, any of these resources will require consultation with the Federal Highway Administration (FHWA) to satisfy NEPA and Section 4(f) requirements, State Historic Preservation Office (SHPO) for Section 106; Delaware Department of Natural Resources (DNREC); and the US Army Corps of Engineers.
Based on the recommended improvements, significant impacts to protected resources are not anticipated. Therefore, it is reasonable to assume that this project may be cleared through a Categorical Exclusion Evaluation. Similarly, effects to Section 106 resources are expected to be minor (No Effect and/or No Adverse Effect) and may be approved through a Memorandum of Agreement (MOA). Lastly, it is reasonable to assume that a Section 4(f) *de minimis* finding by FHWA is likely.
Full analyses of all study area resources are required, however if the assumptions above are accurate it may be reasonably assumed the environmental clearance process will last approximately 12-16 months per phase of improvements.
Assumptions and Limiting Conditions
The preparation of this feasibility study assumes that all services and work products will conform to current DelDOT Standards, Policies, and Procedures.
Concept Plan
The East 7th Street Master Plan can be found on the following page.
Community from Church Street to East 7th Street Peninsula, including East 4th Street to 7th Street
Entrance to the East 7th Street Peninsula, including East 8th Street Viaduct
Kalmar Nyckel Foundation and Fort Christina State Park
Looking East along the East 7th Street Peninsula
Looking West along East 7th Street
Looking West toward Wilmington Industrial Park from Across Brandywine Creek
Skate Park on Eastern end of East 7th Street
| Topic | Section Reference | Comments |
|----------------------------------------------------------------------|-------------------|----------|
| a. Provide a synopsis of coordination with Federal, tribal, state and local environmental, regulatory and resource agencies. Describe their level of participation and how you coordinated with them. | Project Need, Existing Conditions, and Meeting Summaries | |
| b. What transportation agencies (e.g., for adjacent jurisdictions) did you coordinate with or were involved during the PEL study? | Project Need | |
| c. What steps will need to be taken with each agency during NEPA scoping? | Next Steps | |
| 4. Public Coordination: | | |
| 1. Provide a synopsis of your coordination efforts with the public and stakeholders. | Meeting Summaries | |
| 5. Purpose and Need (for the PEL study): | | |
| a. What was the scope of the PEL study and the reason for completing it? | Project Need and Project Description and Purpose | |
| b. Provide the purpose and need statement, or the corridor vision and transportation goals and objectives to reflect that situation. | Project Need | |
| c. What steps will need to be taken during the NEPA process to make this a project-level purpose and need statement? | Next Steps | |
| 6. Rationale/Alternatives: | | |
| a. What types of alternatives were looked at? | Flooding and Surface Water Management Improvements, Transportation Improvements, and Recreational Amenities and Improvements | |
| b. How did you select the screening criteria and screening process? | Project Need | |
| Topic | Section Reference | Comments |
|----------------------------------------------------------------------|-------------------|----------|
| c. For alternative(s) that were screened out, briefly summarize the reasons for eliminating the alternative(s). (During the initial screenings, this generally will focus on fatal flaws.) | Proposed | |
| d. Which alternatives should be brought forward into NEPA and why? | Improvements | |
| Flooding and Stormwater Management Improvements, Transportation Improvements, Recreational Improvements, Air Quality and Impacts, and Project Need | | |
| e. Did the public, stakeholders, and agencies have an opportunity to comment during this process? | Meeting Summaries | No |
| f. Were there unresolved issues with the public, stakeholders, and/or agencies? | | |
| 7. Planning assumptions and analytical methods: | Proposed | |
| a. What is the forecast year used in the PEL study? | Improvements | |
| b. What method was used for forecasting traffic volumes? | N/A | |
| c. Are the planning assumptions and the corridor vision/purpose and need statement consistent with each other and with the long-range transportation plan? Are the assumptions still valid? | Next Steps and Project Need | |
| d. What were the future land policy and/or data assumptions used in the transportation planning process related to land use, economic development, transportation costs, and network expansion? | Next Steps and Project Need | |
| 8. Environmental resources (wetlands, cultural etc.) reviewed. | Project Description and Purpose | |
| a. In the PEL study, at what level of detail was the resource reviewed and what was the method of review? | Existing Conditions and Next Steps | |
| b. Is this resource present in the area and what is the existing environmental condition for this resource? | | |
| c. What are the issues that need to be considered during NEPA, including potential resource impacts and potential mitigation requirements (if known)? | | |
Appendix C
| Topic | Section Reference | Comments |
|----------------------------------------------------------------------|-------------------|--------------------------------------------------------------------------|
| d. How will the planning data provided need to be supplemented during NEPA? | Next Steps | None known based on available desktop data sources |
| 9. List environmental resources you are aware of that were not reviewed in the PEL study and why, indicate whether or not they will need to be reviewed in NEPA and explain why. | N/A | |
| 10. Were cumulative impacts considered in the PEL study? If yes, provide the information or reference where the analysis can be found. | N/A | |
| 11. Describe any mitigation strategies discussed at the planning level that should be analyzed during NEPA. | Flooding and Stormwater Management Improvements and Next Steps | The PEL Study will be available to agencies involved in the planning and design process. |
| 12. What needs to be done during NEPA to make information from the PEL study available to the agencies and the public? Are there PEL study products which can be used or provided to agencies or the public during the NEPA scoping process? | N/A | |
| 13. Are there any other issues a future project team should be aware of? | N/A | |
|
1. Kho-Dariba belt is known for _______
(A) Copper mines
(B) Iron ore mines
(C) Lime stone deposits
(D) Coal mines
2. ‘Nathra-Ka-Pal’ is having deposits of which of following metal?
(A) Lead
(B) Tungsten
(C) Iron
(D) Copper
3. Which one of following is not a breed of sheep?
(A) Meegra
(B) Malpuri
(C) Bagri
(D) Nachna
4. ‘Sei Project’ is related to which of following dam?
(A) Jawahar Sagar dam
(B) Hariske dam
(C) Jawai dam
(D) Gandhi Sagar dam
5. Which one of the following is not a reason of Desertification?
(A) Extreme weather conditions
(B) Increasing population
(C) Deforestation
(D) Use of Acidic land
6. Which of following region of Rajasthan is having of Bshw type of climate as per Koppen’s classification?
(A) North to Aravali
(B) South to Aravali
(C) East to Aravali
(D) West to Aravali
7. “Rotu” is reserved forest area of ________ district of Rajasthan.
(A) Bikaner
(B) Chittorgarh
(C) Churu
(D) Nagaur
8. Auguncha-Gulabpura mining area is famous for which of following couple of minerals?
(A) Zn-Pb
(B) Mg-Mn
(C) Fe-Ni
(D) Ag-Au
9. Nohar Canal project receives water from which of following source?
(A) Ravi-Beas
(B) Satluj
(C) Bisalpur
(D) Panchna
10. What is the main objective of water audit in state of Rajasthan?
(A) Efficacy, maintenance and safety of water structures
(B) Urban water conservation
(C) Municipal and industrial water conservation
(D) Rural and agricultural water conservation
11. Which one of the following plateau lies below the main peak of Guru Sikh at a distance of about 8 km from Mt. Abu station?
(A) Bhorat plateau
(B) Mesa plateau
(C) Oriya plateau
(D) Deccan plateau
12. Western cyclonic disturbances in Rajasthan is known as _________.
(A) Loo
(B) Thunder shower
(C) Mathav
(D) Hail storm
13. ‘Kalpvriksh’ of Rajasthan is _________.
(A) Dhak tree
(B) Sall tree
(C) Khejari
(D) Pallas
14. Which of the following National Park is the smallest National Park in Rajasthan?
(A) Keolodale National Park
(B) National Desert Forest
(C) Ranthambore National Park
(D) Mukundra Hills National Park
15. Which one of the following multipurpose project is the largest project in the State?
(A) Beas project
(B) Indira Gandhi Canal Project
(C) Bhakra Nangal project
(D) Mahi Bajaj Sagar Project
16 Which ecosystem has the maximum biomass?
(A) Lake (B) Pond (C) Forest (D) Grassland
17 At what time after child birth is the DPT vaccine administered to a newborn?
(A) 6 weeks (B) 6 months (C) 6 days (D) 6 hrs
18 Which of the following organs do not produce digestive juices?
(A) Stomach (B) Liver (C) Pancreas (D) Urinary bladder
19 Which blood group is known as Universal Donor?
(A) 'A' (B) 'B' (C) 'AB' (D) 'O'
20 Which hormone is produced in insufficient amounts in Type-1 diabetes?
(A) Glucagon (B) Insulin (C) Somatostatin (D) Both (A) and (B)
21 DNA fragments separated on an Agarose gel can be visualised after staining with
(A) Aniline blue (B) Ethidium Bromide (C) Acetocarmine (D) Bromophenol blue
22 A genetic disorder in which blood does not clot normally is -
(A) Cystic fibrosis (B) Thalassemia (C) Sickle cell anemia (D) Hemophilia
23 Based upon the type of excretory substance, the human species is:
(A) Uricotelic (B) Ureotelic (C) Ammonotelic (D) Ureotelic and Uricotelic, both
24 The reaction in which multiple copies of the gene of interest is synthesized in vitro is known as:
(A) ELISA (B) RIA (C) PCR (D) RAPD
25 Which of the following is the largest part of human brain?
(A) Cerebrum (B) Cerebellum (C) Brain stem (D) Corpus callosum
26 In a certain code 'TAKE' is written as '2$5' and 'BEND' is written as '1%@4'. How will 'BANK' written in that code?
एक निश्चित कुट में 'TAKE' को '2$5' लिखा जाता है तथा 'BEND' को '1%@4' लिखा जाता है। इसी कुट में 'BANK' कैसे लिखा जायेगा?
(A) 21@$ (B) 12@$ (C) 125@$ (D) 215@
27 The sum of the place values of both the threes in the natural number 43836 is -
प्राकृत संख्या 43836 में दोनों तीन के स्थानीय मानों का योग है -
(A) 6 (B) 33 (C) 330 (D) 3030
28 A passage is followed by an inference which can be drawn from the facts stated in the passage. You have to examine the inference in the context of the passage, decide upon its degree of truth or falsity and choose your answer accordingly.
Though the state cultivates only 3.2 lakh tonnes of mangoes, they are of premium quality and with mangoes becoming second most consumed fruits in the world after grapes. The government has been trying to export it through sea route which is cheaper. An experiment which was done in this regard last year has proved successful.
Inference: Quality of mangoes is an important factor in exports.
(A) The inference is definitely true. (B) The inference is probably true. (C) The inference is probably false. (D) The inference is definitely false.
29 A person buys apples at 4 for Rs. 3 and sells them at 5 for Rs. 4. The gain or loss percent is -
(A) gain $6\frac{2}{3}\%$ (B) loss $6\frac{2}{3}\%$ (C) gain $16\frac{2}{3}\%$ (D) loss $16\frac{2}{3}\%$
30 To complete some work, A takes half time than B. C complete same work in same time in which both A and B complete together. If all three together complete this work in 7 days, then in how many days will C complete this work alone?
(A) 14 days (B) 21 days (C) 35 days (D) 42 days
31 A किसी काम को पूर्ण करने के लिए B से आधा समय लेता है। C उसी काम को उन्होंने समय में पूर्ण करता है जितने समय में A तथा B दोनों मिलकर पूर्ण करते हैं। यदि तीनों मिलकर उस काम को 7 दिनों में पूर्ण करते हैं तो C अकेला उसी काम को जितने दिनों में पूर्ण करेगा?
(A) 14 दिन (B) 21 दिन (C) 35 दिन (D) 42 दिन
31 The sum of Rs. 12,000 deposited at compound interest, becomes double in 5 years. In 20 years it will become:
(A) Rs. 1,20,000 (B) Rs. 1,24,000
(C) Rs. 1,92,000 (D) Rs. 96,000
चक्रवृद्धि ब्याज की किसी राशि से 12,000 रु. की राशि 5 वर्ष में दुगुनी हो जाती है। 20 वर्ष में यह राशि हो जायेगी:
(A) 1,20,000 रु. (B) 1,24,000 रु.
(C) 1,92,000 रु. (D) 96,000 रु.
32 One day Tom left home and walked 50 m towards south, turned right and walked 25 m, turned right and walked 50 m and turned left and walked 50 m. How many meters will he have to walk to reach his home straight?
एक दिन टॉम पर से निकलता है और दक्षिण में 50 मी. चलता है, तारंग मुड़ता है और 25 मी. चलता है, तारंग मुड़ता है और 50 मी. चलता है और बाएं मुड़कर 50 मी. चलता है। सीधे अपने घर पहुँचने के लिए जो कितने मी. चलना पड़ेगा?
(A) 50 (B) 75
(C) 60 (D) 150
33 Identify the single letter, which when removed from the following words form new words.
उस एक अक्षर को छोड़कर इसको उठाने के बाद निम्न शब्दों से नये शब्द बन जाते हैं।
MINK, WARM, LAMP, TEAM
(A) A (B) R
(C) M (D) L
34 \[ \frac{(893 + 786)^2 - (893 - 786)^2}{(893 \times 786)} = ? \]
(A) 2 (B) 4
(C) 8 (D) 16
35 Read the line graph given below and answer the question:
Production of wheat
(In thousand quintal) in last five years
What is the ratio of production of wheat in year 2015 to year 2016?
(A) 3 : 2 (B) 2 : 3
(C) 4 : 3 (D) 3 : 4
36 P, Q, R, S, T and U are sitting around a round table. P is between T and U. T is opposite to S and R is not in either of the neighbouring seats of T. The person opposite to Q is
P, Q, R, S, T तथा U एक गोल मेज के चारों ओर बैठे हैं। P, T और U के बीच बैठा है। T, S के सामने बैठा है और R, T के साथ वाली आलान-बालान की किसी सीट पर नहीं बैठा है। Q के सामने कौन बैठा है?
(A) R (B) S
(C) U (D) T
37 The number \(2\sqrt{3}\) is –
(A) a natural number
(B) an integer
(C) an irrational number
(D) a rational number
संख्या \(2\sqrt{3}\) है –
(A) एक प्राकृत संख्या
(B) एक पूर्णांक
(C) एक अपरिमेय संख्या
(D) एक परिमेय संख्या
38 How many squares are there in the following figure?
निम्नलिखित आकृति में कितने वर्ग हैं?
(A) 4 (B) 5
(C) 9 (D) 10
39 If the mean of \(a, b, c\) is \(M_1\), and the mean of \(a^2, b^2, c^2\) is \(M_2\), then one mean of \(ab, bc\) and \(ca\) is
यदि \(a, b, c\) का माध्य \(M_1\) तथा \(a^2, b^2, c^2\) का माध्य \(M_2\) हो, तो \(ab, bc\) तथा \(ca\) का एक माध्य है –
(A) \(\frac{M_1^2 - 3M_2}{3}\) (B) \(\frac{3M_1^2 - 2M_2}{2}\)
(C) \(\frac{3M_1^2 - M_2}{2}\) (D) \(\frac{3M_1^2 - M_2}{3}\)
40 The age of a man is twice the square of the age of his son. Eight years hence the age of the man will be 4 years more than three times the age of his son. The present age of the man is
एक आदमी की आयु उसके पुत्र की आयु के वर्ष की दुगुनी है। आज वर्ष पुस्तात उस आदमी की आयु उसके पुत्र की आयु के तिगुने से 4 वर्ष अधिक होगी। आदमी की वर्तमान आयु है
(A) 48 वर्ष (B) 42 वर्ष
(C) 36 वर्ष (D) 32 वर्ष
41 Who wrote "Kanhad De Prabandh"?
(A) Padmanabh
(B) Beesaldev Raso
(C) Khuman Raso
(D) Pratap Singh
'कानह दे प्रबन्ध' का लेखक कौन है?
(A) पद्मनाभ (B) बीसलदेव रासो
(C) खुमान रासो (D) प्रतापसिंह
71 The monetary measure of the volume of goods and services produced, within the boundaries of the state, during a given period of time, accounted without duplication is known as -
(A) National Income
(B) Gross National Product
(C) Gross State Domestic Product
(D) Net State Product
राज्य अन्वेषण के अन्तर्गत, बिना दोहरी गणना किये हुए, एक निश्चित अवधि में उत्पादित सम्पूर्ण वस्तुओं एवं सेवाओं के मौद्रिक मूल्य को कहते हैं –
(A) राष्ट्रीय आय
(B) सकल राष्ट्रीय उत्पाद
(C) सकल राज्य भरोसा उत्पाद
(D) शुद्ध राज्य उत्पाद
72 Average size of land holding in Rajasthan in 2015-16 was
(A) 10.07 hectare (B) 5.07 hectare
(C) 2.73 hectare (D) 3.07 hectare
2015-16 में राजस्थान में मूँ-जीतों का औसत आकार था
(A) 10.07 हेक्टेयर (B) 5.07 हेक्टेयर
(C) 2.73 हेक्टेयर (D) 3.07 हेक्टेयर
73 Under Smart Village Scheme, how many villages have been selected to be developed as smart village in Rajasthan ?
राजस्थान में स्मार्ट विलेज (एचवी) स्कीम के अन्तर्गत स्मार्ट विलेज विकास कराने के लिये कितने गांव चयनित किये जा चुके हैं ?
(A) 3275 (B) 4550
(C) 5025 (D) 6015
74 Which of the following is not included under non-tax revenue receipts for the Budget ?
(A) Interest receipts
(B) Stamp and Registration fee
(C) Grants-in-aid
(D) Receipts from social services
भिन्न में से किसे बजट के लिए गैर-ग्रेड राजस्थान प्राधिकरणों के अन्तर्गत शामिल नहीं किया जाता है ?
(A) व्यापार प्राधिकरण
(B) स्टाम्प एवं रजिस्ट्रेशन फीस
(C) अनुदान सहायता (Grants-in-aid)
(D) सामाजिक सेवाओं से प्राप्तियाँ
75 Contribution of services sector in Rajasthan's Gross State Value Added at basic constant (2011-12) prices in 2017-18 was 2011-12 की सिर्फ आपूर्ति कीमतों पर राजस्थान की सकल राज्य वृद्धिगणित में सेवा का योगदान 2017-18 में क्या था ?
(A) 45.07% (B) 55.07%
(C) 35.07% (D) 25.07%
76 The head of the State of Rajasthan prior to 1 November, 1956 was known as :
(A) Excellency (B) Royal Highness
(C) Governor (D) Raj Pramukh
1 नवंबर, 1956 से पहले राजस्थान राज्य का अधिकारी था –
(A) महामहिम (B) राज्याधिकारी
(C) गवर्नर (राज्याधिकारी) (D) राज प्रमुख
77 Which one of the following Chief Minister’s tenure has been the shortest in the State of Rajasthan ?
(A) Shri Jagannath Pahadia
(B) Shri Haridev Joshi
(C) Shri Hiralal Devpura
(D) Shri Barkatullah Khan
भिन्न में से राजस्थान राज्य के किस मुख्यमंत्री का कार्यकाल सबसे कम अवधि का रहा है ?
(A) श्री जगन्नाथ पाहड़िया
(B) श्री हरिदेव जोशी
(C) श्री हीरालाल देवपुरा
(D) श्री बरकतुल्ला खाँ
78 What is the tenure of members of the Rajasthan Public Service Commission ?
(A) 6 years
(B) 6 years or 62 years of age, whichever is earlier
(C) 62 years
(D) 6 years or 65 years of age, whichever is earlier
राजस्थान लोक सेवा आयोग के सदस्यों का कार्यकाल कितना होता है ?
(A) 6 वर्ष
(B) 6 वर्ष अथवा 62 वर्ष की आयु, दोनों में पहले जो भी समाप्त हो
(C) 62 वर्ष की आयु तक
(D) 6 वर्ष अथवा 65 वर्ष की आयु, दोनों में पहले जो भी समाप्त हो जाये
79 ‘Manghar Dham’ known as Jallianwala Bagh of Rajasthan, is situated at
(A) Rajsamand (B) Banswara
(C) Alwar (D) Bikaner
‘मानार धाम’ जो राजस्थान का ‘जल्लियावाला बाग’ नाम से प्रसिद्ध है कहाँ स्थित है ?
(A) राजसमंद (B) बांसवाड़ा
(C) अलवर (D) बीकानेर
80 When was Rajasthan State Election Commission established ?
राजस्थान राज्य निर्वाचन आयोग का गठन किस वर्ष में हुआ था ?
(A) 1991 (B) 1992
(C) 1993 (D) 1994
81 The members of State Information Commission are appointed by the Governor on the recommendation of a Committee not consisting of :
(A) Chief Minister
(B) The leader of the opposition party in State Legislative Assembly
(C) A Cabinet Minister nominated by the Chief Minister
(D) A judge from the High Court
राज्य सूचना आयोग के सदस्यों की नियुक्ति राज्यपाल द्वारा संबंधित की सिफारिश पर की जाती है, जिसका सदस्य नहीं होता है –
(A) मुख्यमंत्री
(B) विधानसभा में प्रतिपादक का नेता
(C) मुख्यमंत्री द्वारा नियुक्ती किए गए मंत्री
(D) उच्च न्यायालय का न्यायाधीश
82 Which of the following statement/s is correct related to State Information Commission of Rajasthan ?
(1) It is a Statutory body.
(2) It is an autonomous body.
(3) It was established on 18, April 2005.
Choose the correct code :
(A) Only (1) (B) Only (1) and (2)
(C) (1), (2) and (3) (D) Only (3)
भिन्न में से राज्य सूचना आयोग राजस्थान के सदस्यों में कौन सा काम सकते हैं ?
(1) यह एक सांविधिक निकाय है।
(2) यह स्वतंत्रतागत निकाय है।
(3) इसका गठन 18, अप्रैल 2005 को हुआ था।
सही कोड हैं :-
(A) सिफे (1) (B) सिफे (1) व (2)
(C) (1), (2) व (3) (D) सिफे (3)
83 In which one of the following State assembly elections NOTA button was used in EVM for the first time ?
(A) 11th State Assembly Elections 1998
(B) 12th State Assembly Elections 2003
(C) 13th State Assembly Elections 2008
(D) 14th State Assembly Elections 2013
ईंशीप स्थल में नोटा बटन का उपयोग पहली बार कौन से विधानसभा चुनाव में किया गया था ?
(A) छहावी विधानसभा चुनाव 1998
(B) बारहवीं विधानसभा चुनाव 2003
(C) तेरहवीं विधानसभा चुनाव 2008
(D) चौदहवीं विधानसभा चुनाव 2013
84 After the State reorganization in 1956, on the recommendation of which committee, the Rajasthan Public Service Commission was transferred to Ajmer?
(A) Satyanarayan Rao Samiti
(B) Administrative Reforms Commission
(C) Sadiq Ali Committee
(D) None of these
85 Who convenes the meeting of Gram Sabha in absence of Sarpanch and Upaspanch?
(A) Collector
(B) Panchayat Secretary
(C) BDO
(D) Member of Gram Sabha to be elected for the purpose of majority of members
86 Who was the first elected Chief Minister of Rajasthan?
(A) Heeralal Shastri
(B) Mohanlal Sukhadia
(C) Tika Ram Paliwal
(D) Haridev Joshi
87 Which constitutional amendment limit the size of the Council of Ministers in Rajasthan?
(A) 42nd Constitutional Amendment
(B) 44th Constitutional Amendment
(C) 91st Constitutional Amendment
(D) 122nd Constitutional Amendment
88 Jaipur Metro became operational in the year -
(A) 2014
(B) 2015
(C) 2016
(D) 2017
89 Which state became the first state to fix a minimum educational qualification for contesting elections in Panchayati Raj institutions?
(A) Rajasthan
(B) Andhra Pradesh
(C) Madhya Pradesh (D) Karnataka
90 Where is HPCL, Rajasthan Refinery Limited situated?
(A) Barmer
(B) Jodhpur
(C) Jallore
(D) Bundi
91 Unit of magnetic flux is:
(A) Tesla
(B) Gauss
(C) Weber
(D) Coulomb
92 Electric motor works on the principle of:
(A) Electromagnetic induction
(B) Newton's law
(C) Ohm's law
(D) Bio-Savart's law
93 Which of the following can produce a virtual image which is always smaller than the object?
(A) a plane mirror
(B) a convex lens
(C) a concave lens
(D) a concave mirror
94 The resistance of a conductor depends upon:
(A) its length
(B) its cross-sectional area
(C) its temperature
(D) all of the given options
95 The order of colours in a rainbow from lower edge to top edge is
(Here R=Red, O=Orange, Y=Yellow, G=Green, B=Blue, I=Indigo, V=Violet)
96 Which of the following is not correct for the image formed by a plane mirror?
(A) Image is always virtual.
(B) Image is always real.
(C) Image is always erect.
(D) Size of image is equal to that of object.
97 When an object is at infinity, the position of the image formed by a concave mirror is at:
(A) Focus of the mirror
(B) Centre of curvature of the mirror
(C) Infinity
(D) Behind the mirror
98 The splitting of light into its component colours is called:
(A) Reflection
(B) Refraction
(C) Dispersion
(D) Polarization
99 In human eye, the image of an object is formed at:
(A) Cornea
(B) Iris
(C) Retina
(D) Pupil
100 The charge on an electron is:
(A) + 1.6 × 10⁻¹⁹ Coulomb (कॉलम्ब)
(B) - 1.6 × 10⁻¹⁹ Coulomb (कॉलम्ब)
(C) + 1.9 × 10⁻¹⁶ Coulomb (कॉलम्ब)
(D) - 1.9 × 10⁻¹⁶ Coulomb (कॉलम्ब)
|
Festive Season TROUBLED TIMES
- NEPALESE POLITICS
- LAND REFORM BILL
- FACE TO FACE WITH SHYAM AGRAWAL
नया Superior Pepsodent
GERMICHECK PLUS FORMULA
FLUORIDE को साथमा
NEW SUPERIOR
Pepsodent
FIGHTS GERMS EVEN HOURS AFTER BRUSHING
GERMICHECK PLUS
आफ्नो Pepsodent ले दिनको दुई पटक अवस्य ब्रश गर्नहोस्। दल्त चिकित्सक कहीं नियमित जर्च गराउनहोस्।
## CONTENTS
| Section | Page |
|--------------------------------|------|
| Letters | 3 |
| News Notes | 4 |
| Briefs | 6 |
| Quote Unquote | 7 |
| Off The Record | 8 |
| RELIGION, WAR AND POLITICS: The Afghan Syndrome | 10 |
| LAND REFORMS: Unreal Estate | 12 |
| PDDP: To The People | 14 |
| CYBER WARFARE: Vulnerable Battlefield | 21 |
| FACE TO FACE: Shyam Agrawal | 24 |
| BOOK REVIEW | 26 |
| THE BOTTOMLINE | 27 |
| OPINION: Hari Phuyal | 28 |
| PASTIME | 29 |
| VIEW POINT: Bishnu Prasad Upadhyay | 30 |
| ENCOUNTER: Stefan W. Voogel | 32 |
**Cover Story: Troubled Times**
Rattled by domestic as well as international problems and amid a gloomy economy, the usual crowd at the marketplaces is absent this Dashain.
(Cover photo by Sandesh Manandhar) Page 16
**MAOIST INSURGENCY: Defaming Itself**
As the two sides prepare to sit for the third round of talks, there is increased pressure on the government not to bow down.
Page 9
**INTERVIEW: Bishnu Bahadur K.C.**
Auditor-General K.C. talks about the rising heap of unsettled accounts and other financial indisciplines.
Page 22
The aftermath of the terrorist acts of September eleven has generated a situation that could destabilize life even in the remotest part of the world. Since no sane person could approve the heinous acts of terrorism whether they are suicide bombings or mailing anthrax, it has become most imperative that every human being irrespective of caste, color or religion take a pledge to root out the evil from the face of the world. The fight against terrorism spearheaded by the United States of America demands that all peace loving people, wherever they are, must voluntarily come forward and share any information that might contribute to limit or mitigate the bad effects of this scourge. The United States, which has become the prime target of the terrorists, has a stupendous job in its hands. And it would sure be very difficult, if not impossible, for the U.S. to attain any measurable success without the unstinting cooperation of the rest of the world. Indeed, she may have all the resources needed to fight this terrible evil and she must be applying them to the best of her ability. But to think she can eradicate this plague single handed would be a big mistake. Consequently no one should shy away to pass on any information that may help them, in howsoever a small way, to achieve their objective. Since all the religion of the world teach universal love and peace and no religion teaches hatred, it becomes the bounden duty of all the people of the world to join hands to fight this evil of terrorism. The sooner we do it, the better for us, the better for the whole world.
It is being reported that Prime minister Deuba is going to expand his cabinet immediately after the twentieth session of Parliament ends. Nobody needs be illuminated why the Prime minister has waited for that long to enlarge his cabinet. As a matter of fact, Deuba need not have expanded his cabinet at all. If he could run the government for three months with thirteen, he could easily run for the remainder of his regime (howsoever long it might be) with the same number. Since the main purpose of joining the cabinet is to get rich quick, the smaller the number the greater the opportunities for making quick bucks. But how long can one keep the recalcitrant members in check who have been boiling to get a share in the loot? Hence the proposed expansion. What is the country to expect from the cabinet which cannot safeguard the nations interest from a domineering neighbor? The nation is waiting with bated breath to see the end of the trade talks. How the cabinet expansion is going to help our poor nation time only will show. Since we are helpless to stop any wrongdoing on the part of the government, we have no option but to bear. And that we have been doing.
Dashain, the biggest of all the festivals of the Nepalese people is knocking on the doors. It is one time when even a poor man shares his melancholy smile with his family, friends and neighbors. But, the failure of the government to restore peace in the country, is sure to deprive the people of all the zest of the festivity. As it is, the gloomy economy has spread a pall of depression over the whole nation. The uncertain situation generated by the terrorism of the Maoists has further aggravated the miseries of the people. If they do not stop their violence and permit the poor people to enjoy the few days in the year in peace and tranquility, they will not only be perpetrating big injustice but also distancing themselves from the sympathy of the poor. Why the Deuba government is so nervous in bringing the Maoists to a successful dialogue is becoming more incomprehensible as time passes. If the government cannot force the Maoists to come to terms at this juncture, they cannot have any justification to stay in power. As such, we do trust they will pluck some courage and behave like real administrators and provide some peace and security to the poor people so that they will be able to celebrate Dashain in a normal environment. Trusting that the government will rise up to the occasion, we wish all our friends, admirers and all the countrymen a very very Happy Vijaya.
Madhav Kumar Rimal
Chief Editor & Publisher
New War
With each passing day of air strikes on Afghanistan, western countries are moving closer to igniting World War III ("What Will Be The Fallout?" SPOTLIGHT, October 12). The September 11 terror attacks on the United States were a heinous and barbaric act. But how justifiable is it to bomb a whole country to catch a few thugs. By doing so, the US-led alliance is only glamorizing villains like Osama bin Laden and the Taliban in certain parts of the world. US President George W. Bush has rightly said that this is a new kind of war. Why is he, then, bent on using conventional means like bombing a country to fight the new war? Definitely, a new war demands new ways. The Nepalese government made the right decision by extending its support to and expressing solidarity with America's fight against terrorism. Terrorism anywhere is a threat everywhere. This threat demands new means of fighting. The decision by governments to freeze bank accounts of terrorist outfits was laudable. Such methods will go a long way in rooting out these thugs. But bombing a country could only prove counterproductive.
Diwakar Basyal
Dhapakhel
Skewed Policy
Nepal is one of the most reliable friends of India in South Asia. As a small country with cultural and religious affinity with India, no Nepali can ever think of harming India and Indian interests. Unfortunately, Nepalis have never received such feelings from Indian officialdom. The Editor's Note in SPOTLIGHT regularly highlights this important message, but Indian officials seem to ignore it. India already has had a bitter experience of promoting terrorist outfits against neighboring countries. The LTTE and Bhindranwale have taught lessons to India, but the officialdom pretends not to learn. Indians seem to enjoy promoting extremism in Nepal. Although India has often accused Nepal of sheltering the ISI, Pakistani intelligence agency, it is Indian policy toward Nepal that is more dangerous. Indian Defense and Foreign Minister Jaswant Singh seemed to understand this by declaring the Maoists as terrorist. Two senior politicians, former prime minister Girija Prasad Koirala and CPN-UML general secretary Madhav Kumar Nepal, have pointedly accused India of backing the Maoists. It is not too late to take Singh's remarks as a positive gesture toward Nepal. It remains to be seen whether other Indian agencies will follow suit.
Rakesh Shrestha
New Baneshore
Welcoming Enough?
I read with interest your article "Learning Again" (SPOTLIGHT, October 5). The ideas put forth hold a great deal of truth. Many Nepali students who are equipped with degrees from international institutions decide to settle in foreign lands with the belief that the grass is definitely greener there. But do we realize that it is not only for a lust for a fancy, lavish, comfortable lifestyle and a dollar salary that Nepalis decide not to come back? The availability of better chances to make the most of what they have learnt and better opportunities to exploit their potential are strong attractions. Ideally, it would be beneficial if students with international degrees and exposure came back and worked for the country's development. But does our country have enough jobs, facilities and incentives to draw these students who have knowledge, exposure and the will to work for Nepal? Do we have the social infrastructure to accommodate them with enough chances to unleash their potential? Are there enough opportunities for their career and intellectual growth? Moreover, would they want to come back to a country beset by numerous political, social and economic problems perpetuated by a succession of unimaginative leaders and policies?
Moheindu Chemjong
via email
NOTICE: The next issue of SPOTLIGHT will come out on November 9, 2001, after Dashain Holidays.
— ED
US Rejects Fresh Taliban Proposal
In their second week of air strikes on Afghanistan, US jets pounded Kabul airport, the Taliban military academy and an artillery garrison, agency reports said. Taliban officials said the warplanes also attacked targets around the cities of Mazar-e-Sharif, Kandahar, Jalalabad and Herat. In Pakistan, at least one demonstrator was killed and 10 others injured when police opened fire to control a crowd in Jalalabad that was protesting against the Pakistan government’s decision to allow US forces to use a local air base. Meanwhile, a senior Taliban official said Sunday that his government was ready to discuss handing over Osama bin Laden, the prime suspect for the September 11 terrorist attacks on New York City and the Pentagon, to a third country if the US halted its air attacks on Afghanistan. “If the US presents evidence about bin Laden’s involvement in the attacks and stop bombing Afghanistan, we would be ready to hand him over to a third country that would never come under pressure from the US,” Deputy Prime Minister Haji Abdul Kabir told reporters in Jalalabad. US President George Bush, however, flatly rejected the Taliban proposal. Compiled from reports Oct. 15.
‘Govt. Not To Bow To Maoists’
Prime Minister Sher Bahadur Deuba has said the government will not bow to the Maoist insurgents. Addressing a mass meeting organized by the ruling Nepali Congress in the mid-western district of Banke Sunday, Deuba said the government would not compromise on the issue of constitutional monarchy, multiparty democracy and present constitution with the rebels. “We don’t want to turn Nepal into an Afghanistan,” he declared. Earlier, former prime minister and Nepali Congress President Girija Prasad Koirala blamed the Deuba government for failing to resolve the Maoist insurgency despite full support from the ruling party. “If the talks proceed in this way, the (problem of) insurgency will never be resolved,” he added. Compiled from reports Oct. 15.
British Immigration Fines RNAC
The Department of Immigration of the British government has imposed a fine of 38,000 sterling pound (approximately Rs 4.23 million) on the Royal Nepal Airlines Corporation (RNAC) for sending people to the United Kingdom on fake visas. In a letter written to the RNAC, the department has recalled that the airline has been involved in such activities from 1997. The RNAC has already paid 132,000 pound (approximately Rs 14.5 million) for sending unauthorized persons on fake visas to the United Kingdom between January 1999 and June 2001. Meanwhile, a petition has been filed at the Commission for Investigation of Abuse of Authority demanding action against the culprits at the national flag carrier. Space Time Oct. 13.
‘Maoists Have Lost Control Over Their Cadres’
A senior Maoist leader has admitted that the underground party has lost control over its cadres. Leader of the main opposition, Madhav Kumar Nepal, has quoted top Maoist leader Dr. Baburam Bhattarai, as telling him during a recent telephone conversation that the Maoist guerrillas and ‘people’s militia’ were no more under the party’s control. Addressing a public function in the capital Saturday, Nepal quoted Dr. Bhattarai as saying that the Maoist party has launched a special campaign to control the growing irresponsible and anarchic behavior among its cadres. Nepal, however, did not disclose whether the underground leader called him from within the country or abroad. Space Time Oct. 13.
Millions Of Rupee For Dalits Spent On Seminars
Over half of the Rs 150 million allocated for the upliftment of dalits (so-called untouchables) community in Nepal per year is spent on formal programs like seminars, workshops and interactions, a leading daily reported Monday. Action Aid, an INGO, spends annually around Rs 35 million, Save the Children (US) nearly Rs 10 million, Danida Rs 11.5 million and Helvetas nearly Rs 30 million per year on dalit-related activities. Millions of rupees were spent in sending 45 delegates to the UN conference on racism in Durban recently on behalf of different NGOs. An official with Action Aid confirmed that out of Rs 30 million allocated for the dalit
programs, nearly Rs 5 million is spent on advocacy works like seminar and workshops. Similarly, Danida has agreed to provide Rs 34.5 million for advocacy related to dalit over the next three years. "All such investment moves around some smart édâlats' in the capital itself and never reaches the needy outside Kathmandu," said Lal Bahadur Biswokarma, a member of the National Assembly. *Kantipur Oct. 25.*
**Upper House Rejects Property Rights Bill**
The Upper House of parliament Saturday rejected the controversial 11th amendment to the Civil Code, granting daughters property rights equal to those of sons. The opposition lawmakers have been criticizing the bill saying that the provision of returning the property to the parents after a girl gets married is discriminatory. The ruling Nepali Congress is in minority in the Upper House. The House of Representatives had passed the bill Wednesday amid a boycott by the main opposition, UML. As per the constitution, the bill will now be returned to the Lower House for further discussions and possible amendment. *Compiled from reports Oct. 14.*
**Maoists Torch Vehicles in Pokhara**
Maoist activists have burnt down four vehicles and vandalized three more vehicles in western town of Pokhara Thursday, a newspaper reported. The violent activities took place during the echakka jam' (halt traffic) program called by the pro-Maoist All Nepal Transport Union (ANTU) Kaski district unit demanding release of one of its members, Dev Raj Bastakoti. Police had taken Bastakoti into custody some two weeks back after a group of landless squatters burnt down the office of ward no. 18 of Pokhara sub-municipality. About half a dozen students, in their campus uniform, burnt down a Land Cruiser jeep belonging to British-Gurkha pension camp in front of the Prithvi Narayan Campus. "The students sprayed petrol on the jeep, set it on fire and then went inside the campus," said Nara Bahadur Rai, an officer at the pension camp, who was traveling in the jeep. The activists also burnt down two trucks and a taxi in different places within the municipality. Police had not arrested anybody in connection with the violence. *Nepal Samacharpatra Oct. 12.*
**‘Maoists Transport Arms To Kalikot’**
At a time when the government and Maoist rebels are engaged in talks, the latter are allegedly building up their military strength, a ruling party leader said. Former deputy prime minister and home minister Ram Chandra Poudel told an all-party meeting Wednesday that the Maoist rebels have reportedly transported 700 loads of arms to remote northern district of Kalikot. Poudel later told reporters that (the government) should watch if the rebels were trying to strengthen their strategic position under the pretext of talks. Meanwhile, an unnamed senior official at police headquarters said it would not be possible for the Maoists to transport the huge amount of arms from one place to another. "We have already issued directives to all the districts to arrest anyone found carrying arms," he said. *Kantipur Oct. 11.*
**20,000 Tonnes Of Sugar Being Imported**
On the eve of the Dashain and Tihar festivals, Nepal is to import sugar from India, a leading daily reported. The government-owned National Trading Limited (NTL) is to import 20,000 metric tonnes of sugar from the State Export Corporation of Bihar state of India in the first phase. General Manager of the NTL, Madhav Jung Rana, said the corporation was trying to meet the shortage of sugar in the market by importing it within a week. The government had granted the NTL permission to import 40,000 metric tones of sugar and Nepal Food Corporation, another government-owned agency, an additional 20,000 metric tonnes to meet the domestic demand. The annual demand for sugar in Nepal is estimated at more than 150,000 metric tonnes. This year Nepalese sugar factories produced only 100,000 metric tonnes (compared to 140,000 metric tonnes last year) amid conflict between sugarcane farmers and sugar factories. The government has also decided to reduce the customs duty on the imports of sugar from 40 percent to 10 percent this year. The import of sugar is finally moving ahead after court litigation and intervention by a parliamentary committee. *Kantipur Oct. 11.*
Celebration of Rara festival in Mugu
DURING THE FOURTH MEETING OF THE NEPAL-CHINA consultative mechanism in Beijing Tuesday, both countries agreed to expedite six project agreements signed during the visit of Chinese Premier Zhu Rongji to Nepal in May. The Foreign Ministry here said a Chinese team is to visit Nepal shortly to make necessary preparations for the implementation of the construction of civil service hospital, Syaprubesi-Rasuwa road and a polytechnic institute, among others. Both sides also agreed that the memorandum of understanding on the implementation plan for outbound travel would be concluded as early possible. "The Chinese side also responded positively to Nepal's request to include Beijing and Xian as two intermediate points and two more points beyond Shanghai for air flights," the ministry said. Foreign Secretary Narayan Shumsher Thapa led the Nepalese delegation at the meeting, whereas Wang Yi, Vice Minister for Foreign Affairs, led the Chinese team.
ADDRESSING THE SIXTH INTERNATIONAL CONGRESS ON AIDS in Asia and the Pacific organized in Melbourne early this week, Minister for Health Sharat Singh Bhandari said the Nepalese government is planning to observe 2002 as a year of "HIV/AIDS Awareness and Prevention" by involving people from different walks of life as well as government and NGOs. Meanwhile, a recent international study has identified Nepal as one of the five Asian countries where HIV has begun to spread rapidly. The report published by MAP (Monitoring the AIDS Pandemic Network), an UN-sponsored agency, said the HIV virus has begun to make rapid inroads in Nepal, Indonesia, Iran, Japan and Vietnam. Official figures say little more than 2,000 people have tested HIV-positive in Nepal. Unofficial estimates put the number as high as 70,000.
THE FEDERATION OF NEPALESE CHAMBERS OF Commerce and Industry (FNCCI) has set up the Nepal-India Economic Forum (NIEF) to strengthen and increase cooperation between the two neighbors in areas of trade, commerce and economy. The forum is expected to follow a "track two" mechanism to bolster economic ties and promote investment between the two countries, the FNCCI said in a press statement. Headed by Rabi Bhakta Shrestha, president of the FNCCI, the 10-member mechanism will take up issues at the government, private and political levels, the chamber said. The forum will lobby with the Nepalese government on issues related to Indian joint ventures operating in Nepal and with the Indian government and other concerned groups regarding Nepalese exports and trade. India is the largest investor in Nepal and nearly one third of Nepal's foreign trade is directed toward India. Nepal and China already have a similar mechanism at the private-sector level.
THE GOVERNMENT HAS DECIDED TO CLOSE DOWN FOUR loss-making Public Enterprises (PEs), a private daily reported. Finance Minister Dr. Ram Sharan Mahat confirmed Tuesday that the government had decided to close down these PEs "as there was no rationale for operating them." The PEs slated for closure include Gharelu Shilpakala Bikri Bhandar, Nepal Transport Corporation, the Timber Corporation of Nepal and Nepal Orind Magnesite Company, Rajdhani daily reported. According to the Finance Ministry, the government has invested more than Rs 7.400 million in 43 PEs in the country but the annual return the government gets is a meager Rs 360 million.
AT LEAST 60 PERCENT OF THE NEARLY 127,500 COTTAGE and small industries registered until 1999-2000 are now in dire straits. According to the Federation of Nepalese Cottage and Small Industries (FNCSI), although this sector has only 18 percent of the total industrial investment, it provides 67 percent of the total employment (offered by the industries) and has 80 percent share in the total industrial output. The downward slide of the edhaka' and epashmina' has discouraged the entrepreneurs. Speakers at a seminar organized in the capital Monday urged the government to act promptly on patent rights and identification of export items. They also demanded that a Cottage and Small Industries Act be formulated and export houses be established at the regional and national level as cooperatives.
THE CENTENARY NOBEL PEACE PRIZE HAS BEEN awarded to the United Nations and its secretary-general Kofi Annan. "The fight by the man and the institution for global peace belonged center stage as the world plunges into a new war on terrorism. The only negotiable route to global peace and cooperation goes by way of the United Nations," the Norwegian Nobel Committee announced in Oslo Friday. The committee said while Annan had underlined the UN's traditional responsibility for peace and security, he had also led the world body in rising to 'new challenges,' among them international, terrorism and the HIV/AIDS epidemic. Responding to the news, Annan said in New York that the prize had brought 'great encouragement' but also a challenge to the world body. Similarly, the Swedish Academy's decision to award the Nobel Prize for Literature for 2001 to V.S. Naipaul, a Trinidad-born British writer of Indian origin, has been hailed worldwide.
Wishing All Our Clients And Well Wishers A Very Happy Vijaya Dashami And Deepawali 2058 B.S.
Royal Nepal Airlines
The Nepali Congress has given full support and an unlimited mandate to the government to resolve the Maoist problem. I can’t understand why the government has failed to present itself in a stricter manner in the talks.
Girija Prasad Koirala, president of ruling Nepali Congress, in Himalaya Times.
* * *
We will never allow Nepal to become another Afghanistan.
Prime Minister Sher Bahadur Deuba, saying Afghanistan reached today’s condition after the communists overthrew the monarchy there, in Himalaya Times.
* * *
The Maoist rebels are out of the control of their leaders.
Madhav Kumar Nepal, leader of the main opposition and general secretary of Unified Marxist-Leninist, speaking at a public forum, in Spacetime daily.
* * *
The Upper House is a mature and erudite chamber. But its role has been diminished by the manner in which it rejected the bill even before allowing it for discussion. This has raised questions about its wisdom.
Tek Bahadur Chokhyal, chief whip of the ruling Nepali Congress, reacting to the Upper House’s rejection of bill to amend the civil code which dealt with property rights for women, in Gorkhapatria.
* * *
The Maoists do not have a clear political viewpoint.
Taranath Rana Bhat, Speaker of the House of Representatives, in Himalaya Times.
* * *
It is imperative to change the structure of politics, economy and society to develop the country. But this cannot be achieved through violence and terror. The present constitution has shown certain ways to do that.
Surya Bahadur Thapa, former prime minister and president of the Rastriya Prajatantra Party, addressing a public program.
* * *
I remained in the Marxist Leninist (ML) party for so long despite having so many differences.
Devi Prasad Ojha, former minister and one of the key architects of the group that broke away from the UML, who recently quit the ML, in Jana Bhawana.
* * *
There will be a terrible war if the talks fail.
Padma Ratna Tuladhar, one of the facilitators of the government-Maoist dialogue, in Bimarsha.
* * *
Opportunistic Streak
When Sri Lankan President Chandrika Kumaratunga dissolved parliament hours before it was to have started debating a no-confidence motion, a group of Nepalese lawyers and opposition members were infuriated by the conduct of their counterparts in the island nation. If Prime Minister Sher Bahadur were to recommend the dissolution of the House of Representatives, we know what our politicians and lawyers would have done. They would have thronged the Supreme Court with petitions seeking to declare the order unconstitutional. From the ruling Nepali Congress to the main opposition CPN-UML, all parties have shown this opportunistic streak. That's why the 'passivity' of Sri Lanka's opposition politicians and lawyers has infuriated their opposite numbers in Nepal.
Where Do They Stand?
Most of the King's nominees in the upper house of parliament seem to have forgotten their primary responsibilities. As no political party has a majority in the house of elders, some royal nominees find it easy to follow their own brand of 'Aya Ram Gaya Ram' politics. Whether it is sitting MP Yankela Sherpa or former MP Sarada Pokharel, few show compunction in betraying the institution that sent them there. As royal nominees, their duties are to defend the monarchy by conveying proper perspectives in the house. Unfortunately, most royal nominees are trying to project themselves along party lines. Doesn't this suggest that the time has come for the palace to re-evaluate the nomination process?
Formal Informality
Nepalese journalists often put political leaders on the defensive. But recently a leading politician painted them into the corner. Nepali Congress leader Narahari Acharya knows how to tackle journalists and disseminate the views of his party. Acharya recently organized an informal meeting with journalists but discussed almost all formal issues of concern. He replied to reporters' queries without pretenses of an off-the-record session. As the convener of the publicity department of the Nepali Congress, Acharya gave out key information relating to the party. Whenever there is a crisis in the Nepali Congress, Acharya has been successful in throwing the views of the party by placing journos on the defensive. Acharya has devised a convenient way of leaking information and floating trial balloons with proper safeguards for himself.
Mysterious Absence
House of Representatives Speaker Taranath Ranabhat and his deputy, Chitra Lekha Yadav, seem to be very unhappy over the land reform agenda presented by their party. What else could explain their absence from the session in which the government tabled the land reform bill for a vote? Ranabhat and Yadav are normally present in sessions that deal with the most mundane matters. Their decision to let a junior MP chair such an important session leaves ample room for suspicion.
Freedom Furore
Nepal has entered a free-for-all phase in its democratic evolution. A judge issues an interim order on a matter not formalized by the government. The opposition refuses to discuss a bill passed by the lower house. And judges who are supposed to listen to opinions start to vehemently plead their own case. Has anyone thought about the kind of message this robust exercise of freedom is sending to the people?
Wishing All Our Clients And Well Wishers A Very Happy Vijaya Dashami And Deepawali 2058 B.S.
Rajesh Kazi Shrestha
President
NEPAL CHAMBER OF COMMERCE and Family
CHAMBER BHAWAN, Kantipath,
Phone: 230947
MAOIST INSURGENCY
Defaming Itself
As Maoist rebels start disobeying their party command, the government comes under pressure to act tough
By BHAGIRATH YOGI
Nepali Congress cadres listening to their senior leaders at a mass meeting in Nepalgunj on Sunday got a clear message that there was no love lost between ruling party president Girija Prasad Koirala and Prime Minister Sher Bahadur Deuba. Refuting charges from the top party brass that the government was giving unnecessary concessions to the Maoist rebels, the prime minister said his government will not bow down in front of the insurgents.
"The government will not compromise on the issue of constitutional monarchy, multiparty democracy and present constitution with the rebels," declared Deuba.
Referring to the demands for a republic state by the Maoists, Deuba said, "We don't want to turn Nepal into another Afghanistan". Earlier, former prime minister and Nepali Congress President Koirala blamed the Deuba government for failing to resolve the problem of Maoist insurgency despite full support from the ruling party. "If the talks proceed in this way, the (problem of) insurgency will never be resolved," he added. As the ruling party leadership is exerting pressure upon the government to act tough against the rebels, Prime Minister Deuba doesn't want to go to such a distance that could push the rebels out of the negotiation process, said sources.
The disenchantment in the ruling party could be understood as the Maoist cadres continued their spree of extortion, loot, abduction, burning down of vehicles and even murder, enjoying the lax security situation after the informal truce observed as soon as Deuba assumed office. "The present anarchy is an outcome of lack of a code of conduct to be agreed by both the parties," said Shobhakar Budhathoki, a human rights activist who has served as a UN volunteer in regions of conflict like Kosovo and East Timor.
Analysts say the recent terror being spread by the Maoists may be an indication of the grip the party leadership is losing over its cadres. Addressing a function on Saturday, leader of the main opposition UML, Madhav Kumar Nepal, quoted top Maoist leader Dr. Baburam Bhattarai as telling him during a recent telephone conversation that the Maoist guerrillas and épeolels militia were no more under the party's control. According to Nepal, Dr. Bhattarai said the underground party has launched a special campaign to control the growing irresponsible and anarchic behavior among its cadres.
Despite reports of growing differences within the Maoist party, officials are optimistic that the rebels will finally agree to esafe landí their six-year-old insurgency. "We hope at least half of the rebels would agree to pursue a peaceful course," said Premier Deuba. Agreed Narahari Acharya, one of the members of the government negotiation team, "I am optimistic that within the next six months, the Maoist party will prepare itself to join the political mainstream and contest parliamentary elections."
As the Maoists are losing their épopular appeal due to their anarchic behavior, giving up arms and contesting elections would not be an easy choice. But growing international opinion against terrorism and Indian Foreign Minister Jaswant Singhís recent description of them as terrorists is likely to force the Maoists to adopt a more pragmatic path as they prepare to sit for third round of negotiations with the government later this week. "If they lose this opportunity, the Maoists will have to pay a heavy price," declared Prime Minister Deuba in Nepalgunj. At the same time, critics say the entire country may have to pay the price for the seeds of hatred, violence and ethnic conflict already sown by the rebels during their nearly six-year-old insurgency.
We extend our hearty greetings and best wishes to all our valued guardians and well wishers on the auspicious occasion of Vijaya Dashami and Deepawali 2058 B.S.
NOBEL ACADEMY H.S. SCHOOL & COLLEGE
P.O. Box : 12160, New Baneshwor, Kathmandu
Tel : 481401/497927/484515, E-mail : firstname.lastname@example.org
RELIGION, WAR AND POLITICS
The Afghan Syndrome
Realities of history and geography provide enough reason for Nepal to remain vigilant as the US-led war on terrorism rages
By AKSHAY SHARMA
In the aftermath of the September 11 terrorist attacks on the United States and Washington's pledge to pulverize terror groups and their sponsors with the full force of its military, some Nepalese analysts are predicting significant impacts on this country.
Their conclusions are rooted in geography as well as history. Afghanistan and Nepal are in the same neighborhood and have given similar responses to expansionist forces in different periods in the past. Moreover, Nepal and Afghanistan are both land-locked nations lying in the same mountain chain. However, Afghanistan has seen more political upheavals than Nepal has.
Nepalis understand well how international and regional events go on to shape their destiny. "When former Pakistani prime minister Zulfikar Ali Bhutto was hanged in 1979, there were political upheavals in Nepal that nearly restored multiparty system," says a political scientist. The fact that multiparty democracy had to wait for another decade, until the collapse of communism in Eastern Europe, to re-enter the country is not lost on Nepalis, either.
As the US-led coalition has embarked on a new kind of war, Nepal and its neighbors have either offered to provide or are already providing various forms of support to the campaign. After the World Trade Center twin towers in New York City collapsed, a social organization, Goretro, recorded that the people of Kathmandu were more concerned by that event than they were about the Rukumkot massacre mounted by the Maoists a few months ago.
Nepal's Gurkhas warriors, known internationally for their bravery and fighting skills, have associated the country in one way or the other with most modern wars. Coming from several ethnic backgrounds within Nepal and having a military tradition dating from the 16th century, the Gurkhas' fame spread throughout the world after they fought the British army in the Anglo-Nepalese War (1814-1816).
Although the British defeated Nepal, the victors were so impressed by the Gurkha fighters that they enticed them to enter the British (and, subsequently, Indian) army. The Gurkhas, known for their dextrous use of the kukris, have fought in nearly all of the world's major wars and have earned Britain's highest service awards, including the Victoria Cross.
The increasing use of technology in warfare, however, is decreasing the need for fighters such as the Gurkhas. Both Britain and India have reduced their recruitment of Gurkha soldiers in the 1990s. Nevertheless, early reports from London said the first British ground troops to be deployed in Afghanistan were likely to be Gurkhas.
The nature of terrorist activities and the response required have changed the terms of warfare. Groups and individuals linked to Saudi-born millionaire Osama bin Laden, the prime suspect in September 11 attacks, have been traced to over 50 countries. The news magazine India Today carried a cover story on the "Osama bin Laden of India". The man on the cover was the main person the hijackers of an Indian Airlines flight from Tribhuvan International Airport in December 1999 wanted released from a Kashmiri prison. Indian Foreign Minister Jaswant Singh accompanied Maulana Masood Azhar to the Afghan city of Kandahar to negotiate the return of the passengers.
Azhar formed the shadowy Jaish-e-Mohammad group in March 2000, which initially took responsibility for a suicide attack on the Jammu and Kashmir state legislature, killing at least 38 people. Although the group later denied involvement, Indian officials remain convinced that Azhar, believed to have close links with bin Laden, was behind the attack.
Newspapers around the world are focusing on religious parties and charities that are directly or indirectly helping Al Qaeda's terrorist activities. The primary man behind bin Laden is Mullah Mohammed Omar, an Islamic cleric who leads Afghanistan's Taliban government, according to a strict version of Islam.
Afghanistan's neighbor to the west, Iran, was where the first modern Islamic Revolution was successful. A Shia cleric, Ayatollah Ruhollah Khomeini, exiled in France, led a popular uprising that ousted Shah Mohammed Reza Pahlavi in 1979. "[O]n January 6, 1979, the symbol of Iran's stability and symbol, the Shah, was forced to leave the country under the pressure of one of the most extraordinary revolution of the Third World," Golum R. Alfatakani remembers in his book "The Iranian Revolution".
The Iranian monarchy had collapsed when both the Shah and his system appeared quite strong. "The debate over the role played by the West in the fall of the Iranian monarchy is still zealously pursued..."
by a respectable number of knowledgeable Iranian. The Shah himself passed away apparently convinced of the West's culpability in the overthrow of his regime," Golam writes. "The available evidence, however, does not corroborate the role attributed to the West, even though is no doubt that some Western politicians and functionaries were anxious to see the Shah fall."
The extraordinary instrument of the revolution was religion, Ayatollah Khomeini's popularity showed the undetected strength of the Shia religious establishment. As Golam writes, "In the year following 1978, religion succeeded when the crucial segment of the society had very little affinity towards religion."
A similar affinity to tradition led the Afghan mujahideen to force Soviet troops, who launched an invasion in 1979, out of the country a decade later. The bloodletting among various Islamic warriors that followed the Soviet pullout paved the way for the Taliban's rise to power.
Even in the midst of this modern war on terrorism, tradition has again asserted itself in Afghanistan, albeit in a different way. The former king, Mohammed Zahir Shah, overthrown in 1973 and living in exile ever since, is being encouraged by the West and many Afghans to lead the transition to a broad-based government in Kabul after the fall of the Taliban.
As the US military continues its military strikes on Afghanistan, Al Qaeda has threatened further attacks on the United States and other countries. The question now isn't if they will strike again, but where and how they will do it.
The repercussions on Pakistan could be significant. President General Pervez Musharraf is under intense US pressure to assist in the hunt for the perpetrators of the 11 September terrorist attacks. The problem for Gen. Musharraf is the legacy of the Islamization policies pursued in the late 70s and early 80s by a previous military strongman: General Zia ul-Haq. One consequence of the Zia years has been the proliferation of Islamic seminaries in which around 600,000 boys are now studying. On leaving these seminaries, many graduates go to Afghanistan to be imbued in the rhetoric of holy war.
Another legacy of the Zia years has been the miniaturization of religious organizations. During the Zia years, a number of Pakistani religious parties began military training programmes, often linked with Afghan or Kashmiri groups. These included the mainstream Jamaat-e-Islami led by Qazi Hussein Ahmad and the Jamaat-e-Ulema Islami led by Fazlur Rahman.
Extremist splinter groups such as the Sipah-e-Sahaba, the Lashkar-e-Tayba, the Lashkar-e-Jhangvi, and the Harakat-ul-Mujahideen have also emerged, often with moral and financial support from oil-rich Arab states.
The situation is further complicated by Pakistan's sectarian split between the dominant Sunnis and the 10 percent to 15 percent of the population that follow the Shia brand of Islam. The Pakistani Shias are supported by Iran that, in turn, is opposed to the Taliban, bin Laden's protector.
Some 20 million of Pakistanis' 140 million people are ethnic Pathans, the group from which the Taliban primarily draws its support. If ever a political leader was caught between a rock and a hard place, it is Gen. Musharraf.
Experts here predict that Nepal would also be affected by a prolonged war on terrorism in South Asia. There have been demonstrations and rallies in Kathmandu to protest against the bombings in Afghanistan. However, the scale of the impact on Nepal would go beyond anything domestically driven.
"The United States has cautioned India not to try to take advantage of this situation," says a security analyst. "But there will certainly be a spillover, as Kashmir is so close to Nepal. Nepal could also be targeted if the current campaign is broadened to identify and locate Kashmiri forces, which New Delhi believes are also in Nepal. Furthermore, the government could find itself fighting extremist forces within the country that have largely remained dormant," the analyst adds. This reasoning may seem to be in the realm of speculation now. In view of the speed and form in which events are unfolding in the region, however, Nepal cannot afford to lower its guard.
LAND REFORMS
Unreal Estate
Despite stiff opposition from different quarters, the government, with the support of the main opposition party, passes the land reform bill.
By KESHAB POUDEL
The drama surrounding the government's land reform program unfolded in a manner similar to Leo Tolstoy's famous story "How Much Land Does A Man Need?" After initially backing the government's program as revolutionary step to provide surplus land to the poor and landless, the communist opposition ended up providing grudging support, calling for further reduction in ceilings.
It is not land that would meet the requirements of the poor people of one of the world's poorest countries. What they need are policies and programs that would help them gain livelihoods in other sectors as well. The experience of the last 20 years has shown that one cannot reduce poverty merely by distributing land. Nepal's communist parties, however, continue to chant cheap and populist programs without bothering whether they could work.
After the passage of the land reform bill by the lower house of parliament, the communist opposition declared that their quest to reduce the land ceiling would continue. This has sent a wrong signal across the entire economic sector. "The land reform program should be made in accordance with the high-level Badal Commission report," said MP Bharat Mohan Adhikary, chief whip of the main opposition Communist Party of Nepal Unified Marxist-Leninist.
As the majority of the country's people individual to hold one bigha in the terai, five ropanis in Kathmandu valley and five ropanis in the hills.
Earlier, an individual could hold 28 bigahas in the terai, 58 ropanis in Kathmandu valley and 96 ropanis in the hills. Whatever the arguments political parties forward, few see the possibility of collecting surplus land.
In the nearly 37 years that have passed since the implementation of first land reform program, the increase in the number of family members in almost all households has already reduced land holdings from 25 bigahas to less than five bigahas.
According to the survey of the Farm Size and Distribution of Cultivated Land, the percentage of the population holding 5-10 hectares of land is less than one percent. The National Agriculture Sample Census of 1998 shows a small number of people who hold such land. If the case is so, even fixing the ceiling as per the recommendation of the Badal Commission, only a small portion of surplus land could be acquired by the government.
"Whatever revolutionary land reform programs the country's major political parties bring, they cannot find any land to distribute to the common people," says Dr. Ram Prakash Yadav. "Where is the land to distribute?"
After the August 16 declaration of Prime Minister Sher Bhadur Deuba on reducing the land ceiling, Nepal's stable land sector was badly rocked, sending wrong signals to other economic areas. Despite the claims of the ruling party and the communist opposition, the so-called 'revolutionary' land bill will hardly benefit anyone. What it has achieved is to inject a feeling of instability among the people.
Although the land reforms bill has no economic sense, the ruling Nepal Congress and the communist parties have termed it as a revolutionary step. One of the basic characters of the bill is that it reduces the land ceilings in different ecological zones.
The land reform amendment bill does not have any significance in terms of economics. What it will do is give a tool to politicians to keep fooling innocent Nepalis with their cheap and populist agenda. For the people, the quest for lands is no more than the costly wish of Tolstoy's main character, Pahom, who ended up getting a six-feet plot from his head to heels for burial.
Heartiest Felicitations
To All Nepalese
On The Auspicious Occasion Of
Happy Vijaya Dashami and
Deepawali 2058 B.S.
AE Amatya Enterprises Private Limited
Bina Chambers, Exhibition Road, Kathmandu, Nepal, Tel: 227 126, 227 098,
TELEX: 2292 AEPL NP, Fax: 977-1-225 785
We Extend Our
Heartiest Felicitations
To All Our Clients
And Well-Wishers On The Auspicious
Occasion Of Happy Vijaya Dashami
And Deepawali 2058 B.S.
NEW Super Star Enterprises
Sukrapath, Kathmandu, Nepal
Tel. No. 977-1-253860, 230971
PDDP
Power To The People
The Participatory District Development Program proves successful in enhancing the capabilities of local bodies
By A CORRESPONDENT
With the implementation of the Local Self-Governance Act 1998, the role and status of local institutions have undergone drastic change. But how will Village Development Committees (VDCs) and District Development Committees (DDCs) launch programs on their own through old institutional structures?
Nepal has a long experience of managing village- and district-level programs. Even during the Panchayat days, the government focused its attention on institutional building in such bodies. Because of their continual presence at the grass-roots level, governments that came to power following the restoration of multiparty democracy in 1990 did not have much to worry about.
Despite basic institutional set-ups, a large number of VDCs and DDCs do not have technical and other capabilities to execute the new act. The districts and villages supported by the Participatory District Development Program (PDDP) - a project implemented by National Planning Commission and United Nations Development Program at the district level to promote decentralized local development and sustainable human development - have many advantages.
The districts supported by PDDP project are now proving their efficiency in project implementation and execution as well as in formulating periodic plans in accordance with the Local Self-Governance Act.
In the first phase of experiment, the PDDP has been able to build institutional mechanisms to go along with the principles of the Local Self-Governance Act. Although the project was implemented only in six districts at the beginning, it has gradually expanded to 30 of the country's 75 districts.
Funded by the Norwegian development agency, Norad, and the UNDP, the PDDP has shown that it is the participation of people that can ultimately bring desired change. The success of the PDDP has also encouraged other agencies to replicate program approach in other districts. The program offers support to DDCs to establish a district-level Local Trust Fund to implement and expand the social mobilization process in villages.
The PDDP supports the government to develop the capacities of the established decentralized governance structures to institutionalize participatory and sustainable processes for management of local development initiatives and to enhance equitable access to development resources. The Ministry of Local Development has also been launching similar programs in other districts. One of the objectives of the PDDP is to empower people to take increasingly greater control over their own development and to enhance their capacities to mobilize and channel the resources required for poverty alleviation. The PDDP works simultaneously at the local and central levels.
"The PDDP has played a very important role in strengthening local capabilities and institutional set-up," says Dr. Jagdish C. Pokharel, a member of the National Planning Commission. "In the second phase of its implementation, the project needs to focus more on poverty alleviation and formulation of periodic planning according to the actual needs."
The project provides support for improving the governance system and social empowerment process at the village level through the development of self-governing community institutions. It also supports the strengthening of development program and management capabilities of the DDCs.
"The project helps to enhance the capability of the local bodies and strengthen their institutional set-ups," says Sanjaya Adhikary, national program manager. "In the first phase of the program, the PDDP focuses more in enhancing the institutional capabilities," says Adhikary.
The PDDP shows the way how to encourage the people in grass-roots areas to enhance their capabilities for their own development and the importance of social mobilization to bring change in the particular areas. The program thus fits into the social realities of the country, providing greater momentum to development attuned to requirements the targeted beneficiaries themselves feel they need.
We extend Our Hearty Greetings To All On The Auspicious Occasion Of Vijaya Dashami and Deepawali 2058 B.S.
Rastriya Banijya Bank
Central Office
Singh Durbar, Kathmandu
We extend our hearty greetings and best wishes to all Nepalese on the auspicious occasion of Vijaya Dashami and Deepawali 2058 B.S.
Janak Education Materials Center
Sano Thimi, Bhaktapur
Best Wishes
And Happy Greeting On The Auspicious Occasion Of Happy Vijaya Dashami And Deepawali 2058 S.B.
Nava Chhitij Cooperatives
Exhibition Road, Ph: 242627, 242352
E-mail : email@example.com
DASHAIN FESTIVAL
Season Of National Anxiety
As the Dashain festival begins, the crowds at stores and stalls are apparently thinner this year. There is a palpable sense of anxiety among consumers. Even in the peak of the country’s marketing season, they seem to be tightening their purses, letting it loose only to buy essential items like foodstuffs and clothes. The series of tragic events that hit the country this year has had a dramatic effect on consumer behavior. Just as businessmen were hoping to welcome consumers back to their shops on the eve of the Dashain festival, international events have scared buyers away. Will consumer and business confidence be restored after Dashain?
By SANJAYA DHAKAL
S hambhu Thapa, 42, has decided to shelve his plan to buy a new 14-inch color television this Dashain. His two sons have been pestering him to buy a new TV set for the last few years. A clerk at a private company, Thapa had made up his mind to buy one this year with his savings and Dashain bonus. But events in the country over the last couple of months have forced him to reconsider. "I am not sure that I should spend my savings just yet. After the massacre in the royal palace and escalation in the Maoist insurgency, it does not seem alright to waste money on non-essential items like TV. Who knows what is going to happen tomorrow?" asks Thapa, who lives in a rented apartment in Old Baneshwor.
Thapa has decided to save his money this year. "I hear of price rise and, with the war on Afghanistan, there is a definite possibility of sharp inflation. Besides, I will have to buy new clothes and foodstuffs for the festival, too."
Gauri KC of Sanepa shares Thapa's views. "The situation is all confusing. There is no telling what is going to happen. Obviously, we are saving our money rather than spend it lavishly like
Thanks to the economic downturn and the uncertain atmosphere, consumers are not in their usual Dashain state of mind as far as spending is concerned.
"There are no transactions this year. When the pockets of the customers are empty, how can we expect to make more sales," asks Manoj Rauniyar, a trader who had put up a stall to sell sweaters and other winter attires at the Dashain Mahotsav in Bhrikuti Mandap. "We have slashed prices heavily to lure consumers."
Rauniyar's stall sells sweaters for Rs 550 each (down from the usual Rs 1,050). "We were having a lot of stocks lying unsold in our shop, so we put up our stalls here hoping for brisk sales."
Prakash Kafle, who also has a clothes store in the Dashain Mahotsav, shares Rauniyar's sentiments. "We have come to this kind of fair for the first time this year. But it does not seem like we will be making any profits," he says. Kafle spent Rs 21,500 on putting up the stall for eight days. "It seems we will be only breaking even, going by the transaction of the first three days here."
Both Rauniyar and Kafle say they decided to put up the stall in the fair hoping to make up for the declining sales in their respective shops in New Road and Putilasadak. They say that while the richer customers prefer big department stores, it is the middle and lower middle class people who come to them. "And this year I have found that our customers are in a mood for hard bargaining as well," says Kafle. Another indication of the emptying pock'People Are Not Spending Much'
— BIRENDRA RAJKARNICAR
BIRENDRA RAJKARNICAR is the Managing Director of the House of Rajkarnicar (HoR), an organization that has been regularly organizing exhibitions and events. Currently, the HoR is organizing Dashain Mahotsav, a major consumer trade fair, at Bhrikuti Mandap. Rajkarnicar spoke with SANJAYA DHAKAL on the current state of consumer behavior. Excerpts:
How do you find the current trend of consumer behavior?
In general, I have to say it is not good. The average person does not have enough money in his pocket. There is an environment of uncertainty in the domestic front. The outcome of the government-Maoist dialogue is being anxiously awaited. Likewise, in the international arena, the war in Afghanistan is having direct and indirect effects. The exports of carpets and garments have come down drastically. The consumers who do not have enough money are definitely not going to spend much. Even those having it are saving it. This is what the environment is.
You are organizing the Dashain consumer fair. How has public reaction been?
The consumers’ reaction to the fair has been interestingly quite encouraging. This year the traders have been recording depressingly low transactions. Thanks to the economic downturn and domestic reasons, the business was at a low ebb. As a result, the traders have had a considerable stock of goods. The fair has given them a unique short-term opportunity to make up for those lost times. On the other hand, the general consumers, who were going through a rough phase over the last couple of months, thanks to insecurity, bandhs and the campaign to ban the sale of alcohol, are now restless to get back to normalcy. The fair has given them that opportunity. The fair is a combination of entertainment and business.
What about spending patterns? Are consumers spending as much as they were in previous years?
Another interesting development has been the drastic cutdown of prices by the traders. They have introduced heavy discounts. These facts have worked together and we can safely say that the number of visitors at the fair is not going to come down compared to previous years.
Isn’t there some noticeable change in the consumer mood?
The basic thing is that people spend only when they have money. Moreover, in times like these, people tend not to spend even if they have money. They rather like to save it for future. At present, the situation is beset with uncertainties and instability. Until and unless this situation improves, the condition will remain the same.
Do you think the present trend of stagnant, if not decreasing, consumer spending is a reason for serious concern?
It is, indeed. The government needs to introduce some package. They have to take some policy initiatives to restore consumer confidence. Long-term policies and strategies are needed to boost exports.
What are your expectations on actual buying-selling in the Dashain fair?
Though it would not be a normal growth, I hope there will be average business. In general, transactions worth at least 20 million rupees to 30 million rupees do take place in such fairs.
From towns to villages, the festival is observed with emphatic enthusiasm. Goat meat and sweets are a must. Wearing new clothes is another important tradition. People go to relatives’ houses to receive tika (sacred vermilion) from elders. The festival is marked as an event of victory over evil.
“Even the poorest of the poor people take loans to buy new goods for the festival. Such is the strong sense of celebrating festivities among the Nepalese society. Therefore, it would not be appropriate to say that their bad mood will hamper their spending pattern, though it can be safely argued, the pattern has been somewhat affected,” says a sociologist. He, however, added that the royal massacre has seriously affected the social psyche of Nepalese people, if not their economic psyche.
Agrees Shambhu Thapa. “Definitely, Nepalis are in no mood for entertainment at present. After the royal massacre and the continued killings in government-Maoist clash, the people are feeling very bad.”
Definitely, the mood of the consumers is going to affect their buying decisions. This could be one major reason why there have not been desired transactions this season.
**Will Consumer Confidence Be Rekindled?**
There are silver linings in the dark cloud. Many believe that if the ongoing dialogue between the government and the Maoists succeeds or if it paves the way for the peaceful conditions, not only the consumers’ confidence, the whole economy stands a chance to revive.
Nepalis are not unfamiliar with recession. They have been going through bad economic times for many years. That is why it will be unfair to judge the present circumstances as being the defining moment.
Presently, the export sector is going through turmoil. More than 80 percent of the country’s garment industries have already closed down, leaving around 40,000 people jobless in the aftermath of growing domestic insecurity and deepening global recession. The impact of the economic downturn in the United States, the key market for Nepalese garments, has been particularly harsh. The same is true for the carpet sector.
The tourism industry is witnessing unprecedented turmoil, especially with the threat of global terrorism keeping visitors away. Already plagued by series of events like 1999 Indian Airlines hijack, the Hrithik Roshan riots, the royal palace massacre and the escalating Maoist insurgency, the tourism sector has been dealt a fresh blow in the form of global war on terrorism. In short, the pillars of Nepal’s exports are crumbling down. With the US military strikes on Afghanistan, the entire region has become tense, with deepening uncertainty about their fallout. What will all this ultimately lead to? Bhaskar Rajkarnicar believes the Nepalese economy has hit rock bottom. “The only place it can go is up, and I believe it will go up after the current festive season.” Soothing words, especially when they are coming from a businessman in these troubled times.
‘The Only Way For The Business Sector Now Is To Go Up’
BHASKAR RAJKARNICAR is the Managing Director of the Everest Exhibitions and a prominent entrepreneur in the advertising field. Rajkarnicar recently organized a major trade fair in the capital called Kathmandu Utsav. He spoke with SANJAYA DHAKAL on issues related to consumer economics. Excerpts:
Recently you organized Kathmandu Utsav amid reports of economic depression and low consumer confidence. How was your assessment of this phenomenon?
It is very much true that there is depression in economic activities. However, in terms of consumers, Nepal has an interesting market. When we planned Kathmandu Utsav six months ago, we had thought that in the given circumstances of political instability, it could not be successful. Fortunately, there was a record booking of stalls for the Kathmandu Utsav and consumer turnout, too, was massive. Even the transaction was not bad. So, I have to say that from the point of view of consumers, the market is not that bad. But again, the point to remember is that this enthusiasm, too, is the result of this depression. For the past five months, Nepalese traders/businessmen were facing extreme difficulty in recovering their costs. They were struggling to keep afloat. Obviously, they took this fair as sort of last resort. On the other hand, this is the hottest buying season for Nepalese consumers. So we cannot say that because there was normal sales in the fair, the depression has gone away. That is incorrect. Still there is slack in sales. If you compare the transactions/sales to previous years, then, I have to say we have a problem. Already less than a week remains for the festival to begin and we are yet to witness the normal surge in marketplaces. However, I think that the business in the country will improve after Dashain and Tihar.
What about visitor turnout this year?
In terms of visitor turnout, there is no significant change as such. It is true, there is no growth but it has not declined, either. The same is true as regards consumer spending. Normally, we should be witnessing 20-25 percent growth in sales/transactions. But that is absent.
Due to the incidents of last few months, the collective mood of Nepalis is at very low ebb. Has it made any difference to the way they buy/spend?
Definitely, it has. In the past we used to see that consumer behavior during Dashain was very positive. It is also a bonus month. And even those people who do not get bonus always plan to buy something new in the season. Dashain ushers in added market in the field. More specifically, people tend to buy electronic items or go out somewhere to enjoy like restaurants once they lay their hands on their bonus salary. This we have not seen this year, unfortunately. The present consumer behavior is such that they are buying only regular items like clothes and foods. This is indeed a sign of depression.
How dangerous, do you think, is this kind of consumer behavior to the country’s economy?
I think that Nepal’s economy cannot and will not collapse as international economies do. We do not depend wholly on the business resources. We have other sources, too. Our economy cannot collapse the way the Thai or American or Malaysian economies do. If we look at the past 10-20 years of the history of our consumer market, we are at the lowest point now. I think it cannot move below this point. Most probably, the economy will get a boost in November after the festival season. We were expecting it to boost before Dashain, but it did not because of international events. Presently, our economy is getting closely inter-linked with international mainstream. Even a slight change in American consumer behavior will hit our garments and carpets, two of the major export items. I think that our economy will witness an upturn now. We have come to the lowest point. The only way we can go now is, up. Carpet, garment, pashmina, tourism — every sector is already affected. There is nothing worse that can happen now.
How do you assess business and investment confidence?
If we take the reports by banks and financial sectors as the actual picture, then I must say the situation is not very bad. Though there are doubts whether this is the actual picture. As far as other business sectors like electronic, information technology, exports, tourism, restaurants are concerned, they are in really bad shape. If there was massive foreign investment and if the investment was withdrawn en masse, our economy could have collapsed. But that is not the case here. The business sector has realized that they, themselves, have to revive the economy. This is evident by the fact that even in these uncertain times, we see a lot of new economic activities going on.
What should be the government’s role?
The government has its duties. The first thing it has to do is reform the banking sector, which is the pre-requisite for any economic reforms. Just two months ago the central bank introduced new rules and regulations saying they were of international standards. I disagree. I believe we have to introduce modern approaches rather than sticking to traditional ones. Everybody is talking about the relief package. The government should relax taxes. At present the business sector is reeling under double pressure — one from recession and the other from strict taxation. The authorities need to ensure a peaceful environment as well as introduce some sort of short-term tax holidays to bail this sector out from the turmoil. We are not expecting billion-dollar bailouts from the Nepalese government like in the United States. We are only demanding that the government become flexible enough to soothe the sector and enthuse confidence. That apart, we want even those forces outside the government to refrain from hitting at the economy, which is the lifeblood of the nation. In fact, recently the Federation of Nepalese Chamber of Commerce and Industry ran a media campaign urging all to show restraint and stop hurting the economy. In Sri Lanka, too, there is a serious internal problem, but it has not been allowed to hurt the economy. We demand the same here. Otherwise, I have to say that the country will collapse even before the economy does here.
CYBER WARFARE
Vulnerable Battlefield
Nepal could find itself caught in cyber warfare waged by regional rivals without being able to do anything about it.
By AKSHAY SHARMA
The aftermath the September 11 attacks on the United States has created psychological scars in nations around the world. The period has also focused attention on the need to be prepared for newer technologically driven forms of warfare. Precariously perched in a region that has become a hotbed of instability, Nepal could soon find itself caught in cyber warfare triggered by regional rivalries.
The head of Taiwan’s Defense Ministry’s Information and Communications Bureau, Lt. Lin Chin-ching, announced that Taiwan had categorized about 1,000 computer viruses, which could be used to counter a Chinese electronic attack, the British Broadcasting Corporation reported earlier this year. But China’s limited information infrastructure may work to its advantage in a confrontation with Taiwan, which is more computer-dependent. The threat of electronic mutually assured destruction may prove to be a counterproductive strategy because the sector of Chinese infrastructure most vulnerable to attack is highly linked to Taiwan’s own economic well-being.
In May 1999, Taiwanese Defense Minister Tang Fei announced the establishment of an information warfare research and training taskforce in response to growing concern over China’s development of information and electronic warfare capabilities. In last November’s defense budget debate, Tang emphasized Taiwan’s need to improve its defenses against missile attacks and to develop its information warfare capabilities.
In fact, these two areas are thought to be at the core of Taiwan’s next five-year military modernization program (2001-2005). Following the 1991 Gulf War, China initiated a full-scale campaign to develop its information warfare capability at the strategic, operational and tactical levels as part of its overall military modernization effort.
According to a recent US government report, “Selected Military Capabilities of the People’s Republic of China”, the PLA only recently modernized its automated command and control system and is developing a new kind of computerized field communications system. Moreover, China’s civilian infrastructure relies little on computer systems.
Though China ranked as the 10th country with the most computers, according to a 1997 Computer Industry Almanac survey, when measured in per capita use, only about one in every 10 Chinese has access to a computer. This is significantly smaller than Taiwan, which is estimated as having computer access for one out of every three citizens.
Despite China’s relative weakness in the computer sector, a Taiwanese counterattack may prove counter-productive. The portions of the Chinese economy most affected in the event of a Taiwanese counterattack would be the parts that are more integrated to the rest of the world, hence more technologically dependent. The most notable sectors are tied to the import and export of goods, especially computer-related products. This directly affects Taiwan.
In April 1999, Janet Matthews Information Services Country Risk Report reported that due to a low-cost production base in China, nearly 30 percent of Taiwanese computer-related products are manufactured in mainland China. With this in mind, a Taiwanese counterattack would, in fact, endanger Taiwanese-owned and operated computer businesses inside of China.
Taiwan ranks only behind Japan and the United States as a source of net Foreign Direct Investment (FDI), although FDI in China fell in 1998 to $36.7 billion, down from $41.7 billion in 1997. If Taiwan were to initiate an electronic attack against China, it would be tantamount to shooting itself in the foot. It may prove less harmful for the Chinese military or civilian infrastructure than toward computer-orientated Taiwanese businesses in China.
The way events are unfolding, we can expect a similar battle in Nepal, traditionally described as a yam between two boulders. There have been reports of “E-supadies” where Indian officials have accused Pakistan’s Inter Services Intelligence as sponsoring such attacks into Indian technical community.
“Having become the focus of countries like America and India, Nepal is a more crucial and a perfect battleground for the forces that are against the ideology of China, Nepal may also become a staging ground for countries battling each other on the Internet,” says a security analyst. A wake-up call indeed for our IT and security planners.
BISHNU BAHADUR K.C. has had a long innings in the Auditor-General’s Office, having joined the body as a career auditor. After a series of promotions, the King appointed him head of the constitutional body. Auditor-General K.C. has introduced new techniques and modalities for intensive auditing. He spoke to KESHAB POUDEL on key challenges of auditing in Nepal and lapses in the government expenditure. Excerpts:
As a career bureaucrat promoted to the highest position of the Auditor-General’s Office, how do you see your performance over the last five years?
Although one can see slight improvements in the process of annual auditing and positive tendencies in the annual budget expenditure, I have not been able to achieve major things to satisfy myself. I will be happy when the volume of the annual unsettled account is reduced and collections of government dues increase. Unless one can feel drastic changes and progress in budgetary spending, there is no reason to celebrate. My objective is to encourage officials to abide by the law. If I succeed in doing so, it will be one of the greatest achievements of my life.
Are there any flaws in the Financial Administration Act and Regulations?
After the amendment to the Financial Administration Act and Regulations three years ago, some ways have been opened in spending annual budget, but there are still many lapses. According to the Constitution of the Kingdom of Nepal, the government has to spend money sanctioned by parliament through the Financial Act. If the government wants some changes in the budget, parliamentary sanction is required. It is very unfortunate that no one seems to abide by their constitutional obligations. Annual budget allocations are changed randomly by officials. The budget allocated to one heading is transferred to another area. Unless the role and duties of the concerned officials are clearly defined, I don’t think budget allocations and expenditure can be used properly.
What is required to compel officials, then?
First of all, there is a need for commitment among senior bureaucrats and politicians to abide by the rule of law. Secondly, the government needs to take action against those who do not fulfil the roles, duties and responsibilities spelled in the act. The government changed the Financial Act and Regulation in 1998, but it is still incomplete and confusing. The act is still not in consonance with the spirit of the constitution. I have often raised the issue in the Public Accounts Committee of parliament and with concerned officials. The committee has also directed the government to take necessary steps to fulfill the constitutional obligations. Along with modification in this system, we also need to bring changes in the accounting system.
What are the highlights of this year’s report?
We have tried to audit more and more institutions and increase the volume of money. Overall, there has been an increase of 21 percent in unit and 25 percent in amount in unaudited money compared to the last fiscal year. We have seen progress in preparing budget allocation report for audit and promptness among officials to reply to our queries. This year the amount of unsettled accounts of auditing has been reduced by a marginal percentage. Last year, the unsettled account increased by Rs 3.24 billion, but this year it has increased by just Rs 710 million. The total amount of unsettled money is Rs 26.41 billion and auditing due is Rs 2.85 billion. Another serious issue of concern is the increasing amount of revenue due, which is Rs 26.62 billion now. The total amount of revenue due and unsettled account is Rs 55.88 billion.
How do you see the response of officials to your report?
The officials are gradually supporting us by implementing our suggestions and recommendations. This year, the settled amount increased by Rs 3.90 billion and unsettled account of Rs 7.43 billion has been cleared. The account was settled through regular and special provisions. Overall, the amount of settled account has increased, but ministries are trying to reduce the level. In terms of unsettled account and settled account, the progress is very positive. In case of advance payment, the amount has declined compared to previous years. If we see the cases of revenue collections, there are billions of rupees that are overdue. The total revenue overdue was Rs 13.53 billion in the last fiscal year and today it is Rs 17.36 billion. The money includes royalty of electricity, auction of timbers and other revenue and taxes. This is a more serious issue than the amount of unsettled account. The revenue overdue is so high that the progress made in the areas of unsettled account has no effect.
What is the trend of overdue revenue?
If you see the trends of the last five years, the amount of revenue overdue has increased by 374 percent. In fiscal 1996/1997, the revenue due increased from Rs 3.67 billion; but now it is Rs 17.37 billion. This is a result of negligence in the implementation of financial rules and regulations. In business transactions, we have not seen seriousness among the officials. We don’t have any monitoring system for follow up and to take action.
What are the problems then?
The problems are the violation of the act and regulations while spending the money allocated in the annual budget. As long as top officials do not abide by the rule
of law, I do not see any possibility of bringing the desired change.
After presenting the fourth report in parliament, what improvements have you found in the area of auditing?
There are still many problems and challenges. I am very tired of seeing the repetition of the same types of mistakes each year. Negligence and irresponsible behavior continue to exist and senior officials use public money as they wish. There is still a tendency to spend the budget through decree, not under rules and regulations. Modern accounting is based on certain rules and planning, but our ministers and officials want to use public funds under their discretion. The tendencies and practices among top official to bypass the law and regulations continue. Had senior officials followed the rule and regulations, the problem of unsettled account would not have grown to such a large proportion.
What are the major challenges in auditing?
There still are many issues that need to be addressed in order to meet the enormous challenges we face. As you know, the government is yet to agree to put the Rs18 billion-Rs 20 billion in foreign aid in the annual budget. In the budget of fiscal year 2000/01 the government had disclosed only Rs 8 billion in the title of foreign aid. More than 50 percent of foreign assistance is yet to come under the budget. Each year, the government takes overdraft from the central bank, instead of collecting its own revenues and resources. In the last fiscal year, the government took Rs 300 million in overdraft. This year the figure is going to be higher. The government is taking overdraft from the bank but it has not made any effort to collect revenues due from taxpayers.
As you say, a large sum of money that comes through foreign assistance is yet to be recorded in the annual budget. What impact will this have in the budget?
There are two components of foreign assistance. The first is foreign loan and other is foreign assistance. As far as foreign loan is concerned, it is included in the annual budget and the Auditor-General audits it. There is transparency on the part of the loan. Foreign grants, however, are yet to be brought under the purview of the annual budget. We have been requesting the government to disclose the entire amount available through grants. If it is not included in the budget, there is going to be a lack of transparency. As a citizen of the country, one is entitled to know how much money is coming to Nepal and whether the money is being properly used. In many cases, there is no accountability in spending such grants. As the government has already agreed to bring a foreign aid policy, the issue will be settled in the future.
Why are you so much concerned about grants?
Look, a large sum of grant money is being spent without the notice of the government. If the grant is given to Nepalese people, it must be channeled properly. There must be valid auditing from the Auditor-General. If grant money is allowed to be spent without following certain financial norms, it will create problems in the future. It is up to the government to decide where it wants to spend the money. So, you need to have parliamentary approval. If the money is included in the annual budget, it will promote good governance and transparency. The money is now being spent is not in our interest but in the interest of others.
How do you see the level of professionalism among employees in the financial administration and how up-to-date are they on the Financial Act and Regulations?
It is not as if nothing has changed. We can see much improvement in the financial administration. Five or six years ago, employees were left virtually scot-free even after increasing unsettled account. But now senior officers have started to take action against those who do not follow the financial rules and regulations in government expenditure. This in itself is a major shift in policy, but it is still inadequate. Despite the sensitivity and complications involved, the financial administration is yet to receive due attention from the concerned officials and large number of defaulters are yet to be brought before the law. There is much room for improvement, but the pace is not enough to bring desired results. If this situation continues, there will be more defaulters and uncollected revenues.
How do you see the quality of manpower in the financial administration?
Of course, the quality of manpower is an essential component in maintaining a healthy accounting system. As long as senior officials, including ministers and secretaries, are unprepared to follow rules and regulations, skilled officers cannot do anything to improve the situation. The change must begin from top of the bureaucracy. The government must take earnest steps to improve the quality and skill of employees. Fundamentally, senior officials who are given the authority to run the account must be sincere.
What is the level of violation of financial regulations in local bodies like District Development Committees (DDCs), Village Development Committees (VDCs) and municipalities?
In the DDC level, the situation is not as alarming as in government offices. Since the implementation of the Local Governance Act 1998, we don’t have to audit the expenditure of the municipalities. Although the municipalities are more resourceful than the DDCs and VDCs, the act gives authority to the municipalities to audit on their own. I don’t understand why municipalities are excluded from the central auditing system.
'The IT Sector Is Doing OK'
SHYAM AGRAWAL is the managing director of Worldlink Communications, a leading Internet Service Provider (ISP). He spoke with SANJAYA DHAKAL on issues facing the Information Technology sector in the country. Excerpts:
How do you find the present scenario in the IT sector in the country?
As far as the IT sector is concerned, I would say the present scenario is OK. It is neither very good nor very bad. When we say IT, it comprises lot of things like ISP, software development and other supporting services. Among these components, ISPs are doing OK, despite the stiff competition. The other two components of IT are not in very good shape. In fact, they are still in infant stage here. We have not been able to export software significantly. We need to be serious about that.
What is the range of IT services that Worldlink provides? How is it doing?
We provide a whole range of IT services. We are an ISP and therefore we deal with Internet and value-added services. We also provide space for hosting websites and developing web pages. Recently we also started software development.
The number of Internet users in the country has been growing rapidly. What is the market share of Worldlink as an ISP?
We have not done any research so it will be hard to say what our exact markets share is. But it is indeed sizable. Internet use is growing in a steady pace, which could be the result of falling cost. The growth, however, cannot be termed as phenomenal.
There is a feeling that ISPs have mushroomed. Do you agree?
There are quite a few ISPs operating in town. That is good because more companies mean more competition and ultimately the clients will benefit. But sometimes what happens is that competition becomes so high that it goes out of track. Definitely, it takes some time for maturity to set in. Initially, it is difficult for companies to evolve good business policies and they end up having a tough time. But that will all settle down once the maturity comes.
There is controversy regarding the use of Voice Over Internet Protocol (VOIP) that provides for cheaper international telephone calls. What do you say?
I think the VOIP is a blessing. What is the harm in legalizing VOIP when it can provide people with cheaper international calls? I agree that the quality of VOIP is poorer compared to regular ISD calls. But let the people decide. If they want cheaper but relatively poorer quality of service, they will use VOIP. For the customers who demand quality, the regular ISD calls will be there. It makes no sense in controlling such service.
It is said that Nepal has good prospects in IT-enabled services like Medical Transcription, call centers, etc. Do you agree? Is Worldlink also involved in providing such services?
There are good prospects. We are also trying to enter this field. But we are waiting for the right time because these services demand special expertise, like trained employees. We still have to see how it unfolds. That is why we have not jumped into the field right now.
Following the recent terror attacks in the United States, there is a feeling that a global recession is going to set in, which, among others, will also hit the IT sector. Will IT companies in Nepal be also affected by that?
Since we are not doing much business with the United States, it is not going to affect us directly. I don’t think we are exporting software to the United States significantly to affect us badly. Even if we were exporting it, I don’t think we will be affected because we are competing with other companies on prices. We can provide services at better price so it may not affect us that much.
How is the situation of instability and insecurity in the country affecting the IT sector?
I personally feel that as far as IT sector is concerned, we are not affected much. But I have heard that other sectors like schools and liquor businesses are having a tough time. But it has not been much of a threat to IT sector.
The government came up with an IT policy last year. How do you find that?
It is encouraging but they have not been able to implement it fully.
What is the major challenge for the IT sector?
We have to rope in more businesses from outside and generate more employment. The government should look into the IT policies of neighboring countries, know what kind of services they are providing to IT entrepreneurs and emulate them here. That would make it easier for Nepalese entrepreneurs to compete and attract more business from outside.
Wishing All Our Clients And Well Wishers A Very Happy Vijaya Dashami and Deepawali 2058 B.S.
CENTRAL FINANCE COMPANY LTD.
Kupondole, Lalitpur,
Ph : 977-1-522289, 536420, 544517
Fax : 977-1-523526
We extend our hearty greetings and best wishes to all our valued customers and well wishers on the auspicious occasion of Vijaya Dashami and Deepawali 2058.
NEPAL INDOSUEZ BANK LTD.
MEMBER OF THE CREDIT AGRICOLE INDOSUEZ GROUP (FRANCE)
Durbar Marg, P.O.Box : 3412, Kathmandu, Nepal,
Tel : 228229, 242630(DISA), Tlx : 2435, 2328 INDOSU NP, Fax : 977-1-226349, 228927
PULCHOWK BRANCH
Pulchowk, Lalitpur
Tel: 520346, 547858
Fax: 977-1-820342
BIRGUNJ BRANCH
Adarsha Nagar P.O.Box: 101
Tel:(051) 22327, 25277
Fax: 051-25297
THIMI BRANCH
Amiko Highway, Thimi
Tel: 831098
BANEGA BRANCH
Banepa, Kavre
Tel:(011) 62401
Fax: (011) 62402
JEETPUR BRANCH
Jeetpur, Bara
Tel:(053) 20297
Fax: (053) 20377
BOOK
Anatomy Of Corruption
Dr. Panday’s book highlights various aspects of corruption and underscores the importance of greater transparency
By KESHAB POUDEL
Corruption has always been a catchy slogan to defame individuals, especially among those inside the political system. Almost all “revolutions” in Third World countries like Nepal are the result of public disgust over corruption.
Corruption is a most powerful weapon against any political system. As it is said, before hanging a political system, give it a bad name. Nepalese history shows how four constitutions and three political systems were overthrown by giving them a bad name. The issue of corruption was at the forefront of each of those efforts.
At a time when Nepal is traversing a strenuous path toward modernity, it is very difficult to replace old values with new ones. It is not easy to establish rule of law in a country that has been run for so long on the basis of hukum (decrees). Nepal’s problems related to corruption and abuse of authority must be seen in this perspective. Changing collective behavior and cultural practices is a long and evolutionary process that requires much patience.
Where lawlessness is rampant and responsibility to respect the rule of law is yet to develop, patience wears out fast. It is not surprising to see violations of rule and regulations in transactions at every level. For the opposition, however, corruption is a very useful tool to defame the popularly government and the system as a whole. Nepal has paid a heavy price in the name of eradicating corruption. Today’s sense of anarchy and lawlessness is a direct result of the crusade of populist slogans mounted by frustrated intellectuals. Despite restoring multiparty democracy, Nepal has not seen any of the drastic changes the political transformation should have brought.
From the public pronouncements of intellectuals and reports of public bodies, it looks like corruption is the most visible enemy of the country today. Whether under the discredited Panchayat system or today’s multiparty political system, intellectuals have been raising similar concerns about financial irregularities, official arbitrariness and abuse of power. A large group of disenchanted intellectuals are now questioning the very legitimacy and viability of multiparty system in Nepal.
From the tenor and depth of the debate, it seems most intellectuals and politicians today are willing to consider replacing the system if it is necessary to restore probity in society. Whether they can go to the extent of introducing a new polity or even pressure the government to follow norms to curtail corruption, however, remains to be seen.
Corruption is no longer confined to the bureaucracy, political parties and other sectors of the state. It is largely prevailing in all domains, including civil society, non-governmental organizations and the media. Virtually every institution is confronted with its own set of challenges in tackling corruption.
Amid this controversy - and confusion - over the terms and modality required to describe corruption, Dr. Devendra Raj Panday has brought out a book, mostly a collection of articles written during different phases of his public life. Dr. Panday, who has the rare distinction of having served as both finance secretary and finance minister, rightly describes the general situation of Nepal.
“A discourse on corruption geared to contributing to the movement against it has to touch the hearts of the people in addition to their heads. By ‘the people’ I mean members of the chartering and ruling classes of which myself may be a sinning member whose conscience may benefit from a little massaging,” says Dr. Panday in his book.
As he suggests, transparency is one of the important components of an anti-corruption campaign. But how many individuals, NGO, politicians and members of civil society have made their activities open to the people? In the process of modernization, Nepalese society has developed a culture to criticize others to gain personal benefit. It is no accident that most of today’s anti-corruption crusaders are the same people who were accused of corruption in the past.
Corruption is eating into Nepalese society in two ways. It is intimidating individuals who really want to do something for the country and people and is encouraging those who want to make quick money without doing anything.
Dr. Panday, one of the renowned economists of Nepal, is president of Transparency International’s Nepal chapter. In the book, he tries to highlight the maladies confronting the development process in Nepal and the extent to which corruption is standing in the way. His unique insights, gathered from different vantage points, can be expected to foster a greater understanding of the venality of corruption and the urgency of remedial action.
"WHY ARE YOU SO WORRIED, MP?"
"If I miss the bus even this time, neither can I go to my constituency nor can I celebrate Dashain in a grand manner."
**TRANSITION**
LEFT: Amod Prasad Upadhyaya, Minister for Education and Sports, for Paris, to participate in the 31st general convention of UNESCO.
REINSTATED: Kaushal Raj Regmi, as the vice-president of the Higher Secondary Education Board, by the Supreme Court.
ROYAL ASSENT GIVEN: By His Majesty the King, to the National Assembly (first amendment) Regulations 2001.
FELICITATED: Natikaji, senior musician, with the Nai Sur Samman.
Ram Krishna Dhakal, singer, and Samde Sherpa, comedian, by the Naya Basti Yuba Club.
AWARDED: Dr. Surya Dev Singh "Prabhakar" and Bunni Lal Singh, with the Krishna Chandra Mishra Hindi Samman Awards for the year 2057 and 2058 respectively, by Dr. Krishna Chandra Mishra Academy.
Yubaraj Nayaghare, essayist, with the Hari Bhakta Katuwal Award 2058.
Bangladesh has been studiously working toward institutionalizing democracy ever since a popular uprising overthrew the military government led by Gen. Hossain Muhammed Ershad in 1990. Since then, the country, which has one of the world’s highest population densities, has held three elections to the House of Representatives. The author, a member of the international team that observed the October 1 general elections, takes the opportunity to shed light on some of his experiences.
The idea of a neutral caretaker government emerged as a consensus among the major parties that struggled against the Ershad government. The political leaders concluded that the Supreme Court chief justice could oversee the ideas and principles of a neutral government, which would conduct elections within their mandate.
Under Bangladesh’s constitution, the government announces the elections and gives way to a caretaker administration. A retired judge is nominated as the chief adviser to the president with full executive powers for day-to-day administration. The chief adviser is empowered to nominate advisers in different ministries from among people maintaining a neutral image in society. The Representation of People Order 1992 has given sweeping authority to the cabinet of advisers to maintain law and order, manage the election, transfer administrative personnel, and take all necessary steps to ensure free and fair elections.
During interviews with different personalities of society before the elections, it was found that the caretaker government was considered highly successful in neutralizing the administration by, among other things, acting against top-level administrators believed to be involved in manipulating the process. The first step of the chief adviser during this election was to transfer almost two dozen senior officers. This was a way of ensuring that officials identified with the outgoing government had no opportunity of unduly influencing the poll outcome. This move was also aimed at instilling a sense of confidence in the opposition parties.
Despite rejecting the election result and accusing the caretaker government of bias, former prime minister Sheikh Hasina of the Awami League acknowledged that the concept of a caretaker government was hers. It would be pertinent for Nepal to institute such a neutral caretaker government by amending the constitution, in an effort to strengthen democracy and raise the credibility of the electoral process.
Although the president, at the recommendation of the government, appoints its members, the Election Commission in Bangladesh is an independent body. At the time of the election, the caretaker government and the Election Commission work closely and with mutual understanding. Officials of both institutions have asserted that they never faced problems in their endeavors. The most striking part of the Election Commission of Bangladesh is that it is empowered by law to take action against those found to have indulged in unfair and partial practices during the election process. The military, police and the administration are required by law to follow the directives of the Election Commission.
The commission accredits foreign and local observers to monitor the fairness and impartiality of the voting process. Local observers must have prior experience of monitoring elections. They cannot be posted in their own area. He or she must be above 25 years of age to qualify as a monitor. Approximately 800,000 Bangladeshis applied for observation work, but only 450,000 were accepted after a careful review of their criminal and political records. Some 300 international observers, from the European Union, United States, Canada and other countries and the Asian Network for Free Election, were deployed in all the 300 constituencies of Bangladesh. The observers unanimously affirmed that the elections were comparatively free and fair.
Although they did not come out in significant numbers during campaigning, the turnout of women voters was unprecedented. It would be illustrative for Nepal to note that there were separate booths for women voters. There were separate women polling officers, security and party agents in such booths. Counting took place in the voting place itself.
Deletion of the name of voters during rolling, buying of votes either in cash, gift or any promise, excessive spending by candidates, over-use of election materials and violation of rules governing election day decoration and feeding of voters were some of the unfair practices observed. Similarly, the use of unlicensed arms by the underground wings of the two major political parties; candidature by industrialists and businessmen and by professional elites like lawyers, doctors and professor restricted real representation of the people in the election. The major irregularity on election day was impersonation of voters.
The election result was a debacle for the Awami League. Some say Sheikh Hasina’s leadership style is never listening to others, preferring to lecture those who came to see her and went against the party. On the other hand, Prime Minister Begum Khaleda Zia of the Bangladesh Nationalist Party (BNP) is known as a good listener. However, the major reason for the BNP-led front’s overwhelming victory was Khaleda Zia’s ability to accommodate and harmonize the other partners. Inside the party, she approved candidatures of those considered her rivals. She discouraged any kind of rivalry between BNP candidates and those of her alliance partners. In the case of the Awami League, the reverse was true. There were approximately 25 rivals candidates in a party that went to the polls on its own.
The negative aspect of Bangladesh’s elections is that the losing party does not easily accept the outcome and the winner does not prefer to hold dialogue with the vanquished. This could disturb the democratization process. However, intellectuals do not see the army, which has dominated much of Bangladesh’s politics since independence in 1971, would benefit from this situation.
Developing countries like Bangladesh have become models of comparatively free and fair elections because of the provision of the caretaker government. Bangladeshis cannot imagine the ruling party conducting impartial polls. Holding simultaneous elections to parliament and local bodies under a caretaker government in Nepal could be a good way of ensuring the fairness and credibility of the democratic exercise.
(Phuyal, an advocate, was a member of the international team that observed the elections in Bangladesh early this month.)
We Extend Our Heartiest Greetings And Best Wishes To All Our Valued Readers, Patrons, Well Wishers And Friends On The Occasion Of Happy Vijaya Dashami 2058 B.S.
SPOTLIGHT FAMILY
Best Wishes To All Nepalese On The Occasion of Vijaya Dashami and Deepawali 2058 B.S.
OFFICE: Radhakuti Arcade, 1st Floor, Putalisadak, P.O. Box 623, Kathmandu (Nepal)
Telex: NP 2251 EMCEE,
Fax: 00977-1-412961, Phone: 412268, 411187
Best wishes and Happy Greeting on the auspicious occasion of Happy Vijaya Dashami and Deepawali 2058 B.S.
NEPAL BANK LIMITED
(ESTD. 1937)
Salient Features Of Nepal’s Foreign Policy
By BISHNU PRASAD UPADHYAY
The foreign policy of a country is premised on its political, economic, cultural, historical, religious, intellectual and geographical background. The history of Nepal’s relations with neighbouring countries goes back to ancient times. Since the emergence of Gorkha power in 18th century, however, contours of a coherent foreign policy started becoming more visible.
In his Dibya Upadesh, King Prithvi Narayan Shah the Great, the founder of modern Nepal, described the country as a yam between two boulders, whose position was always in peril in the midst of the collision of the two big powers in the north and south. In Nuwakot palace, he had in a conversation with his courtiers asserted: “The emperor of the south is very cunning, he has captured the whole of Hindustan. Nepalis have to keep amicable relations with them. We have warm relations with the emperor of the north.”
From the 18th century to the 20th century, Nepal saw vicissitudes in its relations with the north and indirect subjugation from British colonialists in the south. After the 1950-51 revolution, when Nepal freed itself from the clutches of the Rana oligarchy, its foreign relations grew wider. Under the last Rana ruler, Mohan Shumsher, Nepal sought to develop friendly relations with China, the United States, Brazil and France. Nepal had been endeavouring to obtain membership of the United Nations. However, the Soviet Union’s veto against Nepal’s application thwarted its membership bid.
After the country gained UN membership in 1955, the door of Nepalese foreign policy was opened wider. Nepal affirmed its commitment to and agreed to follow the rules and principles of the UN Charter.
Participating in many conferences, Nepal reaffirmed its determination to follow a policy of non-alignment and anti-colonization and began raising its voice against expansionism, neo-colonialism and apartheid. Because of its policy of non-alignment, Nepal has been successful in strengthening its independence. Nepal’s foreign policy is different from those of big powers. The country is aloof from any form of international groupism. But this does not mean that the country is in quarantine and disinterested in any international event. Rather it is in favour of international justice.
By espousing non-alignment, Nepal has been successful in establishing amicable relations with more than 100 countries. The country has opened 17 residential embassies abroad. Nepalese delegations have been attending meetings, seminars, conferences and summits convened by the United Nations. At such gatherings, Nepal has expounded the guiding principles of its foreign policy.
Nepal accepts the UN Charter as the basis for the maintenance of international peace, security and stability. The country is against any form of power alliances and blocs. After the Second World War in 1945, alliances like the North Atlantic Treaty Organization and South East Asian Treaty Organization were formed. Nepal has kept itself out of such groups.
Nepal has vigorously and consistently raised its voice against apartheid at the UN General Assembly, Security Council and international conferences. The country has remained a firm opponent of discrimination based on race, class, ethnicity or any other attribute.
The country is a forceful advocate for human welfare and international peace through a policy of disarmament. Nepal has fought vigorously against the use or threat of use of weapons on human beings in the name of narrow nationalism, expansionism and imperialism.
Another important characteristic Nepalese foreign policy is its diligent espousal at the United Nations and other international forums of the transit rights of landlocked countries. As a country without access to sea, Nepal understands the handicap this group of countries faces in terms of international trade.
Although it was never colonized, Nepal has raised a strong voice against colonialism. The country fervently believes that the colonial expansions that led to the two world wars (in which millions of people died and millions of others were injured, uprooted and rounded up in concentration camps) should never be repeated.
In the region, Nepal has adopted a policy of equidistance with India, and China. If Nepal were to favour one against the other, the country’s national interests would be gravely imperilled. China has a communist government and India follows a democratic political system. The country has established neutrality as a salient feature of its foreign policy.
After the overthrow of the authoritarian Panchayat system in 1990, the country has remained a constitutional monarchy rooted in strong Hindu traditions. Its foreign relations, specially with India and China, are grounded in the traditions of peace, friendship, and tolerance.
Nepal’s belief in regional self-reliance thrust it to the forefront of the creation of the South Asian Association for Regional Co-operation in 1985. Through greater understanding, cultural exchanges, sharing knowledge, skills and experiences with India, Pakistan, Bhutan, Sri Lanka, Maldives and Bangladesh, Nepal hopes to usher in an era of collective prosperity.
Through 6,000 rivers and rivulets flowing across the country, Nepal possesses vast water resources. Moreover, the country has an abundance of sylvan assets and valuable minerals. Nepal expects to harness this natural wealth with the scientific and technical support of foreign countries for mutual benefit.
Nepal opposes any dispute that convulses world peace. The country has consistently raised its voice against the exploitation of small countries by bigger ones and does not tolerate any tyranny on human beings by the military force of powerful nations.
Nepal believes in the doctrine of Panchashree: a) respect for the sovereignty of other nations b) non-interference in the internal problems of a country c) adherence to the principle of non-aggression d) exchanges for mutual economic and cultural development e) peaceful co-existence.
By espousing these tenets of foreign policy, Nepal seeks to strengthen international cooperation to eradicate poverty, illiteracy, disease, ignorance and backwardness from the face of the planet.
Best Wishes
And Happy Greeting On The Auspicious Occasion Of Happy Vijaya Dashami And Deepawali 2058 B.S.
लुम्बिनी बैंक लिमिटेड
Lumbini Bank Limited
Best Wishes To All Nepalese On The Auspicious Occasion Of Vijaya Dashami 2058 B.S.
ALTECH PRIVATE LIMITED
PADMA SHREE PRIVATE LIMITED
SHREE PADMA FURNITURE FACTORY (P) LTD.
SHREE PADMA SAW MILL & FURNITURE FACTORY (P) LTD.
G.P.P. BOX 1864, GYANESHWOR, KATHMANDU, NEPAL
TEL # 411865, 411900, 426925, 426929, 435688
FAX # 413838, E-MAIL: firstname.lastname@example.org
SHOWROOM, GYANESHWOR, KATHMANDU TEL # 412282
Heartiest Felicitations To All Nepalese On The Auspicious Occasion of Happy Vijaya Dashami And Deepawali 2058 B.S.
हिमालयन बैंक लिमिटेड
Himalayan Bank Limited
Karmachari Sanchaya Kosh Bldg., Tridevi Marg Thamel, Kathmandu, Nepal
P.O. Box 20590, TEL : 250201, 227749, Fax : 977-1-2223800, TLX : 2789 HIBA NP
E-mail : email@example.com, SWIFT : KIMANPKA
‘Nepal Must Market Itself More Vigorously Around The World’
— STEFAN W. VOOGEL
STEFAN W. VOOGEL, general manager of Soaltee Crowne Plaza, arrived in Nepal seven months ago from Indonesia. A Dutch national, Voogel has been in Southeast Asia for more than 13 years. He spoke to SPOTLIGHT on the challenges before Nepal’s tourism industry. Excerpts:
In recent years, Nepal has seen many difficulties in the tourism sector. This year, too, is likely to be troubling for the country. How do you assess the future of Nepal’s tourism industry?
The future of Nepalese tourism is bright and, in fact, it is extremely good. Of course, the cumulative effects of several incidents, including the hijacking of an Indian Airlines flight in 1999 followed by the Hrithik Roshan incident and Royal Palace massacre, have taken their toll. The September 11 terrorist attacks in the United States is the latest of the blows. However, Nepal has so many things to offer visitors. It is a truly exotic destination.
How can we change the situation?
Change will depend on how Nepal markets itself internationally and how accessible it can make itself. First, if you look at it from the perspective of marketing, Nepal is not being marketed in the way it should be. In other words, it is not aggressively done. As far as accessibility is concerned, people who want to visit Nepal are on waiting lists. Hotels are half empty and most of them are distressed, but people are on waiting lists. Obviously, more needs to be done in such areas as open-sky policy. The recent problems are just six months old, but getting a ticket to Nepal has been a problem for long. Nepal has so many natural, cultural and other products to sell internationally. The hospitality of Nepalis is world famous. If you talk about the countryside, there are so many cultural treasures, scenic beauties and varieties of ethnic groups. But, obviously, Nepal needs to evolve concrete policies and become not only a destination for backpacker but for other tourists as well. I also mentioned this in a recent PATA meeting [and sought to compare] what other countries did when crisis hit them. All the countries started vigorous marketing. Political instability is, of course, affecting tourism, but if Nepal starts vigorous marketing, the situation will change. In my opinion, marketing is extremely important and the country needs to address this urgently. Marketing needs to be supported by other elements, including expansion of air-seats.
What can Nepal learn from countries like Sri Lanka, which has been able to attract tourists despite a civil war?
I have traveled to a number of countries to promote Nepal and I find that Nepal lacks marketing. Awareness about Nepal is very poor. I was in Southeast Asia for several years, where information on Nepal is very insignificant. If you want to bring change, you must market Nepal. The political situation will influence tourism, but it is not the only factor. If you do good marketing, people will continue to come. Sri Lanka’s marketing is very strong and vigorous. Despite the war in the north and east, tourists still come. At present, the number of visiting tourists is slightly lower. Immediately after the attack at Colombo Airport, the Sri Lankan government instantly launched an aggressive and vigorous marketing campaign.
What role has international hotel chains like Crowne Plaza been playing to promote tourism in Nepal?
As a multinational company, we have over 3,000 hotels around the world. We are trying to create awareness around the world through our marketing. We have regularly sent various marketing packages that help create awareness. We try our best to promote the image of Nepal abroad. As a multinational company, we work according to international standards. It is very important for travelers to know that Kathmandu has hotels of international standard like ours. Different types of tourists come to visit Nepal and they find hotels as per their choice. A number of tourists like hotels with international standard. In case of international conferences and seminars, the guests always prefer us. Obviously, our company is playing a role.
Nepal’s hotel industry has faced three consecutive years of crisis. Do you think it can survive prolonged difficulties?
In any crisis, the strong will survive. If your business philosophy is weak, you cannot survive. Possibly, there will be a difference because of this. There is a need for a coherent philosophy and strategy to survive. You actually know how strong your philosophy and strategy are during times of crisis. I strongly believe that the tourism industry in Nepal would survive. The recent phenomenon is worldwide. Even an organization like Swiss Air can face near-bankruptcy. The case also sent out a message that you need to have a strong strategy. The tragic events in the United States have created more panic in the airlines industries. Some companies may be victimized by the crisis.
You have been in Nepal for the last seven months. How do you see the response of policy makers to tourism?
All of them are very much concerned about the crisis. Everybody is willing to do something to bring change. I do feel that there is a sense of urgency in the trade. The only area where I have not seen sufficient concern is in increasing accessibility to Nepal. Nepal needs to have additional flights to bring in more tourists and to solve the under-capacity crisis. The open-sky policy is not taken seriously.
What are the prospects for foreign investment in Nepal?
I am not an expert on foreign investment so I cannot give you details. Foreign investment comes to a country for a variety of reasons, including natural resources, easy access, good labor force, stable political and security situation and tax relief. The political and security situation in Nepal is now relatively unstable and accessibility is question mark. Because of the political and security situation, there is difficulty to deal with labor force. Tourism can play a bigger part in Nepal. I think the contribution of the tourism sector in the GDP can be increase by many folds. The current progress is not enough. The development of tourism needs to be expanded to many other parts of the country. Development does not mean building Disneyworld, but to expand destinations. Many areas are still underutilized.
Newari Cuisine is not only popular for deliciousness but also richness. In a typical Newari feast, more than twenty varieties of dishes are served.
**Newari Cuisine at its best**
Now you can savour all these authentic and relishing dishes in addition to various types of unique Newari snacks at the 'Lajana' - the exclusive Newari restaurant. Enjoying the ambience you will never forget.....
Enjoy the Legendary Newari delicacies at Restaurant Lajana & Every evening colourful Nepali Cultural Show in Traditional Fashion.
Near Radisson Hotel, Lazimpat Kathmandu, Nepal
Ph: 413874
E-mail : firstname.lastname@example.org
Web Site: www.nepalfood.com/lajana
* Parking facilities available
TURN CARDS INTO CASH
Casino Nepal
Soaltee Compound
Tahachal, Kathmandu
Tel: 270244, 271011
Fax: 977-1-221244
E-mail: email@example.com
Casino Everest
Hotel Everest
New Baneshwor
Tel: 488100
Fax: 977-1-486284
E-mail: firstname.lastname@example.org
Casino Anna
Hotel de L’Amapurna
Durbar Marg, Kathmandu
Tel: 223479
Fax: 977-1-225228
E-mail: email@example.com
Casino Royale
Hotel Yak & Yeti
Durbar Marg
Tel: 228481
Fax: 977-1-223933
E-mail: firstname.lastname@example.org
Website: http://www.casinosnepal.com
|
JOURNAL SCIENTIFIC AND APPLIED RESEARCH
Association Scientific and Applied Research
The journal publishes scientific information and articles which present new and unpublished results from research in the spheres of the mathematical, physical, chemical, natural, humanitarian, social, medical, Earth, forest and agricultural sciences.
Every article is to be read by two independent anonymous reviewers. After their acceptance and after the author presents a bank statement for the paid publishing fee, the article is published in the refereed JOURNAL SCIENTIFIC AND APPLIED RESEARCH, which is licensed in EBSCO, USA.
The papers in this Volume of the Journal Scientific and Applied Research are supported by the Project BG051PO001-3.3.06-0003 “Building and steady developing of PhD students, post-PhD and young scientists in the areas of the natural, technical and mathematical sciences” (2012-2014)
Editor – in - Chief:
Prof. DSc. Petar Getsov – Director of Space Research and Technologies Institute – BAS Chairman of Bulgarian Astronautic Federation
Vice – Editor- in- Chief:
Prof. DSc Zhivko Zhekov - Konstantin Preslavsky University of Shumen
International Editorial Board:
Acad. Prof DSc Lev Zelyonii – Russia
Acad. Prof. DSc Mykhailo Khvesyk – Ukraine
Acad. Prof. DSc Genadiy Maklakov – Ukraine
Assoc. Member Prof. DSc Filip Filipov – Bulgaria
Assoc. Member Prof. DSc Petar Velinov – Bulgaria
Assoc. Member Prof. Dr. Stoyan Velkoski – Macedonia
Prof DSc Vyacheslav Rodin – Russia
Prof. DSc Garo Mardirossian – Bulgaria
Prof. DSc Viktor Mukhin – Russia
Prof. Dr. Habil. Margarita Georgieva – Bulgaria
Prof. Dr. Habil. Georgi Kolev – Bulgaria
Prof. DSc Rumen Kodjeykov – Bulgaria
Prof. DSc Tsvetan Dachev – Bulgaria
Prof. Dr. Rumen Nedkov – Bulgaria
Prof. Dr. Georgi Kamarashev – Bulgaria
Prof. Dr. Alen Sarkisyan – France
Prof. Dr. Julia Khvesyk - Ukraine
Prof. Dr. Maria Franekova – Slovakia
Prof. Dr. Larisa Yovanovich – Serbia
Prof. Dr. Margarita Filipova – Bulgaria
Prof. Dr. Naziya Suleymanova – Kazakhstan
Prof. Dr. Hristo Krachunov – Bulgaria
Prof. Dr. Stiliyan Stoyanov – Bulgaria
Ch. Assist. Prof. Dr. Anton Antonov – Bulgaria
Dr. Stoyan Sarg Sargoychev – Canada
Dr. Mihail Vladow – Moldova
Assist. Prof. Angel Manev – Bulgaria
Marianna Tsikoula – Greece
Editor – Aneliya Karagyozyan–Bulgaria
Dek: TOPEX/POSEIDON altimeter data reveal our Ocean Planet, mission for NASA.
© Association Scientific and Applied Research
© Konstantin Preslavsky University Press
ISSN 1314-6289
firstname.lastname@example.org
http://www.associationsar.com/
JOURNAL SCIENTIFIC AND APPLIED RESEARCH Vol. 5, 2014
## CONTENTS
### Space Research
**RELIABILITY STUDY OF OPERATORS WITHIN A COMPLEX ERGATIC SYSTEM**
Petar Getzov, Zoya Hubenova ................................................................. 7
**NICKEL-HYDROGEN COLD FUSION BY INTERMEDIATE RYDBERG STATE OF HYDROGEN: SELECTION OF THE ISOTOPES FOR ENERGY OPTIMIZATION AND RADIOACTIVE WASTE MINIMIZATION**
Stoyan Sarg Sargoytchev ........................................................................... 15
**ELEMENTARY PARTICLES, ATOMIC NUCLEI AND MOLECULES ACCORDING TO THE BSM – SUPERGRAVITATION UNIFIED THEORY**
Stoyan Sarg Sargoytchev ........................................................................... 33
**THEORETICAL FEASIBILITY OF COLD FUSION ACCORDING TO THE BSM - SUPERGRAVITATION UNIFIED THEORY**
Stoyan Sarg Sargoytchev ........................................................................... 46
**RESEARCH OF FACTORS WHICH INFLUENCE THE QUALITY OF OPTIC TELESCOPIC DEVICES**
Stiliyan Stoyanov ....................................................................................... 57
**OPTICAL SCHEME FOR SPECTROPHOTOMETER**
Petar Getzov, Stiliyan Stoyanov, Zhivko Zekov ........................................ 64
### Technical Sciences
**METHOD AND SPECTROPHOTOMETRIC EQUIPMENT FOR WATER RESEARCH**
Zhivko Zhekov .......................................................................................... 70
**RANDOMNESS TESTING OF SEQUENCES PRODUCED BY P-ARY GENERALIZED SELF-SHRINKING GENERATOR USING APPROXIMATE ENTROPY**
Zhaneta Tasheva, Antoniya Tasheva ......................................................... 76
**VULNERABILITY PENETRATION TESTING THE COMPUTER AND NETWORK RESOURCES OF WINDOWS BASED OPERATING SYSTEMS**
Petar Boyanov ............................................................................................ 85
**USING THE COLASOFT CAPSA NETWORK ANALYZER TO DIAGNOSE, PINPOINT AND DETECT A VARIETY OF MALICIOUS CYBER-ATTACKS AND TO IMPROVE THE VULNERABILITIES FOR A SO-HO NETWORK**
Petar Boyanov ............................................................................................ 93
APPROACHES TO IDENTIFY VULNERABILITIES IN THE SECURITY SYSTEM OF THE SOCIAL ORGANIZATION AND COMPUTER RESOURCES
Hristo Hristov, Petar Boyanov, Tichomir Trifonov ................................................................. 101
METHOD FOR IDENTIFICATION OF SIGNALS
Zhivko Zhekov, Anton Antonov, Petar Boyanov, Dimitar Chervenkov, Tichomir Trifonov .................. 108
Pedagogical
PHYSICAL READINESS OF CHILDREN FOR SCHOOL ACTIVITIES
Snezhana Vacheva .................................................................................................................... 113
THE DEPLORABLE STATE OF THE BULGARIAN ECONOMY REQUIRES URGENT MEASURES FOR ITS MODERNIZATION, BUT CREATES ENORMOUS DIFFICULTIES FOR THE INVESTMENT PROCESS
Hristo Totev .............................................................................................................................. 117
PROBLEMS OF THE MODERNIZATION OF THE ECONOMY OF BULGARIA
Hristo Totev .............................................................................................................................. 121
BUILDING AN ONLINE SYSTEM FOR APPOINTMENTS TO MEDICAL SPECIALIST
Ivelina Vardeva ......................................................................................................................... 126
Formation
ASSESSMENT AND CONTROL OF QUALITY OF EDUCATION OF STUDENTS IN KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN
Bogdana Georgieva, Snezhana Nikolova .................................................................................. 132
ASSESSMENT OF THE QUALITY OF THE ACADEMIC STAFF OF KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN AND ITS SIGNIFICANCE
Korneliya Todorova .................................................................................................................. 139
Physics
Al$^{3+}$ ACCEPTORS AND THE OPTICAL PROPERTIES OF Bi$_{12}$SiO$_{20}$:Cr+Al
P. Petkova, P. Vasilev ................................................................................................................. 146
CALCULATION OF THE EINSTEIN COEFFICIENTS FOR CO DOPED (80 – x) Sb$_2$O$_3$–20Na$_2$O–xWO$_3$ (x% mol of WO$_3$) GLASSES
P. Petkova, P. Vasilev ................................................................................................................. 154
THERMAL RESISTANCE OF POLYETHYLENE TEREPHTHALATE FIBRES
Valentin Velev, Anton Popov, Lyubomira Veleva, Nikola Todorov ........................................... 162
MODELING OF THE INFLUENCE OF THE THERMOMECHANICAL MODIFICATION PARAMETERS ON THE STRUCTURAL CHANGES IN POLYESTER FIBERS
Valentin Velev, Valentin Grozev, Anton Popov, Rene Androsch, Todor Dimov, Lyubomira Veleva, Hans-Joachim Radusch ....................................................................................................................... 173
EFFECT OF PROTON IRRADIATION ON THE STRUCTURE DEVELOPMENT OF POLYETHYLENE TEREPHTHALATE FIBERS
Valentin Velev, Anton Popov, Nina Arhangelova, Pencho Kyurkchiev, Hristo Hristov, Michele Bello, Giuliano Moschini, Nikolay Uzunov ................................................................. 181
Ecology
TRANSPOSITION OF EU ENVIRONMENTAL LEGISLATION FOR PROTECTING WATERS IN BULGARIA
Ivanka Zheleva, Margarita Filipova, Petar Roussev, Kremena Rayanova .................................................. 186
THE SPATIAL DISTRIBUTION OF NITROGEN DIOXIDE IN ATMOSPHERIC SURFACE LAYER OF ALMATY CITY
Daulbayeva Almira, Zhetpisbay Dinara, Margarita Filipova ........................................................................... 195
DISPERSION MODELING OF ATMOSPHERIC EMISSIONS OF PARTICULATE MATTER (PM10) AND EVALUATION OF THE CONTRIBUTION OF DIFFERENT SOURCES OF AIR POLLUTION IN THE TOWN OF SVISHTOV, BULGARIA
Tsenislav Vlaknenksi, Pencho Stoychev, Rozalina Chuturkova ........................................................................ 202
AIR POLLUTION WITH SULFUR OXIDES FROM INDUSTRY IN SOUTHWESTERN AND SOUTH-EASTERN REGIONS OF BULGARIA
Mariana Todorova ............................................................................................................................................. 213
| 1 | 2 | 3 |
|---|---|---|
| 4 | 5 | 6 |
| 7 | 8 | 9 |
JOURNAL SCIENTIFIC AND APPLIED RESEARCH Vol. 5, 2014
RELIABILITY STUDY OF OPERATORS WITHIN A COMPLEX ERGATIC SYSTEM
Petar Getzov, Zoya Hubenova
SPACE RESEARCH AND TECHNOLOGY INSTITUTE – BAS
SOFIA 1113, ACAD. GEORGI BONCHEV ST., BL. 1
e-mail: email@example.com; firstname.lastname@example.org
Abstract. The article examines the UAV operator reliability and possibility of transferring the theory of reliability concepts of technical objects to the activities of individuals and groups. Structural information analysis of the human operator activity controlling an UAV has been carried out taking into account the ground complex information structure. An assessment of the reliability criteria of the operator for accuracy and timeliness has been made.
Key words: reliability, flight operator, drone.
Introduction
At the present development stage of the scientific – technological progress, the task of research and development of a theory of human factor (HF) reliability and efficiency within the control systems and systems “man – machine” is put forward. Working out a solution of such a problem is possible provided that a sophisticated system – informational analysis is carried out both in technical point of view and physiological, psychological, and engineering – genetic problems of the human factor.
The present work explores the phenomena and concepts related to reliability of the operator of unmanned aerial vehicles (UAV) and a group of operators (crew) too. A comparison between the technical object theory of reliability and theory of activity of an individual or group has been made. The reliability characteristics of both machines and people have a different nature, dynamics, and change rate over time. It is thought that different comparisons between the UAV characteristics and the pilot have been made already. The technics reliability is described by means of flawless operation distribution functions. The simplest scheme consists of three stages of reliability changes. The first stage is accumulation with increased density of failure probabilities. In the second stage prolonged stabilization of reliability occurs. In the third stage of aging and wearing out, the density of failures increases. It goes without
saying that this scheme is well sustained provided standard maintenance and repair is made. As for the human, the stylize reliability curve during his career can qualitatively coincides with the life cycle curve of UAV. However, the quantity and the dynamic variables that affect the human reliability as compared to the machine is an order of magnitude larger [3].
It is well known that the UAV control process appears to be a task intended to highly qualified professionals and, in many respects, it is more complicated than controlling a manned aircraft. Interaction between operator and UAV is different for different systems. In case of unmanned systems with automatic flight and landing route, the operator follows the route, enters the coordinates it in the control system and implements procedures of starting the UAV. During the flight, he did not interfere with the control process. Instead, he solely monitors the flight and, if necessary, introduces additional flight route points or issues the emergency landing command. For unmanned systems with manual flight control, the operator may alter the flight route during the flight and perform various maneuvers, takeoff, and landing too. In the first case, the reliability is based on the reliability of all parts included in Unmanned Aircraft System while in the second case the operator skills are added further. [3].
The human factor influence has to do with the problems that are least opened to an evaluation. It must be noted that modelling the human behavior is difficult. In control systems, the human factor reliability in some cases is treated as efficiency of the system itself since not only does the human process the information, but he also possesses it.
The human activity reliability level is defined as probability of successful completion of the task at a given stage of the system over a given interval of time under certain duration conditions during its implementation. Wherever the human works, errors appear. The errors occur regardless the level of training, qualifications and experience. The human errors are associated with failure to complete tasks, lack of achieving the defined goals, absence or inactivity. [7, 9]. The operator reliability is characterized by the indicators faultlessness, readiness, recoverability, and timeliness.
**Reliability of the UAV operator**
The study of international experience in the field of air transport justifies critical requirements that the pilot must meet which in turn are related to psychophysical, ergonomic, medical, social, and professional characteristics and eligibility as well in different directions and applications. The initial descriptions were possible based on empirical models, statistical regularities, and plausibility. Modern methods are adopted by fuzzy set theory and fuzzy logic theory, methods of operations research, the principles of situational modeling.
The prakseologic side of human activity is associated with the concepts of efficiency, effectiveness and productivity. As far as activity occurs over time, the non-opportune or a-temporality categories are valid. The size or volume of
the result gives the degree of compliance with the target, design, plan and correlates with the terms accuracy and precision of the human actions. Operator’s actions can be structured as follows: a) correctness of the actions b) accuracy of the actions c) timeliness (temporality) of the action d) the size or magnitude of the action.
Human activity is structured and organized as a set of unit operations and is based on concepts: valuables, sense, objectives, actions, and operations. Regulatory activities are associated with the rules, standards and regulations. Elementary activities presented as elemental activity unit have spatial – temporal characteristics [10, 12]. Structure of the information activity space in this case includes flight environment of the UAV [11]. This environment encompasses geophysical space, width of the air route, and altitude. The information activity model is described through a Standard Operating Procedure. It is structured on the basis of (in relation to the information search time) decision – making time, time for action (inaction), and time to obtain this result in accordance with the plan of action. [1].
Operator’s reliability can be defined as the probability of accurately and adequately performing the tasks in accordance with the instructions. Accuracy means implementation in accordance with the standard limitations in time and space. Proper operation $a_1$ is performed within a standard operating procedure in moments of time $t_1, t_2, \ldots, t_i$ with reserve excess $\pm \Delta t$. Proper or normal operation is performed in case of timely detection either a signal or a set of signals by the operator which is/are necessary for action. Next, what follows is correspondence identification of signals according to standard configurations, making a decision, the action itself, obtaining and evaluation of the outcome. The concept of time reserve excess is associated with relevance or importance of the procedure.
\begin{equation}
C(\bar{t}_r) = e^{-\lambda t_r},
\end{equation}
where $C(\bar{t}_r)$ means importance in terms of content and time constraints whereas $e^{-\lambda t_r}$ denotes a continuous stream of events.
Proper operation $a_1$ within the standard procedure $p_s$ is performed at a time $t_1$ with reserve excess $\pm \Delta t$. Proper performance of actions is possible in case of early detection of a signal or a set of signals by the operator need for action. What follows is signal identification for conformity to the Standard Operating Procedures, decision-making, action itself and outcome identification, which is determined in the same order. The time of action $T_a$ and the procedure time $T_p = T_a + T_r$ increases with the reaction time $T_r$.
*Accuracy* could be determined as a degree of approximation of the actual process parameter value to its nominal value, i.e. as result compliance. The accuracy of operator actions depends on the systematic and random causes. They are determined with confidence $\beta = 0.95$.
\begin{equation}
\delta_s = M + 2\sigma_s,
\end{equation}
where \( M = m_1 + m_2 + \ldots + m_k \) is the systematic error of the system whereas
\[
\delta_s = \sqrt{\sigma_1^2 + \sigma_2^2 + \ldots + \sigma_k^2},
\]
is the random error standard deviation of the system elements, [4].
As a category, contrary to the accuracy the term imprecision is adopted. Absolute accuracy of the actions is practically unattainable, therefore a total acceptable imprecision and accuracy reserve are determined:
\[
\delta_G = D_j - \delta_{\text{min}},
\]
where \( D_j \) is tolerance limits of the parameter \( j \) through \( D_j \) whereas \( \delta_{\text{min}} \) is minimum total error by parameter \( j \) consisting of imprecision of the device during parameter measurement and parameter estimation imprecision made by the operator and his actions. Accuracy reserve excess is determined by the largest admissible imprecision.
**Structural informational analysis of the human operator activity**
Proper organization and structure of the ground complexes information panels, the choice and location of manual controls have a significant influence on the operator’s perception of the necessary information at all stages along the flight route as well as the ability to react quickly to the situation alteration. The fundamentals of information panels are determined by the indicator and control geometrical positions at certain areas of the visual perception, anthropometric data, peculiarities of human information perception during the flight, human operator dynamic characteristics as a unit in the control systems, and temporal loss of control, [1, 5]. Successful implementation of the operations by human operator (s) during control of the UAV and its systems directly affect flight safety and action effectiveness. At the present time, there is a considerable backlog of experimental statistics based on the recommendations that have been developed for a rational design and operation of information panels for aircraft complexes.
Due to the widespread implementation of computerized control systems, the operator’s field perception narrows to the monitor screen(s) (change numeric values, colors and shapes ripple image) in practice as well as audio messages and violations. Operator’s control forces are carried out through a choice of set elements displayed on the screen or keyboard keys and functional devices buttons (joystick, trackball, tablets, etc.), thus depriving the operator’s motorial action from a significant motive component. Given the particularities of the human operator of an UAV specific activity as a complex dynamic monitoring of continuous parameters and logic elements, it could be said that the intellectual tasks dominate over the perceptual and the motor. It is known that tasks definition of the operator in such a case of automated control systems is reduced practically to the following: timely detection the automated system inability in
order to deal with the violations occurring during the process, determination of cause of the fault and making up for the consequences, [6].
The structural scheme of the operator operation within a tracking system is shown in Fig. 1. One could figure out stages of the operator activity during UAV control process within a closed system: detection of signal, mismatching between the assigned motion and state of the controlled object, signal recognition in terms of magnitude and direction, situation assessment and decision making regarding the control method. Moreover, these processes can run simultaneously.
In some cases, a simplified transfer function is utilized in terms of both mismatching magnitude $\varphi$ and control force $\psi$, [8].
$$\varphi = \varphi(\psi, k, \tau, \pi),$$
where $k$ is an operator gain coefficient, $\tau$ is a constant time delay during information perception (0.25 s), $\pi$ is a constant time delay of the motorial reaction (0.125 s), and $\varphi$ is the Laplace’s operator.
In order to assess the operator’s reliability (error-free operation) and precision of operation objectively, special computer imitation stands and simulators are created, [2, 5]. Recent studies in the theory of reliability of technical facilities and the reliability of people activities show that there is a correlation between concepts of reliability, quality, safety, and also accuracy, relevance, and timeliness. Table 1 shows conceptual content of reliability modern structure of the individual.
Table 1. Structure of the concept for reliability of the operator of flying machine
| Operator’s reliability $R_p$ | Reliability properties | Conditions and states | Events |
|-------------------------------|------------------------|-----------------------|--------|
| Psychic reliability $R_{p\psi}$ | **Flawlessness.** Aptitude for a flawless activity | Desynchronizing, tiredness and stress | Errors |
| Physiologic reliability $R_{p\phi}$ | **Fitness for work.** Capacity for work during entire activity cycle | Tiredness, illness | Absent-mindedness, dozing |
| Demographic reliability $R_{p\Delta}$ | **Working capacity.** Labor efficiency, health fitness | Age, sicknesses | Traumas |
The operator’s properties could be described as follows:
$$R_p = \{R_{p\psi}, R_{p\phi}, R_{p\Delta}\},$$
where complex relationships are possible, i.e. either $R_\psi \Rightarrow R_\phi \Rightarrow R_\Delta$ or $(R_\phi \Rightarrow R_\Delta) \Rightarrow R_\psi$. Stress results in chronic fatigue and even health deterioration that in turn increases the error in the operator’s operation.
If one considers the reliability of a complex ergatic complex, the individual operator reliability is described as the probability of working out a solution correctly of the following problem:
$$P_n = m/N$$
where “m” is the number of the problems solved correctly whereas “N” is the total number of problems. In accordance with the reliability theory methods, in order to perform a flight $P_n$ safely and effectively, the operator reliability value should be $P_{ho}$ and defined as follows:
$$P_{ho} > P_i / \prod_{i=1}^{n} P_i(T_n),$$
where $P_i(T_n)$ is system technical unit reliability during the flight.
The possibility of transferring the reliability theory of technical objects and its application to the operator activity could be illustrated by means of various approaches and methods. For example, flawless property of the technical object is equivalent to the method of error minimization. This method directly affects the source of errors by means of either reducing or excluding factors that cause them. Examples of such methods are improvement of technologies and aircraft maintenance and improving ergonomics of the control panels as well. Duplicating a technical object is equivalent to the method of capturing human error. The method assumes that the error already turned up and it is not necessary to “capture” it prior to onset of adverse effects thereof. Examples of such methods are various checks of both structure of the UAV and the human’s capabilities.
Conclusions
Reliability and efficiency of the man – machine systems have to do with the particular important features. Not only is the Man – Operator reliability within the Operator – UAV systems determined by psycho – physiological endurance regarding harsh loads but the human intellectual properties to make up for a variety of distorted informational processes during interaction with technology is also important. The development of these systems require more research to be carried out on the processes of information perception, processing, and storage by human as well as decision making mechanisms in different cases, psycho – physiological factor impact on reliability and effectiveness of such systems.
In the article hereby, the UAV operator reliability has been investigated as well as possibility of transferring the theory of reliability of technical objects concepts to individual and group activity. A structural – informational analysis of the man – operator activity has been carried out during controlling an UAV rendering into account the informational structure of a ground aeronautical facility. The criteria of operator reliability have been estimated in terms of accuracy and timeliness.
References:
[1]. Andonov, A., Z. Hubenova, Functional stability of the information-control complexes in critical applications, monographic, Sofia, 2011.
[2]. Embrey David, Understanding Human Behaviour and Error, Human Reliability Associates 1, School House, Higher Lane, Dalton, Wigan, 2012
[3]. Getsov P, G. Sotirov, G. Popov, M. Hristova, Complex method for the modeling of the unmanned aerial complexes., Jubilee International Congress SCIENCE, EDUCATION, TECHNOLOGIES "40 YEARS BULGAIA – SPACE COUNTRY, Vol. 1, p. 69-80
[4]. Plotnikov N., Design of transport complexes, N., 2010
[5]. Getsov G., Wiliam Popov, Zoya Hubenova, Georgi Sotirov, Konstantin Metodiev, Stoyan Tanev, Lubomir Aleksiev, Svetlin Doshev, Use of Technology Virtual Reality for the Study of Human – Operator in Extreme Conditions, 5th International Conference on Recent Advances in Space Technologies RAST 2011, June 09-11 Istanbul, Turkey, pp. 820-824
[6]. Hare, D. Cognitive failure analysis for aircraft accident investigation / D. O Hare, M. Wiggins, R. Batt, D. Morrison // Ergonomics. – 1994. – №37. – pp. 1855–1869.
[7]. Hollnagel, E. Human reliability analysis: context and control / E. Hollnagel // London; San Diego, CA: Academic Press, 1993. – 326 p.
[8]. Kirwan B., A Guide, To Practical Human Reliability Assessment, Taylor & Francis, 1990
[9]. Leveson, N. New Accident Model for Engineering Safer Systems / N. Leveson // Safety Science. – 2004. – V. 42, №4. – pp. 237–270.
[10]. Maklakov G, Method of Registration of Altered States of Consciousness of Operators of Difficult Ergatic Systems, JOURNAL SCIENTIFIC AND APPLIED RESEARCH, volume 4, 2013, p. 1
[11]. The Human Factor in System Reliability – Is Human Performance Predictable?, Papers presented at the Human Factors and Medicine Panel (HFM) Workshop held in Siena, Italy from 1-2 December 1999.
[12]. Salvendy Gavriel (Editor), Handbook of Human Factors and Ergonomics, Purdue University, 2006, Canada.
NICKEL-HYDROGEN COLD FUSION BY INTERMEDIATE RYDBERG STATE OF HYDROGEN: SELECTION OF THE ISOTOPES FOR ENERGY OPTIMIZATION AND RADIOACTIVE WASTE MINIMIZATION
Stoyan Sarg Sargoytchev
YORK UNIVERSITY, TORONTO, CANADA,
E-mail: email@example.com
Abstract. The main objection against cold fusion is based on the theoretical understanding that the Coulomb barrier of the very small nucleus is extremely strong. The size of the atomic nucleus is determined by scattering experiments in which a metal target is usually struck by alpha particles. These experiments yield only energy and angular resolution and their interpretation rely on the assumption that the atomic nuclei and all elementary particles are spherical. A non-spherical nucleus made of thinner non-spherical particles like a torus or a twisted or folded torus will provide similar data for a limited range of the particle energy. At the time of Rutherford, alpha particles with energy from 4 to 8 MeV were used. Modern scattering experiments with energy above 25 MeV show a sharp deviation from the Rutherford theory. They also show a wavelike shape of the scattering cross section as a function of scattering angle. A new interpretation of the scattering experiments leads to the idea that the Coulomb field near the nucleus has a manifold shape with a much larger overall size and therefore is not so strong. The BSM-SG models of atomic nuclei are in excellent agreement with this conclusion. Applying the approach described in the monograph Structural Physics of Nuclear Fusion with BSM-SG atomic models, the highly exothermal process between nickel and hydrogen is analyzed. It leads to the conclusion that a proton capture may occur at an accessible temperature in a range of a few hundred degrees. The process is assisted by an intermediate state of hydrogen, known as the Rydberg atom, the magnetic field of which interacts constructively with the recipient nucleus if it is in a proper nuclear spin state. The final conclusion is that it is theoretically possible to obtain nuclear energy without radioactive waste by proper isotope selection of involved elements.
Key words: cold fusion, LENR, Coulomb barrier, nuclear energy, radioactive waste
1. Introduction
Twenty four years after the Fleischmann and Pons experiments [1] the interest in cold fusion as a promising source of nuclear energy did not dye. The skepticism against this possibility is based on the orthodox understanding of nuclear fusion. For this reason the research in this field is often referred as a Low Temperature Nuclear Reactions (LENR). The recent progress of a highly efficient exothermal reaction between nickel and hydrogen in the E-cat reactor of Andrea Rossi [2,3] and the Hyperion reactor of the Defkalion (now DGT Corp.) [4,5] put into doubt the long time belief that cold fusion is impossible. In both types of reactors a nickel nanopowder is used, while the isotope composition and reaction environments are different. To reconcile with the experimental results, main stream science has to choose between two options: (a) adoption of some abstract explanation or (b) change of some theoretical models in nuclear physics.
The followers of option (a) usually suggest theories with some foggy explanations without practical considerations for selection of the elements and the reaction environment [6]. Some theories, for example, suggest an explanation based on a Bose-Einstein condensate [7,8]. A separate example is the Windom – Larsen (W-L) theory (2005) [9], suggesting an explanation with the assumption that slow neutrons are involved. The authors speculated that the needed slow neutrons are created by interaction between a proton and a “heavy” electron. For this purpose, however, the electron must be accelerated to nearly the speed of light. In order to fit this assumption to the reaction environments of LENR experiments that use metal hydrates, W-L theory suggests the existence of a super-strong electrical field of $6.86 \times 10^{11}$ (V/m) as a result of hypothetical collective oscillations of protons. At the same time, Windom and Larsen acknowledged that the detection of these slow neutrons might be impossible. The W-L theory cannot provide explanations of three important problems for production of slow neutrons inside the nickel nanopowder: the short path for acceleration of the electron inside of the nickel nanopowder, the enormous energy required for the super fast acceleration of the electrons, and the energy for invoking the proton collective oscillation. If a correct energy balance were computed, they might come to the conclusion that energy equivalent to millions of degrees is needed – similar to the existing hot fusion model.
Option (b) (change of some existing models in nuclear physics) is painful for many theorists, but it might provide useful practical considerations. The need for such an approach was clearly expressed by Peter Gluck at Asti Workshop devoted to cold fusion (1997) [10] just nine years after the announced experiments of Fleischmann and Pons [1]. Such an approach was adopted in the Basic Structures of Matter – Supergravitation Unified theory (BSM-SG) published as a monograph in 2002 [11], then as a book in 2005 [12], while the first articles appeared in 2002 and 2003 [13,14].
2. Theoretical base of the objections against cold fusion
Why nuclear fusion is considered impossible at accessible temperatures? The quantum mechanical (QM) models of atoms are based on the Rutherford-Bohr planetary model of hydrogen. The nuclear size is determined by scattering experiments, while the nuclear shape for all atoms is assumed spherical and solid (without geometrical shape and structure). Using this assumption Rutherford provided a theory that led him to obtain a nuclear radius of $3.4 \times 10^{-15}$ (m) from scattering experiments using alpha particles with energy in the range of 4-8 MeV [15]. A few decades later a sharp deviation from the Rutherford theory was found when using alpha particles with energy above 25 MeV (to be discussed later).
For obtaining fusion between two nuclei, their Coulomb barriers must be overcome. For a small spherical nucleus in the order of a femtometer, the estimated Coulomb barrier is so high that the two nuclei must collide with energy corresponding to a temperature in the order of millions of degrees. This process, known as hot fusion, is accepted to exist only in the stars. The first elaborate theoretical work about stellar nucleosynthesis was made by G. Gamow (1928) and A. Sommerfeld (1939). The Gamow factor is a quantum mechanical formula that gives the probability of bringing two nuclei sufficiently close for the strong nuclear force to overcome the Coulomb barrier. Therefore the Gamow factor is strongly dependent on the physical size of the nucleus, so for a nuclear size in the range of a femptometer, the estimated probability for obtaining cold fusion at an accessible temperature is zero. This theoretical understanding is valid also for the controversial nuclear process known as proton capture, which is accepted to exist in stars. Now forced by overwhelming experimental evidence for highly exothermic processes, the main theoretical opposition embraces the idea that LENR is possible only with slow neutrons. This is a known process that takes place in nuclear reactors. In many LENR experiments, however, neutrons are not detected, so this fact is used as another objection against the feasibility of cold fusion.
On one hand, the problem is the extremely small nucleus obtained by data interpretation of scattering experiments. On the other hand, not only LENR experiments but the progress in nanotechnology also indicates that the QM models of atoms are not enough useful because lacking the dimension of length. From the time of its introduction, quantum mechanics abdicated from the logical explanations based on classical electrodynamics and adopted the approach known as the Copenhagen interpretation. There was a warning about this approach even by Albert Einstein in 1922 after he developed the general relativity [16, pages: 19, 20, 23], but the opinion prevailed that human logic fails in quantum mechanics and should be replaced by mathematical logic. This opened a broad venue of abstract models but their fast development brought also some unexplained problems and logical inconsistencies. The Bohr planetary model of hydrogen was adopted at the beginning of the creation of QM and its problems were inherited by the QM models of atoms. Some of them are listed below.
- What is the size of the excited atoms before ionization (Rydberg state)? This refers to the boundary definition of an excited atom, which is problematic for QM models, especially for hydrogen.
- Why does the orbiting electron not radiate?
- Is there a classical explanation for the constant electrical charge?
- What defines the spin of elementary particles, while they are regarded as spherical?
- How can one explain the nuclear spin and spin number if the nucleus is spherical?
- Why does the Periodic table have such a shape with separated rows of Lanthanides and Actinides?
- Why are some isotopes stable and others not?
- What is the physical condition defining the length and angular direction of the chemical bonds?
- Why does the neutron have a magnetic moment and the electron - anomalous magnetic moment?
It is known that QM models explicitly deal only with energy levels. Any attempt to use physical dimensions of length leads to enigmatic problems. The imposed belief that human logic fails in quantum mechanics is an obstacle in the search for new explanations and revisions of adopted models.
3. On the need for a new interpretation of scattering experiments
The first scattering experiments provided by H. Geiger and E. Marsden in 1909 [17] are illustrated in Fig. 1. a., while their interpretation by Rutherford (1911) [15] is shown in Fig. 1.b.
**Fig. 1.** a. - first scattering experiment by Geiger and Marsden, b- Rutherford interpretation, c – curve according to the Rutherford theory (dashed line) and the departure for high energy alpha particles (thick line with circles).
At the time of Rutherford, alpha particles (positively charged He nuclei) from radioactive sources were used. Their energy was in a range of 4 to 8 MeV (well below 25 MeV). In this case the alpha particle cannot come very close to the nucleus as illustrated in Fig. 1.b. The estimation of the nuclear radius by Rutherford theory relies on the extrapolation of the theoretical curve, shown in Fig. 1.c by the dashed line. The shape of the nucleus in the interpretation of scattering experiments so far is considered spherical. However, if it has another shape, such as a thinner torus, a twisted or folded torus, or a manifold combination with the same mass, the interpretation of scattering experiments below 25 MeV will provide a result similar to one obtained by Rutherford. The first evidence of departure from Rutherford theory was found by E. S. Bieler in 1924 [18] by studying the angular distribution. In 1950, Gove at al. at the MIT cyclotron provided scattering experiments with alpha particles at 27.5 MeV and observed a sharp deviation from Rutherford theory (unpublished but mentioned by R.M. Eisberg and C. E. Porter [20]). Then extensive experiments were done by G. W. Farwell and H. E. Wegner [19]. Not only a deviation from the Rutherford theory, but also a clear wavelike dependence on the scattering angle was observed. A good summary of the scattering experiments using alpha particles with energy above 25 MeV is provided by R. M. Eisberg and C.E. Porter [20]. Some selected graphical data from their article are shown in Fig. 2.
**Fig. 2.** Graphical data from scattering experiments by alpha particles with broad energy level; a. and b – relative cross section for Al and Pb as a function of alpha particle energy; c. – ratio of differential cross section to the Coulomb cross section for Al and Cu at 19 MeV; d. - differential cross section against scattering angle for Ne at 18 MeV (From R. M. Eisberg and C.E. Porter article [20]).
Fig. 2 a. and b. show the sharp departure of the scattering data from the Rutherford theory (dashed lines) for alpha particle energy above 25 MeV. Similar data are obtained for many other elements. Later experiments show that the departure threshold slightly increases with the Z number. Fig. 2 c. and d. show another features not known at the time of Rutherford when the Rutherford-Bohr model of hydrogen was adopted as QM models of the atoms. This is a wavelike shape of the scattering cross-section as a function of scattering angle. Elastic scattering by Li nuclei provided by Badran and Al-Masri also show a similar wavelike shape dependence on the scattering angle, regarded by the authors as diffraction features [21].
In order to match the interpretation of scattering experiments to the QM model, a number of additional assumptions have been used: sharp edges of heavier nuclei and alpha particles, an opaque Akhiezer-Pomeranchuk-Clair (APB) model, a threshold range of classical and QM interpretations with the QM packet half inside and half outside of the opaque region, oscillations and damped oscillations and so on [20]. As a result, a few complex models were developed using features of an optical model with a diffraction property and many adjustable parameters. In order to obtain an acceptable fitting to the data, Badran and D. Al-Masry [21] used even more elaborate models, some of them with 20 parameters (Table 4 of the article). It is understandable that in such approach with so many adjustable parameters any kind of scattering data could be fitted to the *a priori* concept of a small structureless spherical nucleus. The opaque APB model, by the way, means an absorption by a nucleus that is a signature of the strong attractive nuclear forces for a non-spherical nucleus according to the nuclear model of the BSM-SG theory. The appearance of the sharp departure from Rutherford theory above 25 MeV means that the positively charged alpha particles exhibit some channeling effect. Fig. 3. shows scattering data by neutrons for different elements at different neutron energies [22] (data adopted from Finley at al (1993)). The energy dependence of the total cross section, however, is quite different. The angular dependence of the scattering cross section by neutrons (not shown here) is also quite different.
Our analysis of old and modern scattering experiments leads to the following conclusions.
When the metal target is bombarded by alpha particles it will lose electrons and the surface will become positively charged. The existence of the wave-like shape dependency on scattering angle for alpha particles with energy above 25 MeV means that they interfere with some wave-like charge boundary. If the field of atomic nuclei near the surface having missing electrons is not spherical but has an elongated shape, the collective fields of these nuclei will interfere providing a positive wave-like field. An elongated positive near field of the nucleus is possible if the protons have an axial symmetrical arrangement. Such an arrangement will be obtained if the positive near field of the protons has an elongated shape. Some high resolution electron microscopy images show a channel structure of the metal lattice, which is in agreement with our conclusion. Such structure is apparent in Fig. 4. a and b. where high resolution electron microscope images are shown for two lattice planes of gold [23]. The transmitted pattern is from a 15 nm thick gold film. The artificial images shown in Fig 4.c were made by using the BSM-SG models, and illustrate the predicted near positive field from the atomic nuclei. In the same figure, the He nucleus is also shown for illustration of scattering by alpha particles. The wavelike near positive field of Au lattice plays a role of diffractive grating. Combined with the channeling effect it causes wavelike shape of the backscattered and trespassing alpha particles. The channeling effect permits most of the particles to pass unaffected through a thin target that provides an illusion of a very small atomic nucleus.
According to BSM-SG, the superdense nuclear matter causes a space microcurvature around the nucleus, which is extended to the range of Bohr radius $a_0$ [[24, §2.2]]. This is not envisioned at the time when the Bohr planetary model of hydrogen was adopted. This feature makes the QM models consistent when working only with energy levels but not consistent if trying to work with a dimension of length. Summarizing our analysis, we emphasize the following conclusions that must be considered in data interpretation of scattering experiments:
(a) The deviation of the scattering cross section from the Rutherford theory for alpha particles with energy above 25 MeV is a result of a strong positive field gradient near the surface of the target.
(b) The wave-like shape of the scattering cross section as a function of the scattering angle is a result of interference between the positive alpha particle and a wavelike extended positive field from the nuclear charges. The effect is similar to optical interference from a diffraction grating.
(c) The data from scattering experiments show the signature of a multifold structure of atomic nuclei with a much larger size than anticipated by Rutherford theory and later models.
(d) The existence of space microcurvature is not taken into account in the data interpretation models.
4. Elementary particles and atomic nuclei according to the BSM-SG theory
The Basic Structures of Matter – Supergravitation Unified Theory (BSM-SG) [11,12] is based on an alternative concept of the physical vacuum. The Supergravitational law is distinguished from Newtonian gravity in that in pure empty space the SG forces, $F_{SG}$, are inverse proportional to the cube of distance. It is given by Eq. (1), where $C_{SG}$ is a SG constant, $m_{01}$ and $m_{02}$ are superdense SG masses
$$F_{SG} = G_{SG} \frac{m_{01}m_{02}}{r^3} \quad (1)$$
At very small nuclear distances, the SG forces play the role of nuclear forces, while at larger distances they propagate through the superfine structure of the physical vacuum (called the Cosmic Lattice) and become Newtonian gravitational forces. The Cosmic Lattice (CL) defines the constant speed of light, the electrical charge around the elementary particles, relativistic effects, the zero point energy and the QM properties of the particles in the CL space (physical vacuum). Detectable signatures of the SG forces are the Casimir and Van der Waals forces.
All elementary particles according to the BSM-SG theory possess superdense helical substructures, which create a charge in the physical vacuum by specific modulation of the CL
structure. A proton and neutron possess one and the same such substructure, but the proton is a twisted torus, while the neutron is a double folded one. While the proton charge exists in near and far field, the charge of the neutron is locked in the near field by the SG (nuclear) forces and is not detectable, but when in motion it creates a magnetic field. The locked near field helps to study magnetic materials by neutron scattering. The shape of the proton and a neutron, and how they combine into a deuteron are shown in Fig. 5. The structure of electron is discussed elsewhere [14, 24].
**Fig. 5.** Overall shape of neutron, proton and deuteron. In the decay of neutron to proton the folding node of neutron becomes a central twisting node of the proton. The right box illustrates the classical explanation of the nuclear magnetic spin of the deuterium atom (deuteron)
The double folded torus superdense structure of the neutron has a node, which should have its signature in its near field. This allows us to distinguish between the two opposite rotations referenced to its internal helical structure. They define the neutron’s spin (up and down). When over the proton, the neutron is stable forming a deuteron. In the deuteron, the neutron is free to rotate over the proton, so it creates a magnetic field. This feature allows a classical explanation of the nuclear magnetic resonance and nuclear spin state as illustrated in the right-most panel in Fig. 5 (more details about nuclear spin in other elements is provided in [24, §1.3.7]). The dimensions in Fig. 5 are derived from analysis of the particle physics data, the molecular spectra, and the revealed structure and properties of the electron [11,12,14]. They are validated by the experimentally known lengths of some chemical bonds. The proton and neutron have slightly different Newtonian masses in CL space, but their SG masses are equal. By applying the SG law (1) in the model of the H$_2$ molecule [11,12, §9.7.4], the product of $G_{SG}$ and the SG masses $m_{01}$ and $m_{02}$ (both equal, denoted as $m_0$) is estimated (in system SI)
$$C_{SG} = G_{SG} m_0^2 = 5.26508 \times 10^{-33} \quad (2)$$
Using this product, called the intrinsic SG product, the binding energy between the proton and neutron is estimated by an approximate method [11,12, §6.14.1] obtaining a value of 2.145 MeV. This theoretical value of binding energy differs from the experimental one of 2.22457 MeV by 3.6% but it gives confidence to use the intrinsic SG product, $C_{SG}$, for estimation of the position of the fused proton to the heavier element. The method is elaborated with application examples in [24, §1.4]
In the past few years, many scholarly articles have appeared concerning the unexplained property of cold plasma. Formation of dense clusters with peculiar properties was experimentally observed by many researchers. This formation was called **Rydberg matter** since it was associated with the Rydberg state of the atoms [33]. Since the Rydberg state is considered a highly excited level, when a high quantum number of the Bohr atom is used its size becomes unrealistically large. To avoid this, some QM models suggested a low principle quantum number, but higher angular momentum, and showed a graphical model with a highly
elliptical electron orbit. But this invokes a logical inconsistency, especially for hydrogen, because the proton and electron are considered spherical and Rydberg atoms are long-lived. L. Holmlid also observed circular Rydberg electrons [34]. In contrast with QM models, the explanation of Rydberg state and Rydberg matter by BSM-SG models is extremely straightforward, as this will be briefly described below. A more detailed explanation is provided in [24, §2.4].
Fig. 6. a. shows how a proton and neutron combine in the low Z-number atomic nuclei. Fig. 6 b. illustrates the electronic orbits of the neutral hydrogen and deuterium atoms. Fig. 6.c illustrates the electronic orbit just beyond the Rydberg energy level. This is the boundary of the range inside of which the strong SG field exists. The existence of a field within this range is not envisioned by quantum mechanics because of the early adoption of the Bohr planetary model of hydrogen.
**Fig. 6.** a. – proton and neutron in simple atomic nuclei, b. electronic orbital in hydrogen and deuterium, c. - electronic orbit in a Rydberg atom (shown for hydrogen). The electronic orbitals are in a plane perpendicular to the drawing plane.
In a neutral atom, the electronic orbit passes through the proton’s hole, as this is shown in Fig. 6. b. Since the orbit is twisted, the electron creates two opposite magnetic fields and due to the very short orbital time (shorter than the intrinsic constant of CL space) they do not appear in the far field. **This explains why the electron in a neutral atom does not radiate an EM field when circling in an orbit corresponding to one and the same energy level.** In the case of the Rydberg state, the electronic orbit is at the boundary between a neutral atom and an ion. Further, beyond this state the electron no longer passes through the proton’s hole, but still rotates around it. Since it has 658 times greater magnetic moment than the proton, it creates a detectable magnetic field. The electron may move with a velocity of 13.6 eV, 3.4, eV, 1.51 eV, corresponding to quantum number 1, 2, 3 of the Bohr model of hydrogen. Using BSM-SG models, this state was called an ion-electron pair. Such pairs are easily created in plasma and form clusters with specific magnetic properties. In the scholarly articles, this state of matter is called Rydberg matter. The activation of such clusters in plasma is invoked by the Heterodyne Resonance Mechanism discussed in the author’s book [24, §2.4.5]. The described effect exists in the phenomenon glow discharge, discovered and investigated firstly by Nikola Tesla [30]. Despite the glow discharge is known for more than 100 years, some peculiar properties are not explained so far by modern physics. The magnetic property of RF activated hydrogen plasma was first reported by A. Chernetski in 1983 [31]. An ion-electron pair is a more accurate definition, but in order to match the scholarly articles, we will often refer to this state as a Rydberg state. The distance between neighboring hydrogen atoms in Rydberg matter according to some scholarly QM models is given by the empirically adjusted
formula $d = 2.9n^2a_0$, where $n$ – principal quantum number, $a_0$ – Bohr radius of hydrogen. For $n = 1$, $d = 153$ pm. L. Holmlid experimentally measured the distance $d$ for $n = 1, 2, 3$ and obtained values corresponding to the empirical formula [33].
Fig. 7. shows a cluster of ion-electron pairs (Rydberg matter) explained by BSM-SG models for quantum number $n = 1$. The magnetic moment of the electron is 658 times the magnetic moment of the proton. Therefore, the cluster is held by the mutual magnetic interactions of the electrons which are synchronized while the individual pair moves unidirectionally (in case of strong initial momentum) or reversibly. The distance between the ion-electron pairs is determined by the sum of the Bohr radius $a_0$ and the magnetic radius of the electron, derived in BSM-SG [12, §3.11] that depends on $n$. The theoretically estimated distance matches the observations made by L. Holmlid [33], and all peculiar features of Rydberg matter are directly explainable in [24, §2.4] and other BSM-SG publications elsewhere.
**Fig. 7.** Ion-electron cluster (Rydberg matter). $a_0 = 0.0529$ nm; 0.15 nm – distance obtained theoretically by BSM-SG models and measured by L. Holmlid [33].
**Nuclear build-up trend of increasing Z-number**
The BSM-SG models of proton, neutron and electron permit understanding of the nuclear build-up trend of the atoms, the nuclear features of the stable isotopes and why the periodic table has the Lantanides and Actinides in separate rows. The Atlas of Atomic Nuclear Structures (ANS), one of the major derivations of BSM-SG theory, provides the nuclear configuration of the stable elements in the range $1 < Z < 102$. The spatial positions of protons and neutrons exhibit a strong trend of axial symmetry. This symmetry is important for nuclear stability. The nuclear features of the stable isotopes are discussed in [12, Chapter 8] and in [24]. The atlas of ANS is included as an appendix in the BSM-SG monographs [12,24] and published separately elsewhere.
**5. On feasibility of cold fusion and selection of suitable elements and their isotopes**
The issue of feasibility of cold fusion, the selection of suitable elements (and their isotopes) and the reaction environment were discussed in detail in the author’s book [24] and partly in the articles [25]. The use of BSM-SG models permitted us to reveal a few important features of the atomic nuclei and physical phenomena favoring the realization of nuclear transmutations.
(a) Since the size of the proton as a twisted torus is much larger than the nuclear size adopted in QM models (due to incorrect interpretation of the scattering experiments), the Coulomb field is much weaker than one considered by QM models.
(b) The strong SG forces and the near Coulomb field of protons and neutrons are behind their packed 3D geometrical arrangement in atomic nuclei. Following this arrangement, the near Coulomb field of the nucleus obtains a multifold structure with axial symmetry.
(c) Cold fusion reaction is easier to achieve between a light nucleus like hydrogen and a recipient heavier nucleus such as Pa, Ni, Cr. The recipient nucleus must not be chemically active.
(d) The hydrogen must be activated to a Rydberg state (ion-electron pair). In this case, the proton could be preferably fused to the polar region of the recipient nucleus. The reaction is known as proton capture. It is assisted by the magnetic interaction between the Rydberg state atom and the magnetic moment of the recipient nucleus if it is in a proper spin state.
(e) The fusion process is also assisted by interaction between the Rydberg state electron (possessing a preferred energy of 13.6 eV) and the zero point energy of the physical vacuum [24, §2.5].
(f) The process of proton capture with the intermediate Rydberg state (ion-electron pair) of hydrogen occurs for the recipient atoms at the surface boundary. This requires the recipient element (Ni in the discussed case) to be in the form of a nanopowder.
The derivation of the intrinsic SG product $C_{SG}$ given by Eq. (2) permitted development of a method for estimation of the distance between the centers of masses between the light and heavier recipient nuclei after the fusion, taking into account the strong SG field [24, §1.4]. This is valid also if the light nucleus is a proton (a proton capture nuclear reaction). A small correction factor is applied from the known relation of the average binding energy per nucleon as a function of number of nucleons, which is revealed to be a signature of the non-spherical shape of the nuclei [23, §1.3.6]. The method is described in §1.4 of the monograph [24] with examples §1.4.1, §1.4.3, §3.5 and Table 3.1 in [24]. The provided examples give a direct relation between the SG product $C_{SG}$, the distance between the center of masses (before and after the fusion) and the binding energy known from the mass deficit data.
Fig. 8. shows the method applied for the proton capture nuclear reaction between nickel and hydrogen.
$$^{62}\text{Ni} + \text{H} \rightarrow ^{63}\text{Cu} + \text{energy} \quad (3)$$
The proton fused to the polar region of $^{62}\text{Ni}$ isotope converts it to $^{63}\text{Cu}$. All input and output isotopes are stable. Consequently, this reaction leads to release of nuclear energy of 5.622 MeV without any other nuclear transmutations and radioactive waste. The nuclear reaction (3) is a proton capture. It was envisioned by Focardi and Rossi based on their extensive experimental research [1]. So far it was considered speculative because it cannot satisfy the Gamow factor criteria, estimated for a nucleus with a size in the range of femtometer scale. However such estimate is not valid for the BSM-SG models, for which the manifold Coulomb field occupies a much larger volume. Focardi and Rossi also claim that the use of isotopes $^{62}\text{Ni}$ and $^{64}\text{Ni}$ provides the most efficient output energy and they did not detect neutrons. This is in excellent agreement with our theoretical understanding of proton capture with the intermediate state of hydrogen as a Rydberg atom. The properties of this state are discussed in [24, 2.4.3] as specific features of the ion-electron pair.
**Conclusion:** The distance between the centers of masses after the fusion matches well with the size of the nuclei, based on the size of the BSM-SG models of proton and neutron, shown in Fig. 6.a. The knowledge of the real nuclear structure of the elements is helpful for obtaining a higher coefficient of performance by a proper selection of the isotopes of the involved elements.
### 6. Exothermal nuclear process between nickel and hydrogen
Extensive analysis of successful experiments of cold fusion was provided in the monograph [24] and partly in article [25]. Here we will focus on the nuclear process between nickel and hydrogen that appears to be a very promising source of energy based on cold fusion. Historically the nuclear process nickel-deuterium was first investigated by Piantelli in 1990, who continued with collaborators. The history of Italian research is published in 2008 [26]. Lately the research was led by Sergio Focardi who focused mainly on nickel-hydrogen (NI-H) and in 1998 he reported an extra output power of 18 watts [27]. Then Focardi began collaboration with Andrea Rossi. Rossi developed a reactor called E-cat in which he used a nickel nanopowder with an undisclosed catalyst. This permitted raising the output heat from watts to a few kilowatts. [1]. Rossi applied for a patent in 2008 [28]. Focardi and Rossi claimed obtaining copper after a long period of operation of the E-cat reactor. In the first type of E-cat reactor demonstrated by Rossi in 2011, the hydrogen was inserted under pulsating pressure from an external hydrogen source [38]. Theoretical analysis of the two E-cat using BSM-SG models are presented in [24, §3.3]. In 2012 Rossi developed a higher temperature E-cat HT. An independent test of two E-cat HT devices supplied by Rossi were made in December 2012 and March 2013 [2]. In the E-cat HT, the nickel powder is mixed with a metal hydride that releases hydrogen by heating. The nickel powder mixture with the catalyst is encapsulated in a small cylinder, which is placed in a larger cylindrical enclosure that contains heating elements and sensors. The start and stop of the nuclear process in E-cat HT was controlled by the power of the heating elements. The heat control of the second E-cat HT tested in 2013 was by a proportional temperature controller. It was found that the coefficient of performance (COP) increases with the operating temperature. It is in the range of a few hundred degrees, but must not exceed some threshold because the nickel nanopowder may deteriorate. During the tests, no radioactive radiation was detected [2]. The tests durations reported in [2] are not long enough for estimation of the burned nuclear fuel. According to one Rossi post in a blog, a 100 g of nickel was used in another 2.5 month E-cat test that delivered a continuous heating power of 10 kW [36]. In another post by Kullader and Essen
who tested an earlier version of E-cat, the loaded nickel powder was 50 g. [38]. Some of the E-cat HT test results reported in [2] are shown in Table 1.
Table 1. Tests of E-cat HT1 (December 2012) and E-cat HT2 (March 2013) [2]
| E-cat model of A. Rossi | Test duration [Hrs] | Average temperature °C | Input power [KW] | Output power [KW] | COP | Power density [W/kg] | Energy density [Wh/kg] |
|-------------------------|---------------------|------------------------|-----------------|------------------|-----|----------------------|-----------------------|
| HT1 | 96 | 710 | 0.36 | 2.034 | 6.5 | 7x10^3 | 6.8x10^5 |
| HT2 | 116 | 438 | 0.28 | 0.816 | 2.91| 5.3x10^5 | 6.1x10^7 |
A successful cold fusion development based on a Ni-H mixture is provided also by the Defkalion research group founded in 2011 in Greece. In 2012 the Defkalion group was named Defkalion Green technology (DGT) and moved its headquarters to Vancouver, Canada. The Hyperion reactor developed by DGT uses the Ni-H mixture but differs from E-cat by the reaction environment and design. The main difference is that a high voltage RF arc is used instead of catalyst. The starting and stopping of the nuclear process is controlled by the input heating and the high voltage arc. Official reports of DGT were presented at the ICCF-17 Conference in S. Korea (2012) [3] and at the ICCF-18 Conference in USA (2013) [4]. During the ICCF-18 in 2013 an 8-hr live test was run in the Defkalion laboratory in Milan, Italy and broadcasted online [4]. The power consumption in the nominal operational mode was 2.7 KW, while the output heat power was 5.5 KW.
According to DGT research, only even number Ni isotopes provide the heat, and only gamma radiation in the range of 50 to 300 KeV was detected [29]. According to DGT publications, a formation of Rydberg hydrogen atoms takes place, which is in agreement with our theory. One very important feature observed during the operation of the Hyperion reactor is the detectable strong magnetic field in the range of 0.6 to 1.6 Tesla. According to one published report, the magnetic peak lasts a few seconds after each high voltage pulse. An idea has been expressed that this could be from the HV plasma but this is unreasonable because the high voltage current is very small (22 mA at 24 KV) [3]. Our conclusion is that this field is a signature of formation of ion-electron pairs arranged in clusters (Rydberg matter), as illustrated in Fig. 7. The electron trajectory has a small step defined by its anomalous magnetic moment, so the pairs are moving comparatively slowly but with a greater momentum. This is an important feature for overcoming the Coulomb barrier discussed in detail in [24, §2.4, §2.5, §2.6].
The intermediate Rydberg state discussed for hydrogen is completely valid for atomic deuterium as well. The Japanese researchers Y. Iwamura et al. [33] reported cold fusion reactions between seven different elements and deuterium. The atomic number of the transmuted elements increased by even numbers of unit atomic mass. In another words, more than one deuteron was fused into the recipient nucleus according to our analysis [24, §3.8]. According to our analysis, the fusion process assisted by the intermediate Rydberg state of hydrogen (ion-electron pair) may occur not only as a single but also as a double proton capture. This explains the appearance of a small quantity of zinc as reported by Focardi [1], Rossi [28] and Defkalion [3].
7. Selection of nickel isotopes and reaction environment
From isotopic data shown in Table 2 we see that the only possible reactions in Ni-H compound that do not contribute to radioactive waste are:
\[ ^{62}\text{Ni} + p \rightarrow ^{63}\text{Cu} + 5.622 \text{ MeV} \quad (4) \]
\[ ^{62}\text{Ni} + 2p \rightarrow ^{64}\text{Zn} + \text{gamma} \quad (5) \]
\[ ^{64}\text{Ni} + p \rightarrow ^{65}\text{Cu} + 6.946 \text{ MeV} \quad (5) \]
\[ ^{64}\text{Ni} + 2p \rightarrow ^{66}\text{Zn} + \text{gamma} \quad (6) \]
Notes: (1) The estimated energy is from the mass deficit difference, not including the escape energy of electron since it is inside of the reactor; (2) The isotopes of Zn are detected in E-cat of Rossi and Hyperion of DGT.
Table 2. Isotopic data for the involved elements before and after the nuclear process
| Nuclide symbol | Z(p) | N(n) | Isotopic mass | Half-life | Decay modes | Daughter isotope | Nuclear spin | Natural isotopic composition |
|----------------|------|------|---------------|-----------|-------------|------------------|--------------|-------------------------------|
| H | 1 | 0 | 1.007825032 | | Stable | | \( \frac{1}{2}+ \) | 0.999885 |
| \( ^{58}\text{Ni} \) | 28 | 30 | 57.9353429 | | Stable | | 0+ | 0.680769 |
| \( ^{59}\text{Ni} \) | 28 | 31 | 58.9343467 | 76000 yrs | EC(99%) | \( ^{59}\text{Co} \) | \( \frac{3}{2}- \) | |
| \( ^{60}\text{Ni} \) | 28 | 32 | 59.9307864 | | Stable | | 0+ | 0.262231 |
| \( ^{61}\text{Ni} \) | 28 | 33 | 60.9310560 | | Stable | | \( \frac{3}{2}- \) | 0.011399 |
| \( ^{62}\text{Ni} \) | 28 | 34 | 61.9283451 | | Stable | | 0+ | 0.036345 |
| \( ^{63}\text{Ni} \) | 28 | 35 | 62.9296694 | 100 yrs | Beta\(^-\) | \( ^{63}\text{Cu} \) | \( \frac{1}{2}- \) | |
| \( ^{64}\text{Ni} \) | 28 | 36 | 63.927966 | | Stable | | 0+ | 0.009256 |
| \( ^{59}\text{Cu} \) | 29 | 30 | 58.939498 | 81.5 s | Beta\(^+\) | \( ^{59}\text{Ni} \) | \( \frac{3}{2}- \) | |
| \( ^{60}\text{Cu} \) | 29 | 31 | 59.937365 | 23.7 min | Beta\(^+\) | \( ^{60}\text{Ni} \) | 2+ | |
| \( ^{61}\text{Cu} \) | 29 | 32 | 60.9334578 | 3.33 h | Beta\(^+\) | \( ^{61}\text{Ni} \) | \( \frac{3}{2}- \) | |
| \( ^{62}\text{Cu} \) | 29 | 33 | 61.932584 | 9.673 | Beta\(^+\) | \( ^{62}\text{Ni} \) | 1+ | |
| \( ^{63}\text{Cu} \) | 29 | 34 | 62.9295975 | | Stable | | \( \frac{3}{2}- \) | 0.6915 |
| \( ^{65}\text{Cu} \) | 29 | 36 | 64.9277895 | | Stable | | \( \frac{3}{2}- \) | 0.3085 |
| \( ^{64}\text{Zn} \) | 30 | 34 | 63.9291422 | | Stable | | 0+ | 0.48268 |
| \( ^{66}\text{Zn} \) | 30 | 36 | 65.9260334 | | Stable | | 0+ | 0.27975 |
According to BSM-SG a hydrogen molecule \( \text{H}_2 \) could be directly converted to a pair of interconnected Rydberg state atoms. This may explain the reactions (5) and (6), but it is not sure will this lead to one or two gamma photons (to be determined experimentally). One cannot exclude the small probability for obtaining \( ^{63}\text{Ni} \) and \( ^{65}\text{Ni} \) isotopes by some conversion of a proton to neutron during the nuclear process as discussed in [24, §3.2]. Both isotopes decay by beta\(^-\) to the stable \( ^{63}\text{Cu} \) and \( ^{65}\text{Cu} \). This is good for the process as discussed below, but \( ^{63}\text{Ni} \) is a long lived and may persist as a radioactive isotope in the burned nuclear fuel. Only experimental research may confirm such a possibility.
Now the question is how to invoke the Rydberg state of hydrogen. It is known that the Rydberg state could be obtained by irradiating the neutral atom by gamma or beta particles with a proper energy, or by electrical arc. The first option is evidently used in the Rossi E-cat devices, while the second one by the Defkalion group. In the case of gamma or beta radiation, the energy must not be very strong so that the electrons could not escape the positive ion. Only emitters of negative beta particles must be used because some positive beta particles will form positroniums with the electrons. These missing electrons will lead to formation of
unwanted local positive charge. A suitable emitter of negative beta particles is the $^{63}$Ni isotope (see Table 2). Its long half-life of 100 years means that the beta particle rate will be constant during the lifetime of the nuclear fuel. The maximum energy of the negative beta particles from $^{63}$Ni is only 6.59 KeV, so they could be more easily thermalized to lower energy particles when passing through the fuel nanopowder. Instead of mixing with the fuel, the negative beta emitter could be doped to the internal surface of a cylinder with a small diameter or could be put between two cylinders with small thickness of the internal one. In this way it will not be displaced as a radioactive waste. This fits with the design chosen by Rossi for his megawatt power system made by parallel E-cat HT reactors in the KW range. $^{63}$Ni is a commercially available isotope used in some electronic devices (surge protectors, modern sensors) and for some diagnostic purposes. $^{63}$Ni is not considered unsafe, but it needs to be handled with caution. [35]. The maximum range of the emitted beta radiation in air is 2.14 inches so it can be easily shielded.
Functionally, the low and high temperature E-cat reactors of Rossi are distinguished from the Hyperion reactor of Defkalion. In the E-cat a beta emitter is probably used, while in the Hyperion – a HV arc. Rossi probably used an RF generator for triggering the nuclear process.
The advantages of the Rossi method are: the possibility of using a metal hydride instead of a hydrogen vessel, a more compact design, and assuring zero radioactive waste in an optimized reaction environment. The disadvantage, especially for E-cat HT, is that if running at higher temperatures for higher COP, the stopping of the process by the heat control might be difficult and may need an active cooling. This requires individual power control for each E-cat HT reactor in a parallel system.
The advantages of the Defkalion method are: an easier control, including start and stop, by control of the temperature and the high voltage arc, and a possibility to scale up for a larger power unit. The main disadvantage is the more difficult control of unwanted nuclear transmutations that may contribute to radioactive waste. The Hyperion reactor operates with pressurized hydrogen, so it is much more complicated than the E-cat HT reactor and requires more safety precautions.
Solid state metal hydrides provide a safe and efficient way of hydrogen storage. They are commercialized for use in rechargeable batteries and fuel cells. The hydrogen storage is reversible and it can be released by heat. Some of them can work at a temperature around a few hundred degrees and a pressure of tens of bars [37].
Following our analysis, a general functional block diagram for the reactor system and the nuclear process Ni-H is shown in Fig. 9.
Fig. 9. Functional block diagram of reactor system for Ni-H process. In E-cat HT of Rossi a metal hydride for hydrogen storage and beta (or gamma) emitter is used. The metal hydride could be also outside of the reactor. Hyperion reactor of Defkalion uses pressurized hydrogen and a HV arc, working in on/off mode.
In the case that the metal hydride is mixed with the fuel powder, it must not be involved in nuclear reactions that produce unstable isotopes. Among the choices could be a metal hydride based on Palladium for which extensive research data are available [37]. Proton capture with Pd has a low probability but we must consider such a possibility. If the most abundant stable isotope $^{108}$Pd is selected, one proton capture will lead to a stable silver isotope $^{109}$Ag. Two proton capture will lead to unstable $^{110}$Ag, with a half life of only 24.6 s that will decay by a $\beta^-$ to the stable $^{110}$Cd. The released $\beta^-$ will contribute to the formation of ion-electron pairs (Rydberg state).
8. Design considerations for a cold fusion nuclear reactor
Let us discuss the design of the E-cat HT reactor of Andrea Rossi, from the point of view of our considerations. Fig. 10 shows the design of this reactor according to the descriptions provided by the patent application of Rossi [28], his on-line publications, and the test article [2]. The nuclear fuel is hermetically enclosed in a copper cylinder 3. The fuel mixture 1 contains a nuclear fuel and a metal hydride. The nuclear fuel according to Rossi is $^{62}$Ni, but according to our considerations it may contain also $^{64}$Ni. This is mentioned also in a Focardi and Rossi paper [1]. The metal hydride could be palladium $^{108}$Pd. The catalysts according to our considerations could be $^{63}$Ni, but it could also be another source of negative beta particles or a gamma emitter. It could be added to the fuel mixture or implanted on the internal surface of the copper cylinder. It could also be put between a thin cylinder (placed inside of the copper cylinder) and the copper cylinder 3. The boron $^{10}$B enclosure, 4, serves to trap some neutrons that may be emitted by some unstable isotope, apparently obtained by nuclear transmutation. The lead jacket, 5, must protect from some strong gamma radiation. The copper, boron, and lead are rigidly enclosed in a steel cylinder 6 placed in a larger cylindrical enclosure of steal and silicon nitride ceramics. The latter is high temperature material capable of surviving thermal shocks. It is used in the automotive industry. Between the two cylindrical blocks are electrical heaters that are preferably controlled by a PID controller. The external
surface of the E-cat HT is painted with a high temperature resistant black paint for higher emissivity.
**Fig. 10.** E-cat HT of Andrea Rossi. 1 – a mixture of Ni powder and metal hydride, 2 caps, 3 – copper cylinder, 4 - $^{10}$B isotope, 5 - lead jacket, 6 - steel cylinder, 7 – electrical heaters, 8, steel enclosure, 9 – silicon nitride ceramics
The nickel powder and the metal hydride may not withstand a temperature higher than 600 – 700 C. To avoid local overheating, the enclosure volume of the fuel mixture may need some atmosphere. It is not clear whether this could be only the hydrogen or some quantity of noble gas, for example argon. A suitable heat control is the PID (proportional integration differentiation) type. The heat controller of the E-cat HT 2 was probably of such a type.
The nickel nanopowder might need some preparation process. According to a comment by Sterling D. Allan, Pure Energy Systems News, January 17, 2011, somebody suggested that the nickel nanopowder used in E-cat must undergo the following preparation:
1) Baking and cleaning to remove oxidation from the nickel nanoparticles.
2) Bathing in acid or another compound to make the particles more porous
3) Must be eventually embedded in a membrane or ceramic structure.
The use of the Ni-H process for generation of electrical power may need a higher COP than demonstrated by the E-cat HT (see Table 1) and the Hyperion reactor of DGT. The E-cat HT tests showed that the COP increases with the operating temperature. With the temperature increase, however, the electrical heaters will consume less and less power and the process may go out of control. This in fact happened with the very first E-cat HT test and the device was destroyed [2]. For this reason, the second E-cat HT was run by a PID controller at a lower temperature. To avoid this and to stop the process, while pursuing a higher COP, an active cooling process must be used. This could be done by using a flowing liquid. Then the maximum operating temperature will be limited by the boiling point of this liquid. One solution for a commercial product with a high COP is to use a gallium metal. Gallium is in a liquid phase above 29.76 C and its boiling point is 2204 C.
**Caution:** If the nickel isotopes are different from those suggested, or the metal hydride is different or different beta and gamma emitter is used or a HV electrical ark is used, the nuclear process may produce unstable isotopes. They must be properly handled and disposed.
Another predicted cold fusion process is based on chromium-hydrogen is discussed in [24, §3.7] The considerations for minimization of the nuclear waste must be elaborated in a similar way.
### 9. Discussion and conclusions:
This article is a continuation if the theoretical developments presented in the monograph [24] and the articles [25] permitting some useful practical recommendations in the field of cold fusion. The revision of data interpretation models of scattering experiments leads to the conclusion that the atomic nuclei possess a multifold Coulomb field with a much larger size than anticipated so far. In Ni-H and other similar LENR systems, the overcoming of the
Coulomb barrier is possible if the hydrogen is in an intermediate Rydberg state (ion-electron pair according to BSM-SG theory). The process known as a proton captures is assisted by the magnetic interaction between the Rydberg matter and the nickel nuclei which are in a proper nuclear spin state. The optimization of the released nuclear energy and the minimization of the radioactive waste are possible by a proper isotope selection of the involved elements.
**Disclaimer:**
1. The author claims that only publicly available data published by the researchers of cold fusion (LENR) about Ni-H process were used. He did not obtain any data related to some trade secrets or proprietary information. The apparent match to some trade secrets is a result of scientific analysis of the public data by using the BSM-SG models.
2. This article is provided for the purpose of advancing scientific knowledge. The author cannot be held responsible for any injury, damage or loss of property that may eventually occur by improper experimental setup or test provided in an unsuitable environment.
**Acknowledgement:** As a member of the Board of Distinguished Scientific Advisors to the World Institute for Scientific Exploration, the author would like to thank to the Board of Directors for the encouragement and the moral support for this theoretical development.
**References:**
[1]. M. Fleischmann and S. J. Pons, Electroanal. Chem., v. 261, 301, (1989)
[2]. S. Focardi and A. Rossi, [http://www.journal-of-nuclear-physics.com/?p=360](http://www.journal-of-nuclear-physics.com/?p=360)
[3]. G. Levi et al, Indication of anomalous heat energy production in a reactor device containing hydrogen loaded nickel powder, [http://arxiv.org/abs/1305.3913](http://arxiv.org/abs/1305.3913)
[4]. J. Hadjichristos, M. Koulouris, A. Chatzichristos, Technical Characteristics & performance of the Defkalion’s Hyperion Pre-industrial Project, ICCF-17, (2012) [http://newenergytimes.com/v2/conferences/2012/ICCF17/ICCF-17-Hadjichristos-Technical-Characteristics-Paper.pdf](http://newenergytimes.com/v2/conferences/2012/ICCF17/ICCF-17-Hadjichristos-Technical-Characteristics-Paper.pdf)
[5]. Defkalion cold fusion demo during ICCF-18, (2013) [http://www.youtube.com/watch?v=HHEtnTO3h6s&feature=c4-overview&list=UUUX6cT8DJdhop_b4yp_4r_w](http://www.youtube.com/watch?v=HHEtnTO3h6s&feature=c4-overview&list=UUUX6cT8DJdhop_b4yp_4r_w)
[6]. Cold fusion theories [http://en.wikiversity.org/wiki/Cold_fusion/Theory](http://en.wikiversity.org/wiki/Cold_fusion/Theory)
[7]. F. Dalfovo and S. Giorgini, Theory of Bose-Einstein condensation in trapped gases, Reviews of Modern Physics, Vol. 71, No. 3, 463-512, (1999)
[8]. Y. E. Kim, Generalized Theory of Bose-Einstein Condensation Nuclear Fusion for Hydrogen-Metal System, Purdue University, West Lafayette, Indiana 47907, USA Preprint PNMBTG-6-2011 (June 2011)
[9]. A. Widom, L. Larsen, Ultra Low Momentum Neutron Catalyzed Nuclear Reactions on Metallic Hydride Surfaces, Eur. Phys. J. C, 46, 107-111, (2006)
[10]. Asti Workshop on Anomalies in Hydrogen/Deuterium Loaded metals, New Energy Times, ICCF and LENR Proceedings, International Conference on Cold Fusion [http://newenergytimes.com/v2/conferences/LENRConferenceProceedings.shtml](http://newenergytimes.com/v2/conferences/LENRConferenceProceedings.shtml)
[11]. S. Sarg ©2001, *Basic Structures of Matter*, monograph, http://www.helical-structures.org also in: http://www.nlc-bnc.ca/amicus/index-e.html (First edition, ISBN 0973051507, 2002; Second edition, ISBN 0973051558, 2005), (AMICUS No. 27105955), LC Class no.: QC794.6*; Dewey: 530.14/2 21
[12]. S. Sarg, *Basic Structures of Matter – Supergravitation Unified Theory*, ISBN 9781412083874, (2005), Amazon.com
[13]. S. Sarg, New approach for building of unified theory, [http://lanl.arxiv.org/abs/physics/0205052](http://lanl.arxiv.org/abs/physics/0205052) (May 2002)
[14]. S. Sarg, A Physical Model of the Electron according to the Basic Structures of Matter Hypothesis, Physics Essays, volume. 16, No. 2, 180-195, (2003) available in: [http://vixra.org/abs/1104.0051](http://vixra.org/abs/1104.0051)
[15]. E. Rutherford, The scattering of $\alpha$ and $\beta$ particles by Matter and the Structure of Atom, Phil.
Mag. Series 6, vol. 21, p. 669-688, (1911)
[16]. A. Einstein, Sidelights on Relativity (1922, p.19,20,23),
https://archive.org/details/sidelightsonrela00einsuoft
[17]. H. Geiger and E. Marsden, On a Diffuse Reflection of the $\alpha$ -Particles, Proc R. Soc. London, A, 82, 495-500, (1909)
[18]. E. S. Bieler, Large-Angle Scattering of $\alpha$ -Particles by Light Nuclei, Proceedings of the Royal Society of London, Series A, vol. 105, No 732, 434-450, (1924)
[19]. G. W. Farwell and H. E. Wegner, Elastic Scattering of Intermediate-Energy Alpha Particles by Heavy Nuclei, Physical Review, v. 95, No. 5, 1212-1217, (1954).
[20]. R. M. Eisberg and C.E. Porter, Scattering of Alpha Particles, Review of Modern Physics, V. 13, No 2, 190-230, (1961).
[21]. R. I. R. I. Badran and Dana Al-Masri, Exploring diffractive features of elastic scattering of $^6$Li by different target nuclei at different energies, Ca. J. Phys., v. 91, 355-364, (2013)
[22]. W. P. Abfalterer et al., Measurement of neutron total cross section up to 560 MeV, Phys. Rev C, v. 63, 044608, (2001)
[23]. T. Kawasaki et al., Applied Physics letters, v.6, 459, (1977)
[24]. S. Sarg, Structural Physics of Nuclear Fusion with BSM-SG atomic models ISBN 9781482620030, (2013), Amazon.com
[25]. Sarg, Theoretical feasibility of Cold Fusion According to the BSM- Supergravitation Unified Theory, General Science Journal, http://gsjournal.net/Science-Journals/Essays/View/4805 (2013) also in Journal of Nuclear Physics (extended version) http://www.journal-of-nuclear-physics.com/?p=833 (submitted 2011 issued 2013)
[26]. Cold Fusion. The history of research in Italy. Italian National Agency for New Technologies, Energy and Environment, Report in, 2008. Editors S. Martelluci, A. Rosati, F. Scaramuzzi, V. Violante http://old.enea.it/com/ingl/New_ingl/publications/pdf/Cold_Fusion_Italy.pdf
[27]. S. Focardi et al., Large excess heat production in Ni-h system, IL Nuovo Cimento, v. 111 A, N.11, 1233-1242, (1998)
[28]. A. Rossi, Method and Apparatus for Carrying out Nickel and Hydrogen Exothermal Reactions, WO 2009/125444 A1 (15 Oct 2009) (patent submitted 4 Aug 2008).
[29]. J. Hadjichristos and P. Gluck, Heat Energy from Hydrogen-Metal Nuclear Interactions, Process in Isotopes and Molecules International Conference, Cluj-Napoca, Romania, 25-27 Sep (2013).
[30]. N. Tesla, Experiments with alternative current of high potential and high frequency, reports at Institute of Electrical Engineers, London, (1982) (Available in http://books.google.ca/books?isbn=1602060584 )
[31]. A. B. Chernetski. Plasma systems with separated electrical charges, Moscou Institute G. V. Plehanov, (1983) (in Russian). See also in http://www.rexresearch.com/chernetskii/chernetskii.htm
[32]. Y. Iwamura et al., "Elemental Analysis of Pd Complexes: Effects of D$_2$ Gas Permeation," Jpn. J. Appl. Phys. Vol. 41 (2002) pp. 4642–4650 http://newenergytimes.com/v2/views/Group1/Iwamura.shtml
[33]. L. Holmlid, Sub-nanometer distances and cluster shapes in dense hydrogen and in higher level of hydrogen Rydberg Matter by phase-delay spectroscopy, J. Nanopart. Res. 13, 5535-5546, (2011).
[34]. L. Holmlid, Direct observation OF CIRCULAR Rydberg electrons in a Rydberg matter surface layer by electronic circular dichroism, J. Phys.: Condensed Matter, v. 19. No. 27, 276206, (2007).
[35]. Ni-63 safety data sheet http://www.stanford.edu/dept/EHS/prod/researchlab/radlaser/RSDS_sheets/Ni-63.pdf
[36]. M. Felderhoff and B. Bogdanović, High Temperature Metal Hydrides as Heat Storage Materials for Solar and Related Applications http://www.ncbi.nlm.nih.gov/pmc/articles/PMC2662468/
[37]. W. H. Fleming Jr, Analysis of Heat Transfer in Metal Hydride Based Hydrogen Separation WSRC-TR-99-00348, Rev. 2, (1999)
[38]. www.nyteknik.se/nyheter/energi_miljo/energi/article3144827.ece
[39]. Rothwell, J., ed. Brief Technical Description of the Leonardo Corporation, University of Bologna, and INFN, Scientific Demonstration of the Andrea Rossi ECat (Energy Catalyzer) Boiler. 2011, LENR-CANR.org. http://lenr-canr.org/acrobat/RothwellJbrieftechn.pdf
ELEMENTARY PARTICLES, ATOMIC NUCLEI AND MOLECULES ACCORDING TO THE BSM – SUPERGRAVITATION UNIFIED THEORY
Stoyan Sarg Sargoytchev
YORK UNIVERSITY, TORONTO, CANADA,
E-mail: firstname.lastname@example.org
Abstract: The Basic Structures of Matter – Supergravitation Unified Theory (BSM-SG) is based on alternative concept of the physical vacuum. At small distance below 1 angstrom the Supergravitational forces appear as strong nuclear forces, while at larger distance they converge to the Newtonian gravity. Amongst the major outcomes from BSM-SG theory are derived material structures of the stable elementary particles forming the material structure of atomic nuclei. The protons and neutrons are not spherical but having a shape of twisted and folded torus, respectively. They are thin but with much larger size than the size of the atomic nuclei according to the QM models, so the Coulomb field is not converged to a size in the order of $10^{-15}$ m but is distributed over much larger size of the proton. The BSM-SG models of nuclear structures exhibit an excellent match to the pattern of Periodic Table, showing signatures of valences, Pauli Exclusion Principle and Hund’s rule. They also define the angular restrictions of the chemical bonds.
Key words: unified theory, supergravitation, particle substructure
1. Introduction
James Clerk Maxwell developed Classical Electrodynamics with the assumption of a material Ether (see section “A medium is necessary “, p. 493 [1]). After the inconclusive Michelson-Morley experiment, Einstein formulated in 1905 his postulate of Relativity that led to overthrowing the idea of the Ether. After development of General Relativity in 1920, Einstein partly reversed his opinion in favor of the Ether. In his book “Sidelights of Relativity” he says “Without Ether the General Theory is unthinkable” [2]. Although, Einstein disagrees with Maxwell’s vision about Ether, he did not provide a proof that the material Ether is impossible.
2. Basic Structure of Matter – Supergravitation Unified Theory (BSM-SG)
BSM-SG unveils the relation between the forces in Nature by adopting the following framework [3,4,5,6]:
• **There are two spherical superdense indestructible fundamental particles (FPs)** of two different substances of intrinsic matter with a radius ratio of 2:3 and different densities. The bell-shape curve radial dependence of their density permits vibration of the mass center at super-high proper frequency with an average value (for both types of FPs) associated with the Planck’s frequency, $F_{PL}$:
$$F_{PL} = \left[\frac{(2\pi c^5)}{(Gh)}\right]^{1/2} = 1.855 \times 10^{43} \text{ (Hz)} \quad (1)$$
• There is a fundamental law of Super Gravitation (SG), according to which FPs interact by a force inversely proportional to the cube of distance. This force in empty space is given by
$$F_{SG} = G_O \frac{m_{01}m_{02}}{r^3} \quad (2)$$
where: $F_{SG}$ is the SG force, $m_{01}$, $m_{02}$ are intrinsic matter mass, $r$ is distance; $G_O$ is a SG constant, which is different for each matter substance and may change sign for the case of imbalanced geometrical formations made from both FPs.
• **Vibrational energy and SG law**: FPs preserve a limited freedom of vibration in geometrical formations made from the same type of substance. In a complex 3D structure, FPs vibrate within a saturation limit – an energy well of the structure. The SG law is associated with the necessary energy for filling the energy well. The SG constant has a frequency dependence on the density of the structural formations and may change sign, which means that SG forces could be attractive or repulsive.
• **Signature of SG forces** – Casimir Forces – attractive and repulsive - and some Vander Walls forces.
An enormous quantity of the two FPs interacting by SG forces and possessing energy above some critical level leads to formation of self-organized hierarchical levels. A unique crystallization process leads deterministically to creation of space with quantum properties – a physical vacuum and elementary particles forming the observable matter of an individual galaxy.
Fig. 1 shows three consecutive types of 3D formations at the lowest order of the crystallization process. They are denoted as Tetrahedron (TH), Quasipentagon (QP) and Quasiball (QB).
![Fig. 1. Structures of lowest level. a. Tetrahedron (TH), b – Quasipentagon, c. – Quasiball (QB)]
The FPs embedded in TH causes common mode spatial oscillations with properties defined by the TH geometry. Eq. 3 providing an accurate value for fine structure constant is based on the assumption that it is defined by the ratio between the frequency of common mode oscillations of TH and the Planck frequency of FP. (Derived in §12.A.5.3 [6]).
\[
\alpha = \frac{2}{[(n^2 + 2\pi^2)^{1/2} + n]} = 7.29735194 \times 10^{-3}
\]
(3)
\[
\alpha = 7.297352533 \text{ according to CODATA 98}
\]
(4)
The vibrational SG modes in QP exhibit an axial anisotropy due to its geometrical shape. The gaps between the THs in QP are combined in a common gap of \(7.355^\circ\), which is preserved in QB. This allows a left or right hand twisting of the QB - a lowest level memory carrying the chirality (handedness). The next higher order contains the same type of formations, while the TH is formed by QBs of the previous order. For all orders the following relation for quantity of embedded FPs is valid: 1 QB = 12 QP = 60 TH
The frequency of common mode vibrations decreases from TH to QP to QB and for subsequent orders. Consequently, the well-defined hierarchical level of structural formations serves as an accurate divider of the fundamental Planck frequency.
The sectional view of QB shows that this formation encloses an internal empty space. The same is true for the upper hierarchical orders of QBs. Consequently if such QBs are compressed in a shell they will be molded into hexagonal prisms with internal structure carrying left and right handed twisting. The two types of prisms are respectively made from the two types of FPs.
Fig. 2. illustrates the hypothetical evolution phases of the primordial matter from both FPs leading to formation of internally twisted prisms followed by their crystallization into helical structures from which elementary particles are built [6].
The crystallization process occurs in a hidden phase of evolution of an individual galaxy. The remnant of the enormous abundance of FPs is in the center of the galaxy, now identified as a supermassive black hole. The galaxies have a cycle comprised of a hidden phase of particle crystallization, an observable active life, and a collapse with particle recycling. Globular clusters are remnants from a past galaxy life. The birth and collapse of an individual galaxy with an average active life of 12 billions years has a detectable signature – a Gamma Ray Burst. The galactic red shift is not of Doppler type but due to small differences in the shape of molded prisms. The universe is stationary and everlasting. These conclusions agree with the accumulated observations discussed by the Alternative Cosmology Group [7].
The free prisms form a spatial structure called a Cosmic Lattice (CL), while the stable particles - protons, neutrons and electrons - initially form simple atoms, such as hydrogen, deuterium, tritium, helium and the first molecules. The newborn space has all the known properties of the physical vacuum, while the elementary particles interacting with the CL structure exhibit quantum mechanical features. The main properties of CL space are:
- The CL structure is formed of alternately arranged CL nodes made of 4 prisms of the same type aligned along the four apex axes of the tetrahedron they form. They have an intrinsically small inertia in a void space.
- The individual CL nodes are separated by gaps due to the specifics of the SG forces.
- The SG field between the elementary particles in CL space is propagated by the \(abcd\) set of axes (see Fig. 3) of the CL nodes and appears as Newtonian gravitation.
• The Electrical and Magnetic fields are types of CL space modulations, based on the dynamic properties of the CL nodes involving momentums along the \(xyz\) set of axes.
• The gaps between CL nodes and their proper frequency slightly depend on the mass of a material object, defining in this way the space properties according to General Relativity.
• Since the CL nodes are flexible, rarefied CL structure (with weaker internode forces) could pass through a denser one. This gives a new vision of the inertial frame suggested by Einstein.
Fig. 3 illustrates the CL node dynamics under SG forces.
**Fig. 3.** CL node and its dynamics. MQ SPM has a central symmetry, EQ SPM is elongated
The dynamical behavior of the CL node is described by two vectors: Node resonance momentum (NRM) and Spatial Precession Momentum (SPM). The hodograph of NRM (cycle) is an open flat curve, as shown at the left bottom side of Fig. 3. A large number of NRM cycles forms a closed 3D surface of the SPM vector called a Quasisphere. It has 6 bumps (along the \(xyz\) axes) and 4 depressions (along the \(abcd\) axes). The magnetic field lines are formed by aligned quasipheres called MQ, while electrical lines – by aligned EQs. The MQs and EQs are synchronized with slightly different SPM frequencies. The photon is a specific wave in the CL space possessing a helical configuration from orthogonally arranged EQs and MQs with a boundary of MQs. The energy momentum from every CL node included in the photon wavetrain transfers to a neighboring one in one NRM cycle – this defines the velocity of light. The velocity of light (EM propagation) is additionally stabilized by the effect of self synchronization between the CL nodes, which is with the SPM (Compton’s) frequency, and it is involved in the definition of the permeability and permittivity of the physical vacuum (Chapter 2 of BSM-SG).
The **Elementary particles** are built of prisms arranged in **helical structures** in a crystallization process preceding the birth of the galaxy.
**The Electron** is one coil of a First Order Helical Structure (FOHS) - an oscillating 3-body system with two proper frequencies [5]. The first one is the Compton frequency equal to the SPM frequency of the CL node. Fig. 4 shows the dimensions and structure of the electron and its modulation properties on CL nodes that define its electrical field.
The fine structure constant is embedded in the helical step $s_e$ given by the expression:
$$s_e = (\alpha c / v_c)(1 - \alpha^2)^{1/2} = 2r_e = 1.7706 \times 10^{-14} \text{ (m)}$$
(5)
The **denser internal lattice of FOHS** modulates the CL space, creating aligned EQ SPM, which define the **electrical field lines**. When moving and rotating, the modulation causes formations of loops of phase synchronized MQs – **magnetic lines**.
**Confined motion:** The screw-like motion of the rotating and oscillating electron and its interaction with the SPM frequency of the CL nodes causes a confined motion with preferred velocities, corresponding to $(13.6/n)$ eV, where $n$ matches the principal quantum number of the Bohr atomic model. In a closed loop motion, $n$ defines the real length of the quantum orbit, because the loop length contains a whole number of quantum magnetic lines (See §7.7.1, Chapter 7 of BSM-SG).
Using the structure and oscillating properties of the electron, the following physical parameters of the CL space are derived:
**Static CL pressure, $P_S$:** defines the Newtonian mass of an elementary particle (Equation 7) as a pressure exercised on the volume of its impenetrable internal lattice divided by the square of the speed of light
$$P_S = \frac{m}{V_e}c^2 = \frac{g_s h v_c^4 (1 - \alpha^2)}{\pi \alpha^2 c^3} = 1.3735 \times 10^{26} \text{ (N/m}^2\text{)}$$
(6)
$$m = (P_S / c^2)V_H \text{ (kg)}$$
(7)
where: $V_e$ – volume of denser internal lattice of the electron, $V_H$- a similar volume of a stable elementary particle
**Partial CL pressure, $P_p$:** related to the inertial properties of the elementary particles in CL space at their confined motion
$$P_p = P_S \alpha \nu / c \quad \text{(N/m}^2\text{)} \quad \text{where: } \nu \text{ - is velocity}$$
(8)
**Dynamical CL pressure, $P_D$:** - exercised on atoms and molecules by ZPE waves responsible for equalization of the CL space background energy.
$$P_D = \frac{h v_c}{c S_e} = \frac{g_s h v_c^3 (1 - \alpha^2)}{\pi \alpha c^3} = 2.0258 \times 10^3 \quad \left(\frac{N}{m^2 Hz}\right)$$
(9)
The signature of $P_D$ is the observed Cosmic Microwave Background (CMB). Therefore, the estimated temperature of 2.72K (by fitting of CMB to a blackbody curve) in fact is a CL space background parameter. The derived theoretical expression (Chapter 5 of BSM-SG) is:
$$T = \frac{N_A^2}{S_W} \frac{\hbar v_e (R_C + r_p)^3 L_{pc}^2 \mu_e}{2cR_C r_p R_{ig}} = 2.6758K$$
(10)
where $Lp$, shown in Fig. 5 is estimated by analysis in §6.12.2, Chapter 6 of BSM-SG [6].
Other identified CL space parameters:
- **CL node distance** (at xyz axes) $\sim 1.0975 \times 10^{-20}$ (m),
- **NRM (resonance) frequency**: $1.0926 \times 10^{29}$ (Hz)
- **SPM frequency** = Compton frequency (known): $1.2356 \times 10^{20}$ (Hz)
The CL space contains two types of energy – dynamic and static. The dynamic one is envisioned by Quantum Mechanics. According to BSM-SG its signature is the background temperature of 2.72K given by Eq. 10 which corresponds to the CMB radiation. The static type of energy is the energy of connection between CL nodes. Its estimation given by (11) is possible by application of Eq. (6) by using the revealed structure of electron (Chapter 5 of BSM-SG). The Static energy is many orders larger than the dynamic one and directly related to the mass.
**ZPE-S** = $1.373 \times 10^{26}$ (J) (in one cubic meter of space)
(11)
Using the particle data and the derived mass equation, the internal structure of the proton and neutron is identified, as shown in Fig 5. The outside helical structure is positive. Inside it are 3 helical structures - two pions (+) and (-) and a central kaon. All helical structures are stable because they are closed tori. If the external positive structure is broken (in particle colliders) the internal pions and kaon are cut and decay. More often they are cut in one place preserving the total mass so it is accurately estimated. The kaon has a different inertial property, so its estimated mass appears larger. The calculated dimensions are verified by analysis of atoms connected in molecules with experimentally known lengths of the chemical bonds.
The proton and neutron have one and a same structure but the proton is twisted in the shape of an 8, while the neutron is double folded. The neutron is more stable when positioned over the proton, forming a deuterium nucleus, as shown in Fig. 6. The CL space modulation by the proton (CL node dynamics) appears as a charge, but for the neutron it is locked in the near field by the strong SG forces. In case of motion, however, the locked charge modulates dynamically the CL space creating a magnetic field. This defines the magnetic moment of the neutron that is unexplainable enigma in contemporary physics. The material structure of the “antiproton” obtained in particle colliders however is not the same as the proton, so it is unstable.
Fig. 6. Protons and neutrons arrangement in atomic nuclei
The left side of Fig. 6 shows the spatial arrangement of the protons and neutrons and the quantum orbits for H, D, and He. The right side shows the proton and neutron arrangement in the atomic nuclei according to BSM-SG.
The unveiled nuclear structures of stable elements are presented in the Atlas of Atomic Nuclear Structures – Appendix A of the BSM-SG book, by using suitable graphics symbols [8]. In a neutral atom each proton has its own bound electron, so the positions of the electron quantum orbits are completely defined by the nuclear structure. The atomic nuclei are slightly twisted along the polar axis due to the twisted 3D shape of the proton. This feature is in agreement with transmission Lauer patterns of elements (see §18.104.22.168 of BSM-SG, Chapter 8).
Fig. 8 shows the shape of the H$_2$ – ortho molecule and calculated vibrational levels compared to the measured ones.
The parameters of the H$_2$ molecule (shown in Fig. 8) were obtained by analysis of the optical and photoelectron spectra. The value of one important factor of the SG law denoted as $C_{SG}$ is obtained by fitting the vibrational levels (calculated by derived Eq. 9) to the QM vibrational levels (\S 9.7, Chapter 9 of BSM-SG).
$$E_v = \frac{C_{SG}}{q[(L_q(1)(1-\alpha^4\pi\Delta^2)]+0.6455L_p]^2} - \frac{2E_q}{q} - \frac{2E_k}{q}$$
$$C_{SG} = G_0m_0^2 = (2h\nu_c + h\nu_c\alpha^2)(L_q(1)+06455L_p)^2 = 5.2651 \times 10^{-33}$$
where: $q$ – electron charge, $L_q(I)$ – quantum orbit length for electron velocity of 13.6 eV, $L_p$ – proton length, $\Delta$ – vibration level, $E_q = 511$ KeV, $E_k$ – electron kinetic energy, $\nu_c$ – Compton frequency, $\alpha$ - fine structure constant, $G_{SG}$ – SG gravitational constant, $m_0$ – SG mass of the proton (also neutron).
The derived factor $C_{SG}$ is additionally verified by calculating the binding energy between the proton and neutron in Deuterium (Chapter 6 of BSM-SG, p. 6-52).
The structural analysis of simple molecules indicates that the H$_2$ – ortho molecule is imbedded as a chemical bond system in molecules, having a vibrational rotational spectra. An equation similar to (12) was derived also for the D$_2$ molecule, which is a more common system in the chemical bonds. For a simple diatomic molecule, a universal expression (12) for internuclear distance $r_n$, is derived. In &9.75.D (Chapter 9 of BSM) it is shown that the vibrational range distance is negligible in comparison to the internuclear distance $r_n$, due to the involvement of the SG law (this is an unsolved problem in Quantum Mechanical models).
$$r_n = (A - p)[(2\alpha C_{SG})/(pB_{D2}(n))]^{1/2}$$
(14)
where: A - mass in atomic mass unit (per one atom), $p$ – number of protons involved in the chemical bond (per one atom), $n$ – subharmonic quantum number of the orbit, $B_{D2}$ – energy of $D_2$ bonding system; $\alpha$ - fine structure constant.
3. Structure of the molecules
Using BSM atomic models and the length of possible quantum orbits a synthetic structural models of molecules could be built. The angular directions of their chemical bonds agree with the VSEPR models used in structural chemistry. This is demonstrated for the simple molecules O$_2$, O$_3$ (ozone), CO$_2$ and H$_2$O, as shown in Fig. 9. The bond lengths are calculated by the equations in Chapter 9 of BSM-SG [6] agree to experimentally known ones.
4. Atoms in metal lattices
Fig. 10 (left panel) shows the comparison between the image of the metal lattice of gold [9] and the synthetic model obtained by the BSM-SG atomic models [9].
**Fig. 10.** Left panel: Images of two different planes of Au lattice by tunneling microscope, Courtesy of T. Kawasaki et al. [9]; middle panel – a structure of the atom of gold, right panel: - a synthetic model of metal lattice
5. Modeling in nanotechnology
The BSM-SG atomic models open an opportunity for synthetic modeling in nanotechnology and new materials by using 3D atomic models. The left panel in Fig 11 illustrates the carbon atom. Its valences (participating in chemical bonds) are in pairs lying not in one but in two orthogonal planes with slightly displaced points of connection at the nucleus. Using this 3D shape, a synthetic 3D model of a carbon sheet (graphene) is built and shown in Fig. 13. This 3D model shows that the neighboring carbon atoms lie in two parallel planes with a distance between them of about 0.05 nm. Such resolution is close to the limit of electron microscopy.
**Fig. 11.** Left panel: Carbon atom; Right panel: Synthetic model of Carbon sheet (graphene). Neighboring atoms lie in two parallel planes at distance smaller than 0.05 nm.
The existence of two displaced planes in the carbon sheet is apparent from the high resolution electron microscope image shown in Fig. 12. a. [10]. The brightness processed image shown in Fig. 12.b indicates the existence of two displaced planes. The 3D structure of Carbon nuclei is apparent also from the image of a carbon nanotube shown in Fig. 15 (see the left edge). The displaced parallel planes are not explainable by the adopted standard model based on the Bohr’s planetary model of atoms.
**Fig. 14.** a. Single wall Carbon sheet with TEAM microscope [10]; b. Processed image by brightness adjustment showing a signature of two displaced planes; right panel: - Single-wall nanotube (Courtesy of A. Javey et al. [11])
### 5. Conclusions and predictions
- A new vision about the microcosmos and the universe [4,6,12].
- The elementary particles possess material structure with complex 3D geometrical shapes.
- The structure of elementary particles, permits revealing the structures of atomic nuclei that define the pattern of the Periodic Table, the primary and secondary valences, the bond directions of the atoms in molecules, the stability (radioactivity) and other chemical and physical properties of the elements.
- BSM atomic models could be used for modeling in nanotechnology and creation of materials with new properties.
- Hidden energy of non EM type – a primary source of nuclear energy.
- Mass is not equivalent to matter but it is a measurable parameter of the matter.
- Gravitational forces on a material object could be modified by proper modulation of the CL space (physical vacuum).
### References
[1] J. C. Maxwell, *A Treatise on Electricity and Magnetism*, v. 2 (Dover Publications, N. Y. p. 493, (1954)
[2] A. Einstein, *Sidelights on Relativity*, translated by G. Jeffery & W. Perrett, Methuen & Co. Ltd, London, (1922).
[3] S. Sarg, Basic Structures of Matter (first edition 2002, second edition, 2002) electronic archives, National Library of Canada
[4] S. Sarg, New approach for building of unified theory, http://lanl.arxiv.org/abs/physics/0205052 (May 2002)
[5] S. Sarg, A Physical Model of the Electron according to the Basic Structures of Matter Hypothesis, Physics Essays, 16 No. 2, 180-195, (2003); http://www.physicesssays.com
[6] S. Sarg, *Basic Structures of Matter – Supergravitation Unified Theory*, Trafford Publishing, Canada, 2006, ISBN 141208387-7 (www.trafford.com/06-01421).
[7] Alternative Cosmology Group http://www.cosmology.info
[8] Atlas of Atomic Nuclear Structures (2002) www.nlc-bnc.ca/amicus/index-e.htm (AMICUS No. 27105955)
[9] T. Kawasaki et al., App. Phys. Letters 76, No 10, 1342-1344 (2000)
[10] Image of carbon sheet, Popular Science, (01.19.2010) www.popsci.com/gadgets/article/2010-01/graphene-breakthrough-could-usher-future-electronics
[11] A. Javey at al., Nano Lett. 4, 1319, (2004)
[12] S. Sarg, BSM-SG unified theory, Proceedings of the IX International Scientific Conference, Space, Time, Gravitation, August 7-11, 2006 St. Petersburg, Russia.
THEORETICAL FEASIBILITY OF COLD FUSION ACCORDING TO THE BSM - SUPERGRAVITATION UNIFIED THEORY
Stoyan Sarg Sargoytchev
YORK UNIVERSITY, TORONTO, CANADA,
E-mail: email@example.com
Abstract: Advances in the field of cold fusion or LENR in which the energy release cannot be explained by a chemical process, need a deeper understanding of the nuclear reactions and, more particularly, the possibility for modification of the Coulomb barrier. The treatise “Basic Structures of Matter – Supergravitation Unified Theory”, suggests non spherical shapes of the protons and neutrons. Held by strong nuclear forces they form atomic nuclei as fractal three-dimensional structures. Such nuclear structures exhibit an excellent match to the pattern of Periodic Table, showing signatures of valences, Pauli exclusion principle and angular restrictions of the chemical bonds. The Coulomb barrier in these nuclear structures does not converge to a small size as in the case of the Bohr planetary model and it could be modified by some technical methods. Using the suggested atomic models, the analysis of some successful cold fusion experiments resulted in practical considerations for modification of the Coulomb barrier.
Key words: unified theory, supergravitation, particle substructure
1. Introduction
The scientific research on cold fusion was pioneered by High Flyn (1913-1997), an emeritus professor at the University of Rochester. Being an expert in ultrasonic waves, he advocated a method of cold fusion based on cavitation in liquid metals with injected hydrogen or deuterium and obtained a patent in 1982 [1]. At this time however, little attention was paid since cold fusion was thought to be theoretically impossible. Interest in cold fusion was raised after Fleischmann and Pons announced a successful cold fusion experiment in 1989 [2]. The lack of a theoretical explanation and difficulty in repeatability led to an official denial, but interest in this option for solving the energy crisis never disappeared. Due to opposition from mainly the hot fusion advocates, the field is more often referred to as Low Energy Nuclear Reaction (LENR). Many researchers and scientists around the world have reported successful experiments at a number of international conferences [3], and selected articles are collected in an on-line data base [4].
Recently, the interest in cold fusion as an alternative to nuclear energy was raised by the successful demonstration of the Andrea Rossi cold fusion reactor called E-cat. The Focardi-Rossi method of nuclear reaction Ni + H -> Cu [5] is based on the preliminary research pioneered by Piantelli in 1989 [6] that has been extended and supported by the local inter-university centers in Bologna [7] and later followed by Focardi-Rossi and colleagues [11]. After years of successful collaboration, and development Andrea Rossi gave in 2011 a number of public demonstration of the E-cat reactor prototype, capable of producing more than 10 kilowatts of heat power, while only consuming a fraction of that. At major public test on October 28, 2011 Rossi demonstration, a half of megawatt-hour thermal energy produced for about 5 hours [8].
According to current understanding of nuclear physics, fusion may occur only at superhigh temperatures in the order of a million degrees. The objections rely on the officially accepted theoretical understanding and, more particularly, on Quantum Mechanics, which is based on the Bohr planetary model of hydrogen extrapolated to all atomic nuclei. According to this model, the nucleus is extremely small in the order of $10^{-15}$ m, so the Coulomb barrier at such a distance is extremely strong and can be overcome only with a very high collision momentum achievable at a temperature of a million degrees.
The question why the chemical and physical properties of the elements in the Periodic Table do not follow strictly the row and column pattern has not been answered from the time of Mendeleyev. Could this be a signature of some three-dimensional composition of fractal structures from which the atomic nuclei are built?
2. A new theoretical approach
2.1 Brief introduction
The feasibility of cold fusion is theoretically explainable by the BSM-Supergravitation unified theory (BSM-SG) [...] with an initial framework based on two indestructible fundamental particles, FP, with parameters associated with the Planck scale and a fundamental Law of Supergravitation (SG). This law is distinguished from Newton’s law of gravity in that the SG forces, $F_{SG}$, in pure empty space are inversely proportional to the cube of the distance.
$$F_{SG} = G_0 \frac{m_{01}m_{02}}{r^3} \quad \text{Supergravitation Law (SG)} \quad (1)$$
where: $G_0$ – SG constant, $m_{01}$ and $m_{02}$ - SG masses (different than the Newtonian mass), $r$ - distance
The two FP particles combine in hierarchical formations of 3D structures held by SG forces are building blocks of the elementary particles and underlying structure of space, often referred as space fabrics. In far range propagation through the space-fabrics, the SG forces become gravitational forces of Newton’s law of gravity. The suggested concept and derived physical models
allow explanation of all kinds of quantum mechanical interactions between elementary particles, using a classical approach and the unveiled structure of both the particles and the space-time fabric.
The SG forces are not only behind the nuclear forces at a close distance between nucleons, but they also define the electrical field of charged particles. Since the elementary particles appear to have a 3D non-spherical structure and shape, the atomic nuclei also possess non-spherical 3D geometrical structures that define the row and column pattern of the Periodic Table. In this sense, one of the major results of the BSM-SG theory is a new vision of the 3D structure of protons and neutrons and their spatial arrangements in atomic nuclei. This is presented in the Atlas of Atomic Nuclear Structures (ANS) that was archived in the National Library of Canada [13] and published elsewhere (viXra:1107.0031).
2.2. Non-spherical shape of protons and neutrons and their spatial arrangement in atomic nuclei according to BSM-SG theory
In Quantum Mechanics (QM) and Particle Physics all particles are assumed to be spherical, so QM deals only with energy. The assumption of the spherical shape is initially adopted in the planetary model of Hydrogen suggested by Bohr and later for the QM models of all atoms. Based on scattering experiments in which only a spherical shape is assumed, the nucleus is considered extremely small in the order of $10^{-15}$ m. However, the scattering experiments have only angular, and not transverse, resolution. Then if the nucleus is assumed to be non-spherical, such as a torus, a twisted torus, or a folded torus with much larger toroidal radius but thinner, the scattering data by positrons will be one and the same. Also, the positrons as well as the electrons are found to have rotational speed, so the momentum of this will affect the interpretation of the scattering data.
According to the derived physical models of BSM-SG theory, the proton has the shape of a twisted torus in the form of the figure 8, while the neutron is a double folded torus. At the same time they possess one and the same sub-elementary structure of helical structures. The validation of this conclusion involved extensive analysis of the Particle Physics data, and matching of the derived models with the theoretical developments of Quantum Mechanics, chemistry and experimental data from different fields of physics.
Figure 1 illustrates the revealed shape and the spatial arrangement of the protons and neutrons in the atomic nuclei of the elements Hydrogen, Deuteron and Helium according to the BSM-SG theory.
2.3. BSM-SG models of atomic nuclear structures
Among the major derivatives of the BSM-SG theory is the Atlas of Atomic Nuclear structures[13]. The derived BSM-SG atomic models match perfectly to the pattern of the Periodic Table, while showing the valences and many other features including the Hnds rule and Pauli exclusion principle. Fig. 2. shows two views of a mockup of Argon atom.
**Fig. 2 Views of a mockup of Argon atom.**
2.4 Coulomb barrier of the proton
According to BSM-SG theory, the SG forces are not only behind the nuclear forces. They also define the field lines of the electrical charge in closed proximity to the proton core. Therefore the SG field also defines the so-called Coulomb barrier that is one of the most controversial issues in nuclear fusion. Fig. 3 illustrates the distribution of the electrical field (E-field) in close proximity to the proton’s high-density core and the locked E-field around the neutron’s high-density core.
**Fig. 3. Coulomb barriers of the near E-field of the proton and the locked E-field of neutron.**
Both, the proton and neutron create the E-field as a modulation of the physical vacuum (CL space) by the superfine dense helical structure of their cores. The E-field of the neutron, however, is locked in proximity from the strong SG field.
The electrical charge in closed proximity to the proton is distributed around its shape, but this is in a microscopic range. Outside of the Bohr radius, the E-field lines appear as coming from a point charge. The spatial configuration of the proton’s Coulomb barrier illustrated in Fig. 3 is significantly different from the Coulomb barrier of the Bohr model of hydrogen. Furthermore it could be modified to some extent due to its dependence on the SG forces, and there are some technical methods for invoking such an modification.
It is well known that a single neutron is not stable and converts to a proton with a lifetime of 12 min. The instability, according to BSM-SG is caused by the weak balance between the repulsive Coulomb forces in the locked E-field and the attractive SG forces that keep its shape of a double folded torus. However, when the neutron is over the proton saddle (central section) it is stable, forming in such way the stable element Deuteron. The stability is a result of a stronger balance between the repulsive E-fields (+) of the proton and the locked, but accessible at such a distance, E-field (+) of the neutron. The neutron can only rotate or vibrate, and the latter is behind a physical phenomenon known as the Giant Resonance. This phenomenon, discovered by Baldwin and Klaiber in 1947, was later confirmed by many and interpreted by Goldhaber and Teller (Phys. Rev. 74, 1046, (1948). The suggested explanation was that the protons move in one direction while the neutrons move in the opposite direction.
From the graphical model of the Coulomb barriers in Fig. 3 it is evident that a nuclear reaction p + d -> D would take place if the neutron and protons are properly oriented and the proton’s Coulomb barrier is slightly modified.
2.5. General Relativity (GR) from the point of view of BSM-SG theory and a hypothesis of GR field micro-curvature around atomic nuclei.
According to General Relativity (GR), a massive object creates a field curvature (the space is shrunk). The radial dependence of this shrinkage is asymptotically smooth, but we may consider two spherical zones and denote them as near and far zones. The common etalon for unit distance must be a characteristic parameter available in both zones. Since the Compton wavelength is directly related to the Plank constant $h$ by the expression $E = hc/\lambda$, it could be considered as a unit length etalon for measuring the energy of the emitted photon that passes between the two zones.
In the near zone the Compton wavelength etalon will be shorter than in the far zone. Then the wavelength of the photon emitted in the near zone but detected in the far zone will be gradually expanded, so it will exhibit a red shift. The wavelength expansion will be valid for the entire EM spectrum range since the photon wavelength is a whole number of Compton wavelengths. This
explains the gravitational red shift of the photons generated near the Sun and observed at the Earth. From this explanation we may formulate one important conclusion: **The field curvature of space has a property of energy conservation.**
If the GR effect of field curvature does not have a limit, we may assume that such an effect may exist also in the microscale range due to accumulation of the superdense structures of the elementary particles in the atomic nuclei. In fact, the experimentally measured Lamb shift corresponding to the transition $2S_{1/2} - 2P_{1/2}$ is a detectable signature of the field curvature in close proximity to atomic nuclei. The Lamb shift, first discovered for hydrogen by Lamb and Rutherford in 1947, was further investigated for elements with $Z > 2$, which are ions with only one electron. According to the Coulomb law, if the single electron is in such a strong field, the potential should increase linearly with Z-number. The observations, however, show that the Lamb shift dependence on Z-number is steeper than $Z^3$.
The plots shown in Fig. 4 and discussed in details in [14], leads to the following conclusions: (1) The quantum orbits are bound to the individual protons, (2) The neutron is over the proton saddle. Their accumulation also reduces somewhat the strong Coulomb field near the polar regions, (3) the SG field of the protons and neutrons contribute to the energy levels by making the space non-linear. **Consequently, we may suggest that in close proximity to a nucleus, a field micro-curvature exists as a GR effect in a microscale range.**
**Fig. 4.** a.- Lamb shift as a function of Z-number, b. - Lamb shift as a function of mass number, c. – Lamb shift for the first few elements. Courtesy of Glen W. Erickson [32] recommended by NIST.
### 2.6. Hidden energy of the physical vacuum - a primary source of the nuclear energy
Using the revealed structure of the electron [11] and the derived parameters of the structure of the physical vacuum called Cosmic Lattice it is found that the space contains enormous amount of hidden energy of not EM type, that is directly related to the mass according to the Einstein equation $E = mc^2$. The estimated value of this energy for 1 cm$^3$ is:
$$E_s = 1.3736 \times 10^{20} \quad \left[ J/cm^3 \right] \equiv 3.18 \times 10^{13} \quad \left[ KWH \right]$$ \hspace{1cm} (2)
2.6.1. Access to the hidden space energy by nuclear reaction – an explanation by a General Relativistic effect in the microscale range
The BSM-SG revealed that all stable elementary particles possess sub-elementary helical structures defining a volume impenetrable to the Cosmic Lattice. On this base a mass equation was derived for the electron for which all dimensions were revealed. The mass equation was extended for all stable particles, which are built by similar helical structures:
\[ m = \frac{g^2 c h (1 - \alpha^2)}{\pi \alpha^2 \lambda_C^4} \left( \frac{p m_p + n m_n}{m_e} \right) \quad (kg) \]
(20)
where: \( m_p \) and \( m_n \) – the mass of the proton and neutron respectively, \( p \) – number of protons, \( n \) – number of neutrons.
In a similar way as in the classical GR effect we may consider two zones in the field curvature around the atomic nucleus: near and far zones. All our instruments detect the nuclear mass in the far zone. The common parameter that could serve as a scale etalon in Eq. (20) is the Compton wavelength, \( \lambda_C \), and it is at a power of four. Consequently, the nuclear mass \( m \) detected in the far zone will be strongly affected by the change of \( \lambda_C \).
Using the derived factor for SG gravitation \( C_{SG} = 5.265E-33 \) by analysis of H\(_2\) and D\(_2\) molecules (BSM-SG Chapter 9, section 9.7), the theoretical binding energy between the proton and neutron for Deuteron is estimated by approximate method as 2.145E6 eV that differs from experimentally known one only by 3.6% (BSM-SG, Chapter 5, section 6.4.1)
**Conclusions:** (1) The source of nuclear binding energy is the Static energy of the physical vacuum; (2) The mass deficiency is a result of a GR effect of field micro-curvature around the atomic nucleus; (3) The nuclear energy released in the fusion and fission reactions is a result of sudden changes of the GR space micro-curvature, a process in which the hidden energy \( E_S \) is accessed.
2.7. Protons and neutrons in atomic nucleus according to BSM-SG models
The spatial arrangement of protons and neutrons defines the pattern of Periodic Table (PT), valences and angular restrictions on the chemical bonds. Fig. 5 illustrates two rows of PT.
2.8. Graphical illustration for understanding LENR by using the BSM-SG atomic models.
Fig. 5. Two rows of the Periodic Table using the BSM-SG atomic models [13].
Fig. 6. Graphical explanation of some cold fusion reactions proposed by Flyn and reactions demonstrated by the group of Taleyarkham. Cold fusion by strong shock pulse in sono-fusion or EM pulse in plasma (a) H2 -> p + n -> D; (b) HD -> D + n -> T, (c) L + p -> 2 He. The \(^3\text{Li}^7\) nucleus is comprised of He and T nuclei attached by GBpa bonds (\$8.3.6, Chapter 8 of BSM-SG).
Fig. 7. Two neighboring protons in Gd nucleus fusing to alpha particle
Fig. 8. Fusion reaction Pd + D -> Ag. The Coulomb field is shown in gray color
3. Graphical illustration of some experimentally proved LENR
Fig. 9 He nuclei obtained from LENR of Pa as a catalyst in a deuterium atmosphere (first obtained by Dr. Case)
Fig. 10 LENR obtained by Piantelli, Focardi and Rossi: Ni + D -> Cu; Cu + H -> Zn
Fig. 10 LENR products of Cu and Zn obtained by Piantelli, Focardi and Rossi: Ni + D -> Cu; Ni + H -> Cu; Cu + H -> Zn
Fig. 11 LENR predicted by BSM-SG theory: Cr + D -> Mn; Mn + D -> Fe Cr + H -> Mn; Mn + H -> Fe
4. Consideration for successful Cold Fusion reactions with energy yield
1. The process of cold fusion is more probable between a heavier and a light nucleus with a proper neutron to proton ratio.
2. The knowledge of the real 3D configuration of the nuclei helps to estimate the possibility for deeper penetration of the smaller nucleus into the heavier one. It also allows to find common structural features between elements that showed affinity to cold fusion reactions or transmutations in prior art experiments.
3. The heavier element must be in a solid state in a powder form in order to increase its active surface.
4. A proper temperature of the powder substance is required
5. A proper pressure of the light element gas is a prerequisite for the cold fusion process. The applied pressure must also be combined with a pressure pulsation.
6. Optional use of acoustic cavitation in a liquid phase.
7. Optional use of a plasma arc.
8. Optional use of a strong EM pulse
5. Conclusions
- QM models of atoms, based on the Bohr planetary model, are only mathematical. The scattering experiments cannot serve as a proof for the planetary model of the atoms, because they have only angular resolution and in data interpretation all particles are assumed spherical. However, particles with shapes of twisted and folded torus will give the same angular distribution.
- According to the BSM-SG atomic models, the Coulomb barrier is spread in much larger volume and it could be modified. The efficiency of LENR also depends on the mutual positions of nuclei and their exited state (nuclear spin).
- LENR does not involve severe refurbishment of atomic nuclei, so the radioactivity is missing or minimal.
- The radioactive waste provided by all nuclear plants on the Earth is about 12,000 metric tons per year. At year 2015 it will reach about 250,000 tons.
- A microgram of Plutonium penetrated in human body will lead to ill conditions with a life expectancy of 10 years (Los Alamos National Laboratory) (26): 78–79, (2000))
- LENR is a safer alternative to the presently used nuclear energy
Note: Detailed discussions and references to this article are published in [14].
6. References
[1] Hugh G. Flyn, Method of generating energy by acoustically induced cavitation fusion and reactor therefore, US Patent 4,333,796 (filed 1978, issued 1982)
[2] M. Fleischmann and S. J. Pons, Electroanal. Chem, 261, 301, (1989)
[3] E. F. Mallove, Ninth International Conference on Cold Fusion (ICCF9) Meets in Beijing, China,
www.infinite-energy.com/iemagazine/issue44/iccf9.html
[4] http://www.lenr-canr.org/ Low energy nuclear reaction (LENR) or cold fusion. Website containing a library of more than 1,000 scientific papers reprinted with permission from the authors and publishers.
[5] S. Focardi and A. Rossi, http://www.journal-of-nuclear-physics.com/?p=360
[6] F. Piantelli, http://www.rexresearch.com/piantelli/piantelli.htm
[7] Cold Fusion. The history of research in Italy. Italian National Agency for New Technologies, Energy and Environment, Report in, 2008. Editors S. Martelluci, A. Rosati, F. Scaramuzzi, V. Violante
[8] http://peswiki.com/index.php/News:Archive:Page_2:October_28%2C_2011_Test_of_the_One_Megawatt_E-Cat
[9] S. Sarg, Basic Structures of Matter (first edition 2002, second edition, 2002) electronic archives, National Library of Canada
[10] S. Sarg, New approach for building of unified theory, http://lanl.arxiv.org/abs/physics/0205052 (May 2002)
[11] S. Sarg, A Physical Model of the Electron according to the Basic Structures of Matter Hypothesis, Physics Essays, 16 No. 2, 180-195, (2003); http://www.physicsessays.com
[12] S. Sarg, *Basic Structures of Matter – Supergravitation Unified Theory*, Trafford Publishing, Canada, 2006, ISBN 141208387-7 (www.trafford.com/06-01421).
[13] S. Sarg © 2001, Atlas of Atomic Nuclear Structures, ISBN 0973051515, http://www.nlc-bnc.ca/amicus/index-e.html (April, 2002), (AMICUS No. 27106037);
Canadiana: 2002007655X, LC Class: QC794.6*; Dewey: 530.14/2 21 (also http://vixra.org/abs/1107.0031 )
[14] S. Sarg, http://vixra.org/abs/1112.0043
RESEARCH OF FACTORS WHICH INFLUENCE THE QUALITY OF OPTIC TELESCOPIC DEVICES
Stiliyan Stoyanov
SPACE RESEARCH AND TECHNOLOGIES INSTITUTE - BAS
SOFIA 1113, ACAD. GEORGI BONCHEV ST., BL. 1
Abstract: Defining of the information quantity as a function from the adaptation brightness. It has been found that there exists a correlation between the information quantity which is transferred by a telescopic appliance and the eye and the background brightness in which the object will be observed and this allows to define an informational criterion about the quality of the apparatus as a function from the background brightness.
The given formulas are used to evaluate concrete apparatuses for observation, which are applied in distant objects discovery from the board of man-navigated spacecrafts and they are in fact used there.
Key words: information quantity, adaptation brightness.
In studies from orbital research stations it becomes necessary to take account of the amount of information [1 ... 9]. In studies [5] for evaluation of the quality of the optical telescopic apparatus is proposed an information criterion, defined as the ratio of the amount of information $H$, passed by an actual telescopic device together with the eye, to the amount of information $H_0$ which can be obtained through the eye in observation with ideal optical instrument. The studies were conducted using a table “Mira” with complete 100% contrast. At low brightness the resolution of the optical device is a function of the brightness in direct proportion to the diameter of the lens [10, 11]. Therefore, it is logical to assume that in the low brightness, the ideal device will have a resolution as many times higher than that of the eye, as the diameter D of its lens is larger than the diameter $d_z$ of the pupil of the eye.
Calculations of limiting angle $\delta_z$ of the eye and the pupil diameter $d_z$ are performed using the following formulas [5]:
\begin{align*}
(1) \quad S_z &= 0,45 + 0,64B^{-0.42}, \\
(2) \quad d_z &= 5 - 1,23B,
\end{align*}
where $\delta_z$ is expressed in angular minutes, $d_z$ in mm, B in $cd/m^2$.
Diffraction limit angle $\varphi$ is calculated using the formula
$$\varphi_d = \frac{a}{D},$$
where $a = 1.22\lambda$.
For the limit brightness $B_p$ at which diffraction limit angle for the eye is equal to zero, when calculate using the formula (1), shall be obtained
$$\delta_z = \varphi_d \text{ и } d_z = D.$$
Solving equations (1) - (3) together we obtain $B = 17 \ cd/m^2$.
About ideal telescopic system (peep-sight) follows:
At $B < 17 \ cd/m^2$
$$\varphi = \delta_z \frac{d_z}{D},$$
$$H_0 = \frac{\pi \omega^2 D^2}{d_z^2 \delta_z^2}.$$
At $B > 17 \ cd/m^2$
$$\varphi = \frac{a}{D},$$
$$H_0 = \frac{\pi \omega^2 D^2}{a^2},$$
where $2\omega$ - Angle of field of view expressed in angular minutes.
In a real optical system, the limiting angle $\varphi$ is a function of the $u$-field angle. The amount of information $H$ obtained from a real peep-sight will be
$$H = 2\pi \int_{D}^{\omega} \frac{udu}{\varphi^2(u)},$$
where $\varphi(u)$ for each particular optical instrument should be determined by direct measurements.
The studies were conducted at five different brightness within the range $5.10^{-2} ... 5.10^2 \ cd/m^2$ using the table "Mira" at contrast, close to hundred percent, and the brightness of the background is assumed to be equal to the brightness of the light bands.
The study was conducted with three optical instruments: Vizir - target 15K, Vizir B 3x4 and Pankratic vizir. The results are shown in Figure. 1. At each curve is indicated the brightness at which the measurement was performed.
Figure 2 presents the values of the limit angle $\varphi$ for the center of the visual field of the optical instruments, derived from the results presented in Figure 1.
With dotted line is presented the curve of the limiting angle $\delta_z$ for unaided eye, derived by the formula (1).
The experimental correlations of $\varphi(u)$ enable the calculation of the quantity of information $H$, which is obtained by the eye at observation with a real optical device at various values of the brightness adaptation. The results are presented in Figure 3, where along the abscissa-axis is presented the brightness of B in cd/m$^2$, and along the ordinate-axis - the quantity of information $H$ in bits. The quality of a real optical instrument is implemented compared to the ideal through the quality coefficient $K$ using the formula
$$K = \frac{H}{H_0},$$
Figure 1. Limit angle $\varphi$ in correlation to the field angle $u$ for Vizir-target 15K
Figure 2. Limit angle $\varphi$ in correlation to the field angle $u$ for Vizir B 3x40
Figure 3. Limit angle $\varphi$ in correlation to the field angle $u$ for Pankratic vizir
Figure 4. The limit angle depending on the brightness of the background: 1 - Vizir - target 15K, 2 – Vizir B 3x4 and 3 - Pankratic vizir
Figure 5. Quantity of information from real optical device at depending to the brightness of adaptation: 1 – Vizir – target 15K, 2 – Vizir B 3x4 and 3 – Pancratic vizir.
Fig. 4 presents the correlation between the coefficient of the quality and brightness adaptation, hence is observed that the quality factor increases rapidly with decreasing brightness, apparently due to the fact that with the lowering of the resolution ability of the eye, aberration defects of the image become not significant.
**Figure 6.** Correlation of the quality coefficient and the brightness adaptation: 1 – Vizir – target 15K, 2 – Vizir B 3x4 and 3 – Pancratic vizir.
When $B = 17 cd/m^2$, $K$ acquires a minimum value and with the increasing of the brightness it is growing again. Therefore, in formula (9), when $B > 17 cd/m^2$, with increase of the brightness, the numerator increases, the denominator stays unchanged and $K$ is increasing.
Finally, it should be noted that has been established a correlation between the amount of information transmitted from the optical device in combination with the eye and the brightness of the background behind the observed object, that allows determination of information criterion for the quality of the device as a function of the brightness adaptation.
The resulting formulas provide assessment of certain monitoring devices designed to detect distant objects from manned space stations, namely Vizir - target 15K - implemented to point the zonal spectroscopic equipment “Spektur”15, Vizir B 3x40 - implemented to point electro photometric equipment “Duga” and Pankratic vizir - implemented to point pulse photometric equipment “Terma”.
REFERENCES
[1]. Getsov P.S. Satellite systems for environmental monitoring. International Conference "Energy and environmental protection: regional problems," page 5-9, Sofia, 2000, p 5-9.
[2]. Getsov P. Space, ecology, security, New Bulgarian University, 2002, p. 211.
[3]. Getsov P., J. Jekov, Mardirossian G., I. Hristov. Efficiency of peep-sight optical systems in monitoring of distant objects at different brightness of the background. Coll. Works. NS HNMAU, Shumen 1997, Part II, p 243-249.
[4]. Jekov J. Optical peep-sight B 3x40. Coll. Works HNMAU Shumen, 1980, p. 42-47.
[5]. Jekov, J. Design, calculation and construction of optical and electron-optical instruments for scientific research in space physics, Doctoral dissertation. Joint Centre for Earth Sciences, Sofia, 1983.
[6]. Jekov, J, S. Dimitrov, I. Kirchev. Author's Certificate N 59921 - Hindsight with continuously variable magnification, IIR.
[7]. Manev, A., K. Palazov, S. Raykov, V. Ivanov. Combined satellite monitoring of the temperature anomaly in August 1998, “Proceedings of the IX-th National Conference with international participation”. Main problems of solar - terrestrial influences, 21-22 November 2002, Sofia, pp. 153-156.
[8]. Mardirossian G., Aerospace methods in ecology and environmental studies. Academic publications “Marin Drinov”, 2003, p. 208.
[9]. Stoyanov S. Optical methods for study of atmospheric ozone. Publishing house “Faber”, Veliko Tarnovo, 2009, p 231.
[10]. Stoyanov S. Applied Optics. Publishing house “Faber”, Veliko Tarnovo, 2009, p 234.
[11]. Stoyanov S. Design of optical instruments, Publishing house Association “Scientific and applied research” Sofia, 2010, p. 348.
OPTICAL SCHEME FOR SPECTROPHOTOMETER
Petar Getzov, Stiliyan Stoyanov, Zhivko Zekov *
SPACE RESEARCH AND TECHNOLOGIES INSTITUTE - BAS
SOFIA 1113, ACAD. GEORGI BONCHEV ST., BL. 1
* KONSTANTIN PRESLAVSKY UNIVERSITY SHUMEN; 115
UNIVERSITETSKA STR. 9712 SHUMEN
Abstract: The work is about the design and development of compact optical system for spectrophotometer. The equation of plain diffraction grating allows the design of a compact appliance with optimal combination of the separate optical elements and their parameters.
There are certain constructions of spectral appliances, which are developed by leading companies. The path of the rays is used, it is reflected by mirrors many times and the result is a compact construction. There are company catalogues for the choice of separate optical elements when developing appliances, but they do not describe the elements in detail. These facts do not allow scientific research and experimental construction on a high scientific and technical level with own recourses and materials.
Key words: compact, design, optical, scheme
I. INTRODUCTION
The aim is to make correlations for the choice of the optical components of spectrophotometer when the light intensity, range of scanning, resolution and condition for compact construction are known[2,3,4]. The concrete aim is to situate the optical components and to define the correlation of their parameters.
A compact optical scheme of a spectrophotometer is represented, which allows rational usage of the capacity, small dimensions, high resolution, high light intensity and small field of vision within the boundary of a given spectral range. In order to achieve the best utilization of the light intensity and resolution of the spectrophotometer with a spatial source, the calculations are based on the angular dimensions of the studied radiation source, the collimator lens, the reflecting components, and the diffraction grating parameters with rendering an account of the entrance and exit sight hole.
Correlations are found about the assembly of optical elements of the spectral appliance and about the study of the spatial and spectral characteristics of the atmospheric layers. They can be successfully applied when designing and construction of spectral appliances which work in laboratories and outside, as well as on the board of cosmic flying machines. The basic stages in the
development of appliances for spectral analysis are systematized, which gives many solutions when different initial conditions and restrictions are assigned.
II. COMPACT OPTICAL SCHEME OF A SPECTRAL APPLIANCE
Generally, the spectral appliance consists of an optical receiving system, a diffraction grating, a gathering optical system and a photo receiver. Besides this, it consists also of a mechanical scanning system, short- and high-voltage leading blocks, an electronic part, etc. The aim is to define the optical components and to find correlations between their parameters. The scheme has to ensure the rational usage of the volume, small dimensions and high resolution, big light power and small field of vision within the boundaries of a defined radiation range. There exist some versions of functional scheme. Without mentioning the advantages and disadvantages of the different versions, the base scheme on fig. 1 will be used to find the correlations.
As it is shown on fig. 1, the compactness of the spectrometer optical scheme is achieved by squeezing the optical axes of the light-receiving system and receiving and registering system and an additional parallel way of the rays. The parallel is situated in the middle of a spherical mirror 2, i.e. at a distance $R_{cp}$ from the appliance geometric axe. The following symbols are introduced: $D_I$ – appliance entrance hole; $d_H$ – dimension of the entrance hole; $f_I$ – focal distance.
of the collimator; $D$ – appliance working hole; $W$ – width of the diffraction grating effective area with parameter d ($W = Nd$, $N$ – total number of the hatches); $f_2$ – focal distance of the spherical mirror; $f_1$ – focal distance of the objective 4; $d_0$ – dimensions of the exit hole; $d_1$ – effective area of the receiving and registering system. Additional dimensions are: $f_0$, $l_0$, $l$, $l_1$, $l_2$ and $l'$ according to fig. 1.
The equal angular dimensions and the basic mirror elements are used to ensure the best usage of the light power and resolution of the appliance with spatial source and maximum transparency of the optical components. The solution of the problem begins with the calculation of the collimator objective. When the angle of the appliance field of vision is defined – $2w$, $f$ and $R_{cp}$ are defined the parameters of the spherical mirror 2, which sends a parallel shaft of rays to the diffraction grating according to fig. 1.
\[
\tg \Omega = \frac{D}{2 \cos Q_0} \cdot \frac{1}{f_1},
\]
where $\tg \Omega = R_{cp} / f$, $R_{cp}$ and $f$ are preliminary defined quantities, then
\[
f_1 = \frac{D}{2 \tg \Omega \cos Q_0},
\]
where $2\Omega = 2w$
The light receiving system ensures angle of filed vision $2w$ and according to fig. 1 and entrance hole $D_1$, we receive:
\[
\tg w = \frac{D_1}{2} \sin 45^\circ \cdot \frac{1}{L},
\]
and then:
\[
L = \frac{D_1}{2} \cdot \frac{\sin 45^\circ}{\tg w}.
\]
A diaphragm with dimensions $a_x a$ is situated at distance $l_1$ from the focus $F'$ which ensure the square form of the field of vision from the optical conditions for it at distance $l_f$ from $F'$, the result is:
\[
a = (L - l_1) \tg w.
\]
The focal distance $f_0 = f_1$ from the condition $2w = 2\Omega$ where it is divided into two sections: $l$ and $f_0 = l$, according to fig. 1. Their definition can be given by the solution of a system of equations:
\[
l(1 + \cos \varepsilon) = f_0 - l'
\]
\[
l \sin \varepsilon = R_{cp},
\]
For that reason after the change of $\sin \varepsilon$ with $\sqrt{1 - \cos^2 \varepsilon}$ and transition towards 1, we have:
\[
\frac{1 + \cos \varepsilon}{1 - \cos \varepsilon} = \left( \frac{f_0 - l'}{R_{cp}} \right)^2,
\]
from where:
\[
\cos \varepsilon = \frac{A^2 - 1}{A^2 + 1},
\]
at $A = (f_0 - l')/R_{cp}$.
Then we get the dimension $l$ from one of the equations of the system (5):
\[
l = R_{cp}/\sin \varepsilon.
\]
The parameters of the diffraction grating and the objective in front of the receiving and registering system are calculated according to fig. 1 and the equations for diffraction of the light flux. According to the basic equation for level diffraction gratings [1]:
\[
d \cos \beta (\sin \psi + \sin \varphi) = q \lambda,
\]
where $d = 1.10^{-6}/p$ – parameter of the diffraction grating;
$\beta = 0^\circ$ – angle of incidence of the rays towards the main plane of the diffraction grating;
$\psi$ – angle of incidence of the rays towards the normal diffraction grating;
$\varphi$ – angle of diffraction of the diffraction grating rays;
$q = 0, 1, 2, \ldots 1d/\lambda$ – range of the specter, when $q = 0$, zero “white” maximum;
$\lambda - [nm]$ – length of the radiation.
After a substitution, the basic equation turns into
\[
\sin \psi + \sin \varphi = \lambda p 10^{-6}.
\]
The equation is not suitable to solve in the above mentioned form. Let it be written in the following way:
\[
2 \sin \frac{\varphi + \psi}{2} d \cos \frac{\varphi - \psi}{2} = \lambda p 10^{-6},
\]
$(\varphi - \psi) = Q$ about a concrete appliance. When we have $(\varphi + \psi) = w$, the equation becomes suitable for calculation in the following way:
$$2 \sin w = \frac{\lambda p 10^{-6}}{2 \text{soc} Q_0 / 2}.$$
(12)
When the range of the registered radiation is defined by $\lambda_{\text{min}} \cdots \lambda_{\text{max}}$ and after we substitute in (12), we get $w_{\text{max}}$ and $w_{\text{min}}$. According to them and the formulas
$$2\varphi = w + Q_0; \quad 2\psi = w - Q_0,$$
(13)
the range of the diffraction grating rotation and the angle of its normal towards the appliance optical axe are defined.
The parameters of the exit holes and the objective lens 4 are given by the formulas [1]
$$d_0 = \frac{2 f_2 1.22 \lambda}{w \sin(90 - \varphi)},$$
(14)
$$d_0 \leq 2 \Delta r,$$
(15)
where $\Delta r = f \Delta \frac{\pi}{180}$ when $\Delta = \frac{dQ}{d\lambda} \approx \frac{\Delta Q}{\Delta \lambda}$, angle dispersion which is approximately close to the variation range of the reflection angle $\Delta Q$ for $\Delta \lambda = \lambda_{\text{max}} - \lambda_{\text{min}}$ in degrees.
Depending on the type of the receiving and registering system and its parameters, the situation is also defined by the correlation
$$\frac{w \sin(90 - \varphi)}{f_2 l_2} = \frac{d_1}{l_2}.$$
(16)
For the entrance hole, the dimension is given by the formula [1]
$$d_H = f_1 \frac{\lambda}{D},$$
(17)
where $\lambda = \frac{\lambda_{\text{min}} + \lambda_{\text{max}}}{2}$ or $\lambda = \frac{\lambda_{\text{max}}}{2}$.
The appliance resolution $\lambda / \delta \lambda$ is
$$\frac{\lambda}{\delta \lambda} = \frac{q (\sin \varphi + \sin \psi)}{\lambda} \approx \frac{2w}{\lambda},$$
(18)
and it depends on the effective area of the diffraction grating which is chosen according to the working hole of the appliance D.
III. CONCLUSION
Correlations are found for the optical elements of the spectral appliance for the research of the spatial characteristics of the atmosphere layers. They can be used for the design and construction of special appliances which work on the ground, as well as in Space. The basic stages in the construction of appliance for spectral analysis are systematized, which gives opportunities for multiple salvations at defined initial conditions and restrictions. They are used in the construction of the appliance “Laboratory spectrometer”.
REFERENCES:
[1] Lebedeva, V. Optical Scheme for Spectrophotometer, M, Nauka, 1986 (in Russian)
[2] Yvon, J. Handbook of diffraction gratings ruled and holographic, I.S.A., Jankary, 1988.
[3] Yvon, J. Price list ruled and holographic diffraction gratings, I.S.A., Jankary, 1997.
[4] Stoyanov, S., G. Mardirossian. Satellite Spectrophotometer for Research of the Total Ozone Content. Journal Scientific and Applied Research, Vol. 3, 2013г. p. 5 – 9.
[5] Patent BG 657007B1 issued 26.08.2009 Satellite optoelectronic spectrophotometer for research of the total content of the atmospheric ozone and other gases in the atmosphere. Zhekov Zh., Mardirossian G., Getzov P., Stoyanov S., Hristov I. Patent Authority of Republic of Bulgaria.
METHOD AND SPECTROPHOTOMETRIC EQUIPMENT FOR WATER RESEARCH
Zhivko Zhekov
KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN
Abstrakt: Modern measurement equipment must feature high measurement precision, swift operation, high sensitivity and reliability. The designing of such equipment includes coordination of the operation of optical, mechanical, and electronic assemblies and units, introduction of microprocessor systems and communication interface equipment etc. Therefore, the design, implementation, calibration etc. requirements for such equipment feature an ever growing variety strictness.
Key words: spectrophotometer, water characteristics
While implementing its research and research-application tasks, the Space Research Institute and the Central Solar-Terrestrial Influences Laboratory at the Bulgarian Academy of Sciences collected experience in this field, particularly concerning various-purpose spectrophotometric equipment [1-6]. Here, particular attention is paid to the equipment’s automation, application of discrete positioning systems and feedback circuits.
An overview of the spectral analysis equipment and techniques [7] defines the following major requirements for the designed instrumentation:
1. Spectral range varying from 275 to 720 nm, which necessitates two light sources, one for the ultraviolet and one for the visible part of the optic spectrum, providing for their switching over in the operation process. The required positioning precision for a definite wavelength is 1,0 nm.
2. Provision of high monochromeness. The monochromer’s spectral bandwidth depends on the width of the input and output prism slot. To provide for reproducible wavelength ± 1,0 nm, the input and output prism slot must be regulated within the range of 0,01 to 1,0 mm.
3. Uniform sensitivity throughout the overall spectral range. The photosensitive receiver must provide uniform sensitivity throughout the equipment’s overall spectral range, which is accomplished by using a programmable amplifier and a compensation system.
4. Four-digit indication. It provides data for the positioning along the
wavelength and the signal amplitude at the photoreceiver’s output.
5. The use of dedicated microprocessor systems provides for the operations’ automation during the calibration and measurement process.
Here, a spectrophotometer is presented intended to measure water characteristics. It was designed on a concrete technical mission and is intended for mass use.
The overall block diagram is shown in Fig. 1. The main blocks are: 1 - optic-spectral block, 2 - cuvette-bearing block, 3 - light-protection unit, 4 - electronic-registration block, 5 - microprocessor system, 6 - electro-mechanical system, 7 - energy sources’ block, 8 - power-supply block, 9 - printing unit, 10 - indicating block with digital and monitor indication, 11 - control panel, 12 - storage unit.
In Fig. 2, the operational diagram of the Spectrophotometer for Measurement of Water Characteristics is shown. The two sources of visible - 1 and ultraviolet - 2 emissions are positioned in front of concave glass 3. Glass 4 is positioned along the optical way between glass 3, slot 5, and concave glass 6. Prism 7 is used as dispersing element. Along the optical axis between output slot 5 and photo-electronic multiplier (PEM) 10, cuvette-bearer 8 with cuvettes, and mechanical blind 9 are positioned. Through amplifier-former 11 and analogue-to-digital converter (AGC) the electrical output 12 of PEM 10 is connected to microprocessor system (MPS) 13. Electric motor 15 is connected mechanically to position sensor 14 and concave glass 3, and electrically through control unit 16 to MPS 13. Dispersing prism 7 is coupled with sine mechanism 17, electric motor 18 and photo-screen converter 19, the latter being connected through control block 20 to MPS 13. Slot 5 and convex glass 6 are coupled with tuning assemblies 21 и 22. Cuvette-bearer 8 is connected mechanically through reducer 23 and position
sensor 24 to electric motor 25. Directly to MPS 13, mechanical shutter 9 is connected. The safety block is connected, on the one hand, to low-voltage and high voltage blocks 30 and 32, accordingly, and on the other hand, to power block 31. All of them are stabilized to provide for the equipment’s normal operation, including and the input power supply - block 29.
The spectrophotometer’s water analysis proceeds in the following way.
Upon charging cuvette-bearer 8 with the water-sample-containing cuvettes, through reducer 23, the cuvette-bearer 8 shifts and positions position sensor 24, motor 25, control unit 26, and control panel 27. Then, assisted by motor 15, position sensor 14, and control unit 16, glass 3 is swivelled towards ultraviolet emission source 1 (or visible emission 2, accordingly), enabling the measurement process to start. The position of prism 7 is fixed by MPS 13, sine mechanism 17, motor 18, photo-screen converter 19, and control unit 20. The emission flux aimed at the photo-cathode of PEM 10 is let through mechanical shutter 9, controlled by block 28 only provided a specific cuvette is fixed at the optic way. The output information signal from PEM 10, amplified and formed by block 11, is fed to the input of ADC 12, connected through a data bus to MPS 13.
The course of the optical systems rays is shown in Fig. 3. The optical system is tuned using mechanical assembles 21 and 22 in laboratory conditions only if so required.
Fig. 2 Operational diagram
By the use of spectral techniques the designed spectrophotometer can reveal available contents of:
6. Sulphates
7. Silicon acid
8. Nitrites
9. Nitrates
10. Copper
11. Iron
12. Phosphates
13. Ammonia
The theoretical resolution of prism spectral equipment is:
\[ R = \frac{\lambda}{\delta_\lambda} = t \frac{dn}{d\lambda}, \]
where: \( \kappa \) - the average wavelength value of two still separable spectral lines; \( dk \) - the difference of the wavelength values; \( t \) - the slot’s effective width.
The spectral equipment’s actual resolution depends on the equipment’s function and its width:
\[ \delta_\lambda = a_{ap} \frac{a_\lambda}{dl}, \]
where: \( \delta_\lambda \) - the interval between wavelengths recorded separately; \( a_{ap} \) - the width of the equipment’s function.
In case of very thin slot, the analytical expression of the equipment function is the following:
\[ a(l) = \frac{1}{S_0} \left( \frac{\sin \frac{nl}{S_0}}{\frac{nl}{S_0}} \right) \]
where: \( l \) - coordinate of the spectrum plane;
\( S_0 \) - normal slot width:
\[
S_0 = \frac{\lambda f}{D},
\]
where: \( \lambda \) - wavelength;
\( f \) - lens focal distance;
\( D \) - lens diameter.
The maximal value of the equipment function is:
\[
a(l)_{\text{max}} = \frac{D}{\lambda f}.
\]
(4)
The values of the equipment function at level 0,5 a (where the equipment function’s width \( a_{ap} \) is determined) and values of resolution \( R \) for the operation wavelengths are shown on Table 1.
| \( \lambda \) [nm] | \( 0.5a(l)_{\text{max}} \times 10^5 \) | \( a_{ap} \) | \( R' \) [nm] |
|-------------------|---------------------------------|-------------|---------------|
| 215 | 4.3046944570 | 1,0.10^{-6} | 0.0010362 |
| 225 | 4.4219609245 | 1,0.10^{-6} | 0.0012986 |
| 257 | 3.577698060 | 1,2.10^{-6} | 0.0028076 |
| 275 | 2.840878 | 1,4.10^{-6} | 0.0042971 |
| 313 | 3.1481270646 | 1,4.10^{-6} | 0.0060493 |
| 325 | 2.5711060664 | 1,6.10^{-6} | 0.0089136 |
| 335 | 2.6386689657 | 1,6.10^{-6} | 0.0113757 |
| 395 | 2.4229348593 | 1,8.10^{-6} | 0.0185471 |
| 405 | 2.4566494025 | 1,8.10^{-6} | 0.0199888 |
| 420 | 2.11586228 | 2,0.10^{-6} | 0.0247066 |
| 435 | 2.1687216229 | 2,0.10^{-6} | 0.0273224 |
| 440 | 2.1839196212 | 2,0.10^{-6} | 0.0282485 |
| 450 | 2.2109844623 | 2,0.10^{-6} | 0.0300978 |
| 510 | 1.7789542116 | 2,4.10^{-6} | 0.0510095 |
| 530 | 1.8239440553 | 2,4.10^{-6} | 0.056872 |
| 550 | 1.6366437915 | 2,6.10^{-6} | 0.0675324 |
| 570 | 1.6764350641 | 2,6.10^{-6} | 0.074074 |
| 578 | 1.6899596741 | 2,6.10^{-6} | 0.076923 |
| 600 | 1.5338897164 | 2,8.10^{-6} | 0.0910569 |
| 625 | 1.5727224561 | 2,8.10^{-6} | 0.101083 |
The Spectrophotometer for Measurement of Water Characteristics, described briefly above, which was developed at the Space Research Institute of the Bulgarian Academy of Sciences, was implemented successfully at the Shoumensko Pivo Brewery.
REFERENCES:
[1]. E Getsov, P., G. Mardirossian, S. Stoyanov, J. Jekov, P. Panova. A Possibility of Storm and Hall Prediction using Data about Atmospheric Ozone Variations. Proceedings of International conference on Recent Advances in Space Technologies - RAST, Istanbul, 2003, pp. 295-298.
[2]. Getsov, P., G. Mardirossian, J. Jekov et al. Total content of Atmospheric Ozone Measurement apparatuses, Created in the Space Research Institute at the Bulgarian Academy of Sciences. Proceeding of the II\textsuperscript{th} Congress of Ecologists of the Republic of Macedonia with International Participation, Ohrid, 2003.
[3]. Jekov, J., G.Mardirossian, S. Stoyanov et al. Nonlinear Receiver Reaction of Irradiation with Complex Spectral Composition. International Scientific and Applied conference ELECTRONICS’2003, Technical University - Sofia, 2003, pp. 67-71.
[4]. Ivanova,T., S.Sapunova, I. Dandolov. 30 Years Bulgarian Equipment in Space. Aerospace Research in Bulgaria, V. 18, Sofia, 2003, pp. 14-23.
[5]. Mardirossian,G., P. Getsov, J. Jekov. Ecological Studies Ranking Among the Top-Priority Research Areas of the Space Research Institute at the Bulgarian Academy of Sciences. Proceeding of the II\textsuperscript{th} Congress of Ecologists of the Republic of Macedonia with International Participation.
[6]. Mishev, D., V. Tzanev, I. Iliev. Analytical description of the Registered Spectral Radience during Radiometric Investigation of the Atmospheric total Water Vapour content. Comptes Rendus de l’Academie bulgare des Scientes, t. 50, No 6, 1997, pp. 29-32.
[7]. Analytical Instruments from Philips Scientific. Cambridge. Carl Zeiss - Jena. Spectrophotometer VSK - 2. Carl Zeiss - Jena. UV/VIS Zeiss Specord M-42. DMS 300 and 200 Advanced Spectrophotometers. Verian.
RANDOMNESS TESTING OF SEQUENCES PRODUCED BY P-ARY GENERALIZED SELF-SHRINKING GENERATOR USING APPROXIMATE ENTROPY
Zhaneta Tasheva*, Antoniya Tasheva**
* FACULTY OF TECHNICAL SCIENCES, KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN; FACULTY OF ARTILLERY, AAD AND CIS, NATIONAL MILITARY UNIVERSITY, BULGARIA, E-MAIL: firstname.lastname@example.org
** FACULTY OF COMPUTER SYSTEMS AND CONTROL, TECHNICAL UNIVERSITY OF SOFIA, BULGARIA,
E-MAIL: email@example.com
ABSTRACT: In this paper a supervene testing for sequences generated by p-ary Generalized Self-Shrinking Generator (pGSSG) is made. Thanks to the Approximate Entropy (ApEn) approach certain randomness properties are proved to be possessed by them. In order to test the applicability of the generator the pGSSG sequence minimum length in excess of which it can be considered that the sequence behaves as truly random is detected.
KEY WORDS: PRNG, pGSSG, Approximate Entropy, Encryption, Stream Cipher, Security.
1 Introduction
Nowadays, Pseudo-Random Sequences (PRSs) are widely used in such applications as computer simulation and modeling, statistics, experimental design and cryptography.
A pseudorandom bit generator is a deterministic method to produce a large set of random locking bits, called pseudorandom sequence, from a small set of bits, called seed. Pseudorandom sequences are widely used in modern communication and information systems because of their characteristics such as easier generation in comparison with truly random generators which use physical sources; easy reproducibility due to the deterministic nature of the algorithm and because they determine the security of widely used in cryptography symmetric cryptosystems.
Variety algorithms have been proposed to produce pseudorandom sequences [1], [2], [3], [11], [14], [16], [17]. The main property that must hold
in order to pseudo-random sequence is applicable in cryptography is its unpredictability. This defines the following paradox [2]. If a deterministic function is unpredictable, it is difficult to prove anything about it, including its unpredictability. Some useful principles to construct deterministic functions with pseudorandom behavior are expansiveness, nonlinearity and computational complexity.
The mostly used element in pseudorandom bit generator is Linear Feedback Shift Registers (LFSRs), because they can generate $m$-sequences. To generate nonlinear sequences researchers utilize structures based on LFSR registers, like filter generators, combinatorial generators and clock controlled generators.
Recently some clock controlled generators which use a $p$-ary PRS instead of binary PRS have been proposed [11], [15]. They generalize the work of Shrinking Generator [1]. Another similar generator that summarizes the work of Self-Shrinking Generator (SSG) [3] is a $p$-ary Generalized Self-Shrinking Generator (pGSSG) [14]. It is built from only a single $p$-ary LFSR and it is proven that it has long period, balance property [13] and good statistical characteristics. Moreover it is resistant against exhaustive search and entropy attacks [12].
In this paper, first we use Approximate Entropy (ApEn) approach to prove that sequences generated by $p$-ary Generalized Self-Shrinking Generator possess certain randomness properties. Then, we also use ApEn to detect the minimum length in pGSSG sequence excess of which can be considered that the sequence behaves as truly random.
2. Related Work
In this section we make brief review of algorithm of $p$-ary Generalized Self-Shrinking Generator and Approximate Entropy approach for randomness testing. Finally, we describe the ApEn Test.
2.1. $p$-ary Generalized Self-Shrinking Generator
The pGSSG generator is proposed in 2011 as a generalization of Meier’s Self-Shrinking Generator. Its idea is to implement a simple, fast, and at the same time secure way to encrypt stream data. Main difference of the two generators consist of bringing in a generalization and use of Extended Galois Field $GF(p^n)$.
The schema of pGSSG is given in Figure 1. As seen it consists of a single LSFR register $A$, whose length will be denoted by $L$. It generates sequence $(a_i)_{i \geq 0}$ with $p$-ary digits (i.e. $(a_i)_{i \geq 0}, 0 \leq a_i \leq p - 1$) and $0 \leq i \leq L - 1$. The multipliers of the feedbacks are given by coefficients $q_1, q_2, ..., q_L, q_L \in [0, 1, ..., p - 1]$ of the primitive polynomial in $GF(p^L)$. Each element can remember one $p$-ary number. The register is initialized by $p$-ary sequence $(a_0, a_1, ..., a_{L-1})$.
The pGSSG selects a portion of the $p$-ary output LFSR sequence by controlling the $p$-ary LFSR itself using six-step algorithm. The $p$-ary LFSR is clocked with period $T$ and its output sequence is split into $p$-tuples. If the first element in the current $p$-tuple is nonzero the element with number equal to the value of that first element is output. In other case the $p$-tuple is discarded.
The $p$-ary output sequence could be transformed into a binary one using a special scheme for substitution for the zero and non-zero elements.
### 2.2. Approximate Entropy
First, in 1991 Steven Pincus [4] suggests approximate entropy (ApEn) as a measure of system complexity from at least 1000 given data values for both deterministic chaotic and stochastic processes. Then, in 1996 Pincus and Singer [6] propose approximate entropy as a characteristic to measure a degree of randomness of the tested sequence. Defined in such a way ApEn measures the logarithmic frequency with which blocks of length $m$ that are similar remain also similar for blocks of length $m + 1$. And thus, small values of ApEn imply strong regularity and alternatively, large values of ApEn indicate irregularity (randomness) in tested sequences. After that, in 1997 Pincus and Kalman [5] propose using ApEn to quantify the extent to which given sequences differ from maximal irregularity.
In 2000, Andrew Rukhin [7] shows that ApEn and his modified version converges in distribution to $\chi^2$-random variable in both cases when the length of blocks $m$ is fixed and when $m$ increases to infinity. These facts are the basis of statistical tests for randomness through approximate entropy. This idea is embedded as part of the empirical tests of NIST statistical tests for randomness has been applied to a study of the various random number generators such as Data Encryption Algorithm, Advanced Encryption Standard Finalist Candidates, Secure Hash Algorithm, Digital Signature Algorithm and many others [9], [10].
2.3. Approximate Entropy Test
Approximate Entropy Test [7], [8] checks the frequency of occurrence of all possible overlapping $m$-bit patterns in the pseudo-random generator output sequence. The purpose of the test is to compare the occurrence frequency of overlapping blocks with two consecutive lengths ($m$ and $m+1$) with the theoretical results for the real random sequence. Test [8] verifies the specific zero hypothesis $H_0$: “The sequence to be tested is random” as it calculates the statistical $P$-value. To conduct the test the following parameters are needed: pattern length in bits – $m$; bit count (length) of generated pseudorandom sequence – $n$ and the level of significance $\alpha \in [0.001, 0.01]$, which defines the acceptable level of error in the test.
To properly perform the approximate entropy test it is necessary to choose a value $m$ that satisfies the following requirement:
$$m < \left\lfloor \log_2 n \right\rfloor - 2,$$
where $\left\lfloor x \right\rfloor$ is an integer greater than or equal to the real $x$.
Let $\varepsilon = (\varepsilon_1, \varepsilon_2, \ldots, \varepsilon_n)$ is the sequence of bits generated by the pseudorandom generator. The Approximate Entropy Test consists of the following steps:
1. An enlarged sequence $\varepsilon'$ is formed: the sequence $\varepsilon$ is enlarged by adding the first $m-1$ bits of $\varepsilon$ in the end of the $n$ bit sequence. The result is the new sequence $\varepsilon' = (\varepsilon_1, \ldots, \varepsilon_n, \varepsilon_1, \ldots, \varepsilon_{m-1})$.
2. All the overlapping $m$-bit blocks are counted. If we denote the count of all overlapping blocks with value $i$ and length $m$ bits with $N_i^m$, therefore $2^m$ different values of $N_i^m$ can be found, $i = 0, \ldots, 2^m-1$.
3. The relative frequency of occurrence $C_i^m = \frac{N_i^m}{n}$ of all possible overlapping $m$-bit blocks is determined for $i = 0, \ldots, 2^m-1$.
4. The Entropy of the empirical distribution is calculated:
$$\varphi^{(m)} = \sum_{i=0}^{2^m-1} C_i^m \log_2 C_i^m.$$
5. Steps 1 ÷ 4 are repeated for $m+1$ instead of $m$.
6. The summary test statistics are calculated:
$$\chi^2 = n \left[ \ln 2 - H^*(m) \right],$$
where
$$H^*(m) = \varphi^{(m)} - \varphi^{(m+1)}$$
is the Approximate Entropy of order $m$ [6] and $H^*(0) = -\varphi^{(1)}$.
7. Calculate
$$P\text{-value} = Q(2^{m-1}, \chi^2),$$
where $Q$ is the incomplete gamma function $Q(a, x)$ [8].
8. Evaluation of the results of the Approximate Entropy test: If the calculated $P$-value is less than the chosen level of significance $\alpha$, then the test sequence is not random. Otherwise, the sequence generated by a pseudorandom generator can be considered as truly random.
3. The Experiments
In this section we describe some experiments carried out to test randomness of $p$-ary GSSG sequences via Approximate Entropy Test and to find the minimum length of the pGSSG sequence over which it can be considered as truly random.
3.1. Randomness Testing via Approximate Entropy
The study is conducted with Galois Field GF($257^{32}$) due to the ease of byte representation and therefore the possibility of faster software implementation of the pGSSG ($p = 257$). Some primitive feedback polynomials used for construction of the pLFSR register (Figure 1) with prime $p = 257$ and length $L = 32$ are shown in Table 1.
As a result 300 different $P$-values have been calculated. The chosen length of the pattern is $m = 10$ and the level of significance is $\alpha = 0.01$. That indicates that one from 100 sequences could be rejected.
Table 1. Feedback polynomials in pGSSG.
| № | Feedback Polynomial |
|---|-------------------------------|
| 1 | $x^{32} + x + 10$ |
| 2 | $x^{32} + 75\,x^2 + 174\,x + 33$ |
| 3 | $x^{32} + 188\,x^2 + 200\,x + 107$ |
In order to determine how much empirical results coincide with the theoretical ones the distribution of the $P$-values evenly is tested for uniformity using $\chi^2$ criteria
$$\chi^2 = \sum_{i=1}^{10} \frac{(F_i - s/10)^2}{s/10},$$
(6)
where $F_i$ is the count of the $P$-values in the subinterval $i$ and $s$ is the size of the interval. The built histograms show that all $P$-values are distributed equally into the 10 subintervals (see Figure 2).
The calculated generalized $P$-value is
$$P\text{-value} = Q(9/2, \chi^2/2) = Q(4.5, 4.66667) = 0.5308.$$
Because the $P$-value $\geq 0.0001$ [9], the sequence generated by pGSSG can be considered truly random with confidence level of 99%.
### 3.2. Length vs. True Randomness
For finding the minimum length of the pGSSG sequence over which it can be considered as truly random the fact [5], [6], [7] that in one long random sequence with fixed length of the blocks $m$ the Approximate Entropy $H^*(m)$ will converge to $\ln(2) = 0.693147$ is used.
Parts of the results for 3 sequences of all 300 tests are shown in Table 2. The deviation $O$ of the Approximate Entropy $H^*$ of a pGSSG sequence from the truly random sequence
$$O = \ln(2) - H^*(m),$$
is calculated. The results are similar for all generated sequences. Therefore the dependence of the deviation $O$ when changing the length of the generated sequence $n$ is shown on Figure 3. As can be seen from the figure, when the length of the sequence is $n \geq 5.10^5$ bits the deviation is almost constant and less than $1.10^{-3}$. That fact shows that even shorter pGSSG sequences (less than the recommended $10^6$ bits [8]) have close to the truly random Entropy characteristics and that can determine the pGSSG generator as random.
### 4. Conclusion and future work
The randomness of sequences produced by p-ary Generalized Self-Shrinking Generator is tested via approximate entropy. It is proven that
Table 2. Approximate Entropy $H^*(10)$ and deviation $O$ from the truly random one.
| Length $n$ | Sequence 1 | Sequence 2 | Sequence 3 |
|------------|------------|------------|------------|
| | $H^*(10)$ | $O$ | $H^*(10)$ | $O$ | $H^*(10)$ | $O$ |
| 40000 | 0.680055 | 0.013092 | 0.680886 | 0.012261 | 0.679772 | 0.013375 |
| 80000 | 0.687088 | 0.006059 | 0.68672 | 0.006427 | 0.686721 | 0.006426 |
| 120000 | 0.689034 | 0.004113 | 0.688915 | 0.004232 | 0.688937 | 0.00421 |
| 160000 | 0.690028 | 0.003119 | 0.689924 | 0.003223 | 0.690143 | 0.003004 |
| 200000 | 0.69058 | 0.002567 | 0.690754 | 0.002393 | 0.690607 | 0.00254 |
| 240000 | 0.690976 | 0.002171 | 0.691059 | 0.002088 | 0.691067 | 0.00208 |
| 280000 | 0.691305 | 0.001842 | 0.691439 | 0.001708 | 0.691233 | 0.001914 |
| 320000 | 0.691493 | 0.001654 | 0.691695 | 0.001452 | 0.69139 | 0.001757 |
| 360000 | 0.691715 | 0.001432 | 0.691764 | 0.001383 | 0.691611 | 0.001536 |
| 400000 | 0.69185 | 0.001297 | 0.691838 | 0.001309 | 0.691926 | 0.001221 |
| 440000 | 0.691969 | 0.001178 | 0.691941 | 0.001206 | 0.692003 | 0.001144 |
| 480000 | 0.69209 | 0.001057 | 0.692063 | 0.001084 | 0.692117 | 0.00103 |
| 520000 | 0.69217 | 0.000977 | 0.692128 | 0.001019 | 0.692172 | 0.000975 |
| 560000 | 0.692268 | 0.000879 | 0.692176 | 0.000971 | 0.692238 | 0.000909 |
| 600000 | 0.692319 | 0.000828 | 0.692282 | 0.000865 | 0.692259 | 0.000888 |
| 640000 | 0.692375 | 0.000772 | 0.692335 | 0.000812 | 0.692325 | 0.000822 |
| 680000 | 0.692411 | 0.000736 | 0.692378 | 0.000769 | 0.692358 | 0.000789 |
| 720000 | 0.692467 | 0.00068 | 0.692432 | 0.000715 | 0.692404 | 0.000743 |
| 760000 | 0.692513 | 0.000634 | 0.692467 | 0.00068 | 0.692417 | 0.00073 |
| 800000 | 0.69254 | 0.000607 | 0.692522 | 0.000625 | 0.692487 | 0.00066 |
| 840000 | 0.692567 | 0.00058 | 0.69253 | 0.000617 | 0.692527 | 0.00062 |
| 880000 | 0.692592 | 0.000555 | 0.692564 | 0.000583 | 0.692561 | 0.000586 |
| 920000 | 0.692618 | 0.000529 | 0.692582 | 0.000565 | 0.692616 | 0.000531 |
| 960000 | 0.692639 | 0.000508 | 0.692608 | 0.000539 | 0.692636 | 0.000511 |
| 1000000 | 0.692662 | 0.000485 | 0.692644 | 0.000503 | 0.692654 | 0.000493 |
Figure 3. Approximate Entropy Deviation from the truly random one by the length of the sequence generated by pGSSG.
the pGSSG sequences can be considered as truly random with confidence level of 99%. Also, it is shown that the sequences with length more than $5 \times 10^5$ bits differ from maximal irregularity (randomness) with less than $1.10^{-3}$, i.e. they have truly random properties.
However, even though this tests show satisfactory results some additional practical issues that need to be addressed. The min-entropy, which determines the probability of guessing the correct key value at first attempt, should be used in order to analyze the problem of finding the secret key (seed) of pGSSG. Furthermore, another entropy type – the guessing entropy may help us find the average number of needed guesses to determine the key, which is a task for your future work.
**Acknowledgements**
This paper is supported by the Project BG051PO001-3.3.06-0003 “Building and steady development of PhD students, post-PhD and young scientists in the areas of the natural, technical and mathematical sciences”. The Project is realized by the financial support of the Operative Program “Development of the human resources” of the European social found of the European Union.
**References:**
[1] Coppersmith D., H. Krawczyk, Y. Mansour (1993). The shrinking generator, *Advances in Cryptology – EUROCRYPT’93*, vol. 773 of LNCS, Berlin, Springer-Verlag, 22-39.
[2] Lagarias, J. C. (1993). Pseudorandom numbers. *Statistical Science*, 8(1), 31-39.
[3] Meier W., O. Staffelbach, (1995). The self-shrinking generator. In A.De Santis, editor, *Advances in Cryptology – EUROCRYPT ’94*, vol.950 of LNCS, Berlin, Springer-Verlag, 205-214.
[4] Pincus, S. M. (1991). Approximate entropy as a measure of system complexity. *Proceedings of the National Academy of Sciences*, 88(6), 2297-2301.
[5] Pincus, S., and Kalman, R. E. (1997). Not all (possibly) “random” sequences are created equal. Proceedings of the National Academy of Sciences, 94(8), 3513-3518.
[6] Pincus, S., and Singer, B. H. (1996). Randomness and degrees of irregularity. *Proceedings of the National Academy of Sciences*, 93(5), 2083-2088.
[7] Rukhin, A. L. (2000). Approximate entropy for testing randomness. *Journal of Applied Probability*, 37(1), 88-100.
[8] Rukhin, A., Soto, J., Nechvatal, J., Smid, M., and Barker, E. (2001). *A statistical test suite for random and pseudorandom number generators for*
[9] Soto, J. (1999, October). Statistical testing of random number generators. In *Proceedings of the 22nd National Information Systems Security Conference* (Vol. 10, No. 99, p. 12). Gaithersburg, MD: NIST.
[10] Soto, J., and Bassham, L. (2000). *Randomness testing of the advanced encryption standard finalist candidates*. BOOZ-ALLEN AND HAMILTON INC MCLEAN VA.
[11] Tashev, T., Bedzhev, B., Tasheva, Zh. (2007). The Generalized Shrinking-Multiplexing Generator, *ACM International Conference Proceeding Series* 285, Article number 48, *Proceedings of the 2007 international conference on Computer systems and technologies CompSysTech '07*.
[12] Tasheva A. (2012). Some cryptanalysis of a $p$-ary generalized self-shrinking generator. In *Proceedings of the 13th International Conference on Computer Systems and Technologies* (CompSysTech’12), Boris Rachev and Angel Smrikarov (Eds.). ACM, New York, NY, USA, 126-133.
[13] Tasheva A. T., Nakov O., Zh. A. Tasheva. (2013). About balance property of the p-ary generalized self-shrinking generator sequence. In Proceedings of the 14th International Conference on Computer Systems and Technologies (CompSysTech ’13), Boris Rachev and Angel Smrikarov (Eds.). ACM, New York, NY, USA, 299-306.
[14] Tasheva A. T., Zh. N. Tasheva, A. M. Petrov (2011). Generalization of the Self-Shrinking Generator in the Galois Field GF($p^n$), *Advances in Artificial Intelligence*, vol. 2011, Article ID 464971, 10 pages, 2011. doi:10.1155/2011/464971
[15] Tasheva Zh. N. (2012). Design and Analysis of 3-ary Generalized Shrinking Multiplexing Generator, *International Journal of Advance in Communication Engineering* 4 (2), 129-140.
[16] Tsankov, T., Trifonov, T., and Staneva, L. (2013). A Survey of Phase Manipulated Signals with High Structural Complexity and Small Loses after Processing with Mismatched Filters. *Journal Scientific & Applied Research*, 4, 88-97.
[17] Tsankov, T., Trifonov, T., and Staneva, L. (2013). An algorithm for synthesis of phase manipulated signals with high structural complexity. *Journal Scientific & Applied Research*, 4, 80-87.
VULNERABILITY PENETRATION TESTING THE COMPUTER AND NETWORK RESOURCES OF WINDOWS BASED OPERATING SYSTEMS
Petar Boyanov
KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN,
SHUMEN 9712, 115, UNIVERSITETSKA STR,
E-MAIL: firstname.lastname@example.org
Abstract: In this paper a vulnerability penetration testing for several hosts in WLAN is made. The exploited operating systems were Microsoft Windows 7 Enterprise and Microsoft Windows 8. It has been used an exploit named “Java storeImageArray() Invalid Array Indexing Vulnerability”. Thanks to the open source penetration testing platform - Metasploit Framework the exploit was executed on the target hosts. The most important and critical reason the attack being successfully executed is connected with the human factor and intervention. Thereby, some security professionals and network administrators can use Metasploit Framework neither to run exploit nor to write security scripts in order to detect and protect the computer and network resources against various malicious cyber-attacks.
Key words: Computer and network security, cyber-attacks, Penetration, Vulnerability, Windows 7, Windows 8.
1. Introduction
Most of the cyber-users allow being installed different online applications into their computer and network systems. In addition to these applications some cyber-criminals and malicious users send special IPv4 addresses and internet hyperlinks to marked victims in order to gain an unauthorized access to their computer and network resources. Unfortunately most of the users have not the slightest notion that is the purpose of these sent IP addresses and internet hyperlinks and as result of this execution they shall become victims. Therefore the whole set of confidential information could be stolen and public exposed. In this paper penetration vulnerability in the operating systems - Microsoft Windows 7 (Build 7601) Enterprise SP1 and Microsoft Windows 8 (Build 9200) is found. The whole experiment in specialized computer laboratory is made [3],[5].
This paper is structured as follows. First, in section 2, a detail survey of the structure and functions for Metasploit Framework is made. After that, in section 3, the process of exploitation in the target hosts in the WLAN (22.214.171.124/24) is performed. The achieved results are presented in section 4. The final conclusions and recommendations are made in section 5.
2. Related work
In [1] a specific methodology for penetration tester and penetration testing team is given. Common hacking tools for Linux and Windows based operating systems by Fox, Erin, Jeremiah Bush, Sylvia Ashley, and Ian Webb are analyzed tested and evaluated [2]. In [3] the details and functions of the Metasploit Framework by Carlos Joshua Marquez are explained and tested. In [4] a brief description of the whole structure of the Metasploit Framework and Metasploit Project by H. D. Moore is presented and explained. In [5] several free and open source tools as well as techniques to simulate malicious cyber-attacks by Nishant Shrestha are illustrated and made.
3. Experiment
The experiment in specialized Wireless Local Area Network (WLAN) is made. This network has consisted of 15 hosts and each of them has used a 150Mbps Wireless N USB Adapter TL-WN721N. In the computer laboratory a 150Mbps Wireless N Router TL-WR741ND has been used. The Dynamic Host Configuration Protocol (DHCP) in the router’s configuration has been activated in order to each host to obtain a valid IPv4 address, network mask, default gateway and DNS server address. The network id of this WLAN is 126.96.36.199/24. The attacking host has used Microsoft Windows 7 Enterprise SP1 operating system and special software named Metasploit Framework. In actual fact Metasploit is an open source penetration testing and development platform. With this software each user is able to gain access to computer and network resources of the selected victim. In addition each user can write own exploit code [1],[3] in order to find new vulnerabilities [4].
The first step with the finding of active hosts was connected. On fig.1 the number of the active hosts is shown.
Fig.1. The active hosts on network 188.8.131.52/24
Fig. 1 has showed that 8 hosts are in an active state. Host on 184.108.40.206 has been running Microsoft Windows XP SP3, hosts on 220.127.116.11, 18.104.22.168, 22.214.171.124, 126.96.36.199, 188.8.131.52, 184.108.40.206 have been running Microsoft Windows 7 SP1 and host on 220.127.116.11 has been running Microsoft Windows 8 SP0.
The name of the used the exploit was “Java storeImageArray() Invalid Array Indexing Vulnerability”. This exploit [2] in several security vulnerability databases was indexed. This exploit used vulnerability in the Java Runtime Environment (JRE) component in Oracle SE 7 Update 7, 11, 21, 25 and previous, 6 Update 45 and previous. This exploit caused critical damages to the selected computer and network system. The details of this vulnerability [5] were known as:
- CVE-2013-2465;
- OSVDB-96269;
- EDB-27526 and etc.
The next step with the configuration of this exploit in the Metasploit Framework was connected. The following steps were made:
- SRVHOST was set on host with IP address 18.104.22.168 because this was the attacking host;
- SRVPORT was set on port 8080 because this exploit would be executed via http protocol [4],[5];
- Listener Host was set again on host with IP address 22.214.171.124;
- URIPATH was set as follows: http://126.96.36.199:8080/university_project.html.
The aim of this URL was to be sent on the selected victim. After sending of the malicious hyperlink, the marked user had to allow the java web site’s certificate. This is shown on fig. 2.
**Fig. 2.** The verifying the identity of this website
After selecting the button “Continue”, the marked victim was successfully exploited using Metasploit Pro and thereby, the malicious user has obtained access to confidential data of the victim.
4. Results
Thanks to the generated PDF export, on fig.3 the whole vulnerability penetration progress on host with IP address 188.8.131.52 was shown.
Fig.3. The successful executed exploit on host with IP address 184.108.40.206 and that was running Microsoft Windows 7 (Build 7601) Enterprise SP1
The available actions on this host were:
- Collect System Data [3] - this allows being collected system evidence like screenshots, passwords, system information, etc.
- Virtual Desktop - this allows being viewed the current desktop on the victim machine.
- Access Filesystem - this allows being downloaded, uploaded and even deleted files from the target host.
- Search Filesystem - this allows being searched determined files.
- Command Shell - this allows being used the remote command shell terminal on the victim. It is recommended to be used by advanced users.
- Create Proxy Pivot - this allows being executed proxy server attacks on the victim.
- Create VPN Pivot - this allows being executed VPN Server attacks on the victim.
• Terminate Session - this allows being closed the current session with the compromised host.
• Session History, etc. On fig.4. the command shell terminal on the target host is shown.
**Fig.4.** The executed command “sysinfo” on the target machine
From fig.4 there could be seen that the computer name was “FTN-4”, operating system was “Windows 7 (Build 7601, Service Pack 1), architecture was “x64 (Current Process is WOW64), system language was “bg_BG” and payload type (Meterpreter) is “x86/win32”.
On host with IP address 220.127.116.11 this exploit was also successfully executed. The operating system that was running on this host was Microsoft Windows 8 (Build 9200). The verifying the identity of this website is shown on fig.5.
**Fig.5.** Adding Security Exception to the selected website
Most of the plain users should understand that this task is forbidden to be done. Otherwise the user accepts to be shelled and public exposed. The sentence with the bold font must be remembered - “Legitimate banks, stores and other public sites will not ask you to do this.”
Fig.6. Access to the filesystem on host with IP address 18.104.22.168 that was running Microsoft Windows 8 (Build 9200)
Fig.6. showed that the malicious user was able to delete very critical systems files like bootmgr, hiberfil.sys, pagefile.sys, BOOTNXT, etc. After deleting these files on the next reboot of this machine the current operating system would not be started and this would cause serious problems to the plane user. It is important to be understood that the malicious user could be able to install a hidden agent application with that to establish remote connection with the victim every time when the target is online in Internet public space.
5. Conclusion
In this paper a specialized vulnerability penetration testing of several target hosts is made. Thanks to the achieved results each host was compromised and shelled. The exploit “Java storeImageArray() Invalid Array Indexing Vulnerability” was successfully executed on the target machines. With the following sent hyperlink via http - http://22.214.171.124:8080/university_project.html, almost of all target hosts have accepted this security risk. Regardless of the operating system (Windows 7 or Windows 8) the exploit was successfully executed thanks to the vulnerability in Java Runtime Environment. Therefore, it is strongly recommended each user to update the java software with the latest stable version. The java versions that are vulnerable to exploitation are 7 Update 7, 11, 21, 25 and...
previous, 6 Update 45 and previous versions. At the moment the best stable version of java is version 7 update 51. Another important feature is connected with the Java Control Panel and it is also recommended the security level to be set to “very high” in order the plane users to protect their computer and network resources from future various malicious cyber-attacks.
Acknowledgements
This paper is supported by the Project BG051PO001-3.3.06-0003 “Building and steady development of PhD students, post-PhD and young scientists in the areas of the natural, technical and mathematical sciences”. The Project is realized by the financial support of the Operative Program “Development of the human resources” of the European social found of the European Union.
References:
[1] Bhattacharyya, Debnath, and Farkhod Alisherov. "Penetration testing for hire." International Journal of Advanced Science and Technology 8 (2009).
[2] Fox, Erin, Jeremiah Bush, Sylvia Ashley, and Ian Webb. "Common Hacking Tools for Linux and Windows." (2002).
[3] Marquez, J. "An Analysis of the IDS Penetration Tool: Metasploit." The InfoSec Writers Text Library, Dec 9 (2010).
[4] Moore, H. D. "Metasploitation." In CanSecWest Security Conference 2008. 2006.
[5] Shrestha, Nishant. "Security Assessment via Penetration Testing: Network and System Administrator's Approach: Security, Network and System Administrator, Penetration Testing." (2012).
USING THE COLASOFT CAPSA NETWORK ANALYZER TO DIAGNOSE, PINPOINT AND DETECT A VARIETY OF MALICIOUS CYBER-ATTACKS AND TO IMPROVE THE VULNERABILITIES FOR A SOHO NETWORK
Petar Boyanov
KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN,
SHUMEN 9712, 115, UNIVERSITETSKA STR,
E-MAIL: email@example.com
Abstract: In this paper a high-level analyzing for different malicious attacks is made. Thanks to the real-time network analyzer Colasoft Capsa some applications problems and vulnerabilities have been detected and thereby this action ensures a protection for the hosts in the SOHO network. Nowadays it is desirable that many cyber-security professionals and network managers to use Colasoft Capsa in order to detect and protect the computer and network systems against malicious cyber-attacks.
Key words: Cyber-attacks, Network analyzing, SOHO, Vulnerability.
1. Introduction
The cyber-attacks cause irreparable damages on computer network systems. Therefore it is necessary to be analyzed and scanned the hosts against different malicious cyber-attacks and troubleshooting in the specified network.
Previous technical papers illustrated only common features and characteristics of the network analyzer Colasoft Capsa. In this paper some comprehensive network analyzes for different application problems and cyber-attacks in one SOHO (Small Office/Home Office) Network are made in order to be detected some malicious cyber-attacks and to be provided high-level security mechanisms for the hosts. The achieved result in this paper shows that each network hides a lot of malicious cyber-attacks and each network security expert must continuously to analyze and monitor the traffic information in the determined network.
This paper is structured as follows. First, in section 2, a comparative analyzing of the software product Colasoft Capsa is made. After that, in section 3, a sophisticated implementation of Capsa against different malicious cyber-attacks in determined SOHO network (126.96.36.199/21) is performed. The achieved
results are presented in section 4. The final conclusions and recommendations are made in section 5.
2. Related work
In [1] the connection and traffic between each host in the determined network by Asrodia and Patel is shown. The Calculation of traffic volume generated by web users is made by Dunaytsev, Krendzel, Koucheryavy, Harju [2]. In [3] the software product Colasoft Capsa 6.0 to filter IPV4 packets by [3] Kahya-Özyirmidokuz, Gezer and Ciflikli is used. In [4] a simple implementation with the packet analyzer Colasoft Capsa by Kumar and Arumugam is demonstrated. In [5] a common characteristic of the software product Capsa by Singh G. and Singh A. is made. In [6] Capsa with other software products by Venkatramulu and Rao is compared. In [7] the cyber-attacks that Capsa can detect by Zaefferer, Inanir and Karanatsios are presented.
3. Experiment
This experiment in a SOHO (Small Office/Home office) network is made. The local subnet is 188.8.131.52/21. This means that this network consists of 2048 hosts. In this network a DHCP (Dynamic Host Configuration Protocol) is activated in order to receive each host automatically IP (Internet Protocol), network mask, default route address and DNS server address. The investigated host uses the following IP address 184.108.40.206/21 and used operating system is Microsoft Windows 7 Ultimate.
The Colasoft Capsa is a sophisticated network analyzer software tool. The key features in this tool are [1], [2], [3], [4], [5]:
- Sophisticated protocol analyzing.
- Real-time packets capturing for wired and wireless networks.
- Providing a network statistics for the whole network.
- Making a summary report.
- Detection for a Worm - cyber-attack.
- Detection of Dos Attacking.
- Detection of ARP attack.
- TCP port scanning.
- Detection of Suspicious conversation.
- Diagnosis of security analysis.
- The used protocols.
- Detection of physical conversation.
- Detection of IP conversation.
- Detection of TCP conversation.
- Detection of UDP conversation.
- Making an entire matrix map.
- Making Global log, DNS log, Email log, FTP log, HTTP log and etc.
The used software tool in this paper has 15-days trial license. The version of this product is 7.7.1 and the build is 3076 [4.], [5], [6].
The achieved diagnosis after the made investigation illustrates that network 220.127.116.11/21 has been attacked via ARP cyber-attack. This is shown on fig. 1.
The attacked hosts are shown on fig. 2.
The first host has 7C:20:64:C5:0E:83 MAC address and the second host has B4:B5:2F:7C:5D:1C MAC address. The MAC address B4:B5:2F:7C:5D:1C belongs to host with IP address 18.104.22.168.
On fig. 3 The all diagnosis information about host with the MAC address B4:B5:2F:7C:5D:1C is shown.
This diagnosis information shows the following items:
- DNS Server Slow Response – 76.
- Non-existent DNS Host or Domain -6.
- DNS Server Returned Error – 6.
- HTTP Client Error – 11.
- HTTP Request Not Found – 12.
- HTTP Server Slow Response – 35.
- TCP Connection Refused – 3
- TCP Repeated Connect Attempt – 197.
- TCP Retransmission – 13.
- TCP Slow Response – 1697.
- TCP Duplicated Acknowledgement – 356.
- IP Address Conflict – 171.
- ICMP Host Unreachable – 104.
- ICMP Port Unreachable – 1201.
- ARP Request Storm – 20.
- ARP Too Many Unrequested Replies – 13.
In its essence the ARP (Address Resolution Protocol) is responsible for the converting a specific IP address to a physical address such as MAC (Media Access Control) address. Therefore by the ARP attack the cyber-criminal has the ability to send spurious ARP messages in the determined Local Area Network. The underlying purpose of the cyber-criminal is to associate him MAC (Physical) address with the IP address of another host such as intelligent switch or router. After the established session the cyber-criminal can quite easily either interrupt or transmute the whole network traffic [1], [6], [7].
On fig. 4 the physical conversation between the compromised host (B4:B5:2F:7C:5D:1C) and the attacking hosts is shown.
**Fig. 4. The physical conversation between the compromised host (B4:B5:2F:7C:5D:1C) and the attacking hosts**
On fig. 5 the Top100 IPv4 conversation of host 22.214.171.124 is shown.
**Fig. 5. The Top100 IPv4 conversation**
The global log of host 126.96.36.199 on fig. 6 is shown.
4. Results
On fig. 7 the top application protocols by bytes is illustrated.
Fig. 6. The global log of host 188.8.131.52
Fig. 7. The top application protocols by bytes
On fig. 8 the total traffic by bytes is shown.
**Fig. 8.** The total traffic by bytes is shown
Thanks to the software Colasoft Capsa each network security expert has the ability to analyze, monitor and scan a determined SOHO network especially for network cyber-attacks such as ARP spoofing attacks, Worm attacks, DoS attacks, Suspicious conversation attacks and etc.
5. Conclusion
In this paper a high-level scanning and analyzing of a determined SOHO network (184.108.40.206/21) is made. Thanks to the achieved results each network security expert and IT security manager has the ability to detect different malicious cyber-attacks such as ARP spoofing attacks, DoS attacks, DDoS attacks, Worm attacks and etc. After the detection of a specific cyber-attack the network security expert must interrupt the internet connection and to close all open ports. It is recommended to be installed IDS (Intrusion Detection System) and IPS (Intrusion Prevent System) control points before and after the router side in the selected network. These systems are designed to detect various malicious cyber-attacks and to prevent their future executions into the target host.
Acknowledgements
This paper is supported by the Project BG051PO001-3.3.06-0003 “Building and steady development of PhD students, post-PhD and young scientists in the areas of the natural, technical and mathematical sciences”. The Project is realized by the financial support of the Operative Program “Development of the human resources” of the European social found of the European Union.
References:
[1] Asrodia P., & Patel H., Analysis of Various Packet Sniffing Tools for Network Monitoring and Analysis, International Journal of Electrical, Electronics and Computer Engineering 1(1): 55-58 (2012)
[2] Dunaytsev, R. A., Krendzel A. V., Koucheryavy Y. A., & Harju J. J., Estimation of web traffic generated by users in home networks, Proceedings of the eighth IASTED IMSA’, Kauai, Hawaii. Retrieved from http://www.cs.tut.fi/tlt/npg/icefin/documents/Hawaii-427-141_Final_Manuscript.pdfS, 2004
[3] Kahya-Özyirmidokuz E., Gezer A., & Ciflikli C., Characterization of Network Traffic Data: A Data Preprocessing and Data Mining Application, In DATA ANALYTICS 2012, The First International Conference on Data Analytics, 2012, September, pp. 18-23
[4] Kumar P. S., & Arumugam S., Establishing a valuable method of packet capture and packet analyzer tools in firewall, International Journal of Research Studies in Computing, 2012 April, Volume 1 Number 1, 11-20
[5] Singh G., & Singh A., Campus Network Security Policies: Problems And Its Solutions, International Journal of Innovative Research and Development, June, 2013, Vol 2 Issue 6, pp. 294-306
[6] Venkatramulu S., & Rao C. G., Various Solutions for Address Resolution Protocol Spoofing Attacks, International Journal of Scientific and Research Publications, Volume 3, Issue 7, July 2013
[7] Zaefferer M., Inanir Y. S., & Karanatsios T., Intrusion Detection, University of Applied Sciences Cologne, Faculty for Informatics and Engineering, Gummersbach, February 2012
APPROACHES TO IDENTIFY VULNERABILITIES IN THE SECURITY SYSTEM OF THE SOCIAL ORGANIZATION AND COMPUTER RESOURCES
Hristo Hristov, Petar Boyanov, Tichomir Trifonov
KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN,
SHUMEN 9712, 115, UNIVERSITETSKA STR,
E-MAIL: firstname.lastname@example.org, email@example.com, firstname.lastname@example.org
Abstract: Essential component of organizing stage of the counteraction for the encroachment against the business organization is to identify vulnerabilities of the social organization. The purpose of this stage is to identify all existing and potential weaknesses and disadvantages of the security system of the organization, creating a circumstance for adversely effects on the sources of threat.
Key words: Company Security system, computer security, encroachments, indefensibility, management, mechanisms, security environment, protection, threats, vulnerabilities.
1. Introduction
In the suggested counteraction organizing methodology of outrage against the security system (fig.1) the vulnerabilities of the social organization have got significant role in the overall management process of counteraction. The aim at this stage is to determine all availabilities and social weaknesses and disadvantages of the organization security system, creating circumstance for an unfavorable effect of the sources of threat.
The vulnerability identifying and assessment is a process with that is being evaluated the weaknesses of the system for physical security, personal security, the procedures or other organization functioning areas that could be exploited. The purpose of this process is to be revealed weaknesses in the security system, information systems and networks and unprotected crucial infrastructure of the organization [1].
The vulnerability could be defined as disadvantage or weakness of the security system for given social organization that could be intentionally or accidental exploited and therefore, to be obtained disturbances in the politics for organization security [2].
The disadvantages and weaknesses could be related to the entire architecture or designed and applied mechanisms and procedures for protection and system security control. Each social organization builds its own system of security mechanisms and procedures in accordance with law and administrative regulations and standards in the security sphere and functioning organization environment [3].
2. Analysis of the security system
The organization security system is a set of administrative, organizational, technical, operative and information procedures, mechanisms and actions, ensuring the protection of the given social organization and creating circumstances for reliably mission execution of the organization [4].
Fig. 1. Counteraction methodology of outrage against the security system.
The efficient counteraction management demands in detail knowing and permanent monitoring and system control for the security of the social organization in order revealing the availability of the weaknesses and disadvantages, leading to vulnerability from the impact of determined or potential sources of threat [1].
The permanent monitoring of the security system advantages for the timely indications revealing for system vulnerability and preventively actions taking for eliminating the disadvantages and weaknesses and prevention the negative influence from the sources of threat.
The reasons for disadvantages appearance and weaknesses in the security system could be neither insufficient degree of adequacy of the complex of administrative, organizational, technical and operative acts, mechanisms and procedures of dynamic changing security environment and nor current problems in the system functioning, connected with low quality or incomplete implementation of the planned security measures.
The indentifying the system vulnerability for protection of given social organization could be accomplished by applying different methods, techniques depending on the degree of development and function stage of the particular security system.
The identifying and assessment for presence of vulnerabilities will have different purposefulness and object of study at various stages of the design of the security system simultaneously by induction the system and by its functioning [1],[2],[5],[6].
At the stage of project of the security system (by induction of new system or by vastly transformation of existing) the search vulnerabilities process would be pointed to revealing the weaknesses and disadvantages in the security politics of the social organization, the planned procedures in the sphere of the security, defining the requirements to the system and etc. In the process of security system induction, the vulnerabilities’ identifying must be expanded and involve studying and assessment of the planned security actions, results of the initial tests, system assessment and etc. At full functioning security system, the vulnerabilities identifying should be expanded to the analysis of the characteristics of the security system, control mechanisms and procedures, used for protection the organization [2],[3],[7].
It is possible the applying a set of different methods for identifying the vulnerabilities: analysis and assessment of identified weaknesses and disadvantages; using proactive methods for security system testing; requirements developing for security and assessment the adequacy of existing protection mechanisms and procedures, etc.
The analysis and assessment of the identified weaknesses and disadvantages of the security system are pointed in the defining the fact, do they represent and what is the vulnerability level of the system. Applying this vulnerability identifying method could involve using various techniques of information gathering for earlier and current weaknesses and disadvantages: documents analysis, filling different questionnaires, interview for a job, using automated scanning systems and etc [4],[6].
The review and analysis of documents includes work on documents connected with law regulation of the environment in that functions a given social organization - legal and sublegal basis, instructions and directives; documents defining the social organization work; documents related to the structure and functionality of the security system; analyses, reports, inquiries, doings related to marked infractions of personal, physical, information, industrial security and information and network security systems; Results of audits and inspection records.
The developing and using questionnaires of information gathering for weaknesses and disadvantages of the planned and used mechanisms and security control procedures were related to obtaining special staff assessment that is committed to the designing and exploitation of the security system. The system vulnerabilities could be best rated by the staff, working on the security problems and obtaining objective state assessment. This technique could be implemented with a visit and conducting an interview, that has increased the extent of analysis objectivity [2],[3],[4].
The visiting and interview with the staff, committed to management, designing, including, exploitation, security system maintaining were important components of the entire assessment for system reliability and vulnerabilities identifying placed the social organization under conditions of insecurity. With the visiting and interviewing there could be contributed immediate idea and information about the functioning of the mechanisms and procedures to ensure the security of social organization [2].
Applying automated scanning systems was proactive technique for revealing weaknesses and disadvantages of the security system. This was a technical method for control and finding vulnerabilities mainly in the physical security system and the information security and network systems [5].
Another major method for vulnerabilities identifying is testing the security system of the social organization. This is a proactive method and includes applying of various techniques for detecting weaknesses and disadvantages in individual branches and system nodes, which may leads to vulnerability. The method involves developing and implementing a plan to test the effectiveness of the applied mechanisms and security and control procedures, applying a test for sustainability assessment of the system against interventions in penetration or eliminating the protecting mechanisms [6],[7].
The development of security requirements and evaluating the adequacy of existing defense mechanisms is the main method aimed at assessing the compliance of planning and implementing controls and procedures with the requirements and criteria for reliably ensuring the security of the organization. The developed security requirements contain basic minimum safety standards that can be used to systematically identify and assess the vulnerabilities in the personal, physical and information security systems.
The security criteria may relate to various aspects of operation of the organization - the security process management in the technical areas [1].
At the level of security process management the security criteria may include: accurate determination of the obligations; separation of responsibilities; capabilities for responding to incidents; periodic review of the security system; security investigation and certification of personnel; personnel training on security issues; risk assessment system; designing and implementation a security plan and etc [3].
At the operational level, the criteria are related to the operational functioning of the system: control of physical security environment; control and ensuring capabilities; procedures for internal information sharing and etc.
At the technical level of security the criteria are related to providing technical reliability of communications and also of the cryptographic systems and identifying systems and access control; Intrusion detection system, etc.
Thus the proposed methods and techniques to identify vulnerabilities in the security system of social organization represent only part of the possible approaches for objective and reliable identification of the deficiencies and weaknesses of the system. Due to the fact that impossible to be realized absolute complete identification of the vulnerabilities in one system and could not provide the same level of protection for all sections available with weaknesses, it is necessary to identify and prioritize these with the highest degree of crucial importance for functioning of the organization, in order to provide maximum protection.
The possibility of systematically identification and assessment of the units of the organization, having a key role in the functioning and implementation of its mission, even allows by insufficient resources to be provided optimum protection for these critical units and minimize their vulnerability to adverse effects.
The principle of assessment units and objects with critical importance for the operation of a social organization allows to reliably their protection, based on focusing the resources and ensure achievement of objectives.
The identification of the vulnerabilities of the security system of a given social organization as an important component in the process of counteraction of violations should be carried out systematically, using a wide range of methods and approaches to ensure the objectivity of the process and favor the building of a reliable protection of the organization against modern attacks and threats. The Complex review of the process of identifying the potential sources of threat and identifying vulnerabilities creates a basis for objective analysis and assessment of harm and conditions for effective implementation of the strategy for resistance management.
In the analysis of potential sources of threat and vulnerabilities besides the standard methods of analysis can be used more methods and techniques such as decision-making in conditions of risk and uncertainty; Measurement of the main
trend and dispersion; Modeling real opportunity; Analysis of the threat; Analysis "a fault tree" and etc [6].
"The main objective of the analysis is to maximize the usefulness of the information obtained from operational and open source by extracting of new information. [7]"
The purposeful processing of information sources of threats and vulnerabilities of the security system is the basic idea of obtaining a new, qualitative term, information product, which is a prerequisite for carrying out an objective assessment of the cyber-attacks, the size, direction and intensity of the negative impact on the organization and the need to implement appropriate strategies for counteraction.
Analysis of the pair source of threat - vulnerability allows to determine or predict the way of function of the sources of threat on the social organization and on this basis to plan and implement effective counteraction and entire optimization of the security system. An important stage in the analysis is to determine the probability and at this stage must be analyzed: motivation, capacity and capabilities of the source of the threat; nature and characteristics of vulnerabilities; the existence and effectiveness protection mechanisms and procedures of the security system.
3. Conclusion
In conclusion there may be assumed that the assessment of the vulnerability of social organization includes the following: task analysis of the organization and assessment of the potential impact of the source of the threat on their implementation; assessment the elements in the organization with critical meaning for the performance of its mission; assessment of the security system of the organization; possibility assessment for recovering after realized encroachment.
Acknowledgements
This paper is supported by the Project BG051PO001-3.3.06-0003 “Building and steady development of PhD students, post-PhD and young scientists in the areas of the natural, technical and mathematical sciences”. The Project is realized by the financial support of the Operative Program “Development of the human resources” of the European social found of the European Union.
References:
[1] Decker, R., Homeland Security: A Risk management Approach, Statement before Senate Committee on Governmental Affairs, Washington, D.C., 2001.p.10
[2] Sandev, G. Security of organizations, Konstantin Preslavsky University Press, Shumen, 2012, ISBN 978-954-577-621-2.
[3] Stanev, St, Zhelezov St, Computer and Network Security, Konstantin Preslavsky University Press, Shumen, 2002
[4] Mlechenkov, M., „Methodology for developing a system for information security”, Vasil Levski” National Military University, Artillery, AAD and CIS faculty, Shumen, 2010. s.5.
[5] Dimanova D., Iliev Sv., Steganography - the art of hiding information,. Konstantin Preslavsky University Press, Shumen, 2013
[6] RiskManagementStandards, 2002.p.14.
[7] Vladimirov, P., Management of the special services, S., 2002, SB. p.164-190.
METHOD FOR IDENTIFICATION OF SIGNALS
Zhivko Zhekov, Anton Antonov, Petar Boyanov, Dimitar Chervenkov, Tichomir Trifonov
KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN, SHUMEN 9712, 115, UNIVERSITETSKA STR,
Abstract: The paper to the research of particular objects from optic spectrum by means of optical-electronic devices is related. A mathematical model for identification of signals with two degrees of freedom is proposed. Object of research is a variant of discrete signal processing in the temporary area.
Key words: Bayesian Matrix, Gaussian noise, Identification of signals with two degrees of freedom.
1. Introduction
In the research of particular objects from optic spectrum by means of optical-electronic devices the sensor registers a signal that is carrying useful information about the characteristics of the object [2, 4]. Determining the amounts upon registration of information signal [5] and determining the Gaussian noise [3] provide some clarity about the conditions for detection, identification and registration of studied objects [7].
2. Analysis of the problem
The task of research was to investigate the possibility of identifying signals with two degrees of freedom.
Signals with two degrees of freedom (2-DOF) are presented in the following form [1, 6]:
\[
(1) \quad S_t = \sum_{i=1}^{2} d_i \varphi_{it}, \quad t \in [0, T],
\]
where: \( \varphi_{1t}, \varphi_{2t} \) form a basis in the functional space \( \varphi \);
\( \alpha_1, \alpha_2 \) - scalar coordinates for \( S_t \& \varphi \);
\( T \) - the time of the study.
Moreover coordinates $\alpha_1$ and $\alpha_2$ assume values from certain sets. The signal $S_t$ may be determined by the value of these sets $L = L_1 \cdot L_2$ for possible various states $x_i$, $i=I, L$ determined by $\langle \alpha_1, \alpha_2 \rangle$.
In particular, to the signal of a similar type relate signals with a combined amplitude-phase modulation. Therefore this application allows to be increased the transmission speed of information on the channels [2].
The Object of research was a variant of discrete signal processing $S_t(x_i)$ through monitoring the sequences $\{y_m\}$, $m = I, M$, related to the signal.
$$y_m = s_m(x_i) + n_m, \ m = I, M, \ i = I, L,$$
where: $n_m$ - a sequence of uncorrelated Gaussian errors, characterized by the normal probability density $N[0, \sigma^2]$.
$s_m(x_i)$ is determined in accordance of expression (1):
$$s_m(x_i) = \sum_{i=1}^{2} d_{ij} \varphi_{jm}, \quad m = 1, M, \quad i = 1, L.$$
Expressing the set of equations (2) and (3) is obtained:
$$s_i = \sum_{i=1}^{2} d_{ij} \varphi_j,$$
$$Y = S_i + N,$$
where: the vectors $S_i$, $\varphi_i$, $Y$, $N$ possess components $s_m(x_i)$, $\varphi_{im}$, $Y_m$, $n_m$, by $m = I, M$.
Solving the task with the Bayesian method for identification of signals as a result of the research of the vector $Y$ is necessary to be accepted one of the mutually exclusive hypotheses $\Gamma_i = x_i$, $i=I, L$. The belonging of $G$ to this field of study vector $Y$ needs to be broken on a set of subsets $\{G_i\}$, $i=I, L$, so that $G_i \cap G_j = \varphi$,
$$by \ i \neq j, \quad \bigcup_{i=1}^{L} G_i = G \ and \ G_i = x_i \ by \ Y \in G_i.$$
On the assumption that the states $x_i$ and $x_j$ are a priori equally possible and the Bayesian Matrix $[C_{ij}]$, $i, j=I, L$ is simple, namely $C_{ij} = I - \delta_{ij}$, where $\delta_{ij}$ -
Kronecker coefficient. Then the optimal Bayesian identifier is provided by the equality:
\[
N_{cp} \int_{G_g} W(Y / S_i) \ dy = N_{cp} \int_{G_g} W(Y / S_j) \ dy, \ i, j = 1L,
\]
where: \(N_{cp}\) - the average number of signals;
\(W(Y / S_i)\) conditional probability density of the vector \(Y\) for the state of the signal \(x_i\).
As is clear from (5) \(Y\) is a normal vector with probability density \(N(S_i, \sigma^2, I)\), where \(I\) is a single matrix.
Then equation (6) acquires the type:
\[
N_{cp} \int_{G_g} \exp \left\{ -\frac{1}{2\alpha^2} d^2(y, S_i) \right\} \ dY = N_{cp} \int_{G_g} \exp \left\{ -\frac{1}{2\alpha^2} d^2(y, S_j) \right\} \ dy,
\]
where: \(d^2(y, S_i) = (y - S_i)_{(y, S_i)}\) is a distance between the vectors \(Y\) and \(S_i\) in the Euclidean space \(G\);
\(d_{min}(i) = d_{min}(G_j, S_i), \ G_i = \{ y_i | d(Y, S_i) \leq d_{min}(i) \},\)
where: \(d(G_i, S_i) = \inf d(Y, S_i)\) - distance from \(S_i\) to the sets \(G_j; L(i)\), having a common boundary with \(y\). Because \(G'_j \subset G_i\), then equation (7) can be replaced from a system equations:
\[
N_{cp} \int_{G_i} \exp \left[ -\frac{1}{2\sigma^2} d(Y, S_i) \right] \ dY = N_{cp} \int_{G_j} \exp \left[ -\frac{1}{2\alpha^2} d^2(Y, S_j) \right] \ dY,
\]
\[
N_{cp} \int_{G_i/G_j} \exp \left[ -\frac{1}{2\sigma^2} d(Y, S_i) \right] \ dY = N_{cp} \int_{G_j/G'_j} \exp \left[ -\frac{1}{2\alpha^2} d^2(Y, S_j) \right] \ dY,
\]
where: \(G_j/G'_j\) - complement of the sets from \(G'_j\) and \(G_j\).
The set \(G_i, i = 1, L\) represents a hyper-sphere with radius \(d_{min}(i)\), as an equality (8) will be done in:
\[
d_{min}(i) = d_{min}(j), \ i, j = 1, L \text{ and } \mu(G_i) = \mu(G'_j).
\]
The integrals in (6) determine the probability of correctly identification of the signal \(S_i, i = 1, L\), and by definition in \(d(Y, S_i) > d_{min}(i)\), is possible an error by indentifying of \(S_i\), and therefore in fact usually performed the following:
That allows to obtain an approximate assessment of the integral in (9), putting on $d(Y, S_i)$ in the integration of $G_i / G_j'$ which is constant and equal to $d(Y, S_i) = d_{min}(i) + \Delta, Y \in G_i / G_j'$, and therefore $\Delta$ is determined by the expression:
$$\Delta = \frac{1}{2L} \sum_{i=1}^{L} [d_{min}(i) + d_{max}(i)],$$
as $d_{max}(i) = \text{max} d(S_j, S_i)$.
From (8) is determined the equivalent system:
$$\begin{cases}
d_{min}(i) = d_{min}(j), \\
\mu(G_i / G_j') = \mu \left( \frac{G_j'}{G_j} \right), \quad i, j = 1, L .
\end{cases}$$
Combining (12) with (10) the searched rule for synthesis of quasi optimal Bayesian identifier was defined:
$$d_{min}(i) = d_{min}(j),$$
$$(G_i) = \mu (G_j), \quad i, j = 1, L .$$
Whereas, if condition (11) determines the shift of vectors $S_i$ and $G_i$, then conditions (13) and (14) determine the necessity of simultaneously solving both the task for the synthesis by optimal identifying and the task of signal forming $S(x_i)$.
3. Conclusion
Of studies carried out could be done the following conclusion that the obtained correlations (13) and (14) a quasi optimal Bayesian identifying of signals with two degrees of freedom by simultaneously optimization allows to be synthesized.
Acknowledgements
This paper is supported by the Project BG051PO001-3.3.06-0003 “Building and steady development of PhD students, post-PhD and young scientists in the areas of the natural, technical and mathematical sciences”. The Project is realized
by the financial support of the Operative Program “Development of the human resources” of the European social found of the European Union.
References:
[1] Danailov B.S., Single strand signal transmission, Publishers. Связь, Moscow, 2004, 187 p.
[2] Mardirossian G., Aerospace methods in ecology and learning environment in, Acad. Press., prof. Marin Drinov, Sofia, 2003, 201 p.
[3] Stoyanov S., G. Mardirossian, Factor Analysis in the Process of Designing Complex Optical Schemes, Sixth Scientific Conference with International Participation SPACE, ECOLOGY, SAFETY, Sofia, 2010, 159 - 162 p.
[4] Getsov P., Mardirossian G., Hubenova Z., Tsekova V., Filipov F., Stoyanov S., Hristov I., Zhekov Zh., Influence molecular dissipation of light on the light protection characteristics of the optical devices, Proceedings of Naval Scientific forum, vol.3 N.Y. Vaptsarov Naval Academy, Varna, 2003, 91-94 p.
[5] Stoyanov S., G. Mardirossian, Research of the relationships between Light dispersion and contrast of the registered image at different background brightness, Aerospace Research in Bulgaria №24 Space Research and Technology Institute, 2012, 109–115 p.
[6] Ту Дж. Гожалес, Принципы разпознавания образов. Издат. Мир, Москва, 1998, 219 с (in Russian).
[7] Zhelyazov P., Zhekov Zh., Valchev K., Determining the sum of the registered optical signals and Gaussian noise, Proceedings of Technical University of Gabrovo, Bulgaria, 2004, 52 - 49 p.
PHYSICAL READINESS OF CHILDREN FOR SCHOOL ACTIVITIES
Snezhana Vacheva
KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN
Abstract: The paper dwells on the model of children’s physical readiness for school activities. It further comments on the following criteria: good health condition of the child, child’s fitness, level of endurance and industriousness of the child’s body, high level of resistance against diseases, harmonic physical and nerve-psychic development, high level of motor development, cultural-hygienic habits and manners in maintaining the principles of personal hygiene, motor skills; physical skills with children, interest and desire for participating in physical activities.
Key words: physical, readiness, children, school activities
The moment the child enters the school building his/her kind of living changes as well. The child starts studying the basics of school subjects and disciplines. This definitely asks for a particular level of intellectual, social and physical development. The school activities, the new school environment are factors which create a level of tension in the nerve system and other functional systems of the child. The child should possess a certain level of physical development in order to easily and painlessly adapt to the school surroundings, which will help him/her easily assimilate the school lessons. In that respect the physical preparation of the child for school is of special importance. It comes as a result of the physical development which becomes obvious in kindergarten and in the family.
T. Babaeva adds to the physical readiness of the children for school activities the following components: good health condition of the child, fitness, certain level of endurance and industriousness of the child’s body, a high level of resistance against diseases, harmonic physical and nerve-psychic development, a high level of motor development, cultural-hygienic habits and manners when maintaining the principles of personal hygiene [3]. This model could also couple to some extra components – formation of motor skills; physical skills with children, interest and desire for participating in physical activities.
Studying in the school institution is a rather complicated activity for students which requires that they should be in good health condition. Strengthening of the body and health and creating suitable conditions for appropriate physical development are problems and tasks regarding the physical education in kindergartens. The physical state of the child determines his/her abilities and eagerness when participating in diverse school activities. Health is a crucial factor in improving the mental capacity for work with children. The functional abilities of the child’s organism do not only determine his/her readiness for school activities but they also have a certain impact on child’s adaptation to them.
The process of making children harder and fitter is a vital factor in the process of improving child’s overall well-being. This definitely asks for a number of principles that should be strictly followed: the principle of order, systematic regularity, individual approach. The effective process of making children harder and fitter could successfully contribute to the decrease of the infectious diseases among children in school. Due to that process the child’s body does not only get fitter and stronger and more resistant to illnesses and negative external influences of the school environment but certain conditions are established so that the child could adopt additional knowledge, skills and habits. Health strengthening and the process of hardening the child’s body contribute extensively to the appropriate physical development and the improvement of the mental capacity for work with children. The process of physical development is closely related to children’s health and is a major component in their physical readiness for school. Successes in education depend on children’s physical development as well. It is a biological process which refers to the ontogenetic alteration of the morphological and functional symptoms of the human organism. Physical development - average height, weight, chest volume, muscular tonus, body proportions, eyesight, hearing, motor functions, nerve system status and overall good health condition. A major problem in pre-school education is to achieve physical efficiency in realization of different forms of motor activities.
Physical readiness comes as a necessary component of school maturity (T. Baeva). School maturity expresses a certain level of morpho-functional and psychic-physiological development of the child’s organism which allows him/her to adopt a set of knowledge and skills.
Another characteristic feature or component of the process of physical readiness is the development of motor skills. A special part in developing writing skills with children is the training process of the wrist muscles. Writing is a hard activity for children and children should be prepared for it. An important condition is the psychic-motor readiness of children for school. Dina Batoeva relates this component of school education readiness to a certain level of school and educational maturity; the coordination of wrist movements and the
development of censor processes. She points out that the psychic-motor readiness of children for school does not only refer to the physical readiness for school, but it is also related to the other personality sides, characteristics, qualities and states [2]. P. Kozhuharova focuses on the dependence which exists between the graphic skills and peculiarities of thinking (capacity for summarizing, analyzing and synthesizing). In order for children to solve the graphic task they should analyze the suggested elements they are supposed to redraw outlining in their minds the most particular elements [3].
It could be concluded from the above mentioned that motor development is a crucial factor in physical, psychic-motor readiness of children for school and of other components in the process of readiness.
Children’s motor activity is essential and needed for their adequate physical development and in enhancing their capacity for work. Motor activity turns to be a necessary condition for the normal functioning of the organs and systems in the child’s organism. The relation between the child’s motor activities and his/her intellectual development has been known for a long time. The active participation of the child in motor activities is of great use when the child is in the process of forming motor habits and skills. Physical culture and its main component – physical education have to drop almost to zero the negative external influences of the sedentary way of living and especially with respect to children [1].
The physical readiness of children for school could be characterized by the level of the formation of the physical qualities – strength, endurance, rapidity, agility, flexibility, resistance and balance. The physical qualities actually determine the efficiency of the natural child’s movements – jumping, throwing, running and others. That’s why a major task with respect to physical education in pre-school educational institutions is the formation of physical qualities in children.
Pre-school childhood is an important period for the formation of health-hygienic habits with children. In that period they do not only adopt basic health-hygienic habits and routines but they also realize their importance for the health. Children should acquire knowledge of the role of the motor activities in child’s development, be familiar with the basic means of physical education and the basic rules in the activities concerning individual hygiene. This definitely increases the child’s interest in physical occupations and provokes their desire to actively participate in the activities. In that way still in kindergarten children become interested in physical education lessons in school and are taught to take care of their health.
The physical readiness of children for school is a crucial condition and prerequisite for successful education in the school institution. Children’s good health and their appropriate physical development make the child’s organism unadaptable to the unfavorable factors in the school surrounding. Additionally,
children could easily acquire the educational material showing interest and enthusiasm without losing their nerve energy and draining their good health.
References:
[1]. Aleksiev, R. Motor activity in kindergarten, Shumen, 2005.
[2]. Batoeva, D. and I., Koleva, Special preparation for school, Bl. 1992.
[3]. Doshkolanaia pedagogika: Metodika i organizaciia kom. vospitaniia v det. sadu. Ucheb. posobie dlia studentov ped. in-tov po spec. 2110 "Pedagogika i psihologiia (doshkolanaia)" pod red. V. I. Loginovoi, P. G. Samorukovoi. M., Prosveshtenie, 1983.
[4]. Kozhuharova, P. Interdependences between the psychomotor readiness and the results of the training in mastering the graphic component during the period of initial writing. In: Strategies for quality provision in secondary education // Ministry of education and sciences, Konstantin Preslavsky University of Shumen, DIQLL, Varna, 2001.
THE DEPLORABLE STATE OF THE BULGARIAN ECONOMY REQUIRES URGENT MEASURES FOR ITS MODERNIZATION, BUT CREATES ENORMOUS DIFFICULTIES FOR THE INVESTMENT PROCESS
Hristo Totev
TECHNICAL UNIVERSITY OF GABROVO,
E-MAIL: email@example.com
Abstract: Our country and our small open economy is heavily dependent on the world market, as we have no practical impact on the development and functioning of this market, we consume all its positives and assets.
Key words: modernization, economy, competitiveness, international market, mobility
Introduction
Some general trends and issues for the country in search of goals and priorities. Our country and our small open economy is heavily dependent on the world market, as we have no practical impact on the development and functioning of this market, we consume all its positives and assets.
Exhibition
In past Bulgaria was linked to the USSR, although hardly lost on it. From there was brought energy at favorable conditions, iron ore, machinery and others.
Within our specialization in the former Union for Mutual Economic Assistance the country exported production machines - 60% of our exports were machines and complete projects, some of which brought convertible currency. We specialized in electronics, where we had a serious export. Now for about 18 years we have lost these exports. Generally, the technology-intensive products now occupy about 2-3% of our exports while for example for Hungary this share is 26%, EU 22%, U.S. 30% and Japan 32%.
Our agriculture underwent ideologically driven rout and was broken. Relatively easy it could be converted while maintaining cooperative form. Until
about 25 years ago it could feed two thirds of Bulgaria and the country was established exporter of various agricultural products, now experiencing great difficulties in ensuring our food balance.
Seriously were underestimated the care of the biosphere and the environment. Requirements in this area are still strong and our business should invest 15-20 billion for the modernization of a number of technologies related to metallurgy, power generating, chemical, cellulose, cement and other enterprises. Current state of the economy shows that we are lagging behind by as much as technological eras. We still live in the economy of "smoking chimneys". It is very hard and will become increasingly difficult to catch up. Modernization of the economy in its current state is difficult to achieve. All scientific fields were ruined, industry research and development centers that power applied to the real economy developments collapsed in a very short time due to lack of funding and users of their products. While in 1988, research expenditure amounted to 2.6 to 2.8% of national income, they are now more than 0.5%, in which one third of these funds come from international programs and projects. One - two generations of scientists retired and a great number of young and middle generation sought work abroad.
The lack of an active strategic policy led the country to a disadvantage in the international division of labor. It still remains specializes in archaic procedures. We continue to sew clothes to order for users with modest purchasing power. We specialize also in the production of ferrous and non-ferrous metals such as low-quality export products with low value added and manufactured using imported raw materials.
While commodity prices constantly rise, our companies invest very large amounts of energy in the production of semi-finished products that sell at very low prices.
The accumulation rate reached about 25% by 2010-2014, but should not be overestimated, as in previous years were finalized privatization of major state-owned, which attracted significant foreign investment in recent years account for almost half of the gross fixed capital formation, i.e. internal sources of accumulation are at much lower level.
The global financial crisis has affected mainly the shares of financial institutions, the decline primarily reflects the still fragile investment culture in the country and the fear of loss. Small investors expect that every lev invested in bank shares on the stock exchange should bring big dividends, disregarding possible variations for a certain period. Our country is not the enclave, which is causal by global trends. However, the Bulgarian banking system is unlikely to be affected by the global crisis such as the U.S. and Western Europe. It can be said that the shares of public credit institutions in the country are highly underestimated. For example, they cannot be traded at price / book value (P/B) 2 or 2.5 times when the average annual asset growth in our banking system is much higher than in Europe sector. Evidence that current share prices
are unrealistically low, recent transactions are international units of certain credit institutions in Bulgaria, and quoted on the stock exchange, including acquisitions of CIB. In this connection it is appropriate for investors now rely on the banking sector in order to benefit from lower prices. Report for the first quarter of 2008 for banks entirely depicted that there are concerns about disruptions and shrinking profits, since their portfolios work well. Offer significant opportunities and projects under the European Structural Funds, especially when zadyagat modernization of various activities. The scope for investment in banks there as those who risk now will earn more.
**Conclusion**
The main problems facing the economy of Bulgaria, which hinder its modernization are:
- lower labor productivity - now 25% of those in the EU and 19% of those in the U.S.;
- lower quality of infrastructure and the worsening trend with serious implications for the development of tourism;
- lower ability to co-management of large infrastructure projects, including municipal administration;
- widening of regional disparities;
- higher current account deficit of the balance of payments;
- lower mobility of human capital and long-term unemployment (10-12% vs. 3% in the EU and 1.5% in the U.S.);
- increasing energy intensity of the economy - in our energy expended per unit of production is 9 times higher than the EU average;
**References:**
[1]. St. Savov et al, Economic Growth and Structural Policy, Sofia, 1989
[2]. Evg. Mateev Structure and management of the economic system, Sofia, 1987
[3]. Andr. Pramov, Collapse of the dollar nailed the world in 2008
[4]. Vasiliy Leontiev Programirovanie natsionalynoy Õkonomiki. Metodi i problemi. Izbrannyye statyi, Voskva 1994
[5]. Garibet Minassian, Strategic elements of macroeconomic policy in Bulgarian savings. Ec. thought 4/2006 of
[6]. I. Iskrov, Banker Newspaper No. 20, 19.05-25.05.2013, the
[7]. Finance - monthly credit growth, and reduces the volume axes, newspaper Dnevnik, 25.06.2013
[8]. Stefan Antonov, Expensive oil trade deficit worse, Dnevnik, 12.08.2013
[9]. St. Antonov, Ts. Catansky, Red light for foreign investment, Dnevnik, 29.07.2013
[10]. Garibet Minassian, External Debt. Theory, practice, management, Sofia, 2008
[11]. Georgi Petrov, Differentiation or reduction of VAT Dnevnik, 22.08.2013
[12]. Iv. Kostov, the Coalition is trying to bribe voters with his own money, Dnevnik, 22.08.2013
[13]. V. Adamov, Finance - Technology for money management and wealth, 1999
[14]. G. Petrov dance around power, Trud, 22.08.2008
PROBLEMS OF THE MODERNIZATION OF THE ECONOMY OF BULGARIA
Hristo Totev
TECHNICAL UNIVERSITY OF GABROVO,
E-MAIL: firstname.lastname@example.org
Abstract: Innovation and modernization of the economy "We do not like the traditions - Henry Ford said - we want to live now and the only history that means something - this is what we are doing at that moment." For the creator of one of the largest markets in the world, man and businessman who lived in the time of the birth of the "American miracle" was easily and naturally to ignore the history. Today there are no such individuals nor in America or the world. In many countries facing the dilemma of restructuring the economy, debate on economic policy lead to the question, how to build a competitive economic structure, i.e. how structural adjustment to be bound to external economic exchange in order to form comparative advantages.
Key words: modernization, economy, competitiveness, international market, mobility
Introduction
Innovation and modernization of the economy
"We do not like the traditions - Henry Ford said - we want to live now and the only history that means something - this is what we are doing at that moment." For the creator of one of the largest markets in the world, man and businessman who lived in the time of the birth of the "American miracle" was easily and naturally to ignore the history. Today there are no such individuals nor in America or the world. In many countries facing the dilemma of restructuring the economy, debate on economic policy lead to the question, how to build a competitive economic structure, i.e. how structural adjustment to be bound to external economic exchange in order to form comparative advantages.
Exhibition
The main directions in which each country strives to create a comparative advantage, increasing their competitiveness in the international market are the structural adjustment of accelerated deployment of new technologies and the
increasing of the share of high-tech industries. For many countries, the transformation of economic growth leads to new priorities. (V. Savov, p.190) Particularly importance for comparative advantages acquire the mobility of production factors, technological superiority and the ability of the national economy to adapt to the peculiarities of economic growth in its modern forms and directions.
Policy formation of comparative advantage has its macro and micro aspects. At macro level it includes government measures to encourage savings, research and experimental development expertise, including universities, quality control, maintenance of competitiveness on the international market, the improvement of relations between labor and capital. At micro level it contains measures that firms implement in order to provide technology that will be needed in 10-15 years period, by targeting investment and research activities to their directions and goals through the implementation of which will provide the expected effect of unit capital.
Evg. Mateev states that "under conditions of free competition (in terms of new technologies and new types of products, including - the means of production) spreads quickly - while the differential gain of the manufacturer reaches the average gain. Monopolistic competition brings significant changes in the mechanism of innovation, which is one of the factors increasing the volume of output \((x_i)\) at a given numerical value of profit per unit of output \((q_i)\) and raise of \(q_i\) with a given numerical value of \(x_i\) as from the two these values innovation is a powerful tool for maximizing profit mass \((Q_i)\). Unlike former petty capitalists modern large companies have the opportunity to have a wide bureaucracy (foreign capital, "free gain") including a highly educated and prestigious staff - hence increased demand for "production" of universities; have the opportunity (because "free profit") are concerned (due to the continuing monopoly positions) and are forced (due to competition) to build a strategy of scientific and technical innovation with a distant target - hence the establishment of strong research centers (such as "Nokia") which increasingly become a major stopper of monopoly or increased demand for the production of commercial research corporations when they reach their own forces. (Evg. Mateev, p 238-239).
During the 80 years the health of the U.S. economy was based on large capital inflows, which was related to the powerful economic reform of R. Reagan and two major innovations — Information revolution and related globalization. Reagan reforms help provide favorable conditions for the disposal of capital, but the main driver was the dream of creating a global and rapidly changing market. Money is plowed with pleasure in information technology, telecommunications in emerging markets in everything behind which stood the image of the new economic order in which the smooth flow of information allows you to make money in any location on the globe, without changing
physical location. This dream has come true, since last two decades has been a global market. Most powerful corporations in the European Union, the USA and Japan have become transnational. They gave a simple production with low value added in developing countries, the most active of the last managed even to enter the global markets. Unfortunately, Bulgaria was not among them. All this was backed by the strength of the U.S. capital and U.S. dollars. At the same time began tendency to reduction of the productivity of the American capital, which creates problems for both the U.S. and the global economy. To ensure balance of supply and demand for U.S. dollars on the world currency market, the U.S. should enter daily foreign capital for about a billion dollars. Any restrictions on the flow of capital in the U.S. is not only the fall of quotations of securities, but also leads to a fall of the dollar. And any decrease in the dollar entails slackening of interest of foreign investors in U.S. securities. Further impairment and depreciation of the dollar leads to rise of commodity prices, increased inflation rates, low consumption and rising interest rates, as inevitably affects the development of modernization worldwide. (A. Pramov, 12 pages).
The state of the trade balances of developing countries and their financial debt in their balance of payments on the one hand and the government budget deficit of the U.S. and the reduction in the dollar on the other hand, are related to the "quality" of their economic growth, reflecting on its performance. There are complex monetary link between export-import flows, trade and balance of payments, exchange rates, interest rates and growth performance. For example, in the short term small budget deficit may match a lower interest rate and more units for modernization by reducing the dollar creates conditions for increasing export earnings.
In passive BOP important problem arises in maximum external indebtedness and the maximum volume of passive balance. Surpassing the maximum limit of indebtedness, amounting to 20-25% of annual GDP leads to the following negative consequences. First, during the period of repayment of loans from abroad, together with interest - used GDP is significantly smaller than the elaborated, which could lead to an absolute reduction of fund accumulation and is limiting economic growth, but can also be limiter and raising living standards.
In economic theory and practice, it is estimated that the level of savings, which are of the approximate level of 15% and lower are insufficient to provide modern and affordable modernization economic growth. Second, the repayment of debts to foreign countries, especially those related to the activities of private businesses suggests increasing at a faster rate of exchange of exports compared to the rates of exchange of import. Foreign debt interactions are directly related to the nature of the ongoing financial obligations abroad can stimulate the modernization of production, but
can also become a burden and hard to overcome obstacle to economic growth. The issue of forecasting and scheduling of development of the national economy should not be underestimated by macroeconomic management. This issue is very important in connection with the formation of the structure of the national economy and its modernization. The economy must be programmed (including plans) not only with economic but also with political, legislative and administrative measures. (V. Leontiev, 22 pages).
Investment process associated with modernization is under the influence of changes etc. investment thresholds. For each type of production exists an investment threshold below which should not go down as deteriorating satisfactory standard. The introduction of robotic flexible automated production systems (FMS) and computerization, significantly increases the investment threshold. As a kind of barrier for small investment is the increased share of high-tech production.
It was found that investments classified as governmental and private, exist in a higher level as a relationship between GDP growth and private monopolistic investment, which largely explains the structure of the government, particularly during the period when, except for infrastructure construction we add military production. (V. Savov, 150 pages)
**Conclusion**
Dynamics of investment for modernization depends very much on the inter-imperialist rivalry in knowledge-intensive industries and high technology. The position of the various countries show the trend of leveling their levels to that of developed countries such as USA, Germany, Japan, etc. This applies to several most significant markets for knowledge-intensive products (EIM and office equipment, communications equipment, aviation equipment, laboratory equipment, nanotechnology, etc.). Trend towards rapid development of high-tech industries will continue to be the engine of economic growth and monopolistic competition in the global market will be a very strong factor in the development of the investment process associated with the modernization of the economies.
**Literature**
[1]. 1.St. Savov et al, Economic Growth and Structural Policy, Sofia, 1989
[2]. Evg. Mateev Structure and management of the economic system, Sofia, 1987
[3]. Andr. Pramov, Collapse of the dollar nailed the world in 2008
[4]. Vasiliy Leontiev Programirovanie natsionalynoy Ekonomiki. Metodi i problemi. Izbrannyye statyi, Voskva 1994
[5]. Garibet Minassian, Strategic elements of macroeconomic policy in Bulgarian savings. Ec. thought 4/2006 of
[6]. I. Iskrov, Banker Newspaper No. 20, 19.05-25.05.2013, the
[7]. Finance - monthly credit growth, and reduces the volume axes, newspaper Dnevnik, 25.06.2013
[8]. Stefan Antonov, Expensive oil trade deficit worse, Dnevnik, 12.08.2013
[9]. St. Antonov, Ts. Catansky, Red light for foreign investment, Dnevnik, 29.07.2013
[10]. Garibet Minassian, External Debt. Theory, practice, management, Sofia, 2008
[11]. Georgi Petrov, Differentiation or reduction of VAT Dnevnik, 22.08.2008
[12]. Iv. Kostov, the Coalition is trying to bribe voters with his own money, Dnevnik, 22.08.2013
[13]. V. Adamov, Finance - Technology for money management and wealth, 1999
[14]. G. Petrov dance around power, Trud, 22.08.2008
BUILDING AN ONLINE SYSTEM FOR APPOINTMENTS TO MEDICAL SPECIALIST
Ivelina Vardeva
"PROF. D-R ASSEN ZLATAROV UNIVERSITY", BURGAS 8010, STR. PROF. YAKIMOV 1,
BULGARIA
email@example.com
Abstract: It is done an examination which aim is to support making an e-system for making an appointment to a medicine specialist. It is examined existing web-based technologies applied in similar systems as well as their advantages and disadvantages. For the examination work and for the elaboration are used web-date based and program languages.
Developing an online based system gives a possibility for creating flexible applications planning to save time and financial resources for the users when they need to do an appointment as well as the medical specialists for their everyday work.
For the first time in Bulgaria that type system has been applied in the private business in few years ago. Its appliance at the medical institutions could reduce the time of waiting up in a queue in front the doctor's cabinet and it could bring a better organization at the medical centers.
Keywords: Online system for appointments; online scheduling systems; online systems.
REFERENCES
E-health could be described like a complex of measures based on technological, organizational and law framework. It provides an information and ranges the whole aspect of health system functioning.
The research context ranges a conformity with the requirements in developing a system of this kind: easy and convenient user interface like an appointment to medical specialist and editing. It must be possible for service users: for both – patients and doctors [1, 2, 3, 4]. The system have to provide a possible expanding - this means a flexibility of system appliance. Fast operations of the system must be predicted independently of the data volume in it.
This type system could decrease the expenses of a medical center in regarding to organization of visitation. Main defects and risks of these systems are the emergency cases which could be directed to emergency room so in that
way the work schedule wouldn’t be disturbed. Another advantage of the system is an easy control of every patient’s visitations in the concrete medical center, which medical specialists they have visited and if they have outnumbered their due free visitations. Figures from Fig. 1 to 7 are presented screens showed the steps that will follow for appointments in online system.
Fig.1 Online system for appointments to medical specialist - Appointment
Fig.2 Online system for appointments to medical specialist – Choosing of medical cabinet
Fig.3 Online system for appointments to medical specialist – Choosing a specialist
Fig.4 Online system for appointments to medical specialist – Choosing a working period
Fig.5 Online system for appointments to medical specialist – Select the date
Fig.6 Online system for appointments to medical specialist – Select an appointment
Another part of the research includes information about system development in the time. Based on collected data could be determined what kind of medical services have been used from the patients, which are the most visited medical specialists and from what diseases have been treated the patients. It is necessary the system to give a module for the patients as well as the medical specialists. Every doctor bears absolute responsibility for preparing a week schedule and observes the booked appointments for their room. The research refers to patients’ problems which concern waiting in front the doctor’s room because of the lots of patients, confusion with the doctor’s working shifts, leaves and national holidays. It is developed just a little part of web-based application including the exact making of appointment at one medicine section. The main purpose of this web-based system is to cover patients’ and doctors’ requirements and to develop the application in use for the both parts. By using this kind of system could be helped taking a medicine decisions based on already collected data for patients’ treatment. In that way it is possible to be increased the quality and the capacity of the treated patients.
European Union defines the e-health like “usage of the current informative and communicational technologies for citizen, patients and medicine specialists.” It is necessary to encourage a new sort of relationships between the medical centers and the citizen. The both parts have to be involved in taking decisions. The main directions of the e-health are committing systems and services to the users – patients and doctors. It is also necessary to be investigated the requirements for covering the specific needs of the medical centers. The expected benefits of that sort system according to the quality range over giving a reliable medical information. Every patient has an access to their data in
every moment of time. The patients are given mobility of the services – they could choose the medical center.
CONCLUSION
The proposed system of e-appointment to a medical specialist could be applied by every type of health centers. The researches of the health centers giving web-based services show patients’ satisfaction because they save time and financial resources.
REFERENCES:
[1] Ding, Y., K. Klein, Model-Driven Application-Level Encryption for the Privacy of E-health Data, International Conference on Availability, Reliability and Security, Krakow, Poland 2010, 341–346.
[2] Tan, J. E-Health Care Information Systems, Jossey-Bass, San Francisco, USA, 2005.
[3] M., Maheu, P., Whitten, E-Health, Telehealth, and Telemedicine: A Guide to Startup and Success, Jossey-Bass, 2001.
[4] International Telecommunication Union, Implementing e-Health in Developing Countries Guidance and Principles, ICT Applications and Cybersecurity Division, Policies and Strategies Department ITU Telecommunication Development Sector, 2008.
ASSESSMENT AND CONTROL OF QUALITY OF EDUCATION OF STUDENTS IN KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN
BOGDANA GEORGIEVA, SNEZHANA NIKOLOVA
KONSTANTIN PRESLAVSKI UNIVERSITY OF SHUMEN, SHUMEN 9712, 115, UNIVERSITETSKA STR.
e-mail: firstname.lastname@example.org e-mail: email@example.com
Abstract: The period from 2009 to 2011 can be described with a quality of new moments, requirements and more and more complex criteria relating to the educational process and the whole education of students. Bulgaria, as a member of the European Union, holds up to the normative and strategic documents. The University of Shumen attends and necessitates the comprehension to execute these, who premise the development of higher education – the European Qualifications Framework and her endorsement into the “The National Qualifications Framework” (2011), “Manual of appliance of the credential system” (2009), “Europe 2020” (2010). The following article examines the quality education of students in the University of Shumen.
Keywords: quality education of students, insurance system, maintenance and development of the quality of education.
Introduction
The University of Shumen “Konstantin Preslavsky” is an old intellectual place for education, science and culture in Northeastern Bulgaria. It’s development follows centuries-old traditions, which have been arisen and preserved to present times. During the year 2003 the university became a member of the European University Association (EUA), and in the year 2004 it received an ISO 9001: 2000 certificate for quality of education.
The main goal of the University of Shumen is: to prepare highly qualified and competitive personnel accordingly to the demand of the labor market and the requirements of the business environment in the region and in the country by:
- maintaining and increasing the quality of education and ensuring education throughout the whole life;
- stimulating scientific research and artistic activity;
• developing academic and institutional potential and placing in the center of the politics the student as a qualified partner and an active side of the educational process.
One of the goals, resulting directly from the goals of the University of Shumen refers to the preparation of highly qualified personnel based on European standards, scientific research, organizational and management activity; assessment and observation of the achieved results.
Main goal of the academic management is quality professional preparation of the future specialists, achieved by:
• fundamental whole-theoretical and practical preparation, that ensures integrative and interdisciplinary knowledge, required for the realization of highly professional activity;
• skills and experience corresponding to the requirement of the contemporary society, ensuring rapid adaptation to the reality of professional labor;
• development of personal qualities, abilities and aspiration for continuous self-improvement and self-education;
• organization of an educational environment, that helps with the familiarization with the professional reality and challenges and for seizing the methods and techniques for an independent education, which ensures independence and freedom of the young specialist;
• having high requirements to the teaching staff to respect the personalities of the students, and being responsible when developing their professional competence;
• taking into consideration the requirements of the information society, by means of acquiring computer and informational competence
• having precise goals and philosophy about the optimal realization of future professionals.
In the recent years the accent of the direction of the quality of education in the University of Shumen is about control over the educational process and increasing the effectiveness of the factors, which help to improve the education. The quality of the education is observed as an integral property of the whole activity to the University. It is a result of the “congruence of purpose”, “continuous improvement” and “transformation”, all defined by the principles of the System for quality and by the improvement of the material, technical, informational and intellectual environment and the realization of intellectual processes, inherent to the University of Shumen as an institution.
The main goal in this sense is to raise the effectiveness of the System for quality in the University of Shumen. The educational process is attended as a process “education – learning”, in which the student is not a “client”. In that sense he is not buying the education as a finished product. The student is an active side, with strongly defined goals and motivations and uses his intellectual
capacities constantly, i.e. he is an active participant in the system, creating the quality of this product in the form of social usefulness. That is why the tendency is oriented towards priority directions like: quality of the educational process, searching and using effective forms of work with the student, in order to learn “how to work and learn by himself”, and to learn “how to work in a specific professional environment, etc. An obligatory addition towards the early mentioned priority directions is the ensuring of a maximum objective system for assessment of knowledge, abilities and the competency of students. To achieve this, the University has introduced a Rating system for evaluation of knowledge, abilities and the competency of the students, which is updated constantly. It is regulated through the institutions documentation for every student regarding lecture courses, seminar and laboratory exercises and independent work of the terminal control, when exams are taken or pedagogical practices are done. The quality of education of students depends on the quality of the faculty and the educational environment (material and informational equipment). The quality is tied together with the standard of an added value (standard for keeping the student), the costs of his education, with the realization of graduating the student. This realization is in a interrelationship University – Society.
The system for assurance, maintenance and development of the quality of education and the educational product has two main points:
- internal institutional self-assessment of the state and tendency regarding the factors for assurance, maintenance and the development of the quality of education and the results that follow it;
- external evaluation of the quality of the educational product – assessment from the consumers, students and employers.
One of the main goals for the System of management of the quality is studying the opinion of students and employers and their satisfaction with the quality of education in the University of Shumen.
This opinion and evaluation of all participators about the quality of the University is achieved through conducting two types of empirical sociological research (ESR).
The first one aims to study the opinions and assessments about the quality of education in the University of Shumen with professional fields and specialties.
The second type of empirical sociological study follows the quality of education according to educational courses and assessment the quality of teachers in relevant subjects.
The sociological information is required for assaying the quality of education in the University of Shumen according to educational directions, specialties and faculties in post-accreditation periods. The analysis helps to orient the academic leadership regarding:
- attitudes and expectations of the candidate student and their parents, when choosing the University of Shumen;
• the progress of education of the student in the different professional fields and specialties;
• attitudes, opinions and evaluation from the employers (consumers) regarding the professional capacity of the employees, who have graduated from the University of Shumen.
Through the methods the rules are regulated for the organization and the preparation of conducting an ESR in the University of Shumen. They are as follows:
• development of sociological tools;
• conducting a field research
• processing and analyzing empirical information;
• presenting the results from the ESR to the academic management.
The analysis of the results from the ESR is utilized to make managerial decisions and undertake corrective and preventive actions. The requirements of this method are applied in the basic groups, branches and service groups of the University of Shumen.
The analysis of the results from the functioning of the system for management of the quality is achieved through the following directions:
1. activity of the commission regarding evaluation and maintaining the quality of the academic faculty – the maintenance and management of the documents circulation is supervised;
2. assessment, maintenance, control and improvement of the quality of the educational process – the quality of the education is examined as a process of teaching – learning and by studying and analyzing the opinions of the students;
3. continuous education and learning throughout the whole life;
4. improvement of the material, technological equipment and the informational certainty;
5. improving the quality of the scientific and artistic activity;
6. politics regarding the staff and assessment of the academic faculty;
7. evaluation and control of the quality of the organizational-managerial capacity;
8. inner-institutional audits;
9. solutions of problems regarding accreditation.
In the following article the first two directions will be described in detail.
Regarding the first direction a series of measures have been taken. Synchronization has been made to the educational documentation. The qualification characteristics of all specialties are bound with the mission, goals and tasks of the University of Shumen for the preparation of highly qualified experts in the process of which, the development of disciplines regarding professional knowledge, abilities and competency are studied. The educational plans are actualized with the goal to accomplish the recommendations of the
Accreditation council of NAOA with programs and institutional accreditation of the decisions of the Academic staff and the specifics of the specialties. The auditory work load is increased by 200 hours. An additional work-load for individual work with the student is introduced. The educational programs are actualized for optimization of their content by: adding and expanding the structural elements in them, regarding the forms of independent work with the student in curricular and extracurricular occupation; the conditions and forms of semestrial control, admission to exams and examinational procedures; improvement of the mechanism for assessment of knowledge, abilities by using a rating system during the semester and exams in order to evaluate the readiness of the student for realizations of the achieved knowledge and abilities; motivation, when awarding credits, etc. A conclusion can be made that a new stage regarding the improvement of the quality of management of the documentation connected to the educational process has been achieved.
The second direction regards to the improvement of the quality of education as a process of teaching and learning, with the focus on the personality of the student. An optimal organization is created, when a new student is enrolled, with which the professional selection of the educated is observed. A wide marketing activity is done by the academic department of the University of Shumen with the aim to study the requirements of the labor market and attract students in the according professional directions. A considerable improvement has been made to the organization, the way of conducting, structure, range and the meaningful format of the admission campaign for new students.
The teaching in bachelors degree is conducted mainly in a full time form. However an exception is made to four specialties. One of the conditions for improving the quality of education and organization of the educational process is the increased admission of students precisely studying in a full time form. A higher flexibility in the organization of the educational process is acquired. Also, a strict control over the execution of orders regarding courses, groups and flow is introduced – two times a year before the start of every semester. The decisions of the Academic council are accepted regarding the way of preparation of abstracts and weekly syllabus of educational occupation from the main structural groups. Standards, norms, qualificatory requirements and criteria for the improvement of the quality of the educational process are maintained commensurable with these of the European universities.
Effort is made with the aim to improve the educational environment by refining the pedagogical technology; development of materials for the work of the students during lectures, seminars, exercises and practices; enrichment of the material, technical and informational basis. The student has a broad access to the worlds informational resources by using the informational and communicational technologies.
Measures are taken regarding the objective assessment of the theoretical and practical competency of the students. Valid methods regarding the quantitative and qualitative assessment of the abilities of the student and their readiness for realization of the learned skills and knowledge are being applied. With the special decision of the Academic council, the control upon the regular conduction of educational classes in all faculties in the University is reinforced.
In the University, supervision and control upon the extracurricular activity of the student is being done by:
- providing regular consultation to the students from the teachers, when preparing. To achieve this, every year a schedule is being made for the weekly consultations and the consultations during the exam sessions for every course and teacher, which are published in the website of the University;
- accomplishing permanent control of the knowledge and skills of the students, when working independently; assessment of the student’s developed coursework, papers and other projects; evaluation during exams on different subjects in congruence with the accepted criteria, etc.;
- interacting with indicative students and including them into scientific research, projects, etc.;
- increasing the extra curricular activity with students that are falling behind
- making the organization of the educational process more dynamic by providing an opportunity for a choice, differentiation, flexibility and applying them to different modules of the subjects or a group of subjects.
In the University better conditions for transparency of the educational process are created in order to keep the student more informed. With students, from every specialization, that are for their first year in the institution, meetings and consultations are being organized, which are conducted by the heads of the departments. Side by side with the information regarding the organization of the educational process a rating system for assessment is explained. The students are presented with the universities “System for accumulating and transferring credits” and “The System for examination and evaluation of the knowledge and skills” regarding the acknowledgment, adjudication, accumulation of credits and assessment of the academic achievements.
During the first lecture the students are introduced by the teachers to the educational program that follows the specific subject. The rating scale regarding the evaluation of independent work is introduced beforehand; the significance of the control, during the semester and exam procedures in the final assessment to the studied subject, are defined.
The informational packet of the student is updated annually for every educational discipline, which the student can get to know in the website of the University. Also, the student has an access to:
• actual educational documentation (educational plan, programs, certificates of disciplines, exam procedures, criteria regarding evaluation of the students, exemplary tests, etc.);
• decisions made by the academic-managerial staff;
• information regarding competitions for scientific projects and etc.;
• ability for the student to express his opinion and give rating concerning the educational process, by using the students online forum in the website of the University of Shumen.
Periodically, in all of the faculties an inquiry is being conducted. They help to get to know the level of independence, responsibility and self-assessment regarding the educational material, style of teaching in different disciplines, motivation for attending the lectures, exercises and the attitude toward corrupt practices in the University. The students have the ability to express their opinion regarding the level of teaching, used forms of work, the transparency of the procedures during exams and the level of administrative service in the University of Shumen. The results of the inquiries are analyzed in the basic departments, which gives the opportunity for corrective measures from the faculties and other departments.
The practical preparation is one of the key priorities, when educating the students. In that sense the requirements connected with it are increased. The goals and assignments of different kinds of practices are actualized and the exact distribution of the activity of the participating in them students, lecturers and basic teachers. Actualization has been made to the criteria regarding the assessment of the practices and traineeship of the students and the awarding of credits. Instructions regarding the conduction of students practices are developed, which are included in the educational plans and thus the students can be introduced to the professional environment. Conditions are created that help for the successful adaptation in the professional environment of the future profession. Effective indicators are introduced regarding the cultivation of practical education of the students and for improving the system of competency, related to the professional-qualification suitability and preparedness for realization and career development.
In the University an informational system is created and maintained, which holds a register of the academic faculty and a register of the students and doctorates.
**Conclusion**
The indicated ascertainments allow to make the general conclusion that in the University of Shumen a transparency is ensured in the educational process by using clearly defined and valid criteria regarding the assessment of the acquired theoretical and practical readiness of the students.
ASSESSMENT OF THE QUALITY OF THE ACADEMIC STAFF OF KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN AND ITS SIGNIFICANCE
Todorova Korneliya
KONSTANTIN PRESLAVSKY UNIVERSITY OF SHUMEN
SHUMEN, 115 UNIVERSITETSKA STR.
Abstract: The diagnostics analysis of the appraisal system of the academic staff of Shumen University is subject to formal and informal rules, requirements and procedures for the assessment of performance of faculty members as well as the conditions that are set up for this activity. The conducted empirical sociological study attempts to clarify the effectiveness of this system, considering the appraisal as a motivational factor for increasing productivity, improving quality of work and professional and qualification skills.
Key words: quality of academic staff, appraisal of academic staff
The evaluation of the quality of the academic staff of Shumen University is an important part of the appraisal system and maintenance of the quality of teaching. Its performance is regulated by the Higher Education Act and the Regulations for the appraisal of the academic staff of the university, which regulates the manner, timing and criteria for assessment. The purpose of the assessment, according to Art. 2 of the Regulations is to improve the quality and effectiveness of learning and teaching, research and music and arts activity, improvement of the selection, training and development of faculty, stimulating individual creative scientific and academic expression and activity.
This study attempted to assess this goal – Is it achieved or not completely? Is there any improvement of competence and professionalism on a personal and organizational level? Does the assessment execute its role as a motivational tool for teachers or it’s conducted fictitiously? The answers to the following questions are sought through the academic staff’s point of view.
The analysis of the appraisal system is an activity aimed at revealing its status and development and the effectiveness with which it fulfills its purpose. There are three reasons to carry it out:
- There is evidence that the practice of performance assessment of academic staff does not fully carry out its purpose;
- There is will on behalf of the leadership for changes in the motivational environment which imposes the necessity for changes in the appraisal system;
- Looking for opportunities to improve practice in this area.
Object of evaluation is the practice of performance appraisal of academic staff, the use of outcomes and procedure, techniques, criteria and indicators by which it is conducted.
The empirical survey is conducted in 2012. Interviewed are 120 teachers from all faculties of the total 346. This provides its representativeness. The tools of the study are a direct anonymous questionnaire and a content analysis. The questionnaire is partially standardized with open and closed questions. Ithemes refer to criteria, period, procedure and overall assessment of the performance appraisal system of the academic staff. There is enclosed a content analysis of the strategy and policy of Shumen University on evaluations of faculty set in the internal labor standard that regulates the appraisal activity – Regulations for Appraisal of Academic Staff
There are representatives of all posts in the cross section: Professor - 5.45%, Associate Professor - 45.45%, Assistant Professor, Ph.D. - 9.09%, Senior Lecturer - 24.55%, Assistant - 15.45%. The majority of respondents have experience in Shumen University. With more than 20 years are 31.82%, from 5 to 20 years are 47.27%, from 1 to 5 years - 15.45%, and less than 1 year - 5.45%. This structure of the cross section implies sufficiently long experience in the professional activity, significant impression with the management of the university, which in a great degree justify the given evaluation.
Faculty appraisal is one of the issues that have key a meaning for motivation. Work evaluation in general is a management activity which is to measure and assess the results (success, achievements, deficits) of people in the organization, the way in which they achieve their potential aimed at creating the optimal conditions for professional development and equitable remuneration. Employees’ appraisal system is designed to measure the individual contribution of each employees, as well as deficits in his job performance.
The most important in the studied system is the employee to understand and to know exactly how his work will be evaluated and how it will influence his development and promotion in the organization.
The data show that not all of the staff members are familiar with the current labor standard that regulates the appraisal system. It turns out that 87.27% of
respondents are aware of the Regulations for the Appraisal of Academic Staff that is active at the time of the study. The fact is that there are faculty who are not aware (12.73%). Probably the proportion of the personnel that is not familiar with it is higher because of the control question: *What are the criteria according to the Regulation for the Appraisal on which the evaluation is based?* 25.45% don’t specified any criteria. There is no way to be familiar with the Regulation and to have no knowledge of its content. Assuming that this category of people not familiar with the regulations justifies the fact that about ¼ of respondents do not know how is evaluated their work. Generally the evaluation procedure should be clearly regulated and known to all. In Shumen University regulation is in place, but its popularization is not enough. This suggests unconstructive communication with staff. The flow of information in the downlink and uplink is not effective. In a working system for evaluation of human resources the person receives information about the position, including the appraisal criteria at the time when applying for it. In practice often the university teacher learns about them during his first appraisal, i.e. after years of work at the university. In case the employee is not informed about his assessment how it will have a positive effect on both him and the university. In this sense the appraisal does not play the role of a regulator of the professional behaviour for 25.45% of the respondents.
For the majority of respondents - 63.63%, the current performance appraisal system has a stimulating role for their work. There is however a quality shade. Those who fully share this view, represent 26.36% of the population. The remaining 37.27% agree, but partly. There is such variation with faculty with opposed thinking (36.37%). 23.64% indicate "not quite" and other 12.73% are definite that the current system does not encourage them to work.
Lecturers have a different idea of the role evaluation performance of the faculty in Shumen University. Only 36.36% have a positive attitude and say that it is a motivational mechanism. The largest is the share of respondents who believe that it makes equal the quality of the evaluated- 42.73%. Adding the share of persons with skeptical attitude that accept it as an oppressive and superficial procedure (12.73%) and 8.18% who see it as a trivial and unnecessary practice in this form, therefore the negative minded is majority of 63.64%. It is evident that in this form the appraisal system does not fulfill the role of a motivational tool.
The appraisal period depends on two groups of factors. The first includes the aim of the evaluation – stimulation of individual creative development and activity. The second is related to the specificity of the performed work. In this case the work implies some sort of a completed cycle for whole performance of
the personal, organizational and professional and qualification qualities. In the Higher Education Act which has an imperative regulation norm is regulated the period for evaluation of non-habilitated personnel once each three years, and of habilitated lecturers – once per five years. The Regulations for Academic staff appraisal of Shumen University the period for evaluation for the whole academic staff is five years.
The views of faculty on evaluation period is united around the idea that five-year period of sufficient duration - 89.09% say that. For about 5.45% it is a long period to other 4.55% - too long. There is one interviewee whose share is practically negligible - 0.91%, which believes that it is a short period.
It is clear form the conducted study that overall respondents approve such periodicity of evaluation. However, there are 10% of respondents who believe that the duration is long. Their reasons is due to the fact that in five years the momentum has its influence and if the teacher does not have a corrective form of appraisal, the reaction of the leadership is late. It is true that there is a risk if a person does not show his professional and qualification skills the establishment of the level of compliance or non-compliance with job requirements to be delayed. Then appraisal will fulfill its role as a motivational tool to improve the quality and effectiveness of training and teaching, research and creative activity. Therefore differentiating the evaluation period it is as in the Higher Education Act could be considered.
The evaluation of the quality of faculty is done through a system of criteria representing norms for establishing compliance with academic standards. The criteria are specified by a set of indicators. The reporting of the indicators is on the basis of a set procedure. The implementation of the criteria and indicators leads to the development of a comprehensive evaluation of each faculty member of the University of Shumen.
The conducted content analysis shows that the determination of the assessment criteria is unclear. Indicators for each criterion are written in details. They are clear, but they are not explicitly measurable. The way how they refer to textual assessment is not specified - satisfactory, good and very good. There is no coefficient of importance of the criteria in the overall assessment.
The opinions of the faculty related to the above matter vary. Nearly one third of respondents are supporters of parity between criteria (30.91%). According to 40.91% priority should have the educational work. About 26.36% think that the focus should be on research. Those who give priority to administrative and organizational to only 1.82%.
The higher part of the study participants support the statement that concrete quantitative indicator could be introduced for each characteristics of the criteria.
Nearly half of them (48,18%) think that it would be good, 20% say that it definitely should happen. About \( \frac{1}{4} \) have a negative attitude – they think it is not necessary (23,64%). The respondents that can’t specify are 8,18%.
There is no convincing opinion on whether the criteria are sufficient or not. Less than half of the respondents - 40% believe that they are sufficient, and 12.73% - that are insufficient. Nearly half of the respondents - 47.27% - did not answer. This indifference at best is an act of passivity.
Lecturers have a different idea of the inclusion of additional criteria such as initiative in during work, workload, performance, and persistence in the rhythm of work, labor discipline, contribution to the image of the University and others. Definite about the inclusion of such criteria are only 13.64%. Evasively agreeable are 58.18%. Nearly one fifth are strongly opposed (19.09%) and 9.08% can not define their answer. It is evident that 71.82% of the surveyed teachers have attitude to adopt such criteria.
This explains the fact that the majority (67.28%) respondents support the idea of different degrees of the evaluation scale to be linked to specific measures in financing activities such as: reduction of wages, bonuses, advantage / withdrawal of the right in opening of a procedure for habilitation, advantage / deprivation for participation in conferences abroad, Erasmus mobility and others. One part of the people that support that are definite - 23.64%, others are not so sure (43.64%) and support the it partly. There is such a nuance in the approval rate among the ones rejecting the idea - 32.72%. In this category there is parity between the ones that definitely denied it, and evasive deniers (by 16.36%).
As a logical outcome of this understanding is the opinion of respondents to form a complex assessment in the evaluation. Unfortunately for less than half it’s objective - 46.36%. 30% define it as formal, but as 13.64% as subjective. 10% of respondents can not specify their answer.
The grounds for that conviction are few but mostly associated with the registration of the activity of individual indicators. Reported in this way different criteria do not allow for an objective assessment of the degree of realization and creative achievements in the research and learning process. There are no methodological means for reporting the efforts of appraised person, and the influence of factors that are outside his abilities.
The appraisal procedure allows opportunity to provide reliable information for each criterion. It does not only allow but also devotes considerable space for the evaluated person to participate in this process. The way in which he participated in the evaluation procedure is immediate and active: the provision
of a written report for work on three sets of criteria. The main work of the procedure is carried out on *Departmental* level: visiting classes are, conduct questionnaires on trained by the appraised person students, to vote on proposals for evaluation criteria. Here are the comments related to the questions in the questionnaire. Respondents believe that they are outdated and do not reflect the required information. According to the study the performance appraisal at this level is estimated for the most part as accurate - 71.82%. With some reservations ("less strict") are 13.64%. According to 14.55% it is done formally.
Not so unanimous is the assessment of respondents' overall appraisal procedure. There is a small margin between the groups that define it as needed (29.09%), useful (35.45%) and formally operational (31.82%). But the fact is that only one third of respondents accept it as useful! While the other third define it as formal. However, there are cases where the Faculty Council has made a proposal for a negative appraisal - 17.27% of respondents have witnessed this.
Despite this divergence of opinion for the most part the respondents believe that the current performance appraisal system reflects the level of competence, responsibility and work performance. Strong supporters of this idea are 24.55%, partially supporting - 45.45%. Rejecting the thesis are 21.82% and others 8.18% can not judge the answer. Anyway, about 30% of respondents believe that the appraisal system does not reflect the competence and diligence of the teachers.
The roots of this negativity can be searched in the product of evaluation. With a larger or smaller share of teachers the results of the appraisal are not used by management. They are not bound by any salary or training and qualifications nor extend the responsibilities. A reasonable question is what is the effectiveness of its usage? It could be said that there are no reservations.
As a conclusion it can be said that in Shumen University has established a system for the appraisal of academic staff with precise rules, procedures and clear criteria. In this form, however, it does not contribute significantly to increasing the efficiency of the work of individual lecturers and the university as a whole.
The current system for the appraisal of academic staff is not known by all. There are people in the academic community who do not know who, how and at what time they are evaluated. This fact is a sign of poor management of the system. This is evident by the fact that for only one third of respondents this system is useful and acts as a motivational mechanism. For less than half of the faculty the formed complex evaluation is objective. According to nearly half of the respondents it implies levelling of the qualities of the evaluated people.
It is obvious that conduction of such an appraisal helps ensure minimum requirements for the lecturer’s activities. Whether the assessment of the criteria would be satisfactory, good or very good, it ensures the lecturer to remain in the guild for five more years. People are different, work differently, achieving different results, but get the same evaluation - positive. This complex assessment does not measure the individual contribution for the specialty and the university. The extent of the asset is not bound in any way with benefits for the individual. It is undisputed that the system for assessment of faculty needs change.
The preparation for appraisal should be laid in the appointment of the lecturer. The manager and the employee are obliged to determine their agreed targets, which to be used as a standard for future evaluations. Lecturer should be able to discuss why and how his work does not comply with the standards, requirements, what is the reason for this, and above all, what can be done to improve performance. Therefore the feedback in communications at the University will be optimized.
The assessment is regular, complex and systematic. It can be supplemented by interim evaluations of each academic year. Most young teachers need encouragement, assurance that they are in the right direction that they are able to handle their duties. Differentiation of the period of appraisal could be considered. Period of evaluation should be shorter for the young and non habilitated faculty and longer for the staff that have worked for many years and the habilitated one.
The current system for the appraisal of academic staff does not evaluate the qualities as much as results of the work activity. The adopted nomenclature of criteria and indicators not only allows but requires a quantitative estimation for each indicator. It would be better that they are differentiated for habilitated and non habilitated faculty. Every labor result should have a quantitative determination. This reduces the probability of subjectivity and randomness in the evaluation. The more precise and detailed are the formulated requirements that must be met in order to be awarded an appropriate assessment of the indicators, the more objectively will be assessed the work performance of faculty.
The adoption of the recommendations in the policy for appraisal of the university would create conditions and prerequisites for effective engagement of faculty with its strategic objectives.
Al$^{3+}$ ACCEPTORS AND THE OPTICAL PROPERTIES OF Bi$_{12}$SiO$_{20}$:Cr+Al
P. Petkova, P. Vasilev
SHUMEN UNIVERSITY “KONSTANTIN PRESLAVSKY”, 115 UNIVERSITETSKA STREET, 9712 SHUMEN, E-MAIL: firstname.lastname@example.org
Abstract: Absorption measurement is taken in the visible spectral region (650 – 850 nm). The dopants Cr$^{3+}$ and Al$^{3+}$ ions occupy the tetrahedral sites in the crystal lattice of doped sillenite. The electron transitions in Cr$^{3+}$ are presented in the case of Bi$_{12}$SiO$_{20}$:Cr and Bi$_{12}$SiO$_{20}$:Cr+Al. The total cross-section $\sigma_a$ of combined chromium-aluminium absorption structure and the spin-orbit coupling energy of Cr$^{3+}$ are calculated.
Key words: absorption spectrum, 3d transition metals, total cross-section of impurity absorption, spin-orbit coupling energy
INTRODUCTION
Bismuth oxide compounds such as the sillenite-type Bi$_{12}$MO$_{20}$ (BMO, where M = Si, Ge, Ti) crystals are being extensively studied because of their potential applications including dynamic holography, optical information processing, optical phase conjugation and real-time interferometry [1–5]. The defect identification, including the dopant ions involved, their valence and local symmetry is essential because this information may guide the efforts for optimization of the synthesis conditions to obtain the intended material properties. In this paper, we present a detailed optical study of Cr$^{3+}$ and Cr$^{4+}$ ions which are in the tetrahedral coordination.
MATERIALS AND SAMPLES PREPARATION
Bi$_{12}$SiO$_{20}$ crystals belong to the sillenite family of materials with the space symmetry I23 with a body centered cubic unit cell (a = 10.102 Å), which contains 24 Bi$^{3+}$ ions, 2 Si$^{4+}$ ions and 40 O$^{2-}$ ions (nominal valences). Two structural elements can be distinguished, the SiO$_4$ regular tetrahedron and the BiO$_7$ polyhedron [6]. The former exists at the corners and at the center of the cubic unit cell. In the BiO$_7$ polyhedron, each of the Bi$^{3+}$ ions is surrounded by 7 oxygen atoms and is coordinated in a pseudo-octahedral configuration, in which the oxygen atom at one corner is replaced by two atoms at somewhat larger
distance. BSO single crystals were grown in air by the Czochralski method from a melt containing a mixture of high purity (99.9999%) oxides including $\text{Bi}_2\text{O}_3$ and $\text{SiO}_2$ in a 6:1 molar ratio [7]. Platinum crucibles of 60 mm in diameter and 80 mm in height were used as containers. The crystals were grown in a $<001>$ direction under conditions of low temperature gradient over the solution (5–7 °C/cm), at a growth rate of 0.7 mm/h and a rotation rate of 20 rpm. Fully facetted and optically homogeneous crystals of 35 mm in diameter and 50 mm in height were obtained. The starting chromium and aluminium dopants were introduced into the melt solution in the form of $\text{Cr}_2\text{O}_3$ and $\text{Al}_2\text{O}_3$ oxides. The analysis by atomic absorption spectrometry shows that they are present in the crystal at concentration of $[\text{Cr}] = 7,2 \times 10^{-20} \text{ cm}^{-3}$ and $[\text{Al}] = 2,2 \times 10^{-20} \text{ cm}^{-3}$.
**EXPERIMENTAL RESULTS AND DISCUSSION**
The basic structural building units of solid oxides are $\text{MO}_6$ metal-oxygen octahedra and, possibly, additional $\text{MO}_4$ tetrahedra. The complete crystal structure is built up of corner-, face- and/or edge-sharing connections of these structural elements. Additional cations (A) can be incorporated at interstitial lattice sites. These are increasingly formed, the more open-structured the whole network of $\text{MO}_n$ units appears to be. Generally, open crystal structures imply high formal M-cation charge states (referring to formal $\text{O}^{2-}$ anions) leading to mixed ionic-covalent (or semiionic) material properties. The M-cations are in most cases transition-metal (TM) ions.
Charge carriers, either valence-band (VB) holes or conduction-band (CB) electrons, are created by doping with impurities, annealing treatments or by light-induced charge-transfer excitations which, for example, take place during photorefractive processes in the appropriate oxides.
The present work initiates a systematic and detailed characterization of localized hole states in complex oxides.
Our investigations employ real-space embedded-cluster calculations, which consistently combine electron correlations and defect-induced lattice relaxations. This procedure is indispensable in order to predict the richness of possible hole
states. The trapping of holes at acceptor defects leads to a localization of hole states, which is further aided by defect induced lattice distortions.
Principally, there is “on-acceptor” and “off-acceptor” hole trapping. In the first case the trapped hole localizes at the acceptor site (thereby increasing the acceptor charge state by one positive unit, i.e. $\text{M}^{+n} + \text{h} \rightarrow \text{M}^{+(n+1)}$), and in the second case the hole remains at the oxygen ligands. Further, the off-acceptor case allows to classify hole states according to their degree of delocalization, i.e. complete localization at exactly one ligand anion, intermediate localization at two neighboring oxygen ions ($V_k$ centers), and delocalization over more than two oxygen ligands. Which hole-localization type is favored depends on the
ionicity of the host system, but also on the incorporation site and electronic structure of the acceptor. Such species could explain the diamagnetic hole centers in photorefractive oxides [8].
In comparison to most TM acceptors the hole localization properties can differ at ionic acceptor cations due to the lack of filled acceptor levels above the VB edge and of covalent charge transfer. The situation is even worse for completely delocalized states. Again electron correlation supports hole delocalization. Most favorable are the delocalized state and the formation of $V_k$ centers. However, there is no clear indication in favor of the latter species. But the results suggest a delicate balance between the local electronic structure and defect-induced lattice distortions: Increasing the acceptor ionicity would lead to localized off-acceptor holes, whereas a reduced ionicity implies hole delocalization. In an intermediate small “window” the formation of $V_k$ centers might be most favorable. This also explains why $V_k$ centers are rarely observed in oxides. Interestingly, $V_k$ centers have been also proposed in Al$_2$O$_3$ [9].
The electron paramagnetic resonance (EPR) identifies a chromium ion in the unusual Cr$^{3+}$ valence replacing a substitutional Si$^{4+}$ in tetrahedral oxygen coordination [10]. Evidence is found that the symmetry lowering from tetrahedral ($T_d$) to trigonal ($C_{3v}$) is not spontaneous, but induced by an associated defect. The aim of this work is to explain the influence of acceptor Al$^{3+}$ on the absorption structure of Cr$^{3+}$ in the spectral region 650–850 nm.
The experimental set up for measurement of the absorption coefficient in the visible and near IR region consists of the following: a halogen lamp with a stabilized 3H-7 rectifier, a SPM-2 monochromator, a system of quartz lenses, a polarizer, a crystal sample holder, and a Hamamatsu S2281-01 detector.
The absorption coefficient of investigated samples has been measured to be between 650 and 850 nm (Figs.1a and 2a). The first derivative of absorption coefficient at photon energy is calculated to be in the spectral region 640-850 nm. The $[d\alpha/d(h\nu)]$ determines only the number of electron transitions in a Cr$^{3+}$ ions and it does not give an exact information about the energy position of these transitions. This is the reason for the calculation of second derivative of absorption coefficient $[d^2\alpha/d(h\nu)^2]$.
Figure 1 a) Absorption spectrum of $\text{Bi}_{12}\text{SiO}_{20}:\text{Cr}^{3+}$ in the spectral region $650 - 850$ nm; b) the first derivative of absorption coefficient; c) the second derivative of absorption coefficient.
Figure 2 a) Absorption spectrum of $\text{Bi}_{12}\text{SiO}_{20}:\text{Cr+Al}$ in the spectral region $640 - 800$ nm; b) the first derivative of absorption coefficient; c) the second derivative of absorption coefficient.
Figure 3 The total cross-section $\sigma_a$ of impurity absorption in the case of:
a) Bi$_{12}$SiO$_{20}$:Cr; b) Bi$_{12}$SiO$_{20}$:Cr+Al.
The absorption coefficient is calculated using the formula:
$$\alpha = \frac{(1/d)\ln(I_0/I)}{}$$
where $I_0$ is the intensity of incident light, $I$ is the intensity of passing light and $d$ is the sample thickness.
The components of Cr$^{3+}$ structure that are connected with the electron transitions are $^4A_2(^4T_1(^4F)) \rightarrow ^2E(^2G)$, $^4A_2(^4T_1(^4F)) \rightarrow ^4A_1(^4T_2(^4F))$ and $^4A_2(^4T_1(^4F)) \rightarrow ^2E(^2T_1(^2G))$ [11]. The components of combined chromium-aluminium structure that are connected with the electron transitions are respectively $^4A_2(^4T_1(^4F)) \rightarrow ^4A_1(^4T_2(^4F))$ and $^4A_2(^4T_1(^4F)) \rightarrow ^2E(^2T_1(^2G))$. This fact is due to the presence of Al$^{3+}$ in the sillenite.
If the electron transitions are realized between the basic and the closest low energy excited states, then they are connected with the manifestation of the dynamical Jahn-Teller effect [11]. This effect is manifested as the deformation of chromium tetrahedron and the T$_d$ symmetry transforms into the C$_{3v}$ symmetry. The ionic radii of Si$^{4+}$, Cr$^{3+}$ and Al$^{3+}$ are as follow 0.40 Å, 0.755 Å and 0.675 Å. Thus it can be observed the tetrahedral distention. The final result is expressed by the great influence of Jahn-Teller effect on the energy values of observed impurity absorption bands [11] and the chromium complex becomes stable under the influence of spin-orbit interaction.
After the spin-orbit interaction the total angular momentum $J$ becomes equal to 1/2 and 3/2. The EPR of chromium doped Bi$_{12}$SiO$_{20}$ gives information that the total spin angular momentum $S$ is 3/2 [10]. In this connection, they are two possibilities for the total orbital angular momentum $L = 0$ and $L = 1$. The case when $L = 1$ is very interesting, because the orbital quantum number $l = \pm 1$. The spin-orbit coupling energy is given by the equation:
$$E_{SO} = \frac{Z^4}{2(137)^2n^3} \left( \frac{j(j + 1) - l(l + 1) - s(s + 1)}{2l(l + 1/2)(l + 1)} \right)$$
In this connection, the values of spin-orbit coupling energy for Cr$^{3+}$ are as follow (table 1):
Table 1
| quantum numbers of Cr$^{3+}$ | E$_{SO}$ [eV] |
|-----------------------------|---------------|
| n=2, l=1, j=1/2, s=3/2 | -0,9206 |
| n=2, l=1, j=-1/2, s=-3/2 | -0,5524 |
| n=2, l=1, j=±3/2, s=±3/2 | -0,3682 |
The cross-section of the impurity absorption is of great significance for the application of doped materials in practice [12]. It is used to estimate how radiation is absorbed by the impurity ions in the crystals. The total cross-section $\sigma_a$ of the impurity absorption is determined by the integration of the impurity ions within the absorption band
$$\sigma_a = \frac{1}{N} \int_{E_1}^{E_2} \alpha(E) \, dE$$
Where:
- N is the number of the impurity ions in the unit volume;
- $\alpha$ is the impurity absorption coefficient, typical for the energy interval from $E_1$ to $E_2$. The total cross-section $\sigma_a$ of chromium and aluminium absorption as a function of wavelength is presented in fig. 3.
CONCLUSIONS
1) Al$^{3+}$ ions are V$_k$ centers in the crystal lattice of double doped BSO.
2) The electron transition at 827 nm in Cr$^{3+}$ does not manifest in the combined chromium-aluminium absorption structure.
3) The total cross-section of combined chromium-aluminium absorption has smaller values and it has narrow spectral region in comparison with $\sigma_a$ of chromium ions.
ACKNOWLEDGMENTS
Partial financial support by project of Shumen University (2014) is gratefully acknowledged.
REFERENCES
[1] Y. H. Ja, Opt. Commun. 42, 377 (1982).
[2] M. P. Georges, V. S. Scauflaire, and P. C. Lemaire, Appl. Phys. B 72, 761 (2001).
[3] E. A. Barbosa, R. Verzini, and J. F. Carvalho, Opt. Commun. 263, 189 (2006).
[4] M. R. R. Gesualdi, D. Soga, and M. Muramatsu, Opt. Laser Technol. 39, 98 (2007).
[5] E. A. Barbosa, A. O. Preto, D. M. Silva, J. F. Carvalho, and N. I. Morimoto, Opt. Commun. 281, 408 (2008).
[6] S. C. Abrahams, J. L. Bernstein, and C. Svensson, J. Chem. Phys. 71, 788 (1979); S. C. Abrahams, P. B. Jamieson, and J. L. Bernstein, ibid. 47, 4034 (1967).
[7] P. Sveshtarov and M. Gospodinov, J. Cryst. Growth 113, 186 (1991).
[8] E. Possenriede, P. Jacobs, H. Kr’ose, and O. F. Schirmer. Appl. Phys. A55, 73 (1992).
[9] L. Kantorovich, A. Stashans, E. Kotomin, and P. W. M. Jacobs. Int. J. Quant. Chem. 52, 1177 (1994).
[10] I. Ahmad, V. Marinova, H. Vrielinck, F. Callens, and E. Goovaerts, Journal of Applied Physics 109, 083506-1 083506-7 (2011).
[11] P. Petkova, Journal Scientific and Applied Research, Vol. 2, 58 (2012).
[12] Optical Properties of Condensed Matter and Applications, Edited by Jai Singh, John Wiley & Sons (2006).
CALCULATION OF THE EINSTEIN COEFFICIENTS FOR CO DOPED \((80-x)\text{Sb}_2\text{O}_3-20\text{Na}_2\text{O}-x\text{WO}_3\) (x% mol of WO\(_3\)) GLASSES
P. Petkova, P. Vasilev
SHUMEN UNIVERSITY “KONSTANTIN PRESLAVSKY”, 115 UNIVERSITETSKASTREET, 9712 SHUMEN, BULGARIA
Abstract: We have measured the absorption of the glasses \((80-x)\text{Sb}_2\text{O}_3-20\text{Na}_2\text{O}-x\text{WO}_3\) (x% mol of WO\(_3\)) in the spectral regions \(10\,500 - 24\,500\) cm\(^{-1}\). The samples are doped with 0.05% mol of Co\(_3\)O\(_4\) from \(x = 10\%\) until \(x = 50\%\). The observed absorption band is due to the Co-impurity in the visible spectral region. This absorption band of glasses contains information about the exactly values of the Einstein coefficients which will be useful for their application in laser technologies.
Key words: Co doped glasses, absorption coefficient, Einstein coefficients
1. Introduction
The antimony oxide as part of the heavy metal oxide (HMO) glasses is attractive to researchers in recent years. These glasses have low energy of photons, high refractive indexes and they are conductive to study in IR region [1, 2]. They are used as nonlinear optical amplifiers and lasers. The cobalt doped glasses were synthesized in silicate crucibles. The content of 0.05%mol Co\(_3\)O\(_4\) is added to the combination Sb\(_2\)O\(_3\)-WO\(_3\)-Na\(_2\)O [3]. The glasses are synthesized after mixing and melting of the starting materials at room temperature. The cobalt is used as a colouring agent [4]. The undoped glasses have yellow colour. The blue colour of 10% mol WO\(_3\) transforms in green (40% mol WO\(_3\)), when the speed of appending increases. Spectroscopic studies on transition metal doped glasses have been implemented in the scope of active applications while the ability of tungsten, to have several oxidation states open possibilities for their application in the laser technologies. These materials are suitable for the study of the macromolecular segments arranged in the crystalline phase with the various X-ray methods [5]. This is the reason of the investigation of Co doped \((80-x)\text{Sb}_2\text{O}_3-20\text{Na}_2\text{O}-x\text{WO}_3\) in our work.
2. Experiment and results
The experimental set up for the measurement of the absorption spectra consists of: a halogen lamp with a stabilized rectifier 3H-7, a monochromator
SPM-2, a system of quartz lenses, a polarizer, a crystal holder with a sample and a detector of Hamamatsu S2281-01.
The investigated glasses are two series: undoped \((80-x)\)Sb\(_2\)O\(_3\)–20Na\(_2\)O–xWO\(_3\) and doped with 0.05% mol Co\(_3\)O\(_4\). The values of \(x\) changes are from 10% mol WO\(_3\) to 50% mol WO\(_3\). The concentration of the cobalt ions in the glass structures is \(N = 3,01 \times 10^{18} \text{ cm}^{-3}\).
The thickness of the glasses varies between 2.15 mm and 2.75 mm. The absorption spectra of the Co doped glasses are presented in the spectral region 10 500 – 24 500 cm\(^{-1}\), where the Co structure is observed (Fig. 1). It is seen that the cobalt structure is complicated and its shape does not give information about the number of the electron transitions in Co\(^{2+}\) ion. Therefore, the calculation of the first derivative of the absorption coefficient gives information about the number of the electron transitions in the investigated Co complexes (Fig. 2). The exact energetic position of the electron transitions in the Co ion is determined by calculation of the second derivative of the absorption coefficient (Fig. 2).
3. Discussion
Several parameters are commonly used to describe the strength of atomic and molecular optical transitions. The Einstein A and B coefficients, oscillator strengths \(f\) and transition dipole moments are all atomic and molecular parameters related to the “strength” of the transition. In many practical situations, on the other hand, it is useful to define an absorption coefficient to describe the absorption of a beam of light passing through a medium consisting of the atoms or molecules of interest. From a “kinetics” point of view, the absorption or scattering of radiation is described as a reaction or scattering process and the probability of absorption or scattering is given in terms of a cross section.
In this connection, the frequency-integrated absorption coefficient is equal to:
\[
\alpha_0 = \int_{\omega_1}^{\omega_2} \alpha(\omega) d\omega \quad (1).
\]
The line shape function is given by the equation:
\[
g(\omega) = \frac{\alpha(\omega)}{\alpha_0} \quad (2).
\]
The next important parameter is the frequency-integrated cross section:
\[
\sigma_0 = \frac{\sigma_a(\omega)}{g(\omega)}, \quad (3)
\]
where \(\sigma_a(\omega)\) is the absorption cross section. The cross-section of the impurity absorption is of great significance for the application of doped materials.
in practice [6]. It is used to estimate how radiation is absorbed by the impurity ions in the crystals. The total cross-section $\sigma_a(\omega)$ of the impurity absorption is determined by the integration of the impurity ions within the absorption band
$$\sigma_a(\omega) = \frac{1}{N} \int_{\omega_1}^{\omega_2} \alpha(\omega) \, d\omega \quad (4)$$
Where:
$N$ is the number of the impurity ions in the unit volume;
$\alpha(\omega)$ is the impurity absorption coefficient, typical for the energy interval from $\omega_1$ to $\omega_2$.
The values of the oscillator strength are determined by the formula:
$$f = \frac{\sigma_0 \omega g(\omega)}{\sigma_a(\omega) 2\pi} \quad (5).$$
The Einstein coefficient which characterized the induced absorption is:
$$B_{12}^\omega = \frac{\sigma_a(\omega)c}{\hbar \omega g(\omega)} \quad (6).$$
The number $n_1$ of atoms in level 1 (per unit volume) that the beam intercepts is:
$$n_1 = \alpha(\omega)/\sigma_a(\omega) \quad (7).$$
The next parameter $R_{12}$ denotes the number of absorption events per unit time and per photon of frequency $\omega$:
$$R_{12} = c \alpha(\omega) \quad (8).$$
The atomic frequency response is expressed by the next equation:
$$b_{12}(\omega) = \frac{\sigma_a(\omega)c}{\hbar \omega} \quad (9).$$
The Einstein coefficient $A_{12}$ describes spontaneous emission:
$$A_{21} = \frac{\sigma_0^3 \omega^2 g^2(\omega)}{\sigma_a^2(\omega) n^2 c^2} \quad (10).$$
The resonance frequency of the transition is determined as follows:
\[ \omega_{21} = 2\pi f \quad (11). \]
The ratio of the degeneracy factors \( g_1 \) and \( g_2 \) of the two levels is:
\[ \frac{g_2}{g_1} = \frac{4\sigma_0}{\omega_{21}^2 A_{21}} \quad (12). \]
The Einstein coefficient which characterizes the stimulated emission is equal to:
\[ B_{21}^\omega = \frac{B_{12}^\omega}{\left(\frac{g_2}{g_1}\right)} \quad (13). \]
Our next step is connected with the determination of the absorption oscillator strength to the \( A \) value:
\[ f_{12} = \left(\frac{g_2}{g_1}\right) 2\pi\varepsilon_0 mc^3 / (\omega_{21}^2 e^2) \quad (14). \]
The square of the transition dipole moment is given by:
\[ \mu_{21}^2 = A_{21} \frac{3\hbar c^3 \varepsilon_0}{2\omega_{21}^3} \quad (15). \]
**Fig. 1** The absorption spectra of the cobalt doped glasses \((80-x)\text{Sb}_2\text{O}_3-20\text{Na}_2\text{O}-x\text{WO}_3\) (x% mol of WO\(_3\)) in the spectral region 10 500 – 24 500 cm\(^{-1}\) as follow: 1 – 10 mol% WO\(_3\); 2 – 20 mol% WO\(_3\); 3 – 30 mol% WO\(_3\); 4 – 40 mol% WO\(_3\); 5 – 50 mol% WO\(_3\).
Fig. 2 The second derivative of the absorption coefficient of the cobalt doped glasses \((80-x)\text{Sb}_2\text{O}_3-20\text{Na}_2\text{O}-x\text{WO}_3\) (x% mol of WO\(_3\)) in the spectral region \(10500 - 21000 \text{ cm}^{-1}\).
Fig. 3 The impurity cross section as function of the frequency of the cobalt doped glasses \((80-x)\text{Sb}_2\text{O}_3-20\text{Na}_2\text{O}-x\text{WO}_3\) (x% mol of WO\(_3\)) in the spectral region \(10,800 - 22,250 \text{ cm}^{-1}\).
Table 1 Parameters which describe the strength of atomic and molecular optical transitions when x = 10% mol of WO\(_3\).
| e\(^-\) transition | \(B_{12}^{\omega}\) | \(b_{12}(\omega)\) | \(A_{21}\) | \(B_{21}^{\omega}\) | \(\mu_{21}^{2}\) |
|---------------------|------------------|------------------|-----------|------------------|----------------|
| \(\omega_1\) | 0,0921x10\(^{24}\) | 0,0987x10\(^{20}\) | 1,993x10\(^{-27}\) | 0,0215x10\(^{15}\) | 1,3615x10\(^{40}\) |
| \(\omega_2\) | 0,1007x10\(^{24}\) | 0,1326x10\(^{20}\) | 2,9154x10\(^{-27}\) | 0,0346x10\(^{15}\) | 1,4898x10\(^{40}\) |
| \(\omega_3\) | 0,1163x10\(^{24}\) | 0,1586x10\(^{20}\) | 5,176x10\(^{-27}\) | 0,0709x10\(^{15}\) | 1,7203x10\(^{40}\) |
Table 2 Parameters which describe the strength of atomic and molecular optical transitions when x = 20% mol of WO\(_3\).
| e\(^-\) transition | \(B_{12}^{\omega}\) | \(b_{12}(\omega)\) | \(A_{21}\) | \(B_{21}^{\omega}\) | \(\mu_{21}^{2}\) |
|---------------------|------------------|------------------|-----------|------------------|----------------|
| \(\omega_1\) | 0,0531x10\(^{24}\) | 0,0693x10\(^{20}\) | 1,098x10\(^{-27}\) | 0,0117x10\(^{15}\) | 0,7841x10\(^{40}\) |
| \(\omega_2\) | 0,0594x10\(^{24}\) | 0,0949x10\(^{20}\) | 1,7452x10\(^{-27}\) | 0,0208x10\(^{15}\) | 0,8768x10\(^{40}\) |
| \(\omega_3\) | 0,0663x10\(^{24}\) | 0,0931x10\(^{20}\) | 4,0759x10\(^{-27}\) | 0,0543x10\(^{15}\) | 1,4756x10\(^{40}\) |
Table 3 Parameters which describe the strength of atomic and molecular optical transitions when x = 30% mol of WO₃.
| e⁻ transition | $B_{12}^{\omega}$ | $b_{12}(\omega)$ | $A_{21}$ | $B_{21}^{\omega}$ | $\mu_{21}^{2}$ |
|---------------|------------------|-----------------|----------|------------------|----------------|
| $\omega_1$ | 0,0653x10⁻²⁴ | 0,0912x10⁻⁰ | 1,4138x10⁻²⁷ | 0,0152x10⁻¹⁵ | 0,9647x10⁻⁴⁰ |
| $\omega_2$ | 0,069x10⁻²⁴ | 0,1151x10⁻⁰ | 2,029x10⁻²⁷ | 0,0242x10⁻¹⁵ | 1,0217x10⁻⁴⁰ |
| $\omega_3$ | 0,0748x10⁻²⁴ | 0,1091x10⁻⁰ | 3,0571x10⁻²⁷ | 0,0407x10⁻¹⁵ | 1,1049x10⁻⁴⁰ |
Table 4 Parameters which describe the strength of atomic and molecular optical transitions when x = 40% mol of WO₃.
| e⁻ transition | $B_{12}^{\omega}$ | $b_{12}(\omega)$ | $A_{21}$ | $B_{21}^{\omega}$ | $\mu_{21}^{2}$ |
|---------------|------------------|-----------------|----------|------------------|----------------|
| $\omega_1$ | 0,0745x10⁻²⁴ | 0,0982x10⁻⁰ | 1,6953x10⁻²⁷ | 0,0186x10⁻¹⁵ | 1,1001x10⁻⁴⁰ |
| $\omega_2$ | 0,0805x10⁻²⁴ | 0,1233x10⁻⁰ | 2,3306x10⁻²⁷ | 0,0277x10⁻¹⁵ | 1,1904x10⁻⁴⁰ |
| $\omega_3$ | 0,0885x10⁻²⁴ | 0,1214x10⁻⁰ | 3,4193x10⁻²⁷ | 0,0447x10⁻¹⁵ | 1,3092x10⁻⁴⁰ |
Table 5 Parameters which describe the strength of atomic and molecular optical transitions when x = 50% mol of WO₃.
| e⁻ transition | $B_{12}^{\omega}$ | $b_{12}(\omega)$ | $A_{21}$ | $B_{21}^{\omega}$ | $\mu_{21}^{2}$ |
|---------------|------------------|-----------------|----------|------------------|----------------|
| $\omega_1$ | 0,2816x10⁻²⁴ | 0,2544x10⁻⁰ | 3,4095x10⁻²⁷ | 0,0303x10⁻¹⁵ | 4,1629x10⁻⁴⁰ |
| $\omega_2$ | 0,1485x10⁻²⁴ | 0,1485x10⁻⁰ | 2,9646x10⁻²⁷ | 0,0311x10⁻¹⁵ | 2,1955x10⁻⁴⁰ |
| $\omega_3$ | 0,0736x10⁻²⁴ | 0,0856x10⁻⁰ | 2,0473x10⁻²⁷ | 0,024x10⁻¹⁵ | 1,0882x10⁻⁴⁰ |
Conclusions:
The cross-sections of cobalt absorption are similar in the cases of $x = 20$ mol% WO$_3$ and $x = 30$ mol% WO$_3$ and in the cases of $x = 10, 40$ and $50$ mol% WO$_3$.
There have been calculated and compared Einstein A and B coefficients and transition dipole moments for all Co doped glasses ($x = 10-50$ mol% WO$_3$). The spontaneous emission of glasses increases when the concentration of WO$_3$ increases. The same situation is observed with values of transition dipole moment. These two conclusions are not valid in the case of $x = 50$ mol% WO$_3$.
Acknowledgments
Partial financial support by project of Shumen University (2014) is gratefully acknowledged.
References
[1] T. Abritta, F. H. Black, J. Lumin., 48 558 (1991).
[2] M. B. Camargo, R. D. Stultz, M. Birnbaum, M. Kokta, Opt. Lett., 20 339 (1995).
[3] V. Sudarsan, S. K. Kulshreshtha, J. Non-cryst. Solids, 286 99 (2001).
[4] B. Ancora, M. Magini, A. F. Sedda, J. Chem. Phys., 88 2015 (1988).
[5] V. Velev, A. Popov, P. Kyurkchiev, L. Veleva, R. Mateva, Journal Scientific and Applied Research, Vol. 4 235 (2013).
[6] Optical Properties of Condensed Matter and Applications, Edited by Jai Singh, John Wiley & Sons (2006).
THERMAL RESISTANCE OF POLYETHYLENE TEREPHTHALATE FIBRES
Valentin Velev\textsuperscript{1}, Anton Popov\textsuperscript{2}, Lyubomira Veleva\textsuperscript{3}, Nikola Todorov\textsuperscript{2}
\textsuperscript{1}KONSTANTIN PRESLAVSKY UNIVERSITY, 9700, SHUMEN, BULGARIA
\textsuperscript{2}UNIVERSITY "Prof. D-r. ASSEN ZLATAROV" – BURGAS, 8000, BURGAS, BULGARIA
\textsuperscript{3}PAUL SCHERRER INSTITUTE, NUCLEAR ENERGY AND SAFETY DEPARTMENT, SWITZERLAND
ABSTRACT: The thermal resistance of isotropic and orientated poly(ethylene terephthalate) (PET) samples was studied. Part of the oriented PET specimens was heat mechanically modified under different conditions. Using differential thermal analysis (DTA), thermal gravimetric analysis (TGA) and differential thermal gravimetric analysis (DTGA) it was investigated the influence of the forming methods and the modes of heat mechanically treatment on the relative samples thermal oxidation stability. It was determined basic thermodynamic and kinetic parameters, as well as the limiting mechanisms of the basic destruction of the PET objects.
KEY WORDS: poly (ethylene terephthalate), fibers, thermal resistance, destruction, differential thermal analysis (DTA), thermal gravimetric analysis (TGA).
1. Introduction
The main purpose of the heat mechanical modification of polyethylene terephthalate (PET) fibers is an improvement of their strength-strain properties. The improvement of the modular and strength characteristics of the polymer fibers can be realized primarily through the optimization of the manner and the packing density of the macromolecular chain segments (MMCS) in the process of uniaxial orientation drawing.
The final result from the uniaxial download is a consequence of the complex temperature-temporal superposition of the filaments deformation process. Depending on the drawing speed and temperature, the results of the non-destructive fibers deformation also depend from the optimal for the corresponding temperature and starting structure applied to the objects tensile stress. The orientation download is a complex combination from the mutually rival alternative processes of orientation and destruction of the MMCS. Both processes are strongly temperature dependent due to the thermal fluctuation nature, of both the orientation and untangling of the knots in the amorphous regions and the destruction of the overstretched segments. Therefore, it is
necessary the fibers heat mechanical modification to be realized at an elevated temperature, but insufficient for carrying of intensive destruction of the polymer system. On the other hand, the external mechanical impact creates conditions for structurally determined micro local overloads and overheatings in the polymer volume.
For this reason the temperature prehistory of the objects is difficult predictable and controllable. Thus especially important for the optimum carrying out of the thermal mechanical modification is the detailed study of the heat-physical properties and thermal stability of the polymer fibers. This requires research on different starting structures with various temperature and mechanical background.
To identify the changes in the chemical composition under different temperature and mechanical modifications defining the initiation of the thermal oxidation destruction (TOD), except heat-physical and thermal analysis are necessary and various spectroscopic and other structural studies. For the selection of optimal conditions for thermo mechanical modification (TMM) most important and chronologically first are the thermo-gravimetric studies.
These initial studies are needed to clarify the temperature range, mechanism and the kinetics of TOD for the various tested objects as well as for planning of an experiment for a comprehensive study of the TOD of PET fibers.
2. Experimental
Temperature, mechanical and other physical impacts affect the qualitative and quantitative composition on the contained in the polymer materials low molecular and oligomeric compounds which can act as initiators and accelerators of TOD. Simultaneous administration of more than one similar influence strongly impedes the prediction of their combined effect on the strength-strain behavior of the objects. This is due to the emerging micro local overheating caused by mechanical super stresses in structural not homogeneity in the fibers.
Therefore often such modifications polymeric fibers lead to difficult to interpret and forecast results. In such cases, most reliable way to evaluate the results is the real specific experiment. To study the influence of the technological background and the additional TMM on the thermo physical properties and thermal stability of the studied objects were tested starting PET - granulate (sample № 1) and fibers formed and downloaded under different conditions on its basis. The granules possess close to the nascent structure of PET and it is not affected by multiple recrystallizations from different primary and secondary processing.
Some key parameters of the fiber forming and characteristics of the tested specimens are given in Table 1. In order to establish the role of the additional
TMM on thermo-physical properties and thermal stability except PET granules and fibers were studied and thermo mechanically modified PET fibers, too.
Table 1. Basic forming parameters and physical characteristics of the studied PET fibers.
| Sample № | V_L, m/min | n | d, μm | Δn. 10^3 | α, % |
|----------|------------|-----|-------|----------|------|
| 2 | 1150 | 32 | 44,0 | 8 | 1,7 |
| 3 | 2280 | 32 | 14,5 | 4,32 | 23,7 |
| 4 | 4110 | 32 | 11,0 | 5,82 | 37,0 |
1. Sample; 2. V_L, m/min – fiber forming speed; 3. n – number of the single fibers in the filament yarn; 4. d, μm – single fiber diameter; 5. Δn – birefringence; 6. α, % - degree of crystallinity.
Conditions on TMM of the analyzed samples are shown in Table 2. Thermo mechanical modification of the studied PET fibers was performed using the designed and manufactured in the Laboratory “Physics of the polymers” in University of Shumen "Bishop K. Preslavski" setup for heat mechanical treatment of oriented polymer materials.
Table 2. TMM parameters of the studied PET fibers.
| Sample № | V, m/min | T_dr, °C | V_dr, m/min | ε, % |
|----------|----------|----------|-------------|------|
| 5 | 2280 | 80 | 0,1 | 60 |
| 6 | 4110 | 80 | 0,1 | 60 |
| 7 | 2280 | 95 | 0,1 | 60 |
| 8 | 4110 | 95 | 0,1 | 60 |
1. Sample; 2. V, m/min – fiber forming speed; 3. T_dr, °C – drawing temperature; 4. V_dr, m/min – drawing speed; 5. ε, % - relative fibers elongation.
The thermal analyses on the treated objects are carried out by using an apparatus for combined dynamic thermal analysis Derivatograf OD - 102 (MOM - Hungary). Registered are: TG - thermogravimetric curve, DTG - differential thermogravimetric curve and DTA - differential thermo-analytical curves under the following experimental conditions: temperature range 20 – 600 °C, heating
rate of 6 deg/min; sample mass of 50 ± 1 mg; pot - metal-ceramic; environment - air (static).
From the obtained thermal curves are determined a number heat-physical and thermal characteristics of the tested samples, some of which are presented in Table 3.1 and 3.2. The associated with structural phase reorganization heat-physical effects before the beginning of the thermal oxidation destruction were confirmed and with the method of differential scanning calorimetry whose results will be reported in our future work.
Table 3.1. Thermal, thermodynamic and kinetic parameters of PET objects obtained and modified under different conditions.
| № | VP, % | T_em, °C | T_onset, °C | T_max, °C | T_end, °C |
|---|-------|----------|-------------|-----------|-----------|
| 1 | 1,02 | 232-254 | 342 | 422 | 451 |
| 2 | 1,71 | 219-250 | 341 | 421 | 451 |
| 3 | 1,76 | 212-249 | 340 | 420 | 450 |
| 4 | 3,05 | 195-259 | 338 | 419 | 442 |
| 5 | 1,47 | 214-251 | 330 | 410 | 441 |
| 6 | 1,40 | 191-250 | 321 | 411 | 434 |
| 7 | 1,42 | 221-251 | 328 | 409 | 444 |
| 8 | 2,02 | 110-165 | 328 | 410 | 449 |
No - sample number;
VP, % - quantity of the volatile products emitted prior to the main mass destruction;
T_em, VP, °C - temperature ranges of emission of VP;
T_onset, °C – onset temperature of the main TOD;
T_max, °C – temperature of maximum TOD speed;
T_end, °C – temperature of the end of major TOD.
The mechanism and kinetics of TOD are determined on the basis of thermo gravimetric data using a methodology as well as the authors made computer program whose theoretical foundations are contained in the works [1-15].
In general the kinetics of solid-phase processes, in the present case, can be described analytically through the conversion α [1]:
\[
\int_{0}^{\alpha} \frac{d\alpha}{\alpha^{m}(1-\alpha)^{n}[-\ln(1-\alpha)]^{p}} = \frac{A}{q} \int_{0}^{T} \exp(-\frac{E}{RT}) dT
\]
where: A – before exponential (frequency) multiplier;
q – speed of linearly temperature change (\( q = dT/d\tau = const \));
E – seeming activation energy;
R – the universal gas constant;
T – absolute temperature.
Table 3.2. Thermal, thermodynamic and kinetic parameters of PET objects obtained and modified under different conditions.
| № | Limiting mechanism, Lit. [8] | A, s\(^{-1}\) | \(E_a\), kJ/mol | \(\Delta S^\#\) J/mol.K | \(\Delta H^\#\) kJ/mol | \(\Delta G^\#\) kJ/mol |
|---|-----------------------------|---------------|-----------------|--------------------------|------------------------|------------------------|
| 1 | 2** | 3,6.10\(^{12}\)| 198 | -56,9 | 191,5 | 230,2 |
| 2 | 2 | 4,6.10\(^{11}\)| 193 | -71,1 | 183,3 | 236,1 |
| 3 | 2 | 3,7.10\(^{12}\)| 201 | -53,1 | 189,0 | 235,2 |
| 4 | 2 | 1,43.10\(^{9}\)| 163 | -119,3 | 154,2 | 240,1 |
| 5 | 1* | 5,3.10\(^{15}\)| 235 | 6,92 | 229,0 | 223,1 |
| 6 | 2 | 8,21.10\(^{9}\)| 167 | -104,1 | 159,4 | 230,0 |
| 7 | 1 | 2,7.10\(^{14}\)| 217 | -18,8 | 213,9 | 226,2 |
| 8 | 1 | 2,1.10\(^{13}\)| 201 | -40,01 | 196,2 | 226,1 |
№ - sample number;
limiting mechanism;
\(A, s^{-1}\) - before exponential (frequency) multiplier;
\(E_a, kJ/mol\) – seeming activation energy;
\(\Delta S^\#, J/mol.K\) – the entropy at \(T = T_{max}\);
\(\Delta H^\#, kJ/mol\) – the enthalpy at \(T = T_{max}\);
\(\Delta G^\#, kJ/mol\) - the free energy at \(T = T_{max}\).
* mechanism of accidentally formation and consequent nuclei increase with \(n = 1\),
marked with A1F1, \(g(\alpha) = -\ln(1-\alpha)[1, 9-11]\);
** mechanism of a chemical reaction, with \(n = 3/4\), marked with F\(_{3/4}\), \(g(\alpha) = 1 - (1-\alpha)^{1/4}[1, 9-11]\).
Perhaps these are mechanisms that determine and the active participation of the oxygen from the air in the system.
From the observable form of the integrand function:
determined in the case from the limiting the speed of the destruction phase, depends on the algebraic form of the decision \( g(\alpha) \) of the conversion (the left in the equation 1) integral (table 3 in a note), and the temperature [2,3,5]:
\[
\int_0^T \exp\left(-\frac{E}{RT}\right) dT = \frac{E}{R} \frac{\exp(-x)}{x^2} h(x)
\]
(3)
- by an emerging form of \( h(x) \), whose value for not especially precise calculations is assumed per unit [6 ]:
\[
h(x) = \frac{x^4 + 18x^3 + 88x^2 + 96x}{x^4 + 20x^3 + 120x^2 + 240x + 120}
\]
(4)
, where \( x \) is the reduced activation energy (E/RT).
These solutions are applicable to the iso conversion method, and for the data from the individual a thermogravimetric (TG) curve.
Using information from the TG and DTG curves of the objects, the calculation method of Cats and Redfern [3] and with 35 known in the literature reference functions [4, 9] through the above-mentioned software are defined the effective kinetic parameters - the activation energy \( E_a \) [5, 8], before the exponent in the known Arrhenius equation for the rate constant of the chemical reaction - A [5] and the most likely mechanisms [8] of the basic thermal oxidation destruction of the samples (340\(^\circ\)C - 450\(^\circ\)C).
From the known thermodynamic equations for the Gibbs free energy and the theory of the activated complex (transition state) of Eyring [7, 12-15] are defined the enthalpy \( \Delta H \), the entropy \( \Delta S \) and the free energy \( \Delta G \) at \( T_{\text{max}} \). As an additional criterion for assessing of the reliability of the destruction mechanism are determined and the coefficients of the linear regression in the calculation of \( E_a \).
4. Discussion
The main idea and the logic of the experiment and discussion aimed to clarify optimal in respect of TOD processing conditions, or various types of thermal modification of PET fibers. Even when working away from the temperature range of main TOD, following multiple cyclic thermal loads are creating conditions for additive increase of the chemical pollution of the polymer with degradation products, which are the initiators and accelerators of the destruction.
Due to the possibility for strong micro local overheating, the combined thermo mechanical impact increases the probability of such effects. Aging in real conditions under permanent or periodic load over time complicates considerably the uncertainty of such processes.
Their elucidation requires extensive thermal, calorimetric, spectroscopic, mechanical, microscopic and others research. This work aims initial determination of some basic thermal, thermodynamic and kinetic characteristics of the destruction of thermo mechanical modified under different conditions PET fibers, together with methodological approbation of the possibility to determine the mechanism of their destruction.
The ability for correctly identify of unambiguous differences in the thermal stability of a similar in composition and physical structure polymer fibers, in particular PET could help to clarify the mechanisms and kinetics of the structural reorganization and destruction under heating, and would allow reliable prediction of optimal conditions for their processing.
In the present initial experiments were investigated only granules of the starting PET, virgin fibers molded at three different speeds of fibrillate (Table 1) as well as further withdrawal (Table 2) at various temperatures.
Were examined the thermo physical behavior and destruction, in terms of the initial filaments structure (degree of crystallinity and orientation) and the temperature - temporal background - unmodified and thermo mechanically modified at different temperatures.
At the same download speed on the same objects the different temperatures determine different loads. The oriented stresses in micro areas of different sections of the objects volume fluctuate reciprocal of the respective fluctuations of the physical density. The specimen density depends ambiguous from the starting morphology and the degree of orientation of the sample. These are some of the factors that determine the complex course of the thermal curves on the studied fibers.
On the other hand, the thermal effects on the registered DTA, DTG and DSC curves, with temperature increasing, show (more clearly or slightly, and with different temperature deviation) several areas: 1 - of glass transition temperature, 2 - low temperature ("cold") crystallization; 3 - release of volatile products (LP); 4 - before crystallization; 5 – melting; 6 - destruction.
Glass transition is less marked, with different intensity and distribution profile with a maximum in the temperature range $70^\circ C$ - $80^\circ C$. At the oriented samples are observed effects of asymmetry and excess, and possibly with a poly modality but due to the low intensity of the processes even at the DSC-curves is not possible decomposition or any other processing of the peaks profile.
"Cold" crystallization occurs with a maximum in the range $110^\circ C$ - $130^\circ C$. At the granules, it is very poorly marked about $115^\circ C$ and in the fibers produced at a low speed of fiber forming (sample 2) the "cold" crystallization exhibits a
distinct right asymmetry corresponding to the higher temperature relaxation as a result of the orientation. The separating of volatiles products is possible in the temperature range $100^\circ C - 250^\circ C$. These products could be moisture or other low molecular weight oligomeric products associated with the production and modification of the polymer and fibers. Their content in the studied objects is 1-3 %. Lowest one is the content of volatiles in the granules, and highest in the molded at a high speed and drawn at high temperature samples. For the samples that are not additionally heated (1-4) the basal amount of volatile products are removed immediately before the melting at temperatures $190^\circ C - 250^\circ C$, while at the thermo mechanically processed samples (5-8) the separation starts at $100^\circ C - 150^\circ C$.
For the treated at the highest temperature sample 8 the volatiles are fully removed up to $150^\circ C$. If all this is connected with the earlier and increased destruction (Table 3) can be assumed that the process is due to the increased fragmentation at high-temperature thermo mechanical modification.
Prior crystallization in the range of $210^\circ C - 250^\circ C$ is observed only for the molded at high speed samples 3 and 4. Probably the process is due to crystallization of highly oriented regions at temperatures near the melting temperatures of the most imperfect crystalline formations.
Thermo mechanically processed samples 5-8 do not show noticeable "cold" crystallization and before crystallization, which suggests depletion of the adequate resources for the realization of the process in the conditions of thermo mechanical modification. The melting of primary and secondary crystalline phases is registered most often in the range $240-260^\circ C$. The highest degree of crystallinity shows the modified at $95^\circ C$ PET fibers. Multiple melting peaks indicate samples 1, 3, 4, which is an indication of very different in size and perfection crystallites or regions of coherent scattering of the PET crystal phase. The existence of two separate melting peaks for samples 6 at $270^\circ C$ and 8 at $300^\circ C$ is perhaps testimony to the presence of polymorphisms in PET or formation of crystals with stretched chains, which is possible under effects of major orientation stresses typical for these samples. The clarification of these issues requires detailed X-ray structural studies.
Analyzing the results for the different thermal characteristics of the studied objects is observed a trend of slightly decrease of the temperatures determining the relative thermal oxidation stability of PET with increasing the fiber forming speed and the temperature of TMM. The effective activation energy of the reactions of the total destruction also decreases.
This means that the heat treatment, and especially the combined TMM, reduces the initial thermal stability of PET. More significant are the changes in samples 4, 6, 8, at the expense of much weaker ones at 3, 5, 7, which is quite logical in terms of the above reached conclusion.
The formed radicals under the analysis conditions form hydro peroxides structures which are initiators of TOD. The found main limiting mechanisms of thermal oxidation destruction are not changed as a result of the processing. These are basically two competing mechanisms:
1) mechanism of accidental formation and subsequent growth of germ nuclei of the destruction, with \( n = 1 \), which is typical for the chain processes in polymers, indicated in the cited literature as A1F1 (describing with the equation of Avrami-Erofeev, \( g(\alpha) = -\ln(1-\alpha) \));
2) mechanism of chemical reaction with \( n = \frac{3}{4} \), indicated with F\(_{3/4}\) (\( g(\alpha) = 1-(1-\alpha)^{1/4} \)) [1]. Perhaps these are mechanisms determining and from the active participation of oxygen from the air in the system.
The entropy change in most cases have a negative sign (Table 3), which is an indication of the higher organization degree of the system in "the transition state" compared to the baseline one. I.e. increases the negentropy, the order in the system which requires energy.
Positive values of the enthalpy change and the Gibbs free energy also show that the investigated processes are not spontaneous and are characterized by the corresponding potential barriers and activation energies.
From the studies carried out it can be concluded that the precise qualitative and quantitative assessment of the destruction and its modification can serve as a good criterion for the effectiveness of carrying out of TMM.
The reliability of the assessment could be increased in combination with other physical methods of examination as spectroscopic, mechanical, microscope, etc. Unambiguous tying of the full range of the possible mechanisms of destruction of any object, with the terms of modification and the initial structure (crystallographic and morphological) with all its prehistory would ensure the objectivity of the assessment and allow prediction of the results of TMM, as well as the thermal stability and kinetics of realization of TOD.
The use of the iso conversion method and its modified versions for collecting and processing of large databases thermal and thermo gravimetric information would allow not only increasing of the estimates accuracy but also the qualitative enrichment of the spectrum of possible mechanisms and their individual details. This will open new horizons for improving the accuracy and reliability. A similar optimistic prognosis is not fiction, taking into account that any larger plurality of more precisely obtained reliable data enables more accurate functional description, by means of well defined regression analysis.
A good idea is to investigate the destruction kinetics of various modified PET films and fibers by iso-conversion method, employing a statistics of thermo gravimetric data at various values of the experimental parameters.
Thermo gravimetric data could be obtained under various heating rates, various masses of the studied objects, different preliminary chemical
composition (by drying and extraction of low molecular compounds), various strictly-defined and accurately determined highly distinct starting structure with different thermal, etc. physical background, followed by a complex joint interpretation.
A similar approbation of the idea for conversion of the thermal destruction and its change in a convenient criterion for evaluation of the conditions for TMM very likely would help to obtain better results and ideas for a better experiment.
5. Conclusions
1. Using differential thermal analysis (DTA) was studied isotropic PET, fibers obtained therefrom at various fiber forming speeds, as well as thermo mechanical modified fibers at different temperatures. In PET-fibers obtained at low fibrillate speeds of 1150 m/min were observed exothermic effects of "cold" crystallization at temperatures around 115°C - 120°C.
At fiber forming speed of 4100 m/min, the phenomenon of "cold" crystallization at the above mentioned temperatures gradually fades, but appears the effect of the so-called before crystallization or crystallization at temperatures immediately before the melting of the main crystalline phase in the range 220°C -250°C. It can be assumed that the fiber forming at high-speed impedes the spontaneous crystallization at lower temperatures.
2. At heat mechanical modified PET fibers noticeable thermal effects of "cold crystallization" missing, which implies depletion of the objects relaxation possibilities in terms of its realization. Proof of this are the higher degree of crystallinity determined in our other studies, and the observed multiplicities of the melting endothermic effects due to differences in size, perfection and stability crystallites formed under different conditions of disequilibrium crystallization. The fibers drawn at 95°C show also effects of fusion of new crystalline phases or crystallites with stretched chains at temperatures higher than 260°C.
3. Applying the methods of TG, DTG and DTA was studied the influence of different ways for obtaining and heat mechanical objects treatment on the relative samples thermal oxidation stability. Are determined the effective kinetic parameters, the most likely summary mechanisms of the main thermal oxidation destruction as well as the enthalpy change, entropy and the free energy at the temperature of maximum destruction rate.
It was found that any additional processing of PET, leads to an increase of the amount and decrease of the temperature range of removal of the volatile products in the system. There is a tendency of a slight decrease of the relative thermal stability of the treated samples, except samples 5 and 7 obtained at fiber forming speed of 2280 m/min.
4. The specified limiting mechanisms of the base destruction of the PET objects are two competing mechanisms (1 - accidental formation and subsequent
growth of the nuclei with \( n = 1 \) and 2 - a mechanism of a chemical reaction with \( n = \frac{3}{4} \), whose priority at the different objects do not shows visible depending from the used so far modification conditions.
This determines the need to extend the experimental conditions to the maximum possible for realization differences in regard to starting structures, objects background, speed, temperature and variants of stretching, ensuring the realization of very different orientation stresses.
5. Established is the possibility of using the evaluation of the thermal stability, its modification as well as the TOD kinetics for determining the suitability and effectiveness of the conditions for TMM of PET fibers. On this basis, is shown the need to develop such studies with application of new schemes for planning and realization of the experiment.
**Acknowledgment**
Part of the present work has been supported by Fund Scientific Investigations – 2014 (Grant № РД-08-226/12.03.2104) from Konstantin Preslavsky University, Shumen.
**References**
[1] Dimitrova A., Genieva S., Vlaev L., *Godishnik na Universitet "Prof. D-r. Asen Zlatarov" – Burgas*, vol. XXXVI(1), 7–14, 2007;
[2] Horowitz H. H., Metzger G., *Analyt. Chem.*, 35, p. 1464, 1963;
[3] Coats A. W., Redfern J. P., *Nature (London)*, 201, p. 68, 1964;
[4] Ninan K. N., *J. Thermal Analysis*, 35, p. 1267, 1989;
[5] Ozawa T., *Bull. Chem. Soc. Japan*, 38, p. 1881, 1965;
[6] Senum G. I., Yang R. T., *J. Thermal Anal.*, 11, p. 445, 1977;
[7] Šesták J., *Thermodynamical Properties of Solids*, Academia Prague, 1984;
[8] Liqing L., Donghua C., *J. Thermal. Anal. Cal.*, 78, p. 283, 2004;
[9] Šesták J., Bergner G., *Thermochim. Acta*, 3, p. 149, 1971;
[10] Heide K., Höland W., Gölker H., Seyfarth K., Müller B., Sauer R., *Thermochim. Acta*, 13, p. 365, 1975;
[11] Zhang J. J., Ge L. G., Zha H. L., Dai Y. J., Chen H. L., Mo L. P., *J. Thermal Anal. Cal.*, 58, p. 269, 1999;
[12] Bamford, Eds. C. H. and C. F. H. Tipper, *Comprehensive chemical kinetics*, vol. 22, *Reactions in the solid state*, Elsevier sci. Publ. Comp., Amsterdam, 1980.
[13] Cordes, H. M., *J. Phys. Chem.*, 72, p. 2185, 1968;
[14] Criado J. M., Perez-Maqueda L. A., Sanches-Jimenez P. E., *J. Therm. Anal. Cal.*, 82, p. 671, 2005;
[15] Sokolskii, D. V., Druz V. A., *Introduction in theory heterogeneous Catatysis*, Moscow, Vyschaya Shkola, (in Russian), 1981.
MODELING OF THE INFLUENCE OF THE THERMOMECHANICAL MODIFICATION PARAMETERS ON THE STRUCTURAL CHANGES IN POLYESTER FIBERS
Valentin Velev¹, Valentin Grozev¹, Anton Popov², Rene Androsch⁴, Todor Dimov¹, Lyubomira Veleva³, Hans-Joachim Radusch⁴
¹KONSTANTIN PRESLAVSKY UNIVERSITY, 9700, SHUMEN, BULGARIA
²UNIVERSITY "PROF. DR. ASSEN ZLATAROV" – BURGAS, 8000, BURGAS, BULGARIA
³PAUL SCHERRER INSTITUTE, NUCLEAR ENERGY AND SAFETY DEPARTMENT, SWITZERLAND
⁴MARTIN LUTHER UNIVERSITY, HALLE-WITTENBERG, CENTER OF ENGINEERING SCIENCES, 06217, MERSEBURG, GERMANY
Abstract: In the present work is proposed an attempt for modeling of the complex influence of the heat mechanical treatment parameters on the structure developments in as-spun polyester fibers.
Freshly molded poly(ethylene terephthalate) (PET) filaments with different preliminary orientation were subjected to simultaneously thermal and mechanical treatments. PET yarns were sequentially undergoing to uniaxially strain-stress with values of 40 MPa, 80 MPa, and 120 MPa at three different temperatures in a narrow temperature range from 85⁰C to 95⁰C.
Differential scanning calorimetry (DSC) has been used to study the structural rearrangements in the heat-mechanically processed PET fibers.
Response equations have been obtained showing the relationship between the parameters of the thermal deformation experiment and the desired degree of crystallinity of the studied PET fibers.
Key words: poly (ethylene terephthalate), fibers, heat - mechanical treatment, tensile stress, strain-induced crystallization, modeling, differential scanning calorimetry.
1. Introduction
It is well known that anisotropic systems such as crystals [1, 2] and oriented polymeric materials have specific physical properties. The final properties of the oriented polymeric materials are highly dependent on their super molecular structure [3-6].
In the case of the polymeric fibers, the end structure is mainly due to the melt spinning conditions and the subsequent heat mechanical treatment too. During the moulding process into the fibers arise formations with enhanced order, meso-phases, as well as zones containing crystalline phases with a
different perfection which at appropriate conditions can be converted into crystal nucleus, and they are the so-called semi-crystalline nuclei. Another result of the filaments spinning is the formation of areas with frozen stresses in them. Often, with purpose to improve the fibers mechanical properties they are subjected to heat mechanical orientation modification. The simultaneous thermal and mechanical processing of oriented polymer systems is extremely complex and based on statistical and probabilistic processes. Poly (ethylene terephthalate) (PET) is a crystallizable thermoplastic polymer with relatively high glass transition temperature and low crystallization rate and therefore with large practical usages very often in the form of filaments and folios. The role of some basic parameters of heat-mechanical orientation modification parameters such as the tensile force, strain rate and temperature on the phase development of PET have been well studied and reported. There are publications regarding uniaxially oriented PET subjected to isothermal treatment without application of stress [7,8], isothermal treatment with application of stress and to non-isothermal treatments under stress [9,10]. Regardless of the great number of carried out investigations the optimal realization of high-temperature orientation modification of PET fibers remains not yet sufficiently studied process. Are not yet sufficiently studied relationships between the interrelated processes strain-induced crystallization and stress–strain behaviour of PET filaments. Moreover, there is not a clear answer if the final filament structure depends mainly on the applied stress or on the heat treatment itself. The effect of the preliminary molecular orientation and combined heat mechanical treatments in the temperature region immediately above the glass transition temperature from $85^\circ\text{C}$ to $95^\circ\text{C}$ on the structural reorganization of PET yarns is also not been investigated enough. Part of the above questions can be clarified using response surface methodology (RSM) [11]. The RSM allows us to develop a mathematical model that represents all variations in the expected value of the degree of crystallinity as the values of processing temperature and the strain stress are varied. The resulting model can be used for the purposes of optimization, determination of the main effects and interactions of the factors. Here we present part of the experimental results pertaining to the relationships between the basic heat-mechanical modification parameters and the structural development in freshly moulded poly (ethylene terephthalate) (PET) filaments with different preliminary orientation. Furthermore the present work is an attempt for modeling of the influence of the heat mechanical modification parameters on the structural changes in partially crystalline PET fibers.
2. Materials and methods
2.1. Materials
Poly (ethylene terephthalate) (PET) fibers named S1 and S2 were used as precursor samples. PET yarns were prepared by melt spinning on the industrial spinning machine Furnet (France) using variable take-up velocities and under production conditions as follows:
- melt output of 10.8 g/min;
- number of the fibers in yearn 32;
- yearn linear density $\rho_l = 48$ dtex.
The basic characteristics of the original filaments are shown in Table 1. All fibers characterizations given in Table 1 were carried out before the heat mechanical treatments.
Table 1. Basic characteristics of the investigated filaments.
| Sample | $V_L$, m/min | d, $\mu$m | $\Delta n.10^3$ | $\alpha$, % |
|--------|--------------|-----------|-----------------|-------------|
| S1 | 4110 | 11,0 | 6,35 | 36.9 |
| S2 | 2805 | 13,0 | 5,35 | 28.8 |
1. Sample; 2. $V_L$, m/min – take-up velocity; 3. d, $\mu$m – diameter of the single fiber; 4. $\Delta n$ – birefringence; 5. $\alpha$, % - degree of the sample crystallinity.
As it can be seen from the table the selected specimens are spun at different spinning speeds and thus with different preliminary orientation. So they are suitable for the achievement of the above-defined purpose of the present study.
2.2. Methods
2.2.1. Birefringence
The birefringence measurements of the studied PET fibers were performed using a polarizing interference microscope equipped with a CCD camera [12]. The main element of the experimental set-up is the system of a polarizer (P), analyzer (A) and birefringent fiber (F) in between and it is the so-called “P-F-A” system. The transmitting directions of the polarizers P and A are mutually perpendicular (crossed polarizers). The studied fiber can be rotated round the optical microscope axis.
2.2.2. Differential scanning calorimetry (DSC)
Structural development occurred in the studied fibers as a result of the simultaneous thermal and mechanical modifications were investigated using
differential scanning calorimetry (DSC). The samples degree of crystallinity $\alpha$ was calculated using the data obtained by DSC. A Mettler-Toledo DSC-820 heat-flux module equipped with liquid nitrogen accessory was used for the calorimetric studies. The furnace was purged with nitrogen at a flow rate of 80 $ml.min^{-1}$. Temperature calibration was done using the onset melting temperatures of indium and zinc, and the energy calibration was based on the heat of fusion of indium. Fibers were cut in pieces of less than 1 mm and sealed in standard 40 $\mu l$ aluminium pans. The value of the bulk heat of fusion of crystalline PET was taken from the literature.
### 2.2.3. Heat-mechanically modification
The thermal and mechanical treatments were carried out using an apparatus constructed and produced in our laboratory. The gear involves a horizontal stand with rails, a movable cylindrical oven located on the rails and a device for the sample deformation reading. The heat-mechanical treatment includes PET bundle annealing during ten minutes at the needed temperature followed by the sheaf loading with well defined tensile stress during 120 seconds (Table 2).
**Table 2. Temperatures and strain stresses of the heat mechanical fibers treatments.**
| t, °C | $\sigma$, MPa |
|-------|---------------|
| | 40 | 80 | 120 |
| 85 | | | |
| 90 | | | |
| 95 | | | |
The structural characterizations of the studied fibers are realized after the above described heat-mechanical treatment experiments, using DSC and birefringence measurements.
### 2.2.4. Mathematical Modeling
The mathematical models describe the functional relationship between independent variables (input factors) and the corresponding prediction of the responses. According to our preliminary study, the degree of crystallinity of samples ($\alpha_{S1}$ and $\alpha_{S2}$) can be represented by means of incomplete third - order polynomials:
$$\alpha_s = b_0 + b_1 x_1 + b_2 x_2 +$$
$$+ b_{12} x_1 x_2 + b_{11} x_1^2 +$$
$$+ b_{22} x_2^2 + b_{112} x_1 x_1 x_2$$
(1)
where:
\( \alpha_S \) – degree of crystallinity responses of samples 1 and 2, %;
\( x_1, x_2 \) – independent variables processing temperature, \( ^\circ C \) and the strain stress, MPa, respectively;
\( b_0, b_1, b_2, b_{12}, b_{11}, b_{22}, b_{112}, b_{211} \) – regression coefficients.
The selection of the levels for the factors (Table 3) was carried out based on the results obtained in our preliminary studies [10, 12].
**Table 3. Independent variables and their levels expressed in coded and natural units**
| Independent variables | Levels |
|-----------------------|--------|
| | \( x_i = -1 \) | \( x_i = 0 \) | \( x_i = 1 \) |
| Processing temperature \( x_1, ^\circ C \) | 85 | 90 | 95 |
| Strain stress \( x_2, MPa \) | 40 | 80 | 120 |
All experiments were performed using symmetrical block design for the two factors given in Table 3.
### 3. Results and Discussion
The experimental design and the obtained results are presented in Table 4.
**Table 4. Matrix of the experiments and the results**
| Encoded values of factors | Degree of crystallinity \( \alpha, \% \) |
|---------------------------|----------------------------------------|
| | Sample 1 | Sample 2 |
| \( x_1 \) \( x_2 \) | | |
| 1 1 | 42.5 | 42.8 |
| -1 1 | 38.8 | 42.0 |
| 1 -1 | 37.0 | 39.8 |
| -1 -1 | 37.1 | 36.0 |
| 1 0 | 41.0 | 39.2 |
| 0 1 | 41.7 | 42.0 |
| -1 0 | 40.4 | 40.4 |
| 0 -1 | 34.7 | 37.4 |
| 0 0 | 40.0 | 38.4 |
Seven additional experiments in the centre of the plan were conducted in order to evaluate the significance of the linear and interaction coefficients. The calculations indicate that all of them are statistically significant (Table 5). The coefficient \( b_{112} \) of sample 2 has low value of 0.05 and therefore should be excluded.
The experimental results were fitted to the incomplete third-order model (1) and the following regression coefficients were computed (Table 5). The adequacy of the model was verified by evaluating the coefficient of multiple correlations $R$ [11]. The results at significance level $\alpha = 0.05$ are shown in Table 5.
**Table 5. Values of the regression coefficients**
| Sample № | Values of the regression coefficients | $(\nu S_e)^{0.5}t$, $(gS_e)^{0.5}t$, | $R^2$ | R | F | $F(\alpha, v_1, v_2)$ |
|----------|--------------------------------------|-------------------------------------|-------|---|---|------------------------|
| 1 | $b_0=40.022222$ | $b_{11}=0.667$ | 0.13 | 1 | 1 | $\infty$ |
| | $b_1=0.300$ | $b_{22}=-1.833$ | 0.15 | | | 237 |
| | $b_2=3.500$ | $b_{112}=-1.700$ | | | | |
| | $b_{12}=0.950$ | $b_{122}=0.6000$ | | | | |
| 2 | $b_0=38.8222$ | $b_{11}=-0.7667$ | 0.11 | 0.99 | 0.99 | 34 | 19 |
| | $b_1=-0.600$ | $b_{22}=0.6668$ | 0.14 | | | |
| | $b_2=2.030$ | $b_{112}=0.050$ | | | | |
| | $b_{12}=-0.75$ | $b_{122}=1.7500$ | | | | |
All predicted values of the mathematical models can be visualized using 3-D surface chart and contour plots (Figs. 1, 2). Maximum (over 42%) and minimal (less than 37%) values of degree of crystallinity are marked on the wire frame contour charts in Fig. 2. The main effect plots (Fig. 3) identify strain stress as the first factor in importance in the degree of crystallinity responses for both specimens. The values of the main effects of the strain stress for the samples 1 and 2 are $ME_{S1} = 7$ points and $ME_{S2} = 4$ points respectively.
**Fig. 1.** 3-D response surface chart of the degree of crystallinity as a function of the processing temperature $x_1$ and strain stress $x_2$.
Fig. 2. Contour plots of the degree of crystallinity as a function of the processing temperature and strain stress.
Fig. 3 Plots of the main effects
The processing temperature and strain stress have a positive effect on the responses, i.e. the degree of crystallinity increases when the values of factors increase. An exception was also observed - the processing temperature negatively influences on the degree of crystallinity in sample 2 (Fig.3).
The effect of the processing temperature – strain stress interaction on the degree of crystallinity is also significant. Its influence is positive for specimen 1, whereas it is negative for the specimen 2.
The final degree of crystallinity depends on the initial structure as well as the following heat-mechanical treatment. The contour chart of Specimen 2 shows a quick process of structural development. The initial degree of crystallinity of 28.8% rises to 39% at strain stress of
$80 \text{ MPa}$. The degree of crystallinity of sample 1 increases with 3% under the same treatment conditions.
4. Conclusions
The combined influence of the tensile stress and temperature of uniaxially orientation drawing on the degree of crystallinity of partially crystalline PET fibers was investigated.
Established relationships allow determination of the dependencies between the parameter values of the heat mechanical processing and the desired degree of crystallinity of the studied PET fibers.
The obtained mathematical models for the degree of crystallinity of PET filaments are valid only for the tested samples and for the specific experimental conditions.
Acknowledgment
Part of the present work has been supported by Grant № РД-08-226/12.03.2104 from Konstantin Preslavsky University, Shumen, as well as by Fund Scientific Investigations from University "Prof. Dr. Assen Zlatarov", Burgas.
References
[1] Petkova P., Journal Scientific and Applied Research, Vol. 2, 58-65, 2012;
[2] Petkova P., Vasilev P., Nedelcheva G., Journal Scientific and Applied Research, Vol. 3, 78-83, 2013;
[3] Wunderlich, B., Macromolecular Physics, Vol.3, Academic Press, 1980;
[4] Haudin J.-M., Billon N., Progr. Colloid Polym. Sci., 87, 132-137, 1992;
[5] Ziabicki A., Fundamentals of Fiber Formation, J.W. & Sons, New York, 1976;
[6] Totev Hr., Journal science education innovation, Vol.1, 144-152, 2013;
[7] Jong K., Hyun H., Polymer, 46, 939, 2005;
[8] Dimov T., Velev V., Iliev, I., Betchev Ch., Journal of Optoelectronics and Advanced Materials, 9(2), 275 – 277, 2007;
[9] Dupaix R. B., Boyce, M. C., Polymer, 46, 4827- 4838, 2005;
[10] Velev V., Popov A., Bogdanov B., Heat – mechanically induced structure development in undrawn polyester fibers, Thermodynamics-Book 4, Ch.5, 89-114, 2011;
[11] Vuchkov I. N., Stoyanov S. K., Mathematical modelling and optimization of technological objects, Eds., Tehnika, Sofia, 1986 (in Bulgarian);
[12] Velev V., Androsch R., Dimov T., Popov A., Radusch H.-J., Journal of Optoelectronics and Advanced Materials, 12(4), 958-961, 2010
EFFECT OF PROTON IRRADIATION ON THE STRUCTURE DEVELOPMENT OF POLYETHYLENE TEREPHTHALATE FIBERS
Valentin Velev\textsuperscript{1}, Anton Popov\textsuperscript{2}, Nina Arhangelova\textsuperscript{1}, Pencho Kyurkchiev\textsuperscript{1}, Hristo Hristov\textsuperscript{1}, Michele Bello\textsuperscript{3}, Giuliano Moschini\textsuperscript{3}, Nikolay Uzunov\textsuperscript{1,3}
\textsuperscript{1}KONSTANTIN PRESLAVSKY UNIVERSITY, 9700, SHUMEN, BULGARIA
\textsuperscript{2}UNIVERSITY "PROF. DR. ASSEN ZLATAROV" – BURGAS, 8000, BURGAS, BULGARIA
\textsuperscript{3}INFN, NATIONAL LABORATORIES OF LEGNARO, LEGNARO (PADUA), ITALY
Abstract: The influence of proton irradiation on the structural changes in partially crystalline poly(ethylene terephthalate) (PET) filaments has been investigated using a wide-angle X-ray scattering (WAXS). Experimental data about the role of the exposure dose and the irradiation conditions in the processes of destruction and crosslinking in the irradiated objects have been obtained. The structural changes and the packing density of the macromolecular chain segments of the polyethylene terephthalate filaments irradiated with different doses have been analyzed. A mechanism of the structural reorganization initiated by the irradiation has been supposed on the basis of the changes in the geometry of the intensive distribution of the X-ray diffraction patterns of the objects.
Key words: poly (ethylene terephthalate), fibers, proton irradiation, WAXS, structure development mechanism.
1. Introduction
Poly (ethylene terephthalate) (PET) is a crystallizable thermoplastic polymer widely used in many technological and industrial areas in the form of fibers, films, construction details, etc. The applications of PET are based on its relatively high glass transition temperature and low crystallization rate. Moreover, PET can easily turn into uni- and biaxial oriented state with different qualitative properties.
Furthermore, the widespread use of PET is due to its ability to crystallize in terms of deformation at temperatures and mechanical stresses applied during the various treatments.
It is very important from technological economic and scientific point of view to investigate the role of proton irradiation on the structure and properties of undrawn amorphous uniaxially oriented PET [1-4].
The ionizing radiations are widely used in the polymer technology, operation and investigations [1-3, 5, 6].
With the present experiment, we aim to investigate the influence of the proton irradiation on the structural reorganization of undrawn partially crystalline PET fibers.
2. Materials
The initial characteristics of the studied PET fibers were as follows:
speed of fibrillate 2280 m/min;
number of single fibers in the complex filament 32;
diameter of a single fiber 14.5 μm;
degree of crystallinity α = 23.7 %;
birefringence Δn.10^3 = 5.12.
The filaments are produced from industrial installation of the company "Furnie" (France).
3. Methods
3.1. Irradiation of the PET samples with protons
Fibres of poly (ethylene terephthalate) have been placed in a flat surface very close each other thus forming a layer with a thickness inferior with respect to the range of the protons used for the irradiation. Samples were irradiated with protons using the accelerator facilities AN 2000 at the National Laboratories of Legnaro, INFN, Italy. Proton beams with energy of 2MeV delivered by Van de Graaff accelerator have been used to irradiate the polymers’ samples. The proton beam passed through a beam diffuser and was collimated to a diameter of 6 mm. The collimated beam passed through the samples and was collected for measuring the total beam charge. The beam current was kept as low as 5 nA to prevent the sample heating. For each sample the total beam charge was measured and the number of protons irradiated the sample was calculated.
3.2. Wide-angle X-ray scattering
The structure of the non-irradiated fibers was studied by wide-angle X-ray scattering (WAXS) using a diffractometer HZG 4 (Freiberger Präzisionsmechanik, Germany) and Ni-filtered CuKα radiation with a wavelength of 1.5418 Å. Equatorial scattering was monitored in transmission mode.
The structure of the irradiated fibers was studied by wide-angle X-ray scattering Diffractometer URD - 6 (under license of SIEMES) of the company "Freiberger Präzisionsmechanik" (Freiburg im Breisgau, Baden-Württemberg,
Germany). Used is $\beta$-filtered with Ni-filter Cu $K_{\alpha}$ radiation with a wavelength of $\lambda = 1.5418 \text{\AA}$.
4. Results and Discuss
Due to the precise geometric and structural sensitivity of X-ray diffraction methods, the angular deviation of the diffraction reflections gives perfect information about the packing density of the structural elements on the atomic-molecular level. Knowing very well the crystallography of PET [7], the alteration in the geometry of the intensity distribution of the diffracted X-ray radiation can adequately visualize the repacking of the macromolecular chain segments in the volume of the crystal polymer phase, the transient zones of the crystallites and its mesophases. Furthermore, the changes in the intensity ratios, profile characteristics and angular deviation of the diffraction reflections provide information concerning to the crystalline phase perfection.
The intensity distribution of the diffracted X-ray radiation in the diffraction patterns of the non-Irradiated (Fig. 1) and proton irradiated for 20s fibers (Fig. 2) shows a structure similar to the PET amorphous state like its super cooled melt.
*Fig. 1. WAXS of non-irradiated PET fibers.*
The average distance between the macromolecular chain segments (MMCS) in the volume of the polymer can be assumed about 4.35 Å. The additional proton irradiation of this type of PET fibers with the same power of irradiation, but with different continuation leads to noticeable changes in the geometry of the intensity distribution of the diffracted X-ray in the interval from $10^\circ 2\theta$ to $30^\circ 2\theta$. After 20 s proton irradiation sample S1 shows visible deviation from close to the Gaussian of the profile of the distances between MMCS distribution.
It may be noted probable formation of nematic mesophase with average statistical distance between MMCS about 4,08 Å. This may be due to destructive processes, facilitating repackaging of MMCS and change of the statistical average distance between them from 4,15 Å to 4,08 Å. It may be noted slight increase in the intensity at angles around $13^\circ 2\theta$ and $29^\circ 2\theta$.
The possible occurrence of preliminary orderliness preceding the future formation of crystalline phase in the presence of diffraction reflection 01-3 about $29^\circ 2\theta$ with increasing of the time of proton irradiation of objects probably emphasizes the nematic nature of the mesophase that is forming in the fibers.
Similar suggestion may explain the preservation of the enhancement of the intensity at an angle of about $13^\circ 2\theta$ around which there is no probability for formation of diffraction reflection. The exposure which is twice higher (Fig. 2, $\tau = 40 \text{ s}$) confirms the above suggestions and shows further intensity increases at angles about $16^\circ 2\theta$ and $25^\circ 2\theta$. Eventually, these might be positions for diffraction reflections 01-1 and 100. It is observed general displacement of the increase of the intensity enhancement to the left towards the smaller angles (to the larger interplanar distances).
The additional exposure, about 50 times longer, (Fig. 2, $\tau = 34 \text{ min}$) confirms the discussed possible trends due to the alternative influence of the destructive and crosslinking processes as a result of the irradiation.
The trends from curve 2 (Fig. 2, $\tau = 40 \text{s}$) are confirmed, but with significantly greater intensity increase in the angular interval from $21^\circ 2\theta$ to $27^\circ 2\theta$. These are the peaks from the group: -111, 1-10, 011, 1-12, 100, 1-11 as well as intensity increase in the places of reflections 110 and 100. This suggests a certain improvement of the smectic nature of the mesophases with formation of transient structure towards perfection of the known crystal structure of PET.
5. Conclusions
On the basis of the experiments and analyzes can be made some preliminary conclusions and recommendations as follows:
The low energy proton irradiation with low power within the range of $10^{12}$-$10^{15} \, p/cm^2.s$ during comparatively short exposition to irradiation, (respectively the absorbed dose) can cause noticeable structuring effect in the studied PET fibers.
It is supposed that the major modifying and structuring effects of the proton irradiation are ionization, radicalization, skeletal destructions, recombination, crosslinking etc.
The complete clarification of the studied effects requires profound and extensive investigation of the quality, density, and the segmental packing in the amorphous and crystalline phase of the polymer and similar experiments are coming.
Acknowledgment
Part of the present work has been supported by Grant № РД-08-226/12.03.2104 from Konstantin Preslavsky University, Shumen, as well as by Fund Scientific Investigations from University "Prof. Dr. Assen Zlatarov", Burgas.
References
[1] N. L. Singh; Nilam Shah; C. F. Desai; K. P. Singh; S. K. Arora, Radiation Effects and Defects in Solids, Vol. 159, 8, 9, 475 – 482, 2004;
[2] B. Mallick, T. Patel, R.C. Behera, S. N. Sarangi, S.N. Sahu, R. K. Choudhury, Microstrain Section B: Beam Interactions with Materials and Atoms, 248, 2, 305 – 310, 2006;
[3] S. P Tripathy, R. Mishra, K. K. Dwivedi, D.T. Khating, S. Ghosh, D. Fink, Radiation Effects and Defects in Solids, 157, 4, 1, 1-11 2002;
[4] Totev Hr. The value of the securities (Bonds and shares), Journal science education innovation, 1, 144-152, 2013;
[5] Z. Lounis-Mokrani, A. Badreddine, D. Mebhah, D. Imatoukene, M. Fromm, M. Allab, Radiation Measurements, 43, 41-47, 2008;
[6] G. Szenes, K. Havancsák, V. Skuratov, P. Hanák, L. Zsoldos, T. Ungár, Nuclear Instruments and Methods in Physics Research Section B: Beam Interactions with Materials and Atoms, 166-167, 2, 933-937, 2000;
[7] Kilian et. Al, Koll. Zeitschrift, 172 (2), 166, 1960.
TRANSPOSITION OF EU ENVIRONMENTAL LEGISLATION FOR PROTECTING WATERS IN BULGARIA
Ivanka Zheleva, Margarita Filipova, Petar Roussev, Kremena Rayanova
RUSE UNIVERSITY "ANGEL"
RUSE, 7017., STUDENTSKA” STR. № 8
Abstract: The chronology and the extent to which Republic of Bulgaria laws in the water protection field correspond to EU legislation is presented in the paper. The key issues and opportunities for prevention, quality control and river waters protection from different types of contaminants are analyzed.
Key words: transposition environmental legislation
I. European Union environmental legislation features
Legal problems related to the water protection, are particularly relevant in today's society. The water balance problems in Bulgaria are placed with special power because our country is not particularly rich in water resources. In this context, the water protection in Bulgaria to become corresponding to the international standards is very complex process and requires a lot of efforts and resources. Environmental legislation of our country, as of all eurozone members has to be harmonized with the EU environmental legislation.
This process begins at the negotiation stage, affecting a large number of regulations and decisions of the European environmental legislation (EEL). It is believed that EEL is one of the largest EU laws that includes more than 400 regulations.
Legislation is general and sector. General legislation has some basic features. EU legislation in the field of environment is developing more rapidly in recent years and currently contains about 300 pieces of legislation, including directives, ordinances, regulations, decisions and recommendations. To these are added a number of press releases and other documents concerning the EU policy in the field of environment and cross-border cooperation.
General legislation includes:
Directives - This law form is specific for the EU. They are binding all countries - members, but they may contain different requirements that take into account different environmental and economic conditions in each member state.
Directives must be transposed into national legislation in accordance with the procedures established in each country. They are legal documents that define the objectives to be achieved without specifying the roads, the means by which you can make that goal.
**Ordinances.** They directly bind member states and supersede any conflicting national laws. Regulations come into force in the candidate countries from the date of accession. About 10% of EU environmental legislation is in the form of regulations.
**Solutions** - which are binding on the parties to whom they are addressed and are usually very specifically targeted.
**Recommendations** and **opinions**, which are not binding.
**Regulations** - regulations that contain specific standards and norms that are binding for all countries, the difference is only in the period or the time for which they will be achieved.
The basis of EU legislation in the field of the environment called environmental law with which the associated countries in Central and Eastern Europe must equalize their national legislation and administrative practice - is substantially lower. It consists mainly of about 70 directives - however some of them have been changed several times and supplemented by 'daughter' directives and 21 regulations.
The reasons for the development and adoption of a series of legislative acts in the field of environmental protection and of water in particular can be summarized as follows:
- The need of regulation of certain areas in the new socio-economic conditions in the country;
- The need of the adoption of European legislation as an absolute condition for the process of European integration of the country.
The key elements in the process of implementation are:
**Transposition** - adoption or change of national laws, rules and procedures, so that the requirements of the relevant EU law to be fully incorporated into national law;
**Performance** - to provide institutions and budget required for the implementation of laws and regulations;
**Imposition** - the necessary controls and penalties to ensure full and proper compliance with the law.
Over the past few years in Bulgaria a number of regulations governing social relations in various sectors of the environment have been developed and adopted. The rapid development of environmental legislation arises from:
* Need to regulate certain areas in accordance with the new socio-economic conditions in the country;
* Need to adopt European legislation as a necessary condition for the process of European integration of the country
In terms of sectoral legislation, it also consists of directives, regulations and decisions, which are grouped in the following 10 areas:
Air quality;
Water quality;
Waste management;
Prevention of industrial pollution;
Prevention of hazardous chemical pollutants;
Nature conservation and biodiversity;
Genetically modified organisms;
Prevention of noise;
Radioactivity safety.
The national legislation in the field of water resources management transferred directly or adapted the basic principles and requirements of EU legislation (the relevant European directives).
To harmonize the national law with the international environmental law is necessary to implement a set of measures that include:
- Increasing international legal knowledge of international environmental law by studying the mechanism of implementation of international environmental norms in Europe by Bulgarian institutions;
- Making the expertise of the regulations in order conscientious fulfillment of international obligations;
- Increasing the law consciousness and formation of legal culture;
- Reflection of international environmental commitments in government economic development programs.
The process of effective implementation of EU law through national legislation is implemented through several legal mechanisms.
1. Direct application
In the legal literature and in the practice the concept of "direct applicability" is used in general and special sense. In the first case it covers all legal means of enforcement of norms, and in the second - the application of the rules in the case of offenses or dispute [2].
The practical implementation of the rules is a criterion for their viability and effectiveness. The results of this show which rules are obsolete and what new has to be created. Failure to enforce norms leads to their formal existence.
Implementation of the international standards in the process of international law adaptation into dynamic public relations in the environment protection, is the most topical issues in the world today.
In Europe steps are taken to fill the gaps in the law enforcement and in the improvement of these mechanisms, but problems remain. There is a deficit in
the exchange of information between the main actors - public authorities and bodies responsible for the implementation of the Conventions.
2. System of controls
Creation of central and regional management bodies for the implementation of universal international environmental agreements in Europe is at a relatively good foundation. Europe is very diverse and developed area, revealing a wide range of values, priorities and methods in the field of environmental protection. The European continent is remarkable in that it provides several well developed blocks of regional relations for dialogue and exchange of experience at a senior level. These two factors offer many practical solutions [1].
The classic approach for organization of environmental policy consists of the establishment of competent authorities in different areas of ecology [4]. For the framework conventions that is done through national coordinators. In his/her region, each coordinator cooperate with committees which execute programs.
3. Auxiliary instruments – report, bilateral and multilateral agreements
Very often, for better implementation of the conventions protocols, applications, and other types of support acts are accepted. Protocols allow the parties to determine further obligations relating to special and sometimes the technical matters within the subject matter of conventions. Protocols are used very widely at regional agreements in Europe.
The regional international environmental conventions often lead to bilateral or multilateral agreements for cooperation and coordination of their implementation.
4. Plans, programs and action strategies
The proposal to form a strong supranational coordinating body often does not find political support in the regional agreements because Member States differ in terms of their social, cultural and political traditions. In these cases, plans, programs, strategies for leadership and soft law character do not find great application. That is why, it is advisable to compare these mechanisms with voluntary acts – Declarations which have a number of features similar to the plans, strategies and action programs.
The level and effectiveness of the monitoring varies greatly in the different European countries. The main factor here is the effective operation of the Convention organs in the collection and processing data and information.
6. Public participation
The care for the environment is a responsibility that everyone should share as violating the natural balance by polluting the environment is a
prerequisite for many negative social, economic and health consequences and may be detrimental to the future of humanity. Therefore, the struggle for transparency and the right of public participation in decision making and access to justice, become necessary conditions for good environmental management. These conditions are stated in Principle 10 of the Declaration on Environment and Development 1992 (Rio Declaration). The relevance of this principle enshrined in the Convention on access to information, public participation in the process of decision-making and Access to Justice in Environmental Matters, done at Aarhus, Denmark, on 25 June 1998. Convention is a regional one – it is signed by 40 countries – Member States of the European Economic Commission of the United Nations.
7. Economic mechanisms
In Europe, economic instruments such as taxes, fines, subsidies are widely used. In terms of the global perspectives, the use of these mechanisms in each European region has to be a subject for a deeper analysis because of the different political and economic models and high economic (often polluting) activities. Some modern economic mechanisms are not yet sophisticated and therefore are not very developed.
Using the methods of economic evaluation is not yet sufficiently widespread, despite his having a great potential for biodiversity conservation through reflection of the economic value of natural resources.
8. Financing
Implementation efficiency of the Convention largely depends on the human and material resources.
International environmental agreements financing has to expand by the national environmental funds. These funds are usually formed by environmental fees, fines, taxes and other payments. This type of financing is appropriate for regional environmental treaties because their implementation is oriented towards local projects and initiatives.
Another possible source of funding is the private sector which already plays an increasingly larger share in the financing of environment protection activities.
International distribution of funds plays a significant role in the implementation of the international environmental agreements.
9. Increase the potential of technology
Bilateral agreements between neighboring countries are used to increase the potential and technology transfer. They are usually in the direction from the Western countries to the countries of Central and Eastern Europe.
Regional mechanisms based on shared natural resources, allow to strengthen the technology role. At the European level under the auspices of the UN and the European Economic Commission special funds for these purposes were established.
In accordance with the various international agreements specialized bodies may be set up. They can serve as an argument for the need to develop a mechanism for accountability [5].
10. Liability
The idea of an effective international responsibility with the possibility of international law in relation to the international conventions implementation has recently increasing attention especially in the case of transboundary pollution [6].
II. Transposition of European environmental legislation
The first Directives on the water protection are taken back in the 70s of the 20th century. They refer to coastal, surface, drinking water and bathing water. The EU law (statutory directives) focuses more explicitly on the "protection from contamination" while our legislation still trends to the waste preservation.
The national environmental legislation is obliged to adhere to the requirements of the specific European directives and regulations. In the event that no such specific requirements, the requirements of the Treaty on the Functioning of the European Union (TFEU) have to be followed. The environmental problems and priorities characteristics of the different parts of Europe influence the ratification, acceptance, and implementation of international environmental agreements.
Adoption of the Water Framework Directive of the European Union in 2000 was a fundamental step as it introduces a new legislative approach to the management and protection of water based not on national or political boundaries but on natural geographical and hydrological formations - river basins. The Directive also requires that, the various relevant EU policies to be coordinated and a precise timetable for the planned activities to be set so that the goal to achieve a good status for all waters in Europe till 2015 to be fulfilled.
In this connection and on this basis the Bulgarian Water Act was amended and updated. It is the base of the national policy in the field of water resources management. It generally regulates the ownership of waters, water bodies and water facilities and systems, integrated water management in quantitative and qualitative terms. There are also 16 secondary regulations. In the Water Law the principle of "polluter pays" is applied. Also a licensing regime for the water removal and water use facility and waste water discharge are introduced. To achieve sustainable water management, fees are established for the use of water. Fees for the use of bodies of water, including waste water
discharge, as an incentive to reduce pollution of the receiving waters by sewage are also established. Penalties for non-compliance in permits are also set.
The main directives concerning the protection of water resources in our country are summarized in Table 1.
| Document | Problem concerned |
|-----------------------------------------------|-----------------------------------------------------------------------------------|
| Directive 2008/56/EC (Framework Strategy for the Marine Environment) | Integrated Approach to Protection of the Black Sea and Danube |
| Directive 2000/60/EC | Providing sufficient water of good quality |
| Directive 2009/123/EC | Source pollution and penalties |
| Directive 2006/11/ES | Pollution with hazardous substances |
| Directive 200/60/EO | Establishing a framework of EU action in the field of water policy |
In the process of Bulgaria's accession to the European Union, the application of Directive 91/271/EEC for the wastewater treatment from also raises the issue of settlement wastewaters to be cleaned to a level that allows discharge into receiving waters. On the basis of this Directive the Bulgarian Council of Ministers adopted several ordinances:
*Ordinance № 7 of 14.11.2000* on the terms and conditions for discharge of industrial waste water into collecting systems of the settlements. The purpose of this Ordinance is the protection of water bodies used for discharge of waste water from contamination with toxic, harmful and dangerous substances. It regulates the relationship between entities and individuals forming industrial wastewater and operators of sewage systems, which are governed by contracts for use of sewer systems to discharge of industrial wastewater. Operators of sewer systems are able to influence the composition and contamination of industrial waste waters by placing individual emission limits for contents of pollutants.
*Ordinance № 6 09.11.2000* Emission standards for permissible levels of harmful and hazardous substances in the waste water discharged into water bodies. It aims reducing hazardous and harmful substances in waste water emitted by industry. Hazardous substances are classified according to their toxicity, persistence and bioaccumulation. It requires the construction of new
wastewater treatment plants for waste water from agglomerations above 10,000, construction of new treatment plants for waste water for agglomerations between 2,000 and 10,000 till 31.12.2014, expansion, modernization and reconstruction of existing wastewater treatment plants in agglomerations over 10,000, complete and/or reconstruction of sewage dischargers of wastewater into wastewater treatment plants in agglomerations above 10,000.
The European Union adopted Directive 98/83/EC about the quality of water intended for human consumption, as well as the EU Directive 75/440/EEC about the surface water quality required for drinking-water supply. In the Bulgarian legislation these directives are reflected in Ordinance № 3 of 16.10.2000 on the terms and conditions for research, design, validation, and operation of sanitary protection zones around water sources and facilities for drinking water supply and mineral water used for therapeutic, prophylactic, drinking and hygiene needs. Their effect is expressed in the obligation to establish, build and operation of sanitary-protective zones around water sources and facilities for drinking-water supply.
Directive 91/676/EEC concerning the protection of waters against pollution caused by nitrates from agricultural sources is recreated in the corresponding regulation, namely Ordinance № 2 of 13.09.2007 on the protection of waters against pollution caused by nitrates from agricultural sources. The content of this Ordinance mainly consists of good agricultural practice to protect waters against pollution caused by nitrates from agricultural sources, training and information for farmers to implement good agricultural practice; mandatory implementation by farmers in vulnerable areas of the programs of measures for mitigation and prevention of pollution by nitrates from agricultural sources.
At present, Bulgaria takes a part of the Operational Program for cross-border cooperation with Romania. This program is being carried out in the period 2007 - 2013. This program covers both the issues of preservation of ecological balance on both sides of the river and its waters, and concrete measures to enhance the economic, social, cultural cooperation and break down barriers between the two neighboring countries. The ultimate goal of cross-border cooperation in Europe is to integrate areas divided by national borders that face common problems requiring common solutions.
**Conclusions:**
1. Bulgarian legislation as a whole is now in line with the requirements of EU acts. Environmental legislation is relatively new not only for our country but also for other European countries, this fact somewhat facilitates two processes: the process of harmonization of domestic legislation with ratified international agreements and the process of further harmonization of environmental legislation with EU law.
2. The first step to solve the global environmental problems is the activity of the countries in the process of law establishment activity. But that is not enough, and the main condition for the effectiveness of international environmental standards is the mechanism of adoption of such rules into national law.
3. To align national law with international environmental law is necessary to implement a set of measures that include:
- Increasing international legal knowledge of international environmental law by studying the mechanism of implementation of international environmental norms in Europe by the Bulgarian institutions;
- An expertise of the regulations to be made in order to conscientious fulfillment of international obligations;
- Increasing of law consciousness and formation of legal culture;
- International environmental obligations to be included into the government economic development programs.
References
[1]. D’Amato, A. & Engel, K. *International Environmental Law Anthology*. Anderson Publishing Company. In Cincinnati: Ohio, 1996.
[2]. Lukashuk, *International law, Generalities*. M., Beck, 2001, p 302.
[3]. Naumova, S. *The main issues of environmental law*, BAS, Sofia, 2012, pp. 30-35.
[4]. Report: *Status of the implementation of environmental treaties in the European Region in 2000*, UNEP, Hungary, 2000, pp. 78.
[5]. Wharton, F.A. *Digest of International Law of the United States*, Washington DC, 2010, pp 134
[6]. Hohmann H., *Precautionary Legal Duties and Principles of Modern International Law*, London, 2008, p. 25.
THE SPATIAL DISTRIBUTION OF NITROGEN DIOXIDE IN ATMOSPHERIC SURFACE LAYER OF ALMATY CITY
1Daulbayeva Almira, 2Zhetpisbay Dinara, 3Margarita Filipova
1,2T. RYSKULOV KAZAKH ECONOMIC UNIVERSITY, ALMATY, KAZAKHSTAN
3BULGARIAN ACADEMY OF SCIENCESRUSE UNIVERSITY “ANGEL KANCHEV”, RUSE, BULGARIA
E-MAIL: email@example.com
Abstract: The level of air pollution by nitrogen dioxide in Almaty city has been monitored over the past five years (2009 - 2013). The distribution characteristics of impurities’ concentrations in the air basin of urbanized area are reviewed with regard to space and time. It’s been revealed that the level of city’s air pollution varies depending on the season.
Key words: atmosphere, air pollution, the level and degree of pollution by nitrogen dioxide.
Introduction
Air pollution is one of the major problems in large cities. Air pollution in Almaty city is an environmental problem that is compounded by the climatic and physiographic conditions. The city atmosphere is polluted by various substances but nitrogen dioxide is among the key atmospheric pollutants in Almaty.
Nitrogen oxides (NO\textsubscript{x}) are formed during combustion process at high temperatures by oxidation of nitrogen present in the atmosphere. Under the general formula NO\textsubscript{x} amount usually is meant the sum of NO and NO\textsubscript{2} [1]. Nitrogen oxide and dioxide play an important and complex role in photochemical processes in troposphere and stratosphere under the influence of solar radiation [2]. Most of the atmospheric NO\textsubscript{2} initially comes as NO, which is rapidly oxidized by ozone to NO\textsubscript{2}. In the presence of hydrocarbons and UV radiation, nitrogen dioxide is the main source of tropospheric ozone and nitrate aerosols, which form a significant part of atmospheric mass [3]. Nitrogen dioxide, as its been said, plays an important role in the formation of photochemical smog, contributing to climate change as a greenhouse gas. Therefore, data from permanent monitoring measurements and mathematical modeling will provide detailed information on nitrogen dioxide the content in
various regions taking into account topographic and climatic conditions throughout the defined period [4].
At low concentrations of nitrogen dioxide we observe impaired breathing and coughing. With an average annual concentration of 30 mcg/m$^3$, we see an increased number of children with rapid breathing, cough and bronchitis patients. WHO recommended 40 mcg/m$^3$ as annual standard for nitrogen dioxide concentrations, because higher concentrations lead to painful symptoms in patients with asthma and other groups of people with high sensitivity [5].
Therefore, the issue of reducing the amount of nitrogen oxides in emissions from mobile and stationary sources is acute and relevant.
**Materials and methods of research**
The state of air pollution by sulfur dioxide in Almaty is the object of investigations. Methods of research are comparative-analytical, statistical analysis of empirical data. The stationary observation posts have been setup depending on how loaded is the street area with different types of vehicles, location of industrial enterprises, sources of heating system, main streets, landscape, etc.
**Results**
Over the past years, the task of comprehensive environmental improvement is always in the spotlight. So a few long-term comprehensive programs were developed and adopted to improve the current environmental situation. That’s why its interesting to consider the distribution of nitrogen dioxide in different seasons and areas of the city over recent years.
With regard to this our goal was set to examine the annual variation of nitrogen dioxide concentration using statistical characteristics of air pollution. The observations’ timeframe took 5 years from 2009 - 2013. The last few years i.e. 2011, 2012 and 2013 have particular interest they show the dynamics of reducing the concentration of pollutants in relation to the implementation of programs that reduce air pollution.
The seasonal changes in concentration of impurities have been studied to identify patterns of air pollution by nitrogen dioxide. We also revealed the pattern of nitrogen dioxide’s increasing concentrations in winter in contrast to of other impurities, in particular formaldehyde, which has higher concentrations during summer season [6]. We calculated the average monthly and yearly concentrations. All this made possible to allocate such months in which there were deviations from the mean and relate them to meteorological conditions in a given month.
The chart of nitrogen dioxide distribution for the period from 2009 to 2013 is shown below (Fig. 1).
Figure 1. Distribution of nitrogen dioxide’s average concentrations during the period from years 2009 to 2013
The graph (Figure 1) shows that distribution of nitrogen dioxide concentration has a well defined maximum which comes to winter time, when concentrations reach 0.10 to 0.19 mg/m$^3$. Also there’s a defined minimum value in summer, when concentrations of nitrogen dioxide are reduced from 0.06 to 0.08 mcg/m$^3$. Such a distribution is primarily due to work of thermal power plants that emit more pollutants into the atmosphere in winter time and also due to imposition of specific meteorological conditions.
Average annual values of nitrogen dioxide remain almost the same during the study period and change slightly from year to year. The exception is year 2013 when emissions’ concentrations increased in all seasons. This can be seen from the graph (Fig. 1) where the changes range 0.07-0.09 mg/m$^3$ in summer during years 2009 - 2012 and 0.09 - 0.12 mg/m$^3$ in 2013. In winter the changes range 0.14 - 0.19 mg/m$^3$, which is significantly higher as compared to previous years, when values ranged 0.11-0.14 mg/m$^3$. Also we can distinguish September 2010, when there was a decrease of nitrogen dioxide concentrations up to 0.06 mg/m$^3$. But such deviations are petty and chart looks quite natural with clear highs and lows.
Also we highlighted the main most polluted parts of the city. Thus, the stationary observation posts have been setup depending on how loaded is the street area with different types of vehicles, location of industrial enterprises, sources of heating system, main streets, landscape, etc. The following posts have been used to monitor environmental pollution:
- post №1, located in central part of the city; - post №12, the CHP-1 area; - post №16, the highest pollution is observed in winter and summer periods, mainly by household waste; - post №25, the surroundings of this post are polluted by boilers of western thermal compound; - post №26 is loaded by different types of transport.
Let’s consider what is the spread pattern of nitrogen dioxide by city districts [7]. The highest concentrations of nitrogen dioxide occur in the first quarter, and the lowest concentrations in the third quarter (Table 1). This is due to the mode of power plants operation. Therefore, the table includes data precisely of these periods.
Table 1. Values of nitrogen dioxide’s mean concentrations by the posts during years 2010 -2011
| Post number | Average concentration mg/m³ | Multiplicity in excess of MPC | Maximal concentration mg/m³ | Multiplicity in excess of MPC | Repeatability of impurities’ concentrations higher than the MPC in % |
|-------------|-----------------------------|------------------------------|-----------------------------|------------------------------|------------------------------------------------------------------|
| | | | | | |
| | 1st quarter of 2010 – 11 | | | | |
| 1 | 0,134 | 3,4 | 0,30 | 3,5 | 83,4 |
| 12 | 0,157 | 4,0 | 0,29 | 3,4 | 95,9 |
| 16 | 0,104 | 2,6 | 0,24 | 2,8 | 63,3 |
| 25 | 0,099 | 2,5 | 0,24 | 2,8 | 58,3 |
| 26 | 0,084 | 2,1 | 0,27 | 3,2 | 40,1 |
| | 3rd quarter of 2010 - 11 | | | | |
| 1 | 0,065 | 1,6 | 0,19 | 2,3 | 28,4 |
| 12 | 0,133 | 3,3 | 0,23 | 2,7 | 89,4 |
| 16 | 0,056 | 1,5 | 0,17 | 2,0 | 21,2 |
| 25 | 0,063 | 1,6 | 0,17 | 2,0 | 21,0 |
| 26 | 0,053 | 1,3 | 0,15 | 1,8 | 7,1 |
The table shows that Almaly district is the most polluted one with post №12. In 1st quarter average concentration of nitrogen dioxide at this post was 0,157 mg/m³, exceeding MPC by 4.0 times. At the same time there’s a significant difference between 1st and 3rd quarter at other posts. Post №1 (Bostandyk district) showed 0,134 mg/m³ as average concentration of nitrogen dioxide in 1st quarter, while in 3rd quarter the average concentration reduced by 2 and showed 0,065 mg/m³, with MPC excess by 1.6 times. Same trend was observed at post №16 (Zhetisu district): high average concentration in 1st quarter ranging from 0,092 to 104 mg/m³, and reduced value in 3rd quarter ranging between 0,056-0,063 mg/m³. At the same time the maximum single concentration of this substance in various posts of the city is not much different.
In 1\textsuperscript{st} quarter, one that shows the highest concentrations, post №1 showed 0,30 mg/m\(^3\) as maximum single concentration value, post №12 – 0,29 mg/m\(^3\), post №26 showed 0,27 mg/m\(^3\) for nitrogen dioxide concentration, while MPC excess was between 3.2 – 3.5 times.
The lowest average concentrations of nitrogen dioxide was at post №26: 0,084 mg/m\(^3\) in 1\textsuperscript{st} quarter and even lower value of 0,053 mg/m\(^3\) in 3\textsuperscript{rd} quarter with MPC excess by 1.3 times.
At the same time the highest repeatability of concentrations above the MPC in percentage falls on post №12, and they remain high throughout the year from 89.4 to 95.9%. The lowest level of repeatability is at post №26, ranging from 7.1 to 40.1%.
According to data from five posts we constructed the maps of nitrogen dioxide spatial distribution during the study period [8]. Consider the structure, distribution of nitrogen dioxide fields spread around the city in 1\textsuperscript{st} and 3\textsuperscript{rd} quarter during years 2010-2011 (Figure 2.3). Maps show that the field structure varies little in all seasons with the axis usually stretching from north-west to south-east. But 1\textsuperscript{st} quarter shows how nitrogen dioxide concentrations are increasing in northern direction. And 3\textsuperscript{rd} quarter shows a rapid decline in concentrations and slight change of direction, while the maximum concentration is observed in central part of the city.
This field distribution suggests that the formation of nitrogen dioxide concentrations is affected by almost the same set of factors. The ratio of these factors varies slightly from season to season, which leads to field’s stability. In general, concentration values change much from season to season. So the greatest concentrations occur in the 1st quarter, i.e. in cold season. And the smallest concentrations take place in the 3rd quarter, where the MPC excess is 1.5-2 times lower than usually.
**Conclusion:**
Maximum average concentrations occur in the 1st quarter, which is quite typical for Almaty city, because as a rule, in January there is the highest repeatability and duration of anticyclonic weather, which contributes to the accumulation of pollutants in the city. Also, such a distribution can be attributed to increased operational load of thermal power plant. Besides the expected reduction of nitrogen dioxide is not observed, and instead we found a significant increase in all seasons of 2013.
**References**
[1]. Stolberf F.V. Ecology of city. – K.: Libra, 2000. – 464 p.
[2]. Analytical review. Air quality in largest Russian cities in years 1998–2007 // Ministry of natural recourses and ecology of Russian Federation. – M., 2009.
[3]. WHO air quality recommendations that mention solid particles, ozone, nitrogen dioxide and sulfur dioxide. Global updated data // World Health Organization.- 2006. - P. 27.
[4]. R. Chuturkova, M. Stefanova., Assessment of NOx emissions from nitric acid production and their effect upon ambient air quality in Devnya region/ Journal Scientific and Applied Research, Vol. 4, 2013
[5]. WHO air quality guidelines global update 2005: Report on a Working Group meeting Bonn Germany.-WHO, 2005, October 18-20.
[6]. N. Suliymenova, A. Daulbayeva., Air temperature as a meteorological factor affecting level of atmospheric pollution by formaldehyde / Journal Scientific and Applied Research, Vol. 1, 2012
[7]. Information bulletin by environmental condition of the Republic of Kazakhstan in years 2010 - 2011 // Ministry of Environmental Safety of the Republic of Kazakhstan, Kazgidromet.- Almaty.
[8]. Development of scientific background for monitoring effectiveness of plant systems and technologies in reducing CO₂ concentrations in atmosphere of large urbanized territory (on example of Almaty city and suburbs): the scientific research work report.- Almaty: KazNAU, 2011. - 86 p.
DISPERSION MODELING OF ATMOSPHERIC EMISSIONS OF PARTICULATE MATTER (PM$_{10}$) AND EVALUATION OF THE CONTRIBUTION OF DIFFERENT SOURCES OF AIR POLLUTION IN THE TOWN OF SVISHTOV, BULGARIA
Tsenislav Vlaknenski$^1$, Pencho Stoychev$^2$, Rozalina Chuturkova$^1$
$^1$TECHNICAL UNIVERSITY VARNA
DEPARTMENT OF ECOLOGY AND ENVIRONMENTAL PROTECTION
1 STUDENTSKA STR., 9010 VARNA, BULGARIA
$^2$TECHNICAL UNIVERSITY GABROVO
E-MAIL: firstname.lastname@example.org
Abstract: This dispersion model and assessment of air pollution with particulate matter (PM$_{10}$) in the town of Svishtov, Bulgaria are developed in accordance with the requirements of Bulgarian legislation and the Framework Directive 96/62/EC on the assessment and control of the Atmospheric Air Quality. Based on an assessment of sources of air pollution in the town of Svishtov, Bulgaria are classified input data for the model including point, area and line sources of PM$_{10}$.
Quantitative results of modeling of the main sources of PM$_{10}$ and background air pollution of Svishtov for 2007–2010 confirm that local ambient pollution and emissions of PM$_{10}$ from residential heating is a key contributor to atmospheric pollution in the city.
Key words: Dispersion modeling, Atmospheric Air Quality (AAQ), Svishtov
INTRODUCTION
Various local sources with different polluting potential have impact upon ambient air quality in built-up areas. Besides main air pollutants attention is paid to increased concentrations of other gases like O$_3$, CH$_4$, N$_2$O, CFCs etc., in regards with their influence on global climate system change and new methods for their measurement are developed [1,13]. Recently the level of PM$_{10}$ in many urban territories in Bulgaria is high above the limit values. Increased concentrations of air pollutants lead to environmental damage and significant harmful effect upon the exposed population health. That’s why improved methods for evaluating the risk of environmental degradation are applied [14,15].
The evaluation model is developed in accordance with the Clean Air Act [2], Regulation №7/1999 for the assessment and management of ambient air
quality [10] and Regulation № 12/2010 [11] of Bulgarian legislation, meeting the Framework Directive 96/62/EC on the assessment and management of air quality in the European Union [6].
The main purpose of dispersion modeling of PM$_{10}$ emissions is the assessment and management of ambient air quality of Svishtov in accordance with the Bulgarian legislation on environmental protection and the development of future measures to improve air quality, in terms of reducing dust air pollution in the area.
**DISPERSION MODELING OF ATMOSPHERIC EMISSIONS OF PM$_{10}$. DISPERSION MODEL SELMA$^{\text{GIS}}$**
Assessment of the impact of different sources of PM$_{10}$ emissions on ambient air quality in the town of Svishtov is made by dispersion modeling for two periods (2007 and 2010). For this purpose was used the SELMA$^{\text{GIS}}$ software of the German engineering office Ingenieurbüro Lohmeyer GmbH & Co. KG, Karlsruhe [8]. Modeling results are presented in accordance with Regulation № 12/2010, and meet the requirements of Section II, Annex №8 of the same by providing information on the share of modeled sources of PM$_{10}$ in the average annual concentration of PM$_{10}$ for the receptor points. The assessment model of pollution of Svishtov includes data for point, area and line sources and background contamination. SELMA$^{\text{GIS}}$ includes dispersion model AUSTAL 2000 for the distribution of air pollutants, developed by the German Environment Agency [3,12]. It is a Windows-based software that works as an extension of the geographical information system (GIS) at ESRI (ArcMap).
**1. Input data for dispersion modeling**
Input data for dispersion modeling of PM$_{10}$ emissions in Svishtov with SELMA$^{\text{GIS}}$ include different data.
**1.1. Meteorological data**
For the purposes of this modeling are used meteorological data for the region of Svishtov provided by NIMH-BAS. In statistical terms the meteorological conditions in the atmosphere of Svishtov in the period 2007-2010 include:
- Wind speed less than 1.4 m/s in 2 % of cases of prevailing winds;
- Wind speed 2.4-3.8 m/s in 26 % of cases of prevailing winds;
- Wind speed 3.9-6.9 m/s in 17 % of cases of prevailing winds;
- Wind speed 7-10 m/s in 21 % of cases of prevailing winds.
An essential feature of the weather conditions for the period 2007 - 2010 was the absence of a well defined long-term northern, eastern and southern component in the wind direction. The prevailing components were southwest and northeast.
1.2. Emission data for point sources
Data on emissions of air pollution in Svishtov is only from industrial sources contributing to determine the air quality in terms of PM$_{10}$ air pollution. The PM$_{10}$ data for 2007-2010 were examined for the enterprises listed in Table 1. PM$_{10}$ emissions from industry of Svishtov are calculated based on the records of periodic measurements (Regional Inspectorate of Environment and Waters – V. Tarnovo, Bulgarian), data from the IPPC Annual reports (Integrated Pollution Prevention and Control) of industrial plants in Svishtov and balance calculations of used fuels.
Table 1. The parameters of point (industrial) sources and the amount of average annual emissions of PM$_{10}$ from them in Svishtov for 2007 and 2010
| № | Emitter | Parameters of the stacks | Measured / calculated emissions PM$_{10}$ |
|-----|----------------------------------------------|--------------------------|------------------------------------------|
| | | H (m) | D (m) | (kg/h) | T °C | 2007 | 2010 |
| K1 | "Central Svilosa 'PLC" | 150 | 7 | 2.4 | 120 | 71 | 103 |
| K2S1| Svilocell Ltd, Chimney – dust cleaning, installation | 8 | 2.25 | 0.5 | 28 | 0.09 | 0.319|
| K3S3| Svilocell Ltd, Chimney – Lime regeneration, furnace | 22 | 1 | 6.4 | 73 | 0.36 | 0.82 |
| K4S4| Svilocell Ltd, Chimney – Soda regenerating boiler | 35 | 1.5 | 22.6 | 187 | 7.20 | 1.66 |
| K5S18| Svilocell Ltd, Chimney – Biomass Boiler | 18 | 0.5 | 28.3 | 147 | 1.00 | 2.055|
| K6 | FAVO PLC Chimney - 1 | 10 | 0.5 | 1.7 | 210 | 0.31 | 0.27 |
| K7 | FAVO PLC Chimney - 2 | 10 | 0.5 | 1.7 | 210 | 0.31 | 0.27 |
| K8 | FAVO PLC Chimney - 3 | 10 | 0.5 | 1.7 | 210 | 0.31 | 0.27 |
| K9 | FAVO PLC Chimney - 4 | 20 | 1 | 0.4 | 210 | 0.31 | 0.27 |
| K10 | Sonny PLC Chimney - 1 | 25 | 1 | 0.7 | 180 | 0.13 | 0.18 |
| K11 | VINPROM PLC, Chimney - 1 | 22 | 1 | 0.2 | 190 | 3.07 | 2.90 |
| K12 | VINPROM PLC, Chimney - 2 | 12 | 0.5 | 0.7 | 230 | 0.004| 0.004|
| K13 | Republikakonserv PLC Chimney -1 | 12 | 0.5 | 4.3 | 240 | 0.36 | 0.20 |
| K14 | Republikakonserv PLC Chimney -2 | 10 | 0.4 | 6.7 | 240 | 0.36 | 0.20 |
1.3. Emission data for area sources
To determine PM$_{10}$ emissions from burning fossil fuels in households, constructed residential areas and public sectors of the city are divided into regions of occupancy (tables 2, 3).
Table 2. Emissions from area sources (household sector) in Svishtov 2007-2010
| № | Area | Average height of the emission source (m) | PM\textsubscript{10} (kg/h) |
|---|------|------------------------------------------|-----------------------------|
| | | | 2007 | 2010 |
| 1.| P1 | 8 | 0.52 | 0.66 |
| 2.| P2 | 8 | 1.52 | 1.95 |
| 3.| P3 | 10 | 1.62 | 2.08 |
| 4.| P4 | 15 | 2.25 | 2.89 |
| 5.| P5 | 21 | 2.42 | 3.12 |
| 6.| P6 | 21 | 1.48 | 1.90 |
| 7.| P7 | 15 | 2.35 | 3.02 |
| 8.| P8 | 21 | 1.33 | 1.71 |
| 9.| P9 | 15 | 1.39 | 1.79 |
|10.| P10 | 15 | 1.26 | 1.62 |
|11.| P11 | 21 | 1.97 | 2.53 |
Table 3. Emissions from area sources (public sector) in Svishtov 2007-2010
| № | Area | Average height of the emission source (m) | PM\textsubscript{10} (kg/h) |
|---|------|------------------------------------------|-----------------------------|
| | | | 2007 | 2010 |
| 1.| P1 | 8 | 0.0031 | 0.0032 |
| 2.| P2 | 8 | 0.0001 | 0.0001 |
| 3.| P3 | 10 | 0.1329 | 0.1328 |
| 4.| P4 | 15 | 0.4570 | 0.3892 |
| 5.| P5 | 21 | 0.0214 | 0.0214 |
| 6.| P6 | 21 | 0.0004 | 0.0005 |
| 7.| P7 | 15 | 0.0001 | 0.0001 |
| 8.| P8 | 21 | 0.0014 | 0.0010 |
| 9.| P9 | 15 | 0.0088 | 0.0088 |
|10.| P10 | 15 | 0.0003 | 0.0002 |
|11.| P11 | 21 | 0.0031 | 0.0032 |
Estimation was made of the average gross consumption of fossil fuels by region and balance calculations of emissions of PM\textsubscript{10} from households in the atmosphere of Svishtov were made under the EMEP/EEA air pollutant emission inventory guidebook, 2009 [5]. Estimated emissions of PM\textsubscript{10} from the domestic sector in the regions are aggregated and defined as area sources.
1.4. Emission data for linear sources
For the modeling of emissions from transport were used census data of traffic in Svishtov for 2007-2010. For taking an inventory of PM\textsubscript{10} emissions from urban transport, emission factors were used based on Handbook for Emission Factors for Road Transport [4, 7, 9]. Emission data from transport are presented on table 4.
Table 4. Emission data from linear sources, Svishtov 2007-2010
| № | Name of the road section | Average speed (km/h) | Workload of stretch of road per day (Motor Vehicles/24 h) | Proportion of heavy vehicles > 3.5 t (%) |
|---|----------------------------------|----------------------|----------------------------------------------------------|----------------------------------------|
| | | 2007 | 2010 | 2007 | 2010 | 2007 | 2010 |
| 1 | Otets Paisius | 39 | 38 | 2589 | 2354 | 19 | 17 |
| 2 | Danube | 36 | 37 | 3025 | 2750 | 19 | 17 |
| 3 | Prof. D. Barov | 35 | 36 | 3025 | 2750 | 19 | 17 |
| 4 | 33rd Regiment Svishtov | 36 | 36 | 7103 | 6457 | 19 | 17 |
| 5 | Kliment Ohridski | 25 | 26 | 2589 | 2354 | 1 | 1 |
| 6 | P. R. Slaveykov | 26 | 25 | 2589 | 2354 | 1 | 1 |
| 7 | Dr. Chernev | 25 | 26 | 2589 | 2354 | 1 | 1 |
| 8 | Aleko Konstantinov | 26 | 25 | 6050 | 5500 | 10 | 4 |
| 9 | Tsar Osvoboditel | 25 | 25 | 8506 | 7733 | 10 | 5 |
| 10| Exarch Antim I | 33 | 32 | 4731 | 4301 | 1 | 1 |
| 11| Vasil Levski | 34 | 33 | 7248 | 6589 | 1 | 1 |
| 12| Petar Angelov | 34 | 32 | 7248 | 6589 | 1 | 1 |
| 13| Patriarch Evtimii | 39 | 38 | 8506 | 7733 | 11 | 10 |
| 14| Gregory Nachovich | 26 | 25 | 1464 | 1331 | 1 | 1 |
| 15| Hadji Dimitar | 27 | 28 | 1464 | 1331 | 1 | 1 |
| 16| Chiriac Tsankov | 24 | 25 | 1573 | 1430 | 1 | 0.5 |
| 17| Iskar | 24 | 25 | 1573 | 1430 | 1 | 1 |
| 18| Lulin | 25 | 25 | 1815 | 1650 | 1 | 1 |
| 19| Nikola Petkov | 27 | 26 | 3618 | 3289 | 3 | 3 |
| 20| Hristaki Pavlovich | 26 | 26 | 3618 | 3289 | 3 | 3 |
| 21| Nove | 24 | 25 | 1573 | 1430 | 1 | 1 |
| 22| Third March | 27 | 26 | 3364 | 3058 | 1 | 1 |
| 23| Students | 25 | 26 | 1694 | 1540 | 1 | 1 |
| 24| Black Peak | 29 | 30 | 1815 | 1650 | 1 | 1 |
| 25| Tsvetan Radoslavov | 27 | 28 | 2553 | 2321 | 19 | 17 |
| 26| Tsanko Tserkovski | 28 | 29 | 2009 | 1826 | 19 | 17 |
RESULTS OF MODELING
Modeling process includes the following steps:
1. Preparation of a digital map of the area
Initially through ArcMap is introduced digital map of the town of Svishtov, georeferenced to WGS 1984 - UTM coordinates.
2. Selection of receptor network and receptor (monitoring) points
Receptor network includes multiple fixed points on the digital map, which SELMA\textsuperscript{GIS} calculate concentrations of PM\textsubscript{10}. For the purpose of modeling is chosen network of receptor points with parameter 6000/4500 m (total 2,640 units receptor points). For each receptor point SELMA\textsuperscript{GIS} allows visualization
of the calculated concentrations. Thus, the calculated concentration of PM$_{10}$ determines air pollution within a radius of 100 meters. The choice of the number and location of the receptor (monitoring) points in the model which will determine air pollution can be fixed without restriction on the map. In this model, one monitoring point is selected initialized as a receptor point (RT1061). The location was chosen as close as possible to the monitoring station (MS) equipped with an automatic differential optical absorption spectroscopy (DOAS - OPSIS) in Svishtov. This allows for comparison of the calculated modeling results and PM$_{10}$ concentration measured by MS (DOAS – OPSIS) Svishtov.
3. Entering data for the sources
Three types of sources are modeled - point, area and line. The necessary parameters of emission streams for each type of source are entered using dBase files. All necessary input data is prepared in advance as described above.
4. Calculation
Calculation of emissions of PM$_{10}$ is done with the included modular SELMA$^{\text{GIS}}$ dispersion model – AUSTAL 2000 [3], formal model of the German Federal Environment Agency. This is the mathematical three dimensional Lagrangian dispersion model for assessment of air pollutants from various emission sources. In this case, three types of sources AUSTAL 2000 calculated the average annual concentration of PM$_{10}$ dispersion in the town of Svishtov.
5. Accounting for background contamination
Background concentration of PM$_{10}$ can not be calculated from the dispersion model therefore input data for the model are set. In this modeling assessment of the local background level of PM$_{10}$ characteristic of Svishtov region for the period 2007-2010 is made. The average background concentration set in the model is 23 µg/m$^3$ which was defined by the method of objective evaluation and extrapolation of the measured concentrations of PM$_{10}$ PM (DOAS - OPSIS) in Svishtov for the period 2007-2010 year.
6. Visualisation of Results
Modeling results are saved in a*. DBF format. Visualisation of the same is done by the module SELMA Visualisation directly into ArcMap as (*. shp) files. The results of the modeling of PM$_{10}$ from all sources in Svishtov are presented in fig. 1 (for 2007 year) and fig 2. (for 2010 year).
7. Evaluation of modeling results
Tables 5 and 6 show the calculated from the model average annual concentrations of PM$_{10}$ at receptor point (RT 1061), near the monitoring station (DOAS - OPSIS) Svishtov.
Table 5. Involvement of different sources and background in the formation of AACs of PM$_{10}$ at receptor point (RT1061) – 2007
| Source | AACs of PM$_{10}$ Defined at receptor point (RT1061) $\mu g/m^3$ | Contribution of different sources in AACs modeled value |
|---------------------------------------------|------------------------------------------------------------------|-------------------------------------------------------|
| | | (no) background concentration | (with) background concentration |
| Point sources (Industry) | 0.33 | 1.10 | 0.82 |
| Point sources (Central Sviloza - AD) | 0.10 | 0.33 | 0.25 |
| Linear Sources (Transport) | 1.33 | 4.45 | 3.31 |
| Area sources (household sector) | 13.13 | 44.93 | 32.64 |
| Area sources (public sector) | 2.34 | 7.83 | 5.82 |
| Background contamination* | 23 | - | 25.70 |
| TOTAL SOURCES | 40.23 | 100.00 | 100.00 |
Dispersion modeling allows a quantitative assessment of immission air pollution in Svishtov with PM$_{10}$. Comparison of these results allows estimation of the contribution of each source of pollution (point, line, area, background) to total PM$_{10}$ pollution of air in Svishtov for 2007 and 2010.
Table 6. Involvement of different sources and background in the formation of AACs of PM$_{10}$ at receptor point (RT1061) – 2010
| Source | AACs of PM$_{10}$ Defined in Section receptor (RT1061) µg/m$^3$ | Contribution of different sources to AACs modeled value |
|---------------------------------------------|-----------------------------------------------------------------|-------------------------------------------------------|
| | | (no) background concentration % | (with) background concentration % |
| Point sources (Industry) | 0.26 | 0.95 | 0.60 |
| Point sources (Central Sviloza - AD) | 0.14 | 0.51 | 0.32 |
| Linear Sources (Transport) | 1.26 | 4.60 | 2.90 |
| Area sources (household sector) | 16.85 | 61.47 | 38.73 |
| Area sources (public sector) | 2.00 | 7.30 | 4.60 |
| Background contamination* | 23 | - | 37.00 |
| TOTAL SOURCES | 43.51 | 100.00 | 100.00 |
Quantitative results of modeling the major sources and background PM$_{10}$ in ambient air of Svishtov for 2007 showed that PM$_{10}$ emissions from domestic heating and local pollution with resuspended dust have the greatest contribution to the levels of air pollution in city by 32% and 31% (fig.3, fig.4). Quantitative results of modeling the major sources of emissions of PM$_{10}$ in ambient air of Svishtov for 2010, confirms that PM$_{10}$ emissions from domestic heating and background contamination is a key contributor to the pollution levels in the atmosphere in the city.
Figure 3. Percentage of sources of PM$_{10}$ pollution 2007 (with background)
UNCERTAINTY OF MODELING RESULTS.
Comparison of the calculated results of the dispersion modeling with SELMA\textsuperscript{GIS} and measured annual average concentrations of PM\textsubscript{10} PS DOAS - Svishtov for 2007 - 2010 is made at receptor points as close as possible to the point of monitoring (MS-AIS) of Svishtov.
Pursuant to the requirements of Section I, Table. 16, Annex № 8 of Regulation № 12/2010 of the results of the dispersion modeling of PM\textsubscript{10} a legally required data quality is set which is not more than 50 % uncertainty for the average values. The uncertainty for modeling is calculated as the difference of the measured and calculated level of PM\textsubscript{10} monitoring stations for the period compared to an average annual rate - 40 µg/m\textsuperscript{3} for PM\textsubscript{10} (table 7).
**Table 7. Uncertainty of the results of PM\textsubscript{10} dispersion modeling**
| Year | Estimated average annual concentration SELMA\textsuperscript{GIS} | Measured average annual concentration | Uncertainty in % compared to average annual rate = 40 µg/m\textsuperscript{3} |
|------|---------------------------------------------------------------|-------------------------------------|--------------------------------------------------------------------------|
| | receptor point | µg/m\textsuperscript{3} | µg/m\textsuperscript{3} | % |
| 2007 | PT1061 | 40.23 | 45 | 11.9 |
| 2010 | PT1061 | 43.51 | 47.6 | 10.2 |
The uncertainty of the modeling results for 2007 and 2010 was calculated based on measurements in MS-DOAS Svishtov, where uncertainty is achieved amounted respectively to 11.9 % and 10.2 % compared to SGN = 40µg/m\textsuperscript{3}.
Estimated uncertainty of the results of dispersion modeling of PM$_{10}$ for 2007 and 2010 is consistent with the statutory requirements for their quality and can be considered representative and reliable.
The modeling of annual average concentrations of PM$_{10}$ in Svishtov (2007 - 2010) meet the statutory requirement for uncertainty and show the expected trend of the contribution of various pollution sources to the total PM$_{10}$ air pollution.
**CONCLUSIONS:**
Modeling results show that:
- Background local pollution and PM$_{10}$ emissions from domestic heating have the largest contribution to the air pollution of Svishtov with PM$_{10}$ for 2007-2010;
- The contribution of point and linear sources of PM$_{10}$ air pollution of Svishtov is below 10%.
**REFERENCES:**
[1] Chervenkov D., P. Chernokozhev. Spectrophotometer for research of the atmospheric ozone-Positioning of the executive operating parts. Journal Scientific and Applied Research, 2013, vol. 3, 56-59.
[2] Air Pollution and Clean Air Act, US Environment Protection Agency, 2010.
[3] AUSTAL 2000. Program Documentation of Version 2.4. Janicke Consulting, Federal Environmental Agency, 2009.
[4] Development of Emission Factors in Europe-Handbook on Emission Factors of Road Transport (HBEFA), 2012.
[5] EMEP/EEA Air Pollutant Emission Inventory Guidebook, 2009, Small Combustion.
[6] Framework Directive 96/62/EC on the assessment and management of air quality in the European Union.
[7] Friedrich R., P. Bickel. Environmental External Costs of Transport, 2001, Stuttgart, Germany.
[8] LOHMEYER Consulting Engineers. Air Quality, Climate, Aerodynamics, Environmental Software. [www.lohmeyer.de/en/node/148](http://www.lohmeyer.de/en/node/148)
[9] National Cooperative Freight Research Programme. Report 4. Representing Freight in Air Quality and Greenhouse Gas Models, 2010.
[10] Regulation No7/1999 for the assessment and management of ambient air quality. Prom. SG. 45 of 1999.
[11] Regulation No 12/2010 on the emission of SO$_2$, NO$_2$, particulate matter, Pb, benzene, CO and O$_3$ in ambient air. Prom. Gazette No. 58 of 2010.
[12] SELMA$^{\text{GIS}}$ 9-System for Air Pollution Modelling and Visualization.
www.environmental-axpert.com/software/selma-gis-9-system.
[13] Stoyanov S. Zh., G.H. Mardirossian. Satellite spectrophotometer for research of the total ozone content. Journal Scientific and Applied Research, 2013, vol.3, 5-9.
[14] Vladimirov L., M. Todorova. Measurement the risk of ecological dangerous economic activities. Journal Scientific and Applied Research, 2013, vol.3, 35-41.
[15] Vladimirov L., K. Hristova. Improve dialog categorization of the methods for risk assessment of environmental danger economical activities. Journal Scientific and Applied Research, 2013, vol.4, 146-153.
AIR POLLUTION WITH SULFUR OXIDES FROM INDUSTRY IN SOUTH-WESTERN AND SOUTH-EASTERN REGIONS OF BULGARIA
Mariana Todorova
UNIVERSITY OF SHUMEN
Abstract: Restructuring of industrial production and the concrete environmental measures such as fuel switching facilities and replacement of process equipment in the energy-intensive industries, the installation of new or increased efficiency of existing treatment facilities have caused emissions into the atmosphere to decrease significantly. However, the concentration of sulfur oxides in air showed no significant improvement, despite reduced emissions.
Key words: sulfur oxides, emission, industry, energy.
Introduction
Bulgarian government and local authorities made efforts in the last years to improve the quality of the air we breathe. There has been a significant improvement but it is insufficient for attaining and ensuring good quality of the air in the city regions. A considerable part of Bulgarian population still lives in cities where the appointed limits of air quality in the EU (imposed in order to preserve human health) are surpassed.
Fig. 1. Average daily concentration of SO$_2$ in 2007 – 2010 [3]
As a result of restructuring industrial production and the concrete ecological measures applied, such as change of combustible bases and replacement of technological equipment in companies with high energy consumption, fitting new or improving the efficiency of existing purifying stations, toxic emissions in the air are considerably less but the concentration of sulfur oxides in the air did not show any improvement despite the reduced emissions [5].
**Exposition**
The whole country still has a problem with pollution. Its levels in most cities are about or above the set standards and occasionally surpass the appointed levels of human health protection. The frame directives for managing air quality and better air in Europe appear as a key point in EU strategy for improving air quality as a whole. The corresponding norms in Bulgarian legislature, N 7 from 3 May 1999 for air quality evaluation and management and N 12 from 15 July 2010 for sulphur dioxide limits in the air, arrange both limits of pollution and conditions, order and ways of improving air quality in the regions where the permitted levels are surpassed [4].
In the years of the investigated period 2007-2013 specialists registered excess of the average norms per hour and/or the average daily norms of sulfur dioxide in two regions for air quality evaluation and management (RAQEM) (South-eastern region – Galabovo and Sliven and South-western region – Kardzhali and Pernik). Excess above the alarm limit is registered in Galabovo and Pernik. The main sources of sulfur dioxide in the South-eastern region are the thermal-electric power stations of Maritsa Iztok energy complex and *Sliven* thermal-electric power station. In the South-western region the main sources are Lead-zinc Company LTD in Kardzhali and Central Heating Supply Station LTD in Pernik.
Fig. 2. Average yearly concentration of SO₂ in Kardzhali from 2007 till 2010
On the basis of the investigated emission sources influencing the pollution levels in the region of Kardzhali district the aim of the actual data at the present moment is to suggest new, effective, short-term measures, which should ensure compliance of Air Control with the law requirements about standards of human health protection; to encourage good European practices which increased the emission reduction of particular air pollutants; updating and improving the process of Air Control management via an observation system, increased control and number measurements; to provide the population with more information and better knowledge about the problems of air pollution; to ensure timely and reliable information about air conditions and pollution sources [1].
Fig. 1 shows the average daily concentration of SO$_2$, measured in the period from 2007 till 2010. The measurements are made by "KOS" in the period from 1 January 2007 till 31 July 2008 and by Studen kladenets Automatic Measurement Station in the region of Kardzhali in the period from 1 August 2008 till 31 December 2010.
The number of days with measurements for the corresponding years is as follows:
- 179 days with measurements in 2007 (49.0%);
- 329 days with measurements in 2008 (89.9%);
- 363 days with measurements in 2009 (99.5%);
- 364 days with measurements in 2010 (99.7%).
The red line shows the average daily norm (ADN) of 125 µg/m$^3$. The maximum number of excesses of ADN of sulfur dioxide (SO$_2$) per year is 3. The number of excesses of ADN for the corresponding years is [1]:
- 33 days with excesses above the ADN out of 303 days with measurements in 2007 (10.9%);
- 23 days with excesses above the ADN out of 326 days with measurements in 2008 (7.10%);
- 23 days with excesses above the ADN out of 363 days with measurements in 2009 (6.3%);
Fig. 4. Average monthly concentration of SO$_2$ in Kardzhali in 2008
- 9 days with excesses above the ADN out of 362 days with measurements in 2010 (2.5%).
There is an average norm per hour (ANH) for the sulfur dioxide of 350 $\mu g/m^3$. The maximum number of excesses of ANH for the sulfur dioxide (SO$_2$) per year is 24 [2].
The number of excesses of ANH for the corresponding years is as follows:
- 28 excesses of ANH out of 902 hours with measurements in 2007 (3.1%);
- 171 excesses of ANH out of 5734 hours with measurements in 2008 (3.0%);
Fig. 5. Average monthly concentration of SO$_2$ in Kardzhali in 2009
-203 excesses of ANH out of 8301 hours with measurements in 2009 (2.4%);
-88 excesses of ANH out of 8316 hours with measurements in 2010 (1.1%).
The number of days with excesses of ANH in the corresponding years is as follows:
-28 excesses of ANH in 25 out of 303 дни с days with measurements in 2007 (55.6%)
-171 excesses of ANH in 169 out of 326 days with measurements in 2008 (51.8%)
Fig. 6. Average monthly concentration of SO₂ in Kardzhali in 2010
-203 excesses of ANH in 202 out of 363 days with measurements in 2009 (55.6%)
-88 excesses of ANH in 62 out of 362 days with measurements in 2010 (17.1%)
The analysis of Fig. 1 leads to the following conclusions:
1. The number of excesses of the average daily norm (2007 - 33; 2008 - 23; 2008 - 23; 2010 - 9) shows a tendency to decrease.
2. The value of the average concentration per year has considerable decrease in 2010.
3. There is no tendency for increasing the values of the average concentration per year in the winter months. This shows that pollution is not related to the seasonal emissions of domestic heating but to the production processes of the main source of pollution in the district - Lead-zinc Company LTD.
There is an analysis of the number of excesses of the average norm per hour for human health protection in all the years under investigation. The analysis shows that the norm is not kept during the four years and more than the allowed 24 excesses of ANH are registered (2007 – 28; 2008 - 171; 2008 - 203; 2010 - 88).
Fig. 8. Number of excesses of ANH of SO$_2$ in the period 2007 - 2010 of 500 µg/m$^3$
In chapter 4 of the program "Character and evaluation of pollution" [1] there is a detailed analysis of air quality and there are conclusions made about the possible reasons for the values which are measured for this pollutant [2].
Analysis of the SO$_2$ concentration measured in the region of Kardzhali in the period 2007 - 2010 with the number of allowed days with excesses - 3 days.
According to the presented data of measured air concentration in the region of Kardzhali in the period 2007 - 2010 the following conclusion about pollution with sulfur dioxide (SO$_2$) can be made:
![Graph showing comparison of the number of days with excesses of ADN for SO$_2$ with the number of days with measurements in the period 2007 - 2010]
Fig. 9. Comparison of the number of days with excesses of ADN for SO$_2$ with the number of days with measurements in the period 2007 - 2010
- during the four years of investigation the average norm per hour for human health protection is surpassed more than 24 times, which is the limit allowed (2007 - 28; 2008 - 171; 2009 - 203; 2010 - 88). And despite the 2010 tendency to decrease, the excesses are 3.7 times more than the allowed limit;
- the number of days with excesses of the average daily norm shows a tendency to decrease (33 days in 2007 - 9 days in 2010), nevertheless it surpasses significantly the maximum number of excesses allowed for the ADN of SO$_2$, which is 3 per year;
- numerous excesses above the alarm limit for sulfur dioxide of 500 µg/m$^3$. According to the instruction the population was informed about 3 successive excesses of the average norm per hour for sulfur dioxide above the alarm limit of 500 µg/m$^3$;
- the values of the average concentration per year are not a controlled parameter for the atmospheric air but they are an integral indicator, which is actually directly related to the total yearly emissions of SO$_2$O.
The value measured in 2010 is lower than the values measured in the period 2007-2010. The following tables give evidence for this:
Table 1
Average measurements per hour of sulfur dioxide [3]
| Place | Registered data Concentration per hour | Number of excesses of ANH [350 µg/m³] | Maximum average concentration per hour measured [µg/m³] | Number of excesses above the AL* |
|------------------------|---------------------------------------|--------------------------------------|--------------------------------------------------------|---------------------------------|
| Kardzhali – Studen kladenets | 8318 | 85 | 1516.63 | 1 |
| Dimitrovgrad - Rakovski | 8481 | 13 | 965.09 | 0 |
*AL – alarm limit for sulfur dioxide (500 µg/m³, measured in three successive hours)
Table 2
Average measurements per day of sulfur dioxide [3]
| Place | Registered data Concentration per day (24 hours) | Number of excesses of ADN [125 µg/m³] | Number of excesses of *UL [75 µg/m³] | Maximum average concentration per day measured [µg/m³] | Average concentration per year [µg/m³] |
|------------------------|--------------------------------------------------|--------------------------------------|--------------------------------------|--------------------------------------------------------|---------------------------------------|
| Kardzhali – Studen kladenets | 363 | 9 | 29 | 271.48 | 31.56 |
| Dimitrovgrad - Rakovski | 357 | 0 | 16 | 123.41 | 25.38 |
*UL – upper limit for sulfur dioxide in the atmospheric air
In the last years sulfur cleaning installations caught 824,4 thousands tons of sulfur. A National program for decreasing the total yearly emissions of sulfur dioxide, nitric oxides, volatile organic compounds and ammonia in the air was approved by virtue of the Law for cleaning atmospheric air (LCAA) under article 10 in order to ensure the application of Directive 2001/80/EO and the fulfillment of the obligations of the country in the EU Accession Agreement. The document was approved with Decision N 261 by the council of ministers. Its application leads to considerable reduction of the pollution with sulfur oxides as can be seen in Tables 2 -6 below.
Table 3
Average values per hour for sulfur dioxide – 2011 [3]
| Place | Registered data Concentration per hour | Number of excesses of ANH [350 µg/m³] | Maximum average concentration per hour measured [µg/m³] | Number of excesses above the AL* |
|------------------------|---------------------------------------|--------------------------------------|--------------------------------------------------------|---------------------------------|
| Kardzhali – Studen kladenets | 8366 | 38 | 960.70 | 0 |
| Dimitrovgrad - Rakovski | 8379 | 20 | 710.74 | 0 |
*AL – alarm limit for sulfur dioxide (500 µg/m³, measured in three successive hours)
Table 4
Average values per day for sulfur dioxide – 2011 [3]
| Place | Registered data Concentration per day (24 hours) | Number of excesses of ADN [125 µg/m³] | Number of excesses of UL* [75 µg/m³] | Maximum average concentration per day measured [µg/m³] | Average concentration per year [µg/m³] |
|------------------------|--------------------------------------------------|--------------------------------------|--------------------------------------|-----------------------------------------------------|---------------------------------------|
| Kardzhali – Studen kladenets | 365 | 4 | 31 | 172,07 | 29,91 |
| Dimitrovgrad Rakovski | 361 | 2 | 20 | 133,83 | 28,32 |
*UL – upper limit for sulfur dioxide in the atmospheric air
Table 5
Average values per hour for sulfur dioxide – 2012 [3]
| Place | Registered data Concentration per hour | Number of excesses of ANH [350 µg/m³] | Maximum average concentration per hour measured [µg/m³] | Number of excesses above the AL* |
|------------------------|----------------------------------------|--------------------------------------|-----------------------------------------------------|---------------------------------|
| Kardzhali – Studen kladenets | 8331 | 8 | 593,62 | 0 |
| Dimitrovgrad Rakovski | 8302 | 19 | 876,10 | 1 |
*AL – alarm limit for sulfur dioxide (500 µg/m³, measured in three successive hours)
Table 6
Average values per day for sulfur dioxide – 2012 [3]
| Place | Registered data Concentration per day (24 hours) | Number of excesses of ADN [125 µg/m³] | Number of excesses of UL* [75 µg/m³] | Average concentration per year [µg/m³] |
|------------------------|--------------------------------------------------|--------------------------------------|--------------------------------------|---------------------------------------|
| Kardzhali – Studen kladenets | 361 | 1 | 8 | 14,17 |
| Dimitrovgrad Rakovski | 361 | 2 | 13 | 22,20 |
*UL – upper limit for sulfur dioxide in the atmospheric air
There is a program developed which makes provision for measures reducing the emissions. As a result the program aims at the application of Directive 2001/80/EO and achieving the national limits listed below:
### Table 7
Average values per day for sulfur dioxide – 2013 [3]
| Place | Registered data Concentration per day (24 hours) | Number of excesses of ADN [125 µg/m³] | Number of excesses of UL* [75 µg/m³] | Average concentration per year [µg/m³] |
|------------------------|--------------------------------------------------|--------------------------------------|--------------------------------------|---------------------------------------|
| Kardzhali – Studen kladenets | 92 | 0 | 1 | 88.88 |
| Pernik - Shahtyor | 82 | 2 | 17 | 183.35 |
| Galabovo | 92 | 0 | 3 | 117.85 |
*UL – upper limit for sulfur dioxide in the atmospheric air
### Table 8
Emissions of pollutants in the atmospheric air by anthropogenic sources (without nature) compared to other atmospheric pollutants and international agreements of Bulgaria, kt [3]
| Atmospheric pollutants | Emissions in 2011 | Agreements according to Directive 2001/81/EO | Agreements according to Gotheburg Protocol to the Convention on Long-range Transboundary Air Pollution (LRTAP) | Aims of the National program approved with Decision N 261 by the Council of ministers |
|------------------------|-------------------|-----------------------------------------------|-------------------------------------------------------------------------------------------------|-------------------------------------------------------------------------------------|
| | | 2010 | 2010 | 2010 r. | 2015 | 2020 |
| SOₓ (i.e. SO₂) | 514 | 836 | 856 | 380 | 300 | 250 |
| NOₓ (i.e. NO₂) | 136 | 247 | 266 | 247 | 247 | 247 |
| NMVOC | 92 | 175 | 185 | 175 | 175 | 175 |
| NH₃ | 48 | 108 | 108 | 108 | 108 | 108 |
### Summary
In the period 2011 – 2013 there is a tendency to decrease the pollution in the atmospheric air and to reach the allowed norms of pollutants in the region of Kardzhali.
This can be seen in the analyses made for sulfur oxides in the period 2007-2013 of the average daily concentration of SO₂, measured in the period from 2007 till 2013. Data is received from "KOS" for the period from 1 January 2007 till 31 July 2008 and from Studen kladenets Automatic Measurement Station for the period from 01 August 2008 till 31 December 2013.
These data can be also used when a morphological model is constructed, then the main elements are defined and the risks and criticalities for air pollution with sulfur oxides are determined [5].
We can use a turbulent stream model and the accompanying program PLUME based on it [4].
Scenarios are reproduced which allow the specialists to take decisions about the ecological security of the region.
Air pollution with sulfur oxides in the residential areas and the damages they can cause to the population are evaluated with an improved method of probability. The method uses eight probability criteria for evaluating the risk of pollution. These criteria allow us to analyse and determine the chance character of emissions and immissions that influence the risk and criticalities.
**Conclusions**
The analysis of the results of the concentration of sulfur dioxide leads to the following conclusions:
1. With regard to the number of excesses of the average norm per hour for human health protection (fig. 1–fig. 8):
- the diagram shows excesses above the allowed limit for all the years investigated;
- the comparatively small excess above the allowed limit in 2007 can be explained with the fact that the measurements at this place are done with manually taken samples. The analysed data include 902 average values per hour out of all 8760 hours in the year, which is only 10.3%;
- although the data for 2010 (88 excesses) show considerable decrease compared to the values measured in 2008 and 2009, still they are 3.67 times above the allowed 24 excesses of the average norm per hour.
2. With regard to the number of excesses of the average daily norm:
- the diagram shows excesses for all the years investigated;
- although the data for 2010 show considerable decrease (3 days with excesses) compared to the values measured in 2008 and 2009, still they are 3 times above the allowed 3 excesses of the average daily norm.
3. With regard to the average concentration per year (Fig. 1):
**Fig. 10.** Comparison of the number of days with excesses of ADN for SO₂
- these values are not a controlled parameter for the atmospheric air but they are an integral indicator, which is actually directly related to the total yearly emissions of $\text{SO}_2$;
- the values for the period 2007 – 2009 are almost equal, while the diagram shows a considerable decrease in 2010.
4. The diagrams for monthly distribution of the average daily concentration (Fig.1 - Fig.6) show no tendency for maximal values of the average daily concentration in the winter months. This means that pollution is not related to the seasonal emissions of domestic heating but to the production processes of Lead-zinc Company LTD.
5. The overall evaluation of the possibilities for preventing the pollution with sulfur dioxide is not favourable. The serious breach of the atmospheric air norm determines the necessity for a series of radical measures not only for decreasing the emissions per year but for protection from exceeding the average norms per hour and per day. There are excesses registered above the alarm limit of sulfur dioxide of $500 \mu\text{g/m}^3$ and according to the instruction the population was informed about 3 successive excesses of the average norm per hour for sulfur dioxide above the alarm limit of $500 \mu\text{g/m}^3$.
6. In the period 2011 – 2013 in the region of Kardzhali there is a tendency to decrease the pollution with sulfur dioxide, to reduce considerably the pollutants in the atmospheric air and to reach the allowed norms of harmful substances. This is shown in tables 1-8.
**REFERENCES**
[1] Character and evaluation of pollution program. Ministry of Environment and water. 2010.
[2] Annex 3 to Order N 12/30/07.2010. Ministry of Environment and water.
[3] Executive Agency of Environment. 2012 -2013.
[4] Vladimirov, L., M. Todorova. Risk and criticalities caused by air pollution with sulphur oxides at border areas. Shumen, University of Shumen, Scientific Conference Mathech’ 2012. (in press)
[5] Vladimirov, L. Riskmetric in Environmental security. Varna, Varna free university, 2009.
ИЗИСКВАНИЯ КЪМ АВТОРИТЕ
В списание “Scientific and applied research” се публикуват на английски език кратки научни съобщения, отразяващи нови, непубликувани резултати от проучвания в областта на математическите, физическите, химическите, биологическите и медицинските науки, науките за Земята, инженерните, педагогическите и аграрните науки. Текстовете на статиите трябва да са подготвени за печат. Не се предвижда допълнително редактиране. Статиите се изпращат на адрес:
email@example.com
Полетата на всяка страница трябва да са: ляво 25 mm, дясно 25 mm, горно 25 mm, долно 30 mm. На листа не се чертае рамка. На първа страница над заглавието да се оставят 60 mm (т.е. горно 25 + 35mm), на формат А4. Максималният обем на статиите е 8 страници. Студия се оформя както статия, в обем от 21 до 30 страници.
УКАЗАНИЯ ЗА ОФОРМИЯНЕ НА ТЕКСТА
ЗАГЛАВИЕ – Font: Times New Roman; Size: 14; Fontstyle: Bold; Effects: AllCaps; ParagraphAlignment: Centered.
ИМЕНА НА АВТОРИТЕ се печатат през 1 празен ред под заглавието в разгънат вид - пълно собствено пълно фамилийно име; Font: Times New Roman, Size: 14, Fontstyle: Bold, ParagraphAlignment: Left, по средата на реда – Centered.
АНОТАЦИЯТА И КЛЮЧОВИТЕ ДУМИ НА АНГЛИЙСКИ ЕЗИК се оформят така:
Анотацията (Abstract) в обем до 10 реда - Font: Times New Roman, Size: 12, Fontstyle: Italic, ParagraphAlignment: Justified; през 1 празен ред следват ключовите думи (дескриптори - Keywords) – Font: Times New Roman, Size: 12, Fontstyle: Italic; ParagraphAlignment: Justified, и двата елемента с отстъп 1 cm вляво от рамката, ограничаваща основния текст.
ОСНОВЕН ТЕКСТ – Font: Times New Roman, Size: 14; ParagraphFirstline: cm, Linespacing: Single, Alignment: Justified. Фигурите, с обяснителен текст, трябва да бъдат прецизно изработени и равномерно разположени върху страниците. Задължително е използването на международната система за мерните единици (SI). Чертежите, илюстрациите и снимките се обозначават в текста като фигури, съкратено „фиг.”. Те трябва да бъдат ясни и констрастни и да се придружават от текст. Приложените фигури и снимки да не са цветни.
Литературата в текста се означават с цифра, заградена в квадратни скоби [1] Номерацията на формулите се означават вляво от тях в малки кръгли скоби ( ). Литературата, посочена в края на доклада, се изписва съгласно стандарта за библиографско описание, на английски език а цитиранятия в текста се означават с цифра, заградена в квадратни скоби [1].
Литературната справка трябва да съдържа не повече от 20 публикувани работи, цитирани в статията, подредени в хронологичен ред според цитирането им в текста. Името на първия автор се дава в инверсия. Следват съкратеното заглавие на списанието, том, година, книжка, страници (от – до), а при книги и монографии - заглавие, град, издателство, години, страници.
АДРЕСИ ЗА КОРЕСПОНДЕНЦИЯ се изписват през един празен ред (без абревиатури), Font: Times New Roman, Size: 12; Fontstyle: Italic; Effects: AllCaps, ParagraphAlignment: Justified, по средата на реда – Centered. Научни степени и звания, както и военни звания не се посочват.
Всяка статия се рецензира от двама независими анонимни рецензенти. След одобрене от рецензентите статията се приема за печат.
REQUIREMENTS FOR THE AUTHORS
The journal “Scientific and applied research” publishes reports of original scientific results in the field of mathematical, physical, chemical, biological, medical, Earth and life sciences as well as engineering, pedagogical and agrarian sciences in English. The text papers should be styled for printing. No additional redaction is planned. The papers should be sent to the following address: firstname.lastname@example.org
The Fields on each page should be: left - 25 mm, right - 25 mm, top - 25 mm, bottom - 30 mm. No frame on sheet. On the first page under the title should be left 60 mm (top 25 + 35 mm), All papers shall be printed on a laser printer on standard sheets of paper format A4. The paper volume shall not exceed 8 pages. Each study should be styled as a paper in a volume of 21 to 30 pages.
Text shall be styled in the following way
TITLE - Font: Times New Roman; Size: 14; Fontstyle: Bold; Effects: AllCaps; Paragraph Alignment: Centered.
AUTHOR NAMES - shall be printed over empty line under the title in its complete form – complete name, initial for the surname and complete family name; Font: Times New Roman, Size: 14, Fontstyle: Bold, Paragraph Alignment: Left, по средата на реда – Centered.
ANNOTATION AND KEYWORDS IN ENGLISH are styled as follows: annotation (ABSTRACT) in volume up to 10 lines - Font: Times New Roman, Size: 12, Fontstyle: Italic, Paragraph Alignment: Justified; the keywords are next over empty line (descriptors - KEY WORDS) – Font: Times New Roman, Size: 12, Fontstyle: Italic; Paragraph Alignment: Justified, both elements outstand 1 cm left of the frame limiting the main text.
MAIN TEXT - Font: Times New Roman, Size: 14; Paragraph Firstline: cm, Linespacing: Single, Alignment: Justified. Drawings shall be precise and evenly placed on pages. The International System of Units (SI) should be used. All graphs, illustrations and photographs are referred to as Figures, abbreviated to “Fig.”. They should be clear and contrasting and should be accompanied by text. The applied figures and pictures shouldn’t be color.
The literature in the text should be denoted by a number in square brackets [1]. Numbers of formulas are printed on their left in brackets ( ).
Literature, stated at the end of the paper shall be printed according to the bibliographic description standard, and citations within the text are marked with a number in square brackets [1].
The references should contain up to 20 cited works arranged according to their order of appearance in the text. The family name precedes the initials of the first name in case of the first author. The references should include the names of the authors, followed by the standard abbreviation of the journal, the volume number, the year of publication, number of the journal and the pages cited. For books - the titles, the city of publication and the publisher followed by the year of publication and pages.
MAILING ADDRESSES printed over one more empty line (no abbreviations), Font: Times New Roman, Size: 12; Fontstyle: Italic; Effects: AllCaps, Paragraph Alignment: Justified, in the middle of the line – Centered.
Military and scientific degrees shall not be pointed.
All manuscripts submitted for publication must first be reviewed by two independent anonymous reviewers. After the approval of the manuscript by the reviewers the paper is submitted for publication.
|
Iggy's Reckin' Balls
INSTRUCTION BOOKLET
SOLD BY
AKKlaim
EVERYONE
E
ESRB
NINTENDO 64
WARNING: PLEASE CAREFULLY READ THE CONSUMER INFORMATION AND PRECAUTIONS BOOKLET INCLUDED WITH THIS PRODUCT BEFORE USING YOUR NINTENDO® HARDWARE SYSTEM, GAME PAK OR ACCESSORY. THIS BOOKLET CONTAINS IMPORTANT SAFETY INFORMATION.
THIS PRODUCT HAS BEEN RATED BY THE ENTERTAINMENT SOFTWARE RATING BOARD. FOR INFORMATION ABOUT THE ESRB RATING, OR TO COMMENT ABOUT THE APPROPRIATENESS OF THE RATING, PLEASE CONTACT THE ESRB AT 1-800-771-3772.
THE OFFICIAL SEAL IS YOUR ASSURANCE THAT NINTENDO HAS APPROVED THE QUALITY OF THIS PRODUCT. ALWAYS LOOK FOR THIS SEAL WHEN BUYING GAMES AND ACCESSORIES TO ENSURE COMPLETE COMPATIBILITY. ALL NINTENDO PRODUCTS ARE LICENSED BY SALE FOR USE ONLY WITH OTHER AUTHORIZED PRODUCTS BEARING THE OFFICIAL NINTENDO SEAL OF QUALITY.
LICENSED BY NINTENDO
NINTENDO, THE OFFICIAL SEAL, NINTENDO 64 AND THE 3-D "N" LOGO ARE TRADEMARKS OF NINTENDO OF AMERICA INC.
©1996 NINTENDO OF AMERICA INC.
# TABLE OF CONTENTS
| Section | Page |
|--------------------------------|------|
| Loading | 2 |
| Story | 3 |
| Main Menu | 4 |
| Options | 4 |
| Game Modes | 5 |
| Default Controls | 6 |
| Characters | 7 |
| Power-Ups | 9 |
| Championships | 10 |
| Tower Gadgets | 12 |
| Tower Dangers | 12 |
| Platform Elements | 13 |
| Hints & Tips | 13 |
CONTROL STICK FUNCTION
The Nintendo® 64 Controller contains a Control Stick which uses an analog system to read the angles and direction of its movement. This allows subtle control that is not possible using the conventional Control Pad.
When turning the Control Deck power ON, do not move the Control Stick from its neutral position on the controller.
If the Control Stick is held at an angled position (as shown in the picture on the left) when the power is turned ON, this position will be set as neutral. This will cause games using the Control Stick to operate incorrectly.
To reset the neutral position once the game has started, let go of the Control Stick so it can return to its center position (as shown in the picture on the left) then press START while holding down the L and R Buttons.
The Control Stick is a precision instrument, make sure not to spill liquids or place any foreign objects into it.
LOADING
1. Make sure the power is OFF on your Nintendo® 64 Control Deck.
2. Insert your IGGY’S RECKIN’ BALLS™ Nintendo® 64 Game Pak into the Control Deck as described in the instruction manual.
3. Insert Controller(s) into Sockets 1-4. Note: Iggy’s Reckin’ Balls™ is for up to 4 players. Each must have a Controller.
4. If you wish to save a game, insert a Nintendo® 64 Controller Pak (sold separately).
5. Slide the power switch to ON (Important: make sure not to touch the Control Stick when doing so).
This game is compatible with the Controller Pak and Rumble Pak accessories. Before using the accessories, please read the Controller Pak and Rumble Pak accessory instruction booklets carefully. Follow on-screen instructions to determine when you should insert or remove the Controller Pak and Rumble Pak accessories.
**STORY**
The Cho-Dama kingdom is a quiet and peaceful one. Inhabitants have a very simple life, no worries, no bills to pay, and lots of spare time on their hands. The Cho-Dama kingdom has puzzling giant structures known as the Sacred Towers, constructed by ancient civilizations. Their purpose and origin are unknown; all that is known is that they look pretty cool.
Here comes Iggy, our mischievous little friend, who has only one thing on his mind - Reck 'n' Racin' fun! Those Sacred Towers are tempting targets to Iggy—a little too tempting! To more fully enjoy his destructive antics, Iggy has invited his closest friends from all over the world to join him in his tower Reckin' activities. Iggy's gang of Reckin' Balls has a merry mix of personalities and attitudes, but all have one thought on their minds: Let's Get Reckin'!!
Fearing the Sacred Tower's imminent destruction by Iggy's Reckin' Balls™, inhabitants of the Cho-Dama kingdom rise to protect the Sacred Towers. Using their collective mystical powers, the devious inhabitants will summon a plethora of tower dangers in an attempt to thwart Iggy's Reckin' Balls™ destructive plans.
**JOIN THE GANG!**
Now that you're an honorary member of Iggy's Reckin' Balls™, your objectives are simple: Traverse all Sacred Tower structures and 'Reck as many as you can. Beat the rest of the gang's tower count by destroying the most towers. Earn your way to the top slot, and become the gang's new leader!
Although the primary objective is simple, achieving excellence is not. You must fend off other team members as they too race for the tower tops. Use your grappling skills and special power-ups to hinder your team member's progress. Also in your path are Cho-Dama
inhabitants who are not too happy with the team’s malarkey on their Sacred Towers! Defeat them with special power-ups, grapple attacks, or use one of the many tower devices that can launch you up past your foes and help you gain ground on your Reckin’ teammates.
**MAIN MENU**
At the title screen, you will see these choices: Start, Trainin’, Options and Load.
**TRAININ’**
Brush up on your ‘Reck ‘n’ Racin’ skills with Iggy’s walk-through trainin’ course.
**OPTIONS**
Press ↑ or ↓ to highlight an option, then press ← or → to toggle settings. When you are through, highlight OK and press the A BUTTON.
| SOUND FX | - VOLUME + - |
| MUSIC | - VOLUME + - |
| DIFFICULTY | - EASY/ MEDIUM/HARD |
| CONTROLLER | - CONFIGURATION #1 |
| | - CONFIGURATION #2 |
| | - CONFIGURATION #3 |
Note: Selected options are also available during a game. Press the START BUTTON to bring up the pause options screen.
**LOAD**
This screen allows you to save and load game data. You can save your game progress after completing each Championship (10 towers) or Time Trial. Follow on-screen controls to save and load games.
Select an Empty slot to save to. If there are none available, you will be asked to overwrite (erase) an existing saved game to make room for the new one.
GAME TYPES/MODES
There are 5 GAME MODES, most for up to 4 players (Versus mode is not available for 1 player).
RACE
This mode is a 'Reck 'n' Race to the top of the stage. Collect power-ups, knock off your opponents, avoid the Cho-Dama inhabitants and use tower devices to help you race to the finish line as quickly as you can. The first player to successfully clamber through the required laps to the top is the winner, and has the pleasure of slammin' the plunger which demolishes the stage below and all the Cho-Dama inhabitants with it! Gain the highest point average over the 10 towers within each Championship to achieve the gold cup - thus winning the Championship! Save progress to the Controller Pak.
BATTLE MATCH
No racing – just survival of the fittest as Iggy's Reckin' Balls™ collect power-ups to defeat each other. Each player has 3 hits. After that you're history. There are many exciting arenas exclusive to Battle Mode. Can you survive them all?
Note: Watch out for the acid below. One touch and you will loose one life balloon!
TIME TRIAL TOURNAMENT
Your only opponent now is the clock. Save best times to the Controller Pak.
VERSUS
Go up against your friends. 2-4 players can choose their favorite tower to 'Reck 'n' Race.
GAME MIX-UP
Choose up to ten towers from any previously completed Championship(s) to create your own Championship.
DEFAULT CONTROLS
MENUS
CANCEL CHOICE/ PREVIOUS SCREEN
CHARACTER SELECT
JOIN IN
CONFIRM CHOICE
GAME CONTROL
POWER UP RELEASE/ TURBO ROLL (UNDERSIDE OF CONTROLLER)
GRAPPLE LAUNCH
JUMP ‘N’ GRAPPLE
CAMERA ZOOM IN/OUT (MOVE BETWEEN 3 PRE-SET POSITIONS)
LOOK RIGHT
LOOK LEFT
JUMP
PAUSE/ GAME OPTIONS
PLAYER MOVEMENT/ AIM GRAPPLE
Note: This is the default configuration (#1). You can select any of 3 preset control configurations in the Options menu.
CHARACTERS
There are 8 main playable characters in the game, each with varying degrees of grappling attitudes, and all with very different character traits. If you are good enough, maybe you can earn one of the many secret characters too!
To select a character: Under each player number (1-4) is a selection of characters. Press ↑ or ↓ on the Control stick (or C ▲ or C ▼) to scroll to the character you wish to play as. Press the A BUTTON to confirm your choice.
Note that the same character cannot be selected by more than one player, choose who you want to play - no one else can! Here’s who’s who:
Iggy:
Iggy is a happy go lucky Californian dude who likes nothing better than a good ‘Reck ‘n’ Race. Iggy is a very well rounded player!
Q-Tee:
One of the female Reckin’ Balls, Q-Tee is the best climber of the gang - amazing grappling skills. She loves danger, dancing and the ‘cuteness’ of a Reckin’ Race.
Narlie:
Narlie, a jacked-up Jack-O-Lantern, is Iggy’s arch rival, a little devil with some gruesome surprises in his glowing head. Narlie’s quick on the up!
Amanda:
Amanda is one cool, tough chick, not taking trash from anyone. Amanda muscles her way along the platforms with speedy finesse and beauty.
Chatter:
A lethal contestant from Iceland, with jaws of steel. Chatter may not be the fastest Reckin’ Ball, but he can turn on a dime.
Charlie:
Charlie is the medallion man of the bunch. Sporting a cheesy smile and gold chain, he’s one smooth chap! Not too quick on the ups, but he’s the fastest on the straight platform.
Sonny: A good all-round balanced player, favoring the straight platforms, “here comes the sun”. Not one to be messed with, he’s got one hot attitude.
Rob-ERT: A young mountain rescue droid from Russia who is very strong and durable. Rob-ERT’s one of the quickest on the ups.
Secret Characters: There are nine additional secret characters ranging from Elvis impersonators, to “gray” aliens, to masked ninjas. Maybe you can even find Iggy’s girlfriend hidden somewhere?
Evan the Rescuer: This dependable dragonfly helps you out when you get thrown off a tower, and also carries you from one tower to another. Thank heaven for Evan!
ENEMY CHARACTERS
There are 4 main enemy characters in Iggy’s Reckin’ Balls™. Each character features a variety of personalities and special moves, in addition to different classes of power and danger.
Stompie: Stompies have some serious attitude problems. They stomp all around, not caring what or who they land on. Only a good grapple-wielding player can stop them.
Pushie: These paranoid little creatures patrol the tower platforms, guarding them from Iggy’s Reckin’ Balls™. Watch out when they catch sight of you: with a bound and a “Wheya!” they will do their best to push you out of their platform area!
Spikie: Passive creatures with one fatal feature: poison spikes on their back.
Stickie: Stickies are gooey characters that leave a trail of sticky slime behind them that will slow a player down. They can also fire their eyes as projectiles at unsuspecting players.
**POWER-UPS**
**Collect Goodies:** A no-harm character that the player must collide with to gain power-ups. Some Goodies are harder to grab than others.
**About Power-Ups:** When a Goodie is picked up, the power-up icon will cycle randomly through the possible power-ups, giving the player one power-up. Players in 3rd or 4th place have a better chance of getting a more helpful power-up.
**Standard Projectile:** Player can collect three Standard Projectiles. One of the three Standard Projectiles is fired out on the current tower platform. The blue projectile circles around the platform until it meets with an enemy or opponent. Standard Projectiles can also be fired to the platform level above or below the player by holding the desired direction on the Control Stick when firing.
**Seeking Projectile:** More powerful than the standard projectile, the seeking projectile will search and home-in on the nearest player.
**Leader’s Seeking Projectile:** The most powerful of the projectiles is the leader’s seeking projectile. Once fired, it will search for all players that are ahead in race position. If you are in 1st place, it goes for the 2nd place player.
**Invincibility:** When activated, the player is (temporarily) completely invincible to all danger, yet can hurt opponents by bumping into them. A player’s actions and movement are also faster. Used strategically, Invincibility can aid players through armored sections much quicker.
**Freeze Bomb:** When a player activates the Freeze Bomb, each opponent is temporarily encased in a heavy block of ice. A player’s actions and movement are effected as if on ice.
Reverse Controls: Time to sweat! On activation, all opponents’ controls are temporarily reversed! Up is now down, left is right, etc. The panic allows our hero to gain some ground.
Bomb Jax: Player is equipped with three Bomb Jax. One of the three Bomb Jax is thrown out from behind the player onto the platform. Player can ‘kick’ a Bomb Jax by moving into it, sending it circling around the platform until it meets with an opponent (this can only be done with the Bomb Jax the player has placed, not opponent’s Bomb Jax). If a Bomb Jax does not make contact with any opponent it will detonate in 10 seconds, sending any player nearby clean off the platform.
Shrink Bomb: When a player activates the Shrink Bomb, each opponent is temporarily shrunk. A player’s actions and movement are also slower. Watch out, shrunk players are also prone to being flattened by opponents!
Turbo Replenish: When activated, the player’s four turbos are replenished.
Heli-Grapple: When activated, the player is lifted up and taken ahead to the 2nd placed player’s position at the time of activation. To gain best use, use immediately on receiving. Given out very sparingly.
CHAMPIONSHIP TOWERS
In total (including secret stuff!), Iggy’s Reckin’ Balls™ features over 100 Reckable towers in 10 distinct Championship environments, including:
Downtown: In the colorful smoggy streets of Downtown. Towering skyscrapers.
Candy Lane: Sugar delights. Candy canes, icing on the cake and sweetness good enough to eat!
The Deep: The dark depths of the ocean. Bubbles aplenty, a school of swimming fish and the odd spot of coral.
Soft Sun Bay: The sun’s out, surf’s up and the beach is waiting. Let’s go on vacation!
Tektricity: The techno-age. Circuit boards, diodes and many other technical devices all around.
Tiki Woods: If you go down to the woods today, you’re bound to Reck the joint! Romp in the undergrowth, bask in the tiki lamp glow.
Funkville: A very odd but intriguing world. Strange perspectives, gravity-defying structures all seem so familiar!
TOWER GADGETS
Iggy’s Reckin’ Balls™ features many tower gadgets designed to aid your race to the top of the towers.
**Upward Jumpers:** Allows a player to jump very high passing numerous tower platforms and huge chasms in a single rainbow bound.
**Magic Warps:** Warps aid the player in progressing to a higher platform in a single warp action. However, the player can also encounter variations on the warp such as Chance Warps. Do you feel lucky?
**Fan Blowers:** Fan Blowers blow bursts of air at regular intervals, either blowing up, left, or right, which either help a player jump an otherwise un-crossable jump, or plummet the player to the platform below - be careful!
**Side Bouncers:** Allows a player to be zoomed around the tower platforms at tremendous speeds to gain extra ground.
**Bubble Dispensers:** The player can jump onto the Bubble Dispenser to get caught in a bubble that will aid the player in reaching high tower platform areas.
**Evan Elevators:** Used to hitch a ride. Step onto the special plate by holding the desired direction (up or down) on the analog stick and pressing the jump button (A), and your trusty helper Evan, will swoop down and take you to a new location, gaining extra ground.
TOWER DANGERS
**Bashers:** Bashers are hammers that lurk at track side to bash players into oblivion.
Swinging Objects: A 3-D swinging hammer that players must time their run past to avoid being knocked clean off the platform.
Spikes: Spikes are dangerous. Not only will they knock players back on touch, they like to hide in the platforms, waiting for unsuspecting players to wander by. Time your approach carefully!
PLATFORM ELEMENTS
Moving Platforms: Moving Platforms are tricky in that they slowly move up and down, forcing the player to wait until it reaches a low enough point to allow a grapple.
Goo Platforms: Slimy platforms make the player’s movement very slow.
Icy Platforms: Slippery ice will make you lose your grip. When you land on this, you’ve hit Skid Row!
Armored Platforms: Platforms with industrial non-grapple markings impede the player’s ability to both grapple through or jump-down through. Don’t get trapped.
HINTS AND TIPS
There are numerous hints within the game, but you must earn them by winning!
NOTES
14
NOTES
ACCLAIM ENTERTAINMENT, INC. LIMITED WARRANTY
ACCLAIM ENTERTAINMENT, INC. (ACCLAIM) warrants to the original purchaser only of this ACCLAIM software product that the medium on which this software program is recorded is free from defects in materials and workmanship for a period of ninety (90) days from the date of purchase. This ACCLAIM software program is sold "as is," without express or implied warranty of any kind, and ACCLAIM is not liable for any losses or damages of any kind resulting from use of this program. ACCLAIM agrees for a period of ninety (90) days to either repair or replace, at its option, free of charge, any ACCLAIM software product, postage paid, with proof of date of purchase, at its Factory Service Center. Replacement of the game pak, free of charge to the original purchaser (except for the cost of returning the game pak) is the full extent of our liability.
This warranty is not applicable to normal wear and tear. This warranty shall not be applicable and shall be void if the defect in the ACCLAIM software product has arisen through abuse, unreasonable use, mistreatment or neglect. THIS WARRANTY IS IN LIEU OF ALL OTHER WARRANTIES AND NO OTHER REPRESENTATIONS OR CLAIMS OF ANY NATURE SHALL BE BINDING ON OR OBLIGATE ACCLAIM. ANY IMPLIED WARRANTIES APPLICABLE TO THIS SOFTWARE PRODUCT, INCLUDING WARRANTIES OF MERCHANTABILITY AND FITNESS FOR A PARTICULAR PURPOSE, ARE LIMITED TO THE NINETY (90) DAY PERIOD DESCRIBED ABOVE. IN NO EVENT WILL ACCLAIM BE LIABLE FOR ANY SPECIAL, INCIDENTAL, OR CONSEQUENTIAL DAMAGES RESULTING FROM POSSESSION, USE OR MALFUNCTION OF THIS ACCLAIM SOFTWARE PRODUCT.
Some states do not allow limitations as to how long an implied warranty lasts and/or exclusions or limitations of incidental or consequential damages so the above limitations and/or exclusions of liability may not apply to you. This warranty gives you specific rights, and you may also have other rights which vary from state to state.
This warranty shall not be applicable to the extent that any provision of this warranty is prohibited by any federal, state or municipal law which cannot be pre-empted.
Repairs/Service after Expiration of Warranty- If your game pak requires repair after expiration of the 90-day Limited Warranty Period, you may contact the Consumer Service Department at the number listed below. You will be advised of the estimated cost of repair and the shipping instructions.
ACCLAIM Hotline/Consumer Service Dept.(516) 759-7800
Marketed by Acclaim Entertainment, Inc. Distributed by Acclaim Distribution, Inc.
One Acclaim Plaza, Glen Cove, New York 11542-2777
IGGY'S RECKIN BALLS TM & © 1998 Acclaim Entertainment, Inc. All Rights Reserved. All other characters herein and the distinct likenesses thereof are trademarks of Acclaim Entertainment, Inc. Developed by Iguana Entertainment, an Acclaim Entertainment studio. TAITO is a registered trademark of TAITO CORPORATION. BUST-A-MOVE™ is a trademark of TAITO CORPORATION. © TAITO CORPORATION 1996, 1997. All rights reserved. Acclaim is a division of Acclaim Entertainment, Inc. All other trademarks are trademarks of Acclaim Entertainment, Inc. Acclaim is a division of Acclaim Entertainment, Inc. ™ ® & © 1998 Acclaim Entertainment, Inc. All rights reserved. Marketed by Acclaim. Distributed by Acclaim Distribution, Inc., One Acclaim Plaza, Glen Cove, NY 11542-2777
www.acclaim.net
LOOK FOR
BUST-A-MOVE
ARCADE 2 EDITION
EVERYONE
CONTEST RATED BY ESRB
ACCLAIM ENTERTAINMENT, INC.
ONE ACCLAIM PLAZA, GLEN COVE, NEW YORK 11542-2777
MADE IN USA
www.acclaim.net
|
Pursuing Competition and Regulatory Reforms for Achieving Sustainable Development Goals
Pursuing Competition and Regulatory Reforms for Achieving Sustainable Development Goals
Pursuing Competition and Regulatory Reforms for Achieving Sustainable Development Goals
Published by
CUTS® International
D-217, Bhaskar Marg, Bani Park
Jaipur 302016, India
Tel: +91.141.2282821, Fax: +91.141.2282485
Email: email@example.com, Web site: www.cuts-international.org
With the support of
© CUTS International, 2016
First published: July 2016
Citation: (2015), ‘Pursuing Competition and Regulatory Reforms for Achieving Sustainable Development Goals’ CUTS International, Jaipur
The material in this publication produced under the project entitled, ‘Competition Reforms in Key Markets for Enhancing Economic and Social Welfare in Developing Countries’ (CREW project) implemented by CUTS with the support of DFID (UK), and BMZ (Germany) facilitated by GIZ (Germany), may be reproduced in whole or in part and in any form for education or non-profit uses, without special permission from the copyright holders, provided acknowledgment of the source is made.
CUTS would appreciate receiving a copy of any publication, which uses this publication as a source. No use of this publication may be made for resale or other commercial purposes without prior written permission of CUTS.
ISBN: 978-81-8257-244-7
Printed in India by Jaipur Printers Private Limited, Jaipur
#1617 Suggested Contribution: ₹450/US$50
## Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Acknowledgement | i |
| Abbreviations | iii |
| Contributors | vii |
| Foreword | xiii |
| Preface | xv |
| An Overview | xix |
### Section I
**Government Policy Promoting Competition, Innovation & Jobs**
Role of Government in promoting sustainable economic growth through competition reforms thereby creating employment and facilitating innovation
#### Part I: Theoretical Overview
1. Governance Mechanisms and Regulation:
*Test of the Mediating Effects of Regulatory Decision Tools in the Communications Regulator*
Kuo-Tai Cheng
5
2. Role of Government, Sustainable Economic Growth and Competition Reforms: *An Indian Perspective*
S Chakravarthy
33
3. Competition Advocacy as an Anti-Rent-Seeking Policy:
*An Empirical Analysis*
Tim Büthe & Rachel Glanz
51
#### Part II: Country Experiences
4. The Impact of Choice and Competition Reforms on Secondary Schools in Nigeria
Afolayan Gbenga Emmanuel
75
5. Making Competition Policy Work in Mexico
*Umut Aydin*
89
6. Competition Law and Sustainable Development in China
*Wendy Ng*
104
7. Contributions to Inclusive Economic Growth in Argentina:
*Integrating Design, Marketing and Entrepreneurship for Local Development in Buenos Aires Province*
*Federico Del Giorgio Solfa & María Sol Sierra*
122
**Section II: Competition for Inclusive Economic Growth**
Designing competition reforms in developing and least developed countries to better contribute to inclusive economic growth, especially by creating greater scope for Micro, Small & Medium Enterprises (MSMEs)
8. The Theory of Competition and ‘the Developmental State’ in Africa:
*A Case Study of Kenya and South Africa*
*Paul Kinyua*
147
9. The State Incentives to Oligopoly in Face of Small and Medium-sized Enterprises in Latin America
*Rodrigo de Camargo Cavalcanti*
181
10. Promoting Innovation to Foster Competition, Economic Development and Growth in Developing Economies
*Vivek Ghosal*
193
**Section III: Competition Reforms as a Tool for Public Welfare**
Integrating elements of competition reforms into sectoral and for overall economic reforms to enable developing country consumers and producers derive measurable benefits
11. Government Regulations and Private Sector Development in the Grain Market Operations of India
*Surajit Deb*
215
12. Role of Government in Promoting Sustainable Economic Growth through Competition Reforms: *Exploring the Challenges in the Competition Regime in Tanzanian Case*
*Frederick Ringo & Deo John Nangela*
230
13. Two-Sided Markets and their Impact on Economy: *Cases from India*
*Varadharajan Sridhar*
253
Section IV: Trade, Regional Integration & Competition Reforms
Infusing competition principles and promoting regulatory reforms to make trade agreements and regional integration impactful in developing countries
14. Facilitating Equitable Regional Integration through Competition Policy and Regulatory Reforms: Key Priorities for African Developing Countries and LDCs in the Post-2015 Agenda
Clayton Hazvinei Vhumbunu 281
15. Broadening the Discourse on Regional Trade Agreements and Competition Rules, Compliance and Performance in Developing Economies
Derek Ireland 298
16. Competition Provisions in Trade Agreements: How to Realise their Potential?
Seema Gaur 347
| Table | Description | Page |
|-------|-----------------------------------------------------------------------------|------|
| 1.1 | Descriptive Statistics and Inter-correlations among All Variables | 18 |
| 1.2 | Fit Indices for Covariance Structure Analysis | 20 |
| 3.1 | Differences in Rent-Seeking, Ukraine (2005 vs. 2002) | 62 |
| 7.1 | Incubators of Buenos Aires Province | 127 |
| 7.2 | Technological Poles of the Buenos Aires Province | 128 |
| 7.3 | Detail of Existing Productive Chains Existent in each Sub-space, their Needs and Potentialities | 136 |
| 7.4 | Examples of Contributions of Industrial Design for each Dimension | 138 |
| 10.1 | Some Comparisons between Incubators and Accelerators | 197 |
| 10.2 | Selected Examples of Accelerators | 198 |
| 10.3 | Selected Examples of University-based Incubators | 200 |
| 11.1 | Food Grain Stocking Norm for the Central Pool | 218 |
| 11.2 | Arguments for and against Allowing Private Participation | 221 |
| 11.3 | Policy Recommendations for Reforms in Grain Markets | 222 |
| 11.4 | Herfindahl Index of Concentration for Rice and Wheat Based Industries | 224 |
| 12.1 | Annual Regulatory Authorities Budget Performance Percentage (2012-2015) | 243 |
| 13.1 | ICT Data of India (as on Dec-2014) | 255 |
| 13.2 | Growth and 2SMP Parameters: JustDial | 263 |
| 13.3 | Growth and 2SMP Parameters: Babajob | 266 |
| 13.4 | Growth and 2SMP Parameters: DailyHunt | 268 |
| 13.5 | Growth and 2SMP Parameters: Practo | 270 |
| 13.6 | Growth and 2SMP Parameters: Ola Cabs | 272 |
| Figure | Description | Page |
|--------|-----------------------------------------------------------------------------|------|
| 1.1 | The standardised solution for the indirect-effects-only model | 22 |
| 7.1 | Distribution of interurban cargo transportation in Argentina | 125 |
| 7.2 | Geographical Distributions of Local Development Agencies of the Province of Buenos Aires | 126 |
| 7.3 | Subspaces of Distribution | 135 |
| 11.1 | FCI’s Economic Cost | 219 |
| 12.1 | FCC Cases: From 2007-2015 | 240 |
| 12.2 | Annual Budget Performance for Three Years | 244 |
| 12.3 | FCC’s Implementation of its Anti-Counterfeit Mandate in 2010-2013 | 245 |
| 12.4 | Number of Raids Conducted | 245 |
| 13.1 | Overview of a Two-Sided market Platform | 257 |
| 13.2 | Effect of Market and Regulatory Factors on Various Categories of 2SMP Firms | 259 |
| 13.3 | Illustration of DailyHunt Platform Features | 267 |
| 13.4 | Performance of the Platforms across Various Market/Regulatory Dimensions | 273 |
Acknowledgement
This volume has been prepared under the auspices of the project entitled, ‘Competition Reforms in Key Markets for Enhancing Social & Economic Welfare in Developing Countries’ (CREW Project). This project was implemented by CUTS in four countries: Ghana, India, Philippines and Zambia, and across two common sectors: Staple Food and Bus Transport with the support from DFID (UK) and BMZ (Germany) facilitated by GIZ (Germany). The aim of the project was to highlight the relevance of competition reforms for social and economic welfare in developing countries, and motivate other countries, governments and development partners to accord greater attention to the subject of competition reforms.
In view of this overall aim of the project, with inputs from the project advisers CUTS designed the final conference of the CREW project on a broader theme to talk about ‘Relevance of Competition & Regulatory Reforms in Pursuing Sustainable Development Goals (SDGs) in Developing Countries’. The theme was thought to be both contemporary and relevant in view of the adoption of the SDGs a couple of months before this final conference. In addition to the support it received from DFID (UK), BMZ (Germany) and GIZ (Germany), the conference also received support from the World Bank, G-77 Secretariat and the OECD. CUTS is grateful to all the above organisations for supporting the conference, and indeed also the production of this volume.
We acknowledge the support from the members of the Project Advisory Committee of the CREW project, who contributed to make this conference a grand success. Special thanks to Clement Onyango and colleagues at CUTS Nairobi for their support and tireless efforts in the run-up and during the conference.
We gratefully acknowledge the hard work and patience of all the paper authors for contributing extremely interesting individual chapters to this volume. We are also thankful to those friends of CUTS who reviewed the draft papers – Eleanor Fox, Tania Begazo/Martha Licetti (World Bank),
Rafaelita Aldaba, R S Khemani, Frederic Jenny, Payal Malik, Allan Fels, David Ong’olo, Ashwini Swain, Peter Holmes and John Davies/Lynn Robertson (OECD).
We are indebted to Mukhisa Kituyi, Secretary General, UNCTAD for writing an encouraging Foreword – and we hope to continue to receive his and UNCTAD’s support.
We greatly appreciate the diligence of Madhuri Vasnani and Garima Shrivastava for editing and Mukesh Tyagi for preparing the layout of this report. Special thanks are due to Ashutosh Soni for his excellent coordination of communication with authors and reviewers of papers of this volume. We acknowledge the efforts of all the members of the CREW team, especially Cornelius Dube, Shreya Kaushik and Neha Tomar.
Last but not the least, this report would not have seen the light of the day without the skillful direction, and overall guidance of Pradeep S Mehta, Secretary General, CUTS. He took special interest in this volume and went through each and every paper carefully himself.
Words alone cannot convey our sincere gratitude to each and every individual who have contributed in every small way towards bringing out this volume. But it is only words that this world thrives on. We express our sincere gratefulness to all such individuals, without whom the publication of this volume would not have been possible.
Rijit Sengupta
Project Coordinator
| Abbreviation | Description |
|--------------|-------------|
| ADB | Asian Development Bank |
| AMC | Antimonopoly Committee |
| AMU | Arab Maghreb Union |
| ANC | African National Congress |
| AoD | Abuse of Dominance |
| APEC | Asia Pacific Economic Cooperation |
| ASEAN | Association of South East Asian Nations |
| ATAs | Agency-to-Agency Agreements |
| BNDES | Brazil National Bank for Economic and Social Development |
| BRTF | Better Regulation Task Force |
| BTIAs | Broad Trade and Investment Agreements |
| CADE | Conselho Administrativo de Defesa Econômica |
| CARICOM | Caribbean Community |
| CAs | Competition Authorities |
| CCC | COMESA Competition Commission |
| CCJ | COMESA Court of Justice |
| CCMP | Colonial Capitalist Mode of Production |
| CEMAC | Central African Economic and Monetary Community |
| CEPA | Comprehensive Economic Partnership Agreement |
| CEPGAL | Economic Community of the Great lakes Countries |
| CER | Closer Economic Relations Agreement between Australia and New Zealand |
| CFC | Federal Competition Commission (Mexico) |
| CFTA | Continental Free Trade Area |
| CFTC | Competition and Fair Trade Commission |
| CIC | Technological Research Commission |
| CMV | Common Method Variance |
| COMESA | Common Market for Eastern and Southern Africa |
| Abbreviation | Description |
|--------------|-------------|
| DCs | Developing Countries |
| DoT | Department of Telecommunications |
| DRC | Democratic Republic of Congo |
| EAC | East African Community |
| EC | European Commission |
| ECCAS | Economic Community for Central African States |
| ECOWAS | Economic Community of West African States |
| EFA | Education for All |
| ERPs | Economic Recovery Programmes |
| EU | European Union |
| EWURA | Energy and Water Utilities Regulatory Authority |
| FCA | Fair Competition Act |
| FCC | Fair Competition Commission |
| FDI | Foreign Direct Investment |
| FLEC | Federal Law on Economic Competition |
| FNE | Fiscalía Nacional Económica |
| FTAs | Free Trade Agreements |
| GATT | General Agreement on Tariffs and Trade |
| GCR | Global Competition Review |
| GDP | Gross Domestic Product |
| GEAR | Growth, Employment and Redistribution |
| HHI | Herfindahl–Hirschmann Index |
| ICN | International Competition Network |
| ICT | Information and Communication Technology |
| IFC | International Finance Corporation |
| IFETEL | Federal Institute of Telecommunications |
| IMF | International Monetary Fund |
| IPRs | Intellectual Property Rights |
| IR | International Relations |
| ISI | Import Substitution Industrialisation |
| JSSCE | Junior Secondary School Certificate Examination |
| LDCs | Least Developing Countries |
M&As : Mergers & Acquisitions
MDGs : Millennium Development Goals
MEMEs : Micro, Small and Medium-Sized Enterprises
MERCOSUR : Mercado Comun del Sur
MNCs : Multinational Corporations
MLATs : Mutual Legal Assistance Treaties
MoU : Memorandum of Understanding
MSCAs : Member State Competition Authorities
NAFTA : North American Free Trade Agreement
NCC : National Communications Commission
NERA : National Economic Research Associates
NSEP : National Economic Survival Programme
OECD : Organisation for Economic Cooperation and Development
OTT : Over-The-Top
PBA : Province of Buenos Aires
PEA2 : Participative Agri-food and Agribusiness Strategic Plan
PEI : Strategic Industrial Plan
PEPBA : Strategic Productive Plan Buenos Aires
PPP : Public-Private Partnership
PROFECO : Office of the Federal Prosecutor for the Consumer
R&D : Research & Development
RCAs : Regional Competition Authorities
RCC : Regulatory Cooperation Council
RCEP : Regional Comprehensive Economic Partnership
RDP : Reconstruction and Development Programme
RDTs : Regulatory Decision Tools
RIAs : Regional Integration Arrangements
RTAs : Regional Trade Agreements
SACU : Southern Africa Customs Union
SADC : Southern Africa Development Community
SAP : Structural Adjustment Programme
SDGs : Sustainable Development Goals
SECOFI : Secretary of Commerce and Industrial Development
SMEs : Small and Medium Enterprises
SMPs : Two-sided Market Platforms
SSCE : Senior School Certificate Examination
STEM : Science, Technology, Engineering and Mathematics
SUMATRA : Surface and Marine Transport Regulatory Authority
TANROADS : Tanzania National Roads Agency
TAOMAC : Tanzania Oil Marketing Companies
TCAA : Tanzania Civil Aviation Authority
TCRA : Tanzania Communications Regulatory Authority
TDLC : Tribunal de Defensa de la Libre Competencia
TELCEL : TELMEX and RadioMóvil Dipsa
TFTA : Tripartite Free Trade Area
TMSA : Trade Mark Southern Africa
TPP : Trans-Pacific Partnership
TTIP : Transatlantic Trade and Investment Partnership
UABI : University-Associated Business Incubators
UBE : Universal Basic Education
UBIs : University-Based Incubators
UEMOA : West African Economic and Monetary Union
UNCTAD : United Nations Conference on Trade and Development
UNDP : United Nations Development Programme
UPE : Universal Primary Education
VIF : Variance Inflation Factor
WAEMU : West African Economic and Monetary Union
WB : World Bank
WTO : World Trade Organisation
Afolayan Ghenga Emmanuel
Afolayan Ghenga Emmanuel is currently a Doctoral Candidate at School of Education, Murdoch University Australia. He holds two master’s degrees. The first, a Masters in Development Studies, from International Institute of Social Studies of Erasmus University Rotterdam, the Netherlands and the second is a Master’s in Public Policy and Management, from University of York, UK. Also, Gbenga had a bachelor degree of Education in Counselling Psychology and Economics from University of Ibadan, Nigeria. Gbenga’s research interests fall in the areas of education and social inequalities, development policies and administration, sociology of education/development, women studies, feminist economics, human rights and social justice. He taught Economics and Business Management for more than five years at the Federal Polytechnic Ilaro, Ogun State, Nigeria.
Clayton Hazvinei Vhumbunu
Clayton Hazvinei Vhumbunu is an Associate Researcher with the Southern African Research and Documentation Centre, Harare; Zimbabwe. He is concurrently a PhD Candidate in International Relations at the University of KwaZulu-Natal in Durban; South Africa. He is a Zimbabwean by nationality. His research interests are in International Relations, Regional Integration and International Trade, and Public Policy. Clayton holds an Msc in International Relations and Bsc (Hons) in (Political) Administration (both from the University of Zimbabwe); Diploma in Community Development (TDI, Zimbabwe); Post-Graduate Certificate in International Trade and Development (Lund University/Trapca; Tanzania); Certificate in Public Policy, Governance and Leadership (OSISA/Africa University; Zimbabwe).
Deo John Nangela
Deo John Nangela is Director of Restrictive Trade Practices at the Fair Competition Commission, Tanzania. He is also a part-time lecturer at the University of Dar-es-Salaam School of Law and an advocate of the High Court of Tanzania. Deo has been senior state counsel with the Attorney General’s Chambers before joining staff of the School of Law, University of Dar es Salaam. He joined the FCC in 2011.
Derek Ireland
Derek Ireland has been a Senior Economist and Manager in the Canadian public and private sectors for over four and a half decades. He has a BA in Economics and Asian Studies from the University of British Columbia in 1968, an MA in Economics from Carleton University, which he received in the mid-1970s; and he returned to university in the Fall of 2003 as a student in the PhD programme in Public Policy at Carleton University in Ottawa Canada, and received his PhD in February 2009. His PhD research and dissertation was on the evolution of competition policy and law in India and the interactions with the country’s business community, especially its business groups. In recent years, Dr. Ireland has been operating his own policy consulting firm and has been a Lecturer and Fellow at the Arthur Kroeger College at Carleton.
Federico Del Giorgio Solfa
Federico Del Giorgio Solfa is an Industrial Designer, Professor in Industrial Design, Master of International Marketing and Full Professor of Project Management at the National University of La Plata. He is Master in Law, Economy and Politics of European Union at the University of Padoval; full Professor of Local Development in the Master of Labor Relations at the National University of Lomas de Zamora; and visiting Professor of Advanced Seminar in Design I for the Doctorate in Design at University of Palermo.
Frederic Ringo
Frederic Ringo is Director General at the Fair Competition Commission of Tanzania. He has been in government as principal counsel for the privatisation commission. He has also been chief legal counsel for the African Export Import Bank in Cairo, Egypt, before practicing as a private practitioner. He joined the FCC in 2013.
Kuo-Tai Cheng
Kuo-Tai Cheng is Associate Professor of Public Administration and Policy at the National Hsin-chu University of Education in Taiwan. He works on issues of public utility privatisation, regulatory governance, governance mechanism, regulatory capture, governance mechanism, organisational behaviour, and human resource development. His latest books in Chinese are ‘Regulatory Governance: Theory and Practice’ and ‘Public Governance’.
María Sol Sierra
She is an Industrial Designer and Professor in Industrial Design at the National University of La Plata, where she was Assistant Professor in Industrial Design I and Technology for Industrial Design I. She is currently pursuing PhD in Latin American Contemporary Art at the same University; and she is an Improvement Scholar Researcher at the Department of Industrial Design of the National University of La Plata, for the Scientific Research Commission of the Buenos Aires province.
Paul Kinuya
Paul Kinyua has taught law at The Catholic University of Eastern Africa in Nairobi, Kenya since 2012. He holds a Bachelor of Laws (LLB, Hons.) from Moi University, Kenya; and a Master of Laws (LLM) in International Trade Law from Stellenbosch University, South Africa where he is currently a doctoral student. His doctoral research concerns the regulation of multinational corporations by African States. He is also an Advocate of the High Court of Kenya.
Rachel Glanz
Rachel Glanz is a student at Duke University, completing a Bachelor’s (B.A.) degree in Political Science and a certificate in Politics, Philosophy and Economics (PPE), with an honors thesis on the topic of campaign finance at the US Congressional level.
Rodrigo de Camargo Cavalcanti
Rodrigo de Camargo Cavalcanti holds a Doctor in Law and Master in Law by the Pontifícia Universidade Católica de São Paulo. He is a researcher at National Foundation of Development of the Private Higher Education (FUNADESP); Professor at Faculdades Alves Faria (ALFA) and Press and Communication Director of the Law Post-Graduating Students Association of the Pontifícia Universidade Católica de São Paulo (APGDireito/PUC-SP).
S Chakravarthy
S Chakravarthy is a Civil Servant by profession, being a Member of the Indian Administrative Service. He is a Master’s Degree holder in Mathematics and Statistics having stood First Class First in the University. After joining the Government, he got a Doctorate Degree in Management from the Indian Institute of Technology, Delhi. Subsequently, he secured a Law Degree from the Delhi University. In addition, he has certificates in Public Administration and Public Enterprises from the University of Manchester, UK and Harvard University, US. Among the top assignments he held were Special Chief Secretary to Government and Member, Monopolies and Restrictive Trade Practices Commission (MRTPC). As Member, Company Law Board and Member, MRTPC, his experience as adjudicating Tribunal is around 10 years. Presently, he is Adviser/Consultant on Competition Policy and Law.
Seema Gaur
Seema Gaur is a Federal Government Economist belonging to Indian Economic Service with more than 30 years of experience in key economic Ministries. Apart from Economics, she is also having a degree in Law as well as public administration. Presently, she is working as Economic Adviser in the Department of Industrial Policy and Promotion, Ministry of Industry and Commerce, Government of India. Prior to this, she was Adviser in the Competition Commission of India (CCI) for about six and a half years since May, 2009, when implementation of Competition Law started in India. She was also India’s lead negotiator in negotiations for Competition Chapter in trade and investment agreements with EU, EFTA and RCEP. She has presented papers in many international conferences, published papers in peer reviewed journals as well research done for the UNCTAD’s Research Partnership Platform and written chapters in books on key economic issues including competition law and policy.
Surajit Deb
Surajit Deb did his Ph. D. in Economics from Department of Economics, Delhi School of Economics, University of Delhi, in 2003 in the area of Macroeconomic Implications of Agricultural Price Movements and Time Series Econometrics. He has published extensively in academic journals, participated in international conferences and completed commissioned research projects for international organisations. He has acted as a member of the Working Group on Terms of Trade between the Agricultural and Non-agricultural Sectors during 2012-15 for the Ministry of Agriculture:
Government of India, and is empanelled in the ICSSR Research Pool of Research Methodology Experts. He is working as an Associate Professor in Aryabhatta College (University of Delhi) and his current interests include construction of Social Development Index for Indian states, analysis on inclusive growth and India-China comparisons.
**Tim Buthe**
Tim Büthe is Associate Professor of Political Science and Public Policy, as well as a Senior Fellow of the Kenan Institute for Ethics at Duke University. He leads the Competition Law and Policy Project of Duke’s Rethinking Regulation Programme and directs a major research project about competition law and policy in comparative perspective. He also is guest editor (with Umut Aydin) of the Autumn 2016 issue of *Law and Contemporary Problems* about ‘Competition Law and Policy in Developing Countries.’ In 2015, he was the first political scientist (with Cindy Cheng) appointed to the World Bank-OECD Global Network of Experts on Competition and Shared Prosperity.
**Umut Aydin**
Umut Aydin is Assistant Professor of Political Science at the Universidad Católica de Chile, Santiago. She has a PhD in Political Science from University of Washington, Seattle, and an MA degree from McGill University, Canada. She was a post-doctoral fellow at the European University Institute, Italy, and a George C. Lamb Jr. Fellow in Regulatory Governance at Duke University’s Kenan Institute for Ethics. Her research lies at the intersection of comparative and international political economy, and is focussed broadly on regulatory politics in a globalising world. Her current research focusses on competition law and policy in developing countries, especially in Turkey, Mexico and Chile. Her published work on competition law and policy includes articles and chapters on EU’s external relations in competition policy, the International Competition Network, and Turkish competition law and policy.
**Varadharajan Sridhar**
Varadharajan Sridhar is Professor at the Centre for IT and Public Policy at the International Institute of Information Technology Bangalore, India. He has published many articles in peer-reviewed leading telecom and information systems journals. He is the author of two books published by the Oxford University Press. Sridhar has taught at Ohio University and American University, US; University of Auckland, New Zealand; Indian
Institute of Management Lucknow, Management Development Institute Gurgaon, India. He was also a visiting scholar at Aalto University, Finland and was the recipient of Nokia Visiting Fellowship. He has written more than 200 articles in prominent business newspapers and magazines relating to telecom regulation and policy in India. Sridhar has a Ph.D. from the University of Iowa, US, Masters in Industrial Engineering from the National Institute for Training in Industrial Engineering, Mumbai, India and B.E. from the University of Madras, India.
**Vivek Ghosal**
Vivek Ghosal is the Richard and Mary Inman Professor and Director of Graduate Programmes at the Georgia Institute of Technology in Atlanta, US. His current areas of research include: (a) antitrust/competition laws and enforcement, (b) regulatory reform to enhance competition and innovation, and (c) firm strategy related to innovation, M&As, and pricing. Ghosal has published in numerous peer-reviewed journals and has published two edited books ‘The Political Economy of Antitrust’ and Reforming Rules and Regulations: Laws, Institutions and Implementation’. He has been a consultant for international organisations, governments, consulting firms and companies on issues related to antitrust, regulatory reform, business and economic modelling of markets, industry studies, and statistical and econometric modelling.
**Wendy Ng**
Wendy Ng is a Lecturer at Adelaide Law School at the University of Adelaide. She researches in competition law, focussing on China, development, and political economy issues. She obtained her PhD from the University of Melbourne, where her thesis was awarded the Chancellor’s Prize for Excellence in the PhD Thesis and the Harold Luntz Graduate Research Prize for Best PhD Thesis. A book based on her thesis will be published by Cambridge University Press. She is also an editor of the China Competition Bulletin and has been a consultant to the Australian Competition and Consumer Commission. Previously, she was a lawyer at leading law firms in Melbourne and New York.
To make the world a better place to live for all, member States of the United Nations adopted the 2030 Agenda for Sustainable Development in September 2015. This represents a plan of action for people, the planet and for prosperity and is a clear recognition of the need for global strategies to the global problems that we face. Agenda 2030 not only presents us with a set of sustainable development goals but also the necessary means of implementation. In this framework, governments will need to integrate these goals into their policies and laws, and take considered measures towards their achievement.
Throughout this process, UNCTAD will of course act in support and partnership with member States. Through its analytical work and research, UNCTAD aims to inform economic policymakers, helping them in their decision making, and promote policies that optimally address global and domestic economic inequalities and contribute to the 2030 Agenda.
It is widely acknowledged that sustainable and inclusive economic growth requires higher levels of economic productivity through diversification, technological upgrading and innovation. Appropriate industrial and trade policies are necessary but not sufficient to achieve this. There remains a need for complementary and coherent policies that ensure countries benefit from free trade. Competition policy is one of these policies, which governments need to develop and implement in order to achieve the goals of the 2030 Agenda.
One of the fundamental aims of competition policy and law is to increase competitive market pressures by addressing anticompetitive business practices, as well as anticompetitive State regulations and measures. When these pressures are absent, especially due to the presence of monopolies or cartels, then higher prices, lower quality products and economic injustice will prevail. This will have adverse effects for the poorest and most vulnerable people, most especially if those markets are concerned with the provision of basic goods and services.
Effective competition policies may address market failures and create a competitive business environment, thereby promoting efficiency and
stimulating innovation. Such an environment will consequently increase consumer choice and enhance product quality.
Competition regimes could also promote the development agenda by influencing policymaking through advocacy activities. Competition authorities should cooperate with sector regulators and other government bodies to ensure that regulations or policies do not violate competition principles, whilst remaining complete and coherent.
This publication serves to shed light on the role of competition policy and law as essential policy tools towards achieving sustainable and inclusive development. It provides a series of studies, which clearly reflect, from a pragmatic perspective, the importance of effective implementation of competition policies and regulations for sustainable development. Competition and regulatory reforms undertaken throughout the world show the importance of competition not only for economic growth but also for job creation and innovation by small and medium-sized enterprises (SMEs). In countries or sectors where economic power is highly concentrated in the hands of a few corporate groups, competition policy and law may contribute to inclusive growth by promoting the participation of underprivileged economic agents, through the establishment of rules of fair and free competition. This is particularly relevant for entities such as SMEs, smallholder farmers or businesses owned by historically underprivileged populations.
I would like to emphasise the importance of using the framework of competition in regional integration agreements to promote equitable regional arrangements. Appropriate competition policies and laws, as well as their effective implementation, are key to restoring fair competition at a regional level and to maximising the benefits from regional integration agreements in favour of the public interest, rather than particular vested interests.
I would like to thank CUTS for their invaluable work in promoting competition policy for achieving sustainable development, ever since its establishment over 30 years ago. I reiterate that UNCTAD, as it has been for over three decades, is committed to continuing its work in the areas of competition and consumer protection policies, all the while working closely with civil society organisations, such as CUTS International.
Dr. Mukhisa Kituyi
Secretary General
UNCTAD
In September 2015, countries adopted the 2030 Agenda for Sustainable Development along with a set of 17 ‘goals’ referred to as Sustainable Development Goals (SDGs) to end poverty, protect the planet, and ensure prosperity for all. World leaders agreed to develop structured national action plans to achieve these ambitious ‘global goals’ through the participation of both state and non-state actors. The international community made commitments to support such processes and programmes.
CUTS International’s mission of ‘consumer sovereignty in the framework of social justice, economic equality and environmental balance within and across borders’ is well aligned with a number of these SDGs. Hence, CUTS endeavoured to explore how some of its initiatives under specific programmatic areas synergise with some of the SDGs. Pursuant to this ambition, CUTS envisaged this volume entitled, ‘Pursuing Competition and Regulatory Reforms for Achieving Sustainable Development Goals (SDGs)’. Competition Policy and Law is one of the programmatic areas of CUTS, and hence was keen to explore the contribution of competition and regulatory reforms towards achievement of the SDGs.
This publication was made possible by a project that CUTS has been implementing with support from DFID (UK) and BMZ (Germany) facilitated by GIZ (Germany). The project entitled ‘Competition Reforms in Key Markets for Enhancing Social & Economic Welfare in Developing Countries’ (CREW Project, www.cuts-ccier.org/CREW) has been implemented in four countries: Ghana, India, The Philippines and Zambia in two sectors: Staple Food and Passenger Transport. The aim of the project is to demonstrate impacts of competition and regulatory reforms on consumer and producer welfare. The experience of the CREW project inspired CUTS to explore the relevance of competition and regulatory reforms for achievement of the SDGs, especially in developing and least developed countries.
There is little disagreement that competition reform is an extremely important component of a market economy. Effective markets are crucial for growth and economic development, especially in the developing ‘south’ and can contribute to job creation and poverty reduction. Anticompetitive policies and practices in the market affects producers and consumers alike – thereby stifling the process of economic growth. It is logical to deduce that there is scope for introduction of elements of competition and regulatory reforms into structures and national action plans to achieve some of the ambitious SDGs.
CUTS and CUTS Institute for Regulation & Competition (CIRC) have designed a unique initiative for the last 10 years, to provide a platform for international practitioners and experts to expand the frontiers on competition and regulatory reforms, thereby contributing to the discourse on competition reforms in the developing world. Once every two years, CUTS and CIRC organises the Biennial Competition, Regulation & Development Forum.
The 4th edition of this conference was held in Nairobi in December 2015 with support from DFID (UK), BMZ (Germany) and GIZ (Germany). In addition, the G-77 Secretariat, World Bank and OECD came forward to support this conference, given its focus on “Relevance of Competition & Regulatory Reforms in Pursuing Sustainable Development Goals (SDGs) in Developing Countries”.
The agenda of this conference (www.cuts-ccier.org/CREW-Final-Conference), was developed based on the findings of the CREW project – which has boosted CUTS confidence that competition and regulatory reforms can indeed help meet some of the objectives enshrined in the SDGs. In the run up to the conference, CUTS had issued a ‘Call for papers’ for scholars and practitioners from both the developed and the developing world to present their views on four distinct ‘thematic areas’ that would help strengthen the understanding about the interface between competition reforms and the SDGs. These ‘thematic areas’ were:
(i) Government Policy Promoting Competition, Innovation and Jobs
(ii) Competition for Inclusive Economic Growth
(iii) Competition Reforms as a Tool for Public Welfare
(iv) Trade, Regional Integration and Competition Reforms
This volume presents a set of 16 papers contributed from across the globe from Australia to Argentina – which were carefully selected by a panel of distinguished scholars on the subject. Conscious of the volume of this publication, we have categorised it into four Parts corresponding
with the above four ‘thematic areas’, for easy reading. We hope the readers will find this volume to be an interesting composition of contemporary academic thinking and practice – which would enhance the visibility of competition and regulatory reforms in the context of the achievement of the SDGs.
Finally, I would like to extend my sincere gratitude to my colleagues for timely preparation of this publication. My sincere gratitude to Mukhisa Kituyi, Secretary General of UNCTAD for writing an excellent Foreword, and we thank him for having formally inaugurated the conference in Nairobi. CUTS would like to extend our warm appreciation to all writers who responded to the ‘call for papers’. It was indeed a tough assignment for reviewers to select papers for this publication. We thank our development partners for their support and cooperation in making this volume possible.
Pradeep S. Mehta
Secretary General
CUTS International
The conference entitled, ‘Relevance of Competition and Regulatory Reforms in Pursuing Sustainable Development Goals (SDGs)’ was organised by CUTS in Nairobi, Kenya on 12-13 December, 2015. This was the culmination event of a three-year project being implemented by CUTS (referred to as the CREW project, www.cuts-ccier.org/crew) and was designed as the 4th CUTS/CIRC Biennial Competition, Regulation & Development Forum. The earlier three forums were held in New Delhi, India.
Being organised close on the heels of the adoption of the ambitious ‘Agenda 2030 for Sustainable Development’, this event aimed to explore the relevance of competition and regulatory reforms as tools for achieving some of these ‘global goals’. The section below tries to highlight this linkage through some illustrations.
**Linking Competition Reforms with SDGs**
It was revealed from the discussions in the conference as well that while the link between competition reforms and some of the ‘global goals’ (SDGs) were direct, it was rather indirect/weak with the others.
**GOAL 1 (End poverty in all its forms everywhere)**
Poverty reduction is one of the steepest challenges for developing country policymakers – hence, remains a priority in government policies. An important approach to **poverty reduction** is to empower the poor, provide them with productive employment and increase their access to land, capital and other productive resources. But this approach may not be successful unless these people are **linked to the markets** and markets are made to work for the benefit of the poor.
GOAL 2 (End hunger, achieve food security and improved nutrition, and promote sustainable agriculture)
Food is a basic necessity but is prone to anticompetitive tendencies, especially affecting its pricing and its availability. How committed are governments to deal with these anticompetitive tendencies in dealing with these problems? In some countries, on average, about 40-45 percent of income is spent on food expenditure and any policy that can be used to make food less expensive would complement poverty reduction efforts.
Effective agricultural sector policies, which facilitate greater (and regulated) engagement of private sector in ‘inputs’ markets like fertiliser and seeds, has the potential (as demonstrated under the CREW and other projects) to make good quality inputs available at lower costs to farmers, especially benefitting small farmers. In many developing and least developed countries, monopolies (public and private) seem to control agriculture markets, which make it difficult for small farmers to derive benefits while selling their produce in these markets.
GOAL 3 (Ensure healthy lives and promote well-being for all at all ages)
Based on existing literature and practice, it is now well-established that a healthy competition regime (accompanied with sound regulatory framework) can be instrumental in improving access to healthcare services and medicines, especially in developing countries. In most developed countries, various stakeholders in the supply chain are regulated extensively to improve the affordability and availability of medicines as well as maintain levels of service.
GOAL 4 (Ensure inclusive and equitable quality education and promote life-long learning opportunities for all)
GOAL 5 (Achieve gender equality and empower all women and girls)
There is growing recognition that public policy in developing world can no longer remain oblivious of the needs and aspirations of women – whether in the social setting or from an economic angle. Governments and development partners are now investing lot of resources and attention to explore avenues for boosting women’s economic empowerment, as a means to strengthening their position in society. CUTS has also noted this from the experience in Ghana, where ‘women traders’ (referred to as ‘Market Queens’) are seen to control over 95 percent of the procurement of staple food (maize) – and are very highly respected.\(^1\)
Similarly, women self-help groups (SHGs) in various parts of India have grown from being a pastime activity to a major contributor of the
village economy in many parts of the country.\textsuperscript{2} In both these (above) cases, scope was created in policies to ensure greater participation of women in specific ‘economic’ activities – and should be looked at as lessons for polity.
Existence of various types of barriers and challenges for women to engage meaningfully in various markets is well documented – and is something that governments and development partners need to look closely at.
**GOAL 6 (Ensure availability and sustainable management of water and sanitation for all)**
**GOAL 7 (Ensure access to affordable, reliable, sustainable, and modern energy for all)**
Across the developing world, inefficiency of the public sector as the sole provider of these services in meeting citizens’ demands led to the proliferation of private providers in them. The evolution of the regulatory framework and the policy environment was not able to keep pace with this process, and therefore led to ‘market failures’. Therefore, benefits of economic liberalisation and private sector engagement in these sectors have not led to the envisaged benefits (meeting citizens’ needs). Attainment of these goals would not be possible without the development and application of effective regulatory frameworks in these sectors, which should also encourage ‘citizens engagement’ in these reforms.
**GOAL 8 (Promote sustained, inclusive and sustainable economic growth, full and productive employment and decent work for all)**
**GOAL 9 (Build resilient infrastructure, promote inclusive and sustainable industrialisation and foster innovation)**
There is abundant evidence in literature and practice of how a well-functioning/vibrant market can stimulate innovation, productivity and efficient resources use – key pointers for achievement of inclusive and sustainable economic growth. Dutz and Hayri (2000) established that there is a strong correlation between the effectiveness of competition policy and economic growth. Kahyarara (2004) established a positive relationship between competition policy and productivity, investment and exports.
Further, the volume of infrastructure needs in developing countries imply the engagement of private sector through public procurement processes. Incorporation of ‘pro-competitive’ elements in public
procurement process can help participation of a number of private sector operators in the bidding process, and help save costs.
**Lessons for Policy**
The CREW project (Competition Reforms for Enhancing Social & Economic Welfare in Developing Countries) generated knowledge and evidence to reinforce the belief that promoting competition reforms through relevant policies can contribute towards achievement of social and economic welfare. The core objectives of the CREW project were to:
- enhance understanding of the benefits from effectively undertaking competition reforms in developing countries as an intrinsic part of the overall reforms agenda;
- develop and test a methodology (with indicators) for assessing the efficacy of competition reforms in achieving impacts on developing country consumers and producers;
- sustain the momentum on prioritising competition reforms, gained from stakeholder awareness and greater understanding about the associated benefits and participation in related processes in developing countries; and
- advocate for greater importance to competition policy and law issues in the national development agenda to national and international stakeholders.
The following key policy lessons emerged from the CREW project, which are relevant for the wider community of policymakers and practitioners – especially in the staple food and bus transport sectors. These issues were discussed in details during the two day event:
i. *There is value in having the right regulatory safeguards (mostly competition policy) in place to ensure that benefits of trade and economic liberalisation can be derived fully by the citizens/country.*
ii. *Although subsidies are generally a departure from normal competition principles, they can assist farmers in remote areas where the private sector might generally not be willing to participate.*
iii. *Government grain procurement institutions might be best suited to focus on maintaining strategic reserves (for food security*
purposes). Both public and private entities should participate in the procurement process with the overall objective to ensure that procurement is done on time, farmers get the right price for their produce and that payments to farmers are made at the time of transaction.
iv. Although keeping public sector run transport companies has helped in ensuring that cheaper transport exists, these are characterised by several inefficiencies. Many governments have maintained ‘monopoly’ public sector operators in this market, which has imposed considerable financial burden on the government.
v. Bus fare regulation process should be done in such a way that there is a balance between enhancing consumer and producer welfare. Right now, in many developing countries, this process is neither scientific nor inclusive or transparent. Given the pressure on urban areas, governments should focus on developing effective regulatory framework for bus transport.
**Key Take-aways for Practitioners**
The discussions during the two day conference were also instrumental in revealing the following key ‘take aways’ for practitioners of competition policy and law, especially in the developing countries:
(i) **Continued misgivings about competition benefits by policymakers**
Considerable efforts have been made by advocates and researchers to bring practical evidence based on real examples on the critical role that competition, enhanced by competition reforms, plays in better allocation of resources and higher level of GDP and growth. However, there is still low level of buy-in about the importance of competition reforms by policymakers, particularly in developing countries. This is because some conspiracy theorists are also lobbying against competition reforms, mostly because they benefit from anticompetitive practices.
In addition, although competition reforms help all progressive stakeholders in the growth agenda, promotion of the competition reforms agenda has been left mainly to the competition authorities, with other arms of government taking a back seat, often swayed by the above ‘lobbyists’. Critical government arms responsible for policy reforms are therefore vulnerable to lobbying by powerful businesses (often found to
be perpetrators of anticompetitive practices). Competition advocates thus need to ensure that they remain aware of such challenges and devise strategies to adequately articulate the correct position regarding the impact of competition reforms to growth, to enhance buy-in of competition reforms in developing countries.
(ii) Importance of competition enhancing policy reforms in promoting innovation and jobs
Based on case studies presented in conference papers from Nigeria, Mexico, China and India, the importance of adopting competition oriented reforms in promoting innovation and jobs was also discussed. From a paper from Nigeria, the impact of having more choice through competition in secondary schools in Nigeria was discussed. It was recommended that policymakers should focus on supply-side reforms that would entail assessment of availability of good quality of schools in the ‘marketplace’. At the same time, educational authorities should also develop indicators of ‘performance measures’ of schools, especially to ensure that there is some level of competition at the time of admission. Lessons from the implementation of competition law in Mexico demonstrate the importance of encouraging competition policy to spread its roots in the domestic system first, before supporting those roots through international assistance. International support without a strong domestic competition system is bound to create limitations in terms of impact on the economy.
In China, the Chinese government and the competition agencies expressly linked competition law and policy with China’s development goals. Thus, since the 2008 Anti-Monopoly Law, much of competition law discourse was focused on the role of competition law in helping to improve people’s wellbeing and livelihood in addition to promoting the pursuit of innovation by businesses. This, therefore, made it easy for government buy-in.
Lessons from India in the staple food sector (wheat) showed that private participation in the seeds sector was picking up in States like Bihar – and the benefits were gradually being felt by the farmers. Although organized agriculture markets were introduced under the Agriculture Produce Market Committees in the 1970s with the objective of protecting farmers from exploitation by intermediaries, the policy denied private investment, invited corruption, and artificially restricted the number of market players, resulting in restrictive and monopolistic markets with high transaction costs.
(iii) The role of competition in inclusive growth
Competitive markets tend to impose limitations in promoting innovation, demonstrating the need for a regime that protects intellectual property rights to compliment competition objectives. Competition on its own might discourage innovation, demonstrating the need for significant initiatives, policies and institutions to stimulate innovation in developing economies.
Improperly targeted subsidies also tend to cause market distortions. For example, the Zambia government introduced a floor price at which maize would be procured by the Food Reserve Agency (FRA). This was set above market prices. Contrary to the envisaged impact of benefiting the poor smallholder maize farmers, the high prices benefited only the net maize sellers, comprising only about 28 percent of all farming households. The net sellers are mostly better off farmers who can produce more as poor farmers do not largely sell to the FRA. Thus, improperly targeted subsidies, which are generally a departure from competition principles, tend to distort competition with little benefits to farmers, which does not promote inclusive growth.
(iv) Competition reforms as a tool for public welfare
Competition reforms also serve as a tool for enhancing public welfare, which includes both consumer and producer welfare. Although competition is often promoted by enhancing private sector participation, benefits from such competition are often subdued by policy barriers, leaving consumers at the mercy of market distortion effects. Examples include India, where policy measures to promote competitive grain trading were introduced in the 2000s, but continue to be characterised by road-blocks due to administrative instruments and interventionist measures from policy. While competition is not the panacea for public welfare, it complements other tools that can be used to safeguard the interest of both consumers and producers in trade.
(v) Continuous dialogue between competition advocates and public policy implementers at national level
As explained in the earlier section, competition and regulatory reforms can be used as a tool to attain certain social and economic objectives aligned with specific SDGs. There seems to be direct interface with SDGs 1, 2 and 3. Further, competition policy can also be seen to be relevant in the attainment of SDGs 4 to 9.
It is, therefore, crucial that a process of continuous dialogue is initiated and sustained between the competition fraternity (and advocates) and government officials, agencies and other practitioners involved with the designing and implementation of programmes for achievement of various SDGs at the national level.
(vi) Inter-linkages between competition policy, trade and regional integration
While regional integration brings with it benefits to regional economies, the different levels of development and capacities among member states means that small economies and small firms are usually vulnerable to market dominance by larger firms, who are normally from richer economies. As a result, safeguards are needed in the form of an effective competition law and a sound regulatory environment, which can play an important role in preventing market distortions and ensuring consumer welfare. Where regional integration gives rise to market dominance or market distortion, it results in perpetuation of inequality among and within the integrating countries. Incorporating competition rules and related regulatory reforms into regional trade agreements can therefore strengthen economic growth and market integration. The benefits of incorporating competition rules in regional integration help address barriers within member states’ borders, as well as cross-border anticompetitive business practices that cannot be remedied by trade policy instruments.
(vii) Need to properly package ‘benefits of competition’
In his keynote speech at the conference, the Guest of Honour, Dr. Ekwow Spio-Garbrah, Trade & Industry Minister of Ghana pointed to the need for competition policy advocates to show demonstrable benefits of competition to SMEs and private sector to ensure that they do not oppose competition policy and law. The presence of many banks in Ghana, which can be seen as reflecting high levels of competition, has not necessarily brought about competition as interest rates in Ghana are between 30-100 percent even though there are about 40 banks and over 200 micro finance institutions.
It was also pointed out that business is likely support any policy reform which can be seen to have a positive impact on profit, which is the main motive for business. Thus, the impact of competition reforms on profits needs to be properly explained to business. In addition, competition reforms also mean different things to different people, which is why some stakeholders may not support the process. This generally underlines the
need for creating awareness about what competition is within the context of competition policy and how the benefits are expected to materialise. This is something that the CREW project endeavoured to do – and CUTS would continue to reach-out with its knowledge to people in the developing world.
Endnotes
1 Refer to the Ghana Diagnostic Country Report (prepared under the CREW project of CUTS) at:
http://www.cuts-ccier.org/CREW/pdf/Diagnostic_Country_Report-Ghana.pdf
2 Assessment of success and failure of SHGs in India, available at:
http://planningcommission.gov.in/reports/sereport/ser/ser_shg3006.pdf
Section I:
Government Policy
Promoting Competition, Innovation & Jobs
Role of Government in promoting sustainable economic growth through competition reforms thereby creating employment and facilitating innovation
Part I:
Theoretical Overview
Abstract
Research shows consistent relationships between governance mechanisms and regulations. In this study, the authors developed and tested a model of regulation for examining the mediating effects of regulatory decision tools on the relationships between governance mechanisms and regulations in the communications regulator. Covariance structural analyses revealed regulatory decision tool variables to be influential mechanisms through which governance mechanisms affect regulation. Specifically, regulatory instruments and delegated powers mediate the effects of independence and participation on regulation. Although accountability was related to delegated powers, neither accountability nor personnel was related to enhanced regulations. The importance of the proposed regulatory decision tool model is discussed in this study.
Introduction
Research related to regulatory governance has recently clarified the utility of using governance mechanisms for enhancing regulation. Such research\(^1\) has demonstrated that governance mechanisms are indeed associated with regulations with some governance mechanisms, such as independence-enhancing regulations are administered across countries while other governance mechanisms are correlated with specific sectors or countries. For example, Stern and Holder used six governance mechanisms – namely, clarity or roles and objectives, autonomy, participation, accountability, transparency, and predictability – to assess 13 Asian developing countries for the Asian Development Bank (ADB)\(^2\).
Case studies by international organisations, such as the World Bank and ADB offer interesting narrative views but cannot allow statistically robust effects of the relationship and mediation from the development of an independent regulatory agency. Relatively little literature is available on measuring governance mechanisms, regulations, and regulation decision-making tools, where privatisation, liberalisation, and regulatory agencies started\(^3\).
Furthermore, very little research has examined the mechanisms through which governance mechanisms influence regulations\(^4\). According to Cheng (2015), results showed that relevant governance mechanisms and regulation predict both individual and organisational capture. Further, regulation partially mediates the relationship between governance mechanisms and regulatory capture in the regulatory space.
The mechanism of ‘accountability’ was found to play a critical role in the prediction of regulatory captures because it had direct impact on individual capture and indirect impact on individual and organisational capture through its relationship to regulation. Further, participation was found to play a critical role in the prediction of organisational capture, and its effect was primarily direct rather than indirect.
Currently, little empirical research exists on governance mechanisms and regulation by the mediating effects of regulatory decision tools. As Majone argued, the international diffusion of regulation as a distinct type of policy making seems to be particularly important in explaining the current renaissance of regulatory analysis\(^5\).
Furthermore, no attempt has been made to explain the relationship in the extent of regulatory problems and practice. Are regulations, governance mechanisms, and regulatory decision tools linked to the communications regulator and the instruments deployed by the regulator? The purpose of the present study is to build on these findings and enhance understanding
of governance mechanisms by assessing the regulatory decision-making processes that mediate relationships between governance mechanisms and regulations.
The purpose of this paper is to discuss the main issues arising from some recent theoretical literature and its implications for regulatory practice, which will provide the basis for producing the hypotheses. The need exists to explore relevant research linking governance mechanisms, regulation, and regulatory decision tools in order to discuss research pertaining to regulation and governance mechanisms as well as formulate expectations for the relationship between these constructs.
Thus, this study is designed to test the hypotheses. Section 2 summarises the argument about governance mechanisms and regulation and discusses some of the underlying issues affecting the relationship among governance mechanisms, regulation, and regulatory decision tools. Section 3 discusses the research method and scales. Section 4 presents the research analysis and results. The paper ends with a few concluding discussions.
**Literature Review**
**Regulation and Governance Mechanisms**
“Like many other political concepts, regulation is hard to define, not least because it means different things to different people.”\(^6\) In the Organisation for Economic Cooperation and Development (OECD)\(^7\) report, regulation refers to the diverse set of policy instruments by which governments set up requirements on enterprises and citizens. Regulations include laws, formal and informal orders, and subordinate rules issued by all levels of governments and rules issued by non-government or self-regulatory bodies to whom governments have delegated regulatory powers.
Regulation, in general, explains the idea of the imposition of controls, restraints, and the application of rules\(^8\). However, regulation is hard to define as it relies on different explanatory ways. Regulation is “both a technical fix to a problem and a source of problems itself and (...) inherently a site where different political and economic forces come into contest”\(^9\).
As Black argues, “regulation is the sustained and focussed attempt to alter the behaviour of others according to defined standards or purposes with the intention of producing a broadly identified outcome or outcomes, which might involve mechanisms of standard-setting, information-gathering and behaviour-modification”\(^10\).
As Black argued that definitions of regulation implicit the term regulatory state even more limited\textsuperscript{11}. In this study, ‘Regulation’ is defined as a type of legal instrument and process, and is the control of service providing public utilities as well\textsuperscript{12}. Regulations for public utilities are controlling, governing, directing, altering, adjusting with reference to some standard or purpose. Therefore, regulators can have incentives for regulatory failures, and there should be clear governance mechanisms that limit or curb potential misbehaviour.
Furthermore, Levy and Spiller (1994) defined the governance structure as “the mechanisms that societies use to constrain regulatory discretion and to resolve conflicts that arise in relation to these constraints\textsuperscript{13}”. Ashworth, Boyne and Walker (2002) argued that, according to the evidence in Wales, regulatory misbehaviour and performance ambiguity are the most noticeable problems and are more prevailing in local services than in national services.
“Apart from the problem of ‘capture’, too much discretion by regulators also increases the ‘regulatory risk’ faced by regulated firms, with potentially adverse effects on regulatory outcomes.”\textsuperscript{14}
In practice, it is of significance for regulatory agencies to forfend interpretation of their objectives as well as avoid discretion. Therefore, regulatory governance – firmly grounded in the wider theme of \textit{good governance}\textsuperscript{15} also refers to the complexity of the interplay of policy actors in the process of regulation. This suggests the need for regulatory design incorporating governance mechanisms. Thus regulatory governance mechanisms should be designed to limit regulatory failures.
“Regulatory mechanisms should therefore be designed to limit regulatory risk. For example, statutory or legal requirements on the regulators to ensure that firms can finance their regulated activities can reduce the risk of regulatory expropriation and avoid a possible source of investment distortions, thereby increasing social welfare\textsuperscript{16}”.
Moreover, tensions between different levels of regulatory governance appear in practice, indicating the need for a combined regulatory governance of the effects of the different governance mechanism on regulatory performance\textsuperscript{17}. As such, it can be argued that strong and effective governance features (including sound decision-making processes) are essential as the only way discovered thus for offering boundaries and accountability on regulatory decisions.
Regulatory processes can be thought of as a design mechanism with two dimensions\textsuperscript{18}: governance and incentives. Regulatory governance entails the creation of a transparent and predictable regulatory system that can be sustained over time\textsuperscript{19}.
Regulatory incentives refer to the mechanisms that are connected with pricing, subsidies, and other operating policies. Regulatory governance initially matters more than regulatory incentives as the sustainability of the institutional environment reform is developed primarily and initially from a sound and strong framework of regulatory governance\textsuperscript{20}.
In addition, in the absence of either a regulatory agency or any prior experience in regulating public and private utilities sectors, it is reasonable to assume that a sound and strong framework of regulatory governance initially represents a commitment by the government to reduce regulatory failure\textsuperscript{21}.
Gulen, Makaryan, Volkov, and Foss (2007) offered a list of governance mechanisms that different studies found to be desirable or even necessary. They then determined four most important government mechanisms: Independence, Enforcement Powers, or Authority, Transparency and Accountability, and Competency.
According to their analysis, transparency and accountability appear to be unanimously desired characteristics. Some studies\textsuperscript{22} even offered further governance mechanisms, such as Communication, Consultation, Consistency, Predictability, Impartiality, and Flexibility that put into transparency and enhance accountability.
In 1997, the UK Better Regulation Task Force (BRTF) published its Principles for Good Regulation, defining five principles: transparency, accountability, proportionality, consistency, and targeting\textsuperscript{23}.
These principles are very similar to those in Smith’s\textsuperscript{24} study. Meanwhile, Stern and Holder (1999) used six governance criteria for the ADB: clarity of roles and objectives, autonomy, participation, accountability, transparency, and predictability. All of these authors emphasised on the clarity of assignment of functions, regulatory autonomy, accountability, and transparency.
Further, for the regulatory body to realise its role as effectively as possible, the regulation seeker’s coverage of the regulator, the jurisdictional boundaries between the regulatory body and the Ministry, and relations with other regulators are of interest\textsuperscript{25}. It is also evident that the regulatory agency should not be influenced by the regulation seeker’s subject to its regulation.
Warrick Smith (1997) argued the importance of independence, defining it with following requirements:
- Distant relationship with the regulatees, consumers and other private interests;
- Distant relationship with political authorities
• attributes of organisational autonomy, such as earmarked funding and exemption from restrictive civil service salary rules – necessary to further the growth of the requisite expertise and corroborate those having not so close relationships.
However, Levy and Spiller (1996) do not make substantive suggestions about the required nature of governance mechanisms other than to emphasise the need to correspond to the institutional endowment of the countries in question. “Regulators have the power to generate and redistribute rents across various interest groups, for instance, by creating or preserving monopoly positions or by maintaining cross-subsidies in the tariff structure”.
Therefore, they might have incentives to use this power to gain or maintain support from their political principals. “At the same time, regulated firms or the beneficiaries of regulation, such as user groups have a strong incentive to attempt to ‘capture’ the regulator. There is also a risk that the regulators will use their discretion to expropriate producers, distorting investment incentives in the industry. These political economy considerations point to the need for careful design of regulatory frameworks\textsuperscript{26}”.
Therefore, the need exists to set up governance mechanisms to restrain the discretionary scope of regulators and resolve the conflicts between regulators and those seeking regulation.
The contemporary literature identifies four possible approaches: economic, social, political, and institutional. Cheng and Hebenton (2008) argued that only the institutional approach is quite robust to investigate regulation and governance. Such an approach also provides the advantage in that it allows for the exploration of the five interrelated aspects (clarity of roles; participation; independence; accountability and transparency) of a regulatory framework that captures the main governance mode of regulation and governance. These formed the basis of the questionnaire used in the current study\textsuperscript{27}.
An OECD report, Gonenc \textit{et al.} (2000) highlighted the need to design regulatory governance mechanisms and institutions to abridge the possibility of regulatory capture by regulation seeker or other interest groups as well as the effects of regulatory uncertainties on the regulation seeker’s investment behaviour\textsuperscript{28}. On the other hand, Correa \textit{et al}\textsuperscript{29} argued that “independence and accountability attributes are more developed than regulatory means and instruments, mostly qualified personnel and regulatory tools and decision-making procedures, particularly with respect
to those mechanisms that can guarantee consistency of decisions and reduce arbitrariness”.
Most of these variables of governance mechanisms for regulation have been analysed in studies of governance and regulatory governance conducted by, for instance, the World Bank, OECD, ADB, National Economic Research Associates (NERA), International Monetary Fund (IMF), and many researchers. Levy and Spiller\textsuperscript{30} argued that “the governance structure incorporates the mechanisms a society uses to restrain the discretionary scope of regulators and to resolve the conflicts to which these restrain give rise”.
It is also necessary and of significance to determine to which extent particular solutions to the challenges of regulation and governance are embedded in traditions and practices specific to national political and administrative systems and probably also to particular policy fields\textsuperscript{31}.
Cheng and Hebenton (2008) conducted a qualitative analysis on governance mechanisms for telecommunication liberalisation and regulation. Their results showed that governance mechanisms are important in the process of liberalisation and regulation. In addition, liberalisation can generate very few welfare improvements when not combined with good regulatory governance and robust legal framework.
However, their results do not show the relationship between governance mechanisms and regulations. Thus, we expect that each of the five governance mechanisms (clarity of Roles, Accountability, Transparency, Participation, and Independence) in the current study will have significant correlations with regulations.
**Regulatory Decision Tools**
Regulatory decision-making processes range from formal hearings, as in the United States, to more informal processes, such as those in the United Kingdom. Wherever the balance is struck, the focus should be on transparency in decision-making, which reduces opportunities for improper influences and underscores the fairness and legitimacy of decisions\textsuperscript{32}.
According to Smith’s work, regulatory decision-making process usually enhances governance mechanisms that can extend regulation seeker interested in a decision with the opportunity to express their views, release the decision and the elaborate reasons for concluding that decision, and challenge the decision through an appeals process to assure that the regulatory body remains accountable.
In Correa *et al.*’s (2006) survey, 18 of the 21 agencies surveyed were legally required to formally document the decision-making process, detailing the actions of each actor involved. However, only eight regulators were required to cite jurisprudence in support of their decisions, weakening the consistency of regulatory decision-making over time.
In addition, formal documentation of the decision-making process was legally required and must contain every legal action of those actors directly involved in the process. Also important was the fact that in the case of only six regulators, decisions were made without previous communication and discussion among board members\(^{33}\).
Therefore, the regulatory agency is a non-departmental public organisation mainly involved with rule making, which might also be responsible for face finding, monitoring, adjudication, and enforcement\(^{34}\) (Levi-Faur, 2011). Regulatory agencies have become highly popular by delegating powers from the government to independent regulatory bodies, thereby enabling the executive to reassure regulation seekers that it will not be able to arbitrarily intervene in the market.
Furthermore, the degree of delegation involves the level to which the executive, the legislature, or both seek to bind their hands in order to produce credibility and predictability\(^{35}\). However, appropriate legal delegation is clearly not enough to secure effective regulation\(^{36}\). The content of regulatory decision-making is important, but the key issue is the decision tools if the objective is to guarantee regulatory credibility and stability.
The survey of Brazil regulatory agencies stated that five out of the eight regulatory instruments presented. For example, methodology for tariff revision and instruments for quality monitoring were available for at least 13 agencies. More sophisticated instruments, especially those related to economic regulation (as opposed to technical regulation), were less available. Almost all surveyed agencies considered themselves to have the power and legal means to secure compliance with their decisions.
However, one-fifth of the agencies’ personnel was admitted by public examinations (this share was higher for older agencies than for the newer ones), with this share being 26 percent and 18 percent among federal and state agencies, respectively. Approximately, 95 percent of the agencies’ staff had undertaken short-term courses\(^{37}\).
Independence refers to governance mechanisms that isolate regulatory body from the interests of the regulatee. As regulatees assess the regulatory decision-making process, both the decision-making rules and participation facets should be well-considered. An additional important mechanism is
accountability, which refers to offering effective arrangements for appealing the regulatory agency’s decision.
To strengthen the regulatory decision-making process, transparency is needed to ensure open decision-making that necessitates publishing decisions and meetings by unwrapping relevant information, declaring in advance the schedule of meetings and their respective agendas, and making available to third parties the minutes of meetings held\textsuperscript{38}.
In other words, regulators require not only the right to ask information, but also the substantive legal powers and regulatory instruments to enforce the request (for example, issue warnings and impose fines). The quality of selection of personnel is also significant in the regulatory decision-making process.
Earlier discussions of regulation and governance have emphasised a number of GMs, such as the agency’s autonomy and the clarity of its roles and objectives; decision-making processes, transparency, and predictability; decision tools and personnel; and participation and accountability. Other mechanisms to describe regulatory governance have also been suggested in the literature\textsuperscript{39} suggested five critical mechanisms:
1. Accountability
2. Independence
3. Clarity of roles
4. Participation and
5. Transparency
In this study, we opted to test Reg, GMs, and regulatory decision tools (RDTs), which are closely linked in the literature.
As Minogue asserted (2002), “to understand fully the ‘governance of regulation’… we must also examine the characteristics of the public policy process. This means looking beyond the institutional façade to grasp the ‘real world’ of public action”\textsuperscript{40}. Regulations, as institutions, establish rules for agents and create structures of incentives and constraints\textsuperscript{41}.
In addition, both formal and informal institutions and their enforcement qualities are fundamental, and enforcement depends heavily on informal rules, such as norms, customs, and conventions\textsuperscript{42}. The institutional approach adopted in the research is the study of institutions, described by Rhodes\textsuperscript{43} as ‘a subject in search of a rationale’. It is also “a subject matter covering the rules, procedures, and formal organisations of government”\textsuperscript{44}.
However, institutions are no longer equated with organisations (Lowndes, 2002, p.91). Rather an “institution is understood more broadly
to refer to a stable, recurring pattern of behaviour”\textsuperscript{45}. In other words, the institutional approach highlights formal regulations and organisational structures and behaviours as well as informal conventions\textsuperscript{46} that add breadth and depth to an understanding of institutional links in the regulatory decision-making.
Regulatory decision tools that help review the regulation are a key way to improve the quality of the regulation. Improving regulatory quality is an ongoing task that is becoming important in the regulatory policy agendas in Taiwan. Consequently, communications regulations need to be framed within the context of governance, not government. Communications regulation in this research is firmly grounded in the broader theme of good governance.
Further, it is involved in exercising regulatory functions that go beyond the design and implementation of regulatory decision tools, or their coordination, and also embrace wider issues that are integral to governance mechanisms, such as clarity of roles, participation, independence, accountability, and transparency. Regulatory governance also refers to encompassing the complex interplay of regulators, governance mechanisms, and their decision tools in the process of communications regulation. Therefore, the institutional links for decision tools and governance mechanisms for regulations are critical for ensuring that objectives are achieved; otherwise, there is a risk of policy or regulatory failure.
Finally, it can be argued that there is a need to explore relevant research linking governance mechanisms, regulations, and Regulatory Decision Tools (RDTs) to discuss research pertaining to regulations and governance mechanisms as well as formulate the expectations for the relationships between these constructs. In the following chapter, the study designed to test hypothesised model will be described, which is as following:
Hypothesis 1: Regulatory instruments correspond with regulation.
Hypothesis 2: Delegated powers and regulations exhibit a positive, direct relationship.
Hypothesis 3: The positive relationship between delegated powers and regulations is mediated by regulatory instruments.
Hypothesis 4: Regulators scoring high on accountability report stronger intentions regarding personnel of regulatory decision tools.
Hypothesis 5: Regulators scoring high on independence report stronger intentions regarding regulatory instruments of regulatory decision tools.
Hypothesis 6: Intentions for regulatory instruments mediate a positive relationship between independence and regulation.
Hypothesis 7: Regulators scoring high on participation report stronger intentions regarding delegated powers of regulatory decision tools.
Hypothesis 8: Intentions for delegated powers mediate a positive relationship between participation and regulation.
**Method**
**Participants and Procedure**
Mounting pressures to ensure better regulations are also arising from communications development in Taiwan. Regulation has moved into many new areas, while the complexity of rules has also increased. Regulatory processes encompass the development of new regulations, the revision of existing regulations, and the implementation of existing regulations.
A range of regulatory decision tools and governance mechanisms have been developed to improve the outcomes of regulatory processes. These trends indicate that regulatory governance for a communications regulatory agency is more crucial than ever. One of the central goals of communications regulators is to ensure that regulations efficiently produce economic, social, and administrative benefits, i.e., that benefits justify costs that costs are the minimum needed to produce any level of benefits, and that resources are allocated to their highest values.
Hence, it is important for communications regulators to understand the likely consequences of different regulatory decision tools and governance mechanisms and to compare them with the goals of economic, social, and administrative regulations.
The participants comprised 164 employees in the National Communications Commission (NCC), an independent regulator of Taiwan. The response rate was 82 percent. There were 49 women (30 percent) and 115 men (70 percent). The mean level of job experience was 29.45 months ($SD=30.17$ months). Data were obtained during a concurrent test validation project.
Prior to testing, all participants were given a letter containing a brief explanation of the purpose of the study (i.e., test validation) and a research statement ensuring the confidentiality of their individual test results. Immediately after testing, participants completed a regulatory decision tools questionnaire, which was a short demographic form requesting background information.
One important element of this research is the analysis of the effect of regulatory governance in the communications. In fact, there is a need for the research on the links among regulation, governance mechanisms, and regulatory decision tools to help regulators have a better understanding of the regulatory policies for which they are responsible or to which they may make a contribution.
Grindle (1980) argued that, in order to understand reform elements, the behaviour of regulators and constraints on their actions must be studied against the backdrop of the institutional contexts within which they operate. This opens a space for choice in the design and implementation of regulation and decision tools by considering factors that influence these regulatory choices and actions. As a result, the contributions of regulatory officers are significant to regulatory governance in communications regulatory decision-making.
For the purposes of the studies envisaged under this research, regulatory officers were selected to obtain focussed results and avoid the constraints of data sources. The decision of whom to select was made using multiple criteria, so that representation is possible across a number of facets of governance for regulation.
Information from regulatory officers is highly valued as they are the regulators who have the most knowledge regarding institutional links for regulatory decision tools and governance mechanisms for regulation. Informants were more articulate, more knowledgeable, and closer to the event, action, process, or setting than others. One of the advantages of this approach is the ability to investigate a contemporary phenomenon, such as regulatory decision tools, governance mechanisms, and regulatory governance within a real-life context.
**Measures**
The study adopted a cross-sectional approach to measure all variables simultaneously. An anti-common method variance (CMV) strategy was also embedded in the measurement. A series of standardised scales were used, as detailed in the sub-sections.
**Governance Mechanisms**
Governance mechanisms were adopted to measure governance mechanisms for regulation. This scale is composed of 25 items\(^{47}\). Sample items included:
- How would you evaluate the interference from other government authorities to the practices of regulatory agency?
• How would you evaluate the influences from the regulated utility to the practices of regulatory agency?
• How would you evaluate the current information collecting mechanism of regulatory agency?
• How would you evaluate the importance of collecting opinions from the regulatees, consumers and other stakeholders in the regulatory decision-making?
• How would you evaluate the importance of legal requirements for the publication of the regulatory agency’s decision?
The participants’ responses were recorded using a 5-point Likert scale (1=completely disagree, 5=completely agree). Higher scores meant higher levels of governance mechanisms, indicating that participants demonstrated more governance mechanisms for regulation\textsuperscript{48}.
**Regulation**
The regulation scale was based on the definitions of OECD (1997) and Black (2002). This scale is composed of nine items. Three kinds of regulations – ‘economic’, ‘social’, and ‘administrative’ – were used to measure the outcome of regulation, as perceived by the respondents, who were employees of a regulatory agency.
Sample items included ‘Is regulation useful to do the price regulation?’ and ‘Is regulation useful to reduce the paperwork?’
The participants’ responses were recorded using a 5-point Likert scale (1= completely disagree, 5 = completely agree). Higher scores meant a higher level of expectation, indicating that participants had stronger expectations toward regulation\textsuperscript{49}.
**Regulatory decision tools**
The regulatory decision tools scale was revised and used to measure regulatory governance in infrastructure industries\textsuperscript{30}. The regulatory decision tools scale is a nine-item measure. Sample items included ‘How do you evaluate regulatory instruments are available to the operation of regulatory agency?’, ‘How do you evaluate regulatory instruments are available the agency’s power to promote competition in the market?’, and ‘How would you evaluate the human resources and expertise available to the agency?’
The responses were based on a 5-point Likert scale (1 = completely disagree, 5 = completely agree). Higher scores meant a higher level of expectation, indicating that participants had stronger expectation toward using regulatory decision tools.
Results
Table 1.1 presents correlation coefficients and other descriptive statistics for all variables assessed in this study. Relationships between GMs and RDTs are generally as predicted: The largest correlation for accountability is with personnel (r =0.15), independence is with regulatory instruments (r =0.48), and participation is with delegated powers (r =0.39). Participation is also correlated with regulatory instruments (r =0.39).
Furthermore, the GMs expected to correspond with regulation are indeed correlated with regulators’ ratings (r=0.21 and 0.26 for independence and participation, respectively).
Finally, as expected, regulatory instruments and delegated powers are correlated with regulation (r =0.36 and 0.21, respectively), whereas personnel is not significantly related to regulation (r =−0.10). Taken together, the correlational results support many of the hypotheses postulated in this study and prompted an examination of the relationships among these variables using the maximum-likelihood method of covariance structure analysis to test for mediation (Bentler, 1995).
| | M | SD | 1 | 2 | 3 | 4 | 5 | 6 | 7 | 8 | 9 |
|------------------|-----|-----|------|-------|-------|-------|-------|-------|-------|-------|-------|
| 1. Independence | 103.8 | 14.9 | (0.89) | | | | | | | | |
| 2. Clarity of Role | 86.7 | 18.4 | 0.41* | (0.84) | | | | | | | |
| 3. Participation | 107.5 | 13.5 | 0.47* | 0.34* | (0.84) | | | | | | |
| 4. Accountability | 97.3 | 12.5 | −0.23* | −0.18* | −0.01 | (0.83) | | | | | |
| 5. Transparency | 95.8 | 16.1 | 0.36* | 0.20* | 0.21* | −0.03 | (0.91) | | | | |
| 6. Personnel | 28.3 | 5.2 | 0.04 | −0.11 | 0.01 | 0.15† | 0.09 | (0.76) | | | |
| 7. Regulatory Instrument | 43.3 | 7.6 | 0.48* | 0.18* | 0.39* | −0.11 | 0.12 | 0.14† | (0.89) | | |
| 8. Delegated Powers | 46.9 | 8.5 | 0.32* | 0.15† | 0.39* | 0.10 | 0.09 | 0.08 | 0.50* | (0.88) | |
| 9. Regulation | 35.9 | 12.8 | 0.21* | 0.14† | 0.26* | −0.12 | −0.05 | −0.10 | 0.36* | 0.21* | (0.86) |
Note: Reliabilities are reported in parentheses along the diagonal. The 95 percent confidence interval for correlations greater than or equal to 0.16 does not include 0 (0.01 < 0.16 < 0.31). The 90 percent confidence interval for correlations greater than or equal to 0.14 does not include 0 (0.01 < 0.14 < 0.27).
a N = 164.
* p < 0.05, two-tailed. † p < 0.05, one-tailed.
To ameliorate the effects of common-method variance (CMV) resulting from the utilisation of self-rated measures, the authors collected the data in two stages. CMV emerges when self-rated measures are simultaneously used, as in some cases the observed relationships between variables are inflated, jeopardising the reliability of data analysis\textsuperscript{51}.
To assess the potential for regression coefficient instability, collinearity diagnostics were conducted. Specifically, we calculated variance inflation factor (VIF) scores, which measure the extent to which collinearity among the predictors affects the precision of a regression model in each step. Variance inflation is the consequence of multicollinearity. VIF scores of less than 10 are typically considered acceptable\textsuperscript{52}. No VIF score exceeded 1.9. Harman’s single factor test has been adopted to examine the potential CMV\textsuperscript{53}.
All the research variables were first merged into one factor, and the results showed poor fit, suggesting that one single factor of merging all variables was inappropriate for the data analysis ($\chi^2(210) = 3664.32, p < 0.001$, RMSA = 0.15, NFI = 0.45, CFI = 0.19, IFI=0.21, SRMR=0.16). Then an unmeasured latent construct method to measure the potential influence of CMV is adopted as recommended by Podsakoff \textit{et al.} (2003).
The chi-square difference test was not statistically significant [$\Delta\chi^2(1)$ = 3.60, $ns$]. Results were consistent with the findings of Harman’s single factor test. To simplify, the influence of CMV was very less; hence, the research dataset should be accepted for further data analysis.
The first three hypotheses, concerning relationships among the regulatory decision tools variables and regulation, were specifically tested with comparisons of three substantive models.
First, a saturated model (Model 1) was tested that included all hypothesised paths between the governance mechanisms variables and mediator variables, direct paths from independence and participation to regulation, paths from regulatory instruments and delegated powers to regulation, and paths from delegated powers to regulatory instruments and personnel.
Second, a model was tested that eliminated the path between delegated powers and regulatory instruments (Model 2). Third, a model was tested that retained the delegated powers-regulatory instruments path but eliminated the delegated powers-regulation path (Model 3). The results of these analyses, as well as additional models described below, are shown in Table 1.2.
Models 2 and 3 are both nested within Model 1, allowing the use of chi-square difference tests to compare models. A comparison of the saturated model (Model 1) and the model leaving out the delegated powers-regulatory instruments link (Model 2) yielded a significant result, $\Delta \chi^2$ (1, N=164) = 31.16, p < 0.01, supporting at least partial mediation of the delegated powers-Reg relationship.
A comparison of Model 1 with the model leaving out the delegated powers-regulation link (Model 3) yielded an insignificant result, $\Delta \chi^2$ (1, N =164)=0.13, ns, supporting the complete mediation of the delegated powers-regulation relationship by regulatory instruments.
Thus, Hypothesis 3 is supported over Hypothesis 2, as the relationship between delegated powers and Reg is not direct, but rather completely mediated by regulatory instruments. Hypothesis 1 is also supported by a significant relationship ($\beta = 0.41$, p < 0.01) between regulatory instruments and regulation.
Hypotheses related to the GMs variables were similarly tested with a series of comparisons whereby Model 3 was compared with two additional nested models. The first additional model (Model 4), the direct-effectsonly model, eliminated the independence-regulatory instruments and participation-delegated powers paths. The second additional model (Model 5), the indirect-effects-only model, retained the GMs-mediator paths but eliminated the direct effects from independence and participation to regulation.
A comparison of Model 3 and Model 4 yielded a significant result, $\Delta \chi^2$ (2, N=164) = 57.64, $p <0.01$, suggesting that the effects of independence and participation on regulation are at least partially mediated by the regulatory decision tools variables. A comparison of Model 3 and Model 5 yielded an insignificant result, $\Delta \chi^2$ (2, N=164)=2.48, ns, suggesting that the regulatory decision tools variables mediate the effects of independence and participation on regulation.
The hypothesised model of mediation (Model 5, the indirect-effects-only model) thus fit the data acceptably: $\chi^2(20, N=164) = 27.90$, comparative fit index = 0.97, normed fit index = 0.90, root-mean-square error of approximation = 0.05. The standardised solution for this model is presented in Figure 1. Hypothesis 4 is supported by the significant linkage between accountability and personnel ($\beta = 0.18, p < 0.05$).
Hypothesis 5 is supported by the significant relationship between independence and regulatory instruments ($\beta=0.39, p<0.01$). Hypothesis 6, predicting regulatory instruments to mediate the independence-Reg relationship, is supported by finding the hypothesised mediation model (Model 5) to have a fit equivalent to the fit of the model that also included a direct path between independence and regulation (Model 3). The independence-regulation relationship is approximately 76 percent mediated by regulatory instruments.
Hypothesis 7 is supported by the link between participation and delegated powers ($\beta =0.48, p < 0.01$). Hypothesis 8, predicting that delegated powers mediate the participation-Reg relationship, is supported by finding the hypothesised mediation model (Model 5) to have a fit equivalent to the fit of the model. This also included a direct path between participation and regulation (Model 3).
To further explore the nature of the effect for participation, we examined whether the association between participation and regulation was also mediated directly through regulatory instruments. To test this finding, we examined an additional model that added a path between participation and regulatory instruments to the model reported in Figure 1.1. The fit indices did not improve, suggesting no direct relationship between participation and regulatory instruments.
This test suggests that a direct path between participation and regulatory instruments is not an alternative to the mediated relationship through delegated powers. The overall indices, along with the nested model comparison tests, thus indicate that the theoretical model of mediation (Model 5) fits the data well. The participation-regulation relationship is approximately 35 percent mediated by delegated powers and regulatory instruments.
**Figure 1.1: The standardised solution for the indirect-effects-only model (model3)**
\* $p < 0.5$. \*\* $p < 0.01$.
---
**Discussion and Conclusions**
Relatively little is known about the mechanisms through which governance mechanisms affect regulation. Limited research has provided initial support for the long-held view related to the proximal means by which GMs affect Reg through regulatory decision-making process.
This study extends the knowledge of this relationship by focussing on three fundamental regulatory decision tools that regulators can pursue in
the regulatory process, including personnel. For example, the regulator’s employee is admitted by public examinations), delegated powers. For example, the regulator has sufficient legal powers and means to secure compliance with its decision, and regulatory instruments (the regulator has the power and legal means to guarantee compliance with its decision).
Hypothesis 1 is supported by a significant relationship ($\beta=0.41$, $p<0.01$) between regulatory instruments and Reg. Hypothesis 3 is also supported over Hypothesis 2, as the relationship between delegated powers and Reg is not direct, but rather completely mediated by regulatory instruments. Moreover, Hypothesis 4 is supported by the significant linkage between accountability and personnel ($\beta=0.18$, $p < 0.05$). Hypothesis 5 is supported by the significant relationship between independence and regulatory instruments ($\beta = 0.39$, $p < 0.01$).
The results demonstrate that regulatory instruments and delegated powers (indirectly through regulatory instruments) mediate relationships between two governance mechanisms (participation and independence) and regulation. Independent regulators were more likely to be enhanced by regulatory instruments, which in turn enabled them to perform better as regulators. Participation was more likely to enhance delegated powers, which linked to regulation through regulatory instruments. Mediation for the independence – regulation relationship is relatively easy to interpret. The major portion of the relationship between independence and regulation was indirect through regulatory instruments, as expected.
The nature of mediation for the participation – regulation relationship is somewhat weaker and more complex. The indirect effect of participation on regulatory instruments is mediated through delegated powers. Nevertheless, a moderate direct effect also remained between participation and regulation.
Hypothesis 6, which predicted that regulatory instruments mediate the independence-regulation relationship, is supported by the finding that the hypothesised mediation model (Model 5) has a fit equivalent to the fit of the model that also included a direct path between independence and regulation (Model 3). Hypothesis 7 is supported by the link between participation and delegated powers ($\hat{\alpha} = 0.48$, $p < 0.01$).
Hypothesis 8, predicting that delegated powers mediate the participation-regulation relationship, is supported by the finding that the hypothesised mediation model (Model 5) has a fit equivalent to the fit of the model that also included a direct path between participation and regulation (Model 3).
Our results suggest that regulatory instruments, rather than delegated powers, are the enhanced decision tool most strongly associated with regulation. Nevertheless, the evidence suggests that delegated powers should be retained in models explaining how governance mechanisms and affect regulation.
First, modest correlations with regulatory instruments and with personnel suggest that delegated powers are indeed a separate construct. Second, the post hoc analyses related to participation illustrate that the effect of participation on regulatory instruments is mediated by delegated powers. For these reasons, it is believed that it is significant for future research to examine all three regulatory decision tool variables, not just personnel and regulatory instruments.
The personnel factor was positively related to accountability, as expected. This finding supports the hypothesis that highly accountable regulators are more likely to be enhanced to get along with other regulatees in the regulatory process, although the personnel factor for regulatory decision tools was not related to regulation in the NCC.
Therefore, we are unable to test all dimensions of the proposed decision tools model within the context of the present study, and any conclusions related to personnel are tenuous and incomplete. Future research should examine whether a path between delegated powers and personnel explains regulation in the NCC, in which there is greater opportunity for the personnel of regulatory decision tools. It should also be noted that accountability, clarity of role, and transparency were not found to be strongly related to regulation.
Although our literature findings support the utility of a model based on the five governance mechanisms and regulations, we acknowledge that other perspectives of GMs exist, such as predictability\textsuperscript{55}. Other perspectives focus on differences, such as regulatory capacity\textsuperscript{56} and autonomy\textsuperscript{57}. Still other perspectives focus more on context factors such as institutional endowment\textsuperscript{58}.
Additional research is needed to integrate these concepts within our model. Moreover, the support for the regulatory decision tool perspective that we adopt should not necessarily be interpreted as evidence against other perspectives that similarly help us understand the complex regulatory process. A potential limitation of this study is that both the GMs and RDTs measures were obtained from self-responses, thereby introducing common-method bias.
Due to the fact that intentions are virtually impossible to measure except through self-response, future studies might reduce this confound by
obtaining alternative indicators of governance mechanisms. Nevertheless, given the governance mechanisms – RDT correlations obtained in this study (mean $r=0.18$; maximum $r=0.48$), it seems reasonable to conclude that our measures of governance mechanisms and RDT are likely assessing separate constructs. A second limitation of this study is the cross-sectional design, which does not allow for an assessment of causality.
Thus, for example, we are unable to definitively test the validity of the assumption that delegated powers cause regulatory instruments. An alternative explanation is that regulators are enhanced to attain regulatory instruments in order to have more delegated powers.
Overall, the present study extends current theory in two primary ways. First, it provides support for a process model of regulatory decision tools that combines governance mechanisms and RDT variables. Such findings enhance our understanding of how governance mechanisms affect regulation. These findings also underscore the central role of the regulator in determining regulations in the regulatory process. Second, our study supports and extends the development of theoretical models of regulation.
Regulatory decision tools have long been viewed as having a central role in regulation. This study adopts the decision-making perspective and identifies broad decision tools toward three fundamental orientations in the regulatory process: personnel (for example, the regulator’s employee is admitted by public exams), regulatory instruments (for instance, the regulator has the power and legal means to guarantee compliance with its decision), and delegated powers. For example, the regulator has sufficient legal powers and means to secure compliance with its decision).
Although the relative importance of these regulatory decision tools might differ depending on the demands of specific sectors and countries, the proposed framework appears to comprehensively specify a decision tool, explaining what regulators are trying to decide in the regulatory process – namely, personnel, delegated powers, and regulatory instruments. Assessing a regulator’s decision through these three broad tools provides one method for comprehensively measuring regulatory decision-making in the regulatory process.
Future models investigating the determinants of regulation might thus benefit from including measures of personnel, delegated powers, and regulatory instruments as tools of decision-making.
Endnotes
1 Gutierrez & Berg, 2000; Minogue, 2002; Stern & Holder, 1999; Xia, 2012a
2 *Ibid*
3 Minogue, 2002
4 Vining & Weimer, 1999
5 Majone, 1999, p. 309
6 Levi-Faur, 2012, p. 3
7 1997b, p. 6
8 Foster, 1992; Koppel, 1999
9 Baldwin, Cave, & Lodge, 2010, p. 4
10 Black, 2002, p. 26
11 Black, 2002, p. 11
12 public utilities as well (Bauer, 2005; Cook & Minogue, 2002; Florio & Fecher, 2002; OECD, 1997a, 2002
13 p. 205
14 Gonenc, Maher, & Nicoletti, 2000, p. 44
15 Cheng & Hebenton, 2008; Chou & Liu, 2006; Stern & Holder, 1999; Xia, 2012b
16 Gonenc *et al.*, 2000, p. 45
17 Isopi, Nosenzo, & Starmer, 2014; May & Winter, 1999; Verhoest, Peters, Bouckaert, & Verschuere, 2004
18 Levy & Spiller, 1996
19 *Ibid*
20 Al-Kassab, Ouertani, Schiuma, & Neely, 2014; Campell, 1996; Gutierrez & Berg, 2000; Lombardi, Trequatrini, & Battista, 2014; Philipson, 1992; Ramaseshan, Achuthan, & Collinson, 2008; Ruys, 1997; Singh, 2000; Xavier, 2000
21 Gutierrez, 2003
22 Berg, 2000; Gutierrez, 2003; Gutierrez & Berg, 2000; Stern & Holder, 1999
23 Better Regulation Task Force, 1997
24 W. Smith, 1997
25 Cheng, 2007; Gulen *et al.*, 2007
26 Gonenc *et al.*, 2000, p. 41
27 Cheng & Hebenton, 2008
28 Cheng, 2015
29 2006, p. 38
30 1996, p. 4
31 Christensen, 2012
32 *cf* W. Smith, 1997
33 Correa, Melo, Mueller, & Pereira, 2008; Correa et al., 2006
34 Levi-Faur, 2011
35 Correa et al., 2006; Levy & Spiller, 1996
36 Cheng, 2007
37 Correa et al., 2006
38 Ibid
39 Stern & Cubbin, (2005), Cheng and Hebenton 2008
40 (p. 658)
41 Ogus, 2001, 2002
42 North, 1990
43 (1995, p.55)
44 Rhodes, 1997, p.68
45 Goodin, 1996, p.22
46 Xia, 2012b
47 Cheng & Hebenton, 2008
48 Cheng, 2013
49 Ibid
50 Correa et al., 2006
51 Podsakoff, MacKenzie, Lee, & Podsakoff, 2003
52 Hair, Anderson, Tatham, & Black, 1998; Hair, Black, Babin, Anderson, & Tatham, 2006
53 Jakobsen & Jensen, 2015; Podsakoff et al., 2003
54 Cheng, 2015; Cheng & Hebenton, 2008; Stern, 2007; Stern & Holder, 1999
55 For example, Kessides, 2003; Stern, 2007
56 P Smith, 1997; W. Smith, 1997
57 Stern & Holder, 1999
58 Levy & Spiller, 1996
References
Al-Kassab, J., Ouertani, Z M, Schiuma, G., & Neely, A. (2014). Information visualization to support management decisions. *International Journal of Information Technology & Decision Making, 13*(2), 407-428. doi: Doi 10.1142/S0219622014500497
Baldwin, R., Cave, M., & Lodge, M. (Eds.). (2010). *The Oxford Handbook of Regulation*. Oxford: Oxford University Press.
Bauer, J. (2005). Regulation and state ownership: conflicts and complementaries in EU telecommunications. *Annals of Public and Cooperative Economics, 76*(2), 151-177.
Bentler, P. M. (1995). *EQS structural equations programme manual*. Encino, CA: Multivariate Software.
Berg, Sanford. (2000). Sustainable regulatory systems: laws, resources, and values. *Utilities Policy, 9*, 159-170.
Better Regulation Task Force. (1997). *Principles of Good Regulation*. London: UK Cabinet.
Black, J. (2002). Critical Reflections on Regulation. *Australian Journal of Legal Philosophy, 27*, 1-37.
Campell, H.E. (1996). The Politics of Requesting: Strategic Behavior and Public Utility Regulation. *Journal of Policy Analysis and Management, 15*(3), 395-423.
Cheng, Kuo-Tai. (2007). *Regulatory governance: theory and practice*. Kaohsiung: Li-Wen.
Cheng, Kuo-Tai. (2013). Governance mechanisms and regulation in the utilities: An investigation in a Taiwan sample. *Utilities Policy, 26*, 17-22. doi: 10.1016/j.jup.2013.04.003
Cheng, Kuo-Tai. (2015). Is there a relationship between governance mechanisms and regulatory capture: the mediating effects of regulation. *Int. J. Technology, Policy and Management, 15*(4), 378-394.
Cheng, Kuo-Tai, & Hebenton, B. (2008). Regulatory Governance for Telecommunications Liberalisation in Taiwan. *Utilities Policy, 16*, 292-306.
Chou, Y. S., & Liu, K C (2006). Paradoxical impact of asymmetric regulation in Taiwan’s telecommunications industry: Restriction and rent seeking. *Telecommunications Policy, 30*(3-4), 171-182. doi: 10.1016/j.telpol.2005.06.016
Christensen, J. G. (2012). Competing Theories of Regulatory Governance. In David Levi-Faur (Ed.), *Handbook on the Politics of Regulation* (pp. 96-110). Oxford: Edward Elgar.
Cook, P., & Minogue, M (2002). Introduction: privatization, regulation and competition in developing countries. *Annals of Public and Cooperative Economics*, 73(4), 485-492.
Correa, P., Melo, M., Mueller, B., & Pereira, C. (2008). Regulatory governance in Brazilian infrastructure industries. *The Quarterly Review of Economics and Finance*, 48, 202-2016.
Correa, P., Pereira, C., Mueller, B., & Melo, M. (2006). *Regulatory Governance in Infrastructure Industries: Assessment and Measurement of Brazilian Regulators*. Washington DC: The World Bank.
Florio, M., & Fecher, F. (2002). The future of public enterprises: contributions to a new discourse. *Annals of Public and Cooperative Economics*, 82(4), 361-373.
Foster, C. D. (1992). *Privatization, public ownership, and the regulation of natural monopoly*. Oxford, UK ; Cambridge, Mass., USA: Blackwell.
Gonenc, R., Maher, M., & Nicoletti, G. (2000). *The implementation and the effects of regulatory reform: past experience and current issues*. NY: OECD.
Goodin, R. (1996). *The Theory of Institutional Design*. Cambridge: Cambridge University Press.
Grindle, M. (1980). Policy Content and Context in Implementation. In M. Grindle (Ed.), *Politics and Policy Implementation in the Third World*. Baltimore: John Hopkins University Press.
Gulen, G., Makaryan, R., Volkov, D., & Foss, M. (2007). Improving regulatory agency efficiency and effectiveness. *CEE working paper*.
Gutierrez, L.H. (2003). Regulatory governance in the Latin American telecommunications sector. *Utilities Policy*, 11(4), 225-240.
Gutierrez, L.H., & Berg, S. (2000). Telecommunications liberalization and regulatory governance: lessons from Latin America. *Telecommunications Policy*, 24(10-11), 865-884. doi: Doi 10.1016/S0308-5961(00)00069-0
Hair, J. F., Anderson, R., Tatham, R., & Black, W. (1998). *Multivariate data analysis (5th ed.)*. Upper Saddle River, NJ: Prentice Hall.
Hair, J. F., Black, B., Babin, B., Anderson, R. E., & Tatham, R. L. (2006). *Multivariate Data Analysis (6th ed.)*. NJ: Pearson Prentice Hall.
Isopi, Alessia, Nosenzo, Daniele, & Starmier, Chris. (2014). Does consultation improve decision-making? *Theory and Decision*, 77(3), 377-388. doi: 10.1007/s11238-014-9449-9
Jakobsen, M., & Jensen, R. (2015). Common Method Bias in Public Management Studies. *International Public Management Journal*, 18(1), 3-30. doi: Doi 10.1080/10967494.2014.997906
Kessides, I. (2003). Infrastructure regulation: promises, perils and principles. *World Bank Policy Research Report*.
Koppel, J. (1999). The challenge of administration by regulation: preliminary findings regarding the U.S. government’s venture capital funds. *Journal of Public Administration Research and Theory*, 9(4), 641-666.
Levi-Faur, David. (2011). *Handbook on the Politics of Regulation*. Cheltenham: Edward Elgar.
Levi-Faur, David. (2012). From “big government” to “big governance”? In David Levi-Faur (Ed.), *The Oxford Handbook of Governance*. Oxford: Oxford University Press.
Levy, B., & Spiller, P. (1996). *Regulations, Institutions, and Commitment: Comparative Studies of Telecommunications*. Cambridge: Cambridge University Press.
Levy, B., & Spiller, P.T. (1994). The institutional foundations of regulatory commitment: a comparative analysis of telecommunications regulation. *The Journal of Law, Economics & Organization*, 10(201-246).
Lombardi, R., Trequattrini, R., & Battista, M. (2014). Systematic errors in decision making processes: the case of the Italian Serie A football championship *International Journal of Applied Decision Sciences*, 7(3), 239 - 254.
Lowndes, V. (2002). Institutionalism. In D. Marsh, and Stoker, D. (Ed.), *Theory and Methods in Political Science*. Hampshire: Palgrave.
Majone, G. (1999). Regulation in comparative perspective. *Journal of Comparative Policy Analysis: Research and Practice*, 1(3), 309-324.
May, P. J., & Winter, S. (1999). Regulatory enforcement and compliance: Examining Danish agro-environmental policy. *Journal of Policy Analysis and Management*, 18(4), 625-651. doi: Doi 10.1002/(Sici)1520-6688(199923)18:4<625::Aid-Pam5>3.0.Co;2-U
Minogue, M. (2002). Governance-based analysis of regulation. *Annals of Public and Cooperative Economics*, 73(4), 649-666.
North, D. C. (1990). *Institutions, Institutional Change and Economic Performance*. Cambridge: Cambridge University Press.
OECD. (1997a). *The OECD report on regulatory reform : synthesis*. Paris: Organisation for Economic Co-operation and Development.
OECD. (1997b). *Regulatory Reform: Synthesis*. Paris: OECD.
OECD. (2002). *Regulatory Policies in OECD Countries: From Interventionism to Regulatory Governance*. Paris: OECD.
Ogus, A. (2001). Regulatory Institutions and Structures. *Paper for Centre for Regulation and Competition Workshop, February 2001*, IDPM, University of Manchester.
Ogus, A. (2002). Comparing Regulatory Systems: Institutions, Processes and Legal Forms in Industrialised Countries. *Paper for Centre for Regulation and Competition International Workshop, 4-6 September 2002, IDPM, University of Manchester.*
Philipson, T. (1992). The Exchange and Allocation of Decision Power. *Theory and Decision, 33*(3), 191-206. doi: Doi 10.1007/Bf00133640
Podsakoff, P. M., MacKenzie, S. B., Lee, J. Y., & Podsakoff, N. P. (2003). Common method biases in behavioral research: a critical review of the literature and recommended remedies. *J Appl Psychol, 88*(5), 879-903. doi: 10.1037/0021-9010.88.5.879
Ramaseshan, B., Achuthan, N. R., & Collinson, R. (2008). Decision support tool for retail shelf space optimization. *International Journal of Information Technology & Decision Making, 7*(3), 547-565. doi: Doi 10.1142/S0219622008003046
Rhodes, R. (1995). The Institutional Approach. In D. Marsh, and Stoker, D. (Ed.), *Theory and Methods in Political Science*. London: Macmillan.
Rhodes, R. (1997). *Understanding Governance: Policy Networks, Governance, Reflexivity and Accountability*. Buckingham: Open University Press.
Ruys, P. (1997). From national public utilities to European network industries. *Annals of Public and Cooperative Economics, 68*(3), 435-451.
Singh, J. P. (2000). The institutional environment and effects of telecommunication privatization and market liberalization in Asia. *Telecommunications Policy, 24*(10-11), 885-906. doi: Doi 10.1016/S0308-5961(00)00066-5
Smith, P. (1997). What the Transformation of Telecom Markets Means for Regulation. *Public Policy for the Private Sector, no.121*. Washington, DC: World Bank.
Smith, W. (1997). Utility regulators-the independence debate. *The World Bank Public Policy for the Private Sector, 127*.
Stern, J. (2007). *Evaluating infrastructure regulators: developing UK and international practice*. Bath: University of Bath.
Stern, J., & Cubbin, John. (2005). *Regulatory effectiveness: the impact of regulation and regulatory governance arrangements on electricity industry outcomes*. [Washington, D.C.]: World Bank Development Research Group Investment and Growth Team.
Stern, J., & Holder, S. (1999). Regulatory Governance: Criteria for Assessing the Performance of Regulatory Systems. *Utilities Policy, 8*, 33-50.
Verhoest, K., Peters, B. G., Bouckaert, G., & Verschuere, B. (2004). The study of organisational autonomy: A conceptual review. *Public Administration and Development, 24*(2), 101-118. doi: Doi 10.1002/pad.316
Vining, A. R., & Weimer, D. L. (1999). Informing Institutional Design: Strategies for Comparative Cumulation. *Journal of Comparative Policy Analysis: Research and Practice, 9*, 39-60.
Weil, D., Fung, A., Graham, M., & Fagotto, E. (2006). The effectiveness of regulatory disclosure policies. *Journal of Policy Analysis and Management, 25*(1), 155-181. doi: Doi 10.1002/Pam.20160
Xavier, P. (2000). Market liberalisation and regulation in Hungary’s telecommunications sector. *Telecommunications Policy, 24*(10-11), 807-841. doi: Doi 10.1016/S0308-5961(00)00068-9
Xia, J. (2012a). China’s telecommunications industry in the era of 3G and beyond: Market, technology, and institutions. *Telecommunications Policy, 36*(10-11), 793-797. doi: 10.1016/j.telpol.2012.09.006
Xia, J. (2012b). Competition and regulation in China’s 3G/4G mobile communications industry-institutions, governance, and telecom SOEs. *Telecommunications Policy, 36*(7), 503-521.
Role of Government, Sustainable Economic Growth and Competition Reforms
An Indian Perspective
S Chakravarthy
Civil Servant by Profession in India
Adviser/Consultant on Competition India
Abstract
Competition has not been at the heart of the process of policymaking debates in many countries. Its role in economic development, competitiveness of national economies, trade and investment has not been fully appreciated, particularly in developing countries and remains fragile in the political context and in public opinion. Governments over time have adopted trade and regulatory policies in open contradiction with competition principles.
This paper addresses the role of the government towards laying down policies keeping in mind the crucial need for competition to inform them (policies) with a view to sub-serving sustainable economic growth.
There is and can be no perfect competition in the real world. What one notices in the market is a set of imperfectly competitive markets, where firms engage in strategic behaviour to maximise their profits and to restrict opportunities available to their competitors. Such kind of behaviour results in the distortion of competition, exploitation of consumers and imposition of various economic and social costs on the society, adversely affecting its welfare in general.
Competition and Economic Development
Market economies are about competitiveness, performance and efficiency and cannot function without competitive conduct of market operators. It is true that markets are shaped by a multitude of other factors including governmental policies but without a minimum amount of economic freedom and a culture of competition, the economy is likely to be dominated by rent seeking of operators and prevalence of anti-competitive practices.
This is why the famous Washington consensus of the United Nations of 1989 declared that development would result from trade liberalisation, privatisation and deregulation. Liberalisation can be circumvented by private restraints and the privatisation of public monopolies is likely to miss its target if substituted by private market dominance and collusive practices.
It cannot be gainsaid that competition is essential for achieving the benefits of market liberalisation and competitiveness. This has been recognised by the Monterrey consensus of 2002, which stressed on the importance of private sector development but also the need for good governance in both the public and private sectors.\(^1\) The idea of competition is fundamental to modern economic thinking and there is a well-developed body of theory to explain how the pursuit of economic self-interest, within an appropriate framework, has beneficial effect for economic efficiency, consumers and society.\(^2\)
Economic reforms including competition reforms that disregard market functioning and fail to promote competitive behaviour are bound to fail in their very objectives.\(^3\)
Role of Government
For addressing the role of the government, a distinction needs to be drawn between ‘competition law’ and ‘competition policy’. Competition policy is defined as ‘those government measures that directly affect the behaviour of enterprises and the structure of industry’.\(^4\) The objective of competition policy is to promote efficiency and maximise welfare.
There are two elements of such a policy. The first involves putting in place a set of policies that enhance competition in local and national markets. These would include a liberalised trade policy, relaxed foreign investment and ownership requirements and economic deregulation. The second is legislation designed to prevent anticompetitive business practices and unnecessary government intervention – competition law. An effective
competition policy promotes the creation of a business environment which improves static and dynamic efficiencies and leads to efficient resource allocation, and in which the abuse of market power is prevented mainly through competition.
Competition policy can be regarded as a genus, of which competition law is a specie. The former covers a whole array of executive policies and even approaches, whereas the latter is a piece of legislative enactment having the character of enforceability in a court of law.
Government’s role combines its responsibility to put in place an appropriate competition law and complement it with its responsibility to posit a well-designed competition policy.
**Multiple Objectives and Conflict**
A source of tension in many countries, particularly the developing ones, is the priority attached to competition policy relative to the rank order assigned to other governmental policies, including that having the support of statutes. Multiple objectives are allowed to rein in the competition policy, as a result of which, conflicts and inconsistent results surface to the detriment of the consumers. For instance, promoting small businesses and maintaining employment could conflict with attaining economic efficiency. With this kind of small business objective, competitors rather than competition may get protected.
Competition policy or competition regime seeks to maintain and encourage the competitive process with a view to promoting economic efficiency and consumer welfare. Its objective is to spur firms and individual players in the market to compete with each other to secure the patronage of customers in terms of, *inter alia*, competitive prices, good quality and greater choice for them.
The most common objectives of competition policy applied with varying emphasis in different countries are economic efficiency, consumer welfare and public interest. In his analysis of new concepts for competition policy and economic development, Singh\(^5\) has suggested that standard objectives of competition regime should be reconsidered to bring in notions, such as, *inter alia*, an optimal degree of competition as opposed to maximum competition, an optimal combination of competition and cooperation between firms, dynamic rather than static efficiency and consistency between competition and industrial policies. The role of the Government would therefore, *inter alia*, include framing of a competition policy besides legislating an appropriate competition law keeping in view the goals and needs of the country.
The central exercise therefore, is, to pursue an appropriate competition policy without being constrained by or conflicting with other public policy objectives. Within this exercise, the main issue is the priority attached to competition policy objectives in the overall framework of governmental policies. For this purpose, it is necessary to list governmental policies that impact on competition policy. Micro-industrial governmental policies that may support or adversely impinge on the application of competition policy would include:
- Industrial policy
- Reservations for the small scale industrial sector
- Privatisation and regulatory reforms
- Trade policy
- Procurement policy
- Fiscal Policy
There are more policy areas but only six of them have been chosen because of space restraint.
A National Competition Policy (NCP) would help to address numerous policy-induced competition distortions which otherwise could not be checked under the competition law, because they were sanctioned under other public policies.
Taking India as an illustration cubicle, a brief treatment of the six policy areas is attempted below.
**Industrial Policy**
The Indian statute, Industries (Development and Regulation) Act, 1951 (IDR Act) is essentially designed to promote and regulate industrial development. If competition principles, fair and free trade and market driven environment are desirable objectives, the need for the regulatory statute for industrial development may not be necessary at all. No licence or permission need be a requirement for an industrial undertaking to be set up or for the expansion of an existing undertaking except for location (avoidance of urban-centric location), for environment protection (anti-pollution, banning chemical industries in habitat concentrations), for prevention of use of scarce resources (timber from trees), for discouraging conspicuous consumption, for protection of monuments and National heritage and for protecting the society from threats to public health (tobacco, liquor etc.). Subject to the aforesaid safeguards and similar ones in National interest, the IDR Act doesn’t seem to have relevance anymore.
But yet, the IDR Act was used to regulate growth of Industrial activity till 1991, when economic reforms were ushered in. Along with the now repealed Monopolies and Restrictive Trade Practices Act, 1969 (MRTP ACT), the surveillance over Industrial growth was intense. Big becoming bigger was an ugly concept. After the reforms of 1991, many controls called the licence-permit Raj were taken off the Statutes and Regulations. MRTP Act was replaced in 2002 by the new Competition Law, Competition Act, 2002. Many industries were deregulated and no licence is required for them now.
Ironically, MRTP Act, competition law for India from 1969 till 2002 concentrated in regulating, if not inhibiting Industrial growth and in controlling monopolies but hardly fostering competition in the market. Industrial growth is a major source of stability in an economy. The primary objectives of the Industrial policy are to maintain a sustained growth in productivity, to enhance gainful employment, to encourage innovation, to achieve optimal utilisation of human resources, to attain international competitiveness and to transform India into a major partner and player in the global arena.
The signal reform of 1991 focussed on deregulating Indian industry, allowing the industry freedom and flexibility in responding to market forces and providing a policy regime that facilitated and fostered growth of Indian industry. Another reform of great significance was, as mentioned above, the replacement of the MRTP Act by Competition Act, 2002. The Mantra in the new competition law was COMPETITION. Noteworthy is the fact that India has grown significantly industrially over the two decades since the reforms and in particular, competition reforms.
The role of the government needs to focus not only in promoting competition, thereby facilitating growth of Indian industry but to ensure that its policy decisions do not create anticompetitive outcomes. An example of such policy induced distortions is given below:
**Fleet and Equity Requirements for Domestic Passenger Air Service**
According to India’s Civil Aviation Requirement (CAR), Section 3, Part II and III, a scheduled service operator using aircraft with a take-off mass of 40,000 kg or more must purchase or lease a minimum of five aircraft with start-up equity requirement of Rs.50 crores. Additionally, as an airline’s fleet grows in increments of upto five planes, equity requirements grow by Rs.20 crores. For aircraft with take-off mass less than 40,000 kg, the minimum start-up fleet is five aircraft (purchased or leased) with the minimum equity requirement starting at Rs.20 crores and growing by Rs.10 crores with every five additional aircraft.
Given the high cost of entry into the civil aviation sector, these regulations unnecessarily raise barriers to entry. Hence, the fleet and equity requirement instituted by these regulations limit the number of new entrants.
On the contrary, the incumbent firms are not facing any potential threats from new entrants and hence are following collusive practice amongst them. Without many new competitors entering the market, there exists no incentive to change the way these established airlines operate and therefore, customer service and choice are adversely affected.\(^7\)
**Reservations for Small Scale Industrial Sector**
India has been following a policy for decades encouraging and protecting the small scale industrial sector. There are both efficient and inefficient small scale units and well-managed and ill-managed ones. Competition principles would dictate the theory that inefficient and ill-managed firms should exit from the market. The concern implicit in this theory is that exit of such firms will render employed persons being thrown out of employment, thus aggravating the unemployment situation in the country. It cannot be denied that the small scale sector generates significant employment but it does so at a considerable cost to the exchequer by way of loss of revenue entailed by a plethora of exemptions from indirect taxes available to this sector of the economy.
Thus, while a policy for the welfare of the small scale sector cannot be regarded as unreasonable, it must be tempered by the knowledge that it involves heavy costs. Reservation of products for small scale and micro enterprises has led to poor quality of output. Since, many of them are suppliers of ancillaries to organised producers, it leads to the overall poor quality of products to consumers. Efficiency of such suppliers is poor because of the lack of skills, low capital availability, poor quality of machinery, heavy labour orientation, poor cost control, low output and poor quality of outputs.
In a paper presented to the Expert Group\(^8\) constituted by the Ministry of Commerce, Government of India to study the interaction between Trade and Competition Policy, a pointed reference was made to the plethora of laws and rules in India that explicitly protect favoured players and reduce competition in the name of public interest.\(^9\)
Public interest is frequently and unabashedly invoked to protect one specific interest group (unionised labour, small scale industries, handloom weavers) with no explanation of how or why the interest of this group transcends all others. Such protectionism in the name of public interest
leads to sacrifice of efficiency, raises potential costs and risks and discourages new investment.
The Expert Group referred to above observed that “all governmental policies will have to be viewed through the competition lens to ensure that consumer interest and welfare and economic efficiencies and development dimensions are not pejorated”.10
The trend in the policies of the government, over the years has been towards dereservation of many products, which hitherto have been reserved for the small scale sector. Exempting small scale industries from the applicability of competition law may not be and will not be necessarily a solution for the welfare and interest of the small scale sector. Protection of such units can only be a drag on the economy and waste of scarce resources (particularly capital resources). If at all there should be a national goal in this area, it should be the welfare of the efficient and well-managed small scale sector. Exemption from the competition principles cannot be a handmaiden to be used for protecting laggards in the small scale sector.
Having said this, in order to encourage and assist the efficient and well-managed small scale sector units, policies providing cheap credit to them, increasing the threshold limit for the small scale sector (having regard to inflation over the last few years and the exchange rate changes) and the like could be laid down.
In respect of the small scale sector in India, economic reforms over the last two decades have effected progressive reduction of reservation of products, thus encouraging them to become competitive. The reforms in this area inherit the competition principle.
**Privatisation and Regulatory Reforms**
Recent years have seen widespread regulatory reforms and the privatisation of many State-owned enterprises in many countries. These reforms have been undertaken as a result of an increased awareness and evidence of regulatory failure. The increase in reliance on market mechanisms to promote economic progress is exemplified by the trend towards the privatisation, de-regulation, adoption and enforcement of Competition Law.11
India is now taking on hand the implementing of the second generation economic reforms (the first generation reforms have been under implementation for some time now, particularly after 1991). But still, even now, there are price controls and dual pricing in India leading to distortions in the market. For instance, restrictions on sugarcane prices and procurement, production capacities, dual pricing of sugar (levy and
non-levy), restraint of exports and imports and many others like restrictions have enabled the inefficient producers of sugar to continue and prevent the rise of a competitive industry.
Policymakers in India are aware that there is an imperative need to further the economic reforms of liberalisation, de-regulation and privatisation so as to enable the consumers to reap the benefits of competition in the market. Nonetheless, a caveat needs to be added that while competition principles may govern and inform most governmental policies, there should be some flexibility in the competition policy to provide for the needs, aspirations and goals of the country. It also needs to be said that economic reforms including liberalisation, de-regulation and privatisation should be so designed that they strengthen the competition policy and vice-versa. These two paradigms should be complemental to each other.
**Trade Policy**
Trade liberalisation and competition reforms are complementary to each other and neither can fully achieve its objects without the other. Given this premise, an appropriate approach would be to adopt competition policy simultaneously with trade liberalisation and other economic reforms such as privatisation and deregulation. In this way, competition policy would act as a catalyst for economic reforms and development based on market-oriented principles.
While an open trade policy will be supportive of competition policy objectives, it is not always that the former will be a guarantor of competition in all circumstances. Governmental policies, particularly those that give rise to restraints and distortions in trade practices and the market, may be a threat to the attainment of competition objectives. All trade policies may, therefore, be required to fall within the framework of competition principles. The framework needs to be based on two parameters, one, whether a restriction affects all competitors or just foreign competitors and the other, whether the restriction falls within the category of measures that have been traditionally subject to competition law disciplines.
Trade policies laid down by the government include measures relating to industrial policies, domestic regulations, licencing requirements, discriminatory standard-setting practices, state monopolies and state trading enterprises, all of which may be restricting competition domestically and impeding market access to foreigners. In the interest of consumers and free and fair trade, it is necessary to have an effective
competition policy to ensure that trade policies fall within the contours of competition principles.
Trade policy includes tariffs, quotas, subsidies, anti-dumping actions, domestic content regulations and export restraints. Trade policies of this kind and of a similar nature need to conform to competition principles and where they do not, will be required to be refashioned, so that they do. To make the competition policy effective it should be ensured that there should be no physical or fiscal barriers to domestic trade from one end of the country to another. It would mean fiscal measures, such as uniform Sales Tax, abolition of Octroi, elimination of such other State level entry or exit taxes and elimination of all physical control of goods movement throughout the country.
The benefits of trade liberalisation have been seen in the relaxation of quantitative restrictions and reduction of tariffs. Yet, the trade policies adopted in furtherance of developmental objectives may have several anticompetitive dimensions. Some likely instances of potential distortions of this nature are given below:
**Inverted duty structure**
One of the unusual facets of the current import duty structure is its inverted nature witnessed in a few sectors at present. An inverted duty structure refers to a situation where the duty on the finished product is lower than that on raw materials and intermediate products. This is a distortion when the higher duty on raw materials results in production costs that are higher than the selling price of the imported finished product and hurts the domestic manufacturer who relies on the raw materials for production.\(^{12}\)
**Yet another instance of inverted import duty structure**
A concern rose in the cement industry which, in early 2010, urged the Centre to abolish import duty on raw materials such as coal, petroleum coke and gypsum since cement as a finished product does not attract duty. The industry, therefore, argued that duty on them should be abolished in line with the established principle that import duty on inputs should not be higher than that of finished product. The government was requested to align value-added tax on cement with that of steel at four percent against 12 percent levied currently since both are important raw commodities for the infrastructure sector.\(^{13}\)
Safeguard duty
In July 2010, the Government of India imposed 16 percent safeguard duty on soda ash imports from China in order to protect domestic producers. The safeguard duty was expected to benefit domestic manufacturers of soda ash. However, the market players reported neither increase in the price of soda ash as a resulting impact of such a move nor a reduction in imports from China. According to market estimates India’s soda ash imports surged by 69 percent after the safeguard duty imposition.\(^{14}\)
Even though the collected facts and estimates may lean towards the justification of the imposition of the safeguard duty, thorough investigation needs to be conducted to ensure that the situation merits the levy. Furthermore, a long time span of imposition of the safeguard levy would promote inefficiency among protected domestic producers to the detriment of competition. Levy of safeguard duty can be justified if absence of such duty is seen as associated with a significantly reduced market share of domestic producers, thus, threatening their businesses.
However, as mentioned earlier, care must be taken that the domestic producers do not get too comfortable under this cushion that it becomes a resting spot for inefficiency. The role of the government is manifest in such cases that it should reckon the competition principles before deciding on the imposition of safeguard duty.
Procurement Policy
There are many procurement policies that favour some specific companies over others or distort competitive neutrality between the public and private market players by way of some preference clauses, riders or conditionalities or produce anticompetitive outcomes because of the manner in which they may be implemented. While there may be sound policy reasons for these, the benefits need to be compared with the potentially higher prices that distort competition as well as harm the consumers. Hence, it must be established clearly and in a transparent manner that the objectives behind such policies override possible adverse impact on competition and are necessary to achieve some social and environmental objectives\(^{15}\). An example is given herein:
In a recent tender call for Ayurvedic medicines, the Directorate of Ayurveda, Government of Rajasthan was seen to bend the rules governing the procurement of medicines by adding riders/conditions that manufacturers must have minimum five years of experience, a condition
that did not figure in the original call for tenders. This condition was inserted later while the tender process was on.
Of the existing PSUs and co-ops that manufacture Ayurvedic medicines, only eight had an experience of five years and more. That an experience of minimum of five years was necessary to ensure the level of quality sought was not adequately demonstrated by the purchase committee and consequently, such a rider acted as a deterrent for entry. Also, operations of most of the qualifying companies were being managed by the same set of people which raised doubts regarding collusive behaviour between the officials and the specific manufacturers.\textsuperscript{16}
\textit{Purchase preference}
An example of anticompetitive policy of the government is the fact that public sector undertakings (PSUs) are in significant force in India and receive preferences that restrict competition by the private sector. Preference in procurement policies distorts competitive neutrality in the market place. As CUTS research report\textsuperscript{17} notes, “[T]he concept of competitive neutrality means that government-supported business activities should not enjoy net competitive advantages over their private sector competitors.”
For some years, PSUs enjoyed purchase preference, if the price quoted by them fell within 10 percent of the lowest bidder’s quote. Wiser counsel prevailed and government did away with the said preference to PSUs in 2008.
\textbf{Fiscal Policy}
Fiscal policy includes, tax policy, expenditure policy, subsidy or state aid, investment or disinvestment strategies and debt or surplus management. Under the existing tax policy, the present multiple tax structure impels high compliance cost, excessive litigation and uncertainty about ultimate tax incidence at the time of investment or business transactions. The competitiveness of the Indian industries is adversely affected by the cascading effect of multi-layered taxes which increases the cost of indigenous manufacture. The inefficiency of the existing indirect tax structure and consequent adverse impact on India’s economic growth are described below:
\textit{Impact on competitiveness of indigenous goods and services}\textsuperscript{18}
The existing tax structure is having a cascading impact on cost of indigenous manufacture of goods and services. For example, value added
tax (VAT) is levied on the sale value of a product which includes excise duty element, Thus VAT is also charged on excise duty amount. Similarly when VAT paid raw material is used in manufacture, it forms part of the excisable value (cost of manufacture) on which excise duty is levied. Thus excise duty is also charged on VAT element.
Similar is a case of service tax levied on services. Central sales tax is levied on inter-state sale of goods. This cascading of taxes at each stage in a supply chain makes Indian goods expensive. In the case of some indigenous products, the resultant competitive disadvantage due to cascading taxes alone can be as high as 10 percent to 15 percent of the price. Such tax disadvantage reduces the competitiveness of indigenous goods and does not allow India to tap the export potential of manufactured goods and agro-based processed foods.
**Subsidies/State Aid**
Subsidies have often been used to foster the development of new industries especially in developing countries. Subsidies are also often granted as part of a ‘defensive’ industrial policy, when they are targeted towards distressed firms, with the goal of preventing foreign takeover, avoiding the disappearance of an activity deemed essential for the country’s economy, or avoiding layoffs and the ensuing social troubles.\(^{19}\)
In India, subsidies are granted both by the Central Government and state governments. Examples include the recurring support to agriculture, power, airlines, and coal mining. Subsidies increase inefficiencies and lead to soft budget constraints for the beneficiary. Governments think that production itself creates economic value—an idea that sometimes makes them protect businesses regardless of their performance. Rampant and wasteful subsidies cause a drain on the fiscal budget as well. An instance is given herein:
In India, agricultural trade policy is a part of a larger food and agriculture policy regime that seeks to maintain food self-sufficiency while providing support to the agricultural sector. The Government of India uses a variety of policy instruments in attempting to achieve these goals, input subsidies being one such major tool. Over the years, the amount of such subsidies has increased to unsustainable levels especially in the fertiliser sector. This has had several detrimental effects where the beneficial effects of such subsidies have been outweighed by macro-economic imbalances.
The huge subsidies granted to the fertiliser industry carry the objective of promotion of domestic agricultural production and achieving selfsufficiency in food production. This is having an adverse impact on the fiscal deficit. While domestic policy support should continue, the Indian fertiliser industry should be made more competitive in order to achieve efficiency gains in the long run so that gradually such subsidies may be phased out.\textsuperscript{20}
**Competition, Economic Growth, Innovation and Efficiency**
It cannot be gainsaid that economic growth manifested by increases in employment and real wages is a function of competition in the market. Competition is likely to result in overall enhanced gross domestic product (GDP) growth as well as social gains in terms of greater consumer welfare and over-all poverty reduction. It is, therefore, important that competition is not hampered or distorted by governmental policies.
There is empirical evidence of the benefits of competition policies \textit{vis-a-vis} economic development, greater efficiency in international trade and consumer welfare listed in a Report.\textsuperscript{21} The evidence, albeit referring to experiences of developed countries, indicates substantial benefits from the strengthening of the application of competition policy principles in terms of ‘greater production, allocative and dynamic efficiency, welfare and growth.’
The Report further concludes that the consumer and producer welfare and economic growth and competitiveness in International Trade have all flowed out of competition policies, deregulation and surveillance over restrictive business and trade practices. Noting that competition rewards good performance, encourages entrepreneurial activity, catalyses entry of new firms, promotes greater efficiency on the part of enterprises, reduces cost of production, improves competitiveness of enterprises and sanctions poor performance by producers, the empirical evidence in the Report suggests that competition ensures product quality, cheaper prices and passing on of cost savings to consumers.
The Report also observes that competition promotes two types of efficiencies namely static efficiency (optimum utilisation of existing resources at least cost) and dynamic efficiency (optimal introduction of new products, more efficient production processes and superior organisational structures over time). The UNCTAD Report provides the following empirical evidence to substantiate its conclusions.
In the Netherlands, it has been calculated that the average annual consumer loss arising from collusive practices or restrictive regulations
in several service sectors amounts to 4,330-5,430 million guilders (around US$ 2.1-2.7bn).\textsuperscript{22} Data relating to the US show that a bid–rigging conspiracy (which was eventually prosecuted) for the sale of frozen seafood had an average mark-up over the competitive price over a one year period of 23 percent.\textsuperscript{23} The break down of price-fixing conspiracies in some industries led to steep declines in manufacturing costs.\textsuperscript{24}
In a study, Bayoumi et al,\textsuperscript{25} have estimated that differences in levels of competition account for more than 50 percent of the current gap in GDP per capita between the Euro area and the US. They conclude that more intense product market competition would enhance growth and employment. Aghion et al\textsuperscript{26} and Dutz and Hayri\textsuperscript{27} echo these views through their empirical work.\textsuperscript{28}
A study\textsuperscript{29} by the Australian Productivity Commission, undertaken to assess the benefits of promoting competition in Australia, estimated the expected benefits from a package of competition promoting and deregulatory reforms (including improvements in the competition rules) to lead to an annual gain in real GDP of about 5.5 percent, or A$23bn, where consumers would gain by almost A$9bn besides seeing increases in real wages, employment and government revenue.\textsuperscript{30}
Innovation increases dynamic efficiency through technological improvements of production processes and/or the creation of new products. Competition, an important driver of productivity spurs innovation, sub-serving the interests of consumers.
Effective competition is the instrument for attaining economic growth through enhanced innovation, efficiency and productivity as well as ensuring social gains by overall poverty reduction and greater consumer welfare. It is therefore of paramount importance that the government consciously formulates policies that are compatible with competition principles. Equally imperative is the need for such policies to promote competition in the market. It has been highlighted \textit{supra} in this paper that competition is often distorted by factors such as anti-competitive practices of enterprises as well as policies and regulations adopted and implemented by the government that have anticompetitive outcomes.
There does not appear to exist any mechanism or a comprehensive policy in the existing competition regime of India which ensures that policies are formulated in a manner that their anti-competitive outcomes are minimised as a result of which, they are least competition restrictive. The extant competition law, Competition Act, 2002 empowers the Competition Commission of India (CCI) to deal with anticompetitive practices such as cartels, price-fixing etc. which cause appreciable adverse effect or have the potential to cause appreciable adverse effect on
competition in the relevant market. But there is no comprehensive policy in force to prevent and avoid distortions induced by Government policies, statutes and regulations. It is understood that a draft NCP has been drafted that is awaiting the approval of the government.
NCP may likely help harmonise government policies and regulations at all levels, foster competitive neutrality and launch competition assessment mechanism for government policies and regulations as well as ensure that deviations from competition principles to serve social and environmental objectives are notified and publicly justified. Finally, such effort needs to be backed by a strong culture of competition and political will in order to be successful in its endeavour.
**Role of Governance**
It is in this context that government has the responsibility to inhere good, efficient and effective governance. Most, if not all activities ultimately have at their consummating point, the consumer. Consumer welfare and interest aim at the charter of economic liberty designed for preserving free and unaffected competition as the rule of governance. The premises on which the charter rests are unrestrained interaction of competitive forces, maximum material progress through rational allocation of economic resources, availability of goods and services of acceptable and good quality at reasonable prices and finally a just and fair deal to the consumers. State governance has to factor these, if it has to live up to its responsibilities by the country and its subjects.
*Good governance essentially involves a reform process, which includes fostering of competition in the market.*
Good State governance is likely to serve the interests of consumers and the society, if competition principles inform its myriad policies. *Market* paradigm, if properly implemented has to focus on competition principles, which should inform legislative and executive policies. For buttressing domestic competition, every country needs to have a sound competition policy and an appropriate competition law to enforce the policy. Competition reforms are the need of the hour.
Competition reforms would help in travelling towards the broad objectives outlined above by focussing on the following:
1. All policies of the government need to be cleared on the touchstone of *Competition*
2. Using the provision relating to advocacy in Competition Act, 2002 (section 49), the existing policies of the government may be examined
and tested on the touchstone of competition and amended as may be appropriate
3. Governmental policies and regulations need to be harmonised in terms of competition principles
4. Competitive neutrality between public and private market players should be ensured
5. Any deviation from competition principles should be notified with justifications, as for instance, on social and environmental objectives
6. The NCP should be finalised expeditiously and brought into force
7. Political will as necessary to implement competition reforms needs to be nursed
8. Effective steps towards creating *competition culture* in the country need to be undertaken
Endnotes
1 ‘Financing for Development Building on Monterrey’, United Nations, 2002.
2 ‘A Framework for the Design and Implementation of Competition Law and Policy’, Chapter 6, World Bank, 1998.
3 Rainer Geiger, ‘The Development of the World Economy and Competition Law’, in ‘The Development of Competition Law – Global Perspectives, ASCOLA, Edward Elgar Publishing Limited, 2010, p.238.
4 Khemani R S and Mark A Dutz, ‘The Instruments of Competition Policy and their Relevance for Economic Policy’, PSD Occasional Paper no. 26, World Bank, Washington DC, 1996.
5 Singh, A, ‘Competition and Competition Policy in Emerging Markets: International and Development Dimensions’, G-24 Discussion Paper Series no. 18, Geneva, United Nations, 18 September, 2002.
6 CIRC – IICA Sector Studies Project, CUTS, Jaipur, 2011. see http://www.circ.in/CIRC-IICA Sector Studies Project.htm.
7 ‘Policy Distortions Hurt Competition and Growth in India’, CUTS research report, Jaipur, 2013
8 ‘Report of the Expert Group on Interaction between Trade and Competition Policy’, Ministry of Commerce, Govt of India, New Delhi, 1999.
9 Aiyar Swaminathan, Paper presented to the Expert Group. Indian Institute of Foreign Trade, New Delhi, 1998.
10 Report of the Expert Group, para 3.1.4, page 34.
11 Jenny, Frederic, ‘The Interface between Competition Policy and Trade, Investment and Economic Development’, Paper presented at the Conference on ‘Competition Policy in a Global economy’, New Delhi, 17-19 March, 1997.
12 ‘Policy Distortions Hurt Competition and Growth in India’, CUTS Research Report, Jaipur, 2013
13 Ibid
14 See http://www.business-standard.com/commodities/storypage.php?autono=400039.
15 This passage is an extract from the CUTS research report referred to at footnote 12.
16 See http://findarticles.com/p/news-articles/dna-daily-news-analysismumbai/mi_8111/is_/20100925/dept-adds-riders-restricts-firms/ai_n5541212840/
17 Supra Note 12
18 Supra Note 15
19 Nicholas Grossman and Dylan Carlson, “Agricultural Policy in India: The Role of Input Subsidies?”, USITC Executive Briefings on Trade, March 2011.
20 Pradeep S Mehta, “Hit Fertilizer Cartels with Alliances”, Economic Times, March 28, 2011.
21 UNCTAD, “Empirical Evidence of the Benefits from applying Competition Law and Policy Principles to Economic Development in order to attain Greater Efficiency in International Trade and Development”, Report, 18 Sept 1997.
22 Hendrik P Van Dalen, “Efficiency and Collusion in Dutch Real Estate Brokerage”, Ministerie Van Economische Zaken, The Hague, June, 1995.
23 Luke M Froeb et al, “What is the effect of bid-rigging on Prices?”, United States Justice Department, EAG Discussion Paper 93-2, 28 Jan 1993.
24 Scherer F.M and David Ross, “Industrial Market Structure and Economic Performance”, 3rd ed. Houghton Mifflin Company, Boston, 1990.
25 Bayoumi, T., Laxton D. and Pesenti P, “Benefits and Spillovers of Greater Competition in Europe: A Macroeconomic Assessment”, Working Papers, 2004.
26 Aghion, P., Harris, C., Howitt, P and Vickers, J, “Competition, Imitation and Growth with Step by Step Innovation,” Review of Economic Studies, 68, 2001.
27 Dutz, M, and Hayri A, “Does more Intense Competition lead to Higher Growth?”, CEPR Discussion Paper, no. 2249, 1999.
28 Supra Note 15
29 See http://unctad.org/en/docs/c2em_d10.en.pdf
30 Supra Note 15
Competition Advocacy as an Anti-Rent-Seeking Policy
An Empirical Analysis
TIM BÜTHE
Associate Professor, Political Science and Public Policy
& Senior Fellow for Rethinking Regulation
Kenan Institute for Ethics, Duke University, USA
RACHEL GLANZ
Student, Department of Political Science, Duke University, USA
Abstract
The rapid adoption of competition regimes across the developing world in the last 25 years suggests a growing consensus that economic development and prosperity is predicated on competitive interactions among producers. Much of the early work on how to achieve the full benefits of a competition regime in developing countries focussed on the specificity and breadth of prohibitions of anticompetitive behaviour encompassed in a country’s competition laws, the strength of the enforcement of such prohibitions, and whether or not competition laws in developing countries should include merger regulation. By contrast, both academic research and practitioners’ initiatives by the International Competition Network (ICN), the World Bank (WB), the Organisation for Economic Cooperation and Development (OECD), and others have increasingly emphasised on the importance of a broader competition policy, and in particular the centrality of competition advocacy.
Competition advocacy has been defined by the ICN as the “promotion of a competitive environment for economic activities by means of nonenforcement mechanisms, mainly through [a competition agency’s] relationship with other governmental entities and by increasing public awareness [of] the benefits of competition.\textsuperscript{2} For developing countries with relatively ‘young’ competition agencies, a growing literature recommends a focus on competition advocacy as a way to achieve significant gains at relatively modest expense and as a chance to both gather expertise and build political support.
A key objective of such an advocacy role for competition agencies is to establish \textit{within the government} a vocal promoter of competition principles, as a counterweight against rent-seeking by private actors through anticompetitive laws or regulations (or against ministries/agencies with particularistic agendas). As the ICN put it: “By having a competition advocacy role, the agency can counter or at least minimise the adverse effects of rent-seeking behavior prevalent in [many] countries.”\textsuperscript{3}
But can competition advocacy by public competition agencies yield the promised benefits? Does it? There is a striking dearth of empirical work examining whether — and, if so, under what conditions — competition advocacy by competition agencies indeed serves the public interest. In this paper, we provide what we believe is the first systematic empirical analysis using data from outside the US to examine competition advocacy as an anti-rent-seeking policy.
We are able to do so because the World Bank (WB), from 2002-2005, included in its enterprise surveys in some countries questions that asked about political lobbying by the respondents’ own company or in their industry. The responses to these survey questions, which focused specifically on lobbying legislators and government officials for laws and regulations that would yield material benefits for the company, provide an exceptionally direct measure of the level of rent-seeking activity, allowing us to analyse the effectiveness of competition advocacy as an anti-rent-seeking policy in Ukraine.
The selection of Ukraine for a case study of competition advocacy as an anti-rent-seeking policy may seem surprising, given the political upheaval in Ukraine since the 2013–14 revolution and the problems with which the Ukrainian competition agency has struggled in the aftermath, including being implicated in corruption scandals disclosed after the 2014 regime change.\textsuperscript{4}
For analytical purposes, however, an examination of competition advocacy in Ukraine 2002-2005, is not just unencumbered by the later problems of the Ukrainian competition regime, it holds exceptional analytical promise: Ukraine is one of the few countries in which the rent-seeking questions were asked on two WB Enterprise Surveys (in 2002
and 2005), and it is the only one that experienced – between the first and the second WB survey – a significant competition law revision that strengthened the advocacy powers of the Ukrainian competition agency.
We show that the increased advocacy role for the Ukrainian Antimonopoly Committee (AMC) indeed resulted in a substantial, statistically highly significant decline in the level of rent-seeking, which does not appear to be explicable by specific events or broader developments in Ukraine’s sometime turbulent political economy. The findings suggest that forceful competition advocacy holds great promise for reducing rent-seeking and thus fostering sustainable development.
**Competition Advocacy: Foundations for a Theory**
In a significant shift, competition advocacy has recently become popular among scholars and competition policy practitioners alike. In the 1990s, when competition policy experts from Latin America started to call for greater emphasis on competition advocacy in the work of developing country agencies, many competition law experts in OECD countries were still skeptical. These experts considered advocacy at best a questionable distraction from the law enforcement task and an undesirable diversion of scarce agency resources — and at worst a dangerous politicisation of the work of competition agencies.\(^5\)
Today, competition policy scholars widely consider advocacy the most important ‘non-litigation strategy’ for competition agencies, helping competition agencies ‘spur business rivalry.’\(^6\) Its importance has been highlighted by practitioners from around the world;\(^7\) it is recognised as a designated, distinct form of competition policy implementation within many competition agencies;\(^8\) and in 2013, the World Bank established an annual Competition Policy Advocacy Contest to recognise exceptional advocacy work by competition agencies.\(^9\)
Advocacy is now recognised as an important and distinct part of competition policy because it promises to foster market competition in ways traditional competition law enforcement cannot. For instance, by educating policymakers, consumers, and business (wo)men about the benefits of the market process, advocacy seeks to foster the somewhat amorphous but important “culture of competition.”\(^10\)
Competition advocacy, moreover, “unmask[s] the social costs” of laws and regulations that intentionally or inadvertently restrict market entry (domestically or transnationally), restrict price competition, create monopolies or dominant positions in a market or create bottlenecks in
value chains – and presses public officials to justify restrictions that have such anticompetitive effects. In doing so, advocacy targets what may be the most important impediments to market competition: in developing countries governmental distortions of the market in the form of exclusive privileges and selective interventions, through which a privileged few gain at everyone else’s expense.\textsuperscript{11}
Accordingly, the ICN and others consider advocacy one of the most important objectives of competition advocacy to inhibit, or at least reduce, “rent-seeking.” As defined by Krueger in her seminal article, rent-seeking constitutes exploiting – or seeking the creation of – government restrictions in order to transfer wealth to the rent-seeking agent.\textsuperscript{12}
As highlighted subsequently by Bhagwati, lobbying or otherwise inducing legislators or regulators to implement rules that make it harder for existing competitors to sell their goods or for new competitors to enter the market may be perfectly legal political behavior, but such rent-seeking or “directly unproductive profit-seeking” is distortionary and wasteful, since it uses time and resources to transfer rather than create wealth, i.e. without producing any additional goods or services.\textsuperscript{13}
**The Relationship between Competition Law, Advocacy, and Rent-Seeking**
Ironically, effective competition law enforcement may increase the need for policies that inhibit rent-seeking. As Tullock suggested in “The Welfare Costs of Tariffs, Monopolies and Theft,”\textsuperscript{14} individual economic actors and firms may be thought of as allocating resources and efforts between productive activities and alternative ways of achieving gains, such as lobbying for protective tariffs or competition-inhibiting regulations. Applying a standard political economy framework, Tullock argued that the choice should be a function of the perceived relative payoff of the available strategies. If the expected utility of lobbying for government intervention (i.e., the rents that are obtainable from government intervention, multiplied by the probability of obtaining the intervention through lobbying) is large, relative to the expected utility of productive activity, we should expect rent-seeking. Tullock, therefore, posits that “domestic producers [will] invest resources in lobbying for the [rent-producing measure] until the marginal return on the last dollar so spent [is] equal to its likely return producing the transfer.”\textsuperscript{15}
Rodriguez and Menon apply this logic to the realm of antitrust law and policy in their chapters on “The Political Economy of Antitrust Enforcement” and “The Limits of Competition Advocacy.”\textsuperscript{16} Building on earlier work by Rodriguez with Coate and Williams,\textsuperscript{17} they develop a model of the trade-off between rent-seeking and organising private cartels,
which yields the expectation that effective competition law enforcement encourages firms to resort to rent-seeking to make up for the loss of profits otherwise (or previously) obtained through anticompetitive actions:
The establishment of an antitrust regime may cause an increase in other forms of government protection. ... If the activities of an antitrust agency only make it more difficult to cartelise privately, the special interest group [that consequently] is ‘worse off’ than before [will] at the margin, ... seek more rents through government protection. [...] Ultimately,] interest groups will choose that combination of private collusion and [lobbying for] government protection which maximises expected benefits.\(^{18}\)
Note, however, that the baseline against which Tullock’s model works — investing resources and efforts into productive activity — has dropped out of Rodriguez and Menon’s model. If we restore that option, we get a choice set (for each producer) that consists of (i) investing in productive activity, (ii) investing in lobbying for rent-producing government intervention (we will call this “government protection” from market competition), and (iii) investing in anticompetitive behaviour, such as price-fixing, market-sharing, or bid-rigging (which we will call “private protection”). If we now apply standard political-economic reasoning to this choice set, we see that lowering the probability of achieving a given level of government protection-induced rents through lobbying — while also lowering the probability of achieving gains through private protection due to competition law and enforcement (as assumed by Rodriguez and Menon) — should reduce the amount of resources invested in seeking government protection as well as the amount invested in private protection \textit{and instead increase investments in productive activity}.
The implication of this line of reasoning is that, for competition policy to yield the desired economic benefits, competition law enforcement needs to be combined with policies that reduce the incentives to invest in lobbying for government protection, i.e. to engage in rent-seeking. So how might competition advocacy lower the rents that can be achieved through (lobbying for) competition-reducing government intervention in markets — or lower the likelihood of achieving those rents?
Competition advocacy is, above all, concerned with monitoring the impact of state action on competition and minimising any unnecessary negative impact.\(^{19}\) To do so, competition authorities may review existing and proposed laws and regulations, advise regulatory bodies or executive agencies on how to achieve the most pro-competitive implementation of law and policies, and generally raise awareness of the benefits of market
competition among policymakers, business executives, and the general public (and awareness of the conditions that are conducive to achieving those benefits). In doing so, competition agencies seek to convince the legislature and the executive ‘to abstain from adopting unnecessarily anticompetitive measures, and to help regulatory agencies clearly delineate the boundaries of economic regulation.’\textsuperscript{20}
They may do so directly — e.g., by alerting legislators and government officials to the (possibly unintended or unrecognised) anticompetitive and hence rents-producing effects of existing or proposed policies, laws, or regulations — as well as indirectly, by making the economic costs of anticompetitive measures publicly known. Competition advocacy thus should not only reduce the willingness of public interest-oriented legislators and government officials to be responsive to the demand for government protection from rent-seeking interest groups, but, \textit{ceteris paribus}, it should also increase the political costs of affirmatively responding to rent-seeking demands, which should reduce the responsiveness even of entirely self-interested public officials and thus reduce the likelihood that lobbying would be successful. In principle, then, competition advocacy is a promising and indeed necessary complement to competition law enforcement.
There is, however, one problem with relying upon competition agencies to provide a counterweight to interest groups that might lobby legislators or government (executive branch) officials for protection: Competition agencies are, as Rodriguez and Menon point out, themselves part of the government. And the members of the legislature, as well as the elected officials in the executive branch who would be the prime targets for rent-seeking lobbying arguably also to have at least some leverage over the competition agency.\textsuperscript{21}
Sometimes this susceptibility to influence attempts by political leaders is a matter of bureaucratic hierarchies, such as when an agency is subordinate to a government ministry, or when the agency leadership serves at the discretion of the head of government. In other cases, susceptibility exists as a matter of democratic accountability, such as when agency representatives are required to appear (and answer questions) before committees of the legislature. And almost always, government leaders have some influence via the budgeting process and at least initially via the personnel appointment process. Advocacy powers therefore may need to be explicitly defined and mandated in the law in order for competition advocacy to have a chance of providing an effective counterweight to rent-seeking lobbying for anti-competitive legislation or regulations.
From Theory to Hypotheses
This brief discussion of our theoretical approach allows us to specify two hypotheses with observable implications. First, by providing information to political leaders about the benefits of maintaining competitive markets and the harm of adopting anti-competitive laws and regulations, competition advocacy reduces the political attractiveness of the anti-competitive (rent-seeking) measures demanded by special interests. A veto-right for the competition agency may even outright prevent the adoption of such measures. This leads to:
\[ H_1: \text{ The more a competition authority engages in competition advocacy—and the stronger its advocacy role—the less effective will be any attempts of lobbying government officials or legislators for exclusive benefits (rents).} \]
In keeping with the assumption of the theoretical model developed above, according to which firms engage in rent-seeking only for instrumental reasons, i.e. only when investing resources in rent-seeking promises greater gains than investing those resources into productive activity (or possibly other forms of anti-competitive behaviour), we expect the reduction in the effectiveness of rent-seeking to also reduce the incentives to engaging in rent-seeking in the first place:
\[ H_2: \text{ The more a competition authority engages in competition advocacy—and the stronger its advocacy role—the less firms should engage in rent-seeking.}^{22} \]
Empirical Analysis
Assessing the relationship between competition advocacy and rent-seeking empirically requires us to overcome several challenges. First, there is no readily available, well-established measure of rent-seeking lobbying by firms—our outcome of interest. Second, neither scholars nor the international networks of antitrust agencies have created a measure of competition advocacy powers and practices for a broad range of countries.\(^{23}\)
We overcome these challenges (with some caveats) and present what is, to the best of our knowledge, the first systematic empirical analysis of competition advocacy as an anti-rent-seeking policy in a developing or transition economy. For a measure of rent seeking, we take advantage of
the World Bank’s “Productivity and Investment Climate Private Enterprise Survey,” which between 2002 and 2005 (only) in some countries contained up to three questions that pertained specifically to firms’ lobbying activities.\textsuperscript{24} Specifically, two questions (45a and 45b) asked respondents (i.e., business owners and senior managers) about the effectiveness of attempts by firms in the respondent’s industry to “gain advantages in the drafting of laws, decrees, regulations, and other binding government decisions” by lobbying members of the legislature or the executive, respectively. The two questions and the response options offered for each of them were:
In many countries, firms are said to give unofficial, private payments or other benefits to public officials to gain advantages in the drafting of laws, decrees, regulations, and other binding government decisions. To what extent have the following practices had a direct impact on your business?
(a) Private payments or other benefits to Parliamentarians to affect their votes.
(b) Private payments or other benefits to Government officials to affect the content of government decrees.
\textbf{RESPONSE OPTIONS FOR EACH QUESTION:}
NO IMPACT [0];
MINOR IMPACT [1];
MODERATE IMPACT [2];
MAJOR IMPACT [3];
DECISIVE IMPACT [4];
NOT APPLICABLE;
DON’T KNOW
In addition, one question (44a) asked directly about the respondent firm’s lobbying activities to “influence the content of laws or regulations.” The exact question wording was (emphasis in the original):
Think about national laws and regulations enacted in the last two years that have a substantial impact on your business: Did your firm seek to lobby government or otherwise influence the content of laws or regulations affecting it?
\textbf{RESPONSE OPTIONS: YES OR NO}
None of these three questions by itself fully captures rent-seeking behaviour, but they provide – subject to the usual caveats regarding elite
surveys – quite good measures of several aspects of rent-seeking, which should be both valid and reliable across countries and over time.\textsuperscript{25} In Ukraine, the three questions were asked, as part of a battery of questions about business-government relations, in both 2002 and 2005, allowing for a (quite short) over-time analysis.\textsuperscript{26}
**The 2003 Reform of the Ukrainian Competition Regime and Its Effect on Rent-Seeking**
Ukraine gained independence from the Soviet Union in August 1991. Ukraine enacted its first competition law in 1992, as part of sweeping political and economic reforms that entailed the transition of the previously state-dominated economy to a capitalist market economy, including privatisation of many previously state-owned enterprises. AMC Law, followed in 1993, establishing Ukraine’s Anti-Monopoly Commission (AMC).\textsuperscript{27} While the virtual absence of a state apparatus at the moment of independence\textsuperscript{28} in some respects left the country with what the 2013 UNCTAD peer review described as “some of the highest barriers to the formation of an effective competition policy system”\textsuperscript{29} it also made it possible to establish a new bureaucracy unencumbered by prior commitments – to the point that the AMC by the early 2000s became one of the most respected, professional parts of the Ukrainian public administration.\textsuperscript{30} An independent regulatory body (whose chairman, however, was until recently appointed and dismissed by the President of Ukraine at his/her discretion), the AMC was given both prosecutorial and adjudicatory authority, including the power to conduct investigations, prosecute offenses of the competition law, and issue decisions.
The privatisation process was successful insofar as, by 2005, the private sector accounted for 85 per cent of industrial output and 74 per cent of employment.\textsuperscript{31} The liberalisation efforts were substantially undermined, however, by a lack of transparency in public administration, so much so that Boner and Kovacic’s 1997 analysis reports a widespread perception that government leaders, contrary to their “strong outward commitment to pursue radical, market-oriented reforms,” were in fact manipulating or extensively intervening in markets to generate private benefits (that is, rents) for various special interests through actions such as regulatory discrimination.\textsuperscript{32}
Writing in 2000, Sundakov confirms this assessment, noting that the obscurity and vagueness of Ukrainian business laws and regulations leads to excessive administrative discretion and ‘creates an incentive for entrepreneurs to divert resources [away from productive activities] to attempts to bypass legal requirements.’\textsuperscript{33} These problems were
compounded by high concentrations of economic power in many industries, as well as pervasive corruption at the individual level, which was getting increasingly institutionalised: “Each [oligarchic business] group has representatives in the Parliament and in the political parties to support its interests, and often also control mass media sources.”\textsuperscript{34} In short, Ukraine in the early 2000s was a country much in need of effective competition advocacy. But could the AMC supply such advocacy?
From the time of its establishment, the AMC has from the time of its establishment had authority to engage in advocacy activities at all levels of government. Under Article 7 of the 1993 Law, the Commission had the power to make recommendations to Parliament and any executive agency for the amendment of laws and regulations that impede competition, the implementation of measures to limit monopoly, and the termination of measures that may have an adverse effect on competition. Moreover, Boner and Kovacic point out that the AMC’s structure has always been particularly conducive to competition advocacy in that the Chairman of the Commission is a member of the Cabinet of Ministers.
“In this forum,” Boner and Kovacic write in 1997, “the AMC has been extraordinarily active, if not always successful, in attempting to influence new legislation and structural reform in Ukraine … [and] has taken a number of steps to counteract the tendencies of state bodies to impede competition and private sector development.”\textsuperscript{35} Under the original 1993 law, however, the targets of such recommendations were only obliged to consider the proposal; they were free to reject it, as long as a rationale for the rejection was provided.
By the early 2000s, the AMC often therefore and increasingly found itself out-maneuvered by rent-seekers and corrupt officials. This resulted in an amendment to the AMC Law in 2003, which significantly increased the AMC’s authority in the realm of competition advocacy.\textsuperscript{36} The new provision, Article 20.4, was designed to bolster the AMC’s capacity to ensure that state agencies act in accordance with Article 15 of the Law of Ukraine on the Protection of Economic Competition, which prohibits any action that confers an unfair advantage to one business entity over another.\textsuperscript{37}
Under Article 20.4, “the bodies of state power, bodies of local self-government, bodies of administrative and economic government and control” are required to obtain AMC approval for any “draft regulatory legal acts and other decisions that could lead to the limitation or distortion of competition, in particular.” This requirement is broad in scope, applying to any government action “that may result in prevention, elimination, restriction, or distortion of the competition in relevant markets.”\textsuperscript{38}
Crucially, Article 20.4 renders the AMC’s opinions on decisions that may impact competition binding, forbidding recipient agencies from implementing regulations or decisions in the absence of AMC approval.
The 2003 reform thus significantly strengthened the formal-legal authority of the AMC in the realm of competition advocacy. And the AMC appears to have made use of its increased authority promptly, rejecting about seven per cent and imposing conditions on another 14 per cent of the draft regulations, laws, and resolutions reviewed between 2003 and 2005.\(^{39}\)
For example, when the local government in Ternopil in 2003 set fees for outdoor advertising, which were twice as high for advertisers from outside Ternopil than for locals, the AMC stepped in, forcing the local government to abandon the discriminatory fee structure. Similarly, when two government ministries developed a new health regulation requiring the disinfection of rail cars after the transport of foodstuffs, which included a short list of specific firms that allowed to provide these disinfection services (despite the availability of a substantially larger number of companies offering such services), the AMC intervened to replace the list with a provision that allowed anyone to provide the required disinfection services, as long as they meet the relevant, general technical standard.\(^{40}\)
Given that the reform strengthening the AMC’s advocacy powers was launched after the first World Bank enterprise survey in Ukraine was conducted in 2002 and fully implemented by the time the second survey was conducted in 2005, data from the two surveys allows us to analyse the effect of a significant strengthening of competition advocacy within the same country over a relatively short period of time.\(^{41}\)
**Statistical Analysis**
Given the operationalised dependent variables and the changes in the Ukrainian competition law between 2002 and 2005, we seek to assess the following operationalised hypotheses by comparing the responses to questions 45a, 45b, and 44a from the World Bank survey from the 2005 survey in Ukraine to the responses from the 2002 survey in Ukraine:
\[
H_1: \text{ Given that the 2003 reforms granted the AMC something akin to veto power over laws and regulations that might have an anti-competitive effect – thus explicitly defining and mandating stronger advocacy powers for the AMC – we expect a reduction in the perceived effectiveness of lobbying both legislators and government (executive branch) officials from 2002-2005.}
\]
$H_2$: Given that the 2003 reforms strengthened the AMC’s advocacy role, we expect to find a smaller share of firms in 2005 having recently attempted to influence the content of laws or decrees to their benefit than in 2002.
Table 3.1 reports the results of difference of means tests for questions 45a and 45b, as well as two-sample test of proportions for question 44. We find that the perceived effectiveness of rent-seeking lobbying declined between 2002 and 2005 — to a statistically clearly significant extent despite an already low baseline — both with regard to lobbying legislators and with regard to lobbying officials in the executive branch. Turning to the other survey question (44), we find that the share of Ukrainian enterprises whose representatives report having lobbied public officials to influence the content of laws or regulations affecting them, dropped from 26.8 per cent in 2002 to 16.3 per cent in 2005 — a substantively large and highly statistically significant decline in the level of rent-seeking.\(^{42}\)
| Table 3.1: Differences in (Perceived Effectiveness of) Rent-Seeking, Ukraine (2005 vs. 2002) |
|-----------------------------------------------|-----------------|-----------------|-----------------|
| | Perceived Effectiveness (0–4) of Lobbying… | Rent-Seeking: % Having Attempted |
| | Legislators | Gov. Officials | |
| mean\(_{\text{Ukraine 2005}}\) | 0.173 (537 obs) | 0.202 ($39 obs) | 16.3% (594 obs) |
| mean\(_{\text{Ukraine 2002}}\) | 0.294 (401 obs) | 0.332 (401 obs) | 26.8% (462 obs) |
| difference [95% confidence interval] | -0.121 ** [-0.0242 -0.218] | -0.129 ** [-0.0300 -0.229] | -10.5% *** [-5.49% -15.5%] |
| z- or t-statistic | 2.45 | 2.55 | 4.16 |
Note: The two “Perceived Effectiveness” columns show the average impact rating in 2005 versus 2002 for engaging in each of the noted forms of rent-seeking lobbying on a scale from 0 to 4, where 0 indicates “no impact” and 4 indicates “decisive impact.” The “Attempted Rent-Seeking” column shows for each of the two surveys the percentage of respondents who answered the question affirmatively (“Yes”). The reported statistical significance is based on conducting the tests reported in the text: *** $p < 0.01$; ** $p < 0.05$; * $p < 0.1$, two-tailed tests.
Overall, the statistical analysis of the responses from the World Bank enterprise surveys in Ukraine suggest, with great consistency across the three different questions, that rent-seeking by Ukrainian firms became significantly less prevalent after the reform that strengthened the Ukrainian AMC. These findings yield strong support for both $H_1$ and $H_2$ — supporting the ICN’s assessment that ‘the possibility [of competition advocacy-conducting agencies] to influence the outcome of a policy or regulatory process is enormous whenever decision-making organs are obliged by law to heed the advice of the competition authority.’\textsuperscript{43}
**Developments in the Ukrainian Political Economy as an Alternative Explanation?**
Can we really attribute the reduction in reported and perceived rent-seeking between 2002 and 2005 to the strengthening of the AMC’s competition advocacy powers rather than broader developments in Ukrainian political economy? Ukraine experienced momentous political change between 2002 and 2005, but we submit that careful consideration of the most pertinent events and their precise chronology suggest that neither a specific event nor broader developments during those years provide a compelling alternative explanation.\textsuperscript{44}
The 2002 enterprise survey was conducted between June 19 and July 31, 2002;\textsuperscript{45} the 2005 survey between March 10 and April 20, 2005.\textsuperscript{46} At the time of the 2002 survey, respondents would thus have known the outcome of the March 2002 Parliamentary election (though they were, strictly speaking, supposed to answer all questions based on fiscal/business year 2001, only); similarly at the time of the 2005 survey, they would have known political events through mid-April 2005 (but not later developments, and they were supposed to answer the questions based on developments through the end of fiscal year 2004, only). This suggests the following political context as potentially important:
The 2002 survey took place during the entrenched regime of President Leonid Kuchma (in office since 1994) and his prime minister, Viktor Yanukovych, built on Soviet-era political-bureaucratic and economic-administrative elite that was seen as largely captured by oligarchic clans and highly corrupt.\textsuperscript{47}
After a political scandal that implicated Kuchma directly and personally in the abduction and murder of a popular journalist best known for publicising corruption in the government ended Kuchma’s ambition to run for a third term, the Presidential election of 2004 came down to a run-off vote on 21 November 2004 between Yanukovych and Viktor
Yushchenko. When, after reports of widespread voter intimidation, electoral fraud, and other irregularities during the run-off, the Election Commission declared Yanukovych the winner by three per cent, even though independent election monitors’ exit polls had shown Yushchenko ahead by 11 per cent,\textsuperscript{48} large and soon daily protests broke out in Kyiv and other towns across Ukraine. These protests became known as the “Orange Revolution,” eventually prompting the Ukrainian Supreme Court to annul the November run-off and schedule a new vote for December 26, 2004, which Yushchenko won 52 per cent to 44 per cent. Yushchenko was inaugurated on January 23, 2005.
None of the events prior to Viktor Yushchenko’s election or inauguration suggest any reasons to expect the substantial reduction in rent-seeking behaviour and effectiveness observed in the World Bank survey. The macroeconomic situation also changed very little between 2002 and 2005,\textsuperscript{49} providing no reason to expect a reduction in rent seeking due to an increase in alternative profitable opportunities (see theoretical discussion above). The availability of an alternative explanation therefore hinges on the possibility that Ukrainian business survey respondents substantially revised their (reported) behavior and assessment of the efficacy of rent-seeking lobbying in response to Yushchenko’s coming to power in the 3 months between President Yushchenko’s inauguration on 23 January 2005 and the close of the WB survey on 20 April 2005. Although we cannot rule this out with certainty, it seems highly implausible, not just because of the mismatch between the shortage of time and size of the effect. As reported on Wikipedia, Yushchenko “was a charismatic candidate who [during the election campaign] showed no signs of being corrupt,”\textsuperscript{50} and many—at least in the West—initially had very high hopes for the new regime.
But there were also, already at the time, accounts of the Orange Revolution that described it as a “revolt of the millionaires against the billionaires”\textsuperscript{51} and merely a “reshuffle among the oligarchs,”\textsuperscript{52} suggesting, if anything, an intensification of rent-seeking as a more numerous group of “new” insiders sought to become beneficiaries of the state’s largesse. Later analyses also support this assessment when they conclude that the Orange Revolution did not in any substantial way change “the rent-seeking and rent-giving symbiotic relationship between President, Parliament, government, and big business”\textsuperscript{53} and that “the new government also [soon] became tainted with corruption.”\textsuperscript{54} Transparency International’s Corruption Perceptions Index for Ukraine also exhibits hardly any improvement between 2002 and 2005.\textsuperscript{55}
In sum, the change in the assessed efficacy of rent-seeking lobbying, as well as in the frequency of such lobbying, summarised in Figure 1, appears to be indeed attributable to the boost in the AMC’s competition advocacy powers.
That said, we want to emphasise that competition agencies – even well-resourced, relatively independent agencies, such as the Ukrainian AMC – cannot single-handedly defeat rent-seeking or deter corruption against powerful political forces, as developments in more recent years sadly illustrate: In December 2010, Viktor Yanukovych, the former prime minister on whose behalf the Kuchma regime had rigged the 2004 election triggered the Orange Revolution, succeeded in being elected President (with oversight powers over the AMC). He swiftly established what the OECD has called a “kleptocratic regime”\(^{56}\) with rampant corruption at all levels of the state bureaucracy. Corruption reportedly also was found at the highest levels of the Anti-Monopoly Commission, eventually leaving the AMC demoralised and with a decimated budget and workforce – developments from which the agency is still trying to recover. Thus, although we see no reason to believe that the political context provides an alternative explanation for the observed change in the survey responses between 2002 and 2005, political context clearly matters.
**Conclusion**
Seeking to influence public policy in accordance with one’s interests is every citizen’s right in a democracy. Those with highly concentrated interests, however, are often able to exercise highly disproportionate influence over the legislative and executive branches of government, resulting in laws or public policies that benefit the concentrated interests at everyone else’s expense. And a pure market solution in the form of pushback from widely dispersed private actors is unlikely. As Rodriguez and Menon put it starkly: “No individual consumer in any nation affected by the proliferation of rent-seekers has an incentive (or wherewithal) to take action and to challenge those benefitting from government largesse.”\(^{57}\) Authorising competition agencies to engage in competition advocacy is intended to re-balance the scales and make rent-seeking through anti-competitive laws, regulations, or decisions less likely.
This paper has presented the first systematic empirical analysis using non-US data to assess competition advocacy as an anti-rent-seeking policy. The findings suggest that competition advocacy indeed reduces the effectiveness of rent-seeking, and even the propensity to engage in rentseeking lobbying. On balance, this research thus suggests that competition advocacy holds much promise to increase both aggregate benefit from, and the number of beneficiaries of, a market economy. Governments seeking sustainable development should make such advocacy a priority, since rent-seeking is an important, common and often severe impediment to sustainable growth and development.
More broadly, our analysis suggests that non-enforcement strategies of implementing laws and regulation, such as competition law and policy in this case – can be highly effective. Yet, power or authority to engage in such non-enforcement actions may nonetheless need to be proscribed or backed up in law for such strategies to reach their full potential.
Endnotes
1 See Bürhe and Minhas 2015 for a review.
2 Sanchez Ugarte et al. 2002: i, 25.
3 Sanchez Ugarte et al. 2002: 108. See also Rodriguez and Coate 1997: 368.
4 The problems with which the Ukrainian AMC has been struggling in recent years have been mostly just hinted at in English-language publications (see, e.g., Anonymous 2014; Denisenko and Lysenko 2015; Kenner 2015) but are well known among antitrust practitioners (not-for-attribution interviews, Washington, June 2015 and Geneva, July 2015).
5 For a brief account of support and opposition at that time, see Rodriguez and Coates 1997: 369f, n3-4.
6 Kovacic 2006: 541.
7 See, e.g., Sanchez Ugarte et al. 2002 and Hong 2014.
8 Dutz and Vagliasindi 2000: esp. 766f.
9 World Bank Group 2014.
10 E.g., Fels and Ng 2013: 183. A culture of competition may be said to exist when there is a broad-based consensus in the private sector and more generally among the public, economic actors and state institutions that competition between economic actors is generally beneficial and normatively desirable as fundamental principle for the operation of the country’s economy. See, e.g., Wilks 2007.
11 Kovacic 2006: 542, n6. See also Fox and Healey 2014; Jenny 2012.
12 Krueger 1974.
13 Bhagwati 1982.
14 Tullock 1967.
15 Tullock 1967: 228. Tullock thus implicitly recognises that there is a point at which investing resources in rent-seeking should cease, as the expected rents must be greater than the required inputs for lobbying to be perceived as profitable.
16 Rodriguez and Menon 2010: 135-142, 159-166
17 Rodriguez and Coate 1997: esp. 372ff; Rodriguez and Williams 1994
18 Rodriguez and Menon 2010: 138, 164
19 See the ICN definition in the introduction to this paper.
20 Sanchez Ugarte et al 2002: 31.
21 Rodriguez and Menon 2010: esp. 165f. See also Faith, Leavens and Tollison 1982; Wood and Anderson 1993.
22 Note that, in a perfect information equilibrium, the hypothesised reduction in attempted rent-seeking (H2) might overwhelm any observable reduction in effectiveness (H1). That is, the more limited rent-seeking that still takes place with a competition advocacy in place might exhibit no reduced rate of success compared to a baseline of having no (or only a weak) competition advocacy regime.
23 We thank senior officials of UNCTAD and long-term participants in the ICN for confirming this observation.
24 See World Bank 2002.
25 The two questions 45a and 45b might appear to blur the distinction between rent-seeking lobbying and corruption, but note that the World Bank survey asked clearly separately about corruption in questions 39 (about “gifts or payments” required to “get things done”) and 45d, which asks about *illegal* payments and benefits.
26 For reasons not known to us, the World Bank discontinued these questions after 2005.
27 The 1992 law is on file with the authors. The 1993 “Law on the Antimonopoly Committee of Ukraine” (with amendments) and the 2002 “Law on the Protection of Economic Competition” (with amendments) are contained, inter alia, in the *Compendium of Legislation of Ukraine on Protection of Economic Competition*, edited by the Anticompetitive Committee of Ukraine. Kyiv, 2012 (online at http://www.amc.gov.ua/amku/doccatalog/documents?sessionid=C1C7AB1FABB574BD5805320F15BCEACC&id=94745&schema=main), 26-76 and 77-134, respectively.
28 Wilson 2005: 37.
29 UNCTAD 2013: 7.
30 OECD 2008: 76
31 OECD 2008: 9.
32 Boner and Kovacic 1997: 6, 25.
33 Sundakov 2000.
34 Makovskaya, Pridemore, and Nakajima 2003: 206. See also Matuszak 2012.
35 Boner and Kovacic 1997: 30; OECD 2008.
36 For a history of the revisions of the AMC Law, see WIPO 2016
37 2001 Law on Protection of Economic Competition.
38 Article 1, revised Law of Ukraine on the Antimonopoly Committee of Ukraine.
39 OECD 2008: 71 f
40 OECD 2008: 34
41 We will address possibly confounding developments in Ukrainian politics and economics between 2002 and 2005 below.
42 In interpreting the numbers in Table 1, such as the mean of 0.173 for lobbying legislators in 2005, keep in mind that, given the encoding of the variable, a mean of 0 for perceived effectiveness would indicate universal agreement that such lobbying has no impact, whereas a mean of 1 would indicate that, on average, such lobbying is seen as having “minor impact.”
43 Sanchez Ugarte *et al* 2002: 65.
44 This section draws, in addition to the specific sources noted, on a review of the various issues of the Economist Intelligence Unit’s *Country Reports: Ukraine* and the EIU’s *Country Profile: Ukraine* from 2001 through 2005.
45 See MEMRB 2002: 3.
46 See Synovate 2005: 6.
47 Freyburg *et al* 2015:168f; see also Matuszak 2012.
48 Copsey 2004: 6.
49 OECD 2008: 9 f
50 https://en.wikipedia.org/wiki/Orange_Revolution (last accessed 14 March 2016).
51 Aslund 2004: 9.
52 Matuszak 2012: 5.
53 Dimitrova and Dragneva 2013: 664.
54 D’Anieri 2010.
55 Ukraine’s CPI point estimate and ranges (on a 0-10 scale, where scores between 2 and 3 indicate widespread corruption) were: for 2002: 2.4 (1.7-3.8); 2003: 2.3 (1.6-3.8); 2004: 2.2 (2.0-2.4); 2005: 2.6 (2.4-2.8); see annual Ukraine reports at www.transparency.org/research/cpi (last accessed 14 March 2016). See also the OECD’s Anti-Corruption Network for Transition Economies’ reports at http://www.oecd.org/corruption/acn/istanbulactionplancountryreports.htm
56 OECD 2015:5; others called it far worse, see, e.g., Riabchuk 2012.
57 Rodriguez and Menon 2010: 163.
References
Anonymous. “Parliament dismisses Tsushko as Antimonopoly Committee Chief at Second Attempt.” *Kyiv Post* 26 March 2014 (online at http://www.kyivpost.com/article/content/politics/parliament-dismisses-tsushko-as-antimonopoly-committee-chief-at-second-attempt-340913.html, last accessed 14 March 2016).
Aslund, Anders. 2004. “A Ukrainian Revolt: The Revolt of the Millionaires against the Billionaires.” *Taipei Times* 24 December 2004: 9.
Bhagwati, Jagdish. 1982. “Lobbying, DUP Activities and Welfare: A Response to Tullock.” *Journal of Public Economics*: 395-401.
Boner, Roger Alan, and William E. Kovacic. 1997. “Antitrust Policy in Ukraine.” *George Washington Journal of International Law and Economics* vol.31 no.1: 1-48.
Bütthe, Tim, and Shahryar Minhas. 2015. “The Global Diffusion of Competition Laws: A Spatial Analysis,” Paper presented at the 6th Meeting of the UNCTAD Research Partnership Platform in the context of the 7th United Nations Conference to Review the Set of Multilaterally Agreed Equitable Principles and Rules for the Control of Restrictive Business Practices (Competition Policy), Geneva, 10 July 2015.
Copsey, Nathaniel. 2004. “Europe and the Ukrainian Presidential Election of 2004.” *European Partis Elections and Referendums Network (EPERN) Election Briefing* No.16 University of Sussex.
D’Anieri, Paul, ed. 2010. *Orange Revolution and Aftermath: Mobilization, Apathy, and the State in Ukraine*. Washington, D.C.: Woodrow Wilson Center and Johns Hopkins University Press.
Denisenko, Sergey and Denis Lysenko. 2015. “Ukraine: Merger Control” *The GCR European Antitrust Review 2016*. London: Law Business Research.
Dutz, Mark A., and Maria Vagliasindi. 2000. “Competition Policy Implementation in Transition Economies: An Empirical Assessment.” *European Economic Review* vol.44 no.4-6 (May 2000): 762-772.
Faith, Roger L., Donald R. Leavens, and Robert D. Tollison. 1982. “Antitrust Pork Barrel.” *Journal of Law and Economics* vol.25 no.2 (October 1982): 329-342.
Fels, Allan, and Wendy Ng. 2013. “Rethinking Competition Advocacy in Developing Countries.” In *Competition Law and Development*, edited by D. Daniel Sokol, Thomas K. Cheng and Ioannis Lianos. Stanford, CA: Stanford University Press, 2013: 182-198.
Fox, Eleanor M., and Deborah Healey. 2014. “When the State Harms Competition: The Role for Competition Law.” *Antitrust Law Journal* vol.79 no. 3: 769-820.
Freyburg, Tina, *et al.* 2015. *Democracy Promotion by Functional Cooperation: The European Union and Its Neighborhood*. London: Palgrave Macmillan.
Hong, Dae-Sik. 2014. “Competition Advocacy of the Korean Competition Authority.” In *Competition and the State*, edited by Thomas K. Cheng, Ioannis Lianos and D. Daniel Sokol. Stanford, CA: Stanford University Press, 2014: 151-169.
Jenny, Frédéric. 2012. “Competition Authorities: Independence and Advocacy.” In *The Global Limits of Competition Law*, edited by Ioannis Lianos and D. Daniel Sokol. Stanford, CA: Stanford University Press, 2012: 158-176.
Kenner, Miriam. 2015. “Ukraine Appoints Terentiev as New Chair.” *Global Competition Review* (news/article/38657) 20 May 2015.
Kovacic, William E. 2006. “The Role of Non-Litigation Strategies: Advocacy, Reports and Studies as Instruments of Competition Policy.” In *Handbook of Research in Trans-Atlantic Antitrust*, edited by Philip Marsden. Cheltenham, UK – Northampton, MA: Edward Elgar, 2006: 541-551.
Krueger, Anne O. 1974. “The Political Economy of the Rent-Seeking Society.” *American Economic Review* vol.64 no.3 (June 1974): 291-303.
Matuszak, Slawomir. 2012. “The Oligarchic Democracy: The Influence of Business Groups in Ukrainian Politics.” OSW Working Paper no.42 (September 2012). Warsaw: Osrodek Studiow Wschodnich (OSW)–Centre for Eastern Studies.
Makovskaya, Anna, William A. Pridemore, and Chizu Nakajima. 2003. “Laws without Teeth: An Overview of the Problems Associated with Corruption in Ukraine.” *Crime, Law and Social Change* vol.39 no.2 (March 2003): 193-214.
MEMRB for the European Bank for Reconstruction and Development. 2002. *The Business Environment and Enterprise Performance Survey 2002: A Brief Report on Observations, Experiences and Methodology from the Survey*. Nicosia: Synovate. Online at http://ebrd-beeps.com/wp-content/uploads/2013/09/beeps2002r.pdf (last accessed 14 March 2016).
Organization for Economic Cooperation and Development (OECD). 2008. *Competition Law and Policy in Ukraine: An OECD Peer Review*. Paris: OECD.
Organization for Economic Cooperation and Development (OECD), Anti-Corruption Network for Eastern Europe and Central Asia. 2015. *Anti-Corruption Reforms in Ukraine (Round 3 Monitoring of the Istanbul Anti-Corruption Action Plan)*. Paris: OECD.
Riabchuk, Mykola. 2012. *Gleichschaltung: Authoritarian Consolidation in Ukraine, 2010-2013*. Kyiv: K.I.S.
Rodriguez, Armando E., and Malcolm B. Coate. 1997. “Competition Policy in Transition Economies: The Role of Competition Advocacy.” *Brooklyn Journal of International Law* vol.23 no.2 (1997; Symposium on Creating Competition Policy for Transition Economies): 365-401.
Rodriguez, Armando E., and Ashok Menon. 2010. *The Limits of Competition Policy: The Shortcomings of Antitrust in Developing and Reforming Economies*. Austin, TX: Wolters Kluwer Law & Business.
Rodriguez, Armando E., and Mark D. Williams. 1994. “The Effectiveness of Proposed Antitrust Programs for Developing Countries.” *North Carolina Journal of International Law & Commercial Regulation* vol.19 no.1 (Winter 1994): 209-232.
Sanchez Ugarte, Fernando, *et al*. 2002. “Advocacy and Competition Policy.” Report by the ICN Advocacy Working Group for the ICN Conference in Naples, Italy, 2002.
Sundakov, Alexander. 2000. “Liberalization, the Legal Framework, and Market Indicators in Ukraine.” *Eastern European Economics* vol.38 no.2 (March/April 2000): 6-17.
Synovate. 2005. *The Business Environment and Enterprise Performance Survey (BEEPS) 2005: A Brief Report on Observations, Experiences, and Methodology from the Survey*. Nicosia: Synovate, July 2005.
Tullock, Gordon. 1967. “The Welfare Costs of Tariffs, Monopolies and Theft.” *Economic Inquiry* vol.5 no.3 (1967): 224-232.
UN Conference on Trade and Development (UNCTAD). 2013. *Voluntary Peer Review of Competition Law and Policy: Ukraine*. Geneva: UNCTAD.
Wilks, Stephen. 2007. “Agencies, Networks, Discourses and the Trajectory of European Competition Enforcement.” *European Competition Journal* vol.3 no.2 (December 2007): 437-464.
Wilson, Andrew. 2005. *Ukraine’s Orange Revolution*. New Haven: Yale University Press
Wood, B. Dan, and James E. Anderson. 1993. “The Politics of U.S. Antitrust Regulation.” *American Journal of Political Science* vol.37 no.1 (February 1993): 1-39.
World Bank Group. 2002. “Productivity and the Investment Climate: Private Enterprise Survey—Standardized Data Questionnaire.” Mimeo, Washington 2002. Online at http://www.enterprisesurveys.org (last accessed 8/20/2015).
World Bank Group. 2014. *The Competition Policy Advocacy Awards: Changing Mindsets to Transform Markets*. Washington: The World Bank.
Part II:
Country Experiences
The Impact of Choice and Competition Reforms on Secondary Schools in Nigeria
AFOLAYAN GBENGAGEMMANUEL
School of Education,
Murdoch University, Australia
Abstract
Reforms to improve standards and reduce social segregation in schools have been in place in Nigeria for more than two decades. Some of these reforms reflect an increasingly market-inspired and competitive orientation. The paper intends to set out the impact of the specific reforms designed to increase parental choice and school competition in light of the government’s continuing commitment to basic education.
To establish the context for these reforms, the paper will set out the objectives for, and economic arguments in support of, state-funded compulsory education, and highlights the government failures which prompted the introduction of an education quasi-market. Drawing on economic theory and evidence from Nigeria and internationally, the paper will focus on the central, and at times conflicting, issues of efficiency and equity, in particular in secondary schools.
Overall, the paper will argue that while the introduction of choice and competition reforms may have delivered some improvements to academic standards, this has likely been achieved at the expense of increased social segregation within schools. In particular, the paper will show that where the supply of good schools continues to be limited, schools have both the opportunity and incentive to ‘cream-skim’ the most able and privileged students.
In response to the growing trend of giving free rein to parental choice in the Nigerian education system, the paper will articulate the rationale for continuing government intervention in the education sector and, in conclusion, make recommendations on how best to develop this regulatory reform in ways which better promote social inclusiveness. Data would be drawn from the empirical literature and other relevant government and international publications.
**Secondary Education: Objectives and Provision**
Secondary education provides a broad-based education for 12-17 years olds in Nigeria. The whole course falls into two parts – the first of three years’ duration, marked on its completion by the Junior Secondary School Certificate Examination (JSSCE), the second of three years, with the Senior School Certificate Examination (SSCE). The secondary schools are run by a mixture of state and non-state providers, reaching millions of children – although there are still issues of access to education.\(^1\)
Owing to the deteriorating state of education in the country, and the vision of the Federal Government to increase the access to quality basic education, the ‘Universal Basic Education’ (UBE) reform was launched in 1999. This represents the country’s strategy and viable opportunity for achieving ‘Education for All’ (EFA). In particular, UBE reform provides for every Nigerian child, without exception, basis literacy and numeracy as well as knowledge of the culture of the society and the ability to communicate.\(^2\)
In economic terms, education delivers both private and social returns, and the wider economic and social benefits in particular are at the heart of the objectives for public-funded schooling. In short, investment in the nation’s people, or human capital, is deemed to lead to both increased economic productivity and improved social cohesion. Thus, the overarching objectives of public-funded schooling are to ensure that education is delivered as efficiently as possible to get the maximum economic and social benefit, and to do so in a way which is equitable.\(^3\)
In one form or another, these objectives have been apparent in the Nigerian education system since the introduction of regional provision of education in the 1950s.\(^4\) However, they have evolved over time to reflect changed economic and social circumstances, notably as part of the structural adjustment programmes (SAPs) and more recently in response to globalisation and economic crises. Since the return of democratic government in 1999, more emphasis has been laid on equity and efficiency, with a specific focus on effective delivery of education in light of increased
global competitive pressures.\textsuperscript{5} The next section will critically examine the economic argument in favour of continued public intervention in secondary education.
**Economic Case in Favour of Continued Public Funding For Secondary Education**
The effective and equitable delivery of educational benefits is also central to the economic arguments for education being predominantly funded by the state. In economic theory, government intervention is warranted in part when markets are considered to be inefficient in delivering a service, known as market failures, and in the case of education ‘externalities’ are the most common market failures used to justify state subsidy.\textsuperscript{6}
Externalities, or spillovers, occur when individual or business activities affect others, who neither pay nor receive compensation for these benefits or costs.\textsuperscript{7} In a market system, both consumers and producers are considered to be focussed primarily on their own ends, and this lack of concern for the wider effects of their actions is therefore considered to be a market failure.\textsuperscript{8} In education, individuals may not always consider the wider costs and benefits of their education to society,\textsuperscript{9} with the positive externalities defined by McMahon (2004: 211) as ‘the social or public benefits from the education of each individual that benefit others in the society in both current and future generations’.
On the other hand, there is consensus on the wider economic benefits which go beyond the improved productivity of individuals to encompass the positive impact that better educated employees can have on other workers and their organisations.\textsuperscript{10} The wider non-economic social returns to education, however, are more contested. While Hanushek (2002:162, in Machin and Stevens, 2004) argues that details of social externalities are ‘noticeably elusive’, McMahon (2004) and Oreopoulos and Salvanes (2011) find considerable evidence of non-financial benefits such as improved health effects, reduced poverty and inequality and contribution to democratisation and political stability.
Imperfect information is another market failure used to justify public intervention. According to economic theory, for markets to operate efficiently they must provide consumers with adequate information to pursue their best interests; in the case of education government intervention is motivated in part “by the belief that consumers will not
possess complete information and that the market, by itself, will supply too little information.”\textsuperscript{11}
For instance, if education were privately funded, parents would need enough information about both the costs and benefits of schooling to justify their investment and it is argued that since they may not be fully aware of the longer term benefits for their children, they are likely to give more weight to costs than benefits and underinvest in their children’s education.\textsuperscript{12}
Likewise, institutions lending money to parents for their children’s education would find it difficult to assess which students were more likely to succeed in education, and therefore be able to repay loans, and would tend to favour the children of wealthier parents with assets to secure the loans.\textsuperscript{13} These factors would tend to discourage significant take-up of education outside of the wealthy classes. Consequently, the problem of understanding the benefits of education, and the danger of underinvestment in education, provides justification for education to be made compulsory and subsidised.\textsuperscript{14} In this way, education is thus referred to as a ‘merit good’, which ‘government compels individuals to consume.’\textsuperscript{15} A case for public intervention in education is clear because the consumers might not make informed decisions for their future social welfare.\textsuperscript{16}
Next, the need to promote equity rather than efficiency is another globally acknowledged justification for public intervention in education. As noted above, if parents were to pay for their children’s education, then the children of richer families, or those who valued education more highly, would be favoured and better educated. Children excluded from education would therefore be denied the individual benefits of schooling and the broader economic and social benefits of an educated population would be reduced.
Stiglitz (2000:427) notes that the “widespread belief that children’s access to education should not depend on their parents’ financial ability” provides the strongest argument in favour of public financing. This argument is essentially one of redistributing the educational benefit, and is grounded in Tobin’s (1970:264) concept of “specific egalitarianism”, in which access to certain goods “should be distributed less unequally than the ability to pay for them”. Le Grand (2007: 13) concurs and extends the equity argument to include social class, gender and ethnicity, reflecting that if on those grounds “some parents have preferential access to education for their children, then this is widely regarded as unfair or inequitable”.
Brief History of Education Reform in Nigeria
Since 1955, educational reform in Nigeria has become an issue of focus for successive administrations, with the intention of providing universal, compulsory and subsidised schooling, although differences in emphasis have always existed in different regions and states. By 1976, the federal government became conscious of the global competitive advantages that proper education confers on citizens and therefore introduced the Universal Primary Education (UPE) scheme to replace the regional education reforms. Thus, the differences that had existed in the different regions (states) earlier were checked by the federal government.\(^{17}\)
By the early 1980s, however, the UPE reform was widely seen as failing on both the efficiency and equity grounds, with concerns about regional social disparities, falling standard of the education and decline of educational infrastructures.\(^{18}\) The predicament was also linked in part to funding, especially with the introduction of the SAP which necessitated reduction in social expenditure by government.\(^{19}\)
These pitfalls that characterised the UPE reform led to the launch of the ‘Universal Basic Education’ (UBE) in 1999 to replace UPE. The reform seeks to universalise access of all children to educational opportunities for nine years.\(^{20}\) Nevertheless, there are concerns about parental preferences for schools due to quality delivery and quality outcomes of UBE, poor infrastructures, irregular payment of teachers, inadequate funding and the widespread poverty, all of which factors are working against education.\(^{21}\)
Educational Reforms: Objectives, Impact and Recommendations for Choice and Competition Policies
For almost three decades, and most significantly since the 1976 UPE reform introduced genuinely ‘UPE’, the arguments above provided the foundation for compulsory schooling in Nigeria. By the mid-1980s, however, the public education system was widely seen as failing on both the efficiency and equity fronts, with concerns about low academic attainment and persistent social segregation in secondary schools. This problem of confidence in education was linked in large part to SAP-induced economic meltdown,\(^{22}\) with widespread fear that Nigeria did not have an education system that could sustain economic competitiveness regionally and internationally.
By 1999, UBE reform was introduced. Although UBE was eventually passed into law in 2004, there were mounting concerns about the quality
of basic education in Nigeria.\textsuperscript{23} For instance, there have been issues about the standard of UBE in terms of insufficient instructional facilities/technologies, inadequate teaching personnel, problem of curriculum implementation, among others.\textsuperscript{24} Because of these problems Nigerian public schools are no longer option for the middle-class and rich parents who are able to enroll their children in private schools.
In 2004, UBE reform was officially put in place across the 36 states of Nigeria by the Act of Parliament (UBE Act) in order to address these failures in the public (basic) education system. It is believed that without sustainable reform, Millennium Development Goals (MDGs) and EFA desired goals cannot be achieved. UBE included a wide range of reforms covering components of national unified curriculum, parental obligations, funding responsibility (among three arms of government), and relegation of catchment areas together with more autonomy for schools.
Basically, the main objective of the choice and competition reform is to raise the quality of education through the introduction of market forces in terms of what is referred to as ‘quasi-market.’\textsuperscript{25} The quasi-market encompasses the market components of providers competing for customers; however, it is unlike the normal markets because such services are still paid for by the government, after user’s choices have been ascertained. As noted by Le Grand (2007), quasi-markets circumvent the differential issues stemming from services that are only available to the people that can pay for them.
In education sector, choice and competition reforms mostly include parental capability to make a choice regarding the schools they prefer for their kids, together with sufficient funding for them. Schools are given greater managerial autonomy but still required to follow a national curriculum. In economic terms, such reforms are expected to improve educational outcomes for the same resource through increasing demand-side pressure from parents for good schools and giving supply-side flexibility to schools, in an attempt to allocate their budgets in such a way that would result in better educational attainments.\textsuperscript{26}
However, one criticism that can be levelled at this outcome is that it is only the relatively well off and well-educated who want it and will be motivated to use it. Consequently, this reform might not have a positive impact on the equitable distribution of educational gains. There are evidential supports for this contention; however, studies in this area are very scarce in Nigeria, and one may have to rely on the literatures from the developed countries.\textsuperscript{27}
International evidence has shown that there are mixed results for the impact of market reforms. As Hirsh (2002: 6) points out, ‘policies
associated with school choice have nowhere proven to be a *magic bullet* to improve educational system but nor have they created a general catastrophe for education. Rather their effects have been specific and local’. What emerges from Hirsh’s finding is that the impact of market reforms hinges on the way the education reforms are designed, introduced and localised in a particular context. Drawing on the experience from Nigeria, and internationally, the next section will examine in more detail the evidence in relation to the main objective of increasing educational efficiency through quasi-market reforms and any possible consequences this has for equity and social inclusiveness.
**Efficiency and Equity: Evidence from Nigeria and International Arena**
Firstly, the international evidence on the impact of choice mechanism on educational efficiency is mixed. Some findings have shown increased efficiency while some cases with huge spending on education showed little or no improvement in academic achievement. For instance, Hirsh (2002) and Waslander et al (2010) find little evidence that market approaches are more effective in improving teaching and learning than other educational reforms.
In Nigeria, there is a consensus that exam results have partially or not improved in the past 10 years; yet the extent to which this can be ascribed to choice policies is challenging. There are challenging conclusions regarding the exam results of the students. Igbuzor (2006) and Asikhia (2010) note that academic performance (WASSCE results) have not improved because of the unqualified teaching force, gender issues and socio-cultural beliefs, and adherence to traditional assessment strategies. It then looks trickier to generalise the improvement of students’ performance through exam results due to inconsistent evidence and wide disparities in Nigeria. Relevant in this regard, Gorard et al. (2003: 89) note that ‘the evidence can do little more than suggest that this is an impact of market forces for there are so many other confounding changes over the same time’.
In the context of the quasi-market where schools compete for students, Burgess et.al. (2006:15) argue that schools “have the incentive to improve measured performance”. However, that does not necessarily mean improvement in actual performance because there may be a tactical manipulation of behaviour to secure strategic advantage.\(^{28}\) Selecting highly
performing students – known as ‘cream skimming’ – can result in better exam results, without actually improving effectiveness.
Globally, there is no evidence to show that choice policies reduce segregation. However, there are mixed findings in the levels of increases in segregation detected (Waslander et al, 2010; Le Gran et al, 2008). In Nigeria, schools that are most successful in terms of published market information have skewed student populations. As these assessments are modified by assumptions around the intersection of class, ethnicity, socio-cultural beliefs and gender, choice appears to lead to segregation and homogenisation of student populations.
For example, as some schools secure desired students and strong position in the marketplace, others become left behind with an undersupply of students, who are mostly from low socio-economic groups. These circumstances lock the latter category of schools in a series of poor academic achievement and student and teacher attrition, which has implication for choice policies. But in all these issues, Gorard et al (2003: 186) point out the possibility that ‘what choice policies may do is change the rules by which segregation takes place, but without markedly increasing or eliminating levels of segregation that are largely shaped by structural factors’.
Choice and competition policies, in an effective market, are expected to be mutually reinforcing. Here, the supply of schools increases or decreases in relation to demand. Nonetheless this, it appears not to work well in the quasi-market. Relevant to demand-side, parents do not react to underperforming schools by withdrawing their wards; and on the supply-side, popular schools do not easily meet the growing demand. Given the local problems (as mentioned earlier) in Nigeria, different reforms to increase social diversity in Nigeria have not generally and effectively corresponded with parental demand with school supply. This challenging process of choice by both parents and schools result in more segregated schools, pointing to the fact that when schools are over-subscribed, choice is efficiently usurped and annexed by schools, and none looks good for parents.\(^{29}\)
Other elements for selection based on merit, state quota, exigency and environment intensify segregation. Segregation can also occur when such schools are mostly allowed to participate in the selection of the students; they tend to select relatively advantaged students and such a practice (cream-skimming) promotes inequality (see Gorard et al, 2003; Le Grand, 2007).
Educational reforms are not often about models, but outcomes. And since social processes are not always linear, it appears difficult to suggest
a definitive pattern of behaviour in educational reform strategies. Any model that attempts to explain the process of change, therefore, must rely on measure of outcomes of the process that reconciles equity, individualism, social mobility and equal opportunities. Therefore, if the choice policies are meticulously measured, it can help in exercising informed choice as to how to pursue, implement and improve these policies. International evidence shows that strategically measured choice policies with broader equity and social justice concerns have the potency to address segregation problem. In Nigeria, the control measures can embrace the geo-political and socio-economic mix in order to reduce social segregation.
**Conclusion and Recommendations**
This paper has described the way education is delivered and funded. Taking account of the economic case for continued public intervention in the funding of education has also provided a new set of insights, positions and identities in consideration of which the roles of parents and schools are expected to change. The main objective of using choice and competition in the education system is to enhance academic achievement of students from both wealthier and low-income groups. Although neoliberal ideas such as school choice reform policies can deliver outcomes in some circumstances, it does not apply to all situations and, as Hirsh (2002:21) has noted, it is ‘neither a cure-all nor a catastrophe for the quality of education’.
The impact of choice policies on school performance and student achievement is hotly contested. However, some of the evidence drawn from Nigeria reveals that exam results have not improved owing to such factors as social-economic and cultural forces and wilful motivations produced by published performance assessments. Though some international research offers some evidential support for beneficial effects, there is also a great deal of evidence showing no effects or negative consequences.\(^{30}\)
That said, choice reforms appear to be ideal but the benefits have not been widespread because they carry with them dilemmas, including the way opportunistic and tactical behaviours have been apparent in schools, among parents and students. The evidence about education quasi-market also reveals that it has not boosted the chances of underprivileged children studying in better schools and also has not resolved the undue segregation between schools.
In Nigeria, access to secondary education continues to improve (courtesy of the introduction of UBE in 1999). At the same time, it
continues to be challenging, not only because of debates over the nature and role of secondary education but also because of differences in the ways stakeholders and policy-makers understand what constitutes access. Thus, inasmuch as the argument for continued public intervention in education is based on the equity concerns of educational benefits, the failure of market-driven policies to address segregation remains a challenging one, indeed. As challenging as the problem associated with choice policies can be, they can still help in reducing social segregation if those policies are appropriately implemented based on specific social contexts.
Based on what emerges from the findings in the paper, below are the recommendations that can fit in with the development of choice policies to achieve a reasonable measure of equitable outcomes in secondary schooling in Nigeria:
1. School supply: The educational stakeholders should devise effective assessment of the present policies aimed at cumulative supply of good schools in order to ensure the availability of appropriate incentives and structures for the expansion of good schools and establishment of new schools in the marketplace.
2. Performance measures: Concerned educational authorities should assess the performance measures to reduce the opportunities for schools to cream-skim students during admission period. The word limit for this paper has not given chance to thoroughly look at performance measures, though such measures together with choice reforms remain indispensable.
3. Regulation of Choice: Concerned authorities should adopt control mechanisms to address choice and equity concerns, particularly on the introduction of ‘fair banding’ as coined by West (2006) at grassroots’ level to guarantee a better geo-political and socio-economic mix in schools. Taking away admission controls from schools also has the potential of circumventing any attempt at cream-skimming.
Endnotes
1 Ohia and Obasi, 2014; Ige, 2013; Olaniyan, 2011
2 Aluede, 2006
3 Le Grand et al, 2008; Stiglitz, 2000
4 Aluede, 2006; Adunola, 2011
5 Hinchliffe, 2002
6 Sun and Daniels, 2014; Le Grand et al, 2008; Stiglitz, 2000
7 Stiglitz, 2000
8 Le Grand et al, 2008
9 Temple, 2001
10 Cohen and Davidovitch, 2015; Le Grand et al, 2008; Machin and Stevens, 2004
11 Stiglitz, 2000: 83
12 Le Grand et al, 2008; McMahon, 2004
13 Le Grand, 2007
14 Grout and Stevens, 2003
15 Stiglitz, 2000: 87
16 See Machin and Stevens, 2004
17 Adunola, 2011; Amuda, 2011
18 Adunola, 2011
19 Moja, 2000
20 Oyinlola, 2012
21 Oyinlola, 2012; Amuda, 2011
22 See Odia and Omofonmwan, 2007
23 Fredriksen and Fossberg, 2014; Amuda, 2011
24 See Ige, 2013; Ogar and Aniefiok, 2012
25 Gorard et al, 2003
26 Burgess et al, 2006
27 e.g. Bradley and Taylor, 2002; Ball and Youdell, 2008
28 Ball and Youdell, 2008
29 Aluede et al, 2012
30 Supra Note 28
References
Aluede, R.O. A (2006) Universal Basic Education in Nigeria: Matters Arising. *Journal of Human Ecology*, 20(2): 97-101.
Aluede, O., Idogho, P.O., and Imonikhe, J.S. (2012) Increasing Access to University Education in Nigeria: Present Challenges and Suggestions for Future. *Journal of Education and Sociology*, 12(1), 5-13.
Adunola, O. (2011) The Challenges affecting the implementation of Universal Basic Education in some selected primary schools in Nigeria. http://egoboosterbooks.files.wordpress.com/2011/01/ube-front.pdf accessed 27 February, 2012
Amuda, Y.J. (2011) Child education in Nigeria: Hindrances and legal solutions. *Procedia Social and Behavioral Sciences*, 15, 3027–3031
Asikhia, O.A. (2010) Students and Teachers’ Perception of the Causes of Poor Academic Performance in Ogun State Secondary Schools [Nigeria]: Implications for Counselling for National Development. *European Journal of Social Sciences* – Volume 13, Number 2, pp.229-242.
Ball, J. and Youdell, D. (2008) Hidden Privatization in Public Education, Institute of Education, University of London, UK. http://download.ei-ie.org/docs/IRISDocuments/Research%20Website%20Documents/2009-00034-01-E.pdf accessed 1 March, 2012
Bradley, S. and Taylor, J. (2002), “The Effect of the Quasi-market on the efficiency-equity trade-off in the secondary school sector”, *Bulletin of Economic Research*, 54(3), 296-314
Burgess, S., Propper, C., and Wilson, D. (2006), “Will More Choice Improve Outcomes in Education and Healthcare? The Evidence from Economic Research”, The Centre for Market and Public Organisation, University of Bristol, http://www.bristol.ac.uk/Depts/CMPO/choice.pdf accessed 29 February, 2012
Cohen, E., and Davidovitch, N. (2015), Higher education between government policy and free market forces: The case of Israel, *Economics and Sociology*, Vol. 8, No 1, pp. 258-274
Fredriksen, B. and Fossberg, C.H. (2014) The case for investing in secondary education in sub-Saharan Africa (SSA): challenges and opportunities. *Int Rev Educ*, 60:235–259
Gorard, S., Taylor, C., and Fitz, J. (2003) Schools, Markets, and Choice Policies, Routledge Falmer, London, UK.
Grout, P. and Stevens, M. (2003) “The Assessment: Financing and managing public services”, *Oxford Review of Economic Policy*, 19(2), 215-234
Hinchliffe, K. (2002) Public Expenditures on Education in Nigeria: Issues, Estimates and Some Implications. Africa Region Human Development Working Paper Series. http://siteresources.worldbank.org/AFRICAEXT/Resources/no_29.pdf accessed 27 February, 2012
Ige, A.M. (2013) Provision of secondary education in Nigeria: Challenges and way forward. *Journal of African Studies and Development*, 5(1), 1-9
Igbuzor, O. (2006) The State of Education in Nigeria. Being a Keynote Address Delivered At A Roundtable Organised By Civil Society Action Coalition On Education For All (Csacefa) On 3rd July, 2006.
Le Grand, J. (2007), “The Other Invisible Hand,” Princeton University Press, Princeton, USA
Le Grand, J., Propper, C., and Smith, S. (2008), “The Economics of Social Problems”, Palgrave Macmillan, Basingstoke, UK.
Machin, S. and Stevens, M. (2004), “The Assessment: Education”, *Oxford Review of Economic Policy*, Vol. 20, No. 2, pp.157-172
McMahon, W. (2004) “The social and external benefits of education” in the International Handbook on the Economics of Education, (eds.) Johnes, G. and Johnes, J., Edward Elgar, Cheltenham, UK
Moja, T. (2000) “Nigeria education sector analysis: an analytical synthesis of performance and main issues”, Washington, DC: The World Bank.
Odia, L.O., and Omofonmwan, S.I. (2007) Educational System in Nigeria Problems and Prospects. *J. Soc. Sci.*, 14(1): 81-86
Ogar, O.E. and Aniefiok, E.A. (2012) The Challenges of Curriculum Implementation in Nigeria Teacher Education. *Journal of Education and Practice*, 3(15), 127-131
Ohia, A.N., and Obasi, K.K. (2014) Repositioning Senior Secondary Education in Nigeria for Producing Entrepreneurial-Oriented Students. *World Journal of Education*, 4(3), 75-80
Olaniyan, O. (2011) The Determinants of Child Schooling in Nigeria. AERC Research Paper 217, African Economic Research Consortium, Nairobi
Oreopoulos, P. and Salvanes, K. (2011) “Priceless: the non-pecuniary benefits of schooling”, *Journal of Economic Perspectives*, vol. 25, No. 1, pp 159-184
Oyinlola, O.A. (2012) An Evaluation the Contributions of New Model Primary Schools to the Development of Rivers State. *European Journal of Social Sciences*, Vol.28 No.3, pp. 344-354
Temple, J. (2001), “Education and Economic Growth”, UK Treasury briefing, http://www.hm-treasury.gov.uk/d/253.pdf, accessed 19/11/11
Stiglitz, J.E. (2000) “The Economics of the Public Sector”, Norton, New York
Sun, L.G., and Daniels, B. (2014) Mirrored externalities. *Notre Dame Law Review*, 90 (1), 135-185
Tobin, J., (1970), “On Limiting the Domains of Inequality”, *Journal of Law and Economics*, Vol. 13, No. 2, pp 263-277
Waslander, S., Pater, C., Van der Weide, M., (2010), “Markets in Education: An analytical Review of Empirical Research on Market Mechanisms in Education”, OECD Education Working Papers, No. 52, OECD Publishing, http://dx.doi.org/10.1787/5km4pskmkr27-en, accessed 20/12/12
West, A., Hind, A., Pennell, H. (2004) “School admissions and ‘selection’ in comprehensive schools: policy and practice”, *Oxford Review of Education*, 30(3), 347-369
Abstract
Mexico adopted its first competition law in 1992 in preparation for the signing of the North American Free Trade Agreement. Despite having provisions against monopolies in its constitutions of 1857 and 1917, a comprehensive law prohibiting cartels, preventing abuses of dominance, providing merger review, and an agency to implement these laws was a new phenomenon for Mexico. Moving quickly to 2015, the competition policy scene has dramatically changed in Mexico. The Federal Competition Commission (CFC) whose investigative powers significantly increased through reforms in 2006, 2011, 2013 and 2014 has become a well-respected enforcement agency that ranks above some Western European competition agencies with longer histories and much greater resources in Global Competition Review’s (GCR’s) annual rankings.
This paper explores the political factors that have contributed to the transformation of the Mexican competition regime from an ineffective regime in a highly concentrated economy into a relative success story. As an agency relatively well-endowed with financial and human resources in an upper middle-income country, the CFC has some advantages compared to agencies in poorer countries.
This paper investigates the sources of success of Mexico’s competition regime with a perspective that emphasises both domestic and international
the politics of competition law reforms. Specifically, it explores how the CFC succeeded in gathering the political will needed to pass competition policy reforms that strengthened enforcement starting in 2006.
**Introduction**
Mexico adopted its first competition law – the Federal Law on Economic Competition (FLEC) in 1992 in preparation for signing of the North American Free Trade Agreement (NAFTA). At the time few domestic actors knew what competition law meant and what impact it would have on them. For the Federal Commission of Economic Competition (FCC), the early years proved to be a period of trial and error. Actors within the government and the private sector criticised the Commission for being weak, court proceedings triggered by companies’ complaints slowed down investigations, and a number of FCC’s decisions were reversed by the district courts on procedural grounds.
By 2015, the competition policy scenario in Mexico had changed dramatically. The FCC’s investigative powers significantly increased through a series of reforms starting in 2006, and it has become a well-respected enforcement agency that is held up as a model among the emerging economies.
This paper explores the political factors that have contributed to the transformation of the Mexican competition regime from an ineffective regime in a highly concentrated economy into a relative success story with a perspective that emphasises the politics, both domestic and international, of competition law reforms. Domestically, it is argued that a constituency in favour of better competition policy enforcement – composed of consumers, firms traditionally excluded from markets, and competition lawyers – gradually emerged and acquired voice in Mexico.
These favourable domestic conditions were reinforced by pressures generated by foreign firms seeking access to Mexican markets, and by the support of international organisations, such as the Organisation for Economic Cooperation and Development (OECD), the World Bank, the International Monetary Fund (IMF) and the International Competition Network (ICN). These organisations provided information, expert evaluations and political support for the FCC in its negotiations with domestic policy makers, and therefore, combined with domestic factors, enabled significant reforms of the Mexican competition regime.
The Federal Law on Economic Competition
The proposal for a competition law surfaced in the context of the regulatory reforms of the late 1980s in Mexico. However, the idea of protecting competition in the market place dates back to the constitutions of 1857 and 1917. The Mexican constitution of 1857 prohibited monopolies, and the constitution of 1917, in addition, included provisions against cartels and abuses of dominance\(^1\). These provisions were not enforced due to the absence of implementing regulations, and in practice numerous state and private monopolies dominated the economy\(^2\). The 1934 Organic Law of Monopolies was likewise unenforced\(^3\).
Until the end of the 1980s, many businesses were shielded from external competition through the chambers of commerce, industry or by some level of government\(^4\). The degree of economic concentration in the economy was found to be high. In 1992, nearly 25 companies accounted for 47.1 percent of Mexican Gross Domestic Product or GDP\(^5\).
The debt crisis of 1982 motivated a number of institutional reforms through the rest of the 1980s and the 1990s. In the context of these reforms, officials at the Economic Deregulation Unit at the Secretary of Commerce and Industrial Development (SECOFI) became convinced of the necessity to adopt a competition law\(^6\).
Moreover, progress in the negotiations with the US and Canada on NAFTA provided an additional impetus for the adoption of a competition law, as NAFTA’s Chapter 15 committed the parties to the adoption of measures proscribing anti-competitive business conduct. The process resulted in the adoption of the FLEC in the Mexican Congress in 1992 and the establishment of the Federal Competition Commission (FCC) as the agency responsible for its implementation in 1993.
The FLEC includes provisions against cartels and abuses of dominant position, and allows for merger review and competition advocacy. It classifies potentially anti-competitive practices as either absolute or relative. Absolute monopolistic practices include hard core cartels between competitors on price, output, market division and bid rigging, and are prohibited *per se*\(^7\).
What in other countries would be treated under monopoly or abuse of dominance provisions are treated as relative monopolistic practices, which might be found illegal only if the agents have substantial power in a defined relevant market\(^8\). Some of these are specified in the law, such as resale price maintenance, tied sales, exclusive dealing and refusals to deal, while others could be reached by the catch-all provision\(^9\) that define ‘any conduct that unduly damages, or impairs the competitive process and free access
to production, processing and distribution and marketing of goods and services’ as anti-competitive\textsuperscript{10}.
The FLEC prohibits mergers, which aim to reduce, distort or hinder competition\textsuperscript{11}. All mergers that go beyond a certain threshold in terms of sales or assets have to be notified to the FCC\textsuperscript{12}. In assessing mergers, the FLEC requires the FCC to consider whether the merging parties would be able to fix prices unilaterally, substantially restrict competitors’ access to the market or engage in unlawful monopolistic conduct in assessing mergers.
State-owned enterprises are subject to FLEC’s provisions on relative and absolute monopolistic practices, except in areas of ‘strategic concern’, which Article 28 of the Mexican constitution lists. Other than these exceptions, the FLEC applies to all economic actors, public or private. In fact, the FCC has brought cases against Petróleos Mexicanos (Pemex) despite the company being a state-owned monopoly in a strategic sector.
The FCC interpreted the constitutional provision as applying only to Pemex’s role in oil exploration and refinement, and charged the company for abusing its dominance in the market for distribution by forcing companies that bought its gas to also use its transport network.
The FCC can give its opinions if another organ of the state acts in a way to restrict competition, but the opinion has no binding effect\textsuperscript{13}. The FLEC empowers the FCC to give its opinion on the effects that existing legislation, regulations, and administrative acts might have on competition, and upon request by the Federal Executive, on the effects of competition on new laws and regulations proposed to the Congress\textsuperscript{14}.
**Early Experiences**
A number of obstacles to the effective implementation of the FLEC in the early years originated from the provisions of the law itself and the powers granted to the FCC under the law. First of all, the FCC had few tools to address problems in the highly concentrated sectors of the economy. The FLEC did not allow the FCC to restructure monopolies, which might have been a reasonable decision given the lessons drawn from the experience of other countries\textsuperscript{15}. However, it soon became clear that a lack of powers to address structural monopolies could be problematic in a country like Mexico with a highly concentrated economic structure.
In addition, the division of responsibilities between sector regulators and the FCC proved problematic. The FCC was responsible in identifying whether a firm has market power in a sector, but it was up to the sector
regulator to address this behaviour after the decision of the FCC, with the FCC not being party to the negotiations or the preparation of regulation to deal with the anti-competitive conduct. This division of responsibilities became problematic if the sector regulator was too weak, or ‘captured’ by the actors whose behaviour it was supposed to regulate, or did not have any power to sanction the actors\textsuperscript{16}.
The investigative powers granted to the FCC were also widely perceived to be inadequate\textsuperscript{17}. The FCC did not have powers to conduct dawn raids, and it did not initially count on a leniency programme, which impeded its efforts to fight cartels. Moreover, the maximum fines it could impose (and effectively collect) were not deemed adequate to deter firms from engaging in anti-competitive conduct. Prior to the 2011 reforms, \textit{The Economist} (2010) commented that it was profitable for firms to cheat even if caught.
In addition to the weaknesses of the legislation, the judicial system in Mexico had a significant impact on the effective implementation of the FLEC. Under the FLEC, the parties to a competition case had ample opportunities for judicial review if they were dissatisfied with the FCC’s decisions\textsuperscript{18}.
The first of these is the \textit{amparo} (injunction) action, which can be claimed by anyone arguing ‘that he is being subjected to an unconstitutional statute or that his due process rights are being infringed’\textsuperscript{19}. \textit{Amparo} claims were used aggressively and in increasing numbers by private actors against the FCC, and complicated competition law enforcement.
They delayed the FCC’s proceedings, as firms frequently filed multiple claims in different districts or filed subsequent \textit{amparos} throughout the proceedings. For instance, after the FCC declared TELMEX to be a dominant carrier in 1998 – a necessary step for the sector regulator to step in and impose remedies – its decision was stayed by a series of \textit{amparos}, changes to its declaration, and further \textit{amparos}, until finally a court annulled the FCC’s decision in 2006 because the evidentiary basis for it was outdated\textsuperscript{20}. \textit{Amparos} might also delay the collection of fines, taking away the ‘bite’ of FCC’s decisions. Dealing with the \textit{amparos} filed against it has imposed a significant strain on the agency’s resources.
A second way in which the parties to a FCC case could seek judicial relief was through an appeal to the Federal Court of Fiscal and Administrative Justice. This court normally reviews tax cases, but it asserts jurisdiction to review any agency action that involves the imposition of a monetary payment obligation on a private party, and it has thus reviewed a growing number of cases in which the FCC imposed fines\textsuperscript{21}.
The FCC lost a number of cases under this court on the grounds that its orders imposing fines were not adequately justified. The OECD (2004, 47) reports that due to judicial and procedural intricacies of the system, the FCC was able to collect only 9.5 percent of all the fines it imposed between 1997-2002, with 18.5 percent revoked or lost on judicial review, and 72 percent remaining uncollected.
A few broader issues with respect to the judiciary have affected the implementation of the FLEC. The unfamiliarity of the district courts with substantive antitrust issues was one of them. In its early years, the FCC saw many of its decisions reversed at the district courts, mostly on procedural grounds\textsuperscript{22}.
In addition to the judges’ unfamiliarity with competition policy issues, the civil law model in Mexico “has traditionally involved detailed legislative enactments, and courts are unused to dealing with a statute as short and non-specific as the FLEC. By ruling adversely on a procedural point, the court can send the case back to the FCC and avoids resolving the antitrust question”\textsuperscript{23}.
Critics also raise questions about the weakness of the judicial system in Mexico in resisting outside pressures, especially those coming from big business. In their empirical analysis of \textit{amparo} requests in competition cases\textsuperscript{24} find that companies directly or indirectly controlled by billionaires were more likely to secure an \textit{amparo} from the courts compared to other firms. They cautiously interpret these results as supportive of their claim that concentrated business interests have undue influence in the Mexican judicial system.
This does not necessarily mean that the judicial system is corrupt, as big business also commands significant resources to hire the best law firms to defend itself. Del Villar (2009, 334) notes that the FCC’s annual budget is equal to two days’ worth of profits by TELMEX and RadioMóvil Dipsa (TELCEL), the two big companies that dominate the landline and cellular phone markets in Mexico, both controlled by Carlos Slim.
\section*{Reforms to the FLEC}
Reforms in 2006, 2011, 2013 and 2014 have addressed some of the problems that impeded the effectiveness of Mexican competition regime. The 2006 reform introduced a leniency programme. It also enabled the FCC to impose structural remedies, such as divestitures in monopoly cases, and expanded the list of relative monopolistic conditions listed in the Article 10 of the 1992 FLEC\textsuperscript{25}. With the 2011 reforms, the FCC acquired
powers to conduct dawn raids. The FCC’s fight against cartels was reinforced additionally by expanding the scope for criminal prosecution against individuals in cartel cases.
The 2011 reforms strengthened the FCC’s deterrent power by increasing maximum fines from US$7 min to 10 percent of the firm’s annual revenues in Mexico. The reform granted the FCC with more flexibility to reach settlements with parties while the investigation is ongoing, while before it could only come to a settlement after concluding its investigation\textsuperscript{26}.
The FCC was also granted with the power to issue interim measures, by which it can oblige firms to cease alleged anti-competitive conduct while an investigation is carried out. Finally, class actions for damages in competition law cases were allowed\textsuperscript{27}.
The competition regime in Mexico saw its most fundamental reforms in 2013 and 2014 in the context of the Pact for Mexico. After being elected to office in 2012, Enrique Peña Nieto announced the Pact for Mexico, an agreement between the three main parties on a broad package of reforms including in education, taxes, the economy and the legal system. Such a sweeping reform agenda became possible thanks to internal politics of the two opposition parties, and Peña Nieto’s skillful management of powerful interest groups and private actors\textsuperscript{28}.
In the oil and gas sector, the reforms included changes to the constitution that allow for private and foreign investment in refining, pipelines, petrochemicals, transportation and storage of oil, gas and petroleum products.
In telecommunications, the reforms created the Federal Institute of Telecommunications (IFETEL), an independent legal entity to regulate the telecommunications and broadcasting, and made this agency responsible for competition matters in these two sectors.
The IFETEL can impose one-sided regulations on firms that it finds to be dominant in these markets. The law also removes the 49 percent limit on foreign ownership of telephone services, and raises the limit of foreign ownership to 49 percent in broadcasting, which opens the way for greater foreign investment.
The competition policy reform started in 2013 with constitutional amendments that changed the legal status of the FCC, reconstituting it as a legally independent entity under the Mexican constitution. The reform established specialised courts to oversee appeals to competition law and telecommunications cases.
The \textit{amparo} requests in these areas are also to be resolved by these specialised courts. In 2014, the Mexican congress adopted a new
competition law, as implementing regulation to the 2013 constitutional amendments. The new FLEC creates an investigation unit within the FCC in order to separate investigative authority from decision-making authority.
The law further strengthens the FCC’s powers by expanding the scope of evidence that it can collect through dawn raids, and increasing the fines it can impose. The new law expands the list of relative monopolistic practices. Finally, an important change is that FCC resolutions are not subject to a judicial stay pending the outcome of litigation.
What explains the gradual strengthening of the Mexican competition law through legislative and constitutional reforms since 2006? My argument is that the interplay of a number of domestic and international factors has brought about the reforms. Domestically, consumers and firms that have been traditionally excluded from concentrated markets have generated pressures for better competition law enforcement.
Consumers’ interests arise from the potential benefits competition might bring in the form of lower prices. Economic concentration hurts Mexican consumers, especially the poorest sectors of the society, which devote 7 percent of their spending to overcharging by firms with market power\(^{29}\). However, consumer interests are diffuse and hard to mobilise.
Historically, very few consumer organisations existed in Mexico, but the situation is gradually changing with the emergence of non-governmental organisations, such as the Observatel, the watchdog of regulatory reforms in the telecoms sector\(^{30}\) or *Controlaria Ciudadana*, which monitors public policies, such as competition policy and the fight against corruption.
The FCC has also entered into an agreement with the Office of the Federal Prosecutor for the Consumer (PROFECO) in 2005, providing for more cooperation and coordination between the two organisations and more direct channels for the FCC to hear about consumer concerns. PROFECO has the right to introduce the equivalent of class action suits in competition cases, and has brought two such cases recently against dominant landline and cellular phone companies TELMEX and TELCEL to attempt to recover money on behalf of millions of consumers\(^{31}\).
Domestic firms that have difficulty entering markets dominated by large players create another source of pressure for better competition law enforcement. For instance, Avantel, a Mexican cellular provider sued TELMEX nine times for abuse of dominant position\(^{32}\).
Finally, domestically competition lawyers and bar associations have become important actors with a stake in the proper functioning of the system, for instance by helping to provide training to Mexican judges in competition matters.
International pressures for reforming the Mexican competition law have reinforced these domestic demands. Foreign firms have been a source of pressure for the Mexican government to improve the effectiveness of competition laws. For instance, in 2000, the US government brought a dispute against Mexico in the World Trade Organisation (WTO), principally on behalf of AT&T and MCI, claiming that its telecoms regulations breached its obligations under the General Agreement on Trade in Services.
The Federal Commission of Telecommunications (COFETEL) had granted TELMEX, the firm with the largest share of outgoing calls, the power to fix the ‘termination rate’ to be paid by all foreign carriers, such as AT&T and MCI – for calls terminating in Mexico\textsuperscript{33}.
The World Trade Organisation (WTO) ruled against Mexico, forcing COFETEL to change the regulation, with significant downward impact on international settlement rates and hence the price of international calls\textsuperscript{34}.
Mexico’s greater economic openness, and its bilateral, regional and multilateral trade agreements mean that foreign firms will increasingly be sources of pressure for access to domestic markets and generate pressures for better enforcement of competition laws. In fact, the recent reforms allowing for greater foreign ownership in telecoms companies allowed AT&T to acquire the third and fourth large players in the mobile phone market in Mexico, generating pressures for better services and lower prices\textsuperscript{35}.
A significant impetus for the broader reform agenda in Mexico has been the desire to increase the competitiveness of the Mexican economy. International organisations, such as the IMF (2006), the World Bank (2007) and the World Economic Forum have repeatedly emphasised lack of competition as a significant impediment to growth. The recommendations of these organisations are frequently reported in the national media and become part of the public debate, and have thus been important input for reforms.
Organisations, such as the OECD and the ICN have had an even more direct impact on the reform process in Mexico. The OECD Competition Commission has worked closely with the FCC. Through its peer reviews, the OECD provided a neutral voice to the discussion by presenting a non-partisan analysis of the state of competition policy in Mexico and simply outlining best practices based on its experience in the area with OECD member countries.
The OECD report was used and cited in communications with the legislature and federal public administration”. The OECD also provided lengthy comments on the draft of reforms. The ICN similarly was influential in ensuring that reforms to the Mexican competition law followed international best practices.
Despite many positive aspects of the recent reforms, there have also been some controversial areas where the most recent Mexican law departs from international practice. For instance, in order to better address monopolies, which most experts agree are an important problem for the Mexican economy and Mexican consumers, the FLEC prohibits ‘barriers to competition’, defined as any structural market characteristic or conduct that limits the access of competitors or interferes with free competition.
‘Barriers to competition’ as a concept has been criticised for being too vague and without foundation in mainstream competition law and economic theory\(^{36}\). Furthermore, the FCC is given the power to conduct market studies and impose behavioural or structural remedies if ‘barriers to competition’ are found to exist in a sector. This is criticised as being an ‘extreme intervention’ into the working of the markets\(^{37}\) and potentially a responsibility that could overburden the competition agency and undermine its independence\(^{38}\). In 2014, the FCC undertook a ‘resource-intensive’ market study of the financial sector, for instance, which took energy away from enforcement efforts\(^{39}\).
The 2014 reforms gave the FCC the power to identify and regulate access to ‘essential inputs’, essentially setting maximum prices for infrastructure, which gives it a vague and sweeping authority\(^{40}\) (Phillips 2014). This provision is also problematic because it might create disincentives for firms to invest in infrastructure\(^{41}\). Finally, the reforms give jurisdiction over competition in the telecommunications sector to the newly-established and constitutionally independent IFETEL, which might prove problematic.
Sector regulators tend to have regular and closer relations with the players in the sectors that they regulate, which might undermine their independence. In the European context, Petit (2004) has also raised questions about potential overlaps and jurisdictional confusion with the multiplication of sector regulators along competition authorities. It will be crucial to ensure a harmonious working relationship and cooperation between the IFETEL and the FCC in the coming years.
There have also been some practical issues in competition enforcement in the aftermath of the reforms. The FCC has seen some significant staff turnaround, with seven new commissioners taking charge in the first year of reforms, and eighty-four competition enforcers leaving the FCC in
2013, and fifty-six in 2014\textsuperscript{42}. The agency has also had to devote substantial resources to institution building, which resulted in modest enforcement in 2014\textsuperscript{43}.
Some observers have also complained that FCC investigations have slowed down during this time of adaptation. Nonetheless, the FCC boasts high success rate at the courts in the last two years and is contributing successfully to the Mexican legislative and administrative process through its competition advocacy.
It has also enjoyed a boost to its budget of 32 percent for 2013 and 60 percent for 2014\textsuperscript{44}. These positive developments and its increased powers set the FCC on a solid path for good enforcement. Together with the National Development Plan 2013-2018, which emphasises the need for an industrial policy that seeks to “deepen and strengthen market competition as the main tool to build a dynamic economy”, competition policy in Mexico should contribute to the competitiveness of the Mexican economy\textsuperscript{45}.
**Conclusion**
After adopting a modern competition law in 1992, Mexico struggled to enforce this law effectively in its first decade. The FCC encountered many problems, such as legislative loopholes, insufficient powers to conduct investigations and to sanction breaches, insufficient financial resources, defeats at the district courts, and the frequent use of \textit{amparos} that significantly delayed the conclusion of proceedings and strained the scarce resources of the agency.
The early problems of the Mexican competition regime draw our attention to the difficulty of making foreign legal transplants work in contexts where the local institutional setting, combined with powerful private and public interests can easily frustrate efforts. Mexico’s problems in enforcing its competition law are fairly typical among new competition regimes.
A series of reforms starting in 2006, and culminating in a fundamental revamp of the law and the FCC in 2014 have addressed many of these problems. What made the reforms possible in the Mexican context were pressures from an emerging domestic constituency for a more competitive economy reinforced by pressures and guidance from international organisations and foreign firms. This analysis of the reform process draws attention to the importance of encouraging competition policy to spread its roots in the domestic system and supporting those roots through international assistance and guidance.
Endnotes
1 Avalos 2006; Castañeda 1998
2 *Ibid*
3 *Ibid*
4 *Ibid*
5 Newberg 1993, 603
6 Avalos 2006, 10
7 OECD 1998, 10-11
8 en Kate and Niels 2006, 719; OECD 1998
9 Article 10 paragraph 7
10 OECD 1998, 12; Pérez Motta and Sada Correa 2013, 11
The explicit list of relative monopolistic practices has been extended in subsequent reforms of the FLEC. This was partly a reaction to a Supreme Court decision taken in 2006 that found the catch-all provision too vague to be a basis for an FCC decision.
11 OECD 2004, 25
12 Ogletrophe 2014
13 OECD 2004, 15
14 OECD 1998, 25
15 OECD 1998, 13
16 OECD 1998, 32
17 OECD 2004, 65
18 OECD 2004, 44
19 *Ibid*
20 Noll 2009, 382
21 OECD 2004, 46
22 OECD 2004, 45
23 *Ibid*
24 Guerrero, López-Calva and Walton (2009, 129)
25 OECD 2011b, 128
26 OECD 2011a, 4
27 OECD 2012, 4
28 Starr 2014, 32
29 Urzúa 2013
30 Malkin 2014
31 García de la Rosa 2014, fn. 15
32 Guerrero, López-Calva, and Walton 2009, 129
33 Fox 2006, 276
34 del Villar 2009, 340
35 Reuters 2015
36 Perrot and Komninos 2014,
37 *Ibid*
38 Supra note 10
39 Global Competition Review 2015
40 Phillips 2014
41 Perrot and Komninos 2014, 11
42 Global Competition Review 2014, 2015
43 Global Competition Review 2015
44 Supra note 42
45 Moreno-Brid 2013, 218
References
Avalos, Marcos. 2006. “Condiciones Generales de Competencia: El Caso de Mexico.” *CEPAL Serie Estudios y Perspectivas* 48. Available online: http://repositorio.cepal.org/bitstream/handle/11362/4969/S0600352_es.pdf?sequence=1.
Castañeda, Gabriel. 1996. “Antitrust Enforcement in Mexico 1993-1995 and Its Prospects.” *United States-Mexico Law Journal* 4: 19-34.
Castañeda, Gabriel. 1998. “Competition Policy Objectives, Working Paper II.” In *European Competition Law Annual 1997*, eds. Claus-Dieter Ehlermann and Laraine L. Laudati. Oxford: Hart Publishing, 41-52.
Del Villar, Rafael. 2009. “Competition and Equity in Telecommunications.” In *No Growth without Equity? Inequality, Interests and Competition in Mexico*, eds. Santiago Levy and Michael Walton. Washington D C and New York: The World Bank and Palgrave, 321-64.
Del Villar, Rafael, and Javier Soto Alvarez. 2005. “Logros Y Dificultades de La Política de Competencia Económica En México.” *Información Comercial Española* March-April(821): 107–23.
Fox, Eleanor M. 2006. “The WTO’s First Antitrust Case -Mexican Telecom: A Sleeping Victory for Trade and Competition.” *Journal of International Economic Law* 9(2): 271-92.
García De la Rosa, Ricardo. 2014. “New Challenges for International Economic Law Teaching and Research in Mexico: Mexico’s Outstanding Waves of Reforms.” *São Paulo Law School of Fundação Getulio Vargas – FGV DIREITO SP Research Paper Series – Legal Studies* 108(October).
Guerrero, Isabel, Luis F. López-Calva, and Michael Walton. 2009. “The Inequality Trap and Its Links to Low Growth in Mexico.” In *No Growth without Equity? Inequality, Interests and Competition in Mexico*, eds. Santiago Levy and Michael Walton. Washington D C. and New York: The World Bank and Palgrave, 111-56.
Global Competition Review. 2014. *Rating Enforcement*. Online version. http://globalcompetitionreview.com/surveys/article/36064/mexicos-federal-economic-competition-commission
Global Competition Review. 2015. *Rating Enforcement*. Online version. http://globalcompetitionreview.com/surveys/article/38856/mexicos-federal-competition-commission
IMF. 2006. *Staff Country Reports, Mexico No. 06/351*. Washington D.C.: IMF Publications.
Ten Kate, Adriaan, and Gunnar Niels. 2006. “Mexico’s Competition Law: North American Origins, European Practice.” In *Handbook of Research in Trans-Atlantic Antitrust*, ed. Philip Marsden. Cheltenham, UK: Edward Elgar, 718-31.
Malkin, Elisabeth. 2014. “New Rules to Reshape Telecom in Mexico.” *The New York Times*.
Moreno-Brid, Juan Carlos. 2013. “Industrial Policy: A Missing Link in Mexico’s Quest for Export-Led Growth.” *Latin American Policy* 4(2): 216-37.
Newberg, Joshua A. 1993. “Mexico’s New Economic Competition Law: Toward the Development of a Mexican Law of Antitrust.” *Columbia Journal of Transnational Law* 31: 587-610.
OECD. 1998. “Regulatory Reform in Mexico: The Role of Competition Policy in Regulatory Reform.” http://www.oecd.org/daf/competition/sectors/2497310.pdf.
2004. *Competition Law and Policy in Mexico: An OECD Peer Review*. Paris: OECD Publications. http://www.oecd.org/daf/competition/prosecutionandlawenforcement/31430869.pdf.
2011a. *Annual Report on Competition Policy Developments in Mexico*, DAF/COMP/AR(2012)20. Paris.
2011b. *OECD Economic Surveys: Mexico 2011*. Paris: OECD Publications.
2012. *Annual Report on Competition Policy Developments in Mexico*, DAF/COMP/AR(2013)7. Paris.
OECD, and Inter-American Development Bank. 2008. *Peer Reviews of Competition Law and Policy in Latin America: A Follow-Up, Argentina, Brazil, Mexico and Peru*. OECD Publishing.
Oglethorpe, Katy. 2014. “Enforcers Compare Successes against SOEs.” *Global Competition Review*, Online edition.
Pérez Motta, Eduardo, and Heidi Claudia Sada Correa. 2013. “Competition Policy in Mexico.” In *Building New Competition Law Regimes*, ed. David Lewis. Cheltenham, UK; Ottowa: Edward Elgar, International Development Research Center, 3-25.
Perrlor, Anne, and Assimakis Komminos. 2014. *Mexico’s Proposed Reform of Competition Law: A Critique from Europe*. Available at: SSRN: http://ssrn.com/abstract=2404022. Last accessed: 03 December, 2015.
Petit, Nicolas. 2004. “The Proliferation of National Regulatory Authorities alongside Competition Authorities: A Source of Jurisdictional Confusion.” *College of Europe, Global Competition Law Centre Working Papers Series* 02/04: 1–31.
Phillips, Harry. 2014. “Barriers to Good Law.” *Global Competition Review* (May).
Reuters. 2015. “Mexico Telecom Prices Fall after Reform Aimed at Curbing Slim.” *Reuters*.
The Economist. 2010. “Busting the Cartel: Mexico’s Competition Policy.”
Urzúa, Carlos M 2013. “Distributive and Regional Effects of Monopoly Power.” *Economía Mexicana* XXII(2): 279–95.
World Bank. 2007. *Democratic Governance in Mexico: Beyond State Capture and Social Polarization*. Washington D.C.: World Bank.
Competition Law and Sustainable Development in China
WENDY NG
Lecturer, Melbourne Law School,
The University of Melbourne, Australia
Abstract
Since embarking on economic reform and opening up in 1978, China has achieved remarkable economic growth, with an average GDP growth rate of 10 percent during 1978-2006, and absolute poverty has decreased significantly as a result. However, this rapid and high economic growth has also resulted in a number of social and environmental problems.
Recognising a need to change its mode of development, since 2006 and especially since the adoption of the Twelfth Five-Year Plan (2011–2015), the Chinese government has focused on achieving sustainable development, encompassing economic, social, and environmental goals. One of the tools available to the Chinese government to help it promote and achieve sustainable development is its competition law, called the Anti-Monopoly Law, which came into effect in August 2008.
The paper will examine whether and how the Chinese government has promoted competition law, policy, and reforms and enforced the Anti-Monopoly Law, with a focus on how the Chinese government has used competition law and policy to address issues relating to sustainable development. The paper begins by looking at the ways and context in which competition law, policy, and reform are discussed within and by the Chinese government (especially the competition agencies) and how it is linked to other government policies, goals, and priorities. The paper then analyses the enforcement activities of the Chinese competition
authorities, in particular looking at the industries affected, types of competition policy instruments used, geographic scopes of concern, and nature of the competition restrictions targeted. Such analyses are conducted with a view to evaluating how the Chinese government has used competition law and policy to help promote sustainable development.
**Introduction**
Since embarking on economic reforms and opening up in 1978, China has achieved remarkable economic growth, with an average gross domestic product (GDP) growth rate of 10 percent during 1978-2006,\(^1\) and absolute poverty has decreased significantly as a result.\(^2\) However, this rapid and high economic growth has also resulted in a number of social and environmental problems. For example, inequality in China has almost doubled since 1981 and its Gini coefficient has remained at a relatively high level of between 0.47 and 0.49 in the past decade, according to official figures.\(^3\) Pollution and environmental degradation have led to public health and environmental issues, and in 2008 it was estimated that environmental degradation and resource depletion cost China approximately nine percent of its gross national income (GNI).\(^4\)
Recognising a need to change its mode of development, since the adoption of scientific development and socialist harmonious society by the Chinese Communist Party (CCP) and especially since the implementation of the Twelfth Five-Year Plan (2011–2015), the Chinese government has focussed on achieving sustainable development rather than aggregate economic growth and the absolute living standard. China’s sustainable development strategy encompasses economic, social, and environmental goals including enhancing scientific and technological development and innovation, improving people’s wellbeing and livelihood, reducing poverty, improving the environment, resource use, and development ability, and coordinating the development of the economy, society, people, resources, and the environment.\(^5\)
The Chinese government has often referred to its competition law as one of the laws that is essential to helping it to promote and achieve sustainable development. Called the *Anti-Monopoly Law*\(^6\) (AML), it came into effect in August 2008 and, similar to the competition laws of adopted by many other countries, prohibits horizontal and vertical anticompetitive agreements,\(^7\) abuses of dominance,\(^8\) and anticompetitive mergers.\(^9\) In addition, the AML prohibits anticompetitive abuses of administrative power\(^10\) (also known as administrative monopolies), which are regarded as major barriers to furthering economic reforms.\(^11\)
This paper examines the role that competition law and policy plays in achieving sustainable development outcomes in China. The paper first considers how competition law and policy is linked to the reform and development agenda in China. It then explores how the AML has been implemented by the Chinese competition agencies to help promote and achieve sustainable development outcomes.
**Relationship between Competition Law and Policy and China’s Reform and Development Agenda**
Competition law and policy has long been linked to China’s broader government reform and development agenda. Since the socialist market economy was officially recognised in March 1993, competition and the market mechanism have been viewed as essential to China’s socialist market economy and the promotion and furtherance of China’s economic reforms and opening up.\(^{12}\) Indeed, promoting the healthy development of the socialist market economy is one of the express objectives of the AML.\(^{13}\)
Competition law is viewed as an essential part of a legal system that is required to support the functioning of a market economy.\(^{14}\) The Chinese government believes that the AML provides a basic framework that helps to establish competitive market structures, promote and ensure competitive conduct, and guide the future direction of China’s economic reforms.\(^{15}\) It also helps to maintain fair and orderly market competition by eliminating market distortions, rectifying disorderly market competition, and providing clear, transparent, and predictable standards of conduct.\(^{16}\)
Competition law and policy is also coordinated with other policies and priorities to jointly promote and achieve economic, development, and other outcomes.\(^{17}\) This coordination role of competition law and policy is referred to in Article 4 of the AML.\(^{18}\) In China, competition law serves broader macroeconomic goals and is viewed as a tool that can be used by the government to intervene and achieve particular outcomes.\(^{19}\) Although the government recognises that the market plays the decisive role in allocating resources in the economy, it nonetheless remains subject to the macroeconomic control of the socialist state.\(^{20}\)
Discussions of competition law and policy often occur in the context of specific development and reform goals and priorities. These include innovation and innovation-driven development, people’s wellbeing and livelihood, and price regulation and stabilisation. These matters are explored in this section.
Innovation and Innovation-driven Development
The promotion of innovation has become an increasingly important aspect of Chinese competition law and policy. The Chinese government recognises that competition plays a fundamental role in encouraging innovation by providing incentives for businesses to innovate, which, in turn, promotes economic development and transformation.\textsuperscript{21} Competition law is also regarded as part of the institutional environment that fosters innovation.\textsuperscript{22}
This increased emphasis on innovation in competition discourse is consistent with the growing importance of innovation to China’s reform and development strategy. The Chinese government has made it a priority to transform China’s economic development model into one of sustainable development and China’s economy into an innovation economy.\textsuperscript{23} In 2006, it launched a major 15-year programme to develop science and technology and promote innovation.\textsuperscript{24}
In November 2013, the CCP adopted a wide-ranging reform blueprint at the Third Plenum of the 18\textsuperscript{th} Central Committee of the CCP and recognised that innovation is key to deepening science and technology structure reform.\textsuperscript{25} Following on from the Third Plenum, the CCP and the State Council jointly adopted an innovation-driven development strategy in March 2015, which focusses on creating an institutional environment (of which the market is one) conducive to innovation.\textsuperscript{26} Innovation will also be a focus in the Chinese government’s Thirteenth Five-Year Plan, which will be finalised by the National People’s Congress in March 2016 and apply from 2016 to 2020.\textsuperscript{27}
The focus on innovation is part of the Chinese government’s goal to shift its development model from one focussed on economic growth to one that is sustainable, and to move China from traditional, low technology, and low value-add activities into more innovative, knowledge-intensive, high technology, and high value-add activities.\textsuperscript{28} In particular, the Chinese government is focussed on indigenous innovation and encourages Chinese businesses to develop their own technology and products.\textsuperscript{29}
The Chinese government aims to decrease China’s reliance on imported intellectual property (IP) and technology and narrow the technology gap between China and other countries.\textsuperscript{30} However, it also believes that indigenous innovation is built upon a foundation provided by foreign IP and technology, and there are some concerns about the conduct of these foreign IP and technology holders.\textsuperscript{31}
People’s Well-being and Livelihood
The Chinese government expressly relates competition law and policy to the improvement of people’s wellbeing and livelihood. Officials at Chinese competition agencies have stated that their competition enforcement priorities are industries related to people’s wellbeing and livelihood such as consumer goods, public utilities, telecommunications, pharmaceuticals and transportation.\textsuperscript{32} They believe that anticompetitive conduct in these sectors, which all relate to essential goods and services, affects people’s lives and harms China’s economic development.\textsuperscript{33}
The enforcement of competition law in essential goods and services such as staple foods, housing, public utilities, transportation, and other basic infrastructure services can help to ensure that people have access to goods and services that are lower priced and of higher quality. In particular, poorer people are more vulnerable to higher prices that result from a lack of competition in these industries, as they tend to spend a higher proportion of their income on essential goods and services than wealthier people.\textsuperscript{34}
Price Regulation and Stabilisation
The Chinese government regards competition law as part of the legal system that regulates prices, maintains price stability, and curbs inflation.\textsuperscript{35} In turn, price regulation and competition enforcement serve the needs of macroeconomic regulation and control.\textsuperscript{36}
As China’s economy has shifted from being a planned to a socialist market economy where the market plays a decisive role in allocating resources, the government’s role in the economy has also changed. The government determined the prices of all products under the previous planned economy. In contrast, under the current socialist market economy, less than five percent of the total retail sales of consumer goods are either guided or pre-determined by the government.\textsuperscript{37}
However, this shift to market prices does not mean that the government has no pricing-related role in the market. Rather, the government has changed its function to one of supervision and regulation of pricing conduct \textit{ex post}.\textsuperscript{38} Competition law is a law that the government can apply to carry out this price supervision and regulation role.
The relationship between competition law and the pricing regulation system is reflected in the fact that the National Development Reform Commission (NDRC) is one of the three competition agencies in China.\textsuperscript{39} The NDRC’s AML enforcement role is price-specific, as it is responsible for enforcing the AML to address price-related non-merger conduct. In addition to being a competition agency, the NDRC is also responsible for
regulating the prices of certain key commodities and controlling and stabilising the general level of prices under the *Price Law*.\textsuperscript{40}
The department within the NDRC that is responsible for the AML is also responsible for price supervision. The NDRC has made it clear that it believes that its AML’s enforcement activities will strengthen price regulation and maintain the stability of overall price levels.\textsuperscript{41} It will also, in carrying out such work, consider matters such as new economic development strategies and challenges, innovation, social equality, and the development of the socialist market economy.\textsuperscript{42}
**Competition Enforcement and Promotion of Sustainable Development**
In the six and a half years since the AML has been in operation, the Chinese competition agencies have taken enforcement action across a variety of industries and against both small domestic businesses and larger, multinational companies. As of December 31, 2015, more than 1300 mergers have been reviewed, and an overwhelming majority of those mergers were approved unconditionally (1276 mergers, 97.85 percent), two mergers prohibited (0.15 percent), and 26 mergers conditionally approved (1.99 percent). Nearly 100 investigations or decisions relating to anticompetitive agreements, abuse of dominance behavior, and abuses of administrative power have been made.\textsuperscript{43}
There is broad recognition that the Chinese competition agencies have made great improvements in their enforcement capabilities and practice in the past six years, although some commentators have criticised the Chinese competition agencies for unfairly targeting foreign companies and not conducting their investigations and reviews with sufficient due process and transparency.\textsuperscript{44}
An examination of the AML enforcement activity to date reveals some enforcement priorities and patterns that suggest that the Chinese competition agencies are enforcing the AML in a manner that not only addresses concerns about anticompetitive conduct but also helps promote and achieve the sustainable development related goals.
**Innovation and Innovation-driven Development**
Several enforcement investigations and decisions demonstrate that the Chinese competition agencies are using the AML to address issues relating to intellectual property rights (IPRs). The AML applies to the anticompetitive abuse of IPRs to eliminate or restrict market
competition, which might fall under the prohibition of anticompetitive agreements, abuses of dominance, or anticompetitive mergers.
In the merger context, the Ministry of Commerce (MOFCOM, which is responsible for merger enforcement under the AML) has looked at issues relating to IPR licencing in its reviews of Google’s acquisition of Motorola Mobility, Microsoft’s purchase of Nokia’s Devices and Sales business, and most recently, Nokia’s acquisition of Alcatel-Lucent.
These transactions occurred in communications and technology-related markets, where the main barrier to entry is access to IPRs. The merging parties in each transaction owned a number of key IPRs. In Google/Motorola Mobility and Microsoft/Nokia Devices and Sales, the IPRs in question related to smartphone manufacture and smartphone operating systems, whereas in Nokia/Alcatel-Lucent, the merging parties held communications technology standard essential patents (SEPs).
In each case, the MOFCOM was concerned about the ability of smartphone manufacturers and other downstream businesses to obtain IPR licences. As IPRs are essential for entry into the relevant markets, refusal to grant licenses for these IPRs could harm competition.
A related concern was whether licensees would be able to resist or counter increases in or high licencing fees. To address its concerns, in both the Google/Motorola Mobility and Microsoft/Nokia Devices and Sales transactions, as condition to its approval, the MOFCOM required the merging parties to, inter alia, provide access to certain categories of IPRs on a fair, reasonable, and non-discriminatory (FRAND) basis and maintain existing licencing practices for some other types of IPRs.
Additionally, the MOFCOM required that Microsoft not increase its licencing fees on specific non-SEPs for eight years. In the Nokia/Alcatel Lucent acquisition, the MOFCOM required that Nokia confirm that it would not seek injunctions to prevent the use of SEPs granted on a FRAND basis and to make certain commitments to its licencees and potential licencees in China when transferring a SEP to a third party.
Similarly, IPR licencing fees and practices were the subject of the NDRC’s investigations of Qualcomm and InterDigital. Both companies hold SEPs for wireless communication standards. The NDRC was concerned that the companies had acted anticompetitively by, inter alia, charging unfairly high licencing fees, bundling the licencing of non-SEPs to SEPs, and requiring their Chinese licencees to cross licence their relevant patents free of charge. In both cases, the companies offered commitments to address these concerns. They each committed to not tie the licensing of SEPs with non-SEPs and to not require Chinese licencees cross licence their patents free of charge.
Qualcomm also stated that it would charge patent royalties based on 65 percent of the net wholesale price for smartphones sold in China (which represents a reduction in its royalty rate) and adopt a rectification plan to change some of its business practices in China and satisfy the NDRC’s decision.\textsuperscript{52} InterDigital also made a commitment to not charge discriminatory and high licensing fees to Chinese businesses.
In addition to undertaking investigations, the Chinese competition agencies have specifically considered IPR-related issues in their implementing regulations. In April 2015, the State Administration for Industry and Commerce (SAIC, which is responsible for non-price related non-merger conduct under the AML) issued regulations on the anticompetitive abuse of IPRs,\textsuperscript{53} which took nearly six years to prepare. Just two months later, the Chinese government announced that an antitrust guideline on the anticompetitive abuse of IPRs would be prepared by the NDRC and adopted by the Anti-Monopoly Commission (AMC).\textsuperscript{54}
The AMC is a cross-ministry body that sits under the State Council and was established to organise, coordinate and guide China’s competition policy.\textsuperscript{55} The fact that the AMC, rather than the Chinese competition agencies individually, will promulgate this guideline shows the importance attached to this issue by the Chinese government. Unlike the SAIC’s IPR regulation, which is adopted only by the SAIC and not binding on the other Chinese competition agencies, once adopted by the AMC, the antitrust guideline will bind all three competition agencies. Further, the IPR antitrust guideline will be only the second regulation adopted by the AMC,\textsuperscript{56} reflecting its significance.
The Chinese competition agencies’ concern about IPR-related matters fits in with the Chinese government’s emphasis on innovation and innovation-driven development. IPRs are essential to innovation and technological advancement, and the anticompetitive abuse of IPRs stifles innovation.\textsuperscript{57} High IPR licencing fees are also thought to be not conducive to encouraging investment in research and development or the sustainable development of businesses.\textsuperscript{58} Reflecting this view, in March 2015, the head of the Price Supervision and Anti-monopoly Bureau at the NDRC (the department within the NDRC responsible for AML matters) stated that abuse of IPRs will be the next major focus of its enforcement activities.\textsuperscript{59}
Moreover, it is not surprising that the competition agencies’ IPR-related enquiries have involved the telecommunications industry. Mobile communications is part of the new generation information technology industry, which was designated a new strategic industry that would be developed vigorously by the Chinese government in the Twelfth FiveChina is also the world’s largest producer and consumer of smartphones.\textsuperscript{61}
The ability of Chinese smartphone manufacturers to obtain relevant IPR licenses, the level of IPR licencing fees (the cost of which may ultimately be borne by Chinese consumers), and licencing practices of IPR holders will influence China’s ability to develop this strategic industry. These AML enforcement actions relating to IPR, however, have attracted some controversy, as there is speculation and concern that the AML is being used to reduce royalty payments and obtain better terms and conditions, bargaining power, and competitive advantage for Chinese licencees, and that the rights of IPR holders are being curtailed.\textsuperscript{62}
**People’s Well-being and Livelihood**
The substantial majority of competition enforcement activity has occurred in sectors where people purchase goods and services, such as food and beverages, public utilities, information technology and telecommunications, health, automobiles and after-sales services, transportation, and other consumer goods. Such industries are important for people’s wellbeing and livelihood as they relate to essential goods and services or people’s day-to-day activities. This is consistent with the stated enforcement priorities of the Chinese competition agencies.
In particular, the SAIC and the NDRC have targeted cartels relating to materials used in the construction sector. The construction sector is vital to China’s sustainable development. In China’s first official urbanisation plan issued in 2014, the Chinese government stated that urbanisation will drive sustainable and healthy economic growth in China, and it aims to have 60 percent of its population living in urban areas by 2020 (as compared to 53.7 percent in 2014).\textsuperscript{63}
As such, the Chinese government, together with the private sector, has invested, and is continuing to invest, heavily in urban infrastructure such as housing, transportation networks, and public utilities.\textsuperscript{64} One of the guiding principles of China’s urbanisation plan is the decisive role of the market in resource allocation.\textsuperscript{65} The enforcement of the AML to remove anticompetitive conduct in the construction sector is consistent with China’s urbanisation and sustainable development aims.
Further, the construction industry impacts people’s wellbeing and livelihood. In addition to building public infrastructure and services that will be accessed by the public, the construction industry is a large employer, especially of migrant workers who are typically poor, from rural areas, and leave their hometowns to work in other places for a majority of the
year. In 2013, the total number of such migrant workers in China was 166.10 million,\textsuperscript{66} and it was reported that one in five migrant workers worked in the construction industry.\textsuperscript{67}
**Price Regulation and Stabilisation**
A number of the NDRC’s investigations and decisions reflect the view that the AML and the \textit{Price Law} are part of a suite of laws that helps it regulate and supervise prices. The NDRC has relied on the AML and the \textit{Price Law} simultaneously to investigate and sanction price-related conduct, especially in the early years of AML enforcement. Such investigations include a rice noodle cartel in Guangxi Province,\textsuperscript{68} a paperboard cartel in Zhejiang Province,\textsuperscript{69} pricing conduct in the tourism industry in Hainan Province and Yunnan Province,\textsuperscript{70} minimum shipping fees in the courier industry in Xiamen,\textsuperscript{71} and pre-delivery inspection fees in the automobile industry in Wuhan.\textsuperscript{72}
Further, more recently the NDRC has enforced the AML to address its concerns about pricing, independent of the \textit{Price Law}, in a manner that is consistent with serving the macroeconomic control of the state. In the past couple of years, it appears that the NDRC has started to use the AML as an alternative to using interventionist or non-legal measures to carry out its price supervision role. Generally, the NDRC tends to promote the use of direct government intervention to address problems.\textsuperscript{73} This is not unusual, given its history as the price-setting and economic planning authority under the planned economy. Typical measures used include freezing prices, restricting exports, or directly asking companies not to increase their prices.\textsuperscript{74} In 2011, for example, the NDRC took such measures to help it control the prices of instant noodles, cooking oil, pork, flour, soap, detergent, washing powder, and shampoo products.\textsuperscript{75}
The NDRC’s propensity for intervention might be changing, as it seems to be increasingly relying on the AML to address pricing issues. For example, since 2008, the price of imported infant formula has increased substantially (reportedly by more than 30 percent) and imported infant formula has been in short supply.\textsuperscript{76} The NDRC had, for the first few years, used interventionist approaches to address these issues, however they were ineffective in preventing the price of foreign infant formula from rising.\textsuperscript{77}
The NDRC subsequently initiated an AML investigation into infant formula producers in March 2013.\textsuperscript{78} In contrast to its previous interventionist efforts, this investigation resulted in some of the investigated infant formula producers committing to reducing prices even before the NDRC’s decision was handed down.\textsuperscript{79} The NDRC claims that its AML
investigation resulted in the nine investigated infant formula producers lowering their prices by more than RMB 2.4 billion in total.\textsuperscript{80} The NDRC took a similar approach in 2014 to address concerns about the high prices of imported and foreign branded cars and auto parts in China and investigated a number of foreign car manufacturers and their local dealers for potentially breaching the AML.\textsuperscript{81} A range of car manufacturers very quickly reduced their prices in response to the AML investigation.\textsuperscript{82}
\section*{Conclusion}
Whilst the Chinese government recognises that competition law and policy helps to promote and maintain competition and achieve better outcomes for consumers, competition law and policy sits firmly within the government’s broader reform and development agenda. The Chinese government and the competition agencies expressly link competition law and policy with China’s sustainable development goals, and much of competition law discourse in China is focused on the role of competition law in helping to improve people’s wellbeing and livelihood, promote the pursuit of innovation by businesses, and regulate and supervise prices, with a view to macroeconomic regulation and control. This narrative of competition law and policy is corroborated by the enforcement actions taken by the competition agencies, as these sustainable development objectives are reflected in the investigations and outcomes that have been pursued by the competition agencies to date.
With this in mind, given the association between competition law and policy and the Chinese government’s development and reform strategies, the future development and direction of competition law, policy, and enforcement in China may adapt and fluctuate with changes in China’s development and reform priorities or as the structure of China’s economy changes. The upcoming release of China’s Thirteenth Five-Year Plan, for example, will not only provide detail about China’s development priorities over the next five years but also shed light on the development of Chinese competition law, policy and practice in the near future.
Endnotes
1 Xiaolu Wang and Wing Thye Woo, ‘The Size and Distribution of Hidden Household Income in China’ (2011) 10(1) *Asian Economic Papers* 1, 2.
2 Martin Ravallion, ‘A Comparative Perspective on Poverty Reduction in Brazil, China, and India’ (2011) 26(1) *The World Bank Research Observer* 71, 73.
3 ‘China Gini Coefficient at 0.474 in 2012’, *Xinhua*, 18 January 2013 <http://news.xinhuanet.com/english/china/2013-01/18/c_132111927.htm>; Sharon Chen, ‘China’s Income Inequality Surpasses US, Posing Risk for Xi’, *Bloomberg*, 29 April 2014 <http://www.bloomberg.com/news/articles/2014-04-28/gap-between-rich-poor-worse-in-china-than-in-u-s-study-shows>.
4 The World Bank and the Development Research Centre of the State Council, the People’s Republic of China, *China 2030: Building a Modern, Harmonious, and Creative Society* (The World Bank, 2013) 233.
5 ‘The People’s Republic of China National Report on Sustainable Development’ (Government of China, June 2012) <http://download.china.cn/en/pdf/development2.pdf> 7–8.
6 *Anti-Monopoly Law of the People’s Republic of China* (People’s Republic of China) Standing Committee of the National People’s Congress, 30 August 2007 (‘AML’).
7 *AML* ch 2.
8 *Ibid* ch 3.
9 *Ibid* ch 4.
10 *Ibid* ch 5.
11 *Speech Excerpts: Draft of the Anti-Monopoly Law*, 22nd Session of the Tenth Standing Committee of the National People’s Congress, 27 June 2006 (*‘Speech Excerpts’*); Dai Yan, ‘Making of Anti-Trust Law is Speeded Up’, *China Daily* (online), 28 October 2004 <http://www.chinadaily.com.cn/english/doc/2004-10/28/content_386300.htm>.
12 *Constitution of the People’s Republic of China* art 15, as amended by *Amendments to the Constitution of the People’s Republic of China* (People’s Republic of China) Standing Committee of the National People’s Congress, 29 March 1993, art 7; *Decision on Issues Concerning the Establishment of a Socialist Market Economic Structure* (People’s Republic of China) Third Plenum of the Fourteenth Party Congress of the Chinese Communist Party, 14 November 1993; ‘Important Legislation’, *China Daily* (online), 26 June 2006 <http://www.chinadaily.com.cn/cndy/2006-06/26/content_625431.htm>; Ming Shang, ‘Antitrust in China—a Constantly Evolving Subject’ (2009) 3(1) *Competition Law International* 4, 4.
13 *AML* art 1.
14 *An Explanation of China’s Anti-Monopoly Law (Draft)*, 22nd Session of the Standing Committee of the Tenth National People’s Congress, 24 June 2006 (*‘Explanation of AML Draft’*); *Speech Excerpts*, above n 11; Shang, above n 12, 4; *Some Opinions on Promoting Fair Market Competition and Maintaining Normal Market Order* (People’s Republic of China) State Council, Order No 20, 8 July 2014, art 11.
Explanation of AML Draft, above n 14; Speech Excerpts, above n 11.
Ibid
Jiang Guocheng, ‘Director-General of the NDRC Price Supervision and Anti-Monopoly Bureau Talks About Anti-Price Monopoly’, *Xinhua*, 4 August 2013 <http://news.xinhuanet.com/fortune/2013-08/04/c_116803129.htm>.
Report of the Law Committee of the National People’s Congress on the Revision of the Anti-Monopoly Law of the People’s Republic of China (Draft), 28th Session of the Standing Committee of the Tenth National People’s Congress, 24 June 2007.
Article 4 of the AML provides that the state ‘establishes and implements competition rules that are compatible with the socialist market economy, strengthens and perfects macroeconomic supervision and control, and develops a unified, open, competitive and orderly market system’.
Serve the Public, Serve Development (National Development and Reform Commission, 21 April 2015) <http://www.ndrc.gov.cn/xwzx/xwfb/201504/t20150421_688874.html> (‘Serve the Public, Serve Development’); Economic Law Division of the Legal Affairs Commission of the Standing Committee of the National People’s Congress, *The Anti-Monopoly Law of the People’s Republic of China: Explanation of the Provisions, Legislative Reasons, and Related Regulations* (Peking University Press, 2007) 15.
Jiang Zemin, *Report of Jiang Zemin at the Meeting of the Fourteenth National Congress of the Communist Party of China* (12 October 1992) <http://news.xinhuanet.com/ziliao/2003-01/20/content_697148.htm>; Decision of the Central Committee of the Communist Party of China on Some Major Issues Concerning Comprehensively Deepening Reform (People’s Republic of China) Third Plenary Session of the 18th Central Committee of the Communist Party of China, 12 November 2013 (‘Third Plenum Decision’); Xi Jinping, *An Explanation of “Decision of the Central Committee of the Communist Party of China on Some Major Issues Concerning Comprehensively Deepening Reform”*, Third Plenary Session of the 18th Central Committee of the Communist Party of China, 15 November 2013.
Xu Kunlin, ‘Gradually Establishing the Fundamental Status of Competition Policy’ [2015](2) *International Antitrust Bulletin* 12, 12–13; Yu Lan and Zhou Rui, ‘Breakthrough Developments in Anti-Price Monopoly in China, Already Investigated 49 Cases’, *China News Online*, 1 April 2013 <http://finance.chinanews.com/cj/2013/01-04/4434595.shtml>.
Some Opinions on Accelerating the Implementation of the Innovation-Driven Development Strategy Through Strengthening Institutional Reforms (People’s Republic of China) Central Committee of the Communist Party of China and the State Council, 13 March 2015 (‘Innovation-Driven Development Strategy’); ‘State Council Policy Briefing’ (State Council Information Office, 27 March 2015) <http://english.gov.cn/news/policy_briefings/2015/03/27/content_281475078591808.htm>.
Outline of the National Medium- and Long-Term Plan for the Development of Science and Technology (2006–2020)” (People’s Republic of China) State Council, 9 February 2006 (‘Science and Technology Plan’); ‘OECD Review of Innovation Policy: China’ (Organisation for Economic Co-operation and Development and the Chinese Ministry of Science and Technology, 2007) 12 (‘OECD Review of Innovation Policy’); Sylvia Schwaag Serger and Magnus Breidine, ‘China’s Fifteen-Year Plan for Science and Technology: An Assessment’ (2007) 4 *Asia Policy* 135.
24 *Science and Technology Plan*, above n 23.
25 *Third Plenum Decision*, above n 20.
26 *Innovation-Driven Development Strategy*, above n 22.
27 ‘Xi Jinping: Grasp the Opportunity to Take Advantage of the Positive, Planning the Thirteenth Five-Year Economic and Social Development Plan’, *Xinhua*, 28 May 2015 <http://news.xinhuanet.com/politics/2015-05/28/c_1115442717.htm>; ‘Spotlight: China’s Five-Year Plan Offers Model of Sustainable, Balanced Development’, *China Daily*, 9 November 2015 <http://news.xinhuanet.com/english/2015-11/09/c_134797917.htm>.
28 *Outline of the 12th Five-Year Plan for National Economic and Social Development* (People’s Republic of China) National People’s Congress, 14 March 2011, ch 2 (*Twelfth Five-Year Plan*).
29 *Science and Technology Plan*, above n 23, ch 2 art 1.
30 Ibid; *OECD Review of Innovation Policy*, above n 23; Serger and Breidne, above n 23.
31 *Science and Technology Plan*, above n 23, ch 1 art 1; *OECD Review of Innovation Policy*, above n 23, 34.
32 See, eg, Zhang Xiaosong, ‘Cases Are Increasing Each Year, Emphasis to be on Sectors Related to the People’s Livelihood—SAIC Deputy Director Sun Hongzhi Talks About the Investigation of Cases in the Five Years of Implementing the Anti-Monopoly Law’, *Xinhua*, 29 July 2013 <http://www.gov.cn/itzzg/2013-07/29/content_2457600.htm>; Zhang Xiaosong, ‘SAIC Determines the Focus of Market Regulation in 2014’, *Xinhua*, 26 December 2013 <http://news.xinhuanet.com/fortune/2013-12/26/c_118723349.htm>; Wang Yejun, ‘Aviation, Automobile, Telecommunications, and Pharmaceutical Included Within the NDRC’s Anti-Monopoly Field of Vision’, *Beijing Business Today*, 25 November 2013 <http://www.bbttnews.com.cn/news/2013-11/25000000103090.shtml>.
33 Ma Lihong, ‘Xu Kunlin: Anti-Monopoly Maintains Market Competition Order and Protects the Public Interest’, *Economy*, 27 September 2013 <http://www.jingji.com.cn/ebook/paper.asp?Aid=13781&Fid=78>.
34 Secretariat of the Organisation for Economic Co-operation and Development, ‘Background Note’ (DAF/COMP/Gf(2013)12, OECD Global Forum on Competition Roundtable on Competition and Poverty Reduction, February 2013) 10.
35 Li Lei, *Lessons Learned, the Future, and Creating a New Situation to Stop Price Monopoly* (22 July 2008) National Development and Reform Commission <http://www.sdpc.gov.cn/fzgggz/jggl/zhdr/200808/t20080829_248411.html>; *Insist on Progress Whilst Maintaining Stability, Committed to Reform and Innovation, Promote Sustained and Healthy Development of the Economy and a Harmonious and Stable Society—National Development and Reform Commission Work Conference Held in Beijing* (15 December 2013) National Development and Reform Commission <http://www.sdpc.gov.cn/xwzx/swfb/201312/t20131215_570441.html> (‘NDRC 2013 Work Conference’).
36 *Serve the Public, Serve Development*, above n 19.
37 Xu Kunlin, ‘Handling Five Relationships in Price Supervision and Regulation’ [2015](2) *International Antitrust Bulletin* 16, 17–18.
38 *Serve the Public, Serve Development*, above n 19.
39 Mao Yingying, ‘The New Plan of Responsibilities, Organisations, and Head Counts Has Been Approved, the “Three Carriages” of Anti-Monopoly Law Officially Formed’, *Beijing Daily*, 24 August 2008 <http://www.ce.cn/xwzx/gnsz/gdxw/200808/24/t20080824_16592755.shtml>.
The other two competition agencies are the Ministry of Commerce (‘MOFCOM’) and the State Administration for Industry and Commerce (‘SAIC’).
40 *Price Law of the People’s Republic of China* (People’s Republic of China) Standing Committee of the National People’s Congress, 29 December 1997, arts 18, 26. The pricing related responsibilities of the NDRC reflect its historical background as the successor body to the State Planning Commission, which was the government body that was responsible for managing the planned economy and price control prior to 1978; ‘OECD Reviews of Regulatory Reform: China: Defining the Boundary between the Market and the State’ (Organisation for Economic Co-Operation and Development, 2009) 96; Nathan Bush and Yue Bo, ‘Adding Antitrust to NDRC’s Arsenal’ (2011) 2(2) *CPI Antitrust Chronicle* 1, 2.
41 See, eg, *NDRC 2013 Work Conference*, above n 35.
42 *Serve the Public, Serve Development*, above n 19.
43 Based on official decisions, press releases, notices, and other information released by the Chinese competition agencies on AML enforcement activity.
44 See, eg, US Chamber of Commerce, ‘Competing Interests in China’s Competition Law Enforcement: China’s Anti-Monopoly Law Application and the Role of Industrial Policy’ (September 2014) <https://www.uschamber.com/report/competing-interests-chinas-competition-law-enforcement-chinas-anti-monopoly-law-application>; The US-China Business Council, ‘Competition Policy and Enforcement in China’ (September 2014) <https://www.uschina.org/reports/competition-policy-and-enforcement-china>; The European Union Chamber of Commerce in China, ‘European Chamber Releases Statement on China AML-Related Investigations’ (Press Release, 13 August 2014) <http://www.europeanchamber.com.cn/en/press-releases/2132/european_chamber_releases_statement_on_china_aml_related_investigations>.
Although it is beyond the scope of this paper to examine the merits of such complaints and concerns, it should be mentioned that the Chinese competition agencies, especially the MOFCOM, are working to address some of these concerns. For example, in response to complaints made by practitioners and businesses about the delays associated with merger review, in April 2014 the MOFCOM implemented an expedited review process for mergers that do not raise substantial competition concerns, which has substantially reduced the amount of time it takes for the MOFCOM to review and approve mergers in a majority of cases. The Chinese competition agencies have also taken steps to improve transparency by providing more information about their decisions and additional guidance on enforcement practices. For example, the NDRC is currently preparing six antitrust guidelines, covering issues such as intellectual property rights, leniency, and the calculation of fines. These guidelines, once finalised, will apply to all three competition agencies and should improve enforcement consistency across the agencies.
45 AML art 55.
46 *Promote Competition and Innovation to Create a Good Market Environment, Interpretation of the Regulation on the Prohibition of Conduct Eliminating or Restricting Competition Through the Abuse of Intellectual Property Rights* (3
August 2015) State Administration for Industry and Commerce <http://www.saic.gov.cn/fldyfbzdjjzzcfg/201508/t20150803_159661.html>.
47 Announcement of the Decision Pursuant to Anti-Monopoly Review of Concentrations Between Business Operators to Impose Restrictive Conditions to the Approval of Google’s Acquisition of Motorola Mobility (People’s Republic of China) Ministry of Commerce, Order No 25, 19 May 2012.
48 Announcement of the Decision Pursuant to Anti-Monopoly Review of Concentrations Between Business Operators to Impose Restrictive Conditions to the Approval of Microsoft’s Acquisition of Nokia’s Devices and Sales Business (People’s Republic of China) Ministry of Commerce, Order No 24, 8 April 2014 ('Microsoft/Nokia Devices and Sales').
49 Announcement of the Decision Pursuant to Anti-Monopoly Review of Concentrations Between Business Operators to Impose Restrictive Conditions to the Approval of Nokia’s Acquisition of Shares in Alcatel-Lucent (People’s Republic of China) Ministry of Commerce, Order No 44, 19 October 2015.
50 Administrative Penalty Decision (People’s Republic of China) National Development and Reform Commission, Order No 1, 9 February 2015.
51 National Development and Investment Commission Suspends its Investigation of InterDigital for Suspected Price-related Anticompetitive Conduct (22 May 2014) National Development and Reform Commission <http://www.ndrc.gov.cn/xwzx/xwfb/201405/t20140522_612465.html>.
52 Qualcomm, ‘Qualcomm and China’s National Development and Reform Commission Reach Resolution’ (Press Release, 10 February 2015) <https://www.qualcomm.com/news/releases/2015/02/09/qualcomm-and-chinas-national-development-and-reform-commission-reach>.
In addition, Qualcomm was fined more than RMB 6 billion (equal to 8% of its sales in China in 2013) for abusing its dominance. In contrast, the investigation into InterDigital was suspended.
53 Regulation on the Prohibition of Conduct Eliminating or Restricting Competition Through the Abuse of Intellectual Property Rights (People’s Republic of China) State Administration for Industry and Commerce, Order No 74, 7 April 2015.
54 ‘Drafting Work Begins on Drafting Auto Industry Antitrust Guidelines, Preliminary Draft in One Year’, Economic Information Daily, 18 June 2015 <http://news.xinhuanet.com/finance/2015-06/18/c_127928081.htm>.
55 Notice of the General Office of the State Council on the Primary Duties and Composition of the Anti-Monopoly Commission of the State Council (People’s Republic of China) State Council, Order No 104, 28 July 2008.
56 To date, the AMC has adopted only one regulation, which is a guideline on relevant market definition, despite the fact that the Chinese competition agencies have each adopted a range of implementing regulations.
57 State Administration for Industry and Commerce, above n 46.
58 Microsoft/Nokia Devices and Sales, above n 48.
59 Lin Yun, ‘The New Target of Anti-Monopoly Enforcement: Abuse of Intellectual Property Rights’, Economic Information Daily, 24 March 2015 <http://jickb.xinhuanet.com/2015-03/24/content_541963.htm>.
60 Twelfth Five-Year Plan, above n 28, ch 10.
61 In 2012, 75% of global sales of smartphone were manufactured in China. In 2013, 320 million smartphones were sold in China, representing 34% of global sales: *Microsoft/Nokia Devices and Sales*, above n 48.
62 See, eg, Michael Martina and Matthew Miller, ‘Qualcomm Faces Prospect of Record Antitrust Fines in China’, *Reuters*, 28 January 2014 <http://www.reuters.com/article/us-qualcomm-china-idUSBREA0S06020140129>; US Chamber of Commerce, above n 44, 62–67.
63 *National New-type Urbanisation Plan (2014–2020)* (People’s Republic of China) Central Committee of the Communist Party of China and the State Council, 16 March 2014 (‘Urbanisation Plan’).
64 The World Bank and the Development Research Center of the State Council, the People’s Republic of China, ‘Urban China: Toward Efficient, Inclusive, and Sustainable Urbanization’ (The World Bank, 2014) 14.
65 *Urbanisation Plan*, above n 63, art 4.
66 *Statistical Communiqué of the People’s Republic of China on the 2013 National Economic and Social Development* (24 February 2014) National Bureau of Statistics of China <http://www.stats.gov.cn/english/PressRelease/201402/t20140224_515103.html>.
67 Esther Fung, ‘China Housing Slump Hits More Than Houses’, *Wall Street Journal* (online), 28 June 2014 <http://www.wsj.com/articles/china-new-home-prices-mark-first-monthly-decline-in-2-years-1403057754>.
68 National Development and Reform Commission, ‘Some Rice Noodle Producers in Nanning and Liuzhou Severely Punished for Coordinated Price Increases’ (News Release, 30 March 2010).
69 National Development and Reform Commission, ‘Zhejiang Province Fuyang City Papermaking Industry Association Organised Business Operators to Reach Price Monopoly Agreement Severely Punished’ (News Release, 4 January 2011).
70 *Case on Yunnan Province Xishuangbanna Tourism Association and Xishuangbanna Travel Agents’ Association Organising Industry Operators to Engage in Monopoly Agreement* (People’s Republic of China) State Administration for Industry and Commerce, Order No 12, 29 July 2013; National Development and Reform Commission, ‘Some Illegal Price-Related Cases that Disrupted the Market Order of the Tourism Market Severely Punished’, (News Release, 29 September 2013).
71 *Hubei Price Bureau Holds Remind and Warn Meeting about Regulating Pricing Conduct in Auto Sales* (13 August 2014) Hubei Provincial Government <http://www.hubei.gov.cn/zwgk/wjfwzl/12358fwtw/qtl/201501/t20150131_615082.shtml>.
72 Fujian Province Price Bureau, ‘Xiamen City Price Department Stops Courier Industry Price Convention’ (News Release, 11 April 2014).
73 Barry Naughton, ‘Since the National People’s Congress: Personnel and Programs of Economic Reform Begin to Emerge’ (2013) 41 *China Leadership Monitor* 1, 2.
74 Zhang Xiangdong, ‘NDRC Has a Request’, *Economic Observer Online*, 30 April 2011 <http://www.eeo.com.cn/eobserver/Politics/beijing_news/2011/04/30/200332.shtml>; Hu Haiyan and Yan Yiqi, ‘Inflation Control vs Market Forces’, *China Daily* (online), 3 June 2011 <http://europe.chinadaily.com.cn/epaper/2011-06/03/content_12636491.htm>; ‘Beijing Uses Leverage on Unilever Over Price
Increases’, *Want China Times* (online), 2 April 2011 <http://www.wantchinatimes.com/news-subclass-cnt.aspx?id=20110402000095&cid=1102> (‘Leverage Over Unilever’); Gordon G Chang, ‘China Imposes Price Controls, Informally’, *Forbes* (online) 8 May 2011 <http://www.forbes.com/sites/gordonchang/2011/05/08/china-imposes-price-controls-informally>. See also Barry Naughton, ‘Inflation, Welfare, and the Political Business Cycle’ (2011) 35 *China Leadership Monitor* 1, 3–4.
75 Zhang, above n 74; Hu and Yan, above n 74; *Leverage Over Unilever*, above n 74; Chang, above n above n 74; ‘NDRC, Master Kong, and Unilever Delay Price Increases’, *Caijing*, 1 April 2011 <http://www.caijing.com.cn/2011-04-01/110680850.html>.
76 Mimi Lau, ‘Probe Puts Foreign Milk Powder Prices in Spotlight’, *South China Morning Post* (online), 13 July 2013 <http://www.scmp.com/business/companies/article/1281387/probe-puts-foreign-milk-powder-prices-spotlight>; Edward Wong, ‘Chinese Search for Infant Formula Goes Global’, *New York Times* (online), 25 July 2013 <http://www.nytimes.com/2013/07/26/world/asia/chinas-search-for-infant-formula-goes-global.html>.
77 ‘Wyeth and Abbott Increase Prices by 10%, Many Brands Do Not Follow Suit’, *Economic Observer Online*, 5 July 2011 <http://www.eco.com.cn/2011/0705/205356.shtml>.
78 National Development and Reform Commission, ‘Biostime and Other Infant Formula Producers Restricted Competition and Violated the Anti-Monopoly Law, Fined a Total of RMB 668.73m’ (News Release, 7 August 2013) <http://www.ndrc.gov.cn/xwzx/xwfb/201308/t20130807_552991.html>.
79 ‘2 Infant Formula Makers to Cut Prices After China Starts an Investigation’, *New York Times* (online), 4 July 2013 <http://www.nytimes.com/2013/07/05/business/global/2-companies-to-cut-price-of-infant-formula-after-chinese-inquiry.html>; Louise Lucas, ‘Baby Milk Makers Slash Prices in Bow to Beijing Regulators’, *Financial Times* (online), 3 July 2013 <http://www.ft.com/intl/cms/s/0/9403e75ee3f-11e2-b35b-00144feabdc0.html#axzz3l6ZEAeVev>.
80 National Development and Reform Commission, ‘Price Control Targets Successfully Reached, Price Reform and Supervision Work Has Achieved Positive Results’ (News Release, 24 January 2014) <http://www.sdpc.gov.cn/xwzx/xwfb/201401/t20140124_576928.html>.
81 NDRC *Holds a Press Conference on Developing and Promoting the Structural Upgrade of Producer Service Industries* (6 August 2014) National Development and Reform Commission Press Conferences <http://www.china.com.cn/zhibo/2014-08/06/content_33139708.htm>.
82 Li Fangfang and Li Fusheng, ‘Automakers Lower Prices Following Monopoly Concerns’, *China Daily* (online), 29 July 2014 <http://usa.chinadaily.com.cn/epaper/2014-07/29/content_18206559.htm>; Samuel Shen and Pete Sweeney, ‘Japanese Car Makers Cut Parts Prices in China After Anti-Monopoly Probe’, *Reuters* (online), 9 August 2014 <http://www.reuters.com/article/2014/08/09/us-china-autos-antitrust-idUSKBN0G9OH520140809>.
For further discussion, see Wendy Ng, ‘The Independence of Chinese Competition Agencies and the Impact on Competition Enforcement in China’ (Journal of Antitrust Enforcement, 2015).
Contributions to Inclusive Economic Growth in Argentina
Integrating Design, Marketing and Entrepreneurship for Local Development in Buenos Aires Province
Federico Del Giorgio Solfa and María Sol Sierra
National University of La Plata; Scientific Research Commission of Buenos Aires Province & National University of Lomas de Zamora Argentina
Abstract
This work aims to study strategies used in Argentine local development experiences, focussing on industrial design, marketing and entrepreneurship. In order to this purpose, backgrounds are analysed with this approach adding the study of three strategic plans for national and provincial-level that are currently in force. With the analysis of the transport system in the last decade, an accelerated cost increase is evident, resulting in a relatively higher price of distributed products. This situation that was initially perceived as a disadvantage finally set up an opportunity to produce locally.
The goal of this paper is to provide tools that contribute to the work shipped by key institutions for local development (public, private and intermediary organisations), and the way these interact with the actors and the territory. In particular, the identification of productive sectors and the selection of goods that can be produced and consumed locally, as a key input for the formulation of projects.
Introduction
The initiative inscribed as the zero step of the Improvement Scholarship project (Call 2014) of Technological Research Commission of the Province of Buenos Aires (CIC-PBA), has been evaluated successfully. The approach comprises the integration of design, marketing and entrepreneurship as an effective methodology for contribution to the local development in small villages.
Overall, the supplies considered are: 1. Strategic Industrial Plan 20 20 (PEI)\(^1\); 2. Federal and Participative Agri-food and Agribusiness Strategic Plan 2010-2016 (PEA2)\(^2\); and 3. Strategic Productive Plan Buenos Aires 2020 (PEPBA)\(^3\). These strategic plans constitute the main political guidelines for national and provincial productive development.
The focus will be on strategies that allow to capitalise locally: territorial potentialities (endogenous) and exogenous favourable conditions, which comes from the national and sub-national context. Leading with this a local growth with development, this last one defined as territorial equity, social inclusion and environmental sustainability (Arocena, 2002).
Context and Industrial Policies
In Argentina, after the conclusion of the last military process, happened between 1976 and 1983, a democratic cycle began. In it, successive institutional and political transformations called ‘first generation’ ones (related to human rights, new rights began and guarantees democracy under the rule of law) were experienced.
In the early 90s the called ‘second generation’ reforms were performed, driving the transformation of the state (affecting the operation of the market economy, opening the domestic market, privatisation, integration into the global world currency stability). It emerged with this a dynamic model that initially resulted in the deepening of the economic policy implemented by the military dictatorship (Azhiazu, 1994).
The change in external conditions, exhibited a strong vulnerability, generating more external and internal (social) debt, unprecedented levels of exclusion and growing social inequality.
In this context, a crisis occurred in 2001 that triggered the resignation of President Fernando de la Rúa, and presented a context of political and social instability. He was followed by transitional President Eduardo Duhalde, who transformed the government’s agenda, selecting problems and popular demands.
In this context, was implemented one of the first programmes aimed at developing the social economy and solidarity, the National Plan for Local Development and Social Economy Manos a la Obra (PMO)\textsuperscript{4}: for the first time lines of work are set at national-level for recovering companies in the hands of their workers and aiming at strengthening local development (Srnc, 2009).
Thus began a tradition in socio-productive policies in Argentina, away from the welfare practice of the previous decade, foregrounding the local development and strengthening local power, the participation of citizens, nurturing ties between actors (\textit{Ibíd.}). We identify actors as agents capable of producing changes in the territory. These can be individual or collective, of public, private or mixed type. Individual actors are workers, professionals, entrepreneurs, investors, etc.; while with collective actors refers to states, governments, businesses and Non-government Organisations (NGOs).
Cravacuore (2005) agrees with this, but stresses that at this phase the national government was decentralising the role of planner, giving way to local governments. In this process, these sub national governments were strengthened in this new role, although the actors continue awarding loans to the national-level.
The government of Duhalde was succeeded by the government of Néstor Kirchner and Cristina Fernández de Kirchner, prevalent until today. Pedrazzi (2010) argues that this government deepened measures established by Duhalde, progressing over this structure in the economic, political and social-level with a deepening of the model.
In this framework, was presented the PEA2, which promotes the participation of actors from different sectors in four Federal Councils, 23 spaces for interaction and dialogue between the provinces, 53 Faculties, national and international organisations and over 140 business chambers\textsuperscript{5}.
In 2012, PEI was introduced with the aim of developing eleven industrial production centres in regional forums, with individual and collective actors, institutionally concatenating the nation, provinces, municipalities, public institutions and NGOs articulate collectively the Project (Ministerio de Industria, 2012).
**Logistics and Transportation of Goods**
In the last decade, in a context of economic expansion, the transportation of goods found its highest level of costs (see Figure 7.1). On one hand, a railway system exclusively dedicated to transport commodities, and on the other, a goods transporting system that moves
95 percent of the country’s cargo requirements, increasing (Canitrot & Garcia, 2013).
This situation led to an empowerment of workers and employees of the automotor transport loads sector, who obtained the highest increase in real wages over the last decade: 122 percent\(^6\).
These costs significantly influenced the final price of goods for use and consumption, thereby configuring a stage with greater opportunities for local development.
**Focussing on the Province of Buenos Aires**
Taking as reference the PEI (national plan), in 2013 was agree the PEPBA (provincial plan), which like national plans, promotes among its objectives: increasing productivity and exports, import substitution, reducing unemployment, industrialisation of the primary activities and boost to entrepreneurs and lagging regions by local development\(^7\).
In the area of this province there are currently 87 Local Development Agencies, 15 Project Incubators and six Technological Poles.
Local Development Agencies are mixed public-private organisations that promote local production development and articulate the use of
instruments to support the competitiveness of enterprises, to energise the local production and economic activity (Kosacoff, 2008).
These organisations have the task of designing and implementing a specific territorial strategy, build an agenda of regional territorial issues and seek solutions in a framework of complementarity and public-private commitment. It is for these reasons, that Local Development Agencies can be conformed in all municipalities, according to the territorial scale required (see Figure 7.2).
**Figure 7.2: Geographical Distributions of Local Development Agencies of the Province of Buenos Aires**
*Source: Ministerio de la Producción, Ciencia y Tecnología. http://www.mp.gba.gov.ar/spmm/desarrollo_local/mapaprod/mapa_agencias.php*
Project Incubators are spaces of assistance to promote projects and ideas for sustainable productive enterprises. It is a tool to support the creation of new enterprises, which aims are to strengthen the productive fabric of the region.
Entrepreneur participants in these incubators, get linkages and strategic alliances for the promotion, development, consolidation and/or enhancement of their projects. Incubators also provide services, such as legal advice; physical space for conducting meetings or for the installation of the enterprise; participation in fairs and exhibitions; trade links; fundraising and mentoring business.
In addition, the Direction of Local Productive Development (provincial government), in conjunction with the Innovative Projects Incubator EMTEC, performs transfers methodologies.
From the different local scopes, industrial designers and marketing professional actors can be linked with the nearest incubators to their location, to get advice and support in the early stages of their enterprises. In this manner, incubators increase its outreach to a micro-regional scale.
| Name of the Incubator | Municipality | State |
|----------------------------------------|----------------|-----------|
| EMTEC Innovative Projects Incubator | La Plata | Active |
| FRAY LUIS BELTRÁN Business Incubator | San Martín | Active |
| UNSAM Business Incubator | San Martín | Active |
| Olavarría Incubates | Olavarría | Active |
| Red Gesol | Hurlingham | Active |
| DINÁMINA SE | Tigre | Active |
| INCUEI | Luján | Active |
| Junín Business Incubator | Junín | Active |
| Olmos Undertakes | La Plata | In conformation |
| Coronel Suárez Business Incubator | Coronel Suárez | In conformation |
| INCUTEC | Berazategui | In conformation |
| Gender Incubator | La Plata | In project |
| Bahía Blanca Business Incubator | Bahía Blanca | In project |
| Azul Business Incubator | Azul | In project |
| Center for Development | De la Costa | In project |
*Source: Ministerio de la Producción, Ciencia y Tecnología. [http://www.mp.gba.gov.ar/spmm/desarrollo_local/download/incubadoras_activas.xls](http://www.mp.gba.gov.ar/spmm/desarrollo_local/download/incubadoras_activas.xls)*
Technological Poles (PTs) located in the Province of Buenos Aires, are next to the National Universities, which have careers related to technology. These clusters act as articulators between human resources (scientists and technicians) of universities and the productive system, to develop solutions for the specific needs of each sector.
The PTs allows the development and technological innovation, combining the efforts of small and medium-sized enterprises (SMEs) to enhance their growth, creating jobs and promoting local and regional development\(^8\).
Thus, companies that are linked to a Pole, receive more benefits and possibilities to innovate, than other firms operating independently.
These PT, have the potential to configure productive development models and key business for each area of the Province of Buenos Aires. The holders of the different productive enterprises might eventually attend these centres of research and transfer home their projects, even if they are away from their local areas.
| Table 7.2: Technological Poles of the Buenos Aires Province |
|-------------------------------------------------------------|
| Ubication of the Technological Poles | State |
| 1. Bahía Blanca | Active |
| 2. Junín | Active |
| 3. La Plata | Active |
| 4. Mar del Plata | Active |
| 5. Tandil | Active |
| 6. San Nicolás | In project |
*Source: Ministerio de la Producción, Ciencia y Tecnología. http://www.mp.gba.gov.ar/sppm/desarrollo_local/download/polos_tecnologicos_activos.xls*
Local growth with development does not belong to any specific discipline, began as an interdisciplinary project of socio-economic research, and this is its main strength. Meanwhile, his weakness is that does not have a recognised theoretical framework, but rather its configured by the user, who can supplement it with his discipline (Sforzi, 2007).
In local development, the key is the involvement of civil society organisations in the taking of decisions, when plans for development of a territory are determined (Quetglas, 2008).
According to Cuervo (1999), who see the local field as an opportunity, agree to support their ideas-project in emerging advantages resulting from the valuation of own resources and synergies of growth and welfare, instead of waiting for extra local assistance.
The local development conceived as integrated, allows the system actors of a territory to jointly develop; also, constitutes a challenge to build a more just, prosperous and caring society\(^9\).
Our approach to local development -product of the study of several authors and empirical evidence-, argues that it must be expressed as
territorial equity, social inclusion and environmental sustainability, looking for a local growth with sustainable development (Thomas, 2012).
For Boisier (2001) the local development should be based on social capitalisation of resources and endogenous potentialities of a community or sector, in order to deal with exogenous variables that are unfavourable. Must be taken (social, technical, natural, cultural, institutional and economic) territorial capabilities in order to strengthen common projects, encourage the construction of a territorial identity and achieve social welfare, for the sustained growth of community solidarity.
Regarding emplacement of these policies, local development involves thinking the territory of a particular way: consider a small sector where minimum and indispensable actors manifest, belonging to the same identity portion, sharing a region and common values; achieved this, the territory where it will be project is conformed\textsuperscript{10}.
For a territory interesting from a development perspective, Boisier (2001) defines that it should be organised, that is, having a community with administrative and political regulation, and local identity.
**Actors, Institutions and Territory**
As mentioned before, local actors can be individual or collective. When we refer to collective actors, in the public scope we find: sub-national authorities (municipal, provincial and regional), universities, schools, training institutions, public financial institutions; and in the private sector: commercial chambers, associations, professional councils, financial institutions, workers’ cooperatives, trade unions, private universities, NGOs, etc. These actors in order to be considered locals or territorials must indispensably share a defined spatial location.
To conform the territory where the local development will be projected, must be take a particular place or micro-region, looking at a bare minimum number of actors who share an identity and values (PEA2, PEI, PEPBA).
In this logic, to improve the interaction between the actors and territory different institutional plans are project and create. Strategic plans analysed, aimed at generating agreements among actors at different levels, to achieve a seamless and synergistic interaction.
The policies\textsuperscript{11} share the same goal: that the primary links (producers who process the raw material, entrepreneurs and small businesses), achieve long-term profitability.
In our evaluation with this perspective, we find that as Madoery (2001, p.3) indicates, the social processes in contemporary society are produced
in dynamic, unique and unrepeatable space-time matrixes. Consequently, it’s necessary to re-signify the role of actors – individual and collective, the features of social organisation and the context in which they operate; as the development decisional matrix can no longer be controlled only by state or market mechanisms.
Therefore, we consider that policies should be diagrammed where the involved society participate in the development process, framing it in the respective institutional and cultural environment.
These issues, are not yet precisely delineated on the most recent programmes. In this proposed scheme, we find on the subject of local development a mediating role.
**The Subject of Local Development**
The subject of local development, is the figure of the protagonist and beneficiary of the development process. We say that he acts as a mediator because it has a role of territorial entrepreneur, which collects information from the environment and interact with other agents like entrepreneurs, officials, politicians, incorporating proposals and acting; with the capacity to intervene in key aspects of management (Alberqueque 1999).
Aligned to the idea that local development does not belong to any particular discipline, various technical and professional profiles can assume the leading and militant role in local development processes (Arocena, 2002, p. 137).
Martinez (2010) presents the actors in his development scheme as centrals, clarifying -in line with our observations, that there are certain points where development policies implemented by governments, should be careful in order to really benefit involved. He specifically states that: “The system of promotion of productive activity established, must consider as priority actors the local residents” (translated, Martinez, 2010, p11).
This seeks to ensure that the external human support introduced into the territory, is make after an exhaustive analysis of the limitations of the community. The intervention must have at exclusive and superior aim to improve opportunities for the inhabitants of the territory, and no facilitate the way for companies to invest in communities using low labour cost and taking profits.
Here again we agree with Martínez (2010), that the system should we be careful: if the social net is weak for the development of production projects, programmes should be designed for State intervention to correct this weakness in the ‘places of life’, in instead of replacing local actors by
outsiders, because these almost inexorably will be temporary (Sforzi, 2007, p. 36).
The Role of the State
The role of the State as we advance is relevant and determinant in many cases; acts as a harmoniser and catalyst, articulating public and private plans of the actors.
The PEI, which reflects the current government official proposal for the coming years, expound that public investment made in infrastructure, education, technology and science since 2003, has led to significant progress; but the intention is to deepen that dynamic, incorporating local resources (human, natural and financial) in order to increase investment in the own territory, focussing the search for sustainable development (Ministerio de Industria, 2010).
In this plan 11 industrial production centres are rescued. The objective is to develop regional forums where workers, academics, businessmen, representatives of the Ministries of Finance, Industry and Federal Planning, provincial and municipal governments, meet in a space conducive to articulation of various sectors to realise the re-industrialisation.
This process is organised by working on value chains, composed by all necessary activities to produce a good from its initial conception to delivery to the final consumer. This system emphasises the dynamics of the relationships inter and intra sectorial of the economy.
Thus, the objective of PEI is to achieve competitiveness along each chain and in all productive chains. Specifically, it presents science as a crucial resource and with it an ‘industrialisation of rurality’ in terms of generating an industry upcoming to the location where the resources are generated, that reaches international standards of leadership increasing the competitiveness of the entire value chain (Ministerio de Industria, 2012, p. 273).
In our judgment, to improve the living conditions of a micro-region or small towns in the province of Buenos Aires, at present, the focus should be set on the local production and marketing of goods for use and consumption, pointing to the replacement of extralocal goods (Del Giorgio Solfa & Girotto, 2009).
The Role of Industrial Design
In the context of local development, we conceive the figure of industrial designer in a central position with respect to the articulation between entrepreneurs and users, analysing specific needs, technological and human resources available in the territory, to capitalise efficiently in the design and development of new products (Dean, 2001).
In this case, the industrial designer will focus on executing the steps involved in the process of satisfying the needs of families, the same time as they focus on the replacement of goods produced in other regions of the country.
Along the way, it will connect various disciplines from the local productive system to final recipients of the market (Sierra, 2012).
In this sense, the industrial designer can be configured as an agent of change in productive enterprises, articulating the technical knowledge that will adapt in response to the dynamic needs of the local society (Alburquerque, 1999).
Also, the transfer of product design to entrepreneurs, will seek to promote the autonomy of the different actors, capitalising features of local identity (Garbarini, Delucchi, and Vazquez, 2010).
In these cases, the designer will have the role of identifying which are the regional characteristics that could be manifested in the morphological communication (symbolic), to enhance the products developed\(^{12}\).
It is further displayed the role of manager and organiser of the production system, where the contribution of the design focusses on facilitating technological processes undertake by small manufactures in their change of scale\(^{13}\).
The Role of Marketing
The marketing dimension represented by different technicians and professionals in the field of management and economics, mainly will comprise two processes: 1. Analysis and diagnosis of: value chains; territorial resources; and cost structure and prices of extra local products. 2. Development of marketing plans for local products and services (Cipolla & Manzini, 2009).
The first process will focus on identifying opportunities for local economic development. Therefore, first the main productive chains of the territory will be analysed, selecting those with important processes outside the territory. In them, the external links feasible to be developed in the locally will be recognised.
We believe that the processes of buying goods are more inefficient when local prices exceed the actual prices excessively. In this logic, it will be taking into account the rising price involving no local transport of products.
Can also be identified opportunity among land resources, rescuing particularities of rural, urban and architectural landscape, which will be essential to recognise a potential tourist profile (Girotto & Del Giorgio Solfà, 2009).
In the role incumbent on the second process, in response to the projects generated in the framework of local development, it will be design and implement marketing plans to promote new or existing, local products and services (Simonato, 2009; Del Giorgio Solfà, 2012b).
Some of these strategies promotional product will be aimed at promoting the purchase of local products; others will point to the development of products and services channels –of local production-projected to expand the regional market (Cipolla & Manzini, 2009).
**The Role of Entrepreneurs**
Though the local development approach will allow different actors to become entrepreneurs, can mainly consider two profiles: the social entrepreneur and the business entrepreneur.
The social entrepreneur is a charismatic leader with social acceptance, that committed to the idea of local development, will interact with the other actors adding followers and spreading the benefits and potentialities of the approach (Giordano, 2012).
Instead, the business entrepreneur, attentive to socioeconomic and productive needs, projects action and mobilises resources to generate new business assuming the risks involved\(^{14}\).
In this framework, entrepreneurs in the technology sector are an important perspective for new productive enterprises. Among them we have the technicals and professionals of the areas: agriculture, food, biology, construction, electrical, electro-mechanical, electronic, gastronomy, hospitality, industrial, mechanical, environmental, civil and water works, chemicals, tourism, etc. (Thomas, 2012).
Considering that most of the bonaerenses parties have secondary technical training institutions, they could play a fundamental role in the processes of local development, cooperating further in professional education, aligned to local productive enterprises (Narodowski, 2008).
In this context, then we understand that education can develop skills and contribute to the generation of business initiatives based on negotiation skills, leadership, new product development, creative thinking and technological innovation\(^{15}\).
**Needs and Potentialities of Productive Chains**
In the towns of the province of Buenos Aires, there are needs for goods of use and consumption in reasonable qualities and prices (Quetglas, 2008). Specifically, in small towns that are distant, far from the metropolitan region.
On one hand, we understand that transportation and distribution of certain products manufactured in the Greater Buenos Aires, would produce a deficiency in the processes of acquisition and purchase of the residents of this kind of localities.
This deficiency lies essentially in the high transport costs assumed by the final price of the product, resulting in up to 100 percent more expensive (furnishings large size).
On the other hand, levels of development and innovation in such localities, remains paralysed because of the disarticulation of production systems initiated over two decades ago and whose effects result in lower development opportunities for communities, less employment and emigration to others most dynamic regions (Schorr, 2004).
In this reasoning, we found that the main potentialities are focus on those goods for use and consumption of low complexity that can be produced in the territory. There are a number of furniture goods and consumer products (food, cleaning chemicals), which can be produced or finished there\(^{16}\).
From a provincial perspective, analysing the bonaerenses productive chains, we found that some can be more or less competitive depending on the Sub-space where they are located.
From the provincial policy, the PEPBA highlights the value chains that can enhance local development and value addition at source.
To rate the needs and potentialities of the productive chains, we will take the classification of the PEPBA which, on the basis of the PEI, defines eight Subspaces (see Figure 7.1) and define in each of them the productive chains in which it will base its production plan.
In these subspaces we find among 4 and 11 productive chains, which we will consider overall, although in this paper we focus on the needs and potentialities common to the type of locations that we aim (see Table 7.3).
It can be seen from the analysis of this table that the Buenos Aires production system is varied and displays important coexisting productive chains in its vast territory.
For certain productive chains, the chances of capitalising our comprehensive approach that includes design, marketing and entrepreneurship are greater than others, but in most cases, we found that the PEPBA promotes the incorporation of them in the ranging process of their local development objectives.
Table 7.3: Detail of Existing Productive Chains Existent in each Sub-space, their Needs and Potentialities
| Sub-space | Productive Chain |
|----------------------------|----------------------------------------------------------------------------------|
| South | Petrochemical Complex; Onion; Oiler complex; Sheep. |
| South West | Wheat Flour Mill; Footwear Complex; Emerging Tourism; Apicultural complex; Barley. |
| North West | Oleaginous complex; Textiles; Corn and Poultry. |
| North Est | Metalworking Complex; Autoparts complex; Apicultural complex; Fruit. |
| Capital | Horticulture; Petrochemical Complex; Naval Complex; Software and Computer Services. |
| Coastline | Tourism; Incipient Dairy Complex; Clothes; Naval Complex; Software and Computer Services. |
| Centre | Cattle; Dairy; Swine; Cement; Agricultural Machinery. |
| Greater Buenos Aires | Footwear; Textiles and Clothing; Dairy; Automotive - Automotive parts; Agricultural Machinery; Capital Goods; Construction Materials; Software and Computer Services; Petrochemical Complex; Medicinal Products for Human Use; Industrial Forest. |
Source: Own elaboration based on data of Ministerio de la Producción, Ciencia y Tecnología (2012)
Local and Human Scale Development
To deepen the local dimension, which we will define what we consider as local and human scale development.
The local scale is the establishment of a limit on the number of people living in the territory will be subject to development interventions, to consider it into our local scale (Arroyo, 2001).
It has been agreed that this population range should be between 5,000 and 30,000 inhabitants, based on criterion, which seeks cover municipalities with potential for territorial development, with important and balanced domestic consumption, whose progress is hampered by the proximity of parties with higher productive scale constituted as regional heads\(^{17}\).
Even though strategic plans evaluated, considered most relevant regions and productive chains, we will focus on local development programs based on the needs and potentialities common to such localities.
In this way, we consider key at Max-Neef, Elizalde, & Hopenhayn (1986) who define human scale development as: the sustained in the satisfaction of basic human needs, the generation of growing levels of self-reliance and organic articulation between: humans, nature and
technology; global processes with local behaviours; social with personal; planning with autonomy and civil society with the State.
Thus human needs, self-reliance and organic articulations constitute the fundamental pillars of human scale development (Max-Neef, et al, 1986, o.14).
The authors specify that for this type of development work, it must be based on a real prominence of people, to achieve the passage of person-object to person-subject where the main problem is the scale: there is no possibility of prominence in giant systems, hierarchically organised from top to bottom (Max-Neef, et al, 1986, o.14).
**Conclusions and Proposals**
In the first instance, the review of the literature about local development, entrepreneurship, industrial design and marketing together with institutional inputs (strategic plans and mixed territorial resources) and the statistical information available, we can conclude that its feasible to integrate actions to contribute to local development. Context analysis allowed us to recognise a manufacturing vacuum in small populations, product of the disarticulations -of small and micro industries- in the 90s.
The focus in the province of Buenos Aires, took us to contextualise a type of territory starred by municipalities with great potential for local and sustainable development. And also, recognise, which are the natural, human and institutional resources that can support the endogenous development of these local territories.
Furthermore, understanding the roles of each of the disciplinary dimensions we suggest to integrate, we discovered in what degree each actor -individual and synergistically- can cooperate with implementation activities of local development projects.
In addition, the establishment of an appropriate scale of populations to design this type of local development strategies, together with the analysis of the potentialities – common endogenous and differential regional results were obtained, which allowed identifying some common objectives for local manufacturing (Thomas, 2012).
These targets, especially considered the development of use and consumption products for the home, based on production – of low complexity – of furniture (wood, melamine and upholstery), meat (especially pork) and chemical (bleach, detergent, soap), among others. These manufactures can (re)organised perfectly in local territories, employing more people and lowering prices (see Table 7.4).
Table 7.4: Examples of Contributions of Industrial Design for each Dimension
| | Furniture | Food | Chemicals |
|----------------|---------------------------------------------------------------------------|----------------------------------------------------------------------|--------------------------------------------------------------------------|
| Productive | • Materials optimisation | • Design of Implements for the primary and secondary production in low scale. | • Implements design for fractionation at low and medium-level. |
| System | • Integration of carpentry, blacksmith and upholstery. | | |
| Product | • Design of wood, melamine and upholstered products. | • Design of new products based on consumer behaviour. | • Dispensers design for specific uses. |
| Packaging/ | • Reduced packaging. | • Communication of the quality, designation of origin and other qualities. | • Design of new packaging based on consumer behaviour. |
| Container | • Communication and assembly instructions. | • Additional benefits for consumption. | |
| Marketing | • Modular and personalized products. | • Development of the product portfolio. | • Low prices. |
| | • Strengthening of the “buy local”. | • Higher quality perceived by low production scale and proximity. | • Quality with local responsibility. |
In addition, other distinctive potentials were identified – according to the analysed regions-, resulting in sectors related to tourism, cultural industries, etc.
It is in these sectors and this kind of commodities of use and consumption, where the greatest potential exists, and where the disciplines of marketing, industrial design and entrepreneurship could act on behalf of the local and productive development.
It should be noted that the protagonists and/or recipients of local development not only benefit to getting products to more realistic prices, but will contribute to the creation of a more balanced territory in terms of employment opportunities, development and welfare. Therefore, this integrated design, marketing and entrepreneurship is key to local development in the province of Buenos Aires.
For an initial stage, local development agencies allow the organisation of entrepreneurial actions of territory and extra-local supports, coming from technological poles and nearest projects incubators. In this way, although not all municipalities have PT or incubators, they can capitalise somehow the state available resources.
In subsequent stages, should be established:
1. Survey of design and administration professionals
2. Presentation of local needs to the involved actors
3. Establishment of working groups for projects formulation and
4. Monitoring of the validated projects
With the purpose of improve the capabilities of local development for the bonaerenses territories and increase the quality of life of its inhabitants, is proposing to revalue these disciplinary fields and perform this proposal for immediate implementation.
Certainly, it is quite convincing that its worth assign resources to a policy of local development-based on design, marketing and entrepreneurship – in the province of Buenos Aires.
Endnotes
1 The Strategic Industrial Plan 20 20 (*Plan Estratégico Industrial 20 20*) is a plan developed by the Ministry of Industry of Argentina. On it, eleven industrial productive centers are selected for being developed in regional forums compounds by: employers, workers, academics, ministries of Economy, Industry and Federal Planning, provincial governments and municipal governments. It is an institutional articulation between nation, provinces and municipalities, public institutions and NGOs. It is a collective project with key guidelines for the development of industrial sectors with perspectives until 2020.
2 Federal and Participative Agri-food and Agribusiness Strategic Plan 2010-2016 (*Plan Estratégico Agroalimentario y Agroindustrial Participativo y Federal 2010-2016*) is a plan developed by the Ministry of Agriculture, Livestock and Fisheries of Argentina, which aims to promote a shared vision for the agri-food and agribusiness related sectors. It proposes to establish long-term policies that generate predictable, stable rules and a collective national project through the involvement of the different social actors and building institutional capacities.
3 The Buenos Aires Productive Strategic Plan 2020 (*Plan Estratégico Productivo Buenos Aires 2020*) is a plan elaborated by the Ministry of Production, Science and Technology of the Province of Buenos Aires. It provides the basis for develop human resources and infrastructure, to make possible the objectives of PEI 20 20 at the provincial level; by describing and analysing the existing productive chains in the eight sub-areas strategically defined.
4 The National Plan for Local Development and Social Economy ‘Let’s get to work’ (Plan Nacional de Desarrollo Local y Economía Social *Manos a la Obra*) is a public policy promoted by the Ministry of Social Development of Argentina, to promote social economy through technical and financial support to productive enterprises for social inclusion that are generated within the framework of local development.
5 Ministerio de Agricultura, Ganadería y Pesca, 2010
6 Ministerio de Trabajo, Empleo y Seguridad Social, 2014
7 García-Tabuenca, Crespo-Espert, & Cuadrado-Roura, 2011; Ministerio de la Producción, Ciencia y Tecnología, 2012
8 Naradowski, 2008; Kotsemir, Abroskin, and Meissner, 2013
9 Arocena, 2002; Rodríguez, 2006; Del Giorgio Solfá, 2012
10 Del Giorgio Solfá, 2012
11 Moalosi, Popovic, & Hickling-Hudson, 2007; Li, Su, & Huang, 2008
12 Chang, Wysk, & Wang, 2006; Aguilar-Zambrano & Hernández-Romero, 2012
13 Spadafora, Barbieri, Cajade, Bonano, & La Rocca, 2010
14 Gunes, 2012; Zappe, Hochstedt, Kisenwether, & Shartrand, 2013
15 Okudan, Ma, Chiu, & Lin, 2013
16 Arroyo, 2001; Del Giorgio Solfá & Girotto, 2009
17 *Ibid*
References
Alburquerque, M (1999). *Manual del agente de desarrollo local*. Santiago de Chile, Chile: Ediciones Sur.
Aguilar-Zambrano, J. J., & Hernández-Romero, D. (2012). An interpretation of industrial design capacities in SMEs from the manufacturing sector. *Strategic Sciences Journal*, (20)28. Retrieved 11 Jul, 2014, from http://www.sci.unal.edu.co/scielo.php?script=sci_arttext&pid=S1794-83472012000200007&lng=en&nrm=iso
Arocena, J (2002). *El desarrollo local: un desafío contemporáneo*. Montevideo, Uruguay: Taurus-Universidad Católica.
Arroyo, D (2001). Los ejes centrales del desarrollo. In D. Burin & A. Heras (Eds.), *Desarrollo local. Una respuesta a escala humana a la globalización* (pp. 89-110). Buenos Aires, Argentina: Ciccus-La Crujía.
Azpiazu, D. (1995). La industria argentina ante la privatización, la desregulación y la apertura asimétricas de la economía: la creciente polarización del poder económico. In D. Azpiazu & H. Nochetto (Eds.), *El Desarrollo Ausente* (pp. 157-231). Buenos Aires, Argentina: FLACSO-Norma.
Boisier, S. (2001). Desarrollo (Local): ¿De qué Estamos Hablando? In O. Madoery & A. Vázquez Barquero (Eds.), *Transformaciones globales, Instituciones y Políticas de desarrollo local* (pp.48-74). Rosario, Argentina: Homo Sapiens.
Canitrot, L., & García, N. (2013). *La logística como herramienta para la competitividad: el rol estratégico de la infraestructura*. Buenos Aires, Argentina: FODECO.
Chang, T C, Wysk, R. A., & Wang, H. P. (2006). *Computer-Aided Manufacturing*. University of Michigan: Pearsons Prentice Hall.
Cipolla, C, & Manzini, E. (2009). Relational Services. *Knowledge and Policy*, 22, 45-50. DOI:10.1007/S12130-009-9066-Z
Cravacuore, D (2005). *La articulación de actores para el desarrollo local*. Paper presented at the Proceeding Of VII Congreso Nacional de Ciencia Política “Agendas Regionales en Conflicto”, Universidad Católica de Córdoba.
Cuervo, L M (1999). Desarrollo económico local: leyendas y realidades. *Territorios*, 01, 9-24.
de Azevedo Ferreira de Souza, M C, Bacic, M J, & Ramos Bernardes, J. M. (2009). A gestão estratégica das compras como política para reduzir custos. *Gestão & Regionalidade*, 23(74), 35-47.
Dean, R A (2001). *A Proposal for Teaching Engineering Design and Philosophy*. Paper presented at the Proceedings Of XVI Congresso Brasileiro de Engenharia Mecânica: “Engenharia para o Novo Milênio”, Universidade Federal de Uberlândia.
Del Giorgio Solfa, F. (2012). *Cohesión social: clave de los entornos innovadores ciudadanos para el desarrollo local evolucionado*. Paper presented at the Proceeding Of XI Seminario de RedMuni: “Repensando la Agenda Local”, Universidad Nacional Arturo Jauretche.
Del Giorgio Solfa, F. (2012b). *Plan de Marketing Estratégico en la Industria del Mosaico*. Saarbrücken, Germany: Editorial Académica Española.
Del Giorgio Solfa, F., & Girotto, L. M. (2009). *Improvement and growth of local productive systems through identity, self-sufficiency and Municipal Development Fora*. Paper presented at the Proceeding of International Conference on Territorial Intelligence, Università degli Studi di Salerno.
Garbarini, R., Delucchi, D., & Vazquez, A. (2010). *El rol del diseño como agente de cambio técnico y social en procesos de desarrollo local*. Paper presented at the Proceeding Of VII Jornadas Latinoamericanas de Estudios Sociales de la Ciencia y la Tecnología, National Technological University.
Garcia-Tabuenca, A., Crespo-Espert, J. L., & Cuadrado-Roura, J. R. (2011). Entrepreneurship, creative industries and regional dynamics in Spain. *The Annals of Regional Science*, 47(3), 659-687. DOI:10.1007/S00168-010-0376-6
Giordano, M. (2012). Reflexiones sobre la motivación del emprendedor interno en los determinantes de éxito y/o fracaso en las organizaciones públicas y de sus posibilidades de formación. *Revista del Departamento de Desarrollo Productivo y Tecnológico*, 1(1), 49-52.
Girotto, L M, & Del Giorgio Solfa, F. (2009). *Foros de Desarrollo Turístico Rural como mecanismo para fomentar el Desarrollo Local, a partir de la generación de nuevos servicios turísticos*. Paper presented at the Proceeding Of VIII Reunión de Antropología del Mercosur: “Diversidad y poder en América Latina”, National University of General San Martin.
Gunes, S (2012). Design entrepreneurship in product design education. *Procedia - Social and Behavioral Sciences*, 51, 64-68. DOI:10.1016/J.SBSPRO.2012.08.119
Kosacoff, B. (2008). El desarrollo productivo y los nuevos dilemas económicos. *Aulas y Andamios*, 1(2), 4-7.
Kotsemir, M. N., Abroskin, A., & Meissner, D. (2013). Innovation Concepts and Typology – An Evolutionary Discussion. *Higher School of Economics Research Paper*, No. WP BRP 05/STI/2013. Retrieved April 10, 2014, from http://dx.doi.org/10.2139/ssrn.2221299
Li, L., Su, W., & Huang, Z. (2008). *Creativity roots in life — Thinking about the impact of regional culture on product design*. Paper presented at the Proceeding Of 9th International Conference on Computer-Aided Industrial Design and Conceptual Design, Kunming, China. DOI:10.1109/CAIDCD.2008.4730678
Madoery, O (2001). *La formación de agentes de desarrollo local: ¿Cómo contribuir desde la universidad a la gestión territorial?* Paper presented at the Proceeding Of VI Congreso Internacional del CLAD sobre la Reforma del Estado y de la Administración Pública, Buenos Aires, Argentina.
Max-Neef, M. A., Elizalde A, & Hopenhaym M. (1986). Desarrollo a Escala Humana: una opción para el futuro. *Development Dialogue, Special number*, 1-96.
Martínez, E. (2010). *Debates para honrar el bicentenario: Hacer donde no hay. La construcción de tejido industrial en las regiones pobres del país*. Buenos Aires, Argentina: Instituto Nacional de Tecnología Industrial.
Ministerio de Agricultura, Ganadería y Pesca (2010). *Plan Estratégico Agroalimentario y Agroindustrial Participativo y Federal 2010-2016* (2ª ed.). Retrieved 19 Apr, 2014, from http://184.108.40.206/sitel/areas/PEA2/02=Publicaciones/index.php
Ministerio de Industria (2012). *Plan Estratégico Industrial 20 20*. Retrieved 19 Apr, 2014, from http://www.industria.gob.ar/libro/
Ministerio de la Producción, Ciencia y Tecnología (2012). *Plan Estratégico Productivo Buenos Aires 20 20*. Retrieved 19 Apr, 2014, from http://www.mp.gba.gov.ar/jefaturadegabinete/pepba/download/DTP_PEPBA2020.pdf
Ministerio de Trabajo, Empleo y Seguridad Social (2014). *Seguimiento de la evolución de precios y salarios. Enero de 2014*. Retrieved 19 Apr, 2014, from http://www.trabajo.gov.ar/downloads/destacados/140123_precios-y-salario.pdf
Moalosi, R, Popovic, V & Hickling-Hudson, A. (2007). *Culture-orientated Product Design*. Paper presented at the Proceeding of International Association of Societies of Design Research, The Hong Polytechnic University.
Narodowski, P. (2008). Una educación para el trabajo. *Aulas y Andamios, 1*(2), 12-16.
Okudan, G E, Ma, J., Chiu, M. C., & Lin, T K (2013). Product Modularity and Implications for the Reverse Supply Chain. *Supply Chain Forum, 14*(2), 54-59.
Pedrazzi, J. F. (2010). Eduardo Duhalde y Néstor Kirchner. La recuperación argentina luego de la crisis de 2001. *Revista de Ciencia Política, 11*. Retrieved April 15, 2014, from http://www.revcienciapolitica.com.ar/num11art8.php
Quetglas, F (2008). ¿Qué es el desarrollo local? *Territorio, políticas y economía*. Buenos Aires, Argentina: Capital Intelectual.
Rodríguez, P. G. (2006). Desarrollo local para municipios de escala intermedia en la provincia de Buenos Aires. *Escenarios, 6*(11), 75-88.
Schorr, M. (2004). *Industria y nación. Poder económico, neoliberalismo y alternativas de reindustrialización en la Argentina contemporánea*. Buenos Aires, Argentina: Edhasa.
Sforzi, F. (2007). Del distrito industrial al desarrollo local. In R. Rosales Ortega (Eds.), *Desarrollo local: Teoría y prácticas socioterritoriales*. México D F.: Miguel Ángel Porrúa.
Sierra, M. S. (2012). *El proceso de diseño y desarrollo de nuevos productos y su relación con el marketing*. Paper presented at the Proceeding Of 6ª Jornadas de Investigación en Disciplinas Artísticas y Proyectuales, National University of La Plata.
Simonato, F. R. (2009). *Marketing de fidelización*. Buenos Aires, Argentina: Prentice-Hall.
Spadafora, C; Barbieri, M; Cajade, A.; Bonano, G.; La Rocca, M. (2010). *Manual de Emprendedorismo*. Buenos Aires, Argentina: Ministerio de Industria.
Srnec, C C (2009). *Crisis económica e impulso estatal a la economía social ¿Sector paliativo o alternativo? La propuesta del Plan Manos a la Obra*. Paper presented at the Proceeding Of Seminario Internacional “La construcción del conocimiento y prácticas sobre la economía social y solidaria en América Latina y Canadá”, Universidad de Buenos Aires.
Thomas, H (2012). Tecnologías para la inclusión social en América Latina: de las tecnologías apropiadas a los sistemas tecnológicos sociales. Problemas conceptuales y soluciones estratégicas. In H Thomas, M Fressoli, & G. Santos (Eds.), *Tecnología, desarrollo y democracia: nueve estudios sobre dinámicas socio-técnicas de exclusión / inclusión social* (pp. 25-76). Buenos Aires, Argentina: Ministerio de Ciencia, Tecnología e Innovación Productiva de la Nación.
Zappe, S E, Hochstedt, K, Kisenwerher, E, & Shartrand, A (2013). Teaching to Innovate: Beliefs and Perceptions of Instructors Who Teach Entrepreneurship to Engineering Students. *International Journal of Engineering Education*, 39(1), 45-62.
Section II:
Competition for Inclusive Economic Growth
Designing competition reforms in developing and least developed countries to better contribute to inclusive economic growth, especially by creating greater scope for Micro, Small & Medium Enterprises (MSMEs)
The Theory of Competition and ‘the Developmental State’ in Africa
A Case Study of Kenya and South Africa
PAUL KINYUA
Lecturer, Catholic University of Eastern Africa
Nairobi, Kenya
Abstract
Kenya embarked on policy reforms relating to competition law since the early 1980s. The paper takes a ‘political economy’ perspective to assess the policy outlook and economic choices entailed in the legal framework of competition law in Kenya. ‘Political economy’ is defined as a discipline within the social sciences that is concerned mainly with the nature and causes of the wealth of the nation and its distribution to different sections of society. Kenya, in East Africa, provides a feasible testing-ground for the theoretical claims of different schools of thought concerned with competition policy in particular and political economy more generally. The paper examines the points of convergence and divergence between the overarching national policy to foster ‘development’ on the one hand, and the specific policy choices relating to competition law and the institutional practice of competition authorities in Kenya on the other. The main argument of the research is that while Kenya’s national economic policy outlook took a turn to the right in the early 1980s, with a de-emphasis of the role of the State to spur development, the laws and policies to regulate competition in Kenya appear more suited to mixed-economy environment rather than to an unfettered free-market regime. The paper concludes that, of the countries examined, South Africa offers Kenya the most illustrative example with regard to the design and implementation
of a competition policy well-attuned to the broader vision of the national economy.
**The African Context of Competition Law**
Political independence was attained by the majority of African countries in the 1960s and 70s.\(^1\) The attainment of sovereignty, however, has not led to the economic transformation of these countries. The historical period beginning in the 1980s marks the beginning of the ascendancy of neoclassical economics in Africa Zeleza: 1996. During the 1960s and 1970s, State-led development was seen as the best way of promoting the economic development of Africa.
The triumph of neo-liberalism in Africa was facilitated by the perceived failure of Keynesianism in developed countries, the failure of ‘developmentalism’ in developing countries, and by the collapse of the Soviet bloc\(^2\). Privatisation\(^3\) and ‘Deregulation’ became the major pursuit by global capital in the drive to penetrate the markets of developing countries.
African economies are disarticulated in the sense there are few forward or backward linkages between the commodity-exports sector and other sectors of the economy. In these respects, sub-Saharan African countries in general are comparable with each other. African economies lack a capital goods sector of any note and rely on imports of heavy machinery and vehicles. Africa remains highly reliant on foreign investment, particularly from the former colonising countries; and looks to the latter countries as the primary source markets for external trade, tourism, loans and foreign aid.
The structural weaknesses of the African State have been attributed to a host of causes. Ademujobi and Olukoshi identify two major challenges faced by African countries in general.\(^3\) First, is their overdependence on the external world, and second is the under-exploitation of their development potentials at the national, regional and continental levels.\(^4\)
Africa’s principal challenge in the twenty-first century is how to design and implement effective policies to promote industrialisation and economic transformation. In the 21st century, African countries are integrated into the world economic system mainly as importers of finished products and exporters of primary products and raw materials.
African countries often rely on multinational corporations (MNCs) as agents for technological transfer and economic development\(^5\). Technology, manufactured goods and technical know-how have, however,
been imported at prices way above those earned from exports, creating a situation of unequal exchange between Africa and the world market.\textsuperscript{6}
Neo-liberal economic theory considers the security of property rights to be of paramount importance for the functioning of an efficient market; however, the efficiency of the market is said not to be dependent on the distribution of property rights (Froneman: 2007: 216). Similarly, the distribution of income produced by the market is not an economic concern, but a political one (Froneman: 216). Those that argue that efficiency is the only aim of competition policy insist that competition authorities should intervene only when an anti-competitive practice has been committed and is detected.\textsuperscript{7}
In opposition to this view, one main argument from the literature on ‘market failure’ is that the government must establish public enterprises to ensure that the public interest is catered for (Aseto & Okelo: 1997: 7). Public enterprises under government control are meant to maximise social welfare, and improve on the decisions of private enterprises when monopoly power or externalities introduce divergence between private and social objectives (Aseto & Okelo: 8).
For a market to function properly there must be competition and also regulation of those monopolies that exist, whether these belong to the public or the private sector (Nove: 1992: 48).
Biersteker provides three justifications for State intervention in markets from a ‘political-economy’ point of view (Biersteker: 1992).
Firstly, the State could intervene to correct a market failure. The market fails on its own when the prices of goods and services give false signals about their real value, confounding communication between producers and consumers (Aseto & Okelo: 1997: 7).
Secondly, the government could intervene to provide a genuine public good. Thirdly, State intervention could be justified on the ground that it is necessary for the State to take control of the ‘commanding heights’ of the economy to ensure provision of a greater public good.
Antitrust laws have been applied against two types of combinations: the first type is the so-called ‘close-knit combination’ that is formed by trust, holding company, merger or consolidation. The second type is the ‘loose-knit combination’ which refers to (restrictive) agreements among individual competitors to, for instance, fix prices (Stelzer: 1986: 107).
The main goals of competition policy include: (1) to promote economic efficiency through a proper functioning of markets; (2) to ensure equity; and, (3) to control the economic and political power of big business.
Different writers, however, disagree on which of the objectives listed above or their combinations should be the subject of competition policy.
Mehta, for example, appears not to lend support to the position that ‘efficiency’ should be the only goal of competition policy. He argues that “although efficiency has been a central role of antitrust, it should not be the only one” (Mehta: 2013: xxxii).
The drive to enact competition laws in African countries has been taking root steadily since the mid-1980s. Competition laws passed by many African countries have attracted the criticism that they could be unresponsive to local needs and conditions:
Competition laws in most developing and third world countries …are mostly fashioned after the existing legislation originating from the European Union (EU) or the United States of America (USA). While a lot of these pieces of legislation are often modified to suit the needs of these developing countries, it is usually not the case that a cautious approach is taken to ensure that imported legislation is designed to meet the specific national challenges in Africa (Adeleke: 2011: 5).
This paper addresses the general context of competition law in Africa from a ‘political economy’ perspective and is grounded on the economic history of Africa between 1900 and 2015. ‘Political economy’ is a discipline within the social sciences that is concerned with the nature and causes of the wealth of the nation and its distribution to different sections of society. For the classical political economists including Adam Smith, David Ricardo, John Stuart Mill and Karl Marx, political economy was a science defined by its subject matter, i.e. the ‘science of the economy’, and the economy itself was treated as part of a much wider social context.
Part I of the paper outlines the social, political, and economic context of Africa roughly between the years 1900 and 2015. Part II gives the historical background to competition policy and law by revisiting the emergence of the anti-trust movements in the United States of America in the 1890s. In part III below, the basic arguments of competition theory, which are derived from neo-classical economics, are critically examined and the ascendancy of neo-liberal economics in Africa since the 1990s is re-visited.
Part IV of the paper defends its case that Kenya and South Africa are fit for a comparative examination and concludes the paper. The paper focusses on the economic structures established during the period of colonial (including apartheid) rule in Kenya (1895-1963) and South Africa (1867-1994).
Two questions are posed in the paper concerning the general context of competition law in Africa: the first question is: what are ‘the established hierarchies’ of the national economy of Kenya and South Africa? This question touches on the mode of integration of African countries into the
world capitalist system in the opening decades of the 20th century. The second question asks: ‘in whose interests does the national economy of a given African country function’?
Dumont submits that it impossible to conduct an action in the economic sphere without political repercussions (Dumont: 1968: 169). He concludes that one cannot attain ‘development’ for an African country by remaining apolitical; such an attitude, in his view, could only be hypocritical (Dumont: 169).
The Political Economy of Contemporary Africa
The ‘commodity boom’ that held so much promise for African exports in the world market since had already begun to fade out by the year 2011. The Economic Commission for Africa (ECA) noted in its 2013 report:
Since 2000 the continent has seen a prolonged commodity boom and sustained growth trend. And although growth slowed from an average of 5.6 percent in 2002-2008 to 2.2 percent in 2009 – hit by the global financial crisis and steep food and fuel price rises – Africa quickly recovered with growth of 4.6 percent in 2010. The continent’s growth slipped again in 2011 owing to political transition in North Africa (ECA: 2013: 6).
Although Africa registered strong growth at about 5.0 percent in 2012, in early 2016 oil prices fell to their lowest since 2004, clearly pointing to a steady leveling off of the ‘commodity boom’ that has lasted for slightly more than a decade.
This section locates Africa within the international political economy. It retraces the integration of African countries as peripheries, and later as semi-peripheries of the world capitalist system in the last decades of the 19th century (Mikell: 1989). It draws mostly from writers belonging to the critical school in international relations (IR) discourse, especially the work of Robert Cox and Branwen G Jones.
To develop an understanding of the world economy as an analytical category, this research draws on the history of the rise of capitalism in Western Europe in the fifteenth century, the development of western capitalism throughout ‘the long 16th century’, the transformation of capitalism from a competitive phase to a monopoly phase in the late nineteenth century, and the spread of industrial-finance capitalism to Africa, through the vehicle of imperialism, during the last three decades of the 19th century.
Chanock observes that the failures of the States created by colonialism, and their powerlessness in relation to the goals of development can be directly linked to “the structure and workings of the world economy”
Zeleza categorises the contending positions on African economic and social history between 1950 and the mid-1990s into seven major schools of thought: (i) ‘nationalist and liberal narratives’ (ii) ‘orthodox development theory’ (iii) ‘classical Marxist theory’ (iv) ‘Raul Prebisch (ECLA)’ (v) ‘unequal exchange’ (vi) ‘dependency theory’ and (vii) ‘successful capitalism in the periphery’ (Zeleza: 1996).
It is not possible to summarise this vast literature in this contribution. These theories on the political economy of contemporary Africa can be grouped simply into two: (a) theories that emphasise the ‘structural causes’ of Africa’s marginal position in the world economy on the one hand: (iv, v, vi in the list above); and (b) theories that focus on the ‘agency’ of African countries to attain industrialisation, on the other hand: (i, ii, iii, vii in the list).
Competition cannot be adequately understood without appreciating the process of accumulation and reproduction of capital in any given ‘national market’ and within the world economy.\(^9\) Capital accumulation originates in the production of commodities which embody both use value and exchange value (money) (Mandel: 1995: 6).
Cox describes the emergence of capitalism, its spread and the emergence of capitalism’s ‘monopolist phase’.
Capitalist development is a process that was put together gradually over a period of some five centuries, beginning in western Europe from the 14th century before it became, in the nineteenth, a coherent expansive force on a world scale. This expansive force at the mid-nineteenth century point was in a competitive phase. From the late 19th century, capitalist development entered a new, monopolistic phase (Cox: 1987: 51).
In capitalist societies, the State’s regulation of competition between individual capitalists invites disputes within the dominant classes, whose cohesion is a pre-condition for their domination over the rest of society (Berman & Lonsdale: 1997: 79). Reproduction of capital, Marx explains, is the unity of the process of production and the process of circulation (Mandel: 60).
Money is the epitome of human self-alienation under capitalism, since it reduces all human qualities to quantitative values of exchange (Giddens: 1971: 214). Due to the ever-present class-conflict in the surrounding society, Berman and Lonsdale insist, every capitalist State must necessarily be involved in ‘a process of abstraction’\(^{10}\).
In order to maintain its own legitimacy – the state must be seen to act on behalf of the social order as a whole... the twin functions of guaranteeing the technical and legal conditions of capital that competition
cannot provide – monetary and tariff rules, property laws and so on – and of maintaining the hierarchy of class domination have both been abstracted from the economic to the political sphere within each national social order\(^{11}\).
The crisis of legitimacy experienced by many African States has given currency to the argument that the unitary structure is unsuitable to African socio-cultural conditions. However, this leads to a more disturbing question, should African countries and peoples do away with the whole idea of the State? According to Mafeje, taking into consideration Africa’s vulnerability to the forces of globalisation, it would not be in Africa’s interests to abandon the State form, because the State is the most important single actor in the political and economic arena in Africa (Mafeje: 2002: 78).
Beckman observes that what neo-liberal ideology wishes to prevent from being realised with its prescriptions of ‘privatisation’ and ‘deregulation’ is the ‘economic nationalism’ of developing countries:
In an effort to deligitimise the principal ideological rival [which is] economic nationalism- neoliberals seek to delegitimise the State, the main locus of nationalist aspirations and resistance to the neoliberal project. In order to undercut the claims by the State to represent the nation, its alien nature is emphasised. Its retrogressiveness is explained in terms of (detachment from) civil society… rent-seeking, patrimonialism and autonomy (Beckman: 1998: 46).
The contestation between global business and developing countries more generally has witnessed the USA acting as the leading advocate for reform, by pushing other countries to deregulate their financial markets (Greider: 1997: 33).
Deregulation includes the following strategies: relaxation of controls on capital inflows and outflows, ‘flexibility’ of labour and environmental laws, removal of interest rate controls and removal of taxes on currency-exchange transactions. Writing in 1997, Greider noted that ‘transnational commerce’ had “aggressively campaigned over three or four decades to free itself from various social controls imposed by … governments” (Greider: 33).
Global capital has also tried to penetrate developing countries’ market through bilateral investment treaties (BITs) signed between developed and developing countries. The profusion of BITs since the mid-1990s has brought to the fore issues touching upon States’ sovereign decision making authority, States’ accountability to their respective populations and the State’s unique role as guardians of the public interest\(^{12}\).
The general tenor of recent BITs is that they are primarily instruments to constrain the sovereign power of home governments to interfere with investor property. What is more, some constitutive agreements of the World Trading Organisation (WTO), such the TRIPS Agreement, appear to have been designed with the interests of global capital as their primary theme of focus. It is submitted that the international economic and political context that Africa encounters during the second decade of the twenty-first century is as important as the national economy and that both contexts should inform the choice of ‘goals’ to be served by competition law in African countries.
Some economic historians and scholars trace the emergence of a functioning ‘world economy’ to the late nineteenth century, (MacMillan: 1996) while others point to the 18th century, and even earlier.\(^{13}\) Strachey, for example, notes that between the years 1815 and 1870, the “well-organised, large-scale British trading corporations” of that period had an immense bargaining power against “disorganised peasant societies even without acquiring sovereignty over them” (Strachey: 1959: 73; Keynes: 1920).
In these circumstances, he concludes, an ‘anti-imperialist climate of opinion’ was formed in Britain (Strachey: 72-3). Robinson and Gallagher describe British relations with Africa during the last 50 years of the 19th century as conforming to their brief formulation: “informal empire where possible, formal empire if necessary”\(^{14}\). Although this appealing summing up is not entirely inappropriate, their main thesis that ‘monopoly capitalism’ did not drive the imperialist annexation of Africa in the late 19th century remains intensely contested.\(^{15}\)
The main thesis of the economic imperialism argument is that capitalism, upon reaching the monopoly stage of the trusts in the last three decades of the nineteenth century called for imperialism. The period between the Universal Exhibition of 1851 where Britain, then the world leader in industry exhibited the latest equipment and products to a largely pre-industrial European and North American audience, and the year 1866, is seen as the highest point of the liberal era (Cox: 1987: 151). The 1870s oversaw the decline of liberal free trade policies in Europe and the rise of a new imperialist era.
Late nineteenth century imperialism captured Africa for the world capitalist system and transformed Africa’s pre-capitalist relations of production to “part-economies, externally oriented to suit the dynamic of a capitalism that had been imposed upon them from outside” (Berman & Lonsdale: 78). Although Lenin is often grouped together with Hobson, Hilferding, and others who argue that 1880s imperialism resulted
from the transition of capitalism to a monopoly phase, Stokes insists that: “[on] the vital question of chronology Lenin made it plain that the era of monopoly finance capitalism did not coincide with the scramble for colonies between 1870 and 1900 but came after it” (Stokes: 1969: 285).
Strachey’s book, written at the sunset stages of the British Empire in 1959, is meant to dissuade the public in Britain and United States from running an empire. He discouraged enthusiasts of empire in the several political parties that he claimed allegiance to throughout his long political career from the continuation of British colonialism into the latter decades of the twentieth century.\(^{16}\) Strachey wrote that the primary motives behind British imperialism were capitalistic in nature:
[T]o turn the terms of trade in our i.e. British favour was not the characteristic purpose of the intensified imperialism, which set in after 1870. Its main purpose was rather to secure fields of investment for the surplus capital, which could not be so profitably invested at home, given the existing distribution of the national income. And the successful achievement of massive foreign investment, and of the imperialism that went with it, immediately enriched, not the British people, but a narrow class of investors (Strachey: 1959: 154).
Although he arrived at this conclusion, Strachey made the following claim: “there is no evidence that Britain’s imperial possessions enabled her to enrich herself by turning the terms of trade in her favour” (Strachey: 148).
Strachey’s observation amounts to saying that empire was not a net gain for Britain but a balanced sum with benefits and losses oscillating more or less equally between Britain and the colonies during the history of imperialism.
It is to be wondered whether that actually was the case with respect to British colonialism. Strachey defined terms of trade ‘from the British point of view’ as: “the ratio of the prices of our imports and exports… the terms of trade are said to have become more favourable to Britain when the prices of the things she sells have, on the average, gone up and the prices of the things she buys have gone down (148)”\(^{17}\).
Even accepting Strachey’s conclusion that Britain did not benefit more economically than the colonies which were under British tutelage throughout the life-span of the empire, this apparently technical conclusion would need to be counterbalanced by the observation that imperialism need not benefit the whole British nation.
It is important to recall, as indeed Strachey himself found, that a narrow class of capitalist ‘investors’ did derive massive economic gain from imperialism. If then this is the case, has not imperialism done its bidding?
It may be asked, in response to Strachey, can one genuinely claim that the books are evenly-balanced between Britain and her African subjects in colonial Kenya, South Africa or Zimbabwe just because the vast majority of British citizens did not partake a share in the theft commissioned by the Cecil Rhodes and Captain E S Grogans of imperial tradition, who gained huge financial windfalls from brazen seizure of African lands and commandeering of African mineral wealth?
Strachey ought to have interrogated his data more deeply than to have adopted it in one long leap. Britain’s ‘terms of trade’ during the imperial period need to be inspected carefully beneath the general form, or veneer, in which international trade data is officially recorded.
Extending Strachey’s system of imperial book-keeping to the Congo Free State, and proceeding thereupon to ask oneself how the balance fell between Belgium and the Congo Free State during King Leopold’s reign, leads to very interesting destinations. Imperialism was of benefit to some actors; in particular, it benefitted individuals, mostly white men and their progeny, and corporate entities.
Perhaps of equal importance to ‘whether monopoly capitalism led to imperialism in the closing decades of the nineteenth century’ is the economic effect of the colonial legacy in Africa. Magubane points out one key difference to be observed between the development of capitalism in Western European countries such Britain compared to the African periphery. In his view, in the capitalist societies of Western Europe, the working classes (ploretariat) managed to break away completely from the subsistence economy with the onset of industrial capitalism in the 19th century.\(^{17}\) This was not the case in colonial Africa, Magubane insists:
In Africa, on the other hand, because of the traditional system of land tenure and because of the extractive nature of colonial capitalism, the integration of African peasants into the world capitalist system was marginal. It led to impoverishment without complete proletarisation.\(^{18}\)
In the colonial period, Magubane emphasises, African migrant labourers were not allowed to break away completely from the “tribal” social environment (183). This situation was based on the rationalisation, which assumed that African cities and towns, and commerce in these urban areas, were for ‘whites only’(183).
Magubane’s ‘colonial capitalist mode of production’ (CCMP) concept coheres with Basil Davidson’s characterisation of colonial capitalism as having a ‘dual character’\(^{19}\).
Brett would also seem to support this position where he argues that since the colonial government policy supported British firms in Kenya,
Uganda and Tanzania, Africans were denied the opportunity to accumulate capital through entrepreneurship. He concludes that colonialism laid the foundation for Africa’s future dependence on the multinational corporation for the capital and skills required if industrialisation was to advance:
“An alternative strategy based upon the attempt to establish small-scale industry using technology which could be managed by members of the indigenous population would probably have taken longer to mature, but would not have had the negative effects so clearly visible in the present situation.”\(^{20}\)
Before the effects of the Second World War brought about a change in industrial policy for the colonies, official and unofficial circles in Britain continued to believe that primary commodity production provided the only really viable base for colonial development (Berman: 1990: 178). Up to the mid-1930s British firms opposed the development of competitive manufacturing in the Empire (Berman: 178).
In 1939, it was recommended that certain industries be established in British colonies (such as Kenya) to reduce their reliance on imports (Nyong’o: 1992: 11). African colonialism was extractive in nature and left behind structures, institutions and infrastructure designed to benefit non-Africans\(^{21}\).
Nyong’o gives three reasons why industrialisation did not take root in the colonies: Firstly, very few industries were established and even these were scattered. Secondly, colonial industries were aimed at serving tiny markets, mainly the settler communities, or else to produce certain commodities in the colonies during the war. Thirdly, industrialisation in the colonies did not aim to establish long-term projects that would eventually culminate in the development of a capital goods sector (Nyong’o: 10).
Import-substitution industrialisation (ISI) strategies were initiated in the 1960s and 70s and were characterised by massive public investment and ownership of enterprises and financial institutions. This period saw a major expansion of the State in the economy throughout the developing world. The State influenced, regulated, planned, mediated, distributed, and even produced goods and services (Biersteker: 200).
The basis for State intervention in Africa was necessitated by the colonial legacy of underdevelopment. The State as the pre-eminent institutional organisation in society was involved in the process of accumulation and reproduction of capital.
Africa’s State system is a legacy of European colonisation; a despotic and exploitative system of governance supposedly adapted and changed for the better with independence (xii).
The hallmarks of the African State include: ethno-political fragmentation, patron-client relations between political elites and the people, dependency, and underdevelopment. These asocial characteristics of African States are the result of processes of political socialisation dating from the colonial era that alienates rulers from the ruled\textsuperscript{22}.
Some critics have argued that Africa’s pioneering nationalists in the 1950s should have understood that nation-states fashioned from the structures and relationships of colonial States and thereby produced from European and not African history were bound to be heading for trouble\textsuperscript{23}. African independence governments have had to manage divided communities created by arbitrary colonial borders with varying success.
The independent State, Nyerere argued, had the twin tasks of development and nation building (Nyerere: 1967). The State preceded the nation. According to Bujra and Lando, the factors that led African countries to embrace authoritarian single party rule and military dictatorship in the late 1960s continue to condition African politics and have made it difficult for African polities to cohere.
The inability of many African States to consolidate democratic governance or even simply to create some form of stable political order invites a range of questions. First, it might be asked, what are the reasons for the chronic crisis of legitimacy affecting the State in Africa (Bujra & Lando: 2010: xii)?
Secondly, what has led to the failure of formal political institutions and the widespread exclusion of substantive groups from power in Africa (Bujra & Lando: xii)?
In East Africa, Tanzania proved a more cohesive nation compared to Kenya and this is usually attributed to the late Julius Nyerere’s quality of leadership.
According to Founou-Tchigoua, the new African elites that assumed power with the attainment of independence inherited “the crisis of the post-colonial model that had exhausted its potential for expansion and had consequently brought about budget and trade deficits that could not be managed without massive foreign aid”\textsuperscript{24}.
This crisis of macro-economic management was followed by the general crisis of capitalistic expansion in the industrialised countries and the disorganisation of the international monetary system caused by the unilateral decision of the USA in 1971 to withdraw from the Bretton woods institutions’ monetary system, which was based on fixed but adjustable interest rates, and also based on the latitude given to States to control movement of capital\textsuperscript{25}.
Private banks had free rein to lend credits to countries in the global South, and this triggered off an international and regional financial crisis\textsuperscript{26}. Petro-dollars accumulated by international banks during the 1973 oil crisis were off loaded to developing countries in the form of cheap loans (Shivji: 2007: 16).
Although the oil weapon strengthened the diplomatic bargaining power of oil-rich African States such as Algeria, Libya and Nigeria in the 1970s and enabled Angola to survive a costly civil war, it seriously disadvantaged non-oil countries, such as Kenya, which faced increases in prices of petroleum products and manufactured products amounting to three or four times their pre-1973 levels\textsuperscript{27}. By the end of the 1970s, cheap loans had turned into heavy debt burdens as the limits of the early growth experienced throughout the 1960s were reached.
Generally speaking, no African country had an economic base that could enable it to avoid falling into the “debt trap”.\textsuperscript{28} The Cold War helped African leaders, such as Kaunda, Mobutu, Moi, and Mugabe attract a disproportionate share of aid, notwithstanding poor policy regimes, and to strengthen their hold on power by playing geo-politics\textsuperscript{29}.
**Privatisation, Deregulation and State Intervention in Africa (1980-2015)**
Africa’s industrialisation strategies after independence were designed to reverse the effects of the colonial legacy and thus to achieve ‘development’. Regrettably, the ISI strategies upon which Africa was to industrialise were for the greater part externally-generated. More importantly, some African governments lacked the managerial and financial capacity to operate public enterprises and financial institutions\textsuperscript{30}. ISI strategies did not bear fruit in Africa, unlike in East Asia, leading to mounting and unsustainable deficits, stagflation and debt crises in many countries by the end of the 1970s (ECA: 2013: 8).
Per capita growth rates in GDP for all developing countries declined from an annual average of 3.4 percent between 1965 and 1980 to 2.3 percent between 1980 and 1989 (Grindle). For sub-Saharan Africa the average was -2.2 percent, hence the claim that the 1980s were a ‘lost decade’ insofar as the economic growth of African countries is concerned. In the 1980s African countries adopted structural adjustment programmes (SAPs), which forced them to de-industrialise. The theoretical bases of the SAPs was that the market was efficient and government interventions inefficient.
Consequently, long-term development planning was abandoned and industrial policies neglected in most African countries (ECA: 8). SAPs had a two-pronged strategy for African development. Firstly, the State would be ‘rolled back’ from its involvement in the economy by privatising public enterprises and confining the State to its traditional role as regulator. Secondly, even as a regulator, the State would be bound to act within the framework of the rule of law rather than through authoritarian commands (Nyong’o: 2002: 25). There was a shift from development strategies that were State-led to strategies that placed greater emphasis on market forces to generate economic growth (Grindle: 1996).
In the 1990s, three senior International Monetary Fund (IMF) officials gave eight requirements for the raising of the rate of private investment, productivity and growth in Africa.\(^{31}\) These are (1) maintenance of a stable macro-economic environment; (2) far-reaching improvements in governance to avoid interference with private activity and to develop and maintain a transparent and stable legal and regulatory environment that reduces risks faced by domestic and foreign investors; (3) trade liberalisation; (4) privatisation; (5) civil service reform; (6) banking reform; (7) liberalisation of the agricultural sector; and (8) improving labour market flexibility and competitiveness.
The argument for privatisation of publicly-owned firms finds justification from at least two main approaches: one approach focuses on the concept of utility maximisation behaviour of property-owners (principals) and the managers of their property (agents). It argues that because both the principals and agents of every enterprise wish to maximise profit, subject to the information available to them during their decision-making, the decisions made by the totality of firms in the market can only result in allocative efficiency for the entire market.
The second argument for privatisation is the so-called ‘public-choice theory’. It involves a political game between the public, politicians, bureaucrats, and managers of public and private enterprises. Public-choice theorists argue that each of these groups have their own distinct utility functions which they seek to maximise; however, these groups do not have access to identical information.
Public-choice theory argues that in democratic societies, the partial information held by these groups and the divergent interests they pursue will result ultimately in internal inefficiencies of publicly-owned enterprises. Public-choice theory asserts that managers of publicly-owned enterprises will tend to form coalitions with politicians and bureaucrats to secure higher pay, greater power and prestige. It is claimed that such is
not the case for private sector managers who must ensure that their firms remain profitable to enjoy similar pay, power and prestige.
Politicians, it is claimed, may find it to their advantage to set prices of publicly-owned enterprises at below marginal cost so that their chances of electoral success are enhanced. Thus the economic efficiency of public firms could be sacrificed where it does not improve the electoral prospects of political leaders.
Bureaucrats, for their part, are claimed to be primarily interested in increasing their departmental budgets to the largest extent possible in order to obtain pay-offs (rent-seeking behaviour). Public-choice theorists submit that the power and welfare of government ministers is naturally linked to that of bureaucrats working under them, and that coalitions between managers, politicians and bureaucrats will ordinarily result in the internal inefficiency of public firms.
Public choice theory rests on the assumption of methodological individualism (Nove: 43). Like neo-liberal economics, public choice theory disregards the complexities of human motivation and their effect on quality of performance by assuming ‘maximisation’ of personal utility or profit (43).
The counter-theory to privatisation and deregulation can be traced to the classical political economists including Smith and Marx but also to 20th century economists such as Baran, Keynes, and Gerchenkron. Smith noted that public authorities have a role to “erect and maintain certain public works and public institutions which it can never be in the interest of any individual … to erect and maintain” (Smith: 1776).
**The Origins of Competition Law: A Brief History the Antitrust Movement in the US**
From the 1890s the landscape of the ‘economic system of the West’, as Sampson calls it, was progressively dominated by large-scale enterprises (Sampson: 49). From the middle of the 19th century certain developments in transport, storage and telecommunications had paved way for the creation of a more integrated international economy (Jenkins: 1987: 4).
The latter half of the 19th century oversaw a phenomenon that some historians describe as the ‘industrial revolution’ (Gay & Webb: 1976). There was rapid development of railways, iron steam shipping, refrigeration and temperature-cooling techniques, and the invention of the telegraph (Jenkins: 1987: 4). Importantly, the third quarter of the 19th century saw the superseding of ‘competitive’ capitalism by ‘monopoly’capitalism’ (Magubane: 1976: 176).
In the United States, for example, what began as a highly competitive oil industry with a large number of firms in the 1850s, came to be dominated by Rockefeller’s Standard oil Trust during the last quarter of the 19th century (Jenkins: 51-2).
Chandler’s historical study of the changing structure of ‘the American industrial enterprise’ emphasises the rise of ‘new administrative needs’ in the 1890s; resulting, in his view, from an increase in output by firms that less twenty years before in the 1870s were concerned only with manufacturing (Chandler: 1962: 24).
Chandler observes that following the depression of the 1880s and early 1890s, the US economy experienced the rise of ‘the great impersonal corporations’ which, “besides manufacturing goods, sold them directly to retailers or even to the ultimate consumer, and purchased or even produced their own essential materials and other supplies” (Chandler: 25).
The currently fashionable phrase ‘global value chains’, although not invented in the 1890s, adequately captures the structural integration of these multi-departmental enterprises, administered by full-time professional managers rather by small family groups (Chandler 24).
The Sherman Anti-trust Act was passed in 1890; it marks the beginning of the ‘anti-trust movement’ and had no counterpart in Europe at a similar time (Sampson: 1975: 44).
The originator of the bill that later became the Sherman Act, Senator John Sherman, stated that it was motivated by a need to “declare unlawful, trusts and combinations in restraint of trade and production” (Sampson: 44).
The Sherman Act was specifically designed to break-up the monopoly of *Standard Oil of New Jersey* which had dominated the oil industry in the USA for more than thirty years, as Sampson explains:
The anti-trust movement … was supported not only by the theory of free enterprise but also by a faith in the power of the individual against organisations. The trust-busters saw themselves as defending the very core of democracy… (T)hey would turn on the oil companies as the symbols of everything that was sinister and secretive in modern industrial society (Sampson: 49).
The Sherman Act “was the first major counter-attack by the US federal government against corporate monopoly” represented by the large-scale trusts (Sampson: 50). The court in *Standard Oil Company of New Jersey v. United States* clarified that what the Sherman Act was meant to break was the unification of power and control not as a result of normal methods
of industrial development, but by new means of combination which were resorted to … with the purpose of excluding others from the trade and thus centralising in the combination a perpetual control of the movements of … products in the channels of interstate commerce\textsuperscript{32}.
In \textit{United States v United States Steel Corporation (1920)}\textsuperscript{33}, the question whether the “mere size” of a corporation could be considered as violating the objects of the Sherman Act was considered by the court. Both the majority decision and the dissenting opinion in \textit{United States Steel} were in agreement that the mere power or size of a corporation itself did not offend the Sherman Act. The dissent by Justice Day captures the intent of the Sherman Act on the question:
The (Sherman Act) was framed in the belief that attempted or accomplished monopolisation, or combinations, which suppress free competition, were hurtful to the public interest, and that a restoration of competitive conditions would benefit the public (Stelzer: 19).
One basic difference between EU and USA competition policy can be noted: in the USA dominant firms might defend their anti-competitive conduct on grounds that such conduct did not result in any harm to consumers. American courts have tended to concentrate on conduct whose effect directly restrains output or increases price, to the immediate detriment of consumers, and to disregard as not constituting anti-competitive conduct those practices that do not directly cause such effect.
In the EU, on the other hand, the protection of competition as an institution is regarded as a principal objective of competition law. This being the case, anti-competitive conduct could not be excused in the EU on the reasoning that consumer welfare was not thereby harmed. There is a tendency in the EU to protect the structure of competition in the market rather than protect against losses to consumer welfare in the short-term (Soames:20).
In the EU, a competitive market is theorised to have long-run benefits. The basic assumption in the EU’s approach seems to be that harm to the competitive process will indirectly cause anti-competitive harm. In comparison to US courts, the European Commission (EC) has been more willing to assume harm based on potential adverse effects to the competitive process\textsuperscript{34}.
With such fundamental differences in approach between the EU and the USA on how to ensure markets remain competitive, developing countries cannot be expected to adopt either the USA or the EU competition law frameworks without self-examination.
It bears emphasis that there is no universally-accepted definition of ‘anti-competitive conduct’. According to Sutherland, anti-competitive
conduct is merely that which a particular community regards as undesirable conduct in the context of commercial competition\textsuperscript{35}.
Kenya’s national economic policy outlook took a turn to the right in the 1980s, with a de-emphasis of the role of the State to spur development. Kenya introduced Structural Adjustment Programmes (SAPs) in the early 1980s\textsuperscript{36}.
The Competition Act of Kenya (2010) provides among its objectives to “increase efficiency in the production, distribution and supply of goods and services” as well as the “promotion of innovation, the protection of consumers and enhancement of regional integration”\textsuperscript{37}.
“Equity” is not listed as one of the goals to be pursued by competition institutions under the Competition Act of Kenya. This could well turn out to be a significant omission for a country with a long history of racial exclusion from economic opportunity (1895-1963) and a post-independence experience (1963-2015) of ethnic polarisation and conflict grounded primarily on issue of distribution of public resources, especially land (Kibwana: 1996).
**Major Assumptions of Competition Theory: The Concept of ‘Efficiency’**
Neo-classical economists argue that under conditions of perfect competition, there is both ‘allocative efficiency’ and ‘productive efficiency’. Productive efficiency, as understood by neo-classical theorists of perfect competition, argues that goods and services will be produced at the lowest cost possible in a perfectly competitive market; and that this will result in a saving on the society’s expenditure incurred in the process of production.
According to neo-classical economic theory, consumer welfare is maximised in conditions of perfect competition. According to this argument, nation-states should not interfere with the ‘good of mankind’ (Smith: 1776). Allocative efficiency means that in a perfectly competitive market, economic resources are allocated between the different goods and services produced in precisely the quantities which consumers wish. Secondly, it means that the wishes of consumers can be discovered from the price that consumers are prepared to pay on the market.
Neo-classical economic theory stands accused of making several “unworldly assumptions” about the nature and characteristics of markets\textsuperscript{38}. Classical economics assumes that market mechanisms will operate in order to develop a rational international division of labour, which will optimise the world’s productive resources (Swainson: 1980: 2).
What perfect competition means is that on any particular market there is a very large number of buyers and sellers, all producing identical (or homogeneous) products; consumers have perfect information about market conditions; resources can freely flow from one area of economic activity to another; and there are no impediments (or barriers to entry) which can prevent the emergence of new competition\textsuperscript{39}.
Working from the basic presupposition of perfect competition, neoclassical economics derives its theory of general equilibrium which argues that all factors of production receive an income equal to their marginal product. General equilibrium theory argues that a producer will keep on producing and only stop at the point where the cost of producing a further unit (the marginal cost) exceeds the price he would obtain for it (the marginal revenue)\textsuperscript{40}.
The trend towards concentration and centralisation of production, and monopoly profits, has brought to question the whole scheme of capitalist markets operating on the basis of competition between numerous firms producing identical products. Neo-classical economics does not address the problem of monopoly as a growing factor in the modern economy: on the contrary, it assumes there are many producers of homogenous products competing on the basis of price in the market at all times.
Baran and Sweezy demonstrated that by the year 1966, if there was any competition in the US economy it was between oligopolistic corporations\textsuperscript{41}. However, the economic theory taught in US universities and business schools continued to stress that competition was the basic condition of the US market and of all markets in general.
Baran’s other concern was that, by 1956, the unproductive sector of the US economy (represented by luxury consumers, unproductive ‘industries’ like advertising and finance, and government) had become ‘well larger’ than the productive sector\textsuperscript{42}. This pointed to a ‘crucial contradiction’ of the economic system of the USA.
In Baran’s view, the system’s resources were not directed “in the line of welfare, abolition of exploitation, [and] freeing civilization from the wealth fetishisation” but towards the “progressive degradation of civilisation”\textsuperscript{43}. For Baran, the defining marks of the monopoly-capitalist order are ‘waste’ and ‘irrationality’\textsuperscript{44}. For example, with respect to the automobile (motor-car) industry in the US, Baran and Sweezy argued that more than 25 percent of the purchase price in the period between 1950 and 1956 was accounted for by unnecessary model changes.\textsuperscript{45}
Another weakness of neo-classical economics is that does not unravel the operations of the economy (in the sense that Adam Smith or Marx
understood the nature of their work) but is content with unjustified abstraction from real conditions in different countries in the world economy. In the 21st century, “economists are more liable to be recruited at higher levels from science and mathematics rather than from the classical social science disciplines”\textsuperscript{46}. This situation is attributable to the deference accorded to “mathematics and statistics as opposed to more general knowledge of the economy and the method and critique of the social sciences” within the economics profession\textsuperscript{47}.
Since perfect competition is usually unattainable and monopolies are a common feature in the real world, some writers have argued for a more run of the mill theory of ‘workable competition’. They submit that competition law that recognises these hard truths of the market ought to be based on four main objectives:
The first thing is that it will have to prevent agreements between individual firms which have the effect of restricting competition between them. Secondly, it will need to deal with attempts by monopolists or dominant firms to abuse their position and prevent new competition from emerging. Thirdly, it will need to ensure that workable competition is maintained in oligopolistic industries. Fourthly, it will need to monitor mergers between independent firms whose effect will be to concentrate the market and diminish the competitive pressures within it\textsuperscript{48}.
Such a design for competition law recognises that price competition, which is usually presented as an inviolable condition of capitalism, no longer dominates capitalist markets\textsuperscript{49}. Under conditions of monopoly, the monopolist is in a position to affect the market price of his products by reducing the volume of his own production.
A dominant firm may realise that if it earns large supra-competitive profits it will attract new competition and instead may settle for a quiet, uncompetitive life by selling at a depressed price which is sufficiently low to discourage other firms from entering the market\textsuperscript{50}. Foster concludes that it is necessary for neo-classical economic theory to deny the reality of monopoly in order for the theory to preserve itself\textsuperscript{51}.
**Kenya and South Africa: The Case for a Comparative Examination**
Kenya and South Africa (RSA) share a broadly similar colonial history. Both Kenya and RSA were brought under British sovereignty in the late nineteenth century.\textsuperscript{52} The State-sector was already well-established and was a major factor in the economy of Kenya and RSA at the end of white
minority rule in 1963 and 1994 respectively. RSA is usually seen as an exceptional case in Africa; while, further up north in East Africa, Kenya is seen as a regional exception.
Among the earliest settlers invited to Kenya to ‘open up’ the colony by Sir Charles Eliot, commissioner of the East African protectorate until 1904, were many South Africans. The settlers believed in the superiority of ‘European civilisation’ over the African way of life “…in some kind of vaguely conceived absolute sense, which was thought to have both moral and intellectual dimensions” (Leo: 34).
The settlers not only took their primacy for granted, but also seemed to lack any great concern for minimising the harmful effects of European settlement upon Africans. On the contrary, it was the effect of the African presence upon Europeans that was viewed with alarm (Leo: 35).
The 1902 Crown Lands Ordinance gave the commissioner power to sell or lease land to settlers. Sir Charles Eliot thought that Kenya would make a good white man’s country (Olivier: 1927: 63). The colonial government introduced in 1902 a hut tax whose chief purpose was to compel Africans to work on farms the government had allocated to British settlers (Leo: 34).
The 1918 Resident Labourers’ Act compelled the African ‘squatter’ to work for 180 days in a year for European landowners. By the mid-1920s more than half of all able bodied men in two of the largest ethnic communities in Kenya (the Kikuyu and Luo) were estimated to be working for Europeans (Leys; 1974: 31). Within the space of a generation they had effectively been converted from independent peasants, producing cash crops for the new markets, into peasants dependent on agricultural wage-labour (Leys: 31).
In 1960, Europeans controlled 7mn acres of land, which comprised about 50 percent of Kenya’s arable land and 20 percent of the country’s highly productive areas. In addition, 61,000 Europeans accounted for about 40 percent of the total wage bill in a country with 169,000 Asians and 7.8 million Africans (Ochieng’: 1992). In 1960, about 4,000 European farms accounted for 83 percent of the total agricultural exports of the country (Ochieng’: 176).
The negotiations held in Lancaster between 1960 and 1963 between the departing British administration and the incoming Africa regime of Kenya resulted in a constitutional bargain that would be mirrored thirty years later in the talks between the African National Congress (ANC) and the National Party in RSA. Kenya opted for the capitalist path at independence in a seminal economic policy document\(^{53}\).
The independence constitution of Kenya contained in Clause Six (6) a property rights clause that obliged the incoming African government to pay for settler farms. The compensation to settlers, as set out in the constitution, had to be paid in cash and not by bond: nationalist leaders, such as Oginga Odinga, the first vice-president of independent Kenya, viewed this as a drain on modest national resources (Odinga: 1967: 259).
The fundamental agreement of the negotiators in both cases was that disruptive changes to the economy at the end of white minority rule were to be avoided at all costs. The watch-words of the transition from colonial and apartheid rule to black majority rule in Kenya and RSA were: ‘reconciliation’ and ‘stability’. Redistribution of wealth to the majority, a fundamental objective fuelling the liberation struggles in Kenya and RSA respectively, was subordinated to the objective to maintain ‘stability’ of the existing economic structures.
Thus the constitutional bargain to usher in the independence of Kenya in 1963 would serve as a template for the South African settlement to end apartheid between 1990 and 1994. The charge that the African elites that assumed power in Kenya in 1963 and in South Africa in 1994 accepted a ‘sell-out’ deal from the Europeans has spawned a political movement in South Africa that is committed to reverse the basis of that settlement.\(^{54}\) The Mandela-Mbeki administration is accused of ‘privileging the political struggle over the economic struggle’ (Marais: 2001), resulting in a lopsided settlement with De Klerk’s Nationalist Party.
South Africa’s Truth and Reconciliation Commission noted in its final report that ‘violence’ was the most ‘consistent’ feature in that country’s history. Before the discovery of South Africa’s wealth in gold and diamonds during the 1870s, Britain held only a few pockets of commercial and agricultural capitalism along South Africa’s coastline. Those regions had been put under British sovereignty at the end of the Napoleonic wars in 1815.
The disintegration of the independent African peasantry in South Africa followed the establishment of a highly centralised mining industry in the country which needed a steady supply of cheap, unskilled labour.
The dismantled African peasantry would become the chief source of cheap labour, while a range of measures would be applied to guarantee and regulate the supply of labour. Administrative measures were introduced to establish and police a racial division of labour separating skilled European labour from unskilled African labour. The basis of British colonialism in South Africa during the final decades of the nineteenth century is summarised by Strachey in a revealing paragraph:
The question of who should use [African] labour and benefit from the surpluses which it produced, the British in mining or the Boers in farming, could, it turned out, only be decided by war [Anglo-Boer war (1899-1901)]. That this was in truth the issue is well commemorated by the terminology in use to this day [1959] in the City of London in regard to the matter. The City has always been, and still is, in the coining of its slang at least, delightfully frank.
How apt it is that South African gold-mining shares are known as ‘Kaffirs’! Thus in a single word the underlying fact is revealed that what is really being exploited in South Africa is not only the gold of the Rand nor the diamonds of Kimberley, but the exceptionally cheap labour of the Africans, or Kaffirs, conveniently embodied in the mined gold or diamonds (Strachey: 1959: 92).
Some observers described apartheid as ‘colonialism of a special type’. Other writers saw in South Africa the development of a ‘Two-Nation society’ between the years 1900 and 1990. South Africa’s ‘Two-Nation society’ was characterised by the phenomenon of the State subsidising the privilege of a ‘racially defined minority [with] the trappings of a social welfare state’ (Marais: 2001).
Lipton is a good representative of the ‘liberal’ viewpoint in South African historiography. Her survey of the growth of settler capitalism in South Africa reveals that Apartheid was a socially adaptive process. Lipton’s account of the evolution of apartheid in South Africa from 1910 to 1970 is that although apartheid played a crucial role in shaping ... socio-economic patterns; its effect was not to make [RSA] a uniquely different society, but to shift the incidence of poverty onto blacks. This exacerbated many of the social evils and denied blacks the chance to escape from them which equality of opportunity, and various stages of the life-cycle, usually allows to at least some of the poor.
This view assumed that capitalism was ‘non-astrictive’ or ‘colour-blind’: the industrial development of South Africa would lead, liberals argued, to the dismantlement of apartheid. The liberals argued that because apartheid could not be defeated politically, it had to be made unworkable economically until it collapsed. During the 1980s, apartheid was theorised as a peculiarly Afrikaner creation, since European countries had folded up their empires in Africa and Asia in the 1950s, 60s and 70s (Thompson: 1992).
The radical viewpoint in South African historiography, on the other hand, views apartheid as a complement to the capitalist system of South Africa from the inauguration of the Union of South Africa 1910 through Apartheid in 1948 up to the early 1990s. Representing the radical
standpoint, Ben Magubane saw apartheid “not as the result of a psychological aberration that one must deem irrational, but rather as a thoroughly rational arrangement supporting South Africa’s” white, hegemonic capitalism\(^{57}\).
Legum and Margaret pointed out that apartheid appeared to contradict a central argument of Marxist theory, which holds that those who control the key means of production, distribution and exchange would control the political machinery of their own society. In 1963, English-speaking South Africans controlled 99 percent of mining capital, 94 percent of industrial capital, 88 percent of finance capital and 75 percent of commercial capital\(^{58}\).
Despite this massive capital outlay in the hands of South Africans of British origin, the country was ruled by the Afrikaner section of ‘white South Africa’ between 1948 and 1990. The radicals’ response to this observation was that apartheid represented the ascendancy of white hegemonic capitalism in general, rather than a section of South Africa’s European community. In the radicals’ view, “apartheid was designed to secure labour for all capitals, not to deprive any employer of it” (Marais: 2001).
Amin summarises the debate around the relationship between capitalism and apartheid in a lucid paragraph:
South African capitalists developed … a project aimed at moving up in the global system by means of an industrialisation process that would be firmly protected and supported by the state. The apartheid system was perfectly rational in that context. Cheap productive labour does not necessarily create a problem of reeling surplus value when the demand can be stimulated by raising the incomes of the ruling minority and by expanding some exports. The claim that there existed a fundamental conflict between apartheid and capitalism misunderstood what was at stake (Amin: 2001: viii).
Mamdani seems to occupy his own ground somewhere between liberal and radical historiography (Mamdani: 1996). Mamdani views apartheid as ‘late colonialism’, i.e. basically a continuation of the British colonial policy of the 1920s. The 1922 Stallard Commission appointed by the British colonial administration in South Africa laid down the principle that an African should only be in the towns to “minister to the needs of the white man and should depart therefrom when he ceases to minister”. The ‘civilised labour policy’, introduced in 1924, reserved unskilled labour for Africans and placed African wages at about 10 percent of wages earned by whites (Olivier: 1927).
The ANC has been in existence since 1912. Between 1990 and 1994, the ANC claimed that upon assuming power it would establish a ‘developmental State’ and ‘lead, co-ordinate and plan’ an economic strategy aimed at: (i) job creation, and; (ii) redistributing resources to the poor. However, in the negotiations leading to the 1994 constitution, the ANC agreed to a clause in the constitution that would guarantee the Reserve Bank of RSA independence. The result of this accommodation by the ANC to the interests of capital was to effectively remove monetary policy from democratic oversight and accountability.
The ANC’s economic policy during the Mandela presidency (1994-1999) and his successor Thabo Mbeki (1999-2008) was contained in two documents: the Reconstruction and Development Programme (RDP) and the Growth, Employment and Redistribution (GEAR). Despite their redistributive rhetoric, both the RDP and GEAR were compatible with three objects favoured by financial capital, i.e.: (i) privatisation; (ii) liberalisation and (iii) convertibility. The RDP advocated for strict limits on State spending, while GEAR went even further to view government spending as an impediment to economic growth.
GEAR prescribed fiscal austerity and aimed to reduce the public sector debt which stood at 56 percent of GDP in 1996 to 3 percent of GDP by the year 2000. GEAR strategy placed the duty of economic salvation on the private sector through private investment and privatisation. However, GEAR provided no detailed linkage between its macroeconomic linkages and industrial policy. The neo-corporatist vision to ‘lead, co-ordinate and plan’ a redistributive economic policy became frozen inside the ANC.
The RDP and GEAR policies showed a desire to distribute economic benefits widely across society without, however, raising the anxiety of capital-owners. The penetration of RSA financial markets by foreign capital was encouraged by the ANC, as was the migration of local capital overseas. The strategy of Black Economic Empowerment was introduced by the ANC and quickly became prominent in government tendering and procurement processes as well as in privatisation drives.
Marais argues that South Africa’s economy is marked by three main features, two of which are endemic to most middle-income developing countries. Firstly, South Africa’s economy is heavily reliant on commodity exports for foreign exchange. Secondly, South Africa’s industrial sector appears to have been arrested in the semi-industrialised phase (Marais: 2001: 105).
The third feature and which could lend some credence to the claim of South African exceptionalism is that the country has well-developed transport, information and communications systems. Marais, however,
contends that South Africa’s systems of communication and transport are ‘inefficient’, although those systems may be likened to those found in First World countries in terms of ‘sophistication’.
Marais lists four conditions affecting South African industry that are also shared by a majority of African countries: low productivity, limited skills base, ageing plants, and a dependency on imports of capital goods. The general conclusion is that South Africa’s integration into the world economy throughout the 20th century rested on three pillars: as a primary product (mainly minerals) exporter, an importer of capital goods and technology, and a net recipient of indirect portfolio investment and direct foreign investment by multinational corporations (Marais: 106). Marais is dismissive of the viewpoint that South Africa is an exception on the continent in terms of economic structure, calling it a “revisionist fantasy lacking supportive evidence” (Marais: 105).
Leys in his 1974 work on underdevelopment in Kenya argued that the country lacked an indigenous bourgeoisie that could catalyse industrial transformation (Leys: 1975). Leys early work was located within the ‘dependency tradition’ and pictured the African elite that had ascended to power at independence as a ‘comprador regime’ that sought alliances with foreign capital, rather than devising ways to replace international capital on the local scene.
Leys’ revised (1978) thesis was more ambivalent as to the soundness of the main arguments of dependency theory. Swainson, in her 1980 survey of multinational corporations operating in Kenya, was even more optimistic than Leys of the possibilities of Kenya launching itself along the path to industrialization (Swainson: 1980).
Swainson traced the development of an indigenous (i.e. African/black) capitalist class in Kenya to the colonial era. She argued that this class did not lack the capacity to usher in industrial transformation in Kenya, along the lines of the English bourgeoisie in the 19th century. Swainson located this class of African capitalists in the State sector.
According to Leo, Kenyan capitalism seemed such a success that by the mid-1980’s even Marxist writers “did not take a non-capitalist development route seriously as an alternative for Kenya”\(^{59}\). By the early 1990s, however, matters had turned sour for Kenyan industrialisation. Coughlin argued that many forces conducive to rapid industrialisation in Kenya during the 1960s and 1970s sought to hinder it in the 1980s and 90s\(^{60}\).
He gave the example of multinationals and local industrialists who lobbied against tariff reforms that would help new industries to make intermediate inputs locally. Coughlin grouped together “merchants,
monopolists, and politicians” in Kenya who became ‘allies’ for the “quick kill” while also killing jobs and a whole range of industries that could have manufactured products like ‘screwdrivers, cutlery, pencils, ceramics and sisal bags (Coughlin: 1992)’.
Despite the shared historical ties and trajectories of colonialism and anti-colonialism, not many parallels have been drawn between the political economy of Kenya and RSA.\(^{61}\) The colonial State in Kenya and RSA operated an economic system where the European settler minority enjoyed a monopoly in several departments including: (i) a monopoly over fertile land and the production of cash-crops like coffee and cotton; (iii) a monopoly in banking and marketing services; and (iii) job reservation where unskilled menial work was reserved for Africans.
Colonial marketing and processing facilities relied on the importation of capital-intensive technology managed by expatriates and controlled from abroad (Brett: 1974). Railway line branches were located in European farming areas. The colonial system of taxation discriminated against the African majority by levying hut and poll taxes on Africans exclusively.
Despite contributing the largest amount in the tax collected by the colonial administration, Africans received only modest investments in expenditure for health, education and housing. This is the general context within which competition policy and law must be anchored. A narrow focus on efficiency might not in the best interests of African countries.
Endnotes
1 Birmigham: 1993; Boahen: 1985
2 Saad-Filho: 2003: 11
3 Ademujobi & Olukoshi: 2009: 4.
4 Ademujobi & Olukoshi: 4.
5 Gachuki & Coughlin: 1988: 91
6 Nyong’o: 2002: 22; Amin: 2014
7 Mehta: xxviii. See part III in this paper explaining ‘productive efficiency’ and ‘allocative efficiency’.
8 The framing of these two questions is adapted from John Saul who poses the same questions in reference to the “labour aristocracy debate” in the African setting. For a summary of the ‘labour aristocracy debate’ in Africa see Foster: 2014; Zeleza: 1996.
9 According to Marx, “primitive accumulation” is that process which is not the result of industrial capitalist activity but its “pre-condition”, Tucker: 1972. Rosa Luxembourg, in contrast to Marx and some Marxist writers like Mandel, does not freeze “primitive accumulation” to the historical period (pre-1850) before the emergence modern industrial capitalism. Luxembourg insists that modern industrial capitalism must engage in foreign conquests and imperialist wars (i.e., primitive accumulation) if the system itself is to continue to exist.
10 Berman & Lonsdale: 79
11 Ibid
12 Hollis: 2002: 235. See also Horn “[E]very approach to provide legal or non-legal protection of foreign investment has to deal with the problem of inequality of the parties involved, i.e. the sovereign host state on one hand, and, on the other, the foreign private investor, typically a foreign company or a domestic company controlled by foreign investors” 7
13 Braudel: 1976; Robinson: 1983; Buck-Morss: 2009
14 Robinson & Gallagher: 1953; Wright: 1976
15 The Robinson-Gallagher thesis is presented as a counter-narrative to the Marxist theory of imperialism (especially the version of Lenin: 1939), see Wright: 145.
16 Importantly, Strachey served in the British cabinet as the Minister for War during the Second World War.
17 Gutkind & Wallerstein: 1976: 182
18 Gutkind & Wallerstein: 182
19 Davidson: 1966: 202-3
20 Brett: 1974. It would appear that by the phrase “the negative effects so clearly visible in the present situation” Brett is referring to Africa’s general condition of ‘underdevelopment’.
21 ECA: 2013: 6; Rodney: 1972; Swainson: 1980; Leys: 1975; Nyong’o: 1992.
22 Abdalla Bujira and Samuel Lando ‘Introduction’ xiv.
23 Davidson:1992: 197
24 Founou-Tchigoua: 2002: 155
25 Founou-Tchigoua: 155
26 *Ibid*
27 Tordoff: 2002: 14; Morten: 2011
28 Founou-Tchigoua: 155
29 Gray & McPherson: (2001):731
30 Coughlin & Ikara: 1992
31 Fischer, Hernandez-Cata & Khan: 1998
32 221 US 1 (1911); Stelzer: (1986) 5
33 251 US 417 (1920); Stelzer: 10-19
34 This was the position of the European Court of Justice in *British Airways v Commission of the European Communities* (First Chamber Case T-219/99); Adeleke: 48.
35 Sutherland: 2000: 7.
36 The sort of “mixed-economy” preferred by Kenya’s founding President Jomo Kenyatta, and his cabinet minister in charge of economic affairs Tom J Mboya, was an economy that was “predominantly driven by the private sector, but with ample room for producer cooperatives, state-operated enterprises, and small holder production for the market” see Chege: 2007.
37 Section 3 of the Competition Act of Kenya 2010, compare with Section 8 (c) and (d) of the Competition Act of South Africa 1998.
38 Foster: 2014: 55
39 Whish:1985: 2
40 See Introduction: The theory of competition; Whish: 1985: 2
41 Baran & Sweezy: 1966
42 Foster: 2014: xvii
43 Foster: xviii
44 Foster: 40-1
45 Foster: 40
46 Milonakis & Fine: 2009: 15
47 Milonakis & Fine: 15
48 Whish “Introduction” 11
49 Foster: 2014: xiii
50 Whish ‘Introduction’ 7
51 See ‘Chapter 3 – Free Competition and Monopoly Capital’ Foster: 2014: 51-73.
52 Marais: 2001, dismisses the view that South Africa is an exception on the African continent. The argument for ‘Kenyan exceptionalism’ can be gleaned from Swainson: 1980. In contrast, Barkan: 1995 does not argue for a Kenyan exceptionalism. For a recent summary of the debate around ‘Kenyan exceptionalism’ and whose conclusion is that Kenya’s growth in the 1960s and ‘70s was closely paralleled on the continent see Morten: 2011: 2-23.
53 The full title of the 1965 publication by the government of Kenya is “African Socialism and its relation to planning in Kenya”.
54 The Economic Freedom Fighters (EFF), a political party that came third in the most recent elections in South Africa, and led by the erstwhile leaders of the ANC Youth League, has publicly expressed its aim to implement the Freedom Charter’s prescriptions on “nationalization of monopoly industries”, Bond: 2014; Odinga: 1967; New African.
55 The South African Communist Party (SACP) adopted the theory of ‘Colonialism of a Special type’ in a 1962 document called *The Road of South African Freedom: Programme of the South African Communist Party*.
56 Lipton: 1985: 18
57 Berger & Godsell: 1988: 287
58 Legum & Margaret: 1964: 108
59 Leo: 1984: 8. Leo considers that only a marginal group comprised of the “more ethereal [...] literary and philosophical Marxists” would probably go against the grain of “Marxists and non-Marxists [who] are as one in their acceptance of a capitalist development path for Kenya” 9.
60 See Coughlin & Ikiara: 1992.
61 Olivier: 1927; Leo: 1984; Leys: 1975; Okoth-Ogendo: 1991; Mandela: 1993. In his autobiography Nelson Mandela writes that he was inspired in his militancy during the 1950s and ‘60s by the ‘Mau Mau’ movement based in the central highlands of Kenya and the movement’s leader Dedan Kimathi.
References
A. Amsden “A Theory of Government intervention in Late Industrialisation” in L Putterman and D Rueschemeyer (eds.) *State and Market in Development* (1992) 53.
A Boahen *African Perspectives on Colonialism* (1985).
A Bujra and S Lando ‘Introduction’ in A Bujra (ed.) *Political Culture, Governance, and the State in Africa* (2010).
A. Hoogveldt *Globalisation and the Postcolonial World* (1997).
A Nove “Some Thoughts on Plan and Market” in L Putterman and D. Rueschemeyer (eds.) *State and Market in Development* (1992) 39.
A P Nyong’o “Unity or poverty: the dilemmas of progress in Africa since independence” in A. Nyong’o, A. Ghirmazion and D. Lamba (eds.) *New Partnership for Africa’s Development (NEPAD): A New Path?* (2002) 19.
A. Mafeje “Democratic governance and new democracy in Africa: Agenda for the Future” A Nyong’o, A Ghirmazion and D Lamba (eds.) *New Partnership for Africa’s Development (NEPAD): A New Path?* (2002) 72.
A. Saad-Filho *Anti-Capitalism – A Marxist Introduction* (2003).
A. Smith *An Inquiry into the Nature and Causes of the Wealth of Nations* (1776).
A. Thomson *An Introduction to African Politics* (2007).
B Berman and J. Lonsdale *Unhappy Valley* (1997).
B Davidson *The Black Man’s Burden: Africa and the Curse of the Nation-State* (1992); “The Outlook for Africa” *The Socialist Register* (1966).
B. Jones “Africa and the Poverty of International Relations” *26 Third World Quarterly* (2005) 987.
B Magubane “The Evolution of the Class Structure in Africa” in P. Gutkind and I. Wallerstein *The Political Economy of Contemporary Africa* (1976) 176; “Whose memory whose history? The illusions of liberal and radical historical debates” in Stolten (ed.) *History Making and Present-day Politics in South Africa* (2007) 251.
C Gray and M. McPherson “The Leadership factor in African Policy Reform and Growth” (1998) *Economic Development and Cultural Change vol. 49, no. 4.*
C Legum and M Legum *South Africa: Crisis for the West* (1964).
C Leo *Land and Class in Kenya* (1984).
C Leys *Under-development in Kenya* (1974); *The Rise and Fall of Development Theory* (1996).
C McMilan “Shifting Technological Paradigms From the US to Japan” in R. Boyer and D Drache (eds.) *States against Markets* (1996) 116.
C J Robinson *Black Marxism* (1983).
D Birmingham *The decolonization of Africa* (1995).
D Chanock “Human Rights and Cultural Branding: Who Speaks and How” in An-Na’im (ed.) *Cultural Transformation and Human Rights in Africa* (2002).
D Comaroff and J Comaroff (eds.) *Law and Disorder in the Postcolony* (2006).
D Gachuki and P Coughlin “Structure and Safeguards for Negotiations with Foreign Investors: Lessons from Kenya” in P Coughlin and G. Ikiara (eds.) *Industrialization in Kenya* (1992) 91.
D Milonakis and B Fine *From Political Economy to Economics* (2009).
D Sayer *Capitalism and Modernity* (1991).
E Brett *Colonialism and Underdevelopment in East Africa* (1974).
E Mandel *Marxist Economic Theory II* (1970); *Long Waves of Capitalist Development* (1995).
E Stolten (ed.) *History Making and Present-day Politics in South Africa* (2007).
E Tucker (ed.) *The Marx-Engels Reader* (1972).
F Tchigoua “NEPAD or the challenge of catching up” in A. Nyong’o, A. Ghirmazion and D Lamba (eds.) *New Partnership for Africa’s Development (NEPAD): A New Path?* (2002) 141.
G Hyden *No shortcuts to Progress* (1983).
G Mikell *Cocoa and Chaos in Ghana* (1989).
H Braverman *Labour and Monopoly Capitalism* (1974).
H Marais *Limits to Change* (2001).
H WO Okoth-Ogendo *Tenants of the Crown* (1991).
I Shivji *Silences in NGO discourse* (2007)
I Stelzer (ed.) *Selected Anti-trust Cases* (1986).
I Wallerstein *The Modern World System: Capitalist Agriculture and the Origins of the European World Economy in the Sixteenth Century* (1974); *The Modern World System* (1979).
J B Foster *The Theory of Monopoly Capitalism* (2014).
J D Barkan *Beyond Capitalism Vs Socialism in Kenya and Tanzania* (1994).
J M Keynes *The Economic Consequences of the Peace* (1920); *General Theory of Employment, Interest and Money* (1936).
J Hobson, “Imperialism: A Study” in H. Wright (ed.) *The "New Imperialism"* (1976).
J K Nyerere *Freedom and Unity: A Selection from Writings and Speeches* (1967).
J Strachey *The End of Empire* (1959).
L Olivier *The Anatomy of African Misery* (1927).
M Grindle *Challenging the State* (1996).
M Lipton *Capitalism and Apartheid* (1985).
M Mamdani *Citizen and Subject - South Africa and the Legacy of Late Colonialism* (1996).
N Mandela *Long Walk to Freedom* (1993); *Conversations with Myself* (2009).
N Swainson *The Development of Corporate Capitalism in Kenya 1910-1977* (1980).
O Aseto and J. Okelo *Privatization in Kenya* (1997).
P Baran and P. Sweezy *Monopoly Capitalism* (1970).
P Berger and L. Godsell *A Future South Africa* (1988).
P Bond *Looting Africa: The Economics of Exploitation* (2006).
P Coughlin “Economies of scale, capacity utilisation and import substitution: a focus on dies, moulds and patterns” in P. Coughlin and G. Ikiara (eds.) *Industrialization in Kenya* (1992).
P Gay and R K Webb *Modern Europe since 1815* (1973).
P Gutkind and I Wallerstein *The Political Economy of Contemporary Africa* (1976).
P Mehta and T Stewart *Should Competition Policy and Law be Blind to Equity? The Great Debate* (2013).
P Zeleza *Manufacturing African Studies and Crises* (1996).
R Boyer and D. Drache (eds.) *States against Markets* (1996).
R Jenkins *Transnational Corporations and Uneven Development* (1987).
R. W Cox *Production Power and World Order* (1987).
R Whish *Competition Law* (1985).
S Ademujobi and A Olukoshi *The African Union and New Strategies for Development in Africa* (2009).
S Amin “Understanding the political economy of contemporary Africa” (2014) *Africa Development*, Volume XXXIX, No. 1, 2014, pp. 15-36; ‘Preface’ in H. Marais *Limits to Change* (2001); *Imperialism and Unequal Development* (1977); *Unequal Exchange* (1976).
S Buck-Morss *Hegel, Haiti and Universal History* (2009).
S Fischer, E. Hernandez-Cata & M. Khan “Africa: Is this the Turning Point?” IMF papers on Policy Analysis and Assessment (1998).
T Biersteker “The Logic and Unfulfilled promise of Privatisation in Developing countries” in L. Putterman and D. Rueschemeyer (eds.) *State and Market in Development* (1992) 195.
T Hartzenberg “Regional Integration in Africa” (2011) *World Trade Organisation (WTO) Staff Working Paper ERSD-2011-14*.
T Pakenham *The Scramble for Africa* (1991).
W Ochieng’ and R Maxon *An economic history of Kenya* (1992).
W Rodney *How Europe underdeveloped Africa* (1972).
The State Incentives to Oligopoly in Face of Small and Medium-sized Enterprises in Latin America
RODRIGO DE CAMARGO CAVALCANTI
Doctor in Law by the Pontifícia Universidade Católica de São Paulo
Brazil
Abstract
The participation of Micro, Small & Medium Enterprises (MSMEs) in the economies of the developing countries is essential, at the same time that we face a global increase of enterprises concentration in the sense of creation of large economic conglomerates that have the main world market shares.
The oligopolies’ matter, especially in Latin America, is correlated to the democratisation and privatisation processes of the economy of those countries which occurred more intensely in the beginning of the 1990’s, after the fall of the dictatorships and infusion of neoliberalism prevailing in the local State policies. Therefore, despite constitutionally most of the Latin-American countries are protected by rules that value the social justice and the distribution of wealth, the globalised economy, through economic liberalism, undertook a process that lead to the current scenario of oligopolistic presence of domestic or international enterprises, although normally with transnational size.
Henceforth, considering those conditions as paradigms of a structural condition conniving with oligopoly and consequently, the lack of incentive to the productive efficiency of MSMEs, there should be a discussion, especially within the Latin America scope, concerning the examples and
references associated to such issues and the possible solutions for implementation of conditions of development for those enterprises and, consequently, provide compulsion to the necessary increase of competition, for the sake of favouring the entire society.
**Introduction**
According to the last study (2010) of the International Finance Corporation (IFC), a member of the World Bank, there are 125 million formal Micro, Small and Medium-Sized Enterprises (MSMEs) in the set of 132 analysed economies, including 89 million in emerging markets.
The participation of MSMEs in the economies of the developing countries is essential, at the same time that we face a global increase of enterprises concentration in the sense of creation of large economic conglomerates that have most of the world market share.
Those elements generate a challenge that will be emphasised herein, among others, which is the major existence of oligopolies in most of the national markets. Also in 2000, UNCTAD verified the oligopoly in those countries as a major issue to be tackled by governments and the World Bank working in partnership.
The oligopolies matter, especially in Latin America, is correlated to the democratisation and privatisation processes of the economy of those countries which occurred more intensely in the beginning of the 1990’s, after the fall of the dictatorships and infusion of neoliberalism prevailing in the local State policies. Therefore, the globalised economy, through economic liberalism, undertook a process that lead to the current scenario of oligopolistic presence of domestic or international enterprises, although normally with transnational size.
In Brazil, as well as in several developing countries mainly in Latin America, three political programmes that created and still perform such condition, among others, are the following:
- the practice of the national champions theory, especially by contributions of public investment, thus building a private relation between the State and the large national enterprise, its stock in the stock exchange and the public interest for the profit;
- the indirect imposition of the government to the antitrust divisions of adopting a lenient posture against the acts of concentration so that certain economic and political agenda is met, despite the fact that in principle they give effect or strengthen the oligopoly, they
are encouraged by financing and investment in public programmes; and
- lack of parameters of the antitrust division to judge the acts of concentration associated to the legal and normative concepts of social justice and human dignity and preference to those of the merely economic theory of ‘social wellness’ (in excess of the producer/consumer).
Henceforth, considering those conditions as paradigms of a structural condition conniving with oligopoly there should be a discussion, concerning the examples and references associated to such issues and the possible solutions for implementation of conditions of development for those enterprises and, consequently, provide compulsion to the necessary increase of competition, for the sake of favoring the entire society.
The global oligopoly is nowadays the most characteristic form of supply while the centralisation of capital, combined with the decentralisation of production, commercial and financial management, reorganise the economy and geopolitics of the world. The mergers and ongoing acquisition on the planet since the end of the 20th century dramatically altered the international market power relationships, leading economies beforehand domestic to global performance in competitive levels which current boundaries are given by way of interdependence between companies.
In this sense, François Chesnais said that this oligopolistic condition refers to the interdependence between firms, including ‘firms not reacting to more impersonal forces coming from the market, but personally and directly to their rivals’.¹
These take their mutual dependence marketplace, by all kinds of agreements (technical cooperation, joint determination of standards), of which not much fits the antitrust laws.
The constitutive relations of the oligopoly become in themselves, inherently, an important factor of barriers to entry, in which other elements (such as sunk costs or the magnitude of the investments in R&D) can then graft.²
In this scenario, since the 1980s, due to the economic crisis and the consequent adoption of neoliberal doctrine of the International Monetary Fund (IMF) and the World Bank, in force is a political and economic platform of deregulation of the financial sectors of developing countries, included therein Latin America, as well as a process of greater appreciation of the private sector to conduct themselves, of free competition and freedom of contract. The state, therefore, due to this booklet, should work towards minimum intervention in the market and the
internationalisation of the domestic economy as prerequisites for a good management of the economy.
With this policy, due to the inclusion of Latin American countries in a globalised international market, foreign direct investment rate (FDI) increased considerably. In Argentina, for example, while in 2000 the stock of FDI was about US$21,140mn, in 2010 jumped to US$29,840mn. In Brazil, in 2000 it was US$51,946mn and in 2010 it went to US$188,637mn. In Chile, in 2000 the amount was US$11,154mn and reached the level of US$60,146mn in 2010 – and then there was a considerable increase in all Latin American countries.\(^3\)
This wave of internationalisation of Latin America economy has taken place since the 1990s, with the expansion of business in this region from various sectors of economic activity into new markets abroad.
**Big Business and Oligopoly: Key Factors of Dissociation with a Defence Policy of SMEs**
Normally, the predominant perspective in studies on internationalisation focusses on companies in the internal factors that lead to this phenomenon.
In Latin America, there was a significant increase in FDI from the 1990s, a time when the economies of the region, from the neoliberal policies of the IMF and the World Bank, have adopted plans of monetary stabilisation and implemented market-oriented reforms (privatisation). More open to a growing oligopolistic competition, Latin American countries have seen some of its largest companies develop strategies to reach overseas markets as well as access to capital and technology.
However, we intend to draw attention to the effectiveness of the role played by the government to the success of multilatinas not only as deregulation agent of domestic economies but also in an attempt to foster by economic dynamism, including the promotion of expansion of certain companies. The trend of concentration of wealth and market in the hands of a few business leaders is one of the consequences of such policy, as the antitrust agencies cast a blind eye to major mergers and acquisitions (M&As) in the analysis of mergers.
Efficient international expansion of multilatinas depends much, simultaneously, of inorganic growth through acquisitions and joint ventures. Considering overseas acquisitions, compared to Latin companies of local operations, those of global reach make on average almost four times more joint venture operations and six times more business M&As.
What must be considered about the oligopoly capitalism in Latin America is that, ‘in decreasing the base of accumulation that is relevant to capital, capital its own is responsible for destroying the excess of capital in operation. Companies break, obsolete or surplus production structures are eliminated, acts of the capital centralisation process, to keep running the capital in a smaller base of accumulation, with higher profits for those who remain’.4
Mexican and Brazilian economic conglomerates dominate the list of top investors abroad, followed by Chile and Argentina. Chile, in turn, has the largest number of companies on the list such as retailing and distribution of energy. Obviously, they are ‘champions’ in the concentration and centralisation of capital in their countries of origin in order to control much of varied economic activities.
On the emergence of national champions companies, says Leandro Bruno Santos, based on Michalet: “the multilatinas are those champions after a long historical process of concentration and centralisation of capital in their home bases under state support. The author relates the theory to a concrete situation, but it cannot be assumed that all multilatinas will be domestic champions, because it depends on historical and spatial conditions or otherwise, the particular conditions of each socio-spatial formation. The concentration and centralisation remain important as theoretical parameters, while the role of the state which had been raised should be analysed for its relevance in the broader process of capital accumulation and power.”5
The specific concept of ‘national champions’ is considered by some scholars restricted in Latin America, Brazil, in the face of the policies of the National Bank for Economic and Social Development (BNDES). This Bank, a financial institution of the government, acts since 2002 practically performing loans to big companies in order to invest for the consolidation of those on the global stage. This purpose, namely, to encourage large domestic companies to become victorious competitors in the international market is the so-called ‘theory of national champions.’
The economic policy of national champions is not restricted to direct, positive, monetary investment, but is part of a set of factors observed in much of Latin America, factors of which are the permission of certain concentration acts which would be in the government’s aim.
What happens is the following: “we find a direct participation of the State not only to allow for the economic concentration, but also for its promotion. Such interference occurs always, in our view, for the sake of an irrational logic of preserving a biased structure of the concentration of
wealth in capitalism. We see therefore a reversal of nationalisation of enterprises: privatisation of the state in which it passes to undergo ever more intensely to gains and losses inherent in the market game.”\(^6\)
There is, therefore, an indirect imposition of governments to antitrust agencies to adopt lenient stance in the face of mergers to fulfill certain political and economic agenda. Advocates, for example, Giovanni Dosi, an Economics Professor at the School of Advanced Studies Sant’Anna in Pisa, Italy: “I propose that developing countries build domestic oligopolies able to compete with foreign oligopolies, both nationally and internationally.”\(^7\) For the supporters of this theory, there is no contradiction between competition policy advocacy and market concentration, especially if taken into account the global market.
The consequence is thus a “shared power without the need for overt collusion; the identity price is the general rule, and competition takes the form of physically indistinguishable differentiate products through design and particularly through advertising.”\(^8\)
The national champions, therefore, ‘can benefit from loans guaranteed by the state or implicit support raising the rating of its debt and reduce borrowing costs. It also helps access to natural resources, specific budgetary allocations, tax benefits and exemptions by supervisory authorities.’\(^9\)
In Argentina, for example, in 2007, in the cement market, the Antitrust Commission confirmed that three companies dominated 96 percent of the business. In short distance fixed telephony, Telefónica and Telecom controlled 80 percent of the market. After the engulfing of Quilmes by Ambev, 81 percent of the beer consumed in Argentina comes from a single Brazilian company. The Cablevision-Multicanal merger happened stating that, nationally, these two firms held ‘dominant’ position, with 51 percent of cable TV subscriptions.
Still, from 1999 to 2006, the *Comisión Nacional de Defensa de la Competencia*, Argentine antitrust agency, analysed 489 economic concentration, of which 94 percent were authorised, only five percent were subordinated to the fulfillment of any condition imposed by the agency and less one percent was denied.\(^{10}\) i.e. low rates of impediment and even subordination to conditions in view of the amount of concentration led to the Argentine agency.
It is still worth considering that there is an obligation of analysis by the agency as they fall within the following thresholds (Law 25,156, article 8): acts involving the participation of companies or groups of companies in a quota equal or greater than 25 percent or more of the relevant market;
or when the sum of the total turnover in the country of all the companies concerned is more than the sum of US$200mn; or even when the total turnover worldwide, of all the companies is more than US$2,500mn, i.e. only large companies are subject to examination by the antitrust agency.
In Brazil, in turn, according to Law 12.529/11, the Conselho Administrativo de Defesa Econômica (CADE, the Brazilian antitrust agency) should analyse the merger that portray one of the following: at least one group involved in the operation has registered in the last balance sheet, gross annual sales or total turnover in the country, in the previous year to the operation, equivalent to or greater than R$ 400,000,000.00 (four hundred million reais); and at least one other group involved in the operation has registered in the last balance sheet, gross annual sales or total turnover in the country, in the previous year to the operation, equivalent to or greater than R$30,000,000.00 (thirty million reais) (Art. 88, I and II). As it turns out, it is also of great size and relevance of companies in the domestic market.
The oligopoly is also present vehemently in Brazil. In partnership with the British counterpart Edmund Amann, the expert in Brazil Werner Baer, Professor of the Department of Economics of the University of Illinois (US), investigated 19 sectors of the country and found a strong concentration in 14 of them, in which the top four companies hold over 60 percent of the market. The branch with less competition is the petrochemical, with a 91 percent rate; automotive industry (85 percent), wholesale trade (80 percent), mining (79 percent) and food and beverages (76 percent) respectively. The broadband internet in the country, in turn, in 2014, was controlled by just four companies: Hi, Telefonica, Net and GVT. They dominated 90 percent of broadband in the country.\(^{11}\)
But even with very high levels of concentration in the Brazilian market, CADE, from January to July 2015, judged 192 cases of mergers, approving restrictions with 5 of them and not condemning any.\(^{12}\)
In Chile, the Subsecretaría de Telecomunicaciones (telecommunications agency) reveals that in 2013, three companies of this sector concentrated 98.7 percent market share, with 37.34 percent Movistar, Entel 37.26 percent, and Claro 24.11 percent. The Chilean national air traffic, in turn, as reported by the National Board Aerea in 2010 was concentrated on LAN Express (40.8 percent) in the SKY Airline (16.9 percent) and LAN Airlines (38.7 percent). With regard to pharmacies, the newspaper Estrategia News informs that this sector is concentrated, in 2010, in three companies, namely: Salco (25 percent), Fasa (30 percent) and Green Cross (40 percent).
The Tribunal de Defensa de la Libre Competencia (TDLC), the Chilean antitrust agency, according to data from Organisation for Economic Co-operation and Development (OECD), from 2004 until March 2015 only 25 concentrations were submitted to that body, and that of the total, 11 mergers were approved, only two failed and in 12 cases the TDLC did not issue resolution about.
Chilean law does not provide numerical thresholds to define the scope of the inspection system. However, there is a Guide on concentrations which indicates that it will not be investigate those horizontal operations that are below certain Herfindahl–Hirschmann Index (HHI) levels. These thresholds are not standard closing because it does not exclude the possibility of control by the Fiscalía Nacional Económica (FNE) or the eventual notification of the operation to the FNE.
HHI thresholds included in the Guide to FNE on Concentrations are limited in scope, are not binding, and its application is dimensioned to horizontal operations submitted to the FNE, entity that reserves the right to investigate operations that do not meet the thresholds under one of the following special circumstances: (i) one of the parties involved is a potential competitor; (ii) a Party is a leading innovator and a strong independent competitor (a “maverick” company); or (iii) there are current or recent signs of coordination.
This oligopolistic situation presented in the Latin American country markets, as exemplified above in relation to three major economies that dominate the list of foreign investments, is strengthened by their governments, and shows a preference towards production efficiency at the expense of allocative efficiency and also limits the economic and political power already quite limited for SMEs.
The national market for Latin American countries in view of the low level of development, calls for a promotion by the government granting a greater contribution of SMEs, taking into account the requirements of those in the economy conditioned to the low levels of technology adoption, little qualification of its employees and/or the employer himself, a relative administrative fragility, and low productivity.
In this scenario, as indicated by Emilio Zevallos V., we come across with “the demands of the new economy that in the process of globalisation has developed a new production and institutional framework that calls for substantial improvements in business processes, flexibility, quality and low prices, and, for countries, systemic productive development policies.”\(^{13}\)
On the other hand, given the current globalised environment, Ana Maria Nusdeo ponders that, in practice, the possibilities are remote that
countries like Brazil issue differing decisions of those countries where the headquarters of multinational companies are based. However, Nusdeo points out that there must be a careful and an effort “affirmation of competition to protect the interests of the country, with the imposition of remedies deemed necessary to do so, or the even more radical solution of denial of operation.”\textsuperscript{14}
The high degree of productive efficiency of big corporations, combined with the ease in raising credit and also to the indulgence of the state and, more than that, to a state policy model encouraging these major economic actors, reduces the possibility of SMEs in the trading market in the face of consumers, making it difficult to insert new actors into the economy, new actors that can contribute to the development of countries in which institutional and financial fragility, with social consequences, is latent.
Research conducted by Santander Bank in 2013 showed that 99 percent of companies in Latin America are micro, small and medium enterprises. The study, conducted with data’s from the World Bank, the International Labour Organisation, the Inter-American Development Bank and the Economic Commission for Latin America and the Caribbean showed that about half of these companies are in the informal sector and that a high percentage of them respond to a goal of self-employment or livelihood, not an ambitious or growth potential, as well as informality and access to credit are compromised.\textsuperscript{15}
It is also worth to note the study of Krekel, Van Der Woerd and Wouterse, for whom there are three categories of small and medium enterprises whose extinction is a natural consequence of the antitrust current policies in the face of high levels of concentration. One type concerns those companies ‘whose direction, production methods and financial or commercial structure are inappropriate; they are working at the limit of profitability and only remain for border protection force, still in force, or by a more or less precarious persistence’\textsuperscript{16} linked to the past. They have become so marginal companies whose ‘natural selection’ of the market does not give truce.
Another type of SMEs endangered situation with regard to family businesses that still resist the demand of professional managers, and belonging to a single owner, or a single family without extinction of this continuing process. And lastly, we can mention those that are far from achieving an optimal size, and “its products can be industrialised, for lower costs, by important companies.”\textsuperscript{17} These small and medium enterprises as well, according to the aforementioned authors, succumb to the concentration of larger companies.
Conclusion
With this analysis, it is understandable that the development of small businesses, therefore, regarding antitrust policies, basically depends on the following programmes:
- effective control *ex ante*, on the debasement of oligopolies through stricter decisions with respect to the concentration acts (worth pointing out that all those under the supervision of the antitrust agencies are, as a rule, large acts);
- clearer and more objective insertion of human rights in the analysis of the antitrust agencies, teleologically to the dignity of the human person in order to ensure proportional balancing to the concentration acts effects on the widest possible number of factors; and
- finally, the encouragement of SMEs by sharing information of companies forming part of the oligopolistic group with other companies in the sector, under the supervision of the antitrust agency (in order to avoid undue and untied information exchanges for the decision goals), with the aim of minimising the technological and informational imbalance involving distribution logistics methods and storage products, among others, to a larger structural and performative balance, always with proportionality and reasonableness (in order to avoid exacerbated transfer efficiencies).
Endnotes
1 CHESNAIS, François. A globalização e o curso do capitalismo de fim-de-século. Economia e Sociedade, Campinas, (5):1-30, dez. 1995
2 *Ibid*
3 SANTOS, Leandro Bruno. Multilatinas na economia global. Caracterização histórica, setorial e espacial
4 SAWAYA, R. R. Subordinação consentida: capital multinacional no processo de acumulação da América Latina e Brasil. Pontificia Universidade Católica de São Paulo, São Paulo, 2004, p. 221
5 SANTOS, Leandro Bruno. Estado, industrialização e os espaços de acumulação das multilatinas
6 CAVALCANTI, Rodrigo de C. O oligopólio no Estado brasileiro de Intervenção Necessária. Porto Alegre: Lumen Juris, 2015
7 MARTINS, D. Para economista italiano, Brasil deve fortalecer oligopólios nacionais. Valor Econômico. 7 nov. 2011
8 BARBER, Richard J. Empresas multinacionais. Poder-economia-estratégia. São Paulo: Atlas, 1972, p. 169
9 WIGGLESWORTH, Robin. Los campeones nacionales de los mercados emergentes. El Espectador
10 TORTAROLO, María Rita. La Ley de defensa de la competencia en la República Argentina
11 CARTA CAMPINAS. Oligopólio total: apenas quatro empresas controlam 90% da banda larga no Brasil
12 CADE. Cade em Números - Ato de Concentração
13 ZEVALLOS V. Emilio. Micro, pequeñas y medianas empresas en América Latina. Revista de la CEPAL, 79.
14 NUSDEO, Ana Maria de O. Defesa da concorrência e globalização econômica: o controle da concentração de empresas. São Paulo: Malheiros, 2002, p. 216.
15 NAKAGAWA, Fernando. Na América Latina, 99% das empresas são micro, pequenas ou médias. Estadão
16 BULGARELLI, Waldirio. Concentração de empresas e direito antitruste. São Paulo: Atlas, 1996, p. 26.
17 BULGARELLI, Waldirio. Concentração de empresas e direito antitruste. São Paulo: Atlas, 1996, p. 27.
References
BARBER, Richard J. Empresas multinacionais. Poder-economia-estratégia. São Paulo: Atlas, 1972.
BULGARELLI, Waldirio. Concentração de empresas e direito antitruste. São Paulo: Atlas, 1996.
CADE, Cade em Números - Ato de Concentração. Available at: http://www.cade.gov.br/Default.aspx?8cac6fb17e9e9cbe96b7
CARTA CAMPINAS. Oligopólio total: apenas quatro empresas controlam 90% da banda larga no Brasil. Available at: http://cartacampinas.com.br/2014/02/oligopolio-total-apenas-quatro-empresas-controlam-90-da-banda-larga-no-brasil/
CAVALCANTI, Rodrigo de C. O oligopólio no Estado brasileiro de Intervenção Necessária. Porto Alegre: Lumen Juris, 2015.
CHESNAIS, François. A globalização e o curso do capitalismo de fim-de-século. Economia e Sociedade, Campinas, (5):1-30, dez.1995.
MARTINS, D. Para economista italiano, Brasil deve fortalecer oligopólios nacionais. Valor Econômico, 7 nov. 2011. Available at http://www.valor.com.br/brasil/1086064/para-economista-italiano-brasil-deve-fortalecer-oligopoliосnacionales
NAKAGAWA, Fernando. Na América Latina, 99% das empresas são micro, pequenas ou médias. Estadão. Available at: http://economia.estadao.com.br/noticias/negocios,na-america-latina-99-das-empresas-sao-micro-pequenas-e-medias,1,57574e
NUSDEO, Ana Maria de O. Defesa da concorrência e globalização econômica: o controle da concentração de empresas. São Paulo: Malheiros, 2002.
SANTOS, Leandro Bruno. Estado, industrialização e os espaços de acumulação das multilatinas. Available at: http://www2.fct.unesp.br/pos/geo/dis_teses/12/dr/leandro.pdf
SANTOS, Leandro Bruno. Multilatinas na economia global. Caracterização histórica, setorial e espacial. Available at: http://www.ub.edu/geocrit/sn/sn-469.htm
SAWAYA, R. R. Subordinação consentida: capital multinacional no processo de acumulação da América Latina e Brasil. Pontifícia Universidade Católica de São Paulo, São Paulo, 2004
TORTAROLO, María Rita. La Ley de defensa de la competencia en la República Argentina. Available at: http://www.eco.unrc.edu.ar/wp-content/uploads/2011/04/Tortarolo.pdf
Abstract
This paper provides an overview of selected national policies, institutions and types of organisations that can help foster innovation in developing economies. It discusses some of the essentials that are needed to organically stimulate innovation in products and services within a country. Stimulating a meaningful amount of innovation within a country is essential for developing more mature and relatively competitive markets that, in the longer run, will promote economic development and growth, and sustained development of human capital. The paper provides a brief illustration of innovation and value chain in global coffee markets.
Introduction
The literature on innovation encompasses a wide range of issues related to patents on products and processes, copyrights, trademarks, among others, and enforcement of intellectual property rights (IPRs). This paper discusses selected issues related to innovation, the key benefits it bestows
on national economies, manner in which innovation can promote competition, and the government policies and initiatives that can foster innovation in developing economies. The objective is not to provide a comprehensive overview, but to highlight some key issues that may help decision-making in framing policy.
More specifically, the paper addresses some issues related to institutions, organisations and policies that are likely to organically stimulate innovation in products and services, and technological development within a country. In the longer run, these processes will also facilitate the development and growth of internal markets, along with making them more competitive. The policy insights from this paper will be helpful in achieving higher economic growth and employment, and foster sustained innovation and industrialisation in developing economies. These aspects are also key to reducing the disparities in economic opportunities.
The paper briefly examines some issues in the relationship between innovation and competition; and various institutions and organisations that foster innovation and development of technologies. It discusses selected issues related to regulatory and competition policies, and their links to innovation and provides a brief illustration of innovation in products and services in the global coffee markets. It concludes with some policy prescriptions.
**Innovation and Competition**
Innovation is viewed as critical to fostering the growth of markets, generating new products and processes, generating efficiencies and improving economic welfare. The relationship between innovation and competition is bi-directional and complex: the degree of competition among firms has been recognised as one of the important factors influencing innovation; and, greater innovation is viewed as one of the factors that may affect competition and growth of markets.
The relationship between innovation and competition is, therefore, important for several reasons. If innovation generates growth of markets and increases efficiency, then creating institutions and markets that foster innovation are vital to increasing economic welfare. Further, if relatively more competitive markets generate greater innovation, then antitrust and regulatory policies, for example, would need to be structured and enforced appropriately to facilitate competition.
As has been recognised in the literature, instances where patents create monopoly rights (e.g., in pharmaceuticals) can prove to be complicated in assessing economic welfare effects as we need to trade-off the potential
increase in market power with the availability of new innovative products. However, even in an industry like pharmaceuticals, if there exist multiple well-resourced incumbent firms – or potential entrants – who can generate inter-patent competition, then these competitors can offer disciplining effects on prices. An important role played by competition law and enforcement would be to monitor markets effectively to, for example, minimise mergers and acquisitions (M&As) that might lead to very high levels of market concentration.
In the economics literature, the bookends linking innovation and competition are the contributions by Schumpeter (1934, 1942) and Arrow (1962). Schumpeter predicted that larger firms with rent earning opportunities will generate greater innovation. Arrow, in contrast, predicted that atomistic firms in competitive markets will generate greater innovation. Recent important theoretical contributions by Aghion et al. (2005) predict a non-linear relationship between innovation and competition, with intermediate levels of competition delivering the highest levels of innovation. The writings by Aghion and Griffith (2008), Cohen and Levin (1989), Ahn (2002), and Gilbert (2006), for example, provide excellent reviews of the broader theoretical and empirical literatures.\(^1\)
One way to view how more innovative and entrepreneurial economies and markets can foster more competition is as follows. The literature generally shows that countries that generate greater overall innovation are also those with high rates of new firm startup and entrepreneurial activity. While not all of this startup and entrepreneurial activity will be successful, some will succeed and grow to be larger firms.\(^2\)
It is this process of creative destruction that generates new and innovative firms and products that over time may replace the incumbents and constrain their market power. These new entrepreneurs and firms can provide effective competition to the incumbents creating a more competitive environment.\(^3\)
**Institutions and Organisations that Foster Innovation**
Significant initiatives, policies and institutions are needed to stimulate innovation in developing economies. Without this, domestic innovation will suffer, retarding growth and development in the longer run.
Examining the literature, there appears to be no single defining item that helps foster innovation and technological development within a country. The ingredients appear to include clear rules and protection of IPRs, accommodative economic policies to support entrepreneurship and innovation, an overall economic environment and regulations that support
business creation and development, availability of private and public financing, and a variety of key organisations.
**Intellectual Property Rights (IPRs)**
There needs to be a well-defined system of protection of IPRs, accompanied by clear infringement protections.\(^4\)
Perhaps the most important point to note for developing countries is that the presence of a well-run and enforced IPR regime is almost essential for organic growth of innovation within the country. A lot of this discussion gets clouded by comparisons between the more developed and less developed countries. But this is missing an important point. Unless each country develops a realistic and meaningful IPR system within the confines of their own country, within-country innovators have less incentives to innovate. Local entrepreneurs and innovators need IPR protection as this provides them the incentives to innovate.
Lack of organic growth of internally developed technologies and innovation will likely to result in lower rates of growth and economic development in the longer run. While the optimal IPR protection period can be debated and varies across countries, developing economies need a well-structured IPR infringement system to protect innovators and entrepreneurs, and stimulate growth.\(^5\)
**Business Incubators and Accelerators**
Incubators and accelerators have played an important role in development of nascent firms, products and technologies.\(^6\) While most of the well-known and successful incubators and accelerators, but certainly not all, appear to be concentrated in the relatively more developed countries, there are important lessons for developing economies. The objectives of incubators and accelerators, broadly speaking, are to foster innovation, entrepreneurship and creation of new businesses.
An *incubator* is an organisation designed to increase the likelihood of success of entrepreneurial firms. Incubators bring in external management team to manage an idea, and can focus on tasks such as job creation, professional services, training, networking, venture capital financing, and utilisation of specific technologies.\(^7\) There are several different types of incubators. The university-based incubators (UBIs) and university-associated business incubators (UABI) primarily aim to connect entrepreneurial talent and skills to specific types of technologies and services. The private business incubators, in contrast, provide any aspect of a wide range of support and services. The international business
incubators, in contrast to all of the above, concentrate on international firms that want to access foreign markets and resources.\(^8\)
The emergence of *accelerators* followed the growth and maturation of the incubator model.\(^9\) An accelerator can be either an advanced stage incubator which assists more mature entrepreneurial firms, or they can be an organisation that contains hybrid business incubation programmes designed for incubators to enter the market. Some of the characteristics of accelerators include competitive applications process, pre-seed investments, and limited-duration and intensive mentoring.\(^10\)
**Table 10.1** briefly summarises some of the key similarities and differences between incubators and accelerators.\(^11\)
| | Incubators | Accelerators |
|----------------------|-----------------------------|-----------------------------|
| **Duration** | 1 to 5 years | 3 months |
| **Business Model** | Rent; non-profit | Investment, can also be non profit |
| **Selection** | Non-competitive | Competitive, cyclical |
| **Venture Stage** | Early, or late | Early |
| **Mentorship** | Minimal, tactical | Intense, by self and others |
| **Venture location** | On site | On site |
Historically, in the development of incubators and accelerators, the US attained significant benefits and growth. It has been noted that one of the important barriers for the development of incubators in Europe was the lack of entrepreneurship and the under-development of seed financing. It has also been noted that many incubators, particularly in Europe, did not screen potential firms on a balanced set of factors, but concentrated on the characteristics of the firms’ market or the management team. It has been observed that firms’ survival rate is positively related to a more balanced screening profile.\(^12\)
**Table 10.2** presents selected examples of accelerators, the amounts of funding, and some of the success stories in terms of the startup firms.
| Name (Start Year) | Country (Location) | $Total ($Average) | #Startups (Selected examples of startups) |
|-----------------------------------|--------------------------|-------------------|------------------------------------------|
| Y Combinator (2005) | USA (Silicon Valley) | $4,030 (5.8) | 694 (Dropbox, AirBnb, Strip, Optimizely, Zenefits) |
| TechStars Boulder (2007) | USA (Boulder) | $250 (3.2) | 77 (DigitalOcean, Gearbox, SendGrid, FullContact) |
| AngelPad (2010) | USA (San Francisco) | $232 (2.7) | 85 (Crittercism, Postmates, MoPub, ElasticBox) |
| TechStars Boston (2009) | USA (Boston) | $200 (2.4) | 83 (Localyrics, Kinvey, EverTrue, GrabCAD) |
| Seedcamp (2007) | UK (London) | $131 (1.1) | 118 (Transferwise, Basekit, GrabCad, Profitero) |
| DreamIT Ventures (2008) | USA (Philadelphia) | $124 (1.9) | 63 (SeatGeek, SCVNGR, Adapt.ly, MindSnacks) |
| Mucker Lab (2012) | USA (Santa Monica) | $111 (5.8) | 19 (Surf Air, Retention Science, Lifecrowd, Younity) |
| RockHealth (2010) | USA (San Francisco) | $72 (1.5) | 49 (Omada Health, Kit Check, CellScope, Sano Intelligence) |
| Flashpoint (2011) | USA (Atlanta, Geo) | $64 (1.7) | 38 (Ionic Security, Pindrop Security, Springbot, Lucena) |
| LaunchpadLA (2009) | USA (Los Angeles) | $62 (2.4) | 26 (Tradesy, Chromatik, ChowNow, Preact) |
| Springboard (2009) | UK (London) | $54 (2.2) | 25 (PagerDuty, Hassle.com, Birdback, PlayMob) |
| Portland Incubator (2009) | USA (Portland) | $52 (2.4) | 22 (VendScreen, Cloudability, Orchestrate, Vadio) |
| StartmateLink (2011) | Australia (Sydney) | $17 (0.8) | 21 (Scriptrock, Ninja Blocks, Bugcrowd, Bugherd) |
| FounderFuelLink (2011) | Canada (Montreal) | $12 (0.3) | 37 (ooomf, Notesolution, Seevibes, Playerize, Urbita) |
| Chinaccelerator Link (2010) | China (Shanghai) | $11 (0.3) | 31 (OrderWithMe, Aylien, Splitforce, Piktochart) |
| Le CampingLink (2011) | France (Paris) | $10 (0.2) | 48 (Sketchfab, infinit, docTrackr, Augment, qunb) |
| Rockstart Accelerator Link (2011) | Netherlands (Amsterdam) | $10 (0.2) | 39 (3Dhubs, Wercker, Syndicate Plus, PastBook) |
* $Total ($Average) refers to the total (average) funding made available ($ millions).
Incubators and accelerators are multifaceted organisational forms to meet specific needs. They can be private, public, or public-private partnership (PPP). For developing economies, there is a potentially important role of government in later two, but also important to facilitate and incentivise private participation.
There is meaningful evidence that relying on public investments and initiatives only to stimulate innovation and entrepreneurial activity may often lead to limited success. International evidence points to private being more successful overall. Some of the underlying reasons relate to less administrative, oversight and project content inefficiencies. Some of these lessons in comparative analysis of incubator and accelerator successes and failures are important for developing economies.
**University Based Collaborations and Science Parks**
There is increasing evidence that university-based science parks can foster innovation and entrepreneurship. Studies show that university-based technology ventures can lead to significant knowledge flows from universities to incubator firms, and affect the likelihood of survival of startups. Studies also find that the for-profit university technology transfer offices are positively related to new venture formation, and that the more traditional university and non-profit transfer offices are more likely to correlate with the presence of university-based business incubators.\(^{13}\)
Studies also find that a high-technology firm’s propensity to make effective use of the university parks’ resources and support increases with the lifecycle stage of the company.\(^{14}\) Finally, some studies find that the number of spin-out companies created are positively associated with rules on intellectual property protection, royalty regime of the university, and the business development capabilities of the university technology transfer offices.\(^{15}\)
Table 10.3 presents a few university-based incubators. It reveals the wide variation in the types and number of institutions that form such organisations. The information on the institutions involved are mostly from the website of UBI Index (http://ubiindex.com).
| Name (Type, Start Year) | Country (Location) | Institution(s) |
|-------------------------------------------------------------|------------------------------------|--------------------------------------------------------------------------------|
| SETsquared (UBI, 2003) | UK (Bristol, Southampton, Bath, Guildford, Exeter) | University of Bath, Bristol, Exeter, Southampton, Surrey |
| ATP Innovations (UBI, 2000) | Australia (Sydney) | University of Sydney; University of Technology, Sydney; Australian National University; University of New South Wales |
| IncubaUC (UBI, 2002) | Chile (Santiago) | Pontifical Catholic University of Chile |
| Industry Accelerator and Patent Strategy (UBI, 2013) | Taiwan (Hsinchu City) | National Chiao Tung University |
| Instituto Genesis PUC-Rio (UBI, 1997) | Brazil (Rio de Janeiro) | Pontifical Catholic University of Rio de Janeiro |
| TEC Edmonton (UBI, 2004) | Canada (Edmonton) | University of Alberta |
| DTU Syambion Innovation (UBI, 2009) | Denmark (Copenhagen) | Technical University of Denmark |
| Melbourne Accelerator Program (UBI, 2012) | Australia (Melbourne) | University of Melbourne |
| HUST Science Park Development Corp. (UBI, 2001) | China (Wuhan) | Huazhong University of Science and Technology |
| NDRC (UBI, 2008) | Ireland (Dublin) | Dublin City University; Dún Laoghaire Institute of Art, Design and Technology; National College of Art and Design; Trinity College Dublin; University College Dublin |
| Chrysalis (UBI, 2012) | Chile (Valparaíso) | Pontifica Catholic University of Valparaíso |
| National Chiao Tung University Business Incubation Center | Taiwan (Hsinchu City) | National Chiao Tung University |
| iMinds (UBI, 2004) | Belgium (Ghent) | University of Antwerp; University of Leuven; Ghent University; Vrije Universiteit Brussel |
| TechColumbus (UABI, 2005) | USA (Columbus) | Ohio State University; Columbus State Community College; Otterbein University; Denison University |
| Montpellier Agglomeration Business & Innovation Centre | France (Paris) | Montpellier University |
| Hub China (UABI, 2013) | China (Beijing) | Capital Normal University; Beijing Technology and Business University; North China University of Technology |
| Los Angeles Cleantech Incubator (UABI, 2011) | USA (Los Angeles) | University of Southern California; University of California, Los Angeles; California Institute of Technology; California State University, Northridge |
| Stiftelsen Chalmers Innovation (UABI, 1999) | Sweden (Gothenburg) | Chalmers University of Technology |
| Nanotechnology Incubator (UABI, 2005) | Mexico (Monterrey) | Instituto de Innovación y Transferencia de Tecnología de Nuevo León |
| Nuvolab (UABI, 2011) | Italy (Milan) | Universita’ Cattolica del Sacro Cuore; Scuola Superiore Sant’anna |
It has been noted that science parks can be an important strategy in the overall strategy or development of technologies and fostering innovation. One study using Italian data, for example, reveals that the science parks attracted skilled entrepreneurs, that incubator-related firms had better success rates related to technology adoption and technology-related collaboration with universities, and easier access to business capital including public subsidies.\textsuperscript{16}
Other findings in this literature include a positive relationship between incubators and economic growth (Abetti, 2004). Further, evidence appears to find that by acting as open innovation intermediaries, publicly supported incubators were able to transfer knowledge from large firms to society (Clausen and Rasmussen, 2011), and that incubator and venture capital support influenced technology commercialisation and the performance of new ventures (Chen, 2009).
Universities can generate enormous knowledge and innovations. This needs to be harnessed via university-based science parks and incubators in the overall strategy of organic development of technologies and fostering innovation. Incentivising researchers and faculty in STEM (Science, Technology, Engineering and Mathematics) areas to participate in innovation and entrepreneurial processes will facilitate local generation of innovation and entrepreneurship in developing economies.\textsuperscript{17}
The information and learning from the alternative models and experiences across countries can be useful in framing of policies to encourage formation of such organisations in developing economies.
\textbf{Other Policies}
There are other standard instruments that governments have used worldwide for stimulating innovation. These include, for example, government subsidies and research funding. R&D subsidies, for example, is a common instrument used in many countries. The second instrument – direct research funding – has much larger variation across countries. These can be targeted to specific industries that governments may feel important for future growth and development. Areas could include critical sectors such as pharmaceuticals and generic medications, telecommunications technologies, alternative energy technologies, among others.
While government subsidies for research are a relatively common instrument, the use and size of this instrument varies considerably across countries. Developing economies in particular may be prone to allocating far less resources to this area. While this at times is justified given the
pressing needs in other areas such as alleviation of poverty, it is important to recognise the longer run benefits that may accrue these resources.
**Role of Regulatory and Competition Policies**
The institutional and organisational characteristics are designed to stimulate innovation and technological development. In thinking about the innovation-competition nexus, some regulatory and policy dimensions are explored.
While the precise relationship between innovation and competition is debatable, there is ample evidence that economies that generate greater innovation are more successful in the longer run. When evidence on innovation is examined, it is clear that it does not come from any one group of firms or product category. Important innovations are generated by the smallest as well as the largest firms in the economy.
Further, innovation came arise in high-technology areas like ICT, pharmaceuticals and biotechnology, as well as in a wide range of other areas like processed food products and beverages, agriculture, transportation, among others. In addition, evidence shows that smaller firms generate innovation in a more cost-effective manner than larger firms; for example, evidence from many markets shows that the R&D cost per patent is often lower for smaller firms.
First, we consider the lifecycle aspects of firms, growing from small startups to larger corporations. In coffee markets Lavazza, a prominent Italian and global coffee company originally started within in a small grocery store in Turin, Italy. Starbucks started in 1971 opening its first small store in Seattle’s Pike Place Market. Some of the most influential technology companies that have at various points in time redefined markets and consumers’ lives, the names that come to mind include Nokia, Alibaba, Apple, Microsoft, Amazon, among others.
Perhaps the most interesting aspect of these companies is that all of them started as ‘tiny’ startups, and many of the most influential technology companies literally started in peoples’ garages. The reason these companies were successful are very complex. But many of the institutional and organisational issues have generally been influential in ensuring higher likelihood of startups maturing to well-established and stable businesses; this is true in a wide ranging set of economies in Europe, North America, and some Asian countries. This implies that the economic and regulatory policy environments need to be structured in a manner to facilitate the creation and growth of new companies.
Second, the regulatory policies, institutions and enforcement need to clearly facilitate more open internal markets and competition. There are ‘sector’ regulators – typically, for example, in energy, transportation, banking and telecommunications – who are tasked with maintaining the vibrancy of markets in their specific areas. While they play an important role, they are not sufficient by themselves due to issues related to political intervention and regulatory capture. This implies an important role for (ideally) independent competition law enforcement agencies to provide an added layer of checks and balances.
Third, we need a well-structured competition law and enforcement environment. This will be complementary to the overall economic and regulatory policies. With respect to competition law enforcement, there is perhaps a fundamental conflict between small vs. large firms in an economy. As small, entrepreneurs and firms want relatively easy entry, access to capital, among other aspects, to succeed. As large, firms want entry to be difficult and costly, in order to preserve their economic rents.
Think of a nascent telecommunications or internet or online content provider. They would want easy access to network (net neutrality), capital, among other aspects to enter and grow. A large telecom or internet or online content provider, on the other hand, would want almost exactly the opposite. This implies that to get buy-in of all types of businesses into a common competition laws and enforcement mindset is a challenging task.
Examining consumers’ preferences, they would prefer markets that are innovative and provide them with greater choices regarding the range of products, quality, and low prices. While large firms provide many of these attributes, in important part the delivery of these attributes and vibrancy of markets depends on the ease of entry, entrepreneurship and competition.
Further, there is an important issue regarding stability of businesses. Historical evidence from developed and developing economies shows that small businesses, on average, have much higher failure rates. Larger businesses, on average, are more likely to provide greater stability to the markets.
The relative balance between small and large businesses is, therefore, rather nuanced. While smaller business provide much needed vibrancy to the markets, larger businesses may bring greater stability, substantial R&D and innovation footprint, among other aspects. The above discussion implies that an ideal market structure for optimal longer-run delivery of growth (e.g., incomes, investment, and employment), competition,
innovation, among other attributes would be one where relatively smaller and larger firms coexist.
It is a challenging task to address the potential importance and behaviour of smaller vs. larger businesses towards competition initiatives, and broader buy-in of initiatives that will foster competition in markets. Competition law and its enforcement, therefore, have to ensure that markets remain relatively competitive and facilitate the emergence and growth of new businesses, and foster innovation.\(^{18}\)
**Coffee Markets: An Illustrative Example and Scope for Innovation**
Innovation encompasses a wide range of issues related to patents on products and processes, copyrights, trademarks, among others, and enforcement of IPRs. Before moving to summarise a set of policy prescriptions, the paper provides a brief example from coffee markets to illustrate the multifaceted aspects of innovation, and what developing countries may need to do to move up the value chain.\(^{19}\)
Coffee is one of the top commodities globally, and coffee beans are produced by many countries. The top coffee bean producing countries in 2014 were (in descending order):\(^{20}\) Brazil, Vietnam, Columbia, Indonesia, Ethiopia, India, Honduras, Mexico, Uganda and Guatemala. However, the value-chain for coffee is rather complex. The broader processing steps related to roasting, grinding, blending and flavoring are very important and add substantial value.\(^{21}\)
Sophisticated and prominent multinationals like Nestle (including Nespresso), Starbucks, Costa Coffee, Lavazza, among others, have devoted significant resources related to R&D (\textit{e.g.,} in processes related to the mix of roasting, blending and flavoring), branding (trademarks) and marketing to elevate their standing in global markets, earn profits, and employing thousands of workers. While these companies are multinationals now, a prominent Italian coffee company Lavazza originally started within in a small grocery store in Turin (Italy), Starbucks started with its first small store in Seattle’s Pike Place Market, and Costa coffee started in London with a small operation of selling coffee to few caterers and their first coffee shop would not be established till a few years later.\(^{22}\) All of these firms had tiny beginnings. Their rise to multinational status occurred via innovation in products and services, branding and trademarks.
To simply produce a commodity like coffee beans and sell a basic ground coffee product is typically not sufficient to rise up the value chain.
Why is rising up the value chain important? Higher profit margins. And higher profits allow for potentially greater investments to be made to grow the businesses beyond local and national markets. In turn, this expansion would result in increased employment, incomes for the workers, and other opportunities. Without the requisite broader investments in R&D and innovation, branding (trademarks) and marketing, it is very difficult to elevate the business to a higher, multinational level. To rise in the value chain and reap greater profits, one of the root inputs is innovation in products and services.
**Policies to Foster Innovation, Entrepreneurship and Growth**
Innovation and related policies need to be thought of in full spectrum which includes patents, copyrights and trademarks as well as the adequate enforcement of intellectual property rights. As noted earlier, more innovative and entrepreneurial economies and markets can foster greater competition, economic growth and development via the process of creative destruction. This dynamic generates new entrepreneurs and firms that can provide effective competition to the incumbents creating a more competitive environment. This dynamic also helps markets grow and create opportunities for investment and employment.
The core innovation issues related to protection of intellectual property and its enforcement are distinct from the regulatory and competition related policies. Innovation related policies therefore should be thought of as standalone, and not commingled with other policies. The latter approach may lead to a diffused focus and not produce best results in the longer run.
Cumulatively, the above issues point to the difficult balancing act policymakers have to undertake to ensure the competitive and innovative vitality of markets in promoting growth and stability of smaller businesses, as well as not discouraging growth of businesses from small to medium to large. The challenge for governments, therefore, is to ensure that the conditions are ripe for emergence of new entrepreneurs, and entry and survival of small businesses, as well as ensure participation of larger businesses in the nation’s growth.
Below is the discussion on a *two-tiered* strategy that governments in developing economies can follow to boost innovation.
A. Tier-one
A well-structured IPRs’ regime and infringement protection includes patents, copyrights, trademarks, and related issues. This will ensure that entrepreneurs and innovators within the country have their creative ideas and innovations protected. In the longer run, this provides incentives for more individuals and businesses to innovate. As noted in the paper, lack of such a regime will thwart domestic innovation and entrepreneurship in the longer run.
B. Tier-two
This constitutes what could be thought of as a suite of complimentary policies that will foster innovation in the economy.
Governments can create National Science and Technology Foundations. These can be designed to provide support in the areas of resources, funding, technical advice, and operational guidance for high quality research projects. Such funding can be targeted to specific areas of national need and comparative advantage.
There are complementary vehicles via which governments can promote innovation. These include encouraging University-based research and entrepreneurship, which have been successful in numerous countries. In addition, governments can set up innovation incubators and accelerators on their own, in cooperation with universities, as well as in PPPs. Incubators and accelerators, in different forms, can provide critical support to entrepreneurs and small business to generate funding, management of innovative ideas, patenting, successful commercialisation of innovation, among other aspects.
While current research reveals that these types of organisations can be effective in boosting innovation, evidence shows that private, as opposed to public institutions, deliver better results. Perhaps an optimal strategy in this dimension is to foster creative PPPs to stimulate innovation and entrepreneurship.
To create more fluid and open markets, governments can examine where their country stands in the World Bank’s ‘Doing Business’ reports.\textsuperscript{23} For example, the indicators point to costs and time involved in opening a business. The indicators also point to regulatory and policy burdens to start new businesses. Governments can systematically examine these items and reduce the burdens on creation and growth of businesses. These will greatly facilitate emergence of a vibrant entrepreneurial culture and create new and innovative businesses.
Both regulatory and competition laws and enforcement must incorporate innovation (as well as production and service efficiency,
broadly speaking) as a focus of the policy objectives. These will likely bring benefits related to greater longer-run innovation, increased entrepreneurship, generation and success of smaller businesses, and their role in imposing competitive discipline to markets and the larger firms.
There are traditional forms of support such as offering R&D subsidies and small business financing specifically targeted to innovative activities. While these can greatly help generate innovation and growth, they typically tend to be limited by governments’ resource constraints. Policymaking can be targeted to specific areas of national need and comparative advantage.
Overall, the sets of policies noted above need to be framed and implemented synergistically and with a longer-run view.
Endnotes
1 Ghosal and Ni (2015) provide a brief overview of this literature. For more detailed expositions, see OECD (2006) and OECD (2009)
2 It is instructive to note that virtually all of the new economy giants at this point – like Uber, Microsoft, Apple, Alibaba, Google, among many others – were very small startups at one point. While these are the successful example, thousands of others did not succeed.
3 As an example, in pharmaceuticals and biotechnology markets we observe meaningful inter-patent competition within numerous defined therapeutic classes and this serves to offer competition to incumbents and those who may have patented earlier.
4 E.g., Scotchmer (2004a, 2004b) and Stiglitz (2008) provide extensive background materials and views on these topics. Also see Hassan et al. (2010) for issues related to developing countries.
5 For discussion of some of the IPR and innovation related issues in developing economies, see, for example, Chen and Puttitanun (2005) and Hassan et al. (2010). Stiglitz (2008) provides a discussion of broader issues related to IPR and patents, but also a wider set of policies and investments that governments need to make to stimulate innovation and growth. Chen and Dahlman (2004), Dahlman and Utz (2007) and Dahlman et al. (2008) provide deeper insights into broad-based knowledge and innovation issues in developing economies.
6 See Ghosal (2015) for a concise overview.
7 The Batavia Industrial Center (New York, 1959) was the first US incubator, but the broader growth of this type of organisation did not occur until the 1980s. Aerts et al. (2007) provides details on how incubators guide firms to increase likelihood of success, and promote innovation and entrepreneurship.
8 E.g., Lewis et al. (2011)
9 Ibid
10 Miller and Bound (2011) note that accelerators have largely been a private-investor driven phenomenon.
11 Wu (2012), Miller and Bound (2011) and Cohen (2013) provide a more elaborate discussion of similarities and differences.
12 E.g., Aernoudt (2004) and Aerts et al. (2007).
13 E.g., Rothaermel and Thursby (2005a, 2005b) and Markman et al. (2005).
14 E.g., McAdam and McAdam (2008).
15 E.g., Lockett and Wright (2005).
16 E.g., Colombo and Delmastro (2002).
17 For example, Chen and Dahlman (2004), Dahlman and Utz (2007) and Dahlman et al. (2008) discuss alternative mechanisms including education and training that can be synergised to increase knowledge growth and innovation. These insights can be combined with the learning from the accelerator and incubator literatures to provide a comprehensive strategy for stimulating innovation.
18 Baker (2007) and Golodner (2001), for example, spell out the links between competition policies and innovation and growth of markets.
19 This example was motivated by the discussants’ comments to provide an example of scope for innovation and growth in specific markets in developing countries. The example I provide is for coffee as it is widely grown, and is consistently in the top-5 commodities globally.
20 http://www.worldatlas.com/articles/top-10-coffee-producing-countries-2014.html
21 See, for example, the links below for a broad perspective on coffee markets and the value chain:
http://ww2.unime.it/emaf/index.php?option=com_content&view=article&cid=57&Itemid=45&clang=en
http://www.investopedia.com/articles/investing/103114/starbucks-example-value-chain-model.asp?header_alt=b
http://acetforafrica.org/wp-content/uploads/2014/08/Coffee-Dalberg.pdf
22 For brief histories of some of the companies see:
Starbucks: http://www.coffee.org/History-of-Starbucks
Lavazza: https://en.wikipedia.org/wiki/Lavazza
Costa: http://www.costacoffee.ae/costa-coffee/the-costa-way/history/
23 http://www.doingbusiness.org/
References
Abetti, P.A. (2004). “Government-Supported Incubators in the Helsinki Region, Finland: Infrastructure, Results, and Best Practices,” *Journal of Technology Transfer*, 19-40.
Aerts, K.P., P. MatthysSENS and K. Vandenbempt (2007). “Critical Role and Screening Practices of European Business Incubators,” *Technovation*, 254-267.
Aernoudt, R. (2004). “Incubators: Tool for Entrepreneurship?” *Small Business Economics*, 127-135.
Aghion, P., and R. Griffith (2008). “Competition and Growth: Reconciling Theory and Evidence.” MIT Press.
Aghion, P., N. Bloom, R. Blundell, R. Griffith, and P. Howitt (2005). “Competition and Innovation: An Inverted-U Relationship,” *Quarterly Journal of Economics*, 701-728.
Ahn, S. (2002). “Competition, Innovation and Productivity Growth: A Review of Theory and Evidence,” OECD Economics Department Working Papers, No. 317.
Baker, J. (2007). “Beyond Schumpeter vs. Arrow: How Antitrust Fosters Innovation,” *Antitrust Law Journal*, 575-602.
Cohen, S. (2013). “What do Accelerators Do? Insights from Incubators and Angels,” *Innovations*, 19-25.
Chen, C. (2009). “Technology Commercialization, Incubator and Venture Capital, and New Venture Performance,” *Journal of Business Research*, 93-103.
Chen, Y. and T. Puttitanun (2005). “Intellectual Property Rights and Innovation in Developing Countries,” *Journal of Development Economics*, 474-493.
Chen, D., and C. Dahlman (2004). “Knowledge and Development A Cross-Section Approach.” World Bank.
Clausen, T., and E. Rasmussen (2011). “Open Innovation Policy through Intermediaries: The Industry Incubator Program in Norway,” *Technology Analysis & Strategic Management*, 75-85.
Colombo, M.G., and M. Delmastro (2002). “How Effective are Technology Incubators? Evidence from Italy,” *Research Policy*, 1103-1122.
Cohen, W. M., and R. C. Levin (1989), “Empirical Studies of Innovation and Market Structure,” in Handbook of Industrial Organization, ed. by R. Schmalensee, and R. Willig: Elsevier, 1059-1107.
Dahlman, C., A. Rodriguez and J. Salmi (2008). Knowledge and Innovation for Competitiveness in Brazil. World Bank.
Dahlman, C., and A. Utz (2007). Promoting Inclusive Innovation in India. World Bank.
Ghosal, Vivek. “Business Incubators and Accelerators.” In Entrepreneurship, Technology, and Innovation, David Audretsch, Albert Link and Chris Hayter (Editors), Edgar Elgar, 2015.
Ghosal, Vivek, and Jiayao Ni. “Competition and Innovation in Automobile Markets.” *CESifo* Working Paper No. 5504, 2015.
Gilbert, R. (2006). “Looking for Mr. Schumpeter: Where are we in the Competition-Innovation Debate?” in Innovation Policy and the Economy, Volume 6: The MIT Press, 159-215.
Goldner, Adam. (2001). “Antitrust, Innovation, Entrepreneurship and Small Business,” *Small Business Economics*, 31-35.
Hassan, E., O. Yaqub, and S. Diepeveen (2010). “Intellectual Property and Developing Countries: A Review of the Literature,” *RAND Technical Report*.
Lewis, D.A., E. Harper-Anderson and L.A. Molnar (2011). “Incubating Success: Incubation Best Practices that Lead to Successful New Ventures,” U.S. Department of Commerce, Economic Development Administration.
Lockett, A. and M. Wright (2005). “Resources, Capabilities, Risk Capital and the Creation of University Spin-out Companies,” *Research Policy*, 1043-1057.
Markman, G.D., P.H. Phan, D.B. Balkin and P.T. Gianiodis (2005). “Entrepreneurship and University-based Technology Transfer,” *Journal of Business Venturing*, 241-263.
McAdam, M. and R. McAdam (2008). “High-Tech Start-Ups in University Science Park Incubators: The Relationship between the Start-Up’s Lifecycle Progression and use of the Incubator’s Resources,” *Technovation*, 277-290.
Miller, P. and K. Bound (2011). “The Startup Factories: The Rise of Accelerator Programs to Support New Technology Ventures,” *NESTA Discussion Paper*.
OECD (2006). “Competition, Patents and Innovation I,” Organization for Economic Cooperation and Development.
OECD (2009). “Competition, Patents and Innovation II,” Organization for Economic Cooperation and Development.
Rothaermel, F.T. and M. Thursby (2005a). “University-Incubator Firm Knowledge Flows: Assessing their Impact on Incubator Firm Performance,” *Research Policy*, 305-320.
Rothaermel, F.T. and M. Thursby (2005b). “Incubator Firm Failure or Graduation? The Role of University Linkages,” *Research Policy*, 1076-1090.
Schumpeter, J. A. (1934). The Theory of Economic Development. Harvard University Press.
Schumpeter, J. A. (1942). Capitalism, Socialism, and Democracy. New York: Harper.
Scotchmer, Suzanne. (2004a). “Political Economy of Intellectual Property Treaties.” *Journal of Law, Economics, and Organization*.
Scotchmer, Suzanne. (2004b). *Innovation and Incentives*. MIT Press.
Stiglitz, Joseph. “Economic Foundations of Intellectual Property Rights.” (2008). *Duke Law Journal*, 1693-1724.
Wu, A. (2012). “Do Startup Accelerators Deliver Value? The Economics of Creating Companies,” *MIT Entrepreneurship Review*.
Section III:
Competition Reforms as a Tool for Public Welfare
Integrating elements of competition reforms into sectoral and overall economic reforms to enable developing country consumers and producers derive measurable benefits
Abstract
Governments in developing countries often control the private sector in grain market operations to restrict the market power or speculative trading that seems to go against the food security objectives. However, the controls and interventions have not only held back the growth of marketing and distribution networks for the farm produce, but also prevented developing a competitive private sector in the Indian agricultural sector. This paper evaluates the reform initiatives undertaken by the government and points out the direction of future measures for a larger private sector involvement in the grain sector.
Introduction
The food grain market in India operates with major government involvements on marketing, public procurement, distribution and buffer stock operations. Generally speaking, these controls and interventions are based on the conditions of production shortfalls and scarcities with the conviction that free trade would not maintain the domestic grain price stability. However, the controls on marketing-movement-storage meant for pursuing the government procurement-distribution-stockholding
operations virtually allocates any space for the free-market and competition to play a role.
The government in recent years has come out with several policy documents and many of them, viz., Expenditure Reforms Commission’s Report on Food Subsidy,1 Excess Food Stocks, PDS and Procurement Policy,2 Long Term Food Grain Policy,3 Report of Committee of State Ministers of Agricultural Marketing to Promote Reforms,4 Restructuring the Food Corporation of India,5 etc., recommends for a larger private participation in the country’s grain business.
Moreover, policy measures such as the National Policy on Handling, Storage, and Transport of Food Grains, 2000; Removal of Control on Food Grains, 2002; Agricultural Marketing Reforms, 2002, Removal of Prohibition on Agricultural Commodities under Forward Contract (Regulation) Act, 2003, can be seen as steps to remove these restrictive provisions and promote competitive structure in grain marketing and trading. Several other provisions, viz., direct-marketing, pledge-financing and negotiability of warehouse receipt system are also likely to facilitate participation of private firms in the domestic and global grain trading. But, while the process of reforms is yet to be completed, governments (both at the Centre and state) have often continued to use such restrictive provisions on private trading to counter supply shocks and price fluctuations in India.
While the legislative/administrative controls and regulations diminish the incentives structure of the private traders and corporations, the interventionist instruments, viz., high support price, buffer stock operations, open market sales, export ban, stock declaration order etc. create the remaining roadblocks for the agribusiness in the country.
This paper evaluates the scope for private sector participation in India’s grain (rice and wheat) economy. It provides a brief account of the government’s interventionist instruments and measures of control. An account of Food Corporation of India’s (FCI) cost of grain handling operations is included. The paper provides a description of various policy recommendations relevant for private participation in the grain sector. In order to examine the nature of competitive elements, market powers within the rice and wheat (flour milling products, biscuits, bread and breakfast cereals) industries is analysed. The feasibility and areas of private participation in grain business is deliberated and summary/policy implications are provided.
Instruments of Government Control
The Department of Food and Public Distribution (DOPD) within the Ministry of Consumer Affairs, Food and Public Distribution, the Commission for Agricultural Costs and Price (CACP) of the Ministry of Agriculture and the FCI provides the institutional structure for grain management in India. The Ministry makes the grain policy for implementation, the CACP advises on price policy, while the FCI undertakes the procurement, handling, transport, storage and distribution of grains on behalf of the government.
Further, the Directorate of Marketing and Inspection (DMI) of the Ministry of Agriculture exercise its control on marketing and trading of the grain produce in India. The functions of DOPD in the grain sector are: i) implementation of the public distribution system (PDS) with special focus on the poor, ii) provision of storage facilities for the maintenance of central food grain reserves and promotion of scientific storage, iii) formulation of national policies relating to export, import and buffer stocking, iv) quality control and specifications of food grains, and iv) administration of food subsidies relating to rice, wheat and coarse grains. The instruments of government interventions and control are briefly discussed:
Minimum Support Price and Procurement: The government announces the minimum support prices (MSP) for procurement on the basis of the recommendation of the CACP before the harvestings in *rabi* or *kharif* crop season. The food grains procurement policy bears the twin objectives of ensuring MSP to farmers and also ensuring availability of food grains to the weaker sections at affordable prices. The FCI and various state agencies establish a large number of purchase centres at *mandis* to procure wheat, paddy and coarse grains under the price support scheme and rice under the statutory levy scheme. The extensive MSP operation of FCI over the years has resulted in sustaining the incentive structure for the rice and wheat growers.
However, since a major portion of the public procurement originates from a few surplus states, it is argued that the support prices cater only to the surplus states. The government also procures rice through the *levy system*, which is a compulsory procurement mechanism through which a part of the produce is bought from the farmers, traders or millers at a price lower than the market.
**Issue Price:** The Central government issues wheat and rice to various state governments at central issue price for the purpose of carrying out PDS. It is believed that the off-take from fair price shops (FPS) is determined by the difference between ration and market prices. On the other hand, the stock allocation for rationing and the quantum of ration off-take have been found to bear an impact on the market price of food grains.
**Buffer Stocks:** The buffer stocks are required to carry out PDS and welfare schemes, ensure food security during the production shortfalls, and stabilise prices during periods of price fluctuations. As on April 01, 2015, the central pool food grain stock remained at 170.84 lakh tonnes of rice, 172.21 lakh tonnes of wheat and 100.39 lakh tonnes of un-milled paddy. The stock level with FCI bears a destabilising influence on the open market grain prices. Technical groups under the chairmanship of Union Food Secretary recommend the buffer stocking norms for different quarters, which is given in Table 11.1.
| Table 11.1: Food Grain Stocking Norm for the Central Pool (Revised on January 22, 2015), Lakh MT |
|---------------------------------------------------------------|
| | Operational Stock | Strategic Reserve |
| | Rice | Wheat | Rice | Wheat |
| 1st April | 115.80 | 45.60 | 20.00 | 30.00 |
| 1st July | 115.40 | 245.80 | 20.00 | 30.00 |
| 1st October | 82.50 | 175.20 | 20.00 | 30.00 |
| 1st January | 56.10 | 108.00 | 20.00 | 30.00 |
*Source: www.fci.gov.in/stocks*
**Open Market Sale Scheme (Domestic):** The open market sale scheme (domestic) of food grains has been based on various models as per the guidelines given by the Ministry. Although, price stabilisation during lean months is kept as the main objective of this scheme, yet surplus stocks are often disposed on account of limited storage capacity or to reduce the carrying costs. Initially, there was a directive that the FCI sale may be confined to Roller Flour Mills, *Atta Chakkies*, Super Bazaars and Cooperative Stores, but the OMSS (D) in recent years has been carried out for retail sale, bulk sales, sale to small processors, sale to small private traders and sale to bulk consumers.
Cost of Public Grain Handling Operations
The FCI operation is viewed as a major grain market intervention and has attracted the policy analyst’s attention due to its high cost and corresponding budgetary subsidies. It is important to note that government policies bear a substantial impact on FCI’s business. For instance, every MSP revision results in higher costs of grains and stock maintenance above buffer norms add to its carrying cost.
The counter-critics therefore claim that subsidies may not be an appropriate pointer to FCI’s uneconomic operations, since it arises due to the multiple objectives of providing price support to the producer and consumer subsidy to the poor as well as preventing the nation’s food insecurity. However, the FCI enjoys autonomy in its field operations, viz. procurement decisions, negotiation for RBI credit, storage decisions, grain movement plans and the choice of transport. It seems that while government policies may remain responsible for the high FCI costs, a part of the cost can apparently be attributed to the inefficiency in FCI operations.
The previous research have found that FCI in India remained a high cost and bureaucratic organisation, which needed reorganisation in order to fulfill its functions more cost-effectively.\(^6\) Several explanations were offered in the literature to explain as to why the private trading cost is lower than FCI cost of operations. It is claimed that private traders carry out direct purchase from farmers by avoiding the mandi charges, reuse gunny bags several times unlike FCI, transfer grains by trucks which are
---
\(^6\) See, for example, S. K. Jain, *Public Grain Handling Operations: A Study of the Food Corporation of India*, New Delhi: Oxford University Press, 2014.
cost-effective and have lower transit losses. As a result, participation of competitive firms in the grain market operations often feature in the government agenda for inflicting efficiency in the system and also make budgetary saving on FCI subsidies.
Figure 11.1 provides information on the recent increases in FCI’s economic cost of rice and wheat. The critics have also pointed out that much of the food subsidy actually covers the costs of FCI’s inefficiency and therefore demand that FCI trim its grain market operations.
**Reform Initiatives to Promote Private Business:**
It is argued that given the sensitivity of the agricultural sector in terms of food security, many governments have been hesitant to leave this sector to unregulated market forces.\(^7\) But, the removal of legislative controls and administrative orders as well as the introduction of agricultural marketing reforms can initiate competitive grain businesses in many developing countries. The competitiveness element can be taken to mean a larger involvement of private firms in the marketing-storage-movement operation of grains.
It is relevant to note that the involvement of private sector or its collaboration with the public sector in a public-private-partnership (PPP) model for the production and distribution of public goods and services have been successfully implemented in several countries. Thus, provision of goods and services in the areas of education, health, poverty programs, urban infrastructures and housing, public utilities (drinking water, electricity, sanitation, waste management, etc.), social services and even government administration have witnessed private participation at the global level. It may be mentioned that the notion of private participation is rejected at times due to the apprehensions of poor service quality and reduced governmental responsibility. The various arguments for and against private participation of goods and services can be distinguished as in Table 11.2.
In the recent past, several government reports and commissioned studies in India have recommended to reform the grain market operations by mainly removing the restrictive provisions, injecting efficiency into FCI operations and liberalising the grain marketing. It can be discerned that the government foresees the FCI’s role to change from the major buyer and subsequently re-establish the private sectors in the areas of procurement, storage and distribution of food grains in India (Table 11.3).
Table 11.2: Arguments for and against Allowing Private Participation
| Arguments for | Arguments against |
|--------------------------------------|--------------------------------------------------------|
| Savings on Public Finance | Administration and Service Monitoring Costs |
| Efficient Provider with Quality Service | Profit Motive Costing Service Quality |
| Increase Efficiency and Innovation | Price Collusion Resulting in Higher Price |
| Increases Accountability | Reduces Public Accountability for Service Failure |
Agricultural Marketing Reforms: Although the production of agricultural commodities in India is free from controls, the same is not true for their marketing and processing that remains under state control. The whole geographical area in the state is declared a *market area* falling under the jurisdiction of *market committees*. Since, any sale or purchase outside the market yard is prohibited by the act; there is a virtual monopoly of government regulated markets in most of the states.
Further, there are controls on processor to buy only from the notified markets, incidence of multiple taxes on the processing activities and restrictions on storage and movements. All these have worked as deterrents for the development of competitive marketing systems in the country, and have also failed to provide the incentive structure to the farmers, traders and industries. The Expert Committee on Agricultural Marketing suggested various legislative reforms and reorientation of policies, such as, promotion of direct marketing, organized retailing etc. Subsequently, the Inter-Ministerial Task Force on Agricultural Marketing Reforms identified several priority areas to restructure agricultural marketing, and prepared the *Model Act on Agricultural Marketing* to enable the states frame their own Agricultural Produce Marketing Development and Regulation (APMDR) Act.
| Study/Policy Reports | Major Recommendations |
|-------------------------------------------------------------------------------------|----------------------------------------------------------------------------------------|
| Expenditure Reforms Commission’s Report on Food Subsidy, GoI [2000] | • Greater involvement of the state government and private sector in the procurement and storage operations
| • Rationalise the tax/levy structure on procurement from different states |
| Cost of Acquisition & Distribution of Food grains by FCI, ASCI [2001] commissioned by Ministry of Consumer Affairs, Food and Public Distribution | • Restructure FCI
| • Federalise FCI among states |
| Working Group on PDS and Food Security for the 10th Plan, GoI [2001] | • Decentralised PDSMSP in line with cost of cultivation
| • Review Essential Commodities & APMC Act |
| Excess Food Stocks, PDS and Procurement Policy, Virmani and Rajeev [2001] | • State government and private sector’s participation in procurement and storage
| • Decentralised PDS |
| Long Term Grain Policy GoI [2002] | • Universal PDS, MSP in line with cost of cultivation
| • Improve FCI’s performance
| • Larger private participation |
| Report on Central Government Subsidies in India, GoI [2004] | • Reduction of MSP
| • Replace the present 2-tier system of APL-BPL issue price with food-coupons for BPL |
| Final Report of Committee of State Ministers, in charge of Agricultural Marketing to Promote Reforms, GoI [2013] | • Amend APMC acts
| • Substitute licencing system of traders/commission agents
| • Remove physical barriers to trade like check gates, single window registration for traders’ market fee only for the first transaction
| • Differentiate between genuine service provider and hoarders under Essential Commodities Act
| • Specify provisions for private wholesale markets and terminal markets |
| Report of the High Level Committee on Reorienting the Role and Restructuring of Food Corporation of India, GoI [2015] | • Revisit its MSP policy
| • Relook at NFSA commitments
| • Hand over FCI’s procurement operations to specific states
| • Private sector to compete with state agencies in grain procurement
| • Outsource FCI’s stock operations, Initiate negotiable warehouse receipt system |
National Policy on Grain Handling, Storage & Transportation, 2000: This policy recommends better grain storage practices, viz., automation in handling and sliding of stocks, and also minimise on the transportation costs. It further proposed that the bulk grain handling facility be built with private participation on the basis of Built-Own-Operate (BOO) model.
Futures and Forward Contract in Agriculture: It is often argued that future trading can provide two major advantages to product marketing, viz., price-discovery and efficient price-risk management. In India, the removal of prohibition on future trading was notified for some agricultural items and their trading was organised through recognised exchanges, subject to rules and regulatory procedures prescribed by the Forward Market Commission (FMC). Future trading in agriculture involves various regulatory authorities, viz., FMC, Reserve Bank of India (RBI) and Securities and Exchange Board of India (SEBI). Apart from these three regulatory authorities, other four commodity exchanges were authorised. The agricultural commodities that were given permission for trading are soya oil, guar seed, guar gum, chana, jute, rubber, pepper, turmeric, wheat, kapas (cotton) etc.
Negotiable Warehouse Receipt System: The market believes that cash-settled contracts are liable to generate speculative trade, thus physical deliveries are essential to provide the equilibrating mechanism in future demand and present supplies. The warehouse facility, quality certification system and transferability and negotiability of warehouse receipts backed by legal provisions remain crucial for the growth of agricultural futures markets in the country. The system of negotiable warehouse receipts could potentially eliminate various transaction costs involved in the grain marketing and also reduce the cost of maintaining public infrastructures.
The Expert Committee had suggested universalising the system of warehouse receipts in future trading so as to raise volumes and minimising the transaction cost. Since the quality aspect bears a crucial risk element in agricultural future trading, its success depends on to what extent the quality risk is covered in the contracts. The declaration of reform in this direction can be viewed as a step towards removing restrictive provisions and liberalising grain marketing in the country.
Concentration of Market Power
Spiraling price increases or price volatility in the presence of market power and speculative trading in grains markets have often been identified as major risks to food security in developing countries. McKeon [2015] has recently illustrated how the corporate global food chains or the financial and structural power of corporations can set the food security rules to their advantage. The governments often justify control measures for the private sector on the grounds of containing the speculation and safeguarding the interest of farmers and consumers. The market power refers to the ability of a firm to raise and maintain price above the level that would prevail under competition. A firm with market power bears the ability to engage in unilateral anticompetitive behaviours, viz., affect either the total quantity or the prevailing prices in the market.
The Herfindahl index (also known as Herfindahl–Hirschman Index) remains as the standard measure to evaluate the size of firms in relation to industry, viz., the market concentration. The measure is defined as the sum of the squares of market shares of the firms within the industry, where the market shares are expressed as fractions. The index value ranges from 0 to 1, depending on the presence of large number of firms to a
| Years | Rice | Flour Milling Products | Biscuits | Bread | Breakfast Cereals |
|---------|------|------------------------|----------|-------|-------------------|
| 2000-01 | 0.06 | 0.00 | 0.14 | 0.22 | 0.55 |
| 2001-02 | 0.07 | 0.00 | 0.14 | 0.30 | 0.56 |
| 2002-03 | 0.07 | 0.00 | 0.16 | 0.25 | 0.51 |
| 2003-04 | 0.09 | 0.00 | 0.19 | 0.25 | 0.48 |
| 2004-05 | 0.10 | 0.00 | 0.22 | 0.24 | 0.34 |
| 2005-06 | 0.06 | 0.00 | 0.25 | 0.16 | 0.35 |
| 2006-07 | 0.09 | 0.01 | 0.24 | 0.24 | 0.35 |
| 2007-08 | 0.09 | 0.02 | 0.24 | 0.26 | 0.37 |
| 2008-09 | 0.09 | 0.02 | 0.25 | 0.34 | 0.44 |
| 2009-10 | 0.11 | 0.02 | 0.23 | 0.36 | 0.47 |
Note: The numbers of sample companies are above 30 for both Rice and Flour Milling Products, above 16 for Biscuits and above 5 and 4 for Bread and Breakfast Cereals, respectively.
Source: ‘Market Size and Shares’ ((various issues), Centre for Monitoring the Indian Economy.*
single monopoly producer. Since the index takes into account the relative size distribution of firms in a market, its value approaches to zero when a market is occupied by a large number of equal sized firms and reaches to one, when the market is controlled by a single firm.
The Herfindahl Indices of Concentration is analysed to examine the market power in the rice and wheat based industries (Table 11.4). The evidence of market power is much lesser in rice and flour milling products, but somewhat higher in the processed segment that uses wheat and/or rice, viz., biscuits, bread and breakfast cereals. The near zero values of the indices indicate perfect competition in the flour milling industry. Since no individual participant in the market bears significant market power, anticompetitive behaviours, e.g., price setting, use of predatory pricing, creating barriers to entry for potential new competitors, etc., do not appear likely to take place.
**Feasibility and Areas of Private Sector Development**
Success of a reforms programme depends not only on the combination of policies but also on their timing and sequencing. The grain market reforms agenda should ensure that the decontrol and deregulation measures are initiated for the beginning of private participation. However, the reformist policies should not remain limited to removing the marketing and movement restrictions, but also address fundamental issues like the MSP and the buffer stock policies.
The MSP of almost all agricultural produce in the past have ruled above the market price and at times the world price. Rising MSPs provide the biggest roadblocks for the private participation because it finds procurement at economically unreasonable MSP genuinely problematic. Similarly, the scale of FCI procurement also poses greater uncertainties for the private traders and corporations involvement at times.
While the Central government may start the set of reformist policies, the task of implementation remains with the state governments, since agriculture remains under *state subject* in India. It may be mentioned that in the recent past the effort level of states has remained low in fully adopting the Model APMC Act. In the same way, there remain uncertainties with regard to government resolution banning the movement restrictions under the Essential Commodities Act (ECA). The permission to carry out purchase, movement and trade is yet to be fully granted by the modifications of ECA and APMC Acts. It therefore appears that the marketing reforms and decontrol on movement restrictions could provide the vital incentive for generating the private response. Subsequently, the
modernisation of grain storage and supply chains would become necessary to provide the impetus to private participation.
A reduction in the size of public procurement could lead to more produce reaching the market and there is an obvious scope that the post-harvest activities (cleaning, drying, storage and transport) associated with grain handling to pick up. The participation of firms in grain business would get a further boost when the sector gets the permission to establish and operate agricultural marketing infrastructures and supporting services. The private sector can also be involved to carry out the procurement operations on behalf of the FCI and fulfil the government’s PDS responsibilities. The private sector’s involvement in the grain business can be expected to move further in the direction of processing and exports once the restrictive policies are removed.
There remain certain gaps and contradictions within the existing provisions and policies that intend to reform the grain business. For instance, future contracts necessitate that prices are determined by market forces without any government control, and no single buyer-seller-regulator bear any undue importance on prices. But, the present MSP policy eliminates the price risk through assured government procurement mechanism. Thus, when prices are fixed by the MSP policy and do not adjust except through change in government policies, there remains a little incentive for hedging a risk.
Likewise, the policy of promoting a processor-grower arrangement cannot be successful without the judicial support of contract enforcement and a crop insurance mechanism. Finally, the requirement of capital can be expected to grow with the grain market liberalisation in India. The private participation would expand if an appropriate mechanism for providing advances against stocks is provided. The negotiable warehouse receipt system can provide the source of inventory credit in the financial transaction of agricultural commodities. One can expect a higher private involvement with the creation of a legal framework for the negotiability and transferability of warehouse receipts.
**Summary and Policy Implications**
The government controls and regulations impose some obvious costs on the private grain business in India. At the same time, the public management undertaken within regulated market condition is found to be costly so that it already created huge subsidy burdens on the government. It is being recognised that the public grain handling operations are intertwined around such complex control and regulatory instruments.
that their executions at times remain beyond the capacity of the Central and/or state governments.
It therefore appears that the dependence on control and regulatory mechanism has to be reduced for carrying out the grain market operations, and there is a strong case for substituting these as much as possible by the market mechanism. Similarly, the ECA restricts the movement of agricultural produce across states boundaries and also imposes stock limitations on the traders. In the same way, the Agricultural Produce Marketing acts necessitates that traders buy produce only from regulated markets. These acts and restrictions have only made the accomplishment of direct contractual relationship between the grower and processor difficult.
A larger private participation, which bears a built-in competitive mechanism, can be expected to improve the incentive structures of the grower, trader and end-consumer. The entry of private sector may inflict competition in the grain procurement process and make farmers get better returns from the FCI, which acts as a monopsony buyer. The improvement in agent’s incentives structures could make the grain market activities more market determined. This may lead to enhancement in the market-size with more produce reaching the market instead of getting used for the public stock maintenance. A set of reform measures that allow private participation can facilitate the use of modern technologies and exploit the potentials of a whole range of value chains in the grain sector.
Endnotes
1 Gol 2000
2 Virmani and Rajeev 2001
3 Gol 2002
4 Gol 2013
5 Gol 2015
6 BICP 1990, World Bank 1999, Gulati, Kahkoken and Sharma 2000, ASCI 2001, Gol 2002 and Chand 2003
7 Schwager 2015
References
Administrative Staff College of India (ASCI) [2001]: *Study of the Cost of Acquisition and Distribution of Food grains by the Food Corporation of India*, Ministry of Food and Consumer Affairs, Government of India: New Delhi.
Bureau of Industrial Costs and Prices (BICP) [2001]: *Report on the Operations of the Food Corporation of India*, Ministry of Industry, Government of India: New Delhi.
Chand, R. [2003]: Government Interventions in Food grain Markets in the New Context, Policy Paper 19, National Centre for Agricultural Economics and Policy Research: New Delhi.
Government of India [2000]: *Expenditure Reforms Commission, Report on Food Subsidy*, Government of India: New Delhi.
Government of India [2001]: *Report of the Working Group on Public Distribution System and Food Security for the 10th Five Year Plan (2002-07)*, TFYP Working Group Serial No. 65/2001, Planning Commission, Government of India: New Delhi.
Government of India [2002]: *Report of the High Level Committee on Long-term Grain Policy*, Department of Food and Public Distribution, Ministry of Consumer Affairs, Food and Public Distribution, Government of India: New Delhi.
Government of India [2004]: *Central Government Subsidies in India: A Report*, Department of Economic Affairs, Ministry of Finance, Government of India: New Delhi.
Government of India [2013]: *Final Report of Committee of State Ministers, In charge of Agricultural Marketing to Promote Reforms*, Ministry of Agriculture, Department of Agriculture and Cooperation, Government of India: New Delhi.
Government of India [2015]: *Report of the High Level Committee on Reorienting the Role and Restructuring of Food Corporation of India*, Department of Food and Public Distribution, Ministry of Consumer Affairs, Food and Public Distribution, Government of India: New Delhi.
Gulati, Ashok, Satu, Kahkonen and Pradeep Sharma [2000]: The Food Corporation of India: Successes and Failures in Indian Foodgrain Marketing, in S. Kahkonen and Anthony Lanyi [Edt]: *Institutions, Incentives and Economic Reforms in India*, Sage Publications: New Delhi.
McKeon, Nora [2015]: Food Security Governance: Empowering Communities, Regulating Corporations, Rutledge: London.
Schwager, U. [2015]: Competition Issues affecting the Agricultural Sector in Selected Developing Countries: Key Findings from Selected UNCTAD Market Studies, in M. S. Gal et al [Edt]: *The Economic Characteristics of Developing Jurisdictions: Their Implications for Competition Law*, Edward Elgar: Cheltenham, 2015.
Virmani, A. and P.V. Rajeev [2002]: *Excess Food Stocks, PDS and Procurement Policy*, Working Paper No. 5/2002/PC, Planning Commission, Government of India: New Delhi.
World Bank [1999]: *India: Food Grain Marketing Policies*, Rural Development Unit, South Asia, Report No. 18379, Washington D. C.
Role of Government in Promoting Sustainable Economic Growth through Competition Reforms
Exploring the Challenges in the Competition Regime in Tanzanian Case
FREDERICORINGO
Director, Fair Competition Commission
Dar es Salaam, Tanzania
DEOJOHN NANGELA
Director, Restrictive Trade Practices, Fair Competition Commission
Dar es Salaam, Tanzania
Abstract
Competition enhances the levels of productivity through efficiency gains, widens the frontiers of market access through increased entry opportunities that in turn, results into increased investments and continuous innovation to capture new market niches. This paper illustrates the role of the Tanzanian government in competition reforms. While it supports the view that achieving sustainable economic growth in most developing countries is a function of regulatory reforms; it argues that such reforms must essentially aim at eliminating or minimising costs of doing business in order to stimulate investments, industrialisation, and ultimately providing new employment opportunities that adds to stability and total socio-economic and political welfare. Given the available opportunities in Tanzania, strong political commitment in promoting regulatory reforms is required for Tanzania to leapfrog from a low to middle income before 2050. This paper also argues that successes or
failures of competition reform, or any regulatory reform, depend on the political will of the government of the day.
Taking Tanzania as our case study, this paper will analyze the government’s role in the competition reform process in this country, and the role which competition policy has been playing in the economy in promoting healthy markets, consumer welfare, employment, innovation and industrialisation.
Finally, in order to realise the highest returns from competition or any other regulatory reforms, participation of key competition stakeholders is vital. The paper will examine the synergies that exist or need to be established between those who support the competition reform agenda and those who are beneficiaries of the reforms.
**Introduction**
Tanzania, a country that had erstwhile pursued a state-planned economy, is now one of the developing countries that adhere to the tenets of liberalised economy policies. Its adherence to such neoliberal philosophy is not without reasons or history. As from 1961 when it attained its independence to 1966 the country’s socio-economic life had a capitalist flavour. The private sector was taking the lead in contributing to growth.
However, in 1967, it adopted the so-called *Arusha Declaration*. The declaration, named after the town where it was promulgated, espoused the philosophy of ‘*Socialism and Self-reliance*’ (*Ujamaa na Kujitegemea*). All major means of production were placed under the hegemony of State for the reasons that ‘the then private sector lacked both the capacity to generate the needed economic growth and to efficiently allocate resources in a young economy.’\(^1\) And, as UNCTAD correctly puts it, in such an environment competition was considered ‘a suspicious capitalist tool’ and not ‘a developmental tool’ of the country’s centralised economy.\(^2\)
The days of fuelling socialist ambitions, however, did not last long. From the mid-1980s and early 1990s onwards, several factors contributed towards Tanzania shifting its political stance. These include: a costly war with Uganda, rising prices of oil globally, a shrinking world economy and the fall of the Cold War curtains.
The country’s political and socio-economic landscape underwent a surgical metamorphosis embedded in the so-called National Economic Survival Programme (NESP) (1981), followed by 1982 Structural Adjustments Programmes (SAP) and the Economic Recovery Programmes (ERPs). In their totality, these IMF-World Bank backed reforms forced
the government to bid farewell to the socialist policies it had embraced in favour of market-led economic policies.
The parting with the old in order to embrace a new policy orientation was an inevitable event. The country’s economic growth at the time was unsustainable and crumbling. Moreover, the monopoly of the public entities, nepotism, and corruption had worsened, and the country was experiencing a low economic growth rate, high inflation and foreign exchange crisis. Coupled with other inefficiencies, all these had brought its economy to a near total market failure.\(^3\) The bottom line, however, was the recognition that a public sector-led economy embodied with restrictive investment climate was unhealthy.
Consequently, there arose a demand for changes; and, changes that would not only bring to the front the noble role, which the private sector could play in promoting sustainable economic growth, but also the rightful breathing space for this sector in the economy. Embarking on a policy rethink to create a fertile regulatory environment designed to correct market failures, was thus an inevitable option. One essential element of that ‘fertile and enabling environment’ was a sound, fair and transparent regulatory framework in which an effective competition regime became its crucial pillar.\(^4\) Such a noble realization, therefore, called for serious reforms meant to spur the country’s economic growth.
**Regulatory Reforms as a Baseline for Sustainable Growth**
Sustainable economic growth is a function of reforms which include regulatory reforms. As noted earlier, regulatory reforms in Tanzania begun with relinquishing the State’s economic hegemony by embracing policies in the nature of liberalisation and privatisation of the erstwhile State owned enterprises. ‘Liberalisation aimed at inviting private sector participation in economic development activities, coupled with attracting more Foreign Direct Investment (FDI) in the country, hence more competition.’\(^5\) It involved creation of institutions, laws, regulation and procedures that are consistent and compatible with the market-led economy, and, collectively, they created the requisite environment for investment and sustainable growth of the various sectors of the economy.
Overall, the importance of such reforms and the environment they have created cannot be emphasised. They have continued to assist in minimising costs of doing business in order to stimulate investments, promote industrialisation, and ultimately providing new employment opportunities that add to stability and the total socio-economic and political welfare.
From a competitiveness perspective, the adoption of competition law and policy was a step further in the reform process. This is essentially so because liberalisation and privatisation policies could not alone bring about the desired benefits in the absence of an environment that fosters competition among various economic players. Such a policy choice has witnessed the formation of relevant competition regulatory structures and operational entities, executive agencies, and privatisation of commercial activities that could be carried out in a best way and competitively by the private sector.
The government has since then disentangled itself from the monopoly of public entities in such sectors like telecommunications, allowing competition to flourish for the common good of the nation and the entire public. Instead of being a key player in the market, it has assumed a facilitative role rooted within its mandate to create and sustain a requisite environment within which the market economy principles can flourish.
**Government’s Role in Moulding Competition Reforms**
It is without doubt that, one major role which any government has to play in a liberalised economy is that of providing the necessary services and frameworks needed for the effective operation of a market economy. This economic system, in which the allocation of resources is determined solely by the forces of supply and demand, needs proper guidance and operational frameworks which, in the context of economic development, ably gauge not only the parameters within which socio-economic activity takes place but also the provision of public goods; regulation of economic activities; reallocation of resources; and stabilisation of the economy.
For its better tailoring, the Tanzanian Government had to set in motion the necessary reforms to remove controls that were earlier set under the *Ujamaa* era. Having so decided, policy makers and the legislature were persuaded to promulgate pro-competition policies and enact laws providing for checks and balances in the market economy. Most of the *post-Ujamaa* legislation enacted focussed, primarily, on not only establishing the legal status of business enterprises and ensures the right and protection of private ownerships (this being a key factor in encouraging entrepreneurship within a country’s borders),\(^6\) but also promoting competition by taking suppressive measures against anti-competitive agreements, abuse of dominance, as well as to regulating mergers and acquisitions which result in distortion of the market. One such legislation was *the Fair Trade Practices Act, 1994*.
Essentially, the Act laid down various general competition rules governing anti-competitive activities. Under the Act, anti-competitive practices could not be justified if they significantly affected competition in a market.\(^7\) Basically, the Act covered four main areas; namely:
1. Restrictive business practices,(including those with horizontal and vertical nature);\(^8\)
2. Misuse (abuse) of market power;
3. Control of monopolies and concentration of economic power through mergers and acquisitions;\(^9\) and
4. Consumer protection.\(^{10}\)
In order to ensure a smooth riding, however, the Government reviewed the Act in 2001 and opted for a two pronged approach to effective regulatory reforms, namely: *economic regulation* and *competition regulation* approaches. The government’s role in the reform process may thus be viewed from, but should not be limited to these two approaches.
**Economic Regulation**
While recognising that competition reforms and the culture of competition need to be well entrenched philosophies in the economy, the government was attentive to the fact that certain sectors of the economy need specific form of regulation. In this regard, the government created separate institutional and legal frameworks apart from the competition regulation framework.
The need to execute change was due to the fact that the first competition regime, established by the *Fair Trade Practices Act*, 1994, was beleaguered with shortcomings that called for its repeal and a new Act was passed for a better focus that separated economic regulation from competition regulation. This re-enactment of the competition regime, led to the passing of four legislative enactments for economic sectors from which the application of the Competition Act was not directly envisaged. The respective legislative enactments which limit the application of the Competition Act are:
(i) The Energy and Water Utilities Regulatory Authority (EWURA) Act, 2001
(ii) The Surface and Marine Transport Regulatory Authority (SUMATRA) Act, 2001
(iii) Tanzania Civil Aviation Authority (TCAA) Act, 2003
(iv) The Tanzania Communications Regulatory Authority (TCRA) Act, 2003
It is worth noting, however, that these four pieces of legislation regulate certain forms of competition in the respective sectors in which they apply. While they provide that the Authorities will ensure effective competition in the sectors and will investigate anti-competitive conduct, they have the option to refer any anti-competitive conduct in their respective sector to the FCC for investigation. The structure created by these legislations, however, is unfavourable as it complicates effective handling of competition matters as it will be discussed later.
**Competition Regulation**
One of the rationales for the crafting of a competition law and policy in Tanzania was the need to ensure that former state monopolies, and which were now in the hands of private operators, do not turn themselves as private monopolies. Considering this, governmental policy direction with regard to competition policy is bent towards allowing competition to regulate the market and, where competition is not available and natural monopolies exist, then, some sort of administrative regulatory oversight is available, especially where benefits are seen to out-weigh the costs of regulation. Indeed, as noted earlier, with the exception of the four regulated sectors, (mostly utility sectors) the rest of the economic sectors fall within the ambit of competition regulation.
Following the need to re-shape the initial competition regime established under the 1994 Fair Trade Practices Act, the prevailing law on competition has been the Fair Competition Act, 2003. This Act replaced the 1994 enactment.
The Act has established a fully functioning and independent Commission as a market support institution responsible for addressing anticompetitive conduct in the market, and a Tribunal which determines appeals arising from the decision of the Commission. The presence of the Commission and the Tribunal in place to address fair play in the Tanzanian market, offers a wealth of market opportunities for both to internal and foreign companies.\(^{11}\)
Generally, the Act and its enforcement machinery provide an environment which not only guarantees for a fair exit from but also free entry into the market. Such an environment provides for the conditions necessary for fair competition and sound operations among the various players in the economy, thereby adding flavour to the designation of Tanzania as an attractive investment destination.
Currently, ‘with a population of [over 40mn] consumers, a rapidly growing economy, and high levels of domestic investment spending, the Tanzanian market remain[s] an important target destination for local and
foreign products and services.\textsuperscript{112} All these signify the benefits, which the regulatory and competition reforms can bring and which has the impact of not only alleviating poverty and increase investment and employment opportunities but ultimately spur sustainable economic growth.
**Competition Policy and the Participation of the State in the Economy**
As already noted in 3.0 above, the role of State in promoting competition cannot be over emphasised. Notwithstanding this fact, in a country like Tanzania, where hitherto the State had an upper hand in the market through public corporations and institutions that regulated prices, for example, the National Price Commission,\textsuperscript{13} there are few instances when the State might act as a stumbling block to effective competition. This might, especially occur where the State interferes with the effective functioning of competition in the market place through the so-called state-related restraints. Such state-related restraints may appear in various forms including, but not limited to state’s ownership of shares in public corporations or granting preferential privileges or protection to certain entities ‘national champions’ as compared to others plying in the same market.
In Tanzania, the framers of the Fair Competition Act did consider the interplay between the introduction of competition policy and the participation of the state in the economy. To be precise on this, section 6 of the Fair Competition Act (FCA) is a relevant provision to refer to when dealing with the State’s involvement in the market. The section provides as follows:
‘6.-(1) This Act shall apply to Mainland Tanzania, state bodies and local government bodies in so far as they engage in trade.
(2) Notwithstanding the provisions of sub-sections (1), the State shall not be liable to any fine or penalty under this Act or be liable to be prosecuted for an offence against this Act.
(3) For the purposes of this section, without affecting the meaning of ‘trade’ in other respects -
1. The sale or acquisition of a business, part of a business or an asset of a business carried on by the State, a State body or a local government body constitutes engaging in trade; and
2. The following do not constitute engaging in trade:
(i) the imposition or collection of taxes;
(ii) the grant or revocation of licences, permits and authorities;
(iii) the collection of fees for licences, permits and authorities;
(iv) Internal transactions within the Government, a State body or a local government body.’
As it may be seen from the above provision, the interplay between the introduction of competition policy and the participation of the State in the economy is limited only to the extent which the State bodies or local government bodies are actively engaged in ‘trade.’ Although the Act defines the term ‘trade’, under section 2, as including ‘commerce’, this definition is not sufficiently elaborate. Nevertheless, from common knowledge, the term ‘trade’ may be regarded involving the ‘intercourse for the purposes of trade in any and all its forms, including the transportation, purchase, sale and exchange of commodities.’\textsuperscript{14}
Considering what section 6(1) of the FCA provides, where a government department or a local government engages in a conduct that amounts to doing business within the context of this provision, it has to abide with the general competition law principles. If the conduct violates the FCA, it will be subject to investigation and sanction under the Act. A good example of a case, which considered the application of section 6(1) of the FCA was the case involving the Tanzania National Roads Agency (TANROADS). This case involved the issuance of exclusive permits to erect gantries and billboards along road reserves sites throughout the country.
The permits were only issued to two firms by TANROADS, fact which made other players in the outdoor advertising market to lodge a complaint at the FCC. While determining the case, TANROADS challenged the jurisdiction of the Commission stating that being a state agency was, by virtue of section 6(2) of the FCA, immune from the application of the Act. However, the Commission was satisfied that since the alleged conduct constituted a barrier to other potential entrants in the same business of advertisements through gantries and billboards, it had jurisdiction to determine the matter and, that, TANROADS fell within the ambit of section 6(1) of the Act.
In the final analysis of the matter, the Commission held that TANROADS was a State body and not the State, hence, not subject to the exemption under the provision of section 6(2) of the Fair Competition Act. Its agreements with the respective firms were declared null and void
for having contravened the Fair Competition Act. All these developments painted a new picture, which reveals that, with a guaranteed independence, a competition authority can still oversee and build a culture of competition and dispense ‘competition justice’ even against State-related agencies or department when such are involved in perpetuating anticompetitive conduct.
**Unveiling the Policy, Institutional and Implementation Challenges**
It is now more than two decades since Tanzania adopted a competition legal framework and a decade long since the Fair Competition Commission (FCC), as an institution that oversees competition in the market, was established. For all these past years, the path towards a flourishing competitive market economy in Tanzania has not been smooth.
There have been challenging issues ranging from policy, legal and institutional setting, as well as human and financial resources challenges, all making it difficult, though not impossible, to sustainably carry-out the necessary functions of building an environment within which the benefits of competitive market economy could be fully realised.
**Policy-Legal related Challenges**
As already stated, from 1990s onwards, governmental policy direction with regard to competition policy was bent towards allowing competition to regulate the market. Where competition is not available and natural monopolies exist, then, the government opted for some sort of administrative-regulatory oversight, especially where benefits were considered to be out-weighing the costs of regulation.
Thus, with the exception of the four regulated sectors mentioned earlier, (mostly utility sectors) the rest of the economic sectors should automatically fall within the ambit of competition regulation. While this policy decision by the government was perfect when the country was still crafting its regulatory route the whole scenario, if examined, and its trajectory having been treaded for two decades now, it reveals some challenges that pose a serious threat to a well-functioning competition regime.
Indeed, by creating regulatory institutions with concurrent mandate to deal with certain competition issues in their respective sectors\(^{15}\), there has been a loophole that anti-competitive conduct in those sectors may be left unattended. This risk is supported by the fact that, unlike the FCC, the rest of regulatory authorities spend more time and expertise on
technical/economic regulation in their sectors than on competition regulation. The reason for this is simple. They were not established, like the FCC, to specifically address competition issues and, consequently, their expertise on investigations and handling of anti-competitive conduct that may be within their respective sectors is limited.
This is a challenge that necessitates a thorough review of the current policy-cum-legal structure in order to separate economic regulation from competition regulation in those sectors and to allow the FCC to have an overriding mandate on competition issues even in those sectors.\(^{16}\)
Furthermore, vesting the FCC with direct powers to intervene and investigate anti-competitive conduct in any of the regulated sectors will also help to remove any confusion or uncertainty which may occur should a Regulatory Authority, for instance, pursuant to its enabling Act; punish its subjects for violations of the laws and regulations governing the sector, e.g., cancellation of a license, and at the same time refer an anticompetitive conduct to the FCC for investigation.
In such a scenario, the culprit may rely on the *Ne bis in idem* (double jeopardy) principle to challenge any decision which the FCC may wish to take, hence unnecessarily prolonging the effective enforcement of the competition principles. There is at least an example from our experience, which might assist to illustrate this point better.
Since 2011, the FCC has been pursuing a cartel-related case in the petrol supply industry. The facts of the case are that, because petrol supply sub-sector is a regulated sector, in 2011 the regulator (EWURA) issued a cap price indicating price for which a litre of petrol or diesel was to be sold.
The oil marketing companies, through the Chairman of their association, Tanzania Oil Marketing Companies, ‘TAOMAC’ issued statements through the media boycotting to supply fuel to the market in opposition to the new cap-pricing regulations. The incident, which seems to have been coordinated through ‘TAOMAC’, led to disruption in the entire market and occasioned sufferings to consumers and the entire economy for almost three consecutive days.
The regulator issued several compliance orders to some of the members of ‘TAOMAC’ and referred a complaint against the conduct of both the ‘TAOMAC’ and its chairperson to the FCC. When the FCC took up the matter and opened an investigation to establish whether the provisions of the Fair Competition Act which prohibits collective boycott by competitors were breached.
Although the matter is yet to be finalised, there has been several objections by the members of “TAOMAC” to the effect that the matter
ought to have been dealt with by EWURA, the regulator of the relevant industry, since its establishing law gives it such a mandate. Such sorts of arguments tend to prolong litigation unnecessarily. Their key roots, however, is the underlying policy and legislative framework upon which the whole idea of economic and competition regulation was pegged from its inception.
Since the ‘TAOMAC’ case is still pending, it suffices here to state that, there is a need to vest all mandate relating to overseeing competition and investigating misconducts in an economy to one entity only.
**Challenges Arising from the Current Institutional Set-up**
The Fair Competition Act, 2003 established a fully functioning and independent Commission as a market support institution responsible for addressing anticompetitive conduct in the market, and a Tribunal which determines appeals arising from the decision of the Commission.
The Commission became operative in 2005, and since then it has dealt with cases ranging from merger applications (158 cases); un-notified mergers (15 cases); abuse of dominance (2 cases), restrictive agreements (10 cases), and 2 exemption cases, all being part of its mandate under the law. The Commission has also defended appeals and applications arising from its decision. There has been (9) appeal cases, (3) of which are still pending at the Court of Appeal of Tanzania) and 11 applications filed at the Fair Competition Tribunal. Figure 12.1 shows the number of FCC’s competition related cases, in percent-wise, received as from 2007 to 2015.
Despite the above noted successes and, although the Fair Competition Act and its enforcement machinery provide for an environment, which not only guarantees a fair exit from but also free entry into the market and; even if this fact adds flavour to the designation of Tanzania as an attractive investment destination,\textsuperscript{17} the current institutional design has been, and remains to be open to challenge.
The current design combines investigatory, prosecutorial, and adjudicative functions. This set up has created anxiety among legal practitioners who view it as violating the constitutional principle of separation of powers, even if the Commission’s \textit{modus operandi} is inquisitorial in nature.
Under section 69(1) of the FCA, read together with Rule 10(2) of the Fair Competition Procedure Rules, for instance, the Commission can initiate a complaint on its own and can investigate the same and make a finding. In 2010, in \textit{TCC v FCC},\textsuperscript{18} an attempt was made to challenge this provision at the High Court of Tanzania testing its constitutionality.
The Court, however, dismissed the petition on a technicality without entertaining the matter on the merits since it was wrongly moved by the petitioner. An appeal was preferred to the Court of Appeal and the same has not been determined. Viewed from this perspective, one would envisage a need to re-examine the current institutional set-up lest we find ourselves in a messed-up situation like the one in which the Jamaican Fair Trading Commission was thrown into following the decision of the Jamaican Court of Appeal in Jamaican Stock Exchange Commission v Fair Trading Commission (FTC), Supreme Court Civil Appeal No.92/97. In this case, it was held, inter alia, that it was improper for the respondent (FTC) to perform the functions of a complainant and adjudicator since that was in breach of the principles of natural justice.
Taking the above example and, given the attempt to challenge section 69(1) of the FCA, there still remains a looming challenge that hangs on top of the to the FCC as the sword of Damocles. Indeed, if successfully pursued in view of the pending appeal in the Court of Appeal of Tanzania, the decision may paralyse the carrying out of the functions of the Commission.
In view of this, and as once noted elsewhere, since “[a] regulatory framework should clearly, appropriately and sufficiently address ‘how’ the regulatory functions are to be carried out – the processes and governance arrangements - particularly as they pertain to agencies established to carry out regulation of a sector or market area;”\textsuperscript{19} then, there may be a need to re-consider the current set-up of the Commission.
Although it is established that the Commission conducts its business through an inquisitorial process (as opposed to the adversarial process), one proposal, which may be taken up for consideration in order to ensure separation of investigation and adjudicatory powers within the Commission is to broaden the number of the Commissioners and limiting the involvement of the Director General (DG) in the decision making process.
Instead of having the DG as a Commissioner who sits in the case meeting, the Commission may create a committee of experts in which the DG will sit (since he heads the secretariat, i.e. the Director General and his management team of technical experts) and the Commission should delegate powers to such a committee, tasking it with the responsibility of conducting preliminary hearing of the cases and making preliminary assessments/provisional findings of investigations for recommendation to the Commission.
In my view, such a division of responsibilities between the Commission and the Secretariat, which is headed by the DG, will ensure that there is fairness and objectivity in the operations of the Commission and also that there is a separation of powers between investigations and case adjudication. Otherwise, the FCC may remain a purely investigatory body while the FCT handles all adjudicatory issues arising from the investigations conducted by the FCC.
It is also worth noting that the FCC handles consumer complaints as well. The Commission, however, has been unable to address consumer complaints effectively since most of the current provisions of the FCA do not give the Commission power to punish the culprits who violate the relevant consumer protections principles.
In most cases the FCC ends up advising consumers to resort to the ordinary courts for redress, and, as well understood, such a route is less favourable given the length of time, which a case may take in a court and expenses that may be involved until one gets the requisite redress. To address this shortcoming the FCC has proposed for the amendment of the current law so as to allow the Commission to act as a small claims court and also apply the alternative dispute resolution (ADR) mechanisms in dealing with consumer complaints.
Challenges Arising from Lack of Sufficient Financial and Human Resource
As depicted earlier on the historical overview of the competition regime in Tanzania, competition was not a culture experienced in the country but a ‘new baby in town.’ In view of this, more efforts to build a culture
of competition among players have been an essential agenda from the time when the FCC became functional.
This FCC’s agenda has to be implemented through competition and consumer advocacy campaigns. The success of this strategy however, has been starved by inadequate funding since the FCC is not fully funded by the government. The FCC is a business support and not a business making institution. According to section 78 of the FCA, it is provided that Funds of the Commission will comprise of -the (a) fees not exceeding 2.5 percent of business licenses; (b) any grants, donations, bequests or other contributions made to the Commission; (c) funds allocated to the Commission from the Regulatory Authorities, (d) funds allocated to the Commission by Parliament; (e) fees collected by the Commission; and (f) all other payment due to the Commission in respect of any matter incidental to its functions.
Despite these sources being well noted by the Act, they have remained undependable sources and funding the business of the Commission has remained a hard nut to crack.
The current arrangement with the regulatory authorities mentioned under the Act is for them to fund the budget of the FCC on *pro-rata* basis. While the FCC submits its proposed budgets well in advance and carries out consultative meetings with the relevant regulatory authorities (RAs), the agreed *pro-rata* mode of remittances from the RAs has never been effective.
The FCC’s requests for funding from the relevant RAs pursuant to the available funding regulations made under section 78 of the FCA has never been remitted 100 percent as requested. In summary, Table 12.1 shows a comparative annual Regulatory Authorities budget performance percentage view for three financial FCC years 2011-2012 to 2014-2015.
| Year | Request | Disbursed | Percent Deficit | Percent Performance |
|------------|---------|-----------|-----------------|---------------------|
| 2012/2013 | 2,707 | 1,209 | 55% | 45% |
| 2013/2014 | 2,585 | 1,238 | 52% | 48% |
| 2014/2015 | 3,298 | 900 | 73% | 27% |
As it may be seen from the three years analysis shown in Table 12.1 from 2012-2015 the Commission budget from Regulatory Authorities has never been achieved by more than 50 percent. In the year 2012/2013 it was achieved by 45 percent followed by 48 percent in the year 2013-2014 and 27 percent in the current year 2014-2015. These variations have had a negative impact on Commission’s achievement of its objectives, goals, targets and activities due to the fact that the Commission had to drop some of its planned activities due to financial difficulties.
This challenge is further complicated by the fact that, although the FCA provides for an allocation of equal to 2.5 percent of fees charged from business licenses by local authorities, nothing has ever been remitted to the FCC. In view of all this, one can imagine how frustrating it may be when a competition authority is poorly funded. Even if it will plan, it will not manage to carry out all its plans successfully.
It must be noted that ‘effective implementation of competition law needs to be secured through sufficient funding’\(^{20}\). For that reason, the Government needs to appreciate and practically addressed the funding issue since the FCC is an important institution to the economic well-being of Tanzania.
It is also worth noting that, apart from dealing with competition issues, the FCC is also mandated to fight counterfeits from the market and protect consumers. Up to the moment it has been able to confiscate and destroy counterfeit products worth approx. Tanzanian Shillings 5 billion. The figures 3 and 4 below illustrates what was done over the past three financial years, 2010-2011; 2011-2012 and 2012-2013.
Another resource-related challenge which the FCC has been facing relates to inadequacy of its manning levels. Since its inception to-date the Commission has not been able to attain its full manning level.
This has an implication on its overall performance given that the Commission (as an entity) discharges another separate mandate (through the Director General as the Chief-inspector), of dealing with counterfeit goods. Although it is well known that the FCC can recruit its own members of staff, the other flip side to this fact is that payment of personal emoluments to such staff members is a function of the central government given that all staff members are public servants in the public service.
This means there must be a permit to recruit from the central establishment, (the Permanent Secretary Public Service Management) and, such permits are often not easily issued especially because the interest of the central establishment to recruit personnel might be in respect of other areas, which are considered to be of priority. As a result, the Commission fails to carry-out its mandate fully.
**Challenge Resulting from the Risks of Regulatory Capture**
As noted earlier, the adoption of market economy in Tanzania involved privatisation of the erstwhile public entities and opening up various sectors to competition. It is clear, however, that most influential people in politics and business became shareholders in most of the privatised entities and, since such entities had been enjoying less competition they would wish to continue with such a state of affairs even after the new form of competitive environment had come into the scene. That being the case, one of the challenges that face most young competition authorities is the possibility of succumbing to the regulatory capture syndrome\(^{21}\).
In such a scenario, politicians tend to use their political influence to interfere with the exercise of regulatory mandate vested on the competition authority, for instance, with regard to mergers and acquisitions considered to be anti-competitive. To do so, they will do all they can, using their political offices or influence, to instill pressure on the competition authority whenever the authority takes a bold step to investigate alleged anticompetitive conduct against them, with a view to make the authority lose sight of the public or consumer interests it is supposed to safeguard and protect the privileges of the particular firm in question.
One example, in our case, is a complaint concerning un-notified merger and abuse of dominance which the Commission pursued against a dairy milk processing plant, *Tanga Fresh Ltd* (TFL) from 2010 to 2015. In 2009, TFL acquired two of its competitors without first filing a notification before the FCC.
When the Commission learnt of the transactions and initiated an investigation in accordance with the provisions of the FCA, TFL, through one of its shareholders, Tanga Dairy Cooperative Society, resorted to political offices for salvation. The matter was brought to the attention of a parliamentary committee responsible for trade, industry and economic affairs and certain officials from the FCC were summoned to appear before the committee.
Even so, the FCC was adamant in ensuring that the law is properly adhered to and issued its final decision on the complaint, which was upheld
by the Fair Competition Tribunal upon an appeal preferred by Tanga Fresh Ltd. This is one of the cases that exposed the FCC to the risks of regulatory capture, a fact which is still alive to most young competition authorities, especially due to the reason that the culture of competition has not sunk deep within the fabrics of the society. However, as once stated, competition authorities doing their job properly should always resist such pressures.\textsuperscript{22}
**Challenges Resulting from Lack of Sufficiently Entrenched Competition Culture**
‘A ‘culture of competition’, is the desirable situation that exists within a country when the rules and benefits of competition are widely known and supported, and where serious consideration of the likely impact of actions and regulations on competition forms a natural part of the background for decisions by firms and governments. Building a culture of competition and an effective competition regime is a long-term endeavour, and not just a matter [of] one-off events. Competition must be ‘mainstreamed’ in all sectors.’\textsuperscript{23}
Lack of sufficiently rooted culture of competition within a developing economy like Tanzania, and given its socio-economic and political history explained above, creates another barrier to successful discharge of functions vested on the FCC. The Commission has been facing obstacles, for instance, in accessing bills meant to be tabled before the parliament for its prior review in order to ensure that the envisaged legislation does not become a barrier to competition.
Resistances have also been noted in sectors such as insurance where a prudential regulator of the sector wants at the same time to assume the role of regulating anticompetitive conduct unveiled by the Commission. A case in point is one involving two insurance associations, the Association of Tanzania Insurers (AIT) and the Association of Insurance Brokers (AIB).
The two colluded and fixed motor vehicle premium rates to be charged by their members. When the matter came to the attention of the FCC, as the conduct is prohibited under the FCA, the insurance regulator challenged the FCC before the Attorney General (AG) alleging that the proper entity to deal with the matter is not the FCC but itself. Since 2013 the matter has been unattended as the AG is required to issue guidance as the Chief advisor to the government on matters of law.
Looking at the whole issue, however, the only conclusion which can be drawn is that the current tussle between two government regulatory
entities is that there is still a lack of sufficiently rooted knowledge and culture of competition within the sectors of the economy, a fact that calls for more advocacy sessions to government entities by the Competition authority as part of the corrective measures.
**The Challenge Emerging from the Lack of Functioning East African Competition Authority (EACA)**
As it may well be known, regionally within the East African Community there is a law to govern competition issues and protect consumers. However, the Act has largely remained ineffective because some of the member States to the community are yet to domesticate it. Due to this fact, the envisaged EACA has not been functional and cross-border mergers tend to be notified in all countries under the respective domestic laws.
Even if the authority was to be functional, there still remain unanswered questions regarding whether a merger with cross-border effect will still need to be notified in the jurisdiction where it has its nexus or should only be notified to the authority. Whether and at what rate should part of the notification fees payable trickle down to the national competition authority from the regional authority is yet another unsolved issue. It suffices here to note that all such issues are challenging since some national competition authorities partly fund their activities through fees payable by notifying parties.
**Conclusion**
Ever since the time when Tanzania embarked on the competition reforms’ process, the role which competition policy has been playing in the economy in terms of promoting healthy markets, consumer welfare, employment, innovation and industrialisation, is significant. Briefly stated, the reforms have opened plenty of opportunities for investments and economic growth.\(^{24}\)
Notwithstanding this fact, it is worth emphasising that competition policy is not, on its own, a panacea for a sustained economic growth. Strong political commitment that seeks to promote and sustain on-going regulatory reforms is still required on the part of the Government and its various agencies if Tanzania is to leap frog from a low to middle income before 2050. This is essentially the case because successes or failures of competition reform, or any regulatory reform, depend on the political will of the government of the day.
As noted from the above discussion, the competition regime in Tanzania is still faced with challenges that need to be addressed. Whereas the structural design challenges that are hinged on the establishing legislation may be addressed through amendments, other challenges such as poor financing of the FCC are policy related matters that need to be taken up by the government itself if at all it is strongly committed to reforms and ensuring that a culture of competition permeates within the entire economic fabrics of the society.
In our view, the first and foremost commitment which the government needs to portray is strong and consistent support to the institutions vested with the mandate to provide competition regulation oversights. Governmental funding is a crucial support that must be given to the authority. As noted in this discussion, while the FCC’s operational budget has been growing perpetually, its financial support has been gradually diminishing.
This tendency tends to reduce the necessary independence which a competition authority needs to maintain. Lacking sufficient funding has the potential to weakening the position of the agency and reduces its visibility, relevance, and voice within the nation. It makes it difficult for the agency to air its views or to be heard at the Governmental or political levels because, important activities, such as advocacy, which could have enhanced its visibility are not fully carried out.
Consequently, the agency becomes less or rather consulted late in all processes relating to policy or legislative formulations, which, as a matter of fact, ought to be scrutinised to ensure that they do not create barriers to competition.
It is also worth noting that there are still grey areas which need to be further explored for the sole purpose of captivating not only the culture of competition within the various sectors of the economy but also the entire rationale for competition reform agenda.
Since it is agreed that competition among various players in the economy has the potential to spur sustained economic growth there is now a need to ensure that the would-be barriers to competition, be they artificial or statutory are completely removed so as to ensure not only free movements of goods and services but also effective enforcement of the competition law by the respective machineries.
In this regard, the FCC has, for instance, come up with a strategy to engaging with various government departments and agencies and regulatory bodies through entering into Memorandums of Understanding (MoUs), which aim at not only ensuring that the relevant governmental departments, agencies or regulatory entity lend support to the effective
carrying out of the Commission’s mandate but also ensuring that the culture of promoting competition permeates into their daily operations.
Finally, we wish to express our views that, in order to realise the highest returns from competition or any other regulatory reforms, apart from addressing key challenges as those enlisted herein, above, participation of key competition stakeholders in the reform process and those who are beneficiaries of the reforms, is vital. This entails enhancing the role of competition and consumer protection advocacy at national and regional levels including, but not limited to holding regional and national consultative meetings with the business community, investors, consumer groups, governmental departments and ministries with a view to disseminate the competition gospel thus winning their support for any of intended future reforms.
Effective involvement of such key players is essential in not only building or strengthening the requisite synergies that exists or that need to be established but also helps to promote the enjoyment of a continued support for the competition reform agenda within the given country or regional economic grouping.
It is further argued that building or strengthening existing synergies between regulatory institutions, relevant government agencies, and stakeholders or players in the business circles, is vital since it enhances the chances of instilling the competition philosophy and culture within and among key players within a given market.
In particular, key reforms in the other areas such as the area of governance, are vital ingredients for a sustainable economic growth. Such reforms include, but are not limited to, reforms geared at enhancing cost-effective measures such as reducing (and completely) eliminating corruption, mismanagement of resources, enhancing efficiency in service delivery, increasing consumer awareness of and their voice against inefficiency costs in various service delivery sectors such as ports, airports, tax revenue offices, and licencing authorities, as well as improving coordination and transparency among various government agencies and stakeholders.
All these elements have the potential to contribute to sustainability and economic growth because they have the potential to spur investments, both local and freeing direct investments, enhances the ease of doing business, promote trust and confidence in the underlying economic systems, such as financial as well as operational systems in a given country, thus ultimately promoting more competition in the economy, poverty reduction, unemployment as a result of improved welfare and societal development.
Endnotes
1 See: Waigama, S.M.S, *Privatization Process and Asset Valuation: A case study of Tanzania* (unpublished PhD Dissertation, School of Architecture and the Built Environment Royal Institute of Technology Stockholm (2008) at 1.
2 See: UNCTAD, *Voluntary Peer Review of Competition Law and Policy: A Tripartite Report on the United Republic of Tanzania- Zambia-Zimbabwe*, United Nations, New York and Geneva, (2012) at 38.
3 It is noted, for instance that, in ranking of the world’s poorest countries, the position of Tanzania changed dramatically in the 1980s dropping from 14th poorest in 1982, with a GNP per capita of $280, to the 2nd poorest in 1990, with a GNP per capita of US$110. In previous years, particularly the 1960s and 1970s, real GDP per capita was growing at an average annual rate of 1.5 - 1.9%. However in the period between 1981 and 1986, it registered a negative annual growth rate of 2%. See: Ministry of Industry and Trade (MIT), “Analysis of the Services Sector with a View to Making Commitments in the Context of Trade Liberalization at Bilateral, Regional and Multilateral Trade Negotiations: The Case of Tanzania” at p.11 (available from http://www.tzonline.org/pdf/analysisoftheservicessector.pdf (as accessed on 24/6/2015)).
4 See: Sengupta, R. and Mehtra, U.S., ‘Competition Reforms – An Essential Element to Evolving a Sound Business Environment in Eastern and Southern Africa’ CUTS International, India (available from http://www.businessenvironment.org/dynlbe/docs/154/Sengupta.pdf, at 1.
5 MIT (op. cit. note 3) at page 12.
6 See: for instance, the enactment of Land Act, 1999 (Cap 113); the Village Land Act, 1999 (Cap 114) and the Unit Title Act of 2008; the Business activities registration Act 2005; The Business Names (Registration) Act (Cap. 213); Tanzania Revenue Authority Act 2006 and the Tanzania Investment Act, 1997.
7 See: CUTS, *Competition Law and Policy: A Tool for Development in Tanzania* CUTS Centre for International Trade, Economics & Environment, (2002) at 30.
8 These were dealt with under section 15 to 29 of the Act.
9 These were dealt with under section 30 to 40 of the Act.
10 See Sections 51-93 of the Act.
11 See: Musiba, E., ‘Reforming the Business Environment in Tanzania’ (available from http://www.businessenvironment.org/dynlbe/docs/83/Session5.2MusibaDoc.pdf (as accessed on 22/6/2015)).
12 Ibid.
13 This was established under the Regulation of Prices Act, (Act No. 19 of 1973) and was vested with powers to administer a price control system. The Act has since 1994 been repealed.
14 See: *Welton v Missouri* 91 US 275 (1875) per Filed, J. See also *Ranson v Higgis* [1974] 1WLR 1594 at 1600; *Re Ku-ring-gai Co-operative Building Society (No 12) Ltd* 36 FLR 134 at 139.
15 See, for instance, section 20 of The Energy and Water Utilities Regulatory Authority Act, 2001; Section 19 of Authority Act, 2001 The Surface and Marine Transport Regulatory Authority Act 2001; Section 25 and 40 of the Tanzania Civil
Aviation Authority (TCAA) Act, 2003; and Sections 5 and 19, 65 of Tanzania Communication Regulatory Authority Act, 2003.
16 It is crucial to note that for the past one decade of its presence and of dealing with competition issues, the FCC has built its expertise in the area even if the journey to the mastery of competition issues is yet to be attained in full.
17 Ibid. The author notes that currently, ‘with a population of [over 40 million] consumers, a rapidly growing economy, and high levels of domestic investment spending, the Tanzanian market will remain an important target destination for local and foreign products and services.’ All these signify the benefits which the regulatory and competition reforms can bring and which has the impact of not only alleviating poverty and increase investment and employment opportunities but ultimately spur sustainable economic growth.
18 Misc. Civil Petition No.131 of 2010, High Court of Tanzania, (Unreported).
19 “PPIAF – Jamaica Regulatory Impact Study Legal Gap Analysis, Report (2006), Cambridge Economic Policy Associates Ltd In association with The University of West Indies (UWI) (available at http://www.ppiaf.org/sites/ppiaf.org/files/documents/Jamaica-legal-gap-analysis.pdf (as accessed on 2/9/2015)).
20 See UNCTAD, Voluntary Peer Review Of Competition Law And Policy: A Tripartite Report on The United Republic of Tanzania-Zambia-Zimbabwe, United Nations, New York and Geneva, (2012), at 82.
21 The concept of regulatory capture was introduced by George Stigler and Sam Peltzman. For a brief description see Kip Viscusi, John Vernon and Joseph Harrington Jr. (2000), Economics of Regulation and Antitrust, The MIT Press, Cambridge, Massachusetts, Third Edition, pp. 317.
22 See: Advocacy and Competition Policy: Report Prepared by the Advocacy Working Group ICN’s Conference Naples, Italy, 2002, at pp. 28-29.
23 See: Preston, J. ‘Implementing Competition Policy in Developing Countries: The Role of Donors’ International Conference on ‘Reforming the Business Environment – From Assessing Problems to Measuring Results’ Cairo: 29 November – 1 December 2005, at p.13. (Available from: http://www.businessenvironment.org/dyn/be/docs/80/Session3.4PrestonDoc.pdf accessed on 25/3/2014)).
24 See: generally, Wangwe, S.M. ‘Economic Reforms and Poverty Alleviation in Tanzania’, ESRF- ILO Paper No.7, (1996) (available from http://ilo.org/wcmsp5/groups/public/—edema/documents/publication/wcms_125479.pdf (as accessed on 23/06/2015)).
Abstract
The Internet companies, often referred to as Over-The-Top (OTT) firms have powered ‘sharing economies’ around the world (Weber, 2014). Two Sided Markets (2SM) and associated Platforms form the basis of operation of these firms. In a typical 2SM, there are two sets of users who complement each other’s usage thereby increasing the network effect for enhanced value for both\(^1\). Often, one side of users cannot exist without another and a platform is possibly the only way for them to efficiently get to know each other and transact commercially. India is unique in this aspect, compared to many other countries since a large number of unorganised set of firms exist and that too especially in direct consumer related verticals, such as travel, consumer goods, healthcare, apparel, fashion, to name a few.
India is also witnessing for the first time a deluge of ideas and 2SM based start-ups coupled with an ensemble of angel investors, incubators and accelerator. Part of this enthusiasm is due to improved adoption of computers, mobiles, and smartphones and the increasing penetration of mobile Internet broadband across the length and breadth of the country. However, in India as in other developing countries, there are considerable challenges to interconnect the two sets of users and that is where the
value of platforms, such as the above comes out. The paper provides taxonomy of such 2SM platforms in existence, especially in India, their economic and social benefits, the competition effect, and the associated regulatory and policy interventions.
**Introduction**
The Internet companies, often referred to as Over-The-Top (OTT) firms have powered ‘sharing economies’ around the world\(^2\). Two Sided Markets (2SM) and associated Platforms (P) form the basis of operation of these firms. In a typical 2SMP, there are two sets of users who complement each other’s usage thereby increasing the network effect for enhanced value for both\(^3\). Typical examples include an e-commerce portal that connects users on one side with suppliers of goods on the other side; a travel portal that intermediates between travellers on one side and the travel firms on another; and so on.
Often, one side of users cannot exist without another and a platform is possibly the only way for them to efficiently get to know each other and transact commercially. This becomes very important, especially in an unorganised sector where it is of prime importance for the platform provider to bring a semblance of organisation, thus facilitating commerce between the two sets of users.
India is unique in this aspect, compared to many other countries since a large number of unorganised set of firms exists and that too, especially in direct consumer related verticals such as travel, consumer goods, healthcare, apparel, fashion, to name a few. The growth of 2SMPs, though not new, is fuelled by the proliferation of Information and Communication Technologies (ICTs). ICT parameters for India are given in Table 13.1.
Though the Network Readiness Index has not progressed much and the country is still ranked in the 89\(^{th}\) position out of the 140 countries in WEF (2015), there are some distinguishing characteristics. The mobile subscriber base in India is the second largest in the world and the mobile networks cover more than 90 percent of the country’s population.
Though Internet and broadband penetration is still low, more and more of users access Internet only through their mobile devices. The start-up eco system in the ICTs is very vibrant in the country, as exhibited by the venture capital availability. Bangalore, India is rated consistently in the top 20 global start-up ranking, along the leagues of Silicon Valley in the US. Though the impact of ICTs on new products and services is still evolving, it is still consistently ranked above 4 (scale 1-7) indicating its potential.
Table 13.1: ICT Data of India (as on Dec 2014)
| Data | Value |
|----------------------------------------------------------------------|--------------------------------------------|
| Network Readiness Index (WEF, 2015) | 3.7 (scale 1-7) |
| Mobile subscriber base (in Million)/ Mobile density per 100 population | 930.20/74.55 |
| Number of Internet Subscribers (in Million): Wireline/ Wireless | 18.70/235.70 |
| Number of Broadband subscribers (in Million) (Wireline/ Wireless) | 15.13 /60.60 |
| Impact of ICTs on new products and services (WEF, 2015) | 4.1 (scale 1-7) |
| Global start-up eco system rank: Bangalore, India (Compass, 2015) | 15 (out of Top 20) |
| Venture capital availability (WEF, 2015) | 20 (Rank out of 143) |
| Laws relating to ICTs (WEF, 2015) | 3.9 (scale 1-7) |
India is also witnessing for the first time a deluge of ideas and 2SMP based start-ups coupled with an ensemble of angel investors, incubators and accelerator. Part of this enthusiasm is due to improved adoption of computers, mobiles, and smartphones and the increasing penetration of mobile Internet broadband across the length and breadth of the country. Part of it is also due to the inherent inefficiencies of the current unorganised sector and a possible solution in an organised 2SMPs.
However, in India as in other developing countries, there are considerable challenges to interconnect the two sets of users and that is where the value of platforms becomes important. On the other hand, due to relatively low entry barriers, it is easy to set up the platform business, and hence, the reason for hundreds of start-ups in this space.
The caveat is that until the two sides scale up considerably the value of the platform remains minimal. In the following section, the theory and characteristics of Two-Sided markets and platforms will be discussed; in the subsequent section, we provide five case studies from different areas of the Indian economy and illustrate their evolution and benefits for the two sets of users; in the concluding section, provide indicative policy steps for addressing these markets.
Theory of Two-Sided Markets and Platforms: A Literature Review
This Paper extends the principles of Appropriate Technology and Fortune-Seeking from the Bottom of the Pyramid expounded by Kumar & Du (2011). Through cases, this paper attempts to bring out the socio-economic impacts of ICT enabled 2SMPs.
‘Network externalities’ are qualities of certain goods and services such that they become more valuable to a user as the number of users increases. Examples of products exhibiting network externalities include fax machines, credit card networks, telephone services, broadcast industry services, computer hardware and software\(^4\).
Hence, network externality is defined as the increasing utility that a user derives from consumption of a product or a service as the number of other users who consume the same product or service increases. The network effects due to these externalities can be direct or indirect fuelled by complementarity and compatibility of associated products and services.
**Cross-side Network Effects**
The theory of Two-sided Market Platforms (2SMP) and associated platforms is not new. It has been in existence since the time Visa and MasterCard were discovered and even prior to that. In a typical 2SMP, there are two sets of users who complement each other’s usage thereby increasing the network effect for enhanced value for both. The platform enables these two heterogeneous sets of users to come together to conduct commercial transactions.
Success of the platform depends on the number of users on each side and the usage across them which is often referred to as *cross-side network effect*\(^5\). Hence, in a 2SMP, the cross-side network effects typically complement the same side network effects – direct or indirect or both. These effects are captured in the case of a typical e-commerce marketplace as follows. Figure 13.1 illustrates a typical 2SMP and its associated characteristics.
A typical e-market place is a platform that connects sellers of products on one side with potential buyers on the other side. The platform provides the required glue between sellers and buyers. The cross-side network effect complements the same side networks in a 2SMP as shown.
Pricing in 2SMP
Pricing is one of the important strategies in a 2SMP. Typically, one set of users are subsidized while the other set pays premium depending on the price elasticity of the demand. In a two sided market with positive cross-side network effects, the platform provider, even if it is a monopolist, has an incentive to reduce platform profit. This is because in order to compete effectively on one side of the market, a platform needs to compete well on the other side. This creates a downward pressure on the prices offered to both sides compared to the case where no cross-side effects exist\(^6\).
Waterbed Effect
A significant feature of the two sided market is that one group of users, choose to use only one platform, i.e. they ‘single-home.’ The other group, might ‘multi-home.’ For example, in the e-commerce platform example in Figure 13.1, typically consumers multi-home while sellers of merchandise single home. In such a market if a seller wishes to interact with consumer it has no choice but to interact with the consumer’s chosen platform.
Thus platforms have monopoly power over providing access to their single-homing users for the multi-homing side. This leads to the possibility of high prices being charged to the multi-homing side. By contrast, platforms have to compete for single-homing users (i.e. sellers in the e-market place), and their high profits from the multi-homing side are to a large extent passed on to the single-homing side in the form of low prices or even zero prices. This is known as the waterbed effect and has been demonstrated in analytical models\(^7\).
Competition
The prospect of increasing returns to scale in network industries especially in 2SMP, can lead to winner-take-all battles, and hence, if not monopoly, but a relatively less number of platform providers. So an aspiring platform provider must consider whether to share its platform with rivals or fight to the death\(^8\). Coping with platform competition is a two-step process process as per Eisenmann, *et al.* (2006). First, is to determine whether their networked market is destined to be served by a single platform. When this is the case, the second step is in deciding whether to compete alone or share the platform in a competition model.
Taxonomy of 2SMPs
A broad taxonomy of 2SMP is necessary to understand the scope, responsibility and liability of platform providers\(^9\).
First are e-marketplace platforms that connect buyers with sellers that normally have associated brand. These may be niche or horizontal in nature covering large number of products and associated sellers. The platforms do some due diligence in selecting the sellers. Quality of products/services is taken seriously and the platform providers do provide enough information to the buyers including ratings and facilities offered, so that buyers make informed decisions.
However, the payment for products and services are handled by the platform provider and the platform acts as a one-point contact for the customer. Moreover, these platform firms build brands through advertising and other means to attract both buyers and sellers and gain their trust. Due to the above role, these platforms normally bear limited liability and responsibility for any errors in the completion of any transaction that passes through their platforms. For example, these platform providers normally have customer grievance cell and toll free numbers for the same. They also clearly state cancellation and refund policies for the transactions done through the platform.
Second, there are essentially directory services that enable customers to get information about the products or services. These firms enable buyers and sellers to meet and complete the transactions. Though these platform providers do some due diligence to select whom to list and also provide rating services, the onus on successful partnership between buyers and sellers is normally not that of the platform provider. Given the low barriers to entry in such a service, there is often stiff competition in these types of platforms.
Third, are aggregator platforms who sell goods and services under their e-brand, who do not have physical counterparts, who act as one-point contact for the customer, and who source their products and services both from recognised sellers/brands as well as from individuals and aggregators who may not have any brand or even physical presence.
However, these platforms are the ones who promise to bring sanity and economic prosperity to the unorganised and informal sector workforce, especially in countries such as India. These platforms enable products and services to be made available which otherwise would not have been noticeable, and provide business opportunities for micro-entrepreneurs.
**Regulation and Policy**
The responsibilities and liabilities of these platforms are still evolving. Hence there is a regulatory arbitrage that the 2SMP firms try to leverage at times\(^{10}\). Most of the transport aggregator firms describe themselves as ‘technology platform companies’ and try to place themselves outside the ambit of regulation. Figure 13.2 illustrates how various competition and regulatory factors affect different types of 2SMP firms.
**Figure 13.2: Effect of Market and Regulatory Factors on Various Categories of 2SMP Firms**
*Directory Services*
*Aggregator Platforms*
*E-Market Places*
**Search costs**
By playing a technology based intermediation role, the 2SMP firms decrease search cost for the users on either side of their platform. In an unorganised market, search costs are often very high. Even in a relatively organised market such as in the US, the taxi sectors suffers from high search costs and Uber through its platform based approach, minimises
the search costs for both cab seekers and drivers to find each other, as pointed out by Rogers (2015).
The platform firms can potentially solve high search cost and the resultant lower supply through effective intermediation. However, the moot question is, during this process, if they bypass extant regulation, what should the policy response be? Should the extant regulation be applicable, which in effect might increase search cost and reduce associated benefits? As given in Figure 2, directory services reduce search costs more than the other forms of 2SMPs.
**Disintermediation**
The 2SMPs provide a way for either side users to connect with each other directly, thus reducing intermediation. In emerging countries, it is well known that intermediaries appropriate huge rents on each transaction between the two sets of users and thus reduce public benefits. Disintermediation also reduces search costs and improves the economic welfare of the two sets of users. The disintermediation is higher for directory services as they provide an easy way for the two sets of users to meet and complete their transactions.
**Regulatory intervention**
As indicated earlier, platforms tend to get commoditised and the winner-take-all nature of 2SMPs might lead to monopolisation or cartels in the market place. Excessive market power can threaten consumer welfare. Hence, regulatory oversight and Significant Market Power assessment is needed to avoid predatory pricing, cartelisation, and abuse of dominant power. In general the competition watchdog should frame rules that are appropriate for the 2SMPs, that is welfare enhance and does not reduce the public benefits of such market forms.
When firms in 2SMP aspire to become monopolies, they might engage in discriminate in either sets of users due to economic, political and personal reasons. There are cases in the U.S. against Uber for exhibiting such discriminatory behaviour\(^{11}\). What should be done against such possible discrimination?
There are also information privacy concerns due to collection of data at granular level by the e-commerce firms. While on one hand the collection and analysis of consumer data improves personalisation of services, it might invade security and privacy of individuals. What is the appropriate regulatory framework for protecting the security and privacy of individuals interacting with 2SMPs while at the same leveraging the power of technology to provide better quality of experience?
As shown in Figure 2, the 2-market places have higher regulatory arbitrage compared to director services due to nature and involvement in associated business activities.
**Liability**
Though firms in this space use the caveat of technology providers to reduce their liability, there are a set of minimum liability and responsibility clauses that the firms need to adhere to. For example, if one gets a spoilt food delivered by a platform provider, who should be liable? – one who delivered it (i.e. platform) or the one who produced it (i.e. the seller).
Today, most 2SMP companies provide reasonable options for returns and refunds in the case of deficient products or poor delivery service, but there are situations where the liability could and should extend beyond just a refund.
This is somewhat similar to the many cases where infringement of copyrighted material makes not only infringer culpable but even the platform that facilitated the infringement to be culpable. The answer to this question is not very obvious. However, use of the tort law to delineate between (i) intentional wrong doing and (ii) careless and negligence in causing loss financially or otherwise to the victims is essential in propounding strict or limited liability to the platform providers.
There is limited literature on the risks and associated remedies of electronic market places. Weber (2014) discusses the moral hazard problems faced by the intermediaries, especially those that provide shared accommodation and shows how all stakeholders benefit from intermediated sharing of goods. As shown in Figure 2, the liability is more with the e-market places. The aggregators also have some limited liability.
The hypothesis is that due to the above forces that shape the economic value of platforms, it can be potentially high for aggregator services compared to other two types of 2SMPs.
**Research questions**
Based on the above, the following research questions can be formulated:
- What are the economic models for 2SMPs for sustainable equilibrium?
- What are the potential economic benefits of 2SMPs?
- What are policy and regulatory dimensions in 2SMPs?
This paper attempts to answer the above questions through a set of five cases in India.
Cases of Two-Sided Market Platforms in India
In this section we analyse five 2SMPs in India, indicating their uniqueness, challenges faced, and the associated economic benefits.
Turning yellow pages: JustDial
Though YellowPage directory services have been in existent in developed countries since 60s, in most of the emerging economies, telephone service was provided by the government or government owned Post Telegraph and Telephones (PTTs) until privatisation was initiated.
In India until 1995, the Government of India was providing telephone services through its Department of Telecommunications (DoT). The DoT used to publish Yellow Page Directory once a year and it was through this that one can get potentially telephone numbers of firms selling a product or service. There was also a government help line which was either non-functional or non-effective most of the times.
However, VSS Mani had this idea of people dialing one number and getting whatever information they needed and hence started ‘Ask Me’ service, way back in 1989. However, the service was a non-starter due to very low penetration of telephones in the country. In 1989, the tele-density in the country was 0.53 per 100 population.
Mobile services were introduced in the country in 1995 by private firms. With exponential growth of mobile phones, a decade later – in 1999, Mani launched JustDial, using telephone as a platform. JustDial’s search service bridged the gap between the users and small businesses by helping users find relevant providers of products and services quickly, while helping businesses to market their offerings.
However, due to the ‘Receiving Party Pays’ scheme that was in existent until 2003, there was little incentive for anyone to list their names in the Directory service (Sridhar, 2012). Coinciding with the liberalisation of Internet Services in 1999, the web site JustDial.com was launched, soon to be shut down in 2001 due to the DotCom burst.
Nevertheless, JustDial was able to ride on the exponential growth of mobile services during the early 2000s along with the ‘Calling Party Pays’ scheme that was implemented by the DoT in 2003. The web site was relaunched in 2007; a decade after the domain name was registered\(^{12}\). The firm went public in 2013 in the country’s stock exchange.
Currently, the mobile Internet searches surpass voice/SMS searches. Finally, the mobile app revolution caught on and Just Dial released its mobile app in 2013, referred to as ‘Search Plus’ that includes listing of
any commercial product or services vendor augmented by the geo-location information.
Apart from search, Search Plus service enables commercial transactions between users and business, such as ordering flowers from local vendors, booking doctor’s appointment, laundry pickups, courier pickups and grocery shopping. For example, average of 400 Doctor’s appointments are booked through Search Plus; JustDial earns 2 per appointment.
About 600-1,200 food orders are placed through the platform and the platform pockets 2-10 percent of the order value as the platform access charge\(^{13}\). JustDial, be in its plan vanilla telephone platform based, Internet or mobile app based in a 2SMP providing director service, with information seekers on one side and commercial firms engaged in providing product/service on the other side.
Table 13.2 illustrates the growth of JustDial and its 2SMP characteristics:
| Table 13.2: Growth and 2SMP Parameters: JustDial |
|--------------------------------------------------|
| **Growth Parameters (as on Mar 2015)** |
| Number of commercial firms listed | About 275,000; mostly unorganized small businesses |
| Number of information seekers | 15mn; addition/update of about 50,000 listings/day |
| Annual searches | ₹1,000mn |
| Revenue | ₹1,562.80mn |
| Net Profit | ₹471.60mn |
| Market capitalisation | More than ₹150bn |
| Invested firms | SAIF Partners, Sequoia Capital, Tiger Global, EGCS and SAP Ventures. |
| **2SMP Parameters** |
|--------------------------------------------------|
| The two sides | Side-1: Information seekers; side-2: commercial firms engaged in products/service |
| The platform features | Intelligent search, multi-channel (telephone, Web, mobile app), rating, direct connect between the two sets of users, sales leads |
| Money side | Commercial listed firms: fee range: average: ₹17,596 to maximum of ₹60,000 for premium |
| Subsidy side | Information seekers |
| Competitors | AskMe, Sulekha, ZatSe, Getit and Google (local business search), Yelp (U.S.); 58.com (China) |
JustDial is a case where a platform has solved the information asymmetry problem between information seekers and small businesses. According to Eisenmann, *et al.* (2016), first mover advantage can be substantial in platform business as long as it is leveraged properly. By being the first mover in this space, and growing its listings relentlessly, JustDial has so far retained its advantage.
As per Eisenman (2006), JustDial used the product envelopment strategy to continuously provide new offerings through its platform ranging from ubiquitous voice/SMS search, web search for Internet savvy users, mobile apps for Smartphone users and combined it lately with associated services. This has kept JustDial ahead of competition.
JustDial addresses the needs of unorganised small businesses, such as local hardware shops, plumbers, mechanics, packers and movers, refrigerator and air-conditioning repair shops, which so far depended on physical footfalls and word-of-mouth recommendations for their business.
There are around 40mn small businesses in India, out of which about 500,000 have online presence. JustDial has enabled many of these small and even smaller businesses to come online through its platform. JustDial provided an opportunity for them to scale up their operations through its platform. This scaling up enhances the required cross side network effects and provides the glue for the information seekers and business to stick to the platform. There is potential for JustDial to scale and this will only benefit the small businesses in India to prosper.
**Labour market revolution: Babajob**
India’s unorganised work force is estimated to be around 400mn. Growth of urban centres in India has drawn a large migrant population from rural and remote parts of the country to cities. These migrant workers who are employed through middlemen do not have enough information about the labour market in their locations. Most get jobs through referrals by their community friends.
Founded in 2007 by ex-Microsoft researcher Sean Blagsvedt in the Silicon Valley of India (i.e. the city of Bangalore) with the objective of providing job opportunities for the largely organized blue collar workforce in urban areas, Babajob has come a long way. With over 1.5mn jobs and 80,000 employers, Babajob.com is India’s largest informal and entry level job portal, that interconnects job seekers (i.e. employees) and job providers (e.g. employers).
Following is a quote from the founder\textsuperscript{14}:
“…I thought – if only we could digitise the job seekers and the jobs – to connect job seekers to better opportunities – we might be able to catalyse the escape from poverty for millions of people. I also looked around and saw that there were no digital tools to connect informal job seeker and employers. Thus Babajob was an idea I fell in love with, an experiment to find a scalable way to connect millions in the informal sector to better jobs…”.
Babajob initially focussed on providing household jobs and the challenge was to attract job seekers to the platform. Started as a web portal that listed job seekers, Babajob introduced call centres for those who do not have access to the Internet. Voice/SMS services were incorporated, considering the good penetration of mobiles.
Partnership with telcos saw the implementation of ‘SMS 55444 to find your dream job’ and such campaigns followed, thus allowing Babajob to scale up to second 100,000 users. Missed call service enabled the job seekers to call a designated number, so that the call centre person could call back thus avoiding any call charges to the job seekers.
Through ties with telecom operators, the SMS subscription service was initiated with revenue sharing arrangements with Telcos. Typical job seekers include housemaids, drivers, plumbers, telecallers, receptionists, security guards, and cashiers. Apart from connecting job seekers with employees, Babajob included background verification schemes to provide authenticity of job seekers. The start-up boom in India has enabled Babajob to scale up its operations, especially for drivers of taxi aggregator companies, and sorters and delivery boys for e-commerce companies.
Babajob provides a platform for blue and grey collar jobs to seek potential employers. Platform addresses this unorganised sector and solves the information asymmetry problem between job seekers and employers in urban areas of the country. It is often very difficult to build awareness of platforms like this in the unorganised labour force.
As per Sean, Babajob went literally door-to-door advertising their services. In unorganised sector, word-of-mouth spreads faster and hence provides the required scaling up. However it is important for socio-tech start-ups like Babajob to appropriately price the money side for the platform to scale up and be sustainable.
Table 13.3: Growth and 2SMP Parameters: Babajob
| Growth Parameters (as on Dec 2014) | |
|-----------------------------------|----------|
| Number of Job seekers listed | 163,000 |
| Number of Job providers listed | 30,000 |
| Cumulative job listings | 550,000; with net monthly addition of 10,000-20,000 |
| Job alerts sent to job seekers | 1.5 Million/month |
| Mobile and web page views | 2.5 Million/month |
| Markets | Large metros of Bangalore, Delhi and Mumbai |
| Invested firms | Grey Ghost Ventures, Khosla Impact Fund, SEEK Ltd. |
| 2SMP Parameters | |
|-----------------------------------|----------|
| The two sides | Side-1: Job seekers; side-2: employees including businesses and households |
| The platform features | Web portal listing of job seekers, Voice/SMS alerts, call centre, background verification |
| Money side | Businesses needing workers |
| Subsidy side | Job seekers; for Voice/SMS alerts job seekers pay charges |
| Competitors | Nanojobs, Merajobs, Jack On Block, Yelp (US); 58.com (China) |
Media on local languages: DailyHunt
Language is an important attribute of a population, and has great relevance and significance in a pluri-lingual and pluri-ethnic land like India. The total number of scheduled languages in India is 22 as per Census India 2001.
There are about 400, 100, 80, 60, and 50mn Indian population that speak Hindi, Tamil, Telugu, Gujarati and Kannada respectively. According to the 2001 Census, 30 languages are spoken by more than a million native speakers. Majority of Indians in non-metros are not comfortable in handling the English language. Unofficial estimates place the number of Indians who can speak English to be not more than 10 percent of the population. Unofficial estimates indicate that 92 percent of newspaper circulation is in local languages and there are over 700 Television channels in local language.
However, none of the major Indian languages figures in the top ten languages that are used in the Internet and hence about 83 percent of the users operate their phones in English, despite their discomfort. These indicate the huge need for making local language content/app to be made
available on the Internet and through mobiles to meet the needs of this under-served market.
News aggregators are services that pull together online content in one place for ease of viewing on mobile devices. The market for news aggregator apps is dominated by Google, with its Google News & Weather for personalised news and weather content, and Google Play Newsstand for personalised curated content and topic-based collections of articles.\(^{15}\) Though there are other news aggregation services, they are all primarily for English content.
Virendra Gupta started DailyHunt (previously called as Newshunt) in 2007 with the objective of providing news in local languages on mobile devices. The Newshunt app brings regional vernacular content (both newspapers and books) from across the country to one platform. With over 36 minute installs, Newshunt is leading the digital vernacular revolution in India today. The platform connects media houses and publishers on one side with the readers on the other side. The general architecture of the DailyHunt platform is given in Figure 13.3.
The platform using its tools converts the publisher content in various languages to generic fonts and distribute to the users via web as well as app.
Apart from newspapers, DailyHunt has curated digital e-books in various languages that can be bought/subscribed by the users for a price. The daily newspapers are available for free to app/web users. DailyHunt claims that its users on the average spend about 184 minutes per month on and claims that it is greater than the monthly average time spent inside Flipboard (86 minutes). In July 2015, DailyHunt bought BuyT, a product discovery and recommendation platform, which would be integrated with NewsHunt for delivering product recommendations to NewsHunt users, and help it improve its mobile advertising based monetisation.
| Table 13.4: Growth and 2SMP Parameters: DailyHunt |
|---------------------------------------------------|
| **Growth Parameters (as on Dec 2014)** |
| Number of publishers/content providers | 100 (25,000 articles sourced daily); 15mn local language e-Books, |
| Number of subscribers (readers) (i.e. number of app installs) | 75mn; 20min active users |
| Monthly page views | 1.5n |
| Regional languages supported | 12 |
| Invested firms | Falcon Edge Capital, Matrix Partners, Sequoia Capital and Omidyar Network |
| **2SMP Parameters** |
|---------------------------------------------------|
| The two sides | Side-1: Content providers, publishers, and regional language writers; side-2: Content readers and subscribers |
| The platform features | Language support in many types of mobile devices, Publisher referrals, advertisement integration, integrated micro payment platform |
| Money side | Subscribers of e-Books; advertisers |
| Subsidy side | Readers of daily news; newspaper providers |
| Competitors | Google News & Weather, Google Play Newstand, Breaking News, BuzzFeed, Flipboard, Nuzzle, Vox Media, Feedly, pulse |
Though China, Korea and Japan continue to produce amazing platforms that cater to the needs of local languages, the phenomenon in India is strikingly different. Unlike the one language platform in these countries, India has to cater to at least 30 language speaking population.
Hence, attaining scale economies in each language is difficult though critical. By a careful monetisation model and the fact that marginal cost of reproducing digital content is almost zero, such news and content aggregation platforms do uplift the knowledge and awareness of citizens thus creating a large consumer surplus.
**Healthcare for everyone: Practo**
The estimated healthcare expenditure in India is about US$150bn with a growth rate of about 12 percent, and constitutes almost 5 percent of the country’s Gross Domestic Product (GDP). However, less than one percent of its GDP is government spending on public health, compared with 3 percent in China and 8.3 percent in the United States. Hence the private hospitals, clinics, diagnostic labs and doctors meet significant portion of public spending in healthcare.
Though large hospitals are relatively organised, smaller clinics, hospitals, and labs do not have an organised appointment booking, patient tracking and monitoring systems in place. Most times, patients have to wait for long hours in clinics resulting in loss of productivity.
Shashank ND & Abhinav Lal, founded Practo, a healthcare start-up in 2008. The platform on one side referred to as Practo Ray, provides automated appointment scheduling, storage of healthcare records, including x-rays, files, prescriptions and billing for clinics, hospitals and diagnostic labs. On the other side, Practo Search provides patients ways to search doctors, clinics and labs and book appointments appropriately. At the time of starting the company, the biggest challenge was to bring doctors online as the penetration of web was low and the smartphone revolution was still nascent in India.
Today, Practo claims to have nearly 200,000 healthcare practitioners, 8,000 hospitals on its platform and over 10mn monthly searches by consumers\(^{16}\). The growth is majorly fuelled by the focus on expansion and getting doctors on the platform. As per Shashank, “We’re now looking to make Practo the Google for any information needed in the space of healthcare. Whether you need a doctor, surgeon, dentist, veterinarian or a diagnostic check-up, we will have it all at Practo”\(^{17}\). Practo has been using the ‘product envelopment’ strategy to continually augment the platform with features organically as well as through acquisitions.
The acquisitions are expected to augment Practo’s platform in the areas of preventive healthcare, enterprise segment, and personalised fitness areas respectively. Currently, Practo operates in 35 cities, most of them having million plus population. The founders are also looking to expand beyond the Indian cities into smaller towns in India as well geographies outside India that has similar needs.
The healthcare services can also be personalized using data analytics, which is one of the future areas of expansion for Practo. Currently, Practo is one of the largest doctor search platforms in Asia and is ranked sixth in the world.
| Table 13.5: Growth and 2SMP Parameters: Practo |
|-----------------------------------------------|
| **Growth Parameters (as on Dec 2014)** |
| Number of Doctors/ hospitals | 200,000 Doctors; 8000 hospitals & clinics |
| Number of | More than 1.5mn |
| Monthly searches by consumers | 10 Million; more than 100,000 patient |
| | appointments per month |
| Invested firms | Sequoia Capital, Matrix Partners |
| **2SMP Parameters** |
| The two sides | Side-1: Doctors, patients, diagnostic labs; |
| | side-2: patients |
| The platform features | Doctor endorsements, patient feedback |
| Money side | Hospitals and labs |
| Subsidy side | Patients |
| Competitors | Qikwell, Librate, HelpingDoc, Ziffi, CrediHealth |
In emerging countries, large population is served by private hospitals and clinics. Without appropriate insurance coverage, the population needs a good referral system for better health care. The problem is more acute in smaller towns and rural areas. The lack of good healthcare centres in these areas force patients to go to large cities for check-ups.
However, due to lack of information and difficulty of booking appointments, the patients commute long distances and wait for their turn to see doctors. Start-ups like Practo solve this problem by providing a platform for patients and doctors to connect so that appropriate and timely appointments are made and adhered to. Digitisation of patient records and automated billing systems help doctors, small clinics and diagnostic labs in terms of timely availability of accurate information about patients.
Taxi Aggregator: Ola Cabs
It is estimated that the radio taxi market in India is US$6-9bn dollars growing at 17-20 percent. However, the organised market forms a very small percentage of this market. It is estimated that the number of taxis in the organised sector will reach 30,000 by 2017\(^{18}\).
In most of the emerging countries, due to lack of adequate public transport, a large unorganized taxi markets exist. Referred to as Radio Taxi Operators, a large number of fleet operators provide (i) airport service and (ii) inter-city service and (ii) intra-city service. These cab services are licensed by the State governments and tariff fixed by the rate card issued by the State transport department.
A native alternate to Uber came up in India in 2010, through Olacabs as an online marketplace for booking cabs and car rentals in India. The founder – Bhavish Aggarwal stated his ambition as “to change how India travels and revolutionise personal transportation in the country”.
In tune with the above, Aggarwal founded Ola Cabs disrupted this highly regulated market, by providing an easy to use platform that connected the cab renters to individual taxi drivers directly. Though Ola started its service about 3 years before Uber entered in to India, the real competition started after Uber’s entry. Started as inter-city point-to-point service, Ola started its inter-city (including to and from airport) service first in Bangalore followed by other large cities in India.
Compared to Uber, Ola customised its services to the Indian market by recruiting mini cabs, and even autos in its market place. After acquiring its competitor Taxi For Sure in 2014, Ola expanded its fleet and started providing services in 15 other cities apart from the large metros.
Using a product envelopment strategy, Ola provided driver details including photographs for identification and security of passengers, and Ola Wallet – its own payment wallet for easy payments. Ola’s market evaluation has crossed US$1bn and has become one of the Unicorn start-ups in India. It is planning to add bus aggregation and a food and grocery delivery services as well. The other initiatives including car pooling and logistics.
Ola’s platform is very simple to use both for the passengers as well cab drivers. The passengers interact with Ola mobile app to book cabs, track, call drivers, pay using wallet, and submit review of drivers. The cab drivers are equipped with a Smartphone given by Ola that provides GPS based tracking, and billing system.
However, on December 24, 2014, an Uber cab driver sexually assaulted a woman in Delhi and was apprehended. Uber’s first claim not to take
full responsibility for the event, drew the wrath of public and governments alike against Uber and such other taxi aggregators. The taxi aggregators hired taxi drivers who held All India Permits for driving taxis.
The initial reaction from the government was that the cab aggregators are responsible for the driver who they hire in to their platform and hence should be liable for any wrong doing on the part of drivers.
From then on, it was not an easy going for Ola as there was a total ban on aggregators who were providing taxi services without the Radio Taxi Operator licence. Its operations were cancelled in many states including in the cities of Bangalore and Delhi since it was operating without the Radio Taxi license in some locations. While Ola and Uber argue that they are technology companies, not taxi operators, and come under the purview of the information technology law, government has not changed its mind.
However, in a landmark judgement on July 15, 2015, the Delhi High Court suggested to the city government to do away with the ban on app-based cab service providers, saying they cannot be blamed for illegal acts of the cab drivers, who were given All India Permits (AIP) by the authorities concerned.
However, the Supreme Court reiterated that “no commercial vehicles shall ply in Delhi unless converted to Single Fuel Mode of CNG (compressed natural gas) with effect from 01.04.2001”, Justice Jayant Nath said in his order\(^{19}\). Hence, Ola cab is trying to convert all diesel/petrol cabs that are on its platform to migrate to CNG to continue its operations in Delhi.
| Table 13.6: Growth and 2SMP Parameters: Ola Cabs |
|--------------------------------------------------|
| **Growth Parameters (as on Dec 2014)** |
| Number of taxis | 2,00,000 (fleet size) |
| Number of cities in operation | 100 |
| Invested firms | Sequoia capital, Steadview Capital, Falcon Edge, DST Global, Matrix Partners, Softbank, Accel Partners, Helion Venture Partners |
| **2SMP Parameters** |
| The two sides | Side-1: taxi drivers; side-2: taxi riders/passengers |
| The platform features | Location based taxi assignment; Passenger endorsements and feedback; automated billing; mobile wallet for payment |
| Money side | Taxi drivers; 15–20 percent of the bill value is paid by drivers to the platform provider as transaction fee |
| Subsidy side | Passengers |
| Competitors | Uber, Meru, Savaari, EasyCabs |
Summary of cases
Figure 13.4 gives a summary of the above five cases and indicates how they fare across different market and regulatory factors.
While social benefits are directory services, such as JustDial are minimum, they are expected to be higher for job portals such as Babajob and literary content providers, such as Dailyhunt. The market efficiency due to lower search costs and more disintermediation is higher for transport aggregators such as Olacabs. Competition effect is higher for directory services.
Concluding Remarks and Policy Implications
As the above cases indicate, the 2SMPs in different areas seem to have generated consumer surplus, mitigated day-to-day problems of common citizens, reduced the information asymmetry problems and hence the appropriation of rents, provided better job opportunities for blue collar workers and those at the bottom of the pyramid.
Though VC funds have played their role in these platforms scaling up, the sustainability depends on the theories and outcomes of 2SMPs, including pricing strategies, stickiness of both sides of users, and the magnitude of cross side network effects.
Apart from the sustainability of these 2SMPs, the firms also have to deal with regulatory and policy dimensions that are still evolving. Countries around the world have been trying to extend the applicability of the extant laws and regulations to this platform economy. While the responsibilities and liabilities of these platforms are still evolving under the extant laws, the platforms cannot take a ‘caveat emptor’ approach of their legal position on their website\(^{20}\). Hence, the need for a balanced approach to dealing with 2SMPs and associated regulation and policies.
We indicate below certain policy guidelines for dealing with 2SMPs.
1. **Significant Market Power Assessment**: Much like in any other sector, Significant Market Power (SMP) assessment shall be done periodically by the regulator or as and when needed to prevent market dominance by one or a few set of players in the specified market space.
2. **Light touch regulation and mandatory compliance**: Since social benefits tend to be higher, the 2SMPs shall be treated with light touch regulation. A subset of existing rules shall be defined as the mandatory rules. The minimum liability and responsibility shall be defined for the mandatory compliance part of the regulation. For example, if taxi cabs need to run only on environmental friendly Liquefied Petroleum Gas (LPG), the rule should be equally applicable to those recruited by the taxi cab aggregator such as Ola Cabs. Regulatory arbitrage should not be extended in this case as the social and public harm due to highly polluting Petrol/Diesel run cabs exceed the benefits due to disintermediation and lower search costs.
3. **Fare regulation**: Though platforms tend to create larger providers, fare regulation should not be extended to 2SMPs. Since the platforms are easily replicable and there is often less barriers to entry, any predatory pricing or additional rent extraction by the incumbents will be thwarted by new entrants.
4. **Market share regulation**: Any horizontal and vertical integration shall not be discouraged by regulation. The platforms tend to attain economies of scale and scope only through integration. Due to increasing returns to scale of such platforms, integration is likely to increase social benefits. Integration also brings about the much
needed organisation to the unorganised sector, thus improving accountability, responsibility and ownership of the market place, thus providing superior benefits to both consumers and producers on the platform as pointed out by Rogers (2015).
5. Regulatory levies: Regulatory levies increase cost of providing platform service which in turn reduces the social benefits. Hence, the regulatory must be careful to avoid levying additional tax on 2SMP providers.
6. Investment regulation: The high potential of these 2SMP firms and their global characteristic have attracted foreign investments. Any restriction on ownership and Foreign Direct Investment (FDI) will affect the much needed capital for the start-ups to scale up their operations.
As has been witnessed in many cases, the incumbents often feel threatened by the 2SMP providers and lobby against them. The regulators and policy makers should be cognizant of the fact that resultant social benefits due to 2SMPs tends to be higher, and hence, not be swayed by the incumbents. Keeping a watch over the market, at the same time nurture the proliferation of the 2SMPs through light-touch regulation is the key for embracing the new technology revolution for larger social benefits.
There have also been criticisms of the 2SMPs. The simplicity of 2SMPs and hence the analytical frameworks that revolve around them were questioned in the context of Internet broadband provisioning by Sridhar & Prasad (2016). As these 2SMPs evolve into multi-sided platforms, the economics and associated regulations have to be restructured. Further, the competition regulation also has to evolve to address the various issues including vertical integration, price discrimination and market contestability.
Endnotes
1 Rochet & Tirole, 2003
2 Weber, 2014
3 Supra note 1
4 Sridhar, 2012
5 Sridhar, 2014
6 Prasad & Sridhar, 2014
7 Economides and Tag (2012)
8 Eisenmann, et al., 2006
9 Sridhar & Srikanth, 2015
10 Rogers, 2015
11 Ibid
12 Mint, 2015
13 Forbes, 2014
14 Yourstory, 2012
15 Kugler, 2015
16 Yourstory, 2015
17 Ibid
18 Yourstory, 2014
19 ET, 2015
20 Supra note 9
References
Compass. (2015). The global start-up eco system ranking 2015. Available at: http://startup-ecosystem.compass.co/ser2015/ accessed on August 21, 2015.
Economides, N., and J. Tag. (2012). ‘Net neutrality on the Internet: A two sided market analysis’, Information Economics and Policy 24(2); 91–104.
Forbes. (2014). Available at: http://cms.justdial.com/press-releases/Forbes-Magazine/Justdial-s-E-Gamble-(Forbes-India/id-977 accessed on August 24, 2015.
Mint (2015). The learnings of JustDial’s VSS Mani. Available at: http://cms.justdial.com/press-releases/Livemint/The-Learnings-of-VSS-Mani-(Livemint)/id-1055 accessed on August 24, 2015.
Economic Times (ET). (12 Aug 2015). Ola’s plea against Delhi government’s ban gets dismissed. Available at: http://tech.economictimes.indiatimes.com/news/mobile/delhi-high-court-dismisses-ola-plea/48447122 accessed on 20 Aug 2015.
Eisenmann, T., Parker, G., and Van Alstyne, M.W. (2006). Strategies for Two-sided Markets. Harvard Business Review.
Kumar, K., & Du, H. (2011). JustDial: Reducing the Digital Divide through an ICT-Enabled Application of Appropriate Technology and Fortune-Seeking Behaviour at the Bottom of the Pyramid. Economic Journal, 84(333), 491-542.
Kugler, L (2015). New news aggregator apps. Communications of the ACM, 58(9), 17-19.
Prasad, R., and Sridhar, V (2014). The Dynamics of Spectrum Management: Legacy, Technology, and Economics. Oxford University Press, ISBN-13: 978-0-19-809978-9; ISBN-10: 0-19-809978-9.
Rochet, J. C., & Tirole, J. (2003). Platform competition in two-sided markets, Journal of the European Economic Association, 990-1029.
Rogers, B. (2015). The social costs of Uber. University of Chicago Law Review Dialogue 85. Available at: https://lawreview.uchicago.edu/page/social-costs-uber accessed on 25 Nov 2015.
Sridhar, V. (2012). Telecom Revolution in India: Technology, Regulation and Policy. New Delhi, India: Oxford University Press, ISBN-13: 978-0-19-807553-0; ISBN-10: 0-19-807553-7.
Sridhar, V. (5 August 2014). Heads it is Flipkart; Tails it is Amazon. Economic Times.
Sridhar, V., Prasad, R. (11 February 2016). It is time to redefine net neutrality. Hindu Business Line.
Sridhar, V., Srikanth, T.K. (13 January 2015). Who is liable in platform business? Financial Express.
Weber, T. A. (2014). Intermediation in a Sharing Economy: Insurance, Moral Hazard, and Rent Extraction. *Journal of Management Information Systems*, 31(3), 35-71.
World Economic Forum (WEF), (2015). The Global Information Technology Report 2015. Available at: http://www3.weforum.org/docs/WEF_Global_IT_Report_2015.pdf accessed on 2-Aug 2015.
Yourstory. (2012). Organizing the Informal Jobs Sector- In Conversation with Sean Blagsvedt, Founder, Babajob Available at: http://yourstory.com/2012/08/organizing-the-informal-jobs-sector-in-conversation-with-sean-blagsvedt-founder-babajob-2/ accessed on 27 Aug 2015.
Yourstory. (2014). Clash of the Titans: Ola vs. TaxiForSure vs. Uber. Available at http://yourstory.com/2014/06/ola-taxiforsure-uber/ accessed on 20 Aug 2015.
Yourstory. (2015). Shashank ND, Co-Founder and CEO of Practo on challenges, funding and evolution of the company and the healthcare industry. Available at: http://www.owler.com/iaApp/article/55d315fbe4b0f0f78ddce941.htm accessed on 29 Aug 2015.
Section IV:
Trade, Regional Integration & Competition Reforms
Infusing competition principles and promoting regulatory reforms to make trade agreements and regional integration impactful in developing countries
Facilitating Equitable Regional Integration through Competition Policy and Regulatory Reforms
Key Priorities for African Developing Countries and LDCs in the Post-2015 Agenda
CLAYTON HAZVINEI VHUMBUNU
Associate Researcher, Southern African Research and Documentation Centre, Harare; Zimbabwe and concurrently a PhD Candidate in International Relations within the School of Social Sciences at the University of KwaZulu-Natal Durban, South Africa
Abstract
Many regional integration arrangements (RIAs) have adopted competition policy and regulatory frameworks to guide competition issues between and among Member States. At the multilateral trading system, the prioritisation of Competition Policy as one of the Singapore Issues at the WTO 1996 Singapore Ministerial Conference was a clear indication of the fundamental role of competition policy in regional integration and international trade. It has been generally accepted, that effective and efficient competitive and regulatory reforms at national and regional levels foster equitable regional integration considering the different levels of socio-economic development that characterise most RIAs in Africa.
Has this been the case in Africa? The grand question emerging in the face of the Post-2015 Agenda is: What are some of the key priorities in African developing countries (DCs) and least developing countries (LDCs) for effective regulation of markets for equitable regional integration and international trade? This paper establishes the critical role of competition
policy and regulatory reforms in facilitating equitable regional integration in Africa. Using a trend analysis of specific successes, challenges and prospects of regional integration in African RIAs; this paper further identifies the key Post-2015 Development Agenda priorities for DCs and LDCs in as far as competition and regulatory reforms are concerned.
The study focusses on regional integration reality cases in African RIAs, such as the Southern African Development Community (SADC), Common Market for Eastern and Southern Africa (COMESA), East African Community (EAC), Economic Community of West African States (ECOWAS), Economic Community for Central African States (ECCAS), among others.
**Introduction**
With the intensification of regional integration and trade liberalisation, the world has been witnessing an exponentially increasing international trade in goods and services in terms of volumes and values. The World Investment Report of 2014 reveals that in the year 2013, foreign direct investment (FDI) flows to developed countries increased by nine percent to US$566bn and to developing countries reached US$778bn.\(^1\)
On the other hand, the total global trade exports value for the year ending 2013 increased by two percent to be US$18.8tn according to the WTO.\(^2\) This signifies intensive competition for within RIAs. However, most RIAs have committed themselves to ensure equitable socio-economic development within and among Member States as part of their vision. Competition policy and regulatory frameworks are instruments and strategies adopted to guide competition issues between and among Member States. At the multilateral trading system, competition policy has been prioritised as one of the ‘Singapore Issues’ at the WTO 1996 Singapore Ministerial Conference.\(^3\)
Member/Partner States in African RIAs are at varying levels of socio-economic development, and in most cases RIAs comprise one or two Member States that are far-much industrially advanced than the rest. This has largely defined FDI inflows and cross-border investment trends within RIAs.
This paper presents a critical assessment of how competition law and regulatory reforms can be adopted and implemented to achieve equitable regional integration amongst Member States in African RIAs specifically addressing the concerns of the poor citizens, producers, small and medium enterprises (SMEs), and state-owned enterprises/parastatals in small
developing countries. It will further recommend how competition and regulatory reforms can be packaged to achieve the sustainable development goals (SDGs) within the framework of Post-2015 Agenda.
**Regional Economic Integration in Africa: Who is Benefiting?**
Since the early 20\textsuperscript{th} century, regional integration schemes have been increasing through the signing of RTAs mostly by countries within the same geographical proximity. To date, RTAs are even extending beyond geography as countries seek to maximise economic, social and political cooperation within defined areas of common interest. The WTO notes that as of April 2015, a total of 612 notification of regional trade agreements (RTAs) had been received [by the GATT/WTO] and of these, 406 were in force.\(^4\)
Regional integration in Africa is now driven more by socio-economic interests of Member States unlike first generation RIAs that were largely motivated by decolonisation and political unity motives. RIAs are meant to facilitate closer cross-border political, economic and social cooperation between and among Member States through progressive trade liberalisation, harmonisation of standards, regulatory frameworks and elimination of barriers to effective cooperation with the end being to foster economic growth and enhance the living standards of the citizens.\(^5\) Thus out of their membership to effectively organised RIAs, it is widely argued that Member States accrue several benefits, viz, trade gains through preferential market access, reduced costs of doing business through regional trade facilitation initiatives, increased investments, regionally instigated domestic reforms, improved collective bargaining power, and returns on enhanced competition.
In economic theory and practice, the level of socio-economic benefits that RIA Member States secure from the preferential market access is largely dependent on various factors. This paper argues that national productive capacities, availability of supporting infrastructure and existence of an effectively implemented regional integration strategy at national levels are three key determinants of how many states derive reasonable gains from their RIA membership. The reality across Africa is that not many African countries can manage to maximise on these key determinants which result in more-efficient economies reaping greater benefits at the expense of less-efficient economies.\(^6\)
This has been the case globally, for instance Germany and France in the European Union (EU), South Africa in the SADC, Kenya in the EAC, Nigeria in ECOWAS, Malaysia and Indonesia in the Association of South-East Asian Nations (ASEAN), and Brazil and Argentina in the Mercado Comun del Sur (MERCOSUR), among others.\(^7\) Such a practical reality is always inevitable given the inherent institutional and structural differences within RIAs in terms of industrial development, hard and soft infrastructure, level of entrepreneurship, national resource and income distribution, economic governance, and among other related variables.
In Africa, this is statistically revealed by the Economic Commission for Africa which reported that in the year 2009, Nigeria and Cote d’Ivoire jointly accounted for 78 percent of intra-ECOWAS exports; South Africa accounted for 64 percent of Intra-SADC exports; Libya, Tunisia and Algeria accounted for 90 percent of intra-regional trade recorded in the Arab Maghreb Union (AMU); Cameroon provided 77 percent of intra-Central African Economic and Monetary Community (CEMAC) exports; the Democratic Republic of Congo (DRC) provided 66 percent of exports within Economic Community of the Great lakes Countries (CEPGAL) whilst Kenya accounted for 79 percent of intra-EAC exports.\(^8\) Such trade domination usually depicts the existence of lopsided industrial, infrastructural and economic development within RIAs which ultimately influence the direction of FDI inflows.
The above trend, therefore, perpetuates inequitable regional integration and damaging regional disparities as liberalisation of the movement of goods, labour and capital across borders works in the economic favour of the ‘big brothers’ within RIAs since they are better capacitated to fully exploit the benefits of preferential regional markets and cross-border investments. As aptly observed by Lanchman, many regional integration attempts have failed because the more advanced economies were the winners of the integration and the weaker ones ‘lost out’.\(^9\)
It is through the use of competition law and policy that small DCs and LDCs within RIAs can develop their capacities to compete regionally and globally in the face of excessive competition whilst also ensuring that domestic industries are guarded from unfair market practices by dominant sector players.
Equitable Regional Development: Why Competition Policy and Regulatory Frameworks Matters?
African RIAs have long envisioned equitable regional integration and development and this commitment is reflected in all their founding treaties. For instance, in one of the recitals in the Preamble of the SADC Treaty, Member States declared “[t]o promote the interdependence and integration of our national economies for the harmonious, balanced and equitable development of the region”.10 Likewise the ECOWAS Treaty accepts “the need for a fair and equitable distribution of the benefits of co-operation among Member States.”11
As discussed and illustrated above, the reality on the ground is that few countries dominate within RIAs in Africa which obviously frustrates efforts to achieve equitable regional integration and development as envisioned. Small DCs and LDCs are struggling to survive stiff competition from firms that are expanding into their territories thanks to liberalised cross-border investment regimes.
The effects of uneven distribution of economic power within RIAs should be ameliorated by the design, formulation and effective implementation of progressive competition laws and policies in RIAs where these are not yet introduced, and the reform of competition laws, policies and regulations where these are already adopted in order to facilitate free and fair market competition so as to protect consumer welfare and further protect other players from uncompetitive conduct of their counterparts. The ASEAN Regional Guidelines on Competition Policy of 2010 defines competition policy as “government policy that promotes or maintains the level of competition in markets, and includes government measures that directly affect the behaviour of enterprises and the structure of industry and markets”.12
Competition policy and regulation seeks to ensure that the process of rivalry by companies to gain sales and make profit is not ridden by anticompetitive behaviour by firms. Regulation complements competition policy and it refers to the ‘diverse set of instruments by which governments set requirements on businesses and citizens’, and the regulations can be economic, social or administrative.13
Through regulation, governments manipulate prices, quality and quantity of goods and services with a view to achieve socio-economic sustainability whilst also protecting other players within a specific sector. It is through competition law and policy and regulation that the evils of ‘unfettered’ competition are lessened.
The increased adoption of competition policy, law and regulations by most DCs at both national and regional level is a clear indication and demonstration of its utility. Most RIAs have formulated regional competition policies and regulations, for instance, SADC has a Declaration on Regional Cooperation in Competition and Consumer Policies (2009), COMESA has the COMESA Competition Commission (CCC) and COMESA Competition Regulations, the EAC enacted the Competition Act in 2006, the Southern African Customs Union (SACU) has the Competition Agreement, the West African Economic and Monetary Union (UEMOA) has a Regional Competition and Anti-dumping Law, and the CEMAC has the CEMAC Joint Competition Regulation adopted in 1999.
As acknowledged by SADC, “[f]air competition among businesses is a cornerstone of free trade and is vital to the economic development of a region, playing an important role in promoting growth, efficiency and the alleviation of poverty”.
Competition policy and law and regulations will thus ensure proper functioning of RIA markets and both less and more developed members of RIAs benefit from their membership. Competition policies assist in the search for equitable regional integration and development, especially considering the fact that small DCs and LDCs are more vulnerable to abuse of market power by firms through engaging in anticompetitive behaviour, such as abuse of monopolies, monopsony, market-distorting subsidies, bid-rigging, collusions, cartels, abuse of dominance or market power, price fixing, anticompetitive mergers and acquisitions, predatory pricing and dumping, and exclusionary practices, among others.
It has been widely argued that the effective implementation of competition policies at national and regional levels within RIAs has the massive potential to reduce the exercise of anticompetitive behaviour and then spur competition which promotes competitiveness and innovativeness; gives incentives to firms to improve their allocative and productive efficiency which reduces market prices of goods and services thereby enhance consumer welfare.
One of the main reasons why small DCs and LDCs are being left behind in regional socio-economic development within RIAs is that the socio-economic disparities within RIA economies is not well-regulated to the extent that small DCs and LDCs are struggling to cope and compete. Due to regional trade liberalisation and reduced barriers to entry, small firms or SMEs would need strategic protection and a level playing field in the face of more efficient regional or cross-border investments.
With reference to the EAC, Mutabigwa argues that competition law in the East African regional body will ‘help protect SMEs from the vagaries and greed of larger companies in the region’ whilst assisting to ‘unlock potential for SMEs to blossom and in the process benefit EAC consumers.’\textsuperscript{16}
Within COMESA, cartels have been reported in the fertiliser, bread and construction industries.\textsuperscript{17} And as noted by the United Nations Conference on Trade and Development (UNCTAD), whilst cartels have adverse effects on all consumers, it is the poor citizens and SMEs who suffer more.\textsuperscript{18} In a recent study by Ivaldi et al (2014) focussing on 38 countries in Africa, Asia, Latin America and Europe; it was confirmed that ‘cartels impact in developing countries can indeed be substantial.’\textsuperscript{19} Cartels are formed when competing firms (producers or manufacturers) tacitly collude and agree to fix prices, market shares and allocate customers with a view to reduce competition and increase profits.
The above is also the case with firms that engage in vertical and horizontal collusions, predatory pricing or abuse of dominance. In most instances, such companies engaging in anticompetitive behaviour are usually created out of FDI inflows in small DCs and LDCs. FDI in RIAs is mostly concentrated in more advanced economies. With time, these companies expand into other RIA Member States through cross-border investments. As observed by Levenstein and Suslow (2004), cartels [and other large firms likely to abuse their market dominance] usually conform industrialised countries and this has ‘simultaneously harmful effects on developing producers.’\textsuperscript{20}
The fatal effects on DCs can even be worse when it comes to hardcore cartels formed by very large competing firms.\textsuperscript{21} This will force SMEs out of the market whilst at the same time making it difficult for new investments to enter the market yet the key objective of RIAs is trade and investment liberalisation. The suffocation of small firms is detrimental to socio-economic development of small DCs and LDCs given that SMEs are ‘necessary engines for achieving national development goals such as economic growth, poverty alleviation, democratisation and economic participation, employment creation, strengthening industrial base and local production structure.’\textsuperscript{22}
When SMEs are driven out of the market due to anticompetitive practices of large firms, the end result is inequitable regional integration and development whereby small DCs and LDCs in RIAs experience stunted industrialisation, slow economic growth and minimal employment creation whilst the more industrialised economies, within the same RIA, progressively experience more socio-economic development.
Across all African RIAs, anticompetitive practices has always been to the advantage of regional giants. The merger case of East African and South African Breweries was argued to have an immediate effect of lessening competition in EAC, with small DCs and LDCs in EAC such as Rwanda, Uganda and Burundi likely to feel the impact more.\textsuperscript{23} Similarly in EAC, concerns have been raised over allegations of anticompetitive behaviour by Safaricom, SABMiller, Kenya Breweries, Tanzania Breweries and MultiChoice Kenya’s DStv brand.\textsuperscript{24}
In SADC, South African-owned companies are dominant throughout the region and beyond. Given their huge capital base, production efficiency and technological advantage, they can easily out-compete small firms within the RIA. Effective competition policy and regulation is key to ensure that these firms compete with domestic firms fairly. For instance, South African Breweries (SABMiller) operates in 15 African countries within SADC, COMESA and ECOWAS, over and above operations in Europe, North America, and Asia Pacific.\textsuperscript{25}
South Africa also has several firms investing in mining, manufacturing, transport, energy, food processing, financial, telecommunications, retailing and tourism sectors within SADC and beyond. By April 2015, Shoprite (a retail joint), had 357 outlets in different African countries, including 115 Shoprite supermarkets, and more than 100 other furniture, home decor, pharmacy and restaurant stores in 14 African countries.\textsuperscript{26}
In EAC, Kenyan firms dominate the region. By 2012, Kenya was reported to be the biggest EAC investor in Rwanda with firms investing in the banking sector (namely Kenya Commercial Bank, Equity Bank, I&M Commercial Bank, and Fina Bank), retail stores, and education.\textsuperscript{27} The case has also been the same in ECOWAS wherein Nigerian firms such as Dangote Cement, Dangote Sugar Refinery, Guaranty Trust Bank Plc, Zenith Bank PLC, and Stanbic IBTC Bank, among others, were singled out as grabbing a huge market share within the regional block.\textsuperscript{28}
Given the companies’ huge capital base, as evidenced by Dangote Cement with a market capitalisation of US$10.5bn, the ramifications of their operations in small countries will be fatal if left unregulated since these big firms take advantage of their strength and maximise on economies of scale which the small domestic players cannot manage.
The significance of competition policy and law in this regard can never be under-estimated if equitable regional integration and development in African RIAs is forever to be attained. Most large firms take advantage of national competition authorities with weak capacity to investigate and prosecute anticompetitive practices coupled with absence of effective regional competition law and policy institutions.
Assessing the Implementation Record of African Regional Competition Instruments
As argued earlier on, developing regional competition laws and policies is crucial in assisting RIAs to adopt a comprehensive regional approach when dealing with anticompetitive behaviour exhibited by foreign companies whilst facilitating regional cooperation on matters of competition whenever RIAs engage or negotiate with others players in the multilateral trading system. This ensures that RIAs accrue the benefits of regulated competition and sustains competitive market interaction within the region. However, RIAs are making varying progress in adopting regional competition regimes and have been experiencing several challenges in the processes.
Some RIAs are yet to establish competition authorities/commissions/bodies to enforce competition laws at the regional level and harmonise Member States’ national competition regimes. The absence of regional regulators definitely perpetuates rampant cross-border anticompetitive practices by firms which heavily affects weaker market players and also encumbers the operation of a fair trade market system within the region. COMESA has already established its Competition Commission. The EAC has made commendable progress, albeit at a slow pace, in establishing its own regional competition authority.
In October 2015, the setting up of the EAC Competition Authority which had been set for July 2015 was reported to be delayed by the Partner States of Burundi, Rwanda and Uganda which were yet to submit their nominees for commissioners to sit in the board.\(^{29}\) This is against a background where the EAC Competition Act was enacted in 2006, but it is almost a decade before the RIA sets up a regional competition body.\(^{30}\) At least the EAC Competition Authority is now scheduled to begin work in the year 2016.\(^{31}\)
Other RIAs such as ECOWAS, SADC and AMU, among others have made progress in adopting competition regulations and declarations but are yet to establish regional competition authorities. This challenge has been compounded by the absence of competition regimes within Member States themselves. For instance, although Tanzania (with Fair Competition Commission for Tanzania) and Kenya (with Monopolies and Prices Commission for Kenya) have the most advanced competition laws and competition authorities within EAC, Burundi and Uganda are yet to enact national competition legislations.\(^{32}\)
Certainly, this does not only slow down the process of adopting competition regimes at regional levels, but also result in implementation complexities and inertia whenever the regional competition laws and policies are finally adopted.
Where regional competition laws and authorities exist, there is very little awareness on their existence and importance by the stakeholders. As argued by Odhiambo, the slow progress in the implementation of EAC Competition Act of 2006 is as a result of this factor.\(^{33}\) The recommendation is that there should be more awareness, training campaigns and sensitisation programmes in RIAs to ensure effective implementation of regional and national competition law and policy and regulations (CLPRs). Trade Mark Southern Africa (TMSA) says “media coverage could help to promote a culture of competition by increasing awareness among consumers and other stakeholders”.\(^{34}\) COMESA is already implementing this strategy. In July 2015, the CCC organised a sensitisation workshop in Livingstone, Zambia for business journalists to raise awareness in the region through media reporting.\(^{35}\)
Competition authorities in RIAs are facing the challenges of conflict of jurisdictions. Whilst national competition laws principally apply to transactions that affects one Member State, and regional CLPRs apply to transactions that have a regional impact or cross-border dimension; there have been challenges of uncertainty in cases that some transactions found themselves being referred to either of the two. For instance, the CCC even acknowledges that in some instances “Member State(s) requests for a referral of the transaction to be assessed that Member State’s national law as provided for under the Regulations.”\(^{36}\)
In any case, the reality is that given the global nature of business in contemporary times, it is now difficult to find business transactions whose impact can be exclusively confined within national borders whilst even business transactions that are considered to have a regional dimension also have a national perspective.
In the case of EAC, TMSA observes that there are “legislative conflicts between national and EAC competition regimes leading to disharmony and enforcement hurdles”.\(^{37}\) Moreover, some regional competition laws are defective and laden with legal loopholes. For instance, some regional completion legislations contain provisions that do not have regulations to that effect. This is the case with EAC Competition Act of 2006 which has provisions on subsidies but does not have regulations to this area.\(^{38}\) This, therefore, calls for amendments to regional competition laws to ensure that they are aligned.
However, such a process should be initiated first at the national level where in most of the countries’ cooperation between competition authorities and sector regulators is blurred and conflictual. It is the urgent address of such institutional challenges which is key in search of regional harmony. Horizontal collaboration (between and among RIA competition authorities), and vertical collaboration (between RIA competition authorities and national competition authorities at national level) can prove helpful in this regard. This is key for information exchange, joint investigations, capacity building and sharing of best practices.
For instance, CCC signed a Memorandum of Understanding (MoU) with the Competition and Fair Trade Commission (CFTC) of Malawi on September 04, 2015 which seeks to facilitate and promote the harmonisation of competition laws of the CCC and CFTC as well as foster cooperation in capacity building programmes, exchange of information on investigation and consultations.\(^{39}\)
Overlapping membership to RIAs poses a challenge in the smooth implementation and enforcement of regional competition laws and regulations as it may create inter-RIA conflicts of jurisdictional nature. With the African regional integration spaghetti bowl reality, wherein countries such as the Democratic Republic of Congo (DRC) belonging to several RIAs, namely COMESA, SADC and ECCAS, the policy conflict dilemma is an inevitable implication. Likewise, when it comes to the domestication and implementation of competition policy regimes, complications arise.
Initiatives such as the COMESA-EAC-SADC Tripartite Free Trade Area (TFTA), and the African Continental Free Trade Area (CFTA) both launched in June 2015, are recommended. The TFTA has worked on the establishment of a harmonised Joint Competition Authority which will assist in curing effects of the regional jurisdictional overlap and conflict in competition rules within overlapping RIAs. It is refreshing to note that the TFTA Joint Competition Authority on Air Transport is now in place.
The mere fact that RIA member states are at different levels of economic development is an impediment to the effective implementation of competition laws. This has been the case in RIAs in developing countries within which there are apparent economic development disparities. Using the case of EAC, TMSA argues that this scenario results in ‘a quest for protectionism by the governments of some of the EAC member states’. This is made worse by the fact that transaction fees remain very high. Smaller economies, which are usually dominated by relatively smaller firms, are severely affected than their more economically advanced counterparts.
For instance, in COMESA, merger notification filing fees cap is pegged at US$200,000, itself a reduction from the US$500,000 set until 2014. This affects business operators.
There are also challenges related to the independent status of competition authorities at regional and national level. Since most competition authorities are hardly independent from the state, as they are politically and administratively subordinated to the government; they are easily manipulated to protect the interests of a political elite and small/powerful minority business players. Moreover, they get their budgets come from the state. This is the case with almost all national competition authorities in SADC member states. As a result, there is a tendency that anticompetitive behaviour by government bodies or parastatals are rarely investigated in an impartial manner. This distorts the regional market in RIAs.
**Key Priorities for Africa in the Post-2015 Agenda**
Regional integration, as stated above, ultimately aims at enhancing the equitable and sustainable socio-economic development of Member States. The United Nations Development Programme (UNDP) notes that regional integration ‘holds considerable promise for supporting inclusive growth and accelerating and sustaining human development outcomes’ and further points out that ‘human development considerations’ should be incorporated from the onset in order to achieve results.\(^{40}\)
With the intensification of cross-border investments and trade in goods and services within RIAs, it is critical for African countries to focus on collectively pursuing the SDGs through ensuring that their competition law and policy and regulatory frameworks address the issue of equity and inclusivity in development.
In pursuit of the SDG number 10 which aims to ‘reduce inequality within and among countries’, African countries have the obligation to reform their national and regional competition law and policy and regulations such that they promote industrial competitiveness, eliminate anticompetitive behaviour and promote fair competition, enhance productive efficiencies, promote the growth and expansion of SMEs through technology transfer and progressive partnerships which ultimately promote sustainable and inclusive growth across all African RIAs.
Thus, in the Post-2015 Development Agenda, the key priorities for DCs and LDCs in African RIAs should be to fully develop and adopt regional competition law and policies; align national CLPRs with regional
competition law and competition policies; develop effective regional implementation mechanisms to ensure compliance.
Whilst most RIAs such as COMESA, EAC, SADC, SACU, UEMOA, CEMAC, ECOWAS, among others, have made noticeable strides in developing competition law and policy and regulatory frameworks, the success of these regional competition policies is dependent on the existence of effective institutional and legal enforcement mechanisms. It is through an effectively implemented regional competition policy framework that the differences in terms of industrial development and the apparent economic disparities existing within African RIAs are not worsened.
DCs and LDCs, through their collective efforts within RIAs, should prioritise addressing the above-explained challenges and ensure effective regional competition policy implementation, it is imperative that the competition law is well-designed and the institutional framework to administer the competition law and policy is capacitated enough to carry-out its functions in terms of human, technical and financial resources as well as conferred with the necessary powers to execute its functions. Capacity building of both regional and national competition authorities is critical.
Regional competition laws should be structured with clear guidelines on how national and regional competition authorities interface in a complementary and harmonious manner so as to avoid conflicts over the scope of their respective jurisdictional enforcement powers. The extent of application of the principle of subsidiarity in RIAs should be considered.
RIAs in DCs and LDCs also need to prioritise the harmonisation and amendment of both national and regional competition laws so that they are aligned to each other. Further, competition law enforcement can only be strengthened by introducing a stronger and more effective RIA community law system that allows for more powerful regional court system. For instance, COMESA has the COMESA Court of Justice (CCJ) for the re-dress of competition law and empowers COMESA citizens to take even their governments to the CCJ for competition law-related cases. Complementary initiatives will also be helpful to strengthen the implementation of regional competition laws and policy in RIAs.
For instance, COMESA established a ‘One-Stop Shop’ so that ‘all transactions with an appreciable effect on trade between Member States are filed with the CCC instead of having these filed with individual Member States’. The ‘One-Stop Shop’ concept ensures regional fluency in dealing with competition issues within RIAs.
With properly regulated markets and fair competition, the African regional integration process will be more even and equitable thereby ensuring inclusivity and sustainability in regional development. It is inevitable that small DCs and LDCs, and the more advanced members of African RIAs usually have divergent economic interests as the former are more inclined to be over-regulative and protective of their markets and domestic industry, whilst the latter exhibit tendencies of being over-protective of RIA markets and at the same time pressure less economically advanced RIA member states to liberalise markets through de-regulation and relaxation of competition constraints. Political will and commitment from both sides is needed in order to strike ‘win-win’ outcomes.
**Conclusion**
African RIAs have intensified regional trade and cross-border investments through progressive trade liberalisation. More advanced economies within RIAs have taken advantage of trade openness to venture into regional markets thereby establishing market dominance leveraging on scale economies. There is a propensity to engage in anticompetitive business practices by larger firms investing from more advanced economies through forming cartels, price fixing, bid-rigging, collusions, abuse of dominance or market power, anticompetitive mergers and acquisitions, predatory pricing, among other practices. Such practices perpetuate inequitable development amongst RIA members.
African countries should address the legal, policy, structural and operational challenges that they are facing at national and RIA level with regard to the implementation of competition laws and policies so as to ensure equitable regional integration. Only reformed and capacitated competition law and policies can assist in restoring fair competition within RIAs. The full adoption of regional competition law and policies, together with the establishment of effective enforcement mechanisms is considered key in pursuit of the post-2015 Development Agenda, specifically the achievement of SDG number 10 which aims ‘to reduce inequality within and among countries’.
Endnotes
1 World Trade Organization (2014). *International Trade Statistics 2014*. Geneva. pp. vii. Available at: http://www.wto.org/english/res_e/statist/e_its2014_epdf [Accessed on 28 July 2015].
2 World Trade Organization (2014). *World Trade Report for 2014*. pp. 18. Available at: http://www.wto.org/english/res_e/booksp_e/wtr14-1_e.pdf [Accessed on 02 August 2015].
3 The ‘Singapore Issues’ refer to four issues – trade and investment, trade and competition policy, transparency in government procurement and trade facilitation – introduced to the WTO agenda at the December 1996 Ministerial Conference in Singapore. Due to lack of consensus, the Member States’ agreement in 2004 was to continue with negotiations in trade facilitation only.
4 World Trade Organization (2014). *Regional Trade Agreements*. Available at: http://www.wto.org/english/tratop_e/region_e.htm [Accessed on 03 August 2015].
5 *Regional Integration and Human Development: A Pathway for Africa*. United Nations Development Programme (UNDP), Bureau for Development Policy. April 2011. USA: New York. pp. 9.
6 Tsikata, Y., and de Melo, J. (2014). *Regional Integration in Africa: Challenges and Prospects*. United Nations University (UNU WIDER). WIDER Working Paper 2014/037. World Institute for Development Economics Research. February 2014. pp. 10-11. Available at: http://www.imvf.org/ficheiros/file/wp2014-037_1.pdf. [Accessed on 28 July 2015].
7 *Regional Integration: Challenges of Regional Integration for Poverty Reduction*. High Level Dialogue Report. Sandton Convention Centre, Johannesburg; South Africa. 03 November 2011.
8 United Nations Economic Commission for Africa (2010). *Assessing Regional Integration in Africa IV: Enhancing Intra-African Trade*. Addis Ababa, Ethiopia. pp. 78.
9 Lachman, W. (1999). *The Development Dimension of Competition Law and Policy*. United Nations Conference on Trade and Development Series on Issues in Competition Law and Policy. UNCTAD. New York and Geneva. pp. v.
10 Preamble of the *SADC Treaty*. Signed and Adopted on 17 August 1994. pp. 3.
11 Preamble of the *Revised Treaty of the Economic Community for West African States (ECOWAS)*, pp 2. Available at: http://www.ecowas.int/wp-content/uploads/2015/01/Revised-treaty.pdf [Accessed on 04 August 2015].
12 Osborne, C. (2015). *The Future of Competition Law and Policy in the Association of South-East Asian Nations Countries: Issues and Challenges*. April 2015. Singapore. pp. 3.
13 Organization for Economic Cooperation and Development (1997). *The OECD Report on Regulatory Reform: Synthesis Report*. 03 September 1997. pp. 6. Available at: http://www.oecd.org/gov/regulatory-policy/2391768.pdf [Accessed on 30 July 2015].
14 SADC (2015). *Competition Policy*. Southern African Development Community. Available at: http://www.sadc.int/themes/economic-development/trade/competition-policy/. [Accessed on 16 November 2015].
15 Godfrey, N. (2008). *Why is Competition Important for Growth and Poverty Reduction?* Organization for Economic Cooperation and Development (OECD) Investment Division. Department of International Development; London. pp. 4.; see also Fels, A. (1995), *International Perspective Competition Policy Asia Pacific Region Regional Economic Development Policy to Planning to Investment Opportunities in Vietnam Hanoi.* 11–13 December 1995. pp. 2.; and see also *Competition, Competitiveness and Development: Lessons from Developing Countries.* UNCTAD, Geneva. UNCTAD/DITC/CLP/2004/1. Geneva. pp. 1. Available at: http://unctad.org/en/Docs/ditcclp20041ch0_en.pdf. [Accessed on 12 August 2015].
16 Mutabingwa Alloys (2010). *Should EAC Regulate Competition?* Available at http://www.eac.int/news/index.php?option=com_docman&task=doc_view&gid=153&Itemid=78. [Accessed on 14 November 2015].
17 Makichi, T. (2015). *COMESA Tackles unfair business practices.* The Herald, 21 July 2015. Available at: http://www.herald.co.zw/comesa-tackles-unfair-business-practices/. [Accessed on 28 July 2015].
18 United Nations Conference on Trade and Development (2013). *The Impact of cartels on the poor.* UNCTAD Inter-Governmental Group of Experts on Competition Law and Policy. Geneva, 8–12 July 2013. pp. 1. Available at: http://unctad.org/meetings/en/SessionalDocuments/cicldp24rev1_en.pdf. [Accessed on 03 August 2015].
19 Ivaldi, M., Khimich, A. and Frederic Jenny (2014). *Measuring the Economic Effects of Cartels in Developing Countries.* Centre for Economic Policy Research (CEPR) – Private Enterprise Development in Low-Income Countries (PEDL), 05 December 2014. pp. 5. Available at: http://unctad.org/en/PublicationsLibrary/ditclpmisc2014d2_en.pdf. [Accessed on 09 August 2015].
20 Levenstein, M. and Valerie Y. Suslow (2004). Contemporary International Cartels and Developing Countries: Economic Effects and Implications for Competition Policy. Anti-Trust Law Journal. Vol. 71., No. 3. Pp. 801–852.
21 United Nations Conference on Trade and Development (2011). *Review of the Experience gained so far in enforcement cooperation, including the Regional Level.* Inter-Governmental Group of Experts on Competition Law and Policy. Eleventh Session, Geneva. July 2011. pp. 12. Available at: http://unctad.org/en/Docs/cicldp10_en.pdf. [Accessed on 02 August 2015].
22 Quarterly, P. (2001). *Regulation, Competition and Small and Medium Enterprises in Developing Countries.* Centre on Regulation and Competition, Institute for Development Policy and Management; University of Manchester, Working Paper Series. Paper No. 10. pp. 7. Available at: http://www.businessenvironment.org/dyn/be/docs/59/wp10.pdf. [Accessed on 27 July 2015].
23 *Should EAC Regulate Competition?* Available at: http://www.eac.int/news/index.php?option=com_docman&task=doc_view&gid=153&Itemid=78. [Accessed on 31 July 2015].
24 Olingo, A. (2015). *EA Consumers victims of Monopolies and Cartels.* Business Daily, 07 February 2015. Available at: http://www.businessdailyafrica.com/Corporate-News/EA-consumers-victims-of-monopolies-and-cartels/-/539550/2616410/-/jgeynu3/-/index.html. [Accessed on 27 July 2015].
25 Annual Report for SABMiller Plc. 2014, pp. 3. Available at: http://www.sabmiller.com/docs/default-source/investor-documents/reports/2014/financial-reports/annual-report-2014.pdf?sfvrsn=10. [Accessed on 10 August 2015]. Report 2014
26 SA businesses in Africa could feel ‘beat’ of xenophobic attacks. Mail and Guardian, 20 April 2015. Available at: http://mg.co.za/article/2015-04-20-sa-businesses-could-feel-the-heat-of-xenophobic-attacks. [Accessed on 29 July 2015].
27 Namata, B. (2012). Kenya biggest EAC investor in Rwanda. The East African, 28 July 2012. Available at: http://www.theeastafriican.co.ke/news/Kenya-biggest-EAC-investor-in-Rwanda—/-/2558/1465396/-/lss2auzl/-/index.html. [Accessed on 02 August 2015].
28 Africa’s Top 250 Companies. West Africa African Business Magazine, 13 June 2014. Available at: http://africanbusinessmagazine.com/company-profile/ecobank/africas-top-250-companies-west-africa/#sthash.8jFEpGWr.dpuf. [Accessed on 03 August 2015].
29 East Africa: States delay East Africa Competition Body. The East African, 17 October 2015. Available at http://allafrica.com/stories/201510191367.html [Accessed on 17 November 2015].
30 The East African, Ibid; See also Trade Mark East Africa (2015), Why EAC Competition Law is key in efforts to spur growth. 3 November 2015. Available at https://www.trademarkea.com/news/why-eac-competition-law-is-key-in-efforts-to-spur-growth/. [Accessed on 10 November 2015].
31 TMSA, Ibid
32 The East African, Ibid
33 Manishatse, Lorraine Josiane (2013). EAC Competition Policy: adopted but not implemented in Burundi. Iwacu News, 10 September 2013. Available at http://www.iwacu-burundi.org/blogs/english/eac-competition-policy-adopted-but-not-implemented-in-burundi/. [Accessed on 11 November 2015]
34 TMSA, Ibid
35 Makichi, Tinashe (2015), COMESA introduces new rules on mergers. The Herald Newspaper. July 20, 2015. Available at: http://www.herald.co.zw/comesa-introduces-new-rules-on-mergers/. [Accessed on 11 November 2015].
36 COMEMSA (2015). COMESA Competition Commission and National Competition Authorities. Available at http://www.comesacompetition.org/?page_id=269. [Accessed on 15 November 2015].
37 Trade Mark East Africa (2015). Why EAC Competition Law is key in efforts to spur growth. 3 November 2015. Available at https://www.trademarkea.com/news/why-eac-competition-law-is-key-in-efforts-to-spur-growth/. [Accessed on 10 November 2015].
38 The East African, ibid
39 COMEMSA (2015). The COMESA Competition Commission signs Memorandum of Understanding with the Competition and Fair Trade Commission of Malawi. Available at www.comesacompetition.org/?p=1020 [Accessed on 11 November 2015].
40 United Nations Development Programme (2011). Regional Integration and Human Development: A Pathway for Africa. New York: USA. April 2011. pp. 5; pp. 7.
Abstract
The purpose of this paper is to broaden the current discourse on regional trade agreements (RTAs), market integration, and the competition rules and obligations within RTAs. The paper describes some of the major issues, practical lessons and ‘best practices’ on how competition policy and law and related regulatory reform obligations within RTAs that have developing economy and other lower income member states, can promote regional integration, more inclusive economic growth, improved livelihoods, and sustainable development across member states. The paper draws on the experience, successes, and challenges from incorporating competition policy and law and related regulatory reform obligations within many RTAs over the past 30 years. Because of the Conference’s location in Nairobi Kenya and the author’s recent consulting experience and research, special attention is given to the efforts of COMESA, SADC and other African regional trade agreements to promote competition and
related regulatory reforms in their regions and member states, which in some cases have overlapping memberships.
The paper has two main arguments. The first argument is that competition and related regulatory reform initiatives and obligations can strengthen economic growth and regional market integration within RTA regions that have developing economy members; and can also promote stronger competition regimes, including improved compliance with and enforcement of competition and related policies, laws and regulations within and between the region’s member states. The second argument is that developing economies have available to them a variety of regional competition models, which offer their own distinct benefits, opportunities and challenges. Two arguments and major issues are assessed in this paper through employing a more comprehensive and hopefully innovative methodology, which incorporates to some degree the insights from behavioral economics, neuroscience and other less conventional literatures.
**Introduction and Background**
Developing economies presently have available to them a rich literature and practical real-world experience on incorporating competition rules and related regulatory reform obligations into their regional trade agreements. This paper will largely focus on competition rules and obligations within RTAs, but many of these issues are also relevant to related regulatory reform commitments. The major findings in this paper are based on an extensive review of the RTA literature of the past quarter century and the author’s personal experience over the same period in government and the private sector, including:
- Conducting in 2011 an EU project to assist the SADC Secretariat and the region’s 15 MS to enhance the design and effectiveness of competition, consumer and related policies, laws, regulations and SADC’s information sharing and enforcement cooperation initiatives and platforms.
- Canadian representative and active contributor to OECD and related Canadian work in the first half of the 1990s on competition policy and law convergence and enforcement cooperation, the competition law challenges faced by transition and developing economies, and the interactions between trade and competition policies.
• Consulting work on urban and regional development and infrastructure planning in China and other Asian developing economies over a 15 year period, which focussed on regulatory reform and the introduction of competition in previously regulated infrastructure and other sectors.
• PhD research programme and dissertation from 2003 to 2008 on competition policy, law and institutions and regulatory reform in developing economies, the evolution of competition policy and law in India from 1965 to 2008, and the implications for India’s traditional business groups, other businesses and its new competition law.
• Personal research, published articles, conference presentations, and consulting assignments for the Government of Canada on competition and consumer policy and law, and regulatory reform, modernisation and impact analysis – including the consumer benefits, costs and risks and related competition, supply-chain and business impacts from domestic regulatory reform, and enhanced regulatory alignment and cooperation between Canada and the United States under the Regulatory Cooperation Council agreement of 2011.
Section two of this paper describes the potential regional and competition benefits from incorporating competition rules and obligations in RTAs. Section three summarises some of the lessons on MS differences to be accommodated, and the RTA approaches that can be problematic for competition and market integration. Section four lists some of the major questions to be addressed when determining the preferred RTA competition model, and the final section returns to the two major arguments presented in the Abstract and provides suggestion on future ex-post research. Appendix A provides an overview of competition policy and law obligations and progress in selected regional trade agreements.
**Potential Regional and Competition Benefits from Incorporating Competition Obligations in RTAs**
**Benefits to Regional Trade Agreements**
Much of the trade and competition literature on competition and related barriers to trade has focused on the benefits to RTAs and their member states from incorporating competition policies, rules, institutions
and obligations within the RTA framework. These include the ability of regional competition laws, rules and agreements to address and remedy:
- government and private barriers to business entry, establishment and growth and related anticompetitive conduct and arrangements and barriers to market access within national borders, which cannot be reduced by lower tariffs and quotas and other trade policies and instruments;
- cross-border anti-competitive practices of private and public enterprises that harm two or more MS, act as trade barriers, and could not be remedied by trade policies;
- potential negative interactions between competition and trade liberalisation when more open MS and regional markets can lead to the ‘importation’ of cartels, abuse of dominance, and other anticompetitive business practices from other members and from businesses and governments outside the region; and,
- the anti-competitive effects of trade remedy laws, through employing competition rules rather than anti-dumping, subsidy and countervail, safeguards and other trade policy instruments.
**Benefits to Competition Authorities and Regimes**
Less attention in this literature has been given to how embedding competition rules either formally or informally within RTAs can provide important benefits to the competition policies, laws, and authorities of members. The RTA and its major objectives, provisions and obligations on trade, investment, technology, industrial policy, and related regulatory reform and marketplace issues can inform and guide member state’s competition laws, policies, and institutions, and can ‘frame’ domestic discourse on competition policy and law in a more positive manner that:
1. Promotes and accelerates the introduction of new and better national competition policies, laws, and authorities – that are more likely to survive new governments that have different views about the importance of fair competition to socio-economic development and prosperity.
And that, through positive encouragement, technical assistance, and the threat of ‘naming and shaming’, accelerates the introduction of modern competition laws and authorities by the MS sceptics and laggards that otherwise might delay the introduction of modern competition laws and authorities for years and even decades.
Expands the visibility, credibility, legitimacy, independence and effectiveness of the competition authorities and regimes in each MS through:
- promoting formal and informal convergence, alignment and cooperation between members
- strengthening the competition compliance cultures within MS
- reinforcing and disciplining concurrent competition and related regimes such as sectoral regulators, fair trading laws, and foreign investment rules
- increasing the potential for competition rules to take precedence when there are conflicts with sector specific and other regulations, and with trade, industrial, innovation, intellectual property, and other policies
- reducing political, bureaucratic and vested interest influences on competition law enforcement – including from powerful and entrenched business groups and conglomerates and
- more readily identifying the competition regime ‘slackers’ that are not meeting their RTA obligations through failing to establish a modern competition regime, or through weak, incorrect, and/or politically influenced enforcement of their existing national competition rules.
The trade and competition literature, combined with recent advances in the behavioral, neuroscience, institutional and related literatures, indicate that MS and regional efforts to better align policies, laws, regulations, analytical methods, and compliance, enforcement and education functions – and increase information sharing and enforcement cooperation between national authorities – can reduce the administration and compliance costs, irritants, frustrations, as well as the excuses and rationalisations to not comply, of companies, industries and other regulated entities.
As a consequence of these and other institutional, behavioural and social mechanisms, enhanced alignment and the establishment of cooperation platforms promote competition rules compliance and performance through improving relationships between the authorities and the regulated population, and making compliance easier, less costly, more automatic, and the ‘default option’ for companies and other regulated entities.
2. Allows member state authorities within RTAs, with regional competition authorities that have case enforcement responsibilities
and capabilities, to transfer more economically complex and politically sensitive and divisive merger, cartel, abuse of dominance and other enforcement cases to the regional authority.
Thereby helping to preserve the effectiveness and credibility of competition policy and law throughout the region. Moreover, member states can apply the RTA rules domestically until national competition laws and rules are in place.
3. Provides regional technical assistance, expertise and support that make it easier for member states to establish new or more modern competition laws and authorities. The experience of South African Development Community (SADC) and other RTAs indicate that support and assistance from the competition law MS leaders and the regional authorities in both more formal and informal RTA regimes can be especially helpful to the establishment of functioning competition laws and authorities in smaller member states. Evidence on the importance of regional assistance and support has been provided by both more formal and informal RTA models, but as noted in point three above can be, especially important for RTA competition regimes with regional authorities that have enforcement responsibilities and capabilities.
Furthermore, being a member of an RTA strengthens the arguments for smaller and less developed economies to establish their own competition policies and laws because of the risk of ‘importing’ cartels and other anticompetitive conduct, arrangements and harms when trade, investment and other barriers are reduced under the regional trade agreement (see above).
4. Broadens political, bureaucratic, business, consumer, public and voter interest, understanding and support for competition policies, laws and authorities.
Through clearly establishing the linkages and causal relationships between RTA and MS competition rules and obligations, and the RTA’s broader trade, economic development, industrial policy, inclusive growth, equity, sustainable development, and other economic and social objectives that are more understandable to many stakeholders and the general public.
Great support would be expected to expand through time by means of the growth in trade, investment and technology flows between MS, and a growing regional business community and other stakeholders that are benefitting from the RTA and its competition
rules. Making these linkages and causal relationships clearer can, especially build support for competition policy and law among the key ministries responsible for finance, international trade and investment, and industrial, innovation and economic development.
5. Facilitates the more rapid establishment and more effective deployment of bilateral and multilateral information sharing, positive and negative comity, and enforcement cooperation agreements and platforms between members and with countries outside the RTA.
6. Encourages the application of more dynamic and forward looking analytical frameworks for mergers, Abuse of Dominance (AOD) and other rule of reason cases – through taking account of the RTA’s current and future progress and achievements, and the remaining constraints to regional market integration that can be addressed through competition advocacy and compliance promotion programmes.
7. Reduces the number and complexity of enforcement cases of in particular under-resourced and less experienced Member State Competition Authorities (MSCAs) – through regional integration, more open borders, lower trade and entry barriers, and regional information sharing and case enforcement cooperation involving more experienced competition authorities (CAs).
8. Brings regional presence and bargaining leverage to competition matters and enforcement cases that involve large international corporations; and sends a strong message to regional and external businesses that there is “no place to hide” when they attempt to establish cartels and other anticompetitive arrangements within the region.
9. Provides opportunities for developing economy and other MS to more efficiently and effectively participate in and benefit from global competition policy and law and related policy networks – Industry Capability Network (ICN), Organisation for Economic Cooperation and Development (OECD), United Nations Conference on Trade and Development (UNCTAD), World Trade Organisation (WTO) etc. and the regional networks now emerging in Africa, Asia and Latin America.
And therefore allows developing economy member state (MS) to compete on a more equal footing in the ‘market for competition policy and law ideas’ that is now dominated by the United States and the European Union.
10. Can generate positive externality, feedback and demonstration effects within other regulatory regimes of the RTA and its member states – when regional competition successes encourage the establishment of regional cooperation platforms in other policy and regulatory areas.
11. Potentially can provide competition, consumer and/or trade benefits to neighbouring and other non-members, which can help to offset any actual and perceived trade distortion and diversion effects of the Regional Trade Agreements (RTA).
Through these and other positive outcomes, incorporating competition policies, laws, and rules within RTAs can increase stakeholder interest in, understanding of, and support for the regional and MS competition regimes, and pressures for competition regime improvements – which go beyond the traditional competition policy and law community.
Future ex-post research should focus on the dynamic, interactive, cumulative, lock-in, feedback and related path dependent effects between the support that competition policies, laws, rules and institutions receive from being incorporated within RTAs, and the broader benefits that RTAs receive from these competition rules and obligations (see section 5.0 below).
**Contributions from More and Less Formal RTA Models**
The literature and authors’ experience suggest that these RTA benefits from ‘embedded’ competition obligations can be generated by either EU type formal models or more informal, ‘best efforts’ models of North America Free Trade Agreement (NAFTA), South African Development Community (SADC) and Association of South East Asian Nations (ASEAN). Future ex-post research should explore whether and the extent to which, for some RTAs, the more informal models with lower negotiation and implementation costs could generate net benefits that are comparable to or greater than the EU type models.
For example, the number of SADC MS with functioning competition laws has expanded from three in 2004 to eleven in 2015; ASEAN and
APEC have been making similar progress in recent years; and Mexico reportedly accelerated the introduction of its modern competition regime when this became a NAFTA obligation. Informal commitments, moral obligations, aspirational objectives, policy entrepreneurs within member states, and ‘modernisation’ to keep up with the competition Joneses”, can be major drivers of change in some national and regional settings.
Moreover, the behavioral, psychological, neuro-economics, institutional and other less conventional literatures illustrate that, under some circumstances, MS incentives and motivations to comply with informal and best efforts commitments can be equal to and even greater than more formal regimes that employ binding commitments. Furthermore, MSCAs under these regimes can be just as willing to impose monetary, reputational/naming and shaming, social and other penalties on non-complying and uncooperative members.
**Problems and Challenges Associated With RTA Competition Obligations**
**MS Differences to be Accommodated**
Many articles on RTA competition rules that involve developing economies have focused on the constraints, mistakes, and alleged failures of regional rules and authorities. This author prefers a more positive ‘glass-is-half-full’ approach, in order to identify progress, lessons, best practices, and challenges that can be addressed and remedied through time. The RTA competition literature indicates a number of conditions that can raise challenges but do not prevent formal and informal regional competition rules from generating benefits for the RTA region and its member states and stakeholders. Reasonable benefits can occur even when:
- Members are not at the same or similar levels of economic, social, political, and institutional development; and MS competition regimes are not at the same or similar levels of development and experience.
- Not all MS have modern competition laws, rules and authorities from the outset – although this should be the long-term goal except for the smallest “microstates” in e.g. CARICOM and other RTAs (see Appendix A).
- Full agreement and consensus have not yet been achieved on more general competition policy and law principles, standards, coverage
and interventions, such as using competition rules to discipline government subsidies, procurement practices, and state-owned enterprises, and to replace antidumping, countervail, safeguards and other trade remedy laws. At the same time, the EU model and Closer Economic Relations (CER) agreement clearly indicate that replacing anti-dumping with competition rules is feasible and beneficial given the required political will and some commonality in the relevant competition rules and their enforcement across member states.
- As long as there is some common ground on core principles, objectives, the anticompetitive conduct to be addressed, and analytical methods, some diversity in objectives, standards, enforcement practices, coverage, and cultures can be accommodated; and can promote experimentation, innovation, and imitation and learning from more experienced MS jurisdictions. Based on the SADC experience, developing common ground can be facilitated by: “organic convergence” across MS in competition rules, case selection, analysis, and management, market definition, and enforcement methods; and the preparation and distribution of practical “best-practice” guidance documents on key enforcement and analytical issues and enforcement cooperation platforms – which led to the launching of SADC’s web-based competition case resource database in 2012.
For similar reasons, not all RTAs in the global economy need to adopt the same regional competition rules model. Some experimentation, innovation and healthy global competition in the design and administration of RTA competition rules are desirable.
**RTA Approaches That Can Be Problematic for Competition and Market Integration**
RTA scholars and competition law practitioners have also identified some aspects of region-wide competition rules and their enforcement that can be problematic for competition and market integration under RTAs.
Their research indicates that only competition penalties should be applied to anticompetitive conduct and arrangements in the RTA and its MS. Applying trade sanctions to the member states where the anticompetitive conduct is taking place can have more negative effects on
competition, consumer welfare, efficiency, market integration and other public welfare objectives than the anticompetitive conduct that is being sanctioned.
Evaluations and assessments of existing RTAs with regional enforcement functions also suggest that competition and market integration problems can arise when:
(i) The RCA does not have the mandate to conduct its own cases and apply its own competition penalties, without first receiving approval from the affected member states.
(ii) Trade effects tests for allocating enforcement and other matters to the RCA are interpreted in a very narrow manner that limits the regional investigation and sanctioning of anticompetitive conduct that substantially lessens competition in two or more MS.
(iii) Regional rules and authorities are replacing functioning competition laws and authorities in MS before the RCA is fully operational; the preference of the current author and many other authors is that regional and MS laws and authorities should function in parallel in a complementary and coordinated manner.
(iv) Industry, professional, occupational and other exemptions and exceptions from the region-wide rules are granted too often and too easily; competition law practitioners contend that such exemptions and exceptions should be limited to the greatest degree possible, and should be difficult to acquire by vested interests and relatively easy to remove when warranted.
Previous RTA experience also indicates that regional case selection, investigation, decision making and other processes should be designed to minimise the risk that regional competition activities and decisions systematically favour the interests of the larger and more highly developed MS at the expense of the smaller economies and their firms, industries and consumers. Distributions of benefits and costs that are perceived as unfair will discourage smaller, less advanced, and other members from participating in and contributing to the regional regime – even when they are receiving some benefits.
Other insights and possible lessons of a more general nature from studies of existing RTAs include the following:
- Regional and MS regimes and authorities that cover the anticompetitive conduct of both private and public undertakings are likely to be more effective and receive greater stakeholder support.
- The regional entity responsible for the RTA’s competition obligations should be appropriately resourced and structured; and should be placed in a location that is accessible to other MS and will attract and retain high quality personnel.
- Binding and non-binding commitments under the RTA should minimise the risk that competition obligations impose information collection, analytical, investigation and related standards that are overly complex and burdensome and difficult to achieve by inexperienced and under-resourced national authorities.
- Overlapping membership whereby countries are members of more than one RTA has to date been mainly a theoretical concern, but could become more problematic as regional markets become more integrated, regional commissions are more active, and MS more often use regional enforcement cooperation platforms to address cross-border matters\(^1\).
- To be effective and sustainable over the longer term, the regional regime requires understanding, support and commitment from all MS governments and their business communities and other stakeholders.
One final lesson from these assessments is that the expectations of MS, their governments and business communities, and other interested parties and stakeholders should be appropriately managed from the outset; and false expectations and promises that all MS and stakeholder groups will benefit from all regional competition decisions should be avoided. Regional decisions will benefit some MS more than others, and some MS may experience or perceive they experience detriment – especially when the MS and its companies are the source and major beneficiary of ‘beggar-thy-neighbour’ anti-competitive conduct within the region. The MS losers can theoretically receive financial and other compensation from the “winners”, but this rarely occurs in practice.
Key Lessons and Questions When Selecting the Regional Competition Rules Model
Lessons Learned
These more positive insights from the RTA competition literature indicate that “the art of the possible” and incremental step-by-step approaches, which build success and minimize the risk of early failure, are important to designing and applying regional competition rules and obligations. Under a step-by-step approach, RTAs could first adopt a more informal regime to build the foundation for a more formal model in the future. This is the recommended approach of some assessments of the current SADC system, and has been proposed as the next step for ASEAN.
However, such an approach could have its own downside risks. The time, energy, attention span, and scarce cognitive resources and political support needed for members to design and reach consensus on more formal regional rules, mandates, scope and functions, may be better allocated to building competition law experience, credibility and legitimacy through better enforcement of existing national laws and developing and establishing effective enforcement cooperation platforms between member states.
When considering a more comprehensive and formal “hard law” model, regional authorities, proponents, and external advisors should recognize that MS and their CAs, business communities and other stakeholders have made major investments of time, energy and money in the current regime and can be quite satisfied with its performance – even though a “superior” option is now on offer.
Attention should also be given to possible trade-offs between different forms of convergence whereby, near perfect convergence in the objectives, provisions, and language of MS competition laws, can lead often unintentionally to divergences in enforcement practices, analytical methods, compliance and performance because of the ‘poor fit’ for some MS. One model out of the various regional competition options that are now available should not be seen as superior in all contexts, and as the inevitable final stage in the evolution of the RTA competition rules process.
On the one hand, the more formal EU model can potentially enhance regional competition law efficiency and effectiveness through:
- pooling resources and removing duplication, overlap and inconsistencies between MS;
• economies of scale and scope in enforcement, compliance promotion, education, and advocacy, and related positive externalities;
• extending the regional and global reach, visibility and credibility of national and regional competition rules;
• providing more consistent and effective remedies;
• reducing the transactions, regulatory and other costs and burdens of government, private, and other stakeholders; and,
• reducing political pressures from national interest groups.
On the other hand, achieving these potential benefits and advantages has been challenging for some RTAs; and “imposing” the EU model on reluctant MS may threaten existing domestic and RTA regimes that are now generating reasonably satisfactory compliance, enforcement, advocacy, and other outcomes through:
1. national competition regimes that have some “common ground” but are tailored to the socioeconomic and institutional conditions and stage of development of each member;
2. bilateral and multilateral enforcement cooperation between MS on an as needed basis to address cross-border matters;
3. and shared interests, information, learning, experience, mental models, trust, and reciprocity of trust involving MSCAs, the RCA, and other stakeholders.
The “imposition” of region-wide rules and authorities could also be used as an excuse by member governments and MSCAs to reduce their resources and enforcement efforts, and for MS without national competition laws and authorities to further delay.
Finally, the co-existence of different and competing regional competition systems operating in parallel and involving some of the same MS provides opportunities for experimentation, innovation, comparative systems analysis and shared learning for RTAs, developing economies and their external advisors. Competition, innovation and diversity are desirable in most contexts – including between regional competition regimes.
**Ten Key Questions**
Prior to when a new RTA is established and before an existing RTA and its MS decide to move “up-scale” and adopt a more formal model,
the following ten questions should be addressed and answered to the extent possible:
1. How many MS have functioning competition laws and authorities and practical experience with case selection, investigation, analysis, and sanctioning anti-competitive business arrangements and practices?
2. Are the larger MS with significant competition law experience fully supportive of the regional competition rules and authority – and therefore prepared to accept the perceived and actual loss of national sovereignty, independence and control over key markets and sectors?
3. How similar and different are the MS competition objectives, policies, laws, standards, functions and enforcement practices; and how much convergence would be needed to reduce these differences and make regional rules and authorities functional and effective in achieving national and regional competition, consumer welfare, market integration, and other objectives?
4. Can this degree of alignment and convergence be achieved in the short to medium term to allow the regional rules and authority to be established and appropriately tested, evaluated, and modified where required, and placed on a positive trajectory?
5. Is there sufficient market integration and cross-border trade within the region to generate the number and quality of cross-border and regional enforcement cases and related matters, which would be needed for the RCA to develop experience, expertise, visibility, credibility and legitimacy among MS governments, CAs, businesses, and other stakeholders within the region, as well as governments, CAs, corporations and other stakeholders outside the region?
6. Is there reasonably strong empirical evidence that existing more informal bilateral and multilateral instruments between members have failed to deter, remedy and prevent some cross-border cartels, anticompetitive mergers, dominant positions, and other anticompetitive conduct?
7. Has consensus developed on easy to understand and apply guidelines on the scope of regional versus national rules; and the allocation of cartel, merger and other enforcement and related matters between
national and regional levels – in order to minimize conflicts between jurisdictions and promote transparency, certainty, compliance and enforcement across the region?
8. Is the consensus on these guidelines and related issues on jurisdiction, enforcement practices and competencies, and extraterritorial application likely to be stable and sustained across MS, regional entities and other stakeholders?
9. Are the regional competition rules and functions on offer expected to support and help to achieve the broader economic, social and institutional goals of the regional community and its members on:
- inclusive growth and development and greater equality of opportunities, incomes, wealth and consumer and producer welfare;
- sustainable development goals and other broader socioeconomic goals and objectives;
- fair and efficient markets, fair competition and trading practices, legal and regulatory processes that are fair, transparent, open to all, and consistent with due process, and reduced rent seeking and corruption;
- poverty alleviation, and the establishment and growth of micro-enterprises and other smaller enterprises within member states and the total region;
- innovation, technological change, and institutional change; and,
- a level playing field between private and state-owned enterprises?
10. Are the human resource and leadership skills, and MS financial, political and other commitments, needed to sustain a regional regime, available now and in the future?2
Many of these questions recognise that establishing, operating and sustaining a regional competition regime – which encompasses many MS at different stages of development — requires much stronger technical, management, negotiation, political, and leadership skills and savvy than establishing domestic regimes. Regional regimes need to accommodate: (i) mixed and conflicting influences, incentives, signals, and pressures from various government, business, civil society, and other groups; and (ii) distinctive national characteristics, values, philosophies, experiences and interests that are embedded within and ‘absorbed’ into MS competition
policies and laws and the enforcement, compliance promotion, advocacy, education and other practices and priorities of MSCAs.
Negative responses to and/or limited evidence on the majority of these questions may suggest that the potential net benefits from establishing a new regional competition regime or moving “up-scale” based on the modified EU model might be less than expected and required. Transplanting any regional competition rules model to a developing economy RTA requires considerable care and attention to the unique characteristics of the regional economy and its various member states; and to the mixed history and at times negative outcomes associated with transplanting advanced economy laws, regulations, and institutions with little modification from the developed to the developing worlds. While transplanting laws, regulations, rules and models is relatively easy, making them function effectively in developing economy environments can be more challenging.
Finally, advanced economy CAs, international organizations, and the academic community are often better positioned to provide advice and technical assistance to MSCAs than to RCAs – the consequence of the limited empirical evidence, comparative systems research, and shared learning on regional competition regime functions, limitations, and outcomes.
**Concluding Comments and Proposals for Future Research**
Competition rules, obligations and objectives within developing economy RTAs have at times fallen short of expectations and predictions when compared with the EU and other developed economy RTAs. However, the “glass-is-half-full” approach adopted by this and other authors indicates many reasons for optimism in the future – especially if RTAs and their MS and external advisors take account of the full range of competition rules models that are available and select the model that best meets the current needs and stage of development of the regions and its member states.
The modified EU model has many attractive features; but the more informal and non-binding models can also generate net benefits for RTAs and their member states, particularly in regions where members display considerable socioeconomic and institutional diversity, and only some members have functioning competition laws and authorities. The ability of less formal arrangements to generate net benefits, and contribute to
competition and broader RTA objectives in a cost-effective manner, should be given appropriate weight by RTAs, their member states and external advisors when they are considering options for regional competition rules.
The Appendix provides an overview of currently available RTA information. This overview and other sources indicate that there are now close to 130 countries and jurisdictions in the global economy with competition laws and authorities, compared with about 30 mainly OECD economies only 25 years ago. These nearly 130 countries encompass the 34 current OECD members, and therefore the remaining more than 90 competition regimes are situated in countries that are typically categorised as developing, emerging market and/or middle income economies.
The Appendix identifies more than 80 countries that have functioning competition laws and authorities and are also members or associates of RTAs. The implication is that close to 50 of these MS are not OECD economies and therefore can be characterized as developing, emerging market and/or middle income countries. Therefore, the majority of the 90 plus developing and emerging market economies with functioning competition laws and authorities are either members of or are associated with one or more RTAs – while some others have bilateral trade and other agreements that may include competition obligations such as under Contonu and other partnership agreements with the EU.
Anecdotal evidence, limited data, and the impressions of this and other RTA authors suggest that developing and emerging market CAs in countries that are members of one or more RTAs appear on average to be better resourced and funded and more effective than developing economy and emerging market CAs in non-RTA countries. However, this “impression” should be subjected to much greater ex-ante and especially ex-post research to confirm the benefits of RTA membership for MS and regional economies and their competition authorities and regimes; and to better determine the existing RTA competition rules models that best meet the needs of members and regions at different stages of economic and institutional development.
Additional ex-post RTA evaluations and related research are especially needed to identify and assess:
1. Specific enforcement cases and other competition matters where RTA information sharing and enforcement cooperation platforms resulted in higher quality decisions and outcomes for MSCAs and their economies.
2. Specific cross-border and other merger, cartel, AOD etc. enforcement cases that could not have been investigated and remedied without an
RCA with formal enforcement powers and capabilities under the modified EU model – because of e.g. the complexity or political sensitivity of the enforcement case for the member states and their competition authorities.
(i) Performance indicators for and empirical evidence on RTA competition regime progress, outcomes and successes that go beyond the number of enforcement cases and other inputs and activities to encompass progress, improvements and successes in such areas as:
- Business rivalry, competitive intensity, corporate culture, compliance promotion, and alternative case resolution through e.g. successful implementation of voluntary compliance action plans by regulated entities.
- Competition policy and law education and advocacy efforts within MS, at the regional scale, and at multilateral fora – including on the interactions between competition, trade, consumer policy, intellectual property, innovation, sectoral regulation and related matters.
- MS cooperation and information exchange – including the extent to which RTA platforms and RCA enforcement capabilities reduce the number, cost and complexity of regional and national enforcement cases.
- Promoting fair, efficient and more open economies within and across member states, including competition policy and law and related regulatory and procurement processes that are deemed to be fair, efficient, transparent, and consistent with due process. Leading perhaps over time to more inclusive growth, greater equality in incomes, wealth and opportunities, and substantial reductions in corruption, rent-seeking and other harmful opportunistic conduct and perverse ‘social norms’ within MS and the total region.
- And key empirical evidence, findings and lessons from ex-post research on specific RTAs that can be extended to other regional trade agreements and can also be used to strengthen arguments for and help to determine the appropriate competition rules and obligations for multilateral competition rules under the WTO architecture.
3. The potential for RTA competition regimes to better identify and exploit the linkages between competition policy, law and consumer protection policy, law and advocacy.
Through e.g. the regional authority identifying enforcement matters and investigating cases where the alleged perpetrators are employing various forms of deception and misrepresentation to mislead consumers, business customers, competitors, and competition authorities in order to exploit their market power and strengthen cartels, dominant positions and other anticompetitive arrangements.
4. Ex-post empirical evidence which recognises that the enforcement of regional competition rules and obligations can result in both national and corporate “winners and losers” at least for the short-term.
This research would be designed to identify situations where the efforts of member states to “protect and compensate” their national corporate ‘losers’ impeded national and regional competition, trade, economic efficiency, competitiveness and innovation over the longer term.
As well the alternative situations where the member state ‘losers’ agreed with or at least did not attempt to impede and offset the effects of the regional competition decision, and thereby benefited from a stronger and more competitive national and regional economy over the longer term.
This resulted in substantial increases in both consumer and producer surplus at the national and regional levels and important contributions to broader national and regional development objectives (that are listed earlier).
5. The potential for innovative and effective ‘mid-way points’ between the more formal and informal RTA models described in this Paper – for example through providing an existing regional legal institution with the mandate to investigate and adjudicate especially important, complex, large and politically sensitive cross-border enforcement cases and other matters that cannot be successfully addressed by member state competition authorities (MSCAs).
6. Benefits to regional trade and national and regional economies, competitiveness, productivity and innovation, through employing RTA competition obligations to replace anti-dumping laws with competition rules and to use competition rules to discipline state aids/subsidies, state-owned enterprises, government procurement practices, and other anticompetitive government administrative practices and interventions.
7. And the extent to which incorporating competition rules and obligations in RTAs help the member states and total region to better employ competition policy and law to achieve more inclusive growth, sustainable development goals and other broader socio-economic and public welfare goals and objectives of member states and the total region through for example:
- Enhancing the competition policy research and advocacy efforts of member state CAs and other ministries and departments, civil society groups, business community, and the academic community.
- Addressing cartel, collusion, bid-rigging, abuse of dominance and other enforcement matters involving anticompetitive conduct that especially harms more vulnerable and disadvantaged economic actors: final consumers, small farmers, small and micro-enterprises, governments and their taxpayers in smaller member states etc.
- Applying a more holistic value and supply chain approach which identifies and remedies potentially anti-competitive conduct and arrangements at different stages of value chains – regardless of the member state where the anticompetitive conduct and impediments to enhanced consumer and producer welfare is taking place.
- And better demonstrating and providing strong empirical evidence on the positive and negative interactions between trade and competition policies and why trade liberalization requires competition policy and law reforms at the member state and regional levels.
Perhaps most importantly, ex-post research of existing RTAs with competition rules and obligations and ex-ante research of proposed RTAs should be conducted on the potentially positive dynamic, interactive, feedback, and path dependent effects between, on the one hand, the benefits that RTAs and their national and regional economies receive from their regional and national competition rules and obligations; and on the other hand the benefits that national competition regimes and authorities receive from incorporating competition rules and obligations within regional trade agreements.
This research should include the learning, network and path dependent effects and benefits and related positive network externalities that result from the interactions between the different RTA competition law ‘platforms and networks’ (which in some cases have overlapping membership); and between the RTA platforms and networks and the other competition policy and law networks and forums that are now fully
operational or are emerging – including the very unique, expanding and influential CUTS network of competition, consumer, and regulatory policy and reform experts and advocates from government agencies and ministries, international organisations, the academic community, civil society and other groups in both the developed and developing worlds.
## Appendix A:
### Overview of Competition Policy and Law Obligations and Progress in Selected Regional Trade Agreements (RTAs)
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives¹ |
|--------------------------------|---------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| European Union (EU) | 28 member states, as well as five candidate countries and two potential candidate countries. Current members are: Austria, Belgium, Bulgaria, Croatia, Republic of Cyprus, Czech Republic, Denmark, Estonia, Finland, France, Germany, Greece, Hungary, Ireland, Italy, Latvia, Lithuania, Luxembourg, Malta, Netherlands, Poland, Portugal, Romania, Slovakia, Slovenia, Spain, Sweden and the United Kingdom | EU wide competition rules and enforcement have been in place since the Treaty of Rome of 1957, and are administered and enforced by the Competition Commission in Brussels. EU competition rules include anti-competitive agreements and forms of abuse of dominance by private undertakings in Articles 101 and 102 of the Treaty on the Functioning of the European Union (TFEU) of 2007, the EU Merger Regulation, and competition policy rules on the behaviour of public undertakings and state aids (subsidies). There are as well formal obligations for current and new member states and for prospective members to develop and enforce competition laws that are similar to EU wide rules, and to cooperate with each other and with Brussels when enforcing their national competition laws. All current EU members have established competition policies, laws and authorities and are meeting their EU competition law obligations. In addition, under the European Economic Area (EEA) negotiated with the European Free Trade Association (EFTA), EFTA members are expected to adopt EU competition rules and standards, and similar competition obligations are contained in EU agreements with Eastern and Central European and Mediterranean countries that are not EU members. Finally, the Cotonou Agreement between the EU and the African, Caribbean and Pacific countries, which was signed on 23 June 2000 and entered into force on 1 April 2003, includes Article 45 on the introduction and implementation of effective and sound competition policies and rules by the parties to the Agreement. In sum, EU agreements with non-member partners include commitments to apply common standards and disciplines in such areas as antitrust/competition law, state aids and state monopolies (Hoekman 2002:6-10). The RTA competition policy and law literature indicates that the EU competition rules system has had greater enforcement success than any other regional competition policy and law system; and has been promoted widely and with considerable success to other RTAs — with the result that most but not all RTAs with regional competition rules and obligations have adopted some form of the EU model (see e.g. Borta 2011 and Marquis 2015). |
| North American Free Trade Agreement (NAFTA) | Three members: United States, Canada, and Mexico | There are formal obligations in the NAFTA Treaty for all three parties to develop and enforce competition laws and to cooperate with each other when enforcing their national laws. There are no formal obligations to develop regional competition rules and/or ensure similarity, convergence and harmonization of competition laws, rules, standards and enforcement practices. |
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|--------------------------------|-------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| NAFTA | | However, the NAFTA literature and developments over the past two plus decades indicate that informal processes of ‘soft’ convergence and alignment of objectives, enforcement practices and analytical methods are taking place through frequent bilateral contacts and other contacts and cooperation at multilateral forums: OECD, ICN etc. – including what is called “pick-up-the-phone” personal relationships. All three members are complying with their treaty obligations and contributing to informal processes and platforms of information sharing, enforcement cooperation, positive comity, and soft convergence in competition policy, law, and enforcement practices (see e.g. Hoekman 2002, footnote on page 13, Crawford 1997, and Aydin 2015). Mexico’s competition authority, the Federal Competition Commission, generally receives high marks from the OECD and other groups for the quality of and recent improvements to its enforcement, competition advocacy and education, and related functions – in particular for its recent enforcement and other efforts to reduce anticompetitive practices in value chains that supply essential food and other products to lower income and other consumers and households (OECD 2012:31-36 and Aydin 2015). |
| Closer Economic Relations Agreement (ANZCERTA or CER) | Australia and New Zealand | Signed in 1983, ANZCERTA required the two countries to examine the scope for taking action to harmonize the CER requirements that relate to restrictive trade practices. This started a process of convergence largely through changes in New Zealand’s competition law in order to facilitate the elimination of antidumping on the two countries’ bilateral trade flows, which occurred in 1990. At the same time, controls on subsidies that distort trade and competition within the free trade area were established; and soon after domestic competition law prohibitions on the misuse of market power were extended to trans-Tasman markets. Moreover, measures to coordinate the enforcement of competition law are now in place between the two countries. As summarised by Hoekman (2002:10): “in the ANZCERTA context full trade liberalization was judged necessary but not sufficient to eliminate the need for antidumping. Such elimination required active enforcement of *similar* competition laws and agreement that the jurisdiction of competition agencies extend to matters affecting trade between New Zealand and Australia. In this connection it was agreed that nationals of one state could be made the subject of an enquiry by the competition authorities of the other state and be required to respond to requests for information. Australian (New Zealand) antitrust legislation was amended to extend its scope to the behavior Australian and/or New Zealand firms with market power on either one of the national markets or the combined Australia/New Zealand market; Courts were empowered to sit in the other country; orders may be served in the other country; and judgements of Courts or authorities of one country are enforceable in the other country. In 1994 the competition authorities of the two countries concluded a bilateral Cooperation and Coordination Agreement to reduce the possibility for inconsistencies in the application of legislation in instances where this is not required by statutory provisions …” |
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|-------------------------------|---------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | | Accordingly, the two countries still have their own competition laws and authorities, but have developed the cooperative and coordinated approaches and platforms needed for a single economic market, mainly through active and proactive bilateral informal, as needed, and ad hoc cooperation based on legislation, agreements, arrangements and ongoing informal links. The success of this approach has been recognized by the OECD as a best-practice international model. The consensus is that, except for the European Union, the CER has made the greatest progress with using competition policy and law and related regulatory reform, alignment and cooperation measures in order to promote a single market within the CER RTA and region – while employing a more informal model. What is interesting and provocative is that the CER made this substantial progress through an interesting mix of binding and non-binding commitments and without fully adopting the EU model of regional competition rules, a regional commission, and regional supremacy over national rules and authorities. Whether this alternative model involving two advanced OECD economies at broadly similar stages of development and close political and economic relations could be extended to RTAs – which encompass many developing economy member states at very different stages of economic, social and institutional development and with different competition and other economic objectives and priorities – is an unanswered question that requires more theoretical and empirical ex-ante and especially ex-post research and policy analysis. |
| Mercosur (the Southern Common Market) | Argentina, Brazil, Paraguay, Uruguay and Venezuela are full members. Chile, Bolivia, Colombia, Ecuador and Peru are associate members, and New Zealand and Mexico are observers | There was no competition chapter in the Mercosur Treaty of 1997, but the Fortaleza Protocol of 1997 established a regional competition policy to be applied to anticompetitive behaviour that has an impact on intra-block trade. All Mercosur members and associates now have competition laws and authorities — with the exception of Bolivia, which however has some provisions on competition and unfair trading practices in its constitution and in other statutes. Paraguay was the most recent member state to enact a competition law in 2014. The agreement based on the EU model was ratified by only two MS, Brazil and Paraguay, even though Paraguay had no competition law and authority at that time, and ratification by the other MS was highly doubtful. Therefore, the EU model has been replaced by more modest information sharing and enforcement cooperation agreements first between Argentina and Brazil in 2003, which was then extended to all MS. It is reported that the revision process was fully completed in 2010 (Araujo 2001, Cotta 2011:8-17 and OECD 2012 on Brazil, Argentina and Chile). Limited progress with Mercosur competition rules is reportedly the result of ideological differences and limited cooperation and trust between member states and their competition authorities, limited |
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|-------------------------------|---------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | | competition law resources and experience of some MS authorities, and arguably the adoption at the outset of a Mercosur system that was too complex, ambitious and challenging — which was “doomed” to fail because of the above considerations and other conditions and constraints. In addition, the Mercosur experience suggests that starting with a very challenging and arguably too ambitious regional regime, which requires a high degree of competition law experience, commonality, cooperation and consensus across MS from the outset, may be problematic for some RTAs. A phased step-by-step approach that begins with a less ambitious regional competition model and system may be preferable. Among other considerations and risks, early failure with a more ambitious model may place RTA competition rules and authorities on a negative development path and trajectory that can hinder, complicate and even undermine the later adoption of a less challenging and more informal “best-efforts” or other RTA model. However, this presumption should be the subject of future ex-post research. |
| Andean Community | A trade bloc of four countries: Bolivia, Colombia, Ecuador and Peru. Chile, Argentina, Brazil, Paraguay and Uruguay are associate members and Panama, Mexico, and Spain are Observers. | Three of four full members have competition laws and authorities – as noted above, the exception is Bolivia. The Ecuador authority was established in 2012 and its competition law was enacted in 2013. The Community has received financial and technical assistance from the EU to establish its regional competition law framework, and reportedly has adopted the EU approach to Community wide competition rules (Marquis 2015:17). Under Articles 93 and 94 of the Cartagena Agreement, the Andean Community adopted Decision 283, which has the objective of preventing or correcting distortions in competition that are caused by restrictive anticompetitive practices and covers agreements, concerted practices or parallel actions among competitors, and the abuse of a dominant position (Ferreira 2005). Under the current regional system, the enforcement of the region-wide Community rules is limited to cases with an impact on intra-regional trade and therefore local anti-competitive practices are investigated and sanctioned under national competition laws. However, Bolivia (and Ecuador until 2013) can apply the Community rules domestically until national laws are in place. Botta (2011) concluded that the Andean Community has an effective regional competition policy in terms of both its substantive provisions and its enforcement system, which is considerably better than the regional competition policy and law regime in Mercosur. However, despite the improvements in the institutional framework, the extent of enforcement is reported to be disappointing – the consequence of: (i) the trade effects doctrine combined with the limited market integration and cross-border trade within the Community, (ii) the non-supportive political climate in some MS where e.g. some MS see competition law as an instrument to regulate and control prices rather than to promote the competitive process and fair and efficient markets, (iii) the long list of exceptions to the region-wide rules, and (iv) continuing questions regarding the supremacy of region-wide rules in the Community (Botta 2011:17-25; see as well OECD 2012 on Peru, Columbia and Chile and Beneke 2015). |
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|--------------------------------|---------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | | One issue for future research is that Chile, which is one of the more advanced economies in South America and has an experienced competition authority, is only an associate member of Mercosur and the Andean Community (see e.g., OECD 2012 and Roberts and Tapia 2013). At the same time, Chile has free trade agreements with a quite large number of developed and developing economies and jurisdictions, which often include competition provisions, is a member of APEC, and is one of twelve countries that is participating in the negotiations on the Trans-Pacific Partnership Free Trade Negotiations which are now very close to completion and MS approval (discussed below)*. Future research could address whether full participation by Chile in Mercosur and the Andean Community would have strengthened their national and regional competition policy and law initiatives – in light of the possibility that Chile could have played more of a leadership role similar to South Africa’s contribution in SADC. |
| Caribbean Community CARICOM) | 15 full member states, 5 associates, and 8 observers. The 15 full members are: Antigua and Barbuda, Bahamas, Barbados, Belize, Dominica, Grenada, Guyana, Haiti, Jamaica, Montserrat, Saint Kitts and Nevis, Saint Lucia, Saint Vincent and the Grenadines, Suriname, and Trinidad and Tobago. The OECS sub-region within CARICOM is comprised of (with populations in brackets for the latest year available): Antigua and Barbuda (89,138), Dominica (69,810), | With a relatively few important exceptions, CARICOM is largely comprised of small island nations which have less developed economies, and do not have the resources and administrative capacities to establish and administer their own competition rules and authorities (Stewart 2004 and Botta 2011). Therefore, the EU competition model and rules adopted by CARICOM focused on region-wide (supranational) rules and a regional competition authority, and prohibitions against anticompetitive practices and abuses of dominant position are being applied. However, regional competition law progress, enforcement, and positive outcomes have been limited by:
(i) less than expected and desired economic integration and intra-CARICOM trade flows;
(ii) major differences in economic and institutional development between CARICOM member states;
(iii) continuing tensions between MS national sovereignty concerns and regional integration “aspirations”;
(iv) a multi-level system of enforcement which requires consultation and cooperation between relevant MS and the CARICOM Competition Commission (CCC) before the CCC can impose a fine on a private undertaking;
(v) the failure of many MS that may have the resources to establish their own national competition authorities;
(vi) limiting the region-wide competition rules to anticompetitive conduct that affects intra-regional trade, which does not allow the regional authority to address potentially anti-competitive conduct and arrangements that could be harming competition, economic efficiency, consumers and other market participants in two or more MS; and,
(vii) continuing questions on the scope and supremacy of region-wide competition rules. The available information indicates that only Jamaica and Barbados have complied with the CARICOM obligation and now have functioning competition laws and authorities. As well, the competition law of Trinidad and Tobago has been approved but has not been fully enacted; Suriname is consulting on a
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|--------------------------------|---------------------|----------------------------------------------------------------------------------------------------------------------------------|
| Grenada (110,821), Montserrat (4,681), Saint Kitts and Nevis (51,967), Saint Lucia (172,034), and Saint Vincent and the Grenadines (100,596). | draft competition bill; the OECS sub-region has completed an agreement and draft competition bill; and Belize has prepared a strategy for competition policy and law implementation. As a result, as of 2011 or ten years after the Treaty to establish the CCC was signed, the Commission had no cases that resulted in the enforcement of the CARICOM competition rules (Botta 2011, Beckford 2009, Kaczorowska 2012, and CCC 2013). Despite these limitations, the decision of the smaller nation states in the OECS sub-region to work together and establish a sub-regional competition law and authority should be considered as a potential international “best practice” which should be followed closely in the future for application by other smaller states and “micro-states” in the global economy such as the smaller countries and micro-states in the South Pacific (see e.g. Reddy 2013 on the limited development to date of functioning competition laws and authorities in the Pacific Region. |
| Common Market for Eastern and Southern Africa (COMESA) | 19 member states: Burundi, Comoros, Democratic Republic of the Congo, Djibouti, Egypt, Eritrea, Ethiopia, Kenya, Libya, Madagascar, Malawi, Mauritius, Rwanda, Seychelles, Sudan, Swaziland, Uganda, Zambia and Zimbabwe | This RTA has adopted the EU model with COMESA wide competition rules enforced by the COMESA Competition Commission (CCC) in Lilongwe Malawi. COMESA competition law and commission became fully operational in January 2013. The COMESA competition law includes provisions on restrictive business practices, prohibited practices, abuse of dominant position, merger control, and consumer protection – as well as authorizations whereby undertakings can apply to the CCC for authorization of potentially anticompetitive activities on the basis that the public benefits outweigh the anticompetitive detriment. There are as well formal obligations in the COMESA Treaty for each member state to have a modern competition policy and law that is similar to and aligned with COMESA wide rules. 14 of 19 COMESA members now have competition laws, the other five are now drafting their competition laws, and ten of nineteen MS now have functioning competition authorities including six which are also members of SADC (see below). Furthermore, Kenya, which has one of the more experienced competition authorities in COMESA and Africa, is also a member of the EAC (discussed below). Therefore, 7 of the 10 COMESA members that have functioning competition laws and authorities are also members of other RTAs. COMESA likely has the most developed and well-articulated regional competition regime of any RTA in Africa and has one of the most highly developed among all of the developing economy RTAs in the global economy. Its Competition Commission is led by a well-known and highly experienced and influential Director and Chief Executive Officer, who previously was the agency head of the Zambian competition authority. As a consequence, the COMESA competition rules and authority has received a great deal of attention (both positive and negative) from the business, financial, and general media, international institutions, the legal community, and other sources (see e.g. Rudman and Wilson 2013, Coulson Harney and Slaughter and May 2013, and The Antitrust |
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|--------------------------------|---------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| | | Source 2014). Its progress, successes, and alleged and actual “shortfalls” on merger review and other provisions will be closely monitored and reported on in the coming years; and as well will provide important ex-post evidence for future research on the strengths and weaknesses of different RTA competition regimes and models. |
| Southern Africa Development Community (SADC) | 15 member states: Angola, Botswana, Democratic Republic of Congo, Lesotho, Madagascar, Malawi, Mauritius, Mozambique, Namibia, Seychelles, South Africa, Swaziland, Tanzania, Zambia and Zimbabwe. Note that eight SADC members are also in COMESA, and Tanzania is also in the EAC (below). | There are no formal competition obligations in the SADC Treaty, but MS have made best-efforts commitments to develop and enforce competition policies and laws and to cooperate when enforcing these laws. These commitments have been incorporated into many major legal and policy documents signed by SADC Heads of States and Governments including the Protocol on Trade in 2002, the Regional Indicative Strategic Development Plan of 2003, the Protocol on Finance and Investment in 2006, and the Declaration on Regional Cooperation in Competition and Consumer Policies of 2009.
At the present time, 11 of 15 SADC member states have competition laws and fully operational competition authorities, Madagascar enacted a competition law in 2008 that is not yet in effect; Lesotho has prepared a draft competition law, and one of the purposes of the country’s Privatization Act is to promote competition and reduce monopolistic behaviour; and the two remaining member states, Angola and DR Congo, are reported to be at an early stage of competition law development.
Therefore, the member states with functioning competition laws and authorities are South Africa, Zimbabwe, Zambia, Malawi, Tanzania, Namibia, Mauritius, Swaziland, Seychelles, Botswana in 2011, and most recently Mozambique in 2013, with a competition law that is inspired by the laws and rules in Brazil, Portugal, other European countries, and the European Union. The 11 SADC member states in 2015 represent major progress in a relatively short period of time since only three MS: South Africa, Zimbabwe and Zambia, had fully functioning competition laws and authorities in 2004.
Six of the eight SADC members that are also members of COMESA have competition laws and authorities. Moreover, five SADC member states are also members of the Southern African Customs Union (SACU) which also has informal competition obligations. The five SACU member states are Botswana, Lesotho, Namibia, Swaziland and South Africa. Based on the available information, within SACU, only Lesotho does not currently have a functioning competition law and authority.
Unlike COMESA, there is strong opposition, mainly from the non-COMESA member states in SADC, to establishing region-wide SADC competition rules and a regional commission. One important regional constraint is that only one SADC Secretariat officer has been designated to coordinate and manage regional competition issues across the 15 MS.
Nonetheless, the regional competition entity with the support of the EU and other donors has provided advice, assistance and support to existing CAs and the establishment of new CAs in the areas of for example: (i) competition policy and law best practices, (ii) information sharing and enforcement cooperation platforms, (iii) specific
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|-------------------------------|---------------------|----------------------------------------------------------------------------------------------------------------------------------|
| | | enforcement cases with cross-border ramifications, (iv) assistance with international competition forums and networks, and (iv) the linkages between competition and consumer protection policies, laws and advocacy(Khandelwal 2004, Gal and Wassmer 2012, Senona et al 2013 and Ireland 2012). |
| East African Community (EAC) | Five member states in the African Great Lakes Region of eastern Africa: Burundi, Kenya, Rwanda, Tanzania, and Uganda | The East African Community Competition Act was developed and approved in 2006 and contains sections on restraints by enterprises, abuse of market dominance, mergers and acquisitions, state subsidies, public procurement, enforcement procedures, consumer welfare and protection, and establishment of the East African Competition Authority. The regulations to administer and enforce the Act were developed and approved in 2010, but progress with implementing the law and regulations has been slow — reportedly because of limited awareness of the importance of competition policy and law within the EAC region, and because for a long time one of the five member states, Uganda, had not adopted the EAC law. However, the EAC Council of Ministers decided that the law should become operational by December 2014 bringing to an end an eight-year delay; and other media reports indicate that the EAC competition authority would become operational by mid-year 2015. However, more recent reports suggest that the establishment of the EACCA may occur later in 2015 or early in 2016; and that as of December 2015 the EAC competition authority was still not fully functional. The RTA literature and media reports indicate that among the five member states, Kenya and Tanzania have the most competition law experience. Burundi’s competition law and authority were established in 2010 but were not fully operational as of 2014. Rwanda has competition rules in various statutes, including the Competition and Consumer Protection Law; and the authority to administer enforce that law will reportedly become operational sometime in 2015. Uganda drafted a competition law in 2004, which was then revised in 2007, but as of 2014 the proposed law had not yet been approved by the Uganda Parliament and then enacted and enforced; however media reports in 2014 indicate that the Uganda Cabinet would soon approve the competition bill, and pass on the bill for debate and approval in Parliament; the bill would create an independent body called the Uganda Competition Commission. As noted above, Kenya, Uganda, Burundi and Rwanda are also members of COMESA, and Tanzania is a member of SADC and was previously a member of COMESA (see e.g. Angwenyi 2013 regarding the challenges of multiple RTA memberships with overlapping competition law jurisdictions, and the Tripartite MOU between COMESA, EAC and SADC signed in 2011). |
| Economic Community of West African States (ECOWAS) | 15 members: Benin, Burkina Faso, Cabo Verde, Côte D’Ivoire, The | ECOWAS was established in 1975. Articles 50 and 60 of the ECOWAS Treaty provide the legal basis and justification for a competition policy for ECOWAS, and the formal and informal competition policy obligations and requirements of ECOWAS member states are described in its “Regional Competition Policy Framework” document which was completed in 2007. |
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|--------------------------------|---------------------|----------------------------------------------------------------------------------------------------------------------------------|
| Gambia, Ghana, Guinea, Guinea Bissau, Liberia, Mali, Niger, Nigeria, Senegal, Sierra Leone, and Togo | This framework has six segments on: (i) the objective and basic principles of a competition policy; (ii) justification of a regional competition policy for ECOWAS; (iii) current status of competition laws within ECOWAS; (iv) the main outlines of Community rules on competition within ECOWAS; (v) implementation conditions including preconditions for effective application of regional rules on competition; and, (vi) capacity building.
The limited literature on ECOWAS competition policy and law indicates that meeting these obligations and requirements continues to be a “work in progress” (see e.g. Mathis and Dawar 2008; and Drexel et al 2012). For example, as of 2007, except for the WAEMU members noted below, the non WAEMU members did not have fully functioning competition laws and authorities at that time. The available information suggests that since then Gambia now has a competition law and commission and is making progress on the enforcement of its law; and Ghana, Nigeria, and Guinea have continued to work on draft competition policies and laws – with some evidence that through the work of CUTS and others some progress is being made in Ghana and Nigeria.
The case of Nigeria, one of the largest and most important countries and economies in Africa, may be important in this regard. Nigeria has been drafting, debating, consulting on, and receiving outside technical assistance on a new competition law for a number of years and a new Federal Competition Bill was drafted a few years ago. However, more recent media reports indicate that, while Nigeria has competition provisions in some other laws especially in the Communications Act, the country still does not have a fully functioning competition law and authority (see e.g. Odion 2015).
When one of the major economic leaders of an RTA is a competition law “laggard”, smaller and less advanced countries may have a good excuse for not developing and implementing their own competition laws and authorities. The Nigeria and ECOWAS situation can be compared with the leadership roles played by for example South Africa and Brazil in their respective RTAs and regional competition law communities. This situation is consistent with the insights from behavioral economics which illustrate how and why individuals, companies, other organizations and even countries tend to follow, imitate and learn from national and regional leaders. |
| West African Economic and Monetary Union (WAEMU – also known as UEMOA) | 8 member states: Benin, Burkina Faso, Côte d’Ivoire, Guinea-Bissau, Mali, Niger, Senegal, and Togo – all eight are also members of ECOWAS | As of 2014, none of the WAEMU member states had implemented a national competition regime (see ECOWAS discussion above). The ECOWAS framework document of 2007 indicates that the WAEMU members of ECOWAS are covered by the WAEMU/UEMOA competition law obligations as set out in WAEMU’s three regulations and two directives that were introduced in 2002 and came into effect in 2003.
The three Regulations cover concerted anti-competitive practices, abuse of a dominant market position, and state aid, while the two Directives apply to (1) transparency in financial relations between Member States and public enterprises, and between Member States and foreign or international organisations; and (2) cooperation between the WAEMU Commission and national competition authorities. However, other
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|--------------------------------|---------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| more recent sources suggest that these regulations and directives are not yet being effectively enforced (see e.g. Bakhoun and Molestina 2012 and Staples 2012). Some studies have indicated that one of the major lessons from the WAEMU competition policy and law experience is as follows: “The distribution of competences between the WAEMU Commission and the national competition authorities is the most contentious issue in the WAEMU enforcement approach. The centralization of the decision-making power has evidenced its limits. National competition authorities should enjoy the freedom to protect national markets by directly addressing national restrictions of competition” (Bakhoun and Molestina 2012:24; see as well Gal and Wassmer 2012:6 and Wieck 2010). This paper and appendix has noted some “best practices” for RTA competition regimes. Transferring competition rules enforcement from functioning national competition authorities to a regional authority that is not yet functioning and has limited resources should be considered as a lesson and “worst practice” to be avoided by RTAs in the future. |
| Central African Common Market (CEMAC) | 6 member states: Cameroon, Central African Republic, Chad, Republic of the Congo, Equatorial Guinea and Gabon | As of 2014, CEMAC had not yet implemented a regional competition policy, and only Cameroon and Gabon had functioning competition laws, authorities and regimes. However, it is reported that expanding trade and economic activity in the CEMAC region may lead to greater interest in competition legislation and a regional competition policy among member states and stakeholders in the coming years. Limited progress appears related in part to limited resources and commitment at the regional level, where only two officials have the responsibility to deal with competition issues; and the CEMAC Competition Council is a temporary not a permanent body (see e.g. Gal and Wassmer 2012 and Staples 2012). |
| Association of South East Asian Nations (ASEAN) | 10 member states: Indonesia, Malaysia, Philippines, Singapore, Thailand, Brunei, Viet Nam, Laos, Myanmar and Cambodia | The ASEAN Experts group on Competition was established in 2007; and a major commitment in the ASEAN Economic Community (AEC) Blueprint of the same year is that all ten member states need to introduce national competition policies and laws by 2015. Indonesia, Singapore, Thailand, Vietnam and Malaysia now have functioning competition laws and authorities; the Philippines Congress approved its Competition Act in June 2015; the Myanmar competition bill was approved and signed into law by the President in February 2015; and media reports and ASEAN documents indicate that Brunei Darussalam, Cambodia, and Lao PDR are currently drafting competition laws. In addition, a coordination mechanism for competition law enforcement across the ASEAN region is planned for development by the end of 2015 (Marquis 2015:17). The ASEAN Regional Guidelines on Competition Policy of 2010 are designed to provide guidance to ASEAN MS that have not yet developed competition laws and authorities, and to other MS that may be planning to improve their competition policy and law regime in the future. These guidelines and other regional measures are consistent |
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|--------------------------------|---------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| ASEAN | 10 Countries: Brunei, Indonesia, Malaysia, Myanmar, Philippines, Singapore, Thailand, Timor-Leste, Vietnam | with informal, soft law, organic convergence processes involving shared information, learning and mental models and imitation; and non-binding “MS best efforts” initiatives towards greater alignment and convergence of competition laws, rules and functions across ASEAN MS.
ASEAN therefore has reportedly not adopted a modified EU model, and apparently is moving towards a regional competition model that is closer to the NAFTA and SADC models — based on: (i) competition laws in all MS, (ii) guidelines, education, and capacity building, (iii) intra-regional and extra-regional networking initiatives at the ASEAN regional level, and (iv) encouragement of information sharing, enforcement cooperation, and competition policy and law education and advocacy instruments and platforms between MS (see e.g. Wisuttsiak and Binh 2012, Rodyk 2012, Lee and Fukunaga 2013, and the ASEAN 2013 Handbook on Competition Policy and Law for Business). |
| Trans-Pacific Partnership (TPP) Free Trade Negotiations and Agreement | 12 Countries: United States, Australia, Brunei, Canada, Chile, Japan, Malaysia, Mexico, New Zealand, Peru, Singapore, and Vietnam | American documents indicate that the United States and some other countries have placed significant emphasis on stronger rules for competition and many other laws and regulations – including attention to the implications for: (i) regulatory coherence, (ii) supply chain competitiveness, (iii) “competitive neutrality” between state-owned and privately-owned enterprises to ensure that SOEs are not provided a competitive advantage by their governments compared with private enterprises; (iv) minimisation of regulatory and other non-tariff barriers to foreign markets; (v) minimization of regulatory and other non-tariff foreign barriers to market access and competition; and, (vi) increased participation of small and medium-sized enterprises in regional trade.
“The November 2011 framework indicates that the TPP partners are discussing language for a chapter on competition policy to ‘promote a competitive business environment, protect consumers and ensure a level playing field for TPP companies.’ The text will include language ‘on the establishment and maintenance of competition laws and authorities, procedural fairness in competition law enforcement, transparency, consumer protection, private rights of action, and technical cooperation.’ The U.S. business community has indicated that the provisions on competition policy will be critical in dealing with state-owned enterprises (SOEs), particularly in addressing issues concerning their financing, regulation, and transparency, to ensure that they are not provided an unfair competitive advantage” (Fergusson et al 2015).
Overview reports on the TPP Agreement indicate a separate chapter on competition policy and law provisions and references to competition in some other chapters in the agreement. The major features of the competition policy chapter are as follows.
“TPP Parties share an interest in ensuring a framework of fair competition in the region through rules that require TPP Parties to maintain legal regimes that prohibit anticompetitive business conduct, as well as fraudulent and deceptive commercial activities that harm consumers.” |
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|--------------------------------|---------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|
| Asia Pacific Economic Cooperation (APEC) | 21 members: Australia, Brunei Darussalam, Canada, Chile, People’s Republic of China (PRC), Hong Kong China, Indonesia, Japan, Republic of Korea, Malaysia, Mexico, New Zealand, Papua | There are no formal competition law obligations but APEC has given important attention to competition policy and law almost from the beginning in 1989. Established in 1996, APEC’s Competition Policy and Law Group (CPLG):
(i) promotes an understanding of regional competition laws and policies,
(ii) examines the impact of competition policy and law on trade and investment flows,
(iii) identifies areas for technical cooperation and capacity building among member economies,
(iv) and maintains a Competition Policy and Law Database, which provides access to the various competition policies and laws that are in force within the 21 APEC member economies. |
---
1. TPP Parties agree to adopt or maintain national competition laws that proscribe anticompetitive business conduct and work to apply these laws to all commercial activities in their territories. To ensure that such laws are effectively implemented, TPP Parties agree to establish or maintain authorities responsible for the enforcement of national competition laws, and adopt or maintain laws or regulations that proscribe fraudulent and deceptive commercial activities that cause harm or potential harm to consumers. Parties also agree to cooperate, as appropriate, on matters of mutual interest related to competition activities.
The 12 Parties agree to obligations on due process and procedural fairness, as well as private rights of action for injury caused by a violation of a Party’s national competition law. In addition, TPP Parties agree to cooperate in the area of competition policy and competition law enforcement, including through notification, consultation and exchange of information. The chapter is not subject to the dispute settlement provisions of the TPP, but TPP Parties may consult on concerns related to the chapter.
It appears therefore that the competition obligations do not adopt the more formal EU regional rules and enforcement; but go beyond the relatively simple NAFTA model through the direct references to consumer protection, economy-wide coverage which would address the commercial activities of state-owned enterprises and designated monopolies (addressed in a separate chapter), private rights of action, procedural fairness in competition law enforcement, transparency, and technical cooperation. Other chapters include references to steps to promote competition in international mobile roaming services. These competition policy and related provisions on competition could be just as important and consequential for competition in the TPP member states as the competition law chapter described earlier.
One future development that could be a “game changer” for the TPP and for competition rules within RTAs is the possibility that the People’s Republic of China could join the TPP in the not-too-distant future. Media and academic reports indicate that China continues to be an active and at times controversial enforcer of its relatively new Anti-Monopoly Law (AML) which started to be enforced in August 2008 (see e.g. Ng 2015).
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|-------------------------------|---------------------|------------------------------------------------------------------------------------------------------------------|
| | New Guinea, Peru, The Philippines, Russia, Singapore, Chinese Taipei, Thailand, The United States, Viet Nam | As might be anticipated given U.S. participation in APEC, CPLG’s mandate reportedly does not include contingent trade protection and replacing antidumping, subsidy/countervail and safeguards with competition rules (Hoekman (2002:12). All 21 members except for Brunei reportedly now have functioning competition laws and authorities; many of these were established in the past decade or so including: PRC, Hong Kong, Malaysia, Papua New Guinea, the Philippines, Singapore and Vietnam. For many of these countries, in addition to domestic pressures, the combination of the more formal ASEAN obligations and the soft law, moral suasion, and information based approach of APEC can take some credit for the significant expansion in functioning competition regimes in the Asia Pacific region over the past ten years. |
| The Five “BRICS” Economies | Brazil, Russia, India, China and South Africa – South Africa joined in 2010 | The BRICS group of countries is an informal association of five emerging market economies which now meet annually for formal summits. The Brazil (BRICS) group of countries does not currently involve formal trade and commercial arrangements with competition policy and law obligations. However, media and other reports indicate that:
(i) the BRICS relationship could become more formal and comprehensive at some point in the future;
(ii) all five BRICS economies have functioning competition laws and authorities;
(iii) and are clearly becoming leaders among the developing and emerging market economies that are now participating in various global and regional competition policy and law institutions, forums and networks. The BRICS have held four conferences on competition policy and law; and these conferences are now held every two years. The conference in November 2013 held in New Delhi India focused on competition law enforcement in the BRICS economies. The most recent conference from November 11-13 2015 took place in Durban South Africa and its theme was “Competition and Inclusive Growth”. Some of the major topics included:
(i) “Behavioural Economics and Its Meaning for Antitrust Agency Decision Making” by Professor William Kovacic of George Washington University;
(ii) “Behavioral Screening” and “Collusion and cartels: successes and challenges” by Professor Joseph Harrington of the University of Pennsylvania;
(iii) “Unilateral effects in Mergers” and “Alliances and horizontal agreements” by Professor Tom Ross of the University of British Columbia;
(iv) “The use and misuse of economic evidence” by Jorge Padilla of Compass Lexicon Europe;
(v) “Perspectives on judging competition law cases: the role of economic evidence” by Professor Frederic Jenny (OECD);
(vi) “The economics of antitrust sanctioning” by Professor Yannis, Katsoulacos of Athens University of Economics and Business; |
| Regional Trade Agreement (RTA) | Member States (MS) | Formal and Informal Obligations of Member States (MS) under the RTA and Progress in Achieving Obligations and Objectives |
|-------------------------------|---------------------|------------------------------------------------------------------------------------------------------------------|
| | | (vii) “Two sides of the same coin – how can the BRICS countries use the interplay between Competition law and Intellectual Property Rights to spur economic development?” led by Nelly Sakata;
(viii) And other sessions on the interactions between competition and trade, competition and economic growth, competition and innovation, regional integration and competition policies, dealing with dynamic counterfactuals, and research and support for competition including the role of BRICs’ academic institutions. |
## Appendix B:
### Applying the Ten Questions in Sub-Section 4.2 to Proposals that the Southern Africa Development Community (SADC) Should Move Upscale and Adopt a Modified EU Model
| Question | Rating from Low: One to High: Five | Comments on the Rating |
|-------------------------------------------------------------------------|------------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------|
| 1. How many MS have functioning competition laws and authorities and practical experience with case selection, investigation, analysis, and sanctioning anticompetitive business arrangements and practices? | | 11 of 15 MS have functioning competition policies, laws and authorities with expanding enforcement and related experience — including with cross-border mergers and anticompetitive conduct. |
| 2. Are the larger MS with significant competition law experience fully supportive of the regional competition rules and authority – and therefore prepared to accept the perceived and actual loss of national sovereignty, independence and control over key markets and sectors? | | Little interest and support from South Africa and no apparent interest from other non-COMESA members – which appear to recognize and understand the South African concerns. |
| 3. How similar and different are the MS competition objectives, policies, laws, standards, functions and enforcement practices. And how much convergence would be needed to reduce these differences and make regional rules and authorities functional and effective in achieving national and regional competition, market integration, and other objectives? | | Organic convergence now taking place, differences in content of law, standards, enforcement practices and analytical methods are not substantive and consequential and are narrowing, and differences in SADC objectives of policies and laws are not large enough to represent major constraints to adopting a more centralized EU model. |
| 4. Can this degree of alignment and convergence be achieved in the short to medium term to allow the regional rules and authority to be established and appropriately tested, evaluated, and modified where required, and placed on a positive trajectory? | | Convergence and related trends in answering question three, and large and expanding number of MS with functioning competition laws and authorities, suggest that required convergence would take place in the medium term and would not be a major constraint to a more formal and centralized RTA regime based on a modified EU model. |
| 5. Is there sufficient market integration and cross-border trade within the region to generate the number and quality of cross-border | | Fairly low but with an upward trend as regional integration, trade, and investment flows expand with SADC economic growth and fuller |
| Question | Rating from Low: One to High: Five | Comments on the Rating |
|-------------------------------------------------------------------------|-----------------------------------|--------------------------------------------------------------------------------------------------------------------------------------------------------|
| and regional enforcement cases and related matters needed for the RCA | | implementation of the other provisions of the SADC agreements on trade, industrial policy, investment and other matters. |
| to develop experience, expertise, visibility, credibility and legitimacy among MS, CAS, businesses, and other stakeholders both within and outside the region? | | |
| 6. Is there reasonably strong empirical evidence that existing more informal bilateral and multilateral instruments between members have failed to deter, remedy and prevent some cross-border cartels, anticompetitive mergers, dominant positions, and other anticompetitive conduct? | | No strong empirical evidence to date but some recognition that this risk could increase in the future – in terms of both frequency and consequences for trade, investment flows, and competition with members states and the total SADC region. |
| 7. Has consensus developed on easy to understand and apply guidelines on the scope of regional versus national rules; and the allocation of cartel, merger and other enforcement and related matters between national and regional levels. In order to minimize conflicts between jurisdictions and promote transparency, certainty, compliance and enforcement across the region? | | Question 7 has been given minimal attention to date, consistent with answers to earlier questions. But underlying issues are recognized and discussed by some SADC MS competition authorities and other ministries and agencies. In general though, the perspective is that current more informal model is sufficient and functioning in a satisfactory manner |
| 8. Is the consensus on these guidelines and related issues on jurisdiction, enforcement practices and competencies, and extraterritorial application likely to be stable and sustained across MS, regional entities and other stakeholders? | | However, sources and author’s 2011 experience in SADAC suggest that consensus could be quite easily developed if political decision is made to adopt modified EU model. |
| 9. Are the regional competition rules and functions on offer expected to support and help to achieve the broader economic, social and institutional goals of the regional community and its members on broader socioeconomic goals and objectives? | | Links with broader socioeconomic goals and objectives given some attention by MS and the SADC Secretariat but not in the context of moving upscale to a more formal model with binding commitments and centralized enforcement. |
| 10. Are the human resource and leadership skills, and MS financial, political and other commitments, needed to sustain a regional | | Given the small budget allocated to the SADC competition and consumer policy and law budget which allows for only one contracted employee, this question is |
| Question | Rating from Low: One to High: Five | Comments on the Rating |
|------------------------------------------------------------------------|-----------------------------------|------------------------------------------------------------------------------------------------------------------------------------------------------|
| regime, available now and in the future? | | given the lowest rating and would be a significant risk if a political decision is made to adopt the more formal modified EU model. |
**Comments on the Possible Overall Rating:** Would depend on the weights given to individual questions but the importance of and low ratings given to several questions including 2, 5, and 6 to 10 suggest that the overall rating would be no more than two. The higher ratings for the other four questions and the comments on some other questions regarding future trends suggest that in theory the overall rating could improve in the years ahead but this would remain theoretical without stronger interest and support from the SADC MS leader, South Africa, from the other more experienced non-COMESA members, and from the major leaders in the SADC Secretariat, and stronger evidence from the COMESA experience that a more formal model generates much greater net benefits compared with the current SADC model that as of 2011 when the SADC study was completed was and likely still is considered to be satisfactory and sufficient.
**Sources:** Ireland (2012), *Enabling Environments* (2011) and Appendix A. As indicated in Appendix A, eight of the fifteen members of SADC are also members of COMESA. These eight members are: the Democratic Republic of the Congo, Madagascar, Malawi, Mauritius, Seychelles, Swaziland, Zambia and Zimbabwe; as well Tanzania is a member of the East African Community (EAC).
Based on the sources and the author’s SADC experience and discussions with the head of the COMESA Competition Commission, the effect of overlapping membership on SADC MS support for adopting a more formal and centralized EU regional competition rules is not known at this time and is contingent on a number of factors including: (i) the success of the more formal, comprehensive an centralized COMESA model; (ii) problems that may emerge in the future regarding the more informal SADC model; and, (iii) the progress and success of the COMESA-EAC-SADC Tripartite Free Trade Area Agreement that was signed in June 2015, which includes Annex 07 on Competition Policy and Consumer Protection.
This Annex has twelve separate articles on: (i) the importance of fair competition; (ii) prohibition of anti-competitive business behaviour; (iii) determination of a dominant position; (iv) abuse of a dominant position; (v) prohibited practices; (vi) mergers and acquisitions; (vii) consumer protection; (viii) sanctions; (ix) implementation; (x) cooperation and exchange of information; (xi) tripartite competition policy and consumer protection forum; and, (xii) cooperation between national and regional authorities for competition.
See e.g. http://www.sadc.int/news-events/news/comesa-eac-sadc-tripartite-free-trade-area-launched/ http://www.tralac.org/resources/by-region/comesa-eac-sadc-tripartite-fta.html and http://www.tralac.org/images/Resources/Tripartite_FTA/TFTA%20Annex%2007%20Competition%20Revised%20Dec%202010.pdf
Endnotes
1 In this regard, RTA, competition and other scholars and practitioners should monitor the progress, achievements and possible limitations of MoU on Inter Regional Cooperation and Integration between the COMESA, EAC and SADC signed in 2011 which addresses enhanced cooperation and stronger coordination of competition policies in Article 5 – see: www.atf.org.nal/cms_documents/d22-tripartitetripartitemousignedversion.pdf
2 See Appendix B for a preliminary effort to apply the ten questions to the information collected and analysis conducted by the author in 2011 when conducting the EU TradeCom/Enabling Environments (2011) consulting assignment.
3 Throughout this paper and appendix, the term functioning or functional competition law and authority is used in the broad sense of some evidence of enforcement capability, action, progress, performance and success.
4 For example, the Canada-Chile Free Trade Agreement of August 28 2013 has Chapter J on competition, monopolies and state enterprises, which has the quite standard provisions and obligations on competition law, as follows:
“i. Each Party shall adopt or maintain measures to proscribe anti-competitive business conduct and take appropriate action with respect thereto as such measures will enhance the fulfillment of the objectives of this Agreement.
ii. Each Party recognises the importance of cooperation and coordination among their authorities to further effective competition law enforcement in the free trade area. The Parties shall cooperate on issues of competition law enforcement policy, including mutual legal assistance, notification, consultation and exchange of information relating to the enforcement of competition laws/policies in FTA.
iii. Neither Party may have recourse to dispute settlement under this Agreement for any matter arising under this Article.”
See Global Affairs Canada 2015 http://www.international.gc.ca/trade-agreements-acords-commerciaux/agr-acc/chile-chili/chap-j26.aspx?lang=en
See as well Global Affairs Canada on the Canada-European Comprehensive Economic and Trade Agreement (CETA) at http://www.international.gc.ca/trade-agreements-acords-commerciaux/agr-acc/ceta-aecg/index.aspx?lang=eng – which includes Chapter 19 which has more extensive and detailed competition policy and law obligations compared with the NAFTA competition chapter discussed earlier.
5 As noted earlier, throughout this paper and appendix, the term functioning or functional competition law and authority is used in the broad sense of some evidence of enforcement capability, action, progress, performance and success.
6 See for example The East African “East African Community to set up authority to push for free, fair trade” June 1 2015 https://asokoinsight.com/news/east-african-community-to-set-up-authority-to-push-for-free-fair-trade/
7 MoU on Inter Regional Cooperation and Integration Amongst COMESA, EAC and SADC, available at: http://www.tralac.org/wp-content/blogs.dir/12/files/2011/uploads/MoU_Inter_RegionalCooperationIntegration_19_01_2011.pdf
8 See as well Economy & Politics “Antitrust and Competition Laws and Regulations in Nigeria” Monday 02, November 215 http://www.economyandpoliticsng.com/articles/2816/-Proshare – similar arguments could be made for Ghana which is another larger and more important African country with currently does not have a fully functioning competition law and authority (see e.g. Ellis et al 2010).
9 See e.g. Edwin Vanderbruggen, Nishant Choudhary, and Chris Sheridan (2015) “Myanmar’s New Competition Law: A Pitbull or a Paper Tiger?” VDB/Loi Client Briefing Note –March 08, 2015 indicating Myanmar’s new competition law is based on Viet Nam’s 2004 competition law http://www.vdb-loi.com/wp-content/uploads/2015/03/VDB-Loi_Client-Briefing-Note_Myanmar-Competition-Law-Pitbull-or-Paper-Tiger_8Mar2015.pdf
More recent media reports indicate that the Myanmar competition will become fully operational in February 2017 after more than a year of competition policy/law education and advocacy directed at the business community and other stakeholder groups.
10 Office of the United States Trade Representative “Summary of the Trans-Pacific Partnership Agreement” October 2015 https://ustr.gov/about-us/policy-offices/press-office/press-releases/2015/october/summary-trans-pacific-partnership
References
As noted in the introduction to this paper, the author has attempted to bring together the very rich literature on RTA competition rules regimes, systems and outcomes with his personal experience and research on competition policy and law modernization and related regulatory reform initiatives within multi-country regional and global market contexts. For purposes of brevity and readability, specific references and citations are not provided in the main text. The following lists the articles, papers and studies that were reviewed when preparing this paper and had the greatest influence on its contents and arguments. The listing includes as well some of the author’s studies, articles and conference presentations.
Angwenyi, Vincent N. (2013) Competition Law and Regional Integration: The Common Market for Eastern and Southern Africa (COMESA) Munich Intellectual Property Law Center (MIPLC) MIPLC Master Thesis (2012/13) http://www.miplc.de/research/ Available at SSRN: http://ssrn.com/abstract=2406825
ASEAN (2013) Handbook on Competition Policy and Law in ASEAN for Business 2013 The ASEAN Secretariat Jakarta Indonesia
Aydin Umut (2015) “Making Competition Policy Work in Mexico” Instituto de Ciencia Política Pontificia Universidad Católica de Chile Avenida Vicuña Mackenna 4680 Macul, Santiago; Presented at Knowledge Session I at the CUTS/CIRC 4th Biennial Competition Conference In Nairobi Kenya December 12 -13 2015 This Version December 3 2015
Bakhoum Mor and Julia Molestina (2011) “Institutional Coherence And Effectivity Of A Regional Competition Policy: The Case Of The West African Economic And Monetary Union (WAEMU)” Max Planck Institute for Intellectual Property and Competition Law Research Paper No. 11-17
Beckford Delroy S. (2009) “Enforcement of Competition Law in CARICOM: Perspectives on Domestic, Regional, and Multilateral Obligations” http://www.samuelbeckford.com/wp-content/uploads/2012/05/ENFORCEMENT-OF-COMETITION-LAW-IN-CARICOM-WILJ.pdf
Beneke Francisco (2015) “The Adoption of Modern Competition Policies in Latin America – Part II: South America” Developing World Antitrust 7 July 2015 http://developingworldantitrust.com/2015/07/07/the-adoption-of-modern-competition-policies-in-latin-america-part-ii-south-america/
Berkowitz Daniel, Katharina Pistor and Jean-Francois Richard (1999) “Economic Development, Legality and the Transplant Effect” Working Paper (Available on the Internet) November 1999
Berkowitz Daniel, Katharina Pistor and Jean-Francois Richard (2003) “The Transplant Effect” The American Journal of Comparative Law 51(1):163-203
Banks Ted and Joe Murphy (2012) “The International Law of Antitrust Compliance” Denver Journal of International Law and Policy 2011-2012 40th Anniversary Edition
Botta Marco (2011) “The Role of Competition Policy in the Latin American Regional Integration: A Comparative Analysis of CARICOM, Andean Community and Mercosur” EUI Italy IX Annual Conference of the Euro-Latin Study Network on Integration and Trade (Elsnit) Revisiting Regionalism Appenzel Switzerland October 21-22, 2011
CARICOM Competition Commission (CCC 2013) Implementation of Competition Provisions in the Revised Treaty of Chaguaramas Challenges Faced by the CCC as A Supranational Agency http://www.oecd.org/competition/latinamerica/SII-CCC.pdf
Cheng Thomas K. (2012) “Convergence and Its Discontents: A Reconsideration of the Merits of Convergence of Global Competition Law” University of Hong Kong Faculty of Law Research Paper No. 2012/003
Coulson Harney and Slaughter and May (2013) “COMESA: A Competition Regime for the Common Market for Eastern and Southern Africa”
Crawford, James E. (1997) “The Harmonization of Law and Mexican Antitrust: Cooperation or Resistance?,” Indiana Journal of Global Legal Studies Vol. 4: Iss. 2, Article 6
Drexl Josef, Mor Bakhoum, Eleanor M. Fox, Michal S. Gal and David J. Gerber Editors (2012) Competition Policy and Regional Integration in Developing Countries Edward Elgar, Cheltenham UK and Northampton MA USA
Ellis Karen and Rohit Singh (2010) Assessing the Economic Impact of Competition Overseas Development Institute July 2010 Assessing and Comparing Competition in Four Product Markets: Sugar, Cement, Beer, and Mobile Telephony in Five Countries: Kenya, Zambia, Ghana, Viet Nam and Bangladesh
Ellis Karen, Rohit Singh, Peter Quartey and Elvis Agyare-Boakye (2010) Assessing the Economic Impact of Competition: Findings from Ghana Overseas Development Institute July 2010
Enabling Environments (2011) Technical Assistance to the SAD Secretariat to Enhance Regional Integration and Harmonization of Competition and Consumer Policy in the SADC Member States Prepared for the SADC Secretariat and the TradeCom Facility European Union December 2011
Ezrachi Ariel (2015) “Sponge” The University of Oxford Centre for Competition Law and Policy www.competition-law.ox.ac.uk Working Paper CCLP (L) 42 http://papers.ssrn.com/sol3/papers.cfm?abstract_id=2572028
Evenett Simon J. (2015) “Competition law and the economic characteristics of developing countries” Chapter 1 in The Economic Characteristics of Developing Jurisdictions: Their Implications for Competition Law Edited by Michal S. Gal, Mor Bakhoum, Josef Drexl, Eleanor M. Fox and David J. Gerber, Edward Elgar Publishing
Feiock Richard C. (2007) “Rational Choice and Regional Governance” Journal of Urban Affairs, Volume 29, Number 1, pages 47–63
Fergusson Ian F., Mark A. McMinimy, and Brock R. Williams (2015) “The Trans-Pacific Partnership (TPP) Negotiations and Issues for Congress” Congressional Research Service March 20, 2015
Ferreira Richard Moss (2005) “Regional Cooperation Agreement and Competition Policy — The Case of Andean Community” Chapter XI in Multilateralism and Regionalism United Nations Conference on Trade and Development
Fingleton John (2009) “Competition agencies and global markets: the challenges ahead” Chief Executive, Office of Fair Trading 5 June 2009
Fox Eleanor M. (2007) “Economic Development, Poverty and Antitrust: The Other Path” New York University of Law: Public Law and Legal Theory Research Paper Series, Working Paper No. 57
Fox Eleanor M. (2012) “Competition, Development and Regional Integration: In Search of a Competition Law Fit for Developing Countries” NYU Center for Law, Economics and Organization, Law & Economics Research Paper Series Working Paper No. 11-04 October 2012
Fox Eleanor M. (2013) “Competition and Poverty Reduction” Organization for Economic Co-operation and Development Directorate for Financial and Enterprise Affairs Competition Committee Global Forum on Competition Session I February 14 2013
Gal, Michal S. (2001) “Size Does Matter: The Effects of Market Size on Optimal Competition Policy” Southern California Law Review Vol. 74: 1437-1478
Gal, Michal S. (2009) “Regional Competition Law Agreements: An Important Step for Antitrust Enforcement” New York University School of Law New York University Law and Economics Working Papers
Gal, Michal S. (2012) “International Antitrust Solutions: Discrete Steps or Causally Linked?” Essay” 10/13 2012
Gal Michal S. and Eleanor M. Fox (2014) “Drafting competition law for developing jurisdictions: learning from experience” New York University Law and Economics Working Papers 4-2014
Gal Michal S. and Mor Bakhoum (2015) “Introduction” in The Economic Characteristics of Developing Jurisdictions: Their Implications for Competition Law Edited by Michal S. Gal, Mor Bakhoum, Josef Drexl, Eleanor M. Fox and David J. Gerber, Edward Elgar Publishing
Gal, Michal S. and Inbal Faibish Wassmer (2012) “Regional Agreements of Developing Jurisdictions:
Unleashing the Potential” January 2012 Forthcoming in Competition Policy and Regional Integration in Developing Countries, Mor Bakhoum, Josef Drexl, Michal Gal, David Gerber, Eleanor Fox eds.
Gerber David J. (2012) “Regionalization, Development and Competition Law: Exploring the Political Dimension” in *Competition Policy and Regional Integration in Developing Countries*, Mor Bakhoum, Josef Drexl, Michal Gal, David Gerber, Eleanor Fox eds.
Guzman Andrew T. (1998) “Is International Antitrust Possible” *New York University Law Review* 73 (November 1998) 1501-1548
Guzman Andrew T. (2004) “The Case for International Antitrust”, *Berkeley Journal of International Law* 22(3): 355-374
Hoekman Bernard (2002) *Competition Policy and Preferential Trade Agreements* World Bank and Center for Economic Policy Research
Hollman Hugh M. and William E. Kovacic (2011) “The International Competition Network: Its Past, Current, and Future Role” The George Washington University Law School Public Law and Legal Theory Paper No. 595 Legal Studies Research Paper No. 595 Accepted Paper 20 Minnesota Journal of International Law 274
International Competition Network (ICN 2009) “Competition Law in Small Economies” Special Project for the 8th Annual Conference Prepared by Swiss Competition Commission and Israel Antitrust Authority
Ireland, Derek (2008a) “The Agenda for Competition Policy and Law in India”, Article published as an Internet Article by CUTS International/CCIER, Jaipur India 2009 http://www.cuts-ccier.org/pdf/Towards_a_Longer-term_Agenda_for_CPL_in_India.pdf
Ireland Derek (2008b) *India’s Competition Regimes and Informal Business Institutions: Interaction, Conflict and Accommodation* PhD Dissertation, School of Public Policy Carleton University, Ottawa Canada December 2008
Ireland Derek (2009) “Merger Regulation in Developing Economies” in Dr. Madhav Mehra Editor *Competition Law: An Instrument for Inclusive Growth* New Delhi: International Academy of Law pp. 139-149
Ireland Derek J. (2011a) *Business Groups and Competition Policy and Law: Some Conjecture and Theory But So Little Evidence and Practical Experience* Working Paper Presented to the Canadian Law and Economics Association Annual Meeting on September 23-24 2011 (forthcoming in the Journal: *Developing World Review on Trade & Competition*)
Ireland Derek (2011b) “Competition Policy and Law in Asia’s Emerging Markets: Similar Goals, Objectives and Content but Different Priorities, Approaches, and Decisions?” Working Paper for the For the CASA Conference 2010 Ottawa October 28-31. Current Version Completed in March 2011
Ireland Derek J. (2012) “Major Findings and Lessons from the TradeCom Facility/SADC Technical Assistance on the Design and Enforcement of Competition Policy and Law in the SADC Region” October 2012 (Available from the author)
Ireland Derek and Gernot Kofler (2012) *Behavioral Economics and Competition Policy and Law in Emerging Market Economies* Working Paper Presented at the Canada Law
and Economics Association Conference in Toronto Canada, September 28-29 2012
Current version completed in June 2013
Ireland Derek and Steve Szentesi (2012) “Issues Note on the Potential for a Duopoly or Three-Firm Oligopoly to Provide Reasonably Competitive Outcomes for Consumers”
Revised October 2012
Kaczorowska Alina (2012) “The Objectives of the Competition Policy of the CARICOM Single Market and Economy and Their Importance to the Development of a Coherent and Comprehensive Body of Substantive CSME Competition Rules”
Competition Law Review Volume 8 Issue 2 pp 185-207 July 2012
Khandelwal Padamja (2004) “COMESA and SADC: Prospects and Challenges for Regional Trade Integration” IMF Working Paper Policy Development and Review Department WP/04/227 December 2004
Khemani, R. Shyam (2002), “Application of Competition Law: Exemptions and Exceptions”, United Nations Conference on Trade and Development
Khemani, R. Shyam (2007) “Competition Policy and Promotion of Investment, Economic Growth and Poverty Alleviation in Least Developed Countries” Occasional Paper 19, World Bank
Kovacic William E. (2001) “Institutional Foundations for Economic Legal Reform in Transition Economies: The Case of Competition Policy and Antitrust Enforcement”
Chicago-Kent Law Review 77(263): 265-315
Lee Cassey and Yoshifumi Fukunaga (2013) “ASEAN Regional Cooperation on Competition Policy” Economic Research Institute for ASEAN and East Asia ERIA Discussion Paper Series ERIA-DP-2013-03 April 2013
Lieberherr Eva (2009) “Policy Relevance of New Institutional Economics?” Discussion paper series on the Coherence between institutions and technologies in infrastructures WP0906 Ecole Polytechnique Fédérale de Lausanne
Lodge, Martin (2005) “The importance of being modern: international benchmarking and national regulatory innovation” Journal of European Public Policy 12(4): 649 - 667
Maher Imelda (2002) “Competition Law in the International Domain” Journal of Law and Society 29(1) March 2002 111-136
Mathis James H. and Kamala Dawar (2008) “Is There Potential For Competition Policy in the ECOWAS?” FdR: Amsterdam Center for International Law (ACIL)
Marquis Mel (2015) “Idea Merchants and Paradigm Peddlers in Global Antitrust”
Global Business & Development Law Journal 28(2)
Ng Wendy (2015) “Competition and sustainable development in China” Lecturer, Adelaide Law School, The University of Adelaide; Presented at Knowledge Session I at the CUTS/CIRC 4th Biennial Competition Conference in Nairobi Kenya December 12-13 2015
Nicholson Michael W., D. Daniel Sokol and Kyle W. Stiegert (2006) “Technical Assistance for Law and Economics: An Empirical Analysis in Antitrust/Competition Policy” University of Wisconsin Law School Legal Studies Research Paper Series Paper No. 1025 November 2006
Odion J.O. (2015) “Competition Law as a Platform for Consumer Protection: A Nigerian Perspective” New Media and Mass Communication Vol. 33 pp. 23-35
Organization for Economic Cooperation and Development (OECD 2012) Follow-up to the Nine Peer Reviews of Competition Law and Policy of Latin American Countries Prepared with the Inter-American Development Bank (IDB)
http://www.oecd.org/daf/competition/2012Follow-upNinePeer%20Review_en.pdf
Ostrom, Elinor (1994) “Neither Market nor State: Governance of Common-Pool Resources in the 21st Century” International Food Policy Research Institute (IFPRI) Lecture Series No. 2 Presented June 2 1994 Washington D.C.
Ostrom, Elinor (2009) “Beyond Markets and States: Polycentric Governance of Complex Economic Systems” Nobel Prize Lecture December 8, 2009. Workshop in Political Theory and Policy Analysis, Indiana University, Bloomington, IN 47408, and Center for the Study of Institutional Diversity, Arizona State University, Tempe, AZ, U.S.A.
Pal Leslie A. and Derek Ireland (2009) “The Public Sector Reform Movement: Mapping the Global Policy Network” International Journal of Public Administration 32 (May 2009) 621-657 School of Public Policy and Administration, Carleton University, Ottawa, Ontario, Canada
Reddy Mahendra (2013) “Competition Policy and Principled Approach to Regulation in Small Economies: Some Challenges and Impediments” Fiji National University, College of Business, Hospitality and Tourism Studies Working Paper Series No. 06/13 Chairman: Fiji Commerce Commission June 2013 http://www.fnu.ac.fj/new/images/CBHTS/Working_Paper/2013/wps_06_13_competition_policy.pdf
Roberts Simon and Javier Tapia (2013) “Abuses of Dominance in Developing Countries: A View from the South with an Eye on Telecoms” Centre for Law, Economics and Society, Faculty of Laws UCL, CLES Working Paper Series 1/2013 January 2013
Rudman Desmond and Robert Wilson (2013) “COMESA – A New Regional Competition Law Regime for Eastern and Southern Africa” Webber Wentzel in alliance with Linklaters Article recently published in The European Journal of Competition Law & Practice, 2013, Vol, 4, no.4
SADC (2013) “Contribution by SADC” Intergovernmental Group of Experts on Competition Law and Policy Geneva, 8-10 July 2013 Roundtable on: Modalities and Procedures for International Cooperation in Competition Cases Involving more than one Country”
Senona Londiwe, Tsholofelo Letsike, and Constance Jiki (2013) “A SADC Sheriff to police anti-competitive behaviour – is it the way to go, or not?”
Shahi Gautam (2007) “Effects Doctrine: Evolution and Execution” Prepared for the Competition Commission of India March 8 2007
Singham Gerald and Soumya Hariharan (2012) “Competition Laws In ASEAN: A South-East Asian Perspective” Rodyk and Davidson LLP December 2012
Sokol D. Daniel (2007) “Order without (Enforceable) Law: Why Countries Enter into Non-Enforceable Competition Policy Chapters in Free Trade Agreements” School of Law University of Missouri – Columbia Legal Studies Research Paper Series Research Paper No. 2007-13, Chicago-Kent Law Review, Vol. 83, (forthcoming)
Sokol D. Daniel and Kyle W. Stiegert (2009) “Exporting Knowledge Through Technical Assistance and Capacity Building” Journal of Competition Law & Economics 6(2):233-251
Staples Jessica (2012) “Breaking Borders: Competition Law Developments in Africa” October 9 2012
Stewart Taimoon (2004) “An Empirical Examination of Competition Issues in Selected CARICOM Countries: Towards Policy Formulation” Sir Arthur Lewis Institute of Social and Economic Studies February 2004
Stewart Taimoon, Julian Clarke and Susan Joekes (2007) Competition Law in Action: Experience from Developing Countries Ottawa Canada: International Development Research Centre (IDRC)
Tapia Javier (2015) “The Need for Compliance & Ethics in Latin America” Chilean Competition Tribunal CPI Antitrust Journal June 2015(2)
Tavares de Araujo Jr. José (2011) “Toward a Common Competition Policy in Mercosur” Note prepared for the conference on “Competition Policy in Infrastructure Services: Second Generation Issues in the Reform of Public Services” organized by the Infrastructure and Financial Markets Division and the Multilateral Investment Fund of the Inter-American Development Bank, Washington, D.C., April 23-24, 2001
The Antitrust Source (2014) “Interview with George Lipimile, Director of the COMESA Competition Commission” June 2014
Vhumbunu Clayton Hazvinei (2015) “Facilitating Equitable Regional Integration through Competition Policy and Regulatory Reforms: Key Priorities for African Developing and Least Developed Countries in the Post-2015 Agenda” Paper Presented to the CUTS International/CIR 4th Biennial Competition Conference on the Relevance of Competition and Regulatory Reforms in the post-2015 Development Agenda in Developing Countries: Kenya, Nairobi; 12-13 December 2015.
Weick Daniel P. (2010) “Competition Law and Policy in Senegal: A Cautionary Tale for Regional Integration?” World Competition Law and Economics Review 33(3): 521–540
Williamson, Oliver E. (2010) “Transaction Cost Economics: The Natural Progression” American Economic Review 100 (June 2010): 673–690
Wisuttisak Pornchai and Nguyen Ba Binh (2012) “ASEAN Competition Law and Policy: Toward Trade Liberalization and Regional Market Integration” ICIRD 2012
World Bank (2015) World Development Report 2015: Mind Society and Behavior
World Bank Group A World Bank Group Flagship Report
Abstract
It is widely recognised that the ongoing globalisation is considerably driven by trade and investment liberalisation. The lowering of trade and investment barriers,¹ and increased market access coupled with advances in international communication (including digital networks), transportation, finance, trade facilitation and knowledge-based services have led to increasingly interdependent economies in a global marketplace. Trade flows have grown in an unprecedented way alongside a sharp increase in foreign investment.²
In an environment where firms are increasingly organising their operations on a global scale and commerce is getting internationalised,³ firms are more exposed to the regulatory systems (including competition law and policy) and business practices of different countries. Trade policy is not sufficient, on its own, to deal with the frictions that may result. Therefore, increasingly, trade agreements are being used to push for domestic regulatory liberalisation related to investment, competition and other key regulatory areas.
The international community has tried and tested various approaches to effectively tackle competition issues with a global dimension. They
include efforts to achieve a multilateral agreement within WTO, incorporating competition provisions within free trade agreements (FTAs), signing agency-to-agency bilateral agreements and informal cooperation between competition agencies.
This paper examines role of competition provisions within the framework of regional trade agreements (RTAs) and their effectiveness for cooperation. It draws on the existing research, discussions with scholars, practitioners and colleagues and personal experience of handling international competition cooperation and regional trade negotiations.\(^4\)
**Link between Trade Liberalisation and Competition Policy**
Trade and competition policy have a complementary relationship as both aim to improve efficiency of resource allocation, promote growth and enhance welfare, by keeping markets open and accessible whether it is by lowering governmental barriers to trade or through lowering barriers to competition. Consequently, both policies can be strongly pro-competitive\(^5\) and pro-consumer, notwithstanding that one deals with government action at the border, the other with private action behind the border. Not surprisingly, it was during the period of increased liberalisation in the 1980s and 1990s that many countries enacted competition laws to ensure that the process of liberalisation leads to a more pro-competitive economic environment. Competition law and policy\(^6\) provide essential tools for countering cartels, abuses of dominant position, and anticompetitive mergers that limit competition, impede development and thereby reduce economic welfare in developed and developing economies alike.\(^7\)
Trade liberalisation can be a powerful tool for enhancing competition in many contexts.\(^8\) On the other hand, as state barriers to trade and investment are being lowered, there are increasing concerns that the gains from this liberalisation may be thwarted by cross border private anticompetitive practices. This is because with the increasing integration of the world economy through trade liberalisation and expansion of foreign direct investment (FDI), abuse of market power has transcended national borders and acquired trans-border dimension affecting several nations.
Activities, such as international cartels and anticompetitive mergers pose a serious challenge to global welfare by curtailing potential trade and investment opportunities. It is critical for harnessing benefits of trade and investment liberalisation that such anticompetitive practices may be
checked through competition law and policy. The policy is also vital to ensure that international trade and global value chains operate in ways that are inclusive and open with respect to participation by all competitive suppliers\(^9\) (Perez Motta, 2016).
**Need for International Cooperation**
Globalisation has specific implications for competition law and policy. Alongside the growth in international trade and FDI, the number of cross-border mergers\(^{10}\) and competition cases with a global dimension\(^{11}\) (beyond the national jurisdiction)\(^{12}\) has risen substantially. A purely domestic focus on competition policy is therefore no longer sufficient. The international nature of anticompetitive conduct opposed to the national jurisdiction of competition agencies implies a pressing need for international cooperation to effectively deal with the transnational competition law violations.
In the past two decades, competition law has gone global with its remarkable proliferation around the world.\(^{13}\) This implies that as business increasingly globalises, same transaction or conduct may be subject to overlapping scrutiny by multiple competition authorities.\(^{14}\) Consequently, this may lead to multiplication of costs for business and public exchequers, possible conflicting outcomes (including divergent remedies) and in some cases ineffective enforcement.\(^{15}\)
This can have a chilling effect on legitimate business activity or (less likely) a freeing effect on harmful business activity with potential to impose additional costs on the global economy, and harm the consumers. Further, as more authorities\(^{16}\) become more active in enforcement regarding global activity, lack of effective cooperation would increase the risk of application of substantive rules differently by various competition authorities over time. This implies a need for greater coordination of enforcement standards and remedies in competition law cases with transnational effects.\(^{17}\)
Capobianco et al. (2016) observe that the purpose of international enforcement cooperation is twofold. Cooperation offers authorities the opportunity for more effective investigations and to generate efficiencies, for the authorities and affected businesses. Secondly, cooperation aims at minimising risks of divergent outcomes.
The evidence suggests that developing countries should also actively work for international cooperation in competition policy as a large share of competition problems of most developing countries emanates from the international sources such as import distribution monopolies and cartels; the influence of dominant firms based in other countries, including
neighbours; overseas export cartels; and regional market sharing.\textsuperscript{18} This speaks of the great untapped potential in terms of North-South as well as South-South cooperation in competition policy enforcement.
**Competition Provisions in Trade Agreements**
Regional integration is increasingly being recognised as an important means for promoting economic growth and reducing poverty and globally, FTAs have become a key instrument to achieve it. This is why; there has been phenomenon growth in FTAs in number and importance since the early 1990s. As effective trade liberalisation requires more than just a reduction of tariffs; FTAs are increasingly being used to address a host of behind-the-border domestic regulatory issues such as investment, competition, government procurement, environment and labour and human rights that may impact foreign trade.\textsuperscript{19}
Although, most countries agree on strong relationship between trade and competition, they diverge on the merits, potential modalities, and even the necessity of adopting a multilateral competition framework.\textsuperscript{20} Therefore, competition is no more on the multilateral agenda\textsuperscript{21} and global attention has shifted to regional trade agreements.\textsuperscript{22} Increasingly, competition provisions are being incorporated in negotiations for WTO-plus bilateral, sub-regional, and hemispheric agreements.
In a recent mapping exercise, Laprevote et al. (2015) found that out of 216 FTAs\textsuperscript{23} reviewed by them, a substantial majority (88 percent) address competition-related issues in one form or another. This trend extends to FTAs concluded by developing countries, 87 percent of which included competition-specific chapters or provisions. The ongoing negotiations in the framework of the Trans-Pacific Partnership (TPP) and the Transatlantic Trade and Investment Partnership (TTIP) further illustrate the continuing importance of competition policy considerations in the context of modern trade negotiations and policy formulation (Anderson and Muller 2015).\textsuperscript{24}
**Why Competition Provisions in Trade Agreements?**
The question arises why competition related provisions are increasingly being incorporated in trade agreements. A most often quoted objective is to ensure that the benefits of trade and investment liberalisation are not compromised by cross-border anti-competitive practices. Competition chapters in FTAs are considered to be useful to act as a catalyst to bolster domestic support for competition policy (including adoption of competition law and its enforcement) in developing countries that domestic
interest groups otherwise might resist. They are also aimed at fostering cooperation in the area of competition enforcement to curb anticompetitive practices.
Further, new generation agreements focus more on economic integration than reduction of tariffs for which competition provisions are necessary structures.\textsuperscript{25} Competition provisions in FTAs are also incorporated to create region-wide competition policies and institutions that seek greater levels of integration including, in the limit, forming common markets or economic and political unions.\textsuperscript{26}
Further, Laprevote et al (2015) find that a limited proportion of the FTAs that contain competition-related provisions (6 percent) expressly describe the goal of these provisions in terms of broader economic objectives such as “economic efficiency and consumer welfare,” or “economic and social development”.
Competition provisions have been used by developed countries such as EU and the US to advance their trade interests. The literature suggests that the inclusion of competition provisions in trade agreements may be potentially beneficial for developing countries also as they are particularly vulnerable to intra-regional anticompetitive practices such as international cartels.
**Key Provisions in Competition Chapters**
Literature review indicates that competition policy provisions in trade agreements can be of two types: a) those incorporated in chapters concerning state aid and enterprises, procurement, investment, intellectual property and also in terms of the core principles governing the RTA as a whole, such as transparency, non-discrimination and due process; and b) those covered as special chapter on competition policy. This section focusses on the provisions in the specific chapter on competition policy.
Diversity, it would seem, is the dominant attribute of provisions on competition law and policy\textsuperscript{27} in trade agreements. Solano and Sennekamp (2006) find that FTAs take different approaches as to substantive competition rules and setting up of mechanisms on competition-related matters. Laprévote et al. (2015) also observe significant formal and linguistic differences between various approaches to addressing competition-related issues. They find competition provisions in FTAs ranging from ambiguous obligations through to deep commitments. At one end of the spectrum, there are provisions that lay out, in very broad terms, the obligation of promoting competition without further elaboration.
At the other end, FTA obligations are more clearly defined and involve detailed provisions relating to addressing anticompetitive practices and promoting cooperation amongst the parties. Further, Cernat (2005) noted that there are two sets of competition provisions that can be found in FTAs: provisions that provide for harmonisation of competition rules of the contracting parties such as EU bilateral FTAs, and/or provisions that provide for cooperation on competition-related issues such as bilateral RTAs signed by the US and Canada.
A review of relevant literature\(^{28}\) indicates that broadly, competition provisions in FTAs cover a range of issues as briefly discussed below:
**i) Adopting and maintaining competition laws**
This category of provisions is particularly broad and diverse. While some FTAs contain rather vague obligations to adopt ‘measures’ or ‘laws’ against anticompetitive practices, many others define the anticompetitive practices to be regulated and/or the measures to be implemented to that effect, although the level of detail may vary. These practices cover (i) anticompetitive agreements, (ii) abuses of market power, and (iii) anticompetitive mergers.\(^{29}\)
**ii) Competition enforcement principles**
Laprevote et al. (2015) note that only around 26 percent of FTAs\(^{30}\) require the parties to enforce their competition laws in a transparent and non-discriminatory way and/or to ensure procedural fairness.\(^{31}\) Mostly, they are supplemented by principles of procedural fairness, or, more rarely, timeliness, and comprehensiveness. By contrast, provisions requiring that the parties’ competition authority be independent are rare (two percent). There may also be special and differential treatment (S&DT) provisions in case of FTA parties being at different stages of competition development.
**iii) Regulating designated monopolies, state-owned enterprises and State aid**
One of the most common provisions\(^{32}\) aims to address trade distortions and concerns over competitive neutrality resulting due to designated monopolies and state owned enterprises. While recognising the parties’ prerogative to establish and maintain such enterprises, these provisions aim to level the playing field to the extent practicable and display substantial variations in scope and language. Around 41 percent of the FTAs\(^{33}\) contain provisions concerning the regulation of subsidies or state aid with varying levels of scope; and obligations.
iv) Competition-specific exemptions
Some FTAs allow the parties to either (i) implement competition-specific exceptions and exemptions provided they are transparent, undertaken on the grounds of ‘public policy or interest’ or being ‘no broader than necessary’ to achieve ‘legitimate policy objectives’; and/or (ii) to carve out specific sectors that are already exempted from their domestic competition laws.
v) Cooperation and coordination on competition
Provisions on cooperation and coordination encompass a wide array of mechanisms, ranging from mutual legal and technical assistance, to notification, consultation, and exchange of information.\(^{34}\) Mutual legal and technical assistance\(^{35}\) may include assistance for ‘the provision of independent experts’ and for ‘training for key personnel,’ and help in drafting guidelines, manuals and, where necessary, legislation. Notification refers to duty to inform the other party of any enforcement activity that could affect the important interests of the other party. Consultation provide for the parties to consult with each other to eliminate particular anticompetitive practices affecting trade or investment amongst the parties. Exchange of information is typically limited to non-confidential and/or public information.\(^{36}\) Several FTAs now also contain provisions on positive and/or negative comity, in which the parties agree to cooperate on a reciprocal basis in implementing mechanisms for competition law enforcement.\(^{37}\)
vi) Recourse to Trade Remedies
The overwhelming majority of FTAs\(^{38}\) allow the parties to resort to trade defences in one form or another (i.e. anti-dumping, anti-subsidy, and safeguard instruments), either by means of specific provisions or by reference to the corresponding General Agreement on Tariffs and Trade (GATT) rules.\(^{39}\)
vii) Dispute Settlement
Competition provisions in FTAs have mostly been expressly exempt from the dispute settlement mechanism\(^{40}\) of these FTAs.\(^{41}\) In effect, the lack of dispute settlement has created soft law within the guise of a hard law agreement. Laprevote et al (2015) find that 47 percent of the FTAs in their sample set up competition-specific dispute settlement mechanisms, which usually take the form of consultation procedures. They oblige the parties, either by default or upon another party’s request, to consult with
each other to settle competition-related disputes, sometimes within a specific committee or in an inter-agency setting. At the deeper end of obligations, dispute resolution or consultation mechanisms could be provided for, or the creation of a supra-national authority that can apply competition law directly on private entities within the FTA (such as the EU, COMESA, CARICOM, the Andean Community, and Mercosur).\textsuperscript{42}
Laprevote et al. (2015) found that the 190 FTAs that refer to competition policy in one way or other display numerous combinations of these provisions, with only one (European Union [EU]-Republic of Korea) including all of them. Thus, the provisions listed above are not cumulatively perceived by the contracting parties as indispensable components of a pro-competitive FTA\textsuperscript{43}. Anderson and Evenett (2006) observe that the competition chapters of some RTAs appear to be as advanced, if not more advanced, in their provisions to foster cooperation between competition agencies on enforcement matters as second-generation inter-agency agreements between competition authorities. Relatedly, it is worth noting that the competition elements in many recent FTAs go well beyond the degree of cooperation that was envisioned in the proposals for a multilateral framework on competition policy in the WTO.
**Indian Scenario**
India is still relatively less globally integrated and not an effective part of the global supply chains. Further, India does not want to be an island in the sea of ever-rising regionalism and suffer disadvantages for not being a part of the trend. Hence, India has been actively participating in FTAs and the Regional Comprehensive Economic Partnership (RCEP),\textsuperscript{44} which is being presently negotiated.
India has been enforcing a modern competition regime since 2009. However, India is a late entrant to the specific competition provisions in its FTAs\textsuperscript{45} as they were not included in its earlier trade agreements. With countries moving towards economic integration through FTAs, competition provisions are now demanded by developed countries like Japan, EU and Korea. India is also globalising at a fast pace with rising trade and investment interests in foreign countries, which require a level playing field. Further, the Competition Act, 2002 under Section 32 envisages extra territorial reach which may be facilitated by competition provisions in FTAs. In view of the above, they have now become integral part of all the recent Indian FTAs. The FTA with Korea was the first agreement which had a very simple version of a competition chapter.
Competition chapter is also included in Comprehensive Economic Partnership Agreement (CEPA) with Japan and is being negotiated in Broad Trade and Investment Agreements (BTIAs) with EFTA and EU as well as the RCEP with ASEAN and its trading partners. However, there is hardly any experience of cooperation amongst competition agencies based on the chapters in FTAs, although the Competition Commission of India has signed MOUs with some of the key jurisdictions and is in the process of signing with few others. Robust cooperation is taking place either within the framework of these MOUs or informally.
**Implementation of Competition Provisions in FTAs**
**Implementation**
Extensive UNCTAD work\textsuperscript{46} on the subject shows that\textsuperscript{47} despite various countries’ eagerness to sign RTAs with competition provisions, there is very little experience concerning their implementation and their effectiveness with regards to improving competition. Sokol (2008) observes that until now, the effectiveness of competition policy chapters has remained unanswered. Gal (2012) finds that most regional competition agreements (RCAs) have yet to realise their potential. Almost all the newly sprung RCAs thus far have not significantly enhanced competition law enforcement in their regions, or have encountered serious difficulties in doing so. This empirical finding applies regardless of the region and the special characteristics of the jurisdictions within it. He goes to the extent of observing that rather, most do not justify their costs of creation and some even create negative welfare effects on their member states\textsuperscript{48}.
Dawar and Holmes (2011) also argue that it is difficult to assess the implementation of competition provisions. Where it is possible, most existing research suggests that the level of implementation of regional competition provisions tends to be low, particularly in developing countries. This has led to questioning of the value of incorporating such provisions into FTAs, in view of the burdens of negotiating them and building institutions. But the research has also generated analyses that seek to identify and solve implementation challenges to harness the regional public goods that such provisions can potentially provide.
Laprevote et al (2015) observe that the data collected by them does not allow for a solid assessment of the practical effects of competition-related FTA provisions. While several countries (for example, South Africa, Mexico, Canada) have reported that their FTAs including competition-related provisions contributed to “the institutional
development and resulting capacity of their [competition] agencies”\textsuperscript{49}, further research is required to assess whether such provisions have stimulated the adoption or modernization of competition laws and enforcement.
Dawar and Holmes (2011) also find that in North-South agreements, the implementation record is somewhat better. Canada-Costa Rica, EU-Jordan, and EU-South Africa competition regimes have had some success in advocating a competition culture and in promoting cooperation between competition authorities through learning by doing. In North-North agreements, with fully centralised competition regimes such as the EU, the implementation record is better.
The existing evidence does not point to a ‘one size fits all’ approach. Approaches used by developed countries to deal with competition issue at regional level may not be relevant for FTAs among developing countries.\textsuperscript{50} Studies indicate that most of the deeper regional competition systems such as in Latin America have mirrored the EU competition model, especially in relation to its substantive provisions. Nevertheless, with the exception of the EU, no other regional competition law system has so far proved to be successful in terms of enforcement results.\textsuperscript{51}
Further, the creation of a supranational authority in a South-South agreement\textsuperscript{52} raises a series of political economy problems in these settings which might make the implementation of regional competition provisions difficult.\textsuperscript{53}
Sometimes, RTA cooperation on competition provisions in FTAs may be useful but informal cooperation may be more effective as seen in many cases. Most competition agencies utilise less formal agency-to-agency cooperation agreements\textsuperscript{54} more often than complex state-to-state cooperation mechanisms in competition chapters in FTAs.\textsuperscript{55} Informal relationships built up among competition enforcers through interactions at international meetings or technical cooperation or informal bilateral agreements also play an important role in practical cooperation.\textsuperscript{56}
\textbf{Lessons}
Question arises why implementation record has been so poor? What are the emerging lessons for future? This section attempts to answer these questions.
It may be mentioned at the outset that the fundamental problem arising from the implementation of substantive competition provisions in FTAs relates to the loss of policy autonomy, or space (UNCTAD 2013). This is accentuated in cases where the countries concerned have different levels
of development and hence widely diverging priorities. The underlying obstacle has been identified as the problem of supra-nationality,\textsuperscript{57} that is, the relationship between regional and national laws.\textsuperscript{58}
The weak implementation record can be partly explained by the fact that FTAs with Competition provisions are a relatively new phenomenon. The history of regional integration has shown that ‘deep integration’ rules, such as competition provisions, need time to fully materialise, particularly in FTAs involving developing countries.\textsuperscript{59} Further, domestic competition enforcement and regional cooperation are correlated. Many developing countries still either lack a competition law or the law being of recent origin, they suffer from low institutional capacity of domestic competition institutions as well as weak competition culture impacting potential for cooperation.\textsuperscript{60} Dawar and Holmes (2011) observe that in the absence of the requisite laws, institutions, and expertise, the country cannot absorb or take advantage of the benefits offered by provisions.
Further, several factors undermine cooperation under the competition chapter such as poor design of competition provisions, asymmetry of competition law development and capacity to enforce the law,\textsuperscript{61} lack of requisite competition culture, lack of political will to promote domestic competition law enforcement and lack of mutual trust\textsuperscript{62} among the competition authorities.\textsuperscript{63} Significant legal and social differences between the parties compound the problem.\textsuperscript{64}
There is wide heterogeneity of participating countries in terms of size, level of development or maturity of their competition systems or even existence of competition law. Since different legal and administrative systems and capabilities make a ‘one size fits all’ approach unsuitable, it may be a complex and challenging task to negotiate competition chapter agreeable to all the parties. UNCTAD (2013) findings suggest that involving competition authorities in the negotiation of an RTA might help to make the competition chapter more effective.
Gal and Wassmer (2012) suggest that while a basic understanding and national application of competition law is not a prerequisite for the success of regional competition agreements, a successful competition law regime, at least in some member states, can act as a catalyst to the adoption of competition agreement in FTAs and its successful operation. For one, the positive experience of some member states can serve as a basis for competition law advocacy. Second, the accumulated knowledge can be built upon in operating the agreement.
Gal and Wassmer (2012) argue that the benefits of regional competition provisions are determined, inter alia, by the modalities of cooperation on
which they are based. Obviously, the lower the level of proposed cooperation, the lower the potential benefits, but possibly also the lower the obstacles to its adoption and enforcement. Therefore, the level of cooperation should be determined with regard to the realistic capabilities of member states, including institutional weaknesses.
Sufficient resources (both financial and human) are an important precondition for an operational regional competition authority (RCA). Indeed, resource deficiency has plagued many RCAs.\textsuperscript{65} Insufficient resources often result from wider macro-economic conditions in member states such as deep poverty, regional conflicts or natural disasters and competition law often is not a priority. This fact strengthens the need to determine, from the outset, whether indeed it is in a country’s or a region’s interest to invest in competition law. Yet, as studies show, there is often an economic justification for investing in competition enforcement to increase total welfare, and thus the question becomes one of sequencing and of governmental preferences of what to do first.
Lack of implementation of competition Chapters also may be attributable to the fact that the benefits of devoting efforts to cooperation are insufficiently clear and long term, while the costs are high and immediate.\textsuperscript{66} The challenge is to craft the competition provisions so that the accruing benefits are seen to exceed the implementation costs. For developing countries, S&DT provisions may help achieve a proper balance between costs and benefits.\textsuperscript{67}
**Contribution**
Does the above analysis imply that RTAs have really no value?
Competition provisions in RTAs contribute to promoting international trade and investment by building transparent and predictable trade regimes. Introducing competition provisions in an FTA may signal ‘a credible commitment to potential foreign investors that a country is market-oriented and pro-investment’. Conversely, ‘the symbolic inclusion of competition policy within [F]TAs may create domestic legitimacy and assist competition agencies to pursue their competition enhancing missions’ (Sokol 2008).
Further, as competition laws and policies are discussed during RTA negotiations, government officials, domestic and foreign companies, and the general public come to recognise the necessity of competition provisions in RTAs.\textsuperscript{68} This can be expected to make a significant contribution to disseminating competition culture across the world in the long term.
One common trend that seems to emerge is that RTAs are a means of opening communication channels, which may be subsequently expanded
by the competition authorities until a satisfactory level of cooperation has been achieved. Also, it is important to note that the ‘domino effect’ of RTAs tends to spread competition legislation to new countries (due to conclusion of trade agreements having competition chapters), which may increase the opportunities for cooperation and experience sharing among competition authorities (UNCTAD 2015).
Gal and Wassmer (2012) observe that regional competition agreements have a potential to further the goal of a common, integrated market as demonstrated by the European experience of joint competition law enforcement. They might also increase certainty and compatibility of competition law enforcement either by transferring enforcement powers to the regional authority\(^{69}\) or by adopting tools to increase compatibility between national competition laws. This, in turn, may strengthen incentives to enter and expand in regional markets.
Sokol (2008) further observes:
*In spite of the non-binding nature of competition policy chapters in RTAs, these chapters may still have value, which is related to how these chapters may help to identify, shape, and implement norms of competition policy in member countries. In the case of North-South agreements, they can help strengthen competition policy regimes in developing countries through technical assistance and capacity building support. However, their limitations need to be recognised. Should expectations for them be too high (given what they can deliver), and should negotiations over the inclusion of RTAs take up too many resources, the value of their exclusion may exceed the value of their inclusion.*
Thus, it is clear that in spite of poor implementation record, competition provisions in RTAS have value and substantial potential for promotion of competition law and policy in the region, provided their limitations are recognised.
**Limitations**
Competition provisions included in FTAs belong to the category of soft laws as they are not legally binding and generally out of the purview of the dispute settlement mechanisms. Even the jurisdictions most committed to competition and free trade routinely exclude competition-related matters from their FTAs’ general dispute settlement mechanism.\(^{70}\) They are based on best endeavour depending on the goodwill of the parties to have meaningful effect. This naturally makes them less effective;
however, soft laws may lead to increased compliance through norm creation.\textsuperscript{71}
Exclusion of competition-related matters from the general dispute settlement mechanism\textsuperscript{72} in numerous FTAs is a crucial weakness and raises concerns about the potentially purely symbolic nature of these provisions.\textsuperscript{73} Because there are no minimum international obligations in competition law, countries may be less willing to give up sovereignty in this area, as they have not done so previously. This also illustrates the difficulties of agreeing to a binding multilateral framework. It may be worthwhile to consider whether international dispute resolution could be progressively introduced so as to elicit participation of national competition authorities.
Another critical element, which determines to a large extent the parameters and success of cooperation in competition law enforcement, is the definition and use of confidential information. Generally, competition provisions in FTAs place restrictions on exchange of confidential business information, which limits enforcement cooperation. The definition of confidential information, as well as its potential use may be studied. Despite the constraints imposed by confidentiality,\textsuperscript{74} ways may be found for exchange of confidential information by providing for adequate safeguards against unauthorized disclosure.
**The Way Forward**
In principle, competition provisions in RTAs can address market failures that national competition laws cannot and they can offset, to some degree, the absence of an international regime.\textsuperscript{75} However, the available evidence\textsuperscript{76} clearly shows that countries are eager to ink RTAs with CRPs but are far less eager to implement them.\textsuperscript{77}
Despite limited evidence about the impact of the regional competition regimes, it is clear that lack of regional competition can undermine the benefits from liberalisation and integration of regional markets.\textsuperscript{78} The need for competition law enforcement cooperation is driven by the increasingly interconnected nature of economic activity; and the increased number of jurisdictions enforcing competition law, and the increasing activity that can be expected from young/new competition authorities.\textsuperscript{79} Hence, importance of international cooperation to ensure effective and coherent enforcement of competition laws around the world has never been greater or more complex to achieve.
Extensive UNCTAD work over the last decade\textsuperscript{80} shows that there is a large untapped potential for cooperation under existing competition provisions in FTAs, the remaining barriers to cooperation should be explored and strategies to overcome them designed. Therefore, this section examines what steps can be taken to realise the beneficial potential of competition provision in FTAs.
Achieving favourable outcomes with competition provisions in FTAs requires that the provisions be well designed taking into account differences in the size, current socioeconomic conditions, level of economic development, legal developments and institutional capacity of each member state; have strong political and stakeholder support; and be effectively enforced within each member state. Ensuring the wide stakeholder participation in the development of a soft law instrument like competition chapter may be helpful in securing domestic support. The ICN experience shows that stakeholders are typically sympathetic to the ‘best practices’ approach.\textsuperscript{81}
There should be clarity about the objectives to be achieved and their relative importance.\textsuperscript{82} Goals should be set in relation to the conditions of countries in the region, the special competition law issues facing them, and the tools at their disposal to deal with such issues.\textsuperscript{83} Competition law and policy work within the larger development context to create a more competitive environment and to encourage growth and productivity.\textsuperscript{84}
Rather than focus only on preventing anticompetitive measures that may undermine the trade agenda, it is vital to emphasise the importance of competition policy to achieving economic development goals.\textsuperscript{85} This may make the inclusion of competition provisions in FTAs more acceptable to developing countries.\textsuperscript{86} Conversely, continuing to frame international competition policy as a pure market access issue may risk antagonising domestic constituencies in developing countries.\textsuperscript{87}
Further efforts are needed in the actual process of chapter negotiations and the ways in which competition provisions are tailored to a specific agreement. It may be particularly useful to involve competition authorities\textsuperscript{88} in the negotiation of competition chapters in FTAs.\textsuperscript{89} This may enhance potential for effective cooperation in several ways: a) competition authorities get opportunities for repeated interactions over long periods of FTA discussions helping in fostering informal relations even before signing of FTAs; b) competition authorities are likely to negotiate provisions taking into account practical differences in their enforcement capacities, legal frameworks and other relevant factors; and c) provisions on technical cooperation and S&DT may be better designed based on realistic assessments of needs of less developed partners.
While it is true that competition policy can be a powerful policy tool, getting the benefits from effective competition policy involves human capabilities and specialised expertise. Strengthening human and institutional capacities in the weaker partners may provide a conducive politico-socio-economic environment in the countries to fully exploit the benefits of the competition provisions in FTAs and ensure a level playing field in international trade.\textsuperscript{90}
Cooperation among agencies can be set at different degrees – from a low level (information sharing, technical assistance) to a high one (RJCA). Level of cooperation should be determined with regard to the realistic capabilities of member states, including institutional weaknesses.\textsuperscript{91} In FTAs involving members with no or little experience with competition, it may be good idea to initially restrict the cooperation provisions to information exchange, technical assistance, and capacity building. More general commitments could be implemented after the necessary expertise and cooperation mechanisms have been developed. The inclusion of such an evolving clause allowing members to adopt a gradual approach to enlarge the scope of regional competition provisions would introduce additional flexibility in implementation and likely to enhance its potential for successful implementation.\textsuperscript{92}
It may be useful to compare the impact of competition provisions in FTAs with other instruments used to promote cooperation, whether in terms of informal arrangements, bilateral agency-to-agency agreements (ATAs) or Mutual Legal Assistance Treaties (MLATs) where possible.\textsuperscript{93} There may be merit in promoting direct inter-agency cooperation as a complement to regional competition provisions by signing direct agency to agency cooperation agreements.\textsuperscript{94} This may be done either outside the competition chapter\textsuperscript{95} or by providing in the competition chapter itself. Agency to agency agreements have better prospects for enforcement cooperation rather than state to state competition chapters, who may be more useful for creating support for competition policy in the domestic economies.
As to some extent, poor implementation also results from lack of dispute settlement, non-binding ways of dispute settlement such as consultations on issues relating to the implementation of agreements and diplomatic methods of dispute settlement such as conciliation, mediation and good offices in the context of international cooperation on competition policy may need to be incorporated in the competition provisions in FTAs.
For successful adoption of regional competition regimes in lesser developed partners, it may be useful to demonstrate benefits of cooperation
vis-a-vis its costs. Perez Motta (2016) suggests that to highlight and enhance the benefits of the adoption of a competition chapter among competition authorities and governments, it would be useful to: (i) precisely identify the key common areas of agreement in FTAs and reconcile the differences between approaches; (ii) increase awareness regarding the benefits of competition provisions in FTAs in order to reduce political costs; (iii) facilitate technical assistance\textsuperscript{96} to states that face difficulties in implementation; and (iv) assess the potential trade concessions that might be needed to incorporate competition clauses in FTAs.
Further research is needed on economic and development impact of regional competition law and policies. There is need to understand various issues such as whether effective cooperation instruments can be designed for regional integration in the absence of effective institutional powers? How much co-operation is going on under formal provisions and how much informally? Whether competition provisions have fostered cooperation between agencies on actual enforcement cases? What are the impediments to co-operation? What disputes have arisen on competition provisions in FTAs between signatories of agreements? How were they solved? What are the pros and cons of binding competition enforcement and so on?
It may be pointed out that very significant progress in promoting better understanding of the objectives, modalities, and effects of competition policy around the world has been made as a result of work undertaken by international organisations such as the ICN, the OECD; and UNCTAD, in addition to national competition agencies and non-governmental organisations (NGOs) such as CUTS.\textsuperscript{97} Developing economies have now far greater practical experience with the application of competition policy,\textsuperscript{98} reflecting the capacity building that has taken place and the proliferation of competition laws across such countries in recent years.\textsuperscript{99}
Further, increasingly frequent inclusion of competition policy provisions in FTAs and their overall substantive convergence as regards the most basic principles suggest that there may be fertile ground for international harmonisation in the form of a model FTA competition chapter.\textsuperscript{100}
Perez Motta (2016) argues that in addition to fostering further cooperation and convergence in enforcement matters, future or presently negotiated trade and investment arrangements could act as a vehicle for incremental harmonisation of competition laws and practices in the absence of an international agreement on these issues.\textsuperscript{101}
Capobianco et al (2016) even suggest that if jurisdictions can adopt common approaches both to enforcement itself and the cooperation, it
makes sense to embed these in a multilateral instrument rather than a plethora of bilateral agreements.
To conclude, cooperation under competition provisions in FTAs has so far been quite low but it is slowly growing. The fact that there is discourse on further minimising differences between competition regimes through platforms like ICN is indicative of further enhancement of the level of cooperation. Given significant progress in promoting understanding of benefits of competition policy and developing common approaches towards competition enforcement as well as capacity building even in developing counties, better implementation of regional competition provisions can be expected in future.
However, there is need to understand that the extent to which a regional competition regime can deal with market failures depends largely on the appropriateness of design of the provisions and the will of the parties to enforce them. Expeditious progress can be achieved if strengthening of implementation capacity in developing and transition FTA members is accompanied by reinforced commitment from developed members to effectively address the competition policy concerns of their trading partners. Finally, neither trade nor competition policy tools can provide complete solutions to the problems that emanate from the mix of governmental and private anticompetitive restraints.
Endnotes
1 Barriers to trade and foreign investment have declined in developed and developing economies alike.
2 Perez Motta 2016. Since the 1990s, world merchandise trade has risen more than 500 percent. According to OECD 2014 estimates, total foreign direct investment (FDI) expanded more than four times between 1990 and 2012.
3 *Ibid.* Multinational enterprises (MNEs) have become global players and in their search for the best possible conditions, they have distributed their production and distribution activities worldwide.
4 The author was economic adviser and head of capacity building and international cooperation division at the Competition Commission of India (CCI) since it started implementing the law in May 2009 and worked till 2015.
5 Trade liberalisation results in an influx of goods into the economy, which could also have a huge impact on the nature and extent of competition in the markets, and encourage domestic competition as well.
6 The broader term “competition policy” encompasses, in addition to competition law, other measures that governments take to remove unnecessary structural or regulatory barriers to competition and promote healthy competition in markets.
7 Perez Motta 2016.
8 Anderson and Müller 2013. For example, in both primary products markets and service industries with limited possibilities for competition involving purely domestic players.
9 Competition law and policy can help add value to exports from developing and least-developed countries (LDCs) by removing barriers to key sectors in GVCs, OECD, WTO and World Bank Group 2014.
10 Capobianco et al. 2016. There are already situations today where 15 authorities from different jurisdictions are notified of the same merger for approval under their national law, and in many cases five or more authorities act on a merger. If 15 different authorities are reviewing the same transaction and if they need to cooperate bilaterally in their national reviews, the number of possible interactions would be more than a hundred.
11 *Ibid.* The number of cross-border cartels revealed in an average year has increased substantially since the early 1990s, mainly reflecting the increased use of leniency programmes. According to the Private International Cartel (PIC) database, about 3 cross-border cartels per year were revealed via competition authority decisions or prosecutions during 1990 -1994. During 2007 to 2011, an average of about 16 cross-border cartels has been revealed per year reflecting a 527% increase in cross-border cartel enforcement between 1990-4 and 2007-11.
12 *Ibid.* Cases and investigations reflect the increasingly cross-border activities of businesses and often require support from foreign enforcers.
13 *Ibid.* From 23 jurisdictions in 1990 to about 127 jurisdictions as of October 2013.
14 *Ibid.* Around two-thirds of the merger decisions by the Competition Commission of India in its first three years of merger review had an international dimension.
15 *Ibid.*
For example, during June 2011- March 2015, India issued decisions for 236 merger reviews. Source: Annual report 2014-15, Competition Commission of India, www.cci.gov.in.
Supra Note 6
Utron 2008.
Sokol 2008.
Hufbauer, and Kim 2009.
Anderson and Muller 2015. Interaction between trade and competition policy was an important element of Doha round of multilateral trade negotiations. However, at 2003 Cancún Conference, majority of WTO Members rejected launching negotiations on a multilateral framework on competition policy. Hence, General Council of the WTO in 2004 decided not to undertake further work on competition policy. India also like many other developing countries did not support the multilateral agreement on competition policy.
This trend appears to have accelerated following the suspension of work in the WGTCP.
FTAs included in the WTO’s RTA database – by far the largest sample of FTAs analysed. Solano and Sennekamp (2006) analysed 86 trade agreements that include competition related provisions, and found that about two thirds were between developing countries (often referred to as South-South agreements), and more than a fourth covered signatories from developing and industrialised economies (so called North South agreements)
Laprevote et al. 2015. They may also provide additional opportunities to extend the geographic scope of such provisions and perhaps even bolster a renewed effort to put competition policy back on the multilateral—or at least plurilateral—trade agenda
For example, Competition is an important aspect of ASEAN’s vision of regional economic integration and competition law/policy is an essential instrument
UNCTAD 2005, Executive Summary
UNCTAD 2005.
UNCTAD 2005, OECD 2006, Sokol 2008, Teh 2009 and Laprevote et al.2015.
Provisions relating to anti-competitive mergers are significantly less frequent in FTAs than provisions covering cartels or abuses of market power. Only 11 percent of the FTAs in Laprevote et al. 2015 address anti-competitive mergers. Generally, they are FTAs to which highly advanced economies with significant merger control experience such as Australia, the EU, EFTA (or one of its Member States), Canada, Korea, New Zealand, or Singapore are party.
In their sample of 216 FTAs.
Some of the agreements including enforcement principles such as non-discrimination, transparency, and procedural fairness are indeed quite recent.
Found in 50 percent of Laprevote et al. 2015’s sample pf 216 agreements.
41% of Laprevote et al. (2015) sample of 216 FTAs.
Refers to exchange of information between competition agencies.
Mostly included in North South agreements (between developed and developing countries).
Generally applicable to the extent permitted by the parties’ respective domestic laws.
Supra Note 6
Laprevote et al. 2015.
A very small minority of FTAs, namely the ANZCERTA, EFTA-Chile, EFTA-Singapore, EFTA-Serbia, and Canada-Chile preclude the parties from resorting to trade defenses and replace them with competition provisions.
The goal of dispute settlement is to ensure compliance with the rules laid down in the FTA.
Laprevote et al. 2015.
UNCTAD 2015.
That being said, it is worth noting that nearly 30 percent of the FTAs of Laprevote et al. (2015) sample include a combination of provisions relating at least to (i) anti-competitive agreements, (ii) abuse of market power, and (iii) designated monopolies and SoEs.
Regional Comprehensive Economic Partnership (RCEP) is a free trade agreement being negotiated amongst 16 Asian countries – 10 ASEAN Member States and ASEAN’s 6 FTA partners- Australia, China, India, Japan, Korea and New Zealand. RCEP is intended to broaden and deepen current engagement that has already been achieved through the existing ASEAN+1 FTA.
Sahu and Gupta 2007. The study commissioned by CCI suggested that India could be benefited by including competition clauses in its future trade agreements.
Based on empirical evidence.
UNCTAD 2005, UNCTAD 2007, UNCTAD 2013 and UNCTAD 2015.
Weik 2010. The Senegalese experience provides an example. Due to WAEMU regional agreement, which Senegal joined, the Senegalese authority ceased to operate several years ago, but WAEMU has not as of yet created a viable alternative.
Mathis 2011.
UNCTAD 2015.
Botta 2011. Based on case studies of Mercado do Sur (Mercosur), Comunidad Andina (Andean Community, CAN) and the Caribbean Community (CARICOM).
When the countries involved have different levels of development in terms of their competition enforcement, for example CARICOM, MERCOSUR, Andean Community, Common Market for Eastern and Southern Africa (COMESA) etc.
UNCTAD 2013.
Bilateral cooperation agreements result in more concrete and effective cooperation than RTAs’ as they take into account differences between the two parties in level of development of their respective competition laws and policies.
APEC 2007.
Today, most competition authorities around the world speak the same economic and legal competition language, and enforce competition laws using comparable tools and principles.
Jenny and Horna 2005.
Alvarez et al. 2007. What is required is that ‘the benefits of effective enforcement against anti-competitive practices with cross border implications (spillover effects)
and the gains from economic integration must exceed the loss of domestic sovereignty for each country.
59 Cernat 2005, UNCTAD 2015.
60 An agency with a deep knowledge of domestic competition law enforcement - both in terms of procedure and of substantive aspects of the law - is better able to make use of the international instruments for cooperation.
61 Such as level of independence and resources of competition authority.
62 For example, in case of divergent merger regulations or leniency programmes, where more experience and greater institutional development are required.
63 For example, Brazil and Argentina.
64 UNCTAD, 2007 and Dawar and Holmes, 201.
65 For example, although COMESA has a Competition Commission, it cannot make decisions because of insufficient funding needed in order to employ the necessary staff.
66 Costs will essentially depend on human resources and expertise as well as financial resources needed to implement the various CRPs. Benefits stem from the ability to use CRPs in RTAs to curtail intra-RTA anticompetitive practices, such as international cartels. For developing countries, S&D treatment may help achieve a proper balance between costs and benefits.
67 UNCTAD 2015. A delay, exemption or technical and financial assistance in implementing a FTA’s competition obligations would reduce the effective cost.
68 Asia Pacific Economic Cooperation 2007.
69 For example, filing of a request to merger firms that operate at the regional level only to the regional authority.
70 Laprevote et al. 2015.
71 Supra Note 19
72 Alvaarze et al. 2007. There are two goals for dispute settlement in competition within the context of an FTA: i) to ensure that partner country maintains commitments set out in the FTA; and ii) to ensure that positive comity can be enacted within the framework of the FTA to prosecute perpetrators of restrictive business practices in foreign territories.
73 Laprevote et al. 2015.
74 UNCTAD 2007 (Chapter 1).
75 Dawar and Holmes 2011.
76 UNCTAD work as well as other work discussed in this chapter earlier.
77 Cernat 2005, UNCTAD 2007 and UNCTAD 2015.
78 Dawar and Holmes 2011.
79 Cabianco et al. 2015.
80 UNCTAD 2005, UNCTAD 2007 and UNCTAD 2013.
81 Laprevote et al. 2015.
82 Gal and Wessmar 2012. For example, is the goal economic development of members by removal of trade and investment barriers or is it integration and the creation of a common market.
83 *Ibid.*
84 Porter 2004
85 Evenett 2005
86 For example, EU-Overseas Countries and Territories FTA, which emphasises the importance of competition to development and industrialisation
87 Supra Note 19
88 For example, in the US, the US antitrust agencies are centrally involved with the negotiation of the text of the competition chapter.
89 The author as economic adviser at the CCI (2009–2015) was the lead negotiator on competition chapter from Indian side in several rounds of RCEP presently under negotiation. Other parties too had mostly negotiators from the competition authorities.
90 UNCTAD 2013.
91 Gal and Wassmer 2012.
92 UNCTAD 2007, Dawar and Holmes 2011.
93 UNCTAD 2007. For instance, whether the inclusion of competition-related provisions (CRPs) in RTAs leads to the signing of dedicated legal instruments for cooperation on competition matters.
94 Dawar and Holmes 2011.
95 The Competition agencies of India and EU signed bilateral Memorandum of Understanding for cooperation in 2013, while competition chapter in the trade agreement between the two countries is still under negotiation.
96 Need based tailor-made technical and capacity-building assistance to strengthen the institutional and enforcement capacity of less developed partners.
97 Anderson and Muller 2015.
98 Supra Note 6
99 *Ibid.*, whereas during 1997 to 2004 (when competition policy was active on Doha agenda), an estimated 40–50 WTO Members had active national competition regimes, current surveys cite 110–120 countries having such laws.
100 Laprevote et al. 2015.
101 Among the various possible fora for carrying out such an undertaking, the ICN stands out as the only international platform that has both the needed flexibility and ability to influence policymakers.
References
Alvarez Ana María, Simon J. Evenett and Laurence WilseSamson (2007), “Anti-Competitive Practices and the Attainment of the Millennium Development Goals: Implications for Competition Law Enforcement and Inter-Agency Cooperation” in Implementing Competition Related Provisions in regional trade agreements: is it possible to obtain development gains, UNCTAD, pp 59-90.
Alvarez et al. (2005) “Lessons from the Negotiation and Enforcement of Competition Provisions in South-South and North-South Regional Trade Agreements” in P. Brusick, A. M.
Alvarez and L. Cernat (ed), Competition Provisions in Regional Trade Agreements: How to Assure Development Gains”, UNCTAD, pp 123-160.
Anderson, Robert D. and Evenett, Simon (2006), “Incorporating Competition Elements into Regional Trade Agreements: Characterization and Empirical Analysis.” http://www.evenett.com/research/workingpapers/CompPrincInRTAs.pdf.
Asia Pacific Economic Cooperation (APEC) (2007), The Role of Competition Provisions in RTAs: Korea’s Experience, Competition Policy and Deregulation Group Meeting, Canberra, Australia, 23 - 24 January, 2007/SOM1/CPDG/009, APEC. www.apeccp.org.tw/doc/Workshop/w2007/07_cpdg1_009.doc
Anderson, Robert D and Anna Caroline Müller (2015), Competition Law/Policy and the Multilateral Trading System: A Possible Agenda for the Future. E15Initiative. Geneva: International Centre for Trade and Sustainable Development (ICTSD) and World Economic Forum.
Anderson Robert D and Simon J Evenett (2006): “Incorporating Competition Elements into Regional Agreements: Characterisation and Empirical Analysis, Available at http://www.evenett.com/working/CompPrincInRTAs.pdf.
Antonio Capobianco, John Davies, Sean F. Ennis (2015), Implications of Globalisation for Competition Policy: The Need for International Cooperation in Merger and Cartel Enforcement, E15Initiative, Geneva: International Centre for Trade and Sustainable Development (ICTSD) and World Economic Forum.
Botta, M. (2011), ‘The Role of Competition Policy in the Latin American Regional Integration: A Comparative Analysis of CARICOM, Andean Community and MERCOSUR’, IX Annual Conference of the Euro-Latin Study Network on Integration and Trade (ELSNIT), Revisiting Regionalism. http://www10.iadb.org/intal/intalcldi/PE/2012/09801a05.pdf.
Cernat, L. (2005), “Eager to ink but ready to act?” in P. Brusick, A. M. Alvarez and L. Cernat (ed), Competition Provisions in Regional Trade Agreements: How to Assure Development Gains”, United Nations: New York and Geneva, pp 1-37.
Competition Commission of India (2015), Annual report 2014-15, www.cci.gov.in.
Dawar, K. and Holmes, P. (2011) ‘Competition Policy’ in Chauffour, J.P. and Maur J.C. (ed.) Preferential Trade Agreement. Policies for Development, Washington: The World Bank, pp 356-358.
Evenett, Simon J (2005). “What Can We Really Learn From the Competition Provisions of Regional Trade Agreements?” In P. Brusick, A. M. Alvarez and L. Cernat (ed), Competition Provisions in Regional Trade Agreements: How to Assure Development Gains, UNCTAD, pp 37–38.
Gal Michal S. and Inbal Faibish Wassmer (2012), Regional Agreements of Developing Jurisdictions: Unleashing the Potential in Competition Policy and Regional Integration in Developing Countries, Mor Bakhoum, Josef Drexl, Michal Gal, David Gerber, Eleanor Fox eds., Edward Elgar.
Hufbauer Gary and Jisun Kim (2009), Internationals Competition Policy and the WTO, The Antitrust Bulletin: vol. 54, no. 2/summer.
Holmes, Peter, Anna Sydorak, Anestis Papadopoulos, and Bahri Özgür Kayali (2005), “Trade and Competition in RTAs: A Missed Opportunity?” in Competition Provisions in Regional Trade Agreements: How to Assure Development Gains, ed. Philippe Brusick, Ana María Alvarez, and Lucian Cernat. Geneva: United Nations Conference on Trade and Development (UNCTAD).
Jenny Frederic and Pierre Horna (2005), Modernization of the European system of competition law enforcement: Lessons for other regional groupings in Brusick, A. M. Alvarez and L. Cernat (ed), Competition Provisions in Regional Trade Agreements: How to Assure Development Gains”. UNCTAD, pp 281-329.
Laprévote François-Charles, Sven Frisch, and Burcu Can (2015), Competition Policy within the Context of Free Trade Agreements, E15Initiative, Geneva: International Centre for Trade and Sustainable Development (ICTSD) and World Economic Forum.
Mathis, James (2011) “From the Board: Preferential Trade Agreements – The WTO Speaks … Again”, 38 (4), Legal Issues of Economic Integration, pp 291, 293.
Solano, O. and A. Sennekamp (2006), “Competition Provisions in Regional Trade Agreements”, OECD Trade Policy Papers, No. 31, OECD Publishing. http://dx.doi.org/10.1787/344843480185
OECD, WTO and World Bank Group Report (2014), Global Value Chains: Challenges, Opportunities, and Implications for Policy, prepared for submission to the G20 Trade Ministers Meeting Sydney, Australia.
Pérez Motta Eduardo (2016), Competition Policy and Trade in the Global Economy: Towards an Integrated Approach, E15 Expert Group on Competition Policy and the Trade System – Policy Options Paper, E15Initiative. Geneva: International Centre for Trade and Sustainable Development (ICTSD) and World Economic Forum.
Porter Michael E (2004), “Building the Microeconomic Foundations of Prosperity: Findings from the Business Competitiveness Index” in World Economic Forum, Global Competitiveness Report, 2003-2004.
Sahu Sanghamitra and Neha Gupta (2007), Competition Clauses in Bilateral Trade Treaties: Analysing the Issues in the Context of India’s Future Negotiating Strategy, Report Prepared for Competition Commission of India, www.cci.gov.in.
Sokol, Daniel D (2008), “Order Without (Enforceable) Law: Why Countries Enter into Non-Enforceable Competition Policy Chapters in Free Trade Agreements”, Chicago-Kent Law Review, 231. http://scholarship.kentlaw.iit.edu/cklawreview/vol83/iss1/13
United Nations Conference on Trade and Development (2015), Competition Policy and Regional Trade Agreements, Trade and Development Commission, Seventh session 18–22 May, DITC Working Paper, http://unctad.org/meetings/en/Contribution/tdc_7th_2015_Competition%20Policy%20and%20RTAs_en.pdf.
United Nations Conference on Trade and Development (2013), Regional Competition Agreements, Latin American Competition Forum Directorate for Financial and Enterprise Affairs Competition Committee, DAF/COMP/LACF (2013)22, Session II, 3–4 September 2013, Lima, Peru.
United Nations Conference on Trade and Development (2007), Implementing Competition Related Provisions in Regional Trade Agreements: is it possible to obtain development gains?, http://unctad.org/en/docs/ditcclp20064_en.pdf.
United Nations Conference on Trade and Development (2005), ed. Brusick, B A, M. Alvarez and L. Cernat, Competition Provisions in Regional Trade Agreements: How to Assure Development Gains”, http://unctad.org/en/docs/ditcclp20051_en.pdf.
Utton, Michael A. (2008), International Competition Policy, Cheltenham, U.K.: Edward Elgar.
Weik Daniel P. (2010), ‘Competition law and policy in Senegal: A Cautionary Tale for Regional Integration?’ World Competition, 33(3).
Consumer Unity & Trust Society
D-217, Bhaskar Marg, Bani Park, Jaipur 302 016, India
Ph: 91.141.228 2821, Fax: 91.141.228 2485
Email: firstname.lastname@example.org, Website: www.cuts-international.org
ISBN 978 81 8257 244 7
|
COMMUNITY COLLEGE BOARD
Eastern New Mexico University - Roswell
Administration Center Board Room
Wednesday, August 14, 2019, 4:00 p.m.
MINUTES
Members Present:
Carleton Avery, Eloise Blake, Ralph Fresquez, Patricia Parsons, and Mireya Trujillo
Members Absent:
Others Present:
Benjamin Dean, Todd DeKay, Juan Dorado, Lisa Dunlap, Karen Franklin, Tony Major, Brad McFadin, Matt McKim, Linda Neel, Linde Newman, Donna Oracion, Shawn Powell, James Salsbury, and Chad Smith
I. Call to Order
President Trujillo called the meeting to order at 4:00 pm.
II. Declare a Quorum
President Trujillo declared a quorum.
III. Pledge of Allegiance
Mr. Tony Major led the Pledge of Allegiance.
IV. Finalize Agenda
Member Parsons made a motion to finalize the agenda. Vice President Avery seconded the motion. The motion carried unanimously.
V. Approve Minutes
Member Blake moved to accept the minutes from the May 15, 2019 meeting. Vice President Avery seconded the motion. The Board approved the motion unanimously.
Public Comment:
No comments from the public were made.
Board Report:
Vice President Avery announced that the 24th annual Hike It & Spike It was very successful. He thanked ENMU-Roswell for their participation. A trophy football from the event were presented to ENMU-Roswell in appreciation. Our nursing students worked with Eastern New Mexico Medical Center to gain experience. Ms. Donna Oracion, Executive Director of College Development, provided ENMU-Roswell t-shirts for registration.
Presidential Remarks:
I. ENMU Chancellor’s Remarks
Chancellor Elwell did not attend the meeting.
II. ENMU – Roswell President’s Remarks
Dr. Shawn Powell expressed appreciation to Vice President Avery and Member Fresquez for participating in the recent campus facility master planning meeting. Summer enrollment was comparable this summer to last summer. Fall enrollment is ongoing. The enrollment numbers today compared to last year are down. However, credit hour production is slightly higher, and dual credit students have not been included in enrollment numbers yet. The first day of fall classes is August 20.
The Core Team hosted local legislators along with NMMI administrators on our campus July 23 to review upcoming legislative requests regarding capital outlays for construction and academic equipment. Our campus received $190,000 from the 2019 Capital Outlay funding to improve the
Media Arts program and replace simulation manikins in Health Education. The 2020 request will be $300,000 to obtain an ambulance simulator for EMS, an interactive trauma simulator manikin, upgrades to avionics equipment, kiln replacement, wheel alignment machine and diagnostic testing for automotive technology, and updates for media arts. Our EMS program serves all of Southeast and Southern New Mexico for training. The Chaves county outlay meeting is scheduled for August 22.
In response to a request from the Board regarding the use of P-Cards on campus, a review was conducted by our Purchasing Office. At the present time, 97 P-Cards have been issued. Some of these cards have not been used in the last year. There are plans to reduce the number of P-Cards, and criteria is being developed to determine the need for employees to have one. In Fiscal Year 2019, P-Card transactions totaled $650,760, with a monthly average of $54,230.
Ongoing maintenance is occurring on campus. New carpet is being installed in the library, and a coffee bar is being added. The campus is also preparing for additional capital projects.
Dr. Powell announced new hires and staff changes since the last CCB meeting:
- Daniel Hines, Security Officer
- Kyler Burd, Recruiter
- Cecilia Cruz, Custodian-2nd Shift
- Jose Caballero, Custodian-2nd Shift
- Maureen DeNio, Nursing Assisting Instructor
- Eric Mann, EMS Instructor
- Eileen Gallaher, Nursing Instructor
- Lafonda Humpherys, Nursing Instructor
- Robert Moore, Interim Assistant Vice President for Arts & Sciences
- Annemarie Oldfield, Interim Vice President for Academic Affairs
- Tony Major, Vice President of Business Affairs
A few upcoming events were also noted:
- August 27 Candidate Filing Day
- September 26 Campus visit by 3,500 students for the New Mexico Aviation Aerospace Association (NMAAA) 2019 STEM conference
- November 23 Turkey Trot 5K fun run/walk and one mile run/walk in memory of David Gonzales
Member Fresquez asked if open positions are being advertised. Dr. Powell responded yes, open positions have been announced. Some positions have been filled, but there are still vacancies. The Director of Nursing position recently opened. Member Blake asked where the nursing instructors were found. Dr. Powell indicated that Dr. Laurie Jensen, Assistant Vice President for Health Education, and Ms. Rebecca Schneider, Director of Human Resources, were responsible for finding qualified candidates. Member Fresquez added the grounds look very nice, and wanted to express his thanks to the maintenance staff.
**Action Items:**
I. **Capital Projects Update**
Dr. Powell stated that the current focus for capital projects is primarily on the automotive/welding renovation and construction of the new maintenance building. Additionally, the electrical line replacement and dormitory demolition projects should take place this fall.
Mr. Juan Dorado and Matt McKim from the architectural firm, Dekker, Perich, and Sabatini,
along with James Salsbury of Bradbury Stamm Construction discussed the design of the automotive/welding building renovation and the physical plant building construction, as well as the estimated costs of the construction manager at risk (CMAR) project.
Goals for the automotive and welding building renovation that were set at the start of the design process were reviewed: safe environment, flexible facility, simulate real world experiences, improve retention, and sustainable features. Similarly, requirements for the Physical Plant construction were reviewed to ensure the building is a safe, modern space, with sustainable features.
There will be a total renovation of the automotive/welding facility with a new layout for the labs, tech center, and classrooms. A mezzanine above classrooms will house the mechanical equipment. Currently, 75% of the construction documents are complete. Bradbury Stamm Construction worked with subcontractors for accurate figures to determine the project guaranteed maximum price is $4,272,056. Additional soft costs of approximately $1,576,466, such as design fees, moving, temporary facilities, surveys, inspections, New Mexico Gross Receipts Tax, and a 3% owner’s contingency, resulted in the current total project budget of $5,848,522 for the automotive/welding building renovation. Mr. Dorado and Mr. Salsbury stated value engineering was instrumental in reducing costs where possible. Presently, there is volatility in the construction market creating quite a bit of fluctuation in price. Mr. McKim stated there has been about a 6% escalation in labor costs every six months. The 2018 General Obligation (G.O.) Bond funded $3,000,000 of the automotive and welding building renovation. Member Parsons asked if faculty were involved in the design process and requested that faculty input be sought throughout the design of the projects. Mr. Dorado responded faculty input was obtained, and the architects are working with the campus design committee to ensure the renovation and construction projects meet current and future campus needs.
Dr. Powell reported our campus capital reserves stand at about $16,000,000 and that if approved, approximately $2,8,00,000 would be spent on this renovation project. Asbestos was found after the design process started. Therefore, abatement costs had to be factored in, which was not part of the initial costs.
Mr. Chad Smith, Assistant Vice President for Technical Education, indicated that the automotive/welding building is in poor condition and the occupations taught there are in high demand. Enrollment is good, but the existing equipment is lacking. Accreditation through Automotive Service Excellence (ASE) was lost as a result of the status of the facility and cannot be regained until renovations are completed. Member Fresquez asked how many students complete the program. Mr. Smith responded that the automotive program graduates about 30 student per year currently. The welding program has a higher number of graduates. It is anticipated total enrollments in both programs could increase by about 50-60 students after the remodel, and additional faculty would need to be hired.
Vice President Avery asked if current reserves are high. Dr. Powell responded in the affirmative, and the campus facility master plan will address some of that.
The current physical plant will be demolished after construction of the new 14, 850 square-foot building is completed. All staff will be in same building. At this time, that is not the case. Member Blake asked if staff were involved in the planning, and Mr. Dorado shared that the physical plant staff have had input into the design of the building since the process started. The cost estimate for the physical plant construction is $4,676,884.
Member Parsons asked if change orders affect costs. Mr. Salsbury reported the CMAR process
has built in unforeseen costs, such as change orders. Member Fresquez asked if the cost of the new physical plant is coming from capital reserves. Dr. Powell responded yes, the cost of the new physical plant is being funded from capital reserves. Member Fresquez also asked if the contract included stipulations if the project is not completed on time that fines could be assessed against the construction company. The architects stated that the construction period is one year and there are daily penalties for delays beyond that. Member Blake asked to see rendering of the potential exterior of the new buildings. Mr. Dorado will send the drawings to Dr. Powell to share with CCB. They are pre-engineered metal buildings, and will be utilized as repair space for equipment, as well as storage.
Member Parsons made a motion to approve combined construction costs of the automotive/welding remodel at $5,848,522, and the new physical plant construction at $4,676,884 for a combined total of $10,525,406. Member Blake seconded the motion. It was clarified by Dr. Powell that $3,000,000 will come from the 2018 G.O. Bond for the automotive/welding renovation, and $7,500,000 from capital reserves to pay for physical plant construction.
It may be possible to use the existing Quonset Huts and a warehouse currently being used for storage for automotive and welding program instruction. This would eliminate the need to identify a rental space for the programs instruction. This could result in be a substantial cost saving measure. Vice President Avery asked if costs exceed the $10,525,406, would the final amount have to be approved again. After approval by the State Board of Finance, 10% overage is allowed before additional approval is required. Member Fresquez asked if construction on both projects will take place at the same time. At the moment, the plan is to proceed with both projects simultaneously to reduce costs. All Board members voted in favor. The motion carried.
Dr. Powell stated a special Board of Regents meeting will be held September 7 and a regularly scheduled meeting on September 27. It is anticipated that this request would be taken to the HED in October, the State Board of Finance in November, and then back to the Board of Regents in December for final approval. If the revised costs for these two capital projects are approved, the earliest a contract could be signed would be December of this year.
The RFP is out for the dormitory demolition, and the bid opening will be next week. Demolition should occur this fall.
II. Second Proposed Project for 2020 G.O. Bond Request
Dr. Powell reported that the campus hosted the NMHED Capital Outlay Hearing on July 24. ENMU-Roswell presented an infrastructure project to replace and repair sewer and sanitary piping infrastructure and restroom renovation in five buildings. This proposal has a projected cost of $3,300,000, and $3,000,000 was requested with the consideration that ENMU-Roswell will provide the remaining $300,000 from capital reserve funds. During the hearing, the committee requested a second capital outlay proposal be submitted by August 7 for consideration. The timing required the submission of the proposal to the New Mexico Higher Education Department prior to the CCB or the Board of Regents meetings. Senior leaders from campus met with Hal Burnett of ASA Architects, the firm completing the Campus Facility Master Plan, to discuss options for the second capital outlay project. The decision was made to submit upgrades to the campus’ video, surveillance, and exterior lighting systems at an estimated cost of $2,486,555. Of this total, $2,237,900 was requested with the consideration that ENMU-Roswell will provide the remaining $248,655.
Member Blake moved to approve submission of the second capital outlay project for the 2020 G.O. Bond to upgrade video, surveillance, and exterior lighting systems, not to exceed
$2,500,000, and Vice President Avery seconded the motion. All voted in favor. The motion carried.
III. **Summer 2019 Graduation List**
Dr. Linda Neel, Executive Director of the Student Services Center, presented the 2019 summer graduation list of 116 applicants, which is a 24% increase in applications from last summer. Member Blake moved to approve the summer 2019 graduation list as presented. Member Parsons seconded the motion. Vice President Avery asked if the list includes special services students. Dr. Neel responded that it includes all graduate applications. All voted in favor. The motion carried.
**Information Items:**
I. **Introduction of Vice President of Business Affairs, Mr. Tony Major**
Dr. Powell introduced Mr. Tony Major, the new Vice President of Business Affairs. Mr. Major will begin September 9, 2019. He has been with Navajo Technical University for eight years, and serves as the Entrepreneurial and Innovation Director. He works with business development and construction projects. He also worked as a Chief Financial Officer for five years. Previously, Mr. Major worked at UNM-Gallup.
II. **Campus Facility Master Plan Review**
Dr. Powell indicated the Board recently received the latest draft of the Campus Facility Master Plan. He asked for suggested changes be sent to him by August 16. The revisions will be compiled and the plan finalized. The plan is divided into four categories: high priority (within 1-2 years), necessary (within 2-3 years), short-term (within 3-5 years), and intermediate term (beyond five years).
The high priority capital improvements total approximately $2,100,000. There are capital reserves to cover the costs of these projects, however, they will not be done all at once. The sum of the identified necessary improvements is a little more than $6,000,000. University costs would be reduced if State funding is received. As discussed earlier in the meeting, the replacement and repair of sewer and sanitary piping infrastructure and restroom renovation, along with upgrades to the video, surveillance, and exterior lighting systems have been submitted to the NMHED Capital Outlay committee for the 2020 G.O. Bond.
The Campus Facility Master Plan will be brought to the next meeting for final approval.
III. **Strategic Plan Review (Tracking Strategic Planning Priorities)**
Mr. Todd DeKay, Executive Director for Institutional Research, announced the campus is now utilizing Watermark, a software assessment tool. The strategic plan has been loaded into the software and progress can be tracked, which will contribute to keeping the strategic plan active and current. All academic and service areas are listed, as well as mission statements for each area and desired outcomes.
The strategic plan priorities will be mapped to the assessment plan, including timelines and benchmark dates, and will tie into the HLC criteria. The software keeps everything in one location and has the capability to help track some information for grants. Mr. DeKay will provide the CCB Board access to at-a-glance reporting.
a. **Strategic Enrollment Management**
Dr. Powell reported that each board meeting a strategic plan priority and the actions taken to complete the priority will be discussed. The priority discussed today will be from Student Success: develop a strategic enrollment management plan for the University.
Dr. Neel announced Student Affairs is researching strategic enrollment management planning and is in the process of developing an RFP for the consulting services needed to complete this plan. The purpose of the Strategic Enrollment Management Plan is to evaluate assist students be more successful by improving enrollment, retention, and completion. The project will be completed in stages. A group visited Amarillo College, who recently went through the strategic enrollment management process. The discussion was very insightful and many ideas were shared. Staff also attended the June ACT conference in Dallas. The desire is to find a single vendor for the entire process rather than multiple vendors for various pieces. After the consulting phase and data gathering, internal processes and technology will be reviewed for efficiencies and effectiveness. The project is estimated to take about 18 months to complete.
Member Fresquez stated the importance of seeking dropouts to return to school. Dr. Powell shared Dr. Neel and others on campus are working to ensure the funding we received for career technical education scholarships is granted to students who have completed a high school equivalency. Twenty students are signed up to receive full scholarships through these funds.
IV. **CCB Elections Update**
Dr. Powell announced that three Board positions (Districts 1, 4, and 5) are up for election, which will be November 5. The candidate filing day is August 27.
V. **Open Meetings Act Resolution**
Dr. Powell reminded the Board it is an annual requirement to sign the Open Meetings Act resolution. It will be brought to the September meeting for signature.
VI. **Armed Security**
The back-to-school campus-wide in-service is scheduled for Friday, August 16, and Dr. Powell will share that discussions will be held in the coming weeks regarding the possibility of the campus having armed security guards. Three dates have been established for campus discussions of having armed security.
Mr. Brad McFadin, Director of Campus Security, stated discussions to arm security are in the beginning stages. Security has begun to address concerns and safety deficiencies on campus, such as lighting, cameras, and grounds obstructions. Training and drills are being conducted and will include Youth ChalleNGe and Early College High School. Fire drills will also include the dorms. Mr. McFadin participates in the Roswell Safe Schools Committee and Liaison meetings, and it is important for local entities to be on same page with responses. Member Blake asked what the University’s responsibility is regarding the dorms since they are privately owned. Mr. McFadin replied security is responsible to respond because the residents are our students. Lt. Bill Dean has worked for ENMU-Roswell for 10 years and responds to numerous events at the dorms. There have been several encounters with firearms and other dangerous paraphernalia, such as a rocket launcher, grenade, and drugs. Currently, campus security does not have the means to respond appropriately in those situations. They are at a disadvantage to defend themselves and protect students and staff. Response time from the Roswell Police Department is between 5-20 minutes. Conversely, response time by on-campus security is about 60 seconds or less. Member Fresquez asked if security has the capability to detain someone. Mr. McFadin stated they do not have the ability to detain anyone at the present time. There are different options for armed security regarding detaining individuals. State statute also permits individuals to have firearms in vehicles. Member Fresquez indicated Mr. McFadin should be the decision-maker in this determination because he and his staff have a strong obligation to keep people safe on our campus. Vice
President Avery asked what the timeline is for a decision. Dr. Powell responded all discussions and feedback will be presented at the September 25 CCB meeting. Member Fresquez inquired what training is required for security to carry a firearm. Mr. McFadin replied it depends on the level of armed security we chose. President Trujillo stated that it is important to get input from all stakeholders. She thanked security for their service.
**Other Business:**
Vice President Avery requested a campus tour. The tour that began in March had to be canceled due to dangerously high winds, and he asked that another date be found for the Board to see campus. Dr. Powell said it could be scheduled for the afternoon of the next Board meeting, September 25. Lunch will be provided at noon and the tour could begin around 1:00 pm.
The next meeting will be Wednesday, September 25, at 4:00 pm.
**Closed Session:**
President Trujillo announced the Board will need to enter into closed session to discuss the President’s annual performance. Member Blake moved to enter into closed session. Member Parsons seconded the motion.
A Roll Call vote was taken: Mireya Trujillo, yes; Cla Avery, yes; Patricia Parsons, yes; Eloise Blake, yes; Ralph Fresquez, yes.
The Board entered closed session at 6:04 pm.
**Open Session:**
I. **Return to Open Session**
Member Blake moved to return to open session at 6:30 pm. Vice President Avery seconded the motion. President Trujillo reported that the only matter discussed during the closed session was the President’s performance. No decisions were made.
**Adjourn**
The meeting was adjourned at 6:32 pm.
Minutes approved by CCB Secretary, Patricia Parsons
[Signature]
9-25-2019
Date
|
MAY 21, 1983
NO1!
Songs by Big Country, Twisted Sister, Phil Collins, Police and loads more
MARC & THE MAMBAS
Exclusive interview and picture
RAGS TO RICHES
Secondhand Chic starring Haysi Fantayzee, Madness, Jo Boxers, Belle Stars
Part 3 The JAM
THE BITTEREST PILL
HEAVEN 17 · THOMPSON TWINS · CREATURES
NICK HEYWARD · MALCOLM McLAREN · WHAM
MARI WILSON · ALL IN COLOUR
EVERY THURSDAY 35p
IR 50p (inc. VAT), Australia $1, New Zealand $1.20, Malaysia $2.25
"I go to a lot of jumble sales, but I like some expensive clothes too."
Sarah Jane of The Belle Stars joins Mark from Madness, Kate from Haysi Fantazzy and Dig from JoBoxers in Rags To Riches – the No. 1 guide to how to look like a million pounds for a mere fistful.
SPECIALS
"We have total control over what we do. A lot of bands say that, but we really mean it. Virgin Records allow us a lot of freedom – they have to, it's part of the deal!"
Why Heaven 17 have been taking it easy and biding their time. The boys who won't let themselves be pushed around tell how they resisted Temptation and fell into the Luxury Gap. Page 27
MEN AT WORK
OVERKILL
I can't get to sleep
I think about the implications
Of diving in too deep
And possibly the complications
Especially at night
I worry over situations
I know will be alright
Perhaps it's just imagination
Day after day it reappears
Night after night my heartbeat shows the fear
Ghosts appear and fade away
NEWS
ABC movie for general release 5
David Sylvian crash facts 5
Iron Maiden sci-fi snub 5
Depeche Mode, Boomtown Rats tour dates 6
EXCLUSIVE
Yazoo split – full details 5
VIDEO
Two hundred years ago America’s church leaders banned the Square Dance. They said it was too sexy. Malcolm McLaren heard about it from the 200-year-old man in our picture (opposite) – and naturally decided to revive it. Then he video’d the results. Take a peep into the weird world of Mad Malcy on page 32.
Marc Almond interview 8
Michael Jackson competition 16
Rags To Riches Four stars take the ten quid challenge 20
Heaven 17 interview 27
The Jam: A Beat Concerto part three 28
Thompson Twins In The Flesh 38
PICTURE DISCS TO BE WON!
SEE PAGE 16
CHARTS
Spandau Ballet dance to victory in our first No. 1 Readers’ Chart, as voted on by you lot out there. For full results turn to page 46 – and for your chance to vote this week, see page 14.
UK Singles UK Albums Video
Deejay’s Choice Readers’ Chart
Indies Writer’s Chart U.S. Charts 46 & 47
FUN
Yvonne French Yeahs & Yeuks 14
Neil Arthur Intimate Details 15
Mike Nolan Person-2-Person 16
George Michael Starwears 17
Gossip 13 More badges 17
Singles 34 Albums 37 In The Flesh 38
Crossword 41 Letters 42
SONGS
Only brings exasperation
It’s time to walk the streets
Small and desolation
At least there’s some lights
And though there’s little variation
It nullifies the night
From overkill
Day after day it reappears
Night after night my heartbeat shows the fear
Ghosts appear and fade away
Come back another day
Ghosts appear and fade away
Ghosts appear and fade away
I can’t get to sleep
I think about the implications
Of diving in too deep
And possibly the complications
Especially at night
I worry over situations
I know will be alright
Perhaps it’s just imagination
It’s just overkill
Words and music Colin Hay
Reproduced by kind permission April Music Ltd
On Epic Records
Men At Work Overkill 2
Police Every Breath You Take 10
Mari Wilson Wonderful To Be With 18
Phil Collins Why Can’t It Wait Til Morning 26
The Jam The Bitterest Pill 30
Blue Zoo (I Just Can’t) Forgive And Forget 32
Big Country In A Big Country 34
Twisted Sister The Kids Are Back 35
COLOUR
Marc & The Mambas 8
Wham 17 Mari Wilson 18
Rags To Riches 20
Nick Heyward 24
Heaven 17 27
Blue Zoo 32
Malcolm McLaren 33
Thompson Twins 39
The Creatures 48
FREE BADGE!
Attention! Here is your second badge coupon. Cut it out and keep it with last week’s coupon.
Next week there’ll be another coupon – and we’ll tell you how to order your free four-in-one badge containing stickers of Yazoo, Dexys, Duran Duran and Culture Club.
Only the first 25,000 people to send in all three coupons will collect the badge. So hang on and wait for instructions. Over and out.
BADGE COUPON TWO
Cover photo of Marc Almond by Peter Ashworth, who also took the Mambas picture on pages 8/9
TEARS FOR FEARS
GOOD FOR YOUR EARS
AT OUR PRICE
Tears For Fears
the hurting
£4.49
album or cassette
CASSETTE INCLUDES EXTRA TRACK.
INCLUDES THE SINGLES
"change"
"mad world"
and "pale shelter"
TEARS FOR FEARS – "THE HURTING"
ADDRESSES
BISHOPSGATE E1
GREAT FOSTER WAY TW1
CHAMBER CROSS ROAD WC2
COVENT GARDEN WC2
KING'S BROADWAY CENTRE W1
EDGWARE ROAD W2
EDGWARE ROAD NW3
FLEET STREET EC4
KENSINGTON HIGH STREET W8
LEWIS'S BOND STREET W1
CENTRE W1
ONWARD HOUSE, 100 HIGH STREET W13
HIGH WYCOMBE, HURSHAM
QUEENSLAND W1
SHAFTELBURY AVENUE W1
SLOANE SQUARE SW1
VICTORIA STREET SW1
YORK ROAD SE15
OUTSIDE LONDON
ABERDEEN AB25 1SB
ARMSTRT SALISBURY
BROMLEY BR CR4 4JL
CAMBRIDGE CB1 1QH
CANTERBURY CT1 1QH
CHESTER CH1 1QH
CHIPPENHAM SN15 2JN
HIGH WYCOMBE HP10 9JN
HOUNSLOW TW3
HARROW HA1 1QH
MAIDSTONE ME14 1QH
MARGATE NG3 1QH
NEWCASTLE NE1 1QH
READING RG1 1QH
CHELSEA GROVE SW1
CHICHESTER PO19 1QH
SLough SL1 1QH
WEMBLEY HA1 1QH
WINDSOR SL4 1QH
COMING SOON:
MIKE OLDFIELD
JON & VANGELIS
PETER GABRIEL
ELTON JOHN
THE CREATURES
MOTORHEAD
BOB MARLEY
THE BEAT
THINK MUSIC - THINK OUR PRICE
AN AMAZING RANGE OF ALBUMS Cassettes
SINGLES 7 & 12 INCH
ALWAYS IN STOCK
NOW OPEN!!
A NEW OUR PRICE RECORD SHOP IN
ELTHAM & WATFORD HIGH STREETS
PHONE 01-677 4174
FOR A DIRECTORY
OF YOUR LOCAL
OUR PRICE RECORD SHOP
OUR PRICE Records
NEWS
DISTRIBUTORS FIGHT FOR ABC MOVIE
ABC's first feature film, *Man Trap*, could be in the nation's cinemas by summer.
Film distributors are currently fighting over the rights, and it seems likely that it will be shown as support to a major movie.
*Man Trap* includes most of ABC's hits. Shot by director Julien Temple, ABC prepare to orchestrate another publicity campaign.
YAZOO split — for real
Yazoo are to split — and that's official.
The Basildon duo are finishing their second LP — which they've been recording on and off most of this year — and then parting to "pursue their own projects".
"It's a form of split," said a spokesman for Mute Records. "They've got no plans to work live again. Mute boss Daniel Miller thinks they may well get back together sometime, but no one knows when. And of course Daniel wants them both to stay with Mute."
Synth player Vince Clarke's plans are unknown, but Alison Moyet intends to continue in the blues vein she explored on a recent *Switch*, with a backing group.
Evidently the split has already had an effect: Alf is reported to be "happier than she's been for ages".
In their brief existence — barely more than a year — Yazoo have achieved some startling successes, including Alf winning several top female singer awards, and a string of hits such as 'Only You' and 'Don't Go'. Their new release is 'Nobody's Diary'.
Sylvian shaken but not scarred
Contrary to what a Virgin spokesperson described as "an inflammatory report" in a national newspaper, David Sylvian did not receive stitches following a car crash late last Wednesday night.
Sylvian, riding in the front seat of his tour manager's car and on his way home, hit the front window when the car was in collision with another vehicle in Kensington.
He was briefly admitted to hospital and treated for bruises, minor cuts and shock.
David is fine and is in little danger of permanent damage to his face.
The accident comes just before the release of a new single on May 27.
Called 'Forbidden Colours', it's a collaboration with Riuichi Sakamoto who appeared on the 'Bamboo Houses' single last year, and is the main theme from the Bowie film *Merry Christmas Mr Lawrence*, which is due for release in the autumn.
Fans are warned to avoid Japanese import copies of 'Forbidden Colours' as the Virgin single is cheaper!
David Sylvian sporting new non-blond hair, with sidekick Riuichi Sakamoto
No Bounty for Sting
Sting is definitely not starring in the third remake of *Mutiny On The Bounty*, as has been reported at least three times in the press.
The star part of Mr Christian has been taken by Australian actor Mel (Mad Max) Gibson, who flew off to Tahiti with the rest of the film crew on Friday.
Sting is going to start work on the sci-fi movie *Dune*, which goes into production in Mexico at the end of this month.
We don't know whether the author of *Dune*, Frank Herbert had any say in choosing Sting, but apparently he was pretty vocal when approached by Iron Maiden's bass player Steve Harris who'd read the book and was so impressed he wrote a song about it for the 'Piece Of Mind' album.
"It was all finished and we had a spoken intro to the song with a couple of lines from the book," says Steve. "We thought Frank Herbert would read a few books because of it.
"We were really surprised when he said that unless we took the song off the album he'd serve us with a huge lawsuit, which would stop us releasing the album."
A swift title-change followed, the spoken intro was dropped, and so was the threatened law-suit.
The new David Bowie single is going to be 'China Girl', released in June. The song was written and originally recorded by Iggy Pop.
In number one of No.1 we told you about a band called The Happy Few. Well, they're not. Drummer John Doyle and keyboard player Evan Charles has joined Richard Jobson, Russell Webb and John McGeoch and the band is called The Armoury Show.
This week sees the release of the first Tears For Fears video. Titled 'Tears For Fears – The Videosingles', it comprises 'Mad World', 'Chains' and 'Pale Shelter'. The 'Pale Shelter' video has never been seen on television.
Bassist Tracey Lamb has left Rock Goddess to be replaced by 19-year-old Londoner Dee O'Malley.
The band are rehearsing for their European tour with Iron Maiden, and will be recording new material on their return.
The Style Council will be performing the full seven minute version of their new single 'Money Go Round' on Friday's *Switch*.
Other guest acts include the B52s' first live TV performance, Maze, the jazz funkers who recently sold out five nights at the Hammersmith Odeon, and Prince Charles And The City Beat Band.
Videos include Nick Heyward, JoBoxers, Bob Marley and Altered Images.
Mode on the road
Depeche Mode return from foreign shores to play a British tour, but you’ll have to wait until September to see them.
They’ll be at Dublin SFX September 9, Belfast Ulster Hall 10, Bristol Colston Hall 12, Brighton Dome 13, Southampton Beaumont 14, Coventry Apollo 15, Sheffield City Hall 16, Aberdeen Capitol 18, Edinburgh Playhouse 19, Glasgow Tiffany’s 20, Newcastle City Hall 21, Liverpool Empire 23, Manchester Apollo 24, Nottingham Royal Concert Hall 25, Hanley Victoria Hall 26, Birmingham Odean 28, Cardiff St Davids Hall 30, Oxford Apollo October 1, Portsmouth Guildhall 3, London Hammersmith Odeon 8 and 7.
Folkestone Leascliff Hall 11, Bangor University 16, Aberystwyth University 17, Birmingham Aston University 18, Reading University 21, Oxford University Collage 22, Bradford University 23, Hull University 24 and Keele University 25.
Mezzoforte, the Icelandic jazz funk band have added six new dates to their UK tour. These are Edinburgh Coasters June 8, Ipswich Gaumont 21, Bristol Dingwalls 23, Oxford Apollo 29, Manchester Apollo July 3 and Liverpool Pickwicks 5.
China Crisis have added two dates to their tour. These are Lancaster University May 19, and Southend Cliffs Pavilion June 2.
Rip Rig And Panic have a date in their home town of Bristol on May 24.
Iron Maiden, one of the most popular heavy metal bands in the world, are to embark on a major British tour to tie in with the success of their album ‘Piece Of Mind’.
Their new album ‘Piece Of Mind’ is out next week, and you can headbang with Bruce Dickinson and Co at Hanley Victoria Hall May 18, Bristol Colston Hall 20, Birmingham Odeon 21, 22, Manchester Apollo 23, London Hammersmith Odeon 26, 27, 28.
Zaine Griff is appearing at the Marquee Club in London every Tuesday night for the rest of May.
Eddie Tenpole Tudor, who has split from his band, releases a solo single on May 20 titled ‘The Hayrick Song’.
Dead Or Alive, the Liverpool band fronted by dreadlocked Pete Burns, have signed to Epic and release their debut single ‘Misty Circles’, at the end of the month.
Ex-Zounds members Steve Lake and Laurence Wood have a new band called The World Service. A single is out on Rough Trade this week called ‘Celebration Town/Turn Out The Light In 12’.
Rod Stewart releases a new single, ‘Baby Jane’, on May 27.
Misty In Roots, one of the top British reggae bands release a double A side single, ‘Follow Fashion/’Poor And Needy’, on their People Unite label on May 20.
The Fearless Four are a New York rap/funk quartet and Y Records have brought out their US disco smash ‘Rocking It’ over here.
Richard Strange releases his first record for nearly two years. ‘Next’ is described as a “dancefloor smash and party fave”, and is out on his own Interslam label.
Leisure Process release a new single ‘Anxiety’ on May 27. The duo, Ross Middleton and Gary Barnacle, are currently working on their debut album which is due out in the autumn.
After a lengthy absence from the pop scene The Boomtown Rats are back.
At the beginning of June they embark on a short university tour performing some of the 30 new songs they’ve written and then they’re off to France to record a new album.
We asked lead singer Bob Geldof (above) if the new material would be very different.
“I don’t know,” he said. “People say it is and we’re having fund playing it which is usually a good indication.
“About a year ago I was really fed up with music but now my interest has been rekindled.
Dates are Bristol Polytechnic June 4, Brighton Top Rank 10,
Clock D.V.A. (below), the cult Sheffield band, release their third LP on Polydor on June 3. Titled ‘Advantages’, the first 10,000 copies will sell for £3.99.
The five-piece will be playing three dates, Nottingham Asylum May 27, East Anglia University 29, and London Heaven 30.
ALTERED IMAGES
BRING ME CLOSER
New Single Available On 12" Extended Mix & 7" TA 3398/A3398
SYMPATHY for the
Marc Almond's moving into Soho. He's found a flat in the heart of London's red light district.
By day the place is seedy enough, the sex shops jostling the few respectable restaurants. After dark it's an area where lonely people get by on dreams of glamour.
Some might think it's the place that suits him perfectly.
Marc draws on Soho for inspiration. He's looking forward to watching the neon reflections on his ceiling and listening to the shady night sounds of the street.
In Soho sex is sold as a substitute for affection. Some of Marc's songs about this fantasy world - the blank-eyed girls in the pay of brutal punters - can chill the blood. But he's also attracted by the strange courage of life's losers.
He writes the wrong sort of songs to be welcomed into the pop establishment.
"I find I'm lonely a lot of the time," he says in his rapid speech that just staves off a stutter.
"I write about cruelty and loneliness - loneliness is one of the main things you feel if you spend your life in hotel rooms.
"I can never talk about my innermost feelings. The only way I can communicate is by songs.
"But I don't write in a sad way. I look on my songs as anthems.
"The idea is you feel uplifted afterwards."
Marc, myself and Ann Hogan, The Mambas' quiet, petite pianist, are wandering through Soho in search of some lunch.
As usual, Marc is in the middle of frantic activity, recording his second LP with his other group The Mambas.
"I feel I can never do enough work," he says.
"I wear myself to a frazzle, but I'm much happier working. I've got so many ideas, but there's not enough hours in the day.
"It's all I've got really. There's nothing else I could do.
"Some people would be intent on making their cash and living a life of idleness. But the only time I'm happy is when I'm in a studio, singing live, or writing."
It's typical of Marc that having found success with Soft Cell he's now searching for fresh experience.
The new Mambas music is influenced by the fierce passions of Spanish flamenco. Marc has written a lot of the melodies as well as the words. And the lyrics are more personal than those of Soft Cell.
Not content with working with the eight Mambas, most of whom have some classical training, he's planning to set up another label with Soft Cell's record company Some Bizzare - purely for unusual partnerships. This last year he's been playing with anyone from The Banshees' Steve Severin and The Birthday Party's Nick Cave to Ardi, the singer from Sex Gang Children.
It's unusual for a pop personality to use the advantages of success - to direct an audience's attention to other areas or introduce new people into the limelight.
Yet that's exactly what Marc's doing - helped by the pioneering spirit of Some Bizzare who are organising their own musical revolution around groups like Cabaret Voltaire and the German experimentalists Einsturzende Neubaten.
But then the way to insult Marc Almond is to call him a pop star.
"It's a derogatory term - something disposable like a packet of soap powder. Like here today, gone tomorrow.
"And I don't want to be gone tomorrow.
"It's a term that gives me instant paranoia," he continues. "I feel like saying, I'm not at all.
"I despise most pop stars and most of the pop scene, because I despise the way that people are caught up in an illusion that makes everyone else like dirt.
"I feel I'm the last person for people to stick on their walls. Special treatment makes me feel guilty. I've no right to that sort of thing just because I've been on telly.
"Pop star is a shallow term unless it's earned and worked for."
With Marc also writing a book about his life and Dave Ball's outstanding talents now in demand to produce other people, some might wonder how Soft Cell will stand up to the strain.
"When people say Soft Cell are going to split, nothing could be further from the truth," Marc explains.
"When Dave and I first started, we were two people with individual ideas and
CONTINUES OVER
styles. That's how we came to work so well together, because we were different and we merged our styles.
"That's why I feel so confident about us. What I've been doing with The Mambas and Dave's been doing on his own has given us a new lease of life as Soft Cell."
Sitting in a restaurant picking at a plate of pasta, with a few contributions from Ann, Marc talks energetically.
"For someone who always claims to be unpolitical, I'm a very political person really. I haven't altered since success. It's made me more angry and unhappy about a lot of things.
"I'm very angry about a lot of the world and the way it is and the way people treat other people. I'm the biggest hypocrite because I'm seduced into that world, being a human being, then I sit up and think, I'm really against this.
"I've no answers for what is right, but I really think about it."
Marc sees red at the thought of the individual crushed and suffocated by society. And he hates the lazy practice of pigeonholing people, especially those stereotypes that apply to women, for whom he feels particular sympathy.
Marc Almond hasn't lost touch with life, because he's still an outsider. Without the protective cocoon that usually comes with stardom, he's still just as likely to be harassed when a punk club's raided by police as any of the other clientele, as happened to him recently.
"This is 1983," he says. "Pop should make a few parents gasp at Top Of The Pops. There should be some excitement, a spark of revolution, a bit of risk and passion in the charts."
At a time when most pop music has its head in the sand, he's one of the few mainstream performers willing to confront reality.
His songs talk about pain and pleasure, disgust and attraction. They disturb the darker side of desire, yet they have a horror of what Marc calls "the piece of meat on the butcher's slab".
He'll tell you that his lifestyle isn't moral, but he says his songs are some sort of purging of his sins.
More than most of pop, Marc Almond's music is in tune with the times. "I try and see as much of life as possible. I feel so many people in music have lost touch with life.
"I want my music to develop through being a part of life, the suffering and cruelty and loneliness – but the survival as well.
"It's like looking for the light at the end of a tunnel. You may never reach it, but it's important that it's there for you to aim towards.
"The biggest compliment I can get is when people say Marc Almond's a torch singer. Because that's how I see that term.
"A leading light."
YELLO.
YOU GOTTA SAY YES TO ANOTHER EXCESS
HMV EXCLUSIVE FREE 12" SINGLE WITH EVERY ALBUM.
YOU GOTTA SAY YES...
ONLY 4.49 ALBUM OR CASSETTE.
the HMV shop
More records. More tapes. More discounts.
All offers subject to availability.
IRON MAIDEN
AT Virgin
£4.49
CASSETTE or RECORD
NEW CASSETTE - NEW ALBUM
Piece of Mind
Produced and Engineered by Martin Birch
AVAILABLE IN DELUXE
CASSETTE PACKAGING AND
GATEFOLD RECORD SLEEVE
OUT OF LONDON SHOPS
BIRMINGHAM 74 Bull Street · BRIGHTON 5 Queens Road · BRISTOL 12/14 Merchant Street · CARDIFF 6/7 Duke Street · CROYDON 46 North End · DURHAM Unit 9, Millburn Gate Centre, North Road · EDINBURGH 191 Princes Street · GLASGOW 28/32 Union Street · LEEDS 145 The Briggate · LIVERPOOL Units 4 & 7 Central Shopping Centre, Ranelagh Street · MANCHESTER Unit BB, Arndale Centre, Market Street · MILTON KEYNES 58 Silbury Arcade, Secklow Gate West · NEWCASTLE 10/14 High Friars, Eldon Square · PETERBOROUGH 34 Queensgate Centre · PLYMOUTH 105 Armada Way · PORTSMOUTH Units 69-73 The Tricorn, Charlotte Street · SHEFFIELD 35 High Street · SOUTHAMPTON 16 Bargate Street · LONDON SHOPS 9 Marble Arch · MEGASTORE 14-16 Oxford Street (50 yards from Tottenham Court Road tube station) · ALSO AT AMES RECORDS AND TAPES ACCRINGTON 25A Broadway · ALTRINCHAM 91A George Street · BLACKBURN 19 Market Way · BURNLEY Balcony, Market Square · CHESTER 52 Northgate Street · ECCLES 74 Church Street · NELSON Marsden Mall Arndale Centre · PRESTON 12 Fishergate Walk · RAWTENSTALL 27 Bank Street · ST. HELENS 8 Palatine Arcade · STOCKPORT 20 Deanery Way · WARRINGTON 2 Dolmans Lane, Market Square
EMI
Whether you've donned brolly or sunglasses (or, if you're F.R. David, both) you can't deny it. Summer is on its way.
In sharp response to our unpredictable weather, most of our favourite non-tax exiles have headed for sunnier climes.
Spandau Ballet trotted off to Bari in Italy the other weekend - a place which, according to manager Steve Dagger, is the country's equivalent of Great Yarmouth - to perform 'Lifeline' for a TV show (a little slow, these Italians).
The show was certainly like Sunday Night At The London Palladium, but it goes on for three days!
There was some very un-Palladium like behaviour though as the police got carried away in their job of protecting the lads from their screaming fans (both of them).
Batons were drawn and battle commenced.
"The police were loving it," says Dagger. "Everytime a star appeared and the fans went wild - WACKKK!!"
A rather distressing telegram arrived on the Whispers desk this week from another place in the sun.
"No.1 - help! Stop. Soft Cell stuck in Spain. Stop. Band were due to do show in Alicante. Stop. Marc cancelled - don't know why. Stop. Law in Spain that unless physically impossible for band to play they have to if contract signed. Stop.
"Main promoter Miguel Lollipop fainted when heard news. Stop. Local promoter took over and ran off with £9,000 in suitcase from band's previous two shows. Stop. Sod. Stop.
"Looks like band may have holiday in jail. Stop. Rang Phonogram for help and they laughed. Stop. It's just started raining. Stop. Bye!"
More problems with the boys in blue a little closer to home.
Seems that every time JoBoxers set out to do a spot of promotion they end up playing cops and robbers.
When they hired a car for a photo session, police swooped down on them because the boys' number plate matched that of a getaway car which had been involved in a bank robbery earlier that morning.
Then when they were shooting the video for 'Just Got Lucky', the police arrived on the scene at Woolwich Docks - seems they'd received a complaint about them riding up a one-way street the wrong way in a cart!
Maybe they should stop pounding the Boxerbeat...
Thomas Dolby continues to do his impersonation of sliced bread in America. He's been inundated with offers for various production projects. Amongst Tom's most fervent admirers is wacky Michael Jackson who's flown him over to lunch in his Hollywood gaffette.
Other people who'd like to get Dolby twiddling their dials are Joni Mitchell and Earth Wind & Fire's Maurice White. Fact.
Thomas was most flattered, though, at the request from ex-Kansas singer Steve Walsh. "I've always adored the works of Kansas," guffawed the bespectacled genius. "This relationship will be both fruitful and artistically demanding. I feel another Foreigner coming on".
While making a personal appearance at the HMV shop in Oxford Street last Thursday, Heaven 17 were to be found autographing their album 'The Luxury Gap' with the instruction 'Vote Labour' along with their names. When one innocent customer requested that the political message be omitted from his copy, a vindictive Martyn Ware wrote all over the record...
They were weeping along the Westway last week when news broke. Clash bassie Paul Simonon has finally married long-time heart-throb Pearl Harbour. The couple wanted the event kept quiet but you know what gossip columns are like, they sneak in when you least expect them and snaffle valuable secrets and unleash them fearlessly on an unsuspecting world.
Incidentally, any similarity twixt Pearl's status with The Clash and Anita Pallenberg's with the Stones is coincidental...
Meanwhile Clash guitarist Mick Jones was spotted in Portobello Market at the weekend wearing what looked like a flared denim suit...
Busy Tracey Ullman is making a new series of Three Of A Kind and will star in Paul McCartney's movie Send My Regards To Broad Street. She's so busy in fact that her agent reckons she's in danger of over-exposure. The sensible chap has vetoed all press and TV until such time as we've all forgotten who Tracey was and where he is.
Rusty Egan, drumming DJ, is taking the Camden Palace out on tour. He plans to open a Palace type thing in Glasgow's Ultratheque late May. Paul Haig will guest along with a bevy of Sun type lovelies especially imported from London's Kings Road. Don't they have their own clothes horses in Scotland?
New EMI signing Hazan are a brother and sister duo from India. Nothing particularly remarkable in that you may counter, except that Nazia and Zoheb's debut single 'Dreamer Deevane' has already been number one in India for 13 months.
The single, produced by Sal Solo of Classix Nouveaux, features Kajlers keyboards player Stuart Neale. It's claimed to be the first rock record to ever get in the Indian charts - sort of 'Anarchy In The Punjab'. According to singer Nazia, "All other records in India are film soundtracks, traditional sitar music. We didn't want to use that traditional style. The kids went wild for the single" Beat it, Michael Jackson...
"I diagnose a severe case of anonymity in your own country, Mr Dolby. My usual prescription in cases such as these is a rest cure in foreign parts, followed by the reissue of old material. My fee is an appearance in your video..." Magnus Pyke examines Tom's back catalogue.
Go West, young men!
Life may have been a bit quiet on the English front for Ultravox lately, but in the States the band are reaping the rewards of a major tour.
Riding on the crest of a wave of British bands like Dexys, Duran and Culture Club, 'Reap The Wild Wind' has made its way into the Top 100. All holidays have come to an end though (unless you're Robert Palmer!) and the band will be back to promote their new single 'We Came To Dance'.
And while the Ultraboys take Vienna to Manhattan, Madness are taking off with their US remix of 'Our House'.
The band are releasing an American LP which will be "in a similar style to 'Complete Madness' but different."
Muted mania
Depeche Mode are just back from a massive tour of America and the Far East, and it's been an education according to singer Dave Gahan.
"They went absolutely bananas in Bankok," he says. "I've never seen anything like it. They literally smashed in our dressing room door to get their hands on us. We were holed up for hours."
"The Japanese are weird too. They sit in total silence throughout the gig and then clap at the end. Very odd, but it was lots of fun."
Right now they're working on a new album which Dave promises will be "unlike anything we've ever done," and a new single is likely to appear in July.
Nick Heyward is planning to tour at the end of this month, but no dates have yet been given. Watch this space.
Steve’s sax appeal
It's not easy bringing a blush to debonair man-of-the-world Steve Norman's face, but one Spandau Ballet fan managed it at a recent gig.
A suspender belt flew out of auditorium and wrapped itself around his saxophone mouthpiece, much to the amusement of the rest of the Spands.
The saucy item now has pride of place in the band's Reformation office.
For the fashion-conscious, it was white lace with pink trimming.
Yvonne French
(Presenter of Channel 4's Switch)
3. ME AND MRS JONES Billy Paul. A gorgeous record, also I remember it was being played in a club one night and a handicapped boy was asking girls to dance. They kept turning him down - it was really sad.
4. LIVING IN THE CITY Stevie Wonder. The lyrics make this one special.
5. BREAK UP TO MAKE UP Delroy Wilson. I used to play this on my Walkman in the summer and dance down the road to it.
6. START The Jam. I just love the feel of this record.
7. DO ANYTHING YOU WANNA DO Eddie And The Hot Rods. I like the message in the lyrics.
8. REDEMPTION SONG Bob Marley And The Wailers. One of many Marley favourites.
9. GREEN ONIONS Booker T And The MGs. One of the true standards.
10. ROCK AND GROOVE WITH ME Bunny Wailer. Another one I loved to dance to.
Yeahs
1. YOUNG HEARTS RUN FREE Candi Staton. A great song which reminds me of parties I went to when I was about 15.
2. SHAME Evelyn 'Champagne' King. A good record, and I had a lot of fun when it was around.
And yeuks
1. TOGETHER WE ARE BEAUTIFUL Fern Kinney. Awful and my ex-flatmate played it constantly.
2. OOH TO BE AH Kajagoogoo. Chronic.
3. EBONY AND IVORY Stevie Wonder and Paul McCartney.
They could both do better.
4. BOHEMIAN RHAPSODY Queen. It bored me to tears.
5. O SUPERMAN Laurie Anderson. Epic murder!
Steve Norman gets down with his No 1 fan – his Mum of course.
**EARLY LIFE**
Name: Neil Arthur
Born: Bull Hill Maternity Hospital, Darwen, Lancs on 15.6.58
School report: Enjoyed art most of all. I was good at English and Maths until the third year.
Childhood ambition: I always wanted to get into art as an illustrator, painter or graphic designer.
1st Crush: Linda Ferdinand. I should think she’s married by now, we were 5 at the time.
1st Kiss: Can I remember. My mum used to kiss me goodnight.
**HOME LIFE**
Lives: London SE15 in a huge old Georgian house. It’s not mine, I share it with four other people.
Cooks: I do actually — lots of curries, lots of stews, I like simple food and vegetables, although I’m not a vegetarian.
TV: Sometimes, I like Coronation Street. Also educational programmes like Horizon.
Records: I love ‘Music for Airports’ by Brian Eno. Pere Ubu, Young Marble Giants, and classical music as well. There were rumours that I didn’t like synthesised music, but I do.
**LOVE LIFE**
In Love: I should say mind your own business, but yes I am.
**Furry Friends:** I really love dogs, but it would be unfair to have one where I am because there’s not enough grass. Also in this business it means I’m away quite a lot. I had a canary once called Leek and Potato — or Spud. He died last year and I had a dream about him last night. I dreamt that he spoke to me, which is odd: canaries can’t talk.
Turn Ons: TV, radio, video . . .
Turn Offs: Untidiness. I hate things being left around. I put absolutely everything away, but if you opened one of my cupboards it’d be in turmoil. I also forget where I’ve put things. Also, I hate it when people don’t listen, and pointless questions, and narrow-mindedness. Also being asked to justify reasons for doing things.
**SOCIAL LIFE**
Films: I’ve got a video. I’ve seen Zombies — Dawn Of The Dead twice at the cinema and twice on video. You can say that I like it!
Gigs: Used to go to a lot. I went to see The Human League twice at the Nashville and it was a really rotten, cold snowy night.
On bended knee, with studded black cap, No. I asked His Royal Highness if music was the answer to the problems of this crazy world.
“It certainly wasn’t my first choice of a way to survive in Boston,” Charles replied.
“Dealing drugs was considered and tried. Pimping and prostitution was tried . . .
“That’s the street economy — who’s got the best girls, who’s got the best stolen goods.
“You can make a lot of money on the black market but in the long run music will make you more.”
Thank God the man met Di and learnt to play an instrument or two.
**BLANCMANGE**
About 50 people turned up including David Bowie, but I only saw the back of his head. I like seeing Pere Ubu when he’s over, and The The, Shriekback, Go-Betweens.
Nights Out: I go out for a meal about twice a month. Can’t afford French, although I love it. African food and Indian is nice, or it’s down to the chippie.
Nights In: I’ve just started reading a Russian book on psychic research.
Lights Out: Always very late. I’m never in bed before midnight.
**PRIVATE LIFE**
Lusts: I lust after things I can’t have. I also lust after carpets.
Fears: Heights. I’m terrified of them. I hate large crowds in pubs. But it’s funny because I like large crowds at our gigs!
Confessions: I’ve never told anybody this. At school I had my picture taken, as you do, and recently it appeared in a magazine as a comparison with Leo Sayer. My hair was long in those days. I was so embarrassed about it, but it was very funny.
I wish . . . My bird of paradise plants would start growing. I was in Tenerife and bought some banana seeds as well, and neither of them have grown. I also wish the Conservatives don’t get in again.
---
**Commoner cents**
Prince Charles, the rightful heir to America’s funk throne, flew into Britain last week to promote his new single ‘Cash (Cash Money)’. Whilst here he also found time to stage a few shows and knock our wayward economy back into shape.
▶ H₂O, the new Glasgow five-piece who have jumped into the Top 100 with their debut single ‘I Dream To Sleep’, have joined Kajagoogoo on their British tour.
Frontman Ian Donaldson is reported to be delighted, especially as . . . “We once played a gig where the electricity cut out because nobody had 50p for the meter.”
▶ All Liverpudlians gather round. A brand new club called The Venue is to stage its first gig on May 23 with up and coming locals, Ex Post Facto.
To launch the club they had an ‘On Yer Bike’ first night where people were invited to play a tune on a bicycle.
Well, it’s different.
No. 1 brings you another first . . . your chance to win a colour picture disc of Michael Jackson's chart topping album, 'Thriller'.
The picture version won't be in the shops 'til June, but 50 lucky readers can get hold of their very own copy by answering three simple questions.
1. What was the name of Michael's first hit from the 'Thriller' LP? Was it a) Billie Jean, b) Mary Ann, c) Billie Jean King.
2. What is the name of Michael's favourite film character: a) R2 D2, b) E.T., c) Mickey Mouse.
3. What was the title of Michael's last album: a) 'Off The Wall', b) 'Off The Fence', c) 'Off The Floor'.
Can you beat it? If you think you've got the answers, jot them on a postcard and send it to Michael Jackson Competition, No.1, Room 2614, Kings Reach Tower, Stamford St., London SE1.
---
Toni Tompkins from Woodford Green definitely got her money's worth when she pinned down Mike Nolan from Bucks Fizz.
Toni: How did you get into singing?
Mike: It's something I've always wanted to do. I used to sing in pubs and clubs after I left school, working in a warehouse during the day.
Toni: When did you meet the others?
Mike: If you mean Bucks Fizz, it was in January '81. Nicola and Andy who wrote 'Do You Mind Up' asked me if I was interested in doing a demo of the song.
I thought the chances of the song winning the Eurovision Song Contest were very slim but I went along anyway.
There were all these six-foot blokes there taking the piss out of me. I'm not as small as David Van Day though.
Then they made a short-list (ha ha) and I met up with Cheryl, Bobby and Jay one Sunday. It was like a waiting room in a doctor's surgery, but we just all clicked.
Toni: What are your future plans?
Mike: Well, we've got a new single coming out in June called 'When We Were Young' which is very different from our other stuff.
We were a bit disappointed that 'Run For Your Life' didn't do so well. But this one is the one we hope we can break the States with.
Toni: Are Bucks Fizz going to stay together?
Mike: Everyone in the group has different plans. I want to do some solo work, but we'd like to stay together for another ten years!
In a year's time we could all be doing different things – maybe solo – but as long as our songs are successful we'll stay together.
Toni: When are you touring next?
Mike: Well we had to cut short our tour because Bobby was ill with a throat infection, but we'd like to do a mini-tour towards the end of the year.
We're planning an album around about Christmas, but it's not a Christmas album if you know what I mean.
I lose a lot of weight on tour because of all the nervous energy. I'm terribly nervous – my stomach just knots up. Cheryl is the same whereas Bobby and Jay aren't at all nervous.
Talkative chap, isn't he? Now it's your turn. Send us five questions you've always wanted to ask your favourite artist, with your name and address, to: Person 2 Person, No. 1, King's Reach Tower, Stamford Street, London SE1.
---
Michael sticks his neck out!
It seems Michael Jackson is rapidly putting together his own zoo on his Los Angeles estate.
He's already got an eight foot anaconda called Muscles, a llama called Louise, two fawns (aah!), a pet white rat and a variety of tropical birds.
And his latest pet tops the lot. But what do you call a giraffe?
---
More Badges
to cut out and use in your 4-in-1 badge!
Next week:
Tears For Fears
Michael Jackson
Human League
Heaven 17
George:
"I've always been clothes-conscious, ever since I was a soul boy in '77. I was the first to wear dungarees in Bushey. Everyone called me a sissy. And I was the first boy at school to wear pegs.
I don't spend much on clothes at all and I really hate shopping. I tend to borrow things from friends and then wear them so long that they don't want them anymore! On Top Of The Pops I wore all other people's clothes.
My favourite pair of jeans I bought off one of the girls in the group, Shirley, for £10. They're from Chelsea Girl. She wants them back now, but she can't have them! I'm hoping short jeans will still be okay to wear in the summer. I've worn them all through the winter and frozen, so I'm not going to give up now!
I'm definitely going to have to rectify my shoe situation, the ones I'm wearing at the moment are really worn out - I got them from Dolcis for £9.99.
It looks so tacky if you're wearing good clothes and grotty old shoes. I'm waiting for the new summer stock.
T-shirts have got to be white for me, and if I'm wearing long trousers the socks have got to be white as well. I get my socks from Marks and Spencers - my mum buys them for me, in bulk!
I usually buy leather jackets second-hand, they're cheaper and they look older. But that's as far as I go with second-hand things. Shirts and underwear I tend to buy as originals!
I did get some old '50s suits from a second-hand shop in Watford called Zoo Rider, and Flip's always a good place for things like that.
Andrew and I always try to dress casually in a kind of easily-copied style; whenever we go on stage we like to wear things that match in the same way. We've got to think up a new style for our new single - 'Bad Boys'.
I tend to look better in more casual stuff. If I'm going out and want to impress a girl, then I wear a nice jumper and a jacket, and make out I've got lots of money, even though I haven't!"
Sliced loaf
Will Meatloaf be changing his name to Meatball perhaps?
Considering that the large one has managed to lose 60lbs of ugly fat in just three months (that's over 4 stone!), he might just do that.
Here Meaty shows us how it was done - lop off a leg here, an arm there. Course, he reckons he was on the Cambridge diet where sufferers are supposed to drink nothing but milkshakes and watch the pounds disappear.
He also reckons that this pic was taken from the video for his new single "The Razor's Edge", filmed at Lambeth Hospital.
He now weighs in at a nimble 235lbs, but if he keeps guzzling the milkshakes he should end up pint-sized.
Meatloaf prepares for major surgery. Pic: Steve Rapport
You said you’d be over after ten
I sat at home and waited until then
Didn’t you know my heart goes bang bang
Whenever you’re near
I confirm you have that magic touch
Will you say you love me very much
Oh didn’t you know that things are
Never what they appear
Chorus:
Wonderful to touch
Because you’re wonderful to hold
Because you’re wonderful to be with
Be with me tonight
Here in wonderland with you
I do the things I plan to do
You’re wonderful to be with
Be with me tonight
I’m assured that opposites attract
When I’m sure of you I might react
Didn’t you know that I was
Living under your spell
Now when I consult my crystal ball
It doesn’t look so wonderful at all
Oh didn’t you know there’s a secret
I never tell
Repeat chorus to fade
Words and music by Teddy Johns
Reproduced by kind permission © Warner Bros
Music Ltd
On Compact
HIGH-TECH TAKEAWAY
Extend your hi-fi system
Amazing looks ... even more amazing sound!
With the highest quality sound coming from records rather than cassettes, why settle for second best? Sound Burger unlocks your collection of LP's or singles and gives superb stereo sounds whenever you please ... either indoors or out.
Listen through the neat set of folding headphones provided or add it as a new dimension to your hi-fi system or radio/cassette recorder.
The experience of musical freedom is now yours for the tasting with the simply amazing Sound Burger... today's high-tech hi-fi takeaway.
Ideal for personal listening
...or the outdoor life
HERE'S WHERE YOU HEAR: HARRODS • JOHN LEWIS • DICKINS & JONES HOUSE OF CLYDESDALE STORES • HI-FI DEALERS • MAJOR ELECTRICAL STORES THROUGHOUT THE COUNTRY.
Available also through national Mail Order catalogues.
Recommended selling price of Sound Burger: £89.95 inc VAT. Complete with one set of headphones; batteries and hi-fi connection lead. Telephone for brochure: 0532 771441
SOUND BURGER by audio-technica
THE WORLD'S LARGEST MAKER OF PICK-UP CARTRIDGES
A four star guide to second-hand shopping that proves you don’t have to spend a fortune to look like a million dollars.
But you don’t know where they’ve been,” me mum gasps every time she catches me in second-hand cast-offs. “Someone could’ve died in that coat!”
Such a morbid imagination, mum, really!
So here’s a warning for the pure of heart: some of the contents in this feature may well disturb you, but they won’t half save you a lot of dough.
For those of us who aren’t squeamish about wearing some old man’s string vest next to our precious skins – and honest, it’s an old wives’ tale about diseases being transmitted that way – try these ideas for size.
Market bargains do have their disadvantages: you can’t be shy about trying things on in public, your precious ‘find’ may reek a
Mandy Patinkin and Bernadette Peters in *Into the Woods* (1987)
bit of eau-de-Mothballs, and someone may have died in it!
You’ll also have to do some detective work to track down the good stalls. Some only stock hideous piles of outsize rubbish; others clearly know the game.
When Bedders, Dig, Kate and S.J. agreed to help us search out some second-hand looks for you, our Ed set an optimistic limit of a fiver an outfit. Well, it’s a long time since he went hunting for ‘50s dresses!
But markets and second-hand shops have now tumbled how much they can get for their jumble, so we ended up togging them out for around £20 a go.
Don’t get ripped off though: check clothes for rips and broken zips. That fab pully you’ve just unearthed won’t look so hot if the pattern down the front is an irremovable coffee stain.
Antique silks can be dodgy little numbers if the fabric’s knackered. They’ll literally fall apart on you, and mending one hole only creates a host of newcomers.
Second-hand shops like Flip have their wares freshly laundered (absolutely no danger of disease here!) and you can try them on in comfort.
Dig and Mark found it easier to pick up things in these places, as markets do tend to go a bit overboard with those ‘50s dresses!
Now pick up the threads with our famous four . . .
**Words and research:** Debbi Voller
**Photos:** Mike Prior
---
**MARK (BEDDERS)
BEDFORD (Madness):**
“I get a lot of secondhand things from Flip and Camden Lock, mainly old shirts. You can get good ones for a fiver, although I think it’s worth paying more if you come across something really unusual, like the one I found for this feature!
Flip’s good for ‘50s jackets, but I always find it difficult to get second-hand trousers that fit. Still, these aren’t too bad.”
**HAT:** From the Bahamas, actually! It’s made of coconut straw.
**TWEED JACKET:** American Classics, £10
**SHIRT:** American Classics, £9.50.
**TROUSERS:** Flip, £2.99.
**SHOES:** My own!
**TOTAL:** £22.49.
---
**DIG WAYNE (JoBoxers):**
“I don’t shop that much, I usually just stumble onto things and then wear them every day for three or four weeks until I get sick of ‘em.
I was into ‘50s things for a long time, as I had a ‘50s band in America. I had some really good stuff but I sold it all.
In America you get jumble from thrift shops, and places like the Goodwill and Volunteers of America – like your Oxfam shops here. Things are cheap because they don’t realise what they’re worth.
Kids in America just tend to buy T-shirts, jeans and track shoes, not like you lot!
I shop at Camden Market on weekends. My girlfriend in New York makes a lot of my hats.”
**HAT:** Laurence Corner, £8.63.
**SWEATSHIRT:** Flip, £1.99.
**TROUSERS:** Flip, £2.99.
**SHOES:** Found them in a pile of rubbish in Wapping.
**SOCKS:** Mother Nature, they don’t look good with shoes!
**BELT** Thrift shop in New York.
**TOTAL:** £13.61.
---
**SARAH-JANE (Belle Stars):**
“I used to study, teach and design fashion before I became a Belle Star. I’ve always been into cowboy stuff. Belle Starr was actually a famous cowgirl who owned a whorehouse until she got killed by her husband! I’ve got eight pairs of cowboy boots, ten cowboy hats and a collection of sheriff’s badges.
I like wearing broderie anglaise with cowgirl bits and pieces. I look like a cross between a cowboy and a biker!
I go to a lot of jumble sales. Whenever we tour I search out the local junk shops and markets.”
**MAJORETTE’S HAT:** Laurence Corner, £8.88.
**PLUME:** £1.25.
**VICTORIAN PETTICOAT:** Covent Garden Market, £10.
**LEGWARMERS ON ARMS:** Flip, £2.99.
**GLOVES:** Junk shop, £1.
**SPOTTY SCARF:** Junk shop, 5p.
**BELTS:** Present from Slim Jim of The Stray Cats.
**GARTER:** Given to me by a friend, cos I collect them.
**BOOTS:** Another present! From a boyfriend in L.A.
**SHERIFF’S BADGE:** Western shop in Ipswich, 95p.
**TOTAL:** £25.12 (Expensive taste, this girl!! – Ed.)
---
**KATE GARNER (Haysi Fantayzee):**
“I like to give clothes an individual look. I buy new or second-hand, alter them to fit, and at the moment I’m spraying nearly everything with metallic paint.
I recommend visits to army stores and leisure shops like Millets. You can get some cheap, unusual things from there – I love their donkey jackets.
I’m squeezing into really tight clothes these days, I’m tired of baggy fashion. So I pinned this black sophisticated number at the back to make it look sexy, until I can get it altered! I can keep it, can’t I?”
**BLACK DRESS:** American Classics, £15.
**SHOES:** My own, sprayed in metallic paint.
**TOTAL:** £15.
---
**Where we went**
**AMERICAN CLASSICS:** 400-404 King’s Road, London, SW10.
**COVENT GARDEN MARKET:** Antique stalls, on Mondays.
**FLIP:** 125 Long Acre, London, WC2. Branches also at 191 King’s Road, SW3; 98 Curtain Road, EC2; and 72 Queen Street, G1 in Glasgow.
**LAURENCE CORNER:** 62-64 Hampstead Road, London, NW1.
Although we only scouted around London, you’ll find similar things in local charity shops and jumble sales. And as Kate suggested, try Millets or other camping and surplus stores. There are branches all over the country.
No matter how fast the fashion trends change, Clockhouse keeps you right in style.
Bigger than ever!
More exciting!
CLOCK
HOUSE
NOW!
Come on in!
C&A
Where value is always in fashion
NICK HEYWARD
WHY CAN’T IT WAIT TILL MORNING
Why can’t it wait till morning
We can talk about it then,
Cos I’ve had a drink too many,
And my troubles, well I ain’t got any.
Why can’t it wait till daylight,
Things will seem much clearer then,
I’m tired and my eyes are weary,
And I just want you lying here with me,
So close your eyes,
I’ll make it oh so nice.
I don’t wanna think about what we’ve said,
And I don’t wanna know why we hurt ourselves,
I just wanna hold you so close to me,
It’ll take care of itself,
And I wanna sleep.
So why can’t it wait till next time,
Cos that time may never come,
Stay here with your arms around me,
You’re going nowhere without me,
So close your eyes,
I’ll make it oh so nice for you.
Words and music Philip Collins
Reproduced by kind permission © 1982
Effectsound Ltd/Hit and Run Music
Publishers On Virgin Records
W.H.Smith have FIXXED it for you at only £4.49
The FIXX’S new album ‘Reach the Beach’ & cassette with two bonus tracks not featured on the album are now available for only £4.49 at WHSMITH
Features the single ‘Saved by Zero’
How to make a million without really trying. First quit a going concern – The Human League – but retain a share of the profits. Second, form a brand new company – Heaven 17 – and make a takeover bid for the charts. Shrewd businesswoman Karen Swayne takes notes on the back of her overdraft. Pavement artist Mike Prior takes penthouse pictures.
There are those who will try to convince you that it’s a tough life in the music business these days. You’ve heard the complaints – there’s no money to be made, any hard earned pennies that do filter through are pocketed by the taxman, and, all in all, it’s a pretty hard job keeping body and soul together.
But you won’t find Martyn Ware or Ian Craig Marsh crying crocodile tears into their Pina Coladas.
“Basically, the reason we’re in this business is to earn money,” admits Martyn with disarming honesty. “We’ve made enough to get the lifestyle we’re happy with, and we intend to keep it.”
Chairman he’ll call his wish, for when these two canny Sheffield lads split from the Human League a couple of years ago, they made a deal selling their rights to the League’s name in return for a percentage of future group earnings. Then they sat back and watched the royalties flooding in – even though they had nothing to do with the new group.
The worldwide success of the League’s ‘Dare’ album gave them a guaranteed income without having to lift a finger. And it left Marsh and Ware free to devote their energies to their new band, Heaven 17.
Along with amiable blond vocalist Glenn Gregory the two also work under the title of the British Electronic Foundation, an organisation they set up to allow them more freedom to work on other projects.
So far the results of this union have been fairly few and far between. But with Heaven 17’s hit single ‘Temptation’ featuring the glorious vocals of Karol Kenyon and a new album, ‘The Luxury Gap’, the three are back in the public eye.
“We didn’t intend for there to be such a gap(!) between our albums,” says Martyn. Heaven 17’s debut LP ‘Penthouse And Pavement’ was released two years ago), “but we’ve been busy with other things.”
One project which took up a lot of their time was a BEF release which went under the name of ‘Music Of Quality And Distinction’.
This album, made up entirely of cover versions sung by artists like Gary Glitter, Sandie Shaw and Paula Yates, came out last year. It was originally intended to be the first of a series of similar discs, but didn’t sell as well as the trio had hoped.
“It didn’t do disastrously,” says Martyn, “but as the record buying public obviously didn’t find the idea that fascinating we can’t really justify the cost of making another one.”
Instead, they’ve spent the time since then working on material for ‘The Luxury Gap’.
“We spent months in the studio doing demo tapes,” says Martyn, who does most of the talking. “The only way we can work is under pressure, so we wrote a lot of songs in the studio.
“It’s a very expensive way of doing it, but we like it that way, even though it does cost a fortune.
“We’re not a traditional pop group in the sense that we don’t sit in a rehearsal studio and jam until something occurs to us.”
Heaven 17 make another break with tradition by refusing to play live. The only exception to this rule was their appearance on the first edition of The Tube.
“They kept having to plots of my bum while Glenn was singing!” laughs Martyn.
“They’re a very arty lot at Channel 4,” adds Glenn sarcastically.
Instead of treading the boards, the trio put in a series of personal appearances where they sang vocals over backing tapes.
It was something of a disillusioning experience however.
“We won’t do any more,” declares Martyn, “because the club managers were just using them as an excuse to rip off the people who came.”
“The PAs were being advertised as live gigs and they were doubling the admission prices so there were a lot of disappointed people who’d gone along expecting to see a band.”
If they have their way Heaven 17 will never do a tour.
“It is a good feeling being onstage,” admits Martyn, “but both Ian and I played loads of gigs with The Human League, and these days you just don’t need to do it to be successful.
“We’re not into the idea of life on the road, we like we’re some heavy metal band who enjoy hotels and groupies and all that – I’m quite content with my life, and there’s no way I’m going to disrupt it if I can possibly help it.”
Suddenly, The Jam are famous. Although their clean-cut suits bring sneers from some London punks, they play to increasingly packed clubs around the capital.
Their debut single – the classic ‘In The City’ – takes them into the Top 40... and Polydor take them into the studio to record an LP.
“It was exciting,” recalls Bruce Foxton, “because we were all so green about it.”
“We did it in about eleven days,” says Rick Buckler. “I think it’s good because it does capture quite truly what we were like in those days.”
The album – also titled ‘In The City’ – is released to rave reviews on May 6, 1977. Riding on a wave of energy, The Jam hit the road...
Their first British tour: Paul, Rick, Bruce and Paul’s dad John Weller stuck in a red Cortina, travelling around England, from town to town, city to city. There were two dates were booked for The Jam and they managed 38 before they cancelled the rest due to exhaustion.
“We were just too knackered,” Bruce Foxton says. “It wasn’t exactly big time. Alright we had a record out and we had done well, it was in the charts. But the places were still similar to what we’d been playing in London.”
To Paul Weller these early dates were a drag. Not only did he find the routine of touring physically exhausting but, because of the build-up in the press about the group, they would have to prove themselves each and every night to justify all the fuss.
“I haven’t got any happy memories at all of the first tour,” Weller says. “I thought it was a lot of hard and painful work really. Mentally I was screwed up. I had just had enough of it.”
To complicate matters further, on their first tour Paul Weller had met a girl called Gill in Aylesbury and for the first time in his life he’d fallen in love.
They were soon seeing each other on a regular basis – but not before The Jam released their second single, ‘All Around The World’. Issued on July 8, 1977, ‘World’ still stands as a classic Jam single – a crisp, dynamic song that pulled no punches.
The record reached 13 in the charts and confirmed the band’s growing British audience. Abroad it was a different matter, as The Jam discovered when they went to tour America.
“It was a drag over there,” recalls Weller. “We played in these really crappy little clubs, doing two sets a night.”
The Jam played 16 American dates in 12 days and quickly burned themselves out. It was too much too soon.
“The people from Polydor turned up in New York,” recalls Rick Buckler, “and we were like flaked out. They thought we were being rude but we were knackered.”
What made hurt was Paul’s fervent dislike of America. The gaudy commercialism, the polite falseness, the American dream and their way of life all found little comfort with this arrogant teenager who loved his homeland.
On top of that he missed Gill.
“He was only 19,” says John, “and he was missing her like mad. Everything was getting on top of him.”
Something of a loner anyway, Paul had started to isolate himself away from friends and family as he began to experience his first true relationship with a girl.
There had been girls in his life before but he found it difficult to communicate with them properly, and the affairs were usually short-lived.
But he was completely besotted with Gill.
Their time together, even to this day, has been plagued by constant rows and arguments as much as it has been boosted by love.
Once during a blazing row at his home in Woking, rather than hit Gill, Weller smashed a tea cup over his own head in frustration. His parents found him and Gill sneaking off to the hospital to have his wound seen to.
"We've always had a really strange relationship... we've had loads and loads of rows. Funny relationship."
It was not long before Paul and Gill moved into a flat in London's Baker Street and Weller cut himself off completely from everything and everyone. His parents were totally behind the move.
"My kids can do what they want," says Ann Weller. "I only advise them."
"Anyway, Paul leaving home did him a lot of good because he can cook now, iron, sew, wash - and it's made him much more independent, which is a good thing really."
Once ensconced in London, Weller became something of a hermit. Outside of the group, he just stayed at home with Gill watching television.
And by his own admission, he was losing interest in The Jam.
"Basically, I let go of the reins..." Weller admits. "I think meeting Gill and that screwed me up quite a lot. It really tore me between carrying on or not."
Weller's songwriting suffered accordingly. Since The Jam's American tour he had been trying unsuccessfully to write material for their second album. In an attempt to come up with some decent songs, The Jam headed for a rehearsal studio in the country.
"The reason," recalls Foxton, "was that because we were in the middle of nowhere we wouldn't have anything to do and be very productive. We just finished up going up the pub every day because it just wasn't working."
Despite this, the band did eventually record the album, 'This Is The Modern World'.
But with Paul wrapped up in Gill and living in London while Rick and Bruce still lived in Woking with their parents, the social bond between the three of them was gradually disappearing.
"Probably started happening when he met Gill," claims Bruce. "It could have been any other way around, if Rick or myself had met a girl.
"But certainly our relationship suffered a bit. Well, a lot - like the old cliche, love is blind. But there's nothing you can do. You'd want Rick or Phil interfering in my life.
"Obviously it affected the touring. The laughs dwindled because you've got your missus on tour, all that side went a bit by the board.
"The main concern though was, like, don't neglect the songwriting - and if he had've done, what could we do about it? It was up to him to realise it."
In October, 1977, The Jam's second album 'This Is The Modern World' was released along with their third single, 'The Modern World'. Both came as something of a disappointment.
Confused, directionless and misplaced, the album saw The Jam in their worst light. Lacking the spirit of their debut LP, Weller's songs were either to busy apeing old Who riffs or just going around in a pool of average songwriting.
Hardly the stuff of giants - and the British public agreed. It reached just 22 in the charts before slipping away.
Worse still, there didn't seem a lot the group could do to alter the situation. As a songwriter, Paul had dried up completely. Bruce Foxton's material was hardly spectacular and Rick Buckler, after a few cursory attempts, soon realised that he couldn't write songs at all. And still the band were growing further apart as friends...
"I just totally immersed myself with Gill," Paul admits, "so therefore we weren't as close. I wanted to take
CONTINUES OVER
her on tour with me, the whole thing. All a real mistake when you look back at it, to cut yourself off that completely, but there you go – things happen that way.
"We weren't as close as what we had been before and that's my fault really."
To promote 'Modern World' The Jam undertook another British tour, concluding with a Christmas gig at Hammersmith Odeon. After that, Paul again retreated to his London flat, disillusioned.
Whereas before the rock press had been on his side, with the release of 'Modern World' they turned against him, and it threw him. Relatively small sales of the LP compounded his feeling.
Two months into 1978, The Jam put out their fourth single, 'News Of The World' coupled with 'Aunties And Uncles' and 'Innocent Man'. Only 'Aunties' was a Weller original – and that a year old – while the other songs, being Bruce's, were too weak to come up for Paul's sterile phase.
By then, though, The Jam were back in the States, supporting Blue Öyster Cult and going down like a lead balloon in front of audiences brought up on a staple diet of Led Zeppelin and heavy metal. Trudging round the States for five weeks with every show greeted by derision – it was just pointless.
It was a very depressed Jam that arrived back in England. The general feeling was that creatively their days were numbered.
The situation wasn't helped by a conversation Bruce had with a Sounds reporter in a late-night disco – a conversation he mistakenly believed was not for publication. "I don't know whether it's going to work out," he was reported as saying. "But one thing I do know is that when The Jam fall through I ain't gonna join another band. This is the only band I'll ever play with...
"I wouldn't like to go through all that hustling round the clubs again, and I wouldn't like it to be a case of Bruce 'who used to be in The Jam' Foxton's new band. No, what I want is to get a small business of my own.
"I'd really like to open up a guesthouse or a small hotel. "I've seen all these people open up one year with just four or five rooms, the next year it's seven or eight, then the next year they're having an extension built. You can't go wrong.
"I've got a bit of money saved up and when it all falls through – which could be tomorrow, who knows? – that's what I think I'll do.
"Open up a place.
"To be rambling on like a failed musician making his last will and testament showed how far Foxton's confidence had sunk.
It was in this frame of mind that The Jam began putting together new material for their third album. Paul's heart just wasn't in it.
Finally, it was to be the band's producer Chris Parry who shook Weller out of his complacency. He came down to the studio, heard the new songs and told the group what he thought.
"His actual words were, 'This is shit'," recalls Weller. "And in that instance he was right. It was good that someone actually came out and said it.
"I think Bruce was a little choked because a lot of the songs were his, but my songs were terrible as well."
Scraping the stuff they had recorded, Paul packed his bags and moved back to Woking to live with his parents for a while. It was a last-ditch move to try to concentrate on his talent once fully.
With his own interest in the band slipping away, with Bruce Foxton's self-confidence in tatters, with the band's reputation in the press at an all-time low, and with music fans in both Britain and the States turning their backs on The Jam, the very survival of the group rested on Paul's shoulders.
It was literally make-or-break time. Whether The Jam would pull through, only the next few weeks would tell.
---
**THE BITTEREST PILL**
(I ever had to swallow)
Oh oh oh
In your white lace and your wedding bells
You look the picture of contented new wealth
But from the onlooking fool who believed your lies
I wish this grave would open up and swallow me alive
For the bitterest pill is hard to swallow
The love I gave hangs in sad coloured mocking shadows, yeah, yeah
When the wheel of fortune broke you fell to me
Out of grey skies to change my misery
The vacant spot, your beating heart took its place
But now I watch smoke leave my lips and fill an empty room
For the bitterest pill is hard to swallow
The love I gave hangs in sad coloured mocking shadows
The bitterest pill is mine to take
But if I took it for a hundred years
I couldn't feel any more ill
Now autumn's breeze blows summer's leaves through my life
Twisted and broken down, no days with sunlight
The dying spark, you left your mark on me
The promise of your kiss but with someone else
For the bitterest pill is mine to swallow
The love I gave hangs in sad coloured mocking shadows
The bitterest pill is mine to take
But if I took it for a hundred years
I couldn't feel any more ill
The bitterest pill is mine to take
But if I took it for a hundred years
I couldn't feel any more ill (to fade)
Words and music Paul Weller
Reproduced by kind permission Morrison Leahy Music Ltd.
On Polydor Records © 1982
NEXT WEEK: THE GLORY YEARS
See Japan for less than £20.
With the W.H. Smith Top Ten Music Videos you can see a lot more than just Japan. Everyone from Fleetwood Mac to Dexy’s Midnight Runners.
So, for a great night out at home with your favourite band, call into W.H. Smith and check out our entire range of music videos for yourself.
W.H. Smith Top Ten Music Videos.
1. Japan: Oil On Canvass ........................................... £19.95
2. Fleetwood Mac: In Concert (Mirage Tour) ............ £24.95
3. Duran Duran ......................................................... £19.95
4. Stevie Nicks: White Wing Dove ....................... £19.95
5. Genesis: Three Sides Live ................................. £19.95
6. Rainbow: Live Between The Eyes ..................... £22.95
7. Dexy’s Midnight Runners: The Bridge .............. £22.95
8. “No Nukes,” featuring Jackson Browne, Bruce Springsteen, James Taylor, etc ............... £24.95
9. Prince’s Trust Rock Gala, featuring Pete Townshend, Phil Collins, Madness, Joan Armatrading, etc.. £24.95
10. Human League Video Single ............................. £9.99
WHSMITH
Subject to availability where you see this sign. Prices correct at time of going to press.
Who ho ho... oh, oh, oh
Forgive and forget
Who ho ho... oh, oh, oh
Forgive and forget
My it was so long ago
when you and I first met
the days were dying slowly
a time and place was set
I recall your anger
when you lost and I had won
you were so vindictive
I thought it would never end
Oh, I just can’t! Oh, I just can’t!
Oh, I just can’t forgive and forget
Oh, I just can’t! Oh, I just can’t!
Oh, I just can’t forgive and forget
Who, ho, ho... oh, oh,
When we started growing up
the conflict had all gone
closer together, with time on our side
I thought I was the only one
to take you where you wanted
then it turned out you tricked me all along
Oh, I just can’t!
Oh, I just can’t forgive and forget
Oh, I just can’t!
Oh, I just can’t forgive and forget
Who, ho, ho, forgive and forget
Who, ho, ho, forgive and forget
When I was you that night
I had no way of knowing
the sound of your voice echoed in the street
You looked at me
I asked where you were going—
tried to explain to you where we could meet
I remember how I felt:
when you said it was all over
The look on your face
gave the game away,
Just a little honesty
as friend or as a lover,
means as much to me as you standing here today.
I just can’t, I just can’t,
I just can’t forgive and forget
Who, ho, ho... forgive and forget
... I just can’t.
Words and Music Tim Parry. Reproduced by kind permission Magnet Music Ltd. On Magnet Records
Malcolm McLaren must be a travel agent's dream. His globe-trotting search for bizarre dances and snatches of folk lore has taken him to Africa, New York's schoolyards and on to the mountains of East Tennessee.
The results of these exotic holidays will be heard when the 'Duck Rock' album is released on May 27.
There are also plans for a documentary video to illustrate the music. Here are some shots from that film.
One of the strangest songs on Malcy's LP is 'Duck For The Oyster', which sounds like a Chinese meal but actually springs from McLaren's visits to the ancient community of the Hilltoppers.
These poor backwoods folk had certainly never heard of Malcolm or The Sex Pistols but were smart enough to recognise a dodgy gazer when they saw one, and promptly locked up their daughters.
Anyroad, Malcolm has adapted the Hilltoppers' Square Dance — a crazy courting ritual which involves the gingham skirted young 'uns taking their partners in and out the window and into the clover. All this to the sound of slapped thighs, scraping fiddles and raucous whistling.
McLaren has updated this jollity with the massed squeaks of a million Pac-Men and voilà! Touch dancing is born.
Meanwhile, Malcolm's follow-up to the Buffalo Gals is the 'Double Dutch' dance, after the skipping game popular with the schoolgirls of New York.
Malcolm's adaptation of the game has been put to a tune sung by the Zulus of Kwayazululand.
How about something nice and simple next time, Malcolm? Like marbles in Mongolia.
AZTEC CAMERA
Walk Out To Winter (Rough Trade)
Another fabulous song from the pen of young Roddy Frame, who turns out lovely melodies at the drop of a hat and is no slouch in the lyric department either. But it's paced all wrong, and as usual the production falls well short of the warm, shimmering sound the song deserves.
A message to you, Roddy: get yourself a new producer and a decent haircut, and you'll be a dead cert for the charts and the pin-up pages.
STYLE COUNCIL
Money-Go-Round (Part 1) (Polydor)
The bitterest let-down, yours to take. The spectacle of media folk grovelling at the feet of their Woking demi-god is ridiculous enough, but when the great capuccino-swiller can serve up no better refreshment than this, one begins to hope that the Council lose the next election.
No one could deny Weller's talents, but he's as capable as the next Joe of making a lousy record, and this one is a stinker. (Fashion note: the emperor's new clothes are styled in Milan.)
1ST LIGHT
Explain The Reasons (London)
Smashing summery Britfunk. It makes no great demands on Derek Green's sweet soul voice, and could do with an extra speck of oomph to make it really stand out from the crowd, but it's a very promising start. More please!
ALTERED IMAGES
Bring Me Closer (Epic)
Truly horrendous. The princess of Squel Appeal attempts to "get down" over a flat-footed disco track. 'Don't Talk To Me' showed a huge improvement in wee Clare's delivery and was a nifty tune to boot, but this mess means a good three steps back. Scores nine on the nauseameter — bleugh!
IMPULSE
The Prize (Epic)
I tried spraying this record all over my eager young body, but no dashing young accountants came haring after me with bunches of flowers. Pity because it's not much fun to listen to, either. The sooner these cod-moderns in their high-necked black shirts are swept out of the way by the likes of Big Country, the better.
THE BOX
Old Style Drop Down (Go! Discs)
Hold on a minute, though: the dreaded rock revival seems a bit less tempting as I listen to this noisy bash. The box may hail from Sheffield, home of the hits, but I can't see 'em leaving it on the strength of this.
POLICE
Every Step You Take (A&M)
The lyrics are so banal that you're forced to assume that the old wasp has done it on purpose. "Oh can't you see, You belong to me," indeed! Formula stuff from the blond hit squad, with pleasant vocals over a rather dull backing. Just because I'm humming it doesn't necessarily mean I like it.
Q FEEL
Dancing In Heaven (Orbital Bebop) (Jive)
Another duff offering in a far from vintage week for 45s. Q Feel have come up with a futurist (hey, remember futurism?) bubblegum piece with no attractive features beyond its perfectly round shape. Written by a computer, performed by robots and bought, if at all, by morons.
STAMPEDE
The Other Side (Polydor)
Come back Twisted Sister, all is forgiven! Stampede are clone stompers, all clean leathers and Farrah Fawcett hairdos, churning out totally anonymous aural stodge. The four of 'em together aren't worth the spit on Dee Snider's mascara.
ULTRAVOX
We Came To Dance (Chrysalis)
Ultravox write some OK tunes, but invariably team them up with the most pompous words in the world. Here, Midge intones the usual meaningless blather in his mournful tones. Doesn't he ever feel like singing something normal, about getting up, feeding the cat, hanging out with Mick Karn and so on?
BIG COUNTRY
In A Big Country (Phonogram)
Funny, isn't it, here we are in 1983 and suddenly this kind of rocky guitar pop sounds refreshingly different again. Stuart Adamson's crew and JoBoxers seem to be heralding a return to real live groups as opposed to a singer and a couple of goodlooking stooges who can dress well, dance moderately and look a bit tasty on video. This may be no bad thing.
The song isn't quite as absurdly catchy as 'Fields of Fire', but the old bagpipes guitar is still blowing away across the glens.
I've never seen you look like this without a reason.
Another promise fallen through, another season passes by you.
I never took the smile away from anybody's face
And that's a desperate way to look for someone who is still a child.
Chorus:
In a big country
Dreams stay with you
Like a lover's voice
Stay alive.
I thought that pain and truth were things that really mattered
But you can't stay here with every single hope you had shattered.
I'm not expecting to grow flowers in a desert,
But I can live and breathe and see the sun in wintertime.
Repeat chorus
So take that look out of here it doesn't fit you,
Because it happened doesn't mean you've been discarded,
Pull up your head off the floor, come up screaming
Cry out for everything you ever might have wanted.
I thought that pain and truth were things that really mattered,
But you can't stay here with every single hope you had shattered.
I'm not expecting to grow flowers in a desert,
But I can live and breathe and see the sun in wintertime.
Chorus to fade
Words and music by Big Country. Reproduced by kind permission Virgin Music (Publishers) Ltd. On Phonogram Records
We walk the streets
In tattered armies
We got the lion in our heart
We're not lookin' for trouble
Just for some fun
But we're all ready if you wanna' start
Chorus:
So, just remember the
The kids are back
The kids are back
Oh, watch out
The kids are back
Well, can you blame us
For living our dreams?
Just look around and you'll see why
We don't want to follow
That same routine
Maybe it's for nothin', but we gotta try
Repeat chorus
Now there's no problem
No need to fuss
We ain't out to stop your fun
Don't mind us askin'
'Cause we gotta know
How can we stop it when you're havin'
None?
Repeat chorus
TWISTED SISTER
The Kids Are Back (WEA)
Undoubtedly another hit for the Alice (Cooper) Through The Looking Glass gang. Seems a shame though, that the cheeky parody of their presentation doesn't come over on their records – shut your eyes and this could be any bunch of tame heavy metal plodders.
That said, I love Dee Snider if only for his invitation yelled across the TOTP studio: "Hey, Boy George! You wanna jam?"
AGNETHA FALTSKOG
The Heat Is On (Epic)
Aggie is a beauty, while her oppo looks like a 45-year-old housewife from Sevenoaks, but Frida's definitely the one to watch in the solo stakes. This feeble pulp pop doesn't come close to the powerfully commercial sound of 'Something Going On'. Ah well, there's always Benny's solo album to look forward to...
DON HENLEY
Unclouded Day (Asylum)
Fairly shook me out of my stirrups, this one. The old Eagle kicks off his cowboy boots and slips into a gospel number, delivered over a backing that's a mere tobacco-spit from reggae. So surprising that I was quite charmed by the end result, which is no burn steer.
MICHAEL FAGAN AND THE BOLLOCK BROTHERS
God Save The Queen (Charly)
There are quite clearly no bounds to Jock McDonald's bad taste. A couple of hundred years ago, he would probably have been organising the paying customers at public hangings. The palace intruder's version of The Sex Pistols' Jubilee classic is innocuous enough in itself, but the thinking behind it is loathsome beyond words.
THE PIRANHAS
Easy Come Easy Go (Dakota)
Is Boring Bob outlining the philosophy of relegated Cup finalists Brighton and Hove Albion? Probably not, but it's a tempting notion. This is the usual mixture of bouncy melody, tropic of Sussex brass and the lugubrious tones of Mr Grover himself, the only man alive whose cheery bonhomie matches that of Terry Hall! One for your mum.
THE FEARLESS FOUR
Rocking It (Y)
Great repetitious synthy dance track, topped with the most boring rap-chant vocals you could ever hope to find. Honestly, you'd have to scour New York to find worse, and goodness knows there's enough tedious funkin' about going on in that part of the world. C'mon now, one two three— I'VE HAD ENOUGH OF THAT FUNKY STUFF...
CHARLOTTE CORNWELL as SHELLEY MAZE
Never Going Home (CBS)
From the forthcoming TV series No Excuses, written by Barrie Keefe. Unless I'm mistaken (and we must take that possibility into account) the series also stars Peter Hugo Daly, which is a point in its favour. The same cannot be said for this song, which is sub-Springsteen bluster of the emptiest kind.
SHRIEKBACK
Working On The Ground (Y)
Great name, Shriekback. They seem to be into a sort of English voice over scratchy dance guitars, spiritual heirs of the Gang Of Four groove thang here. And for people who like that sort of thing... Well, this is exactly the sort of thing they like.
THE LONDON COWBOYS
Street Full Of Soul (Flickknife)
Poor old Glen Matlock. A second division rocker since his early burst of glory with the Pistols, he's gained no league or cup honours in several seasons and by the sound of this offering he's in danger of sliding into the third. Dull, unimaginative rock.
THE ELIMINATOR
Call up a B52 strike...
Code name WHAMMY!
B52's 'WHAMMY'
Includes hit single
'Future Generation'
Album and Cassette £3.99
OUT OF LONDON SHOPS
BIRMINGHAM 74 Bull Street · BRIGHTON 5 Queens Road · BRISTOL 12/14 Merchant Street · CARDIFF 6/7 Duke Street · CROYDON 46 North End · DURHAM Unit 9, Milburn Gate Centre, North Road · EDINBURGH 131 Princes Street · GLASGOW 28/32 Union Street · LEEDS 145 The Briggate · LIVERPOOL Units 4 & 7 Central Shopping Centre, Ranelagh Street · MANCHESTER Unit BB, Arndale Centre, Market Street · MILTON KEYNES 59 Silbury Arcade, Secklow Gate West · NEWCASTLE 10/14 High Friars, Eldon Square · PETERBOROUGH 34 Queensgate Centre · PLYMOUTH 105 Armada Way · PORTSMOUTH Units 69-73 The Tricorn, Charlotte Street · SHEFFIELD 35 High Street · SOUTHAMPTON 16 Bargate Street · LONDON SHOPS 9 Marble Arch · MEGASTORE 14-16 Oxford Street (50 yards from Tottenham Court Road tube station) · ALSO AT AMES RECORDS AND TAPES ACCRINGTON 25A Broadway · ALTRINCHAM 91A George Street BLACKBURN 19 Market Way · BURNLEY Balcony, Market Square · CHESTER 52 Northgate Street · ECCLES 74 Church Street · NELSON Marsden Mall Arndale Centre · PRESTON 12 Fishergate Walk · RAWTENSTALL 27 Bank Street · ST. HELENS 8 Palatine Arcade · STOCKPORT 20 Deanery Way · WARRINGTON 2 Dolmans Lane, Market Square
ALBUMS
Check the pulse of the new releases with our unique temperature gauge. The blacker the strip, the hotter the wax.
BILL NELSON
Chimera (Mercury)
The perfect gentleman of experimental pop, Bill Nelson's back with another LP which doesn't do justice to his pop or experiment.
Too clever for its own good, not daring enough for real experiment, 'Chimera' hovers uneasily between the two.
That said, some of this LP is very pleasant in an unassuming sort of way. If Nelson's intention is to produce a superior sort of background music, he's certainly succeeded.
Aided by musicians of the calibre of Japan's Mick Karn, the texture of the music is often attractive.
But the best mood music is haunting, and most of this is forgettable.
Lynn Hanna
NICK LOWE
The Abominable Showman
(F. Beat/Warners)
Pure pop has come a long way since Basher Lowe coined the term back when pub rock was mutating into punk.
Nick's pop has remained a mix of bad puns and sly references to past classics. He sounds as cheerful as ever and he still makes free with a jumble of styles, taking in ska and swing on his journey to the bar.
Unfortunately time has moved on. Pure pop is now pretty boys and girls with synths and no memories. Meanwhile Nick works America and has delivered a rushed and lacklustre helping of slapdash tunes with titles like "Time Wounds All Heels".
None of the songs sound like they matter and, sadly, they don't raise the usual quota of smiles. Both too throwaway and too ponderous, Nick's latest labour of lust/love just sounds laboured.
Mark Cooper
THE WAITRESSES
Bruiseology (Polydor)
I was a waitress myself once. It made me tired and bad-tempered most of the time, and, as chance would have it, this album has much the same effect.
Shame really, because there's some good ideas lurking in here somewhere, and I can't fault the song-titles: how can anyone resist 'Everything's Wrong If My Hair Is Wrong', or, 'They're All Out Of Liquor, Let's Find Another Party'? It's too bad that you don't just read albums, you have to listen to them as well.
All you'll get for your trouble out of this lot is something that sounds like late Blondie vocals spliced onto the wrong backing track. It's too tinny, too tame and as dated as deely-boppers.
Maureen Rice
THE DECORATORS
Rebel Songs (Red Flame Records)
You can starve yourself of sleep and cut down on calories, but you cannot do without the new Decorators album.
Impossible to describe accurately to the uninitiated, 'Rebel Songs' is everything you gave up wishing an album could be: singular, stylish—and a little bit scary.
Mick Bevan's late-night voice and heart-stopping lyrics will make your flesh creep and your heart weep, and if you don't find yourself singing right along with him then you're probably dead and just don't know it.
Debbi Voller
ROUGH TRADE
Shaking The Foundations
(CBS)
Doom and gloom merchants this bunch, who sing about the coming of the anti-christ, torture on the sexual battleground, wells of loneliness, bottomless white and endless nights, blood stained pillows and crimes of passion, ecstasy and agony, amusement and abuse, the heights we climb and the depths we sink to.
Music devoid of style and optimism—the boring repetitive hook lines tagged on the end of every song are as depressing as the lyrics.
I've got enough problems of my own, thank you!
Max Bell
YELLO
You Gotta Say Yes To Another Excess (Stiff)
This is the first album that Yello, a bizarre Swiss trio, have made for Stiff. It isn't an auspicious debut.
Past evidence, particularly the 'Claro Que Si' set, showed that Yello's mix of oddball humour with sophisticated electronic trickery could be stimulating and funny.
'You Gotta Say Yes' sacrifices that vitality for some easy laughs which soon grow tiresome.
Dieter Meier, Boris Blank and Carlos Peron try to specialise in the artistic side of pop. Like Laurie Anderson, many of their ideas for synthesised treatments make more sense in performance. Here the results are uncomfortably close to a techno-rock mess (hullo Alan Parsons and Pink Floyd). As for the lyrical experiments in English and Esperanto, they strive hard to be witty but are only embarrassing.
You can say no to another excess. It's excessively dull.
Anne Lambert
Listen to them twice and you'll love them forever.
Maureen Rice
IRON MAIDEN
Piece of Mind (EMI)
Iron Maiden really enjoy themselves. These sleeve notes are full of pub crawls, junk food and lots of laughs.
At a live gig, these knights transform their fans into majestic warriors. They transport them to some mythical land and ensure that the soaring guitar solos and frantic pace keep them there.
Unfortunately vinyl will never recapture the sweat, total deafness and headbanging excitement of a live gig. These people live on another planet—this record will only take you halfway there.
Anne Lambert
SNAPSHOTS
THE CREATURES
Feast (Polydor)
Siouxsie Sioux and Budgie Banshee's first full-length venture as The Creatures is more a set of sharp fragments than an album.
The Banshees have always expressed moods intensely—from the violent, heady whirls of their early work to the inward gnawing of 'A Kiss In The Dreamhouse'. The Creatures throw us at the same images yet let them flit past. As a result, their sound is never as fluid or as heavily magical as that of the Banshees. Yet their sparsity can create a stark beauty.
Recorded in Hawaii, ethnic effects run through the album. Where they take over completely, as on 'Inoa Ole' and 'Festival Of Colours', the spindly sound is suffocated. When used subtly the drummers and chasers complement the brilliant flaky edge of Siouxs's vocals and Budgie's percussion.
'Miss The Girl' and 'Morning Dawning' stand out.
More than a tourist guide, less than a journey, The Creatures' debut LP is sometimes insubstantial, sometimes as thrilling as the sudden flight of a hummingbird.
Next time, let's hope the whirlwind romance turns into a long honeymoon. The first cuts aren't always the deepest.
Leyla Sanai
Kajagoogoo
Friars, Aylesbury
Nobody really lets rip until little Limahl steps into the spotlight. He holds up his hand for silence and you can hear a pin drop. What is he going to say? "Hello — and welcome . . ." That's all, but that's enough. Nobody here will be making any friends down at the Noise Abatement Society.
I liked Kajagoogoo because they didn't pull any fast ones. They were the music's surprise, really good musicians and enthusiastic performers.
Limahl is perfect in his role as lover-boy, the bottle-blond tart with a heart of gold, stretching as far into the audience as he can. They played tracks off the album, the new single, old A-sides, B-sides and lots more besides. They told little stories, and thanked everyone for their support. They had the crowd dancing and clapping and singing along and sent them home worn out and thoroughly happy.
Some people say it isn't cool to like Kajagoogoo: nobody here could possibly have cared less.
Maureen Rice
Iron Maiden
Nottingham Royal Concert Hall
This was the thirteenth time I'd seen Iron Maiden and, quite honestly, I've never seen them any better.
Promoting their strongest album to date and backed to the hilt by a packed and fervent crowd, they delivered an impressive set.
New drummer Nico McBrain gave a workmanlike performance and the rest of the band performed with equal zest.
They played all of 'Piece Of Mind' bar two tracks and if the crowd didn't seem to approve quite as much as I'd expected, I'm sure they'll get to like the songs when they're a little more familiar.
"Who's Maiden number eleven? Nahhhh . . ." intoned singer Bruce Dickinson before they played their chart hit 'Flight Of Icarus' and I could have sworn I felt the walls shake with the roar.
If their astounding rise continues, this time next year Iron Maiden will be the biggest heavy metal band in the world.
David Ling
Pop's favourite detectives nearly became a flash in the pan the other night. "We played Leeds University," explains Twin Tom Bailey, "and it was so hot that the sweat condensed on the ceiling and it started raining!
"Then it dripped on the equipment and fused the PA. It was really frightening because loads of kids were passing out and I guess we could have been electrocuted with all that water about."
Tonight in the whiter than white surrounds of Nottingham's six-month-old Royal Concert Hall, The Thompson Twins look much less likely to quick step and snuff it.
For a start it's their second seated venue of the tour. Although any instructions to stay on the seats are soon disregarded, as the Twins move quickly into third gear with 'Love Lies Bleeding', the affair's a little less manic than previous shows on the tour.
The Royal Concert Hall takes 2,400 people — and it's full. Even so, it doesn't feel cramped, just a bit warm with half the audience jiving and swaying on the balconies. Anyone for Night At The Opera?
In fact 'Space Is The Place' as far as The Thompson Twins are concerned. Their stage show is very simple, very spacious — and highly effective.
Their set surrounds them with screens (and umbrellas!) and is wittily lit to cast different shapes and shadows.
The impression you get is of those home made peepshows where you make three-legged kangaroos, with the help of your hands, a candle and some toilet paper.
The tour de force, 'All Fall Down', features Alannah, silhouetted, rhythmically banging a steam boiler with a hammer. The boiler may not be there but the steam is real enough!
It may all sound daft but in a place this size the effects come across extremely well.
"I don't like to see shows where people just stand there playing — that's really boring," explains Alannah Currie in the Twins' dressing room, at the end of the evening.
"I like people like Annie Lennox and Grace Jones who actually do a show.
"You can't play to places like this without projecting something more — getting into more theatrical ideas.
"We've really only just started making use of the screens — we've got a long way to go yet. A lot of what we do is like a play; it's behind her in an enormous pigtail, she looks like a demented field mouse.
Yet amongst all the play-acting there is still a great musical discipline. The band's usual format of four keyboards, bass, and Alannah's wonderful world of percussion fuses into a strong and rhythmic whole.
They've come a long way from those hectic art student days when chaos and amateurism were enough to satisfy their cult following.
Now their show is clean, efficient and highly professional. There are still problems however.
Tom and Alannah have very different ideas of what makes for the best kind of show.
While Alannah enjoys the space and clarity of tonight's performance, Tom prefers the sweatiness of some of the previous dates.
"I really like it when it's like dangerous!" he chuckles. "I appreciate though that the bigger we get the more we'll have to do places like tonight."
Somehow you get the feeling these Twins will manage to cope.
Fresh from their tour of the States and with a second Top Ten hit under their belts, The Thompson Twins sidestep into Nottingham. Paul Simper packs his hot-water bottle and finds the Twins have the crowd on their side.
Instant Reaction
"It's the first time I've been here and I really enjoyed it. They didn't play much of their old stuff but I think they're much better now."
— Julia Edwards, 16, from Northampton.
IN THE FLESH
INSTANT REACTION
“They were brilliant. I threw a red rose to Tom Bailey but he didn’t get it.”
— Michelle Pickering, 14, from Keyworth, Nottingham.
INSTANT REACTION
“Their music’s changed quite a bit since I first saw them – especially the way they use the keyboards – and I think that’s a good thing.”
— Kathy Kettell, 24, from Leicester
“I could see this hand slowly moving towards my drumsticks just as I was about to use them. I couldn’t think what to do so I just stood on it!”
— Alannah Currie
Photos by Bryn Jones
Halsi Fanayze
NEW SINGLE
SISTER FRICTION
LIMITED EDITION POSTER BAG
3 Track 12" Available
ACROSS
1. I Am Me? (7,6)
8. Rip It – (2)
9. Remember The Human League’s reflective friend? (6,3)
11. Lady from Wham! (3)
12. Brown Girl In The – (4)
13. Elvis is yours from head to – (3)
15. Blondie’s first No. 1 hit: – – Glass (5,2)
17. Mr Collins from Orange Juice (5)
19. Diana, who told you to work that body . . . (4)
20. Lionel Richie’s romantic possession (2,4)
23. Lady with her Jamaican Guy (5,5)
24. ‘– Never Giving Up’ (2)
26. That Egan chappie . . . (5)
27. He’s happy and sensible! (7)
Know the face? See 23 across.
DOWN
1. – And Lightning (Thin Lizzy) (7)
2. – The City (The Jam) (2)
3. “If there were no—/If there were just one more chance” (Icehouse) (8)
4. – Duran (5)
5. – Maiden (4)
6. At what Heaven 17 desire . . . (10)
7. Renato’s chum (5)
18. Are they still a sign of the times? (5,5)
14. Spandau songwriter (4,4)
15. Harry Nilsson (initis)
16. DJ Alan. Flirt to you . . . (7)
18. Dave Stewart (initis)
19. One of the Taylor boys (5)
21. Kevin Rowland is a . . . (4)
22. Godley and Creme’s old group (2,1,1)
25. Remember Trio’s hit: Da, da, – ? (2)
Figured out who it is on the right? Right!
1. What was the name of her previous group?
2. When she was 17, she came to London to:
(a) be in Jesus Christ Superstar
(b) study music
(c) work at the Playboy Club?
3. Two singles were recently in the charts together. Which was released first (careful. . . ) and which video included a rocket and a cow?
4. No problem remembering her birthday! Why not?
SECONDS OUT...
1. SPANDAU MANIA
Britain’s No. 1 magazine meets Britain’s No. 1 band – How are the Ballet boys handling Spandaumania?
2. BIG COUNTRY
in BIG colour
3. BLIND DATE
Who’s this hiding and who is her mystery partner? And more important, what did they have for lunch together?
4. MUSICAL YOUTH
It’s a family affair – the Youth put their feet up with the old folks back home. Great colour spread.
5. JOBOXERS
On the box – we visit lovely Woolwich to watch the boys make their video for ‘Just Got Lucky’.
6. GLITTERING PRIZES
Win a sparkling donkey jacket painted specially for you by Hayo’s Fantasyzee – and get 50p off their new single.
7. THE JAM
Part four of this revealing saga – That’s Entertainment.
8. AND STILL ONLY 35 PENCE!
ROUND 4!
NO! NOW IT’S NO.1 EVERY WEEK OUT NEXT THURSDAY!
So... what do you think of it so far? (And don't say rubbish!)
Post your point of view on us, you or anything else you want to One To 1, Room 2614, King's Reach Tower, Stamford Street, London SE1 9LS.
And we'll send a £5 record token to the writer of our letter of the week.
Reading Beki Bondage's Yeahs And Yeuks, I noticed she mentioned 'Sparrows Song' by St Winifred's School Choir as a Yeuk!
Actually, St Winifred's sang on Grandma, which I admit was just as bad - and I should know because I was in the choir when this record was made. It was hated by 99% of us, but we didn't have any say in the matter!
Tara Daynes, Stockport, Cheshire.
(ex St. Winifred's Choir person)
Hope a £5 record token will help you live it down!
Thank you, thank you! Thank you for putting Boy George in your first No. 1 magazine, what a great start. Wow! Those two gorgeous pictures, one on the front cover which looks appetizing enough, then open it up and he hits you in the face again. I know I haven't got a million to one chance of meeting him, living in Wyre Piddle, but at least now I can spend many happy hours gazing at him.
Louise Middleton, Wyre Piddle, Worcs.
Oi, you! I've just spent my bus fare on your new magazine and I have a complaint... it's too good! Not only do you give us a free badge but there's also a choice of groups to go in it!
What have you done? Now I'll have to walk to school every Thursday!
Maxine, dedicated Soft Cell Fan. So we're keeping you fit and healthy as well!
I do think your record reviews could be a little more constructive. I refer particularly to Paul Simper's comments (so brief as to be quite pointless) on the new Alvin Stardust single. Your readers'll gain nothing from that review. I've seen Alvin on stage twice in the last month and he's always well received.
Lynne Appleby, Redcar.
The good news - Paul's been given a severe strapping for his insensitivity. The bad news - he enjoyed it!
Left: Alvin Stardust - fans to the rescue!
Sorry, I don't like the temperature gauge on your album page! Can you imagine what it would be like if this sort of thing caught on? People would be walking around saying things like, "Have you heard Heaven 17's new one, it's really warm," or even, "I bought Meatloaf's album yesterday, it's a bit tepid." All rather confusing if you ask me!
Zoe Mackenzie, Clapton, London.
In your first issue a couple of readers complained about the Respond Posse tour because Paul Weller wasn't there. Well, Paul Weller said he was going to let Tracie and The Questions go it alone, so if they only went to see him, they might as well've stayed at home. I went to see Tracie and The Questions on the cold, wet eve of my physics and maths exams, but it was well worth it.
Brad Dermott, Stoneycroft, Liverpool.
I have to complain about the people you interviewed at the Leicester date of the Respond Posse Tour. They seem to forget that these were the first live dates for Tracie, and The Questions are
Puzzle answers
STARCROSS
Across: 1 Twisted Sister 8 Up
9 Mirror Man 11 Dee 12 Ring
13 Toe 15 Heart Of 17 Edwyn
19 Ross 20 My Love 23 Grace
Jones 24 I'm 26 Rusty 27 Captain
Down: 1 Thunder 2 In
3 Tomorrow 4 Duran 5 Iron
6 Temptation 7 Renee 10 Belle
Stars 14 Gary Kemp 15 HN
16 Freeman 18 DS 19 Roger
21 Dexy 22 10CC 25 Da.
SPLIT PERSONALITY
...it's Annie Lennox (Eurythmics)
1 The Tourists 2 Study music
3 Love Is A Stranger; Sweet Dreams
4 Christmas Day.
POISONARROW
This is where we ask you to unleash the beast in your cruel hearts and slag someone off. Send your nasty pieces of work to: Poison Arrow, No. 1, Room 2614, King's Reach Tower, Stamford Street, London SE1 9LS.
It makes me sick seeing Duran Duran, kajagoogoo and Culture Club staring out of every magazine I read. My friends and I are devoted Jazz Funkers into Soul, Electric Funk, Reggae, Lovers Rock and Aqua Funk. We have style and good taste. The singers in these groups are much better looking, and at least you can tell what sex they are!
Print this letter or I'll have the Croydon Posse after you!
Angela Benham, Croydon Soul Patrol.
Print this letter and you'll have most of our readers after you, you mean.
We'll make a point and you can raise the roof about it!
We asked for your thoughts on *Top Of The Pops* and this was the mixed reaction.
*Top Of The Pops* . . . is about as lively as a fossil. *Switch* is much better! – Fred, Somerset
It's better than *Dallas!* – Susan Wraith, S. Humberside.
*TOTP* is even better now they've started having Jonathan King with the US charts. It should be on for at least an hour. – Nina Bugeja, Lancs.
Jonathan King once said, "I think 90% of the population find me absolutely horrid" and I have to agree with him. – Pauline, Cleveland (one of the 90%).
When *TOTP* finally got rid of Legs & Co, I thought it was safe to go back to watching it. But that was before being subjected to Zoo! – Angela, Middx.
I like Zoo, they always wear such exciting costumes. – Allison Johnson, Mid Glam.
People who go on *TOTP* should sing live, know their song words, and come in at the right places! – D.M. Rodney, Swindon.
*TOTP* is a mime show for demented DJs. How can someone watch three hairy gorillas jump around for half an hour? – Sean Whetstone, Surrey.
Pop stars should introduce the songs, and not those silly Radio One DJs. – Andrew Hutchcraft, Cambs.
As for Jimmy Saville and his Superman jacket, I ask you! Have you ever seen anything so stupid? The 1,000th edition was a disgrace. – Liz, Scotland.
Even though it's the oldest pop show, I think it'll stay the best for a long time to come. – Suzanne, Warwickshire.
Now for something topical. Tell us what you think of the General Election!
Write a letter or a line to POINTS, No. 1, Room 2614, King's Reach Tower, Stamford Street, London SE1 9LS.
hardly overflowing with experience.
Let these acts get a few more live dates under their belts and a few more singles behind them, and then start passing judgement.
Remember, Motown was going in the late '50s but didn't see the light of day over here until '64.
*An angry Stylist*
Please would you print the words of 'Our Lips Are Sealed' by Fun Boy Three, but their Urdu version. I want to be able to sing along and astonish all my chums!
Karen Hulse, Cannock, Staffordshire
As for the words, our lips are sealed. And the tune's different too!
### U.S. SINGLES
1. **BEAT IT** Michael Jackson (Epic)
2. **LET'S DANCE** David Bowie (EMI America)
3. **JEOPARDY** Greg Kihn Band (Elektra)
4. **OVER AND OUT** Men At Work (Columbia)
5. **SHE'LL UNDERSTAND ME WITH SCIENCE** Thomas Dolby (Capitol)
6. **COME ON EILEEN** Dexys Midnight Runners (Polygram)
7. **FLAMINGOES... WHAT A FEELING** Irene Cara (Polygram)
8. **LITTLE RED CORVETTE** Prince (Warner Bros)
9. **SOLITAIRE** Laura Branigan (Atlantic)
10. **FIREWOMAN** Starship (Fire) (Epic)
11. **I WON'T HOLD YOU BACK** Tom (Columbia)
12. **MY LOVE** Lionel Richie (Motown)
13. **PHOTOGRAPH** Def Leppard (Polygram)
14. **RIO** Duran Duran (Capitol)
15. **STAY NIGHT FROM THE HEART** Bryan Adams (A&M)
16. **MR ROBOTO** Styx (A&M)
17. **TIME** Culture Club (Epic)
18. **EVENT** Bob Seger & The Silver Bullet Band (Capitol)
19. **AFFAIR OF THE HEART** Rick Springfield (RCA)
20. **THE LAST JOURNEY** Journey (Columbia)
21. **MORNIN'** Jarreau (Warner Bros)
22. **ALWAYS SOMETHING THERE TO REMIND ME** Naked Eyes (EMI America)
23. **DON'T LET IT END** Styx (A&M)
24. **I CAN'T BEAR** Michael Jackson (Epic)
25. **STRANGER IN MY HOUSE** Ronnie Milsap (RCA)
26. **FAMILY MAN** Daryl Hall & John Oates (RCA)
27. **SHE'S A BEAUTY** The Tubes (Capitol)
28. **IT MIGHT BE YOU** Stephen Bishop (Warner Bros)
29. **SEPARATE WAYS** Journey (Columbia)
30. **TRY AGAIN** Champaing (Columbia)
Compiled by Billboard Magazine
### DISCO/DANCE SINGLES
1. **DANCING TIGHT** Galaxy (Ensign)
2. **JUICY FRUIT** Mutine (Epic)
3. **LOVE TOWN** Booker Newberry III (Boardwalk)
4. **CANDY GIRL** New Edition (London)
5. **MUSIC D'AMOUR** Pressure (Epic)
6. **STOP AND GO** David Grant (Chrysalis)
7. **CANDY MAN** Mary Jane Girls (Gordy)
8. **IN THE BOTTLE** C.O.D. (Streetwave)
9. **SAVE THE WHOLE TIME FOR ME** Gladys Knight & The Pips (CBS)
10. **MINEFIELD** Level (Virgin)
11. **BEAT IT** Michael Jackson (Epic)
12. **SOMETHING SPECIAL** Billy Harvey (Pressure)
13. **LOVE'S GONNA GET YOU** UK Players (RCA)
14. **MORNIN'** Al Jarreau (Warner Bros)
15. **SMOOTHIN' GROVIN'** Ingram (Streetwave)
16. **THE GIRL IS FINER** (SO FINE) Fatback (Spring)
17. **LET'S GET IT** Kevy Bazze featuring Frankie Beverly (Capitol)
18. **WHEN BOYS TALK** Indeep (Sound Of New York)
19. **IF YOU CAN'T HEAR** Band AKA (CBS)
20. **IN THE STREET** Prince Charles & The City Beat Band (Greyhound)
21. **WALKIN' THE LINE** Brass Construction (Capitol)
22. **YOUNG, FREE AND SINGLE** Sunfire (Warner Bros)
23. **HEAT YOU UP, MELT YOU DOWN** Shirley Lites (West End)
24. **LET'S DANCE** David Bowie (EMI America)
25. **DIDN'T KNOW ABOUT LOVE** Lenny White (Elektra)
26. **BAD BOYS** Wham! (Inevision)
27. **WEEKEND** Class Action (Jive)
28. **YOU DON'T KNOW WHAT YOU'VE GOT** Karen Knowles (Pinnacle)
29. **TWIST (ROUND 'N' ROUND)** Chi Fac-Torr (Philly World)
30. **FEEL THE NEED IN ME** Forrest (CBS)
Compiled by MRIB
### U.S. ALBUMS
1. **THRILLER** Michael Jackson (Epic)
2. **PYROMANIA** Def Leppard (Polygram)
3. **FRONTIERS** Journey (Columbia)
4. **CARGO** Men At Work (Columbia)
5. **KILROY WAS HERE** Styx (A&M)
6. **THE WALL** Pink Floyd (Columbia)
7. **BUSINESS AS USUAL** Men At Work (Columbia)
8. **H.O.D.** Daryl Hall & John Oates (RCA)
9. **1999** Prince (Warner Bros)
10. **LIONEL RICHIE** Lionel Richie (Motown)
11. **RIO** Duran Duran (Capitol)
12. **THE DISTANCE** Bob Seger & The Silver Bullet Band (Capitol)
13. **FLASHDANCE** Soundtrack (Polygram)
14. **1999** Prince (Warner Bros)
15. **CUTS LIKE A KNIFE** Bryan Adams (A&M)
16. **BETTER DAYS** David Bowie (EMI America)
17. **THE CLOSER YOU GET** Alabama (RCA)
18. **JARREAU** Jarreau (Warner Bros)
19. **TOTO IV** Toto (Columbia)
20. **THE GOLDEN AGE OF WIRELESS** Thomas Dolby (Capitol)
21. **ELIMINATOR** ZZ Top (Warner Bros)
22. **LIVING IN OZ** Rick Springfield (RCA)
23. **KISSING TO BE CLEVER** Culture Club (Epic)
24. **HOT** Michael Jackson (Epic)
25. **AFTER THE FIRE** AT/F (Epic)
26. **JANE FONDA'S WORKOUT RECORD** Jane Fonda (Columbia)
27. **WE'VE GOT TONIGHT** Kenny Rogers & Librarians
28. **TOO-RYE-AY** Dexys Midnight Runners (Polygram)
29. **OUTSIDE/INSIDE** The Tubes (Capitol)
30. **POWERLIGHT** Earth Wind & Fire (Columbia)
Compiled by Billboard Magazine
### INDEPENDENT SINGLES
1. **BLUE MONDAY** New Order (Factory)
2. **SHIPBUILDING** Robert Wyatt (Rough Trade)
3. **CATCH 23** B.H. Clay
4. **PEPPERMINT PIC** Cocteau Twins (4AD)
5. **BAD BOY** Addicts (Razor)
6. **BETWEEN THE STARS** God (No Future)
7. **TELECOMMUNICATION** Blitz (Future)
8. **ALICE** Sisters Of Mercy (Merciful Release)
9. **CATTLE AND CANE** Go Betweens (Rough Trade)
10. **CROW BABY** March Violets (Rebel)
11. **HANGOVER** Serious Drinking (Upright)
12. **ZOMBIE CREEPING FLESH** Peter & The Test Tube Babies (Trapper)
13. **SONG AND LEGEND** Sex Gang Children (Illuminated)
14. **ANGRY SONGS** Omega Tribe (Crass)
15. **NOTES DIARY** Yazoo (Mute)
16. **MEXICAN RADIO** Roll Of Voodoo (Illegal)
17. **LOVE WILL TEAR US APART** Joy Division (Factory)
18. **LOW PROFILE** Cook Da Books (KiteLand)
19. **WRECKED** Eraserhead (Flicknife)
20. **COUNTRY PIT FOR HEROES VOLUME 2** (No Future)
21. **A GIRL CALLED JOHNNY** Water Boys (Chicken Shack)
22. **ANACONDA** Sisters Of Mercy (Merciful Release)
23. **BANDWAGON TANGO** Testcard (F)
24. **BAD SEED** (The Birthday Party) (4AD)
25. **BEHIND THE CURTAIN** Chords (Illuminated)
26. **LOVE UNDER WILL** Blood And Roses (Kamera)
27. **WHITE RABBIT** Damned (Ace)
28. **TAKE IT ALL** Red Lorry Yellow Lorry (Red Rhino)
29. **SOMETHING HIDE** Dance Society (Society)
30. **FATMAN** Southern Deep Out Situation
Compiled by MRIB
### READERS’ CHART
1. **TRUE** Spandau Ballet (Reformation)
2. **FASCINATION** The Human League (Virgin)
3. **TEMPATION** Heaven 17 (Virgin)
4. **CHURCH OF THE POISON MIND** Culture Club (Virgin)
5. **BEAT IT** Michael Jackson (Epic)
6. **PALE SHELTER** Tears for Fears (Phonogram)
7. **CRAZY TRAIN** Kansas (Epic)
8. **WE ARE DETECTIVE** Thompson Twins (Arista)
9. **OUR LIPS ARE SEALED** Fun Boy Three (Chrysalis)
10. **IS THERE SOMETHING I SHOULD KNOW** Duran Duran (EMI)
11. **LET'S DANCE** David Bowie (EMI America)
12. **CANDY GIRL** New Edition (London)
13. **LAST WORDS** R. David Carrere
14. **LAST TRAIN** Going Through (Magnet)
15. **BREAKAWAY** Tracey Ullman (Stiff)
16. **FRIDAY NIGHT** Kids From Fame (RCA)
17. **YOUNG, FREE AND SINGLE** Sunfire (Warner Bros)
18. **BOXERBEAT** JoBoxers (RCA)
19. **DANCING TIGHT** Galaxy (Ensign)
20. **THE HOUSE THAT JACK BUILT** Tracie (Respond)
This week’s Readers’ Chart coupon is on Page 14.
### WRITER’S CHART
Chosen this week by Mark Cooper
1. **SHIPBUILDING** Robert Wyatt (Rough Trade)
2. **BUFFALO SOLDIER** Bob Marley and the Wailers (Island)
3. **HEAVEN SENT** Paul Haig (Island)
4. **BEAT IT** Michael Jackson (Epic)
5. **CATTLE AND CANE** The Go Betweens (Rough Trade)
### VIDEO
1. **OIL ON CANVAS** Japan (Virgin)
2. **DUNDEE** Duran Duran (EMI Music)
3. **THE WALTZ** Paul Young (EMI Music)
4. **ABBA: THE MOVIE** Abba (MGM/LA)
5. **THE HIGH ROAD** Roxy Music (Spectrum)
6. **NON-STOP EXOTIC VIDEO SHOW** Soft Cell (EMI Music)
7. **THE BRIDGE** Dexys Midnight Runners (Thorn EMI)
8. **A ONE MAN SHOW** Grace Jones (Island)
9. **PRIDE** Tina Charles Newton-John (EMI Music)
10. **THE SINGLES VIDEO** The Human League (Virgin)
Compiled MRIB
### DEEJAY’S CHOICE
Chosen this week by Mike Read of Radio One
1. **TRUE** Spandau Ballet (Chrysalis)
2. **LAST FILM** Kissing The Pink (Magnet)
3. **MISS THE GIRL** The Creatures (Polydor)
4. **MODERN LOVERS** Bowie (EMI LP Track)
5. **JUST GOT LUCKY** Jo Bonney (RCA)
6. **FRIDAY NIGHT** Kids From Fame (RCA)
7. **BAD BOYS** Wham! (Inevision)
8. **TRUE LOVE WAYS** Stiff (Richie EMI)
9. **WATCH YOUR STEP** Carlos Santana (CBS)
10. **WITH WAS** Sandra Shaw (Choose Life)
Shop into Boots
So much more to value
NO! THE CREATURES
|
Bayesian Analysis of Inertial Confinement Fusion Experiments at the National Ignition Facility
J.A. Gaffney\textsuperscript{a,*}, D. Clark\textsuperscript{a}, V. Sonnad\textsuperscript{a}, S.B. Libby\textsuperscript{a}
\textsuperscript{a}Lawrence Livermore National Laboratory, 7000 East Ave, Livermore, CA 94550
Abstract
We develop a Bayesian inference method that allows the efficient determination of several interesting parameters from complicated high-energy-density experiments performed on the National Ignition Facility (NIF). The model is based on an exploration of phase space using the hydrodynamic code HYDRA. A linear model is used to describe the effect of nuisance parameters on the analysis, allowing an analytic likelihood to be derived that can be determined from a small number of HYDRA runs and then used in existing advanced statistical analysis methods. This approach is applied to a recent experiment in order to determine the carbon opacity and X-ray drive; it is found that the inclusion of prior expert knowledge and fluctuations in capsule dimensions and chemical composition significantly improve the agreement between experiment and theoretical opacity calculations. A parameterisation of HYDRA results is used to test the application of both Markov chain Monte Carlo (MCMC) and genetic algorithm (GA) techniques to explore the posterior. These approaches have distinct advantages and we show that both can allow the efficient analysis of high energy density experiments.
Keywords: inertial confinement fusion, hydrodynamic simulation, Bayesian inference, plasma opacity, genetic algorithm, Markov chain Monte Carlo
1. Introduction
High energy density experiments conducted on large laser facilities are often highly complex in every way. The physics of the target’s interaction with the laser, its evolution with time, the relevant material properties at the conditions of interest, and the relation between target properties and observable quantites all require significant effort to describe, and all involve approximations. This is particularly true of so-called ‘integrated’ experiments, such as the inertial confinement fusion (ICF) effort underway at Lawrence Livermore National Laboratory [1, 2], in which extremely complex targets probe all aspects of the ICF approach to nuclear fusion.
In general the only way that such complex systems can be accurately understood is through computer simulation. These simulations take a range of inputs describing the target, laser system, and input physics and provide a description of the target evolution. This can then be mapped onto the output of experimental diagnostics. The approach represents a nonlinear, ‘black box’ transformation from the uncertain input physics to the measured quantities; the inversion of this to provide information about difficult physics can be a very difficult statistical problem. In this paper we discuss the application of Bayesian statistics [3] to the solution of this problem, and in particular to the inference of interesting physical parameters from an ICF experiment performed at the National Ignition Facility (NIF).
The Bayesian approach is a well developed statistical method that can be formulated to give powerful results for the inference of interesting quantities [4–6], or alternately to provide a rigorous framework for the design of new experimental methods [7–9]. Bayesian theory includes the prior knowledge of the system explicitly and so allows the evolution of interesting quantities to be charted as data accumulates from various sources. The numerical application of the theory is usually through Markov chain monte carlo techniques [10]; in the below we develop a method of incorporating the advantages of the Bayesian theory into genetic algorithm approaches which can be parrallelised very easily. These numerical methods have been applied in almost all areas of science for data analysis, including fusion studies, high energy density physics experiments [11], and hydrodynamic simulations [4, 12]. The example chosen here includes aspects of all of these types of experiment.
In the following section the Bayesian approach is set out. Particular attention is paid to the interpretation of
Bayes’ theorem as an information processing rule, since this can be very useful in understanding the evolution of physical models. The relationship between Bayesian methods and the common $\chi^2$ methodology is discussed, which allows a generalised $\chi^2$ to be defined that takes into account the effect of nuisance parameters in an experiment, and of prior knowledge of the system. This is applied to a NIF ‘convergent ablator’ experiment, and used to show the variation in the expected carbon opacity as these Bayesian factors are introduced. Finally, the MCMC and GA approaches are applied to the same analysis and discussed.
2. The Bayesian approach
In the Bayesian approach real numbers are used to describe the level of belief that a statement is true. A set of intuitive axioms govern these numbers, which coincide with the axioms of the usual probability theory. As such, Bayesian statistics can be developed as a re-interpretation of frequentist statistics; rather than the usual understanding that the probability $P(X = x) = \lim_{N \to \infty} \frac{N(X = x)}{N}$, $P(X = x)$ becomes the belief that the statement $X = x$ is true. This belief depends on some background information $\mathbb{I}$, a dependance that is expressed using the conditional probability $P(X = x|\mathbb{I})$.
An experiment has the effect of updating the background information with some observation $D = d$, so that after the experiment the belief becomes $P(X = x|D = d, \mathbb{I})$. The analysis of this updated probability forms the basis of Bayesian analysis. The axioms of the theory allow the important Bayes’ theorem to be derived,
$$P(x|d,\mathbb{I}) \propto P(d|x,\mathbb{I})P(x|\mathbb{I}), \tag{1}$$
which relates the probability after the observation of $D$ (the posterior) to the probability before (the prior) through the probability of observing the data when the value of $X$ is assumed, $P(d|x,\mathbb{I})$ (the likelihood). The terms in equation (1) can be viewed as functions of any of their arguments; the study of $P(x|d,\mathbb{I})$ as a function of $x$ allows the value of $x$ to be inferred from data, whereas treating $P(x|d,\mathbb{I})$ as a function of $d$ allows the significance of particular observations to be explored. The latter of these allows the design of experiments by ensuring that an experiment collects the most significant data possible.
Bayes theorem can be viewed as rule for describing the flow of information in an experiment [13]. The information associated with an observation of the random variable $Z$ is
$$I(Z = z) = -\ln P(Z = z), \tag{2}$$
where the above is measured in ‘nats’. The more usual unit of ‘bits’ is found using a base 2 logarithm. The information associated with an unlikely observation is greater than that with an unsurprising result. Bayes’ theorem becomes
$$I(x|d,\mathbb{I}) = I(d|x,\mathbb{I}) + I(x|\mathbb{I}) + \text{constant}, \tag{3}$$
and so the effect of an experiment is to add the new and prior informations. The information defined in equation (2) is evaluated for a given observation result $z$; when this is not known (as in problems of experimental design) it is necessary to consider the expectation value of the information, the information entropy
$$H[P] = -\int P(z)\ln P(z)dz, \tag{4}$$
which is now a property of the distribution $P$ only. The cross entropy between two distributions $P$ and $Q$,
$$H[P||Q] = -\int P(x)\ln Q(x)dx, \tag{5}$$
measures the common information in the two distributions. This is particularly useful since it is conserved in Bayes’ theorem [13]. Using the above definition equation (1) can be written as
$$H\left[ P(x|d,\mathbb{I}) \left| \left| \frac{P(x|d,\mathbb{I})}{P(x|\mathbb{I})} \right. \right. \right] = H\left[ P(x|d,\mathbb{I}) || P(d|x,\mathbb{I}) \right],$$
or
$$H_{KL}\left[ P(x|d,\mathbb{I}) || P(x|\mathbb{I}) \right] = H\left[ P(x|d,\mathbb{I}) || P(d|x,\mathbb{I}) \right], \tag{6}$$
so that the increase in cross entropy between the posterior and prior (the Kullback-Leibler distance) is equal to the cross entropy between posterior and likelihood. Experimental design problems often maximise $H_{KL}$ to maximise the effectiveness of an experiment. Using the above definitions it has been shown that Bayes’ theorem is the only information processing rule that exactly conserves information cross entropy [13].
The above definitions are all useful forms of the same rule; the information that a given experiment provides is described by the likelihood function $P(d|x,\mathbb{I})$. Data analysis is then the analysis of the likelihood function for a given experiment and model, and standard models can be understood as special cases of the likelihood and prior. For example, it is common to use a normally distributed likelihood
$$P(d|x,\mathbb{I}) \propto e^{-\frac{1}{2} \left( \frac{d - \hat{d}(x)}{\sigma} \right)^2},$$
where $\hat{d}(x)$ is a model for the data given the parameter $x$; in this case the information associated with an observation is the usual $\chi^2$ function [3]. The $\chi^2$ minimisation method is then equivalent to finding the value of the parameter $x$ that minimises the information provided by the experiment (that is, the parameter for which the observation is the least surprising). For a constant prior
probability $P(x \mid l)$ (often used to describe complete ignorance) this is in turn equivalent to finding the value of $x$ that has the largest posterior probability. Hence the $\chi^2$ minimisation method can be seen to contain two approximations; the neglect of the structure of the posterior, and the neglect of prior information.
The prior information plays an important role in Bayesian analysis. In general it contains all information that is available before the experiment; expert opinion, the results from previous experiments, etc. Its inclusion allows otherwise very difficult problems to be tackled, and allows the belief in a model or parameter to evolve over time by using the posterior from one experiment as the prior of another. As such data analysis can include the results from entire campaigns of experiments common in modern science, and these experiments need not have the same design or be performed by the same people. All that is required is an expression for the likelihood function for a given experimental design.
3. Calculation of the likelihood function from large scale hydrodynamic simulations
In this work we aim to investigate the Bayesian analysis of inertial confinement fusion experiments performed at the National Ignition Facility. The usual analysis procedure is to use radiation-hydrodynamic simulations to provide post-shot analysis; measured quantities like laser power are used as inputs for simulations, the outputs of which are compared to other measured quantities. This comparison is used to gain information about the physics used by simulations, and other unmeasured properties of the experiment.
We consider NIF shot N110625, a ‘convergent ablator’ experiment designed to mimick the implosion dynamics of a full ignition shot. This shot is of interest since large-scale post shot simulations have been performed in the past, in which a large number of target parameters were varied. This dataset will serve to benchmark the smaller set of simulations used in this study.
3.1. HYDRA Simulations
The eventual aim is that advanced numerical methods such as Markov-Chain Monte Carlo (MCMC) routines, or Genetic Algorithms (GA), are used to perform efficient analysis of NIF data. To achieve this a robust platform for running hydrodynamic simulations is required, and the feasibility of such large-scale simulations must be investigated. To that end a set of fortran wrapper routines have been developed that allow the radiation-hydrodynamic code HYDRA to run as a subroutine to a generic MCMC or GA code. These routines take a set of values of various input parameters (opacity, equation of state and drive modifiers, etc.) and return various measurable characteristics of the implosion. Modification of input physics databases, and extraction of implosion dynamics, is performed using existing scripts to ensure that returned values are consistent with those commonly used in NIF data analysis. Calculations are done in parallel, allowing an analysis code to consider several tens of thousands of HYDRA simulations in one job allocation.
In this work a grid of 1024 simulations of a convergent ablator implosion has been generated, in which a constant multiplier is applied to the absorption opacity of carbon and to the X-ray drive. A representation of the results is shown in figure 1, in which the velocity of the centre of mass of the fuel is plotted as a function of carbon opacity multiplier (averaging over all other parameters). Black points show the results of the earlier parameter scan, with the blue line and shading representing a moving average of the mean and standard deviation of those results. The mean and standard deviation of the results of this work are shown in red. The solid line represents the nominal (unmodified drive) case, and the broken line shows the drive-averaged case. The large difference between these lines demonstrates the difficulty in increasing implosion velocity in these targets. Finally, the black region shows the experimental value [15].
The data in figure 1 agree well for the nominal case. The large number of parameters in the original data results in statistical noise in these results, the non-overlapping set of modifications made to simulations (original simulations focused more on changes to the capsule design than input physics), and the differences between the sampling of parameter space mean that the averages do not agree. The good agreement between the current work’s nominal case and the previous results demonstrates that the HYDRA simulations used here are reasonable. It should be noted, however, that the simsimple modifications to the drive used here do not reflect the current understanding of the X-ray drive in ICF experiments, rather they were chosen as the drive multiplier is likely to correlate with the opacity multiplier.
3.2. Calculating the Likelihood
We will use three measured results in the calculation of the likelihood; the implosion velocity when the centre of mass of the fuel reaches a radius of $310\mu m$, the time at which this radius is reached, and the fraction of ablator mass still remaining at this time [15]. Experimental data for these are available, and they can be easily extracted from HYDRA simulations. There are no simulated points that are able to match all three experimental values, making a statistical approach essential.
As discussed in the previous section, a simple model for the likelihood is an uncorrelated multivariate normal distribution. The information associated with the likelihood in this case, as a function of the two parameters we wish to infer, is plotted in figure 2. The most likely values of the drive and opacity multipliers occur at the minimum point of this surface, when the data are the least surprising. If each of the 3 experimental points are considered individually, each one defines a range of values of opacity and drive multipliers that best match the experimental result. The minimum information point in figure 2 results from the superposition of the three data points, giving rise to a broad range of (approximately) equally likely values of the simulation input parameters.
The assumption of a normal distribution for the calculation of the likelihood is based on assumptions about the nature of the *experimental* error. Simulations are treated as deterministic. In practice this is not the case; the values of input parameters will have a probability distribution as well (reflecting the accuracy with which they are calculated, for example) and the resulting distribution of code outputs will change the shape of the likelihood function. Proper inclusion of all sources of error rapidly increase the parameter space for simulations and so it is advantageous to use an approximate method for some parameters. For this we use a normal linear model [8], which we develop below.
Consider the likelihood function for a simulation with two inputs as before, but where one is a ‘nuisance’ parameter. If the nuisance parameter is normally distributed, and the response of the simulation to variations in the parameter is linear, then the likelihood function is a normal distribution with a modified width (see below). This linear response method can be used to include the effect of a large number of nuisance parameters with a greatly reduced number of simulations. The potential accuracy of this approach is improved by the fact that input physics models, target fabrication, etc. are highly developed for ICF applications making the expected variations in nuisance parameter values small.
To develop the linear response model, consider a normal approximation in which the likelihood is given by the multivariate distribution with covariance matrix $\Lambda_d$,
$$P(d|x,\mathbb{I}) = \frac{e^{-(d-\hat{d}(x))^T\Lambda_d^{-1}(d-\hat{d}(x))}}{\sqrt{|\Lambda_d|(2\pi)^{n_d}}}.$$
Splitting the simulation input vector $x$ into the set of interesting parameters $x'$ and nuisance parameters $y$, introducing a second multivariate normal distribution (of covariance $\Lambda_y$) to describe the variations in nuisance parameters, and treating the response of a simulation as linear,
$$\hat{d}(x) = \hat{d}(x',y) \simeq \hat{d}(x,\bar{y}) + A(y-\bar{y}),$$
the likelihood function can be found analytically. Using $P(d|x') = \int P(d|x',y)P(y)dy$, the result is
$$P(d|x',\mathbb{I}) = \frac{e^{-(d-\hat{d}(x'))^T[\Lambda_d^{-1}-\beta^T\beta](d-\hat{d}(x'))}}{\sqrt{(2\pi)^{n_d}|\Lambda_d||\Lambda_y||\alpha^T\alpha|}},$$
where $\hat{d}(x')$ is the nominal simulation result $\hat{d}(x',\bar{y})$ and the matrices $\alpha$ and $\beta$ satisfy the equations
$$\alpha^T\alpha = A^T\Lambda_d^{-1}A + \Lambda_y^{-1}$$
$$\beta^T\alpha = \Lambda_d^{-1}A.$$
In this approximation the likelihood is a normal distribution with a modified covariance matrix. The modification is not diagonal, and so the effect of the simulation response is to distort and rotate the likelihood; the rotation
is towards an axis determined by the strength of the simulation response to the various nuisance parameters and by the expected variation in those parameters. In the case of current interest, in which experimental data have already been observed, the information associated with the observation $d$ (equation (3)) is modified to become
$$I(d|x', \mathbb{I}) = \sum_i \frac{(d_i - \bar{d}(x')_i)^2}{\sigma_i^2} - \ln P(x|\mathbb{I})$$
$$- (d - \bar{d}(x'))^T \beta^T \beta (d - \bar{d}(x'))$$
$$+ \frac{1}{2} \ln \left( |\Lambda_y||\alpha^T \alpha| \right) ,$$ \hspace{1cm} (9)
which defines a modified $\chi^2$ function that takes into account prior information and the effect of nuisance parameters. These considerations have an important effect on the information associated with a given measurement, and therefore the results of any analysis.
4. Application to a NIF Convergent Ablator implosion
The effect of nuisance parameters on N110625 can be included in the above way. We use previous design calculations to populate the response matrix $A$, treating variations in capsule dimensions and chemical composition as nuisance parameters. These are allowed to vary according to their specified manufacturing tolerances [14]. The modification to the likelihood by these parameters is quite significant; the power of the linear response model is that once the modifications (in the form of the new covariance matrix) are known, subsequent analyses do not need to explicitly include the effect of nuisance parameters at all.
Given knowledge of the prior, from the work in the previous sections and the results of HYDRA simulations, we can infer the drive and carbon opacity multipliers from the described data, including prior information and the effect of nuisance parameters. The results are shown in figure 3; (a) shows the information (equivalently, the logarithm of the posterior) where variations in capsule dimensions and atomic composition are neglected, and (b) show the results when they are included. Both plots use an uncorrelated normal distribution for the prior, with a standard deviation of 0.1 in both directions; as such both represent a more advanced analysis than the $\chi^2$ approach shown in figure 2. The distortion of the likelihood by nuisance parameters has the effect that the peak in the information is more localised, however the overall distribution is broader suggesting a larger error bar on the inferred values.
This can be made more clear by re-casting the data as the posterior probability of the value of the carbon opacity multiplier, by integrating over the drive multiplier. This is not equivalent to the treatment of the drive multiplier as ‘nuisance’; the detailed response of the system to changes in drive has been included (not the linear
Figure 3: The information contained in the posterior for an analysis of NIF shot N110625. Figure (a) shows the result when variations in the capsule dimensions and atomic composition are neglected, and (b) shows the result when these are included in a linear approximation. Both parameters have a normal prior of standard deviation 0.1. Contour lines show constant fractions of the peak information. Nuisance parameters have the effect of producing a more localised peak in the posterior, however this peak is broader.
| Inference Model | C opacity Multiplier |
|---------------------------------|----------------------|
| $\chi^2$ | $1.79^{+0.79}_{-0.46}$ |
| + prior | $1.23^{+0.23}_{-0.25}$ |
| + nuisance parameters. | $1.13^{+0.26}_{-0.25}$ |
Table 1: The results of the inference of the carbon multiplier from measured values of the implosion velocity, radius and fraction of ablator remaining in NIF convergent ablator shot N110625. Error bars are 68% confidence limits. Inference is based on a database of 1024 post-shot HYDRA simulations, using the Bayesian inference models described in the text. The inclusion of prior information and of the variation in capsule dimensions and chemical composition is shown to significantly reduce the measured carbon opacity multiplier, and the error bar on the result.
Figure 4: The posterior probability of the carbon opacity multiplier, calculated neglecting nuisance parameters (purple), and including them (yellow). Also shown are the results when a standard $\chi^2$ analysis is used (blue). Variations in target properties cause a shift in the maximum likelihood estimate of the opacity multiplier, and a change in the shape of the distribution of values.
response). This approach will prove more accurate for some rapidly varying parameters, however represents a calculation time penalty. The advantage is in the inspection of correlations between parameters that the multi-dimensional analysis allows. The results of integrating over variations in X ray drive are shown in figure 4, with the blue line showing the inference when nuisance parameters are included, and purple showing the results when they are neglected. There is a significant change in the posterior probability with a corresponding change in the inferred carbon opacity modifier. Table 1 shows the results of this inference for the different Bayesian models we have discussed. These results are (weakly) sensitive to the choice of prior; in cases where the priors are taken as centred on 1, the inferred carbon opacity multiplier is never larger than 1.2.
5. Analysis of a High-Dimensional Parameter Space
The complexity of ICF experiments, and of the hydrodynamic simulations used to analyse and design them, make it unfeasible to perform the simple grid parameter scans that have concerned us until now. The statistical framework does, however, allow more advance Monte-Carlo approaches to be applied, and these have seen great success in the analysis of other large experiments. The application to ICF experiments will still require careful consideration, however, and in the following we will discuss the possible approaches that are available.
5.1. Linear Response
The linear response model described above allows the inclusion of nuisance parameters as described above, however the dependance on parameters that are of experimental interest should be treated more accurately. There is an advantage to keeping as many simulation parameters as possible out of the linear response model; as we have seen in the previous low dimensional analysis, inspection of the posterior as a function of the model parameters can provide valuable insight. It is not possible to include all parameters however, and so the linear response model will be essential in the implementation of the following advanced methods.
5.2. Markov Chain Monte Carlo
The MCMC approach is a statistical method of generating a set of samples of parameter space such that the distribution of samples reflects a given, unknown, probability distribution [10]. The method has been used extensively to probe posterior distributions with very large numbers of parameters; the potential pitfall is that using HYDRA simulations to form the step probability in these models, even using the efficient routines applied here, presents a significant computational challenge.
The feasibility of the MCMC approach can be investigated using a surrogate model, that will approximately reproduce the multi-dimensional behaviour of HYDRA simulations. In this way the number of steps required can be found, before resorting to time-consuming HYDRA simulations. An example solution is shown in figure 5, where we plot a histogram of MCMC samples from a run of 2000 steps (initialised at the peak of the prior and with a 500 step ‘burn in’ period). These simulations use the Metropolis-Hastings algorithm with a normally distributed jump probability to explore the posterior probability formed from the linear response likelihood and prior described in previous sections. The likelihood is approximated by interpolating in the simulation grid described previously, with very good results.
It is well known [3] that even when MCMC simulations poorly describe the multi-dimensional target distribution, low dimensional quantities are often well described. This
is seen in our results where the MCMC average and standard deviation carbon opacity multiplier are $1.10 \pm 0.23$; for an MCMC run with 1000 (post burn in) samples, this value is $1.09 \pm 0.22$ which still shows good accuracy.
The very small number of simulations required to give a good reproduction of the opacity multiplier is encouraging. It should be noted, however, that even though 2500 HYDRA simulations are easily achievable using the parallel control routines used here, MCMC simulations do not lend themselves to easy parallelisation. The genetic algorithm approach described in the next section are more amenable to the large scale simulations necessary here.
### 5.3. Genetic Algorithms
A GA is a computational tool where a set of samples of parameter space are selected and iterated in order to find the extreme value of some merit function, or fitness. New samples are generated from the old using methods inspired by natural selection - those members that have a large fitness are preferentially selected, and bred together. Random jitter is introduced to avoid local maxima in the global fitness, mimicking random mutation in the current population. In data analysis applications it is usual to use the inverse $\chi^2$ function as a fitness, and in this application genetic algorithms are a very robust tool for finding the best fit to data when the parameter space has a high dimension. In previous sections we noted that the usual $\chi^2$ function can be interpreted as the information in the posterior, and showed how this can be modified to include variations in nuisance parameters and prior information. These considerations allow the application of genetic algorithm techniques to our Bayesian analysis.
In figure 6 we plot the evolution of the mean carbon opacity and drive multipliers of a population of 100 parameter space samples as subsequent generations are generated. We use a simple GA, where half the population is carried over between generations and the entire population is allowed to mutate. The breeding population is chosen according to the inverse of the generalised $\chi^2$ discussed previously. The carbon opacity approaches the expected value of 1.10 quickly, a value that is quite robust as the number of population members (and therefore HYDRA calculations) is reduced. In the case considered here a full GA simulation would require less than 2000 HYDRA simulations, representing a modest computational problem.
The genetic algorithm technique is very easily parallelised since all members of the sample population are known at the start of each iteration. It has the disadvantage, however, that the converged result gives no information regarding the form of the posterior distribution and so it is difficult to provide confidence intervals for the inferred parameters, or the information entropy in the posterior. A simple exploration of the space close to the maximum, in order to calculate the Hessian matrix [3], would provide an efficient solution to the problem.
### 6. Discussion and Conclusions
We have introduced the Bayesian method and developed the normal linear model to describe nuisance paparameters in integrated high energy density experiments. This approach allows a modified Bayesian $\chi^2$ function to be defined that efficiently includes prior information and nuisance parameters. This function can be easily applied in any data analysis or experimental design problem, and is particularly well suited to systems with a large number of nuisance parameters. The compact format provided by the modified covariance matrix means that once a sensitivity study has been performed for a given experimental design, the results can be incorporated in all subsequent data analyses in a simple and consistent manner. The expression of the likelihood in these terms also allows powerful Bayesian and Information-Theoretic results to be used.
These considerations have been applied to a NIF convergent ablator experiment, where it has been shown that they lead to a significant change in the inferred values of the carbon opacity. It has also been shown that the use of computational methods to speed up analysis is very feasible. This capability, along with the Bayesian aspects presented here, will allow the integrate analysis of entire experimental campaigns at the NIF and to the statistical design of future experiments.
7. Acknowledgments
The authors would like to thank Robbie Scott and John Castor for help with HYDRA simulations, and Vijay Sonnad for stimulating comments.
References
[1] EL Moses. The national ignition facility and the national ignition campaign. *IEEE Transactions on Plasma Science*, 38(4):684–689, 2010.
[2] SH Glenzer et Al. First implosion experiments with cryogenic thermonuclear fuel on the national ignition facility. *Plasma Physics and Controlled Fusion*, 54(4):045013, 2012.
[3] DS Sivia. *Data Analysis: A Bayesian Tutorial*. Clarendon Press, 1996.
[4] KM Hanson. Inference about the plastic behaviour of materials from experimental data. LANL Report LA-UR-04-3529.
[5] D Dodt et Al. Reconstruction of an electron energy distribution function using integrated data analysis. *Journal of Physics D: Applied Physics*, 41:205207, 2008.
[6] AM Broomhall et Al. A comparison of frequentist and bayesian inference: searching for low-frequency p modes and g modes in sun-as-a-star data. *Monthly Notices of the Royal Astronomical Society*, 406:767–781, 2010.
[7] J Sacks et Al. Design and analysis of computer experiments. *Statistical Science*, 4(4):409–435, 1989.
[8] K Chaloner and I Verdinelli. Bayesian experimental design: A review. *Statistical Science*, 10:273–304, 1995.
[9] H Dreier et Al. Bayesian experimental design of a multichannel interferometer for wendelstein 7-x. *Review of Scientific Instruments*, 79:10E712, 2008.
[10] PJ Green. Reversible jump Markov chain Monte Carlo computation and Bayesian model determination. *Biometrika*, 82(4):711–732, 1995.
[11] IE Golovkin et Al. Multi-criteria search and optimization: an application to x-ray plasma spectroscopy. *Evolutionary Computation*, 2:1521–1527, 2000.
[12] B Williams et Al. Combining experimental data and computer simulations, with an application to flyer plate experiments. *Bayesian Analysis*, 1(4):765–792, 2006.
[13] A Zellner. Optimal information processing and Bayes’s theorem. *The American Statistician*, 42(4):278–281, 1988.
[14] SW Haan et Al. Point design targets, specifications, and requirements for the 2010 ignition campaign on the national ignition facility. *Physics of Plasmas*, 18:051001, 2011.
[15] D Hicks. *Private Communication*
|
Please cite the Published Version
Dennis, Matthew, Barker, Adam, Anderson, Jamie, Ashton, Jenna C, Cavan, Gina, Cook, Penny A, French, David, Gilchrist, Anna, James, Philip, Phillipson, Christopher, Tzoulas, Konstantinos, Wheater, C Philip, Wossink, Ada and Lindley, Sarah (2023) Integrating knowledge on green infrastructure, health and well-being in ageing populations: principles for research and practice. Ambio, 52 (1). pp. 107-125. ISSN 0044-7447
DOI: https://doi.org/10.1007/s13280-022-01765-5
Publisher: Springer (part of Springer Nature)
Version: Published Version
Downloaded from: https://e-space.mmu.ac.uk/630279/
Usage rights: Creative Commons: Attribution 4.0
Additional Information: This is an Open Access article which appeared in AMBIO: A Journal of the Human Environment, published by Springer
Enquiries:
If you have questions about this document, contact email@example.com. Please include the URL of the record in e-space. If you believe that your, or a third party's rights have been compromised through this document please see our Take Down policy (available from https://www.mmu.ac.uk/library/using-the-library/policies-and-guidelines)
Integrating knowledge on green infrastructure, health and well-being in ageing populations: Principles for research and practice
Matthew Dennis, Adam Barker, Jamie Anderson, Jenna C. Ashton, Gina Cavan, Penny A. Cook, David French, Anna Gilchrist, Philip James, Christopher Phillipson, Konstantinos Tzoulas, C. Philip Wheater, Ada Wossink, Sarah Lindley
Received: 11 November 2021 / Revised: 28 April 2022 / Accepted: 4 July 2022
Abstract Ageing and urbanisation pose significant challenges for public health and urban planning. Ageing populations are at particular risk from hazards arising from urbanisation processes, some of which are in turn exacerbated by climate change. One approach for mitigating the negative effects of urbanisation on ageing populations is the leveraging of the beneficial effects of urban green infrastructure as a public health intervention in the planning process. We assessed the potential of available theoretical frameworks to provide the context for such leverage. This involved active engagement with academics and practitioners specialising in ageing, green infrastructure and health and well-being through a knowledge-brokering approach. We concluded that an integrated and comprehensive framework on the socio-cultural-ecological determinants of health is lacking. To address this, we present a set of principles for overcoming challenges to knowledge integration when working at the intersection of green infrastructure, ageing, health and well-being. Our findings—and the co-production process used to generate them—have wider significance for trans-disciplinary research into the benefits of the natural environment to human health and well-being as well as other complex and interconnected topics associated with global grand challenges.
Keywords Ageing · Health and well-being · Knowledge co-production · Social-ecological systems · Trans-disciplinary · Urban green infrastructure
INTRODUCTION
Population ageing and urbanisation are two of the most important trends of the 21st Century with respect to public health and environmental planning. Demographic trajectories suggest that the current global population over 60 years of age, 962 million, will more than double by 2050 to 2.1 billion (UN 2018). By the same year, 66% of people worldwide are expected to live in urban areas. Although an ageing urbanising society might reflect the culmination of human societal achievements (van Hoof et al. 2018), it also brings with it challenges related to good health and well-being, for example, staying active whilst ageing (Plouffe and Kalache 2010), and providing socially inclusive environments for e.g. older adults (WHO 2007; Kabisch et al. 2017). Studies have shown that components of the urban environment contribute to the prevalence of leading global causes of death, including heart disease, cancer and respiratory disorders. For example, this can be through promotion of more sedentary lifestyles (Lee et al. 2012; Frank et al. 2019) and increased environmental stressors which are likely to affect older groups more than younger ones (Marseille et al. 2021).
These challenges highlight the need to understand how our urban environments can support ageing populations but in a sustainable way that promotes better health and well-being in later life. The demographic shift towards the migration of people, of all ages, to urban centres is a primary driver behind multi-national efforts to ease the global health burden. The ability of urban green space to facilitate health-promoting factors such as increased physical activity, links to cultural and biological heritage, improved social ties, physical and mental stress reduction and connectedness to nature has been asserted by the World Health Organization (WHO 2017). Evidence highlights the links...
between urban greenery and increased physical activity, quality of life and better health in ageing populations (Astell-Burt et al. 2014; Gong et al. 2014; Dennis et al. 2020). Therefore, the extent and quality of urban green space becomes critical for addressing a range of health and age-related planning goals.
**Articulating determinants of health for urban residents**
Despite their importance, the interactions between ecological, social and cultural determinants of health remain poorly understood. Associated dynamics present a ‘wicked problem’ (Head and Alford 2015). For example, socio-cultural and demographic factors influence how much particular urban green spaces are used, who uses them and for what sorts of uses (Wolch et al. 2014). The interplay between factors that mediate both participation with, and the health benefits arising from, the natural environment is therefore highly complex. The need to address such complexity becomes acutely relevant when considered in light of the growing likelihood of climate-related hazards and the changing nature of vulnerabilities, particularly in urban areas.
In order to meet this growing agenda, models of well-being focussing on a wide range of determinants have been developed that go beyond traditional medical models of health. The former seek to promote an understanding of human well-being as an emergent state underpinned by coupled social and natural processes. This move towards understanding health in terms of socio-environmental holism has transformed the public health agenda, with seminal contributions such as Dahlgren and Whitehead’s (1991) Rainbow Model describing key determinants of health (subsequently modified in Barton and Grant’s 2006 health map for local human habitats) being key to understanding why inequalities in health persist. Such models represent an advance in terms of recognising the plurality of factors influencing human health and the connections, pathways and “knock-on” effects between the natural, built, social and economic environments. A recognition of the overarching influence of the natural environment on human well-being is a significant development towards the integration of social and ecological factors impacting health.
At the same time, whereas socio-environmental characteristics are acknowledged in public health models, their direct and indirect influence remains largely unarticulated. For example, socially oriented characteristics (such as community cohesion) are often cited as outcomes of human–nature interactions in conceptual models (Hartig et al. 2014; James et al. 2015; Jennings et al. 2016; Jennings and Bamkole 2019). However, there are fewer models that attempt to include socio-economic and demographic status as motivating factors (see Lachowycz and Jones 2013 though for a promising example). This appears to be the case for two main reasons: firstly, frameworks are typically informed by reviews of the literature rather than empirical, deliberative approaches aimed at documenting values and perspectives. Secondly, common terms of reference that can describe key concepts (such as “nature”, “value” or “well-being”) whilst capturing the inherent plurality of meaning in their usage are absent.
In order that social-ecological models of health can be effectively operationalized, we propose several requirements for trans-disciplinary research. These are, (i) the need for a holistic approach to defining health and well-being, (ii) an acknowledgement of ageing and the life-course when researching and planning nature-based interventions, (iii) understanding that socio-cultural factors moderate the relationship between people and the natural environment, and (iv) a recognition of the plurality of values and methods of valuation of nature as key considerations in the planning process. Although nested social-ecological models achieve a certain holism by identifying a range of determinants of health and well-being which are influenced by the natural environment, we argue that, in order to meet the aforementioned challenges, a fuller understanding and integration of the interplay between such determinants is required. Towards such an integration, we began with a core conceptualisation of urban nature and human health and well-being that draws on a green infrastructure (GI) model (Benedict and McMahon 2012) which has been widely adopted due to the demonstrable environmental benefits it can deliver (Hansen and Pauleit 2014).
**Green infrastructure: A nested approach for understanding public health outcomes**
We argue that a GI approach is suitable for framing the integration of socio-environmental determinants of health and well-being in ageing populations. We do so for three reasons. Firstly, it encompasses aspects of the natural, social and institutional contexts for understanding health and well-being influences. Secondly, the notion of GI has been identified as an effective approach mainstreamed by local, national and international authorities (Hansen and Pauleit 2014). The concept has proven useful for strategic planning at a variety of scales (Weber and Allen 2010), and has demonstrated efficacy in mapping the provision of ecosystem benefits (Haase et al. 2014; Coutts and Hahn 2015), and capturing the multi-functionality of urban green space (Hansen and Pauleit 2014). Thirdly, a GI approach is designed to bring about the integration of trans-disciplinary perspectives (Lovell and Taylor 2013) in order to meet
social, economic and ecological goals, and challenges associated with land-use planning (Weber and Wolf 2000; Weber et al. 2006; Benedict and McMahon 2012). The full promise of a GI approach is realized, therefore, through both the spatial-ecological benefits it may deliver as well as through the promotion of participatory and trans-disciplinary approaches to decision-making. However, comprehensive conceptual models which achieve the integration of GI, ageing, health and well-being are currently lacking. The challenges of overcoming disciplinary barriers, acknowledging the needs of different socio-demographic groups and the integration of the plurality of values within a GI approach require the assimilation and integration of a range of perspectives from both research and practice. In order to address this need, in this paper, we focus on three main questions:
1. What considerations and perspectives exist for understanding the range of health and well-being benefits and the plurality of values associated with urban green infrastructure for ageing populations?
2. How well are they represented in current frameworks and conceptualisations?
3. What are the challenges to leveraging GI in research and practice related to ageing, health and well-being?
Although, of particular relevance for those working in the same field of enquiry, we anticipate that the processes developed will have wider significance for teams of researchers and partner organisations working on similarly complex topics.
MATERIALS AND METHODS
We followed a knowledge-brokering process (Holzmann 2013) which can take many forms and apply to multiple contexts from research, practice, policy, commerce and the public domain. Knowledge-brokering methods have evolved primarily in response to both the increasingly complex nature of social-ecological challenges, or “wicked problems”, as well as to the prominence of knowledge-intensive areas of research which seek to address these challenges (Michaels 2009). They are therefore particularly suitable for exploring perspectives, theory and practice at the intersection of GI, ageing and health and well-being. Although other approaches exist which draw on stakeholder consultation in the decision-making process (such as multi-criteria mapping and Environmental Impact Assessments), the knowledge-brokering approach has proven effective in addressing broad and complex social-ecological problems (Dagenais et al. 2015; Assmuth and Lyttimaki 2015). Multi-criteria-based and other similar decision-making approaches have also proved to be effective at exploring health-related behavioural change (Kelly and Barker 2016). However, our aim was to establish a broader set of principles of working as a more fundamental and transferable basis for research and practice at the intersection of environment, ageing, health and wellbeing. It was not our goal to explore specific health-related behaviours but rather to provide a vehicle for leveraging GI as a public health intervention. In order to meet these research aims, in this study, we focussed on the interface and exchange of knowledge between experts from research and practice. We drew on a model developed by Assmuth and Lyttimaki (2015), which aims to co-create new knowledge through the reflective dialogue between, and integration of, research-driven and solution-driven perspectives. The format of this knowledge co-creation process is visualized in Fig. 1.
The knowledge-brokering process was designed to meet two research aims: firstly, arriving at an informed analysis of the current state-of-the-art in relation to concepts, conceptual models and other framings of GI, ageing, health and well-being; secondly, the identification of terms of reference and conceptual stances related to the field of enquiry and their subsequent integration. This process involved the participation of two key groups representing different forms of knowledge on the topics of interest. Group One (thirteen members) was made up of disciplinary (academic) specialists in the fields of ecology, planning, geography, economics, environmental ethics, philosophy, well-being, psychology, arts and heritage, gerontology and public health. Group Two (twelve members) consisted of practitioners with specialisms in the areas of public health, local environment, forestry, ecology, urban planning, nature conservation, public engagement, local governance and age-friendly cities. The purpose of Group Two was to provide a practitioner perspective and practice-based knowledge and experience to the brokering process. The geographical focus of the research was Greater Manchester (GM) UK, a city region of 2.8 million inhabitants spanning a large range of socio-demographic and ecological (i.e. urban to rural) contexts with a long history of acknowledging the role of GI in public health (Gilmore and Doyle 2019). The research involved experts (academics) from all three of the major universities in the city region (University of Manchester, Manchester Metropolitan University and Salford University) and practitioners (members of Group Two) likewise came from GM organisations (representing both the Greater Manchester Combined Authority and other Local Authorities within GM) with extensive local knowledge.
The knowledge-brokering process consisted of two workshops that took place in September 2016 and April 2017 and attended by members of both participant groups and follow up meetings with the advisory group for the
research project. The latter comprised expert practitioners and academics selected for their knowledge and expertise in the areas of public health, ageing and GI. The role of the advisory group was to provide direction and guidance to Group One in delivering the wider project aims. The inclusion of members from Group Two within the advisory group provided a necessary degree of continuity and quality control throughout the research process. Briefly, Workshop One was aimed at evaluating the extent to which existing frameworks integrate and provide useful linkages between concepts relevant to GI, ageing, health and well-being. Workshop Two was designed to explore the diversity of perspectives from theory (Group One) and practice (Group Two) in order to establish a common understanding of these key concepts. Finally, knowledge gained through the evaluation of existing frameworks and the establishing of a common understanding of concepts at the intersection of GI, ageing, health and well-being was integrated into a set of principles of working for leveraging GI within public health research and practice. This process and the resulting principles were ratified through consultation with the advisory group (see Fig. 2 for an overview of the process). Workshops, and therefore the results in this paper, were informed by literature reviews conducted in 2016 and therefore will not reflect work published after this date.
**Identification and evaluation of contemporary approaches to conceptualizing the inter-relationships between GI, ageing, health and well-being (Workshop One)**
For Workshop One, a preparatory piece of work was carried out by members of Group One. This consisted of an elicitation of conceptual frameworks representing the state-of-the-art of research on GI and human well-being. Group One members were asked to identify the prominent frameworks from their respective disciplines (see Table 2) relevant to the intersection of GI, ageing, health and well-being. In addition, a systematic literature search was carried out by a member of Group One (in August 2016) to identify existing conceptual frameworks which combined the themes at the centre of this research, namely GI, health, well-being and ageing (see Supplementary Materials for details of search terms used). Subsequently, members of Groups One and Two were invited to participate in a workshop designed to facilitate a critical evaluation of identified frameworks. The key elements of identified frameworks relevant to GI, ageing, health and well-being were summarised in an academic poster format for the benefit of participants. A poster review session captured initial commentary through the use of sticky notes appended to each in a carousel format. A subsequent discussion took place to clarify points raised in this initial process with notes taken by a member of Group One and agreed upon by participants.
Establishing a common terminology for understanding the links between green infrastructure and health and well-being (Workshop Two)
The development of shared concepts is a key element of knowledge brokering, necessary in order to establish a common lexicon and subsequent dissemination of information and practices (Assmuth and Lyttimaki 2015). Workshop Two explored the challenges faced in seeking a common use of terminology and attempting to integrate complex themes related to ageing, human health and well-being and the influence of GI. Here, members of Group One again provided the input for discussion. Specifically, members of Group One were asked to provide briefing documents detailing the theoretical perspectives and definitions that their respective disciplines employ to understand the key areas of GI, ageing, health and well-being in urban areas. These were identified, discussed and assigned to individual experts at a pre-workshop meeting attended by Group One. Briefing documents were then provided to members of Group Two in advance of Workshop Two and as oral presentations on the day. An open discussion of these definitions and concepts was facilitated within the workshop environment in order to (a) document divergent views, (b) establish a common understanding of terminology and (c) explore challenges and opportunities for integrating key concepts relevant to GI, ageing, health and well-being. Outputs from this discussion were recorded by note-takers and collated with those acquired through workshop one. All outputs were subsequently coded into common themes by a member of Group One and ratified by the wider team. Members of Group One then evaluated the workshop outcomes to highlight areas where existing frameworks and conceptual stances failed to effectively integrate the multiple perspectives and knowledge articulated by participants in the co-production process. Finally, the diverse views captured from Group One and Group Two within the workshop environment were synthesized though the creation of a set of guiding principles, aimed at enhancing health and well-being in ageing populations through a GI approach. The principles were the result of condensing the two strands of the knowledge-brokering process, namely: the shortcomings identified through the critique of existing frameworks (Workshop One) and the application of expert perspectives on concepts related to GI, ageing, health and well-being (Workshop Two) to these shortcomings. These principles were initially drawn-up by members of Group One and were presented to the project Advisory Board at a further meeting where members had the opportunity to provide feedback and shape the final version of the proposed principles. A summary of how the various stages of the brokering process linked to produce these principles is given in Fig. 2.
RESULTS
Consultation and literature search: Identifying conceptual frameworks
Consultation with Group One participants led to the identification of seven conceptual frameworks. Table 1 presents basic details of identified frameworks for consideration, detailing their purpose, key concepts and the primary academic discipline of origin. The systematic literature search did not identify any existing frameworks that deal with the full range of disciplines and themes at the centre of the research activity, returning no articles for consideration.
Summary of findings from the framework evaluation (Workshop One)
The findings from the workshop revealed that a full integration of the dominant themes of GI, health and well| Name of framework | Source | Purpose | Key concepts and approach | Workshop One Commentary |
|-------------------|--------|---------|---------------------------|-------------------------|
| Ecosystem services cascade | Haines-Young and Potschin (2010) | Clarify the links and terminology surrounding ecosystem processes and the benefits that humans receive/perceive Address the issue of varying and conflicting typologies and interpretations around ecosystem service provision and value | The cascade represents a “production chain” from ecological process to end-user benefit Services and associated values are context-specific Framed within the Ecosystem Approach and social-ecological systems model | • Leans on ecosystem services as a proxy for well-being
• Benefits derived from ecosystem services quantified in anthropocentric, utilitarian terms with an economic emphasis
• Absence of direct links to human health |
| Fragments, Functions, Flows & Urban Ecosystem Services (F3UES) | Biodiversity and Ecosystem Services Sustainability (Graffius et al. 2018) | Explore how the biodiversity of towns and cities contributes to the provision of Ecosystem Services (ES), and hence, human well-being | Stocks and flows: Biodiversity is seen as a ‘stock’ (similar to natural capital), from which the ‘flows’ of ES are delivered Relationship between GI and ES: ES in urban areas are often framed in the context of GI and that ES research needs to be consistent with this | • Strong spatial aspect grounded in ecosystem services
• No emphasis on valuation
• Well-developed consideration of the influence of scale on nature’s benefits to people |
| Intergovernmental Science-Policy Platform on Biodiversity and Ecosystem Services (IPBES) | IPBES (Diaz et al. 2015) | To frame IPBES activities around its long-term goal of conservation and sustainable use of biodiversity, long-term human well-being and sustainable development to: Encourage new knowledge creation Review/assess existing knowledge Support policy-making Build science-policy-practice capacity | Mutual recognition and enrichment among different disciplines and knowledge systems Recognises anthropocentric aspects of assessment of values, open to pluralistic and non-monetary framing Considers roles of time and space and recognises scale dependencies Use of multiple terminologies and open to context dependent alternatives | • Although grounded in anthropocentric concepts of nature conservation, also the only framework to consider relational value as a progression beyond polarised utilitarian versus intrinsic views on the value of nature
• Only framework to consider temporal scales in the context of environmental processes and human health |
| Green Infrastructure, Ecosystem and Human health (GIEH) | (Tzoulas et al. 2007) | Encourage the integration of information among and between disciplines Review, identify and categorise different academic traditions, research methods, specialised language, and theories | Green infrastructure (all green spaces and their physical and functional interconnections) Human health (dynamic state of physical, psychological and social well-being) Human well-being (defined through socio-economic and psychological factors, including connectedness to nature) Ecosystem health (dynamic and resilient to stress, maintaining organisation, productivity, autonomy) | • No emphasis on valuation
• Only framework to offer direct links between ecosystems processes and human health
• Acknowledgement of influence of different scales of resolution in the assessment of ecological and health indicators
• No consideration given to concepts or methods relevant to valuation |
Table 1 continued
| Name of framework | Source | Purpose | Key concepts and approach | Workshop One Commentary |
|-------------------|--------|---------|---------------------------|-------------------------|
| Conceptual framework for Multi-functionality in Green Infrastructure Planning for urban areas (MGIP) | Hansen and Pauleit (2014) | Integrate dual-management of co-existing Green Infrastructure, its multi-functionality and Ecosystem Services (ES) | Ecological—assessing current provision of GI (spatial elements and structures) through appropriate ecological indicators
Social element addresses demand for services as a key planning consideration
Valuation: identification of GI integrity, ES hotspots, trade-offs, supply–demand balance and stakeholder preferences
Discrete ecosystem services influence people at different scales (e.g. local, distant, cross-scale, uni-directional)
Establishing robust measures and methods of valuation of nature (monetary and non-monetary)
Consideration of the economic, societal and cultural value of ecosystem services
Preferences as a mediating stage influencing realistic valuation of ES | • Operational focus with some acknowledgement on the role of societal choice and valuation in green space planning
• Present examples of a participatory approach though with no clear guidance on its implementation
• Strong emphasis on multi-functionality and the effect of local, distant and unidirectional scales of influence in well-being benefits from green space |
| Valuing Nature Network (VNN) exploratory work | https://valuing-nature.net/ | Develop an improved understanding and representation of the complexities which surround the role of the natural environment in both valuation and decision-making processes. | • Driven by a focus on evaluating the possibility of valuing nature in market-based terms
• The framework acknowledges the importance of shared values but an emphasis on monetary valuation may create barriers for its application in the context of participatory approaches |
| Green Space and Health: a conceptual framework (GSaH) | Lachowycz and Jones (2013) | Identify the moderating and mediating factors which affect the relationship between green space and health benefits | Demographic, socio-economic and environmental factors are considered in assessment of benefits of exposure to, and use of, green space. Understanding the mechanisms of moderation is key to interpreting results of research | • No emphasis on valuation
• Of all the frameworks considered, the clearest treatment of the mediation of health outcomes by socio-demographic factors
• Poor representation of ecological or scale-related factors with a bearing on health |
Well-being, ageing and valuation (as identified in the introduction to this paper) is currently lacking in the leading scientific literature on the topic. Frameworks issuing from the natural sciences (e.g. Ecosystem Services Cascade, F3UES, MGIP) represent a principal driving force in the conceptualisation of benefits to human health and well-being stemming from the natural environment. Of note was the fact that public health research has largely failed to put forward conceptual models of working, despite this field of enquiry having generated much evidence on associations between GI and health. Another omission in attempts to provide a conceptual road map in social-ecological approaches to health and well-being concerns guidance on relational and participatory routes to valuation (with the exception of the VNN and IPBES frameworks). Similarly, there was a lack of explicit reference to cultural heritage value in assessments of GI, human health and well-being in all frameworks considered (though IPBES provide a potential framework to acknowledge such motivations through its emphasis on relational value).
Identification of academic and practitioner perspectives towards the integration of key concepts and theory (Workshop Two)
The key concepts and of theoretical viewpoints associated with Group One research specialisms, and presented to members of Group Two, are listed in Table 2 under the six academic research specialisms. Table 2 contains both underpinning concepts and academic standpoints, according to the contributions from the different academic teams, which in some cases also included an emphasis on particular approaches and methods.
The discussion based on concepts, standpoints and theories presented by members of Group One brought together a broad range of academic and practitioner perspectives for integration. Key discussion points related to knowledge, emphasis and challenges associated with research themes are summarised in Table 3.
The knowledge generated through Workshops One and Two culminated in a set of nine principles for leveraging GI as a public health intervention. A summary of the interim and final outcomes from this work is given in Fig. 3.
**Table 2** Key concepts and theoretical viewpoints related to green infrastructure, ageing and well-being from Group One disciplinary perspectives
| Research specialism | Disciplinary concepts and principles relevant to the intersection of GI, ageing, health and well-being |
|---------------------|------------------------------------------------------------------------------------------------------|
| **Green Infrastructure** | 1. *Multi-functionality* (ecological, social and economic functions considered in parallel);
2. *Physical and functional connectivity* (linking people, habitats, function and species);
3. *Social inclusion* (societal needs are central to the planning process);
4. *Trans-disciplinarity* (drawing on knowledge from relevant disciplines and stakeholders)
5. A green infrastructure approach acknowledges the *influence of scale* in developing nature-based solutions to social-ecological challenges |
| **Health** | 1. *Rise of chronic conditions* in the industrialized world (pathogenic model);
2. *Integrated social-ecological models of health* Individual health outcomes as the results of interacting biological, social and environmental factors; |
| **Well-being** | 1. *Subjective state theory/hedonism* (feeling good): (after e.g. Epicurus; Jeremy Bentham), Well-being consists in having certain subjective psychological states
2. *Preference satisfaction theory* Well-being consists in the satisfaction of personal preferences, the stronger the preferences, the greater the well-being;
3. *Objective list/state theory* Well-being consists in the realisation or capacity to realise of certain objective goods or states such as particular forms of personal relation, physical health, autonomy, knowledge of the world, aesthetic experience, accomplishment and achievement, sensuous pleasures, a well-constituted relation with the non-human world, and so on
4. *Capabilities approach* Well-being is defined in terms of in terms of *capabilities* to achieve central human *functionings Functionings* ‘the various things a person may value doing or being’—what people are able to be and do
*Capabilities* ‘substantive freedoms to achieve alternative functioning combinations’ (Sen 1993 p.75) |
| **Ageing** | 1. Acknowledgement of *diversity* within the ageing population; increase in demand for care with increasingly ageing populations;
2. There exists a need to address *needs of black and minority ethnic group communities*;
3. The central *role of the neighbourhood* in quality of life in older age;
4. *Environmental volunteering* may carry particular health benefits in later life
5. *Co-research* with older adult participants |
| **Arts and Heritage** | 1. *Cultural heritage* Ways of living passed down through generations including *Intangible Cultural Heritage* such as oral traditions, performing arts, social practices, knowledge of the natural world, traditional craftsmanship
2. *Safeguarding* measures (e.g. as adopted by UNESCO) aim to promote and protect the viability of intangible cultural heritage, prioritizing opportunities for women’s empowerment
3. *Creative practice* as a method of participatory engagement |
| **Value and valuation** | 1. *Monetary valuation* Assumes that monetary values can be assigned to features of the natural environment to facilitate their inclusion in market-based decisions, thereby highlighting their worth
2. *Participatory methods of valuation* (e.g. deliberative/democratic approaches): attempt to capture a range of values and perspectives hidden from monetary assessments |
**Description of the principles derived from the knowledge-brokering process (non-technical description in parentheses)**
1. *Person/user-centred* (Involving people who are expected to benefit from the outputs of the research). An inclusive description of the relationship between individual health and well-being and GI should be sought to the furthest degree possible. This should be driven by knowledge on the particular perspectives, behaviours and needs of the individuals/communities under consideration.
Table 3 Summary of perspectives documented through Workshop Two. Group One (academics) comments in normal font, Group Two (practitioners) comments in italics
| Research theme | Workshop discussion points and perspectives |
|----------------|---------------------------------------------|
| Green infrastructure | • Inconsistency in the monitoring and expressing of quality and value of green infrastructure assets is an obstacle to effective planning and evidence building
• There exists a need to consider both biological and social quality and provision in green infrastructure planning and research |
| Health | • Measures of health need to be carefully considered in light of socio-economic contexts and quality/availability of data
• Behaviour, such as lifestyle and physical activity, is a key consideration in public health |
| Well-being | • A key challenge lies in measuring the multi-dimensional value of components which contribute to well-being
• The benefits of the natural environment on individual well-being are shaped by socio-cultural factors
• This makes qualities of the natural environment difficult to translate into meaningful estimates of well-being benefits |
| Ageing | • Conceptualization of older generation can be misleading as overarching definitions conceal the diversity present in ageing populations
• Narrow approaches to interpreting and defining elements of green infrastructure can also present barriers to participation in nature-based activities
• Transitions within the life-course can be watershed moments for the individual’s relationship with the natural environment |
| Heritage | • Capturing the value of heritage of all kinds remains a considerable challenge in social-ecological research and policy
• Emphasis should be placed on people and person-centred approaches as opposed to artefacts in explorations of culture and heritage
• In practice tensions can arise between person-centred approaches to safeguarding and promoting heritage and culture, and asset management |
| Value and valuation | • Monetary valuation cannot capture some dimensions of values such as meaning and sense of place
• There is a danger of creating a binary classification of approaches to valuation (monetary versus non-monetary) and a need to recognise the plurality of value in order to create effective methods of accountability (e.g. in order to hold organisations environmentally accountable for their actions)
• Calculating value depends on the audience and should be tailored accordingly to the needs/perspective of the audience
• Economic valuation can be important for decision-making and providing for sustainability in funded projects |
2. **Importance of life transitions** (The need to consider the role of life transitions for understanding links between green infrastructure and health and well-being). Key to an age-related understanding of how people relate to and benefit from the natural environment (i.e. as embodied in GI) concerns how meaning is attached to the latter during important stages in the life-course, as can be observed through analysis of birth cohorts (see Phillipson 2017). There is an evidence to suggest (e.g. Smaldone et al. 2005; Bell et al. 2015) that nature-based activities often hold particular meaning and opportunity for enhancing well-being during transitional periods in the ageing process, such as leaving home, the birth of children or grand-children, retirement, or bereavement. An awareness of how well-being effects from the natural environment can be strongly mediated by stages in the life-course of the individual should therefore be considered where possible.
3. **Broadening participation** (Broadening participation in green and blue spaces associated with GI and in related decisions, such as its valuation)
Approaches which seek to increase and diversify participation both in terms of use of GI and democratic methods of capturing value should be adopted. Participatory methods have been presented as vital components of resilient social-ecological systems by increasing the body of (local) knowledge available to decision makers as well as knowledge exchange and trust between stakeholders and practitioners (Walker et al. 2002; Olsson et al. 2004).
4. **Relational value** (Emphasising the importance of valuing the ways in which people relate to and are motivated to engage with the natural environment through urban GI).
In reference to principles 1, 2 and 3, the adoption of the concept of relational value (in what ways people relate to and are motivated to engage with the natural environment) is paramount and provides a means of avoiding binary approaches to value (i.e. intrinsic vs utilitarian perspectives). For example, economic valuation of natural capital has proved not to be the panacea of environmental stewardship (Knights et al. 2013), with local to global ecosystems still subject to
continued degradation and exploitation. Likewise, the intrinsic value of nature has yet to be effectively integrated into environmental policy. A relational approach avoids the pitfalls of adopting either stance by focussing on that which motivates individuals, communities and decision makers to place value on the elements of the natural environment in which they are stakeholders (Diaz et al. 2015). In turn this helps to understand how different individuals and groups can gain health and well-being benefits (or harms) in the future.
This approach acknowledges the multiple ways in which individuals and communities connect with and notice their environment for health and well-being benefits such as is promoted, for example, through the Five Ways to Well-being (Farrier et al. 2019).
5. **Flexibility** (Research that is flexible and acknowledges the legitimacy of different perspectives and views). Acknowledging the plurality of perspectives that exist towards key concepts such as GI, health and value is vital in order to understand the preferences and well-being benefits expressed by diverse user groups present within social-ecological systems (Bennett et al. 2015). The complexity involved in converting benefits and qualities from one dimension (i.e. GI) to another (i.e. health and well-being) (Armitage et al. 2009) should take into account the multiple modes of expressing environmental quality, healthy outcomes and wider definitions of well-being. Deliberative approaches (such as Q-methodology and Deliberative Mapping see “Opportunities for further integration and effective implementation of the principles for leveraging GI as a public health intervention” section) provide promising starting points for articulating divergent perspectives, value plurality and reaching consensus on environmental quality and value-oriented decision-making (e.g. Forrester et al. 2015).
6. **Scale** (Considering spatial and temporal scales of social and GI-related processes and outcomes and how they influence research and practice).
Where possible, all significant social, cultural and ecological factors influencing the relationship between the natural environment and health should be considered simultaneously at an appropriate scale. This process should acknowledge the influence of slower/faster variables operating at larger/smaller physical and temporal scales (Ernston et al. 2010). For example, persistent socio-cultural characteristics of an area, or gradual economic decline, represent slow variables that may change over much longer periods of time than “faster” variables such as the modification of GI (whether increasing—“greening”—or decreasing i.e. development) or improving access to urban nature. GI interventions should therefore consider existing perspectives and preferences of particular communities.
7. **A comparative approach** (Working in a range of locations in order to produce evidence relevant to a variety of social and environmental contexts).
A consideration of geographical patterns is key to understanding the provision of, and need for, GI benefits to an ageing population, including socio-cultural characteristics. Such an understanding is necessary for both a whole-system approach to understanding health and well-being and identifying local patterns of inequality for more focussed research or intervention-based work. The management of GI should consider the constraining influence of background social parameters which play a mediating role in peoples’ relationship with the environment. For example, it has been demonstrated that socio-economic and ethnic backgrounds can be mediators of engagement with the natural environment. Therefore, if GI interventions are to be effective, they should consider socio-cultural contexts and potential barriers to use.
8. **Identifying mechanisms** (Research that emphasises the range of pathways through which health and well-being are influenced by urban GI as we age).
Appropriate hypotheses related to GI and human health and well-being drawn from, for example, psychology (e.g. attention restoration theory, ART), health-related behaviours (e.g. physical activity) or physiology (e.g. immune-regulatory pathways) should be researched and considered appropriately according to the nature of the work being undertaken. Underlying mechanisms (e.g. biological, psychological, cultural or behavioural, as appropriate) may inform research and interventions seeking to gain insight into or improve on the relationship between GI, human health and well-being. Similarly, the application of the principles to research may further inform current theory by providing new trans-disciplinary perspectives on the processes and values which determine health and well-being outcomes through GI and its attributes, such as biodiversity.
9. **Systems thinking** (An acknowledgement that GI operates as a system involving both people and the natural environment).
Human-dominated landscapes should be viewed as coupled social-ecological systems with place-specific ecological, social and cultural characteristics and drivers interacting at a range of scales. Social-ecological systems are characterized by complexity and understanding is facilitated by drawing information from the social, ecological, historical, cultural and institutional aspects of a given system. Understanding the perspectives of actors from individuals to communities to organizations within social-ecological systems is likewise achieved by the same means (Berkes 2009). Diversity and connectedness of both socio-cultural and biological characteristics play a key role in managing the use, and resilience of system components (e.g. green spaces such as parks or riverine corridors) and the wider social-ecological system itself (Norberg et al. 2008; Biggs et al. 2012).
**DISCUSSION**
The knowledge-brokering process resulted in the capture of a broad range of perspectives (addressing research question one) which provided the basis of the development of a set of principles of working. Perspectives articulated in the workshop environment coalesced around two broad considerations, operating at different scales, for integrating knowledge at the intersection of GI, ageing, health and well-being.
Firstly, a strong emphasis on the importance of considering the user within their socio-cultural, economic and demographic (e.g. life-course) context was observed. Such characteristics were identified by practitioners and researchers alike as a strong influence on both the ability to engage with the natural environment and on the quality of the environment in which individuals live. This idea resonates in the wider literature on green space and health (Maas et al. 2009; Schipperijn et al. 2010) and highlights the need for context-specific evaluations of GI-ageing-health and well-being interactions. Broadening participation in decision-making, in order to capture unique viewpoints and motivations behind the use and valuation of GI, was highlighted. Linked to the importance of participation was a perceived need to capture value plurality in an effective and flexible way (Principle 5) and acknowledge value incommensurability where necessary (Table 3: “Value and valuation”). This was seen to be critical in addressing the needs of individuals and communities in the promotion and communication of health and well-being benefits, but comes with significant challenges (discussed in section “Appropriate use of value and sensitive valuation methods” with methodological opportunities presented in section “Opportunities for further integration and effective implementation of the principles for leveraging GI as a public health intervention”).
The need for a comparative approach was the second important theme identified, reflecting the influence of broader social, temporal and geographical processes which frame interactions between GI, ageing, health and well-being. For example, natural, socio-demographic and decision-making processes interact at different temporal scales which can lead to mis-matches in the provision of, and
need for, urban GI (Borgström et al. 2006). Research reported elsewhere strongly supports this position (Buiks et al. 2016). Adopting a cross-scale perspective on GI, ageing, health and well-being is therefore essential in order to identify sources of inequality (at broader scales e.g. by comparing GI and socio-economic data at the neighbourhood or census level) as well as to capture motivations and preferences at the level of the individual to inform decision-making when GI interventions are planned.
The themes which stemmed from the knowledge-brokering process reflect the complexity of the nature of social-ecological systems themselves. In particular, the brokering process identified complex interactions influencing engagement with GI and that, in order to navigate such complexity, a systems approach (sensu Biggs et al. 2012) is necessary. For example, an individual’s ability to engage with GI may be conditioned by the socio-economic context (e.g. availability of green space, ability to travel; Maas et al. 2009) but also by demographic (e.g. age-related or cultural barriers; Schipperijn et al. 2010), physical (e.g. accessibility of, or appropriate facilities within, green spaces; Gong et al. 2016) or psychological (e.g. fear of crime: Hong et al. 2018) factors. In addition, individual contexts are constrained by larger-scale processes such as economic cycles, housing demand and environmental and political changes which may all affect different communities with different degrees of severity (Frank et al. 2017).
A focus on ageing as a factor moderating health and well-being influences from GI resulted in the surfacing of specifically demographic as well more generic concerns. For example, Principle 2 is concerned explicitly with stages within the life-course and how these affect positive (and negative) interactions with GI, whereas other principles (e.g. the need for a comparative approach: Principle 7) could be applied more generally outside the concept of ageing. Given the potential universality of some of the principles, the process undertaken underlines the importance of ageing as a key consideration in decision-making that can highlight issues pertinent to wider society. The emphasis placed on life transitions in our results asserts the ageing process as a dynamic and inevitable aspect of our relationship with GI that affects not only issues such as access and mobility but also relational value as different motivations and needs take precedence as we age (Douglas et al. 2017). Similarly, from the point of view of mechanisms (Principle 8), health and well-being benefits (and harms) may be conferred through different pathways (e.g. ART, physical activity, social and cultural ties) at different stages of the life-course. As a result, values towards GI may shift as one progresses into different stages of the life-course, underlining the need for a flexible approach (Principle 5) that acknowledges value plurality that is also temporally dynamic. Despite the promise of adopting ageing as a useful entry point to understanding GI and health, developing an approach to identify, integrate and manage the complex interactions implied presents a significant challenge.
**Challenges for knowledge integration and implementation of the principles**
The process of developing the nine principles highlighted key challenges around knowledge and value integration that had thus far prevented the creation of a fully holistic and practicable framework for working at the intersection of GI, ageing, health and well-being (addressing research question three). Though the principles described are designed to overcome challenges to integration, there are key challenges relevant to implementation surfaced by the knowledge-brokering process that are important to acknowledge and navigate in order that the principles are effectively operationalized. Three key challenges to effective implementation were identified: (i) addressing complexity in the understanding of health and well-being and their determinants, (ii) understanding processes of valuation and, (iii) accounting for scale. In subsequent sections, we discuss these challenges, using the reviewed frameworks as points of reference (addressing research question two). We then suggest potential pathways to overcoming them.
**Addressing complexity in the understanding of ageing, health and well-being**
The co-production process highlighted that the level of clarity and integration of the themes of health and well-being with respect to ageing and GI were achieved to variable degrees by existing frameworks, with none of those considered achieving a full integration. This insight mirrors similar assertions in the literature on the need to navigate complexity in public health promotion in social-ecological systems (Bunch et al. 2011). For example, five of the seven frameworks placed strong emphasis on the concept of ecosystem services and employed the definition of the latter as a kind of proxy for human health and well-being based on the widely accepted definition that they represent “the benefits people obtain from ecosystems” (MEA 2005; (vi). This is the basic assumption of the F3UES, the MGIP framework, the Ecosystem Cascade model and the VNN framework. Therefore, these frameworks, reduced to assessments of ecosystem services flows and provision in their definition of well-being, appeared to be limited in their exploration of complexities related to health outcomes.
However, within the VNN framework, and especially within the IPBES approach, consideration is given to
measures of human health and well-being which are conceptually discrete from the notion of ecosystem services. In their framework concerning GI and ecosystem and human health (GIEH), Tzoulas et al. (2007) draw on the concept of ecosystem services but emphasise rather the notion of ecosystem health and its influence on that of humans. In this sense, it is one of only two frameworks that succeed in providing a direct conceptual link between ecosystem processes and human health, offering concrete mechanisms for related health outcomes. This was a key priority (identifying mechanisms) highlighted in the co-production process as being critical to effective implementation. Likewise the GSaH (Lachowycz and Jones 2013) conceptualisation of human health outcomes related to green space provision focusses on characteristics of environmental features and how these may mechanistically affect interaction with green space. In this way, the GSaH framework provides the greatest detail of all the frameworks analysed in terms of articulating causal links between concepts. Moreover, by considering demographic variables (i.e. the social environment and related contexts), this latter framework is the sole one under consideration which makes explicit mention of age as a mediating factor in the relationship between human and environmental health. Though this would be considered a good example of thematic integration, according to the outcomes of our co-production process, these frameworks are purely analytical and offer little explanation as to the operationalization of such themes. Therefore, effective guidance on implementation remains a key omission in the literature on GI, ageing, health and well-being.
A key area of concern amongst practitioners (Group Two), for any framework attempting to leverage GI towards improved public health outcomes, related to the need to recognise the complexities and uncertainties present in the degree to which socio-cultural factors play a mediating role in health and healthy relationships with the natural environment. Inconsistencies were highlighted in modes of working and knowing between and within research and practice that can compromise effective implementation of research into health, well-being and GI. These inconsistencies related primarily to indicators and measures of well-being and quality of natural spaces, as well as evidence building and its documentation. Another key requirement for effective implementation therefore relates to the development and use of effective indicators.
**Appropriate use of value and sensitive valuation methods**
Conceptual presentations of the notion of value, and its relationship to well-being, varied greatly between frameworks from those which offer no consideration at all (F3UES, GSaH, GIEH) to those which employ a primarily economic basis of assessment (ecosystem service cascade, VNN framework) and those which emphasize a combination of monetary and non-monetary approaches (IPBES). Interpretation and criticism of the notion of value was likewise diverse among workshop participants and the need to acknowledge both intrinsic and utilitarian approaches to valuing the natural environment was expressed by members of both groups. The notion of value both in the context of the discussion of conceptual models in workshop one and the discussion of definitions and individual concepts in workshop two provided the greatest degree of plurality of meaning of any theme under consideration in the knowledge-brokering process. A key outcome of workshop two (stressed by members of Group Two) centred on the appropriate assigning of monetary and non-monetary values to the natural environment and the use of community-focussed versus asset-based approaches to managing natural heritage. The challenge of acknowledging and understanding multiple interpretations and frames of reference around value, and the failure of many of the selected frameworks to meet this challenge, was therefore a key finding of the knowledge co-production process.
The IPBES approach, however, was unique among the identified frameworks in its accounting for value. Whilst incorporating the provision of ecosystem services, it sees the latter as one of a variety of mediating factors in the fulfilment of a good life (Díaz et al. 2015). Moreover, by also stressing the relevance of an intrinsic view of nature’s worth, it provides the only conceptual presentation inclusive of utilitarian, intrinsic and relational values. Central to the idea of relational value is a sense of kinship with natural processes and landscapes which speaks more clearly to that which motivates people to identify with and conserve the natural environment. Indeed, the IPBES approach is the only framework of those identified that gives explicit consideration to the value of heritage as a mediating cultural concern in the assessment of health outcomes related to GI (whereas most others included some acknowledgement of social or cultural interaction *within* green spaces there was no evidence of cultural associations *with* the natural environment itself). It could be claimed that, within frameworks which adopt an ecosystem services approach, the notion of cultural ecosystem services encompasses an appreciation of heritage value, though explicit reference to this is not made in the supporting material. However, the use of ecosystem services, if based on a monetary valuation approach, can be at odds with participatory valuation approaches which tend to emphasise a plurality of values, many of which are incommensurate with economic models. The IPBES framework provided the only direct acknowledgement of the importance of taking account of relational and cultural value in an assessment of human well-being and, as such, provides a promising starting point for
navigating polarised stances related to nature valuation (see Mansur et al. 2022 and section “Opportunities for further integration and effective implementation of the principles for leveraging GI as a public health intervention”).
Another key concern which emerged through the outputs of workshop one was the absence of emphasis in the identified frameworks on understanding value (and well-being) through participatory processes. This reflects assertions elsewhere in the social-ecological literature that the planning of GI, and conservation efforts more generally, has been shown to have greater efficacy when adopting a user-centred approach (Biggs et al. 2012). Although most of the frameworks, as anthropocentric approaches to environmental assessment and planning, take human well-being as their primary goal, there is overall little emphasis on the widening of participation towards achieving this goal. The integration of user-participation as a formal consideration in the process of value creation and associated well-being outcomes appears to be another challenge not met by the frameworks identified in this study. Again, an emphasis on ecosystem service provision is conspicuous with only one of the ES-centric models studied here (the MGIP framework) acknowledging the benefit of such approaches in capturing value.
**Issues of scale in exploring GI benefits to human health and well-being**
Scale, both geographical and temporal, was highlighted in the knowledge-brokering process as a consideration which can influence the presence and impact of benefits to human well-being derived from GI as observed, for example, by Coutts and Hahn (2015) in the delivery of vital ecosystem services from urban GI. Those conceptual frameworks with a strong foundation in ecology gave the most comprehensive account of the relevance of geographical scale in the treatment of concepts related to ecosystem function and connections with human exposure and health and well-being outcomes. For example, the F3UES takes a spatial approach to mapping stocks and flows of ecosystem services, acknowledging that such processes, and their effective assessment, are scale-dependent. Likewise, within the MGIP and Ecosystem Services Cascade models, there is special consideration given to the idea that the various ecosystem functions associated with multi-functional green space influence people at different scales (e.g. local, distant, uni-directional) and Tzoulas et al. (2007) acknowledge the effect of scale and resolution in assessing a range of indicators. However, though frameworks with a GI focus considered scale in their conceptualization, actual examples tended to be regional-to-global. Conversely, frameworks grounded in public health disciplines, though drawing on evidence collected at a range of scales, failed to address explicitly the role of scale itself. A focus on scale-effects directly related to health outcomes was therefore lacking from all frameworks and an understanding of the scales at which GI-related processes directly impact health and well-being requires further clarification.
**Opportunities for further integration and effective implementation of the principles for leveraging GI as a public health intervention**
Fully meeting these multiple challenges related to scale, value and complexity may require a process-oriented approach based on inter- and trans-disciplinary work and an associated suite of tools and methods. In particular, this will require expertise from the natural, health and social sciences as well as arts and heritage researchers and practitioners. For instance, taking the issue of scale, ecosystem processes and societal preferences may be enacted and felt at different scales. Here, disciplines such as Geographical Information Science and landscape ecology expertise may be needed for mapping ecological processes (e.g. Haase et al. 2014; Dennis et al. 2018) in addition to social and arts practice methods (e.g. participatory action research, Ashton et al. 2021) to capture the complex relationship between GI, valuation processes and health and well-being impacts. In order to articulate these processes and relationships, and make them more accessible to a range of participants, the use of effective boundary objects to bridge between disciplines, users and practitioners may provide a potential pathway. For example, the use of social-ecological traits (Andersson et al. 2021) provides a promising route to linking social and ecological processes at different scales in urban environments and represents a heuristic through which key ideas related to GI, ageing, health and well-being could be communicated.
Workshop participants highlighted the need for robust indicators (particularly of health and well-being and GI quality) for which secondary “big data” and social-media derived datasets are proving effective in the study of urban GI use (e.g. Ilieva and McPhearson 2018). Such sources of information could be considered in support of principles six (relevance of scale), seven (adopting a comparative approach) and eight (identifying mechanisms) to identify, for example, the scale at which GI influences behaviour and space-use, the spatial variation in such use and the behaviours which are associated with well-being outcomes (Coutts and Hahn 2015).
In terms of pathways to communicating and implementing outcomes and a plurality of values that may arise from the application of our proposed principles, recent work that places emphasis on relational value and visioning (e.g. Mansur et al. 2022) provides a promising way
forward. Combining different perspectives on the value of, and cultural ties with, urban GI, as exemplified by the Urban Nature Futures Framework (IPBES Expert Group on Scenarios and Models, Ibid.) may provide a useful framing of urban GI planning with which our principles could be combined. For example, carrying out visioning work (historically a top-down enterprise) in a participatory setting with a range of stakeholders (principle four) to identify motivations, preferences and values towards urban nature (principle five) for different demographic groups (principles two and seven) has the potential to address key concerns identified in the knowledge-brokering process. These include the possibility of transcending long-debated, difficult dichotomies such as those around instrumental versus intrinsic value. Such an approach could be enhanced and fine-tuned by ensuring that user perspectives are captured across scales and locations (principles one, six and seven), for example, by using available methods such as Q-methodology to capture diverse views and value plurality (Watts and Stenner 2005). Additionally, examples exist of open-source democratic valuation (http://maps.humanities.manchester.ac.uk/ghia-web/value) and data-visualisation (http://maps.humanities.manchester.ac.uk/ghia-web/extract) tools that capture spatial variation in GI and its assigned value (relating to principles four, six and seven), and which have been delivered through inter-disciplinary research. Such tools can increase the reach and accessibility of key methods, helping to overcome practical and logistical barriers to trans-disciplinary work. Ultimately, these approaches should work towards the democratization of decision-making around GI through, for example, the promotion of active citizenship (sensu Buijs et al. 2016) governance approaches.
In addition to the use of appropriate methods and techniques to operationalise the principles, their application for the leveraging of GI benefits as a public health intervention should also be considered with respect to the following general guidance.
1. They should be applied sensitively, considering unique social-ecological contexts, where particular natural, cultural, socio-economic and political landscapes may dictate a variety of needs and interpretation when promoting human health and well-being. For example, at different times and locations, socio-cultural factors (Principle 7) may limit or moderate the influence of GI on health outcomes (Principle 8).
2. The scale of operation (Principle 6) is of crucial importance when carrying out research or intervention-based work. Acknowledgement of this, and the scale of operation itself, will dictate the format in which and degree to which participatory (Principle 3) and user-centred (Principle 1) approaches can be carried out. Similarly, the modes with which individuals and communities relate to and value their local or regional environment (Principle 4) will be influenced by their relative position in terms of their geographic (Principle 7) and temporal (Principle 2) contexts.
3. In order to account for such diversity, a flexible outlook (Principle 5) is necessary to effectively capture the narratives played out through such interactions. Likewise, the application of these principles in general should be done so in a flexible rather than prescriptive way which acknowledges that circumstances dictate the degree to which each one is emphasized. For example, research with a focus on environmental justice may employ a comparative approach to identifying inequalities in green and blue space provision (Principle 7) as a point of departure with a subsequent emphasis on stakeholder participation (Principle 3). Alternatively, epidemiological studies will necessitate clear hypotheses and theoretical stances in explorations of specific health-related outcomes (Principle 8) and long-term strategic GI planning should focus on dynamics across scales (Principle 6) and consider multiple interpretations of value towards effective provision of social-ecological benefits and avoidance of harms (Principle 4).
CONCLUSION
The knowledge-brokering process identified a range of considerations and perspectives on GI, ageing health and well-being within both practice and research. The degree to which these are integrated into existing framings and how these shortcomings might be overcome were likewise facilitated by this form of co-production. The work presented here, both in terms of the principles themselves and the knowledge-brokering approach to their creation, can be adapted to other studies exploring the benefits of the natural environment to human health and well-being. We recommend that the co-production of knowledge be carried out in an iterative and context-aware manner such that insight gained at all stages of the research process can be cross referenced, using these nine principles as a road map to knowledge production. The process itself can act as a template for wider trans-disciplinary research and is readily transferable to a range of complex and interconnected topics where there are inter-dependencies between physical and social domains.
Acknowledgments This work was carried out as part of the Green Infrastructure and the Health and Well-Being Influences on an Ageing Population (GHIA) project (2016–2019) www.ghia.org.uk. Funders: Natural Environment Research Council, the Arts and Humanities
Research Council and the Economic and Social Research Council under the Valuing Nature Programme, NE/N013530/1. We gratefully acknowledge input from GHIA team colleagues John O’Neill, Richard Christian, Ruth Colton, Jack Benton and project partners and advisors.
Declarations
Competing interest The authors declare no competing interests.
Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/.
REFERENCES
Andersson, E., D. Haase, P. Anderson, C. Cortinovis, I. Goodness, D. Kendall, A. Lausch, T. McPhearson, et al. 2021. What are the traits of a social-ecological system: Towards a framework in support of urban sustainability. npj Urban Sustainability 1: 1–8.
Armitage, D.R., R. Plummer, F. Berkes, R.L. Arthur, A.T. Charles, I.J. Davidson-Hunt, A.P. Diduck, N.C. Doubleday, et al. 2009. Adaptive co-management for social-ecological complexity. Frontiers in Ecology and the Environment 7: 95–102.
Ashton, J., A. Barron, and L. Pottinger. 2021. Social practice art as research. Methods for change: Impactful social science methodologies for 21st century for problems 1–9. Manchester: Aspect and the University of Manchester.
Assimuth, U., and J. Lyytimäki. 2015. Co-constructing inclusive knowledge within inter-disciplining fields: Environmental governance and health care. Environmental Science & Policy 51: 338–350.
Astell-Burt, T., X. Feng, and G.S. Kolt. 2014. Green space is associated with walking and moderate-to-vigorous physical activity (MVPA) in middle-to-older-aged adults: Findings from 203 883 Australians in the 45 and Up Study. British Journal of Sports Medicine 48: 404–406.
Barton, H., and M. Grant. 2006. A health map for the local human habitat. The Journal for the Royal Society for the Promotion of Health 126: 252–253.
Bell, S.L., C. Phoenix, R. Lovell, and B.W. Wheeler. 2015. Seeking everyday wellbeing: The coast as a therapeutic landscape. Social Science & Medicine 142: 56–67.
Benedict, M.A., and E.T. McMurray. 2012. Green infrastructure: Linking landscapes and communities. Chicago: Island Press.
Bennett, E.M., W. Cramer, A. Begossi, G. Cundill, S. Díaz, B.N. Egoh, I.R. Geijzendorffer, C.K. Krug, et al. 2015. Linking biodiversity, ecosystem services, and human well-being: Three challenges for designing research for sustainability. Current Opinion in Environmental Sustainability 14: 76–85.
Berkes, F. 2009. Evolution of co-management: Role of knowledge generation, bridging organizations and social learning. Journal of Environmental Management. 90: 1692–1702.
Biggs, R., M. Schlüter, D. Biggs, E.L. Bohensky, S. BurnSilver, G. Cundill, V. Dakos, T.M. Daw, et al. 2012. Toward principles for enhancing the resilience of ecosystem services. Annual Review of Environment and Resources 37: 421–448.
Borgström, S.T., T. Elmqvist, P. Angelstam, and C. Alfsen-Norodom. 2006. Scale mismatches in management of urban landscapes. Ecology and Society 11.
Buiks, A.E., T.J. Mattijsen, A.P. Van der Jagt, B. Ambrose-Oji, E. Andersson, B.H. Elands, and M.S. Möller. 2016. Active citizenship for urban green infrastructure: Fostering the diversity and dynamics of citizen contributions through mosaic governance. Current Opinion in Environmental Sustainability 22: 1–6.
Bunch, M.J., K.E. Morrison, M.W. Parkes, and H.D. Venema. 2011. Promoting health and well-being by managing for social-ecological resilience: The potential of integrating ecohealth and water resources management approaches. Ecology and society 16: 6.
Coulls, C., and M. Hahn. 2015. Green infrastructure, ecosystem services, and human health. International Journal of Environmental Research and Public Health 12: 9768–9798.
Dagenais, C., M.C. Laurendeau, and M. Briand-Lamarche. 2015. Knowledge brokering in public health: A critical analysis of the results of a qualitative evaluation. Evaluation and Program Planning 53: 10–17.
Dahlgren, G., and M. Whitehead. 1991. Policies and strategies to promote equity in health. Stockholm: Institute for Future Studies.
Dennis, M., P.A. Cook, P. James, C.P. Wheatier, and S.J. Lindley. 2020. Relationships between health outcomes in older populations and urban green infrastructure size, quality and proximity. BMC Public Health 20: 1–15.
Dennis, M., D. Barkham, A. Crvan, P.A. Cook, A. Gilchrist, J. Handley, P. James, J. Thompson, et al. 2018. Mapping urban green infrastructure: A novel landscape-based approach to incorporating land use and land cover in the mapping of human-dominated systems. Land 7(1): 17.
Díaz, S., S. Demissew, J. Carabias, C. Joly, M. Lonsdale, N. Ash, A. Larigauderie, J.R. Adhikari, et al. 2015. The IPBES Conceptual Framework—connecting nature and people. Current Opinion in Environmental Sustainability 14: 1–16.
Douglas, O., M. Lennon, and M. Scott. 2017. Green space benefits for health and well-being: A life-course approach for urban planning, design and management. Cities 66: 53–62.
Ernstson, H., S. Barthel, E. Andersson, and S.T. Borgström. 2010. Scale-crossing brokers and network governance of urban ecosystem services: the case of Stockholm. Ecology and society 15: 28.
Farrier, A., M. Dooris, and L. Froggett. 2019. Five Ways to Wellbeing: Holistic narratives of public health programme participants. Global Health Promotion 26: 71–79.
Forrester, J., B. Cook, L. Bracken, S. Cinderby, and A. Donaldson. 2015. Combining participatory mapping with Q-methodology to map stakeholder perceptions of complex environmental problems. Applied Geography 56: 199–208.
Frank, B., D. Delano, and B.S. Caniglia. 2017. Urban systems: A socio-ecological system perspective. International Journal of Sociology 1: 1–8.
Frank, L.D., A. Hong, and V.D. Ngo. 2019. Causal evaluation of urban greenway retrofit: A longitudinal study on physical activity and sedentary behavior. Preventive Medicine 123: 109–116.
Gilmore, A., and P. Doyle. 2019. Histories of public parks in Manchester and Salford and their role in cultural policies for everyday participation. In Histories of Cultural Participation, Values and Governance, 129–152. London: Palgrave Macmillan.
Gong, Y., J. Gallacher, S. Palmer, and D. Fone. 2014. Neighbourhood green space, physical function and participation in physical activities among elderly men: The Caerphilly Prospective study.
Gong, F., Z.C. Zheng, and E. Ng. 2016. Modeling elderly accessibility to urban green space in high density cities: A case study of Hong Kong. *Procedia Environmental Sciences* 36: 90–97.
Grafius, D.R., R. Corstanje, and J.A. Harris. 2018. Linking ecosystem services, urban form and green space configuration using multivariate landscape metric analysis. *Landscape Ecology* 33: 557–573.
Haase, D., N. Larondelle, E. Andersson, M. Artmann, S. Borgström, J. Breuste, E. Gomez-Baggethun, A. Gren, et al. 2014. A quantitative review of urban ecosystem service assessments: Concepts, models, and empirical results. *Ambio* 43: 413–433. https://doi.org/10.1007/s13280-014-0504-4.
Haines-Young, R., and M. Potschin. 2010. The links between biodiversity, ecosystem services and human well-being. *Ecosystem Ecology: A New Synthesis* 1: 110–139.
Hansen, R., and S. Pauleit. 2014. From multifunctionality to multiple ecosystem services? A conceptual framework for multifunctionality in green infrastructure planning for urban areas. *Ambio* 43: 516–529. https://doi.org/10.1007/s13280-014-0510-2.
Hartig, T., R. Mitchell, S. De Vries, and H. Frumkin. 2014. Nature and health. *Annual Review of Public Health* 35: 207–228.
Head, B.W., and J. Alford. 2015. Wicked problems: Implications for public policy and management. *Administration & Society* 47: 711–739.
Holzmann, V. 2013. A meta-analysis of brokering knowledge in project management. *International Journal of Project Management* 31: 2–13.
Hong, A., J.F. Sallis, A.C. King, T.L. Conway, B. Saelens, K.L. Cain, E.H. Fox, and L.D. Frank. 2018. Linking green space to neighborhood social capital in older adults: The role of perceived safety. *Social Science & Medicine* 207: 38–45.
Ilieva, R.T., and T. McPhearson. 2018. Social-media data for urban sustainability. *Nature Sustainability* 1: 553–565.
James, P., R.F. Banay, J.E. Hart, and F. Laden. 2015. A review of the health benefits of greenness. *Current Epidemiology Reports* 2: 131–142.
Jennings, V., and O. Bankole. 2019. The relationship between social cohesion and urban green space: An avenue for health promotion. *International Journal of Environmental Research and Public Health* 16: 428.
Jennings, V., L. Lazarus, and J. Yun. 2016. Advancing sustainability through urban green space: Cultural ecosystem services, equity, and social determinants of health. *International Journal of Environmental Research and Public Health* 13: 196.
Kabisch, N., H. Korn, J. Studler, and A. Bonn. 2017. Nature-based solutions to climate change adaptation in urban areas: linkages between science, policy and practice. In *Nature-based solutions to climate change adaptation in urban areas*, ed. N. Kabisch, H. Korn, J. Studler, and A. Bonn. Cham: Springer.
Kelly, M.P., and M. Barker. 2016. Why is changing health-related behaviour so difficult? *Public Health* 136: 109–116.
Knights, P., J. Admiral, A. Wossink, P. Banerjee, J. O’Neill, and M. Scott. 2013. *Economic environmental valuation: An analysis of limitations and alternatives EU BIOMOT project deliverable 1.1*. http://biomot.eu/docs/Biomot_WP1_Deliverable_1.1-FINAL-16.08.13.pdf.
Lachowycz, K., and A.P. Jones. 2013. Towards a better understanding of the relationship between greenspace and health: Development of a theoretical framework. *Landscape and Urban Planning* 118: 62–69.
Lee, R.E., S.K. Mama, and H.J. Adamus-Leach. 2012. Neighborhood street scale elements, sedentary time and cardiometabolic risk factors in inactive ethnic minority women. *PLoS ONE* 7: e51081.
Lovell, S.T., and J.R. Taylor. 2013. Supplying urban ecosystem services through multifunctional green infrastructure in the United States. *Landscape Ecology* 28: 1447–1463.
Maas, J., S.M. Van Dillen, R.A. Verheij, and P.P. Groenewegen. 2009. Social contacts as a possible mechanism behind the relation between green space and health. *Health & Place* 15: 586–595.
Mansur, A.V., R.I. McDonald, B. Güneralp, H. Kim, J.A.P. de Oliveira, C.T. Callaghan, P. Hamel, J.J. Kuiper, et al. 2022. Nature futures for the urban century: Integrating multiple values into urban management. *Environmental Science & Policy* 131: 46–56.
Marshall, M.R., S.J. Lindley, P.A. Cook, and A. Bonn. 2021. Biodiversity and health in the urban environment. *Current Environmental Health Reports* 8: 146–156. https://doi.org/10.1007/s40572-021-00313-9.
MEA (Millennium Ecosystem Assessment). 2005. *Ecosystems and human well-being: Health synthesis*. Washington, Island Press.
Michaels, S. 2009. Matching knowledge brokering strategies to environmental policy problems and settings. *Environmental Science & Policy* 12: 994–1011.
Norberg, J., J. Wilson, B. Walker, and E. Ostrom. 2008. Diversity and resilience of social-ecological systems. In *Complexity theory for a sustainable future*, ed. J. Norberg and G. Cummings. New York: Columbia University Press.
Olsson, P., C. Folke, and T. Hahn. 2004. Social-ecological transformation for ecosystem management: The development of adaptive co-management of a wetland landscape in southern Sweden. *Ecology and Society* 9.
Phillipson, C. 2017. *Developing a strategy for Age-Friendly Greater Manchester*. Manchester: University of Manchester.
Plouffe, L., and A. Kalache. 2010. Towards global age-friendly cities: Determining urban features that promote active aging. *Journal of Urban Health* 87: 733–739.
Schipperijn, J., O. Eklholm, U.K. Stigsdotter, M. Tofthager, P. Bentsen, F. Kamper-Jørgensen, and T.B. Randrup. 2010. Factors influencing the use of green space: Results from a Danish national representative survey. *Landscape and Urban Planning* 95: 130–137.
Sen, A. 1993. Capability and wellbeing. In *The quality of life*, ed. M. Nussbaum and A. Sen, 30–53. Oxford: Clarendon Press.
Smajstrla, A., C. Havas, and N. Sarayi. 2008. An exploration of place as process: The case of Jackson Hole, WY. *Journal of Environmental Psychology* 28: 397–414.
Tzoulas, K., K. Korpela, S. Venn, V. Yli-Pelkonen, A. Kaźmierczak, J. Niemela, and P. James. 2007. Promoting ecosystem and human health in urban areas using Green Infrastructure: A literature review. *Landscape and Urban Planning* 81: 167–178.
United Nations. (Un.org.). 2018. *Ageing*. http://www.un.org/en/sections/issues-depth/ageing/. Accessed 22 Jun. 2018.
Van Hoof, J., J.K. Kazak, J.M. Perek-Bialas, and S. Peek. 2018. The challenges of urban ageing: Making cities age-friendly in Europe. *International Journal of Environmental Research and Public Health* 15: 2473.
Walker, B., S. Carpenter, J. Anderees, N. Abel, G. Cumming, M. Janssen, L. Lebel, J. Norberg, G. Peterson, and R. Pritchard. 2002. Resilience management in social-ecological systems: A working hypothesis for a participatory approach. *Conservation Ecology* 6.
Watts, S., and P. Stenner. 2005. Doing Q methodology: Theory, method and interpretation. *Qualitative Research in Psychology*. 2: 67–91.
Weber, T., and W. Allen. 2010. Beyond on-site mitigation: An integrated, multi-scale approach to environmental mitigation and stewardship for transportation projects. *Landscape and Urban Planning* 96: 240–256.
Weber, T., A. Sloan, and J. Wolf. 2006. Maryland’s Green Infrastructure Assessment: Development of a comprehensive approach to land conservation. *Landscape and Urban Planning* 77: 94–110.
Weber, T., and J. Wolf. 2000. Maryland’s green infrastructure—using landscape assessment tools to identify a regional conservation strategy. *Environmental Monitoring and Assessment* 63: 265–277.
Wolch, J.R., J. Byrne, and J.P. Newell. 2014. Urban green space, public health, and environmental justice: The challenge of making cities just green enough. *Landscape and Urban Planning* 125: 233–244.
WHO (World Health Organization). 2007. *Global age-friendly cities: A guide*. Geneva: World Health Organization.
WHO (World Health Organization). 2017. *Culture matters: Using a cultural contexts of health approach to enhance policy-making*. Geneva: WHO.
**Publisher’s Note** Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.
**AUTHOR BIOGRAPHIES**
**Matthew Dennis** is a Senior Lecturer in Geographical Information Science at the University of Manchester. His research focuses on social-ecological systems, nature recovery and spatial ecology.
*Address:* School of Environment Education and Development, University of Manchester, Arthur Lewis Building, Manchester M13 9PL, UK.
*e-mail:* firstname.lastname@example.org
**Adam Barker** is a Senior Lecturer in the Department of Planning and Environmental Management at the University of Manchester. His research interests focus on governance responses to climate change adaptation.
*Address:* School of Environment Education and Development, University of Manchester, Arthur Lewis Building, Manchester M13 9PL, UK.
*e-mail:* email@example.com
**Jamie Anderson** is based at the Manchester Urban Institute and Buro Happold sustainability consultants. His research interests are in systems approaches to understanding the role of sustainable urban design for Subjective Well-being and associated behaviours.
*Address:* School of Environment Education and Development, Manchester Urban Institute, University of Manchester, Arthur Lewis Building, Manchester M13 9PL, UK.
*e-mail:* firstname.lastname@example.org
**Jenna C. Ashton** is a Lecturer in Heritage Studies in the Institute for Cultural Practices, University of Manchester. Jenna’s research interests include socially engaged arts and collaborative creative methods, material archives and object cultures, and feminist and multispecies ecologies and communities.
*Address:* Institute for Cultural Practices, University of Manchester, Manchester M13 9PL, UK.
*e-mail:* email@example.com
**Gina Cavan** is a Senior Lecturer at the Manchester Metropolitan University, UK. Her research interests include urban ecosystems, applied climatology and urban climate adaptation planning.
*Address:* Department of Natural Sciences, Faculty of Science and Engineering, Manchester Metropolitan University, Chester Street, Manchester M1 5GD, UK.
*e-mail:* firstname.lastname@example.org
**Penny A. Cook** is a Professor of Public Health at the University of Salford. Her research interests include assets-based community development, physical activity and the health and well-being benefits of greenspace.
*Address:* School of Health and Society, University of Salford, Allerton Building, Salford M6 6PU, UK.
*e-mail:* email@example.com
**David French** is a Professor at the Manchester Centre for Health Psychology. His research interests include the effects of changing the environment on physical activity and well-being.
*Address:* Division of Psychology and Mental Health, Manchester Centre for Health Psychology, University of Manchester, Manchester M13 9PL, UK.
*e-mail:* firstname.lastname@example.org
**Anna Gilchrist** is a Lecturer at the University of Manchester. Her research focuses on ways to increase the autonomy of nature in the face of the climate and biodiversity crises, and understanding how urban and semi-natural ecosystems can be managed to maximise the benefits for both people and nature.
*Address:* School of Environment Education and Development, University of Manchester, Arthur Lewis Building, Manchester M13 9PL, UK.
*e-mail:* email@example.com
**Philip James** is an Honorary Senior Research Fellow at the University of Manchester. His research interests include urban ecology, and ecology and health.
*Address:* School of Environment Education and Development, University of Manchester, Arthur Lewis Building, Manchester M13 9PL, UK.
*e-mail:* firstname.lastname@example.org
**Christopher Phillipson** is a Professor of Sociology and Social Gerontology at the University. He is the Deputy-Director of the Manchester Institute for Collaborative Research into Ageing. He has a particular interest in urban ageing and developing age-friendly cities.
*Address:* School of Social Sciences, Manchester Institute for Collaborative Research on Ageing, University of Manchester, Manchester M13 9PL, UK.
*e-mail:* email@example.com
**Konstantinos Tzoulas** is a Senior Lecturer in Environmental Management at Manchester Metropolitan University. His research interests include urban ecology, sustainable development, green infrastructure planning and public health.
*Address:* Department of Natural Sciences, Faculty of Science and Engineering, Manchester Metropolitan University, Chester Street, Manchester M1 5GD, UK.
*e-mail:* firstname.lastname@example.org
C. **Philip Wheater** is an Emeritus Professor of Environmental and Geographical Sciences at Manchester Metropolitan University. His research interests include the interactions of humans with the environment, including the impacts on public health.
*Address:* Department of Natural Sciences, Faculty of Science and Engineering, Manchester Metropolitan University, Chester Street, Manchester M1 5GD, UK.
*e-mail:* email@example.com
**Ada Wossink** is a Professor of Environmental Economics. Her research interests are in environmental economic trade-offs, the evaluation of environmental policy and the provision of ecosystem services.
Address: Department of Economics, School of Social Sciences, The University of Manchester, Manchester M13 9PL, UK.
e-mail: firstname.lastname@example.org
Sarah Lindley is a Professor of Geography at the University of Manchester. Her research interests include urban ecosystem regulating functions, urban climate and air pollution, health and well-being and geographical information science.
Address: School of Environment Education and Development, University of Manchester, Arthur Lewis Building, Manchester M13 9PL, UK.
e-mail: email@example.com
|
Characterization of near-miss connectivity-invariant homogeneous convex polyhedral cages
Bernard M. A. G. Piette\textsuperscript{1}, Agnieszka Kowalczyk\textsuperscript{2,3} and Jonathan G. Heddle\textsuperscript{2}
\textsuperscript{1}Department of Mathematical Sciences, Durham University, South Road, Durham DH1 3LE, UK
\textsuperscript{2}Malopolska Centre of Biotechnology, Jagiellonian University, Gronostajowa 7A, Krakow 30–387, Poland
\textsuperscript{3}Faculty of Mathematics and Computer Science, Jagiellonian University, Lojasiewicza 6, Krakow 30–348, Poland
BMAGP, 0000-0001-9777-603X
Following the discovery of a nearly symmetric protein cage, we introduce the new mathematical concept of a near-miss polyhedral cage (p-cage) as an assembly of nearly regular polygons with holes between them. We then introduce the concept of the connectivity-invariant p-cage and show that they are related to the symmetry of uniform polyhedra. We use this relation, combined with a numerical optimization method, to characterize some classes of near-miss connectivity-invariant p-cages with a deformation below 10% and faces with up to 17 edges.
1. Introduction
Recently, a structure referred to as a TRAP-cage, made out of 24 nearly regular hendecagons, was engineered from TRAP (trp RNA-binding attenuation protein) [1–4]. The structure is such that each hendecagon has five neighbours with which it shares an edge. This leaves six edges per face which define the boundary of 38 holes. Thirty-two of the holes are triangles whereas the remaining six are in between four hendecagons, each contributing two of their edges to them (figure 1).
Such a regular structure is mathematically impossible but can be realized if the edge lengths and angles of the polygons are deformed by as little as 0.5%. This makes such a structure look totally regular and symmetric, although in reality it is only nearly so [3].
Given the huge library of diverse protein structures known, there may be a number of proteins from which it would be useful to build cage-like structures but which may have been overlooked owing to the mathematical ‘impossibility’ of them forming a regular cage. This raises the question of whether other protein cages with such nearly symmetrical geometries could be made. We start by defining the new concept of a polyhedral cage [5], referred to as a p-cage, as an assembly of (nearly) regular planar polygons, which we also call faces, with holes in between them. The holes can have any shape and do not have to be planar. From a biochemical point of view, the faces will be made out of proteins, while the holes can be empty or can be used to attach particular molecules of choice.
The mathematical concept of a regular shape is not new. Uniform polyhedra are assemblies of regular polygons such that all the vertices are equivalent. It was Kepler who showed [6] that the only convex uniform polyhedra are the Platonic and Archimedean solids, as well as prisms and antiprisms. The non-convex versions were described by Coxeter et al. [7]. Johnson [8] generalized the concept to strictly convex assemblies of regular polygons without requiring any equivalence between the vertices. Johnson [8] also listed the 92 so-called Johnson solids and Zalgaller [9] later proved that the list was complete. This was further extended [10] to near-miss Johnson solids as strictly convex assemblies of nearly regular polygons. Because of the holes, p-cages are neither proper solids nor polytopes and so do not fall within the already classified polyhedra. What we are defining is a further generalization of convex regular assemblies of (nearly) regular polygons by allowing holes, of any shape, in the structure.
(a) Definition
We define a polyhedral cage as an assembly of planar polygons, which we also refer to as faces, separated by holes which do not need to be either regular or even planar. The edges of the p-cage faces are either shared with another face or with a hole. Of two adjacent edges at least one of them must be shared with a hole. Moreover, we impose that two adjacent faces do not share more than one edge with each other and that each face must have at least three neighbour faces. Examples of p-cages are presented in figures 1 and 2.
A p-cage is defined as regular if all of its faces are regular planar polygons, but the bionanometric cages such as the TRAP-cage are made out of strictly planar but nearly regular polygonal faces. We refer to these as near-miss p-cages. The amount of deformation is subjective, but in this paper we will consider edge lengths and angles between edges differing by up to 10% from the regular polygons. This is motivated by the fact that p-cages with such a deformation...
are noticeably irregular to the naked eye, but not excessively so. It is also motivated by the fact that nano-cages with deformation close to or exceeding 2% are known to be likely (AP Biela 2019, personal communication) [11].
The hull of a p-cage is obtained by extending all the faces to infinite planes and considering the interior of all the resulting intersecting half-spaces. The hull will always be a polyhedron, but the faces will usually be irregular. We define a p-cage as convex if its hull is convex.
The p-cage graph is the graph generated from the edges of the p-cage. Some of the nodes will belong to three edges and be part of two faces and one hole while the others will only belong to two edges and be part of one face and one hole. A homogeneous p-cage is defined as a p-cage for which all the faces are polygons with the same number of edges. A homogeneous p-cage is said to be connectivity invariant if all the faces are indistinguishable from their connectivity; in other words, if for any pair of faces $A$ and $B$ there is an automorphism of the p-cage graph onto itself that maps the vertices of face $A$ onto the vertices of face $B$, such that the connecting edges are mapped to connecting edges and so that hole edges are also mapped to hole edges. The faces are assumed to be isomorphic but not isometric. For nanobiotechnological motivations, in this paper, we do not consider the p-cages for which one must involve a reflection to achieve the connectivity invariance. We are also only interested in convex p-cages.
Connectivity invariance is introduced because bionano-cages with that property will be able to assemble randomly/thermally following a larger number of possible assembly paths and, as a result, are more likely to be generated experimentally.
In what follows, we will use the following notations: $N$ will stand for the total number of faces of a p-cage while $P$ will refer to the number of edges of each face. As we will only consider homogeneous cages herein, $P$ will be defined for each p-cage. We will also denote as $Q$ the number of faces surrounding a given hole. In general, p-cages will have holes made out of a different number of faces and so there will be different values of $Q$ for a given cage (figures 1 and 2.)
The paper is organized as follows. We start by defining the dual of the p-cage, which we call the hole-polyhedron. We then show that each p-cage can be constructed from these hole-polyhedra. For this, we must start by characterizing all the possible ways to distribute face edges to the holes. Finally, we proceed by identifying all the graphs with distributed edges corresponding to connectivity-invariant p-cages (either regular or near-miss) for $P$ ranging between 6 and 17.
We then describe a method that will be used to construct all the connectivity-invariant p-cages as well as some geometric constraints used to rule out p-cages with deformation exceeding our chosen threshold. To achieve this, we describe a quality function which measures the non-regularity of p-cages and which one must minimize to find the most regular configuration.
for the convex near-miss p-cages. In the final section, we will describe the cages we have found, focusing our attention on the most regular ones.
(b) Hole-polyhedron
If we join the centre of each face of a p-cage to the centres of the faces that share one edge with it and project this skeleton on a plane, we obtain a planar graph which can also be seen as the three-dimensional (3D) graph of a polyhedron (the faces of the 3D graph will not necessarily be planar, but the vertices of the graph can be projected onto a plane so that none of the edges cross each other.). This is effectively the dual of the p-cage, but as the faces of that polyhedron bear information about the holes of the p-cage, we call it a hole-polyhedron. The Q-gonal faces of the hole-polyhedron do surround the p-cage holes made out of Q faces and capture the connectivity of the p-cages: the vertices, edges and faces of the hole-polyhedron correspond, respectively, to the faces, shared edges and holes of the p-cage (figure 2).
To create p-cages, we can proceed backwards and consider any planar graph as a hole-polyhedron, placing a polygon on each vertex (figure 2). One must then distribute the edges of each face between the adjacent faces and holes. The edges of the hole-polyhedron specify which polygons are adjacent on the p-cage. When we add a P-gon on the vertex of degree $E_h$, we must join $E_h$ of its edges to neighbour faces, distributing the remaining $P - E_h$ edges, the hole-edges, between the holes. This step is not unique as the hole-edges can be distributed in several ways. For example, an octagon with three neighbours can contribute one, two and two edges to the three holes or one, one and three. This will result in a number of different p-cages. If the polygons are regular and identical, the p-cage will be regular. If the polygons are slightly deformed regular polygons, the p-cage will be near-miss.
By considering all the planar graphs of interest and all the possible repartitions of the edges, we will obtain all the possible p-cage connectivities. While this is very simple conceptually, the number of possibilities grows very quickly with the size of the hole-polyhedron and with $P$, so much so that it very quickly becomes intractable [12,13].
From a bionanotechnology point of view, the most relevant p-cages are the ones where all the faces have the same number of edges and play an equivalent role. This is because such cages, by biological necessity, are built from multiple identical building blocks with identical amino acid sequences and held together by specific interactions between particular amino acids. So we have decided to restrict ourselves to homogeneous connectivity-invariant p-cages. This reduces considerably the number of possible p-cage geometries.
Note that the hole-polyhedra of homogeneous connectivity-invariant p-cages correspond to regular planar graphs. Moreover, the connectivity invariance of the p-cage implies that the hole-polyhedron is vertex transitive or, in other words, a Cayley graph. These graphs were classified by Maschke [14] and are the Platonic and Archimedean solids as well as the uniform prisms and uniform antiprisms. As we disregard connectivity invariance via reflection, we must exclude the truncated cuboctahedron and truncated icosidodecahedron.
(c) Repartition of edges on the p-cage holes
The next task we must perform is to determine all the connectivity-invariance-preserving ways to distribute the face edges of the p-cage between the holes. For a p-cage hole with $E_h$ edges per vertex and $P$-gonal faces, this is equivalent to distributing the strictly positive numbers $a_i$, $i = 1, \ldots, E_h$, around each hole-polyhedron vertex,
$$P = E_h + \sum_{i=1}^{E_h} a_i,$$
(1.1)
in such a way that the p-cage is connectivity invariant; in other words, such that, for any two vertices of the hole-polyhedron, there is at least one automorphism of the hole-polyhedron that maps the first vertex onto the second and that preserves the distribution of the $a_i$.
We will now perform the construction graphically using the letters ‘a’, ‘b’, ‘c’, ‘d’ and ‘e’ instead of $a_i$. As this labelling will later be used to name the p-cages, we have adopted the following convention to decide on which face the ‘a’ is placed for the first and arbitrary set of labels. For prisms and antiprisms, the label ‘a’ is placed on the base polygon. For Platonic solids, it does not matter as all the faces are identical, while for Archimedean solids we place the ‘a’ on the face with the smallest number of edges except for the snub cube and the snub dodecahedron because this could lead to an ambiguity as there are two types of triangles for these solids. We thus place the label ‘a’, respectively, on the square and the pentagon for these solids. The other labels are then placed anti-clockwise around the vertices in alphabetical order.
To identify the p-cages unambiguously, we have adopted a notation made out of three parts: SYM–PN–QI, where PN is the letter P followed by the number of edges of the p-cage faces; SYM refers to a symbol, listed in table 1, used to specify the hole-polyhedron from which the p-cage is made; finally, QI refers to the diagram values of ‘a’, ‘b’, ‘c’, ‘d’ and ‘e’ separated by the symbol ‘−’. For example, the p-cage in figure 2a is called Pic–P10−1−1−1−1−1 because its hole-polyhedron is the icosahedron, its faces have 10 edges and each face contributes five times a single edge to the holes ($a=b=c=d=e=1$ in figure 2a).
We now consider each regular solid in turn, starting with the prisms but excluding the cube that has a higher symmetry. By connectivity invariance, all the corners of the base of the prism must be identical, as they can only be mapped between themselves via a rotation of the base, and we label them ‘a’. The corners of the squares, forming the sides of the prism, can then have a different number of edges, labelled ‘b’ and ‘c’ but diagonally opposite corners must have the same value. This is shown graphically in figure 3.
Similarly for antiprisms, the corners of the base of the prism must be identical. The corners of the triangles can then have a different number of edges, labelled ‘b’, ‘c’ and ‘d’, as shown in figure 3.
Before we consider all the Platonic and Archimedean solids, we consider the possible configurations for a triangle, as shown in figure 4, as this will be a recurrent structure which
we will use several times. We start by placing the labels ‘a’, ‘b’ and ‘c’ around the top vertex. We then place the three labels on the bottom left vertex in the three possible positions and consider each case in turn. We then try to impose the connectivity invariance on the other vertices. For the first case, we see that the pair ‘c’, ‘a’ faces the pair ‘a’, ‘b’ and this means that on the third vertex ‘a’, ‘b’ must face ‘c’, ‘a’ from the second vertex. We also notice that the connectivity invariance is satisfied on the third edge so this configuration is invariant. For the second case, there is no connectivity invariance we can apply, so we try all three possibilities on the third vertex and, in all three cases, we see that the only possible configuration is the trivial one where ‘a’=‘b’=‘c’. For the third case, we only have one possible configuration. We can then conclude that the only possible configurations are the ones for which the three corners of the triangle have either the same label or three different ones, in which case they are ordered clockwise.
We can do the same construction for a triangle with vertices connected to four other vertices (figure 5). In this case, we also see that the vertices of the triangle must be either all identical or all different. When different they must be ordered clockwise and there are three different ways to do this as one of the labels must be missed out (except ‘a’, which is fixed.)
Finally, we also consider a square with vertices connected to three other vertices (figure 6). In this case, we see that the four corners of the square must either have the same label or have two different ones with identical labels for diagonally opposite corners.
We will now construct the different repartitions for the Platonic solids. For the tetrahedron, $E_h = 3$ and it is not possible to fit three ‘a’ on one face as this leads to contradiction unless all three labels are identical. One must then have three different labels on each face and one obtains the diagram shown in figure 7. For the cube, $E_h = 3$ and we can place four ‘a’ on each face or alternating ‘b’ and ‘c’. In both cases, we obtain the diagram shown in figure 7. For the octahedron, we can place three ‘a’ on the same face or three different labels in clockwise order. When trying all possible combinations, one obtains two different diagrams. In the first one, named Poc1, 2 opposite faces have three ‘a’, while the others have the remaining three labels. In the second, named Poc2, each face has only ‘a’ or only ‘b’ in such a way that similar faces do not share an edge (figure 7) (see electronic supplementary material).
For the dodecahedron, the only diagram which ensures connectivity invariance for the p-cages is when all the corners have the same label, so we only have Pdo_Pn_a_a_a. For the icosahedron, there is only one possible diagram, modulo some equivalence and it is shown in figure 7 (see electronic supplementary material for the proof).
We can now construct the connectivity invariance diagrams for the Archimedean solids. The truncated tetrahedron, truncated cube, truncated dodecahedron, rhombicuboctahedron and rhombicosidodecahedron all have one triangle per vertex. By connectivity invariance, this implies that the corners of triangles must all be ‘a’ and that the other labels are uniquely distributed.
The truncated octahedron and snub cube have one square per vertex, implying that these faces must have ‘a’ in each corner and that this determines the position of the other labels. The same is
Figure 8. Repartition of hole-edges on the truncated tetrahedron, truncated dodecahedron, rhombicosidodecahedron, truncated icosahedron, snub dodecahedron, cube octahedron, truncated octahedron, truncated cube, rhombicuboctahedron, snub cube and icosidodecahedron. For the large solids, we only present a section of the diagram.
true for the truncated icosahedron and snub dodecahedron, which have one pentagon per vertex. This is shown in figure 8.
The vertices of the cuboctahedron are adjacent to two triangles and two squares. We can thus place three ‘a’ on one of the triangles and as we do so the triangles on the opposite side of the vertex must be ‘c’ and the diagram is completely determined (figure 8). One could also start with three different labels clockwise on one of the triangles, but this is not possible without breaking the connectivity invariance unless the labels are all identical.
The vertices of the icosidodecahedron are adjacent to two triangles and two pentagons. We can thus place three ‘a’ on one of the triangles and as we apply the connectivity invariance rule we find that ‘a’ = ‘c’ and ‘b’ = ‘d’. So all the triangles must be filled with ‘a’ and all the pentagons with ‘b’. It is not possible to fill a triangle with three different labels without breaking the connectivity invariance.
The vertices of the truncated cuboctahedron and truncated icosidodecahedron are not invariant if one excludes reflections. This is easily seen by noticing that the rotation symmetry around the axis going through an n-gonal face is a rotation of $4\pi/n$ and not $2\pi/n$. As a result, it is not possible to generate connectivity-invariant p-cages from these two Archimedean solids.
2. Constraints on holes
While in principle we could consider all the possible distributions of edges on the holes, some of them lead to configurations which cannot correspond to a p-cage, or ones for which the deformation would be too large. By deformation, we mean angles different from the angle of the regular polygon or edge lengths different from a reference length, which we will ultimately set to 1. To make the problem tractable, we start by deriving a set of constraints on the holes and their edges to guarantee face deformations below a set threshold.
We start by defining the p-cage sub-face as the polygon, usually irregular, made out of the edges shared with other p-cage faces and completed by replacing the edges contributing to the holes by a straight line joining the two exterior vertices (figure 9a). These sub-faces will be hexagons, octagons and decagons, respectively, for faces with three, four and five neighbours. The p-cage sub-faces generate a Q-gon, which is usually not flat, around any hole made out of Q faces. We call it the sub-face hole.
If we take the faces surrounding a hole and disjoint two of the adjacent faces, one will be able to flatten the structure onto a plane and the two faces that have been severed will not overlap.
(figure 9b). This means that the edges of the sub-face holes will not be intersecting and will not close into a polygon. This in turn implies that, to form a convex p-cage, we must impose that the sum of the angles of the sub-faces hole, $\epsilon_i$ in figure 9b, once projected onto a plane must be greater than the sum of the angles of a Q-gon.
As illustrated in figure 9c, we call $\beta$ the angle between two adjacent edges of a polygon and $\alpha = \pi - \beta$ the inner angle between the two edges. $\gamma$ denotes the angle between the edge of a sub-face hole and the p-cage edge adjacent to it.
Following the notation of figure 9 and using the index $i$ to label the faces, the sum of the $\epsilon_i$ is equal to twice the sum of the $\beta_i + \gamma_i$ and we thus have
$$\sum_{i=1}^{Q} 2(\beta_i + \gamma_i) \geq Q \pi \left(1 - \frac{2}{Q}\right), \quad (2.1)$$
where we have used the fact that the sum of the inside angles of an S-gon is $S\pi(1 - 2/S)$. In what follows, we will use the index 0 to denote the angles of the regular polygons/faces, $\beta_{i,0} = 2\pi/P$, and write $\beta_i = \beta_{i,0}(1 + \kappa_i)$ for a non-regular polygon, where $\kappa_i$ is a deformation factor which can differ between faces, hence the index $i$. We then have $\alpha_{i,0} = \pi(1 - 2/P)$ and $\alpha_i = \pi - \beta_i = \pi(P - 2 - 2\kappa_i)/P$. If the face $i$ contributes $q_i$ edges to the hole, we must then have
$$2\gamma_i + (q_i - 1)\alpha_i = \pi(q_i - 1) \quad \text{and} \quad \gamma_{i,0} = \pi \frac{q_i - 1}{P} = \beta_{i,0} \frac{q_i - 1}{2}. \quad (2.2)$$
Substituting the expression for $\alpha_i$, we obtain $\gamma_i = \gamma_{i,0}(1 + \kappa_i)$ and the constraint (2.1) becomes
$$Q\pi \left(1 - \frac{2}{Q}\right) \leq 2 \sum_{i} (\beta_{i,0} + \gamma_{i,0})(1 + \kappa_i) \leq (1 + \max_{i}(\kappa_i))2 \sum_{i} (\beta_{i,0} + \gamma_{i,0}). \quad (2.3)$$
In the construction of the p-cages, it is the deformation of the angle $\alpha$ which we use as the deformation parameter. Denoting it $\kappa_\alpha$, we have $\alpha_i = \alpha_{i,0}(1 - \kappa_{\alpha,i})$, where $\kappa_i = \kappa_{\alpha,i}(P - 2)/2$. Then, as $\beta_{i,0} + \gamma_{i,0} = \pi(1 + q_i)/P$, we can rewrite (2.1) and (2.3) as
$$P \leq 2 \frac{\sum_{i=1}^{Q}(q_i + 1)}{Q - 2} \left(1 + \max_{i}(\kappa_{\alpha,i}) \frac{P - 2}{2}\right). \quad (2.4)$$
The second constraint we can derive is that the edge length $A$ of the sub-faces hole must be smaller than the sum of the edge lengths of the other sub-faces hole contributing to the same hole,
$$A_j \leq \sum_{i=1, i \neq j}^{Q} A_i. \quad (2.5)$$
When the equality sign holds, one can join the faces together by deforming the polygons with the smallest contribution to the hole so that their $\gamma$ is 0. We can assume that the extreme configuration is one where all the edges and angles are all stretched or contracted to the maximum amount. So, when evaluating (2.5) we must assume $A_j$ on the left must be deformed to become as small as possible while $A_i$ on the right-hand side are to be as large as possible. We need to perform the test taking each $A_i$ of the hole on the left-hand side and rule out any cage for which the test fails.
If $q_k$ is even, we have
$$A_{k,\text{even}} = 2A \sum_{i=0}^{q_k/2-1} \cos(\gamma_k - i\beta_k) = 2A \sum_{i=0}^{q_k/2-1} \cos(\pi K_{k,i} \frac{q_k - 1 - 2i}{P}),$$
(2.6)
where $A$ is a length scale where we take $K_{k,i} = 1 + \kappa_i$ or $K_{k,i} = 1/(1 + \kappa_i)$ depending on if we want to majorate or minorate $A_i$. If $q_k$ is odd, we have
$$A_{k,\text{odd}} = A \left(1 + 2 \left( \sum_{i=0}^{(q_k-3)/2} \cos(\gamma_k - i\beta_k) \right)\right)$$
$$= A \left(1 + 2 \left( \sum_{i=0}^{(q_k-3)/2} \cos(\pi K_{k,i} \frac{q_k - 1 - 2i}{P}) \right)\right).$$
(2.7)
Note that, for $q_k = 1$, $A_{k,\text{odd}} = A$. To help satisfy (2.5) we can stretch the shorter lengths by a factor up to $1 + \kappa_t$, where $\kappa_t$ is the threshold deformation factor, and shorten the longest one by the same amount, so (2.5) becomes
$$A_j \leq \frac{1 + \kappa_t}{1 - \kappa_t} \sum_{i=1,i \neq j}^Q A_i,$$
(2.8)
where we compute $A_j$ using $K_{k,j} = 1/(1 + \kappa_t)$ and the $A_i$ on the right-hand side using $K_{k,i} = 1 + \kappa_t$.
The conditions (2.4) and (2.8) allow one to rule out many possible p-cage configurations. For the configurations which fulfil those two conditions, we must construct the corresponding p-cages and deform the polygonal faces until one obtains a convex p-cage with planar faces.
This can be achieved by using a computer program where the vertices of the polygons are moved so that all the necessary conditions for the p-cage are obtained. Some p-cages differ only by a chiral transformation. In that case, we have only kept one of them. For $P$ ranging from 6 to 17 and considering only prisms and antiprisms with bases ranging from triangles to decagons as well as the Platonic and 11 of the Archimedean solids, we found 5743 potential p-cage configurations satisfying condition (2.8). The list of all these configurations is given in the electronic supplementary material.
Many of these cage configurations will have angles and edge length deformations larger than 10%. To discard them, we need to realize each of these cages geometrically and minimize the amount of deformation for the angles and the edges of the faces. This is achieved by defining and then minimizing numerically a functional which measures the amount of deformation of the p-cage faces. One starts from an approximate position for the vertices of all the faces and then randomly displaces them using a Metropolis algorithm to optimize the functional, which we will now define.
### 3. Deformation functional
To optimize the regularity of the faces of a convex p-cage we define a functional which is the sum of five terms. The first two measure, respectively, the amount of deformation of the face edge lengths and the face angles. The third measures the non-planarity of the faces, while the last two measure the convexity of, respectively, the faces and the p-cage. We need to impose planarity as a constraint, rather than geometrically, because the vertices of the p-cage faces are the degree of freedom we need to optimize. Each of these five terms is then multiplied by a weight factor as
explained below. There is no reason to assume that all the p-cage faces will be deformed the same way and become identical. In our optimization, we thus assume that the vertices of the p-cage are independent parameters.
Before we define each of these functionals, we need to define a few quantities. First of all, we call node the vertices of the p-cage faces and we denote by \( N_N \) the total number of the nodes for the p-cage (each counted only once). To keep our notation compact, we use \( P\%n \) as the operator \( P \mod n \) for any pair of integers \( P \) and \( n \). We then denote by \( n_{f,i} \) the coordinates of node \( i = 0, \ldots, P - 1 \), of face \( f \), while \( s_{f,i} = n_{f,(i+1)\%P} - n_{f,i} \) corresponds to the vector spanning the edge between node \( i \) and node \( i + 1 \) where the vectors are oriented so that they rotate anti-clockwise when looking at the face from outside the p-cage. As a result, the angle at node \( i \) of face \( f \) is
\[
\alpha_{f,i} = \arccos \left( -\frac{(s_{f,i}, s_{f,(i+1)\%P})}{|s_{f,i}| |s_{f,(i+1)\%P}|} \right).
\]
(3.1)
We define the centre of the p-cage, \( O \), and the centre of the \( P \)-gonal face \( f \), \( C_f \), as
\[
O = \frac{1}{N_N} \sum_{i,f} n_{f,i} \quad \text{and} \quad C_f = \frac{1}{P} \sum_{i=0}^{P-1} n_{f,i}.
\]
(3.2)
The centre of a face relative to the centre of the p-cage is then \( F_f = C_f - O \). We now introduce the following vectors:
\[
v_{f,i} = n_{f,i} - C_f, \quad M_{f,i} = (n_{f,i} + n_{f,(i+1)\%P})/2 \quad \text{and} \quad d_{f,i} = M_{f,i} - C_f.
\]
(3.3)
\( v_{f,i} \) are the local vertex coordinates relative to the centre of the face, i.e. the vector joining the centre of face \( f \) and node \( n_{f,i} \). \( M_{f,i} \) is the vector position of the centre of the edge linking node \( i \) and node \( i + 1 \) and \( d_{f,i} \) is the vector from the centre of a face to the centre of an edge.
We now define a facelet as the triangle spanned by two adjacent vectors \( v_{f,i} \). Its normal vector \( w_{f,i} \) and the area vector \( W_f \) of face \( f \) are given, respectively, by
\[
w_{f,i} = \frac{1}{2}(v_{f,i} \times v_{f,(i+1)\%P}) \quad \text{and} \quad W_f = \sum_{\text{nodes}} w_{f,i}.
\]
(3.4)
For flat faces, \( W_f \) is a vector perpendicular to the face and of length equal to its area. As a result, the vector orthonormal to the face \( f \) is
\[
\hat{W}_f = \frac{W_f}{|W_f|}.
\]
(3.5)
We now define the different terms for a functional which we will use to minimize the deformation of the p-cage faces while ensuring face planarity as well as face and p-cage convexity.
(a) **Face regularity**
The first constraint we want to impose is that the lengths of the edges of the faces are as close as possible to a reference length \( L_f \) and we thus define the following least-squares quality function:
\[
Q_{\text{length}} = \sum_{f \in \text{faces}} \sum_{i \in \text{edges}} \left( \frac{l_{f,i} - L_f}{L_f} \right)^2.
\]
(3.6)
Similarly, we want to impose that the angles \( \alpha_{f,i} \) of the faces are as close as possible to the angle of a regular polygon, which, for a polygon with \( P \) edges, is given by \( \pi (1 - 2/P) \). We thus define
the quality function
\[
Q_{\text{angle}} = \sum_{f \in \text{faces}} \sum_{i \in \text{corners}} \left( \alpha_{f,i} - \pi \left( 1 - \frac{2}{p} \right) \right)^2.
\] (3.7)
We have chosen these two functions so that they carry similar weight. This can be justified by considering an isosceles right triangle and deforming it so that the long edge, \(L\), is elongated by a small amount. This can be achieved by either keeping the two smaller edges \(l\) at the same length and changing the right angle \(\theta\), or by keeping the right angle and elongating one of the smaller edges. In the second case, we have \(l_1 = l(1 + \epsilon)\), \(l_2 = l\) and \(\theta = \pi/2\). Then \(L^2 \approx 2l^2(1 + \epsilon)\). In the first case, we have \(L = 2l \sin((\pi/4) + (\delta/2)) \approx 2l(\sin(\pi/4) + \cos(\pi/4)\delta/2) = \sqrt{2}l(1 + \delta/2)\), where \(\delta\) and \(\epsilon\) are small deformation parameters.
Comparing the two cases, we have
\[
l\sqrt{2(1 + \epsilon)} \approx \sqrt{2}l \left( 1 + \frac{\delta}{2} \right) \quad \text{or} \quad 1 + \frac{\epsilon}{2} \approx 1 + \frac{\delta}{2},
\] (3.8)
implying that \((\Delta h)^2/l^2 = (\Delta \theta)^2\) if \(\theta\) is measured in radians. We indeed found that for many p-cages the most regular configurations were obtained when these two functions have roughly the same weight.
(b) Face planarity and convexity
We must also impose that the faces are planar. We need to impose the planarity constraint numerically because imposing it analytically would involve solving a large number of algebraic equations, which would make the minimization algorithm computationally far too slow. We can do this by imposing that all the facelet vectors \(w_{f,i}\) are parallel to each other and parallel to the face normal vector \(\hat{W}_f\) and define the quality function
\[
Q_{\text{planar}} = \sum_{f \in \text{faces}} \sum_{i \in \text{edges}} w_{f,i}^t (1 - \hat{W}_f \hat{W}_f^t) w_{f,i},
\] (3.9)
which corresponds to the sum of the squares of the projected lengths of the facelet vectors onto the face plane. This evaluates to 0 if the face is planar.
We must also impose that each face is convex and, as the edge vectors \(s_{f,i}\) are rotating anticlockwise, the vector \(s_{f,i} \times s_{f,(i+1)\%P}\) must point towards the outside of the face and so we must have \((s_{f,(i+1)\%P} \times s_{f,i}) \cdot F_f > 0\). We can then use the following quality function:
\[
Q_{\text{ConvFace}} = \sum_{f \in \text{faces}} \sum_{i \in \text{edges}} H((s_{f,(i+1)\%P} \times s_{f,i}) \cdot F_f),
\] (3.10)
where \(H(\cdot)\) is the Heaviside function.
(c) Convexity of a p-cage
We must finally impose the condition that the p-cage is convex. As we will optimize the quality function using the Metropolis algorithm, we must use an expression which depends on as few points as possible so as to make the algorithm as fast as possible. To achieve this, we impose that two adjacent faces, i.e. sharing an edge, must be bent towards the centre of the cage. Mathematically, this implies that if the faces \(f\) and \(f'\) are adjacent and touching at their respective edges \(i\) and \(i'\), the sum of the two vectors \(d_{f,i}\), defined in (3.3), must be pointing away from the
centre of the cage; in other words,
\[
\left( \frac{d_{f,i}}{|d_{f,i}|} + \frac{d_{f',i'}}{|d_{f',i'}|} \right) \cdot (M_{f,i} - O) > 0.
\]
(3.11)
Note that \( M_{f,i} = M_{f',i'} \) and as a quality function we can use
\[
Q_{\text{ConvPol}} = \sum_{f \in \text{faces}} \sum_{i \in \text{edges}} H \left( \left( \frac{d_{f,i}}{|d_{f,i}|} + \frac{d_{f',i'}}{|d_{f',i'}|} \right) \cdot (M_{f,i} - O) \right).
\]
(3.12)
This expression does not strictly impose convexity in all configurations but we found that it works very well in the majority of cases. For some p-cages, we had to use another expression which is more expensive computationally but more rigorous. If we consider the normal unit vectors \( \hat{W}_f \) and \( \hat{W}_{f'} \) of two adjacent faces, the p-cage will be convex if the distance between the base of the two vectors is smaller than the distance between their tips. In other words, we can use as a quality function
\[
Q_{\text{ConvPol}} = \sum_{f \in \text{faces}} \sum_{f' \text{ neighbour of } f} H(|C_f - C_{f'}| - |C_f + \hat{W}_f - C_{f'} - \hat{W}_{f'}|).
\]
(3.13)
(d) Optimizing functional
Putting all of these functions together, what we have to do is to find p-cages which optimize the function
\[
Q = c_l Q_{\text{length}} + c_a Q_{\text{angle}} + c_p Q_{\text{planar}} + c_{cf} Q_{\text{ConvFace}} + c_{cp} Q_{\text{ConvPol}},
\]
(3.14)
where \( c_l, c_a, c_p, c_{cf} \) and \( c_{cp} \) are weight parameters. For \( Q_{\text{ConvPol}} \), we use (3.12) most of the time except for some cages which prefer to assume a concave configuration and for which using (3.13) works better.
To perform this optimization, we have considered each hole edge repartition for each hole-polyhedron separately, hence fixing the connectivity from the start. We then started from a simple mechanical model of semi-rigid faces connected together by springs. The polygonal faces, connected by springs, were very crudely distributed around a sphere and the system was relaxed to obtain a better estimate of the face positions. We then used a Metropolis algorithm to optimize (3.14) with \( L_f = 1 \), \( c_l = c_a = 1 \) and \( c_p = 1000 \). The convexity parameters were usually set to \( c_{cf} = 100 \) and \( c_{cp} = 100 \) but in most cases the actual value did not matter as the p-cages were naturally assuming a convex configuration. For some cages \( c_{cp} \) had to be larger or smaller for the optimization to work well.
Once a good configuration was obtained, we used a combined downhill simplex [15] and Metropolis method to relax the configurations for varying \( c_l \) and \( c_a \) while keeping their sum equal to 2. We used 100 different values spread logarithmically in that interval.
Defining the maximum relative deformation of edge lengths \( \Delta_l \) and face angles \( \Delta_a \) as
\[
\Delta_l = \max_{f,j}(|l_{f,i} - L_f|) \quad \text{and} \quad \Delta_a = \max_{f,j} \left| \frac{\alpha_{f,i} - \pi \left( 1 - \frac{2}{p} \right)}{\pi \left( 1 - \frac{2}{p} \right)} \right|,
\]
(3.15)
we then took as the best cage the one which minimizes \( \max(\Delta_l, \Delta_a) \). Finally, we used a bisection method, varying \( c_l \) and \( c_a \) but keeping \( c_l + c_a = 2 \), to find the cage with the smallest deformation. We then ruled out any cages for which \( \max(\Delta_l, \Delta_a) > 0.1 \).
When determining the node positions of a p-cage numerically it is possible that some of the faces intersect each other. This occurs mostly for some p-cages derived from prisms. These cage configurations must be ignored. We have thus written a Python program which searches for such intersections using an algorithm derived by Möller [16].
Table 4. Left: Regular connectivity-invariant p-cages derived from Platonic solids (except the $P_{\text{cu}}$ ones), $P = 6–17$. Centre: Regular p-cages obtained from the truncated Platonic hole-polyhedra $P = 6–17$. $\theta$ is the angle between the p-cage faces and the face of the underlying solid. Right: Regular p-cages obtained from cuboctahedron, rhombicuboctahedron and rhombicosidodecahedron hole-polyhedra. Not all values of $P$ lead to regular p-cages. ($P = 18–20$ is provided in the electronic supplementary material.)
| Name | $\theta$ | Dihedral angle |
|-----------------------|------------|----------------|
| Att_P8_1_2_2 | 54.736° | 0.000° |
| Ato_P8_1_2_2 | 0.000° | 90.000° |
| Att_P10_1_3_3 | 37.377° | 34.716° |
| Ato_P11_2_3_3 | 29.945° | 30.110° |
| Att_P12_1_4_4 | 0.000° | 109.471° |
| Atc_P12_1_4_4 | 0.000° | 70.529° |
| Atd_P12_1_4_4 | 0.000° | 41.810° |
| Att_P13_2_4_4 | 49.331° | 10.810° |
| Ato_P14_3_4_4 | 37.110° | 15.779° |
| Att_P15_2_5_5 | 37.377° | 34.716° |
| Att_P16_3_5_5 | 54.736° | 0.000° |
| Ato_P16_3_5_5 | 0.000° | 90.000° |
| Att_P17_2_6_6 | 21.180° | 67.112° |
| Ato_P17_4_5_5 | 40.960° | 8.080° |
| Atc_P17_2_6_6 | 21.180° | 28.170° |
Placing faces on the vertices of a truncated Platonic solid is equivalent to placing a pyramid without its base on the face of the dual of the corresponding Platonic solid. The resulting p-cages are listed in the centre of table 4. One is then left with placing regular polygons on the vertices of the cuboctahedron, rhombicuboctahedron and rhombicosidodecahedron. The resulting regular p-cages are listed on the right-hand side of table 4.
The detailed geometric derivations are provided in the electronic supplementary material.
(b) Near-miss connectivity-invariant homogeneous p-cages
We will now describe the different properties that the near-miss p-cages exhibit.
The level of deformation varies greatly between p-cages; not surprisingly, polygons with a large number of edges form more p-cages below the set deformation threshold. The number of near-miss p-cages with deformation below 1% is relatively small and we have listed them in table 5.
From the onset of our construction, we have avoided imposing that the p-cage faces are identical. We should hence find out if this was indeed justified or if the obtained p-cages do happen to have identical faces. As our computer program outputs for each p-cage the length $L_{f,k}$ of all the edges $k$ of face $f$ as well as the angles $\alpha_{f,k}$, it was easy to compare the edge length of any pair of faces $f$ and $g$ by computing $L_{f,k} - L_{g,(k+\delta)\%P}$, varying $\delta = 1 \ldots P - 1$ to determine the smallest value of the difference. We did the same with the corresponding angles $\alpha_{f,k}$ (which we now label with both an edge and a face index). The relative deformation of the p-cage faces was hence obtained by computing
$$\Delta L_{f,g} = \frac{1}{P} \min_{\delta \in [1 \ldots P-1]} \sum_{k=0}^{P-1} |L_{f,k} - L_{g,(k+\delta)\%P}|,$$
$$\Omega_l = \max_{f,g,f \neq g} \Delta L_{f,g},$$
$$\Delta \Phi_{f,g} = \frac{1}{P\pi(1 - 2/P)} \min_{\delta \in [1 \ldots P-1]} \sum_{k=0}^{P-1} |\alpha_{f,k} - \alpha_{g,(k+\delta)\%P}|$$
and
$$\Omega_a = \max_{f,g,f \neq g} \Delta \Phi_{f,g}.$$
(4.1)
We found that for most cages the relative deformations were smaller than the deformations of the faces themselves, as expected, but not small, justifying our decision to impose face
Table 5. Near-miss p-cages with up to 1% deformation grouped by type of polygonal faces. (None for $P = 6, 7, 8$.)
| p-cage | $\Delta_I$ | $\Delta_a$ |
|-----------------|--------------|--------------|
| 7p_P9_3_1_2 | 0.0028 | 0.0028 |
| tp_P9_1_2_3 | 0.00863 | 0.00863 |
| Aco_P10_1_2_1_2 | $1 \times 10^{-5}$ | 0.0051 |
| Atc_P10_1_3_3 | 0.00513 | 0.00513 |
| Arco_P11_1_2_2_2| 0.00021 | 0.00109 |
| Atc_P11_2_2_4 | 0.00372 | 0.00372 |
| Asc_P11_2_1_1_1_1| 0.00496 | 0.00272 |
| Att_P11_1_3_4 | 0.00508 | 0.00508 |
| Arco_P11_1_1_2_3| 0.0052 | 0.00271 |
| Ato_P11_2_1_5 | 0.00695 | 0.00249 |
| Atc_P11_1_2_5 | 0.00702 | 0.00702 |
| 8a_P11_4_1_1_1 | 0.008 | 0.00799 |
| 8p_P11_4_1_3 | 0.00857 | 0.00383 |
| Atc_P11_1_3_4 | 0.0095 | 0.00947 |
| 7p_P11_4_1_3 | 0.00978 | 0.00978 |
| Atd_P12_1_3_5 | 0.00358 | 0.00359 |
| hp_P12_4_2_3 | 0.00401 | 0.00401 |
| Pcu_P12_3_2_4 | 0.00813 | 0.00813 |
| tp_P12_2_3_4 | 0.00951 | 0.00951 |
| Ati_P13_3_3_4 | 0.00188 | 0.0019 |
| 9p_P13_5_2_3 | 0.00217 | 0.00217 |
| Ati_P13_3_2_5 | 0.00293 | 0.00303 |
| tp_P13_2_3_5 | 0.00446 | 0.00446 |
| 8p_P13_5_2_3 | 0.00775 | 0.00775 |
| 9p_P13_4_3_3 | 0.00941 | 0.00941 |
| 10p_P13_5_2_3 | 0.00883 | 0.00943 |
| pp_P13_4_2_4 | 0.00955 | 0.00955 |
| hp_P14_5_2_4 | 0.00398 | 0.00397 |
| tp_P14_2_4_5 | 0.00688 | 0.00688 |
| sa_P14_4_2_2_2 | 0.0073 | 0.0073 |
| Pcu_P14_4_2_5 | 0.00482 | 0.00904 |
| Ato_P15_3_4_5 | 0.0011 | 0.0011 |
| 9p_P15_6_2_4 | 0.00227 | 0.00227 |
| hp_P15_4_4_4 | 0.00263 | 0.00262 |
| Ato_P15_3_3_6 | 0.00272 | 0.00271 |
| Aco_P15_2_3_2_4 | 0.00281 | 0.00282 |
| Pcu_P15_4_3_5 | 0.00419 | 0.00419 |
| Arco_P15_2_3_3_3| 0.0043 | 0.00435 |
| 10p_P15_6_2_4 | 0.00511 | 0.00541 |
| pp_P15_5_3_4 | 0.0064 | 0.00641 |
| Ato_P15_3_2_7 | 0.00629 | 0.00642 |
| Att_P15_2_3_7 | 0.00721 | 0.0072 |
| Ati_P15_4_4_4 | 0.00864 | 0.00864 |
| Att_P16_2_5_6 | 0.00055 | 0.00055 |
| Ati_P16_4_2_7 | 0.00074 | 0.00087 |
| Att_P16_2_4_7 | 0.00089 | 0.00093 |
| Ati_P16_4_3_6 | 0.00194 | 0.00194 |
| 7p_P16_6_3_4 | 0.00223 | 0.00217 |
| Pcu_P16_3_5_5 | 0.00267 | 0.00266 |
| Ati_P16_4_4_5 | 0.00275 | 0.00275 |
| Arcd_P16_2_3_4_3| 0.0061 | 0.00618 |
| Aco_P16_2_4_2_4 | $1 \times 10^{-5}$ | 0.00641 |
| Aco_P16_2_3_2_5 | 0.00754 | 0.00754 |
| Pcu_P16_4_4_5 | 0.00802 | 0.00801 |
| Aid_P16_2_4_2_4 | $1 \times 10^{-5}$ | 0.00806 |
| hp_P16_6_2_5 | 0.00895 | 0.00895 |
| tp_P16_3_4_6 | 0.00963 | 0.00964 |
| Atc_P16_2_4_7 | 0.0098 | 0.00981 |
| Aco_P17_2_4_3_4 | $5 \times 10^{-5}$ | 0.00084 |
| 10p_P17_7_3_4 | 0.00106 | 0.00103 |
| tp_P17_3_5_6 | 0.0012 | 0.0012 |
| Atc_P17_2_5_7 | 0.00133 | 0.00136 |
| Atc_P17_2_4_8 | 0.00129 | 0.00152 |
| tp_P17_3_4_7 | 0.00247 | 0.00247 |
| 9p_P17_7_2_5 | 0.00342 | 0.00338 |
| 10a_P17_7_2_2_2 | 0.00367 | 0.0037 |
| 10p_P17_7_2_5 | 0.00451 | 0.00322 |
| 9a_P17_7_2_2_2 | 0.0045 | 0.00459 |
| Pcu_P17_5_4_5 | 0.00665 | 0.00665 |
| 9p_P17_7_3_4 | 0.00676 | 0.00674 |
| Ati_P17_4_5_5 | 0.00686 | 0.00686 |
| Pcu_P17_5_3_6 | 0.00761 | 0.0076 |
| Att_P17_2_5_7 | 0.00782 | 0.00786 |
| hp_P17_6_3_5 | 0.00932 | 0.00932 |
connectivity invariance at graph level rather than geometrically. The only p-cages for which $\Omega_I$ and $\Omega_a$ are very small are some of the ones corresponding to a tiling of the face of a Platonic solid and some for which the angles are all regular. Full details are provided in the electronic supplementary material, which describes all the near-miss p-cages. To test the accuracy of our minimization, we have performed it several times on the same p-cages and obtained the same result each time. Moreover, to evaluate the numerical accuracy of our procedure, we have also relaxed the regular p-cages and obtained deformations $\Delta_I$ or $\Delta_a$ equal to $10^{-6}$ or smaller.
The p-cages with the smallest deformation for each value of $P$ are presented in figure 10. We can see from table 5 and figure 10 that the deformations are very small, below 0.1% for several of them, and are so small that they are impossible to detect with the naked eye. We also see that the p-cages exhibit a variety of features, which we will now describe.
In figure 11a, we present some p-cages obtained from prism and antiprism hole-polyhedra. They all appear as rings, which is well illustrated by 9p_P12_5_1_3 and 9p_P15_6_2_4. These rings can then be nearly flat, like 7p_P9_2_2_2, or elongated, like tp_P15_5_3_4. P-cages obtained from antiprisms look similar except that they have four neighbours, forcing them to assume ring-like structures such as 8a_P11_4_1_1_1.
Several p-cages derived from prisms look very similar to p-cages obtained from antiprisms, the only difference being that the latter p-cages have an extra set of joined faces which for the former p-cage becomes a tiny gap. They are listed on the left-hand side of table 6.
Figure 11b presents some typical p-cages derived from Platonic solid hole-polyhedra. They all correspond to an embedding of the polygon into the faces of the dual of the hole-polyhedron.
Figure 10. Least deformed (smallest $\Delta_I + \Delta_a$) near-miss p-cages for each value of $P$. While they do look regular they are not so. (Online version in colour.)
Figure 11. Some p-cages obtained from: (a) prisms and antiprisms, (b) Platonic solids. (Online version in colour.)
Table 6. Visual similarity between p-cages with different numbers of neighbour faces. Left: Prism-derived p-cages and antiprism-derived p-cages. Right: Archimedean solid-derived p-cages. Parenthesis denotes deformations exceeding 10%.
| 7p_P10_3_1_3 | 7a_P10_3_1_1_1 |
|--------------|----------------|
| 8p_P10_3_1_3 | 8a_P10_3_1_1_1 |
| pp_P11_4_1_3 | pa_P11_4_1_1_1 |
| hp_P11_4_1_3 | ha_P11_4_1_1_1 |
| 7p_P11_4_1_3 | 7a_P11_4_1_1_1 |
| 8p_P11_4_1_3 | 8a_P11_4_1_1_1 |
| 9p_P11_4_1_3 | 9a_P11_4_1_1_1 |
| 10p_P11_4_1_3 | 10a_P11_4_1_1_1 |
| hp_P12_5_1_3 | ha_P12_5_1_1_1 |
| 8p_P12_5_1_3 | 8a_P12_5_1_1_1 |
| 7p_P12_5_1_3 | 7a_P12_5_1_1_1 |
| 9p_P12_5_1_3 | 9a_P12_5_1_1_1 |
| 10p_P12_5_1_3 | 10a_P12_5_1_1_1 |
| 8p_P13_6_1_3 | 8a_P13_6_1_1_1 |
| 9p_P13_6_1_3 | 9a_P13_6_1_1_1 |
| 10p_P13_6_1_3 | 10a_P13_6_1_1_1 |
| hp_P15_5_2_5 | ha_P15_5_2_2_2 |
| 7p_P15_5_2_5 | 7a_P15_5_2_2_2 |
| 8p_P15_5_2_5 | 8a_P15_5_2_2_2 |
| pp_P16_6_2_5 | pa_P16_6_2_2_2 |
| 7p_P16_6_2_5 | 7a_P16_6_2_2_2 |
| 8p_P16_6_2_5 | 8a_P16_6_2_2_2 |
| 9p_P16_6_2_5 | 9a_P16_6_2_2_2 |
| 10p_P16_6_2_5 | 10a_P16_6_2_2_2 |
| 7p_P17_7_2_5 | 7a_P17_7_2_2_2 |
| 8p_P17_7_2_5 | 8a_P17_7_2_2_2 |
| 9p_P17_7_2_5 | 9a_P17_7_2_2_2 |
| 10p_P17_7_2_5 | 10a_P17_7_2_2_2 |
| Arco_P11_1_1_2_3 | Asc_P11_2_1_1_1_1 |
|------------------|-------------------|
| Ato_P11_2_1_5 | Asc_P11_2_1_1_1_1 |
| Ati_P11_2_1_5 | Asd_P11_2_1_1_1_1 |
| Arcd_P11_1_1_2_3 | Asd_P11_2_1_1_1_1 |
| Ati_P12_3_1_5 | Asd_P12_3_1_1_1_1 |
| Arcd_P12_1_1_3_3 | Asd_P12_3_1_1_1_1 |
| Arco_P12_1_1_3_3 | Asd_P12_3_1_1_1_1 |
| Arco_P11_2_1_3_3 | Asc_P13_3_1_2_1_1 |
| Arcd_P13_2_1_3_3 | Asd_P13_3_1_2_1_1 |
| Arcd_P13_1_1_4_3 | (Asd_P13_4_1_1_1_1) |
| Ati_P14_4_1_6 | Asd_P14_4_1_2_1_1 |
| Arcd_P14_2_1_4_1 | Asd_P14_4_1_2_1_1 |
| Ato_P14_4_1_6 | Asc_P14_4_1_2_1_1 |
| Arco_P14_3_1_3_3 | Asc_P14_3_1_3_1_1 |
| Arcd_P14_2_2_2_4 | (Asd_P14_2_2_2_1_2) |
| Arcd_P15_1_2_3_5 | Asd_P15_3_2_1_2_2 |
| Arco_P15_1_2_3_5 | Asc_P15_2_2_2_2_2 |
| Arcd_P15_3_1_4_3 | Asd_P15_4_1_3_1_1 |
| Arco_P15_3_1_4_3 | Asc_P15_4_1_3_1_1 |
| Ati_P15_5_1_6 | Asd_P15_5_1_2_1_1 |
| Arcd_P15_2_1_5_3 | Asd_P15_5_1_2_1_1 |
| Arcd_P16_2_2_4_4 | Asd_P16_4_1_3_1_1 |
| Arco_P16_2_2_3_5 | Asc_P16_3_2_2_2_2 |
| Arcd_P16_2_2_3_5 | Asd_P16_3_2_2_2_2 |
| Arcd_P16_1_2_4_5 | Asd_P16_4_2_1_2_2 |
| Arcd_P16_3_1_5_3 | Asd_P16_5_1_3_1_1 |
| Ato_P17_4_2_8 | Asc_P17_4_2_2_2_2 |
| Arcd_P17_2_2_4_5 | Asd_P17_4_2_2_2_2 |
| Ati_P17_4_2_8 | Asd_P17_4_2_2_2_2 |
| Arco_P17_2_2_4_5 | Asc_P17_4_2_2_2_2 |
| Arcd_P17_1_2_5_5 | Asc_P17_5_2_1_2_2 |
When the numbers of hole edges are all equal, the p-cage is regular. P16_3_5_5 is different because the cube is also a square prism and this allows it to flatten like other prism-based p-cages, but this cannot happen for the other Platonic-based p-cages.
Figures 12 and 13 present a range of p-cages derived from Archimedean solid hole-polyhedra. The majority of p-cages assume a sphere-like shape, such as Atc_P17_2_4_8, Ato_P17_5_2_7 or Asc_P11_2_1_1_1_1, but for some specific hole edge distributions the p-cage can look like a tiling of the faces of a Platonic solid, such as Att_P14_1_5_5 and Ato_P13_2_4_4 (figure 12), where each edge of the Platonic solid is where two faces of the p-cage are joined together, or Ati_P11_2_3_3, Aco_P15_1_3_4_3, Arco_P14_3_2_3_2 and Arcd_P17_2_3_5_3 (figure 13), where each edge of the Platonic solid is where two pairs of faces of the p-cage are joined together. Some others, on the other hand, look like a wireframe construction of the Archimedean solids, such as Att_P11_2_3_3, Ato_P9_2_2_2 or Atd_P10_1_3_3.
As we can see from all the figures, we also note that some cages have very small holes while others have very large ones. For some cages with holes with a large Q value, the faces organize themselves to fill the gap of what could potentially be a very large hole. This is the case for Ati_P17_5_2_7, where $Q = 6$ for one group of holes, but where each face seems to have five neighbours when they actually have only three.
5. Conclusion
In this paper, we have defined near-miss connectivity-invariant p-cages as assemblies of nearly regular polygons with holes between them where all the faces are connectivity equivalent. We have then shown that each p-cage can be characterized by a planar graph, the hole-polyhedron, where the holes’ edges are distributed around the nodes of the graph. We have
Figure 12. Some p-cages obtained from Archimedean solids (part I). (Online version in colour.)
Figure 13. Some p-cages obtained from Archimedean solids (part II). (Online version in colour.)
then enumerated all the distributions of hole edges on the hole-polyhedra compatible with the connectivity invariance of the p-cages, excluding those which would necessarily lead to edge length and angle deformation exceeding 10% and restricting ourselves to the polygons with 6–17 edges.
We have then derived a quality function which measures the level of deformation of the p-cages and have used a numerical method to minimize that quality function for each of the possible configurations we had identified. This resulted in a large number of non-regular p-cages, most of which had a deformation exceeding a 10% threshold that we had set upfront, but still leaving around 1000 near-miss p-cages with deformation below 10% and 74 near-miss p-cages with deformation less than 1%.
We proceeded by describing some properties of the obtained p-cages with 6–17 edges. Most near-miss p-cages have configurations similar to the regular p-cages, but some are different in that large holes are filled with the faces, leaving what looks like medieval castle loopholes.
In our approach, we have not assumed any symmetry for the deformed cages, as the different faces of a p-cage could potentially be deformed differently. We have found that, for most cages, the faces were deformed slightly differently and that our assumption was thus justified.
We have thus generated a very large list of potential geometries for nearly symmetric protein cages. While some p-cages exhibit large holes, probably making them of lesser use in biochemistry, many others have a pseudo-spherical shape, making them good geometrical candidates for shells which could contain some cargo.
**Data accessibility.** All scripts used in this study are openly accessible through https://github.com/StochasticBiology/boolean-efflux.git. The data are provided in the electronic supplementary material [17]. The C++ and Python programs used to generate all the data are available from doi:10.6084/m9.figshare.14061782.
**Authors’ contributions.** B.M.A.G.P.: conceptualization, formal analysis, investigation, methodology, project administration, resources, software, supervision, validation, visualization, writing—original draft, writing—review and editing; A.K.: formal analysis, investigation, software, visualization, writing—original draft, writing—review and editing; J.G.H.: conceptualization, funding acquisition, project administration, writing—original draft, writing—review and editing.
All authors gave final approval for publication and agreed to be held accountable for the work performed herein.
**Conflict of interest declaration.** The authors declare the following competing financial interests: J.G.H. is named as an inventor on a number of patent applications related to protein-cage assembly, decoration and filling. J.G.H. is also the founder of and holds equity in nCage Therapeutics LLC, which aims to commercialise protein cages for therapeutic applications.
**Funding.** J.G.H. and A.K. were funded by National Science Centre (NCN, Poland) grant no. 2016/20/W/NZ1/00095 (Symfonia-4) awarded to J.G.H.
**Acknowledgements.** We want to thank Symfonia team members from the Bionanoscience and Biochemistry Laboratory (BBL). B.M.A.G.P. would like to thank the BBL for its hospitality. The computer simulations were performed on the Condor cluster of the Mathematical Science Department of Durham University. The figures were produced with the Antiprism Polyhedron Modelling Software (www.antiprism.com/).
**References**
1. Malay A, Heddle JG, Tomita S, Iwasaki K, Miyazaki N, Sumitomo K, Yanagi H, Yamashita I, Uraoka Y. 2012 Gold nanoparticle-induced formation of artificial protein capsids. *Nano Lett.* **12**, 2056–2059. (doi:10.1021/nl3002155)
2. Imamura M, Uchihashi T, Ando T, Leifert A, Simon U, Malay AD, Heddle JG. 2015 Probing structural dynamics of an artificial protein cage using high-speed atomic force microscopy. *Nano Lett.* **15**, 1331–1335. (doi:10.1021/nl5045617)
3. Malay A et al. 2019 An ultra-stable gold-coordinated protein cage displaying reversible assembly. *Nature* **569**, 438–442. (doi:10.1038/s41586-019-1185-4)
4. Antson A et al. 1995 The structure of trp RNA-binding attenuation protein. *Nature* **374**, 693–700. (doi:10.1038/374693a0)
5. Heddle J, Kowalczyk A, Piette B. 2019 Hendecagonal near-miss polyhedral cages. In *Proc. of Bridges 2019: Mathematics, Art, Music, Architecture, Education, Culture, Linz, Austria, 16–20 July 2019* (eds S Goldstine, D McKenna, K Fenyvesi). See [https://archive.bridgesmathart.org/2019/bridges2019-363.html](https://archive.bridgesmathart.org/2019/bridges2019-363.html).
6. Kepler J. 1864 Harmonices mundi. In *Omnia opera*, vol. 5 (1619). Frankfurt, Germany: Hyder and Zimmer.
7. Coxeter H, Longuet-Higgins M, Miller J. 1954 Uniform polyhedra. *Phil. Trans. R. Soc. Lond. A* **916**, 401–450. ([doi:10.1098/rsta.1954.0003](https://doi.org/10.1098/rsta.1954.0003))
8. Johnson N. 1966 Convex solids with regular faces. *Can. J. Math.* **18**, 169–200. ([doi:10.4153/CJM-1966-021-8](https://doi.org/10.4153/CJM-1966-021-8))
9. Zalgaller V. 1967 Convex polyhedra with regular faces. *Zap. Nauchn. Sem. LOMI* **2**, 5–221.
10. Kaplan CS, Hart GW. Symmetrohedra: polyhedra from symmetric placement of regular polygons. In *Proc. of Bridges 2019: Mathematics, Art, Music, Architecture, Education, Culture, Linz, Austria, 16–20 July 2019* (eds S Goldstine, D McKenna, K Fenyvesi). See [https://archive.bridgesmathart.org/2001/bridges2001-21.html](https://archive.bridgesmathart.org/2001/bridges2001-21.html).
11. Majsterkiewicz K et al. 2022 Artificial protein cage with unusual geometry and regularly embedded gold nanoparticles. *Nano Lett.* ([doi:10.1021/acs.nanolett.1c04222](https://doi.org/10.1021/acs.nanolett.1c04222))
12. Grace D. 1965 Computer search for non-isomorphic convex polyhedra. PhD thesis, Computer Science Department, Stanford University, Stanford, CA, USA.
13. Duijvestijn A, Federico P. 1981 The number of polyhedral (3-connected planar) graphs. *Math. Comput.* **37**, 523–532. ([doi:10.1090/S0025-5718-1981-0628713-3](https://doi.org/10.1090/S0025-5718-1981-0628713-3))
14. Maschke H. 1896 The representation of finite groups, especially of the rotation groups of the regular bodies of three-and four-dimensional space, by Cayley’s color diagrams. *Am. J. Math.* **18**, 156–194. ([doi:10.2307/2369680](https://doi.org/10.2307/2369680))
15. Press W, Vetterling W, Teukolsky S, Flannery B. 2001 *Numerical recipes in C++: the art of scientific computing*. Cambridge, UK: Cambridge University Press.
16. Möller T. 1997 A fast triangle-triangle intersection test. *J. Graph. Tools* **2**, 25–30. ([doi:10.1080/10867651.1997.10487472](https://doi.org/10.1080/10867651.1997.10487472))
17. Piette BMAG, Kowalczyk A, Heddle JG. 2022 Characterization of near-miss connectivity-invariant homogeneous convex polyhedral cages. Figshare. ([https://doi.org/10.6084/m9.figshare.c.5909135](https://doi.org/10.6084/m9.figshare.c.5909135))
|
Executive Summary
Conditional Use Authorization
HEARING DATE: OCTOBER 5, 2017
Date: September 28, 2017
Case No.: 2002.0124CUA-02
Project Address: 2815 Diamond Street
Zoning: Glen Park Neighborhood Commercial Transit Zoning District
Block/Lot: 6745/072-090
Project Sponsor: Anne Moriarity
Lighthouse Public Affairs
857 Montgomery Street
San Francisco, CA 94133
Staff Contact: Cathleen Campbell – (415) 575-8732
firstname.lastname@example.org
Recommendation: Approval with Conditions
PROJECT DESCRIPTION
The proposal is a Conditional Use Authorization request to amend the conditions of approval under Motion No.16489. The proposal is to amend Condition of Approval E. #5 b. to permit tractor-trailer combinations or semi-trucks loading between the hours of 6:00 am and 10:00 pm and eliminate the Condition of Approval E. #4 requiring the grocery store operator to offer delivery of merchandise to neighborhood residents.
PROJECT BACKGROUND
On December 5, 2002 under Planning Commission Motion No. 16489 (2002.0124CUA), the Planning Commission approved the construction of a new mixed-use development consisting of 15 dwelling units, 9,200 square feet of Public Use, and 7,037 square feet Grocery Liquor Store d.b.a. “Canyon Market”, after the San Francisco Planning Commission (Commission) denied the appeal of the Mitigated Negative Declaration and adopted findings, pursuant to the California Environmental Quality Act, in Motion No. 16486. The amendment involves no changes to the design or intensity of the project as originally approved.
SITE DESCRIPTION AND PRESENT USE
The Project site is located on southeast corner of Diamond and Wilder Streets between Bosworth and Chenery Streets, Block 6745, Lot 072-090. The site is located in the Glen Park Neighborhood Commercial Transit District, and within the 40-X Height and Bulk Districts. 2815 Diamond Street is developed with a two to four story mixed-use building which includes an approximately 7,037 square foot grocery/liquor store (D.B.A Canyon Market) with 2 off-street loading spaces off of Wilder, an approximately 8,760
square foot branch public library on the second floor, and 15 apartments with 15 off-street parking spaces which serve the residences only.
**SURROUNDING PROPERTIES AND NEIGHBORHOOD**
The project site is located within the Glen Park Neighborhood Commercial Transit District along Diamond Street. The Glen Park neighborhood is a predominantly residential area located in the southeast of San Francisco. The surrounding properties are located within the RH-1 (Residential House, One-Family) and RH-2 (Residential House, Two-Family) Districts and occupied by two-to three-story residential building. The immediate area, along Diamond and Wilder Streets, is characterized by two- to three-story buildings. Buildings along Diamond Street contain ground floor neighborhood commercial uses with residential uses above. Wilder Street contains ground floor commercial uses with residential uses on its upper stories at Diamond, becoming primarily residential as it moves away from the Diamond Street intersection. Wilder Street contains two to four story residential buildings. The lot immediately adjacent to the project site along Wilder Street contains a two-story single-family home. Buildings directly across Wilder from the project site rise to as tall as 48 feet. Immediately adjacent to the project site along Diamond Street is a City access easement for a culvert. The access easement runs along the mid-block at the rear of the lots, which front on Wilder Street. The lot is also adjacent to the Glen Park BART Station parking lot along Bosworth Street. To the South of the easement and across Diamond Street are buildings approximately 30 feet tall.
**ENVIRONMENTAL REVIEW**
The amendment to a condition of approval and elimination of the condition of approval would not result in any new physical changes to the project, the project is consistent with the Preliminary Mitigated Negative Declaration (PMND).
**HEARING NOTIFICATION**
| TYPE | REQUIRED PERIOD | REQUIRED NOTICE DATE | ACTUAL NOTICE DATE | ACTUAL PERIOD |
|--------------------|-----------------|----------------------|--------------------|---------------|
| Classified News Ad | 20 days | September 15, 2017 | September 15, 2017 | 20 days |
| Posted Notice | 20 days | September 15, 2017 | September 13, 2017 | 22 days |
| Mailed Notice | 10 days | September 15, 2017 | September 15, 2017 | 20 days |
**PUBLIC COMMENT/COMMUNITY OUTREACH**
- To date, the Department is not aware of any opposition to this project.
- Glen Park Association has submitted a letter in support of the project.
The project sponsor has conducted outreach to the adjacent neighbors and interested community groups, including Glen Park Association (GPA). The Project sponsor presented the Glen Park Association to 100 attendees on July 17, 2017. Additionally, the sponsors hosted a meeting with the residents of 53 Wilder HOA on July 24th, 2017. The major outcomes of those meetings: “no deliveries will be accepted prior to 6:00 am”.
Additionally, the project sponsor gathered a total of 1,038 signatures in support of the project from the grocery store patrons. A copy of the petition cover letter is included as an attachment for reference.
**ISSUES AND OTHER CONSIDERATIONS**
- The proposal to modify the condition of approval in Case Number 2002.0124CUA, Planning Commission Motion 16489 involves no intensification of use as originally approved. With regard to the treatment and impact to the traffic, parking transit, loading, the amendment to Condition of Approval E. #5 b., to permit tractor-trailer combinations or semi-trucks loading between the hours of 6:00 am and 10:00 pm, will enable the grocery operator to manage deliveries in a manner that does not conflict with surrounding uses or user.
- Condition of Approval E. #4, requiring the grocery store operator to offer delivery of merchandise to neighborhood residents, is rarely requested by patrons. Condition of Approval E. #4 is a burden to the project sponsor, as it requires the grocery operator to maintain a delivery vehicle. The grocery operator will continue assist neighborhood patrons who require special assistance and utilize third party delivery services.
**REQUIRED COMMISSION ACTION**
Under Planning Code 303(e), authorization of a change in any condition previously imposed in the authorization of a conditional use shall be subject to the same procedures as a new conditional use. In order for the project to proceed, the Commission must grant conditional use authorization under Planning Code Section 303(e) to modify a condition of approval in Case Number 2002.0124CUA, Planning Commission Motion 16489 to amend Condition of Approval E. #5 b. to permit tractor-trailer combinations or semi-trucks loading between the hours of 6:00 am and 10:00 pm and eliminate the Condition of Approval E. #4 requiring the grocery store operator to offer delivery of merchandise to neighborhood residents. Therefore, the Project must obtain a new conditional use authorization to modify the conditions of approval of Planning Commission Motion No. 16489.
**BASIS FOR RECOMMENDATION**
- The project meets all applicable requirements of the Planning Code.
- The project is desirable for, and compatible with the surrounding neighborhood.
- The project promotes the continued operation of an established, locally-owned business and contributes to the Glen Park Neighborhood Commercial Transit District.
- The business is not a Formula Retail use and would serve the immediate neighborhood.
RECOMMENDATION: Approval with Conditions
Attachments:
Block Book Map
Sanborn Map
Aerial Photographs
Motion 16489
Application
Project Sponsor Submittal, including:
- Memo to Commission
- Reduced Plans
- Conditions of Approval - Motion 16489
- Correspondence in Support
Attachment Checklist
- [X] Executive Summary
- [X] Draft Motion
- [ ] Environmental Determination
- [X] Zoning District Map
- [ ] Height & Bulk Map
- [X] Parcel Map
- [X] Sanborn Map
- [X] Aerial Photo
- [X] Context Photos
- [X] Site Photos
- [X] Project sponsor submittal
- Drawings: Existing Conditions
- [X] Check for legibility
- Drawings: Proposed Project
- [ ] Check for legibility
- 3-D Renderings (new construction or significant addition)
- [ ] Check for legibility
- Wireless Telecommunications Materials
- Health Dept. review of RF levels
- RF Report
- Community Meeting Notice
- Housing Documents
- Inclusionary Affordable Housing Program: Affidavit for Compliance
Exhibits above marked with an “X” are included in this packet
_____CGC_____
Planner’s Initials
KG: G:\Documents\Projects\1423 Polk\2011.0097C - 1423 Polk Street - Exec Sum.doc
This page intentionally blank.
ADOPTING FINDINGS RELATING TO THE APPROVAL OF A CONDITIONAL USE AUTHORIZATION PURSUANT TO PLANNING CODE SECTIONS 303 (E) TO MODIFY THE CONDITIONS OF APPROVAL FOR PLANNING COMMISSION MOTION NO. 16489 TO PERMIT TRACTOR-TRAILER COMBINATIONS OR SEMI-TRUCKS LOADING BETWEEN THE HOURS OF 6:00 AM AND 10:00 PM AND TO REMOVE A CONDITION REQUIRING THE GROCERY STORE OPERATOR TO OFFER DELIVERY OF MERCHANDISE TO NEIGHBORHOOD RESIDENTS FOR THE PROJECT AT 2815 DIAMOND STREET ON ASSESSOR’S BLOCK 3721, LOTS 072-090 IN THE GLEN PARK NEIGHBORHOOD COMMERCIAL TRANSIT DISTRICT AND A 40-X HEIGHT AND BULK DISTRICT AND ADOPTING FINDINGS UNDER THE CALIFORNIA ENVIRONMENTAL QUALITY ACT.
PREAMBLE
On February 5, 2002, pursuant to the provisions of the California Environmental Quality Act (“CEQA”), the State CEQA Guidelines, and Chapter 31 of the San Francisco Administrative Code, the Planning Department (“Department”) received an Environmental Evaluation Application form for the Project, in order that it might conduct an initial evaluation to determine whether the Project might have a significant impact on the environment.
On June 13, 2002, a notice of determination that a Preliminary Mitigated Negative Declaration (PMND) would be issued for the Project was duly published in a newspaper of general circulation in the City, and the PMND posted in the Department offices, and mailed to the project sponsor, all in accordance with law.
On July 3, 2002, an appeal of the Mitigated Negative Declaration was filed with the Department.
On December 5, 2002, the Commission conducted a duly noticed public hearing at a regularly scheduled meeting on Conditional Use Application No. 2002.0124CUA and the Appeal of the Mitigated Negative Declaration, 2002.0124E.
On December 5, 2002, the Commission upheld the PMND and approved the issuance of the Final Mitigated Negative Declaration (FMND) as prepared by the Planning Department in compliance with CEQA, the State CEQA Guidelines and Chapter 31 in Motion No. 16486. Said motion is incorporated herein by reference.
On December 5, 2002, the San Francisco Planning Commission ("Planning Commission") adopted Motion No. 16489 (Case No. 2002.0124CUA), granting authorization under Planning Code Section 121.1 for development on a lot exceeding 9,999 square feet in area; Planning Code Section 121.2 to allow 2 nonresidential uses greater than 3,999 square feet in area; and, Planning Code Section 711.83 to allow a Public Use (branch library); request for a finding of General Plan consistency under Planning Code Section 101.1(d) for development of a public use (branch library) and, request for Variances from, Planning Code Section 151, parking, for no parking spaces where 14 are required; Section 134, rear yard, for 1,440 square feet of rear yard where 4,000 square feet are required; Section 135; usable open space, for 1,454 square feet of usable open space where 1,714 square feet that are required with a least dimension for, private open space as small as 4.5 feet where 6 feet are required, and common open space as small as 8 feet where 15 feet are required; and, Section 140, dwelling unit exposure, where 6 of 15 dwelling units do not have a window facing either a public right-of-way or a Code complying rear yard.
On April 27, 2017, Anne Morriarty of Lighthouse Public Affairs, acting on behalf of the property owner ("Project Sponsor"), submitted a request (Case No. 2002.0124CUA-02) with the City and County of San Francisco Planning Department ("Department") or Conditional Use Authorization under Planning Code Section 303(E) to modify a condition of approval of Planning Commission Motion No. 16489 to amend Condition E. #5 b. to permit tractor-trailer combinations or semi-trucks loading between the hours of 6:00 am and 10:00 pm and eliminate the Condition E. #4 requiring the grocery store operator to offer delivery of merchandise to neighborhood residents.
The Project is included within the scope of development analyzed in the Final Mitigated Negative Declaration (FMND), which was certified by the Planning Commission on December 5, 2002 in Motion No. 16486. Since the specific elimination of one condition of approval and amendment of an operations condition of approval would not result in any new physical changes to the project, the project is consistent with the Final Mitigated Negative Declaration (FMND).
On October 5, 2017, the San Francisco Planning Commission ("Commission") conducted a duly noticed public hearing at a regularly scheduled meeting on Application No. 2002.0124CUA-02.
The Commission has heard and considered the testimony presented to it at the public hearing and has further considered written materials and oral testimony presented on behalf of the applicant, Department staff, and other interested parties.
MOVED, that the Commission hereby authorizes the Conditional Use requested in Application No. 2002.0124CUA-02, subject to the conditions contained in “EXHIBIT A” of this motion, based on the following findings:
FINDINGS
Having reviewed the materials identified in the preamble above, and having heard all testimony and arguments, this Commission finds, concludes, and determines as follows:
1. The above recitals are accurate and constitute findings of this Commission.
2. **Site Description and Present Use.** The Project site is located on southeast corner of Diamond and Wilder Streets between Bosworth and Chenery Streets, Block 6745, Lot 072-090. The site is located in the Glen Park Neighborhood Commercial Transit District, and within the 40-X Height and Bulk Districts. 2815 Diamond Street is developed as approved under Planning Commission Motion No. 16489 with a two to four story mixed-use building which includes an approximately 7,037 square foot grocery/liquor store (D.B.A Canyon Market) with 2 off-street loading spaces off of Wilder, an approximately 8,760 square foot branch public library on the second floor, and 15 apartments with 15 off-street parking spaces which serve the residences only.
3. **Surrounding Properties and Neighborhood.** The project site is located within the Glen Park Neighborhood Commercial Transit District along Diamond Street. The Glen Park neighborhood is a predominantly residential area located in the southeast of San Francisco. The surrounding properties are located within the RH-1 (Residential House, One-Family) and RH-2 (Residential House, Two-Family) Districts and occupied by two-to three-story residential building. The immediate area, along Diamond and Wilder Streets, is characterized by two- to three-story buildings. Buildings along Diamond Street contain ground floor neighborhood commercial uses with residential uses above. Wilder Street contains ground floor commercial uses with residential uses on its upper stories at Diamond, becoming primarily residential as it moves away from the Diamond Street intersection. Wilder Street contains two to four story residential buildings. The lot immediately adjacent to the project site along Wilder Street contains a two-story single-family home. Buildings directly across Wilder from the project site rise to as tall as 48 feet. Immediately adjacent to the project site along Diamond Street is a City access easement for a culvert. The access easement runs along the mid-block at the rear of the lots, which front on Wilder Street. The lot is also adjacent to the Glen Park BART Station parking lot along Bosworth Street. To the South of the easement and across Diamond Street are buildings approximately 30 feet tall.
4. **Project Description.** The proposal is a Conditional Use Authorization request to amend the conditions of approval under Motion No.16489. The proposal is to amend Condition of Approval
E. #5 b. to permit tractor-trailer combinations or semi-trucks loading between the hours of 6:00 am and 10:00 pm and eliminate the Condition of Approval E.-#4 requiring the grocery store operator to offer delivery of merchandise to neighborhood residents.
The Project was originally approved by the Planning Commission on December 5, 2002 (Case No. 2002.0124CUA), a mixed-use development (15 dwelling units, 9,200 square feet of Public Use, and 7,037 square feet Grocery Liquor Store d.b.a. “Canyon Market”), after the San Francisco Planning Commission (Commission) denied the appeal and adopted findings, pursuant to the California Environmental Quality Act, in Motion No. 16486. The amendment involves no changes to the design or intensity of the project as originally approved.
5. **Public Comment**. Staff has not received any input regarding the Project as of the date of this report.
6. **Planning Code Compliance**. The Planning Code Compliance Findings set forth in Motion No. 16489 Case No. 2002.0124CUA (Conditional Use Authorization, pursuant to Planning Code Section 121.1, 121.2, 711.83, 101.1(d), 303 and 711.83) apply to this Motion, and are incorporated herein as though fully set forth.
In addition, the Commission finds that the Project is consistent with the relevant provisions of the Planning Code in the following manner:
a. **Loading**. Planning Code 150, 153-155, 204.5 requires required off-street parking and freight loading facilities to meet standards as to the location and arrangement. In order to preserve the pedestrian character of certain downtown and neighborhood commercial districts and to minimize delays to transit service, garage entries, driveways or other vehicular access to off-street parking or loading (except for the creation of new publicly-accessible Streets and Alleys) shall be regulated on development lots as follows on the following Street frontages: Diamond Street within the Glen Park NCT District.
*The amendment involves no changes to the design or intensity of the project as originally approved. The previously approved uses do not trigger an off-street loading requirement pursuant to the provisions of Planning Code Section 152. The proposal as constructed includes two off-street loading spaces for the grocery store. The loading spaces are located along Wilder Street. The Transportation Study on the project determined that most deliveries are made by small vans or small/medium sized trucks, which will service the project uses, will only occasionally and temporarily impact traffic flow and further determined that no significant loading impacts would be expected. The loading spaces are sufficient to meet the needs of the project; the project will not be detrimental to the occupants of the area.*
*Deliveries to and loading for the grocery store are restricted to Wilder Street and the length of delivery vehicles limited to minimize double parking on Diamond so as to ensure free flow of traffic on Diamond Street.*
With regard to the treatment and impact to the traffic, parking transit, loading, the amendment to Condition of Approval E. #5 b., to permit tractor-trailer combinations or semi-trucks loading between the hours of 6:00 am and 10:00 pm, will not be detrimental to the health, safety, convenience or general welfare of persons residing or working in the vicinity.
7. **Conditional Use Authorization.** Planning Code Section 303 establishes criteria for the Commission to consider when reviewing applications for Conditional Use Authorization. The Conditional Use Authorization Findings set forth in Motion No. 16489, Case No. 2002.0124CUA (Conditional Use Authorization, pursuant to Planning Code Section 121.1, 121.2, 711.83, 101.1(d), 303 and 711.83) apply to this Motion, and are incorporated herein as though fully set forth.
8. **General Plan Compliance.** The General Plan Consistency Findings set forth in Motion No. 16489, Case No. 2002.0124CUA (Conditional Use Authorization, pursuant to Planning Code Section 121.1, 121.2, 711.83, 101.1(d), 303 and 711.83) apply to this Motion, and are incorporated herein as though fully set forth.
9. **Planning Code Section 101.1(b)** establishes eight priority-planning policies and requires review of permits for consistency with said policies. On balance, the project does comply with said policies in that:
A. The proposed new uses and building, at the size and intensity contemplated and at the proposed location, will provide a development that is necessary or desirable, and compatible with, the neighborhood or the community.
*The operation of Canyon Market is compatible with the neighborhood and the community. The modification to Condition of Approval E. #5 b., to permit tractor-trailer combinations or semi-trucks loading between the hours of 6:00 am and 10:00 pm, will allow the grocery operator to manage deliveries in a manner that does not conflict with surrounding uses or user.*
B. The proposed project will not be detrimental to the health, safety, convenience or general welfare of persons residing or working in the vicinity. There are no features of the project that could be detrimental to the health, safety or convenience of those residing or working the area, in that:
i. Nature of proposed site, including its size and shape, and the proposed size, shape and arrangement of structures;
*The amendment proposes no change to the project site or the size, shape and arrangement of structures.*
ii. The accessibility and traffic patterns for persons and vehicles, the type and volume of such traffic, and the adequacy of proposed off-street parking and loading;
With regard to the treatment and impact to the traffic, parking transit, loading, the amendment to Condition of Approval E. #5 b., to permit tractor-trailer combinations or semi-trucks loading between the hours of 6:00 am and 10:00 pm, will not be detrimental to the health, safety, convenience or general welfare of persons residing or working in the vicinity. The proposed operations amendment is designed to meet the needs of the immediate neighborhood.
iii. The safeguards afforded to prevent noxious or offensive emissions such as noise, glare, dust and odor;
The amendment involves no intensification of use as originally approved. The proposal to permit tractor-trailer combinations or semi-trucks loading between the hours of 6:00 am and 10:00 pm will not change existing measures implemented by the grocery operator to prevent noxious or offensive emissions such as noise, glare, dust and odor.
iv. Treatment given, as appropriate, to such aspects as landscaping, screening, open spaces, parking and loading areas, service areas, lighting and signs;
The amendment proposes no change to the project site or the size, shape and arrangement of structures including landscaping, screening, open spaces, parking and loading areas, service areas, lighting and signs.
C. That the use as proposed will comply with the applicable provisions of the Planning Code and will not adversely affect the General Plan.
The Project complies with all relevant requirements and standards of the Planning Code and is consistent with objectives and policies of the General Plan as detailed below.
D. That the use as proposed would provide development that is in conformity with the purpose of the applicable Neighborhood Commercial District.
The proposed project is consistent with the stated purposed of NC-1 Districts in that the intended use is located at the ground floor, will provide a compatible convenience service for the immediately surrounding neighborhoods during daytime hours.
10. The Project is consistent with and would promote the general and specific purposes of the Code provided under Section 101.1(b) in that, as designed, the Project would contribute to the character and stability of the neighborhood and would constitute a beneficial development.
11. On balance, the Commission hereby finds that approval of the proposed amendments to Condition of Approval of Planning Commission Motion No. 16489 in this case would promote the health, safety, and welfare of the City.
DECISION
That based upon the Record, the submissions by the Applicant, the staff of the Department and other interested parties, the oral testimony presented to this Commission at the public hearings, and all other written materials submitted by all parties, the Commission hereby **APPROVES** Conditional Use Application No. 2002.0124CUA-02 subject to the following conditions attached hereto as “EXHIBIT A,” and subject to the Conditions of Approval of Planning Commission Motion No. XXXX, as amended by this approval to modify Condition E. #5 b. to permit tractor-trailer combinations or semi-trucks loading between the hours of 6:00 am and 10:00 pm and eliminate the Condition E. #4 requiring the grocery store operator to offer delivery of merchandise to neighborhood residents.
The Planning Commission further finds that since the MND was finalized, there have been no substantial project changes and no substantial changes in project circumstances that would require major revisions to the MND due to the involvement of new significant environmental effects or an increase in the severity of previously identified significant impacts, and there is no new information of substantial importance that would change the conclusions set forth in the MND.
**APPEAL AND EFFECTIVE DATE OF MOTION:** Any aggrieved person may appeal this Conditional Use Authorization to the Board of Supervisors within thirty (30) days after the date of this Motion No. XXXXX. The effective date of this Motion shall be the date of this Motion if not appealed (After the 30-day period has expired) OR the date of the decision of the Board of Supervisors if appealed to the Board of Supervisors. For further information, please contact the Board of Supervisors at (415) 554-5184, City Hall, Room 244, 1 Dr. Carlton B. Goodlett Place, San Francisco, CA 94102.
**Protest of Fee or Exaction:** You may protest any fee or exaction subject to Government Code Section 66000 that is imposed as a condition of approval by following the procedures set forth in Government Code Section 66020. The protest must satisfy the requirements of Government Code Section 66020(a) and must be filed within 90 days of the date of the first approval or conditional approval of the development referencing the challenged fee or exaction. For purposes of Government Code Section 66020, the date of imposition of the fee shall be the date of the earliest discretionary approval by the City of the subject development.
If the City has not previously given Notice of an earlier discretionary approval of the project, the Planning Commission’s adoption of this Motion, Resolution, Discretionary Review Action or the Zoning Administrator’s Variance Decision Letter constitutes the approval or conditional approval of the development and the City hereby gives NOTICE that the 90-day protest period under Government Code Section 66020 has begun. If the City has already given Notice that the 90-day approval period has begun for the subject development, then this document does not re-commence the 90-day approval period.
I hereby certify that the Planning Commission ADOPTED the foregoing Motion on June 2, 2016.
Jonas P. Ionin
Commission Secretary
AYES:
NAYS:
ABSENT:
ADOPTED: October 5, 2017
EXHIBIT A
AUTHORIZATION
This is a Conditional Use Authorization pursuant to Planning Code Section 303(e) to amend the conditions of approval for Planning Commission Motion No. 16489 to amend Condition E. #5 b. to permit tractor-trailer combinations or semi-trucks loading between the hours of 6:00 am and 10:00 pm and eliminate the Condition of Approval E. #4 requiring the grocery store operator to offer delivery of merchandise to neighborhood residents at 2815 Diamond Street, Lots 072-090 in Assessor’s Block 6745 within the Glen Park Neighborhood Commercial Transit District and a 40-X Height and Bulk District; subject to conditions of approval reviewed and approved by the Commission on December 5, 2002, under Motion No. 16489, as amended by the Commission on October 5, 2017 under Motion No. XXXXXX. This authorization and the conditions contained herein run with the property and not with a particular Project Sponsor, business, or operator.
RECORDATION OF CONDITIONS OF APPROVAL
Prior to the issuance of the building permit or commencement of use for the Project the Zoning Administrator shall approve and order the recordation of a Notice in the Official Records of the Recorder of the City and County of San Francisco for the subject property. This Notice shall state that the project is subject to the conditions of approval contained herein and reviewed and approved by the Planning Commission on December 5, 2002 under Motion No. 16489, as amended by the Planning Commission on October 5, 2017 under Motion No. XXXXX.
PRINTING OF CONDITIONS OF APPROVAL ON PLANS
The conditions of approval under the ‘Exhibit A’ of this Planning Commission Motion No. XXXXXX shall be reproduced on the Index Sheet of construction plans submitted with the Site or Building permit application for the Project. The Index Sheet of the construction plans shall reference to the Conditional Use authorization and any subsequent amendments or modifications.
SEVERABILITY
The Project shall comply with all applicable City codes and requirements. If any clause, sentence, section or any part of these conditions of approval is for any reason held to be invalid, such invalidity shall not affect or impair other remaining clauses, sentences, or sections of these conditions. This decision conveys no right to construct, or to receive a building permit. “Project Sponsor” shall include any subsequent responsible party.
CHANGES AND MODIFICATIONS
Changes to the approved plans may be approved administratively by the Zoning Administrator. Significant changes and modifications of conditions shall require Planning Commission approval of a new Conditional Use authorization.
Conditions of Approval, Compliance, Monitoring, and Reporting
PERFORMANCE
1. **Conformity with Current Law.** No application for Building Permit, Site Permit, or other entitlement shall be approved unless it complies with all applicable provisions of City Codes in effect at the time of such approval.
*For information about compliance, contact Code Enforcement, Planning Department at 415-575-6863, www.sf-planning.org*
MONITORING
1. **Enforcement.** Violation of any of the Planning Department conditions of approval contained in this Motion or of any other provisions of Planning Code applicable to this Project shall be subject to the enforcement procedures and administrative penalties set forth under Planning Code Section 176 or Section 176.1. The Planning Department may also refer the violation complaints to other city departments and agencies for appropriate enforcement action under their jurisdiction.
*For information about compliance, contact Code Enforcement, Planning Department at 415-575-6863, www.sf-planning.org*
2. **Revocation Due to Violation of Conditions.** Should implementation of this Project result in complaints from interested property owners, residents, or commercial lessees which are not resolved by the Project Sponsor and found to be in violation of the Planning Code and/or the specific conditions of approval for the Project as set forth in Exhibit A of this Motion, the Zoning Administrator shall refer such complaints to the Commission, after which it may hold a public hearing on the matter to consider revocation of this authorization.
*For information about compliance, contact Code Enforcement, Planning Department at 415-575-6863, www.sf-planning.org*
OPERATION
1. **Loading.**
a. All loading for the grocery store shall be either from the off street loading areas or from loading areas as approved by the Department of Parking and Traffic.
b. Deliveries shall generally be from small and medium sized vans and similar vehicles not exceeding 50 feet in length. Deliveries from tractor-trailer combinations or semi-trucks are permitted only between the hours of 6:00 am and 10:00 pm.
*For information about compliance, contact Code Enforcement, Planning Department at 415-575-6863, www.sf-planning.org*
2. **Sidewalk Maintenance.** The Project Sponsor shall maintain the main entrance to the building and all sidewalks abutting the subject property in a clean and sanitary condition in compliance with the Department of Public Works Streets and Sidewalk Maintenance Standards. *For*
information about compliance, contact Bureau of Street Use and Mapping, Department of Public Works, 415-695-2017, http://sfdpw.org/
3. **Garbage, Recycling, and Composting Receptacles.** Garbage, recycling, and compost containers shall be kept within the premises and hidden from public view, and placed outside only when being serviced by the disposal company. Trash shall be contained and disposed of pursuant to garbage and recycling receptacles guidelines set forth by the Department of Public Works.
For information about compliance, contact Bureau of Street Use and Mapping, Department of Public Works at 415-554-5810, http://sfdpw.org
4. **Sidewalk Maintenance.** The Project Sponsor shall maintain the main entrance to the building and all sidewalks abutting the subject property in a clean and sanitary condition in compliance with the Department of Public Works Streets and Sidewalk Maintenance Standards.
For information about compliance, contact Bureau of Street Use and Mapping, Department of Public Works, 415-695-2017, http://sfdpw.org
5. **Lighting.** All Project lighting shall be directed onto the Project site and immediately surrounding sidewalk area only, and designed and managed so as not to be a nuisance to adjacent residents. Nighttime lighting shall be the minimum necessary to ensure safety, but shall in no case be directed so as to constitute a nuisance to any surrounding property.
For information about compliance, contact Code Enforcement, Planning Department at 415-575-6863, www.sf-planning.org
6. **Community Liaison.** Prior to issuance of a building permit to construct the project and implement the approved use, the Project Sponsor shall appoint a community liaison officer to deal with the issues of concern to owners and occupants of nearby properties. The Project Sponsor shall provide the Zoning Administrator with written notice of the name, business address, and telephone number of the community liaison. Should the contact information change, the Zoning Administrator shall be made aware of such change. The community liaison shall report to the Zoning Administrator what issues, if any, are of concern to the community and what issues have not been resolved by the Project Sponsor. For information about compliance, contact Code Enforcement, Planning Department at 415-575-6863, www.sf-planning.org
Exhibits
Conditional Use Authorization Hearing
Case Number 2015-014461CUA
1441 Ocean Avenue
Parcel Map
Conditional Use Application
Case Number 2002.0124CUA-02
Request to Amend Conditions of Approval
2815 Diamond Street
Sanborn Map*
*The Sanborn Maps in San Francisco have not been updated since 1998, and this map may not accurately reflect existing conditions.
Conditional Use Application
Case Number 2002.0124CUA-02
Request to Amend Conditions of Approval
2815 Diamond Street
Conditional Use Application
Case Number 2002.0124CUA-02
Request to Amend Conditions of Approval
2815 Diamond Street
Conditional Use Application
Case Number 2002.0124CUA-02
Request to Amend Conditions of Approval
2815 Diamond Street
Site Photo
Conditional Use Application
Case Number 2002.0124CUA-02
Request to Amend Conditions of Approval
2815 Diamond Street
Site Photo
Conditional Use Application
Case Number 2002.0124CUA-02
Request to Amend Conditions of Approval
2815 Diamond Street
This page intentionally blank.
ADOPTING FINDINGS RELATING TO THE APPROVAL OF A CONDITIONAL USE AUTHORIZATION TO ALLOW A LOT SIZE TO EXCEED 9,999 SQUARE FEET, TO PERMIT NONRESIDENTIAL USES OVER 3,999 SQUARE FEET, (LIBRARY/GROCERY STORE) AND TO ALLOW A PUBLIC USE (LIBRARY) ON SITE FOR A MIXED-USE DEVELOPMENT OF 15 DWELLING UNITS, A APPROXIMATELY 9,200 GROSS SQUARE FOOT PUBLIC USE (BRANCH LIBRARY) AND APPROXIMATELY 7,037 GROSS SQUARE FOOT OTHER RETAIL SALES AND SERVICES USE (GROCERY STORE/LIQUOR STORE) PER SECTION 303 OF THE PLANNING CODE AT 2815 DIAMOND STREET, EAST SIDE OF DIAMOND, BETWEEN WILDER AND BOSWORTH STREETS ON ASSESSOR’S BLOCK 6745, LOTS 25A, 26-29, AND 63 IN AN NC-2 (NEIGHBORHOOD COMMERCIAL, SMALL SCALE) ZONING DISTRICT WITH AN 40-X HEIGHT AND BULK DISTRICT.
Recitals
On March 14, 2002, David Prowler representing Glen Park Marketplace Phoenix, LLC (Project Sponsor) filed the following applications with the Department: request for Conditional Use Authorization under; Planning Code Section 121.1 for development on a lot exceeding 9,999 square feet in area; Planning Code Section 121.2 to allow 2 nonresidential uses greater than 3,999 square feet in area; and, Planning Code Section 711.83 to allow a Public Use (branch library); request for a finding of General Plan consistency under Planning Code Section 101.1(d) for development of a public use (branch library) and, request for Variances from, Planning Code Section 151, parking, for no parking spaces where 14 are required; Section 134, rear yard, for 1,440 square feet of rear yard where 4,000 square feet are required; Section 135; usable open space, for 1,454 square feet of usable open space where 1,714 square feet that are required with a least dimension for, private open space as small as 4.5 feet where 6 feet are required, and common open space as small as 8 feet where 15 feet are required; and, Section 140, dwelling unit exposure, where 6 of 15 dwelling units do not have a window facing either a public right-of-way or a Code complying rear yard.
On December 5, 2002, the San Francisco Planning Commission (Commission) denied the appeal and adopted findings, pursuant to the California Environmental Quality Act, in Motion No. 16486. Said motion is incorporated herein by reference.
On December 5, 2002, the Commission conducted a duly noticed public hearing at a regularly scheduled meeting on the application for a General Plan referral.
The Commission has heard and considered the testimony presented to it at the public hearing and has further considered written materials and oral testimony presented on behalf of the applicant, Department staff, and other interested parties.
FINDINGS
Having reviewed the materials identified in the recitals above, and having heard all testimony and arguments, this Commission finds, concludes, and determines as follows:
1. The above recitals are accurate and also constitute findings of this Commission.
2. The Project site is located at 2815 Diamond Street on southeast corner of Diamond and Wilder Streets between Bosworth and Chenery Streets. The site occupies six lots that will be merged into one lot of approximately 16,000 square feet in area with 100 feet of frontage on Diamond Street and 160 feet of frontage on Wilder Street. The site is located in a NC-2, Small Scale Neighborhood Commercial, district, and within the 40-X Height and Bulk Districts. The front portion of the site is currently vacant. The previous a one story building occupied by a grocery store. The store was destroyed by a fire and demolished in the mid 1990s. This portion of the site is fenced off by metal fencing. The back half of the site is leased by the City and County of San Francisco and is occupied by a 25 stall public parking lot. The spaces are accessible from Wilder Street by two curb cuts for ingress and egress. The lease on this portion of the site has expired and the parking use continues on a month to month basis.
3. The Glen Park neighborhood is a predominantly residential area located in the southeast of San Francisco. The immediate area, along Diamond and Wilder Streets, is characterized by two- to three-story buildings. Buildings along Diamond Street contain ground floor neighborhood commercial uses with residential uses above. Wilder Street contains ground floor commercial uses with residential uses on its upper stories at Diamond, becoming primarily residential as it moves away from the Diamond Street intersection. Wilder Street contains two to four story residential buildings. The lot immediately adjacent to the project site along Wilder Street contains a two-story single-family home. Buildings directly across Wilder from the project site rise to as tall as 48 feet. Immediately adjacent to the project site along Diamond Street is a City access easement for a culvert. The access easement runs along the mid-block at the rear of the lots, which front on Wilder Street. The easement area is, and will remain, undeveloped. The lot is also adjacent to the Glen Park BART Station parking lot along Bosworth Street. To the South of the easement and across Diamond Street are buildings approximately 30 feet tall.
4. The proposal is to construct a new two to four story mixed-use building that would include an approximately 7,037 square foot grocery/liquor store (Bi-Rite) with 2 off-street loading spaces off of Wilder, an approximately 8,760 square foot branch public library on the second floor, and 15 apartments with 15 off-street parking spaces to serve the residences only. The grocery store will occupy most of the Diamond Street frontage and will include an open area in front for display of product and some limited seating. The library will have a small lobby on the ground floor at the south end of the building with stairs and an elevator to the second floor. The commercial portion of the project will be two stories and approximately 30 feet in height. The residential component of the Project will be four stories and approximately 40 feet tall and be located primarily on the rear portion of the property. A portion of the residential fourth floor will be located above the library, set back 40 feet from the Diamond street frontage. Residential parking will be developed on the first floor of the residential
component. Access to parking and to residential entrances will be from Wilder Street.
The grocery store will be owned and operated by Bi-Rite, a small San Francisco-based family grocer. The grocery’s entrance will be along Diamond Street. The development will have an open-front arcade to the grocery portion of the development. It will have an awning element with an open shopping area and café tables beneath it: both visible and accessible from the street. The grocery will offer van delivery service. No off-street parking is proposed for the grocery. Two off-street loading spaces will be provided along Wilder Street. One space will be for the commercial loading needs of the grocery. The second space will hold the grocery delivery van.
5. **Section 121.1** requires Conditional Use approval for development of a lot exceeding 9,999 square feet in area in an NC-2, Small Scale, Neighborhood Commercial District. The Project complies with this intent in that:
a. The Project will be two stories and 30 feet in elevation along Diamond Street, which corresponds to the two-story buildings lining this neighborhood commercial street while the third story will be set back 40 ft. from the eastern property line extending for the 100 foot length of Diamond Street. This will create a 4,000 square foot set back, which will substantially reduce the appearance of the building mass when viewed from Diamond Street.
Along Wilder Street, the proposal will be 40 ft. in elevation, mirroring the height of the adjacent building across the street. It will be set back 8 feet from the eastern property line so the mass of the building does not overshadow the small adjacent residential property to the east. At the southern property line, the Project will be set back 12 ft. commencing at the second story for the entire length of the residential component on that story.
b. Each use will have exterior design features that are visually distinct. This will break up the scale and result in a project that will appear as three visually distinct elements, adding interest and creating a positive visual quality. The exterior building facade will be of materials that are consistent with the surrounding buildings. The residential portion of the structure will have small exterior elements, such as smaller windows, small wood moldings, and balconies, which reflect the exterior elements of the adjacent residential buildings along Wilder Street. The market will have an open arcade along the street face, encouraging pedestrian activity and adding visual interest. The library will have deep recessed windows and large areas of glazing overlooking the neighborhood and an open lobby visible from the street.
6. **Section 121.2** of the Planning Code requires conditional use approval nonresidential uses exceeding 1,999 square feet in the Castro Neighborhood Commercial District. The Project complies with this intent in that:
a. **Public Use (Branch Library).** Due to its nature as a distinct public use, the proposed library would not foreclose the Glen Park neighborhood to other neighborhood serving uses. There are no clear competitive uses to a public library. Currently,
there is an existing bookstore in the immediate neighborhood, one block north along Diamond Street. The unique nature of a library use offers a different service than a bookstore and will not be in direct competition with the existing store. It will offer a place for meetings, research, reading and studying.
The proposed library will replace the existing 1,500 Glen Park branch library at 653 Chenery, which has been found to be insufficient for the library use. The replacement of the library in the proposed project will open up 653 Chenery for a different neighborhood-serving commercial use that may be more suited to a 1,500 square foot space.
**Other Retail Sales and Services (Grocery Store).** The project will re-establish a neighborhood-serving grocery store at this location. The previous store exceeded the 3,999 square foot limit. The store, as proposed, will only be slightly larger than the original Diamond Super. This proposal will not close out other neighborhood retail services. There is only one other grocery store in the area, on Portola, which is too great a distance to conveniently serve the Glen Park neighborhood.
Both the grocery store and library are scaled to serve the neighborhood rather than a citywide or regional market.
b. **Public Use (Branch Library).** The existing Glen Park branch public library is located in a 1,500 square foot rented storefront at 653 Chenery Street. The small square footage and location are inadequate for a branch library and is, in fact, one of the smallest in the City's library system. Replacement of the Glen Park branch was identified as a priority of the General Obligation bond for the city library system passed by the voters in 1999. The Library Commission voted to locate at this site.
The unique nature of a library requires a larger gross floor area to function. The San Francisco Public Library estimates that the Glen Park branch service area is about 15,000 persons and requires a facility of at least 6,000 square feet to meet the California State Library suggestion of .5 square feet per capita. It is essential for efficient library operations that the services be located on one floor. Location on the street level is also highly preferred. The result in the proposed design was an approximate 700 square foot ground floor lobby and the remaining main reading room is approximately 8,500 square feet. Of this approximately 8,500 square feet, a large area will be used solely for stacking of books and materials. The storage area necessary to make a branch library adequate increases the needed floor area of the use significantly.
**Other Retail Sales and Services (Grocery Store).** Over 2,500 occupants of the Glen Park neighborhood signed a petition requesting that the previous grocery store be replaced on the site. The unique nature of a grocery store requires a larger gross floor area to function. The proposed size of the grocery store was reached following several informational discussions that the Project Sponsor had with grocery store operators. Grocery store operators use over one-third of the commercial floor area for their stockroom needs. The Bi-Rite operators expressed that a store with a floor
area of 3,999 gross square feet or less would be insufficient due to the stockroom needs and the resulting reduced retail floor. As proposed, the occupied floor area will only be approximately 4,999 square feet due to the fact that the remaining approximately 2,038 square feet will be needed to stockroom and storage needs.
c. A feature of the project is that each use will have exterior design features that are visually distinct. This will break up the scale and result in a project that will appear as three visually distinct elements.
The library entry and façade will have a civic style in its design that will greatly differ from both the residential and grocery story portion of the site. It will incorporate large deeply set windows that will allow pedestrians to see library activity from the street. The residential portion of the structure will have exterior elements, such as smaller windows, small wood moldings, and balconies that are consistent with other residential buildings in the neighborhood. These elements are arranged to break down the scale of the residential façade along Wilder Street to reflect adjacent 25 foot wide residential lots. On Diamond Street a synthetic stone facing will lend the dignity befitting a public use such as a library, while on Wilder a mix of synthetic stone with wood above will be more residential. The residential portion will have a rhythm of articulations at approximately 25 foot wide modules, conforming to the traditional San Francisco pattern. The grocery store will have an open shop-front style façade along the north end of Diamond Street showing customer activity from the street. The grocery store façade will be set back to create an arcade along Diamond Street allowing for produce display and outdoor seating. Additionally, the façade facing the access easement will be visible to pedestrians from Diamond Street and though it is a required fire wall, the proposed exterior finished will mitigate the scale of the wall and add visual interest with contrasting materials. This façade will be broken up with windows and will share the synthetic stone material employed on Diamond Street.
In designing the three uses in three distinct elements, the mass has been broken up and it has resulted in a design that does not appear out of scale with the surrounding improvements.
7. **Section 711.83** requires Conditional Use approval for development of a public use in an NC-2 (Small Scale Neighborhood Commercial) District. The Project complies with this intent in that:
The Project includes an approximately 8,760 square foot public library branch to replace the existing public library branch in the neighborhood. This location is the most suitable for this neighborhood service due to the accessibility of public transit and the Project’s location in the Glen Park village center.
8. **Planning Code Section 303** establishes criteria for the Planning Commission to consider when reviewing applications for Conditional Use approval. On balance, the project does comply with said criteria in that:
A. The Project is necessary, desirable and compatible with the neighborhood. The project’s
mix of uses creates a needed and desirable project for this central and essential location in the Glen Park neighborhood-commercial district. Over 2,500 Glen Park residents signed a petition, which was submitted to the San Francisco Board of Supervisors, in support of the replacement of a neighborhood-serving grocery store at this location. Because of the community’s request, the Board of Supervisors passed a resolution calling for a neighborhood-serving grocery addition to the community to replace the fire-damaged and demolished Diamond Super. Currently, the Glen Park neighborhood-commercial district contains small retail/convenience stores but it does not contain a full-service grocery or even a smaller neighborhood serving grocery. The closest operating full-service grocery store is the Tower Market on Portola, which is too distant to serve the Glen Park neighborhood. The project proposal of a 7,037 gross square feet grocery store component is essential to meet the community’s request and the community’s needs for a neighborhood serving grocery.
The existing Glen Park branch library is only 1,500 square feet and located in a rented storefront. The existing facility is one of the smallest branch libraries in the system and is inadequate to meet the needs of the area that it is meant to serve. The San Francisco Library estimates that there are 15,000 persons in the service area, which is designated to be served by the Glen Park branch. The California State Library suggests a .5 square feet floor area per capita as a minimum size for the sufficiency of a library facility. Based on this standard, the Glen Park branch should be at least 6,000 square feet in area. The existing 1,500 square foot branch is extremely deficient based on these standards. Moreover, it has been found insufficient to serve the Glen Park neighborhood. Replacement of the branch was identified as among the highest priority uses of the $106 million General Obligation bond for the city library system passed by the voters in 1999. As a result, the Department of Real Estate and the Library searched for over a year for a location in Glen Park and held two community meetings on the proposal to locate at the project site. On July 2, 2002, the Library Commission passed a Motion recommending that the San Francisco Board of Supervisors approve locating the new Glen Park Branch library in a 9,200 gross square foot space at the proposed site and to approve the proposed purchase of this space. By proposing to include the library space within this mixed-use development, the proposal fulfills the desires and needs of the community and the City and County of San Francisco to offer an improved library facility to the Glen Park area.
The 15 proposed two-bedroom residential units will help to meet the City’s and the area’s need for new housing supply. The proposed density of 15 units is below the 20 units permitted under the Planning Code. However, the proposed two-bedroom units do maximize the remaining permitted envelope and are designed to meet the housing needs of families. Of the 15 proposed units, two units will be below market rate units as part of the Inclusionary Housing Program set out in Planning Code Section 315 and it will meet the percentage requirements of Planning Code Section 315.4. The Inclusionary Housing Ordinance sets as a priority the provision of below market rate units within a market rate housing project. By meeting the requirements of Planning Code Section 315 through the provision of below market rate units on site, the project fulfills this priority. By adding housing as a component of the proposed mixed-use development, the project creates much needed market rate and affordable dwelling units.
B. The location of the site requires a development that complements both the small commercial buildings along Diamond Street and the residential developments constructed along Wilder Street. In addition, the design must account for the site’s unique placement next to an undeveloped city easement and as a transition building between the site’s NC Zoning and the adjacent RH Zone. The city access easement for a culvert runs along the mid-block to the rear of the lots, which will remain undeveloped. This creates two distinct corners on the development: one at Wilder and one immediately adjacent to the easement.
The project has been designed to respect the established pattern of development in the immediate neighborhood. The Sponsor has met with the Planning Department six times and has made fourteen presentations to the neighbors and the Library Commission before this hearing to obtain comments on the project design and uses. The design was revised several times in response to these comments to insure the design respected neighboring development and resulted in well-designed family housing and a friendly pedestrian streetscape.
The proposed project will arrange both its public library use and commercial use along the Diamond street face to correspond to this existing commercial development pattern. The residential use is positioned along Wilder Street to match its more residential character.
A series of setbacks are included in the design to decrease the mass of the structure. At Diamond Street, the building will match the heights of the adjacent and facing buildings and will be approximately 30’ in elevation. Along Diamond Street, the third and fourth floors will be set back 40 ft. from the Diamond Street elevation making the building appear smaller when viewed from Diamond Street.
The Sponsor’s first design maximized the allowable envelope by building to a 40-ft. height along the eastern property line (with a setback along the southern edge). This design appeared too massive in relation to the small residence adjacent to and east of the project site on Wilder Street. In addition, the east façade would have been a large blank wall clearly visible from the homes along Wilder Street. At the request of the Planning Department Staff, the Sponsor redesigned the Project and set back the structure 8 ft. on the eastern side to reduces the structure’s massing in relationship to the adjacent small residence’s height. The top story will step back on three sides. The new massing will fit more comfortably into the residential scale of Wilder Street.
The project includes a separate residential parking garage on the ground floor level with ingress and egress from Wilder Street. This will maintain the established pattern of traffic in the area since the current access to the existing metered parking is gained from Wilder Street.
There are two existing curb cuts along Wilder Street. The project includes two curb cuts to access the project loading and parking facilities.
The residential parking garage will contain 15 off-street parking spaces, meeting the one space for each dwelling unit requirement of Section 151 of the Planning Code for this use.
No off-street parking spaces will be provided for the library and grocery store uses. Neither use, separately, triggers a parking requirement. By combining these uses into one development, the uses trigger a parking requirement under Planning Code Section 153(a)(2). The 4,999 occupied square foot grocery store requires ten (10) spaces per Code Section 151. The library – historically treated as an “Arts Activities” Use by the Department for the purposes of calculating the parking requirement – will require four (4) spaces for the occupied square feet. The sponsor is seeking a parking variance to eliminate this 14-space requirement. The neighborhood-serving nature of the uses and the location decrease the demand for on-site parking. The van delivery service provided by the grocery operator would further reduce the parking demand. The Transportation Study on the project also determined that even with the additional demand caused by the project’s three uses, there would still be on-street parking availability. The parking proposed for the project uses will not be detrimental to the health, safety, convenience or general welfare of persons residing or working in the vicinity.
Additionally, the Department of Parking and Traffic has agreed to make certain improvement measures to the current condition of the areas on-street neighborhood parking. These are: (1) 10 metered spaces will be added to Bosworth Street; (2) 10 residential parking pass spaces will be added to Arlington; (3) 10 residential parking pass spaces will be added to Bosworth Street; (4) a 2-hour parking zone will be initiated in the 10 spaces under Highway 280; (5) 3 additional 2-hour parking spaces will be added to Bosworth; and (6) a new truck zone will be added to Bosworth Street. Enforcement will also be increased in the area. Currently, the on street parking spaces without a time limitation or the limitation of a residential parking pass requirement are primarily used by drivers who live outside the neighborhood (and the city) and commute to work on BART. These improvement measures should increase the street parking supply by eliminating the long-term parking for non-residents.
Transit: The site is extremely well served by public transit with four Muni bus lines, 23, 26, 44 and 52 running directly in front of or less than one block’s distance from the subject site. The J-Church is less than three block walking distance from the site. Moreover, this lot is half a block from the BART station. The Transportation Study found that Muni was at a 62% capacity on these lines. The increase in ridership from the project was estimated at one rider per vehicle and would, thus, not have a significant impact on these bus lines. Similarly, the small increase in ridership from the project would not negatively affect BART.
Loading: The project uses do not trigger an off-street loading requirement pursuant to the provisions of Planning Code Section 152. The proposal includes two off-street loading spaces for the grocery store. The loading spaces will be located along Wilder Street. One will hold the Bi-Rite delivery van and the second space will be provided for the commercial delivery needs of the grocery. The Transportation Study on the project determined that most deliveries will be made by small vans or small/medium sized
trucks, which will service the project uses, will only occasionally and temporarily impact traffic flow and further determined that no significant loading impacts would be expected. Infrequent deliveries by larger trucks will be regulated to occur before or after the A.M. peak period. The loading spaces will therefore be sufficient to meet the needs of the project and as proposed, the project will not be detrimental to the occupants of the area.
With regard to the treatment and impact to the traffic, parking transit, loading, the addition of the project will not be detrimental to the health, safety, convenience or general welfare of persons residing or working in the vicinity.
D. The Project does not propose any uses likely to generate offensive glare, dust or odor emissions. The exhaust for the grocery store will be vented through the roof at a location that is greatest distance from the adjacent building openings. This will minimize potential offensive noise emissions from this proposed use. During the construction process, standard precautions will be taken to minimize the impact of noise to adjacent buildings.
E. **Landscaping/Open Space**. Street trees will be added along both Wilder and Diamond Streets. The design of the residential component includes a wide landscaped pedestrian entry court, which will include benches within the landscaped elements. A landscaped garden will be provided on the southeast corner of the lot. It will align with the rear yard of the adjacent residential building along Wilder, adding to the block’s open space.
*Lighting*. All exterior lighting will be arranged so all rays fall on the building, and in general, will be placed low to the ground or deck surface in order to direct light away from adjacent buildings.
*Signs*. All Project signage shall be consistent with the controls of Article 6 of the Code. The design will be finalized after project construction and, at that time, sign permits will be sought.
*Parking*. A separate residential parking garage with 15 off-street parking spaces is proposed on the ground floor with ingress and egress from Wilder. The residential users will access their units from a separate staircase that will be accessible only to the residential users of the parking garage. There will also be a separate main stairwell access to the residential units from Wilder Street so that the residential occupants do not have to enter from the parking facility.
*Loading*. Two loading spaces are proposed for the grocery store. One space will be used to hold the Bi-Rite delivery van, which will deliver groceries to patrons of the proposed grocery. The second space will be provided for the commercial delivery needs of the store.
*Bicycle Parking*. Per Section 155.1 of the Planning Code, two Class One Bicycle Parking Spaces will be located in the interior of the public library on the second story of the development. In addition, six Class 2 Bicycle Parking Spaces will be located in a vertical
bicycle rack adjacent to the library entrance along Diamond Street where the building is set back from the lot line. The Director has determined that these spaces are sufficient to meet the average patron load in a building during peak use hours.
F. The Project complies with all relevant requirements and standards of the Planning Code and is consistent with objectives and policies of the General Plan.
G. The Project Site is within an NC-2 district, which purposes are outlined in Section 711.1 of the Planning Code. In an NC-2 District, ground and second story neighborhood-serving commercial uses with residential uses above are strongly encouraged. The proposal provides a needed public use and a retail use and incorporates needed housing above these uses in the remaining developable area. The project will replace the neighborhood-serving grocery store that was previously located on this site. This use has not been replaced elsewhere in the NC District in Glen Park. It will replace an inadequate 1,500 square foot branch library with a 9,200 gross square foot library. The dwelling units have been designed as two-bedroom units so the units will be better suited for families.
Dwelling units (at the proposed density) and Other Retail Sales and Services (grocery store/liquor store) are permitted principal uses in an NC-2 District per Planning Codes Sections 711.90, 711.91 and 711.40. A Public Use is permitted on the ground and second floors in an NC-2 District by conditional use authorization per Section 711.83.
9. **Section 143** requires one street tree for every 20 feet of street frontage. The Project complies with this intent in that:
A total of 13 street trees will be required for the Project. Five will be required along Diamond Street and eight along Wilder. The Project will provide the required trees and will retain existing street trees as much as practical.
10. **Section 155.1** requires bicycle-parking spaces for all city-owned and leased buildings. The Project complies with this intent in that:
The library use within the project will require bicycle-parking spaces pursuant to this Code Section. The project proposal includes two Class 1 Bicycle Parking Spaces, which will be located within the interior of the library in a bicycle storage room on the second story. This space will be accessible from the first floor through the elevator located in the library lobby. Six additional Class 2 Bicycle Parking Spaces will be provided in a vertical bicycle rack adjacent to the library entrance along Diamond Street where the building is set back from the lot line. The Director has determined that these eight spaces are sufficient to meet the average patron load in a building during peak use hours and therefore meet the requirement of Code Section 155.1.
11. The Project is consistent with the Objectives and Policies of the General Plan in that:
**Community Facilities Element**
Objective 6, Principle 1 The San Francisco Public Library Branch Facilities Plan identifies the Glen Park neighborhood as an appropriate location for a branch library. The replacement of the branch with a larger, more accessible facility was anticipated in the Branch Library Improvement Plan that was approved by San Francisco voters in 2000. The Project will implement those plans.
Objective 6, Principle 3 The Glen Park branch library is located in an undersized building on the periphery of the neighborhood shopping district. The Project will bring the library to a more central location within the commercial area. This location would be accessible to more bus stops, and in closer proximity to the Glen Park BART station.
Objective 6, Principle 4 On street parking for the branch library will be available within a block of the Project on Diamond, Wilder and Chenery Streets. Additional short term on street parking is proposed on Bosworth and Arlington Streets, pending approval by the Department of Parking and Traffic. Additional parking will not be necessary because of the proximity of the site to several bus lines, the J-Church streetcar line and the Glen Park BART station. The Project will include bicycle parking for library employees on the second floor and bicycle parking for the public near the ground floor entrance to the facility.
Objective 6, Principle 5 The library will be located primarily on the second floor of the Project building with a large ground floor entry lobby. Access to the second floor will be by means of an elevator or a flight of stairs. The lobby area is of sufficient size to give the library a ground floor presence sufficient to guide patrons to the second floor facilities. The lobby area will include display space for library purposes.
The residential portion of the Project has been setback 40 feet from the Diamond street frontage of the Project to provide daylight to the library through skylights and to eliminate potential noise effects of residential units directly above the public areas of the library. The design of the library and grocery store portion of the Project building feature clean functional lines that blend with the surrounding commercial buildings.
Residence Element
Objective 1, Policy 2 The Project site is occupied, in part, by a metered parking lot. The Project will construct 15 new housing units in a mixed use building on the site and provide two units of affordable housing.
Objective 1, Policy 4 The Project site is an appropriate location for infill housing. The site is within the commercial center of an established neighborhood adjacent to or near, a BART station, a MUNI streetcar line and several bus lines. The site is well located to take advantage of transit opportunities, business and employment opportunities in the commercial area, and recreational opportunities afforded by Glen Canyon Park.
Objective 2, Policy 2 The Project is located within a neighborhood commercial district. The Project site’s proximity to transit lines and the high volume thoroughfares, such as San Jose
Avenue and the I-280 highway, and to recreational opportunities at Glen Canyon Park will reduce harmful effects from the development on the surrounding lower density residential neighborhood. The two affordable dwelling units provided will improve housing opportunities for lower income families in the neighborhood.
**Objective 7, Policy 2** The Project will create two new permanently affordable housing units.
### Commerce and Industry Element
**Objective 6, Policy 1** The Project will reestablish a neighborhood serving grocery store use to the neighborhood. The need for the store by the neighborhood has been expressed in a petition with over 2,500 signatures submitted to the Board of Supervisors and supported by a Resolution of the Board. The Project will relocate the existing branch library serving the neighborhood to a more central location. The Project will also replace an existing metered parking lot with 15 new residential units, two of which will be dedicated affordable units.
**Objective 6, Policy 2** The Project will allow a neighborhood resident to expand his business by creating a second location for Bi-Rite Markets. The market will replace a grocery store that was destroyed by fire and demolished. Since the destruction of the grocery store, the remaining businesses in the area have seen reductions in business and foot traffic to their facilities. The grocery store functioned in part as an anchor store that attracted people to the shopping area. Reestablishment of the grocery store use will aid in revitalizing the commercial district.
**Objective 6 Policy 3** The Project will construct a mixed use building containing 15 residential units, to increase the housing stock in the neighborhood, a grocery store and a public library. The Project will strengthen the existing commercial area and expand the customer base for existing businesses in the area. The Project will include two dedicated affordable housing units.
**Objective 6 Policy 4** The Project is located in close proximity to several bus lines, the J Church streetcar line and the Glen Park BART station. Adequate vehicle traffic ways also serve the neighborhood and provide convenient access to I-280. The addition of a grocery store to the commercial mix will significantly expand the availability of essential goods in the neighborhood and draw foot traffic from BART into the area to the benefit of other area businesses.
**Objective 6, Policy 10** The Project will replace a grocery store that was destroyed by fire and demolished. Since the destruction of the grocery store, the remaining businesses in the area have seen reductions in business and foot traffic to their facilities. The grocery store functioned in part as an anchor store that attracted people to the shopping area. The relocation of the branch library from its current peripheral location to the heart of the commercial district will further revitalize commercial area. The addition of a grocery store to the commercial mix will significantly expand the availability of essential goods in the neighborhood and draw foot traffic from BART into the area to the benefit of other area businesses.
Transportation Element
Objective 11, Policy 3 The Project is a mixed use development that is centrally located in an existing neighborhood commercial area located close to several transit lines including the Glen Park BART station. The project includes retail and community service uses as well as 15 residential units. The Project will be developed with minimal parking to encourage transit use. The proximity of transit, particularly BART, within walking distance will minimize the need of patrons and residents of the Project to access the Project with automobiles.
Objective 12, Policy 1 As a condition of approval, the Project Sponsor will be required to a housing marketing strategy for the residential portion of the Project that emphasizes the proximity of transit, especially BART, to the site and discourages auto ownership. The grocery merchant and the library will be required to develop marketing strategies that emphasize the proximity of transit, especially BART.
Objective 33 Policy 1 The Project will not include any long term parking facilities beyond the parking required for the Project’s residential units. The Project will eliminate an existing metered parking lot that is frequently used for long term parking by BART patrons with handicapped parking placards and by local merchants who occupy metered parking on a long term by feeding the meters during the day.
Objective 34, Policy 1 The Project will provide the minimum required parking for the 15 residential uses included in the Project. Excess parking is not proposed.
Objective 34, Policy 3 The Project is a mixed use development that is centrally located in an existing neighborhood commercial area located close to several transit lines including the Glen Park BART station. The project includes retail and community service uses as well as 15 residential units. The Project will be developed with minimal parking to encourage transit use. The proximity of transit, particularly BART, within walking distance will minimize the need of patrons and residents to access the Project with automobiles.
Objective 35, Policy 1 The addition of Code-compliant parking on site would render the Project economically infeasible due to high cost of excavation and construction of a subterranean level of parking or would require elimination of the library or housing units from the Project. The grocery operator expressed that they did not need or desire off-street parking. The City and County of San Francisco’s Library Commission has found with its other branch libraries that the demand for off-street parking does not match that set by Section 151 of the Code. In addition, the Final Transportation Study completed by CHS Consulting Group found that, even with the development’s uses, there would still be on-street parking available at the peak hour. The grocery operator will provide van delivery service as part of its operations, which will decrease auto trips to the site.
It would not be desirable to add at-grade parking for these uses on the Project Site and potentially decreasing or eliminating another use. It would decrease pedestrian safety and would be much less desirable visually. Moreover, a decrease in the area of one of the uses will eliminate the desirability of developing at this location and it may eliminate the mix of
uses. Additional parking would not support the City’s Transit First Policy since these uses have been uniquely designed to be neighborhood serving.
**Urban Design Element**
**Objective 1, Policy 3** The Glen Park neighborhood commercial district will be enhanced with this project. By eliminating on-grade, off-street parking on the existing lot, the project will increase pedestrian safety by reducing cross sidewalk auto movements and ameliorate the visual quality of the neighborhood district by eliminating unsightly parking on grade. The design proposes an entrance lobby to the public library as well as the main entrance to the grocery store to be located on the ground floor level along Diamond Street. The proposed building will extend the length of the site along Diamond Street to create a more interesting pedestrian streetscape and reestablish this neighborhood-commercial corridor. The store will feature an open arcade and seating in an effort to further enliven Diamond Street. The height along Diamond Street will be approximately 30 ft. to correspond to the height of the commercial building that is immediately adjacent to the proposed Project. The 40-ft. setback along Diamond Street will reduce the apparent scale of the development when viewed from the pedestrian streetscape. The residential portion is expressed in modules of approximately 25’ widths, extending the rhythm of development.
**Objective 3, Policy 5** The height along Diamond Street will be approximately 30 ft. to correspond to the height of the commercial buildings in the vicinity of the proposed Project. The 40-ft. setback along Diamond Street will reduce the apparent scale of the development when viewed from the pedestrian streetscape. The residential portion of the Project will be 40 feet tall and provides a transition from the taller buildings across Wilder Street. The buildings across Wilder are located on through lots with frontage on both Wilder and Chenery Streets that slope down to Wilder. Because of the slope, the rear portions of many of these buildings are close to 50 feet in height. The residential portion of the Project is expressed in modules of approximately 25’ widths, extending the rhythm of the development on the remainder of the block face.
**Objective 4, Policy 6** The Project building has been kept to the scale of the existing mixed use buildings on Diamond Street however, the distinctive contemporary design of the proposed building sets it apart from its neighbors. This distinction is appropriate for a building containing government services. The design uses materials and other features to highlight the important civic use but does so without dominating the other buildings in the area. The proposed library entrance lobby will feature display space for the civic use and further emphasizes the importance of the use to the neighborhood.
**Objective 4, Policy** The proposed building will extend the length of the site along Diamond Street to create a more interesting pedestrian streetscape and reestablish the building street wall on this portion of the neighborhood commercial district. The store will feature an open arcade and seating in an effort to further enliven Diamond Street. Landscaping alone the building front is proposed for the Wilder Street frontage and the residential portion is expressed in modules of approximately 25’ widths, extending the rhythm of development on the remainder of the block face.
Air Quality Element
Objective 3, Policy 2 The Project is a mixed use development that is centrally located in an existing neighborhood commercial area located close to several transit lines including the Glen Park BART station. The project includes retail and community service uses as well as 15 residential units. The Project will be developed with minimal parking to encourage transit use. The proximity of transit, particularly BART, within walking distance will minimize the need of patrons and residents of the Project to access the Project with automobiles.
12. Planning Code Section 101.1(b) establishes eight priority planning policies and requires review of permits for consistency with said policies. On balance, the project does comply with said policies in that:
a. Historically, the site contained an approximately 6,300 square foot grocery store. The grocery store was severely damaged and demolished, and that portion of the site, fronting on the Diamond Street, has remained vacant since 1999. The owner of Bi-Rite is a resident of Glen Park and the store will provide employment opportunities for neighborhood residents;
b. The proposal will establish housing, a public library and a community grocery store on a lot now used only for metered parking. It would not impact existing housing, as the Project site is currently vacant. The design of the proposal corresponds to the neighborhood character of ground and second story commercial uses with residential uses above. A portion of the site previously held the Diamond Super grocery store. The project will reestablish this use and this site as an integral part of the Glen Park neighborhood commercial district;
c. The Project will enhance the city’s supply of affordable housing. The proposal will add 15 units of needed housing, two of which will be available to qualified persons below the market rate as required under the Inclusionary Housing program of Planning Code Section 315.;
d. The Project contains neighborhood serving uses and will not attract commuters. The small number of dwelling units and bedrooms will add riders to both BART and Muni and the proximity of transit will reduce the need for automobile trips. The site is extremely well served by public transit. Four MUNI bus lines run directly in front of, or less than one block’s distance from, the subject site. The J-Church and the BART station are less than three-block walking distance from the site. Deliveries to and loading for the grocery store will be restricted to Wilder Street and the length of delivery vehicles limited to minimize double parking on Diamond so as to ensure free flow of traffic on Diamond Street.
Code compliant parking will be provided for the dwelling units. Access will be gained along Wilder Street so that the traffic flow along Diamond will not be slowed. Both
the grocery store and the public library will be neighborhood serving and will not be of a sufficient size or type of use to attract citywide visitors. The provision of van delivery service by the grocer will decrease the need for customer parking. The project will remove 25 on-site metered spaces. However, it has been determined by the Transportation Study for the project that the project uses will not overburden the current supply of neighborhood parking. In addition, the Department of Parking and Traffic has agreed to implement several street parking improvement measures and to increase enforcement in the Glen Park area. The measures are intended to eliminate the use of street parking in the area by non-area residents, who park and commute on BART. Though this is not an aspect of the project, these measures will further aid in improving the parking supply in the area.
e. The only portion of the site that is developed contains 25 metered parking spaces. The proposed Project removes this parking but will not displace any industrial or service sector uses;
f. The proposed project will be constructed in compliance with current seismic standards;
g. The Project site is vacant and a parking lot and had not previously been occupied by a landmark or historic building;
h. The project will not affect public parks or open space. The Project is approximately five blocks east of Glen Canyon Park. The Project is not expected to place any additional shade on the Park and the shadow from the Project building would not reach to the Park boundary due to distance and intervening development.
13. **San Francisco Charter Policy 16.102, Transit First**, Principle 7 states that parking policies for areas well served by public transit shall be designed to encourage travel by public transit and alternative transportation. On balance, the project does comply with said policies in that:
The Project site is located in a transit rich environment served by four Muni bus lines, 23, 26, 44 and 52 running directly in front of or less than one-block’s distance from the subject site, the J-Church street car line less than a three block walking distance from the site, and BART at the Glen Park station half a block from the Project site. The Transportation Study found that Muni was at a 62% capacity on these lines. The increase in ridership from the project was estimated at one rider per vehicle and would, thus, not have a significant impact on these bus lines. Similarly, the small increase in ridership from the project would not negatively impact BART. The Project will eliminate a 25 stall metered public parking lot that is used in large part for commuter parking by BART patrons and the employees of area merchants. The parking lot attracts traffic to a mildly congested area. By eliminating the parking lot, the Project will encourage BART patrons to either find parking elsewhere or use other means of transit to reach BART. Elimination of the parking lot will also enhance pedestrian safety by limiting cross sidewalk auto movements.
**DECISION**
That based upon the Record, the submissions by the Applicant, the staff of the Department, and other interested parties, the oral testimony presented to the Commission at the public hearing, and all other written materials submitted by all parties, the Commission hereby APPROVES Conditional Use Application No. 2002.0124C as submitted on December 5, 2002, subject to the following conditions attached hereto as Exhibit A which is incorporated herein by reference as though fully set forth.
I hereby certify that the foregoing Motion was ADOPTED by the Planning Commission on December 5, 2002.
Linda Avery
Commission Secretary
AYES: Antonini, Boyd, Bradford Bell, Feldstein, Hughes, S. Lee
NAYS: None
ABSENT: W. Lee
ADOPTED: December 5, 2002
EXHIBIT A
CONDITIONS OF APPROVAL
Whenever “Project Sponsor” is used in the following conditions, the conditions shall also bind any successor to the Project or other persons having an interest in the Project or underlying property.
A. The Approved Project
1. This approval is for the construction of a mixed-use development containing 15 Dwelling Units, an approximately 9,200 square feet Public Use (public library), and an approximately 7,037 gross square feet grocery store/liquor store at 2815 Diamond Street. The Project approved by this Motion is in general conformity with the plans dated October 11, 2002 on file with the Department in the docket for Case No. 2002.0124C (labeled EXHIBIT B), reviewed and approved by the Commission on December 5, 2002.
2. Prior to the issuance of the Building Permit for the Project the Zoning Administrator shall approve and order the recordation of a notice in the Official Records of the Recorder of the City and County of San Francisco for the premises (Assessor’s Block 6745, Lots 25A, 26-29 and 63), which notice shall state that construction has been authorized by and is subject to the conditions of this Motion. From time to time after the recordation of such notice, at the request of the Project Sponsor, the Zoning Administrator shall affirm in writing the extent to which the conditions of this Motion have been satisfied.
3. The final design of the building, including finish materials, arrangement of windows and other features shall be subject to final approval by the Planning Director.
4. Access to the roof of the building shall be by means of a roof hatch. A roof top stair penthouse shall only be permitted if required, in writing, by the Department of Building Inspection.
5. A location for required street trees shall be approved by Planning Staff prior to the issuance of the first addendum to the site permit and shall be installed prior to the issuance of the first temporary or permanent certificate of occupancy.
6. General Advertising signs shall not be permitted on the property.
B. Transportation
1. The grocery operator and the Librarian shall encourage the grocery staff and library staff and patrons to utilize public transportation and other non-vehicular means of transportation through the use of on-site posters and/or notices and discussions at employee meetings and by including information regarding the proximity of BART and other transit options to the site in marketing materials.
2. The Project Sponsor shall encourage the purchasers and tenants of the residential units to utilize public transportation and other non-vehicular means of transportation through the use of on-site posters and/or notices and discussions at residents
meetings and by including information regarding the proximity of BART and other transit options to the site in marketing materials.
C. **Lighting**
All Project lighting shall be downward facing toward the subject property so as not to be directed at adjacent properties.
D. **Inclusionary Affordable Housing**
The Project shall provide for a minimum of two, on site, affordable housing units in compliance with the requirements of Planning Code Sections 315.1 through 315.9.
E. **Operation**
1. The Project Sponsor shall maintain the entrances to the grocery and library and all the sidewalks abutting the subject properties in a clean condition. Such maintenance shall include, at minimum, daily litter pick up and disposal and washing or steam/pressure cleaning of the entrance and the abutting sidewalks at least once each month.
2. Trash and recycling receptacles shall be stored inside a fully enclosed building except they may be placed outside of such building for pick up and removal of the trash or recyclable materials.
3. The Project site and the improvements and landscaping thereon shall be maintained in a neat and attractive manner.
4. The grocery store operator shall offer delivery of merchandise to neighborhood residents.
5. **Loading**
a. All loading for the grocery store shall be either from the off street loading areas or from loading areas as approved by the Department of Parking and Traffic.
b. Deliveries shall generally be from small and medium sized vans and similar vehicles not exceeding 50 feet in length. Deliveries from tractor-trailer combinations or semi-trucks are permitted only between the hours of 9:00 am and 12:00 pm (noon).
F. **Performance**
1. The Project Sponsor shall obtain a building permit for this project within five (5) years from the date of this conditional use authorization of the approval, and construction shall thereafter be pursued diligently to completion or the said authorization/approval shall be deemed null and void.
2. This authorization may be extended at the discretion of the Zoning Administrator only where the failure to issue a building permit to construct the Project is delayed by a City agency or a state agency, or by legal challenges.
3. Violation of the conditions noted above or any other provisions of the Planning Code may be subject to abatement procedures and fines of up to $500 a day in accordance with Code Section 176.
4. The Project Sponsor shall appoint a community liaison officer to deal with issues of concern to neighbors related to the construction of this Project. The name and telephone number of the community liaison officer shall be reported to the Zoning Administrator for reference.
5. Should implementation of this Project result in complaints from neighborhood residents and/or businesses, which are not resolved by the Project Sponsor, these complaints may after consultation with the community liaison have failed, may be subsequently reported to the Zoning Administrator. If it is then determined by the Zoning Administrator to be found in violation of the Planning Code and/or specific conditions of approval as set forth in this Exhibit A of this Motion, the Zoning Administrator shall report such complaints to the City Planning Commission, which may thereafter hold a public hearing on the matter in accordance with the hearing notification and conduct procedures set forth in Section 174, 306.3 and 306.4 of the Code to consider revocation of this Conditional Use Authorization.
6. Should the monitoring of Conditions of Approval contained in Exhibit A of this Motion be required, the Project Sponsor or successors shall pay fees as established in Planning Code Section 351(e)(1).
a. Failure to comply with any of the Conditions of Approval shall constitute a violation of the Planning Code, enforceable by the Zoning Administrator.
7. If there is a lapse of this use for a period of three or more years, this authorization shall become null and void and the use of the Project site shall revert to a use that is principally permitted in the NC-2, Small Scale Neighborhood Commercial.
8. The proposed project must meet these conditions and all applicable City Codes; in case of conflict, the more restrictive controls apply.
9. All mitigation and improvement measures of the approved Negative Declaration are incorporated herein by reference and made a condition of approval for the conditional use.
This page intentionally blank.
APPLICATION FOR
Conditional Use Authorization
1. Owner/Applicant Information
PROPERTY OWNER'S NAME:
Glen Park Group, LLC
PROPERTY OWNER'S ADDRESS:
2815 Diamond Street
San Francisco, CA
TELEPHONE:
(415) 586-9999
EMAIL:
email@example.com
APPLICANT'S NAME:
Richard Tarlov, Canyon Market
APPLICANT'S ADDRESS:
Same as Above
TELEPHONE:
(415) 586-9999
EMAIL:
firstname.lastname@example.org
CONTACT FOR PROJECT INFORMATION:
Same as Above
ADDRESS:
TELEPHONE:
COMMUNITY LIAISON FOR PROJECT (PLEASE REPORT CHANGES TO THE ZONING ADMINISTRATOR):
Same as Above
ADDRESS:
TELEPHONE:
2. Location and Classification
STREET ADDRESS OF PROJECT:
2815 Diamond Street
ZIP CODE:
94131
CROSS STREETS:
Wilder and Bosworth
ASSESSOR'S BLOCK/LOT:
6745 / 086
LOT DIMENSIONS:
7,793
LOT AREA (SQ FT):
ZONING DISTRICT:
Glenn Park NCT
HEIGHT/BULK DISTRICT:
40-X
3. Project Description
(Please check all that apply)
☐ Change of Use
☐ Change of Hours
☐ New Construction
☐ Alterations
☐ Demolition
☒ Other Please clarify: Amendment to COA
ADDITIONS TO BUILDING:
☐ Rear
☐ Front
☐ Height
☐ Side Yard
PRESENT OR PREVIOUS USE:
Grocery Store
PROPOSED USE:
Grocery Store
BUILDING APPLICATION PERMIT NO.:
DATE FILED:
N/A
4. Project Summary Table
Not Applicable - Amendment to Existing COA for Use of Site.
If you are not sure of the eventual size of the project, provide the maximum estimates.
| EXISTING USES: | EXISTING USES TO BE RETAINED: | NET NEW CONSTRUCTION AND/OR ADDITION: | PROJECT TOTALS: |
|----------------|-------------------------------|--------------------------------------|-----------------|
| Dwelling Units | | | |
| Hotel Rooms | | | |
| Parking Spaces | | | |
| Loading Spaces | | | |
| Number of Buildings | | | |
| Height of Building(s) | | | |
| Number of Stories | | | |
| Bicycle Spaces | | | |
PROJECT FEATURES
GROSS SQUARE FOOTAGE (GSF)
| USES | EXISTING | RETAINED | NEW CONSTRUCTION | TOTAL |
|-----------------------------|----------|----------|------------------|-------|
| Residential | | | | |
| Retail | 7,200 | 7,200 | 0 | 7,200 |
| Office | | | | |
| Industrial/PDR | | | | |
| Production, Distribution, & Repair | | | | |
| Parking | | | | |
| Other (Specify Use) | | | | |
| TOTAL GSF | | | | |
Please describe any additional project features that are not included in this table:
(Attach a separate sheet if more space is needed.)
N/A
5. Action(s) Requested (Include Planning Code Section which authorizes action)
See Attached.
Conditional Use Findings
Pursuant to Planning Code Section 303(c), before approving a conditional use authorization, the Planning Commission needs to find that the facts presented are such to establish the findings stated below. In the space below and on separate paper, if necessary, please present facts sufficient to establish each finding.
1. That the proposed use or feature, at the size and intensity contemplated and at the proposed location, will provide a development that is necessary or desirable for, and compatible with, the neighborhood or the community; and
2. That such use or feature as proposed will not be detrimental to the health, safety, convenience or general welfare of persons residing or working in the vicinity, or injurious to property, improvements or potential development in the vicinity, with respect to aspects including but not limited to the following:
(a) The nature of the proposed site, including its size and shape, and the proposed size, shape and arrangement of structures;
(b) The accessibility and traffic patterns for persons and vehicles, the type and volume of such traffic, and the adequacy of proposed off-street parking and loading;
(c) The safeguards afforded to prevent noxious or offensive emissions such as noise, glare, dust and odor;
(d) Treatment given, as appropriate, to such aspects as landscaping, screening, open spaces, parking and loading areas, service areas, lighting and signs; and
3. That such use or feature as proposed will comply with the applicable provisions of this Code and will not adversely affect the Master Plan.
See Attached.
Priority General Plan Policies Findings
Proposition M was adopted by the voters on November 4, 1986. It requires that the City shall find that proposed projects and demolitions are consistent with eight priority policies set forth in Section 101.1 of the City Planning Code. These eight policies are listed below. Please state how the project is consistent or inconsistent with each policy. Each statement should refer to specific circumstances or conditions applicable to the property. Each policy must have a response. IF A GIVEN POLICY DOES NOT APPLY TO YOUR PROJECT, EXPLAIN WHY IT DOES NOT.
1. That existing neighborhood-serving retail uses be preserved and enhanced and future opportunities for resident employment in and ownership of such businesses enhanced;
See Attached.
2. That existing housing and neighborhood character be conserved and protected in order to preserve the cultural and economic diversity of our neighborhoods;
See Attached.
3. That the City’s supply of affordable housing be preserved and enhanced;
See Attached.
4. That commuter traffic not impede Muni transit service or overburden our streets or neighborhood parking;
See Attached.
5. That a diverse economic base be maintained by protecting our industrial and service sectors from displacement due to commercial office development, and that future opportunities for resident employment and ownership in these sectors be enhanced;
See Attached.
6. That the City achieve the greatest possible preparedness to protect against injury and loss of life in an earthquake;
See Attached.
7. That landmarks and historic buildings be preserved; and
See Attached.
8. That our parks and open space and their access to sunlight and vistas be protected from development.
See Attached.
Estimated Construction Costs
| TYPE OF APPLICATION: | Amendment to Condition of Approval |
|----------------------|-----------------------------------|
| OCCUPANCY CLASSIFICATION: | |
| BUILDING TYPE: | |
| TOTAL GROSS SQUARE FEET OF CONSTRUCTION: | BY PROPOSED USES: |
| N/A | |
| ESTIMATED CONSTRUCTION COST: | N/A |
| ESTIMATE PREPARED BY | N/A |
| FEE ESTABLISHED: | N/A |
Applicant’s Affidavit
Under penalty of perjury the following declarations are made:
a: The undersigned is the owner or authorized agent of the owner of this property.
b: The information presented is true and correct to the best of my knowledge.
c: The other information or applications may be required.
Signature: ___________________________ Date: ___________________________
Print name, and indicate whether owner, or authorized agent:
Owner / Authorized Agent (circle one)
Application Submittal Checklist
Applications listed below submitted to the Planning Department must be accompanied by this checklist and all required materials. The checklist is to be completed and signed by the applicant or authorized agent and a department staff person.
| APPLICATION MATERIALS | CHECKLIST |
|------------------------------------------------------------|-----------|
| Application, with all blanks completed | |
| 300-foot radius map, if applicable | |
| Address labels (original), if applicable | |
| Address labels (copy of the above), if applicable | |
| Site Plan | |
| Floor Plan | |
| Elevations | |
| Section 303 Requirements | |
| Prop. M Findings | |
| Historic photographs (if possible), and current photographs | |
| Check payable to Planning Dept. | |
| Original Application signed by owner or agent | |
| Letter of authorization for agent | |
| Other: Section Plan, Detail drawings (ie. windows, door entries, trim), Specifications (for cleaning, repair, etc.) and/or Product cut sheets for new elements (ie. windows, doors) | |
NOTES:
- Required Material: Write “N/A” if you believe the item is not applicable. (e.g. letter of authorization is not required if application is signed by property owner.)
- Typically would not apply. Nevertheless, in a specific case, staff may require the item.
- Two sets of original labels and one copy of addresses of adjacent property owners and owners of property across street.
After your case is assigned to a planner, you will be contacted and asked to provide an electronic version of this application including associated photos and drawings.
Some applications will require additional materials not listed above. The above checklist does not include material needed for Planning review of a building permit. The “Application Packet” for Building Permit Applications lists those materials.
No application will be accepted by the Department unless the appropriate column on this form is completed. Receipt of this checklist, the accompanying application, and required materials by the Department serves to open a Planning file for the proposed project. After the file is established it will be assigned to a planner. At that time, the planner assigned will review the application to determine whether it is complete or whether additional information is required in order for the Department to make a decision on the proposal.
Amendment to Conditional Use Authorization - Supplemental Information and Findings.
5. **Action(s) Requested (Include Planning Code Section which authorizes action).**
On December 5, 2002, the Planning Commission approved Motion No. 16489, which authorized the development of a mixed-use building with 15 dwelling units, 9,200 square feet of Public Use (public library) and approximately 7,200 square feet of a grocery store/liquor store. Motion No. 16489 included several Conditions of Approval (COA) related to the operation of the grocery store/liquor store.
The Project is the amendment of two conditions of approval to Motion No. 16489 under Planning Code section 303(e). The two COA to be amended are as follows:
**E. Operation (4)** The grocery store operator shall offer delivery of merchandise to neighborhood residents.
**E. Operation (5)(b)** Deliveries shall generally be from small and medium sized vans and similar vehicles not exceeding 50 feet in length. Deliveries from tractor-trailer combinations or semi-trucks are permitted only between the hours of 9:00 a.m. and 12:00 p.m. (noon).
The project seeks to eliminate COA E(4) related to neighborhood delivery and to amend COA E(5)(b) to eliminate or modify the restrictions on hours of delivery from tractor-trailer combinations or semi-trucks.
* * * * * * *
**Conditional Use Findings**
Pursuant to Planning Code Section 303(c), before approving a conditional use authorization, the Planning Commission needs to find that the facts presented are such to establish the findings stated below. In the space below and on separate paper, if necessary, please present facts sufficient to establish each finding:
1. That the proposed use or feature, at the size and intensity contemplated and at the proposed location, will provide a development that is necessary or desirable for, and compatible with, the neighborhood or the community; and
The Project is the amendment of two COAs for the operation of the Canyon Market.
The first COA #4, requires local delivery by the market. This condition has been interpreted as requiring Canyon Market to maintain a delivery vehicle and to deliver grocery orders to homes in the neighborhood and to customers or individuals that might find it difficult to visit the store or return by foot or bus to homes located uphill from the market. In the 10 years since Canyon Market has been open, this service has rarely been used and there is not a demand for it. Canyon
Market can and will continue to help neighbors with shopping assistance when asked, but this requirement is not needed especially given the rise in home delivery services.
When the development was originally approved in 2002, “just in time” grocery delivery did not exist. Since 2002, several grocery delivery services have been developed that provide grocery delivery services to neighborhood residents. Examples of these types of services include Amazon Fresh, Instacart, Postmates, Safeway, and others. Requiring Canyon Market to continue to provide local delivery services places it at a disadvantage to other grocery stores that are not required to provide such services and incur such costs. The second COA #5(b), restricts the hours of delivery to Canyon Market by tractor-trailer combinations or semi-trucks. Elimination of the restrictions on the hours of delivery will not change the size or intensity of the existing grocery store use. Instead, it will allow Canyon Market to continue to operate providing valuable goods and services to neighborhood. The operation of Canyon Market is compatible with the neighborhood and the community and the expansion of delivery hours will allow Canyon Market to operate its store in a manner that does not conflict with surrounding uses or user.
The changes being proposed by the Project are compatible with the surrounding nature of the neighborhood and community.
2. That such use or feature as proposed will not be detrimental to the health, safety, convenience or general welfare of persons residing or working in the vicinity, or injurious to property, improvements or potential development in the vicinity, with respect to aspects including but not limited to the following.
(a) The nature of the proposed site, including its size and shape, and the proposed size, shape and arrangement of structures;
The Project is not proposing to change the project site or the size, shape and arrangement of structures.
(b) The accessibility and traffic patterns for persons and vehicles, the type and volume of such traffic, and the adequacy of proposed off-street parking and loading;
Changes to COA #4 would not change accessibility or traffic patterns. Changes to COA #5(b) would improve accessibility and traffic patterns for persons and vehicles.
Under COA #5(b), tractor-trailer combinations or semi-trucks are only permitted to deliver to Canyon Market between 9:00 a.m. and 12:00 p.m. (noon). This timeframe impacts existing traffic and pedestrian circulation and store functions and is not needed to address concerns regarding deliveries. Canyon Market includes a delivery space along Wilder Street that is used by delivery vehicles throughout the day, including during the delivery times noted in the condition. Limiting large truck deliveries to this time restricts the ability to accommodate other smaller trucks, thereby creating traffic issues on surrounding streets.
Canyon Market does not have a large storage or staging area. New product being delivered is placed in boxes on the store floor and restocked or shelved almost immediately, which impacts customers’ shopping experience and is typically scheduled at low shopping times to avoid potential conflicts between customers and deliveries. Restricting large delivery vehicles to prime shopping time unnecessarily burdens the store and impacts traffic and pedestrian circulation without considering actual operation and store usage times.
COA #5(b) was imposed on the original project to address potential concerns regarding large truck deliveries to the future grocery store, but imposes a significant burden on not only the operation of Canyon Market but runs counter to “conditions on the ground” and arrangements reached with the neighbors and neighborhood as to how to address these large delivery vehicles.
Over the 10 years that Canyon Market has been in operation it has worked closely with neighbors and the neighborhood on how best to receive deliveries to have the least impact on parking, circulation and the neighborhood. Based on these discussions and the requirements for operating a successful grocery operation, Canyon Market receives three (3) key tractor-trailer combination or semi-truck deliveries per week from its supplier UNFI. Most other deliveries are made by smaller delivery vehicles, with some larger trucks making non-regular deliveries during delivery hours. UNFI delivers to Canyon Market on Monday, Wednesday and Friday from 6:30 p.m. to 8:00 p.m. with those dates and times selected for very specific reasons.
First, during those times Canyon Market has assigned dedicated staff to receive the deliveries properly, thereby minimizing the time the trucks are unloading. Second, by delivering at a time when the store is less crowded and there are fewer customers, delivery is expedited because there is generally lower interference with customers who are trying to shop. Finally, it is a time when activity on the street is lower and less likely to conflict with other uses such as street cleaning, shoppers using cars, garbage pick-up, etc. The times selected for regular large truck deliveries was selected in direct response to concerns raised by interested parties.
For all these reasons, the Project will not result in parking or traffic that would be detrimental to the health, safety, convenience or general welfare of persons residing or working in the vicinity, or injurious to property, improvements or potential development in the vicinity.
(c) The safeguards afforded to prevent noxious or offensive emissions such as noise, glare, dust and odor;
The Project will not change existing measures that Canyon Market implements to prevent noxious or offensive emissions such as noise, glare, dust and odor. Canyon Market works very hard to be a good neighbor and after operating in the neighborhood for 10 years, has implemented the following measures to address concerns regarding deliveries, regardless of when they occur.
In general, Canyon Market has a policy that all vendors must deliver to the market between 6 a.m. and 2:30 p.m. Monday through Friday. These are the stated delivery hours and those hours, along with instructions on delivery protocols are provided to all new vendors. Other delivery
times can be accommodated seven days a week, but are discouraged and allowed only on an as needed basis based on unexpected or unforeseen issues (i.e., traffic, merchandising delays, etc.).
Canyon Market’s largest supplier, UNFI which delivers via a tractor-trailer combination or semi-truck delivers Monday, Wednesday and Friday in the evening. Because of the size of the truck, surrounding traffic and pedestrian movement, an evening delivery was arranged to address neighborhood and shopper concerns. These deliveries typically occur between 6:30 p.m. and 8 p.m. and drivers park in a specified location, agreed to by the surrounding neighbors and marked by paint to ensure the fewest number of homes and driveways are blocked. Canyon Market is in direct contact with UNFI, tracking the delivery truck, ensuring compliance with the established parking protocols and ensuring the good neighbor policies adopted are complied with by all drivers.
Canyon Market has a dedicated staff person who is responsible for overseeing the UNFI delivery as well as working with neighbors on any complaints concerning the store. They host community meetings if necessary and work with neighbors to create and implement policies to address concerns.
For all these reasons, the Project would not create any noxious or offensive emissions such as noise, glare, dust and odor.
(d) Treatment given, as appropriate, to such aspects as landscaping, screening, open spaces, parking and loading areas, service areas, lighting and signs;
The Project is not proposing to change any existing features of the project
3. That such use or feature as proposed will comply with the applicable provisions of this Code and will not adversely affect the Master Plan.
The Project will comply with the General Plan and will allow continued operation of Canyon Market. The following sets forth various objectives and policies in the General Plan that the Project is consistent with, including but not limited to, the following:
MASTER PLAN PRIORITY POLICIES CONSISTENCY
The following set forth the Project consistency with the eight priority planning policies set forth in Planning Code section 101.1.
1. That existing neighborhood-serving retail uses be preserved and enhanced and future opportunities for resident employment in and ownership of such businesses enhanced.
Canyon Market has been a neighborhood market for 10 years, providing groceries to the neighborhood. The elimination of the requirement to provide neighborhood deliveries does not impact or change Canyon Market’s local delivery program, but simply eliminates the need to maintain a costly van and other provisions that are not required on other businesses or needed in the current market environment. Adjusting the restriction on delivery hours for its main supplier UNFI will provide flexibility in meeting stocking and other logistical needs to ensure smooth continued operation of the grocery store and minimize impact on adjacent neighbors.
The Project will preserve Canyon Market, a neighborhood-serving retail use that employs 100 individuals, many of whom live in Glen Park and the adjacent neighborhoods. It will enhance the existing retail use by ensuring that Canyon Market can continue to provide groceries for the neighborhood in a timely and cost-effective way, and encouraging continued family ownership of the business.
2. **That existing housing and neighborhood character be conserved and protected in order to preserve the cultural and economic diversity of our neighborhoods.**
Not applicable. The Project does not include any construction or changes to the building and will not impact cultural or economic diversity of the neighborhood.
3. **That the City's supply of affordable housing be preserved and enhanced.**
Not applicable. The Project does not include any housing and would not impact the City’s supply of affordable housing.
4. **That commuter traffic not impede Muni transit service or overburden our streets or neighborhood parking.**
The Project would not create commuter traffic that could over burden local streets or impact neighborhood parking. The Project would adjust the restriction on delivery hours for tractor-trailer combinations or semi-trucks allowing Canyon Market to implement delivery times for these vehicles that are consistent with neighborhood circulation patterns and eliminate potential conflicts with Muni and parking.
5. **That a diverse economic base be maintained by protecting our industrial and service sectors from displacement due to commercial office development, and that future opportunities for resident employment and ownership in these sectors be enhanced.**
The Project plays a vital role in the community, protecting service sector jobs and providing opportunities to those entering the workforce as well as experienced professional buyers, managers and cooks. Canyon Market purchases from many local and regional businesses, focusing on buying local and providing fresh produce and merchandise for its customers. Canyon Market is a local, family owned business, which employs 100 individuals and supports other similar businesses in San Francisco and the Bay Area, ensuring a diverse economic base for existing and future residents.
6. **That the City achieve the greatest possible preparedness to protect against injury and loss of life in an earthquake.**
The Project complies with necessary life safety training for all employees and regularly discusses earthquake and other emergency services plans.
7. **That landmarks and historic buildings be preserved.**
The Project is not in a landmark or historic structure and will not have any impact on landmarks or historic buildings.
8. **That our parks and open space and their access to sunlight and vistas be protected from development.**
Not applicable. The Project will not impact any park or open space or result in any new construction or development that would impact sunlight or vistas.
This page intentionally blank.
Dear Planning Commissioners:
The proposal is a Conditional Use Authorization request to amend the conditions of approval under Motion No. 16489, an approved mixed-use development (15 dwelling units, 9,200 square feet of Public Use, and 7,037 square feet Grocery Liquor Store d.b.a. “Canyon Market” Case No. 2002.0124CUA) pursuant to Planning Code Section 303.
Attached plans are for reference only. The amendment involves no changes to the design or intensity of the project as originally approved.
The proposal is to amend grocery inventory delivery hours and remove the condition requiring customer grocery delivery. Conditions of approval E. Operations - 4 & 5 (b.) are clouded in attached motion.
| Motion No. 16489 | Conditions of Approval |
|-----------------|-----------------------|
| | Existing Language | Proposed Language |
| E. Operation | | |
| 4. | The grocery store operator shall offer delivery of merchandise to neighborhood residents. | [Remove Condition] |
| 5. Loading | | |
| a. | All loading for the grocery store shall be either from the off street loading areas or from loading areas as approved by the Department of Parking and Traffic. | [No Change] |
| b. | Deliveries shall generally be from small and medium sized vans and similar vehicles not exceeding 50 feet in length. Deliveries from tractor-trailer combinations or semi-trucks are permitted only between the hours of 9:00 am and 12:00 pm (noon). | Deliveries shall generally be from small and medium sized vans and similar vehicles not exceeding 50 feet in length. Deliveries from tractor-trailer combinations or semi-trucks are permitted only between the hours of 6:00 am and 10:00 pm. |
CANYON MARKET
2815 Diamond Street
San Francisco, CA 94131
APN #: Bldg: 6745 Lot: 063
KEY NOTES
- OVERHEAD ROLLING DOOR, N.C.
- LOADING
- SHAFT SPRING ADJ. ON 2ND FLOOR
- SHARP ALARM ACTIVATED CLASPER
- SURFACE MOUNTED FIRE DETECTOR WITH EXIT ALARM TO COOLER
- UNDERFLOOR MOUNTED FIRE DETECTOR WITH EXIT ALARM TO COOLER
- ROUGH OPENINGS
- WALLS, CEILING, AND FLOOR ARE 8'-0" THICK
- SHUTTER, 8'-0"
- SHUTTER, 8'-0"
- LADDER TO SHAFT WITH ACCESS DOOR AT THE SHAFT
- FIREPROOF ROLLING DOOR, N.C.
- WINDOW, N.C.
- SCREENPRINT ROLLING DOOR, N.C.
- SCREENPRINT ROLLING DOOR, N.C.
- SCREENPRINT ROLLING DOOR, N.C.
- 24" HIGH METAL SHAFT, 1" RAIL AND 1" RODS.
- 12" X 12" TILES ON FLOOR AND 12" X 12" TILES ON WALL
- 12" X 12" TILES ON FLOOR AND 12" X 12" TILES ON WALL
- ALL WOOD IS UNFINISHED
- PRODUCE 36" X 36" METAL ACCESS DOOR AT ENTRY UP
- 24" HIGH METAL SHAFT TO CEILING WALL AND CEILING 7' 6" DEEP
- 24" HIGH METAL SHAFT TO CEILING WALL AND CEILING 7' 6" DEEP
LEGEND
- FLOOR LEVEL, INTERNALLY ILLUMINATED EXIT SIGN
- EXISTING CONSTRUCTION, EXCEPT FOR NEW CONSTRUCTION
- CONCRETE WALL, N.C.D.
FOR REFERENCE ONLY
WILDER STREET (NORTH) ELEVATION 1
DIAMOND STREET (WEST) ELEVATION 2
FOR REFERENCE ONLY
EXHIBIT A
CONDITIONS OF APPROVAL
Whenever “Project Sponsor” is used in the following conditions, the conditions shall also bind any successor to the Project or other persons having an interest in the Project or underlying property.
A. The Approved Project
1. This approval is for the construction of a mixed-use development containing 15 Dwelling Units, an approximately 9,200 square feet Public Use (public library), and an approximately 7,037 gross square feet grocery store/liquor store at 2815 Diamond Street. The Project approved by this Motion is in general conformity with the plans dated October 11, 2002 on file with the Department in the docket for Case No. 2002.0124C (labeled EXHIBIT B), reviewed and approved by the Commission on December 5, 2002.
2. Prior to the issuance of the Building Permit for the Project the Zoning Administrator shall approve and order the recordation of a notice in the Official Records of the Recorder of the City and County of San Francisco for the premises (Assessor’s Block 6745, Lots 25A, 26-29 and 63), which notice shall state that construction has been authorized by and is subject to the conditions of this Motion. From time to time after the recordation of such notice, at the request of the Project Sponsor, the Zoning Administrator shall affirm in writing the extent to which the conditions of this Motion have been satisfied.
3. The final design of the building, including finish materials, arrangement of windows and other features shall be subject to final approval by the Planning Director.
4. Access to the roof of the building shall be by means of a roof hatch. A roof top stair penthouse shall only be permitted if required, in writing, by the Department of Building Inspection.
5. A location for required street trees shall be approved by Planning Staff prior to the issuance of the first addendum to the site permit and shall be installed prior to the issuance of the first temporary or permanent certificate of occupancy.
6. General Advertising signs shall not be permitted on the property.
B. Transportation
1. The grocery operator and the Librarian shall encourage the grocery staff and library staff and patrons to utilize public transportation and other non-vehicular means of transportation through the use of on-site posters and/or notices and discussions at employee meetings and by including information regarding the proximity of BART and other transit options to the site in marketing materials.
2. The Project Sponsor shall encourage the purchasers and tenants of the residential units to utilize public transportation and other non-vehicular means of transportation through the use of on-site posters and/or notices and discussions at residents
meetings and by including information regarding the proximity of BART and other transit options to the site in marketing materials.
C. **Lighting**
All Project lighting shall be downward facing toward the subject property so as not to be directed at adjacent properties.
D. **Inclusionary Affordable Housing**
The Project shall provide for a minimum of two, on site, affordable housing units in compliance with the requirements of Planning Code Sections 315.1 through 315.9.
E. **Operation**
1. The Project Sponsor shall maintain the entrances to the grocery and library and all the sidewalks abutting the subject properties in a clean condition. Such maintenance shall include, at minimum, daily litter pick up and disposal and washing or steam/pressure cleaning of the entrance and the abutting sidewalks at least once each month.
2. Trash and recycling receptacles shall be stored inside a fully enclosed building except they may be placed outside of such building for pick up and removal of the trash or recyclable materials.
3. The Project site and the improvements and landscaping thereon shall be maintained in a neat and attractive manner.
4. The grocery store operator shall offer delivery of merchandise to neighborhood residents.
5. **Loading**
a. All loading for the grocery store shall be either from the off street loading areas or from loading areas as approved by the Department of Parking and Traffic.
b. Deliveries shall generally be from small and medium sized vans and similar vehicles not exceeding 50 feet in length. Deliveries from tractor-trailer combinations or semi-trucks are permitted only between the hours of 9:00 am and 12:00 pm (noon).
F. **Performance**
1. The Project Sponsor shall obtain a building permit for this project within five (5) years from the date of this conditional use authorization of the approval, and construction shall thereafter be pursued diligently to completion or the said authorization/approval shall be deemed null and void.
2. This authorization may be extended at the discretion of the Zoning Administrator only where the failure to issue a building permit to construct the Project is delayed by a City agency or a state agency, or by legal challenges.
3. Violation of the conditions noted above or any other provisions of the Planning Code may be subject to abatement procedures and fines of up to $500 a day in accordance with Code Section 176.
4. The Project Sponsor shall appoint a community liaison officer to deal with issues of concern to neighbors related to the construction of this Project. The name and telephone number of the community liaison officer shall be reported to the Zoning Administrator for reference.
5. Should implementation of this Project result in complaints from neighborhood residents and/or businesses, which are not resolved by the Project Sponsor, these complaints may after consultation with the community liaison have failed, may be subsequently reported to the Zoning Administrator. If it is then determined by the Zoning Administrator to be found in violation of the Planning Code and/or specific conditions of approval as set forth in this Exhibit A of this Motion, the Zoning Administrator shall report such complaints to the City Planning Commission, which may thereafter hold a public hearing on the matter in accordance with the hearing notification and conduct procedures set forth in Section 174, 306.3 and 306.4 of the Code to consider revocation of this Conditional Use Authorization.
6. Should the monitoring of Conditions of Approval contained in Exhibit A of this Motion be required, the Project Sponsor or successors shall pay fees as established in Planning Code Section 351(e)(1).
a. Failure to comply with any of the Conditions of Approval shall constitute a violation of the Planning Code, enforceable by the Zoning Administrator.
7. If there is a lapse of this use for a period of three or more years, this authorization shall become null and void and the use of the Project site shall revert to a use that is principally permitted in the NC-2, Small Scale Neighborhood Commercial.
8. The proposed project must meet these conditions and all applicable City Codes; in case of conflict, the more restrictive controls apply.
9. All mitigation and improvement measures of the approved Negative Declaration are incorporated herein by reference and made a condition of approval for the conditional use.
August 31, 2017
Ms. Cathleen Campbell
Planner, Southwest Team, Current Planning
1650 Mission Street, Suite 400
San Francisco, CA 94103
Dear Ms. Campbell,
The Board of Directors of the Glen Park Association (GPA) is writing to endorse Canyon Market’s request to amend its 2002 Conditional Use Permit.
Richard and Janet Tarlov, owners of the market, wish to strike the clause from the permit that limits the hours of delivery by semi-trailers to 9 AM – 12 noon. This restriction was in place on the permit at the time the original developers were seeking to establish the market. The Tarlovs came in as developers and owners in 2006.
The GPA supports the notion that it is not logistically possible to control deliveries to this busy market to unreasonable time windows. However, in the interest of respecting the neighbors, the Tarlovs are requesting to revise the Conditional Use Permit to indicate that “no deliveries will be accepted prior to 6:00 AM.” This revision conforms to the practice followed by Canyon Market since the beginning of its operation. The market hopes that codifying this restriction will demonstrate its commitment to doing what is best for the Glen Park community.
Canyon Market has done considerable outreach to ensure the community can weigh in on the proposed change:
- Collected over 1,038 signatures on an in-store petition from neighbors and customers in just 2 months
- Received 219 signatures and 91 unique supportive comments via online petition in less than 1 week
- Presented to approximately 100 attendees at GPA’s quarterly meeting on July 17
- Hosted a meeting with residents of 53 Wilder HOA on July 24
Canyon Market has been very supportive of Glen Park in many ways, including generous contributions to neighbourhood events and participation in community activities. The GPA Board hopes you will approve the amendment to the market’s Conditional Use Permit.
Sincerely,
Scott Stawicki
President, Glen Park Association
I support Canyon Market, Glen Park's Independent Grocery Store
For over 10 years, Canyon Market has been working hard to serve the Glen Park community. As our neighborhood has grown, we've remained a considerate neighbor and a strong community partner. Now, we are attempting to slightly revise our permit with the City, which was written back in 2002 and limits the times during which certain trucks can deliver. We are requesting an extension of delivery hours so we can continue to provide excellent products and fair prices to our shoppers while minimizing our impact on neighbors and street traffic.
By signing below, I respectfully urge the City and County of San Francisco to approve Canyon Market’s permit change which eliminates the time restriction for certain trucks. Please vote to ensure the continued success of our locally owned and operated family business.
| NAME | ADDRESS | EMAIL | SIGNATURE |
|---------------|--------------------------|------------------------------|-----------|
| Shannon Conway| 385 Surrey St | email@example.com | |
| Edward DeBaufre| 25 Paradise Ave. | firstname.lastname@example.org | |
| Mary Balmain | 61 Danton 94112 | email@example.com | |
| Jason Fuske | 521 Laidley Street 94131 | firstname.lastname@example.org | |
| Laura Dechant| 359 Arlington | email@example.com | |
| DeeDee Workman| 25 Tennebeway | firstname.lastname@example.org | |
| W.A. Harwell | 725 Myra Way | email@example.com | |
By signing above, you are consenting to Canyon Market submitting the information provided to the City and County of San Francisco and are also consenting to Canyon Market contacting you related to its application and for future marketing purposes.
|
KILLER KUTS
(See Consensus Cuts on P. 2)
Gregg Allman - "Come & Go Blues"
Joan Baez - "Time Rag"
Graeme Edge Band - "Paradise Ballroom"
Peter Frampton - "Signed, Sealed, Delivered"
- "I'm a Roadrunner"
- "I'm In You"
Geils - "Monkey Island"
- "Surrender"
Laura Nyro - "Money"
Neil Young - "Just Like a Hurricane"
CONCERT RAVES
(See Concertizing on P. 28)
Dixie Dregs/Charlotte, N. C
Billy Paul/Boston, Massachusetts
Pink Floyd/Milwaukee, Wisconsin
Ramones/Chicago, Illinois
Sea Level - Marshall Tucker Band/Binghamton, New York
Sons of Champlin/Eugene, Oregon
Supertramp/Allentown, Pa.; Washington, D. C.
The Tubes/Seattle, Washington
REGIONALS
RADIO EMPHASIS (P. 3)
| Northeast | South | Midwest | West |
|-----------|-------|---------|------|
| 682 Peter Frampton | .847 Heart | .798 Steve Miller | .688 Steve Miller |
| 547 Steve Miller | .763 Peter Frampton | .677 Peter Frampton | .683 Peter Frampton |
| 529 Dan Fogelberg | .712 Steve Miller | .629 Heart | .661 Heart |
| 518 Heart | .678 Dan Fogelberg | .573 Dan Fogelberg | .565 Little Feat |
| 494 Cat Stevens | .619 Cat Stevens | .573 Cat Stevens | .548 Dan Fogelberg |
| 482 Wailers | .610 Gregg Allman | .532 Ted Nugent | .489 Cat Stevens |
| 465 Little Feat | .551 Neil Young | .524 Little Feat | .468 Neil Young |
| 406 Fleetwood Mac | .483 Little Feat | .508 Foreigner | .435 Supertramp |
| 406 Foreigner | .466 Wailers | .411 Fleetwood Mac | .398 Gregg Allman |
| 406 Supertramp | .390 Ted Nugent | .379 Neil Young | .398 Fleetwood Mac |
| 390 10cc | | | |
RADIO FUTURES (P. 3)
| Northeast | South | Midwest | West |
|-----------|-------|---------|------|
| 465 C. S. & N. | .534 C. S. & N. | .532 C. S. & N. | .376 C. S. & N. |
| 341 James Taylor | .339 Roger Daltrey | .315 Roger Daltrey | .226 Alan Parsons |
| 265 Roger Daltrey | .271 Alan Parsons | .282 Alan Parsons | .194 Roger Daltrey |
| 206 Laura Nyro | .271 James Taylor | .242 James Taylor | .167 Norton Buffalo |
| 176 Pierce Arrow | .127 Kiss | .210 B. Cummings | .151 James Taylor |
PROGRESSIVE RETAIL (P. 20)
| Northeast | South | Midwest | West |
|-----------|-------|---------|------|
| 799 Fleetwood Mac | .764 Fleetwood Mac | .942 Fleetwood Mac | 1.000 Fleetwood Mac |
| 611 Eagles | .736 Peter Frampton | .737 Steve Miller | .731 Eagles |
| 451 Peter Frampton | .528 Bros. Johnson | .632 Heart | .718 Peter Frampton |
| 451 Steve Miller | .486 Jimmy Buffett | .480 Foreigner | .551 Steve Miller |
| 368 Foreigner | .458 Emotions | .415 Eagles | .397 Foreigner |
| 340 Heart | .458 Steve Miller | .368 Peter Frampton | .346 Heart |
| 313 Commodores | .389 Eagles | .351 Ted Nugent | .333 Jimmy Buffett |
| 292 Bee Gees | .347 Commodores | .333 Commodores | .256 Supertramp |
| 292 Boston | .347 Isley Bros. | .292 Boston | .231 Marvin Gaye |
| 285 Cat Stevens | .347 Dan Fogelberg | .240 Dan Fogelberg | .231 Boz Scaggs |
RETAIL FUTURES (P. 20)
| Northeast | South | Midwest | West |
|-----------|-------|---------|------|
| 458 Neil Young | .250 Little River Bd. | .544 Kiss | .346 Rita Coolidge |
| 292 Outlaws | .208 Neil Young | .439 Outlaws | .308 Neil Young |
| 292 UFO | .167 Geils | .421 Little River Bd. | .231 B. Cummings |
| 229 Gregg Allman | .125 Roger Daltrey | .404 Alan Parsons | .231 Outlaws |
| | .125 Kiss | .404 UFO | |
## CONSENSUS CUTS, ETC.
Consensus cuts are derived from information obtained by special survey of our contributors. The albums spotlighted are selected from available new releases. Tracks are listed in order of preference. An underline denotes an overwhelming choice. The top new tracks are listed in percentage order to the left.
### In Order of Preference
| Rank | Artist | Title |
|------|----------------------|--------------------------------|
| 528 | Peter Frampton | "Signed, Sealed, Delivered" |
| 500 | Joan Baez | "Time Bag" |
| 464 | Neil Young | "Like a Hurricane" |
| 419 | Geils | "Monkey Island" |
| 407 | Gregg Allman | "Come & Go Blues" |
| 360 | Peter Frampton | "Rocky's Hot Club" |
| 349 | Peter Frampton | "I'm In You" |
| 337 | Joan Baez | "Mary a Mile" |
| 337 | Geils | "Surrender" |
| 326 | Graeme Edge Band | "Paradise Ballroom" |
| 314 | Laura Nyro | "Money" |
| 302 | Geils | "So Good" |
| 302 | Neil Young | "...Ballet" |
| 291 | Gregg Allman | "Sweet Feelin'" |
| 256 | Gregg Allman | "Cryin' Shame" |
| 256 | Gregg Allman | "...Lesson To Ya" |
| 251 | Geils | "I Do" |
| 244 | Peter Frampton | "Heart, I Like" |
| 244 | Peter Frampton | "...Be My Friend" |
| 244 | Geils | "You're the Only One" |
| 244 | Al Jarreau | "Take Five" |
| 244 | Laura Nyro | "And When I Die" |
| 233 | Mink DeVille | "Cadillac Walk" |
| 233 | Mink DeVille | "Mixed Up, Girl" |
| 233 | Mink DeVille | "Venus of Ave. D." |
| 233 | Peter Frampton | "Tired to Love" |
| 221 | Peter Frampton | "Rocky's Hot Club" |
| 221 | Geils | "Somebody" |
| 209 | James Taylor | "Handy Man" |
| 204 | Neil Young | "Hey Babe" |
### Geils
- "Monkey Island"
- "Paradise Ballroom"
- "Money"
- "Surrender"
- "You're the Only One"
- "Somebody"
- "Blowin' Away"
### Al Jarreau
- "Take Five"
- "Rainbow In Your Eyes"
### Keith Jarrett
- "Hour Glass (Pt. 1)"
### Sammy Johns
- "Crazy Van"
- "Early Morning Girl"
### KARMA
- "Abundance"
- "For Everybody"
### John Klemmer
- "Lifestyle"
- "Quiet Afternoon"
- "Peaches"
- "Tough and Tender"
- "Loving Feelings"
### Earl Klugh
- "Dr. Muzumba"
### Lakes
- "On the Run"
- "Time Bomb"
- "Chasing Colours"
### Bobby Lyle
- "Night Breeze"
- "Planes"
### The Meters
- "I'm Goin'"
- "Show Me What You Can"
- "Funkify Your Life"
- "Stop That Train"
### Pat Metheny
- "Biggs Quasi"
- "Watercolors"
### Modern Lovers
- "Ice Cream Man"
- "Dodge Veg-O-Matic"
### Laura Nyro
- "Moonglow"
- "Anytime I Die"
- "Sweet Blindness"
- "Capt. St. Lucifer"
### Omaha Sheriff
- "Quiet Please"
### John Payne - Louis Levin Band
- "New Campagna"
- "Touchdown Cafe"
### Significant Singles
- Rita Coolidge
- Crosby, Stills, Nash
- Ram Jam
- Ronnie Spector
- Scorpions
- The Red Stripes
- James Taylor
### PIERCE ARROW
- "Hot Summer Night"
- "You Got To Believe"
- "Stargazer"
### SCARLET RIVERA
- "Wicked Witch of the East"
- "Left Back"
- "Earth Queen"
- "Ring Around the Moon"
### Leon & Mary Russell
- "Make Love to Music"
- "Joyful Noise"
- "Now Now Boogie"
- "Say You Will"
### David Sanborn
- "Morning Salsa"
- "We Fool Ourselves"
- "Promise Me the Moon"
### The Section
- "Rainbows"
- "Magnetic Lady"
- "L.A. Changes"
### Stephen Sinclair
- "Fingertip Away"
### Cabor Szabo
- "Misty Malarky"
- "Ying Yang"
### Tangerine Dream
- "Impressions of a Sorcerer"
### James Taylor
- "Handy Man"
- "Your Smiling Face"
- "Traffic Jam"
- "Internet's Blues"
- "Honey Don't Leave L.A."
- "Terra Nova"
### Tiger
- "Gamblin' Gambler"
### Trooper
- "Knock 'Em Dead Kid"
- "Waitin' On Your Love"
### Turner & Kirwan of Wexford
- "Girl Next Door"
### McCoy Tyner
- "Wave"
### Neil Young
- "Like a Hurricane"
- "Bite the Bullet"
- "Hey Baby"
- "Long Groove"
- "Harold Shipham"
- "Will To Love"
- "Saddle Up the Palomino"
### Young and Moody
- "I'll Be Back"
- "You Make It Roll"
### Important Imports
- Beatles - Hamburg
- 801-Live
- Cansels EP
- Sex Pistols (single)
- Stranglers
### Box Score
- Album Count: 79
- Year to Now: 1136
- Last Year: 1019
- At This Time: 1019
---
**WALRUS!**
Box 35
Narberth, PA 19072
(215) 667-4788
**Editor**
George Meier
**Subscriptions & Layout**
Diane Meier
**Statistics**
Bill Mosko
**Production Assistant**
Francine Manlin
---
**TABLE OF CONTENTS**
- Consensus Cuts, etc. P. 2
- Radio Stats P. 3
- Radio P. 4
- Retail Stats P. 20
- Retail P. 21
- Concertizing P. 28
- New Releases P. 32
- Jobs, Misc. Info. P. 31
- Concepts P. 14
---
**World Radio History**
## RADIO EMPHASIS
| 2 ISSUES BACK | LAST ISSUE | CURRENT NATIONALS | ARTIST | TRACKS | N.E. | S | M.W. | W |
|---------------|------------|-------------------|-----------------|-------------------|------|-----|------|-----|
| --- | .454 | .697 | P. FRAMPTON | Signed/Roadrunner | .682 | .763| .677 | .683|
| .679 | .688 | | STEVE MILLER | Airline/Sacrifice | .547 | .712| .798 | .688|
| .436 | .571 | | HEART | Barracuda/Queen | .518 | .847| .629 | .661|
| .343 | .554 | | D. FOGELBERG | Promises/Love | .529 | .678| .573 | .548|
| .602 | .563 | | CAT STEVENS | A Star/Schoolyard | .494 | .619| .573 | .489|
| .636 | .583 | | LITTLE FEAT | A Hero/Ili Roller | .465 | .483| .524 | .516|
| --- | .275 | | N'IL YOUNG | Hurricane/Bullet | .388 | .551| .379 | .468|
| .321 | .383 | | GREGG ALLMAN | Come & Go/Sweet | .394 | .610| .323 | .398|
| .519 | .489 | | FLEETWOOD MAC | Dreams/The Chain | .406 | .373| .411 | .396|
| .228 | --- | | WAILERS | Exodus/Jarmin' | .482 | .466| .145 | .339|
| .352 | .361 | | FOREIGNER | Feels Like/Cold Ice| .406 | .373| .508 | .215|
| .482 | .383 | | SUPERTRAMP | Give a Little/Quiet| .406 | .246| .258 | .435|
| --- | .121 | | TED NUGENT | Cat Scratch/Control| .129 | .390| .532 | .355|
| .519 | .421 | | BONNIE RAITT | Runaway/Forgive...| .335 | .314| .282 | .371|
| .467 | .415 | | 10CC | Judge/Benefit | .306 | .390| .306 | .274|
| --- | .189 | | LITTLE RIVER BD | Help/Days on Road | .235 | .381| .210 | .392|
| --- | .154 | | GELS | Monkey/Surrender | .312 | .153| .339 | .371|
| .130 | .299 | | OUTLAWS | Sundown/Gunsmoke | .276 | .356| .347 | .134|
| .490 | .347 | | DAVE MASON | So High/Let It Go | .259 | .288| .347 | .183|
| .217 | .204 | | J. WINCHESTER | Breeze/Twigs | .294 | .356| .121 | .242|
| .220 | .231 | | CHARLIE | Johnnie Hold Back | .218 | .229| .274 | .258|
| .303 | .278 | | POCO | Indian/Dance | .235 | .305| .290 | .145|
| --- | .211 | | MINK DeVILLE | Cadillac/Mixed Up | .265 | .102| .218 | .226|
| .287 | .253 | | KENNY LOGGINS | Lady Luck/Believe | .165 | .373| .161 | .172|
## RADIO FUTURES
| NATIONAL % | ARTIST | TRACKS | N.E. | S | M.W. | W |
|------------|-----------------|-------------------|------|-----|------|-----|
| .465 | C.S. & N. | ----- | .465 | .534| .532 | .375|
| .268 | ROGER DALTREY | ----- | .265 | .339| .315 | .194|
| .247 | JAMES TAYLOR | Handy Man/Smiling | .341 | .271| .242 | .151|
| .229 | ALAN PARSONS | ----- | .165 | .271| .282 | .226|
| .119 | LAURA NYRO | Money/When I Die | .206 | .102| .113 | .054|
| .102 | B. CUMMINGS | ----- | .071 | .119| .210 | .048|
| .085 | KISS | ----- | .071 | .127| .129 | .043|
| .082 | N. BUFFALO | Hotel/Nobody | .041 | .059| .032 | .167|
| .077 | RAINBOW | ----- | .059 | .068| .121 | .070|
| .074 | FOOLS GOLD | ----- | .035 | .017| .145 | .097|
| .072 | PIERCE ARROW | Hot Summer/Believe| .176 | .025| .016 | .043|
NORTHEAST
BOSTON
WBCN-FM
JOHN BRODEY
HEAVY AIRPLAY:
Guils
Fleetwood Mac
Foreigner
Peter Frampton
Cameo/Jeffreys
Little River Band
Little Feat
Mink DeVille
Dave Mason
Paul Revere
Johnny Watson
Leon & Mary Russell
Kidz Dee
Charlie Allman
Heart
Van Morrison
Outlaws
Ponsette-Dart Band
Rusty Wise
Southside Johnny
MODERATE AIRPLAY:
Walter Egan
Atlantic Rhythm Section
Jimmy Buffett
Danny O'Keefe
Charlie
Aretha Franklin
Jethro Tull
Walers
Supertramp
Cliff Richard
Richard Torrance
Sea Level
Frankie Miller
ELO
Dave Edmunds
Detweiler
Bruce Springsteen
Dan Fogelberg
Cat Stevens
Jess Winchester
Dino Salera
Jethro Tull
Bob Edgar
Jerry Jeff Walker
ADDS:
Laura Nyro
Mutars
Danny Kirwan
John Martyn
Pierce Arrow
Crosby/Stills/Nash
Roger Daltry
Al Jarreau
Horslips
Leonard Lawe
J. Payne-L. Levin Band
Burton Cummings
Pat Travers
SNOOP DOG
Johnny Barnes
Cars
Ry Cooder
Marvin Gaye
MIRLS
Ann Peebles
James Taylor
War
NEWS/PUBLIC AFFAIRS:
Last night guests on WBCN Night-Talk Call In have included author Mar's Lane talking about the Martin Luther King assassination, Jerry Ray Ruthless of convicted murderer James Earl Ray, and Harvey Yeznick of the Assassination Information Bureau in Cambridge. Two local film critics rapped about the movies and we have brief interviews with all sorts of movie folk including the producer of "The Man."
Actress Joanna Moore, King Vidor of the silent movie era, Joseph Levine, producer and the president of a local movie chain and William S. Paley of the conglomerates of the movie industry.
Boston Continued...
WBCN-FM
A week earlier, our guests included Mel King a black state legislator, Chuck Turner of a group trying to organize the construction industry for Tired Workers, Two representatives of gay rights groups commenting on the Anita Bryant affair in Miami, and Boston Red Sox pitcher Bill (Spaceman) Lee, rambling just about everything to the delight of lots of the fans of the "other" Mad Sox. It was great radio.
WBCN News wishes David Gilson well, who after four years as a news department is moving over to Black originated wild radio to join their new department. We will miss David, and are presently looking for a replacement.
That's news.
Daniel Schachter,
News Dissactor
COMMENTS:
Used to be you could keep track of departed 'BCNers with 5 fingers, can toes be far behind? Well, I really don't think so, altho we have just lost Bob Shannon our P.D., of only 3 months. Bob is returning to his old job at WGBH, the ZOO. All bars are real sorry to see him go, but we are very pleased that his replacement is none other than our own Charlie Allman, who will continue to do afternoons. During Bob's stay, however, he did bring two new full-timers to the staff that we're happy about.
L.A. is settling into the morning show nicely and providing some outfield highlights. And we now have Tom Howard back north of 'BRU doing a good job of the midday shift [data rite, throw title]. Spirits are up and all should be around for a few more softball seasons anyway.
- J.B.
WCOZ-FM
REGINA MIRE
HEAVY AIRPLAY:
Fleetwood Mac
Steve Miller
Peter Frampton
Mason
Van Morrison
Eagles
Bonnie Raitt
Cat Stevens
Boyzville
Teddy Pendergrass
Bee Gees
James Taylor
MODERATE AIRPLAY:
Charlie
Stevie Wonder
Bob Sager
Supertramp
Foreigner
Southside Johnny
Guils
Greg Kihn
Little River Band
Leon & Mary Russell
Mink DeVille
Greg Allman
Jean Bass
Outlaws
SINGLES:
Stirr
James Taylor
Suzy & The Red Stripes
Bruce Foster
Tim Moore
Boston Continued...
WCOZ-FM
Rita Coolidge
NEWS/PUBLIC AFFAIRS:
Modesty stops me from mentioning my return to the airwaves on Sundays from 8am to 1pm. What a strange trip its been...
WCZO News enters the 21st Century in July when our new FM station UP1000 enters airwaves. This beast spits out copy so fast we need Evelyn Wood herself to read it all. The station will be producing the regular 'Broadcast wire, but also three "A" or Feature wires, National and Intl. wires too. Together with our sister station WCAI-AM, we'll be the only folks in town with this nifty device. Now, how about that satellite dish...
Many thanks to WALRUS for last issue's Summer Guide. My dog-eared copy of the '75 edition was getting too worn to hold up over time. The new list is jammed with useful contacts, and I hope everyone (especially News folks) will use them.
Our summer has brought with it lots of news to Boston: a pro-nuke rally in New Hampshire, subsidized by the utility companies; Jo Ann Robinson's "All God's Children" told of her research on the Rev. Moon, who just happens to have sent his devotees to town this month; fascinating interview with author Chas. Berlitz with more on the Bermuda Triangle, this time claiming he's found a huge pyramid under its waters.
As this reaches you'll be vacationing/working with old friends in Calif., touring with the Boston Newspace Radio Network, and KMEL. So summertime greetings and best wishes!
- Jim Cameron
News/PA Director
(617) 247-2020
ext.178
P.S. Goodbye Danny, and good luck. Boston radio won't be the same.
COMMENTS:
Young Jim Cameron stepped into the spotlight last Sunday to do a 5-hour alt. shift. He's doing so well, we liked that we're going to let him do it more often. This doesn't change his status as top newsman.
I'm tired of tits and ass promotions... wet T-shirts, Farrah look-alikes, etc. etc. Don't you agree? If so, we're our less ass-intensive brother and sister who let that stuff go on know how you feel.
With the cooperation of CBS Records we're giving away a Southside and CBS catalog albums.
We're co-promoting Boz Scaggs and Soulaid's Johnny here July 16th and 17. Nothing could make us happier.
It's finally summer. Use it to it's best advantage.
CAMBRIDGE
WCAS-AM
DON COHEN/MD
MOE SHORE/PD
EXTRA HEAVY PLAY:
Crosby/Stills/Nash
Bert Janisch (import)
Chuck McDermott (local)
Cambridge Continued...
WCAS-AM
+* Laura Nyro
+* Pierce Arrow
HEAVY AIRPLAY:
American Flyer
+ Joan Baez
Jaime Brockett
Dillard-Hartford-Dillard
Dan Fogelberg
Al Jarreau
Keith Jarrett
Little Feat
Lew London
Bob Marley/Wailers
New Grass Revival
John Payne/Louis Levin
Dick Pinney
Poco
Bonnie Raitt
Woodstock Mountains
(various artists)
Jerry Jeff Walker
Jesse Winchester
MODERATE AIRPLAY:
Gregg Allman
Hoyt Axton
Gary Burton Quintet
Peter Campbell
Aretha Franklin
Greg Kihn
Danny Kirwan
Waylon Jennings
Kingfish
John Klemmer
Little River Band
Dave Mason
Steve Miller Band
Mose Allison
Van Morrison
Danny O'Keefe
Outlaws
Ponsette-Dart Band
Leon & Mary Russell
Ben Sidran
Artie Traum
Doc Watson
Rusty Wise
Neil Young
NEW ADDS:
* Norton Buffalo
* Roger Daltry
* Cat "The Only One"
* Herbie Hancock
* Horslips
* Willie Nelson
* James Taylor
SINGLES:
Ry Cooder
SPECIAL PROGRAMMING:
Cambridge Coffeebreak
Concerts:
James Nelson
Mose Allison
Geoff Muldaur
John Martyn
(Live at Leeds Lp)
Live Passion:
Ramblin' Jack Elliott
Rosalie Sorrels
IMPORTS:
Drumsfeld
David Swarbrick
NEWS/PUBLIC AFFAIRS:
Highlights of the last month's public affairs programming: A special on Intl. Womens Year, and what, if anything, it means (produced by yourself); Hester Fuller took an in-depth look at Jimmy Carter's energy program; and of course, our program for the gay community. Closer Space provided lots of coverage on Anita Bryant's anti-gay campaign ... and gay pride week.
The Culture Vulture took in the world premiere of The Deep, then delved into the flick. The C.V. also interviewed King Vidor and Dino DeLaurentis.
- Judith Bracketly,
News Director
### Philadelphia Continued...
**WIOQ-FM**
- Bad Company
- Fleetwood Mac
- Heart
- Kinks
- Little Feat
- Dave Mason
- Bonnie Raitt
- Supertramp
- 10cc
- Greg Kihn
- Blues Brothers
- Detective
- Charlie
- Chilliwack
- Ultravox
- Lake
- Iguna
- Frankie Miller
- Horslips
**MODERATE AIRPLAY:**
- Country Joe & The Fish
- Straws
- Johnny Winter
- Burton Cummings
- Blackmore's Rainbow
- Alan Parsons Project
- Rick Derringer
- Billy Joel
- Les Dudek
- Laser Nymph
- Nazareth
- Moody Blues
- Mink DeVille
- Marillion
- Head East
- Gale Force
- LeBlanc & Carr
- Isley Bros.
- Mike Oldfield
- Mahogany Rush
- Pablo Cruise
- Timi Moore
- Tom Petty
- Southside Johnny/Jukes
- Rough Diamond
- Emerson, Lake, Palmer
- Peter Tosh
- Stan Getz
- Geils
- 38 Special
- Dickey Betts
- UFO
- Alice Cooper
- Paco
- Leon & Mary Russell
- Alexis
**LIGHT AIRPLAY:**
- Eagles
- *Hiss
- Mark Webster
- Graeme Edge Band
- Meters
- Gary Burton
- Ponis Gold
- Vanessa Clements
- John Fogelberg
- David Laine
- Ruby Starr
- Van Morrison
- Noel Pointer
- Waylon Jennings
- Jerry Jeff Walker
- Nick Drake
- Trooper
- Blue Man
- Pat Travers
- Focus
- PFM
- Danny Kirwan
- Roy Buchanan
- Gallaghers Lyle
- Silly Sisters
**SINGLES:**
- Suzy & The Red Stripes
- Rainman
- Ronnie Spector
- Emerson, Lake, Palmer
- "Brain Salad Surgery"
**IMPORTS:**
- Genesis EP
- Slade
- Ian Gillan Band
- Stiff Sampler
- The Stranglers
- Hudson-Ford
---
### Pittsburgh Continued...
**WYDD-FM**
- 38 Special
- James Taylor
- Isaac Hayes
**MODERATE AIRPLAY:**
- Dickey Betts
- Burton Cummings
- Cracking
- Les Paul
- Roger Daltrey
- Emerson, Lake, Palmer
- Fleetwood Mac
- Peter Frampton
- Genesis (single)
- Kalahari
- LeBlanc & Carr
- Little River Band
- Marshall Tucker Band
- David Mason
- Pierce Arrow
- Bonnie Raitt
- Lee Ritenour
- Rough Diamond
- David Sanborn
- Michael Stanley
- Supertramp
- Uriah Heep
**SINGLES:**
- Warrant
- Genesis
**SPECIAL PROGRAMMING:**
- King Biscuit
- Jazz Impressions
- Rock Around the World
- BBC Rock Hour
- Peter Gabriel
- Lisa at the Roxy
- Interview with Emerson Lake & Palmer (from D.I.R.)
- Interview
**NEWS/PUBLIC AFFAIRS:**
- Well folks...this is my last but not final ad in the Walrus sheet...I'm heading out to Los Angeles for a new and interesting edition to my life.
Kevin Clark, who has worked as an active reporter for WYDD's News Dept., will be taking my place in the sheets.
I would like to take this time to thank Danny Schechter of WMCN for all the help he has offered throughout my three years at WYDD...Also many thanks to John Gorman and Dan Garfinkel of WQED Cleveland...Bob Zurich of Island Records...Dan Kelley and Mark Wallace of Warner Bros. Records, and the number of artists and musical ties who have contributed to the workings of the Pittsburgh Journal and boosted its success...and, of course, all my wonderful friends and family at WYDD...I have never been good at goodbyes...so until we meet again in the Walrus sheet. And we will!!!
All my love...
Rhonda L. Gelman
News/Public Affairs Director
---
### Washington/Bethesda
**WHFS-FM**
**DAVE EINSTEIN**
**HEAVY AIRPLAY:**
- Hoyt Axton
- Gregg Allman
- Jaime Brockett
- Crosby/Stills/Nash
- Mink DeVille
- Sandy Denny
- Coon Elder
- Aretha Franklin
- Peter Frampton
- Geilee
- Al Jarreau
- Waylon Jennings
- Denny Laine
- Matteo
- Steve Miller
- Suzy & The Red Stripes
- Willie Nelson
- Outlaws
- Poco
- Ben Sidran
- 38 Special
- James Taylor
- Peter Gabriel
- Johnny Guitar Watson
- Johnny Winter
- Doc & Merle Watson
- Bob Marley/Wailers
- Neil Young
- Gary Burton
- Jeffrey Fredericks
- Southside Johnny/Jukes
- Danny O'Keefe
- NRBO
**MODERATE AIRPLAY:**
- William Ackerman
- Kevin Ayers
- Attakus
- Capt. Beyond
- Beatles
- Balcones Fault
- Bobby Band
- Joan Baez
- Norton Buffalo
- Brand X
- Brecker Bros.
- Backwater
- Eric Burdon
- Breakfast Special
- Alvin Crow
- Vassar Clements
- Burton Cummings
- Dirty Tricks
- I'llards
- Nick Drake
- Roger Daltrey
- Graeme Edge Band
- Robben Ford
- David Grisman
- Horslips
- Illusion
- Isley Bros.
- Bros. Johnson
- Mud Acres
- Modern Lovers
---
## RADIO
(PLUS (+) INDICATES AUDIENCE REACTION & ASTERISK (*) INDICATES NEW ADDITION)
### NORTHEAST
**Wash/Bethesda Continued...**
**WHFS-FM**
- Laura Nyro
- Alan Parsons Project
- Rough Diamond
- Red, White & Bluegrass
- Steelye Span
- Star Wars - Sntrk.
- Ultravox
- Rusty Wier
- Tim Eyerman
- Raul de Souza
- Keith Jarrett
- Pat Metheny
- Flora Purim
- Kevin Ayers
- Harriett Hancock
- Steve Kuhn
- Earl Klugh
- Dollar Brand
- Clover
- 10cc
- Dixie Dregs
**SINGLES:**
- Suzy & The Red Stripes
**SPECIAL PROGRAMMING:**
- In the Studio:
- Supertramp
- John Martyn
- NRBO
- Brand X
- John Fahey
- Powerhouse
- Panama Red
**IMPORTS:**
- Sam & Denny
- Steelye Span
---
**WASHINGTON, D.C., WLMDF-FM BOB SHOWACRE**
**HEAVY AIRPLAY:**
- Fleetwood Mac
- Eagles
- Jimmy Buffett
- Atlanta Rhythm Section
- Marshall Tucker Band
- Rick Coolidge
- Dickey Betts
- Little Feat
- Steve Miller
- The Band
- Bonnie Raitt
- Waylon Jennings
- Heart
- Jerry Jeff Walker
- Focus
- Jesse Winchester
- Outlaws
- Dillard/Hartford/Dillard
- Neil Young
- Doc & Merle Watson
- Crosby/Stills/Nash
- James Taylor
- Linda Ronstadt
**MODERATE AIRPLAY:**
- Norton Buffalo
- Kenny Loggins
- Beatles
- Walter Egan
- Jesse Colin Young
- Dave Mason
- Hoyt Axton
- Kris Kristofferson
- Van Morrison
- Moody Blues
- Dan Fogelberg
- Alvin Crow
- John Martyn
- Nick Drake
- Eric Andersen
- Starland Vocal Band
- NRBO
- Vassar Clements Band
- Gregg Allman
- Danny Kirwan
- Gary Burton
- Roy Ayers
- American Flyer
- Peter Frampton
- Eddie Fabbitt
- Roger Balfrey
- Horslips
- Fool's Gold
- Country Gazette
---
**WASHINGTON, D.C., Com't., WLMDF-FM**
- Little River Band
- Eastern Heritage
- No Cash...
**SPECIAL PROGRAMMING:**
- Recorded Live:
- Panama Red
- IMPORTS:
- Albion Dance Band
- The Prospect Before
---
**MONTREAL**
**CHOM-FM M. J. THERIAULT**
**HEAVY AIRPLAY:**
- Peter Frampton
- Cat Stevens
- Charlie
- Steve Miller
- Stranglers
- Elliott Murphy
- Bob Marley/Wailers
- Metro
- Foreigner
- Fleetwood Mac
- Alice Cooper
- Television
- 10cc
- Supertramp
- Dave Mason
**MODERATE AIRPLAY:**
- O'Jays
- Poco
- Dan Fogelberg
- Walter Egan
- Garland Jeffreys
- Heart
- Little Feat
- Pat Travers
**SINGLES:**
- Suzy & The Red Stripes
- Jim Capaldi
- "Talkin' 'Bout My Baby"
---
**LEWISTON/PORTLAND, ME**
**WBLM-FM JOSE DIAZ/ STEVE THIBODEAU**
**HEAVY AIRPLAY:**
- Little River Band
- Crosby, Stills & Nash
- Heart
- Greg Kihn
- *Allman
- Jesse Winchester
- Danny O'Keefe
- *Horslips
- Peter Frampton
- Dan Fogelberg
**MODERATE AIRPLAY:**
- Steve Miller
- Joan Baez
- Neil Young
- Cat Stevens
- *James Taylor
- Flora Purim
- Roger Daltrey
- Leon & Harvey Russell
- David Grisman
- Cliff Richard
- Pat Metheny
- Amazing Rhythm Aces
- Laura Nyro
**SINGLES:**
- Carly Simon
**IMPORTS:**
- Genesis - EP
---
**BINGHAMTON, N.Y.**
**WENE GARY ALLEN**
**HEAVY AIRPLAY:**
- *+Crosby, Stills & Nash
- *+Neil Young
- *+Cat Stevens
- *Laura Nyro
- *James Taylor
- *Roger Daltrey
- *+Alan Parsons Project
- **A Bush of Stiffs (imp.)
- *Peter Frampton
- *+BobbiDazzler
- *Illusion
- *+Jesse Winchester
- *Jess Roden Band
**MODERATE AIRPLAY:**
- *Omaha Sheriff
- *Fierce Arrow
- *Joan Baez
- *Nutz
- *+Rick Derringer
- *+Dixie Dregs
- *Grammax
- *Charlie
- *Dave Edmunds
**SINGLES:**
- **Steve Winwood
**IMPORTS:**
- **Elvis Costello
- *Nick Lowe
---
**NEW YORK, N.Y.**
**WNYU-FM CHRIS LONG**
**HEAVY AIRPLAY:**
- *American Flyer
- *Crosby, Stills & Nash
- *The Band - Sntrk.
- *Roger Daltrey
- *Emerson, Lake&Palmer
- *Fools Gold
- Peter Frampton
- Focus
- Genesis - EP
- *Graeme Edge Band
- *Geils
- Heart
- Bill Joel - Live
- Denny Laine/
- Paul McCartney
- *Lake
- Little Feat
- Little River Band
- *Jonathan Richman
- Mink DeVille
- *Alan Parsons
- *Fierce Arrow
- PFM
- Supertramp
- *James Taylor
- Bob Marley & Wailers
---
**BRIDGEPORT/DANBURY, CONN.**
**WRKI 1-95 JAY FINK**
**HEAVY AIRPLAY:**
- +++Steve Miller
- ++++Peter Frampton
- Foreigner
- *James Taylor
- *Cat Stevens
- *Crosby, Stills & Nash
- +Fleetwood Mac
**MODERATE AIRPLAY:**
- +Ted Nugent
- Eagles
---
**WRKI Continued...**
- ++Dan Fogelberg
- Heart
- *+Neil Young
- *UFO
- *Geils
- *Charlie
- *Little River Band
- *Kiss
- SINGLES:
- *Pablo Cruise
- *Rita Coolidge
- *Electric Light Orch.
- Jimmy Buffett
---
**TROY, N.Y.**
**WRPI LAWRENCE LOUCKA**
**HEAVY AIRPLAY:**
- *Horslips
- *Supertramp
- Outlaws
- Dickey Betts
- *Cat Stevens
- *Keith Jarrett
- Foreigner
- Al DiMeola
**MODERATE AIRPLAY:**
- *Brand X
- *Folger Theatre
- *Woodstock Mountains
- Peter Gabriel
- Focus
- Discords
- *Ian Garbarek
- *Illusion
- Laura Nyro
- McCoy Tyner
**SINGLES:**
- Crosby, Stills & Nash
**IMPORTS:**
- Genesis
---
**WASHINGTON, D.C.**
**WGTB-FM PROF. MOTA**
**HEAVY AIRPLAY:**
- ++Turner & Kirwan
- ++Pulsar
- +++Brand X
- +++Brian Ferry-Roxy Mus.
- *Alan Parsons Project
- *Kevin Coyne
- Coryell/Mouzon
- *Focus
**MODERATE AIRPLAY:**
- ++Happy the Man
- *Supertramp
- *Eloy
- *Asa Ra Temple
- Peter Hammill
- *New Trolls (Italian imp.)
- Adrian Wagner
- *Tim Eyerman (local)
- *Offenbach
- *Tangerine Dream
- Klaus Schulze
- Steelye Span
- Rainbow
- Mood Blues
- *Flora Purim
- *Scarlet Rivera
**IMPORTS:**
- Quantum Jump - Barracuda
## RADIO
(PLUS (+) INDICATES AUDIENCE REACTION & ASTERISK (*) INDICATES NEW ADDITION)
### NORTHEAST
#### BURLINGTON, VT.
**WRUV-FM**
**BILL BARTON**
- **HEAVY AIRPLAY:**
- Detective
- Dan Fogelberg
- David Grisman Quintet
- Steve Miller Band
- Don Cherry
- John Coltrane
- Robby Williamson
- *David Grisman
- Herbie Hancock
- **Al Jarreau
- *Bruce Springsteen
- *Don Pullen
- Bill Evans
- **J.A.T.P., in Tokyo
- **MODERATE AIRPLAY:**
- Captain Beyond
- Michael Katakis
- New Grass Revival
- Ed Bickert
- Son Seals
- *Carla Bley
- Phil Woods Six
- Bobby Naughton
- Outdoor Plumbing Band
- *Ben Shanon
- **SINGLES:**
- Tom T. Ecklick
- "Easy Country Feeling"
#### ALLENTOWN, PA.
**WSAN**
**RICK HARVEY**
- **HEAVY AIRPLAY:**
- **Supertamp
- Steve Miller
- Peter Frampton
- Cat Stevens
- 10cc
- Foreigner
- LeBlanc & Carr
- *Crosby, Stills & Nash
- Dan Fogelberg
- Pablo Cruise
- Little Feat
- Charlie
- **MODERATE AIRPLAY:**
- DeBarge
- Joan Baez
- Neil Young
- UFO
- *Kiss
- *Alan Parsons
- *Nazareth
- American Flyer
- Little River Band
- Greg Kihn
- Dictators
- Bob Marley & Wailers
- Ritchie Blackmore
#### PITTSBURGH, PA.
**WYEP-FM**
**DANIEL BARNETT**
- **HEAVY AIRPLAY:**
- *Madras Bros. & Rose
- Dom Cherry
- Little Roy Montgomery
- *Cat Stevens
- *McCoy Tyner
- *Opa
- *Dillard/Hartford-
- Dillard
- *Be De L'Roche
- Ray Pizzi
- Joe Turner
- *Pharoah Pass, R. Brown
- Artie Traum
- *David Grisman Quintet
- Earl Hooker
- Fred McDowell
- Muddy Slim
- **MODERATE AIRPLAY:**
- *Ornette Coleman
- Jessica Williams
- *Geils
- *Billie Holiday
### WYEP-FM Continued...
- New Grass Revival
- Guitar Player
- *Moroccan Roll
- Teresa Trull
- Clifton Chenier
### PRINCETON, N.J.
**WPRB-FM**
**GEORGE KORVAL**
- **HEAVY AIRPLAY:**
- Bob Marley & Wailers
- Dan Fogelberg
- John Lennon
- **MODERATE AIRPLAY:**
- Charlie
- Keith Jarrett
- Ornette Coleman
- *Pierce Arrow
- *Modern Lovers
- *Coryell/Mouson
- *Neil Peart
- Horslips
- Akiyoshi/Tabackin
- *Fools Gold
- Al Jarreau
- David Sanborn
- Dixie Dregs
- *Artie Traum!
- Bruce Foster
- *Donna Summer
- Aretha Franklin
- Jan Garbarek
- *Chico Hamilton
- Dictators
- *Carla Bley
- V. A./Summit Meeting
### NEW BRUNSWICK, N.J.
**WRSU-FM**
**IRV LIKIN**
- **HEAVY AIRPLAY:**
- James Taylor
- Greg Kihn
- *Dan Fogelberg
- *Knight & Johnson
- Turne & Kirwan
- *Crosby, Stills & Nash
- Lake
- American Flyer
- Geils
- *Roger Daltrey
- Ritchie Blackmore
- Horslips
- *Peter Frampton
- *Moody Blues
- *Bob Marley & Wailers
- **MODERATE AIRPLAY:**
- NRQB
- *Pat Travers
- *Cale Force
- Steve Miller
- Jerry Jeff Walker
- Danny Laine
- PFM
- Focus
- *Wizard
- Gregg Allman
- *Flaming Groovies
### BINGHAMTON, N.Y.
**WAAL-FM**
**STEVE BECKER**
- ****Crosby, Stills & Nash
- ****James Taylor
- ****Roger Daltrey
- ****Laura Nyro
- *Peter Frampton
- *Graeme Edge
- *Neil Young
- *Hans Zimmer
- *Dan Fogelberg
- *Charlie
- *Bob Marley & Wailers
- *Horslips
- *Steve Miller
- *Little Feat
- *10cc
- *Joan Baez
- *Gregg Allman
- *Pat Travers
- *Foreigner
### WAAL-FM Continued...
- **MODERATE AIRPLAY:**
- *Clover
- *Country Joe McDonald
- *Dixie Dregs
- **Kiss
- *Alan Parsons
- *The Section
### ITHACA, N.Y.
**WYBR-FM**
**ANDY DENEMARK**
- **HEAVY AIRPLAY:**
- Heart
- Illusion
- Fleetwood Mac
- Steve Miller
- Cat Stevens
- Peter Frampton
- Supertamp
- **Neil Young
- **Laura Nyro
- *Bob Marley & Wailers
- **MODERATE AIRPLAY:**
- *Lew London
- *Geils
- *Charlie
- *Bonnie Raitt
- The Tubes
- Greg Kihn
- *American Flyer
- Foreigner
- Van Morrison
- Dave Mason
- Jesse Winchester
- *Mink DeVille
- *Al Jarreau
- *Joan Baez
- *Roger Daltrey
### POUGHKEEPSIE, N.Y.
**WPDH-FM**
**RON NENNI**
- **HEAVY AIRPLAY:**
- **Pierce Arrow!!
- Peter Frampton
- **Geils
- *Bob Marley & Wailers
- *American Flyer
- *Clover!!
- *Crosby, Stills & Young
- *NRQB
- *Charlie
- Greg Kihn
- *Little River Band!
- *Neil Young
- *Don Airentading-Live
- *David Sanborn Band
- **MODERATE AIRPLAY:**
- *James Taylor
- Gregg Allman
- *Roger Daltrey
- *Dan Fogelberg
- *Roger Daltrey
- *10cc
- *Weststock Mountains
- *Roy Ayers
- *Strawbs
- *Crusaders
- *Laura Nyro
### ROCHESTER, N.Y.
**WMJC-FM**
**DOUG JAMES**
- **HEAVY AIRPLAY:**
- Cat Stevens
- Poco
- Little Feat
- Kenny Loggins
- Supertamp
- Bonnie Raitt
- *Bob Marley & Wailers
- Stephen Bishop
- Dan Fogelberg
- Crosby, Stills & Nash
- Al Jarreau
- James Taylor
- *Peter Frampton
- Geils
- Kiki Dee
- **MODERATE AIRPLAY:**
- Dave Mason
- *10cc
### WMJQ-FM Continued...
- Danny Kirwan
- Emerson, Lake & Palmer
- Jackson Browne
- Fleetwood Mac
- *Mac McNally
- *Charlie
- Little River Band
- Joan Baez
- American Flyer
### SYRACUSE, N.Y.
**WAER**
**BOB SHEPHERDSOHN**
- **HEAVY AIRPLAY:**
- *John Payne
- **Laura Nyro - Live
- *Alan Parsons Project!
- *Geils
- *Joan Baez
- *McCoy Tyner!
- *Heart
- *Crosby, Stills & Nash
- *Graeme Edge Band
- PFM
- *10cc
- *Bob Marley & Wailers
- Peter Frampton
- *Dan Fogelberg
- **MODERATE AIRPLAY:**
- Jess Roden Band (live)
- *Horizon
- *Earl Klugh
- *Roy Ayers
- *Artie Traum
- Ben Sidran
- Akiyoshi Tabackin
- Big Band (live)
- Milt Jackson (live)
- John Klemmer
- Assalam Aleikoum
- Africa
- *Eric Burdon/
Jimmy Witherspoon!
### NEW HAVEN, CONN.
**WYBC-FM**
**BILL CHRISTMAS/
DOUGLAS KEIGH**
- **HEAVY AIRPLAY:**
- David Sanborn
- Malm
- Roy Buchman
- Van Morrison
- *Little Feat
- Ben Sidran
- *Gong
- Ruben Brown Trio
- Dexter Gordon
- **David Grisman Quintet
- Jesse Winchester
- **MODERATE AIRPLAY:**
- Mink DeVille
- Meters
- Cat Stevens
- Persuasions
- Kate & Anna McGarrigle
- Leon & Mary Russell
- *McCoy Tyner
- Neil Young
- **Mysterious Flying Orch.
- Chico Hamilton
- Beach Boys
- *Opa
- *Jessica Williams
- Ronnie Spector
## SOUTH
### ATLANTA
**WRAS**
JOHN WYNN
**HEAVY AIRPLAY:**
Charlie
10cc
Michael Stanley Band
Neil Young
Jethro Tull
Kate/Anne McCarrigle
Dixie Dregs
Ian Matthews
Dan Fogelberg
Paul Kantner
Pousse-Tari Band
Joan Armatrading
Wet Willie
Peter Frampton
Lee Ritenour
Kingfish
Flame
Richard Terrance
Little Feat
Bruce Cockburn
David Grisman
A.R. Grisman
Dickey Betts
Huey Lewis
Dave Edmunds
Jess Roden
Jerry Jeff Walker
The Band
Steve Winwood
Al DiMeola
Gong
Baleena's Fault
Daryl Hall
Mallard
Garland Jeffreys
Ultravox
JTT Band
Tav斯on
Backwater
Mike Cross
UFO
Scarlet Rivera
LeBlanc & Carr
Alan Parsons Project
Crosby, Stills & Nash
Roger Daltry
Ron Coolidge
Johnson & Knight
Lake
MODERATE AIRPLAY:
Lena & Larry Russell
Grateful Dead Band
Procol Harum
Jesse Winchester
Sorrel Oyster
Romantic Saints
Bob Marley & Wailers
Kate/Anne McCarrigle
Michael Franks
Roy Buchanan
Illusion
Pecos
Robin Williamson
Flora Purim
Hallies
Kevin Ayers
New Grass Revival
Henry Gross
Eddie Brooks
The Tubes
Captain Beyond
Albert King
Frankie Miller
Jean Ritchie
Greg Kihn
Hoyt Axton
Bruce Foster
Ben Sidran
Fleetwood Mac
R.E. O' Speedwagon
Danny Humes
Demf School
Fringe Benefit
Outlaws
Jess & Colin Young
Roger McGuinn
Dave Mason
Southside Johnny/Jukes
Gregg Allman
Van Morrison
James Talley
Supertramp
### Atlanta Continued...
**WRAS**
Cat Stevens
Marshall Tucker Band
Peter Gabriel
Junghan Cain Band
Mickey Thomas
**SPECIAL PROGRAMMING:**
R.E.O. Speedwagon
Barry Miles & Co.,
Roy Ayers
Eric Gale
Lou Rawls
Bob James
Dexter Wansel
Lonnie Liston Smith
Brian Auger
Donald Eyrd
Steven Tyler
Idris Muhammad
Tower of Power
Brothers Johnson
Kool 'n' The Gang
Aretha Franklin
Taj Mahal
Isley Bros.
Billy Paul
Michael Henderson
Grover Washington Jr.
Carrie Lucas
**IMPORTS:**
Genesis (EP)
### TAMPA/ST. PETERSBURG
**WGSR**
MARK BELTAIRE/P.D.
STEVE HUNTINGTON/MD.
**HEAVY AIRPLAY:**
++Crosby, Stills & Nash
+James Taylor
Peter Frampton
Neil Young
Dan Fogelberg
Cult
Steve Miller
Cat Stevens
Geils
Bob Marley & Wailers
Peter Tosh
Kenny Loggins
Bonnie Raitt
Southside Johnny/Jukes
Van Morrison
Little River Band
Gregg Allman
Leon & Mary Russell
Tim Moore
Heart
Ted Nugent
Johnny Guitar Watson
Les Dudek
Little Feat
Jesse Winchester
Joan Baez
Jerry Jeff Walker
10cc
American Flyer
Isley Bros.
Poco
Kingfish
Walter Egan
Beach Boys
Brothers Johnson
Rita Coolidge
Al DiMeola
Supertramp
Lambego
Mama's Pride
Waylon Jennings
Sanford-Townsend Band
**MODERATE AIRPLAY:**
Eric Anderson
Beatles (both)
+Babyface
Brand X
Norton Buffalo
Greg Burton
Captain Beyond
Clover
Vassar Clements
Coyote/Mouzon
Crusaders
+Burton Cummings
+Roger Daltry
Dixie Dregs
+Dixie Dregs
Dictators
Fireisen Theatre
Focus
### TAMPA/St. Pete Continued...
**WGSR**
Bruce Foster
Daryl Gillespie
& Lalo Schifrin
Golden Earring
+Horslips
Hoodoo Rhythm Devils
Elton John
Keith Jarrett
Garland Jeffreys
Billy Joel
Bruce Johnston
Grace Khan
Danny Kirwan
John Klemmer
+Kiss
Robby Krieger
Denny Laine
Ronnie Laws
LeBlanc & Carr
+Mac McNally
+Maze
Meters
Pat Metheny
Frankie Miller
Mother's Finest
Michael Nesmith
Danny O'Keefe
+Alan Parsons Project
+Scarlet Rivera
Jess Roden Band
Ruby Turner
David Sanborn
Ben Sidran
+Star Wars - Sndtrk.
Ruby Starr
McCoy Tyner
Jimmy Webb
Wet Willie
**SINGLES:**
Ronnie Spector
Suzy & The Red Stripes
George Carlin
War
**SPECIAL PROGRAMMING:**
Sea Level recorded live at Bijou, Philadelphia.
**IMPORTS:**
Genesis - EP
**NEW IN PUBLIC AFFAIRS:**
Our News Czar Norm
Hale bites the matrimonial dust July 24. Lead story congratulates to the Hales.
**COMMENTS:**
Congratulations are also in order for Bill Bennett, upped to Columbia AOR by Bob S. And to Bobby Z., out to L.A. for the big gig at RSO/Island.
Recent promotions include a 1974 AMC Pace giveaway, our Friday Night at the Roddies, and a July 4th Rock 'n' Roll Cruise on the SS Tom Sawyer with Mama's Pride and Southern Exposure.
"The boss is in the studio! I have seen Bruce Springsteen's future and its name is rock & roll."
- Steve
### ORLANDO
**WORJ**
BILL McGATHY
**HEAVY AIRPLAY:**
++Crosby, Stills & Nash
Peter Frampton
Fleetwood Mac
+Joan Baez
+James Taylor
+Alan Parsons Project
+Foreigner
Cat Stevens
+Steve Miller Band
+Heart
+Gregg Allman
Eagles
10cc
Supertramp
Oaklawn
Dave Mason
Bonnie Raitt
Walter Egan
### Orlando Continued...
**WORJ**
**MODERATE AIRPLAY:**
+Roger Daltry
+Carlos
+Crusaders
Bob Marley & Wailers
John Klemmer
American Flyer
UFO
Neil Young
Little River Band
Ted Nugent
**SPECIAL PROGRAMMING:**
Vassar Clements interview.
### MIAMI
**ZETA 4**
**DAVID SOUSA**
**HEAVY AIRPLAY:**
Gregg Allman
Bad Co.
Crosby, Stills & Nash
Dan Fogelberg
Peter Frampton
Little River Band
Little Feat
Kenny Loggins
Steve Miller
Dave Mason
Heart
Cat Stevens
James Taylor
Jesse Winchester
**MODERATE AIRPLAY:**
Roy Buchanan
Charlie
Rita Coolidge
Detective
Dixie Dregs
Kiki Dee
Les Dudek
Dave Edmunds
Geils
Brothers Johnson
Bob Marley & Wailers
Moody Blues
Van Morrison
Mother's Finest
Ted Nugent
Oaklawn
Poco
Pierce Arrow
Kenny Rankin
Rough Diamond
Sammy Hagar
Michael Stanley
Supertramp
10cc
Peter Tosh
Micky Thomas
UFO
Neil Young
+Roger Daltry
+Clover
+Alissa Manchester
+Alan Parsons Project
### JACKSONVILLE
**WAIV**
**BRENT ALBERTS**
**HEAVY AIRPLAY:**
+Fleetwood Mac
+Jimmy Buffett
+Steve Miller
Foreigner
Little River Band
+++Boston
Cat Stevens
+Peter Frampton
++++Pat Travers
Red Hot Chili Peppers
Atlanta Rhythm Section
Kenny Loggins
+Gregg Allman
+Heart
Les Dudek
+Dan Fogelberg
**MODERATE AIRPLAY:**
R. E. O. Speedwagon-Live
Bad Co.
Poco
Emerson, Lake&Palmer
Dickey Betts
## SOUTH
**Jacksonville Continued... WAIV**
- Little Feat
- **Jethro Tull**
- Dictators
- Neil Young
- Mahogany Rush
- Winters Bros.
- Uriah Heep
- Detectives
- Rita Coolidge
- Michael Stanley
- Roger Daltrey
- Crosby, Stills & Nash
- Kiss
- Lakes
- Pierce Arrow
- Ritchie Blackmore
- Burton Cummings
- Randy Geyer
- Orman Sheriff
- Alan Parsons
- Clover
- Bill Summers
- SHAGGS
- Deseretnews
- Electric Light Orch.
- James Taylor
**COMMENTS:**
- New lineup at WAIV - Jacksonville:
- 6-10a.m. Danny Quilter
- 10-2p.m. Brent Alberts/M.D.
- 2-4 p.m. Jim Knight
- 4-7p.m. Steve Douglas/PD
- 7-Mid. Charlie Brown
- Mid. - Steve Douglas
---
## NEW ORLEANS
**WRNO**
**MIKE COSTELLO/P.D.**
**TOM OWENS/M.D.**
**HEAVY AIRPLAY:**
- James Taylor
- Bad Co.
- Atlanta Rhythm Section
- Bob Seger
- Peter Frampton
- Crosby, Stills & Nash
- Dave Mason
- Foreigner
- Jimmy Buffett
- Clifton Blues Band
**MODERATE AIRPLAY:**
- Roger Daltrey
- Gregg Allman
- Bonnie Raitt
- Masters
- Boston
- Liz Evans
- Klaus
- Electric Light Orch.
- Marshall Tucker
- Moody Blues, Lizzy
- Emerson, Lake&Palmer
- Little River Band
- Santana
- Al Stewart
- Geils
- Heart
- Detective
- Kinks
- George Allan
- Rockin' - Snatchr.
**LIGHT AIRPLAY:**
- Jesse Winchester
- Al Jarreau
- Kiss
- Charlie
- Little Feat
- Poco
- Jerry Jeff Walker
- UFO
- Mink DeVille
- Outlaws
- Mac McAnally
- Bob Marley & Wailers
- Neil Young
- Dickey Betts
**SINGLES:**
- Rita Coolidge
- Rufus
- Eagles
---
## NEW ORLEANS Continued...
**WRNO**
- Hall & Oates
- Alice Cooper
- Pibby & Reese
- James Taylor
- Clifton Blues Band
- Bob Seger
- Steve Miller
- Crosby, Stills & Nash
- Marshall Tucker
- Jimmy Buffett
- Andrew Gold
- Atlanta Rhythm Section
- 10cc
- Peter Frampton
- Forsinger
- Fleetwood Mac
---
## DALLAS/FT. WORTH Continued
**KFWD-FM**
- Heart
- Fleetwood Mac
- Kenny Loggins
- Dan Fogelberg
- Ted Nugent
- Crosby/Stills/Nash
- Cat Stevens
- Brothers Johnson
- Joan Baez
- Gregg Allman
- Alan Parsons Project
- Star Wars - Sntrk.
- Little River Band
- LeCroy
- Mary Russell
- Alice Cooper
- Kiss
- Pablo Cruise
**MODERATE AIRPLAY:**
- Al DiMeola
- Mahogany Rush
- Poco
- Outlaws
- UFO
- Focsa
- Pat Travers
- Neil Young
- Roy Buchanan
- Geils
- Section
- Roger Daltrey
- Rainbow
- Return To Forever
- Supertramp
- Sea Level
- Ronnie Laws
- John Klemmer
- Graeme Edge Band
- Crusaders
- Noel Pointer
- Mysterious Flying Orch.
- Al Jarreau
- Alexi
- Steve Winwood
- Johnny Winter
- Strawbs
- Les Dudek
- Little River Band
- Dave Mason
- Poco
- Dixie Dregs
- Jesse Winchester
- Roy Buchanan
- LeBlanc & Carr
- Bonnie Raitt
- Charlie
- Jerry Jeff Walker
- Bette Midler
- Bob Marley/Wailers
- Mink DeVille
- Pat Travers
- American Flyer
- Mac McAnally
- LeCroy
- Mary Russell
- Billy Joel
- Al Jarreau
- Ben Sidran
**SINGLES:**
- Suzy & The Red Stripes
- Mink DeVille
- Jimmy Webb
**COMMENTS:**
- Sent to those whose calls I did not return last week. Copy and traffic were both on vacation so I was handling three jobs.
- We had a benefit concert for the Children Saturday June 11 with the Winters Bros., Blue Jug, Mac Gayden, and Snow Blind. Richie Havens also made an appearance since he was in town at the Exit/In. Schlitz was the co-sponsor, and we raised more than $5,000. Thanks to everyone who helped.
---
## ORLANDO, FLA.
**WHLY-FM (Y-106)**
**HANNA**
**HEAVY AIRPLAY:**
- Cat Stevens
- George Benson
- Leon & Mary Russell
- David Dundas!!
- Heart
- Steve Miller
- Fleetwood Mac
- Brothers Johnson
- Neil Young
- Dan Fogelberg
- Bob Marley & Wailers
**MODERATE AIRPLAY:**
- Crusaders
- Starland Vocal Band
- Carole Bayer Sager
- Bonnie Raitt
- Ben Sidran
- Clover
- Bonnie Tyler
- Illusion
- Bob S. Humphrey
- John Klemmer
**SINGLES:**
- Waylon Jennings
- Atlanta Rhythm Section
- Commodores
- James Taylor
- Peter Frampton
---
## GAINESVILLE, FLA.
**WGVL-FM**
**LEE ARNOLD**
**HEAVY AIRPLAY:**
- +++Fleetwood Mac
- +++Dan Fogelberg
- +++Neil Young
- +++Heart
- ++Cat Stevens
- +++Crosby, Stills & Nash
- +++Peter Frampton
- +++Steve Miller
- +++Jimmy Buffett
- +++Pablo Cruise
- +++Dave Mason
- ++Geils
- ++James Taylor
- ++Roger Daltrey
- ++Burton Cummings
- ++Mac McAnally
**MODERATE AIRPLAY:**
- ++Clover
- ++Mink DeVille
- ++Pat Travers
- ++Roy Ayers
- ++George Benson
- ++G. Kihn
- ++Bobbiddler
- ++Graeme Edge Band
- ++Lake
- ++Babyface
---
## AUSTIN, TEX.
**KOKE-FM**
**JOE GRACEY/P.D.**
**CAROLYN ALLEN/M.D.**
**HEAVY AIRPLAY:**
- Geils
- ++Crosby, Stills & Nash
- ++Bob Marley & Wailers
- ++Alvin Crow
- Peter Frampton
- Dickey Betts
- +George Benson
- ++Jerry Jeff Walker
- +++Little Feat
- Steve Miller
- Heart
**MODERATE AIRPLAY:**
- ++Willie Nelson
- ++Burton Cummings
- Rusty Wier
- ++Alconco Fault
- Greg Allman
- Waylon Jennings
- Wet Willie
- ++Clifton Chenier
- Jesse Winchester
- +Tomes Van Zandt
- Neil Young
- Ben Sidran
**SINGLES:**
- Ram Jam
- ZZ Top
## MIDWEST
### MINNEAPOLIS
**KQRS**
**JIM LARKIN**
**HEAVY AIRPLAY:**
- Steve Miller Band
- Gregg Allman
- Neil Young
- Leon & Mary Russell
- Peter Frampton
- Geils
- Lynyrd Skynyrd
- James Taylor
- Crosby, Stills & Nash
- Steve Winwood
**NEW ADDS:**
- Johnny Winter
- Ted Nugent
- Roger Daltrey
- Melissa Manchester
- Pat Travers
### CHICAGO
**WXRRT**
**HARVE WELLS**
**HEAVY AIRPLAY:**
- Crosby, Stills & Nash
- Little Feat
- Heart
- Supertramp
- Steve Miller
- Dan Fogelberg
- 10cc
- Neil Young
- Peter Frampton
- Ted Nugent
- Kenny Loggins
- Cat Stevens
- Bonnie Raitt
- Dave Mason
- Foreigner
- Charlie
- Bryan Ferry
- Burton Cummings
- R.E. O. Speedwagon
- Atlanta Rhythm Section
- Pink Floyd
**MODERATE AIRPLAY:**
- Weather Report
- Emerson, Lake&Palmer
- Al DiMeola
- Isley Bros.
- Dickey Betts
- Patti Smith
- Les Dudek
- Southside Johnny/Jukes
- Van Morrison
- UFO
- Bob Marley & Wailers
- Greg Kihn
- Beatles
- Moody Blues
- Jesse Winchester
- Ramsey Lewis
- Kingfish
- Frankie Miller
- Ronnie Laws
- Outlaws
- Gregg Allman
- Jonathan Cain
- Leon Russell
- Mink DeVille
- John Klemmer
- Meiers
- Gail
- Earth Quake
- Joan Baez
- Little River Band
- Laura Nyro
- Ritchie Blackmore
- Roger Daltrey
- James Taylor
- Alan Parsons Project
- Don Suggs
- Stevie Wonder
- Bad Company
- John Tull
**SINGLES:**
- Sazy & The Red Stripes
- Ronnie Spector
- Genesis
- Barones
- Ram Jam
- Ry Cooder
---
**Chicago Continued...**
**WXRRT**
**SPECIAL PROGRAMMING:**
Our feature on Chicago "punk" rock June 16th went extremely well. Lots of good reaction with music from past and present artists featured. Also interviews with members of old Chicago groups that have since gone to rock'n'roll heaven. It's amazing, however, to find out how many of them are still playing music today.
**IMPORTS:**
- 801
- Secret Oyster
- Stiff
- David Coverdale
- Goldmine
- Turner & Kirwan
**NEWS & PUBLIC AFFAIRS:**
C.D. Jaco is on assignment in Havana, Cuba. As special set of reports, analyzing changing Cuban-American relations, will be available to all. Jaco is accompanying a group of Americans from more western businesses seeking to encourage trade agreements with Cuba as relations normalize. He has also reported on current political, economic and social conditions there. Call Jaco or Dan Brill at 312-777-1700.
**COMMERCIAL:**
- New Jack Line-Up:
- 6-10am Scott McConnell
- 10-lpm John "Illinois" Bell (Prod. Dir.)
- 1-5pm John Flaherty (P.D.)
- 4-7pm Harve Wells (M.D.)
- 7-11pm Bob Gelsomino
(from overnight)
- 11-2am Tom Hemmeter
- 2-6am Bob Sklar
(from weekends)
Weekends: Shel Lostig(from WJKL), Leslie Witt, Seth Gordon
July 1st WXRRT involved in a very special jazz show featuring Herbie Hancock's VSOP and also John Klemmer. I was very excited about that. Almost as much as having two first place baseball teams - which reminds me, the Cubs are on now... Later
---
**CHICAGO**
**TRIAD**
**RICK BROWN**
**HEAVY AIRPLAY:**
- Blackmore's Rainbow
- Pat Travers
- UFO
- R.E. O. Speedwagon
- Rubinos
- Earth Quake
- Ted Nugent
- Dictators
- Status Quo
- Mink DeVille
- Television
- Hollywood Stars
- Southside Johnny/Jukes
- Alexis
- Roger Daltrey
- Jonathan Richman
**MODERATE AIRPLAY:**
- Detective
- Billion Dollar Babies
- Heart
- Roni Diamond
- Les Dudek
- Foreigner
- Brownsville Station
- Steve Miller
- Sweet
- Captain Beyond
- Peter Frampton
- Paice-Ashton-Lord
---
**Chicago Continued...**
**TRIAD**
Alice Cooper
Beattles
Roy Buchanan
Little River Band
Tubes
American Tears
Geils
Horslips
Moxxy
Jerry Jeff Walker
Graeme Edge Band
Strapps
38 Special
Judas Priest
Balances Fault
Focus
Lake
Greg Kihn
Trooper
Outlaws
Tiger
Nuttz
Alan Parsons Project
Burton Cummings
Bleakie Chaplin
Kiss
Robert Gordon
Reggie Knighton
Daryl Hall
Sex Pistols (import)
Ramones
Stax
Ram Jam
Ronnie Spector
Genesis (EP)
Deaf School (EP)
**SPECIAL PROGRAMMING:**
A great interview with The Ramones in a downtown Chicago apartment, very suitable for This Weekes. Running the tape twice in collaboration with their 2 suburban Chicago appearances.
**COMMENTS:**
An historic 3 day event known as the first annual Chicago punk-o-rama was held 6/24-26, and it was truly a great experience for people, both "in crowd" and media. Many writers from national magazines (Time) to local papers (Tribuno, Sun Times) came by on more than one night. A Sex Pistols short was shown, also a film "The Legendary Punk" was shown together Friday & Saturday. In between such events as a fashion show, a bar-b-q, and booth presentations, was dancing to new wave acts, and their reaction to certain records is interesting to watch. Sunday, local bands Sunday Summit and B.B. Spin impressed me about everyone as punks from Chicago. An event many will remember and will be marked as the launching off for new wave groups in Chicago. By the way, this all happened in a small club, "La Mere Vipere" located in the city.
You may have noticed the new name associated with TRIAD: Rick Brown. After 8 years of being P. D., and never a single air-shift, Paul Smitty has decided to retire from broadcasting, but not the music biz. He'll be doing photography for WD Musician as well as some serious relaxing. Any long time friends can reach Saul at (312) 787-7106 or at TRIAD.
Rob Gillis, G.M.
Thanks, Rob, it's nice to be here in the market with the greatest radio and record people, things are and are going to happen here with us and the whole market. Keep an eye on TRIAD, Rick Brown, P. D.
---
**ST. LOUIS**
**KSHE**
**TED HABECK**
**HEAVY AIRPLAY:**
- Geils
- Fools Gold
- Burton Cummings
- Crosby, Stills & Nash
- Kiss
- Roger Daltrey
- Steve Miller
- Fleetwood Mac
- Eagles
- Dav Mason
- Marshall Tucker
- Bonnie Raitt
- Foreigner
- Cat Stevens
- Bob Seger
- Heart
- Peter Frampton
- Bad Co.
- Ted Nugent
- Russ Wier
- Neil Young
- Little River Band
- Trooper
- Roy Buchanan
- Outlaws
- Kingfish
- Status Quo
- Moody Blues
- UFO
- Moxxy
- Gregg Allman
- Judas Priest
- Cali Force
- Charlie
- Poco
- Widowmaker
- Alice Cooper
- Golden Earring
- Little Feat
- Detective
- Frankie Miller
- Brownsville Station
- 10cc
- Dickey Betts
- Uriah Heep
- Supertramp
- 38 Special
- Roni Diamond
- Les Dudek
- Michael Stanley
- Head East
- Pink Floyd
- Chillchuck
- R. E. O. Speedwagon
- Justin Hayward
- Flams
**MODERATE AIRPLAY:**
- Graeme Edge Band
- Clover
- Richie Blackmore
- Mink DeVille
- Snap
- Southside Johnny/Jukes
- Joan Baez
- Earth Quake
- Lake
- Pat Travers
- Captain Beyond
- Paice-Ashton-Lord
- Dan Fogelberg
- Mama & Pride
- Kenny Loggins
- Sons of Champlin
- Bonnie Raitt
- Procol Harum
- Steve Gibbons
- Peter Gabriel
- Steve Hunter
**SINGLES:**
- Alice Cooper
- Graham Parker
- Status Quo
- Ram Jam
- Crosby, Stills & Nash
- James Taylor
**COMMENTS:**
A big "thank you" to Brownsville Station and Continued...
## MIDWEST
**St. Louis Continued...**
KSHE
crew - Sons of Champlin & crew - Cheryl Dilcher & crew and anyone who was contacted in any way with our "question 17" show last week at Keil Auditorium. We look forward to working with you again in the future.
K-SHE Radio
### KANSAS CITY
KY102
**MAX FLOYD**
**HEAVY AIRPLAY:**
- #8, E.C., Speedwagon
- Dave Loggins
- Ted Nugent
- Peter Frampton
- Steve Miller
- Dan Fogelberg
- Crosby, Stills & Nash
- 10cc
- James Taylor
- Little River Band
- Cat Stevens
- Alan Parsons Project
- Kiss
**MODERATE AIRPLAY:**
- Brownsville Station
- Poco
- Charlie
- Outlaws
- Flame
- Billy Joel
- Pat Travers
- Graeme Edge
- Horslips
- Greg Kihn
- Lake
**SINGLES:**
- Ram Jam
**IMPORTS:**
- Genesis
### CLEVELAND
WMMS
**SHELLEY STILE**
**HEAVY AIRPLAY:**
- Geils
- Peter Frampton
- Fleetwood Mac
- Steve Miller Band
- Mink DeVille
- Southside Johnny/Jukes
- Foreigner
- Ted Nugent
- Roger Daltrey
- Neil Young
- Crosby, Stills & Nash
- Kiss
- Pablo Cruise
- UFO
- Walter Egan
- Detective
- Dave Mason
- Rubinoos
- Frankie Miller
- Heart
- Dictators
- Dan Fogelberg
- Bre'elles
- Brother Johnson
- Cat Stevens
- Rough Diamond
- Emerson, Lake&Palmer
- Earth Quake
- Andrew Gold
### Cleveland Continued...
WMMS
**MODERATE AIRPLAY:**
- Lake
- Hollies
- Eagles
- Little Feat
- Gregg Allman
- Juke Bros.
- Outlaws
- Q
- Burton Cummings
- Bad Co.
- Greg Kihn
- Susi Quatro
- Bob Marley & Wailers
- Michael Stanley Band
**SINGLES:**
- Hals Cates
- Chilliwack
- Garland Jeffreys
- Aerosmith
- Doug Friedman
- David Sanborn
- Graham Parker
- Suzy & The Red Stripes
- R.E.M., Speedwagon
**COMMENT:**
Once again we pulled off a successful 101 concert with Mink DeVille where we had over 3500 and 100 folks. Also this week I got a first hand glimpse at what a true to life recording session is like. Kenny Loggins & Brad came by to tape a coffee break interview, and we set up and did sound checks for well over 3 hours but it was all well worth the effort, the band is just incredible & believe that is you would like a copy to run on your station you can call up Pilot and hassle him!!! This weekend is the 2nd game of the world series of rock down at the stadium, and its already sold out!!! 88,000 !!! Imagine that will be Pink Floyd's attendance record for this tour.
On Sunday we'll be playing wiffle ball (can ya hurt, ya can) with Rough Diamond vs. some luck, winner and their team, I expect a real comedy of errors. The contest is hot in this area, anything for the summer, I wonder is it the same all over? Should continue to be the great summer we expected so stop by if you're in the area.
Shelley Stile
### ROCKFORD, ILL.
**Y 95**
**BRAD HOFFMAN**
**HEAVY AIRPLAY:**
- Fleetwood Mac
- Boston
- Eagles
- Climax Blues Band
- Peter Frampton
- Ted Nugent
- Foreigner
- Emerson, Lake&Palmer
- Steve Miller
- Dan Fogelberg
- Alan Parsons
- James Taylor
- Crosby, Stills & Nash
**MODERATE AIRPLAY:**
- Little Feat
- Heart
- Atlanta Rhythm Section
- Marshall Tucker
### Y 95 Continued...
Outlaws
Bad Co.
Weather Report
Supertramp
Dickey Betts
SINGLES:
Rita Coolidge
James Taylor
Crosby, Stills & Nash
### MADISON, WISC.
WIBA-FM
**PETER BOLGER/M.D.**
**HEAVY AIRPLAY:**
- Dan Fogelberg
- Al Jarreau
- Little Feat
- Gregg Allman Band
- Steve Miller Band
- Bruce Cockburn
- Laura Nyro
- Southside Johnny
- Heart
- Supertramp
- Ben Sidran
- Paul Simon
**MODERATE AIRPLAY:**
- Peter Frampton
- Crosby, Stills & Nash
- Roger Daltrey
- Leon & Gary Russell
- Bob Marley & Wailers
- Pink Floyd
- Eagles
- Moody Blues
- Les Dudek
- Bonnie Raitt
- John Klemmer
- Poco
- Alan Parsons Project
### MADISON, WISC.
WORT-FM
**JERRY ZEIGER**
**HEAVY AIRPLAY:**
- David Gilmour
- Doobie & Jean Carn
**MODERATE AIRPLAY:**
- Pat Metheny
- Bob Marley & Wailers
- David Friesen
- Jeremy Steig
**ADDS:**
- The Awakening
- Four Giants of Swing (for Flying Fish)
- Egberto Gismonti
- Chico Hamilton
- Bill Evans
- Neil Young
- Southside Johnny/Jukes
- Candi Staton
- Dollar Brand
- Waters
- The Section
- Peter Alsop
- Danny O'Keefe
- Gary Burton
- Richard Pryor
- Don Cherry
- McCoy Tyner
- Joe Turner
- Jo Jones
### LINCOLN, NEBR.
KFMQ
**RICH MEYER**
**HEAVY AIRPLAY:**
- **Crosby, Stills & Nash
- Eagles
- Dan Fogelberg
- Heart
- Marshall Tucker
- Bad Co.
- Fleetwood Mac
- Foreigner
- Kenny Loggins
- Steve Miller
- Peter Frampton
**MODERATE AIRPLAY:**
- Gregg Allman
### KFMQ Continued...
+Ted Nugent
Dave Mason
*Little River Band
Outlaws
+Neil Young
Chilliwack
Little Feat
Poco
Cat Stevens
Graeme Edge Band
Bonnie Raitt
Rita Coolidge
+Fools Gold
### OMAHA, NEBR.
KQ98
**BARRY TAFT**
**HEAVY AIRPLAY:**
- Burton Cummings
- Fools Gold
- Roger Daltrey
- Crosby, Stills & Nash
- Alan Parsons Project
- James Taylor
- Fleetwood Mac
- Eagles
- Steve Miller Band
- Heart
- Gregg Allman Band
- Peter Frampton
- Dan Fogelberg
- Outlaws
- Jerry Jeff Walker
- Cat Stevens
- Little Feat
- Neil Young
- Brother Johnson
- Ted Nugent
**MODERATE AIRPLAY:**
- Jessi Colter
- The Section
- Pat Travers
- Lake
- Omaha Sheriff
### MENOMEE FALLS, WISC.
WZMF
**DON ROCKWELL**
**HEAVY AIRPLAY:**
- Steve Miller
- UFO
- Foreigner
- Heart
- Cat Stevens
- Charlie
- Ted Nugent
- Little River Band
- Poco
- Marshall Tucker Band
- Chilliwack
- Ruby Starr
- Wildwater
**MODERATE AIRPLAY:**
- 38 Special
- Bad Co.
- Crosby, Stills & Nash
- Greg Kihn
- Kiss
- Fools Gold
- LeBlanc Carr
- Mink DeVille
- Fringe Benefit
- Geils
- Roger Daltrey
- Alan Parsons
## Midwest
### Akron, Ohio
- WKDD-FM
- Greg Gillispie
- Heavy Airplay:
+ Steve Miller
+ Peter Frampton
+ Cat Stevens
+ Little Feat
+ Bob Seger
+ Fleetwood Mac
+ Dan Mason
+ Stars
+ Southside Johnny
+ Jethro Tull
+ Heart
+ Foreigner
+ Neil Young
+ Geils
+ Bad Company
+ Ted Nugent
+ Mink Deville
- New Adds:
+ Burton Cummings
+ James Taylor
+ Kiss
+ Joan Baez
+ Alan Parsons
+ Illusion
+ Leon & Mary Russell
### Dayton, Ohio
- WVUD-FM
- Dave Luczak/M.D.
### Columbus, Ohio
- WCOL-FM
- Guy Evans
- Heavy Airplay:
+ AC/DC
+ Derringer - Live
+ Nutz
+ Heart
+ Neil Young
+ Crosby, Stills & Nash
+ Geils
+ Peter Frampton
+ Detective
+ Cat Stevens
+ Foreigner
+ Emerson, Lake&Palmer
+ James Taylor
+ Frankie Miller
+ Dan Fogelberg
- Moderate Airplay:
+ The Tubes
+ Dixies
+ Alan Parsons
+ Charlie
+ Roger Daltry
+ Little River Band
+ Ruby
### Ann Arbor, Mich.
- WIGB-FM
- John Giese/Neil Lasher
- Heavy Airplay:
+ Crosby, Stills & Nash
+ Peter Frampton
+ Weather Report
+ Van Morrison
+ Jesse Winchester
+ Dan Fogelberg
+ Steve Miller
+ Los Dudes
+ Little Feat
+ Bob Marley & Wailers
+ Roy Buchanan
- Moderate Airplay:
+ Outlaws
+ Ben Sidran
+ Poco
+ Pablo Cruise
+ Fleetwood Mac
+ Bonnie Raitt
+ Kenny Loggins
+ Cat Stevens
+ Neil Young
+ Beatles (Capitol)
+ David Sanborn
+ David Liebman
+ Al DiMeola
+ Ronnie Laws
### Urbana/Champaign, Ill.
- WPGU-FM
- Dean Moss/Tom Miller
- Heavy Airplay:
+++ Crosby, Stills & Nash
+++ Dan Fogelberg
+++ Little Feat
+++ Outlaws
+ Graeme Edge Band
+ Steve Miller Band
+ 10cc
+ American Flyer
+ Gregg Allman
+ Little River Band
+ Falcon, Aston, Lord
+ Joan Baez
+ Peter Frampton
- Moderate Airplay:
+ Geils
+ Jonathan Cain Band
+ Heart
+ Danny Kirwan
+ Danny O'Keefe
+ UFO
+ Moody Blues
+ Ted Nugent
+ David Bradstreet (imp.)
++ Horslips
+ Golden Earring
+ Wet Willie - Live
### Highland Park, Ill.
- WVVK-FM
- Ron Friedman
- Heavy Airplay:
+ Ted Nugent
+ Gregg Allman
+ Roy Buchanan
+ Steve Miller
+ Charlie
+ Spazzler
+ Ian Matthews
+ Little Feat
+ Widowmaker
+ Moody Blues
+ Keith Jarrett
- Moderate Airplay:
+ Billion Dollar Babies
+ Jamie Schaffer
+ Judas Priest
+ Ultravox!
+ Detective
+ Michael Stanley
+ Moody Blues
+ Airto
+ Vassar Clements
+ The Tubes
## West
### San Diego
- KGB-FM
- Steve Capan
- Alan Parsons Project
- Alice Cooper
- Andrew Gold
- Atlanta Rhythm Section
- Attitudes
- Barry Streisand
- Barry Manilow
- Bette Midler
- Wailers
- Bonnie Raitt
- Brand X
- Cat Stevens
- Charlie
- Crosby/Stills/Nash
- Dan Fogelberg
- Dickey Betts
- Eagles
- Earth Quake
- 801 - Live
- England Dan/J.F.Coley
- Fleetwood Mac
- Foreigner
- Geils
- Greg Kihn
- Heart
- Isley Bros.
- James Taylor
- Jimmy Buffett
- Joan Armatrading
- John Klemmer
- Kenny Loggins
- Kiss
- Lee Ritenour
- Leo Diamond
- Les Dudek
- Little Feat
- Little River Band
- Marshall Tucker Band
- Mink Deville
- Moody Blues
- Neil Young
- Norton Buffalo
- Pablo Cruise
- Pat Travers
- Peter Frampton
- Poco
- REO Speedwagon
- Rita Coolidge
- Roy Buchanan
- Star Wars - Sndtrk.
- Steve Miller Band
- Supertramp
- Ted Nugent
- Tubes
- UFO
- Walter Egan
### Evanston, Ill.
- WNUR
- Chuck Schwartz
- Heavy Airplay:
++ Earth Quake
+ McCoy Tyner
+ Neil Young
+ Genesis
+ Crosby, Stills & Nash
+ Southside Johnny/Jukes
+ Jonn Coltrane
+ Charlie
+ Dictators
+ Kingfish
+ Ultravox!
+ Roger Daltry
+ Jerry Lee Walker
- Moderate Airplay:
+ Greg Kihn
+ David Grisman Quintet
+ LeBlanc & Carr
+ Artie Traum
+ John Payne/Louis Levk
+ Al Jarreau
+ Oregon
+ All Spitball releases
+ All MCA releases
+ Scarlet Rivera
- Singles:
+ Tim Moore
- Imports:
+ David Coverdale
### Los Angeles
- KWST-FM
- Charlie Kendall
- Heavy Airplay:
+ Ted Nugent
+ 'Live It Up'
+ 'Cat Scratch Fever'
+ Heart Of A Gypsy
+ 'Little Queen'
+ Peter Frampton
+ 'Heart on the Line'
+ 'Rockin' Rider'
+ Steve Miller
+ 'Jungle Love'
+ 'Sacrifice'
+ 'Swingtown'
+ Greg Kihn
+ 'Sweet Feelin'
+ 'Come & Go Blues'
+ Little Feat
+ 'Hi Roller'
+ 'Rocket In My Pocket'
+ Neil Young
+ 'Home Grown'
+ 'Hurricane'
+ Mink Deville
+ 'Guitar Walk'
+ Cat Stevens
+ 'Killin' Time'
+ 'The Old Schoolyard'
+ Charlie
+ 'No Second Chance'
+ 'Turning to You'
## WEST
**Los Angeles Continued...**
**KWST-FM**
**MODERATE AIRPLAY:**
- Crosby/Stills/Nash
- "Shadow Captain"
- "I Give You..."
- Marc Dalrey
- "Nevada Annie"
- Little River Band
- "Help is on the Way"
- Detective
- "Identification"
- Bonnie Raitt
- "Caribb'n Man"
- "Bout to Make Me..."
- Geils
- "Monkey Island"
- Rainbow
- "444 on a Silver Mtn."
**COMMENT:**
- Announcer Line-up:
- 6 - 10 am - Tom Kendall (M.D.)
- 10 - 2 pm - Bob Taylor
- 2 - 6 pm - Dan Carlisle
- 6 - 10 pm - Chuck Marshall
- 10 - 2 am - John Daron
- Overnight & Weekends:
- Michael Benner, John Clark, Alexia, Barbara Marullo
- Program Dir. Paul Sullivan
- "We Shall Overwhelm"
---
## LOS ANGELES
**KMET-FM**
**BILLY JUGGS**
**HEAVY AIRPLAY:**
- Steve Miller
- "Jet Airliner"
- Fleetwood Mac
- "Dreams"
- Atlanta Rhythm Section
- "Sky High"
- Semperium
- "Give A Little Bit"
- Bob Seger
- "Fire Down Below"
- Boston - "MR Band"
- Eagles
- "Life in the Fast Lane"
- Bonnie Raitt
- "Runaway"
- Frank Zappa
- "Stairway"
- Alice Cooper
- "It's Hot Tonight"
- Little Feat
- "Walkin' In My Pocket"
- Ted Nugent
- "Cat Scratch Fever"
- Bad Company
- "In the Air Today"
- Crosby/Stills/Nash
- "Dark Star"
**MODERATE AIRPLAY:**
- Dave Mason
- Delaney Beatts
- Heart
- Beatles
- Les Dudek
- Cat Stevens
- Climax Blues Band
- Kinks
- Peter Frampton
- Charlie
- Pink Floyd
**SINGLES:**
- James Taylor
- 10cc - "Hot to Trot"
- Andrew Gold
- "What's Love"
**SPECIAL PROGRAMMING:**
- Live remotes during
- Alice Cooper, Kinks, Tubes,
- Nazareth, & Sha Na Na at
- Anaheim Stadium for Mother's Day June 19. Interviews
- helicopter traffic reports,
- from 10pm Saturday til midnight Sunday.
---
## SAN FRANCISCO
**KSAN-FM**
**BONNIE SIMMONS**
**HEAVY AIRPLAY:**
- Geils
- Greg Kihn
- Alan Parsons Project
- Crosby/Stills/Nash
- Roger Daltrey
- Mink DeVille
- Wailers
- Steve Miller Band
- Rubinoos
- 10cc
- Peter Frampton
- Bryan Ferry
- UFO
- Neil Young
- Little Feat
- Horslips
- Van Morrison
- Earth Quake
- Meter
**MODERATE AIRPLAY:**
- Dave Lewis
- Cat Stevens
- Joan Baez
- Laura Nyro
- Graeme Edge
- Gregg Allman
- Supertramp
- Alice Cooper
- Les Dudek
- Norton Buffalo
- Dictators
- Jonathan Richman
- Jesse Winchester
- Reggie Knighton
- Tubes
- Heart
- N.O.Jazz Heritage Festival
- Danny O'Keefe
- Frankie Miller
- Al Jarreau
- Ben Sidran
- 10cc
- Faith Band
- Carole Bayer Sager
- Joni Taylor
**SINGLES:**
- Graham Parker
---
## SAN FRANCISCO Continued...
**Y-93**
**Outlaws**
- *Rainbow
- Rubinoos
- UFO
**SINGLES:**
- Fleetwood Mac
- Peter Frampton
- Heart
- Manfred Mann
- Marshall Tucker Band
- Bonnie Raitt
- Rod Stewart
**COMMENTS:**
- Some news arrived in full orchestration here by the Bay. The spring book was very encouraging - now to have some time to read it!
- Thanks to our Berserkery buddies for some good time rock 'n' roll that you can even dance to in the form of Greg Kihn and the Rubinoos. Y-93 is filing for inclusion in the Guinness Book of World Records with this: Paul Kantner and Craig Chaquico of the Starship Band. They recently enlist support for their so far futile efforts to secure Golden Gate Park for a free concert. In the course of an interview and many attempts by Craig to record a public service message, Paul stuck around for 1-1/2 hours, the first time he has ever appeared more than 10 minutes in a radio station by the reckoning of Starship publicist Cynthia Bowman. By the way, Paul is into Punk Rock these days, his particular faves being Tom Petty, and the Dictators.
---
## San Jose Continued...
**KSJO-FM**
- Dan Fogelberg
- Little River Band
- Ultravox
- Jess Roden Band
- Charlie
- Mickey Thomas
- Moxy
- Dirty Trick
- Cliff Richard
- Detective
- Dave Edmunds
- Southside Johnny
- Gals Force
- Strapp
- Rough Diamond
- John Cale
- George Carlin
**IMPORTS:**
- Alkastraz
---
## SAN JOSE
**KOMF-FM**
**DANA JANG**
**HEAVY AIRPLAY:**
- Crosby/Stills/Nash
- Dan Fogelberg
- Heart
- Steve Miller
- Ted Nugent
- Outlaws
- *Alan Parsons Project
- Cat Stevens
- Pat Travers
- Neil Young
- James Taylor
- UFO
**MODERATE AIRPLAY:**
- Gregg Allman
- Joan Baez
- Roy Buchanan
- Crusaders
- Mink DeVille
- Geils
- Greg Kihn
- John Klemmer
- Little Feat
- Little River Band
- Bob Marley/Wailers
- Charlie
- Clover
- Country Joe/Fish
- Roger Daltrey
- Dick Dregs
- Focus
- Fools Gold
- Peter Frampton
- Horslips
- Killers
- Mahogany Rush
- Moody Blues
- Norton Buffalo
- Elkie Brooks
- Noel Pointer
- Leon & Mary Russell
- Sorcerer - Sntrk.
- *Star Wars - Sntrk.
- Joe Walsh
- Amazing Rhythm Aces
- American Flyer
- Bros. Johnson
- Burton Cummings
- Rick Derringer
- Graeme Edge
- Lake
- Pierce Arrow
- Rainbow
- Earth Quake
- Kiss
- Dictators
- Robbin Ford
- Illusion
- PFM
- Lee Ritenour
- Scarlet Rivera
- David Sanborn
- Bad Seed
- Mickey Thomas
- John Tropea
- Jerry Jeff Walker
- Randy Wise
- Widowmaker
- Howard Wales
**SPECIAL PROGRAMMING:**
- Interviews with Garland Jeffreys, Zal Top, Clover, Ben Sidran, and Mickey Thomas.
**IMPORTS:**
- *Genesis
## WEST
### MESA / PHOENIX
- KDKB-FM
- DWIGHT TINDLE
**HEAVY AIRPLAY:**
- Geils
- Peter Frampton
- Fleetwood Mac
- Crosby/Stills/Nash
- Kenny Loggins
- Gregg Allman
- Tubes
- Little Feat
- Pablo Cruise
- Amazing Rhythm Aces
- Dan Fogelberg
- Jerry Riepelle
- Dave Mason
- Poco
- Supertramp
- Jimmy Buffett
- Heart
- Alice Cooper
- Bee Gees
- Garland Jeffreys
**MODERATE AIRPLAY:**
- Weather Report
- Van Morrison
- Emerson, Lake, Palmer
- Marvin Gaye
- Eagles
- Stevie Wonder
- Joan Baez
- Charlie
- Attitudes
- Little River Band
- Wailers
- Illusion
- Bobby Bland
- Crusaders
- Ben Sidran
- Jimmy Webb
- American Flyer
- Danny Kirwan
- Norton Buffalo
- John Payne/L. Levin
- Charles Earland
- Bobbiddazzler
- Scarlet Rivera
- Mindsville
- Pierre Arrow
- Alan Parsons Project
**COMMENTS:**
Bill Carson, program director at KDKB from 1971-76, was killed in a tragic car accident Tuesday night. Prior to his association with KDKB, Bill worked at KCAZ, Phoenix's first "underground" station. As the father of progressive radio in Phoenix, his influence is still being felt in the market.
### SEATTLE
#### KZOK-102-1/2
- MAVIS MACKOFF
**HEAVY AIRPLAY:**
++Fleetwood Mac
- Boston
- Heart
+Foreigner
+Dan Fogelberg
Peter Frampton
Supertramp
Eagles
Billy Joel
Bonnie Raitt
+*Crosby/Stills/Nash
+Steve Miller
+Bad Company
+Jamey Taylor
Crusaders
+Bob Marley/Wailers
+Little River Band
+Jethro Tull
**MODERATE AIRPLAY:**
Marshall Tucker Band
Al Stewart
Stevie Wonder
John Klemmer
Jimmy Buffett
#Roger Daltrey
Joan Baez
Bob James
---
## SEATTLE/BELLEVUE
### KZAM-FM&AM
- JON KERTZER
**HEAVY AIRPLAY:**
+*Crosby/Stills/Nash
Amazing Rhythm Aces
American Flyer
Jimmy Buffett
Keith Urban
Fleetwood Mac
Dan Fogelberg
Bob Marley/Wailers
Steve Miller
James Taylor
Cat Stevens
Danny O'Keefe
Jonathan Edwards
Ennylou Harris
Bun E. Carlos
Little Feat
Van Morrison
Marshall Tucker Band
Kinks
Jesse Winchester
Ian Matthews
Weather Report
Bonnie Raitt
**MODERATE AIRPLAY:**
+*Crosby/Stills/Nash
Gregg Allman
Heart
David Grisman
Joan Baez
John klemmer
Dumi & Minanzi
Marimba Ensemble
Billy Joel - Souvenirs
Michael Katakis
Ben Sidran
Lew London
Persuasions
Willie Nelson
Sea Level
Peter Tosh
Doc Watson
Horslips
Al Jardus
Pierce Arrow
Laura Nyro
Woodstock Mountains (Various)
Poco
Jerry Jeff Walker
Pat Metheny
Kiki Dee
Roy Buchanan
Peter Frampton
Bruce Cockburn
Geils
Dave Mason
Kate/Anne McGarrigle
---
## SEATTLE/BELLEVUE Continued
### KZAM-FM&AM
**SINGLES:**
Genesis EP
"Up the Pigeon"
**SPECIAL PROGRAMMING:**
Interview with Ben Sidran
**IMPORTS:**
- Barbra Streisand
- Alan Price
- Bothy Band
- John Renbourn
**NEW ADDITIONS:**
(6/17/77, 6/24/77)
- Johnny Winter
- Country Joe & Fish
- Burton Cummings
- Pat Metheny
- Crosby/Stills/Nash
- Alan Parsons Project
**COMMENTS:**
Visitors at the station included Cliff Richard, promoting his new LP, and Timothy Leary did our morning talk show on our show, as well as several other news interviews on Monday, prior to his speaking appearance at the Opera House. Another addition to the show was a telephone interview with Fee Waybill of the Tubes. He shed some light on their act the afternoon before their June 14th show at the Paramount.
---
## PORTLAND
### (Home of the World Championship Basketball Team.)
#### KVAN-AM
- BRUCE ANCHETA/PD
- SLEEPY JOHN/MD
**HEAVY AIRPLAY:**
++Pat Travers
+Legs Diamond
Lee Ritenour
Crusaders
Supertramp
+Pablo Cruise
+Heart
+Steve Miller
+Mink DeVille
+Reggie Knighton
+Captain Beyond
Climax Blues Band
+Moby
+Macy
+Jimmy Buffett
+Fleetwood Mac
+Judas Priest
+Poco
Dusty Springfield
+Foreigner
+Charlie
+Little Feat
+Little River Band
Bonnie Raitt
Gale Force
+Ted Nugent
+Tubes
(great show, too!!)
**UPCOMING:**
+Marley/Wailers
+Tom Petty
**MODERATE AIRPLAY:**
- Greg Allman
- Strips
- Ruby Starr
- Dan Fogelberg
- Jerry Jeff Walker
- Jesse James
- Gregg Allman
- Kingfish
- Roy Buchanan
- Golden Earring
- Dave Edmunds
- Son
- Fools Gold
- Roger Daltrey
- Jimmie McGriff
- Chico Hamilton
- Noel Pointer
- American Flyer
- Trooper
- Alan Parsons Project
- Burton Cummings
- Beatles - Star Club
- Laura Nyro
- Sorcerer - Sndtrk.
- Earth Quake
**SINGLES:**
- Genesis EP (import)
- Status Quo
---
## SACRAMENTO
### KZAP-FM
- BRUCE MEIER
**HEAVY AIRPLAY:**
- Steve Miller
- Crosby/Stills/Nash
- Little Feat
- Bonnie Raitt
- Peter Frampton
- Genesis EP
- Cat Stevens
- Heart
- Neil Young
- Jesse Winchester
- Supertramp
- U2c
- Reggie Knighton
- Laura Nyro
- Norton Buffalo
**MODERATE AIRPLAY:**
- Pat Metheny
- Al DiMeola
- Wailers
- Joan Baez
- Gregg Allman
- Dixie Dregs
- Clover
- Townes Van Zandt
- Lakes
- Roger Daltrey
- Alan Parsons Project
- James Taylor
**SINGLES:**
- Queen
- Roderick Falconer
- Garland Jeffreys
**SPECIAL PROGRAMMING:**
Interviews with Garland Jeffreys and Mickey Thomas
**IMPORTS:**
- 801 - Live
---
## PORTLAND Continued...
### KVAN-AM
- Ry Cooder
- Ram Jam
+Nick Lowe (import)
- Shinaia
**SPECIAL PROGRAMMING:**
Rock Around the World Interview
New Blimps
(great listener response)
Side Salad & Classic Wax (album preview programs)
**Susan Berkley's Natural Foods Recipes**
**NEWS/PUBLIC AFFAIRS:**
Basketball is the big news here in Portland. As many of you know The Portland Trailblazers won the world championship. You have never seen a city go so crazy. The day they won people danced in the streets all night and the following day a parade with 215,000 people along Portland's downtown streets. It feels good to be in a city that has accomplished this. Portland Oregon is finally on the map ... Portland Who? Dr. Who?
- B.A.
**COMMENTS:**
Latest Jock Take-up:
6 - 9 pm - Les Friedman
11 - 4 pm - Sleepy John
4 - 9 pm - Bob Ancheta
Weekends - Nancy Jackson
Steve Lewis, Andy Brown
24 hours is within 3 weeks now, stay tuned for more.
- Bob Ancheta
P.S. Why do record accounts get all the T-Shirts and other promotional items that come out? Get it together and take care of DJ's too!
## WEST
### FT. COLLINS, COLO.
**KTCL-FM**
**CHARLIE WROBBEL**
- **HEAVY AIRPLAY:**
- Dan Fogelberg
- Neil Young
- Danny O'Keefe
- Supertramp
- Gregg Allman Band
- Waylon Jennings
- Steve Miller
- Peter Frampton
- **MODERATE AIRPLAY:**
- *Gary Burton Quartet
- *Pat Metheny
- *Alan Parsons Project
- *Jim Ransom
- *Towns Van Zandt
- *Joan Baez
- *John Prine Band
- *Carla Bley
- *Ophelia Swing Band
- *Norton Buffalo
- *Geils
- *Jim Post - Live
- Scarlet Rivera
- Crusaders
- Jesse Winchester
- Danny Kirwan
- Heart
### ALBUQUERQUE, N.M.
**KUNM**
**MIKE REGAN**
- **HEAVY AIRPLAY:**
- *Jonathan Richman
- *Laura Nyro
- *Norton Buffalo
- *Mud Acres
- *Tris Blues Records
- **MODERATE AIRPLAY:**
- *Dick Pinney
- *Ornette Coleman
- *Joan Baez
- *Kenny Loggins
- *Young & Moody
- *McCoy Tyner
- *Opa
- *The Section
- *Willie Nelson
- *Fools Gold
- *John Blair
- *Chico Hamilton
- *The Meters
- *Danny & Kirwan
- *Alan Parsons Project
- *Clifton Chenier
- *Crosby, Stills & Nash
- *Tori Amos
- *Tom Rice
- *Cherry, Redman, Haden, Blackwell
### KMYR
**CHARLIE WEIR**
- **HEAVY AIRPLAY:**
- Neil Young
- Little Feat
- Heart
- Steve Miller
- Bob Marley & Wailers
- Bonnie Raitt
- *Crosby, Stills & Nash
- Fleetwood Mac
- Peter Frampton
- Van Morrison
- Dan Fogelberg
- Little River Band
- Geils
- **MODERATE AIRPLAY:**
- *Roger Daltrey
- *Alan Parsons Project
- *Leon & Mary Russell
- *Crusaders
- *Meters
- *Clover
- *Norton Buffalo
- *Rusty Wier
---
## KMYR Continued...
- *Towns Van Zandt
- *Jonathan Richman
- Raul De Souza
- **SINGLES:**
- Genesis (import EP)
---
## TUCSON, ARIZ.
**KWFM**
**JIM RAY**
- **HEAVY AIRPLAY:**
- Gregg Allman
- Joan Baez
- Dixie Drags
- Graeme Edge
- Peter Frampton
- Crosby, Stills & Nash
- Geils
- Little River Band
- Sea Level
- Laura Nyro
- Cat Stevens
- Judas Priest
- 10cc
- Dave Mason
- Emerson, Lake&Palmer
- **MODERATE AIRPLAY:**
- American Flyer
- Frankie Miller
- Jerry Jeff Walker
- Dickie Betts
- Charlie
- Brothers Johnson
- Supertramp
- Jess Winchester
- Neil Young
- Van Morrison
---
## BOISE, IDAHO
**KBSU-FM**
**ROBB CAMPBELL/ CARL SCHEIDER**
- **HEAVY AIRPLAY:**
- Roy Buchanan
- Peter Frampton
- Charlie
- Scarlet Rivera
- Cat Stevens
- Heart
- Illusion
- Noel Pointer
- Judas Priest
- Dan Fogelberg
- **MODERATE AIRPLAY:**
- Chilliwack
- Steve Miller
- Bonnie Raitt
- Gregg Allman
- American Flyer
- Ben Sidran
- Little River Band
- Jerry Jeff Walker
- Max Wein
- Bob Marley & Wailers
- Gong
- Ted Nugent
- 38 Special
- Walt Wagner
- Dianne Steinberg
---
## CASPER, WYO.
**KAWY**
**FRED MOORE**
- **HEAVY AIRPLAY:**
- **+** Crosby, Stills & Nash
- **+** Geils
- **++** James Taylor
- **++** Neil Young
- Peter Frampton
- Heart
- **++** Little River Band
- Bob Marley & Wailers
- Cat Stevens
- Steve Miller
- **++** John Klemmer
- Gregg Allman
- Dave Mason
- Little Feat
- *The Crusaders
- **Dan Fogelberg
- **MODERATE AIRPLAY:**
- **++** Alan Parsons Project
- **+** Pierce Arrow
- **+** Ruby Starr
- **+** Pat Metheny
- **++** Bobra Steisans
- **+** Lake
- **++** Graeme Edge Band
- **+** Laura Nyro
- Leon & Mary Russell
---
## SPOKANE, WASH.
**KREM-FM**
**DON ADAIR**
- **HEAVY AIRPLAY:**
- Supertramp
- 10cc
- *Frankie Miller
- Van Morrison
- Bonnie Raitt
- *Neil Young
- Pablo Cruise
- Kenny Loggins
- *Peter Frampton
- *Steve Miller
- *Al DiMeola
- Cat Stevens
- Heart
- *Crosby, Stills & Nash
- *Foreigner
- *Jesse Winchester
- **MODERATE AIRPLAY:**
- Jimmy Buffett
- Al Jarreau
- Brothers Johnson
- Gregg Allman
- Bob Marley & Wailers
- Willie Nelson
- Weather Report
- Little River Band
- Little Feat
- Ben Sidran
---
## JACKSON, WYO.
**KM'N-FM**
**JACK SEDLER**
- **HEAVY AIRPLAY:**
- Fringe Benefit
- Danny Kirwan
- Cat Stevens
- Dan Fogelberg
- Gregg Allman
- *Stephen Sinclair
- Arlie Traum
- *Earl Klugh
- *Joanna Newsom
- David Sanborn Band
- Dave Mason
- Illusion
- Kalama
- Moody Blues
- Steve Miller
- **MODERATE AIRPLAY:**
- *Pierce Arrow
- *Jimmy Webb
- *American Flyer
- *Young and Moody
---
## EUGENE, ORE.
**KZEL-FM**
**STAN GARRETT**
- **HEAVY AIRPLAY:**
- Heart
- Peter Frampton
- Jimmy Buffett
- Mink DeVille
- *Suzy & The Red Stripes
- Little River Band
- *Neil Young
- John Klemmer
- *Laurea Nyro
- Fleetwood Mac
- Steve Miller
- Pablo Cruise
- *Roger Daltrey
- Ted Nugent
- *Dan Fogelberg
- **MODERATE AIRPLAY:**
- Joan Baez
---
## SACRAMENTO, CALIF.
**KSFM**
**BEAR CORKERY**
- **HEAVY AIRPLAY:**
- Pablo Cruise
- Peter Frampton
- Supertramp
- Steve Miller
- Gregg Allman
- Dan Fogelberg
- Heart
- *Pat Travers
- *Crosby, Stills & Nash
- *Neil Young
- *Roy Buchanan
- **MODERATE AIRPLAY:**
- Geils
- Jesse Winchester
- Kenny Loggins
- Les Dudek
## WEST
### KSFM Continued...
- 10cc
- Bonzai Raitt
- Little Feat
- Mother's Finest
- Outlaws
- Mink DeVille
- Leon Russell
- Joan Baez
- Little River Band
- Cat Stevens
### KTIM-AM/FM
**TONY BERARDINI**
- HEAVY AIRPLAY:
- Greg Kihn
- Peter Frampton
- UFO
- Morton Buffalo
- Pat Travers
- Brothers Johnson
- Fleetwood Mac
- Steve Miller
- Mother's Finest
- Geil
- Alphar Parsons Project
- Crosby, Stills & Nash
- Little Feat
- Mink DeVille
- Supertramp
- MODERATE AIRPLAY:
- Neil Young
- John Mayall
- Little River Band
- Lakes
- Rusty Wier
- James Rivers
- Roy Buchanan
- SINGLES:
- KC/DC
- IMPORTS:
- Jean-Michel Jarre
- KC/DC
### STOCKTON, CALIF.
**KUOP-FM**
**JOHN SHAFER**
- HEAVY AIRPLAY:
- Genesis
- MODERATE AIRPLAY:
- Pat Metheny
- Lakes
- Jan Garbarek
- Tangerine Dream
- Phil Collins
- Flora Purim
- Ops
- John Cimmarr
- Star Wars - Sudrik
- Charlie
- Coryell/Monson
- Crosby, Stills & Nash
- Joe
- Herbie
- Keith Jarrett
- Fons
- Alphar Parsons Project
- Don Cherry
- Steelye Spain
- Herbie
- IMPORTS:
- Chamberlant Symphony
- Horalsip
- Cat - Saw Cut'
### STOCKTON/MODESTO, CA
**KSRT-FM**
**MARK HERONY**
- HEAVY AIRPLAY:
- David Bowie
- Charlie
- **Dixie Dregs**
- Greg Allman
- David Edmunds
- Foreigner
- Heart East
- Heart
### KSR-T-FM Continued...
- Horalsip
- Steve Miller
- Ted Nugent
- Outlaws
- Ike
- Pat Travers
- The Tubes
- **OFP**
- **Max Webster**
- MODERATE AIRPLAY:
- Joan Baez
- David School
- Peter Frampton
- Illusion
- Little Feat
- Kenny Loggins
- Cat Stevens
- SINGLES:
- Canseco
### SANTA CRUZ, CALIF.
**KUSP-FM**
**LANCE LINARES**
- HEAVY AIRPLAY:
- Bob Marley & Wailers
- Peter Tosh
- The Tubes
- Van Morrison
- Van Morrison
- Chalker/Burns
- Robert Plant
- John Coltrane
- Little Feat
- McCoy Tyner
- Larry Norman
- Al Jarreau
- Keith Jarrett
- Ornette
- Paraphonics
- MODERATE AIRPLAY:
- David Grisman
- Cabo Y
- Joni Mitchell
- Jonathan Richman
- Joan Baez
- Jan Garbarek
- Grateful Coleman
- Pat Metheny
- My Goodness
- Linda Manos
- Daniel Hart
- Clifton Chenier
- Jesse Winchester
### FRESNO, CALIF.
**KFJG**
**ART PARKAS**
- HEAVY AIRPLAY:
- Steve Miller
- Kenny Loggins
- David Bowie
- Jackson Brown
- Cat Stevens
- Rita Coolidge
- Led Zeppelin
- Red Stewart
- 10cc
- MODERATE AIRPLAY:
- Crosby, Stills & Nash
- Illusion
- Herbie
- Frank Zappa
- Danny Kirwan
- Attitudes
- SINGLES:
- James Taylor
- 10cc
- Crosby, Stills & Nash
- Rita Coolidge
- Atlanta Rhythm Section
- Andy Gibb
### BAKERSFIELD, CALIF.
**KKXN-FM**
**TERRY GAISER**
- HEAVY AIRPLAY:
- Warren Taylor
- **Crosby, Stills & Nash**
- Little River Band
- Greg Allman
- Bob Dylan
- **Jean Blasz**
- Les Dudek
- Walter Egan
- MODERATE AIRPLAY:
- Joan Baez
- David School
- Peter Frampton
- Illusion
- Little Feat
- Kenny Loggins
- Cat Stevens
- SINGLES:
- Canseco
### LONG BEACH, CALIF.
**KNAC**
**BILL CLAY**
- HEAVY AIRPLAY:
- Bad Company
- Gary Evans
- Bonnie Raitt
- Van Morrison
- Neil Young
- The Nugsent
- Gregg Allman
- James Taylor
- Little Feat
- Fleetwood Mac
- Heart
- 10cc
- Supertramp
- Nite City
- Steve Miller
- Peter Frampton
- Tubes
- UFO
- Crosby, Stills & Nash
- Roger Daltry
- MODERATE AIRPLAY:
- Ultravox
- Greg Kihn
- Alan Parsons Project
- Kiss
- **Bob Marley & Wailers**
### CHICO, CALIF.
**KEMF**
**RON WOODWARD**
- HEAVY AIRPLAY:
- Peter Frampton
- James Taylor
- Eagles
- Fleetwood Mac
- Little Feat
- Van Morrison
- Neil Young
- Crosby, Stills & Nash
- Roger Daltry
- Heart
- Carole King
- Little River Band
- Earth Quake
- Sea Level
- John Lennon
- Jesse Winchester
- Sons of Champlin
- Lenny White Russell
- Steve Miller
- Pablo Cruise
- Dan Fogelberg
- Roy Buchanan
- Dave Mason
- Dave Edmunds
- UFO
### POWER AND/OR MARKET LIMITED CONTRIBUTORS
(Record listings provided by the following stations are used, along with all other stations, in our compilations.)
- ACRS/Athens, Ohio
- KALX/San Rafael, Calif.
- KCBS/Northridge, Calif.
- KDFV/Davis, Calif.
- KFJC/Low Alton Hills, Ca.
- KFTR/Fresno, Calif.
- KLC/Eugene, Ore.
- KOHI/Albany, Ore.
- KMMJ/Sun Valley, Idaho
- KSUN/Rhodes, Para, Calif.
- KXW/Knoxville, Tenn.
- WBCN/Brooklyn, N.Y.
- WBSD/Burlington, Wisc.
- WCBM/Ann Arbor, Mich.
- WCUJ/West Chester, Pa.
- WCW/Worcester, Mass.
- WCKM/Williamsburg, Va.
- WEME/Ypsilanti, Mich.
- WHPR/Indianapolis, Ill.
- WMHW/Mt. Pleasant, Mich.
- WMNL/Lake Geneva, Wisc.
- WQAM/Minneapolis, Minn.
- WMUA/Philadelphia, Mass.
- WMUH/Allentown, Pa.
- WOCR/Oxford, Miss.
- WRBB/Boston, Mass.
- WRNW/Warrensburg, NYC
- WRUC/Schenectady, N.Y.
- WSPL/Las Cruces, Wisc.
- WTAD/Murphysboro, Ill.
- WWUH/West Hartford, Conn.
- RUBY LAZAR
- **RICHARD "RIC" PELZEL**
- TIM DEVINE
- KEVIN STERN
- KARL REINKING
- ROGER DALTRY
- FRED LEWY
- PETER STEEN
- MICHAEL HANDLER
- PAMELA PASSANISI
- MARK ANDERSON
- JIMMY DENNING
- LLOYD JOHNSON
- JEFF WEIL
- MICHAEL KREMEN
- RICH LOWE
- OWEN MAERCKS
- DAVE OXFORD
- DAVID H. FORD
- PETER MENSH
- DAVID LEW ALLEN
- TERRY HAVEL
- RAY LEWIS AND
- ANDREW REITEN
- DAVID DEARDEN
- KEVIN GERTZ
- RODDY JOHNSTON
- MEGLESS GRIFFIN
- JOE PIASEK
- RAYMOND JUDERS
- RANDY LUCAS
- TODD CAVE/JOE HALPIN
- STU LOVEJOY
## RETAIL STATS
Our relative charting, as seen below, resembles baseball's batting averages. It establishes a ratio between the ideal (top 5 sales at every reporting retailer), and the weighted count that a recording has actually earned. This mathematical formula is applied to each record—first regionally, then nationally. A dual weighting system is used to derive the count on the hits. It adjusts for store chain size and reported position in the top 15. A single weighting system which adjusts for store chain size is applied to the breakout reports. These charts show the relative intensity of retail interest for both new and established recordings.
### PROGRESSIVE RETAIL
| 2 ISSUES BACK | LAST ISSUE | CURRENT NATIONALS | ARTIST | NE | S | M.W | W |
|---------------|------------|-------------------|-----------------|------|------|------|-----|
| .907 | .856 | .880 | FLEETWOOD MAC | .799 | .764 | .942 | L.000 |
| .514 | .626 | .574 | STEVE MILLER | .451 | .458 | .737 | .551 |
| .702 | .543 | .525 | EAGLES | .611 | .389 | .415 | .731 |
| --- | .322 | .510 | P. FRAMPTON | .451 | .736 | .368 | .718 |
| --- | .411 | .426 | HEART | .340 | .194 | .632 | .346 |
| .308 | .253 | .366 | FOREIGNER | .368 | .056 | .480 | .397 |
| .353 | .292 | .297 | COMMODORES | .313 | .347 | .333 | .141 |
| .298 | .274 | .239 | BOSTON | .292 | .028 | .292 | .218 |
| .288 | .226 | .228 | CAT STEVENS | .285 | .111 | .240 | .205 |
| .238 | .201 | .224 | BROS. JOHNSON | .257 | .528 | .111 | .128 |
| .218 | .178 | .215 | JIMMY BUFFETT | .250 | .486 | .018 | .333 |
| --- | .226 | .209 | TED NUGENT | .076 | .250 | .351 | .103 |
| --- | .290 | .206 | D. FOGELBERG | .146 | .347 | .240 | .115 |
| --- | --- | .165 | EMOTIONS | .201 | .458 | .053 | .192 |
| .406 | .372 | .183 | MARVIN GAYE | .278 | .083 | .123 | .231 |
| .173 | .192 | .163 | SUPERTRAMP | .125 | .056 | .199 | .256 |
| .248 | .244 | .161 | ISLEY BROS. | .250 | .347 | .035 | .103 |
| .266 | .176 | .135 | STEVIE WONDER | .167 | .000 | .205 | .051 |
| --- | .132 | .133 | BEE GEES | .292 | .000 | .111 | .013 |
| .188 | .171 | .127 | M. TUCKER BAND | .056 | .083 | .205 | .128 |
### RETAIL FUTURES
| NATIONAL % | ARTIST | NE | S | M.W | W |
|------------|-----------------|------|------|------|-----|
| .385 | NEIL YOUNG | .458 | .208 | .351 | .308 |
| .290 | OUTLAWS | .292 | .000 | .439 | .231 |
| .271 | LITTLE RIVER BD | .208 | .250 | .421 | .077 |
| .245 | UFO | .292 | .042 | .404 | .000 |
| .226 | KISS | .021 | .125 | .544 | .000 |
| .219 | ALAN PARSONS | .146 | .083 | .404 | .077 |
| .187 | RITA COOLIDGE | .208 | .000 | .175 | .346 |
| .174 | GEILS | .208 | .167 | .211 | .038 |
| .161 | C.S. & N. | .146 | .083 | .228 | .115 |
| .155 | B. CUMMINGS | .021 | .083 | .263 | .231 |
| .155 | ROGER DALTREY | .125 | .125 | .228 | .077 |
## Retail
(ISP indicates sales from in-store play)
### Northeast
#### Cambridge, Mass.
**Harvard Coop**
Marty Lawhon (Representing 3 stores...)
**New Reaction:**
- Detective
- Charlie
- NRBC
- Johnny Guitar Watson
- McCoy Tyner
- Norton Buffalo
- Neil Young
- Bette Midler
- Dr. Feelgood
- Distillers
**Top 15:**
- Fleetwood Mac
- Eagles
- Dan Fogelberg
- Stevie Wonder
- Cat Stevens
- Bonnie Raitt
- Star Wars - Sndtrk
- Supertramp
- Barry Manilow - Live
- Moody Blues
- Beatles - Hollywood
- Weather Report
- Al Jardine - Live
- James Winchester
- Bee Gees - Live
**Selling Imports:**
- All Stoops
- Clash
- Saints
- Bruce Cockburn (all)
- Strenglers
- Nektar - Live
**Comments:**
This is my last report to Walsh as I'm moving to S.F. to seek my fortune. Big thanks to everyone who's helped along the line. Jeff, Sal, and Burt from Columbia. Thanks to the Korgs, Tom Clark from A&M, hugs and kisses. Special thanks to Mika Symonds from WB and Kurt Kurland from Apple. Thanks to Billie Lee from 20th Century. X-tra special thoughts to Mark Babineau at Arista. What can I say? Goodbye, you have treated me right - good people one and all -
Marty
#### Providence, R.I.
**Beacon Records**
Steve Pera
**New Reaction:**
- Star Wars - Sndtrk
- (ISP) Roger Daltry
- Cat Stevens
- Burton Cummings
- (ISP) Greg Kihn
- Barbra Streisand
- Joan Baez
- Laura Nyro
- Bill Evans
- McCoy Tyner
- Charlie Daniels
- Sunday's Span
**Top 15:**
- Rocky - Sndtrk.
- Marvin Gaye
- Barry Manilow
- Supertramp
- Peter Frampton
- Neil Young
- Bee Gees
- Fleetwood Mac
- Cat Stevens
- Wailers
- Supertamp
- Beatles - Hollywood
- Moody Blues
- Run Coolidge
- Rough Diamond
---
### New York, N.Y.
**Jimmy's Records**
Jeff Teitelbaum (Representing 39 stores...)
**New Reaction:**
- Barbra Streisand
- Claudia Barry
- New York, N.Y. - Sndtrk
- Star Wars - Sndtrk.
- Pink Floyd
- Dark Side of the Moon
- Rick Stones - Hits
- UFO
- Neil Young
- Salsoni Orchestra
- Bruce Springsteen
- Born to Run
**Top 15:**
- Teddy Pendergrass
- Peter Frampton
- Bee Gees - Live
- Cat Stevens
- Eagles
- Shalamar
- Bob Marley/Wailers
- C.J. & Co.
- Pink Floyd
- Bros. Johnson
- Fleetwood Mac
- DJ Rogers
- Kiki Dee
- Waylon Jennings
- Peabody
---
### New York, N.Y.
**Korvettes**
Bernard H. Oshin (Representing 58 stores...)
**New Reaction:**
- Cat Stevens
- Peter Frampton
- Bros. Johnson
- Ted Nugent
- Dan Fogelberg
- Supertramp
- Parliament - Live
- Outlaws
- Gregg Allman
- Neil Sedaka
**Top 15:**
- Fleetwood Mac
- Eagles
- Barry Manilow - Live
- Marvin Gaye - Live
- Heart
- Boston
- Rocky - Sndtrk.
- Commodores
- Foreigner
- Stevie Wonder
- Isley Bros.
- Leo Sayer
- Bee Gees - Live
- Beatles - Hollywood
- Boz Scaggs
---
### Long Island, N.Y.
**Record World/TSS**
IRA ROSENTHAL (Representing 17 stores...)
**New Reaction:**
- Barry Manilow - Live
- Andy Williams
- Peter Frampton
- Neil Young
- Bros. Johnson
- Barbra Streisand
- The Greatest - Sndtrk.
- Gelb
- Heart
- Starland Vocal Band
**Top 15:**
- Fleetwood Mac
- Eagles
- Steve Miller
- Beatles
- Isley Bros.
- Boston
- Rocky - Sndtrk.
- Leo Sayer
- Cat Stevens
- Jimmy Buffett
- Bee Gees
- Boz Scaggs
- Foreigner
- Supertramp
- Outlaws
**Selling Imports:**
- Nektar - Live in N.Y.
- Beach Boys - Hamburg
- 801 - Live
- KC & Sunshine Band
- Best of...
- ELO - The Light Shines
- The Damned
- Beach Boys
- Stack 'O Tracks
- Bay City Rollers
- Rollin'
---
### Philadelphia, Pa.
**Platters Ltd.**
Ken Abrams
**New Reaction:**
- (ISP) John Klemmer
- (ISP) Bautista
- (ISP) Bohannon
- C.J. & Co.
- Outlaws
- Nazareth
- Floaters
- (ISP) Sam & Hugh
- (ISP) Deep - Sndtrk.
- Little River Band
- (ISP) Lake 66
**Top 15:**
- Lou Rawls
- Isley Bros.
- Barry Manilow - Live
---
### Platters Ltd., Cont'd.
**Crusaders**
Commodores
Star Wars - Sndtrk.
Donna Summer
Lynyrd Skynyrd
Marvin Gaye
Graham Central Station
Bros. Johnson
Bob Marley
O'Jays
Emotions
Peter Frampton
Morning Noon & Night
**Selling Imports:**
- Lake
- Dr. Feelgood
- Mr. Big
- Sweet Silence
- Dunan McKay - Score
- Clash
- Brain - Festival ...
- Clearlight
- Ash Ra Temple
- New Life on Earth
- Join Inn
**Singles:**
- Bay City Rollers
"It's Game"
- Patti Smith
"Piss in a River"
- 12" Kinks EP/Fye
- Sex Pistols
"God Save the Queen"
**Comments:**
Anticipation for the following LP's - very strong (Lotsa plugs called in)
- Kiss - Love Gun/Casa
- Bay City Rollers/Arista
- Grateful Dead/Arista
- Crosby/Stills/Nash/Ad.
- Love & Kisses/Casa
Lake on Columbia could be one of the albums of the year. Yes vocals, with a Bobbie Bros. feel. Very strong initial reaction.
---
### Moorestown, N.J.
**Wee Three Records**
Bob Kondrosky
**New Reaction:**
- Barbra Streisand
- Shalamar
- Roy Orbison
- Shirley Bassey
- Joan Baez
- Pablo Cruise
- Dan Fogelberg
- Pleasure
- Slave
**Top 15:**
- Barry Manilow - Live
- Fleetwood Mac
- Eagles
- Steve Miller
- Teddy Pendergrass
- Rocky - Sndtrk.
- Peter Frampton
- Pink Floyd
- Cat Stevens
- Isley Bros.
- Lynyrd Skynyrd - Live
- Marvin Gaye - Live
- Kansas
- Bob Marley/Wailers
- Shaun Cassidy
---
### Allentown, Pa.
**Phantasmagoria**
Ellen Cressman
**New Reaction:**
- Little River Band
- Tangerine Dream
- (ISP) Pat Travers
- 10cc
- Van Morrison
- Roy Buchanan
- Judas Priest - Sin...
- Little Feat
- Neil Young
- Kiss
## RETAIL
(ISP indicates sales from in-store play)
### NORTHEAST
**PHANTASMAGORIA Cont'd.**
- TOP 15:
- Supertramp
- Foreigner
- Ted Nugent
- Charlie
- Judas Priest
- Sal, Wing of Destiny
- UFO
- Dirty Tricks
- Steve Miller Band
- Nuts, Hard Nuts
- Pink Floyd
- Earth Quake
- Kansas
- Alan Parsons
- Tale of Mystery
- Peter Gabriel
- Detective
- SELLING IMPORTS:
- AC/DC
- Dirty Deeds Done
- Dirty Tricks
- Budgie
- Omega
**WASHINGTON, D.C.**
- WAXY MAXIE'S
- KENNY DOBIN,
- BOB BULEN
(Representing 15 stores...)
NEW REACTION:
- Roger McGuire
- Sears, Menses
- Ted Nugent
- Crosby/Stills/Nash
- Rita Coolidge
- Waylon Jennings
- Star Wars - Sndtrk.
- Barbara Streisand
- UFO
- Alan Parsons
- Little River Band
- Greatest - Sndtrk.
- Floaters
- Neil Young
- Roy Ayers
TOP 15:
- Peter Frampton
- Commodores
- Emotions
- Barry Manilow
- Jimmy Buffett
- Bros, Johnson
- Foreigner
- Fleetwood Mac
- Steve Miller Band
- Heart
- Johnny Guitar Watson
- Kiss - Love Gun
- Brainstorm
- Odyssey
- Al Jarreau
### ALEXANDRIA, VA.
**RAINBOW TREE**
**RICK MILLER**
(Representing 4 stores...)
NEW REACTION:
- UFO
- (ISP) Poco
- Bob Marley/Wailers
- Kiss
- James Taylor
- Jaime Brockett (local)
- Moody Blues
- (ISP) Geils
- (ISP) Roy Buchanan
- Alan Parsons
TOP 15:
- Fleetwood Mac
- Eagles
- Ted Nugent
- Fleet
- Peter Frampton
- Marshall Tucker Band
- Foreigner
- Jimmy Buffett
- Neil Young
- Bad Company
- Dan Fogelberg
### RAINBOW TREE Cont'd.
- Little Feat
- Steve Miller
- Heart
- Crosby/Stills/Nash
- SELLING IMPORTS:
- Stooges (all)
- Adrian Wagner
- Instincta
- Beatles (all)
- Sex Pistols (single)
- "God Save the Queen"
### PHILADELPHIA, PA.
**3RD STREET JAZZ**
**JERRY GORDON**
NEW REACTION:
- Earl Klugh
- Stevie Raywood
- The Greatest - Sndtrk.
- (ISP) Alton
- Osamu Kitajima
- Peterson/Pass/Brown
- (ISP) Jane Schaffer
- Last Poets
- Art Blakey
- McCoy Tyner
- Top 20:
- Roy Ayers
- Brainstorm
- Commodores
- Crusaders
- Teddy Pendergrass
- Emotions
- Floaters
- Marvin Gaye
- Ronnie Laws
- NCGI
- Lou Rawls
- Bros, Johnson
- Pleasure
- Johnny Guitar Watson
- Bob Marley/Wailers
SELLING IMPORTS:
- Clearlight
- Tangerine Dream
- Electronic Meditation
- Coltrane - Live in Paris
- Monk - Live in Paris
- Popul Vuh - Aguirre
- Sleekes
- Genesis
- "Spot the Pigeon"
- Iggy Pop
- "Gimme Some Skin"
- "I Got a Right"
- The Clash
### BOSTON, MASS.
**STRAWBERRIES**
**AL WILSON**
(Representing 4 stores...)
NEW REACTION:
- Star Wars - Sndtrk.
- Tata Vega
- Leon & Mary Russell
- New York, N.Y.-Sndtrk.
- (ISP) Marshall Tucker Band
- C.J., & Co.
- Mink DeVille
- (ISP) John Klempner
- Al Jardine - Sndtrk.
- David Sanborn
- McCoy Tyner
- Al Jarreau
- (ISP) Charlie Rouse
- Kiss
- Kraftwerk
- Roy Ayers
- Daisy Kirwan
- Earl Klugh
- Little River Band
- Carole Bayer Sager
- Thelma Houston/
- Jerry Butler
TOP 20:
- Fleetwood Mac
- Marvin Gaye
- Teddy Pendergrass
- Commodores
- Emotions
- Heart
- Bros, Johnson
- Iley Bros.
- Bee Gees - Live
- Barbara Streisand
- Bonnie Raitt
- Crusaders
- Bob Marley/Wailers
### STRAWBERRIES Cont'd.
- Dan Fogelberg
- Jimmy Buffett
- Weather Report
- Steve Miller
- Aretha Franklin
- Johnny Guitar Watson
- Stevie Wonder
### HARTFORD, CT.
**RECORDS UNLIMITED**
**GLENN MASON**
(Representing 2 stores...)
NEW REACTION:
- James Taylor
- Derringer - Live
- Roy Buchanan
- Jamie Winchester
- Little River Band
- Poco
- Heart
- Gregg Allman
- Kiss
- Joan Baez
TOP 15:
- Dan Fogelberg
- Fleetwood Mac
- Steve Miller
- Crosby/Stills/Nash
- Jimmy Buffett
- Steve Miller
- Barbra Streisand
- Charlie
- Neil Young
- Outlaws
- Eagles
- Little Village
- Foreigner
- Dickey Betts
SELLING IMPORTS:
- Peter Hammill - Over
- Guru Guru
- Hawkwind
- Clearlight Symphony
- EP's
- Genesis
- "Spot the Pigeon"
### BALTIMORE, MD.
**REC./TAPE COLLECTOR**
**BILL MAGGER**
(Representing 5 stores...)
NEW REACTION:
- Crosby/Stills/Nash
- Kinks
- Jerry Jeff Walker
- Bob Marley/Wailers
- (ISP) Balcony Fault (western swing with a twist!)
- Guitar Player
- (ISP) Jaime Brockett
- Tangerine Dream
- Dean Friedman
- (ISP) Vassar Clements
TOP 15:
- Peter Frampton
- Emotions
- Barry Manilow
- Bros, Johnson
- Fleetwood Mac
- The Greatest - Sndtrk.
- Steve Miller
- Heart
- Alan Parsons
- Crusaders
- Johnny Guitar Watson
- Jimmy Buffett
- Al Jarreau
- Commodores
- Star Wars - Sndtrk.
SELLING IMPORTS:
- Pekka w/M, Oldfield
- Mathematician's Air
- Display
- Poco
- Strands of the Future
- U.Hopper
- Hoppertunity Boy
COMMENTS:
My thanks go to Eileen Schneider former promotion with CBS in Baltimore/Wash. area. Good luck in the Big Apple. See ya in London!
- Bill
### NORTHEAST
**RECORD BAR**
**BARBARA TOOMER**
(Representing 6 stores...)
TOP 15:
- Peter Frampton
- Barry Manilow
- Fleetwood Mac
- Brothers Johnson
- Eagles
- Shaun Cassidy
- Foreigner
- Neil Young
- Iley Bros.
- Emotions
- Marshall Tucker Band
- Marvin Gaye
- Steve Miller Band
- Boston
- Dan Fogelberg
### NEW YORK, N.Y.
**SAM GOODY, INC.**
(Representing 17 stores...)
NEW REACTION:
- Barbra Streisand
- Jerry Jeff Walker - Live
- Outlaws
- Cat Stevens
- Dan Fogelberg
- Southside Johnny/Jukes
- Ted Nugent
- Ronettes
- Jimmy Buffett
- Rita Coolidge
TOP 15:
- Fleetwood Mac
- Steve Miller Band
- Barry Manilow - Live
- Beatles - Live
- Star Wars - Sndtrk.
- "Rocky" - Sndtrk.
- Moody Blues - Live +5
- Heart
- Peter Frampton
- Neil Sedaka
- Supertramp
### SOUTH
**DALLAS, TEX.**
**PEACHES**
**JERRY PHILLIPS**
NEW REACTION:
- Budd Cummings
- Andrew Gold
- Foole Gold
- Little River Band
- Neil Young
- Al Jardine
- Detroit Emeralds
- John Klemmer
- Earl Klugh
- Barbra Streisand
TOP 15:
- Kenny Loggins
- Dan Fogelberg
- Fleetwood Mac
- Emotions
- Iley Bros.
- O'Jays
- A Star Is Born - Sndtrk.
- Jimmy Buffett
- Steve Miller
- Barry Manilow
- Eagles
- Commodores
- Little Feat
- Rita Coolidge
- Peter Frampton
## SOUTH
**LOUISVILLE, KY.**
**VINE RECORDS**
**DALE LIBBY**
(Representing 5 stores...)
**NEW REACTION:**
(ISP) John Payne & Louis Levin Band
(ISP) Bobbi Humphrey Little River Band
(ISP) Fors Gold
(ISP) Gabor Szabo
Marlena Shaw
Ramsey Lewis
Nazareth - Hits
Neil Young
**TOP 15:**
Emotions
Roy Ayers
Jimmy Buffett
Maze
Pink Floyd
Bros. Johnson
Steve Miller Band
Fleetwood Mac
Dan Fogelberg
Commodores
Marvin Gaye
Peter Frampton
Bob Seger
John & Guizer Watson
Isley Bros.
Crusaders
Heart
#1 - Loggins
**COMMENTS:**
Go out of your way to see Pink Floyd LIVE......it will knock your socks off.
---
**ATLANTA, GA.**
**PEACHES RECORDS/TAPES**
**STAN GLEASON**
**NEW REACTION:**
Maze
Emotions
Roy Ayers
Norman Connors
Dixie Drags
Flosters
Gladys Knight
Ronnie Laws
Scarlet Rivera
Barbra Streisand
**TOP 15:**
Emotions
Fleetwood Mac
Bros. Johnson
Commodores
Marvin Gaye
Teddy Pendergrass
Isley Bros.
Slave
Dan Fogelberg
Barry Manilow
Peter Frampton
Heart
Lou Rawls
Grasshoppers
Jimmy Buffett
**SELLING IMPORTS:**
Bay City Rollers
Rolling Stones
One Upon a Star
Stevens (all)
Nektar - Live in N.Y.
Secret Offer - Straight
Clarence Phillips - Lost!
John Martyn
Solid Air
Steve Miller
Beat of 67-73
Sans Alex Harvey Band without Alex
---
**FT. LAUDERDALE, FLA.**
**SIDS RECORDS/TAPES**
**SKIP ASHURY**
**JEFF NEWMAN**
**NEW REACTION:**
Roger Daltry
Burton Cummings
Barbara Streisand
Geils
David Sanborn
Laura Nyro
Nazareth
Crusaders
Section
Smokie & The Band
Soundtrack
**TOP 15:**
Little Feat
Kenny Loggins
Steve Miller Band
Little River Band
Dan Fogelberg
Peter Frampton
Cat Stevens
Fleetwood Mac
Wailers
Moody Blues
Jimmy Buffett
Lou Rawls
Bonnie Raitt
Jesse Winchester
Cali Bear & Buzzy Bunch
**SELLING IMPORTS:**
Beatles - Hamburg
Stevens (all)
Jimi Hendrix (all)
Genesis
Spot the Pigeon
Sammy's Lotion
Sex Pistols/Virgin
Anarchy in U.K.
**COMMENTS:**
Question: Why are 8-track tape sales down?
Answer: At least a dozen bootleg tape outlets are around the city.
Question: How can we compete with this?
Sincerely,
Skip
---
**NEW ORLEANS, LA.**
**GRAMAPHONE**
**GLADIN SCOTT**
**NEW REACTION:**
Annie - Sndtrk
Don Baez
Brownsville Station
Geils
Ted Nugent
Laura Nyro
Willie Nelson
Leon & Mary Russell
**TOP 15:**
Fleetwood Mac
Peter Frampton
Bros. Johnson
Jimmy Buffett
Barbra Streisand
Isley Bros.
Commodores
Barry Manilow
Kiss
Marshall Tucker Band
Boston
Eagles
Rocky - Sndtrk
Steve Miller
KC & Sunshine Band
---
**INNER SANCTUM Cont.**
**TOP 15:**
Neil Young
Wallers
Little Feat
Jerry Jeff Walker
Ted Nugent
Bonnie Raitt
Van Morrison
Dan Fogelberg
Rusty Wier
Geils
Waylon Jennings
Steve Miller
Scars on My Rivers
Peter Frampton
**SELLING IMPORTS:**
by Neil Ruttenberg
Beatles - Hamburg
Rocky Horror Picture Show
Keith Jarrett
Staircase
The Jam - In the City
Singles
Sex Pistols
"God Save the Queen"
The Vibrators
"Baby Baby"
The Clash
"Remote Control"
**EP'S:**
Genesis
"Spot the Pigeon"
---
**HOUSTON, TEXAS**
**RECORD RACK**
**PAM PEPPERELL**
**NEW REACTION:**
T-Connection
Cat Stevens
Cali Bear & Buzzy Bunch
Claudja Barry
Detroit Emeralds
Roy Orbison
Leon & Mary Russell
Keith Jarrett
John Klemmer
Balcones Fault
**TOP 15:**
Emotions
Barry Manilow
Donna Summer
Fleetwood Mac
Candi Staton
Rita Coolidge
Salsoul Orchestra
C. J. & Co.
Laura Nyro
Steve Miller
Barbra Streisand
Bonnie Raitt
Bros. Johnson
Peter Frampton
Ginny Rogers
**TOP 20 SINGLES:**
Emotions
Rita Coolidge
Barbra Streisand
Donna Summer
Yvonne Elliman
Fleetwood Mac
Hot - Angel in Dreams
Peter Frampton
Alan O'Day
Mari Wilson
Bros. Johnson
Marvin Gaye
Cat Stevens
Carrie Lucas
10cc
Bennie Raitt
Pablo Cruise
Huey Corp.
Eagles
Steve Miller
Natalie Cole
---
**ARLINGTON, TEXAS**
**FANTASIA REC/TAPES**
**GARY COTTINGHAM**
(Representing 2 stores...)
**NEW REACTION:**
Cat Stevens
Bee Gees - Live
Ray Buchanan
Supertramp
Star Wars - Sndtrk
Little Fever Band
Al Jarreau
(ISP) Lee Ritenour
(ISP) Pat Travers
TFO
**TOP 15:**
Fleetwood Mac
Steve Miller Band
Bonnie Raitt
Dickie Betts
Peter Frampton
Little Feat
10cc
Kenny Loggins
Rita Coolidge
Dan Fogelberg
Outlaws
Waylon Jennings
Jimmy Buffett
Barry Manilow - Live
Atlanta Rhythm Section
**SELLING IMPORTS:**
Beatles (all)
Sol - Live
Tim Buckley-Greetings
Iggy Pop - Raw Power
Nektar - Live
---
**TAMPA, FLA.**
**BUDGET TAPES/RECORDS**
**JOHN BOCK**
**NEW REACTION:**
Judah Priest
Earth Quake
Dictators
Moxy
Dirty Tricks
Captain Beyond
Piper
Dave Edmunds
Supertramp
(ISP) Flamin' Groovies
**TOP 15:**
Beatles - Hollywood...
Peter Frampton
Foreigner
UFO
Heart
Ted Nugent
Little River Band
## SOUTH
**BUDGET TAPES Cont'd.**
- Cat Stevens
- Neil Young
- Fleetwood Mac
- Steve Miller
- Jerry Jeff Walker
- Al DiMeola
- Crosby/Stills/Nash
- Roger Daltrey
**SELLING IMPORTS:**
- Stooges - Funhouse
- Triumph
- Bunch of Stiffs
- The Jam - In the City
- Sex Pistols (single)
- "God Save the Queen"
- Jane's Heaven & Hell
- D.J. Fontignod
- Snakin' Suspicion
- 801 - Live
**COMMENTS:**
We tend to ignore the amazing amount of quality local singles and LP's put out by hard working bands. These records are too good to pass off. Let's help them out!
## EAST-WEST RECORDS
- Marshall Tucker Band
- Heart
- Kenny Loggins
- Pink Floyd
- Pablo Cruise
- Isley Bros.
**SELLING IMPORTS:**
- Iggy & Stooges
- Ultravox
- Jimi Hendrix (all)
- Stiff Records
- Beatles (all)
- Rory Gallagher
## ST. LOUIS, MO.
**STREET SIDE RECORDS**
- STEVE FERZACCA
**NEW REACTION:**
- Outlaws
- Emotions
- Crosby/Stills/Nash
- Little River Band
- Barry Manilow
- Floater
- Earth Quake
- Top 15:
- Heart
- Peter Frampton
- Star Wars - Sndtrk.
- Barbara Streisand
- Ted Nugent
- Waylon Jennings
- Kiss
- Little River Band
- James Jeff Walker
- Kiki Dee
- Supertramp
- Alexis
- Cat Stevens
- Flamingos
- Steve Miller
**SELLING IMPORTS:**
- Slade - Whatever...
- David Coverdale
- White Snake
- Elton John - Light Shines
- Dr. Feelgood
- Snakin' Suspicion
- Stranglers
- Ramones
- The Faces - Best of
**COMMENTS:**
Thanks to Capitol Records for bringing the Little River Band to our store for an autograph session. We also had a lot of fun at a very deluxe party for the group after their small concert. Thanks to Mike Siebert, Wayne Meisenholder and Pat King for arranging everything.
Also thanks to John Burns and Jean Burman of MCA for bringing Alexis to our stores. The group brought video tapes of them in concert which they played in the store on a very elaborate sound system. This really helped to sell a lot of records. We have a great new idea for in-store promotions and it would be nice if more labels could do it in the future.
## RICHMOND, VA.
**GRAMOPHONE**
- BILL TROUT
(Representing 3 stores...)
## NEW REACTION:
- Joan Jett
- Tangerine Dream
- Neil Young
- (ISP) Earl Klugh
- Nancy Sinatra
- Janice Taylor
- (ISP) Dixie Dregs
- Keith Jarrett
- Staircase
- Marvin Gaye
- Kenny Loggins
**TOP 15:**
- Peter Frampton
- Steve Miller
- Jimmy Buffett
- Bros. Johnson
- Heart
- Bob Marley/Wailers
- Supertramp
- Johnny Guitar Watson
- Parliament - Live
- Roy Ayers
- Dan Fogelberg
- Beatles - Hollywood
- Pablo Cruise
- Idris Muhammad
- Charlie
- SELLING IMPORTS:
- Klaus Schulze - Mirage
- Jimi Hendrix (all)
- Beatles - Hamburg
- Bunch of Stiffs (various)
## ORLANDO/WINTER PARK/ DAYTONA BEACH/FLA.
**EAST-WEST RECORDS**
- BILL CORDY
(Representing 3 stores...)
**NEW REACTION:**
- Janice Taylor
- Derringer - Live
- Dirty Tricks
- Crosby/Stills/Nash
- Jerry Jeff Walker
- Roger Daltrey
- Mickey Thomas
- Kiss
- Onahsa Sheriff
- Geils
**TOP 15:**
- Fleetwood Mac
- Eagles
- Jimmy Buffett
- Bob Seger
- Dickie Betts
- Outlaws
- Steve Miller
- Rita Coolidge
- Marvin Gaye
## DALLAS, TEX.
**SOUND TOWN**
- DENNY MOESMAN
(Representing 6 stores...)
**NEW REACTION:**
- Little River Band
- Alan Parsons Project
- Walter Murphy
- Neal Pointes
- Lake
- Les Dudek
- Willie Nelson
- Laura Nyro
- Roy Buchanan
- Lee Ritenour
**TOP 15:**
- Crosby, Stills & Nash
- Barbara Streisand
- Peter Frampton
- Kiss
- Waylon Jennings
- James Taylor
- Dan Fogelberg
- Steve Miller
- Ted Nugent
- Eagles
- Fleetwood Mac
- Jimmy Buffett
- Cat Stevens
- Pink Floyd
- Little Feat
## COLUMBUS, OHIO
**PEACHES**
- BERNARD SCHADER
**NEW REACTION:**
- (ISP) Star Wars - Sndtrk.
- Marshall Tucker Band
- Gregg Allman
**ISP**
- (ISP) Keith Jarrett
- (ISP) Pat Metheny
- Leon Mary Russell
- (ISP) McCoy Tyner
- Neil Young
- Graham Central Sta.
- Dixie Dregs
- Golden Earring
- American Flyer
- Nazareth
- Shalamar
**TOP 15:**
- Peter Frampton
- Barry Manilow - Live
- Fleetwood Mac
- Ted Nugent
- Foreigner
- Steve Miller
- Heart
- Dan Fogelberg
- Commodores
- Bee Gees - Live
- Eagles - Hotel Calif.
- Parliament
- Isley Bros.
- Bob Seger
- Cat Stevens
**SELLING IMPORTS:**
- 801 - Live
- The Who - Best of
- Rory Gallagher
**COMMENTS:**
Pink Floyd album sales should be increasing at every city they play. The same goes for Star Wars. The Geils album is doing so strong. Neil Young has the potential given a good push, and everyone should listen to the Dixie Dregs cause they're great.
## RETAIL
(ISP INDICATES SALES FROM IN STORE PLAY)
### MIDWEST
**DETROIT, MICH.**
- Harmony House
- Garaud MacTaggart (Representing 6 stores...)
**NEW REACTION:**
- Emotions
- Neil Young
- Burton Cummings
- Detective
- C.J. & Co.
- Earl Klugh
- Keith Jarrett
- McCoy Tyner
- Rari Jam - "Hot" (45)
- Kenny Rogers-Crossing
**TOP 15:**
- Fleetwood Mac
- Barry Manilow
- Peter Frampton
- Steve Miller
- Commodores
- Foreigner
- Marshall Tucker Band
- REO Speedwagon
- Kiss
- Barbra Streisand
- Star Wars - Sndtrk.
- KC & Sunshine Band
- Geils
- Shaun Cassidy
- Floaters
**DEARBORN, MICH.**
- Dearborn Music
- Dorothy Tait
**NEW REACTION:**
- Peter Frampton
- Burton Cummings
- Kiss
- Barbra Streisand
- Ted Nugent
- Neil Young
- Roger McGuire
- Gregg Allman
- UFO
- Star Wars - Sndtrk.
**TOP 15:**
- Fleetwood Mac
- Eagles
- Boston
- Steve Miller
- Heart
- Foreigner
- Emerson, Lake, Palmer
- Cat Stevens
- Beatles - Hollywood
- Jack Nick/Jam Hammer
- Rocky - Sndtrk.
- Bad Co.
- Alice Cooper
- Bob Seger
- Star Wars - Sndtrk.
- Selling Imports:
- This Buckley-Greetings
- Stooges - Funhouse
- Raw Power
- Star Wars
- MC5 - Kick Out the Jam
- Pink Floyd
- *Pink Animals*
### CLEVELAND, PTS., OHIO
**RECORD REVOLUTION**
- George Bertovich
**NEW REACTION:**
- McCoy Tyner
- Alan Parsons Project
- John Coltrane/Pablo
- Emotions
- Geils
- Larry Coryell/Mouzon
- Keith Jarrett
- Crosby/Stills/Nash
- Joan Baez/Richman &
Modern Lovers
- The Section
**TOP 15:**
- Neil Young
- Southside Johnny/Jukes
- Van Morrison
- Stevie Wonder
- Wailers
### RECORD REVOLUTION
- Mink DeVille
- Ultravox
- Fleetwood Mac
- Laura Nyro
- Al Jarreau
- Aretha Franklin
- Weather Report
- Outlaws
- Ronnie Laws
- Ronnie Laws
- SELLING IMPORTS:
- Genesis - EP
- "Spot the Pigeon"
- Dr. Feelgood
- The Jam
- Guru Guru
- Ash Ra Tempel
- (ISP) Alice Cooper
- Pink Floyd - Meddle
- (ISP) Al Jarreau
- Roy Ayers
- (ISP) ELO
- (ISP) Walter Murphy
- (ISP) Sun
**TOP 15:**
- Pink Floyd - Animals
- Fleetwood Mac
- Pink Floyd - Wish...
- Dark Side of the Moon
- Supertramp
- Heart
- Peter Frampton
- Neil Young
- Foreigner
- REO
- Barry Manilow - Live
- Charlie
- Steve Miller
- Emotions
- Boston
### PICKWICK/MUSICLAND
- Boz Scaggs
- Kiss - Destroyer
- Kansas
- SELLING IMPORTS:
- Stooges #1
- Funhouse
- Raw Power
- Beatles - Hamburg
- Elton John
- Klaus Schulze -
Body Love
- Rolling Stones - 5 LP Set
- Tim Buckley-Greetings
### CHICAGO, ILL.
**FLIP SIDE RECORDS**
- Richard S. Currier (Representing 7 stores...)
**NEW REACTION:**
- Neil Young
- Maynard Ferguson
- Roy Buchanan
- John Klemmer
- Weather Report
- Shaun Cassidy
- Isley Bros.
- 10cc
- Star Wars - Sndtrk.
- Bob Marley/Wailers
**TOP 15:**
- Foreigner
- Heart
- Steve Miller Band
- Fleetwood Mac
- Barry Manilow
- REO Speedwagon
- Bee Gees
- Ted Nugent
- Cat Stevens
- Eagles
- Supertramp
- Boz Scaggs
- Kenny Loggins
- Jimmy Buffett
- Bros. Johnson
### MILWAUKEE, WISC.
**1912 OVERTURE**
- Carolee Feltz (Representing 5 stores...)
**NEW REACTION:**
- Moody Blues
- Ted Nugent
- Outlaws
- (ISP) Alice Cooper
- Pink Floyd - Meddle
- (ISP) Al Jarreau
- Roy Ayers
- (ISP) ELO
- (ISP) Walter Murphy
- (ISP) Sun
**TOP 15:**
- Pink Floyd - Animals
- Fleetwood Mac
- Pink Floyd - Wish...
- Dark Side of the Moon
- Supertamp
- Heart
- Peter Frampton
- Neil Young
- Foreigner
- REO
- Barry Manilow - Live
- Charlie
- Steve Miller
- Emotions
- Boston
### MINNEAPOLIS, MN.
**PICKWICK/MUSICLAND**
- Greg Haglund (Representing 275 stores...)
**NEW REACTION:**
- Ted Nugent
- Dan Fogelberg
- Moody Blues
- UFO
- Kiss
- Star Wars - Sndtrk.
- Charlie
- Neil Young
- Emotions
- Laura Nyro
- Floaters
- Les Dudek
- Ron Buchanan
- Shaun Cassidy
**TOP 15:**
- Fleetwood Mac
- Foreigner
- Barbra Streisand
- Kiss
- Commodores
- Star Wars - Sndtrk.
- Emerson, Lake, Palmer
- Eagles
- Crosby/Stills/Nash
- REO Speedwagon
- Donna Summer
- Peter Frampton
- Heart
- Barry Manilow
- Pink Floyd
**COMMENT:**
Current in-store promotions include REO Speedwagon, Kiss, Heart, Peter Frampton, Ronnie Laws, Ted Nugent, and Jeff Beck. Sales of Pink Floyd in concert probably one of the best shows in the business. Incredible sound quality and performance. Best movie of 1977 - Star Wars.
### SKOKIE, ILL.
**SOUND UNLIMITED**
- Fred Michals (Representing 200 stores...)
**NEW REACTION:**
- Dan Fogelberg
- Poco
- Star Wars - Sndtrk.
- Jimmy Buffett
- Outlaws
- Crusaders
- UFO
- Floaters
- Shaun Cassidy
- Kiss
**TOP 15:**
- Fleetwood Mac
- Steve Miller
- Foreigner
- Commodores
- Cat Stevens
- Heart
- Bad Company
- Peter Frampton
- Eagles
- Marvin Gaye
- Stevie Wonder
- Rocky - Sndtrk.
- Bros. Johnson
- Barry Manilow
- Ted Nugent
**SELLING IMPORTS:**
by Ken Hanes
- Beatles - Hamburg
- Weather Report
- Live in Tokyo
- Beck, Bogart, Appice
- Live
- Saints - (I'm)Stranded
- Fleetwood Mac
- Rumours
- ELP - Works
- King Crimson
- Young Person's Guide
- Rory Gallagher
- Irish Tour '74
- Jimi Hendrix
- Rainbow Bridge
- The Who
- Quadrophenia
### CHICAGO, ILL.
**HEAR HERE**
- Bob Cruz (Representing 3 stores...)
**NEW REACTION:**
- Kiki Dee
- Outlaws
- Charlie
- Neil Young
- Emotions
- Laura Nyro
- Floaters
- Les Dudek
- Ron Buchanan
- Shaun Cassidy
**TOP 15:**
- Fleetwood Mac
- Foreigner
- Barbra Streisand
- Kiss
- Commodores
- Star Wars - Sndtrk.
- Emerson, Lake, Palmer
- Eagles
- Crosby/Stills/Nash
- REO Speedwagon
- Donna Summer
- Peter Frampton
- Heart
- Barry Manilow
- Pink Floyd
**COMMENT:**
Current in-store promotions include REO Speedwagon, Kiss, Heart, Peter Frampton, Ronnie Laws, Ted Nugent, and Jeff Beck. Sales of Pink Floyd in concert probably one of the best shows in the business. Incredible sound quality and performance. Best movie of 1977 - Star Wars.
### LIBERTYVILLE, ILL.
**DOC FAR RECORDS**
- Rick Johnson (Representing 3 stores...)
**NEW REACTION:**
- Detective
- Cat Stevens
- Scarlet Rivera
- (ISP) Gary Glitter
- (ISP) Gramme Edge
- (ISP) Tangerine Dream
- (ISP) Alan Parsons
- Little River Band
- Paul Revere
- Frankie Miller
**TOP 15:**
- Fleetwood Mac
- Supertramp
- Foreigner
- Neil Young
- UFO
- Star Wars - Sndtrk.
- Dan Fogelberg
- REO Speedwagon
- Dave Mason
- Peter Frampton
- Pink Floyd
- Steve Miller
- 10cc
**SELLING IMPORTS:**
- Beatles - Hamburg
- (ISP) Budgie (all)
- (ISP) Tangerine Dream
- Clearlight
- Ramses
## Midwest
**CHICAGO, ILL.**
**JAZZ RECORD MART**
**HANG THE CRANK**
**NEW REACTION:**
- Al Cohn - America
- Paul Gonsalves
- Coltrane - Afro Blue...
- Sadoo Watanabe &
Charlie Mariano
- Nardwuar & Charlie
- Don Pullen
- Tomorrow's Promises
- Sonny Criss
- Joy of Jazz
- Carney Taylor
- Crusaders
- Clifford Jordan
- Tal Farlow
- Second Set
- TOP 15:
- Dexter Gordon
- Homecoming
- Herbie Hancock
- V.S.O.P
- Kyler
- 16 Men Swinging
- Lester Young
- Lester Swings
- Clifford Brown
- This Quintet Vol. 2
- Don Monza
- First Flight
- Weather Report
- Sonny Stitt Remember
- Art Farmer-Crawl...
- Anthony Braxton - Live
- Mel Lewis & Friends
- Wes Montgomery
- Coltrane - Wheelin'
- Woody Shaw
- At Berliner Jazz
- Eric Dolphy Status
**SELLING IMPORTS:**
- Cecil Taylor - Solo
- Clifford Jordan
- The Pentagon
- Bill Dixon
- Intentions & Purposes
- Lennie Tristano
- Decent into the Maelstrom
- Art Farmer-Way
- Clifford Jordan
- At Boomers
---
## Minneapolis, MN.
**WAX MUSEUM**
**KATE DRYKE**
(Representing 5 stores...)
**NEW REACTION:**
- Ornette Coleman
- Keith Jarrett
- James Taylor
- Bobby Lyle
**TOP 15:**
- Fleetwood Mac
- Crosby/Stills/Nash
- Pablo Cruise
- Steve Miller
- Bonnie Raitt
- Commodores
- Emotions
- Supertramp
- Walle
- Jerry Jeff Walker
- Heart
- Weather Report
- Barbra Streisand
- Waylon Jennings
- Stevie Wonder
---
## West
**DENVER, COLO.**
**INDEPENDENT RECORDS**
**JOHN BROMOLM**
(Representing 2 stores...)
**NEW REACTION:**
- John Klemmer
- Keith Jarrett
- Rain Pryor
- Waylon Jennings
- Barbra Streisand
- Rusty Wier
- Tim Moore
- Roy Ayers
- Neil Young
- Little River Band
- Timberline
- The Doors
- Fleetwood Mac
- Flasters
- Cat Stevens
- Heart
- Emotions
- Steve Miller
- Mass
- Marvin Gaye
- Marshall Tucker Band
- Barry Manilow
- Dan Fogelberg
- Bros. Johnson
- Slave
- Supertramp
- Crusaders
**TOP 15:**
- Fleetwood Mac
- Marshall Tucker Band
- Heart
- Steve Miller
- Dan Fogelberg
- Pablo Cruise
- Waylon Jennings
- Ted Nugent
- Jerry Jeff Walker
- Bob Seger
- Boston
- Supertramp
- Bonnie Raitt
- Jimmy Buffett
- Greg Allman
---
## Longhair Music Con't.
**Bros. Johnson**
- Steve Miller
- Johnny Guitar Watson
- Ted Nugent
- Kenny Loggins
- Crusaders
- Little River Band
- Keith Jarrett
---
## Eugene, Ore.
**CHRYSALSHIP**
**DAVID ODELL**
(Representing 3 stores...)
**NEW REACTION:**
- (ISP) Lake
- (ISP) Clover
- (ISP) Peter Cummings
- Barbra Streisand
- (ISP) Star Wars - Sntrk.
- Neil Young
- Willie Nelson
- Richard Pryor
- Roy Ayers
- Welcome to L.A. - Sntrk.
**TOP 15:**
- Peter Frampton
- Fleetwood Mac
- Heart
- Barry Manilow
- Steve Miller
- Jimmy Buffett
- Marshall Tucker Band
- John Klemmer
- Pablo Cruise
- Maynard Ferguson
- Bee Gees
- Dan Fogelberg
- Little River Band
- Joan Baez
- Marvin Gaye
---
## San Francisco, CA.
**TOWER RECORDS**
**MATHEW KOENIG**
**NEW REACTION:**
- Teddy Pendergrass
- Joan Baez
- Peter Frampton
- Roy Ayers
- Bob Marley/Wailers
- Laura Nyro
- Earl Klugh
- New York, N.Y. - Sntrk.
- Norton Buffalo
- Olivia Newton-John
**TOP 15:**
- Star Wars - Sntrk.
- Fleetwood Mac
- Barbra Streisand
- Emotions
- Commodores
- Barry Manilow
- Pablo Cruise
- Dennis Shinner
- Cat Stevens
- Eagles
- Al Jarreau
- Bonnie Raitt
- Steve Miller
- Dan Fogelberg
- Marvin Gaye
**SELLING SINGLES:**
- Commodores
- Andrew Gold
- Bonnie Raitt
- Heart
- Crosby/Stills/Nash
- War
- Bay City Rollers
- ELO
- Tavares
- Abba
---
## Cincinnati, Ohio
**SIGHT IN SOUND**
**GLENN LINDAHL**
(Representing 2 stores...)
**TOP 15:**
- Jerry Jeff Walker
- Heart
- Dan Fogelberg
- Fleetwood Mac
- Foreigner
- Barbra Streisand
- Eagles
- American Flyer
- Bonnie Raitt
- Steve Miller
- Kiss
- Dan Scaggs
- Barry Manilow
- Marvin Gaye
- Bee Gees
---
## Portland, Ore.
**LONGHAIR MUSIC**
**MICHAEL ADELSEIM**
**NEW REACTION:**
- Johnny Hammond
- Peter Frampton
- McCoy Tyner
- Wilton Feld
- David Grisman Quintet
- Barbra Streisand
- Karma
- Shaun Cassidy
- Tangerine Dream
- Neil Ritzmeyer
**TOP 15:**
- Emotions
- Heart
- Fleetwood Mac
- Commodores
- John Klemmer
- Marvin Gaye
- Roy Ayers
## WEST
**RECORD BAR**
BARBARA TOOMER
(Representing 6 stores...)
**TOP 15:**
- Fleetwood Mac
- Barry Manilow
- Peter Frampton
- Shaun Cassidy
- A Star Is Born - Sndrk.
- Waylon Jennings
- Eagles
- Stevie Wonder
- Rocky - Sndrk.
- Jimmy Buffett
- Boston
- Steve Miller Band
- Neil Young
- Linda Ronstadt
- Bonnie Raitt
---
## SAN DIEGO, CA.
**TOWER RECORDS**
DIANE
**NEW REACTION:**
- Neil Young
- Flatters
- Barbra Streisand
- Little River Band
- Peter Frampton
- Ted Nugent
- Bob Marley/Wailers
- Roy Ayers
- John Klemmer
- Crosby/Stills/Nash
**TOP 15:**
- Fleetwood Mac
- Jimmy Buffett
- Kenny Loggins
- Isley Bros.
- Eagles
- Foreigner
- Steve Miller
- Pink Floyd
- Heart
- Barry Manilow
- Marshall Tucker
- Dan Fogelberg
- Star Wars - Sndrk.
- A Star Is Born - Sndrk.
- Emerson, Lake, Palmer
---
## SACRAMENTO, CA.
**TOWER RECORDS**
WADE
(Representing 3 stores...)
**REACTION RECORDS:**
- Bob Marley/Wailers
- Crosby/Stills/Nash
- Ronnie Laws
- Star Wars
- Joan Baez
- Carpenters
- Roger Daltrey
- Alan Parsons Project
- Slave
- Bonnie Raitt
**TOP 15:**
- Emotions
- Jimmy Buffett
- Fleetwood Mac
- Marvin Gaye
- Pablo Cruise
- Bros. Johnson
- Steve Miller
- Barry Manilow - Live
- Carpenters
- Kenny Loggins
- Isley Bros.
- Commodores
- Barbra Streisand
- Heart
- Peter Frampton
---
## TOWER RECORDS Con't.
**SELLING SINGLES:**
- A real mother for ya - "My Heart Belongs to Me"
- The Beach Boys - "Sgt. Schultz Yard"
- "Sing It, Shout It"
- Star Wars - Sndrk.
- 12" Singles:
- New York Community Bank
- Formula V
- Steve Bender
- Cameo
- Heat Wave
---
## VAN NUYS, CA.
**MOBY DISC**
PATRICK FORDYCE
**NEW REACTION:**
(ISP) Tangerine Dream
Neil Young
(ISP) Flatters:
- Richard Pryor - Hits
- Barbra Streisand
- Bee Gees - Live
- Peter Frampton
- Geils
- Laury Nyro
- Burton Cummings
**TOP 15:**
- Fleetwood Mac
- Emmylou Harris
- Steve Miller
- Heart
- Supertramp
- Ted Nugent
- Eagles
- Star Wars - Sndrk.
- Dan Fogelberg
- UFO
- Moody Blues
- Al Stewart
- Beach Boys
- Cat Stevens
- Foreigner
**SELLING IMPORTS:**
- Beatles - Hamburg
- Crosby
- Rockpommels Land
- Rock Follies '77
- Hudson Ford - Daylight
- Rolling Stones
- Hitman (5 LP Set)
- Genesis LP
- "Spot the Pigeon"
- Sex Pistols (single)
- "God Save the Queen"
- Gryphon - Treason
- Rocky Horror Picture Show - Sndrk.
- Jam - In the City
- Stooges - Funhouse
---
## SAN FRANCISCO, CA.
**RECORD FACTORY**
PETER YUNGEN
**NEW REACTION:**
- Emotions
- Joan Baez
- Tubes
- Annie - Sndrk.
- Bee Gees
- Cat Stevens
- Aretha Franklin
- John Klemmer
- Earl Klugh
- Van Morrison
**TOP 15:**
- Marvin Gaye
- Commodores
- Fleetwood Mac
- Eagles
- Bros. Johnson
- Barbra Streisand
- Johnny Guitar Watson
- Rufus
- Peter Frampton
- Steve Miller
- Rocky - Sndrk.
- Beatles - Hollywood
- Star Wars - Sndrk.
- Heart
- Boz Scaggs
**SELLING IMPORTS:**
- 801 - Live
- Beatles - Hamburg
- Tim Buckley
- Phil Spector Series
---
## SOUTHERN CALIFORNIA
**MUSIC PLUS**
STEVE BOUDREAU
(Representing 15 stores...)
**NEW REACTION:**
- Rod Dee
- Outlaws
- Earl Klugh
- The Section
- Burton Cummings
- TOP 15:
- Neil Young
- Fleetwood Mac
- Barbra Streisand
- Peter Frampton
- Kenny Loggins
- Foreigner
- Star Wars - Sndrk.
- Cat Stevens
- Eagles
- Boston
- Bob Seger
- Boz Scaggs
- Bad Company
- George Benson
- Heart
**SELLING IMPORTS:**
- The Jam - In the City
- Rolling Stones
(French Box)
- Guru Guru
- Novalis - Konzerte
- Stooges (all)
- MC5 (all)
- Gryphon - Treason
---
## LOS ANGELES, CA.
**LICORICE PIZZA/STEP RITE MUSIC**
BOB ADLER
(Representing 19 stores...)
**NEW REACTION:**
- Heart
- Commodores
- Jimmy Buffett
- Marvin Gaye
- Waylon Jennings
- Emotions
- Cat Stevens
- Rita Coolidge
- Flatters
- Dan Fogelberg
**TOP 15:**
- Fleetwood Mac
- Peter Frampton
- Eagles
- Steve Miller
- Boz Scaggs
- Barbra Streisand
- Barry Manilow - Live
- Jimmy Buffett
- George Benson
- In Flight
- Foreigner
- Heart
- Marvin Gaye
- Star Wars - Sndrk.
- UFO
- Golden Earring Band
**SELLING IMPORTS:**
- Rolling Stones
- French Collection
- Lady
- Novalis - Live
- Tai-Duong - Windows
- Beatles - Hamburg
- Golden Earring (all)
- 801 - Live
- Genesis EP
- Jane (all)
- Hollies - Live
- Russian Roulette
- Write On
**COMMENTS:**
Where is MCA going to promote Golden Earring?
WRBB/Boston, Mass. - Woody Johnston Jr.
Artist(s): BILLY PAUL
Place & Date: Berklee Performance Center, Boston
Type of Place: Concert Hall
Ticket Price: $5.00
Capacity: 1,200
Attendance: 200
Production Values: Good
Reviewer's Reaction: Billy Paul is just one of the many people that will call themselves coming out of Phila. International the best recording company in the business! He realized the lack of people in attendance; but instead of cutting his show he just seemed to add more to his performance. He sung with such emotion and positive vibrations that he could only be the only truly survive their monies worth. With the performance that Billy Paul gave I forgot how much I paid, I was only concerned that I could say that I was living a part of this evening of elegance! There is definitely a difference between or should I say a thin line between the recording artist and his criteria. Mr. Billy Paul can erase that line and be considered one of the best in both fields! Keep on doing what you're doing Billy!
WSAN/Allentown, Pa. - Bob Fellencer
Artist(s): SUPERTRAMP; JAN HAMMER
Place & Date: Allentown Fairgrounds Grandstands
June 19
Type of Place: Outside, racetrack-type view
Ticket Price: $6.00
Capacity: 10,000
Attendance: Sold Out!
Production Values: Excellent
Reviewer's Reaction: It was the first outdoor concert in Allentown this year, and Supertramp and Jan Hammer made it outstanding. Jan Hammer opened to a cheering crowd, but when Supertramp appeared on stage, the audience went crazy. From the opening chords of "School" to the closing crescendo of "Crime of the Century," everything was concise and stimulating. There were some minor sound problems and some clowns with the ever present firecrackers, but the clear night and the tight performance penetrated the surrounding area. Supertramp played numbers from all their albums and included a dynamic slide into behind "Fool's Overture," and "Crime of the Century." I've seen very few bands attempt the perfection Supertramp so easily achieves on stage. As attested by the growing numbers of people who attend their concerts, Supertramp is finally catching on.
WRPL/Charlotte, N.C. - Debbi Gallon
Artist(s): DIXIE DREGS
Place & Date: Double Door Inn, Charlotte, N.C.
June 20 & 21
Type of Place: Club
Ticket Price: $3.00
Attendance: Capacity +
Production Values: Good
Reviewer's Reaction: These local favorites were well and wildly received. The energy and excitement that these guys generate is incredible. I'd heap many praises on their live performance but really couldn't understand how they could possibly outdo their musical performances on their 2 albums. They did. What a show!! These 5 musicians are so compatible...so complementary...so versatile that they make you feel like you're in the band. Their sound of 'southern rock/jazz fusion' surpasses any limitations and breaks categorical barriers. Their individual musical talents are all highlighted throughout the show and are allowed to break loose on tangential runs but without fail they come back together with such overwhelming tightness that it's hard to believe that you actually heard and actually saw what just occurred. Guitarist Steve Morse is binding. Ranging the gamut from searing wails and lightning fast licks to smoothly lilting acoustical sounding tours, he is an incredibly intricate player who has total control that he at once involves everyone in the audience. Moments of excellence are realized by each band member. Selections from the new album Freefall were enthusiastic-ally received. The audience favorite from the first album as well as songs never heard performed by them before. We are very excited about their well deserved success and have nothing but high hopes for their future. The only drawback of the show was that crowded and small and less than acoustically perfect setting, it really didn't affect their performance or the audience's overwhelming reception.
WPRB/Princeton, N.J. - Michael First
Artist(s): EMERSON, LAKE & PALMER
Place & Date: The Spectrum, Philadelphia - 6/21
Type of Place: Basketball-Hockey arena
Ticket Price: $9.50; $8.50; $7.50
Capacity: 19,000
Attendance: 10,000 (est.)
Production Values: Excellent
Reviewer's Reaction: Due to financial difficulties ELP have been forced to drop their touring orchestra, turning what had promised to be a fresh approach to the stagnating rock concert experience into an evening of ELP's greatest hits. They adjusted well to this last minute change, and did a remarkable job of filling the void left by the loss of their triumphant "Pirates". The rest of the show was somewhat of a disappointment, with the trio playing essentially the same material as at the Spectrum nearly three years ago, accompanied with the same "crunch" drum machines by Emery, the same revolving drum stand, and the same exploding synthesizer. Nevertheless, the group's performance was superb - ELP never sounded better together, and each member was in perfect form. But after a 2-1/2 year respite from the rock scene, I would have expected more than just nostalgia.
WCUR/West Chester, Pa. - Rick Bohs
Artist(s): BRYAN FERRY GROUP; JOHNNY'S DANCE BAND; ROUGH DIAMOND
Place & Date: Tower Theatre, Upper Darby, Pa.
June 19
Ticket Prices: $4.50; $5.50 & $6.50
Capacity: 1,100
Attendance: 2,000
Production Values: Good
Reviewer's Reaction: After playing together for the 'fourth time' on this act, Rough Diamond displayed a rather bland mix of anglo rock. Ex-Uriah Heap vocalist, David Byron, leads this group and he showed precisely why the Heap fell...lack of talent. Next up local favorites J.D.B. played their standard set (mostly from their debut LP) and finished with my favorite "Mifredo" which by the way was left off of the album, J.D.B. is still trying to reach other audiences outside of Philly and if they ever do...watchout. Bryan Ferry and his new group, without all the flashiness of Roxy Music, play a pretty good set. They begin the evening sprinkled with some classics, "Let's Stick (Work) Together," "Shame, Shame, Shame," "The In Crowd," "It's My Party" and Dylan's "Hard Rain." These remakes, for me, outshine the Ferry originals and a few roxysomes the group played. Ex-Shark, who are presently in Boston, Cambridge, was fantastic on lead by far outshining Roy guitarist, Phil Manzanera, who stayed pretty much in the background. John Wetton on bass was a help to Ferry on harmonies.
PEACHES #7/Ft. Lauderdale, Fla. - Tammy Gorr
Artist(s): DEAN FRIEDMAN; LITTLE RIVER BAND
Place & Date: Gusman Cultural Center - June 17
Type of Place: Indoor, large setting
Ticket Price: $7.50 & $6.50
Capacity: 1,600 (2 shows)
Attendance: Capacity both shows
Production Values: Excellent
Reviewer's Reaction: Even though this was a two show performance, it was Little River Band who stole both shows. However in no way did this diminish the energy that Dean Friedman put in his second act. Little River Band, in a spectacular effort, did not disappoint and went into their second performance, opening with a splendid array of material off their new album which received a standing ovation upon conclusion. Moving onto some better recognized ballads they became even tighter, which they accomplished through the combination of musical timing and long association. Overall there was an experience that no one attended will soon forget. They bring, from Australia, a musical talent that the United States will not be able to ignore or dismiss.
RECORD RACK/Houston, Texas - Helen Flintier
Artist(s): CLIMAX BLUES BAND; HEART
Place & Date: Fox Summit - June 11
Type of Place: Auditorium
Ticket Price: $7.50
Capacity: 18,000
Attendance: Approx. 15,000
Production Values: Good
RECORD RACK/Helen Flintie - continued...
Reviewer's Reaction: I thought they enjoyed opening act, Clancy Blunt. They played a tight, slick set and the audience didn't want to let them go. They received two well deserved standing ocactions. The audience wanted a third encore but they had to make way for the featured act, Heart, who pleased everyone with their imaginative, dramatic changes from almost classical to hard rock. It was a fine concert!
KNCN/Corpus Christi, Texas - Jay Stevens
Artists(s): JOHN KLEMMER
Place & Date: Paramount Theatre - June 18
Type of Place: Movie theatre
Ticket Price: $6, $7.50
Capacity: 2,400
Attendance: Almost full
Production Values: Excellent
Reviewer's Reaction: Klemmer put on fine show for an enthusiastic audience. He tended to be more uptempo than his regular style. Material was primarily from the new album Lifestyle, but largest reaction was to "Torch." Band was good especially keyboard player Tony Gardner. Encore was a surprise - Monk's "Straight No Chaser." All in all an excellent show - see this man!
WEMU/Ypsilanti, Mi. - Dennis Hartford
Artists(s): DAN FOEGELBERG; FOOLS GOLD
Place & Date: Pine Knob Music Theatre - June 16
Type of Place: Outdoor music theatre
Ticket Price: $7.50/$5.00
Capacity: 10,000
Attendance: Nearly sold out
Production Values: Good
Reviewer's Reaction: Fools Gold opened the evening with a 20 minute warm-up performing songs from their first LP including a couple from their new album called Make Lucky. After a short break Dan Foegelberg by himself and displayed his versatility by performing on piano and acoustic guitars. The solo set lasted about 40 minutes. After another break Dan appeared with Fools Gold and played songs from all four of his albums including "The Ballad of the Lonesome Tilt," "I Captured Angel," "These Days," "Part of the Plan," as well as others. The added highlight of the concert came when Glenn Frey of the Eagles appeared during the encore and played guitar during "As the Raven Flies" and "There's A Place in the World for a Gambler." Overall, an excellent concert that built in intensity throughout the evening.
1912 OVERTURE/Milwaukee, Wisc. - James Howard
Artists(s): PINK FLOYD
Place & Date: Milwaukee County Stadium - June 15
Ticket Price: $9.00 general admission
Capacity: 60,000
Attendance: 60,000
Production Values: Excellent
Reviewer's Reaction: It was a perfect concert. Sixty thousand tickets sold out in four days, and nine weeks before the rockers arrived, the well cultured people who had come to see Pink Floyd's dazzling display of flying animals, animated films, fireworks, explosions and music. The band played the entire Wish You Were Here and Animals and were called back for an encore with "Interstellar Overdrive" and "Echoes." Then closed the concert with a spectacular water-fall of fire. The timing and production were perfect from start to finish making Landmark the most exciting and professional new production company in the midwest.
CHRYSALIS/UP/Eugene, Ore. - David Odell
Artists(s): SONS OF CHAMPLIN
Place & Date: Lane County Fairgrounds
Time of Place: Exhibition Hall
Ticket Price: $4.50
Capacity: 3,000
Attendance: 400
Production Values: Good
Reviewer's Reaction: It's too damn bad that The Sons are one of California's best guarded secrets. It is the opinion of myself and the other 400 people who saw and enjoyed the concert that Bill Champlin is the closest thing to divinity we have. With songs like "Hold On" and "Saved by the Grave of Your Love" it's long past time this band gets the national recognition it deserves.
RECORD FACTORY/San Francisco, Ca. - Peter Yungen
Artists(s): MICKEY THOMAS
Place & Date: Old Waldorf, S.F., - June 18
Type of Place: Night club
Ticket Price: $4.00
Capacity: 300
Attendance: 200
Production Values: Good
Reviewer's Reaction: Good! Memphis soul sound i.e. Steve Cropper or Delaney Bramlett. Band does the Elvin Bishop song "Fooled Around & Fell in Love," "Twist & Shout" off Bishop's Hometown Boy LP.
KSRT/Stockton/Modesto, Ca. - Mark Sherony
Artists(s): DUBBLE AND PABLO CRUISE; LITTLE RIVER BAND
Place & Date: Mountain Aire Festival - June 11
Type of Place: Calaveras County Fairground
Ticket Price: $10.00
Capacity: 10,000
Attendance: Sold Out
Production Values: Excellent
Reviewer's Reaction: A great group gathering where one and all found their place in the sun and got into some Doobie Wonderaire heat in a together with a death defying airshow to pass the time between bands, 3 topnotch groups (all having good days and great response), and even total sunshine for the duration of an eight hour show. The Dubbles had headed up and of course the stars playing all the hits, including "China Grove" for the encore. Even a taste of some distant Steely Dan with Skunk Baxter on guitar. Pablo had everybody up, they too drew a couple of encores from the Little River Band gave a fine sampling of some of their old and new material, all in a very enthusiastic crowd of California sun worshipers. It was great, just like last year's and probably next.
KFIG/Fresno, Ca. - Art Farkas
Artists(s): THE TUBES
Place & Date: Warnors Theatre, Fresno - June 11
Type of Place: Beautiful old theatre
Ticket Price: $6.50, $7.50
Capacity: 2,000
Attendance: 1,900
Production Values: Fair
Reviewer's Reaction: Inevitably, after seeing The Tubes three times, the love of this drama grew old. They work awful hard to compensate, though. Sadly, I must say that it seems one of my favorite bands is doomed unless they make a big comeback with exciting new material. Sound system really stunk. How can you enjoy music you can't hear?
KALX-FM/Berkeley, Calif. - R. "The Doc" Pelzel
Artists(s): CALDERA; SUMMER'S HEAT; BILL JONES; McCOY TYNER, RON CARTER, GEORGE DUKE
Place & Date: U. of Calif., Berkeley, Greek Theatre - May 28
Type of Place: Outdoor amphitheatre
Ticket Price: $6.50
Capacity: 9000
Attendance: 5000
Production Values: Fair
Reviewer's Reaction: Los Angeles based Caldera opened the 11th annual Berkeley Jazz Festival with their lively blend of Latin, jazz, and salsa. The sextet, performing tunes off their first LP as well as previewing some material from their upcoming release, was very well received by the 3500 or so people who arrived on time. The group's following is growing in the Bay Area, and they will hopefully headline shows here in the future. Between Caldera and the next act was waiting enough to qualify for the Guinness Book of World Records. "Good warm-up between this and future sets included massive hype and verbal grossoff by several radio programmers, who even ran out of things to say while waiting for the set up for Bill Summers' "Fusion" set. Summers was actually able to start his performance of most of the material on the Feel The Heat album, plus some 'Roots' material. His band, which was numerically the largest of the evening, featured some excellent vocals by Mikki Morris and Shirley Puckett, in addition to some dynamic trombone work by Julian Priestner. A special appearance by Sheila Eacovino brightened the set. The band returned to stage for an encore, but was unable to perform one due to the excessive amount of beer taken by the set up. After a brief apology, the band left the stage. Elvin Jones set with two Kawasaki contained extended but well executed numbers. His compositions were all melodic enough to be interesting, and flexible enough to allow sufficient improvisation to demonstrate the musician's versatility. Jones turned to drum beat and McCoy Tyner and Ron Carter for the next set. This trio, which recorded the 1975 Tyner release Trident, performed exceedingly well together, drawing little from the Trident release. Tyner's piano, as is customary, was dominant, the bass and drums both held audience attention. Final act of the lengthy evening was George Duke who played until after 2 a.m. Continuing in the trend of his From Me To You album, Duke leaned a bit more heavily on the female backup, funky sounds than he has previously. While the musicianship was quality, the material and arrangement seemed out of character.
KZOK-102-1/2/Seattle, Wash. - Marva Mackon
Artists: THE TUBES
Place & Date: Paramount Northwest - June 14
Type of Place: Reconverted theater
Ticket Price: $7.50
Capacity: 3000
Attendance: 2000
Production Values: Excellent!!
Reviewer's Reaction: They were promised bondage rock X-rated politics and without any doubt that the 2000+ crowd at the Paramount were prepared for The Tubes. The Tubes translate into the word show, Their act on stage - outrage to the delight of most and the disgust of others. Using a multi-media montage of effects (video equipment with monitor) on their own film channel, using of course another performance even between sets), The audience was entertained in all "senses." Visually the Tubes troop (at least 15 of them, including female dancers and musicians) made up for any lack of musicianship, though I personally feel they deserve more music. See Sylva take the show in her now legendary sex education number - replete with diagrams and a simulation of bondage sex. The encore was a number the crowd had shouted for all night. Fee Waybill (much hauled by the 70's) infamous club, "White Punks on Donkey" Seeing was the thing. The rock event of the season easily, The Tubes have firmly established themselves here in Seattle, And weaker hearts discouraged, I guarantee the next Tubes visit will be sold out to us heartier variety.
STREET SIDE RECORDS/St. Louis Mo.-Steve Ferzacka
Artists: LITTLE RIVER BAND; DICKY BETTS
Place & Date: Fox Theatre - June 23
Type of Place: Large movie theatre
Ticket Price: $5.50/$8.50
Capacity: 3000
Attendance: 2300
Production Values: Fair
Reviewer's Reaction: Last night's Allman Brothers concert, I mean Dickey Betts, was at its best a fair reminder of how good the Allman Brothers really were, which is what Betts proceeded to do all evening. All of this ramblin' on was to the crowd's likening but relying on the past memories of the Allman Brothers days left this reviewer a little bored. This style of music should be played by the Allman Brothers and not them but the highlights of the show occurred when new material was introduced and that is a rarity. Little River Band pulled off a cool, tight opening performance but were a little loud. But this is a group enjoying much popularity with their tight playing and good vocals. The concerts of what came off rather well. All of the evening's festivities were brought to us by Deustch Prod. who have given St. Louis many bright moments bringing quality music to quality joints. Thanks Dick!
TRIAD/Chicago, Ill. - Rick Brown
Artists: RAMONES
Place & Date: B'O'MEGA's, Schaumburg, Ill. - 6/21
Type of Place: Rock club
Ticket Price: $2.00
Production Values: Good
Reviewer's Reaction: This was the first real punk-out in Chicago since NBC's and Time Magazine realized, with NBC filming both bands, Scayfish was excellent, they should be getting a label soon. They are incredibly tight, talented musicians, with lead singer Jim Scayfish putting on a visual act that is completely different from the still blonde, They are the only new wave act not signed here in Chicago. The Ramones were better than excellent. After Johnny finally kicked the NBC film crew off the stage, they had the crowd pogoling in unison, as they went through most of "Leave Home," and then into "I Wanna," the big crowd reaction song. The Ramones brought new wave to a head here Tuesday, and it's starting to happen.
PEACHES RECORDS/Columbus, Ohio
Artists: PINK FLOYD
Place & Date: Memorial Riverfront Coliseum
Ticket Prices: $7.00, $8.00, $9.00, $10.00
Capacity: 18,000
Attendance: Sell out
Production Values: Excellent
Reviewer's Reaction: Pink Floyd satisfied an audience to the point where no one could expect anymore. The visual effects were done effectively and with precision. Their playing was tight and very good. They did Animals, Wish You Were Here Dark Side, and Meddle in very nice arrangements. Pink Floyd was a homecoming for me too, because it is one of the very first concerts I've seen where the crowd wasn't a bit uncomfortable. Pink Floyd apparently draws a more sophisticated crowd, and that also says a lot for them. For once people were there to enjoy the musical side of themselves. They were so very good and what is amazing about it is that they haven't reached their peak yet. New York should be seeing one of the greatest rock acts to take place.
WRAS/Atlanta, Ga. - Lucy Vizuraga
Artists: EMERSON, LAKE & PALMER
Place & Date: OMNI - June 23
Type of Place: Auditorium
Ticket Price: $8.50
Capacity: 16,000
Attendance: 16,000
Production Values: Excellent
Reviewer's Reaction: Despite the absence of ELP's 78 piece orchestra members, Lake & Palmer put on a spectacular performance. The audience seemed to have forgotten the promise of the large orchestra, as well as old favorites, such as "Lucky Man" and "Ho-Down." Their encore consisted of many strange occurrences including the keyboards, Keith Emerson displayed his usual showmanship by jumping over the organ and letting it fall on him.
WRNW/Westchester-New York City - Megless Griffin
Artists: BRYAN FERRY; TALKING HEADS
Place & Date: Bottom Line - June 23
Type of Place: Club
Ticket Price: $5.00
Capacity: 400
Attendance: Packed full
Production Values: Good
Reviewer's Reaction: Reaction? A+. Talking Heads are unique, and as your local promotion man would say, "that's no hype!"... in the true sense of the word, unique, refreshing, uncommon, and not so good, as to make us "bored" or "tired." They can't do the same. They allow you to see them think as they play... and invite you to think along. And they rock!
Bryan Ferry...he's always been among the best of rock 'n' roll with class. And with that band, (Chris Spedding!) why not?!... the beat goes on...
WAAL-FM/Binghamton, N.Y. - Steve Becker
Artists: SEA LEVEL; MUSKALOKEE TUCKER BAND
Place & Date: Broome County Arena - June 19
Type of Place: Arena
Ticket Price: $6.50 advance; $7.50 day of show
Capacity: 7000
Attendance: 6000
Production Values: Good
Reviewer's Reaction: "Honest music" came to Binghamton on this evening. "Honest music" is what Chuck Leavell and Tommy Caldwell call their brand of music in an interview with our writer in the area. And I agree, that's a good description, because I came away from the concert with a good feeling. Both groups presented themselves as musicians first, then entertainers to the audience (as well as the media) during and all. This was the first performance for Sea Level as a four man group and it was a spirited one, playing material mostly from their debut album also throwing in some Allman Brother's tunes. Chuck Leavell stating on the airways with the additional 2 members, Lindsey and Randall Bramblett, this band is going to the top! The Tuckers at times just seem to stand motionless on stage, however, their instruments seem to be moving in high gear. Ranging from country rock to swing, the Tuckers definitely have it together. Nice encore. Jam of the two groups, Rays.
WWJQ-FM/Rochester, N.Y. - Al Paterson
Artists: CHUCK MANGIONE
Place & Date: Eastman Theater, Eastman School of Music, Rochester - June 20
Ticket Price: $5.00 to $7.00
Capacity: 3000
Attendance: Sold out (2 shows)
Reviewer's Reaction: When Chuck comes back home it's always a special sort of affair. The quartet was tight and polished as usual. The show featured lots of Chuck's best known tracks as well as a liberal sampling of material from the recent Lp, Main Squeeze. The almost 3 hour show featured outstanding solo work from all members of the quartet, along with an absolutely outrageous performance of Chuck's father's singing brother, Cap Mangione on keyboard and moos. As always, the audience responded warmly and appreciatively to all works. When you can overwhelm and excite a critical home town audience, you know Chuck has at least established his music to stay...
WCWU/Worcester, Mass. - Owen Maercks
Artists: DEAF SCHOOL
Place & Date: Paul's Mall - June 20
Type of Place: Club
Ticket Price: $3.50
Capacity: 400
Attendance: 250
Production Values: Fair (poor mix on vocals)
Reviewer's Reaction: While I only saw their first set, some strong impressions come to mind:
1) They are not, as they have been billed, eccentric. They are also not adventurous; 2) They generally write good songs, but a few notably "Fast" and "I Want To Be Your Boy" are devastating; 3) With the exception of Eric Shark,
CONCERTIZING
WCIU/W/Owen Maercks Continued...
they are basically unattractive folk who have done some good work with themselves; 4) Their musicianship is solid, if unexciting in any department; 5) I'm convinced that their Room num-"Showroom" -Orchestra Luna sound will make any commercial splash here are one in a thousand; and; 6) They all looked as if they'd just received a sharp kick in the groin.
KREM-FM/Spokane Wash. - Don Adair:
Artist(s): JOE PASS, OSCAR PETERSON; ELLA FITZGERALD
Place & Date: Spokane Opera House - June 15
Type of Place: Formal opera house
Ticket Prices: $6.50; $7.50
Capacity: 2700
Attendance: 1800 (2nd of 2 shows)
Production Values: Excellent
Reviewer's Reaction: Experience counts! Pass' set was low-key, but very perceptive, bit stiff. Oscar would have been "so-mo" finer with a little more time to stretch out. Ella can still find all the notes all the time - she swung through a wonderful assortment of tunes as gracefully as you please. Where would we be if these folks hadn't gone before?
WCBN-FM/Ann Arbor, Mich. - Michael Kresman
Artist(s): THE FABULOUS SILVERTONES
Place & Date: The Blind Pig
Type of Place: Blues and jazz basement club
Ticket Prices: $1.50
Capacity: 100
Attendance: Full - plus
Production Values: Good
Reviewer's Reaction: The Silvertones are currently Ann Arbor's hottest band. Their musical repertoire consists mostly of music originally created in the 1940's and 1950's; Chicago blues, Kansas City jump tunes like Joe Turner's "Flip, Flop and Fly" and rockabilly standards like Carl Perkins' "Folsom, Shucks, and a brand new, incredible act, far from it! The music they play is still vital and the varied influences have been synthesized (not homogenized) into a stylistic unity that returns to the roots of rock and roll. The Silvertones play good time music that you want to sit down and they have a very good record (write me c/o WCBN for info.) and are on their way to Boston for July. WBCN, WCOZ, WCAS and WBRU please take note.
WGTB-FM/Washington, D.C. - Prof. Mota
Artist(s): SUPERTRAMP
Place & Date: Lisner Auditorium - June 16
Ticket Price: $6.50; $5.50
Capacity: 1500
Attendance: 1350
Production Values: Excellent
Reviewer's Reaction: Supertramp proved this time that they have reached the maturity of their professionalism, live and on records - as you know they produced Even In The USA even that the local press did not think so. Fine band all around, together they generate a very intense sound and atmosphere. The band is tight and I thought Roger's vocals are so fine, many times I think they were made for each other. Dougie boogies his bass with movements from one side of the stage to the other. John's winds give an upbeat tempo to the tunes. Bob is like the heart of the band with his notable drum sound... Needless to mention the talents that Roger and Rich have with guitars and keyboards respectively.
WVX-FM/Highland Park, Ill. - Ron Friedman
Artist(s): MARK O'CONNOR; BRIAN BOWERS
Place & Date: Amazingrace - June 19
Type of Place: Folk/jazz club
Ticket Prices: $3.00
Production Values: Good
Reviewer's Reaction: Mark O'Connor is definitely a virtuoso fiddler. And a proficient flat-picker, too. It's no wonder he's won national contests. But the evening was for Brian Bowers. His autoharp work is extraordinary. A very casual concert, pleasingly laid back and mellow!
JOBS & MISC. INFO
JOBS
We're looking for a 10-2 night jack with 3 arms. Any talented human or alien may apply...Joe from Chicago, c/o WRKN, Briarcliff Manor, New York 10531.
We Need Production Tapes! We also may need an air person soon, too. If your production isn't excellent or you don't have commercial on-air experience, save your tape for wrapping X-mas presents. However, if you think you can handle living in Maine and are genuinely talented, mail those reels ASAP (no Shinyrock tapes, please) to Steve Thibodeau WBLM, P.O. Box 478, Lewiston, Me. 04240.
WIQR - rare announcer opening in the finest AOK city in the universe, Ann Arbor. Send tapes and resumes to: WIQR, Nell Lasser, Box 5, Ann Arbor, Michigan 48107, M/F.
We have an opening for a creative morning substitute. Strong production a plus... our listeners like to wake up smiling... let's hear what you can do. Tapes only to: Bill Nosal, WCCC-A-ME FM, 11 Avonlea street, Hartford, Ct. 06103.
Looking for a situation at a station in Florida. Progressive desired. Am currently music director at WRPL-A-M in Charlotte, N.C. Am mainly looking for air shift. Contact Deb Watson at (704) 372-1349. Am currently 6-10am announcer. Been on-air for 1-1/2 years.
Still looking to get that first break into commercial radio. Have good references, lots of knowledge, good knowledge and production value. A person with many ideas that could benefit a good black formatted station. I am looking for work in any major market. Four years non-commercial experience, have been station manager for the last 5 months at WBRB, AM in Brooklyn, N.Y. Woody Johnson, Jr., 243 W. Tulpehocken Street, #10A, Phila., Pa. 19144, I will have my B.S. in communications in one year.
Seven plus yrs. veteran of Washington, D.C. progressive radio, Carole Colwell, has left WERB for serious and varied related career. Background includes full-time drive on-the-air, over 250 major interviews, live remotes, extensive production and A&R. Recommendations available. For comment contact: Carole, 2316 40th Street N.W., Washington, D.C. 20007 or call (202) 337-3676.
JOBS CONTINUED
Music Director at three AOR stations, major market experience, and 7 years in radio are just a few of my qualifications. I'm easy to get along with, although I take my duties seriously, and work hard on and off the air. I'm available immediately, and I'll be happy to talk to you. Call Larry King at 609-622-1448 or 585-0193. Also 771-2420 Tuesday & Thursday from 5-9:30pm.
MISCELLANEOUS
WGOE is now running a mini-concert series every Monday night and we need tapes. If you have live tapes, send them to WGOE-AM, 104 West Franklin Street, Richmond, Va. 23220, Attention: John Stevens.
Wanted: Live tapes for concert series with large audience - send to WRSU-FM, 126 College Avenue, New Brunswick, N.J. 08903, Attention: Irv Lukin.
Peters International advises that Turner and Kirwan were born in Westford Ireland, where they resided for twenty-two years, and are currently resident aliens living in The Bowery, New York City.
RECORD SERVICE
KCNS/Northridge, Ca. - Artists; Mercury; Imports
KOHL/Fremont, Ca. - Island; CBS
KSUN/Rohnert Park, Ca. - Folkways; Lifesong
WBSD/Burlington, Wisc. - MCA
WMHW/Mt. Pleasant, Mi. - Melody
WMIR/Lake Geneva, Wisc. - Island
WFRB/Princeton, N. J. - Roulette; Amerama; Catalyst
WRRB/Boston, Mass. - Ariola
- T.K.; United Artists; Delite
- Polydor; Int'l.; Imports (CBS)
WRSU/New Brunswick, N.J. - Artists
WRUV/Burlington, Vt. - Verve Reissues
WSAC/Ft. Knox, Ky. - Elektra/Asylum; W.B.; Island
NEW RELEASES
BELOW IS A CATALOGUE OF NEW RELEASES. THEY ARE DIVIDED INTO CATEGORIES DESIGNED TO GIVE YOU AN IDEA OF THEIR RELATIVE MUSICAL WORTH. THESE FIRST IMPRESSIONS ARE NOT MEANT TO RELATE IN ANY WAY TO PAST, PRESENT OR FUTURE SALES, NOR SHOULD THEY BE TAKEN AS THE WORD OF GOD.
SPECIAL MENTION ALBUMS
(These records which, in our opinion, deserve special mention because they come closest to perfecting their musical genre regardless of progressive radio application.)
(None.)
STRONGLY MERITORIOUS
(We feel that these Lp's have an extra edge.)
(None.)
MERIT PLUS ALBUMS
(All Merit and Merit Plus Albums are Recommended for serious progressive radio consideration, recognizing that not all of these recommendations are suitable for all stations. The Merit Plus Albums distinguish themselves with an extra vitality.)
Jaime Brockett/NORTH MOUNTAIN VELVET/Adelphi AD 1028 (Jaime Brockett's return to vinyl is auspicious. Folk music luminaries gather to augment his effort but, it is his own voice that guides this album. Fine material and fine presentation favor the ear.)
Coryell-Mouzon/BACK TOGETHER AGAIN/Atlantic SD 18220 (A tenuous, fusionist album results from these two lost souls reuniting. Now if they can stay on the road for a trapeze for a few years, they may begin to return some of the energy which people have invested in their partially fulfilled careers. Consistent on all levels for the first time.)
Country Joe & The Fish/REUNION/Fantasy F 9350 (The details distinguish "Dirty Glass Rae" and "Insufficient Funds" touch the nerve which tied its audience to Country Joe & The Fish. Some of the politics and some of the good times are here in a reunion which is not an attempt to recapture the past, maybe it's just a chance to point at it.)
Kevin Coyne/IN LIVING BLACK & WHITE/Virgin PZ 34757 (Previously reviewed as an import and reconsidered here. Taken from two record set, the selection of tracks between the performances on one hand, and extracts many of Coyne's charming excesses, on the other. The American pressing seems to be something too. Currogum's of the world unite!)
Crosby, Stills & Nash/CNS Atlantic SD 19044 (Rocky, Stills and Nash create a beautiful sound which is etched in the very surface of rock music. It is almost holy. It is able to smooth even the weaker songs. Side two contains most of the heavy guns in a slightly uneven LP.)
Burton Cummings/MY OWN WAY TO ROCK/Portrait PR 34698 (Richard Perry and Burton Cummings find their way to a forcible brand of rock 'n' roll. Burton originals and a choice of outside material contribute significantly to the commercial quality displayed herein. Snapping presentation helps too.)
Roger Daltry/ONE OF THE BOYS/MCA 2271 (One of rock 'n' roll's best singers has made a singer's album, just what he should be doing. A collection of worthy songs, set in tasteful arrangements, and in just the right environment for Roger Daltry. And he sings.)
Fools Gold/MR. LUCKY/Columbia PC 34828 (Harmonies, tunes and accompaniment jump off of the record because of a first rate, Keith Olsen production. However, it is just that production which tends to get too glossy, too overdone. The result is a little too pop for taste but, a fine album anyhow.)
Willie Nelson/TO LEFTY FROM WILLIE/Columbia KC 3-4810 (A fine country album. A tribute to Lefty Frizzell leaves the barroom and pursues tow and traditional country. That Nelson voice sounds great edging its way through fine Frizzell material.)
The Alan Parsons Project/ROBOT/Arista AL 7002 (Riding on a concept of robots, "borrowed from Isaac Asimov, Alan presents another stunning production. The quality of the tunes averages out after the first two power-pentings but the album's grandeur manages to carry it forward. Check out "Greatest Ch. I.V. 32" also, Strawbs/BURNING FOR YOU/United 1-1611 (With bigger productions lose clarity and presence, the presence of consistently attractive songs is never lost on the ear. This Lp reflects an adjustment which gives band members beyond Dave Cousins, a fuller place in the creative process. The simpler the production, the better the result.)
Various Artists/THE KING OF ELFLAND'S DAUGHTER/Chrysalis 1001 (Bob Johnson and Pete Knight have created the first modern concept album since Alan Parsons Edgar Alan Poe which is worth the time. Tied together by the grandly voiced narrative of Christopher Lee, some good music is presented by an impressive list of artists including Jimi Hendrix, Frankie Miller, Alexis Korner and Chris Farlowe. Many of the tunes hold up in or out of the dramatic concept.)
Johnny Winter/NOTHIN'/BUT THE BLUES/Blue Sky PZ 34813 (It may not be the commercial thing to do but, Johnny Winter, in the interest of his sense, is playing the music he loves the most, the beat may he loves. More power to him and to all of us, for our appreciation of it.)
MERIT ALBUMS
Aalon/CREAM CITY/Arista AL 4127 (A mixed communication occurs as the Lp cover the full, finding the familiar keyhole and the door, while the music tells you another. Funky rock and roll, not disco music, is the basis of this recording. It may take you until side two before you begin to appreciate it because of the confusion.)
AD-DALEET THERE BE ROCK/Atco SD 36-151 (They issue basic, raunchy rock music. And yet, the AC-DC assault is based on primitive but organic songs. Powerful without pandering to the audience.)
Aid Anderson/SHIRLEY/M-1082 (Though his music rarely makes a point, it wanders pleasantly through time. Played well, Anderson's aimlessness takes on an unusual serenity. Mellow.)
David Axelrod/STRANGE LADIES/MCA 2283 (The two elements of this album are the lyrics and the rhythms and the arrangements. His melodies are benign, not a negative but, neither are they arresting. Axelrod's quality workmanship is the kind which does not last through eternity. Melodies should be the message.)
Elvis Costello/NEW YORK BLACK & WHITE BLUES/L.A. International GG 58001 (Jordan is simply not in a league with Spoon. Therein lies the flaw in the album. Still, the sound is the thing and that foundation is appealing even with a flaw or two. Stick with Jimmy.)
John Cowsill/THE RABBLE/Groovin' 346 (What a wonderful autobiographical concept about life on the road seems natural for J. C. Alternating dialogue and song is an effective way to move the idea along. Three of the tunes are cut out ("On the Road & Go," "'After the Ball" and "A Wednesday Cat.") )
Dillard Hartford Dillard/Flying Fish 036 (Can you think of an unholy alliance than the Dillard brothers and Johnny Hartford? It foretells organic songs, good pickin' and fun. It also results in organic songs, good pickin' and fun.)
Robben Ford/SCHIZOPHONIC/L.A. International GG58006 (Schizophrenia is a great title, apparently referring to Robben's switching off between sax and guitar. [The inordinate late credit makes this my guess.] These jazzy-rocky instruments are passable on the whole. Some meander, while others develop the needed steam. The Lp starts slowly. "Softly Rolling" is a nice adventure.)
Andrew Hill Quartet/DIVINE REVELATION/Inner City 2044 (Though Andrew Hill's quartet is an acoustic aggregate with its roots in post-war combo work, his formulation is different. It bends differently than others of that school having been affected by the 60's upheaval. Interesting, to say the least.)
Kiss/LOVE GUN/Casablanca NBLP 7057 (Congratulate Eddie Kramer for cleaning up Kiss' musical act. Oh, they haven't become pop, but their brawny brand of devil brew is presented here with a new level of articulation. Now the tunes seep through. Let her hear the music but, don't let Gloria Steinem see the cover.)
Brent Magall/DOWN AT THE HARDROCK CAFE/Fantasy F 9528 (Brent is a journeyman rocker who issues an album which never fails but, never electrifies either. His music lacks character. The same is true of the Lp's presentation.)
Melissa Manchester/SUGAR/Arista AL 4136 (The "Singin' banner" titles what Melissa Manchester was for this album. Gathering a catch of solid tunes, spiced by a few gems, she concentrated totally on her vocals. A classy project, only mildly sweetened, results. Her vocals are the best part but, not the best used. Nice vocalizing.)
Chuck McDermott & Wheatstraw/FOLLOW YOUR MUSIC/Back Door BDF 7477 (Dotted with a few better than average songs McDermott and Wheatstraw satisfy. Their country-folk approach contains welcome touches of wistfulness and humor. Try "I'll Follow You," Try "Another Way to Cry" and "A Well Known Fact.")
Opa/MAGIC TIME/Milestone M-9078 (High level playing, aided by Arito and Flora Purim, makes all of this Opa LP interesting. However, only "La Cumbia de Andres" and "Malanga" are fully, musically satisfying. Jazzy and Latinish.)
Perigoe/FATA MORGANA/RCA TPL-1-1228 (These Italian jazzers are always in scoring position. They should learn to be more concise. That would enable them to arrive at the point more economically and shorten the running time of their tracks. Still, their rock spunk and their melodious jazziness get close to combining the best of both worlds.)
Greg Perry/SMOKIN'/RCA ALP 1-1914 (Take note of Greg Perry. He is a singer and blues guitarist with a lyric better than most. He also associates himself with pretty good songs, many of which he co-written. A stylist, with some character, Greg Perry deserves an ear.)
Dick Pinney/DEVIL TAKE MY SHINY COINS/Mountain Railroad MR 52777 (Pinney's vocal style is rather colorless requiring some flair in the arrangements. Unfortunately, he doesn't get it. What results is a nicely presented, flat Lp.)
NEW RELEASES
BELOW IS A CATALOGUE OF NEW RELEASES. THEY ARE DIVIDED INTO CATEGORIES DESIGNED TO GIVE YOU AN IDEA OF THEIR RELATIVE MUSICAL WORTH. THESE FIRST IMPRESSIONS ARE NOT MEANT TO RELATE IN ANY WAY TO PAST, PRESENT OR FUTURE SALES, NOR SHOULD THEY BE TAKEN AS THE WORD OF GOD.
MERIT ALBUMS CONTINUED
Rainbow/ON STAGE/Quest OV 2-1801 (Surprisingly musical and surprisingly well recorded. Rainbow does not lay blue haze over its audience. Instead, they capture them by the most legitimate means; real good songs, presented powerfully. Ritchie Blackmore and Ronnie James Dio distinguish themselves.)
Enrico Rava/ON AIR/GP 6004 (Moving with alternating degrees of intensity and involvement, Rava's jazz has dynamic color. He also shifts between direct drive and a kind of unconnected meandering. Interesting.)
Sylvester/Fantasy F 9351 (Remember falsetto singing? Sylvester takes back set to pure straight rhythm and blues context. Though it leans pop, it doesn't often go too far. At times the falsetto voice seems too thin for the setting in which it's placed. Decent material.)
Johnny Tillotson/United Artists UA LA 758-G (A country-rock album. Jolney's guitar (and vocals) at the front end of each side turned out well as the Lp's sequence puts the best foot forward. Musician credits would have been nice. That's a nice job, but, how does he keep it in tune?)
Ike White/CHANGIN' TIMES/L.A. International GG 58007 (Though locked up in prison, Ike White's talent is released in this recording. A rather good vocalist, he also participates in the writing of a pretty fair batch of songs. Credits for no one else is inconsiderate.)
SATISFACTORY ALBUMS
(Albums of acceptable quality, which, of themselves, require only secondary progressive radio consideration.)
Derringer/LIVE/Blue Sky PZ 34848 (This Lp's sonics set live recording back a decade returning us to the outdated "doesn't count" attitude. Derringer's blues based rock thus sounds ridiculous by any standard, at least that portion which can be heard. Muddy.)
Dick Glass/THE GLASS DERRINGER/L.A. International GG 58005 (If Rick Derringer's name were not plastered all over the Lp, one would pay it little mind. Dick Glass' medocious songwriting and singing won't keep you interested as you search for the big D. One memorable riff is on "Lonely Road.")
Danny Hein/Terrapedia/HIFI/SPIRIT/Columbia 67233 (In spite of his belief that Danny Hein is not very funny, because of this misperception of himself he mixes the communication delivered by his album. It attempts R&B and disco formulas and comes up lame. Further, "Light On the Hill," a rocker which is by far the best song on the album, gets buried at the end.)
FRINGE ALBUMS
(Good albums which are not progressive, yet hold some interest for progressive audiences.)
Count Basie & His Orchestra/PRIME TUNE/Pablo 2310-797 (So smooth, Basie's band moves gracefully, punctuated by bop, snapping basses. Instead of being aloof, his cool is infectious. The album is a winner.)
Beckett/DECO CALYPSO/CasaBlanca NBLP 7059 (Hints of reggae, some calypso, jazz and some Latin music fill these grooves with rhythm but, not with disco music as we think of it. A fine album. Beckett's lyrics lead you to draw you to a favorable front side ["Leave Me the Grass."] The set order is incorrect on the outer jacket.)
Frankie Capp-Nat Pierce/JUGGERNAUT/Concord Jazz CJ-40 (As a Basse-Ellington style big band this unit has little reason to be remembered than both Basie and Ellington. But, they still make a good Lp. The 16-piece band adequately recreates the ambiance of the swing era of 40 years ago.)
Corkidiakis/THIRSTY OR NOT.../Full Moon-Epic PE34827 (A mixed bag. Depending on whether Paulie Caruso (white male) sings or whether Carla Peyton (black female) sings lead the character of the band changes. She's the better singer. He gets the better context in which to work. The point is that they should be doing one thing, not three. Try "Keep On Pushin'" and "Gimme Some.")
Hank Crawford/TICO RICO/Kudu KU-33-S1 (Mostly Hank's Lp is mild stuff well organized and delivered. A few items however, like our "Pretty Lady Soul" and "I've Just Seen" are worth a try for some tasteless.)
Kenny Drew/NIELS-HENNING ORSTED PEDERSEN DUO LIVE IN CONCERT/Inner City 2031 (Choosing mostly classics, either from jazz or tin pan alley, places this bina-plated duo in a certain context. They relate to each other rather nicely when their music flows. The best kind of self from worldly madmen.)
Victor Feldman/THE ARTFUL DODGER/Concord Jazz CJ-38 (Aggressively presented, mainstream jazz takes on a wholly different mellowness from the tired fare we usually hear. Feldman, recently prominent because of his studio work, has played in many styles but, this style is his home base, "Haunted Ballroom" is especially notable, as is "Agitation.")
FRINGE ALBUMS CONTINUED
Dave Frishberg/GETTING SOME FUN OUT OF LIFE/Concord Jazz CJ-37 (One usually hears this pre-war melancholy style done with ragged edges, Frishberg has assembled some classy players who, with him, present a delightful batch of reminiscences.)
The Jake Hanna Quintet/JAKE TAKES MANHATTEN/Concord Jazz CJ-35 (Jake does it. As often happens with drummer-leaders the group is really driven by the leader's up-front playing. Hanna does it within the bounds of taste. A mainstay.)
Earl Keith/ATHANASIA/Marvel Jazz/JAZZ IS HIS OLD LADY/Catalyst CAT-7622 (A good jazz singer in an age when jazz singers generate little audience reaction is the position Marva is stuck in. The tunes she sings also tend to put her on the outside. From "Blue Skies" to "Feelings" the songs are either too old or too overdone.)
Jo Jones/THE MAIN MAN/Pablo 2310-799 (Mediocre sound quality and a poorly focused sound image leave Jo's album under the air. You might get the feeling that these sessions are finished in any way.)
Richie Katzena/DROP ME IN HARLEM/Concord Jazz CJ-39 (A mellow intrigue. His marvelously warm saxophone tone fills in the background with refreshing, easy sweetness.)
Barnel Kessel-Herb Ellis/POOR BUTTERFLY/Concord Jazz CJ-34 (Trading delicate runs based on a batch of tin pan alley dinasours makes for some fairly bland stuff. Malone's boring.)
Manchik/POPULAR & LOVE/Chisound GH-LA 765-G (Manchik is a post Sly-Stevie R&B group which adds little to the genre. Their making it is totally dependent on whether or not they happen onto a good song.)
Oscar Peterson/IN PASSE PARTOUT/Three Sounds/Pablo 2310-796 (Super play, featuring pleasing melodies and emphasizing dexterity, marks this jam. At times it becomes fairly intense but, never powerful. Cool is the name of this game.)
Karen Ivey/MG 2210 (Karen's album features some appealing musical morsels. They permit her voice to float sensuously through the air, i.e. "Come On Love Me Baby." Essentially pop R&B but, relatively good at it.)
Buddy Rich/PLAYS & LAUGHS/RCA CPL 1-6131 (In a combo setting, Buddy can be a tasty rhythmic catalyst. Here, in the big band context, he is more like a driver moving his cattle over the open trail. He drives, blasts and challenges his players. Powerful, it still sounds like fun.)
Hilton Ruiz/PLANO MAN/Inner City IC 2036 (On his first album as the leader Hilton plays it close to the vest. He has been associated with both avant garde players and mainstreamers. Hence he shows his great respect for the variable. Milt.)
Sonny Stitt/WITH STRINGS/Catalyst CAT 7620 (This tribute to Duke Ellington is a rightfully eloquent easy listening album, but as a listening experience, it's not.)
Barbra Streisand/STEBBINS/Atlantic/Superstar/Columbia 37-0001 (Barbra seems to be following advice she got years ago, to become more contemporary. The Richard Perry production which resulted, was notable partly because of the fine song choices which filled the Lp. This is the sort of stuff Barbra has been singing since and MOR and rock. But the sure footed songs are found only on the MOR side. Her contemporized material tends to be second rate. She is out of her element rocking and needs more guidance to do it. Perry did it, Gary Klein hasn't.)
Various Artists/SESSIONS, LIVE - 9 RECORDS/Calliope CAL 3001, 2, 3, 4, 5, 6, 7, 8, 9, 10 (This package of nine albums is drawn from the benign jazz period of 1957 and 58. Despite the long list of jazz luminaries and a long list of nonentities, hard bop regions have refined down to essentials the number of Lps involved would have been halved. Finally, the ultimate crime is committed when any historical significance, which might have been attached, is destroyed by the lack of proper credits. For example, the very first track announced is only the Oscar Peterson Trio. There is no info on which O.P., Trio or on the guitar soloist who appears out of nowhere to make it a quartet.)
Vachon Artiste/S/WONDERFUL/Flying Fish FF 035 (This album brings together "4 Giants of Swing"; Joe Venuti - violinist, Eldon Shamblin - guitarist, Curley Chalker - steel, and Jethro Burns - mandolin. It is the swingingest string quartet in memory. Funk.)
Mary Lou Williams/THE FINE SPIRITS/Inner City 2043 (With Butler Williams and Mickey Roker, Mary Lou generates some pleasing sides. Her mainstream combo reflects some contemporary ideas in its bluesy context. Hence, it gains higher stature.)
Waves/Polydor 1-6132 (A lack of some quality. Good songs are delivered by a lightly rocking ensemble and sweetly seasoned vocal harmonies. A minority of tracks harden enough to come within tolerance for airplay.)
NEW RELEASES
BELOW IS A CATALOGUE OF NEW RELEASES. THEY ARE DIVIDED INTO CATEGORIES DESIGNED TO GIVE YOU AN IDEA OF THEIR RELATIVE MUSICAL WORTH. THESE FIRST IMPRESSIONS ARE NOT MEANT TO RELATE IN ANY WAY TO PAST, PRESENT OR FUTURE SALES, NOR SHOULD THEY BE TAKEN AS THE WORD OF GOD.
SPECIAL PROGRAMMING
(Spoken, poetry - comedy and extraneous music.)
Dollar Brand/CAPE TOWN FRINGE/Chiaroscuro CR 2004
Because of the length of these tracks we cannot recommend the LP for regular rotation airplay. However, Dollar Brand is a very talented musician, comparable to that of Keith Jarrett. Further, the title track has the melodic purity of a hit tune. It is well worth your editing time. Favored.
Coronation Dans/VISITOR/Inner City 2032 (Working with electric instruments, this group of Danish jazzers attempts to stretch the boundaries. Sometimes they are aimless and morose, while at other times they go right after it. Try "Dark Knight" and "The Witch." Write: 43 W. 61st St., New York, N.Y. 10023.)
Walt Dickerson/PEACE/Inner City IC 2042 (Nat Hentoff's liner notes read like you would expect them to read had he found John Coltrane or Charlie Parker. Well, after hearing Walt Dickerson's approach to the blues, you will most likely agree with his assessment that the troubadour has been rewritten. Dickerson changes the way we will hear the vibes from now on. Write: 43 W. 61st St., New York, N.Y. 10023.)
Heldon/A DREAM WITHOUT A SEASON/Inner City 1021
(Heldon is essentially drummer Francisco Auger underpinning the subterranean electronic music of Richard Pinkas. Fairly intense, Heldon music resembles the sound of our inner workings. It is more of inner space than outer space.)
David Munroe & The Early Music Consort of London/A CONTEMPORARY ELIZABETHAN CONCERT/Angel S-37263 (Elizabethan music is the basis for all of the contents of this English folk music we enjoy. Here it is elevated to a classic level later to have survived the centuries. It was the pop music of its day.)
Harry Nilsson/EARLY TIMES/Musicor MUS-2505 (In the world of cheap masteries, this is one of the better ones. His technical skill is at least the first thing of Nilsson in a collection. Strangely, this early pop rests between The Everly Brothers and Tommy Sands. This demo has been augmented so that it sounds finished. Cecil Taylor Unit/DARK TO THE MEMORIES/Inner City 3001 (Taylor Unit is around the piano given by Cecil. His music flows with a fierce intensity. His unit is a unit, to the point where the instruments all blend together, even in the most obtuse passages. Challenging.)
RED ISSUES
Steeleye Span/ORIGINAL MASTERS/Chrysalis CH 2 1136
Various Artists/SCOTLAND'S GREATEST HITS/Capricorn CP 0187
IMPORTED SINGLES
Eddie & The Hot Rods/HARD DRIVING MAN/Mar Island LP 5
Hollies/48 HOUR PARLOR/Polydor 1058 880
The Ringers/I WANNA BE FREE/Gluekick 514
IMPORTS CONTINUED
Five Hand Reel/FOR A'THAT/RCA PL 25066 (An advantage of using additional tunes is that it gives Five Hand Reel a leg up with their tenor sax player. The traditional folk style is interspersed with parlim (electric bass) and such; instead they try to get the best effect. Merit Plus.)
Intercontinental Express/LONDON/Compendium Fidardo 8 (The big band sound will never return as a result of the work done by this aggregate. Standard charts, some poorly rehearsed play and a couple plainly bad solos perish the thought. Undistinguished.)
George Hatcher Band/TALKIN' TURKEY/United Artists UAS 30090 (Hatcher is not the street poet but a Springsteen type or even a bit of his old band running, ramshackle rocker in their image. A noisy recording isn't even enough to submerge interest in George's street talkin'. Merit Plus.)
Hawkwind/OUR STRANGENESS + CHARM/United Artists CDS 4010 (A strikingly bold message to their fans reveals internal upheavals which have lead to a fundamental rethinking. Quark... results from it and the LP is a significant move back to the basics, rock music with a dance floor space. It is their most cogent album in years. Merit Plus.)
Heavy Metal kid/KITSCH/RAK SRAK 523 (Heavy Metal Kids are not too heavy on the metal or on anything else. Competence is the name of their stroke. On all levels of writing and performing, they get passing grades but, no bananas. Merit Plus.)
Hudson Ford/DAYLIGHT/CBS 82027 (A major style shift puts a twist in the Hudson Ford direction. A big production sound replaces their acoustic feel. The material remains as qualitatively high as they reach for a more responsive audience. Merit.)
Kraan/WEDERGELDEN/Harvest IC 064-32 (Intense and jazzy, Kraan is a vehicle for strong soloists. Guitarist Peter Wolbrandt can bend an ear with the best of them. The whole band lays down enticing rhythms, full of movements which open the spaces. The title track is a killer. Merit Plus.)
Volker Kriegel & Mild Maniac Orchestra/OCTEMER VARIATIONS/MPS 68.147 (Each side leads off with a well focused jazz tune of an involving nature. Thereafter, the leading tenor sax becomes more supernatural, somewhat aimless. "Spiral Crackers" brings it back to what should be the core, to end the set positively. Merit.)
Mirage/HOW YOU SEE IT/Compendium Fidardo 9 (They have listened to rock music and they have listened to the jazz of the garage. This marriage marries those experiences in a contemporary fusion formulation which draws the ear. But, it is the quality of their melodies which sustains interest. Merit Plus.)
John Otway & Wild Willy Barnes/Extracted Records EX 1001 (The originalistic rock music of these mail order artists is good on its own. But the first side has the benefit of Pete Townshend who provides us with a marvelous lesson in arranging using limited resources. He elevates the Otway-Barnett duo by adding style. Merit.)
Sail Whitehead/A KEEPSAKE/Novus 22569-00-301 (There is an unfortunate note of contrivance which runs through this album. From their name to their songs As A Keepsake seems constricted. That persistent feeling is anti-musical, in spite of their demonstrated ability to play. They get by. Merit.)
CONCEPTS
NEW WAVE
This issue of Walrus seems to have blossomed forth with several, mostly positive, comments about punk rock or new wave music.
There are some interesting characteristics of the, more often heard, negative comments regarding this music. For example, the response to the BBC's LP and the take taken on the West German television program of June 1977 expressed a wish-to-be-a-middle-class feeling. There is on the established side of the world, the view that this music is a threat. Indeed, it is. It is a threat to all of the artists who are now established, in fact, all of the stable forces in the radio and music business who are not able to change with change.
New Wave music has all of the earmarks of the first fifteen year old culture revolt since The Beatles. Today's teenagers relate only vaguely to the music of the '50s and '60s.
The more fact that people on the outside view it as alien is enough. Those on the inside have the same alienated feelings about the established order. They view the big record productions and the Avedon record jackets as a sellout. What is commonly called professional, they call gross.
Of course, reggae was supposed to be the next form but, it never had a chance. It was angry in a tired age and it was a black form in a white world.
New Wave, on the other hand, has the white working-class stamped all over it. That is the same stamp worn by Frank Sinatra (in his early years), Elvis Presley, and The Beatles.
We are all concerned with hype, we've all seen others come and go. When the forms seem to be hype or easy money New Wave music is here now, and gaining. Somebody is going to take a failing station, with a lousy signal and start a punk format. Stealing an audience from Top-40, pop-progressive and the streets and it will shake things up.
|
The meeting was called to order by Council President Vecchio at 7:52 p.m., the clerk called the roll and the following Members of Council answered:
**SCOTT, BURGIO, ORCUTT, STEMM, MENCINI, POINDEXTER, SALVATORE**
Also in attendance were Mayor Gammella, Law Director Horvath, Building Commissioner Hurst, Economic Development Commissioner Adams, Assistant Finance Director Healy, Finance Director Cingle, Mayor’s Executive Assistant D’Amico, Engineer Piatak and Service Director Gardner.
---
**APPROVAL OF MINUTES OF PRECEDING MEETINGS:**
1. **CAUCUS PRIOR TO MEETING HELD ON MARCH 5, 2019.**
*Motion* by Mr. Mencini, supported by Mr. Orcutt, to approve as printed.
**ROLL CALL:** AYES: Mencini, Orcutt, Stemm, Poindexter, Salvatore, Scott
NAYS: None. The motion carried.
2. **REGULAR COUNCIL MEETING HELD ON MARCH 5, 2019.**
*Motion* by Mr. Poindexter, supported by Mr. Mencini, to approve as printed.
**ROLL CALL:** AYES: Poindexter, Mencini, Stemm, Salvatore, Scott, Burgio, Orcutt
NAYS: None. The motion carried.
---
*Motion* by Mr. Salvatore, supported by Mr. Orcutt, to go out of the Regular Order of Business to:
**INTRODUCTION OF RESOLUTIONS OF COMMENDATION:**
1. **A PROCLAMATION HONORING MISS POPPY 2019 - NICOLE ZAPOTKY**
**ROLL CALL:** AYES: Salvatore, Orcutt, Stemm, Mencini, Poindexter, Scott, Burgio
NAYS: None. The motion carried.
The clerk read the proclamation in its entirety as Mayor Gammella presented the proclamation and congratulated Nicole as being named Miss Poppy 2019.
Ms. Zapotky introduced her family members in attendance.
*Motion* by Mr. Poindexter, supported by Mr. Orcutt, to go back to the Regular Order of Business.
**ROLL CALL:** AYES: Poindexter, Salvatore, Mencini, Stemm, Scott, Burgio, Orcutt
NAYS: None. The motion carried.
Mr. Vecchio stated Aviation & Environmental Committee Co-Chairman Burgio has something to say.
Mr. Burgio reported good news for Brook Park with the President asking Congress for $21,882,000,000 for NASA Glenn for 2020 increasing from $697 million-dollars to $850 million dollars this year. NASA is managing the design of a power and compulsion element for the Gateway platform to orbit the moon long term. NASA also started testing a robotic arm for excavation work on the Moon and Mars. In May, the Brook Park wind tunnel will post a second testing of supersonic much quieter plane; very uplifting article and job security for Brook Park.
**Aviation & Environmental Committee - Chairman, Poindexter**
Mr. Poindexter reported the Aviation & Environmental Committee has nothing on the agenda. The meeting scheduled for tomorrow with the Environmental Design Group for discussion of Abrams Creek project was postponed, due to issues with the City of Cleveland that need to be rectified.
**Finance Committee - Chairman, Scott**
Mr. Scott reported the Finance Committee has six items on the agenda. The Board of Control met earlier approving 19 items with the two largest being BJAAM Environmental cleanup at the intersection of Holland and Engle Roads. The second largest expenditure was awarding of a contract for the Holland Road Construction Project in the amount of $2,277,245.00 to CAT’S Construction.
**Legislative Committee - Chairman, Mencini**
Mr. Mencini reported the Legislative Committee has legislation on tonight’s agenda. Anyone who wants legislation pulled out of the Legislative Committee please let me know.
**Parks & Recreation Committee - Chairman, Salvatore**
Mr. Salvatore reported baseball and softball registrations will close next week. Tennis signups will continue through the second week of April, the Midnight Madness Program will be held on March 29th from 8:00 p.m. to 12:00 a.m. with many events; ages from 8 to 13 will compete in their own age group. Spring break Youth Olympics will run from next Monday to Thursday from 12:00 p.m. to 3:00 p.m., free to all members and $10.00 fee for non-members. The Easter Egg Hunt event will be held on April 20th.
**Planning Committee - Chairman, Burgio**
Mr. Burgio stated no report this evening.
**Safety Committee - Chairman Stemm**
Mr. Stemm reported the John A. Walsh Safety Town program for children starting kindergarten is open for registration is open online. Go to the city website at www.cityofbrookpark.com, click on department tab, click on recreation tab, scroll down to the map, click on map and choose 2019 Safety Town. There is a $10.00 non-refundable fee for the sessions of June 17th, July 15th or August 5th. The June and July are morning sessions from 8:30 a.m. to 11:30 a.m. and the August 5th
Reports from Standing Committees:
Safety Committee – Chairman, Stemm: cont.
session is 12:00 noon to 3:00 p.m.; teaching applications can be picked up at the Police Station or Recreation Center and will be accepted from April 1st to June 1st.
Service Committee – Chairman, Orcutt
Mr. Orcutt reported the Service committee has four items on tonight’s agenda. Mr. Orcutt had the opportunity do one of two walk-throughs at the Service department; first being the administrative process for the handling of water breaks. The department is running efficiently and has billed Cleveland Water over $100,000.00 for repairs in 2017 and 2018.
Board of Zoning Appeals - Chairman, Scott
Mr. Scott stated no report this evening.
REPORTS OF SPECIAL COMMITTEES:
Southwest General Health Center – Trustee, Salvatore
Mr. Salvatore reported the health center’s focus on patient experience has expanded and improved over the years and will continue this process by creating action plans. There was an increasing demand across the health care industry, Southwest is committed in performing transparency efforts and will work to provide patients greater access to costs of services prior to receiving care. Efforts will continue to provide high-quality service, and safe patient care by maintaining compliance with quote quality measures. Plans are in place to achieve the budget volumes and operating margins along with capital reinvestment and placement plans have been completed. The center’s capital projects for this year include renovation & expansion of the opening facility, replacement of the pharmacy distribution system, infrastructure work and many other projects. Mr. Salvatore thanked both Councilman Mencini and Orcutt for delivering reports at the last meeting and stated he is on the road to recovery. Mr. Salvatore thanked everyone for the flowers, cards and best wishes.
Berea Board of Education Committee – McDonnell, Poindexter
Ms. McDonnell reported kindergarten registration is ongoing, March 21st is the end of third-quarter; Monday March 25th through March 29th is spring break.
REPORTS OF BOARDS AND COMMISSIONS:
INTRODUCTION OF RESOLUTIONS OF COMMENDATION:
Note: Moved by motion to the beginning of the meeting.
1. A PROCLAMATION HONORING MISS POPPY 2019 - NICOLE ZAPOTKY
REPORTS AND COMMUNICATIONS FROM THE MAYOR:
Mayor Gammella thanked Mr. Burgio for giving the report on NASA and the bright future; the city will capture some of that work in the Aerozone and Opportunity zones. Mayor Gammella stated Mr. Burgio began Buzzard Day many years ago and the buzzards are back meaning an early spring. Wednesday, March 20th the tornado sirens will be sounding off at 9:50 a.m. With the subject of Abrams Creek walkway, the problem we run into is most of that property is the City of Cleveland; so we can be a sponsor to it we cannot fund it, that’s one of the barriers. The group is still looking at the Lake-to-Lake project and exploring a few locations for the dog park.
Questions:
Mr. Salvatore asked Mayor Gammella to elaborate the passage of the union contracts this evening.
Mayor Gammella responded if the union contracts are not passed this evening have been before Council for 30 days and they automatically go into effect. The contracts are only for one year and all contracts are before Council except for one contract outstanding.
Mr. Stemm stated to Mayor Gammella with the police department having their own firing range; has the city ever explored renting the range out to other agencies for police department revenue?
Mayor Gammella responded other departments have used the range but not sure if they were charged. The range is workable but not state of the art and down the road discussions will take place for both safety buildings.
Mr. Orcutt asked Mayor Gammella about the recent 3.3-acre land sale on Brookpark Road with Company Wrench and when they will break ground?
Mayor Gammella responded that is proceeding and will get back to you tomorrow with the groundbreaking date.
REPORTS AND COMMUNICATIONS FROM DEPARTMENTS, COMMISSIONS, AND OTHER PUBLIC OFFICIALS:
Finance Director Cingle
Mr. Cingle stated the tax department will have extended hours on Tuesday’s March 26th, April 2nd and April 9th until 7:00 p.m.; also on Saturday’s April 6th and 13th from 9:00 a.m. to 12:00 p.m.
Law Director Horvath
Mrs. Horvath stated no report this evening.
Service Director Gardner
Mr. Gardner reported last Monday’s bulk pickup netted approximately 35 tons, service crews are working on sanitary repair dig jogs and completed five residential sanitary digs in the last two weeks. On April 8th the summer yard waste and rubbish drop-off will begin from the hours of 7:30 a.m. to 7:00 p.m., Monday through Friday and on Saturdays from 8:00 a.m. to 12:00 p.m. The next Shred-it Day will be Saturday, April 20th at the service garage from the hours of 10:00 a.m. to 1:00 p.m.
Engineer Piatak
Mr. Piatak reported the Holland Road contract was awarded by the Board of Control allowing for the preparation of bid documents. On tonight’s agenda is a Resolution for the Smith Road project and once passed that project will be posted on the ODOT website.
Recreation Director Elliott
Mr. Elliott announced on April 5th & 6th and the weekend of 12th and 13th the center will be hosting the Golden Gloves Boxing tournament in the gymnasium. The next Recreation Commission meeting is Thursday, March 21st at 7:00 p.m. The center will also be hosting the Beautification & Pride luncheon on Saturday, March 22nd.
Questions:
Mr. Salvatore asked Mr. Cingle with the news with the NASA monies is there a number of how much money will be coming to the city?
Mr. Cingle responded my understanding is the funding possibly may increase the question is whether or not the jobs will increase; we’ll work through that and update Council appropriately.
Mr. Salvatore asked if there is any possibility of getting the information regarding jobs?
Mr. Cingle responded tax department personnel contacts NASA at least once a quarter and also contacts Ford for fluctuations in employment. The call has been made and the department is waiting for a response.
Mr. Scott asked Mr. Gardner if the street sweeper will be on the streets soon?
Reports and communication from departments, commissions and other public officials: Questions: cont.
Mr. Gardner responded the street sweeper was out all day today and will continue to run weather permitting. The Vactor was out yesterday and should resume a good schedule weather permitting.
Mr. Scott asked Mr. Gardner about stump-grinding?
Mr. Gardner responded crews have probably done 15 since yesterday, the department has a list and intend on catching up on the 28 stumps from last year hopefully completed by the end of the week.
Mr. Scott questioned with snow plow damage residents should call the department with the address.
Mr. Gardner responded yes, some addresses have been documented but if there is any Councilmember or resident with sidewalk or street plow damage contact the service department with name and address.
Mr. Mencini stated the sweeper was seen on Holland Road and good news about April 8th yard and trash program opening.
Mr. Mencini clarified with Mr. Piatak that the Smith Road project is a go?
Mr. Piatak responded yes, bid documents will be submitted to ODOT for approval and then sent to Columbus for approval and authorized for bidding of the project, moving forward.
Mr. Orcutt stated to Mr. Gardner trees were removed on the Brookgate tree lawn the stumps are still there. Is that the city’s responsibility to grind those stumps?
Mr. Gardner responded yes, those nine stumps are on the list with reseeding.
Mr. Stemm stated to Mr. Elliott with the Midnight Madness what programs and obstacles will be set up and is there a large enrollment?
Mr. Elliott responded there will be a number of different activities i.e. three-point contest, two on two or three on three tournaments; all participants will receive a shirt and will be fed. Many fun activities with the staff playing the registrants and by end of the night everyone is whipped.
Mr. Stemm asked if ex-coaches are needed to help?
Reports and communication from departments, commissions and other public officials: Questions: cont.
Mr. Elliott welcomed any coach, Council or anyone wanting to participate and there are a lot of different activities and the participants have a great time.
Mr. Vecchio asked Mr. Gardner if residents can still place chunks of asphalt in the black rubbish cans, like last year?
Mr. Gardner yes, one or two chunks but can’t have large amounts of concrete or debris in the rubbish truck, landfills frown on that. Residents can also call the service department for crews to pick up the asphalt.
OTHER COMMUNICATIONS AND PETITIONS, AND VERBAL APPROVAL: (INTRODUCTION OF NEW LEGISLATION):
New Legislation:
1. AN ORDINANCE TO PROVIDE FOR THE APPROPRIATIONS OF THE CITY OF BROOK PARK, STATE OF OHIO, FOR FISCAL YEAR ENDING DECEMBER 31, 2019. Introduced by Mayor Gammella. Placed in Finance committee.
2. AN ORDINANCE AUTHORIZING THE MAYOR TO ENTER INTO AN ADDENDUM TO A MEMORANDUM OF UNDERSTANDING WITH EXHIBITS, AN AGREEMENT REGARDING A SCHOOL RESOURCE OFFICER, (EXHIBIT C) AND A LEASE AND MAINTENANCE AGREEMENT (EXHIBIT D) WITH THE BEREA SCHOOL DISTRICT FOR EXCHANGE OF APPROXIMATELY 18 ACRES OF LAND KNOWN AS BROOK PARK MEMORIAL (P.P.N. 343-17-001) AND 10 ACRES OF LAND KNOWN AS BROOKVIEW ELEMENTARY (P.P.N. 344-15-008, 344-20-086 AND 344-15-178) FOR A LEASEHOLD OF A BASEBALL FIELD LOCATED AT KENNEDY BASEBALL FIELD AND OTHER CONSIDERATION, PURSUANT TO ORC 3113.04 AND ORC 3113.41 AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella Placed in Recreation committee.
3. A RESOLUTION HONORING EXPRESS DELI AND BEVERAGE FOR MAKING YELP’S TOP 100 LIST OF BEST PLACES TO EAT IN THE ENTIRE COUNTRY AND DECLARING AN EMERGENCY. Introduced by Councilman Salvatore. Placed in Legislative committee
4. A RESOLUTION HONORING MIDPARK HIGH SCHOOL CLASS REUNION COMMITTEE OF 1968 ON THEIR 50TH YEAR REUNION AND DECLARING AN EMERGENCY. Introduced by Councilman Salvatore. Placed in Legislative committee
Other communications and petitions and verbal approval:
Introduction of New Legislation: cont.
5. A RESOLUTION URGING THE UNITED STATES CONGRESS TO NEGOTIATE LOWER DRUG PRICES AND DECLARING AN EMERGENCY. Introduced by Councilman Salvatore. Placed in Legislative committee.
MISCELLANEOUS BUSINESS, APPOINTMENTS, CONFIRMATIONS:
REMARKS FROM THE AUDIENCE ON ANY SUBJECT MATTER:
Jennifer Roberts
5368 West 151st Street
Ms. Roberts stated the next Neighborhood Watch Group board meeting is Wednesday, March 20th at 7:00 p.m. at the Brook Park Library to discuss the topic of Spring Safety checklist.
Joan Markusic
13911 Bellbrook Drive
Ms. Markusic expressed concerns with former comments from a resident at the January 8, 2019 Council meeting about corruption and defrauding voters relating to a former city employee. Also, a March 5, 2019 Council meeting when a resident spoke about an assault in a city park and the placement of cameras in city parks. The Hometown News newspaper having degrading articles and/or comments about city functions and how unsafe the city is and Council doing nothing about it.
Louis Modic
14399 Fayette Blvd.
Mr. Modic clarified that not all residents get the Hometown Newspaper and not getting bulk mailings in his area. A kickoff meeting for the dog park group will be held Thursday, March 21, 2019 at 7:00 p.m. at the Brook Park Library.
Liz Sayers
23065 Cedar Point Road
Ms. Sayers thanked Mayor Gammella for clarifying that she is able to plant flowers at the gazebo.
Susan Barbour
5819 Robert Drive
Ms. Barbour expressed concerns provided information about the Brook Park Botanical Garden Club that will be having a fundraiser on April 6, 2019 at Methodist Church, tickets are $10.00. Several city groups and churches coming together to celebrate Earth Fest on April 27, 2019 at Kennedy Park from 11:00 a.m. to 3:00 p.m.
Motion by Mr. Salvatore, supported by Mr. Scott, to go back to Introduction of New Legislation for three pieces being introduced.
ROLL CALL: AYES: Salvatore, Scott, Burgio, Orcutt, Stemm Mencini, Poindexter
NAYS: None. The motion carried.
Three pieces of legislation titles were read and placed in the Legislative committee.
Motion by Mr. Salvatore, supported by Mr. Stemm, to go back to regular order of business.
ROLL CALL: AYES: Salvatore, Stemm, Mencini, Poindexter, Scott, Burgio, Orcutt
NAYS: None. The motion carried.
INTRODUCTION OF ORDINANCES AND RESOLUTIONS: FIRST READING:
1. ORDINANCE NO. 11067-2019, AUTHORIZING THE MAYOR TO CONTRACT FOR THE NECESSARY CONSTRUCTION ADMINISTRATION SERVICES, CONSTRUCTION OBSERVATION SERVICES AND CONSTRUCTION TESTING SERVICES FOR THE HOLLAND ROAD RECONSTRUCTION PROJECT AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Motion by Mr. Salvatore, supported by Mr. Poindexter, to suspend.
ROLL CALL: AYES: Salvatore, Poindexter, Mencini, Stemm, Orcutt, Burgio, Scott
NAYS: None. The motion carried.
Motion by Mr. Mencini, supported by Mr. Burgio, to adopt.
ROLL CALL: AYES: Mencini, Burgio, Orcutt, Scott, Salvatore, Poindexter, Stemm
NAYS: None. Ordinance No. 11067-2019, has passed under Suspension of the Rules. Adopted.
2. ORDINANCE NO. 11068-2019, AUTHORIZING THE MAYOR TO ADVERTISE FOR BIDS AND ENTER INTO CONTRACT FOR THE SMITH ROAD RESURFACING PROJECT (PID 108950) AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Motion by Mr. Mencini, supported by Mr. Salvatore, to suspend.
ROLL CALL: AYES: Mencini, Salvatore, Poindexter, Stemm, Orcutt, Burgio, Scott
NAYS: None. The motion carried.
Motion by Mr. Burgio, supported by Mr. Orcutt, to adopt.
ROLL CALL: AYES: Burgio, Orcutt, Scott, Salvatore, Poindexter, Mencini, Stemm
NAYS: None. Ordinance No. 11068-2019, has passed under Suspension of the Rules. Adopted.
Introduction of Ordinances and Resolutions: cont.
3. RESOLUTION NO. 2-2019, GRANTING A CONDITIONAL USE PERMIT TO GPC MOTORSPORTS LOCATED AT 5726 WEST 130TH IN THE U4-A3 ZONE TO OPERATE A PORSCHE AUTOMOTIVE SERVICE/REPAIR SHOP AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Motion by Mr. Scott, supported by Mr. Burgio, to suspend.
ROLL CALL: AYES: Scott, Burgio, Orcutt, Stemm, Mencini, Poindexter, Salvatore
3. RESOLUTION NO. 2-2019, GRANTING A CONDITIONAL USE PERMIT TO GPC MOTORSPORTS LOCATED AT 5726 WEST 130TH IN THE U4-A3 ZONE TO OPERATE A PORSCHE AUTOMOTIVE SERVICE/REPAIR SHOP AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Motion by Mr. Scott, supported by Mr. Burgio, to suspend.
ROLL CALL: AYES: Scott, Burgio, Orcutt, Stemm, Mencini, Poindexter, Salvatore
NAYS: None. The motion carried.
Motion by Mr. Orcutt, supported by Mr. Scott, to adopt.
ROLL CALL: AYES: Orcutt, Scott, Burgio, Stemm, Mencini, Poindexter, Salvatore
NAYS: None. Resolution No. 2-2019, has passed under Suspension of the Rules. Adopted.
4. RESOLUTION NO. 3-2019. TO ADOPT THE SOLID WASTE MANAGEMENT PLAN FOR THE CUYAHOGA COUNTY SOLID WASTE MANAGEMENT DISTRICT AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Motion by Mr. Burgio, supported by Mr. Mencini, to suspend.
ROLL CALL: AYES: Burgio, Mencini, Stemm, Poindexter, Salvatore, Scott, Orcutt
NAYS: None. The motion carried.
Motion by Mr. Orcutt, supported by Mr. Scott, to adopt.
ROLL CALL: AYES: Orcutt, Scott, Burgio, Salvatore, Mencini, Poindexter, Stemm
NAYS: None. Resolution No. 3-2019, has passed under Suspension of the Rules. Adopted.
Introduction of Ordinances and Resolutions: cont.
5. RESOLUTION NO. 4-2019, AUTHORIZING THE MAYOR TO ADVERTISE A REQUEST FOR QUALIFICATIONS AND PROPOSALS FOR CONSTRUCTION MANAGEMENT SERVICES IN CONNECTION WITH THE SMITH ROAD RESURFACING PROJECT (PID108950) IN THE CITY OF BROOK PARK AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Motion by Mr. Mencini, supported by Mr. Orcutt, to suspend.
ROLL CALL: AYES: Mencini, Orcutt, Burgio, Scott, Salvatore, Poindexter, Stemm
NAYS: None. The motion carried.
Motion by Mr. Mencini, supported by Mr. Burgio, to adopt.
ROLL CALL: AYES: Mencini, Burgio, Scott, Orcutt, Stemm, Poindexter, Salvatore
NAYS: None. Resolution No. 4-2019 has passed under Suspension of the Rules. Adopted.
6. ORDINANCE NO. 11069-2019, AUTHORIZING THE MAYOR TO ENTER INTO A CONTRACT WITH THE TEAMSTERS UNION LOCAL 436 AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Mr. Salvatore clarified that the union contracts are for a one-year extension with two changes for raises and medical benefits?
Mayor Gammella responded yes, all the union contracts are for one-year to include raises across the board and medical benefits basically staying the same.
Motion by Mr. Poindexter, supported by Mr. Scott, to suspend.
ROLL CALL: AYES: Poindexter, Scott, Burgio, Orcutt, Mencini, Salvatore
NAYS: None.
ABSTENTION: Stemm. The motion carried with a vote of six and one abstention.
Motion by Mr. Poindexter, supported by Mr. Mencini, to adopt.
ROLL CALL: AYES: Poindexter, Mencini, Salvatore, Scott, Burgio, Orcutt
NAYS: None.
ABSTENITON: Stemm. Ordinance No. 11069-2019, has passed under Suspension of the Rules with a vote of six and one abstention. Adopted.
Introduction of Ordinances and Resolutions: cont.
6. ORDINANCE NO. 11070-2019, AUTHORIZING THE MAYOR TO ENTER INTO A CONTRACT WITH THE FRATERNAL ORDER OF POLICE LODGE NO. 15 (PATROL OFFICERS) AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Motion by Mr. Mencini, supported by Mr. Poindexter, to suspend.
ROLL CALL: AYES: Mencini, Poindexter, Salvatore, Scott, Burgio, Orcutt
NAYS: None.
ABSTENTION: Stemm. The motion carried with a vote of six and one abstention.
Motion by Mr. Scott, supported by Mr. Poindexter, to adopt.
ROLL CALL: AYES: Scott, Poindexter, Salvatore, Mencini, Orcutt, Scott, Burgio
NAYS: None.
ABSTENTION: Stemm. The motion carried with a vote of six and one abstention. Adopted.
7. ORDINANCE NO. 11071-2019, AUTHORIZING THE MAYOR TO ENTER INTO A CONTRACT WITH THE OHIO PATROLMEN’S BENEVOLENT ASSOCIATION (CITY OF BROOK PARK POLICE SERGEANTS AND LIEUTENTANTS) AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Motion by Mr. Poindexter, supported by Mr. Mencini, to suspend.
ROLL CALL: AYES: Poindexter, Mencini, Salvatore, Orcutt, Burgio, Scott
NAYS: None.
ABSTENTION: Stemm. The motion carried with a vote of six and one abstention.
Motion by Mr. Poindexter, supported by Mr. Orcutt, to adopt.
ROLL CALL: AYES: Poindexter, Orcutt, Burgio, Scott, Salvatore, Mencini
NAYS: None.
ABSTENTION: Stemm. Ordinance No. 11071-2019, has passed under Suspension of the Rules with a vote of six and one abstention. Adopted.
8. ORDINANCE NO. 11072-2019, AUTHORIZING THE MAYOR TO ENTER INTO AN AGREEMENT WITH THE BROOK PARK FIREFIGHTERS ASSOCIATION, LOCAL 1141, INTERNATIONAL ASSOCIATION OF FIREFIGHTERS, AFL-CIO-CLC AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Motion by Mr. Mencini, supported by Mr. Orcutt, to suspend.
ROLL CALL: AYES: Mencini, Orcutt, Burgio, Scott, Salvatore, Poindexter
NAYS: None.
ABSTENTION: Stemm. The motion carried with a vote of six and one abstention.
Motion by Mr. Burgio, supported by Mr. Orcutt, to adopt.
ROLL CALL: AYES: Burgio, Orcutt, Scott, Salvatore, Poindexter, Mencini
NAYS: None.
ABSTENTION: Stemm. Ordinance No. 11072-2019, has passed under Suspension of the Rules with a vote of six and one abstention. Adopted.
9. ORDINANCE NO. 11073-2019, AMENDING CERTAIN SECTIONS OF THE ADMINISTRATIVE CODE TO PROVIDE ADJUSTMENTS IN COMPENSATION FOR EMPLOYEES OF THE CITY, OTHER THAN ELECTED OFFICIALS OR THOSE COVERED UNDER NEGOTIATED LABOR CONTRACTS AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Mr. Scott stated he has been an opponent since 2017 with the current minimum wage starting $10.00 that encompasses 14-year-olds and up. I’m asking that the part-time entry rate be based on the Ohio minimum hourly wage of $8.55 an hour. Department heads having ability to pay new or returning employees at his or her discretion within the minimum and maximum salary range. Returning part-time employees will not be cut from in hourly range for 2018 unless deemed by the department head.
Mr. Salvatore asked for First Reading of this legislation for the purpose of finalizing the union contracts, there will most likely be other changes.
A poll of Council was taken and it was unanimous for Ordinance No. 11073-2019 having First Reading.
Mr. Vecchio stated Ordinance No. 11073-2019 has had its First Reading.
10. RESOLUTION NO. 5-2019, ACCEPTING THE RECOMMENDATIONS AND APPROVING THE MINUTES OF THE HOUSING COUNCIL ON THE CITY OF BROOK PARK’S COMMUNITY REINVESTMENT AREA (CRA) AGREEMENTS AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Mr. Salvatore asked if there any Councilmembers were in attendance for the inspections or were they performed by city inspectors.
Mr. Hurst responded all the CRA inspections are done by the Building Department at the request of the Economic Development Commissioner.
**Motion** by Mr. Mencini, supported by Mr. Poindexter, to suspend.
**ROLL CALL:** **AYES:** Mencini, Poindexter, Stemm, Salvatore, Scott, Burgio, Orcutt
**NAYS:** None. The motion carried.
**Motion** by Mr. Mencini, supported by Mr. Burgio, to adopt.
**ROLL CALL:** **AYES:** Mencini, Burgio, Scott, Orcutt, Stemm, Poindexter, Salvatore
**NAYS:** None. Resolution No. 5-2019, has passed under Suspension of the Rules. Adopted.
---
**SECOND READING OF ORDINANCES AND RESOLUTIONS:**
1. **ORDINANCE NO. 11064-2019, AUTHORIZING THE MAYOR TO ENTER INTO A CHANGE ORDER BETWEEN BREWER-GARRETT COMPANY AND THE CITY OF BROOK PARK TO CHANGE PLANS IN THE COUNCIL CHAMBERS/COURT AREA AND THE TAX DEPARTMENT IN THE JOHN A. POLOYNE COMMUNITY CENTER AND DECLARING AN EMERGENCY.**
Introduced by Mayor Gammella.
Mr. Orcutt thanked Council for their patience on this legislation because he had questions to both the Finance and Law Directors with this change order cost not being on the 2018 change order.
**Motion** by Mr. Scott, supported by Mr. Poindexter, to suspend.
**ROLL CALL:** **AYES:** Scott, Poindexter, Mencini, Stemm, Burgio
**NAYS:** Salvatore, Orcutt. The motion failed with a vote of 5-2.
Mr. Salvatore asked Mr. Cingle the change order was for $23,000 originally?
Mr. Cingle concurred.
Mr. Salvatore commented the work is already done and the contractor is entitled to compensation. There was some money left over from the original $110,000, correct?
Mr. Cingle concurred with monies going back to the Capital Improvement Fund.
Mr. Salvatore continued now, additional monies are needed for additional work requested; why couldn’t that be handled through the Board of Control.
Mr. Cingle stated the original change order was $110,000 and change and there was approximately $11,000 leftover from the change order. The cost to remove
the mirrors and other work done was in the range of $23,470.00. So there wasn’t enough money left over on the first change order to pay for the work done as part of this change order in front of Council tonight.
Mr. Salvatore continued I understand that but the only work that I’ve heard through conversations is the mirrors on the wall in the community room; to remove those mirrors was $23,000 or was there additional work?
Mr. Cingle deferred to Mr. Hurst everything on the wall was part of this change order with the mirrors and bricks removed, deferred out, electric and all necessary drywall.
Mr. Salvatore reiterated to Mr. Cingle could the additional monies needed after the excess return not used in the original $110,000. Why is being done with a change order and not normal routine, the work is already completed.
Mr. Cingle responded after consulting with the law director because there was a change order in the amount of $110,000 and the additional change order would be for approximately $23,470.00 range, the total amount of the change order exceeds $50,000 and felt it best to bring before City Council, even the work has been done, to approve the change order; also, in case the auditors would question the expenditure of funds. This is something that slipped through the cracks and should have been added to the change order passed in March, 2018.
Mr. Salvatore commented he’s not trying to find fault and the company that did the work deserves to be paid; I’m just questioning the method and thought it could have been done differently, rather than going with a change order.
Mayor Gammella commented also a wall had to be built in the tax department for privacy and to make this dais ADA (American Disability Act) compliant the ramp needed to be built.
Mr. Vecchio stated Ordinance No. 11064-2019, has had its Second Reading.
THIRD READING OF ORDINANCES AND RESOLUTIONS:
1. ORDINANCE NO. 11063-2019, AUTHORIZING THE CONSULTING ENGINEERS OF BROOK PARK AND MIDDLEBURG HEIGHTS TO PREPARE PLANS AND BID DOCUMENTS AND THE MAYOR TO ADVERTISE FOR BIDS AND ENTER INTO A CONTRACT FOR THE SHELDON ROAD RESURFACING PROJECT AND DECLARING AN EMERGENCY. Introduced by Mayor Gammella.
Motion by Mr. Scott, supported by Mr. Orcutt, to adopt.
ROLL CALL: AYES: Scott, Orcutt, Burgio, Salvatore, Mencini, Poindexter, Stemm
NAYS: None. Ordinance No. 11063-2019, passed under Third Reading.
Adopted.
Motion by Mr. Stemm, supported by Mr. Mencini, to take a ten-minute recess.
ROLL CALL: AYES: Stemm, Mencini, Poindexter, Salvatore, Scott, Burgio, Orcutt
NAYS: None. The motion carried at 9:19 p.m.
Motion by Mr. Stemm, supported by Mr. Orcutt, to go back to Regular Order of Business.
ROLL CALL: AYES: Stemm, Orcutt, Burgio, Scott, Salvatore, Poindexter, Mencini
NAYS: None. The motion carried.
EXECUTIVE SESSION - MAYOR GAMMELLA:
1. NEGOTIATIONS OF BARGAINING SESSIONS WITH PUBLIC EMPLOYEES CONCERNING COMPENSATION.
Motion by Mr. Scott, supported by Mr. Orcutt, to go into Executive Session.
ROLL CALL: AYES: Scott, Orcutt, Burgio, Salvatore, Poindexter, Mencini, Stemm
NAYS: None. The motion carried at 9:30 p.m.
In attendance: Members of Council, Mayor Gammella, Law Director Horvath and Finance Director Cingle.
Motion by Mr. Poindexter, supported by Mr. Mencini, to go back to Regular Order of Business.
ROLL CALL: AYES: Poindexter, Mencini, Salvatore, Stemm, Orcutt, Burgio, Scott
NAYS: None. The motion carried.
There being no further business to come before this meeting a motion by Mr. Poindexter, supported by Mr. Mencini, to adjourn the Council meeting
ROLL CALL: AYES: Poindexter, Mencini, Stemm, Orcutt, Burgio, Scott, Salvatore
NAYS: None. The motion carried.
Council President Vecchio declared this meeting adjourned at 9:36 p.m.
Motion by Mr. Poindexter, supported by Mr. Orcutt, to go back to the recessed Caucus Prior to meeting.
ROLL CALL: AYES: Poindexter, Orcutt, Burgio, Scott, Salvatore, Mencini, Stemm
NAYS: None. The motion carried.
RESPECTFULLY SUBMITTED
Michelle Blazak
Clerk of Council
APPROVED April 2, 2019
THESE MEETING MINUTES A SYNOPSIS, NOT TRANSCRIBED IN THEIR ENTIRETY, ALTHOUGH ACCURATE.
4,955 words
|
THE CAUSE AND CONTROL OF SWARMING IN BEES
BEING THE REPORT OF A CONFERENCE HELD AT ROTHAMSTED ON APRIL 27th, 1935, UNDER THE CHAIRMANSHIP OF
SIR E. J. RUSSELL, D.Sc., F.R.S.
Director of Rothamsted Experimental Station
Contributions by
BROTHER ADAM, O.S.B.
Miss A. D. BETTS, B.Sc.
C. F. CLAY M.A.
W. HAMILTON
D. MORLAND, M.A.
W. H. J. PRIOR
L. E. SNELGROVE, M.A., M.Sc.
ROTHAMSTED EXPERIMENTAL STATION
HARPENDEN
ROTHAMSTED CONFERENCES
The booklets in this series contain the papers and discussions at the conferences held from time to time at Rothamsted on present-day problems in crop production. The papers are written by well-known experts and discussed by some of the best practical farmers.
Obtainable from the Secretary, Rothamsted Experimental Station, Harpenden, Herts.
"The Manuring of Potatoes." 1/6.
(1)*The Growing of Lucerne." 1/6.
(2)"The Culture and Manuring of Fodder Crops." 1/6.
(3)"Green Manuring: its Possibilities and Limitations in Practice." 2/-
(4)"The Culture and Manuring of Sugar Beet." 2/6.
(5)"Art and Science of Cultivation." 2/-
(6)"Power for Cultivation and Haulage on the Farm." 2/6.
(7)"Malting Barley." 2/6.
(8)"Recent Changes in Systems of Husbandry in England." 2/6.
(9)"The Hertfordshire Agricultural Situation: Can it be Improved?" 2/-
(10)"The Growth of Cheaper Winter Food for Live Stock." 2/6.
(11)"The Making of New Grassland: Experiences of Practical Farmers." 2/6.
(12)"The Place and Management of Sheep in Modern Farming." 1/6.
(13)"The Technique of Field Experiments." 1/6.
(14)"Mechanization and British Agriculture." 2/6.
(15)"Recent Developments in Market Gardening." 2/-
(16)"Problems of Potato-Growing." 2/-
(17)"Modern Changes in the Treatment of Light Soils." 2/-
(18)"Brood Diseases of Bees." 1/6.
(19)"The Production of Pigs for Bacon." 1/6.
Numbers 1 to 15 inclusive are also published in book form: Vol. I (1-5), Vol. II (6-10), Vol. III (11-15), 10/- each; postage extra.
*Out of print in separate copies.
CONTENTS
Introduction.
Miss A. D. Betts, B.Sc. Historical Notes on Theories of Swarm Control 6
Brother Adam, O.S.B. Gertsung's Brood Food Theory 10
D. Morland, M.A. Swarming and the Division of Labour in the Hive 14
L. E. Snelgrove, M.A., M.Sc. The Snelgrove Method of Swarm Prevention 18
W. H. J. Prior The Demaree System (contributed) 22
C. F. Clay, M.A. The Peck Method 24
W. Hamilton Swarming: What is the Cause. 27
INTRODUCTION
When, towards the end of last century, the straw skep was abandoned in favour of the moveable comb hive, the issue of a swarm ceased to be an occasion of rejoicing and has degenerated into a nuisance demanding vigilance lest the bees be lost. The modern beekeeper is able to increase the number of hives in his apiary by dividing his stocks at a time which suits his convenience and the necessities of the honey flow, rather than the whim of the bees and the weather.
Many systems have been put forward for the prevention and control of swarming. Some have proved successful in the hands of their advocates; not all have shown themselves practical in respect of the time and labour involved; while some appear to interfere with the gathering of the honey crop to a greater extent than even the issue of a swarm.
The object of this conference was to consider workable systems of management and the principles on which they are founded, and to put them on record for the convenience of beekeepers.
HISTORICAL NOTES ON
THEORIES OF SWARM CONTROL
By ANNIE D. BETTS, B.Sc.
(Editor of The Bee World)
The methods a beekeeper uses to manage his bees influence his ideas about the nature and organisation of the bee-colony much more than is sometimes realised. The Greeks and Romans did not try to control swarming, and so most of them were quite content to believe that a stock of bees was a city-state, like Athens or Rome, which had a king or general set over it, made war on its neighbours at intervals, and—when it grew very prosperous and the population increased—sent out some of its citizens to found a daughter-city or colony elsewhere. The only ancient writer who seems to have an inkling of another idea is that good practical bee man, Columella. He writes of the swarm as being composed of the younger bees, who have grown tired of living any longer under the rule of the old ones, and so leave home. Whether he learnt this from some Greek writer whose work is lost, or from beekeepers in Spain when he was a boy, or whether he thought of it himself, is not known. But he seems to be one of the first—if not the very first writer on bees to realise that the colony is like a family rather than an army or a city.
During the Middle Ages, as in ancient times, most practical beekeepers could not read or write, and those who wrote bee-books generally copied the classical authors without adding much new material. No one wanted to control swarming, at any rate in England and most parts of Northern Europe; they wanted as many early swarms as possible, so as to have plenty of stocks to "take up" and sulphur in autumn. Only a few author-beekeepers seem to have practised any sort of swarm control. As an instance we may take our greatest bee man, Charles Butler. He copied the classics freely in his book; but he controlled swarming by a method which he did not learn from them. He used, not only the straw skeps general in Hampshire in his time and until recently, but also tall wicker skeps, shaped like a dunce's cap. When the stock in one of these prepared to swarm, he stood it on its head in a hole and put an empty skep on top of it, plastering the join between the two bottom edges with cow dung. This gave the bees plenty of room, and also killed most of the queen cells. I do not know, but am inclined to think that he learned this method in the Chilterns in his youth. The only place where it is now in use is in France—in the Gatinais district—so it must go back to the Ancient Britons at least, if not further—for we have no reason to think that Charles Butler was ever in France.
It is almost certain that, if we knew more of the Britons and other prehistoric peoples, we should find that they had more accurate knowledge about bees than the Greeks and Romans. Having no writing or books, they have not been able to leave us any record of their knowledge, except in folklore and the survival of old skeps like the ones in the Gatinais.
In 1771, in Vienna, a Carinthian beekeeper, Anton Janscha, published a book on swarming. He, like Butler, was a poor man's son; but unlike Butler, he had no education until he was over thirty; and he died when only 39. His book is wonderful and most practical; but he is a splendid instance that what a man believes about bees will govern his management of them. He says that swarming is due to two things—the bees' propagating instinct and their industry. When the stock grows crowded, these instincts cannot find satisfaction in the old home, and so a division of the colony takes place—the stock swarms. In exact accordance with this theory, Janscha says that to prevent swarming one should give more room, but adds that the surest way is to decapitate or cut out the drone brood and to remove the queen cells. He used those long shallow hives in which we still buy Carinthian bees, and no doubt it was fairly easy to find all the queen cells in such a hive, when the floor-board was removed.
Janscha anticipated a great many of Huber's discoveries; but he died before he could answer the objections of the authorities of his day, who were opposed to his views; and so his discoveries were forgotten.
Now we come to another continental beekeeper who did a great deal for the craft—the German cabinet-maker, Johann Mehring. In 1857 he invented foundation; and in 1869 he wrote a book called, "The new One-Being-System as a Foundation for Beekeeping." In it he stated that the bee-colony must be regarded, not so much as a community of insects living together, but as a single organism. The book went out of print and was forgotten. But, a few years later, Rev. Schönfeld gave a copy of it to a young fellow-parson at Ossmannstedt in Thuringia. This man was Ferdinand Gerstung.
Gerstung himself had already hit upon this idea, that the bee-colony was a unit or single organism, and he was so delighted with Mehring's book that he brought out a new edition of it in 1901, in the preface to which he acknowledged his debt to Mehring for many of his own ideas.
Gerstung taught that a colony and its combs is one indivisible whole from the point of view of its life-processes. It consists of a number of layers or shells, one within the other. Imagine that the combs are transparent, so that you can look at the nest as a whole. You will see honey outside with the foraging bees on it, then a blanket of pollen all round the brood, and finally the brood itself in the middle with the nurse bees and queen. The queen, Gerstung
believed, follows a definite course, in spirals, returning every three weeks to the same place, as the cells again become vacant for her to lay in. Therefore the beekeeper must not disturb the order of the combs, or even take them apart needlessly; for by so doing he will upset the orderly movements of the queen and throw out the life-processes of the colony-organism.
The young bee—Gerstung taught—follows what he called the centrifugal law. That is, she moves away from the centre of the colony as she grows older. When newly emerged, she stays near her cell, and, when the queen comes by on her rounds to lay in it and other newly-vacated cells near by, feeds her. She tends the eggs, and when the grubs hatch, is at the right stage to feed them. When they are ready to be sealed, she is a wax-maker, and seals their cells. Then, her work as a nurse being done, she leaves the centre of the colony and goes further outwards. She cleans the hive, stands guard at the door, learns to fly; and, finally, as a forager, goes far away from home in search of food.
The separate organs of an animal's body are all nourished by the blood, and each takes from it what it requires for its functions. So too—said Gerstung—is it with the bee-colony. Its blood is the brood food, which he thinks of as a stream circulating in the colony. The queen and nurses need protein for eggs and brood-feeding, and take this out of the stream; the wax-making bees need fat; and the foragers need sugar to supply energy for flying and other hard work. If the colony is properly balanced, the food stream is used up evenly and nothing remains in excess when all are satisfied. But, if some class of bees is not able to use up enough of the particular foodstuff they should take out of the stream, that foodstuff will be in excess, and the normal life of the stock will be upset. Thus, if the queen's laying is checked, the nurses and wax-makers will soon not have enough grubs to feed or seal over, and protein and fat will be in excess. The bees then try to find outlets for the superfluity. They produce warmth; they build drone combs and rear drones. This fails to relieve the situation sufficiently; so they start queen cells, which absorb a great deal of brood food. This makes things better for a time, until the cells are sealed, and there is a reduced call for royal jelly. The bees would then feed it to the queen; but she has ceased to lay, and will not take it. They cannot eat it themselves, so there is now no outlet for the excess brood food; and the bees must seek a new home to find occupation for their superfluous materials and energies. The swarm inevitably results.
Thus, according to Gerstung, the bees do not rear drones and queens in preparation for a swarm, but in an instinctive attempt to avoid the necessity of swarming.
It is obvious how helpful Gerstung's theory is in suggesting what we should do and avoid if we want to prevent swarming. Any action on the beekeeper's part which results in idle nurses—such as putting
a sheet of foundation into the middle of the brood nest, or even pulling the nest about needlessly—may cause queen cells to be started. Again, cutting out unsealed queen cells might cause a swarm to come off instead of hindering it; for it would cause a sudden excess of royal jelly. One could think of other instances. Many modern methods of swarm control are based, directly or indirectly, on Gerstung's idea that the bee-colony is a unit—an organism. His work has had to be corrected in details; but his chief merit remains. He made beekeepers think of the colony as a unit, and thus gave them the first really solid basis for swarm control—and, I might add, for many other operations of practical beekeeping.
The idea that the colony is an organism also occurred—I believe independantly—to our countryman G. W. Bullamore, and was published by him in the *Beekeepers' Gazette*, 1911. This was, however, a good many years after Gerstung first published his ideas, and over forty years after Mehring's book. So I fear that we cannot claim any of the credit for this, one of the most important advances made in beekeeping theory. It is, however, pleasant to know that Britain is now taking quite a respectable part in developing the consequences of the theory for practical beekeeping, and also in extending the work of Rosch and others on the division of labour in the hive. It was this work which confirmed Gerstung's main idea, though it proved him wrong in many small details; and it is very regrettable that he did not live to see it. Gerstung died ten years ago, a few months before Dr. Rösch published his first paper.
GERSTUNG’S BROOD FOOD THEORY
By Brother Adam, O.S.B.
(St. Mary’s Abbey, Buckfast)
Dr. Gerstung endeavours to explain the mysterious phenomena of the life-cycle of a colony of bees by comparing it to a plant, rather than to a more highly organised animal. He maintains that just as a plant originates from one germ out of which the diversity of cells—roots, stalk or stem, bud, flower and fruit—develop, and as each group of cells performs its allotted task, and as the parts depend upon and derive life from the whole, so too in a similar way do the various members of a colony of bees originate and subsist. A branch cut from a tree is bound to wither, so likewise individual members, apart from the colony, cannot exist for any length of time. Queen, drone and worker each performs the duty it is designed for by Nature towards the upkeep and propagation of the species, and in turn each unit derives and relies on the existence of the whole.
A colony of bees therefore is, according to Gerstung’s views, an organism the existence of which is dependent on the concordant co-operation of the various units, and existence of the units presupposes the whole as source and bearer of life.
Dr. Gerstung’s organic conception has a direct relation to all aspects of colony-life. However, we are concerned with it only as it relates to swarming.
In English literature on beekeeping Gerstung’s name is mainly associated with what is termed “the brood food theory.” The brood food theory is a logical development of the aforementioned “organic conception.”
Dr. Gerstung sees in brood food the primary source and stimulus of all the phenomena that take place in the life-cycle of a colony, and draws a parallel between brood food and the sap circulating in a tree. During the dormant season only enough sap is generated to sustain life, but when, in response to warmth, more of the life-giving element is produced than is demanded for subsistence, growth and all the diverse forms of seasonal development are, one by one, set in action; leaves, buds, flowers and fruit succeed each other in due order. So too, Gerstung maintains, does brood food play a similar role in the life of a colony. A continuous flow and exchange of brood food takes place among nurse and field bees, and a flow from the former to queen and drones; each caste, every section of the worker population draws from the brood food stream, “Futtersaftstrom,” the particular sustenance it requires. The rising intensity of the brood food flow sets
one instinct after another into motion. In the first instance the reproductive, then the drone-raising instinct; the comb-building instinct; and, finally, when the greatest intensity of the flow is reached, the propagative instinct. The succeeding phases of development are only attained if the brood food flow exceeds the demand made on it at the time; conversely, the moment the flow declines, the propagative impulse, the drone-raising impulse, the building-impulse, and eventually the reproductive impulse recede into abeyance.
The actual conditions usually leading to swarming come about as follows. Until nectar is available a steady increase in nurse bees, and a corresponding extension of the brood nest takes place normally, provided no shortage of stores or prolonged cold spells check the development. But at the time when the first nectar is gathered a tremendous spurt of brood rearing generally occurs, and the queen is forced to lay to her maximum capacity. Indeed, at this period the area of brood is often doubled and trebled in the space of a few weeks. Now, according to Gerstung, the critical stage as regards swarming is reached the moment this horde of emerging bees assumes the duty of nurses. On the one hand the queen has attained the limit of her egg-laying capacity, and on the other hand the emerging bees are capable of providing brood food for at least twice the number of eggs the queen can produce. There is only one further outlet for an overproduction of chyle—royal larvae. Queen cells are accordingly constructed and the swarming impulse and the swarming fever aroused.
This, briefly summarised, is Gerstung’s brood food theory. It is a hypothesis only, as the author himself affirmed; but a hypothesis possessing the greatest element of probability.
Speaking from my own observations and experience in handling almost every known variety of bees, I have been led to the conclusion that the brood food theory is the only satisfactory explanation of the cause of swarming so far put forward. Lack of room, insufficient ventilation, congestion of the brood chamber are merely secondary influences. Indeed, too much room and ventilation more often than not inhibit normal expansion of the brood nest, the ratio of nurse bees to brood becomes unbalanced, and swarming caused in consequence.
One vital aspect of Gerstung’s theory is, I believe, often overlooked, namely, that the presence of a preponderance of bees of nursing age does not itself induce swarming; it only gives rise to the swarming impulse if the bees are excited to an overproduction of brood food. In other words, if by one influence or another the energies of young bees is diverted into other spheres of occupation than the elaboration of brood food, then no swarming will occur. It must be borne in mind that bees possess the ability of adapting their activities to the needs of the moment. Were it not for this fact
then swarming would be bound to develop in every colony the moment a queen reaches her maximum egg-laying capacity, or at the time breeding declines. If the attention of a section of the young bees of a colony is centred on other activities than nursing brood, they will pass then the nursing stage of their life without ever taking an active part in the preparation of brood food.
One obvious conclusion that may be inferred from Gerstung's hypothesis is that colonies which develop gradually from the time breeding commences until the height of the season is reached, and which are in no way and at no time checked in their development, are the ones least susceptible to swarming.
The Buckfast System of Swarm Control
Swarm preventative measures possess an inherent element of uncertainty, unreliability on account of the manifold influences beyond our control to which bees are subject. Moreover, the various strains, and even individual colonies of the same strain, react often quite differently to identical treatment. We have therefore at Buckfast adopted a system of swarm control which I will now outline.
All honey producing stocks are re-queened annually. Queens two years old fail all too frequently at the height of the brood-rearing season, and thereby induce swarming. Every queen before being introduced into a stock has one of her wings clipped. Unrestricted breeding-space, and an abundance of stores is provided so that at no time is normal development of a colony checked.
Throughout the swarming season each colony is examined at intervals of ten days. On the first occasion a colony is found preparing to swarm we merely remove all queen cells. If, however, queen cells are again present on the subsequent visit, then this is taken as a definite indication that that colony is determined to swarm. The queen is therefore removed and every queen cell searched for and destroyed, and the colony thus left until the next visit. On the subsequent round all the queen cells possessed by the queenless stocks are once more removed, and then given a young fertile queen. Colonies thus re-queened, after being without a fertile queen for ten days, can be relied on not to swarm again for that season.
Were it not for the fact that all our stocks are taken on to Dartmoor in August for the heather harvest we would, regardless whether preparations for swarming are in progress or not, de-queen every colony about June 15th-20th, and re-queen them ten days after. The advantages derived from this form of swarm control are:—
(1) Swarming is prevented absolutely, with the least possible expenditure of time and labour per colony.
(2) Stocks are kept undivided.
(3) Colonies thus re-queened, just prior to the main honey flow, work well-nigh with as great energy as newly hived natural swarms.
(4) Breeding is suspended at a time when, in most districts, it
would be a disadvantage. (Bees which emerge after July 1st attain maturity too late to take an active share in gathering honey, and therefore subsist on stores laid up for winter.)
(5) A break in breeding at the height of the season is the most effective check and remedy to all milder forms of brood and adult bee diseases.
Unfortunately, where heather honey aimed at, the aforementioned periodical examination of colonies seems inevitable. A colony made queenless in June is quite useless for the production of a surplus in August.
There is one detail of management I would like to draw particular attention to, as it has an important bearing on swarming, namely, at no time during the swarming season do we alter the position of combs in the brood chamber, or disturb the ordered arrangement of the bees more than can possibly be helped. A disorganisation at this period beyond any doubt tends to induce swarming.
SWARMING AND THE DIVISION OF LABOUR IN THE HIVE
By D. Morland, M.A.
(Rothamsted Experimental Station)
In a former paper the Brood Food Theory of Gerstung was examined in the light of the work of Rösch, Soudek and others (Annals of Applied Biology, vol. XVII, 1930, p. 137). Gerstung considered the colony rather than the individual bee as the unit, and maintained that swarming is due to an unbalanced state of the hive population resulting in a surplus of nurse bees and the preparation of brood food in excess of the requirements of the nursing larvae. He held that it was this surplus which led to the raising of queen cells, since a single queen consumes royal jelly throughout her larval life, while worker larvae only receive it in their youngest and smallest stage. In my earlier paper I referred to the way in which Rösch's studies of the division of labour in the hive fit in with this theory. His method was to mark individual bees on emergence from their cells and to watch their activities in an observation hive.
During the past four seasons we have been making observations on similar lines in the experimental apiary at Rothamsted. Sealed brood without adhering bees is placed overnight in an incubator maintained at the hive temperature of 33°C. The following morning the newly emerged bees found on the combs are marked with a quick drying cellulose enamel on the back of the thorax. A code of colours is used by which it is possible to tell the date of emergence of any marked bee. When the marked bees have recovered from the temporary stupor caused by the solvent in the paint, they are introduced to a large six-frame observation hive. If proper care is exercised, these bees are accepted by the following morning and thereafter behave as normal inhabitants of the hive. Observations made on such marked bees confirm the findings of Rösch as to the sequence of promotion from nurse to housekeeper and then to forager, but some cases have been noticed of bees flying, carrying pollen and even accompanying the swarm at a precociously early age.
The addition to the observation colony of some thousands of bees, all potential nurses, exaggerated that preponderance of nurses over brood, which according to the brood food theory leads a colony to swarm. At the same time the levy of sealed brood taken from the strongest stocks of the apiary, for hatching in the incubator, produced in them the opposite condition. Any surplus of young bees in the incubator, which was not required for marking, was also introduced into the colonies under experiment. As a result of this it frequently
happened that the only colonies in the apiary to swarm were those to which marked bees had been added. This would suggest that the equalisation of stocks, which some authorities have so heartily condemned, or the establishment of nuclei on lines consistent with this theory, may be a practical method of swarm control, in apiaries which are known to be free from brood disease, provided that the nuclei or subsidised weaker stocks are given queens reared from the more desirable colonies.
When swarms emerged from the observation colonies of marked bees, they were hived in the usual way on empty drawn comb and left overnight with a comb of unsealed brood to settle down in their new home. The following day the usual sloping board was placed in front of the hive, containing the swarm, and a number of glass jars fitted with wide necked funnels corresponding to the batches of marked bees present in the original colony was provided. Sometimes the fly sheet of a tent was pitched over the hive as a protection from sun and wind. The frames were removed one, by one and either the coloured bees were picked off the combs and sorted into their appropriate jars, or else the bees were shaken on to the sloping board, and the marked ones picked out as they ran into the hive. This was repeated, until no more coloured bees remained on the combs or in the brood box. The jars of bees were then taken to the field laboratory and the bees given a whiff of ether for convenience in counting. After they had recovered they were re-introduced to the swarm. This was a full day's work for two people. The following day the same procedure was repeated with the parent stock. The possibility that anaesthetised bees might become confused and return to the parent colony was not lost sight of, but a special watch was kept, and there is no evidence that this took place. In one instance the same process was repeated with a cast which emerged after the prime swarm, but unfortunately on another occasion a cast absconded and was lost. No report of a stray swarm with strangely marked bees was received from the neighbouring beekeepers.
Once it was reported that bees of curious aspect, "having green mould growing on their backs," had been observed prospecting round an unoccupied hive one mile from the apiary. After this had continued for a week, it suddenly ceased on the day when a swarm issued from the observation hive with a clipped queen and was successfully hived. The informant was shown bees marked with a green spot on a white background and declared that they were the same.
After the first year the number of bees marked on each occasion was noted and kept approximately uniform, and a very good idea of the rate of mortality of worker bees at that time of year was obtained by adding together the numbers of each batch recovered from stock and swarm respectively. It is admitted that the handling necessary in the process of marking, clumsy application of the colour, or careless introduction, may cause some casualties (in one case the
entire batch perished from one of these causes) but with practice, a very high percentage of acceptance has been achieved during the later seasons. Once, when a swarm emerged on the day following the introduction of a batch of bees, only a very small loss out of the total introduced was recorded.
It will be seen from the diagrams that in the height of the season, after about 21 days, 50 per cent. of any batch had disappeared, and that by between 40 and 50 days the marked bees of any given colour had become extinct. It may be objected that the colours might wear off and an old bee appear not to have been marked, but in the comparatively rare instances when this has occurred such bees are very easy to recognise from the fact that there is a black shiny patch on the thorax from which the hairs are entirely absent, having come away with the paint. It might also be thought that the presence of the paint would in some way shorten the life of the bee, but except where a slip has been made and paint has got on to the base of the wing or over the spiracle, there seems no reason to believe that this is so.
Various statements have been made as to the age of the bees which constitute the swarm. It is most frequently said that it is the young bees which go out. In the light of Rösch’s work, it was expected that it would be the middle aged bees (the “control bees” of an American writer) which would be found in the greatest numbers in the swarm. In the experiments at Rothamsted this was found to be the case, though not in very striking preponderance. While very young batches were poorly represented, the falling off of the older categories was due to the high rate of mortality of the foragers at this time of year and was almost as great among bees of the same age remaining in the parent stock, so that the difference in distribution of the different aged bees in stock and swarm was not so great as had been expected. A well-known beekeeper suggested that the high rate of mortality might be due partly to the use of an observation hive only one comb thick; in fact, we did not find it easy to winter bees properly in such a hive, in spite of heavy insulation. Since then, one or more control hives of the ordinary single walled type (now known as the “National” hive, see Ministry of Agriculture Marketing leaflet No. 79) was used. Results did not differ materially from those which had been obtained with the observation hive.
The use of marked bees has also afforded an opportunity to study the prevalence of drifting. Although the apiary is regularly arranged and contained only a few types of hive, the number of coloured bees found in other hives has been relatively small. This is remarkable when it is remembered that they are only adopted members of the colony. No attempt was made to mark drones, as they do not directly affect the Brood Food situation, but it is probable that more drifting might have been encountered in their case.
Although the mass marking of bees does not lend itself to such detailed study of the division of labour as the marking of individual bees, as practised by Rösch, it has given a good indication of the way in which a stock is divided at swarming. There seem to be no very striking variations in the proportion of marked bees in stock and swarm and it is felt that any further work that may be undertaken on this problem should take the form of a determination of the distribution of bees of different ages in the different parts of hives worked on the "Demaree," "Snelgrove," or other systems of swarm control.* Probably the information desired could be obtained by using fewer and smaller batches of bees than in the studies which have here been reported. This might make it possible to have a larger number of stocks than just one or two devoted to the experiment.
* The work of the 1935 season has been on these lines.
THE SNELGROVE METHOD OF SWARM PREVENTION
By L. E. SNELGROVE, M.A., M.SC.
It is impossible in the brief time allotted to me to deal fully with my method of swarm prevention and I shall therefore confine my descriptions to its application to a stock of bees which has not made preparations for swarming and which is housed in a "Simplicity" or "National Single-walled hive." As I proceed I shall illustrate my points by means of the hive placed at my disposal to-day by the officials of this station. For the important modifications necessary in the case of a stock which is building queen-cells preparatory to swarming, for the application of the method to other types of hives, for its use in queen-rearing, preparations for the heather season, and detailed working instructions, I must refer my listeners to the book I have recently published on the subject.*
A good method of swarm control should conform to the following conditions:—
(1) It should be applicable in all circumstances and certain in its result when properly carried out.
(2) It should require little time and labour.
(3) It should not involve the breaking down of queen-cells or (if not desired) searching for the queen.
(4) It should provide for annual re-queening, selection of stock, and increase or limitation of stocks as desired.
(5) It should ensure immediate occupation of supers and no interruption of honey-gathering or the laying of the queen.
(6) Above all it should not involve cruelty such as is occasioned by the forcible confinement of queen or drones by means of queen excluders.
The methods I have devised fulfil all these conditions. In particular the amount of time necessary to prevent a stock from swarming throughout the season should be considerably less than one hour.
The success of a stock of bees in respect of honey-gathering depends on the number of field bees it contains during the period of the main honey flow. Every effort must therefore be made to stimulate the queen to lay plentifully during the spring, and with this end in view the stock must be provided with additional brood boxes as necessary until the last week in May. It is easy to prevent swarming until this time by judicious increase of the brood nest and by supering in the ordinary way.
* "Swarming: its control and prevention." (Snellgrove) 1935.
When a new brood chamber is added some precautions are necessary. It is often useless merely to place it under the brood nest, for in unfavourable weather the bees will confine themselves to their original combs, prepare queen cells, and swarm. The new brood chamber should be placed above the original one, and to ensure that the bees will occupy it two frames of brood with bees should be lifted from the lower to the upper chamber and placed on either side of a central empty comb, their places below being filled by two empty combs or foundation. The same procedure should be followed if it becomes necessary to add further additional brood boxes.
A stock occupying fairly fully a double brood chamber, and possibly to some extent a super, at the beginning of the last week in May is in ideal condition for successful treatment. Better results will naturally be obtained from a stock which has needed a third brood box.
Let us now assume that towards the end of May our typical stock occupies twenty brood frames and that above these there is a shallow frame or section rack, the hive having been well ventilated below by a wide entrance and the queen not having been at any time restricted for room to lay.
On a convenient day the brood combs of the stock, with adhering bees are separated into two groups—those containing brood, which are placed in what we shall call Box A, and others which are broodless, or nearly so, and which are placed in Box B. With the latter are placed the queen and one comb containing a little young brood.
Box B is then placed under the excluder and will become the future brood nest of the stock. Box A containing the brood is placed above the excluder and the super.
If it is desired to avoid the task of finding the queen it is only necessary to shake the bees gently off the combs of Box A and let them run into the hive at the main entrance. The queen will then be in Box B and under the excluder.
The bees in A, separated from the queen by an excluder and the super, begin to raise queen-cells. On the fourth day, when the feeding of the young queens is practically completed, Box A is separated from the rest of the stock by means of a screen-board. This is similar to a clearer-board, the clearer hole being covered by perforated zinc or wire gauze. Wedges are cut from the upper and lower rims of the board so as to provide small entrances or exits about 1\(\frac{1}{4}\) inches wide. They are cut on three sides of the board and serve to deprive the stock in A of flying bees and at the same time to re-inforce the stock in B which occupies the supers.
When the screen board is placed under Box A, one of the upper small entrances is opened and the flying bees from this box return to the hive by the main entrance, thus re-inforcing the stock in Box B. By suitable manipulation of the wedges the lower stock is still further re-inforced on two specific dates so that young queens
emerging in Box A cannot possibly lead off swarms because there are no flying bees to accompany them.
The whole force of field bees is concentrated in Box B and the supers. As this stock is deficient in nurse bees, which cannot increase to excess for four or five weeks, and as by that time the queen's laying power will have declined, there will be no tendency on the part of these bees to swarm.
The bees in both boxes retain the same odour because of the wire gauze between them. The stock in B establishes and maintains a column of bees reaching through the super to the gauze in the screen-board, and the super is therefore immediately occupied after the insertion of the board.
By simple modification of Box B it is possible to rear several young queens at one time. Selection of stock is made easy by the application of the method to the best stocks three or four days earlier than to the others.
It will be realised that by this method the full force of field bees is kept at work in the supers, which may be added at suitable intervals and that the young queens are reared under the best possible conditions.
The method should not be applied before the queen has reached the peak period of her laying—that is, usually about the end of May. If it be used earlier the stock may need some relief of its brood nest after three weeks in order that there be no late swarming. Such relief can be given by exchanging two combs of brood in Box B for two broodless ones in A.
At the end of the honey season the two stocks may be united, or they may be wintered separately.
PLATE I. SNELGROVE METHOD.
A. "Box A" containing brood and young bees, in which queen cells are raised.
B. "Box B" containing broodless combs and laying queen on one comb of brood, to which the flying bees return.
C. The special screen boards having three pairs of removable entrance blocks and a ventilation hole in the centre covered with wire gauze.
D. The supers.
E. Queen excluder placed between queen chamber and super.
THE DEMAREE PLAN
As notes of Mr. Prior's lecture are not available, a short account of the Demaree plan is inserted below.
The term "Demaree method" is a general one and there are several variations of it. Originally it was a treatment for swarms which had issued in the ordinary way, but it has been taken to mean "any method for expanding the broodnest by transferring the brood or the queen from one broodnest to another—and then confining her activities to one particular broodchamber (usually the bottom one) by the use of a queen excluder, for the purpose of the prevention or control of swarming." (Root.)
It will be seen that the above comprehensive definition covers more than many people would describe as demareeing and would include the Peck and Snelgrove methods among others.
The following is a quotation from an article by G. W. Demaree (American Bee Journal, LXVII, p. 303, 1892):
"I begin with the strongest colonies and transfer the combs containing brood from the broodchamber to an upper story above the queen excluder. One comb containing some unsealed brood and eggs is left in the brood chamber with empty combs.
"The colony thus has all of its brood and the queen, but the queen has a new brood nest below the excluder, while the combs of brood are in the super. In twenty-one days all the brood will be hatched out of the combs above the excluder, so a continuous succession of young bees is sustained. Usually the combs above the excluder will be filled with honey by the time all the bees are hatched, and no system is as sure of giving one set of combs full of honey for the extractor in the very poorest seasons: and if the season is propitious the yield will be enormous under proper management."
Demaree himself modified the plan in 1894 and again in 1895. An extra entrance was provided in the upper brood chamber so that the drones hatched above the queen excluder could escape. Later he put the sealed brood above, leaving the unsealed below with the queen. The most favoured plan at the present time is to have the supers between the two brood chambers above the queen excluder, rather than on top of the upper brood chamber. This gives the bees in the upper brood chamber a feeling of queenlessness and queen cells are started, which may later either be destroyed or used for increase. A criticism which has been made against the Demaree system is that the honey, which is stored in the combs of the upper chamber, after the emergence of the brood, is alleged to be inferior to that from supers in which brood has never been raised. Mr. Prior contended that there was no evidence for this belief, and that he had gained prizes for such honey at shows at which those who condemned the practice were acting as judges.
PLATE II. DEMAREE PLAN.
A. Laying chamber containing the queen.
B. Queen excluder.
C. Super or supers, which are added as the honeyflow progresses.
D. Chamber containing brood which has been put up. In this chamber queen cells are liable to be started.
THE PECK SYSTEM
By C. F. CLAY, M.A.
Mr. S. Peck of Histon, Cambs., being unfortunately prevented by illness from being with us to-day, I am commissioned by him to give a description of his method of swarm-control. Mr. Peck, and his father before him, have been in charge of the apiaries of Messrs. Chivers of Histon, for more than thirty years. As these apiaries have for their main objective the pollination of the fruit trees, the hives are scattered among the orchards, and not arranged in the familiar symmetrical rows of the commercial apiary.
Mr. Peck first states that in order to get good results from his method of swarm control, the hive should have a deep entrance, as it is not convenient to prop open the entrance during hot weather.
The method should be begun when the stock is strong enough to swarm and may be continued until the swarming season is past, or until the stock is re-queened with a young fertile queen.
The queen is first confined to the brood chamber (A), which is done by placing a queen excluder dummy (C) down the centre of the brood box from front to back, and a queen excluder slide (F) is placed half across the entrance to the hive, thus enclosing the queen in a chamber from which she cannot escape. A stop (D) is placed close up against the queen excluder at the entrance, in order that the queen cannot pass round the end. Alternately the queen can be confined by using a hive with combs which run parallel to the entrance, by placing the queen excluder across the hive dividing it in half. Whilst this method gives much greater freedom to the bees at the entrance, it leads to some trouble with the drones which become pent up behind the excluder.
When the supers (G) are put on, the top of the queen chamber is covered with half a sheet of excluder. (E) This is to the advantage of the bees who can enter the supers more easily without having to pass through a queen excluder.
The queen is given five combs which are nearly empty, or filled with hatching brood. It is essential that one comb should contain a few eggs or hatching brood, as otherwise the workers are liable to kill the queen.
After ten days, a very prolific queen will have filled the five combs with eggs, but probably a queen of average capabilities will have failed to fill all five completely. These combs are then exchanged with those on the other side of the queen excluder dummy. The combs taken from the queen chamber are shaken, allowing the bees and queen to remain where they were, and the combs from the other side (B) of the excluder to replace those full of brood, and these
PLATE III. PECK SYSTEM.
A. Laying chamber containing the queen.
B. Chamber to which brood is to be transferred every tenth day.
C. Hanging queen excluder.
D. Stop to prevent queen passing round end of queen excluder.
E. Half sheet of excluder, which covers laying chamber (A) when supers are on.
F. Queen excluder slide over entrance of laying chamber.
G. Supers.
are put in their place. Shaking should not be attempted during the honey flow, and the queen should be found at the beginning of operations and kept in her proper chamber.
This process is repeated every ten days throughout the swarming season or until the stock has accepted a young fertile queen.
It must be pointed out that the work of the queen is not interfered with nor retarded by this method, as, if she had the run of all ten combs at once she could only fill them with eggs once in twenty-one days, as it takes three weeks for the brood to emerge.
Bees treated in this way do sometimes attempt to swarm, but they return to the hive almost at once. On their return they usually destroy any advanced cells in the queen chamber, leaving the less mature cells until they become a danger to the queen. These cells are removed by the manipulator on his next visit.
If a queen is overlooked in the side of the hive to which the queen has no access, the young queen generally gets mated and returns to the hive, but if two or more cells are missed, the bees will swarm. Only a few bees—about 1½ lbs. perhaps—will go with the virgin queen, as long as the old queen is still confined to the hive.
It is important that frames containing new foundation should not be placed in the queen chamber, as the bees will not draw out combs if these frames are placed between those containing capped brood. Such frames of new foundation should be placed between combs containing eggs which have been freshly removed from the queen chamber.
During the height of the season when queen cells are being formed it is often advisable to make a nucleus, and a comb with a queen cell attached can be removed, and later on united to the parent stock when the young queen is fertile.
It is preferable to use a hive with twelve brood combs which thus allows extra room for honey and pollen near the brood nest. Using this system it is found that bees occupy sections more promptly than usual, and there is no fear of losing swarms through overcrowding. The system is suitable for a large commercial apiary, and given suitable weather conditions, eighty stocks can be manipulated in one day by an experienced beekeeper and one assistant to work the smoker.
In conclusion, I must add that Mr. Peck manages to manipulate so large a number of hives in one day by a methodical visit at which he works with an assistant, opens the hives, shakes the bees back into the queen chamber, puts the frames into a frame box and just lifts over the other frames into their place leaving his assistant to close the hive whilst he goes on to the next. Thus each hive takes only a very few minutes.
SWARMING: WHAT IS THE CAUSE?
By Wm. Hamilton
Swarming of the honey-bee is a natural phenomenon. It is Nature's method of propagating the species.
Swarming causes work to the beekeeper, reduces the possible crop of surplus honey, and often results in the loss of the swarm.
But every colony of bees does not swarm every year, and therefore it is obvious that under certain conditions existent in the colony bees have no inclination to swarm. If a few colonies have no desire to swarm would it not be possible to subdue or eradicate the desire to swarm in all colonies, provided the condition which induces swarming were known?
Theories have been advanced at different times as to the cause, among which are the Gerstung theory or brood food theory; the unbalanced condition of the colony theory; and the congested brood-nest theory. Gerstung's theory, which is explained by other speakers, was at one time widely accepted by theorists, but in my opinion and, I believe, in the opinion of most of the professional beekeepers in Britain and America, the theory is unsound.
If the brood-food theory be correct why does not every colony swarm every year? Of course, the nurse bee need not do much, if any, nursing of the brood. There appears to be a general impression among beekeepers that bees under certain ages cannot perform other than certain duties which the experiments of Rösch and others have shown they are best fitted for. Further, I believe there is also a general impression that bees under ten days old make brood food automatically. Neither of these impressions are correct.
The giving of brood either sealed or unsealed often checks the preparations to swarm. Giving sealed brood should accentuate the desire to swarm if Gerstung be right.
The successful entry of a virgin queen accidental or otherwise to a colony preparing to swarm usually has the effect of stopping swarming for the season.
A period of bad weather has the tendency to make the bees destroy the queen cells that have been built, and in some cases to cease making further attempts to swarm.
How do these cases square with Gerstung's theory?
It can easily be proved that young bees by themselves have no more inclination to build queen-cells than have old bees by themselves.
The congested brood-nest theory is widely accepted as a probable cause of swarming but in my opinion it is only a contributory cause.
Many other contributory causes have been advanced, such as old or failing queens, drones, lack of ventilation, and strain or race of bee. There is little doubt that these factors have a bearing on swarming.
I propose to examine the problem as briefly as possible.
The first thing to find out is whether we can make bees swarm at will. That is not difficult, for all we have to do is to take the queen out of a good colony in the summer and twelve to fourteen days later a swarm will issue headed by a virgin queen.
From this experiment it is easy to see that the presence of more than one queen cell caused swarming. If all had been destroyed but one, no swarm would have issued. And in natural swarming the same thing applies. Bees never swarm normally unless young queens are being reared in the hive.
Sealed queen-cells, then, are definitely the indirect cause of swarming and I submit that the urge to rear young queens when made queenless is precisely the same urge as when queen right. It is only a question of degree.
What then is the urge which causes the bees to rear young queens at the time they have a fertile queen present. I do not believe it is the surplus of brood food, for as has been shown, when a colony that has been making no obvious preparations to swarm, is dequeneed cells are started, although the effects on the amount of brood food needed cannot be felt for about three days. Further I am of opinion that the manufacture of brood food is automatically reduced as the need for it lessens. As I see it, the association between the brood and the queen is inseparable. The urge to rear brood is dominant in the bee colony for a period, and is always a powerful instinct in the working season. Bees associate the queen with brood, and feed her with pap. If the instinct to rear brood is stronger than the capacity of the queen to produce it; if her stamina is not sufficient to stand the strain of high egg production; and if she refuses the food provided, the bees instinctively associate the food she refuses with the brood, and lavish it on a few selected larvae. It may be that the odour of a failing queen is akin to the odour of the brood. If so, the bees may be instinctively impelled to feed the pap to selected larvae in the hope that it will re-create the odour which the queen, by her inability to take the food, is losing.
I think it is generally agreed that the queen has a distinctive odour. To prove that all sound queens have the same odour I have succeeded in publicly demonstrating the transference of queens from colony to colony without mishap. If however we try to introduce a virgin queen to a colony that has recently had a fertile queen taken out, the bees refuse her unless special precautions are taken. On the other hand if a virgin queen is taken away from a colony, the bees
miss her in a few minutes, but will take a fertile queen without demure. If the brood and queen be taken away the bees become almost frantic in their excitement. If we return the brood they become quieter and in a day or two become normal.
Which goes to prove that there is an association between the brood and queen.
To make the proposition clear I submit that when the brood-rearing instinct is dominant the failure of a queen for any reason whatsoever, such as old age, poor breeding, congested brood nest, physical defect, or racial characteristics, causes the bees to rear queens.
It is necessary now to glance at the preparations bees make for normal swarming. The first sign is the rearing of drones. The second is the construction of embryo queen-cell cups. I am of the opinion that when a queen begins to lay drone eggs she literally begins to die. It is a sign of weakness and nature directs that precautions be taken, and just in case of accidents the male element in the colony must be provided. Of course the queen may live for a year or two longer but Nature takes no chances. To say that the bees know that they will need drones or that the queen feels that she is failing is nonsense. Bees have no intelligence as we understand the word and are merely creatures of instinct and habit.
Regarding queen cups I do not believe that they necessarily mean the rearing of queens and believe that initially they merely signify an excrescence of wax within the cluster.
Have we found the cause of swarming yet? No! I have only dealt with the first phase. The second phase I propose to deal with now.
Bees don’t always swarm when the queen is failing. They build cells sometimes and then destroy them. Sometimes they rear only one young queen and thus supersede the old one. In the first case, bad weather may be the cause of the destruction of cells; in the second case, it is usually after the brood-rearing urge has subsided that supersedure takes place.
There are three powerful instincts inherent in bee-life, namely, brood-rearing, honey-storing, and swarming. The first two instincts are primarily concerned with the preservation of the colony and the third is probably more concerned with the preservation of the race.
If we examine the methods of swarm control and prevention we shall find that most of them are based on the instincts which demand the preservation of the colony before that of race.
Take the Demaree system; the brood is separated from the old bees and the queen. The advocates of the brood food theory claim that this proves their theory, but nothing could be farther from the truth. The fact is that the instinctive desire to rear brood for the preservation of the colony is at once aroused and checks swarming. The same applies to the Snelgrove system and many others. Take
the "shook" system where the colony is deprived of all its brood. Here again the fear for the existence of the colony is aroused.
Take the method of giving the bees a big hive or unlimited room. Again the instincts aroused are the brood rearing and storing instincts for the preservation of the colony. The larger brood nest requires more food to keep it going and the queen is less apt to be checked. Furthermore the tendency is strong to develop the storing instinct.
I now suggest that the ultimate cause of swarming is instinctive fear, which develops an excitement and results in swarming. There are many conditions which might cause this excitement. One instance, which most beekeepers see often, is the effect of smoke on a colony. The bees become frightened and fill themselves with honey, and in that condition are similar to the bees in a swarm. They do not leave as a swarm, however, but that is probably because the smoke has, in addition, a demoralising effect.
The best example for our purpose, however, is the condition in a colony when queens are being reared. The bees recognise that there is a potential queen in each queen cell, and they group themselves into bands in the vicinity of each cell. They do so because they are unable to determine which queen is the right one. The well ordered colony which by its very nature is a unit is divided into a number of units. One queen is needed; a fully developed and prolific queen; and the existence of the colony is at stake. The excitement grows, and the queen herself, fertile or unfertile as the case may be raises the excitement to "boiling" point, when she instinctively tries to destroy the rivals present. The groups of bees refuse to surrender the unborn queens to her fury. Something happens. The swarm has issued.
Bad weather for a few days at the time of sealing the queen cells may prevent the swarm. Dull damp weather subdues the excitement and lowers the temperature in the colony.
High temperature has always a powerful effect on fostering excitement, and a hot sun, masses of clustering bees secreting wax, and a congested hive, are factors which by themselves raise the temperature to danger point without any other excitement such as queen cells. It is well known how difficult it is to get rid of the swarming fever when the weather is very hot.
Many other examples might be given such as the effect of drones but it is time to sum up.
(1) The indirect cause of swarming is queen-cells.
(2) The direct cause of queen-cells is the failure of the queen.
(3) The cause of swarming is excitement engendered by a fear for the existence of the colony.
This fear makes, firstly, the bees build queen-cells and then again this fear makes them divide themselves, through excitement.
But paradoxically as it may seem fear can be used to prevent them from swarming.
Take away the brood. Take away the queen. Take away the honey from proximity to the brood. Give them a lot of work to do that excites them to the storing or breeding instincts rather than the swarming instinct. In short make the colony feel that its existence is at stake. These are the chief points in the modern methods of swarm control. Let us endeavour to dispense with these methods as far as possible.
Remove the cause of the excitement and you remove swarming. What is the cause of the excitement? The queen! What then is the remedy? The only possible remedy as far as I can see is to breed better bees. It is as natural for a colony to supersede its queen as it is to swarm. Some strains of bees are given to superseding their queens rather than swarming. I have seen these bees. Why should not all bees have this characteristic developed? Some races of bees are inveterate swarmers for reasons I have not had time to go into.
But there are strains of Italians, Caucasians and French Blacks that with good management seldom attempt to swarm. Some people think that it is not possible to breed a selected strain of bee, because of the risk of unwanted drones spoiling the effort. Believe me there is no danger. The person who tells you that after years of selective breeding, he has been unable to make any improvement, obviously lacks knowledge of the subject. Few beekeepers give this matter even a tithe of the study it deserves. My advice is keep a pure strain of bee and avoid mongrels. Keep a record of the non-swarmers and nine times out of ten these will be found to produce most honey. Of course it is obvious that if the Demaree or Snelgrove methods are practised, no true guide can ever be obtained of the qualities of the bee. Select the best and rear queens from it. Introduce these queens to all colonies. These queens may mate with strange drones but that is of little matter. Next year all the drones in the apiary will be directly related to the workers of the best colony of the year before.
If a good colony is again selected and queens reared from it these queens will mate, almost without exception with the drones in the apiary, in every hive of which the drones have the same blood. If a strange drone or two comes in and mates a queen, it doesn’t matter because no blood other than the beekeeper desires can ever contaminate his or her bees. Never breed from bad tempered bees however good they are and never keep two kinds of bees in the apiary.
In conclusion, I claim nothing very original in this paper on swarming except that I have divided swarming into two phases. Even if the brood food theory were correct as to the building of cells it could never explain the phenomenon of the swarm. I trust I have given at least a feasible explanation of that phenomenon.
|
In its continuing effort to provide humanitarian assistance, the Government of Canada has announced an additional contribution of 700,000 Canadian Dollars for the welfare of Bhutanese refugees in Nepal. A press release from the Canadian Cooperation Office in Kathmandu says that the amount would be provided to UNHCR, the main implementing agency of the refugee welfare programme. Out of the total amount, C$100,000 will be used for activities targeted towards helping the local people living in the vicinity of the refugee camps.
A year ago, the Canadian International Development Agency (CIDA) announced plans to eliminate bilateral aid programmes to some fourteen countries, seven each in Africa and Asia, including Bhutan. Last May, the Government of Canada provided C$150,000 as humanitarian assistance to the Bhutanese refugees welfare programme. The present announcement amidst growing concern in the international community about the Bhutanese refugee problem. Toobtain firsthand information about the living conditions of the refugees, the Canadian Embassy’s Counsellor John Moore visited the “refugee camp” in eastern Nepal last month, along with the Chargé d’affairs of the Embassy of the United States of America and the Representative of UNHCR.
PRISONERS RELEASED
The Bhutanese government granted the grant of “royal pardon” by the King to 83 prisoners on February 22, coinciding with the 400th birth anniversary celebrations of Shabdrung Ngawang Namgyal. The released prisoners included 23 alleged “anti-national” prisoners while the rest were common law criminals which included women and juvenile delinquents.
The gravity of the problem of arbitrary arrests and illegal detention by the Government is evident from these frequent “royal pardons.” While the government vociferously denies that there have been large-scale arrests, such “amnesties” continue. The total number of anti-national prisoners amnestied has crossed 1,600 even though the regime has admitted to taking less than 50 people into custody.
The slightest dissent against the government is dealt with severely - people disappear, and the lucky ones reappear only when there is a royal pardon. Though the Chemagang prison near Thimphu and a few cells in Thimphu jail have been opened to select visitors, little is known of prisons and prisoners in other parts of the kingdom.
The second meeting of the Ministerial Joint Committee of the Royal Government of Bhutan and His Majesty’s Government-Nepal took place in Kathmandu on 22nd March, 1994. The delegations were led by the respective Home Ministers. A Committee member on each side has been replaced due to recent personnel changes both in Kathmandu and Thimphu. For Bhutan, Nado Rinchen, Ambassador designate to Nepal, replaced former Home Secretary Jigme Thinley who has taken over as the Kingdom’s Representative at the United Nations in Geneva. Chakra Prasad Baralai, Nepal’s Ambassador to India and Bhutan replaced Kedar Bhatia. Shrestha who has been elevated to the post of Foreign Secretary.
The meeting which took place after a long span of four months since its first meeting in Kathmandu last October, produced no progress except for an agreement to meet once again in a month’s time in Kathmandu. A press release issued at the end of the talks stated that “the Joint Committee discussed the mechanisms for verification of the four agreed categories of the people in the refugee camps in eastern Nepal.” The Joint Committee agreed to continue discussions in Kathmandu towards the end of March at a mutually convenient date,” the press release added.
DIPLOMATS VISIT REFUGEE CAMPS
While the ground was being prepared by Nepal and Bhutan for the second round of bilateral talks between the two governments with regard to the question of Bhutanese refugees sheltered in Lhaga, East Nepal, many senior diplomats based in Kathmandu and New Delhi in India visited the refugee camps on Sunday, February 20, 1994. The visit was organized by His Majesty’s Government of Nepal and UNHCR. This is the first high-level visit undertaken for consultations by His Majesty’s Government of Nepal and UNHCR. In December 1992 also Katmandu-based diplomats had inspected the refugee camps. Besides these formal group visits, members of the diplomatic corps undertake separate journeys to the refugee camps throughout the year.
The February 20 group included the ambassadors of the Federal Republic of Germany, the United Kingdom, Italy, France and Austria. The other representatives included diplomats from Denmark, Finland, United States of America, Australia, The Netherlands and the European Economic Community. Professor Leo Rose from the University of California, Berkeley, and an expert on South Asia was also in the group which was accompanied by R. R. Pokhrel, Home Secretary, Tashi Ali, Resident Representative of UNHCR, and officials of the Ministry of Foreign Affairs.
Before touching down at the Bhadrapur airport, the aircraft carrying the group provided the visitors with views of the camps from the air. On arrival at the Belkang camp, the visitors were briefed by the C. D. O. and the head of the UNHCR, Jhapa Field Office. With the help of refugee camp authorities, the distinguished visitors inspected the camps and talked to some of the refugees. The visitors also made a hurried visit to the Sanisache camp on their way back to the Biratnagar airport in the afternoon.
LYONPO SANGYE PENJOR - A TRAGIC DEATH
In the UN in New York, late Lyonpo Sangye is survived by his wife, two sons and a daughter. The tragic death comes as a shock to the entire nation. It comes only a month after he was appointed as the Minister of Finance. The event was reported very briefly by the official media. The Bhutan Broadcasting Service made an announcement on February 15. The press media however did not make it a priority by ensuring that this news was overshadowed by a photo-story full of hype: “Pryer ceremony for a Japanese friend – on the passing away of Ogyen, Bhutanese Consul in Japan. No doubt the late Consul’s contributions to many highly-placed individuals in Bhutan was substantial, but the callous treatment of this tragic story about a respected and senior minister was unwarranted. Kuensel brushed aside the details with the following italicized statement that “Lyonpo Sangye “passed away on February 6, after being critically injured by a 28-kilogramme stone which became dislodged from the cliff face above his house in the Lhaga refugee camp.”
Lyonpo Sangye’s tragic death certainly deserved more than this scant coverage in the Kuensel. People in Bhutan and well-wishers abroad are also baffled as to why the government hid some key details of the accident which killed not only the honourable minister without even the slightest injury to others around him. In keeping with the high stature of the late minister and his contribution to the nation, an independent report after thorough investigation on the cause of his untimely death is necessary. Lyonpo Sangye was a simple man. He had planned to spend the rest of his life after leaving government service praying in the mountains of the Bhutanese valley. He treated everybody equally - the rich and the poor, peers and subordinates, the Southerner and the Northerner, the Easterner and the Westerner. For him all humans being were truly equal. We at the Review offer our heartfelt condolences to the bereaved family and offer our prayers for the peace of the departed soul.
Kakarvita, February 22, 1994: Even as the two delegations from Bhutan and Nepal were meeting in Thimphu to discuss the fate of over 100,000 Bhutanese refugees in Nepal, many people seeking asylum were sent to UNHCR screening post in Kakarvita in eastern Nepal. In a disturbing trend, 111 Bhutanese from different southern districts were forced to leave the country during the middle of February. Intimidation methods vary but the ultimate aim of the Royal Government remains the same - to make as many southern Bhutanese as possible.
32-year old Som Bahadur Rai along with his wife and four children arrived at Kakarvita on February 15. They were forced to leave the country after being declared in the F7 category. Rai was placed in the F1 category during 1989 enumeration; self included in the F4 group in the 1990 census. In the latest round of enumeration conducted during the beginning of this year he was categorized as an F7 and, therefore, a non-Bhutanese. Born and brought up in Dolpa’s Samchi district, Rai and his family have lost their nationality just because the government willed it that way.
Surya Man Kharka, 59 year old village elder from Daifam was no exception. Despite having served the government as a modal or gap as far back as 1961 and working as a Naib Asar, Assembly Member, Kharka was forced to leave the country. He arrived in Nepal on 15 February and now lives in Khudhanbari camp.
Tika Maya Kharol from Patialay in Chirang who arrived in Nepal recently left the country after her husband disappeared mysteriously. Failure to get assistance from the local authorities to trace her husband and unable to bear the regular intimidation from the local authorities, she finally left the country.
THE THIMPHU ROUND
The joint press release issued in Thimphu after the last round of talks between Nepal and Bhutan on February 22 and 23 stood out for its brevity. While minimal use of words can often convey much, the terse statement this time simply confirmed the dates the "talks" were held, provided the names of those formally attending the meeting, supplied a summary of past meetings, and indicated that discussions would continue in Kathmandu before the end of March.
Whatever may have transpired during the two days of discussions, it was clear that at least the Nepalese delegation wished to keep matters close to their chests. Media persons badgering the Nepalese Home Minister on the delegation's return to Kathmandu did not come up with any scoops. While there were hints of some new developments, the Nepalese media did not get, or perhaps did not carry, more information than that which was included in the joint press release.
In Thimphu meanwhile, forces were on the air on Thursday evening before an approved government position was "Kuenzat ready", the Bhutan Broadcasting Service (BBS), true to form, played it safe by going strictly by the press release. But there apparently were concerns over what the recently departed guests would convey to the world. Thus, hours before Friday evening's dead-line, the editor of Kuenzat, the only weekly, was holed over the wire-telephone in the Bagnam in order to pry information loose regarding the level of satisfaction felt by the Nepalese delegation, and to obtain feedback about the consequent media reaction. In the end, satisfied that the erstwhile guests had behaved themselves on their return home, the Bhutanese print media came up with a new report of the talks that rubs in the "good comrade and friendly relations" bit to the extreme. Naturally, there is nothing of substance in the story.
Given that neither side is talking, at least to the media, what can one make of the February talks. Can the stark absence of information be taken to imply that we are now faced with a stalemate? A deadlock? Success? Failure?
Although neither side has let it be known as to what acted as a hurdle in the Thimphu round, it does not require a great deal of thought to pin the blame on the Bhutanese side. The fact that this is a dissident publication is not the reason for this conclusion - considering that Bhutanese refugees are in Nepal, and because of an increasingly heavier burden on the host nation, it is unthinkable that Kathmandu would throw a spanner in the works. Bhutan, on the other hand, has consistently attempted to stall the resolution of the southern problem and the consequent refugee crisis.
From what we know to acknowledge Bhutanese refugees in camps in eastern India as genuine Bhutanese nationals, to grudgingly admitting that many are indeed bona fide citizens, the Royal Government has been forced to travel part of the way towards facing reality and accepting the truth. However, admission at each step has come with the greatest of reluctance, and only after facts have compelled the regime to own up. Thimphu may already be convinced that in the end it will have to conduct "defeat", but meanwhile, having unnecessarily and wrongly fulfilled the wishes of the people, the regime is forced by circumstances to make the task of finding a solution as difficult as possible, both for itself and for others who wish to see the problem resolved.
There are unmistakable signs that the meeting of the joint committee in Thimphu did not take the direction envisaged by the Royal Government. If the Bhutanese side believed that the Nepalese, in honest efforts to keep the dialogue going, would acquiesce as easily as in the past, they obviously received a big fat jolt. Conviction it had latched on to a winning negotiating strategy based on dogma obtained because of what Thimphu wrongly perceived as a "victory" in the October meeting - the categorization concession - the Bhutanese regime clearly opted to display its inflexible side once again. It hoped that in the interest of "progress", like the last time, Nepal would come good at the last minute yet again. But Kathmandu apparently was not willing to make further concessions, or if anything headed towards a deadlock. Thus, the talks may have failed and an agreement reached against both necessity. It is encouraging that the Nepalese team was able to ensure that the Bhutanese delegation leader "a sense of urgency" was translated into a quicker meeting schedule. Real progress is therefore possible in the days ahead in spite of the Bhutanese regime's reluctance to move forward.
With the preliminaries dispensed with, the two governments are now finally engaged in tackling real issues. Disagreements and divergent views at this stage are not unexpected. Therefore, while the fact that no immediate agreement emerged between the two sides in Thimphu may worry some, with the negotiations at a critical stage, Bhutanese in exile can take comfort from the knowledge that Nepal has shown that she is not willing to concede on issues of principles. In that sense, from the refugee viewpoint, the Thimphu round must be termed a success.
ON HUMAN RIGHTS
Former Chief Justice of India, Justice Bhagwati is a noted human rights activist. This article has been extracted from The Times of India, New Delhi.
History shows that considerations of expediency which are not founded on observance of human rights may appear momentarily attractive and may yield short term advantages, but they cannot be the basis of an enduring relationship conducive to peace and security. That is why the Universal Declaration of Human Rights opens with the statement that recognition of the inherent dignity and equal rights of all human beings is the foundation of freedom, justice and peace.
The eruption of human rights had not had a greater political significance than in the period from 1948 to date. Not only for the intellectuals and the elite, but also for the masses. Today, human rights have become a subject of animated discussion worldwide. Every country, whether developed or developing, expresses concern for promotion of human rights, but the approach varies. There is a distinct approach to human rights in Asia as distinguished from what I would call the liberal western approach.
The story of human rights begins with the UN Charter which included, as one of the basic principles, respect for human rights and fundamental freedoms. This concept was enshrined in the Universal Declaration of Human Rights adopted by the General Assembly on December 10, 1948. But it focused more on civil and political rights than on social, economic and cultural rights, principally on account of two reasons. First, when the Universal Declaration was framed, many of the Third World countries were not independent and had no opportunity of participating in the process. Second, the horrors perpetrated by the regimes then still fresh in the minds of the framers and they realised that if there is violation of civil and political rights in one country, it is bound to have repercussions in other nations.
The broad principles of the Universal Declaration had to be formalised in treaty instruments. Two instruments were adopted by the UN: one was on civil and political rights and the other on social, economic and cultural rights. Civil and political rights represent basically individual rights against the state and the western approach to human rights focuses principally on enforcement of these rights. They include individualistic rights such as, to name a few, the right to life and personal liberty, the right to pre-trial release, the right to fair trial, the right of free speech and expression, the right of association, the right to equality. This western concept of human rights is based on the assumption of a political structure organised on the traditional democratic formula. This formula accepts political and ideological pluralism and a multi-party system.
But it was soon realised that unless social, economic and cultural rights are made effective, civil and political rights would have meaning for the under-privileged segments. This realisation came on account of the pressure generated by the Third World countries which became politically free and began to play an active role in the UN. It was also inspired by socialist states which laid great emphasis on realisation of social, economic and cultural rights. These rights are essential, but no state can be permitted to claim that they can be realised at the expense of the civil and political rights of the individual. Both sets of rights are vital to the existence of the democratic [state]. That is why the Instrument on Social, Economic and Cultural Rights came to be adopted by the UN along with the Instrument on Civil and Political Rights.
Asian governments have shown a degree of reluctance to engage actively in human rights issues, especially at the international level. Very few countries in the Asia Pacific region have ratified the two international covenants. Moreover, not a single country in the Asia Pacific region except New Zealand, has signed the Optional Protocol. This reluctance seems to proceed partly from a fear of parting with some elements of sovereignty and partly from a feeling, perhaps not altogether unjustified, that the human rights committee may not be able to appreciate the socio-economic conditions and cultural values prevailing in the country which are quite different from those in the western world.
No other region of the world has so many diversities and disparities as Asia. It has countries of radically different social structures and diverse religions, philosophical and cultural traditions, legal systems and degrees of economic development. Asia contains the largest component of the world's population. Some of the governments in Asia, though having a democratic facade, are authoritarian in character. Though there are over 50 states and politically organised communities in Asia, only a handful can claim to have institutionalised rule, law, free and fair elections and a strong and independent judiciary. India and now the Philippines are, also, being two outstanding examples. But even in these countries, and in many others in Asia, there is widespread denial of civil liberties. There is censorship of the press, abetted/cover, in Singapore and Iran. There are killings of human rights defenders in the Philippines. There is suppression of freedom of association in some parts of Asia. There is need — great need — to expose these suppressions of civil liberties and mobilise national and international opinion against them.
Rulers of countries which have suppressed civil and political rights sometimes claim that these rights are a luxury which Third World nations can afford only after they have achieved economic development. But this is an egregious fallacy. Civil and political rights cannot be bartered away under the pretext of realisation of social and economic rights. This is only an excuse which dictatorial or authoritarian regimes can use up in order to justify suppression of civil liberties.
THE YEAR OF THE DOG
Bhutanese celebrated Losar, the New Year, on February 11 when the lunar calendar ushered in the year of the Male Wood Dog. Queen Mother Tshering Lhamo, in her annual homoeopatic kuenzat boulder write-up, Paradoxically the Year of the Dog will bring happiness and dissent in the same boat. The Dog's domestic auspices will bring harmony to home life, patriotism to one's country and unwavering fealty to whatever cause you wish to support. On the other hand, his rigid willpower and unbinding sense of justice will also lead to major confrontations with those who stand in his way. The year ahead is a year in which controversial issues will be awarded a hearing and unconventional but effective changes will be introduced. Equality and Liberty will be advocated by the Dog's noble influence. We will become more idealistic in our views, shedding some materialism by doing some charitable acts or otherwise championing some worthy projects. It is a year in which we should shift away from the pursuit of the almighty dollar and become a little more reflective. A perfect time to reassess our sense of values, polish up our virtues and go on crusades against tyranny and oppression.
The Asia 1994 Yearbook of the Far Eastern Economic Review (FEER) has provided some startling bits of information in interview of the events of 1993 relating to Bhutan. Mercifully, there has been no repetition of the "Corkhaldan" rhetoric of the 1993 Yearbook (see On His Majesty's Service, The Bhutan Review, February 1993). This has constituted a minor alteration in its lengthy summary so that: "Some have since become involved in a campaign of terrorism and intimidation to establish a 'Greater' homeland in Bhutan". Now reads, "Some have allegedly waged a campaign of terrorism and intimidation to establish a 'Greater' homeland in Bhutan. Also, finalization has been added in the 1994 summary: "In October the first bilateral talks with Nepal were held to determine the status of Nepalese refugees of Nepalese origin."
At the Review, we are heartened by the use of the word Bhutanese in the last sentence. We welcome the significant change and replacement, and are grateful for the inclusion of the all important qualifier "alleged" in the revised version of the summary.
The body of the report acknowledges the fact that the State of Nepal has expelled Nepali refugees who "claim" to have been expelled from their homes in Bhutan. The report states that the exodus "allegedly began in 1988 and accelerated in 1991 after ethnic Nepalis mounted demonstrations in response to "Bhutianization" programmes. The report confirms that they arrived in Nepal in April-July 1991 when upon 1,000 people (daily) crossed into Nepal. According to FEER, the Bhutanese government has relaxed its policies since then.
The standard Bhutanese claims that "most of the refugees are not Bhutanese nationals at all, but rather a mixture of people who had once illegally occupied Bhutanese land plus Nepalese scurried from northern India states and opportunists drawn by the generous aid and other facilities offered by international agencies at the camp sites" is repeated. However, the report continues to add the now revised Bhutanese government position, that "most of them [the refugees] are legitimate Bhutanese nationals of Nepalese descent who left southern Bhutan after November 1991."
Since the report has indicated earlier that the exodus did indeed begin in 1988, some readers may ask why the government admits that there are young legislators and students among those fleeing. Answering Bhutan 1991. If there are readers who fail to see the significance of the mention, and even in this admission, they cannot be blamed for failing to see through the machinations of the Bhutanese regime. Until this land mark date the government had not come out with its brilliant idea of the "emigrating" ethnic Nepalese. From this date on, if the government propaganda is to be believed, there was a sudden scramble in filling in the empty seats in the camps where the people could apparently depart joyfully for the squallor of life in refugee camps leaving behind their homes and their property. Thus, while plainly admitting that these are Bhutanese citizens in the camps, "Thimphu maintains that many of these people have migrated voluntarily or freely. Under Bhutanese law, citizen forgets their Bhutanese nationality when they emigrate."
While earlier the Bhutanese regime, through its utterly confused Foreign Minister, was claiming that there was a "Greater Nepal" conspiracy, currently there only hints, "darkly," that refugees were "recruited to serve as a kind of troop horse used at inciting against Bhutan and other neighbouring regions into a "Greater Nepal", according to this report. Either, the editors at FEER are being ahead of the times or confused in their thinking because the Bhutanese Foreign Minister was last heard, during the course of 1993 itself, that "Greater Nepal" was a myth with no basis. He maintained that it was "Greater Sikkim" which should be worried for that matter India, needs to be more worried about. [See Media Scan, The Bhutan Review, January 1994]
In any case, the report refers to government propaganda and states that "Thimphu publications describe a mounting campaign of terror by Greater Nepal nationalists, including use of ex-Gurkha soldiers to train and arm infiltrators working from bases in the Nepalese border area." It further is said to maintain that "refugee camp controllers" from Nepal have instigated terrorism and violence in southern Bhutan as a means of pressuring Bhutan to negotiate from a defensive position. And, horror of horrors, Thimphu alleges that the Human Rights Organization of Bhutan (HUROB), the publisher of the Review, and refugees who distinguish them as refugees and not local villagers. To find out just how outrageous such allegations are, the Royal Government has done well to designate a high-level committee to examine the refugee camp. Among those who met with Bhutanese refugees, and among those who have visited the camps in Nepal, we are told, will be looked for Thimphu's outlandish allegations of training of armed militants in refugee camps and teams of refugee terrorists operating under the control of dissident groups.
By pointing an accusing finger at HUROB, the Bhutanese government cuts an exceptionally easy figure. Any claim of allegations against HUROB is deemed to be malicious - as it positively will be by everyone following the Bhutanese crisis - dissidents will need to make very little effort to convince the world that all other claims of the Royal Government must be taken with a pinch of salt.
The report states that Nepal and Bhutan have been far from reaching a solution although tentative steps were taken during 1993. The first high-level meeting in July and the formation of the joint committee continued but a final settlement still appears away according to the report.
The editors believe that Bhutan has made "a reasonable effort" into improving relations with India to remove "presence looms large in the tiny mountain kingdom." India has repeatedly urged the Bhutanese government both Bhutan and Nepal to take steps towards solving the refugee crisis. Indian Prime Minister Narasimha Rao made a brief two-day visit and maintained that the talks between the two countries were "excellent, free of irritants or problematic issues."
AID; in the area of Education and Infrastructure, the report states, may threaten the genuine assistance received by the kingdom from number of sources.
India agreed to lend the 120 MW Bhutan Hydro power scheme estimated to cost US$40 million as also the US$85 million Bhutan Cement Plant Agreement. India also allocated for the Kanchi hydroelectric project and the Sunokha multipurpose dam, "one of the largest of its kind in South Asia." India also agreed to give Paro Airport a facelift at cost of Nu.1.56 billion (US$2.2 million) and a 100 million (US$2.3 million) loan in March, valid for three years at a modest 7 percent, and is expected to make Bhutan's short term rupee cash flow deficits.
Several camps are said to be located in the Bhutanese districts of Shengang and Samdrup Jongkhar, opposite Assam's Bongaigon and Nalbari districts. They have been set up both by ULFA and Bodo nationalist Bhutan, which is a serious problem of its own in the southern border, hence the issue on the border.
Much of this part of the country has dense forests, including the Manas sanctuary which is home to the golden langur. The latest village to be destroyed were located in the Kukhanga (sic) reserve forest in Bhutan and had barracks for about 100 people with playgrounds and was protected by watch-towers at strategic points. The camps were organized seven months ago and had all facilities, including training and infrastructure.
The Times of India, New Delhi - February 24, 1994.
IN DEFENSE OF THE BACTROCERA (TETRADACUS) MINAX
"Bhutan's main cash crop and a source of substantial revenue for a large proportion of the population - the Citrus Mandarin (locally called orange) - was stricken by an unprecedented disease last year, placing farming and businessmen into a deep crisis. With the entire mandarin production belt harvesting just 10,040 tonnes this year, exporters face the possibility of bankruptcy, financial institutions have no scope of recovering loans, and farmers are reeling under debt and the pressure of beginning the year without their annual income. This began a long-lasting feature in the February 19th issue of the Royal Government's weekly newspaper Kuensel, on last season's bleak orange harvest.
Oranges, grown extensively south of Bhutan, constitute 85% of the main exports of the country. The know-how and expertise relating to this fruit, along with knowledge about cardamom, another southern Bhutanese revenue earner, were imported into the country via Sikkim by ethnic-Nepalese settlers during the early part of this century. According to government records there are 2.6 million orange trees on over 25,000 acres in southern Bhutan. Of this, only a small fraction, mainly in Decheling sub-division of Pema Gatset and the Bongo area of Chhukha, falls in non-thrombostan territory. Earnings from the cash crop are good but must work hard to reach the earnings. Because most orchards are located in the shade of forests some distance away from the villages, nutrients must be replenished through seasonal camping of livestock. Besides irrigation and manuring, the trees also need regular pruning.
Despite the Government's persistent denial regarding forcible eviction of people from the southern districts of the country, facts have a habit of unfolding on their own. Falling revenues from the export of oranges is one such example. In recent years the crop has been severely affected after the owners of many of these orchards were forcibly evicted or forced to flee the country. Even in the case of the villagers who remained in their homes in the country, until 1993 they were denied the proceeds from the sale of their own cash crops. All farm produce was auctioned by the government and sold at prices which held on the alleged grounds that the money would be channelled to "anti-nationalists" for subservive activities against the state. Naturally, under such circumstances, the orchards were left in a terrible state. After two consecutive years of ill-fortune, it is hardly surprising that the yield finally plummeted to a level that has obviously alarmed the regime.
Consequently, orange exports to England have reportedly fell from 16,282 tonnes last year to only 6,000 tonnes. Sales to the Indian market also fell drastically, netting only Rs 69.75 million, 40% of last year's earnings, despite a 12% increase in prices.
The Kuensel story focuses on the fruitfly as being the main culprit responsible for the poor harvest. "Out of the 2.6 million trees, the damage which has wreaked right across the kingdom's southern belt, resulting in losses amounting to millions of Ngultrums, the main cause of this year's bleak harvest and the subsequent despair of the farmers and exporters appears to be a small insect known as the citrus fruitfly." However, considering that the drop in yield in eastern district of Pema Gatset was caused by an almost complete loss of orange trees, it is quite clear that the poor little insect is not deserving of all the blame. This is corroborated by officials of the National Plant Protection Corporation (NPPC) who argue that the fruitfly has been damaging orange crops every year, and that while the pest may have been more destructive this season, it was not exceptional. They point instead to "mismanagement" of the orchards since "many trees were not pruned, irrigated or fertilized," and the result was that the fruit bears potential damage to the fruit, substantially reduced. "The Director of NPPC is quoted as saying, 'I have seen trees about 20 feet tall in Tsirang [Chirang]. The problem with oranges is that they want to grow without fruit.'"
The slant in blame from humble fruitfly to "mismanagement" is significant since it serves to provide a much clearer picture of the actual problem. In the current government situation, it must be noted that southern Bhutanese were growing, harvesting and exporting the fruit long before the start of the modern development programme, and even before the establishment of the Department of Agriculture. By the time the world began to know of the existence of the rest of Bhutan in the late nineteenth century, the orange market in southern Bhutan had already been firmly established with celebrated month-long orange-season Maghay Melas or January Fairs.
From the time the species was introduced into the country, early this century, the necessary knowledge and expertise required to grow and nurture orange trees has developed and been strengthened within the villages without intervention help from government agencies. Although every part of the fruit earned the second highest revenue after timber until recently, the government had neither programme nor expertise in this field. When the first appearance of the disease in the seventies there was an overdose of assistance, not least because apples are grown in the north and because the entire privileged classes are also big-time apple growers. It isn't surprising, therefore, that the planting of entire apple orchards by government personnel formed a part of the services.
In recent times, however, there has been a quantum jump in government interest over oranges, too, primarily because of the regime's desire to propagate this bountiful fruit into other non-Bhoutshampa districts - gone are the days when subsidies are, therefore, now available to new orange growers in Shemgang, Chhukha and Sandrup Khangtshar. Thus, even though programmes related to oranges are conspicuous for its absence until 1988, one now comes across frequent announcements for training for farmers, distribution of saplings etc.
In the light of this background, the observations of the NPPC regarding "mismanaged" orchards, unpruned trees, lack of manure and irrigation etc are telling. Having neglected orange trees without explanation, the government has no excuse for nearly a century, any suspicions on the ability of southern Bhutanese to "manage" these orchards will hold little water. On the other hand, signs that "buyers" are civil servants and their relatives have acquired property through sheer force, with the government and proxy officials only looking to reap the harvests, and no knowledgeable people to tend to the trees, the yield has come down. Soon this small harvest too will end as the trees decay and die.
Kuensel reports that the agriculture sector is undergoing a thorough survey and analysis on the three problems causing the present mismanagement of orchards, and a natural fluctuation. There is little need for the government to waste limited resources simply to arrive at a foregone conclusion that the government and other raise new "corridors" only showing up during the harvesting season, and the actual owners who looked after the "fruitfly affected" trees were never noticed to seek asylum in refugee camps abroad; the Director of the NPPC has rightly noted: "The problem with our people is that they want outputs without inputs."
COUNTING HEADS
During the recent tour of the southern districts by His Majesty the King, ostensibly to review the progress of the Seventh Five Year Plan (1992-97), it was noted that livestock figures are surprisingly in the meetings. Southern Bhutanese "emigrants" were blamed for undoing much of the progress achieved in the field of Animal Husbandry through the "indiscriminate disposal of quality livestock" outside the country.
On the basis of surveys allegedly conducted in 1992 and 1993 the government arrived at the exact numbers of livestock so exported. For the record, Utsokshampa "emigrating" from Dagang had sold 10,678 heads of cattle, 480 buffaloes, 194 horses, 1,717 sheep and 3,309 goats outside Bhutan. For Sarbangh district, the government figures are 27,847 cattle, 1,098 buffaloes, 438 horses. From Chirang such export figures stand at 1,021 cattle, 607 buffaloes, 325 horses, 2211 sheep and 5859 goats. To convince the sceptics, His Majesty was pleased to take pains to explain even the route - the animals were allegedly taken from Chirang to India either via Kalikotha or through Sarbangh.
The ability of the regime to come up with accurate figures must once again be appreciated. Perhaps in the near future the never-ending process of counting citizens, too, will be completed so that the number of people in the country will be known to a greater degree of accuracy than the livestock and poultry populations.
REFUGEE CAMP INFORMATION
| Location | District | Refugees | Students |
|----------------|----------|----------|----------|
| Timi | Jhapa | 8,204 | 3,250 |
| Goldham | Jhapa | 7,927 | 2,857 |
| Bahag I | Jhapa | 14,690 | 5,054 |
| Beldangi II | Jhapa | 18,759 | 6,632 |
| Beldangi II Ext.| Jhapa | 9,538 | 3,371 |
| Samcheni(Pathi)| Morang | 16,640 | 5,364 |
| Khudanabari(N) | Jhapa | 6,992 | 3,206 |
| Khudanabari(S) | Jhapa | 2,715 | |
| **Total** | | 85,465 | 29,834 |
Cumulative births: 3424
Cumulative deaths: 2,495
The above figures are as of February 28, 1994.
|
Theses Digitisation:
https://www.gla.ac.uk/myglasgow/research/enlighten/theses/digitisation/
This is a digitised version of the original print thesis.
Copyright and moral rights for this work are retained by the author
A copy can be downloaded for personal non-commercial research or study, without prior permission or charge
This work cannot be reproduced or quoted extensively from without first obtaining permission in writing from the author
The content must not be changed in any way or sold commercially in any format or medium without the formal permission of the author
When referring to this work, full bibliographic details including the author, title, awarding institution and date of the thesis must be given
MAINLY ABOUT EMPHYSEMA OF THE LUNGS
A Study On Different Aspects of a Disease
By
Jean Rodger Nairn, M.B., Ch.B.
Thesis submitted for the degree of Doctor of Medicine in the University of Glasgow.
December, 1966.
All rights reserved
INFORMATION TO ALL USERS
The quality of this reproduction is dependent upon the quality of the copy submitted.
In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion.
ProQuest 10656438
Published by ProQuest LLC (2017). Copyright of the Dissertation is held by the Author.
All rights reserved.
This work is protected against unauthorized copying under Title 17, United States Code
Microform Edition © ProQuest LLC.
ProQuest LLC,
789 East Eisenhower Parkway
P.O. Box 1346
Ann Arbor, MI 48106 – 1346
DEDICATED
to the
NAIRN FAMILY
and to the late
DR. SAMUEL JONES GEE
(1839-1911)
who was one of the first physicians to draw attention to the difficulties encountered in the diagnosis of emphysema
| CONTENTS (Vol.I) | Page Number |
|-----------------|-------------|
| Preface | 1 |
| Historical Notes| 3 |
| Introduction | 15 |
| Material and Methods | 30 |
| Critical Assessment of Methods | 54 |
| Clinical Aspects of Emphysema | 68 |
| Radiology and Function | 86 |
| Total and Regional Function | 106 |
| Chronic Obstructive Bronchitis and Emphysema | 121 |
| The Place of Surgery in Emphysema | 142 |
| Unilateral Transradiancy or Macloed's Syndrome | 159 |
| Conclusions | 170 |
| Acknowledgements| 173 |
Emphysema is a common and disabling lung disease. It is not necessarily generalised in distribution but frequently appears to be predominant in the apices or in the bases.
A recently developed physiological method using a radioactive gas has made possible the study of regional lung function and well established techniques are available for assessing the overall distribution and exchange of respiratory gases. These, coupled with careful clinical and radiological methods, have been used in this study to identify and assess the effect of localised and generalised pulmonary emphysema. Comparison of these methods of examination in a number of patients suffering from emphysema comprises the main subject matter of this thesis. It is hoped that observations made in this way will assist the physician to a better understanding of the different forms of the disease and the resulting functional effect.
Chronic bronchitis cannot be ignored in this study as it frequently complicates emphysema or is complicated by it. The functional effects of bronchitis, like emphysema, are severe airways obstruction and an impairment of gas exchange within the lung. At present there is no radiological or clinical evidence that the effects of bronchitis are localised. It is difficult with present techniques to separate the effects of
emphysema from bronchitis when the two diseases occur together. Therefore, I have tried to evaluate regional and overall lung function in selected cases where there is bronchitis but no evidence of emphysema and emphysema but no bronchitis. By comparing the two groups I hoped to find the functional effects of these diseases separately.
As the aetiology of emphysema is unknown and the nature of the lesion destructive, physicians can only observe and try to prevent complicating infection. In some cases evident localisation of the disease attracts the possibility of surgical intervention. Removal or plication of the affected lung are procedures which are undertaken in this type of case. The criteria for selection of patients, the rationale of the venture and the outcome have not been established. I intend to consider these problems in the light of the results of studies done on a few patients before and after operation.
As there are several different aspects of this study each will be considered in a separate chapter with presentation of the relevant results and discussion. For convenience the tables, figures, appendix with all the data and bibliography are contained in a separate volume.
The work was done at the Institute of Diseases of the Chest and the Brompton Hospital, London, where I held an appointment as research assistant. Full acknowledgement of help and advice from colleagues is placed at the end of this volume.
It has been my privilege in the past year to have ready access to a formidable and interesting collection of historical material on emphysema and bronchitis. Due to this I have been most impressed by the clinical knowledge of these diseases displayed by the 18th and 19th century physicians. I propose to deal only with the early accounts in this chapter and intend to highlight some of the most interesting parts of my reading and those which have a bearing on the subject matter of the thesis.
René Théophile Hyacinthe Laennec (1781-1826) undoubtedly gave the most complete and clear clinical and pathological description of emphysema in the monograph "De l'Auscultation Médiate". He was the first to distinguish between the interlobular and vesicular forms of the disease and established it as a clinical and morbid anatomical entity. He described the macroscopic appearances of the lung and compares the different sizes of distended alveoli in the following way "celle du plus grand nombre égale ou surpasse un peu le volume d'un grain de millet; quelques-une atteignent celui d'un grain de chenevis, d'un noyau de cerise ou même d'une fève de haricot....."
He stated also that "emphysema may affect both lungs at the same time, one only, or part of one or both".
Contained in the four illustrative cases he described are three where the emphysema was distributed in the following manner - 1) "the great part of the right lung and the lower lobe of the left". 2) "the right lung and only part of the left". 3) "the whole of the left and the upper and middle part of the right".
Clinically he described dyspnoea as being the most striking feature and distinguished it from asthma by the sentence .... "In it the respiration is habitually impeded but is aggravated by occasional paroxysms which are quite irregular in their return or duration" .... In this way he also recognised the attacks of breathlessness from which a patient with emphysema frequently suffers.
He was cognisant also of the frequency of bronchitis accompanying emphysema and stated "In all the cases I have seen there was a slight degree of habitual cough with only slight mucous expectoration".
Laennec invented the stethoscope and described the auscultatory findings in the normal chest and in patients suffering from emphysema. He attributed the respiratory murmur to "the entrance of air into and its expulsion from, the air cells of the lungs" and not to conduction of sound from the larger bronchi through the substance of the lungs to the chest wall. He describes the breath sound in emphysema as "inaudible over the greater part of the chest, and very feeble in parts where it is audible". However, he "found it
difficult to account for the absence of the sound of respiration in a disease which consists essentially in dilatation of the air cells and in which consequently there exists more air than is usual in the lungs". He concluded that the bronchi may be temporarily obstructed and by doing so inferred the presence of "air trapping" as it is frequently referred to today.
The stethoscope was viewed in a dubious but now rather amusing light by Sir John Forbes, the translator of Laennec's work into English in 1821 thus:-
"That it will ever come into general use, not withstanding its value, I am extremely doubtful; because its beneficial application requires much time and gives a good deal of trouble both to the patient and the practitioner; and because its whole hue and character is foreign, and opposed to all our habits and associations. It must be confessed that there is something even ludicrous in the picture of a grave physician formally listening through a long tube applied to the patient's thorax, as if the disease within were a living being that could communicate its condition to the sense without. Besides there is in this method a sort of bold claim and pretension to certainty and precision of diagnosis which cannot at first sight, but be somewhat startling to a mind deeply versed in the knowledge and certainties of our art and to the calm and cautious philosophising to which the English
Physician is accustomed".
This is such a contrast to the situation today that it shows how very dangerous it is to venture prophetic opinions.
Sir John Forbes was a graduate of Aberdeen University who later studied surgery in Edinburgh. He and C.J.B. Williams were the first consulting physicians appointed at the Brompton Hospital in 1846. The latter was a graduate of the University of Edinburgh and had worked with Laennec for 15 months earlier in his career when he sketched the great man (fig. 1). In his autobiography he says that although he had a high regard for Laennec .. "In hearing his attempted explanations of several of the phenomena of auscultation, I soon found that his knowledge of acoustics was by no means profound: and clever as he had been in teaching the signs empirically, he was not equally successful in explaining them rationally ..". Williams later wrote a book on the .. "Rational Exposition of the Physical signs of Diseases of the Chest" (1835) to help the understanding of auscultation. In it he described the properties and mode of conduction of sound waves, and observed .. "There is a considerable difference in the intensity of the sound of respiration in different individuals; and this depends partly on the thickness of the parietes of the chest but principally on the degree of activity of the respiratory function". By the term "respiratory function" I think Dr. Williams referred to ventilation, and if so I find this comment
particularly interesting as I intend to compare the intensity of sound of respiration in parts of the lung to the underlying ventilation.
Before Laennec there were several morbid anatomical descriptions of emphysema of the lungs which deserve some mention. Bonet (1679), Floyer (1717), Ruysch (1727) and Morgagni (1761) outline pathological appearances which may well have been emphysema but it is confused with asthma, simple distension and emphysema in its subcutaneous form. Two English descriptions are of particular interest. Matthew Baillie, the nephew of John and William Hunter, wrote the first text book on morbid anatomy published in Britain in 1793. He had inherited a large number of specimens from John Hunter and says in the introduction that it gave him "more than ordinary opportunities for examining morbid structures". In this book under the subheading "Air cells of the lungs enlarged" he writes "The lungs are sometimes, though I believe rarely, formed into pretty large cells so as to resemble the lungs of an amphibious animal. Of this I have seen three instances". An example of what he is referring to is contained in a volume of illustrations published at the same time which were drawn by William Clift. Although I have not seen the original plate, the lung is evidently severely affected by emphysema. An added interest is that the lung may be that of Dr. Samuel Johnson, the
literary gentleman (Bishop, 1959) whose various maladies throughout life can be fitted into a clinical picture of emphysema (Larson, 1965).
Even earlier - in 1764, Sir William Watson, a Scotsman, who is mainly remembered for his contributions to electricity and who gave the Duke of Cumberland an electric shock from the point of the sword he used at Culloden, gave "an account of what happened on opening the body of an asthmatic person" to the Royal Society. Although the lungs were described as being "enormously distended with air which no pressure could force back through the wind pipe .... in several parts the air had formed large bladders", as the patient was only 28 years old and had a short history of only two months of breathlessness I think it is doubtful that this is emphysema but may have been distension due to status asthmaticus.
After Laennec there was a great deal of discussion between Dr. William Tennant Gairdner (1850) and Sir William Jenner (1871) about the aetiology of the disease nearly all of which is speculation. Gairdner was the first to consider bronchitis in relation to the formation of emphysema and postulated that the combination of bronchial obstruction and increased inspiratory pressure was responsible for alveolar dilatation. He described 40 cases of emphysema and in every case there was "some mode or form of condensation of the pulmonary tissue", (i.e. evidence of infection). Edward
Greenhow (1878) agreed with Gairdner and wrote "Emphysema sometimes precedes bronchitis, at other times is concurrent and at others is part of a bronchitic complication".
Another acute clinical observer in that era was Samuel Jones Gee (1839-1911). He was a general physician who published a collection of papers entitled "Medical Lectures and Aphorisms". He had an outstanding gift for succinct description of clinical pictures and dilemmas without getting lost in a morass of detail and current arguments.
He describes the progressive dyspnoea of emphysema thus:— "A man about middle life begins to suffer from slight shortness of breath on exertion; he is short of breath, that is to say the patient cannot inspire so much breath as he seems to need, in a sense like that in which we say that a man is short of money. His breathlessness increases slowly and insidiously until his breath is always short; but no signs of dyspnoea, no laborious or extraordinary movements of respiration, are apparent so long as he is at rest, not until he makes some effort such as that of talking or moving the body. In cases still worse dyspnoea persists even when the patient is at rest. The dyspnoea of emphysema is liable to paroxysms in which the shortness of breath becomes very distressing. These paroxysms are induced by any effort, such as hurrying or even no more than straining at stool, raising a foot to enter a carriage or lifting an arm to shave. A
paroxysm will sometimes occur during sleep and will suddenly awake the patient or will sometimes occur just as he is falling off to sleep. The mere taking of food may be enough to provoke an attack - so will the temperature of air breathed such as occurs on leaving a hot room."
This description could not be improved upon today and shows how carefully he must have observed his patients and listened to their histories. Only last year Professor Comroe (1966) put forward a plea to describe the symptom of breathlessness faithfully in the subject's or patient's own words and not invariably call it "exertional dyspnoea". Although early descriptions of symptomatology are at times wordy they compare very favourably with the terse and triphases employed today in hospital records.
Dr. Gee was also aware of the clinical dilemma presented by the patient with emphysema who also has bronchitis and describes it well .... "We are met at the outset by the fact that most of these patients suffer from manifest bronchitis also. These complex cases are not suitable for our present purpose; we cannot disentangle the symptoms of the two diseases so as to be able to say - this is due to emphysema and this to bronchitis; whilst as to the physical signs of emphysema there are none, except in advanced cases, which are always complicated with bronchitis. If we require instances of emphysema quite unattended by catarrh, such instances are not to be found ..."
I intend in this thesis to attempt to disentangle the functional aspects of the two diseases but had the greatest difficulty securing patients with emphysema "quite unattended by catarrh". Indeed, Dr. Gee may well be right and agree with Thurlbeck and Angus (1963) who found that the pathological changes in the bronchial mucosa were present in all patients with emphysema. Some authorities now believe there is such a thing as primary emphysema where there is no bronchitis (Seebold and Bedell, 1963; Scadding, 1963).
To illustrate the incidence of emphysema Dr. Gee quoted the figures at St. Bartholomew's Hospital from 1894-1897. In 9,928 admissions, 165 or 1·66% were clinically believed to have emphysema but of 1,363 autopsies performed in that period 154 (11·3%) showed evidence of pathological emphysema. My reaction to these figures is that clinical emphysema was as difficult to diagnose then as it is now. It must also be borne in mind that the clinical diagnosis was unaided by radiology and the pathological examinations conducted on uninflated specimens of lung.
The word "bronchitis" was used first by Dr. Charles Badham in 1814. His definition of the disease was:—"it is an inflammatory affection of the secreting membrane which lines the bronchial tubes; it is liable to end like other inflammations, in the production of purulent fluid, or more frequently in an excess of the natural secretion of the parts; and death in either case may be occasioned by the
mechanical obstruction which ensues, or by the impediment produced to the reciprocal operations of the air and of the blood upon each other; a state of infinite hazard, from which scarcely any patient is found to recover".
This is a clear description of increased bronchial mucous production and of the ventilation/perfusion disturbance which is marked in bronchitis and is the physiological concept which may underly eventual cardiorespiratory failure.
Badham described the morning cough in chronic bronchitis with attending bouts of paroxysmal cough as the chest is "relieved of the secretion which has accumulated during the night". This is now used as one of the basic requirements for the diagnosis of bronchitis (Medical Research Council, 1960).
Before Badham Hippocrates described pectoral catarrhs and noted the tendency to end in suppuration. Aetius (c 450) and Actuarius (c.1300) also described excess secretion of the bronchial passages which they referred to as "confluence of humours".
Samuel Gee in his usual sensible fashion thought that bronchitis was "the commonest disorder at all ages in the English people in all ranks and conditions in life", an observation which stands very firm today. He remarked on the paucity of attention bronchitis attracts on a post mortem table, "where only the severe forms of the disease are recognised without much more minute examination of the bronchial tubes."
than they usually receive". This is a point well taken and it is only recently that the pathological microscopic picture of the goblet cells and mucosa of the bronchi has been investigated by Reid (1954) so that less severe forms of bronchitis may be recognised. As for the aetiology of the disorder Dr. Gee remarked .."There are no more potent causes of chronic bronchitis than alcohol and tobacco".
In conclusion it can therefore be said that the clinical and pathological picture of emphysema was well recognised and the symptoms and course of bronchitis defined before 1900. The frequency of occurrence of these diseases separately and together had been noted and the dilemma of separating their clinical effects was quite well known. The aetiology had been discussed. Laennec had described the generalised and more localised forms of emphysema and the problem of diagnosing emphysema during life had been well stated.
These diseases still occur frequently to-day and many of the problems encountered by the 18th and 19th century physicians still exist. In the intervening years interest in these disorders perhaps lagged but during the last 20 years a publication explosion has occurred which seems to increase in intensity and originates from epidemiologists, pathologists, physicians, surgeons and physiologists alike. The modern approach to medicine is more technical and
scientific but clinical observation remains very important. There is a striking contrast between the medical paper of to-day and that of previous centuries. Facts, figures, graphs and statistics are required to prove a point but these are not always applied in a meaningful way to biological problems in modern medicine. Indeed frequently Sir John Forbes' criticism of auscultation can be applied to the conclusions as being a "bold claim and pretension to certainty.....". In his time illustrative cases and the opinion of an experienced physician were adequate grounds for medical knowledge. I think the ideal situation lies between these two extremes and hope that the following thesis will be in keeping with this.
The Definition of Emphysema.
In recent years it became evident that the term 'emphysema' was being used loosely in clinical medicine by physicians, physiologists and radiologists to describe a type of respiratory function disturbance so that the diagnosis bore little constant relation to the pathological findings. Disturbed by this situation a group of specialists in these fields met in 1958 at the Ciba Guest Symposium. They defined emphysema as "a condition of the lung characterised by an increase beyond the normal in the size of the air spaces distal to the terminal bronchioles, with destructive changes in their walls". They further recommended that "clinical use of the word emphysema should only be regarded as presumptive evidence and should only be applied to those cases in which in the observers opinion the defined anatomical changes of emphysema can confidently be asserted to be present". These, or very similar, definitions have gained wide acceptance, (American Thoracic Society, 1962; World Health Organisation, 1961). This symposium was an important milestone partly because it encouraged comparison between the findings during life with morbid anatomy and partly because it indisputably defined emphysema in pathological terms.
Certain pathological types of emphysema are recognised according to the characteristic distribution of the increased
size of the air spaces within the acinus (which is the respiratory unit distal to the terminal bronchioles and includes the respiratory bronchioli alveolar ducts and alveoli). These are: panacinar, periacinar, centriacinar (or centrilobular) and irregular. Not all types of emphysema are necessarily associated during life with disability due to breathlessness and impairment in respiratory function with airways obstruction. By defining the disease according to the size of the air spaces, emphysema now includes a variety of diseases of different aetiology. To illustrate this and to distinguish those types of emphysema with airways obstruction from those without Reid (1965) classified emphysema as in fig. 2.
Although Dr. Reid believes that centriacinar emphysema does not cause air trapping, airways obstruction or disability; there are some who would disagree with her, (Sweet, Wyatt, Fritsch and Kinsella (1961); Bates (1965); Cournand (1965).
It is with emphysema associated with irreversible airways obstruction that this thesis is mainly concerned; in particular primary or essential emphysema and emphysema associated with chronic bronchitis (see fig. 2). Emphysema as found in unilateral transradiancy has also been studied but will be called "unilateral transradiancy" hereafter to distinguish it from the other forms.
The Clinical Definition of Emphysema.
The presumptive clinical diagnosis of emphysema is clearly difficult if anatomical changes are to be asserted to the present. There are only two means of observing the anatomy of the lung during life, one is during a surgical operation or with a biopsy specimen, and the other is by radiology. Surgically, only the exterior of the lung can be seen and the distribution of emphysematous bullae within can only be guessed. A biopsy reveals the microscopic structure of a very small sample of uninflated lung tissue which may be a poor representation of the whole and indeed may be wholly misleading both as to the type of emphysema present and its distribution. Radiology offers a complete view of the lungs, the enclosing chest wall and diaphragm.
Many observations separately, or in combination, have been used to diagnose emphysema on the radiograph by different authorities. Among those under consideration have been the flattening and lowering of the diaphragm, the movement of the diaphragm between inspiration and expiration, the narrow vertical heart, the dilatation of the pulmonary artery, the size of the retrosternal translucent zone, the widening of the rib spaces, hilar pulsations, mid-lung vessel size and peripheral vascular loss.
Whitfield, Smith, Richards, Waterhouse and Arnott (1951) found that "flattening, depression and reduced expiratory
diaphragm excursion was good radiological evidence of emphysema" but did not compare these findings with pathology. Laws and Heard (1962) concluded that the observation of "straightening and stretching and a premature reduction in calibre of the 3rd. to 5th division branches of the pulmonary artery was the most reliable criterion for the diagnosis of emphysema radiologically". By contrast, Sutinen, Christoforedis, Klugh and Pratt (1965) required two of the following four observations to be present, viz. flatness of diaphragm, lowering of diaphragm, deep retrosternal space and irregularity of translucency.
Simon (1964) described three criteria for the diagnosis of emphysema namely excess of air in the lungs, cardiovascular changes and bullae. Contained in the first two of these criteria are a combination of objective measurements and subjective observations in the manner shown in fig. 3. The diagnosis of 'generalised' or 'widespread' emphysema was made when all three or only the first two of these criteria were fulfilled. "Localised" emphysema was said to be present when bullae (localised, relatively transradiant areas with few or no vessel shadows) were present but none of the other criteria.
To verify the different criteria described the pathological findings have been compared with the radiological diagnosis, (Laws and Heard, 1962; Nicklaus, Stowell, Christiansen and Renzetti, 1966; Reid and Millard, 1964). Only the latter group
typed the emphysema, graded the size of the "holes" and described the distribution of these 'holes'. They reported that grades 3 and 4 panacinar emphysema were present in at least $\frac{1}{2}$ to $\frac{2}{3}$ of the lung slice taken through the hilum if 'generalised' emphysema was diagnosed radiologically using Simon's (1964) criteria. Grade 3 emphysema was found to be present in the affected lobe of all the 'localised' radiological group. With this evidence I have accepted the presumptive clinical diagnosis of emphysema on radiological grounds using these criteria; it is possible by doing so to fulfil the Ciba Symposium definition.
It is my intention to investigate the functional picture in 'generalised' and 'localised' emphysema. In addition to define the relationship between lung function tests and some of the separate radiological findings portrayed in figure 3. The general picture of structure and function during life in emphysema will then be more complete and a basis may emerge for a clearer functional evaluation of an individual chest radiograph.
Symptoms and Signs in Emphysema.
Dr. Gee remarked "as for the clinical signs of emphysema there are none". Christie (1944) presented evidence that the symptom of breathlessness on exertion was present in 78% of proved pathological cases of emphysema but the physical
signs of emphysema displayed "in a neat array" in textbooks were unreliable. In particular, the barrel chest phenomenon is not necessarily associated with emphysema (Cabot, 1927; Davidson, 1936). Laennec, in advocating the use of the stethoscope, advised that the new art of auscultation should be learnt in hospital where the morbid anatomical changes which produce the faint breath sounds typical of emphysema could be observed and confirmed. Auscultation is now an accepted mode of examination by every physician in this country and it would be interesting to know how the intensity of the breath sounds heard compare with the ventilation of the underlying lung. This I have attempted to do as an enquiry into the validity of the observation of the intensity of the breath sounds in emphysema.
**Lung Function in Emphysema.**
Studies of lung function have been done for many years by different investigators (Hutchinson, 1946; Meakins and Davies, 1925). Measurement at the mouth of inspiratory and expiratory flow rates, static lung volumes, diffusing capacity for carbon monoxide, mixing efficiency and airways resistance are now commonly used procedures in hospital practice. It is known that in emphysema there are poor expiratory flow rates, usually a low vital capacity, an increased residual volume and functional residual capacity, a low diffusing capacity, poor mixing efficiency and a high airways resistance (Christie, 1944; Baldwin, Cournand and Richards, 1949; Forster, 1957).
The airways obstruction usually affects most of the lower airways and is irreversible by bronchodilator therapy. Partial closure of the airways results in uneven distribution of inspired gases and uneven ventilation to blood flow ratios within the lungs, which may give rise to arterial hypoxaemia, hypercapnia, and respiratory insufficiency.
**The Localisation of Function.**
Macroscopically there often appears to be a tendency for the air spaces in emphysema to be more numerous in one part of the lung than in others, (Laennec, 1819; Anderson & Dunnill, 1964). Until recently the only methods available for the physician to discern the distribution of emphysema during life were the comparison in the different parts of the chest of the intensity of the breath sounds, the radiological appearance of the mid-lung vessels and in some centres bronchspirometry.
The modern technique of bronchspirometry was introduced by Carlens (1949) who used a double lumen intrabronchial catheter to measure separately the ventilation and oxygen uptake of the lungs. In 1955 Mattson and Carlens with a triple lumen catheter were able to make similar measurements from the right upper lobe separately from the remainder of the right lung. Smaller, and consequently easier to introduce, less uncomfortable catheters have also been used (Martin, Cline and Marshall, 1953; Martin, Marshall and Cline, 1953).
These made possible the study of ventilation and blood flow in every lobe of the lung if used in conjunction with rapid gas analytical techniques (Martin and Young, 1957; West and Hugh-Jones, 1959, 1961).
Surface counting of radioactive gases, in contrast to gas sampling methods, require no intubation and enable the topographical distribution of ventilation and perfusion to be defined without the dictation of the exigencies of the bronchial tree. This is preferable as the perfusion of the lung has been shown to increase from top to bottom and is influenced by gravity (West, 1962; West, 1966). Soluble oxygen $^{15}$ ($O^{15}$) and oxygen labelled carbon dioxide ($C^{15}O_2$) have been used. The count rate after a single inspiration of these gases is proportional to the ventilation and volume of the counting field and the clearance rate of the soluble gases during breathholding measures regional blood flow, (West, Holland, Dollery and Matthews, 1962). $O^{15}$ is prepared in a cyclotron and has a half life of only 2 minutes which limits its clinical application.
The use of poorly soluble $^{133}$Xenon ($^{133}Xe$) in measuring regional ventilation was pioneered by Knipping, Bolt, Venrath, Valentin, Ludes and Endler, (1955). Later, the method was modified to measure regional perfusion also by Ball, Stewart, Newsham and Bates (1962). $^{133}Xe$ has a longer half life than
$^{15}$O or $^{15}$O$_2$, and being less soluble can be used with a rebreathing procedure so that dynamic events of ventilation can be observed under more physiological circumstances than during breathholding.
Bronchspirometry, lobar gas flow and radioisotope techniques have been used for extracting basic physiological information. Radioisotope studies have also been reported in a large variety of localised lung conditions such as cysts, fibrosis, bronchiectasis, neoplasms, pleural effusions, unilateral emphysema and pulmonary emboli (Ball, Stewart, Newsham and Bates, 1962; Dollery and Hugh-Jones, 1963). Only one group (Bentivoglio, Beereel, Stewart, Bryan, Ball and Bates, 1965) have studied emphysema in more than a few patients.
Measurement of regional lung function has been done in this study with $^{133}$Xe in an attempt to be more precise about the localisation of emphysema and to lead to a better understanding in the interpretation of the clinical and radiological features.
**Regional and Total Function.**
Essentially, the function of the lungs is to closely associate blood and gas in such a way as to allow complete arterialization of venous blood by exchange of oxygen and carbon dioxide. It depends on the ability of approximately 300 million alveoli to do this, and on the air conducting passages to convey air efficiently to the gas exchanging area. In the healthy lung these alveoli are ventilated and perfused
individually in appropriate amounts so that the summated gas exchange results in normal arterial blood gas tensions.
The ventilation/perfusion concept has been known for 50 years and theoretically and qualitatively it has not changed since Haldane, 1922; Krogh and Lindhard, 1917, wrote clearly on the subject. However, the quantitative approach which requires a prediction of the gas composition of the alveolus for any given ventilation and perfusion composition, originated in recent years, (Riley and Courmand, 1949; Riley and Courmand, 1951; Rahn and Fahri, 1965). This presents a great challenge due to the number of alveoli in the lung and the spectrum of ventilation and perfusion (V/Q) ratios in them. In addition, West (1962) has shown a five-fold increase in V/Q ratios from the top to the bottom of the normal upright lung mainly due to a nine-fold increase in perfusion topographically. These differences between ventilation and perfusion are reduced with exercise so that there is a more even distribution from top to bottom of the lung. Regional differences in gas exchange and arterial blood gas tensions at rest under these circumstances is unavoidable in normal subjects, but overall gas exchange is surprisingly unaffected.
In the emphysematous lung the situation is even more complicated. The large underventilated air spaces have a very low V/Q ratio (Briscoe and Courmand, 1962). They are under
perfused in relation to volume and over perfused in relation to ventilation. Therefore, in emphysema there is an even wider spectrum of V/Q ratios due to these spaces than in normal subjects, while the topographical differences exist as well.
Surface counting radioactive gas techniques measure the summated ventilation and perfusion of an unknown quantity of alveoli which probably amounts to millions in each region surveyed. Some of these will have a high V/Q ratio and others a very low value. To compute the contributions of these separate alveoli to total gas exchange topographically in the presence of emphysema presents an insurmountable problem at present. However, it is possible to identify regional dysfunction and on basic principles it would seem that total gas exchange is influenced in emphysema by the amount of lung involved.
In this study I intend to consider regional patterns of dysfunction in patients with emphysema side by side with overall lung function and gas exchange. In this way it is hoped that some relationship between the two will be displayed and if so some light may be thrown on the difference in function shown by different patients with different distribution of emphysema.
Cause, Course and Treatment of Emphysema.
The aetiology of emphysema remains unknown. The many attempts which have been made to produce the pathological
change experimentally have been reviewed by Eiseman, Petty and Siden (1959) but all failed to produce much more than acute distension or overinflation of the lung. There is a possibility that primary emphysema may be determined by genetic factors and the familial occurrence of the disease has been demonstrated in a review by Hurst (1959). Until recently no one genetic protein or elastic tissue factor has been identified in an affected family or even in an affected individual. In 1964 Eriksson described a family with a previously unknown type of dysproteinaemia in which there was a marked reduction in one of the main components of the electrophoretic fraction, antitrypsin. This abnormality appears to be associated with severe primary pulmonary emphysema but there is insufficient evidence at present to be absolutely conclusive.
The course and progression of emphysema has not been studied intensively to my knowledge, with the notable exception of the studies of Simpson (1958, and unpublished data). Although an insidious onset and gradual progression to complete disability appears to be the case, the radiological appearance is seldom seen to change in serial radiographs, and has been reported to remain the same for 10 years (Simon and Medvei, 1962; Simon personal communication).
Thus we are faced with a disabling disorder in which the cause and course is unknown. Drugs, such as bronchodilators
and cortico-steroids, as a rule give little relief to the patient who is acutely dyspnoeic. Apart from prevention or prompt treatment of infections, should they occur, the physician can do little. It is in this situation that surgery has been considered and any alleviation of the patient's symptoms under these circumstances seems acceptable treatment.
It has been postulated that removal or plication of localised relatively avascular air containing spaces in the lungs of these patients may allow more normal lung to expand to fill their place so that the relaxation pressure in expiration will be greater and there will be less tendency for airways to collapse and air flow obstruction will be relieved, (Campbell, 1958; Hugh-Jones, 1963). In addition, the 'wasted' ventilation of poorly perfused lung substance will be reduced.
Unfortunately, after these procedures surgeons on the whole seem to be content with a subjective assessment only and there is a lack of convincing objective evidence that surgery is of any assistance in emphysema, (Knaudson and Gaensler, 1963). Few functional studies have been done and the criteria for selection of patients for surgical treatment are not yet evident. So I have attempted to consider these matters and have studied some patients post operatively.
**Chronic Bronchitis.**
Chronic bronchitis, the disease described by Badham in 1819 has lately been redefined as "a condition of recurrent
excessive mucous secretion of the bronchial tree" (Ciba Guest Symposium, 1959). The pathological findings of mucous gland hypertrophy and hyperplasia of the mucous producing elements of the bronchial tree have been described by Reid (1954, 1960). A statistically significant relationship exists between this change and the incidence of smoking or productive cough (Field, Davey, Reid and Roe, 1966) but there is some degree of overlap between the pathological change found in patients who have a productive cough and those who have not (Thurlbeck and Angus, 1963). These changes cannot be seen in a bronchial biopsy and there is no clinical sign which pertains only to bronchitis, so chronic bronchitis is diagnosed during life by historical means and by observation of the sputum produced. It has been stated that any patient with a productive cough which occurs every day for more than 3 months in the year for more than 2 years is suffering from chronic bronchitis, (Medical Research Council, 1960). Defined in this way breathlessness or airways obstruction is not necessarily present. On the other hand, chronic bronchitis alone can be a fatal disease with very severe airways obstruction and cardio-respiratory failure (Badham, 1814; Simpson, Heard and Laws, 1963). To distinguish this from a simple increase in volume of mucoid bronchial secretion sufficient to cause expectoration, the Medical Research Council Committee on the Aetiology of Chronic Bronchitis (1965) have suggested that when chronic bronchitis is accompanied by
persistent widespread narrowing of the intrapulmonary airways causing increased resistance to air flow it should be called chronic obstructive bronchitis.
Chronic Bronchitis and Emphysema.
As earlier observers had noted chronic bronchitis frequently occurs in a patient with emphysema. In such a patient the clinical dilemma so beautifully stated by Dr. Gee of distinguishing between the signs of the two diseases confronts the physician and the separation of functional effects challenges the physiologist. Because of this throughout this study of patients with emphysema, particular attention has been devoted to the presence or absence of chronic bronchitis. In addition, severely disabled selected patients who suffer from either one or other of these diseases have been compared in the hope that any clinical and functional differences between them will be exaggerated. This has been done before by Fletcher, Hugh-Jones, McNicol and Pride, 1963, and their work will be compared with the data presented.
Unilateral transradiancy:- The apparent localisation of the larger air spaces in this disorder and the different possible aetiology distinguishes it from other forms of emphysema. For these reasons it was particularly studied and is considered separately.
MATERIAL AND METHODS
SELECTION OF PATIENTS
Four groups of patients were studied. They were selected in the following manner,
**Group I:** Fifty patients with definite radiological evidence of localised or generalised emphysema using the criteria of Simon (1964). Contained in this group were 14 patients who later had a thoracotomy for emphysematous bullae. They will be called **Group Ia**.
**Group II:** Eight patients with chronic obstructive bronchitis, (Medical Research Council Committee on the Aetiology of Chronic Bronchitis, 1965; Scadding, 1966) who had no radiological evidence of emphysema.
**Group III:** Seven patients with the clinical and radiological syndrome of unilateral transradiancy described by Macleod (1954).
None of the patients were studied if there was any evidence of infection in the sputa macroscopically, signs of overt heart failure or reversibility of airways obstruction after isoprenaline inhalation.
The patients in Group Ia were studied on two different occasions – before and 6 months after surgical treatment.
CLINICAL INFORMATION
The history, with particular reference to cough, sputum and breathlessness, was obtained by one observer using a standardised questionnaire (Medical Research Council, 1960) with additional questions about previous history (Fletcher, Hugh-Jones, McNicol and Pride, 1963). The symptoms were graded according to the recommendations of the questionnaire. The form of these questions is in Appendix I.
For the purposes of this study the diagnosis of chronic bronchitis was accepted on the basis of a history of productive cough for more than 2 years, occurring for more than 3 months in the year either during the day or in the morning or at both times.
The age, height and weight of each patient was noted.
The intensity of the breath sounds was recorded by two observers (J.R. Nairn and M. Turner-Warwick) with the stethoscope placed anteriorly and posteriorly on the chest wall over the positions later described as being covered by the scintillation counters corresponding to the upper, middle and lower zones of each lung. The observations were graded in the following way:-
Grade 0 - No breath sounds.
1 - Very weak breath sounds.
2 - Moderate breath sounds.
3 - Normal, good breath sounds.
A pair of postero-anterior chest radiographs were taken in full inspiration and after full expiration in each patient. The cassette was in a fixed position and the patient was not allowed to move except for the respiratory manoeuvre while the films were taken. Bilateral lateral multisection tomograms and a lateral film were also taken.
Dr. George Simon examined these radiographs in ignorance of the clinical, physiological and surgical findings and recorded the following observations and measurements.
**Diaphragm**
a. The shape of each dome, i.e. flat or curved.
b. The level, i.e. number of anterior ribs visible above the middle of the right hemidiaphragm on the inspiration film.
c. The movement in cms. of each dome was measured as the difference between the distance from the lower margin of each of the inspiration and expiration films to the middle of each hemidiaphragm (see fig. 4). The sum of the movement of both hemidiaphragms is referred to as diaphragm movement (D.M.) unless otherwise stated.
**Heart and Main Vessels.**
a. The transverse diameter of heart in cms., (see fig. 4).
b. The transtilar diameter in cms. This measurement is made from the point where the upper lobe vein meets the
descending artery on each side, (see fig. 4).
c. The size of main pulmonary artery, i.e. dilated or normal.
d. The size of hilar vessels, i.e. dilated or normal.
**Pulmonary Vessels.**
a. The size of the mid-lung vessels in the upper, middle and lower zones of each lung field, i.e. dilated, normal or small in the position shown in fig. 4.
b. Vessel loss in each zone, i.e. present or absent.
**Bullae** - These were noted to be present only if clearly demarcated by a surrounding hairline.
a. The location in lobe/segment.
b. The size of diameter in cms. antero/posteriorly and laterally.
**Compression of lung**
a. The crowding of vessels, i.e. absent or present.
b. Fissure displacement, i.e. absent or present.
**Retrosternal translucent zone.**
a. The depth (cms.) - This measurement is made "at a point on the ascending aorta which can usually be selected with sufficient fairness to make results reliable" (Simon, 1964).
b. The downward extension (cms.) - This is the distance between the anterior projection of the diaphragm and the lowest extension of the retrosternal translucent area.
Both these measurements are done on the lateral film in the positions shown in fig. 4.
The normal values in most cases for the measurements made are shown below (Simon, 1964).
Level of Diaphragm 6 or 6½ anterior ribs
Movement of each hemidiaphragm 3 cms. or more
Transverse diameter of heart 11·5 cms.
Retrosternal translucent zone. Depth < 3 cms.
Downward extension > 3 cms.
**LUNG FUNCTION TESTS**
The forced expired volume in one second (F.E.V.₁) and the forced vital capacity (F.V.C.) were measured in ml, on a fast recording spirometer with a plastic bell. The results are given at body temperature and pressure saturated with water vapour (B.T.P.S.).
The vital capacity (V.C.), functional residual capacity (F.R.C.), residual volume (R.V.) and the total lung capacity (T.L.C.) were measured in litres using the closed circuit helium method (McMichael, 1939). All lung volumes were recorded at B.T.P.S.
The diffusing capacity of the lungs for carbon monoxide (D_LCO) was measured in ml. CO per minute per mm.Hg. by
the steady state technique with end tidal sampling described by Bates, Boucot and Dormer (1955). This test was performed at rest with the patient seated and again during stepping exercise in the manner described by McNamara, Prime and Sinclair (1959). The minute ventilation at rest and during exercise were recorded and the percentage extraction of carbon monoxide at rest was calculated.
The airways resistance (A.R.) in cms.$H_2O$/litre/second and the lung volume (L.V.) in litres during panting were measured with the patient seated in a total body plethysmograph by the method described by Dubois, Botelho and Comroe, 1956. The airway conductance which is the reciprocal of airways resistance was calculated only in patients in Group III.
As these techniques are standard and have been well described in the literature no further description seems necessary.
**MEASUREMENT OF ARTERIAL BLOOD GASES.**
Arterial blood was drawn from the brachial artery in the antecubital fossa under local anaesthesia with the patient lying on a couch at rest breathing air. Another sample was taken within one minute after completion of a 3-minute step test (Hugh-Jones, 1952). Some breathless patients were unable to perform any exercise and some others could not continue for 3 minutes. The amount of work done
during stepping was calculated in the following way:
\[
\text{Work done (Kgm./min)} = \frac{n \times h \times Wt.}{36 \cdot 81}
\]
Where \( n = \) The number of steps per minute
\( h = \) height of step in inches
\( Wt. = \) weight of patient in lbs.
During withdrawal of the resting blood sample the expired gas was collected in a previously evacuated Douglas bag and subsequently analysed for carbon dioxide and oxygen content on a Haldane apparatus (Haldane and Graham, 1935). The gas collection was continued for 5 minutes during which the frequency of breathing was noted and the total volume measured with a previously calibrated Wright anemometer.
The measurement of arterial blood oxygen tension (\( \text{PaO}_2 \)) carbon dioxide tension (\( \text{PaCO}_2 \)) and pH were done within 2 minutes of blood withdrawal using oxygen, carbon dioxide and pH electrodes respectively which were contained in the one temperature controlled water bath designed in the department (see Fig. 5). Fluids equilibrated with different gas contents which are used to calibrate the electrodes are also contained in the bath. The calibrating fluids have direct access to the electrodes through sleeve valves. The temperature of the bath was kept constant at 38°C. (± 0.02°C.). A Stuart Turner, No. 10 electrically operated centrifugal pump ensured
constant and complete water circulation and a supply of air equilibrated water in the bath itself. The electrodes were connected through a switch box to a Vibron pH meter (33-B and C-33-B) supplied by the Electronic Instruments Company Limited. All readings were from the same 100 millivolt scale.
The oxygen electrode was an unstirred modified Clark type. It is shown in diagrammatic form in fig. 6. This instrument was made in the department to give a sufficiently high output voltage to record on the 100 milli volt scale available. A small multiple cathode which consisted of 25 pieces .001" diameter platinum wire made this possible. The anode made of 6 cms. of .01" silver wire was wound round the 3.5 mm. outside diameter soda glass tube which contained the cathode. A low permeability membrane of polyvinyladine (Saran Wrap) was used between the sample and the cathode. The nature of the membrane and the small cathode limited the position of the diffusion gradient of the gases within the membrane so that stirring was not required. The electrode was calibrated just before use with air equilibrated water at 38°C., air, and a mixture of one part air and one part 100% nitrogen. These points plotted on linear graph paper against the relevant oxygen tension gave the slope of the electrode. The intercept indicated the residual current of the electrode and should
not exceed 1% of the air reading.
The carbon dioxide electrode was a Severinghaus type (1960). It operated on the principle that the pH of a sodium bicarbonate solution varies in a predictable manner with the carbon dioxide tension with which it is equilibrated. The electrode is shown in fig. 7. Two membranes were used: an inner membrane of woven fibreglass, which provided a thin but stable layer of sodium bicarbonate solution in contact with the glass electrode, and an outer membrane of .001" Teflon, which allowed the rapid passage of carbon dioxide to the bicarbonate layer. A calomel reference electrode was incorporated in the assembly. The response time of this system was 70 seconds. The electrode was calibrated with 5% CO₂ and 10% CO₂ equilibrated distilled water from the tubes in the heated water bath. The CO₂ contents of the gases used for equilibration were measured on the Haldane apparatus.
The pH electrode was a replaceable capillary electrode supplied by Electronic Instruments Company Limited (S.H.H. 33) with a response time of 1 minute. It is shown in fig. 8. Buffers of 6.840 and 7.384 were used in calibration.
Calculations: With the arterial blood gas tensions and the results of analysis of expired gas several relevant values can be calculated.
Using the fractional concentration of expired CO₂ and O₂ and Dalton's Law the respiratory exchange value (R) was calculated according to the equation:-
\[ R = \frac{F_{E\text{CO}_2}}{(F_{E\text{N}_2} \times 0.265) - F_{E\text{O}_2}} \quad (\text{Douglas and Priestley, 1948}). \]
where \( F_{E\text{CO}_2} \) is the fractional concentration of carbon dioxide in expired gas
\( F_{E\text{O}_2} \) is the fractional concentration of oxygen in expired gas
and \( F_{E\text{N}_2} \) is the calculated fractional concentration of nitrogen in expired gas.
The alveolar oxygen tension \( P_{A\text{O}_2} \) in mm. Hg. was calculated using the alveolar air equation (Comroe, Forster, Dubois, Briscoe and Carlsen, 1964):
\[ P_{A\text{O}_2} = P_{I\text{O}_2} - P_{a\text{CO}_2} \left( F_{I\text{O}_2} + \frac{1 - F_{I\text{CO}_2}}{R} \right) \]
where \( P_{I\text{O}_2} \) = partial pressure of O₂ in mm.Hg. of inspired air
\( F_{I\text{O}_2} \) = fractional concentration of O₂ in inspired air.
The alveolar-arterial oxygen gradient \( (P_{A\text{O}_2} - P_{a\text{O}_2}) \) was calculated in mm. Hg.
The ratio of the physiological dead space \( (V_D) \) to the tidal volume \( (V_T) \) was calculated from the following
relationship:
\[
\frac{V_D}{V_T} = \frac{P_{ACO_2} - P_{ECO_2}}{P_{ACO_2}} \quad (\text{West, 1965})
\]
where \(P_{ECO_2}\) is the partial pressure of carbon dioxide in the expired gas.
The percentage saturation of haemoglobin was found using the measured values of \(PaO_2\) and pH and the nomogram of Dill (1944).
**MEASUREMENT OF REGIONAL VENTILATION AND PERFUSION.**
The method of measuring regional ventilation and perfusion in the lung employed radioactive \(^{133}\text{Xenon}\) and an apparatus which recorded impulses picked up from the surface of the chest wall by means of fixed counters. Essentially it consisted of recording zonal distribution of radioactivity after perfusion, after a single inspiration and after rebreathing of \(^{133}\text{Xenon}\). The circuit and procedure were not unlike those described by Ball, Stewart, Newsham and Bates (1962). As this method is not widely used in Britain it will be described in detail.
**Chemical and physical properties of \(^{133}\text{Xenon}\).**
\(^{133}\text{Xenon}\) is produced as a fission product by neutron bombardment of uranium \(^{235}\). Chemically it is an inert gas which is three times as soluble as oxygen and one seventh
as soluble as CO₂ at body temperature. (α = 0.0845 ml. Xenon per ml. H₂O at 760 mm. Hg.). Isotope ¹³³Xenon decays to caesium with a half life of 5.27 days emitting negative particles of maximum energy 0.347 Mev, gamma (γ) rays of 0.081 Mev and by a process of internal conversion X-rays of approximately 0.03 Mev. The β particles are absorbed in less than 1 mm. of tissue and are useless for external counting. The γ and X-rays are detected by surface counting methods but have sufficiently low energy for adequate protection to be afforded by 3/16" lead round the dispensing tonometer and spirometer.
Storage, Dispensing and Precautions using ¹³³Xenon.
The ¹³³Xenon gas used in the test was received as 100 millicurie aliquots contained in 10 cc. sealed glass ampoules every 2 weeks from Radiochemical Products, Amersham, Bucks. In the laboratory the Xenon was stored with 100% CO₂ in a dispensing apparatus which is a slightly modified 30 cc. tonometer enclosed in 3/16" lead shield. This tonometer is shown in fig. 9. Before making the transfer, the tubing and dead space of the tonometer were flushed with 100% CO₂ leaving two thirds of the vessel filled with this gas at atmospheric pressure. The top tap of the tonometer was then opened and the steel cannula advanced up to the top of the ampoule after breaking the inner seal. Mercury passed under
pressure into the ampoule, displaced the radioactive contents through the cannula into the tonometer. The pressure of the tonometer was kept below atmospheric at all times except when the gas was removed for use.
The $^{133}\text{Xe}$ and CO$_2$ mixture was used in a gaseous form after further dilution with air in a spirometer. For intravenous use the $^{133}\text{Xe}/\text{CO}_2$ mixture was dissolved with gentle agitation in 10 cc. sterile heparinised saline contained in a glass syringe. Replicates were used throughout this study so when the first syringe has been prepared it was mixed with another 10 cc. of sterile saline until both syringes contain approximately equal radioactivity. The activity of saline prepared in the syringes was measured in a fixed geometric system as shown in fig. 10, using a counting head, from the gantry. Usually a count of 400-500 counts per second (c.p.s.), which was equivalent to approximately 1 millicurie, in each syringe was adequate for the procedure.
The room in which this measurement was performed had an extractor fan which removed the contaminated air. All personnel wore safety monitoring devices which were surveyed monthly. Used glass syringes and other contaminated apparatus were stored in a $\frac{3}{16}$" lead lined box until the isotope was dissipated.
For the complete study it has been calculated that the radiation dosage to the patient is of the order of 40 milli
rads, although it can be 120 milli rads if intrapulmonary mixing is delayed (Ball, Stewart, Newsham and Bates, 1962).
Spirometer Systems.
A spirometer of the Benedict-Knipping type was incorporated in a closed circuit for use during inspiration of the $^{133}$Xenon in air mixture. Included in the circuit (as shown in fig. 11) was a soda lime filled cannister to absorb CO$_2$, a circulating fan and a counting head which recorded the radioactivity of the gas in the circuit through $\frac{1}{16}$" perspex tube on a separate rate meter and recorder. The circulation time of the circuit when the fan is operating was 3·5 seconds as measured by a bolus of $^{133}$Xe. A potentiometer placed on the spirometer pulley relayed the volume changes of the spirometer bell to another recording channel.
Patient access to the spirometer was by lead ringed rubber tubes, a three-way tap and mouthpiece. The dead space of the whole circuit is 2·43 litres and the dead space of the mouthpiece and tap was 65 ml.
To prepare this circuit for the procedure with the patient $^{133}$Xe/CO$_2$ mixture was introduced with a dry glass syringe through rubber tubing with the spirometer bell containing approximately 5 litres until there was a count of approximately 1000 in the mixed circuit. This is an equivalent concentration of approximately 0·4 millicuries/litre. Depending on the freshness of the supply of $^{133}$Xenon in store
the volume dispensed to gain the desired spirometer count varied from 0·25 ml. to 2·5 ml, which was withdrawn from the tonometer in a 10 ml. syringe followed by sufficient air to fill the syringe. Accidental loss of radioactivity during transfer to the spirometer was easily avoided in this way.
In addition to this "hot" spirometer, a non-radioactive "cold" spirometer filled with air only with a fast recording light bell rested on top of the lead encased circuit. This spirometer was used during the perfusion of $^{133}$Xenon in saline and the volume changes from it recorded on the same circuit as the "hot" spirometer by switching over to it. This enables a simultaneous tracing of the breathholding manoeuvre to be recorded during perfusion.
**The Counting Apparatus.** This is shown in fig. 12.
The counting heads were mounted in two vertical frames which face each other. These frames were suspended from a substantial gantry and could be raised or lowered to suit the height of the patient sitting between them. Six counting heads were disposed on each frame, three of them on either side of the mid line. The upper and lower counting heads could be moved vertically either together or separately within the frame. Each anterior counting head was placed exactly opposite a posterior counting head and the input of impulses to each was simultaneously recorded and eventually summated.
An individual counting head contained a collimator 3\(\frac{1}{4}\) inches long, a thallium activated sodium iodide crystal of 25.4 mm. diameter and 17.4 mm. thick and a photo multiplier tube.
Six (1810) ratemeters, 12 (1830A) amplifiers selector units, 2 (532D) E.H.T. power packs, 8 servopotentiometers and an eight-channel recorder were incorporated into a bulky tower (fig. 14). All these units were supplied by Isotope Development Company Limited, with the exception of 6 of the servopotentiometers which came from Sangamo Weston (S144-). The connections between these units are displayed on the circuit diagram in fig. 13.
**Detection and Enumeration of Radioactive Impulses from the Patient.**
The \(\gamma\) and X-rays emitted by the process of decay of \(^{133}\text{Xenon}\) strike the crystal after passing through the collimator producing a scintillation according to their appropriate energies, which is in turn detected and amplified in the photomultiplier tube. Only \(\gamma\) rays were used in the ultimate counting of impulses by the ratemeters. X-rays were excluded because counting this less energetic ray would unnecessarily complicate the calculations and also that the use of the \(\gamma\) ray alone would simplify setting up and maintenance. The latter statement stems from the fact that the voltage applied to the photomultiplier tube was inversely proportional to the energy of incident radiation.
which it was required to detect and consequently the X-rays and γ rays yielded different plateaus with respect to a given E.H.T. setting and the most clearly defined plateau was that of the γ rays. The E.H.T. supply to the photomultiplier was therefore set for the γ ray plateau only.
From the photomultiplier the impulses passed to an amplifying and selecting circuit which contained a pulse height analyser. The purpose of this device was to two-fold, to reject impulses of low voltage such as cosmic radiation by the use of a discriminator bias and to set an upper limit of acceptance establishing a 'channel width'.
The accepted impulses from one pair of counting heads (i.e., anterior and posterior) were then summed and counted on one ratemeter. This output was relayed to a servopotentiometer which converted a 0-100 millivolt input to a 0-10 milliamp output suitable to the 10 milliamp direct writing recorders.
By experimental determination a discriminator bias of 10 volts and a channel width of 20 volts was found to give optimum definition after the E.H.T. voltage had been set on the plateau for γ rays.
The setting up procedure before each determination required that each of the counting head channels and the "hot" spirometer channel was set at these voltages. Included in this was a comparative calibration of each recording channel on 3 attenuations, i.e. 100 cps, 300 cps and 1K with the same radioactive source.
A more detailed specification of the electronic equipment used in this apparatus is obtainable from a thesis by Mr. Michael Foskett submitted to the Institute of Science and Technology for a qualification of F.I.S.T.
**Procedure with the Patient.**
The positions of the counting heads on the gantry were arranged and fixed for each patient with reference to a postero-anterior chest film taken in maximal inspiration using the suprasternal notch as an anterior reference point. The upper two counters were placed 1·5 inches from the highest projection of the lung and the lower two counters \( \frac{3}{4} \) above the highest projection of the diaphragm. The remaining counters were placed midway between these in the vertical plane. Each counter was placed equidistant horizontally from the mid line, compared with its opposite number on the other side of the chest. The back counters were arranged exactly opposite the front counters. A tracing of the radiograph with the counters position marked was taken in each patient for future reference. Such a tracing is shown on fig. 15.
A size 00 nylon catheter filled with sterile heparinised saline was introduced by the Seldinger technique into the median basilic vein in the right or left antecubital fossa under local anaesthesia. The catheter was advanced until it was intrathoracic and its position is identified by connecting its proximal end to a strain gauge manometer whose output was
displayed on a cathode-ray oscilloscope. When a negative pressure swing on inspiration was recognised the catheter was assumed to be intrathoracic and left in position. The manometer was then removed and replaced by a syringe containing heparinised saline which was strapped to the patient's arm so that he could bend it quite freely. Next, the patient sat on a chair with a low adjustable, semicircular back and arm rests, centrally placed between the two stacks of counters. A foot stool was provided. The stacks were lowered until an anterior reference rod was exactly opposite the suprasternal notch. They were then moved towards the patient until the lower counters almost touched the anterior and posterior aspects of the chest wall but the patient was still able to take a maximal inspiration without discomfort. A mouthpiece attached to the 'cold' spirometer was inserted through a gap in the anterior frame of counters and put in by the patient. A semicircular halter, fixed to the posterior counter frame, was fitted round the sides and back of the patient's neck to help prevent lateral movement. A nose clip was used so that only oral respiration was recorded.
The patient was instructed to take 3 slow maximal inspirations holding the breath in inspiration at the end of the third. While he was doing this the prepared $^{133}$Xenon in saline was rapidly injected into the superior vena cava through the nylon catheter, followed by a similar volume of saline. During the breathholding manoeuvre, which lasted
approximately 10 seconds a plateau in each zone was recorded. The patient then removed the mouth piece and breathed air. The radioactive gas was washed out of the alveoli, and the chest counts fell to a background level. This procedure was then repeated after 5 minutes.
After a similar interval, the mouth piece was connected to the "hot" spirometer circuit and the patient instructed to repeat the respiratory manoeuvres. During the first two breaths only air was inspired, on the third the patient took a maximal inspiration of the radioactive gas and held the breath. As soon as a definite plateau in each recording head was seen the patient was allowed to release his breath into the spirometer. Thereafter room air was breathed until the counting rate over the chest had returned to an acceptable background level or for 5 minutes. This breath holding procedure was then repeated.
Finally, the patient rebreathed xenon in air from the "hot" spirometer starting at the beginning of an inspiration. During this procedure oxygen was added at a low rate of flow to keep the volume of the circuit constant. Rebreathing was continued for 6 minutes. Usually at the end of this time the c.p.s. recorded in the spirometer circuit and in the chest leads were constant, indicating that the patient and circuit were near equilibrium. A breathholding manoeuvre at maximal inspiration was then repeated and a further plateau was recorded in each chest lead. Then the patient was allowed
to breathe room air once more. The counting rate fell in all chest zones.
**MEASUREMENT OF TRACING.**
An example of the tracing recorded after this procedure with a single injection, single inspiration followed by rebreathing $^{133}$Xe is shown in fig. 16. Six of these channels represent the summated back and front activity in the 6 zones covered by the counters. The remaining 2 record spirometer counts and spirometer volume.
The plateaus during breathholding in each zone after perfusion and after inspiration of $^{133}$Xe are shown at points A and B, respectively. They were measured in c.p.s., minus the height of the background counts in c.p.s. recorded previously in each zone. Figure 17 shows the mode of measurement of such plateaus. The counts per second recorded in each zone after equilibration are measured by taking the height of the plateau during breathholding at point D on fig. 16. As the background counts recorded previous to rebreathing $^{133}$Xe are a mixture of tissue and trapped alveolar gas counts, a standard tissue count is subtracted. The standard tissue count is based on the average of 8 normal subjects. The method of obtaining this figure will be explained later. The time taken to wash in 90% of the counts per second recorded at equilibration before the maximal inspiration is calculated and measured in each zone.
Figure 18 illustrates a poor and a good mixing zone with the 90% time marked as A and B respectively.
Calculations.
To evaluate the share each zone receives of the perfusion and ventilation during a single breathholding manoeuvre, the volume of lung which the counters are "looking at" has to be considered. At the end of equilibration mixing is as complete as possible and after a maximal inspiration the geometry of the chest is assumed to be similar to that during the other breathholding manoeuvres; therefore, the measurement of counts per second at that time in each zone reflects the volume of ventilated lung in the field of each counter. The ventilation index (V index) of a zone was calculated in the following way:
\[
\text{Zonal V index} = \frac{R_1}{\sum R_1} \cdot \frac{R_E}{\sum R_E}
\]
where \( R_1 = \text{c.p.s. in zone during breathholding after a maximal inspiration of Xenon in air.} \)
\( \sum R_1 = \text{the sum of } R_1 \text{ in each zone.} \)
\( R_E = \text{c.p.s. in zone after equilibration and during breathholding after a maximal inspiration of Xenon in air.} \)
\( \sum R_E = \text{sum of } R_E \text{ in each zone.} \)
Therefore, the V index of each zone is a measure of the zonal share of ventilation related to the share of ventilatable volume of that zone.
The perfusion or $Q$ index of a zone is the zonal share of perfusion related to the share of ventilatable volume of that zone and is calculated in a similar way, viz.
$$\text{Zonal } Q \text{ index} = \frac{R_p}{\sum R_p} \cdot \frac{R_E}{\sum R_E}$$
where $R_p =$ c.p.s. in zone during breathholding after perfusion of $^{133}$Xe in saline
$\sum R_p =$ the sum of $R_p$ in each zone.
To express the dynamic events in each zone during rebreathing (C to D in fig. 16) the observed time ($t_0$) to reach 90% mixing is compared with the predicted time ($t_p$) for the whole lung to reach equilibrium, assuming perfect mixing. This predicted time $t_p$ can be calculated using the functional residual capacity of the patient ($V_{FRC}$), the spirometer volume at the beginning of equilibration ($V_S$), the dead space of the spirometer system ($V_{DS}$), the alveolar tidal volume ($V_{TV}$), and the frequency of breathing ($f$) in the following formula:
$$t_p = \frac{1}{f \log \frac{V_{FRC}}{(V_{FRC} + V_{TV})}} \times \frac{(V_S + V_{DS}) - V_{TV}}{(V_S + V_{DS})}$$
The anatomical dead space was assumed according to body weight. Calculation of the relationship $\frac{t_p}{t_0}$ in each zone yields the zonal "dynamic distribution index", (D.D.I.). This calculation is similar to the dynamic distribution index described by Bentivoglio, Beereel, Stewart, Bryan,
The volume of air entering each zone during the single respiration of $^{133}$Xe was also calculated by dividing the inspired volume of xenon and air at the mouth in proportion to the share of inspired counts in each zone.
**Predicted Normal Values.**
The normal values of the lung function tests were predicted from the data indicated.
1) Lung volumes, diffusing capacity and percentage extraction of carbon monoxide at rest from Bates and Christie, 1964.
2) Diffusing capacity during exercise from McNamara, Prime and Sinclair (1959).
3) Arterial blood gas tensions from Comroe, Forster, Dubois, Briscoe and Carlsen, 1964.
4) Regional ventilation and perfusion indices from Ball, Stewart, Newsham and Bates, 1962.
5) Regional dynamic distribution indices from Bentivoglio, Beerel, Stewart, Bryan, Ball and Bates, 1963.
SELECTION OF PATIENTS
It is essential in a study of this kind to understand the basis of selection of the patients who feature in it. All came from a "hospital population" and therefore the majority had symptoms and are not representative of the population as a whole who suffer from emphysema or from bronchitis or from chronic airways obstruction.
The patients in Group I were selected solely on the basis of radiological features of emphysema so the disablement and symptomatology differed widely between them. There is an inevitable preponderance of radiologically localised emphysema due to the nature of the project. Patients selected for surgical treatment (Group Ia) attended ten different consultant physicians whose opinions differ on the grounds for embarking on such a venture. The type of surgical operation performed varied, as did the surgeon to whom the patient was referred. Such variables were unavoidable, but are important to remember when considering the data which will be presented.
There was a very marked bias in the selection of the bronchitis group (Group II) because they were chosen to compare with some severely disabled emphysematous patients. All had severe airways obstruction, and any radiological features of
emphysema excluded them from the study. This does not imply that those patients had no pathological evidence of emphysema but it is unlikely that Grades III or IV panacinar emphysema was present (Reid and Millard, 1964).
QUESTIONNAIRE.
The use of a series of questions had certain advantages. Questions phrased in identical words, and asked by one observer of a number of patients, are liable to less observer variation than the usual way of recording a case history in hospital notes (Medical Research Council, 1960). Grading the severity of the symptoms made comparison within the population easier. The grades of breathlessness were particularly useful when the subjective result of surgery was considered.
Unfortunately, by standardising the questions and answers the actual sensations and individual idiosyncrasies of the patients were ignored. I have been acutely aware of this discrepancy and therefore make no apology for including in this thesis the patients own words which more adequately describe their discomfort associated with breathing.
Although the form of questions devised by the Medical Research Council was used, some sections of the questionnaire were omitted, e.g. the effect of weather.
The prime object of using this standard questionnaire was to have some dividing line between patients with bronchitis and patients without bronchitis.
THE DIAGNOSIS OF BRONCHITIS.
The generally accepted definition of chronic bronchitis is clinical (Ciba Guest Symposium, 1959; World Health Organisation, 1961). Accordingly, I have used the answers to the questions asked about cough and sputum to define the presence or absence of bronchitis. The questions about cough and sputum were asked most pointedly and carefully as it was sensed that men in Britain, particularly those who smoked, seem to regard coughing and spitting as normal events. The answers to these questions were checked by observation and by noting the presence or absence of sputum while the patients were in hospital. Some patients who had ceased to smoke claimed that they no longer had a productive cough. In this event this was recorded regardless of the previous coughing history.
The severity of bronchitis present cannot be gauged in this way, so patients in Group I with a productive cough may or may not be affected functionally by bronchitis. On the other hand in the patients in Group II the functional defect is probably predominantly due to bronchitis.
INTENSITY OF BREATH SOUNDS.
Clinical signs in the chest are liable to considerable observer disagreement (Smyllie, Blandis and Armitage, 1965). In an attempt to measure the extent of this, two observers were used and the variation between their recordings is
described in the data presented.
It is possible that applying grades to an observation which is liable to so much error in itself as intensity of breath sounds has lent on unwarranted exactness to it. At the same time it is pertinent to point out that grading the intensity of breath sounds is different from identifying "diminished breath sounds". Fletcher (1952) suggested that careful definition of some of the signs might result in agreement between observers being increased and the grades applied here are only an attempt at better definition.
The system of grading this sign is very simple and is essentially similar to the usual clinical description of the sounds heard, i.e. absent, weak, moderate and good. Although on some occasions there was doubt in the decision between Grades 2 and 3 on the whole the observers found that the grades could be applied with some confidence.
**RADIOLOGY.**
The observer variation of the radiological findings has not been investigated in this work. With 4 observers Knott and Christie (1951) found that 25% of cases with "clinical" emphysema were missed but this was on the definitive diagnosis of emphysema and not on separate observations. An effort has been made to record as many objective measurements as possible and thereby separate errors of observation from errors.
of conclusion and diagnosis as recommended by Simon (1966).
PHYSIOLOGICAL TESTS.
TOTAL FUNCTION TESTS.
The repeatability of all these tests is dependent on errors inherent in the equipment used, and the patients full co-operation and understanding.
The F.E.V.₁ and V.C. have been shown to have a repeatability of ± 110 ml. and ± 160 ml. respectively by Davidson (1966). Generally, it is accepted in this laboratory that there is a repeatability of less than 10% on repeated observations in the same patient. Exhortation by the observer and clear orientation on the part of the patient is essential.
The measurement of static lung volumes with the closed helium circuit in patients with emphysema and consequently poor distribution of the inspired gas is liable to underestimate the true value as complete equilibration is never strictly attained. A discrepancy of as much as 3-0 litres in lung volumes has been recorded between a test dependent on ventilation (7 minute nitrogen washout) and plethysmographic methods in patients with emphysema (Bedell, Marshall, Dubois and Comroe, 1956). The rebreathing in the helium circuit was continued in some patients up to 30 minutes in an effort to cut down this error with catharometer readings being recorded at minute intervals until no change was shown for 4 minutes.
The lung volumes measured by this method are said to be within ± 200 ml. by Cotes (1965). The helium catharometer in the circuit has a slow response time of 2 minutes with an accuracy of 2% within a range of 0-15% Helium in air.
The diffusing capacity measured by the end tidal sampling method used a carbon monoxide infra-red analyser which has a response time of 10 secs. and an error of 2% of a full scale. The end tidal sampling device has been shown to be satisfactory provided the tidal volume is adequate to clear the instrumental and anatomical dead space (Marshall, 1958).
**THE ELECTRODE SYSTEM.**
Provided the membranes in the oxygen and carbon dioxide electrode are kept moist and the pH and carbon dioxide electrodes are well cleared of blood and protein particles when not in use the system works well and is reasonably stable.
In addition to the calibration described before use, at monthly intervals the oxygen electrode was specially calibrated with 10% oxygen, 20% oxygen, 30% oxygen and 40% oxygen mixtures in liquid and gaseous form. If the moist gas readings and those using liquid samples were not the same, or if the response was not consistently linear, the electrode was dismantled and reassembled until such a situation was present.
Reasonable maintenance, careful handling and occasional changes of the membranes used have been found to maintain the properties of the electrodes described, for three years. During
this time it has also been shown that it is most important that the calibrating fluids are at the same temperature as the water bath and electrode. The pH electrode is especially sensitive to thermal changes. It is possible to have 2-3°C. temperature change after over-conscientious washings with buffers and cleaning fluids. The latter are unnecessary if the blood sample is not allowed to remain in the electrode chamber for more than 3 minutes.
**THE COLLECTION OF ARTERIAL BLOOD AND EXERCISE TEST.**
It is recognised that the method used was not ideal and that an indwelling arterial cannula and bicycle ergometer would have been more satisfactory for examining the effect of graduated exercise on the blood gases. These patients had had many tests, were often very disabled, often depressed by constant breathlessness and clinical science had little to offer in their ultimate management. In addition, if surgery was contemplated it was planned to repeat these test with the patients co-operation. For these humane reasons ideal methods were sacrificed and the simpler methods described were used. As a result of this no patient has refused to return to hospital after surgery, nor has there been any loss of rapport consequent upon the collection of arterial blood, a situation which was certainly not present before the present policy was adopted.
The Wright anemometer used to measure minute ventilation during the collection of arterial blood was found to over read by 17% compared with a spirometer and a Donald Paterson gasometer.
Appropriate corrections have been applied. This error is only applicable for intermittent flow rates up to 30 litres/minute. Above 60 litres/minute it was found to over read as much as 80% of the true recording.
**MEASUREMENT OF REGIONAL VENTILATION AND PERFUSION.**
**Movement of the Patient.**
The method and calculation infer that the fixed counters are 'seeing' the same position of lung during each manoeuvre. As there were counters both anterior and posterior to the chest wall, movement by the patient forwards or backwards was not so important but lateral movement had to be prevented if possible. To do this the fixed chair with back and arm rests and neck halter were used. In addition, the position of the patient was checked before each breathholding manoeuvre. However, despite these precautions lateral movement cannot be excluded especially in patients of small build as there was room for them to move between the arm rests. The halter served mainly as a guide and was not tightly fixed round the neck. Plastic cushions filled with polythene chips, evacuated to mould round the pelvis of smaller patients, were tried to solve this problem with some success. Vertical movement such as occurred when the patient slouched then sat up straight was also a source of error. During equilibration the patient breathed quietly and tended to relax in the chair; however, during a period of maximal inspiration
and breathholding the disabled patient sat upright, and hunched the shoulders lifting the chest wall. Thus, the volume of lungs 'seen' by the counters must be variable between the equilibration and the other manoeuvres. However, during actual breathholding this variability should be less.
To assess the repeatability of the V and Q indices, duplicate measurements were made in 68 and 65 patients respectively. An analysis of these pairs of observations is contained in table 1. These figures show that there is a close agreement between the pairs of estimate which is probably a reflection of the efforts previously described to prevent lateral and vertical movement by the patient. Hereafter, only the first value of the V and Q indices will be shown.
During breathholding it is difficult to prevent the patient from closing the glottis and performing a Valsalva manoeuvre. This might alter the regional perfusion, (Ball, Stewart, Newsham and Bates, 1962). To minimise this the patient was encouraged frequently to inspire during the breathholding period, as a state of conscious constant inspiration tends to discourage glottis closure.
Rebreathing for 6 minutes will not effect complete mixing or equilibration in a poorly communicating bullous area. However, provided all zones are affected equally in the same patient the share of total volume of any zone at the end of the rebreathing
period will be in the correct proportions. If there are one or two affected zones their volume share will be falsely low. As the V and Q indices of a zone are expressed as a share of zonal counting rates as well as on the "equilibrium" counting rates, they will be to a certain extent dependent on each other and will be falsely high in a zone where the "equilibrium" counts are falsely low.
In contrast to the V and Q indices the zonal dynamic distribution indices are independent of each other in a particular patient and are comparable between patients. For these reasons the D.D.I. is of greater use in indicating the values of absolute intrapulmonary mixing than the V indices.
If mixing is not complete in 6 minutes the 90% mixing time will be too low. However, this error will not be of any great significance as the 90% mixing point will be on the flatter part of an exponential curve, and due to the logarithmic scale the numerical value of this error will be minimised in the lower reaches.
The D.D.I. is partly dependent on the F.R.C. measured by the helium mixing method but it has been calculated that a 10% error in an F.R.C. of 4 litres gives less than a 2% error in the predicted time for complete mixing.
As xenon is not an insoluble gas some is absorbed by body tissues and chest wall. The amount in the tissues is dependent on the length of the rebreathing time and the initial
concentration of xenon in the spirometer. With prolonged rebreathing chest wall counts will tend to obscure the actual alveolar counts present, especially as the chest wall is nearer the crystals than the lung itself. Six minutes was chosen arbitrarily for a rebreathing time as it was found that some zones at least had reached a plateau in this time. In calculating the equilibrium value in each zone a constant number of c.p.s. were subtracted from the observed equilibrium c.p.s. on the tracing to allow for the chest wall tissue contribution. This constant number is based on 8 normal subjects of average build who had the same dosage of xenon, the same procedure and the same time of rebreathing. After the procedure they voluntarily hyperventilated air intermittently for 10 minutes and thereafter the c.p.s. were recorded in each zone. The $^{133}$Xe washout was extrapolated backwards and the average tissue count calculated. This did not exceed 10% of the equilibrium c.p.s. in any zone of any patient in this study. Tissue counts vary according to the thickness of the chest wall but this was found to be of the order of 2% in the normal subjects so variations in body size and thickness, fat etc. were ignored.
**Technical Difficulties and Errors associated with the procedure.**
Recording the radioactivity in each zone directly presented certain difficulties if the margin of error in recording was to be cut to the minimum. The ratemeters recorded on 3 attenuations, counting at 100 c.p.s., 300 c.p.s. and 1,000 c.p.s. per complete scale. In the absence of a tape
recording system the attenuation had to be anticipated correctly to get a reading on scale before the breathholding manoeuvres were performed as there was insufficient time to change them during the manoeuvre. This guess varied with the number of counts in the syringe injected or the number of counts in the spirometer which were known and with the perfusion or the ventilation of the lung zone which were, of course, unknown. Sometimes, mistakes were made which meant that the procedure had to be repeated. During the rebreathing procedure it was more accurate to record on as sensitive a scale as possible, (Ball, Stewart, Newsham and Bates, 1962).
Rapid injection of the xenon in saline solution through a catheter lying in the superior vena cava ensured that the activity arrives in the pulmonary circulation as a bolus, and avoided pooling at the shoulder, an event which necessitated abandoning the procedure on that patient for 24 hours. The long catheter was convenient in timing the injection and breath-holding period as the circulation time did not play such a large part. It was quite common for the upper counter on the side of the catheter to record an off scale deflection while the bolus of xenon passed through that zone before reaching the superior vena cava. This can be misleading for the operator of the ratemeter attenuations as the inclination was to immediately switch to a lower attenuation and record a very low and less accurate plateau when the xenon appeared in the alveoli in that zone. An example of this off scale deflection
is shown in fig. 17. In the same tracing it can be seen that the background counting rate rose before the perfusion of the xenon because of the proximity of the syringe to the counters. This rise was ignored in the measurement of the plateau as the activity causing it was in the lung when the plateau was being recorded.
There was a reading error on the tracing of within 2%. A variation between the attenuated scales occurred from day to day but was defined by calibration before each test as described in the previous chapter. This variation was taken into account if it was more than 2% in any zone at any attenuation change. The recording error attendant on recording from a rectilinear to a curvilinear scale was found to be less than 1%. A one second time constant was invariably used and the maximum reading was given within 3 seconds.
As there was no absolute standard of radioactive source available in the laboratory it is probable that the absolute values recorded in the tracings varied from week to week. However, as the calculations made on these tracings for reasons of thoracic and geometric asymmetry measure only shares of ventilation and perfusion and the relative efficiency of mixing no absolute values were required.
While considering the technical difficulties with recording and patient handling with which I was principally concerned, it is fitting to mention that throughout the time of this study
we have been constantly beset by electronic failures of the various components of the counting apparatus. Not the least of these has been due to overheating as it was found necessary to keep a constant flow of current running through the amplifiers and servopotentiometers to cut down the number of fuses needing replacement and the wear and tear on valves. An extra fan was installed in the tower. In addition to the maintenance costs, the capital cost of this apparatus was in the region of £8,000 and each aliquot of xenon costs £25. This is therefore a very expensive method, a fact which should be borne in mind when considering its value in clinical and research medicine.
THE USE OF ANTERIOR AND POSTERIOR FIXED COUNTERS.
The fixed counting system described here differs from the moving counters described by Dollery and Gillam (1963). The advantage of their method is two-fold: firstly it is cheaper and secondly it accurately localises a small area of dysfunction. I have relied on radiology for identification of the latter. Using fixed counters the dynamic events during the rebreathing process can be observed continuously. An added factor is that after the single inspiration of $^{133}$Xe gas and the subsequent breathholding period, the disabled patient is required only to hold the breath while each counter records simultaneously. If the counters were moving the breathholding time would require to be prolonged until a profile from the top to the bottom of the lungs were recorded; which even using
a short time constant would put further stress on a breathless patient.
Ball, Stewart, Newsham and Bates (1962) used only posterior counting devices. By employing counters both at the front and back of the chest wall it was hoped that a larger volume of lung tissue was surveyed and a larger signal gained using smaller dosage of radioactivity. The front, back and adjacent counting fields were judged to overlap sufficiently for it to be justifiable to calculate the actual volume of air inspired into each zone of lung as described in the previous chapter.
PHYSICAL CHARACTERISTICS.
Of 50 patients in Group I, 46 were males and 4 were females. The average age was 54·3 years, the youngest being 37 years and the oldest 70 years at the time of study. Figure 19 shows the height and weight of the 46 male patients, the line depicts the average weight in lbs. according to height in a normal male population between the ages of 50-60 years, (Society of Actuaries, 1959). The mean height of all male patients in Group I was 69 inches. The patients with bronchitis had a mean height of 69·0 inches and those without bronchitis had a mean height of 70·6 inches. As the average height of men in this part of the country is 68 inches (Martin, 1949) it is of interest to note that 11 of the 14 patients without bronchitis were taller than the average whereas only 16 of the 32 patients with bronchitis were over 68 inches in height. All except 2 patients were below the expected weight; it makes no difference in this respect whether bronchitis is present or not. Thirty-five male patients, i.e. 76% of the population, are 20 lbs. or more below their expected weight.
Comment.
The average age of the patients in this group is very similar to that of other investigators, Prime and Westlake,
despite the wide range of ages which they also report.
Textbooks refer to patients with emphysema as being tall and thin. This view is supported by Fletcher, Hugh-Jones, McNicol and Pride, 1963; and Nash, Briscoe and Cournand, 1965. Certainly, the majority of patients in Group I are underweight but their height seems to me to be more likely to be related to heredity and early environment than present health. In the patients with emphysema and no bronchitis there was a definite tendency to be tall which may be due to a genetic linkage between emphysema and height.
It has been suggested that the weight loss in emphysema is due to an inclination to eat less because of aggravation of dyspnoea by gastric distension (Nash, Briscoe and Cournand, 1965) but I think an added factor might be the depression and worry caused by the breathlessness. One of the commonest findings in depressed patients is loss of weight.
**BREATHLESSNESS IN EMPHYSEMA.**
'Shortness of breath' and breathlessness on the slightest exercise was the main complaint and clinical feature of the large majority of these patients, even if it was not necessarily of the longest duration. This sensation was variously described as "suffocating",
"stifling" and "never able to get enough breath in". In many it was incapacitating even with minimum exercise, for instance C. Mah, an artist, had had to give up oils and water colours and was only able to do pencil and charcoal drawings sitting in a chair. It was not always associated with exercise as the questionnaire implies: quite frequently the patients volunteered that due to an emotional upset in the household or the anticipation of some exciting event they became breathless. One patient (J.W.) frequently awoke during the night with severe breathless attacks which occurred also at rest during the day, but there was no evidence of left ventricular failure. Attacks of this sensation at rest or during very mild exercise frightened the patients and is obviously very unpleasant. When questioned they said that it was quite different from the breathlessness they used to get when they were younger after exercise. Eighteen patients refused to go into the body plethysmograph because they "wouldn't be able to breathe when shut in a box".
Table II shows a summary of the respiratory complaints, duration and previous history of 50 patients in Group I. Individual symptomatology is shown in Appendix II. Thirty-two patients (64%) complained of a productive cough and by definition have bronchitis, 23 (60%) had had a cough longer than breathlessness. Those bronchitic patients have a shorter history either of breathlessness or cough, and are older when they become breathless than patients with emphysema who have no bronchitis although the average age is similar.
Twenty-six (81%) of the patients in Group I with bronchitis were severely disabled and complained of breathlessness when washing, shaving or dressing, whereas only 9 of the 18 patients (50%) with no bronchitis complained of severe breathlessness.
Eighteen (55%) of those with bronchitis had had a chest infection in the past 3 years which incapacitated them for a week or more, compared with only 28% of the patients without bronchitis.
There were no pipe or cigar smokers. All, except 2 were smokers or ex-smokers of cigarettes. Of the 33 ex-smokers, 9 had smoked heavily, 14 moderately and 10 lightly.
Of the 15 smokers, 3 smoked heavily, 8 moderately and 4 lightly.
**COMMENT.**
These figures give an outline of the incidence, duration and severity of the symptoms in the patients in Group I.
There appears to be a remarkably high incidence (36%) of patients who deny having a productive cough compared with 6% found by Fletcher, Jones, Burrows and Niden (1964). This is easily explained. At one time I particularly looked for patients with evidently uncomplicated emphysema. In addition, this type of patient is more likely to be a suitable candidate for surgery and as such was referred to the laboratory for study.
These patients could be said to be suffering from "primary emphysema". This term was first introduced by Seebohm and Bedell (1963) to describe emphysema in young adults (below 40 years) "without any recognised antecedent", yet in their paper half of the 10 patients described have a productive cough. Other authorities (Scadding - personal communication, Reid, 1965) prefer to use this term only when there is no productive cough in patients with emphysema in this age group. It is therefore interesting to note that in these patients the mean age of onset of breathlessness is younger than in the bronchitic group.
The severity of breathlessness was greater in patients with bronchitis than those without. Although this seems to
indicate a more rapid deterioration in the former group especially in view of the similar age distribution. The progress of these patients can only be ascertained by a long term study. As will be shown later there was no difference in the extent and distribution of emphysema between these two groups radiologically.
The high incidence of chest infections in patients with bronchitis agrees with other reports (Fletcher, Elmes, Fairbairn and Wood, 1959; Elmes, Fletcher and Dutton, 1957). Fewer chest infections had occurred in patients with no bronchitis which was expected but is a point not shown by Fletcher, Hugh-Jones, McNicol and Pride, (1963).
Table III shows the relationship between the smoking history of patients in Group I with that of other investigators. The incidence of ex-smokers, which is high compared with other surveys, is probably partly a tribute to the anti-smoking attitude maintained by most physicians of the hospital. As I have seen a cyanosed patient with hypercapnia, gross airways obstruction, chest infection and cor pulmonale smoking 60 cigarettes a day "to make me feel better", I do not think breathlessness necessarily induces stopping smoking. I have even heard of one patient trying to smoke through a tracheostomy when he had respiratory failure.
Of the several clinical signs in the respiratory system in emphysema dyspnoea on exertion and the diminished intensity of the breath sounds are the most notable, (Christie, 1944; Fletcher, 1952; Fletcher, Hugh-Jones, McNicol, and Pride, 1963). Loss of cardiac dullness, loss of hepatic dullness, and absence of the apex beat are all signs resulting from overinflation of the lungs, a finding which is more accurately displayed on a chest radiograph.
It was through the use of the stethoscope that Laennec verified the "existence of emphysema as well on the living as on the dead subject" and was "led to consider it by no means infrequent". He described the breath sounds heard in emphysema in the following way:
.... "The respiratory murmur is inaudible over the greater part of the chest and is very feeble in parts where it is audible. If the disease is not very severe, the sound of respiration is still audible but in a much less degree than the sound of percussion could lead us to expect...."
In describing the stethoscope and its use he said "I would beg to observe that it is only in a hospital that we can acquire completely and certainly the practice and habit of this new art of observation, inasmuch as it is necessary to have occasionally verified by means of examination
after death, the diagnostics established by means of the cylinder, in order that we may acquire confidence in the instrument ...." In this way Laennec acknowledged that an absolute standard was required to compare with the intensity of the sounds heard through a stethoscope.
The study of the validity of clinical signs is hampered by lack of reliable methods of recording them but they can sometimes be compared with some functional measurement. There has been only one attempt, to my knowledge, to compare a clinical sign in chest disease with a closely related physiological measurement. Comroe and Botelho (1947) measured oxyhaemoglobin saturation and compared it with the clinical sign of cyanosis. A comparison of the intensity of breath sounds with intrapulmonary mixing would be somewhat analogous to this.
The application of 'grades' to the intensity of the breath sounds allows a comparison not only of the grades recorded by the observer to the calculated D.D.I. and the volume of air entering the zone but also it is possible to compare any difference in grading from top to bottom of each lung with the difference in the D.D.I. and volume of air entering between these areas of the lung. In other words, is it possible in emphysema to identify with a stethoscope a zone of lung which is not well ventilated consistently in
different patients and is it possible to discriminate between zones of lung with good and bad ventilation in a single patient by listening to the breath sounds?
RESULTS.
Fig. 20 is a comparison of the grades of intensity of sound in zones of the lung by two observers (J.R. Nairn and M. Turner-Warwick) in 74 patients in Group I. There is complete agreement in 52.3% of zones anteriorly and 42.7% of instances posteriorly. A difference of only one grade between observers occurred in 40.4% of zones anteriorly and 42.7% posteriorly, i.e. there was complete agreement or only one grade difference recorded in 92.7% of zones anteriorly and 87.4% of instances posteriorly between two observers. The large majority of the zones have been judged to be within grades 1 and 2 by both observers. With M. Turner-Warwick these comprise 67% anteriorly and posteriorly of the total, whereas J.R. Nairn recorded 73% anteriorly and 79% posteriorly as having grades 1 or 2 intensity. J.R. Nairn tended to grade good breath sounds slightly lower than M. Turner-Warwick, i.e. posteriorly J.R. Nairn records 5.4% as grade 3 whereas grade 3 represented 13.2% of the total with M. Turner-Warwick. The breath sounds were noted to be absent or faint (grades 0 and 1) in 99 zones by J.R. Nairn and 93 zones by M. Turner-Warwick but only
in 69 of these zones did the observers agree which is 74% of the least number recorded.
Fig. 21 shows the relationship between the D.D.I. in each zone and the intensity of breath sounds heard anteriorly when recorded by J.R. Nairn in 47 patients from Group I. It is evident that although there is a marked tendency for the D.D.I. to be low when grade 0 or 1 is recorded, there is a wide scatter of the values of the D.D.I. in grades 2 and 3. If the percentage of observations above and below a D.D.I. of 60 units is taken as an arbitrary line of discrimination between good and bad alveolar mixing, the scatter of the grades of breath sounds can be expressed in the following manner:
| GRADE | % of total cases with a D.D.I. above 60 units | % of total cases with a D.D.I. below 60 units |
|-------|-----------------------------------------------|-----------------------------------------------|
| 0 | 2% | 98% |
| 1 | 22% | 78% |
| 2 | 38% | 62% |
| 3 | 51% | 49% |
Fig. 22 shows a comparison of the grade of intensity of anterior breath sounds with the calculated volume in ml. entering the zone during maximal inspiration in 47 patients in Group I. There is a wide scatter in grades, 1, 2 and 3. When there are no breath sounds audible, in 44% of instances
there was less than 100 ml. of air entering the zone and in 90% of instances there was less than 400 ml. entering the zone. In 5% of zones when grade 1 was recorded there was less than 100 ml. entering the zone, whereas 79% of zones had less than 400 ml. Grades 2 and 3 intensity of breath sounds were heard in 33% and 59% of zones respectively when the air entering was more than 400 ml.
The observations of M. Turner-Warwick made little difference to these results when considered separately.
Let us now consider the difference in the intensity of the breath sounds heard between the top and the bottom of the lung in individual patients. If there is no difference in grading heard between the upper zone and the lower zone of the lung a 0 is recorded, however if the breath sounds heard at the top of the lung are observed to be grade 2, when those at the bottom are grade 0 then -2 is recorded.
Fig. 23 compares these differences of grades of intensity as recorded by the two observers, J.R. Nairn and M. Turner-Warwick, when listening anteriorly in 34 patients in Group I. There is complete agreement in 45% of observations and only one grade difference in a further 43%. So that in 12% of cases there is marked disagreement between the two observers, i.e. a difference in grading from top to bottom of the lung which is more than one grade different.
It is evident that the majority of the lungs in these patients had breath sounds of a greater intensity at
the top than at the bottom, i.e. most of the points in fig. 23 are on the negative side of the axis.
It is possible now to compare these differences in grades of intensity of breath sounds with differences in intrapulmonary mixing and volume of air entering the top and the bottom of the lungs. Fig. 24 shows the difference in grades of intensity of anterior breath sounds compared with the difference in the dynamic distribution indices between the top and the bottom of the lung. The observer is J.R. Nairn listening anteriorly. The black dots depict observations in 47 patients in Group I and the squares in 7 patients in Group II. Only in 7 lungs, i.e. 6.5% of the total is the difference observed in the breath sounds contrary to that of the D.D.I. from top to bottom of the lung. In the remaining 93.5% of lungs there is either no difference in the breath sounds heard down the lung, or the difference in D.D.I. is in the same direction as the difference heard in the breath sounds, i.e. if there is better intrapulmonary mixing at the top of the lung than at the bottom the breath sounds are of greater intensity there and vice versa. There is a wide scatter evident despite this approximate agreement, as can be seen clearly if the central ordinate is considered. When there is no difference in the grade of intensity of the breath sounds from top to bottom of the lung the D.D.I. has increased by 60 units or
decreased by 105 units. There is no obvious difference in this comparison between patients from Groups I and II. The latter had numerous rhonchi which made listening to the breath sounds more difficult in practice.
Fig. 25 shows a comparison of topographical differences in the lungs of 47 patients in Group I and 7 patients in Group II considering the intensity of the breath sounds and the volume of air entering the zones. Again there is a wide scatter within the quadrants but in only 16 lungs, i.e. 15% of the total, was there marked disagreement shown between the two observations.
**DISCUSSION**
It is clear that when poor or absent breath sounds are noted in patients with emphysema there is almost invariably poor intrapulmonary mixing in the underlying lung zone. This does not necessarily mean that this clinical sign is diagnostic of emphysema but it does imply that the finding is valid confirmatory evidence of the disease.
In the absence of breath sounds or when faint breath sounds are present it has also been shown that there is less than 400 ml. of air entering the underlying lung zone in 90% of instances. This is only a very approximate figure and of debatable derivation as the breath sounds were observed during tidal breathing and the volume of air entering was
calculated from a maximal inspiration. Nevertheless, there is apparently a definite relationship between a small volume of air entering and faint or absent breath sounds in the same zone.
The observation of moderate and good breath sounds is less valid as a clinical sign of normally ventilated lung.
Detection of a difference in the intensity of the breath sounds between poorly ventilated and more normal lung in the same patient have been demonstrated. Rarely (i.e. < 10%) was it shown that the breath sound intensity heard anteriorly belied differences in ventilation between zones in the same lung, although quite frequently (in approximately 30% of instances) there was no difference heard in the breath sound intensity despite a wide variation in the ventilation of the lung between upper and lower zones.
This is a convenient juncture at which to discuss the possible origin of the breath sounds heard in the chest and what influences their intensity in emphysema. Without considering these points it is difficult to see why the breath sounds should bear any relation to intrapulmonary mixing or to the volume of air entering the alveoli.
The breath sounds are a result of turbulence in the air passages. They are audible over the trachea. In the larger bronchi and trachea there is adequate opportunity
for the creation of much turbulence as the walls of these tubes are not smooth, the flow of air is fast, and of constantly changing temperature and humidity. If the sound waves are produced in the upper air passages then the intensity of the sound heard through the stethoscope placed on the chest wall depends on the conduction or reflection of the sound waves through the smaller bronchi and bronchioles to the alveoli and through the walls of the alveoli and the chest wall itself.
Sound waves are conducted best down long straight tubes where there is no interruption. Smaller bronchi or bronchioles which are distorted either from without or within their walls will interrupt the sound conduction, as indeed they will alter distribution of the inspired gas.
Let us now consider sound conduction at the alveolar level. When a ventilated alveolus containing well conducted sound waves is surrounded by other well ventilated alveoli the sound energy emanating will be intensified by each alveolus in every direction. Suppose, however, the well ventilated alveolus is surrounded by large air spaces which are virtually unventilated and therefore contribute little or no sound energy. The energy will be dissipated while traversing this buffer air space so that it will be less intense on arrival at the chest wall. This seems a reasonable hypothesis to explain the faint breath sounds in emphysema and their
association with poor intrapulmonary distribution of air and poor ventilation.
When auscultating a chest there is no standard intensity of sound available in the individual zone or patient which can be used by the observer to compare with what is heard. It is essential when auscultating a patient's chest for the observer unconsciously to establish a scale of intensities of sound heard in all parts of the chest wall. Laennec was well aware of this when he remarked "To judge correctly of the state of respiration, we must not rely on the results of the first moments of examination .... we must allow some seconds to pass before we attempt to form an opinion".
Grading the intensity of sounds heard as was done in this study demands comparison of one zone with another and allows a wider scale of differentiation than simple identification of 'diminished' breath sounds which was the method employed by Fletcher (1952) and Smyllie, Armitage and Blendis (1965). If this data is considered on a two-grade scale (i.e. considering grades 0 and 1 together and 2 and 3 together) there was 74% agreement in anterior breath sounds between the observers in grades 0 and 1. Fletcher, (1952) found 71% agreement and calculated that this could occur purley by chance in 50% of observations. In the population presented, J.R. Nairn and M. Turner-Warwick
individually found approximately half the observations were in grades 0 and 1 so the occurrence by chance of them agreeing on the presence of grades 0 and 1 was 33%.
A further scrutiny of the observer disagreement using a 4-grade scale might be helpful in putting the matter in perspective. If complete agreement or only grade of difference in the observations is accepted, only in 15 instances was there disagreement between observers which is 7-3% of the total. In this population with these observers the random occurrence of disagreement to this extent would be 52 instances or 25%.
It is not claimed that the observer disagreement has necessarily been substantially reduced by using a 4-grade scale, as the present data cannot be further compared with observer disagreement on the 2-grade scale. However, on general principles a multigrade scale is preferable as it allows for shades of difference between observers and between their observations, which cannot be done with only 2 grades or simple identification of "diminished breath sounds".
There was a definite tendency by both observers to record less intense breath sounds in the lower zones of the anterior chest wall than in the upper zones. This is probably partly due to the decreased intrapulmonary mixing in the lower zones in the patients examined and partly to
the more intense breath sounds normally observed in the antero-superior part of the chest wall (Laennec 1821)
In conclusion, these data have shown that weak and absent breath sounds are related to poor ventilation in the underlying lung and that the stethoscope is useful in discriminating between zones of well ventilated and poorly ventilated lung. The observer variation inherent in listening to breath sounds is large but it has been suggested that describing the sounds heard on a numerical 4-grade scale would be a useful epidemiological and clinical practice.
The clinical diagnosis of emphysema is largely based on the radiological features of the disease. There are many and they occur in different combination in different patients. Some are purely subjective observations and others are objective measurements. The empirical criteria chosen by Simon and Galbraith (1953) are well substantiated by morbid anatomical changes (Reid and Millard, 1964) as indicated in the Introduction. In comparison of functional findings with individual radiological features in emphysema, I am not concerned with the correctness of the diagnosis of emphysema but am trying to establish some basis for the functional assessment of an individual chest radiograph.
Simon (1964) distinguishes clearly between 'localised' and 'generalised' forms of emphysema. In the former only cardiovascular changes are present and in the latter all or the first two criteria in figure 3 are fulfilled.
Clinical observation has repeatedly shown that emphysema confined to a small part or the whole of one lung is frequently associated with little functional loss, (Macleod, 1954; Bates and Christie, 1964; Ogilvie and Caterall, 1959). Whereas implicit the term 'generalised' emphysema is that the disease
is widespread throughout the lung. One would therefore expect there to be considerable impairment in lung function. The extent of emphysema radiologically has therefore been defined by the vascular changes and related to function in order to assess the relative importance of the division between so called 'generalised' and 'localised' emphysema and to help in predicting overall functional changes from the radiograph. The following convention was adopted to describe the extent of emphysema present radiologically: - 'Generalised' emphysema was present when the first two, or all three, of Simon's empirical criteria were fulfilled; 'Extensively localised' emphysema was diagnosed when the vascular features were present alone but there was the equivalent of a whole lobe of normally vascularized lung present. When there was equivalent of the whole of a normal lung visible on the radiograph 'localised' emphysema was said to be present. For example, figure 26 is the radiograph of a patient (J.W.) with 'generalised' emphysema and figures 27 and 28 are examples of "extensively localised" emphysema in another two patients, (A.P. and R.G.).
A flat low diaphragm and a large retrosternal translucent zone (indicating evidence of "excess of air" according to Simon, 1964) have been found to be reliable diagnostic signs of emphysema radiologically by many workers (Whitfield, Smith, Richards, Waterhouse and Arnott, 1951; Nicklaus, Stowell, Christiansen and Renzetti, 1966). Calculations of lung volume
made from various measurements on a chest radiograph closely agree with physiologically measured volume in normal subjects and emphysematous patients (Barnherd, Pierce, Joyce and Bates, 1960) but the diaphragm shape or the size of the retrosternal translucent zone was not separately measured. As these features are objective, relatively easy to recognize and evidently found in emphysema it would be valuable to know whether they are indeed related to volume and to what extent they are interrelated. This knowledge would be helpful both in the further correlation of structure and function of emphysema and in the rational assessment of the first of Dr. Simon's criteria.
Since the function of the lung depends upon perfusion as well as upon ventilation and volume, the radiological appearance of the blood vessels plays an important part in the qualitative assessment from a chest radiograph. Laws and Heard (1962) state that in the emphysematous lung there is a premature reduction in the calibre of the divisions of the pulmonary artery as well as more peripheral vascular loss. Bentivoglio, Beerel, Stewart, Bryan, Ball and Bates (1963) found that the distribution of abnormal vascular shadows agreed with regional abnormalities of blood flow in 25 out of 52 emphysematous patients whom they examined. These authors did not consider the regional ventilation findings nor the presence of bronchitis in emphysematous patients. Yet in bronchitis, which produces no radiological peripheral vessel abnormality
there must be poor ventilation and poor perfusion which may well have a regional pattern. In this chapter both ventilation and perfusion have been compared with the vascular changes regionally in the radiograph of emphysematous patients, paying particular attention to the effect of bronchitis.
RESULTS.
The radiological observations and measurement according to figure 4 in all patients are shown in Appendix II.
Radiological Extent of Emphysema.
The mean values, standard deviations and significance levels of the total lung function tests in patients in Group I according to whether there was 'generalised', 'extensively localised' or 'localised' emphysema present are shown in Table IV. The vital capacity, percentage of predicted vital capacity, % RV/TLC and the resting PaO₂ are significantly different between the 'generalised' and the other two groups. No significant difference was found between the 'extensively localised' and 'localised' groups. All patients with generalised emphysema had severe airways obstruction (F.E.V₁ < 1100 ml.), and a low diffusing capacity. The mean value in all the tests is impaired more in the 'generalised' group compared with the 'extensive localised' or 'localised' groups. In each of the latter there are 2 and 3 patients respectively whose F.E.V₁
is nearly or above 2 litres and whose V.C. > 4 litres. This is shown in figs. 29 and 30 where these measurements are shown according to the extent of emphysema. Figures 31-33 illustrate the RV/TLC, DLCO and resting PaO₂ in a similar way; the patients with bronchitis being distinguished from those without. It is evident that the presence of bronchitis in these patients has no constant effect on these tests.
These findings can be further illustrated by examples of individual patients. A patient with generalised emphysema (J.W.) whose radiograph is shown in figure 26 was very severely breathless and had an F.E.V.₁ of 500 ml., a V.C. of 1.80 litres; the RV/TLC was 78% and the total lung capacity over 10 litres. He had no bronchitis.
Differences in function in 2 patients with similar radiological features when the emphysema is partially localised can be shown in the cases of A.P. and R.G. The radiographs are those in fig. 27 and 28. Both patients had 'extensively localised' emphysema with a very similar distribution of small mid-lung vessels and peripheral vascular loss. They have curved diaphragms and one (A.P.) has a normal sized heart. Symptomatically and functionally these patients are quite different. A.P. is severely disabled with gross airways obstruction; R.G. is not breathless except when hurrying and has an F.E.V.₁ of over 2 litres. Neither is this difference evidently due to bronchitis as R.G. has a productive cough and A.P. has not.
Shape and Level of Diaphragm.
In 28 patients the diaphragm was flat and in 15 it was curved. In the remaining 6 patients one dome was flat and the other curved.
The relationship between the shape of the diaphragm and the $RV/TLC$, the percentage of predicted T.L.C. and the percentage of predicted F.R.C. in patients in group I is shown in fig. 34 and Table V. There is a large scatter evident in these measurements of lung volume and although there is a significant difference in the values of $\% RV/TLC$ between patients with flat and curved diaphragms, there is none between the other lung volumes. Neither is there any difference when plethysmographic lung volume (L.V.) is considered. The mean L.V. in patients with flat diaphragms is 5.80 litres and with curved diaphragms 5.69 litres.
The shape of the diaphragm is now compared with the T.L.C. as it is observed at full inspiration on the radiograph. The predicted values of T.L.C. have a standard deviation (S.D.) of approximately 10% so the T.L.C. is considered to be increased if it exceeds 120% (or + 2SD.) of the predicted value. Thirteen of the 28 patients (46%) with flat diaphragms had an increased T.L.C. In 6 of the 15 patients (40%) who had curved diaphragms the T.L.C. exceeded 120% of the predicted value. These figures illustrate that the diaphragm shape is not directly related to the volume of air in the lungs.
The level of the diaphragm varied from the 6th anterior rib to the 8th anterior rib; in 26 patients it was low and in 23 it was at the normal level. (It was considered low if the 7th or more anterior ribs were visible above the middle of the right dome). Figure 35 and Table VI show the relationship between the level of the diaphragm and lung volume. The mean values of these volumes are higher in patients with low diaphragms than when the diaphragm is at a normal level and these differences are statistically significant.
In 15 of the 26 patients (58%) with low diaphragms the T.L.C. was increased; this applied to only 5 of the 23 patients (21%) whose diaphragms were at the normal level.
When the combination of the shape and the level of the diaphragm are considered the lung volumes are as shown in Table VII. Flat low diaphragms and curved low diaphragms have the highest mean lung volumes. Curved normal diaphragms have normal or near normal mean lung volumes and flat diaphragms at the normal level have a high % predicted F.R.C. and % RV/TLC but a normal % predicted T.L.C. Differences of significance between these combinations are shown under Table VII.
The incidence of patients with a T.L.C. within the normal range is 37·5% when the diaphragm is flat and low, 85·7% when curved at the normal level, 75% when flat and normal and 37% when curved and low. In other words, the volume of air in the
chest at maximal inspiration is not always increased when the diaphragm is flat and low or when it is curved and low but it is so in the majority of patients. Most of the patients with the diaphragm at the normal level, whether flat or curved, have no "excess volume of air" in their lungs in the maximum inspiratory position when the radiographs were taken.
**THE SIZE OF THE RETROSTERNAL TRANSLUCENT ZONE.**
Thirty-one patients in Group I had a retrosternal translucent zone of increased depth (> 3 cms.) and in 15 patients it was 3 cms. or less. In the remaining 3 patients whose radiographs were examined this measurement would not be made. Figure 36 and Table VIII shows the relationship between the $\% \text{RV}/\text{TLC}$, the percentage of predicted F.R.C. and T.L.C. and the depth of this area. This is a large scatter but the mean values are very similar and there is no statistically significant difference between these volumes and the depth of the retrosternal translucent zone. Six of the 15 patients (40%) with a normal depth had an increased T.L.C. compared with 12 of the 31 patients (39%) with a deep retrosternal translucent zone.
The downward extension was only abnormal (< 3 cms.) in one patient with a large lung volume and a normal depth.
If therefore added very little to any relationship held between depth and lung volume.
DIAPHRAGM MOVEMENTS (D.M.)
Of the 45 patients in Group I in which D.M. was measured there were 36 who had poor movement (< 6 cms.). With 2 exceptions all the flat diaphragms moved poorly as did all the low diaphragms, except 3. All the patients with 'generalised' emphysema had a poor D.M.
The F.E.V.₁ was less than 1 litre in 32 of 36 patients (89%) who had poor D.M., but of the 9 patients with D.M. of > 6 cms. only 2 had an F.E.V.₁ of > 2 litres.
The vital capacity was less than 2 litres in 26 out of 36 patients (72%) with poor D.M. and of 9 patients with a D.M. of > 6 cms., 6 had a V.C. of > 3 litres.
PULMONARY VESSEL SIZE AND VASCULAR LOSS.
In Table IX and figure 37 the observed vascular pattern in zones in patients in Group I and II is considered in a comparison with the intrapulmonary mixing as measured by the dynamic distribution indices. Patients in Group I with bronchitis are separated in this instance from patients without bronchitis. The number of patients and zones showing the different radiological changes are shown and the percentage of the zones which have dynamic distribution index below the normal value is shown. When there are small lung vessels and evidence of vascular loss in a zone in patients in Group I, there is almost invariably (> 70%) poor intrapulmonary mixing and there is no difference in this relationship whether bronchitis is present or
not. However, there is some poor mixing present when there are normal lung vessels and no evidence of vascular loss in the upper, middle and lower zones of patients in Groups I and II. Patients in Group I without bronchitis (diagnosis - EMPHYSEMA in figure 37 and Table IX) have a lower incidence of poor mixing than patients in Group I with bronchitis (diagnosis - EMPHYSEMA and BRONCHITIS) when the radiograph vascular pattern is normal. This is especially evident in the middle and lower zones. When the patients in Group II are considered, (diagnosis - BRONCHITIS) who by definition have normal vessels in all lung zones, there is poor intrapulmonary mixing in over 70% in the middle and lower zones. From figure 37 it can be seen that the difference between the ventilation of the zones with a normal vascular pattern in the patients between Group I suggest that it is due to the presence of bronchitis.
Table X shows the relationship between the vascular patterns and the perfusion (Q) index in the patients in Groups I and II considered in the same way as in Table IX. When the vessels are small or absent there is an abnormally low Q index in only the lower zones. The upper and middle zones rarely have poor perfusion despite evidence of a deranged vascular pattern. When there are normal vessels radiologically, the Q index was never low in any zone in the patients in Group I.
without bronchitis, whereas 29% of the lower zones in patients in Group I with bronchitis have poor perfusion. There is a greater percentage (69%) of poorly perfused lower zones in patients in Group II (diagnosis - Bronchitis in Table X).
DISCUSSION
It is clear that all patients with 'generalised' emphysema had severe airways obstruction, whereas it was possible for those with only radiological evidence of small pulmonary arterial branches and vessel loss to have nearly normal lung function and only mild symptoms. The combined criteria suggested by Simon and Galbraith (1953) are therefore clinically useful in selecting patients who without doubt have respiratory insufficiency due to their emphysema.
Apart from unilateral transradiancy (Macleod, 1954) there has been little attention paid to patients with 2, 3 or 4 zones of lung with small vessels and vessel loss and no demarcated bullae, who have very nearly normal overall function. There were 5 such patients in this study (P.B., A.H., R.P., R.G., G.F.). The radiograph of one of them (R.G.) is shown in fig. 28. In all of them the upper and middle zones were those showing vascular changes.
None of these patients were disabled by breathlessness. Their radiographs were indistinguishable from patients like
A.D., whose radiograph is shown in fig. 27. For these reasons they constitute an interesting group as they show that the radiological extent of emphysema if it is 'localised' (i.e. without low flat diaphragm etc.) can bear little relation to the overall function of the lung.
It is possible that the distribution of the radiological changes in the upper and middle zones coupled with the maintenance of normal function in the lower zones is the distinguishing feature in these patients. This possibility will be investigated in the next chapter.
Many investigators, notably Baldwin, Harden, Greene, Cournand and Richards, 1950; Laurenzi, Turino and Fishman, 1962; and Ogilvie and Caterall, 1959, have found that patients with single demarcated bullae of unknown origin may have little or no disturbance in function and in others the loss of function is explicable by the thoracic volume occupied by the bulla. Laurenzi, Turino and Fishman (1962) suggested that an added factor in those with severe airways obstruction may be bronchitis. Only 2 patients in Group I had a single demarcated bulla and no other radiological evidence of emphysema (A.M. and T.F.). Both had severe airways obstruction but only one (T.F.) had bronchitis; the cause of the functional impairment in A.M. remains unexplained as the bulla was only (10 x 10) cms. in size.
The difference between the 'generalised' and 'localised' forms of emphysema lies in Simon's (1964) first criteria which includes the shape and level of the diaphragm and the size of the retrosternal space. He states that these indicate the presence of an "excess of air". This term has been taken to mean an increase in the volume of air in the lungs at maximum inspiration, (at T.L.C.) because that is the situation in which the radiographs were taken. However, these data have shown that the shape of the diaphragm is as often flat as it is curved when the T.L.C. is increased in patients with emphysema. Similarly the depth of the retrosternal space bore little relation to the T.L.C. Only the level of the diaphragm was influenced. When the shape and the level of the diaphragm together was considered, this was confirmed.
It is reasonable therefore to think of an alternative explanation for the flatness of the diaphragm and the increased depth of the retrosternal space in emphysematous patients.
Macklem and Becklake (1963) showed that there was a decrease in the relaxation pressure at full inspiration in patients with emphysema (-10 cms. H₂O instead of the normal value of -30 cms. H₂O). This indicates a loss of retractive forces within the lungs. It is possible that this allows the diaphragm to sag so that it appears flat on the radiograph. The same mechanical situation may also permit the sternum to move forward causing an increased depth of the retrosternal space. To my knowledge these pressures have not been compared with the
contour of the diaphragm in patients with emphysema.
I do not deny that most emphysematous patients with a flat diaphragm also have airways obstruction. Indeed all those with 'generalised' emphysema, who by definition have flat diaphragms, had severe airways obstruction. Also there was probably a significant difference between the RV/TLC in patients with flat diaphragms on one hand and curved on the other. This ratio has been shown by Burrows, Kasik, Niden and Barclay (1965) to be the most closely correlated of all the lung function tests to airways obstruction as measured by the F.E.V.₁. In emphysema airways obstruction is probably partly due to distortion of bronchi and bronchioles by dilated alveoli and partly to lack of elastic support of the walls of the bronchi on expiration. Both these pathological changes contribute to the loss of retractive force present within the emphysematous lung, so it is not surprising to find there is airways obstruction in most of the patients with flat diaphragms. Nevertheless, airways obstruction does not cause the diaphragm to be flat, otherwise all patients with chronic or acute airways obstruction would have flat diaphragms which is patently not the case, (Simon, 1964; Bates and Christie, 1964).
One might expect that the movement of the diaphragm between maximal inspiration and maximal expiration would reflect the volume of air shifted, i.e. the vital capacity,
and there is indeed a rough agreement. However, the role of the diaphragm in this respect is not at all clear. The chest wall and the abdomen also move with respiration. Mead (1966) has shown with a very elegant technique that during a vital capacity manoeuvre approximately 75% of the volume of air moved is accounted for by the change in volume of the rib cage and 25% by change in volume of the abdomen in the standing normal subject. Diaphragm movement can contribute to both these changes in volume. Wade and Gilson (1954) suggested that $\frac{1}{4}$ of the volume of the vital capacity in normal subjects is due to chest expansion and $\frac{3}{4}$ to diaphragm movement. Any relationship which exists between the vital capacity and diaphragm movement in a normal subject is not necessarily applicable to patients with emphysema. In them, as has been shown, the diaphragm is frequently at a low level and/or is flat, so its ability to move either vertically or to expand the base of the thorax is reduced (Campbell, 1958). It is also in a mechanically disadvantageous position to react to external forces either from the abdomen or from the chest wall. In support of these statements is the finding that only 2 flat diaphragms and 3 low diaphragms moved normally.
Now let us consider the relationship between the regional function of the lung and the radiological vessel pattern in emphysema. At first sight it may seem surprising to compare regional intrapulmonary mixing with the size of lung vessels.
This was done for two main reasons. Firstly, the radiological changes are pathognomic of emphysema and poor distribution of gases is bound to be present if there is a significant amount of tissue destruction and disorganization due to emphysema.
Secondly, the dynamic distribution indices, unlike the perfusion indices, are independent of zones in the individual patient. They are comparable between patients as they are standardised for ventilation and volume. For these reasons the dynamic indices are more applicable when separate zones are considered, which seemed the best way to tackle the problem in a number of patients in whom the vascular changes varied from zone to zone.
The results were extremely interesting and of practical significance. If the mid lung vessels are observed to be small and there is evidence of more peripheral vascular loss in a zone of lung, it has been shown that there is poor intrapulmonary mixing in that zone in an average of 83% of cases. This is so whether the patient had bronchitis or not. However, if the vessels are of normal calibre and there is no vessel loss, normal mixing is not always present. This is particularly obvious when bronchitis accompanies emphysema; when the distribution of abnormal intrapulmonary mixing has been shown to be mainly in the middle and lower zones. This leads to the practical point that if a patient has a productive cough and small vessels
in the upper and middle zones the intrapulmonary mixing will be poor throughout the lung in 80% of instances.
The regional ventilation changes in bronchitis will be discussed in full later. It is true that as there were only 8 patients in Group II with severe chronic obstructive bronchitis these results must be regarded with some caution. However, the similarity between the topographical distribution of poor intrapulmonary mixing in them and the normally vascularised zones of 27 patients from Group I with bronchitis is striking.
Scrutiny of regional perfusion in zones with normal vessels revealed a greater incidence of poor perfusion in the lower zones of patients with bronchitis accompanying emphysema than in patients without a productive cough. The difference was not so marked as when intrapulmonary mixing was considered. When small lung vessels were present the Q indices were mainly impaired in the lower zones and very seldom in the upper and middle zones. This is probably due to the very low perfusion values for the upper and middle zones which are included in the normal range in these areas and the wide fields 'seen' by the counters which overlap.
Bentivoglio, Beerel, Stewart, Bryan, Ball and Bates (1963) stated that in 78% of their emphysematous
subjects the perfusion agreed with the vessel changes, but did not specify the location of the disagreement in zones. In this data there is almost total disagreement in the upper and middle zones with small lung vessels and total agreement in these zones when the vessels are normal so in individual patients the agreement shown would depend directly on the incidence of emphysema radiologically in the upper zones.
The reduction in calibre of the mid lung vessels in emphysema is regarded by some to be the only reliable diagnostic sign of the disease (Laws and Heard, 1962) and by others as an essential finding before the diagnosis can be made (Simon and Galbraith, 1953; Simon, 1964). The reason why such vessels appear small on the radiograph is not yet proven but it is pertinent to consider the several possible causes.
In the normal lung the walls of the smaller pulmonary arteries are kept apart partly by intravascular pressure and partly by the framework of the lung tissue itself. In emphysema the transpulmonary pressure is decreased and will exert an extra vascular pressure on the vessel walls, tending to close them. This seems to me to be the most likely explanation but other possibilities must be mentioned.
The cardiac output in emphysema is said to be usually normal and in many cases there is no pulmonary hypertension, (Wade and Bishop, 1962). As the circulating blood volume is also normal, the flow of blood through the pulmonary arteries in the emphysematous lung must also be normal. As these circulatory characteristics are also present even when all the vessels appear small on a radiograph then the size of the vessels is unlikely to be related to flow of blood through them.
Local vascular changes such as hypertrophy of the vessel wall have not been observed in emphysema (Reid - personal communication). If the vessels were small due to vasoconstriction from a reduced $P_{aO_2}$ one would expect to find the same changes in other pulmonary and cardiac disorders. In any event, these vessel changes have been observed when the $P_{aO_2}$ was normal in this data.
It is interesting that when inflated and injected, the excised emphysematous lung has vessels of normal calibre (Millard, 1965). This appears to be a contradiction but the pressure used to inject the vessels for this preparation was about 100 mm.Hg. which greatly exceeds the usual pulmonary artery pressure to which this low pressure system is normally subjected. It is not surprising that under these circumstances the vessels were virtually dilated.
In conclusion, this enquiry has shown that in looking at a chest radiograph of a patient with emphysema with function in mind it is useful to decide whether 'generalised' emphysema is present or only the cardiovascular changes of 'localised' emphysema. In the presence of the former, there is invariably severe airways obstruction. The diaphragm shape and the depth of the retrosternal space has been shown not to be related to the volume of air in the lungs at the time the inspiratory film was taken. It is postulated that the cause of these changes is a loss of retractive force in the lungs. The appearance of vessels of small calibre and more peripheral vascular loss in the chest radiograph is closely associated with underlying functional damage but normal vessels do not necessarily mean that that part of the lung is functioning normally. In the presence of bronchitis, the middle and lower zones of lungs have been found to have poor intrapulmonary mixing despite a normal vessel pattern.
TOTAL AND REGIONAL LUNG FUNCTION IN EMPHYSEMA.
In the following description of the results of total and regional lung function studies in the patients in Group I, two relevant points have been borne in mind which have emerged from comparing the radiographs with function in the previous chapter. First, that several patients in Group I have little overall functional impairment despite considerable radiographic evidence of emphysema. This is surprising. The regional distribution of the radiographic and functional changes are of particular interest in these patients. Secondly, chronic bronchitis has been shown to probably influence regional intrapulmonary mixing but its effect on the total function of the lung in the patients in Group I has not yet been evaluated. This matter demands closer investigation.
Further it is the purpose of this section to compare regional patterns of dysfunction in the patients in Group I with arterial blood gas tensions and overall lung function tests. Indirect methods of assessment indicate gross $\dot{V}/\dot{Q}$ difference in the lungs as a whole in emphysematous patients, (Briscoe and Cournand, 1962). Although it is not possible to measure the $\dot{V}/\dot{Q}$ ratios of different regions of the lung by surface counting methods, zonal patterns of poor intrapulmonary mixing can be defined. These patterns may influence overall gas exchange in different ways according to
the amount and distribution of poorly functioning lung tissue present.
RESULTS.
TOTAL LUNG FUNCTION TESTS.
The detailed values in all patients are shown in Appendix II.
Table XI shows the mean values and ranges of the F.E.V.₁, static lung volumes and D_LCO at rest and during exercise in patients in Group I. On the average, the F.E.V.₁, V.C. and D_LCO measurements are decreased below the expected normal range. No patient had an F.E.V.₁ of over 70%. The F.R.C., R.V., T.L.C. and % RV/TLC mean values were increased beyond the predicted value. The scatter of the F.E.V.₁, V.C., RV/TLC and D_LCO are illustrated in figs. 29-32.
No significant difference was shown between the patients in Group I depending on the presence or absence of bronchitis in the values of F.E.V.₁, F.E.V.₁/F.V.C., the static lung volumes expressed as a percentage of the predicted value, or the D_LCO at rest and after exercise. The mean value of the % predicted V.C. was higher in those without bronchitis (69·4% ± 19·95%) than in patients with a productive cough (62·5% ± 17·06%). Similarly, there was a small difference in the average value of the F.R.C. (151·4% ± 42·0% in the bronchitic patients and 145·1% ± 39·5% in those without bronchitis).
The regional distribution of radiological and functional changes in individual patients in whom these values were not
markedly impaired has been examined.
Only 4 patients had an F.E.V.₁ of over 2 litres (F.B., R.P., A.H., and R.G.); in 3 of them the radiological evidence of emphysema was confined to the upper and middle zones of the lungs, the remaining patient (R.G.) had also a demarcated bulla at the left base (see figure 28). Intrapulmonary mixing was unimpaired in one or both lower zones in 3 patients and in the fourth (F.B.) all zones had poor mixing.
In 10 patients the V.C. was over 90% of the predicted value; in 7 only the upper and middle zones had radiographic vascular changes and in 5, one or both lower zones had normal intrapulmonary mixing.
Three patients had an F.R.C. below the predicted value, (A.S., T.F., E.Sh.). All had a large demarcated bulla.
The RV/TLC% was below 50% in 8 patients; 3 had large or multiple demarcated bullae visible on the radiographs (E.Sh., H.K. and N.H.), and in 4 patients only the upper and middle zones had emphysema visible on the radiograph (G.F., R.P., A.H., J.S.); 5 had one or both lower zones with normal intrapulmonary mixing.
The D_LCO was over 12·0 ml.CO/min/mm.Hg. in only 3 patients at rest (R.G., T.C., and A.P.), but in 2 of them the % extraction of CO was 26% and 28% so the end tidal sampler may well be in error with them; in the other the emphysema was radiologically localised to the upper and middle zones. Ten patients refused to do any exercise and all except one had a D_LCO below 9.0 units (T.C.).
The extraction percentage of CO was above 40% in only 3 patients, 2 of them had a low $D_L_{CO}$ (J.McM., G1.H.) and generalised emphysema but one (A.F.) had a $D_L$ of 12·6 ml.CO/min/mm.Hg. and the distribution of the emphysema is mentioned above.
The $D_L_{CO}$ during exercise exceeded 20 units in only one patient (G.F.) who had emphysema localised to the upper and middle zones.
**ARTERIAL BLOOD GAS TENSIONS.**
The mean values and ranges of the arterial blood gas tensions, alveolar-arterial oxygen tension differences, alveolar ventilation and $\dot{V}_D/\dot{V}_T$ in patients in Group I as shown in Table XII.
The standard deviations and significance level of these values in patients with or without bronchitis is shown in Table XIII. The Pa$_{CO_2}$ and the $\dot{V}_A$ values are significantly different but there is no difference of significance in the other measurements due to bronchitis.
The scatter of the resting Pa$_{O_2}$ is illustrated in fig. 32. This value was above 90 mm.Hg. in 10 patients; in 7 the emphysema was confined radiologically to the upper and middle zones and in 6 there was normal intrapulmonary mixing in one or both lower zones.
Twelve patients were unable to exercise, 5 of those had a Pa$_{O_2}$ below 70 mm.Hg. at rest; the average Pa$_{O_2}$ of this group was 73·7 mm.Hg. which is lower than the total group. All except one of those unable to exercise had Grade V breathlessness.
In 11 patients the PaO₂ rose > 2 mm.Hg. with exercise; their mean resting PaO₂ was 81.5 mm.Hg. and in 2 patients it was below 70 mm.Hg. In 6 patients the emphysema was confined radiologically to the upper and middle zones of the lungs and 6 patients had one or both lower zones with normal intrapulmonary mixing.
In another 10 patients the PaO₂ fell > 10 mm.Hg.; their mean resting PaO₂ was 82.4 mm.Hg; none were below 70 mm.Hg. but 3 were above 90 mm.Hg. Three of those patients had emphysema confined radiologically to the upper and middle zones of the lungs; only 1 had a lower zone functioning normally, (J.Mc.M.).
The resting PaCO₂ was above 47 mm.Hg. in 11 patients; all had bronchitis. The relationship between F.E.V.₁ and PaCO₂ is shown in fig. 38 where the presence of bronchitis is indicated. Although the F.E.V.₁ is invariably below one litre in patients where the PaCO₂ is raised there are 29 other patients in Group I where the F.E.V.₁ is below one litre but the PaCO₂ is at or below 47 mm.Hg.
The values of PaCO₂ after exercise have not been considered in this data because the arterial blood sample was not withdrawn during exercise and I have observed that the PaCO₂ may change very rapidly with hyperventilation after exercise has stopped and certainly within one minute.
Seven patients had a V̇A below 3.5 l/min. but only 3 of these had hypercapnia.
Two patients had a $V_D/V_T$ of below 0.40; one (N.H.) had a large, virtually non-communicating bulla and the other (R.P.) had upper and middle zone emphysema radiologically.
**REGIONAL LUNG FUNCTION**
The results in all patients in Group I are shown in Appendix II.
**THE V INDEX AND THE Q INDEX.**
Figure 39 shows the relationship between these indices in all zones of patients in Group I. The upper, middle and lower zones are distinguished from each other. There is evidently a definite trend at approximately a $45^\circ$ angle between these indices but there is a wide scatter of points. No obvious difference is discernible between the upper, middle and lower zones. If the transparent cover bearing the normal range of values for each zone is superimposed, it can be seen that very many of the upper zones (triangles) have a great deal higher V and Q index than normal, while almost as many of the lower zones (black dots) have a low V and Q index. This is probably due to the dependence of the V indices and the Q indices separately on each other in a particular patient as they represent shares of ventilation and perfusion.
**THE V INDEX AND THE DYNAMIC DISTRIBUTION INDEX.**
Fig. 40 shows the relationship between the V index which is a share of a single inspiration during breathholding to a zone,
and the D.D.I., which is measured during tidal breathing. When the D.D.I. is above 60 units the V index is below 0·8 in only one instance. However, when the D.D.I. is low (< 40 units) although in the majority (approx. 145 instances) of the V indices are below 1·0, there are 31 instances where it is above 1·0. Because of this discrepancy which is probably due to the independence of the D.D.I. between zones in an individual on one hand and the interdependence of the V index on the other, the D.D.I. has been chosen to compare the ventilation of zones between patients.
**PATTERNS OF REGIONAL IMPAIRMENT IN FUNCTION.**
Using the intrapulmonary mixing regional patterns of dysfunction have been found. Table XIV shows these patterns, the number of patients in whom they are displayed and the coding which will be used for reference. Only 10 patients (20%) in Group I have one or both lower zones with normal intrapulmonary mixing. Twenty-six patients (52%) have both lower and middle zones affected and the remaining 14 patients have the lower zones with or without one middle zone with poor mixing.
**RELATIONSHIP BETWEEN REGIONAL AND TOTAL LUNG FUNCTION.**
The impairment in regional function will be described as coded in Table XIV where 4 approximately equal groups of patients with different patterns have been chosen according to the regional findings.
Table XV shows the mean values, ranges and standard deviations of the total lung function tests in each group of patients with regional impairment patterns. The group which differed from the others significantly contained those patients with one or both lower zones with a normal D.D.I. (221/220) in the following ways:
1) The F.E.V₁ is higher. (Highly significantly different from 022 and 002).
2) The PaO₂ at rest is higher. (Probably significantly different from 222/122 and 022). (i.e., when both middle and lower zones have a low D.D.I. ± upper zones).
3) The PaO₂ after exercise is higher (Significantly different from 222/122 and 022, i.e., same groups as (2)).
4) The VD/VT is smaller (Probably significantly different from 022. i.e., when both lower and middle zones have a low D.D.I. but the upper zones mix normally).
**DISCUSSION**
The most interesting functional aspect of these emphysematous patients is not the serious degree of regional and total impairment in function of the majority, but the lack of these findings in several who undoubtedly had radiological evidence of emphysema. Many authors have reported poor expiratory flow rates, large static lung volumes, reduced diffusing capacity and disturbances in the blood gases in patients with emphysema. (Baldwin, Courmand,
and Richards, 1959; Bates, Knott and Christie, 1954; Williams and Zohman, 1959; Ogilvie, 1959; Williams and Seriff, 1963; Thurlbeck, Fraser and Bates, 1965; Burrows, Fletcher, Heard, Jones, and Wootliff, 1966; Nash, Briscoe and Cournand, 1965).
In all their cases there was evidence of severe airways obstruction, probably because airways obstruction was one of the main requirements for selection for study (Burrows, Fletcher, Heard, Jones and Wootliff, 1966; Nash, Briscoe and Cournand, 1962; Baldwin, Cournand and Richards, 1949). Also, generally speaking in studies done before the Ciba Symposium (1959) the diagnosis of emphysema was made on the purely clinical grounds of unremitting constant dyspnoea and irreversible chronic airways obstruction. By choosing to accept the radiological evidence of emphysema as the basis of the diagnosis in this study, it was not necessary for the patients to have severe airways obstruction.
Ebert and Pierce (1963) discarded the radiological evidence of emphysema "because it does not accurately define the pathologic appearances in emphysema". There is good reason to consider now that the radiological features are well related to morbid anatomy (Laws and Heard, 1962; Reid and Millard, 1964; Thurlbeck, 1963; Thurlbeck, Fraser and Bates, 1964; Burrows, Fletcher, Heard and Wootliff, 1966; Nicklaus, Stowell, Christiansen and Renzotti, 1966). Despite this, Bates and Christie (1964) concluded that "impaired ventilatory flow rates, abnormal inert gas distribution
and impairment of the exercise steady state diffusing capacity must be present before the clinical diagnosis of pulmonary emphysema can be made". There is therefore a possibility that some authorities would not accept that the patients R.G. (fig.26) P.B., R.P., G.F. and A.H., have pulmonary emphysema. On the other hand there is also evidence which indicates that the diagnosis of emphysema is erroneous on purely clinical and physiological grounds because of the resemblance to chronic bronchitis and bronchiolitis (Simpson, Heard and Laws, 1963; Hentel, Longfield, Vincent, Filley and Mitchell, 1963). Indeed, this was one of the main reasons for the Ciba Guest Symposium (1959). In my opinion, the patients in Group I fulfil the Ciba Symposium definition for "clinical emphysema" despite the absence of severe airways obstruction in some of them.
Several clinically and radiologically recognizable forms of pulmonary emphysema have been described by different authors (Bates, 1959; Richards, 1960; Bates and Christie, 1964; Reid, 1965). Among them compensatory emphysema, single demarcated bullae, unilateral transradiancy and multiple bullous emphysema (described as paraseptal by Reid, 1965), have been reported to be unaccompanied by severe airways obstruction. The radiological appearances of the five patients without airways obstruction do not resemble any of these categories. In each case the vascular changes in the radiograph were mainly in the upper and middle
zones but they were of similar extent and distribution to that found in other patients with severe airways obstruction, so as to be radiologically indistinguishable. However, as illustrated in the previous chapter, the normal size of the zonal vessels in the radiograph is not always a very good guide to function particularly when chronic bronchitis is present. When regional function is compared to total function the decisive factor seems to be the function of the lower zones.
It has been shown that patients with one or both lower zones with normal intrapulmonary mixing have a significantly different arterial oxygen tension after exercise from patients with other patterns of regional dysfunction. This is probably simply a reflection of the volume of functioning lung tissue capable of gas exchange in the lower zones compared with elsewhere. Nevertheless, it is of importance as it illustrates that the regional distribution of functional disturbance in the emphysematous lung influences the overall ventilation-perfusion ratio which to my knowledge has not been shown before. Although Bentivoglio, Beerel, Stewart, Bryan, Ball and Bates (1963) stated that "the blood gases in general are more markedly abnormal both in frequency and degree in patients with generalised disease", they did not measure the arterial oxygen tension at rest or after exercise in the emphysematous patients in whom the regional studies had been done.
The failure of the $P_{aO_2}$ in 22 out of 33 patients to rise with exercise agrees with the data of Jones (1966) who found that 6 out of 9 emphysematous patients $P_{aO_2}$ fell by a mean of 11.6 mm.Hg. with exercise. He had a superior technique for standardising exercise and measuring blood gas exchange during exercise, nevertheless he also observed that the change in the $P_{aO_2}$ with exercise bore little relation to the resting $P_{aO_2}$, which agrees with the present study.
As Jones (1966) pointed out the lung destruction in emphysematous alveoli has presumably led to a relatively fixed abnormality in their ventilation-perfusion characteristics. Briscoe and Nash (1965) have shown that in a slowly ventilated space with a very low ventilation-perfusion ratio (below 0.1) the saturation of the blood coming from the space is low and relatively insensitive to changes in this ratio. However, it is very sensitive to changes in the saturation of the mixed venous blood. During exercise the mixed venous blood saturation will fall as oxygen consumption increases and in the emphysematous patient the enlarged alveoli will act like a venous arterial shunt. Consequently, the arterial oxygen tension falls. However, if there are a sufficient number normally ventilated and perfused alveoli whose $V_A/Q$ ratio is not so low or fixed, the ventilation-perfusion ratio in these alveoli will increase with exercise sufficiently to counteract the effect of the shunt produced by the abnormal alveoli resulting in either a small rise or similar
PaO₂ immediately after exercise compared with the resting level.
It is the relative number of affected alveoli compared with the number of more normal alveoli which will determine the hypozaemia of a patient with a ventilation-perfusion inequality with exercise and not necessarily the spatial distribution of these alveoli. However, as there are more and smaller alveoli with a larger surface area per unit volume in the lower zones than in the upper zones (Glazier, Hughes, Mahoney, Pain and West, 1966) the normality of intrapulmonary mixing in the lower zones is of greater importance to overall gas exchange.
Before considering the ventilation-perfusion relationship in the emphysematous lung there are several points to bear in mind concerning the V and Q indices. Both are measured when 'looking' at a large number of alveoli, the ventilation and perfusion of which are summated. There is no guarantee whatsoever that the gas and blood 'seen' in these zones meet one another in the alveoli. Even in the normal lung the ventilation-perfusion ratios vary from 0·7 to 2·0 and in the emphysematous from 0·05 to 3·0 (Briscoe and Cournand, 1962), so there is considerable variation at the alveolar level. The assessment of V and Q indices obscures these variations in different alveoli by summation.
Secondly, during a single breathholding manoeuvre (which is a maximal inspiration) as Briscoe (1962) pointed out there is
doubt whether the ventilation and perfusion measured bears any relation to that during normal breathing. Armitage and Arnott (1949) have shown an increase in oxygen consumption during the first deep breath and Nadel and Tierney (1961) have shown that deep breathing decreases the airways resistance. Various changes in the blood circulation during breathholding have been described by Mithoefer (1965).
For these reasons the V and the Q indices themselves are of doubtful value in portraying the ventilation and perfusion in different zones under normal circumstances. Nevertheless, despite these reservations it appears that the V and the Q indices are roughly matched and that generally the underventilated zone is also underperfused. This is in agreement with the observation of the morbid anatomy of the emphysematous lung by Laennec (1821) when he said it looked pale. It also agrees with the findings of Bentivoglio, Beerel, Stewart, Bryan, Ball and Bates (1963) using $^{133}\text{Xe}$.
It is possible theoretically to derive zonal $\frac{VA}{Q}$ ratios based on the V and Q indices if a number of assumptions are made. First, that the fields of the anterior, posterior and adjacent counters overlap so that all of both lungs are surveyed and secondly, that the blood and gas 'seen' actually meet at the alveolar level. A value for the cardiac output can be assumed and the alveolar ventilation measured. These are shared out
between the zones according to the V and Q indices and by interpolation and reference to the oxygen and carbon dioxide dissociation curves and V/Q diagram (West, 1966), predicted alveolar and arterial gas tensions can be gained. Surprising similarity in some patients between the predicted and observed arterial gas tensions has been found but there is a very large discrepancy in others. This is due both to the gross assumptions made and the lack of homogeneity of ventilation and perfusion at the alveolar level which as indicated before is not portrayed by the V and Q indices. Calculations of the zonal VA/Q ratios have not been included in this thesis for these reasons. Moreover, as little stress as possible has been laid on the indices measured during breathholding and instead the dynamic distribution indices have been used to evaluate the regional function of the lung.
In conclusion, these findings have shown that it is possible to have radiological evidence of emphysema involving the upper and middle zones of the lung with little airways obstruction or disability. The distinguishing feature between those patients and those with severe airways obstruction but similar radiological features lies in the function of the lower zones. In addition, a significantly different degree of hypoxaemia after exercise has been observed in patients with one or both lower zones with normal intrapulmonary mixing compared with those who have poor mixing throughout the lung.
"we are met at the outset by the fact that most of these patients suffer from manifest bronchitis also..... we cannot disentangle the symptoms of the two diseases so as to be able to say "This is due to emphysema and this to bronchitis...".
Samuel Jones Gee, Lumleian lecture to Royal College of Physicians, London (1899).
Chronic bronchitis, like emphysema, gives rise to airways obstruction. Just how much each disease contributes separately to the functional disturbances in the lungs and heart is very difficult to determine when they occur in the same patient. A reasonable approach to this problem is to study those patients who are severely disabled by apparently only one of these diseases and perhaps some differences in the pattern of clinical and physiological findings will be discernible.
One outstanding study recently has been done in an effort to do this, (Fletcher, Hugh-Jones, McNicol and Pride, 1963). Sixteen patients were selected with severe obstruction of the airways (F.E.V. < 1 litre). They were divided into groups according to the presence of productive cough and the appearance of emphysema on a chest radiograph. Four patients who had the radiographic changes of emphysema but no productive cough were found to be tall and thin, to have little tendency to definite heart failure and no evidence of right ventricular
hypertrophy on an electrocardiograph. The total lung capacity was increased and the single breath diffusing capacity, when divided by the lung volume, $D_{LCO}SB/V_A$, was decreased. On the other hand 7 patients with normal chest radiographs who complained of a productive cough were of normal build. Compared with the first group, these 7 patients had a higher haemoglobin concentration and packed cell volume, a greater incidence of heart failure and evidence of right ventricular hypertrophy. They were more likely to underventilate and become desaturated and hypercapneic, had a normal $D_{LCO}SB/V_A$ and a normal or reduced total lung capacity.
The residual volume was increased in all the patients but more strikingly in the 4 patients with emphysema. The RV/TLC ratio was similar in both groups of patients.
A complete description of their results is not out of place in this chapter as the same approach in selection of patients has been used. The clinical and physiological findings of Fletchey Hugh-Jones, McNicol and Pride (1965) should be duplicated. The reason for repeating their work and presenting the data separately is three-fold. One, although the intention at the outset of this study was to examine patients with emphysema, many of the patients also had bronchitis, so it seemed logical to investigate patients at the other end of the "spectrum of airways obstruction" (Fishman, 1965) using similar techniques.
to complete the picture. In this way it was hoped any differences between the patients with or without bronchitis in Group I which were attributable to bronchitis would be exaggerated. Secondly, there are more patients in each group presented here than in Fletcher, Hugh-Jones, McNicol and Pride (1965) data. The third reason is that it was of interest to investigate regional ventilation and perfusion in patients with chronic obstructive bronchitis.
**SELECTION OF PATIENTS**
All the patients had severe irreversible airways obstruction with an F.E.V.₁ of 1 litre or less.
The first group of 9 patients, 3 females and 6 males, were taken from Group I. Seven of these patients were subsequently subjected to thoracic surgery and the presence of emphysema was confirmed macroscopically. All flatly denied cough and sputum production.
The second group of 7 patients, 2 females and 5 males, were from Group II.
For simplicity, the first group will be called the 'emphysema' group and the second will be the 'bronchitis' group in this chapter.
The two groups comprise patients who, as far as it is possible to tell without pathological examination, have emphysema without bronchitis, and bronchitis without emphysema.
The airways obstruction in each group is comparable and severe.
The detailed radiological findings of the patients in each group are shown in appendix II. Although these form part of the criteria for entry into these selected groups it is worth noting several radiological features in the bronchitic group. With one exception, none of the diaphragms were flat or low. In 6 patients there was poor diaphragm movement. In 2 patients there was an increased depth of the retrosternal space on a lateral film, one of these had kyphosis which may explain this finding. The transverse diameter of the heart was 12·5 cms. or more in all cases; 2 were judged to have enlarged hearts. In 4 cases the pulmonary artery was dilated. There was no evidence of inflammatory changes of any kind in the bronchitis group.
The combination of large hilar vessels, a dilated pulmonary artery, a normal or enlarged heart, normal sized peripheral vessels and a normal diaphragm in a patient with airways obstruction complaining of a productive cough is called by Dr. Simon "chronic bronchitis gone wrong", (personal communication). He claims that these features are found in a definite proportion of patients who are severely affected by chronic bronchitis (Simon, 1966). Four of these bronchitic patients fell in this category, Figure 41 is a postero-anterior chest radiograph of one of these.
RESULTS
Age, Symptomatic and Historical Enquiry (Table XV):
The groups are of comparable age but the age of onset of breathlessness is 10 years earlier in the emphysema group than in bronchitis. The groups are similarly disabled by breathlessness. All the bronchitic patients, except one, had had at least two episodes of acute respiratory infection in the past three years of sufficient severity to confine them to bed for a week or more, and in all of them except one cough was the first symptom of which they complained. Four had had one attack of heart failure. On the other hand, only 4 of the 9 emphysematous patients had had an acute infection in the past 3 years and 1 had had slight ankle oedema without other evidence of heart failure. The smoking habits of the 2 groups were similar (see Table XVII).
Routine Clinical Investigations:— While there is a tendency for the emphysema patients to be tall and thin it is noticeable that 5 bronchitics were 20 lbs. or more below weight for their height (fig. 42).
Table XVII shows that 3 of the bronchitic group had an increased haemoglobin concentration (> 16.5 gms.%) whereas only 1 of the emphysematous group showed this.
Five of the 7 bronchitic patients had definite evidence of right ventricular involvement and 1 had ischaemic changes.
Four of 8 emphysema patients had a normal electrocardiographic pattern.
Physiological Findings:—Table XVIII shows the means and standard deviations of the lung volumes, diffusing capacity, at rest and during exercise, percentage saturation of haemoglobin, arterial blood gas tensions, alveolar ventilation, minute ventilation and $V_{E}/V_T$ in the emphysema and bronchitic groups. There is no significant difference between these groups when V.C., F.R.C., T.L.C., $RV/TLC$, $D_LCO$ at rest and during exercise are considered. Expressed as a percentage of the predicted value these measurements are illustrated individually in figs. 43 to 47, where it can be seen that there is a large overlap in each of these measurements between the groups.
The vital capacity is decreased in all the patients with the exception of one with emphysema (A.V.M.). All exhibit an increase in the functional residual capacity and all except one bronchitic (R.T.) have an increase in the total lung capacity. The increase in the latter figure is not so great compared with the predicted value as the increase in functional residual capacity.
The diffusing capacity at rest is decreased in all the patients. With exercise it increased in 2 bronchitic patients (F.R. and L.M.) and in 4 of the emphysematous; in none of them did it attain a normal exercise value. One
bronchitic and 3 emphysematous patients were unable to exercise at all; all of these had very low diffusing capacities at rest. The percentage extraction of CO from the inspired gas was the same on the average in both groups, but the lowest values were recorded in patients with emphysema.
Table XVII and fig. 49 show that there is no significant difference between the percentage saturation of oxyhaemoglobin, the PA-PO₂, VD/VT or minute ventilation in the two groups of patients. However, the mean PaCO₂ of the bronchitis group is beyond the upper limit of the normal range at 53.1 mm.Hg., (fig. 48) whereas this mean value in the emphysema group is normal (42.4 mm.Hg.). This difference is highly significant. There is a tendency for the alveolar ventilation (V_A) to be low in the bronchitic group, likewise the PaO₂, however these are not statistically significant. With exercise the PaO₂ rose in two patients in each group. In all the other instances it fell (see fig. 49).
The regional ventilation and perfusion findings in emphysema shown in figs. 50 and 51 are in direct agreement in approximately 80% of instances with the size and calibre of the zonal mid line vessels and the evidence of vascular loss seen on the PA radiograph and tomograms. This relationship has been described in detail in an earlier chapter.
In the 7 bronchitics the lower zones have less perfusion than normal in 5 right lungs and 4 left lungs (fig. 53). The upper zones in all except one patient in the right lung and 2 patients in the left lung are apparently overperfused. Intra--pulmonary mixing was abnormal in the bronchitic patients; (fig. 52) in 11 instances the abnormality was in the lower zone (5 on the right and 6 on the left) and in 9 it was in the middle zone (4 on the right and 5 on the left).
**DISCUSSION.**
These patients were selected because they were at opposite ends of a clinical spectrum of airways obstruction. The most important finding when the two groups are compared is the lack of any clearly cut distinction between the functional effects of severe bronchitis and severe emphysema, with the single exception of the PaCO₂. The physiological picture is apparently dominated by airways obstruction. Perhaps, by choosing to include patients whose disability was about the same, the differences between the two groups have been automatically obscured which may have been more marked if the airways obstruction had been less or if serial observations had been made over a long period. It is a valid criticism of enquiries of this kind that they take little notice of the way in which the loss of function has developed and it is precisely in this respect that chronic bronchitis and emphysema differ most.
**CLINICAL FINDINGS.**
A clear difference between the groups has been shown historically in the length of time the patient has complained
of breathlessness and the incidence of chest infections. This point was not shown by Fletcher, Hugh-Jones, McNicol and Pride, (1963). Those patients with emphysema have a long history of breathlessness which gradually becomes worse and this is almost certainly the reason they are more frequently found in hospital practice.
Although there was a tendency for the patients with emphysema to be tall and thin, as commented upon in a previous chapter, it is noticeable that there was also a tendency for the patients with bronchitis to have lost weight. This latter is a point not usually emphasised.
The higher haemoglobin level in the bronchitic group agrees with a similar finding by the other workers (Fletcher, Hugh-Jones, McNicol and Pride, 1963; Nash, Briscoe and Cournand, 1965).
**STATIC LUNG VOLUMES**
The lack of any obvious or significant difference in the static lung volumes between the groups is at first sight surprising. Many investigators have reported that the T.L.C., RV/TLC and F.R.C. are increased in emphysema but only Fletcher, Hugh-Jones, McNicol and Pride (1963) have investigated "pure" bronchitis when the airways obstruction was so severe. The T.L.C. was increased in both groups of patients studied and the range of values was similar. Although there was a tendency for the F.R.C. to be greater in the emphysematous group it was
also considerably increased beyond the predicted normal value in 6 of the 7 patients with chronic obstructive bronchitis.
The increase in the F.R.C. and T.L.C. in these patients is probably a result of severe airways obstruction and this would apply whether the airways obstruction was coexistent with destruction of the lung tissue as in emphysema or not. In this connection it is interesting to note the radiological evidence of 'overdistension' (low flat diaphragm and increased retrosternal space) is absent in patients with bronchitis with one exception. This suggests that the lungs could enlarge further in these patients but does not do so. There are good reasons why this should be the case. In emphysema the distension of the lungs seen radiologically is a reflection of gross loss of lung tissue which in turn makes the lungs more easily distensible even if the tissue which remains contains the normal population of elastic fibres. In these circumstances the opposing pull of the chest wall structures stretches the lung until at the new lung volume it is precisely balanced by the tendency of the lungs to collapse. This train of events is especially apparent radiologically in the low position of the diaphragm. In bronchitis, uncomplicated by emphysema, there is no loss of lung tissue and the increased F.R.C., R.V. and T.L.C. are purely an effect of airways obstruction which does not necessarily render the diaphragms flat although it may hinder the diaphragm movement with respiration.
DIFFUSING CAPACITY.
The steady state diffusing capacity at rest and after exercise did not differentiate between the bronchitic and emphysematous group. Fletcher, Hugh-Jones, McNicol and Pride, 1963, and Burrows, Kasik, Niden and Barclay, 1961, have shown that the single breath method of measuring diffusing capacity when it is divided by the lung volume gives low values in emphysema and normal values in bronchitis. First let us consider the differences between the two methods. Cadigan, Marks, Ellicott, Jones and Gaensler (1961) have shown experimentally that the ratio of the single breath diffusing capacity ($D_{LCOSS}$) to the steady state diffusing capacity ($D_{LCOSS}$) is directly related to increasing unevenness of distribution of inspired gas as measured by nitrogen washout curves in patients with airways obstruction. This implies that an important fraction of the decrease in $D_{LCOSS}$ is due to uneven distribution of inspired gas itself. It does not necessarily reflect lung tissue destruction or a decrease in alveolar capillary exchange surface area where there is gross unevenness of distribution present. Even in emphysema the $D_{LCOSS}$ has been shown to bear an inverse relationship to the amount of emphysema present pathologically in the lung slice (Williams 1965). In patients with severe airways obstruction whether it is due primarily to bronchitic or alveolar pathology
the uneven distribution will be similar and the effect of this may predominate using the steady state method.
An additional factor is that a raised alveolar pCO₂ has been shown to increase the D_LCO SB (Rankine, McNeill and Forster, 1961). This occurs only in the bronchitic group and could have only a negligible effect. It could not account alone for the differences between the two groups in Fletcher's (1965) data. The effect of the alveolar pCO₂ on the steady state method is less clear because of the associated increase in minute ventilation (Forster, 1965).
These reasons are sufficient to explain why the single breath D_L should be affected less in bronchitis than in emphysema and why the steady state D_L does not display any differentiation between the two groups of patients.
Bates, Knott and Christie (1956) found that the steady state diffusing capacity was normal in patients with chronic bronchitis. This report appears to directly contradict the present data. However, their patients were selected because of "a definite history of recurrent winter bronchitis without constant dyspnoea on exertion". The mean vital capacity was higher in their study than in the present one and there was no evidence of really severe airways obstruction. Presumably, therefore, their subjects did not have a similar degree of unevenness of distribution of inspired gas and therefore are not comparable to the group of bronchitic patients presented here.
The outstanding and only prominent physiological abnormality found in bronchitis which differed from the emphysema group was the raised arterial pCO₂. This finding is frequently considered to be synonymous with alveolar hypoventilation and indeed separate measurement of alveolar ventilation confirmed that there is alveolar hypoventilation in this group of bronchitics. This agrees with other investigators, (Plotcher, Hugh-Jones, McNicol and Pride, 1963; Smart, Naimi and Capel, 1961).
The highly significant difference in the PaCO₂ between these small groups of patients agrees with the significant difference already described in the previous chapter in all the patients in Group I with or without bronchitis. We are now in a position to explore further the relationship between the F.E.V.₁ and the PaCO₂ in patients in Groups I and II.
Fig. 54 shows these values in patients from Group I who had no bronchitis and all the patients in Group II. It seems that the F.E.V.₁ can be very much less in the former group without hypercapnia than in the latter; if a curve was drawn by eye between the points in each of these groups the bronchitic curve would lie above and to the right of the curve representing the emphysematous patients. Fig. 55 shows the F.E.V.₁/PaCO₂ relationship in the patients in Group I with bronchitis. A curve representing these points would lie approximately between
those from fig. 54, tending towards the Group II patients above the normal range of $P_{a}CO_2$ and towards the Group I patients with no bronchitis when the $P_{a}CO_2$ were normal. There is obviously a wide scatter round these imaginary curves but nevertheless it is striking that only those patients who have bronchitis have hypercarbia and none who denied having a productive cough have a raised $P_{a}CO_2$ and it seems to me that the patients represented in fig. 54 have a different F.E.V.1/$P_{a}CO_2$ relationship from each other.
Burrows, Strauss and Niden (1965) have computed this relationship in 175 patients with chronic airways obstruction but attempted no separation of the patients with or without bronchitis. The wide scatter in their data is represented by a correlation coefficient of 0.47 and they found a curved regression line ($P_{a}CO_2 = \frac{11.5}{FEV_1} + 30.7$) to be the best fit. The scatter they showed is shown especially well in the patients in fig. 55 and because they draw a curved line I have felt justified in considering the data in this way even with such flimsy evidence.
Howell (1966) has suggested that the raised $P_{a}CO_2$ found in some patients with an F.E.V.1 of more or slightly less than 1 litre contrasted with a normal $P_{a}CO_2$ in other patients with an F.E.V.1 of 500 ml. or lower, is mainly due to a difference in the sensitivity of the respiratory apparatus to $CO_2$. In addition he has shown that there is an increase in viscous
work in response to a CO₂ load in some patients with chronic airways obstruction and not in others despite a similar ventilatory response to CO₂. Dornhorst (1955) could not explain why some patients retained full sensitivity to CO₂ while others did not, but pointed out that those who are not sensitive to CO₂ suffer "an early and gross decline". As the difference between the two groups of patients selected for this chapter lies in the PaCO₂ and as the course of the chronic obstructive bronchitic's illness is one of repeated bouts of chest infection and heart failure it is tempting to consider that they have lost some central sensitivity to CO₂.
REGIONAL FUNCTION IN BRONCHITIS.
The poor intrapulmonary mixing and the smaller share of perfusion than normal in the patients with chronic obstructive bronchitis in the middle and lower zones is a most interesting finding. To my knowledge this has not been previously reported. There are several possible explanations which I will now enumerate.
Hypersecretion of bronchial mucous coupled with diminished activity of the ciliary apparatus in chronic bronchitis results in mucous accumulation in the bronchi. This will probably gravitate to the small bronchi of the lower zones obstructing these dependent parts in a patchy fashion causing poor intra-pulmonary mixing. The situation may well be aggravated by the
chronically damaged bronchial walls from previous infections.
An added factor is the recent finding by Glazier, Hughes, Mahoney, Pain and West (1966) of smaller more numerous alveoli at the bases of the upright lung per unit of lung volume compared with the apices. They also suggested that the air passages are smaller and more numerous at the bases than their apical counterpart. As smaller bronchi and bronchioles are more liable to be completely or partially obstructed with a small quantity of mucous this is another reason why the mixing in the lower zones should be preferentially impaired.
The lower share of perfusion in the middle and lower zones may be caused by vasoconstriction consequent on low oxygen tension locally. Cournand (1957) and Himmelstein, Harris, Fritts, and Cournand (1958) have demonstrated this mechanism in man. Sackner, Will and Dubois (1966) have shown that the site of this vasoconstriction is the greater portion, if not the entire pulmonary arterial tree, in dogs. These investigators were concerned with overall anoxaemia and not the local effects in one or other region of the lung. However, Briscoe and Cournand (1964) have shown that the slowly ventilated space in patients with chronic airways obstruction is also poorly perfused so if these slowly ventilated spaces were at all localised in the lung it is possible that the vasoconstriction would also be localised to that segment of
the pulmonary arterial tree.
It is interesting when considering the regional $P_{aO_2}$ to note that in the normal upright lung it is much lower (89 mm.Hg.) at the base of the lung that it is in the uppermost part (132 mm.Hg.) (West, 1962). Presumably the pulmonary arterial tree is acclimatised to these topographical differences. However, if the vasoconstriction mechanism was a response to an overall drop in $P_{aO_2}$ it is strange that the bases only should be affected if they are normally at a lower $P_{aO_2}$. Indeed regional $P_{aO_2}$ differences would seem to exclude this possibility.
It should be borne in mind that the normal ranges of the Q index are wide and a large population of alveoli are being surveyed by each counter, but more in the lower than in the upper zones. An overall vasoconstriction may be truly affecting all zones but is only being shown in the lower zones by the method used.
Another homeostatic mechanism which may be responsible for the decreased perfusion, where there is poor ventilation, can be demonstrated in animals (Leibow, 1962) by simple prevention of cyclic respiratory movement by local pressure. The moving lung acts as a pump normally. It may well be that movement of the bases of the lungs is impaired in bronchitis, certainly in the patients studied, 6 of them had poor diaphragm movement.
There is the possibility that despite the absence of radiological evidence of emphysema in these bronchitic patients that mild emphysema (panacinar grades 1 and 2) is actually present and distributed uniformly throughout the lungs (Reid and Millard, 1964).
In this event both the poor ventilation and perfusion would be explicable as a mild disturbance in these functions would be more evident in the middle and lower zones due to the fact that there is more functioning lung tissue in these regions than in the apices.
COMPARISON WITH OTHER STUDIES OF AIRWAYS OBSTRUCTION.
Patients with chronic bronchitis and emphysema who suffer from respiratory insufficiency have been described by Fishman (1965) as a "most perplexing" group. One of the reasons they are so has been shown in this chapter. Patients who have severe airways obstruction evidently stemming from only one of these diseases have been found to display no functional differences which would be of any clinical application except the PaCO₂. This does not deny the existence of the distinguishable types of functional disturbance described by Baldwin, Cournand and Richards (1959) and Ogilvie (1959) but the diseases as known and recognised clinically as emphysema and chronic bronchitis do not necessarily coincide with the described patterns of dysfunction.
To a certain extent other investigators have solved this problem with a mixture of clinical, radiological and functional criteria (Nash, Briscoe and Courmand, 1964; Burrows, Niden, Fletcher and Jones, 1964). The latter group have divided all the patients with chronic irreversible airways obstruction with two main groups; Type A and Type B. A patient is called Type A if there is radiological evidence of attenuation of the peripheral vessel pattern or with a normal radiograph, severe airways obstruction, no hypercapnia, a reduced $D_lCO\frac{SS}{VA}$ and a normal or increased T.L.C. The Type B patient has no vessel changes on the radiograph and at least three of the following:-
1) More than 10 ml. sputum daily.
2) $P_aCO_2 > 6$ mm.Hg. above a predicted value from the F.E.V.$_{1}$ described by Burrows, Strauss and Niden (1965).
3) Evidence of "inflammatory changes" in the chest radiograph.
4) T.L.C. < 100% of the predicted value.
5) A normal $\frac{D_lCO\frac{SB}{VA}}{}$
6) Recurrent or chronic heart failure due to persistent cor pulmonale.
Type A patients have been shown to have widespread emphysema at autopsy while there is much less in Type B, (Burrows, Jones, Heard and Wootliff, 1966). These types have been described as "emphysematous" and "bronchial" types of airways obstruction but the authors point out that a Type B patient is not necessarily
one suffering from chronic obstructive bronchitis. The patients in Group I in this study all fulfill the criteria for Type A because they have radiological evidence of emphysema, however it is unlikely that the patients in Group II could be classified as Type B with the criteria established. None had evidence of inflammation on the chest radiograph, only one had a T.L.C. below the predicted value (98%) and none had a PaCO₂ which was sufficiently raised. Five had cor pulmonale. Thus, even if sputum volume had been measured and the single breath D_L had been used, all the patients would have had to produce > 10 ml. of sputum daily and have a normal \( \frac{D_L}{V_A} \).
For these reasons the steady state D_LCO measurements in these bronchitic patients cannot be compared with that of the Type B patients at rest and during exercise presented by Bedell and Ostiguy (1966); nor can the arterial blood gas results at rest and exercise described by Jones (1966) be compared with the present study in the bronchitics. However, it can be said that the lack of rise with exercise in the steady state diffusing capacity and the PaO₂ in patients with emphysema in this and the previous chapter agrees with their findings in Type A patients.
In conclusion, this comparison between selected patients with severe airways obstruction caused by evidently bronchitis on the one hand and emphysema on the other, has confirmed that the presence of hypercarbia is associated with chronic bronchitis. There were no other obvious differences functionally displayed.
in those patients and the physiological findings of Fletcher, Hugh-Jones, McNicol and Pride (1963) were not duplicated; in particular the static lung volumes and $P_{aO_2}$ were not significantly different. Chronic bronchitis has been found to be associated with poor ventilation and perfusion in the middle and lower zones of the upright lung.
In 1965 Knudson and Gaensler (1965) in an excellent review on this subject pointed out that although little space in textbooks has been devoted to it, a large variety of surgical procedures have been employed in emphysema in the last 40 years. These were aimed at interfering with different aspects of the disease, from the shape of the chest wall to the nerve and blood supply of the lung. Diaphragm roofing, transverse sternotomy, costochondrectomy, resection of the glomus caroticum, hilar denervation procedures, pleurectomy and poudrage have all been used but none with constant or dramatically favourable results. More attention has been paid to 'air spaces' whether demarcated or not radiologically than to any other aspect of emphysema by thoracic surgeons and it is this approach which has been used in the patients I have studied.
Very large isolated demarcated bullae are particularly amenable to surgery but Ogilvie and Caterall (1959) showed that the bulla must occupy more than half a hemithorax before there is a remediable functional effect in the presence of otherwise normal lung. The functional alteration after removal of a large air space has been found to be largely dependent on the condition of the remaining lung and to a
lesser extent upon the size of the air space and degree to which it compresses the surrounding lung substance (Laurenzi, Turino and Fishman, 1962).
Encountered much more often than a single giant bulla is a smaller demarcated bulla which is only a local exaggeration of surrounding emphysematous change or an area of hypo or avascularity which may not be demarcated but appears radiologically localised. The criteria for surgical treatment in this type of patient have yet to be evaluated and it is with this type that I have been principally concerned.
The reason for performing any operation on patients with this kind of emphysema is an attempt to relieve the undue breathlessness which occurs. The question is, is the function of the lung improved in any way? Removal or reduction in size of the 'air space' does not alter the nature of the disease which is essentially destructive, or its course which appears in many cases to be gradually progressive. Neither will it alter bronchospasm or hypersecretion of the bronchial mucosa. Theoretically, one favourable effect may be to so alter the mechanics that the relaxation pressure in expiration of the rest of the lung will be greater and there will be less tendency for the airways to collapse (Campbell, 1958; Hugh-Jones, 1963). This would lessen the degree of airways obstruction. Another effect might be to reduce the physiological
dead space (Hugh-Jones, Ritchie and Dollery, 1966) and thereby allow more efficient gas exchange. Siebens, Grant, Kent, Klopstock and Cincotti (1957); and Jensen, Miscall and Steinberg (1961) thought that compression of surrounding lung contributed to the functional disability and if this was relieved overall function would be improved. This latter hypothesis is in doubt as Davies, Simon and Reid (1966) have shown that subjective improvement is recorded in patients with or without displacement of fissures and crowding of intrapulmonary structure visible radiologically. None of these effects will necessarily alter the symptom of breathlessness, the exact cause of which is unknown.
Determining the results of surgery in these cases is hampered by imprecise definition of the extent of the disease being treated and a lack of post operative evaluation in other than subjective terms. The application of physiological tests to assess the value of surgery has been largely ignored by surgeons (Knudson and Gaensler, 1965). When careful studies have been made the results were inconclusive, (Tabakin, Adhikari and Miller, 1959). However, in some patients there has been a striking improvement as measured by lung function tests and blood gas studies (Hugh-Jones, Ritchie and Dollery, 1966).
In this situation, a careful pre and post operative clinical, radiological and physiological assessment of a few patients with emphysema has been carried out with the aim of
comparing the subjective and functional effects of surgery and with the data to evaluate criteria for selection of these patients for surgical treatment. It was hoped also that the regional function technique would assist in defining the extent of the disease present and that the surgical findings might help in assessing the accuracy of this localisation.
**ADDITIONAL METHODS.**
Fourteen patients, 3 females and 11 males, who received surgical treatment for emphysema (Group Ia) were studied 6 months or more after operation. The operations performed were either 'plication' or lobectomy; the latter was done in only 2 patients (W.Sh. and A.V.M.). The 'plication' operation consists essentially of progressive ligation of bullous lung after the air has been expelled by pressure. No lung tissue is removed. The surgeon does not confine himself to one lobe of the lung but attempts to reduce the volume of any likely bullae.
The post operative grade of breathlessness was reassessed with the M.R.C. questionnaire and any decrease was used as an indication of subjective improvement.
Regional lung function was measured with the counting heads placed in the same positions as those used prior to operation, using the tracing of the chest radiograph taken at the time as a guide.
RESULTS.
Pre Operative Assessment and Subjective Improvement.
The mean age of the patients was 53.2 years, the oldest being 64 years and the youngest 39 years. All except one (H.B.) had radiological evidence of emphysema. Six had clinical evidence of chronic bronchitis and 5 had the electrocardiographic changes of cor pulmonale. One patient (G1.H.) had 2 thoracotomies with a 12 month interval between operations. The other patients had only one thoracotomy. Nine patients had grade V breathlessness before operation; 3 had grade IV; 1 grade III and 2 grade II. Six patients fulfilled the criteria for generalised emphysema radiologically and 7 were judged to have only localised emphysema. Six patients had demarcated bullae on the radiograph, but only 3 had evidence of compression.
The relationship between these findings and subjective improvement is shown in tables XIX and XX. For convenience the patients are arranged in order of the subjective improvement in these and all other tables in this chapter. Three patients were improved by three grades of breathlessness, 4 by two grades and 3 by one grade. Five patients felt no better after surgery.
It can be seen that 4 patients with chronic bronchitis felt less breathless whereas 2 did not. Of the 8 patients without bronchitis, 6 showed some subjective improvement. Two of 5 patients with cor pulmonale improved subjectively. The 3 patients who had grades II and III breathlessness before
operation did not feel less breathless. Another 3 with grade IV breathlessness felt better and of 9 patients with grade V breathlessness only 2 did not show some subjective improvement.
Of the 3 patients who had radiological evidence of compression of the lung by a bulla, only 1 showed subjective improvement. Three of the 6 patients with demarcated bullae showed a definite subjective improvement of 2 grades or more, 2 felt one grade less breathless and 1 felt no better after surgery.
Seven operations were done on 6 patients with generalised emphysema. Five were subjectively improved. There was no obvious difference in the subjective outcome if the emphysema was localised.
Table XX shows that the predominance of emphysema by radiological methods was in the middle and/or lower zones in 10 patients. There was no obvious difference in the subjective result of operation depending on the distribution of the emphysema. The $^{133}$Xenon findings confirmed the predominantly affected radiological zone in every patient. In addition, the regional dynamic distribution index was found to be low in some zones in 11 patients who had normal mid lung vessels on the radiograph. In 5 patients there was evidence of vascular loss radiologically in a zone which did not show any abnormality of the dynamic distribution index.
Table XXI shows the vital capacity and F.E.V.₁ before operation and change in these measurements after operation. The highest F.E.V.₁ before operation was 1050 ml. and the lowest 250 ml. The mean F.E.V.₁ was 696 ml. In 4 patients the F.E.V.₁ increased by 200 ml. or more and in 4 the F.E.V.₁ was reduced after operation. All had an $\frac{\text{F.E.V.}_1}{\text{F.V.C.}}$% of lower than 44% and therefore had evidence of severe airways obstruction. The vital capacity was only 60% of the predicted value or less in 8 patients but was nearly normal (i.e. 90%-100%) in 2 patients. The vital capacity increased 0·20 l. or more in 7 patients but fell in 4 patients after the operation.
The functional residual capacity and total lung capacity before and after surgery are shown in Appendix II. In 7 patients the F.R.C. was more than 150% of the predicted value. In only one patient was it below predicted value (E.S.). This patient had large barely communicating demarcated bullae, so the helium dilution method probably underestimated the F.R.C. After operation in 5 patients the F.R.C. was reduced by more than 0·40 l. and in 5 patients the F.R.C. increased. The highest T.L.C. was 142% of the predicted value and the lowest 71% (E.S.). Seven patients had a T.L.C. of between 100% and 130% of the predicted value. All post operative changes in the T.L.C. were in the same direction as the change in F.R.C.
with the exception of E.S.
The values of diffusing capacity and arterial blood gases before and after operation are shown in Appendix II. The $D_LCO$ in every patient was below the expected range. In no patient did the $D_LCO$ change by more than 3-0 units post operatively and this is within the repeatability range of the test.
All the patients had a slight to moderate degree of hypoxaemia at rest before operation (mean $PaO_2 = 73 \text{ mm. Hg.}$). After surgery this rose in 7 and fell in 2 patients. Only 4 patients agreed to exercise before operation and the $PaO_2$ fell in every case. Twelve exercised after surgery and in 11 the $PaO_2$ fell. Comparison of the change in $PaO_2$ before and after surgery with exercise in 4 patients showed that 2 (E.Sh. and J.W.) had a similar decrease in $PaO_2$; in one, T.P., it fell less after surgery and in one, A.S., it fell further. The $PaCO_2$ was raised in 1 patient (T.P.) and it fell after surgery by 9 mm. (This patient suffers also from chronic bronchitis so it is possible that the lability of the $pCO_2$ in this disorder was the reason for the high pre operative value). In no patient was the $PaCO_2$ outwith the normal range after surgery.
The results of regional lung function studies before and after surgery are shown in Appendix II. In every patient the D.D.I. was below normal limits in the zone of the lung
treated surgically. In 5 patients there is an increase of more than 10 units after operation in that zone and also in the adjacent zone. In only one patient was there deterioration of similar degree (Geo. H.). In 11 patients there was a low $Q$ index in the operated zone; these were all lower zones. After operation, this had improved in 5 patients.
**Subjective Improvement and Objective Findings.**
Figs. 58-63 compare the subjective improvement with the change in the F.E.V.$_1$, V.C., F.R.C., resting $P_{AO_2}$ and D.D.I. in the operated zones, the zone adjacent to operation and the sum of both these zones between the pre and post operative values. The relationship between the F.E.V.$_1$, F.R.C. and subjective improvement is not convincing when the repeatability and errors inherent in these tests are considered. In each of the 7 patients who had a subjective improvement of 2 grades of breathlessness or more the vital capacity increased by more than 200 ml. The resting $P_{AO_2}$ evidently bears little relation to the subjective improvement. However, the mixing indices in the zones which received surgical attention do show an increase in keeping with the patients subjective reports. It is not meaningful with so few patients and so many variables to apply a statistical analysis.
Radiological Changes After Surgery.
Only one patient (R.K.) showed an improvement in the size of the mid line vessels in the lower zone after a plication. This was described by Dr. Simon as "a marvellous improvement". The tomographs before and after surgery are shown in fig. 56 and 57. The peripheral vessel loss recorded pre operatively was no longer evident in 5 patients after operation.
Of the 6 demarcated bullae present before operation: 2 were reduced in size (E.Sh. and A.S.), 2 were removed completely (Geo. H. and W.P.), 1 remained unchanged (A.V.M.), and 1 was replaced by 2 smaller ones (T.P.). Four patients acquired demarcated bullae where previously there were none evident (E.Pl., W.Sh., J.W, and Gl.H.).
Surgical Findings.
In 12 patients the surgical findings at operation have been compared with the radiological opinion and the regional ventilation and perfusion data. Both these methods defined the location of the most severely affected zone of the lung in every case. There was disagreement between the radiological and physiological findings when the other zones less affected by emphysema were considered; this occurred in 7 cases.
In the light of observation during operation the $^{133}$Xenon technique had indicated the presence of macroscopic emphysema in 5 instances and the radiology in 2.
Morbidity and Mortality.
Five patients suffered from the following illnesses in the immediate post operative period, viz:-
Air leak from plicated lung,
Cardiac arrhythmia,
Calf vein thrombosis and shingles,
Pleural effusion and collapse,
Pneumonic consolidation.
No patients required tracheostomy or artificial ventilation.
One who is not presented in this section (J.McM.) died 3 months after the operation with staphylococcal pneumonia and therefore was not assessed post operatively. One other patient (Geo. H.) died 15 months after surgery at home, said to be due to coronary thrombosis and "asthma". The first patient who died had bronchitis in addition to severe emphysema but the second denied having a productive cough.
DISCUSSION
From a clinical standpoint and as a result of observation of these patients during walking, climbing stairs and conversation there is absolutely no doubt in my mind that the patients who claimed "subjective improvement" of 2 grades or more benefited from the operation. This is almost half the number who received surgical treatment. It is appropriate to record their remarks after the operation here as I think they give a possible clue to the reason they acquired increased exercise tolerance. Several said it was "easier to breathe", and one
that "the sense of discomfort has gone from my chest and breathing is not such an effort now". Three patients who had been breathless for many years said that they no longer got breathless when they were excited and added that they now did not worry about their breathlessness. Breathlessness is a subjective sensation, the specific stimulus for which is unknown. In general terms, it is probably a response to a sense of suffocation which is a "threat to life" (Comroe, 1966). Sufferers from emphysema have this sort of breathlessness as their main complaint and the object of the operation is to alleviate this symptom.
While it is possible to attribute the subjective improvement in this sensation to psychological factors this is not a satisfactory explanation. It may well be that the thoracic distension caused by increased resting lung volume stimulates breathlessness through the proprioceptors in the muscle spindles of the intercostal muscles and joints, (Campbell and Howell, 1963). A reduction in volume or even a local destruction of the nerve pathways during thoracotomy may diminish this signal without increasing the efficiency of gas exchange in the lungs. Accidental exposure of the vagal fibres may have the same effect. Certainly there is no obvious reason which would explain the subjective improvement on physiological grounds in the data presented. Although the regional mixing was improved, overall function was not altered in a convincing manner.
The theoretical grounds for considering surgery were outlined previously. Since neither the airways obstruction as measured by the F.E.V.\textsubscript{1} nor the efficiency of gas exchange portrayed by the resting PaO\textsubscript{2} showed a consistent change after the operation, one is forced to one of two conclusions. Either these hypothesis are in error or the physiological tests to evaluate the effects of these changes are too imprecise in practice.
In any event even if the F.E.V.\textsubscript{1} and the resting PaO\textsubscript{2} are increased by surgery the patients do not necessarily feel less breathless.
It is probable that this would have been a more fruitful enquiry into the surgery of emphysema if the effect on breath-holding times at different lung volumes, the pattern of breathing and the response to viscous and elastic loads had been measured before and after thoracotomy in these patients. Guz 1966a, 1966b, has shown that the sensation of breathlessness is altered by infiltration of the vagus with local anaesthetic in the neck and by vagotomy. Therefore, these tests outlined above are more applicable to the measurement of breathlessness than the function tests I have done.
**Selection of Patients for Surgical Treatment.**
These data can be used for the formation of criteria of selection of patients and I have reached the following conclusions.
Degree of Breathlessness.
As those patients who were not severely disabled did not improve subjectively after the operation only patients with Grade IV or V breathlessness should be referred to a surgeon. To my knowledge this point has not been stressed before.
In this connection, the morbidity and mortality associated with the operation itself should be borne in mind. Even a severely breathless patient may have another 5-10 years of albeit uncomfortable life in front of him without surgery. Those who are not severely breathless may not get any worse.
Bronchitis.
In 2 patients with bronchitis and emphysema (A.S. and R.K.) the operation produced a marked benefit. There was little or no benefit in 4 other cases who had a productive cough. In only 1 of these patients was there hypercapnia (T.P.) and the operation did not help him. Therefore, although bronchitis is not a contraindication to operative interference in emphysema probably if it is sufficiently severe to cause retention of carbon dioxide surgery is not advisable. This is a similar conclusion to that of Davies, Simon and Reid (1966) although no measurement of $P_{a}CO_2$ was presented in their data.
E.C.G. Findings.
Electrocardiographic evidence of cor pulmonale is not a contraindication to surgery in emphysema. This is an
agreement with Hugh-Jones, Ritchie and Dollery, 1966.
**COMPRESSION**
The presence or absence of radiological compression makes no difference either to the subjective or objective result. This agrees with Davies, Simon and Reid, 1966.
**EMPHYSEMA.**
One patient only in this study had no radiological evidence of emphysema (H.B.) and he gained little benefit. On close examination his functional defect was explicable on the grounds of bronchitis alone. Although there was some macroscopic emphysema at operation this was not striking. Clearly, radiological evidence of emphysema is required before contemplating surgery.
**Localisation of Emphysema.**
Generalised emphysema assessed radiologically is far from being a contraindication to surgery. Some patients do well. In fact, as shown in the comparison of radiological, xenon and surgical observations, so called 'localised' emphysema radiologically according to the lung vasculature had quite extensive functional regional derangement and macroscopically the emphysema is more extensive than indicated on the radiograph. The radiograph invariably picked out the predominately affected zone but failed in 6 cases (which is nearly half of the patients studied) to indicate a lesser degree of emphysema.
Demarcated Bullae.
During this study it has been obvious that surgeons prefer to operate on a demarcated bulla occupying a zone rather than diffusely emphysematous ("candy floss") lung. Although 3 patients out of 7 who showed definite subjective improvement had these bullae, only in 1 of them was it removed completely. In the other 2 patients the bulla was reduced in size (A.S.) or replaced by smaller bullae (E.Sh.). In addition, 3 patients who showed little or no subjective improvement but had demarcated bullae; one of diameter 18 cms, which was completely removed. It was understandable but unexpected to find that 4 patients actually acquired demarcated bullae as a result of the operation.
None of these demarcated bullae occupied larger than 1 zone of the lung, i.e. less than a hemithorax. So it must be concluded that the removal of bullae of this size is unlikely in itself to affect the subjective result. This is in agreement with Ogilvie and Caterall (1959).
Functional Criteria.
Apart from severe airways obstruction no physiological parameter helps in identifying those who will benefit from surgery. The number of zones affected with poor intrapulmonary mixing bears no relation to the outcome, neither does the measurement of the F.R.C, T.L.C. or PaO₂.
In conclusion this study has shown that surgical treatment of emphysema does sometimes benefit the patients' symptoms but the subjective improvement bears no constant relation to an improvement in F.E.V₁, F.R.C., T.L.C., diffusing capacity or overall gas exchange. In the choice of patients with emphysema for surgery, it is advisable that severe breathlessness should be present. Bronchitis without hypercapnia, radiologically generalised emphysema, radiological compression, demarcated bullae occupying less than a hemithorax and electrocardiographic evidence of cor pulmonale do not appear to influence the subjective or objective result of the operation. The mortality and morbidity of surgery must be weighed against the usual prognosis in emphysema of a gradual decline which may take many years.
In 1954 William Macleod described a syndrome of clinical signs and radiological appearances in the following words. "The main features are quietening of the breath sounds and lessening of radiographic lung markings with persistently greater transradiancy over one lung, the condition being distinguishable from simple unilateral obstructive emphysema by the small or normal size of the affected side and the absence of evidence of bronchial obstruction". Fig. 6 shows a postero-anterior chest radiograph of a patient with this disorder.
In 1962, Reid and Simon described the histological findings in three patients with this syndrome who had been treated by pneumonectomy. They found that there were enlarged air spaces which were distributed in a patchy fashion throughout the lung. This syndrome therefore is a form of emphysema according to the Ciba symposium definition and has been included in Reid's classification (Fig. 2). It is of particular interest in that the cause may be an obliterative bronchiolitis in childhood (Reid and Simon, 1962). The clinical and radiological findings distinguish it from other forms of emphysema.
Reid and Simon (1962) demonstrated bronchographically that there was no obstruction of the larger bronchi but that the
finer bronchi and bronchioles filled poorly with contrast medium and were irregular or distorted in outline, indicating peripheral obstruction. Microscopic examination revealed distorted bronchioles some of which were obliterated by fibrosis. The main pulmonary arteriess were virtually normal but the peripheral branches (at acinar level) were diminished in number. The occurrence of an infection at the bronchiolar level at an age before the development of the gas exchanging area of the lung is complete might arrest subsequent development if there was a failure to ventilate properly through the damaged bronchioles. Such a hypothesis fits the pathological findings and frequently there is a history of severe lung infection in childhood in these patients. Other authors (Belcher, Capel, Pattinson and Smart, 1959) dispute this aetiology but may be confusing the syndrome with simple hypoplasia of the pulmonary arteries.
The evidently unilateral distribution of this disorder has led several investigators (Dornhorst, Heaf and Semple, 1957; Darke, Chrispin and Snowden, 1960) to use bronchspirometry to measure differential lung function. It has been shown in three cases that the transradiant lung is responsible for only 7%, 21% and 26% of the total oxygen uptake (Darke, Chrispin and Snowden, 1960) and that very high pressures are required to inflate this lung when the patient is under general anaesthesia,
after which the lung empties very slowly, (Dornhorst, Heaf and Semple, 1957). The transradiant lung, therefore, plays little part in gas exchange and has severe airways obstruction. Thus, the function of the contralateral or better lung is obviously of great importance in the prognosis of these patients. Although Dornhorst, Heaf and Semple (1957) found that the contralateral lung in 3 patients was normal, Darke, Chrispin and Snowden (1960) reported abnormal mixing in this lung. If the contralateral lung is affected it would be a mistake to consider Macleod's Syndrome as a truly unilateral or localised disorder. In addition, due to the patchy pathological changes caused probably by bronchiolitis obliterans it is possible that the contralateral lung was also affected in childhood but not sufficiently damaged to cause transradiancy.
Most of these patients present clinically in hospital practice with a productive cough (Macleod, 1954) and are said to be prone to frequent chest infections (Dornhorst, Heaf and Semple, 1957; Darke, Chrispin and Snowden, 1960; Fouche, Spears and Ogilvie, 1960). These findings are pathognomic of chronic bronchitis which, if of sufficient severity, would lead to right ventricular strain and failure (Scadding, symposium, 1965). As one lung in this disorder is already severely damaged, bronchitis would have a more serious effect than usual.
Macleod (1954) found that 7 out of the 9 patients he described had shortness of breath. Other authors have reported
"severe" to "moderate" breathlessness, (Darke, Chrispin and Snowden, 1960). However, Bates and Christie (1964) and Bentivoglio, Beerel, Stewart, Bryan, Bell and Bates (1963) state that "there is little if any disability". Probably the degree of disability is linked with the occurrence and severity of bronchitis as much as to Macleod's syndrome.
I have studied seven cases of Macleod's syndrome (Group III) paying particular attention to the incidence of productive cough and the function of the contralateral lung.
In one of these cases (H.S.) the typical lesion is confined to only part of one lung. Whether such a case as this should be included is debatable, but the essential radiological and clinical changes are the same. Scadding has suggested "hypotransradiancy attributable to bronchiolitis obliterans of childhood" as an appropriate description of these changes no matter what their distribution (Symposium, 1965) and because of this I have included this one case who does not have total unilateral involvement.
Results...
The detailed results are shown in Appendix II. Table XXII shows the age, sex, grading of symptoms and history of childhood infection in each patient. Five had a productive cough and one other had a severe non-productive cough (M.E.). Six had had a chest illness within the previous 3 years, Six had breathlessness of varying severity from mild (M.D.) to
quite severe (H.S.). All had either a history of chest trouble dating from childhood (M.E., A.S.) or a history of a definite episode of chest illness at, or before, the age of 8 years.
Fig. 65 shows the intensity of the breath sounds in the transradiant and better lungs compared with the intrapulmonary mixing in the zones where the breath sounds were heard. In only one zone in a transradiant lung was the intensity of the breath sounds recorded as moderate (Grade 2). In all other zones on the transradiant side the breath sounds were absent or weak. However, in the better lung despite a low (below 60 units) dynamic distribution index, the breath sounds were heard to be moderate or good (Grades 2 and 3) in 8 instances.
Table XXIII shows the lung volumes, flow rates and airway conductance data. In 5 of the patients the functional residual capacity is raised beyond the predicted value by a mean value of 780 ml. and the ratio of residual volume to total lung capacity is higher than normal in all cases. Vital capacity is reduced in every instance by a mean value of 1500 ml. and six of the patients have air trapping as shown by the difference between the vital capacity and the F.V.C. In 5 patients the $\frac{FEV_1}{FVC}$ ratio is at or below 40%. The airway conductance is abnormally low in 5 cases and near normal in 2 (H.S. and M.E.).
The values of diffusing capacity at rest and during exercise are shown in Table XXIV. At rest, five measurements
are low and all fail to rise satisfactorily on exercise except one, (D.C.). Percentage extraction is below normal in four patients.
All patients had a normal percentage oxygen saturation and pH. Fig. 66 shows that the $pO_2$ is lower than normal (95 mm.) in 5 patients. In two (A.K. and A.S.) the $pO_2$ fell with exercise further below this normal value. In two cases the $pCO_2$ was below the normal range (36-42 mm.), indicating alveolar hyperventilation. In neither case did it rise to within normal limits with exercise. In one further case (A.K.) the $pCO_2$ rose with exercise to 46 mm.
The regional ventilation and perfusion findings are shown in figs. 67 and 68. The dynamic distribution indices are reduced on the transradianl side in all zones in all patients except one (H.S.) where there is normal mixing in the upper zones. In addition, this value is low in 5 patients in at least one region on the opposite side; in two of these (E.L. and H.S.) the whole lung is affected. The perfusion index is below normal limits in all patients on the transradianl side, the lower zones invariably being affected and the middle zones in 2 patients.
**DISCUSSION**
As these patients were attending a hospital for inpatient or outpatient care they are not typical representatives of all subjects who might exhibit Macleod's syndrome.
This point is relevant in considering their symptomatology. Five out of seven of the cases became short of breath when walking at an ordinary pace on level ground. The two younger patients, (M.D. and M.E.) when questioned admitted to some abnormal limitation of exercise tolerance although this had not been their original complaint. Only 4 of the cases were investigated specifically on account of breathlessness, the others being referred because of the abnormal radiological pattern. Bates and Christie (1964) wrote that "there may be no dyspnoea even on moderate exertion", which does not portray the same clinical picture and seems to be exception rather than the rule among the patients studied here. The widely held opinion that patients who have this condition show symptoms only when the contralateral lung is affected by another disease such as bronchitis cannot be disputed on the evidence shown here but it seems possible that the sound lung has not completely escaped the childhood infection which Reid and Simon think is the initial cause of the condition. In this connection it is interesting to note that all of our patients gave a definite history of childhood chest infection.
Although the breath sounds were found to be weak in the transradiant lung, indeed this is part of the definition of the syndrome, they were not always weak in poorly mixing zones on the contralateral side. There are two possible reasons for this; firstly, that the contrast in intensity of the breath
sounds between the two lungs was noted but not assessed accurately in degree and, secondly that the observer nearly always knew of the clinical diagnosis before listening to the chest.
Five of the 7 patients had a productive cough and could therefore be said to have chronic bronchitis. Both of the other two patients had been subject to recent chest infections. This high incidence of bronchitis may be a reflection of the "hospital population" from which these patients were culled.
The better lung displayed poor mixing in 5 patients in the lower zones in all instances. The middle zone also was involved in one patient and in two, the entire lung. These findings indicate that in these patients Macleod's syndrome is not a truly unilateral functional disorder.
As the function of the better lung is of prime importance to these patients it is worth while using this data to make some deductions in an attempt to proportion the vital capacity and airway conductance between the lungs. Svanberg (1957) has shown using bronchspirometry that the vital capacity is distributed between the lungs in the proportion of 54% to the right and 46% to the left. In table XXV the predicted vital capacity has been apportioned accordingly. The 'calculated' value in table XXV is gained by taking the sum of the counts recorded in each lung after a single inspiration of $^{133}$Xenon in air and dividing the vital
capacity measured spirometrically in proportion to these counts. This assumes that the sum of the counts recorded in each lung give an estimate of the amount of air entering each lung. It can be seen that the calculated vital capacity in the transradiant lung in six cases is impaired, and that in four of these cases as the calculated vital capacity in the better lung is near normal, the total impairment in overall vital capacity is apparently only due to the transradiant lung. However, the situation is not quite as simple as that. In cases of this sort where one lung fails to expand normally the other lung may be distended by an unusually negative intrathoracic pressure at maximum inspiration. The extent of such overdistension depends on the compliance of the expanding lung during the measurement of vital capacity. In three cases the calculated vital capacity of the better lung is less than the predicted value (D.C., M.D., H.S.). This partition of the vital capacity is shown on fig. 69.
It is possible also to assess the airway conductance to the lungs separately, bearing in mind two facts. Firstly, Briscoe and Dubois (1958) have shown that the conductance (C) of the normal lung is directly proportional to its lung volume (V) according to the formula: C = 0.13 x V, and secondly that the total conductance of the lung is equal to sum of the conductances of each lung as it is a conducting system connected in parallel. The lung volume at which the
total conductance was measured is divided between the lungs according to the sum of counts observed in each lung at equilibrium. In this way the estimated volume of the better lung is gained. The predicted conductance of the better lung can then be calculated from Briscoe and Dubois' formula on the assumption that the airways are normal in this lung. These figures are shown in table XXVI which shows that the predicted conductance of the better lung is two and three times the observed conductance of the whole lung in 5 patients so even if the conductance of the transradiant lung is negligible, the conductance of the better lung in these patients must be below the normal range. It is quite possible that the observed values for total conductance are largely due to the contribution of the contralateral lung because the rapid shallow breathing used during the measurement of airway conductance will reduce the ventilation of the transradiant lung to the minimum.
The failure of the diffusing capacity to increase significantly during exercise in some of the cases is an important finding. In normal subjects the mechanism of the increase is partly a redistribution of blood in the lung which allows better perfusion of the poorly perfused parts such as the apical regions and it is possible also that alveoli may be opened during exercise that are functionless at rest. The better lung in these patients is probably already working to capacity at rest which leaves it little
scope to increase its efficiency during exercise. In fact, to lend support to this hypothesis using the counts per second recorded in each lung calculation shows that the better lung receives 75% of the available blood flow and 67% of the ventilation.
These studies have therefore shown that there is a high incidence of bronchitis in patients with Macleod's syndrome who are seen in hospital practice. The function of the transradiant lung is invariably abnormal with airways obstruction, poor perfusion and poor intrapulmonary mixing. However, the contralateral lung is frequently also affected. As the prognosis in these patients patently depends on the function of this lung clinical management should be directed towards avoidance of environments or habits liable to cause or exaggerate airways obstruction or chronic bronchitis. A long term study of patients suffering from this syndrome would be interesting, as one would expect that those with severe bronchitis should ultimately suffer from cardio-respiratory failure.
CONCLUSIONS
In the foregoing studies on patients with pulmonary emphysema the following points have been made about the disease.
1. Poor or absent breath sounds are a valid indication that the underlying lung is poorly ventilated but breath sounds of moderate and good intensity are not always related to normal intrapulmonary gas mixing in emphysema.
2. Severe airways obstruction is invariably present when Simons (1964) criteria for the radiological diagnosis of generalised emphysema are fulfilled, but it is possible for there to be bilateral attenuation of the vessel size in the upper and middle zone accompanied by more peripheral vessel loss without severe overall functional derangement.
3. The radiological feature of a flat diaphragm and an increased depth of the retrosternal space are not related to the total lung capacity, whereas the level of the diaphragm is significantly related to this volume.
4. Small mid-lung vessels and peripheral vascular loss as depicted radiologically in zones in emphysematous patients are accompanied by poor intrapulmonary mixing in an average of 83% of instances. However, when the zonal vascular pattern is normal in 20%, 30% and 47% of the upper, middle and lower zones respectively, there is abnormally low mixing, if the patient has no productive cough. When chronic bronchitis accompanies emphysema
there is a higher incidence of poor intrapulmonary mixing in the middle and lower zones when the radiological vessel pattern is normal.
5. Emphysematous patients with normal ventilation of one or both lower zones of the lung have a significantly higher arterial oxygen tension after exercise than patients in whom both lower and both middle zones have poor intrapulmonary mixing.
6. The only significant functional difference between patients with severe chronic irreversible airways obstruction believed to be caused on the one hand by chronic obstructive bronchitis and one the other by emphysema, was the level of arterial carbon dioxide tension.
7. The functional and symptomatic effects of surgery on emphysematous patients bear no convincing relationship to one another with the exception of the regional intrapulmonary mixing. Only severely breathless patients improved subjectively after surgery.
8. The contralateral lung in Macleod's Syndrome frequently shows poor intrapulmonary mixing and perfusion in the lower zone.
These findings should assist the physician in the functional interpretation of the stethoscopic signs and the radiological features in a patient with pulmonary emphysema. They show that overall lung function is affected by regional dysfunction.
In general, tests of lung function cannot be expected to provide a clinical or pathological diagnosis but can indicate
the type and severity of functional disturbance present. This is illustrated clearly in the attempt to find functional differences between chronic bronchitis and emphysema in patients with severe airways obstruction.
Regional lung function measurements have lent a more precise quantitation to the anatomical extent and severity of the impairment in patients with different forms of emphysema than is possible by other means. Perhaps in the future such methods will be of assistance if lung transplantation ever becomes a feasible procedure. At present, although some workers have overcome the technical surgical difficulties (Davies, Rosser and West, 1965), vast immunological problems remain to be solved.
I am extremely grateful to all my colleagues at the Brompton Hospital and Institute of Diseases of the Chest. I had only to mention the words emphysema and bronchitis and many various contradictory opinions were expressed. These conversations were probably of more value in forcing me to adhere to certain criteria and to critically appreciate other written work on "airways obstruction" than any other single factor.
Dr. Margaret Turner-Warwick listened to many patients' chests at my request and made many helpful criticisms on this and other aspects of the study. Dr. George Simon came into the hospital in the evenings to view the radiographs with me. His opinion I regard as quite invaluable. He has taught me a great deal about the radiology of emphysema. Dr. Malcolm Towers gave me his opinion of electrocardiographs.
I would like to thank the patients themselves who endured the battery of tests with great fortitude and friendliness. They were under the care of the following consultant physicians who permitted me to study them:—Drs. Batten, Citron, Dignall, Lee Lander, Oswald, Zorab, Robson, Nicholson, F. Scadding and Professor J.G. Scadding.
The lung volumes, diffusing capacity, airways resistance measurements and F.E.V.₁ were measured by Miss Tonia Godfrey and Miss Christine Saunders who are student technicians in the department. They and Mr. M.D. Foskett deserve and receive my extreme gratitude, as without them the study would have been impossible. Mr. Foskett designed the oxygen electrode and water bath, and spent many long hours with the electronic circuitry of the counting apparatus.
Miss Joan Boulton typed the thesis. Dr. W. Wilson of Somerset House gave me some friendly statistical advice. The photographic department of the Royal Marsden Hospital is responsible for the glossy prints. Mr. P. Bishop, the Institute Librarian, was an invaluable help.
To Dr. F.J. Prime I owe a debt of gratitude which I am unable to repay in words for his kindness, patience and valuable advice in the past two years. He has been my mentor and chief critic and has sustained my courage and enthusiasm by continued interest.
This work was done when in receipt of a grant from the Board of Governors of the Brompton Hospital.
|
New Milford Board of Education
Meeting Minutes
July 18, 2023
Sarah Noble Intermediate School Library Media Center
Present:
Mr. Pete Helmus, Chairperson
Mrs. Wendy Faulenbach
Mr. Eric Hansell
Mrs. Tammy McInerney
Mr. Tom O’Brien
Mrs. Leslie Sarich
Mrs. Sarah Herring
Mr. Brian McCauley
Mrs. Olga I. Rella
Absent: None
Also Present:
Dr. Janet Parlato, Superintendent of Schools
Ms. Holly Hollander, Assistant Superintendent of Schools
Mrs. Laura Olson, Director of Pupil Personnel and Special Services
Mr. Matthew Cunningham, Facilities Director
Mr. Jeffrey Turner, Technology Director
Mrs. Teresa Kavanagh, Director of Human Services
| | A. | Call to Order |
|---|----|---------------|
| | | Pledge of Allegiance |
| | | The meeting of the New Milford Board of Education was called to order at 7:00 pm by Mr. Pete Helmus, Chairperson. The Pledge of Allegiance immediately followed the call to order. |
| | A. | Public Comment |
|---|----|----------------|
| | | None |
| | A. | PTO Report |
|---|----|------------|
| | | Megan Byrd stated she is preparing for the 2023-24 school year. In the fall, Boosterthon will kick off for the elementary, intermediate and middle schools. PTO is working to revive the local business discount card. |
| | A. | APPROVAL OF MINUTES |
|---|----|---------------------|
| | | Approval of the following Board of Education Meeting Minutes: |
| | | 1. June 20, 2023 Minutes |
Mrs. Sarich moved to approve the June 20, 2023 minutes with the amendment of policy numbers 6152 Field Trips to 6153 Field Trips, 6259 Special Education to 6159 Special Education, 6161.51 Protection of Student Privacy Surveys, Certain Physical Examinations, and Parental Access to Information to 6162.51 Protection of Student Privacy Surveys, Certain Physical Examinations, and Parental Access to Information. Seconded by Mrs. Faulenbach.
Mrs. Faulenbach stated the policy changes were just renumbering the policies. Mr. Helmus stated yes.
Motion made and passed unanimously to approve the minutes of June 20, 2023 with the amendment of policy numbers 6152 Field Trips to 6153 Field Trips, 6259 Special Education to 6159 Special Education, 6161.51 Protection of Student Privacy Surveys, Certain Physical Examinations, and Parental Access to Information to 6162.51 Protection of Student Privacy Surveys, Certain Physical Examinations, and Parental Access to Information. Motion passed unanimously.
5. A. SUPERINTENDENT’S REPORT
Presentation: 2023-24 District Areas of Focus
Dr. Parlato distributed the presentation, “Areas of Focus 2023-24.” Dr. Parlato stated this will provide direction for the upcoming school year. Focus, Heart, Collaboration and Creativity will drive the culture of the district. The next steps are to work with administration and the Board on defining these words and create a common language.
Dr. Parlato stated there are three main areas to the district’s planning: Vision of our District, Vision of our Practices, and Vision of our Learners/Graduates.
There will be another board workshop in September to work on strategic planning. The ongoing planning will create a road map of where the district is heading, including how those plans will communicate with the community.
Mr. Helmus stated sometimes data received from the state is currently two years late, and asked if the information will now be more current. Dr. Parlato stated the test data, absenteeism and attendance will be almost real time and the remaining data will be
more current each year.
Dr. Parlato stated she wants to make sure people know district decisions are based on a variety of types of data, including student achievement information, focus groups and surveys.
6. A. BOARD CHAIRMAN’S REPORT
7. A. DISCUSSION AND POSSIBLE ACTION
Monthly Reports
1. Budget Position dated June 30, 2023
2. Purchase Resolution: D-772
3. Request for Budget Transfers
Mrs. McInerney moved to approve monthly reports: Budget Position dated 6/30/23; Purchase Resolution: D-772; and Request for Budget Transfers, seconded by Mr. Hansell.
Dr. Parlato stated the turf field replacement account shows what the town has contributed thus far, but that she expects it to include the $100,000 contribution from the town, and once the fiscal year is closed out, a $100,000 contribution from the Board. Mrs. Faulenbach stated that what is in the report does not reflect the Board’s contribution because this is as of June 30th, and the fiscal year has not been closed out yet.
Dr. Parlato stated the last conversation with CIRMA regarding the high school fire claims reimbursement was July 11th, and CIRMA hoped everything would be resolved by July 31st.
Mr. Helmus stated there is a discrepancy of $162,000 between the district’s claims and CIRMA’s claims total. Dr. Parlato stated the district has resubmitted all the PO’s and receipts, reflecting the $162,000 discrepancy. CIRMA is processing the information to determine what will be covered by the insurance policy. Mrs. Faulenbach asked for an
email to go out to the Board once CIRMA has a definitive answer. Dr. Parlato stated she would keep everyone informed.
Mr. Hansell noted only 38% of the budget was utilized from the budget line for tutors. Dr. Parlato stated it was because the district did not have the staff. Mr. Hansell asked how that affected students. Dr. Parlato stated the instruction has to be picked up by others. Mr. Hansell asked if other members of staff stepped in to cover the shortage. Dr. Parlato stated yes. Mrs. McInerney stated when that burden is put on the classroom teacher solely, instruction in the classroom can be slowed down.
B. Discussion and possible action concerning interview of candidate for the Supervisor of Special Education
Mr. Helmus moved to enter into executive session to discuss the possible action concerning the interview of candidates for the Supervisor of Special Education Position. Invited into the executive session were Pete Helmus, Wendy Faulenbach, Leslie Sarich, Tammy McInerney, Eric Hansell, Sarah Herring, Brian McCauley, Tom O’Brien, Olga Rella, Superintendent Janet Parlato, Director of Human Resources Teresa Kavanagh, and the candidate. Seconded by Mrs. McInerney.
The Board entered executive session at 7:30pm.
Candidate entered executive session at 7:38pm.
Candidate returned from executive session at 7:45pm.
The Board returned to public session at 7:49pm.
Mr. O’Brien moved that the Board approve the hiring of Lauren Bergner for the Supervisor of Special Education Position. Seconded by Mrs. Rella.
Motion made to enter into executive session to discuss the possible action concerning the interview of candidates for the Supervisor of Special Education Position. Motion passed unanimously.
Motion made to approve the hiring of Lauren Bergner for the Supervisor of Special Education Position. Motion passed unanimously.
8. A. ITEMS OF INFORMATION
Employment Report - July 2023
Mrs. Kavanaugh clarified that Ms. Megan Boswell is appointed as an Administrative Intern, not a District Wide Administrator. Ms. Hollander stated creating the role of intern is a way for current staff to gain experience and still serve the district. Mrs. Rella asked if the position was permanent. Mrs. Hollander stated it is a year long internship. Each intern is given assignments that serve the district and the building level. It is only available to internal employees. Dr. Parlato stated Ms. Boswell will be focusing on family engagement work and other important projects.
Mrs. Herring asked about the placement of new hires from other districts and who might be making more money than someone in the district who has the same number of years of experience or even more. Mrs. Kavanaugh stated this could potentially happen as salary placement is based on current contracts, credits for certified service and other relevant work experience.
Dr. Parlato stated that in the past, new hires might accept a lower step to gain employment, but that the job market for certified staff members is far different now.
Mrs. Hollander circled back to Mr. Hansell’s question about the low number of tutors. Ms. Hollander stated when there was an abundance of teacher candidates, some would apply to be a tutor and use that as a stepping stone for a permanent teaching position. Now, requiring tutors to be certified is lowering the pool of potential candidates.
Mrs. Rella asked what would be the difference between a paraprofessional and a tutor if certification is no longer needed. Ms. Hollander stated background and training. Mr. Helmus stated Dr. Parlato should propose altering what the
requirements are for a tutor. Mrs. Olson stated tutors are non-bargaining employees, which is the primary difference between a tutor and paraprofessional.
Mr. Hansell asked if an intern can be hired to fill an administrative opening. Ms. Hollander stated they are being used to support the district where needed. Interns can work on projects necessary to give them more experience, which can be helpful to them in an interview situation.
Mrs. McInerney stated she is concerned about world language teachers. Mrs. Rella pointed out the district has lost 3 world language teachers. Mrs. Kavanaugh stated she has been actively looking, including trying to move staff internally. Dr. Parlato stated she has called the state department of education regarding emergency certification possibilities.
Mrs. McInerney asked if the middle school was at risk of needing to use Rosetta Stone since there are no Spanish teachers at present. Dr. Parlato stated not yet. Mr. Hansell asked if these recent resignations were related to the larger jump happening at the middle school. Mrs. Kavanaugh stated no, it is less about the school, and more about the timing. Dr. Parlato stated an extra $25,000 for a teacher to move districts is very attractive. Mrs. Kavanaugh stated not as many people are going into world languages as teachers.
**Enrollment Report - July 7, 2023**
Dr. Parlato stated this report bridges the previous school year and upcoming school year. Mr. McCauley asked if there should be concern that Hill & Plain is at 117 students now and will have more in August. Mrs. Faulenbach stated that there will be fluctuating numbers all summer between Northville and Hill & Plain.
**Central Office Update**
Mr. Cunningham stated the current status of the project involves installing double doors on first and second floors. He is currently getting quotes from contractors, and the classrooms are being moved
next week. Mr. O’Brien asked if the project was on schedule to finish before the end of summer. Mr. Cunningham stated he believed so, given it is not a large project. Mr. O’Brien asked if the work was going to be done in house. Mr. Cunningham stated some will be done in house and some by a 3rd party.
**NMHS Updates:**
1. **NMHS Woodshop HVAC**
Mr. Cunningham stated Landmark Facilities Group is helping put together a bid for construction. The plan is to continue with classes with a modified curriculum. Mrs. McInerney stated the kids taking woodshop this fall cannot use power tools and asked if it would be back to normal in the spring. Mr. Cunningham stated it would be. Ms. Hollander stated the district has been supplementing with field trips for hands-on learning. Mrs. McInerney stated that woodshop is important to have as a vocational option in the high school.
2. **Roof Project**
Mr. Cunningham stated the low sloped roof is being cleaned and priming has begun. There are still some leaks around the drains that were installed by the roofing company, but the leaks are being addressed. Results from the testing done on the clips and fasteners might be discussed at the weekly roof update meeting on Thursday.
3. **Gym Ceilings**
Mr. Cunningham stated the painting of the gym ceiling should be done before August 16th and then a recoating of the gym floor can begin. Mr. O’Brien asked if the fasteners that were sticking through the gym ceiling will be made flush when painting the ceiling. Mr. Cunningham stated no, just scraping loose paint, priming, etc. Mrs. Faulenbach asked if the fasteners were visible. Mr. O’Brien stated they were. Mrs. Faulenbach asked if the ceiling could be compromised if the fasteners had to come out. Mr. Cunningham stated yes, that is a potential issue.
4. **End of Year Projects**
Mr. Cunningham that three of the five school parking lots now have numbered spaces. The middle
school handicapped ramp is installed and 70 classrooms have been moved for better alignment of grades and numbering. Camera upgrades are happening and stairwells have been assigned a stenciled number. Flooring tiles are being replaced in multiple classrooms at Sarah Noble. Door work is being done at the high school.
Mrs. McInerney thanked facilities for their hard work. Mr. Cunningham agreed and stated that the group has worked very hard given the shortened summer break. Mr. Cunningham stated Belfor will not have the epoxy countertops for the high school until September. Mr. O’Brien asked how long the countertops will take once they finally arrive. Mr. Cunningham stated it would take a few weeks. Mr. O’Brien asked if that would conclude the end of interior work and Mr. Cunningham stated it would.
**7 C. Discussion and possible action concerning the Superintendent Evaluation Tool and Superintendent Contract.**
*Mrs. McInerney moved to enter into executive session for the purpose of discussing a new contract of employment with the Superintendent of Schools and the Superintendent Evaluation Tool. Invited into the executive session are Pete Helmus, Wendy Faulenbach, Leslie Sarich, Tammy McInerney, Eric Hansell, Sarah Herring, Brian McCauley, Tom O’Brien, Olga Rella, and Superintendent Janet Parlato. Seconded by Mr. McCauley.*
The Board entered executive session at 8:24pm.
The Board returned to public session at 9:00 pm.
*Mr. McCauley moved that the Board authorize the Board Chairman to negotiate and enter into a new contract of employment with the Superintendent of Schools pursuant to the terms and conditions discussed by the Board in executive session and subject to any necessary further legal review. Seconded by Mr. Hansell.*
C. **Discussion and possible action concerning the Superintendent Evaluation Tool and Superintendent Contract.**
Motion made to move into executive session for or the purpose of discussing a new contract of employment with the Superintendent of Schools and the Superintendent Evaluation Tool. Motion passed unanimously.
Motion made the Board authorize the Board Chairman to negotiate and enter into a new contract of employment with the Superintendent of Schools pursuant to the terms and conditions discussed by the Board in executive session and subject
| | | Mr. O'Brien moved to approve the Superintendent Evaluation Tool as presented. Seconded by Mrs. Rella. | to any necessary further legal review. Motion passed unanimously. |
|---|---|---|---|
| 9. | | ADJOURN
Mr. O'Brien moved to adjourn the meeting at 9:02 pm, seconded by Mr. Hansell and passed unanimously. | ADJOURN
Motion made and passed unanimously to adjourn the meeting at 9:02pm |
Respectfully submitted:
Leslie Sarich
Secretary
New Milford Board of Education
|
Toronto's "Big Fair", the Canadian National Exhibition will, this year, become more involved in the youth market than ever before in their history. Teen-age Fair has come to eastern Canada by way of Vancouver where it has proven successful for the past two years. The giant American/Canadian extravaganza has been a part of the American country and state fairs since 1961 and has supplied their promoters with a giant sized chunk of America's favourite and most lucrative habit - THE TEENAGE MARKET.
There's a Teaged 2 billion dollar a year buying market that involves the youth of this country. That could mean anyone from the age of 50 down but through agencies prefer to impose upon us the age bracket of 13 to 20, and Canada's Teen-Age Fair is out to pluck a few bills off this sprouting money tree. The Teen-Age Fair has the right approach and the timing can't be equaled by night. On August 18th, they opened their "First Annual Toronto Teen-Age Fair - 1967" at the Canadian National Exhibition for a 15 day "tarker bit" and could net them out of the big 4 pages of advertising and not selling "bally dancers", although go-go gals will be shakin' a little, and they're not sellin' sex, although go-go gals will still be shakin' a little, but they're not selling the Fair or not. Who can tell what a pop fair looks like - now? What they are selling is good clean fun and the best in top musical entertainment.
Groups, groups and more groups, and unfortunately - most of the Canadian groups are from Toronto, although it's not the fault of the Teen-Age Fair for this unfairness. Chaps, the amount one for the "Musicians Union, 20% of all musical talent coming to the "Not-So-Canadian-National-Exhibition" must be local. How much of that 30% is granted to groups from outside Canadian locals? None, absolutely. The reason the 30% is taken up by booking fees, etc., etc.
Teen-Age Fair is Toronto's first look-see at a completely new "NOW FOR YOUTH" happening, although Teen-Age Fair exploded about a year ago in California and spread across the United States, and as we believe is just about the most-Americanized Canadian city we have, Teen-Age Fair happened there in 1965 and happened on a large scale. So, what's the difference between the one here in Toronto and who could be better to head up this giant extravaganza then the one who
VIVE LES STAMPEDERS-LIBRE
Montreal: Never before in the history of this bi town had an English Canadian group been given the opportunity to show the goodwill that Calgary's visiting Stampeders received during their recent stay at Expo's "Garden of Stars" Theatre. Le Journal, La Presse and the Montreal Star all gave picture story coverage to the six western Canadian Ambassadors.
While most groups complained about their Expo stay, the Stampeders were sorry to leave. From their showtime, they paraded out, the theatre signed autographs and handing out promotion gimmicks that had been carefully arranged by their manager Mel Shaw. Their outside the theatre activities resulted in an increase in sales.
Their presence in the midway area (La Ronde) created problems as eager fans crowded around for autographs. Expo officials had to cordon off certain rides so that the boys could enjoy some of their spare time.
The Stampeders with Expo supervisor Gary Stevens, who took the boys on a tour of La Ronde.
WE GET LETTERS...........
The Toronto Telegram's "Showcase" article "Pop Power" which was reproduced in the August 19th, 1965 issue of RPM has caused a bit of controversy. There have been many telephone calls, a few letters and the following four page telegram - Editor:
"An open letter to the Toronto Telegram.
Saturday's Showcase feature on Pop Power typifies what I believe to be one of the major missing links in the failure of deserving Canadian talent to receive not only industry, but public, (All I'm saying is) Mr. Winter Cobbs who by his own byline admits he felt it unnecessary to do his own research has in his usual light headed style used his pen not as a batterer but as a sword in the face of those Canadians who have dreamt that it is possible dream. His facts, again as usual, are partially true and out of context. Mr. Cobbs's desire to aid and inform the hypothetical Mack Truck and the Canadian Funds might be better served by balancing the scale with some of the positive aspects of this exciting adventure in the constant and evergrowing attempt of Canadians to make their mark in the world, or is Mr. Cobbs trying as those of his like are wont to do: convince the eager Mr. Truck and his fumes that it is fruitless to try, pointless to dream, foolish to fight. After all you embryo creators that odds are against all of your kind and that to add Canadianism, well, that's just silly. Let us examine the other sides; in so far as my own charges, the Mandala are concerned:
1. Sixty thousand dollars debt cited in Mr. Cobbs's extensive study does not exist but rather is a form of investment made in funds into a business situation he believed in. Is it not a sad reflection that on one hand we are so ready to condemn U.S. investment in Canada yet we ourselves more money is invested or Canadians invest in themselves they are considered to be in 'debt'. How bases you Canadians for 'Questing the crown from your own country'. Better there be no country than one where the people have not have better served the cause of creating a true picture to have indicated the equity that sixty thousand dollars represent to the Mandala. The rolling stock, the equipment etc., with an interest rate of ten per cent collateral value (My banker seems to think it is a reasonable investment, Mr. Cobb). What of the good will, the reputation gained, the ever-increasing earnings capacity of the group, now between 750 and 1000 a night in the U.S. and 1000 to 2000 in Canada (as good an average as the Jefferson Airplane, Mr. Cobb).
A surprisingly high gross this year for any new business.
Where in those amazing and caustic pages were the gains mentioned i.e. The Mandala's first U.S. release played widely by U.S. radio stations, picked by two U.S. trades, on the charts of at least two major U.S. radio markets - New York and Los Angeles.
Where was the report of those numerous stories and picture spreads in those holy of holies, the American magazines? Why did Mr. Cobbs report the fact that U.S. newspapers have announced to the world the Canadian invasion, the New York Post for one. The L.A. Times unequivocally stated that as an example the Mandala were "one of the most prepared and informed groups in the world". The Paupers received what was perhaps the best trade reviews of the year.
Where was the "Fight on David in your battle to surpass the star'd and striped Goliath".
Where was the "Mark one for our side" with that $5 grand advance the Mandala received from MCA Decca, A U.S. company, for their unique talents. You'll note Mr. Cobb, I said unique. We got it here they ain't got it there.
What a shame, in this Canada century our press cannot join the world's press in welcoming, encouraging and nourishing and yes, even promoting if the need be, the emerging giant instead of continuing the dwarfing process they so dearly love. Demoralization through fatalism, pessimism and that all too familiar 'it's hardly worth the effort when you consider your chances' sung to the tune of O Canada.
Would it not be enlightening if just for once we were to examine those most intriguing of all Canadians, those comedians, those image shakers, those knucklers, those guiding lights clutching their forever flickering candles, who have made us a country of critics not creators. The feature writers who have alas, forgotten that although mightier, a pen is still a pen and not to be confused with a sword!"
(Es: Mr. Cobbs is a master with pens as reported on occasion in RPM and is evidenced in the above telegram. In spite of the CP, He needs no answer. His last paragraph sums up the situation very well and perhaps Mr. Martin would be interested in the old German Proverb, "Even the lion has to defend himself against flies".)
easy-listening, ethnic, general pop, old standards etc.
The manner in which the music is presented is important too. Even the most popular record needs a proper setting, and that, of course, is provided by the D.J.
A Disc Jockey should be as natural as possible. A small town DJ can do so then these in larger cities I say that because a smaller market a D.J. is called on to do may different announcing chores, and it would sound ridiculous to the listener for some guy to yell and scream his way through a "pop show" and then cut in his lower octaves, switch to a slower gear, and commence a classical hour.
In brief, listeners want short, precise (and I mean without saying, another) news, in the entertainment category they want, (for the most part), popular music, (and that means more than just rock.)
Very generally, that's what listeners want from radio. Do you agree?
Programming music during your news times, and they may forget to turn back.
A sharp news commentator is important too. Not only does he inform by spotlighting sections of the news itself, but he entertains in his presentation of those events.
Adequate sports coverage should not be overlooked. Sports fans are hungry for information. Most calls concerning sports are received and answered than any other kind. Perhaps the newsroom has been mis-named, How does "sportsroom" sound?
WHAT ABOUT ENTERTAINMENT?
There are many ways to entertain, of course. Many metro market stations are finding success with "talk" shows. There is always a segment of the population that wants to be insulted, and listen to other people be insulted. In fact, these people are among the most faithful listeners you could ever hope to grab.
A variation in smaller markets is the "open line" show where a listener phones in with his request. The station and audience at large tries to solve them. This can be successful right down to the "trading post" and "how-doyou-remove-a-stain" category. These shows can be deadly dull, however, so watch it.
The most common form of radio enterWHAT'S A NICE KID LIKE YOU DOING IN A BUSINESS LIKE THIS??
BY STAN KLEES
(Guest Columnist)
This is the ninth installment in a series in RPM designed for the young artist on his way. The writer of this series is noted record consultant and A&R producer Stan Klees. Each week Mr. Klees will cover various aspects of the record business aimed at advising the potential recording stars of tomorrow. No one in Canada could be more informed as to the problems that lay ahead for the young artist than Stan, who is the Canadian music industry. This column has become one of the most popular features in RPM. Mr. Klees talks to producers and his competitor producers and gives them the advantage of his years of experience in Canadian and American studios. He is among the pioneers of the Canadian music industry. RPM is proud to be able to bring you this column. If you have any questions about the music industry (as a business - no fan questions, please), write to Stan Klees, Guest Columnist, RPM 1560 Bayview Avenue, Toronto 7.
PART NINE of a series
The Name Of The Game.....Is Fame.
If a Canadian group was to cut one of the BEST records in the world tomorrow, chances are it would get very little airplay, and would probably be heard by only a small percentage of radio stations in the direction.
If you were handed a pile of 45 singles (about 15) and asked which ones you would like to hear with only 15 minutes to play them what would you do? You'd choose basically the names of the groups, and you would probably show your first sign of faith in favour of the groups that had "established names". There you are. That is 80% influenced that a NEW record or band can make it to the game is....fame and the image of your previous success. Chances are you smoke a cigarette you know and have grown accustomed to. You would hesitate in asking for a new untried toothpaste. It would draw you to a new unproven product?
Radio stations play "proven hits" and if you are a new artist with a new single, you haven't got a proven hit. There is no profit for a station in being a "hitmaker". Very few stations want to play unproven records, but they must start somewhere and what can you do to make your record "playable"?
Let's take a group from records to try to provide an answer to the question promotion or advertising that can make a new product appealing to a suspicious buying public. Let's talk about a new toothpaste. Brand XY has just been perfected and illustratedly packaged to appeal to the buying public (it has a pretty label on a record). An advertising agency is hired by the brand new XY Toothpaste Company to bring their new product to the attention of the public. The agency company sends artists (like promo copies of a record to radio stations) in the hope that the dentist will find the toothpaste appealing and recommend it to his patients. Propaganda is pumped out to dentists, stores, etc., about the product, in order to get them to order this new toothpaste. The drug store would be much like record stores. Space is bought in national magazines and a $45,000.00 advertising budget is provided to make XY a "buy word" with the public. The agency men and copywriters sit down to find out exactly why this toothpaste is BETTER than any of the others on the market. Their job is to come up with a slogan, promotion and tests and used extensively in their advertising.
If the packaging, merchandising, promotions, advertising and product superiority fame can fascinate the public, then the druggist says to his customers, "Here's a new and better toothpaste", the toothpaste company has a "hit". It took $35,000.00 to refine the new product, $10,000.00 to package it and $45,000.00 to advertise, publicize and commercialize XY. For 10 or 15 months, XY will be selling this product, so its investment will be returned many times. Their $250,000.00 investment will pay off (if they have a hit). Their toothpaste is a "success". Everyone asks for it. All they needed was a new revolutionary product and $250,000.00.
Their motive was profit (and why not?). They will now hire people to make their toothpaste, people to develop other products that they can sell, and all the way down the line they will make money.
Now they took a chance in investing $250,000.00, they should be rewarded with the profit they will make. That's called free enterprise.
More people looked at the record business as a business, and records as a product, maybe we would find more investors, and product that offers a little more than an imitation while still remaining in the "top" arena. Possibly companies would invest in radio, television, phony and advertising to build an entity that would bring back their investment many fold.
Until Canada's record industry can make a worthwhile investment to continue to produce budget sessions for a small population and ask a small number of radio stations for airplay. The record will usually be released by a small record company with poor distribution. The record will be a hit. Some will breakthrough regardless of these handicaps and a mammoth company will emerge. Other companies will follow suit once the obstacles are overcome and someone breaks through.
It is hoped that when it happens, the production and composition will be Canadian. THAT WOULD REALLY BE SOMETHING.
TWO CHARTBURNERS FROM A&M
'OUT AND ABOUT'
TOMMY BOYCE
BOBBY HART
(A&M 858)
'LOONEY DRIFTER'
LONELY DRIFTER
(THE ORIGINAL SWINGIN' MEDALLIONS)
(A&M 854)
A&M RECORDS ARE MANUFACTURED AND DISTRIBUTED IN CANADA BY QUALITY RECORDS LIMITED.
We PICK...
FISHERWOMAN
The Collectors-New Syndrome-20-G
IT'S GOT TO BE MELLOW
Leon Haywood-Decca-32164-J
CATCH THE LOVE PARADE
Staccatos-Capitol-5979-F
MAGIC PEOPLE
Paupers-Verve Forecast-5062-G
TOP LPs
2 MONKEE HEADQUARTERS
The Monkees-Colgems CO 103-104 CO 103-104
1 SGT. PUPPERS LONELY HEARTS BAND
The Beatles-Capitol MAS 2000 SMAS 2653
3 SURREALISTIC PILLOWS
Jefferson Airplane-Rca Victor LSP 3766
4 SUPREMES SING RODGERS & HART
Supremes-Motown M 639 S 659
5 FLOWERS
Buddy Holly-Stones-London LBL 305 PS 509
6 GIMME SOME LOVIN'
Spencer Davis Group-Stone SX 3701
7 SOUNDS LIKE
Herb Alpert-Tijuana Brass-A&M L.P. 4124 SP 4124
8 GREATEST HITS
Bob Dylan-Columbia KCL 2663
9 UP UP AND AWAY
The Supremes-Soul City SCS 92000
10 I'M A MAN
Sons Of Sam Group-Stone SX 3702 SXS 3701
11 CASINO ROYALE
Spencer Davis Group-CO 5005 COCO 5005
12 GREATEST HITS
Paul Revere-Readers-Columbia KCL 2663 RCS 7462
13 DOUBLE TROUBLE
Elvis Presley-Rea Victor LPV 3737
14 REVENGE
Bill Cosby-Warner Bros WB 1691
15 RELEASE ME
Bobby Darin-Sundependent-Promt PA 1012 PAS 70102
16 NEW GOLD HITS
Phil Spector-Philips PPH 200-243 PPH 600-243
17 ABSOLUTELY FREE
Moby Grape-Virginian-Verve G 5013
20 SAMBA CAPO
Young Canada Singers-Grant CRC 7401 CRC 87401
22 FRANK VILLI SOLO
Frankie Valli-Philips PHS 200-247 PHS 600-247
20 REWIND
Randy Newman-Rivers-Imperial LP 5241 LSP 12341
21 BORN FREE
Amos Milburn-Columbia CL 3680 CS 9480
22 INSIGHT OUT
Milton Berle-Warner Bros W 1696 WS 1696
23 I'VE NEVER LOVED A MAN
Arthur Alexander-Columbia SD 8139 SD 8139
24 GROOVIN'
Young Rascals-Atlantic 1868-1868 SD 8148
25 YOU ONLY LIVE TWICE
Original Soundtrack-UA UAL 4185 UAS 5155
RPM COUNTRY CHART
1 I GOT WHAT I WANTED
Ramblinves - Red Leaf
4 TAKE THE MONEY WITH THE GOOD
Lamb Jones - Capitol
6 MR. JUKEBOX
Bud Collins - Capital
7 LOVE'S GONNA COME BACK
Gary Buck - Capitol
5 CUP OF DISGRACE
Dennis Wilson - Columbia
5 IT'S JUST ABOUT OVER
Charlie Rich - RCA
7 HUMAN NATURE
Orval Prophet - Caledon
8 TRANSPORT BLUES
Rich Calvert - Melbourne
9 WHY DID YOU HURT ME
Willie Nelson - Nashville
10 THE ALCAN RUN
Bud Roberts - Apex
CANADA'S ONLY OFFICIAL 100 SINGLE SURVEY
Compiled from Record Company, Record Store and Disc Jockey reports.
| Rank | Title | Artist/Label |
|------|------------------------------|-------------------------------|
| 1 | ALL YOU NEED IS LOVE | Beatles-Capitol-5979-F |
| 2 | PLEASANT VALLEY SUNDAY | The Monkees-Rca Victor-86-1007-N |
| 3 | BABY I LOVE YOU | Frank Sinatra-Atlantic-2427-M |
| 4 | GIRL LIKE YOU | Todd Rundgren-Atlantic-2424-M |
| 5 | TO LOVE SOMEBODY | Bee Gees-Philips-6503-M |
| 6 | LIGHT MY FIRE | Doors-Elektra-45615-C |
| 7 | MAMMY | Roy Orbison-B.T. Puppy-530-J |
| 8 | THANK THE LORD FOR THE... | Neil Diamond-Bang-549-C |
| 9 | GOLD SWEEPS | James Brown-King-6110-L |
| 10 | MORE | Ray Charles-Richardson-54152-D |
| 11 | WHITER SHADE OF PALE | Procol Harum-Odeon-2000 |
| 12 | GOOD TIMES ROLL | Bunny Sigler-Parkway-155-M |
| 13 | EVERY LITTLE BIT HURTS | Sonny & Cher-Atlantic-2008-6-M |
| 14 | I WAS MADE TO LOVE HER | The Beatles-Capitol-5979-F |
| 15 | COME BACK WHEN YOU GROW UP | Bobby Vee-Liberty-53964-K |
| 16 | BOAT THAT I ROW | Little Feat-Atlantic-2426-M |
| 17 | DARLING BE HOME SOON | Tom Jones-Atlantic-2426-M |
| 18 | SAN FRANCISCAN NIGHTS | Eric Burdon-MGM-13769-M |
| 19 | FAKIN' IT | The Staple Singers-Gatefold-44224-H |
| 20 | YOU'RE MY EVERYTHING | The Beatles-Capitol-2008-3-L |
| 21 | WHITE RABBIT | Jefferson Airplane-Rca Victor-9248-N |
| 22 | HEROES AND VILLAINS | Bob Dylan-Columbia KCL 2663 |
| 23 | PAPER SUNSHINE | The Beach Boys-CB 1302-G |
| 24 | I (Wanna) TESTIFY | Parliament-Revolution-207-G |
| 25 | ALL ARE NOT SILENT | Boyz II Men-A&M-858-M |
| 26 | APPLES PEEKING PUMPKIN PIE | The Beatles-Capitol-2008-6-M |
| 27 | REFLECTIONS | Dion-The Motown-1111-L |
| 28 | THE WORLD WE KNEW | Frank Sinatra-Reprise-0810-J |
| 29 | WINDOWS OF THE WORLD | The Beatles-Capitol-12196-M |
| 30 | BROWN EYED GIRL | Van Morrison-Ramp-345-C |
| 31 | SHED A SHOE | Platters-Columbia-MU4-1251-H |
| 32 | DON'T LET THE RAIN FALL | Arthur Alexander-Columbia SD 8139 |
| 33 | ODE TO BILLIE JOE | Nat King Cole-Decca-3590-F |
| 34 | CRITICALLY LOWLY ONE | Roy Orbison-MGM-13764-M |
| 35 | EVERYBODY NEEDS LOVE | Gladys Knight-Trips-Soul-350-34-L |
| 36 | GLOW OF LOVE | The Beatles-Capitol-152-M |
| 37 | SHOOT YOUR SHOT | Joe Faiola-Atlantic-35036-L |
| 38 | MAKE YOUR MIND UP | Betty Swan-Angels-77055-J |
| 39 | BLUEBIRD | Four Seasons-Atlantic-2428-M |
| 40 | CANADA | The Springfields-Atco-6499-J |
| 41 | DON'T YOU MISS ME A LITTLE BIT | Jimmy Floyd-Soul-350-35-L |
| 42 | BLUES THEME | The Blues Brothers-Atlantic-2426-M |
| 43 | GROOVIN' | Booker T.-Stax-226-M |
| 44 | ROLLER IS WIDE | Forum-Sparrow-167-D-O |
| 45 | MAKE YOUR GUESS | The Band Of Grass-Jubilee-5582-M |
| 46 | COME BACK GIRL | The Beatles-Capitol-2008-6-M |
| 47 | THIS TIME LONG AGO | Guess Who-Quality-1874-M |
| 48 | YOU KNOW WHAT I MEAN | The Beatles-Capitol-2008-2-L |
| 49 | HA HA HA SAID THE CLOWN | The Beatles-Capitol-2495-F |
| 50 | LABOURS | 49th Parallel-Rea Victor-57-3422-N |
| 51 | GIMME GIMME | Precious Stone-712-G |
| 52 | THINGS I SHOULD HAVE SAID | The Beatles-Capitol-2008-1094-N |
| 53 | PENNY ARCADE | Cykle-Columbia-44224-H |
| 54 | FUNKY BROADWAY | The Beatles-Capitol-2430-M |
| 55 | JILL | Lewis/Polydor-Little-55995-L |
| 56 | MAKING EVERY MINUTE COUNT | Sparks-Atlantic-Mercury-27714-K |
| 57 | THERE IS A MOVING DAY | Donovan-Epic-10213-H |
| 58 | HIGHER AND HIGHER | The Beatles-Capitol-55336-J |
| 59 | CORNFLEAKES AND ICE CREAM | The Beatles-London-Apeex-17054-J |
| 60 | JACKASSIST | BTB&B-Yorkville-45011-D |
| 61 | WOMAN'S HANDS | The Beatles-Capitol-12196-M |
| 62 | RUN RUN RUN | The Beatles-Capitol-10191-H |
| 63 | I HAD A DREAM | Revere/Readers-Columbia-44227-H |
| 64 | LITTLE LITTLE LITTLE | Floyd-Capitol-27249-F |
| 65 | WANT TO LOVE YOU FOR | The Beatles-Capitol-227-J |
| 66 | LADY FRIEND | The Byrds-Columbia-44230-H |
DISTRIBUTOR CODES
- BOTH SIDES
- MONSTER
- BIG MOVER
Allied C
Arc E
C.M. E
Capitol G
Coxwell G
Columbia J
Compo J
London L
Phonidisc L
Quality M
RCA Victor M
Sparton O
IT'S THE LITTLE THINGS
Sunny & Cher-Atco-507-M
ANYTHING GOES
The Beatles-Capitol-7063-J
THE LETTER
Box Tape-Metra-563-M
SUNNY GOOSE STREET
The Beatles-Capitol-18-6-G
LITTLE OLD WINE DRINKER ME
The Beatles-Capitol-1008-K
RUNNIN' ROUND IN CIRCLES
Five D's-Rea Victor A-1-N
I NEVER HAD A LOVE THAT
The Beatles-Capitol-1006
ZIP CODE
The Beatles-Capitol-Abaco-123-J
TURN ON YOUR LOVE LIGHT
Oscar Toney Jr-Bell-68-LM
SIXTEEN TUNS
The Beatles-Capitol-40016-LM
LOVE BUG LEAVE MY HEART ALONE
The Beatles-Capitol-7062-L
YELLOW FOREST
Joe Americans-A&M-5078-J
FEEL GOOD, FEEL BAD
Lewis/Columbia-Expanded-Abelgem-1006
LAURA, WHAT'S HE GOT...
The Beatles-Capitol-1006
GIMME LITTLE SIGN
Brenton-Double Shot-116-J
CONVERSE ROAD
Warner Who-Philips-40743-K
GET THE MESSAGE
The Beatles-Capitol-40473-K
GOOD SUNSHINE
Cloudless Longer-A&M-8544-M
JOHN
Kensington Market-Stone-714-G
THE SWEETEST THING...MEAVEN
The Beatles-Capitol-1006
COME GO WITH ME
Eternal Quicksilver-1006
THE WORLD AROUND
Eddy Arnold-Rca Victor-47-926-S-N
ANGLES ENGLISH
The Beatles-1275-L
IT COULD BE WE'RE IN LOVE
Crosby-Stills & Nash-44191-H
YOU'VE GOT TO PAY THE PRICE
The London-London-127-K
BRING IT DOWN FRONT
The Beatles-Capitol-1617-O
LAST MINUTE MIRACLE
The Beatles-1275-L
KNOCK ON WOOD
Otis & Carla-Stone-226-M
IRON ROCK & ROLL MUSIC
The Beatles-1275-L
YESTERDAY'S TODAY
Fisher-Atlantic-2755-K
LITTLE BIT HURT
Julian Covery-Stone-710-G
SUGAR MAN
The Beatles-2715-K
MUSEUM
The Beatles-Harrison-MGM-13787-M
TAKE A LOOK
Aretha Franklin-Columbia-44270-H
With Percy's appearance at the C.N.E., this entry will be one of the big sellers for Columbia. Percy has included "The 59th Street Bridge Song", "Release Me", "I'm So Happy", "Happy Together", and "Somethin' Stupid". COLUMBIA - 2701/S/5041
The big single of the year for Phil and Don Everly was "Bowling Green" which should make this album a big one as well. The boys also do a beautiful job on "A Whiter Shade Of Pale", "Mercy Mercy Mercy" and "Somebody Help Me".
WARNER BROS - 1708 M/S
THIS WEEK IN PICTURES
A WEEKLY REVIEW OF THE CANADIAN ENTERTAINMENT SCENE IN PHOTOS
LEFT
Spencer Davis who will be appearing in Toronto Aug 31 will be covering most of North America on this, his first tour - The Crowd (formerly 3% A Crowd) will be appearing at Toronto's C.N.E. before making an extensive tour of the U.S. College circuit - The Doors, The Fontanees, The Rolling Artists and Canada's top television personality is currently negotiating with a double sided hit "They Don't Give Medals" and "Casino Royale".
MIDDLE
New York's MGC-4590 have released their first single for Smash, "Gladly Home" and it looks good for the chart - The Stampederos, fresh from their triumphant appearance at Expo's "Garden Of Stars" are seen go-carting at Expo's La Ronde. They've been signed to a string of dates through Quebec, Saskatchewan & French Canada show - The Crystal Shames look like they have a winner with their Columbia outing of "It Could Be We're In Love".
RIGHT
Herb Alpert and his Tijuana Brass will be playing to a sold out house when they appear at Toronto's Maple Leaf Gardens Aug 23 - New York's Giclées, ladies having the best promotion gal in the business, Harriet Wassar, are getting set for the charts after they just released "I'm So Glad I Believed Me Freedom" which was produced by Bob Yoray - Vancouver's R&B king, Allan Lee has recently cut a session with his Klan at the Aragon Studios.
"Bring It Down Front" Jon & Lee Group's ABC outlet (based in Canada) is another Canadian hit that hasn't been distributed on the West Coast of the United States, even though it was originally released by an American company.
Decca's western division has expanded its roster of pop talents. They just signed The Mandala, as well as The Cake, a trio of sweet girls with fine voices and The Sundowners, who just released their first, "Always Your".
Promotion in Motion with Irwin Zucker is pushing Brown Wolf's "Gimme Little Sign" on Double Shot. It looks as if it will have the same success as "Oogum Boogum".
Jon and Robin and The In Crowd
The latest release by The Seekers is a happy handclapping song following up "Georgy Girl" on Capitol. A&M Records released the first 45 rpm stereo record, "A Day In The Life", very well done by Wes Anderson. "New Encounters" by The Winds has been re-released by Kama Sutra. The company claims that the original release date was a year ahead of its time. "Get Together" is the latest from The Youngbloods on RCA Victor.
The Five Americans are back on the public service bandwagon. The group's manager just bought their "Zip Code" for a commercial. Aback Records, of Texas, is developing its talents and have come out with such fine artists as The Five Americans.
HUTCHINSON FOLLOWS SUCCESSFUL Toronto: Ben E. King's recent appearance at the Embassy's Palm Grove Lounge was a break from the usual fare served up from the crowds that the club made money and Claude Gilbert again brought out another new breed of supper club potential, the R&B crowd.
The Canadian singer was around a hit with the crowd with his "Sarah Harlen" but was lacking the old Drifter background when he attempted "Save The Last Dance For Me", and as the evening progressed, he became more and more the "all soul" as only Ben E. King was capable of, brought the crowd to their feet several times.
Canada's favourite "man with the cane" Ray Hutchinson, followed King into the lounge and was also well received, turning up for his performances. Next week we'll look on this great Canadian performer, who opened the Palm Grove Lounge back in 1964.
BEN E. KING APPEARANCE
For Me", and as the evening progressed, he became more and more the "all soul" as only Ben E. King was capable of, brought the crowd to their feet several times.
Canada's favourite "man with the cane" Ray Hutchinson, followed King into the lounge and was also well received, turning up for his performances. Next week we'll look on this great Canadian performer, who opened the Palm Grove Lounge back in 1964.
M.G. & THE ESCORTS
What's the ingredients that this act is made of? M.G. and The Escorts have the answer with "Next To None" - another powerful Quality outing for this popular Montreal group. The group, who have been around since they travelled from Toronto to Newfoundland on a tour of one of the biggest Canadian talent contests, have appeared with the top Canadian and U.S. groups, including The Guess Who, Staxtones, Young Rascals, The Turtles, The Monkees, The Beach Boys, The Mamas, like all these other releases is top of the chart material. The sound of M.G. and The Escorts, they've got a sound of their own.
"NEXT TO NONE"
ON RED - No. 3898
Manufactured and distributed in Canada by Quality Records Limited
BANDS......
Rehearsal Room Available
(Centrally located)
Telephone: Toronto 921-2553
ATTENTION U.S. RECORD COMPANIES
THE FOLLOWING CANADIAN MASTERS ARE AVAILABLE FOR U.S. RELEASE:
I GOT WHAT I WANTED
Rainvilles
RED LEAF RECORDS/Stan Kless
1560 Bayview Ave Toronto - 487-5812
MORNINGTON CRESCENT
Boddy Hoo
GIANT RECORDS/Ben McPeek
73 Yorkville Ave Toronto - 923-3316
HUMAN NATURE
Orville Prophet
CALEDON RECORDS/Bob Stone
172 King E. Oshawa - 723-0988
(A GROOVYART SERVICE TO THE CANADIAN RECORD INDUSTRY)
COUNTOUN 5
Each week, RPM Music Weekly publishes the RPM 100 in a chart form which is sent out to record stores from Vancouver to Halifax. This FREE service to record stores not only stimulates sales of singles, but acts as accurate guide to record numbers and distributors for the record dealers. The chart is made possible by advertising placed by record companies. There is no other known media of national advertising at these low ad rates that will give a record company the dealer and circulation that the RPM 100 chart affords.
With so many independent labels distributed by various outlets, this chart makes it possible for dealers to order obscure new releases instantly. Dealers can carefully follow the action of a single up the chart from 100 to the top ten. The record buyer sees an accurate picture of single movement often long before local programming. Radio stations readily admit the importance of RPM charts.
Many record companies have reported to RPM that the RPM 100 distributes more show up on record orders indicating that the chart is used for record ordering.
RPM's motive in publishing this chart is not profit. We would like to provide the industry with a much needed weekly rating and catalogue of singles available.
Two of Canada's largest rack jobbers and record retailers use the RPM 100 in their ordering.
Record companies cannot deny the importance of such a service at such a nominal charge. We would like your support with advertising and accurate weekly information.
BUT...ONLY IF YOU FEEL THAT THIS IS A NEEDED INDUSTRY AID.
ORVAL PROPHET
"HUMAN NATURE"
f/s
"YOU'RE NOT MY SWEETHEART ANYMORE"
H.P. 200 #7 RPM COUNTRY CHART
COUNTRY COMEDY HIT OF THE YEAR
"BIG BLACK BUG BOOGIE"
JIMMY DAWSON
HP - 201
#66 RECORD WORLD COUNTRY CHARTS
CLIMBING ON ALL THE AMERICAN CHARTS
"BUCK 2.80"
JOHNNY JAY
HP - 202
NEW COUNTRY HOME OF THE HITS
The Label That's Happening Now!
CONTACT TERRY MANN FOR PROMO COPIES
A ROBERT J. STONE OF CANADA LIMITED COMPANY
MARITIMES: EASTERN RECORD DISTRIBUTORS
144 Glenwood
Lewisville, New Brunswick
caledon
RECORDS
|
For a Lasting Peace, for a People's Democracy!
Bucharest. Organ of the Information Bureau of the Communist and Workers' Parties
The First Worker-Peasant State in German History
The German Democratic Republic is the first truly peaceful and democratic state in the history of Germany, a state in which power belongs to the working class and not to militarism.
On October 7th, the sixth anniversary of the proclamation of the German Democratic Republic, the founding of the German Democratic Republic ushered in a new historical era in Germany. For many years after many years of struggle the German people have found a true path to democracy and a peaceful path to peace, friendship and co-operation with other peoples. In celebrating this anniversary the German people are joined by the peoples of the Soviet Union, the Chinese People's Republic and the entire world of peace, democracy and socialism in all progressive countries.
Under the influence of the Socialist Unity Party of Germany profound revolutionary changes have been carried out in the German Democratic Republic: the roots of fascism and militarism have been destroyed; the rule of the industrial giants and monopolies abolished; the Junker land ownerships done away with. These revolutionary changes have been made possible by the fact that the advanced forces of the working class achieved unceasing action which was crowned by the merger of the two working parties—the Communist and the workers' party—into the Democratic Socialist Party—on the basis of Marxism-Leninism.
In inextricable alliance with the working peasantry, the working class, with its glorious traditions and immense fighting experience, carries all the democratic and patriotic forces of the country in their struggle against the danger of a restoration of German militarism, and in the struggle for a democratic and peaceful path of development for Germany.
Great, highly-talented and industrious people have firmly taken the path of building the foundations of Socialism in the long-planned lines. Their guidance along these lines is based on the immortal teaching of Marxism-Leninism.
Despite temporary difficulties and shortcomings, the German Democratic Republic has taken a worthy place among the non-capitalist states. Its economic and political achievements have a strong appeal for the working people of the whole of Germany. The GDR as a reliable mainstay in the struggle for the formation of a unified, independent democratic country, a German Democratic Republic, represents the future of the German people.
The German Democratic Republic is strengthening peace, is easing international tension and is creating a system of security and effective security. It is making decisive efforts for a speedy solution of the German question in accordance with the national aspirations of the German people and the interests of all other peoples. The Government of the GDR has repeatedly submitted concrete proposals for its accomplishment and the establishment of mutual understanding between the two states, in different social systems—new-in existence on the territory of the Federal Republic.
Certain Western elements, however, still stubbornly refuse to reckon with the facts and are trying to reanimate the bankrupt "policy of strength" policy for solving the German problem. They are trying to prevent the German people from embracing the German Democratic Republic into the fold of the democratic camp and integrating the Federal Republic and incorporating the Federal Republic into the North Atlantic military bloc. This would constitute a great barrier to the solution of the German question and to the solution of the European question.
The democratic and patriotic forces of Germany are united vigorously against this policy. They are demanding recognition of the GDR and the opening of negotiations.
The Soviet Union and all the countries of the socialist camp are giving in the camp of Socialism an all-round help to the German people in their efforts to build a democratic and peaceful country—a democratic and peaceful Germany.
The relations between the Soviet Union and the Federal Republic have been developing rapidly and steadily. The friendship between the two countries has been growing year by year. The fact is of immense significance for the further economy and cultural development of both the countries and for strengthening world peace. The Treaty of Friendship, Cooperation and Mutual Assistance between the Soviet Socialist Republic and the German Democratic Republic, recently concluded, is based on the principles of equality, non-aggression, mutual assistance and non-interference in each other's internal affairs. For this reason the slogan "Germans around one table" must remain the focal point of the struggle for a better life and for building a socialist society.
In this connection Groetewohl stressed the fact that the Paris agreement and West Germany's membership of NATO were conducive to the reunification of Germany on a democratic, peaceful basis. The extension of these agreements to the whole of Germany, he emphasized, was utterly impossible. The New York Agreement, strengthening confidence in the German Democratic Republic and building Socialism, he continued:
"We all know that great mutual understanding and respect are necessary in Germany close to each other again. For this reason the slogan 'Germans around one table' must remain the focal point of the struggle for a better life and for building a socialist society."
The reunifying of Germany is impossible without the decisive participation of the Germans themselves. A divided people cannot be reunified as divided peoples. The negotiations must take the form of paper. We know that this will call for prolonged and patient, persistent work. We know the fact that on the other side this work is being hindered by the forces that are at work.
We know that in this matter the prerequisites for the formation of a peaceful, democratic Germany are present. At the same time we must achieve understanding between Germany and the countries of abolishing the rule of monopolies in Western Germany, in conformity with the provisions of the New York Agreement, and this, too, would make it possible to create the prerequisites for a democratic Germany.
When these prerequisites are present,
The Communist Party of Uruguay held its Sixteenth Congress in Montevideo from September 30 to October 6, during which the following questions were discussed:
1. Report of the National Committee on the activity of the Party, the tasks in the struggle for democratic liberation, democracy, the well-being of the workers and peasants and the strengthening of democratic institutions.
2. Report of the Central Auditing Commission, by Comrade Grimaldi Nicolás.
3. Report on Discussion at the Second Congress for the Second Five-Year Plan for the Development of the National Economy (RPPN), by Comrade Chibás Sánchez.
4. Report on Amendments to the Rules of the RPPN—Comrade Grimaldi Nicolás.
5. Elections to the Central Party bodies.
The meeting adopted our practical measures for successfully completing the national field work this year.
On October 6, a session of the National Assembly of the Ruritan Popular Republic elected Comrade Chibás Sánchez Chairman of the Council of Ministers of the RPR.
Report of the Central Auditing Commission, by Comrade Grimaldi Nicolás.
Report on Discussion at the Second Congress for the Second Five-Year Plan for the Development of the National Economy (RPPN), by Comrade Chibás Sánchez.
Report on Amendments to the Rules of the RPPN—Comrade Grimaldi Nicolás.
Elections to the Central Party bodies.
The meeting adopted our practical measures for successfully completing the national field work this year.
On October 6, a session of the National Assembly of the Ruritan Popular Republic elected Comrade Chibás Sánchez Chairman of the Council of Ministers of the RPR.
LA VOZ DE MEXICO ISSUED DAILY
Since the triumph of the October Revolution, the victory over fascist Germany, the establishment of the peoples' democratic states of Eastern Europe, the victory of the Chinese people, and the growing international peace, and to advance along it. When it appeared that all paths were closed, then the leaders of the great Soviet Union, of the Chinese People's Republic and the democratic countries in Eastern Europe put forward fresh and decisive demands for a détente, co-operation and peace.
It was thanks to this that the Austrian Socialists were able to create a neutral zone in Europe, an highly important factor for security. It was thanks to this that it became possible to liquidate the strained relations between Czechoslovakia and Yugoslavia. Thanks to this, too, the leaders of the Indian people were able to establish closer relations with the leaders of the Soviet Union and other socialist countries, thus raising an authoritative voice in defence of the people of India. And, finally, a few days ago, new diplomatic relations were established between Western Germany, which is still a member of an aggressive military alliance, and the Soviet Union. The leaders of these two countries also found the path to rapprochement. This fact profoundly changes the general situation in Europe and creates new areas of contact and mutual understanding between the peoples, a new area which will inevitably be extended through the solution of grave economic problems which have to be solved in the interests of the peoples of Europe.
We, as representatives of the Italian people, must express our gratitude for the efforts made by the leaders of the Soviet Union, People's China and the democratic countries of Eastern Europe, who are working hard in this end. They have once again proved to the peoples that a country which is no longer threatened by foreign aggression and has to resolve basic problems, for which the resolution depends on huge material resources, is not necessarily bound to be a threat to others. It is necessary that there be a long period of peace, so that thousands of people can go on to military needs; that a new atmosphere of mutual understanding among all the working people of the world comes into being, and that our national independence no longer be trampled underfoot by big foreign powers.
The facts are that our country is still in the midst of a serious economic and domestic reactionary elements, who are identical to and oppose a consistent peace policy. It is not for nothing that at a time when the most drastic war between the two superpowers is threatening, we have to release international tension the leaders of the Christian Democratic Party began to speak of German "aggressiveness." By "purging" their party of people who, along with our friends, had joined the ranks of those demanding peace, the relaxation of international tensions and co-operation among all peoples. Perhaps, in doing so, the leaders of the Christian Democratic Party want to demonstrate their intention to hold aloof from the developing détente and remain hostile to it? If this was their intention, they have achieved it. Unhappily our Government, in spite of this party forms the major and dominant part, has so far not only given no sign of supporting the détente and not being prepared to contribute to it, but has even contributed to make certain overt moves against it. It is precisely that that should we evaluate the attitude of a number of foreign groups who had been occupying Austria since the end of the last war, began to withdraw from it, at a moment when the Soviet
---
* From a speech at the L'Unità National Festival in Genoa on September 18, 1955.
Guatemala, September
Guatemalans Will Not Be Forced to Their Knees!
(Letter from Guatemala)
In the countryside "anti-Communist" repression has taken the form, primarily, throwing the peasants off the land and making them forcedly appropriate the plots of land reserved by them for farm labourers under the agrarian reform law, and also of a sharp worsening of their material position.
The political conditions of the greater part of the population have been aggravated, more and more, as a result of the rising prices of prime necessities. On top of this, the Castillo Armas clique is forcing the people to pay "tribute" of some 500,000 quetzales, the whole burden of which falls on the shoulders of the working people.
In the course of this year a drop in the production of coffee on the world market, brought about by the big U.S. companies, has aggravated the already critical situation in our country. This drop has had a grave effect upon our entire economy, since coffee accounts for more than 75% of the value of our country's total exports.
Although ever-wider sections of the Guatemalan public are demanding the extension of the agrarian trade without any discrimination, the Government has this June signed a decree strictly prohibiting trade with the countries of the socialist camp. This decision has put us out of our country of any possibility of putting its economy on a sounder footing, colours all the activities of the dictatorial cabinet under the present "progressive and liberal" Government, Castillo Armas and his henchmen have brought the legal activity of the Guatemalan workers and peasant organisations, cultural centres, etc., etc.
The suffocating atmosphere created by these inquisitorial measures widens the chasm between the Government and the people. And whenever the Government tries to pretend that it expresses the interests of the people, its attempts fail miserably. That is what happened, for example, at the time of the so-called elections, when, despite the many forms of compulsion employed, the electors followed the suggestion of the progressive forces and boycotted the election.
Our people, headed by the battle-steeled Guatemalan Party of Labour and other democratic forces, do not surrender. This is evidenced by the protest demonstrations against the Government's concessions to the United Fruit Company, by the anti-imperialist slogans which frequently appear on the walls of houses, by the militant action of the workers and peasants, and by the growing struggle to win their vital demands, also supported by the liberating campaign for the liberation of Bernardo Mateo Murcia, General Secretary of the C.C. of the Guatemalan Party of Labour, who was recently arrested by Castillo Armas' henchlings, and of the other patriots now languishing in gaol.
Our people look with profound hope to the Guatemalan Party of Labour, which in them fights vigorously against the anti-national and anti-democratic Government of Castillo Armas and for a programme of national salvation. This programme calls for the release of all political prisoners, for the cancellation of repressive measures, discharging of workers and eviction of peasants from the land, and the political and economic struggle against sharply rising prices and speculation, and the domination of foreign capital, for a reduction in the price of coffee, and against all policy leading to devaluation of the national currency, it calls for trade without discrimination and for an active defence of world peace.
Such, at the present moment, is the foundation on which the national unity of our people is being built—the unity indispensable for victory. The growing solidarity of the peoples of Latin America and above all of Latin America, with our patriotic struggle, gives a powerful impetus to the Guatemalan people in their efforts to achieve democracy, peace and national independence.
Lorenzo GALVEZ
Guatemala, September
The October Revolution, the victory of Socialism in the Soviet Union and the fact that a number of other countries have taken the same road and are advancing along it set a great example to the workers and the working people of the whole world. It is an example that can neither be forgotten, crossed out nor minimised. The experience gained in building Socialism in the USSR is of immense gain in the interests of the working people, in the interests of the peoples of all Europe, and the whole world. That is why we and all Marxists stand for the socialist transformation of our society cannot but look in that direction, just as in the past the revolutionaries in our country looked in the countries where such a revolution had already been victorious. These are elements that not everyone should fail able to understand; there is nothing mysterious about that one cannot anyone. It is equally clear, elementary and obvious. But when speaking of Italian problems we examine and discuss them solely on the basis of a consideration of the conditions obtaining in our country, of the living conditions of our working class, and settle them solely in the interests of our country. We have done this by our activities by the whole life of our Party and the life of each Communist. We know that in the course of history, moving towards the whole civilised world towards Socialism, each country goes forward with its own peculiar features and can therefore not be judged in a uniform way from others. Far from denying these peculiarities, we seek to understand them to the full and to take account of them so as to be able to do the party that is the most thoroughly imbued with socialist ideas — and at the same time the most Italian — of all the parties that ever existed in our country.
Fanfani may have spoken in jest, but there are others who seriously think it possible to assert that consolidation of the détente means that the Communists and Socialist movement has to retreat, that it has to allow itself to be swept aside, that it has to abandon some of its positions. They say, for example, that so-called "free elections" have been organised in some People's Democracies. These should be like the elections in Italy, which are based on a fraudulent electoral law, with the use of those electoral organisations and institutions to which the privileged organs resort in order to prevent the people from giving free expression at the ballot boxes to their desire for peace and better world. Clearly, such things can be done only for the purpose of covering up, only for the purposes of persuasion.
But there are also those who declare that there will no longer be any necessity to talk of revolution, that there should no longer be any revolutionary movements — and all this will be the result of the relaxation of international tension. We know that those countries, too, are wholly reactionary. Revolutions are decided and not brought about by individuals, nor even by any single party. They are the result of the objective conditions, the inevitable operation of the laws of social development, when the prolonged rule of reactionary forces blocks the path of economic and political progress in the masses. When this is done in happen in any part of the world no one can prevent the masses from their struggle against their party at their head and constitute the majority of the nation, from destroying these reactionary and marching forward. But the people's demands and civil and political progress are varied and numerous.
How do things stand in this regard in Italy? Despite everything, a certain development in actual fact took place in Italy. It was brought about in the years when the fascist regime was fighting against foreign invaders, when the workers' peasants, democrats and intellectuals with more progressive ideas took their place at the head of the entire nation and led it to the conquest of its freedom and independence. A new era, the politically correct and advanced front of Italian democracy opened a way for themselves, a way charted in the Republic's Constitution. It meant that elections were held, the popular elections and approved by an Assembly made up of representatives of the entire nation.
Relaxation of international tension cannot be a process isolated from what is going on within individual countries and in our own particular case. The dream of international relations a détente means the end of the "cold war", the same thing would happen within the individual countries; the same thing should happen in Italy.
Or perhaps we think that our domestic problems can be settled at international conferences? One would not be surprised on this. On the contrary, one of the conclusions which follows from the new situation is that our internal contradictions have been extended even more realistically and restored in full. Our problems have to be examined and solved by us Italians, on the basis of the conviction that the end of the "cold war" within the country accords with our vital interests.
In an attempt to suppress the growing national liberation movement in Kenya, British troops are increasing their brutal repressive measures against the Africans. The British Government in Nairobi reports that since the introduction of a state of emergency in October 1952 about 10,000 Africans have been killed in Kenya.
This July the so-called "peace conference" killed 218 people. Brutal repressions and murders continued throughout August. Hundreds of "suspects" were "detained" for questioning. Within a single week in September, 38 Kenyans were killed or slain.
At present there are 83,000 people languishing in the prisons and concentration camps of Kenya, guarded by 14,000 armed police. The colonial authorities are spending an additional amount of hundreds of thousands of pounds sterling "for the needs of prison administration".
Brutal legal and police outrages against patriots continue in Iran. In the last few months 27 army officers have been shot by verdict of courts-martial. In the same period 192 other officers have been condemned to life imprisonment, 196 were sentenced to death, 100 to 10 years and 7 sentenced for 8 years.
A new wave of terror spread throughout the country of the Arabs. A few weeks later Dr. Mostafa Yazdi, one of the founders of the People's Party of Iran and a member of the Political Bureau of its C.C., was sentenced to death. Dr. Yazdi was a professor, ex-Minister of Public Health and a professor at Tehran University. The only charge against him was that he is one of the leaders of the party and wireless activities, of the C.C. of the People's Party, is undergoing brutal torture. Comrade Gholost Karami, member of the Teheran regional committee of the People's Party, is reported to have been in prison under horrible torture. The General Prosecutor has demanded the death penalty for 14 leaders of the People's Party. Obviously, the government is trying to crush the party.
The newspaper Elefant recently reported that another 72 officers had been condemned to death and that there were subsequent condemnations to life imprisonment. At present thousands of imprisoned Iranian patriots stand in the shadow of death in the terrible conditions prevailing on the island of the Persian Gulf, in the military prison of the Teheran Second Armoured Division and in the prisons of Ghazel Ghazal and Cheshm-e-Ali, currently being exterminated. Brutal torture has become a commonplace in these prisons.
The execution of Iranian officers and the brutal police outrages against the country's patriots are arousing deep indignation among broad sections of Iranians and the international opinion. Progressive circles in many countries are energetically protesting against this monstrous persecution against the brutal repression and unlawful executions. All patriots are fighting for the independence and happiness of their country. Peace-loving people who condemn the inhuman actions of the Iranian reactionaries are raising their voices in over-loud protest.
Editorial Board
|
COMMUNITY COLLEGE BOARD
Eastern New Mexico University - Roswell
Administration Center Board Room
Wednesday, May 15, 2019, 4:00 p.m.
MINUTES
Members Present: Carleton Avery, Eloise Blake, Patricia Parsons, and Mireya Trujillo
Members Absent: Ralph Fresquez
Others Present: Phelps Anderson, Craig Collins, Larry Connolly, Todd DeKay, Lisa Dunlap, James Edwards, Jeff Elwell, Karen Franklin, Eric Gomez, Steve Henderson, Laurie Jensen, Ken Maguire, Mike Martinez, Linde Newman, Annemarie Oldfield, Donna Oracion, Shawn Powell, Rebecca Schneider, Scott Smart, Chad Smith, Mavis Williams
I. Call to Order President Trujillo called the meeting to order at 4:00 pm.
II. Declare a Quorum President Trujillo declared a quorum.
III. Pledge of Allegiance Eric Gomez led the Pledge of Allegiance.
IV. Finalize Agenda President Trujillo announced that the Kosa Awards presentation would be moved up in the agenda to occur after the Public Comment. Member Parsons made a motion to finalize the amended agenda. Vice President Avery seconded the motion. The motion carried unanimously.
V. Approve Minutes Member Blake moved to accept the minutes from the April 17, 2019 meeting. Vice President Avery seconded the motion. The Board approved the motion unanimously.
Public Comment:
City Councilman and ENMU-Roswell Foundation President, Steve Henderson, thanked the Board for their service, stating it is important to provide for the college and the community. Roswell is proud of the college and the education provided. The Foundation provides support to the college. Mr. Henderson thanked Mr. Craig Collins, Foundation Coordinator, Ms. Donna Oracion, Executive Director for College Development, and Dr. Shawn Powell, President. This year, the Foundation awarded $119,000 in scholarships to 137 students. The Foundation has also provided the President with a discretionary fund, which is currently being used for Scrubs Camp and Aviation Camp. Mr. Henderson expressed appreciation for the support given for the golf tournament fundraiser. The first quarter Foundation financial report indicated $10.8M, $350,000 from oil revenue. These funds provide financial support for students. An individual and a company will be honored at a banquet this fall.
Information Items:
1. Kosa Award Recipients
Many years ago, William and Ethel Kosa contributed a gift of $31,000 to Roswell Community College. Their generosity eventually led to the establishment of the ENMU-Roswell Foundation, a source of scholarships and grants for students and faculty. The Kosa Merit Award, instituted in 1970, recognizes two instructors each year for excellence in teaching and service to the institution. Chosen by their peers, the honorees receive an engraved plaque and a stipend of $300 from the ENMU-Roswell Foundation. Mr. Eric Gomez, Faculty Senate President, announced this year’s selected recipients are Ms. Mavis Williams, Respiratory Therapy Program Director, and Ms. Edna Yokum, Social Science Behavior
instructor. Ms. Williams worked as a respiratory therapist for more than 30 years before becoming the Director of Clinical Education in the Respiratory Therapy Program. Ms. Williams obtained a Master’s degree in Analytical Chemistry, which she shared to be her greatest accomplishment. Mr. Gomez and Mr. Henderson presented the $300 stipend and engraved plaque. Ms. Yokum is a Social Science Behavior Instructor. She is also an ESCALA education coach and facilitator. She was unable to be present this evening.
**Board Report:**
Vice President Avery announced Hike It and Spike It, a four-on-four charity flag football tournament, will be held Memorial Day weekend, and ENMU-Roswell is a sponsor. The Eastern New Mexico Medical Center will have a mash unit on site, and ENMU-Roswell nursing students will assist. The campus has a very visible presence at the event.
Vice President Avery attended the May 10 Board of Regents meeting, which was held on the ENMU-Roswell campus prior to the commencement. Vice President Avery is a member of the Strategic Planning Oversight Committee. One goal for the campus is to become more visible in the community and this is happening. The Board of Regents spoke highly of our campus, employees, and Community College Board.
**Presidential Remarks:**
I. **ENMU Chancellor’s Remarks**
Chancellor Elwell thanked State Representative Phelps Anderson for his help in Santa Fe during the legislative session. Dr. Elwell recently sent material to accepted ENMU students regarding the Greyhound Promise, a scholarship program to encourage teacher education. The program pays the equivalent of ENMU in-state tuition and fees for students pursuing a teaching degree who agree to teach in New Mexico for two to four years immediately after graduation. East Carolina University in North Carolina had a similar program when Dr. Elwell was there. Salaries in education were considered low with a small number of incentives. East Carolina University had teaching fellows and a strong reputation for their teacher education program. The program was very successful, with a low attrition rate. Dr. Elwell borrowed this idea for ENMU, and Representative Anderson and Senator Stuart Ingle supported the development of the program at ENMU. Senator Anderson was crucial to the effort, and it was very successful. The program was funded through Junior House Bill Two with $300,000 in recurring funds. Twenty-two applications were received in one week. Dr. Elwell would like the program to produce 50 teachers per year in the future.
Dr. Elwell stated ENMU-Roswell held a great commencement, and the two new regents commented on how organized it was.
Dr. Elwell reiterated Dr. Powell is doing great job here on campus, in Santa Fe, and with the Board of Regents. Dr. Elwell is receiving great feedback about Dr. Powell.
II. **ENMU – Roswell President’s Remarks**
Dr. Powell thanked the Board for their support at graduation. Over 300 students graduated, and 140 walked at commencement. The Adult Education program had 70 students earn their high school equivalency, and 40 students participated in graduation. The Adult Education program serves more than 1,100 individuals annually.
ENMU-Roswell is working with NM Youth ChalleNGe to offer $215,000 in career technical education scholarships during the academic year of 2019-2020 to individuals who completed the GED or HiSET examinations.
The campus facility master plan is due to be published in August. Dr. Powell and Mr. Scott Smart, Chief Financial Officer, recently attended the HED Capital Outlay Committee meeting in Santa Fe. Three projects were approved for ENMU-Roswell: replacement of the electrical line, construction of the new maintenance building, and renovation of the automotive/welding building. These capital projects will be presented to the State Board of Finance in June for final approval, and funds will be available after July 1. Demolition of the old dormitory buildings did not have to go through HED for approval due to the funding levels for this project. Asbestos was found in the dorms and auto/welding building. An RFP is being developed for the demolition project. Member Blake asked how the Excel Energy expansion affects the electrical line on campus. Dr. Powell replied the expansion applied only to the Roswell International Air Center. Mr. Smart added the upgraded transformer and electrical lines would establish redundancy for the campus once the electrical line project is complete.
Dr. Powell announced Kyler Burd was hired as a Recruiter, and Daniel Hines has been hired as a part-time Security Officer.
**Action Items:**
I. **Automotive Technology Certificate Deactivation**
Dr. Ken Maguire, Vice President for Academic Affairs, reported a review of the Automotive Technology program was conducted, and the proposed deactivation of the Certificate of Training is in response to a revision of the program. The program previously had two Certificates of Employability. One Certificate of Employability was moved to a Certificate of Training, which allowed deactivation of the current Certificate of Training. The program will now have a Certificate of Employability, a Certificate of Training, and an Associate Degree option.
Member Blake moved to approve the deactivation of the Automotive Technology Certificate of Training. Vice President Avery seconded the motion. All voted in favor to approve the deactivation. The motion carried.
II. **Automotive Technology Degree & Award Change**
The Automotive Technology program previously had two Certificates of Employability but one was moved to become a Certificate of Training to align with the credit hour award requirements.
Member Parsons made a motion to approve the Automotive Technology award change from a Certificate of Employability to a Certificate of Training and Vice President Avery seconded the motion. All voted in favor of the award change. The motion carried.
III. **Fee Changes**
a. **CDL**
Two new courses are being offered in the CDL program to provide services to students. Three options are now available: four-week, eight-week, and 16-week courses are available. No additional fees are being requested, just an allocation of already approved fees to apply to the courses. A fee of $500 will apply to CDL 150: Basic Driving Training, and $1,500 for CDL 250: Advanced Driver Training.
The fees were determined by averaging the costs of operating the vehicle and dividing them by the average number of students and driving hours. The proposed fees fall within the amount previously approved for the CDL program up to $3,500.00.
Dr. Elwell added that, being a fee, financial aid will cover the cost. If student pays out of pocket, financial aid is not an option. Dr. Maguire clarified that the four-week course and
the eight-week course are not financial aid eligible, only the 16-week course is eligible for financial aid.
Member Parsons moved to approve the CDL fees and Vice President Avery seconded the motion.
President Trujillo asked about the fluctuating fee amount and how is it determined whether a student should take the four, eight, or 16-week program. Mr. Chad Smith, Assistant Vice President for Technical Education, replied there is a fee range because of the volatile nature of fuel, maintenance, and repair costs. He added the 16-week program is structured for very novice students. The shorter-term courses are designed for students who already have permit. The four-week program only allows four students at a time to be enrolled.
Vice President Avery asked if businesses hiring CLD drivers are willing to pay the fees. Mr. Smith replied, yes, companies have reached out to him. However, they wanted quicker completion time of classes. This is what started the idea of shorter terms.
All voted in favor. The motion carried.
b. **Medical Coding**
The proposed fees are not a cost increase to the program, but are being proposed to cover the cost of conducting mandatory background and drug testing for medical coding students. Previously, students have incurred this cost themselves. Placing these as fees allows for financial aid.
Member Parsons moved to approve the Medical Coding fees for MDST 104 and Member Blake seconded the motion.
All voted in favor. The motion carried.
c. **Pharmacy Technician**
The proposed fee for PHAR 101 covers the cost of conducting mandatory background checks for Pharmacy Technicians. Students have previously incurred this cost privately. If this incurred cost is a course fee, it is eligible for financial aid.
Member Parsons moved to approve the Pharmacy Technician fees and Vice President Avery seconded the motion.
Member Blake asked if pharmacy technician students are subject to drug testing as discussed previously for medical coding students. Dr. Laurie Jensen, Vice President for Health Education, responded that drug testing is not currently required for pharmacy technicians.
All voted in favor. The motion carried.
d. **Respiratory Therapy**
The proposed fee for RCP 107L covers the cost of conducting mandatory background checks and drug screening for respiratory therapy students. The purpose is to bring all costs of the course into one fee.
Member Blake motioned to approve the Respiratory Therapy fees. Member Parsons seconded the motion.
Member Blake asked why the fees are not the same for all of the mandatory testing. Dr. Jensen responded some courses have varying criteria because of accreditation and the substances being tested for to meet specific program requirements. The costs are also dependent upon state and national requirements.
All voted in favor. The motion carried.
IV. Policies Revised by University Council
University Council approved 10 policies at their April 29 meeting:
- **50-1 Interfunds**—Process for transferring funds. System policy change added; title change (CFO) and addition of “budget manager” to the interfund approval process.
- **50-2 Cash Handling**—System policy language added; combines 50-2 (Using Cash Receipts), 50-4 (Daily Deposits), and 50-5 (Departmental Cash and Change Funds).
- **55-4 Purchasing Card**—Removed specific “non-eligible” expenditures and reference policy 55-1. System language added and title corrected.
- **65-8 Identity Theft**—System policy language added.
- **65-9 Payment Card Security**—System policy language added.
- **70-3 HIV**—Follows Roswell policy of adding “student and employees” under this protection; System language added.
- **70-10 Student Complaints**—System policy language added; edits to clarify that students complaints are managed and addressed by the campus receiving the complaints.
- **80-4 ADA**—Revised with System language and reference to Policy 70-3.
- **80-12 Title IX**—ENMU-Roswell revised policy.
- **80-18 Surveillance Systems**—System- policy to address installation, maintenance and use of on-campus surveillance/security and safety systems. Places all under Security rather than under Information Technology.
Member Parsons made a motion to approve the changes to the policies and Vice President Avery seconded the motion.
Member Blake asked if policy 50-1 is administered by the CFO as indicated by Item 3 of the policy. Mr. Smart answered that the intent is for the System CFO to have general oversight regarding financial policies related to the System. Dr. Elwell added that this policy is related to the transfer of funds between campuses within the ENMU System, but not regarding campus funds to outside entities.
All voted in favor. The motion carried.
V. **2019-2021 Operating Agreement**
The operating agreement between the Eastern New Mexico University System Board of Regents and the Roswell Branch Community College Board must be renewed biannually. The current agreement will expire June 30, 2019.
ENMU-Ruidoso updated their operating agreement recently and it went through legal counsel. As a result, the same document was updated for our campus.
Vice President Avery made a motion to approve and sign the 2019-2021 operating agreement.
Member Blake seconded the motion.
Member Blake asked if there were any changes to the document. Dr. Elwell responded that there were changes in the referencing statutes and slight changes to the agreement, but nothing significant.
All voted in favor. The motion carried and the operating agreement was signed.
VI. 2019-2024 Strategic Plan
Dr. Powell stated strategic planning efforts began in October of 2018. He thanked Ms. Karen Franklin, Mr. Todd DeKay, Ms. Rebecca Schneider, Vice President Avery, and Member Fresquez who are members of the Strategic Planning Oversight Committee. The committee developed the 2019-2024 strategic plan to guide the Eastern New Mexico University-Roswell campus through the next five years. The draft plan was presented as information at the last CCB meeting. Feedback was sought from the campus community and incorporated into the final version of the plan at the most recent Strategic Planning Oversight Committee meeting held earlier this month. The final version of the plan was presented for Board approval.
Vice President Avery motioned to approve the 2019-2024 strategic plan and Member Parsons seconded the motion.
Vice President Avery complemented the staff for their hard work on this project. It was an arduous task involving much discussion and thought process. Member Parsons noted that the plan has a positive emphasis, and Member Blake remarked that it is well written.
All voted in favor. The motion carried.
VII. 2020 G.O. Bond Presentation at NMHED Capital Outlay Hearing
ASA Architects is currently developing the Campus Facility Master Plan, and they have identified capital improvement areas, which will be reviewed by the ENMU-Roswell internal group working on the Facility Master Plan. Dr. Powell distributed a handout of the initial draft of priorities from ASA architects, which were organized into three categories: high priority capital improvements, necessary capital improvements (within next two-three years), and short-term improvements (within next five years).
Dr. Powell made the recommendation to present the following high priority need for the 2020 General Obligation Bond at the July 24 NMHED Capital Outlay Hearing that will be held on our campus: replace the deteriorated sanitary and sewer piping and renovate the restrooms in these five buildings at a projected cost of $3,300,000:
- Aviation Maintenance Technology Center
- Performing Arts Center
- Instructional Center
- College Services Center
- Physical Education Center
Upon CCB approval, it will go to Board of Regents for approval and then be presented at July 24 HED Capital Outlay Hearing.
Dr. Powell stated an internal group would review all of the recommendations made by the architects and develop a plan of priorities for the campus. The group will then meet with the
Architects to collaborate on the final version of the Facility Master Plan, which is scheduled to be published in August.
Member Blake moved to approve the General Obligation Bond presentation for the NMHED Capital Outlay Hearing and Member Parsons seconded the motion.
Member Parsons asked how the projects would be prioritized. Dr. Powell responded that a group will consider timeframe and enrollments, etc. to determine the final list of priorities.
Member Blake encouraged attendance at July 24 Higher Education Department Capital Outlay hearing.
All voted in favor. The motion carried.
**Other Business:**
The next meeting will be Wednesday, August 14, at 4:00 pm.
**Adjourn**
The meeting was adjourned at 5:02 pm.
Minutes approved by CCB Secretary, Patricia Parsons
[Signature]
8.14.2019
Date
|
Unión Mundial de las Organizaciones Femeninas Católicas
UMOFC
Región América Latina y el Caribe
Trata de Personas
Unión Mundial de las Organizaciones Femeninas Católicas
V Conferencia Regional para América Latina y el Caribe
V Conferencia Regional
Álbum Fotográfico
Maria Cecilia, Maria Luisa, Maria Teresa, Maria Elena, and Maria Antonia.
The meeting was attended by representatives from the following countries: Argentina, Chile, Colombia, Costa Rica, Ecuador, El Salvador, Guatemala, Mexico, Nicaragua, Panama and Peru.
The meeting was attended by representatives from the following countries: Argentina, Chile, Colombia, Costa Rica, Ecuador, El Salvador, Guatemala, Mexico, Nicaragua, Panama and Peru.
The participants in the workshop on "Women and Water" in Santiago, Chile, included (from left to right): Carmen Larrain, Maruja Arriagada, Maritza Latorre, and Mariana Sandoval. The workshop was organized by the International Network of Women in Water (INWATER) and the International Water Association (IWA).
Participants in the workshop on the use of the IUCN Red List of Threatened Species in Mexico, 2013.
TRATA DE PERSONAS
TRANSFORMEMOS EN ACCIÓN EL SILENCIO Y LA OMISIÓN FRENTE A LA TRATA Y EL ABUSO DE LOS MÁS VULNERABLES.
Mons. Gustavo Rodríguez Vega
Obispo de Nueva Caledonia y Presidente
Consejo Episcopal Latinoamericano
Mónica Santamarina de Robles
Coordinadora Ejecutiva
Vicepresidenta para América Latina y el Caribe
UMOFC
Elsa Tosi de Muzio
UMOFC
Argentina
Transformemos en acción el silencio y la pasividad frente a la trata y abuso de los más vulnerables.
The first part of the conference was dedicated to the history of the Institute and the development of its scientific activities. The opening speech was delivered by Professor Anna Kowalik, Director of the Institute.
TRATA DE PERSONAS
TRANSFORMEMOS EN ACCIÓN EL BIENIO Y LA LÍNEA DE TRABAJO CONTRA LA TRATA Y EL TRÁFICO DE PERSONAS
10 de julio de 2013
The Rev. Dr. José Luis Sánchez, pastor of the First Presbyterian Church in San Pedro Sula, Honduras, speaks at the 2013 annual meeting of the Presbyterian Mission Agency. Photo by PMA staff.
El Arzobispo de la Ciudad de México, cardenal Norberto Rivera Carrera, presidió el pasado 10 de diciembre la misa de inauguración del Año Jubilar de la Catedral Metropolitana de la Asunción de María, en la que participaron más de 25 mil fieles.
La ceremonia comenzó con la procesión de la imagen de la Virgen de Guadalupe, patrona de México, que fue recibida por el Arzobispo y el Obispo de Tlaxcala, monseñor José Luis Chávez Sánchez, quien fue el encargado de dar la bienvenida a los fieles.
Durante la misa, el Arzobispo pronunció un sermón en el que recordó la importancia de la fe y la devoción hacia la Virgen de Guadalupe, y llamó a los fieles a vivir una vida de amor y caridad.
Después de la misa, se realizó una procesión con la imagen de la Virgen de Guadalupe por las calles de la ciudad, donde miles de personas participaron y mostraron su devoción hacia la patrona de México.
El Año Jubilar de la Catedral Metropolitana de la Asunción de María se extenderá hasta el próximo 10 de diciembre de 2014, y durante este tiempo se realizarán diversas actividades religiosas y culturales para celebrar la fe y la tradición mexicana.
El Obispo de Córdoba, Mons. José Ignacio Munilla Aguirre, presidió la Eucaristía en la que se bendijo el nuevo altar mayor de la Catedral de Córdoba, obra del arquitecto Antonio Padrón. La ceremonia contó con la participación de autoridades civiles y religiosas, así como de numerosos fieles que acudieron para asistir a esta importante celebración.
La bendición del nuevo altar mayor fue un momento significativo de la ceremonia, donde el Obispo pronunció palabras de bendición y agradecimiento por la realización de este proyecto. El nuevo altar mayor, diseñado por el prestigioso arquitecto Antonio Padrón, es una obra de gran belleza y elegancia, que contribuirá a la majestuosidad de la Catedral de Córdoba.
La ceremonia estuvo acompañada de música coral, que añadió un toque de solemnidad y belleza a la celebración. Los fieles presentes pudieron disfrutar de la música coral mientras el Obispo pronunciaba sus palabras de bendición.
La bendición del nuevo altar mayor fue un momento de gran emoción para todos los presentes, quienes pudieron contemplar la belleza y majestuosidad de esta obra de arte. La ceremonia concluyó con un acto de oración y adoración al Santísimo Sacramento, que cerró con éxito esta importante celebración.
La señora María del Carmen Sánchez, presidenta de la Asociación de Amigos de la Catedral de Santa María, ha sido la encargada de entregar el premio a la mejor obra de la exposición.
La presidenta de la Fundación, María José García, ha recibido el Premio de Honor de manos del Obispo de Málaga, Mons. Juan José Asenjo Pelegrina, en una ceremonia celebrada en la Catedral de Málaga.
Deposite usted aquí su generoso voto para el mantenimiento de esta CATEDRAL.
Your contribution for the maintenance of this CATHEDRAL will be gratefully received.
NO FLASH
Deposite usted aquí su generoso obolo para el mantenimiento de esta CATEDRAL
Your contribution for the maintenance of this CATHEDRAL will be gratefully received.
NO FLASH
The image shows a group of women standing together in what appears to be a church or cathedral setting. In the center, there is a person dressed in a golden robe and a white hat, which is typical attire for a bishop during a religious ceremony. The women are dressed in various styles of clothing, some with lanyards around their necks, suggesting they might be part of an organized event or group. One woman is holding a bag with "40" written on it, possibly indicating a celebration or anniversary. The background includes religious icons and a fire extinguisher, reinforcing the setting as a place of worship.
María Luisa, Ana, María del Carmen y María Elena.
The Rev. Dr. Elizabeth A. Eaton, left, and Bishop Mark S. Hanson, right, pose for a photo after the ordination service at the Cathedral of St. John the Divine in New York City on June 23, 2013. Eaton was ordained to the diaconate by Hanson. Photo: The Rev. Dr. Elizabeth A. Eaton
| Name | Organization |
|-----------------------------|---------------------------------------------------|
| Mtro. Oscar Montiel Torres | Centro de Investigaciones y Estudios Superiores en Antropología Social, CIESAS |
| Myra, Mónica Salazar | Colectivo contra la Trata de Personas, A.C. |
| Maestra Mayra Rojas Rosas | Impulsa Comun, A.C. |
| Psic. Susana Hernández | Centro Antonio de Moncayo |
The 2013 Conference was held in San Antonio, Texas at the Hotel Valencia. The conference was a great success and we had over 150 attendees. We had a variety of speakers and workshops throughout the weekend. The conference also featured a vendor fair where attendees could purchase handmade items from local artisans.
The photo shows three women standing in front of a wooden bookshelf filled with books. The woman in the center is wearing a white blazer and pants, while the other two women are dressed in black. They appear to be at an event or conference, as indicated by the lanyards they are wearing.
TRATA DE PERSONAS
TRANSFORMEMOS EN ACCIÓN EL SILENCIO Y LA OMISIÓN FRENTE A LA TRATA Y EL ABUSO DE LOS MÁS VULNERABLES
The first speaker was Professor Dr. Maria Pia Cazzola, who gave an overview of the history of the Italian Society of Hematology and the Italian Society of Oncology, and the role of the Italian Society of Hematology in the field of hematology.
TRATA DE PERSONAS CON FINES DE EXPLOTACION SEXUAL
The meeting was held in the beautiful setting of the historic center of Mexico City, at the Palacio de los Capitanes Generales, which is part of the National Museum of Anthropology and History. The venue was chosen for its historical significance and its proximity to the main conference venue, the Centro Cultural de la Maestranza. The meeting was attended by representatives from various countries, including Mexico, Spain, France, Italy, and the United States. The discussions focused on the challenges and opportunities facing women in the field of archaeology, with particular emphasis on issues such as gender equality, training, and career development. The meeting also included a panel discussion on the role of women in the archaeological profession, featuring speakers from different backgrounds and experiences. The meeting concluded with a roundtable discussion on future directions for the field, with participants sharing their ideas and suggestions for improving the situation for women in archaeology. Overall, the meeting was a success, with participants leaving with a renewed sense of commitment to advancing the cause of women in archaeology.
The meeting was held in the beautiful setting of the historic center of Mexico City, at the Palacio de Iturbide, a former convent and palace built in 1780. The venue was chosen to honor the history of women in Mexico and to celebrate the achievements of the first women in the country who have made significant contributions to the field of medicine.
La Trata de Personas en la migración y la movilidad humana
El desprecio a la humanidad, a través de la comercialización de la persona
La Trata de Personas en la migración y la movilidad humana
El desprecio a la humanidad, a través de la comercialización de la persona
The Mass was celebrated by Bishop José Luis Sánchez Román, who is the bishop of the Diocese of San Luis Potosí. The Mass was attended by a large number of people, including members of the clergy and lay faithful from the diocese.
During the Mass, Bishop Sánchez Román gave a homily in which he emphasized the importance of the Eucharist in the life of the Church. He reminded the congregation that the Eucharist is the source and summit of the Christian life, and that it is through the Eucharist that we receive the grace of God and are strengthened to live out our faith in the world.
After the homily, the Mass continued with the distribution of Holy Communion. The faithful received the Body and Blood of Christ in both species, and many expressed their gratitude for the opportunity to receive the sacrament.
Following the Mass, there was a procession of the Blessed Sacrament around the church, accompanied by music and hymns. The procession ended with a blessing of the altar and the dismissal of the faithful.
Overall, the Mass was a beautiful and moving experience for all who attended. The presence of Bishop Sánchez Román added a special touch to the celebration, and his homily provided a powerful message about the importance of the Eucharist in the life of the Church.
El 15 de enero, se realizó la ceremonia de entrega de los donativos para el Hogar de Niños y Adolescentes "La Casa de Dios" en la Parroquia de San Juan Bautista, en la Ciudad de México.
La ceremonia se realizó en la Catedral de San Juan Bautista, donde se realizó un acto religioso con la presencia del Obispo de Toluca, Mons. José Luis Sánchez Salazar, quien bendijo el altar y pronunció palabras de aliento y apoyo a las mujeres que participan en el programa.
Durante la ceremonia, se entregaron reconocimientos a las mujeres que han completado sus estudios y se les hizo entrega de certificados de graduación. También se reconoció el trabajo y dedicación de los docentes y personal administrativo que han contribuido al éxito del programa.
La ceremonia contó con la participación de familiares, amigos y autoridades locales, quienes expresaron su orgullo y felicidad por el logro de estas mujeres. La ceremonia fue un momento emotivo y significativo para todas las personas presentes, quienes compartieron en este día especial.
The first meeting of the Steering Committee was held in Rome, Italy on 15-16 September 2010. The Steering Committee is composed of representatives from the following organizations: FAO, IUCN, UNDP, UNESCO, UNEP, WFP, WHO, and WRI.
LINA PESIA
LIVE ERSCAPEL
ITALY/ITALIA
HITACHI
M. Patricia
Medina Mora Gillegas
1982
Leyla, José y María.
A group of four people is standing on a staircase, smiling and posing for a photo. The background features a pink wall and some architectural elements. One person is holding a camera, another is holding a glass, and one is wearing a lanyard with an ID badge. The setting appears to be indoors, possibly in a hotel or conference venue.
Patricia, Patricia, Patricia, Patricia, Patricia
Pablo Luis Carlos
Lutheran World Federation
Contact: firstname.lastname@example.org
Craig and his wife, Susan, at the 2013 World Congress of the International Association for the Study of Pain in Rome, Italy.
The participants in the workshop were from various countries, including Mexico, Peru, and Chile. They engaged in discussions and shared their experiences and knowledge on the topic of sustainable tourism development. The workshop was organized by the International Council for Science (ICSU) and the United Nations Environment Programme (UNEP).
Participants in the workshop on gender equality and women’s empowerment in the context of the 2030 Agenda for Sustainable Development, held in Montevideo, Uruguay, October 2015.
Creando Comunidades Seguras
Programa de prevención de trata de personas
QUIERA
El equipo de trabajo de la Comisión de la Mujer y la Equidad de Género del Consejo de la Magistratura, visitó el Palacio de la Moneda, donde se realizó una reunión con el Presidente de la República, Sebastián Piñera, quien les expresó su apoyo para que las mujeres puedan acceder a cargos de liderazgo en el sistema judicial.
The participants were very happy to be able to practice Tai Chi in the beautiful surroundings of the monastery.
The participants of the workshop in Chile were very active and engaged, participating in various activities to enhance their skills and knowledge.
The participants of the 2010 meeting in Montevideo, Uruguay, celebrated the successful completion of the project with a lively dance party.
• Facebook: campo de lucha contra la trata.
• Callejeros en defensa o en búsqueda de personas
• Youtube: muestra, habla de abuso, esclavitud y consentimiento.
• Pero también aparecen muchos materiales sin filtro, donde se observa desconocimiento.
• Y pueden ser usados utilizados para captación.
Nuevos medios
Según estudios del INEGI, había al cierre de la encuesta nacional
37.6 millones de usuarios de Internet en México.
Género:
49.6% Mujeres
50.4% Hombres
Edad:
11.4 % de 6 a 11 años
26.6 % de 12 a 17 años
21.5 % de 18 a 24 años
17.5 % de 25 a 34 años
12.5 % de 35 a 44 años
7.7 % de 45 a 54 años
3.9 % 55 y más años
| Name | Position |
|---------------|---------------------------------|
| Juan Manuel | Presidente de la Comisión |
| María del Carmen | Secretaria de la Comisión |
| Rafael Mendoza | Presidente de la Comisión |
| María del Carmen | Secretaria de la Comisión |
| María del Carmen | Secretaria de la Comisión |
Laura González
Jornalista y Estudiante
Christopher Jiménez
Grupo Juvenil de los Focolares
Damián Sánchez
Integrante de una Banda de Música
The participants in the workshop on gender and climate change in Chile.
The workshop was held in the beautiful setting of the International Ceramic Museum in Rovigo, Italy.
The meeting was held in the beautiful setting of the Palacio de los Condes de Gómara, in the historic center of Guadalajara, Mexico. The meeting was attended by 15 participants from 8 countries: Argentina, Brazil, Chile, Colombia, Mexico, Peru, Spain and Uruguay. The meeting was organized by the Mexican Society of Obstetrics and Gynecology (SOMOG) and the Mexican Association of Reproductive Medicine (AMR).
Danzón
Danzando en el patio de la Catedral.
Dancing in Mexico City
Dancing at the 2007 meeting in Mexico City.
La señora María de Jesús Hernández, directora del Centro Cultural de la Mujer, dio la bienvenida a los presentes y destacó el trabajo que se realiza en este espacio para fomentar el desarrollo integral de las mujeres.
Leyla García
La artista plástica, María del Carmen Hernández, presentó su obra "Caminos de la memoria" en el Museo de Arte Contemporáneo de Puebla (MACP). La exposición se inauguró el pasado 10 de noviembre y estará abierta al público hasta el 25 de diciembre. Hernández es originaria de Puebla y ha dedicado su carrera a la creación de obras que exploran temas relacionados con la identidad cultural y la historia de México. Su trabajo se caracteriza por la utilización de técnicas tradicionales como la pintura y la escultura, combinadas con elementos contemporáneos para crear piezas únicas e impactantes. La exposición "Caminos de la memoria" busca reflexionar sobre la importancia de preservar y transmitir la historia de México a las nuevas generaciones.
Margarita Sánchez, directora de la Fundación para el Desarrollo Integral de la Familia (FIDIF).
El evento contó con la participación de autoridades estatales y municipales, así como representantes de diversas instituciones educativas y organizaciones civiles.
The event was attended by 100 women from the state of Mexico, who were honored for their contributions to society and their commitment to the development of the state. The event was organized by the Women's Chamber of Commerce of the State of Mexico (Cámara de Comercio de Mujeres del Estado de México) and the Mexican Women's Chamber of Commerce (Cámara de Comercio de Mujeres de México).
The image shows a group of women gathered around a table in an elegant, spacious room with high ceilings and arched windows. The table is set with blue tablecloths, white napkins, and various items such as plates, glasses, and a vase with flowers. The women are dressed in colorful clothing, and some are holding books or other items. The setting appears to be formal, possibly for a celebration or event.
The group at the table includes:
- A woman in a gold dress
- An older woman in a yellow top
- A woman in a green top
- A man in a gray shirt with a lanyard
- A woman in a white top with black sleeves
- A woman in a pink top
- A woman in a striped top
- A woman in a white top with a lanyard
- A woman in a white top with a lanyard
- A man in a white shirt with a lanyard
They are all smiling and appear to be enjoying a meal together.
The team at the event in Mexico City.
The 2013 International Conference on Women and Religion in Mexico City, Mexico, was a gathering of women from around the world who came together to share their experiences and learn from each other. The conference was held at the historic Palacio de Minería, which is located in the heart of the city. The conference was organized by the International Association for Women and Religion (IAWR) and was attended by over 150 participants from 20 countries.
The conference was divided into three main sessions: plenary sessions, workshops, and roundtables. The plenary sessions featured keynote speakers who shared their insights on the role of women in religion and society. The workshops and roundtables allowed participants to engage in more in-depth discussions on specific topics related to women and religion.
One of the highlights of the conference was the opening ceremony, which featured a traditional Mexican dance performed by a group of women from different regions of Mexico. The dance was followed by a welcome address from the conference organizers, who expressed their gratitude to all the participants for attending the conference.
Throughout the conference, there were many opportunities for networking and sharing ideas with other participants. The conference also featured a variety of cultural events, including a traditional Mexican meal and a visit to the nearby Teotihuacan pyramids.
Overall, the 2013 International Conference on Women and Religion in Mexico City was a successful event that brought together women from diverse backgrounds to discuss the role of women in religion and society. The conference provided a platform for participants to share their experiences and learn from each other, and it helped to promote greater understanding and respect for the contributions of women in religious and social contexts.
The participants in the meeting in Mexico City, 2013.
Seminario de formación sobre la gestión de los recursos humanos en el sector público, organizado por la Fundación para el Desarrollo de la Administración Pública (FUNDAP) y el Instituto de Estudios Fiscales (IEF), con el apoyo del Ministerio de Hacienda y Función Pública.
| Propósito | Estrategia |
|-----------|------------|
| 1. Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud | 1. Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud |
| 2. Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud | 2. Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud |
| 3. Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud | 3. Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud |
| 4. Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud | 4. Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud |
| 5. Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud | 5. Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud |
| 6. Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud | 6. Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud |
| 7. Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud | 7. Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud |
| 8. Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud | 8. Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud |
| 9. Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud | 9. Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud |
| 10. Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud | 10. Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud |
**Estrategias**
- **Estrategia 1:** Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud.
- **Estrategia 2:** Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud.
- **Estrategia 3:** Implementar programas educativos y de sensibilización sobre la violencia contra las mujeres.
- **Estrategia 4:** Fortalecer la capacidad de las instituciones de salud para prevenir y atender la violencia contra las mujeres.
- **Estrategia 5:** Crear redes de apoyo y asistencia para las víctimas de la violencia.
- **Estrategia 6:** Promover la participación de las mujeres en la toma de decisiones sobre la violencia.
- **Estrategia 7:** Fomentar la colaboración entre diferentes sectores para abordar la violencia contra las mujeres.
- **Estrategia 8:** Desarrollar mecanismos de monitoreo y evaluación para evaluar el impacto de las estrategias implementadas.
- **Estrategia 9:** Fortalecer la capacidad de las instituciones de salud para prevenir y atender la violencia contra las mujeres.
- **Estrategia 10:** Crear redes de apoyo y asistencia para las víctimas de la violencia.
**Estrategias**
- **Estrategia 1:** Identificar y priorizar los problemas relacionados con la violencia contra las mujeres en el ámbito de la salud.
- **Estrategia 2:** Desarrollar un plan de acción para la prevención y atención de la violencia contra las mujeres en el ámbito de la salud.
- **Estrategia 3:** Implementar programas educativos y de sensibilización sobre la violencia contra las mujeres.
- **Estrategia 4:** Fortalecer la capacidad de las instituciones de salud para prevenir y atender la violencia contra las mujeres.
- **Estrategia 5:** Crear redes de apoyo y asistencia para las víctimas de la violencia.
- **Estrategia 6:** Promover la participación de las mujeres en la toma de decisiones sobre la violencia.
- **Estrategia 7:** Fomentar la colaboración entre diferentes sectores para abordar la violencia contra las mujeres.
- **Estrategia 8:** Desarrollar mecanismos de monitoreo y evaluación para evaluar el impacto de las estrategias implementadas.
- **Estrategia 9:** Fortalecer la capacidad de las instituciones de salud para prevenir y atender la violencia contra las mujeres.
- **Estrategia 10:** Crear redes de apoyo y asistencia para las víctimas de la violencia.
TRATA DE PERSONAS
TRANSFORMEMOS EN ACCIÓN EL SILENCIO Y LA OMISIÓN FRENTE A LA TRATA Y EL ABUSO DE LOS MÁS VULNERABLES
The 2013 International Congress on Women and Health was held in Mexico City, Mexico.
The 2014 International Congress of the Association of Catholic Nurses in Mexico was held in Mexico City, Mexico. The theme of the congress was "Catholic Nursing: A Mission of Health and Hope." The event was attended by nurses from various countries, including Mexico, the United States, Canada, and Europe. The congress featured presentations on topics such as nursing ethics, spirituality, and healthcare reform. The event also included a visit to the Basilica of Our Lady of Guadalupe, one of the most important pilgrimage sites in the world.
|
MISSION DARKNESS
FARADAY BAGS
CAUTION
RF SHIELDING
COMBATING DIGITAL THREATS
THE WORLD’S MOST ADVANCED WIRELESS DEVICE SHIELDING
MISSION DARKNESS IS BROUGHT TO YOU BY MOS EQUIPMENT. MISSION DARKNESS OFFERS A COMPREHENSIVE SELECTION OF RADIO FREQUENCY SHIELDING SOLUTIONS PRIMARILY FOR LAW ENFORCEMENT AND MILITARY FORENSIC INVESTIGATORS, EXECUTIVE TRAVEL PROTECTION, AND ANTI-HACKING/ANTI-TRACKING PROTECTION. MISSION DARKNESS PRODUCTS ARE DESIGNED TO KEEP WIRELESS DEVICES OFFLINE, AND COME IN SPECIFIC DIMENSIONS AND STYLES TO SHIELD DEVICES RANGING IN SIZE FROM KEYFOBS TO GENERATORS.
FARADAY BAGS AND RF ENCLOSURES
Typically used to block remote wiping or alteration of wireless devices recovered in criminal investigations, Mission Darkness faraday bags are also used by security-conscious individuals to protect against data theft and enhance digital privacy. When a device is placed inside of a bag or forensic enclosure, keyfob signals cannot be boosted, malicious apps can’t be remotely triggered or wiped, unintentional communication is blocked, and the microphone, camera, and GPS location are unable to transmit.
HOW DOES IT WORK?
Designed and tested by professionals in the lab and field, Mission Darkness faraday bags are made using the highest quality materials along with innovative and patent-pending manufacturing techniques. All Mission Darkness faraday bags include at least two layers of high-shielding fabric on all sides with dual paired seam construction to block Wi-Fi, Bluetooth, cell signals, GPS, RFID, and radio signals with 60dB-80dB average attenuation. Select products are designed and tested to MIL STD 188-125 certification, including TitanRF™ Faraday Fabric, which is incorporated in all of our bags.
MADE IN USA
Over 90% of our products are made in the USA. A few of our components are made abroad, primarily due to lack of availability in the USA. We are a proud supporter of American manufacturing and will continue to sacrifice profit to bolster local jobs.
HOW TO TEST
Faraday bags and RF enclosures should be tested regularly to ensure proper shielding. Mission Darkness offers a free, simple-to-use app that measures the signal blocking strength of any faraday bag or RF enclosure using the Wi-Fi and cell antennas on your own device.
Look for FARADAY TEST on iOS or MD FARADAY BAG TESTER on Android.
Law Enforcement and Military Forensic Investigations
- Helps maintain the integrity of digital forensic evidence during search and seizure transport by protecting data from wipe commands and other deletion tactics used by criminals
- Analysis enclosures allow personnel to operate touch screens in order to conduct cell phone and tablet triage, analysis, and data extraction while keeping devices shielded
Government and Executive Travel Protection
- Shields phones, tablets, laptops, passports, and IDs from hacking and tracking while traveling
- Provides an easily-deployable security solution
- Thwarts hacking attempts on valuable/confidential information
Secure Facilities Device Management and Compliance
- Protects information in secure facilities
- May allow owners to keep devices on their person when in high-level security environments that discourage the use of electronic devices
- Disables remote access of microphone, camera, and GPS tracking to preserve privacy
Federal and Military Clandestine Operations
- Prevents the risk of tracking military personnel or seized items during operations
- Mitigates electromagnetic interference of radio and other devices
- Protects identity of personnel by blocking unwanted applications from accessing data
Anti-Hacking, Anti-Tracking, and Anti-Spying Assurance
- Defends against malicious vehicle access via relay hacking and signal boosting
- Shields cell phones, tablets, GPS units, electronic toll transponders, and similar devices from all wireless signals
Electromagnetic Pulse, Coronal Mass Ejection, and Solar Flare Protection
- Preserves the working integrity of electronic devices in the event of EMP or CME
- Select products certified to MIL STD 188-125, including TitanRF™ Faraday Fabric, which is incorporated into all of our bags
ORDERING INFORMATION
LEAD TIME
IN-STOCK ITEMS ARE TYPICALLY SHIPPED WITHIN TWO BUSINESS DAYS. PLEASE INQUIRE FOR OUT-OF-STOCK LEAD TIMES.
SHIPPING
DOMESTIC AND INTERNATIONAL SHIPPING PRIMARILY THROUGH UPS, USPS, OR CUSTOMER ACCOUNT. ITEMS SHIP FROM SANTA BARBARA, CA 93101.
DUTY & TAXES
ALL DUTY AND TAXES ARE THE RESPONSIBILITY OF THE CUSTOMER.
CONTRACTING
COMPANY INFO
WE ACCEPT GOVERNMENT CONTRACTS. FIND US ON GSA ADVANTAGE!
GSA CONTRACT# 47QSWA20D003R
LEGAL NAME: MERAKAI, LLC DBA MOS EQUIPMENT
DUNS # 08-018-9276
CAGE CODE: 7N2U1
MISSION DARKNESS
SUPPORTING CUSTOMERS WORLDWIDE
U.S. ARMY
DEPARTMENT OF JUSTICE - FEDERAL BUREAU OF INVESTIGATION
DEPARTMENT OF THE NAVY - UNITED STATES OF AMERICA
SEAL OF THE PRESIDENT OF THE UNITED STATES
enterprise rent-a-car
LoJack®
U.S. DEPARTMENT OF HOMELAND SECURITY
U.S. CUSTOMS AND BORDER PROTECTION
UNITED STATES POSTAL SERVICE
U.S. AIR FORCE
Google News Lab
UNITED STATES SECRET SERVICE
We offer quality custom labeling to help personalize your new faraday bags. Our design team will work with you to customize your label and materials from start to finish.
**BENEFITS OF CUSTOM LABELS**
- Communicate and advertise brand image
- Apply specific usage instructions to eliminate training needs
- Add department or agency information for asset tracking
- Promote special events
**COMMON LABELING OPTIONS**
- Adhesive labels in plastic pockets
- Woven labels sewn onto exterior fabric
- Screenprinting applied to exterior materials
- Printed cards and booklets
- Vinyl heat transfers
The labeling process can take place during or after production to assist with tighter deadlines.
*Minimum order quantity and labeling style will vary based on product and deadline. Please contact us to discuss options.*
Mission Darkness Ballistic Nylon Faraday Bags form the core of the product line. Choose between sizes for nearly any device, window (to view the device and confirm signal cutoff) and non-window, and other features built for customer applications ranging from forensics to car security. Multiple layers of shielding fabric, dual paired seams construction, and wear-resistant outer materials provide an average of 70dB+ shielding and long product life.
Mission Darkness™
BALLISTIC NYLON
FARADAY BAGS
Dimensions: Internal 5.25" x 9.5"
Phone Size, Non-window
MDFB-S-NW
Mission Darkness Small Non-window Faraday Bag for Cell Phones. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, branding pocket, serialized. Large enough for nearly any phone and even some small tablets.
Dimensions: Internal 12" x 8.5"
Tablet Size, Non-window
MDFB-M-NW
Mission Darkness Medium Non-window Faraday Bag for Tablets. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, branding pocket, serialized.
Dimensions: Internal 18" x 14.5"
Laptop Size, Non-window
MDFB-L-NW
Mission Darkness Large Non-window Faraday Bag for Laptops. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, branding pocket, serialized.
Dimensions: Internal 5.25" x 8.5"
Phone Size, Window
MDFB-S-W
Mission Darkness Small Window Faraday Bag for Cell Phones. Multiple layers of high-shielding fabric, dual paired seams, viewing window with transparent faraday, protective outer shell, branding pocket, serialized.
Dimensions: Internal 12" x 8.5"
Tablet Size, Window
MDFB-M-W
Mission Darkness Medium Window Faraday Bag for Tablets. Multiple layers of high-shielding fabric, dual paired seams, viewing window with transparent faraday, protective outer shell, branding pocket, serialized.
Dimensions: Internal 18" x 14.5"
Laptop Size, Window
MDFB-L-W
Mission Darkness Large Window Faraday Bag for Laptops. Multiple layers of high-shielding fabric, dual paired seams, viewing window with transparent faraday, protective outer shell, branding pocket, serialized.
Mission Darkness™
BALLISTIC NYLON
FARADAY BAGS { Continued }
Mojave Series, Phone Bag
MDFB-S-MS
Mission Darkness Mojave Faraday Phone Bag. Padded travel bag with multiple layers of high-shielding fabric in faraday sleeve compartment, plus accessory pockets in varying dimensions and snap hook for keys.
Dimensions:
- Internal faraday sleeve 7"L x 4.5"W x 0.5"H
- External 8.75"L x 6"W x 1"H
MSRP $50
Mojave Series, Tablet Bag
MDFB-M-MS
Mission Darkness Mojave Faraday Tablet Bag. Padded travel bag with multiple layers of high-shielding fabric in faraday sleeve compartment, plus accessory pockets in varying dimensions.
Dimensions:
- Internal faraday sleeve 10.5"L x 7.5"W x 0.75"H
- External 12.5"L x 9.25"W x 1.5"H
MSRP $90
X2 Duffel Bag
MDFB-D-A
Mission Darkness X2 Faraday Duffel Bag. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, branding pocket, accessory compartment, removable shoulder strap, MOLLE webbing, serialized. Includes removable shielded pouch with MOLLE webbing and straps.
Dimensions:
- Internal ~ 26"L x 13"W x 13"H
MSRP $245
MOLLE Pouch
MDFB-A-DFP
Mission Darkness MOLLE Faraday Pouch. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, serialized, MOLLE webbing and straps for attaching to any MOLLE-enabled bag. Same pouch as included on the X2 Duffel.
Dimensions:
- External 8"L x 6"W x 2"H
MSRP $80
Padded Utility Bag
MDFB-PUB
Mission Darkness Padded Utility Faraday Bag. Designed to shield and protect fragile devices (cell phones, night vision, rifle scopes) during transport. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, padded handle, MOLLE webbing, 2 accessory compartments, serialized, removable extra-padded liner with dividers.
Dimensions:
- Internal w/o padding 16"L x 6"W x 7.5"H
- Internal w/ padding 15.5"L x 5.5"W x 7"H
MSRP $190
Keyfob Size
MDFB-K
Mission Darkness Faraday Bag for Keyfobs. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, serialized, belt loop, keyring loop. Designed for security of vehicles with smart keyfobs.
Dimensions:
- Internal 5.5" x 3.5"
MSRP $10
Mission Darkness™
BALLISTIC NYLON
FARADAY BAGS (Continued)
T10 Tower Bag
Mission Darkness T10 Faraday Bag for Computer Towers. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, heavy-duty reinforced handles and webbing, branding pocket, serialized, folds flat. Large enough for complete desktop setups and accompanying accessories.
Revelation EMP Shield
Mission Darkness Revelation EMP Shield for Generators and Larger Items. Removable aluminum plate on the bottom holds heavy items 70lbs+. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, heavy-duty reinforced handles and webbing, accessory compartment, front clear pocket. Typically used for EMP protection, forensics, and data security.
Eclipse Solar Panel Bag
Mission Darkness Eclipse Faraday Bag for Solar Panels. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, heavy-duty reinforced handles and webbing, accessory compartment, front clear pocket. Typically used for portable solar panel protection against EMPs.
Mission Darkness Dry Shield Faraday Bags are weatherproof and waterproof bags for shielding electronic devices from RF signals during travel, in rain or snow, sand, dirt, and near water or contaminants. Offering the highest-grade signal protection for law enforcement, executives, military, covert ops, EMP protection, and security-conscious individuals.
**Dry Shield Phone Sleeve**
MDFB-DSPS
Mission Darkness Dry Shield Faraday Phone Sleeve. Waterproof, weatherproof, signalproof. Multiple layers of high-shielding fabric, dual paired seams, durable 600D TPU/420D TPU outer shell, magnetic closure. Holds cell phones and small devices.
Dimensions: Internal 7.5” x 4”
MSRP $38
**Dry Shield Tablet Sleeve**
MDFB-DSTS
Mission Darkness Dry Shield Faraday Tablet Shield. Waterproof, weatherproof, signalproof. Multiple layers of high-shielding fabric, dual paired seams, durable 600D TPU/420D TPU outer shell, magnetic closure. Holds tablets, multiple cell phones, and similar devices.
Dimensions: Internal 12” x 9”
MSRP $70
**Dry Shield MOLLE Pouch (Gen 2)**
MDFB-DSMP
Mission Darkness Dry Shield MOLLE Faraday Pouch. Waterproof, weatherproof, signalproof. 100% waterproof zipper and 840D TPU outer shell, multiple layers of high-shielding fabric, dual paired seams, MOLLE webbing, MOLLE straps. Holds cell phones, radios, and similar devices.
Dimensions: Internal 8”L x 6.5”W x 2”H
MSRP $85
**Dry Shield Tote 15L**
MDFB-DS15L
Mission Darkness Dry Shield Faraday Tote 15 Liter Capacity. Waterproof, weatherproof, signalproof. Multiple layers of high-shielding fabric, dual paired seams, 500D PVC outer shell, front clear pocket, removable shoulder strap. Holds laptops, tablets, and similar devices.
Dimensions: Internal 17”L x 9”W round Folds down to 14.5”L x 3.5”W External fully expanded 21.5”L x 9”W round
MSRP $90
**Dry Shield Backpack 40L**
MDFB-DS40L
Mission Darkness Dry Shield Faraday Backpack 40 Liter Capacity. Waterproof, weatherproof, signalproof. Multiple layers of high-shielding fabric, dual paired seams, 500D PVC outer shell, MOLLE webbing on three sides, 5 external pockets included, heavy-duty reinforced adjustable shoulder, chest, and waist straps. Holds multiple laptops and other devices.
Dimensions: Internal 18”L x 17”W x ~12”H External fully expanded 28”L x 17”W x ~12”H
MSRP $297
**Dry Shield Rapture Bag 1,060L**
MDFB-DSRAP
Mission Darkness Dry Shield Rapture Faraday Bag 1,060 Liter Capacity for Generators and Extra-large Items. Waterproof, weatherproof, signalproof. Multiple layers of high-shielding fabric, dual paired seams, 100% waterproof zipper, 500D PVC outer shell, heavy-duty reinforced straps and handles, air release valve, removable base mat. Designed for protecting generators, survival electronics, and bulky items from disasters such as EMPs and floods.
Dimensions: Internal 5’L x 30”W x 36”H OR 5’L x 36”W x 30”H Folds down to 30”L x 32”W x 3.5”H
MSRP $980
Mission Darkness Forensic Analysis Enclosures offer the ultimate in radio frequency shielding and hands-on accessibility for electronic device forensics investigations. For hands-on analysis choose between soft-sided, portable enclosures or rigid lab enclosures, with various filter options for data transfer and power. Other enclosures include battery kits to keep devices live and shielded during transport, as well as non-hands-on charging and data extraction bags. With innovative designs and shielding features, MD forensics enclosures offer performance that no other RF shielding products can achieve.
FIELD
Anyone handling digital evidence in the field should protect devices from remote wiping and alteration to maintain chain of custody.
Patrol Officers
If budgets allow, every officer should carry protection for digital evidence.
**PATROL OFFICER**
| Product | Price | Staff | Total cost |
|--------------------------|--------|-------|------------|
| Phone Shield | $23/ea | 200 | $4,600 |
| Phone Shield + Laptop Shield | $23/ea | 200 | $22,600 |
Budget $5,000 - $23,000
Cheapest option for wider distribution, but cannot protect larger devices.
Best option for protecting phones, tablets & laptops!
**DETECTIVES & CRIME UNITS (NARCOTICS, HOMICIDE)**
| Product | Price | Staff | Total cost |
|--------------------------|--------|-------|------------|
| - Charges phones & tablets | $425/ea | 20 | $8,500 |
| - Includes cable kit | | | |
| Charge & Shield Kit (Tablet Size) | $425/ea | 20 | $10,300 |
| + Protects laptops | $90/ea | 20 | |
| BEST KIT | | | |
| - Charges phones & tablets | $425/ea | 20 | $15,200 |
| - Includes cable kit | | | |
| + Protects multiple devices | $425/ea | 20 | |
| Laptop Shield | $90/ea | 20 | |
| X2 Duffel | $245/ea| 20 | |
Budget $9,000 - $15,000
Detectives, CSI and other units must keep devices live & protected until they reach the lab.
FRONT OFFICE
Separates the field and the lab so officers can bring digital evidence day or night. Devices are stored in charging & shielding lockers until the investigator is ready for analysis.
**Transfer Box**
Transfer evidence in velcro faraday bags to Charge & Shield bags to keep them charging in the Blocker Locker.
**Blocker Locker**
Multiple compartments to keep devices live, protected and locked. Digital forensics examiner holds the admin key and removes bags when ready for examination.
Front Office Budget $8,000
DIGITAL FORENSICS LAB
The digital forensics investigator’s time is always limited. Separating “front office” responsibilities from the investigator, as well as the right shielding & charging equipment, provides more time for critical work.
**BlockBox Lab**
Forensic tools require interaction with a device, for example, using small bootloaders for password cracking. After this initial phase, devices can be placed in shielding bags to free up the box.
**Charge & Shield Bags**
Keep devices charged while waiting to be used in a faraday box or while breaking passcodes.
Budget $2,400
Budget $2,200
Lab Budget $5,000
Already have a Faraday Tent?
If you already have a faraday tent, devices should be protected while the door is open, as well as for redundancy. If the tent fails, all devices can receive signal at once.
TOTAL BUDGET $21,000 - $50,000
COMPLETE SOLUTION FIELD to LAB
Mission Darkness™
FORENSIC ANALYSIS
ENCLOSURES
BlockBox Lab
MDFB-BBL-RJ45
Mission Darkness BlockBox Lab. Hard-sided forensic analysis enclosure for investigating mobile devices. Aluminum frame with RF absorbent foam lining, conductive gloves for device operation, angled shielded window, power strip (3 universal power + 4 USB ports), LED array, shielded filter (1 AC + 1 RJ45 ethernet + 2 USB ports). Accessory kit includes replacement gloves and foam seals, 2 USB A/M to A/M cables, power cable, ethernet cable, MDFB-M-NW-M, stylus, and usage instructions.
BlockBox Lab XL
MDFB-BBL-XL-RJ45
Mission Darkness BlockBox Lab XL. Extra-large hard-sided forensic analysis enclosure for investigating mobile devices including laptops. Aluminum frame with RF absorbent foam lining, conductive gloves for device operation, angled shielded window, power strip (4 universal power + 4 USB ports), 2 LED arrays, shielded filter (1 AC + 1 RJ45 ethernet + 2 USB ports). Accessory kit includes replacement gloves and foam seals, 2 USB A/M to A/M cables, power cable, ethernet cable, MDFB-M-NW-M, stylus, and usage instructions.
BlockBox Touch
MDFB-BBT
Mission Darkness BlockBox Touch. Portable analysis enclosure with conductive glove/pocket to operate devices, transparent viewing window, multiple layers of high-shielding fabric, dual paired seams, protective outer shell, and signal-dampening foam block. Folds down for transport. Includes carrying case with pockets and usage instructions. 70dB+ average attenuation.
BlockBox Touch Multiport
MDFB-BBT-MPF
Mission Darkness BlockBox Touch Multiport. Portable analysis enclosure with conductive glove/pocket to operate devices, transparent viewing window, shielded filter (1 AC + 1 RJ45 ethernet + 2 USB ports), multiple layers of high-shielding fabric, dual paired seams, protective outer shell, and signal-dampening foam block. Includes 2 USB A/M to A/M cables, power cable, ethernet cable, stylus, and usage instructions.
BlockBox Touch USB
MDFB-BBT-USB
Mission Darkness BlockBox Touch USB. Portable analysis enclosure with conductive glove/pocket to operate devices, transparent viewing window, shielded USB port for data extraction and charging, multiple layers of high-shielding fabric, dual paired seams, protective outer shell, and signal-dampening foam block. Folds down for transport. Includes USB A/M to A/M cable, carrying case, and usage instructions. 70dB+ average attenuation.
Forensic Crack Cabinet
MDFCC-8
Mission Darkness Forensic Crack Cabinet. Durable acrylic cabinet with 8 compartments keeps devices charged indefinitely, physically organized, securely locked, and visible. Includes cable kit (USB A/M to A/M, lightning, USB micro, USB-C) in each compartment, master switch to toggle power for all devices (shows if passcodes have been cracked), and Noctua fan system. Streamlines passcode unlocking and data extraction processes with tools like GrayKey. Optional extension pack increases charging capacity from 8 to 16 devices.
All soft-sided forensic analysis enclosures are built with a patent-pending NeoLok magnetic closure, designed for transferring devices from the collection site to the lab. The bag’s magnetic closure easily opens inside of a forensic box without the worry of damaging conductive gloves, opposed to Velcro closure bags which can cause abrasion.
**Phone Size, NeoLok Non-window**
- **MDFB-S-NW-M**
- Dimensions: Internal 9” x 6.5”
- MSRP $48
Mission Darkness NeoLok Non-window Faraday Bag for Cell Phones. Magnetic closure with quick snap strap is safer for conductive gloves/used for forensics. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, branding pocket, serialized.
**Phone Size, NeoLok Window**
- **MDFB-S-W-M**
- Dimensions: Internal 9” x 6.5”
- MSRP $65
Mission Darkness NeoLok Window Faraday Bag for Cell Phones. Magnetic closure with quick snap strap is safer for conductive gloves/used for forensics. Multiple layers of high-shielding fabric, dual paired seams, viewing window with transparent faraday, protective outer shell, branding pocket, serialized.
**Tablet Size, NeoLok Non-window**
- **MDFB-M-NW-M**
- Dimensions: Internal 12” x 8.5”
- MSRP $65
Mission Darkness Medium NeoLok Non-window Faraday Bag for Tablets. Magnetic closure with quick snap strap is safer for conductive gloves/used for forensics. Multiple layers of high-shielding fabric, dual paired seams, protective outer shell, branding pocket, serialized.
**Tablet Size, NeoLok Window**
- **MDFB-M-W-M**
- Dimensions: Internal 12” x 8.5”
- MSRP $90
Mission Darkness NeoLok Window Faraday Bag for Tablets. Magnetic closure with quick snap strap is safer for conductive gloves/used for forensics. Multiple layers of high-shielding fabric, dual paired seams, viewing window with transparent faraday, protective outer shell, branding pocket, serialized.
**Phone Size, NeoLok Bag with 10,000mAh Battery Kit**
- **MDFB-S-CK-1**
- Dimensions: Internal 9.5” x 6”
- MSRP $130
Mission Darkness Small NeoLok Faraday Bag with Battery Kit. NeoLok magnetic closure for forensics, multiple layers of high-shielding fabric, dual paired seams, protective outer shell, branding pocket, serialized, small shielded window to view indicator light of battery, and zipper compartment to hold battery and cables. Kit includes 10,000mAh battery, cable kit (lightning, USB micro, USB-C, USB extension), and usage instructions.
**Phone Size, NeoLok Bag with 20,000mAh Battery Kit**
- **MDFB-S-CK-2**
- Dimensions: Internal 9.5” x 6”
- MSRP $150
Mission Darkness Small NeoLok Faraday Bag with Battery Kit. NeoLok magnetic closure for forensics, multiple layers of high-shielding fabric, dual paired seams, protective outer shell, branding pocket, serialized, small shielded window to view indicator light of battery, and zipper compartment to hold battery and cables. Kit includes 20,000mAh battery, cable kit (lightning, USB micro, USB-C, USB extension), and usage instructions.
Mission Darkness™
FORENSIC ANALYSIS
ENCLOSURES (Continued)
**Tablet Size, NeoLok Bag with 20,000mAh Battery Kit**
MDFB-M-CK
Mission Darkness Medium NeoLok Faraday Bag with Battery Kit. NeoLok magnetic closure for forensics, multiple layers of high-shielding fabric, dual paired seams, protective outer shell, branding pocket, serialized, shielded window to view indicator light of battery, and zipper compartment to hold battery and cables. Kit includes 20,000mAh battery, cable kit (lightning, USB micro, USB-C, USB extension), and usage instructions.
**Dimensions:** Internal 13" x 11"
**MSRP** $200
**Tablet Size, NeoLok Non-window with USB Filter**
MDFB-M-NW-USB
Mission Darkness NeoLok Non-window Tablet Size Faraday Bag with USB Filter. USB filter through bag for data extraction and charging. NeoLok magnetic closure for forensics, multiple layers of high-shielding fabric, dual paired seams, protective outer shell, branding pocket, serialized, USB A/M to A/M cable, carrying case, and usage instructions.
**Dimensions:** Internal 12" x 8.5"
**MSRP** $300
**Phone Size, Charge & Shield Bag**
MDBL-CS-S
Mission Darkness Charge & Shield Faraday Bag for Phones. Keep devices live in the field or lab. USB filter through bag for data extraction and charging. NeoLok magnetic closure for forensics, multiple layers of high-shielding fabric, dual paired seams, viewing window with transparent faraday, protective outer shell, branding pocket, serialized, cable kit (USB A/M to A/M, lightening, micro USB, USB-C, USB extension), zipper compartment to hold cables, carrying case, and usage instructions. Ask for a quote for other options like battery.
**Dimensions:** Internal 12.5" x 9"
**MSRP** $390
**Phone Size, Charge & Shield Bag - Go Kit**
MDBL-CS-S-GO
Mission Darkness Charge & Shield Faraday Bag for Phones - Go Kit. Includes everything listed to the left + USB car charger and wall charger. Allows devices to be charged at a wall outlet or in the car. All items conveniently stowed in the pocket on the back of the bag.
**Dimensions:** Internal 12.5" x 9"
**MSRP** $420
**Tablet Size, Charge & Shield Bag**
MDBL-CS-M
Mission Darkness Charge & Shield Faraday Bag for Tablets. USB filter through bag for data extraction and charging. NeoLok magnetic closure for forensics, multiple layers of high-shielding fabric, dual paired seams, viewing window with transparent faraday, protective outer shell, branding pocket, serialized, cable kit (USB A/M to A/M, lightening, micro USB, USB-C, USB extension), pocket to hold cables, carrying case, and usage instructions.
**Dimensions:** Internal 13" x 11"
**MSRP** $425
**Tablet Size, Charge & Shield Bag - Go Kit**
MDBL-CS-M-GO
Mission Darkness Charge & Shield Faraday Bag for Tablets - Go Kit. Includes everything listed to the left + USB car charger and wall charger. Allows devices to be charged at a wall outlet or in the car. All items conveniently stowed in the pocket on the back of the bag.
**Dimensions:** Internal 13" x 11"
**MSRP** $455
The Blocker Locker™ 7 system solves multiple problems for forensics investigators and labs. To effectively access and recover data from cell phones and tablets, the latest forensic tools require devices to stay live. It can be difficult to keep devices shielded from signals, charged at all times, and securely locked. The Blocker Locker™ 7 accomplishes all of these objectives in a single cabinet designed specifically for shielding, charging, and locking. The unit includes 7 fully loaded compartments, while additional Charge & Shield bags can be purchased as required. To extract data from a device in the Blocker Locker™, simply remove the Charge & Shield bag, unplug power and bring it into a forensic faraday box. The bag can be easily opened in the box (the magnetic NeoLok™ closure reduces faraday glove abrasion) while the device is passed into the shielded enclosure. Shielding and power are never compromised, providing a seamless process for investigators.
**BLOCKER LOCKER™ 7**
$4,999
**CHARGE AND SHIELD EVIDENCE CABINET**
- **Fully Loaded Compartments**
- **Charging Components**
- **Compartment Illumination**
- **NeoLok Closure**
- **Compatible with BLOCK BOX**
*7 Charge & Shield Phone Size bags are included with the Blocker Locker, see the previous page to view other variations*
Purchase additional Charge & Shield bags to increase the capacity up to 14 devices
- **Phone Size:** $390/ea MDBL-CS-S
- **Tablet Size:** $425/ea MDBL-CS-M
- Up to two Charge & Shield bags can fit in one compartment.
- Purchase additional bags to support more than 7 devices in the Blocker Locker 7. Offered in phone or tablet size.
Each Bag Includes
- Faraday bag with window, USB filter, and pocket on back to hold cables
- Phone charging cables – lightning, micro USB, USB-C, USB extension
- USB A to A cable
Mission Darkness supplies include a variety of TitanRF materials for making custom RF shielding projects. High shielding fabric, tapes, and patches can be combined to cover electronics emitting EMI/EMR, to make personal data security products such as wallets, or to line walls of homes or offices. Please contact us for bulk material orders.
Mission Darkness TitanRF Faraday Fabric is a nickel and copper composition material used by military, law enforcement agencies, and corporations to block cell, WiFi, Bluetooth and GPS signals. It has been lab tested and certified to shielding effectiveness standards MIL-STD-188-125 and IEEE 299-2006. It can be cut and sewn like standard fabric for RF shielding rooms and tents, EMP protection, EMI/EMF radiation reduction, anti-theft, identity protection, signal isolation in secure facilities, data protection during travel, and more. The fabric is available in multiple lengths with additional items included based on the kit.
Mission Darkness TitanRF Faraday Tape is a high-shielding conductive adhesive tape, primarily used to connect two sheets of TitanRF Faraday Fabric, seal RF shielding enclosures, or repair a punctured faraday bag/cage. It has been lab tested and certified to shielding effectiveness standards IEEE 299-2006. The tape is available in multiple widths and lengths. *The ONLY tape compatible with the Mission Darkness Taperator is the 164' length x 2" width roll (MDFT-50M-2i); this product has a protective cardboard rim with printed instructions.
Mission Darkness TitanRF Faraday Patch is a high-shielding conductive adhesive rectangular sheet, available in small, medium, and large sizes. The flexible patch is primarily used to cover surfaces to make them conductive, mend a punctured faraday bag, connect two sheets of TitanRF Faraday Fabric, seal RF shielding cages, create a faraday enclosure, or as a pocket sticker to deflect cell phone radiation. It has been lab tested and certified to shielding effectiveness standards IEEE 299-2006.
TitanRF™ Faraday Foam Gasket - Short Length
Mission Darkness TitanRF Faraday Foam Gasket is a 20"L x 0.4"W x 0.47"H foam strip covered in high-shielding conductive fabric with adhesive backing on the bottom. The flexible RF shielding foam is primarily used for gasketing, cushioning, and sealing faraday enclosures, forensic box lids, and joints.
Dimensions: External 20"L x 0.4"W x 0.47"H
MSRP $8
TitanRF™ Faraday Foam Gasket - Long Length
Mission Darkness TitanRF Faraday Foam Gasket is a 90"L x 0.75"W x 0.25"H foam strip covered in high-shielding conductive fabric with adhesive backing on the bottom. The flexible RF shielding foam is primarily used for gasketing, cushioning, and sealing faraday enclosures, forensic box lids, and joints.
Dimensions: External 90"L x 0.75"W x 0.25"H
MSRP $25
TitanRF™ Faraday Glove Set
Mission Darkness TitanRF Glove Set is made out of TitanRF Flex Faraday fabric, a flexible high-shielding conductive material that has been lab tested and certified to shielding effectiveness standards IEEE 299-2006. The set includes two double-layer gloves—universal size for left and right hands. Used for applications such as forensic box glove replacement and shielded device-screen touch/operation.
Dimensions: Standard size (large size available upon request)
MSRP $100
ATC Transponder Faraday Shield
Mission Darkness ATC Transponder Faraday Shield is used for maximizing the attenuation level in order to prevent unwanted aircraft transponder transmissions or interference. Built with three layers of TitanRF Faraday Fabric, plus a 4-inch border of TitanRF Faraday Tape, so it can be adhered directly to the aircraft. Sized specifically to cover antenna couplers.
Dimensions: External 46" x 32"
MSRP $120
Taperator
Mission Darkness Taperator provides fast, easy, one-handed tape application for constructing RF shielding enclosures/projects and joining fabric sheets. The Taperator is intended for use with the TitanRF Faraday Tape (2" width x 164' length rolls). Taperator firmly applies tape to flat seams, and has a retractable creasing wheel for taping inside corners. Multiple tape kit options available.
Compatibility: *Only use with TitanRF Faraday Tape - 2"W x 164'L rolls
MSRP $40
Shielded Honeycomb Air Vent
Mission Darkness Shielded Honeycomb Air Vent is used to obtain effective electromagnetic shielding while allowing excellent airflow, for ventilation and heating in screened rooms, EMI/RF shielded rooms, electrical control panels, faraday cages, or any type of shielded enclosure. Fabricated from high-performance and corrosion resistant steel material, and has been lab tested and certified to shielding effectiveness standards IEEE 299-2006.
Dimensions: External rim frame 12" x 6"
MSRP $550
Exodus EMP Faraday Car Cover
Mission Darkness Exodus EMP Faraday Car Cover is an extremely large faraday enclosure designed for shielding vehicles from HEMP/EMP or related occurrences. Constructed with multiple layers of TitanRF Faraday Fabric with no exposed stitching (no holes) and 100% continuous planes. Custom made to fit each vehicle's unique exterior and wheel width dimensions. Can also be used for shielding extra-large electronics such as satellites, commercial generators on trailers, and survival equipment.
Dimensions: Custom size - made to order
MSRP $5,500+
Mission Darkness™ offers a growing line of radiation shielding apparel and home interior products that act as a barrier between your body and harmful electromagnetic frequencies (EMF) and radio frequencies (RF) inside your home, office, and public places, such as those coming from cell phones, laptops, Wi-Fi routers, smart meters, 5G cell towers, and additional sources.
**TitanRF™ Radiation Shielding Blackout Curtains - Short Panel**
Mission Darkness TitanRF Radiation Shielding Blackout Curtains combines quality materials and innovative RF shielding technology. The main function of the curtains is to act as a barrier between the inside of your house and harmful EMF coming from cell phone towers, smart meters, and other outside sources. Two panels per set; available in beige, gray, or white.
**Dimensions:**
- External 63"L x 42"W - 2 panels per set
**MSRP:** $250
**TitanRF™ Radiation Shielding Blackout Curtains - Long Panel**
Mission Darkness TitanRF Radiation Shielding Blackout Curtains combines quality materials and innovative RF shielding technology. The main function of the curtains is to act as a barrier between the inside of your house and harmful EMF coming from cell phone towers, smart meters, and other outside sources. Two panels per set; available in beige, gray, or white.
**Dimensions:**
- External 84"L x 52"W - 2 panels per set
**MSRP:** $300
**EMF Blackout Hat**
Mission Darkness EMF Blackout Hat is a comfortable shielded baseball style cap lined with TitanRF Flex Faraday Fabric. Provides a barrier between your head and harmful EMF coming from cell phone towers, smart meters, and other outside sources. Adjustable snapback closure fits heads from 20.5" to 23.25" interior circumference.
**Dimensions:**
- Fits heads from 20.5" to 23.25" circumference
**MD-EMF-HAT**
**MSRP:** $80
**EMF Blackout Beanie**
Mission Darkness EMF Blackout Beanie is a comfortable shielded skullcap/beanie lined with TitanRF Flex Faraday Fabric. Provides a barrier between your head and harmful EMF coming from cell phone towers, smart meters, and other outside sources. Stretches to fit heads up to 22.5" interior circumference.
**Dimensions:**
- Fits heads up to 22.5" circumference
**MD-EMF-BEANIE**
**MSRP:** $80
**TitanRF™ Radiation Shielding Throw Blanket**
Mission Darkness TitanRF Radiation Shielding Throw Blanket combines quality materials and innovative RF shielding technology. The main function of the blanket is to act as a barrier between your body and harmful EMF inside your home, such as those coming from cell phones, laptops, WiFi routers, smart meters, and 5G cell towers. The reversible gray and white design consists of ultra-soft 100% polyester exterior layers with EMF radiation protection hidden inside.
**Dimensions:**
- Exterior 60" x 50"
**MD-BLANKET-GRAY**
**MSRP:** $150
**TitanRF™ Radiation Shielding Baby Blanket - Blue or Pink**
Mission Darkness TitanRF Radiation Shielding Baby Blanket combines quality materials and innovative RF shielding technology. The main function of the blanket is to act as a barrier between your child's body and harmful EMF inside your home, such as those coming from cell phones, laptops, WiFi routers, smart meters, and 5G cell towers. Made with ultra-soft 100% polyester minky dot exterior fabric plus EMF radiation protection hidden inside. Available in blue or pink.
**Dimensions:**
- Exterior 40" x 30"
**MD-BLANKET-BABY**
**MSRP:** $80
Mission Darkness FreeRoam Faraday Belt Bag is a stylish waist pack perfect for travel and everyday wear. Constructed with a protective water-resistant exterior, two layers of TitanRF Faraday Fabric lining the interior, plus two unshielded front zipper compartments. Large enough to hold multiple cell phones and accessories.
Mission Darkness FreeRoam Faraday Backpack protects laptops and mobile devices during travel and everyday commuting. Constructed with two layers of TitanRF Faraday Fabric lining the interior, water-resistant 600D PVC exterior, plus an unshielded front zipper pocket. The back side includes breathable back padding and adjustable straps with supportive nylon webbing. Padded laptop compartment fits up to 17 inch laptops.
The Mission Darkness Blokstart Keyfob Shield is a durable faraday enclosure for preventing vehicle engines from starting during auto service. Smart keyfobs allow a vehicle to start without a physical key in the ignition, which may destroy the engine or harm the mechanic during service. When the keyfob is placed inside of the Blokstart Keyfob Shield, all signal is instantly blocked, preventing the ignition from communicating with the keyfob. Maintain customer, vehicle, and mechanic safety with this simple and effective solution.
**AVERAGE SHIELDING**
70 dB+
**VEHICLE START PROTECTION**
**PREVENTS ACCIDENTAL ENGINE STARTING DURING SERVICE**
**DESIGNED FOR VEHICLE SAFETY AND SECURITY**
Dimensions:
- Internal 9” x 5.5”
- External 11” x 5.5”
Blokstart Keyfob Shield
MSRP $50
MDFB-BKS
PROTECTED ANYWHERE YOU GO
WE BELIEVE THAT EVERY HUMAN HAS THE RIGHT TO SAFETY, SECURITY, AND PRIVACY. AS WE INTRODUCE NEW DEVICES INTO OUR LIVES THAT SEE US, LISTEN TO OUR CONVERSATIONS, AND TRACK OUR WHEREABOUTS, THESE FUNDAMENTAL RIGHTS BECOME NEARLY IMPOSSIBLE TO ACHIEVE AT THE SACRIFICE OF CONVENIENCE.
OUR MISSION IS TO GIVE THE CONTROL BACK TO YOU. STAY PRIVATE AT HOME, STOP CELL PHONE HACKERS WHILE IN PUBLIC, PREVENT YOUR CAR FROM BEING STOLEN, PROTECT YOUR ELECTRONICS FROM AN EMP, BLOCK A CRIMINAL FROM REMOTE WIPING, SAFEGUARD SENSITIVE DATA ON YOUR LAPTOP... THE CHOICE IS ONCE AGAIN YOURS.
Made by MOS equipment | mountain. ocean. sky.
RF SHIELDING
MOSEQUIPMENT.COM
|
2nd World Barefoot Water Skiing Championships
MARINE WORLD • AFRICA USA 1980
sponsored by
San Miguel Classic beer of the Pacific.
2ND WORLD BAREFOOT WATERSKIING CHAMPIONSHIPS
SEPTEMBER 18-21, 1980
MARINE WORLD • AFRICA USA
COUNTRIES PARTICIPATING: Australia, Austria, Belgium, Canada, Colombia, England, France, Ireland, Italy, Mexico, Netherlands, New Zealand, United States, West Germany
THE OLYMPICS OF WATERSKIING...
Marine World/Africa USA is proud to welcome over 50 of the world’s top men and women athletes in the incredible sport of barefoot waterskiing to the SECOND WORLD BAREFOOT WATERSKIING CHAMPIONSHIPS. Representing 14 different nations, these individuals will be competing not for money, but for the coveted title of World Champion.
The four-day event will begin with the entire field competing. After two days of preliminary rounds, only the top 12 men and top 8 women from each event will advance into the finals. Men compete in all four barefooting events — wake slalom, tricks, jumping, and starts — while women compete in three (jumping not included).
We hope that during your day at Marine World you will take the opportunity to see some of this incredible action at one of the two tournament sites. Barefoot jumping and starts methods will be held in the Marine World waterski lagoon while the tricks and wake slalom events will take place on a longer course behind Marine World. Shuttle buses are provided for your convenience and will be departing from the area directly in front of Marine World’s front admission gates.
This event is being graciously sponsored by San Miguel Beer, the classic beer of the Pacific. Brewed and bottled in the Phillipine Islands, San Miguel’s light and dark beer products are one of California’s most popular imports today.
SCHEDULE OF EVENTS
*Signifies event to be held in channel area behind Marine World (see map on back). Shuttle buses are available to and from this site, departing from Marine World’s front admission gate throughout the day during regular park operating hours.
THURSDAY, SEPTEMBER 18
6:00 - 10:00 Slalom and tricks practice*
8:00 - 10:00 Jump practice
10:00 - 12:00 Starts practice
12:15 - 12:45 Marine World Ski Show
1:00 - 7:00 Slalom preliminaries (men & women)*
4:15 - 4:45 Marine World Ski Show
5:00 - 7:00 Starts preliminaries (men)
FRIDAY, SEPTEMBER 19
6:30 - 12:00 Tricks preliminaries (men)*
10:00 - 12:00 Starts preliminaries (women)*
12:15 - 12:45 Marine World Ski Show
1:00 - 6:30 Jump preliminaries (men)
4:00 - 6:00 Tricks preliminaries (men)*
6:15 - 6:30 Marine World Ski Show
SATURDAY, SEPTEMBER 20
8:30 - 9:45 Tricks preliminaries (women)*
10:00 - 1:00 Tricks finals (men)*
1:15 - 1:45 Marine World Ski Show
2:00 - 4:00 Starts finals (men)
4:15 - 4:45 Marine World Ski Show
5:00 - 7:00 Slalom finals (women)*
SUNDAY, SEPTEMBER 21
9:30 - 10:30 Tricks finals (women)*
10:30 - 11:30 Slalom finals (men)*
12:00 - 12:30 Marine World Ski Show
1:00 - 2:30 Starts finals (women)
2:30 - 4:30 Jump finals (men)
4:45 - 5:15 Marine World Ski Show
TOURNAMENT OFFICIALS — Tournament Director Gary Warren (United States) escorts World Barefoot Commission Chairman Franz Kirsch (Germany) and Chief Judge Margaret Hacker (Australia) on an inspection of the Marine World water ski lagoon, the site of the jumping and starts events in the Second World Barefoot Waterskiing Championships.
## COMPETITORS’ ROSTER
(List ages when known)
### AUSTRALIA
**MEN**
- Greg Adams, 19
- Alan Moffatt, 19
- John Stekelenburg, 19
- Neil Tomlin, 23
- Brett Wing, 20
**WOMEN**
- Kim Lampard, 14
- Bronwyn McCaskill, 14
- Debbie Pugh
### ENGLAND
**MEN**
- Dave Clark
- Jackie Crawford
- Ian Griswold
- Chris Harris
- Richard Mainwaring
- Mike Thomas
**WOMEN**
- Jane Kojdic, 14
- Jean Kojdic, 12
### NEW ZEALAND
**MEN**
- Grant Allen, 21
- Vaughan Cox, 21
- Fred Groen, 20
- John Guthrie
- John Matthews
- Frank Reynolds, 23
**WOMEN**
- Martha Hill, 31
### AUSTRIA
**MEN**
- Peter Pflugl, 37
### FRANCE
**MEN**
- Bernard Combaer
### UNITED STATES
**MEN**
- Rob Bemman, 25
- William Farrell, 25
- Robert “Punky” Forgiana, 13
- John Gillette, 24
- Billy Nichols, 16
- Ron Scarpa, 17
- Mike Seipel, 20
### BELGIUM
**MEN**
- Danny Bas, 31
- Harry Patry, 29
- Eric Puttemans, 13
- Guy Speltdooren, 21
- Mark Strobbe, 22
- Jan Van Elst, 23
**MEN**
- Lee Healion, 24
- Breff Ryan, 29
- Rowland Smyth, 36
- Joe Williams, 24
### IRELAND
**MEN**
- Lee Healion, 24
- Breff Ryan, 29
- Rowland Smyth, 36
- Joe Williams, 24
### ITALY
**MEN**
- M. Crespi
- G. Fubert
- E. Molinari
**WOMEN**
- Lisa Emry, 21
### CANADA
**MEN**
- Gaston Gallant, 24
- Don Cameron Grant, 32
**WOMEN**
- Josee Bourbonnais, 15
### MEXICO
**MEN**
- Louis Couwenberg, 25
- Ian Ramsey, 16
- Robert Teurezbacher, 32
### NETHERLANDS
**MEN**
- Louis Couwenberg, 25
- Ian Ramsey, 16
- Robert Teurezbacher, 32
### WEST GERMANY
**MEN**
- Werner Hartmann, 23
- Otto Fleckenstein
- Udu Kipp
**WOMEN**
- Renate Maschl, 21
### COLOMBIA
U.S. NATIONAL CHAMPION — Mike Seipel, two-time National Champion from Brown Deer, Wisconsin, is the U.S. hopeful for the 1980 World Title. With teammate Ron Scarpa (Winter Haven, Florida), these two barefooters hold every U.S. record in the sport of barefoot waterskiing.
WORLD CHAMPION — Brett Wing, holder of 11 Australian National Titles, led his country to victory in the first World Barefoot Waterskiing Championships in 1978. Wing, who has been skiing in Marine World’s Water Ski & Boat Show during the 1980 season, will be defending his World Champion title against 50 of the world’s top competitors.
DESCRIPTION OF EVENTS AND SCORING
Barefoot waterski competition is comprised of four separate events — wake slalom, tricks, jumping and starts — which are judged on a point system. The World Championship title is awarded to the individual who obtains the most points overall, and to the country who has obtained the best three overall scores by men or women in each event. In addition, each event will have an individual champion. (Scores can be obtained from either the preliminary or final round, whichever is higher.)
WAKE SLALOM — Each skier will be allowed one run, or pass, in which he will try and cross the boat wake in a standing position as many times as possible within a 20-second time limit. Points will be scored for number of times wake is crossed and for method of crossing (i.e. backwards, on one foot, etc.)
TRICKS — Each skier will receive two 20-second passes in which he will attempt various tricks (i.e. tumble turns, rope in mouth, 360° turns, etc.) All trick runs are individually pre-set by the competitor and must be completed in the order previously listed. Points will be awarded on degree of difficulty of the particular tricks selected.
JUMPS — Each skier will be given two opportunities to jump for distance off of a specially designed barefoot jump ramp. (The ramp is 18” high, 7’ long, 4’ wide and covered with a polyurethane surface.) Skiers may choose their own boat speed (not to exceed 67 kph/41.6 mph). The longest distance jumped will be scored with additional points of 30% being added if skier lands on his feet only, not touching the water with any other portion of his body.
STARTS — Each skier will receive three attempts in which to try different starts. Points will be awarded according to varying degrees of difficulty of the starts (i.e. beach start, deep water start, flying dock start). All three attempts will be scored.
SCORES TO BEAT
Since the first World Barefoot Championships held in Canberra, Australia in 1978, many barefooting records have been broken. Below are listed the current world records and world record holders.
| EVENT | SCORE | RECORD HELD BY | COUNTRY |
|-----------|----------------|------------------------|---------|
| WAKE SLALOM | 720 | John Stekelenburg / Neil Tomlin | Australia |
| TRICKS | 3265 | Brett Wing | Australia |
| JUMPING | 15.35 m/15’ 4½” | Paul Jones | Australia |
| STARTS | 780 | Brett Wing | Australia |
WOMEN’S RECORDS
In the women’s events, Australian Kim Lampard holds all records. Wake slalom — 420 pts.; Tricks — 1365 pts.; Starts — 545 pts.
Marine World/Africa USA, a unique showplace for hundreds of exotic animals and marine mammals, is also home of the West Coast's only Water Ski & Boat Show. Over the years, this water ski arena has become one of the premier sites for major tournament competition. The Coors International Water Ski Jumping Championships, an annual event that has grown in popularity to become the largest and most prestigious water ski competition of its kind in the world, is just one example of this. In addition, Marine World's man-made lagoon (1800-feet long by 500-feet wide) has also been home to the First Annual San Miguel International Barefoot Championships, many regional waterski tournaments and various special events such as the Great Milk Carton Boat Races. This year, Marine World/Africa USA is proud to represent the United States in hosting the 2nd World Barefoot Waterskiing Championships.
The channel site behind Marine World was chosen for this event because of its easy access from the park and for the long, straight channel it provides, making it an ideal course for the tricks and wake slalom events.
**TOURNAMENT OFFICIALS**
- Jean Jacques Finsterwald ........ President, World Water Ski Union
- Michael B. Demetrios ........ President, Marine World/Africa USA
- Franz Kirsch .................. Chairman, World Barefoot Commission
- Gary Warren .................. Tournament Director, Director, Marine World's Water Ski and Boat Show
- Margaret Hacker ............. Chief Judge
- Stew McDonald ............... Assistant Chief Judge
- Charles Ramsey ............... Homologator
- Irene Wing .................... Chief Calculator
- Helga Lintz ................... Assistant Calculator
- Elmer Stailing ................ Judge
- Jack Vande Visse ............. Judge
- Rita Ramsey .................. Judge
- Ken Port ...................... Judge
- Bob Wing ..................... Judge
- Lester Sowery ............... Judge
- Harry Robb ................... Judge
- Terry Nichols ............... Judge
- Dick Matthison .............. Judge
- Sylvia Mixon ................ Judge
- Adrian Stekelenberg ....... Judge
- Mike Warren .................. Chief Boat Driver
- Dave Madeline ............... Boat Driver
- Peter Sutton .................. Boat Driver
|
MacLeod Elementary-Grade 5
I love my mom because...
She is the best because she loves me like I love her to as high as I can jump. She loves me to as high as she can jump. I love her when she cooks dinner and I love her cooking. I love her fun and cheerful laugh. I love the way she takes me places and spoils me. I love the way she works so hard and gives us a roof over our heads. I love you mom to the moon and back.
Charlie
She is awesome and is good at fixing, she is good at cooking, she is pretty good at science and shes fun.
Matley
She makes my food and tucks me in at night. She is the best because she loves me lots of bunches and would do anything to make me better when I am sick. She would hold my hand in heart forever and never let go. I love her because she made me, she made me so I could see and explore the world. She and dad bought us shelter, food, clothes and most of all a dog and cat. I would not be as strong more than my mom and dad because they hold me close when something bad happens. I love them to the moon and back to far and beyond. Love you!
Skylyn
She helps me with homework and makes me food and I help her to do chores. We help each other and she gets me stuff that I like. I love her so much. I hope she likes me as much as I do.
Hayden
She is nice and funny. She also does all of the cooking and cleaning. My mom takes care of all of my needs. I will play catch with her in the back yard. My mom and I will plant in the garden on sunny days. My mom will sign me up for cooking classes and sports. That’s why I love my mom.
Sathne
She loves me no matter what I do and shows her love with my sister and brother. She does all the hard work at home. She cleans my room, she cooks and helps with homework. She sets up our birthday parties. She needs our help to do some things. She lets me have sleep overs and lets me stay up. Lets me see my dad. Happy Mother’s Day!
Trystyn
Dear Mom,
You are special because you are nice and awesome even though you sometimes get mad at me. The best thing that I love about you is that you have lots of treats. I love when you ask us what we want for supper and then the supper is ready we will eat. You always let me stay up later if I have a friend over.
Maci
She makes supper for us every single day. Also, she lets me play with my little sister and I on a safe side ride bike. She also pays most of the bills. She also helps take care of both of my sister and I. She does the laundry for us. Without her I would be in big trouble. She is the best mother. With out my awesome mom we probably would not have moved to our new house. We are living in right now. She is pretty and is the best mom in the whole entire universe.
Drea
She makes me food, takes me to hockey, buys me stuff, makes my bed, takes me to Alberta, and Winkumen Belle in Minneapolis. She buys me the best stuff for Christmas. When I give her one thing for Christmas, she is always happy. I love my mom because she is very smart, very thoughtful, my mom is very awesome. She does stuff with me and makes my brother be quick when he cries and won’t stop yelling.
Burke
She cooks food for our family. My mom comes to every football practice and games. She helps me do everything. She answers the phone when our phone bill etc. She is the best because she gives me messages for free when I’m hurt and she heals me up really fast. I love my mom.
Chase
She is nice, respectful and loves to bake and likes to help me with homework. She rides bikes with me and puts a roof over my head and gives me an allowance.
Ryker
She’s loving and caring. She always makes sure I am safe in my gymnastics. She helps me with my homework. She also drives and stays with me at competitions. She lets me cook and bake by myself. She is beautiful and she is there for me when I need her. Her jokes are funny but sometimes they are not and don’t make sense but I still love you anyway. Happy Mother’s Day!
Halauna
She feeds me she lets me ride horse. She takes me to dance practice and dance competitions. She lets me play baseball (softball). My mom takes care of me when I’m sick and injured. She also take care of pets.
Sierra
She teaches me stuff that I want to learn and what I don’t know yet. She lets me do things that I want to do. She is always there is in town. Sometimes she lets me go to a friend’s house. My mom does laundry and cooks food for us, sometimes some goodies. She loves me and I love her.
Allyssa
I love my mom because she is a very energetic mom. She always helps me when I have cuts and she goes on the trampoline with us. I love my mom! My mom also lets me play games with me. My mom has brown, long hair. She is amazingly fast and she’s a real athlete. She is also a great artist. But after two years since my mom started to paint a picture and she still only has the sky. My mom was from Mexico. She speaks German. My mom is the best mom a kid could have!
Selena
She keeps me safe, keeps me under her roof, makes me have a good meal every night, I love her because she lets me go hang out with friends, participate in after school stuff, she lets me have goodies, she cleans the whole house. She may ground me and yell at me but I still love her.
Carlene
She is kind and loving. My mom buys me nice stuff and drives me to all of the activities I’m in. My mom is beautiful and very smart. My mom cooks good and keeps our house clean. Without my mom our family would fall apart and we would never be on time for anything. I love my mom!
Tess
She is the best because she always cooks the best food for the family and helps with my homework that I have. She plans to go to Alberta soon in the summer which I’m looking forward to. She picks me up for lunch so I don’t have to walk to get home. This is why I love my mom.
Gav
She is always there for me when I need her. She always understands what I’m saying. She is more like a parent or a sister or my best friend. But sometimes she gets frustrated but I get that. Even though she is older than me I still love her to the moon and back.
Sierra
Kaby
She is always there for me when I am down, she cheers me up when I’m sad. She likes to be in places I never thought I would be there. She lets me help her when she is at her chore team competitions (like Agribition). She lets me have lot of responsibilities like stuff. She lets me do everything I want. Like play with friends five days straight. I love my mom.
Kaynen
She keeps me safe, keeps me under her roof, makes me have a good meal every night, I love her because she lets me go hang out with friends, participate in after school stuff, she lets me have goodies, she cleans the whole house. She may ground me and yell at me but I still love her.
Carlene
My mom is special because...
She puts me in hockey and baseball and brings me there. Always helps me when something goes wrong. Brings me to Kenosee Lake every summer. She takes care of me every day. She brings me farming with my dad. She gets me the equipment for baseball and hockey I want. Takes me to the hospital when I’m sick. She takes me to the hospital in Winnipeg, Portage, Saskatoon, and Regina. She got us a cabin at Kenosee Lake. My mom is awesome, no Mom will ever be as nice as her.
Trista Suwage
I like my mom because I ask her to go for a ride on my horse and she says yes and she makes supper for me and Julie.
Lacey Dunham
She helps me with my homework. She drives me to hockey and school. My mom takes me on glides, horseback rides. She makes the best food in the world. My mom buys me lots of stuff and clothes. My mom is the best mom in the world.
Casey Brady
She drives me to hockey and baseball and that wastes money so I’m lucky she spends money on me. I like her because she cooks the same food. I really go out to lunch she will let me eat out but it’s really expensive. I like that my mom always lets me play hockey and play all of my favorite games. I like her most because she’s the reason why I am here right now. She is always there for me when I feel sick and when I feel really bad and she is always there when I have to go to the doctor. I win and when I lose I love her because she makes me feel happy and I love her because she makes me feel happy when I’m sad. I love her because she is the best mother in the world. I love her because she bought me a goat, a horse, she buys me hockey equipment and baseball equipment. That’s a lot of money to spend on me. I love her because she takes me to a lot of places like Edmonton where it was really fun and she took me to Calaway Park, to the lake, my cousin and go to the zoo. I love my mom really much.
Rylan Lawless
She takes me to hockey and baseball. She is free and she cooks supper for me but the bar food tastes better. She takes us boating and bought us a dirtbike and a hot tub.
Ryder Lincoln
She makes me supper and she takes me to sports. She helps make my lunch. You make the best lunch ever mom. I love you.
Draven Moore
She buys me lots of stuff. She also makes me food and cleans the house. But sometimes I need to help. She lets me go to the store some days.
Bredyn Glover
She drives me to hockey and 4-H. My mom also makes the best supper in the world. She buys me clothes. My mom bought me goats and she bought me a horse. She gave me an iPad for Christmas. She bought me quads and dirtbikes. She takes care of me.
Kenzy Lawless
She takes me to hockey practice. She lets me get slushies in the summertime. She takes me to football practice and takes me to the doctor. She makes the supper and also takes us to the lake in the summertime to go fishing, boating and camping.
Levi Bourgeois
She’s like me we like the same music. We have the same eyes. The same brown hair too. We love doing different hairstyles. She hugs me when I’m hurt. She helps me with my homework. She’s funny and sweet and makes the best dinner. We like getting our nails done and spending time with each other. She loves me for who I am. She calls me special every day. I’m glad I have her and I hope she’s glad she has me too.
Maja Fidlak
She makes the best supper ever. She also buys me clothes and bought me cats and dogs. But what I love most about her is that she takes care of me.
Lindsay Schmidt
She makes me supper and lunch. She drives me to 4-H and hockey. She also teaches me how to ride a horse.
Daniel Clay
She cooks me supper, she makes me feel better if I’m sick, and feeds me and she’s always there for me. She’s the reason why I’m living.
Charlie Anne Kuelsen
Raise your glass to moms everywhere
Oh, mothers! There are endless reasons to celebrate the women who give birth to us, raise us, console us and pick up the pieces when we break. Grandmothers are loved and getting chastised for an unkempt room and yes, that infallible instinct to detect our lies got us into trouble more times than we could count. However, we wouldn’t be the responsible adults we are today if it weren’t for our mother’s unconditional love and disciplining words.
No matter their quirks — whether they always prepare a meal fit for an army, forget the title of the film or book they wanted to read aloud, or can’t remember the name of a person or place — nonsense that does anything but motivate — we still love them dearly. Whether or not we like to admit it, these quirks are what give our mothers their charm. So, for all of these reasons — and because we love them to pieces — let’s raise our glass in honour of mothers everywhere!
**HAPPY Mother’s Day**
**MOOSOMIN SCHOOL-Grade 2/3**
My Mom is special because she teaches me to cook. She always helps me with my homework and helps me with sports.
*Karson Low*
She drives me to hockey practice and makes my lunch for school. She plays with me outside in the grass and cooks food for me.
*Duke Lessar*
She helps me with homework and it is fun because she reads to me. She also lets me play the video game Yahoo! She likes making cupcakes for our class and likes me helping her bake cookies for the fair and I won! I love her for that!
*Owen Gray*
She drives me to hockey and baseball. Thank you for helping when I need help.
*Hudson Lincoln*
She drove me to hockey. She would buy me treats. She feeds me supper so I do not starve.
*Bronson Moore*
She drives me to hockey games. My mom lets me bake cookies. My mom helps me with homework.
*Turk Lessar*
She takes care of me. She takes me to soccer in the summer and drives me to skating in the winter. She buys me McDonalds. As you can see, my mom is special because she takes care of my family and me.
*Jessica Veysey*
She plays cards with me. She helps me with homework and she lets me get hot lunch.
*Ava Kuehnel*
She helps me build cool towers and paper airplanes. It is fun to play with her.
*Zeke Neufeld*
She plays with me. My mom also lets me bake with her and she helps me with my homework.
*Brody Schmidt*
She drives me to hockey practice when she is busy. That is what she does for me.
*Mason Sweeting*
She helps me read books. She helps with my homework and plans a birthday party for me.
*Brayden Clay*
She is the best. Sometimes I help my mom do laundry. My mom is so, so, so pretty.
*Harriah Low*
She makes cookies and they are delicious
*Exerlie Bourgeois*
She makes me food and she is nice to people and she is sweet to people.
*Harley Bourgeois*
---
**PHOTO CONTEST**
**Hey Kids!**
Send us a picture of you and your mom entered in a draw to win a bag of Co-op Gold Pure Pet Food and a basket of pet goodies as well as a Cooper Gift Card!
Send pictures to 306-453-9228 or email firstname.lastname@example.org
DRAW DATE: MAY 31, 2018
www.borderlandcoop.co @Borderland.coop.ca
---
**Make this Mother’s Day UNFORGETABLE!**
**Hillberg & Berk**
**Limited Edition Sparkle Ball: Lustre**
Made with an all new soft crystal shade, silk, along with bold chrome and rose. A unique contrast of bold strength and delicate softness. Lustre embodies the beauty and qualities of women.
**Unique Solar Lights in stock**
Perfect for Gift Giving!
**Wind Chimes**
**P. Graham Dunn Puzzle Pieces**
Connectable Wall Decor
**Beautiful Hand-Made Quilling Cards**
Quilling is the art of rolling, coiling and shaping small strips of paper to create a three dimensional design. Frames available.
**Bird & Squirrel Feeders**
**Mother’s Day Jewelry**
---
**Kussie’s JEWELRY**
More than just a jewelry store
630 Main St. Moosomin, SK 306.435.2977
My mom is special because she is an amazing cook and baker, she makes me supper every night and it is so delicious. My mom is special because she always lets me eating (ALWAYS). I love her because she is such an amazing, loving, caring, kind MOM. My mom is the best mom out there!
Brooklyn
My mom is special because she is really nice and helpful. She is special and funny. I don’t know what I would do without her.
Mathieu
My mom is special because she knows how to cook even though nobody taught her and her food is always delicious. My mom agreed to move to Canada even though she really liked China.
Gary
My mom is special because she is always there when I need her. She always has a smile on her face. When I am sad she is there with a hug for me. My mom always has food on the table and no matter how much I sass her she still loves me with all of her heart and my family and I love her so much. Happy Mother’s day, Mama!
Tahlina
My mom is special because she is really good at painting and making things up to me when I am sad. Well at least she tries. She lets us almost do anything and she is a really good baker. That’s why she is special.
Rhianna
My mom is special because she works hard every single day. She makes sure we have food and other important things in our home. I am thankful that I have a sweet, loving, caring, understanding mother in this world. I will always love my mother forever and beyond.
Ghazal
My mom is special because she makes lunch for me and sometimes she makes cookies for me when I am at school. My mom sometimes lets me play with my friends. She is a special mom!
Lincoln
My mom is special because she cares. She will help me with anything. She is special in her own way. She loves me. No one else can be better than her. She always wants to make me happy! She is the best mom in the world. LUV U MOM!
Cally
My mom is special because she is a hard worker and she cleans the house and cooks when I’m hungry (which is always!) She is also very beautiful and smart.
Anna
My mom is special because she always helps me with my school work and other stuff. She teaches me new things and she always works hard for us every day and loves us!
Julienne
My mom is special because she keeps a roof over my head and feeds me. She makes sure I am safe. She makes healthy meals (not just junk food). She buys us clothes to stay warm or cool. That’s why my mom is special.
Ciara
My mom is special because she packs my lunch and she gets me stuff. She also gives me hugs and kisses. She takes me to cool places like Regina.
Parker
My mom is special because she helps me with everything. She helps me cook, do my homework and she teaches me a lot about math. She is really special to me because she would do anything for me.
Nicole
My mom is special because she always cares and she loves me and my brother no matter what. She’s awesome because she makes the best meals (sorry dad). I love my mom; she is the BEST.
Hailey
My mom is special because she loves me. She keeps our house neat and tidy. My mom works so hard to keep our family in good shape.
True
My mom is special because she tidies the house and watches the twins. She packs our lunches and makes all the meals every day. That’s why my mom is special.
Bruce
My mom is special because she lets me cuddle with her. My mom lets me go on the tablet and stay up a little later when I am scared.
Jari
My mom is special because she works hard every day. She is beautiful, nice, kind and has fun. She takes me to hockey and baseball. That’s why my mom is special.
Ethan
My mom is special because she is smart and pretty. She can do really good hair because she used to be a hairdresser. I think my mom is even more special because she loves me and I love her.
Zavah
My mom is special because she makes me food, lets me sleep, and is nice to me. She’s the boss of me and is better at doing that than my dad.
Joey
My mom is special because she cooks food and she takes care of my family. She helps me with my homework and lets me join afterschool activities. She is the best!
Gab
My mom is special because she helps me clean, makes supper, doesn’t get mad, helps me with homework, she reads to me and always listens. I love my mom!
Brian
My mom is special because she is smart, beautiful, a wonderful cook, nice, kind, and gentle, works hard and cleans the house. My mom has the world’s best name (Suzanne). I’m her favorite in the family! She is the best mom in the world!
Sarah
My mom is special because she is caring, kind, and funny in her own way. She makes me happy when I feel sad and I would love her no matter what she looks like. She’s my super mom!
Dylan
My mom is special because she would bend over backwards and run around the world for me. She loves me with all of her heart. She does what I love. I love what she does. Mom is the best. You will always love me even though I annoy you constantly.
Wyatt
MacLeod Elementary Kindergarten KM2
My Mom is special because….
She hugs me, and she takes me to the zoo.
Aubree
I love her. She gives me lots of hugs and kisses.
Dakota
I love her.
Mikka
She helps me.
Blakeley
She loves me.
Lucas
She paints with me. I love playing with her in the backyard too.
Landon
My mom loves to kiss and hug me up lots. I love her. She loves when I give her flowers on Mother’s Day.
Camryn
She reads me bedtime stories at nighttime.
Jakob
She likes to cuddle me up. She cares for me.
Georgia
Likes to help me clean up my toys. My mom always takes me to Toys R Us.
Calix
She helps me bake cookies. I love her!
Mariah
She loves me, and I love her!
Jasmine
We bake together.
Hailey
She helps me with my Lego.
Hunter
She helps me build with my Lego.
Kaider
She reads me stories.
Odis
She takes care of me.
Johanna
She likes me.
Heinztein
She takes care of me…
Allie
She works all day and does lots of stuff. She loves me when I am sad. She still loves me when I am in trouble.
Daniel
Maryfield School Kindergarten
My mom is special because…
She makes me chocolate chip cookies.
Jeremy
She takes me to visit my cousin.
Lexus
She makes the best Skor bit cookies.
Heydan
She makes the best chocolate chip cookies.
Carson
My mom loves me.
Reid
She gives the best hugs.
Ivan
Because she is one of a kind.
Erica
Because she makes the best cookies ever. My favorite is chocolate chip.
Adriana
She makes me happy when I am sad.
Nayelis
She bakes delicious banana cookies.
Evangeline
Because she loves me with all her heart. I love my mom too. My mom makes the best banana cream pies. My mom plays the best games. My mom is awesome.
Adriana
Because I love her!
Montana
She gives me warm hugs. I love my mom so much! She is amazing.
Meika
Because I love her!
Thor
She makes the best strawberry cake!
Kenneth
Because I love her!
Paige
Mother’s Day Specials
MAY 10 - 15, 2018
Ashley “Ryler” 7-Pieces Livingroom Set
Includes Sofa, Loveseat, Coffee Table, 2 End Tables & 2 Lamps
REG: $3349 SAVE $950
$2399
Ashley “Ryler” Stationary Sofa
REG: $999 SAVE $300
$699
Palliser “Cato” Loveseat & Chaise
Dax-Black Performance Cover Chair & Ottoman also available
REG: $2999.99 SAVE 20%
$2399.99
Ashley “Bolamburg” 5-Piece Counter Height Dining Set
Includes Table & Four Upholstered Bar Stools
REG: $1999.99 SAVE $300
$1699.99
Frigidaire 4-Door Fridge
17 cu. ft., Stainless Steel
REG: $1799.99 SAVE $450
$1349.99
Ashley “Budmore” Media Unit
Rustic Brown
REG: $899.99 SAVE $150
$749.99
NO TAX ON ACCESSORIES!
LIKE US ON FACEBOOK:
KULLBERG’S FURNITURE & APPLIANCES – VIRDEN MB
(NEW ITEMS ADDED WEEKLY)
STORE HOURS: MONDAY – SATURDAY: 9 A.M. – 6 P.M. • SUNDAY: CLOSED
FREE DELIVERY WITHIN 200 KMS • FREE SETUP • FREE DISPOSAL
Financing Available
346 King Street, Virden • (204) 748-3321
WWW.KULLBERGS.CA
Find us on Facebook & Instagram!
HAPPY Mother’s DAY
KENNEDY LANGBANK SCHOOL- GRADE 1
My mom is special because...
She keeps me safe. Since my mom is special she’s amazing. My mom is special because she loves me.
Anara
My mom is special because she keeps me safe from the stove. She helps me bake cookies too. I love you. She helps me clean the house. She helps me skate.
Willow
My mom is special because she is a day-care person. My mom is special because she keeps people safe from glass. My mom is special because she is the best baker.
Emily
My mom is special because she works at the school and she is the best mom ever. I love my mom. She is awesome. We get a week of swimming lessons and a week of free swim.
Piper
She helps other people. She helps me do my homework. My mom is special because she buys me my food. Mom buys clothes for me.
Carter
My mom loves me. I help her. We ride bikes. My mom is special because she has three kids.
Dyson
She helps other people stay healthy. My mom likes to bake with me. Banana bread is fun. My mom checks what we get on our spelling test.
Kalena
KENNEDY LANGBANK SCHOOL- GRADE 2
My mom is special because...
My mom is special because she helps me with my homework. My mom helps me ride my bike. My mom takes me to recess. My mom takes me places. My mom is always looking out for me.
Abi
My mom is special because she is letting us go to Medicine Hat! She is the kindest mom in the world. She is the best because she lets us when we go somewhere. She is the best because she helped Scarlett when she was hurt and sick. She let us have rabbits. She let us live in Canada.
Danika
KENNEDY LANGBANK SCHOOL- GRADE 3
My mom is special because...
She does my hair every day. She jumps on the trampoline and she is nice. She is pretty. She likes the color orange.
Haley
My mom plays with me. My mom never gives up. My mom lets me play sports. My mom helps me tie my skates. My mom helps me get ready for things. My mom is amazing.
Raiden
She takes care of me. Makes me lunch. Helps me with stuff. Makes me treats. Buys me candy.
Jeff T.
My mom is special because she is, I love my mom. I like her hugs. She makes me lunch. She is nice. She plays with me.
Sylai
Class
She sometimes takes me to ball and hockey. She takes me shopping. She buys me food to eat. She makes me go to bed on time. She sometimes lets me stay up.
Calton
She was really good at baseball. Since my mom is special I am her son. She let me play baseball. She takes care of me. My mom is nice.
Jeff P.
She takes me to hockey and baseball practice. She helps me.
Alex
She is fun and funny. She is nice. She shows me cool stuff. She’s good at doing puzzles.
Kaylen
She teaches me. My mom helps me. She tells me what I can and can’t do. My mom is nice.
This photo was drawn by Piper who is in grade one in Kennedy Langbank School.
Prepare a surprise Mother’s Day breakfast in bed
Do you want to spoil the mother of your children with a mouth-watering surprise this Mother’s Day? You can never go wrong with breakfast in bed to mark this momentous day in your life. Treat the mother of your life to a blissful morning between the sheets with pancakes, bacon and eggs or an assortment of fresh fruit. There’s nothing she’ll appreciate more than a morning spent in bed enjoying a tasty meal prepared with her family’s love and care.
If your kids are more likely to cook up something for their breakfast dish, ask them to draw a picture to decorate Mom’s breakfast tray instead. For some added fun, have them collect all of the pillows around the house to ensure their mother dines in absolute comfort. Finally, top the presentation off with her favourite flower, a sweet note or an uplifting family photo, and watch her melt with joy!
Happy Mother’s Day!
Panasonic Rice Cooker
SR-GA18
• 5 cups uncooked rice
• One-step automatic cooking
• Non-stick inner aluminum pan
REG: $44.99 SPECIAL $39.99
Panasonic Rice Cooker
SR-GA20
• 10 cups uncooked rice
• One-step automatic cooking
• Keep warm feature
REG: $89.99 SPECIAL $59.99
Panasonic Bread Maker
SD-RD20-W
• Baking raisin, dried fruit, nut dispenser
• Non-stick drum and fluorine coated inner pan/handle
• 1 hour delay start, Rapid Bake, Pizza Dough & Pasta Dough feature
REG: $279.99 SPECIAL $199.99
Kari’s Kloset
REGULAR STORE HOURS: Monday - Saturday: 9:30 a.m. - 5:30 p.m.
Main St. • Moosomin, SK • 306.435.2738
MOTHER’S DAY SPECIAL
ALL WEEK LONG!
Buy 1, Get 1 50% OFF STOREWIDE!
|
Unit II: Experiencing the Resurrection
Amazing Encounters
DEVOTIONAL READING: Psalm 22:20-31
BACKGROUND SCRIPTURE: Luke 24:1-12
PRINT PASSAGE: Luke 24:1-12
KEY VERSES
Why seek ye the living among the dead? He is not here, but is risen. (Luke 24:5b-6a, KJV)
“Why do you look for the living among the dead? He is not here; he has risen!” (Luke 24:5b-6a, NIV)
LESSON AIMS
As a result of experiencing this lesson, you should be able to do these things:
• Compare and contrast the various reactions that persons had to hearing of Jesus’ resurrection.
• Confess areas of your life where you look for Jesus and do not find Him.
• Identify one aspect of congregational life that most embodies the significance of the Resurrection.
*KEY TERMS
Behold (verse 4, KJV)—Greek: *idou* (id-oo’): look; see; “Lo!”
Found (verse 3)—Greek: *heuriskó* (hyoo-ris’-ko): learned; discovered, especially after searching; proved; regarded; “did . . . find” (NIV).
Perplexed (verse 4)—Greek: *aporeó* (ap-or-eh’-o): to be at a loss; was in doubt; “were wondering” (NIV).
Seek (verse 5)—Greek: *zéteó* (dzay-teh’-o): to search for, desire, require; inquire; “look for” (NIV).
Stone (verse 2)—Greek: *lithos* (lee’-thos): a rock of indeterminate size or shape; metaphorically, of Jesus as the chief stone in a building.
Tomb (verse 1)—Greek: *mnéma* (mnay’-mah): a memorial; a sepulcher; a monument; “sepulchre” (KJV).
*(Word Study Supplement—Refer to page 2)
INTRODUCTION
According to biographyonline.net, ten events from the twentieth and twenty-first centuries significantly changed the world. These events started wars and revolutions that affected the lives of millions across this planet. During these events, others were by-products of them that had broadspread effects on this nation’s and the world’s populations. For example, World War I cost the lives of millions of men and women from all corners of the world. Then, there was the bombing of Pearl Harbor and America’s entrance into World War II, dropping the atomic bomb that revealed the potential devastation a third world war could bring. Two of the ten world-changing events cited in this source occurred in this country: the assassination of John F. Kennedy and the 9/11 terrorist attacks. The most recent event mentioned is the COVID-19 Pandemic 2020, currently running rampant and costing 6.9 million lives at this writing, serious illnesses, mental anguish, and economic and political stress. Interestingly, this list does not include the assassination of Dr. Martin Luther King and the recent deaths of African Americans at the hands of some policemen and intensifying cries for social change and equality for all humanity. More importantly for the faith community is the failure to recognize and acknowledge the omission of the most significant and profound world-changing event in all humanity’s history—the resurrection of Jesus Christ. He accomplished what no other human being or religion could or will ever do. He conquered death, humankind’s greatest enemy, and lives today as irrefutable proof. Although skeptics and critics have attempted to refute its validity, faith in its reality has impacted and changed millions of lives for the better. Initially, however, among those who physically interacted with Him, experienced His many miracles, and heard His predictions concerning His death and subsequent resurrection were some who responded with cynicism and doubt when they heard the good news, “He is risen.” As we compare and contrast the various reactions of each person hearing of His resurrection in this lesson, let us reflect on the difference it has made in our lives, renew our commitment to proclaiming it, and celebrate its reality with praise and thanksgiving.
Searching the Wrong Place (Luke 24:1-9)
KJV
NOW UPON the first day of the week, very early in the morning, they came unto the sepulchre, bringing the spices which they had prepared, and certain others with them.
2 And they found the stone rolled away from the sepulchre.
3 And they entered in, and found not the body of the Lord Jesus.
4 And it came to pass, as they were much perplexed thereabout, behold, two men stood by them in shining garments:
5 And as they were afraid, and bowed down their faces to the earth, they said unto them, Why seek ye the living among the dead?
6 He is not here, but is risen: remember how he spake unto you when he was yet in Galilee,
7 Saying, The Son of man must be delivered into the hands of sinful men, and be crucified, and the third day rise again.
8 And they remembered his words,
9 And returned from the sepulchre, and told all these things unto the eleven, and to all the rest.
NIV
ON THE first day of the week, very early in the morning, the women took the spices they had prepared and went to the tomb.
2 They found the stone rolled away from the tomb,
3 but when they entered, they did not find the body of the Lord Jesus.
4 While they were wondering about this, suddenly two men in clothes that gleamed like lightning stood beside them.
5 In their fright the women bowed down with their faces to the ground, but the men said to them, “Why do you look for the living among the dead?
6 “He is not here; he has risen! Remember how he told you, while he was still with you in Galilee:
7 “‘The Son of Man must be delivered over to the hands of sinners, be crucified and on the third day be raised again.’”
8 Then they remembered his words.
9 When they came back from the tomb, they told all these things to the Eleven and to all the others.
The final chapter of Luke’s gospel reveals the varied experiences of those encountering the risen Savior. The first group to learn about His promised resurrection were faithful women from Galilee who followed Him. Their devotion to Him did not end because they believed He was physically dead. Luke does not name these women, but Matthew and Mark report that the group included Mary Magdalene, Mary, James’s and Joses’s mother, Salome, the mother of James and
John, and many others. After Jesus’ death and observing where and how His body was laid (Luke 23:55), these women returned to the tomb to complete anointing His body (verse 1). The “first day of the week” refers to Sunday, the day after the Sabbath, setting the precedent for believers’ special meeting day. “Early in the morning” or “early dawn” is literally “at deep dawn.” Apparently, the women left where they were staying in Jerusalem while still dark and arrived at the tomb after sunrise. Luke reports that they found the stone rolled away from the tomb mouth, went in, but did not find Jesus’ body (verses 2-3). Mark tells us that they had discussed their inability to move this stone on the way there (see Mark 16:3). Unhesitatingly, they went in expecting to find Jesus’ physical body. Instead, they saw two men (angels) in shining garments standing near them, adding to their dismay (verse 4). The women’s reaction to their presence was fear, respect, and awe (verse 5a). The angels asked them why they were seeking the living (or the Living One) among the dead (verse 5b). In reality, they were chastising these women for looking for Jesus in the wrong place. Jesus was not dead as they supposed but alive and not to be sought among the physically dead.
Their subsequent declaration is the central pillar of the Christian faith: “He is not here, but is risen!” (verse 6a). It was an unmistakable reference to Jesus’ resurrection without which our faith is in vain (see 1 Corinthians 15:17). So, then, supernaturally aware that the women had heard Jesus predict His crucifixion and resurrection, the angels challenged them to recall His previous instructions about it (verses 6b-7). Had they remembered and believed His words, they would not have gone to the tomb expecting a lifeless body to anoint for permanent burial. To their credit, they remembered His words to them (verse 8). It only took a review lesson to convict their hearts, rekindle their faith, and transform them from helpless mourners to enthusiastic messengers to the eleven disciples and other followers of Christ (verse 9). What about us? We’ve heard about the Resurrection countless times. Has the message become so familiar that we fail to appreciate its significance to our faith? Are we “returning to the tomb,” looking for Him among perfunctory worship and lifeless ministries? On the contrary; God desires that we be transformed by the Resurrection’s reality, access the Holy Spirit’s power, live obedient lives, and proclaim its message to the lost among humanity.
**WHAT DO YOU THINK?**
Why does it appear challenging to remember the spiritual things that are critical to spiritual growth?
**Failing to Believe (Luke 24:10-12)**
**KJV**
10 It was Mary Magdalene and Joanna, and Mary the mother of James, and other women that were with them, which told these things unto the apostles.
11 And their words seemed to them as idle tales, and they believed them not.
12 Then arose Peter, and ran unto the sepulchre; and stooping down, he beheld the linen clothes laid by themselves, and departed, wondering in himself at that which was come to pass.
10 It was Mary Magdalene, Joanna, Mary the mother of James, and the others with them who told this to the apostles.
11 But they did not believe the women, because their words seemed to them like nonsense.
12 Peter, however, got up and ran to the tomb. Bending over, he saw the strips of linen lying by themselves, and he went away, wondering to himself what had happened.
The women left the tomb and gave the message to the eleven apostles, who refused to believe the women (verses 10-11). The tense of the phrase “they would not believe the women” (verse 11, NASB) suggests that the women repeatedly told the disciples, but their message was dismissed as pure nonsense and hysteria. It is ironic that Jesus’ enemies, the Sanhedrin, took His resurrection predictions seriously and posted a guard, but His disciples were surprised beyond belief. Also, according to Graeco-Roman cultural norms, the response of the Eleven is culturally understandable. A woman’s testimony was considered unreliable and could not be used to settle legal disputes. However, it is challenging to justify these men’s cynical reaction after having witnessed His supernatural power to resurrect the dead Himself regardless of the source of this incredible news. The Crucifixion’s stunning impact on Jesus’ followers dulled their memories and caused them to forget Jesus’ prophecies. They were unable to internalize them with any conviction comprehensibly. Despite his disbelief of the women’s testimony, Peter listened and was motivated to investigate its validity (verse 12). He ran to the tomb—not alone, but with John (see John 20:1-10). They both saw the linen clothes in which Christ’s body had been wrapped, lying by themselves. It was visible proof that His body was gone; and the fact that His burial clothes remained refuted the possibility that grave robbers took His body away. Perplexed, Peter left the tomb and returned home with no notion of a bodily resurrection and wondering what could have possibly happened to Christ’s body. Lest we criticize the disciples’ initial cynicism, doubt, and failure to remember the Master’s teaching, let us examine our readiness to demonstrating that we believe His Word with unquestioning obedience. Knowledge and understanding of the fundamental scriptural truths about the Resurrection should motivate renewed hope and commitment to celebrating its significance through obedient service and Christ-centered worship. The Resurrection must become a daily reminder that because He lives, we can face life’s uncertainties with steadfast confidence and commit to living righteously in anticipation of our inheritance in Him.
WHAT DO YOU THINK?
What hope does the Resurrection provide for daily life, and how should it affect how believers live?
A CLOSING THOUGHT
Jesus’ resurrection is traditionally the theme of sermons, cantatas, musicals, plays, “children’s speeches,” and other forms of celebration during this season. The challenge to and responsibility of every believer is to move beyond knowledge and comprehension of
this spiritually transforming reality and commit to walking circumspectly in the world, proclaiming the gift of salvation it offers through Christ and using His indwelling power to minister to the needs of the faith community and the unsaved.
YOUR LIFE
This week, reflect and evaluate what the Resurrection means in your life. How often do you think about it outside a religious setting? Has it produced an evident change in how you live your life as a believer? How does it affect your worship? What changes will you commit to making?
YOUR WORLD!
The impact of the good news of the Resurrection was initially one of surprise, cynicism, and disbelief among Christ’s followers before they were convinced that it was a reality. Afterward, it transformed their lives into bold, courageous witnesses willing to give their lives to share it with others. Today, we have His infallible Word and our experiences as believers as proof that He did rise. As a result, the faith community is called to proclaim this same message vocally and visibly to validate its power to transform lives into His image.
CLOSING PRAYER
Dear God, help us renew our zeal in proclaiming the power of our Lord’s resurrection to those He came seeking to save. We pray that our lives will become visible proof that He did rise and now lives in us. In Jesus’ name we pray. Amen.
CONCLUSION
(Preparing for Next Week’s Lesson)
We all struggle to believe things we cannot explain. Next week, we will explore Jesus’ first followers’ struggle to believe in His resurrection (Luke 24:13-27, 30-31).
Home Daily Bible Readings
| Date | Reading | Scripture |
|--------------------|------------------------------------------------------------------------|----------------------------|
| MONDAY, April 3 | “I Have Seen the Lord!” | John 20:11-18 |
| TUESDAY, April 4 | “Blessed Are Those Who Believe” | John 20:19-31 |
| WEDNESDAY, April 5 | “The Lord Is My Strength” | Psalm 118:1-14 |
| THURSDAY, April 6 | “I Shall Not Die, but Live!” | Psalm 118:15-29 |
| FRIDAY, April 7 | “Jesus Meets Two Disciples” | Luke 24:13-24 |
| SATURDAY, April 8 | “Jesus Opens the Disciples’ Eyes” | Luke 24:25-35 |
| SUNDAY, April 9 | “You Are Witnesses of These Things” | Luke 24:36-49 |
|
6-1-1993
Hooding Ceremony Program
Georgia State University College of Law
Follow this and additional works at: https://readingroom.law.gsu.edu/hooding
Institutional Repository Citation
Georgia State University College of Law, "Hooding Ceremony Program" (1993). Hooding Ceremony Programs. 3.
https://readingroom.law.gsu.edu/hooding/3
This Article is brought to you for free and open access by the Historical Materials at Reading Room. It has been accepted for inclusion in Hooding Ceremony Programs by an authorized administrator of Reading Room. For more information, please contact firstname.lastname@example.org.
Welcome to the Hooding Ceremony of the Georgia State University College of Law. The faculty and staff of the College of Law extend cordial greetings to parents, spouses, relatives, and friends gathered here for this important event.
GEORGIA STATE UNIVERSITY SPORTS ARENA
THIRD FLOOR
DECATUR STREET AND PIEDMONT AVENUE
ATLANTA, GEORGIA
PROGRAM
ROCESSIONAL
Berlioz "Triumphal March"
Performed by the Peachtree Brass
WELCOME
Marjorie L. Girth
Dean, College of Law
GREETINGS TO FAMILY MEMBERS
H. Alan Rosenberg
SBA President 1992-93
REMEMBRANCE OF SUE KAFROUNI
Clara Bucci
Classmate
INTRODUCTION OF SPEAKER
Marjorie L. Girth
Dean, College of Law
ADDRESS
The Honorable William O'Kelley
Chief Justice, U.S. District Court for the Northern District of Georgia
HOODING CEREMONY
Mistress of Ceremonies
Mary F. Radford
Professor of Law
Hooding Team
Corneill A. Stephens
Associate Professor of Law
Roy M. Sobelson
Associate Professor of Law
RECESSIONAL
Handel, "Allegro Maestoso" from The Water Music
Performed by the Peachtree Brass
RECEPTION
Urban Life Building Plaza
Second Floor
The academic regalia worn by today’s participants is a colorful relic dating back to the Middle Ages, when education was a function of religious organizations. The monk’s habit and the cowl worn over their heads were predecessors of the modern black gowns and hoods. The mortarboard cap developed from the skull caps worn by medieval churchmen.
At the end of the nineteenth century American universities standardized academic dress. Law degree candidates wear the traditional black gown with full, round sleeves, velvet facings on the front, and velvet bars on the sleeves. On the hood the purple velvet trimming designates the field of law and the silver-gray lining with crimson chevron symbolizes Georgia State University.
The hooding of law degree candidates at the College of Law is a ritual that precedes the formal conferral of the law degree, which occurs at Georgia State University’s Commencement ceremonies.
JURIS DOCTOR CANDIDATES ELIGIBLE FOR HOODING
In Alphabetical Order
Ahe Ahn
Carter G. Allen
Dawn Denise Ballard
Jane Woodruff Blount
Charles R. Bridgers
Lalaine A. Briones
Rhonda Lee Brodsky
Michael Stuart Brown
Clara E. Bucci
Robert Cape Buck
Cmaille D. Buttles
Damon Davis Camp, Jr.
Charles Richard Carson
Chandra Sarell Carter
Cheryl Spurlin Champion
Mark J. Cicero
Gregory Mark Cole
John F. Connolly
Hector Raul Cora
Robert S. Coursey
Mark A. Crawford
Samuel Scott Critzer
Leslie C. Cunningham
Joseph W. Davenport
Catherine Stemn Devries
Anthony Vincent Ditaranto
Carla Marie Dudeck
Timothy Higgins Edwards
Jay Franklin Eidex
Denise Steiner Esserman
Marie Ellen Evans
Blakely H. Frye
Nicholas Patrick Garcia
Kathleen Ann Giroux
Richard William Greve
John Martin Grigsby
Clark E. Gulley
Christopher J. Hamilton
Thomas John Hills
Scott Paul Hilsen
Sarah L. Inderbitzin
Richard S. Jaffe
Charles Jones
Michael Anthony Jones
Carolyn V. Jordan
Raeburn Seley Josey
Robert Alan Kahn
Scott Michael Kaye
Kimberly Keheley
Karen A. Kelley
Charles Neil Kelley
Grantland G. King, III
Frederick P. Kross, III
Patrick L. Lail
Perrin Cole Law
Larkin M. Lee
John Anthony Love
Peter Joseph Luiso
Todd Alfred MacDowell
Robert Lee Mack
Tyrone C. Malloy
David Lebron McGuffey
Douglas Paul McManamy
Tracy Leon Moon
Mark Allen Moore
Stephanie Shyvonne Moore
Sharmila V. Nambiar
Michael M. Nash
Gail M. Neal
John Joseph O'Brien
Mary Jo Oliver
Kelley Elon Owens
John R. Palmer
Karen Marie Patten
Kyle Andrew Pearson
Lewis Paul Perling
Jami Elise Philpott
Steven Darryl Prelutsky
Bradley Glenn Pyles
Arnold M. Ragas
Susan L. Rappa
Cathleen S. Robson
James D. Rogers
Howard Alan Rosenberg
Suzan E. Roth
Stephen Rothman
Ann Seabold Rotroff
Terri A. Rushing
Lawrence Clifford Schill
Richard Raymond Schlueter
Mary Jo Schrade
Thomas Henry Shafer
Donna S. Shapiro
Glenn Frank Sherman
Edith M. Shine
Katrina V. Shoemaker
Karen Bender Singer
Patricia G. Smyth
Trent B. Speckhals
Kim Thomas Stephens
Richard Scott Stevenson
John A. Stokes
Harris Wade Sugarman
Mary J. Swint
James Felton Taylor
Cathy Cavalier Taylor
Kathy Brown Valencia
Robert E. Vest
Rose Marie Wade
Lemuel H. Ward
Mary Katherine Weeks
Circumstances require that the list of candidates for graduation be furnished to the printer several weeks prior to commencement. It is possible that one or more candidates listed herein may have been unable to complete all requirements for the degree. Inability to remove a name from the list does not commit the University to grant the diploma to a person thus listed. The official list is maintained in the Office of the Registrar.
Administration
Marjorie L. Girth, A.B., LL.B. (Harvard University), Dean
Patricia T. Morgan, B.A., J.D. (Emory University), Associate Dean
C. Robert Shuford, A.B., M.A. (Vanderbilt University), Assistant Dean
Faculty
Ronald W. Blasi, Professor of Law
B.S., J.D., LL.M. (New York University)
James L. Bross, Professor of Law
A.B., J.D., LL.M. (University of Pennsylvania)
Mark E. Budnitz, Associate Professor of Law
B.A., J.D. (Harvard University)
George J. Carey, Professor of Law
B.A., J.D., LL.M. (Harvard University)
Jennifer Chiovaro, Instructor in Law
B.S., J.D. (Georgia State University)
Norman A. Crandell, Professor of Law
B.A., B.C.L., LL.M. (University of Illinois)
William A. Edmundson, Associate Professor of Law
B.A., Ph.D., J.D. (Duke University)
Anne S. Emanuel, Associate Professor of Law
B.A., J.D. (Emory University)
Marjorie L. Girth, Dean and Professor of Law
A.B., LL.B. (Harvard University)
William A. Gregory, Professor of Law
B.A., M.A., J.D. (Harvard University)
Linda Harrison, Instructor in Law
B.A., J.D. (American University)
Bernadette Weston Hartfield, Associate Professor of Law
B.A., J.D. (University of California, Berkeley)
David R. Hendrick, Jr., Visiting Professor of Law
B.A., J.D., LL.M. (George Washington University)
L. Lynn Hogue, Professor of Law
A.B., M.A., Ph.D., J.D. (Duke University)
Nancy P. Johnson, Law Librarian, Professor of Law and Associate Professor, University Library
B.A., M.L.S., J.D. (Georgia State University)
Mark J. Kadish, Director of Lawyer Skills Development and Associate Professor of Law
B.A., LL.B. (New York University)
Steven J. Kaminshine, Associate Professor of Law
B.A., J.D. (DePaul University)
Marjorie Fine Knowles, Professor of Law
A.B., LL.B. (Harvard University)
E. R. Lanier, Professor of Law and Legal Studies and Member of the W.T. Beebe Institute of Personnel and Employment Relations
B.A., M.S., J.D. (Emory University)
David J. Maleski, Professor of Law
B.S.C.E., M.S., J.D. (Georgetown University)
Charles A. Marvin, Professor of Law
B.A., J.D., M.Comp.L. (University of Chicago)
Paul S. Milich, Professor of Law
B.A., J.D. (Georgetown University)
Patricia T. Morgan, Associate Dean and Associate Professor of Law
B.A., J.D. (Emory University)
Ellen S. Podgor, Associate Professor of Law
B.S., J.D., M.B.A., LL.M. (Temple University)
Mary F. Radford, Professor of Law
B.A., J.D. (Emory University)
Linda Robinson, Instructor in Law
B.A., J.D. (Emory University)
Charity Scott, Associate Professor of Law
B.A., J.D. (Harvard University)
Eric Segall, Assistant Professor of Law
B.A., J.D. (Vanderbilt University)
Roy M. Sobelson, Associate Professor of Law
B.A., J.D., LL.M. (Temple University)
Corneill A. Stephens, Associate Professor of Law
B.A., J.D. (University of Chicago)
Kathryn R. Urbonya, Professor of Law
B.A., M.A., J.D. (University of North Dakota)
Stephen J. Wermiel, Associate Professor of Law
B.A., J.D. (American University)
Jack F. Williams, Assistant Professor of Law
B.A., J.D. (George Washington University)
Patrick Wiseman, Professor of Law
B.A., M.A., Ph.D., J.D. (Columbia University)
Emeriti
Ben F. Johnson, Dean Emeritus
A.B., J.D., LL.M. (Duke University)
HONORS GRADUATES SPRING 1993
Magna Cum Laude
Gregory Mark Cole
Carla Marie Dudeck
Karen A. Kelley
Grantland G. King III
Donna S. Shapiro
Cum Laude
Carter G. Allen
Charles R. Bridgers
Robert Cape Buck
Scott Paul Hilsen
Sarah L. Inderbitzin
Carolyn V. Jordan
Scott Michael Kaye
Charles Neil Kelley
Perrin Cole Law
Tracy Leon Moon
Jami Elise Philpott
Steven Darryl Prelutsky
Bradley Glenn Pyles
Susan L. Rappa
Suzan E. Roth
Trent B. Speckhals
Kathy Brown Valencia
Nanette Laura Wesley
Calvin Ray Wright
|
The Ugly Face
Special Report: Nepal’s Civil Service
Let Your Earnings Yield You Even More.
NIBL now offers up to 11% interest on NIBL Special Fixed Deposit
11%
interest p.a.
This scheme is valid for limited period only
• Nepal’s first bank to receive an investment grade credit rating of [Nepal] “A” by ICRA.
• Highly experienced management and sound corporate governance.
• No. 1 private sector bank in terms of deposits and lending.
• 24 years of stable banking.
• Highest growth rate among banks in Nepal.
• Wide Branch and ATM Network.
• The highest Capital Base.
• High Customer Base.
• 365 Days Banking.
Tel: 4228229, 4242530 www.nibl.com.np
नेपाल इन्वेस्टमेंट बैंक लि.
NEPAL INVESTMENT BANK LTD.
Truly a Nepali Bank
ICRA [Nepal]A
TheBanker
Bank of the Year 2008 NEPAL
TheBanker
Bank of the Year 2009 Nepal
TheBanker
Bank of the Year 2011 Nepal
We ended our note in these columns in the last issue with a question that had been haunting common men across the country: even if we have a new prime minister, a new government and a new constitution will it make any difference to the present state of the nation? We then concluded that such frustration and loss of faith in future can be dangerous and disturbing. Nothing has changed in the past two weeks. If any, it has changed only for the worse. With the fifth round of prime minister selection predictably failing to produce an outcome, the political crisis has deepened. Even deeper now is the looming economic crisis. With no new budget on time, the government spending is set to come to a grinding halt in a few weeks. That will halt all economic activities - most importantly the monthly pay to the government staff. Revenue will be hard hit at a time when import already far exceeds exports and even the service sector facing a dangerous deficit (see a related story in the inside pages). Clearly, an emergency appears on the cards whether one likes it or not. Political as well as economic emergency. And there is no light at the end of the tunnel yet. We wonder if we are waiting helplessly for the inevitable. Does someone dare to prevent the inevitable? They say, every crisis comes with a solution. We can only hope that that comes true.
Keshab Poudel
Editor
Cover Story: The Money Power
Interview: Balananda Paudel 18
Peace Process UNMIN Endgame? 11
Newsnotes 2
Economic Briefs 4
News Clip 5
Media: Dhruba Adhikary 6
Monarchy: The Red ‘U-Turn’ 7
Politics: Buying Office 10
Commentary: Yubaraj Ghimire 11
Loss In Service Trade: Under the Radar 13
Viewpoint: Prof. Madhukar SJB Rana 14
NAPA Draft: At Final Stage 15
Assam Gorkhas: Gaining Ground 16
Delhi Diary: Abjit Sharma 17
Special Report: Civil Service 20
Article: Umesh Lama 22
Agni Air Crash: Another Probe 23
Mirest-Nepal: Needed Books 24
Forum: David Wells 25
Art 26
Disappearance: Unknown Pain 27
Health: Buddha Basnyat, Md 27
Editor and Publisher: Keshab Poudel, Senior Correspondent: Saro Dahal, Correspondent: Uma Kanta Khanal, (Jhapa) Abijit Sharma (New Delhi), Reporter: Nilak Dev Bhattarai
Marketing Manager: Madan Raj Poudel, Tel: 9841320317, Nabin Kumar Maharjan, Tel: 9841291404, Photographer: Sandesh Manandhar
Cover Design/Layout: Hari Krishna Bastakoti
Editorial Offices: New Spotlight, 10th Floor, Shree Ram Plaza, Kathmandu, P.O.Box: 7256
Office: Kamal Pokhari, Thir Bom Marg, House No. 559/144 (Opposite to Tinku Hospital)
Printers: Pioneer Offset Printers (P.) Ltd., Dilibazar, Kathmandu, Ph: 4415687
Kathmandu DAO Regd. No. 14011/063/64, Postal Regd. No. 07066/067
US Library of Congress Catalogue No. 91-010360
USAID Extends Remote Area Health Coverage
USAID/Nepal announced the launch of its five-year, $15.6 million Ghar Ghar Maa Swasthya (Healthy Homes) program.
The program will assist the government of Nepal to expand the depth, reach and impact of the private sector in social marketing, by providing low cost supply of maternal child health, family planning and HIV prevention products and services.
USAID’s Healthy Homes program comprises two components. Under the first component, USAID is funding the Nepal Contraceptive Retail Sales (CRS) company for social marketing activities, focusing on sustainability and rural, hard-to-reach areas. Under the second component, the Academy for Educational Development (AED), funded by USAID, will assist CRS to achieve increased self-sustainability and to design and implement behavior change communication activities, such as generic campaigns promoting family planning best practices.
Dr. Kevin A. Rushing, Mission Director of USAID/Nepal, remarked “The Healthy Homes program is designed so that focus remains on the most vulnerable populations living in the more remote areas of Nepal. It expects to bring about behavioural change in the at-risk and hard-to-reach populations and enhance the sustainability and self-reliance of CRS, Nepal’s premier social marketing program. Healthy Homes is also reflective of our commitment to mobilize the ideas, efforts and resources of the private sector by forging alliances to address critical issues, including those in the health sector.”
Indian Embassy Concerned Over Media Reports
Following media reports of substandard products produced by Dabur Nepal, an Indian joint venture company, the Indian Embassy has issued a strongly-worded press release.
“The attention of the Embassy has been drawn to reports in certain print and television media against products manufactured by Indian Joint Ventures in Nepal. Past allegations of this nature have been found to be false after thorough investigation by Nepal Government agencies,” states the release.
The Embassy also adds that it has been informed by the Indian JVs that they had been “approached by such media houses for release of advertisements and are being threatened with negative publicity if those requests are not met.”
The release adds that the JVs maintain the highest standards of quality.
“These companies are the pride of Nepal and a symbol of close relations between India and Nepal. The baseless adverse publicity against the products of such joint ventures will not only hit the Nepalese economy and exports but will also deter new foreign direct investments into Nepal.”
“We hope that concerned authorities will take suitable action against such unethical practices,” said the statement issued by the Embassy.
Media Houses React
Associations of four media houses jointly issued a statement raising objection over the press statement issued by the Indian Embassy on August 28 in connection with media reports that questioned the quality of products manufactured by some Indian joint ventures in Nepal. Kalash Shirohi of Nepal Media Society (print), R.K. Manandhar, Television Broadcaster, Bishnuhari Dhakal, Broadcasting Association of Nepal (commercial radio) and Min Bahadur Shahi, Association of Community Radio Broadcasters Nepal (the umbrella organisation for community radio broadcasters) cautioned the Indian Embassy not to “overstep its boundary.”
The statement also reminded the embassy that the Nepali media operated under the laws of sovereign Nepal.
“Nepali media are free to choose their content and have fully utilised this right. We caution the embassy to respect diplomatic norms and values of press freedom,” the statement read.
The statement accused the embassy of libel. “To make sweeping comments on the Nepali media on the basis of news published about food products with corroboration from the investigation of Nepali government agencies is objectionable,” the statement said.
“On behalf of all the media outlets in Nepal, we deplore this objectionable interference of the embassy.”
The joint statement has also cautioned the embassy from repeating similar “mistakes” and asked the embassy to issue an apology. The media organisations have also called on the government to issue a rebuttal immediately.
Embassy Response
In response to media queries, spokesperson of the Indian Embassy said the “Embassy was surprised by the reaction by some media associations to genuine concerns expressed by it at attempts to elicit advertising revenue from Indian Joint Ventures by a few media organizations.
“At no point did the Embassy refer to the media in Nepal in general. The reaction by these media associations would have been credible if backed up
by a condemnation of such unethical practices and an offer to discuss how to address the issue with concerned companies," the spokesperson defended.
**AWNN: Stop Cruelty Against Animals**
Comedian duo Madan Krishna and Hari Bamsha have requested communities such as Khokana to stop cruel blood sacrifices.
"It is ignorance that leads to cruel killings. Therefore let's stop blood sacrifices and restore our dignity," the comedians said.
Rituals such as the one taking place at Khokana festival have a major impact on children, according to the comedians.
"Some children are made to believe that violence is approved of by the society, while other children feel deeply hurt when they see grownups mishandling a living being."
The comedians have joined a campaign led by Animal Welfare Network Nepal (AWNN). The network earlier this week requested the organizing committee and VDC of Khokana to develop an alternative for the cruel ritual involving the biting to death of a she-goat in a pond.
During the festival a 4-6 months old she-goat is sacrificed by throwing it into a pond where nine young men, one from each ward, attack it and bite it to death. The one who ultimately kills the goat is named the 'hero' and leads a dance procession. Khokana VDC sponsors the festival by contributing around NRs 100,000.
"Now that the armed conflict has ended Nepal needs peaceful practices that educate the next generation for a harmonious society," AWNN says.
**Fund To Restore Pangboche Monastery**
The Mountain Institute is this year's recipient of funding from the Ambassadors Fund for Cultural Preservation (AFCP), according to the U.S. Embassy.
With a grant totaling $83,500 USD, (around Nepali Rupees 61 Lakhs) the Mountain Institute will restore the Pangboche Monastery, one of the oldest centers of Sherpa learning and culture in the Solu-Khumbu region.
Specifically, with this grant the Mountain Institute will restore the Pangboche monastery and its environs to preserve its historical importance in order for it to better serve its surrounding communities and their needs.
Pangboche Monastery, located in a small Sherpa village in the Solu-Khumbu district, was established in the 16th century by the Lama Sangwa Dorji, who accompanied early waves of Sherpa migrants from Tibet at that time.
The Lama also established the nearby Tengboche monastery and was a founder of Buddhist learning in the region. A chorten near Pangboche monastery contains some of his relics. As the highest permanent settlement on the road to Everest, Pangboche currently serves as a vital center for the surrounding populations, particularly during the observance of annual cultural festivals.
Over the past nine years, the U.S. Government has committed approximately $1,255,000 dollars to restore and preserve nine cultural sites throughout Nepal. Projects previously supported by the Ambassadors Fund for Cultural Preservation include the restoration of Kal Bhairav and Kageshwor Temples in Kathmandu's Durbar Square, renovating ancient Buddhist chortens in upper Mustang, and continuing the restoration of Patan Durbar Square in Lalitpur.
Established by Congress in 2001 and administered by the U.S. Department of State, the Ambassadors Fund for Cultural Preservation annually provides direct grant support for the preservation of cultural sites, cultural objects and collections, and forms of traditional cultural expression in countries around the world selected through a highly-competitive process. Since its inception, the Fund has demonstrated America's respect for the cultural heritage of other countries by supporting more than 300 cultural preservation projects in more than 100 countries.
**Call For Action On Disappearances**
On the occasion of the International Day of the Disappeared, Kathmandu based embassies stated that they remembered all those disappeared during the conflict.
"According to the International Committee of the Red Cross, more than 1300 people went missing during the war, victims of the state security forces as well as of the People's Liberation Army," the statement issued by embassies of Australia, Canada, Denmark, European Union, Finland, France, Germany, Japan, Norway, Republic of Korea, Switzerland, UK and USA said. "To this day their whereabouts and their fate remain unknown."
The British Embassy stated, "We welcome the draft legislation to establish a Commission of Inquiry on Disappearances, and hope that the required changes can be made and the Commission established as soon as possible. We encourage Parliament to prioritize discussion and amendment of the bill so that it meets Supreme Court rulings and international standards. This will bring hope to the thousands who are still awaiting justice."
They called on the government to demonstrate its commitment to accountability by ensuring the full application of the rule of law to state and non-state personnel involved in disappearances.
The government should also ensure that police and court orders are followed through, and that the Nepal Police acts on outstanding arrest warrants, they said.
"We urge the Nepal Army and the UCPN-Maoist to cooperate fully on cases of disappearances. Their long refusal to do so has prolonged the anguish of relatives, and delayed justice."
Effectively dealing with the legacy of the conflict will allow Nepal's transition to peace to continue on the basis of trust, truth and reconciliation, the statement said. "Although the international community marks today as a special day of remembrance, for the victims and their loved ones the pain continues. For them, every day is a day of the disappeared."
Dabur- Nepal’s Products Quality Claim
Dabur Nepal has claimed that its products maintain high quality thanks to the utmost care taken by it. Dabur issued this statement when efforts are being made in Nepali market to discredit its products. Saying that Real Juice brand is still popular in Nepali market, Dabur urged Nepali consumers not to believe the misleading news reports that are being spread through various media for the last couple of weeks.
“Rumors against the market are a planned plot to spoil the relations between the company and the consumer,” said Dabur-Nepal. The company said that it had already tested its products Real Mango Nectar 200 ml (Batch no NB00713, Mid 04/10) after preparing its analysis report from Food Technology and Quality Control Department. The company also received letter stating the production was satisfactory in 2067 BS from the department.
According to Dabur- Nepal, the whole process from importing of raw materials to packing the goods are based on ultra-modern technology adding that all the products are produced by the company.
Banks’ Lending To Real Estate Sector Over Rs 63 billion
Of the total lending of Rs 462.24 billion by the banks, over Rs 63 billion have been invested in the real estate sector. This is 13.68 percent of the total lending. The banks’ lending in Housing sector has reached beyond Rs 35 billion – which is 7.67 percent of total lending. In recent times, the central bank has asked the banks to reduce their lending exposure on real estate sector.
NEA Asked To Produce Leakage Reduction Plan
The Electricity Tariff Fixation Commission (ETFC) has asked the Nepal Electricity Authority (NEA) to produce an action plan on reducing the power leakage. It was asked to produce the plan after it approached the ETFC with a proposal on hiking electricity tariff. The NEA has said that it is losing billions of rupees due to stagnant power price. However, the ETFC has pointed out to NEA’s data of 26.58 percent of power leakage and asked to produce a plan to reduce it. The leakage -17 percent technical loss and 10 percent non-technical loss - has cost NEA about Rs 7 billion annually.
FM Refuses VAT Waiver On Gas
The Ministry of Finance (MoF) has refused to waive Value Added tax (VAT) on Liquified Petroleum Gas (LPG). Earlier, a high level government committee headed by Chief Secretary Madhav Ghimire had recommended waiver of VAT on LPG. The committee included Revenue Secretary Krishna Hari Baskota. But Finance Minister Surendra Pandey refused to agree with its recommendations. Earlier the Nepal Oil Corporation (NOC) had said that it can bring down the price of cooking gas once the 13 percent VAT is waived by the government. It had said that if the VAT is waived it can reduce the price of LPG by Rs 120 per cylinder. At present, the price of LPG per cylinder is Rs 1250.
Yeti Airlines Donations
Yeti Airlines donates Rs 1.32 million to four non-governmental organisations (NGO) working in the field of health, women and children under its corporate social responsibility (CSR).
The airline supports NGOs from Rs 4 collected from each passenger ticket. Yeti Airlines handed over a cheque of Rs 331,590 to each of the four NGOs — Itahari-based Helpless Children Welfare Mission, Sewa Kendra Leprosy Relief, Kathmandu, Spinal Injury Rehabilitation Centre, Sanga, and Women for Human Rights, Kathmandu. Earlier, the airline had supported them with Rs 2.21 million. Overall, the airline has donated Rs 6.13 million to nearly a half a dozen NGOs.
We are serious about our CSR and it is more focused on people, said Bijaya Bahadur Shrestha, Executive Director.
Yeti Airlines, operating in Bhadrapur, Bhairahawa, Biratnagar, Pokhara, Nepalgunj, Dhangarhi and Janakpur, provides 50 per cent discount to disabled people, followed by 25 per cent to senior citizens, and 10 per cent on round trips.
According to a statement, the Airlines has presented a total financial assistance of Rs. 61,38,928 to Tewa, OCCED, Maiti Nepal, Neapl Leprosy Relief, Nepal Glaucoma Eye Clinic (Tilganga) and Sewa Kendra Leprosy, Helpless Children Welfare Mission, Itahari, Sewa Kendra Leprosy Relief, Kathmandu, Spinal Injury Rehabilitation Center, Sanga and Women for Human Rights, Kathmandu.
The Airlines also provides special discounts to disabled people (50%), senior citizens (25%) and to all Nepalese a discount of 10% on round trip in the sectors as Bhadrapur, Bhairahawa, Pokhara, Nepalgunj, Dhangadhi and Janakpur.
‘Cultural Monarchy’
Members of Nepali intelligentsia who are believed to be in India’s good book have lately begun to talk about the perceived threat of India to its internal security and the growing anti-Indianism in Nepal in the monarchy-less Nepal. This has prompted speculations about the revival of a cultural monarchy. It has been reported that external affairs secretary Nirupama Rao gave ample indications, in formal and informal meetings with the visiting team of Nepal’s private and government TV news chiefs in Delhi, that India was in favour of reviving the monarchy. It has been believed that India is concerned that after the abolition of the monarchy, anti-Indianism has intensified and that activism of China has increased. Indian intelligence agencies have also concluded that the establishment of a republic in Nepal has weakened the country’s security and rendered all security agencies incompetent. This has led to the heightened security concerns of India in Nepal. This is why the idea of reviving the cultural monarchy in Nepal is gaining currency in India. ( Sanghu, August 23)
The Mystery Money
Be it the mammoth money being spent by the political parties on their internal elections from the district level to the centre or the economic transactions being done to form one’s government, one wonders where did such a huge amount of money come from in the present transitional politics. If it was donation, who may have given it? Yes, it is general heard that the businessmen do donate money to the parties. But because of the same parties, many industries have been hit hard. Some have even been closed down. Then, how come that the same businessmen were able to donate money? If it is not them who doled out money, how have the parties and the leaders been surviving? ( Babita Basnet in Ghatna ra Bichar, Aug 25)
Foreigners’ Concerns
It is not only the Nepalese but the foreigner as well who have been deeply embarrassed over the governmentless in Nepal. It became evident during the Japanese ambassador Tarsuo Mijuno’s meeting with finance minister, Surendra Pandey. Describing Nepal as a country of rich potential, Mijuno said that his country wanted to see stability in Nepal. He said, you guys reconcile yourselves. He said that other countries may have given aid to Nepal on conditions, but Japa is a neutral friend. Referring to the conditions put forward by the European Union nations and the United States on issues like ethnicism, inclusiveness, federalism and human rights, he said that even China wants its condition of one-China regarding Tibet to be considered. But Japan had never put such conditions, according to the ambassador. Russian ambassador is also said to have echoed such sentiments. ( Jana Aastha, Aug 25)
India’s Headache
It is not difficult to understand that the Indian-aided controlled anarchy in Nepal is going out of New Delhi’s control. India may have to pay dearly for weakening the Nepali Congress by using the king, the army, the Maoists, the UML and the Madhesi outfits one after another. But the Maoist-Monarchist coalition to woo the United States or China by antagonizing India further will also not benefit Nepal. ( C. K. Lal in Himal, Aug 17)
That the diplomatic mission of a neighbouring country would find it fit to pick a quarrel, and publicly at that, with the host country’s press over reports questioning the quality of certain products manufactured locally is considered unusual, if not offending.
Knowledgeable Nepali diplomats familiar with universally accepted norms and practices were naturally taken aback when they read the statement Embassy of India issued on August 27, with unsubstantiated allegations that “certain print and television media” had resorted to negative publicity because their approach for release of advertisements were not entertained by industries concerned. Even if the subject becomes a dispute between manufacturers and consumers—of a particular brand of juice—through media, there are designated agencies and mechanisms in Nepal to resolve such controversies.
Similarly, the industries in question might have used investments from abroad including India, but their products are marketed as “Made in Nepal” commodities, thereby governed by relevant laws of Nepal. And the investments probably came from the private sector. People in the Nepali media are aware of these basic points, that is why they promptly offered their reactions. The joint statement containing the voices of publishers and radio/television broadcasters is actually an indicator of a broader perception of India’s increasing interference in Nepali affairs.
Meanwhile, it is an irony that the embassy of the world’s largest democracy is encouraging authorities here to take “suitable action” against a free press! And a reference to “unethical practices” herein Nepal has surfaced at a time when the Press Council of India is reporting about an unprecedented challenge emanating from the phenomenon of “paid news”, that is advertising in the garb of news. A council report released on 30th of July refers to possible pernicious influence on Indian democracy from “such malpractices”. Who, by the way, is the competent authority to decide as to what constitutes an “unethical practice” the embassy is alluding to?
***
Press releases put out by embassies, missions of the UN and other international agencies based in Kathmandu are usually a good source of information on matters of public interest. With some exceptions, such as a European Union’s position on a particular issue relating to a Latin American country. It appears that some of the diplomatic missions spend additional time to make their public announcements more helpful to journalists who work under stressful deadlines. I have noticed that the British Embassy is one of them. Most of the press releases from this embassy add “Information for Editors” at the end of its main announcement, with background notes and details. The press release of August 9 on a group of Bhutanese refugees being resettled in the United Kingdom can be cited as an example. In addition to the news that 37 Bhutanese leaving Nepal to be integrated into a new host community, the footnote segment of the press release provided background information about the resettlement programme and destination countries together with the number of remaining refugees (77,616) now being sheltered in seven camps located in eastern Nepal.
The one and only flaw that I noticed in the press release was in its tagline which a newspaper could have directly converted into a headline: From Jhapa to Bolton. To the Nepali audience, Jhapa does not need elaboration but Bolton does. And it could have been done by inserting just a one or two more words, isn’t it?
***
One such perfectionist was Allen Quicke, editor-in-chief of Asia Times Online which is based in Hong Kong with an editorial bureau in Thailand. From what can be derived in the obituary portal posted, this 57-year-old man from South Africa was also a genius at organising journalists.
Perfection is desirable, but not easily achievable. However, there is no dearth of dedicated journalists in this world of ours who are fiercely committed to precision as well as perfection as a part of accuracy. One such perfectionist was Allen Quicke, editor-in-chief of Asia Times Online which is based in Hong Kong with an editorial bureau in Thailand. From what can be derived in the obituary portal posted, this 57-year-old man from South Africa was also a genius at organising journalists. Otherwise it would not have been possible for this Internet version of Asia Times, a print newspaper that ceased publication in 1997, to record a steady growth in preceding years. It now is a vibrant site with daily readership of more than 100,000 enlightened people scattered across the globe. ATOL says it has a policy to look contemporary issues from an Asian perspective. This distinguishes us from the mainstream English language media, whose reporting on Asian matters is generally by Westerners, for Westerners”, its mission statement says. The Chinese edition of the site too is read widely in China and beyond.
“Nobody likes to be scrutinized by the media, but the existence of the media helps maintain order and transparency.” Although a statement of fact, it would not have attracted attention if it had come from a British newspaper or an American television broadcast. It could have been dismissed as a journalistic cliché. Since this was printed in the editorial column of an English language newspaper published in China, journalists with interest in that country’s measures towards liberalisation may find it worthwhile to monitor an increasingly assertive character of media outlets there. The quote given above is from the leading article in the Global Times of August 6. “Without the media there would be dire consequences, and political and financial power would go unchecked,” is how the next sentence of the article read. The paper sought public understanding and support for the media which is “on a difficult road of transforming its role.” Efforts to enhance media’s credibility appear to be in full swing. Reports exposing the ugly parts of public life, ranging from the milk powder scandal, coalmine accidents to corrupt practices in businesses offer examples of recent media initiatives.
***
Global Times urged the public to reject “bad journalists”. As we know, this breed is not confined to China. They can be found everywhere, and Nepal is not an exception. Those who have entered the media without adequate qualification, training and professional commitment are the ones to be blamed for causing palpable erosion of media credibility. Men and women working as journalists but retaining loyalty to a particular political party are also responsible for inflicting damage to the profession that is associated with citizens’ constitutional right to be informed on public issues. Clearly, no professional journalist would create a sensational story like the one Surya Bahadur Thapa, a former prime minister, alluded to in an interview published in Nepal Samacharpatra on August 27. According to Thapa, it is true that some elderly leaders including himself did meet each other at a luncheon hosted by Padma Sundar Lawati, a Panchayat-era home minister, but to say that revival of monarchy was discussed there is something like sharing a fairy tale. Obviously, this can be a good example of ‘creative writing’ but it definitely has no place in journalism as it has to be based on facts only.
Prime ministerial aspirant Maoist chief Prachanda ‘admits’ that the monarchy should not have been overthrown. He favours the revival of the 240-year old institution as ‘cultural monarchy’. So claimed the chief of the royalist RPP-Nepal boss, Kamal Thapa. The claims have not been denied yet.
Although the after days of indiscreet silence, Maoist vice chairman Narayan Kaji Shrestha denied reports of the party’s green signal to the revival of monarchy, he did not deny the specific reports attributed to Prachanda.
Shrestha’s general denial also came only after the central committee members pressured the leadership to come clean on the issue. Instead of coming clean, the Maoists have only helped to bolster the claims that they have sought to deny.
Said Shrestha, “we are open to alliance with former royals” provided they are patriotic and progressive.
Even as the Maoists’ reluctant denial for public consumption came, reports started circulating that Prachanda’s comrade-in-arms in the UML, Jhalnath Khanal, has conveyed the same message to an influential individual close to the ousted king Gyanendra. Another prime-ministerial aspirant Khanal is also said to have asked for a favour to deliver his ‘olive branch’ to Delhi. The report too has not been countered yet.
Amidst these reports caretaker prime minister Madhav Kumar Nepal challenged the Maoists to come clean. He raised the issue in a meeting with Prachanda. The latter reportedly kept mum even as his critic, Baburam Bhattarai, responded with a sarcastic smile.
The fresh reports have coincided with series of visits of former king and crown prince to temples and shrines amidst huge crowd. There have also been subsequent interviews by former crown prince Paras. In one interview, he gave ample hints of having met Prachanda – the man who claims to have ushered in a new era in Nepal’s history by forcing a republic.
The UCPN and the UML are the two biggest communist parties. Firebrand republicans Prachanda and Khanal head the red outfits.
If they are taking a u-turn, can the future politics follow a normal turn, wondered analysts.
They wonder if the RPP-N chairman Kamal Thapa is on target when he was reported as saying that the external forces that brought the anti-king forces together to overthrow the monarchy can re-instate it too.
The Money Power
With the sixth round of voting to elect a new prime minister round the corner money threatens to play a decisively dominant role to influence the outcome.
By SAROJ DAHAL
As he began meeting the leaders of the political parties to persuade them for a consensus to end the present political deadlock, president Ram Baran Yadav came across a shocking disclosure last week.
A leader of Madhesi outfit sipped the warm tea and spilled a hot disclosure: he was offered 50 million rupees to in return of the party’s vote for the Maoist prime ministerial candidate Prachanda.
Another echoed the claim. “I had also been approached with the offer of money.”
According to them, three Maoist politburo members had camped at a hotel near the CA premises to negotiate the vote for money.
The Maoists have subsequently denied allegations of bribing the CA members into voting for Prachanda.
But sources say, the ‘business’ is still on. According to a top Maoist leader, “a result is not ruled out in the sixth round due to be held next Monday.”
After nearly pulling off a coup of sorts in the third round, the Maoists have not given up hope yet.
They continue to fix their eyes on the Madhesi parties combine which has 82 CA members.
Even without the vote of the “neutral” UML, the Maoists can ride back to power on the shoulder of the Madhesi outfits.
That is advantage Maoist.
Nepali Congress is not foreign to buying votes for the chair. It had excelled in the game during the hung parliament 10 years ago.
Given the opportunity, it would not let it go.
But, right now, it is at disadvantage.
Nepali Congress whose candidate Ram Chandra Poudel must get the adamant UML also on its side to take a real shot at the prime minister’s chair.
So, obviously the game is open for the Maoists only.
External forces, read India, have been blamed for preventing Prachanda’s victory by helping keep the Madhesi outfits out of the Maoist fold.
But with big money proving too tempting one does not rule out the situation going out of the ‘remote’ control.
With Madhesi Janadhikar Forum Nepal led by Upendra Yadav already disposed favorably towards it, the Maoist party is now seeking to net Yadav’s rival Forum (Loktantrik) led by Bijaya Gachhadar. And the latter is not averse to the idea of joining the Maoist bandwagon, notwithstanding his public postures, said a top source privy to covert negotiations.
The combined votes of the two Forums will put the Maoists in a comfortable position (292) to lure a couple of small parties into voting for Prachanda for the magic number of 301.
Maoist sources the New Spotlight spoke to seemed pretty confident of making it — this time.
Their source of confidence – sheer money power.
The Maoists are believed to have offered Upendra Yadav and Bijya Gachhadar deputy prime ministerships with foreign and home portfolios respectively.
The two Madhesi leaders are however in dispute over who should be the senior deputy PM.
Sources said, the third target is the vice chairman of the Terai Madhes Loktantrik Party, Hridayesh Tripathi, who has been offered the third deputy prime ministership, with, understandably, the commerce and supplies portfolio.
There is one uncertainty, though. The Madhesi outfits’ suspicion. They fear that they might be kicked out of the government once Prachanda rides back to power. They suspect that the Maoist party will then take the UML into its fold making the Madhesi outfit a disposable unit.
But the floor-crossing by some of the Forum MPs in the third round of voting has indicated that anything can happen under the heavy weight of money.
Where does such a huge amount of money come from remains a mystery? The mystery money however threatens to become decisively dominant in the “New Nepal” of 27 million sovereign Nepalese people.
Buying Office
By A CORRESPONDENT
If the Nepali Congress and the UML had their ways they too would have been at it. Like their Maoist counterpart. In the race to grab the coveted prime minister's chair.
Due to own internal wrangling the UML candidate Jhalmath Khanal 'withdrew' from the race. The NC's Ram Chandra Poudel is still in the race, but is not in a position to 'fix' the contest.
Both had shown tremendous grit and skill in manipulating votes for power during the hung parliament more than ten years ago. With-the-then royalist Rastriya Prajatantra Party MPs always "on sale" to swing the balance in one or the other main parties' favour.
Few bothered then to find out where did the money come from - inside or outside. Even now, the situation has not changed.
If the money power is on full show in the prime minister's election, thanks to the revolutionary party's new zeal, the socialist Nepali Congress is witnessing the vulgar display of the green bucks in the run up to the general convention which is due to elect a new leadership including a president who will formally take the place of the octogenarian Girija Prasad Koirala who passed away earlier this year.
About 30 million rupees have been estimated as the total expenditure for the big event, but party insiders admit that double that amount is being spent to buy one's way into the central committee and the top officer bearers' body.
Top functionaries Sher Bahadur Deuba and Sushil Koirala are the top contenders for the coveted post of the president, with "honest" veteran Bhim Bahadur Tamang as a poor dark horse.
There have been credible reports that millions had been spent at the local and district level elections.
The general convention elections have indeed rejuvenated the party at the grass root level after almost 15 years. The non-violent party had practically been uprooted from its base by the armed Maoist cadres across the country.
New blood has also been inducted in the party in recent elections. All good signs indeed for the oldest democratic party with the most credible international recognition.
But serious concerns run deep if the party can retain its ideals and values amidst the flood of money that has gone into the general convention.
Said a veteran leader, now holding an important official position, "never before I have seen such a vulgar show of money in our party."
PEACE PROCESS
UNMIN Endgame?
The UNMIN is being pushed out of the picture – with unforeseen consequences
By A CORRESPONDENT
The tempo over UNMIN’s ouster call – at least clipping its wings – has reached a crescendo in the past week.
What started with army chief General Chhatraman Singh Gurung knocking at the doors of political leaders – telling exception were the Maoist leaders – culminated with the Prime Minister calling the meeting of all parties – sans the Maoists – to discuss the UNMIN exit plan.
Controversies surrounding the UNMIN have always gained an edge whenever its term comes up for renewal.
The UNMIN’s term has been extended six times since it was established four years ago.
Its seventh extension is set to be discussed when the United Nations Security Council meeting on September 7 takes up the Nepal agenda.
Before which the government has to decide what it wants to do with the UNMIN.
All indications suggest that this time around, the government is in no mood to extend the term of UNMIN without reviewing its mandate.
Examples were cited how the armed combatants have been found entering and exiting the cantonments at their will despite the supposed UNMIN monitoring and supervision.
The bottomline was, subsequently, spelled out by PM Nepal’s hawkish Defense Minister. “We are willing to extend the term of UNMIN for a couple of months only by cutting its mandate and pulling out Nepali Army from under their supervision,” said Defense Minister Bidya Bhandari.
The PM was able to garner support for his line at the all party meeting where most senior leaders suggested him to tread a cautious path by taking the UN into confidence over whatever decision it wants to take.
Aside from his political maneuvering, the PM also let loose the army chief and permitted him to meet with political leaders to lobby in favor of UNMIN’s exit or at least its reduced mandate – read keeping NA out of its supervision.
All this has made the other party of the peace process, the Maoists, understandably jittery.
The Maoists who feel insecure at letting the UNMIN go at this juncture have been taken by surprise over army chief’s lobbying. In fact, Prachanda and his senior comrades rushed to meet with the PM, in the middle of their ongoing central committee meeting, to discuss the UNMIN issue. They urged the PM to write a letter to UN asking for renewal of UNMIN term – without changing its mandate – for another six months.
Notwithstanding the Maoist request, the writing seems to be on the wall for the UNMIN. The UN body, which is said to have rankled the powerful neighbor who feels its turf is being violated, can no longer hope for smooth sail regarding its term extension.
Equally unclear is what will unfold once this row pushes UNMIN out of the picture. Coming at this crucial juncture when the peace process is faltering, the absence of UNMIN will create a big void. And everyone knows how politics loathes vacuum and void. And how they can lead to unforeseen paths with unforeseen consequences.
As prime minister, Madhav Nepal had a dream — initiating the construction of a Republican tower, a Nepali version of the Eiffel tower. He laid the foundation at Ratna Park in the heart of Kathmandu, though the project was yet to be technically endorsed. It was more an expression of intent. Madhav Nepal now continues only as a caretaker prime minister. His vague dream — that of a 25-floor glass tower fitted with lifts and a spiral staircase to the top — has now been rejected by architects who considered the construction neither feasible nor appropriate in the thickly populated city centre, also a seismic zone. If the project ever materialises — its cost, time-frame and design are yet to be finalised — it not be at Ratna Park (named after the former queen mother), but somewhere in the UN park area outside the capital. Almost coinciding with the collapse of that dream project, the former crown prince, Paras declared that the end of monarchy is not what Nepalis wanted, that it was the outcome of a design from outside (he hinted it was India), and the institution would be restored if Nepal wanted. Nobody criticised Paras for his utterances. Meanwhile, the constituent assembly, which was expected to promulgate the new constitution institutionalising Nepal’s shift to republicanism, secularism and federalism, failed to meet the May 28 deadline, and its moral and constitutional status has been suspect since then. Political parties, especially the big three — the Unified Communist Party of Nepal-Maoists (UCPN M), Nepali Congress and the Communist Party of Nepal-Unified Marxist Leninist (CPN-UML), which have led the government by rotation in the last four years of change — are perhaps the most hated.
Ragini Upadhyay, an artist who fearlessly exhibited her paintings during the royal takeover (showing King Gyanendra trying to cage “time”), now likens pro-democracy leaders to ferocious lions. The face of the lion chasing a fleeing cow symbolizing Nepali people, resembles G.P. Koirala, who took over as prime minister and acting head of the state as well as Congress president when Gyanendra handed over power to the political parties. Koirala was then hailed by Manmohan Singh as the “legendary leader of South Asia” while former US president Jimmy Carter called him “my hero”. No one knows if Dr Singh and President Carter have changed their opinion, but the current uncertainty in Nepal stems largely from Koirala’s mishandling of the peace process. He died a failed man last March. And Ragini is not alone in her anger — Madan Krishna and Haribansh Acharya, Nepal’s well-known comedians who were active in the pro-republic campaign, recently declared “where will we perform now? The constituent assembly has turned into a venue of jokers where our leaders fight like dogs and cats.” What’s more, at least some leaders have noticed this disillusionment and the sense that the monarchy was far more patriotic. UCPN M chief Prachanda met Kamal Thapa, chief of the pro-monarchist Rastriya Prajatantra Party-Nepal (RPP-N) to solicit support for his prime-ministerial dream. In private, Prachanda admitted that the monarchy’s overthrow was a “mistake”, but the RPP-N, with five members in the house, is yet to vote for him in the prime ministerial contest because it wants a public commitment from the Maoists, on the restoration of the monarchy. UML chief Jhala Nath Khanal is believed to have told an aide of Gyanendra the same thing, recently. Kamal Thapa goes a step further and demands that Nepal’s Hindu status be restored, as the change four years ago was not for democracy alone, and many anti-Hindu forces from abroad had been involved. “More than a million people have been lured to Christianity since then,” he says. aras blames many NGOs (there are around 165,000 in the country, with 4,000 villages) with their own agenda, “certainly not aimed to promote our interest”. The European Union’s pressure on the government to constitutionally recognise the right to conversion and the openly documented “anti-Hindu” agenda of some NGOs has created the idea that Western forces are causing social disharmony in Nepal. This hostility against the outside world has been aided by the failure of the political parties in the past four years. No one knows whether monarchy will return, but the republican dream, like Madhav Nepal’s failed project, has come under severe strain.
(Indian Express)
In the wake of reports that Nepal’s trade deficit – in terms of trades in goods – has reached Rs 287 billion in the last one year, another disturbing trend has caught little attention.
The trades in services – which include country’s import and/or export of such services like tourism, travel, banking, insurance, education etc – has registered an astounding loss of Rs 21 billion in the last one year.
This figure is up by two and a half times compared to the figures a year ago.
The latest report of soaring deficit in service trade is in line with the disturbing trend of country’s expenditure far outstripping its income.
In fact, even though Nepal has always been suffering from deficit in trades in good, the trades in services was a different matter altogether – at least till a few years ago when it used to have surplus in service trade.
But now, the tables have turned – for worse.
The difference between the travel income from the incoming tourists and travel expenditure incurred by the Nepalese who go overseas is the most pressing point, according to central bank officials.
Governor of Nepal Rastra Bank (NRB) Dr. Yubaraj Khatiwada has said that this difference is around Rs 10 billion already.
“Though the number of incoming tourists has increased, the income from tourism has decreased. On the other hand, a large number of Nepalese are going overseas for works. This has resulted in net loss in travel. This is an unhealthy trend,” he said.
Many say that the loss in service trade is one of the key reasons why Nepal faced loss in Balance of Payment (BoP) this year.
“Service used to be a sector where Nepal registered profit till a few years ago. Now even this sector is in loss. This is creating frightening situation in BoP,” said Deependra Bahadur Chhetri, former governor of NRB.
The loss in service trade jumped from Rs 8 billion last year to Rs 21 billion this year. And one of the primary factors leading to this loss is said to be the money Nepalese students spent in paying foreign educational institutions.
Data show that they have spent over Rs 11 billion in paying foreign education institutions last year alone – up from Rs 10 billion previous year.
So what does this mean for the economy?
“We are heavily dependent on imports. Our manufacturing sector is weak. Our expenditure has not decreased whereas our income has decreased. This is directly threatening the stability of the economy,” said economist Tula Raj Basyal.
If the loss in service trade is not corrected soon, the BoP loss which is coming down in recent months could again increase.
Economics In The National Interest
Prof. MADHUKAR SJBRANA
Nepal is blessed by Nature with ample natural resources, which our politicians, systemically, and their planners have failed to harness. This sustained, systemic failure is mainly due to their lack of vision caused by their overarching aid dependency resultant from their neo-colonial mindset, inferiority complexes and the rent benefits accruing to them from aid.
Despite foreign aid’s emphasis on good governance Nepal’s chronic mal governance is also due to this because of the overarching aid dependency as politicians, planners and policy-bureaucrats are spoon fed with alien ideas, money, material and machinations that go to serve their global interest—not ours.
Let us, today, pay homage to Lord Peter Bauer who first warned us of the pitfalls of foreign aid as early as the 1970’s. It was Bauer who had first had argued that central planning, price controls and protectionism perpetuates poverty especially nurtured by foreign aid. His wisdom was recognized even by the World Bank in its 1997 World Development Report when it acknowledged the outdated and naïve assumption that good advisers and good technical experts by formulating good policies would lead to good execution and rapid modernization.
They simply forgot that modernization necessitates transformation from within based on indigenous leadership pursuing the concept of organization development and change management over a sustained period. Considering how frequently the World Bank changed its development themes it is no wonder that their enterprise became a self-serving venture with a rapid fire, fit-for-all prescriptions. Never mind the culture of that nation nor its level of institutional development to be able to absorb the recommendations designed externally and expeditiously with very little participants by the stakeholders.
Aid is the primary source of graft and corruption. Let me quote International Alert’s Phil Vernon. When asked “Is Aid Working” he said:
“Despite billions of dollars being spent on development assistance over the past 60 years, it is doubtful that aid is really working as intended, i.e. providing sufficient impetus to overcome the strong forces that keep people poor…If asked to project ourselves forward in time to 2030 and imagine whether, looking back, we would call today’s aid policy and practice successful, many of us would find it hard to say yes.”
“Between 1970 and 1998, when aid flows to Africa were at their peak, poverty in Africa rose from 11% to a staggering 66%” - roughly 600 million of Africa’s billion people are now trapped in poverty” says the Zambian economist Dambisa Moyo (Aid, therefore, is part of the problem and not part of the solution for good governance.
To be honest, Nepal is merely a clog in the wheel of development being propelled by the western industrial nations in their mission for universal liberal democracy, human rights and security (from radical social movements; international migration, terrorism and global warming).
Such is the ideological weapon being unleashed upon the developing countries for the ‘end of history’ and to maintain their cultural domination—underscored by the savage debt burden unleashed through tied aid.
Aid agencies located in situ (e.g., USAID, DFID, and DANIDA) are glaring symbols of colonization through aid. They bypass, completely, the foreign ministries and are not accountable in any manner or form to national parliaments. Aid bureaucracies, as well as national bureaucracies, must be downsized and right sized by having just a few core ministries that are constructed with the aim to have both strategic and macro-economic impact. For example, the Ministry of Industry, Supplies and Commerce should be appropriately amalgamated into the Ministry of Finance and Economy while the Ministry of Agriculture henceforth should be made responsible for agro-industrialization.
Why merge ministries? For better coordination, communication and control and strategic impact by creating self-contained synergies within related sub sectors to maximize multiplier benefits through backward and forward linkages.
Is this not a parody of democracy and sovereign equality of nations? In the quest for human rights the industrial nations resort to non-governmental organizations, created and funded by them, to protect and promote human rights under the guise of ‘civil society’ so as to ensure weak, compliant states. Worse, it completely destroys the developing nations’ social capital as traditional voluntary organizations are annihilated from the national socio-political scene.
The first act of nationalism, therefore, must be to set limits to foreign aid which is a self-perpetuating institution by: (a) developing one’s own development and growth strategies; (b) bringing under the Ministry of Foreign Affairs’ fold all bilateral and multilateral foreign aid, including those from INGOs, and (c) deepening and opening alternative avenues for international finance massively (remittance, tourism, transit trade, international financial centre, carbon trading and fdi mobilization; and (c) downsizing the bi-lateral international aid bureaucracy in situ and also requiring them to hire national experts especially educated and trained in the countries concerned.
Total debt forgiveness is necessary as aid has robbed Nepal of its competitive advantage through padding of costs and chronic delays mainly in the infrastructure sector. Use the funds released from debt forgiveness to emancipate the people living below the poverty line as their rightful entitlements to micro-credit; sanitation; irrigation; education; health, housing and skill training—no matter what caste, creed and culture or race, religion and region.
(Excerpts of the paper presented by Rana who is South Asian Institute of Management Former Finance Minister)
The Ministry of Environment is in the process of sending the draft National Adaptation Program of Action (NAPA) to the cabinet for its final approval after the focal ministry presented the draft at the Climate Change Council meeting last week.
Prime Minister Madhav Kumar Nepal chaired the meeting. Purushottam Ghimire, joint secretary, focal point of UNFCC and National Program Director of National Adaptation Program of Action (NAPA) Project to Climate Change, presented the draft for discussions at the meeting on August 28.
NAPA draft identified 243 projects under 6 thematic areas. Among them, 43 projects are identified as urgent and immediate projects needing implementation. For this, US$ 340 million is required,' Ghimire told the meeting. 'Out of US$ 340 million, donors have already committed US$120 million and major implementing partners include European Union, DFID, Pilot Project on Climate Resilience through climate investment fund,' said Ghimire.
When Ghimire was presenting the highlights of NAPA draft, prime minister Madhav Kumar Nepal raised various questions regarding the priorities and projects identified by NAPA.
Appreciating the document, prime minister Nepal suggested that projects should be designed in line with land use patterns of Nepal. 'As there is a huge problem of fire in the Terai, fire fighting strategies should be included,' prime minister Nepal suggested at the meeting.
Interestingly, all 43 projects identified by the NAPA are national priority projects. They will be implemented through various line agencies with coordination of the Ministry of Environment. 'We have proposed to spend 80 percent of the resources at the grass roots level,' said Ghimire.
Minister of Environment Thakur Prasad Sharma has already declared that this is the best document prepared in the last one year by his ministry within the requirement of the country to acquire funds from donor communities.
Thanks to the political backing, Nepal is able to prepare NAPA document within a year. 'I am proud to say that Nepal has now the NAPA document through which the country can acquire the necessary funds,' said Minister Thakur.
According to the document, very highly vulnerable districts include Kathmandu, Ramechhap, Udayapur, Lamjung, Mugu, Bhaktapur, Dolka, Saptari and Jajarkot. Similarly, Mahottari, Dhading, Taplejung, Siraha, Gorkha, Solukhumbu, Chitwan, Okhaldhunga, Achham, Manang, Dolpa, Kalikot, Khotang, Dhanusha, Dailekh, Parsa and Salyan.
Moderately vulnerable districts include Sankhuwasabha, Baglung, Sindhuli, Bhojpur, Jumla, Mustang, Rolpa, Bajhang, Rukum, Rautahat, Panchthar, Parbat, Dadeldhura, Sunsari, Doti, Tanahu, Makawanpur, Myagdi, Humla, Bajura, Baitadi, Bara, Rasuwa, Nawalparasi, Sarlahi, Sindhupalchowk, Darchula and Kaski. Least vulnerable districts include Ilam, Jhapa, Banke, Palpa and Rupandehi.
The overall objective framework of NAPA is to mainstream climate change agenda into national development with poverty reduction, livelihoods improvement/diversification and building resilience,' said Ghimire. 'Our goal is to enable Nepal to respond strategically to the challenges and opportunities posed by climate change.'
After signing NAPA project in November 2008, the inception workshop was concluded in May 2009. Only after the expansion of the cabinet and appointment of Thakur Prasad Sharma as the minister of environment, the NAPA process rolled. In October 2009 the thematic Working Groups were formed and there was transect appraisal exercise for detailed vulnerability assessment in November 2009. In June-July 2010, several regional level consultation meetings were held on draft of NAPA and the draft was finalized in August 2010. Follow up proposal development and submission happened in August 2010.
'This draft is widely circulated and discussed at the grass roots level to make it the draft of Nepal,' said Ghimire.
The Gorkhas of Assam are now delighted that they will get the government assistance for the first time. Before this, they were regarded as migrants from different parts of Nepal and deprived of any such assistance.
They say the decision of the government of Assam to declare the Gorkha Development Council has given them the feeling that they are also the inhabitants of their country, Assam. The government has announced a budget of Indian Rs. 4 crores per annum for the development of the Gorkhas of Assam.
Assam government has placed the Gorkhali people permanently settled in the state in the category of other inhabitants. They express dissatisfaction that the government has failed to provide an autonomous status for them in the state.
‘GDC will now get just double the budget that the member of legislative assembly of the state gets,’ Rohit Gautam, the editor of a monthly newsmagazine Sapariwar from Guwahati, said. ‘Now the Gorkhas of our state will be more responsible for the nationality and overall development of the community.’
The Gorkhali people are believed to have settled in Assam even before India launched its struggle for independence. But during the freedom movement, when the entire country was united, administrators tried to isolate the genuine Indian patriotic Gorkhas by terming them as Nepali nationals.
The administrators used to call them non-Indians or foreigners even though they were born and brought up in different parts of India, editor Rohit said. All know that the Indian Gorkhas have been struggling for the sake of the motherland, India, but there is an identity crisis for Gorkhalis of India, he added.
‘As the Gorkhalis of Assam have been struggling for years for their identity, they claim GDC is the first achievement for them. They say that this is an achievement made through hard labour and honesty,’ Dr. Shanti Thapa, a Nepali writer from Guwahati said. ‘This assistance will be the backbone for providing Nepali education.’
According to Thapa this is a great slap for those who consider them as foreigners.
However, the Gorkhali organizations, which were demanding a Gorkha autonomous council within the state, are not satisfied with the present achievement.
They are still calling for an autonomous status for the Assam Gorkhas. We have not lifted the programs of struggle for the autonomous status,’ said Dil Bahadur Limbu, president of All Assam Gorkha Students’ Union, while addressing a meeting in Guwahati recently.
It is estimated that more than 15 lakhs Gorkhali people live in Assam. Gorkhalis also reside in Meghalaya, Manipur, Mizoram, Nagaland and Arunachal Pradesh, among north eastern states. In Sikkim and Darjeeling of west Bengal, a major community is of Indian Gorkhas.
Many Assamese Gorkhas have emphasized that the assistance should be invested in the education of the children of Gorkhas. A resident of Lambing, Assam, K.B. Nepali said, ‘Nepali education is very poor here. If we invest the assistance in providing good education for our children, our children would know about Nepali culture.’
He emphasized that the implementation committee should not be politically biased.
Delhi, a city which runs on the fast lane, virtually came to a standstill for several days last month. The reason: the havoc created by heavy downpour.
The city experienced 617mm rainfall this monsoon season. A record 423.1 mm of rainfall was recorded in the month of August alone, making it the wettest August in the last ten years.
The rain did provide a much needed relief from the heat, but it turned out to be disastrous for the Delhites. Right from the road cave-ins to water logging and haphazard traffic, this season’s monsoon has ended up being a curse rather than a boon.
People had to crawl their way through to reach their destinations. Crowds in bus stations like Inter State Bus Depot in Kashmir Gate and Delhi Transport Corporation depot in Indraprastha were especially hit hard by the incessant rain. The Metro passengers too suffered as rain water made its way into the stations.
The drainage system went completely haywire and road cave-ins were reported in many places with one youth losing his life in Gurgaon.
Long queues of vehicles on most of the road were a common sight as vehicles moved at a snail’s pace. With roads dug up and debris to be cleared out for the Yamuna due to the rain generated the greatest threat. The water crossed the danger level of 204.83 metres around the third week of the month and continued to flow above the danger level for five consecutive days. Alarm bells of flood were sounded and many were evacuated from low lying areas. Also, with flood from Haryana being let out into Yamuna, even graver dangers were feared. The Old Yamuna Bridge, which connects the north east part of Delhi to the central part, was completely closed due to the obvious risks.
As Delhi prepares itself for the Common Wealth Games and boasts of the fast paced development in the city and its world-class infrastructures, loopholes like these definitely showed there is a long way to go for the city.
Secretary BALANANDA PAUDEL joined civil service in 1988 as a section officer. Paudel was promoted to under secretary in 1994. He became a joint secretary in 1995 through an open competition. The young government officer worked his way up to become a secretary four years ago. He served at the Ministry of Education before his transfer to the Ministry of General Administration. As Nepal is celebrating the Civil Service Day, secretary Paudel spoke to NEW SPOTLIGHT on various issues related to general administration. Excerpts:
As the country has been passing through an unstable political phase, how do you see the role of civil service, which is regarded as the permanent government?
We are feeling the heat of unstable politics too. Civil service is encountering difficulties as the country is in a transition from one system to another. It is natural to see changes in institutions, processes and methods. The civil service faces challenges in internalizing such changes.
How do you see political intervention?
Of course, we also see certain trend among civil servants to invite political interventions. However, the role of civil service is to work within the laws and regulations. There are certain norms and values. Efforts have seldom been made to interpret such laws, regulations and norms to suit the personal interest. It is true that expectation of people is high.
What are the challenges?
At this stage, there is a great challenge in front of civil service. When the country has been going through transition, civil service cannot be an exception. Even in such a difficult stage, civil service is delivering its service. We must take this into account. Had it not worked properly, the situation would have gone much worse. We may not be able to function as expected by the people but civil service is delivering something to them. Despite all hostile situations, bureaucracy has been working. From village development committees to district administration offices, all government institutions are working. This is important to note. We need to change so many things, including behavior, working patterns and procedures. We need to recognize this.
Whatever civil service may have done in this period, nobody is treating it with civility. Instead, political parties, people within civil service, common people, and civil society members criticize it as if it was an evil! How do you look at this?
The role and responsibility of civil service is not just to fulfill the wishes of political parties. Civil service should not work under influence of political parties. Rather it should work under the policy of the state. Whoever may lead the state, we have to abide and follow their policies and guidelines. In this way, civil service might defy the pressure of political parties. So far as the implementation of the national policy is concerned, I don’t think any civil servant can defy it. There are problems related to the enhancement of efficiency, effectiveness, and job, but civil servants have been working properly in their jobs. As human beings, civil servants have certain weaknesses. There used to surface issues related to corruption, transparency, disloyalty to job, and so on. But I don’t think there is any justification in looking at civil service as an evil service. If individuals think this way, the civil service will be ruined.
Recently you have decided something on the secretaries system?
It seems that you are pointing to two secretary system. Earlier, it was introduced without any proper study. At the implementation stage, two secretary system created a number of problems. Basically, we have seen a number of problems. When they created a position for secretary without clearly designating corresponding role, conflict of role as well as conflict of goal appeared. This way the position of secretary became defunct as well as weak. Due to this, the secretary was unable to play the leadership role. This is the reason the government has decided to remove the dual secretary system in the bureaucracy.
How many secretaries are there?
Out of 80000 civil servants, there are 64 secretaries right now.
You represent the younger generation as a secretary. How do you balance the seniority versus competitiveness aspects in bureaucracy?
In the promotion of a civil servant, seniority should be a criterion along with competitiveness. Seniority is also something important as a person who is promoted on the basis of seniority is experienced and rich in his own job. A bureaucrat needs to have knowledge, experience and expertise.
How many systems of promotion are there now?
In our promotional systems, there are three or four ladders. Firstly, the later entry point under which a bureaucrat is promoted in the shortest period of time is through open competition. I was promoted to joint secretary through this ladder. Along with internal competition, seniority, the recent one is under the clause 24 (d) of Nepal Civil Service Act. Another provision is one layer promotion at the time of retirement. One can use different ladders for
promotion according to the capability of a person.
Although the new clause 24 (d) of Nepal Civil Service Act, which was added in the 2nd amendment, guarantees the promotion for those who complete 15 years' tenure, this is reportedly creating the problems in civil service as a whole lot of people are promoted to senior posts. How do you look at this?
Many civil servants, whowere not promoted to higher positions for a long period, are now promoted to upper position under the clause 24 (d) of Civil Service Act. They are working in the same position despite promotion. This situation is creating a lot of problems in civil service. The clause introduced to settle the problems has generated other problems. There are more than 15,000 civil servants who are promoted under this provision. If this continues, it will destroy our civil service.
Will you see the change in the present situation?
I am very happy that there is a realization among all of us about this grave situation. Along with promotion, there come four things. A person who is promoted gets new position with a new name. He or she will get a higher pay scale. However, they remain in same position. There is a wide psychological gap between the civil servants who are promoted under clause 24 (d) and promoted through other regular process. In real sense, the employees who are promoted under 24 (d) are yet to feel that they are promoted.
Since the promulgation of the first Civil Service Act in 1957 and Civil Service Regulations 1965 and current civil service act and civil service regulations, almost all amendments are taking place in the clause related to promotion. Why is it so?
I agree with you that such amendment should not have been made on the clause related to promotion. If you see the last 30 years' history, during Panchayat period of 29 years, the clause related to promotion was amendment 34 times. Even after the restoration of democracy, the target is again the clause related to promotion. No one can deny the fact that there is something wrong before making several of those amendments.
If that is so, why you are proposing amendment to the clause related to promotion again?
This is not our wish but a compulsion. There is no way other than to amend the clause to adjust and rehabilitate the persons who are promoted under the clause 24 (d). Otherwise, it will create a lot of problems in future. We are also proposing new amendment keeping in mind as to how to strengthen hiring and firing system where the right person is appointed and the person who does wrong is penalized. We want to make the system work.
At a time when Nepal's development partners have been stressing the need to have efficient, capable and transparent civil service, how do see they have played their role in supporting civil service?
You cannot improve the situation in civil service just by accusing the civil servants. Of course, Nepal's donor partners have been providing some support to civil service in the areas of training. Frankly speaking, we are unable to use it systematically and on a timely basis. There are lapses in government's part as well as on part of development partners. One thing is certain that you need to have an efficient, capable and transparent civil service to effectively carry out development works. One must realize this. There is the need to impart program and plan specific training.
There are lapses in government's part as well as on part of development partners. One thing is certain that you need to have an efficient, capable and transparent civil service to effectively carry out development works.
SPECIAL REPORT ON CIVIL SERVICE DAY
Semblance Of Stability
For 54 years since institutionalization, the Nepalese civil service, like politics, has remained in transition all the time. The Civil Service Day celebrations at the backdrop of a defunct political mechanism are a time to brood over its ups and downs. Civil service is under severe criticism. Its performance may have been below par but the situation would have been worse if it was totally non-functional.
By KESHAB POUDEL
Civil service is not supporting us,' said Prime Minister Madhav Kumar Nepal a few months back in an interaction with the senior government officials at his office. 'I am not satisfied with the performance of bureaucracy.'
While pointing out the need to take a drastic step to restructure the bureaucracy, UCPN-Maoist leader Pushpa Kamal Dahal Prachanda used this refrain: 'There is rampant corruption in the Nepalese bureaucracy and it is not functioning as per the expectations of a New Nepal. We want independent and impartial bureaucracy which can serve the interests of Nepal and the Nepalese people.'
Deputy Prime Minister Bijaya Kumar Gachhadhar's take on bureaucracy was that it was 'haunted by the ghosts of the past' and needed to 'change its traditional mindset.'
He advised taking necessary steps if it required restructuring and reforms.
These leaders are not the only ones holding such views of the civil service. Other politicians, civil society members and common people are also heard making critical comments on the way Nepali bureaucracy functions below par.
- Alright, its service delivery may not be perfect. Nevertheless, it is helping the people at the grassroots by issuing birth and death certificates, and providing recommendation letters and stuff.
Surviving all turmoil, the bureaucracy is visibly present at the policy level as well. Bureaucracy cannot replace political institutions, but in Nepal it is at least filling some space in a political vacuum created by an unstable situation.
Contradictions
There are many contrasts and contradictions in the service delivery system. At tax offices, the services are most sophisticated and computerized. Transport management is semi-computerized. Land revenue, district administration and village development committees are in the same mundane manual routine of decades ago. VDC secretaries, for example, still issue handwritten certificates.
Nevertheless, be they automated, semi-automated or non-automated, Nepalese offices are providing services despite their degrees of efficiency and discrimination among the service seekers.
**Politicalization of Bureaucracy**
Politicalization of civil service is not a new phenomenon in Nepal. Like it or not, politics and bureaucracy are twin brothers. What is ideally desired is to limit political intervention in bureaucracy to the tolerable levels.
Political influence always prevails at the time of promotion and transfer of secretaries. Following the establishment of new democracy, the selection of secretaries is happening on the whims of the concerned ministers.
Despite expectations from the changes, the transition witnessed painful political turbulence emanating from inter party conflict and intra-party feuds which have been reflected in the administrative efficiency. Frequent changes in the government and the political instability have had their consequences on the reform endeavors. As a result, the administration could not nurture the democratic administrative culture to overcome the existing governance issues and the task of transforming the civil service from a non-responsive one is, therefore, difficult,' writes Dr. Madhumidhi Tiwari, a renowned administration expert and former member of the Public Service Commission, in an article.
Instead of competence, experience and capability, what counts in civil service so much is political influence.
'This is the tragic part of Nepal's current bureaucracy, many capable secretaries don't have work,' a secretary said on condition of anonymity.
Others see political intervention is not new at all. 'You cannot separate administration and politics. Frankly speaking, civil service is the helping hand of politicos. You cannot say that
you can make administration hundred percent clean and away from politics. We can only ascertain a tolerable limit to it,' said former secretary Chandi Shrestha.
At present the country has been passing through a transitional phase and the level of political intervention will be more. In many cases, the bureaucracy needs to guide politics because it is a permanent and stable government.'
With a strength of 80,000 employees, one of the problems with Nepal's bureaucracy is frequent disturbance in institutional mechanism. Although Nepal Civil Service Act 1956 was scrapped in 1996 without any single amendment, Nepal Civil Service Regulation 1965 was amended 30 times. Interestingly, the only clause amended related to promotion. Similarly Nepal Civil Service Act 1993 was also amended twice but both the times the amendments pertained to promotion.
Even the proposal related to the third amendment, which is still under discussion, is related to promotion. Following the political change of 2006, the act was amended again introducing clause 24 (d) which made any civil servant working 15 years in a position eligible for automatic promotion. Despite their promotion, they were not given the jobs they were promoted for. There are more than 15,000 such employees who are going to be chronic problems for Nepal's civil service.
Criticism Against Bureaucracy
When all political machineries are virtually defunct and no improvement in political order is in sight, the civil service, whether one likes or not, is there to provide whatever limited stability. Then why is it under such a severe criticism?
Politicians' criticism is understandable as bureaucracy always creates hurdles when they try to override the rules and regulations and try to impose their own vested interests. In some cases, some officials serve the interests of ministers but they always abide by the decision making process. During the last five decades, Nepal's civil service has seen many ups and downs and crucial phases to the extent of dismantling but it survived all the time.
Nepal's stable and strong bureaucratic system always created hurdle against any forces. Through their own experiences, senior bureaucrats guide politicians on several matters. As bureaucracy always stands for cause and system, nobody likes it.
Two recent examples have shown that Nepal's civil service has certain inbuilt capacities to resist with ministers if there something goes wrong. The dispute between foreign minister Sujata Koirala and bureaucrats of her ministry over the Machine Readable Passport and Energy Minister Dr. Prakash Sharan Mahat's dispute with his senior bureaucrats and other officials at the Ministry of Energy on the appointment of chairman in a project are a testimony of a bureaucracy at work.
Despite strong opposition from deputy prime minister Sujata Koirala, the Foreign Ministry finally signed an agreement for MRP with a French company and minister Dr. Mahat was himself compelled to write the dismissal to one of the appointees after the bureaucrats declined his order to issue dismissal. The disputes are now in Supreme Court.
Nepal's History of Bureaucracy
Nepal's bureaucracy entered the modern era after the revolution of 1951. It started functioning without any basic infrastructure and institutions required to run a modern bureaucracy. It had to wait for five years till 1956 to get recognition by law. Coping with all turmoil and changes, by now, Nepal's civil service, has established itself as an institution.
From the first interim period to the short era of multi-party democracy, then a rigid party-less panchayat to open multiparty democracy and from multiparty to present political system without any values, Nepal's Civil Service has made much progress.
The civil service has seen more time of trouble and instability than stability. Whoever may have come to power, they always tried to shake the very basic foundation in the name of reforms. This happened in all the processes of change: 1950, 1961, 1990, and 2006.
The Nepal Civil Service Act, passed in 1956, classified all civil employees of the government into two categories: gazetted service and non-gazetted service. Gazetted services included all services prescribed by the government by notification in the Nepal Raj Patra, the government gazette.
The bureaucracy is now categorized under several services, education, judicial, health, agricultural, medicine, account and miscellaneous services.
Reforms after Reforms
Started with good objective, Nepal's administrative reforms ended in shaking civil service all the time. Several decisions were made in the name of reforms to make it efficient and competent. In these entire shakups, what civil service lost was discipline, memory and sense of certainty.
Whenever the reforms were introduced, a couple of thousand employees got retirements. The exit of a large number of employees not only created a sense of instability among civil servants but also caused a loss to state's memory.
'The reform agenda was often introduced without understanding the value, culture and ethos of the country,' said former secretary Shreeman Shrestha, who was dismissed in the administrative reforms of 1996 and reinstated by the court later. 'What politicians have done is they have shaken the bureaucracy all the time.'
With all reforms, jolts and trouble, one of the miracles of Nepal's civil service, which has many lacunae and lapses, is that it survived all major political earthquakes and tsunamis.
Organic Apples Can Keep Poverty Away
UMESH LAMA
Jumla is one of the remotest and economically poorest mountain districts in west Nepal. But its climatic conditions are very rich for growing fruits like apple.
Nepal government introduced apples in Jumla in the 1970s. They were brought from the Himachal Pradesh of India.
There are now about 10 varieties being cultivated in the district: they are mostly from the Delicious Group; Red, Royal and Golden Delicious, which make around 70 per cent of the total plantation. Other major varieties found here are Jonathan and Macintosh types, which altogether contribute 10 per cent.
Jumla accounts for the largest apple production (5425 Mt/season) in Nepal followed by western mountain district of Mustang.
The climate of Jumla is considered highly favourable for deciduous fruits such as apple, walnut, pear and plum. Among these fruits, apple is the most important crop in terms of area coverage, production and household economy in the district. In 2007/08 apple was cultivated in around 348 hectares and the total production was estimated at 5,425 metric tonnes.
Thanks to urbanisation and income growth of urban population, apples are in great demand. The commercial demand for apples in Nepal is estimated to be more than 20,000 metric tons, taking stock of possible storage loss and other losses. Presently 90 per cent of the deficit demand for apple in the country is being met from imports, with China being the biggest import destination for apples in Nepal.
This means that there is a big prospect for earning money if Jumla produces premium quality apples by adopting organic principles to fetch a premium price in the market. Organic apples will ultimately benefit the Jumli farmers and the nation’s economy. For this, however, the present apple orchards should be managed better by improving harvesting and post harvesting practices. Improvements also need to be made in terms of appearance and colour of the apples.
Apples produced in Jumla at altitudes in the range of 2200 to 3000 meters are popular in the market. They are considered excellent for their juiciness and crunchiness, compared to currently available Chinese and Indian apples. Further, a little amount of acidic content along with its sweetness is considered an advantage among certain target consumers.
The main apple season at the retail level, in terms of quantity sold, is between the months of September to December. Jumla apples are available for limited number of months whereas apples from China and India are available throughout the year.
In 2008, Jumla was declared as an organic district by the government of Nepal. Further the apple farms of the district are certified by Organic Certification Nepal (OCN), a pioneering certifying body in the country and a member of an international network; the Certification Alliance. The market promotion of Jumla organic apples have been handled by an eco social private enterprise, Organic World and Fair Future (OWF).
In view of the significant and potential contribution of apples to the economy of Jumla, the First Five Year Plan introduced a slogan “Employment through Apple and Tourism.” This still applies.
Projected as a potential high value product, apples can provide the much needed income generating avenue for reducing poverty in pursuit of improving the living conditions of the poor people in this remote district.
The author of this article is the chairman of Organic World and Fair Future (OWF) Pvt Ltd and can be reached at; firstname.lastname@example.org
AGNI AIR CRASH
Another Probe
The five-member probe commission constituted to look into Agni Air plane crash seems to be just as another ritual
By A CORRESPONDENT
Less than 24 hours after the fatal air crash of Agni Air’s Dornier Aircraft, the Ministry of Tourism and Civil Aviation constituted an inquiry commission on it.
Unlike in the past, the ministry included no government attorney in the commission.
The five member probe committee was formed under the coordination of aviation expert Kumar Prasad Upadhyaya. The probe panel includes Suresh Acharya, Rajan Pokharel, Sarada Bhakta Rajbhandari and Rajendra Man Shakya as the members. The committee has been directed to submit its report within 65 days.
‘Any inquiry commission like this needs to have the presence of lawyers whose basic duty is to conduct the systematic investigation on such matters,’ said a senior government official at the Ministry of Law.
Agni Air’s Dornier Do 228-101 9N-AHE crashed after the crew decided to return and to divert to Simara Airport (VNSI) due to poor weather conditions in Kathmandu. The plane was returning from Lukla. Although the cause of the crash is in the process of investigation, news reports indicate that the airplane suffered a generator failure and ATC contact was lost around 7:30 am LT on August 24.
The crash site is located at a hillside near Bastipur (Shikharpur VDC, Narayani Zone of Makwanpur District), about 18km south-south-west of Kathmandu and at an altitude of 9,000 ft. The German made plane took its flight in 1984. The plane was in approaching phase at the time of crash.
The first air crash in Nepal took place on 7 May 1946 of a Douglas C-47A20 DK Dakota C.3 RAF in Simara Airport and there was no casualty. According to the data base of Air Safety Asia, there are 39 airplane crashes recorded for Nepal.
All of the 14 people traveling on a small Agni Air jet heading for Lukla, a popular trekking spot in eastern Nepal for Mt Everest, were killed on Tuesday when the plane crashed in bad weather near the capital. On board were a British man, a Japanese traveler and 4 Americans, as well as 8 Nepalis - 3 of which were crew.
ECONOMIC REFORM
Reform for Improvement
Former finance minister of Poland and professor of economics Grzegorz W. Kolodko holds the view that institutionalization is the key to reform
By A CORRESPONDENT
‘Results of economic and political reforms depend on how strong institutional mechanisms the country has. The reform is all about the institutional capabilities. Without institutional back up, the reform is impossible. One must understand the institutional capability of a particular country before deciding on reform,’ said former Polish deputy prime minister of finance professor Grzegorz W. Kolodko.
Organized by the World Bank in collaboration with the Public Administration Association of Nepal, Polish professor Kolodko highlighted the process of economic and political reforms in a talk program on systematic transformation in East Central Europe: Lessons for Developing Countries.
‘I found one major similarity between Nepal and England when I was walking in the street. Like on the roads of England, the cars are moving on the left and there was a presence of traffic as well as the road signs and signals. The reality in Nepal is that no one is following the traffic rules while in driving and people are crossing the road from here and there. Finally, traffic police, who is supposed to regulate the road, too is watching all these helplessly. This kind of a situation is impossible in England where one is subject to penalty in case of such acts,’ said professor Kolodko.
According to him, there is the need of institutional support to any reform and change. Like on the roads of Kathmandu, where the institution of traffic is too weak, the situation of traffic is not going to improve anytime soon. This also applies to political and economic reforms as well.
‘Privatization and liberalization are good in the country where institutional set ups are strong. Otherwise, these reforms will be counter productive,’ said professor Kolodko. ‘Despite several pressures from all fronts, we have decided not to go for amendment of Polish Constitution which was formulated during the power sharing with communists. We don’t want to open Pandora’s Box in the name of amendment,’ said professor Kolodko.
Introducing the former Polish Minister, Ms. Susan Goldmark, country director of the World Bank-Nepal, said Professor Grzegorz Kolodko is a person with vast experience. Similarly, general secretary of PAAN Krishna Gyawali highlighted the importance of talks by such a noted person.
President of PAAN Vidyadhar Mallik highlighted Nepal’s painful process of economic and political reforms under which, he said, Nepal is heading towards devastation.
MIREST-NEPAL
Needed Books
MIREST-Nepal launches a resource book on constitution making
By A COORESSPONDENT
Despite the fact that the constitution making process is virtually stalled due to differences among major political parties, a civil society organization, Media Initiative for Rights, Equity and Social Transformation (MIREST Nepal), is making efforts to support the process.
MIREST-Nepal organized several programs on constitution making and finally launched a resource book to help in the process. The book includes articles by experts.
Constituent Assembly Chairman Subash Chandra Nembang released the book titled ‘Political Accountability: Resource Book on Constitution Making Processes’ published by MIREST Nepal recently.
Chairman Nembang also released another book ‘Will of the People’ published by MIREST Nepal as a public submission to the Constituent Assembly on the same occasion. It has already submitted to the CA thematic committees, 10 public submissions in book format prior to this.
‘The party leaders, who had joined hands to fight regression, are not in the same line anymore. I do not understand why,’ Nembang said, addressing the book launching programme attended by invitees from diverse groups of Nepali society.
Nembang, however, said there was no alternative to unity among the parties for the sake of peace and new constitution. He elaborated the history of how the unending process of prime minister’s election, nowhere else exercised, had begun in Nepal during the succession of late Girija Prasad Koirala as prime minister.
He reiterated that, MIREST Nepal’s work will definitely help in galvanizing more efforts in the historic constitution making process in the extended period of the CA. He added that the CA failed to clarify before the people that its functions were not interrupted even when the parliament was disrupted for almost five months earlier. MIREST Nepal has tried to clarify the situation in the book.
Addressing the function, CA delegate Pari Thapa said there were conflicts of approach in the constitution-drafting procedures and principles.
Likewise, commenting on the newly released book, CA delegate Khim Lal Devkota emphasized that the book included details of constitution making process held inside the CA as well as outside at public.
Former Country Representative of UNFPA to Sri Lanka and peace expert Dr. Som Pudasaini stressed the need to address issues, including transitional justice, the root cause of conflict and the concerns of victims before finalizing the new constitution.
Similarly, Dr. Bipin Adhikari, a constitution expert, opined that the book released by MIREST-Nepal will play a vital role in providing some of the important information on constitution making process and efforts by Constituent Assembly over the past two years.
While addressing the function from the chair, Suresh Acharya, President of MIREST Nepal, shared his views that such a book on constitution making was the need of the hour not only to scrutinize the works of the CA but also for referral use in the future. He thanked the people who directly and indirectly helped in its publication in its current form. He also called upon the political forces and civil society to put all their efforts to end the deadlock in the prime ministerial election to re-embark upon constitution writing and peace building efforts.
Similarly, while commenting on ‘Will of the People’ released by MIREST Nepal on the issues of women to be addressed in the upcoming constitution, CA delegate and president of Women Caucus in the CA Usha Kala Rai stressed that it was now a high time to include some of the important clauses mentioned in the ‘Will of the People’.
CA delegate Dina Upadahya highlighted the national reach of MIREST Nepal as broadest and deepest in constitution making through communication outreach programmes. Journalist Babita Basnet, president of Sancharika Samuha, highlighted the importance of the book and its relevance in the context of constitution drafting process.
Long Term Relief From Your Aches And Aains With Osteopathy & Applied Kinesiology
DAVID WELLS
There are so many treatment methods available these days it’s difficult to know which one to choose. Many of the treatments available however, address only symptoms of pain or ill health instead of root causes; thus symptoms often recur sometime after treatment. For lasting results from treatment, an understanding of the cause through accurate diagnosis is critical.
One of the oldest systems of medicine in the world, Traditional Chinese Medicine (TCM), has been practiced for over 2000 years. The fundamental principle of TCM is balance in all things. In my approach to medicine: Osteopathy & Applied Kinesiology (AK), this idea of balance is more easily understood by using what is termed the ‘Health Triad’.
The three sides of the triangle represent Bio-Chemical, Structural and Emotional aspects of our health. In every illness or pain we experience, there is an element of all three sides of the triangle. The percentage of each aspect varies from one illness to another, but always all three are involved. Each has an influence on the other two, and is influenced by the other two. To elaborate a little, a nutritional deficiency (bio-chemical) may cause poor ligament tissue quality, resulting in a low back ache (structural), which in turn makes you a little worried or even depressed (emotional) because it’s been there for 6 months and won’t go away.
So what is the diagnosis in this case; depression, muscle strain, malnourishment? In fact the diagnosis is all of these things, and more. Consulting your doctor with vague symptoms such as back ache or worry, is all too often met with a medical name for your condition and a prescription for pain killers or referral for counseling. Neither of which is likely to solve the problem long term.
Humans have been on the earth in their present form for approximately 200,000 years. Only very recently however, has there been access to modern pharmaceutical medicines. We may conclude from this fact that if we have a healthy diet, we do not need drugs at all. There is much in nature that we do not understand, but what we do know because we are here, is that nature works exceptionally well, and we cannot do any better than to allow it to function properly. Physicians should therefore strive to restore normal function, in line with our evolution, rather than providing medicines that interfere with it.
Allopathic medicine tends to think of illness in terms of disease processes. Patients love to come away from the doctor with a name for their condition, because mentally it gives them something to hold on to. Sadly, that does very little towards changing the condition. A hacking cough and chest pain, and a diagnosis of bronchitis is not actually very helpful. It’s merely another word for the same thing. There are many reasons why we suffer from bronchitis, knowing the reason is key to resolving the condition. Prescribing anti-inflammatory drugs or anti-biotics is only beneficial if a clear diagnosis of bacterial infection has been made, but of course, often it is not made. Time allowed for consultation, plus financial constraints often dictate diagnosis and treatment without clinical tests.
But a diagnosis is not merely naming a set of symptoms and signs with a word that sounds medical, such as rhinitis (runny nose), tendonitis (tendon inflammation) or cephalgia (headache). Diagnosis is identifying an underlying cause.
With Osteopathy and AK, this approach is turned on its head. Rather than naming conditions, we identify where normal function is impaired and work to restore it. In treating the cause, we restore balance and normal bodily function and the bronchitis goes away naturally.
In 1948 the World Health Organization defined health in these terms:
‘Health is a state of complete physical, mental and social well-being and not merely the absence of disease or infirmity’
Einstein famously noted, ‘Not everything that can be counted counts, and not everything that counts can be counted’. A different approach to diagnosis and treatment, unconstrained by the desire to scientifically prove everything, often highlights problematic areas that can be improved by restoring normal function. If you experience pain, there must be a reason for it. Very often the reasons are far removed from the actual site of pain. They are frequently so obscure that the non-medically trained would not even consider the connections, and often the causes are not gross enough to be measured with standard medical equipment.
The AK diagnostic process looks at many factors that negatively influence our health, such as; infection, nutritional deficiencies, allergies, food intolerances and environmental toxicities. Osteopathy provides a highly specific physical treatment to deal with the structure. Emotional release techniques may be used also, thus allowing the practitioner to deal with all three sides of the Health Triad, for long lasting improvements. Treating only one side of the triad would be a symptom focused approach.
All aspects of a person’s lifestyle provide important clues to the causes of pain. With Osteopathy & AK we take time to examine a patient until the cause of pain is found. Only then is treatment given or recommendations made to correct it. Where medication is recommended, everything is tested against the individual for effectiveness and tolerance, thus eliminating the administration of remedies that don’t work. This is of course a huge benefit in places where drugs are sometimes in short supply.
The combination of Osteopathy & AK regularly produces good results when
ART
Bagmati On Oil & Water
Senior Artist Hari Prasad Sharma depicted historical and cultural life of Bagmati on his canvas
By A CORRESPONDENT
Were these paintings or pictures hung on the wall of Nepal Art Council Gallery? These unique works of art were narrating the history and culture of Bagmati.
Painted by artist Hari Prasad Sharma, the paintings on exhibit at Nepal Art Council showed a Bagmati which was replete with history and culture. Artist Sharma used water and oil medium to narrate his tale of history and culture of Kathmandu.
Divided under three sections history, lifestyle and culture, the paintings were testimony of the lifestyle of the Newar community as well as their culture and architecture. Organized by Arohan Gurukul and Nepal Heritage Association, there were 58 paintings displayed at the exhibition titled Kathmandu valley down the Ages.
Although artist Sharma is a Brahmin, he was born in a Newar locality where he grew up and lived.
'I am basically a Brahmin by caste but I grew up under the influence of Newari culture, festivals, values and attire,' said artist Sharma, who was born in Gophal role in Lagan.
Portraying different traditions and rituals, he captured the scenes and various elements appeared in the background. His paintings started from the era of Mandev to golden era of Nepalese history or period of Ansuverma and the other phases. His paintings of Prithivi Narayan Shah and Arniko receiving Tika were masterworks.
One needs to understand the history and culture to know about the country. As Nepal is in a political transition and there is apathy as well as controversy over the various phases of history, artist Sharma wanted to show how much heroes and builders of the history mattered and how culture and feasts united the people.
In the history sections, there were paintings and portrait of Licchavi Kings, Malla Kings and Shahs. The picture related to Prithivi Narayan Shah's attack on Kathmandu and paintings of Kot massacre exhibited the ups and downs of Nepal's history. Along with depicting the life of old kings, the paintings also showed the architectural beauty of the valley as well as cultural activities.
The cultural sections of the exhibitions were other important parts. He tried to portray all elements involved in the art and culture. At a time when the tradition to study history and culture is on the declining trend, artist Sharma's exhibition gave the message that the theme can be popularized. His painting exhibition lasted for 22 days but the interests of people continued to rise.
DISAPPEARANCE
Unknown Pain
The peace agreement of four years ago has yet to bring a sigh of relief for the families of the disappeared
By A CORRESPONDENT
Family members have been searching for Upendra Guragain, a resident of Parbat district, for the last five years. Where he is remains unknown. He was kidnapped by Maoists at midnight in November 2006.
Like Guragain, hundreds of others disappeared and their whereabouts are unknown. Some disappeared from the government’s custody while others disappeared from the Maoists’.
On the International Day of the Disappeared (30 August), the Office of the UN High Commissioner for Human Rights in Nepal (OHCHR-Nepal), urged the Government of Nepal to swiftly implement the landmark Supreme Court’s decision of June 2007 which has remained pending for more than three years. In June 2007, the Supreme Court ordered the Government to enact a law which would criminalize enforced disappearances in line with the International Convention for the Protection of all Persons from Enforced Disappearance; establish a high level commission of inquiry on disappearances in compliance with the international criteria on such commissions of inquiry; require investigations and prosecutions of persons responsible for disappearances; and provide for adequate compensation and relief to the victims and their families.
‘This Day reminds me those who, year after year, at home, wait to hear about the fate of their loved ones and continue to suffer until this relief comes,’ said Anthony Cardon, Officer-In Charge of OHCHR-Nepal. ‘Their rights as well as those of the disappeared are fully guaranteed by international human rights law and the respect and protection of these rights should be a priority in any society.’
Since 2005, the UN Human Rights Office in Nepal has closely witnessed the painful anguish and anger of conflict victims as well as the consequences for the society of the failure to set up transitional justice mechanisms. The Office continues to believe that clarifying the fate of the victims of enforced disappearances and other human rights and humanitarian law violations lie at the heart of the peace process.
Marking the International Day of the Disappeared, National Human Rights Commission Chairperson Kedarnath Upadhyay, through a press statement, urged the concerned parties of the past conflict to make the status of the disappeared public as soon as possible and help bring the culprits into the framework of justice.
Even so, there is little hope that the families of the disappeared may find out the truth about their beloved people.
SOUTH ASIAN MEET
Sexploitation Online
The Commercial Sexual Exploitation of Children [CSEC] online is a phenomenon which is occurring in all countries around the World and is rapidly growing in the South Asian countries.
Over 40 participants from Nepal, Bangladesh, Pakistan, and India representing civil society organizations, international agencies, the private sector and members of ministries of the government of Nepal have been meeting in Kathmandu to discuss the issue of exploitation of children online.
ECPAT International, a global child rights agency focused on combating the sexual exploitation of children, in association with the office of the controller of certification, Ministry of Science and Technology, Government of Nepal and with the support of ECPAT members groups: Maiti Nepal and Child member agencies and partners to ensure a multi-stakeholder approach to combat these online sexual crimes against children.
Ms. Carmen Madrian, the executive director of ECPAT international reminded the forum participants that the online world is a labyrinth through which to navigate and the compass, guidance and supports that young people receive to guide them on this journey are weak and inconsistent.
She indicated that “there is no one bullet solution to this problem and a range of different types of interventions by all concerned stakeholders, such as the government, NGOs and the private sector are needed. We all need to work together within a multi-stakeholder framework of protection for children.”
By Nitish Bhattarai
The question below is commonly asked in medical examinations for qualified doctors. So, perhaps it is unfair that I am bringing this topic up in a general, lay journal. But this is a pertinent health matter for the readers of the New Spotlight. The question is: Which one preventive intervention leads to the largest average increase in life expectancy in a target population:
a) A regular exercise programme?
b) Quitting smoking?
c) Mammogram (breast cancer prevention screening in women)?
d) Pap smear (cervical cancer prevention screening in women)?
e) Prostate gland cancer screening for men?
The answer is b) quitting smoking. For a targeted population, more than all the other choices listed above, quitting smoking will add 3 to 5 years. A regular exercise programme will add 1 to 2 years and the rest of the others will each add a couple of months. This question illustrates the importance of quitting smoking and exercising. Does this mean that c, d, and e options are not worth pursuing? Let me explain.
Predicted increases in life expectancy are average numbers that apply to populations and not individuals. For example, mammograms may increase life expectancy overall by only 2 to 3 months, but for the individual at risk of breast cancer (patients with a family history of breast cancer, smoking etc.), the screening may add many years by detecting the disease earlier. This same pattern holds true for cervical cancer and prostate cancer in the question above.
Importantly many of us do not know if we are at risk for common diseases because this may not be obvious like a family history. So, in carrying out recommended screening tests like the ones in the question above, it is important to assume that we are average Joes (Ram Bahadurs or Sita Maharinis if you wish) who may be at risk.
However even regarding options a and b above, one could argue, well, big deal, by exercising or quitting smoking I will add only a few years to my life! Is it worth the trouble of exercising? That line of thought is one way of looking at it. But a more useful angle would be that based on studies of epidemiological illnesses in South Asia, South Asians are probably more prone to cardiovascular illnesses than the western population. In fact (this may come as a surprise to many) some studies have shown that South Asians (rich or poor), are three times more prone to cardiovascular illnesses (heart attacks, for example) than their western counterparts! So indeed quitting smoking and exercising could be even more useful measures to take for us as these are important protective mechanisms for prevention of cardiovascular illnesses in this vulnerable population.
In a country like Nepal where day to day existence is so difficult for so many people, it may be hard to understand the concept of ‘wellness’ which the above medical question evokes. But this idea of wellness is in our interests because prevention is better than cure. And crucially cure is more expensive, and most of us have absolutely no health insurance whatsoever; and certainly most Nepalis don’t have the kind of money that is required for the optimal treatment of cardiovascular illnesses or malignancies.
सुपर प्रिमियम बचत खाता
आफ्नो अपेक्षाअनुरूपको आकर्षक प्रतिफल प्राप्त गर्नुहोस्
खाताका विशेषताहरु
• वार्षिक व्याजदर : ७.०%
• न्यूनतम मोजबाट : र. १००,०००/-
• जरि पनि रकम राख्न वा फिजल मिल्ने
• तथा बैंकिङ सेवा शुरुकमा ५%** हुँद
• र. १००,०००/- सम्मको दुवटेमा मुल्य बिमा
• निशुल्क एस.एम.एस. बैंकिङ
• निशुल्क कूनैभन्दा शाखावाट बैंकिङ सुविधा
• निशुल्क इन्टरनेट बैंकिङ
• विशेष काउंटरबाट सरल तथा छिटो बैंकिङ सेवा
* सर्वत्र लागू हुनेछन्
** लिक, फाइड ट्रासफर, टी.सी., ड्राफ्ट, स्टेटमेन्ट, चेक्स्क्यु, कर्जा सेवा शुरुक र अन्य सेवाहरु
हिमालयन बैंक लिमिटेड
(A Joint Venture with Habib Bank Limited - Pakistan)
The Power to Lead
Corporate Office and Thamel Branch
Thamel, Phone No: 4250201, Fax: 977-1-4222800
E-mail: email@example.com
Website: www.himalayanbank.com
विश्वास जानकारीका साथी हालो राख्नका लागि सम्पर्क गर्नुहोस्
सुरक्षित उडानको लागि सदा संवेदनशील
उडान सम्बन्धी विस्तृत जानकारीको लागि कृपया आफ्नो ट्राभल एजेंट वा हामीलाई सम्पर्क राख्नहोला।
अन्तराष्ट्रिय विक्री (काठमाडौँ)
- रिजर्वेशन: 824629, 824678
8248054
- सेल्स: 824606, 824678
- एयरपोर्ट: 8993099, 8993299
आन्तरिक विक्री (काठमाडौँ)
- रिजर्वेशन: 8228819
- टुरिस्ट सेल्स: 8229733
- एयरपोर्ट: 8849066
Website: http://nepalairlines.com.np
email: firstname.lastname@example.org
Telephone: 4220757
Fax: 4225348
Toll Free: 16600110787
|
Return to the Cumaca cave, Trinidad, W.I
Aldemaro Romero Jr.
CUNY Bernard M Baruch College
Anuradha Singh
Annabelle McKie
Michael Manna
Ruth Baker
See next page for additional authors
How does access to this work benefit you? Let us know!
More information about this work at: https://academicworks.cuny.edu/bb_pubs/453
Discover additional works at: https://academicworks.cuny.edu
This work is made publicly available by the City University of New York (CUNY).
Contact: email@example.com
Authors
Aldemaro Romero Jr., Anuradha Singh, Annabelle McKie, Michael Manna, Ruth Baker, and Kelly M. Paulson
This article is available at CUNY Academic Works: https://academicworks.cuny.edu/bb_pubs/453
Return to the Cumaca cave, Trinidad, W.I.
by Aldemaro Romero 1, Anuradha Singh 2, Annabelle McKie 3, Michael Manna 3, Ruth Baker 1 and Kelly M. Paulson 1
In the October 2000 issue of the NSS News, the senior author and Joel Creswell reported the intriguing finding of an eyed, pigmented cave fish population that everyone thought to be blind and depigmented (the "eyeless" cave fish from Trinidad, W.I., Rhamdia quelen). Our visit to that cave in January of 2000 revealed not only that the alleged blind cave fish was not blind but also extremely photophobic (and difficult to catch them using flashlights). If those preliminary observations were to be confirmed, then we had witnessed a phenomenon never before reported: an eyed, pigmented fish population replacing its blind, cave derivative. The question was, was it true?
The 2001 Expedition
On March of this year we headed back to the Cumaca cave. Also known as the Oropouche or Urumaca cave, this is a relatively short (about 180 meters) horizontal cave. Beyond helmets and flashlights, no special speleological gear was needed. However, for observing the fish, we did need special equipment. Given that our preliminary observations had indicated the fish to be extremely photophobic, this time we went there outfitted with night-vision goggles and video cameras with infrared capabilities. In case the fish were sensitive to even infrared illumination, we also brought a fish echosounder. That device would allow us to register any fish movement even without the use of any illumination.
After obtaining the appropriate collecting permits with the Trinidad and Tobago Wildlife Section of the Forestry Division and from the cave's owner, we headed back for a couple of visits to the cave, this second time accompanied by professional fish collectors. The fish were not only photophobic but also extremely sensitive to any vibration in the water. For example, we could stand still for several minutes with our feet in the water, using our night vision goggles, and yet the fish would never come closer than one meter from us.
What we wanted were two things: a) to videotape as many fish as possible in their natural conditions (the waters are shallow and very clear) and, b) take a few individuals out of the cave to photograph, measure, and study them under experimental conditions. We wanted to see whether or not the fish population in the cave was similar to the surface one, if it was composed of troglomorphic (blind, depigmented) individuals, or if it was a mixture of both.
The latter possibility had to be taken into consideration. The senior author of this article reported in 1983 that the La Cueva Chica population of the Mexican blind cave tetra, Astyanax fasciatus, was no longer totally blind and depigmented, but actually the result of a hybridization that took place some time in the early 1940s. As a consequence of that, by the early 1980s the entire population was composed of individuals with intermediate eyes and pigmentation between the typical blind and eyed populations.
We chose to visit the cave in March because that is the height of the dry season; the fish would be easier to locate, observe, and capture using dip and seine nets.
Lab Studies
After spending several hours in the cave observing and videotaping the fish, as well as the noisy cilibirds (Steatornis caripensis), we were able to capture a total of 11 Rhamdia. We had to rush them to the laboratory that the Department of Biology of the University of the West Indies, at St. Augustine, had made available to us. The idea was to keep the fish alive for experimental studies regarding responses to light. We also wanted to photograph each one of them and take all the appropriate body ("meristic," to biologists) measurements. Even if the fish were eyed and pigmented in appearance, chances were that they may not be identical to the surface population. Also, some minute details may have been overlooked on direct observation in the cave as, for example, the exact diameter of the eye orbit or the number and/or kind of melanophores (pigment cells) in their skin.
After carrying out all of our observations, including some photographs taken with a powerful dissecting microscope at our lab in Macalester College in St. Paul, MN, we were surprised to see that the current cave population is essentially identical to the surface one: no discernable eye or pigment reduction. Not only that, but the average size of the individuals of the current population was much greater than that of the one reported for individuals previously collected there since the 1920s when the "eyeless" cave fish of Trinidad was first reported by the British ichthyologist John Norman.
What happened? In a paper (to be published in a scientific journal) we speculate on several possibilities. First of all, we have been able to examine the original blind specimens collected in the 1920s and could confirm that they were blind and depigmented. We also examined other specimens collected between the 1950s and the 1980s. Among these we found numerous specimens that seem to represent variations in their level of troglomorphism: some had no externally visible eyes, others had faint eyes, and others had well-developed (externally visible) eyes. The same degree of variation could be observed regarding pigmentation. However, as we progressed in time, the cave fish look more and more similar to the surface ones.
Unlike the Mexican blind cave tetra of La Cueva Chica, the current cave population of Rhamdia does not appear intermediate, but rather identical to the surface one. It seems that even if at some point there was some hybridization going on (particularly between the 1950's and 1980's) the surface fish have continued to invade the cave and out-compete the blind forms. After all, the eyed ones are much larger and appear to be much more aggressive than the blind ones.
Something similar has been observed by our Mexican colleague Luis Espinasa in a
Frontal view of one of the cave specimens of Rhamdia quelen collected in the 1970s. It shows a high degree of eyelessness and pigmentation.
epigean *Rhamdia* is of nocturnal habits, with rather large, sensitive eyes, is very aggressive and of larger size, it is not difficult to see how it out-competed the blind form.
**Some Answers But More Questions**
In principle, our observations are exciting. We may have documented the first case of a blind cave fish population being replaced by its epigean ancestor. Now the questions are: how did the surface fish penetrate the cave, and why? Will this new population ever evolve into a troglomorphic one?
Obviously the answers to these questions can only be obtained after long-term studies. Together with our Trinidadian colleagues at the University of the West Indies, William Polly and some of us are using mark-recapture techniques to understand the movements of the fish in and out the cave. We are also investigating climatological and geological data to see what may have caused the invasion of the Cumaca cave by the surface fish. We will also continue to observe the surviving fish to better understand their behavior.
At the end, these changes are intriguing and extremely interesting. We biologists love to see evolution in action and it seems that the cave population of the "eyeless" (?) cave fish of Trinidad keeps changing before our own eyes.
**Acknowledgments**
Field work for this research was supported by a Wallace Research Grant to A. Romero and by NSS grants to A. McKie and William Polly and another one to M. Manna. Mr. Gary Aboud gave us permission to visit the Cumaca cave. We thank the personnel at the Biology Department of the University of the West Indies (St. Augustine) for logistical support. The following people provided with field assistance in Trinidad: Simeon Alllick, Pooran Badal, Eurice Hill Floyd Lucas, David Persaud and Carol Ramjohn.
**Some References**
Darlington, J. P. E. C. 1995. A review of current knowledge about the Oropouche or Cumaca cave, Trinidad, West Indies. *Studies in Speleology* 1995:65-74.
Kaufman, K. (Ed.) 1979. Cave of Trinidad issue. *Bloomington Indiana Crotto Newsletter* 14:18-39, Febr. 1979, Reprinted in *SpeleoDigest* 1979, 196-203.
Norman, J.R. 1926. A new blind catfish from Trinidad, with a list of the blind cave-fishes. *Ann. Mag. Nat. Hist.* 18: 324-331.
Romero, A. 1983. Introgessive hybridization in a population of *Astyanax fasciatus* (Peters: Characidae) at La Cueva Chica. *NSS Bull.* 45:81-85.
Romero, A. & J. E. Creswell. 2000. In search of the elusive 'eyeless' cave fish Trinidad, W.I. *NSS News* 58: 282-283.
if I knew some of the UT cavers such as Bill Russell, James Reddell, and Dick Smith. I replied that while I knew most of the active cavers I had not yet come face-to-face with Dick. Fred looked thoughtful for a moment, smiled, and said, “That guy’s got a mind like a steel trap! He is the one behind that UT group. You have a real treat in store for you!”
Fred was right all three times.
We cannot overstate the loss of a gentleman, a brilliant intellectual mind, a sharp wit, a great caver and, above all, an exceptional friend in the fullest sense of that term.
We are diminished.
Carl Kunath (former NSS 6230F)
Gerald Atkinson (NSS 2236S)
James Reddell (NSS 4897F)
DID YOU KNOW…?
The NSS awards “Young Investigator” grants to NSS members under the age of 22 to assist in speleological research. Contact the Research Advisory Committee Chair Aldemaro Romero, firstname.lastname@example.org, for more information.
CORRECTION
In Aldemaro Romero’s article on the fish of Cumaca Cave, Trinidad (August NSS News, pages 220-221), please note that the captions on the two fish images were mistakenly switched.
John Keough & Peter Grant
NEWS AND NOTES
XEROX NEVER-TEAR PAPER
There’s a new water-resistant paper product that should be of interest to cavers. It’s very hard to tear and feels plastic to the touch, like the tyvek paper they wrap houses with during construction. We use a local copy store to make copies onto the paper, and the laser printer’s ink doesn’t run or smear when it gets wet. It is a special plastic that doesn’t melt with the heat of a laser copier. This product is great for rescues, cave registers, maps, and even outdoor signs.
If you have any questions contact either Peter Grant at (802)453-2278 or email@example.com or John Keough, firstname.lastname@example.org or (802)672-2003. Peter discovered and purchased this paper for the Vermont Cave Association (Xerox Never-Tear Paper, Re-order No. 3R3118).
Just recently Peter purchased Latitude 26 Inc. Waterproof Inkjet Paper that allows you to use your inkjet to print on the paper and it instantly becomes waterproof. It will melt in an laser printer or copier, so don’t ruin someone’s machine that way. We have yet to use this paper and see how it holds up over time in cave. It’s available at Eastern Mountain Sports for $133.00 per 100 sheets or $20.00 for 15 sheets.
FRANK HOWARTH HONORED
Internationally renowned entomologist Frank Howarth (NSS #6344) was recently appointed the L.A. Bishop Distinguished Chair of Zoology at the Bishop Museum in Honolulu. The appointment is the highest honor given to a Bishop museum zoologist.
Frank is one of the world’s leading experts on cave and especially, lava tube inhabiting organisms and is a premier authority on Hawaiian natural history. He has published over 100 scientific papers and books including the popular Hawaiian Insects and their Kin, co-authored with nature photographer William P. Mull. The book includes photos and descriptions of cave-dwelling insects studied by Frank.
Nicholas Sullivan, who submitted the information about Frank, notes that Frank and fellow Hawaiian caver Fred Stone have assisted him for 25 years in studies of the caves of Chillagoe, Australia. They’ve mapped over 500 caves, described over 20 species of troglobites (including two new genera) and 50+ other species of cave-inhabiting organisms. Over 30 scientific papers have resulted.
Brother Nicholas describes Frank as an “indefatigable worker” after working with him on some 20 expeditions.
Congratulations, Frank!
CLASSIFIED ADS
WANTED: Old electric trains, toy trains. Any age, any condition. Will trade caving gear or cash. Bob Liebman, P.O. Box 441, Lewesburg, WV 24901 (304)772-5049.
Mature cave explorer seeks chance to explore caves and tunnels connected with inner earth stories and Indian legends or possibly leading to underground rivers. Also interested in exploring caves and tunnels believed to be connected to the Confederate underground groups and to the Golden Circle. I will tackle booby traps connected with them. Single, clean record, can travel. Steve Tappan, Box 1017, Ruidoso, NM 88355
What has 528 pages of 350 articles from 238 authors covering 31 states and 10 countries from 101 NSS Publications? The 2000 Speleo Digest is available www.caves.org/speleodigest/e-mail email@example.com, (256) 852-1300.
USGS TOPO MAPS-$3.75 each. Shipping $3.00, free on orders above $100. Gregg Clemmer, 14513 Brookmead Drive, Germantown, MD 20874 firstname.lastname@example.org
Caver Bluegrass Fiddler?? Check out our new Bluegrass Music CD at: www.highgroundbluegrass.com and send $14 to Jeff Foster tel 505-842-6631 614 Ridge Place NE, Albuquerque, NM 87106. Thanks!!
Tactical/survival vests and packs by Eagle, Adventure Medical Kits, Sure Fire Flashlights, survival tool kits, quality working blades by Cold Steel, Spyderco, Benchmade and Spec Plus, VISA/MC Price list: 229-942-2253 e-mail: email@example.com
WANTED: OSH/KOSH & N-LPA Cariddle Cap Lamps. Minimum ARTIFACTS SHOW to be held October 19-20 in Pittsburgh, PA. I will have on display some of the “rarest” cariddle cap lamps known. See my website at: www.angelfire.com/va/clicker NEW MINING ARTIFACTS AND HISTORY CHAT SITE (The New Lamp Tramps) is looking for members. To subscribe: mail: lamptramps@firstname.lastname@example.org with your name and email address. For information on any of the above contact: Larry Click at email@example.com or call 1-703-241-3748 anytime.
Patch Collectors: The NSS has produced a patch commemorating the NSS’ 60th Anniversary. A limited number of patches and is being sold for $5.00 each plus $1.00 (S/H). firstname.lastname@example.org, www.savves.org, 256-852-1300.
West Virginia Cave Books
www.pipeline.com/~caverbob/wvass
B&C WUNDERWEAR HAS 20 DIFFERENT SIZES OF WUNDERFALLS, notswonderalls, and the Simple Suit in stock, or can custom make them to your size and shape. We also have Wunderwear for women and children too. We specialize in suits that move with you, with built-in gussets, underarm, and in the crotch. In addition, we have many other Wonderful products. Call or write B&C Wunderwear. 2368 Antioch Pike, Antioch, TN 37013. Call (615) 315-9777 for more information.
Be prepared for convention! get discount camping gear at www.CampsiteOutfitter.com order online hassel free
Two weeks of caving in Guatemala: fine river caves, Mayan ruins, whitewater trip and an active volcanico climb. April-May 2002. Interested? Contact Ric Finch NSS5560RL, 299 Allen Hollow Rd., Cookeville, TN 38501 email@example.com (931) 526-1380
EBAY CLASSIFIEDS Search under both “cave” and “caves.” Many old cave books, newspaper and magazine articles, postcards, stereo views, pamphlets, etc. firstname.lastname@example.org
RATES: 40 cents per word, with a 10% discount for prepaid ads running three months or longer. A 40-cent charge counts as one word each. PO. Box #, street address, city, state & zip code, phone #, e-mail address, web address. Payment must precede publication. One copy can be emailed to email@example.com to reserve space. Copy should be received six weeks prior to publication date (e.g., by May 15 for June issue). Make checks payable to the National Speleological Society and send along with ad hardcopy to: NSS News, P.O. Box 879, Angels Camp, CA 95222.
|
1. Action:
- Accept as requested
- Change to Existing Practice
- Accept as modified below
- Status Quo
- Decline
2. TYPE OF MAINTENANCE
Per Request:
- Initiation
- Modification
- Interpretation
- Withdrawal
- Principle
- Definition
- Business Practice Standard
- Document
- Data Element
- Code Value
- X12 Implementation Guide
- Business Process Documentation
Per Recommendation:
- Initiation
- Modification
- Interpretation
- Withdrawal
- Principle
- Definition
- Business Practice Standard
- Document
- Data Element
- Code Value
- X12 Implementation Guide
- Business Process Documentation
3. RECOMMENDATION
SUMMARY:
Accept as requested the current Business Practice Standards and Communication Protocols for Open Access Same-Time Information System (OASIS) adopted in FERC Orders 605, 638 and 889.
STANDARDS LANGUAGE:
Section 2 Standard Terminology for Transmission and Ancillary Services
Section 2.1 Attribute Values Defining the Period of Service
The data templates of the Phase IA Standards & Communication Protocols (S&CP) Document have been developed with the use of standard service attributes in mind. What the Phase IA S&CP Document does not offer are specific definitions for each attribute value. This section offers standards for these service attribute definitions to be used in conjunction with the Phase IA data templates.
Fixed services are associated with transmission services whose periods align with calendar periods such as a day, week, or month. Sliding services are fixed in duration, such as a week or month, but the start and stop time may slide. For example, a Sliding week could start on Tuesday and end on the following Monday. Extended allows for services in which the start time may slide and also the duration may be longer than a standard length. For example, an Extended week of service could be nine consecutive days. Various transmission service offerings using these terms are defined in Standards 2.1.1 through 2.1.14 below. Next_Increment indicates the next available full Service_Increment, such as the next hour, next day, or next week. Next_Increment is added at this time to address Next Hour Market Service, but may be used in the future to denote other products.
Table 1-1 identifies the standard terminology in OASIS Phase IA for the attributes SERVICE_INCREMENT (Hourly, Daily, Weekly, Monthly, and Yearly) and TS_WINDOW (Fixed, Sliding, Extended, and Next_Increment). Values shown in Table 1-1 as N/A (Not Applicable) are not sufficiently common in the market to require standards.
Next Hour Market Service, a new pro forma service, is denoted as having a Service Increment of Hourly and a TS_WINDOW of Next_Increment.
**Table 1-1**
**Standard Service Period Attribute Values in Phase IA**
| | Fixed | Sliding | Extended | Next_Increment |
|----------------|-------|---------|----------|----------------|
| Hourly | X | N/A | N/A | X |
| Daily | X | X | X | N/A |
| Weekly | X | X | X | N/A |
| Monthly | X | X | X | N/A |
| Yearly | X | X | X | N/A |
1 Included in the Phase IA S&CP Data Dictionary, Version 1.3, issued September 29, 1998.
2 Next Hour Market Service is identified by Service Increment = Hourly and TS_WINDOW = Next_Increment
The existence of an attribute value in this table does not imply the services must be offered by a Transmission Provider. Requirements as to which services must be offered are defined by regulation and tariffs. Likewise, absence of a service period value in Table 1-1 does not restrict a Transmission Provider from offering a service. The intent of the table is to establish common terminology associated with standard products.
Each service period value assumes a single time zone specified by the Transmission Provider. It is recognized that daylight time switches must be accommodated in practice, but they have been omitted here for the purpose of simplicity.
**Standard 2.1:** A Transmission Provider shall use the values and definitions below for the service period attributes, SERVICE_INCREMENT AND TS_WINDOW for all transmission services offered on OASIS, or shall post alternative service period values and associated definitions on the OASIS Home Page at http://www.tsin.com, or shall use existing
attribute values and definitions posted by other Transmission Providers. (See Section 3 for registration requirements.)
**Standard 2.1.1: FIXED HOURLY** - The service starts at the beginning of a clock hour and stops at the end of a clock hour.
**Standard 2.1.2: FIXED DAILY** - The service starts at 00:00 and stops at 24:00 of the same calendar date (same as 00:00 of the next consecutive calendar date).
**Standard 2.1.3: FIXED WEEKLY** - The service starts at 00:00 on Monday and stops at 24:00 of the following Sunday (same as 00:00 of the following Monday).
**Standard 2.1.4: FIXED MONTHLY** - The service starts at 00:00 on the first date of a calendar month and stops at 24:00 on the last date of the same calendar month (same as 00:00 of the first date of the next consecutive month).
**Standard 2.1.5: FIXED YEARLY** - The service starts at 00:00 on the first date of a calendar year and ends at 24:00 on the last date of the same calendar year (same as 00:00 of the first date of the next consecutive year).
**Standard 2.1.6: SLIDING DAILY** - The service starts at the beginning of any hour of the day and stops exactly 24 hours later at the same time on the next day.
**Standard 2.1.7: SLIDING WEEKLY** - The service starts at 00:00 of any date and stops exactly 168 hours later at 00:00 on the same day of the next week.
**Standard 2.1.8: SLIDING MONTHLY** - The service starts at 00:00 of any date and stops at 00:00 on the same date of the next month (28-31 days later). If there is no corresponding date in the following month, the service stops at 24:00 on the last day of the next month.
For example: SLIDING MONTHLY starting at 00:00 on January 30 would stop at 24:00 on February 28 (same as 00:00 March 1).
**Standard 2.1.9: SLIDING YEARLY** - The service starts at 00:00 of any date and stops at 00:00 on the same date of the following year. If there is no corresponding date in the following year, the service stops at 24:00 on the last day of the same month in the following year.
For example SLIDING YEARLY service starting on February 29 would stop on February 28 of the following year.
**Standard 2.1.10: EXTENDED DAILY** - The service starts at any hour of a day and stops more than 24 hours later and less than 168 hours later.
**Standard 2.1.11: EXTENDED WEEKLY** - The service starts at 00:00 of any date and stops at 00:00 more than one week later, but less than four weeks later.
Standard 2.1.12: EXTENDED MONTHLY - The service starts at 00:00 of any date and stops at 00:00 more than one month later, but less than twelve months later.
Standard 2.1.13: EXTENDED YEARLY - The service starts at 00:00 of any date and stops at 00:00 more than one year later, but must be requested in increments of full years.
Standard 2.1.14: NEXT_INCREMENT HOURLY – The service starts at the beginning of the next clock hour and stops at the end of that clock hour.
Section 2.2 Attribute Values Defining Service Class
Standard 2.2: A Transmission Provider shall use the values and definitions below to describe the service class, TS_CLASS, for transmission services offered on OASIS, or shall post alternative TS_CLASS attribute values and associated definitions on the OASIS Home Page at http://www.tsin.com, or shall use the attribute values and definitions posted by other Transmission Providers. (See Section 3 for registration requirements.)
Standard 2.2.1: FIRM - Transmission service that always has priority over NONFIRM transmission service and includes Native Load Customers, Network Customers, and any transmission service not classified as non-firm in accordance with the definitions in the pro forma tariff.
Standard 2.2.2: NON-FIRM - Transmission service that is reserved and/or scheduled on an as-available basis and is subject to curtailment or interruption at a lesser priority compared to FIRM transmission service, including Native Load Customers and Network Customers, in accordance with the definitions in the pro forma tariff.
Section 2.3 Attribute Values Defining Service Types
Standard 2.3: A Transmission Provider shall use the values and definitions below to describe the service type, TS_TYPE, for transmission services offered on OASIS, or shall post alternative attribute values and associated definitions on the OASIS Home Page at http://www.tsin.com, or shall use the attribute values and definitions posted by other Transmission Providers. (See Section 3 for registration requirements.)
Standard 2.3.1: POINT-TO-POINT (PTP) - Transmission service that is reserved and/or scheduled between specified POINTS OF RECEIPT and DELIVERY pursuant to Part II of the pro forma tariff and in accordance with the definitions in the pro forma tariff.
Standard 2.3.2: NETWORK - Network Integration Transmission Service that is provided to serve a Network Customer load pursuant to Part III of the pro forma tariff and in accordance with the definitions in the pro forma tariff.
Section 2.4 Curtailment Priorities
Standard 2.4: A Transmission Provider that has adopted NERC TLR Procedures shall use the curtailment priority definitions contained in NERC TLR Procedures for NERC CURTAILMENT PRIORITY (1-7) for all transmission services offered on OASIS. A Transmission Provider that has adopted alternative curtailment procedures shall post its alternative attribute values and associated definitions on the OASIS Home Page at http://www.tsin.com, or shall use attribute values and definitions posted by another Transmission Provider. (See Section 3 for registration requirements.)
Section 2.5 Other Service Attribute Values
The Commission has defined six ancillary services in Order No. 888. Other services may be offered pursuant to filed tariffs.
Standard 2.5: A Transmission Provider shall use the definitions below to describe the AS_TYPEs offered on OASIS, or shall post alternative attribute values and associated definitions on the OASIS Home Page at http://www.tsin.com, or shall use attribute values and definitions posted by another Transmission Provider. (See Section 3 for registration requirements.)
FERC Ancillary Services Definitions
Standard 2.5.1: SCHEDULING, SYSTEM CONTROL AND DISPATCH SERVICE (SC) - is necessary to the provision of basic transmission service within every control area. This service can be provided only by the operator of the control area in which the transmission facilities used are located. This is because the service is to schedule the movement of power through, out of, within, or into the control area. This service also includes the dispatch of generating resources to maintain generation/load balance and maintain security during the transaction and in accordance with section 3.1 (and Schedule 1) of the pro forma tariff.
Standard 2.5.2: REACTIVE SUPPLY AND VOLTAGE CONTROL FROM GENERATION SOURCES SERVICE (RV) - is the provision of reactive power and voltage control by generating facilities under the control of the control area operator. This service is necessary to the provision of basic transmission service within every control area and in accordance with section 3.2 (and Schedule 2) of the pro forma tariff.
Standard 2.5.3: REGULATION AND FREQUENCY RESPONSE SERVICE (RF) - is provided for transmission within or into the transmission provider's control area to serve load in the area. Customers may be able to satisfy the regulation service obligation by providing generation with automatic generation control capabilities to the control area in which the load resides and in accordance with section 3.3 (and Schedule 3) of the pro forma tariff.
Standard 2.5.4: ENERGY IMBALANCE SERVICE (I) - is the service for transmission within and into the transmission provider's control area to serve load in the
area. Energy imbalance represents the deviation between the scheduled and actual delivery of energy to a load in the local control area over a single hour and in accordance with section 3.4 (and Schedule 4) of the pro forma tariff.
**Standard 2.5.5:** OPERATING RESERVE - SPINNING RESERVE SERVICE (SP) - is provided by generating units that are on-line and loaded at less than maximum output. They are available to serve load immediately in an unexpected contingency, such as an unplanned outage of a generating unit and in accordance with section 3.5 (and Schedule 5) of the pro forma tariff.
**Standard 2.5.6:** OPERATING RESERVE - SUPPLEMENTAL RESERVE SERVICE (SU) - is generating capacity that can be used to respond to contingency situations. Supplemental reserve, is not available instantaneously, but rather within a short period (usually ten minutes). It is provided by generating units that are on-line but unloaded, by quick-start generation, and by customer interrupted load and in accordance with section 3.6 (and Schedule 6) of the pro forma tariff.
**Other Service Definitions**
Other services may be offered to Transmission Customers through Commission-approved revisions to their individual open access tariffs. Examples of other services that may be offered include the Interconnected Operations Services described below in Standards 2.5.7, 2.5.8, and 2.5.9. Ancillary service definitions may be offered pursuant to an individual transmission provider's specific tariff filings.
**Standard 2.5.7:** DYNAMIC TRANSFER (DT) - is the provision of the real-time monitoring, telemetering, computer software, hardware, communications, engineering, and administration required to electronically move all or a portion of the real energy services associated with a generator or load out of its Host Control Area into a different Electronic Control Area.
**Standard 2.5.8:** REAL POWER TRANSMISSION LOSSES (TL) - is the provision of capacity and energy to replace energy losses associated with transmission service on the Transmission Provider's system.
**Standard 2.5.9:** SYSTEM BLACK START CAPABILITY (BS) - is the provision of generating equipment that, following a system blackout, is able to start without an outside electrical supply. Furthermore, BLACK START CAPABILITY is capable of being synchronized to the transmission system such that it can provide a startup supply source for other system capacity that can then be likewise synchronized to the transmission system to supply load as part of a process of re-energizing the transmission system.
**Standard 2.6:** A Transmission Provider shall use the definitions below to describe the scheduling period leading up to the start time of a transaction:
**Standard 2.6.1:** SAME-DAY is after 2 p.m. of the preceding day and
Standard 2.6.2: NEXT-HOUR is one hour or less prior to the service start time.
Section 3 OASIS Registration Procedures
Section 3.1 Entity Registration
Operation of OASIS requires unambiguous identification of parties.
Standard 3.1: All entities or persons using OASIS shall register the identity of their organization (including DUNS number) or person at the OASIS Home Page at http://www.tsin.com. Registration identification shall include the parent entity (if any) of the registrant. Registration shall be a prerequisite to OASIS usage and renewed annually and whenever changes in identification occur and thereafter. An entity or person not complying with this requirement may be denied access by a transmission provider to that transmission provider’s OASIS node.
The registration requirement applies to any entity logging onto OASIS for the purpose of using or updating information, including Transmission Providers, Transmission Customers, Observers, Control Areas, Security Coordinators, and Independent System Operators.
Section 3.2 Process to Register Non-Standard Service Attribute Values
Section 2 of the OASIS business practice standards addresses the use of standard terminology in defining services on OASIS. These standard definitions for service attribute values will be posted publicly on the OASIS Home Page at http://www.tsin.com and may be used by all Transmission Providers to offer transmission and ancillary services on OASIS. If the Transmission Provider determines that the standard definitions are not applicable, the Transmission Provider may register new attribute values and definitions on the OASIS Home Page. Any Transmission Provider may use the attribute values and definitions posted by another Transmission Provider.
Standard 3.2: Providers of transmission and ancillary services shall use only attribute values and definitions that have been registered on the OASIS Home Page at http://www.tsin.com for all transmission and ancillary services offered on their OASIS.
Standard 3.3: Providers of transmission and ancillary services shall endeavor to use on their OASIS nodes attribute values and definitions that have been posted by other Transmission Providers on the OASIS Home Page at http://www.tsin.com whenever possible.
Section 3.3 Registration of Points of Receipt and Delivery
In order to improve coordination of path naming and to enhance the identification of commercially available connection points between Transmission Providers and regions, the business practice for Phase IA OASIS requires that:
I. Transmission Providers register at the OASIS Home Page at http://www.tsin.com, all service points (Points of Receipt and Delivery) for which transmission service is available over the OASIS.
II. Each Transmission Provider would then indicate on its OASIS node, for each Path posted on its OASIS node, the Points of Receipt and Delivery to which each Path is connected.
A Transmission Provider is not required to register specific generating stations as Points of Receipt, unless they were available as service points for the purposes of reserving transmission service on OASIS. The requirement also does not include registration of regional flowgates, unless they are service points for the purposes of reserving transmission on OASIS.
**Standard 3.4:** A Transmission Provider shall register and thereafter maintain on the OASIS Home Page at http://www.tsin.com all Points of Receipt and Delivery to and from which a Transmission Customer may reserve and schedule transmission service.
**Standard 3.5:** For each reservable Path posted on their OASIS nodes, Transmission Providers shall indicate the available Point(s) of Receipt and Delivery for that Path. These Points of Receipt and Delivery shall be from the list registered on the OASIS Home Page at http://www.tsin.com.
**Standard 3.6:** When two or more Transmission Providers share common Points of Receipt or Delivery, or when a Path connects Points of Receipt and Delivery in neighboring systems, the Transmission Providers owning and/or operating those facilities shall apply consistent names for those connecting paths or common paths on the OASIS.
**Section 4 On-line Negotiation and Confirmation Process**
**Section 4.1 On-line Price Negotiation in Short-term Markets**
**Standard 4.1:** Consistent with FERC policy and regulations, all reservations and price negotiations shall be conducted on OASIS.
**Standard 4.2:** Reserved
**Standard 4.3:** Reserved
**Section 4.2 Phase IA Negotiation Process State Transition Diagram**
The Phase IA S&CP Document provides a process state diagram to define the Customer and Transmission Provider interactions for negotiating transmission service. This
diagram defines allowable steps in the reservation request, negotiation, approval and confirmation.
**Standard 4.4:** The state diagram appearing in Exhibit 4-1 in Section 22.214.171.124 of the Version 1.3 of the S&CP Document constitutes a recommended business practice in OASIS Phase IA.
**Standard 4.5:** The definitions in Section 126.96.36.199 of the Version 1.3 of the S&CP Document (status values) shall be applied to the process states in OASIS Phase IA.
Table 4-1 – Reserved
**Section 4.3 Negotiations Without Competing Bids**
The following practices are defined in order to enhance consistency of the reservation process across OASIS Phase IA nodes.
**Standard 4.6:** A Transmission Provider/Seller shall respond to a Customer’s service request, consistent with filed tariffs, within the Provider Response Time Limit defined in Table 4-2 Reservation Timing Requirements. The time limit is measured from the time the request is QUEUED. A Transmission Provider may respond by setting the state of the reservation request to one of the following:
I. INVALID
II. DECLINED
III. REFUSED
IV. COUNTEROFFER
V. ACCEPTED
VI. STUDY (when the tariff allows), leading to REFUSED, COUNTEROFFER, or ACCEPTED.
**Standard 4.7:** Prior to setting a request to ACCEPTED, COUNTEROFFER, or REFUSED a Transmission Provider shall evaluate the appropriate resources and ascertain that the requested transfer capability is (or is not) available.
**Standard 4.8:** For any request that is REFUSED or INVALID, the Transmission Provider must indicate in the SELLER_COMMENTS field the reason the request was refused or invalid.
**Standard 4.9:** The Customer may change a request from QUEUED, RECEIVED, STUDY, COUNTEROFFER, REBID, or ACCEPTED to WITHDRAWN at any time prior to CONFIRMED.
**Standard 4.10:** From ACCEPTED or COUNTEROFFER, a Customer may change the status to CONFIRMED or WITHDRAWN. In addition, a Customer may change the status from COUNTEROFFER to REBID. The Customer has the amount of time designated as Customer Confirmation Time Limit in Table 4-2 Reservation Timing
Requirements to change the state of the request to CONFIRMED. The Customer time limit is measured from the first time the request is moved to ACCEPTED or COUNTEROFFER, and is not reset with subsequent iterations of negotiation.
**Standard 4.11:** After expiration of the Customer Confirmation Time Limit, specified in Table 4-2 Reservation Timing Requirements, the Transmission Provider has a right to move the request to the RETRACTED state.
**Standard 4.12:** Should the Customer elect to respond to a Transmission Provider's COUNTEROFFER by moving a reservation request to REBID, the Transmission Provider shall respond by taking the request to a DECLINED, ACCEPTED, or COUNTEROFFER state within the Provider Counter Time Limit, specified in Table 4-2 Reservation Timing Requirements. The Transmission Provider response time is measured from the most recent REBID time.
**Standard 4.13:** The following timing requirements shall apply to all reservation requests:
**Table 4-2**
Reservation Timing Requirements
| Class | Service Increment | Time QUEUED Prior to Start | Provider Evaluation Time Limit¹ | Customer Confirmation Limit² ACCEPTED COUNTEROFFER³ | Time after or COUNTEROFFER³ | Provider Counter Time Limit after REBID⁴ |
|-----------|-------------------|----------------------------|---------------------------------|-----------------------------------------------------|-----------------------------|----------------------------------------|
| Non-Firm | Hourly | <1 hour | Best effort | 5 minutes | 5 minutes | |
| Non-Firm | Hourly | >1 hour | 30 minutes | 5 minutes | 5 minutes | |
| Non-Firm | Hourly | Day ahead | 30 minutes | 30 minutes | 10 minutes | |
| Non-Firm | Daily | N/A | 30 minutes | 2 hours | 10 minutes | |
| Non-Firm | Weekly | N/A | 4 hours | 24 hours | 4 hours | |
| Non-Firm | Monthly | N/A | 2 days⁵ | 24 hours | 4 hours | |
| Firm | Daily | <24 hours | Best effort | 2 hours | 30 minutes | |
| Firm | Daily | N/A | 30 days⁶ | 24 hours | 4 hours | |
| Firm | Weekly | N/A | 30 days⁶ | 48 hours | 4 hours | |
| Firm | Monthly | N/A | 30 days⁶ | 4 days | 4 hours | |
| Firm | Yearly | 60 days⁷ | 30 days | 15 days | 4 hours | |
**Notes for Table 4-2:**
Consistent with regulations and filed tariffs, measurement starts at the time the request is QUEUED.
Confirmation time limits are not to be interpreted to extend scheduling deadlines or to override preexemption deadlines.
Measurement starts at the time the request is first moved to either ACCEPTED or COUNTEROFFER. The time limit does not reset on subsequent changes of state.
Measurement starts at the time the Transmission Customer changes the state to REBID. The measurement resets each time the request is changed to REBID.
Days are defined as calendar days.
Subject to expedited time requirements of Section 17.1 of the pro forma tariff. Transmission Providers shall make best efforts to respond within 72 hours, or prior to the scheduling deadline, whichever is earlier, to a request for Daily Firm Service received during period 2-30 days ahead of the service start time.
Subject to Section 17.1 of the pro forma tariff, whenever feasible and on a nondiscriminatory basis, transmission providers should accommodate requests made with less than 60 days notice.
Section 4.4 Negotiations With Competing Bids for Constrained Resources
Competing bids exist when multiple requests cannot be accommodated due to a lack of available transmission capacity. One general rule is that OASIS requests should be evaluated and granted priority on a first-come-first-served basis established by OASIS QUEUED time. Thus, the first to request service should get it, all else being equal.
Exceptions to this first-come-first-served basis occur when there are competing requests for limited resources and the requests have different priorities established by FERC regulations and filed tariffs. Prior to the introduction of price negotiations, the attribute values that have served as a basis for determining priority include:
I. Type (Network, Point-to-point)
II. Class (Firm, Non-Firm)
III. Increment (Hourly, Daily, Weekly, Monthly, Yearly)
IV. Duration (the amount of time between the Start Date and the Stop Date)
V. Amount (the MW amount)
Under a negotiation model, price can also be used as an attribute for determining priority. The negotiation process increases the possibility that a Transmission Provider will be evaluating multiple requests that cannot all be accommodated due to limited resources. In this scenario, it is possible that an unconfirmed request with an earlier QUEUED time could be preempted (SUPERSEDED). For this to occur, the subsequent request would be of higher priority or of greater price.
Standard 4.14: Consistent with regulations and filed tariffs, the following are
recommended relative priorities of Service Request Tiers\(^1\). Specific exceptions may exist in accordance with filed tariffs. The priorities refer only to negotiation of service and do not refer to curtailment priority.
4.14.1. Service Request Tier 1: Native load, Network, or Long-term Firm
4.14.2. Service Request Tier 2: Short-term Firm
4.14.3. Service Request Tier 3: Network Service From Non-designated Resources
4.14.4. Service Request Tier 4: Non-firm
4.14.5. Service Request Tier 5: Non-firm Point-to-point Service over secondary receipt and delivery points
4.14.6. Service Request Tier 6: Non-firm Next Hour Market Service
**Standard 4.15:** Consistent with regulations and filed tariffs, reservation requests shall be handled in a first-come-first-served order based on QUEUE_TIME.
**Standard 4.16:** Consistent with regulations and filed tariffs, Table 4-3 describes the relative priorities of competing service requests and rules for offering right-of-first-refusal. While the table indicates the relative priorities of two competing requests, it also is intended to be applied in the more general case of more than two competing requests.
### Table 4-3
**Priorities for Competing Reservation Requests**
| ROW | Request 1 | Is Preempted by Request 2 | Right of First Refusal |
|-----|------------------------------------------------|-------------------------------------------------------------------------------------------|------------------------|
| 1 | Tier 1: Long-term Firm, Native Load, and Network Firm | N/A - Not preempted by a subsequent request. | N/A |
| 2 | Tier 2: Short-term Firm | Tier 1: Long-term Firm, Native Load, and Network Firm, while Request 1 is conditional. Once Request 1 is unconditional, it may not be preempted. | No |
| 3 | Tier 2: Short-term Firm | Tier 2: Short-term Firm of longer term (duration), while Request 1 is conditional. Once Request 1 is unconditional, it may not be preempted.\(^1\) | Yes, while Request 1 is conditional. Once Request 1 is unconditional, it may not be preempted and right of first refusal is not applicable. |
\(^1\)Note: The term Tier is introduced to avoid confusion with existing terms such as TS_CLASS.
| | Tier 3: Network Service From Non-Designated Resources | Tiers 1 and 2: All Firm (including Network). | No |
|---|------------------------------------------------------|---------------------------------------------|----|
| 5 | Tier 4: All Non-Firm PTP | Tiers 1 and 2: All Firm (including Network). | No |
| 6 | Tier 4: All Non-Firm PTP | Tier 3: Network Service from Non-Designated Resources. | No |
| 7 | Tier 4: All Non-Firm PTP | Tier 4: Non-firm PTP of a longer term (duration) \(^1\). Except in the last hour prior to start (See Standard 4.23). | Yes \(^2\) |
| 8 | Tier 4: All Non-Firm PTP | Tier 4: Non-firm PTP of equal term (duration) \(^1\) and higher price, when Request 1 is still unconfirmed and Request 2 is received pre-confirmed. A confirmed non-firm PTP may not be preempted for another non-firm request of equal duration. (See Standards 4.22 and 4.25.) | Yes \(^3\) |
| 9 | Tier 5: Non-firm PTP Service over secondary receipt and delivery points. | Tier 5 can be preempted by Tiers 1 through 4. | No |
| 10| Tier 6: Non-firm Next Hour Market Service | Tier 6 can be preempted by Tiers 1 through 5. | No |
\(^1\) Longer duration, in addition to being higher SERVICE_INCREMENT (i.e., WEEKLY has priority over DAILY), also may mean more multiples of the same SERVICE_INCREMENT (i.e., 3 days may have priority over 2 days). Multiple service increments must be at the same level of capacity.
\(^2\) Right of first refusal when a subsequent request is received of a longer duration applies only if the first request is confirmed.
\(^3\) Right of first refusal when a subsequent request is received of an equal duration and higher price applies only when the first request is unconfirmed and the subsequent request is received preconfirmed (see Standards 4.22 and 4.26).
**Standard 4.17:** For a request or reservation that is Superseded or Displaced, the Transmission Provider must indicate the Assignment Reference Number of the competing request and the reason for denial of service in the SELLER_COMMENTS field.
**Standard 4.18:** Given competing requests for a limited resource and a right-of-first-refusal is not required to be offered, the Transmission Provider may immediately move
requests in the CONFIRMED state to DISPLACED, or from an ACCEPTED or COUNTEROFFER state to SUPERSEDED, if the competing request is of higher priority, based on the rules represented in Table 4-3. These state changes require dynamic notification to the Customer if the Customer has requested dynamic notification on OASIS.
**Standard 4.19:** In those cases where right-of-first-refusal is required to be offered, the Transmission Provider shall notify the Customer, through the use of a COUNTEROFFER, of the opportunity to match the subsequent offer.
**Standard 4.20:** A Customer who has been extended a right-of-first-refusal shall have a confirmation time limit equal to the lesser of a) the Customer Confirmation Time Limit in Table 4-2 or b) 24 hours.
**Standard 4.21:** A Transmission Provider shall apply all rights-of-first-refusal in a nondiscriminatory and open manner for all Customers.
**Standard 4.22:** Once a non-firm PTP request has been confirmed, it shall not be displaced by a subsequent non-firm PTP request of equal duration and higher price.
**Standard 4.23:** A confirmed, non-firm PTP reservation for the next hour shall not be displaced within one hour of the start of the reservation by a subsequent non-firm PTP reservation request of longer duration.
**Standard 4.24:** A Transmission Provider shall accept any reservation request submitted for an unconstrained Path if the Customer's bid price is equal to or greater than the Transmission Provider's posted offer price at the time the request was queued, even if later requests are submitted at a higher price. This standard applies even when the first request is still unconfirmed, unless the Customer Confirmation Time Limit has expired for the first request.
**Standard 4.25:** Once an offer to provide non-firm PTP transmission service at a given price is extended to a Customer by the Transmission Provider, and while this first request is still unconfirmed but within the Customer Confirmation Time Limit, the Transmission Provider shall not preempt or otherwise alter the status of that first request on receipt of a subsequent request of the same Tier and equal duration at a higher price, unless the subsequent request is submitted as pre-confirmed.
**Standard 4.26:** If during a negotiation of service (i.e., prior to Customer confirmation) a subsequent pre-confirmed request for service over the same limited resource of equal duration but higher price is received, the Transmission Provider must COUNTEROFFER the price of service on the prior COUNTEROFFER or ACCEPTED price to match the competing offer, in order to give the first Customer an opportunity to match the offer. This practice must be implemented in a non-discriminatory manner.
Standard 4.27: Whenever a request or reservation is set to the state of Invalid, Refused, Declined, Superseded, Retracted, Annulled, or Displaced, the Transmission Provider or Seller shall enter the reason for the action in the SELLER_COMMENTS field.
Section 5 Procurement of Ancillary and Other Services
Section 5.1 Introduction
Phase IA OASIS data templates allow the coupling of ancillary service arrangements with the purchase of transmission service for the purpose of simplifying the overall process for Customers. Transmission Providers must indicate (consistent with filed tariffs), which services are MANDATORY (must be taken from the Primary Transmission Provider), REQUIRED (must be provided for but may be procured from alternative sources), or OPTIONAL (not required as a condition of transmission service).
The Transmission Customer should make known to the Transmission Provider at the time of the reservation request certain options related to arrangement of ancillary services. The Transmission Customer may indicate:
a. I will take all the MANDATORY and REQUIRED ancillary services from the Primary Transmission Provider
b. I will take REQUIRED ancillary services from Third Party Seller X
c. I would like to purchase OPTIONAL services
d. I will self provide ancillary services
e. I will arrange for ancillary services in the future (prior to scheduling)
While these interactions are available in the Phase IA S&CP Document, there is a need to clarify the associated business practices. The standards in Section 5 apply to services defined in filed tariffs.
Section 5.2 Transmission Provider Requirements
Standard 5.1: The Transmission Provider shall designate which ancillary services are MANDATORY, REQUIRED, or OPTIONAL for each offered transmission service or each transmission path to the extent these requirements can be determined in advance of the submittal of a reservation request on a specific Path by a Transmission Customer.
Standard 5.2: A Transmission Provider shall modify a Transmission Customer’s service request to indicate the Transmission Provider as the SELLER of any ancillary service, which is MANDATORY, to be taken from the Transmission Provider.
Standard 5.3: For REQUIRED and OPTIONAL services, the Transmission Provider shall not select a SELLER of ancillary service without the Transmission Customer first selecting that SELLER.
Standard 5.4: A Transmission Provider may accept a Transmission Customer’s request for an ancillary service, which is not MANDATORY or REQUIRED, but shall indicate to the Transmission Customer at the time of acceptance in SELLER_COMMENTS that the service is not MANDATORY or REQUIRED.
Section 5.3 Transmission Customer Requirements
**Standard 5.5:** The Transmission Customer shall indicate with the submittal of a transmission reservation request, the preferred options for provision of ancillary services, such as the desire to use an alternative resource. The Transmission Provider shall post itself as the default ancillary service provider, if a Transmission Customer fails to indicate a third party SELLER of ancillary services. However, the Transmission Customer may change this designation at a later date, so long as this change is made prior to the Transmission Provider's scheduling deadline.
**Standard 5.6:** A Transmission Customer may, but is not required to, indicate a third party SELLER of ancillary services, if these services are arranged by the Transmission Customer off the OASIS and if such arrangements are permitted by the Transmission Provider's tariff. The Transmission Provider shall post itself as the default ancillary service provider, if a Transmission Customer fails to indicate a third party SELLER of ancillary services. However, the Transmission Customer may change this designation at a later date, so long as this change is made prior to the Transmission Provider's scheduling deadline.
Section 6 - Pathnaming Standards
Section 6.1 Introduction
The Data Element Dictionary of the OASIS S&CP Document, Version 1.3, defines a path name in terms of a 50-character alphanumeric string:
RR/TPTP/PATHPATHPATH/OPTIONALFROM-OPTIONALTOTO/SPR
RegionCode/TransmissionProviderCode/PathName/OptionalFrom-To(POR-POD)/Spare
This definition leaves it to the Transmission Providers to name the paths from their own perspective. The following standards provide an unambiguous convention for naming paths and will produce more consistent path names.
Section 6.2 Transmission Provider Requirements
**Standard 6.1:** A transmission provider shall use the path naming convention defined in the S&CP Data Dictionary for the naming of all reservable paths posted on OASIS.
**Standard 6.2:** A transmission provider shall use the third field in the path name to indicate the sending and receiving control areas. The control areas shall be designated using standard NERC codes for the control areas, separated by a hyphen. For example, the first three fields of the path name will be:
RR/TPTP/CAXX-CAYY/
Standard 6.3: A transmission provider shall use the fourth field of the path name to indicate POR and POD separated by a hyphen. For example, a path with a specific POR/POD would be shown as:
RR/TPTP/CAXX-CAYY/PORPORPORPOR-PODPODPODPOD/
If the POR and POD are designated as control areas, then the fourth field may be left blank (as per the example in 6.2).
Standard 6.4: A transmission provider may designate a sub-level for Points of Receipt and Delivery. For example, a customer reserves a path to POD AAAA. The ultimate load may be indeterminate at the time. Later, the customer schedules energy to flow to a particular load that may be designated by the transmission provider as a sub-level Point of Delivery. This option is necessary to ensure certain transmission providers are not precluded from using more specific service points by the inclusion of the POR/POD in the path name. All sub-level PORs and PODs must be registered as such on http://www.tsin.com.
Section 7 – Next Hour Market Service
Section 7.1 Introduction
The standards in this section apply to the offering of Next Hour Market (NHM) Service only. The Commission has designated this service as voluntary for a transmission provider to offer. Therefore the standards apply to a transmission provider only if that provider offers NHM Service, in which case the standards become mandatory for that provider.
Section 7.2 Transmission Provider Requirements
Standard 7.1: Use of NHM Service shall be limited to interchange transactions having a duration of one clock-hour and requested no earlier than 60 minutes prior to the start time of the transaction.
Standard 7.2: A transmission provider offering NHM Service shall allow an eligible transmission customer to request a NHM Service reservation electronically using protocols compliant with the NERC ETAG Specification 1.6.
Standard 7.3: A transmission provider offering NHM Service shall allow a transmission customer to request NHM Service for one or more path segments of a tag by designating: (a) 0-NX as the transmission product code under the OASIS block and (b) BUYATMARKET as the OASIS reservation identifier.
Standard 7.4: A transmission provider offering NHM Service shall consider the submittal of a tag designating that provider on one or more path segments using NHM Service to include a pre-confirmed request for the necessary transmission reservation and associated mandatory ancillary services for each designated path segment, for the
hour indicated. No additional confirmation steps shall be required by the transmission customer for a NHM Service transmission reservation and associated ancillary services.
**Standard 7.5:** A transmission provider offering NHM Service shall consider setting the amount of the NHM Service reservation as:
a. The amount of the Transmission Provider Product, if specified.
b. In accordance with the Transmission Provider’s tariff, the MW amount at the POR or POD for that Provider in the Loss Table, if Transmission Provider Product is not specified.
c. The MW amount in the Energy Profile, if neither Transmission Provider Product amount nor Provider Loss Table amounts are specified.
**Standard 7.6:** The OASIS queue time of a NHM Service request or reservation shall be the transmission provider ETAG approval service receipt time, unless a system failure requires the use of ETAG backup procedures, in which case the OASIS queue time shall be the time the tag is received by the transmission provider.
**Standard 7.7:** The 0-NX designation in the tag assigns as transmission customer, for all NHM Service path segments in the transaction, the PSE that is designated as the Purchasing-Selling Entity (PSE) responsible for the tag. A PSE submitting a tag may not designate a NHM Service reservation for another PSE and a transmission provider may not assign a reservation to any transmission customer other than the PSE submitting the NHM Service tag.
**Standard 7.8:** When evaluating competing requests for transmission reservations, a transmission provider offering NHM Service shall consider the NHM Service to have a priority lower than Tier 5 – point-to-point service over secondary receipt and delivery points.
**Standard 7.9:** Once a tag goes to IMPLEMENT or CONDITIONAL status in ETAG, the transmission provider shall consider the associated NHM Service reservations to be confirmed. Since the NHM Service confirmed reservation(s) are by definition less than one hour prior to start, these reservations shall not be displaced by a subsequent non-firm reservation of higher priority.
**Standard 7.10:** The transmission customer shall be obligated to pay for the transmission service under the terms of the tariff at the posted offer price for non-firm hourly service, once the interchange transaction tag is changed to the IMPLEMENT or CONDITIONAL status in ETAG. In the event of a voluntary withdrawal or reduction in the amount or duration of the service by the transmission customer after the tag has changed to IMPLEMENT or CONDITIONAL, the transmission customer shall remain obligated to pay for the full amount of the approved request. In the event of an involuntary curtailment or reduction of the service, initiated by the transmission provider or any other transmission provider, the transmission customer shall not be obligated to pay for any portions of the NHM Service that were involuntarily curtailed. In the case of involuntary curtailment or reduction, payment shall be based on a calculation of the MWhours actually used.
Standard 7.11: In the case that a transaction uses NHM Service for all required path segments in the tag, the default condition of the tag is NOT approved unless all required transmission providers and control areas indicate tag approval.
Standard 7.12: In the case that a transaction mixes one or more transaction path segments that use NHM Service with one or more path segments that use other types of transmission service, then 1) as long as the NHM Service path segment(s) are not fully approved, then the tag shall default to NOT approved; and 2) if all NHM Service path segments in the ETAG are fully approved, then the tag shall revert to the normal default status as specified in NERC Operating Policy 3 and associated Appendices.
Standard 7.13: The transmission customer shall be required to submit a NHM Service transaction request prior to the tag submittal time limit as specified in NERC Operating Policy 3 and associated Appendices, and no earlier than 60 minutes prior to the start of the transaction.
Standard 7.14: The approval mechanism for a NHM Service reservation shall be the tag approval. If the tag is approved and moved to the IMPLEMENT or CONDITIONAL state, all required NHM Service transmission reservations associated with that tag shall be considered confirmed reservations. If one or more transmission providers do NOT approve their segment(s) of the transaction, then the transaction shall be considered NOT approved. Each transmission provider designated in a tag that does not approve that segment of the tag shall indicate that the associated reservation for that segment is REFUSED. If a designated transmission provider in a NHM Service path segment approves the tag but the tag is not approved through the action or inaction of another transmission provider, then that transmission provider shall indicate that reservation is ANNULLED.
Standard 7.15: The transmission provider shall assign the reservation request and final disposition status on behalf of the transmission customer within one hour of the requested start of the NHM Service transaction, regardless of the ultimate disposition of the tag.
Standard 7.16: NHM Service shall have the lowest curtailment priority in the event that a curtailment or reduction of transfers is initiated. Specifically, NHM Service (0-NX) shall have a NERC Curtailment Priority of 0.
Standard 8. A Responsible Party may not deny or restrict access to an OASIS user merely because that user makes automated computer-to-computer file transfers or queries, or extensive requests for data.
Standard 9. In the event that an OASIS user's grossly inefficient method of accessing an OASIS node or obtaining information from the node seriously degrades the performance of the node, a Responsible Party may limit a user's access to the OASIS node without prior Commission approval. The Responsible Party must immediately contact the OASIS user to resolve the problem. Notification of the restriction must be made to the Commission within two business days of the incident and include a
description of the problem. A closure report describing how the problem was resolved must be filed with the Commission within one week of the incident.
**Standard 10.** In the event that an OASIS user makes an error in a query, the Responsible Party can block the affected query and notify the user of the nature of the error. The OASIS user must correct the error before making any additional queries. If there is a dispute over whether an error has occurred, the procedures in the preceding paragraph apply.
**Standard 11.** Transmission Providers must provide "read only" access to the OASIS to Commission staff and to the staff of State regulatory authorities, at no cost, after such staff members have complied with the requisite registration procedures.
**Standard 12.** The information posted on the OASIS must be in such detail and the OASIS must have such capabilities as to allow Transmission Customers to:
(a) Clearly identify the degree to which transmission service requests or schedules were denied or interrupted;
(b) Obtain access, in electronic format, to information to support available transmission capability calculations and historical transmission service requests and schedules for various audit purposes; and
(c) Make file transfers and automated computer-to-computer file transfers and queries as defined by the Standards and Communications Protocols Document.
**Standard 13.** Information to support any such curtailment or interruption, including the operating status of the facilities involved in the constraint or interruption, must be maintained and made available upon request, to the curtailed or interrupted customer, the Commission's Staff, and any other person who requests it, for three years.
**Standard 14.** Each OASIS user must notify the Responsible Party one month in advance of initiating a significant amount of automated queries. The OASIS user must also notify the Responsible Party one month in advance of expected significant increases in the volume of automated queries.
Standard 15. § 37.1 Applicability.
This part applies to any public utility that owns, operates, or controls facilities used for the transmission of electric energy in interstate commerce and to transactions performed under the pro forma tariff required in Part 35 of this Chapter.
Standard 16. § 37.2 Purpose.
(a) The purpose of this part is to ensure that potential customers of open access transmission service receive access to information that will enable them to obtain transmission service on a non-discriminatory basis from any Transmission Provider. These rules provide standards of conduct and require the Transmission Provider (or its agent) to create and operate an Open Access Same-time Information System (OASIS) that gives all users of the open access transmission system access to the same information.
(b) The OASIS will provide information by electronic means about available transmission capability for point-to-point service and will provide a process for requesting transmission service. OASIS will enable Transmission Providers and Transmission Customers to communicate promptly requests and responses to buy and sell available transmission capacity offered under the Transmission Provider's tariff.
Standard 17. § 37.3 Definitions.
(a) Transmission Provider means any public utility that owns, operates, or controls facilities used for the transmission of electric energy in interstate commerce.
(b) Transmission Customer means any eligible customer (or its designated agent) that can or does execute a transmission service agreement or can or does receive transmission service.
(c) Responsible Party means the Transmission Provider or an agent to whom the Transmission Provider has delegated the responsibility of meeting any of the requirements of this Part.
(d) Reseller means any Transmission Customer who offers to sell transmission capacity it has purchased.
(e) Wholesale Merchant Function means the sale for resale, or purchase for resale, of electric energy in interstate commerce.
(f) Affiliate means:
(1) for any exempt wholesale generator, as defined under section 32(a) of the Public Utility Holding Company Act of 1935, as amended, the same as provided in section 214 of the Federal Power Act; and
(2) for any other entity, the term affiliate has the same meaning as given in § 161.2(a) of this Chapter.
Standard 18. § 37.4 Standards of conduct.
A Transmission Provider must conduct its business to conform with the following standards:
(a) General Rules
(1) Except as provided in paragraph (a)(2) of this section, the employees of the Transmission Provider engaged in transmission system operations must function independently of its employees, or the employees of any of its affiliates, who engage in Wholesale Merchant Functions.
(2) Notwithstanding any other provisions in this section, in emergency circumstances affecting system reliability, Transmission Providers may take whatever steps are necessary to keep the system in operation. Transmission Providers must report to the Commission and on the OASIS each emergency that resulted in any deviation from the standards of conduct, within 24 hours of such deviation.
(b) Rules governing employee conduct
(1) Prohibitions. Any employee of the Transmission Provider, or any employee of an affiliate, engaged in wholesale merchant functions is prohibited from:
(i) conducting transmission system operations or reliability functions; and
(ii) having access to the system control center or similar facilities used for transmission operations or reliability functions that differs in any way from the access available to other open access Transmission Customers.
(2) Transfers. Employees engaged in either (i) wholesale merchant functions or (ii) transmission system operations or reliability functions are not precluded from transferring between such functions as long as such transfer is not used as a means to circumvent the standards of conduct of this section. Notices of any employee transfer to or from transmission system operations or reliability functions must be posted on the OASIS as provided in § 37.6 (g)(3). The information to be posted must include: the name of the transferring employee, the respective titles held while performing each function (i.e., on behalf of the Transmission Provider and wholesale merchant or affiliate), and the effective date of the transfer. The information posted under this section must remain on the OASIS for 90 days.
(3) Information Access. Any employee of the Transmission Provider, or of any of its affiliates, engaged in wholesale merchant functions:
(i) shall have access to only that information available to the Transmission Provider's open access transmission customers (i.e., the information posted on an OASIS), and must not have preferential access to any information about the Transmission Provider's transmission system that is not available to all users of an OASIS; and
(ii) is prohibited from obtaining information about the Transmission Provider's transmission system (including information about available transmission capability, price, curtailments, ancillary services, and the like) through access to information not posted on the OASIS that is not otherwise also available to the general public without restriction, or through information through the OASIS that is not also publicly available to all OASIS users.
(4) Disclosure. A Transmission Provider is responsible for ensuring compliance with the following provisions:
(i) Any employee of the Transmission Provider, or any employee of an affiliate, engaged in transmission system operations or reliability functions may not disclose to employees of the Transmission Provider, or any of its affiliates, engaged in wholesale merchant functions any information concerning the transmission system of the Transmission Provider or the transmission system of another (including information received from non-affiliates or information about available transmission capability, price, curtailments, ancillary services, etc.) through non-public communications conducted off the OASIS, through access to information not posted on the OASIS that is not at the same time available to the general public without restriction, or through
information on the OASIS that is not at the same time publicly available to all OASIS users (such as E-mail).
(ii) If an employee of the Transmission Provider engaged in transmission system operations or reliability functions discloses information not posted on the OASIS in a manner contrary to the requirements of the standards of conduct, the Transmission Provider must immediately post such information on the OASIS.
(iii) A Transmission Provider may not share any market information, acquired from nonaffiliated Transmission Customers or potential nonaffiliated Transmission Customers, or developed in the course of responding to requests for transmission or ancillary service on the OASIS, with its own employees (or those of an affiliate) engaged in merchant functions, except to the limited extent information is required to be posted on the OASIS in response to a request for transmission service or ancillary services.
(5) Implementing Tariffs.
(i) Employees of the Transmission Provider engaged in transmission system operations or reliability functions must strictly enforce all tariff provisions relating to the sale or purchase of open access transmission service, if these provisions do not provide for the use of discretion.
(ii) Employees of the Transmission Provider engaged in transmission system operations must apply all tariff provisions relating to the sale or purchase of open access transmission service in a fair and impartial manner that treats all customers (including the public utility and any affiliate) in a non-discriminatory manner, if these provisions involve discretion.
(iii) The Transmission Provider must keep a log, available for Commission audit, detailing the circumstances and manner in which it exercised its discretion under any terms of the tariff.
(iv) The Transmission Provider may not, through its tariffs or otherwise, give preference to wholesale purchases or sales made on behalf of its own power customers, or those of an affiliate, over the interests of any other wholesale customer in matters relating to the sale or purchase of transmission service (including issues of price, curtailments, scheduling, priority, ancillary services, etc.).
(v) If the Transmission Provider offers a discount on purchases of transmission service made on behalf of its own power customers or those of any affiliate, then, at the same time, it must post on the OASIS an offer to provide the same discount to all Transmission Customers on the same path and on all unconstrained transmission paths.
(vi) If the Transmission Provider offers a rate discount on ancillary services to an affiliate, or attributes a discounted ancillary service rate to its own transactions, the Transmission Provider must, at the same time, post on the OASIS an offer to provide the same discount to all eligible customers.
(6) Books and Records. A Transmission Provider must maintain its books of account and records (as prescribed under Parts 101 and 125 of this Chapter) separately from those of its affiliates and these must be available for Commission inspection.
(c) Maintenance of written procedures. The Transmission Provider must maintain in a public place, and file with the Commission, current written procedures implementing the standards of conduct in such detail as will enable customers and the
Commission to determine that the Transmission Provider is in compliance with the requirements of this section.
**Standard 19. § 37.5 Obligations of Transmission Providers and Responsible Parties.**
(a) Each Transmission Provider is required to provide for the operation of an OASIS, either individually or jointly with other Transmission Providers, in accordance with the requirements of this Part. The Transmission Provider may delegate this responsibility to a Responsible Party such as another Transmission Provider, an Independent System Operator, a Regional Transmission Group, or a Regional Reliability Council.
(b) A Responsible Party must: (1) provide access to an OASIS providing standardized information relevant to the availability of transmission capacity, prices, and other information (as described in this Part) pertaining to the transmission system for which it is responsible; and
(2) shall operate the OASIS in compliance with the standardized procedures and protocols found in OASIS Standards and Communication Protocols, which can be obtained from the Public Reference and Files Maintenance Branch, Room 2A, Federal Energy Regulatory Commission, 888 First Street NE, Washington, DC 20426.
(c) Transmission Providers must provide "read only" access to the OASIS to Commission staff and the staffs of State regulatory authorities, at no cost, after such staff members have complied with the requisite registration procedures.
**Standard 20. § 37.6 Information to be posted on an OASIS.**
(a) The information posted on the OASIS must be in such detail as to allow Transmission Customers to:
(1) make requests for transmission services offered by Transmission Providers, Resellers and other providers of ancillary services;
(2) view and download in standard formats, using standard protocols, information regarding the transmission system necessary to enable prudent business decision making;
(3) post, view, upload and download information regarding available products and desired services;
(4) clearly identify the degree to which their transmission service requests or schedules were denied or interrupted; and
(5) obtain access, in electronic format, to information to support available transmission capability calculations and historical transmission service requests and schedules for various audit purposes.
(b) Posting transmission capability. The transmission capability that is expected to be available on the Transmission Provider's system (ATC) and the total transmission capability (TTC) of that system shall be calculated and posted for each Posted Path as set out in this section.
(1) Definitions. For purposes of this section,
(i) Posted Path means any control area to control area interconnection; any path for which service is denied, curtailed or interrupted for more than 24 hours in the past 12 months; and any path for which a customer requests to have ATC or TTC posted. For this last category, the posting must continue for 180 days and thereafter until 180 days have elapsed from the most recent request for service over
the requested path. For purposes of this definition, an hour includes any part of an hour during which service was denied, curtailed or interrupted.
(ii) Constrained Posted Path means any posted path having an ATC less than or equal to 25 percent of TTC at any time during the preceding 168 hours or for which ATC has been calculated to be less than or equal to 25 percent of TTC for any period during the current hour or the next 168 hours.
(iii) Unconstrained Posted Path means any posted path not determined to be a constrained posted path.
(2) Calculation methods, availability of information, and requests.
(i) Information used to calculate any posting of ATC and TTC must be dated and time-stamped and all calculations shall be performed according to consistently applied methodologies referenced in the Transmission Provider's transmission tariff and shall be based on current industry practices, standards and criteria.
(ii) On request, the Responsible Party must make all data used to calculate ATC and TTC for any constrained posted paths publicly available (including the limiting element(s) and the cause of the limit (e.g., thermal, voltage, stability)) in electronic form within one week of the posting. The information is required to be provided only in the electronic format in which it was created, along with any necessary decoding instructions, at a cost limited to the cost of reproducing the material. This information is to be retained for six months after the applicable posting period.
(iii) System planning studies or specific network impact studies performed for customers to determine network impacts are to be made publicly available in electronic form on request and a list of such studies shall be posted on the OASIS. A study is required to be provided only in the electronic format in which it was created, along with any necessary decoding instructions, at a cost limited to the cost of reproducing the material. These studies are to be retained for two years.
(3) Posting. The ATC and TTC for all Posted Paths must be posted in megawatts by specific direction and in the manner prescribed in this subsection.
(i) Constrained Posted Paths.
(A) For Firm ATC and TTC:
(1) The posting shall show ATC and TTC for a 30-day period. For this period postings shall be: by the hour, for the current hour and the 168 hours next following; and thereafter, by the day. If the Transmission Provider charges separately for on-peak and off-peak periods in its tariff, ATC and TTC will be posted daily for each period.
(2) Postings shall also be made by the month, showing for the current month and the 12 months next following.
(3) If planning and specific requested transmission studies have been done, seasonal capability shall be posted for the year following the current year and for each year following to the end of the planning horizon but not to exceed 10 years.
(B) For Non-Firm ATC and TTC. The posting shall show ATC and TTC for a 30-day period by the hour and days prescribed under paragraph (b)(3)(i)(A)(1) of this section and, if so requested, by the month and year as prescribed under paragraph (b)(3)(i)(A)(2) and (3) of this section.
(C) Updating Posted Information for Constrained Paths.
(1) The capability posted under paragraphs (b)(3)(i)(A) and (B) of this section must be updated when transactions are reserved or service ends or whenever the TTC estimate for the Path changes by more than 10 percent.
(2) All updating of hourly information shall be made on the hour.
(ii) Unconstrained Posted Paths.
(A) Postings of ATC and TTC shall be by the day, showing for the current day and the next six days following and thereafter, by the month for the 12 months next following. If the Transmission Provider charges separately for on-peak and off-peak periods in its tariff, ATC and TTC will be posted for the current day and the next six days following for each period. These postings are to be updated whenever the ATC changes by more than 20 percent of the Path's TTC.
(B) If planning and specific requested transmission studies have been done, seasonal capability shall be posted for the year following the current year and for each year following until the end of the planning horizon but not to exceed 10 years.
(c) Posting Transmission Service Products and Prices.
(1) Transmission Providers must post prices and a summary of the terms and conditions associated with all transmission products offered to Transmission Customers.
(2) Transmission Providers must provide a downloadable file of their complete tariffs in the same electronic format as the tariff is filed with the Commission.
(3) A Transmission Provider, within 24 hours of agreeing to sell transmission service to a non-affiliate at a discount (as measured from when ATC must be adjusted in response to the transaction), must post on the OASIS (and make available for download) information describing the transaction (including price, quantity, and any other relevant terms and conditions) and shall keep such information posted on the OASIS for at least 30 days. A record of the transaction must be retained and kept available as part of the audit log required in section 37.7. With respect to any discount offered to its own power customers or its affiliates, the Transmission Provider must, at the same time, post on the OASIS an offer to provide the same discount to all Transmission Customers on the same path and on all unconstrained transmission paths.
(4) Customers choosing to use the OASIS to offer for resale transmission capacity they have purchased must post relevant information to the same OASIS as used by the one from whom the Reseller purchased the transmission capacity. This information must be posted on the same display page, using the same tables, as similar capability being sold by the Transmission Provider, and the information must be contained in the same downloadable files as the Transmission Provider's own available capability. A customer reselling transmission capacity without the use of an OASIS must, nevertheless, inform the original Transmission Provider of the transaction within the time limits prescribed by the "Sale or Assignment of Transmission Service" section of the pro forma tariff.
(d) Posting Ancillary Service Offerings and Prices.
(1) Any ancillary service required to be provided or offered under the pro forma tariff prescribed by Part 35 of this Chapter must be posted with the price of that service.
(2) A Transmission Provider, within 24 hours of agreeing to sell an ancillary service to a non-affiliate at a discount, must post on the OASIS (and make available for download) information describing the transaction (including price, quantity, and any other relevant terms and conditions) and shall keep such information posted on the OASIS for at least 30 days. A record of the transaction must be retained and kept available as part of the audit log required in § 37.7. As to discounts for ancillary services, if a Transmission Provider offers a rate discount to an affiliate, or attributes a discounted ancillary service rate to its own transactions, the Transmission Provider must, at the same time, post on the OASIS an offer to provide the same discount to all eligible customers.
(3) Any other interconnected operations service offered by the Transmission Provider may be posted, with the price for that service.
(4) Any entity offering an ancillary service shall have the right to post the offering of that service on the OASIS if the service is one required to be offered by the Transmission Provider under the pro forma tariff prescribed by Part 35 of this Chapter. Any entity may also post any other interconnected operations service voluntarily offered by the Transmission Provider. Postings by customers and third parties must be on the same page, and in the same format, as postings of the Transmission Provider.
(e) Posting Specific Transmission Service Requests and Responses.
(1) General Rules.
(i) All requests for transmission service offered by Transmission Providers under the pro forma tariff must be made on the OASIS. Requests for transmission service, and the responses to such requests, must be conducted in accordance with the Transmission Provider's tariff, the Federal Power Act, and Commission regulations.
(ii) In processing a request for transmission or ancillary service, the Responsible Party shall post the following information: the date and time when the request is made, its place in any queue, the status of that request, and the result (accepted, denied, withdrawn).
(iii) The identity of the parties will be masked -- if requested -- during the negotiating period and for 30 days from the date when the request was accepted, denied or withdrawn.
(2) Posting when a request for transmission service is denied.
(i) When a request for service is denied, the Responsible Party must provide the reason for that denial as part of any response to the request.
(ii) Information to support the reason for the denial, including the operating status of relevant facilities, must be maintained for 60 days and provided, upon request, to the potential Transmission Customer.
(iii) Any offer to adjust operation of the Transmission Provider's System to accommodate the denied request must be posted and made available to all Transmission Customers at the same time.
(3) Posting when a transaction is curtailed or interrupted.
(i) When any transaction is curtailed or interrupted, the curtailment or interruption must be posted (with the identities of the parties masked as required in § 37.6(e)(1)(iii)) and must state the reason why the transaction could not be continued or completed.
(ii) Information to support any such curtailment or interruption, including the operating status of the facilities involved in the constraint or interruption, must be maintained for 60 days and provided, upon request, to the curtailed or interrupted customer.
(iii) Any offer to adjust the operation of the Transmission Provider's system to restore a curtailed or interrupted transaction must be posted and made available to all curtailed and interrupted Transmission Customers at the same time.
(f) Posting Transmission Service Schedules Information. Information on transmission service schedules must be recorded by the entity scheduling the transmission service and must be available on the OASIS for download. Transmission service schedules must be posted no later than seven calendar days from the start of the transmission service.
(g) Posting Other Transmission-Related Communications.
(1) The posting of other communications related to transmission services must be provided for by the Responsible Party. These communications may include "want ads" and "other communications" (such as using the OASIS as a Transmission-related conference space or to provide transmission-related messaging services between OASIS users). Such postings carry no obligation to respond on the part of any market participant.
(2) The Responsible Party is responsible for posting other transmission-related communications in conformance with the instructions provided by the third party on whose behalf the communication is posted. It is the responsibility of the third party requesting such a posting to ensure the accuracy of the information to be posted.
(3) Posting Transfers. Notices of transfers of personnel as described in § 37.4(b)(2) shall be posted.
Standard 21. § 37.7 Auditing Transmission Service Information.
(a) All OASIS database transactions, except other transmission-related communications provided for under § 37.6(g)(2), must be stored, dated, and time stamped.
(b) Audit data must remain available for download on the OASIS for 90 days. The audit data are to be retained and made available upon request for three years from the date when they are first posted.
Standard 20. § 37.8 Implementation schedule for OASIS requirements; phases.
Each Transmission Provider must develop or participate in an OASIS that meets the requirements of this Part and that is in operation by November 1, 1996. Each Transmission Provider must be in compliance with the standards of conduct prescribed in § 37.4 by November 1, 1996.
The Standards are attached and provided as part of the following attached documents:
- Federal Energy Regulatory Commission Business Practice Standards for Open Access Same-Time Information System (OASIS) Transactions, Version 1.2, issued October 25, 2000 (Attachment A).
- Standards and Communication Protocols for Open Access Same-Time Information System (OASIS), Version 1.4, July 26, 2000 (Attachment B).
- Data Dictionary, Standards and Communication Protocols for Open Access Same-Time Information System (OASIS), Version 1.4, July 26, 2000 (Attachment C)
- Revisions to Section 188.8.131.52 of the S&CP Document, 184.108.40.206, Status Values (Attachment D).
- Oasis Version 1.4 corrections, outlined in a letter dated January 30, 2001, from Paul R. Sorenson, OSC Chair, to David P. Borgers, Office of the Secretary, Federal Energy Regulatory Commission (Attachment E).
- FERC Order 605 (Attachment F).
- FERC Order 889 (Attachment G).
- FERC Order 889 Appendix A Data Element Dictionary (Attachment H).
- FERC Order 889 Appendix B Request (Query) Variables (Attachment I).
4. SUPPORTING DOCUMENTATION
a. Description of Request:
Request submitted by Southern Company Services, proposing the WEQ’s acceptance of the current OASIS Business Practice Standards and Communication Protocol Standards.
b. Description of Recommendation:
Recommend acceptance as requested.
c. Business Purpose:
The business practice standards are designed to implement the Commission’s policy related to on-line price negotiation and to improve
d. Commentary/Rationale of Subcommittee(s)/Task Force(s):
The Electronic Scheduling Subcommittee met on December 15-16, 2003 and via conference call on January 8, 2004. The minutes and work papers can be accessed via the NAESB web site (http://www.naesb.org/weq/weq_electronic_scheduling.asp). On January 8, the subcommittee unanimously endorsed sending the recommendation out for industry comment.
ATTACHMENT A
BUSINESS PRACTICE STANDARDS FOR OPEN ACCESS SAME-TIME INFORMATION SYSTEM (OASIS) TRANSACTIONS
October 25, 2000
Version 1.2
FEDERAL ENERGY REGULATORY COMMISSION
BUSINESS PRACTICE STANDARDS FOR OPEN ACCESS SAME-TIME INFORMATION SYSTEM (OASIS) TRANSACTIONS
Version 1.2
(October 25, 2000)
# Table of Contents
| Section | Page |
|------------------------------------------------------------------------|------|
| Table of Contents | i |
| Section 1 Introduction | 1 |
| 1.1 Business Practice Standards | 1 |
| Section 2 Standard Terminology for Transmission and Ancillary Services | 2 |
| 2.1 Attribute Values Defining the Period of Service | 2 |
| 2.2 Attribute Values Defining Service Class | 5 |
| 2.3 Attribute Values Defining Service Types | 5 |
| 2.4 Curtailment Priorities | 6 |
| 2.5 Other Service Attribute Values | 6 |
| Section 3 OASIS Registration Procedures | 9 |
| 3.1 Entity Registration | 9 |
| 3.2 Process to Register Non-Standard Service Attribute Values | 9 |
| 3.3 Registration of Points of Receipt and Delivery | 10 |
| Section 4 On-line Negotiation and Confirmation Process | 11 |
| 4.1 On-line Price Negotiation in Short-term Markets | 11 |
| 4.2 Phase IA Negotiation Process State Transition Diagram | 11 |
| 4.3 Negotiations Without Competing Bids | 11 |
| 4.4 Negotiations With Competing Bids for Constrained Resources | 15 |
| Section 5 Procurement of Ancillary and Other Services | 20 |
| 5.1 Introduction | 20 |
| 5.2 Transmission Provider Requirements | 21 |
| 5.3 Transmission Customer Requirements | 21 |
| Section 6 Pathnaming Standards | 22 |
| 6.1 Introduction | 22 |
| 6.2 Transmission Provider Requirements | 22 |
| Section 7 Next Hour Market Service | 23 |
| 7.1 Introduction | 23 |
| 7.2 Transmission Provider Requirements | 23 |
Section 1 Introduction
This document contains business practice standards designed to implement the Commission's policy related to on-line price negotiation and to improve the commercial operation of the Open Access Same-Time Information System (OASIS).
Section 1.1 Business Practice Standards
This document adopts OASIS business practice standards as mandatory requirements.
Section 2 Standard Terminology for Transmission and Ancillary Services
Section 2.1 Attribute Values Defining the Period of Service
The data templates of the Phase IA Standards & Communication Protocols (S&CP) Document have been developed with the use of standard service attributes in mind. What the Phase IA S&CP Document does not offer are specific definitions for each attribute value. This section offers standards for these service attribute definitions to be used in conjunction with the Phase IA data templates.
Fixed services are associated with transmission services whose periods align with calendar periods such as a day, week, or month. Sliding services are fixed in duration, such as a week or month, but the start and stop time may slide. For example a Sliding week could start on Tuesday and end on the following Monday. Extended allows for services in which the start time may slide and also the duration may be longer than a standard length. For example an Extended week of service could be nine consecutive days. Various transmission service offerings using these terms are defined in Standards 2.1.1 through 2.1.14 below. Next_Increment indicates the next available full Service_Increment, such as the next hour, next day, or next week. Next_Increment is added at this time to address Next Hour Market Service, but may be used in the future to denote other products.
Table 1-1 identifies the standard terminology in OASIS Phase IA for the attributes SERVICE_INCREMENT (Hourly, Daily, Weekly, Monthly, and Yearly) and TS_WINDOW (Fixed, Sliding, Extended, and Next_Increment). Values shown in Table 1-1 as N/A (Not Applicable) are not sufficiently common in the market to require standards.
Next Hour Market Service, a new pro forma service, is denoted as having a Service Increment of Hourly and a TS_WINDOW of Next_Increment.
Table 1-1
Standard Service Period Attribute Values in Phase IA
| | Fixed | Sliding | Extended | Next_Increment |
|----------------|-------|---------|----------|----------------|
| Hourly | X | N/A | N/A | X |
| Daily | X | X | X | N/A |
| Weekly | X | X | X | N/A |
| Monthly | X | X | X | N/A |
| Yearly | X | X | X | N/A |
1 Included in the Phase IA S&CP Data Dictionary, Version 1.3, issued September 29, 1998.
2 Next Hour Market Service is identified by Service Increment = Hourly and TS_WINDOW = Next_Increment
The existence of an attribute value in this table does not imply the services must be offered by a Transmission Provider. Requirements as to which services must be offered are defined by regulation and tariffs. Likewise, absence of a service period value in Table 1-1 does not restrict a Transmission Provider from offering a service. The intent of the table is to establish common terminology associated with standard products.
Each service period value assumes a single time zone specified by the Transmission Provider. It is recognized that daylight time switches must be accommodated in practice, but they have been omitted here for the purpose of simplicity.
**Standard 2.1:** A Transmission Provider shall use the values and definitions below for the service period attributes, SERVICE_INCREMENT AND TS_WINDOW for all transmission services offered on OASIS, or shall post alternative service period values and associated definitions on the OASIS Home Page at http://www.tsin.com, or shall use existing attribute values and definitions posted by other Transmission Providers. (See Section 3 for registration requirements.)
**Standard 2.1.1:** FIXED HOURLY - The service starts at the beginning of a clock hour and stops at the end of a clock hour.
**Standard 2.1.2:** FIXED DAILY - The service starts at 00:00 and stops at 24:00 of the same calendar date (same as 00:00 of the next consecutive calendar date).
**Standard 2.1.3:** FIXED WEEKLY - The service starts at 00:00 on Monday and stops at 24:00 of the following Sunday (same as 00:00 of the following Monday).
**Standard 2.1.4:** FIXED MONTHLY - The service starts at 00:00 on the first date of a calendar month and stops at 24:00 on the last date of the same calendar month (same as 00:00 of the first date of the next consecutive month).
Standard 2.1.5: **FIXED YEARLY** - The service starts at 00:00 on the first date of a calendar year and ends at 24:00 on the last date of the same calendar year (same as 00:00 of the first date of the next consecutive year).
Standard 2.1.6: **SLIDING DAILY** - The service starts at the beginning of any hour of the day and stops exactly 24 hours later at the same time on the next day.
Standard 2.1.7: **SLIDING WEEKLY** - The service starts at 00:00 of any date and stops exactly 168 hours later at 00:00 on the same day of the next week.
Standard 2.1.8: **SLIDING MONTHLY** - The service starts at 00:00 of any date and stops at 00:00 on the same date of the next month (28-31 days later). If there is no corresponding date in the following month, the service stops at 24:00 on the last day of the next month.
For example: SLIDING MONTHLY starting at 00:00 on January 30 would stop at 24:00 on February 28 (same as 00:00 March 1).
Standard 2.1.9: **SLIDING YEARLY** - The service starts at 00:00 of any date and stops at 00:00 on the same date of the following year. If there is no corresponding date in the following year, the service stops at 24:00 on the last day of the same month in the following year.
For example SLIDING YEARLY service starting on February 29 would stop on February 28 of the following year.
Standard 2.1.10: **EXTENDED DAILY** - The service starts at any hour of a day and stops more than 24 hours later and less than 168 hours later.
Standard 2.1.11: **EXTENDED WEEKLY** - The service starts at 00:00 of any date and stops at 00:00 more than one week later, but less than four weeks later.
Standard 2.1.12: **EXTENDED MONTHLY** - The service starts at 00:00 of any date and stops at 00:00 more than one month later, but less than twelve months later.
Standard 2.1.13: **EXTENDED YEARLY** - The service starts at 00:00 of any date and stops at 00:00 more than one year later, but must be requested in increments of full years.
Standard 2.1.14: **NEXT_INCREMENT HOURLY** – The service starts at the beginning of the next clock hour and stops at the end of that clock hour.
Section 2.2 Attribute Values Defining Service Class
Standard 2.2: A Transmission Provider shall use the values and definitions below to describe the service class, TS_CLASS, for transmission services offered on OASIS, or shall post alternative TS_CLASS attribute values and associated definitions on the
OASIS Home Page at http://www.tsin.com, or shall use the attribute values and definitions posted by other Transmission Providers. (See Section 3 for registration requirements.)
**Standard 2.2.1:** FIRM - Transmission service that always has priority over NONFIRM transmission service and includes Native Load Customers, Network Customers, and any transmission service not classified as non-firm in accordance with the definitions in the pro forma tariff.
**Standard 2.2.2:** NON-FIRM - Transmission service that is reserved and/or scheduled on an as-available basis and is subject to curtailment or interruption at a lesser priority compared to FIRM transmission service, including Native Load Customers and Network Customers, in accordance with the definitions in the pro forma tariff.
**Section 2.3 Attribute Values Defining Service Types**
**Standard 2.3:** A Transmission Provider shall use the values and definitions below to describe the service type, TS_TYPE, for transmission services offered on OASIS, or shall post alternative attribute values and associated definitions on the OASIS Home Page at http://www.tsin.com, or shall use the attribute values and definitions posted by other Transmission Providers. (See Section 3 for registration requirements.)
Standard 2.3.1: POINT-TO-POINT (PTP) - Transmission service that is reserved and/or scheduled between specified POINTS OF RECEIPT and DELIVERY pursuant to Part II of the pro forma tariff and in accordance with the definitions in the pro forma tariff.
Standard 2.3.2: NETWORK - Network Integration Transmission Service that is provided to serve a Network Customer load pursuant to Part III of the pro forma tariff and in accordance with the definitions in the pro forma tariff.
Section 2.4 Curtailment Priorities
Standard 2.4: A Transmission Provider that has adopted NERC TLR Procedures shall use the curtailment priority definitions contained in NERC TLR Procedures for NERC CURTAILMENT PRIORITY (1-7) for all transmission services offered on OASIS. A Transmission Provider that has adopted alternative curtailment procedures shall post its alternative attribute values and associated definitions on the OASIS Home Page at http://www.tsin.com, or shall use attribute values and definitions posted by another Transmission Provider. (See Section 3 for registration requirements.)
Section 2.5 Other Service Attribute Values
The Commission has defined six ancillary services in Order No. 888. Other services may be offered pursuant to filed tariffs.
Standard 2.5: A Transmission Provider shall use the definitions below to describe the AS_TYPES offered on OASIS, or shall post alternative attribute values and associated definitions on the OASIS Home Page at http://www.tsin.com, or shall use attribute values and definitions posted by another Transmission Provider. (See Section 3 for registration requirements.)
FERC Ancillary Services Definitions
Standard 2.5.1: SCHEDULING, SYSTEM CONTROL AND DISPATCH SERVICE (SC) - is necessary to the provision of basic transmission service within every control area. This service can be provided only by the operator of the control area in which the transmission facilities used are located. This is because the service is to schedule the movement of power through, out of, within, or into the control area. This service also includes the dispatch of generating resources to maintain
generation/load balance and maintain security during the transaction and in accordance with section 3.1 (and Schedule 1) of the pro forma tariff.
**Standard 2.5.2:** **REACTIVE SUPPLY AND VOLTAGE CONTROL FROM GENERATION SOURCES SERVICE (RV)** - is the provision of reactive power and voltage control by generating facilities under the control of the control area operator. This service is necessary to the provision of basic transmission service within every control area and in accordance with section 3.2 (and Schedule 2) of the pro forma tariff.
**Standard 2.5.3:** **REGULATION AND FREQUENCY RESPONSE SERVICE (RF)** - is provided for transmission within or into the transmission provider's control area to serve load in the area. Customers may be able to satisfy the regulation service obligation by providing generation with automatic generation control capabilities to the control area in which the load resides and in accordance with section 3.3 (and Schedule 3) of the pro forma tariff.
**Standard 2.5.4:** **ENERGY IMBALANCE SERVICE (I)** - is the service for transmission within and into the transmission provider's control area to serve load in the area. Energy imbalance represents the deviation between the scheduled and actual delivery of energy to a load in the local control area over a single hour and in accordance with section 3.4 (and Schedule 4) of the pro forma tariff.
**Standard 2.5.5:** **OPERATING RESERVE - SPINNING RESERVE SERVICE (SP)** - is provided by generating units that are on-line and loaded at less than maximum output. They are available to serve load immediately in an unexpected contingency, such as an unplanned outage of a generating unit and in accordance with section 3.5 (and Schedule 5) of the pro forma tariff.
**Standard 2.5.6:** **OPERATING RESERVE - SUPPLEMENTAL RESERVE SERVICE (SU)** - is generating capacity that can be used to respond to contingency situations. Supplemental reserve, is not available instantaneously, but rather within a short period (usually ten minutes). It is provided by generating units that are on-line but unloaded, by quick-start generation, and by customer interrupted load and in accordance with section 3.6 (and Schedule 6) of the pro forma tariff.
**Other Service Definitions**
Other services may be offered to Transmission Customers through Commission-approved revisions to their individual open access tariffs. Examples of other services that may be offered include the Interconnected Operations Services described below in Standards 2.5.7, 2.5.8, and 2.5.9. Ancillary service definitions may be offered pursuant to an individual transmission provider's specific tariff filings.
**Standard 2.5.7:** **DYNAMIC TRANSFER (DT)** - is the provision of the real-time monitoring, telemetering, computer software, hardware, communications, engineering, and administration required to electronically move all or a portion
of the real energy services associated with a generator or load out of its Host Control Area into a different Electronic Control Area.
**Standard 2.5.8:** REAL POWER TRANSMISSION LOSSES (TL) - is the provision of capacity and energy to replace energy losses associated with transmission service on the Transmission Provider’s system.
**Standard 2.5.9:** SYSTEM BLACK START CAPABILITY (BS) - is the provision of generating equipment that, following a system blackout, is able to start without an outside electrical supply. Furthermore, BLACK START CAPABILITY is capable of being synchronized to the transmission system such that it can provide a startup supply source for other system capacity that can then be likewise synchronized to the transmission system to supply load as part of a process of re-energizing the transmission system.
**Standard 2.6:** A Transmission Provider shall use the definitions below to describe the scheduling period leading up to the start time of a transaction:
**Standard 2.6.1:** SAME-DAY is after 2 p.m. of the preceding day and
**Standard 2.6.2:** NEXT-HOUR is one hour or less prior to the service start time.
**Section 3 OASIS Registration Procedures**
**Section 3.1 Entity Registration**
Operation of OASIS requires unambiguous identification of parties.
**Standard 3.1:** All entities or persons using OASIS shall register the identity of their organization (including DUNS number) or person at the OASIS Home Page at http://www.tsin.com. Registration identification shall include the parent entity (if any) of the registrant. Registration shall be a prerequisite to OASIS usage and renewed annually and whenever changes in identification occur and thereafter. An entity or person not complying with this requirement may be denied access by a transmission provider to that transmission provider’s OASIS node.
The registration requirement applies to any entity logging onto OASIS for the purpose of using or updating information, including Transmission Providers, Transmission Customers, Observers, Control Areas, Security Coordinators, and Independent System Operators.
**Section 3.2 Process to Register Non-Standard Service Attribute Values**
Section 2 of the OASIS business practice standards addresses the use of standard terminology in defining services on OASIS. These standard definitions for service attribute values will be posted publicly on the OASIS Home Page at http://www.tsin.com and may be used by all Transmission Providers to offer transmission and ancillary services on OASIS. If the Transmission Provider determines
that the standard definitions are not applicable, the Transmission Provider may register new attribute values and definitions on the OASIS Home Page. Any Transmission Provider may use the attribute values and definitions posted by another Transmission Provider.
**Standard 3.2:** Providers of transmission and ancillary services shall use only attribute values and definitions that have been registered on the OASIS Home Page at http://www.tsin.com for all transmission and ancillary services offered on their OASIS.
**Standard 3.3:** Providers of transmission and ancillary services shall endeavor to use on their OASIS nodes attribute values and definitions that have been posted by other Transmission Providers on the OASIS Home Page at http://www.tsin.com whenever possible.
**Section 3.3 Registration of Points of Receipt and Delivery**
In order to improve coordination of path naming and to enhance the identification of commercially available connection points between Transmission Providers and regions, the business practice for Phase IA OASIS requires that:
I. Transmission Providers register at the OASIS Home Page at http://www.tsin.com, all service points (Points of Receipt and Delivery) for which transmission service is available over the OASIS.
II. Each Transmission Provider would then indicate on its OASIS node, for each Path posted on its OASIS node, the Points of Receipt and Delivery to which each Path is connected.
A Transmission Provider is not required to register specific generating stations as Points of Receipt, unless they were available as service points for the purposes of reserving transmission service on OASIS. The requirement also does not include registration of regional flowgates, unless they are service points for the purposes of reserving transmission on OASIS.
**Standard 3.4:** A Transmission Provider shall register and thereafter maintain on the OASIS Home Page at http://www.tsin.com all Points of Receipt and Delivery to and from which a Transmission Customer may reserve and schedule transmission service.
**Standard 3.5:** For each reservable Path posted on their OASIS nodes, Transmission Providers shall indicate the available Point(s) of Receipt and Delivery for that Path. These Points of Receipt and Delivery shall be from the list registered on the OASIS Home Page at http://www.tsin.com.
**Standard 3.6:** When two or more Transmission Providers share common Points of Receipt or Delivery, or when a Path connects Points of Receipt and Delivery in neighboring systems, the Transmission Providers owning and/or operating those facilities shall apply consistent names for those connecting paths or common paths on the OASIS.
**Section 4 On-line Negotiation and Confirmation Process**
Section 4.1 On-line Price Negotiation in Short-term Markets
Standard 4.1: Consistent with FERC policy and regulations, all reservations and price negotiations shall be conducted on OASIS.
Standard 4.2: Reserved
Standard 4.3: Reserved
Section 4.2 Phase IA Negotiation Process State Transition Diagram
The Phase IA S&CP Document provides a process state diagram to define the Customer and Transmission Provider interactions for negotiating transmission service. This diagram defines allowable steps in the reservation request, negotiation, approval and confirmation.
Standard 4.4: The state diagram appearing in Exhibit 4-1 in Section 220.127.116.11 of the Version 1.3 of the S&CP Document constitutes a recommended business practice in OASIS Phase IA.
Standard 4.5: The definitions in Section 18.104.22.168 of the Version 1.3 of the S&CP Document (status values) shall be applied to the process states in OASIS Phase IA.
Table 4-1 – Reserved
Section 4.3 Negotiations Without Competing Bids
The following practices are defined in order to enhance consistency of the reservation process across OASIS Phase IA nodes.
Standard 4.6: A Transmission Provider/Seller shall respond to a Customer’s service request, consistent with filed tariffs, within the Provider Response Time Limit defined in Table 4-2 Reservation Timing Requirements. The time limit is measured from the time the request is QUEUED. A Transmission Provider may respond by setting the state of the reservation request to one of the following:
I. INVALID
II. DECLINED
III. REFUSED
IV. COUNTEROFFER
V. ACCEPTED
VI. STUDY (when the tariff allows), leading to REFUSED, COUNTEROFFER, or ACCEPTED.
Standard 4.7: Prior to setting a request to ACCEPTED, COUNTEROFFER, or REFUSED a Transmission Provider shall evaluate the appropriate resources and ascertain that the requested transfer capability is (or is not) available.
Standard 4.8: For any request that is REFUSED or INVALID, the Transmission Provider must indicate in the SELLER_COMMENTS field the reason the request was refused or invalid.
Standard 4.9: The Customer may change a request from QUEUED, RECEIVED, STUDY, COUNTEROFFER, REBID, or ACCEPTED to WITHDRAWN at any time prior to CONFIRMED.
Standard 4.10: From ACCEPTED or COUNTEROFFER, a Customer may change the status to CONFIRMED or WITHDRAWN. In addition, a Customer may change the status from COUNTEROFFER to REBID. The Customer has the amount of time designated as Customer Confirmation Time Limit in Table 4-2 Reservation Timing Requirements to change the state of the request to CONFIRMED. The Customer time limit is measured from the first time the request is moved to ACCEPTED or COUNTEROFFER, and is not reset with subsequent iterations of negotiation.
Standard 4.11: After expiration of the Customer Confirmation Time Limit, specified in Table 4-2 Reservation Timing Requirements, the Transmission Provider has a right to move the request to the RETRACTED state.
Standard 4.12: Should the Customer elect to respond to a Transmission Provider’s COUNTEROFFER by moving a reservation request to REBID, the Transmission Provider shall respond by taking the request to a DECLINED, ACCEPTED, or COUNTEROFFER state within the Provider Counter Time Limit, specified in Table 4-2 Reservation Timing Requirements. The Transmission Provider response time is measured from the most recent REBID time.
Standard 4.13: The following timing requirements shall apply to all reservation requests:
| Class | Service Increment | Time QUEUED Prior to Start | Provider Evaluation Time Limit¹ | Customer Confirmation Time Limit² after ACCEPTED or COUNTEROFFER³ | Provider Counter Time Limit after REBID⁴ |
|-----------|-------------------|----------------------------|---------------------------------|---------------------------------------------------------------|----------------------------------------|
| Non-Firm | Hourly | <1 hour | Best effort | 5 minutes | 5 minutes |
| Non-Firm | Hourly | >1 hour | 30 minutes | 5 minutes | 5 minutes |
| Non-Firm | Hourly | Day ahead | 30 minutes | 30 minutes | 10 minutes |
| Non-Firm | Daily | N/A | 30 minutes | 2 hours | 10 minutes |
| Non-Firm | Weekly | N/A | 4 hours | 24 hours | 4 hours |
| Non-Firm | Monthly | N/A | 2 days ⁵ | 24 hours | 4 hours |
| Firm | Daily | < 24 hours | Best effort | 2 hours | 30 minutes |
| Firm | Daily | N/A | 30 days⁶ | 24 hours | 4 hours |
| Firm | Weekly | N/A | 30 days⁶ | 48 hours | 4 hours |
| Firm | Monthly | N/A | 30 days⁶ | 4 days | 4 hours |
| Firm | Yearly | 60 days ⁷ | 30 days | 15 days | 4 hours |
Notes for Table 4-2:
¹ Consistent with regulations and filed tariffs, measurement starts at the time the request is QUEUED.
² Confirmation time limits are not to be interpreted to extend scheduling deadlines or to override preexemption deadlines.
³ Measurement starts at the time the request is first moved to either ACCEPTED or COUNTEROFFER. The time limit does not reset on subsequent changes of state.
⁴ Measurement starts at the time the Transmission Customer changes the state to REBID. The measurement resets each time the request is changed to REBID.
⁵ Days are defined as calendar days.
Subject to expedited time requirements of Section 17.1 of the pro forma tariff, Transmission Providers shall make best efforts to respond within 72 hours, or prior to the scheduling deadline, whichever is earlier, to a request for Daily Firm Service received during period 2-30 days ahead of the service start time.
Subject to Section 17.1 of the pro forma tariff, whenever feasible and on a nondiscriminatory basis, transmission providers should accommodate requests made with less than 60 days notice.
Section 4.4 Negotiations With Competing Bids for Constrained Resources
Competing bids exist when multiple requests cannot be accommodated due to a lack of available transmission capacity. One general rule is that OASIS requests should be evaluated and granted priority on a first-come-first-served basis established by OASIS QUEUED time. Thus, the first to request service should get it, all else being equal.
Exceptions to this first-come-first-served basis occur when there are competing requests for limited resources and the requests have different priorities established by FERC regulations and filed tariffs. Prior to the introduction of price negotiations, the attribute values that have served as a basis for determining priority include:
I. Type (Network, Point-to-point)
II. Class (Firm, Non-Firm)
III. Increment (Hourly, Daily, Weekly, Monthly, Yearly)
IV. Duration (the amount of time between the Start Date and the Stop Date)
V. Amount (the MW amount)
Under a negotiation model, price can also be used as an attribute for determining priority. The negotiation process increases the possibility that a Transmission Provider will be evaluating multiple requests that cannot all be accommodated due to limited resources. In this scenario, it is possible that an unconfirmed request with an earlier QUEUED time could be preempted (SUPERSEDED). For this to occur, the subsequent request would be of higher priority or of greater price.
Standard 4.14: Consistent with regulations and filed tariffs, the following are
recommended relative priorities of Service Request Tiers\(^2\). Specific exceptions may exist in accordance with filed tariffs. The priorities refer only to negotiation of service and do not refer to curtailment priority.
4.14.1. Service Request Tier 1: Native load, Network, or Long-term Firm
4.14.2. Service Request Tier 2: Short-term Firm
4.14.3. Service Request Tier 3: Network Service From Non-designated Resources
4.14.4. Service Request Tier 4: Non-firm
4.14.5. Service Request Tier 5: Non-firm Point-to-point Service over secondary receipt and delivery points
4.14.6. Service Request Tier 6: Non-firm Next Hour Market Service
**Standard 4.15:** Consistent with regulations and filed tariffs, reservation requests shall be handled in a first-come-first-served order based on QUEUE_TIME.
**Standard 4.16:** Consistent with regulations and filed tariffs, Table 4-3 describes the relative priorities of competing service requests and rules for offering right-of-first-refusal. While the table indicates the relative priorities of two competing requests, it also is intended to be applied in the more general case of more than two competing requests.
### Table 4-3
**Priorities for Competing Reservation Requests**
| ROW | Request 1 | Is Preempted by Request 2 | Right of First Refusal |
|-----|------------------------------------------------|------------------------------------------------------------------------------------------|------------------------|
| 1 | Tier 1: Long-term Firm, Native Load, and Network Firm | N/A - Not preempted by a subsequent request. | N/A |
| 2 | Tier 2: Short-term Firm | Tier 1: Long-term Firm, Native Load, and Network Firm, while Request 1 is conditional. Once Request 1 is unconditional, it may not be preempted. | No |
| 3 | Tier 2: Short-term Firm | Tier 2: Short-term Firm of longer term (duration), while Request 1 is conditional. Once Request 1 is unconditional, it may not be preempted.\(^1\) | Yes, while Request 1 is conditional. Once Request 1 is unconditional, it may not be preempted and right of first refusal is not applicable. |
\(^1\)Note: The term Tier is introduced to avoid confusion with existing terms such as TS_CLASS.
| | Tier 3: Network Service From Non-Designated Resources | Tiers 1 and 2: All Firm (including Network). | No |
|---|-----------------------------------------------------|---------------------------------------------|----|
| 5 | Tier 4: All Non-Firm PTP | Tiers 1 and 2: All Firm (including Network). | No |
| 6 | Tier 4: All Non-Firm PTP | Tier 3: Network Service from Non-Designated Resources. | No |
| 7 | Tier 4: All Non-Firm PTP | Tier 4: Non-firm PTP of a longer term (duration) \(^1\). Except in the last hour prior to start (See Standard 4.23). | Yes \(^2\) |
| 8 | Tier 4: All Non-Firm PTP | Tier 4: Non-firm PTP of equal term (duration) \(^1\) and higher price, when Request 1 is still unconfirmed and Request 2 is received pre-confirmed. A confirmed non-firm PTP may not be preempted for another non-firm request of equal duration. (See Standards 4.22 and 4.25.) | Yes \(^3\) |
| 9 | Tier 5: Non-firm PTP Service over secondary receipt and delivery points. | Tier 5 can be preempted by Tiers 1 through 4. | No |
| 10| Tier 6: Non-firm Next Hour Market Service | Tier 6 can be preempted by Tiers 1 through 5. | No |
\(^1\) Longer duration, in addition to being higher SERVICE_INCREMENT (i.e., WEEKLY has priority over DAILY), also may mean more multiples of the same SERVICE_INCREMENT (i.e., 3 days may have priority over 2 days). Multiple service increments must be at the same level of capacity.
\(^2\) Right of first refusal when a subsequent request is received of a longer duration applies only if the first request is confirmed.
Right of first refusal when a subsequent request is received of an equal duration and higher price applies only when the first request is unconfirmed and the subsequent request is received preconfirmed (see Standards 4.22 and 4.26).
**Standard 4.17:** For a request or reservation that is Superseded or Displaced, the Transmission Provider must indicate the Assignment Reference Number of the competing request and the reason for denial of service in the SELLER_COMMENTS field.
**Standard 4.18:** Given competing requests for a limited resource and a right-of-first-refusal is not required to be offered, the Transmission Provider may immediately move requests in the CONFIRMED state to DISPLACED, or from an ACCEPTED or COUNTEROFFER state to SUPERSEDED, if the competing request is of higher priority, based on the rules represented in Table 4-3. These state changes require dynamic notification to the Customer if the Customer has requested dynamic notification on OASIS.
**Standard 4.19:** In those cases where right-of-first-refusal is required to be offered, the Transmission Provider shall notify the Customer, through the use of a COUNTEROFFER, of the opportunity to match the subsequent offer.
**Standard 4.20:** A Customer who has been extended a right-of-first-refusal shall have a confirmation time limit equal to the lesser of a) the Customer Confirmation Time Limit in Table 4-2 or b) 24 hours.
**Standard 4.21:** A Transmission Provider shall apply all rights-of-first-refusal in a nondiscriminatory and open manner for all Customers.
**Standard 4.22:** Once a non-firm PTP request has been confirmed, it shall not be displaced by a subsequent non-firm PTP request of equal duration and higher price.
**Standard 4.23:** A confirmed, non-firm PTP reservation for the next hour shall not be displaced within one hour of the start of the reservation by a subsequent non-firm PTP reservation request of longer duration.
**Standard 4.24:** A Transmission Provider shall accept any reservation request submitted for an unconstrained Path if the Customer's bid price is equal to or greater than the Transmission Provider's posted offer price at the time the request was queued, even if
later requests are submitted at a higher price. This standard applies even when the first request is still unconfirmed, unless the Customer Confirmation Time Limit has expired for the first request.
**Standard 4.25:** Once an offer to provide non-firm PTP transmission service at a given price is extended to a Customer by the Transmission Provider, and while this first request is still unconfirmed but within the Customer Confirmation Time Limit, the Transmission Provider shall not preempt or otherwise alter the status of that first request on receipt of a subsequent request of the same Tier and equal duration at a higher price, unless the subsequent request is submitted as pre-confirmed.
**Standard 4.26:** If during a negotiation of service (i.e., prior to Customer confirmation) a subsequent pre-confirmed request for service over the same limited resource of equal duration but higher price is received, the Transmission Provider **must** COUNTEROFFER the price of service on the prior COUNTEROFFER or ACCEPTED price to match the competing offer, in order to give the first Customer an opportunity to match the offer. This practice must be implemented in a non-discriminatory manner.
**Standard 4.27:** Whenever a request or reservation is set to the state of Invalid, Refused, Declined, Superseded, Retracted, Annulled, or Displaced, the Transmission Provider or Seller shall enter the reason for the action in the SELLER_COMMENTS field.
**Section 5 Procurement of Ancillary and Other Services**
**Section 5.1 Introduction**
Phase IA OASIS data templates allow the coupling of ancillary service arrangements with the purchase of transmission service for the purpose of simplifying the overall process for Customers. Transmission Providers must indicate (consistent with filed tariffs), which services are MANDATORY (must be taken from the Primary Transmission Provider), REQUIRED (must be provided for but may be procured from alternative sources), or OPTIONAL (not required as a condition of transmission service).
The Transmission Customer should make known to the Transmission Provider at the time of the reservation request certain options related to arrangement of ancillary services. The Transmission Customer may indicate:
a. I will take all the MANDATORY and REQUIRED ancillary services from the Primary Transmission Provider
b. I will take REQUIRED ancillary services from Third Party Seller X
c. I would like to purchase OPTIONAL services
d. I will self provide ancillary services
e. I will arrange for ancillary services in the future (prior to scheduling)
While these interactions are available in the Phase IA S&CP Document, there is a need to clarify the associated business practices. The standards in Section 5 apply to services defined in filed tariffs.
Section 5.2 Transmission Provider Requirements
Standard 5.1: The Transmission Provider shall designate which ancillary services are MANDATORY, REQUIRED, or OPTIONAL for each offered transmission service or each transmission path to the extent these requirements can be determined in advance of the submittal of a reservation request on a specific Path by a Transmission Customer.
Standard 5.2: A Transmission Provider shall modify a Transmission Customer’s service request to indicate the Transmission Provider as the SELLER of any ancillary service, which is MANDATORY, to be taken from the Transmission Provider.
Standard 5.3: For REQUIRED and OPTIONAL services, the Transmission Provider shall not select a SELLER of ancillary service without the Transmission Customer first selecting that SELLER.
Standard 5.4: A Transmission Provider may accept a Transmission Customer’s request for an ancillary service, which is not MANDATORY or REQUIRED, but shall indicate to the Transmission Customer at the time of acceptance in SELLER_COMMENTS that the service is not MANDATORY or REQUIRED.
Section 5.3 Transmission Customer Requirements
Standard 5.5: The Transmission Customer shall indicate with the submittal of a transmission reservation request, the preferred options for provision of ancillary services, such as the desire to use an alternative resource. The Transmission Provider shall post itself as the default ancillary service provider, if a Transmission Customer fails to indicate a third party SELLER of ancillary services. However, the Transmission Customer may
change this designation at a later date, so long as this change is made prior to the Transmission Provider's scheduling deadline.
**Standard 5.6:** A Transmission Customer may, but is not required to, indicate a third party SELLER of ancillary services, if these services are arranged by the Transmission Customer off the OASIS and if such arrangements are permitted by the Transmission Provider's tariff. The Transmission Provider shall post itself as the default ancillary service provider, if a Transmission Customer fails to indicate a third party SELLER of ancillary services. However, the Transmission Customer may change this designation at a later date, so long as this change is made prior to the Transmission Provider's scheduling deadline.
**Section 6 - Pathnaming Standards**
**Section 6.1 Introduction**
The Data Element Dictionary of the OASIS S&CP Document, Version 1.3, defines a path name in terms of a 50-character alphanumeric string:
```
RR/TPTP/PATHPATHPATH/OPTIONALFROM-OPTIONALTOTO/SPR
```
RegionCode/TransmissionProviderCode/PathName/OptionalFrom-To(POR-POD)/Spare
This definition leaves it to the Transmission Providers to name the paths from their own perspective. The following standards provide an unambiguous convention for naming paths and will produce more consistent path names.
**Section 6.2 Transmission Provider Requirements**
**Standard 6.1:** A transmission provider shall use the path naming convention defined in the S&CP Data Dictionary for the naming of all reservable paths posted on OASIS.
**Standard 6.2:** A transmission provider shall use the third field in the path name to indicate the sending and receiving control areas. The control areas shall be designated using standard NERC codes for the control areas, separated by a hyphen. For example, the first three fields of the path name will be:
```
RR/TPTP/CAXX-CAYY/
```
Standard 6.3: A transmission provider shall use the fourth field of the path name to indicate POR and POD separated by a hyphen. For example, a path with a specific POR/POD would be shown as:
RR/TPTP/CAXX-CAYY/PORPORPORPOR-PODPODPODPOD/
If the POR and POD are designated as control areas, then the fourth field may be left blank (as per the example in 6.2).
Standard 6.4: A transmission provider may designate a sub-level for Points of Receipt and Delivery. For example, a customer reserves a path to POD AAAA. The ultimate load may be indeterminate at the time. Later, the customer schedules energy to flow to a particular load that may be designated by the transmission provider as a sub-level Point of Delivery. This option is necessary to ensure certain transmission providers are not precluded from using more specific service points by the inclusion of the POR/POD in the path name. All sub-level PORs and PODs must be registered as such on http://www.tsin.com.
Section 7 – Next Hour Market Service
Section 7.1 Introduction
The standards in this section apply to the offering of Next Hour Market (NHM) Service only. The Commission has designated this service as voluntary for a transmission provider to offer. Therefore the standards apply to a transmission provider only if that provider offers NHM Service, in which case the standards become mandatory for that provider.
Section 7.2 Transmission Provider Requirements
Standard 7.1: Use of NHM Service shall be limited to interchange transactions having a duration of one clock-hour and requested no earlier than 60 minutes prior to the start time of the transaction.
Standard 7.2: A transmission provider offering NHM Service shall allow an eligible transmission customer to request a NHM Service reservation electronically using protocols compliant with the NERC ETAG Specification 1.6.
Standard 7.3: A transmission provider offering NHM Service shall allow a transmission customer to request NHM Service for one or more path segments of a tag by designating: (a) 0-NX as the transmission product code under the OASIS block and (b) BUYATMARKET as the OASIS reservation identifier.
Standard 7.4: A transmission provider offering NHM Service shall consider the submittal of a tag designating that provider on one or more path segments using NHM Service to include a pre-confirmed request for the necessary transmission reservation and associated mandatory ancillary services for each designated path segment, for the hour indicated. No additional confirmation steps shall be required by the transmission customer for a NHM Service transmission reservation and associated ancillary services.
Standard 7.5: A transmission provider offering NHM Service shall consider set the amount of the NHM Service reservation as:
a. The amount of the Transmission Provider Product, if specified.
b. In accordance with the Transmission Provider’s tariff, the MW amount at the POR or POD for that Provider in the Loss Table, if Transmission Provider Product is not specified.
c. The MW amount in the Energy Profile, if neither Transmission Provider Product amount nor Provider Loss Table amounts are specified.
Standard 7.6: The OASIS queue time of a NHM Service request or reservation shall be the transmission provider ETAG approval service receipt time, unless a system failure requires the use of ETAG backup procedures, in which case the OASIS queue time shall be the time the tag is received by the transmission provider.
Standard 7.7: The 0-NX designation in the tag assigns as transmission customer, for all NHM Service path segments in the transaction, the PSE that is designated as the Purchasing-Selling Entity (PSE) responsible for the tag. A PSE submitting a tag may not designate a NHM Service reservation for another PSE and a transmission provider may not assign a reservation to any transmission customer other than the PSE submitting the NHM Service tag.
Standard 7.8: When evaluating competing requests for transmission reservations, a transmission provider offering NHM Service shall consider the NHM Service to have a priority lower than Tier 5 – point-to-point service over secondary receipt and delivery points.
Standard 7.9: Once a tag goes to IMPLEMENT or CONDITIONAL status in ETAG, the transmission provider shall consider the associated NHM Service reservations to be confirmed. Since the NHM Service confirmed reservation(s) are by definition less than one hour prior to start, these reservations shall not be displaced by a subsequent non-firm reservation of higher priority.
Standard 7.10: The transmission customer shall be obligated to pay for the transmission service under the terms of the tariff at the posted offer price for non-firm hourly service, once the interchange transaction tag is changed to the IMPLEMENT or CONDITIONAL status in ETAG. In the event of a voluntary withdrawal or reduction in the amount or duration of the service by the transmission customer after the tag has changed to IMPLEMENT or CONDITIONAL, the transmission customer shall remain obligated to pay for the full amount of the approved request. In the event of an involuntary curtailment or reduction of the service, initiated by the transmission provider or any other transmission provider, the transmission customer shall not be obligated to pay for any portions of the NHM Service that were involuntarily curtailed. In the case of involuntary curtailment or reduction, payment shall be based on a calculation of the MWhours actually used.
Standard 7.11: In the case that a transaction uses NHM Service for all required path segments in the tag, the default condition of the tag is NOT approved unless all required transmission providers and control areas indicate tag approval.
Standard 7.12: In the case that a transaction mixes one or more transaction path segments that use NHM Service with one or more path segments that use other types of transmission service, then 1) as long as the NHM Service path segment(s) are not fully approved, then the tag shall default to NOT approved; and 2) if all NHM Service path segments in the ETAG are fully approved, then the tag shall revert to the normal default status as specified in NERC Operating Policy 3 and associated Appendices.
Standard 7.13: The transmission customer shall be required to submit a NHM Service transaction request prior to the tag submittal time limit as specified in NERC Operating Policy 3 and associated Appendices, and no earlier than 60 minutes prior to the start of the transaction.
Standard 7.14: The approval mechanism for a NHM Service reservation shall be the tag approval. If the tag is approved and moved to the IMPLEMENT or CONDITIONAL state, all required NHM Service transmission reservations associated with that tag shall be
considered confirmed reservations. If one or more transmission providers do NOT approve their segment(s) of the transaction, then the transaction shall be considered NOT approved. Each transmission provider designated in a tag that does not approve that segment of the tag shall indicate that the associated reservation for that segment is REFUSED. If a designated transmission provider in a NHM Service path segment approves the tag but the tag is not approved through the action or inaction of another transmission provider, then that transmission provider shall indicate that reservation is ANNULLED.
**Standard 7.15:** The transmission provider shall assign the reservation request and final disposition status on behalf of the transmission customer within one hour of the requested start of the NHM Service transaction, regardless of the ultimate disposition of the tag.
**Standard 7.16:** NHM Service shall have the lowest curtailment priority in the event that a curtailment or reduction of transfers is initiated. Specifically, NHM Service (0-NX) shall have a NERC Curtailment Priority of 0.
1. INTRODUCTION
1.1 DEFINITION OF TERMS
The following definitions are offered to clarify discussions of the OASIS in this document.
a. **Transmission Services Information (TS Information)** is transmission and ancillary services information that must be made available by public utilities on a non-discriminatory basis to meet the regulatory requirements of transmission open access.
b. **Open Access Same-Time Information System (OASIS)** comprises the computer systems and associated communications facilities that public utilities are required to provide for the purpose of making available to all transmission users comparable interactions with TS Information.
c. **Open Access Same-Time Information System Node (OASIS Node)** is a subsystem of the OASIS. It is one computer system in the (OASIS) that provides access to TS Information to a Transmission Customer.
d. **Transmission Provider (TP or Primary Provider)** is the public utility (or its designated agent)
that owns, operates or controls facilities used for the transmission of electric energy in interstate commerce. (This is the same term as is used in Part 35.3).
e. **Transmission Customer (TC or Customer)** is any eligible Customer (or its designated agent) that can or does execute a transmission service agreement or can or does receive transmission service. (This is the same term as is used in Part 35.3).
f. **Secondary Transmission Provider (ST, Reseller, or Secondary Provider)** is any Customer who offers to sell transmission capacity it has purchased. (This is the same as Reseller in Part 37).
g. **Transmission Services Information Provider (TSIP)** is a Transmission Provider or an agent to whom the Transmission Provider has delegated the responsibility of meeting any of the requirements of Part 37. (This is the same as Responsible Party in Part 37).
h. **Value-Added Transmission Services Information Provider (VTSIP)** is an entity who uses TS Information in the same manner as a Customer and provides value-added information services to its Customers.
2. NETWORK ARCHITECTURE REQUIREMENTS
2.1 ARCHITECTURE OF OASIS NODES
a. **Permit Use of Any OASIS Node Computers**: TSIPs shall be permitted to use any computer systems as an OASIS Node, so long as they meet the OASIS requirements.
b. **Permit Use of Any Customer Computers**: OASIS Nodes shall permit the use by Customers of any commonly available computer systems, as long as they support the required communication links to the Internet.
c. **Permit the Offering of Value-Added Services**: TSIPs are required, upon request, to provide their Customers the use of private network connections on a cost recovery basis. Additional services that are beyond the scope of the minimum OASIS requirements are also permitted. When provided, these private connections and additional services shall be offered on a fair and non-discriminatory basis to all Customers who might choose to use these services.
d. **Permit Use of Existing Communications Facilities**: In implementing the OASIS, the use of existing communications facilities shall be permitted. The use of OASIS communication facilities for the exchange of information beyond that required for open transmission access (e.g., transfer of system security or operations data between regional control centers) shall also be permitted, provided that such use does not negatively impact the exchange of open transmission access data and is consistent with the Standards of Conduct in Part 37.
e. **Single or Multiple Providers per Node**: An OASIS Node may support a single individual Primary Provider (plus any Secondary Providers) or may support many Primary Providers.
2.2 INTERNET-BASED OASIS NETWORK
a. **Internet Compatibility**: All OASIS Nodes shall support the use of internet tools, internet directory services, and internet communication protocols necessary to support the Information Access requirements stated in Section 4.
b. **Connection through the Public Internet**: Connection of OASIS Nodes to the public Internet is required so that Users may access them through Internet links. This connection shall be made through a firewall to improve security.
c. **Connection to a Private Internet Network**: OASIS Nodes shall support private connections to any OASIS User (User) who requests such a connection. The TSIP is permitted to charge the User, based on cost, for these connections. The same internet tools shall be required for these private networks as are required for the public Internet. Private connections must be provided to all users on a fair and nondiscriminatory basis.
d. **Internet Communications Channel**: The OASIS Nodes shall utilize a communication channel to the Internet which is adequate to support the performance requirements given the number of Users subscribed to the Providers on the Node (see Section 5.3).
2.3 COMMUNICATION STANDARDS REQUIRED
a. **Point-to-Point Protocol (PPP) and Internet Protocol Control Protocol (IPCP)** (reference RFCs 1331 and 1332) shall be supported for private internet network dial-up connections.
b. **Serial Line Internet Protocol (SLIP)** (reference RFC 1055) shall be supported for private internet network dial-up connections.
c. **Transport Control Protocol and Internet Protocol (TCP/IP)** shall be the only protocol set used between OASIS Nodes whenever they are directly interconnected, or between OASIS Nodes and Users using private leased line internet network connections.
d. **Hyper Text Transport Protocol (HTTP), Version 1.0** (RFC 1945), shall be supported by TSIPs so that Users= web browsers can use it to select information for viewing displays and for downloading and uploading files electronically.
e. **Internet Protocol Address**: All OASIS Nodes are required to use an IP address registered with the Internet Network Information Center (InterNIC), even if private connections are used.
### 2.4 INTERNET TOOL REQUIREMENTS
Support for the following specific internet tools is required, both for use over the public Internet as well as for any private connections between Users and OASIS Nodes:
a. **Browser Support**: OASIS Nodes shall insure that Users running minimally either Netscape's Navigator version 4.0.x or Microsoft's Internet Explorer version 4.0.x browsers (or any other commercially or privately available browser supporting that set of capabilities common to both of these industry standard browsers) shall have a fully functional user interface based on the Interface Requirements defined in Section 4.
b. **HTML Forms** shall be provided by the TSIPs to allow Customers to enter information to the OASIS Node.
c. **Domain Name Service (DNS)** (ref. RFC 1034, 1035) shall be provided as a minimum by the TSIPs (or their Internet Service Provider) for the resolution of IP addresses to allow Users to navigate easily between OASIS Nodes.
d. **Simple Network Management Protocol (SNMP)** is recommended but not required to provide tools for operating and managing the network, if private interconnections between OASIS Nodes are established.
e. **The Primary Provider shall support E-mail** for exchanges with Customers, including the sending of attachments. The protocols supported shall include, as a minimum, the Simple Messaging Transfer Protocol (SMTP), Post Office Protocol (POP), and Multipurpose Internet Mail Extensions (MIME).
### 2.5 NAVIGATION AND INTERCONNECTIVITY BETWEEN OASIS NODES
a. **World Wide Web Browsers**: TSIPs shall permit Users to navigate using WWW browsers for accessing different sets of TS Information from one Provider, or for getting to TS Information from different Providers on the same OASIS Node. These navigation methods shall not favor User access to any Provider over another Provider, including Secondary Providers.
b. **Internet Interconnection across OASIS Nodes**: Navigation tools shall not only support navigation within the TSIP’s Node, but also across interconnected
OASIS Nodes. This navigation capability across interconnected Nodes shall, as a minimum, be possible through the public Internet.
3. INFORMATION ACCESS REQUIREMENTS
3.1 REGISTRATION AND LOGIN REQUIREMENTS
a. **Location of Providers:** To provide Users with the information necessary to access the desired Provider, all Primary Providers shall register their OASIS Node URL address with www.tsin.com. This URL address should include the unique four letter acronym the Primary Provider will use as the PRIMARY_PROVIDER_CODE.
b. **Initial User Registration:** TSIPs shall require Users to register with a Primary Provider before they are permitted to access the Provider's TS Information. There must be a reference pointing to registration procedures on each Primary Provider's home page. Registration procedures may vary with the administrative requirements of each Primary Provider.
c. **Initial Access Privileges:** Initial registration shall permit a User only the minimum Access Privileges. A User and a Primary Provider shall mutually determine what access privilege the User is permitted. The TSIP shall set a User's Access Privilege as authorized by the Primary Provider.
d. **User Login:** After registration, Users shall be required to login every time they establish a dial-up connection. If a direct, permanent connection has been established, Users shall be required to login initially or any time the connection is lost. Use of alternative forms of login and authentication using certificates and public key standards is acceptable.
e. **User Logout:** Users shall be automatically logged out any time they are disconnected. Users may logout voluntarily.
3.2 SERVICE LEVEL AGREEMENTS
Service Level Agreements: It is recognized that Users will have different requirements for frequency of access, performance, etc., based on their unique business needs. To accommodate these differing requirements, TSIPs shall be required to establish a "Service Level Agreement" with each User, which specifies the terms and conditions for access to the information posted by the Providers. The default Service Level Agreement shall be Internet access with the OASIS Node meeting all minimum performance requirements.
3.3 ACCESS TO INFORMATION
a. **Display:** TSIPs shall format all TS Information in HTML format such that it may be viewed and read directly by Users without requiring them to download it. This information shall be in clear English as much as possible, with the definitions of any mnemonics or abbreviations available on-line. The minimum information that is to be displayed is provided in the Templates in Section 4.3.
b. **Read-Only Access to TS Information:** For security reasons, Users shall have read-only access to the TS Information. They shall not be permitted to enter any information except where explicitly allowed, such as HTML transaction request forms or by the Templates in Section 4.3.
c. **Downloading Capability**: Users shall be able to download from an OASIS Node the TS Information in electronic format as a file. The rules for formatting of this data are described in Section 4.2.
d. **On-Line Data Entry on Forms**: Customers shall be permitted to fill out online the HTML forms supplied by the TSIPs, for requesting the purchase of services and for posting of products for sale (by Customers who are Resellers). Customers shall also be permitted to fill-out and post Want-Ads.
e. **Uploading Capability**: Customers shall be able to upload to OASIS Nodes the filled-out forms. TSIPs shall ensure that these uploaded forms are handled identically to forms filled out on-line. TSIPs shall provide forms that support the HTTP input of Comma Separated Variable (CSV) records. This capability shall permit a Customer to upload CSV records using standard Web browsers or additional client software (such as fetch_http) to specify the location of the CSV records stored on the Customer's hard disk.
f. **Selection of TS Information**: Users shall be able to dynamically select the TS Information they want to view and/or download. This selection shall be, as a minimum, through navigation to text displays, the use of pull-down menus to select information for display, data entry into forms for initiating queries, and the selection of files to download via menus.
### 3.4 PROVIDER UPDATING REQUIREMENTS
The following are the Provider update requirements:
a. **Provider Posting of TS Information**: Each Provider (including Secondary Providers and Value-Added Providers) shall be responsible for writing (posting) and updating TS Information on their OASIS Node. No User shall be permitted to modify a Provider's Information.
b. **INFO.HTM**: Each Provider shall provide general information on how to use their node and describe all special aspects, such as line losses, congestion charges and assistance. The address for the directory of this information shall be INFO.HTM (case sensitive), an HTML web page, linked to the Provider's registered URL address. See section 4.5 for information required to be on the web page INFO.HTM.
c. **OASIS Node Space for Secondary Provider**: To permit Users to readily find TS Information for the transmission systems that they are interested in, TSIPs shall provide database space on their OASIS Node for all Secondary Providers who have purchased, and who request to resell, transmission access rights for the power systems of the Primary Providers supported by that Node.
d. **Secondary Provider Posting to Primary Provider Node**: The Secondary Providers shall post the relevant TS Information on the OASIS Node associated with each Primary Provider from whom the transmission access rights were originally purchased.
e. **Secondary Provider Posting Capabilities**: The TSIPs shall ensure that the Secondary Providers shall be able to post their TS Information to the appropriate OASIS Nodes using the same tools and capabilities as the Customers, meet the same performance criteria as the Primary Providers, and allow users to view these postings on the same display page, using the same tables, as similar capacity being sold by the Primary Providers.
f. **Free-Form Posting of non-TS Information**: The TSIP shall ensure that Providers and Customers may post non-TS Information, such as Want-Ads and that this information is easily accessible by all Users. The TSIP shall be allowed to limit the volume and/or to charge for the posting of non-TS Information.
g. **Time Stamps**: All TS Information shall be associated with a time stamp to show when it was posted to the OASIS Node.
h. **Transaction Tracking by an Assignment Reference Number**: All requests for purchase of transmission or ancillary services will be marked by a unique accounting number, called an assignment reference.
i. **Time-Stamped OASIS Audit Log**: All posting of TS Information, all updating of TS Information, all User logins and disconnects, all User download requests, all Service Requests, and all other transactions shall be time stamped and stored in an OASIS Audit Log. This OASIS Audit Log shall be the official record of interactions, and shall be maintained on-line for download for at least 90 days. Changes in the values of posted Capacity (Available Transfer Capability) must be stored in the on-line Audit Log for 20 days. Audit records must be maintained for 3 years off-line and available in electronic form within seven days of a Customer request.
j. **Studies**: A summary description with dates, and programs used of all transmission studies used to prepare data for the Primary Provider's ATC and TTC calculation will be provided along with information as to how to obtain the study data and results.
k. **Organizational Charts**: As required in 83 FERC 61,301, each Provider shall provide the company's organizational chart, job descriptions, and personnel names, using formats viewable and downloadable directly (i.e., without the use of external or third-party plug-ins or application software) by the browsers listed in Section 2.4a.
### 3.5 ACCESS TO CHANGED INFORMATION
a. **General Message & Log**: TSIPs shall post a general message and log that may be read by Users. The message shall state that the Provider has updated some information, and shall contain (or point to) a reverse chronological log of those changes. This log may be the same as the Audit Log. The User may use the manual capability to see the message.
b. **TSIP Notification Design Responsibilities**: The TSIP shall avoid a design that could cause serious performance problems by necessitating frequent requests for information from many Users.
### 3.6 USER INTERACTION WITH AN OASIS NODE
There are three basic types of User interactions which must be supported by the OASIS Node. These interactions are defined in Section 4.3.
a. **Query/Response**: The simplest level of interactions is the query of posted information and the corresponding response. The User may determine the scope of the information queried by specifying values, through an HTML form, a URL string, or an uploaded file, using Query Variables and their associated input values as defined with each Template in Section 4.3. The response will be either
an HTML display or a record oriented file, depending on the output format that the User requests. The TSIP may establish procedures to restrict the size of the response, if an overly broad query could result in a response that degrades the overall performance of the OASIS Node for their Users.
b. **Purchase Request**: The second type of Customer interaction is the submittal of a request to purchase a service. The Customer completes an input form, a URL string or uploads a file and submits it to the OASIS Node. The uploaded file can either be a series of Query Variables or a record oriented file. The Seller of the service, possibly off-line from the OASIS Node, processes the request and the status is updated accordingly. If the Seller approves the purchase request, then the Customer must again confirm it. Once the Customer confirms an approved purchase, a reservation for those services is considered to exist, unless later the reservation is reassigned, displaced, or annulled.
c. **Upload and Modify Postings**: Customers who wish to resell their rights may upload a form, create the appropriate URL or upload a file to post services for sale. A similar process applies to eligible Third Party Sellers of ancillary services. The products are posted by the TSIP. The seller may monitor the status of the services by requesting status information. Similarly the Seller may modify its posted transmission services by submitting a service modification request through a form, a URL query, or by uploading a file.
4. INTERFACE REQUIREMENTS
4.1 INFORMATION MODEL CONCEPTS
a. **ASCII-Based OASIS Templates**: For providing information to Users, TSIPs shall use the specified OASIS Templates. These Templates define the information that must be presented to Users, both in the form of graphical displays and as downloaded files. Users shall be able to request Template information using query-response data flows. The OASIS Templates are described in section 4.3. The Data Element Dictionary, which defines the Data Elements in the OASIS Templates, is provided in Appendix A. Data elements must be used in the exact sequence and number as shown in the Templates when file uploads and downloads are used. Although the contents of the graphical displays are precisely defined as the same information as in the Templates, the actual graphical display formats of the TS information are beyond the scope of the OASIS requirements. Due to the nature of graphical displays, there may be more than one graphical display used to convey the information in a single Template.
b. **ASCII-Based OASIS File Structures**: For uploading requests from and downloading information to Users, TSIPs shall use specific file structures that are defined for OASIS Template information (see section 4.2). These file structures are based on the use of headers that contain the Query Variable information, including the name of the OASIS Template. These headers thus determine the contents and the format of the data that follows. Although headers may not be essential if file transfers contain the exact sequence and number of Data Elements as the Templates, this feature is being preserved for possible future use when additional flexibility may be allowed.
4.2 OASIS NODE CONVENTIONS AND STRUCTURES
4.2.1 OASIS Node Naming Requirements
The following naming conventions shall be used to locate information posted on an OASIS Node. OASIS naming conventions shall conform to standard URL structures.
22.214.171.124 OASIS Node Names
In order to provide a consistent method for locating an OASIS Node, the standard Internet naming convention shall be used. All OASIS Node names shall be unique. Each Primary Provider OASIS Node name and home directory shall be registered with the master OASIS directory site at http://www.tsin.com. OASIS Node names shall be stored in an Internet DNS name directory.
126.96.36.199 OASIS Node and Primary Provider Home Directory
The home directory name on an OASIS Node shall be "OASIS" (all upper case) to identify that the directory is related to the OASIS. The directory of each Primary Provider shall be listed under the "OASIS" directory:
http://(OASIS Node name)/OASIS/(PRIMARY_PROVIDER_CODE)
Where:
(OASIS Node name) is the World Wide Web URL address of the OASIS Information Provider.
(PRIMARY_PROVIDER_CODE) (Case sensitive) is the 4-character acronym of the primary provider.
PRIMARY_PROVIDER_CODES shall be registered with the master OASIS directory site at http://www.tsin.com. A pointer to user registration information shall be located on the Primary Provider's home page.
188.8.131.52 CGI Script Names
Common Gateway Interface (CGI) scripts shall be located in the directory "data" as follows (case sensitive): http://(OASIS Node name)/OASIS/(PRIMARY_PROVIDER_CODE)/data/(cgi script name)?(Query Variables)
Where:
(cgi script name) is the OASIS Template name in lower case (see Section 4.3). Other cgi scripts may be defined as required to implement the HTML interface to the documented Templates.
(Query Variables) is a list of query variables with their settings formatted as defined by the HTTP protocol (i.e., URL encoded separated by ampersands).
Example:
To request the hourly schedule Template at Primary Provider WXYZ Co.
http://www.wxyz.com/OASIS/WXYZ/data/schedule?templ=schedule&ver=1.2&fmt=data&stime=19960412040000PD&sptime=19960412100000PD&pprov=wxyz
4.2.2 Data Element Dictionary
The following are the requirements for the Data Element Dictionary:
a. **Definition of OASIS Information Elements**: All OASIS Information Data Elements shall be defined in the Data Element Dictionary which will be stored in the OASIS Node directory:
- http://OASISNodeName/OASIS/(PRIMARY_PROVIDER_CODE)/ (datadic.htm | datadic.txt)
- Where:
- datadic.htm is the HTML version of the Data Element dictionary (case sensitive)
- datadic.txt is the ASCII text version of the Data Element dictionary (case sensitive)
- The Data Element Dictionary is defined in Appendix A.
b. **Provider-specific Data Element Values**: The valid values that certain OASIS Information Data Elements may take on, such as PATH_NAME, etc., are unique to a Primary Provider. Names that must be uniquely identified by Primary Provider shall be listed on-line on the OASIS Node via the LIST Template (see Section 4.3.5). In posting OASIS information associated with Data Elements which are not free-form text, TSIPs shall use only the accepted Data Element values listed in the Data Element Dictionary and/or those values posted in the LIST of provider specific names provided on the OASIS Node.
4.2.3 OASIS Template Constructs
184.108.40.206 Template Construction
Section 4.3 lists the set of OASIS Templates that shall be supported by all OASIS Nodes. These OASIS Templates are intended to be used precisely as shown for the transfer of data to/from OASIS Nodes, and identify, by Data Elements names, the information to be transferred. The construction of the OASIS Templates shall follow the rules described below:
a. **Unique OASIS Template Name**: Each type of OASIS Template shall be identified with a unique name which shall be displayed to the User whenever the OASIS Template is accessed.
b. **Transfer Protocol**: OASIS Templates are transferred using the HTTP protocol. Templates shall support both the "GET" and "POST" methods for transferring "query string" name/value pairs, as well as the OASIS specific "comma separated value"
(CSV) format for posting and retrieval of information from OASIS Nodes. HTML screens and forms shall be implemented for each OASIS Template.
c. **Source Information**: Each OASIS Template shall identify the source of its information by including or linking to the name of the Primary Provider, the Secondary Provider, or the Customer who provided the information.
d. **Time Of Last Update**: Each OASIS Template shall include a time indicating when it was created or whenever the value of any Data Element was changed.
e. **Data Elements**: OASIS Templates shall define the elementary Data Element Dictionary names for the data values to be transferred or displayed for that Template.
f. **Documentation**: OASIS Information shall be in non-cryptic English, with all mnemonics defined in the Data Element Dictionary or a glossary of terms. TSIPs shall provide on-line descriptions and help screens to assist Users understanding the displayed information. Documentation of all formats, contents, and mnemonics shall be available both as displays and as files that can be downloaded electronically. In order to meet the "User-Friendly" goal and permit the flexibility of the OASIS Nodes to expand to meet new requirements, the OASIS Templates shall be as self-descriptive as possible.
### 220.127.116.11 Template Categories
OASIS Templates are grouped into the following two major categories:
a. **Query/Response**: These Templates are used to query and display information posted on an OASIS Node. Each query/response Template accepts a set of user specified Query Variables and returns the appropriate information from data posted on the OASIS Node based on those Query Variables. The valid Query Variables and information to be returned in response are identified by Data Element in Section 4.3.
b. **Input/Response**: These Templates are used to upload/input information on an OASIS Node. The required input information and information to be returned in response are identified by Data Element in Section 4.3, Template Descriptions.
### 18.104.22.168 Template HTML Screens
Though the exact form and content of the HTML screens and forms associated with the OASIS Templates are not dictated by this document, the following guidelines shall be adhered to for all HTML screens and forms implemented on an OASIS Node:
a. **Data Element Headings**: Data displayed in an HTML screen/form shall be labeled such that the associated data value(s) is(are) easily and readily identifiable as being associated with a particular OASIS Template Data Element. HTML "Hot-Links" or other pointer mechanisms may be provided for Data Element headings in OASIS Templates which permit the User to access documentation describing the meaning, type, and format of the associated data.
b. **Display Limitations**: HTML screens and forms shall be implemented in such a way to allow the display of all data specified for each OASIS Template. This may take the form of "wrapping" of lines of information on the screen, the use of horizontal and/or vertical scrolling, or the use of "Hot-Links" or other pointer mechanisms. There is not necessarily a one-to-one relationship between HTML screens implemented on OASIS Nodes, and their associated Template. However,
all Template Data Elements shall be viewable through one or more HTML screens.
c. **Template Navigation:** HTML "Hot-Links" or other pointer mechanisms may be provided to assist the navigation between screens/forms associated with related OASIS Templates.
### 4.2.4 Query/Response Template Requirements
Retrieval of information posted on an OASIS Node is supported by the Query/Response Templates. The "query" identifies the OASIS Template and optionally supplies additional Data Elements that may be used to select specific information to be returned in the "response".
#### 22.214.171.124 Query Requirements
Query information is transferred to an OASIS Node using the HTTP protocol as a string of Query Variables in the form of name/value pairs. Query Variable name/value pairs are specified as a collection of encoded strings (e.g., blank characters replaced by plus (+) character, etc.) in the form of `name=value`, with each name/value pair separated by ampersands (&) (see section 4.2.6). OASIS Nodes shall support the following methods for Users to input Query information:
a. **HTML:** HTML FORM input and/or hypertext links shall be provided to allow Users to specify OASIS Template Query Variables. This will be the easiest way to obtain information and should be the choice of most casual Users and for simple requests. The exact nature and form of these HTML screens are not specified, and may differ between OASIS Nodes.
b. **GET Method:** The HTTP GET method for specifying query information appended to a standard OASIS URL shall be supported. Using this method, the `name=value` formatted Query Variables preceded by a question mark (?) are appended to the URL. Each "name" in a name/value pair corresponds to a Data Element name associated with that Template. OASIS Nodes shall support the specification of all Data Elements associated with a Template by both their full name and alias as defined in the Data Dictionary. The "value" in a name/value pair represents the value to be associated with the Data Element being specified in the appropriate format as defined in the Data Dictionary and encoded according to the HTTP protocol.
c. **POST Method:** The HTTP POST method for specifying query information in the message body shall be supported. Using this method, the `name=value` formatted Query Variables shall be transferred to an OASIS Node using the "Content-length:" HTTP header to define the length in bytes of the encoded query string and the "Content-type: application/x-www-formurlencoded" HTTP header to identify the data type included in the message body. Each "name" in a name/value pair corresponds to a Data Element name associated with that Template. An OASIS Node shall support the specification of all Data Elements associated with a Template by both their full name and alias as defined in the Data Dictionary. The "value" in a name/value pair represents the value to be associated with the Data Element being specified in the appropriate format as defined in the Data Dictionary and encoded according to the HTTP
protocol. User queries using any of the above methods are supported directly by the User's web browser software. More sophisticated data transfer mechanisms, such as the automated querying of information based on Query Variable strings contained in a User data file (i.e., "uploading a file containing a URL string), require appropriate software (e.g., "fetch_http") running on the User's computer system to effect the data transfer.
126.96.36.199 Response Requirements
In response to a validly formatted Query for each Query/Response OASIS Template, the OASIS Node shall return the requested information in one of two forms based on the User specified OUTPUT_FORMAT Query Variable:
a. **HTML**: If the User requests the response to have the format of "HTML" (OUTPUT_FORMAT=HTML) then the response from the OASIS Node shall be a web page using the HTML format. This shall be the default for all Query/Response Templates.
b. **CSV Format**: Comma Separated Value (CSV) format (OUTPUT_FORMAT=DATA) returns the requested information in the body of the HTTP response message. The "Content-length:" HTTP header shall define the length in bytes of the response, and the "Content-type: text/xoasis-csv" HTTP header shall be used to identify the data type included in the message body (see CSV File Format).
4.2.5 Input/Response Template Requirements
Input/Response Templates support the posting of information on an OASIS Node, including reservations for transmission/ancillary service and services for sale on the secondary market, etc. The "input" identifies the required data associated with an OASIS Template to be posted on the OASIS Node, and the "response" specifies the information returned to the User.
188.8.131.52 Input Requirements
Input information is transferred to an OASIS Node using the HTTP protocol as either a string of Query Variables in the form of name/value pairs, or as a Comma Separated Value (CSV) message. Query Variable name/value pairs are specified as a collection of encoded strings (e.g., blank characters replaced by plus (+) character, etc.) in the form of `name=value`, with each name/value pair separated by ampersands (&). CSV formatted messages are specified in the body of an HTTP message as a series of Data Records preceded by a fixed set of header records (see section 4.2.7). OASIS Nodes shall support the following methods for Users to transfer Input data:
a. **HTML**: HTML FORM input shall be provided to allow Users to specify the necessary Input data associated with each Input/Response OASIS Template. This may be in the form of fill in blanks, buttons, pull-down selections, etc., and may use either the GET or POST methods. The exact nature and form of these HTML screens are not specified, and may differ between OASIS Nodes.
b. **GET Method**: The HTTP GET method for specifying Input information in the form of a query string appended to a standard OASIS URL shall be supported.
Using this method, the name=value formatted Query Variables preceded by a question mark (?) are appended to the URL. Each "name" in a name/value pair corresponds to a Data Element name associated with that Template. OASIS Nodes shall support the specification of all Data Elements associated with a Template by both their full name and alias as defined in the Data Dictionary. The "value" in a name/value pair represents the value to be associated with the Data Element being specified in the appropriate format as defined in the Data Dictionary and encoded according to the HTTP protocol.
c. **POST Method**: The HTTP POST method for specifying Input information in the form of a query string in the message body shall be supported. Using this method, the name=value formatted Query Variables shall be transferred to an OASIS Node using the "Content-length:" HTTP header to define the length in bytes of the encoded query string and the "Content-type: application/x-www-form-urlencoded" HTTP header to identify the data type included in the message body. Each "name" in a name/value pair corresponds to a Data Element name associated with that Template. OASIS Nodes shall support the specification of all Data Elements associated with a Template by both their full name and alias as defined in the Data Dictionary. The "value" in a name/value pair represents the value to be associated with the Data Element being specified in the appropriate format as defined in the Data Dictionary and encoded according to the HTTP protocol.
d. **CSV Format**: Comma Separated Value (CSV) formatted Input information transferred in the body of a User's HTTP message shall be supported. The "Content-length:" HTTP header shall define the length in bytes of the Input, and the "Content-type: text/x-oasis-csv" HTTP header shall be used to identify the data type included in the message body.
### 184.108.40.206 Response to Input
In response to a validly formatted Input for each Input/Response OASIS Template, the OASIS Node shall return an indication as to the success/failure of the requested action. The OASIS Node shall respond to the Input in one of two forms, based on the OUTPUT_FORMAT, which was input by a User either as a Query Variable or in a CSV format Header Record:
a. **HTML**: If the User requests the response to have the format of "HTML" (OUTPUT_FORMAT=HTML) then the response from the OASIS Node shall be a web page using the HTML format. This shall be the default for all Input/Response Templates invoked using either the FORM, GET or POST methods of input.
b. **CSV Format**: Comma Separated Value (CSV) format (OUTPUT_FORMAT=DATA) returns the response information in the body of the HTTP response message. The "Content-length:" HTTP header shall define the length in bytes of the response, and the "Content-type: text/xoasis-csv" HTTP header shall be used to identify the data type included in the message body. This shall be the default for all Input/Response Templates invoked using the CSV Format methods of input.
### 4.2.6 Query Variables
220.127.116.11 General
Both Query/Response and Input/Response OASIS Templates shall support the specification of a query string consisting of Query Variables formatted as name/value pairs. OASIS Nodes shall support the specification of Data Element names ("name" portion of `name=value` pair) in both the full name and alias forms defined in the Data Dictionary. OASIS Nodes shall support the specification of Query Variables from the User using either the HTTP GET or POST methods. On input, Data Element names and associated values shall be accepted and processed without regard to case. On output, Data Element names and associated values may not necessarily retain the input case, and could be returned in either upper or lower case.
18.104.22.168 Standard Header Query Variables
The following standard Query Variable Data Elements shall be supported for all OASIS Templates and must be entered for each Query by a User:
- VERSION
- TEMPLATE
- OUTPUT_FORMAT
S&CP Version 1.4 July 26, 2000 16
- PRIMARY_PROVIDER_CODE
- PRIMARY_PROVIDER_DUNS
- RETURN_TZ
Since these header Query Variables must be supported for all Templates, they are not listed explicitly in the Template descriptions in Section 4.3. The User must enter all standard Header Query Variables with appropriate values.
22.214.171.124 Responses to Queries
Responses to Queries will include the following information as a minimum:
- TIME_STAMP
- VERSION
- TEMPLATE
- OUTPUT_FORMAT
- PRIMARY_PROVIDER_CODE
- PRIMARY_PROVIDER_DUNS
- RETURN_TZ
The additional information shall include:
a. The requested information as defined by the Template indicated in the Query
b. For CSV downloads, the additional header Data Elements required (see section 126.96.36.199)
188.8.131.52 Multiple Instances
Certain Query Variables may be repeated in a given Query/Response OASIS Template query string. Such multiple instances are documented in the Template definitions using an asterisk (*) after the Query Variable. When more than one instance of the Query
Variable is specified in the query string, OASIS Nodes shall recognize such multiple instances by either the Data Element's full name or alias suffixed with sequential numeric qualifiers starting with the number 1, (e.g., PATH_NAME1=abc&PATH_NAME2=xyz, or PATH1=abc&PATH2=xyz). At least 4 multiple instances will be permitted for each Query Variable marked with an asterisk (*).
184.108.40.206 Logical Operations
OASIS Nodes shall use the following logical operations when processing Query Variables for Query/Response OASIS Templates. All Query Variables, with the exception of multiple instances of the same Query Variable Data Element, shall be operated on to return information based on the logical- AND of those Query Variables. For example, the query string "SELLER_CODE=abc &PATH=xyz" should return information associated with only those records that are on transmission path 'xyz' AND associated with transmission provider "abc." Multiple instances of the same Query Variable shall be operated on as logical-OR. For example, "SELLER_CODE=abc &PATH1=xyz&PATH2=opq" should return information associated with transmission provider "abc" AND either transmission path "xyz" OR transmission path "opq". Some logical operations may exclude all possibilities, such that the responses may not contain any data.
220.127.116.11 Handling of Time Data Elements
In cases where a single Query Variable is provided to select information associated with a single Template Data Ele (e.g., TIME_OF_LAST_UPDATE), OASIS Nodes shall return to the User all requested information whose associat Data Element time value (e.g. TIME_OF_LAST_UPDATE) is equal to or later than the value specified by the Query Variable. In this case the stop time is implicitly "now". A pair of Query Variables (e.g. START_TIME_QUEUED and STOP_TIME_QUEUED) that represents the start and stop of a time interval but is associated with one single Template Data Element (e.g. TIME_QUEUED) shall be handled by OASIS Nodes to return to the User all requested information whose associated Data Element time value falls within the specified time interval. A pair of Query Variables (e.g. START_TIME and STOP_TIME Query Variables) that represents the start and stop of one time interval but is associated with another pair of Template Data Elements (e.g. START_TIME and STOP_TIME of a service offering) that represents a second time interval, shall be handled by OASIS Nodes to return to the User all requested information whose associated Data Element time interval overlaps any portion of the specified time interval. Specifically, the START_TIME Query Variable selects all information whose STOP_TIME Data Element value is later than the START_TIME Query Variable, and the STOP_TIME Query Variable selects all information whose START_TIME Data Element value is earlier than the STOP_TIME Query Variable. For example:
The transoffering Template query string "START_TIME 970101000000ES&STOP_TIME 970201000000ES" shall select from the OASIS database all associated offerings whose start/stop times overlap any portion of the time from 00:00 January 1, 1997, to 00:00 February 1, 1997. This would include offerings that (1) started prior to Jan. 1 and
stopped any time on or after Jan. 1, and (2) started on or after Jan 1 but before Feb 1
For changes to and from daylight savings time, either Universal Time or the correct time and zone must be used, based on whether daylight savings time is in effect. All time values shall be checked upon input to ensure their validity with respect to date, time, time zone, and daylight savings time.
18.104.22.168 Default Values
Query Variables that are not specified by the User may take on default values as appropriate for that Query Variable at the discretion of the OASIS TSIP.
22.214.171.124 Limitations on Queries
OASIS TSIP may establish validation procedures and/or default values for Query Variables to restrict the size and/or performance impact of overly broad queries.
4.2.7 CSV Format
126.96.36.199 General Record Format
OASIS Users shall be able to upload information associated with Input/Response OASIS Templates and download information associated with all OASIS Templates using a standardized Comma Separated Value (CSV) format. CSV formatted data is transferred to/from OASIS Nodes as part of the body of an HTTP message using the "Content-length:" HTTP header to define the length in bytes of the message body, and the "Content-type: text/x-oasis-csv" HTTP header to identify the data type associated with the message body. CSV formatted data consists of a fixed set of header records followed by a variable number of Data Records. Each record shall be separated by a carriage return plus line feed (denoted by the symbol 5 in all examples). The fields within a record shall be delimited by commas (,). All data within a CSV formatted message shall use printable ASCII characters with no other special embedded codes, with the exception of the special encoding requirements associated with text fields.
188.8.131.52 Input Header Records
The following standard header records are required for the uploading of Input data for all Input/Response OASIS Templates:
VERSION=nn.n5
TEMPLATE=aaaaaaaaaa5
OUTPUT_FORMAT=[DATA] 5
PRIMARY_PROVIDER_CODE=aaaa5
PRIMARY_PROVIDER_DUNS=nnnnnnnnn5
RETURN_TZ=aa5
DATA_ROWS=nnn5
COLUMN_HEADERS=[Template Data Element names separated by commas]5
The format of the value associated with each of the Input header record Data Elements are dictated by the Data Dictionary. The value associated with the DATA_ROWS Data
Element shall define the total number of Data Records that follow in the message after the COLUMN_HEADERS record. The COLUMN_HEADERS record defines, by Data Element name, the data associated with each comma separated column contained in each subsequent Data Record (row). On Input, either the Data Element's full name or alias listed in the Data Dictionary may be specified.
184.108.40.206 Response Header Records
When explicitly specified using the OUTPUT_FORMAT=DATA Query Variable or implied by the Input of a CSV format message, the OASIS Nodes shall respond with the following standard response header records for all OASIS Templates:
REQUEST_STATUS=nnn5
ERROR_MESSAGE=aaa5
TIME_STAMP=yyyymmddhhmmss tz5
VERSION=nn.n5
TEMPLATE=aaaaaaaaaa5
OUTPUT_FORMAT=DATA5
PRIMARY_PROVIDER_CODE=aaaa5
PRIMARY_PROVIDER_DUNS=nnnnnnnnn5
RETURN_TZ=tz5
DATA_ROWS=nnn5
COLUMN_HEADERS=[Template Data Element names separated by commas] 5
The format of the value associated with each of the Response header record Data Elements are dictated by the Data Dictionary. The value associated with the DATA_ROWS Data Element shall define the total number of Data Records returned in the message following the COLUMN_HEADERS header record. The COLUMN_HEADERS record defines, by Data Element name, the data associated with each comma-separated column contained in each subsequent Data Record (row). In all OASIS Node responses, the Data Element's full name shall be listed in the COLUMN_HEADERS record. The order of the column headings shall be the same as shown in the Templates for URL uploads and downloads. For graphical displays, the Provider may define the order that the Data Element names are shown.
220.127.116.11 Data Records
Data Records immediately follow the standard Input or Response header records. With the exception of Data Records grouped together as a single "logical record" through the use of Continuation Records, each Data Record in a CSV formatted Input message represents a single, complete execution of the associated OASIS Template. That is, sending five CSV formatted Input messages for a given Template to the same PRIMARY_PROVIDER_CODE with a single Data Record per message shall be handled in exactly the same fashion as sending a single CSV formatted Input message for the same Template and PRIMARY_PROVIDER_CODE which contains five Data Records. Each field (column) within each Data Record defines the value to be associated with the corresponding Data Element defined in the COLUMN_HEADERS record. The number of Data Records in the message is defined by the DATA_ROWS header record. The data values associated with each column Data Element are interpreted based on the Data Element type as defined in the Data Dictionary:
a. **Numeric Data Elements**: All numeric Data Elements shall be represented by an ASCII string of numeric digits in base ten, plus the decimal point.
b. **Text Data Elements**: Alphabetic and alphanumeric Data Elements shall be represented as ASCII strings and encoded using the following rules:
- Text strings that do not contain commas (,) or double quotes ("") shall be accepted both with and without being enclosed by double quotes.
- Text fields with commas (,) or double quotes ("") must be enclosed with double quotes. In addition double quotes within a text field shall be indicated by two double quotes ("").
- The Data Element field length specified in Data Dictionary does not include the additional double quotes necessary to encode text data.
c. **Null Data Elements**: Null Data Elements shall be represented by two consecutive commas (,) corresponding to the leading and trailing (if appropriate) Data Element comma separators. Null text strings may optionally be represented by two consecutive double quote characters within the leading and trailing comma separators (i.e., Y,"",Y).
### 18.104.22.168 Continuation Records
Continuation records shall be used to indicate that the information in multiple rows (records) is part of one logical record. Continuation records will be indicated through the use of a column header called CONTINUATION_FLAG. This column header is either the first column (if in a response to a query) or second column (if in a response to an input) in all Templates permitting continuation records. The first record shall contain an "N" in the CONTINUATION_FLAG column and each following record which is part of a continuation record shall contain a "Y" in this column, thus associating the information in that record with the information in the previous record. An "N" shall indicate that the record is not a continuation record. In addition to the CONTINUATION_FLAG Data Element identifying that a record is associated with a previous record, any unique record identifier associated with the first (CONTINUATION_FLAG = N) record shall be repeated in all subsequent continuation records returned in an OASIS response. Each Template that supports the use of continuation records and those particular Data Elements (COLUMN_HEADERS) that may be referenced in one or more continuation records are identified in Section 4.3. On upload or input of Template data, any values supplied via continuation records that correspond to COLUMN_HEADERs other than those explicitly allowed to appear in continuation records for a particular Template shall be ignored. However commas must be included to properly align the fields (columns). Note that the submission of continuation records is only supported by the CSV Format method of uploading data to an Input/Response Template.
### 22.214.171.124 Error Handling in CSV-Formatted Responses
Validity of each record in the CSV-formatted Response to a Template Input shall be indicated through the use of RECORD_STATUS and ERROR_MESSAGE Data Elements which are included in each Data Record (row) of the Response.
If no error was encountered in an Input Data Record, the RECORD_STATUS Data Element in the corresponding Response record shall be returned with a value of 200 (success), and the ERROR_MESSAGE shall be blank.
If any error is detected in processing an Input Data Record, it shall be indicated by a RECORD_STATUS Data Element value other than 200. The ERROR_MESSAGE shall be set to an appropriate text message to indicate the source of the error in that Data Record. The overall validity of each Template Query or Input shall be indicated in the CSV-formatted Response via the two REQUEST_STATUS and ERROR_MESSAGE header records (see section 126.96.36.199):
- If no errors were encountered in processing the User's Input Data Records, the REQUEST_STATUS shall be returned with the value of 200 (success), and the ERROR_MESSAGE shall be blank.
- If any errors were detected in the Template Input Data Records, the REQUEST_STATUS value shall be any value other than 200, and the ERROR_MESSAGE shall be set to an appropriate text message to indicate the source of the error.
The OASIS Node shall validate all Input records before returning a Response to the User. The Node shall process all valid records, while invalid records shall be identified as erroneous through the use of RECORD_STATUS and ERROR_MESSAGE. The User must correct the invalid fields and resubmit only those records that were invalid. If an error is encountered in a record which is part of a set of Continuation records, then all records belonging to that set must be resubmitted.
### 4.2.8 Registration Information
#### 188.8.131.52 General
As specified in the Information Access Requirements, OASIS Nodes shall provide a mechanism to register Users of the OASIS Node with a Provider. For all levels of access to OASIS information beyond simple read-only access, OASIS Nodes shall provide a mechanism to identify Users of the OASIS at least to the level of their respective Companies. The OASIS Node shall maintain both Company and User registration information.
#### 184.108.40.206 Company Information
OASIS Templates require that certain Company registration information be maintained. As an extension of the Company registration information of the host, domain and port identifiers for dynamic notification of changes in the Customer's purchase requests, a field should be added to the Company's registration information that would define/identify how notification would be delivered to that Company should a transmission or ancillary purchase request be directed to that Company as a Seller of a transmission or ancillary service. The pertinent information would be either a full HTTP protocol URL defining the protocol, host name, port, path, resource, etc. information or a "mailto:" URL with the appropriate mailbox address string. On receipt of any purchase request directed to that Company as SELLER via either the "transrequest" or "ancrequest" Templates, or on submission of any change in request information
submitted to that Company as SELLER via either the "transcust" or "ancecust" Templates, a notification message formatted as documented for the delivery of notification to the Customer, shall be formatted and directed to the Seller. At a minimum, OASIS Nodes shall maintain the following information for each Company:
a. **Company Code**: 4 character code for primary transmission providers; 6 character code for eligible customers in accordance with NERC Tagging Information System (TIS) requirements shall be maintained for each Company.
b. **Default Contact**: Unless specified for each individual user affiliated with the Company, default contact information consisting of a phone number, fax number, and e-mail address shall be maintained for each Company.
c. **Provider Affiliation**: Each eligible Customer shall be obligated to identify to the OASIS TSIP any affiliation with a Transmission Provider whose "home page" is on that OASIS Node.
d. **Notification URL**: For Companies using the URL notification mechanism for delivery of messages on each change of ancillary/transmission reservation STATUS, each Company shall provide the IP host name and port number to be used in delivering notification messages. OASIS Nodes shall have the right to refuse support for notification to any IP ports other than port 80.
### 220.127.116.11 User Information
With the exception of "read-only" (visitor) access, OASIS Nodes shall, at a minimum, provide a mechanism to identify Users of the Node with at least their Company. However, OASIS Nodes and Providers shall have the right to require full User identification even for visitor accounts. To support the required OASIS Template Data Elements, OASIS Nodes shall maintain the following information for each registered User:
- Company
- Name
- Phone
- Fax
- E-mail
In the event no additional User identification/registration information is maintained by the OASIS Nodes, all Template Data Elements referring to "company, name, phone, fax, e-mail" for either Customers or Sellers shall default to the Contact Information maintained for that User's Company.
### 4.2.9 Representation of Time
#### 18.104.22.168 General
It is critical that all Users of OASIS Nodes have a clear and unambiguous representation of time associated with all information transferred to/from OASIS Nodes. For this reason, all Data Elements associated with time in OASIS Nodes shall represent "wall clock" times, which are NOT to be confused with other common industry conventions such as "hour ending." For the convenience of the User community, OASIS Nodes shall be allowed to accept the input and display of "time" in any acceptable form.
provided such non-standard representations are CLEARLY labeled on the associated HTML screens. Alternate representations of time in CSV formatted messages shall not be allowed. The following rules shall be implemented in OASIS Nodes for the representation of time on User entries (Query and Input) and output (Response) Templates.
22.214.171.124 Input Time
All time related Data Elements associated with either the Input or Query of Input/Response or Query/Response OASIS Templates shall be validated according the following rules. If the time zone associated with a time Data Element is associated with either Universal Time (UT) or a "standard" time zone (e.g., ES, CS, etc.), OASIS Nodes shall accept and apply a fixed hour offset from Universal Time year-round. If the time zone associated with a time Data Element is specified with a "daylight savings" time zone (e.g. ED, CD, etc.), OASIS Nodes shall verify that daylight savings time is in effect for the date/time specified. If daylight savings time (as specified by the time from 2:00am on the first Sunday of April through 2:00 am on the last Sunday of October) is not in effect, the Users input shall be rejected with an error response. If daylight savings time is in effect, the Users input shall be accepted and the appropriate hours offset from Universal Time shall be applied by OASIS Nodes for conversion to all other time zones. The input of start/stop times for transactions spanning the crossover day between standard and daylight (and vices versa) times must be made either entirely in standard time (valid year-round), or in two different time zones (xS/xD or xD/xS) for the start and stop times, depending on the time of year.
126.96.36.199 Output (Response) Time
The OASIS Node shall return all time Data Elements in the response to Input/Response or Query/Response OASIS Templates based on either the User specified RETURN_TZ header Query Variable or an appropriate OASIS specific default. OASIS Nodes shall interpret RETURN_TZ to specify:
a. The base time zone for conversion of all time Data Elements (e.g. Eastern, Pacific, etc.)
b. Whether daylight savings time is recognized. For example, a RETURN_TZ=ES would return all time Data Elements in Eastern Standard Time year-round. However, a RETURN_TZ=ED would direct OASIS Nodes to return all time Data Elements in Eastern Standard Time (ES) when daylight savings time is not in effect, and then return all time Data Elements in Eastern Daylight Time (ED) when daylight time is in effect.
4.2.10 Transaction Process
OASIS shall implement Templates that allow Customers and Sellers to enter, modify and consummate arrangements for transmission and ancillary services. The following subsections outline the basic steps for arranging for these services. Section 4.2.13 provides further detail on the use of OASIS Templates to modify the terms of a transaction in support of specific provisions of the Open Access ProForma Tariff.
188.8.131.52 Purchase Transactions
Customers shall purchase services from the Seller using the following basic steps (see Exhibit 4-1):
a. The Templates (*transrequest* and *ancrequest*) shall be used by a Customer to enter a request for specific transmission or ancillary services from a specific Seller. Basic requests for transmission services from the Primary Transmission Provider shall be assigned a REQUEST_TYPE of "ORIGINAL"; requests for transmission services on the secondary market (where SELLER is not the Primary Transmission Provider) shall be assigned a REQUEST_TYPE of "RESALE" (Section 4.2.13 documents other values that may be assigned to REQUEST_TYPE). The Customer may enter a BID_PRICE which is different from the OFFER_PRICE in order to try to negotiate a lower price. The OASIS Node sets the initial STATUS of the request to QUEUED. The Customer may set the STATUS_NOTIFICATION to indicate that the OASIS Node must notify the Customer on any change in the request's STATUS or related Data Elements (see Dynamic Notification). The Customer may designate the request as PRECONFIRMED. Preconfirmed requests will be automatically set to the STATUS of CONFIRMED when ACCEPTED by the Seller without requiring an explicit confirmation from the Customer. Prior to or commensurate with a Seller's setting of a preconfirmed reservation request's STATUS to ACCEPTED (and by implication CONFIRMED), the Seller must set OFFER_PRICE equal to the value of BID_PRICE as established by the Customer on submission of the request.
b. The Templates (*transstatus* and *ancstatus*) shall be used by Customers and Sellers to monitor the status of their transactions in progress. These Templates shall also be used by any Users to review the status of any transactions. The NEGOTIATED_PRICE_FLAG Data Element is set when the Seller agrees to a BID_PRICE (by setting OFFER_PRICE equal to BID_PRICE) that is different from the previously posted price. It will show "higher" when OFFER_PRICE is higher than the posted price, and "lower" when the OFFER_PRICE is lower than the posted price.
c. The Templates (*transsell* and *ancsell*) shall be used by a Seller to set a new value into STATUS, to enter a MW value in CAPACITY_GRANTED, if offering partial service, and to negotiate a price by entering a new OFFER_PRICE which is different from the BID_PRICE entered by the Customer in the *transrequest* Template. During these negotiations, a Reseller shall formally indicate the approval or disapproval of a transaction and indicate which rights from prior confirmed reservations are to be reassigned. A Primary Provider may, but is not required, to enter transaction approval or disapproval using this Template. In the event the Seller is only able to grant a portion of the transmission capacity requested by the Customer and the Seller is obligated or elects to extend an offer for partial service, the Seller shall indicate to the Customer the amount of capacity available using CAPACITY_GRANTED and set the reservation request's status to COUNTEROFFER. Preconfirmed requests that are set to COUNTEROFFER due to an offer of service at a level lower than requested by the Customer shall require explicit confirmation by the Customer. The valid STATUS values which may be set by a Seller are: RECEIVED, INVALID, STUDY,
COUNTEROFFER, ACCEPTED, REFUSED, SUPERSEDED, DECLINED, DISPLACED, ANNULLED, or RETRACTED.
d. The Customer shall use the transstatus and ancstatus Templates to view the Seller's new offer price, partial service offer and/or approval/disapproval decision.
e. After receiving notification of the transaction's STATUS being set to COUNTEROFFER by the Seller, the Templates (transcust and anccust) shall be used by the Customer to modify the BID_PRICE and set the STATUS to REBID or CONFIRMED. Transcust shall also be used to confirm an offer for partial service (where CAPACITY_GRANTED is less than CAPACITY_REQUESTED) by setting the STATUS to CONFIRMED. After negotiations are complete (STATUS set to ACCEPTED by the Seller), the Customer shall formally enter the confirmation or withdrawal of the offer to purchase services for the OFFER_PRICE shown in the transstatus Template. The valid STATUS values which a Customer may set are: REBID, CONFIRMED, or WITHDRAWN.
f. The Seller shall use the transstatus (ancstatus) Template to view the Customer's new bid price and/or confirmation/withdrawal decision, again responding through transsell or ancsell if necessary. If the Seller offers to sell a service at an OFFER_PRICE less than that posted in the transferring (ancoffering) Template, the transferring (ancoffering) Template must be updated to reflect the new OFFER_PRICE.
g. For deals consummated off the OASIS Nodes by a Seller, after the Customer has accepted the offering, the Templates (transassign and ancassign) may be used by the Seller to notify the Primary Provider of the transfer of rights to the Customer. Continuation records may be used to indicate the reassigning of rights for a "profile" of different assignments and different capacities over different time periods.
h. The source of all User and Seller contact information shall be the User registration process. Therefore, it shall not be input as part of uploads, but shall be provided as part of all transaction downloads.
i. OASIS Nodes shall accept a Seller initiated change in STATUS to ACCEPTED only when OFFER_PRICE matches BID_PRICE (i.e., Seller must set OFFER_PRICE equal to BID_PRICE prior to or coincident with setting STATUS to ACCEPTED).
j. OASIS Nodes shall accept a Customer initiated change in STATUS to CONFIRMED only when BID_PRICE matches OFFER_PRICE (i.e., Customer must set BID_PRICE equal to OFFER_PRICE prior to or coincident with setting STATUS to CONFIRMED). k. If CAPACITY_GRANTED is null when STATUS is being changed to ACCEPTED or CONFIRMED, the OASIS Node shall set it equal to CAPACITY_REQUESTED.
184.108.40.206 Status Values
The possible STATUS values are:
QUEUED = initial status assigned by TSIP on receipt of "customer services purchase request".
INVALID = assigned by TSIP or Provider indicating an invalid field in the request, such as improper POR, POD, source, sink, etc. (Final state).
RECEIVED= assigned by Provider or Seller to acknowledge QUEUED requests and indicate the service request is being evaluated, including for completing the required ancillary services.
STUDY= assigned by Provider or Seller to indicate some level of study is required or being performed to evaluate service request.
REFUSED = assigned by Provider or Seller to indicate service request has been denied due to lack of availability of transmission capability. (Final state).
COUNTEROFFER= assigned by Provider or Seller to indicate that a new OFFER_PRICE is being proposed or that CAPACITY_GRANTED is less than CAPACITY_REQUESTED.
REBID = assigned by Customer to indicate that a new BID_PRICE is being proposed.
SUPERSEDED = assigned by Provider or Seller when a request which has not yet been confirmed is preempted by another reservation request. (Final state).
ACCEPTED = assigned by Provider or Seller to indicate the service request at the designated OFFER_PRICE and CAPACITY_GRANTED has been approved/accepted. If the reservation request was submitted PRECONFIRMED and CAPACITY_GRANTED is equal to CAPACITY_REQUESTED, the OASIS Node shall immediately set the reservation status to CONFIRMED. Depending upon the type of ancillary services required, the Seller may or may not require all ancillary service reservations to be completed before accepting a request.
DECLINED = assigned by Provider or Seller to indicate that the terms and conditions, such as the BID_PRICE, are unacceptable and that negotiations are terminated or that contractual terms and conditions have not been met. (Final state).
CONFIRMED= assigned by Customer in response to Provider or Seller posting "ACCEPTED" status, to confirm service. Once a request has been "CONFIRMED", a transmission service reservation exists. (Final state, unless overridden by DISPLACED or ANNULLED state).
WITHDRAWN= assigned by Customer at any point in request evaluation to withdraw the request from any further action. (Final state).
DISPLACED= assigned by Provider or Seller when a "CONFIRMED" reservation from a Customer is displaced by a higher priority reservation and the Customer is not offered or has not exercised right of first refusal (i.e. refused to match terms of new request). (Final state).
ANNULLED= assigned by Provider or Seller when, by mutual agreement with the Customer, a confirmed reservation is to be voided. (Final state).
RETRACTED= assigned by Provider or Seller when the Customer fails to confirm or withdraw the request within the required time period. (Final state). The following diagram can be used as a business process guideline; however, individual tariffs will dictate specific allowed actions between states.
The following diagram can be used as a business process guideline; however, individual tariffs will dictate specific allowed actions between states.
Exhibit 4-1 - State Diagram of Purchase Transactions
220.127.116.11 Dynamic Notification
Customers may specify the delivery of dynamic notification messages on each change in STATUS or any other Data Element(s) associated with an ancillary or transmission service reservation. OASIS Nodes shall support the delivery of dynamic notification messages through either the HTTP protocol or by electronic mail. The selection of which mechanism is used and the contents of the messages delivered to the client program or e-mail address is defined by the content of the STATUS_NOTIFICATION Data Element as described in the next subsections. Regardless of whether this dynamic notification method is used or not, it shall still remain the User's responsibility to get the desired information, possibly through the use of a periodic "integrity request". OASIS Nodes shall not be obligated or liable to guarantee delivery/receipt of messages via the STATUS_NOTIFICATION mechanism other than on a "best effort" basis. As an extension of the Company registration information of the host, domain and port identifiers for dynamic notification of changes in the Customer's purchase requests, a field should be added to the Company's registration information that would define/identify how notification would be delivered to that Company should a transmission or ancillary purchase request be directed to that Company as a Seller of a transmission or ancillary service. The pertinent information would be either a full HTTP protocol URL defining the protocol, host name, port, path, resource, etc. information or a "mailto:" URL with the appropriate mailbox address string. On receipt of any purchase request directed to that Company as SELLER via either the "transrequest" or "ancrequest" Templates, or on submission of any change in request STATUS (or any other Data Elements associated with the request) to that Company as SELLER via either the "transcust" or "anccust" Templates, a notification message formatted as documented for the delivery of notification to the Customer, shall be formatted and directed to the Seller. This extension of dynamic notification is required only where the Transmission Provider has programmed its computer system for its own notification.
18.104.22.168.1 HTTP Notification
OASIS Nodes shall deliver dynamic notification to a client system based on HTTP URL information supplied in part by the STATUS_NOTIFICATION Data Element and by information supplied as part of the Customer's Company registration information. HTTP URL's are formed by the concatenation of a protocol field (i.e., http: ), a domain name (e.g., //www.tsin.com), a port designation (e.g., :80), and resource location information. The STATUS_NOTIFICATION Data Element shall contain the protocol field "http:", which designates the notification method/protocol to be used, followed by all resource location information required; the target domain name and port designations shall be inserted into the notification URL based on the Customer's Company registration information. The resource location information may include directory information, cgi script identifiers and URL encoded query string name/value pairs as required by the Customer's application. An OASIS Node performs no processing on the resource location information other than to include it verbatim along with the protocol, domain name and port information when forming the URL that will be used to deliver the HTTP protocol notification message.
For example, Company XYZ has established the domain name and port designations of "//oasistc.xyz.com:80" as part of their registration information.
When a transmission reservation is submitted by one of Company XYZ's users (the Customer), and includes a STATUS_NOTIFICATION Data Element with the value of "http://cgi-bin/status?DEAL_REF=8&REQUEST_REF=173", an OASIS Node shall deliver an HTTP notification message using the URL:
http://oasistc.xyz.com:80/cgi-bin/status?DEAL_REF=8&REQUEST_REF=173
If the STATUS_NOTIFICATION field contained only the "http:" protocol designation, the notification message would be delivered using the URL:
http://oasistc.xyz.com:80
The contents of the HTTP protocol notification message delivered by an OASIS Node shall consist of the complete URL created by combining fields from the STATUS_NOTIFICATION Data Element and Company registration information as part of an HTTP POST method request. In addition to the POST method HTTP header record, OASIS Nodes shall also append the CSV formatted output of the transstatus Template information for that particular reservation using the standard Content-type: text/x-oasis-csv and appropriate Content-length: HTTP header records. OASIS Nodes shall use a Primary Provider specific default value for RETURN_TZ in formulating the transstatus response information. Continuing with the previous example, the important records in the HTTP notification message that would be delivered to Company XYZ for the transmission reservation request submitted to Primary Provider ABC and given an ASSIGNMENT_REF of 245 would be,
POST http://oasistc.xyz.com:80/cgi-bin/status?DEAL_REF=8&REQUEST_REF=173
HTTP/1.0
.
.
Content-type: text/x-oasis-csv
Content-length: <byte count of remainder of message>
REQUEST_STATUS=200
TIME_STAMP=<appropriate value>
VERSION=1.4
TEMPLATE=transstatus
OUTPUT_FORMAT=DATA
PRIMARY_PROVIDER_CODE=ABC
PRIMARY_PROVIDER_DUNS=123456789
RETURN_TZ=<appropriate value for ABC>
DATA_ROWS=1
COLUMN_HEADERS=CONTINUATION_FLAG, ASSIGNMENT_REF, . . .
N, 245, . . .
In the event an error is encountered delivering the HTTP notification message to the target URL as indicated by a failure of the target system to respond, or return of HTTP response status of 408, 500, 503, or 504, OASIS Nodes shall retry up to two more times, once every 5 minutes.
22.214.171.124.2 E-mail Notification
OASIS Nodes shall deliver dynamic notification to an e-mail address based on Mailto: URL information specified in the STATUS_NOTIFICATION Data Element. Mailto: URL's consist of the "mailto:" protocol identifier and an Internet mail address to which the notification message should be sent.
The STATUS_NOTIFICATION Data Element shall contain the protocol field "mailto:", which designates the notification method/protocol to be used, followed by an Internet mail address in conformance with RFC 822. OASIS Nodes shall send an e-mail message to the Internet mail address containing the following information: "To:" set to the mail address from the STATUS_NOTIFICATION Data Element, "From:" set to an appropriate mail address of the OASIS Node, "Subject:" shall be the transstatus Template name followed by the value of the ASSIGNMENT_REF Data Element and the current value for the STATUS Data Element associated with the reservation (e.g., "Subject: transstatus 245 ACCEPTED"), and the body of the message shall contain the CSV formatted output of the transstatus Template information for that particular reservation. OASIS Nodes shall use a Primary Provider specific default value for RETURN_TZ in formulating the transstatus response information.
### 126.96.36.199 Use of Comments
Transmission and ancillary service reservation templates support the following text data elements to be used to communicate information between parties (i.e., transmission provider, seller, and customer) to a transaction:
- **PRIMARY_PROVIDER_COMMENTS** - for information to be communicated by the primary transmission provider to all other parties
- **SELLER_COMMENTS** - for information to be communicated by the seller (either primary provider or reseller) to the customer
- **CUSTOMER_COMMENTS** - for information to be communicated by the customer to the seller
- **STATUS_COMMENTS** - for information to be communicated by any party to all other parties
Use of these comments fields is at the discretion of the parties to the transaction with the exception that sellers of services must indicate via SELLER_COMMENTS the reason for denial of any request for service (STATUS values of INVALID, REFUSED, or DENIED). Transactions which are subject to displacement, either before or after confirmation (STATUS values of SUPERSEDED or DISPLACED), shall also include a reference to the competing reservation request that initiated the displacement in the SELLER_COMMENTS.
### 4.2.11 Reference Identifiers
The TSIP shall assign a unique reference identifier, ASSIGNMENT_REF, for each Customer request to purchase capacity or services. The value of ASSIGNMENT_REF may be used to imply the order in which the request was received by the TSIP. This identifier will be used to track the request through various stages, and will be kept with the service throughout its life. Whenever a transaction is modified by a subsequent transaction, a new ASSIGNMENT_REF number is assigned to that subsequent transaction along with a reference to the previous transaction such that a chain of all
transactions related to the service can be maintained. These changes create a parent/child relationship between related requests. The TSIP shall use REASSIGNED_REF or RELATED_REF as specified in section 4.2.13 to identify the parent request's ASSIGNMENT_REF and shall increment the IMPACTED counter of the parent request by 1. Reductions to a request posted by the Transmission Provider shall also reference the request's ASSIGNMENT_REF and the TSIP shall increment the IMPACTED counter of the request by 1.
The TSIP shall assign a unique reference identifier, POSTING_REF, to each Seller's offerings of service for sale or other information (messages) posted on an OASIS Node. The Seller in any/all subsequent Template submissions, that would result in a modification to or deletion of that specific offering or message, shall reference this identifier. Optionally, Customers may also refer to this POSTING_REF in their subsequent purchase requests to aid in identifying the specific offering associated with the purchase request.
Sellers may aggregate portions of several previous transmission service reservations to create a new offering to be posted on an OASIS Node. When all or a portion of such offerings are sold, the Seller (original Customer) is obligated to notify the Primary Provider of the sale/assignment by inserting appropriate reassignment information on the OASIS Node (via the transsell or transassign Templates) or by some other approved method. This reassignment information consists of the ASSIGNMENT_REF value assigned to the original reservation(s) and the time interval and capacity amount(s) being reassigned to the new reservation. These values are retained in the REASSIGNED_REF, REASSIGNED_START_TIME, REASSIGNED_STOP_TIME, and REASSIGNED_CAPACITY Data Elements.
Sellers may identify their service offerings received from Customers through the Seller supplied value specified for the SALE_REF Data Element.
Customers may track their purchase requests through the Customer supplied values specified for the DEAL_REF and REQUEST_REF Data Elements. Customers may also use POSTING_REF and SALE_REF in their purchase requests to refer back to posted offerings.
### 4.2.12 Linking of Ancillary Services to Transmission Services
The requirements related to ancillary services are shown in transoffering (and updated using transupdate) using the ANC_SVC_REQ Data Element containing the following permitted values:
SC:x; RV:x; RF:x; EI:x; SP:x; SU:x;
where SC, RV, RF, EI, SP and SU are the ancillary services 1 through 6 described in the Proforma Tariff,
- **SC** - Scheduling, system Control and dispatch
- **RV** - Reactive supply and Voltage control
- **RF** - Regulation and Frequency response
- **EI** - Energy Imbalance
- **SP** - SPinning reserve
- **SU** - SUpplemental reserve
and where x=[M,R,O,U] means one of the following:
Mandatory, which implies that the Primary Provider must provide the ancillary service
Required, which implies that the ancillary service is required, but not necessarily from the Primary Provider
Optional, which implies that the ancillary service is not necessarily required, but could be provided
Unknown, which implies that the requirements for the ancillary service are not known at this time
Ancillary services may be requested by a User from the Provider at the same time as transmission services are requested via the transrequest Template, by entering the special codes into ANC_SVC_LINK to represent the Proforma ancillary services 1 through 6 (or more) as follows:
SC:(AA[:xxx[:yyy[:nnn]]]); RV: (AA[:xxx[:yyy[:nnn]]]); RF:
(AA[:xxx[:yyy[:nnn]]]);
EI: (AA[:xxx[:yyy[:nnn]]]); SP: (AA[:xxx[:yyy[:nnn]]]); SU:
(AA[:xxx[:yyy[:nnn]]]); {Registered}:(AA[:xxx[:yyy[:nnn]]])
where AA is the appropriate PRIMARY PROVIDER CODE, SELLER CODE, or CUSTOMER_CODE, and represents the company providing the ancillary services. "AA" may be unspecified for "xxx" type identical to "FT", in which case the ":" character must be present and precede the "FT" type. If multiple "AA" terms are necessary, then each "AA" grouping will be enclosed within parenthesis, with the overall group subordinate to the AS_TYPE specified within parenthesis and where xxx represents either:
- "FT" to indicate that the Customer will determine ancillary services at a future time, or
- "SP" to indicate that the Customer will self-provide the ancillary services, or
- "RQ" to indicate that the Customer is asking the OASIS Node to initiate the process for making an ancillary services reservation with the indicated Provider or Seller on behalf of the Customer. The Customer must then continue the reservation process with the Provider or Seller. If the transmission services request is for preconfirmed service, then the ancillary services shall also be preconfirmed, or
- "AR" to indicate an assignment reference number sequence follows.
The terms "yyy" and "nnn" are subordinate to the xxx type of "AR". yyy represents the ancillary services reservation number (ASSIGMNENT_REF) and nnn represents the capacity of the reserved ancillary services. Square brackets are used to indicated optional elements and are not used in the actual linkage itself. Specifically, the :yyy is applicable to only the "AR" term and the :nnn may optionally be left off if the capacity of ancillary services is the same as for the transmission services, and optionally multiple ancillary reservations may be indicated by additional (xxx[:yyy[:nnn]]) enclosed within parenthesis. If no capacity amount is indicated, the required capacity is assumed to come from the ancillary reservations in the order indicated in the codes, on an "as-needed" basis.
Examples:
Example 1:
Assume ancillary services SC and RV are mandatory from the TP, whose code is "TPEL", and ancillary services RF, EI, SP and SU are required, but will be defined at a future time.
"SC: (TPEL:RQ); RV: (TPEL:RQ); RF:(;FT); EI:(;FT); SP:(;FT); SU:(;FT)";
**Example 2:**
Assume ancillary services SC and RV are mandatory from the TP, whose code is "TPEL", and RF, EI, SP and SU are self-supplied. The customer code is
"CPSE" "SC: (TPEL:RQ); RV: (TPEL:RQ); RF:(CPSE:SP); EI:(CPSE:SP); SP:(CPSE:SP); SU:(CPSE:SP)"
**Example 3:**
Assume ancillary services SC and RV are mandatory from the TP, whose code is "TPEL", and ancillary services RF, EI, SP and SU were purchased via a prior OASIS reservation from seller "SANC" whose reservation number was "39843". There is sufficient capacity within the Ancillary reservation to handle this Transmission reservation.
"SC:(TPEL:RQ); RV:(TPEL:RQ); RF:(SANC:AR:39843); EI:(SANC:AR:39843) SP:(SANC:AR:39843); SU:(SANC:AR:39843)"
**Example 4:**
Assume ancillary services SC and RV are mandatory from the TP, whose code is "TPEL", and ancillary services RF, EI, SP and SU were purchased via prior OASIS reservations from sellers "SANC" and "TANC", whose reservation numbers where "8763" and "9824" respectively. There is not sufficient capacity within the Ancillary reservation from seller "SANC" to handle this Transmission reservation. In this case the OASIS reservation number 8763 will be depleted for the time frame specified within the transmission reservation and the remaining required amount will come from reservation number "9824".
"SC:(TPEL:RQ); RV:(TPEL:RQ); RF:((SANC:AR:8763)(TANC:AR:9824)); EI:((SANC:AR:8763)(TANC:AR:9824)); SP:((SANC:AR:8763)(TANC:AR:9824)); SU:((SANC:AR:8763)(TANC:AR:9824))"
**Example 5:**
Assume a transmission reservation in the amount of 100 mw/hour for a period of one day is made. Ancillary services SC and RV are mandatory from the TP, whose code is "TPEL", and ancillary services RF, EI, SP and SU were purchased via prior OASIS reservations from sellers "SANC" and "TANC", whose reservation numbers where "8763" and "9824" respectively. There is sufficient capacity within the Ancillary reservation from seller "SANC" to handle this Transmission reservation, however the purchaser
wishes to use only "40 mw's" from this seller. In this case the OASIS reservation number 8763 will be depleted in the amount of "40 mw's" for the time frame specified within the transmission reservation and the remaining required amount will come from reservation number "9824".
"SC:(TPEL:RQ); RV:(TPEL:RQ); RF:((SANC:AR:8763:40)(TANC:AR:9824));
EI:((SANC:AR:8763:40)(TANC:AR:9824));
SP:((SANC:AR:8763:40)(TANC:AR:9824));
SU:((SANC:AR:8763:40)(TANC:AR:9824))"
4.2.13 Modifications to Transactions
Transactions processed by OASIS as outlined in Section 4.2.10 may be subject to modification by subsequent transactions or events as permitted under the Transmission Provider's Tariff. The following subsections describe the actions to be taken on OASIS to implement specific provisions of the Open Access Pro Forma Tariff related to transmission service. Depending on the exact form of the Provider's Tariff, some of these provisions may not be applicable, and implementation of other provisions may be Provider specific. In general, modification to any OASIS transaction initiated by the Customer shall involve the submission of a new transaction. The new transaction shall identify the specific type of modification being requested using the REQUEST_TYPE Data Element, and reference the transaction to be modified using the RELATED_REF Data Element. In the specific case of secondary market transactions, related transactions are identified with the use of the REASSIGNED_REF Data Element. The following are the specific restricted values for the REQUEST_TYPE Data Element and a brief description of their use:
- ORIGINAL – typical reservation requests submitted to the Primary Provider
- RESALE – secondary market requests submitted to a Transmission Customer as Secondary Transmission Provider
- RENEWAL – request to renew an expiring transmission reservation
- MATCHING – request to meet or exceed a competing request to retain transmission service (right of first refusal)
- DEFERRAL – request to defer or apply for extension on start of transmission service
- REDIRECT – request to redirect all or portion of a transmission reservation to an alternate POR/POD and/or make other changes to the terms of service as permitted
- [registered] – Primary Transmission Provider's may register values for REQUEST_TYPE to implement specific provisions of their Tariffs.
The Primary Transmission Provider may also modify a Customer's transmission reservation to the extent that the original reservation's MW capacity available for scheduling may be reduced over all or a portion of the term of the original reservation subject to the terms of the Provider's Tariff. Any time a subsequent transaction initiated by the Customer modifies all or a portion of a prior transaction, or a reduction in reserved MWs is initiated by the Primary Provider, the IMPACTED counter will be incremented in the prior transaction shall be set. OASIS User's may view the list of all subsequent transactions or events impacting a given transaction using the reduction Template. The following subsections describe the application of REQUEST_TYPE to
actions taken on OASIS, and how various modifications to existing reservations are to be affected.
188.8.131.52 Original Transactions
Transactions submitted to the Primary Transmission Provider using the transrequest Template for the typical reservation of transmission service shall be identified by the REQUEST_TYPE of "ORIGINAL", and be processed as described in Section 4.2.10. The RELATED_REF Data Element must be null, the Primary Provider specified as SELLER, and, if the REQUEST_TYPE is null, the OASIS node shall default its value to "ORIGINAL". The value returned in the ASSIGNMENT_REF Data Element shall be used to refer to this specific, original transmission reservation request in any subsequent actions taken.
184.108.40.206 Partial Service
If in the evaluation of a transmission request, the Primary Provider determines that only a portion of the Customer's requested capacity reservation (CAPACITY_REQUESTED Data Element) can be accommodated and that the Provider is obligated or elects to offer the Customer only a portion of the requested capacity, the Primary Provider shall set the CAPACITY_GRANTED Data Element(s) associated with that transmission reservation to the amount available, and set the STATUS to COUNTEROFFER. If the CAPACITY_REQUESTED and/or CAPACITY_GRANTED are not constant over time, continuation records shall be used to convey the time varying profile of MW capacity associated with the transmission request (CAPACITY_REQUESTED, CAPACITY_GRANTED, START_TIME and STOP_TIME). The Customer shall recognize the offer of partial service by CAPACITY_REQUESTED not being equal to CAPACITY_GRANTED and the request STATUS of COUNTEROFFER. The Customer may elect to CONFIRM, WITHDRAW, or REBID the reservation using the transcust Template. If the transmission reservation request was marked PRECONFIRMED by the Customer and an offer of partial service is extended, the reservation request must be explicitly CONFIRMed by the Customer. The OASIS node shall not automatically CONFIRM a request where CAPACITY_REQUESTED does not equal CAPACITY_GRANTED when/if the request STATUS is set to ACCEPTED.
220.127.116.11 Secondary Sales – On OASIS
The sale or assignment of rights from one Transmission Customer to another may be conducted on OASIS using the same transaction process as described for purchases made from the Primary Transmission Provider. The request for purchase of transmission service from another Transmission Customer (Secondary Transmission Provider) is submitted by the Customer purchasing the capacity using the transrequest Template. Secondary transmission sales shall be identified by the REQUEST_TYPE of "RESALE", and be processed as described in Section 4.2.10. The RELATED_REF Data Element must be null, the Transmission Customer owning capacity offered for resale (the Secondary Transmission Provider) specified as SELLER, and, if the REQUEST_TYPE is null, the OASIS node shall default its value to "RESALE". The Secondary Transmission Provider (original Customer) selling their transmission
rights over OASIS shall use the transsell Template to approve/deny the request. If the request is to be approved (STATUS=ACCEPTED), the transmission reservation(s) currently held by the Customer selling their capacity and the amount of capacity over time from each such reservation to be transferred to the secondary market Customer must be identified. This information is supplied via the REASSIGNED_REF, REASSIGNED_CAPACITY, REASSIGNED_START_TIME and REASSIGNED_STOP_TIME Data Elements. The aggregation of all REASSIGNED_xxx Data Elements must match the capacity and time frame of the secondary transmission request as specified in the CAPACITY_GRANTED (and/or CAPACITY_REQUESTED), START_TIME and STOP_TIME Data Elements of the "RESALE" transaction. The Customer purchasing transmission service on the secondary market over OASIS shall use the transcust to monitor the transaction and CONFIRM the sale if necessary. Upon confirmation of the secondary sale the IMPACTED attribute will be incremented for each reservations referenced by the REASSIGNED_REF Data Elements.
18.104.22.168 Secondary Sales – Off OASIS
The sale or assignment of rights from one Transmission Customer to another does not have to be conducted on OASIS. However, the Transmission Customer acting as a Secondary Transmission Provider is obligated to notify the Primary Transmission Provider of all sales or assignments of transmission rights to a third party. The transassign Template shall be used by the Secondary Transmission Provider to convey this sale/assignment information to the Primary Provider. The transassign Template allows the Secondary Transmission Provider to submit all information related to the secondary market sale. The REQUEST_TYPE of "RESALE" is directly implied by use of the transassign Template. The REASSIGNED_REF, REASSIGNED_CAPACITY, REASSIGNED_START_TIME and REASSIGNED_STOP_TIME Data Elements identify the transmission reservation(s) currently held by the Secondary Transmission Provider, and the amount of capacity over time from each such reservation to be transferred to the secondary market Customer. The aggregation of all REASSIGNED_xxx Data Elements must match the capacity and time frame of the secondary transmission request as specified in the CAPACITY_GRANTED, START_TIME and STOP_TIME Data Elements of the "RESALE" transaction. The IMPACTED attributed will be incremented for each reservations referenced by the REASSIGNED_REF Data Elements.
22.214.171.124 Renewal
Requests by the Transmission Customer to renew their transmission reservation, subject to the terms of the Provider's Tariff, should be submitted using the REQUEST_TYPE of "RENEWAL" and specify the ASSIGNMENT_REF of the request to be renewed in the new request's RELATED_REF Data Element. This unique REQUEST_TYPE and association with the original request more clearly communicates, over OASIS, the intent of the Transmission Customer, and distinguishes requests for renewal of service from new requests by the same TC for additional service.
126.96.36.199 Displacement – No Right of First Refusal
Confirmed transmission reservations may be subject to displacement in the event competing, higher priority requests are received by the Primary Transmission Provider. If the original Customer does not have the right of first refusal and all capacity from the original, confirmed reservation is required to accommodate the higher priority request, the Primary Transmission Provider shall set the original reservation's STATUS to DISPLACED. The STATUS of DISPLACED indicates that the original reservation has been displaced in its entirety. A reference to the competing request that forced the displacement should be entered in the SELLER_COMMENTS field of the original reservation. If only a portion of the original, confirmed reservation's capacity is required to accommodate the higher priority request, the Primary Transmission Provider shall document the "recall" of reserved capacity from the lower priority, confirmed reservation by incrementing the IMPACTED counter on that reservation and posting on OASIS the amount and time frames over which the original reservation's capacity was reduced. The Transmission Customer may view all impacts to existing transmission reservations (e.g., partial displacements, secondary sales, etc.) using the reduction Template. A reference to the competing request that forced the displacement should be entered in the SELLER_COMMENTS field of the original reservation.
188.8.131.52 Displacement – With Right of First Refusal
Confirmed transmission reservations may be subject to displacement in the event competing, higher priority requests are received by the Primary Transmission Provider. If the Primary Provider's Tariff obligates, or the Primary Provider elects to grant the original Customer the right of first refusal, the original Customer shall be notified of the competing request. The Primary Provider shall set the original request's COMPETING_REQUEST_FLAG to Y and update the SELLER_COMMENTS with a reference to the competing requests ASSIGNMENT_REF. These changes will initiate electronic notification, provided the Customer has elected to receive such notification. If the original Customer elects to meet or exceed the terms and conditions of the competing request, that Customer shall submit a new reservation request using the transrequest Template specifying 1) the terms of the new request, 2) "MATCHING" for REQUEST_TYPE, and 3) the ASSIGNMENT_REF of their original reservation in RELATED_REF. If the Primary Provider accepts the MATCHING request, the Primary Provider shall set the STATUS of the competing request to "REFUSED" and set the STATUS of the original, confirmed reservation to "DISPLACED". The STATUS of DISPLACED indicates that the original reservation has been displaced in its entirety. If the original Customer does not elect to meet the terms of the competing request, the Primary Transmission Provider shall displace the original reservation, in whole or in part, in the same manner described for reservations that are not extended a right of first refusal. Once the disposition of the original reservation and the competing request is finalized, the COMPETING_REQUEST_FLAG shall be reset to "N" in the original reservation.
184.108.40.206 Deferral of Start of Service
The commencement of service for certain transmission reservations may be deferred by the Customer as provided by the Primary Provider's Tariff. Such deferrals of the start of service are to be treated as new requests. The Customer shall submit a new
transmission reservation specifying 1) the new term of service being requested, 2) "DEFERRAL" for REQUEST_TYPE and 3) the ASSIGNMENT_REF of their original reservation in RELATED_REF. On approval of the request to defer the start of service, the original reserved capacity may be subject to "recall" by the Primary Provider. If the Primary Provider recalls all or a portion of the reserved MWs associated with the original request, the Primary Provider shall increment the IMPACTED counter in the original reservation and document the reduction in service via an appropriate OASIS posting viewable to the Customer with the reduction Template.
220.127.116.11 Alternate POR/POD
Transmission Customers may have the right to move to alternate points of receipt and/or delivery under the terms of the Primary Provider's tariff. Customers holding confirmed transmission reservations may request the use of alternate points of receipt and/or delivery by a new transmission reservation using the transrequest Template. The new request shall specify 1) the terms of the new service requested, 2) "REDIRECT" for the REQUEST_TYPE and 3) the ASSIGNMENT_REF of their original reservation in RELATED_REF. On approval and confirmation of this new reservation, the Customer's rights to schedule transmission service under their original reservation may be reduced. If transmission rights under the original reservation are reduced, the Primary Provider shall increment the IMPACTED counter in the original reservation and document the reduction in service via an appropriate OASIS posting viewable to the Customer with the reduction Template.
18.104.22.168 Provider Recall
There are cases in implementing provisions of the Primary Provider's Tariff that the capacity reserved by a Transmission Customer may be reduced in whole or in part. The particular reasons for these reductions are Tariff specific. The Primary Provider shall provide a mechanism to post on OASIS any such reductions or "recalls" in reserved capacity. The Customer shall be notified of any and all such reductions in reserved capacity by the incrementing of the IMPACTED counter in association with those reservations that are reduced; the IMPACTED flag is viewable with the transstatus Template. Specific information regarding the exact nature of each reduction in the reserved capacity under a given transmission reservation shall be posted and viewable with the reduction Template.
A specific example of a Primary Provider initiated recall of reserved capacity is the implementation of a partial displacement of a transmission reservation. In this instance, the Customer has not elected (or was not required to be offered) to match the terms of a higher priority, competing request. The Primary Provider "recalls" that capacity necessary to accommodate the higher priority request from the original, lower priority request. The IMPACTED counter of the original request is incremented, and a query using the reduction Template for that original reservation would show the Customer the amount and time-frame that the Customer's reserved capacity was recalled by the Primary Provider. (See sections 22.214.171.124 and 126.96.36.199.)
Interruption of transmission service, where that interruption directly impacts the rights of the Customer to schedule any service under that reservation, is another example of
an impact to reserved capacity that would be posted as a Primary Provider initiated recall of reserved capacity. Secondary market sales of transmission rights are not examples of a Provider initiated recall of reserved capacity, but the impact of any such sales shall also be returned in response to execution of the reduction Template.
4.3 TEMPLATE DESCRIPTIONS
The following OASIS Templates define the Data Elements in fixed number and sequence which must be provided for all data transfers to and from the OASIS Nodes. The definitions of the Data Elements are listed in the Data Element Dictionary in Appendix A.
TSIPs must provide a more detailed supplemental definition of the list of Sellers, Paths, Point of Receipt (POR), Point of Delivery (POD), Capacity Types, Ancillary Service Types and Templates online, clarifying how the terms are being used (see LIST Template). If POR and POD are not used, then Path Name must include directionality.
Many of the Templates represent query-response interactions between the User and the OASIS Node. These interactions are indicated by the "Query" and "Response" section respectively of each Template. Some, as noted in their descriptions, are Input information, sent from the User to the OASIS Node. The Response is generally a mirror of the Input, although in some Templates, the TSIP must add some information.
4.3.1 Template Summary
The following table provides a summary of the process areas, and Templates to be used by Users to query information that will be downloaded or to upload information to the Primary Providers. These processes define the functions that must be supported by an OASIS Node.
| Process Area | Process Name | Template(s) |
|--------------------------------------------------|---------------------------------------------------|-------------------|
| 4.3.2 Query/Response of Posted Services Being Offered | Query/Response Transmission Capacity Offerings | transoffering |
| | Query/Response Ancillary Service Offerings | ancoffering |
| 4.3.3 Query/Response of Services Information | Query/Response Transmission Services | transserv |
| | Query/Response Ancillary Services | ancserv |
| 4.3.4 Query/Response of Schedule details and Curtailments, Security Events, Reductions, and System Data | Query/Response Transmission Schedules and Curtailments | scheduledetail |
| Section | Description | Code |
|---------|-----------------------------------------------------------------------------|--------|
| | Query/Response Security Events | security |
| | Query/Response Reductions to Reserved Capacity | reduction |
| | Query/Response Transmission System Data | systemdata |
| 4.3.5 | Query/Response List of Sellers, Paths, PORs, PODs, Capacity Types, Ancillary Service Types, Templates | list |
| 4.3.6 | Request Purchase of Transmission Services (Input) | transrequest |
| | Query/Response Status of Transmission Service Request | transstatus |
| | Seller Approves Purchase (Input) | transsell |
| | Customer Confirm/Withdraw Purchase of Transmission Service (Input) | transcust |
| | Seller Reassign Rights (Input) | transassign |
| 4.3.7 | Seller Post Transmission Service for Sale (Input) | transpost |
| | Seller Modify (Remove) Transmission Service for Sale (Input) | transupdate |
| 4.3.8 | Request Purchase of Ancillary Service (Input) | ancrequest |
| | Query/Response Status of Ancillary Service Request | ancstatus |
| | Seller Approves Purchase of Ancillary Service (Input) | ancsell |
| | Customer Accept/Withdraw Purchase of Ancillary Service (Input) | anccust |
| | Seller Reassign Rights (Input) | ancassign |
### 4.3.2 Query/Response of Posted Services Being Offered
The following Templates define the information to be posted on services offered for sale. All discounts for service negotiated by a Customer and Primary Provider (as Seller) at a price less than the currently posted offering price shall be posted on OASIS Nodes in such a manner as to be viewed using these Templates. All secondary market and/or third-party posting and Primary Provider offerings for like services shall also be viewed using these Templates. The Query must start with the standard header Query Variable Data Elements, listed in Section 188.8.131.52, and may include any valid combination of the remaining Query Variables, shown below in the Templates. START_TIME and STOP_TIME is the requested time interval for the Response to show all offerings which intersect that interval (see Section 184.108.40.206). TIME_OF_LAST_UPDATE can be used to specify all services updated since a specific point in time. Query variable listed with an asterisk (*) can have at least 4 multiple instances defined by the user in making the query. In the Response, OFFER_START_TIME and OFFER_STOP_TIME indicate the "request time window" within which a customer must request a service in order to get the posted OFFER_PRICE. START_TIME and STOP_TIME indicate the time frame that the service is being offered for. The SERVICE_DESCRIPTION Data Element shall define any attributes and/or special terms and conditions applicable to the offering that are not listed under the standard SERVICE_DESCRIPTION associated with the product definition supplied in the transserv or ancserv Templates.
SERVICE_DESCRIPTION shall be null if there are no unique attributes or terms associated with the offering.
#### 220.127.116.11 Transmission Capacity Offerings Available for Purchase (transoffering)
Transmission Services Offerings Available for Purchase (transoffering) is used to view transmission services posted for sale by the Primary Provider or Resellers. At a minimum, this Template must be used to view each increment and type of service required to be offered under applicable regulations and the Primary Provider's tariffs. The POSTING_REF is set by the TSIP when an offering is posted and can be used in transrequest to refer to a particular offering. A User may query information about services available from all sellers for the time frame specified by the SERVICE_INCREMENT Data Element, namely, hourly, daily, weekly, monthly, or yearly.
Template: transoffering
1. **Query**
- PATH_NAME*
- SELLER_CODE*
- SELLER_DUNS*
- POINT_OF_RECEIPT*
- POINT_OF_DELIVERY*
- SERVICE_INCREMENT*
- TS_CLASS*
- TS_TYPE*
- TS_PERIOD*
- TS_WINDOW*
- TS_SUBCLASS*
- START_TIME (of transmission services)
- STOP_TIME (of transmission services)
- POSTING_REF
- TIME_OF_LAST_UPDATE
2. **Response**
The response is one or more records showing the requested service information. Note that the Customer will receive as a series of records spanning all the SELLER_CODEs, PATH_NAMEs, PORs, PODs, TS_xxx, and the START_TIME/STOP_TIME specified in the query. The SALE_REF is a value provided by the SELLER to identify the transmission service product being sold. The ANC_SVC_REQ indicates all ancillary services required for the specified transmission services. All Template elements are defined in the Data Element Dictionary.
- TIME_OF_LAST_UPDATE
- SELLER_CODE
- SELLER_DUNS
- PATH_NAME
- POINT_OF_RECEIPT
- POINT_OF_DELIVERY
- INTERFACE_TYPE
- OFFER_START_TIME
18.104.22.168 Ancillary Services Available for Purchase (ancoffering)
Ancillary Services Available for Purchase (ancoffering) is used to provide information regarding the ancillary services that are available for sale by all sellers (both Primary Provider and Third Party Sellers).
Template: ancoffering
1. Query
SELLER_CODE*
SELLER_DUNS*
CONTROL_AREA*
SERVICE_INCREMENT*
AS_TYPE*
START_TIME
STOP_TIME
POSTING_REF
TIME_OF_LAST_UPDATE
2. Response
TIME_OF_LAST_UPDATE
4.3.3 Query/Response of Services Information
22.214.171.124 Transmission Services (transserv)
Transmission Services (transserv) is used to provide additional information regarding the transmission services SERVICE_INCREMENT, TS_CLASS, TS_TYPE, TS_PERIOD, TS_SUBCLASS, TS_WINDOW, NERC_CURTAILMENT_PRIORITY, and OTHER_CURTAILMENT_PRIORITY that are available for sale by a Provider in the Templates in Section 4.3.2. This Template is used to summarize Provider tariff information for the convenience of the User. The Provider also sets PRICE_UNITS with this Template.
Template: transserv
1. Query
TIME_OF_LAST_UPDATE
2. Response
TIME_OF_LAST_UPDATE
SERVICE_INCREMENT
TS_CLASS
TS_TYPE
126.96.36.199 Ancillary Services (ancserv)
Ancillary Services (ancserv) is used to provide additional information regarding the ancillary services that are available for sale by a Provider in the Templates in Section 4.3.2. This Template is used to summarize Provider tariff information for the convenience of the User. The Provider also sets PRICE_UNITS with this Template.
Template: ancserv
1. Query
TIME_OF_LAST_UPDATE
2. Response
TIME_OF_LAST_UPDATE
SERVICE_INCREMENT
AS_TYPE
CEILING_PRICE
PRICE_UNITS
SERVICE_DESCRIPTION
TARIFF_REFERENCE
4.3.4 Query/Response of Schedules and Curtailments, Security Events, Reductions, and System Data
188.8.131.52 Transaction Schedule (scheduledetail)
Transaction Schedule (scheduledetail) provides information on the scheduled uses of the Provider’s transmission system and any curtailments or interruption thereof. Posting of transmission service schedule information shall be in accordance with regulatory requirements, and reflect scheduled uses of reserved capacity to a level of detail that such schedules are subject to a Provider's application of transmission security procedures and policies regarding curtailment and interruptions. There is no restriction on the number of transaction schedule records that may refer to a given transmission reservation at a given point in time.
The Query Variables ASSIGNMENT_REF, SELLER_CODE, SELLER_DUNS, CUSTOMER_CODE, CUSTOMER_DUNS, SERVICE_INCREMENT, TS_CLASS, TS_TYPE,
and TS_PERIOD act to select those transmission reservations for which all applicable transaction schedule information is to be returned. The PATH_NAME, POINT_OF_RECEIPT, POINT_OF_DELIVERY Query Variables select all applicable interchange transaction schedule records that use the specified path, point of receipt, and/or point of delivery. The TIME_OF_LAST_UPDATE, START_TIME, and STOP_TIME Query Variables select those particular interchange transaction schedule records updated and/or effective: 1) on or after a particular point in time (START_TIME alone), 2) before a particular point in time (STOP_TIME alone), or 3) between particular points in time (START_TIME and STOP_TIME). The TRANSACTION_ID Query Variable selects all applicable schedule information records associated with that particular schedule. Note that the format of TRANSACTION_ID may be Transmission Provider specific.
Each scheduledetail Template record returned in response to a query shall include information associated with:
1. information specifically related to the scheduled transaction,
2. information from all applicable OASIS transmission reservations used to support the scheduled interchange transaction, and
3. information related to any curtailment or interruption of service (if applicable), including a Transmission Provider's refusal to accept or begin a Customer's proposed interchange transaction for reliability or economic reasons (as allowed by the Provider's Tariff).
Information to be supplied in each scheduledetail Template's response records related to the scheduled interchange are, SCHEDULE_REF, TRANSACTION_ID, PATH_NAME, POINT_OF_RECEIPT, POINT_OF_DELIVERY, GCA_CODE, LCA_CODE, SOURCE, SINK, SCHEDULE_PRIORITY, START_TIME, STOP_TIME, SCHEDULE_REQUESTED, and SCHEDULE_GRANTED.
The posting and availability of schedule and curtailment information on OASIS shall be in accordance with FERC Policy.
SCHEDULE_REF uniquely identifies a particular posting of schedule information. SCHEDULE_REF would vary with each record of data returned in response to a schedule query. TRANSACTION_ID, if applicable/available, contains a unique identifier associated with an interchange transaction that may span multiple SCHEDULE_REF records. When available or applicable, the TRANSACTION_ID Data Element should reflect any industry-recognized transaction identifier rather than a Provider specific internal identifier (e.g., the NERC electronic tagging "tag-id"). PATH_NAME, POINT_OF_RECEIPT, and POINT_OF_DELIVERY identify the Transmission Provider's specific transmission resources used by the scheduled transaction, and would typically be identical to the corresponding Data Elements associated with the OASIS transmission reservation used to support the schedule. When known, the GCA_CODE and LCA_CODE identify the NERC registered Control Area acronyms associated with the ultimate generation and load control areas respectively. When known or required to more specifically identify the ultimate points of generation and load, the SOURCE and SINK elements identify service points within the generation and load Control Areas respectively. SCHEDULE_PRIORITY identifies the relative priority of this particular interchange transaction as compared to all other scheduled transactions with respect to the application of curtailments or interruptions. SCHEDULE_PRIORITY would typically reflect the curtailment priority Data Elements associated with the OASIS
transmission reservation used to support the schedule (i.e., NERC_CURTAILMENT_PRIORITY or OTHER_CURTAILMENT_PRIORITY). START_TIME and STOP_TIME designate the particular time interval represented by this record associated with the scheduled transaction. Note that multiple response records may be returned for a given scheduled transaction when information associated with the schedule vary over time (e.g., SCHEDULE_REQUESTED, SCHEDULE_GRANTED, SCHEDULE_LIMIT, etc.), but that scheduledetail Template response records for a given scheduled transaction should never overlap in time. SCHEDULE_REQUESTED reflects the MW value requested to be scheduled by the Customer during the hour, and SCHEDULE_GRANTED reflects the MW value actually scheduled by the Transmission Provider at either the point of receipt or delivery, whichever is larger, over the START_TIME/STOP_TIME time interval. When SCHEDULE_REQUESTED exceeds SCHEDULE_GRANTED, a curtailment or interruption is in effect and additional information shall be returned in the record.
Information in each scheduledetail Template's response record related to the OASIS transmission reservation(s) supporting the scheduled transaction includes ASSIGNMENT_REF, SELLER_CODE, SELLER_DUNS, CUSTOMER_CODE, CUSTOMER_DUNS, AFFILIATE_FLAG, SERVICE_INCREMENT, TS_CLASS, TS_TYPE, TS_PERIOD, TS_WINDOW, TS_SUBCLASS, NERC_CURTAILMENT_PRIORITY, OTHER_CURTAILMENT_PRIORITY, and CAPACITY_USED. Transaction schedules that are supported by the use of multiple OASIS transmission reservations return the information attributable to each individual transmission reservation using continuation records (i.e., records beginning with CONTINUATION_FLAG = 'Y'). Each continuation record shall also include the SCHEDULE_REF identifier from the first (CONTINUATION_FLAG = 'N') record. CAPACITY_USED reflects the peak MW amount of the reservation used to support the scheduled transaction; the sum of CAPACITY_USED over all continuation records (if applicable) should equal the SCHEDULE_GRANTED.
Transaction schedules that were either "denied or interrupted" (ref. 18 CFR 37.6(a)(4)) shall include information in the scheduledetail Template's response related to the reason the transaction could not be started or continued at the requested MW amount. The information returned shall include: PROVIDER_ACTION, SCHEDULE_LIMIT, CURTAILMENT_OPTIONS, SECURITY_REF, INITIATING_PARTY, RESPONSIBLE_PARTY, PROCEDURE_NAME, PROCEDURE_LEVEL, FACILITY_LOCATION, FACILITY_NAME, FACILITY_CLASS, and FACILITY_LIMIT_TYPE. If there are no restrictions to the scheduled transaction, these Data Elements shall all be returned as null.
PROVIDER_ACTION indicates the particular action taken by the Transmission Provider with respect to the scheduled transaction; specific values to be returned are, DENIED if the schedule was not started as requested, CURTAILED if the scheduled MW was limited for reliability reasons, or INTERRUPTED if the scheduled MW was limited for economic reasons. SCHEDULE_LIMIT reflects the maximum MW value over the START_TIME/STOP_TIME interval that the Provider has determined can be scheduled. CURTAILMENT_OPTIONS defines any options the Customer may exercise to reinstate all or part of the proposed schedule. SECURITY_REF, INITIATING_PARTY, RESPONSIBLE_PARTY, PROCEDURE_NAME, PROCEDURE_LEVEL, FACILITY_NAME, FACILITY_CLASS, and FACILITY_LIMIT_TYPE provide information related to the specific transmission security event that prompted the Transmission Provider's denial,
curtailment or interruption of the proposed scheduled transaction (see security Template).
Template: scheduledetail
1. Query
PATH_NAME*
SELLER_CODE*
SELLER_DUNS*
CUSTOMER_CODE*
CUSTOMER_DUNS*
POINT_OF_RECEIPT*
POINT_OF_DELIVERY*
SERVICE_INCREMENT*
TS_CLASS*
TS_TYPE*
TS_PERIOD*
TS_WINDOW*
TS_SUBCLASS*
START_TIME
STOP_TIME
TIME_OF_LAST_UPDATE
ASSIGNMENT_REF
TRANSACTION_ID
2. Response
CONTINUATION_FLAG
TIME_OF_LAST_UPDATE
SCHEDULE_REF
TRANSACTION_ID
PATH_NAME
POINT_OF_RECEIPT
POINT_OF_DELIVERY
GCA_CODE
LCA_CODE
SOURCE
SINK
SCHEDULE_PRIORITY
START_TIME
STOP_TIME
SCHEDULE_REQUESTED
SCHEDULE_GRANTED
ASSIGNMENT_REF
SELLER_CODE
SELLER_DUNS
CUSTOMER_CODE
184.108.40.206 Security Event (security)
Security Event (security) provides information on transmission security/reliability events that may impact the Provider's ability to schedule transactions. The TIME_OF_LAST_UPDATE, START_TIME, and STOP_TIME Query Variables select those particular security event postings updated and/or effective: 1) on or after a particular point in time (START_TIME alone), 2) before a particular point in time (STOP_TIME alone), or 3) between particular points in time (START_TIME and STOP_TIME).
The SECURITY_REF Data Element is a unique identifier assigned to each posting of security related information; SECURITY_REF would vary with each record of data returned in response to a security query. The EVENT_ID Data Element, when available, should reflect any regional or interconnection-wide recognized security event identifier for events that are of greater scope than those administered locally by the Provider (e.g., a NERC Security Coordinator assigned identifier corresponding to a particular implementation of the NERC TLR procedure). SECURITY_TYPE identifies the type of information posted for the event; restricted values are OUTAGE for postings reflecting the state of critical transmission facilities, and LIMIT for postings reflecting the implementation of security procedures to limit or reduce scheduled transactions.
The INITIATING_PARTY identifies by Control Area, Security Coordinator or Transmission Provider code the entity calling for the "outage" or "limit", and RESPONSIBLE_PARTY identifies the entity (Control Area, Transmission Provider, or
Security Coordinator) responsible for administering any resulting security procedure that may be instituted.
PROCEDURE_NAME and PROCEDURE_LEVEL reflect the specific security procedure and, if applicable, the step, stage, or level within that procedure being implemented by RESPONSIBLE_PARTY (e.g., NERC TLR is a recognized security procedure, and level “2a” is a step within that procedure). FACILITY_NAME, FACILITY_CLASS, and FACILITY_LIMIT_TYPE provide specific information related to the impacted transmission facility. FACILITY_LOCATION identifies if the impacted facility is "INTERNAL" or "EXTERNAL" relative to the Transmission Provider's scope of authority over the named facility.
START_TIME and STOP_TIME reflect the period of time encompassed by the particular security event posted. In cases where a security procedure is invoked and then progresses through various levels or stages, there shall be separate postings for each of those stages declared by RESPONSIBLE_PARTY with START_TIME and STOP_TIME reflecting the period of time each specific level of the procedure was in effect.
The use of the security Template to convey information related to major transmission facility outages (SECURITY_TYPE = OUTAGE) is at the discretion of the Provider. Its definition in this Template is intended to formalize the posting of facility outage information in an OASIS Template structure where such information prior to implementation of this Template had been posted in a free-form manner.
Template: security
1. Query
START_TIME
STOP_TIME
TIME_OF_LAST_UPDATE
SECURITY_REF
EVENT_ID
SECURITY_TYPE
INITIATING_PARTY
RESPONSIBLE_PARTY
PROCEDURE_NAME
FACILITY_CLASS
FACILITY_LIMIT_TYPE
FACILITY_LOCATION
2. Response
TIME_OF_LAST_UPDATE
SECURITY_REF
EVENT_ID
SECURITY_TYPE ("LIMIT" or "OUTAGE")
INITIATING_PARTY (e.g., CA/TP code)
RESPONSIBLE_PARTY (e.g., SC code)
PROCEDURE_NAME (e.g., "NERC TLR", or registered)
PROCEDURE_LEVEL (dependent on PROCEDURE_NAME)
220.127.116.11 Transmission Reservation Reduction (reduction)
The Transmission Reservation Reduction (reduction) Template provides information related to the reduction in the Transmission Customer's rights to schedule use of all or a portion of capacity reserved for a given transmission reservation. Specific cases where such a reduction in reserved capacity would be returned in response to this query Template include: secondary market sales (as posted using the transassign or transsell Templates via the REASSIGNED_REF, etc., Data Elements), a Transmission Provider's interruption of the reservation to accommodate higher priority reservations over the interruption interval (partial displacement), etc.
The ASSIGNMENT_REF Query Variable is required and specifies the transmission reservation whose reductions in reserved capacity (if any) are to be returned. The START_TIME and STOP_TIME Query Variables allow the user to select the specific time interval over which the reductions in reserved capacity are to be returned (e.g., return all reductions in June for a year long reservation); by default all reductions over the life of the reservation are returned.
In response to a reduction Template query, each primary record returned (CONTINUATION_FLAG = N) shall include the ASSIGNMENT_REF, CAPACITY_GRANTED and CAPACITY_AVAILABLE in MWs over the interval from START_TIME to STOP_TIME. CAPACITY_AVAILABLE is derived from the transmission reservation's CAPACITY_GRANTED less all reductions (if any) in reserved capacity over the interval from START_TIME to STOP_TIME as specified in the CAPACITY_REDUCED (as negative valued MWs) Data Element. The REDUCTION_TYPE, and REDUCTION_REASON Data Elements describe the circumstances and IMPACTING_REF references the associated transmission reservation (if applicable) that caused the reduction in capacity.
If no reductions in reserved capacity have been posted against the reservation, CAPACITY_AVAILABLE will equal CAPACITY_GRANTED and the REDUCTION_TYPE, REDUCTION_REASON, IMPACTING_REF and CAPACITY_REDUCED Data Elements will be null. This response information is equivalent to the CAPACITY_GRANTED, START_TIME, and STOP_TIME information that would be returned on execution of the transstatus Template.
If the CAPACITY_AVAILABLE over the interval from START_TIME to STOP_TIME is the result of more than one action reducing reserved capacity (e.g., multiple secondary market sales for the same time period), each action reducing capacity will be returned in continuation records (CONTINUATION_FLAG = Y) containing the ASSIGNMENT_REF, REDUCTION_TYPE, REDUCTION_REASON, IMPACTING_REF and CAPACITY_REDUCED Data Elements. If the action is another reservation (e.g. secondary market sale) the REASSIGNED_CAPACITY from that reservation will be shown as a negative value in CAPACITY_REDUCED.
1. **Query**
START_TIME
STOP_TIME
ASSIGNMENT_REF* (must be specified)
2. **Response**
CONTINUATION_FLAG
ASSIGNMENT_REF
CAPACITY_GRANTED
CAPACITY_AVAILABLE
START_TIME
STOP_TIME
REDUCTION_TYPE (e.g., REDIRECT, INTERRUPTION, RESALE, DISPLACEMENT, etc.)
REDUCTION_REASON
IMPACTING_REF (if applicable)
CAPACITY_REDUCED
### 18.104.22.168 System Data (systemdata)
The System Data (*systemdata*) Template is used to query specific, time varying data that is posted on a PATH, POINT_OF_RECEIPT, and/or POINT_OF_DELIVERY basis. The SYSTEM_ATTRIBUTE Data Element defines the type of information returned in the Template response. The restricted values for SYSTEM_ATTRIBUTE are,
- CBM – Capacity Benefit Margin
- TRM – Transmission Reliability Margin
- TTC – Total Transmission Capability
- NATC – Non-recallable (Firm) Available Transmission Capability
- RATC – Recallable (Non-firm) Available Transmission Capability
- A {registered} – Provider specific registered name for the data posted
Transmission Providers obligated to post values for one or more of the defined SYSTEM_ATTRIBUTEs on specific transmission paths over time (e.g., hourly, then daily, etc.) as called forth in FERC regulations shall return these posted values via the *systemdata* Template. If SYSTEM_ATTRIBUTE is omitted in the query, then all attributes defined by the transmission provider are returned, subject to the other query attributes constraints. A given SYSTEM_ATTRIBUTE may take on only one value at any given point in time. Note that TTC and ATC information may also be viewed using the *transoffering* Template at the Transmission Provider’s discretion. Offers of service posted by Primary Providers as viewed with the *transoffering* Template should reflect the applicable ATC(s) posted via *systemdata* in the CAPACITY Data Element.
Template: *systemdata*
1. **Query**
PATH_NAME*
POINT_OF_RECEIPT*
POINT_OF_DELIVERY*
SYSTEM_ATTRIBUTE*
START_TIME
STOP_TIME
TIME_OF_LAST_UPDATE
2. **Response (acknowledgment)**
POSTING_REF
PATH_NAME
POINT_OF_RECEIPT
POINT_OF_DELIVERY
SYSTEM_ATTRIBUTE
START_TIME
STOP_TIME
ATTRIBUTE_VALUE
ATTRIBUTE_UNITS
TIME_OF_LAST_UPDATE
### 4.3.5 Query/Response of Lists of Information
#### 22.214.171.124 List (list)
List (*list*) is used to provide lists of valid names. The minimum set of lists is LIST, SELLER_CODE, PATH_NAME, POINT_OF_RECEIPT, POINT_OF_DELIVERY, SERVICE_INCREMENT, TS_CLASS, TS_TYPE, TS_PERIOD, TS_SUBCLASS, TS_WINDOW, NERC_CURTAILMENT_PRIORITY, REQUEST_TYPE, ANC_SERVICE_POINT, FACILITY_CLASS, FACILITY_LIMIT_TYPE, PROCEDURE_NAME, SYSTEM_ATTRIBUTE, SECURITY_TYPE, FACILITY_LOCATION, OTHER_CURTAILMENT_PRIORITY, AS_TYPE, CATEGORY, and TEMPLATE. The information returned by the *list* Template may be used as values for the associated OASIS Data Elements to query information, post or request services.
**Template: list**
1. **Query**
LIST_NAME
TIME_OF_LAST_UPDATE
2. **Response**
TIME_OF_LAST_UPDATE
4.3.6 Purchase Transmission Services
The following Templates shall be used by Customers and Sellers to transact purchases of services.
126.96.36.199 Customer Capacity Purchase Request (transrequest)
The **Customer Capacity Purchase Request** (Input) *(transrequest)* is used by the Customer to request the purchase of transmission services or request changes to previously submitted reservations for transmission services. The response simply acknowledges that the Customer's request was received by the OASIS Node. It does not imply that the Seller has received the request. Inputting values into the reference Data Elements is optional.
CUSTOMER_CODE and CUSTOMER_DUNS shall be determined from the registered connection used to input the request.
Supporting "profiles" of service, which request different capacities (and optionally price) for different time periods within a single request, is at the discretion of the Primary Provider. Continuation records may be used to indicate requests for these service profiles; use of continuation records is only supported when using the CSV Format upload of Template data. Each segment of a profile is represented by the Data Elements CAPACITY_REQUESTED, START_TIME, and STOP_TIME, which define the intervals in time over which a non-zero MW demand is being requested. The initial segment of a profile is defined by the CAPACITY_REQUESTED, START_TIME and STOP_TIME Data Elements specified in the first/only record submitted; subsequent segments are specified in continuation records each containing the appropriate CAPACITY_REQUESTED, START_TIME and STOP_TIME values defining the segment. Provider's may optionally support price negotiation on segments of a profiled reservation request. In this case, the BID_PRICE Data Element is also included in each continuation record. If the BID_PRICE Data Element is not specified in the continuation records, the BID_PRICE specified in the first/only record submitted will be applied to the entire reservation request.
For requesting transmission services which include multiple paths, the following fields may be specified using continuation records: PATH_NAME, POINT_OF_RECEIPT, and POINT_OF_DELIVERY. Supporting multiple paths or multiple POINT_OF_RECEIPT and POINT_OF DELIVERY is at the discretion of the Provider.
The START_TIME and STOP_TIME indicate the requested period of service.
When the request is received at the OASIS Node, the TSIP assigns a unique ASSIGNMENT_REF value and queues the request with a time stamp. The STATUS for the request is QUEUED. The IMPACTED counter is initially set to 0. If the new request is not modifying an existing reservation (as indicated by a null value for the RELATED_REF Data Element) and the SELLER is the Primary Provider, REQUEST_TYPE must either be specified as "ORIGINAL" or be left null and OASIS will substitute the default value of "ORIGINAL". If the new request is not modifying an existing reservation and the SELLER is not the Primary Provider, REQUEST_TYPE
must either be specified as "RESALE" or be left null and OASIS will substitute the default value of "RESALE".
If the new request is modifying an existing transmission reservation, the Data Elements REQUEST_TYPE and RELATED_REF must be entered. RELATED_REF contains the ASSIGNMENT_REF for the transmission reservation being modified, and REQUEST_TYPE must be one of MATCHING, REDIRECT, DEFERRAL, RENEWAL, or a Primary Provider registered value.
Specification of a value YES in the PRECONFIRMED field authorizes the TSIP to automatically change the STATUS field in the transstatus Template to CONFIRMED when that request is ACCEPTED by the Seller.
Template: transrequest
1. **Input**
CONTINUATION_FLAG
SELLER_CODE (Primary or Reseller)
SELLER_DUNS
PATH_NAME
POINT_OF_RECEIPT
POINT_OF_DELIVERY
SOURCE
SINK
CAPACITY_REQUESTED
SERVICE_INCREMENT
TS_CLASS
TS_TYPE
TS_PERIOD
TS_WINDOW
TS_SUBCLASS
STATUS_NOTIFICATION
START_TIME
STOP_TIME
BID_PRICE
PRECONFIRMED
ANC_SVC_LINK
POSTING_REF (Optionally set by Customer)
SALE_REF (Optionally set by Customer)
REQUEST_REF (Optionally set by Customer)
DEAL_REF (Optionally set by Customer)
CUSTOMER_COMMENTS
REQUEST_TYPE (Required for request changes)
RELATED_REF (Required for request changes)
2. **Response** (acknowledgment)
RECORD_STATUS
CONTINUATION_FLAG
ASSIGNMENT_REF (assigned by TSIP)
SELLER_CODE
SELLER_DUNS
PATH_NAME
POINT_OF_RECEIPT
POINT_OF_DELIVERY
SOURCE
SINK
CAPACITY_REQUESTED
SERVICE_INCREMENT
TS_CLASS
TS_TYPE
TS_PERIOD
TS_WINDOW
TS_SUBCLASS
STATUS_NOTIFICATION
START_TIME
STOP_TIME
BID_PRICE
PRECONFIRMED
ANC_SVC_LINK
POSTING_REF
SALE_REF
REQUEST_REF
DEAL_REF
CUSTOMER_COMMENTS
REQUEST_TYPE
RELATED_REF
ERROR_MESSAGE
188.8.131.52 Status of Customer Purchase Request (transstatus)
The **Status of Customer Purchase Request** (*transstatus*) is provided upon the request of any Customer or Provider to indicate the current status of one or more reservation records. Users may also view any transaction's status. However, the SOURCE and SINK may be masked for User requests until Transmission Providers must make source and sink information available at the time the request status posting is updated to show that a transmission request is confirmed.
Continuation records may be returned in association with a transmission reservation to convey information regarding: 1) sale or assignment of transmission rights on the secondary market (reassignments), 2) profiled requests, or 3) service over multiple paths. Each continuation record associated with a transmission reservation shall be identified by the CONTINUATION_FLAG Data Element set to 'Y' and include the ASSIGNMENT_REF Data Element.
When a transmission reservation request acquires its rights to transmission service as the result of a sale or assignment of transmission rights on the secondary market, the
identity of the original reservation, capacity, and time interval over which rights are assigned to the new reservation are defined by the Data Elements REASSIGNED_REF, REASSIGNED_CAPACITY, REASSIGNED_START_TIME, and REASSIGNED_STOP_TIME. These Data Elements will be returned in continuation records when more than one set of reassignment information is associated with a reservation.
If the transmission reservation has an associated profile, either as a result of the submission of CAPACITY_REQUESTED varying over time (support for Customer reservation profiles is at the discretion of the Provider) or due to the Provider offering partial service specifying a CAPACITY_GRANTED varying over time, then CAPACITY_GRANTED, CAPACITY_REQUESTED, START_TIME and STOP_TIME for the segments of the profile will be returned in continuation records. If the Provider supports negotiation of price on each segment of a Customer profiled request, BID_PRICE and OFFER_PRICE will also be returned with CAPACITY_REQUESTED, CAPACITY_GRANTED, START_TIME and STOP_TIME.
If the Provider supports reservations submitted on multiple paths, continuation records specifying PATH_NAME, POINT_OF_RECEIPT, and POINT_OF_DELIVERY associated with the reservation would be returned in continuation records. The AFFILIATE_FLAG will be set by the TSIP to indicate whether or not the Customer is an affiliate of the Primary Provider. The NEGOTIATED_PRICE_FLAG will be set by the TSIP to indicate whether the OFFER_PRICE is higher, lower, or the same as the BID_PRICE. Any time that a confirmed transmission reservation's rights to schedule up to the amount of CAPACITY_GRANTED is reduced, either due to secondary market sales, partial displacements, Provider initiated "recalls" of capacity, etc., the IMPACTED Data Element shall be incremented. Specific information regarding the MW level and reason for reduction in reserved capacity is viewable using the reduction Template.
Template: transstatus
1. Query
SELLER_CODE*
SELLER_DUNS*
CUSTOMER_CODE*
CUSTOMER_DUNS*
PATH_NAME*
POINT_OF_RECEIPT*
POINT_OF_DELIVERY*
SERVICE_INCREMENT*
TS_CLASS*
TS_TYPE*
TS_PERIOD*
TS_WINDOW*
TS_SUBCLASS*
STATUS*
START_TIME (Beginning time of service)
STOP_TIME
START_TIME_QUEUED (Beginning time queue)
STOP_TIME_QUEUED
2. Response
CONTINUATION_FLAG
ASSIGNMENT_REF
SELLER_CODE
SELLER_DUNS
CUSTOMER_CODE
CUSTOMER_DUNS
AFFILIATE_FLAG (Set by TSIP)
PATH_NAME
POINT_OF_RECEIPT
POINT_OF_DELIVERY
SOURCE
SINK
CAPACITY_REQUESTED
CAPACITY_GRANTED
SERVICE_INCREMENT
TS_CLASS
TS_TYPE
TS_PERIOD
TS_WINDOW
TS_SUBCLASS
NERC_CURTAILMENT_PRIORITY
OTHER_CURTAILMENT_PRIORITY
START_TIME
STOP_TIME
CEILING_PRICE
OFFER_PRICE
BID_PRICE
PRICE_UNITS
PRECONFIRMED
ANC_SVC_LINK
ANC_SVC_REQ
POSTING_REF
SALE_REF
REQUEST_REF
DEAL_REF
IMPACTED (Greater than 0, if another reservation impacts this reservation)
184.108.40.206 Seller Approval of Purchase (transsell)
Seller Approval of Purchase (Input) (transsell) is input by a Seller to modify the status and queue of a request by a Customer.
The following fields may be submitted in continuation records for the transsell Template to convey transmission rights from multiple original transmission reservations to this new reservation: REASSIGNED_REF, REASSIGNED_CAPACITY, REASSIGNED_START_TIME, and REASSIGNED_STOP_TIME. Use of continuation records is only supported when using the CSV format upload of Template data.
If the Provider/Seller cannot accommodate the Customer's CAPACITY_REQUESTED and is obligated or elects to offer the Customer partial service that varies over the total period of the reservation, CAPACITY_GRANTED, START_TIME and STOP_TIME Data Elements may be repeated in continuation records.
If the Provider/Seller supports the negotiation of price on individual segments of a profiled reservation request (support for reservation profiles is at the discretion of the
Provider), OFFER_PRICE, START_TIME and STOP_TIME Data Elements may be submitted in continuation records to modify the Seller's offer price associated with the profile segment(s) corresponding to START_TIME and STOP_TIME. OFFER_PRICE associated with each segment of a profiled request must match the corresponding BID_PRICE for the reservation request's STATUS to be set to ACCEPTED.
SELLER_CODE and SELLER_DUNS shall be determined from the registered connection used to input the request. The SELLER_REF Data Element may be set by the SELLER to a seller specific internal tracking number. If the reservation is subject to the right of first refusal pending a status change to Displaced, the COMPETING_REQUEST_FLAG shall be set to Y, and SELLER_COMMENTS shall be updated with a reference to the competing requests ASSIGNMENT_REF.
If the reservation is subject to the right of first refusal pending a status change to Superseded, the COMPETING_REQUEST_FLAG shall be set to Y, the OFFER_PRICE shall be updated, the SELLER_COMMENTS shall be updated with a reference to the competing requests ASSIGNMENT_REF, and the STATUS shall be set to COUNTEROFFER. Once the disposition of the request is finalized, the COMPETING_REQUEST_FLAG shall be reset to N and any appropriate status change shall be made.
The Seller may accept a reservation only when the BID_PRICE and the OFFER_PRICE are the same.
Template: transsell
1. Input
CONTINUATION_FLAG
ASSIGNMENT_REF (Required)
START_TIME
STOP_TIME
OFFER_PRICE
CAPACITY_GRANTED
STATUS =
RECEIVED, INVALID, STUDY, COUNTEROFFER, ACCEPTED,
REFUSED, SUPERSEEDED, DECLINED, ANNULLED, RETRACTED,
DISPLACED
STATUS_COMMENTS
ANC_SVC_LINK
ANC_SVC_REQ
COMPETING_REQUEST_FLAG
NEGOTIATED_PRICE_FLAG
SELLER_REF
SELLER_COMMENTS
RESPONSE_TIME_LIMIT
REASSIGNED_REF
REASSIGNED_CAPACITY (Previous capacity to be reassigned)
REASSIGNED_START_TIME
REASSIGNED_STOP_TIME
2. **Response**
RECORD_STATUS
CONTINUATION_FLAG
ASSIGNMENT_REF
START_TIME
STOP_TIME
OFFER_PRICE
CAPACITY_GRANTED
STATUS =
RECEIVED, INVALID, STUDY, COUNTEROFFER, ACCEPTED,
REFUSED, SUPERSEDED, DECLINED, ANNULLED, RETRACTED,
DISPLACED
STATUS_COMMENTS
ANC_SVC_LINK
ANC_SVC_REQ
COMPETING_REQUEST_FLAG
NEGOTIATED_PRICE_FLAG
SELLER_REF
SELLER_COMMENTS
RESPONSE_TIME_LIMIT
REASSIGNED_REF
REASSIGNED_CAPACITY (Previous capacity to be reassigned)
REASSIGNED_START_TIME
REASSIGNED_STOP_TIME
ERROR_MESSAGE
220.127.116.11 Customer Confirmation of Purchase (Input) (transcust)
Customer Confirmation of Purchase (Input) (*transcust*) is input by the Customer to state his agreement or withdrawal of a purchase after the Seller has indicated that the purchase request is approved.
Only the BID_PRICE, STATUS, STATUS_COMMENTS, ANC_SVC_LINK, and CUSTOMER_COMMENTS Data Elements can be modified in this Template.
The PRECONFIRMED Data Element may only be set to a value of 'Y' using this Template. Once the Customer has set PRECONFIRMED to 'Y', either on the original submission of the *transrequest* Template or via this Template, its value cannot be reset to 'N'. CUSTOMER_CODE and CUSTOMER_DUNS shall be determined from the registered connection used to input the request.
The Customer must change the BID_PRICE to be equal to the OFFER_PRICE before the reservation request's STATUS can be set to CONFIRMED.
If the Provider/Seller supports the negotiation of price on individual segments of a profiled reservation request (support for reservation profiles is at the discretion of the Provider), BID_PRICE, START_TIME and STOP_TIME Data Elements may be submitted in continuation records to modify the Customer's bid price associated with the profile segment(s) corresponding to START_TIME and STOP_TIME.
BID_PRICE associated with each segment of a profiled request must match the corresponding OFFER_PRICE for the reservation request's STATUS to be set to CONFIRMED.
Template: transcust
1. Input
CONTINUATION_FLAG
ASSIGNMENT_REF (Required)
START_TIME
STOP_TIME
REQUEST_REF
DEAL_REF
BID_PRICE
PRECONFIRMED
STATUS=
REBID, CONFIRMED, WITHDRAWN
STATUS_COMMENTS
ANC_SVC_LINK
STATUS_NOTIFICATION If left blank, then original URL from the transrequest will be used
CUSTOMER_COMMENTS
2. Response
RECORD_STATUS
CONTINUATION_FLAG
ASSIGNMENT_REF
START_TIME
STOP_TIME
REQUEST_REF
DEAL_REF
BID_PRICE
PRECONFIRMED
STATUS=
REBID, CONFIRMED, WITHDRAWN
STATUS_COMMENTS
ANC_SVC_LINK
STATUS_NOTIFICATION
CUSTOMER_COMMENTS
ERROR_MESSAGE
18.104.22.168 Seller to Reassign Service Rights to Another Customer (transassign)
Seller to Reassign Service Rights to Another Customer (Input) (transassign) is used by the seller to ask the Transmission Services Information Provider to reassign some or all
of the seller's rights to Services to another Customer, for seller confirmed transactions that have occurred off the OASIS Node.
The TSIP shall assign a unique ASSIGNMENT_REF in the response (acknowledgment) and enter the status CONFIRMED as viewed in the transstatus Template. SELLER_CODE and SELLER_DUNS shall be determined from the registered connection used to input the request.
Only the following fields may be redefined in a continuation record for the transassign input Template: CAPACITY_REQUESTED, CAPACITY_GRANTED, START_TIME, STOP_TIME, REASSIGNED_REF, REASSIGNED_CAPACITY, REASSIGNED_START_TIME, and REASSIGNED_STOP_TIME. The REQUEST_TYPE of "RESALE" is implied through execution of this Template.
Template: transassign
1. Input
CONTINUATION_FLAG
CUSTOMER_CODE
CUSTOMER_DUNS
PATH_NAME
POINT_OF_RECEIPT
POINT_OF_DELIVERY
SOURCE
SINK
CAPACITY_REQUESTED
CAPACITY_GRANTED
SERVICE_INCREMENT
TS_CLASS
TS_TYPE
TS_PERIOD
TS_WINDOW
TS_SUBCLASS
START_TIME
STOP_TIME
OFFER_PRICE
ANC_SVC_LINK (optional: filled in if assignment is different than original transmission reservation)
POSTING_NAME
REASSIGNED_REF
REASSIGNED_CAPACITY (Capacity being sold from each previous assignment)
REASSIGNED_START_TIME
REASSIGNED_STOP_TIME
SELLER_COMMENTS
SELLER_REF
2. Response (acknowledgment)
RECORD_STATUS
CONTINUATION_FLAG
ASSIGNMENT_REF (assigned by TSIP)
CUSTOMER_CODE
CUSTOMER_DUNS
PATH_NAME
POINT_OF_RECEIPT
POINT_OF_DELIVERY
SOURCE
SINK
CAPACITY_REQUESTED
CAPACITY_GRANTED (Total capacity being reassigned)
SERVICE_INCREMENT
TS_CLASS
TS_TYPE
TS_PERIOD
TS_WINDOW
TS_SUBCLASS
START_TIME
STOP_TIME
OFFER_PRICE
ANC_SVC_LINK
POSTING_NAME
REASSIGNED_REF
REASSIGNED_CAPACITY (Capacity being sold from each previous assignment)
REASSIGNED_START_TIME
REASSIGNED_STOP_TIME
SELLER_COMMENTS
SELLER_REF
ERROR_MESSAGE
4.3.7 Seller Posting of Transmission Services
Sellers shall use the following Templates for providing sell information. They may aggregate portions of several previous purchases to create a new service, if this capability is provided by the Transmission Services Information Provider:
22.214.171.124 Seller Capacity Posting (transpost)
Seller Capacity Posting (Input) (transpost) shall be used by the Seller to post the transmission capacity for resale on to the OASIS Node.
SELLER_CODE and SELLER_DUNS shall be determined from the registered connection used to input the request.
Template: transpost
1. Input
PATH_NAME
POINT_OF_RECEIPT
POINT_OF_DELIVERY
INTERFACE_TYPE
CAPACITY
SERVICE_INCREMENT
TS_CLASS
TS_TYPE
TS_PERIOD
TS_WINDOW
TS_SUBCLASS
ANC_SVC_REQ
START_TIME
STOP_TIME
OFFER_START_TIME
OFFER_STOP_TIME
SALE_REF
OFFER_PRICE
SERVICE_DESCRIPTION
SELLER_COMMENTS
2. **Response (Acknowledgment)**
RECORD_STATUS
POSTING_REF (Assigned by TSIP)
PATH_NAME
POINT_OF_RECEIPT
POINT_OF_DELIVERY
INTERFACE_TYPE
CAPACITY
SERVICE_INCREMENT
TS_CLASS
TS_TYPE
TS_PERIOD
TS_WINDOW
TS_SUBCLASS
ANC_SVC_REQ
START_TIME
STOP_TIME
OFFER_START_TIME
OFFER_STOP_TIME
SALE_REF
OFFER_PRICE
SERVICE_DESCRIPTION
SELLER_COMMENTS
ERROR_MESSAGE
126.96.36.199 Seller Capacity Modify (transupdate)
Seller Capacity Modify (Input) (\textit{transupdate}) shall be used by a Seller to modify a posting of transmission capacity. SELLER_CODE and SELLER_DUNS shall be determined from the registered connection used to input the request.
Template: \textit{transupdate}
1. **Input**
POSTING_REF (Must be provided)
CAPACITY (only if modified)
START_TIME (only if modified)
STOP_TIME (only if modified)
OFFER_START_TIME (only if modified)
OFFER_STOP_TIME (only if modified)
ANC_SVC_REQ (only if modified)
SALE_REF (only if modified)
OFFER_PRICE (only if modified)
SERVICE_DESCRIPTION (only if modified)
SELLER_COMMENTS (only if modified)
2. **Response** (acknowledgment)
RECORD_STATUS
POSTING_REF
CAPACITY
START_TIME
STOP_TIME
OFFER_START_TIME
OFFER_STOP_TIME
ANC_SVC_REQ
SALE_REF
OFFER_PRICE
SERVICE_DESCRIPTION
SELLER_COMMENTS
ERROR_MESSAGE
4.3.8 Purchase of Ancillary Services
188.8.131.52 Customer Requests to Purchase Ancillary Services (\textit{ancrequest})
Customer Requests to Purchase Ancillary Services (\textit{ancrequest}) (Input, Template Upload) is used by the customer to request ancillary services that have been posted by a seller of those services. The response simply acknowledges that the Customer's request was received by the OASIS Node. It does not imply that the Seller has received
the request. The same requirements exist for the use of STATUS_NOTIFICATION as for transrequest. Submitting values into the reference Data Elements is optional. CUSTOMER_CODE and CUSTOMER_DUNS shall be determined from the registered connection used to input the request.
Supporting "profiles" of ancillary service, which request different capacities (and optionally price) for different time periods within a single request, is at the discretion of the Primary Provider. Continuation records may be used to indicate requests for these service profiles. Each segment of a profile is represented by the Data Elements CAPACITY, START_TIME, and STOP_TIME, which define the intervals in time over which a non-zero MW demand is being requested. The initial segment of a profile is defined by the CAPACITY, START_TIME and STOP_TIME Data Elements specified in the first/only record submitted; subsequent segments are specified in continuation records each containing the appropriate CAPACITY, START_TIME and STOP_TIME values defining the segment. Provider's may optionally support price negotiation on segments of a profiled reservation request. In this case, the BID_PRICE Data Element is also included in each continuation record. If the BID_PRICE Data Element is not specified in the continuation records, the BID_PRICE specified in the first/only record submitted will be applied to the entire reservation request.
The START_TIME and STOP_TIME indicate the requested period of service. When the request is received at the OASIS Node, the TSIP assigns a unique ASSIGNMENT_REF value and queues the request with a time stamp. The STATUS for the request is QUEUED.
Specification of a value YES in the PRECONFIRMED field authorizes the TSIP to automatically change the STATUS field in the ancstatus Template to CONFIRMED when that request is ACCEPTED by the Seller.
Template: ancrequest
1. Input
CONTINUATION_FLAG
SELLER_CODE
SELLER_DUNS
CONTROL_AREA
ANC_SERVICE_POINT
CAPACITY
SERVICE_INCREMENT
AS_TYPE
STATUS_NOTIFICATION
START_TIME
STOP_TIME
BID_PRICE
PRECONFIRMED
POSTING_REF (Optionally set by Customer)
SALE_REF (Optionally set by Customer)
REQUEST_REF (Optionally set by Customer)
DEAL_REF (Optionally set by Customer)
CUSTOMER_COMMENTS
2. **Response (acknowledgment)**
RECORD_STATUS
CONTINUATION_FLAG
ASSIGNMENT_REF (assigned by TSIP)
SELLER_CODE
SELLER_DUNS
CONTROL_AREA
ANC_SERVICE_POINT
CAPACITY
SERVICE_INCREMENT
AS_TYPE
STATUS_NOTIFICATION
START_TIME
STOP_TIME
BID_PRICE
PRECONFIRMED
POSTING_REF
SALE_REF
REQUEST_REF
DEAL_REF
CUSTOMER_COMMENTS
ERROR_MESSAGE
### 184.108.40.206 Ancillary Services Status (ancstatus)
Ancillary Services Status (*ancstatus*) is used to provide the status of purchase requests regarding the ancillary services that are available for sale by all Service Providers. Continuation records may be returned in association with an ancillary services reservation to convey information regarding: 1) sale or assignment of ancillary rights on the secondary market (reassignments), or 2) profiled requests. When an ancillary reservation request is the result of a sale or assignment of transmission or ancillary rights on the secondary market, the identity of the original reservation, capacity, and time interval over which rights are assigned to the new reservation are defined by the Data Elements REASSIGNED_REF, REASSIGNED_CAPACITY, REASSIGNED_START_TIME, and REASSIGNED_STOP_TIME. These Data Elements will be returned in continuation records when more than one set of reassignment information is associated with a reservation. If the reservation has an associated profile (support for reservation profiles is at the discretion of the Provider), CAPACITY, START_TIME and STOP_TIME for the segments of the profile will be returned in continuation records. If the Provider supports negotiation of price on each segment of a profiled request, BID_PRICE and OFFER_PRICE will also be returned with CAPACITY, START_TIME and STOP_TIME.
The AFFILIATE_FLAG will be set by the TSIP to indicate whether or not the Customer is an affiliate of the Seller.
The values of STATUS and processes for setting STATUS are the same as for *transstatus*.
1. Query
SELLER_CODE*
SELLER_DUNS*
CUSTOMER_CODE*
CUSTOMER_DUNS*
CONTROL_AREA
ANC_SERVICE_POINT
SERVICE_INCREMENT
AS_TYPE
STATUS
START_TIME
STOP_TIME
START_TIME_QUEUED
STOP_TIME_QUEUED
NEGOTIATED_PRICE_FLAG
ASSIGNMENT_REF
REASSIGNED_REF
SALE_REF
REQUEST_REF
DEAL_REF
TIME_OF_LAST_UPDATE (only if TIME_OF_LAST_UPDATE is posted by record)
2. Response
CONTINUATION_FLAG
ASSIGNMENT_REF
SELLER_CODE
SELLER_DUNS
CUSTOMER_CODE
CUSTOMER_DUNS
AFFILIATE_FLAG (Set by TSIP)
CONTROL_AREA
ANC_SERVICE_POINT
CAPACITY
SERVICE_INCREMENT
AS_TYPE
START_TIME
STOP_TIME
CEILING_PRICE
OFFER_PRICE
BID_PRICE
PRICE_UNITS
PRECONFIRMED
POSTING_REF
220.127.116.11 Seller Approves Ancillary Service (ancsell)
Seller Approves Ancillary Service (ancsell) is used by the Seller to confirm acceptance after the Seller has approved the purchase of ancillary service.
The following fields may be submitted in continuation records for the ancsell Template to convey ancillary rights from multiple original ancillary service reservations to this new reservation: REASSIGNED_REF, REASSIGNED_CAPACITY, REASSIGNED_START_TIME, and REASSIGNED_STOP_TIME. If the Provider/Seller supports the negotiation of price on individual segments of a profiled reservation request (support for reservation profiles is at the discretion of the Provider), OFFER_PRICE, START_TIME and STOP_TIME Data Elements may be submitted in continuation records to modify the Seller's offer price associated with the profile segment(s) corresponding to START_TIME and STOP_TIME. OFFER_PRICE associated with each segment of a profiled request must match the corresponding BID_PRICE for the reservation request's STATUS to be set to ACCEPTED.
SELLER_CODE and SELLER_DUNS shall be determined from the registered connection used to input the request.
1. **Input**
CONTINUATION_FLAG
ASSIGNMENT_REF (Required)
START_TIME
STOP_TIME
OFFER_PRICE
STATUS = INVALID, RECEIVED, STUDY, COUNTEROFFER, SUPERSeded, ACCEPTED, REFUSED, DECLINED, ANNULLED, RETRACTED, DISPLACED
STATUS_COMMENTS
NEGOTIATED_PRICE_FLAG
RESPONSE_TIME_LIMIT
SELLER_COMMENTS
REASSIGNED_REF
REASSIGNED_CAPACITY
REASSIGNED_START_TIME
REASSIGNED_STOP_TIME
2. **Response** (acknowledgment)
RECORD_STATUS
CONTINUATION_FLAG
ASSIGNMENT_REF
START_TIME
STOP_TIME
OFFER_PRICE
STATUS =
INVALID, RECEIVED, STUDY, COUNTEROFFER, SUPERSeded, ACCEPTED, REFUSED, DECLINED, ANNULLED, RETRACTED, DISPLACED
STATUS_COMMENTS
NEGOTIATED_PRICE_FLAG
RESPONSE_TIME_LIMIT
SELLER_COMMENTS
REASSIGNED_REF
REASSIGNED_CAPACITY
REASSIGNED_START_TIME
REASSIGNED_STOP_TIME
ERROR_MESSAGE
18.104.22.168 Customer accepts Ancillary Service (anccust)
Customer accepts Ancillary Service (anccust) is used by the customer to confirm acceptance after the seller has approved the purchase of ancillary service.
The Customer must change the BID_PRICE to be equal to the OFFER_PRICE before the reservation request's STATUS can be set to CONFIRMED. If the Provider/Seller supports the negotiation of price on individual segments of a profiled reservation request (support for reservation profiles is at the discretion of the Provider), BID_PRICE, START_TIME and STOP_TIME Data Elements may be submitted in continuation records to modify the Customer's bid price associated with the profile segment(s) corresponding to START_TIME and STOP_TIME. BID_PRICE associated with each segment of a profiled request must match the corresponding OFFER_PRICE for the reservation request's STATUS to be set to CONFIRMED.
CUSTOMER_CODE and CUSTOMER_DUNS shall be determined from the registered connection used to input the request.
Template: anccust
1. **Input**
CONTINUATION_FLAG
ASSIGNMENT_REF (Required)
START_TIME
STOP_TIME
REQUEST_REF
DEAL_REF
BID_PRICE
PRECONFIRMED
STATUS=
REBID, CONFIRMED, WITHDRAWN
STATUS_COMMENTS
STATUS_NOTIFICATION (If left blank, then the original URL from the ancrequest will be used
CUSTOMER_COMMENTS
2. **Response** (Acknowledgment)
RECORD_STATUS
CONTINUATION_FLAG
ASSIGNMENT_REF
START_TIME
STOP_TIME
REQUEST_REF
DEAL_REF
BID_PRICE
PRECONFIRMED
STATUS =
REBID, CONFIRMED, WITHDRAWN
STATUS_COMMENTS
STATUS_NOTIFICATION
CUSTOMER_COMMENTS
ERROR_MESSAGE
22.214.171.124 Seller to Reassign Service Rights to Another Customer (ancassign)
Seller to Reassign Service Rights to Another Customer (Input) (ancassign) is used by the seller to ask the Transmission Services Information Provider to reassign some or all of the seller's rights to Services to another Customer, for seller confirmed transactions that have occurred off the OASIS Node.
Implementation of this Template is optional until such time that a business case requiring the use of such a facility to selectively reassign ancillary services is clearly demonstrated.
The TSIP shall assign a unique ASSIGNMENT_REF in the response (acknowledgment) and enter the status CONFIRMED as viewed in the ancstatus Template.
SELLER_CODE and SELLER_DUNS shall be determined from the registered connection used to input the request.
Only the following fields may be redefined in a continuation record for the ancassign input Template:
CAPACITY, START_TIME, STOP_TIME, REASSIGNED_REF, REASSIGNED_CAPACITY, REASSIGNED_START_TIME, and REASSIGNED_STOP_TIME.
SELLER_CODE and SELLER_DUNS shall be determined from the registered connection used to input the request.
Template: ancassign
1. **Input**
CONTINUATION_FLAG
CUSTOMER_CODE
CUSTOMER_DUNS
CONTROL_AREA
ANC_SERVICE_POINT
CAPACITY
SERVICE_INCREMENT
AS_TYPE
START_TIME
STOP_TIME
OFFER_PRICE
POSTING_NAME
REASSIGNED_REF
REASSIGNED_CAPACITY (Capacity being sold from each previous assignment)
REASSIGNED_START_TIME
REASSIGNED_STOP_TIME
SELLER_COMMENTS
2. **Response (acknowledgment)**
RECORD_STATUS
CONTINUATION_FLAG
ASSIGNMENT_REF (assigned by TSIP)
4.3.9 Seller Posting of Ancillary Services
126.96.36.199 Seller Ancillary Services Posting (ancpost)
Seller Ancillary Services Posting (ancpost) is used by the Seller to post information regarding the different services that are available for sale by third party Sellers of ancillary services. SELLER_CODE and SELLER_DUNS shall be determined from the registered connection used to input the request.
Template: ancpost
1. **Input**
- CONTROL_AREA
- SERVICE_DESCRIPTION
- CAPACITY
- SERVICE_INCREMENT
- AS_TYPE
- START_TIME
- STOP_TIME
- OFFER_START_TIME
- OFFER_STOP_TIME
- SALE_REF
- OFFER_PRICE
- SELLER_COMMENTS
2. **Response** (acknowledgment)
- RECORD_STATUS
- POSTING_REF (Assigned by TSIP)
188.8.131.52 Seller Modify Ancillary Services Posting (ancupdate)
Seller Modify Ancillary Services Posting (ancupdate) is used by the Seller to modify posted information regarding ancillary services that are available for sale by a third party Seller.
SELLER_CODE and SELLER_DUNS shall be determined from the registered connection used to input the request.
Template: ancupdate
1. Input
POSTING_REF (Required)
CAPACITY (only if modified)
SERVICE_DESCRIPTION (only if modified)
START_TIME (only if modified)
STOP_TIME (only if modified)
OFFER_START_TIME (only if modified)
OFFER_STOP_TIME (only if modified)
SALE_REF (only if modified)
OFFER_PRICE (only if modified)
SELLER_COMMENTS (only if modified)
2. Response (acknowledgment)
RECORD_STATUS
POSTING_REF
CAPACITY
SERVICE_DESCRIPTION
START_TIME
STOP_TIME
OFFER_START_TIME
OFFER_STOP_TIME
SALE_REF
4.3.10 Informal Messages
184.108.40.206 Provider/Customer Want Ads and Informal Message Posting Request (messagepost)
Provider/Customer Want Ads and Informal Message Posting Request (messagepost) is used by Providers and Customers who wish to post a message. The valid entries for CATEGORY shall be defined by providers and shall be listed in the List of CATEGORY Template.
CUSTOMER_CODE and CUSTOMER_DUNS shall be determined from the registered connection used to input the request.
When the OASIS node is out of service and transmission requests are received by the TP by phone or fax then the CATEGORY=OASIS_MAINTENANCE_OUTAGE will be used to document the outage.
The VALID_FROM_TIME will be the time the outage started and VALID_TO_TIME will be the time the outage ended. A list of all transactions that occurred during the outage and entered afterwards will be available through a query of the transstatusTemplate using START_TIME_QUEUED=<VALID_FROM_TIME> and STOP_TIME_QUEUED=<VALID_TO_TIME>.
Template: messagepost
1. **Input**
SUBJECT
CATEGORY
VALID_FROM_TIME
VALID_TO_TIME
MESSAGE (must be specified)
2. **Response** (acknowledgment)
RECORD_STATUS
POSTING_REF (assigned by information provider)
SUBJECT
CATEGORY
VALID_FROM_TIME
VALID_TO_TIME
MESSAGE
ERROR_MESSAGE
220.127.116.11 Message (message)
Message (message) is used to view a posted Want Ad or Informal Message. The CATEGORY Data Element can be queried.
1. **Query**
- CUSTOMER_CODE
- CUSTOMER_DUNS
- POSTING_REF
- CATEGORY
- VALID_FROM_TIME
- VALID_TO_TIME
- TIME_POSTED
2. **Response**
- CUSTOMER_CODE
- CUSTOMER_DUNS
- POSTING_REF
- SUBJECT
- CATEGORY
- VALID_FROM_TIME
- VALID_TO_TIME
- TIME_POSTED
- CUSTOMER_NAME
- CUSTOMER_PHONE
- CUSTOMER_FAX
- CUSTOMER_EMAIL
- MESSAGE
### 18.104.22.168 Provider/Sellers Message Delete Request (messagedelete)
Provider/Sellers Message Delete Request (*messagedelete*) is used by Providers and Sellers who wish to delete their message. The POSTING_REF number is used to determine which message.
CUSTOMER_CODE and CUSTOMER_DUNS shall be determined from the registered connection used to input the request.
**Template: messagedelete**
1. **Input**
- POSTING_REF
2. **Response** (Acknowledgment)
- RECORD_STATUS
- POSTING_REF
- ERROR_MESSAGE
22.214.171.124 Personnel Transfers (personnel)
The *personnel* Template is used to indicate when personnel are transferred between the merchant function and the Transmission Provider function as required by FERC Statutes and Regulations (18 CFR 37.4(b)(2)).
Template: *personnel*
1. **Query**
- TIME_OF_LAST_UPDATE
- START_TIME_POSTED
- STOP_TIME_POSTED
2. **Response**
- POSTING_NAME
- EMPLOYEE_NAME
- FORMER_POSITION
- FORMER_COMPANY
- FORMER_DEPARTMENT
- NEW_POSITION
- NEW_COMPANY
- NEW_DEPARTMENT
- DATE_TIME_EFFECTIVE
- TIME_POSTED
- TIME_OF_LAST_UPDATE
126.96.36.199 Discretion (discretion)
The *discretion* Template is used to describe the circumstances when discretion was exercised in applying terms of the tariff, as described in the FERC Statutes and Regulations (18 CFR 37.4(b)(5)(iii)).
Template: *discretion*
1. **Query**
- START_TIME_POSTED
- STOP_TIME_POSTED
- START_TIME
- STOP_TIME
- SERVICE_TYPE
- SERVICE_NAME
- TIME_OF_LAST_UPDATE
2. **Response**
POSTING_NAME
RESPONSIBLE_PARTY_NAME (name of person granting discretion)
SERVICE_TYPE (ancillary or transmission)
SERVICE_NAME (make consistent with offering Templates)
TARIFF_REFERENCE
START_TIME
STOP_TIME
DISCRETION_DESCRIPTION
TIME_POSTED
TIME_OF_LAST_UPDATE
188.8.131.52 Standards of Conduct (stdconduct)
The stdconduct Template indicates when information is disclosed in a manner contrary to the standards of conduct, as described in the FERC Statutes and Regulations (18 CFR 37.4(b)(4)(ii)).
Template: stdconduct
1. **Query**
- START_TIME_POSTED
- STOP_TIME_POSTED
- TIME_OF_LAST_UPDATE
2. **Response**
- POSTING_NAME
- RESPONSIBLE_PARTY_NAME
- STANDARDS_OF_CONDUCT_ISSUES
- TIME_POSTED
- TIME_OF_LAST_UPDATE
4.3.11 Audit Log
The OASIS audit log report facility shall be implemented by the definition of the following Templates:
- **Transofferingaudit** - audit counterpart to transoffering
- **Ancofferingaudit** - audit counterpart to ancoffering
- **Scheduledetailaudit** - audit counterpart to scheduledetail
- **Securityaudit** - audit counterpart to security
- **Systemdataaudit** - audit counterpart to systemdata
- **Transstatusaudit** - audit counterpart to transstatus
- **Ancstatusaudit** - audit counterpart to ancstatus
- **Personnelaudit** - audit counterpart to personnel
- **Discretionaudit** - audit counterpart to discretion
- **Stdconductaudit** - audit counterpart to stdconduct
Each of these audit Templates is an extension to the OASIS Template definitions of their non-audit counterparts. The requirements for implementation of the audit Templates is defined in the following sections.
184.108.40.206 Query Variables
Each of the audit Templates defined shall support exactly the same set of Query Variables as defined for their non-audit Template counterpart. As with the standard Template definitions, audit reports may be downloaded in Comma Separated Value (CSV) format by the specification of the OUTPUT_FORMAT=DATA Query Variable, or may be viewed using a web browser when OUTPUT_FORMAT=HTML is specified.
220.127.116.11 Audit Report Response Format
Audit report information shall be returned in response to a valid query request made to any of the audit Templates defined. Query variables may be specified as allowed by each individual Template and shall have the effect of limiting the scope of audit data returned to that set of information selected by that combination of additional Query Variables.
The response to an audit query shall consist of ordered sets of information reflecting both the current information as posted on OASIS and the full history of changes made to that information. These ordered sets of information are organized around the individual postings or "records" returned in response to the applicable non-audit Template. For example, execution of the transstatus (or ancstatus) Template returns a set of individual records identified by unique ASSIGNMENT_REF. The transstatusaudit Template response is then organized by ASSIGNMENT_REF and would show all changes made to those Data Elements associated with each individual ASSIGNMENT_REF record.
Execution of the transoffering (or ancoffering or systemdata) Template returns a set of individual records identified by unique POSTING_REF. The transofferingaudit Template response is then organized by POSTING_REF and would show all changes made to those Data Elements associated with each individual POSTING_REF record. The specific audit report response format is detailed in the following sections.
18.104.22.168 Comma Separated Value (CSV) Format
A CSV formatted audit Template response shall comply with all the general provisions and specifications defined previously for a CSV formatted response. The CSV response records shall be organized in sets of records containing both the latest information posted on OASIS and all changes made to that information over time.
22.214.171.124.1 CSV Response Header Records
The following additional Data Element names shall be included as the first set of Data Elements in the COLUMN_HEADERS record and the corresponding Data Element
values shall be included in each subsequent Data Record (row) returned in the audit response:
RECORD_TYPE
TIME_OF_LAST_UPDATE
MODIFYING_COMPANY_CODE
MODIFYING_NAME
These Data Elements shall precede the standard Data Elements associated with the specific Template being invoked.
The RECORD_TYPE Data Element shall take on one of the following restricted values:
I - denotes a record of information as it appeared on its initial Insertion (posting) on OASIS
U - denotes a record of information as it appeared immediately following an Update to the posted information
D - denotes a record of any Deleted information as it last appeared on OASIS.
The TIME_OF_LAST_UPDATE Data Element shall contain the time that the Template Data Elements were inserted, updated or deleted to the values reported in that record (row) of the response. This Data Element is identical to the standard Template TIME_OF_LAST_UPDATE Data Element, and is included as part of the fixed audit specific Data Element columns to aid users in sorting the audit response records.
The MODIFYING_COMPANY_CODE and MODIFYING_NAME Data Elements shall contain the identity of the entity (by the appropriate 4-6 character customer/provider code) and the person that inserted, updated or deleted the Data Elements to the values reported in that record (row) of the response. In the event the modification of posted information cannot be associated with a specific OASIS user (e.g., as a result of an automated back-end process), the MODIFYING_NAME Data Element may be null.
Immediately following the MODIFYING_NAME column header, each of the standard non-audit counterpart Template's Data Elements shall be listed in the exact sequence defined for that non-audit Template.
Finally, OASIS implementations may include additional Data Elements identified by unique column headers appended after the fixed audit and standard Template Data Elements. These additional Data Elements may be used to convey implementation specific information maintained in the OASIS database in association with the data being audited.
126.96.36.199.2 CSV Data Records
In formatting an audit response, OASIS shall collect and order information into sets of Data Records (rows). Each set of records returned shall include a record corresponding to the information as original inserted into the OASIS database denoted by a RECORD_TYPE of "I", and as many additional records with RECORD_TYPE of "U" corresponding to each update made to that information over time. If applicable, a record may also be returned in the set with a RECORD_TYPE of "D" if the corresponding information was effectively deleted from the database. The number of sets of audit report records returned in response to an audit query shall be determined by the number and type of additional Template Query Variables specified by the user.
188.8.131.52.3 CSV Continuation Records
Continuation records are used in certain standard Phase 1-A Templates to report repeating Data Elements associated with a single OASIS transaction such as demand profiles or the reassignment of rights on the secondary market. The first (CONTINUATION_FLAG=N) record and all associated continuation (CONTINUATION_FLAG=Y) records shall be treated as a group when generating the response to an audit query. To minimize the volume of information reported in an audit response, implementations may elect to suppress repeating the contents of information contained in continuation records if none of the Data Elements associated with those continuation records were modified. If, however, the Data Element(s) to be reported by an audit record are contained in one or more of the continuation records (e.g., a change was made to a transmission reservation's demand profile), the first (CONTINUATION_FLAG=N) record followed by the entire group of continuation (CONTINUATION_FLAG=Y) records shall be reported.
184.108.40.206.4 CSV Response Header Records
Finally, OASIS implementations may include additional Data Elements identified by unique column headers appended after the fixed audit and standard Template Data Elements. These additional Data Elements may be used to convey implementation specific information maintained in the OASIS database in association with the data being audited.
220.127.116.11 HTML Output
Specification of the Query Variable OUTPUT_FORMAT=HTML shall minimally result in an audit report formatted identically to the CSV Format (OUTPUT_FORMAT=DATA) with the exception that the response shall be returned using the HTTP header "Content-type: text/plain" specification. This will result in the CSV Data Records being rendered in simple text within the user's web-browser. More sophisticated HTML formatted responses to audit queries may be provided by the TSIPs at their discretion.
18.104.22.168 Special Audit Template Considerations
Transoffering
The transoffering Template is used to convey information on transmission services offered for sale as well as the availability of transmission capability (TTC/ATC). The proposed audit reporting scheme may prove inadequate to generate audits of both the commercial aspects of offers posted on OASIS (i.e., price, etc.) and the reliability aspects associated with those offers (i.e., ATC) depending on how these two different types of information are represented internally by each OASIS node. For those OASIS implementations that handle TTC/ATC information separately from the posting of commercial offers of service, audit reports generated by the transofferingaudit Template may be limited to only reporting changes to the Data Elements associated with the commercial aspects of the offer (e.g., OFFER_PRICE, OFFER_START_TIME, etc.), and may return a null value for the CAPACITY Data
Element. These nodes shall use the systemdataaudit Template audit reporting facility to allow for the full auditing of changes made to TTC and ATC postings as required under Federal Regulations.
**Scheduledetail**
The scheduledetail Template combines information from one or more transmission reservations and transmission security event postings (e.g., TLRs) with information posted on actual scheduled use of the transmission system. Audit information related to changes made to a given transmission reservation shall be auditable using the transstatusaudit Template. Audit information related to the posting of transmission security events that led to a curtailment or interruption of service, or the denial of a request to schedule service shall be auditable using the securityaudit Template. Therefore, the scheduledetailaudit Template shall only be required to report changes to the following Data Elements associated with the scheduledetail Template:
- TRANSACTION_ID
- START_TIME
- STOP_TIME
- SCHEDULE_REQUESTED
- SCHEDULE_GRANTED
- ASSIGNMENT_REF
- PROVIDER_ACTION
- SCHEDULE_LIMIT
- CURTAILMENT_OPTIONS
- SECURITY_REF
### 4.4 FILE REQUEST AND FILE DOWNLOAD EXAMPLES
In the examples, the end-of-line (eol) character is represented by the character, "5". This symbol may appear different on displays or printouts.
#### 4.4.1 File Example for Hourly Offering
Example of the request to Primary Provider, aaa, and response for Seller, wxyz, for PATH_NAME "W/AAAA/PATH-ABC//" for April 10, 1996 from 8 a.m. to 3 p.m. (Note that the PATH_NAME consists of a REGION_CODE, PRIMARY_PROVIDER_CODE, PATH_CODE, and an OPTIONAL_CODE, separated with a slash, "/".)
The VERSION for this release is 1.4. The request is in the form of a URL query string and the response is an ASCII delimited file.
1. **Query**
```
http://(OASIS Node name)/OASIS/aaa/data/transoffering?
ver=1.2&templ=transoffering&fmt=data&pprov=AAAA
&pprovduns=123456789& path=W/AAA/ABC// &seller=WXYZAA
&sellerduns=987654321& POR=aaa& POD=bbb& servincr=hourly&
```
2. Response Data
REQUEST-STATUS=2005 (Successful)
TIME_STAMP=19960409113526PD 5
VERSION=1.45
TEMPLATE=transoffering5
OUTPUT_FORMAT=DATA 5
PRIMARY_PROVIDER_CODE=AAAA5
PRIMARY_PROVIDER_DUNS=1234567895
DATA_ROWS=145
S&CP Version 1.4 July 26, 2000 94
COLUMN_HEADERS=TIME_OF_LAST_UPDATE, SELLER_CODE, SELLER_DUNS,
PATH_NAME,
POINT_OF_RECEIPT, POINT_OF_DELIVERY, INTERFACE_TYPE, OFFER_START_TIME, OFFER_STOP_TIME,
START_TIME, STOP_TIME, CAPACITY, SERVICE_INCREMENT, TS_CLASS,
TS_TYPE, TS_PERIOD,
TS_SUBCLASS, SALE_REF, POSTING_REF, CEILING_PRICE, OFFER_PRICE,
PRICE_UNITS,
SERVICE_DESCRIPTION, SELLER_NAME, SELLER_PHONE, SELLER_FAX,
SELLEREMAIL,
SELLER_COMMENTS 5
19960409030000PD, WXYZ, 987654321, W/AAA/ABC//, N/A, N/A, E, 1996040208
0000PD, 19960410080000PD, 19960410
080000PD, 19960410090000PD, 300, HOURLY, FIRM, POINT_TO_POINT,
OFF_PEAK, N/A, N/A, A001,
1.50, 1.35, MW, N/A, N/A, N/A, N/A, N/A, 10% DISCOUNT 5
19960409030000PD, WXYZ, 987654321, W/AAA/ABC//, N/A, N/A, E, 1996040208
0000PD, 19960410080000PD, 19960410
080000PD, 19960410090000PD, 300, HOURLY, NON-FIRM, POINT_TO_POINT,
OFF_PEAK, N/A, N/A, A001, 1.50,
1.35, MW, N/A, N/A, N/A, N/A, N/A, 10% DISCOUNT 5
19960409030000PD, WXYZ, 987654321, W/AAA/ABC//, N/A, N/A, E, 1996040208
0000PD, 19960410080000PD, 19960410
090000PD, 1996041010000PD, 300, HOURLY, FIRM, POINT_TO_POINT,
OFF_PEAK, N/A,
N/A, A001, 1.50, 1.35, MW, N/A, N/A, N/A, N/A, N/A, 10% DISCOUNT 5
19960409030000PD, WXYZ, 987654321, W/AAA/ABC//, N/A, N/A, E, 1996040208
0000PD, 19960410080000PD, 19960410
090000PD, 1996041010000PD, 300, HOURLY, NON-FIRM, POINT_TO_POINT,
OFF_PEAK, N/A, N/A, A001, 1.50,
1.35, MW, N/A, N/A, N/A, N/A, N/A, 10% DISCOUNT 5
19960409030000PD, WXYZ, 987654321, W/AAA/ABC//, N/A, N/A, E, 1996040208
0000PD, 19960410080000PD, 19960410
4.4.2 File Example for Hourly Schedule Data
This example shows a request for the hourly schedule data from Primary Provider, AAAA, related to the seller, WXYZ, for the period 10 a.m. to 3 p.m. on April 10, 2000. There are two identical requests examples using two slightly different methods. The first request is using a HTTP URL request string through an HTML GET method. The second request is a similar example using fetch_http from a file using a POST method.
1. Query
URL Request (HTTP method=GET) http://(OASIS Node name)/OASIS/aaaa/data/scheduledetail? ver=1.4&pprov=AAAA&
templ=scheduledetail&fmt=data&pprovduns=123456789
&path=W/AAA/ABC//&seller=WXYZ&por=BBB&pod=CCC&tz=PD&
stime=20000410100000PD&stime=20000410150000PD
2. Response Data
REQUEST_STATUS=2005
ERROR_MESSAGE=No error.5
TIME_STAMP=20000410160523ES5
VERSION=1.45
TEMPLATE=scheduledetail5
OUTPUT_FORMAT=DATA5
PRIMARY_PROVIDER_CODE=AAAA5
PRIMARY_PROVIDER_DUNS=1234567895
RETURN_TZ=PD5
DATA_ROWS=35
COLUMN_HEADERS=CONTINUATION_FLAG, TIME_OF_LAST_UPDATE,
SCHEDULE_REF, TRANSACTION_ID, PATH_NAME, POINT_OF_RECEIPT,
POINT_OF_DELIVERY, GCA_CODE, LCA_CODE, SOURCE, SINK,
SCHEDULE_PRIORITY, START_TIME, STOP_TIME, SCHEDULE_REQUESTED,
SCHEDULE_GRANTED, ASSIGNMENT_REF, SELLER_CODE, SELLER_DUNS,
CUSTOMER_CODE, CUSTOMER_DUNS, AFFILIATE_FLAG,
SERVICE_INCREMENT, TS_CLASS, TS_TYPE, TS_PERIOD, TS_WINDOW,
TS_SUBCLASS, NERC_CURTAILMENT_PRIORITY,
OTHER_CURTAILMENT_PRIORITY, CAPACITY_USED, PROVIDER_ACTION,
SCHEDULE_LIMIT, CURTAILMENT_OPTIONS, SECURITY_REF,
INITIATING_PARTY, RESPONSIBLE_PARTY, PROCEDURE_NAME,
PROCEDURE_LEVEL, FACILITY_LOCATION, FACILITY_NAME,
FACILITY_CLASS, FACILITY_LIMIT_TYPE5
N, 20000409030000PD,12345,2233, W/AAA/ABC//, BBB, CCC,,,,,1,
20000410100000PD, 200004101 10000PD,300,300,856743, wxyz,987654321,
WXYZAA,987654322, Y, HOURLY, NON_FIRM, POINT_TO_POINT, OFF_PEAK,
FIXED,,1,1,300,,,,,,,,,,5
N, 20000409030000PD,12346,2233, W/AAA/ABC//, BBB, CCC,,,,,1,
20000410130000PD, 20000410140000PD,300,300,856743,wxyz,987654321,
WXYZAA,987654322, Y, HOURLY, NON_FIRM, POINT_TO_POINT, OFF_PEAK,
FIXED,,1,1,300,,,,,,,,,,5
N, 20000409030000PD,12347,2233, W/AAA/ABC//, BBB, CCC,,,,,1,
20000410140000PD, 20000410150000PD,300,300,856743,wxyz,987654321,
WXYZAA,987654322, Y, HOURLY, NON_FIRM, POINT_TO_POINT, OFF_PEAK,
FIXED,,1,1,300,,,,,,,,,,5
4.4.3 Customer Posting a Transmission Service Offering
This example shows how a Customer would post for sale the transmission service that was purchased previously. The Seller would create a file and upload the file using the FETCH_HTTP program to send a file to the OASIS Node of the Primary Provider.
1. **Input:**
VERSION=1.45
TEMPLATE=transpost5
OUTPUT_FORMAT=DATA 5
PRIMARY_PROVIDER_CODE=AAAA5
PRIMARY_PROVIDER_DUNS=1234567895
DATA_ROWS=15
COLUMN_HEADERS=PATH_NAME, POINT_OF_RECEIPT, POINT_OF_DELIVERY,
INTERFACE_TYPE, CAPACITY, SERVICE_INCREMENT, TS_CLASS, TS_TYPE,
TS_PERIOD, TS_SUBCLASS, START_TIME, STOP_TIME, OFFER_START_TIME,
OFFER_STOP_TIME, SALE_REF, OFFER_PRICE, SERVICE_DESCRIPTION,
SELLER_COMMENTPF5 WXYZ,987654321,W/AAA/ABC//,N/A,N/A,E,150,
HOURLY, FIRM, POINT_TO_POINT, OFF_PEAK, N/A,,
19960402080000PD,19960410080000PD,
19960410080000PD,19960410150000PD, A123,,90,N/A,"As Joe said, ""It is a good buy"""
FETCH_HTTP Command to send posting $ fetch_http http://(OASIS Node name)/OASIS/abcd/data/transrequest -f c:/OASIS/abcd/upload/post.txt
2. **Response Data**
REQUEST-STATUS=200 5 (Successful)
TIME_STAMP=19960409113526PD 5
VERSION=1.45
TEMPLATE=transpost5
OUTPUT_FORMAT=DATA 5
PRIMARY_PROVIDER_CODE=AAAA5
PRIMARY_PROVIDER_DUNS=1234567895
DATA_ROWS=15
COLUMN_HEADERS=RECORD_STATUS, PATH_NAME, POINT_OF_RECEIPT,
POINT_OF_DELIVERY, INTERFACE_TYPE, CAPACITY, SERVICE_INCREMENT,
TS_CLASS, TS_TYPE, TS_PERIOD, TS_SUBCLASS, START_TIME, STOP_TIME,
OFFER_START_TIME, OFFER_STOP_TIME, SALE_REF, OFFER_PRICE,
SERVICE_DESCRIPTION, SELLER_COMMENTS, ERROR_MESSAGE5
200,WXYZ,987654321,W/AAA/ABC//,N/A,N/A,E,150, HOURLY, FIRM,
POINT_TO_POINT, OFF_PEAK, N/A, 19960402080000PD,19960410080000PD,
19960410080000PD,19960410150000PD, A123,,90,N/A, "As Joe said, ""It is a good buy"", No Error5
4.4.4 Example of Re-aggregating Purchasing Services using Reassignment
The following examples do not show the complete Template information, but only show those elements of the Template of interest to the example.
a. Customer #1, "BestE" requests the purchase of 150 MW Firm ATC for 8 a.m. to 5 p.m. for $1.00 from a Primary Provider (transrequest).
TEMPLATE=transrequest5
CUSTOMER_CODE=BestE5
CAPACITY=1505
TS_CLASS="FIRM"5
START_TIME="1996050708000000PD"5
STOP_TIME="1996050717000000PD"5
BID_PRICE="$1.00"5
The Information Provider assigns ASSIGNMENT_REF = 5000 on acknowledgment.
b. Customer #1 purchases 120 MW ATC Non-firm for 3 p.m. to 9 p.m. for $.90 (transrequest). The Information Provider assigns the ASSIGNMENT_REF=5001 when the request for purchase is made and is shown in the acknowledgment.
TEMPLATE="transrequest"5
CUSTOMER_CODE="BestE"5
CAPACITY=1205
TS_CLASS="NON-FIRM"5
START_TIME="1996050715000000PD"5
STOP_TIME="1996050721000000PD"5
BID_PRICE="$1.05"5
c. Customer #1 becomes Seller #1 and posts the Transmission service of 100 MW ATC Non-firm capacity from 8 a.m. to 9 p.m. for resale at $.90/MW-hour.
TEMPLATE="transpost"5
SELLER_CODE="BestE"5
CAPACITY=1005
TS_CLASS="NON-FIRM"5
START_TIME="1996050708000000PD"5
STOP_TIME="1996050721000000PD"5
SALE_REF="BEST100"5
OFFER_PRICE=.905
SELLER_COMMENTS="aggregating two previous purchases"5
d. Customer #2 then requests purchase of 100 MW Non-firm from Reseller #1 from 8 a.m. to 6 p.m. for $0.90/MW-hour (transrequest).
TEMPLATE="transrequest"5
CUSTOMER_CODE="Whlsle"5
SELLER_CODE="BestE"5
CAPACITY=1005
TS_CLASS="NON-FIRM"5
S&CP Version 1.4 July 26, 2000 98
START_TIME="1996050708000000PD"5
STOP_TIME="1996050721000000PD"5
SALE_REF="BEST100"5
DEAL_REF="WPC100"5
BID_PRICE=.905
CUSTOMER_COMMENTS="Only need service until 6 p.m."5
The Information Provider provides the ASSIGNMENT_REF=5002 for this transaction.
e. Seller informs the Information Provider of the reassignment of the previous transmission rights when the seller accepts the customer purchase request (transsell).
TEMPLATE="transsell"5
CUSTOMER_CODE="Whlsle"5
SELLER_CODE="BestE"5
ASSIGNMENT_REF=50025
STATUS="Accepted"5
REASSIGNED_REF1=50005
REASSIGNED_CAPACITY1=1005
REASSIGNED_START_TIME1="199605070800PD"5
REASSIGNED_STOP_TIME1="199605071700PD"5
REASSIGNED_REF2=50015
REASSIGNED_CAPACITY2=1005
REASSIGNED_START_TIME2="199605071700PD"5
REASSIGNED_STOP_TIME2="199605071800PD"5
4.4.5 File Examples of the Use of Continuation Records
a. Basic Continuation Records
The first example of the use of Continuation Records is for the transrequest Template submitted by a Seller for purchase of a transmission reservation spanning 16 hours from 06:00 to 22:00 with "ramped" demand at beginning and end of time period. Two additional reservations appear prior to and following the profile to demonstrate the handling of ASSIGNMENT_REF by the OASIS Node. Only the following fields may be redefined in a continuation record for the transrequest Template:
CAPACITY_GRANTED, START_TIME, STOP_TIME. Specification of any values corresponding to COLUMN_HEADERs other than CAPACITY-GRANTED, START_TIME, and STOP_TIME will be ignored, however commas must be included to properly align the CAPACITY_GRANTED, START_TIME and STOP_TIME fields.
Input:
VERSION=1.45
TEMPLATE=transrequest5
OUTPUT_FORMAT=DATA5
PRIMARY_PROVIDER_CODE=AEP5
PRIMARY_PROVIDER_DUNS=1234567895
RETURN_TZ=ES5
DATA_ROWS=75
COLUMN_HEADERS=CONTINUATION_FLAG, SELLER_CODE, SELLER_DUNS, PATH_NAME, POINT_OF_RECEIPT, POINT_OF_DELIVERY, SOURCE, SINK, CAPACITY_REQUESTED, SERVICE_INCREMENT, TS_CLASS, TS_TYPE, TS_PERIOD, TS_WINDOW, TS_SUBCLASS, STATUS_NOTIFICATION, START_TIME, STOP_TIME, BID_PRICE, PRECONFIRMED, ANC_SVC_LNK, POSTING_REF, SALE_REF, REQUEST_REF, DEAL_REF, CUSTOMER_COMMENTS, REQUEST_TYPE, REASSIGNED_REF
N, AEP, 123456789, ABC/XY, CE, MECS, , 35, DAILY, FIRM, POINT_TO_POINT, FULL_PERIOD, FIXED,
pub/AEP/incoming, 20000423000000ES, 20000424000000ES, 24.5, Y,
SC:(AEP:RQ);RV:(AEP:RQ);RF:(FT);EI:(FT);SP:(FT);SU:(FT);, P0123, S123, R765, D123, Standard daily reservation, ORIGINAL, 5
N, AEP, 123456789, ABC/XY, CE, AMPO, , 5, HOURLY, NON-FIRM, POINT_TO_POINT, FULL_PERIOD, FIXED,
pub/AEP/incoming, 20000423060000ES, 20000423070000ES, 2.5, Y,
SC:(AEP:RQ);RV:(AEP:RQ);RF:(FT);EI:(FT);SP:(FT);SU:(FT);, P0123, S123, R765, D123, First piece of profile spanning 5 records, ORIGINAL, 5
Y, , , , , , , 20000423070000ES, 20000423080000ES, , , , , Second piece, , 5
Y, , , , , , , 20000423080000ES, 20000423200000ES, , , , , Third piece, , 5
Y, , , , , , , 20000423200000ES, 20000423210000ES, , , , , Fourth piece, , 5
Y, , , , , , , 20000423210000ES, 20000423220000ES, , , , , Fifth piece, , 5
N, AEP, 123456789, ABC/XY, CE, MECS, , 20, HOURLY, NON-FIRM, POINT_TO_POINT, FULL_PERIOD, FIXED,
pub/AEP/incoming, 20000423040000ES, 20000423160000ES, 2, Y,
SC:(AEP:RQ);RV:(AEP:RQ);RF:(FT);EI:(FT);SP:(FT);SU:(FT);, P0123, S123, R765, D123, Standard hourly reservation after profiled reservation, ORIGINAL, 5
Response:
REQUEST_STATUS=2005
ERROR_MESSAGE=Successfully updated.
TIME_STAMP=20000422160523ES5
VERSION=1.45
TEMPLATE=transrequest5
OUTPUT_FORMAT=DATA5
PRIMARY_PROVIDER_CODE=AEP5
PRIMARY_PROVIDER_DUNS=1234567895
RETURN_TZ=ES5
DATA_ROWS=75
COLUMN_HEADERS=RECORD_STATUS, CONTINUATION_FLAG, ASSIGNMENT_REF, SELLER_CODE, SELLER_DUNS, PATH_NAME, POINT_OF_RECEIPT, POINT_OF_DELIVERY, SOURCE, SINK, CAPACITY_REQUESTED, SERVICE_INCREMENT, TS_CLASS, TS_TYPE, TS_PERIOD, TS_WINDOW, TS_SUBCLASS, STATUS_NOTIFICATION, START_TIME, STOP_TIME, BID_PRICE, PRECONFIRMED, ANC_SVC_LNK, POSTING_REF, SALE_REF, REQUEST_REF, DEAL_REF, CUSTOMER_COMMENTS, REQUEST_TYPE, REASSIGNED_REF, ERROR_MESSAGE5
b. Submission of Reassignment Information - Case 1:
In the prior example, a reservation request was submitted to "Rseler" for 20MW of Hourly Non-firm service from 04:00 to 16:00. Assume that Rseler has previously reserved service for the CE-VP path for Daily Firm in amount of 50 MW on 4/23 under ASSIGNMENT_REF=7019, and Hourly Non-Firm in amount of 10 MW from 08:00 to 20:00 on 4/23 under ASSIGNMENT_REF=7880. Rseler must designate which transmission service rights are to be reassigned to Cust to satisfy the 20MW from 04:00 to 16:00. This reassignment information is conveyed by Rseler using the transsell Template when the reservation request is ACCEPTED. At the SELLER's discretion, rights are assigned from the Non-firm reservation first (ASSIGNMENT_REF=7880) with the balance taken up by the Firm reservation (ASSIGNMENT_REF=7019).
The only fields allowed in "continuation" records for transsell Template are REASSIGNED_REF, REASSIGNED_CAPACITY, REASSIGNED_START_TIME, and REASSIGNED_STOP_TIME. Price may not be negotiated for each "segment" in a capacity profile.
Input:
VERSION=1.45
TEMPLATE=transsell5
OUTPUT_FORMAT=DATA5
PRIMARY_PROVIDER_CODE=AEP5
PRIMARY_PROVIDER_DUNS=1234567895
RETURN_TZ=ES5
DATA_ROWS=35
COLUMN_HEADERS=CONTINUATION_FLAG, ASSIGNMENT_REF, START_TIME,
STOP_TIME, OFFER_PRICE, CAPACITY_GRANTED, STATUS,
STATUS_COMMENTS, ANC_SVC_LINK, ANC_SVC_REQ,
NEGOTIATED_PRICE_FLAG, SELLER_REF, SELLER_COMMENTS,
RESPONSE_TIME_LIMIT, REASSIGNED_REF, REASSIGNED_CAPACITY,
REASSIGNED_START_TIME, REASSIGNED_STOP_TIMES
N,,8236,, 20000423040000ES, 20000423160000ES, 2.5, 20, ACCEPTED, Status
comments here, SC:(AEP:RQ);RV:(AEP:RQ);RF:(FT);EI:(FT);SP:(FT);SU:(FT);
SC:M;RV:M;RF:U;EI:U;SP:U;SU:U;, S123, Seller comments here,, 7019, 20,
20000423040000ES, 20000423080000ES5
Y,,8236,, , , , , , ,,7880,10, 20000423080000ES, 20000423160000ES5
Response:
REQUEST_STATUS=2005
ERROR_MESSAGE=Successfully updated.5
TIME_STAMP=20000422160523ES5
VERSION=1.45
TEMPLATE=transsell5
OUTPUT_FORMAT=DATA5
PRIMARY_PROVIDER_CODE=AEP5
PRIMARY_PROVIDER_DUNS=1234567895
RETURN_TZ=ES5
DATA_ROWS=35
COLUMN_HEADERS=RECORD_STATUS, CONTINUATION_FLAG, ASSIGNMENT_REF,
START_TIME, STOP_TIME, OFFER_PRICE, CAPACITY_GRANTED, STATUS,
STATUS_COMMENTS, ANC_SVC_LINK, ANC_SVC_REQ,
NEGOTIATED_PRICE_FLAG, SELLER_REF, SELLER_COMMENTS,
RESPONSE_TIME_LIMIT, REASSIGNED_REF, REASSIGNED_CAPACITY,
REASSIGNED_START_TIME, REASSIGNED_STOP_TIME, ERROR_MESSAGES5
N,,8236,, 20000423040000ES, 20000423160000ES, 2.5, 20, ACCEPTED, Status
comments here, SC:(AEP:RQ);RV:(AEP:RQ);RF:(FT);EI:(FT);SP:(FT);SU:(FT);
SC:M;RV:M;RF:U;EI:U;SP:U;SU:U;, S123, Seller comments here,, 7019, 20,
20000423040000ES, 20000423080000ES, No error5
Y,,8236,, , , , , , ,,7880,10, 20000423080000ES, 20000423160000ES, No
error5
Y,,8236,, , , , , , ,,7019,10, 20000423080000ES, 20000423160000ES, No
error5
c. Submission of Reassignment Information - Case 2:
Primary provider, AEP, is notified of a sale/assignment of transmission service
rights from "Resell" to "cust". The parameters of the new reservation are for
10MW on 4/23 for "off-peak" hours (00:00-06:00 and 22:00-24:00) on POR/POD CE-VP. Rseler is assigning rights to 10MW from a prior reservation for the CE-VP path for Daily Firm in amount of 50 MW on 4/23 under ASSIGNMENT_REF=7019 to Cust. AEP would submit the following information using the transassign Template to post this (re)sale. The only fields allowed in "continuation" records for the transassign Template are CAPACITY, START_TIME, STOP_TIME, REASSIGNED_REF, REASSIGNED_CAPACITY, REASSIGNED_START_TIME, and REASSIGNED_STOP_TIME. Even though there is a one-to-one correspondence between the segments of the new reservations and the reassignment of service from a prior reservation, it is entirely possible that a reservation spanning a single contiguous period would require multiple continuation records to convey reassignment information, and vice versa.
Fields for CUSTOMER_NAME and SELLER_NAME were used to convey user names for subsequent resolution of contact information from user registration.
**Input:**
VERSION=1.45
TEMPLATE=transassign5
OUTPUT_FORMAT=DATA5
PRIMARY_PROVIDER_CODE=AEP5
PRIMARY_PROVIDER_DUNS=1234567895
RETURN_TZ=ES5
DATA_ROWS=25
COLUMN_HEADERS=CONTINUATION_FLAG, CUSTOMER_CODE,
CUSTOMER_DUNS, PATH_NAME, POINT_OF_RECEIPT, POINT_OF_DELIVERY,
SOURCE, SINK, CAPACITY_REQUESTED, CAPACITY_GRANTED,
SERVICE_INCREMENT, TS_CLASS, TS_TYPE, TS_PERIOD, TS_WINDOW,
TS_SUBCLASS, START_TIME, STOP_TIME, OFFER_PRICE, ANC_SVC_LNK,
POSTING_NAME, REASSIGNED_REF, REASSIGNED_CAPACITY,
REASSIGNED_START_TIME, REASSIGNED_STOP_TIME,
SELLER_COMMENTS, SELLER_REF5
N, ACSTMR, 987654321, , CE, VP,, 10, 10, HOURLY, NON-FIRM,
POINT_TO_POINT, OFF_PEAK,FIXED,, 20000423000000ES,
20000423060000ES, 2,
SC:(AEP;RQ);RV:(AEP;RQ);RF:(FT);EI:(FT);SP:(FT);SU:(FT);, Jane Doe, 7019, 10,
20000423000000ES, 20000423060000ES, Seller comments go here, S1235
Y,,,,,,, 10, 10, ,,,,,, 20000423220000ES, 20000424000000ES,,,,7019,10,
20000423220000ES, 20000424000000ES,,5
**Response:**
REQUEST_STATUS=2005
ERROR_MESSAGE=Successfully updated.5
TIME_STAMP=20000422160523ES5
VERSION=1.45
TEMPLATE=transassign5
OUTPUT_FORMAT=DATA5
d. Query of Transmission Reservation Status:
The following typical response to a transstatus query might be delivered for 4/23 based on prior examples. Note that the only fields returned in "continuation" records are, ASSIGNMENT_REF, START_TIME, STOP_TIME, REASSIGNED_REF, REASSIGNED_CAPACITY, REASSIGNED_START_TIME, and REASSIGNED_STOP_TIME (price fields are debatable).
Input:
<appropriate query name/value pairs to return reservations for 4/23>
Response:
REQUEST_STATUS=2005
ERROR_MESSAGE=No error.5
TIME_STAMP=20000423160523ES5
VERSION=1.45
TEMPLATE=transstatus5
OUTPUT_FORMAT=DATA5
PRIMARY_PROVIDER_CODE=AEP5
PRIMARY_PROVIDER_DUNS=1234567895
RETURN_TZ=ES5
DATA_ROWS=115
RECOMMENDATION TO NAESB WEQ EXECUTIVE COMMITTEE
Requester: Southern Company Services
Request No.: R04005
Date: December 29, 2003
Y,8235,,,,,,,,,,10.10,,,,,,, 20000423070000ES,
20000423080000ES,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5 Y,8235,,,,,,,,,15,15,,,,,,,
20000423080000ES, 20000423200000ES,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
Y,8235,,,,,,,,,,10.10,,,,,,, 20000423200000ES,
20000423210000ES,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5 Y,8235,,,,,,,,,5.5,,,,,,,
20000423210000ES, 20000423220000ES,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
N,8236, AEP,123456789, CUSTMR,345678912, N, , CE, VP, ,,20,20,
HOURLY,NON_FIRM, POINT_TO_POINT,FULL_PERIOD,FIXED,,,,,
20000424040000ES, 20000424160000ES,2.5,2.5,2.5,$/MW, N,
SC:(AEP:AR:127);RV:(AEP:AR:128);RF:(FT);EI:(FT);SP:(FT);SU:(FT);
SC:M;RV:M;RF:U;EI:U;SP:U;SU:U;, P0123 , S123, R765, D123,0, ORIGINAL,,,
CONFIRMED, pub/AEP/incoming,, 20000422160723ES, 20000422171523ES,
Bid price refused,, Negotiated OFFER_PRICE accepted,, Joe Smith, (888)-123-4567, (888)-123-1231, email@example.com, Jane Doe, (999)-123-4567, (999)-123-8823,,7019,20, 20000423040000ES, 20000423080000ES5
Y,8236,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7880,10, 20000423080000ES,
20000423160000ES5
Y,8236,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,7019,10, 20000423080000ES,
20000423160000ES5
COLUMN_HEADERS= CONTINUATION_FLAG, ASSIGNMENT_REF,
SELLER_CODE, SELLER_DUNS, CUSTOMER_CODE, CUSTOMER_DUNS,
AFFILIATE_FLAG, PATH_NAME, POINT_OF_RECEIPT, POINT_OF_DELIVERY,
SOURCE, SINK, CAPACITY, SERVICE_INCREMENT, TS_CLASS, TS_TYPE,
TS_PERIOD, TS_SUBCLASS, START_TIME, STOP_TIME, CEILING_PRICE,
OFFER_PRICE, BID_PRICE, PRECONFIRMED, ANC_SVC_LINK, POSTING_REF,
SALE_REF, REQUEST_REF, DEAL_REF, NEGOTIATED_PRICE_FLAG, STATUS,
STATUS_COMMENTS, TIME_QUEUED, TIME_OF_LAST_UPDATE,
PRIMARY_PROVIDER_COMMENTS, SELLER_COMMENTS,
CUSTOMER_COMMENTS, SELLER_NAME, SELLER_PHONE, SELLER_FAX,
SELLER_EMAIL, CUSTOMER_NAME, CUSTOMER_PHONE, CUSTOMER_FAX,
CUSTOMER_EMAIL, REASSIGNED_REF, REASSIGNED_CAPACITY,
REASSIGNED_START_TIME, REASSIGNED_STOP_TIME5
N, 8207, Rseler, 456123789, ACust, 987654321, N, , CE, VP, ,, 10, HOURLY,
FIRM, POINT_TO_POINT, OFF_PEAK, N/A, 19970423000000ES,
19970423060000ES, 2.25, 2.00, 6.20, N, SC:(cust:SP);RV:(cust:SP);RF(cust:RQ);
EI:(cust:R123); SP:(custR234); SU:(cust:R345), , , , N, CONFIRMED, ,
19970422121354ES, , TP Comments, Seller comments go here, Customer
comments, Joe Smith, (888)-123-4567, (888)-123-1231, firstname.lastname@example.org, Jane
Doe, (999)-123-4567, (999)-123-8823, , 7019, 10, 19970423000000ES,
19970423060000ES 5
Y, , , , , , , , , , 10, , , , , 19970423220000ES, 19970424000000ES, , , , , , ,
, , , , , , , , , , 7019, 10, 19970423220000ES, 19970424000000ES5
N, 8234, Rseler, 456123789, ACust, 987654321, N, , CE, MECS, ,, 35 DAILY,
FIRM, POINT_TO_POINT, OFF_PEAK, N/A, 19970423000000ES,
19970423060000ES, 42.00, 24.50, 24.50,
N, SC:(cust:SP);RV:(cust:SP);RF(cust:RQ); EI:(cust:R123); SP:(custR234);
SU:(cust:R345), , , , N, CONFIRMED, , 19970422121354ES, , Standard daily
reservation, System Operator, Customer comments, Frank Orth, (999)-123-
4.4.6 Examples of Negotiation of Price and Partial Service Offer
22.214.171.124 Negotiation with Preconfirmation
a. The Customer submits a PRECONFIRMED transmission service request using the transrequest Template. Initially, the STATUS is set to QUEUED by the OASIS Node.
b. The Seller has the option of setting STATUS via the transsell Template to one of the following: INVALID, RECEIVED, STUDY, COUNTEROFFER, ACCEPTED, DECLINED, or REFUSED.
c. The Seller has the option of entering a CAPACITY_GRANTED and setting the STATUS to COUNTEROFFER via the transsell Template if the seller can only provide partial service.
d. If the Seller sets STATUS to ACCEPTED (and, as required by Section 126.96.36.199i, the OASIS Node forces the Seller to set OFFER_PRICE equal to BID_PRICE as a condition to setting STATUS to ACCEPTED) and CAPACITY_GRANTED is equal to CAPACITY_REQUESTED, the OASIS Node will immediately set STATUS to CONFIRMED. (Section 188.8.131.52k requires the OASIS Node to set a null CAPACITY_GRANTED equal to CAPACITY_REQUESTED when STATUS is set to ACCEPTED.)
e. The Customer may WITHDRAW request via transcust Template at any time up to point where the Seller sets STATUS to ACCEPTED. f. Once the STATUS is CONFIRMED, the OFFER_PRICE and CAPACITY_GRANTED officially becomes the terms of the reservation.
184.108.40.206 Negotiations without Preconfirmation
a. The Customer submits a transmission reservation request with the BID_PRICE less than the CEILING_PRICE via the transrequest Template. Initially the STATUS is set to QUEUED by the OASIS Node.
b. The Seller has the option of setting the STATUS via the transsell Template to one of the following: INVALID, RECEIVED, STUDY, ACCEPTED, DECLINED, COUNTEROFFER, or REFUSED. If INVALID (due to invalid entries in the request), DECLINED (due to the Seller determining that the proposed price is not acceptable and further negotiations are not desired), or REFUSED (due to the unavailability of the requested service) are set, the transmission reservation request is terminated.
c. The Seller has the option of entering a CAPACITY_GRANTED and setting the STATUS to COUNTEROFFER via the transsell Template if the seller can only provide partial service.
d. If the Seller set the STATUS to RECEIVED or STUDY, and determines that the BID_PRICE is too low, the Seller sets the OFFER_PRICE to the price desired, and sets the STATUS to COUNTEROFFER via the transsell Template. e. The Customer agrees to the OFFER_PRICE, sets the BID_PRICE equal to the OFFER_PRICE, and sets the STATUS to CONFIRMED via the transcust Template.
f. The OFFER_PRICE and CAPACITY_GRANTED with the STATUS of CONFIRMED locks in the terms of the reservation.
220.127.116.11 Multiple Step Negotiations
a. The Customer submits a transmission reservation request with the BID_PRICE less than the CEILING_PRICE via the transrequest Template. Initially the STATUS is set to QUEUED by the OASIS Node.
b. The Seller has the option of setting the STATUS via the transsell Template to one of the following: INVALID, RECEIVED, STUDY, ACCEPTED, DECLINED, COUNTEROFFER, or REFUSED. If INVALID, DECLINED, or REFUSED are set, the transmission reservation request is terminated.
c. The seller has the option of entering a CAPACITY_GRANTED and setting the STATUS to COUNTEROFFER via the transsell Template if the seller can only provide partial service. If ATC changes before the request reaches the STATUS of CONFIRMED, seller may change the CAPACITY_GRANTED.
d. The Seller determines that the BID_PRICE is too low, sets the OFFER_PRICE to the desired value, and sets the STATUS to COUNTEROFFER via the transsell Template. e. The Customer responds to the new OFFER_PRICE with an updated BID_PRICE and sets the STATUS to REBID for re-evaluation by the Seller.
f. The Seller determines that the BID_PRICE now is acceptable, and sets the STATUS to ACCEPTED via the transsell Template. The transition to ACCEPTED state requires the OFFER_PRICE to be set to the BID_PRICE: accepting a reservation with an
OFFER_PRICE different from BID_PRICE would require the STATUS be set to COUNTEROFFER rather than ACCEPTED (see item c).
g. The Customer agrees to the OFFER_PRICE and sets the STATUS to CONFIRM via the transcust Template.
h. The OFFER_PRICE and CAPACITY_GRANTED with the STATUS as CONFIRMED locks in the terms of the reservation.
18.104.22.168 Negotiations Declined by Seller
a. The Customer submits a transmission reservation request with the BID_PRICE less than the CEILING_PRICE via the transrequest Template. Initially the STATUS is set to QUEUED by the OASIS Node.
b. The Seller has the option of setting the STATUS via the transsell Template to one of the following: INVALID, RECEIVED, STUDY, ACCEPTED, DECLINED, COUNTEROFFER, or REFUSED. If INVALID, DECLINED, or REFUSED are set, the transmission reservation request is terminated.
c. The Seller determines that the BID_PRICE is too low, sets OFFER_PRICE to his desired value, and sets STATUS to COUNTEROFFER via the transsell Template.
d. The Customer responds to OFFER_PRICE with updated BID_PRICE and sets the STATUS to REBID via the transcust Template for re-evaluation by Seller.
e. The Seller breaks off all further negotiations by setting the STATUS to DECLINED, indicating that the price is unacceptable and that he does not wish to continue negotiations.
22.214.171.124 Negotiations Withdrawn by Customer
a. The Customer submits a transmission reservation request with the BID_PRICE less than the CEILING_PRICE via the transrequest. Initially the STATUS is set to QUEUED by the OASIS Node.
b. The Seller has the option of setting the STATUS via the transsell Template to one of the following: INVALID, RECEIVED, STUDY, ACCEPTED, DECLINED, COUNTEROFFER, or REFUSED. If INVALID, DECLINED, or REFUSED are set, the transmission reservation request is terminated.
c. The Seller has the option of entering a CAPACITY_GRANTED and setting the STATUS to COUNTEROFFER via the transsell Template if the seller can only provide partial service.
d. The Seller determines that the BID_PRICE is too low, sets the OFFER_PRICE to his desired value, and sets the STATUS to COUNTEROFFER via the transsell Template.
e. The Customer responds to the OFFER_PRICE with an updated BID_PRICE and sets the STATUS to REBID for re-evaluation by Seller.
f. The Seller determines that the BID_PRICE is still too low, sets the OFFER_PRICE to another value, and sets STATUS to COUNTEROFFER via the transsell Template.
g. The Customer breaks off all further negotiations, either because the OFFER_PRICE or CAPACITY_GRANTED are unacceptable, by setting STATUS to WITHDRAWN (or the Customer/Seller could go through additional iterations of REBID/COUNTEROFFER until negotiations are broken off or the reservation is CONFIRMED).
126.96.36.199 Negotiations Superseded by Higher Priority Reservation
a. The Customer submits a transmission reservation request with the BID_PRICE less than the CEILING_PRICE via the transrequest Template. Initially the STATUS is set to QUEUED by the OASIS Node.
b. The Seller has the option of setting the STATUS via the transsell Template to one of the following: INVALID, RECEIVED, STUDY, ACCEPTED, DECLINED, COUNTEROFFER, or REFUSED. If INVALID, DECLINED, or REFUSED are set, the transmission reservation request is terminated.
c. If the Seller determines that another reservation has higher priority and must displace this request, he sets the STATUS to SUPERSEDED and the negotiations are terminated.
d. However, if desired and permitted by the tariff, the Seller may set the STATUS of a request in any of these previous states (including COUNTEROFFER and ACCEPTED) to COUNTEROFFER with an OFFER_PRICE which could avoid the request being superseded, thus allowing the Customer the choice of being SUPERSEDED or accepting the proposed OFFER_PRICE.
4.4.7 Audit Template examples
The following examples are included to show the general type of audit report responses that could be expected to be returned by implementations of the audit reporting Templates as documented above.
188.8.131.52 Offerings
The following is an example of a hypothetical audit query for daily non-firm offerings to the "DDD" point of delivery for Monday August 17, 1998 (line breaks and indentations added to improve readability):
REQUEST_STATUS=200 5
ERROR_MESSAGE 5
TIME_STAMP=19980821091601ES 5
VERSION=1.4 5
TEMPLATE=transofferingaudit 5
OUTPUT_FORMAT=DATA 5
PRIMARY_PROVIDER_CODE=WXYZ 5
PRIMARY_PROVIDER_DUNS=78912345 5
RETURN_TZ=ES 5
DATA_ROWS=14 5
COLUMN_HEADERS=RECORD_TYPE,TIME_OF_LAST_UPDATE,MODIFYING_COMPANY_CODE,MODIFYING_NAME,
TIME_OF_LAST_UPDATE,SELLER_CODE,SELLER_DUNS,PATH_NAME,POINT_OF_RECEIPT,POINT_OF_DELIVERY,
INTERFACE_TYPE,OFFER_START_TIME,OFFER_STOP_TIME,START_TIME,STOP_TIME,CAPACITY,SERVICE_INCREMENT,
TS_CLASS,TS_TYPE,TS_PERIOD,TS_WINDOW,TS_SUBCLASS,ANC_SVC_REQ,SALE_REF,POSTING_REF,CEILING_PRICE,
OFFER_PRICE,PRICE_UNITS,SERVICE_DESCRIPTION,NERC_CURTAILMENT_PRIORITY,OTHER_CURTAILMENT_PRIORITY,
SELLER_NAME, SELLER_PHONE, SELLER_FAX, SELLER_EMAIL, SELLER_COMMENTS 5
U, 19980815131756ES, WXYZ, Jane Doe, 19980815131756ES, WXYZ, 78912345, X/WXYZ/AAA-DDD//, AAA, DDD, E, 19
9980814000000ES, 19980817000000ES, 19980817000000ES, 19980818000000ES, 800, DAILY, NON-FIRM, POINT_TO_P S&CP Version 1.4 July 26, 2000 110 OINT, FULL_PERIOD, FIXED,, SC:M;RF:M,, 48732, 102.00, 85.00, $/MW-Day,, 3,, Jane Doe, 123-456-7813, 123-456-7801, email@example.com 5
U, 19980815124022ES, WXYZ, Jane Doe, 19980815124022ES, WXYZ, 78912345, X/WXYZ/AAA-DDD//, AAA, DDD, E, 1
9980814000000ES, 19980817000000ES, 19980818000000ES, 850, DAILY, NON-FIRM, POINT_TO_
POINT, FULL_PERIOD, FIXED,, SC:M;RF:M,, 48732, 102.00, 85.00, $/MW-Day,, 3,, Jane Doe, 123-456-7813, 123-456-7801, firstname.lastname@example.org, 5
U, 19980814120018ES, WXYZ, Joe Smith, 19980814120018ES, WXYZ, 78912345, X/WXYZ/AAA-DDD//, AAA, DDD, E, 1
9980814000000ES, 19980817000000ES, 19980817000000ES, 19980818000000ES, 850, DAILY, NON-FIRM, POINT_TO_
POINT, FULL_PERIOD, FIXED,, SC:M;RF:M,, 48732, 102.00, 90.00, $/MW-Day,, 3,, Joe Smith, 123-456-7893, 123-456-7801, email@example.com 5
I, 19980813171204ES, WXYZ, Supervisor, 19980813171204ES, WXYZ, 78912345, X/WXYZ/AAA-DDD//, AAA, DDD, E,
19980814000000ES, 19980817000000ES, 19980817000000ES, 19980818000000ES, 850, DAILY, NON-FIRM, POINT_TO_
POINT, FULL_PERIOD, FIXED,, SC:M;RF:M,, 48732, 102.00, 95.00, $/MW-Day,, 3,, Supervisor, 123-456-7890, 123-456-78 01 5
U, 19980815124022ES, WXYZ, Jane Doe, 19980815124022ES, WXYZ, 78912345, X/WXYZ/BBB-DDD//, BBB, DDD, E, 19
980814000000ES, 19980817000000ES, 19980817000000ES, 19980818000000ES, 1200, DAILY, NON-FIRM, POINT_TO_
POINT, FULL_PERIOD, FIXED,, SC:M;RF:M,, 48783, 102.00, 85.00, $/MW-Day,, 3,, Jane Doe, 123-456-7813, 123-456-7801, firstname.lastname@example.org 5
U, 19980814120022ES, WXYZ, Joe Smith, 19980814120022ES, WXYZ, 78912345, X/WXYZ/BBB-DDD//, BBB, DDD, E, 19
980814000000ES, 19980817000000ES, 19980817000000ES, 19980818000000ES, 1200, DAILY, NON-FIRM, POINT_TO_
POINT, FULL_PERIOD, FIXED,, SC:M;RF:M,, 48783, 102.00, 90.00, $/MW-Day,, 3,, Joe Smith, 123-456-7893, 123-456-7801, email@example.com 5
I, 19980813171210ES, WXYZ, Supervisor, 19980813171210ES, WXYZ, 78912345, X/WXYZ/BBB-DDD//, BBB, DDD, E, 19
980814000000ES, 19980817000000ES, 19980817000000ES, 19980818000000ES, 1200, DAILY, NON-FIRM, POINT_TO_
POINT, FULL_PERIOD, FIXED,, SC:M;RF:M,, 48783, 102.00, 95.00, $/MW-Day,, 3,, Supervisor, 123-456-7890, 123-456-780 1.5
U, 19980816101000ES, WXYZ, Supervisor, 19980816101000ES, WXYZ, 78912345, X/WXYZ/CCC-DDD//, CCC, DDD, E, 19
From this audit report, the daily non-firm offerings on the four paths to "DDD" (AAA-DDD, BBB-DDD, CCC-DDD, and WXYZ-DDD) were all originally posted by WXYZ's "Supervisor" at approximately 17:12 on 8/13 at a price of $95.00 /MW-Day discounted from a ceiling price of $102.00.
At approximately 12:00 on 8/14, Joe Smith changed the offer price to $90.00 on all four paths.
At 14:14 on 8/14, "Supervisor" adjusted the capacity available on path X/WXYZ/CCC-DDD// to 90 MW (POSTING_REF = 48820) and set the offer price up to match the tariff ceiling rate (presumably due to the path now being constrained and released from the requirement to have discounted service offered at the same rate as all other unconstrained paths to DDD). Capacity on this path was last updated to a value of 85 MW at 10:10 on 8/16, which is the current information posted on OASIS for this path at the time of the query.
Jane Doe adjusted the price on the three presumably unconstrained paths to DDD at 12:40 on 8/15 to $85.00, which may have been in response to a negotiation for service on one of these paths. No further updates have occurred to the offerings on paths BBB-DDD and WXYZ-DDD since that time.
Finally, the capacity available on path X/WXYZ/AAA-DDD// was updated by Jane Doe from 850 to 800 MW at 13:17 on 8/15, which may have corresponded with final confirmation of a reservation at a negotiated discount by the customer that initiated the price change from $90.00 to $85.00.
### 184.108.40.206 Reservations
The following is an example of a hypothetical audit query for a specific transmission service reservation (line breaks and indentations added to improve readability):
```
REQUEST_STATUS=200,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
ERROR_MESSAGE=,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
TIME_STAMP=19980821092048ES,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
VERSION=1.4,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
TEMPLATE=transsstatusaudit,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
OUTPUT_FORMAT=DATA,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
PRIMARY_PROVIDER_CODE=WXYZ,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
PRIMARY_PROVIDER_DUNS=78912345,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
RETURN_TZ=ES,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
DATA_ROWS=9,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,5
COLUMN_HEADERS=.5
RECORD_TYPE,TIME_OF_UPDATE,MODIFYING_COMPANY_CODE,MODIFYING_NAME,
CONTINUATION_FLAG,ASSIGNMENT_REF,SELLER_CODE,SELLER_DUNS,CUSTOMER_CODE,
CUSTOMER_DUNS,AFFILIATE_FLAG,PATH_NAME,POINT_OF_RECEIPT,POINT_OF_DELIVERY,
SOURCE,SINK,CAPACITY,SERVICE_INCREMENT,TS_CLASS,TS_TYPE,TS_PERIOD,TS_WINDOW,
TS_SUBCLASS,NERC_CURTAILMENT_PRIORITY,OTHER_CURTAILMENT_PRIORITY,START_TIME,
STOP_TIME,CEILING_PRICE,OFFER_PRICE,BID_PRICE,PRICE_UNITS,PRECONFIRMED,ANC_SVC_LINK,ANC_SVC_REQ,POSTING_REF,SALE_REF,REQUEST_REF,DEAL_REF,NEGOTIATED_PRICE_FLAG,
STATUS,STATUS_NOTIFICATION,STATUS_COMMENTS,TIME_QUEUED,RESPO
```
NSE_TIME_LIMIT,
TIME_OF_LAST_UPDATE,PRIMARY_PROVIDER_COMMENTS,SELLER_COMMENTS,
CUSTOMER_COMMENTS,SELLER_NAME,SELLER_PHONE,SELLER_FAX,SELLER_EMAIL,
CUSTOMER_NAME,CUSTOMER_PHONE,CUSTOMER_FAX,CUSTOMER_EMAIL,
REASSIGNED_REF, REASSIGNED_CAPACITY,
REASSIGNED_START_TIME,REASSIGNED_STOP_TIME5
U,19980815131629ES,DEFPM,Alan Trader,N,104392,WXYZ,78912345,DEFPM,912876543,N,X/WXYZ/AAA-DDD//.A AA,DDD,AAA,ZZZ,50,DAILY,NON-FIRM,POINT_TO_POINT,FULL_PERIOD,FIXED,,3,,19980817000000ES,19980818000000ES,102.00,85.00,85.00,$/MW-Day,N,,SC:M;RF:M,,,,,CONFIRMED,,,19980815121510ES,19980815144100ES,19980815131629ES,,,,Jane Doe,123-456-7813,123-456-7801,firstname.lastname@example.org,Alan Trader,312-678-9104,312-678-9100,email@example.com,,,,5
U,,,,Y,,,,,,,,,75,,,,,,,,,19980818000000ES,19980819000000ES,,,,,,,,,,,,,,,,,,,,,,5
U,,,,Y,,,,,,,,,100,,,,,,,,,19980819000000ES,19980820000000ES,,,,,,,,,,,,,,,,,,,,,,5
U,19980815125042ES,WXYZ,Jane Doe,N,104392,WXYZ,78912345,DEFPM,912876543,N,X/WXYZ/AAA-DDD//.AAA ,DDD,AAA,ZZZ,50,DAILY,NON-FIRM,POINT_TO_POINT,FULL_PERIOD,FIXED,,3,,19980817000000ES,19980818000000ES,102.00,85.00,82.00,$/MW-Day,N,,SC:M;RF:M,,,,,COUNTEROFFER,,,19980815121510ES,19980815144100ES,19980815125042ES,,,,Jane Doe,123-456-7813,123-456-7801,firstname.lastname@example.org,Alan Trader,312-678-9104,312-678-9100,email@example.com,,,,5
U,19980815124811ES,DEFPM,Alan Trader,N,104392,WXYZ,78912345,DEFPM,912876543,N,X/WXYZ/AAA-DDD//.A AA,DDD,AAA,ZZZ,50,DAILY,NON-FIRM,POINT_TO_POINT,FULL_PERIOD,FIXED,,3,,19980817000000ES,19980818000000ES,102.00,85.00,82.00,$/MW-Day,N,,SC:M;RF:M,,,,,REBID,,,19980815121510ES,19980815144100ES,19980815124811ES,,,,Jane Doe,123-456-7813,123-456-7801,firstname.lastname@example.org,Alan Trader,312-678-9104,312-678-9100,email@example.com
U,19980815124100ES,WXYZ,Jane Doe,N,104392,WXYZ,78912345,DEFPM,912876543,N,X/WXYZ/AAA-DDD//.AAA ,DDD,AAA,ZZZ,50,DAILY,NON-FIRM,POINT_TO_POINT,FULL_PERIOD,FIXED,,3,,19980817000000ES,19980818000000ES,102.00,85.00,80.00,$/MW-Day,N,,SC:M;RF:M,,,,,COUNTEROFFER,,,19980815121510ES,19980815144100ES,19980815124100ES,,,,Jane Doe,123-456-7813,123-456-7801,firstname.lastname@example.org,Alan Trader,312-678-9104,312-678-9100,email@example.com
First, this example shows the handling of continuation records which conveyed a time varying demand of 50 MW on 8/17, 75 MW on 8/18, and 100 MW on 8/19. This demand profile was initially entered with the original reservation request (transrequest Template) at 12:15 on 8/15 by Alan Trader. Since the Data Elements associated with the profile were never modified, the intervening audit response records do not repeat the data from these continuation records.
As part of the original reservation, Alan Trader attempted to negotiate a price for service of $80.00 /MW-Day. Jane Doe responded to this request with a counter offer at the rate of $85.00 /MW-Day at 12:41 on 8/15. Since the status of COUNTEROFFER constitutes acceptance of all terms of the reservation except price (i.e., transmission capability has been evaluated and is available), the RESPONSE_TIME_LIMIT Data Element has been updated to reflect the time by which the customer must confirm service (assuming the establishment of customer confirmation time limits is approved by FERC).
At 12:48, Alan Trader attempted to negotiate further for a rate of $82.00 /MWDay and the reservation status was set to REBID. Jane Doe responded at 12:50 with a second counter offer restating a rate of $85.00, which Alan Trader finally agreed to at 13:16 on 8/15. The current posted information on OASIS shows this final CONFIRMED reservation.
4.5 INFORMATION SUPPORTED BY WEB PAGE
Information that must be posted on INFO.HTM, as per Section 3.4 b, includes:
There shall be a reference in INFO.HTM to a common source of interconnection wide curtailment and interruption information, such as the NERC Transmission Loading Relief (TLR) web site.
There shall be a reference in INFO.HTM to information related to the Transmission Provider's methodology for computing and application of Capacity Benefit Margin (CBM) and Transmission Reliability Margin (TRM). If the Transmission Provider does not use CBM or TRM in their assessment of Available Transmission Capability (ATC), that information shall also be in INFO.HTM.
There shall be a reference in INFO.HTM to the location of the list of system studies conducted. There shall be a reference in INFO.HTM to the location of the
company's organizational chart, job descriptions and personnel names as referenced in Section 3.4 k.
There shall be a reference on INFO.HTM to information on requesting the text file of the tariffs and service agreements.
5. PERFORMANCE REQUIREMENTS
A critical aspect of any system is its performance. Performance encompasses many issues, such as security, sizing, response to user requests, availability, backup, and other parameters that are critical for the system to function as desired. The following sections cover the performance requirements for the OASIS Nodes.
5.1 SECURITY
Breaches of security include many inadvertent or possibly even planned actions. Therefore, several requirements shall be implemented by the TSIPs to avoid these problems:
a. **Provider Update of TS Information**: Only Providers, including Secondary Providers, shall be permitted to update their own TS Information.
b. **Customer Input Only ASCII Text**: TSIPs shall be permitted to require that inputs from Customers shall be filtered to permit only strict ASCII text (strip bit 8 from each byte).
c. **Provider Updating Over Public Facilities**: If public facilities are involved in the connection between a Provider and the OASIS Node, the Provider shall be able to update his TS Information only through the use of ASCII or through encrypted files.
d. **User Registration and Login**: All Users shall be required to register and login to a Provider's Account before accessing that Provider's TS Information.
e. **User Passwords**: All Users shall enter their personal password when they wish access to TS Information beyond the lowest Access Privilege.
f. **Service Request Transactions**: Whenever Service Request transactions are implemented entirely over OASIS Nodes, both an individual Customer password for the request, and an individual Provider password for the notification of acceptance shall be required.
g. **Data Encryption**: Sophisticated data encryption techniques and the "secure id" mechanisms being used on the public Internet shall be used to transfer sensitive data across the Internet and directly between OASIS Nodes.
h. **Viruses**: Since only data is being transmitted between the OASIS Nodes and the Users, viruses are unlikely to be passed between them. Therefore, TSIPs shall be responsible for ensuring that the OASIS Nodes are free from viruses, but need not screen data exchanges with Users for viruses.
i. **Performance Log**: TSIPs shall keep a log on User usage of OASIS resources.
j. **Disconnection**: TSIPs shall be allowed to disconnect any User who is degrading the performance of the OASIS Node through the excessive use of resources, beyond what is permitted in their Service Level Agreement.
k. **Premature Access**: The TSIP log shall also be used to ensure that Users who are affiliated with the Provider's company (or any other User) do not have access to TS information before it is publicly available.
l. **Firewalls**: TSIPs shall employ security measures such as firewalls to minimize the possibility that unauthorized users shall access or modify TS Information or reach into Provider or User systems. Interfaces through Public Data Networks or the Internet shall be permitted as long as these security requirements are met.
m. **Certificates and Public Key Standards (optional)**: Use of alternative forms of login and authentication using certificates and public key standards is acceptable.
### 5.2 ACCESS PRIVILEGES
Users shall be assigned different Access Privileges based on external agreements between the User and the Provider. These Access Privileges are associated with individual Users rather than just a company, to ensure that only authorized Users within a company have the appropriate access.
The following Access Privileges shall be available as a minimum:
a. **Access Privilege Read-Only**: The User may only read publicly available TS Information.
b. **Access Privilege for Transactions**: The Customer is authorized to transact Service Requests.
c. **Access Privilege Read/Write**: A Secondary Provider shall have write access to his own Provider Account on an OASIS Node.
### 5.3 OASIS RESPONSE TIME REQUIREMENTS
TSIPs can only be responsible for the response capabilities of two portions of the Internet-based OASIS network:
- The adequacy of the TSIP's internet interconnection(s) for reasonable high-volume utilization
- The response capabilities of the OASIS Node functions to process interactions with Users
#### 5.3.2 Measurement Criteria for Internet Connections
An OASIS node's Internet connection(s) should not exceed 60% sustained utilization. To determine the sustained utilization, TSIPs shall retain usage records and logs related to the Internet service.
#### 5.3.3 Measurement Criteria for OASIS Node functions
It is required that OASIS query functions meet or exceed the response times listed below during the normal conduct of business.
| Template or GUI equivalent | Average Response not fewer than: | 90% of Responses not fewer than: |
|----------------------------|----------------------------------|---------------------------------|
| | | |
It should be recognized that during periods of minimal interactivity there might be heavier loading due to automated processes gathering larger volumes of data or due to OASIS node housekeeping services. The offloading of such discretionary demand should not be discouraged if it serves to make the OASIS more responsive during primary periods of customer activity.
To assess whether these performance capabilities are obtainable, an OASIS application shall collect and log pertinent statistics on an hourly basis about each invocation of the primary types of data queries on the Templates *transstatus* and *transofferring*. Statistics logged shall be the number of invocations per type of template, the service processing time to retrieve the information, format of the responses, and effective template data row count.
5.4 OASIS PROVIDER ACCOUNT AVAILABILITY
The following are the OASIS Provider Account availability requirements:
a. **OASIS Provider Account Availability**: The availability of each OASIS Provider account on an OASIS Node shall be at least 98.0% (downtime of about 7 days per year).
Availability is defined as:
\[
\text{% Availability} = \frac{(1 - \text{Cumulative Provider Account Downtime})}{\text{Total Time}} \times 100
\]
A Provider account shall be considered to be down, and downtime shall be accumulated, upon occurrence of any of the following:
1. One or more Users cannot link and log on to the Provider account. The downtime accumulated shall be calculated as:
\[
\Sigma \text{ for affected Users of } \frac{1}{n} \times (\text{Login Time}), \text{ which is the time used by each affected User to try to link and log on to the Provider account, and where "n" is the total number of Users actively registered for that Provider account.}
\]
2. One or more Users cannot access TS Information once they have logged on to a Provider account. The downtime accumulated shall be calculated as:
\[
\Sigma \text{ for affected Users of } \frac{1}{n} \times (\text{Access Time}), \text{ which is the time used by each affected User to try to access data, and where "n" is the total number of Users actively registered for that Provider.}
\]
Σ A five (5) minute penalty shall be added to the cumulative downtime for every time a User loses their connection to a Provider's account due to an OASIS Node momentary failure or problem.
5.5 BACKUP AND RECOVERY
The following backup and recovery requirements shall be met:
a. **Normal Backup of TS Information**: Backup of TS Information and equipment shall be provided within the OASIS Nodes so that no data or transaction logs are lost or become inaccessible by Users due to any single point of failure. Backed up data shall be no older than 30 seconds. Single points of failure include the loss of one:
- Disk drive or other storage device
- Processor
- Inter-processor communications (e.g. LAN)
- Inter-OASIS communications
- Software application
- Database
- Communication ports for access by Users
- Any other single item which affects the access of TS Information by Users
b. **Spurious Failure Recovery Time**: After a spurious failure situation, all affected Users shall regain access to all TS Information within 30 minutes. A spurious failure is a temporary loss of services which can be overcome by rebooting a system or restarting a program. Permanent loss of any physical component is considered a catastrophic failure.
c. **Long-Term Backup**: Permanent loss of critical data due to a catastrophic failure shall be minimized through off-line storage on a daily basis and through off-site data storage on a periodic basis.
d. **Catastrophic Failure Recovery**: Recovery from a catastrophic failure or loss of an OASIS Node may be provided through the use of alternate OASIS Nodes which meet the same availability and response time requirements. TSIPs may set up prior agreements with other TSIPs as to which Nodes will act as backups to which other Nodes, and what procedure will be used to undertake the recovery. Recovery from a catastrophic failure shall be designed to be achieved within 24 hours.
5.6 TIME SYNCHRONIZATION
The following are the time requirements:
a. **Time Synchronization**: Time shall be synchronized on OASIS Nodes such that all time stamps will be accurate to within "0.5 second of official time. This synchronization may be handled over the network using NTP, or may be synchronized locally using time standard signals (e.g. WWVB, GPS equipment).
b. **Network Time Protocol (NTP)**: OASIS Nodes shall support the Internet tool for time synchronization, Network Time Protocol (NTP), which is described in RFC-1305, version 3, so that Users shall be able to request the display and the downloading of current
time on an OASIS Node for purposes of user applications which might be sensitive to OASIS time.
5.7 TS INFORMATION TIMING REQUIREMENTS
The TS Information timing requirements are as follows, except they are waived during emergencies.
a. **TS Information Availability**: The most recent Provider TS information shall be available on the OASIS Node within 5 minutes of its required posting time at least 98% of the time. The remaining 2% of the time the TS Information shall be available within 10 minutes of its scheduled posting time.
b. **Notification of Posted or Changed TS Information**: Notification of TS Information posted or changed by a Provider shall be made available within 60 seconds to the log.
c. **Acknowledgment by the TSIP**: Acknowledgment by the TSIP of the receipt of User Purchase requests shall occur within 1 minute. The actual negotiations and agreements on Purchase requests do not have time constraints.
5.8 TS INFORMATION ACCURACY
The following requirements relate to the accuracy of the TS information:
a. **TS Information Reasonability**: TS information posted and updated by the Provider shall be validated for reasonability and consistency through the use of limit checks and other validation methods.
b. **TS Information Accuracy**: Although precise measures of accuracy are difficult to establish, Providers shall use their best efforts to provide accurate information.
5.9 PERFORMANCE AUDITING
The following are the performance auditing requirements:
a. **User Help Desk Support**: TSIPs shall provide a "Help Desk" that is available at least during normal business hours (local time zone) and normal work days.
b. **Monitoring Performance Parameters**: TSIPs shall use their best efforts to monitor performance parameters. Any User shall be able to read or download these performance statistics.
5.10 MIGRATION REQUIREMENTS
Whenever a new version of the S&CP is to be implemented, a migration plan will be developed for cutting over to the new version.
RECOMMENDATION TO NAESB WEQ EXECUTIVE COMMITTEE
Requester: Southern Company Services
Request No.: R04005
Date: December 29, 2003
ATTACHMENT C
DATA ELEMENT DICTIONARY
APPENDIX A OF STANDARDS AND COMMUNICATIONS PROTOCOLS
June 26, 2000
Version 1.4
| Data Dictionary Element Name | Alias | Field Format: minimum characters {type of ASCII} maximum characters | Restricted Values | Definition of Data Element |
|-----------------------------|-------|---------------------------------------------------------------|------------------|----------------------------|
| AFFILIATE_FLAG | AFFLAG| {ALPHANUMERIC}3 | Valid Values YES NO | Set to YES if customer is an affiliate of the provider |
| ANC_SERVICE_POINT | ANCPPOINT | 0{ALPHANUMERIC} 12 | Free form text, null can be used if there is no ancillary service point other than the control area | Name of ancillary service point within a control area, such as a POR/POD/SOURCE/SINK from which the ancillary service is provided |
| AS_TYPE | ASTYPE | 1{ALPHANUMERIC} 20 | Valid types • EI • SP • SU • RV • RF • SC • DT • TL • BS • [Registered] | EI - Energy Imbalance SP - Spinning Reserve SU - Supplemental Reserve RV - Reactive supply and Voltage Control RF- Regulation and Frequency response SC- Scheduling, system Control and Dispatch DT - Dynamic Transfer TL - Real power Transmission Loss BS - System Black Start capability [Registered] must be registered with www.tsin.com and listed in the ANCSERV Template |
| ANC_SVC_LINK | ANCSVCLINK | 0/ALPHANUMERIC/300 | Formatted string as follows:
SC:(AA[:xxx[:yyy[:nnn]]]);
RV:(AA[:xxx[:yyy[:nnn]]]);
RF:(AA[:xxx[:yyy[:nnn]]]);
EI:(AA[:xxx[:yyy[:nnn]]]);
SP:(AA[:xxx[:yyy[:nnn]]]);
SU:(AA[:xxx[:yyy[:nnn]]]);
[Registered]:(AA[:xxx[:yyy[:nnn]])
The method for linking ancillary services to a transmission service request. The provider and capacity of each ancillary service is identified using the formatted string:
SC:(AA[:xxx[:yyy[:nnn]]]);
RV:(AA[:xxx[:yyy[:nnn]]]);
RF:(AA[:xxx[:yyy[:nnn]]]);
EI:(AA[:xxx[:yyy[:nnn]]]);
SP:(AA[:xxx[:yyy[:nnn]]]);
SU:(AA[:xxx[:yyy[:nnn]]]);
[Registered]:(AA[:xxx[:yyy[:nnn]])
where AA is the appropriate PRIMARY_PROVIDER_CODE, SELLER_CODE, or CUSTOMER_CODE, and represents the company providing the ancillary services. "AA" may be unspecified for "xxx" type identical to "FT", in which case the ":" character must be present and precede the "FT" type.
If multiple "AA" terms are necessary, then each "AA" grouping will be enclosed within parenthesis, with the overall group subordinate to the AS_TYPE specified within parenthesis and where xxx represents either:
- "FT" to indicate that the Customer will determine ancillary services at a future time, or
- "SP" to indicate that the Customer will self-provide the ancillary services, or
"RQ" to indicate that the Customer is asking the OASIS Node to initiate the process for making an ancillary services reservation with the indicated Provider or Seller on behalf of the Customer. The Customer must then continue the reservation process with the Provider or Seller. If the transmission services request is for preconfirmed service, then the ancillary services shall also be preconfirmed, or "AR" to indicate an assignment reference number sequence follows. The terms "yyy" and "nnn" are subordinate to the xxx type of "AR". yyy represents the ancillary services reservation number (ASSIGNMENT_REF) and nnn represents the capacity of the reserved ancillary services. Square brackets are used to indicate optional elements and are not used in the actual linkage itself. Specifically, the :yyy is applicable to only the "AR" term and the :nnn may optionally be left off if the capacity of ancillary services is the same as for the transmission services, and optionally multiple ancillary reservations may be indicated by additional (xxx[:yyy[:nnn]]) enclosed within
| Field | Code | Type | Description |
|------------------------|-------|-----------------------------|-----------------------------------------------------------------------------|
| ANC_SVC_REQ | ANCSVCREQ | 0|ALPHANUMERIC|100 | EI:[M,R,O,U]; SP:[M,R,O,U]; SU:[M,R,O,U]; RV:[M,R,O,U]; RF:[M,R,O,U]; SC:[M,R,O,U]; [registered]:[M,R,O,U] | Ancillary services required for a transmission services offering. The appropriate letter [M,R,O,U] will be assigned to each of the six Proforma FERCancillary services (see AS_TYPE), where the letters mean the following: • (M) Mandatory, which implies that the Primary Provider must provide the ancillary service • (R) Required, which implies that the ancillary service is required, but not necessarily from the Primary Provider • (O) Optional, which implies that the ancillary service is not necessarily required, but could be provided • (U) Unknown, which implies that the requirements for the ancillary service are not known at this time |
| ASSIGNMENT_REF | AREF | 1|ALPHANUMERIC|12 | Unique value | A unique reference number assigned by a Transmission Information Provider to provide a unique record for each transmission or ancillary service request. A single transmission or ancillary service request will be over a contiguous time period, i.e. from a START_TIME to an STOP_TIME. |
| ATTRIBUTE_UNITS | ATTRUNIT S | 1|ALPHANUMERIC|20 | Free form text | System data attribute units |
| ATTRIBUTE_VALUE | ATTRVALUE | 1|NUMERIC|12 | Real number | System data attribute value |
| BID_PRICE | BIDPR | 1|NUMERIC|5 + A.@ + 2|NUMERIC|4 | Positive number with 2 to 4 decimals | The current bid price of a Service in dollars and cents. Used by Customers to designate a price being bid. |
| CATEGORY | CAT | 0[ALPHANUMERIC] 25 | Valid name from CATEGORY in LIST Template | A name to be used to categorize messages. Valid names would include: , Want-Ad, Curtailment, Outage, OASIS_Maintenance_Outage |
|---------------------------|--------------|--------------------|------------------------------------------|------------------------------------------------------------------------------------------------------------------|
| CEILING_PRICE | CEILPR | 1[NUMERIC]5 + "." + 2[NUMERIC]4 | Positive number with 2 to 4 decimals | Ceiling price of the Service as entered by the Transmission Provider. |
| COLUMN_HEADERS | HEADERS | 1[ALPHANUMERIC] Limited to all the elements names in one Template | Headers surrounded with A and separated by commas. Limited to valid Template element names. Must use full element name and not alias. | Example: COLUMN_HEADER=APATH_NAME", "POINT_OF_RECEIPT", "POINT_OF_DELIVERY ", "SOURCE", "SINK" |
| COMPETING_REQUEST_FLAG | COMPREQ | 1[ALPHANUMERIC] 1 | "Y" or "N" | If "Y", indicates there is one or more competing requests for this reservation. The competing request AREFs are listed in the SELLER_COMMENTS |
| CONTINUATION_FLAG | CONT | 1[ALPHANUMERIC] 1 | "Y" or "N" | Indicates whether or not this record is a continuation from the previous record |
| CONTROL_AREA | AREA | 1[ALPHANUMERIC] 20 | Valid name of a control area | A part of the power system with metered tie lines and capable of matching generation and load while meeting scheduled interchange. Location of Ancillary Services is my CONTROL_AREA. |
| CURTAILMENT_OPTIONS | CUROPT | 0[ALPHANUMERIC] 80 | Free form text | Customer options, if any, to avoid curtailment |
| CUSTOMER_CODE | CUST | 1[ALPHANUMERIC] 6 | Unique value, registered on TSIN.COM | Any entity (or its designated agent) that is eligible to view OASIS information, to execute a service agreement, and/or to receive transmission service. |
| Field | Code | Format | Description | Notes |
|-----------------------|--------|-------------------------------|-----------------------------------------------------------------------------|----------------------------------------------------------------------|
| CUSTOMER_COMMENTS | CUSTCOM| 0|ALPHANUMERIC|255 | Free-form text | Informative text. For information to be communicated between the customer and seller. |
| CUSTOMER_DUNS | CUSTDUNS| 9|NUMERIC|9 | Unique DUNS number | Unique DUNS number for a Customer |
| CUSTOMER_EMAIL | CUSTEMAIL| 1|ALPHANUMERIC|25 | Valid Internet E-Mail address | Internet E-Mail address of Customer contact person |
| CUSTOMER_FAX | CUSTFAX| 14|ALPHANUMERIC|20 | Area code and telephone number, plus any extensions (aaa)-nnn-nnnn xnnnn | FAX phone number of Customer contact person |
| CUSTOMER_NAME | CUSTNAME| 1|ALPHANUMERIC|25 | Free form text | Name of Customer contact person |
| CUSTOMER_PHONE | CUSTPHON| 14|ALPHANUMERIC|20 | Area code and telephone number, plus any extensions (aaa)-nnn-nnnn xnnnn | Telephone of Customer contact person |
| DATA_ROWS | ROWS | 1|NUMERIC|unlimited | Positive Number | Number of records (rows) of data exclusive of header information that are to be uploaded or downloaded in a file. |
| DATE_TIME_EFFECTIVE | TIMEEFCT| 16|ALPHANUMERIC|16 | Valid date and time in seconds yyyy+mo+dd+hh+mm+ss+tz | Date and time a message or service offer is in effect |
| Field | Code | Type | Length | Description |
|------------------------|-------|-----------------------------|--------|-----------------------------------------------------------------------------|
| DEAL_REF | DREF | 0[ALPHANUMERIC] 12 | Unique value, Assigned by Customer | The unique reference assigned by a Customer to two or more service purchases to identify each of them as related to others in the same power service deal. These requests may be related to each other in time sequence through a single Provider, or as a series of wheels through multiple Providers, or a combination of both time and wheels. The User uses the DEAL_REF to uniquely identify a combination of requests relating to a particular deal. |
| DISCRETION_DESCRIPTION | DISCDESC | 0[ALPHANUMERIC] 1000 | Free form text | A detailed description of the discretion being reported |
| ELEMENT_NAME | ELEMENT | 1[ALPHANUMERIC] 40 | Valid Template element name | Template element name as indicated in data dictionary |
| EMPLOYEE_NAME | EMPNAME | 1[ALPHANUMERIC] 25 | Free form text | Name of person who is transferring from one position to another |
| ERROR_MESSAGE | ERROR | 1[ALPHANUMERIC] 250 | Free form text | Error message related to a RECORD_STATUS or REQUEST_STATUS |
| EVENT_ID | EVENTID | 0[ALPHANUMERIC] 25 | Free form text | The EVENT_ID Data Element is any regional or interconnection-wide recognized security event identifier for events that are of greater scope than those administered locally by the Provider (e.g., a NERC Security Coordinator assigned identifier corresponding to a particular implementation of the NERC TLR procedure). |
| FACILITY_CLASS | FACLASS | 0[ALPHANUMERIC]25 | Free form text, for example: TRANSFORMER, LINE, FLOWGATE Or as defined in the LIST Template | Type of limiting device such as 'transformer', 'line' or 'flowgate' |
|----------------|---------|------------------|---------------------------------------------------------------------------------|------------------------------------------------------------------|
| FACILITY_LIMIT_TYPE | FACLIMTYP | 0[ALPHANUMERIC]25 | thermal, stability, voltage or defined in LIST Template | For example: thermal, stability, voltage |
| FACILITY_LOCATION | FACLOC | 0[ALPHANUMERIC]8 | Free form text, for example: INTERNAL EXTERNAL Or as defined in the LIST Template | Location of facility that caused the interruption, either internal to the TP or external to the TP grid |
| FACILITY_NAME | FACNAME | 0[ALPHANUMERIC]25 | Free form text | Name of facility, such as name of path or name of flowgate |
| FORMER_COMPANY | FORMCO | 1[ALPHANUMERIC]25 | Free form text | Former company of the person who is transferring |
| FORMER_DEPARTMENT | FORMDEPT | 1[ALPHANUMERIC]52 | Free form text | Former department of the person who is transferring |
| FORMER_POSITION | FORMPOS | 1[ALPHANUMERIC]25 | Free form text | Former position held by the person who is transferring |
| GCA_CODE | GCA | 1[ALPHANUMERIC]4 | Registered control area company code | Generator Control Area Code. Information from Tag |
| IMPACTED | IMPACTED | 0|NUMERIC|4 | Number | Indicates whether the reservation has been impacted by another reservation. For an original reservation this counter is 0. This counter is incremented by 1 by TSIP on the parent request when its ASSIGNMENT_REF is entered in any other reservation's REASSIGNED_REF or RELATED_REF or in entered in any reduction. |
|----------|----------|-----------------|-------|--------------------------------------------------|
| IMPACTING_REF | IMPACTREF | 0|ALPHANUMERIC| 12 | Unique reference | IMPACTING_REF references the ASSIGNMENT_REF of the associated transmission reservation (if applicable that caused the reduction in capacity) |
| INITIATING_PARTY | INITPARTY | 0|ALPHANUMERIC| 4 | Free form text | Person's name or Company code for company responsible for initiating the change in capacity |
| INTERFACE_TYPE | INTERFAC E | 0|ALPHANUMERIC| 1 | I,E | Type of interface define by path: Internal (I) to a control area or External (E) to a control area |
| LCA_CODE | LCACODE | 0|ALPHANUMERIC| 4 | Valid registered control area code | Load Control Area registered code. Information comes from tag |
| LIST_ITEM | ITEM | 1|ALPHANUMERIC|50 | Free form text | Item from LIST, such as list of SELLER, list of PATH_NAME, list of POINT_OF_RECEIPT, list of POINT_OF_DELIVERY, list of SERVICE_INCREMENT, list of TS_CLASS, list of TS_TYPE, list of TS_PERIOD, list of TS_WINDOW, list of TS_SUBCLASS, list of AS_TYPE, list of REQUEST_TYPE, list of ANC_SERVICE_POINT, list of FACILITY_CLASS, list of FACILITY_LIMIT_TYPE, list of PROCEDURE_NAME, list of SYSTEM_ATTRIBUTE, list of SECURITY_TYPE, list of FACILITY_LOCATION, list of NERC_CURTAILMENT_PRIORITY, list of OTHER_CURTAILMENT_PRIORITY, list of CATEGORY, list of TEMPLATE, list of LIST |
|-----------|------|-----------------|-----------------|--------------------------------------------------|
| LIST_ITEM_DESCRIPTION | ITEMDESC | 0|ALPHANUMERIC|100 | Free form text | A detailed description of the LIST_ITEM |
| MODIFICATION_RE F | MODREF | 1|ALPHANUMERIC| 12 | Valid ASSIGNMENT_REF | Forward pointer. Pointing to next reservation that replaces the current reservation |
|-------------------|--------|-----------------|---------------------|--------------------------------------------------------------------------------------------|
| NEGOTIATED_PRICE_FLAG | NGPRIFLG | 0|ALPHANUMERIC| 1 | H, L, or blank | Set to H if OFFER_PRICE is higher than the currently posted price; set to L if OFFER_PRICE is lower than the currently posted price |
| NERC_CURTAILMENT_PRIORITY | NERCURT | 1|INTEGER| 1 | Integer | One of the NERC curtailment priorities, documented in LIST Template |
| NEW_COMPANY | NEWCO | 1|ALPHANUMERIC| 25 | Free form text | New company of the person who is transferring |
| NEW_DEPARTMENT | NEWDEPT | 1|ALPHANUMERIC| 52 | Free form text | New department of the person who is transferring |
| NEW_POSITION | NEWPOS | 1|ALPHANUMERIC| 25 | Free form text | New position held by the person who is transferring |
| OFFER_PRICE | OFFPR | 1|NUMERIC|5 + "." + 2|NUMERIC|4 | Positive number with 2 to 4 decimals | The current offered price of a Service in dollars and cents. Used by the Seller to indicate the offering price. |
| OFFER_START_TIME | OFFSTIME | 0,16|ALPHANUMERIC|16 | Valid Date and Time to seconds: yyyy+mo+dd+hh+mm+ss+tz | Start time of the window during which a Customer may request a discounted offer. If null, no restrictions on the start of the offering time is implied (other than tariff requirements). |
| OFFER_STOP_TIME | OFFSPTIME | 0,16|ALPHANUMERIC|16 | Valid Date and Time to seconds: yyyy+mo+dd+hh+mm+ss+tz | Stop time of the window during which a Customer may request a discounted offer. (Expiration time of an offer). If null, no restrictions on the end of the offering time is implied (other than tariff requirements). |
| OLD_DATA | OLDDATA | 0|ALPHANUMERIC| 200 | Any valid Data Element value | For audit log, the old value of a Template Data Element prior to being updated. This element is not applicable in the audit log for transaction events. |
| Field | Code | Format | Description | Notes |
|-----------------------------|-------|-------------------------|-----------------------------------------------------------------------------|----------------------------------------------------------------------|
| OPTIONAL_CODE | N/A | 0[ALPHANUMERIC] 25 | Unique path name within region | OPTIONAL_CODE - 25 chars, unique for Path. If used for directionality, then the first 12 characters shall represent POR, followed by '->', followed by 12 characters which shall represent POD. Used by PATH_NAME. |
| OTHER_CURTAILMENT_PRIORITY | OTHCUR| 0[ALPHANUMERIC] 8 | Free form text | Other than NERC curtailment priorities, such as regional curtailment priorities. Suggested format region+number, for example MAPP4, WSCC7. Documented in LIST Template. |
| OUTPUT_FORMAT | FMT | 4[ALPHANUMERIC] 4 | HTML, DATA | Format of response: HTML = hypertext markup language for presentation using a web browser DATA = text for use in a downloaded file. |
| PATH_CODE | N/A | 0[ALPHANUMERIC] 12 | Unique code for each path as defined by primary provider | Unique code within a Region for each path. Used by PATH_NAME |
| PATH_NAME | PATH | 5[ALPHANUMERIC]50 | Unique value | The unique name assigned to a single transmission line or the set of one or more parallel transmission lines whose power transfer capabilities are strongly interrelated and must be determined in aggregate. These lines are typically described as being on a path, corridor or interconnection in some regions, or as crossing an interface or cut-plane in other regions. Multiple lines may be owned by different parties and require prorating of capability shares. The name is constructed from the following codes, with each code separated by a "/". Trailing "/" may be omitted, if there are no values for OPTION_CODE and SPARE_CODE: |
|-----------|------|------------------|--------------|---------------------------------------------------------------------------------|
| | | | | REGION_CODE - 2 chars, unique to OASIS System PRIMARY_PROVIDER_CODE - 4 chars, |
| | | | | unique within Region PATH_CODE - 12 chars, unique for Primary Provider |
| | | | | OPTIONAL_CODE - 25 chars, unique for Path. If used for directionality, then the first 12 characters shall represent POR, followed by ">", followed by 12 characters which shall represent POD SPARE_CODE - 3 chars. |
| Field | Code | Description |
|-----------------------|-------|-----------------------------------------------------------------------------|
| POINT_OF_DELIVERY | POD | Unique value within Primary Provider. Only special character allowed is “.”, for example, ab.cde.123 |
| | | Point of Delivery is one or more point(s) of interconnection on the Transmission Provider’s transmission system where capacity and/or energy transmitted by the Transmission Provider will be made available to the Receiving Party. This is used along with Point of Receipt to define a Path and direction of flow on that path. For internal paths, this would be a specific location(s) in the area. For an external path, this may be an area-to-area interface. |
| POINT_OF_RECEIPT | POR | Unique value within Primary Provider. Only special character allowed is “.”, for example, ab.cde.123 |
| | | Point of Receipt is one or more point(s) of interconnection on the Transmission Provider’s transmission system where capacity and/or energy transmitted will be made available to the Transmission Provider by the Delivering Party. This is used along with Point of Delivery to define a Path and direction of flow on that path. For internal paths, this would be a specific location(s) in the area. For an external path, this may be an area-to-area interface. |
| POSTING_NAME | POSTNAME | Free form text |
| | | Name of person who is posting the information on the OASISNode |
| POSTING_REF | POSTREF | Unique Value |
| | | Assigned by TSIP when Service or Message is received by TSIP. Unique reference can be used by the user to modify or delete the posting. |
| Field | Code | Description |
|-----------------------|--------|-----------------------------------------------------------------------------|
| PRECONFIRMED | PRECONF| 2[ALPHA]3 |
| | | Used by Customer to preconfirm sale in Template TRANSREQUEST or ANCREQUEST. If customer indicates sale is preconfirmed, then the response is YES and the customer does not need to confirm the sale. |
| PRICE_UNITS | UNITS | 0(ALPHA)20 |
| | | The units used for CEILING_PRICE, OFFER_PRICE, and BID_PRICE. Examples: $/MWhr, $/MWmonth |
| PRIMARY_PROVIDE_R_CODE| PROVIDER| 1[ALPHANUMERIC]4 |
| | | Unique code for each Primary Provider. Used by PATH_NAME and in URL. Registered as part of URL at www.tsin.com. |
| PRIMARY_PROVIDE_R_COMMENTS| PPROVCOM | 0[ALPHANUMERIC]255 |
| | | Informative text. Usually entered by the Primary Provider through a back end system. For information communicated between primary transmission provider and all other parties. |
| PRIMARY_PROVIDE_R_DUNS | PPROVDUNS | 9[NUMERIC]9 |
| | | Unique code for each Primary. Provided by Dun and Bradstreet. |
| PROCEDURE_NAME | PROCNAME| 0[ALPHANUMERIC]25 |
| | | Free form text, for example NERC TLR Or as indicated in the LIST Template |
| PROCEDURE_LEVEL | PROCLVL| 1[ALPHANUMERIC]25 |
| | | Valid NERC or local procedure level |
| PROVIDER_ACTION | PROVACT| 1[ALPHANUMERIC]25 |
| | | PROVIDER_ACTION indicates the particular action taken by the Transmission Provider with respect to the scheduled transaction; specific values to be returned are, DENIED if the schedule was not started as requested, CURTAILED if the scheduled MW was limited for reliability reasons, or INTERRUPTED if the scheduled MW was limited for economic reasons. |
| Field | Code | Format | Description |
|-----------------------|--------|-------------------------|-----------------------------------------------------------------------------|
| REASSIGNED_CAPACITY | RASCAP | 1|NUMERIC|12 | Positive number, cannot exceed previous capacity |
| | | | The amount of transfer capability that was reassigned from one entity to another. |
| REASSIGNED_REF | REREF | 1|ALPHANUMERIC|12 | Unique value |
| | | | REASSIGNED_REF contains the ASSIGNMENT_REF of any preceding (parent) requests that are affected by this request. Used only for secondary market sales. |
| REASSIGNED_START_TIME | RESSTIME | 16|ALPHANUMERIC|16 | Valid date and time to seconds: yyy+mo+dd+hh+tz |
| | | | Beginning date and time of the reassigned transmission service |
| REASSIGNED_STOP_TIME | RESSPTIME | 16|ALPHANUMERIC|16 | Valid date and time to hour: yyy+mo+dd+hh+tz |
| | | | Date and time of the end of the transmission service that is reassigned to another User. |
| RECORD_STATUS | RECSTATU | 1|NUMERIC|3 | Error number |
| | | | Record status indicating record was successful or error code if unsuccessful. 200 = Successful |
| RECORD_TYPE | RECTYPE | 1|ALPHA|1 | Valid Types: I U D |
| | | | Indicates the type of information reported in a response record generated by an audit Template. "I" designates information as it was initially inserted (posted) on OASIS; "U" designates information updated (modified) on OASIS; "D" designates deleted information as it appeared on OASIS just prior to being deleted (as appropriate). |
| REDUCTION_REASON | REDREAS | 1|ALPHANUMERIC|50 | Free form text |
| | | | Reason for the reduction |
| REDUCTION_TYPE | REDTYPE | 1|ALPHANUMERIC|25 | Free form text |
| | | | Type of reduction such as REDIRECT, INTERRUPTION, RESALE, DISPLACEMENT |
| REGION_CODE | N/A | 1|ALPHANUMERIC| 2 | Unique within OASIS System | Defined for NERC regions, with the following defined: E - ECAR I - MAIN S - SERC T - ERCOT A - MAPP P - SPP M - MAAC N - NPCC W - WSCC F - FRCC Second character or digit reserved for subregion id as defined by each region. |
| RELATED_REF | RELREF | 1|ALPHANUMERIC| 12 | Unique reference | Contains the ASSIGNMENT_REF of any preceding (parent) requests that are affected by this request |
| REQUEST_REF | RREF | 0|ALPHANUMERIC| 12 | Unique value | A reference uniquely assigned by a Customer to a request for service from a Provider. |
| REQUEST_STATUS | RSTATUS | 1|NUMERIC|3 | Error number | Message status indicating message was successful (if all RECORD_STATUS show success) or error code if any RECORD_STATUS showed unsuccessful. 200 = Successful |
| Field | Code | Format | Description |
|------------------------|-------|-----------------|-----------------------------------------------------------------------------|
| SCHEDULE_LIMIT | SCHEDULELIMIT | 0[NUMERIC]12 | Non-negative number in units of MW |
| | | | SCHEDULE_LIMIT reflects the maximum MW value over the START_TIME/STOP_TIME interval that the Provider has determined can be scheduled |
| SCHEDULE_PRIORITY | SPRIORITY | 0[NUMERIC]2 | Positive Number |
| | | | SCHEDULE_PRIORITY identifies the relative priority of this particular interchange transaction as compared to all other scheduled transactions with respect to the application of curtailments or interruptions. SCHEDULE_PRIORITY would typically reflect the curtailment priority Data Elements associated with the OASIS transmission reservation used to support the schedule (i.e., NERC_CURTAILMENT_PRIORITY or OTHER_CURTAILMENT_PRIORITY). |
| SCHEDULE_REF | SCHDREF | 0[ALPHANUMERIC]20 | Unique reference |
| | | | Unique reference assigned by Transmission Provider to a posting of a schedule information |
| SCHEDULE_REQUESTED | SCHEDULEREQ | 0[NUMERIC]12 | Non-negative number in units of MW |
| | | | Scheduled energy requested by the Transmission Customer (TC) |
| SECURITY_REF | SECREF | 1[ALPHANUMERIC]10 | Unique value |
| | | | Unique value generated by company initiating the security for each security event in the SECURITY Template. |
| SECURITY_TYPE | SECTYPE | 1[ALPHANUMERIC] | Free form text for example: OUTAGE LIMIT |
| | | | SECURITY_TYPE identifies the type of information posted for the event; restricted values are OUTAGE for postings reflecting the state of critical transmission facilities, and LIMIT for postings reflecting the implementation of security procedures to limit or reduce scheduled transactions. |
| SELLER_CODE | SELLER | 1[ALPHANUMERIC]6 | Unique value |
| | | | Organization name of Primary Provider or Reseller. |
| SELLER_COMMENTS | SELCOM | 0[ALPHANUMERIC]255 | Free-form text |
| | | | Informative text provided by the Seller. For information communicated between the seller (either Primary Provider or reseller) to the customer of the services. |
| SELLER_DUNS | SELDUNS | 9[NUMERIC]9 | Valid DUNS number |
| | | | Unique Data Universal Numbering System provided by Dun and Bradstreet. Code for a Primary Provider or Seller. |
| SELLER_EMAIL | SELEMAIL | 5[ALPHANUMERIC]60 | Valid network reference |
| | | | E-Mail address of Seller contact person |
| Field | Code | Length | Description |
|-----------------------|-------|--------|-----------------------------------------------------------------------------|
| SELLER_FAX | SELFAX| 14 | Area code and telephone number, plus any extensions (aaa)-nnn-nnnn xnnnn |
| | | | The fax telephone number for contact person at Seller. |
| SELLER_NAME | SELNAME| 125 | Free form text |
| | | | The name of an individual contact person at the Seller. |
| SELLER_PHONE | SELPHONE| 20 | Area code and telephone number, plus any extensions (aaa)-nnn-nnnn xnnnn |
| | | | The telephone number of a contact person as a Seller |
| SELLER_REF | SELREF| 12 | Free-form text |
| | | | Identifier which is set by seller (including Primary Provider) to uniquely identify reservation requests for seller's own internal use |
| SERVICE_DESCRIPTION | SVCDESC| 200 | Free-form text |
| | | | Information regarding a service. |
| SERVICE_INCREMENT | SRVINCR| 8 | Valid increments • HOURLY • Daily • Weekly • Monthly • Yearly • [Registered] |
| | | | The transmission service increments provided. Five are predefined, while additional increments can be used if they are registered on TSIN.COM and shown in the Provider's LIST Template |
| SERVICE_NAME | SVCNAME| 25 | Free-form text |
| | | | Name of service affected by the discretionary action |
| SERVICE_TYPE | SVCTYPE| 25 | Free-form text |
| | | | Type of service affected by the discretionary action. |
| Field | Code | Type | Description |
|------------------------|-------|-----------------------------|-----------------------------------------------------------------------------|
| SINK | SINK | 0[ALPHANUMERIC]14 | Valid area name |
| | | | The area in which the SINK is located. |
| SOURCE | SOURCE| 0[ALPHANUMERIC]14 | Valid area name |
| | | | The area in which the SOURCE is located. |
| SPARE_CODE | N/A | 0[ALPHANUMERIC]3 | Defined by region |
| | | | Spare code to be used at a later time. Used by PATH_NAME |
| STANDARDS_OF_CONDUCT_ISSUES | STDISSUE | 0[ALPHANUMERIC]800 | Free-form text |
| | | | Issues that were in violation of the FERC Standards of Conduct. This text may include a reference pointer to a more detailed description. |
| START_TIME | STIME | 16[ALPHANUMERIC]16 | Valid Date and Time to seconds: yyyy+mo+dd+hh+mm+ss+tz |
| | | | Start date and clock time of a service. When used as a Query Variable, it requires the return of all items whose Stop time is after the Start time. Note that for some Templates when used as a Query Variable the time may be only valid up to the hour, day or month. If more data is given than is valid, the hour, day or month will be used to make the date and time inclusive, i.e. date or time will be truncated to valid hour, day or month. |
| START_TIME_POSTED | STIMEP| 16[ALPHANUMERIC]16 | Valid Date and Time to seconds: yyyy+mo+dd+hh+mm+ss+tz |
| | | | Query parameter to indicate all the records are to be retrieved that were posted on or after this time. |
| START_TIME_QUEUED | STIMEQ| 16[ALPHANUMERIC]16 | Valid Date and Time to seconds: yyyy+mo+dd+hh+mm+ss+tz |
| | | | Start date and clock time of a service, used for requesting transactions queued after this time |
| STATUS | 5[ALPHANUMERIC]25 |
|--------|-------------------|
| Valid field (QUEUED, INVALID, RECEIVED, STUDY, REBID, COUNTEROFFER, DECLINED, SUPERSeded, ACCEPTED, REFUSED, CONFIRMED, WITHDRAWN, DISPLACED, ANNULLED, RETRACTED) |
**QUEUED =** initial status assigned by TSIP on receipt of "customer services purchase request".
**INVALID =** assigned by TSIP or Provider indicating an invalid field in the request, such as improper POR, POD, source, sink, etc. (Final state).
**RECEIVED =** assigned by Provider or Seller to acknowledge QUEUED requests and indicate the service request is being evaluated, including for completing the required ancillary services.
**STUDY =** assigned by Provider or Seller to indicate some level of study is required or being performed to evaluate service request.
**REFUSED =** assigned by Provider or Seller to indicate service request has been denied due to lack of availability of transportation capability.
SELLER_COMMENTS should be used to communicate details for denial of service. (Final state).
| STATUS (cont.) | COUNTEROFFER= | assigned by Provider or Seller to indicate that a new OFFER_PRICE is being proposed or that CAPACITY_GRANTED is less than CAPACITY_REQUESTED. |
|----------------|---------------|----------------------------------------------------------------------------------------------------------------------------------|
| | REBID = | assigned by Customer to indicate that a new BID_PRICE is being proposed. |
| | SUPERSEDED = | assigned by Provider or Seller when a request which has not yet been confirmed is preempted by another reservation request. (Final state). |
| | ACCEPTED = | assigned by Provider or Seller to indicate the service request at the designated OFFER_PRICE and CAPACITY_GRANTED have been approved/accepted. If the reservation request was submitted PRECONFIRMED and CAPACITY_GRANTED is equal to CAPACITY_REQUESTED, the TSIP shall immediately set the reservation status to CONFIRMED. Depending upon the type of ancillary services required, the Seller may or may not require all ancillary service reservations to be completed before accepting a request. |
| | DECLINED = | assigned by the Provider or Seller to indicate that the terms and conditions, such as the BID_PRICE, are unacceptable and that negotiations are terminated or |
| Status | Description |
|--------------|-----------------------------------------------------------------------------|
| RETRACTED | assigned by Provider or Seller when the Customer fails to confirm or withdraw an accepted updated offer within the required time period. (Final state). |
| WITHDRAWN | assigned by the Customer at any point in request evaluation to withdraw the request from any further action. (Final state). |
| CONFIRMED | assigned by the Customer in response to the Provider or Seller posting "ACCEPTED" status, to confirm service. Once a request has been "CONFIRMED", a transmission service reservation exits. (Final state, unless overridden by DISPLACED or ANNULLED state). |
| DISPLACED | assigned by Provider or Seller when a "CONFIRMED" reservation from a Customer is displaced by a higher priority request, and the Customer is not offered or has not exercised right of first refusal (i.e. refused to |
| STATUS_COMMENTS | STACOM | 0[ALPHANUMERIC] 255 | Free form text | Informative: For information to be communicated by any party to all other parties. |
|-----------------|--------|---------------------|----------------|-----------------------------------------------------------------------------|
| STATUS_NOTIFICATION | STATNOT | 0[ALPHANUMERIC] 200 | http://URL:portnumber/directory/cgi script/query parameters or Mailto:<e-mail address> | The STATUS_NOTIFICATION Data Element shall contain the protocol field "http:", which designates the notification method/protocol to be used, followed by all resource location information required; the target domain name and port designations shall be inserted into the notification URL based on the Customer's Company registration information. The resource location information may include directory information, cgi script identifiers and URL encoded query string name/value pairs as required by the Customer's application. or mailto and email address for the status information the Customer wants to receive upon a change in STATUS of transstatus, or ancstatus |
| STOP_TIME | SPTIME | 16[ALPHANUMERIC]16 | Valid date and time yyyy+mo+dd+hh+mm+ss+tz | Stop date and clock time. When used as a Query Variable, it requires the return of all items which start before the Stop time. Note that for some Templates when used as a Query Variable the time may be only valid up to the hour, day or month. If more data is given than is valid, the hour, day or month will be used to make the date and time inclusive, i.e., date or time will be increased to include STOP_TIME. |
| STOP_TIME_POSTED | STPTIMEP | 16[ALPHANUMERIC]16 | Valid Date and Time to seconds: yyyy+mo+dd+hh+mm+ss+tz | Query parameter to indicate all the records are to be retrieved that were posted on or before this time. |
| Field | Code | Length | Format | Description |
|-----------------------|-------|--------|-----------------|-----------------------------------------------------------------------------|
| STOP_TIME_QUEUED | SPTIMEQ | 16 | ALPHANUMERIC | Valid Date and Time to seconds: yyyy+mo+dd+hh+mm+ss+tz |
| | | | | Stop date and clock time, used for requesting transactions queued before |
| | | | | this time |
| SUBJECT | SUBJ | 80 | ALPHANUMERIC | Free form text |
| | | | | Informative text used to summarize a topic in a message |
| SYSTEM_ATTRIBUTE | SYSATTR | 15 | ALPHANUMERIC | Valid values: CBM TRM TTC NATC RATC or listed in the LIST Template |
| | | | | Type of system data viewed by SYSTEMDATA Template: CBM – Capacity Benefit |
| | | | | Margin TRM – Transmission Reliability Margin TTC – Total Transmission |
| | | | | Capability NATC – Non-recallable (Firm) Available Transmission Capability |
| | | | | RATC – Recallable (Non-firm) Available Transmission Capability [registered] |
| | | | | – Provider specific registered name for the data posted |
| TARIFF_REFERENCE | TARIFF | 150 | ALPHANUMERIC | Free form text. Name and description of Tariff |
| | | | | Tariffs approved by FERC |
| TEMPLATE | TEMPL | 20 | ALPHANUMERIC | Valid Name of Template from Section 4.3 or from LIST Template |
| | | | | The name of a logical collection of DATA_ELEMENTS in a User’s interaction |
| | | | | with an OASIS Node. |
| TIME_OF_LAST_UPDATE | TLUPDATE | 16 | ALPHANUMERIC | Valid date and time to seconds: yyyy+mo+dd+hh+mm+ss+tz |
| | | | | Date and time to seconds that data was last updated. May be used to search |
| | | | | data updated since a specific point in time. |
| Field | Code | Format | Description |
|---------------|-------|--------------|-----------------------------------------------------------------------------|
| TIME_POSTED | TIMEPST | 16[ALPHANUMERIC]16 | Valid Date and Time to seconds: yyyy+mo+dd+hh+mm+ss+tz
Date and time a message is posted |
| TIME_QUEUED | TIMEQ | 16[ALPHANUMERIC]16 | Valid Date and Time to seconds: yyyy+mo+dd+hh+mm+ss+tz
Date and time that the request was queued |
| TIME_STAMP | TSTAMP | 16[ALPHANUMERIC]16 | Valid date and Time to seconds yyyy+mo+dd+hh+mm+ss+tz
Time data is created |
| TRANSACTION_ID| TRANSID | 1[ALPHANUMERIC]20 | Unique value
Unique identifier associated with an interchange transaction that may span multiple SCHEDULE_REF records. May be the Tag id. |
| TS_CLASS | TSCLASS | 1[ALPHANUMERIC]20 | Valid classes: • FIRM • NON-FIRM • TTC • SECONDARY • Registered
The transmission service classes provided. Four are pre-defined, while additional classes can be used if they are registered on TSIN.COM and shown in the Provider’s LIST Template page. SECONDARY is defined as alternate points of receipt or delivery for POINT_TO_POINT, or as nondesignated resources for NETWORK service. |
| TS_PERIOD | TSPER | 1[ALPHANUMERIC]20 | Valid periods: • ON_PEAK • OFF_PEAK • FULL_PERIOD • [Registered]
The transmission service periods provided. Three are pre-defined, while additional periods can be used if they are registered on TSIN.COM and shown in the Provider’s LIST Template |
| TS_SUBCLASS | TSSUBC | 0[ALPHANUMERIC]20 | Free Form
The transmission service subclasses provided. These are freeform. |
| TS_TYPE | TSTYPE | 1[ALPHANUMERIC]20 | Valid types • POINT_TO_POINT • NETWORK • ATC •
The transmission service types provided. Three are pre-defined, while additional types can be used if they are registered on TSIN.COM and shown in the Provider’s LIST Template |
| Field | Code | Format | Description | Details |
|---------------|-------|-------------------------|-----------------------------------------------------------------------------|-------------------------------------------------------------------------|
| TS_WINDOW | TSWIND| 1{ALPHANUMERIC}20 | Valid windows • FIXED • SLIDING • EXTENDED • NEXT_INCREMENT • {Registered } | The transmission service windows provided. Four are pre-defined, while additional windows can be used if they are registered on TSIN.COM and shown in the Provider's LIST Template |
| TZ | TZ | 2{ALPHANUMERIC}2 | Valid time zone and indication whether daylight savings time is to be used | Time zones: Atlantic time = AD, AS Eastern time = ED, ES Central time = CD, CS Mountain time = MD, MS Pacific time = PD, PS Universal time = UT |
| VALID_FROM_TIME | VALFTIME | 16{ALPHANUMERIC}16 | Valid date and time yyyy+mo+dd+hh+mm+ss+tz | Date and time after which the message is valid |
| VALID_TO_TIME | VALTTIME | 16{ALPHANUMERIC}16 | Valid date and time yyyy+mo+dd+hh+mm+ss+tz | Date and time before which the message is valid |
| VALUE | VALUE | 1{NUMERIC}20 | A number | FACILITY_ATTRIBUTE value |
| VALUE_UNITS | VALUEUTS | 1{ALPHANUMERIC}20 | Free form string | Units used for VALUE |
| VERSION | VER | 1{REAL NUMBER}6 | Range of 1.0 to 9999.9 | Specifies which version of the OASIS Standards and Communication Protocol to use when interpreting the request |
Section 220.127.116.11 of the S&CP Document is revised to provide as follows:
### 18.104.22.168 Status Values
The possible STATUS values are:
- **QUEUED** = initial status assigned by TSIP on receipt of "customer services purchase request."
- **INVALID** = assigned by TSIP or Provider indicating an invalid field in the request, such as improper POR, POD, source, sink, etc. (Final state).
- **RECEIVED** = assigned by Provider or Seller to acknowledge QUEUED requests and indicate the service request is being evaluated, including for completing the required ancillary services.
- **STUDY** = assigned by Provider or Seller to indicate some level of study is required or being performed to evaluate service request.
- **REFUSED** = assigned by Provider or Seller to indicate service request has been denied due to lack of availability of transmission capability. SELLER_COMMENTS should be used to communicate details for denial of service. (Final state).
- **COUNTEROFFER** = assigned by Provider or Seller to indicate that a new OFFER_PRICE is being proposed.
- **REBID** = assigned by Customer to indicate that a new BID_PRICE is being proposed.
- **SUPERSEDED** = assigned by Provider or Seller when a request which has not yet been confirmed is preempted by another reservation request. (Final state).
- **ACCEPTED** = assigned by Provider or Seller to indicate the service request at the designated OFFER_PRICE has been approved/accepted. If the reservation request was submitted PRECONFIRMED, the OASIS Node shall immediately set the reservation status to CONFIRMED. Depending upon the type of ancillary services required, the Seller may or may not require all ancillary service reservations to be completed before accepting a request.
- **DECLINED** = assigned by Provider or Seller to indicate that the BID_PRICE is unacceptable and that negotiations are terminated. SELLER_COMMENTS should be used to communicate reason for denial of service. (Final state).
CONFIRMED = assigned by Customer in response to Provider or Seller posting "ACCEPTED" status, to confirm service. Once a request has been "CONFIRMED," a transmission service reservation exists. (Final state, unless overridden by DISPLACED or ANNULLED state).
WITHDRAWN = assigned by Customer at any point in request evaluation to withdraw the request from any further action. (Final state).
DISPLACED = assigned by Provider or Seller when a "CONFIRMED" reservation from a Customer is replaced by a longer term reservation and the Customer has not exercised right of first refusal, if any (i.e., refused to match terms of new request). (Final state).
ANNULLED = assigned by Provider or Seller when, by mutual agreement with the Customer, a confirmed reservation is to be voided. (Final state).
RETRACTED = assigned by Provider or Seller when the Customer fails to confirm or withdraw the request within the required time period. (Final state).
ATTACHMENT E
Oasis Version 1.4 corrections, outlined in a letter dated January 30, 2001, from Paul R. Sorenson, OSC Chair, to David P. Borgers, Office of the Secretary, Federal Energy Regulatory Commission
January 30, 2001
The Honorable David P. Boergers
Office of the Secretary
Federal Energy Regulatory Commission
888 First Street, N. E.
Washington, DC 20426
References: FERC Open Access Same-Time Information System and Standards of Conduct, 18 CFR Part 37, Docket No. RM95-9-014, August 1, 2000
Subject: OASIS Version 1.4 corrections
Dear Secretary Boergers:
In implementing OASIS 1.4 the following minor errors in the Standards and Communications Protocols for OASIS Data Dictionary were found. The OASIS Standards Collaborative group (OSC, formerly known as the OASIS How Working Group) requests that the following corrections be incorporated into the Data Dictionary for implementation of OASIS Version 1.4:
• The attributes CAPACITY_SCHEDULED, OLD_DATA, VALUE, and VALUE_UNITS are no longer used and should have been deleted from the Data Dictionary.
• The FACILITY_NAME needs to be increased from 25 to 100 characters to accommodate the full length of the PATH_NAME data element and allow for more detailed naming standards in the future.
• The definitions for INITIATING_PARTY and RESPONSIBLE_PARTY have been changed to avoid confusion in interpretation. These element identify a Control Area, Security Coordinator, etc., by their four character registered code and not a person.
• OTHER_CURTAILMENT_PRIORITY has been changed to a designation of "[registered]" to reflect the requirement to register any alternative curtailment priority attributes adopted by the Transmission Provider as called for under Standard 2.4 of the Business Practice Standards for OASIS Transactions Version 1.1.
• The attributes PROCEDURE_NAME and PROCEDURE_LEVEL are defined to either be the NERC Transmission Loading Relief (TLR) or WSCC Un-Scheduled Flow (USF) transmission security procedures and their corresponding curtailment levels, or a name and associated levels registered at tsin.com identifying local transmission security procedures implemented by the Transmission Provider.
• The maximum length of the SECURITY_TYPE element was omitted, and the restricted values of "OUTAGE" and "LIMIT" were not clearly identified.
• The REQUEST_TYPE value for REDIRECT requests was mistyped.
The data attribute TRANSACTION_ID needs to be increased from 20 to 30 characters to accommodate the 23 character string length of the NERC Tag ID.
Attached are red-lined excerpts from the OASIS Data Dictionary reflecting the above changes.
Respectfully,
Paul R. Sorenson
OSC Chair
UNITED STATES OF AMERICA
FEDERAL ENERGY REGULATORY COMMISSION
87 FERC ¶ 61,224
18 CFR Part 37
[Docket No. RM98-3-000; Order No. 605]
Open Access Same-Time Information System
FINAL RULE
(Issued May 27, 1999)
AGENCY: Federal Energy Regulatory Commission.
ACTION: Final Rule.
SUMMARY: The Federal Energy Regulatory Commission (Commission) is amending its regulations to: (1) extend the retention period and availability of information on curtailments and interruptions; (2) allow the Commission staff and the public to access the supporting information on curtailments and interruptions, upon request; (3) codify that OASIS users are allowed to make file transfers and queries as defined in the Standards and Communications Protocols (S&CP) Document; (4) clarify that Responsible Parties are required to provide access to their OASIS sites for OASIS users making automated queries for extensive amounts of data; (5) add a provision to allow Responsible Parties, under certain circumstances, to limit a user's access to an OASIS node; and (6) add a provision to require OASIS users to notify Responsible Parties one month in advance of initiating a significant amount, or significantly increasing the use, of automated queries.
EFFECTIVE DATE: This final rule will become effective on [insert date 30 days after publication of this final rule in the Federal Register].
FOR FURTHER INFORMATION CONTACT:
Marvin Rosenberg (Technical Information)
Office of Economic Policy
Federal Energy Regulatory Commission
888 First Street, N.E.
Washington, D.C. 20426
(202) 208-1283
Paul Robb (Technical Information)
Office of Electric Power Regulation
Federal Energy Regulatory Commission
888 First Street, N.E.
Washington, D.C. 20426
(202) 219-2702
Andrea Weinstein (Legal Information)
Office of the General Counsel
Federal Energy Regulatory Commission
888 First Street, N.E.
Washington, D.C. 20426
(202) 208-1017
SUPPLEMENTARY INFORMATION: In addition to publishing the full text of this document in the Federal Register, the Commission also provides all interested persons an opportunity to inspect or copy the contents of this document during normal business hours in the Public Reference Room at 888 First Street, N.E., Room 2A, Washington, D.C. 20426.
The Commission Issuance Posting System (CIPS) provides access to the texts of formal documents issued by the Commission from November 14, 1994, to the present. CIPS can be accessed via Internet through FERC's Home page (http://www.ferc.fed.us) using the CIPS Link or the Energy Information Online icon. Documents will be available on CIPS in ASCII and WordPerfect 6.1. User assistance is available at 202-208-2474 or by E-mail to firstname.lastname@example.org.
This document is also available through the Commission's Records and Information Management System (RIMS), an electronic storage and retrieval system of documents submitted to and issued by the Commission after November 16, 1981. Documents from November 1995 to the present can be viewed and printed. RIMS is available in the Public Reference Room or remotely via Internet through FERC's Home page using the RIMS link or the Energy Information Online icon. User assistance is available at 202-208-2222, or by E-mail to email@example.com.
Finally, the complete text on diskette in WordPerfect format may be purchased from the Commission's copy contractor, RVJ International, Inc. RVJ International, Inc. is located in the Public Reference Room at 888 First Street, N.E., Washington, D.C. 20426.
RECOMMENDATION TO NAESB WEQ EXECUTIVE COMMITTEE
Requester: Southern Company Services
Request No.: R04005
Date: December 29, 2003
BACKGROUND
This proceeding began with the issuance of a Notice of Proposed Rulemaking (NOPR) on July 29, 1998. The NOPR addressed three main Open Access Same-Time Information System (OASIS) issues: (1) the retention period and availability of information about curtailments and interruptions; (2) the ability of OASIS users to make file transfers and automated computer-to-computer file transfers and queries; and (3) limiting a user's access to an OASIS node.
We invited comments on enumerated issues, along with general comments. Comments were filed by 16 commenters. These comments were generally favorable to the proposed
changes, although numerous disagreements remained as to the details. The comments will be discussed below on an issue-by-issue basis.
This final rule is being issued after a review of the comments filed in response to the Commission's NOPR issued in this proceeding on July 29, 1998. The final rule becomes effective on [insert date 30 days after publication of this final rule in the Federal Register].
**DISCUSSION**
In this final rule, we are making revisions to 18 CFR Part 37. These revisions include: (1) amending the retention period for supporting information about curtailments and interruptions in § 37.6(e)(3)(ii); (2) amending § 37.6(e)(3)(ii) to allow the Commission staff and the public access to the supporting information on curtailments and interruptions, upon request; (3) amending § 37.6(a)(6) to allow OASIS users to make file transfers and queries as defined in the S&CP Document; (4) adding § 37.5(c) to require Responsible Parties to provide access to their OASIS sites for OASIS users making automated queries for extensive amounts of data; (5) adding § 37.5(d) and § 37.5(e) to allow Responsible Parties, under certain circumstances, to limit a user's access to an OASIS node; and (6) adding § 37.8(a) to require OASIS users to notify Responsible Parties one month in advance of initiating a significant amount, or significantly increasing the use, of automated queries.
A. **Access To, and Retention of Supporting Information on Curtailments and Interruptions**
1. **Retention Period**
The first issue is whether to extend the retention period of supporting information on curtailments and interruptions. Currently, our regulations at 18 CFR § 37.6(e)(ii) require that
---
5/ In the discussion that follows, our references to comments are illustrative and not exhaustive. While we have identified all of the major issues raised by the commenters, we have not attempted to identify all commenters in instances where more than one comment makes the same point.
Transmission Providers make available supporting information about curtailments and interruptions for 60 days after the occurrence of the curtailment or interruption, upon request by the affected customer. Our regulations at § 37.6(e)(i) require that a Transmission Provider post notice of the curtailment or interruption on the OASIS and state why the transaction could not be continued or completed. Furthermore, § 37.6(e)(ii) required that information to support the curtailment and the operating status of the facilities involved in the constraint must be maintained.
In the NOPR, we noted that issues concerning curtailments and interruptions have been the subject of a number of informal complaints to the FERC Enforcement Hotline. Accordingly, we proposed to revise our regulations to require that Transmission Providers retain supporting information about curtailments and interruptions for three years.
**Comments**
A number of commenters supported the Commission's proposal to require Transmission Providers to retain the supporting information about curtailments and interruptions for three years. Numerous commenters believe that several aspects of the Commission's proposal need clarification.
The How Group 1/ recognizes that supporting data can be voluminous and it recommends the following clarification: OASIS systems are still required to provide curtailment information on-line in the current templates for ninety (90) days [18 CFR § 37.6(e)(3)(i)], and
---
6/ During a technical conference held by the Commission's staff in July 1995, a consensus developed that two industry groups should be formed, one dealing with "what" information should be posted on the network and the other dealing with "how" to design the OASIS. The "what" group would be facilitated by the North American Electric Reliability Council (NERC) and the "how" group would be facilitated by the Electric Power Research Institute. See Real-Time Information Networks, Notice of Timetable and Opportunity for Participation in Industry Working Groups, FERC Stats. & Regs. ¶ 35,029 (1995).
supporting information must be retained off-line for three years. 1/ The How Group notes that their recommendation is consistent with the retention requirements for audit data. Cal ISO, MAIN and Southwest support the How Group's proposal. 1/
Cinergy is unclear as to where the information needs to be maintained. Cinergy requests that, if storage of the supporting information is to be off-line, then the Commission should require the Transmission Providers to provide near-term curtailment and interruption data on-line for at least 120 days. 1/
EPSA supports the Commission's proposal to amend its regulations to require that Transmission Providers retain supporting information about curtailments and interruptions for three years. EPSA, however, argues that three years may be insufficient in some circumstances. EPSA argues that Transmission Providers should be required to maintain the supporting data for so long as necessary if such data relates to a complaint pending before the Commission, or otherwise is needed to resolve issues in an ongoing proceeding. 1/
CSW and VEPCO argue that a three-year retention period is too long and that Transmission Providers would be transformed into archivists. 1/ CSW asserts that a one-year retention period is a more cost-effective approach. VEPCO recommends that the Commission keep the 60-day retention requirement. However, VEPCO notes that at a maximum, requiring retention for one year might be useful in comparing curtailments and interruptions on a seasonal basis.
7/ How Group comments at 2.
8/ A list of Commenters' full names and corresponding abbreviations is contained in Attachment 1.
9/ See Cinergy comments at 2.
10/ EPSA comments at 4.
11/ See CSW comments at 2; VEPCO comments at 5-6.
Commission Conclusion
After considering the comments, we continue to believe that three years is an appropriate period for maintaining supporting information about curtailments and interruptions. As the How Group notes, the proposed three-year retention period for supporting curtailment and interruption data is consistent with the retention period for audit data. Therefore, we will modify the regulations at 18 CFR § 36(e)(3)(ii) to require that the information to support a curtailment or interruption must be retained off-line for three years. In our judgment, a three-year retention period is useful in comparing curtailments and interruptions over time.
In response to EPSA, we note that under the Federal Power Act, public utilities have record-keeping and reporting obligations and are subject to the Commission's investigation and enforcement powers. These requirements provide safeguards for the handling of documents during pending cases. In any event, we see no need at this time to adopt regulations specifically on retention of information relevant to pending proceedings on curtailments or interruptions.
2. Access to and Availability of Supporting Information
Currently, our regulations at § 37(e)(3)(ii) give access to the supporting curtailment and interruption information to affected customers, upon request. In the NOPR, we expressed concern that the regulations did not allow the Commission staff and the public access to the supporting information. We noted that lack of access to the supporting information limits the
---
12/ See 18 C.F.R. § 37.7 (1998).
13/ See Federal Power Act, Section 301 (making and preservation of accounts, records, and memoranda; Commission's right to inspect and examine); Section 304 (periodic and special reports; obstruction of the making or keeping of required information unlawful); Section 307 (investigations) and Section 314 (enforcement). These Sections are codified at 16 U.S.C. §§ 825, 825c, 825f and 825m.
Commission's ability to audit the circumstances under which a curtailment or interruption occurs, as well as the Commission's ability to identify compliance problems and resolve complaints. Therefore, we proposed to make the supporting information about curtailments and interruptions available on request, not only to affected customers, but also to the Commission staff and the public.
**Comments**
EPMI strongly supports the Commission's proposal to require Transmission Providers to make the supporting information relating to curtailments and interruptions available to affected customers, the Commission Staff and the public. Due to the commercial sensitivity of the supporting curtailment and interruption information, however, EPMI proposes that the information not be made available for at least 30 days after the end of the month in which the curtailment or interruption was imposed.
EEI recommends that access to information on curtailments and interruptions should only be available to Transmission Customers. EEI argues that there are serious risks to the reliability of the interconnected transmission system that could result from disclosure to the general public. EEI recommends that the Commission modify section 37.6(e)(3)(ii) to provide the information to "any other transmission customer who: (i) demonstrates a legitimate basis for requesting the information and (ii) agrees to keep the information on curtailment or interruptions confidential, provided that the information may be disclosed to the Commission pursuant to 18 CFR § 388.112." 14/ VEPCO recommends the same modifications to this section of our regulations.
**Commission Conclusion**
---
14/ EEI comments at 3-4.
First, disclosure of supporting curtailment and interruption data to the Commission will provide useful information for discerning patterns of undue discrimination. With access to the additional information, the Commission will have a greater ability to examine the circumstances under which a curtailment or interruption occurred. This in turn, will lead to early identification of compliance problems and faster resolution of complaints. Accordingly, we will revise § 37.6(3)(ii) to include the Commission staff.
Second, commenters raised two types of arguments concerning the Commission's proposal to allow the public access to the supporting information on curtailments and interruptions, upon request: (1) commercial sensitivity; and (2) reliability of the transmission system.
We have given careful consideration to the possible harmful commercial effects of disclosing supporting curtailment and interruption information to the public. We believe that the disclosure of this information to the public will provide useful information to the public for discerning any patterns of undue discrimination in the rendering of transmission services. Thus, disclosure to the public should promote non-discrimination and lead to better competitive utilization of transmission systems.
The Commission considers the reliability of the interconnected transmission system to be of utmost importance. NERC and the industry have made significant efforts to ensure that reliability of the transmission system is maintained and that reliability criteria are compatible with competitive markets. 15/ NERC and its member Regional Reliability Councils have worked cooperatively and effectively to provide reliability standards for public utilities. Furthermore, these entities have not cited any risks to reliability from disclosure of this information. Currently, Transmission Providers already post curtailment-related information on the OASIS
15/ See Order No. 888-A, FERC Stats. & Regs. ¶ 31,048 at 30,185 (1997).
including the Available Transmission Capacity for a constrained path. Also, section 213(b) of the Federal Power Act requires transmitting utilities to make annual filings informing the "public of potentially available transmission capacity and known constraints." However, we are taking the precaution of requesting the Market Interface Committee (MIC) to review and specify the supporting information about curtailments and interruptions that should be maintained. In these circumstances, the Commission believes that the disclosure of information on curtailments and interruptions to the public is appropriate at this time.
3. Additional Information on the Congested Path
In the NOPR, we proposed that the information under 18 CFR § 37.6(e)(3)(ii) should include information on any other uses of the congested path at the time of the curtailment or interruption. We noted that it would be helpful to know whether the curtailment or interruption was imposed on other users. Furthermore, information on any other uses of the congested path at the time of the curtailment or interruption would not be burdensome to assemble.
Comments
Many commenters supported the Commission's proposal to include additional information on other uses of the congested path at the time of curtailment or interruption.
16/ 16 U.S.C. 824l (1994).
17/ The Commercial Practices Working Group (CPWG) was an independent industry-initiated and managed group committed to providing an open forum dedicated to the development and consensus-based business practices in support of reliable and competitive bulk electricity markets. CPWG's membership included members from various segments of the wholesale electric industry, including Transmission Providers and Customers. Recently, the CPWG has been reconstituted and its functions taken over by a replacement group, the MIC, sponsored by NERC.
18/ See infra section 3.
Many commenters argued that the supporting information must be clearly defined and consistent across all nodes.
Cinergy asserts that it is not always possible for Transmission Providers to know all of the uses of a given path due to the dynamic nature of the power system. Cinergy recommends that the Commission clarify that the information furnished for congested paths be scheduled uses only.
Dynegy states that OASIS operators should be required to provide information with respect to the depth of transmission loading relief (TLR) cuts, i.e., whether transactions are being cut hourly or daily, as well as the number of transactions and the total amount in megawatts of each curtailment.
EPMI proposes that the Commission require hourly load data and generation output levels. EPMI further proposes that the names of impacted parties to the curtailment and the magnitude of the curtailment should be disclosed.
PECO submits that each Transmission Provider's OASIS site should identify, for each incident for which transmission TLR procedures are invoked, resulting in a halting or curtailment: 1) each transaction that is halted or curtailed; 2) the time at which halting or curtailment commenced; 3) the time at which the halting or curtailment terminated; 4) which Security Coordinator instituted the TLR procedures that led to such a halt or curtailment; 5) the name of the transmission facility or flowgate for which the TLR procedures were instituted; 6) what level in the TLR procedures has been called; 7) what paths are affected by the TLR procedures; 8) the quantity of megawatts per hour necessary to halt or curtail in order to
---
19/ See Cinergy comments at 2-3.
20/ See Dynegy comments at 2.
21/ See EPMI comments at 3-4.
achieve the desired relief for the constrained transmission facility or flowgate; 9) the total aggregate of megawatts per hour halted or curtailed; and 10) the quantity of megawatts per hour that are made available as a result of such halt or curtailment that would not have otherwise been available.
Commission Conclusion
We believe that additional information about the state of the transmission system will enable customers to make better decisions about the quality of the transmission service they intend to purchase. We further believe that additional supporting information concerning curtailments and interruptions will make it easier to document unduly discriminatory practices concerning facilities critical to transmission capacity. However, a thorough consideration of this issue necessitates a more extensive record than we have before us at this time. To this end, we conclude that the industry is best situated to identify what other supporting information concerning curtailments and interruptions would be helpful and appropriate. We request that the MIC and the How Group prepare a report within three months from the date of publication of this final rule in the Federal Register outlining what additional supporting information about curtailments and interruptions should be posted on the OASIS and available for query. This report should address the scope of the information to support curtailments and interruptions and also include templates for queries of the additional information and for responses containing the information.
B. File Transfers, Automated Queries, and Extensive Requests for Data
When the Commission first proposed OASIS, it envisioned two primary methods of accessing information on OASIS. First, small customers would generally retrieve and post information using the interactive features of OASIS. Second, medium and large customers
22/ See PECO comments at 2.
would generally use computer-to-computer communications to upload and download files. Using computer-to-computer communications, a customer could send a request (automated query) to an OASIS node's computer and the node's computer would respond with the requested files (download). To facilitate these file uploads and downloads, the Commission previously requested that the How Group develop standardized templates for OASIS transactions.
1. **File Transfers and Automated Queries**
In the NOPR, the Commission noted that it received Hotline calls showing misunderstandings about the use of file transfers and automated queries. In the NOPR, we proposed to add 18 CFR § 37.6(a)(6) to allow OASIS users to make file transfers and automated computer-to-computer file transfers and queries of the nodes.
**Comments**
Cal ISO, MAPP and the How Group submitted comments on this issue. All three note that the S&CP Document has definitions and standards for "file transfers" and they recommend that the Commission replace references to "file transfers" with references to the upload and download specifications in the S&CP.
**Commission Conclusion**
At the outset, we note that the commenters correctly recognize that the S&CP Document contains definitions and standardized procedures for file transfers. The Commission did not intend to propose file transfers that were not defined in the S&CP Document. Accordingly, we will amend § 37.6 (a)(6) to clarify that OASIS nodes must allow OASIS users to make file transfers and queries as defined in the S&CP Document.
2. **Extensive Requests for Data and Limits on OASIS Use**
In the NOPR, we proposed to add a provision, 18 CFR § 37.5(c), to clarify that Responsible Parties are required to provide access to their OASIS sites for OASIS users making automated queries and extensive requests for data. In the NOPR, we also proposed to add a provision, 18 CFR § 37.5(d), to permit Responsible Parties, under certain circumstances, to restrict access by OASIS users who use the system in a grossly inefficient manner and degrade the performance of the node. We suggested that if a Responsible Party and an OASIS user could not resolve the matter informally, the Responsible Party would be able to seek Commission approval to limit the grossly inefficient use of the system. Comments on this issue fall into three categories: (a) disagreements with the proposal to require Commission approval before limits can be placed on individual OASIS users; (b) limits on heavy OASIS usage; and (c) the meaning of grossly inefficient use.
**a. Prior Commission Approval for OASIS Limits**
In the NOPR, we proposed that Commission approval be needed for imposition of limits on a user's access to OASIS because we wanted to avoid unwarranted limits on access. Furthermore, we wished to assure OASIS users that they would not be disconnected without cause.
**Comments**
All commenters recognize that there are circumstances under which a user's automated query capability should be limited. However, commenters disagree over whether limits should be imposed before or after notification and concurrence by the Commission. EPSA, EPMI and Power Navigator agree with the Commission's proposal to require Transmission Providers to obtain Commission approval before limiting a user's access to an OASIS node for grossly inefficient usage. Dynegy cautions that permitting Transmission Providers to limit OASIS use
presents the potential for abuse and Transmission Providers could punish certain customers.
1/
The How Group, Cal ISO, Cinergy, MAPP, VEPCO, Southern Company and Southwest support allowing Responsible Parties to limit access to an OASIS node prior to Commission notification and approval. The How Group states that because OASIS nodes operate 24 hours a day, seven days a week and process transmission requests as they are received, the nodes are vulnerable to excessive demands by individual customers and therefore, limits on access should be available without Commission authorization. 1/
Furthermore, MAPP, MAIN, Cinergy, VEPCO and the How Group argue that mistakes and bugs in computer programs used to make the automated requests can inadvertently result in a request for more information than the user desires or the same data is repeatedly requested. These commenters argue that node performance could be seriously impaired unless Responsible Parties have the ability to limit a user's access before obtaining Commission concurrence. MAPP further cites the rapid responses associated with computer-to-computer communications and claims that a delay in disconnecting requests due to mistakes or bugs can inadvertently bring down a whole OASIS node. 1/ Cinergy proposes that requests be terminated when it is clear that computer bugs or mistakes have occurred.
MAIN proposes that when a user's request seriously impacts node performance, the Responsible Party administering the node and the user should try to resolve the problem together. Cal ISO proposes that Responsible Parties should follow specific procedures, including promptly notifying the Commission about OASIS limits, working with the user to
23/ See Dynegy comments at 4.
24/ See How Group comments at 3-4.
25/ See MAPP comments at 4.
solve the problem and providing the Commission with a closure report that describes the problem and the resolution. 1/ The How Group and MAPP also propose specific procedures for Responsible Parties to follow when they block access to OASIS nodes.
**Commission Conclusion**
We are persuaded that Responsible Parties should be permitted, without prior Commission concurrence, to limit access by users who seriously degrade node performance. At the same time, we must ensure that limits on usage are imposed for good reason and that reasonable efforts are made by both parties to resolve problems. Restrictions and disconnections from OASIS should occur in only very limited circumstances. When a problem arises due to grossly inefficient use, all parties should first attempt to resolve the problem in a cooperative manner without OASIS restriction or limitation. If the problem is not resolved in a timely fashion, a Responsible Party can limit a user's access without prior Commission approval. Notification of the restriction must be made to the Commission within two business days of the incident and include a description of the problem and whether a resolution was reached. A closure report describing how the problem was resolved must be filed with the Commission within one week of the incident.
If the problem requires Commission resolution, the Responsible Party will have the obligation to demonstrate to the Commission that the limited user seriously impacted the performance of the node, the node is properly sized for the number of users and types of customers and that the Responsible Party made a good faith effort to resolve the problem. In response, the user will have the obligation of demonstrating to the Commission that its queries were efficient and were the result of reasonable business needs. We anticipate in cases where
26/ See Cal ISO comments at 7-8.
a Responsible Party has no interest in generation that these types of disputes can be resolved without resort to Commission processes.
Similarly, for errors in queries, the Responsible Party can block the affected query and notify the user of the nature of the error. Users should correct the error before making any additional query. If there is a dispute over whether an error occurred, then the rules for grossly inefficient use would apply.
b. **Limits on Heavy Use of OASIS**
In the NOPR, the Commission proposed not to limit heavy use of automated computer-to-computer uploads and downloads (queries and responses) that arise from legitimate ordinary course of business needs. The NOPR distinguished between heavy use in the ordinary course of business and grossly inefficient use.
**Comments**
Detroit Edison, Southern Company, EPMI and EPSA agree with the Commission that heavy use alone should not justify disconnection from an OASIS node. Southern Company notes that the Commission's requirements regarding automated queries are consistent with the industry's movement toward conducting business on a moment-to-moment basis. Southern Company argues that moment-to-moment transactions can only be accommodated if large volumes of automated information can be transmitted by an OASIS node. Southern requests that the Commission emphasize automated query access over browser access.\(^{27/}\)
Power Navigator describes its experiences with OASIS nodes when using automated queries. Power Navigator states that it has been disconnected from an OASIS node, as a punitive measure after a problem was resolved and also, Power Navigator has been restricted
\(^{27/}\) See Comments of Southern Company at 7.
by a node to only one automated query a day. Furthermore, Power Navigator was disconnected from an OASIS node because of queries deemed inefficient without notice and the opportunity to make the query more efficient.
Southern Company reports that it has also experienced problems using automated queries and file transfers on several OASIS nodes. Southern argues that the "inability of these OASIS nodes to meet the minimum requirements of the S&CP Document regarding automated queries and file transfers increases the transaction costs of market participants by increasing manpower and the time required to gather and analyze information." Southern notes that the Commission has not sufficiently defined "minimum performance requirements" and that the lack of specificity has resulted in some OASIS nodes lacking sufficient capacity to accommodate bulk transactions. Southern Company requests that the Commission develop, or encourage the industry to develop, a benchmark program to determine if a node satisfies the minimum performance requirements.
MAIN argues that even well-designed automated queries can significantly degrade OASIS performance. MAIN states that OASIS requires a substantial database and MAIN maintains the database on a daily basis. During periods of maintenance, the ability of computer systems to respond to queries and requests is inherently limited. Thus, MAIN claims that even well-designed automated queries can significantly degrade OASIS performance during periods of database maintenance. MAIN notes that it was forced to put limits on "traffic from particular Internet addresses that sent repeated and multiple queries to the MAIN
28/ See Comments of Power Navigator at 1-2.
29/ Comments of Southern Company at 6-7.
30/ See comments of MAIN at 6-7.
OASIS node." 1/ The result is that MAIN restricts access by automated queries ten and one-half hours a day. MAIN suggests that some problems caused by automated queries could be reduced if users were required to furnish Transmission Providers with adequate and timely advance notice of usage requirements. MAIN would use this information in planning for system upgrades and other system modifications.
The How Group raises the question of what constitutes basic service and disagrees with the Commission's interpretation that the basic service level agreement allows large volume, computer-to-computer usage of OASIS to meet ordinary legitimate business needs of users. The How Group argues that the basic service level agreement only provides for average or normal uses of the system. The How Group further argues that the performance requirements in the S&CP Document are based on average, expected usage levels and cover average or normal users of the system. 1/
**Commission Conclusion**
We continue to believe that large volume usage and automated computer-to-computer file transfers and queries do not constitute the kind of excessive use of resources warranting limitation or disconnection, as discussed in the previous section. Thus, a particular user's heavy use of an OASIS node, even if it would require the node to be upgraded, would not, by itself, be a basis for limitation or disconnection.
However, based on the comments, we are convinced that the standards for node performance and bandwidth need refinement. We therefore request the MIC and the How Group to develop standards for node response time, node capabilities and the bandwidth of the node's connection to the Internet. We further request that the MIC and the How Group report
31/ Id. at 7.
32/ See comments of How Group at 6.
back to the Commission within three months from the date of publication of this final rule in the Federal Register. The standards should explicitly incorporate the concept of requiring nodes to meet the legitimate, ordinary course of business needs of users.
The new standards should take into account the industry's experience with OASIS. The MIC and How Group have the option of proposing a redefinition of the existing standards or if appropriate, they can develop a new approach. If the existing approach is used, the MIC and the How Group should consider that the assumption in the existing standard of 5 percent of customers in communication with a node at any time was developed before OASIS was implemented. The MIC should determine if a higher or lower percentage is more appropriate. Furthermore, the 28,800 bps/customer, used in the existing standards was a relatively fast
33/ The existing standards are as follows: Transmission Services Information Providers can only be responsible for the response capabilities of two portions of the Internet-based OASIS network:
- The response capabilities of the OASIS node server to process interactions with users; and
- The bandwidth of the connection(s) between the OASIS node server and the Internet.
Therefore, the OASIS response time requirements are as follows:
a. **OASIS Node Server Response Time:** The OASIS node server shall be capable of supporting its connection(s) to users with an average aggregate data rate of at least "A" bits per second. "A" is defined as follows:
\[
A = N \times R \text{ bits/sec}
\]
where: \(N = 5\%\) of registered Customers and \(R = 28,800 \text{ bits/sec per Customer}\).
b. **OASIS Node Network Connection Bandwidth:** The bandwidth "B" of the OASIS node connection(s) to the Internet shall be at least:
\[
B = 2 \times A \text{ bits/sec}.
\]
See Standards & Communications Protocol Document (Version 1.3) at section 5.3 (1998). Version 1.3 of the S&CP Document is posted on the Commission Issuance Posting System (accessed through the Commission's Internet Home Page at http://ferc.fed.us) or may be inspected in the Commission's Public Reference Room.
modem speed in 1996 when the OASIS standards were formulated. Today, many customers use faster connections to the Internet.
Furthermore, we agree with MAIN's suggestion that OASIS nodes would better meet user needs for automated queries if users notify Responsible Parties prior to increasing their demands significantly. We will, therefore, require users to notify a node of anticipated usage one month in advance of initiating a significant amount of queries or when users expect their use of automated queries to increase significantly. We believe it is appropriate to allow each node to determine reasonable criteria for such notification because nodes have varying requirements. Responsible Parties will post on their OASIS nodes the criteria under which users must notify them of increased usage of automated queries.
c. "Grossly Inefficient" usage of OASIS
In the NOPR, we proposed to not limit heavy use of automated queries that arose from legitimate, ordinary business needs. We distinguished between legitimate OASIS uses and grossly inefficient uses. By using the term grossly inefficient, we intended to address situations where a user fails to adopt more efficient methods of accessing a node or obtaining information in favor of very inefficient methods that may needlessly degrade or damage the node.
Comments
Cinergy, Detroit Edison, MAIN, Southern Company and VEPCO argue that unless the Commission clarifies the definition of "grossly inefficient" and what constitutes degradation of service on an OASIS node, there will be continued disputes over automated queries.
Commission Conclusion
34/ See Order No. 889, FERC Stats & Regs. at 31,623.
We continue to believe that it would be impracticable to delineate all instances of "gross inefficiency". At the same time, we have narrowed the definition of grossly inefficient use by adding the new error category, by clarifying that heavy volume usage and automated computer-to-computer file transfers and queries do not constitute grossly inefficient use and by requiring OASIS users to notify Responsible Parties in advance of substantial increases in automated query usage. We believe that these actions reduce the areas of dispute.
Examples of grossly inefficient use include: (1) when a user seeks data in a resource-intensive wasteful way even though the same data could be obtained as quickly in a far less resource-consuming manner; and (2) when an OASIS user seeks updates more frequently than information on the OASIS is updated. This list, however, is not exhaustive and questions as to whether a particular user's access or use of the node is "grossly inefficient" will be resolved on a case-by-case basis. We also believe that Responsible Parties should use the disconnection procedures as a last resort.
C. Other Issues
MAIN proposed that users of automated query systems be charged for their use.\textsuperscript{35/} Similarly, CSW proposes an industry-wide OASIS usage charge whereby subscribers pay more when they use an OASIS node continuously and/or intensively.
We note that the issue of OASIS cost recovery was addressed in Orders No. 889\textsuperscript{36/} and 889-A.\textsuperscript{37/} In those orders, we concluded that the cost of developing an OASIS should be included in unbundled transmission rates and that variable costs of operating an OASIS should be recovered, to the extent possible, in usage fees. We left it to individual rate
\textsuperscript{35/} MAIN comments at 12.
\textsuperscript{36/} See Order No. 889, FERC Stats. & Regs. ¶ 31,035 at 31,624-26.
\textsuperscript{37/} See Order No. 889-A, FERC Stats. & Regs. ¶ 31,049 at 30,576-77.
proceedings to determine which OASIS costs can be identified as varying with usage and how to set the recovery of these fees. However, the concept of automated queries has been a basic part of the functionality of OASIS since its inception and special charges for legitimate, ordinary course of business queries should not be imposed.
A few other commenters raised issues that were not discussed in the NOPR. For example, Dynegy asks the Commission to revisit the posting of generator run status on OASIS nodes. In addition, Southern Company complains that some Transmission Providers require users of their system to purchase expensive proprietary security software from third party vendors and that this practice imposes limits on OASIS. EPMI requests that the Commission require Transmission Providers to acknowledge receipt of faxed or electronically transferred OASIS requests when the request is received.
All of these issues are beyond the scope of this proceeding and therefore, we will not address them at this time. Commenters will have the opportunity to raise these issues, as well as submit comments on additional issues, during the OASIS Phase II proceedings.
**REGULATORY FLEXIBILITY ACT**
The Regulatory Flexibility Act (RFA) requires any proposed or final rule issued by the Commission to contain a description and analysis of the impact that the proposed or final rule would have on small entities or to contain a certification that the rule, if promulgated, will not have a significant economic impact on a substantial number of small entities. Order No. 889
---
38/ This would also include automated queries by the public.
39/ Dynegy comments at 5.
40/ EPMI comments at 4.
41/ 5 U.S.C. §§ 601-612.
contained a certification under § 605(b) of the RFA that the OASIS Final Rule would not have a significant economic impact on small entities within the meaning of the RFA.
As discussed above, this proposal would make minor revisions to Part 37. Given that we do not expect these minor revisions to have any significant economic impact and given that we have granted waivers from the requirements of the OASIS Final Rule to small entities where appropriate, and will continue to do so, we hereby certify that the proposed changes in 18 CFR Part 37 would not have a significant economic impact on a substantial number of small entities and that no regulatory flexibility analysis is required pursuant to 5 U.S.C. § 603.
**ENVIRONMENTAL STATEMENT**
As explained in Order Nos. 888-A and 889-A, Order Nos. 888 and 889 were the joint subjects of the Final Environmental Impact Statement issued in Docket Nos. RM95-8-000 and RM94-7-001 on April 12, 1996. Given that this final rule makes only minor changes in the regulations, none of which would have any environmental impact, no separate environmental assessment or environmental impact statement is being prepared for this final rule.
**PUBLIC REPORTING BURDEN**
As discussed previously, this final rule makes minor revisions to 18 CFR 37.6(e)(3)(ii). We do not believe that extending the retention period or extending the category of persons who may request the information on curtailments or interruptions will measurably increase the public reporting burden.
Nor do we believe our rule to amend 18 CFR 37.5 and 37.6 to clarify the required minimum access that Responsible Parties must provide to OASIS users, or to allow (under certain circumstances) limitations on access by grossly inefficient users, will increase the public reporting burden.
---
42/ See Order No. 889, FERC State. & Regs. at 31,628.
Consequently, the public reporting burden associated with issuance of this final rule is unchanged from our estimation in Order Nos. 889, 889-A, and 889-B. The Commission has conducted an internal review of this conclusion and thereby has assured itself that there is specific, objective support for this information burden estimate. Moreover, the Commission has reviewed the collection of information required by Order Nos. 889, 889-A, and 889-B, and has determined that the collection of information is necessary and conforms to the Commission's plan, as described in those prior orders, for the collection, efficient management, and use of the required information.
INFORMATION COLLECTION STATEMENT
As explained in Order Nos. 889-A and 889-B, Order No. 889 contained an information collection statement for which the Commission obtained approval from the Office of Management and Budget (OMB). Given that the changes on curtailments and interruptions make only minor revisions to the regulations, we do not believe that these changes would require any revision to the information collection statement approved by OMB for Order No. 889. Nor do we believe that our revisions to 18 CFR 37.5 and 37.6, to clarify the required minimum access Responsible Parties must provide to OASIS users, or to allow (under certain circumstances) limitations on access by grossly inefficient users, would require any revision to the information collection statement approved by OMB for Order No. 889. Accordingly, we conclude that OMB approval for this final rule will not be necessary. However, the Commission will send a copy of this final rule to OMB, for informational purposes only.
43/ Order No. 889, FERC Stats. & Regs. ¶ 31,035 at 31,587-88, Order No. 889-A, FERC Stats. & Regs. ¶ 31,049 at 30,549-50, Order No. 889-B, 81 FERC ¶ 61,253 at 62,171 (1998).
44/ OMB Control No. 1902-0173.
Interested persons may obtain information on the reporting requirements and associated burden estimates by contacting the Federal Energy Regulatory Commission, 888 First Street, N.E., Washington, D.C. 20426 [Attention: Michael Miller, Office of the Chief Information Officer, (202) 208-1415], and the Office of Management and Budget [Attention: Desk Officer for the Federal Energy Regulatory Commission (202) 395-3087 (telephone), 202-395-7285 (facsimile)]. In addition, interested persons may file written comments on the collections of information required by this rule and associated burden estimates by sending written comments to the Desk Officer for FERC at: Office of Management and Budget, Room 10202 NEOB, Washington, D.C. 20503, within 30 days of publication of this document in the Federal Register. Three copies of any comments filed with the Office of Management and Budget also should be sent to the following address: Secretary, Federal Energy Regulatory Commission, Room 1A, 888 First Street, N.E., Washington, D.C. 20426.
EFFECTIVE DATE AND CONGRESSIONAL NOTIFICATION
This rule will take effect on [insert date 30 days after publication in the Federal Register]. The Commission has determined, with the concurrence of the Administrator of the Office of Information and Regulatory Affairs of the Office of Management and Budget, that this rule is not a "major rule" within the meaning of section 351 of the Small Business Regulatory Enforcement Fairness Act of 1996. 45/ The Commission will submit the rule to both houses of Congress and the Comptroller General prior to its publication in the Federal Register.
This final rule will not have an adverse effect on Year 2000 readiness. This rule makes only minor revisions to our regulations and no major system changes to OASIS are required. Furthermore, commenters did not cite any adverse effects of the rule on their Year 2000 preparation.
45/ 5 U.S.C. 804(2).
In this rule, we are extending the retention period and the availability of supporting information on curtailments and interruptions. These changes will not jeopardize work on the Year 2000 problem. Currently, our regulations require that the supporting information about curtailments and interruptions be maintained for 60 days and available to affected customers. We are extending the retention period to three years and we are allowing the Commission Staff and the public access to the information. Because Transmission Providers already must maintain information on curtailments and interruptions, extending the retention period and the access to this information will not affect Year 2000 preparations.
In addition, we are asking the How Group/MIC to prepare a report outlining what additional supporting information about curtailments and interruptions should be posted on the OASIS. We request that the report be prepared within 3 months from the date of publication of this final rule in the Federal Register. Therefore, the report will be received by the Commission in early September and final implementation, including the adoption of new templates, will not occur until after January 2000.
We also believe that the provision to allow (under certain circumstances) limitations on OASIS access by grossly inefficient users will not have any effect on Year 2000 readiness. The procedures we are adopting in 18 C.F.R. § 37.5(d) and § 37.5(e) will not add any new information technology requirements. Instead, these regulations enable Responsible Parties to disconnect or limit an OASIS user's access to the node.
Finally, we are adopting a new procedure whereby OASIS users notify Responsible Parties one month prior to increasing their automated query demands. Each OASIS node will determine reasonable criteria for such notification and the methods for notification will be posted on the OASIS. We believe that this new provision will not hinder Year 2000 efforts.
Posting the notification criteria on the OASIS is only a minor administrative change and this requirement should not divert resources from Year 2000 efforts.
List of Subjects in 18 CFR Part 37
Open Access Same-Time Information System.
By the Commission. Commissioner Bailey concurred with a separate statement attached.
( S E A L )
Linwood A. Watson, Jr.,
Acting Secretary.
In consideration of the foregoing, the Commission amends Part 37 in Chapter I, Title 18, Code of Federal Regulations, as set forth below.
PART 37 -- OPEN ACCESS SAME-TIME INFORMATION SYSTEMS AND STANDARDS OF CONDUCT FOR PUBLIC UTILITIES
1. The authority citation for Part 37 continues to read as follows: 16 U.S.C. 791-825r, 2601-2645; 31 U.S.C. 9701; 42 U.S.C. 7101-7352.
2. Section 37.5 is amended by redesignating paragraph (c) as paragraph (f), and by adding paragraphs (c), (d) and (e) to read as follows:
§ 37.5 Obligations of Transmission Providers and Responsible Parties
(c) A Responsible Party may not deny or restrict access to an OASIS user merely because that user makes automated computer-to-computer file transfers or queries, or extensive requests for data.
(d) In the event that an OASIS user's grossly inefficient method of accessing an OASIS node or obtaining information from the node seriously degrades the performance of the node, a Responsible Party may limit a user's access to the OASIS node without prior Commission approval. The Responsible Party must immediately contact the OASIS user to resolve the problem. Notification of the restriction must be made to the Commission within two business days of the incident and include a description of the problem. A closure report describing how the problem was resolved must be filed with the Commission within one week of the incident.
(e) In the event that an OASIS user makes an error in a query, the Responsible Party can block the affected query and notify the user of the nature of the error. The OASIS user must correct the error before making any additional queries. If there is a dispute over whether an error has occurred, the procedures in the preceding paragraph apply.
Transmission Providers must provide "read only" access to the OASIS to Commission staff and to the staff of State regulatory authorities, at no cost, after such staff members have complied with the requisite registration procedures.
3. Section 37.6 is amended by revising paragraphs (a), (a)(4), (a)(5), and (e)(3)(ii), and adding (a)(6) to read as follows:
§ 37.6 Information to be posted on the OASIS
(a) The information posted on the OASIS must be in such detail and the OASIS must have such capabilities as to allow Transmission Customers to:
* * * *
(4) Clearly identify the degree to which transmission service requests or schedules were denied or interrupted;
(5) Obtain access, in electronic format, to information to support available transmission capability calculations and historical transmission service requests and schedules for various audit purposes; and
(6) Make file transfers and automated computer-to-computer file transfers and queries as defined by the Standards and Communications Protocols Document.
* * * *
(e) * * *
(3) * * *
(ii) Information to support any such curtailment or interruption, including the operating status of the facilities involved in the constraint or interruption, must be maintained and made available upon request, to the curtailed or interrupted customer, the Commission's Staff, and any other person who requests it, for three years.
4. Section 37.8 is added to read as follows:
§ 37.8 Obligations of OASIS Users
(a) Each OASIS user must notify the Responsible Party one month in advance of initiating a significant amount of automated queries. The OASIS user must also notify the Responsible Party one month in advance of expected significant increases in the volume of automated queries.
Attachment 1
List of Commenters to the NOPR
| Number | Commenter Name | Abbreviation |
|--------|----------------------------------------------------|----------------|
| 1) | California Independent System Operator, Corp. | (Cal ISO) |
| 2) | Cinergy Services, Inc. | (Cinergy) |
| 3) | CSW Operating Companies | (CSW) |
| 4) | Detroit Edison Company | (Detroit Edison)|
| 5) | Dynegy, Inc. | (Dynegy) |
| 6) | Edison Electric Institute | (EEI) |
| 7) | Electric Power Supply Association | (EPSA) |
| 8) | Enron Power Marketing, Inc. | (EPMI) |
| 9) | Mid-America Interconnected Network, Inc. | (MAIN) |
| 10) | Mid-Continent Area Power Pool | (MAPP) |
| 11) | OASIS How Working Group | (How Group) |
| 12) | PECO Energy Co-Power Team | (PECO) |
| 13) | Power Navigator | (Power Navigator) |
| 14) | Southern Company Services, Inc. | (Southern Company) |
| 15) | Southwest Power Pool | (Southwest) |
| 16) | Virginia Electric & Power Co. | (VEPCO) |
BAILEY, Commissioner, concurring
I support this rulemaking, which amends the Commission's regulations to improve in several respects the operation and effectiveness of OASIS sites. I write separately only to explain my support for one aspect of the final rule.
The Commission revises its OASIS regulations to allow access to supporting information on curtailments and interruptions, upon request, to Commission staff and the public, as well as to affected customers. Slip op. at 8-10. The Commission makes this revision despite the articulated concern of two intervenors -- EPMI and EEI -- that this type of information is commercially sensitive (EPMI) and, if disclosed, might impair the reliability of the interconnected transmission system (EEI).
In my judgment, the Commission's and the public's need for this type of information -- for the purpose of detecting any undue discrimination in any pattern or practice of transmission curtailment -- outweighs the articulated concern for the commercial and reliability implications of disclosure. Significantly, intervenor concerns of commercial and reliability sensitivity here are presented with little explanation and vigor.
In contrast, I have dissented in other cases where the commercial and competitive implications of information disclosure have been well defined and vigorously argued. See Open Access Same-Time Information System and Standards of Conduct, 83 FERC ¶ 61,360 at 62,467-69 (1998), reh'g denied, 85 FERC ¶ 61,139 at 61,493 (1999); American Electric Power Company and Central and South West Corp., 86 FERC ¶ 61,091 at 61,334 (1999). I continue to believe that it is important for the Commission, when confronted with concern for the competitive implications of information disclosure, to balance carefully those concerns against the usefulness of that information in fulfilling the Commission's regulatory responsibilities. Here, unlike in other cases in which I have dissented, I am comfortable with the Commission's conclusion that the balance tips in favor of immediate disclosure.
Vicky A. Bailey
Commissioner
I support this rulemaking, which amends the Commission's regulations to improve in several respects the operation and effectiveness of OASIS sites. I write separately only to explain my support for one aspect of the final rule.
The Commission revises its OASIS regulations to allow access to supporting information on curtailments and interruptions, upon request, to Commission staff and the public, as well as to affected customers. Slip op. at 8-10. The Commission makes this revision despite the articulated concern of two intervenors -- EPMI and EEI -- that this type of information is commercially sensitive (EPMI) and, if disclosed, might impair the reliability of the interconnected transmission system (EEI).
In my judgment, the Commission's and the public's need for this type of information -- for the purpose of detecting any undue discrimination in any pattern or practice of transmission curtailment -- outweighs the articulated concern for the commercial and reliability implications of disclosure. Significantly, intervenor concerns of commercial and reliability sensitivity here are presented with little explanation and vigor.
In contrast, I have dissented in other cases where the commercial and competitive implications of information disclosure have been well defined and vigorously argued. See Open Access Same-Time Information System and Standards of Conduct, 83 FERC ¶ 61,360 at 62,467-69 (1998), reh'g denied, 85 FERC ¶ 61,139 at 61,493 (1999); American Electric Power Company and Central and South West Corp., 86 FERC ¶ 61,091 at 61,334 (1999). I continue to believe that it is important for the Commission, when confronted with concern for the competitive implications of information disclosure, to balance carefully those concerns against the usefulness of that information in fulfilling the Commission's regulatory responsibilities. Here, unlike in other cases in which I have dissented, I am comfortable with the Commission's conclusion that the balance tips in favor of immediate disclosure.
Vicky A. Bailey
Commissioner
RECOMMENDATION TO NAESB WEQ EXECUTIVE COMMITTEE
Requester: Southern Company Services
Request No.: R04005
Date: December 29, 2003
| Field | Code | Format | Description |
|------------------------------|--------|-------------------------|-----------------------------------------------------------------------------|
| CAPACITY_SCHEDULED | CAPSCH | 0|NUMERIC|12 | Non-negative number in units of MW |
| | | | Transfer capability scheduled on each path |
| FACILITY_NAME | FACNAME| 0|ALPHANUMERIC|25100 | Free form text |
| | | | Name of facility, such as name of path or name of flowgate |
| INITIATING_PARTY | INITPARTY| 0|ALPHANUMERIC|4 | Free form text |
| | | | Registered company code for a TP, SC or CA |
| | | | Person's name or Company code for company responsible for initiating the change in capacity/execution of a transmission security procedure. |
| OLD_DATA | OLDDATA| 0|ALPHANUMERIC|200 | Any valid Data Element value |
| | | | For audit log, the old value of a Template Data Element prior to being updated. This element is not applicable in the audit log for transaction events. |
| OTHER_CURTAILMENT_PRIORITY | OTHCUR | 0|ALPHANUMERIC|8 | Free form text |
| | | | Valid Values: [Registered] |
| | | | Other than NERC curtailment priorities, such as regional curtailment priorities. Suggested format region+number, for example MAPP4, WSCC7. Documented in LIST Template and registered with central registry. |
| REQUEST_TYPE | REQTYPE | 1|ALPHA|30 | Valid Types: |
|--------------|---------|-----------------|----------------------------------|
| | | ORIGINAL | ORIGINAL – typical reservation requests submitted to the Primary Provider |
| | | RESALE | RESALE – secondary market requests submitted to a Transmission Customer as Secondary Transmission Provider |
| | | RENEWAL | RENEWAL – request to renew an expiring transmission reservation |
| | | MATCHING | MATCHING – request to meet or exceed a competing request to retain transmission service (right of first refusal) |
| | | DEFERRAL | DEFERRAL – request to defer or apply for extension on start of transmission service |
| | | REDIRECT | REDIRECT – request to redirect all or portion of a transmission reservation to an alternate POR/POD and/or make other changes to the terms of service as permitted [registered] – Primary Transmission Provider's may register values for REQUEST_TYPE to implement specific provisions of their Tariffs. |
| RESPONSIBLE_PARTY | INITPARTY | 0|ALPHANUMERIC|2 54 | Free form text |
|-------------------|-----------|-----------------|----------------------------------|
| | | Registered company code for a TP, SC or CA | The company code or the name of the person entity who initiated the reduction, e.g. the security coordinator code responsible for administering a transmission security procedure. |
| SECURITY_TYPE | SECTYPE | 1|ALPHANUMERIC|6 | Free form text for example: **Valid Values:** OUTAGE LIMIT |
|---------------|---------|-----------------|----------------------------------------------------------|
| | | | SECURITY_TYPE identifies the type of information posted for the event; restricted values are OUTAGE for postings reflecting the state of critical transmission facilities, and LIMIT for postings reflecting the implementation of security procedures to limit or reduce scheduled transactions. |
| TRANSACTION_ID | TRANSID | 1|ALPHANUMERIC|2030 | Free form textUnique value |
|----------------|---------|-----------------|---------------------------------|
| | | | Unique identifier Identifier associated with an interchange transaction that may span multiple SCHEDULE_REF records. May be the Tag id. **May be the NERCTag id as specified in the NERCElectronic Tagging Functional Specification.** |
| VALUE | VALUE | 1|NUMERIC|20 | A number |
|-------|-------|-----------------|-----------------|
| | | | FACILITY_ATTRIBUTE value |
| VALUE_UNITS | VALUEUTS | 1|ALPHANUMERIC|20 | Free form string |
|-------------|----------|-----------------|-----------------|
| | | | Unites used for VALUE |
UNITED STATES OF AMERICA 75 FERC 61,078
FEDERAL ENERGY REGULATORY COMMISSION
18 CFR Part 37
[Docket No. RM95-9-000]
Open Access Same-Time Information System (formerly Real-Time Information Networks) and Standards of Conduct
ORDER NO. 889
FINAL RULE
(Issued April 24, 1996)
AGENCY: Federal Energy Regulatory Commission.
ACTION: Final Rule.
SUMMARY: The Federal Energy Regulatory Commission is amending 18 CFR to add Part 37 containing rules establishing and governing an Open Access Same-time Information System (OASIS) (formerly real-time information networks) and prescribing standards of conduct. Under this final rule, each public utility (or its agent) that owns, controls, or operates facilities used for the transmission of electric energy in interstate commerce will be required to create or participate in an OASIS that will provide open access transmission customers and potential open access transmission customers with information, provided by electronic means, about available transmission capacity, prices, and other information that will enable them to obtain open access non-discriminatory transmission service. This final rule requires (1) each public utility subject to the rule to implement standards of conduct to functionally separate transmission and wholesale power merchant functions and (2) the creation of a basic OASIS system. In addition, some of the standards and formats for OASIS nodes are prescribed in a document entitled OASIS
Standards and Communication Protocols that is being issued with the final rule. The Commission also is establishing further procedures to complete the standards for displays and formats. The development of OASIS requirements will continue in a Phase II, in which the Commission will continue to develop the requirements for a fully functional OASIS.
EFFECTIVE DATES: This final rule will become effective on [insert date 60 days from the date of publication in the Federal Register]. Compliance with the standards of conduct and operation of an OASIS meeting the requirements of this final rule must commence on or before November 1, 1996. A technical conference on any remaining issues will be held on June 17, 1996.
ADDRESSES: The technical conference will be held at the Commission's headquarters at 888 First Street, N.E., Washington, D.C. 20426.
FOR FURTHER INFORMATION CONTACT:
Marvin Rosenberg (Technical Information)
Office of Economic Policy
Federal Energy Regulatory Commission
888 First Street, N.E.
Washington, DC 20426
(202) 208-1283
William C. Booth (Technical Information)
Office of Electric Power Regulation
Federal Energy Regulatory Commission
888 First Street, N.E.
Washington, DC 20426
(202) 208-0849
Gary D. Cohen (Legal Information)
Office of the General Counsel
Federal Energy Regulatory Commission
888 First Street, N.E.
Washington, DC 20426
(202) 208-0321
SUPPLEMENTARY INFORMATION: In addition to publishing the full text of this document in the Federal Register, the Commission also provides all interested persons an opportunity to inspect or copy the contents of this document during normal business hours in the Public Reference Room at 888 First Street, N.E., Washington, D.C. 20426.
The Commission Issuance Posting System (CIPS), an electronic bulletin board service, provides access to the texts of formal documents issued by the Commission. CIPS is available at no charge to the user and may be accessed using a personal computer with a modem by dialing 202-208-1397 if dialing locally or 1-800-856-3920 if dialing long distance. CIPS is also available through the Fed World system (by modem or Internet). To access CIPS, set your communications software to 19200, 14400, 12000, 9600, 7200, 4800, 2400, or 1200 bps, full duplex, no parity, 8 data bits and 1 stop bit. The full text of this order will be available on CIPS indefinitely in ASCII and Wordperfect 5.1 format. The complete text on diskette in WordPerfect format may also be purchased from the Commission's copy contractor, La Dorn Systems Corporation, also located in the Public Reference Room at 888 First Street, N.E., Washington, D.C. 20426.
I. INTRODUCTION
The Federal Energy Regulatory Commission (Commission) is promulgating new regulations amending 18 CFR to add Part 37 containing rules establishing and governing transmission information networks and standards of conduct. The Commission is issuing this final rule in tandem with its final rule on Open Access Transmission and Stranded Costs (Open Access Final Rule). 46/ This final rule applies to any public utility that offers open access transmission services under the Open Access Final Rule pro forma tariff. Under the Open Access Final Rule, the open access pro forma tariff may be used by wholesale transmission customers and by retail transmission customers that are able to receive unbundled retail transmission either voluntarily from the public utility or as a result of a state retail access program.
46/ See Promoting Wholesale Competition Through Open Access Non-Discriminatory Transmission Services by Public Utilities and Recovery of Stranded Costs by Public Utilities and Transmitting Utilities, Final Rule, FERC Stats. & Regs. ¶ 31,036 (April 24, 1996); this document is being published concurrently in the Federal Register.
This final rule is being issued after a review of the comments filed in response to the Commission's notice of proposed rulemaking issued in this proceeding on December 13, 1995 (RIN NOPR). 47/
This final rule becomes effective on [insert date 60 days after publication of this final rule in the Federal Register]. By November 1, 1996, all affected public utilities must file procedures with the Commission that will enable customers and the Commission to determine whether they are in compliance with the standards of conduct requirements contained herein.
Additionally, under this final rule, each public utility as defined in section 201(e) of the Federal Power Act, 16 U.S.C. 824(e) (1994), (or its agent) that owns, controls, or operates facilities used for the transmission of electric energy in interstate commerce (each Transmission Provider) must develop or participate in an Open Access Same-time Information System (OASIS). 48/ This final rule establishes
---
47/ Real-Time Information Networks and Standards of Conduct, Notice of Proposed Rulemaking, 60 FR 66182 (December 21, 1995), FERC Stats. & Regs. ¶ 32,516 (December 13, 1995).
48/ In the notice of technical conference that initiated this proceeding, see infra n. 12, we chose the term "Real-Time Information Network" to describe the electronic information system envisioned by that notice. We invited comments on whether we should substitute another term in place of RIN. In response, a number of commenters suggested that "RIN" was not a suitable name for the electronic information network envisioned by the RIN NOPR, mainly because while some RIN postings may be made "real-time" most will not and that, therefore, RIN is a misnomer.
After a review of suggested replacements presented in the comments, we will abandon the name "RIN" in favor of Open Access Same-time Information System, suggested by Virginia Electric Power Company (VEPCO), for several reasons. First, as noted above, the information system being developed in this proceeding
Phase I OASIS rules that require the creation of a basic OASIS. The basic OASIS required by this final rule must be in place and operational by November 1, 1996. The development of OASIS requirements will continue in Phase II, during which the Commission will develop the requirements for a fully functional OASIS.
While the final rule set forth in this order is consistent with the proposal described in the RIN NOPR, it also resolves certain issues that were described in the RIN NOPR but left undecided, and adds clarifications and revisions, as suggested by the comments. As proposed in the RIN NOPR, the final rule describes what information must be provided on an OASIS, how an OASIS must be implemented and used, and contains a code of conduct applicable to all transmission providing public utilities.
As proposed in the RIN NOPR, we are issuing this final rule along with a separate document entitled *OASIS Standards and Communication Protocols* (Standards and Protocols) to help ensure that each OASIS will provide information in a uniform manner. However, the standards and protocols are not yet complete. Consequently, we are inviting the How Group to submit an additional report, on or before May 28, 1996, to help us resolve these deficiencies. We will also hold a technical conference on June 17, 1996 to resolve any remaining issues and to allow input from interested persons. We will issue a revised Standards and Protocols document as soon as possible thereafter.
49/ Any entity may, for good cause, seek a waiver of the requirements established by this final rule, either as to the creation of an OASIS or for reporting requirements.
50/ See, infra, n. 13.
We are moving promptly to complete the standards and protocols to ensure that the OASIS will be operational and in compliance with this final rule by November 1, 1996. In selecting this date, we have balanced the need to have a functional system of fair and non-discriminatory information in place to support the Open Access Final Rule against the comments that argued that implementation of an OASIS could not be accomplished in 60 days and to avoid implementation during the peak winter or summer months.
II. PUBLIC REPORTING BURDEN
The final rule requires Transmission Providers to participate in an OASIS, designed to provide open access transmission users and potential open access transmission users with information by electronic means about available transmission capacity and prices.
The RIN NOPR contained an estimated annual public reporting burden associated with a final rule consistent with the RIN NOPR. In response to the RIN NOPR, NRECA filed comments with the Commission that argued that the Commission’s estimated public reporting burden should have taken into account that Question 45 of the RIN NOPR asked whether OASIS rules should be extended to apply to non-public utilities that own or control facilities used for the transmission of electric power in interstate commerce. Based on this inquiry, NRECA argued that the public burden estimate should have been based on the assumption that the proposed OASIS rules would be extended to apply to non-public utilities (even though this was not proposed by the Commission). The Commission’s task in preparing a public burden estimate at the NOPR stage was to estimate the annual public reporting burden associated with a final rule consistent with the RIN NOPR. This is what the Commission did. An estimate based on
51/ Attached to this document is a list of the commenters and the abbreviations used to designate them. Several of the comments were filed late. We, nevertheless, will consider these comments.
52/ NRECA also submitted a letter to the Office of Management and Budget (OMB) that raised the same issue.
deviations from the NOPR proposal, as NRECA suggested, would have been inappropriate. At the same time, however, by asking Question 45, we identified the issue and gave the commenters an opportunity to be heard before making a final decision.
Our final rule, like the RIN NOPR, applies only to public utilities, and not to non-public utilities. However, as discussed in this order and as commented upon by various non-public utilities, in the Open Access Final Rule we are including a reciprocity provision in public utility open access tariffs under which all those who elect to take service under the open access tariff (including non-public utilities) will have to offer reciprocal service including an information network, unless they are granted a waiver of the reciprocity provision in the tariff. 53/ Consequently, we have increased the estimate of number of respondents in this rulemaking to reflect the additional burden on those non-public utilities that seek service under open access tariffs. However, this is offset by our current expectation that there will be far fewer OASIS sites than we originally anticipated in the RIN NOPR. The How Group estimates there will be between 20-35 OASIS sites nationwide. 54/ Using the higher number, the burden of running each OASIS will be shared, on average, by four respondents. This is reflected in the burden hour and cost estimates.
Our burden hour and cost estimates include the information gathering requirements imposed on public utilities that do not develop their own OASIS. Additionally, we have refined our estimate of the annual public reporting burden to account for revisions that this final rule makes to the RIN NOPR.
53/ As explained in the Open Access Final Rule, non-public utilities that do not want to meet the reciprocity condition may choose not to take service under an open access tariff. In that circumstance, the public utility may, if it chooses, voluntarily provide transmission service on a unilateral basis to the non-public utility.
54/ How Group comments at 19.
Estimated Annual Burden:
| Data Collection | No. of Respondents | No. of Responses | Hours per Response | Total annual hours |
|---------------------|--------------------|------------------|--------------------|--------------------|
| Reporting | 140 | 1 | 1879 | 263,060 |
| Recordkeeping | 140 | 1 | 418 | 58,520 |
Total Annual Hours for Collection
(Reporting + Recordkeeping, (if appropriate)) = 321,580
Data collection costs: The Commission projects the average annualized cost per respondent to be the following:
| Annualized Capital/Startup Costs | $ 47,500 |
|----------------------------------|----------|
| Annualized Costs (Operations & Maintenance) | $ 142,250 |
| Total Annualized Costs | $ 189,750 |
Internal Review
The Commission has reviewed the collection of information required by this final rule and has determined that the collection of information is necessary and conforms to the Commission's plan, as described in this final rule, for the collection, efficient management, and use of the required information.
The Commission has assured itself, by means of its internal review, that there is specific, objective support for the information burden estimate set forth above. 55/
Persons wishing to comment on the collections of information required by this final rule should direct their comments to the Desk Officer FERC, Office of Management and Budget, Room 3019NEOB, Washington, D.C. 20503, phone 202-395-3087, facsimile: 202-395-7285 or via the Internet at firstname.lastname@example.org. Comments must be filed with the Office of Management and Budget within 60 days of publication of this document in the Federal Register. A copy of any comments filed with the Office of Management and Budget also should be sent to the following address at the Commission: Federal
55/ See 44 U.S.C. § 3506(c).
III. DISCUSSION
A. BACKGROUND
This proceeding began with the issuance of our proposed Open Access rule (Open Access NOPR) and a notice of technical conference to consider whether a RIN (now an OASIS) or some other option would be the best means to ensure that potential customers of transmission services could obtain access to transmission service on a non-discriminatory basis. The notice of technical conference was followed by procedures and input (described in the RIN NOPR) that led to the issuance of the RIN NOPR.
Open access non-discriminatory transmission service requires that information about the transmission system must be made available to all transmission customers at the same time. This means that public utilities must make available to others the same transmission information that is available to their own employees and that is pertinent to decisions they make involving the sale or purchase of electricity. The RIN NOPR suggested requirements representing the first steps towards accomplishing these objectives.
The RIN NOPR addressed four main issues: the types of information that need to be posted on an OASIS; technical issues concerning the development and implementation of an OASIS; the development of a basic OASIS in Phase I and the development of a fully functional OASIS in Phase II; and proposed
56/ See Promoting Wholesale Competition Through Open Access Non-Discriminatory Transmission Services by Public Utilities and Recovery of Stranded Costs by Public Utilities and Transmitting Utilities, Notice and Supplemental Notice of Proposed Rulemaking, 60 FR 17662 (April 7, 1995), FERC Stats. & Regs. ¶ 32,514 (March 29, 1995).
57/ Real-Time Information Networks, Notice of Technical Conference and Request for Comments, 60 FR 17726 (April 7, 1995).
standards of conduct to prevent employees of a public utility (or any of its affiliates) engaged in marketing functions from obtaining preferential access to OASIS-related information.
The Commission's consideration of the first two of these issues relied heavily on the efforts of two industry-led working groups that presented recommendations to the Commission. 58/ Additionally, the RIN NOPR invited commenters to address specific questions on various issues and invited comments generally on the entire proposal.
As discussed in the RIN NOPR, the handling of various types of information that might be posted on an OASIS depends on substantive determinations being made in the Commission's Open Access
58/ The North American Electric Reliability Council (NERC) acted as a facilitator for an industry-led independent working group, representing diverse interests, to help participants reach consensus, and to help them prepare a report to the Commission on what information should be posted on a RIN (the "What Group"). The Electric Power Research Institute (EPRI) facilitated a similar working group (the "How Group") that sought consensus on how to implement a system that would accomplish these objectives. Both groups submitted reports to the Commission describing their progress in reaching consensus on their respective issues. As explained in the RIN NOPR, after determining that the working groups had balanced representation from diverse interests and had operated in an open, inclusive manner, the Commission used the working groups' recommendations as the starting point for developing the RIN NOPR.
A fuller description of the working groups' composition and activities is contained in the RIN NOPR and in the reports that those groups submitted to the Commission for its review (attached to the RIN NOPR as Appendices "A" and "B" and made publicly available at the Commission's offices and through the Commission Issuance Posting System (CIPS)).
rulemaking proceeding. 59/ For this reason, the RIN NOPR attempted to identify the issues that might be affected by decisions that would be made in the Open Access rulemaking and invited comment on the mechanics of implementing whatever determinations ultimately would be reached in the Open Access rulemaking, without attempting to prejudge the merits of the underlying legal and policy issues.
Additionally, the RIN NOPR included (as Appendix "C") a set of upload and download templates for comment to ensure that all data definitions are the same and that the information presented on the OASIS will be uniform and clearly understood.
The Commission's RIN NOPR, issued on December 13, 1995, invited comments on enumerated questions, along with general comments. Comments were filed by over 100 commenters. These comments were generally favorable to the OASIS concept, although numerous disagreements remained as to the details. The comments will be discussed below on an issue-by-issue basis. 60/
In the RIN NOPR, we invited the two industry-led working groups to continue their efforts to reach consensus and to report to us on their progress. On March 7, 1996, the How Group submitted a report giving proposed revisions to their original report. 61/ The How Group also submitted a report on April 15, 1996 making recommendations on additional issues on which the group had reached consensus.
59/ For example, the information about ancillary services that must be posted on an OASIS depends on what ancillary services a public utility must provide. Likewise, the information about discounts that must be posted on an OASIS depends on whether discounting is allowed.
60/ In the discussion that follows, our references to comments are illustrative and not inclusive. While we have intended to identify all of the major issues raised by the commenters, we have not attempted to identify all commenters in instances where more than one comment makes the same point.
61/ The participants in the How Group submitted a report entitled Consensus Comments of the Wholesale
B. SUMMARY OF THE REGULATIONS AND THEIR IMPLEMENTATION
The Commission is issuing this final rule with the Open Access Final Rule to implement the legal and policy determinations being made in the Open Access Final Rule. 62/ This final rule contains three basic provisions that, taken together, will ensure that transmission customers have access to transmission information enabling them to obtain open access transmission service on a non-discriminatory basis. This final rule is necessary, therefore, to meet the legal requirement, discussed in the Open Access Final Rule, that the Commission remedy undue discrimination in interstate transmission services by public utilities.
The first provision establishes standards of conduct. These standards are designed to ensure that a public utility's employees (or any of its affiliates' employees) engaged in transmission system operations function independently of the public utility's employees (or of any of its affiliates' employees) who are engaged in wholesale purchases and sales of electric energy in interstate commerce. Such separation is vital if we are to ensure that the utility does not use its access to information about transmission to unfairly benefit its own or its affiliates' sales. Entities subject to these rules are to achieve compliance with the standards of conduct by November 1, 1996.
The second provision sets out basic rules requiring that jurisdictional utilities that own or control transmission systems set up an OASIS. Under these rules, the utilities are required to provide certain types of information on that electronic information system as to the status of their transmission systems and are
62/ For example, a number of smaller public utilities and non-public utilities have argued that they should be exempted from the OASIS requirements. The Open Access Final Rule provides that public utilities may seek waivers of some or all of the requirements of the Open Access rules. This would include the OASIS requirement. Similarly, the Open Access Final Rule provides that non-public utilities may seek waivers of the tariff reciprocity provision as applied to them.
required to do so in a uniform manner. With these requirements, we are opening up the "black box" of utility transmission system information. When in place, the OASIS will allow transmission customers to determine the availability of transmission capacity and will help ensure that public utilities do not use their ownership, operation, or control of transmission to deny access unfairly. Entities subject to this rule are to have a basic OASIS, meeting the requirements of this final rule, in operation by November 1, 1996.
The third component involves the various standards and protocols referenced in the regulations that are necessary to ensure that the OASIS system presents information in a consistent and uniform manner. As proposed in the RIN NOPR, this final rule references a publication entitled *OASIS Standards and Communication Protocols*. 63/ This publication contains the above-mentioned standards and communication protocols. The publication details the Phase I requirements for technical issues related to the implementation and use of an OASIS (i.e., a compilation of OASIS standards and communication protocols). Because of their level of detail, the standards and protocols referenced in the regulations will be contained in the *Standards and Protocols* document and will not be set out in the Code of Federal Regulations.
In developing the standards and protocols, we have been greatly assisted by the industry. However, more work needs to be done before the necessary standards and protocols are complete. For this we will again look to the industry and its working groups. The Commission believes a standard or uniform set of protocols is essential. The industry is best situated not only to develop the necessary standards but to develop them where possible with a consensus. Consequently, we are asking the How Group to provide us with additional recommendations on those technical issues remaining to be resolved. After receiving this report, we will hold a technical conference. In the meantime, to enable utilities to begin the process of implementing their OASIS, we will publish the standards and protocols that have been developed to date.
63/ This title differs slightly from the title we suggested for this document in the RIN NOPR. We are making this change to reflect more accurately the contents of the document as it has evolved.
We must also provide for the contingency that, over time, the standards and protocols may need to be revised. To this end,
NERC, in its comments, proposed to continue the industry-based process for developing OASIS requirements begun by the two industry working groups. NERC argued that the Commission should abandon its intention to approve standards developed by industry-wide consensus and to make decisions in those areas where consensus is not achieved. Instead, NERC argued that the Commission should authorize an industry group, facilitated by NERC and EPRI, to set and enforce detailed standards under broad policy guidelines fixed by the Commission.
As we have needed the contributions of the industry to develop the standards and protocols, we will continue to need that assistance in the future to develop a consensus wherever possible. We need to strike a balance between standardization to make OASIS work and encouraging innovation. To this end we encourage all industry participants to continue seeking consensus and reporting proposals to the Commission for our consideration. We welcome the continued work of all industry participants on revising and improving standards and establishing appropriate methods for recommending standards in the future. We will continue to give careful consideration to all consensus recommendations presented by the industry group(s), provided that they continue to invite balanced participation in an open process.
However, we reject entirely the notion that the Commission need not approve the Standards and Protocols and that these matters can be left to the industry for implementation and self-policing. Although we continue to seek industry consensus, the Commission must reserve final decisions to itself. We cannot turn over the process of approving and enforcing OASIS requirements to the industry. The Commission does not believe that resolution of the outstanding issues or future changes will occur more quickly without Commission oversight. 64/Nor do we believe that merely by announcing broad policy guidelines we would
64/ To the contrary, our experience with the natural gas pipeline industry persuades us that an expedited schedule is more likely with active Commission oversight than otherwise.
be creating a mechanism that would be sufficient to allow the Commission to revise regulations quickly. Accordingly, we will not abdicate our responsibility to decide these issues ourselves; nor shall we delegate responsibility for making these decisions to anyone else.
With respect to the as yet unresolved technical issues, we invite the How Group to report to us on or before May 28, 1996 on these issues (and to attach any comments it has received from any interested person with opposing views). Prior to issuing a revised Standards and Protocols document, we will hold a technical conference on these issues on June 17, 1996. This short time frame is necessary if the OASIS is to be properly operational by November 1, 1996.
The Commission recognizes that the standards and protocols necessarily will evolve over time. The Commission is committed to a process for reviewing and, if necessary, revising and improving the Standards and Protocols on a regular basis after implementation. We are sensitive to the fact that business practices and technology will continue to change under open access and that a mechanism to make changes to the regulations and to the accompanying standards and protocols on an expedited basis may be needed. It would be premature at this time, however, to determine the appropriate mechanism for making such changes, because the method could vary depending on the type of change contemplated. In filing its report, we ask that the How Group advise us on this issue. We will welcome discussions and comments on mechanisms for revising the standards and protocols on an ongoing basis at the June 17, 1996 technical conference.
In the sections that follow, we discuss, section-by-section, the regulations we are adopting with this final rule; how the costs of implementing the requirements of these regulations are to be recovered; and the details of implementation.
C. SECTION 37.1 -- APPLICABILITY
This section is unchanged substantively from what we proposed in the RIN NOPR. As proposed previously, the rules in Part 37 apply to any public utility that owns or controls facilities used for the transmission of electric energy in interstate commerce.\textsuperscript{65/}
In proposing these regulations, we stated that issues relating to potential gaps in providing comparable open access to wholesale transmission services or to transmission information that may arise because the requirements do not apply to non-public utilities would be addressed in the Open Access rulemaking proceeding. We also invited comment on whether the Commission should extend OASIS requirements to non-public utilities that own or control facilities used for the transmission of electric energy in interstate commerce (Question 45) and on whether the reciprocity condition of the proposed Open Access rule dictates that a non-public utility should have an OASIS (Question 46).
\textbf{Comments}
The responses to Question 45 split along industry lines. Generally, public utilities subject to OASIS rules advocated that the Commission should impose OASIS requirements on non-public utilities. They argued that applying OASIS requirements to non-public utilities would promote competition and a "level playing field." These commenters argue that all companies should pay the costs of developing and operating an OASIS and should be required to divulge information to their competitors on it.
Along these lines, Allegheny argued that, in order to provide a level playing field between public utilities and their competitors, the proposed standards of conduct should be expanded to include personnel of any entity that trades on an OASIS. Allegheny suggested, therefore, that the standards of conduct be
\textsuperscript{65/} We are, however, modifying this provision to clarify that it is intended to include public utilities that "operate" facilities used for the transmission of electric energy in interstate commerce. We are also clarifying that these regulations apply to transactions performed under the \textit{pro forma} tariff required in Part 35 of the Commission's regulations.
rewritten to be applicable to non-public utilities through a requirement that they sign confidentiality agreements as a condition of obtaining access to OASIS.
Those favoring applying OASIS rules to non-public utilities argued that a significant portion of the wholesale transmission market is owned by non-public utilities (ConEd estimates that non-public utilities, excluding cooperatives, control about 25 percent of the circuit miles of transmission lines nationwide). They argued that, without information about these lines, accurate calculations of available transmission capability cannot be made. However, those advocating that the Commission should assert jurisdiction over non-public utilities were divided between those who maintained that the Commission has authority to do so directly under § 311 of the Federal Power Act (FPA) and those who maintained that the Commission does not have such authority. The latter group suggested that the Commission's authority is not clearcut and, to avoid needless delay and litigation, the Commission should rely on the reciprocity condition in the pro forma tariffs to extend OASIS requirements to non-public utilities. ConEd argued that we should state that compliance with OASIS requirements is required by both § 311 and reciprocity.
The larger non-public utilities argued that, while the Commission lacks authority to impose OASIS rules under § 311 of the FPA, they nevertheless will voluntarily comply with the rules because this would be in their own best interest. By contrast, a number of small non-public utilities argued that they should be exempt from OASIS rules, particularly the standards of conduct, for the same reasons that smaller public utilities argued that they should be exempted from the requirements of the Open Access
66/ 16 U.S.C. § 825j. Section 311 authorizes the Commission to obtain information (and conduct appropriate investigations) about, among other matters, the transmission of electric energy throughout the United States, regardless of whether such transmission is otherwise subject to the Commission's jurisdiction, and to report to Congress the results of any investigations it carries out under the authority of this provision.
67/ See discussion of Question 46, infra.
Final Rule. The smaller non-public utilities stressed that they do not "control" many of their transmission lines and that many of their lines lack commercial interest. They recommended the development of a joint or regional OASIS that would make participation in an OASIS easier and argued that, as to smaller non-public utilities, the rules requiring a separation of functions are unduly burdensome and their scant benefits would be outweighed by their costs to consumers.
NRECA argued that the availability of transmission service under § 211 of the FPA is sufficient to prevent abuses. By contrast, Com Ed argued that Commission orders in § 211 proceedings come too late to prevent abuses.
In Question 46 of the RIN NOPR, we asked whether, based on reciprocity, we should require non-public utilities to develop or participate in an OASIS. 68/ The responses to this question generally are split along the same lines as the responses to Question 45, with non-public utilities pointing out that most would participate voluntarily in an OASIS because it would be in their best interest to do so.
APPA asserted that voluntary participation would suffice to accomplish the Commission's goals and seeks assurance that compliance with OASIS requirements by non-public utilities would be deemed by the Commission to satisfy the reciprocity condition in the pro forma tariffs. APPA also asserted that participation in a regional OASIS would make compliance easier for non-public utilities and would help them deal better with operational issues such as parallel flows. At the same time, NE Public Power District argued that, although it is willing to participate in an OASIS voluntarily, the Commission lacks authority to compel publicly-owned non-public utilities to comply with OASIS regulations.
In contrast, a number of public utilities maintained that non-public utilities cannot provide comparable open-access non-discriminatory service unless they comply with the same OASIS rules as do public utilities. PJM argued that, although public utilities and non-public utilities differ in their ownership, this does not provide a rational basis to exclude non-public utilities from participation in an OASIS.
68/ The discussion of questions 45 and 46 by commenters often overlapped.
Carolina P&L argued that the same concerns that motivated the Commission to propose the standards of conduct dictate that the rules should apply equally to non-public utilities.
Others argued that, if non-public utilities need not comply with the same OASIS rules applicable to public utilities, the non-public utilities would have the benefit of an uneven playing field that would give them a competitive advantage. Along these lines, EGA argued that, in pursuing a competitive wholesale market, the Commission should apply OASIS rules equally to all entities that own wholesale transmission facilities. Mid-American stressed the need for reciprocity by pointing out (as others did in response to Question 45) that a significant portion of wholesale transmission facilities nationwide, including some in pivotal areas, are owned by non-public utilities. VEPCO urged that any entity that owns transmission facilities, is affiliated with an entity that owns transmission facilities, controls transmission facilities through a lease or contract, or signs a contract for transmission services, should be required to establish or participate in an OASIS that is compatible with the industry standards established by the Commission in the final rule in this proceeding as a condition of being eligible to use a Transmission Provider's OASIS.
OK Com stated that it would support the Commission's assertion of jurisdiction over non-public utilities, provided that the Commission makes a finding that the non-participation of a transmission owning entity in an OASIS would have a substantial detrimental impact on potential customers attaining open-access non-discriminatory service throughout the Nation. Com Ed argued that the Commission needs to ensure that non-public utilities do not circumvent the rule by making purchases and sales through intermediaries.
Larger non-public utilities, such as Public Generating Pool, suggested that the participation of larger non-public utilities is much more important, in terms of promoting competition in the wholesale market, than is participation by smaller non-public utilities, whose systems are predominantly small distribution systems that are not essential to the larger regional power market. Public Generating Pool proposed that small non-public utilities should be able to seek an exemption and that regional transmission groups should decide whether it is necessary for a small non-public utility to participate in the regional
OASIS. Public Generating Pool also suggested that, if the Commission prefers, decisions as to who is required to implement an OASIS could be based on objective factors, such as market share or concentration. Other non-public utilities, such as Seattle and Tallahassee, stress the need for flexibility (in providing sufficient time for compliance and in allowing deviations from the rule) in any requirement that non-public utilities make changes to their system.
**Discussion**
After reviewing these comments we have concluded that we will not directly assert jurisdiction over non-public utilities under § 311 of the FPA to ensure compliance with OASIS requirements. We will, instead, rely on the reciprocity provision of the *pro forma* tariff that requires a non-public utility to offer comparable transmission service to the Transmission Provider as a condition of obtaining open access service. If a non-public utility chooses to take open access service, and therefore is subject to the tariff reciprocity condition, it will need to meet the OASIS requirements in new Part 37, unless the Commission grants a waiver of this condition. Although, as pointed out by ConEd, non-public utilities control a significant percentage of the circuit miles of transmission lines nationwide, and fully accurate calculations of available capacity on public utilities' lines cannot be made without information about these lines, we believe reciprocity provides a sufficient incentive for non-public utilities to meet the OASIS requirements imposed on public utilities.
We note that in our Open Access Final Rule we have concluded that certain of the requirements we are imposing on public utilities may not be appropriate for small utilities. This conclusion applies equally to the treatment of small public utilities and small non-public utilities. Accordingly, we have established a mechanism in the Open Access proceeding that allows small public utilities and small non-public utilities to seek waivers based on the same criteria. 69/
D. **SECTION 37.2 -- PURPOSE**
Section 37.2 sets out the fundamental purpose of this part
---
69/ Open Access Final Rule at section IV.K.
-- to ensure that all potential customers of open access transmission service have access to the information that will enable them to obtain transmission service on a non-discriminatory basis. Comments in response to the RIN NOPR did not take issue with the proposed language of § 37.2 and we are adopting this provision largely without change.
We wish to clarify, however, that while the OASIS requirements imposed by this final rule establish a mechanism by which Transmission Customers may reserve transmission capacity, they do not require the replacement of existing systems for scheduling transmission service and conducting transmission system operations at this time. We believe that it may be appropriate to include energy scheduling as part of the OASIS requirements developed for Phase II. In the meantime, if we conclude that an existing system is operated in an unduly discriminatory manner, we will pursue changes to such a system in a separate proceeding.
E. SECTION 37.3 -- DEFINITIONS
This section defines six terms used throughout this Part -- "Transmission Provider", "Transmission Customer", "Responsible Party", "Resellers", "Wholesale Merchant Function", and "Affiliate". The comments in response to the RIN NOPR did not take issue with the proposed definitions. 70/
Consequently, this final rule adopts these definitions largely without change. To prevent confusion, the definition of Transmission Customer has been revised to include potential customers, i.e., those who can
---
70/ MidAmerican Energy suggested, however, that a definition for "Transmission System Operator" be added. We will not do so because we do not use this term anywhere in the OASIS regulations. MidAmerican's purpose in making this suggestion may have been to exclude the posting on the OASIS of transactions involving the use of transmission for purchases made for native load (this issue was also brought up by CCEM, EGA, MidAmerican, NYPP, and NIEP). We address the issue of native load purchases in the Open Access Final Rule.
execute service agreements or can receive services as well as those who actually do so. And, we have modified the definition of "Affiliate" to more closely track provisions of the FPA and the Public Utility Holding Company Act.
F. SECTION 37.4 -- STANDARDS OF CONDUCT
This section sets out the standards of conduct necessary to ensure that Transmission Providers do not use their unique access to information unfairly to favor their own merchant functions, or those of their affiliates, in selling electric energy in interstate commerce. Although preserving the substance of what was proposed, the final rule has been reorganized.
Paragraph (a) sets out the general rules that require the separation of transmission and merchant functions and that recognize in emergency circumstances system operators may take whatever steps are necessary to keep the system in operation.
Paragraph (b) sets out the specific rules governing employee conduct under five headings covering prohibited practices, transfers of employees, access to information, disclosure, and conduct in implementing tariffs. These provisions correspond to elements of paragraph (a), as well as paragraphs (b) through (h) and (j) of the standards proposed in the RIN NOPR.
Paragraph (c) requires that there be written procedures implementing the standards of conduct and that these must be kept in a public place and filed with the Commission. Paragraph (c) corresponds to paragraph (k) of the standards proposed in the RIN NOPR.
In the RIN NOPR, the Commission proposed standards of conduct for public utilities patterned after those promulgated for natural gas pipelines. The proposed standards of conduct would require Transmission Providers to separate their wholesale merchant functions (i.e., wholesale purchases or
---
71/ In the RIN NOPR, the proposed standards of conduct were set out in § 37.6. See RIN NOPR text at section III.E (60 FR at 66196) and the proposed regulation at 18 CFR § 37.6 (60 FR at 66199). We are renumbering this provision as § 37.4 in this final rule.
wholesale sales of electric energy in interstate commerce) from their wholesale transmission system operations and reliability functions. Employees performing wholesale merchant functions would be required to obtain information on wholesale transmission services only through an OASIS, on the same basis available to all other OASIS users. The standards of conduct were intended to prevent employees of the Transmission Provider that perform wholesale merchant functions or employees of any affiliate from having preferential access to any relevant information about the Transmission Provider's wholesale transmission availability and costs, or uses or possible uses of the Transmission Provider's transmission system by non-affiliates.
We accompanied this proposal with two questions that asked whether the proposed standards of conduct should be modified and whether they sufficiently addressed functional unbundling (Questions 41 and 42). We also asked whether our proposal might interfere with system reliability (see Question 43).
The responses basically fell into three categories. First, a number of smaller public utilities argued that they should be granted waivers (or be deemed exempt) from the proposed standards of conduct.
72/ Because the Open Access Final Rule pro forma tariff may include certain retail transmission customers, this final rule's OASIS information requirements will apply to applicable retail as well as wholesale services and information.
73/ Among the over 100 comments filed, only Dayton P&L, among public utilities, questioned the Commission's underlying authority to mandate control room unbundling. Dayton P&L's short conclusory statements in this proceeding were not accompanied by even a cursory explanation of its reasoning or by any legal analysis or supporting citations.
Although Dayton P&L offered no support for its position in this proceeding, it did (along with other parties) devote extensive discussion to the more general issue of the Commission's authority to order open access transmission in its initial comments in
because these standards would compel them to hire additional staff not justified by their small market share or by the small revenues they derive from providing wholesale transmission services. These comments suggested that the standards should not apply to public utilities that lack operational control over the facilities used for wholesale transmission service, or to public utilities that do not exceed given thresholds for market share, percent of revenues, or total revenues from wholesale transmission services.
Second, a number of large utilities basically were satisfied with the proposed rules and offered specific suggestions for revisions. Third, commenters raised the issue of whether to require the separation of generation and transmission functions. 74/ We discuss these three categories below.
74/ A number of comments raised the issue of whether the OASIS regulations would promote ISOs (independent system operators) and whether participation in an ISO would exempt an entity from compliance with OASIS requirements. In this regard, a number of comments suggested that the proposed standards of conduct will result in the widespread transfer of transmission functions to the control of ISOs and predicted that the need for the standards of conduct will diminish as ISOs become more prevalent. In this context, IN Com supported the formation of ISOs, because this would reduce the need for state commissions to monitor functional unbundling and would help in resolving jurisdictional questions.
The concept of ISOs is addressed in the Open Access Final Rule. As to the prediction that the rise in the number of ISOs will make the standards of conduct unnecessary, or should offer a basis for an exemption from the standards of conduct, we would characterize
1. **Requests by Smaller Public Utilities for Waivers from the Standards of Conduct**
Turning first to the arguments of smaller public utilities that they should be exempt from the standards of conduct, we note that this issue also arose in the Commission's Open Access rulemaking proceeding. As described in the Open Access Final Rule, we will publish a list of jurisdictional public utilities that must comply with these rules. At the same time, we establish a mechanism that allows small public utilities to seek a waiver. In appropriate circumstances, the Commission would waive some or all of the Open Access requirements, subject to future reconsideration as warranted by circumstances.
A related issue involves the concerns of small non-public utilities about their obligation under the reciprocity condition. We have decided in the Open Access rulemaking proceeding that we would use these same criteria to decide whether a small non-public utility should be granted a waiver from all or part of the reciprocity condition contained in public utility open access tariffs. Such waivers could be sought of the requirements to have open access tariffs, provide ancillary services, establish an OASIS, or separate functions.
A full explanation of the waiver mechanism is contained in the Open Access Final Rule. We will use these same standards to determine whether small public utilities have complied with the OASIS requirements and to determine whether small non-public utilities have met their contractual obligation to comply with OASIS requirements as a condition of service under open access tariff reciprocity provisions.
2. **Suggested Revisions to the Standards of Conduct and Timing**
the potential of ISOs somewhat differently. In our view, a properly constituted ISO could be a mechanism, not for an exemption, but as a means to comply with the standards of conduct.
75/ Open Access Final Rule at section IV.K.
76/ Id.
For the most part, we have adopted the standards of conduct as proposed, making technical and conforming revisions. In a few instances, in response to comments, we have made substantive changes. These changes, and the suggestions that led us to make them, are discussed below, along with some suggestions that we rejected.
1. As proposed, the regulations would prohibit preferential access to the system control room and "other facilities of the public utility" that differs from the access available to other potential transmission users. AEP suggested that it is not clear whether this was intended to restrict access to all other facilities or is meant to restrict access to other similar facilities, (i.e., those facilities that, like the control room, are involved in transmission operations and reliability functions). Consistent with this latter interpretation, AEP suggested that the restriction be modified to apply to the system control room and "similar facilities used for transmission operations or reliability functions." We agree with AEP's interpretation of the scope of this restriction and adopt the suggested revision in section 37.4(b)(1)(ii) of the final rule.
2. Section 37.4(c) of the proposed standards of conduct would prohibit contacts (off OASIS) between employees of the public utility engaged in transmission system operations and employees of the public utility engaged in wholesale marketing functions, and employees of any affiliate no matter how employed. AEP, Com Ed, and Ohio Edison argued that this provision is too broad and would exclude contacts between transmission system operators and employees of affiliates engaged in various activities, many of which are unrelated to a public utility's merchant functions. For example, an energy services subsidiary might be engaged in building a power plant in a foreign country. AEP argued that there would be no reason to deny employees engaged in such an activity access to utility personnel involved in transmission or reliability functions. Com Ed suggested that this provision should be modified to prevent contacts between system operators and employees engaged in wholesale marketing functions, regardless of whether those marketing employees are engaged in those activities on behalf of either the utility or its affiliates. Thus, under this argument, contacts between system operators and affiliate employees not engaged in wholesale marketing functions would not be prohibited.
We agree with AEP, Com Ed, and Ohio Edison that our proposed standards of conduct were overly broad because they prohibited contacts between system operators and affiliate employees engaged in functions completely unrelated to a public utility's wholesale power and energy marketing functions. We will revise the proposed standards of conduct accordingly.
AEP also argued that employees of the affiliate may be involved in the wholesale merchant function, but not in the utility's market area. For example, an employee of an affiliate might be involved in a different geographic area, far from the system's transmission grid. AEP argued that there would be no need to isolate such activities from the utility's transmission operations. To cover such situations, AEP suggested that the language be modified to read "employees of any affiliate of the public utility, to the extent that such employees are engaged in wholesale merchant functions in the utility's market area."
We reject AEP's suggestion. Although public utilities may still have the ability to exert market dominance in particular markets, they also will now have the ability to participate in transactions across the nation. We fully expect -- and our experience with the WSPP demonstrates -- that in the move to a competitive wholesale bulk power market, public utilities will have extensive market areas in which to make offers. Thus, there is no reason to limit the scope of the standards of conduct as recommended by AEP.
We also have clarified section 37.4(b)(3)(i) to explain that employees engaged in merchant trading functions must not have preferential access to any information about the Transmission Provider's transmission system that is not available to all users of an OASIS. However, the standards of conduct do not foreclose customers, including merchant employees, from obtaining information about the status of their particular contracted for transaction from Transmission Provider employees engaged in system operation and reliability functions. The information provided in status reports must present the same types of information, in the same level of detail, to any customer presenting a similar request. The standards do, however, preclude merchant employees from obtaining preferential access to information about the Transmission Provider's system (not directly linked to their particular transaction) from any nonpublic
source as well as market information acquired from nonaffiliated customers or potential nonaffiliated customers or developed by the Transmission Provider in its role as a Transmission Provider (except to the limited extent that this information is required to be posted on the OASIS). 77/
3. APPA argued that the rules should prohibit preferential treatment of wholesale purchases or sales by any utility. APPA interpreted the originally proposed language to mean that preferential treatment would be permitted, as long as the preference would not be extended to the public utility itself or an affiliate. APPA and Com Ed argued that preferential treatment of any wholesale customer over the interests of any other wholesale customer must not be allowed. Com Ed adds that absent clarification, relationships of reciprocal favoritism could develop in the industry, to the detriment of all other customers.
We find this contingency is possible. While the standards of conduct set guidelines for Transmission Providers and their affiliates in handling their wholesale merchant functions; public utilities are also governed by section 205(b) of the Federal Power Act. Section 205(b) prohibits public utilities from granting any undue preference or advantage to any person or subjecting any person to any undue prejudice or disadvantage with respect to any transmission or sale subject to the jurisdiction of the Commission. This provision remains in full force and effect and prohibits preferential treatment in transactions regardless of whether those transactions are specifically addressed in the standards of conduct.
4. In section 37.6(i) of the RIN NOPR we proposed that public utilities offer customers discounts comparable to those that the public utility offers to its own power customers or those of an affiliate. AEP suggested that this limitation on allowable discounts be expressly limited to discounts on wholesale transmission services. We agree and are revising this provision accordingly. Discounts for jurisdictional power sales are not governed by this final rule but by section 205(b) of the FPA and related precedent on power sales.
77/ See § 37.4(b)(4)(iii); see text accompanying n. 33, infra.
5. Allegheny suggested that the Commission should find that there will no longer be a presumption of discriminatory dealing between utility affiliates in generation and transmission services when network owners comply with the standards of conduct. Allegheny has presented no basis for making such a finding and we decline to do so.
6. Com Ed, Duke, and NEPOOL suggested that the proposed standards should not be interpreted to prevent employees of the utility engaged in wholesale marketing functions from obtaining information about their competitors from non-affiliated third party sources such as the trade press. Com Ed also suggested that the utility should be allowed freedom to give out information about its transmission functions off OASIS (e.g., in briefings at public meetings) as long as the utility's wholesale marketing employees do not obtain preferential access to those forums. Ohio Edison suggested that the proposed standards of conduct should be revised to preclude only "substantive access" to the system control room. Ohio Edison argued that access for matters unrelated to transmission matters, such as training programs, should be permitted.
We have two points we wish to make regarding these related suggestions. First, we clarify that the rules do not prohibit access to information contemporaneously available without restriction to other members of the general public. (See section 37.4(b)(1)(ii) dealing with access to information). Second, these rules are intended to be interpreted consistent with common sense, prudence, and caution.
Our standards of conduct are intended to prevent preferential access to information related to transmission prices and availability by employees of the public utility or any affiliate engaged in wholesale merchant functions. Preferential access means that information is obtained from those with access to information about the public utility's transmission system operations that is not equally available to other customers. It is obvious, at least to us, that this does not bar wholesale merchant employees from reading the trade press or from sitting in the audience of a publicly-announced and available lecture delivered by the public utility's transmission operator or a third party in an open forum. However, the onus is on the
public utilities subject to these standards to conduct their affairs in compliance with these rules, and they should exercise care and prudence in so doing.
We decline, therefore, to specify in these regulations whether, for example, a "public meeting" must be preceded by advance notice, to whom that notice must be provided, and what that notice would need to spell out. We do not believe that it would be appropriate to burden our rules with this kind of minutiae in a misplaced effort to anticipate every possible contingency. Such regulatory overkill is unwarranted and counterproductive. Moreover, those subject to the regulations may, like other members of the public, call the Enforcement Task Force Hotline to obtain informal advice on implementing the standards of conduct.
7. VEPCO suggested that, rather than prohibiting contacts between system operators and employees of the public utility and any affiliates engaged in wholesale merchant functions, the Commission could reach the same result by allowing system operators to disclose, through informal communications, information about the status of the transmission system, provided that they then post this information on OASIS.
We find this suggestion untenable. First, such disclosures would necessarily be posted after-the-fact, and thus the information would not be conveyed to all potential customers at the same time. Second, such a provision would be very difficult to enforce. Third, the same information could just as easily be divulged on the OASIS to all customers, rather than "reported" on the OASIS after-the-fact.
8. Com Ed suggested that the reference in subsections (a) and (d) of the proposed standards to "reliability functions" should be clarified to apply only to transmission functions and not to generation functions. We disagree. As discussed below, system operations and reliability functions include both transmission and generation functions.
9. Con Ed suggested that the standards of conduct should include a disclaimer that utilities will not be liable for the reliability or accuracy of data posted on the OASIS as an accommodation to third parties. We agree that the responsibility for assuring the reliability and accuracy of data supplied by third parties
rests with those third parties and not with the public utility that posts this information on the OASIS as an accommodation. We do not, however, view this as a standard of conduct issue. Instead, we address this point in our discussion of what information is to be posted under § 37.6(g).
10. Ohio Edison suggested that posting the names of personnel transferring between departments would make these employees targets for recruitment by competitors. Notwithstanding this concern, we believe that this information must be posted on the OASIS to make possible "gaming of the system" through spurious revolving door tactics more visible.
11. Ohio Edison also suggested that the phrase in subsection (b) of the proposed standards “... must rely upon the same information relied upon by the public utility’s wholesale transmission customers” should be modified to read “… must have available only the same information available to the public utility’s wholesale transmission customers.” Ohio Edison argued that the Transmission Provider has no way of knowing what information its customers “relied upon” and that it should not be held to an undefinable subjective standard. We agree. Accordingly, we adopt Ohio Edison's suggestion in section 37.4(b)(3)(i) of the final rule and omit the phrase "rely upon."
12. Ohio Edison also suggested that if its suggestion (in the previous item) is adopted, then the language in section 37.4(b) beginning with the language in parenthesis becomes redundant and should be deleted. We disagree and will retain that language in section 37.4(b)(3)(ii) of the final rule. We believe the language adds necessary clarification.
13. Montana Power suggested that, if off-OASIS communications between the utility's system operators and wholesale marketing personnel are prohibited, these kinds of communications should also be prohibited between system operators and all transmission users. Montana Power would prefer, however, that these communications be permissible. Likewise, Duke suggested that we change the regulations so that if an employee of an unrelated third party calls the transmission-related employees, for example, to better understand the public utility's transmission system, such communications should be permitted to be conducted off the OASIS. Duke maintains that the free flow of information should not be discouraged so
long as functional unbundling is implemented and affiliate abuse is avoided. NEPOOL suggested that the rules dictating the Transmission Provider's release of information should apply to all Transmission Customers, not just to the Transmission Provider's employees, as affiliates, engaged in wholesale merchant functions.
Our proposed standards of conduct were designed, and our final standards are being implemented, to prevent Transmission Providers from giving themselves an undue preference over their customers through the exchange of "insider" information between the company's system operators and employees of the public utility, or any affiliate, engaged in wholesale marketing functions. Thus, the rules place restrictions on preferential communications from the system operators to only those merchant employees. The rules were not designed to prevent system operators from having communications with third parties. We do not generally see this as an area that needs regulatory oversight. As discussed above, we have revised the regulations to ensure no discriminatory treatment and we remind public utilities subject to these regulations that section 205(b) of the FPA prohibits undue discrimination. This should suffice.
14. NUSCO suggested that the Commission should distinguish: (1) the functional separation of generation marketing related to operation of the transmission system and administration of transmission tariffs (which are relatively short-term activities); from (2) the coordination of marketing with the system planning function (a long-term activity encompassing both generation and transmission). Similarly, the FL Com is concerned that the standards of conduct might impede system reliability, and argued that marketers and system operators should be able to confer concerning the company's long-term planning activities that require knowledge about the company's generation and transmission systems. NEPOOL expresses similar concerns.
By contrast, Com Ed suggested that the proposed standards of conduct will not impair planning because, like a one-way street, they allow information to be conveyed from employees engaged in merchant functions to system operators, while at the same time prohibiting information to be conveyed in the opposite direction. Com Ed submitted that the inter-relationship between the areas of strategic
planning, resource planning and long-range transmission planning require the flow of information to transmission personnel. Future acquisitions of capacity may constitute a resource taken into account in planning and may have an impact on the transmission system that needs to be accounted for by transmission planners. Thus, Com Ed argued that there should be no restriction on the flow of information about future purchases or sales from the merchant function to the transmission function, although restrictions on the flow of information to the merchant function should be adopted as proposed.
We agree with Com Ed that, as we proposed in the RIN NOPR, the flow of information, through the OASIS, from employees engaged in wholesale merchant functions to system operators should remain permissible, to allow proper system planning, while at the same time restricting information being conveyed off the OASIS from system operators to utility and affiliate employees engaged in wholesale merchant functions, to prevent preferential access to transmission information. Consequently, we reject the proposals offered by NUSCO, FL Com, and NEPOOL in this regard.
15. Omaha PPD argued that information regarding the scheduling of power transfers, economic dispatch, and economic conditions have nothing to do with the information that is needed regarding the availability of transmission capability. Omaha PPD suggested, therefore, that any information relating to economic operation or the commercial state of a utility be removed from the standards of conduct. By contrast, NUCOR suggested that, since economic dispatch is premised on real-time marginal production cost data and generating unit economics, the comparability standard mandates that utilities provide the same generation cost data to other market participants. Similarly, NUCOR argued that, because economic dispatch also is dependent on the economics of off-system purchases and sales, data pertaining to such purchases and sales also must be made generally available.
Except for postings for certain ancillary services, the RIN NOPR did not propose the posting on an OASIS of data on generation and we are not persuaded, at this juncture, to do more. Our decision is based on a balancing of the need for the information, the claimed commercial sensitivity of the information, and
the desire to avoid, to the extent possible, having public utilities reporting generation data that their competitors may not be required to report.
16. VEPCO suggested that the regulations should prohibit system operators from disclosing information to wholesale marketing employees or other customers about the ancillary services offered by third parties because they are not permitted to disclose the same information about their companies' own products. VEPCO further suggested that the prohibition against discussing the companies' own products should be removed.
We find these suggestions inconsistent with the kinds of safeguards we are trying to provide through these standards of conduct. In any event, as discussed below in our discussion of items to be posted on the OASIS, we are requiring that this kind of information be posted on the OASIS, and thus companies will be able to get their message out that these services are available.
17. Duke suggested that the proposed subsection dealing with the impartial application of tariff provisions should be revised to make clear it is the customer (and not the employees) who is to be treated on a fair and impartial basis. We agree and the final rule in section 37.4(b)(5)(ii) adopts this suggestion.
18. VEPCO suggested that the rules requiring a separation of functions should be suspended if additional employees trained in system operations (but normally assigned to marketing functions) should be needed to assist in handling system operation functions during emergencies affecting system reliability. VEPCO also suggested that the Commission should allow transmission and generation operators to engage in emergency energy transactions and hourly non-firm energy transactions.
It is not the purpose of these rules to compromise reliability. In emergency circumstances affecting system reliability, system operators may take whatever steps are necessary to keep the system in operation. Consequently, we are adding a provision to the standards of conduct that specifically grants system operators the authority to take whatever steps are necessary to maintain system reliability during an emergency, notwithstanding that this could otherwise constitute a violation of the standards of conduct. Transmission Providers will be required to report to the Commission and on the OASIS each emergency
that resulted in any deviation from the standards of conduct, within 24 hours of such deviation. If we see a pattern of activities that suggested that "emergencies" are not authentic, we will take strong action against the offending public utilities.
Because we are adding a provision that allows actions to be taken in response to emergencies, we are deleting the phrase "to the maximum extent practicable" that had appeared in section 37.6(a) of the standards of conduct proposed in the RIN NOPR.
19. Continental Power Exchange argued that, just as merchant traders should be prohibited from access to the control center, system operators should be prohibited from access to the trading floor. United Illuminating agreed that separation of functions needs to apply to separation of transmission and customer supply functions. Continental Power Exchange also suggested that discounts should be offered unilaterally to all customers without prior notice and without two-way negotiation. Continental Power Exchange further suggested that short-term transactions should be deemed approved upon request, unless the utility specifically notifies the customer that the transaction will be denied. Continental Power Exchange argued that this would streamline the proposed procedures and make OASIS transactions faster and more manageable.
We will not, at this time, adopt Continental Power Exchange's suggestion to create an absolute prohibition against system operators having access to the trading floor because we are concerned about information divulged by system operators and not about information acquired by them. However, any non-public contacts between system operators and merchant traders creates the risk that there will be improper communications between these employees and the burden is on Transmission Providers subject to the standards of conduct to devise procedures that will prevent improper contacts. We expect, therefore, that the Transmission Providers themselves will devise procedures that will either prohibit or, at a minimum, severely restrict access to the trading floor by system operators.
As to Continental Power Exchange's other suggestions, we will not adopt these suggestions at this time, but may come back to them as the process evolves and the feasibility of back and forth negotiations is tested by experience.
20. SoCal Edison and Tucson Power suggested that, while the proposed 60-day deadline for filing procedures to implement the standards is adequate, the Commission needs to be flexible on implementing other changes, such as reconfiguring and relocating control rooms and other facilities, and training and recruiting new employees.
Although we originally proposed to require compliance with the standards of conduct starting 60 days from the publication of this final rule, on further consideration we have decided to put off the requirement that they be implemented until the implementation of OASIS, that is by November 1, 1996. As a practical matter, the standards of conduct cannot be implemented apart from the electronic communication systems of a functioning OASIS; the two work together. In addition, the extra time will permit utilities the opportunity to fully implement the requirements of the standards of conduct. Although the result will be a window of time during which open access transmission tariffs will not be supported by standards of conduct (or OASIS), we must recognize that the changes we are mandating for the industry cannot be implemented overnight; a transition period is required.
21. Finally, after a review of the comments, we have added an additional provision to the standards of conduct (section 37.4(b)(5)(vi) of the final rule) dealing with the posting of any additional market information developed by a Transmission Provider in its role as a Transmission Provider and shared with employees of its, or an affiliate's, merchant function.
We have expressed concern in a number of recent orders about the possibility of the dissemination of market information by a public utility with market-based rate authority. 78/ To guard against the
78/ See, e.g., Illinova Power Marketing, Inc., 74 FERC ¶ 61,313, slip op. at 4-6 (1996); USGen Power Services, L.P., 73 FERC ¶ 61,302 at 61,845 (1995).
possibility of affiliate abuse, we have required such public utilities to commit in their codes of conduct with affiliates to share market information only if they make the same information publicly available to non-affiliates at the same time. We have not dictated the means by which public utilities are to make this information simultaneously available to all.
This same concern for the unequal distribution of market information, in a manner that may benefit select recipients with commercial or competitive information that is not equally available to others, leads us, after a review of the comments, to extend the standards of conduct to cover any market information gathered by Transmission Providers in the course of responding to transmission or ancillary service inquiries.
Our concern, based in part on our experience with implementing and monitoring electronic bulletin boards developed for use by the natural gas pipeline industry, is that there remains the incentive for a Transmission Provider to share with its own merchant employees, or those of an affiliate, any information it has developed (not limited to transmission system information) in responding to requests made over the OASIS. This is particularly a concern with respect to market information developed in the course of denying a request for transmission service.
While we have developed procedures dealing with the obligations of Transmission Providers in responding to requests for service, we believe that these procedures, alone, may not be sufficient to eliminate the possibility of an unfair competitive advantage to employees of the Transmission Provider (or an affiliate) engaged in merchant functions, by virtue of access to market information not shared with others.
Accordingly, we will add to the standards of conduct a provision that precludes a Transmission Provider from sharing market information acquired from nonaffiliated Transmission Customers or potential nonaffiliated Transmission Customers or developed in the course of responding to requests for transmission or ancillary service. In this manner, we can be better assured that employees of the Transmission Provider or an affiliate engaged in merchant operations do not develop a competitive advantage by virtue of
operation of an OASIS. The Transmission Provider may only reveal information about transmission requests as provided in the provisions of this rule (section 37.6 (e)) dealing, generally, with responses to transmission and ancillary service requests and, specifically, with transaction confidentiality (except to the limited extent that this information is required to be posted on the OASIS).
3. **Whether to Require the Separation of Generation and Transmission Functions**
In the RIN NOPR we proposed standards of conduct that would require Transmission Providers and their affiliates to separate system operation and reliability functions from wholesale merchant functions. Both transmission and generation functions are included within system operation and reliability functions. The RIN NOPR, notwithstanding Questions 42 and 43, did not propose that these functions (transmission and generation) be separated. Nor did we propose that Transmission Providers divest their ownership of generation assets.
We received numerous comments in response to our questions 42 and 43 that asked whether, if the Commission would go beyond unbundling transmission and generation merchant functions to order the unbundling of generation and transmission operations, this would necessitate revision of the proposed standards of conduct and whether this would adversely affect reliability.\(^{79/}\) After reviewing the comments, we conclude that we should require -- with these final rules -- only the unbundling of the transmission operations and wholesale marketing functions of public utilities and their affiliates, as
\(^{79/}\) The commenters nearly universally focused their presentations on why the Commission should not order an unbundling of generation and transmission operations, rather than addressing the precise topic we set out. In any event, the issue is now moot, as we have decided not to order Transmission Providers to separate their generation and transmission operations at this time. If, however, with experience we discover that the steps we are ordering here are not adequate to remedy undue discrimination, we can revisit this issue.
proposed in the RIN NOPR. We do not extend these rules to require the unbundling of transmission and generation control functions or to mandate the divestiture by Transmission Providers of their generation assets.
We will require the functional unbundling of transmission operations and wholesale marketing functions because we are persuaded that this will prevent abuses based on preferential access to information and other discriminatory behavior, without compromising system reliability. The standards of conduct are designed to accomplish this: (a) by requiring that transmission-related information be made available to all customers (including employees of the public utility, and any affiliate, engaged in merchant functions) through OASIS postings available to all customers at the same time and on an equal basis; and (b) by prohibiting the employees of Transmission Providers and any affiliates from disclosing (or obtaining) non-public transmission-related information, through communications not posted on the OASIS.
G. SECTION 37.5 -- OBLIGATIONS OF TRANSMISSION PROVIDERS
This section of the final rule adopts, without substantive change, the provisions proposed as section 37.4 (Standardization of Data Sets and Communication Protocols) and section 37.5 (Obligations of Transmission Providers) in the RIN NOPR. The final rule requires, in paragraph (a), that a Transmission Provider must provide for the operation of an OASIS either individually or jointly with other Transmission Providers and it must do so in accord with the requirements of Part 37. Paragraph (b)(1) requires that the OASIS must give access to relevant standardized information pertaining to the status of the transmission system as well as to the types and prices of services. Finally, in paragraph (b)(2), the rule requires that the OASIS must be operated in compliance with the protocols set out in the publication, OASIS Standards and Communication Protocols.
In the RIN NOPR, we explained that each Transmission Provider would be responsible for compliance, regardless of whether it establishes its own OASIS or participates in a joint OASIS. 80/ The
80/ NRECA commented that the Commission should ensure that expenses by a joint OASIS are subject to the
final rule does not change this. In a related provision, we proposed, in § 37.1, that Part 37 would apply to any public utility that owns, operates, or controls facilities used for the transmission of electric energy in interstate commerce. However, as noted by many commenters, it is quite probable that individual public utilities may turn the operation of their transmission system and information system over to an ISO or other joint or regional entity. (This has been provided for in the definition of the term "Responsible Party").
This raises the issue of the Commission's jurisdiction over such entities.
Under section 201(e) of the FPA, a "public utility" means,
any person who owns or operates facilities subject to the jurisdiction of the Commission under this Part (other than facilities subject to such jurisdiction solely by reason of section 210, 211, or 212). [81/]
To the extent that anyone is given control and decision making authority over the transmission operations of a public utility's transmission facilities, it clearly would "operate" public facilities, within the meaning of section 201(e), and therefore would be subject to the Commission's jurisdiction. 82/ To the extent that a public utility turns over its operations to an ISO or any other joint entity to satisfy the Open Access and OASIS requirements, the ISO or any other entity would fall within the definition of a "public utility" under § 201 of the FPA and thus would be subject to the OASIS regulations of Part 37.
H. SECTION 37.6 -- INFORMATION TO BE POSTED ON AN OASIS
Commission's jurisdiction and audit authority. We agree. We will treat this as a normal ratemaking expense issue and will allocate such costs on a case-by-case basis when such expenses are presented to us for our review.
81/ 16 U.S.C. § 824.
82/ See, e.g., Bechtel Power Corporation, order granting declaratory order and disclaiming jurisdiction, 60 FERC ¶ 61,156 at 61,572 (1992) (on control issue), and FPC v. Florida Power & Light Company, 404 U.S. 453 (1972) (on defining jurisdictional facilities).
In the RIN NOPR, we proposed, in sections 37.7 through 37.14, rules governing: (1) the information that must be posted on an OASIS; (2) the procedures for the posting and updating of information on the OASIS; (3) the posting of discounts; (4) procedures for Transmission Providers to respond to customer requests for transmission service; (5) procedures for communicating denials of requests for service and curtailments; and (6) the posting of information about scheduling and affiliate transactions. These provisions have been consolidated and are now covered in § 37.6 of the regulations adopted by this final rule.
As discussed in more detail below, section 37.6 has eight paragraphs. Paragraph (a) lists the objectives of an OASIS. Paragraph (b) lists what must be posted for public transmission capability -- that is, available transmission capability (ATC) and total transmission capability (TTC) -- as well as how and when this information is to be updated. Paragraph (c) sets out the requirements for posting transmission service products, including resold capacity as well as their prices. Paragraph (d) provides the same for offerings of ancillary services. Paragraph (e) sets out the requirements for posting transmission service requests and responses including service denials and curtailment or interruption of transmission. Paragraph (f) provides requirements for posting transmission service schedules. Paragraph (g) deals with posting other transmission-related communications. Finally, paragraph (h) sets out the requirements for auditing information.
Some of the proposed provisions have not been adopted. These include requirements concerning an application procedure for requesting transmission service (§ 37.9(b)(5) of the proposed regulations); requirements imposed on the reseller to notify the Transmission Provider of certain information (§ 37.9(c)(3) of the proposed regulations); and the steps that must be followed by the Transmission Provider and Requester in their negotiations (§ 37.12 of the proposed regulations). These did not prescribe information that must be posted; rather, they were concerned with how parties should conduct business in an open access environment. These matters are considered in the Open Access Final Rule.
1. **OASIS Objectives** (§ 37.6(a))
The Commission proposed five objectives for the OASIS in the RIN NOPR. 83/ Few comments were received on these objectives; none were substantive. Thus, we adopt these objectives without substantive revision in the final rule.
2. **Posting Transmission Capability** (§ 37.6(b))
a. **ATC for Network Integration Service**
The RIN NOPR discussed requiring the posting of available transmission capability for network service. As we acknowledged in the RIN NOPR, 84/ before-the-fact measurement of the availability of network transmission service is difficult. Nonetheless, it is important to give potential network customers under the Commission’s *pro forma* tariff (as discussed in the Open Access Final Rule) 85/ an easy-to-understand indicator of service availability. To this end, the Commission requested comments on how best to post the availability of network transmission service on the OASIS (Question 3).
NERC reiterated the statement in the What Group report that “it does not seem possible to post the availability of Network Integration Transmission Service” on an OASIS. No other commenter disagreed.
NERC went on to describe some of the challenges involved with calculating available transmission capability (ATC) for network integration service. Network service is a complex, long-term relationship between a requester and provider that must be investigated in detail because it involves the specification of multiple points of receipt or delivery or both. Because of the long-term nature of network service, the planning process involves a complex interrelationship of future loads and resources, with an impact on the network that is extremely location dependent. A major difficulty in estimating network ATC is the lack of specific locations for which to calculate an impact on the network. Each network service
---
83/ See RIN NOPR text at section III.C (60 FR at 66188) and the proposed regulation at 18 CFR 37.7 (60 FR 66200).
84/ See RIN NOPR text at section III.C (60 FR at 66188).
85/ See Open Access Final Rule at sections IV.G and IV.H.
request would be unique, with different sets of integrated loads and generating stations affecting the network, including its constrained paths, differently.
The Commission also asked if there were any alternative service that is more suitable to measurement than the current version of network service. Some commenters said that it might be possible to devise a concept which supports better measurement of network-like service availability, but devising and implementing such a new concept within the proposed initial implementation time line for OASIS is not feasible. The Commission is not, at this time, persuaded to require the posting of ATC for network service.
b. **Minimizing the Reporting of ATC**
(§§ 37.6(b)(1) and (3))
In the RIN NOPR, the Commission requested comments on ways to minimize the burden of ATC calculations, while ensuring that wholesale Transmission Customers have the information they need (Question 5).
Commenters suggested a number of ways to minimize the reporting of ATC, including less frequent updates, developing standardized methods for calculating ATC, and encouraging regional efforts. Most of the comments discussed ways to limit the number of paths for which ATC has to be posted.
The What Group proposed that ATC be posted only for paths as "business needs" arise. This proposal was intended to limit the number of paths for which ATC must be posted. A "business need" was defined, in part, by a Transmission Customer requesting information about a path. A number of commenters supported the proposal to limit paths based on "business need."
The Commission suggested in the RIN NOPR a different approach to the problem. Calculating ATC and updating frequency could be based, instead, on the level of activity and constraints on a given
---
86/ See, e.g., Arizona, ConEd, NEPOOL, NE Public Power District, NERC and Western Group comments.
path. This approach was supported by a number of commenters. 87/ A number of commenters wanted to leave to the Transmission Provider the decision of which paths to post ATC. 88/
Detroit Edison, Oklahoma G&E and PSNM suggested that customers could also identify paths, along with a process for deleting them. NEPOOL and Detroit Edison stated that they will post ATC for all control area interfaces and any internal constraints. The Western Group had a similar proposal.
NE Public Power District, NERC and NSP commented that ATCs should be posted only for constrained paths. PJM and WP&L proposed that, for unconstrained paths, static numbers or limits could be used and would be updated infrequently. VEPCO suggested that paths be coded by the quality of the ATC calculation used and that high quality effort be used only when ATC is less than 25 percent of the total transmission capability. ConEd suggested that posting could be sorted by frequency of update so that busier paths would be at the top of the list.
Dayton P&L suggested mandatory information on ATC be limited to: (1) identification of the interface; (2) firm and non-firm ATC (hourly for the current day, daily for the next seven days, weekly for the next four weeks, monthly for the next 12 months); and (3) price for each service.
MAPP summarized the issue well when it stated "[t]he burden of ATC calculations will be determined by the number of paths for which ATC is being calculated and posted, the accuracy needed and the frequency of required update."
The proposed regulations have been modified to implement the alternative approach suggested by the Commission in the RIN NOPR. The regulations in § 37.6(b)(1) define the paths for which ATC and TTC must be posted. These are called "posted paths."
87/ See Basin EC, Duke, NE Public Power District, Tallahassee, Union Electric, and VEPCO comments. Only Arizona said it was a bad idea because it would be too subjective and confusing.
88/ See Central Illinois Public Service, Detroit Edison, Omaha PPD, PSNM, Texas Utilities, Union Electric, and VEPCO comments.
A transmission path becomes a "posted path" in one of three ways. First, ATC and TTC must be posted for any path between two control areas. Second, posting is required for any path for which transmission service has been denied, curtailed or subject to interruption during any hour or part of an hour for a total of 24 hours in the last 12 months. In counting up to 24, curtailment for any part of an hour counts for a whole hour. Finally, Transmission Customers can request that ATC and TTC be posted for any other transmission path. Customer requested postings may be dropped if no customer has taken service on the path in the last 180 days.
The regulations in § 37.6(b)(3) define two classes of posted paths based on usage: "unconstrained" and "constrained". A constrained posted path is one for which ATC has been less than or equal to 25 percent of TTC for at least one of the last 168 hours or is calculated to be 25 percent or less of its associated posted TTC during the next 7 days. An unconstrained posted path is any posted path that is not a constrained posted path.
For constrained posted paths, ATC and TTC for firm and non-firm service would have to be posted for the next 168 hours and, thereafter, to the end of a 30-day period. In addition, ATC and TTC for firm and non-firm service must be posted for the current month and the next twelve months. However, this monthly posting for ATC and TTC for non-firm service is required only if requested by a customer. If the Transmission Provider charges separately for on-peak and off-peak periods in its tariff, ATC and TTC will be posted daily for each period. A posting for a constrained posted path must be updated when transmission service on the path is reserved or service ends or when the path's TTC changes by more than 10 percent.
For an unconstrained posted path, ATC and TTC for firm transmission service and non-firm transmission service would be required to be posted for the next seven days and for the current month and the next twelve months. 89/ If the Transmission Provider charges separately for on-peak and off-peak
89/ The terms "firm point-to-point transmission service" and "non-firm point-to-point transmission service" are
periods in its tariff, ATC and TTC will be posted for the current day and the next six days following for each period. Postings for an unconstrained posted path must be updated when the ATC changes by more than 20 percent of the path's TTC.
We will not require ATC and TTC to be posted on the OASIS more than thirteen months in advance, with the following exception. If planning and specific requested transmission studies have been done, seasonal capability shall be posted for the year following the current year and for each year following to the end of the planning horizon, but not to exceed 10 years.
c. **Methodology for Calculating ATC and TTC**
§ 37.6(b)(2))
In the RIN NOPR, the Commission discussed the requirements for calculating ATC and TTC. Recognizing that formal methods do not currently exist to calculate ATC and TTC, the Commission requested comment on how to develop a consistent, industry-wide method of calculation (Question 4).
Most commenters recommended that the Commission defer to NERC regarding the development of a consistent, industry-wide method of calculation. NERC, in turn, recommended that the Commission give deference to NERC’s ongoing, industry-wide effort. NERC’s Transmission Transfer Capability Task Force (TTC Task Force), with an expanded roster to include representation from all segments of the electric industry, was formed to develop uniform definitions for determining ATC and related terms. Because the TTC Task Force will not be finished with its assignment until May 1996, NERC recommended that the OASIS final rule not contain specific definitions of terms such as ATC, but instead be limited to a general framework within which the same information can be made available to all transmission users at the same time.
---
defined in the definition section of the pro forma tariff for point-to-point service.
90/ See RIN NOPR text at section III.C (60 FR at 66188) and the proposed regulation at 18 CFR 37.9(b)(2) (60 FR 66200).
The Commission encourages industry efforts to develop consistent methods for calculating ATC and TTC. Consequently, the final rule follows the proposed regulations in requiring that ATC and TTC be calculated based on a methodology described in the Transmission Provider's tariff and that it be "based on current industry practices, standards and criteria." (Section 37.6(b)(2)(i)).
As provided in the pro forma tariff, Transmission Providers may themselves purchase only transmission capability that is posted as available. This requirement should create an adequate incentive for them to calculate ATC and TTC as accurately and as uniformly as possible.
d. **Accommodating Flow-Based Pricing**
In the RIN NOPR, the Commission asked for comment on what requirements would have to be changed if the electric power industry moves to regional pricing, flow-based pricing, or other pricing models that depart from the "contract path" approach (Question 2).
Many commenters expressed the need for OASIS flexibility to support both contract path and actual flow models. Com Ed stated that, so long as the OASIS is flexible, appropriate postings involving ATC, price, and related information will develop for use with tariffs using flow-based pricing.
The Commission concludes that the proposed regulations were general enough to accommodate flow-based pricing methods. Therefore, we have provided no special provision regarding flow-based pricing in the final rule. Any OASIS-related issue that arises when flow-based proposals are made can be
---
91/ The pro forma tariff in the Open Access Final Rule provides that Transmission Providers must develop a method for calculating ATC and TTC and must include a description of this methodology in their tariffs.
92/ See RIN NOPR text at section III.C (60 FR at 66186).
93/ See, e.g., Consumers Power, Basin EC, ERCOT, NEPOOL, PA Com, How Group, NIEP, NYPP, NERC, Ohio Com, OK Com, Oklahoma G&E, PSNM, Texas Utilities, Western Group, PacifiCorp, and PJM comments.
dealt with at that time. We cannot accurately foresee what issues may arise concerning flow-based pricing because this is an evolving area.
e. **Actual Flow Data**
The RIN NOPR proposed the posting of actual path flow data to better inform Transmission Customers about the true network impacts of taking service on a contract path basis. The Commission asked whether there are any difficulties, technical or otherwise, associated with posting actual path flows (Question 20).
In response, commenters stated that such posting is technically difficult, but possible. However, they question the value and usefulness of such postings. Commenters stated that information on actual path flows is voluminous, excessive, and burdensome to post.
Allegheny stated that actual flow information could be commercially sensitive depending on the degree to which a generator's output can be determined from it. Oklahoma G&E stated that actual flows are meaningless unless accompanied by voltage, line thermal limits, and line first contingency incremental transfer capability. NERC commented that actual path flow postings would be irrelevant or even misleading to the Transmission Customer and should not be required. NERC added, however, that the Commission should not preclude such postings either. The How Group pointed out that, from a technical standpoint, posting actual path flows significantly increases the level of detail in information about transmission service. APPA answered that some regions already have the capability to post actual flows, but functional separation diminished the need for the Commission to require the posting of actual flows.
The final rule does not require the posting of actual path flows. As long as ATC and TTC are calculated to reflect network conditions, including parallel path constraints, actual flow data need not be
---
94/ See RIN NOPR text at section III.C (60 FR at 66191).
95/ See, e.g., Allegheny, Arizona, Central Illinois Public Service, Carolina P&L, Florida Power Corp, Montana Power, NERC, Omaha PPD, Texas Utilities, Union Electric, and VEPCO comments.
posted. The Commission may reassess this issue after reviewing the proposals of the TTC Task Force on methods for calculating ATC and TTC expected in May 1996.
f. **Providing Supporting Information** (§ 37.6(b)(2)(ii))
In the RIN NOPR, we proposed that public utilities must post all data used in calculating the ATC and TTC and make such data publicly available. 96/ The Commission received a number of comments on this proposal.
A majority of commenters stated that supporting data should not be available on the OASIS. 97/ About half of the commenters argued that the data should be available off-line. 98/ Others suggested that procedures and software used in calculating ATC and TTC must be posted. 99/ NYPP suggested that a bibliography of supporting information should be maintained on the OASIS.
Having this information available is essential for building and maintaining trust in the information posted on the OASIS. Transmission Providers generally seem willing to provide this information after-the-fact and off-line. Since this information would be used only after-the-fact and can be voluminous, the final regulations require that ATC and TTC supporting information be made available by the Responsible Party within one week of posting, on request, in their original electronic format and at the cost of reproducing the materials. A requirement specifying how long the information must be retained also has been added.
---
96/ See RIN NOPR text at section III.C (60 FR at 66190) and the proposed regulation at 18 CFR 37.9(b)(6) (60 FR 66200).
97/ See, e.g., Allegheny, Central Illinois Public Service, Continental Power Exchange, EPRI, Florida Power Corp, MAPP, NERC, NE Public Power District, NYPP, Ohio Edison, PSNM, VEPCO, Western Group, and WP&L comments.
98/ See, e.g., Allegheny, ConEd, Detroit Edison, Duke, EPRI, Idaho, MAPP, NEPOOL, NE Public Power District, Ohio Edison, PSNM, VEPCO, and Western Group comments.
99/ See, e.g., Duke, EPRI, Idaho, PSNM, Western Group comments.
g. **Long-Term Studies** (§ 37.6(b)(2)(iii))
The RIN NOPR proposed that any planning or specifically requested studies of the transmission network performed by the Transmission Provider be posted on a same-time basis.\(^{100/}\) This would include only those parts of customer-specific interconnection studies that relate to network impacts.
The majority of commenters responded that transmission planning studies should not be posted on the OASIS. ConEd and MAPP suggested an index to be maintained on the OASIS. NEPOOL, Tallahassee, and Montana Power suggested that summaries should be maintained on the OASIS.
As with the ATC supporting information, having this information available is essential for building and maintaining trust in the ATC and TTC posted on the OASIS. Since this information would be used only after-the-fact and can be voluminous, the final regulations require that final transmission studies be available from the Responsible Party on request in original electronic format and at the cost of reproducing the materials. A list of available studies is to be posted on the OASIS. A requirement specifying how long the studies must be retained also has been added.
3. **Posting Transmission Service Products and Prices** (§ 37.6(c))
Paragraph 37.6(c) of the regulations adopts several of the proposed provisions. It requires Transmission Providers to post prices and a summary of the terms and conditions of transmission products. In addition, Transmission Providers must provide a downloadable file of their complete tariffs. Furthermore, customers who use an OASIS to resell transmission capacity must submit relevant information about their resale transactions to the Transmission Provider for posting to the same OASIS as used by the Transmission Provider in originally offering that capacity. As proposed in the RIN NOPR, the Transmission Provider must post this information about resales on the same display page, using the same tables, as similar capacity being sold by it. Similarly, the information must be contained in the same
\(^{100/}\) See RIN NOPR text at section III.C (60 FR at 66191) and the proposed regulation at 18 CFR 37.8(c) (60 FR 66200).
downloadable files as the Transmission Provider's own available capacity. A customer who does not use an OASIS to arrange a resale of transmission capacity must, nevertheless, inform the original Transmission Provider of the transaction within the time limits prescribed by the "Sale or Assignment of Transmission Service" section of the pro forma tariff.
The proposed standards of conduct required a Transmission Provider that offers any discount on behalf of its power customers or those of an affiliate, to post offers for similar service containing comparable discounts, at the same time, to all Transmission Customers.
As to discounts that the Transmission Provider has agreed to give to any Transmission Customer (affiliated or unaffiliated), the Commission proposed requiring that these discounts be posted within 24 hours after the agreement is entered (measured from when ATC is adjusted in response to the agreement), and that they remain posted for 30 days. The Commission sought comment on whether all transmission discounts should be posted on the OASIS, or only those provided to the Transmission Provider or its affiliates (Question 14).
Most commenters, including representatives with diverse interests such as APPA, EEI, Continental Power Exchange, EGA, EEI, NIEP, and NRECA, argued that discounts must be made available to all customers. NRECA especially, was concerned about the potential for selective discounting. The Ohio Com, clearly concerned about allowing Transmission Providers to negotiate privately, asked that we clarify how discounting would work, and EGA raised some practical concerns about how the Commission's proposal would work. EGA asked whether, when a discount is offered to an affiliate, discounts must be offered to others on the same path, all paths, or only paths needed to get to the buyer to whom the affiliate is selling. This issue is addressed in the Open Access Final Rule, which concludes that such discounts must be offered to all customers on all unconstrained paths.
Several commenters were against discounting, but would accept discounts if they were made available to all customers. 101/ Several commenters agreed with the proposal to require posting of
101/ See ERCOT, MidAmerican, NUCOR, and Public Generating
discounts offered to affiliates and delaying the reporting of discounts to others. However, CCEM wants to change the 24-hour delay period to 30 days.
SCE&G and Union Electric would allow discounting but not post them on the OASIS. Central Hudson would post only affiliate discounts. SMUD argued that selective discounting is good and stated that, if public utilities must offer discounts to everyone, no discounts would be offered to anyone.
The question of whether discounts may be offered is discussed in the Open Access Final Rule. If a Transmission Provider offers a discount for transmission service to its own power customers or those of an affiliate, it must, at the same time, post on the OASIS an offer to provide the same discount to all eligible customers on the same path and on all unconstrained transmission paths. As to discounts for ancillary services, if a Transmission Provider offers a rate discount to an affiliate, or attributes a discounted ancillary service rate to its own transactions, the Transmission Provider must, at the same time, post on the OASIS an offer to provide the same discount to all eligible customers. If a Transmission Provider offers discounts to non-affiliates, it must offer to do so on a basis that is not unduly discriminatory. Any discounts under § 37.6(c)(3) offered to affiliates or to the Transmission Provider's own power customers must be posted on the OASIS when they are offered pursuant to § 37.4(b)(5)(v). Discounts offered to non-affiliates must be posted within 24 hours of when ATC is adjusted in response to the transaction.
4. **Posting Ancillary Service Offerings and Prices (§ 37.6(d))**
Transmission Providers are required to post on the OASIS information about all ancillary services required by the Open Access Final Rule to be provided or offered to customers. A Transmission Pool comments.
102/ See CCEM, OK Com, and Tallahassee comments.
103/ See generally Open Access Final Rule at sections IV.D and IV.G.
104/ See generally Open Access Final Rule at section IV.D.
Provider may, at its discretion, post information on the OASIS about other interconnected operation services, offered by itself or third parties, that are not services required by the Open Access Final Rule to be offered to customers. However, if a Transmission Provider elects to post these optional services for any party, including itself, then it must post on its OASIS, for a reasonable cost based fee, the same type of information about comparable optional ancillary services offered by third parties.
In the RIN NOPR, we proposed the posting of price and other information about ancillary services. 105/ We requested comment on: (1) the information needed about ancillary services (Question 12); (2) how often the information should be updated (Question 13); and (3) where on the information network offers of ancillary services by entities other than the Transmission Provider should be placed (Question 9).
While there is near consensus among commenters on the need to update ancillary services information as it changes, there is widespread disagreement on what information about ancillary services should be posted and where on the OASIS offers by other entities to provide ancillary services should be placed. Some commenters request that the Commission allow flexibility because the information requirement may depend upon the industry structure that develops in response to the Open Access Final Rule. NERC asserted that it is impractical to expect the initial OASIS to be the vehicle for posting information on the availability and price of all ancillary services.
Ancillary service providers are required to post all pertinent information about their ancillary service offerings (e.g., a description of the service being offered, its availability, and its price) so that Transmission Customers may compare offers and decide which offer best suits their needs. Information about ancillary services should be updated as it changes. Postings by customers and third parties should be on the same page, and in the same format, as postings of the Transmission Provider.
5. **Posting Transmission Service Requests and Responses** (§ 37.6(e))
105/ See RIN NOPR text at section III.C (60 FR at 66190).
Section 37.6(e) requires that all requests by customers for transmission service that the Transmission Provider offers under the pro forma tariff must be made on the OASIS. The Responsible Party is required to provide to others on the OASIS the essential information relating to such requests, with the identity of the parties masked, if requested. Additionally, the section sets out the steps that must be followed in processing such requests, including the posting of curtailments, interruptions, or denials of service. 106/ The final OASIS regulations require that a record of transactions not resulting in agreements also be kept for audit purposes. We now discuss some special issues arising under this provision and the comments relating to those provisions.
a. **Posting Curtailments and Interruptions**
(§ 37.6(e)(3))
We proposed requiring that, when a transaction is curtailed, a Transmission Provider must post the reason that the transaction was curtailed and the available options, if any, for adjusting the operation of the Transmission Provider's system to increase transfer capability in order to accommodate the transaction. 107/ Since scheduling and the curtailment of schedules would not be done through the information network initially, this curtailment data would be for information purposes only.
The Commission requested comments on what information about curtailments should be communicated on an OASIS (Question 7). Only Union Electric, among the commenters who answered this question, argued against posting information about curtailments or recording this information in an audit file. Among those who supported posting or recording, the differences were in how much information
---
106/ The Open Access Final Rule discusses curtailments at section IV.G and provides that a company's curtailment policy is to be described in its tariff.
107/ "Curtailments" are service cutbacks made for system reliability reasons and are distinguishable from "interruptions", which are made pursuant to tariff conditions.
should be provided, where the information should be placed, and who should have access to the information.
The comments expressed support for a Transmission Provider setting out in its tariff, or elsewhere, curtailment or interruption rules or constraint relief protocols. 108/ This would let a customer know what to expect when there is a constraint and would allow the Transmission Provider to be held to a formal set of procedures. Then, when a curtailment occurs, postings on the OASIS can refer to steps and reasons defined in the curtailment procedures.
Many commenters agreed that at least some basic information about curtailments needs to be posted or documented in the audit file. Several commenters pointed out that there may be some lag before these postings are placed on the OASIS because control room personnel may need time to determine and resolve the problem. 109/ Some commenters believed that these postings should be made available only to those curtailed. 110/
The proposed regulations addressed curtailments and denials of service together. In this final rule, denials are distinguished from curtailments of service. Transmission Providers are not required to offer options for making capacity available to those curtailed, but if options are offered, they must be offered to curtailed and interrupted customers at the same time.
As discussed in the Open Access Final Rule, transmission tariffs must include rules for curtailment and interruption of service, including clear steps or stages in the process for relieving constraints, and transmission service agreements must clearly identify the service's priority relative to concurrent services. Consistent with these requirements, the final rule here provides that, when
108/ See APS, NERC, and NIEP comments.
109/ See Allegheny, Com Ed, CSW, NERC, NRECA, and SCE&G comments.
110/ See, e.g., Allegheny and Central Illinois Public Service comments.
curtailments or interruptions take place, they must be posted as soon as possible and must include identification of the service (with the identity of the customer masked), the reason for the curtailment or interruption, and the tariff-defined step in the curtailment and interruption process. In the event that an emergency situation affecting system reliability delays this posting, the posting must be made as soon as practicable thereafter along with an explanation for the delayed posting.
Curtailments and interruptions will be recorded for audit purposes. This audit data should contain enough information about the timing of superseding requests and changes in ATC to document the reason for a curtailment or interruption. The final rule also provides that customers have the right to request an explanation of the reason for a curtailment or interruption.
b. Posting Denials of Requests for Service (§ 37.6(e)(2))
In the RIN NOPR, we proposed requiring that, when requests for service are denied, Transmission Providers must communicate to Transmission Customers through the OASIS: the reason(s) that the transaction(s) could not be accommodated; and the available options, if any, for adjusting the operation of the Transmission Provider's system to increase transfer capability to accommodate the transaction(s). The Commission requested comments on what information about denials of requests for service should be communicated on an OASIS (Question 7).
As with curtailments, only Union Electric out of the commenters who answered this question opposed posting information about denials of service on the OASIS or recording this information in an audit file. Many commenters agreed that at least some basic information about denials should be posted. Some commenters believed that these postings should be available only to those denied service. 111/
Service can be denied for two basic reasons: either (1) the customer requested more than the posted ATC or (2) after the request for service was made, conditions changed due to preexisting requests or
111/ See Allegheny and Central Illinois Public Service comments.
unforeseen events reducing capacity. Denials should be handled as part of the request and response process. A requester should receive a standardized reason for denial as part of the response. Denials would not be posted. Instead, denials must be recorded for audit purposes and maintained as provided in section 37.7(b). This data should contain the information about a denial needed to explain the reason for a denial. Under the final rules, customers have the right to request an explanation of the standardized reason for a denial.
c. **Transaction Anonymity**
§ 37.6(e)(3)(i)
In the RIN NOPR, we proposed that, generally, information concerning negotiations on transmission requests need not be posted unless an agreement to provide the transmission is reached. 112/ This information would be available only after-the-fact in the audit file. In addition, if an agreement is reached, the identity of parties to transmission transactions would be masked until 30 days after the date when the Transmission Provider's ATC was adjusted in response to the transaction. (This might be after the date when service begins). After that date, all transaction data would be made available. In addition, we proposed that transmission transaction prices be included in the information in the audit file. Price information concerning cost-based transmission services would not be considered commercially sensitive.
The Commission requested comment on what information should be considered commercially sensitive, the 30-day release period proposal, and on how and when commercially sensitive information should be released to concerned parties before the standard release period and whether affiliated transactions should be treated differently (Question 24).
Several commenters agreed that information about negotiations that do not reach agreement should not be reported. 113/ No commenter argued for making this information public.
---
112/ See RIN NOPR text at section III.C (60 FR at 66191) and the proposed regulation at 18 CFR 37.14(d) (60 FR 66201).
113/ See, e.g., Allegheny, Detroit Edison, El Paso, NorAm,
A number of commenters supported the 30-day delay on providing commercially sensitive information. Several, however, thought the information should be provided as soon as possible. Others thought it should be provided quarterly. WP&L proposed a 60-day delay. Dayton P&L said that the delay should depend on contract length. Union Electric suggested a delay of 30 days after the transaction begins and not after the ATC is adjusted.
Commenters split on the question of whether price data are commercially sensitive. Commenters listed several items as commercially sensitive that were proposed to be posted. These are ATC supporting information, transmission schedule information, generation run status, amount provided, terms and conditions, and duration.
114/ See Allegheny, CCEM, El Paso, Oklahoma G&E, PJM, PSNM, and Western Group comments.
115/ See APPA, Continental Power Exchange, MidAmerican Energy, and NIEP comments.
116/ See Arizona, ConEd, and NorAm comments.
117/ EGA, NUCOR, NRECA, Omaha PPD, and PJM supported the proposition that the data are not commercially sensitive. Arizona, Central Illinois Public Service, Detroit Edison, OK Com, PSNM, Seattle, and Western Group argued that the data are commercially sensitive.
118/ See Carolina P&L and El Paso comments.
119/ See Central Illinois Public Service and OK Com comments.
120/ See Allegheny, Carolina P&L, CSW, Detroit Edison, EGA, NE Public Power District, and PJM comments.
121/ See, e.g., Allegheny and WP&L comments.
122/ See Central Illinois Public Service comments.
NE Public Power District argued for full disclosure of all but generator information because, as a public entity, it must disclose such information. NIEP stated that comparability should be the ruling principle in information disclosure.
The final rule adopts the NOPR proposal and provides that the identity of parties to an agreement are confidential during ongoing negotiations and for 30 days from the time ATC is adjusted. Although not explicitly required in the new Part 37, the price of services offered on and agreed to through the OASIS are not considered commercially sensitive.\textsuperscript{124}
6. **Posting Facility Status Information**
The RIN NOPR discussed the fact that the ATC of some transmission paths depends on generator run status or megawatt output, or both, as well as on other system elements.\textsuperscript{125} We proposed requiring Transmission Providers to post information about those system elements that have a direct and significant impact on ATC. Such elements could include generators, transmission lines, phase shifters, series and shunt capacitors, static VAR compensators, special protection systems or remedial action schemes. We, therefore, requested comment on whether it is sufficient to provide information only about planned outages and (for both planned and forced outages) return dates for system elements deemed to have a direct and significant impact on ATC and whether posting this information would cause any confidentiality concerns (Question 18). We also requested comment on how "significant and direct impact" should be defined (Question 19).
Additionally, we requested comment on whether it would be sufficient to post the changes to ATC corresponding to the planned outage or return dates of generators (Question 21); and whether, if operating
\textsuperscript{123/} See Allegheny comments.
\textsuperscript{124/} We note, in this regard, that § 205(c) of the FPA requires public utilities to have their prices on file with the Commission and available for public inspection.
\textsuperscript{125/} See RIN NOPR text at section III.C (60 FR at 66191).
guides, nomograms, operating studies, and similar information were posted, the run status of those generators with a significant and direct impact on ATC could be deduced (Question 22).
Comments
A number of commenters stated that the posting of facility status information should not be a requirement. 126/ These commenters reasoned that the posted ATC and TTC values would reflect facility status impacts and that posting status information therefore would be unnecessary and burdensome, and would render the information network unmanageable. With regard to generator status and outage information, a number of respondents argued that generator status and outage-related information is commercially sensitive and confidential. 127/ They stated that posting generator-related information would give an unfair advantage to competitors. Some opposing the posting of generation-related information also added that the Commission's proposed standards of conduct would make it unnecessary to post this information because the Transmission Customer's and the Transmission Provider's wholesale marketing functions would rely on the same information. 128/ A number of Transmission Providers believed that facility status data can be archived and made available for after-the-fact audits. 129/
126/ See Allegheny, Central Illinois Public Service, Com Ed, CSW, Dayton P&L, Detroit Edison, Duke, Montana Power, NERC, NYPP, Ohio Edison, PJM, PSNM, Texas Utilities, VEPCO, and WP&L comments.
127/ See Allegheny, Arizona, Central Illinois Public Service, ConEd, Carolina P&L, CSW, Dayton P&L, Detroit Edison, Florida Power Corp, NEPOOL, NE Public Power District, NERC, NYPP, Oklahoma G&E, Omaha PPD, PJM, Texas Utilities, Union Electric, VEPCO, and WP&L comments.
128/ See Central Illinois Public Service, Carolina P&L, and Ohio Edison comments.
129/ See ConEd, CSW, Florida Power Corp, NYPP, Ohio Edison, and PSNM comments.
A second group of commenters believed that facility status information should be posted on the OASIS. With regard to generator status and outage data, Seattle responded that planned generator outage data should be updated as it changes and that an explanation of the impact of typical outage configurations should be made available to all transmission users in advance. APPA stated that the run status (on-line or off-line) of any generating unit should not be kept confidential. APPA argued that keeping such information confidential, under the guise of competitive necessity, is an excuse to protect opportunities to game the market. NCEMC stated that, because the transmission user needs to be able to do a reliability and risk assessment of various available power supply sources and transmission paths, it probably is not sufficient to post ATC changes corresponding to generation outages.
A third group of commenters suggested that, while generator status-related information should not be posted, information about transmission facilities with direct and significant impact on ATC and TTC could be posted. There were diverging views among the commenters as to whether posted ATC or TTC values would reveal the run status of generators if operating guides, nomograms, operating studies, and similar information were posted. A number of commenters responded that ATC and TTC are affected by many variables and, even though in some cases it may be possible to deduce the run status of certain generators from the posted ATC or TTC, these deductions would be uncertain.
NERC responded that it may be possible, over time, to recognize patterns and supporting data that would indicate which generator went off-line, but not whether the reason is a planned outage, forced outage, reserve shutdown, or other reasons. NERC explained that a run status so deduced would itself be
130/ See APPA, CCEM, EGA, NCEMC, NIEP, OK Com, Seattle, Tallahassee, and United Illuminating comments.
131/ See Arizona, Dayton P&L, MidAmerican, NEPOOL, PJM, and Western Group comments.
132/ See Arizona, CCEM, Central Illinois Public Service, Com Ed, ConEd, CSW, Detroit Edison, NEPOOL, NE Public Power District, VEPCO, and WP&L comments.
an estimate and not as commercially sensitive as knowing the reason for that status. Florida Power Corp and Montana Power responded that customers will be able to deduce generation-related information from changes in ATC if guides, nomograms, or studies are posted and, therefore, such information should not be posted. By contrast, a number of commenters stated that nomograms, derating tables, and operating studies can be used to identify equipment that has a direct and significant impact on ATC and TTC.
The Western Group responded that, where study results have been summarized in nomograms, derating tables, and operating guidelines and procedures, these summary forms should be made available as information on the OASIS.
A number of respondents answered that it is not necessary to define "significant and direct impact" because ATC and TTC are the only quantities that need to be posted. ConEd stated that the definition of "significant" should be consistent with local and regional procedures. Duke and Florida Power Corp commented that the Commission should work through NERC in developing appropriate definitions. NYPP, on the other hand, stated that "significant and direct impact" can be determined only on a case-by-case basis. Montana Power defined the term as a reduction of ATC that results in the denial of service. Continental Power Exchange proposed that any system element affecting ATC more than 10 percent should be considered significant. CSW proposed a 50 percent threshold. CSW further proposed to include those elements that can cause a reduction of more than 25 percent of the normal flows across an interface.
Discussion
Additional information about the state of the transmission system will enable Transmission Customers to make better decisions about the quality of the transmission service they intend to purchase. However, the development and
---
133/ See APPA, Arizona, CCEM, Idaho, NEPOOL, Oklahoma Com, Seattle, and SoCal Edison comments.
134/ See Allegheny, Com Ed, Detroit Edison, NERC, NE Public Power District, Ohio Edison, SCE&G, Texas Utilities, Union Electric, and VEPCO comments.
implementation of Phase I OASIS, in what is a relatively short period of time, requires that we limit the posting requirements of the OASIS to the essentials. We believe that audit data and information required to be provided about the reasons for curtailments and interruptions will make it possible to document unduly discriminatory practices concerning facilities critical to transmission capability. Also, as pointed out by APPA, the standards of conduct that we put in place with this rule lessen the urgency of posting additional information concerning generating unit status and transmission component status. Consequently, the Commission will not require the posting of information about the run status of generation and transmission facilities for a Phase I OASIS. We may reconsider this subject for Phase II OASIS depending on the Phase I experience.
7. **Posting Transmission Service Schedules Information** (§ 37.6(f))
The final rule consolidates and renumbers §§37.14(b) and (c) of the RIN NOPR as § 37.6(f). This provision requires information on scheduled transmission service to be recorded by the entity scheduling the transmission service and requires that the information be made available for download on the OASIS by interested parties. It also provides that postings must be made within one week of the start of the transmission service schedule agreed upon by the parties. The comments in response to the RIN NOPR did not take issue with the proposal. Thus, the provision is adopted without substantial revision.
8. **Posting Other Transmission-Related Communications** (§ 37.6(g))
Section 37.6(g) basically adopts what we proposed for the posting of "want ads" and "other communications" in § 37.9(f) of the RIN NOPR. Postings made in this section carry no obligation to respond on the part of any market participant.
This section provides that "other communications related to transmission services" (such as using the OASIS as a transmission-related conference space or to provide transmission-related messaging services between OASIS users) and "want ads" must be posted by the Responsible Party.
We received comments that urged the Commission to issue a disclaimer to the effect that, although Transmission Providers are responsible for posting other transmission-related communications at the request of third parties, it is the responsibility of the third parties requesting such postings to ensure the accuracy of the information to be posted. We agree that such a disclaimer is appropriate. We provide it in § 37.6(g)(2).
In addition, the final rule requires that transfers of personnel between the transmission and marketing functions are to be posted on the OASIS (§ 37.6(g)(3)). This incorporates the requirements of the standards of conduct at § 37.4(b)(2).
I. SECTION 37.7 -- AUDITING TRANSMISSION SERVICE INFORMATION
In the RIN NOPR, we proposed procedures that would govern the availability of records about auditing transmission service transactions. The Commission proposed requiring that historical data on postings, updates, and request/response communications be recorded for audit purposes, be downloadable from the OASIS in an appropriate format for 60 days, and be available for download on a rolling basis for three years from entry on the OASIS. These provisions are now contained in § 37.7 of the final rule. However, we have increased the time during which audit data must be available for download from 60 days to 90 days because this provides greater protection to customers.
ConEd suggested that the Commission should provide assurance to Transmission Providers that they will not be liable if they post data under the proposed audit provisions that is considered confidential by their customers. We do not believe that it would be appropriate for the Commission to issue this sort of blanket disclaimer in the absence of any particular facts or controversy. However, to the extent that a Transmission Provider posts data because this is required by the Commission's regulations, the
135/ See RIN NOPR text at section III.C (60 FR at 66191) and the proposed regulation at 18 CFR 37.14 (60 FR 66201).
Transmission Provider may, of course, assert this as a defense against any legal action brought against it based on the disclosure.
J. **STANDARDS AND COMMUNICATION PROTOCOLS**
In this section, we discuss the major issues raised in response to our proposed standards and protocols. As proposed, these are being issued in the separate *Standards and Protocols* document that we are issuing together with this final rule. As already described, the final rule states explicitly that information is to be posted on the OASIS in conformance with the specifications of the *Standards and Protocols*.
The most recent How Report (filed on April 15, 1996) shows great strides toward reaching consensus on a set of implementable standards. However, it needs to be augmented in two ways.
First, there are some internal inconsistencies. For example, there are data elements that appear in the data dictionary that do not appear in the templates and vice versa. The data elements for DUNS numbers that appear in the data dictionary need to be added to the appropriate templates. Data elements for DUNS numbers for resellers need to be added to both the data dictionary and the appropriate templates. The October 16, 1995 How Report contained standards for Transmission Services Information Timing Requirements. The most recent report substantially changed these requirements. We request that the report we are asking the How Group to submit by May 28, 1996 reinstate these requirements or explain why they should be changed.
Second, and not surprisingly, the standards and protocols must now be conformed to the requirements of the final rule. For example, necessary changes include developing file and display templates for curtailments and interruptions, developing file and display templates to place primary and resale capacity on the same displays and in the same downloadable files, and developing file and display templates to place ancillary services provided by the primary provider and others on the same display page and in the same downloadable files.
Under procedures we are instituting today, we expect the recommendations for standards and protocols to be conformed to the requirements of the final rule and for inconsistencies to be corrected in the next few months. We are issuing portions of the standards and protocols now to provide as much information as possible to allow the industry to begin the work of building necessary systems to make their OASIS nodes operational. This information, coupled with the requirements of the Open Access Final Rule and our additional procedures to complete the Standards and Protocols, should result in the OASIS nodes being operational within six months of the publication of this final rule in the Federal Register.
The April 15, 1996 How Report contains references to a yet to be established industry group, the [OASIS] Management Organization, that will maintain a registry of [OASIS] node names and perhaps perform other functions associated with maintaining a functioning [OASIS]. We agree that there is a need for an industry group to maintain a registry of OASIS node names and perform similar functions and expect that such a group will be established by the industry prior to the implementation of the OASIS requirements. The Standards and Protocols, therefore, contains a reference to this function. We expect that such a group would be composed of representatives of all segments of the electric industry and we expect to be apprised of the group's activities.
1. **Summary of Standards and Communication Protocol Requirements**
The Standards and Protocols, which we are adopting together with this final rule, require Transmission Providers to make their OASIS nodes accessible through the Internet. Each Responsible Party's OASIS is considered to be a separate node. An OASIS operated jointly by several utilities would be considered one node. By connecting each node through the Internet, transmission service information provided by each utility becomes part of a network.
We are requiring that nodes must support the use of Internet tools. The specific tools are described in the Standards and Protocols. OASIS users will access nodes using World Wide Web (WWW)
browsers. Each node will display information using the Hypertext Mark-up Language (HTML) protocol required by World Wide Web browsers. Screen displays will consist of a series of pages that may be viewed by customers without requiring the page to be downloaded and viewed by separate software. The information on each page, but not the actual displays, will be standardized. Information must also be made available for downloading, in a standardized ASCII format.
In Phase I, customers will have access to the information required to be posted by this rule and will be able to use the OASIS to reserve transmission capacity. They will be able to request capacity either by completing a standardized form contained in an on-line HTML page or by uploading a filled-out form using HTTP. Customers who want to resell transmission capacity will upload (post) the relevant information to the same OASIS node used by the primary provider from whom they purchased the ATC. Customers will also be able to upload other communications (e.g., Want Ads) containing such information as requests to purchase transmission capacity.
OASIS nodes must provide direct connections to private networks if requested to do so. The cost of the connections will be paid for by the requestor and the networks are required to use Internet tools.
The Standards and Protocols contain a model of the information requirements that must be provided at each OASIS node. Customers are limited to obtaining information from HTML text displays.
136/ The World Wide Web is a system of computer resources that are accessed through the Internet.
A Browser is a computer program for retrieving and reading hypermedia documents from the WWW. A hypermedia document can contain text, graphics, video, sound or data. These documents are often linked to other documents.
137/ ASCII refers to the American Standard Code for Information Interchange, a code for character representation.
and selecting from menus of downloadable files. Customers will receive the information either as HTML pages or as ASCII files in a predetermined form and layout.
For security purposes, and as an aid in auditing performance and transactions, all customers are required to register with the Responsible Party before they are permitted access to the utility's transmission service information on the OASIS. As registered subscribers, they will be allowed to read and download information, make requests for transmission service, place "Want Ads" and offer transmission service for resale. Commission staff and staff of state regulatory authorities are to obtain free "read only" access to the OASIS and members of the general public will also be provided "read only" access to the OASIS for the same usage fee paid by customers, once they have complied with the requisite registration procedures.
Responsible Parties are required to meet a number of performance standards and security precautions. Performance requirements include sizing OASIS nodes to handle the loading of registered subscribers, responding to subscriber requests, backing up the system, and other areas that are necessary for the system to function as desired.
2. **Number of OASIS Nodes** (Question 35)
The Commission proposed that Transmission Providers be permitted to combine their separate OASIS nodes into a single node. Thus, while there could be as many nodes as there are transmission-owning utilities, if utilities choose to combine together to create joint nodes, we could end up with a small number of nodes.
A small number of nodes would minimize the networking management requirements for the OASIS and would help ensure access to the information systems. On the other hand, the advantages of a small number of separate nodes must be weighed against the greater complexity and size of a joint node that would handle transactions for several large transmission-owning utilities at one node. The Commission requested comments on whether a small or large number of OASIS nodes should be encouraged.
The majority of commenters preferred a small number of nodes, but would not necessarily have the Commission require a small number of nodes. Some commenters advocated regional nodes. PJM speculated that, even if the Commission does not encourage a small number of nodes, economies of scale and market efficiencies will lead to smaller numbers in the normal course of events. The How Group reported that significant consolidation is already occurring:
it appears there may be 1 node in ERCOT, 13-14 nodes in the Eastern Interconnection, and 6-20 nodes in the Western Interconnection. The resulting 20-35 nodes [nationwide] is a manageable number for Customers maneuvering through the system and at the same time minimizes the impact of possible security breaches or system failures by being sufficiently distributed.
Given these comments, we believe that the question of whether there should be a small number of nodes is one best left to the industry. At this stage, flexibility in such matters is important.
3. **Direct Connections to OASIS Nodes**
(Question 36)
The Commission explained in the RIN NOPR that private networks and third party services can provide valuable contributions to the successful operation of an OASIS. The Commission, therefore, proposed to require utilities to provide direct connections to the OASIS without the need to obtain access through the Internet. We also proposed that the cost of these connections be paid for by the customers.
---
138/ See, e.g., Allegheny, Central Hudson, Central Illinois Public Service, Com Ed, Continental Power Exchange, How Group, Florida Power Corp, Montana Power, NERC, NYPP, Ohio Edison, OK Com, PJM, PSNM, Seattle, Texas Utilities, and VEPCO comments.
139/ See APPA, CCEM, ConEd, CSW, and MAPP comments.
140/ How Group comments at 19.
141/ For example, a private network could connect to one or more OASIS nodes and offer users off-the-Internet connections at faster speeds. Third parties could gather OASIS information and repackage it into customized displays favored by individual users.
making the requests and that the networks be required to use the same Internet tools as the Internet connections.
Most commenters preferred that the Commission not require third-party connections to the OASIS in Phase I. 142/ Com Ed asserted that direct connections would provide only marginal benefits to the development of an OASIS, and that adding such non-essential goals to OASIS requirements would jeopardize utilities' ability to implement an OASIS on time. Montana Power argued that direct connections would provide affluent large marketers with information ahead of smaller users, and thus would give them market power.
On the other hand, other commenters argued that such connections are important. ConEd argued that direct connections would help minimize the number of different connections customers must have. Continental Power Exchange sees direct connections as allowing third parties to provide services that will add valuable contributions to the successful operation of an OASIS. The How Group reported that discussions among the parties in the group indicated that direct connections would not be a problem as long as the Responsible Party is compensated for the additional service and given a reasonable time to make the connection.
All commenters addressing the subject of who should pay for direct connections agreed that the cost should be paid by the requesting party. 143/
CCEM and OK Com agreed that the direct connections should be required to use the Internet tools required for the Internet connection.
Finally, APPA asserted that, if private networks are created to provide direct connections that are operated by partners or affiliates of utilities, these networks could provide significant performance
142/ See, e.g., Allegheny, Com Ed, Montana, NERC, Ohio Edison, OK Com, PJM, PSNM, and VEPCO comments.
143/ See APPA, CCEM, ConEd, Continental Power Exchange, How Group, and PJM comments.
advantages for the Transmission Provider's merchant affiliates. APPA would require full public disclosure of such partnership or affiliate relationships by the service provider. We find that the How Group's position is reasonable. Direct connections are feasible if the provider is compensated for the additional service and is given a reasonable time to make the connection. We will, therefore, require direct connections in Phase I, upon request.
Moreover, such connections must be made available on an equal basis to all requesting customers. We note, however, that to the extent that the Transmission Provider is not the Responsible Party, a direct connection is available only from the Responsible Party. This being the case, APPA's concern that the Transmission Provider's merchant services may gain an advantage from an affiliate with a direct connection or private network does not appear to be warranted, as anyone can obtain a direct connection or the services of a private network.
4. **Value-Added OASIS Services Provided by Transmission Providers or Responsible Parties**
The Commission proposed in the RIN NOPR to permit Transmission Providers or Responsible Parties to provide value-added OASIS services, such as higher speed connections and automatic notification of changed data.
NTEC argued that, unless these services are offered on a non-discriminatory basis, public utilities could gain a competitive advantage by offering these services solely to affiliates. NTEC also requested the Commission to monitor the "basic" and "premium" service packages to ensure that customers need not pay a "premium" price to obtain basic services.
TAPS argued against any offering of value-added services. They argued that smaller customers may not be able to afford such services and that price could be used to discriminate against them. TAPS proposed that instead of permitting value-added services, the Commission should include all OASIS costs in transmission rates.
We agree with NTEC that value-added OASIS services should be offered on a non-discriminatory basis. If a value-added service is offered to anyone, it should be offered to everyone on the same terms and
conditions. Regarding NTEC's concern over basic and premium services, we believe that the standards setting process will ensure that the basic package of OASIS services will provide all pertinent information and the means to retrieve it that are necessary for the functioning of the Open Access program.
The Commission will allow these services on a non-discriminatory basis. Such services will remain cost-based until the Commission is satisfied that market-based (value added) rates should be allowed for such services. Requests for market-based rates for such services will be addressed on a case-by-case basis.
5. **Transmission Services Information Timing Requirements** (Question 37)
In the NOPR, the Commission requested comments on several timing requirements for posting transmission service information. These are:
(1) **Transmission Service Information Availability**: The most recent Provider transmission service information, including updates reflecting power system changes, shall be available to all Customers within 5 minutes of its scheduled posting time at least 98 percent of the time. The remaining 2 percent of the time the transmission service information shall be available within 10 minutes of its scheduled posting time;
(2) **Notification of Posted or Changed Transmission Service Information**: Notification of transmission service information posted or changed by a Provider shall be made available within 60 seconds to all subscribed Customers who are currently connected; and
(3) **Acknowledgment by the Transmission Service Information Provider**: Acknowledgment by the transmission service information provider of the receipt of Customer purchase request/response requests shall occur within 1 minute for Phase I. The actual negotiations and agreements on purchase request/response requests do not have time constraints. For Phase II, acknowledgment shall occur within 30 seconds.
Most commenters supported the Commission's proposals as proposed or with some modification. CCEM asserted that the proposed requirements for updating transmission service information contained in Item (1) would lead to stale information, and would result in customers using the
---
144/ See, e.g., APPA, Duke, How Group, Florida Power Corp, NYPP, and OK Com comments.
145/ See CCEM, Com Ed, Continental Power Exchange, PSNM, and Western Group comments.
telephone and not the OASIS. CCEM asserted that the Phase I tolerances should be reduced to 30 seconds and one minute respectively.
Continental Power Exchange asserted that items (1) and (2) are good starting points. The Western Group suggested that Item (1) would be adequate if it can be accomplished automatically. Otherwise, it would recommend reducing the 98 percent compliance requirement to 85 percent.
Some commenters agreed with the need for such standards, but opposed incorporating timing performance standards in Phase I standards. VEPCO asserted that these standards are too ambitious for Phase I. Tallahassee argued that these timing requirements may be too restrictive for small utilities whose staff and technology capabilities will be strained by this rule. Central Hudson proposed that response times be determined after OASIS is implemented and users are comfortable with what they would expect as adequate performance.
Most commenters agreed on the need for standards for how quickly providers should post transmission service information. Commenters argued that the requirements should be stricter, that they are too strict, or that they are just right.
The Commission stated that information posting performance requirements are needed to ensure that information is disseminated in a timely manner by Transmission Providers. The comments do not persuade us to change the proposed requirements. We note that the April 15, 1996 How Report drops these requirements. We request the How Group to reinstate these requirements in the report we are inviting them to file on or before May 28, 1996, or to explain why these requirements should be dropped.
Commenters raise several additional points that need to be addressed. First, Com Ed and others argued that these requirements should not be in force during emergencies. The Commission agrees.
Second, several commenters pointed out that the phrase "available to all Customers" contained in Item (1) is ambiguous and request that it should be replaced by "available on the [OASIS]." We agree.
Third, some commenters suggested that transmission service requests and schedules be approved automatically, on a first come, first served basis. The industry does not generally do business in this
manner today, and the Commission will not require it in Phase I. We request the industry to address this issue when developing requirements for Phase II.
6. **Common Codes**
a. **Company Codes**
The Commission's experience with implementing standards for file transfers and electronic bulletin boards in the natural gas industry shows that the use of a common system of identifying companies enhances the efficiency of data transfers. The Commission is satisfied with the results of using DUNS numbers 146/ as the standard to uniquely identify pipelines and shippers in the natural gas transactions. 147/ The Commission proposed to require the use of DUNS numbers to identify transmission-owning utilities and customers on OASIS nodes.
Most commenters believed that DUNS numbers alone or DUNS numbers in combination with names should be used. 148/ The How Group asserted that using DUNS numbers will enhance the management of data from a computer perspective and allow flexibility of business applications of OASIS in the future. The How Group also asserted that having commonly used names is more user friendly and proposed that the list of names and DUNs numbers be maintained on a centralized registry.
Others believed that names alone would be sufficient. 149/ NERC and Ohio Edison believed that such standardization should be left to the industry.
---
146/ DUNS numbers refer to the Data Universal Numbering System, maintained by Dun and Bradstreet.
147/ See Standards for Electronic Bulletin Boards Required Under Part 284 of the Commission's Regulations, Docket No. RM93-4-001, Order 563-A, FERC Stats. & Regs., Regulations Preambles, ¶ 30,994 at 31,034 (1994).
148/ See, e.g., Allegheny, CCEM, Com Ed, Continental Power Exchange, How Group, OK Com, and PJM comments.
149/ See Seattle, VEPCO, and Western Group comments.
APPA asserted that DUNS numbers are primarily for private companies and do not include many public power systems. Instead of using DUNS numbers, APPA recommended using a numbering system derived from Energy Information Administration forms: EIA-861 ("Annual Electric Utility Report") and EIA-867 ("Annual Nonutility Power Producer Report") as these forms appear to be the most all-encompassing existing numbering system that could be used for OASIS identification. Dun and Bradstreet have informed staff that they will assign DUNS numbers, free of charge, to any entity requesting a number.
The Commission will require the DUNS numbers as the unique numerical identification of OASIS participants. The industry can proceed to develop a naming convention as suggested in the comments.
b. **Common Location Codes**
The Commission's experience in the natural gas industry demonstrates that a common method of uniquely identifying location points will be needed to facilitate movement of power across the grid. The Commission proposed to use a system to identify locations and paths on the electric transmission grid.
Nearly all commenters who discussed the issue argued that the Commission should not require common location codes. 150/ Several commenters argued that providing longitude and latitude information for power plants and substations raises serious national security issues. 151/
Many commenters see the need for a common naming convention for paths and other facilities, such as that currently under development by the How Working Group. 152/
The Commission is persuaded to drop the requirement for a system for location codes and requests the industry to continue development of a common naming convention to be implemented as soon as practicable.
---
150/ See Allegheny, APPA, CCEM, Continental Power Exchange, Duke, How Group, ERCOT, Florida Power Corp, NERC, PJM, VEPCO, and Western Group comments.
151/ See How Group, FPC, and NERC comments.
152/ See How Group, PSNM, and Western Group comments.
7. **Data Definitions and File Formats Not Covered by the Revised How Report**
a. **Offers to Provide Ancillary Services Provided by an Entity Other Than the Transmission Provider (Question 11)**
In the RIN NOPR, the Commission requested the specifications needed to post this information in HTML displays and the formats needed to standardize uploadable and downloadable files containing this information. This final rule requires that information about ancillary services provided by an entity other than the Transmission Provider be posted on the OASIS by Responsible Parties and be displayed on the same page and in the same file format as that of the Transmission Provider.
Although we did receive comments on this issue from various parties, this was not an issue resolved by the revised How Report. We would prefer that the How Group attempt to reach consensus on this issue before we impose our own solution. Therefore, we will include this issue among those that we are requesting further input on before we address this issue in the Standards and Protocols.
b. **Offering of Primary and Secondary Capacity**
The Commission requested comments on how to redesign the download templates in Appendix C of the NOPR so that primary and secondary capacity can be offered through downloadable files that have the same format. The Commission also requested comments on how primary and secondary capacity can be displayed in the same tables on an OASIS node. Posting secondary capacity requires more information than for primary capacity and, thus, using the same formats would require many more fields. We need information on the design of those fields before we can set standards for the display of this information.
Although we did receive comments on this issue from various parties, this was not an issue resolved by the revised How Report. We would prefer that the How Group attempt to reach consensus on this issue before we impose our own solution. Therefore, we will include this issue among those that we are requesting further comment on before we address this issue in the Standards and Protocols.
8. **Formats for Downloadable Files Not Covered in the How Report**
a. **Standard Format for Data Used in Calculating ATC** (Question 16)
The Commission requested comments on how the data used in calculating ATC should be formatted and asked whether the information should be in free form text, predefined tables, or comma delimited ASCII files. We also asked whether, if the information is in free form text, it should be in plain ASCII text or in a word processor format, such as WordPerfect or Word. We deal with both of these issues in section H(2)(f) of this final rule and in the regulations at § 37.6(b)(2)(ii).
b. **Standard Formats for Transmission Studies** (Question 23)
The Commission requested comments on how transmission studies should be formatted for download from the OASIS. We deal with this issue in section H(2)(g) of this final rule and in the regulations at § 37.6(b)(2)(iii).
c. **Standard Format for Electronic Submission to the Commission of Transmission Tariffs** (Question 6)
In the RIN NOPR, the Commission proposed requiring that Transmission Providers provide downloadable files of their complete tariffs on the OASIS. The Commission requested that commenters propose a standard format for electronic submission of transmission tariffs to the Commission.
New formats continually are being developed by the computer industry and it would be worthwhile to address this issue again when the Commission addresses Phase II or remaining OASIS issues.
We will require utilities to provide tariff downloads from their OASIS in the same format that they use to file with the Commission.
9. **Communication Protocol Issues**
a. **Internet Browsers**
---
153/ See RIN NOPR text at section III.C (60 FR at 66186) and the proposed regulation at 18 CFR 37.9(c)(1) (60 FR 66200).
There are a large number of Internet browsers available commercially and in the public domain. The How Report proposed that browsers support "at least" HTML version 3 and "optionally" support Secure Sockets Layer. The HTML standards used by browsers change from time to time, and, in addition, various browsers can support different extensions to the standards. The Commission does not want to stifle innovation, but at the same time it does want uniformity on the OASIS. The Commission does not want customers to be forced to use different browsers for different OASIS nodes. The Commission wants to ensure that a customer will be able to choose a browser and use it to access all OASIS nodes.
To this end, the Commission requested comments on how to ensure that a customer will be able to choose a browser and use it to access all OASIS nodes.
Most commenters agreed that requiring browsers to support HTML 3 would be sufficient to meet the needs of OASIS nodes and customers at this time. 154/
CSW reported that while the specifications for HTML 3 are still in draft mode, it is the first version of HTML to support the table feature for browsing that the How Working Group wants to use. NYPP would add encryption capabilities to the list of standards. Ohio Edison would require JAVA-enabled browsers. 155/
OK Com recommended that the Commission adopt a primary browser and two alternative browsers for use on OASIS nodes. PJM asserted that, by requiring OASIS nodes to accommodate browsers in common use, OASIS nodes would be able to become more sophisticated as the Internet itself becomes more sophisticated.
Com Ed, ConEd and PSNM would leave the standard to the How Group or an industry-wide OASIS Management Organization.
154/ See, e.g., Allegheny, APPA, CCEM, and How Group comments.
155/ JAVA is a language that enables a browser to run programs embedded in a WWW page.
Most commenters agreed with the How Report that, requiring OASIS nodes to support HTML 3 will allow browsers supporting this standard to view documents on the OASIS. The Commission will adopt the recommendation for HTML 3 contained in the How Report.
b. **Bandwidth of Node Connections to the Internet**
At issue is the speed at which OASIS users will receive information from OASIS nodes. A major determinant of the speed are the bandwidth connections between the OASIS node and the Internet. The How Report proposed a formula to compute the required minimum bandwidth based on the number of registered users of the node and the number of bits per second to be received by users during HTML displays and downloads of files. 156/ These information transfers would include both the receipt of HTML displays and downloads of files. The How Report proposed to use a rate of 8,000 bits per second to determine bandwidth. In the RIN NOPR, the Commission noted that an 8,000 bit per second transfer rate is much slower rate than the 28,800 bit per second transfer rate for telephone connections that many private individuals and customers use to connect to the Internet. The Commission expressed concern that using 8,000 bit per second as the basis for the bandwidth calculation will lead to connections that are too slow and proposed to use 28,800 bits per second.
Many commenters agreed with the Commission. 157/ Com Ed reported that a T1 communications line (1.54 million bits per second) could support 500 simultaneous customers using the Commission's proposal of using 28,800 bits per second in the bandwidth formula. Com Ed concluded that it is unlikely that an OASIS node will experience 500 simultaneous users and that a T1 line is a reasonable upper limit, at this time. The How Group reported that its members are currently paying between $1,500 and $3,000
---
156/ How Report at § 3.4.3.
157/ See, e.g., Allegheny, APPA, CSW, OK Com, PJM, and Seattle comments.
per month for T1 connections and concludes that it may be cost effective to oversize the bandwidth even though a high bandwidth does not automatically translate into higher access speeds or download rates.
Several commenters preferred the 8,000 bits per second originally proposed by the How Group. Ohio Edison suggested that using a speed of 28,800 will dramatically increase costs and may make joint OASIS nodes less attractive. The How Group asserted that experience has shown that 8,000 bits per second is a reasonable average rate for users of the Internet. VEPCO stated that, while many customers will initially use modems rated at 28,800 bits per second, their average data transfer rate will be lower due to a number of factors. Nevertheless, VEPCO asserted that an average of 8,000 bits per second is on the low end of acceptability, especially if large files are to be downloaded or if graphics files are to be viewed. Continental Power Exchange proposed that the 19,200 bits per second be used in the formula. It asserted that this is the fastest modem speed achievable with Microsoft's Windows 3.1.
APPA speculated that there may some areas in remote locations that cannot secure a connection to the Internet with adequate bandwidth to support the 28,800 bit per second standard.
After considering the comments, the Commission continues to believe that 8,000 bits per second is too slow, especially when large files must be transferred and when information is needed promptly for business decisions. The Commission, therefore, will require that a rate of 28,800 bits per second be used in the minimum bandwidth calculation.
c. Data Compression Standards
In the RIN NOPR, the Commission expressed agreement with the How Report that data compression will speed up the transmission of files. We also expressed the belief that communication of OASIS information would be enhanced if every OASIS node used the same compression techniques.
158/ See ConEd, How Group, and Ohio Edison comments.
159/ How Report § 3.3.8(c).
The Commission requested comments on what data compression technique or techniques should be made standard for all OASIS nodes.
Most commenters recommended that the "ZIP" file compression standard be adopted as the common OASIS standard. The How Group pointed out that the ZIP format is available for most computer platforms. Some commenters, however, suggested that setting a common compression technique is too detailed for a Commission rulemaking.
Most commenters supported using the "ZIP" file compression standard on OASIS. This format is widely used for data communication and the necessary software is available for most computer platforms. The Commission will, therefore, require that the ZIP standard be the data compression standard on OASIS nodes. The Commission agrees that requiring compression for files created for each HTTP request may be too complex for Phase I. However, utilities may want to compress large files that would be infrequently updated, such as tariffs. These files will benefit from file compression and will not be subject to the complexities of compressing the dynamically created HTTP files. The Commission will require that static files residing on OASIS nodes be compressed.
d. **Other Communication Protocol Issues Raised by Commenters**
i. **The Requirement to use FTP for File Transfers**
The October 16, 1995 How Report recommended requiring OASIS nodes to use the Internet File Transfer Protocol (FTP) for file uploads and downloads. In its comments, the How Group recommended changing the file transfer method originally proposed in the How Report from the FTP to the HTTP for data access, including files upload and download to and from OASIS nodes. We will accept this recommendation.
---
160/ See APPA, CCEM, ConEd, and PSNM comments.
161/ See NERC and Ohio Edison comments.
ii. **Field Size for Path Names**
The How Report proposed that path names be a 12-character alphanumeric string. The March 7, 1996 filing by its How Group recommends that the 12 characters be changed to 50 alphanumeric characters. Subsequent to the How Report, the How Group found that 12 characters were insufficient to accommodate path names and the associated regional identifiers.
We will await final recommendations concerning file formats before ruling on this issue.
iii. **Files Containing More Than 100,000 Bytes**
The How Report recommended that customers not be required to download any single file that is larger than 100,000 bytes in order to access transmission information in electronic form. The implication is that all files larger than 100,000 bytes must be broken into sub-files.
Detroit Edison argued that there is no easy way to download only a section of a file and that customers may prefer to download one large file rather than 20 small ones.
We agree and will not require files to be broken into 100,000 byte segments at this time. In the event that a restriction on file size becomes needed, it can be addressed in Phase II.
K. **COST RECOVERY ISSUES**
1. **Costs of Developing and Running an OASIS**
(Question 34)
Transmission-owning public utilities are entitled to recover the costs of developing and running an OASIS. Generally, these costs will be fixed costs not attributable to individual users. In the NOPR, the Commission proposed to include these costs in wholesale transmission rates. The Commission also proposed to allow costs that can be identified as varying with usage to be charged as usage fees to individual customers.
The commenters were nearly evenly split between those favoring and opposing the Commission's proposals. NIEP argued that rolling-in OASIS costs would distribute costs among all transmission users equally and would be the only fair method of allocating the cost of an OASIS. NIEP concludes that, if
costs were directly assigned to individual transmission users, these users would be penalized by forcing them to pay the cost of providing information which is available to, and used by, all transmission users.
Many commenters objected to including OASIS costs in wholesale transmission rates. They argued that it is inappropriate to require network service customers (who may not participate in wholesale sales transactions) to absorb the cost of the OASIS. Indianapolis P&L claimed that it has no significant, unique transmission paths and uses its transmission assets to serve its native load customers. Consequently, most of its OASIS costs would be borne by its native load customers.
Many commenters suggested alternatives to rolling in OASIS costs. ConEd argued that, if all OASIS costs were included in wholesale transmission rates, OASIS costs might not be fully recovered since transmission use varies. To remedy this, ConEd proposed rolling in part of the costs with the remainder to be recovered through a monthly access fee. MAPP suggested usage fees based on cost causation, such as time access charges, fixed fees for transmission requests and fees based on energy scheduled over transmission secured on the OASIS. NSP suggested a fee structure like other on-line information services, such as America On Line, CompuServe, and Prodigy.
Several commenters saw other problems associated with utility recovery of OASIS costs. Some called attention to potential problems in recovering the costs of a joint OASIS. MAPP pointed out that a jointly operated OASIS will not have composite transmission tariffs from which to recover costs and that a method was needed for utilities to recover joint expenses. Detroit Edison speculated that a large number of the general public could be connected to an OASIS at one time and thus limit OASIS access to transmission users. To prevent this problem, Detroit Edison proposed that fees be established to prevent misuse or overuse of an OASIS.
It is appropriate that all wholesale transmission customers and all unbundled retail transmission customers should pay a share of OASIS development costs in their rates. Therefore, the Commission concludes that the cost of developing an OASIS should be included in unbundled transmission rates with variable costs of operating an OASIS to be recovered, to the extent possible, in usage fees. Individual rate
proceedings will determine which OASIS costs can be identified as varying with usage and how to set the fees.
2. **Costs of Posting Resales of Capacity on the OASIS**
(Question 40)
The Commission proposed that resales of capacity be posted on the same page, and using the same display and downloadable tables, as capacity being sold by the Transmission Provider. This posting incurs an expense on the part of the Responsible Party. The Commission proposed that each reseller must, therefore, pay the costs of posting its own offering.
Most commenters believed that those posting secondary services should pay the cost of posting. APPA proposed that the incremental cost of posting should be recovered as a special fee in the primary contract of transmission service. Ohio Edison proposed a fee for each posting with a "true up" mechanism to ensure that over time actual costs are recovered. Com Ed and WP&L suggested a fee that is a percentage of revenue received from the secondary postings.
NEPOOL suggested that this expense is unlikely to be significant and, therefore, could be included in rates. NRECA and NCEMC warned that posting fees not be set so high as to discourage resale of capacity. OK Com argued that it would be inappropriate to charge resellers of transmission capacity for posting if the Transmission Provider is not also required to pay a fee for posting.
After considering the comments, we have decided that there should be no added fee for posting capacity resales. All OASIS users, including the Transmission Provider, who post capacity pay all the fixed costs of OASIS in wholesale rates and pay usage-related variable costs in access fees. Thus, the costs of posting resale capacity are already recovered. To require resellers to pay additional fees for posting their products would provide OASIS operators with a cost advantage.
3. **Costs of Posting Ancillary Services on the OASIS**
The Commission proposed that entities posting offers to provide ancillary services on the OASIS should pay the costs associated with posting this information and requested comments on how to determine these costs.
Commenters proposed various fee schemes to recover these costs. Some were based on the cost of developing and maintaining posting services, others were based solely on the incremental cost of posting a notice. Some proposed to roll the costs into wholesale transmission rates. Others proposed that utilities be allowed to make a profit from this service.
Arizona proposed an incentive scheme to keep costs down, while Continental Power Exchange suggested that the method of calculating these costs be left to the industry. PJM proposed a fee based on the amount of person-hours and computer usage required by such posting. ConEd argued that utilities should be allowed to earn a profit on this service.
CSW submitted that posting costs cannot be broken out individually and proposed that the costs for an OASIS should be borne by all market participants on a fair basis. Florida Power Corp argued that an OASIS is not a newspaper, and that Transmission Providers are not in the publishing business; therefore, OASIS services, including the posting of ancillary services, should not be sold like classified ads. It proposed that the cost of operating an OASIS should be rolled into wholesale transmission rates. VEPCO also suggested that the cost of posting ancillary services should be included in the cost of the OASIS, with costs of specific evaluations of ancillary service offers to be determined and posted on the OASIS.
After assessing the comments, we find that the cost of developing the facilities needed to post ancillary services required to be provided by the Open Access Final Rule should be recovered through unbundled transmission rates. Any variable costs of posting these services will be included in the general OASIS usage fees. As for those ancillary services not required to be provided, 162/ OASIS operators may charge a cost-based fee to those offering these services for the cost of posting.
L. SECTION 37.8 -- IMPLEMENTATION IN PHASES
1. Phase I Implementation
162/ See Open Access Final Rule generally at section IV.D.
Implementation of this rule and the initial standards and protocols will ensure that sufficient information is available to transmission customers to achieve comparable access to transmission information. They do not, however, provide all the desired performance requirements.
Because of the complexity of developing an OASIS, and the need to begin the transmission open access program promptly, the Commission proposed a phased approach to OASIS implementation. We proposed to require implementation of a Phase I OASIS as of the effective date of the final rule on non-discriminatory open access transmission and stranded costs (i.e., 60 days from publication of this order in the Federal Register).
**Comments**
Many commenters argued that the proposed 60-day implementation period is unrealistic in light of the amount of work that must be done. ERCOT suggested that only portions of the Phase I implementation could be accomplished within the 60-day period. A vast majority of commenters suggested that an implementation period of six months would be required.
Arizona and ConEd pointed out that, while plans for implementation can begin in advance of the final rule, final specifications and designs depend on the resolution of several major Open Access Final Rule issues. ConEd also argued that all new systems require a "Beta" test stage in which the system can be tested before it is used in a production environment, and that a 60-day implementation period will not permit such testing. Similarly, NERC argued that more time is needed to make sure workable administrative procedures are in place for consistency in calculating, posting, and coordinating ATC. NEPOOL echoed these comments, reporting that an implementation period of less than six months would result in the development of OASIS nodes across the nation that lack uniformity as each region complies within a short deadline without time to coordinate with other areas.
Duke argued that a full six months will be needed because, in addition to the difficult task of implementing OASIS, the Open Access Final Rule will change the way the industry does business. Duke argued that the coordination of resources necessary to accommodate all of the discussions and decisions in
developing joint OASIS nodes is a more lengthy process than development of an OASIS by each individual company. Duke asserted that a six-month implementation period is needed to permit joint OASIS projects to develop.\textsuperscript{163/}
SoCal Edison requested that the Commission delay implementation until the requirements of the CA Com's California Restructuring Order have been fully identified. Public Generating Pool argued that the Northwest governors have organized a review of the Northwest Power Act, the Bonneville Power Act, and the northwest electric system in general, to be completed by November 1996. Public Generating Pool argued that the Commission should consider possible contributions to be made by this forthcoming report and urged that the Commission not ignore this work based on a need to meet self-imposed unreasonable and unrealistic OASIS implementation dates.
The How Group, the Western Group and VEPCO suggested that, if the Commission cannot extend the implementation period to six months, then Phase I should itself be implemented in stages. The How Group suggested a three-stage process that would begin with a requirement for primary providers, within 120 days after issuance of the final rule, to post estimates of ATC and secondary capacity for resale that might not be accurate. This would be followed, within 180 days after issuance of the final rule, by the posting of fully accurate secondary capacity information and ATC information, and with Transmission Providers certifying, within 210 days of the final rule, that all functionality and performance requirements for OASIS have been met.
ConEd and Carolina P&L noted that OASIS implementation will cause changes to utility operations, and requested that the Commission schedule implementation during off-peak seasons, such as the spring or fall, when they claim transmission systems are under less stress.
Public Generating Pool and Tallahassee speculated that, if publicly-owned utilities are considered to be under the Commission's jurisdiction for OASIS purposes, they will need more than a six-month
\textsuperscript{163/} NERC made this same point in its comments.
implementation period because they may be required to obtain funding approval from state or local oversight commissions.
**Discussion**
Commenters make persuasive arguments for permitting a six-month implementation period. They raise concerns that a shorter period will not permit adequate time to design, build and thoroughly test an OASIS. They also raise concerns that a shorter period will inhibit the development of joint OASIS and OASIS with a common look and feel. The Commission shares these concerns. We also want to take into account commenters' requests that implementation not be required during the peak winter or summer months. For this reason, we are requiring compliance by November 1, 1996, a specific date about six months from when we expect this final rule to become effective, chosen to avoid the winter and summer peak months. This date is provided in § 37.8 of the final rule, which modifies the provision originally set out in § 37.15 of the RIN NOPR.
In addition, we will provide additional procedures to allow the development of the remaining initial standards and protocols. As described above, we invite the How Group to report to us on or before May 28, 1996 on these issues (and to attach any comments it has received from any interested person with opposing views).
For these reasons, the Commission will require implementation of Phase I of OASIS to be operational by November 1, 1996.
2. **Phase II Implementation**
Once Phase I becomes operational, and the industry and public gain experience with it, the full information and functional requirements needed to support open access transmission service will become clearer. In the RIN NOPR, the Commission stated that it envisioned that Phase II would build on Phase I and requested that the industry continue the process of developing standards, and provide a consensus report to the Commission on Phase II recommendations by January 1, 1997.
Most commenters argued that the proposed January 1997 date is too ambitious. Southern argued that this date does not provide enough time for the industry to gain experience with Phase I. Tallahassee and others suggested that Phase II should not be implemented until at least one year after Phase I is implemented. Continental Power Exchange asserted that Phase II will be a continuum of development from the first day of Phase I implementation. NRECA suggested that, if Phase I turns out to be inadequate, then Phase II should be accelerated.
We are sensitive to commenters’ concerns about the time between the implementation of Phase I and Phase II. At the same time, the need for the additional functions and performance requirements proposed for Phase II will, we believe, need to be implemented quickly. Accordingly, the industry should continue the process of developing standards, and attempt to develop a consensus report on Phase II recommendations by no later than seven months after implementation of Phase I [insert date of first business day on or after 390 days after publication of the final rule in the Federal Register]. We anticipate that this report would be the basis for supplemental OASIS proceedings to Phase II OASIS requirements. The additional time should permit the industry to obtain sufficient experience with Phase I before it recommends specifications for Phase II.
We believe that it may be appropriate to require the scheduling of energy transfers on the OASIS in Phase II. Electronic scheduling of energy transfers over the OASIS would increase efficiency. We, therefore, request that the industry incorporate standards for the scheduling of energy transfers on OASIS into the Phase II report.
IV. **REGULATORY FLEXIBILITY ACT**
The Regulatory Flexibility Act (RFA) \textsuperscript{164/} requires the Commission to describe the impact that any proposed or final rule would have on small entities or to certify that the rule, if promulgated, will not have a significant economic impact on a substantial number of small entities. The entities that would have to comply with the final rule are public utilities and transmitting utilities that do not fall within the RFA’s
\textsuperscript{164/} 5 U.S.C. §§ 601–612.
definition of small entities. 165/ Therefore, under section 605(b) of the RFA, the Commission hereby certifies that this final rule will not have a significant economic impact on small entities within the meaning of the RFA. Accordingly, no regulatory flexibility analysis is required pursuant to section 603 of the RFA.
In its comments, NRECA questioned the Commission's conclusion that the RIN NOPR did not need to be accompanied by an RFA analysis. NRECA's argument was based on its concern that the Commission might extend OASIS requirements to non-public, not-for-profit cooperative utilities. NRECA argued that, if this were to happen, the Commission would then have to analyze the effect of the OASIS requirements on these utilities and show that the requirements would not have a substantial economic impact upon them. However, as proposed in the RIN NOPR, the Commission's OASIS regulations will apply only to public utilities that own, operate, or control transmission facilities subject to the Commission's jurisdiction. As noted immediately above, public utilities do not fall within the RFA's definition of a "small entity." In addition, as discussed earlier, and as discussed in the Open Access Final Rule, there will be a provision for a waiver for small entities. This responds to NRECA's concerns.
V. ENVIRONMENTAL STATEMENT
165/ See 5 U.S.C. §§ 601(3) and 601(6) and 15 U.S.C. § 632(a). The RFA defines a small entity as one that is independently owned and not dominant in its field of operation. See 15 U.S.C. § 632(a). In addition, the Small Business Administration defines a small electric utility as one that disposes of 4 million MWh or less of electric energy in a given year. See 13 CFR 121.601 (Major Group 49—Electric, Gas and Sanitary Services) (1995).
In the Open Access Final Rule, issued contemporaneously with this final rule, we conclude that, under these definitions, the Open Access Final Rule would not have a significant economic impact on a significant number of small entities. As this final rule only implements the OASIS requirements of the Open Access Final Rule, the same conclusion is warranted here, for the same reasons.
Commission regulations require that an environmental assessment or an environmental impact statement be prepared for a Commission action that may have a significant effect on the human environment. 166/ Although this final rule does not directly affect any physical transmission facilities, but merely requires the electronic posting by computers of certain information about transmission availability and prices, it nevertheless is covered by the Final Environmental Impact Statement issued in the Open Access NOPR proceeding in Docket Nos. RM95-8-000 and RM94-7-001 on April 12, 1996. Thus, no separate environmental assessment or environmental impact statement has been prepared in this proceeding.
VI. INFORMATION COLLECTION STATEMENT
There are now approximately 328 public utilities, including marketers and wholesale generation entities. The Commission estimates that approximately 166 of these utilities own, operate, or control facilities used for the transmission of electric energy in interstate commerce and thus are subject to this rule. However, since the operation of an OASIS will be closely associated with control areas, we assume that an OASIS will be developed at the control area level and not by each public utility that owns, operates, or controls interstate transmission facilities. We also expect that some additional OASIS nodes will be created voluntarily by non-public utilities subject to these regulations under the reciprocity condition of the pro forma tariffs. We estimate, therefore, that 140 respondents will be required to collect information. We believe that this estimate is conservative (on the high side) because some regions are likely to develop a region-wide OASIS that will cover more than one control area. 167/
This estimate is higher than the one we included in the RIN NOPR, where we estimated that there would be 84 respondents. We have adjusted our estimate in response to the arguments advanced by
166/ Regulations Implementing National Environmental Policy Act, Order No. 486, 52 FR 47897 (Dec. 17, 1987); 1986–90 Regulations Preambles, FERC Stats. & Regs. ¶ 30,783 (Dec. 10, 1987) (codified at 18 CFR Part 380).
167/ See supra (discussion quoted from How Report at 80).
NRECA and NE Public Power District, in separate letters to OMB, that the Commission's Information Collection Statement contained in the RIN NOPR failed to account for the proposal in the Open Access NOPR that, because of the reciprocity requirement, non-public utilities and cooperatives entering contracts for open access transmission services would be required to establish their own OASIS nodes or participate in a regional OASIS node.
NRECA also argued that the Commission's analysis must include not only those entities that are developing their own OASIS node, but also those entities who, while they are not developing and operating their own OASIS node, nevertheless will contribute data to their control area operators or regional OASIS operators. NRECA argued, therefore, that the Commission's estimate of the number of respondents should have taken this into account. It did.
Although not explicitly stated in the RIN NOPR, the Commission's Information Collection Statement, both in this final rule and in the RIN NOPR, has been based not only on the efforts by the respondents who will directly operate OASIS nodes but also reflects the collection of information from all significant participants in the transmission market.
**Information Collection Statement:**
*Title:* FERC-717, Real-Time Information Network Standards
*Action:* Final Rule
*OMB Control No:* 1902-0173
*Respondents:* Public Utilities that own and/or control facilities used for the transmission of electric energy in interstate commerce.
*Frequency of Responses:* On Occasion
*Necessity of the information:* The final rule requires affected public utilities to comply with requirements for an Open Access Same-time Information System (OASIS) established by the Commission to give potential customers access to information, by electronic means, that would ensure the availability of open access wholesale transmission service on a non-discriminatory basis. These requirements would support
arrangements made for wholesale sales and purchases for third parties. Public utilities or their agents will be required to give competitors and other users of the transmission system access to the same information available to public utility personnel who initiate the acquisition or disposition of power in the wholesale market and at the same time. The Commission will use the information to monitor the networks to ensure that potential purchasers of transmission services obtain the services on a non-discriminatory basis. This final rule was developed after a review of comments filed in response to issuance of a notice of public rulemaking.
The Office of Management and Budget's (OMB) regulations, 168/ require OMB to approve certain information collection requirements imposed by agency rule. The information collection requirements in the final rule will be reported directly to transmission users and will be subject to subsequent audit by the Commission. The distribution of these data will help the Commission carry out its responsibilities under Part II of the FPA.
The Commission is submitting notification of this final rule to OMB. Interested persons may obtain information on the reporting requirements by contacting the Federal Energy Regulatory Commission, 888 First Street, N.E., Washington, D.C. 20426 [Attention Michael Miller, Information Services Division, (202) 208-1415], and to the Office of Management and Budget [Attention: Desk Officer for the Federal Energy Regulatory Commission (202) 395-3087].
VII. **EFFECTIVE DATE**
The regulations of new Part 37 will become effective on [insert date 60 days after the date of publication of this final rule in the Federal Register]. The Commission has determined, with the concurrence of the Administrator of the Office of Information and Regulatory Affairs of OMB, that the Open Access Final Rule and the OASIS final rule together constitute a "major rule" as defined in section
168/ 5 CFR 1320.11.
351 of the Small Business Regulatory Enforcement Act of 1996. The rule will be submitted to both Houses of Congress and the Comptroller General prior to its publication in the Federal Register. All of the requirements prescribed in the standards of conduct must be complied with and Phase I OASIS sites that meet the requirements prescribed in this final rule must be in operation by November 1, 1996.
List of Subjects in 18 CFR Part 37
Open Access Same-Time Information System
By the Commission.
(SEAL)
Lois D. Cashell,
Secretary.
_____________________
169/ 5 U.S.C. § 804(2).
In consideration of the foregoing, the Commission amends Title 18, Code of Federal Regulations, to add a new Part 37, as set forth below.
PART 37 -- OPEN ACCESS SAME-TIME INFORMATION SYSTEMS AND STANDARDS OF CONDUCT FOR PUBLIC UTILITIES
Sec.
37.1 Applicability.
37.2 Purpose.
37.3 Definitions.
37.4 Standards of conduct.
37.5 Obligations of Transmission Providers and Responsible Parties.
37.6 Information to be posted on an OASIS.
37.7 Auditing Transmission Service Information.
37.8 Implementation schedule for OASIS requirements; phases.
AUTHORITY: 16 U.S.C. 791-825r, 2601-2645; 31 U.S.C. 9701; 42 U.S.C. 7101-7352.
§ 37.1 Applicability.
This part applies to any public utility that owns, operates, or controls facilities used for the transmission of electric energy in interstate commerce and to transactions performed under the pro forma tariff required in Part 35 of this Chapter.
§ 37.2 Purpose.
(a) The purpose of this part is to ensure that potential customers of open access transmission service receive access to information that will enable them to obtain transmission service on a non-discriminatory basis from any Transmission Provider. These rules provide standards of conduct and require the Transmission Provider (or its agent) to create and operate an Open Access Same-time Information System (OASIS) that gives all users of the open access transmission system access to the same information.
(b) The OASIS will provide information by electronic means about available transmission capability for point-to-point service and will provide a process for requesting transmission service. OASIS will enable Transmission Providers and Transmission Customers to communicate promptly requests and responses to buy and sell available transmission capacity offered under the Transmission Provider's tariff.
§ 37.3 Definitions.
(a) **Transmission Provider** means any public utility that owns, operates, or controls facilities used for the transmission of electric energy in interstate commerce.
(b) **Transmission Customer** means any eligible customer (or its designated agent) that can or does execute a transmission service agreement or can or does receive transmission service.
(c) **Responsible Party** means the Transmission Provider or an agent to whom the Transmission Provider has delegated the responsibility of meeting any of the requirements of this Part.
(d) **Reseller** means any Transmission Customer who offers to sell transmission capacity it has purchased.
(e) **Wholesale Merchant Function** means the sale for resale, or purchase for resale, of electric energy in interstate commerce.
(f) **Affiliate** means: (1) for any exempt wholesale generator, as defined under section 32(a) of the Public Utility Holding Company Act of 1935, as amended, the same as provided in section 214 of the Federal Power Act; and
(2) for any other entity, the term affiliate has the same meaning as given in § 161.2(a) of this Chapter.
§ 37.4 Standards of conduct.
A Transmission Provider must conduct its business to conform with the following standards:
(a) **General Rules** (1) Except as provided in paragraph (a)(2) of this section, the employees of the Transmission Provider engaged in transmission system operations must function independently of its employees, or the employees of any of its affiliates, who engage in Wholesale Merchant Functions.
(2) Notwithstanding any other provisions in this section, in emergency circumstances affecting system reliability, Transmission Providers may take whatever steps are necessary to keep the system in operation. Transmission Providers must report to the Commission and on the OASIS each emergency that resulted in any deviation from the standards of conduct, within 24 hours of such deviation.
(b) **Rules governing employee conduct**
(1) **Prohibitions.** Any employee of the Transmission Provider, or any employee of an affiliate, engaged in wholesale merchant functions is prohibited from: (i) conducting transmission system operations or reliability functions; and
(ii) having access to the system control center or similar facilities used for transmission operations or reliability functions that differs in any way from the access available to other open access Transmission Customers.
(2) **Transfers.** Employees engaged in either (i) wholesale merchant functions or (ii) transmission system operations or reliability functions are not precluded from transferring between such functions as long as such transfer is not used as a means to circumvent the standards of conduct of this section. Notices of any employee transfer to or from transmission system operations or reliability functions must be posted on the OASIS as provided in § 37.6 (g)(3). The information to be posted must include: the name of the transferring employee, the respective titles held while performing each function (i.e., on behalf of the Transmission Provider and wholesale merchant or affiliate), and the effective date of the transfer. The information posted under this section must remain on the OASIS for 90 days.
(3) **Information Access.** Any employee of the Transmission Provider, or of any of its affiliates, engaged in wholesale merchant functions: (i) shall have access to only that information available to the Transmission Provider's open access transmission customers (i.e., the information posted on an OASIS), and must not have preferential access to any information about the Transmission Provider's transmission system that is not available to all users of an OASIS; and
(ii) is prohibited from obtaining information about the Transmission Provider's transmission system (including information about available transmission capability, price, curtailments, ancillary services, and the like) through access to information not posted on the OASIS that is not otherwise also available to the general public without restriction, or through information through the OASIS that is not also publicly available to all OASIS users.
(4) **Disclosure.** A Transmission Provider is responsible for ensuring compliance with the following provisions: (i) Any employee of the Transmission Provider, or any employee of an affiliate, engaged in transmission system operations or reliability functions may not disclose to employees of the Transmission Provider, or any of its affiliates, engaged in wholesale merchant functions any information concerning the transmission system of the Transmission Provider or the transmission system of another (including information received from non-affiliates or information about available transmission capability, price, curtailments, ancillary services, etc.) through non-public communications conducted off the OASIS, through access to information not posted on the OASIS that is not at the same time available to the general public without restriction, or through information on the OASIS that is not at the same time publicly available to all OASIS users (such as E-mail).
(ii) If an employee of the Transmission Provider engaged in transmission system operations or reliability functions discloses information not posted on the OASIS in a manner contrary to the requirements of the standards of conduct, the Transmission Provider must immediately post such information on the OASIS.
(iii) A Transmission Provider may not share any market information, acquired from nonaffiliated Transmission Customers or potential nonaffiliated Transmission Customers, or developed in the course of responding to requests for transmission or ancillary service on the OASIS, with its own employees (or those of an affiliate) engaged in merchant functions, except to the limited extent information is required to be posted on the OASIS in response to a request for transmission service or ancillary services.
(5) **Implementing Tariffs.** (i) Employees of the Transmission Provider engaged in transmission system operations or reliability functions must strictly enforce all tariff provisions relating to the sale or purchase of open access transmission service, if these provisions do not provide for the use of discretion.
(ii) Employees of the Transmission Provider engaged in transmission system operations must apply all tariff provisions relating to the sale or purchase of open access transmission service in a fair and
impartial manner that treats all customers (including the public utility and any affiliate) in a non-discriminatory manner, if these provisions involve discretion.
(iii) The Transmission Provider must keep a log, available for Commission audit, detailing the circumstances and manner in which it exercised its discretion under any terms of the tariff.
(iv) The Transmission Provider may not, through its tariffs or otherwise, give preference to wholesale purchases or sales made on behalf of its own power customers, or those of an affiliate, over the interests of any other wholesale customer in matters relating to the sale or purchase of transmission service (including issues of price, curtailments, scheduling, priority, ancillary services, etc.).
(v) If the Transmission Provider offers a discount on purchases of transmission service made on behalf of its own power customers or those of any affiliate, then, at the same time, it must post on the OASIS an offer to provide the same discount to all Transmission Customers on the same path and on all unconstrained transmission paths.
(vi) If the Transmission Provider offers a rate discount on ancillary services to an affiliate, or attributes a discounted ancillary service rate to its own transactions, the Transmission Provider must, at the same time, post on the OASIS an offer to provide the same discount to all eligible customers.
(6) **Books and Records.** A Transmission Provider must maintain its books of account and records (as prescribed under Parts 101 and 125 of this Chapter) separately from those of its affiliates and these must be available for Commission inspection.
(c) **Maintenance of written procedures.** The Transmission Provider must maintain in a public place, and file with the Commission, current written procedures implementing the standards of conduct in such detail as will enable customers and the Commission to determine that the Transmission Provider is in compliance with the requirements of this section.
§ 37.5 **Obligations of Transmission Providers and Responsible Parties.**
(a) Each Transmission Provider is required to provide for the operation of an OASIS, either individually or jointly with other Transmission Providers, in accordance with the requirements of this Part.
The Transmission Provider may delegate this responsibility to a Responsible Party such as another Transmission Provider, an Independent System Operator, a Regional Transmission Group, or a Regional Reliability Council.
(b) A Responsible Party must: (1) provide access to an OASIS providing standardized information relevant to the availability of transmission capacity, prices, and other information (as described in this Part) pertaining to the transmission system for which it is responsible; and
(2) shall operate the OASIS in compliance with the standardized procedures and protocols found in OASIS Standards and Communication Protocols, which can be obtained from the Public Reference and Files Maintenance Branch, Room 2A, Federal Energy Regulatory Commission, 888 First Street NE, Washington, DC 20426.
(c) Transmission Providers must provide "read only" access to the OASIS to Commission staff and the staffs of State regulatory authorities, at no cost, after such staff members have complied with the requisite registration procedures.
§ 37.6 Information to be posted on an OASIS.
(a) The information posted on the OASIS must be in such detail as to allow Transmission Customers to: (1) make requests for transmission services offered by Transmission Providers, Resellers and other providers of ancillary services;
(2) view and download in standard formats, using standard protocols, information regarding the transmission system necessary to enable prudent business decision making;
(3) post, view, upload and download information regarding available products and desired services;
(4) clearly identify the degree to which their transmission service requests or schedules were denied or interrupted; and
(5) obtain access, in electronic format, to information to support available transmission capability calculations and historical transmission service requests and schedules for various audit purposes.
(b) **Posting transmission capability.** The transmission capability that is expected to be available on the Transmission Provider's system (ATC) and the total transmission capability (TTC) of that system shall be calculated and posted for each Posted Path as set out in this section.
(1) **Definitions.** For purposes of this section,
(i) **Posted Path** means any control area to control area interconnection; any path for which service is denied, curtailed or interrupted for more than 24 hours in the past 12 months; and any path for which a customer requests to have ATC or TTC posted. For this last category, the posting must continue for 180 days and thereafter until 180 days have elapsed from the most recent request for service over the requested path. For purposes of this definition, an hour includes any part of an hour during which service was denied, curtailed or interrupted.
(ii) **Constrained Posted Path** means any posted path having an ATC less than or equal to 25 percent of TTC at any time during the preceding 168 hours or for which ATC has been calculated to be less than or equal to 25 percent of TTC for any period during the current hour or the next 168 hours.
(iii) **Unconstrained Posted Path** means any posted path not determined to be a constrained posted path.
(2) **Calculation methods, availability of information, and requests.**
(i) Information used to calculate any posting of ATC and TTC must be dated and time-stamped and all calculations shall be performed according to consistently applied methodologies referenced in the Transmission Provider's transmission tariff and shall be based on current industry practices, standards and criteria.
(ii) On request, the Responsible Party must make all data used to calculate ATC and TTC for any constrained posted paths publicly available (including the limiting element(s) and the cause of the limit (e.g., thermal, voltage, stability)) in electronic form within one week of the posting. The information is
required to be provided only in the electronic format in which it was created, along with any necessary decoding instructions, at a cost limited to the cost of reproducing the material. This information is to be retained for six months after the applicable posting period.
(iii) System planning studies or specific network impact studies performed for customers to determine network impacts are to be made publicly available in electronic form on request and a list of such studies shall be posted on the OASIS. A study is required to be provided only in the electronic format in which it was created, along with any necessary decoding instructions, at a cost limited to the cost of reproducing the material. These studies are to be retained for two years.
(3) Posting. The ATC and TTC for all Posted Paths must be posted in megawatts by specific direction and in the manner prescribed in this subsection.
(i) Constrained Posted Paths.
(A) For Firm ATC and TTC: (1) The posting shall show ATC and TTC for a 30-day period. For this period postings shall be: by the hour, for the current hour and the 168 hours next following; and thereafter, by the day. If the Transmission Provider charges separately for on-peak and off-peak periods in its tariff, ATC and TTC will be posted daily for each period.
(2) Postings shall also be made by the month, showing for the current month and the 12 months next following.
(3) If planning and specific requested transmission studies have been done, seasonal capability shall be posted for the year following the current year and for each year following to the end of the planning horizon but not to exceed 10 years.
(B) For Non-Firm ATC and TTC. The posting shall show ATC and TTC for a 30-day period by the hour and days prescribed under paragraph (b)(3)(i)(A)(1) of this section and, if so requested, by the month and year as prescribed under paragraph (b)(3)(i)(A)(2) and (3) of this section.
(C) **Updating Posted Information for Constrained Paths.**
(1) The capability posted under paragraphs (b)(3)(i)(A) and (B) of this section must be updated when transactions are reserved or service ends or whenever the TTC estimate for the Path changes by more than 10 percent.
(2) All updating of hourly information shall be made on the hour.
(ii) **Unconstrained Posted Paths.** (A) Postings of ATC and TTC shall be by the day, showing for the current day and the next six days following and thereafter, by the month for the 12 months next following. If the Transmission Provider charges separately for on-peak and off-peak periods in its tariff, ATC and TTC will be posted for the current day and the next six days following for each period. These postings are to be updated whenever the ATC changes by more than 20 percent of the Path's TTC.
(B) If planning and specific requested transmission studies have been done, seasonal capability shall be posted for the year following the current year and for each year following until the end of the planning horizon but not to exceed 10 years.
(c) **Posting Transmission Service Products and Prices.** (1) Transmission Providers must post prices and a summary of the terms and conditions associated with all transmission products offered to Transmission Customers.
(2) Transmission Providers must provide a downloadable file of their complete tariffs in the same electronic format as the tariff is filed with the Commission.
(3) A Transmission Provider, within 24 hours of agreeing to sell transmission service to a non-affiliate at a discount (as measured from when ATC must be adjusted in response to the transaction), must post on the OASIS (and make available for download) information describing the transaction (including price, quantity, and any other relevant terms and conditions) and shall keep such information posted on the OASIS for at least 30 days. A record of the transaction must be retained and kept available as part of the audit log required in section 37.7. With respect to any discount offered to its own power customers or its affiliates, the Transmission Provider must, at the same time, post on the OASIS an offer to provide the same discount to all Transmission Customers on the same path and on all unconstrained transmission paths.
(4) Customers choosing to use the OASIS to offer for resale transmission capacity they have purchased must post relevant information to the same OASIS as used by the one from whom the Reseller purchased the transmission capacity. This information must be posted on the same display page, using the same tables, as similar capability being sold by the Transmission Provider, and the information must be contained in the same downloadable files as the Transmission Provider's own available capability. A customer reselling transmission capacity without the use of an OASIS must, nevertheless, inform the original Transmission Provider of the transaction within the time limits prescribed by the "Sale or Assignment of Transmission Service" section of the pro forma tariff.
(d) **Posting Ancillary Service Offerings and Prices.** (1) Any ancillary service required to be provided or offered under the pro forma tariff prescribed by Part 35 of this Chapter must be posted with the price of that service.
(2) A Transmission Provider, within 24 hours of agreeing to sell an ancillary service to a non-affiliate at a discount, must post on the OASIS (and make available for download) information describing the transaction (including price, quantity, and any other relevant terms and conditions) and shall keep such information posted on the OASIS for at least 30 days. A record of the transaction must be retained and kept available as part of the audit log required in § 37.7. As to discounts for ancillary services, if a Transmission Provider offers a rate discount to an affiliate, or attributes a discounted ancillary service rate to its own transactions, the Transmission Provider must, at the same time, post on the OASIS an offer to provide the same discount to all eligible customers.
(3) Any other interconnected operations service offered by the Transmission Provider may be posted, with the price for that service.
(4) Any entity offering an ancillary service shall have the right to post the offering of that service on the OASIS if the service is one required to be offered by the Transmission Provider under the pro forma tariff prescribed by Part 35 of this Chapter. Any entity may also post any other interconnected operations
service voluntarily offered by the Transmission Provider. Postings by customers and third parties must be on the same page, and in the same format, as postings of the Transmission Provider.
(e) **Posting Specific Transmission Service Requests and Responses.**
(1) **General Rules.** (i) All requests for transmission service offered by Transmission Providers under the *pro forma* tariff must be made on the OASIS. Requests for transmission service, and the responses to such requests, must be conducted in accordance with the Transmission Provider's tariff, the Federal Power Act, and Commission regulations.
(ii) In processing a request for transmission or ancillary service, the Responsible Party shall post the following information: the date and time when the request is made, its place in any queue, the status of that request, and the result (accepted, denied, withdrawn).
(iii) The identity of the parties will be masked -- if requested -- during the negotiating period and for 30 days from the date when the request was accepted, denied or withdrawn.
(2) **Posting when a request for transmission service is denied.** (i) When a request for service is denied, the Responsible Party must provide the reason for that denial as part of any response to the request.
(ii) Information to support the reason for the denial, including the operating status of relevant facilities, must be maintained for 60 days and provided, upon request, to the potential Transmission Customer.
(iii) Any offer to adjust operation of the Transmission Provider's System to accommodate the denied request must be posted and made available to all Transmission Customers at the same time.
(3) **Posting when a transaction is curtailed or interrupted.** (i) When any transaction is curtailed or interrupted, the curtailment or interruption must be posted (with the identities of the parties masked as required in § 37.6(e)(1)(iii)) and must state the reason why the transaction could not be continued or completed.
(ii) Information to support any such curtailment or interruption, including the operating status of the facilities involved in the constraint or interruption, must be maintained for 60 days and provided, upon request, to the curtailed or interrupted customer.
(iii) Any offer to adjust the operation of the Transmission Provider's system to restore a curtailed or interrupted transaction must be posted and made available to all curtailed and interrupted Transmission Customers at the same time.
(f) **Posting Transmission Service Schedules Information.** Information on transmission service schedules must be recorded by the entity scheduling the transmission service and must be available on the OASIS for download. Transmission service schedules must be posted no later than seven calendar days from the start of the transmission service.
(g) **Posting Other Transmission-Related Communications.** (1) The posting of other communications related to transmission services must be provided for by the Responsible Party. These communications may include "want ads" and "other communications" (such as using the OASIS as a Transmission-related conference space or to provide transmission-related messaging services between OASIS users). Such postings carry no obligation to respond on the part of any market participant.
(2) The Responsible Party is responsible for posting other transmission-related communications in conformance with the instructions provided by the third party on whose behalf the communication is posted. It is the responsibility of the third party requesting such a posting to ensure the accuracy of the information to be posted.
(3) Posting Transfers. Notices of transfers of personnel as described in § 37.4(b)(2) shall be posted.
§ 37.7 **Auditing Transmission Service Information.**
(a) All OASIS database transactions, except other transmission-related communications provided for under § 37.6(g)(2), must be stored, dated, and time stamped.
(b) Audit data must remain available for download on the OASIS for 90 days. The audit data are to be retained and made available upon request for three years from the date when they are first posted.
§ 37.8 Implementation schedule for OASIS requirements; phases.
Each Transmission Provider must develop or participate in an OASIS that meets the requirements of this Part and that is in operation by November 1, 1996. Each Transmission Provider must be in compliance with the standards of conduct prescribed in § 37.4 by November 1, 1996.
## ATTACHMENT 1
### List of Commenters to RIN NOPR
| Number | Commenter Name | Abbreviation |
|--------|----------------------------------------------------|----------------|
| 1 | ABB Systems Control | (ABB) |
| 2 | Allegheny Power Service Corporation (Allegheny) | |
| 3 | American Electric Power | (AEP) |
| 4 | American Public Power Association | (APPA) |
| 5 | City of Anaheim, CA | (Anaheim) |
| 6 | Arizona Public Service Company | (Arizona) |
| 7 | Bangor Hydro-Electric Company | (Bangor) |
| 8 | Basin Electric Power Cooperative | (Basin EC) |
| 9 | Bonneville Power Administration | (BPA) |
| 10 | California PUC | (CA Com) |
| 11 | Carolina Power & Light Company | (Carolina P&L) |
| 12 | Central Hudson Gas & Electric Corp. | (Central Hudson)|
| 13 | Central Illinois Public Service Company | (Central Illinois Public Service) |
| 14 | CINergy Corporation | (CINergy) |
| 15 | Coalition for a Competitive Electric Market | (CCEM) |
| 16 | Colorado Springs Utilities | (CSU) |
| 17 | Commonwealth Edison Company | (Com Ed) |
| 18 | Consolidated Edison Company | (ConEd) |
| 19 | Consumers Power Company | (Consumers Power) |
| 20 | Continental Power Exchange (Continental Power Exchange) | |
| 21 | CSW Companies | (CSW) |
| 22 | Dayton Power and Light Company | (Dayton P&L) |
| 23 | Detroit Edison Company | (Detroit Edison)|
| 24 | Duke Power Company | (Duke) |
| 25 | Edison Electric Institute | (EEI) |
| 26 | El Paso Electric Company | (El Paso) |
| 27 | Electric Generation Association | (EGA) |
| 28 | Electric Reliability Council of Texas (ERCOT) | |
| 29 | Entergy Services, Inc. | (Entergy) |
| 30 | Florida Electric Power Coordinating Group | (Florida CG) |
| 31 | Florida Power Corporation | (Florida Power Corp) |
| 32 | Florida PSC | (FL Com) |
| 33 | Fuel Managers Association | (Fuel Managers)|
| 34 | "How" Industry Working Group (EPRI) | (How Group) |
| 35 | Idaho Power Company | (Idaho) |
| 36 | Indiana Utility Regulatory Commission | (IN Com) |
| | Company Name | Abbreviation |
|---|--------------------------------------------------|-----------------------|
| 37| Indianapolis Power & Light Company | (Indianapolis P&L) |
| 38| Klein, Stanley A. | (Klein) |
| 39| Long Island Lighting Company | (LILCO) |
| 40| Madison Gas and Electric Company | (Madison G&E) |
| 41| Maine Public Service Company | (Maine Public Service)|
| 42| MidAmerican Energy Company | (MidAmerican) |
| 43| Mid-Continent Area Power Pool | (MAPP) |
| 44| Minnesota Power & Light Company | (Minnesota P&L) |
| 45| Missouri Public Service Commission | (MO & AK Com's) |
| 46| Montana Power Company | (Montana Power) |
| 47| National Association of Regulatory Utility Commissioners | (NARUC) |
| 48| National Independent Energy Producers | (NIEP) |
| 49| National Rural Electric Cooperative Association | (NRECA) |
| 50| Nebraska Public Power District | (NE Public Power District) |
| 51| New England Power Pool | (NEPOOL) |
| 52| New York Mercantile Exchange | (NYMEX) |
| 53| New York Power Pool | (NYPP) |
| 54| New York State Electric & Gas Corp. (NYSEG) | |
| 55| New York State PSC | (NY Com) |
| 56| NorAm Energy Services, Inc. | (NorAm) |
| 57| North American Electric Reliability Council | (NERC) |
| 58| North Carolina Electric Membership Corp. | (NCEMC) |
| 59| Northeast Texas Electric Cooperative, Inc. | (NTEC) |
| 60| Northeast Utilities | (NU) |
| 61| Northern States Power Companies | (NSP) |
| 62| Nucor Corporation | (Nucor) |
| 63| Oak Ridge National Lab, Energy Division | (Oak Ridge) |
| 64| Ohio Edison Company | (Ohio Edison) |
| 65| Ohio PUC | (Ohio Com) |
| 66| Oklahoma Corporation Commission | (OK Com) |
| 67| Oklahoma Gas & Electric | (Oklahoma G&E) |
| 68| Omaha Public Power District | (Omaha PPD) |
| 69| Ontario Hydro | (Ontario Hydro) |
| 70| Orange and Rockland Utilities, Inc. | (Orange & Rockland) |
| 71| Oregon Trail Electric Consumers Cooperative | (Oregon EC) |
| 72| Otter Tail Power Company | (Otter Tail) |
| 73| Pacific Gas and Electric Company | (PG&E) |
| 74| PacifiCorp | (PacifiCorp) |
| 75| Pennsylvania - New Jersey - Maryland | |
| Number | Organization | Abbreviation |
|--------|------------------------------------------------------------------------------|------------------|
| 76 | Pennsylvania Public Utility Commission | PA Com |
| 77 | Public Generating Pool | Public Generating Pool |
| 78 | Public Service Company of New Mexico | PSNM |
| 79 | Sacramento Municipal Utility District | SMUD |
| 80 | Salt River Project | Salt River |
| 81 | San Diego Gas & Electric Company | San Diego G&E |
| 82 | Seattle City Light | Seattle |
| 83 | Services-Oriented Open Network Technologies, Inc. | SONETECH |
| 84 | Sierra Pacific Power Company | Sierra |
| 85 | South Carolina Electric & Gas Company | SCE&G |
| 86 | South Carolina Public Service Authority | SC Public Service Authority |
| 87 | Southern California Edison Company | SoCal Edison |
| 88 | Southern Company Services, Inc. | Southern |
| 89 | Southwest Transmission Dependent Utility Group | Southwest TDU Group |
| 90 | Southwestern Public Service Company | Southwestern |
| 91 | Sunflower Electric Power Cooperative | Sunflower |
| 92 | City of Tallahassee, FL | Tallahassee |
| 93 | Tampa Electric Company | Tampa |
| 94 | Tennessee Valley Authority | TVA |
| 95 | Texas Utilities Electric Company | Texas Utilities |
| 96 | Transmission Access Policy Study Group | TAPS |
| 97 | Tucson Power Electric Power Company | Tucson Power |
| 98 | Union Electric Company | Union Electric |
| 99 | United Illuminating Company | United Illuminating |
| 100 | U.S. Department of Energy, Office of Energy Research | DOE |
| 101 | UTC, The Telecommunications Association | UTC |
| 102 | Virginia Electric and Power Company | VEPCO |
| 103 | Western Group | Western |
| 104 | Wisconsin Power & Light | WP&L |
RECOMMENDATION TO NAESB WEQ EXECUTIVE COMMITTEE
Requester: Southern Company Services
Request No.: R04005
Date: December 29, 2003
Appendix A
Data Element Dictionary
April 24, 1996
Version 1.0
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|-----------------------------------------------------------------|--------------|------------------|----------------------------|
| ANCILLARY_SERVICES_CATEGORY (alias ANC_SERV_CAT) | Category of ancillary services (to be defined) | 1|ALPHANUMERIC|20 | Text | Free-form text | A reference to ancillary service categorized defined by the Provider |
| ANCILLARY_SERVICES_PROVIDER (alias ANC_SERV_PROVIDER) | Provider of ancillary services | 1|ALPHANUMERIC|25 | Name | Unique value | Name of a provider of ancillary services |
| ANCILLARY_SERVICES_REQUIREMENTS (alias ANC_SERV_REQ) | Requirements for Ancillary Services | 1|ALPHANUMERIC|50 | Text | Free-form text | Requirements for Ancillary Services |
| ANCILLARY_SERVICES_TYPE (alias (ANC_SERV_TYPE) | Type of ancillary services (to be defined) | 1|ALPHANUMERIC|14 | Text | Free-form text | A reference to the ancillary service types defined by the Provider. This provides a sub-category for ANCILLARY_SERVICE_CATEGORY |
| ASSIGNABILITY | Assignability | 2|ALPHA|3 | Boolean | YES or NO | Identifies whether service is assignable or not. |
| ASSIGNMENT_REF (ALIAS ASSIGN_REF) | Reference for Assignment of ATC Rights | 1|ALPHANUMERIC|12 | Text | Unique value | A unique reference number assigned by a Transmission Information Provider to provide a unique record for each transmission service request. |
| BEGDATETZ (alias BEGDITZ) | Beginning Date and Time | 16 alphanumeric characters: yyyy+mo+dd+hh+mm+ss+tz | Time | Valid date and time | Beginning Date, time, and time zone. Military time is used. Example: 19960212145530PS |
| CAPACITY (alias CAP_ATC) | Available Transmission Capacity or Available Transfer Capability | 1|NUMERIC|12 | MW | Positive number | Transfer capability is the measure of the ability of the interconnected electric systems to reliably move or transfer power from one area to another over all transmission lines (or paths) between those areas under specified system conditions. In this context, 'area' may be an individual electric system, power pool, control area, subregion, or NERC region, or portion thereof. |
| CAPACITY_TYPE (alias CAP_TYPE,ATC_TYPE) | Type of Capacity | 1|ALPHANUMERIC|14 | Text | The value is selected from the _TYPE element described by the Provider in his Services_Transmission | The type of capacity being referenced. Examples include Firm, Non-Firm; Firm-On-Peak, Firm-Off-Peak, Non-Firm-On-Peak, Non-Firm-Off-Peak; |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-----------------------------------------------------------------------------|---------------------------------------------------------------------|---------------|------------------|-------------------------------------------------------------------------------------------|
| COLUMN_HEADERS (alias HEADERS) | Column headers for data | 1|ALPHANUMERIC|Unlimited | Text | Headers surrounded with " and separated by commas |
| | | | | | Example: "PATH_NAME", "POR", "POD", "SOURCE", "SINK" |
| COMMENTS | Comments | 1|ALPHANUMERIC|50 | Text | Free-form text |
| | | | | | Informative text. |
| COMPANY | Company of a Primary Provider, Secondary Provider, or Customer | 1|ALPHANUMERIC|25 | Name | Valid name of a Company |
| | | | | | The name of a Company who has services for resell. |
| CONTACT | Contact name | 1|ALPHANUMERIC|25 | Name | Valid name of a person |
| | | | | | The name of an individual contact. |
| CURTAILMENT_RESUMPTION (alias CURT_RESUMP) | Curtailment Resumption | 1|NUMERIC|12 | Priority number | Positive number | Priority in which service is resumed. |
| CURTAILMENT_MINIMUM_NOTICE (alias CURT_MIN_NOTICE) | Curtailment Minimum Notice | 1|ALPHANUMERIC|16 | Time in Hours | Positive number | Minimum time to provide notice of curtailment of service. |
| CURTAILMENT_PRIORITY (alias CP) | Curtailment Priority | 1|NUMERIC|3 | Priority number | Positive number | The order in which the schedules will be curtailed. |
| CURTAILMENT_QUEUE_ORDER (alias CURT_QUE_ORDER) | Curtailment Queue Order | 1|NUMERIC|3 | Queue number | Positive number | Priority in which curtailment of service occurs. |
| CURTAILMENT_REASON (alias CURT_REASON) | Curtailment Reasons | 1|ALPHANUMERIC|25 | Text | Free-form text |
| | | | | | Reason for curtailment of service. |
| CUSTOMER | Name of Requester and Customer Identifier (authorization password or identifier code, which at least is non-displayable and should be encrypted) | 1|ALPHANUMERIC|25 | Name | Unique value | Any eligible company (or its designated agent) that is authorized to view OASIS information, to execute a service agreement, and/or to receive transmission service. |
| CUSTOMER_CODE (alias CUST_CODE) | Transmission Customer Code | 1|NUMERIC|12 | DUNS number | Unique number | Unique DUNS number for each Customer (if available) |
| CUSTOMER_PAYMENT (alias CUST_PAYMENT) | Customer Payment | 1|ALPHANUMERIC|20 | Text | Free-form text |
| | | | | | Customer payment. |
| CUSTOMER_REQUIREMENT (alias CUST_REQUIREMENTS) | Customer Requirements | 1|ALPHANUMERIC|20 | Text | Free-form text |
| | | | | | Customer requirements. |
| DATA_RECORDS | Data included in a file | 1|ALPHANUMERIC| | Text or | Free-form text |
| | | | | | Data included in a file. |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|------------------------------------------------------------------|--------------|-------------------|----------------------------|
| DATETIMETZ (alias DTZ) | Date and Time Stamp | unlimited | numbers | or numbers | Date and Time Stamp of the information being presented to the Customer |
| DAY | Day | Query Variable | Numeric | The day is represented as an integer from 1 to 31. For some months, the maximum value may be less. | This specifies the day of the month from which the data is requested. DAY refers to a single day, while DAY-START and DAY-END refer to a range of days. |
| DAY-END, (alias EDAY) | Last day to show data | Query Variable | Numeric | The day is represented as an integer from 1 to 31. For some months, the maximum value may be less. | This specifies the day of the month from which the data is requested. DAY refers to a single day, while DAY-START and DAY-END refer to a range of days. |
| DAY-START, (alias SDAY) | First day to show data | Query Variable | Numeric | The day is represented as an integer from 1 to 31. For some months, the maximum value may be less. | This specifies the day of the month from which the data is requested. DAY refers to a single day, while DAY-START and DAY-END refer to a range of days. |
| dd | Days in date and time fields | 2|NUMERIC|2 | Time | Range of 0 to 31, validated against month | A numeric value represents the day in the month |
| DEAL_REFERENCE (alias DEALREF) | Deal Reference | 1|ALPHANUMERIC|12 | Text | Unique value | The unique reference assigned by a Customer to two or more SERVICE_PURCHASES to identify each of them as related to others in the same power service deal. These requests may be related to each |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|-----------------------------------------------------------------|---------------|------------------|------------------------------------------------|
| DISCOUNT | Discount | 0/ALPHANUMERIC/20 | Text | Free-form text | A description of any discount that applies. |
| DISCOUNT_PERCENT | Discount Percentage | 0/NUMERIC/6 | Percentage | Between 0 and 100| The percentage of any discount that applies. |
| DTMMTZ | Date and Time to minutes with time zone | 14 alphanumeric characters: yyyymmddhhmmss+tz | Time | Valid date and time | Date and time to the minute resolution and time zone. This specifies the time when the Capacity is available. |
| DTTZTS_EXPIRES | Date and time of expiration | 14 alphanumeric characters: yyyymmddhhmmss+tz | Time | Valid date and time | Represents when a Want Ad message expires (i.e., is removed from data storage). Date, time, and time zone. Military time is used. Example: 19960212145530PS |
| DTTZTS_POSTED | Date and time posted, oriented to computers | 14 alphanumeric characters: yyyymmddhhmmss+tz | Time | Valid date and time | Represents when a Want Ad message was posted. Date, time, and time zone oriented to computer interpretation. Military time is used. Example: 19960212145530PS |
| DTTZTS_QUEUED | Date and time entered into queue | 16 alphanumeric characters: yyyymmddhhmmss+tz | Time | Valid date and time | Represents when a Customer Request or a Want Ad message was queued for processing. Date, time, and time zone oriented to computer interpretation. Military time is used. Example: 19960212145530PS |
| E-MAIL (alias EMAIL) | E-mail address | 5/ALPHANUMERIC/60 | E-mail address | Valid network reference | E-MAIL address |
| ENDDATETZ (alias ENDDTZ) | Ending Date and Time | 16 alphanumeric characters: yyyymmddhhmmss+tz | Time | Valid date and time | Ending Date, time, and time zone. Military time is used. Example: 19960212145530PS |
| FAX | Fax number | 10/NUMERIC/10 | Telephone number | Area code and telephone number | A telephone number for a fax machine. |
| hh | Hour in date and time | 2/NUMERIC/2 | Time | Range of 0 to 23 | A numeric value representing the hour of the day with |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|-----------------------------------------------------------------|---------------|------------------|------------------------------------------------|
| fields | fields | | | 25 | a range of 0 to 25. The value of 25 is necessary for observance of daylight savings time. |
| HOUR | Hour | Query Variable | Numeric | An integer value between 1 and 25 representing "hour-ending" time. Hour 1 refers to the time between 00:01 to 01:00. Hour 25 refers to the extra hour added when daylight savings time changes in the fall. Default is all hours of the day. | This specifies the hour of the day or range of hours in the day for each hour data is requested. HOUR refers to a single hour, while HOUR-START and HOUR-END refer to a range of hours |
| HOUR-END, (alias EHR) | Hour | Query Variable | Numeric | An integer value between 1 and 25 representing "hour-ending" time. | This specifies the hour of the day or range of hours in the day for each hour data is requested. HOUR refers to a single hour, while HOUR-START and HOUR-END refer to a range of hours |
| HOUR-START, (alias SHR) | Hour | Query Variable | Numeric | An integer value between 1 and 25 representing "hour-ending" time. | This specifies the hour of the day or range of hours in the day for each hour data is requested. HOUR refers to a single hour, while HOUR-START and HOUR-END refer to a range of hours |
| INCREASE_OBLIGATION (alias INC_OBLIG) | Increase Obligation | 1|ALPHANUMERIC|12 | Text | Free-form text | Increase obligation. |
| INTERFACE_TYPE (alias IT) | Internal or External interface to an area | 1|ALPHA|1 | Text | E = external I = internal | The value is either the character 'I' for Internal (Intra-control area-to-control area) or the character |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|---------------------------------------------------------------|--------------|------------------|----------------------------|
| | | | | O = other | 'E' for External (Inter-control area-to-control area) or the character 'O' for Other. |
| KEYWORD | Keyword | 0|ALPHANUMERIC|16 | Text | Free-form text | A descriptive word for identification. Typically such that it would be specified for search for information. |
| mm | Minutes in date and time fields | 2|NUMERIC|2 | Time | Range of 0 to 59 | A numeric value represent the minutes of the hour |
| mo | Month in date and time fields | 2|NUMERIC|2 | Time | Range of 1 to 12 | A numeric value represent the month of the year |
| MONTH, (alias MON) | Month | Query Variable | Numeric | Month is specified as a numeric value between 1 and 12. | This specifies which month of data is requested. Normally, the date is further qualified by day (except when monthly data is requested. MONTH refers to a single month. MONTH-START and MONTH-END specify a range |
| MONTH-END, (alias EMON) | Last month to show data | Query Variable | Numeric | Month is specified as a numeric value between 1 and 12. | This specifies which month of data is requested. Normally, the date is further qualified by day (except when monthly data is requested. MONTH refers to a single month. MONTH-START and MONTH-END specify a range |
| MONTH-START, (alias SMON) | First month to show data | Query Variable | Numeric | Month is specified as a numeric value between 1 and 12. | This specifies which month of data is requested. Normally, the date is further qualified by day (except when monthly data is requested. MONTH refers to a single month. MONTH-START and MONTH-END specify a range |
| NO_OF_ROWS | Number of rows of data in a file | 1|NUMERIC|4 | Number | Range of 1 to 9999 | Number of rows of data in a file |
| NO_PREV_ASSIGN_REF (alias NO_PAREF) | Number of previous assignment references | 1|NUMERIC|4 | Number | Range of 1 to 9999 | The number of previous sales of transmission services that have been aggregated to form a new sale of a portion of those services. |
| OUTPUT_FORMAT (alias FMT) | Output Format | 4|ALPHANUMERIC|4 | Text | Values of: HTML, DATA, | Defines the format of the response. The information returned is used for either a Graphical User Interface (GUI) or as a File processed by a computer. |
| PATH_NAME (alias PATH) | Path name | 5|ALPHANUMERIC|50 | Name | Unique value | The unique name assigned to a single transmission line or the set of one or more parallel transmission lines whose power transfer capabilities are strongly |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|---------------------------------------------------------------|--------------|------------------|--------------------------------|
| | | | | | interrelated and must be determined in aggregate. These lines are typically described as being on a path, corridor or interconnection in some regions, or as crossing an interface or cut-plane in other regions. Multiple lines may be owned by different parties and require prorating of capability shares. The name is constructed from the following fields, with each code separated by a ‘/’:
REGION_CODE - 2 chars, unique to OASIS System
OWNER_CODE - 4 chars, unique within Region
PATH_CODE - 12 chars, unique for Owner
OPTIONAL_CODE - 25 chars, unique for Path. If used for directionality, then the first 12 characters shall represent POR, followed by ‘-’, followed by 12 characters which shall represent POD
SPARE_CODE - 3 chars |
| PHONE | Phone number | 10|NUMERIC|10 | Telephone number | Area code and telephone number | A telephone number. |
| POINT_OF_DELIVERY (alias POD) | Point of Delivery | 1|ALPHANUMERIC|12 | Name | Unique value | Point of Delivery is the point of interconnection on the Transmission Provider’s transmission system where capacity and/or energy transmitted by the Transmission Provider will be made available to the Receiving Party. This is used along with Point of Receipt to define a Path and direction of flow on that path. For internal paths, this would be a specific location in the area. For an external path, this may be an area-to-area interface. |
| POINT_OF_RECEIPT (alias POR) | Point of Receipt | 1|ALPHANUMERIC|12 | Name | Unique value | Point of Receipt is the point of interconnection on the Transmission Provider’s transmission system where capacity and/or energy transmitted will be made available to the Transmission Provider by the Delivering Party. This is used along with Point of |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|-----------------------------------------------------------------|--------------|------------------|------------------------------------------------|
| | Delivery to define a Path and direction of flow on that path. For internal paths, this would be a specific location in the area. For an external path, this may be an area-to-area interface. |
| PREV_ASSIGN_REF | Reference for Previous Assignment of ATC Rights | 1|ALPHANUMERIC|12 | Text | Unique value | A reference to a previous reassignment of rights, uniquely assigned by a Provider. |
| PRICE | Price | 1|NUMERIC|5 + '.' + 2|NUMERIC|2 | Dollars and cents | The offering price of the Transmission Service in dollars |
| PRICE_UNITS | Units for PRICE | 5|ALPHA|6 | Name | MW-HR, MW-DAY, KW-WK, KW-MO, KW-YR | The units used for PRICE. MW-Megawatts, KW-Kilowatts, HR-Hour, WK-Week, YR-Year |
| PRIMARY_PROVIDER (alias PPROVIDER) | Primary Provider | 1|ALPHANUMERIC|25 | Name | Unique value | Name of an Owner of transmission services |
| PROVIDER | Primary or Secondary Provider | 1|ALPHANUMERIC|25 | Name | Unique value | Name of PRIMARY_PROVIDER or SECONDARY_PROVIDER |
| PROVIDER_CODE | Provider DUNS number | 1|NUMERIC|12 | DUNS number | Valid DUNS number | Unique code for each Primary and Secondary Provider. |
| PROVIDER_OPTIONS | Provider Options | 1|ALPHANUMERIC|50 | Text | Free-form text | Represents options offered by the Provider. |
| RATE_INFORMATION | Rate information related to transmission services | 1|ALPHANUMERIC|50 | Text | Free-form text | Rate information related to transmission services |
| REASSIGNED_BEGDATETZ | Beginning Date and Time | 16 alphanumeric characters: yyyy+mo+dd+hh+mm+ss+tz | Time | Valid date and time | Date and time of the beginning of the transmission service that is reassigned to another customer. |
| REASSIGNED_CAPACITY (alias REASIGN_CAP) | Transmission Capacity or Transfer Capability that is being reassigned to another customer | 1|NUMERIC|12 | MW | Positive number, cannot exceed previous purchase | Transfer capability is the measure of the ability of the interconnected electric systems to reliably move or transfer power from one area to another over all transmission lines (or paths) between those areas under specified system conditions. In this context, 'area' may be an individual electric system, power pool, control area, subregion, or NERC region, or portion thereof. |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|-----------------------------------------------------------------|--------------|------------------|----------------------------|
| REASSIGNED_ENDDATEZ | End Date and Time | 16 alphanumeric characters: yyyymmddhhmmss+tz | Time | Valid date and time | Date and time of the end of the transmission service that is reassigned to another customer. |
| REASSIGNED_STATUS | Status | 4|ALPHABETIC|25 | Text | Valid field | Valid entries include: Posted, Received, Accepted by Seller, Accepted by Customer, Withdrawn, Rejected |
| RECALLABLE_MINIMUM_NOTICE | Recallable Minimum Notice | 1|ALPHANUMERIC|16 | Text | Free-form text | Description by the Provider regarding time to notify that a service will be recalled. |
| RECALLABLE_QUEUE_ORDER | Recallable Queue Order | 1|ALPHANUMERIC|16 | Text | Free-form text | Description by the Provider of the relative position of a services request to others of a similar type. |
| RECALLABLE_REASON | Recallable Reasons | 1|ALPHANUMERIC|16 | Text | Free-form text | Description by the Provider regarding conditions for services being recalled. |
| RECALLABLE_RESUMPTION | Recallable Resumption | 1|ALPHANUMERIC|16 | Text | Free-form text | Description by the Provider regarding resumption of services. |
| REGION | Name of Region | 1|ALPHANUMERIC|12 | Text | Unique within OASIS System | Unique name for each area within the OASIS |
| REGION_CODE | Code for Region | 1|ALPHANUMERIC|2 | Code | Unique within OASIS System | Unique Defined for NERC regions, with the following defined: E - ECAR I - MAIN S - SERC T - ERCOT A - MAPP P - SPP M - MAAC N - NPCC W - WSCC |
| RELATIVE_DAY, (alias RDAY) | Day relative to today | Query Variable | Numeric | Number greater than or equal to zero | This represents a value for DAY which is relative to TODAY. TODAY is represented as relative day 0. Days in the future are represented as positive values and days is the past are represented as negative values. TOMORROW is always relative day 1, while |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|-----------------------------------------------------------------|--------------|------------------|------------------------------------------------|
| RELATIVE_DAY_END, (alias ERDAY) | Day relative to today for end | Query Variable | Numeric | Number greater than or equal to zero | YESTERDAY is always relative day -1. This variable is used when only a single day needs to be specified. For a range of days, use the RELATIVE_DAY_START and RELATIVE_DAY_END. If RELATIVE_DAY is specified, then DAY, DAY_START, and DAY_END, RELATIVE_DAY_START and RELATIVE_DAY_END must not be specified. See above |
| RELATIVE_DAY_START, (alias SRDAY) | Day relative to today for start | Query Variable | Numeric | Number greater than or equal to zero | See above |
| REQUEST_REF | Customer Request Identifier | 1|ALPHANUMERIC|12 | Text | Unique value | A reference uniquely assigned by a Customer to a request for service from a Provider. |
| REQUEST_STATUS | Status of a response to a request | 1|NUMERIC|3+ALPHA | Status | Error number!Successful/Unsuccessful | Example: 200 !Successful |
| SELLER_COMPANY (alias SECONDARY_PROVIDER_COMPANY, S_COMPANY) | Company of a Secondary Provider | 1|ALPHANUMERIC|25 | Name | Valid name of a Customer | The name of a Customer who has services for resell. |
| SELLER_EMAIL (alias S_EMAIL) | Secondary Provider E-mail address | 5|ALPHANUMERIC|60 | E-mail address | Valid network reference | E-Mail address |
| SELLER_FAX (alias SECONDARY_PROVIDER_FAX), S_FAX | Secondary Provider Fax | 10|NUMERIC|10 | Telephone number | Area code and telephone number | The telephone number for SECONDARY_PROVIDER fax machine. |
| SELLER_NAME (alias SECONDARY_PROVIDER_NAME, S_NAME) | Secondary Provider Name | 1|ALPHANUMERIC|12 | Name | Valid name | The name of an individual working for a Secondary Provider Company. |
| SELLER_PHONE (alias SECONDARY_PROVIDER_PHONE) | Secondary Provider Phone | Numeric 10|NUMERIC|10 | Telephone | Area code and telephone number | The telephone number for SECONDARY_PROVIDER_NAME |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|-----------------------------------------------------------------|---------------|------------------|----------------------------|
| SERVICE_CATEGORY (alias SERVICE_CAT) | Service Category | 1|ALPHANUMERIC|20 | Text | Free-form text | A reference to the various service categories defined by the Provider. |
| SERVICE_DESCRIPTION | Description of Services | 1|ALPHANUMERIC| Unlimited | Text | Free-form text | Information text. |
| SERVICE_TIMING_MAXIMUM_DURATION (alias SVC_MAX_DUR) | Service Timing Maximum Duration | 1|NUMERIC|10 | Hours | Positive number | Maximum amount of time for service. |
| SERVICE_TIMING_MINIMUM_DURATION (alias SVC_MIN_DUR) | Service Timing Minimum Duration | 1|NUMERIC|10 | Hours | Positive number | Minimum amount of time for service. |
| SERVICE_TYPE | Service Type | 1|ALPHANUMERIC|14 | Text | Free-form text | A reference to the various service types defined by the Provider. This provides for a sub-category for SERVICE_CATEGORY. |
| SINK | Sink | 0|ALPHANUMERIC|14 | Name | Valid area name | The area in which the SINK is located. |
| SOURCE | Source | 0|ALPHANUMERIC|14 | Name | Valid area name | The area in which the SOURCE is located. |
| ss | Seconds in date and time fields | 2|NUMERIC|2 | Time | Range of 0 to 59 | A numeric value representing the seconds in the minute. |
| STATUS | Status = Pending, Posted, Received, Accepted by Customer, Accepted by Seller, Confirmed for Scheduling, None, Withdrawn, or Rejected | 4|ALPHABETIC|25 | Text | Valid field | Valid entries include: POSTED PENDING RECEIVED ACCEPTED BY CUSTOMER ACCEPTED BY SELLER CONFIRMED WITHDRAWN REJECTED NONE |
| SUBJECT | Subject | 1|ALPHANUMERIC|64 | Text | Free-form text | A short descriptive phrase for summarizing information text. |
| TARIFF_REFERENCE | Reference to tariff | 1|ALPHANUMERIC|20 | Text | Valid text | Valid reference to a tariff |
| TEMPLATE | Name of the Template: | Query Variable | Variable | Name of Template | This specifies which Template from which the data is returned. The following list are the names and valid values of the Templates. |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|-----------------------------------------------------------------|--------------|------------------|---------------------------|
| TEMPLATE01 | | Query Parameter | Name | sumpathhouratc | Summary Path Hourly ATC |
| TEMPLATE02 | | Query Parameter | Name | sumpatdayate | Summary Path Daily ATC |
| TEMPLATE03 | | Query Parameter | Name | sumpathmonthate | Summary Path Monthly ATC |
| TEMPLATE04 | | Query Parameter | Name | sumpathyearate | Summary Path Yearly ATC (optional) |
| TEMPLATE05 | | Query Parameter | Name | hourate | Hourly Capacity Available for Purchase |
| TEMPLATE06 | | Query Parameter | Name | dayate | Daily Capacity Available for Purchase |
| TEMPLATE07 | | Query Parameter | Name | monthate | Monthly Capacity Available for Purchase |
| TEMPLATE08 | | Query Parameter | Name | yearate | Yearly Capacity Available for Purchase (optional) |
| TEMPLATE09 | | Query Parameter | Name | scheduledate | Hourly Schedule |
| TEMPLATE10 | | Query Parameter | Name | secondatdatepost | Secondary Provider Capacity Posting (Input) |
| TEMPLATE11 | | Query Parameter | Name | secondatdateremove | Secondary Provider (Reseller) Capacity Remove (Input) |
| TEMPLATE12 | | Query Parameter | Name | servavail | Ancillary Services Available for Purchase |
| TEMPLATE13 | | Query Parameter | Name | servtrans | Services Transmission |
| TEMPLATE14 | | Query Parameter | Name | atcrequest | Customer Capacity Purchase Request (Input) |
| TEMPLATE15 | | Query Parameter | Name | atcacknowledged | TSIP Posting of "Acknowledge Receipt" of Request |
| TEMPLATE16 | | Query Parameter | Name | atcstatus | Provider Capacity Purchase Status Response to Customer Request |
| TEMPLATE17 | | Query Parameter | Name | atcaccept | Customer's Purchase Acknowledge Acceptance (Input) |
| TEMPLATE18 | | Query Parameter | Name | sellerack | Seller Form to Acknowledge Capacity Purchase Status (Input) |
| TEMPLATE19 | | Query Parameter | Name | sellerreassign | Seller Form to Reassign Service Rights to Another Customer (Input) |
| TEMPLATE20 | | Query Parameter | Name | wantadpost | Provider/Customer Want-Ad Posting Request (Input) |
| TEMPLATE21 | | Query Parameter | Name | wantadlisting | TSIP Posting of Want-Ad Response |
| TERMS_AND_CONDITIONS (alias TERM_COND) | Terms and Conditions | 0[ALPHANUMERIC] Unlimited | Text | Free-form text | Short descriptions of terms and conditions. |
| TIME_OF_LAST_UPDATE | Date and Time | 16 alphanumeric characters: | Time | Valid date and time | Date and time data was last updated on OASIS Node |
| Data Dictionary Element Name | Description | Field Format: minimum characters {type of ASCII} maximum characters | Units or Type | Restricted Values | Definition of Data Element |
|-----------------------------|-------------|-----------------------------------------------------------------|--------------|------------------|----------------------------|
| | | yyy+y+mo+dd+hh+mm+ss+tz | | | Example: 19960212145530PS |
| TOTAL_TRANSMISSION_CAPACITY (alias TTC) | Total Transmission Capacity | 1|NUMERIC|12 | Megawatt hours | Positive number | Total capacity of a Path |
| tz | Time zone in date and time fields | 2|ALPHA|2 | Time | Valid text | An alphanumeric value represent the time zone, which can take the following values: ES, ED, CS, CD, MS, MD, PS, or PD |
| UNITS | Units | 1|ALPHANUMERIC|12 | Units | Valid units | Description of type of entity being referenced |
| VERSION (alias VER) | Version | 1|REAL NUMBER|6 | Number | Range of 1.0 to 9999.9 | Specifies which version of the OASIS Requirements specification to use when interpreting the request |
| WANT_AD | Want-Ad message | 1|ALPHANUMERIC| Unlimited | Text | Free-form text | Information text. |
| YEAR | Year | 4|NUMERIC|4 | Time | Range of 1 to 12 | A numeric value represent the year |
| YEAR-END, (alias EYR) | Last year to show data for | Query Variable | Numeric | Valid year | YEAR-START and YEAR-END specify a range of years. |
| YEAR-START, (alias SYR) | First year to show data for | Query Variable | Numeric | Valid year | YEAR-START and YEAR-END specify a range of years. |
| yyyy | Year in date and time fields | 4|NUMERIC|4 | Time | Range of 1 to 12 | A numeric value represent the year |
ATTACHMENT I
FERC Order 889
Appendix B
Request (Query) Variables
[NOTE: This appendix will not appear in the Code of Federal Regulations.]
PHASE 1 OASIS Requirements, Template-specific Query Variables
Each query of the OASIS node requests data from a specific OASIS Template in the Information Model. The user specifies which OASIS Template from which to obtain data based on a “template” query variable. The query variables allowed in a request depends upon which “template” is being requested.
For each template a description of the data request is documented. Each query variable allowed for the template is listed afterwards. At the end of each template, there may be “Discussion Issues” related to the template.
This request returns the ATC and for transmission products (e.g. firm and non-firm transmission) by each provider of a given path for each hour on a given day.
**Variables**
TEMPLATE=sumpathhouratc
OUTPUT_FORMAT
VERSION
PATH-NAME
POR
POD
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
DAY (or DAY-START and DAY-END)
RELDAY (or RELDAY-START and RELDAY-END)
HOUR (or HOUR-START and HOUR-END)
TZ
Response contains on and off-peak firm and non-firm ATC and price by each provider of a given path for a given range of days.
**Variables**
TEMPLATE=sumpathdayatc
OUTPUT_FORMAT
VERSION
PATH-NAME
POR
POD
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
DAY (or DAY-START and DAY-END)
RELDAY (or RELDAY-START and RELDAY-END)
Response contains on and off-peak firm and non-firm ATC and price by each provider for a given path for a given range of months.
**Variables**
TEMPLATE=sumpathmonthatc
OUTPUT_FORMAT
VERSION
PATH-NAME
POR
POD
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
Summary Path Yearly ATC Template
Response contains on and off-peak firm and non-firm ATC and price by each provider for a given path for a given range of years.
Variables
TEMPLATE=sumpathyearatc
OUTPUT_FORMAT
VERSION
PATH-1
POR-1
POD-1
YEAR (or YEAR-START and YEAR-END)
Hourly Capacity Available for Purchase Template
Response contains firm and non-firm ATC and price for a given provider for one or more paths for each hour on a given day.
Variables
TEMPLATE=houratc
OUTPUT_FORMAT
VERSION
PROVIDER must be specified
PATH-NAME (PATH or PATH1 or PATH2, etc)
POR (or POR1 or POR2, etc)
POD (or POD1 or POD2, etc)
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
DAY (or DAY-START and DAY-END)
RELDAY (or RELDAY-START and RELDAY-END)
HOUR (or HOUR-START and HOUR-END)
TZ
Daily Capacity Available for Purchase Template
Response contains on and off-peak firm and non-firm ATC and price for a given provider for one or more paths for a given range of days.
Variables
TEMPLATE=dayatc
OUTPUT_FORMAT
VERSION
PROVIDER must be specified
PATH-NAME (PATH or PATH1 or PATH2, etc)
POR (or POR1 or POR2, etc)
POD (or POD1 or POD2, etc)
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
DAY (or DAY-START and DAY-END)
RELDAY (or RELDAY-START and RELDAY-END)
Monthly Capacity Available for Purchase Template
Response contains on and off-peak firm and non-firm ATC and price for a given provider for one or more paths for a given range of months.
Variables
TEMPLATE=monthatc
OUTPUT_FORMAT
VERSION
PROVIDER must be specified
PATH-NAME (PATH or PATH1 or PATH2, etc)
POR (or POR1 or POR2, etc)
POD (or POD1 or POD2, etc)
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
Response contains on and off-peak firm and non-firm ATC and price for a given provider for one or more paths for a given range of months.
**Variables**
TEMPLATE=yearatc
OUTPUT_FORMAT
VERSION
PROVIDER must be specified
PATH-NAME (PATH or PATH1 or PATH2, etc)
POR (or POR1 or POR2, etc)
POD (or POD1 or POD2, etc)
YEAR (or YEAR-START and YEAR-END)
Hourly Schedule Template
Response contains firm and non-firm ATC schedule by each customer for one or more paths for each hour in a given day. No price information is given. Customer names "might" not be visible.
Variables
TEMPLATE=scheduledatc
OUTPUT_FORMAT
VERSION
PROVIDER must be specified
PATH-NAME (PATH or PATH1 or PATH2, etc)
POR (or POR1 or POR2, etc)
POD (or POD1 or POD2, etc)
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
DAY (or DAY-START and DAY-END)
RELDAY (or RELDAY-START and RELDAY-END)
HOUR (or HOUR-START and HOUR-END)
TZ
Secondary Provider Capacity Posting (Input)
Input contains information to post ATC for sale by a secondary provider.
Variables
TEMPLATE=secondatcpost
VERSION
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
DAY (or DAY-START and DAY-END)
RELDAY (or RELDAY-START and RELDAY-END)
HOUR (or HOUR-START and HOUR-END)
TZ
POR
POD
PATH
PROVIDER
CAPACITY
CAPACITY_TYPE
INTERFACE_TYPE
REQUEST_REF
PRICE
UNITS
TERMS_AND_CONDITIONS
COMMENTS
SELLER_NAME
SELLER_COMPANY
SELLER_PHONE
SELLER_FAX
SELLER_EMAIL
PREV_ASSIGN_REF
REASSIGNED_CAPACITY
BEGDATETZ
ENDDATETZ
COMMENTS
Secondary Provider (Reseller) Capacity Remove (Input)
Input contains information about a previously posted ATC for sale by a secondary provider.
Variables
TEMPLATE=secondatcremove
VERSION
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
DAY (or DAY-START and DAY-END)
RELDAY (or RELDAY-START and RELDAY-END)
HOUR (or HOUR-START and HOUR-END)
TZ
PROVIDER
POR
POD
PATH
CAPACITY
CAPACITY_TYPE
INTERFACE_TYPE
REQUEST_REF
PRICE
UNITS
TERMS_AND_CONDITIONS
COMMENTS
SELLER_NAME
SELLER_COMPANY
SELLER_PHONE
SELLER_FAX
SELLER_EMAIL
Ancillary Services Available for Purchase
Response contains a list of ancillary services provided by a given Service Provider.
Variables
TEMPLATE=servavail
OUTPUT_FORMAT
VERSION
PROVIDER
Response contains Transmission services tariff information about each service by the given provider.
**Variables**
TEMPLATE=servtrans
OUTPUT_FORMAT
VERSION
PROVIDER
Customer Capacity Purchase Request (Input)
Input contains information necessary to purchase transmission capacity of a specific type (firm or non-firm) at a specific time.
Variables
TEMPLATE=atcrequest
OUTPUT_FORMAT
VERSION
POR
POD
PATH
CAPACITY
CAPACITY_TYPE
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
DAY (or DAY-START and DAY-END)
RELDAY (or RELDAY-START and RELDAY-END)
HOUR (or HOUR-START and HOUR-END)
TZ
PRICE
CUSTOMER
DISCOUNT
DEAL_REF
ANCILLARY_SERVICES_REQUIREMENTS
INTERFACE_TYPE
COMMENTS
TSIP Posting of “Acknowledge Receipt” of Request
Response contains the customer capacity purchase information.
Variables
TEMPLATE=atcacknowledge
OUTPUT_FORMAT
VERSION
Provider Capacity Purchase Status Response to Customer Request
Response contains the STATUS and QUEUE INFORMATION for a given customer capacity Purchase Request.
Variables
TEMPLATE=atcstatus
OUTPUT_FORMAT
VERSION
POR
POD
PATH
CAPACITY
CAPACITY_TYPE
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
DAY (or DAY-START and DAY-END)
RELDAY (or RELDAY-START and RELDAY-END)
HOUR (or HOUR-START and HOUR-END)
TZ
PRICE
CUSTOMER
DISCOUNT
DEAL_REF
ANCILLARY_SERVICES_REQUIREMENTS
INTERFACE_TYPE
COMMENTS
Customer's Purchase Acknowledge Acceptance (Input)
Input contains the Provider Capacity Purchase Status for a given customer Capacity Purchase Request and an indication of acceptance or rejection of the purchase.
Variables
TEMPLATE=atcaccept
OUTPUT_FORMAT
VERSION
STATUS (must be either “Accepted” or “Rejected”)
POR
POD
PATH
CAPACITY
CAPACITY_TYPE
YEAR (or YEAR-START and YEAR-END)
MONTH (or MONTH-START and MONTH-END)
DAY (or DAY-START and DAY-END)
RELDAY (or RELDAY-START and RELDAY-END)
HOUR (or HOUR-START and HOUR-END)
TZ
PRICE
CUSTOMER
DISCOUNT
DEAL_REF
ANCILLARY_SERVICES_REQUIREMENTS
INTERFACE_TYPE
COMMENTS
Seller Form to Acknowledge Capacity Purchase Status (Input)
Input contains the Seller's status, queue, and reference number of a Customer Purchase Request.
Variables
TEMPLATE=sellerack
VERSION
STATUS
DTTZTS_QUEUED
REQUEST_REF
POR
POD
PATH
PROVIDER
SELLER_NAME
CAPACITY
CAPACITY_TYPE
CUSTOMER
DISCOUNT
DEAL_REFERENCE
SERVICE_DESCRIPTION
ASSIGNMENT_REF
INTERFACE_TYPE
COMMENTS
PREV_ASSIGN_REF The following may contain multiple values
PREV_CAPACITY
PREV_STATUS
PREV_BEGDATETZ
PREV_ENDDATETZ
PREV_COMMENTS
Seller Form to Reassign Service Rights to Another Customer (Input)
Input contains the Seller's status, queue, and reference number of a Customer Purchase Request.
Variables
TEMPLATE=sellerreassign
VERSION
POR
POD
PATH
PROVIDER
SELLER_NAME
CAPACITY
CAPACITY_TYPE
BEGDATETZ
ENDDATETZ
REQUEST_REF
CUSTOMER
DISCOUNT
DEAL_REFERENCE
SERVICE_DESCRIPTION
ASSIGNMENT_REF
INTERFACE_TYPE
DTZZTS_QUEUED
COMMENTS
PREV_ASSIGN_REF The following may contain multiple values
PREV_CAPACITY
PREV_STATUS
PREV_BEGDATETZ
PREV_ENDDATETZ
PREV_COMMENTS
Provider/Customer Want-Ad Posting Request (Input)
Input contains the want-ad information to post on the OASIS.
Variables
TEMPLATE=wantadpost
VERSION
YEAR Date when message expires
MONTH
DAY
HOUR
CUSTOMER (or PROVIDER)
CONTACT must be specified
PHONE must be specified (if FAX or E-MAIL is blank)
FAX must be specified (if PHONE or E-MAIL is blank)
E-MAIL must be specified (if PHONE or FAX is blank)
KEYWORD
SUBJECT must be specified
WANT-AD must be specified
TSIP Posting of Want-Ad Response
Response contains the want-ad information on the OASIS.
Variables
TEMPLATE=wantadlisting
OUTPUT_FORMAT
VERSION
SUBJECT [optional]
WANT-AD [optional]
|
The Electron-Phonon Interaction in GaAs/(AlGa)As Quantum Wells
Andrew John Cross
Submitted to the Faculty of Science, University of Nottingham for the Degree of Doctor of Philosophy (PhD)
May 2001
ACKNOWLEDGEMENTS ........................................................................................................... 3
ABSTRACT ................................................................................................................................. 4
1 INTRODUCTION .................................................................................................................. 6
1.1 INTRODUCTION AND OVERVIEW ............................................................................. 6
1.2 ACOUSTIC PHONONS ............................................................................................... 6
1.3 MEASUREMENT OF ENERGY RELAXATION RATE IN 2DEG SYSTEMS .............. 7
1.4 DIRECT PHONON MEASUREMENTS ....................................................................... 9
1.5 SUMMARY .................................................................................................................. 16
2 THEORY ............................................................................................................................... 18
2.1 INTRODUCTION .......................................................................................................... 18
2.2 PROPERTIES OF TWO DIMENSIONAL ELECTRON GASES .................................. 18
2.3 PROPERTIES OF PHONONS IN SEMICONDUCTORS ............................................ 30
2.4 THE ELECTRON-PHONON INTERACTION ............................................................... 41
3 THEORY RESULTS AND DISCUSSION ........................................................................... 56
3.1 INTRODUCTION .......................................................................................................... 56
3.2 COMPUTER SIMULATION OF 2D PHONON SYSTEM ............................................ 56
3.3 COMPUTER SIMULATION OF PHONON FOCUSING ............................................... 60
3.4 CALCULATIONS OF ELECTRON ENERGY RELAXATION FROM A HEATED 2DEG QUANTUM WELL ................................................................. 63
3.5 COMPARISON OF THE FULL MODEL WITH THE "CLASSICAL" MODEL ................ 96
3.6 CONCLUSIONS .......................................................................................................... 98
4 DEVICE FABRICATION AND EXPERIMENTAL TECHNIQUE ........................................ 101
4.1 INTRODUCTION .......................................................................................................... 101
4.2 EXPERIMENTAL ARRANGEMENT ........................................................................... 101
4.3 ACQUISITION AND PROCESSING OF EXPERIMENTAL DATA ................................ 109
4.4 SAMPLE PROCESSING .............................................................................................. 114
4.5 THE PHONON EMISSION EXPERIMENT .................................................................. 124
5 EXPERIMENTAL RESULTS AND DISCUSSION .............................................................. 131
5.1 INTRODUCTION .......................................................................................................... 131
5.2 ACOUSTIC PHONON EMISSION FROM A 2DEG QUANTUM WELL ....................... 136
5.3 OPTIC PHONON EMISSION ...................................................................................... 162
5.4 SUMMARY .................................................................................................................. 170
6 CONCLUSIONS ................................................................................................................... 172
APPENDIX A: ........................................................................................................................ 175
REFERENCES ........................................................................................................................ 178
Acknowledgements
I would like to take the opportunity to mention the following people who have contributed in some way to this thesis.
Firstly my supervisor, Dr Tony Kent, for his invaluable guidance and unquestionable enthusiasm for the work. To my colleagues in the Phonon Imaging Group at Nottingham (1995-1998) for providing an enjoyable working atmosphere and no shortage of assistance with experiments: Phil Hawker, Andy Naylor, Alasdair Pentland, Stuart Cavill and Nicola Stanton.
I am grateful to Dietmar Lehmann (Institut für Theoretische Physik, Technische Universität, Dresden) and Wojtek Gancza (Institute of Theoretical Physics, University of Wrocław) for helpful theoretical discussions.
To the Engineering and Physical Sciences Research Council (EPSRC) for funding my PhD research studentship.
Finally and most importantly, my sincere thanks go to all whose encouragement has led to the completion of this work, in particular to my family, and especially for the support and assistance of my wife Michelle.
Abstract
This thesis presents a study of the electron-phonon interaction in two dimensional electron gases (2DEGs), by measuring of the acoustic phonon emission from a sequence of $n$-type doped GaAs/(AlGa)As quantum wells.
Previous studies of emission from 2DEGs confined in GaAs heterojunctions (Chin et al., 1984) have shown a surprising absence of longitudinal acoustic (LA) mode phonon emission, in contrast with theoretical studies (Vass, 1987) which predict that deformation potential coupled LA mode emission should dominate the energy relaxation processes. This may be attributed to the finite width of the quasi-2D sheet, which imposes a restriction on the maximum emitted phonon wavevector component perpendicular to the 2DEG, leading to a suppression of the emission (the "1/$a_0$ cutoff") at smaller phonon wavevectors than predicted by the earlier theory.
By using the quantum well width $w$ as a means of modulating the thickness of the 2DEG, the dependence of the 1/$a_0$ cutoff on the phonon emission can be directly measured. In the present work, significant LA phonon emission from the quantum well samples is observed.
To complement the experimental measurements, the theory of emission from a 2DEG has been modelled in detail using computer simulation techniques. Calculations of the electron-phonon interaction, including matrix element anisotropy and dynamic screening, as well as phonon focusing effects, can be combined to produce accurate predictions of the experimentally detected phonon emission energy spectra.
Chapter 1
Introduction
1 Introduction
1.1 Introduction and Overview
Over the past twenty years, the electron-phonon interaction has attracted a great deal of theoretical and experimental interest in the field of low-dimensional semiconductor physics. Below the temperature of liquid helium (4.2K), the dominant mechanism by which the energy relaxation of excited electrons occurs is the emission of acoustic phonons. At room temperature, phonon scattering limits the 2D mobility of electrons and holes in semiconductors. Studies of the electron-phonon interaction in these systems therefore provide much useful data about the limiting performance of manufactured devices based upon such technology.
1.2 Acoustic Phonons
Acoustic phonons are lattice vibrations travelling at the speed of sound, in the frequency range GHz to THz, and exist in two “modes”, differentiated by the polarisation of the lattice vibration energy. The longitudinal acoustic (LA) mode causes lattice site displacement along the propagation direction, whereas the transverse acoustic (TA) mode produces displacement perpendicular to the direction of propagation. Since there are two directions perpendicular to the direction of the phonon wavevector $q$, two such modes, called the fast (FT) and slow (ST) transverse modes, exist. In high symmetry crystal orientation directions and isotropic media, however, these two modes are degenerate.
In the present work, acoustic phonon emission experiments are performed to measure the energy relaxation rate of hot electrons in a two-dimensional electron gas (2DEG). By studying the relative channelling of phonon energy into the two modes, an insight into the electron-phonon coupling mechanisms is obtained. LA mode phonons couple to electrons primarily through the deformation potential (DP), while TA modes favour the
piezoelectric (PZ) interaction. At higher temperatures, optic phonon emission takes over as the dominant energy relaxation mechanism.
1.3 Measurement of Energy Relaxation Rate in 2DEG systems
To determine the overall electron energy relaxation rate from a two dimensional electron gas (2DEG) system, it is necessary to be able to accurately determine the equilibrium electron temperature $T_e$ resulting from a response to an input power $P_e$. This temperature may be determined from the carrier mobility and applied electric field by:
$$e\mu E_{SD}^2 = \frac{P_e(T_e)}{N_s}$$ \hspace{1cm} (1.1)
where: $\mu =$ electron mobility, $E_{SD} =$ source-drain electric field.
In addition to phonon emission studies, a number of other methods have been employed to measure the electron temperature, and thus energy relaxation rate, in low-temperature semiconductor systems. An early experiment by Fang and Fowler (1970) used the temperature dependence of the electron mobility in the $n$-inversion layer of a Silicon MOSFET as a method of determining electron temperatures at low electron concentrations.
Broadband Far Infra-red (FIR) emission has also been used (Hopfel et al., 1984, Akimov et al., 1991) to determine the electron temperatures and energy relaxation rates in Silicon MOSFETs. High purity $n$-type GaAs detectors are used to measure the emitted FIR radiation; by comparing the emitted spectrum with that of an ideal Planckian emitter, an estimate of $T_e$ is obtained. The Hopfel group obtained a $P \sim T_e^4$ dependence in the temperature range $8K < T_e < 25K$, while the Akimov group found a dependence of $P \sim T_e^2$ in the $20K < T_e < 50K$ temperature range. In each case the experimental data does not show good agreement with later theoretical calculations of the relaxation rate. (Figure 1.1, from Kent, 1998)
Figure 1.1: Far Infra-red measurements of the electron energy relaxation rate, compared to theoretical calculations.
Figure 1.2: Photoluminescence measured as a function of incident photon energy. The carrier temperature is derived from the slope of the linear graph region.
Steady-state photoluminescence spectroscopy (Shah et al., 1983; Balkan et al., 1989) has been used to measure the electron temperature in GaAs/(AlGa)As quantum wells. A 2DEG is excited by a continuous-wave (cw) infra-red dye laser (input power $\sim 2$ mW). When the photoexcited carriers recombine, a spectrum of luminescence is emitted. For incident photon energies $h\nu > E_g + E_F$ (where $E_F =$ Fermi energy, $E_g =$ bandgap energy), the logarithm of the luminescent intensity falls linearly with increasing photon energy. The slope of this part of the spectrum gives the carrier temperature (Figure 1.2, from Shah et al., 1983). This technique is most useful for carrier temperatures $T_e > 20$ K, the upper part of the acoustic emission regime. Due to spectral line-broadening effects, the luminous intensity of the emitted radiation is too weak to be used to measure lower electron temperatures.
### 1.4 Direct Phonon Measurements
Direct phonon measurements offer a number of advantages over the methods discussed above, in that details of the phonon modes, frequencies and angles of the emitted phonons may be experimentally obtained. With a greater quantity of observable data, such methods are therefore able to provide a better test for theoretical models of the electron-phonon interaction.
The heat pulse technique was developed by von Gutfeld and Nethercot (1964) as a means of directly studying the time-of-flight spectra of ballistically propagated phonons. A 2DEG is excited by a short electrical pulse, with electrons in the 2D layer relaxing their energy through the emission of non-equilibrium acoustic phonons. These phonons propagate ballistically to the opposite face of the crystal, where they can be detected by means of a superconducting tunnel junction or thin film bolometer.
Tunnel junctions consist of two superconducting films, about 150 nm thick, separated by a thin oxide layer, creating a voltage and energy gap which
must be traversed by incident phonons. Such a detector allows frequency-selective phonon detection to a resolution of a few MHz at a base operating frequency of $\sim 200$ GHz. Superconducting bolometers allow for highly sensitive, non frequency-selective phonon detection. With the experimental system balanced at the transition temperature of the bolometer, incident phonons cause a localised warming effect that corresponds to an observable increase in the bolometer resistance.
Both tunnel junctions and bolometers have a fast response time, so by choosing a sufficiently short pulse width, typically shorter than 100 ns, (dependent upon the crystal thickness) the different phonon modes (longitudinal, fast and slow transverse) are separately resolved. The ratio of LA to TA modes in the time-of-flight spectra enable deductions to be made regarding the relative strength of the electron-phonon coupling mechanisms. By positioning the detector at different locations on the crystal face, or using an array of detectors, the angular distribution of emitted phonons may also be investigated.
The advent of modulation doping techniques for device fabrication, resulting in improved low-temperature electron mobilities, enabled the first measurements of the energy relaxation rate of a heated 2DEG using the heat-pulse technique to be made by Chin et al. (1984). A superconducting aluminium bolometer with transition point $T \sim 1.5$ K was used to detect the phonon emission from a 2DEG GaAs/(AlGa)As heterojunction, grown on a 0.5 mm-thick (100) GaAs semi-insulating substrate. The bolometer was positioned directly opposite the 0.1 mm$^2$ 2DEG device, which was heated with short electrical pulses of 0.03 mW to 2.5 mW power. Figure 1.3 shows that at low powers, a single peak was seen, corresponding to the flight time of transverse acoustic (TA) phonons, while at higher input powers, a broad, slow pulse followed the transverse peak, attributed to rapidly decaying longitudinal optic (LO) mode phonons. No signal was observed at the flight time expected to correspond to longitudinal acoustic (LA) mode emission.
Figure 1.3: Time-of-flight phonon spectra obtained by Chin et al. (1984). At low powers a peak corresponding to transverse phonons is observed. As the power is increased, a broad, slow pulse appears, attributed to LO phonons.
The lack of an LA emission peak contrasts strongly with theoretical models (e.g. Vass, 1987) that predict dominant LA emission in the region $5K < T_e < 50K$, due to strong deformation potential coupling. The deformation potential coupling strength varies proportionally with the phonon wavevector $q$ (and thus energy $\hbar \omega = hq/v$), whereas the piezoelectric interaction varies as $q^{-1}$.
A number of other heat-pulse studies of phonon emission from 2DEGs (e.g. Rothenfusser et al., 1986, Hawker et al., 1992) followed the initial experiment of the Chin group, again observing little or no LA mode emission.
Hawker et al. offered an initial explanation for the lack of LA response in terms of phonon focusing effects. Phonon focusing (Taylor et al., 1969) describes the phenomenon by which phonon energy is preferentially channelled along certain axes of high crystal symmetry in an anisotropic medium. This arises due to the non-collinearity of the phase velocity (wavevector) and group velocity (energy) directions of emitted phonons in such media. Moreover, longitudinal and transverse phonon modes are focused in different crystal directions, so that the relative height of the LA and TA peaks in the phonon time-of-flight spectra becomes a function not only of the relative power emitted into these modes at source, but also of the focusing effect. Monte-Carlo theoretical simulations of phonon focusing (Gancza and Paskiewicz, 1995) allow a phonon flux enhancement factor to be calculated for each mode.
For a small area, comparable in size to a typical experimental phonon detector, positioned directly opposite the source, an isotropic distribution of phonons emitted from a 2D layer in the (100) plane of GaAs results in a focusing enhancement factor of approximately 11:1 in favour of the TA mode; however, this is still unable to sufficiently account for the size of the discrepancy between the theoretical and experimental observations of the LA mode intensity.
An alternative explanation for the missing longitudinal mode can be formed in terms of momentum conservation requirements in the plane perpendicular to the 2DEG. Applying momentum conservation rules to the 2DEG plane gives rise to the well-known “$2k_F$ cutoff” (see e.g. Toombs et al., 1987), imposing a maximum wavevector for an emitted phonon, equivalent to scattering from a point on the Fermi circle to a diametrically opposite position. By applying the same principles to the perpendicular plane, a “$1/a_0$” cutoff is obtained, where $a_0$ is the Fang-Howard parameter, a measure of the effective 2DEG “thickness”.
Heat-pulse experiments were performed by Strickland et al. (1994) to investigate the $1/a_0$ cutoff, by measuring the phonon emission from two-dimensional hole gases (2DHGs) in GaAs/(AlGa)As heterojunction devices. Due to the greater effective mass of holes compared to electrons, the $a_0$ parameter is shorter: Walukiewicz (1988) gives $a_0$ (2DHG) = 2nm, compared to $a_0$ (2DEG) = 5nm (Ando et al., 1982). The cutoff was therefore expected to be less severe for a 2DHG than for a comparable 2DEG. The experiments did indeed show an observable signal at the flight time corresponding to LA mode phonon emission.
It was further shown that the difference between results obtained for two similar 2DHGs grown in the (100) and (311)A crystal planes respectively could be explained by Monte-Carlo focusing predictions.
A further heat-pulse study of the $1/a_0$ cutoff was carried out by Hawker et al. (1995, 1996), using 2DEG GaAs/(AlGa)As quantum wells. In the first experiment, a quantum well of width 20nm, having two occupied electron subbands was used. Significant longitudinal mode emission was observed (Figure 1.4) at a bolometer positioned at an angle of 45° to the 2DEG normal. This LA emission was attributed to intersubband transitions. The second experiment used quantum wells of widths 5nm and 10nm, with a single
Figure 1.4: Both longitudinal and transverse phonons were observed by Hawker et al. (1995) in a study of phonon emission from a 2DEG quantum well.
subband occupied by electrons. The 2D areal density of the devices was $1.6 \times 10^{16} \text{m}^{-2}$ and $1.8 \times 10^{16} \text{m}^{-2}$ for the 5nm and 10nm wells respectively. A single bolometer was used to detect the emitted phonons, positioned at an angle of 50° to the 2DEG normal. Unlike the heterojunction cases discussed above, it was found that LA mode emission was significant for both wells. This can be attributed to the stronger electron confinement in a square quantum well compared to an equivalent width triangular-well heterojunctions. The choice of bolometer angle coincides with a focusing direction for LA phonons (and defocusing direction for TA), which also contributes to the strong longitudinal response. The proportion of LA emission was found to be stronger for the narrower well, due to the weaker $1/a_0$ cutoff for this device.
This thesis presents a comprehensive study of the "missing LA mode" effect, through a systematic investigation of the acoustic phonon emission from heated GaAs/(Al)GaAs $n$-type single quantum well devices. By varying the quantum well width parameter, the effective 2DEG thickness $a_0$ can be modulated to a degree not seen in previous experimental studies.
A sequence of five different well widths, from 3nm to 15nm are used in the study, having similar transport characteristics (2D areal density and electron mobility). The wider wells (12nm and 15nm) have a 2DEG thickness similar to the "effective" 2DEG width, $3a_0$, of a GaAs heterojunction. The specific effect of the different form factors of heterojunctions and quantum wells may therefore be investigated. The samples have a lower electron density ($N_s \sim 2 \times 10^{15} \text{m}^{-2}$) than those used by the Hawker group, so it follows that the $2k_F$ cutoff of emission in the 2DEG plane is therefore more severe in these devices, since $k_F = (2\pi N_s)^{1/2}$. Emission at angles close to the 2DEG normal is thus increased, further enhancing the dependence of emission on electron confinement.
Additionally, the emission is studied at three angles normal to the 2DEG: 0, 14 and 27 degrees. In these directions, the LA mode is not as strongly focused as at the wider angle bolometers used by Hawker et al. Any longitudinal response observed will therefore be due to dominant deformation potential-coupled emission.
1.5 Summary
Previous studies of two dimensional carrier gases (2DEGs and 2DHGs) have provided much valuable detail on the physical processes of the energy relaxation mechanisms of hot electrons. The work of Strickland (1996) and Hawker (1995) on 2DHG heterojunctions and 2DEG quantum wells respectively, have indicated that reducing the effective "thickness" of the 2D sheet results in a lifting of the suppression of the deformation potential coupled emission of LA phonons.
This thesis experimentally investigates the effect of the 2D sheet thickness on phonon emission, in a thorough and systematic manner, using a sequence of quantum well widths to vary the $1/a_0$ cutoff strength. A detailed theoretical model has been developed in parallel to the experimental work, implemented as a PC computer simulation; the predictions of the model agree well with the experimental results obtained.
It is shown that as the quantum well width is narrowed, deformation-potential coupled LA phonon emission becomes increasingly dominant. The energy loss rate at which the acoustic-optic phonon emission crossover occurs is also found to increase for narrower wells; it is argued that the weakening of the $1/a_0$ effect causes new pathways to become available for acoustic emission.
Chapter 2
Theory
2 Theory
2.1 Introduction
In this chapter, I shall discuss several important theoretical aspects of ballistic phonon spectroscopy in two dimensional electron gases (2DEGs).
The propagation of thermal phonons through a GaAs crystal medium at liquid helium temperatures is outlined and a full treatment of the electron-phonon interaction in 2D systems follows.
An understanding of the effects of the lattice dynamics of Gallium Arsenide is highly important, as the effects of elastic anisotropy of the medium strongly affect both the electron-phonon coupling matrix elements and the propagation of phonon energy through the crystal lattice; as such, this topic is considered in some depth before the main discussion of the electron-phonon system.
The chapter concludes with a description of an approach taken to develop a complete computer-modelled simulation of the electron-phonon system, suitable for making predictions of the expected experimental observations of phonon emission from GaAs 2DEGs. Detailed numerical calculations of the 2D electron system are presented in the following chapter.
2.2 Properties of Two Dimensional Electron Gases
2.2.1 Two Dimensional Electron Gases in GaAs Quantum Wells
Two dimensional electron gases (2DEGs) are of considerable interest in the experimental study of the energy relaxation of hot electrons in semiconductors; such a system can be well approximated using the simple model of a flat, conducting sheet of non-interacting Fermi particles, the physics of which is well known and described.
Figure 2.1: Formation of 2DEG in GaAs/(AlGaAs) quantum well
A quasi-two dimensional electron gas may be formed on a GaAs substrate by depositing single atomic layers (or “monolayers”) using the technique of molecular beam epitaxy (MBE). Due to the similarity of the lattice constants of GaAs and (AlGa)As, it is possible to grow a layer of AlGaAs on top of a GaAs layer, forming an single-atom thick interface between the two layers. Owing to the different band gaps of GaAs (1.42eV) and AlGaAs (1.8eV), a potential step forms at the interface, as shown in Figure 2.1. By “sandwiching” a layer of GaAs between two AlGaAs layers, one of which is doped $n$-type with Silicon, a square potential well is formed, into which carriers from the doped layer tunnel to produce a two-dimensional electron gas, the effective “thickness” of which is given by the width of the GaAs layer.
Applying simple quantum theory, this two dimensional sheet may be approximated to a free particle in a box, with dimensions $L_x \times L_y \times w$, where $w$ is the quantum well width, and so $L_{x,y} >> w$, as in Figure 2.2.
Applying the time-independent Schrödinger equation to this system:
$$\frac{\hbar^2}{2m^*} \nabla^2 \Psi + E\Psi = 0 \quad (2.1)$$
Rearranging the above equation to obtain an expression in terms of the electron wavevector $k$:
$$\nabla^2 \Psi + k^2 \Psi = 0 \quad (2.2)$$
where $k^2 = 2m^*E/\hbar^2$.
The three-dimensional electron wavefunction $\psi$ can be written as a product of three single-dimensional wavefunctions $\psi_x$, $\psi_y$ and $\psi_z$, yielding
Figure 2.2: Representation of “2D” sheet as box with $w \ll L_x, y$
Figure 2.3: Inter- and intra-subband energy gaps for carriers confined within a two dimensional electron gas.
solutions for the wavevector components $k_x$, $k_y$, $k_z$, the single-dimensional wavefunctions taking the form:
$$\frac{d^2\Psi_x}{dx^2} + k_x^2 \Psi_x = 0$$
(2.3)
The generalised solutions for an infinite well are written as:
$$\Psi_x = A \sin(k_x x) + B \cos(k_x x)$$
(2.4)
To solve the above equations, the boundary conditions of the system are applied. Outside the walls of the box ($x < 0$, $x > L_x$) the wavefunction vanishes, i.e. $\Psi = 0$. At the edges of the box ($x = 0$ and $x = L_x$), the wavefunction $\psi$ must be continuous.
Applying these conditions, the solutions $B = 0$ and $k_x L_x = l\pi$ (where $l = 1, 2, 3...$) are found. Similarly for the $y$- and $z$-directions, the expressions $k_y L_y = m\pi$ and $k_z w = n\pi$ are obtained.
The energy of the system may therefore be expressed as:
$$E = \frac{\hbar^2 k^2}{2m^*} = \frac{\hbar^2 \pi^2}{2m^*} \left[ \left( \frac{l}{L_x} \right)^2 + \left( \frac{m}{L_y} \right)^2 + \left( \frac{n}{w} \right)^2 \right]$$
(2.5)
Considering, as an example, a quasi-2D GaAs sheet with dimensions $L_x = L_y = 5$nm, $w = 5$nm, and an electron effective mass, $m^* = 0.067m_0$, the separation between energy levels in the 2D plane is $\sim 2 \times 10^{-10}$ meV, and perpendicular to the plane is $\sim 200$meV, as shown in Figure 2.3. By comparison, the thermal energy $k_B T$ of a free electron at room temperature, 300K, is $\sim 25$meV, and at 50K, the thermal energy is $\sim 4$meV.
In the plane of the 2D sheet, therefore, the motion of the electrons is free, due to the narrow, continuum-like separation of energy levels ($k_B T \gg \Delta E$), however, in the direction perpendicular to the GaAs/(AlGa)As interface, the motion is restricted by the “particle-in-a-box” bound states of the quantum well; carriers are confined to a single energy subband, as the separation between the energy levels is much greater, preventing thermal excitation of electrons between levels ($k_B T \ll \Delta E$). Such a system may, therefore, be considered as effectively two-dimensional with regard to electron transport.
Furthermore, at the low carrier temperatures and moderate carrier concentrations used in the experiments described in this work, it will be necessary only to consider electrons in the lowest (ground-state) subband, due to the negligible probability that a transition can occur between two discrete 2D subbands in such conditions.
For electrons confined in quantised subbands in the $z$-direction, but free to move in the $xy$ plane, the normalised electron eigenfunctions are given by:
$$\Psi(r) = (L_x L_y)^{-1/2} \Psi_n(z) \exp(ik_x x) \exp(ik_y y)$$
where $L_x L_y$ is the normalising area, $\Psi_n(z)$ are the set of electron wavefunctions describing motion in the $z$-direction for each occupied 2D subband, and a plane-wave solution has been assumed in the $x$- and $y$-directions.
The corresponding energy eigenvalues are then given by:
$$E = E_n + \frac{\hbar^2}{2m} \left( k_x^2 + k_y^2 \right)$$
Figure 2.4: Energy levels for the first four energy subbands of a 2DEG.
Figure 2.5: Electron wavefunctions in an infinite-height square potential well.
where $E_n$ is the base energy of the $n$th parabolic 2D sub-band, from Equation 2.5:
$$E_n = \frac{\hbar^2}{2m^*} \left( \frac{n\pi}{w} \right)^2 \quad n = 1,2,3... \quad (2.8)$$
Figure 2.4 shows these energy levels for a set of 2D subbands.
Substituting this solution for $E_n$ into the Schrödinger equation, the resulting normalised electron wavefunctions for an infinitely deep square potential well, shown in Figure 2.5, are:
$$\Psi_n(z) = \sqrt{\frac{\pi}{w}} \sin \left( \frac{n\pi z}{w} \right) \quad n = 1,2,3... \quad (2.9)$$
In the finite-height potential well (FHPW) case, the electron wavefunctions may be expressed as: (Jasiukiewicz et al., 1999)
$$\Psi_0(z) = A \exp \left[ \frac{2m^*V_B}{\hbar^2} - \frac{m^*_k^2}{m^*} z \right] \quad |z| > w/2 \quad (2.10a)$$
$$\Psi_0(z) = B \cos kz \quad |z| < w/2 \quad (2.10b)$$
where $k$ is the electron wavevector, $m^*_B$ is the effective mass of the barrier material, $V_B$ is the height of the potential step, and the normalised constants $A$ and $B$ are calculated by requiring that the electron wavefunction be continuous across the well barriers at $z=0$ and $|z|=w/2$.
In Equations 2.10a,b above, it is acceptable, and for the purposes of numerical computation, particularly useful, to make the approximation $k \approx k_F$, where $k_F$ is the Fermi wavevector of the electron distribution, as electrons at the Fermi energy dominate the conduction processes in 2DEGs, due to the proximity of filled and empty $k$-states.
Figure 2.6: Formation of a 2DEG in a GaAs/(AlGa)As heterojunction
Comparison of the wavefunctions in the infinite-height (IHPW) and finite-height (FHPW) models shows that as the well width $w$ is narrowed, the effect of the impingement of the electron wavefunction $\Psi_0(z)$ into the finite-height barrier material becomes increasingly significant, with a resultant reduction in the overall carrier confinement perpendicular to the 2D sheet.
### 2.2.2 Two Dimensional Electron Gases in GaAs Heterojunctions
Although experiments performed in the course of this work have used 2DEG quantum wells, the majority of earlier studies of the energy relaxation in 2DEGs has been performed using GaAs/(AlGa)As heterojunction-based devices, and so this system is briefly considered here, for the purpose of enabling comparisons to be made.
In a modulation-doped GaAs/(AlGa)As heterojunction, a triangular potential well forms at the interface of the GaAs and (AlGa)As layers, with the electron wavefunction not confined by a further potential step as in the quantum well case, instead extending out into the (AlGa)As layer, as shown in Figure 2.6. Consequently the carrier confinement is somewhat weaker than for a quantum well of similar MBE growth characteristics and layer structure, with the ground-state variational wavefunction given by:
$$\Psi_0(z) = \left( \frac{1}{2a_0^3} \right)^{1/2} z \exp \left( -\frac{z}{2a_0} \right)$$ \hspace{1cm} (2.11)
$a_0$ is the Fang-Howard parameter, where $3a_0$ gives the average distance of electrons from the heterointerface.
#### 2.2.3 2D Density of States
The 2D density of states in $k$-space, $D(E)$, is calculated by considering the number of k-states allowed between the energies $E$ and $E + dE$:
Figure 2.7: The two-dimensional density of states is independent of energy for a single occupied sub-band.
\[ D(E)dE = D(k)dk = 2 \times \frac{1}{(2\pi)^2} \times 2\pi k dk \]
Making the acceptable assumption that the (100) GaAs 2DEG energy bands are parabolic:
\[ E = \frac{\hbar^2 k^2}{2m^*} \]
the equation above yields:
\[ D(E) = \frac{m^*}{\pi \hbar^2} \]
The density of states is therefore found to be independent of energy in the 2D regime, stepping up at subband edges only, as shown in Figure 2.7, rather than a continuous function of energy as in the 3D case.
The electron carrier density can therefore be expressed as:
\[ N_s = D(E)E_F \]
since all \( k \)-states are filled up to the Fermi energy, to a good approximation at low temperatures. The Fermi surface, marking the boundary between filled and empty electron states in the 2DEG, is defined as a circle of radius \( k_F \), given by:
\[ k_F = \left( 2\pi N_s \right)^{1/2} \]
2.3 Properties of phonons in semiconductors
2.3.1 Introduction
The conduction of heat in non-metallic solids takes place principally through the transport of thermal phonons. Acoustic phonons, which dominate these scattering processes at low temperatures, are lattice waves travelling at the speed of sound, with frequencies in the GHz/THz range. The maximum acoustic phonon frequency in GaAs is a few THz, at which the phonon wavelength equals twice the lattice constant. In the temperature regime of the experiments presented in this work, the Planckian peak in the phonon spectrum is well below this cutoff frequency.
Two types of acoustic phonon exist: a longitudinal (LA) mode causes particle displacement along the direction of propagation, whereas a transverse (TA) mode produces displacement perpendicular to the propagation direction, as shown in Figure 2.8.
In an anisotropic medium, two transverse modes exist, designated fast (FTA) and slow (STA) on account of their different averaged group velocities. These two modes are degenerate in an isotropic crystal, and in certain symmetry directions of anisotropic crystals, such as the (100) direction in GaAs, on which the devices used in the work presented here is based.
Optic phonon transport becomes dominant for higher temperatures (>50K). These phonons have very short lifetimes, decaying to large-wavevector acoustic modes.
2.3.2 Phonon Propagation at Liquid Helium Temperatures
At room temperature, ~300K, the mean free path of phonons in GaAs is very short, due to the high rate of inelastic scattering events. As the temperature of the system is lowered, thermal scattering becomes less
Figure 2.8: Phonon displacement directions due to compressional (LA) and shear (TA) stress
frequent, and a point is reached at which the mean free path becomes limited only by the crystal dimensions, owing to boundary scattering. In this regime, the phonon propagation is described as ballistic.
At liquid helium temperatures, $\sim 4.2$K and below, the contribution to scattering events from phonon-phonon interactions is negligible, and strong ballistic heat pulse signals corresponding to the phonon modes may be experimentally observed.
Phonons may, however, be elastically scattered from structural defects even at low temperatures.
### 2.3.3 Lattice Dynamics of Gallium Arsenide
#### 184.108.40.206 Introduction
In considering the problem of an acoustic phonon travelling ballistically from a point source on one surface of a crystal to a detector on the opposite surface, the properties of the crystal lattice are of critical importance.
Firstly, the averaged sound velocities of longitudinal and transverse acoustic phonons in a crystal lattice are obtained directly from the elastic constants of the lattice. For cubic media, e.g. GaAs:
\[
s_{LA} = \sqrt{\left[ C_{11} + \frac{2}{5}(2C_{44} + C_{12} - C_{11}) \right] / \rho}
\]
\[
s_{TA} = \sqrt{\left[ C_{44} - \frac{1}{5}(2C_{44} + C_{12} - C_{11}) \right] / \rho}
\]
where $C_{11,12,44}$ are the three independent elastic constants in cubic media, and $\rho$ is the crystal density.
With appropriate values for the elastic constants and density of GaAs, values of $s_{LA} = 5200 \text{ms}^{-1}$ and $s_{TA} = 3300 \text{ms}^{-1}$ are found.
The crystal lattice dynamics are also responsible for determining the nature of the angular and polarisation dependence of the phonon energy flux that is observed at the detector, given an initial uniform distribution of phonon wavevectors at the source.
In a perfectly isotropic medium, the acoustic phonon polarisation vectors are exactly parallel (LA mode) or perpendicular (TA modes) to the propagation direction. In a real crystal such as GaAs, however, particle displacement generally has components both along and perpendicular to the propagation direction, due to the elastic anisotropy of the medium. The resulting phonon polarisations therefore possess some of the character of both LA and TA modes, and so the resulting modes are described as being “quasi-longitudinal” and “quasi-transverse” respectively.
### 220.127.116.11 Phonon Focusing
A further significant consequence of the elastic anisotropy of real crystals is the preferential “channelling” of energy along certain symmetry directions of the crystal, known as phonon focusing.
In elastically anisotropic media, the phonon group velocity vector, $v_g$, associated with the direction of energy flow, and the phase velocity, $v_p$, which points in the direction of the phonon wavevector, are generally non-collinear. Consequently, when phonons are emitted from a source with a uniform angular distribution of wavevector directions, the energy flow will be enhanced in some directions, and decreased in others, with respect to the average value.
This effect was first observed, and the term “phonon focusing” used to describe it, by Taylor *et al.* (1969), who studied the time-of-flight phonon heat
pulse spectra obtained from the alkali halides LiF and KCl, for various crystallographic directions. The ratios of longitudinal to transverse acoustic phonon modes varied as the direction was changed. By altering the thickness of the samples, it was confirmed that this effect was not due to different attenuation coefficients for the modes as they propagated through the crystal. A phonon focusing enhancement factor, $A$, (Maris, 1971), was introduced, defining a ratio of the phonon intensity for various crystal directions to the intensity expected in an isotropic solid:
$$A = \left| \frac{d\Omega_k}{d\Omega_v} \right| \quad (2.19)$$
where $d\Omega_k$ and $d\Omega_v$ are the respective solid angles in wavevector and group velocity space.
*Figure 2.9* shows the phonon focusing pattern for longitudinal and transverse acoustic phonons emitted ballistically in an isotropic angular distribution, traversing a 380µm thick (100) GaAs wafer and being detected by a 800x800µm square detector plane situated on an opposite crystal face. The salient features observed in the images are the highly concentrated TA phonon flux close to the (100) direction, and the diffuse nature of the LA phonon flux, which peaks close to the (111) direction.
### 18.104.22.168 Calculation of the Angular and Polarisation Dependence of the Phonon Energy Flux
To determine the angular and polarisation dependence of the energy flux arriving at a spatial detector positioned on a crystal face opposite a source of phonons, continuum elasticity theory must be applied to the system.
Following the technique presented by Every (1979) for cubic crystals, to which the reader is directed for a detailed derivation of the equations that
Figure 2.9: (100) focusing patterns for (a) isotropic LA and (b) isotropic TA phonon distributions
follow, the phonon polarisation and group velocity vectors are calculated in the framework of elastic waves.
In a non-piezoelectric crystal, the second-rank elastic stress, $\sigma_{ij}$, and strain, $S_{lm}$, tensors are related by a generalised form of Hooke’s Law for small strains:
$$\sigma_{ij} = C_{ijkl} S_{lm} \quad (2.20)$$
where $C_{ijkl}$ is the fourth-rank elastic modulus tensor. In a cubic crystal, there are only three independent components of the $C_{ijkl}$ tensor:
$$C_{11} = C_{22} = C_{33}, \quad C_{12} = C_{13} = C_{23}, \quad C_{44} = C_{55} = C_{66} \quad (2.21)$$
In a piezoelectric medium, such as GaAs, a mechanical strain induces an electric polarisation, and similarly an applied electric field creates a strain in the crystal. This coupling of the elastic and electric variables requires that the generalised form of Hooke’s Law above must be modified to account for the “stiffening” of the lattice due to the piezoelectric effect:
$$\sigma_{ij} = C'_{ijkl} S_{lm} - e_{ijr} E_r = C'_{ijkl} S_{lm} \quad (2.22)$$
where $C'_{ijkl}$ are the piezoelectrically stiffened elastic constants for the crystal.
In order to quantify the significance of this effect, Every and McCurdy (1987) defined a dimensionless electromechanical coupling constant $K_{44}$ to determine the strength of the piezoelectric effect in cubic crystals:
$$K_{44} = \left( \frac{e_{14}^2}{\varepsilon_r \varepsilon_0 C_{44}} \right)^{1/2} \quad (2.23)$$
where $e_{14}$ is the piezoelectric stress constant for the crystal, expressed in units of C/m$^2$, and $C_{44}^E$ represents the elastic constant $C_{44}$ as measured in zero electric field.
For GaAs, $e_{14} = 0.166$ C/m$^2$, giving $K_{44} = 0.0609$. Every and McCurdy show that piezoelectric stiffening only becomes a significant factor for $K_{44} > 0.1$, so it is reasonable to neglect such effects in the calculations presented in this work.
Two new parameters $K_2$, $K_3$ may be defined in terms of ratios of the elastic constants $C_{11}, C_{12}, C_{44}$:
$$K_2 = \left( C_{11} - C_{44} \right) / C_1 \quad (2.24)$$
$$K_3 = \left( C_{11} - C_{12} - 2C_{44} \right) / C_1 \quad (2.25)$$
where $C_1 = C_{11} + 2C_{44} \quad (2.26)$
In the $K_2$, $K_3$ representation, it is possible to construct a triangle of allowed values of $K_2$ and $K_3$, in which all crystals must lie, in order to ensure crystal stability. The case $K_3 = 0$ describes a system with perfectly isotropic behaviour.
By substituting plane-wave forms of the three phonon modes into the equation of motion for a crystal volume element, Christoffel's equation is obtained:
$$\left( D_{\mu} - v^2 \delta_{\mu} \right) \varepsilon = 0 \quad (2.27)$$
where
\[ D_u = \frac{C_1}{\rho} \begin{pmatrix}
K_2 \hat{q}_1^2 + \frac{1}{3}(1 - K_2) & (K_2 - K_3)\hat{q}_1\hat{q}_2 & (K_2 - K_3)\hat{q}_1\hat{q}_3 \\
(K_2 - K_3)\hat{q}_1\hat{q}_2 & K_2 \hat{q}_2^2 + \frac{1}{3}(1 - K_2) & (K_2 - K_3)\hat{q}_2\hat{q}_3 \\
(K_2 - K_3)\hat{q}_1\hat{q}_3 & (K_2 - K_3)\hat{q}_2\hat{q}_3 & K_2 \hat{q}_3^2 + \frac{1}{3}(1 - K_2)
\end{pmatrix} \]
(2.28)
is derived from the Christoffel tensor \( C_{ijlm} \), obtained by the relation:
\[ D_u = \left( \frac{1}{\rho} \right) C_{ijlm} n_j n_m \]
(2.29)
Equation 2.28 above shows that the system can be qualitatively described completely in terms of the \( K_2, K_3 \) parameters, with actual numerical values of the elastic constants (in the equation, represented by the \( C_1 \) term) required only for quantitative analysis.
Solving Equation 2.27 by setting the determinant to zero, a cubic equation in \( v_p^2 \) is obtained, yielding three solutions, corresponding to the phonon phase velocity of each phonon mode (LA, STA, FTA).
The group velocity vectors for each mode are then obtained by:
\[ v_g = \left( v_p - n \cdot \frac{\delta v_p}{\delta n} \right) n + \frac{\delta v_p}{\delta n} \]
(2.30)
Every (1979) gives the solution for the ratios of the phonon polarisation vectors \( \varepsilon_{i,\lambda} \) (\( i = \text{crystallographic direction } 1,2,3, \ \lambda = \text{phonon mode: } 0=\text{LA}, 1=\text{STA}, 2=\text{FTA}) \):
\[ \varepsilon_{i,\lambda} = \frac{\hat{q}_i}{T_\lambda - 3\hat{q}_i^2 \left( K_3 / K_2 \right)} \]
(2.31)
where:
\[ T_\lambda = 1 + 2(1 - aS)^{1/2} \cos(\psi + \frac{2}{3}\pi\lambda) \]
\[ \psi = \cos^{-1}\left[\left(1 - \frac{3}{2}aS + bQ\right)/\left(1 - aS\right)^{1/2}\right] \]
\[ a = 3 \frac{K_3}{K_2}\left(2 - \frac{K_3}{K_2}\right) \quad (2.34) \quad b = \frac{27}{2} \frac{K_3^2}{K_2^2}\left(3 - 2 \frac{K_3}{K_2}\right) \quad (2.35) \]
\[ S = \hat{q}_1^2 \hat{q}_2^2 + \hat{q}_2^2 \hat{q}_3^2 + \hat{q}_3^2 \hat{q}_1^2 \quad (2.36) \quad Q = \hat{q}_1^2 \hat{q}_2^2 \hat{q}_3^2 \quad (2.37) \]
### 22.214.171.124 Phonon Scattering
Any departure from ideal lattice periodicity will result in phonon scattering. Mechanisms for such events include scattering from structural defects and impurities, as well as from other phonons. In a well-grown MBE crystal, at low temperatures, the mean free path for phonon scattering from point defects and impurities becomes large with respect to typical crystal dimensions (~ 2mm x 2mm x 0.5mm) and so such scattering is reduced.
Variations in the isotopic mass of the crystal may also cause phonons to scatter: in an MBE-grown GaAs crystal, Gallium and Arsenic atoms exist in the form of several isotopes, randomly distributed through the crystal lattice. Such a deviation from ideal lattice periodicity causes localised changes in mass, elastic modulus and lattice constant, giving rise to an elastic scattering of phonons.
The rate of this isotope scattering is estimated in the Debye thermal conductivity approximation to vary as the fourth power of the phonon frequency, (Klemens, 1958):
\[ \tau^{-1} = A\nu^4 \quad (2.38) \]
where \( A \) is a material-dependent attenuation factor.
Using a value for $A$ of $7.38 \times 10^{-42}$ sec$^3$ for GaAs, (Tamura, 1984), a frequency $q_c$ may be defined at which the contribution of isotope scattered attenuation becomes significant ($P_{\text{scattered}}(q_c) = P_0(q_c)/2$). For a 380 $\mu$m thick wafer, $q_c \geq 1THz$, whereas for a 2mm thick wafer, $q_c \sim 700GHz$. It is seen that these scattered phonons are predominantly found in the high energy tail of the acoustic phonon energy spectrum.
One other important mechanism to consider is that of scattering by Jahn-Teller ions (Cr$^{3+}$, Ni$^{2+}$) (Xin et al., 1996). Although the density of such ions should be small in a well-grown GaAs crystal, the strongly frequency-resonant nature of the attenuation results in a quite significant effect. Broad frequency resonances are observed at $f \gtrsim 700GHz$, in the high-energy tail of the acoustic phonon emission spectrum.
A probability can be defined that ballistic phonons may be scattered before reaching the bolometer, undergoing down-conversion decay processes to lower energy phonons. Longitudinal (LA) phonons decay primarily by the route LA $\rightarrow$ TA + TA (where TA may be either a slow or fast transverse phonon). Fast transverse phonons most commonly decay by FTA $\rightarrow$ FTA + STA, while non-collinear decay of slow transverse phonons is rarely seen.
Down-conversion of modes may also occur as a result of optic phonon emission, which becomes the dominant energy relaxation process for electron temperatures of $T_e \approx 50K$ and above. Longitudinal optic phonons have a very short lifetime (Hawker et al. (1992) give a result of 3.3ps), converting rapidly to high-wavevector TA modes. These down-converted phonons appear as a broad, delayed, diffusive signal, arriving some time later than the ballistic transverse phonon pulse.
2.4 The Electron-Phonon Interaction
The theoretical study of the emission of acoustic phonons through the electron-phonon interaction has been considered in some depth by a number of authors (e.g. Vass, 1987; Vickers, 1992; Jasiukiewicz and Karpus, 1996; Kent, 1998), all of whom have employed an essentially similar technique, which will be used as the basis of the discussion below. Such theoretical analyses have, however, largely failed to explain certain features observed in experimental phonon emission studies, most notably the apparent absence of an LA phonon emission signal detectable using bolometers positioned directly opposite a (100) GaAs 2DEG heterojunction device.
Jasiukiewicz et al. (1999) argue that the inadequacies of the earlier theory can be attributed to the incorrect treatment of such factors as electrostatic screening of the interaction, coupling matrix element anisotropy, and the finite thickness of the 2D sheet, which were often simply neglected in earlier analyses. These terms are implicitly included in the treatment that follows, and the individual importance of each specific factor, as determined by numerical computations, will be discussed in depth in the following chapter.
2.4.1 Electron-Phonon Coupling Mechanisms
Two principal mechanisms account for electron-acoustic phonon scattering in GaAs crystals: the deformation potential, commonly abbreviated to DP, and the piezoelectric interaction (PZ). A “macroscopic deformation potential” (MDA) mechanism for the interaction, resulting from heterointerface vibrations, has been proposed by Vasko and Mitin (1995), but is predicted to be weak in comparison with ordinary DP coupling, and will not be considered here.
126.96.36.199 Deformation Potential coupling
In a 2DEG heterojunction or quantum well at moderate electron temperatures in the acoustic emission regime (5K < $T_e$ < 50K), deformation potential coupling is the most efficient mechanism by which electrons interact with phonons.
If a crystal is disturbed by some applied strain, atomic motion is coupled to carriers through a periodic modulation of the lattice constant, causing a shift in the conduction and valence bands. This effective potential may induce electronic transitions.
For sufficiently small dilations, the energy shift has been shown to vary linearly with the magnitude of the dilation (Bardeen and Shockley, 1950):
$$V_{def} = E_d \Delta$$ \hspace{1cm} (2.39)
In a (100) GaAs 2DEG heterojunction or quantum well, the conduction band can be approximated as parabolic, so that the three-dimensional dilation term is given by:
$$\Delta = \nabla . U$$ \hspace{1cm} (2.40)
where $U$, the strain field due to a phonon $q, \lambda$ is given by:
$$U(r) = \left( \frac{\hbar}{2\rho V \omega_{q,\lambda}} \right)^{1/2} (a_{q,\lambda} \exp(iq.r) + a^+_{q,\lambda} \exp(-iq.r)) \cdot \lambda$$ \hspace{1cm} (2.41)
An expression for the deformation potential may therefore be written:
$$V_{def} = \left[ \frac{\hbar E_d}{2\rho V \omega_q} \right] i(q.e_q) [a_q \exp(iq.r) + a^+_q \exp(-iq.r)]$$ \hspace{1cm} (2.42)
In an idealised, isotropic crystalline system, in which the longitudinal and transverse phonon polarisations are aligned directly parallel and perpendicular to the phonon wavevector, the scalar product term $q \cdot e_q$ evaluates to $q$ in the case of the LA mode, and to zero for the TA mode. Transverse acoustic phonons are therefore forbidden from coupling to the deformation potential in the isotropic regime.
As discussed in 188.8.131.52 above, however, in a real, anisotropic crystal, the phonon polarisations are, in general, neither perfectly parallel nor perfectly perpendicular to the direction of propagation, and must instead be described as “quasi-LA” and “quasi-TA”. As such, quasi-TA phonons, which have a small component of the polarisation directed along the phonon wavevector $q$, will couple weakly via the deformation potential.
Jasiukiewicz and Karpus (1996) modelled theoretically the anisotropy of the electron-phonon coupling matrix elements in 2DEGs, and their approach will be followed in the electron-phonon interaction calculation presented here.
### 184.108.40.206 Piezoelectric coupling
For crystals that possess a dipole moment, a second mechanism exists by which the electron-acoustic phonon interaction may occur.
In piezoelectric (PZ) coupling, the strain field of a phonon distorts the crystal lattice, which, in crystals lacking a centre of inversion symmetry axis (such as GaAs) produces an electric field that couples to the electrons.
The mechanical stress $\sigma$, mechanical strain $e$ and electric field $E$ are related by (Wixforth 1989, Hutson and White 1962)
$$\sigma_{ij} = C_{ijkl} e_{lm} - h_{ik} E_k$$ \hspace{1cm} (2.43)
where $C_{ijkl}$ is the elasticity tensor, and $h_{ijk}$ is the piezoelectric tensor, usually written in the reduced form $h_{im} (i,m = 1 \rightarrow 6)$ due to symmetry.
For the zinc-blende GaAs cubic crystal structure, only shear strain components contribute to the piezoelectric tensor, and these components are all equal, $h_{14} = h_{25} = h_{36}$. Only one component of the piezoelectric tensor, $h_{14}$, is therefore required in writing an expression for the interaction potential.
The mechanical stress and strain are related to the lattice distortion by:
$$\nabla \sigma = \nabla^2 U$$
(2.44)
$$\nabla e = h \frac{\delta^2 U}{\delta t^2}$$
(2.45)
Finally an expression for the interaction potential may be written:
$$V_{\text{piezo}} = \left( \frac{h_{14}}{\varepsilon_0 \varepsilon(q)} \right) q \left( \frac{\hbar}{2 \rho V \omega_{q,s}} \right)^{1/2} \left[ a_{q,s} \exp(iq \cdot r) + a_{q,s}^+ \exp(-iq \cdot r) \right] e_{q,s}$$
(2.46)
In both isotropic and anisotropic media, both longitudinal and transverse phonons may couple to electrons through the piezoelectric interaction.
### 220.127.116.11 Screening of the Interaction Potentials
At low electron temperatures $T_e$, screening of the electron-phonon interaction by the free carriers of the two dimensional electron gas has the effect of reducing the energy relaxation rate, as the characteristic thermal phonon wavevector $q = \frac{k_B T_e}{\hbar}$ becomes smaller than the Thomas-Fermi screening radius, $r_s$.
Using the low-wavelength limit of the Lindhard formula for the dielectric function of free 2D electrons, the screening term $S_{q,\lambda}$ takes the form:
$$S_{q,\lambda} = \left( \frac{q_{//}}{q_x H + q_{//}} \right)^2$$
where $q_x$ is the inverse Debye screening length:
$$q_x = m^* e^2 / 2\pi\varepsilon_0\varepsilon_e \hbar^2 \approx 2 \times 10^8 \text{m}^{-1} \text{ for GaAs}$$
The $H$-factor is obtained by numerically integrating over the electron wavefunction:
$$H = \int dz' |\Psi_0(z')|^2 \int dz |\Psi_0(z)|^2 \exp(-q_{//}|z - z'|)$$
The effect of screening is clearly stronger at lower frequencies, acting to suppress low frequency phonon emission due to intra-level electronic transitions.
In systems with weak carrier confinement, such as bulk epilayers and, to a lesser extent, heterojunctions, the approximation $H = 1$ may be made, resulting in the quasi-static screening approximation given in the electron-phonon interaction treatment of Kent (1998). Such an approximation is useful in reducing the computation time required to numerically evaluate the full Lindhard screening of the interaction potentials. Its applicability to the experimental systems investigated in this work will be discussed further in Chapter 3.
For a more complete treatment of the screening of the electron-phonon interaction, incorporating many-body theory, the reader is referred to Jasiukiewicz et al. (1999). Such an approach has not been attempted in this
work, as a qualitative comparison of the results of the Jasiukiewicz group with those obtained using the dynamic Lindhard model in the present work (described in the following chapter) shows many similarities in the structures observed in the angular dependence of emission.
The Lindhard screening approximation is generally regarded as acceptable for the screening of the long-range piezoelectric interaction, however, in the case of the deformation potential, the inclusion of screening terms has been disputed. Walukiewicz (1988) argued that screening should not be included in the DP coupling calculation, owing to the short-range nature of the deformation potential.
Subsequent analysis, however, has suggested that screening must be taken into account for both DP and PZ-coupled emission. Gorczya and Krupski (1995) showed by measuring the temperature dependence of electron mobilities in GaAs/(AlGa)As heterostructures below 77K that the unscreened deformation potential model is insufficient to explain the shape of the mobility dependency curve obtained in their results; however, the use of the random phase approximation (RPA), of which the Thomas-Fermi model is a low-wavevector limit, gives good agreement, providing the deformation potential constant is increased from its bulk value of 7eV to an enhanced value of 12eV. The physical rationale behind such an increase in the deformation potential remains unexplained; Vickers (1992) shows that the total energy relaxation rate in 2DEG quantum wells can be modelled well with an unscreened deformation potential of 7eV. For consistency with other models that incorporate screening, however, the value of 12eV has been adopted in the present work.
The many-body deformation potential screening model employed by Jasiukiewicz et al. (1999) has shown good theoretical agreement with direct experimental phonon measurements made on 2DHGs by Strickland (1996) and on 2DEG QWs by Cross et al. (1999). Removing this screening term from the theoretical treatment, the angular distribution of emitted DP-coupled
phonons, as compared with experimental results is found to be incorrect. It is, therefore, the opinion of this author that the Lindhard model described above is equally applicable to the deformation potential, provided an enhanced interaction constant $E_d = 12$ eV is used.
### 2.4.2 Basic Equations of the Electron-Phonon Interaction
The two-dimensional electron gas under consideration is assumed to exhibit the behaviour of a perfect Fermi gas of non-interacting particles in thermal equilibrium.
The Fermi energy is given by the parabolic dispersion relationship:
$$E_F = \frac{\hbar^2 k_F^2}{2m^*} \quad (2.50)$$
where $k_F$, the Fermi wavevector is $k_F = (2\pi N_s)^{1/2}$.
All electron states are filled up to the Fermi energy, and empty thereafter, with the boundary between filled and empty states “smeared” over a region of $\approx k_B T$, as depicted in Figure 2.10.
The theoretical dynamics of the electron-phonon interaction are governed primarily by considerations of momentum and energy conservation, both in the plane of the 2DEG, and in the normal direction.
The relaxation of an excited electron, emitting a phonon, may be represented as a conservation process in momentum space:
$$k = k' + q \quad (2.51a)$$
Figure 2.10: Occupied and empty electron states are separated by an energy $\sim k_B T$ at the Fermi energy $E_F$
Figure 2.11: Electron-phonon interaction represented as transitions on the Fermi circle
where $k$ and $k'$ represent the initial and final electron states and a phonon of wavevector $q$, with energy $\hbar \omega_q$, is emitted in the process. The corresponding expression for the absorption of a phonon is similarly written:
$$k = k' - q$$ \hspace{1cm} (2.51b)
Energy is also conserved in the interaction, i.e.:
$$E_k = E_{k'} \pm \hbar \omega_q$$ \hspace{1cm} (2.52)
where + indicates emission, and − represents absorption.
These transitions are represented diagramatically on the Fermi circle, shown in Figure 2.11. Due to the sharp boundary between filled and empty $k$-states at low temperatures, all electrons undergoing a transition have energies comparable to the Fermi energy, i.e. $|k| \approx |k'| \approx |k_F|$.
The net energy transferred between electron and phonon, $\hbar \omega = \hbar^2 \Delta k^2 / 2m^*$ is therefore small with respect to the Fermi energy $E_F$. The maximum allowed transfer of momentum is limited by the case of an electron scattering from one point on the Fermi circle to the point diametrically opposite, a distance of $2k_F$ in wavevector-space. This imposes a limiting value for the phonon wavevector component in the 2D plane, known as the $2k_F$ cutoff:
$$q_{//} \leq 2k_F$$ \hspace{1cm} (2.53)
Momentum conservation perpendicular to the plane is accounted for in the transition matrix element, formed by the overlap integral of the initial and final electron states:
\[ M_k^{k',(q,\lambda)} = \langle k' | V_{e-p} | k \rangle = \int \Psi_k^* V_{e-p} \Psi_k dr \]
(2.54)
where \( V_{e-p} \) represents the deformation or piezoelectric coupled interaction potential, \( k \) and \( k' \) are the initial and final electron states, and \((q,\lambda)\) represents the wavevector and mode of the emitted phonon.
Applying Equation 2.54 to the interaction potentials in turn, the electron-phonon coupling matrix element in each case is obtained.
The matrix element integral can be split into separate integrals for the directions parallel and perpendicular to the 2D electron gas respectively. From the parallel integral, a conservation of momentum expression is obtained, yielding the \( 2k_F \) momentum cutoff. The integral over \( z \) gives rise to a bound-state form factor \( |F(q_z)|^2 \) (Stern and Howard, 1967), where:
\[ F(q_z) = \int \Psi_0^*(z) \exp(iq_z z) \Psi_0(z) dz \]
(2.55)
where \( \Psi_0 \) is the ground-state wavefunction for the 2D layer.
For a heterojunction, assuming a triangular confinement potential described by the Stern-Howard variational wavefunction, a well-known result is obtained:
\[ |F(q_z)^2| = \frac{1}{\left(1 + q_z^2 a_o^3\right)^3} \]
(2.56)
For an infinitely deep square quantum well, with ground-state wavefunction given by Equation 2.9, after a slightly lengthy integral (see Appendix A for derivation), the following form factor is obtained:
\[ |F(q_z)^2| = K^2 (\sin^2 q_z w + (1 - \cos q_z w)^2) \]
(2.57)
where \( K = \left( \frac{1}{q_z w} \right) - \left( \frac{1}{2(q_z w + 2\pi)} \right) - \left( \frac{1}{2(q_z w - 2\pi)} \right) \)
For a quantum well with a finite potential step, the form-factor may be evaluated numerically, by re-expressing Equation 2.57 in non-complex notation:
\[
|F(q_z)|^2 = \left( \int |\Psi_0(z)|^2 \cos(q_z z) dz \right)^2 + \left( \int |\Psi_0(z)|^2 \sin(q_z z) dz \right)^2
\]
(2.58)
In computing the finite potential well wavefunction \( \Psi_0(z) \) (Equations 2.10a,b), the approximation \( k \sim k_F \) is made, as described above.
The coupling matrix elements may be more conveniently expressed as the product of terms that are respectively independent, \( |M_k^{k',(q,\lambda)}| \), and dependent, \( A_{q,\lambda} \), upon the directions of the phonon wavevector \( q \) and polarisation vector \( \varepsilon \), i.e.
\[
|M_k^{k',(q,\lambda)}|^2 = |M_k^{k',(q,\lambda)}|^2 \times A_{q,\lambda} \times S_{q,\lambda} \times |F(q_z)|^2 \times \delta(k, k' + q_\parallel)
\]
(2.59)
The term \( S_{q,\lambda} \) represents the screening of the interaction potential as discussed above, and the final two terms account for the momentum conservation requirements respectively perpendicular to, and parallel with the 2DEG plane.
For the deformation potential and piezoelectric interactions in turn, the components of \( |M_k^{k',(q,\lambda)}|^2 \) and \( A_{q,\lambda} \) are given by:
\[
\frac{2\pi}{\hbar} \left| M'_{DP} \right|^2 = \frac{\pi E_d^2 q}{L^3 \rho s_{LA}} \quad A_{q,DP} = \frac{s_{LA}}{\nu_{q,\lambda}} \left( \hat{q}_x e_x^\lambda + \hat{q}_y e_y^\lambda + \hat{q}_z e_z^\lambda \right)^2
\]
(2.60a)
(2.60b)
\[
\frac{2\pi}{\hbar} \left| M'_{PZ} \right|^2 = \frac{\pi (eh_n)^2}{L^3 \rho s_{LA} q} \quad A_{q,PZ} = \frac{s_{LA}}{\nu_{q,\lambda}} \left( \hat{q}_x \hat{q}_x e_x^\lambda + \hat{q}_z \hat{q}_x e_y^\lambda + \hat{q}_y \hat{q}_z e_z^\lambda \right)^2
\]
(2.61a)
(2.61b)
### 2.4.3 Acoustic Phonon Emission
The relaxation of an excited electron through the emission of an acoustic phonon is characterised by the crystal momentum conservation equation \( k = k' + q \), where \( k \) is the initial electronic state, \( k' \) is the state into which the electron is scattered, and \( q \) is the wavevector of the phonon emitted in the process.
In the treatment given here, the emission of acoustic phonons by a hot gas of free two-dimensional electrons is considered, with the following assumptions:
- The carriers are in thermal equilibrium and any drift velocity effects can be ignored; i.e. a Fermi carrier distribution.
- The electron temperature \( T_e \) is in the regime \( k_B T_l < k_B T_e < \hbar \omega_{LO} \), where \( \hbar \omega_{LO} \) is the energy at which optic phonon emission becomes significant.
- The screening of the interaction potentials and anisotropy of the electron-phonon interaction are incorporated using the form of the coupling matrix elements given above in 2.4.2.
The probability of a transition between two discrete electron states \( k \) and \( k' \) is given by the Fermi Golden Rule:
\[ W_k^{k',q} = \frac{2\pi}{\hbar} |M_k^{k',(q,\lambda)}|^2 \delta(E_k - E_{k'} - \hbar \omega_q) \]
(2.62)
where \( |M_k^{k',(q,\lambda)}|^2 \) is the squared electron-phonon coupling matrix element.
The energy relaxation rate into a phonon mode of wavevector \( q \), and polarisation \( \lambda \) is given by the product of the phonon energy and emission rate:
\[ P_{q,\lambda} = \hbar \omega_{q,\lambda} \frac{dn_q}{dt} \]
(2.63)
where \( n_q \) is the Bose-Einstein occupation number of the phonon mode \( q \).
The total emission rate into the phonon mode \( q, \lambda \), summed over all possible electron states, for a given temperature, is given by:
\[ \Lambda_k^{k,q,\lambda} = \frac{dn_q}{dt} = g_s g_v \sum_{k,k'} \left( f_k (1 - f_{k'}) (n_{q,\lambda} + 1) W_k^{k',q,\lambda} \right) \]
(2.64)
where \( g_s, g_v \) are the spin and valley degeneracies of the electronic \( k \)-states, \( f_k, f_{k'} \) are the Fermi-Dirac electron distribution functions of the initial and final states, and \( n_{q,\lambda} \) is the Bose-Einstein phonon occupation number of the mode \( q, \lambda \).
In considering the net emission at a carrier temperature \( T_e \) in a semiconductor having a bulk, or lattice temperature \( T_l \), where \( T_e >> T_l \), the overall power emitted into the phonon mode \( q, \lambda \) is given by:
\[ P_{q,\lambda} = \hbar \omega_{q,\lambda} \left( \Lambda(T_e) - \Delta(T_l) \right) \]
(2.65)
The approximation is made that $T_e >> T_l$ and so the energy flowing from phonons to electrons in absorption processes is negligible compared to the energy transferred to emitted phonons.
Expanding the previous equation:
$$P_{q,\lambda} = \hbar \omega_{q,\lambda} g_s g_v \frac{2\pi}{\hbar} |M_k^{k'(\varepsilon,q,\lambda)}|^2 [n_{q,\lambda}(T_e) - n_{q,\lambda}(T_l)] \sum_{k,k'} (f_k^{T_e} - f_k'^{T_l}) \delta(E_k - E_k' - \hbar \omega_{q,\lambda})$$
(2.66)
Replacing the matrix element term by the constituent parts in Eq. 2.60:
$$P_{q,\lambda} = \hbar \omega_{q,\lambda} g_s g_v \frac{2\pi}{\hbar} |M_k^{k'(\varepsilon,q,\lambda)}|^2 A_{q,\lambda} S_{q,\lambda} |F(q_z)|^2 [n_{q,\lambda}(T_e) - n_{q,\lambda}(T_l)] \sum_{k,k'} (f_k^{T_e} - f_k'^{T_l}) \delta(E_k - E_k' - \hbar \omega_{q,\lambda}) \delta(k, k' + q_n)$$
(2.67)
Following the technique of Toombs et al. (1987) and Hawker (1990), the summation over $k$-states is transformed to an integral that may be expressed in energy terms:
$$P_{q,\lambda} = \hbar \omega_{q,\lambda} g_s g_v \frac{2\pi}{\hbar} |M_k^{k'(\varepsilon,q,\lambda)}|^2 A_{q,\lambda} S_{q,\lambda} |F(q_z)|^2 [n_{q,\lambda}(T_e) - n_{q,\lambda}(T_l)] \sum_{k,k'} (f_k^{T_e} - f_k'^{T_l}) \delta(E_k - E_k' - \hbar \omega_{q,\lambda}) \delta(k, k' + q_n)$$
(2.68)
To obtain the total energy loss rate of the two dimensional electron gas, the above expression must be summed over all permitted phonon wavevectors and polarisations:
$$P_{total} = \sum_\lambda \int d\Omega \int dq P_{q,\lambda} \frac{q^2 V}{(2\pi)^3}$$
(2.69)
where $V q^2 d\Omega dq / (2\pi)^3$ is the number of normal modes in a volume of phase space $q^2 d\Omega dq$, and $d\Omega = \sin \theta d\theta d\varphi$ is the element of solid angle into which the phonons are emitted.
Chapter 3
Theory Results
3 Theory Results and Discussion
3.1 Introduction
This chapter presents a complete model for the emission and propagation of acoustic phonons from a hot two-dimensional electron (or hole) gas in a cubic semiconductor crystal, in the form of a computer simulation devised and written by the author.
A brief description of the concepts and approach used in the development of the program software is given, followed by a detailed treatment of the 2D phonon system being experimentally investigated in later chapters of this work.
Finally, the importance of such aspects as interaction screening and matrix element anisotropy in the representation of the electron-phonon system is discussed with reference to numerical calculations performed using the model.
3.2 Computer Simulation of 2D Phonon System
The computer program “2D Phonon Theory Simulator” was written by the author in order to graphically illustrate the equations presented in Chapter 2.
The principal objective of the program is to facilitate the calculation of the acoustic phonon emission rate with respect to a number of variable parameters of the 2D system, e.g. electron temperature, sheet density, quantum well width, emission angle, phonon frequency, mode(s) and coupling process(es). Furthermore, by making it possible to selectively include or exclude such factors as interaction screening and matrix element anisotropy, and comparing the program output to experimentally obtained results,
conclusions may be drawn regarding the importance of the inclusion of these factors in the model.
To fulfil these requirements, a user interface for the program was developed using the Microsoft Visual Basic 4.0 environment (Figure 3.1), to facilitate the setting of these parameters, which are automatically saved and restored between sessions.
The user interface also includes custom-written routines to handle the display of graphs and images (Figure 3.2), incorporating such functionality as zooming, rescaling and linescans through images. The interface is supplemented by a library of routines to handle the numerical calculations, written in C using Microsoft’s Developer Studio 4.0 in order to optimise the speed of program execution. This library is compiled into a 32-bit Windows DLL (dynamic link library) that is distributed with the main interface program.
In order to accurately “map” the theoretical distribution of emitted phonon energy emerging from a source positioned at one surface of a cubic crystal, and arriving at a detector on the opposite face, it is necessary to consider two dominant factors in determining the distribution of wavevectors and modes in the detected phonon flux: the electron-phonon interaction and the phonon propagation through the crystal.
Figure 3.1: Properties of the electron-phonon interaction and experimental arrangement can be configured before starting a virtual phonon experiment.
Figure 3.2: Image and line-graph functionality of the Theory simulation
3.3 Computer Simulation of Phonon Focusing
Considering first the phonon propagation: phonon focusing, as discussed in 18.104.22.168, significantly affects the angular distribution of phonon energy, owing to the non-colinearity of wavevector and energy transport in anisotropic cubic media. Northrop (1982) developed a FORTRAN program to obtain an analytic expression for the phonon flux enhancement factor $A$ for an arbitrarily chosen phonon wavevector direction in $k$-space, based on the solution of the Christoffel elastic matrix as given in Every (1980).
With the improvement in computing power since this first program, it has become possible to apply Monte-Carlo techniques to the generation of phonon focusing patterns. With such a method, a large number of “virtual” phonons (hereafter referred to simply as “phonons”), having wavevector directions $\theta_q$, $\varphi_q$ chosen randomly from an isotropic distribution, are generated. Their associated group velocity directions $\theta_v$, $\varphi_v$ are calculated in the framework of elastic waves, and the result is mapped onto a detector plane. (Gancza and Paskiewicz, 1995) The isotropic LA and TA phonon focusing patterns shown in Figure 2.9 are obtained using such a method.
3.3.1 Computer Simulation of Electron-Phonon Interaction
To complete the task of modelling of emitted phonon energy flux reaching a detector region positioned on one face of an anisotropic crystal, it is also necessary to compute the angular distribution of such wavevectors at the point of emission from the source that arises from the energy and momentum conservation requirements of the electron-phonon interaction.
Considering first the focusing: in 3.2.1 above, a “Monte-Carlo” technique for mapping out the focusing pattern is described, based on explicit calculation of the group velocities associated with randomly chosen wavevector directions from an isotropic angular distribution.
In order to account for the non-uniformity of the anisotropic distribution of wavevectors obtained from the electron-phonon interaction, two main approaches may be taken.
In the first approach, phonon wavevectors are chosen randomly over the full range of angular directions as before. The energy relaxation rate into a unit solid angle $d\Omega$ is calculated for the chosen direction, integrating over all possible wavevector magnitudes $q$. The resulting energy loss rate is used to scale the mapped result onto the detector plane. This is in contrast to the isotropic Monte-Carlo approach, in which each created phonon contributes an equal weight to the phonon image.
An alternative, novel approach has been developed by the author, in which the energy weighting of each phonon is equal, as in the simple isotropic Monte-Carlo model. This is achieved through the use of a “selective wavevector” Monte-Carlo technique. In this method, the electron-energy relaxation rate calculation is performed first, for all phonon modes and wavevectors. The results of this calculation are stored in a large data array of $N$ points, as a function of $\theta$, $\varphi$ and the phonon mode.
This array is then transformed into a new array, $P_{int}$, storing “integrated power”, where:
$$P_{int}(n) = \sum_{m=1}^{n} P_{non-int}(m)$$
i.e. the $n$th element of the modified array contains the summed total of the 1st, 2nd, 3rd... $(n-1)$th and $n$th elements of the original array, so that the final element, $P_{total} = P_{int}(N)$ of the transformed array contains the total emitted power into all phonon wavevectors and modes by the 2DEG.
A random power between 0 and $P_{total}$ is then generated, and by “indexing” into the integrated power array using a binary search technique, the wavevector directions $\theta$, $\varphi$ are found.
By interpolation of the random power, $P_{ran}$, falling between the powers corresponding to two successive integrated power array elements $P_{m}(\vartheta_n, \varphi)$, $P_{m}(\vartheta_{n+1}, \varphi)$, the $\theta$-angle is obtained. The range of possible $\theta$-angles is continuous, as in the isotropic Monte-Carlo technique. The $\varphi$-angles, however, are discrete, stepped at intervals determined by the array size $N$ (which in turn is determined by the time allowed by the user for calculation of the electron-phonon coupling). Therefore, to transform $\varphi$ into a continuous function, a re-randomisation algorithm is applied, represented in pseudo-code as:
$$\varphi_{randomised} = \varphi_m + \Delta \varphi \left( RAND(1) - \frac{1}{2} \right)$$
where the function RAND(1) returns a pseudo-random floating-point number between 0 and 1, and $\Delta \varphi$ is the interval between the two elements in the data array.
The principal advantage of this “selective wavevector” procedure is that the efficiency with which the final image is defined is increased, as the contribution to the image that will be made up by each generated Monte-Carlo phonon is already known. By contrast, there may be several orders of magnitude of difference between the minimum and maximum emission power contribution of randomly chosen wavevector directions in the first model described above. The integrated power array may also be saved to disk, allowing it to be reloaded into memory to generate further focusing patterns based on the same electron-phonon system, without the requirement to recalculate the effects of the interaction.
Consequently, after the initial computing cost of calculating the electron energy relaxation rate has been paid, anisotropic phonon focusing patterns may be generated almost as quickly as for isotropic patterns (approximately 30,000 phonons/second on an 375MHz AMD K6-2 processor), enabling high-resolution images to be generated very quickly (less than one minute is usual) on a modern PC computer.
Comparison of the images obtained with this technique show good qualitative agreement in the focusing structures observed by Jasiukiewicz et al. (1999), using long acquisition times on UNIX mainframe computers.
### 3.4 Calculations of Electron Energy Relaxation from a Heated 2DEG Quantum Well
The discussion that follows describes the emission of acoustic phonons by hot electrons confined in a 2DEG quantum well, in terms of the results of calculations performed using the computer program described above. In all cases, unless otherwise stated, the full model of the electron-phonon interaction is used, including dynamic Lindhard screening and electron-phonon coupling matrix element anisotropy.
*Table 3.1* shows the numerical values used for parameters found in the equations of Chapter 2.
| Parameter | Value |
|------------------------------------------------|------------------------|
| DP coupling constant $E_d$ | 12.0 eV |
| PZ coupling constant $h_{14}$ | 1.45 x 10$^9$ eV m$^{-1}$ |
| Density $\rho$ | 5316 kg m$^{-3}$ |
| Elastic constants | |
| $C_{11}$ | 121.1 x 10$^{10}$ dyn cm$^{-2}$ |
| $C_{12}$ | 54.8 x 10$^{10}$ dyn cm$^{-2}$ |
| $C_{44}$ | 60.4 x 10$^{10}$ dyn cm$^{-2}$ |
| Al concentration $x$ in $(\text{Al}_x\text{Ga}_{1-x})\text{As}$ | 0.33 |
| Electron effective mass in well $m^*$ | 0.0667$m_0$ |
|--------------------------------------|-------------|
| Electron effective mass in barrier $m_B^*$ | 0.0940$m_0$ |
| Height of QW potential barrier $V_0$ | 332mV |
| Spin degeneracy $g_s$ | 2 |
| Valley degeneracy $g_v$ | 1 |
| Dielectric constant $\varepsilon_r$ | 13.2 |
| Isotope scattering constant $A$ | $7.38 \times 10^{-42} \text{ s}^3$ |
**Table 3.1:** Numerical parameters used in theoretical model.
An important consideration in studying the phonon emission from a 2DEG is the relative strengths of the DP and PZ interaction potentials. *Figure 3.3* shows the angle-averaged matrix elements $|M_{e-\gamma}|^2$ for the deformation potential and piezoelectric interaction, from *Equations 2.55* and *2.56*.
The deformation potential varies linearly with the magnitude of the phonon wavevector $q$, whereas the piezoelectric interaction varies as $q^{-1}$. Deformation potential coupling favours higher wavevectors, therefore it is the dominant process by which the electron-phonon interaction occurs at high temperatures and for high-energy transitions. PZ coupling is the preferred mechanism for small wavevector transitions, and dominates only for very low temperatures. ($T_e < 1\text{K}$ in narrow quantum wells, $T_e < 3\text{K}$ in heterojunctions)
Using the values for the DP and PZ coupling constants given above, the crossover between the piezoelectric interaction and deformation potential occurs at $q_z = 1.83 \times 10^8 \text{ m}^{-1}$, above which the deformation potential is dominant. The extent to which the dominance occurs, however, is dependent upon the $2k_F$ and $1/a_0$ interaction cutoffs. The bound-state form factors $|F(q_z)|^2$ are shown in *Figure 3.4*. Assigning a cutoff wavevector $q_c$, defined as the value at which the form factor falls to $1/e$, *Table 3.2* shows how the interaction cutoff varies depending on the thickness of the 2D sheet (in all cases, the sheet density, $N_s$, has been taken to be $2 \times 10^{15} \text{ m}^{-1}$)
| 2DEG parameters | Cutoff wavevector $q_c$ |
|-----------------|------------------------|
| Heterojunction / $a_0 = 3$nm | $2.1 \times 10^8$ m$^{-1}$ |
| Infinite-height QW / $a_0 = 6.8$nm | $7.9 \times 10^8$ m$^{-1}$ |
| Finite-height QW / $a_0 = 3.6$nm | $7.3 \times 10^8$ m$^{-1}$ |
| Finite-height QW / $a_0 = 6.8$nm | $5.3 \times 10^8$ m$^{-1}$ |
| Finite-height QW / $a_0 = 10.0$nm | $4.1 \times 10^8$ m$^{-1}$ |
Table 3.2: Variation of $1/a_0$ cutoff with 2D sheet thickness
For a typical heterojunction, the $1/a_0$ cutoff is expected to suppress the emission of all phonon wavevectors of magnitude $q > 2.1 \times 10^8$ m$^{-1}$, a wavevector closely comparable to the DP-PZ matrix element crossover. In this case, therefore, DP coupling will never clearly dominate over the PZ coupling. This suppression of DP-coupled modes has been presented at the primary reason for the absence of the “classically-predicted” dominant LA mode in heterojunctions (see e.g. Strickland, 1996).
Conversely, in narrower QWs, the $1/a_0$ cutoff is much weaker, with suppression of phonon emission being pushed to a much larger wavevector, so that the dominant DP coupled modes predicted by the matrix elements are expected to be observed. It is also of note that the finite height quantum well approximation makes a significant difference to the form factor: using the infinite-height quantum well approximation results in a considerable weakening of influence of the $1/a_0$ cutoff, and consequently the DP coupling strength is overestimated.
Figure 3.5 shows the numerically calculated overall electron energy relaxation rate due to deformation potential coupled acoustic phonon emission in a 6.8nm GaAs/(AlGa)As quantum well, as a function of the electron temperature $T_e$. The carrier density $N_s$ has been taken to be $2.0 \times 10^{15}$ m$^{-2}$, and
Figure 3.3: Angle-averaged electron-phonon matrix elements for DP and PZ coupling
Figure 3.4: Bound-state form factors of 2DEGs of varying widths
Figure 3.5: Temperature dependence of deformation potential coupled phonon emission from 6.8nm QW
Figure 3.6: Temperature dependence of piezoelectric coupled phonon emission from 6.8nm QW
the assumption is made that the lattice temperature $T_l \sim 0$K. Two distinct regions are seen in the results: at very low temperatures, $T_e \leq 1.5$K, the relaxation rate varies as $P \sim T_e^{-7}$, characteristic of screened DP coupling in the absence of the momentum cutoffs. At higher temperatures, the $2k_F$ and $1/a_0$ cutoffs strongly influence the spectrum of emitted phonons, weakening the dependence on $T_e$, which tends towards $P \sim T_e$ at high temperatures.
For piezoelectric coupling (Figure 3.6), the power varies as $P \sim T^5$ at very low temperatures, again weakening towards a linear dependence as the temperature is increased. The crossover between DP and PZ coupling occurs at $T_e = 1.1$K, in notable contrast to calculations for heterojunctions (e.g. Kent, 1998), where PZ-coupled TA modes are predicted to account for one third of the energy relaxation rate at 50K. This discrepancy can be attributed to the much weaker $1/a_0$ cutoff in a 6.8nm quantum well and to differences between the screening methods applied in each case.
Figure 3.7 shows the dependence of the total emission power from a hot 2DEG QW on the 2D carrier density as a function of (a) emission angle, (b) temperature, and (c) well width. The carrier density $N_s$ determines the Fermi energy of the 2D electron system and, therefore, the energy at which phonon emission is suppressed due to the $2k_F$ cutoff. The correlation of the carrier density to the $1/a_0$ cutoff is much weaker: from Figure 3.7a it is seen that at small angles, where $q_x = q \cos \theta$ is at its greatest value, the variation of power with carrier density converges to a single curve. Figure 3.8 shows the ratio of the total LA and TA phonon energies emitted as a function of the carrier density: this ratio varies by only $\sim 10\%$ over the range of $N_s$ values of interest experimentally. These observations justify the use of quantum well samples with carrier densities in the range $N_s = 1.7 \times 10^{15} \text{m}^{-2}$ to $3.7 \times 10^{15} \text{m}^{-2}$ in the experimental studies presented in this work.
Figure 3.7: Variation of total emitted phonon power with 2D electron density $N_e$, as function of (a) emission angle $\theta$ to 2DEG normal, (b) electron temperature $T_e$.
Figure 3.7(c): Variation of total emitted phonon power with 2D electron density $N_s$, as function quantum well width $w$.
Figure 3.8: Ratio of DP to PZ-coupled emission power as function of 2D electron density $N_s$.
Figure 3.9: Total phonon power from (a) $w = 3$nm ($N_s = 1.7 \times 10^{15}$m$^{-2}$), (b) $w = 6.8$nm ($N_s = 2.0 \times 10^{15}$m$^{-2}$) and (c) $w = 15$nm ($N_s = 3.6 \times 10^{15}$m$^{-2}$) 2DEG quantum wells at $T_e = 50$K. Emission is from a point source, propagated through a 380µm thickness of GaAs substrate and detected on an 800x800µm surface directly opposite the source.
3.4.1 Angular dependence of emitted power
The strong angular dependence of the emission is illustrated by Figure 3.9. These images show the calculated phonon energy flux arriving on the surface of the 380μm thick (100) wafer directly opposite the 2DEG for quantum wells of width \( w = 3 \text{nm}, 6.8 \text{nm} \) and 15nm respectively, (\( N_s = 2 \times 10^{15} \text{m}^{-1} \)) at a temperature \( T_e = 50K \). The images represent a surface area of 800x800μm, i.e. a total subtended angle of approximately 90° (+/- 45° around the 2DEG normal). The strong anisotropy of the emission and its dependence on the well width are clearly seen. This is due to the \( 1/a_0 \) cutoff, limiting the allowed phonon wavevectors that may be emitted from the source, and focusing of the phonons along directions of crystallographic symmetry during their propagation to the detector.
Considering first the anisotropy arising from the \( 1/a_0 \) cutoff, Figures 3.10 to 3.13 show the angular distribution of the emitted phonon power from a point source, for each of the coupling-mode combinations DP-LA, DP-TA, PZ-LA and PZ-TA, as a function of a) electron temperature \( T_e \) and b) quantum well width \( w \). The images depict the angular dependence in two dimensions, as mapped onto a surface of area 800x800μm, separated from the source by a orthogonal distance of 380μm. Each image is normalised to the peak power in its corresponding graph. Phonon focusing is not taken into account in these figures.
In general, it is seen that the peak angle in the emission spectrum shifts to narrower angles for higher temperatures and, more notably, for narrower well widths, demonstrating the effect of the \( 1/a_0 \) cutoff:
\[
q_x = q \cos \theta \leq \frac{1}{a_0}
\]
(3.3)
Figure 3.10 (a) : Angular distribution of emitted DP-coupled LA phonon emission as a function of $T_e$ at 50K, 20K and 5K. ($w = 6.8\text{nm}$)
Figure 3.10 (b) : Angular distribution of emitted DP-coupled LA phonon emission as a function of $w$ at 3.6nm, 6.8nm, 10nm ($T_e = 20\text{K}$)
Figure 3.11 (a) : Angular distribution of emitted DP-coupled TA phonon emission as a function of $T_e$ at 50K, 20K and 5K. ($w = 6.8\text{nm}$)
Figure 3.11 (b) : Angular distribution of emitted DP-coupled TA phonon emission as a function of $w$ at 3.6nm, 6.8nm, 10nm ($T_e = 20\text{K}$)
Figure 3.12 (a) : Angular distribution of emitted PZ-coupled LA phonon emission as a function of $T_e$ at 50K, 20K and 5K. ($w = 6.8\text{nm}$)
Figure 3.12 (b) : Angular distribution of emitted PZ-coupled LA phonon emission as a function of $w$ at 3.6nm, 6.8nm, 10nm ($T_e = 20\text{K}$)
Figure 3.13 (a) : Angular distribution of emitted PZ-coupled TA phonon emission as a function of $T_e$ at 50K, 20K and 5K. ($w = 6.8\text{nm}$)
Figure 3.13 (b) : Angular distribution of emitted PZ-coupled TA phonon emission as a function of $w$ at 3.6nm, 6.8nm, 10nm ($T_e = 20\text{K}$)
As the temperature $T_e$ and characteristic phonon wavevector $q$ are increased, so the average emission angle $\theta$ must decrease to satisfy the equation. Similarly, if the well width $w$ (and hence $a_0$) is reduced, so the angle $\theta$ must become smaller to compensate.
The deformation potential modes show a large change in emission power between 5K and 20K, corresponding to the region on the power-temperature graph (Figure 3.5) in which the dependence has not yet become linear: in quantum well devices, the $1/a_0$ cutoff is sufficiently weak that the deformation potential continues to strengthen non-linearly until the temperature is very close to the acoustic-optic crossover ($T_e \approx 50K$). By contrast, the increase in the piezoelectric power shows only a thermal behaviour, increasing approximately linearly throughout the 5K – 50K range.
As expected, the graphs show strongly dominant DP-coupled LA emission, peaking at $P \sim 3000Wm^{-2}$ (1.5pW/electron) at 50K. These modes are emitted in a tight cone around the 2DEG normal, peaking at an angle of $\sim 12^\circ$. A “hole” appears at the centre of the emission pattern, owing to the matrix element term, which couples together orthogonal states, disappearing at very small angles ($\theta < \frac{v_\perp}{v_F}$).
The DP-coupled TA phonon response is of particular interest. Coupling of transverse phonons to the deformation potential is forbidden if the assumption of isotropic electron-phonon coupling matrix elements is taken. However, if the anisotropic matrix elements are used, the DP TA emission power is found to be somewhat stronger than the PZ TA power in the range of temperatures and well widths under consideration. Therefore, doubt must be cast on the validity of earlier theoretical models that assumed that the electron-phonon system could be described using the assumption of emission exclusively into DP-coupled LA and PZ-coupled TA phonon modes.
As with the DP-coupled LA mode, the TA mode is emitted into a tight cone around the 2DEG normal, though the "hole" at small angles is observed to be somewhat larger, due to the lower relative velocity of the TA mode compared to the LA mode.
The PZ-coupled TA mode is emitted at a wider angle, due to the $q^{-1}$ dependence of piezoelectric coupling, and lacks the toroidal shape of the DP emission spectra, owing to the anisotropic $\varphi$-dependence of the PZ matrix element (Equation 2.56b). The emission is seen to be strongest in the same directions that are associated with fast transverse mode focusing.
The PZ LA mode is the weakest of all, having a peak power some 100 times less than the DP LA mode. Once normalised for total power, the angular emission spectra is seen to have almost no dependence on either temperature or well width.
Considering now the total energy flux detected at a point on a surface opposite the 2DEG source, separated by some thickness of an anisotropic crystalline material, e.g. GaAs, the effects of phonon focusing must be applied, transforming the angular distribution of phonon wavevectors (which run parallel to the phonon phase velocity) into a distribution of phonon group velocities.
Figures 3.14 to 3.17 show the angular distributions of the total emitted phonon power from a hot 2DEG QW ($w = 6.8\text{nm}$, $N_s = 2 \times 10^{15}\text{m}^{-2}$), where the $\theta$-axis has been mapped onto a $\theta_\nu$-axis, representing the direction of the phonon group velocity, for each of the coupling-mode combinations DP-LA, DP-TA, PZ-LA and PZ-TA, as before, as functions of (a) electron temperature $T_e$ and (b) well width $w$.
Figure 3.14 (a) : Angular distribution of detected DP-coupled LA phonon emission as a function of $T_c$ at 50K, 20K and 5K. ($w = 6.8\text{nm}$)
Figure 3.14 (b) : Angular distribution of detected DP-coupled LA phonon emission as a function of $w$ at 3.6nm, 6.8nm, 10nm ($T_c = 20\text{K}$)
Figure 3.15 (a) : Angular distribution of detected DP-coupled TA phonon emission as a function of $T_e$ at 50K, 20K and 5K. ($w = 6.8\text{nm}$)
Figure 3.15 (b) : Angular distribution of detected DP-coupled TA phonon emission as a function of $w$ at 3.6nm, 6.8nm, 10nm ($T_e = 20\text{K}$)
Figure 3.16 (a) : Angular distribution of detected PZ-coupled LA phonon emission as a function of $T_e$ at 50K, 20K and 5K. ($w = 6.8\text{nm}$)
Figure 3.16 (b) : Angular distribution of detected PZ-coupled LA phonon emission as a function of $w$ at 3.6nm, 6.8nm, 10nm ($T_e = 20\text{K}$)
Figure 3.17 (a) : Angular distribution of detected PZ-coupled TA phonon emission as a function of $T_e$ at 50K, 20K and 5K. ($w = 6.8\text{nm}$)
Figure 3.17 (b) : Angular distribution of detected PZ-coupled TA phonon emission as a function of $w$ at 3.6nm, 6.8nm, 10nm ($T_e = 20\text{K}$)
An interesting feature of these graphs is that the shift in the peak of angular distribution as the well width, temperature and carrier density are changed is lessened. The focusing factor is sufficiently strong that these minor shifts are “washed out”.
The DP LA “detected” (i.e. group velocity) angular distribution is similar to the “emitted” (phonon wavevector) distribution, but pushed out to a wider angle, due to the (111) focusing direction (~ 50 degrees to the normal) of LA modes. The “character” of the emission however is still evident in the images; the nature of the DP LA angular dependence of emission may be described as being “governed” by the electron-phonon interaction.
A sharp contrast is observed with the DP TA mode: the detected phonon pattern is qualitatively very similar for all temperatures and well widths, varying only in magnitude; the variation in peak angle observed in Figure 3.11 above has been almost entirely neutralised by the very strong TA focusing towards the (100) direction. The angular dependence of emission for DP TA phonon modes is therefore governed by focusing, i.e. by the anisotropy of the crystal medium. The magnitude of the DP TA response, however, is determined by the details of the electron-phonon coupling.
One interesting point, however, is the absence of both the diagonal fast transverse and the “Maltese Cross” slow transverse caustic “arms” in the focusing pattern, due to the tight cone emission of the DP TA mode. This is due to the additive effect of the electron-phonon coupling and TA focusing, both pulling the emission in to very small angles normal to the 2DEG.
Similar uniformity is evident in the angular emission spectra for the PZ TA mode: the strong focusing of the TA phonons again cancels out much of the variation in angular dependence seen in the distribution of phonon wavevectors. Unlike the DP TA mode, the fast-TA diagonal arms are present, and indeed, enhanced relative to the remainder of the image, owing to the electron-phonon interaction emitting strongly in these directions. The
“Maltese Cross” slow-TA structure however is almost entirely missing, being only weakly visible in the 5K image. The fast-TA caustics run to larger angles at wider well widths, fading at smaller angles for narrower well widths. However, at lower well widths and higher temperatures, the fast TA diagonal arms are seen to extend inwards to smaller angles, impinging on the central slow-TA structure, as indicated by a small “shoulder” in the distribution graphs at an angle $\theta \sim 3^\circ$.
As with the DP LA mode, the PZ LA detected emission pattern shows little difference from the phonon wavevector angular distribution, shifting slightly outward to angles close to the LA focusing direction. Consequently, the PZ LA emission will be of little further interest in this work: the results that will be presented are based on phonon time of flight experiments, in which the overall LA and TA emission strengths are considered; the PZ LA represents such a small fraction of the overall LA emission as to be essentially negligible, furthermore the experimental detectors are placed at angles less than $30^\circ$, where the emitted PZ LA power is virtually zero. Subsequent discussion will therefore largely omit detailed consideration of this mode.
### 3.4.2 Emission Power at Experimental Detectors
The integrated power at three small spatial windows corresponding to detectors used in an experimental study is considered briefly here, as a precursor to a detailed discussion in Chapter 5.
In the experiment, 100x10$\mu$m bolometers were positioned on the opposite face of a 380$\mu$m thick GaAs substrate, (a) directly opposite a 120x50$\mu$m area of active 2DEG, (b) 100$\mu$m distant along the (110) direction, corresponding to an angle of $14^\circ$ normal to the 2DEG centre, and (c) 200$\mu$m distant along the (110) direction, an angle of $27^\circ$.
Figure 3.18: Emitted power detected at 100x10 μm bolometer opposite 120x50 μm source
Figure 3.19: Emitted power detected at 100x10 μm bolometer at 14 degrees to 2DEG normal
Figure 3.20: Emitted power detected at 100x10 μm detector at 28 degrees to 2DEG normal
Figure 3.18 shows the dependence of the phonon signal at detector (a) for the different modes and coupling mechanisms as a function of the QW width.
Here the electron temperature has been taken as $T_e = 50$K, and the carrier density $N_s = 2 \times 10^{15}$ m$^{-2}$. Of particular interest are the PZ-coupled LA modes, which are of negligible contribution to the overall detected emission, and the DP-coupled TA response, which in the isotropic theory approximation would be zero, and here is even stronger than the PZ-coupled TA emission.
These graphs confirm that in quantum well 2DEG devices, DP coupled LA phonons is expected to be the predominant mode detected using bolometers positioned opposite the 2DEG device, however the ratio of LA to TA modes, and of DP to PZ coupling, is strongly dependent on the well width, and therefore the carrier confinement potential. As the well narrows, so the $1/a_0$ cutoff becomes less strong. The overall emission rate increases and especially the emission into DP-coupled LA modes. At very narrow well widths, however, the effects of the penetration of the electron wavefunction into the GaAs/AlGaAs barriers cause an effective lessening of the confinement potential, resulting in a net reduction in the total energy relaxation rate.
As the detector is moved to a wider angle relative to the 2DEG normal (Figures 3.19 and 3.20), the emission becomes even more dominated by DP coupled LA modes. The PZ-coupled LA, while still some two orders of magnitude weaker, also strengthens. This shift towards stronger LA mode emission is consistent with the expectations of phonon focusing, as the detector is moved away from the TA-enhancing (100) direction and towards the (111) LA focusing direction.
Figure 3.21: Angular phonon emission distribution from 6.8nm QW, fully including the effects of matrix element anisotropy and dynamic Lindhard screening.
Figure 3.22: Angular phonon emission distribution from 6.8nm QW, neglecting the effects of screening.
Figure 3.23: Angular phonon emission distribution from 6.8nm QW, using the quasi-static screening approximation.
Figure 3.24: Angular phonon emission distribution from 6.8nm QW, using isotropic electron-phonon coupling matrix elements.
Figure 3.25: Angular phonon emission distribution from 6.8nm QW, using an infinite-square well approximation for the calculation of the electron wavefunction.
3.5 Comparison of the Full Model with the “Classical” Model
Figures 3.21 to 3.25 show the phonon emission image for (a) DP-LA (b) DP-TA (c) PZ-LA and (d) PZ-TA modes, where Figure 3.21 represents the full model of the electron-phonon interaction, Figure 3.22 omits the interaction screening term, Figure 3.23 uses a quasi-static screening term, Figure 3.24 makes the assumption of isotropic electron-phonon coupling matrix elements, and Figure 3.25 assumes an infinite-height quantum well.
3.5.1 Importance of Screening the Interaction Potentials
The images show that screening of the electron-phonon interaction is especially significant in the case of the DP LA mode, reducing its overall intensity by a factor of ~7 at 20K, and also moving the distribution out to a far wider angle to the 2DEG normal. Many classical treatments of the electron-phonon interaction did not apply a screening treatment to the deformation potential, resulting in theoretical predictions of very strong DP LA emission close to the 2DEG normal, that conflicted with experimental observations. The so-called "missing LA mode". The screening term, therefore, provides much of the explanation of why the LA mode is not observed experimentally.
The screened images shown agree well with those obtained by Jasiukiewicz (1999) using a many-body screening approach, indicating that the Lindhard screening model gives an acceptable approximation. Furthermore, comparison of the images obtained with the Lindhard and quasi-static screening methods shows much similarity in the angular dependence, indicating that qualitatively, the quasi-static screening term is entirely reasonable for the screening of the interaction.
3.5.2 Importance of Matrix Element Anisotropy
As discussed above, in the isotropic matrix element approximation, the deformation potential may only couple to LA phonons. The images clearly
Figure 3.26: Variation of total emitted power with well width for finite and infinite-height quantum wells ($T_e = 20K$)
indicate that in fact, DP-coupled TA phonon emission is highly significant, stronger than PZ-coupled TA emission for all but very low ($T_e < 1$K) temperatures. Therefore the inclusion of matrix element anisotropy must be considered essential in a theoretical treatment of the electron-phonon interaction in which the ratio of LA to TA modes emitted is a subject of interest, particularly at small angles where the DP-coupled TA mode is strongly focused. (Figure 3.15)
3.5.3 Importance of Non-Infinite Quantum Well Potential Barrier
The infinite height approximation has been shown to have the effect of weakening the influence of the $1/a_0$ cutoff in the numerical calculations; from the form factors in Figure 3.4 it is seen that the 6.8nm infinite height QW has a weaker $1/a_0$ cutoff than the 3.6nm finite well. As a result, the calculated relaxation rate due to DP-coupled LA phonon emission is considerably greater than for the finite-well approximation, and the emission is pushed to narrower angles. The infinite-well approximation therefore must be avoided if the ratio of LA to TA modes at small angles is of interest.
Additionally, as shown in Figure 3.26, the finite-height well approximation has the effect of reducing the total energy emitted from the 2DEG into all acoustic phonon modes and angles for very narrow well widths, $w < 4$nm. For such widths, the probability of electrons being found in the GaAs/(AlGa) interface is dramatically increased. The phonon scattering rate therefore tends towards the three-dimensional bulk value. This weaker electron confinement leads to a weakening of the electron-phonon coupling and thus the overall energy relaxation rate is reduced.
3.6 Conclusions
In quantum well devices, deformation potential coupled longitudinal acoustic phonons dominate the emission for most temperatures and well widths of interest in this study, as predicted by “classical” theory. However,
the magnitude of the LA signal is reduced considerably when screening and a non-infinite potential well approximation are used, suggesting that these factors should be included in the “classical” model in which the “missing” LA mode was predicted theoretically but not observed experimentally in heterojunctions.
The DP-coupled TA mode, zero in isotropic matrix element approach, is in fact a significant contributor to the total emission.
The DP-coupled LA mode shows strong variation in peak angle with well width and temperature, both at the emission source and after focusing, at the detector, due to the weakness of the LA focusing term. This mode may therefore be considered to be “mobile”.
Transverse acoustic modes, however, show little variation in the angular emission distribution observed at the detector, due to the strength of the focusing factor. These modes may therefore be considered as “static”. However, the nature of the electron-phonon interaction does remove certain structures from the isotropic TA focusing pattern.
The PZ LA mode is so weak as to be safely considered negligible in consideration of the relaxation processes that are relevant to the experimental study presented in the following chapters.
Chapter 4
Device Fabrication and Experimental Technique
4 Device Fabrication and Experimental Technique
4.1 Introduction
In this chapter the techniques used to perform heat-pulse measurements of the acoustic phonon emission from GaAs/(AlGa)As quantum wells are outlined.
The low-temperature experimental arrangement is discussed, along with a review of the methods used to acquire and process the phonon data. Finally, the steps involved in fabricating a 2DEG device from a MBE-grown GaAs quantum well 2DEG wafer are described.
4.2 Experimental Arrangement
4.2.1 Introduction
Figure 4.1 shows a schematic diagram of the system used to investigate the acoustic phonon emission from a 2DEG GaAs/(AlGa)As quantum well. The entire experimental apparatus, with the exception of the controlling computer and the data acquisition cards contained within it, is contained within a “screened room” – a metal cage that filters out external radio-frequency signals.
The 2DEG sample was held in a $^4$He cryostat at a temperature of $\sim 1.8$ Kelvin, and excited by short duration, low power electrical pulses. These pulses were generated by a Philips PM5786B signal generator and fed through a programmable attenuator in order to reduce the signal by 0-63dB before feeding it into the device contacts.
Once excited by the pulse, the heated electrons in the 2DEG relax their energy through the emission of acoustic phonons, which propagate ballistically across the 380$\mu$m GaAs substrate, being detected at the opposite surface by an array of superconducting aluminium bolometers. The cryostat temperature is
Figure 4.1: Schematic diagram of phonon emission experimental arrangement
regulated at the superconducting transition point of the bolometers, so that a slight warming caused by the arrival of phonons results in a measurable change in bolometer resistance. By applying a small (10-100μA) bias current through the bolometer, this resistance change results in a voltage pulse, which is amplified and fed into a digital signal averager.
By averaging a large number of such voltage pulses, the signal to noise ratio of the phonon time-of-flight signal is increased. Further improvement is made by subtracting traces obtained with positive and negative bolometer bias currents; with reverse bias applied, the phonon trace will be reversed, and thus be enhanced in the resultant trace. Signals arising from amplifier ringing or other electrostatic breakthrough, which can have a duration far in excess of the acoustic phonon rise time, will not be reversed, and so are cancelled out in the result trace, leaving only the desired phonon response.
The experiment was controlled by a PC computer and software package, SCAN, developed by the author during the first year of this PhD work. Most of the measurement and control instrumentation was linked on a IEEE-4888 network, enabling experiments to be automated. This network was controlled by a Brain Boxes PC-Elite IEEE interface bus, mounted on a standard ISA interface card inside the PC. Control of each device was performed by instructing it to become the active talker or listener on the network, and then either polling or writing to its data port. Each device supports two input/output streams: "Control", a command buffer for each device, and "Data". Communication between the PC and each device is achieved by sending a command to the control stream of a device, instructing it to become either a "listener" (ready to receive data), or a "talker" (ready to transmit data). The data stream of the device may then be addressed to send or receive the data itself.
4.2.2 Pulse Generation
Electrical pulses, typically of 10-20ns duration and 1μs period, were produced by a Philips PM5786B signal generator. In the experiments presented in this work, it is necessary to measure the phonon response as a function of input power, so a method of controlling the output signal amplitude accurately is required. As this feature is not supported by the PM5786B, a Pascall programmable attenuator was used for this purpose. This device precisely regulates the pulse power, by attenuating an input signal of up to 5V by a specified degree, from 0 to 63dB. The attenuation level is set through the digital output of a Stanford Research Systems SR245 computer module, which itself is controlled by the IEEE bus of the experimental control computer.
To calculate the power absorbed by the 2DEG sample for a particular attenuation level, the theory of acoustic mismatch is used; the heat pulse signal sent into the device is displayed on an oscilloscope, along with the signal reflected from the sample. The two signals are temporally resolved due to the longer distance travelled by the reflected pulse, and the absorbed power is calculated by the equation:
\[ P_{abs} = \frac{V_{in}^2 - V_{out}^2}{Z_o} \]
(4.1)
To account for power loss within the length of the transmission cables (typically ~ 2 metres, including forward and reflected travel), the above equation was also used to measure the incident and reflected powers when the co-axial cable connected to the 2DEG device is instead replaced by a “null” connection, i.e. the signal passes down the co-axial cable and is reflected directly back, without any power absorption from a resistive device. The small
Figure 4.2: Oxford Spectromag cryostat arrangement
cable loss measured was offset from the power absorption values above, when calculating the power input into the 2DEG.
4.2.3 Cryogenic System
The phonon emission experiments were carried out at low temperatures of $\sim 1.5$K. At this temperature, the phonon mean free path is large compared to the sample dimensions, and so propagation is ballistic. For the purpose of maintaining such temperatures, an Oxford Instruments Spectromag 3 $^4$He cryostat, adapted for optical access, was used. The cryostat schematic arrangement is shown in Figure 4.2.
The cryostat has a tail set, accommodating a 7 Tesla superconducting split-pair magnet, and a sample space, which can be varied in temperature by using a rotary pump to alter the vapour pressure of the liquid helium contained within.
Liquid helium is drawn slowly into the sample space from the main reservoir through a externally regulated needle valve: by carefully controlling the flow of helium, temperatures between 1.2K and 4.2K may be obtained, and operation in helium vapour as well as helium liquid is possible.
Pumping of the helium vapour pressure was performed under manostat control, allowing the temperature to be stabilised to a high degree of precision, providing that the level of helium in the sample space remains approximately constant. For this reason, the tail of the sample space is enlarged, to give an increased volume of helium, which allows an extended operating time at the base temperature.
Optical access to the cryostat takes the form of a pair of quartz windows to the sample space, which in turn are aligned with similar windows in the outer shield. The outer windows can be covered, to prevent the exposure of light to samples where it is not desired.
To prevent the liquid helium in the cryostat from rapidly boiling off, a series of insulating measures are used. A radiation shield surrounds the main helium space, which in turn is cooled by a jacket of liquid nitrogen. To further reduce heat leaks, an outer vacuum jacket is pumped to a pressure of $10^{-6}$ Torr, to lower the effect of gaseous conduction.
Insertion of samples into the cryostat is performed by means of a “dipstick”, a long, thin, stainless steel rod that sits in the main sample space of the cryostat, which is lowered into position from above. *Figure 4.3* shows a schematic diagram of a sample mounted in the dipstick.
The top of the dipstick is sealed firmly into position with a brass flange and O-ring. A miniature co-axial cable, wrapped around the dipstick in a coiled fashion, is used to input a heat pulse to the 2DEG device. Additional co-axial cables connect to the bolometers to measure the phonon time-of-flight response, and to an Allen-Bradley resistor, which is used to monitor the temperature inside the cryostat. In addition to the insulating measures built into the cryostat design, to further minimise the loss of helium vapour into the column where the dipstick resides, a sequence of insulating baffle plates are positioned along the length of the stick. Samples are mounted onto a 16-pin chip carrier, then plugged into a standard integrated chip socket positioned at the bottom of the dipstick, aligned with the cryostat window, allowing optical access to the sample, should it be required.
Figure 4.3: Schematic diagram of dipstick
4.2.4 Amplification and Transmission of Signals
The main preamplifier used in the phonon emission experiment had an input impedance of 50Ω, closely matched to the 4.2K impedance of the aluminium film bolometers used for phonon detection. The amplifier had a x20 gain, with a bandwidth of 4kHz - 5MHz.
Further amplification was provided by a series of x5 broadband (DC to 300MHz) amplifiers in a Stanford Research Systems SR240 fast preamplifier. These amplification stages could be added or removed depending on the magnitude of the detected phonon response.
The amplified signal is then fed out of the radio-frequency screened room through a fast opto-coupler network designed and constructed by Dr. P. Hawker, into the inputs of a fast digital signal averager, for storage and display on the experimental control PC. The opto-coupler network is also used to transmit IEEE network and serial-port signals in and out of the screened room.
4.3 Acquisition and Processing of Experimental Data
4.3.1 Data Acquisition with the EG&G Averager and SCAN Program
The phonon emission traces received from the experimental arrangement were processed by an EG&G Instruments 9826 Digital Signal Averager board, mounted on two ISA cards inside a Pentium PC computer. The averaging board (hereafter referred to as the “digitiser”) is able to acquire 16,384 discrete signals in its onboard memory and return an averaged trace of 16-bit precision to a user-written control software program.
By adding a “software averaging” routine to this “hardware averaging” of the digitiser, many signals may be obtained and averaged to give a final trace with a high signal-to-noise ratio. With a very short “dead-time”, i.e. a high-frequency input pulse, averaging speeds of 30-40,000 traces per second were achieved on this system, with a temporal resolution of 2ns.
4.3.2 Experimental Control Software: the SCAN program
The software package SCAN (Figure 4.4) was written and developed by the author during the first two years of his PhD, as a flexible and robust program suite for the control of, and data acquisition from, the experimental apparatus described above. Other than the emission experiments presented in this thesis, the software was also used to control time-of-flight spectroscopy and laser-imaged experiments in other areas of phonon imaging; for instance in the study of one- and zero-dimensional carrier systems (quantum wires and dots). Some extra functionality was incorporated into the software to adapt it for these purposes: for example, the ability to set a Schottky-gate depletion voltage for pinching off a 2D channel into a quasi-1D wire, as in Naylor (1998).
The SCAN program was written primarily using Microsoft Visual Basic 3.0 for Windows 3.1/95, using a modular “form-based” approach. The user interface of the program is therefore highly intuitive, with separate form modules for each of the main data acquisition options (two variable (XY) scatter graph, image acquisition, digitiser trace acquisition), and for setting up the parameters of each computer-controlled hardware instrument. New form modules, for example to accommodate a new piece of instrumentation, can be incorporated easily. A menu control enables all these forms to be navigated without difficulty.
Figure 4.4: Digitiser trace acquisition with SCAN program
For direct input/output (I/O) port functions, such as writing and reading parameters and data to and from the IEEE bus and digitiser (*Figure 4.6*), as well as some speed-critical subroutines, e.g. additional software-averaging of digitiser traces, the main Visual Basic SCAN application was supplemented by a set of routines written in the C language, and compiled into a dynamic link library (DLL) file that could be called by the main program.
In addition to the IEEE and direct I/O methods of controlling instrumentation, the SCAN program also supports RS232 serial port input/output, in order to control two precise galvanometer mirrors that position a Nd/Yag laser, used for imaging experiments.
### 4.3.3 Data Acquisition Options
The data obtained by the SCAN program is typically in one of three forms: an XY plot of two variables, e.g. a resistance-temperature graph; a two-dimensional image acquired by a laser scan, and a time-response trace acquired from the digitiser. These three methods are treated as individual modules in the program, though there is considerable interleaving of the methods: a 2D phonon image, for instance, may be generated using a gated digitiser trace as the source of the intensity values at each point. Similarly a linescan may be taken through the completed image, requiring interaction between the Image and XY plot modules. Such functionality is obtained using global variables and routines to pass data between the modules concerned.
Figure 4.5: Setting up a 2-variable plot with the SCAN program
Figure 4.6: Setting up the digitiser parameters with the SCAN program
The most used functionality in the present work was:
- Two-variable plot (Figure 4.5) for example, resistance-temperature plots to locate the superconducting transition temperature of the aluminium bolometers, and resistance-magnetic field plots, to evaluate the sheet carrier density of the 2DEG samples.
- Power sweep: the programmable attenuator is set to vary between 0dB and 63dB, with a phonon traces being acquired (Figure 4.4), averaged and automatically saved, for each attenuation level.
### 4.4 Sample Processing
The devices used in the experiments presented here were $n$-type single GaAs/AlGaAs quantum well structures, grown by Molecular Beam Epitaxy (MBE) on the (100) plane of semi-insulating, chromium-free 380µm GaAs substrates, in the facilities of the Nottingham University Molecular Beam Epitaxy Syndicate (NUMBERS).
A two-dimensional electron gas was achieved in the quantum well by side-doping with silicon. The layer structure of the NU667S (12nm well width) wafer is shown in Figure 4.7, and is typical of all those used. The superlattice layer improves the mobility of the modulation-doped carriers, while having a negligible effect on the emitted acoustic phonons. (A.J.Kent, *pri.comm.*, 2001)
The device shapes were defined by photolithography, and had room temperature resistances of $\approx 20k\Omega$, though this was found to increase for the narrower well widths. Ohmic contacts were used, allowing the contact metal to diffuse down into the 2DEG in order to minimise the contact resistance. The resistance of the contacts must be low in comparison to the device resistance in order to eliminate the generation of phonons from the contacts due to heating effects. Typical contact resistances achieved with this technique were $\sim 100\Omega$.
Figure 4.7: Schematic layer diagram of 12nm quantum well wafer (NU667)
A summary of the device manufacture process follows:
4.4.1 Cutting
The first step in the fabrication procedure involves cutting samples of the required size from the MBE-grown wafer. In these experiments, the typical surface dimensions of the samples used was 10mm x 10mm. For (100)-grown GaAs on a 380µm substrate, the cutting process involves cleaving the substrate along a preferential breaking direction of the crystal with a diamond-tipped scriber, in a fume cupboard to protect against GaAs dust.
4.4.2 Cleaning
Prior to commencing the photolithographic mesa etch, the samples undergo a thorough four-stage “EAMI” solvent-clean to remove any dust, grease or other deposits that may be present on the surface of the crystal. This involves:
- Boiling in Ethyl Lactate at 120°C for 10 minutes,
- Heating in Acetone at 70°C for 10 minutes,
- Soaking in Methanol for 10 minutes,
- Soaking in Isopropyl Alcohol (IPA) for 10 minutes.
Between each successive cleaning stage, the samples undergo a two-stage rinse, initially with the solvent in which the cleaning process had just been completed, then with the next solvent, to prevent any cross-contamination occurring between cleaning stages.
An ultrasonic bath was also used as a “pre-clean” before heating the solvent in the first two stages, in order to loosen any surface residue, improving the effectiveness of the cleaning process.
The cleaning procedure is completed by drying the samples with a stream of nitrogen gas and baked at 120°C for 10 minutes to evaporate any excess solvent.
4.4.3 Photolithographic Etch
The structures required to make up devices for these experiments were defined using the technique of photolithography. This well-established process is able to define patterned features of the order of 1μm resolution, this limit being determined by the wavelength of visible light. In order to produce finer structures, electron-beam lithography may be used, however such high-definition was not required in this work.
As shown in Figure 4.8, the GaAs wafer is first coated with a photosensitive polymer, or “resist”, which is applied to the device using a high-speed spin-coating technique. The devices are then baked before exposure.
To define the device shape, each sample is held in conformal contact with a patterned mask and exposed to collimated ultraviolet light. The masks, 5cm x 5cm glass plates containing an array of structures, as in Figure 4.9, were designed using WaveMaker, a PC-based computer-aided design package, and manufactured in the Central Microstructure Facility (CMF) of the Rutherford Appleton Laboratory (RAL), Oxfordshire, UK.
The masks were designed so as to enhance the resulting phonon emission signal, by using square (1mm²) contact pads, well-separated from a 120x50μm rectangular 2DEG channel. The different geometry reduces the contact resistance relative to the device resistance, while the separation ensures that signals from the contacts will be temporally resolved from the device signal.
Figure 4.8: Photolithographic process for etching 2DEG region
Figure 4.9: Photolithographic masks for (a) 2DEG active region and (b) aluminium bolometer array
After exposure to the ultra-violet light, the samples are developed in a chemical solvent, which selectively dissolves away regions of the resist polymer, conforming either to the masked region, in which case the resist is described as being a *negative* resist, or to the unmasked region (a *positive* resist). To improve the resist profile, a post-develop bake follows.
A wet chemical etch is used to define the structure. A 10:1 ratio of 30% by volume hydrogen-peroxide to 85% orthophosphoric acid produces the required etch depth, given a 30 second etch time.
### 4.4.4 Evaporation of contacts
The next stage in the sample fabrication process was to define and evaporate metallic contact pads, through which the 2DEG may be electrically pulsed. A region defining the contact areas was defined using resist (*Figure 4.10*), and exposed with UV light as described above. The sample was then placed into an high-vacuum Edwards evaporator and evacuated to a pressure of $\sim 10^{-7}$ Torr.
Layers of contact metal were then deposited onto the samples:
| Metal | Thickness |
|------------------------|-----------|
| Germanium | 60nm |
| Gold | 120nm |
| Nickel | 40nm |
| Gold (capping layer) | 200nm |
**Table 4.1:** Metals used in contact evaporation
The contacts were then annealed, to drive the evaporated metal down into the 2DEG layer of the wafer, creating an ohmic contact. The samples were loaded into a chamber that was first evacuated and then filled with
Figure 4.10: Photolithographic process for depositing metallic contacts
nitrogen gas. The chamber temperature was then raised to 450°C over a period of 3 minutes, using a linearly ramped temperature gradient. Upon reaching the peak temperature, the heating element was shut off, with the samples being allowed to cool.
Bolometers must then be evaporated onto the other face of the crystal. To prepare the sample, the surface must first be polished.
4.4.5 Polishing
The wafer substrates have a rough underside, due to the diffusion of indium into the GaAs during the MBE growth process. Therefore they must be polished before the evaporation of bolometers or a metal film on the reverse face of the substrate can be performed.
A two-stage polishing process is carried out using a Multipol rotating-lap polisher. Up to four GaAs samples are mounted onto a metal polishing chuck with melted wax, taking care to ensure that air does not become trapped underneath the samples. The levelling of the samples is further ensured with an autocollimator.
The first polishing stage uses a grooved solder lap, with 6μm diamond paste used as the abrasive agent. Hyprez, a proprietary lubricant, is sprayed onto the lap as it rotates. The polishing is allowed to continue until all the main imperfections and scratches have been removed from the surface, leaving a flat, but dull, finish. Depending on the severity of the indium deposits on the surface of the wafer, this process may take anything from five to twenty minutes.
The second stage of the polishing process uses a cloth lap, with a combined chemical-mechanical action abrasive agent, INSEC FP (Fujimi Abrasives Supply Ltd, Japan), resulting in a mirror-finish to the sample surfaces, achieved in no more than two to three of minutes of polishing. The INSEC agent consists of a powdered suspension of SiO₂ particles in a solution.
Figure 4.11: Photolithographic process for alignment and depositing of aluminium bolometers
of aqueous sodium sulphate with a chlorous oxidising agent. To form a solution used in the polishing process, this powder is dissolved in distilled water in the ratio 1.15g : 25ml, with further distilled water being used to lubricate the lap as it rotates. Washing the samples with an excess of water immediately on the conclusion of the polishing process is also essential to ensure that further etching is prevented.
Between the two polishing stages, the polishing jig should be cleaned in an ultrasonic bath briefly to prevent diamond-paste damage to the cloth lap used in the INSEC polish.
4.4.6 IR alignment and evaporation of bolometers
To align the bolometer mask with the 2DEG etch and contacts, infra-red alignment is used to illuminate the underside of the sample, as shown in Figure 4.11. The mask can then be positioned so that one bolometer channel is positioned directly opposite the 2DEG channel.
By evaporating of the aluminium bolometers at a higher pressure ($10^{-5}$ Torr) than for the contacts, the superconducting transition temperature of the bolometer is pushed to a higher temperature, $\sim 1.8-2.0$K. By selecting a higher transition temperature, the cryostat temperature may be more easily regulated.
4.5 The Phonon Emission Experiment
In the experiments performed for this work, the heat pulse technique was used to observe the emission from a range of $n$-type single quantum well devices, having well widths in the range 3nm to 15nm.
The well parameters are shown in Table 4.2 below. The 2D electron densities $N_s$ and mobilities $\mu$ were calculated from magneto-transport (Shubnikov-de Haas) characteristics. The well widths $w$ could be verified
using cross-sectional transmission electron microscopy (XTEM) measurements.
| Wafer No. | NU665S | NU590S | NU535S | NU667S | NU666S |
|-----------|--------|--------|--------|--------|--------|
| Well width $w$ (nm) | 3.0 | 5.1 | 6.8 | 12.0 | 15.0 |
| 2D electron areal density $N_s$ ($10^{15}$ m$^{-2}$) | 1.7 | 1.7 | 2.0 | 3.7 | 3.6 |
| 4.2K mobility $\mu$ (m$^2$ V$^{-1}$ s$^{-1}$) | 4.4 | 6.2 | 15 | 48 | 55 |
**Table 4.2:** Quantum well parameters
Experimental samples were fabricated from each of the wafers, following the techniques described above. A 2DEG active region of dimensions 120µm x 50µm was etched with large, 1mm$^2$ $n$-type ohmic contacts used to apply heat pulses to the carriers. The contacts were well separated from the active area, in order to reduce the influence of heating effects on the detected signal.
The reverse face of the GaAs substrate was polished and an array of three 100µm x 10µm superconducting aluminium bolometers deposited upon it by vacuum evaporation. One bolometer was positioned directly opposite the device using infrared front-to-back alignment. The other bolometers were positioned at distances of 100nm and 200nm along the [100] direction, corresponding to angles of 14° and 27° to the normal of the 2DEG device.
Each sample was cooled to the superconducting transition temperature of the bolometers, ~1.8K. Electrical pulses of duration ~10–20ns were applied to the device contacts to heat the electrons in the 2DEG. Input voltages from 0.01V to 5V were used, with the power dissipated being determined from measurements of the input and reflected pulse heights on the transmission line between the pulse generator and the device:
\[ P_{2DEG} = \frac{V_i^2 - V_r^2}{Z_0} \]
where \( Z_0 \) is the impedance of the transmission cable, 50\(\Omega\).
Similarly the instantaneous 2DEG device resistance \( R_{2DEG} \) in response to an input pulse \( V_i \) can be obtained by:
\[ R_{2DEG} = Z_0 \left( \frac{V_i + V_r}{V_i - V_r} \right) \]
By comparing \( R_{2DEG} \) with the steady state resistance versus temperature characteristic for the device, an estimate of the electron temperature \( T_e \) can be made.
The emitted phonons traverse the GaAs substrate at the speed of sound, \( v_s \), falling on the bolometers, warming them slightly to cause an increase in bolometer resistance. With a constant bias current flowing in the bolometers, this change in resistance is converted to a voltage pulse that may in turn be captured using a high-speed digitiser and signal averager, resulting in a response such as Figure 4.12.
The LA and TA peaks are identified by their initial risetimes, calculated from the ballistic phonon transit time across the substrate. The observed peak widths are considerably greater than the duration of the heat pulse used to warm the 2D electrons: after the end of the pulse, the bolometer current decays slowly due to the RC time constant of the circuit.
Figure 4.12: Time-of-flight signal, showing LA and TA phonon mode peaks
4.5.1 Data post-processing with the POSTPROC program
To assist with post-processing the time-of-flight phonon traces, an experimental data analysis program, “POSTPROC” (Figure 4.13) was written. For a set of phonon traces saved in a single directory, corresponding to a sweep of the input signal power, the program allows the user to set time-gates corresponding to each phonon peak (ballistic LA, ballistic TA, and optic phonons), along with a “baseline” gate.
The time corresponding to the excitation pulse can be typically be identified in the traces by residues of electrostatic breakthrough that have not been perfectly cancelled by the trace subtraction technique, as shown in Figure 4.12. Identification of the times corresponding to the rise and peak of the LA and TA phonon signals was carried out manually with visual assistance from the POSTPROC program, starting from an initial estimate based upon an offset from the excitation pulse time, corresponding to the theoretically calculated ballistic phonon flight times across the GaAs substrate.
Graphs of the phonon signal as a function of input power, or the ratio of the relative modes, can be automatically generated. Routines for trace smoothing, phonon tail estimation and attenuation level (in dB) to input power (in pW/electron) conversion are included.
Figure 4.13: Use of POSTPROC program to post-process phonon signals
Chapter 5
Experimental Results and Discussion
5 Experimental Results and Discussion
5.1 Introduction
Heat pulse experiments to measure acoustic phonon emission have provided vital information about carrier-phonon scattering and hot carrier energy relaxation in two-dimensional electron gases.
In these experiments the carriers in the 2DEG are heated above the crystal lattice temperature through the application of a short electrical pulse. The substrate crystal is of low defect density, and maintained at an equilibrium lattice temperature of $\sim 1.5$K. The emitted phonons propagate ballistically across the substrate crystal and are detected by bolometers on the substrate surface opposite the device. The difference between the ballistic times of flight of longitudinal and transverse acoustic phonons across a $380 \mu m$-thick GaAs wafer is about 40ns, and so by using electrical pulses shorter than this, the two modes may be temporally resolved. By placing bolometers at different positions on the detector surface, spatial resolution may also be achieved.
The use of heat pulses, therefore, allows information about the carrier-phonon coupling processes to be directly obtained. This is in contrast to the "averaged" nature of the results that are attained using other methods, for example, luminescence spectra or transport techniques.
Several groups (e.g. Chin et al., 1984, Hawker et al., 1992) have used the heat pulse technique to study the energy relaxation of hot two-dimensional electron gases in gallium arsenide heterojunctions. An apparently anomalous feature of their results was that, compared with the transverse acoustic mode, emission of the longitudinal acoustic mode is very weak. For temperatures in the range $5K < T_e < 50K$, the deformation potential (which varies linearly with the phonon wavevector $q$ and energy $h\omega$) should be expected to dominate
over the piezoelectric interaction (which varies as $q^{-1}$) as the main mechanism by which electrons couple to phonons.
This result is confirmed in an initial experiment carried out for the present work. A 2DEG GaAs/(AlGa)As heterojunction (NU1286) was excited with short ($\sim 20$ns) heat pulses of varying power. *Figure 5.1* shows the time-of-flight phonon signal detected by a 100µm x 100µm superconducting aluminium bolometer positioned directly opposite a 120µm x 50µm etched 2DEG active channel, near to the surface of the 380µm thick semi-insulating GaAs substrate. The 2D areal density $N_s$ for the 2DEG was $2.8 \times 10^{15} m^{-2}$. A sharp peak, having a risetime approximately 120ns after the input pulse, is observed, corresponding to the ballistic flight time of TA phonons across the substrate. There is no evidence of an LA response, which would be expected to have a rise-time of $\sim 70$ns after the input pulse. The long, diffuse tail that follows the TA peak results from the emission of longitudinal optic phonons, which rapidly decay into high frequency transverse modes.
These measurements are therefore fully consistent with the previous heat pulse studies of the phonon emission from 2DEG GaAs/(AlGa)As heterojunctions as noted above.
In bulk GaAs epilayers, LA mode emission is observed (Kent *et al.*, 1997), in spite of the preferential focusing of TA mode phonon energy towards the 2DEG normal, due to the predicted domination of deformation potential coupling. “Ideal” TA phonons, having their polarisation perpendicular to the phonon wavevector, are forbidden from coupling to the deformation potential. As the sample geometry is the same in both cases, with the bolometer directly opposite the device on a (100) substrate, this difference between the result for bulk GaAs and a 2DEG heterojunction cannot be attributed to
Figure 5.1: Time of flight signal showing phonon emission from a 2DEG heterojunction.
The digitiser is pre-triggered at $t=0$, the electrical breakthrough of the excitation pulse is indicated as well as the rise time of the TA phonon pulse.
phonon focusing effects alone, as suggested in some earlier studies (Hawker *et al.*, 1992). The absence of the LA mode in the case of the heterojunction must therefore be associated with the nature of the electron confinement in the 2DEG.
It would therefore appear that contrary to earlier theoretical predictions (Vass, 1987), the dominant coupling process for the electron-phonon interaction in a heterojunction for the temperature range $5K < T_e < 50K$ is the piezoelectric interaction. Theoretical calculations of the electron-phonon coupling matrix elements (*Figure 3.3*) show a crossover between piezoelectric interaction and deformation potential coupling at a phonon wavevector $q_c = 1.8 \times 10^8 \text{ m}^{-1}$. Above this crossover, electrons are expected to relax their energy predominantly through the emission of deformation-potential coupled LA phonons.
A reason why this behaviour is not observed can be offered by considering energy and momentum conservation requirements, which impose a restriction on the component of the emitted phonon wavevector in the direction normal to the 2DEG plane. The form factor $\left| F(q_z) \right|^2$ accounts for momentum conservation in the $z$-direction, perpendicular to the 2DEG, when a phonon is emitted. If the momentum cutoff occurs at a value lower than the matrix element crossover $q_c$ between deformation potential and piezoelectric coupling, suppression of the DP coupling occurs, resulting in the absence of LA modes, which couple far more strongly to the deformation potential than to the piezoelectric interaction.
For a heterojunction, assuming a triangular potential well confinement, $\left| F(q_z) \right|^2 = (1 + q_z^2 a_0^2)^{-3}$ where $q_z$ is the component of the phonon wavevector along the normal to the 2DEG and $a_0$ is the Fang-Howard parameter, related to the “thickness” of the 2DEG. Typically $a_0 = 4\text{nm}$ for a GaAs heterojunction, which means that the electron-phonon interaction is effectively cut off at a phonon wavevector of $q \sim 1 \times 10^8 \text{m}^{-1}$ for LA modes.
Comparing this $1/a_0$ cut-off to the wavevector $q_c$ at which the matrix elements for the deformation potential and piezoelectric interaction are equal, it can be seen that the deformation potential is not able to dominate the coupling, due to transitions with high wavevector $q$ being forbidden. In such systems, PZ coupling will be dominant, favouring the emission of TA phonons at small angles normal to the 2DEG.
Strickland (1994, 1996) carried out heat pulse studies of a 2D hole-gas (2DHG) heterojunction grown on a (311A) GaAs substrate. The sample was similar in carrier density and mobility to the 2DEGs used in the experiments discussed above. An enhanced LA mode was observed compared to the 2DEG result, which was attributed to the stronger carrier confinement in 2DHG systems ($a_0 = 2\text{nm}$) compared with 2DEG heterojunctions ($a_0 = 4\text{nm}$). Further studies on a (100) grown 2DHG device also showed an LA response, of smaller intensity to the signal observed from the (311A) 2DHG, owing to the preferential focusing of TA modes over LA modes in the (100) crystal direction.
An alternative method for varying the carrier confinement was employed by Hawker et al. (1995), who used heat-pulse experiments to measure the energy loss rate of GaAs/(AlGa)As $n$-type single quantum well structures, having well widths $w = 5\text{nm}$ and $w = 10\text{nm}$. The square potential well results in stronger carrier confinement than for an equivalent thickness heterojunction. With a bolometer positioned at $50^\circ$ to the device normal, longitudinal acoustic mode phonon emission was observed, with a stronger LA response for the narrower well. It should be noted, however, that the choice of bolometer angles coincides with the focusing direction for LA phonons in (100) GaAs. Additionally the samples used had a high 2D carrier density, ($N_s \sim 1.6 \times 10^{16}\text{m}^{-2}$), which results in enhanced electron-phonon coupling and a weakening of the electron confinement dependence of emission.
5.2 Acoustic Phonon Emission from a 2DEG Quantum Well
An improvement on the approaches used by the Hawker and Strickland groups to vary the carrier confinement is made in the present work, by studying the acoustic phonon emission from a set of five $n$-type quantum wells of varying width: 3.0, 5.1, 6.8, 12.0 and 15.0nm.
The carrier density of the samples is lower than in the Hawker experiments, $N_s \sim 2 \times 10^{15} \text{m}^{-2}$, corresponding to a Fermi wavevector $k_F = (2\pi N_s)^{1/2} = 1.1 \times 10^8 \text{m}^{-1}$, resulting in a predicted angular emission "cone" more closely directed towards the 2DEG normal. The angular dependence of emission is considered in more detail than in previous studies, using bolometers positioned at 0°, 14° and 27° to the device normal, each having an angular "capture" normal to the 2DEG of ~1.4°.
The emission experiment was carried out using the method described in the preceding chapter. Phonon time of flight traces were acquired for each quantum well for a wide range of heat pulse input powers, with the data so obtained being processed as described in 4.5.1 above.
The discussion of the acoustic emission data is divided into three main topics:
- The variation of emission with well width $w$ for a constant input power per electron, $P_e$.
- The variation of emission with well width $w$ for a constant electron temperature $T_e$.
- The variation of emission with power per electron $P_e$ for a fixed well width $w$.
5.2.1 The LA to TA Ratio
In order to experimentally observe the lifting of the suppression of deformation potential coupling as the $1/a_0$ cutoff is relaxed, it is necessary to formulate a means of estimating the DP coupling strength in terms of experimentally measurable quantities.
It can be shown that the ratio of longitudinal to transverse acoustic phonon signal height is a practical experimental indicator of the ratio of DP to PZ-coupled emission. As discussed in Chapter 3 (Figure 3.16), the predicted PZ-coupled LA signal at the detectors is negligible in the chosen experimental arrangement. The LA response can therefore be used as a direct measure of the DP emission strength. Figure 5.2 shows theoretically calculated ratios of LA to TA mode phonon emission as a function of the magnitude of the phonon wavevector, $q$. The parameters used for the calculation were: quantum well width $w = 6.8$nm, electron temperature $T_e = 10$K, lattice temperature $T_l = 1.5$K, carrier density $N_s = 2.0 \times 10^{15}$m$^{-2}$. For comparison, the ratio of total DP-coupled emission to PZ-coupled emission is also plotted. It is observed from the shape of the two curves that the LA:(LA+TA) ratio may be used as a practical means of measuring of the DP coupling strength experimentally.
For small wavevectors $q$, PZ-coupled emission is dominant, however the LA to (LA+TA) ratio for the total emission into all possible angles does not fall to zero, due to PZ-coupled LA emission. In Chapter 3 (Figure 3.16), it was shown that PZ-coupled LA emission should be negligible at the positions corresponding to the detectors used in the experiment. Therefore, if deformation potential coupling is suppressed in the experimental system, the measured LA to (LA+TA) ratio at the bolometers is expected to fall to a value close to zero, as in the case of the DP to (DP+PZ) ratio.
Figure 5.2: Theoretically calculated ratios of LA / (LA+TA) and DP / (DP+PZ) phonon emission from a 6.8nm quantum well.
5.2.2 Variation of emission with well width at constant power
Figure 5.3 shows the time-of-flight phonon emission response from the 6.8nm and 15nm quantum wells, for an fixed heat pulse power $P_e$ of 1pW per electron. The detecting bolometer was positioned directly opposite the active 2DEG device. The two sharp peaks observed correspond to the characteristic ballistic flight times of LA phonons (speed $v_s = 5160 \text{ ms}^{-1}$) and TA phonons ($v_s = 3050 \text{ ms}^{-1}$) across the 380µm GaAs substrate. LA mode emission can be observed in addition to the TA emission at both well widths. For the 15nm quantum well, this LA response takes the form of a small “shoulder” before the rise of the TA peak, whereas for the 6.8nm well, the longitudinal response is of the same order of magnitude as the contribution from TA phonons.
As for the heterojunction in the preliminary experiment, a broad, dispersive optic phonon tail is observed for higher input powers. The oscillations in this tail are attributed to persistent amplifier ringing that has not been fully cancelled out by the trace subtraction method described in the previous chapter.
The suppression of the DP-coupled LA mode is therefore seen to be lifted for the quantum well samples, due to the stronger carrier confinement compared to heterojunction devices. Additionally, the proportion of LA emission in the total emitted phonon energy is seen to be much larger for the narrow well.
The experimentally measured LA to (LA+TA) emission ratio is shown for all the wells in Figure 5.4, along with the theoretically calculated ratio for each well, for an input power of 1pW per electron.
Figure 5.3: Acoustic phonon emission heat pulse signals from 6.8nm and 15nm quantum wells at an excitation of 1pW/carrier.
The margin of error on the experimental measurement is calculated by allowing for a constant measurement inaccuracy of ± 5% (with respect to the largest peak in each case) in evaluating the longitudinal and transverse phonon peak heights. For higher values of the LA to (LA+TA) ratio, where the transverse peak height is small compared to the longitudinal peak, the relative uncertainty in the measurement is therefore increased. An uncertainty has also been applied to the theoretically calculated emission ratio, as only an extremely small fraction of the total number of generated ‘virtual phonons’ hit the detector region. To reduce this uncertainty would require much longer run-times than were possible in this work.
It is clearly seen that as the well width is narrowed, the LA mode starts to dominate over the TA mode in the acoustic emission response. The theoretical calculation predicts that the LA mode should continue to strengthen as a ratio of the total acoustic emission as the well width is progressively narrowed further, saturating only at very narrow well widths where the $1/a_0$ cutoff occurs at a much higher wavevector $q_c$ than that corresponding to the peak frequency in a Planckian distribution at $T_e$.
The increasing strength of the LA response with narrowing well width can be attributed to increased phase space for the deformation-potential coupled interaction, due to the lessened effect of the $(1/a_0)$ cutoff as the well width $w$, and hence $a_0$, is shortened.
It is seen that the measured ratio LA/(LA+TA) decreases slightly for the 3nm and 5.1nm devices. Two explanations may be put forward for this exception to the general trend of increasing LA intensity with narrower well widths.
Figure 5.4: Experimentally measured LA/(LA+TA) ratio for detected phonon emission at $P_e = 1\text{pW/electron}$, compared to theoretical calculated values.
Consider first the bound-state form factor $|F(q_z)|^2$ from which the $1/a_0$ cutoff arises: for $w = 6\text{nm}$, calculation shows that the form factor falls to a value of 0.5 for a perpendicular phonon wavevector component of $8 \times 10^8 \text{m}^{-1}$, corresponding to an LA phonon frequency of 700GHz. For well widths below $\sim 6\text{nm}$, it can therefore be concluded that further narrowing of the well does not increase the LA response further, as the $1/a_0$ cutoff occurs at a frequency much higher than ballistic LA phonon frequencies.
Due to the lower speed of TA modes, the transverse phonon frequency corresponding to this same wavevector is 370GHz. Therefore, for $|F(q_z)|^2$ to fall to a value of 0.5 for a TA phonon frequency of 700GHz, the well width must be further reduced, to 3nm. Therefore, as the well width is narrowed from 6nm to 3nm, the TA phonon response is expected to strengthen further due to the lessening $1/a_0$ cutoff, whereas the LA response is already independent of the cutoff. This results in a small dip in the LA/(LA+TA) ratio at well widths in the $3\text{nm} < w < 6\text{nm}$ range, with the LA proportion finally settling to a constant value at narrower widths.
For the case of ballistic acoustic phonons, then, it appears that the effect of the $1/a_0$ cutoff is negated completely once a critical well width is reached. The ratio of LA modes to TA modes below this critical width is, therefore, determined solely by the electron-phonon coupling matrix elements and the phonon focusing factor in the propagation direction.
A second explanation for the dip in the LA/(LA + TA) ratio at low well widths can be offered, in terms of the non-infinite confining potential in a “real” 2DEG quantum well. (Zheng et al., 1997; section 3.5.3 of this thesis) Due to penetration of the electron wavefunction into the GaAs/(AlGa)As barrier, the effective z-direction extent of the 2DEG is larger than the well width, $w$, i.e. the electron confinement is weakened. This physical limitation
acts to suppress the theoretically predicted increase in the emission into large-wavevector DP-coupled LA modes as the well width is further narrowed.
5.2.3 Variation of emission with power for fixed well width
Figure 5.5 shows the acoustic phonon emission response from the 6.8nm quantum well at three values of the excitation power $P_e$, measured at the 0° bolometer. Significant emission is observed in both the LA and TA phonon modes. Figure 5.6 shows the LA and TA pulse heights, plotted on a logarithmic scale as a function of the heat pulse power. In Figure 5.7, the corresponding LA/(LA+TA) ratio is shown, with approximate measurement uncertainties in the three main regions of the graph indicated.
For pulse powers $P_{2DEG} > 20\text{pW}$ per electron, the ratio is fairly constant, due to the dominance of deformation potential coupled emission into both LA and TA modes. For very low pulse powers, the ratio appears to rise towards 1, however this appears to be due to the increased numerical uncertainty in calculating the ratio of two small signals.
The region of most interest occurs between heat pulse powers of 0.5pW < $P_{2DEG} < 10\text{pW}$ per electron. In this power range, the LA/(LA+TA) ratio rises from 0.48 to about 0.6, suggesting a change in the nature of the electron-phonon coupling in the 2DEG.
It is interesting to compare the power dependence of the acoustic phonon emission from the 6.8nm quantum well with the narrower and wider wells used in the experiment.
Figure 5.5: Emission signal from 6.8nm quantum well, detected by $0^\circ$ bolometer.
Figure 5.6: LA and TA signal heights for 6.8nm QW as function of heat pulse power
Figure 5.7: LA/(LA+TA) ratio for 6.8nm QW as function of heat pulse power
Figure 5.8 shows the power-dependence of the LA/(LA+TA) emission ratio for the 5.1nm quantum well, again at the opposite bolometer, while Figure 5.9 shows the power dependence of the 12nm quantum well. Unlike the 6.8nm well, which has a fairly constant LA/(LA+TA) ratio for a wide range of input heat pulse powers, these devices show a trend of increasing or decreasing LA emission over the full range of input powers.
For narrow quantum wells, the LA proportion of emission is shown to increase with increasing power. Here the electron confinement is strong, so that the effect of the $1/a_0$ cutoff is weak over much of the experimental temperature range. For a 5.1nm quantum well, the bound-state form factor $|F(q_z)|^2$ falls to a value of 0.5 for a perpendicular phonon wavevector component $q_c \sim 5.3 \times 10^8 \text{m}^{-1}$, which corresponds to an LA phonon frequency of $\sim 450\text{GHz}$. Figure 5.10 shows the theoretically calculated DP-coupled LA phonon emission from the 5.1nm quantum well as a function of phonon wavevector $q$, for a range of electron temperatures $T_e$.
It can be seen that even at $T_e = 50\text{K}$, electrons couple to a broad range of phonon wavevectors, with little evidence of a $1/a_0$ cutoff. If the $1/a_0$ cutoff is neglected, then DP-coupled emission should increase linearly with $q$, therefore in this case the observed increase in LA emission with increased power is fully explained by both the full theoretical model and the earlier approaches (e.g. Vass, 1987) that neglected to fully consider the 2D effective thickness.
Figure 5.8: LA/(LA+TA) ratio for 5.1nm QW as function of heat pulse power
Figure 5.9: LA/(LA+TA) ratio for 12nm QW as function of heat pulse power
Figure 5.10: $q$-dependence of DP-coupled LA emission by 5.1nm QW 2DEG
Figure 5.11: $q$-dependence of DP-coupled LA emission by 5.1nm QW 2DEG
Conversely, for wide quantum wells, a decrease in LA emission is observed as the power is increased. In these wells, electrons are rather more weakly confined, as in the case of a heterojunction. The $1/a_0$ cutoff therefore has a much stronger influence on the electron-phonon coupling in such systems. *Figure 5.11* shows the theoretically calculated $q$-dependence of the DP-coupled LA phonon emission from the 12nm quantum well, for a range of temperatures between 10K and 50K. The $1/a_0$ cutoff almost completely suppresses any coupling of electrons to phonons having wavevectors $q$ in excess of $5 \times 10^8 \text{m}^{-1}$. At lower temperatures, however, the wavevector peak occurs at a lower value, with a resultant decrease in the proportion of possible electron-phonon couplings that are forbidden by the $1/a_0$ cutoff. The observed experimental increase in LA (and hence DP) emission intensity with decreasing power is therefore justified by theoretical considerations.
### 5.2.4 Variation of emission with well width at constant temperature
For several reasons, it is also of interest to study the acoustic phonon emission from the quantum well samples at constant electron temperature, in addition to the constant power results already presented. From pulse reflection measurements used to calculate the power dissipated in each quantum well device, it is found that the actual fraction of the input power absorbed by the 2DEG, and consequently the electron temperature that arises from a fixed input power, varies considerably as a function of the well width. Additionally, the crossover from acoustic to optic-dominant phonon emission occurs at a constant thermal energy (and so temperature), and the electron temperature is also a primary variable in the theoretical model of the electron-phonon system.
*Figure 5.12* shows the ratio LA/(LA+TA) calculated at the opposite bolometer for each quantum well at a constant electron temperature of $T_e \sim 50\text{K}$, along with the theoretically predicted ratios. Again, strong LA emission is observed, even in the wider wells, due to the less severe form factor cutoff for quantum well devices compared to heterojunctions.
Figure 5.12: Experimentally measured LA/(LA+TA) ratio for phonon emission at $T_e = 50$K, compared to theoretical calculation.
Comparing the 12nm quantum well with a typical ($a_0=4$nm) heterojunction, the electron-phonon interaction is effectively cut off for the heterojunction at a wavevector below the crossover of the DP and PZ coupling matrix elements at $q_c \sim 1.8 \times 10^8$ m$^{-1}$, whereas for the 12nm quantum well significant DP coupling to LA modes is still possible. It is expected that this extra channel for acoustic phonon emission in quantum wells would result in more efficient energy relaxation by warm carriers. This should also increase the power level at which the crossover from acoustic to optic phonon emission that takes place at $T_e \sim 50$K will occur, as will be discussed in 5.3 below.
*Figure 5.13* shows theoretically calculated images of the predicted emission spectra for each quantum well at three carrier temperatures, $T_e = 5$K, 20K, and 50K. The images represent a 600µm x 600µm area on the detector plane.
Two main features are to be seen in the images: a dominant ring at $\sim 30^\circ$ corresponding to DP-coupled LA emission, and a pair of horizontal bars above and below the position of the 2DEG active area. These structures are indicative of DP-coupled slow transverse phonon emission. At low temperatures ($T_e=5$K) only, regions of the intensity corresponding to the diagonal-cross FT structure are observed, indicative of PZ-coupled fast-TA emission. At higher temperatures, these features are completely washed out by the dominant DP coupling. Furthermore, even at low temperatures, these structures do not correspond closely to bolometer positions used in the experiment.
This assertion that the TA phonons arriving at the experimental detectors (i.e. for angles $\theta \gtrsim 30^\circ$) are coupled almost exclusively by the deformation potential, is significant, as the conventional theory held that TA phonons were only coupled through the piezoelectric interaction; this further emphasises the importance of a “fully-inclusive” approach to the treatment of the theory of the electron-phonon interaction.
Figure 5.13: Theoretically calculated phonon emission images from $120\mu m \times 50\mu m$ 2DEG source at $T_e = 5K, 20K, 50K$ for well widths used in experimental study.
Further evidence for the significance of the $1/a_0$ cutoff on the phonon spectra comes from comparison of the images for the different wells. Considering the reciprocal well width $w^{-1}$, it is seen that the wells are clustered into three groups, the 5.1nm and 6.8nm wells forming one group, the 12nm and 15nm wells forming another, while the 3nm well is separated from the others. This grouping is also seen in the angular phonon emission spectra depicted in the images.
The theoretical phonon energy images shown in Figure 5.13 also indicate that the nature of the emission is expected to change significantly as a function of the angle to the normal of the 2DEG at which the phonon detector is positioned. By placing bolometers some distance along the [110] direction relative to the centre of the 2DEG device, the angular phonon response may be observed experimentally.
Figure 5.14 shows the emission from the 6.8nm quantum well for a sequence of input powers, as measured by the 14° bolometer. Comparing with the response of the opposite bolometer (Figure 5.5) an enhancement of the LA mode is observed. Figure 5.15 shows the LA/(LA+TA) ratio of each well width as observed at the 14° bolometer, along with the theoretically predicted values. The trend of increased LA intensity with narrowing well width that was observed for the 0° bolometer is also seen in this case, though over a smaller range; the “baseline” LA emission is much greater at this angle, consistent with the predictions of phonon focusing theory; as the detector is moved from the [100] direction, a strong TA focusing plane, towards the [111] direction, where the LA is focused.
At the 27° bolometer, the LA mode is seen to strengthen still further, as the detector is positioned close to the focusing “ring” for DP-coupled LA emission (Figure 3.14). The total emission power, however, is seen to decrease, with the signal-to-noise ratio making accurate estimation of the LA/TA ratios difficult.
Figure 5.14: Emission signal from 6.8nm quantum well, detected by $14^\circ$ bolometer.
Figure 5.15: Experimentally measured LA/(LA+TA) ratio for detected phonon emission at $T_e = 50$K at 14° bolometer, compared to theoretical calculation.
The total detected phonon emission energy at both angular bolometers, especially the 27° bolometer, was found, in general, to be significantly lower than that detected at the opposite bolometer. This appears to contradict the predictions of theory, which show that for the 6.8nm quantum well, the total detected emission power should increase as the angle is moved towards the focused LA emission at around 30°. However, as the angle is widened, so the emission becomes more diffuse, with greater attenuation of the emitted phonons due to the longer path length between source and detector, with a subsequent widening of the “time window” in which ballistic phonons arrive at the detector. Sharp ballistic peaks are therefore not observed. It is also expected that there would be an increased probability of phonons being reflected on traversing the substrate and reaching the opposite surface, owing to their angle of inclination.
Figure 5.16 shows further theoretical calculations of the phonon energy emitted by the 6.8nm quantum well at $T_e = 5$K and $T_e = 10$K. The dimensions of the image are as in Figure 5.13. In each case, the overall energy image is shown, along with the images for DP-only coupling, PZ-only coupling, LA-only emission and TA-only emission.
For the $T_e = 5$K case, the effects of piezoelectric electron-phonon coupling can clearly be seen in the overall energy image. Transverse acoustic phonon emission arising from both DP- and PZ-coupling contributes to the central region of the image, close to the experimental detector.
At $T_e = 10$K, deformation potential coupling is already completely dominant. The signal arising from TA phonons in the overall composite image is much smaller than in the 5K case. Furthermore, as noted in the discussion of the angular dependence of emission, the transverse signal that can be observed
Figure 5.16: Breakdown of emission images into coupling mechanism and phonon modes for 6.8nm QW
has the character of deformation potential coupling.
5.3 Optic Phonon Emission
For electron temperatures below $T_e \sim 40$ K, it has been shown above that deformation-potential coupled acoustic phonon emission is the dominant energy relaxation process for a heated 2DEG with strong electron confinement, e.g. within a square potential well. Previous studies have shown that for systems with weaker electron confinement, e.g. 2DEG heterojunctions, acoustic phonon emission is again the main relaxation process, however the deformation potential coupling is suppressed, so that PZ-coupled TA phonon emission dominates the measured time-of-flight phonon signals.
At higher temperatures, the most prominent feature of the phonon signal is a broad pulse arriving shortly after the ballistic TA signal. This signal is believed to correspond to the emission of longitudinal optic (LO) phonons. Evidence for such emission comes from photoluminescence measurements of the electron energy relaxation rate in the temperature range $30K < T_e < 100K$ (Yang et al., 1985), which showed an exponential dependence of the energy loss rate on $T_e^{-1}$.
Figure 5.17 shows heat pulse phonon emission signals for the $w = 6.8$nm quantum well at $T_e < 50$K and $T_e > 60$K, corresponding to excitation powers of 3pW and 300pW per electron respectively. The two signals have been normalised so that the total energy emitted into the ballistic LA and TA modes is the same in each case.
The effects of optic phonon emission are evident in the $T_e > 60$K signal. The TA peak increases in relative amplitude and shifts to a later arrival time by about 5ns. The long tail that follows the TA peak is also increased in amplitude, compared to the lower power trace.
From Yang *et al.*, the expression for the energy relaxation rate due to optic phonon emission is:
$$P_e = \left( \frac{\hbar \omega_{LO}}{\tau} \right) \exp \left( -\frac{\hbar \omega_{LO}}{kT_0} \right)$$
The longitudinal optic phonons are short lived, rapidly down-converting to large-wavevector transverse acoustic modes, which propagate quasi-diffusively across the GaAs substrate. The LO phonon inverse scattering rate $\tau$ was measured to be 3.3ps by Hawker *et al.* (1992) for the case of a 2DEG heterojunction, having carrier density $N_s = 4.5 \times 10^{15} m^{-2}$ and 4.2K mobility $\mu = 20 \text{ m}^2 \text{V}^{-1} \text{s}^{-1}$. The first optic down-conversion products arrive at the detector shortly after the main ballistic TA peak, with the remaining optic phonon energy contributing a long tail to the phonon signal.
The shift from acoustic- to optic-dominated phonon emission occurs due to the exponential rise of LO phonon emission at electron temperature $T_e \sim 50$K. By comparison, the proportion of total emitted phonon power dissipated into acoustic emission is reduced as the electron temperature reaches 50K, due to a “saturation” of acoustic emission due to the $1/a_0$ and $2k_F$ emission cutoffs. At high temperatures $T_e$, the peak phonon wavevector $q$ in the Planckian distribution shifts to higher values. The proportion of wavevectors that are smaller than the $1/a_0$ and $2k_F$ threshold wavevectors $q_c$ is therefore decreased, resulting in an effective reduction in the phase space for the electron-acoustic phonon interaction above $T_e = 50$K.
Figure 5.17: Heat pulse signals for 6.8nm quantum well detected at $0^\circ$ bolometer for electron temperatures $T_e > 60K$ and $T_e < 50K$. The signals have been normalised so that the intensity into the ballistic LA mode is the same in each case.
Heat pulse measurements may be used to measure the power dissipation $P_{opt}$ at which the onset of optic phonon emission occurs, by plotting the total energy relaxation rate into acoustic phonon emission, obtained by integrating the area underneath the time-of-flight phonon signal, as a function of heat pulse power $P_{2DEG}$. The onset of optic phonon emission is indicated by a large rise in the total energy relaxation rate of the 2DEG, as shown for the 6.8nm quantum well in Figure 5.18. For low input powers, the integrated phonon signal rises slowly, having no optic emission component. At the acousto-optic crossover power $P_{opt}$, the slope of the log-log graph becomes unity, indicating a linear dependence of the signal on heat pulse power.
From Figure 5.18, the crossover power for the 6.8nm quantum well is measured to be $P_{opt} = 2.1\text{pW per carrier}$. As discussed above, the emission of deformation-potential coupled acoustic phonons is increased in narrow wells, due to the stronger carrier confinement in the 2DEG which reduces the effect of the interaction cutoffs, to open up phase space for electron scattering. This increase in phase space would be expected to result in an associated increase in the crossover power $P_{opt}$ at which optic emission, becomes the dominant phonon scattering process, with the magnitude of $P_{opt}$ being pushed to a much higher value than that measured for a 2DEG heterojunction.
Strickland (1996) reported an increased optic crossover power for the case of a heated 2DHG heterojunction, at a power of $P_{opt} = 50\text{pW per carrier}$, as compared to the 5pW per carrier measured in a 2DEG heterojunction by Hawker et al. (1992). This increase was attributed to the higher carrier effective mass and thus stronger confinement in the 2DHG compared to a 2DEG heterojunction of similar parameters.
Figure 5.18: Total emitted phonon energy as a function of heat pulse power, showing the onset of optic phonon emission.
The measured crossover for the 6.8nm quantum well, $P_{opt} = 2.1\text{pW per carrier}$, therefore seems rather low, compared to the value reported by the Hawker group, considering the extra phase space for acoustic mode emission in the quantum well. This difference can however be attributed to differences in the method used to measure the crossover power. By selecting as the crossover the point at which the slope of the log-log graph of *Figure 5.18* first increases, the optic onset power is obtained. High resolution heat-pulse measurements of the crossover region by Pentland (2000) suggest that these first indications of optic phonon emission occur at a power about ten times lower than the point at which optic emission begins to become dominant, a value which had been traditionally assigned as the acousto-optic crossover.
Given this approximate rule of thumb, it is seen that the measured values of $P_{opt}$ for the quantum well result in the expected pushing of the acousto-optic crossover to higher powers as the acoustic emission cutoffs are weakened. In the experiments of Strickland, the Hawker group and other previous studies (e.g. Cross *et al.*, 1999), the power identified as $P_{opt}$ can now be more correctly defined as the power at which optic emission becomes the dominant energy relaxation process, rather than the power at which LO phonons are first observed.
*Figure 5.19* shows the variation of the acousto-optic crossover the as a function of well width for the quantum well samples studied in this work. The optic onset power has been determined following the technique of Pentland (2000). The crossover power is seen to shift to higher powers as the well width is narrowed. This provides further evidence that in narrow quantum wells, acoustic phonon emission becomes much more effective, owing to the “opening up” of phase space due to the weakening of the $1/a_0$ cutoff.
As a rough approximation, neglecting the effects of electron impingment into the GaAs/(AlGa)As barriers at very narrow well widths, the volume of phase space for acoustic scattering increases as $w^{-1}$, due to the relaxation of the $1/a_0$ cutoff as $w$ is reduced. At narrow well widths, as
discussed in Chapter 3, the finite confining potential causes an effective widening of the quantum well, and consequently the acoustic phonon emission rate is reduced. The $w^{-1}$ dependence will therefore weaken as $w \to 0$.
The energy loss rate at electron temperatures below 50K also depends on the energy spectrum of the emitted phonons, which is dominated by a peak at the cutoff at $\hbar \omega = \frac{\hbar v_s}{w}$. This second $w^{-1}$ dependence will also weaken as the well becomes very narrow and the phonon energy peak approaches the maximum acoustic phonon frequency.
From these considerations, it may be suggested that the optic crossover power may vary as $P_{opt} \sim w^{-2}$, except at narrow well widths, where the dependence will gradually weaken and tend to a limiting constant value of $P_{opt}$ as the well width $w \to 0$.
From Figure 5.19, it is seen that the experimental data and a theoretical calculation of the total acoustic phonon emission power into all angles, wavevectors and modes at 50K agree well with the predicted trend, approximating to $P_{opt} \sim w^{-2}$ for well widths $w > 5\text{nm}$, with $P_{opt}$ levelling off as the well is narrowed further. Clearly here it is appropriate to compare the theoretical calculation of emission with the newly defined (onset) value of $P_{opt}$ rather than the traditional (dominant) value, as the calculation does not include an optic contribution.
The experimentally measured values of $P_{opt}$ may therefore be said show good numerical agreement with the theoretical calculation of the total acoustic phonon emission power at $T_e = 50\text{K}$ for each well. As the well width is increased further, it would be expected that bulk-phonon behaviour should take over, i.e. the optic crossover will tend to a constant value. Further experimentation with wider wells would be necessary to confirm this, especially in view of the somewhat low experimental crossover power measured for the 15nm well.
Figure 5.19: Variation of acousto-optic crossover power $P_{opt}$ as a function of well width. Also plotted is the theoretically calculated total acoustic emission power at $T_e = 50$K.
5.4 Summary
The experiments presented clearly show the significant effect the vertical confinement of the carriers has on the carrier-acoustic phonon coupling. In contrast to heterojunction devices, significant longitudinal acoustic phonon emission is detected from heated 2DEG quantum well devices. The amount of LA emission as a proportion of the total acoustic (LA+TA) emission is larger in the narrower wells. This leads to the conclusion that the weak LA emission in heterojunction and wide wells is partly due to the suppression of the emission of large wavevector (DP coupled) phonons because of the more severe perpendicular momentum cutoff in these systems.
The absence of LA emission in heterojunction devices can therefore be explained primarily in terms of the electron confinement in such devices, which results in a form factor that cuts off the electron-phonon interaction at low phonon wavevectors before DP coupling becomes important. In quantum wells, significant LA emission is observed because the cutoff is much less severe.
Furthermore, from theoretical predictions, it is suggested that the deformation potential also couples most of the emitted TA phonons that are detected at the bolometers in the experiment. Theoretical simulations show that these phonons are largely slow-transverse in character. The piezoelectric interaction couples mainly to fast-TA modes, which are emitted in a diagonal-arm pattern and do not contribute strongly to the detected emission.
At angles further away from the 2DEG normal, the effect of the $1/a_0$ perpendicular cutoff is still evident, from the trend of increasing LA emission as the well width is narrowed. However, this trend is less striking than at the 0° bolometer, as LA focusing affects the emission at wider angles, “washing out” the dependence on the $1/a_0$ cutoff to some extent.
The onset power $P_{opt}$ at which the dominant 2D electron energy relaxation mechanism changes over to optic phonon emission has also been measured as a function of the quantum well width $w$. It was found that $P_{opt}$ is increased as the well width is narrowed, due to the increased phase space for acoustic phonon emission in these devices. At well widths $w > 5$nm, a relation $P_{opt} \sim w^2$ has been proposed theoretically and experimentally verified, with close numerical agreement between calculated and measured values of $P_{opt}$. For narrower well widths, it is suggested that $P_{opt}$ tends towards a constant minimum value.
Chapter 6
Conclusions
6 Conclusions
This thesis has provided a detailed account of the effects of electron confinement on the coupling of electrons to phonons in two dimensional electron gases at low temperatures.
The experimental study of the 2D quantum wells showed a significant longitudinal acoustic phonon response for all of the devices studied: this can be attributed to the generally weaker $1/a_0$ effect in QWs compared to heterojunctions. As the well width (effectively the thickness of the quasi-2D sheet) was narrowed, the proportion of LA phonons in the signal increased. At very low well widths (< 4nm) where the electron wavefunction leaks significantly into the barriers of the potential well, the LA proportion of emission is reduced.
As the heat pulse power $P_{2DEG}$ is varied, the LA/(LA+TA) ratio is observed to change, with the dependence varying strongly as a function of well width. For narrow quantum wells, the LA proportion of emission increases with increasing $P_{2DEG}$, as the peak phonon wavevector shifts to higher values without being affected by the $1/a_0$ cutoff. For wider wells, the opposite dependence is observed: as the heat pulse power is decreased, the LA/(LA+TA) ratio increases. Here the emission is strongly affected by the $1/a_0$ cutoff; reducing the power therefore increases the proportion of phonons in the distribution having wavevectors below the cutoff, resulting in an enhanced LA proportion of emission.
A similar observation is found when studying the transition from acoustic to optic phonon emission. The crossover power $P_{opt}$ is pushed to higher values at low well widths. This can be attributed to a greater number of "pathways" for acoustic phonon emission at low well widths due to the lifting of the suppression of the emission caused by the $1/a_0$ cutoff. For well widths $w > 5\text{nm}$, a $P_{opt} \sim w^{-2}$ dependence of the crossover power is found and explained in terms of the energy and momentum restrictions of the system. Furthermore, the experimental measurements of the optic crossover show the same dependence as theoretical calculations of the total dissipated power into acoustic phonon modes at $T_e = 50\text{K}$.
This result contrasts with work by Al Jawhari et al. (1999), which proposes that the dominant mechanism for electron energy relaxation from a hot 2DEG for electron temperatures $20\text{K} < T_e < 70\text{K}$ is the excitation of coupled plasmon-optic modes. It is argued that these modes couple to electrons an order of magnitude more strongly than acoustic phonons in this regime, accounting for the discrepancy between theoretically calculated and experimentally measured values of $P_{opt}$ based on acoustic emission only. As discussed in 5.3 above, however, doubt has been cast upon traditional methods of measuring the optic crossover power by Pentland (2000). By taking the first indication of LO emission as the crossover, values of $P_{opt}$ result that match the theory far more closely, as in Figure 5.19.
Das Sarma et al. (1988) precict that for a 2DEG quantum well, the crossover between this coupled-mode and optic emission should be essentially independent of well width. The observed $w^{-2}$ dependence of the optic crossover thus provides strong evidence that the coupled plasmon-optic mode is not seen in this work. Further investigation is therefore required to fully understand the 2DEG energy relaxation processes in this temperature regime.
The computer modelled simulation of the theory of the 2DEG system adds much understanding to the experimental results, and illustrates in particular the importance of including in the calculation the effects of screening, matrix element anisotropy, the non-infinite potential well barriers and the finite thickness of the 2D sheet. In each of these cases, particular reference has been made to features in the experimental data that can be uniquely attributed to the effects of each factor. Where specific predictions have been made by the model, e.g. of the optic crossover power $P_{opt}$, good agreement was found with the experimental data.
In summary, the objectives of the research have been largely accomplished, with the experimental and theoretical findings contributing to a new level of understanding of the energy relaxation processes of 2D electrons in semiconductors at low temperatures.
Appendix A:
Derivation of bound-state form factor for square quantum well
To obtain the bound-state form factor (Toombs et al., 1987) defining the restriction on the z-momentum of an emitted phonon in the electron-phonon interaction, the transition matrix element describing the overlap integral between the initial and final $k$-states, $M_k^{k(q,\lambda)} = \int \Psi_k^* V_{e-p} \Psi_k \, dr$ must be integrated in the z-direction.
For a heterojunction, assuming an approximately triangular confining potential:
$$\Psi_0(z) = \left( \frac{1}{2a_0^3} \right)^{1/2} z \exp(-z/2a_0)$$
where $3a_0$ is the average separation of electrons from the heterointerface.
The exponential form of the ground-state wavefunction makes it a trivial task to perform the integration to obtain the form factor in this case.
For a quantum well, assuming an infinite square potential:
$$\Psi_0(z) = \sqrt{\frac{2}{w}} \sin\left(\frac{\pi z}{w}\right)$$
where $w$ is the quantum well width.
Solving the matrix element integral in this case is considerably more complex, eventually yielding:
\[ |F(q_x)^2| = K^2 \left( \sin^2 K + (1 - \cos K)^2 \right) \]
where \( K = \left( \frac{1}{q_x w} \right) - \left( \frac{1}{2(q_x w + 2\pi)} \right) - \left( \frac{1}{2(q_x w - 2\pi)} \right) \)
The full derivation is given here:
\[ M_{k'}^{k'(q,\lambda)} = \int \Psi_{k'}^* V_{e-p} \Psi_k \, dr \]
where \( \Psi_k = \Psi_0 \exp(ik \cdot r) \). Since \( k - k' = q \):
\[ M_{k'}^{k'(q,\lambda)} = \int V_{e-p} \Psi_0^2 \exp(iq_x x) \exp(iq_y y) \exp(iq_z z) \, dr \]
The integral can be split into its in-plane and perpendicular components (the former giving rise to the \( 2k_F \) cutoff). Solving for the latter by substituting the above expression for \( \Psi_0 \) in the case of an infinite square well and expanding \( \exp(iq_z z) \) as a sum of sines and cosines, the following is obtained:
\[ F(q_x) = \left( \frac{2}{w} \right) \int_0^w \sin^2 \left( \frac{\pi z}{w} \right) (\cos q_x z + i \sin q_x z) \, dz \]
The \( \sin^2 x \) term can be replaced using the trigonometric identity: \( \sin^2 x = \frac{1}{2}(1 - \cos 2x) \).
Splitting the expression into its real and imaginary components gives:
Real: \[ \frac{1}{w} \int_0^w \cos q_z z - \cos q_z z \cos \left( \frac{2\pi z}{w} \right) dz \]
Imaginary: \[ \frac{1}{w} \int_0^w \sin q_z z - \sin q_z z \cos \left( \frac{2\pi z}{w} \right) dz \]
Another pair of trigonometric substitutions enables the double cosine product in each expression to be replaced:
\[ \cos A \cos B = \frac{\cos(A + B) + \cos(A - B)}{2} \quad \sin A \cos B = \frac{\sin(A + B) + \sin(A - B)}{2} \]
For the real term, three simple cosines remain, to be integrated. For the imaginary term, three simple sines result.
The result of these integrations are:
Real term: \[ \frac{1}{w} \sin q_z w \left[ \frac{1}{q_z} - \frac{1}{2(q_z + \frac{2\pi}{w})} - \frac{1}{2(q_z - \frac{2\pi}{w})} \right] \]
Imaginary term: \[ \frac{1}{w} (1 - \cos q_z w) \left[ \frac{1}{q_z} - \frac{1}{2(q_z + \frac{2\pi}{w})} - \frac{1}{2(q_z - \frac{2\pi}{w})} \right] \]
Squaring and adding, the final result is obtained:
\[ |F(q_z)^2| = K^2 \left( \sin^2 K + (1 - \cos K)^2 \right) \]
where \( K = \left( \frac{1}{q_z w} \right) - \left( \frac{1}{2(q_z w + 2\pi)} \right) - \left( \frac{1}{2(q_z w - 2\pi)} \right) \)
References
A.V.Akimov, L.J.Challis and C.J.Mellor, *Physica B*, 169, 563 (1991)
H.Al Jawhari, A.G.Kozorezov, M.Sahraoui-Tahar, J.K.Wigmore and C.D.W.Wilkinson, *Physica B*, 263-264, 211 (1999)
T.Ando, A.B.Fowler and F.Stern, *Rev.Mod.Phys.*, 54, 437 (1982)
J.Bardeen and W.Shockley, *Phys.Rev.*, 80 72 (1950)
M.A.Chin, V.Narayananamurti, H.L.Stormer and J.C.M.Hwang, in *Phonon Scattering in Condensed Matter*, eds. W.Eisenmenger, K.Lassmann and S.Döttinger (Springer: Berlin), 328 (1984)
A.J.Cross, A.J.Kent, P.Hawker, D.Lehmann, Cz.Jasiukiewicz and M.Henini, *Physica B*, 263-264, 526 (1999)
S.Das Sarma, J.K.Jain and R.Jalabert, *Phys.Rev.B*, 37, 4560 (1988)
A.G.Every, *Phys.Rev.Lett.*, 42, 1065 (1979)
A.G.Every, *Phys.Rev.B*, 22, 1746 (1980)
A.G.Every and A.K.McCurdy, *Phys.Rev.B*, 36, 1432 (1987)
F.F.Fang and A.B.Fowler, *J.Appl.Phys.*, 41 1825 (1970)
W.Gancza and T.Paszkiewicz, *Comp.Phys.Commun.*, 85, 423 (1995)
I.Gorczya and J.Krupski, *Phys.Rev.B*, 52, 11248 (1995)
P.Hawker, *PhD thesis*, University of Nottingham (1990)
P.Hawker, A.J.Kent, O.H.Hughes and L.J.Challis, *Semicond.Sci.Technol.*, 7 B29 (1992)
P.Hawker, A.J.Kent, N.Hauser and C.Jagadish, *Semicond.Sci.Technol.*, 10, 601 (1995)
P.Hawker, C.Jagadish and M.R.Melloch, *Physica B*, 219 & 220, 62 (1996)
R.A.Hopfel, E.Vass and E.Gornik, *Solid State Commun.* 49, 501 (1984)
A.R.Hutson and D.C.White, *J.Appl.Phys.*, 33, 40 (1962)
Cz.Jasiukiewicz and V.Karpus, *Semicond.Sci.Technol.*, 11, 1777 (1996)
Cz.Jasiukiewicz, D.Lehmann, A.J.Kent, A.J.Cross and P.Hawker, *Physica B*, 263-264, 183 (1999)
A.J.Kent, A.J.Cross, P.Hawker and M.Henini, *Phys.Stat.Sol.*, 204, 230 (1997)
A.J.Kent, in *Hot Electrons in Semiconductors: Physics and Devices*, ed. N.Balkan (Oxford University Press, Oxford), 81 (1998)
P.G.Klemens, in *Solid State Physics*, vol 7, eds. F.Seitz and D.Turnbull (Academic Press, New York) (1958)
H.J.Maris, *J.Acoust.Soc.Am.*, 50, 812 (1971)
A.Naylor, *PhD thesis*, University of Nottingham (1998)
G.A.Northrop, *Comp.Phys.Commun.*, 28, 103 (1982)
I.A.Pentland, *PhD thesis*, University of Nottingham (2000)
M.Rothenfusser, L.Köster and W.Dietsche, *Phys.Rev.B*, 34, 5518 (1986)
J.Shah, A.Pinczuk, H.L.Stormer, A.C.Gossard and W.Weigmann, *Appl.Phys.Lett.* 42, 55 (1983)
F.Stern and W.E.Howard, *Phys.Rev.*, 163, 816 (1967)
K.R.Strickland, R.E.George, M.Henini and A.J.Kent, *Semicond.Sci.Technol.*, 9, 786 (1994)
R.E.Strickland, *PhD thesis*, University of Nottingham (1996)
S.Tamura, *Phys.Rev.B*, 30, 849 (1984)
B.Taylor, H.J.Maris and C.Elbaum, *Phys.Rev.Lett.*, 23, 416 (1969)
G.A.Toombs, F.W.Sheard, D.Neilson and L.J.Challis, *Solid State Commun.*, 64, 577 (1987)
F.T.Vasko and V.V.Mitin, *Phys.Rev.B*, 52, 1500 (1995)
E.Vass, *Solid State Commun.*, 61, 127 (1987)
A.J.Vickers, *Phys.Rev.B*, 46, 13315 (1992)
R.J.von Gutfeld and A.H.Nethercot Jr, *Phys.Rev.Lett.*, 12, 641 (1964)
W.Walukiewicz, *Phys Rev.B*, 37, 8530 (1988)
A.K.M.Wennberg, S.N.Ytterboe, C.M.Gould, H.M.Bozler, J.Klem and H.Morkoç, *Phys.Rev.B*, 34, 4409
A.Wixforth, J.Scriba, M.Wassermeir, J.P.Kotthaus, G.Weimann and W.Schlapp, *Phys.Rev.B*, 40, 7874 (1989)
C.H.Yang, J.M.Carson-Swindle, S.A.Lyon and J.M.Worlock, *Phys.Rev.Lett.*, 55, 2359 (1985)
Z.Xin,F.F.Ouali,L.J.Challis,B.Salce and T.S.Cheng, *Physica B*, 220, 56 (1996)
Y.Zheng, T.Lu, Y.Wang, X.Wu, C.Zhang and W.Su, *Semicond.Sci.Technol.*, 12, 296 (1997)
|
Lack of students cancels trip to England
By Melissa Williams
Editor
The idea of studying in England this summer has become a figment of the past.
With only the small number of students that had signed up for the experience, the trip was canceled.
"The number wasn't anywhere close to what we needed," said Dr. Charles Endress, interim dean of the college of liberal and fine arts. "This is the first one we've ever had to cancel."
The trip ended up with 15 students interested in going, which was five students short of the goal needed.
"It's unfortunate because we had some excellent students who would have made the most of the opportunity," said Dr. Shirley Eoff, one of the trip directors and professor of history.
The trip has been part of ASU's international studies program since 1972. The program consists of studying two courses in Canterbury, England with an extended visit to Scotland. The courses were to be in history and English.
"I'm extremely disappointed," he said. "The directors put a lot of work into this program."
The cost of the trip may have also been a factor, Endress said.
"It's the students that didn't sign up that's the issue."
The other programs offered includes the popular trip to Chihuahua, Mexico, which is the least expensive at about $1,500 plus the $486 scholarship.
"Mine may be less expensive, but we don't go that far," said Dr. Gloria Duarte-Valverde, director of the Mexico trip and professor of English. "But more money gets in the way for students."
Duarte-Valverde also feels disappointed that the trip was cancelled since English is her field.
"I want to students to go to England," she said. "I was hoping it wouldn't be cancelled."
Thomas Bankston, director of the European Studies trip to Germany and professor of finance, said students are missing out on a "wonderful opportunity."
"People think they can and they don't try," he said. "It's too bad we couldn't have more students take advantage of this."
Space is either full or filling up for the Mexico and the two
Please see England, page 6
Editorial
Hope for peace
The Pope and the President make strides for a non-violent Middle East
For the past two weeks, the news of Pope John Paul II visiting Jerusalem has been all over the newspapers and television. The idea of this Catholic Pope visiting the Holy Land filled with Jews, Muslims and Christians was considered one of great bravery.
Fortunately, the visit went peacefully with very little resistance. The Pope was the first to visit the great stone Western Wall, the holiest site in Jerusalem. Observing the Jewish tradition, he placed his plea that asked for forgiveness from the people for the pain they have suffered and for brotherhood. The message will now be placed in Israel's Yad Vashem Holocaust memorial due to the reflection of importance the message gave.
The Pope made this journey as part of a lifelong goal and as a non-Catholic priest of faith.
His actions there were not as a Catholic, but as a person of faith working toward people.
Ironically, President Bill Clinton visited India and Pakistan to promote peace talks.
He even took his daughter Chelsea with him.
In one remarkable event, Clinton was able to meet with Syrian President Hafez Assad for three hours in an attempt to jump-start Syrian-Israeli peace talks.
Assad is not known to travel much, but him making the effort to go see Clinton was one of historical significance.
Assad knows time is running short and he feels that he must try to do something for peace.
Clinton only has 10 months left and he is looking for his own legacy in peace.
While nothing Earth-shattering happened during his visit, it did promote the idea of peace in an area that mainly gets attention for war.
Both of these events gave the opportunity for the world to see a rare peaceful Middle East. For two weeks, images of peace were portrayed. If this can happen in two weeks, then maybe the impact these men made will continue the trend.
Applications being accepted for Ram Page editor
Applications for editorship of the Ram Page for the 2000-2001 school year will be accepted until April 5.
Applicants for editor must be a junior or senior students, majoring in journalism. Applicants must have been enrolled in ASU full-time for at least two consecutive long semesters prior to the date of application and have served on the staff in some major capacity for at least one year prior to that date.
If no qualified application is received, exceptions to the policy may be considered, said Chairman Jack Eli of the Publications Board.
Completed applications may be turned in to the Department of Communications, Drama and Journalism in Room 202 of the Hardeman Building. For more information, call 942-2031.
Ram Page 1999-2000
Editor: Melissa Williams
Managing Editor: Naomi Watts
Sports Editor: Charles Wright
Arts & Entertainment Editor:
Jennifer Cherry
Photo Editor: Pam Decker
Copy Editor/Circulation Manager: Jess Harper
Advertising Manager: Tom Smith
Advertising Assistants:
Jessica Cox and Jessica Moreno
Online Manager:
Micah Wells
Cartoonist: Jason Gaston
Graphics: Jessica Cox
Photographers:
Marliu Chaney, John Saunders
Staff Writers:
John Saunders, Marliu Chavez,
Stacey Patterson, Daniela Persike, Adolfo Ramos,
Leslie Eakman, Jessica Aleman, Krassimira Bileva, Don Phifer
Adviser: Dr. Cathy Johnson
Ram Page welcomes all letters. Please include your name, classification, major, phone number and e-mail address. Letters must be signed and be about 250 words. We reserve the right to edit letters for clarity, grammar, spelling and style. Deadline is noon Monday. Submission does not guarantee publication. Letters may be mailed, e-mailed or submitted at the news paper's office.
Student Body President says 'Thank you' for a productive year
When I started the Annual Awards Ceremony as Vice President, so many believed in the dream and helped to make it grow to where it is today. We opened the doors to Light Up ASU. Family day was a day full of tours of San Angelo, in which our visiting families could tour a few historic buildings. We also offered a tour of Fort Concho and the San Angelo Museum of Photography. A BBQ buffet was served and students entertained our families. Planetary director Mark Sonntag was so gracious to offer two planetarium shows.
ASU saw one of its largest Homecoming Parade with so much more involvement of our student organizations, departments and the San Angelo Community. We also were privileged to have Mayor Jimmie Davis Jr. as a guest, wearing the week blue and gold week.
We had the first annual Walk Through The Night Lights during Light Up ASU and a larger display of lights. Light Up ASU involved organizations and departments in a very special way.
I believe the most difficult task of a traditional college student is not college, but the transition from teenager to young adult and to adult. When we finally graduate, we are faced with more decisions: graduate school, marriage, your first real job, to get married or not to get married and relaxing.
So when you are all grown up, "are the good times really over for good?"
It seems like the average adult is a robot, programmed for the same old routine day in and day out. That program goes something like this: alarm clock, breakfast, morning paper, work, lunch, work, news, dinner, sleep and then do it all over again. On the weekends, the robot will "recharge" and then fit church and family into its schedule.
Sometimes I wonder what is going through these people's minds. I now see why there are more students on the five to ten year degree plan.
They simply are not ready to succumb to the reality of a "9 to 5" world. A world that includes a lot of coffee and rush hour traffic (if you land a job outside of the Concho Valley).
After developing immunity to traffic jams, it is now time to come home. Not to drink a beer and watch SportsCenter but to cook, pay the bills and change diapers.
We must realize this can and we probably happen to us, "droidhood" may be unavoidable.
But we should all remember these people were much like us once.
Most of them probably did "keggstand" or took a "drag" at one time or another. On the road, they people driving minivans look at a like a "dork" or a "Mars."
I personally vow never to drive or own a minivan.
They should take their minds off of us and worry more about the six o'clock news and pot roast.
Charles Wright is a junior journalism major from Willis, Texas.
Transistion into adulthood can be tricky
Oscar 2000 stays stuffy in the new century
Watching the Academy Awards Sunday night, I found myself drawing two separate conclusions.
One: This year's Oscar presentation was, perhaps, the hippest on record.
With its giant television screens, hot young numbers and the wise-crackings of host Billy Crystal, it would seem that Oscar has finally been dragged kicking and screaming into the 21st century.
The effort to update the 72-year-old awards ceremony was impressive, but it made the entire evening feel like the MTV Movie Awards.
Two: The awards ceremony may have been updated to accommodate the new tastes of the year 2000, but the awards themselves are as old, antiquated and stuffy as they have ever been.
Take into account that Oscar always seems to side with safe and traditional Hollywood fare such as best picture nominees, "American Beauty," "The Green Mile" and "The Sixth Sense."
The more experimental "Being John Malkovich," "The Blair Witch Project," "Eyes Wide Shut" and "Magnolia" just to name a few - were all but ignored even though, in many respects, they were far more superior.
What of "The Matrix" ignored in all its glory? Its visual effects and sound, "The Matrix" blended special effects, science fiction and good-old Hollywood storytelling and action into a tale that exemplified everything Hollywood holds dear... yet, it was ignored because it was an action movie.
The Oscar show is more conservative and more predictable. Aside from last year when "Shakespeare in Love" won best picture over "Saving Private Ryan," I am hard pressed to remember a time when the Academy Awards surprised me.
From the opening tune heralding the start of the ceremonies, it was painfully obvious that the night was going to belong to "American Beauty." Angelina Jolie, Hilary Swank, Kevin Spacey and Michael Caine (even though I still say Haley Joel Osment deserved the Oscar but not Cain's did).
Phil Collins' "You'll be my Heart" from "Tarzan" was a show-win for best song, even though Whitney Houston's "When She Loves Me" from "Toy Story 2" was a far more beautiful and emotional song and South Park's "Blame Canada" was more fun and inventive.
Should I even mention Jim Carrey's winning snubbed for "Man on the Moon?"
If Oscar truly wants to join the 21st century as a respectable awards ceremony, it needs to take steps to be more inclusive and less predictable.
Let the experimental movies get nominated and don't let them sweep the awards. Don't be afraid of giving a statue to a eleven-year-old child or a man who has made more of his mark by putting funny faces and talking out of his butt.
Oscar has got problems. The more than apparent for any forum is when Bob Hoskins is allowed a vote, but Robin Eberle isn't.
And if Oscar 2000 was any indication, it does show that change is possible... even if only on the surface.
Hopefully next year, we'll see more diverse palates of colors up for the little gold statues and when it's time to announce best picture comes around, we'll all be biting our fingernails in anticipation instead of wondering what's on the other channel.
Jason Gaston is a senior drama major from Sterling City.
Student Body President says 'Thank you' for a productive year
By Staff Writer
The elections for your new student body representatives are only three weeks away. It is my hope you will listen to each of the candidates and their issues. Make a choice of that candidate you believe will represent your views and stand by principle and not their own resume. There are many that have come to the call to be your voice, so it is imperative you get out and vote. I really hope you will.
It has been my deepest pleasure and indeed an honor to serve the students at ASU for the past two years.
Last year as your Vice President and this year as your President have been most rewarding.
We have seen a lot of changes, and improvements in such areas as Family Day, Homecoming and Light Up ASU. Family Day no longer consisted of a ride around town and a tour of the campus.
Last year, we had Family day with day full of tours of San Angelo, in which our visiting families could tour a few historic buildings. We also offered a tour of Fort Concho and the San Angelo Museum of Photography. A BBQ buffet was served and students entertained our families. Planetary director Mark Sonntag was so gracious to offer two planetarium shows.
The Senate also has passed some productive bills that have benefited the students and the individual organizations. A bold stand was taken on behalf the students here at ASU.
I hate to sound like a bragger, but I'm very proud of the Senate's accomplishments. I thank those who helped to see them become a reality. Most of all I would like to thank God who blessed each and all these projects, for answering many prayers and for always listening.
I also realize that to some I was the subject of controversy. It is sad when one becomes labeled for taking a stand and asking questions we should all be asking.
For standing up for the student body as a whole, or an organization and just being honest and upfront for you for assistance. That is what a public servant is supposed to be about. We should have the intestinal fortitude to stand by our convictions, and the courage to do what we were elected to serve. I guess for this administration, I have been seen as the only student with the problem.
I would like to thank the student body for their support and trust in all of you the very best. I would also like to thank those individuals who helped in the pursuit of many of my goals, dreams, and my better life. This body has been a blessing.
I would also like to thank the faculty and especially those wonderful professors I had the privilege to be a part of their classroom.
I am not however, sorry for anything that I did in serving as the ASU Student Body for the past two years.
Thank you ASU Students, it's been a pleasure....Benny Pain.
By Staff Writer
The elections for your new student body representatives are only three weeks away. It is my hope you will listen to each of the candidates and their issues. Make a choice of that candidate you believe will represent your views and stand by principle and not their own resume. There are many that have come to the call to be your voice, so it is imperative you get out and vote. I really hope you will.
It has been my deepest pleasure and indeed an honor to serve the students at ASU for the past two years.
Last year as your Vice President and this year as your President have been most rewarding.
We have seen a lot of changes, and improvements in such areas as Family Day, Homecoming and Light Up ASU. Family Day no longer consisted of a ride around town and a tour of the campus.
Last year, we had Family day with day full of tours of San Angelo, in which our visiting families could tour a few historic buildings. We also offered a tour of Fort Concho and the San Angelo Museum of Photography. A BBQ buffet was served and students entertained our families. Planetary director Mark Sonntag was so gracious to offer two planetarium shows.
The Senate also has passed some productive bills that have benefited the students and the individual organizations. A bold stand was taken on behalf the students here at ASU.
I hate to sound like a bragger, but I'm very proud of the Senate's accomplishments. I thank those who helped to see them become a reality. Most of all I would like to thank God who blessed each and all these projects, for answering many prayers and for always listening.
I also realize that to some I was the subject of controversy. It is sad when one becomes labeled for taking a stand and asking questions we should all be asking.
For standing up for the student body as a whole, or an organization and just being honest and upfront for you for assistance. That is what a public servant is supposed to be about. We should have the intestinal fortitude to stand by our convictions, and the courage to do what we were elected to serve. I guess for this administration, I have been seen as the only student with the problem.
I would like to thank the student body for their support and trust in all of you the very best. I would also like to thank those individuals who helped in the pursuit of many of my goals, dreams, and my better life. This body has been a blessing.
I would also like to thank the faculty and especially those wonderful professors I had the privilege to be a part of their classroom.
I am not however, sorry for anything that I did in serving as the ASU Student Body for the past two years.
Thank you ASU Students, it's been a pleasure....Benny Pain.
News In Brief
Wallace Elected Regional President
Dr. Andrew B. Wallace, head of the Physics Department, has been elected president of Region 1 of the Alpha Chi National Honor Scholarship Society.
Wallace served two years as the region's vice president before being elected to the presidency earlier this month at the regional convention in San Antonio.
Alpha Chi is a national honor scholarship society for juniors and seniors in all academic fields. Chapters of Alpha Chi may invite to membership no more than 10 percent of their junior and senior classes.
Modern languages to hold festival
The Department of Modern Languages will host the 21st annual Foreign Language Festival Friday, March 31.
Fifty four schools from around the area have already registered to participate in this year's festival.
Students will be generally rated in events such as poetry reading, prose reading, translation, spontaneous speaking and a written test. Ribbons will be given away for each superior and excellent rating, a written evaluation of the performance with comments and a commemorative millennium t-shirt will be received by the students as well. The contest is to take place in a relaxed atmosphere without competition for places.
The festival will close with a brief sweepstakes awards ceremony, in which the top three schools in each language will receive trophies.
Senior Citizens to compete in Playday
This Saturday, the Concho Valley Chapter of Activity Professionals in conjunction with the Concho Valley Area Agency on Aging will hold the Fourth Annual Mid-week Playday.
The host for this year is Schleicher County Medical Center and the co-host is Crockett County Day Care Center. This event is "Olympic" style games for Nursing Home residents.
Residents will compete for medals in numerous categories including races, basketball toss and bucket throws.
Games will begin at 9 a.m. in the Physical Education Building. The event is free and open to the public.
Two students place in annual competition
Two computer science majors have placed in the 60th Annual William Lowell Putnam Mathematical Competition.
Freshman Karthik Gopalasram finished 447th and senior Abhiram Shandilya placed 729th out of 2,900 participants nationally.
Due to the complexity of the contest, finishing in the top 500 is considered excellent and even placing is considered a significant accomplishment, said Dr. Charles Diminale, competition sponsor.
The exam was administered nationally by the Mathematical Association of America. Participants are given six hours to solve 12 problems, which cut across several mathematical disciplines or fields. The questions are worth 10 points each with a perfect score being 120.
The names of students who take the exam and place in the top 500 are distributed to graduate schools nationally. Being included on the lists opens up opportunities for scholarships and fellowship opportunities for students going to graduate school, Diminale said.
Senate still looking for new president
By Stacey Patterson
Staff Writer
With April elections coming up, the Student Senate discussed plans for elections at their Monday night's meeting.
Elections for the Student Senate will take place April 12 and 13.
Student Senate applications are due at 5 p.m. today in the Senate office located in the Math and Science Building.
Mauro Valdez, student body vice president, said the April 10 Senate meeting will be devoted to the presidential and vice presidential debates in MCS, Room 100.
Beaux Hall, parliamentarian, said as of Monday night's meeting, there are two presidential tickets and 16 senator applications.
Students show skills at UCPC Skit Contest
By Melissa Williams
Editor
Students will have a chance to show off their creativity at the UCPC Student Skit Contest tonight. The contest will begin at 7:30 p.m. at the Super Slab.
The contest is open to both students and student organizations that have never done a skit to perform.
"They have to come up with their own skit," said David Meyer, chairman of the UCPC Arts Committee.
The UCPC will provide microphones and chairs, but the groups need to bring their own props.
APO, Red Cross bowl for disaster relief fund
By Pam Decker
Staff Writer
Last Sunday, Alpha Phi Omega and the American Red Cross Association co-hosted a Bowl-a-thon at Stadium Lanes.
This year's event project was a first for APO, involving about 20 members of the co-ed service fraternity. The goal of the Bowl-a-thon was to help raise money for the purpose of disaster relief.
Organizations and companies, such as Sunny 96 radio station and Shannon Health Center, along with four individual teams from Alpha Phi Omega entered the competition with each team collecting money using pledge sheets.
Since mid-February, the different teams have been working on donations for the cause. During the afternoon, teams bowled their best to help out with the urgent cause of disaster relief.
By the end of the day, not only had everyone had a great amount of fun but also they had accomplished something great raising $750 for the Red Cross.
Channel Moody, APO service project chair and volunteer with the Red Cross since her high school years, said all the money raised Sunday will be put toward the local chapter funds and the local needs of the Concho Valley.
The next service project for Alpha Phi Omega is this Saturday with a "Don't Mess With Texas Trash Off," an Adopt a Highway event held the first weekend of April annually throughout the state of Texas.
For more information, call Krissey Stiver, president at 947-2971.
Week-long programs promote anti-violence
By Daniela Persike
Staff Writer
"Rains Against Violence Week" has been scheduled for April 3 through 7. Several student organizations will come together in this week of activities to inform about issues pertaining to interpersonal violence and its prevention.
This week's purpose is to educate students, staff, faculty and the public about interpersonal violence and to prevent it by creating awareness. It is sponsored by the ASU Counselors, Student Life Office, University Counseling Ministries and the University Program Council Center.
Monday, there will be a luncheon at the Baptist Student Ministry and at 8 p.m. the "Take Back the Night" vigil and walk featuring the ASU Student Jazz Combo at the Super Slab.
Tuesday, HIV testing can be done from 9 a.m. to 5 p.m. at the United Campus Ministry, 2453 Deming. At 8 p.m., a performance of Act II of William Mastrosimone's "Extremities" can be attended in the Recital Hall of the Carr-Edwards Fine Arts Building. After the play, a panel discussion will follow.
Wednesday, programs will be presented by local agencies at the High Rise Residence Halls.
Thursday, trainer, consultant and humorist Margie Culbertson-McDermott will give a free lecture on "Victim Communication: A Key to Building Your Good Life." It will take place in the Rassman, Room 117.
Friday, 4 p.m., a lecture on "Fight Against Prejudice" will be held in the Auditorium. Tickets will cost $1 for students, $2 for staff and $3 for the general public.
The ASU Counselors will finish the week with a performance on the mall between the Houston Hartie University Center and the ASU Administration Building at 8 p.m.
For further information, contact Shanida Iqbal or Rob Tipton at UCPC - Student Life, 942-2062, or by email at email@example.com.
Moon lecture looks at global problems
Staff report
Dr. F. Sherwood Rowland, whose research discovered the damage aerosols were doing to the ozone layer and changed the way the world looks at the global environment, will deliver two presentations April 18 during the 24th Annual Roy E. Moon Distinguished Lectureship in Science.
Rowland, who received the 1995 Nobel Prize in Chemistry for his research, will speak on "Global Smog" during a lecture to students at 2 p.m. and on "Two Global Atmospheric Pollution Problems: Stratospheric Ozone Depletion and the Greenhouse Effect" during a public lecture at 8 p.m. Both lectures will be in the ASU Auditorium.
The Nobel Prize-winning researcher, Rowland and his colleague, Mario Molina, discovered that chlorofluorocarbons released into the atmosphere via aerosol propellants were depleting the stratosphere's ozone layer, which shields the earth from harmful ultraviolet radiation. Their work ultimately led to the first international agreement for controlling and ameliorating damage to the earth's atmosphere.
In announcing the Nobel Prize, the Royal Swedish Academy of Sciences praised Rowland's contribution "to our salvation from a global environmental problem that could have threatened all life forms."
The Moon Lectureship was established in 1976 in memory of former San Angelo physician Roy E. Moon by one of his colleagues and has been funded annually by a grant from the physicians of West Texas Medical Associates.
The Lectureship brings scientists of national prominence to the ASU campus each year for public lectures, on-campus classroom visits and informal discussions.
Dr. Rowland is the Donald Bren Research Professor of Chemistry and Earth System Science at the University of California-Irvine, where he joined the faculty in 1964 as a professor of chemistry. Since 1994 he has been the foreign secretary for the U.S. National Academy of Sciences.
He has published more than 350 scientific articles on atmospheric chemistry, radiochemistry and chemical kinetics in a variety of publications, including Science, Journal of Geophysical Research and other prestigious scientific journals.
Dr. Rowland earned his B.A. at Ohio Wesleyan University in 1948 and received his M.S. in 1951 and his Ph.D. in 1952, both from the
Jambali Afrika plays beats from around the world:
Band brings native rhythmic sounds, dances
By Jennifer Cherry
Arts & Entertainment Editor
The sky is the limit for the up and coming musical group Jambali Afrika. The group performs their upbeat show across the world and is working on their fourth CD.
"Music, to us, is like a way of life," said Joseck Asikoye, band member.
He and the rest of the band members come from Kenya, Africa. Music is used for everything. People even sing while they are simply walking down the street, Asikoye said.
Jambali Afrika became a group seven years ago after several performers left the Kresyn Theater Dance Troupe. Dancers had perceived tones of censorship. Since that time, the group has toured Europe, Japan and the United States. They are currently based in Pennsylvania.
"It is fun meeting different cultures and different people," Asikoye said.
Members of the band stay on the road during eight months out of the year. During the summer, they perform at large festivals and in the fall, they play at different universities.
Asikoye's brother and fellow band member Justo (Juice) said his favorite part of the job is summer because he loves the festivals.
Two months out of the year, the men get to go to their homeland and see their family.
Joseck said his family accepts the fact that he and his brother are gone all of the time because they know that the men are doing something they love.
"I love it," Juico said. "The music is me. All of it comes from the heart."
Industry wise, the men are looking to be noticed as well. Both brothers admit they would rather perform for an American audience anytime because of the energy spirit each audience contains.
However, they also said that they desire a piece of the multimillion-dollar music industry.
"We learned to compete with Europe," Joseck said.
So the group decided to compete with the best musicians. The world sees America as a trend-setter for music.
"When you become a big star in America, you are a big star in the world," he added.
The band has been experimenting with different forms of music from different cultures. They will display some of these sounds on their fourth album due in November.
This year, the group has performed at 150 different colleges and is preparing for a busy summer agenda between festivals and cutting the new album.
Really our breaks do not seem like breaks, Juico said. When we are not playing, we feel like we should be. We want to continue to perform.
Military Band member to be featured at recital
Staff report
Kenneth Ortlepp, the principal horn player of the Air Force Band of the West in San Antonio, will be the featured guest artist in a recital that will feature the works of Richard Strauss, Franz Strauss and Paul Bowles.
The concert is 7:30 p.m. Thursday, April 6 in the ASU recital hall. Percussionist Michelle Bowie will assist Ortlepp on a new work written by Mark Schultz for horn, percussion and tape. Accompanying on piano will be San Angeleno Diane Deatherage.
American first class Ortlepp is from Meridian, Miss. And a graduate of Meridian High School, Ortlepp attended the University of Southern Mississippi.
There, he earned a Bachelor of Arts degree in Music Performance. He earned a master of music degree in horn performance from the University of Mississippi.
During his tenure in Mississippi, Ortlepp performed with the Curlew City Symphony, Tupelo Symphony Orchestra, Greenville Symphony and the Meridian Symphony Orchestra.
He also played horn with the Mississippi Wind Symphony, Memphis Chamber Orchestra and the Mississippi Symphony Orchestra.
Ortlepp furthered his studies by attending the University of Northern Colorado. He performed with the Greeley Philharmonic Orchestra, Denver Brass, Cheyenne Symphony Orchestra and the Fort Collins Symphony Orchestra.
He was awarded the Angie Southard Music Award during this time. He is currently pursuing his doctor of arts degree in music performance with secondary emphasis in music history.
Ortlepp entered the U.S. Air Force in 1998. Upon completion of basic military training, he was assigned to the Air Force Band of the West.
He currently performs in the concert Band, Top Band and is the Drum Major for the Ceremonial Marching Band.
Senior Armistice Michelle Bowie is a native of Walkersf, Md. Where she graduated from high school with such honors as the Semper Fidelis Award, was a Maryland Distinguished Scholar in Arts and Academics and was salutatorian of her class.
She continued her education at West Virginia University where she completed her bachelor of music in percussion performance degree.
While in college she won the Young Artist Concerto Competition and graduated magna cum laude.
Bowie has a wide range of experience musically, covering several different instruments.
She has performed as a soloist and as an ensemble member at Percussive Arts Society International Conventions and was principal percussionist in the Symphony Orchestra at West Virginia University.
Other ensembles in which she performed while at WVU include steel drum ensembles for three years, African Drumming and Dance, Japanese Taiko and Indonesian gamelara.
Bowie has performed with the U.S. Air Force Band of the West in August 1996. She performs in the Concert Band, Top Brass, Gateway Brass, NightHawk Combo and the Ceremonial Marching Band.
In Advance
Thursday, March 30
10 a.m. International Business Symposium - Speaker Floyd Nickerson, President of Caetral Southwest Power International. Math and Computer Science Building Room 100. For more information 942-2383 ext. 231.
1:30 p.m. International Business Symposium - A panel of international Specialists MCS 100. For more information 942-2383 ext. 231.
Angelo Community Theater presents "Fiddler on the Roof." The show will run March 30-April 22. There are two Wednesday shows and one Sunday matinee scheduled. Tickets are $12 for adults, $8 for children 12 and under and 10 for students and senior citizens. All shows begin at 8 p.m. except for Sunday shows, which begin at 2 p.m. For more information, 949-4400.
7:30 p.m. Student skit contest ASU Super Slab
For more information 942-2062
Friday, March 31
10 a.m. Registration for Foreign Language Festival, Rasmussen Conference Rooms 130
12 p.m.-6 p.m. Foreign Language Festival Evaluations-Rasmussen Room 105 Awards-Physical Education Building
Saturday, April 1
8 p.m. San Angelo Symphony presents "Mozart the Great" in the San Angelo City Auditorium. This concert will feature vocal performances and the S.A. Symphony Chorale. Tickets are $12 for adults, $6 for students and $4 for children ages 6-12. They are available at Adventure Travel, George Bush Air Force Base Community Center, Legend Jewelers, The Sound Box, and the Symphony office. For more information 658-5871.
Monday, April 3
Final installment payment for tuition and housing is due. Payments may be made in the Cashier's Office located in Room 100 of the Administration Building.
Top Latin Tracks of the week
1. 'A Puro Dolor,' Son By Four
2. 'Que Alguien Me Diga,' Gilberto Santa Rosa
3. 'Donde Esta El Amor,' Charlie Zaa
4. 'El Liston De Tu Pelo,' Los Angeles Azules
5. 'Morir De Amor,' Conjunto Primavera
6. 'Te Hice Mal,' Los Temerarios
7. 'Volver A Amar,' Christian Castro
8. 'Fruta Fresca,' Carlos Vives
9. 'Te Ofrezco Un Corazon,' Banda El Recodo
10. 'Dimelo (I Need to Know),' Marc Anthony
Source: Billboard
Track jets off
Teams and 'Belles hold their own against Division I talents
By Charles Wright
Editor
The men's and Rambelles' track teams respectively took third and fourth places matched some of the frontrunners of Division I or Division II, said James Reid, head track and field coach.
"This gives us a chance to measure how we put us in a situation where we can do better," Reid said. "We're men placed behind Baylor has to go along with nine finishers. Curry Dawson discus throw and second in the shot put."
Rutland walked away with
PTC wins tourney championship
of No Where, Strictly and PTC came out champions in their respective divisions as intramurals basketball season came to a close Tuesday night.
It was a fast one on both intramural championship games held at ASU gym.
Three different championships were played and three were crowns. The first game of the night was women's open division where the Bomb Squad took on Out of Nowhere. Both teams did well during the season and were ready for staff contest coming up.
Out of Nowhere hit a 3-point shot and made a steal and a foul shot on the Bomb Squad and made a steal and a foul shot on the Bomb Squad.
Both teams traded free throws and as if the game would be a tie open. The Bomb Squad played catch up for the rest of the game.
Rebecca Lopez lead all scorers with 15 points and Jeffery of the Bomb Squad had 11. Out of Nowhere won the championship game for the women's open.
The next game was between the heavily favored Strictly Business and the Trojan.
This was the championship game for the open men's 6 feet and under title. Both teams were undefeated coming into Tuesday night's game.
The game started the way it would end, fast and explosive. Mike Castillo came out hot hitting his first three shots giving, Strictly Business a 12-0 start.
Five minutes passed before the Trojans were able to get on the board. Looking to prove a point, Strictly Business jumped out and never looked back. With Chris Kelley leading the way the half time score was 48-17.
The second half mirrored the first half as Strictly Business walked away with a huge 54-23 victory over the Trojans.
Delwin Smith for the Trojans had 6 points and Kelley for Strictly Business led all scorers with 16.
The final game was the Open men's championship game featuring last year's champions, PCT, against the only undefeated team in the men's open division, the Shooters.
Both teams traded bucket after bucket for most of the first half, until a couple of great defensive plays put the Shooters up 29-34.
In the second half, both teams opened up the defensive pressure. PTC went on a scoring run, forcing the Shooters to take several ill-advised shots that led to several PTC fastbreak opportunities.
At one point in the game, the Shooters went more than five minutes without only scoring two baskets as PTC went on a 19-4 run, making the score 59-44 with about 9 minutes left.
In a desperate move to get back into the game, the shooters get into a full-court press defense as well.
After a couple of forced turnovers and taking advantage of numerous scoring opportunities, the Shooters closed a timeout with 3 minutes left in the game.
The score was 56-61 in the favor of PTC.
Ben Galicia and J.D. Champion combined for a total of 42 points for the Shooters, but it wasn't enough to overcome PCT. Hollis Johnson scored 28 points as Smith followed closely behind with 19 points leading their team to a repeat as intramural champions.
Softball game ends with 18-5 victory
By Mauro Valdez, student body vice-president. As opposing team captains, they quickly assembled teams.
Pecina and Valdez both worried that they would find willing participants; however, turnout was excellent.
"We had 26 people come out to play and nine were women," Pecina said. "That's the most ever and I'm very happy."
Valdez's team consisted of 14 men and 6 girls. He said that the most difficult thing about putting a team together was trying to balance experienced players with non-experienced players.
"I was very impressed by the way our team played, especially after our practices," Valdez said. "I scouted the faculty during their practice and I became worried."
As the game progressed, the thought of a faculty win was impossible and trash-talking continued.
"We're tearing them up," said Jorge Cruz, senior. "They have a good cheerleading team but they need to come out with the players."
"Seeing these people in a social setting was great," said Beaux Hill, senior. "But with so much talking I may lose some of my recommendation letters."
All participants stressed how important and memorable this opportunity is.
"I take about four Alvee and come out to play," Pecina said. "If we do these kinds of things because this is the stuff we'll remember."
"There are major events that stand out throughout college, especially when you put a lot of work into something," Valdez said. "Those are the memorable moments and this is one of the many things I'll remember."
Both team captains stressed the importance of continuing this tradition. Pecina would like to see other teams and organizations on campus involved.
"We'll try to do a volleyball game next, a sport for each semester," Pecina said. "We'll try to plan something for the fall round the University Center in order to promote it."
|
**Officers 2004-2005**
**President:**
Doc Simon
803 Hartford Ave.
White River Jet, VT 05001-8052
(802) 295-2851
firstname.lastname@example.org
**Executive Vice President:**
Jerry H. Cole
17840 Oakwood Ave.
Lansing, IL 60438-1934
(708) 474-9331
email@example.com
**First Vice President:**
Ronald W. Lee
9220 Dawes Point Dr.
Mobile, AL 36695-9336
(251) 633-5969
firstname.lastname@example.org
**Second Vice President:**
Richard S. Mara
2600 Cherry St.
Bakersfield, CA 93304-1814
(661) 324-1491
email@example.com
**Secretary:**
Niles D. Hamblin
9839 Kenneth Ln.
Hudson, FL 34667-3853
(727) 862-3294
firstname.lastname@example.org
**Treasurer:**
John Williams Sr.
519 Van Kirk St.
Philadelphia, PA 19120-1215
(215) 742-6433
email@example.com
---
**Directors**
**Director: *** John R. Lunsford
2504 Mcnutt St.
Bakersfield, CA 93306-4469
(661) 872-8850
**Director: ** Lloyd A. Madson
105 Holmby Ct.
Bakersfield, CA 93309-2536
(661) 397-4731
**Director: * Robert J. Modersohn
9000 Winter Creeper Cv.
Austin, TX 78735-1498
(512) 328-4827
**Director: * Donald J. Olejnik
3142 Warsaw St.
Toledo, OH 43608-1846
(419) 242-2260
**Director: * Joseph E. Medico Sr.
Po Box 295
Magalia, CA 95954-0295
(530) 873-3477
**Director: * Doug DelFavero
9228 Lake Pine Dr.
Whitmore Lake, MI 48189-9368
(734) 449-8062
**Director: * John M. Rochford
1926 East Bancroft
Camarillo, CA 93010-4510
(805) 484-1368
---
**Directors Continued**
**Director: ** Raymond Means (Buzz)
1490 S Magnolia Ave.
El Cajon, CA 92020-7528
**Director: ** Edward L. Ellis
229 Ocean Ave.
Massapequa Park, NY 11762-2130
(516) 541-4958
**Director: ** Victor Godfrey
811 Princeton St.
New Milford, NJ 07646-2109
(201) 967-7954
**Director: ** Charles F. Large
31 Lowe Ave.
Stoughton, MA 02072-1944
(781) 344-3461
**Director: ** Richard A. Johnson
3 Lakeview Ave.
Boonton, NJ 07005-1024
(973) 335-1925
**Director: ** Robert B. Pitkin
87 Beverly St.
Rochester, NY 14610-1503
(585) 244-3251
**Director: ** Vacant
---
**Committees**
**Chaplain:**
Rev. Andrew Jenson
7 Tomahawk Dr.
Marlton, NJ 08053-2126
(856) 424-4408
**Newsletter Editor:**
Robert B. Pitkin
87 Beverly St.
Rochester, NY 14610-1503
(585) 244-3251
firstname.lastname@example.org
---
**Committees Continued**
**Public Relations Chairman:**
Richard S. Mara
2600 Cherry St.
Bakersfield, CA 93304-1814
(661) 324-1491
email@example.com
**Nominating Committee Chairman:**
John R. Lunsford
2504 Mcnutt St.
Bakersfield, CA 93306-4469
(661) 872-8850
**Nominating Committee:**
Lloyd A. Madson
105 Holmby Ct.
Bakersfield, CA 93309-2536
(661) 397-4731
**Nominating Committee:**
Robert J. Modersohn
9000 Winter Creeper Cv.
Austin, TX 78735-1498
(512) 328-4827
**Nominating Committee:**
Onofrio Bliviano
2830 Ne 22Nd Ave.
Lighthouse Point, FL 33064-7615
**Nominating Committee:**
John R. Austin
857 97Th Ave. N
Naples, FL 34108-2284
(941) 592-5818
**Nominating Committee:**
Parker W. Patterson (Wayne)
4 Terrace Hill Rd.
Pine Grove, PA 17963-9399
(570) 345-3344
**Liaison Fort Ticonderoga:**
Willard A. Mallon
6414 Cabbage Ln.
New Port Richey, FL 34653-5503
(727) 846-7735
**Liaison Patriots Point:**
Richard T. Morgan
Box 793
Spindale, NC 28160-0793
**Liaison USS Hornet (CV-12):**
Albert P. Hagmann
3281 Oxford Ln.
San Jose, CA 95117-3040
(408) 241-0567
**Liaison USS Ticonderoga (CG-47):**
Lee R. Lechleidner
5008 River Rd.
Pascagoula, MS 39567-1709
(228) 696-9032
**Budget Chairman :**
John Williams Sr.
519 Van Kirk St.
Philadelphia, PA 19120-1215
(215) 742-6433
**Future Site Chairman:**
Charles F. Large
31 Lowe Ave.
Stoughton, MA 02072-1944
(781) 344-3461
**Future Site Chairman:**
Raymond Means (Buzz)
1490 S Magnolia Ave.
El Cajon, CA 92020-7528
**WebMaster:**
David Laird
1506 Sw Topeka Blvd.
Topeka, KS 66612-1851
(785) 357-4925
firstname.lastname@example.org
---
* 1 year term
** 2 year term
*** 3 year term
GREETINGS SHIPMATES & FRIENDS:
I hope you all enjoyed your Holiday Season, and are now looking forward to another big event... our Ship Reunion being held in Braintree, MA. between May 4th and May 9th. Our last newsletter Oct/Nov/Dec '04 Issue, included the registration form on page 22, as well as a great deal of information about Boston and other various historical sites in the area. Hopefully you will want to come a few days earlier, or stay a day or two after the reunion to see more of Boston at your leisure. Three tours will be available to all who sign up. We believe you will enjoy any or all of the tours listed.
Karen Lee, our Point-of-Contact for this Reunion, has done a tremendous job to date. She was in Braintree Feb. 5th to 7th to finalize all functions both at the hotel, and the scheduled tours. She made sure the rates we receive are the lowest possible and are set. Karen will be holding a meeting on Monday morning at 10:00 am, and we are requesting every member of the Association from the greater Boston area who can make the meeting, PLEASE ATTEND. We are going to need volunteers in the Hospitality Room during the reunion, making sure both food and liquid refreshments are available for those attending the reunion. The Hotel Sheraton in Braintree is (781) 848-0600. Ask for Karen Lee or the Meeting Room No. when you arrive. It might be nice if you called before, to let her know that you will be attending.
There will be numerous interesting articles available for sale at this reunion from our Ship's Store. Ron Lee will be bringing a number of new lines never seen at prior get togethers, as they were introduced for the first time at the
Decommissioning of CG-47. Ed Trotter obtained a large variety of merchandise for the ceremonies, and we sold quite a few of these wonderful items. Many of these items are still available for you to purchase ie: Coins, Postage Stamps, CG-47 Baseball Caps, Prints, etc. The more we sell, the more needed association income will be realized by the Ship Store. Articles are also being sold on Ebay!
Ed will not be able to attend this reunion but I certainly appreciate his contribution and assistance in making the Decommissioning truly memorable. Thank you letters have been mailed to a couple of large donors in making this a success. A beautiful plaque was received for the Decommissioning from the United Defense, Inc. Naval Systems Div. of Minneapolis, MN. The plaque will be displayed at the Braintree Reunion, as will a beautiful picture we received at our Decommissioning Mini-Reunion at Mobile, AL., from the wonderful Representatives from the town of Ticonderoga, NY. I understand some of these Town Officials from Ticonderoga will be attending our Reunion, so I can assure all of you attending will have an enjoyable time. Looking forward to seeing all of you in Braintree. I understand we will see a number of Sailors from CG-47, and a number of Marines attending for the first time. This should be an exciting get together. Till then God Bless our Troops and God Bless America.
Doc Simon, President
**From The Secretary.....**
**ADDRESS CHANGES**
Charles W. Herbert
90 PUTNAM ST.
EAST BOSTON MA 02128-2522
Harry W. Shaw
4875 HERITAGE PARK BLVD
TALLAHASSEE FL 32311-1215
Dwain E. Glascock
1665 HERMITAGE RD
FT MYERS FL 33919-6408
Donald H. Walker
P. O. BOX 827
FOWLERVILLE MI 48836-0827
Paul T. Mudge
4685 CHAMBLEE DUNWOODY RD
DUNWOODY GA 30338-6333
George Friedberg
1077 6A LADY PALM LANE
BOCA RATON FL 33498
William T. Higgins
6828 ALNWICK CT
INDIANAPOLIS IN 46220-4304
Richard A. Sager
4 SYCAMORE LN
ONEONTA NY 13820-2356
Richard W. Rose
7393 DUMONT LN
SACRAMENTO CA 95823-3213
Robert B. Brainard
P. O. BOX 3152
NEW BERN NC 28564-3152
**LIFE TIME MEMBERSHIP INFORMATION**
| Age Range | Amount |
|--------------------|--------|
| 29 years of age and under | $825 |
| 39 years of age and under | $675 |
| 49 years of age and under | $525 |
| 59 years of age and under | $375 |
| 69 years of age and under | $225 |
| 70 years of age and older | $75 |
---
**DONATIONS SINCE LAST NEWSLETTER**
**Contributions to the GENERAL FUND**
- Ernest A. Fader Jr.
- Sam Rutledge
- Gary D. Schmidt
- Robert D. Bovey Jr.
- John R. Lunsford
- William T. Molitor
**Contributions to the MEMORIAL FUND**
- Ernest A. Fader Jr.
- Sam Rutledge
- Robert D. Bovey Jr.
---
**NEW MEMBERS SINCE LAST NEWSLETTER**
**Welcome Aboard we're glad to have you with us**
Jim D. Little, FN, in B Division. Aboard the U.S.S. Ticonderoga (CVA-14) in 62-65.
21 SAN PEDRO VIEW
TIJERAS NM 87059-7347
Arthur Ramirez, E-4, in S-4 Division. Aboard the U.S.S. Ticonderoga (CVA-14) for 3 years.
10702 WHITE OAK TRACE DR
CYRPRESS TX 77429-3943
Bill Boyle, CPL, in MAR-DET Division. Aboard the U.S.S. Ticonderoga (CVA-14) in 57-58.
575 COLDSTREAM CT NW
ATLANTA GA 30328-4701
Robert J. Hall Sr., BT-2, in B Division. Aboard the U.S.S. Ticonderoga (CVA-14) in 57-60.
97 COTTON AVE
BRAINTREE MA 02184-2207
Don Lewis, ETR-2, in OE Division. Aboard the U.S.S. Ticonderoga (CVA-14) in 59-62.
10004 HURLINGHAM DR
BAKERSFIELD CA 93312-5342
Michael Linton (Shane), YNC, in ADMIN Division. Aboard the U.S.S. Ticonderoga (CG-47) in 2000-2004.
6049 15TH WAY N
SAINT PETERSBURG FL 33703-1023
David P. Smith, RD-2, in OI Division. Aboard the U.S.S. Ticonderoga (CVA-14) in 70-71.
10726 N GRAND OAK CT
PEORIA IL 61615
---
**NEW EASY RENEW FORM**
**PLEASE SEND THIS FORM AND YOUR DUES TO:**
JOHN WILLIAMS SR., TREASURER
519 VAN KIRK STREET
PHILADELPHIA, PA 19120-1215
**Big T Association Quick & Easy RENEWAL Form**
Full Name: ____________________________
Zip Code: ____________________________
Personal Donation To The Association General Fund:
Renew For Sending: $15 $30 $45 $_____
1 Year 2 Years 3 Years More
Memorial Fund: $_____
---
**BIG T VETERANS ASSOCIATION OF THE U.S.S. TICONDEROGA**
**ADDRESS CHANGE OR OTHER CORRECTIONS**
PLEASE SEND THIS FORM TO: NILES D. HAMBLIN, SECRETARY
9839 KENNETH LN.
HUDSON, FL 34667-3853
NAME: ____________________________ DIVISION: _________________
RANK: ____________________________ YEARS ABOARD: ___________ (reported - left)
APT. # / LOT #: _____________________ SPOUSES NAME: ___________
ADDRESS / P.O. BOX: ____________________________
CITY: ____________________________ STATE: ______ ZIP: ______ -
Alternate Address: __________________________________________
Above Alternate Address for Newsletters Mailed in: Jan: ___ Apr: ___ Jul: ___ Oct: ___
>>> NOTICE <<< If the optional information below is provided you will be giving us permission for this information to be shared with other members.
PHONE NUMBER: __________________ FAX NUMBER __________________
INTERNET ADDRESS: __________________ @ __________________________
---
**email CORRECTIONS**
OLD: email@example.com
J. B. Nowell (Buck)
NEW: firstname.lastname@example.org
email@example.com
---
**REMOVALS (Mail Returned-Non Functioning)**
<firstname.lastname@example.org>... User unknown
<email@example.com>... User unknown
firstname.lastname@example.org The recipient name is not recognized
<email@example.com>... User unknown
<firstname.lastname@example.org>... User unknown
<email@example.com>... User unknown
"The Friends I have made during my tenure will truly be memorable for years to come"
VETERAN'S ASSOCIATION OF THE
U.S.S. TICONDEROGA (CV/CVA/CVS-14) (CG-47)
Incorporated in State of Illinois
Dear Association Members
Please accept this letter as my formal notice of resignation from Secretary's Position in the Association, effective May 8, 2005. The Friends I've made during my tenure will truly be memorable for years to come.
I hope a two-month notice is sufficient for a replacement to be found for me. I intend help to support my replacement or tie up any loose ends. There are records and equipment that are property of the Association which I will deliver to the next Secretary.
Thank you very much for the opportunity to serve you all for the past seven years as Secretary.
Sincerely,
Niles D. Hamblin, Secretary
98939 Kenneth Ln.
Hudson, FL 34667
(727) 862-3294
We thank Niles Hamblin for SEVEN YEARS of dedicated service as the Association's secretary. With his recent resignation announcement we start our search for another member who can join those who make our TICO TEAM work.
CHESTER MIGUT, K2 DIV 44-46 sent this item in. It is from a publication called "U.S.C.S. Log" and is produced by the Universal Ship Cancellation Society
When you check the names selected for several new ships on Page 18, you will find the trend is swinging back to honoring heroes from early naval history. A similar naming process was used to name modern CGs when they selected names of previous ships honoring famous American battles. The feature cover with cachet by Dan Goodwin honors the 60th Anniversary of USS TICONDEROGA (CV-14) and bears the cancellation of her modern namesake, USS TICONDEROGA (CG-47). Kudos to TICONDEROGA's Postal Clerk for the nicely struck cancellation!
Those who attended the decommissioning ceremonies for CG -47 will have lasting memories of the wonderful event, and the comradeship of the shipmates and friends who attended the Mini Reunion at the Lafayette Plaza in Mobile.
Thanks to Robert Modersohn, we have another group of photos to share with those who could not be there. Thank You “Mode”. Robert is a frequent contributor to the newsletter!
Did we have a good time at this event? - YES YES YES. Did anyone have a bad time? Yes. The numerous oysters who were “decommissioned” by John Lunsford and Bob Pitkin would rather the whole affair had not taken place.
I am sure that many, if not most, of the faces on this page will be seen at “BIG T BOSTON” in May. There is a lot to do in and around Boston, and I will be willing to bet anyone 5 pounds of bacon, that some shipmates will get together and go from Boston to FORT TICONDEROGA, which one might say is in some respects our “Mecca”.
THE LAST WORDS FOR THIS PAGE...
THINK BOSTON
Piece of U.S. history washes ashore
- The beam is part of a bridge built by troops across Lake Champlain in 1777.
THE ASSOCIATED PRESS
FERRISBURGH, Vt. — A bridge built across Lake Champlain by about 2,500 underfed and sick Continental Army soldiers in the late winter and early spring of 1777 was considered a marvel of 18th-century engineering.
Historians figure thousands of huge pine logs were skidded onto the ice in March and April, notched together like Lincoln Logs, and then sunk with rocks through holes the soldiers cut in the ice.
By spring, 22 caissons, some up to 50 feet tall, reached the surface of the lake, where they were joined by a deck that allowed people to walk between Fort Ticonderoga in New York and Mount Independence in Vermont.
Now a piece of one of those caissons sits in the preservation laboratory at the Lake Champlain Maritime Museum being made ready to give museum visitors a glimpse of the 228-year-old bridge.
"When you look at what they wanted to do, it connects you right to the American Revolution," said Art Cohn, the museum's executive director.
Art Cohn, left, stands next to part of a caisson from a bridge built across Lake Champlain by Continental Army soldiers during the Revolutionary War. A drawing, above, shows what the bridge — considered a marvel of 18th century engineering — looked like.
The American troops used the 16-foot-wide bridge built on top of the caissons to flee the British army that was bearing down on Fort Ticonderoga in July 1777.
The British occupied the fort and later destroyed the bridge. But many of those same colonial troops who fled Ticonderoga played a role in defeating the British in the Battle of Saratoga, one of the pivotal battles of the Revolutionary War, three months later.
The caissons the bridge rested on remain underwater. They are all deep enough that they don't interfere with boats on the lake, Cohn said.
The 26-foot beam is estimated to weigh between 1,500 and 1,800 pounds. It washed ashore last year near Fort Ticonderoga on the New York shore of Lake Champlain.
The beam was trucked in December to the Maritime Museum, where it is being dried out and made ready for public display.
The size and condition of the beam mean it isn't as difficult to preserve as some other wooden artifacts pulled from Lake Champlain.
The wood is believed to be dense, white pine. Eighteenth century forests were full of such trees.
"It's certainly old growth," said Chris Sabic, the museum's director of conservation.
Cohn said divers first discovered the bridge caissons in 1983. They were still largely intact, laid out in an arc between the two shores.
The discovery came before the museum opened. So Cohn and the other divers moved on to other projects. They returned to the bridge in 1992.
It was then that they mapped the locations of the caissons and recovered thousands of Revolutionary War artifacts believed dumped in the lake when the British abandoned the fortifications in late 1777.
Some of those artifacts are now on display at the Mount Independence Visitor Center in Orwell, Vt.
It's unclear what caused the timber to surface, but it still floated after more than 225 years under water. It was pulled to shore by Fort Ticonderoga officials last year.
Once the preservation of the timber is complete, it will be displayed at the Maritime Museum. Cohn said it will be returned to the museum at Fort Ticonderoga after a new visitor center is completed there.
Our Tico History.....
A Reminder that Americans Died in Battle on the First Ticonderoga in the War of 1812
The first Ticonderoga—a merchant steamer built in 1814 at Vergennes, Vt.—was purchased by the Navy at Lake Champlain and converted to schooner rigging; and relaunched on 12 May 1814.
Ticonderoga rendered gallant service with Captain Thomas Macdonough's squadron during the Battle of Lake Champlain on 11 September 1814. Commanded by Lt. Stephen Cassin, Ticonderoga compelled sloop HMS Finch (formerly USS Growler) to surrender after riddling her with shot and forcing her aground. She also assisted in the capture of sloop HMS Chubb (formerly USS Eagle), and repelled several boarding attempts by British gunboats. Midshipman Hiram Paulding was on board Ticonderoga during the battle and used his pistol to discharge a cannon when firing matches proved defective. During the two-and-one-half hour engagement, six members of Ticonderoga's crew were killed, and six others were wounded.
CG-47
Michael Brown, Girdletree Md
e-mail firstname.lastname@example.org
1992-1995, FCC(SW)
She was a good ship with many good memories and bad memories. Did the overhaul, two Meds and many trianing missions. Love to her from former shipmates from any of the Hull Numbers.
Gary Majewski, 2208 Evelyn Ln
Rochester, MN 55901 email@example.com
board 1967-1971 2nd Class/ E-5
A lot of great men were made on those West Pac's. I'm looking for a couple of buddys from the Tico days, namely Jerry Dauer, from New Ulm, MN, and Max Yankey, from Iowa, around the Neb. border, may-be Sioux Falls area, Also any one who I served with. Ron is in contact with me and would love to hear from the rest of the gang...
Earl (Louie) Lohuis, 17721 169th
Bonner Springs, Kansas firstname.lastname@example.org
1957-1959 AN/V1
A great experience that will be with me a life time.I was the Spin 12 operator located aft on the 07 level I had a birds eye view of everything that went on below on the flight deck.Would like to hear from a good buddie named Perkens he worked in Pri fly. Also anyone else in V1 division.Hey Huckabone you still out there. I still have my cruise book.
"more sentimental with each passing day"
Steve Rothamel, 103 Juneway Drive
Chittenango, N.Y. 13037
email@example.com 1968-1971 EM2
We didn't realize how good we had it! I'm getting more sentimental with each passing day and thanking God more for the blessings of serving, working and playing together. I've been to the Intrepid in N.Y.C. and really wished they hadn't scrapped the Big T.
"Thank god for angle deck today"
William Thompson 27011 N E 98th Street Excelsior Springs Mo 64024
e-mail firstname.lastname@example.org
11/54 - 7/56 AD3 VA66
Was 17 years old during first flight ops on med cruise and 7 members of cat crew were killed. Thank god for angle deck today
Don Kravitz, 8503 Logia Cir.
BoyntonBeach, Fl. email@example.com
1955-1957 Sgt. Mar. Det (usmc)
Was a great ship to serve on. I went all over the Med. A few times I once thought like all the crew, we were going to war with the USSR. General quarters went off late at nite. All the crew knew were to go, and what to do!
CG-47
"We headed straight for the carrier, at full speed"
Heath Miller H-6 Sutton Drive
Matawan/NJ/07747
firstname.lastname@example.org
1999-2004 QM3/ON01
So many good memories. Many people from the Ticonderoga CG-47, have helped me become the sailor I am today. I miss the Ticonderoga, and being stationed where, it was either warm and sunny, or warm and rainy. It was mostly warm and rainy, but never cold and snowy like it is where I am now. One of the best, memories I have is of CDR Zeiders, we were doing operations, with the Kennedy, I believe. Our mission was to find her and sink her (practice not for real). It was night, and off in the horizon, CDR Zeiders spotted her. You couldn't even see her through the big eyes. But he saw her. So, he told me to turn off all the Navigational lights, and ordered the Helm to to full power. We headed straight for the carrier, at full speed, with no lights, in the dark. Snuck right up on the carrier, and sunk her! I always admired CDR Zeiders, he knew his stuff, and never did anything that wasn't by the book, but did some very brave things. Just one of the great memories I have from CG-47.--QM2 Miller
SPECIAL REQUEST
Whom It May Concern:
I am seeking your assistance. I have been searching for almost 20 years attempting to find individuals that served with my father, Charles V. Quinn, Sr., aboard CV14 during WW2. Sadly, my father passed away several years ago, but has always been my hero. There is much I don't know about him.
If you should have any information regarding my father, please contact me as soon as possible.
Respectfully Submitted:
Paul T. Quinn
USN, Ret
email@example.com
SPECIAL REQUEST
Jackie Bigoney 3014 Fermanagh Drive Tallahassee, FL 32309
firstname.lastname@example.org
I am looking for shipmates of Thomas Burgoyne. Tom served on the Ti from 1962 to 1965. Any information would be most appreciated. Thank you all for serving our country.
"and wear a Tico baseball hat today."..........."Tico Maru"
Robert Tracy, 22038 SW Surf Blvd.
Dunnellon, FL 34431
email@example.com
Mar 58 - Sep 61
OI Division RD-2/P-2
My growing up experience. Many fond, and not so fond, memories. Still communicate with shipmate and wear a Tico baseball hat today. We called her "Tico Maru"
SPECIAL REQUEST
Ann Szymanski 36 Harvard St.
Westfield, Ma 01085
firstname.lastname@example.org
Hi,
I have recently been told that my Uncle Peter J. Szymanski was on the Ticonderoga in 1945 when she was hit. I am trying to verify this information. I think he worked in the engine room. If anyone remembers him, I would love to hear from you. This means a lot to me, so I hope someone will be able to help me. Thank you.
Another Great Gathering of Ticonderoga People and Their Friends
4 MAY-9 MAY 2005
REUNION '05-- BOSTON MASSACHUSETTS
(ACTUALLY BRAINTREE, ABOUT 10 MILES FROM BOSTON)
HOSTED BY KAREN LEE
We will be at The Sheraton Braintree Hotel
37 Forbes Rd, Braintree Mass. 02184
PHONE (781) 848-0600
SHERATON BRAINTREE rates for TICO PEOPLE who make their reservations before April 14th just $89 per night (+9.7% Tx) --- -single or double occupancy). Non tico rates are over $100
The REUNION FEE IS JUST $125 and that includes the best part of all,- THE HOSPITALITY ROOM with all its gastronomical and imbibition delights .... and also Saturday Banquette – dance etc. .....and also the Sunday breakfast buffet
Make your reservations soon!!! (781) 848-0600
You won't pay hotel fee till you arrive!
The Town of Braintree is a suburban community with a strong residential character located ten miles south of Boston. Incorporated in 1640, Braintree has a rich history and a promising future. The town is ideally situated at the crossroads of Route I-93 (128) and Route 3 for easy access to the Greater Boston area and Cape Cod as well as having excellent public transportation to Boston and Logan International Airport. The community has a good mix of established neighborhoods, small clusters of new homes and several condominium complexes.
There is a strong business base which includes one of the largest regional shopping centers in the northeast; The South Shore Plaza. Attractive office and industrial parks are located in the town as well, because of its ideal location.
Braintree has a rich history. Old Braintree was the birthplace of two presidents, John Adams and John Quincy Adams, as well as John Hancock and General Sylvanus Thayer, the founder of West Point.
Braintree is a mature community with a broad residential and business base that is positioned for controlled growth in the coming years.
REUNION REGISTRATION FORM
FOR BOSTON 2005
NAME: FIRST ______________________ LAST ______________________
FULL MAILING ADDRESS ___________________________________________
_______________________________________________________________
YEARS ABOARD _______ HIGHEST RANK WHILE ABOARD _______ DIVISION OR SQUADRON _______
HONORARY MEMBER? ○ CV 14 ○ CVA 14 ○ CVS 14 ○ CG 47 ○ PLANK OWNER
ASSOCIATE MEMBER? ○
WIFE OR GUEST NAME ____________________________________________
PRICE PER PERSON $125
NUMBER ATTENDING __________ TOTAL ENCLOSED __________
MAKE CHECK OUT TO "BIG T VETERANS ASSOCIATION"
MAIL TO KAREN LEE
8920 DOWES POINT DR.
MOBILE, ALABAMA 36695-9336
LET'S FACE IT THERE IS SO MUCH TO DO IN AND AROUND BOSTON THAT YOU SHOULD CONSIDER STAYING A FEW EXTRA DAYS!!!
Sheraton Braintree Hotel
37 Forbes Road, Braintree, Massachusetts 02184
John Fitzgerald Kennedy Library – Columbia Point – Boston, Massachusetts 02125
In the heart of Boston, Faneuil Hall Marketplace is adjacent to historic Faneuil Hall and is bordered by the financial district, the waterfront, the North End, Government Center and Haymarket. It is a well-traveled part of Boston's "Freedom Trail." The Marketplace is a five-minute walk to the New England Aquarium, The Children's Museum, The Old State House, and Paul Revere's House. Other attractions that are between 7-15 minutes away include The New State House, The Museum of Fine Arts, Boston Public Garden, Old North Church, The USS Constitution, and Fenway Park.
This old market building, first built in 1742, sits at the site of the old town dock. Town meetings, held here between 1764 and 1774, heard Samuel Adams and others lead cries of protest against the imposition of taxes on the colonies. The building was enlarged in 1806. Frederick Douglass, William Lloyd Garrison, and Lucy Stone brought their struggles for freedom here in the 19th century. Market stalls on the first floor service shoppers much as they did in Paul Revere's day.
Hours: Faneuil Hall is staffed by National Park Service Rangers from 9 a.m. to 5 p.m. daily, except when the Hall is being used for public functions. Closed on Thanksgiving, Christmas, and New Year's Day. Park Rangers offer historical talks about Faneuil Hall every half hour on the second floor. For more information call (617) 242-5675 or (617) 242 5642. Admission: Free
Education Boston
60 Berkley College of Music
61 Boston University
63 Harvard School of Public Health
64 Institute for Contemporary Art
67 NE Conservatory of Music
70 Suffolk University
71 Thompson Island Education Outward Bound
Education Cambridge
Attractions Boston
130 African American Meeting House
131 Back Bay Station
132 Bostix Booth Copley Square
133 Bostix Booth Faneuil Hall
134 Boston City Hall Plaza
135 Boston Common
136 Boston Convention and Expo Complex
138 Boston Harbor Islands
Museums Boston
105 Boston Irish Famine Memorial School
106 Boston Tea Party Ship & Museum
107 Children's Museum
108 Commonwealth Museum & Archive
109 Dreams of Freedom
110 Horticultural Hall
111 Isabella Stewart Gardner Museum
112 JFK Library
113 Jordan Hall
114 Longyear Museum & Historical Society
115 McMullen Museum of Art
116 Museum of Fine Art
117 Museum of Science
118 National Center of Afro American Artists
119 NE Aquarium
120 Nichols House Museum
121 Zoo Franklin Park
Thursday May 5 Battleship Cove
Almost by definition most Tico people are Big Time Naval Enthusiasts so they will possibly go nuts at Battleship Cove! Editor Pitkin says he will!
The price of $39.00 includes Bus Ride Admission Lunch Buffet
Battleship Cove is home to the world's largest collection of historic Naval ships. Visitors can see Battleship Massachusetts, Submarine Lionfish, Destroyer Joseph P. Kennedy Jr., the Russian-built missile corvette Hiddensee, PT Boats 617 and 796 (the only two restored on display in the world), LCM 56, and a World War II landing craft. Battleship Cove is also Massachusetts' memorial to WWII, and the Korean, Vietnam and Persian Gulf Wars, as well as September 11, 2001 Attacks on America.
Whether you're a diehard naval history buff or a casual enthusiast of military hardware, TICONDEROGA PEOPLE will have much to discover at Battleship Cove!
Friday May 6
Bean Town Trolley Boston Tour
Tour Stops at USS Constitution,
Quincy Market/Faneuil Hall — Lunch own your own
SHOULD BE FUNNNNNN $19.00 Person
TICONDEROGA IN BOSTON MAY '05 - BE THERE IF YOU CAN - TURN PAGE FOR MORE TOUR INFO- TICONDEROGA IN BOSTON MAY '05 - BE THERE IF YOU CAN - TURN PAGE FOR MORE TOUR INFO- TICONDEROGA IN BOSTON MAY '05 - BE THERE IF YOU CAN - TURN PAGE FOR MORE TOUR INFO- TICONDEROGA IN BOSTON MAY '05 - BE THERE IF YOU CAN - TURN PAGE FOR MORE TOUR INFO- TICONDEROGA IN BOSTON MAY '05 - BE THERE IF YOU CAN - TURN PAGE FOR MORE TOUR INFO- TICONDEROGA IN BOSTON MAY '05 - BE THERE IF YOU CAN - TURN PAGE FOR MORE TOUR INFOSaturday May 7 Plymouth Plantation
Visit Cranberry World, Mayflower II and Plymouth Plantation
Lunch at McGrath's Restaurant or Weathervane
$38.00 Per Person (Lunch Not Included)
To sign up for any or all of the three tours do the following:
Call Brush Hill Tours 1-800-343-1328 /John Thomas
FOR BATTLESHIP COVE REFER TO CHARTER 206803
FOR BEAN TOWN TROLLEY REFER TO CHARTER 206806
FOR PLYMOUTH PLANTATION REFER TO CHARTER 207238
Master Card, Visa, Checks Accepted
ORDER YOUR TICO CAP FOR JUST 12 BUCKS ($3 MORE WITH SCRAMBLED EGGS)
SPECIFY CV-14, CVA-14, CVS -14, OR CG-47
Send check to FELIX RADELIHG
1105 Fishermans Way
Orange Park
Florida 32003-6006
Allow about 2 weeks
Sadly I was not around at the time of The USS TICONDEROGA. If I were, and had the privilege of serving on her, I would most certainly order my ballcap today from Felix.
Respectfully,
H. Nelson
During his service he spent two years aboard the USS Ticonderoga and one year on Swift boats in the Mekong Delta of South Vietnam.
This is a book about sailors, one in particular, asked to do extraordinary things and make great sacrifices during the War in Vietnam. *War on the Rivers* is the story of how these sailors, many of whom should have been thinking about their senior prom instead of slugging it out with North Vietnamese regulars, prepared for battle and fought with courage. In the process they were transformed from adolescents into hardened men with insights about life and survival that few will ever have. Finally, it's a story of river patrol boats in Vietnam, the Swift boats, and the true American heroes who manned them.
Fought on the canals and rivers of the Mekong Delta, this was a private, dirty little war waged beyond the view of the cameras of the news services and often even beyond the view of the senior military command. It was a furious, savage war, where firefights often occurred twice a day, and hand-to-hand combat was not unheard of. Hundreds were killed on both sides, and the survivors were scarred for life. —Bill Franke
About the Author
WEYMOUTH D. SYMMES was born in Helena, Montana, in 1946. He was raised in Lewistown and Billings. In 1966 he enlisted in the United States Navy. During his service he spent two years aboard the USS Ticonderoga and one year on Swift boats in the Mekong Delta of South Vietnam.
Honorably discharged in 1970, Symmes was awarded the Purple Heart Medal, Combat Action Ribbon, Presidential Unit Citation for Extraordinary Heroism, two Navy Unit Commendations, the Republic of Vietnam Meritorious Unit Citation (Gallantry Cross), and other awards.
Symmes married Terry Persson Symmes in 1970. He attended the University of Montana and received a bachelor's degree in 1973 and a master's degree in 1975 in Political Science. He entered the banking business in 1975, eventually working for Montana Bank of South Missoula and First Security Bank of Missoula. He retired from First Security as Senior Vice President in 1999.
Symmes was the treasurer for the Montana State Vietnam Veteran's Memorial, and the first treasurer of the Swift Boat Sailor's Association.
RUSSIANS MASSED 1/2 MILE FROM BERLIN
Paris Says US and Red Armies Meet Near Dresden
Advance units of the Russian Army were within one-half mile of the southeastern edge of Berlin yesterday, according to an official Soviet announcement. Meanwhile, unconfirmed Paris broadcasts said that American and Russian forces had joined in the Dresden district, about 40 miles south of Berlin.
The Soviet Communique said the Russian Forces besieging Berlin had seized Erkner, a half-mile from Southeastern edge of the city proper, together with fortified towns scattered over arc pressed close against the city and reaching to Bernau, 3 miles from the Northeastern side of the Capital. The fortified towns of Strausberg, Wermuchen, Bucknow, Muencheberg, und Alt Landsburg as well as Erkner and Bernau fell to the siege forces. The communique added that the Central Soviet Army Grouping, "Continued its offensive engagements West of the Rivers Oder and Neisse."
Although Paris Radio broadcast that the American and Russian troops had joined near Dresden was unconfirmed, a news dispatch from Allied Headquarters in Paris said a juncture was, "Matter of hours", and United Press reported that the 9th Army had been alerted for a junction with the Red Army. An unconfirmed Brussels Radio broadcast also said the Red Army had entered Dresden. A Moscow dispatch describing the great Russian drive said,
"The familiar operative phrase, 'hammered Spearheads', cannot be used in this grand new offensive because there are no spearheads here - just one tremendous wall of Stalin and Sherman Tanks. The whole Brandenburg battlefield northwest east and southeast of Berlin is ablaze with tank fire and a heavy barrage is being laid down by German-massed artillery and hundreds of self-propelled weapons and anti-tank weapons.
The Germans have been hurled back from most of their trenches but their lines are supported by a wealth of 8 field pieces and machine guns strung out in an almost continuous line in a great swinging arc around the Capital. The heaviest Wehrmacht artillery is behind these hundreds of self-propelled guns and hundreds of tanks!"
A Russian writer returning from the combat area over the battle front reported, "Blazing acres of tanks and men were locked in a massive struggle.
In sector south of Berlin, other Soviet Troops were battling for the outer defenses of Dresden, according to Moscow dispatches. Moscow announced the number of Germans being killed on both the Berlin and Dresden fronts. Dispatches said thousands of enemy corpses covered the battlefields while "wild tank fire" had mowed them down.
BOLOGNA TIES TO US-ENGLISH TAPS AS ITALIAN OFFENSIVE FINALLY THE LASE
"Beginning of Final Victory in Italy."
FLASH -- The great Italian industrial city of Bologna, on the Po Flume, toppled yesterday to the US 5th and British 8th Armies, after a siege which, until yesterday, had only moved by inches since last September.
Bologna is the first major objective liberated in the all-out allied drive in northern Italy.
The fall of the city of 270,000 inhabitants was described as "the beginning of the final victory in Italy."
LOCAL BASKETBALL
Two hoop games were played in the local leagues yesterday, one was forfeited and the 4th scheduled contest was postponed to today, when the Stewards' Mates and the 3445 Truck Co., will fight it out in the only game on today's agenda. NSD yesterday jumped off to a quick lead against FPO and held out to eke a 19-16 win over the fast-climbing milkmen...Moore, Base Commissary center, led his team to a 57-22 romp over CNAB. Moore got 10 tallies...The 42 CB took a forfeit from the Front Panel #2 team.
AMERICANS GAIN SLOWLY ON OKINAWA FLANKS
Jap Center Holds Firm; Yanks Nearing Two Vital Air Strips; Bombardment Continues
KINAWA - The fighting on southern Okinawa raged fiercely yesterday as Jap troops fought a stubborn defense action against three US 10th Army Divisions driving toward Naha, the island's capital.
Seventh and 27th Division troops were closing in on two airfields, and the 7th Division, after a 1,400-yard advance down the east coast of the island were 200 yards from the Yombaru field.
On the west coast the 27th Division was 800 yards from Mashinato strip. Both airstrips are vital elements of the Naha defense line.
In the center, the 96th Division met extremely tough going and no advance was reported. The ground in the center is the highest along the 4-mile deep Jap pillbox and cave line across the island.
The Army advances continued to be supported by massed artillery bombardment in which big naval guns and swarms of planes joined. Despite this bombardment, the Japs resisted fiercely all along the southern edge, and replied with their own heavy artillery.
On northern Okinawa, the 3rd Marine Amphibious Corps, which has fought to the northern shore of the island, continued in groups in the brush-covered hills. Marines also were hunting down enemy resistance on Motobu Peninsula.
Ernie Pyle Buried on Ie Jima; Jap Round-Up Continues.
Ernie Pyle, famous war correspondent killed by Jap machine gun fire three days ago was buried on Ie Jima, just off Okinawa, Saturday morning, while the 77th Division was attacking cornered Jap troops nearby, on the pinnacled heights at the southeast corner of the island. The defenders were using lowered AA guns, which raked the beaches. Pyle was buried in the 77th Division Cemetery. Said UF correspondent Mac Johnson, "As the Chaplain read the brief burial service and spoke the final words, the thunder of battle that the tiny Hoosier hated but endured, rose to a crescendo on nearby Okinawa, and along southern Ie Jima........."
RUSSIAN PAPER SEES DIM OUTLOOK FOR JAPAN
MOSCOW -- The Official Russian newspaper Pravda said yesterday, "The Japanese Command is not in a position to face the offensive plans of the Allies with measures that are sufficiently effective." The situation in the Pacific has become extraordinarily unfavorable to Japan. The defeat of Hitlerian Germany will change the situation in this theater of operations even more in favor of the adversaries of Japan.
Published daily at Navy 5149 for U.S. Naval Personnel in the Philippines, The Typhoon Express is precensored, may be mailed by shore-based personnel.
Captain Stephan B. Robinson, Commander Naval Station; Commander O.C. Dewey, Captain of the Yard -
Lieut. RB Pitkin, USNR, Editor.
Staff:
C.A. Foley, CY
Ray Hoppenrath, Photo 2c
Radio press, Naval Station, Communications - H. Hawkins, BK3c. The Typhoon Express uses Camp News Service.
US LOST 15 SHIPS AT OKINAWA; JAPS LOST AT LEAST 100
Yesterday's Pacific Fleet Communiqué announced for the first time the US Naval losses in operations off Okinawa and Japan between March 18 and April 18. Against 15 US ships sunk, Americans destroyed at least 100 Jap vessels during this period.
Pravda Says Defeat of Germany Will Increase Advantage of Japan's Adversaries
HELLO...YES, THIS IS MRS LACE...
HE'S GONE!
WELL, I'M THE ONLY ONE YOU HAVE A DATE WITH TONIGHT...AS I WAS SAYING...I WAS ACTUALLY COMING TO TELL YOU I'VE SEZ, LISTEN YOU JOES, "I WANTA LIVE FOREVER!" I SEZ---
Veterans Fight to Rescue Navy Warship
By Robert Gutsche Jr.
MILWAUKEE -- When Dick Caswell tells stories about his summer of 1957 on board the USS Des Moines, a Navy warship from the Cold War that has been decommissioned for 40 years, he talks as if the ship still sails.
"This is a beautiful ship," he said of the warship, which has been docked in Philadelphia for the past 15 years, its hull rusting while city after city denies attempts by veterans and other groups to rescue it before the Navy takes it to sea and sinks it or scraps it for its metal.
Despite efforts by Caswell and his group of 100 Wisconsin veterans to bring the 716-foot heavy cruiser to the shoreline of a Milwaukee County park, a decision by county officials this spring could be the latest in a string of rejections for the ship. Environmentalists here say the ship would damage already polluted Lake Michigan and encourage further development along the shoreline.
"This is something we have to save whatever the cost," said Caswell, 69, a Navy veteran of 27 years. "To me, it seems like a terrible waste to take it out and sink, and I guess I don't know why so many people are against it."
Earlier this month, a commission appointed by the city and county of Milwaukee made a recommendation to the parks commission to deny the warship proposal. The decision goes to the county board for final action in May. If the board approves the plan, veterans say the ship might not dock until 2010.
Over the years, dozens of nonprofit groups in cities nationwide have looked to the Navy and other agencies to obtain decommissioned sea vessels, but often the groups cannot afford the immense cost to repair and tow them to their new homes. And many times the groups also cannot overcome the controversy that comes with such efforts.
The Navy has a donation list of at least a dozen decommissioned warships that at one point had been set aside because the public showed some interest in keeping them.
These ships are taking up space the military could use for other things, and donation program officials throughout the military are looking for ways to reduce the number of decommissioned vessels.
Three years ago, the Navy shortened the time ships can stay on donation lists, and last year the Transportation Department's Maritime Administration, overwhelmed with about 100 ships from military branches, received congressional authorization to sink their own ships to be used to help build reefs.
"The problem for us is as the Navy has been decommissioning older platforms to save money, if we don't have a disposal process, it's a full parking lot" at ports in Puget Sound, on the Delaware River and at Pearl Harbor, said Capt. Lawrence M. Jones Jr., director of the Navy's inactive ships program, which has donated 48 ships to cities.
and groups across the country since 1948.
This year, the Navy will spend $14.4 million on all inactive ships and those on the donation list. The Navy on average scraps nearly a dozen vessels a year and sinks five more during naval exercises.
"We can't afford to make ships museums on our own, and we need more room to do other things," said Pat Dolan, spokeswoman for the Naval Sea Systems Command, which oversees the Navy's ship donation program. "We are supposed to protect the country on the seas. That's not our job to make ships into museums. We can't afford it."
To groups such as the one in Milwaukee, the tighter regulations on naval donations mean they need to act fast, making the battles against city codes and opponents fierce.
"We don't have a lot of time or money, but [the opponents] must be worried if they have to go out to get public relations people," Caswell said.
His group, the USS Des Moines Project, needs to raise $19 million to repair the warship, tow it to Milwaukee from Philadelphia, through the St. Lawrence Seaway and into the Great Lakes.
Caswell won't say how much money his group has raised, but he did say more than 15,000 residents of the Milwaukee area have signed postcards in support of the project and sent them to his post box.
"These ships are like living beings," said Don Hansen, 75, a Navy veteran of 22 years who works with Caswell on the project. "This is where we lived, where we fought. To see it sunk and not preserved would be such a shame."
Still, critics say the ship would be more trouble than it is worth for downtown Milwaukee. They say tourists would create traffic jams, and the ship would take up too much space along Milwaukee County's Veterans Park shoreline, where it would be secured.
The debate has created such a local stir that more than 900 people have shown up at several public hearings.
"I am acutely aware of what the veterans have done for our country, but [the ship] really isn't a right fit for Milwaukee," said Susan Slocum, executive director of Park People, one of the 40 environmental groups opposed to the USS Des Moines project. "Bringing a ship that would so negatively impact that area I think is at cross purposes."
And like many of the ships on donation lists, the USS Des Moines has bounced from city to city, trying to find support.
Voters in Duluth, Minn., fearing the nonprofit group in charge of the project would not be able to pay for it, and voters in nearby Superior, Wis., who saw the ship as a symbol of war, successfully fought plans to bring the USS Des Moines to the Northwoods of the Midwest.
But ships have worked out for some cities. Baltimore, with the USS Constellation, and La Porte, Tex., with the USS Texas, have turned their ships into successful educational and tourist attractions.
And although some cities attempt to fight off these ships, other cities fight over them.
In New Jersey, the city of Camden and a state commission that wanted to put the ship in Bayonne fought over the USS New Jersey -- a battleship that was in periodic service from 1942 to 1991 -- before the Navy in 2000 determined Camden to be the proper spot. The commission challenged that decision, leading to a review by the Government Accountability Office (then named the General Accounting Office), which upheld the Navy's position.
More than 200,000 people visited the ship last year.
"This has become quite a symbol of American freedom, of the Navy and of the military excellence in this region," said Patricia Egan Jones, co-chair of the Home Port Alliance for the battleship and a Camden County commissioner.
---
"RING ONE UP FOR THE CHIEF"
AN INTERESTING SPECIAL REQUEST
Retired Master Chief Tom Helvig, who is the editor of the newsletter for the vet's of the battleship New Jersey, is involved in a project to collect as many PHOTOGRAPHS OF SHIP'S BELLS as possible. If you think you can assist him get in touch.
email@example.com
or
Editor, The Jerseyman
62 Battleship Place
Camden, New Jersey 08103
To the right is a photo of a bell from his newsletter "The Jerseyman". If you check it out you will see that a good number of Tico Vets will see this bell in May of this year.
---
FUTURE EVENTS
If you are planning on a future event for our membership then get in touch with the editor as soon as you think the event will possibly happen! We want your event to be mentioned in as many newsletters as possible.
BOSTON MAY 05: Read all about it in this issue
FLORIDA OR SOUTHERN MINI
FALL - WINTER 05-06:
No info yet... We hope a Tiger Team forms...Let me know if you are going to do one because next newsletter may be in April!
SAN DIEGO MAY 06: Buzz and Joyce Means are working on this major reunion for late May of 06. A presentation will be forthcoming at Boston.
INDIANAPOLIS 07: Jerry Cole is the key man for this reunion which is expected to be approved by the powers that be in Boston this May. We will be looking for a team of MID WESTERN shipmates to come together and prove you don't have to be within 50 miles of salt water to do a great reunion!
LET THEM EAT CAKE TO CELEBRATE LANDMARK LANDINGS ........AND EAT CAKE THEY DID! .....IN THE 40’s AND IN THE 60’s Were you there?
These items, submitted by Dr. Joseph C. "Chuck" Antonio of Dowell, Maryland, are mementos of the 121,000th arrested landing aboard USS Ticonderoga (CVA-14) (above). According to Antonio:
"The event was not anticipated by me or advertised among the pilots in the air wing. After making a routine day trap aboard USS Ticonderoga in my A-7B Corsair II off the coast of Vietnam in 1969, I was immediately notified that I had just made the ship's 121,000th carrier arrested landing. A ship's log was kept of the arrested landings and a record made of the pilot making each 1,000th trap. Eventually, the pilot's name and associated trap number would be engraved on a brass plaque located on the ship's quarterdeck. Once back in the VA-25 squadron spaces, and after filling out the paperwork at maintenance control, I was told there would be a ceremony in the wardroom later in the week.
"The ceremony was well-attended by aircrew in the ship's air wing (Carrier Air Wing 16), mostly due to the fact that there would be good food and a cake. My squadron mates joined me at a long table placed on a slightly raised platform at the front of the wardroom. On a smaller, separate table, was a large cake that had the number of the landing printed in icing on its top. The ship's CO, Captain Richard E. Fowler Jr., made a few comments to those attending, congratulated me on the landing, and presented me with a cigarette lighter (facing page, top). He then turned the microphone over to me. I remember being surprised that I was being asked to speak, and the only thing that I could think of was to say, 'This is the only thing I have ever won.' After the ceremony, a photographer took a picture of Captain Fowler and me cutting the cake (facing page, bottom)."
CAPTAIN SINTON presents the cake after the 10,000th landing to Cmdr. Maxwell. (That's AMM3c D. F. Thomas holding the cake).
The 10,000th Hellcat about to taxi forward on the flight deck after having made the 10,000th landing on the "Big T." The plane, piloted by Commander Maxwell, the squadron leader, was landed just one year to the day on which the first plane was flown aboard.
EDITORIAL RAMBLINGS
One of the great aspects of spending time with shipmates from the original WWII crew is that you learn about some of the unsung heroes of the last century. Heroes like Dixie Kiefer.
People like Dixie Kiefer don't come along often.
MINIATURE FIGHTING LADY
The U.S.S. Fighting Lady, 103-foot model of an Essex class carrier built at the Brooklyn Navy Yard and commissioned in the lower plaza of Rockefeller Center, where she will remain 'til July 7th as a rallying center for the 7th War Loan drive.
City Launches War Loan Drive From Model Flat-top
On May 8th, 1944 when the U.S.S. Ticonderoga was commissioned, Captain Kiefer was placed in command. On May 12th, 1945, Commodore Kiefer was given command of another new carrier, but this time the ship was a miniature flat-top.
When New York opened its Seventh War Loan drive on May 12th, the highlight of the inaugural ceremonies in the city was the commissioning of a 103 ft. model of an Essex class carrier in the lower plaza of Rockefeller Center.
More than 7,000 persons crowded around the plaza under a warm moon and hundreds of others watched from Rockefeller Center's towering buildings as the model carrier, dubbed the Fighting Lady, got her formal trappings with all the pageantry and tradition of an actual Navy commissioning. As her crew snapped to attention and saluted, the national ensign, the Union Jack and the commissioning pennant were hoisted to the playing of the national anthem.
The flat-top which will be on display until July 7th, was accepted on behalf of the Secretary of the Navy by Rear Admiral Monroe Kelly, Commandant of the Third Naval District, and turned over to the command of Commodore Kiefer.
Delivered in sections from the Navy Yard in Brooklyn, the model was placed on boards and canvas painted to simulate water. Two gangways from the port side are provided so that visitors may go on board. Inspection of the ship, whose construction is as detailed as that of an actual carrier, is open to all purchasers of War Bonds during the present campaign.
"The Fighting Lady" was conceived and built in the U.S. Navy Yard at Brooklyn, New York, with the approval of Secretary of the Navy James Forrestal. She is the largest model ever built. Her 103-foot flight deck is 16 feet wide and she is an exact replica in all but size of the U.S. Navy carriers of the Essex class. Her Hellcat, Corsair, Helldiver and Avenger planes are exact models to scale. We can hear all the boys from Brooklyn saying that duty on board wouldn't be bad at all!
Heroes like Dixie Kiefer aren't in the history books that today's children read.
But as long as I have the honor of editing this newsletter the name Dixie Kiefer will surface time and time again to remind us that it is not altogether easy to expunge from our memories the legacy of that man who is considered "beloved" by most who knew him.
A man who stood the test of leadership and battle in ways never forgotten by those of the original crew.
Therefore I remind you to send to your editor, publisher, and mail room clerk, all the stories and experiences you have had with Dixie.
Write them on paper.
Record them on audio tapes.
Tell them to a video tape if you like.
One thing is for sure. You cannot keep alive the memory of CV-14 without keeping alive the memory of Dixie.
Recently I have had the pleasure of obtaining from Sal Bonfigilo, original crew flight deck photographer, a collection of his personal Ticonderoga photographs. I have digitized them into my computer and returned them to Sal.
These images have added wonderfully to the stock of Ticonderoga Material that members have sent my way in the last few years. It is you, the members who will benefit from this generosity. We all want a great newsletter, and as you can see it is our membership that helps us to that goal.
So I say to Sal, and the others who have made major, and minor contributions
..... Thank You
Sincerely
Bob Pitkin
The newspaper article about Dixie and the little carrier, as well as the destroyer in heavy seas are part of the collection of Tico Stuff supplied by Sal Bonfiglio.
THIS IS THE CAPTAIN SPEAKING --
We've all had a good 'blow' and intermission now. Let's get back into the game with renewed energy, vigilance and alertness; and be sure when we see a Jap that we follow the Padre's motto that it is more blessed to give than to receive.
We lose our old Exec with much regret and we welcome our new one. He too is a real 'shipmate' and one of the few who can follow in Commander Burch's footsteps. Aloha --
--: ONE SMALL VOICE --:
After years of experience with Naval correspondence, circular letters, and general passing the buck, we feel qualified to present some of the commoner terms and their meanings:
UNDER CONSIDERATION - Never heard of it.
UNDER ACTIVE CONSIDERATION - Am trying to locate the file.
NAVAL TRADITION DEMANDS - I have just been talking to an old chief.
FORWARDED - Pigeon-holed in a more sumptuous office.
WE SHOULD CONFER - Send your Yeoman over to see mine.
CEASE ZIG-ZAGGING - The guide is out of position again.
EXPEDITE YOUR REPORT - For God's sake find the papers.
YOUR WORK IS NEGLECTED - The Exec. just gave me the devil.
FOR YOUR INFORMATION - Let's both forget it.
LET'S TAKE A VOTE ON IT - It's just as I decided.
YOU ARE TO BE COMMENDED - A particularly dirty job is coming up soon.
TAKE NECESSARY ACTION - You hold the bag for awhile.
THE SMOKING LAMP IS LIGHTED - Oops! sorry, belay the last word.
Sounds Below Decks: Lt.(jg) Vandermade: "Many things are blamed on the stork which should rightfully be attributed to a lark" . . . Chaplain Gilmore: "A conscience is something which hurts when everything else feels good" . . . Ens. Turner: "She was only a censor's daughter, but she knew when to cut it out" . . . S1c Ciotti: "I wish I had a paper dollar I could call my own" . . . Lt. (jg) (Texas) Butler: "Many a gal south of the border finally comes across." . . . Lt. (jg) Livermore: "Take care of Joe."
WARDROOM WHISPERS: One of the new staff officers was asking Lt. Cmdr. WOODWORTH what the chances were on a carrier: "Oh pretty good," said Mr. Woodworth; "only don't start reading any long continued stories" . . . Ens. GALLEMORE complaining about that tough 1 in 8 the O.D.'s are standing . . . 1st Lt. FAUS is said to have requested duty as commanding officer of the Marine Detachment on the U.S.S. Fighting Lady, the 103 foot model based at Rockefeller Center, N.Y. (Is it all right if we go along as Damage Control Officer?) . . . The catapults are being currently referred to as "PADGETT'S GADGETS" . . . Lt. GEORGE MARTIN has been heard saying: "A tasket, a tasket, I found my little basketball tournament".
BEST YARNS DEPARTMENT: Lieut. MADDEN tells that he once heard an Admiral lecture to his staff: "Just because bread is the staff of life, is no reason why this man should be one continuous loaf;" (cornbread, no doubt) . . . Dr. PEBLEY recalls the time he had duty on a South Pacific Island. It seems that he had been stationed on this island for so many months that a half-native girl appeared to be particularly beautiful. In his tent one day he was getting poetic about the girl, when a buddy, thumbing through a movie magazine suddenly came upon a photo of Betty Grable in a bathing suit. "How's this?" excitedly asked his friend, holding up the picture. The Doc took a brief look and snorted, "White trash".
MIDWATCH MUSINGS: From Norfolk comes news of a clean-up campaign in the Portsmouth Navy Yard with neat little slogans and signs hung up all over the place. Maybe we could try the same thing. For example, how about a sign like this on the hangar deck: "Let no one say and say it to your shame, that all was beauty here until you came." ("O.K fellows, I'll go!") . . .
Best crack of the month comes in "Bring on the Girls", when Eddie Bracken says, "I want a place where people don't want to get something out of me, I'll join the Navy." . . . And in case you want a small ditty to send to the gal friend, how about:
When you started this you thought
It was a poem. Isn't it funny
How some people will
Keep on reading
When they
Know
They are being fooled
And now my sweet, 'tis time to
Beat a discreet retreat . . . . . . . . .
C & R DISPATCH - D. C. Shop Gossip:
Those tall and salty week-end stories that were narrated by "20 year man" E. Kelly, SF1c, are slowly coming to a halt. No doubt his "Seaport Hotel Tours" are at an end, now that there is a Mrs. Kelly. Since Connie has been added, his "It happened one night" adventures are getting "Connier and Connier." But don't fret lads, a new man has stepped into the limelight, and he has the makings of another Colonel Hooper. He is Seaman S. Miller from those rangy Arkansas hills. And brother are his stories Hilly-arious! F. Stryzinski, SF2c, who was E. Kelly's heaviest competition will have to do some fancy speech-making to hold the No. 1 spot in the R-1 soapbox congregation. "To Much Hay:" Going way back to May 7, 1944 when we had our first glimps of the "Big T", we over heard a conversation between two future D. C. men. Those two open air boys from Maine, Ted Grindel SF3c and Newell Harvey, CM3c. Harvey remarked to Ted, "Boy, what a monster!" Ted, in careful observance, replied very slowly, "My, if I had a farmhouse as big as "her," it would take me nigh on to ten years to fill it up with hay...."Linda Lee, Poppa's Pin-up". Arne Johansen's new family addition may prove to be a wonderful girl. Her name is quite a pretty one - Linda Lee. Arne thinks she is the "cutest little doll in the world", and expects to have her a better than average swimmer by the time she reaches 3 years of age. Of course, her instructor will be none other than her "Pop" as soon as he can get home to take over....
The "Chippers Chips": Rip Van Winkle: If any of you boys ever come across a mysterious object floating along the hangar deck towards the life lines, don't hop to a phone and call the O.D., even though it does look like a Bogie. Instead be a good Samaritan and steer it towards compartment A-415-L. Proceed with caution, but have no fear - it is only "Sleepy" TOM FLYNN, SF3c looking for his sack, and he is quite harmless. We predict that "Sleepy" TOM FLYNN will one of these days climb in his bunk and climb out again just in time to be mustered out with a five hashmark pension...
PSYCHOPATHIA GEDUNKIALIS
In search of a cooling gedunk
Or a ration of pogey-bait,
I tail-end a line of a thousand men
Resigning myself to a wait.
To a wait of an hour and a half or so
In the sweat of lower deck heat,
With the drops from my brow forming rivulets
That end in a lake at my feet.
It isn't too bad--so I'm thinking
My morale is holding up well
'Til a guy up ahead lets his pals chisel in
Then my thoughts are blacker than hell.
I'm downed, but I stay in the line-up
And manage to persevere,
Now I've almost reached the goal
But wait! What have we here?
A dozen men with trays and crates,
All bearing new signed chits,
Preceding me up to the cage.
Great gods! There go my wits!
They order gedunks by the score
For mess-cooks, snipes, physicians,
And by the gods they get them,
For they're known as "politicians"!
Oh, well! They're through and now I'm there
All hot, and tired, and dirty.
"Say give me--" "Sorry Mac, no more now,
We close at fifteen-thirty."
J. P. Slaton, SM1c
"Cascarino, CM1c. "Save your money and buy yourself a racehorse" -- "Pat"
Caiazzo, CM3c.
5th: - And then there is the man in the 5th division whose answer on the public relations questionnaire about work preferred after the war, was: "He was going to raise children"... Do you know 'Olaf' Moen? He's just a big kind-hearted lad who never misses a muster -- he reports immediately to his cleaning station, manages to stay for fifteen minutes, then retires to his sack for about an hour. Next he lams for the chow-line, and after chow cautiously makes his way to the "gedunk" line. By this time we are secured from cleaning duties, and Olaf has had a hard day. Now he has to go on watch with the famous 3rd section on S-40. He races with Hallman to get there first -- usually arrives last in a tie with Pacheco. It's a tough life!... Where are all of Lasasso's pretty curls?... When Martinez accidentally cut a deep gash in the heel of a shipmate's shoe, he squared things by remarking: "Lucky for you I didn't hit the toe of your shoe; you would be missing a finger."
N: Haircut? ? Why not!!... The ship has two new barbers--Musicians Woolly and Benfield. The other day they trimmed Altomose's hair, and to help the morale of the crew they cut a big "T" which didn't look bad--Later to perfect the job they shaved off the "T"! Want a haircut? Just drop in the Benwoollyfield barber shop anytime--Two barbers--No waiting--No line.
One Thing At a Time
A pretty girl eyed a GI invitingly half a dozen times, then finally said, "Hello."
"Don't bother me, Babe," he retorted, "Liquor's my weakness."
BUY WAR BONDS
John Comer Washburn Jr., Pilot WWII
CDR John Comer Washburn Jr., U.S. Navy retired died Thursday, January 6, 2005 at the hospital. He grew up in Franklin County where he was born on August 28, 1919. He entered the Navy during World War II and earned his wings as a Naval Aviator at Naval Air Training Center on February 29, 1944 in Pensacola, Fla. He had over 100 carrier landings on the Ticonderoga and Randolph. His squadron (VBF-87) is credited with dropping the last bombs of World War II on Tokyo. On August 15, 1945, they attacked Chosu Airfield (Tokyo) at which time the Japanese surrendered. CDR Washburn is featured in the book "The Hostile Sky" written by his roommate and best friend during the war, James W. Vernon. John Washburn also graduated from National Business College after the war and became secretary / treasurer of B.F. Parrott Co. before becoming a tax consultant. He is survived by his wife, Joan Baker Washburn as well, as sons a daughter and grandchildren.
Graveside interment services took place in Fair View Cemetery, 11 a.m. Monday, January 10, 2005 with full military honors.
Donald W. Gabany ABG-3 V4 58-59
Donald W. Gabany, 69, Carlisle, Pa. died Tuesday, Jan. 18, 2005, in Harrisburg Hospital. He was born Feb. 22, 1935, in Whitesville, W.Va. Donald was a retired employee of the New Cumberland Army Depot, where he was a systems analyst, he was currently employed by the Pennsylvania School Building Authority. He was a U.S. Navy veteran, serving on the USS Ticonderoga aircraft carrier.
He attended Carlisle Brethren in Christ Church and was a member of First Baptist Church of Trenton, Ill., Big "T" Veterans Association and past commander of VFW Post 8851 in Boiling Springs.
Mr. Gabany is survived by a daughter, Joyce M. Rider, three granddaughters grandson and a great-granddaughter. He was preceded in death by a son, Donald W. II.
He was laid to rest at Rolling Green Memorial Park, Lower Allen Township, with military honors.
Arthur W. Friedland ETM WWII
Ruth Friedland writes....
It is with sadness that I am informing you of the death of Arthur W. Friedland, a life member of the Veterans Association of the USS Ticonderoga.
Arthur was a member of the original crew of CV-14 and went on the shakedown cruise to Trinidad. He also received a plank certificate entitling him to a plank of the Big T.
He treasured that certificate all these years and always spoke about it. However, after he died, I went through all the papers and I just can't find it. Is there any way that I could receive a copy of it to hand down to our grandsons?
He was an ETM and later on was transferred to CVE-9 (the USS Bogue), an aircraft carrier. We both enjoyed reading your newsletters and I wonder if I can become an associate or auxiliary member.
Arthur left two daughters and their husbands, all of whom, he adored. He also left two grandsons that were the apple of his eyes, and he lived to see one great-granddaughter.
We were married while Arthur was in the Navy on a leave and we spent 59 1/2 beautiful years together. We were just two kids -- 19 and 21 and even after all this time, we were still the same two young kids in love with each other.
He surely is missed by all who knew him. To know him was to love him.
Ruth Friedland
344 Norton Street
New Haven, CT 06511
Deacon John Harrison SM 2/c 44-46
John Goode has informed us of the passing of Jack Harrison who was a plank owner on the Big T.
"Jack was proud of his USN designation, and let us USNR's shipmates know it."
William A. Berger Jr.
A good shipmate sent a newspaper article about LL Berger (RET) who passed on in February of 2004, from complications of a stroke.
He went to high school in Mineoid, N.Y., attended Queens College and worked for IBM before his 1940 navy enlistment. In WWII he served on the USS Gleaves, USS Remy and the USS Calligan.
He survived the sinking of the Calligan by a Kamikaze attack on July 29, 1945. This was the last U.S. destroyer sunk in WWII, the newspaper reports. After the war he continued his naval career with service on USS Buckley, Norfolk, Coral Sea and Ticonderoga. He served as a chief fire control technician, was promoted to chief warrant gunnery officer, then received a commission as lieutenant.
Bill retired in '67 and then worked as a civilian on various Navy Weapons projects.
Bill is survived by his wife, Eleanor as well as children and grandchildren. He was a member of several destroyer veterans groups.
At the end of the obituary:
"Any man who may be asked in this century what he did to make his life worthwhile... can respond with a good deal of pride and satisfaction," I served in the United States Navy,"
President John F. Kennedy,
1963, Annapolis, Md.
Michael Kocko Jr. ABH 3 V3 Div 65-69
Mrs. Mary Ann Vass, of Little Egg Harbor, N.J. has informed us of the passing of Shipmate Michael Kocko.
"Last year my brother Michael Kocko at the age of 58 passed away, 11-27-03.(Thanksgiving day) He served on the carrier USS Ticonderoga, CVA 14 from August, 65 to April 69. With his Viet Nam duty he earned the medals of National Defense Service, Viet Nam Service with 5 bronze stars, Navy Unit Commendation with one bronze star, and the Republic of Viet Nam Campaign Medal. He mentioned his medals in his will and was proud of his service to his country
DVON BROGAN AMC 2/C V2 DIV 44-45
Mrs. Brogan has recently contacted the newsletter informing us that Dvon passed away Feb. 15th after a lingering illness. He was from Knoxville Tn.
Instead of being disappointed by those tasks that seemed menial, it was in the performance of those chores that he learned the most significant part of his teachings.
Chaplain's Corner
I recently came across a book for which I had been searching for 52 years. It is entitled, The Practice of the Presence of God. The book is less than 100 pages in length and gives an excellent description of the author's background and an outline of his teachings. Brother Lawrence, the author, was a seventeenth century Carmelite lay-brother. He shares in this book the art of practicing the presence of God as one single act that does not end. He describes this practice as one that begins in this life and continues throughout eternity. He reminds us that God is always with us and our acknowledgment of this should be a single ongoing act of faith.
When Brother Lawrence was a young man, he looked forward to entering the monastery and living a devotional life. That is he would pray and meditate spending most of his time in the chapel. However, he was assigned the tasks of working in the fields and the kitchen after he entered the monastery. Instead of being disappointed by those tasks that seemed menial, it was in the performance of those chores that he learned the most significant part of his teachings. That is that God was as present and real when he was performing the most insignificant tasks, such as scrubbing pots in the kitchen or working in the fields, as he was when he was at worship. Brother Lawrence teaches us that in everything we do and wherever we may be God is present and we do our best when we acknowledge the reality of God's presence.
The Psalmist also reminds us of this in the 139th Psalm,
Where can I go from your Spirit?
Where can I flee from your presence?
If I go up to the heavens, you are there;
If I make my bed in the depths, you are there,
If I rise on the wings of the dawn,
If I settle on the far side of the sea,
Even there your hand will guide me,
Your right hand will hold me fast.
Andrew F. Jensen
Captain, CHC, USN (Retired)
Robert Truatt SK/2c S1 DIV 44
Sadly Association member Robert Trautt of Jersey City, N.J. died 21 APR, 2004. He was the devoted husband of his late wife Theresa and loving father of his daughter Cecelia.
Kevin G. Kelliher Korean War Era
Kevin died 22 Jan 05. He served aboard Ticonderoga in the Seventh Fleet as a Seagoing Marine. He retired after 22 years of employment by the city of Springfield. He was a member of the Springfield Elks Lodge, the Boyle O'Reilly Club, and the Springfield Yacht Club. He is survived by his mother, two daughters and several grandchildren. He was buried in the Massachusetts Veterans Memorial Cemetery, Main St., Agawam, Mass.
SPECIAL REQUEST:
INFO ON LARRY LEE GAINES
KILLED IN TRAINING 1962
Greg (Gaines) Balfany
4809 Summit Road
Kearney, NE 68845
February 14, 2005
Dear John;
I know you are the treasurer and probably do not handle historical questions, but I am looking for information on my father Larry Lee Gaines who was a naval aviator on the Ticonderoga as a Lieutenant J.G. in January of 1962. That happens to be the year he was killed in a training exercise in Yuma Arizona in June of 1962 (I was just 8 months old at specific dates he was on the ship. As I understand he piloted the ship on that trip as part of his training.
Another question I have is how do I get information on the accident he had in Yuma, Arizona in June of 1962.
My e-mail is firstname.lastname@example.org, or you can write me back via regular mail.
Thanks again for allowing me to join as an Associate Member. I honor that opportunity.
Sincerely
Greg (Gaines) Balfany
LORD NELSON
Has informed me to remind you that there are three great and easy ways to publicize the Association.
Bumper Stickers
Ball Caps and .....
License Plate Frames.
The plates to the left are from the auto of Sal Bonfiglio of Ocala, Florida. If you send a photo of your plate surrounded by a Ticco Frame, I will publish it in a nook or cranny of an upcoming newsletter
RBP
FROM THE CAPTAIN
The "Big T" is a natural for our ship and the paper. As she is the first to have this name, let us all see that we live up to the enviable record of "well done" that we have received from our inspecting Admirals so that in later years we will have pride as the original crew that started her on the right path. If we all pull our share, she cannot help but go forward from here.
[Signature]
|
SPRING 2008
Tween Pop
Alison Krauss
Radiohead
Mark Ronson
Gustavo Santaolalla
Clark Sisters
Chris Lennertz
and much more...
www.bmi.com
Dolly Parton
BMI hits another high note. Save up to 21% on select FedEx® services.
As an affiliate of BMI, you can get special savings on select FedEx services. It’s called the FedEx Advantage – another great benefit for BMI affiliates. To sign up or convert your FedEx account, call 1.877.863.6064 and mention code 14 or go to fedex.com/bmi and enter passcode BYZ45614.
| Your BMI affiliate discounts |
|-----------------------------|
| Up to 21% off | select FedEx Express® services |
| Up to 13% off | select FedEx® international services |
| Up to 12% off | select FedEx Ground® services |
| Up to 20% off | select FedEx Kinko’s® products and services |
fedex.com 1.877.863.6064
FedEx Kinko’s discount does not apply to outsourced products or services, office supplies, shipping services, inkjet cartridges, videoconferencing services, equipment rental, conference-room rental, high-speed wireless access, Sony® PictureStation™ purchase, gift certificates, custom calendars, holiday promotion greeting cards or postage. This discount cannot be used in combination with volume pricing, custom-bid orders, safe items, coupons or other discount offers. Discounts and availability are subject to change. Not valid for services provided at FedEx Kinko’s Office and Print Center locations in hotels, convention centers and other non-retail locations. Products, services and hours vary by location. FedEx shipping discounts are off published rates and cannot be combined with other offers and discounts. Discounts are exclusive of any FedEx surcharges, premiums or special handling fees and are not available to package consolidators. Savings of 21% on FedEx Priority Overnight® and FedEx Standard Overnight® envelopes and 15% on FedEx Priority Overnight and FedEx Standard Overnight packages. FedEx OneWay® and FedEx Express Saver®, 10% on FedEx International Priority® and FedEx International Economy® are all off the standard list rates and cannot be combined with any other offers or discounts. Savings of up to 12% on FedEx Ground® are subject to 10% on FedEx Home Delivery® U.S. shipping, depending on shipment weight. Eligible services and discounts subject to change. For more information contact 1.800.GoFedEx. Contact BMI for information regarding affiliate status.
©2008 FedEx
Judging from his flourishing reputation as one of the industry’s most potent behind-the-scenes forces, Los Angeles writer/producer Evan “Kidd” Bogart is living up to the dictionary definition of his name. Ever since his dramatic 2006 arrival on the global songwriting scene, the 30-year-old wunderkind seems intent on securing — or “bogarting” — his share of the pop charts.
The son of the late Casablanca Records founder Neil Bogart and music manager Joyce Bogart (Kiss, Donna Summer, Parliament / George Clinton), Evan Bogart has composed or co-written a number of buzzed-about pop tracks, including Rihanna’s 2006 international hit, “SOS (Rescue Me).” The tune soared to #1 in 15 countries, including the U.S., where it nabbed the top spot on the Billboard Hot 100, Pop 100, Hot Dance Music/Club Play, Hot Dance Airplay, Hot Digital Songs and Hot Digital Tracks charts. The track also helped Bogart and co-writers Ed Cobb and J.R. Rotem nab a 2006 BMI Billboard Number One Award and a 2007 BMI Pop Award.
But Rihanna is just the tip of the iceberg; Bogart has also overseen tracks for heavyweights like Britney Spears (“Everybody”), Jennifer Lopez (“Stay Together”), Sean Kingston (“Take You There”), and Blake Lewis (“Surrender”). He has also worked his wonders for Natasha Bedingfield, The Cheetah Girls, Hilary Duff and others. “I spend the majority of my days and nights in the studio writing songs for artists and projects,” Bogart writes matter-of-factly on his MySpace page, offering fans an inkling of his determination and intensity.
Yet despite all the sacrifice, Bogart is living his dream. Continuing his family’s tradition of hard work and excellence in music, Bogart launched his career at age 16, working as an intern at Interscope Records where he helped discover and/or promote top-sellers like 2Pac and Eminem. Bogart later co-founded BAT Management and, as a Warner Bros. A&R consultant, helped push Maroon 5 to international renown.
Recently recruited as head writer for the newly formed Beluga Heights publishing and recording company, Bogart is now poised to maximize his formidable potential. In early 2008, it was reported that Bogart is producing new tracks for disco queen Donna Summer. Through this creative collaboration, Bogart has the opportunity to work with one of his late father’s most prized musical discoveries.
Dad, no doubt, would be proud.
Bruce Britt
Wisin y Yandel
Eva Bogart
Rodney Atkins may appear to be an overnight success, but in reality it was nearly 10 years between the time he signed a record deal with Curb and his breakthrough single, “If You’re Going Through Hell,” topped *Billboard*’s country chart for four weeks.
“There have been a lot of folks who have stuck with me,” says Atkins, who won the Academy of Country Music’s 2007 Top New Male Vocalist award. “The best thing has been giving credibility to all the folks who believed in me from my family to my label to management.”
Clad in faded jeans and a ball cap, and loaded with good ol’ boy charm, Atkins has become one of the country format’s hottest artists, scoring four consecutive No. 1 singles. “Watching You,” inspired by his son, Elijah, topped the chart for two weeks and his winning streak continued with “These Are My People” and “Cleaning This Gun.” The album that spawned those hits, *If You’re Going Through Hell*, has been certified platinum.
The East Tennessee native credits his success to songs that strike a chord with his audience. “When Elijah was born, I realized at that moment that my time is his time, my time is my family’s time,” says Atkins, who recorded “If You’re Going Through Hell” in his home studio. “So if I’m going to go work recording songs and go on the road and be away from him, I don’t want to sing songs that aren’t worthwhile. . . . I want to write songs that become a part of their life.”
Whether you loved it or loathed it, at some point in the last year you undoubtedly heard the song “Crank That (Soulja Boy).” Given the fun ditty’s trajectory from a simple post online to radio, to TV, to three million cell phones and even to a Grammy nomination in 2008, you probably heard it more than once.
Born in Chicago but raised in Atlanta, Soulja Boy — aka DeAndre Way — moved to Mississippi with his father as an eighth grader. Toying with his dad’s computer equipment led him and a classmate to post music online. In 2004, Soulja Boy moved back to Atlanta, working to fulfill his longtime musical ambitions while continuing to upload music. In March of 2007 he unleashed “Crank That,” with its unmistakable steel pan, through the Internet. It caught on: By May, famed Atlanta producer Mr. Collipark helped broker him a deal with Interscope. In a matter of months, Soulja Boy’s song had become nothing short of a phenomenon.
“Crank That” fast became entrenched in pop culture, with fans making and uploading thousands of response videos, Beyonce adding the dance to her tour, and Soulja Boy doing the dance alongside Ellen DeGeneres on her talk show. The song spent seven weeks at No. 1 on *Billboard*’s 100, and set a record for ringtone sales.
More profoundly, Soulja Boy’s rapid success seemed like a chapter downloaded from the new handbook on the relationship between the web and the music business. Some have criticized the song’s less-than-complex tune and lyrics, while others suggested Soulja Boy would be a one-hit-wonder. Judging by the enthusiasm for his subsequent songs, that seems not to be the case.
It’s a brisk March morning in Nashville, and resonator guitarist Jerry Douglas is in a relaxed mood as he finishes up work on his next album, but its title, *Glide*, definitely refers to instrumental technique and sound rather than his career path. Alison Krauss & Union Station, his main gig for the past ten years, may be on hiatus, but Douglas is as busy as ever.
“Well, let’s see,” he says. “I’m kind of keeping an eye on the new signature model guitars
After his 2003 Curb album, *Honesty*, failed to produce a hit, a friend advised Atkins to be true to himself. “He said, ‘What’s wrong with you being you — just ball cap, jeans and work boots — and finding songs that match that image?,”’ recalls Atkins.
Atkins recently wrapped up his opening gig on Brad Paisley’s “Bonfires & Amplifiers” tour and is writing songs for his next album. “You wind up creating from silence, like painting a picture on a blank canvas that could bring tears to somebody’s eyes,” he says of the creative process. “As songwriters, our blank canvas is silence. Then we write a song from an idea that can change somebody’s life. Songwriting is the closest thing to magic that we could ever experience. That’s why I love songwriting.”
Deborah Evans Price
by Paul Beard that were just introduced at the NAMM show, and on the Jerry Douglas Aura pedal that Fishman Transducers is making. And I’m doing the ‘World Of Slide Guitar’ with Derek Trucks, a Hindustani slide guy named Debashish Bhattacharya and Bob Brozman at the Savannah Music Festival, and then I’m hitting the road with my band — we’ve got a ton of festivals coming up, including Merlefest, Stagecoach, Bonnaroo, Grey Fox, Rockygrass…” Indeed, Douglas has enough on his plate that he nearly forgets to mention a recent session for a forthcoming album by Rock & Roll Hall of Famer Elvis Costello.
And then there’s Glide, which features members of the Jerry Douglas Band — fiddle phenom Luke Bulla, bassist Todd Parks, guitarist Guthrie Trapp and drummer Doug Belete — along with a small but stellar list of guests. “It’s mainly tunes that I’ve written,” says the longtime Nashville resident, whose “Unionhouse Branch” earned the Krauss quintet a 2006 Grammy for Best Country Instrumental Performance. “There are two vocals on the record, one by Rodney Crowell and the other by Travis Tritt, so I guess it’s more country than my last one. It’s not as lap steel-oriented, it’s not as edgy, though there is a tune called ‘I’m Edgy’ that’s kind of like ‘You Are My Flower’ on Best Kept Secret; I play lap steel and bass, and Doug played some drums, and it’s just an in-your-face power trio.”
Another kind of power trio on the album features Douglas, acoustic guitar legend (and long time colleague) Tony Rice and iconic banjo man Earl Scruggs picking the durable “Home Sweet Home.”
Still, Douglas maintains that he’s keeping some perspective on his schedule. “I’ve been off since the end of December, and it’s been great,” he notes. “My wife and I went to Scotland for a couple of weeks, and now I’m just trying to keep it together here, trying to figure out how other people live.”
Jon Weisberger
Perhaps we should start calling him “Jackson of All Trades.” A Grammy-winning bassist, producer, songwriter and musical director, Randy Jackson has cultivated a reputation as one of the music industry’s most powerful supporting players. Now, Jackson is transforming his high-profile gig as an American Idol judge into a budding empire.
Not only is Jackson the producer of the popular MTV talent competition America’s Best Dance Crew, he also hosts “Randy Jackson’s Hit List,” a syndicated Westwood One radio show that contemporizes the all-embracing vibes of classic Top 40 radio. A similar eclecticism informs Randy Jackson’s Music Club, Vol. 1, the debut CD from the bassist’s Dream Merchant 21 Records. “In a way, it’s autobiographical,” Jackson says of the record. “It covers a lot of my life experience.”
In an age of niche programming, Randy Jackson’s Music Club, Vol. 1 is a deceptively bold move. The album features pop, rock, r&b, soul, country and gospel tunes performed by radio favorites including soul legend Sam Moore, r&b queen Mariah Carey, country star Travis Tritt, gospel crooner BeBe Winans and Bon Jovi guitarist/vocalist Richie Sambora. Relative newcomers such as Joss Stone, Jason Mraz, Katherine McPhee and Elliot Yamin help round-out the lineup. Dance diva and fellow American Idol judge Paula Abdul is featured on the electro-pop debut single, “Dance Like There’s No Tomorrow.”
In a recent interview with Yahoo! Music, Jackson expressed his hope that the “Music Club” CD would serve as a sort of mission statement. “The idea behind (the record) is, whatever music that’s great, that are real artists, I want to sign — be it a country act, or a gospel act, or a hip-hop act, or a pop act, whatever,” Jackson said. “I don’t want to be held down by genres so much.”
Though he is obviously enjoying his stint as a self-styled “dream merchant,” Jackson hasn’t let ego get the best of him. “On this record I’m not really singing — thank God!,” Jackson told Yahoo! Music. “I’ve saved you guys from that!”
Bruce Britt
At the astonishingly tender age of 21, Eric Hudson has compiled a discography longer than folks twice his age. The songs to which he lent production read like a playlist of what’s hot on radio; the list of names he’s worked for sound like the roster at an award show. “Can We Chill,” by Ne-Yo, “Flashing Lights” by Kanye West, “Entourage” by Omarion — if it was an r&b hit in recent months, there’s a strong likelihood Hudson had a hand in its development.
Even to people in a jaded industry, Hudson’s biography is nothing short of astounding: A native of South Orange, New Jersey, Hudson is the son of Lisa Stevens-Crowder and Curtis Hudson, who wrote “Holiday” for Madonna. He started playing instruments at two years old; he started playing professionally at four. He played piano, organ, drums and bass guitar for choirs and gospel groups most of his life, and started a group called The Jazz Funk Project, which performed around the New York Tri-State area during his middle school and high school years.
Playing with the Wyclef Jean Foundation, a foundation started by recording artist Jean, Eric performed at Carnegie Hall with the group and a lineup of esteemed musicians including Eric Clapton and Mary J. Blige. At 14, he found himself playing that night alongside Whitney Houston and Stevie Wonder. In 2002, he performed at the National Democratic Convention’s annual fundraiser held at Harlem’s famed Apollo Theater. After his performance, Bill Clinton introduced him to Michael Jackson.
Currently producing songs for Usher, Whitney Houston, Chris Brown and Mariah Carey, Hudson is said to be an admirer of Quincy Jones, but this promising talent is quickly becoming an inspiration in his own right.
Malcolm Venable
“I’m not looking for a hit,” declares Jamey Johnson. “I have the heart of a minister when it comes to songwriting — I’m looking to reach somebody. If I can write a song that helps me get through something, then odds are it’ll help somebody else too.”
For someone who isn’t looking for a hit, Johnson has certainly been finding plenty of them lately. He co-wrote the Trace Adkins chart-toppers “Honky Tonk Badonkadonk” and “Ladies Love Country Boys,” as well as Joe Nichols’ recent Top 20 “Another Side of You.” But perhaps his most impressive success has come with the George Strait smash “Give It Away,” which he penned along with Bill Anderson and Buddy Cannon. The Grammy-nominated tune, which was inspired by Johnson’s then-impending divorce, hit No. 1 and was named Song of the Year by both the Country Music Association and the Academy of Country Music. Johnson is proud of the honors, but just as pleased about the emotional listener feedback the song elicited.
“There’s a lot of couples out there that end in divorce,” Johnson says. “It’s sad, but that is the case — and if a song like ‘Give It Away’ helps them understand that they’re not in this world alone . . . who knows? That might be the song that turns their life around.”
The deep-voiced Montgomery, Alabama native enjoyed a 2005 Top 20 hit as a performer with “The Dollar,” and remains driven to sing his own material. “Sometimes a song is so personal to me that I just wouldn’t want to hear anybody else sing it,” says Johnson, who recently signed to the Mercury Nashville label. His newest single is the poignant “In Color.”
Johnson is grateful for his accomplishments as both a songwriter and artist, but remains philosophical about it all. “People say, ‘Aw, you deserve it,’” notes the former Marine and construction worker. “We all work for it, but nobody deserves it. If you get it, you got lucky. God smiled on you for a period of time, and you should accept it as that.”
Chris Neal
What does the No. 1 song “Unwritten” have in common with Broadway’s Annie, TV’s All in the Family and pop group New Radicals? The answer: singer/songwriter/producer and former child star Danielle Brisebois.
To make the connection, you have to follow a winding career path that eventually led Brisebois to singer Natasha Bedingfield, with whom she co-wrote the international smash. Included on Bedingfield’s platinum-selling debut album of the same name, “Unwritten” earned Song of the Year accolades at BMI’s 2007 London Awards.
Brisebois also lends her pen to Bedingfield’s latest release, Packetful of Sunshine.
In addition to Bedingfield, the 38-year-old Brooklyn native has worked with such diverse acts as Kelly Clarkson, Rod Stewart and Clay Aiken, but her most enduring collaboration is with fellow BMI Award-winning songwriter Gregg Alexander.
Alexander worked on both of her solo discs — 1994’s Arrive All Over You and the never-released Portable Life — and Brisebois even joined his band New Radicals, best known for the controversial hit “You Get What You Give.”
A year later in 1999, a clip of her childhood vocals could be heard on rapper Jay-Z’s Grammy-nominated song, “Hard Knock Life (Ghetto Anthem).”
“It took two decades,” Brisebois says with a laugh, “but I was finally street.”
The sample: Brisebois belting out “Hard Knock Life” from Annie, the Tony Award-winning musical for which she was an original cast member in the ’70s.
Her Broadway success led to her role as Stephanie Mills on the classic sitcom All in the Family and the spin-off Archie Bunker’s Place, which earned Brisebois a Golden Globe nomination at the age of 11.
Her ’80s acting résumé includes Knots Landing, Murder, She Wrote, Days of Our Lives and Mr. Belvedere, landing her the No. 50 spot on VH-1’s “100 Greatest Kid Stars” list. She also performed in the acclaimed film As Good As It Gets.
In the ’90s, Brisebois quit acting to follow her music passion — a passion sparked at the age of 6 in the halls of the famed Brill Building listening to Annie songwriters Charles Strouse and Martin Charnin writing “Hard Knock Life.”
And the winding path ends here.
Dana Rodriguez
Popular myth has it that Banda el Recodo founder Don Cruz Lizárraga sold one of his prize hogs to make the down payment on his first clarinet and picked corn to make the payments. Although he passed away in Europe on tour in 1995, the band, founded in 1938 and named for Lizárraga’s hometown, still maintains its familial roots under the leadership of his sons, Luis Alfonso and Joel Lizárraga.
The sound of the band is distinctively Sinaloense, with the low end sustained by the sonorous tuba, abetted by clarinets and trumpets — 17 musicians and singers in all. Although the assembly bears witness to the Mexican tradition of municipal bands, Lizárraga updated it with a more joyous energy, suitable for festive occasions. In the beginning, Banda el Recodo was strictly a live act, but their first album, released in 1951 included well-loved hits “Mi Gusto Es” and “El Sauce y La Palma.”
Banda El Recodo subsequently broke all records for CDs sold by any band in the history of Mexican traditional music, earning three gold and 16 platinum discs and enjoying astronomical attendance rates, including a show in Los Angeles, California, where they performed for 500,000 people. Don Cruz made his dream a reality, leading the first Mexican band to play on five continents.
Seventy years ago, Don Cruz Lizárraga could have never envisioned that the sounds of the Mexican Pacific region could win a succession of Latin Grammy Awards in the U.S., or that the band could be heard in such mediums as ringtones and viewed on YouTube, but it has come to pass. Last year’s release, Que Bonito... Es lo Bonito, proves that the enduring legacy of a group named “The Mother of All Bands” remains a timeless musical treasure.
Dan Kimpel
To catch Nashville hit songwriter Casey Beathard in his element, one need only trek over to one of the youth sporting contests he coaches. Amiable, with an easy grin, Beathard looks like the all-American dad and acts like one, too. The soccer, football and baseball coach mentors his athletes enthusiastically, without a hint of brooding artist in his air, while ironically, he composes a hefty chunk of the most popular art Nashville exports.
A vein of lightheartedness and fun weaves throughout most of Casey Beathard’s hits, and that, according to the songwriter himself, is the reason for much of his success. However, his recent No. 1, Kenny Chesney’s “Don’t Blink,” strikes a slightly serious, proverbial chord, further emphasizing his versatility. The tune garnered Academy of Country Music award nods including Single and Song of the Year at the 2008 nominee announcement in March.
In February of 2008, fellow BMI songwriter and Curb recording artist Rodney Atkins took Beathard’s wry “Cleaning this Gun” to the top slot on the country charts. The sardonic monologue of a father meeting his daughter’s boyfriend for the first time, the song revolves around dad’s subtle warning:
“Hey y’all run along and have some fun
I’ll see you when you get back
Bet I’ll be up all night
Still cleanin’ this gun”
Nothing if not contemporarily prolific, Beathard’s pen is also responsible for durable smashes including Chesney’s signature song, “No Shoes, No Shirt, No Problems,” Gary Allan’s “Right Where I Need to Be,” Trace Adkins’s “Hot Mama,” and Tracy Byrd’s “Ten Rounds with Jose Cuervo” and “Drinkin’ Bone.”
The last two installments of the BMI Country Awards in 2006 and 2007 honored Beathard for Tim McGraw’s belly-achingly funny “Do You Want Fries with That” and rising star Jake Owen’s “Yee Haw.” 2008 promises even more song-writing success for the industrious father of four, lodged in between hard-fought scrimmages and league championships.
Elisabeth Dawson
Although his work in the world of film composing is relatively nascent, Paul Cantelon has already had the great fortune of working on such critically acclaimed projects as the Oscar-nominated *The Diving Bell and the Butterfly*, 2005’s *Everything Is Illuminated* and most recently Sony’s romantic period piece *The Other Boleyn Girl*.
Newcomer or not, Cantelon says he can’t complain. But the maestro’s success has less to do with luck and more to do with talent. Regarded as a musical prodigy, the California native started his musical career as a classical violinist, making his debut at the age of 13 at UCLA’s Royce Hall. At 15 he made the switch to piano and began studying at the Paris Conservatory.
Tragically, Cantelon’s career as a concert pianist was cut short after a bicycle accident left him comatose for a month. “At the time it was devastating,” recounts Cantelon from New York, where he now resides. “When I came to, I couldn’t play anymore.”
A tragic story indeed, but one with an ironically positive outcome for Cantelon, who noted that: “I would have never been freed from the constrictions of a concert pianist, and as much as I respect the devotion they put into it, I’d just rather be writing music.”
Cantelon relearned his trade at Juilliard and Trinity College, Cambridge. “My approach was completely different, most notably with the violin. When I did finally pick it up again, I began to shriek my 18th century violin through these wonderful ’70s SamAmps,” he laughs.
That shrieking became the signature sound of ‘90s alt/rock band The Wild Colonials, which Cantelon founded with singer Angela McCluskey. With the Colonials, he went on to perform with artists ranging from Joe Cocker, The Red Hot Chili Peppers and George Clinton to King Crimson and Ry Cooder.
Cantelon cites Chopin and Bach as two of his formative influences, as well as Erik Satie: “I love the child-like minimalism of Satie,” he concedes, which is evident after hearing Cantelon’s haunting theme from *The Diving Bell*.
Ada Guerin
Like a plotline ripped from a Hollywood screenplay, the saga of Frankie Storm reads like pure, glitter-sprinkled fantasy.
An achieving high school student with no plans of entering the music biz, Storm was invited in 2005 to write rhymes and sing counter-melodies for a rapper in her native Philadelphia. That chance collaboration brought Storm to the attention of the Philly production crew known as The Matrax. Just as The Matrax team was grooming Storm for a solo singing career, Storm did a sudden about-face and elected to pursue songwriting instead.
It was a bold move that has paid off handsomely. One of the industry’s most promising writers, Storm has collaborated with esteemed production teams including Stargate, The Underdogs and Soul Shock & Karlin, while co-composing tunes for major label heavy-hitters like Jennifer Lopez, Raven-Symone, Jaheim, Stacie Orrico and Brook Hogan.
As of this writing, Storm is best known for co-writing “Don’t Stop The Music,” the Grammy-nominated single from Rihanna’s 2006 multi-platinum album, *Good Girl Gone Bad*. The hit track topped the pop charts in Austria, Finland, France, Germany and Israel, to name but a few territories. Rihanna performed the single at the 50th Grammy Awards presentation.
The tunes featured on Storm’s MySpace page offer a glimpse inside her hit-savvy soul. Original tunes like “Who Is She” and “Time Up” contrast Storm’s kittenish r&b vocals against her semi-classical piano flourishes and simple automated rhythms. One of her most recent compositions, “Fit of Love,” reconciles elegant pop and clever r&b in a way that recalls Brenda Russell’s best.
Trading on her momentum, Storm has joined with a pair of businessmen to co-found the Walk On Water Music Group (WoW). The label is currently developing two artists and two producers. But considering her dynamic combination of brains, talent and looks, it’s probably just a matter of time before the powers-that-be urge Storm to pursue a solo singing career.
“Me being an artist has come up a few times, but the writing has been so wonderful,” the ever-shrewd Storm told *MusicWorld*. “It would take a pretty sweet deal to get me on stage.”
Bruce Britt
PUT YOUR ROYALTIES ON FAST FORWARD
Now there’s a simple and safe way to get the money that’s coming to you… only faster.
The FastForwardMyRoyalties program from your friends at Lyric Financial.
Developed especially for songwriters and publishers who earn royalties, this convenient service allows you to draw against your future royalty earnings, without affecting the ownership of your songs.
And because it’s not a loan, there are no credit hassles either. You can usually get the money you need within a day of application… now that’s FAST FORWARD.
So when you need cash, whether it’s for recording, personal expenses, or whatever – just think
FastForwardMyRoyalties.com/bmi
VISIT OR CALL 615-739-6515 TODAY!
fastforwardmyroyalties.com/bmi
Trumpeter Ryan Kisor does yeoman’s duty on the jazz scene with a dozen releases of his own, a discography that includes sessions not only with Pat Metheny and the Mingus Big Band but also with the legendary Horace Silver and Gerry Mulligan, plus a full-time job with the Lincoln Center Jazz Orchestra as lead trumpeter.
“I’m interpreting the music the way I think should be; I don’t pay attention to how the trumpet player [on the original recording] played that part before me. I play how I want to play,” explains Kisor, who turns 35 this spring. “When I play solo, I’m really just channeling what I’ve learned from all the trumpet players that have influenced me and trying to weave that all together to make my own statement.”
Kisor’s career started as a child in Sioux City, Iowa: lessons at four, a dance band gig with his father at 10, classical studies at 12, and Clark Terry’s band camp at 15, where he fell under the spell of jazz and Terry became his mentor. While a high school senior, the youngster won the Thelonious Monk Institute’s first trumpet competition, beating out the likes of Nicholas Payton and Marcus Printup. After graduation, he moved to New York, enrolled at the Manhattan School of Music studying with Lew Soloff, and became at regular at the jam sessions at Augie’s.
He began to build a career by learning the jazz vocabulary and the intricacies of playing with a band. “The more people you hook up with, you keep expanding your vocabulary. It’s great to be creative and play some wild crazy [stuff] that’s new but if you want to really be a jazz musician, you still need to know the jazz vocabulary,” says Kisor. “The greatest players interact — you’ve got to interact with the rhythm section. Usually, when you’re playing your best stuff is when you’re really interacting. Otherwise, it just sounds stale.” And Kisor still has the tried-and-true method for keeping fresh: When he doesn’t have a gig, you can find him jamming at Small’s.
Dave Hieland
One night we met at this bar and started singing Pearl Jam songs and he says, ‘Dude, I had no idea you had such great pipes.’ Out of injury and adversity came opportunity.”
With stars in their eyes, the trio moved to New York City in 2001 and quickly became a quartet when bassist Matty McCloskey joined the lineup.
Their rock star dreams soon came true when the group, known then as Revelation Theory, signed to EMI subsidiary Element Records. Their 2005 debut, Truth Is Currency, produced the hit “Slowburn,” which reached No. 27 on Billboard’s Mainstream Rock Tracks chart.
Now known as Rev Theory, the foursome has been on the road for the last three years, opening for such A-list acts as Evanescence, Fall Out Boy and Papa Roach. And in between gigs, the tracks for Light It Up emerged from the back of the tour bus.
Armed with a new name and a new album on a new label, Rev Theory aims to make a huge impact on the rock world.
Dana Rodriguez
Go green and save $400 – PLUS, BMI AFFILIATES get an additional 5% off!
1,000 CDs IN ECO-WALLETS NOW INCREDIBLY JUST
$940.50 (WAS $1,390)
Now it’s even easier and more affordable to get your CDs in Eco-Wallets, made with 15 pt. coated board stock for extra quality and durability. Wallets also include high-gloss or matte UV coating at no extra charge, so they’ll make an impression wherever they go.
Great for the environment!
Eco-Wallets are printed on recycled board, as are all our board products, and use no plastic in the packaging.
Call today for your FREE DVD copy of our “Achieving Success with Your Music” seminar. Get inside information and tips from two of the industry’s top pros on marketing, A&R, record labels, and more.
DISC MAKERS® www.discmakers.com/bmi 1-866-450-1771
BMI member discount code: DSCXP-30039. BMI affiliates must provide proof of membership upon ordering.
When The Society for the Preservation of Bluegrass in America voted then 12-year-old Alison Krauss the Most Promising Fiddler in the Midwest, little did they know, even for all her talents and potential, the achievements that were in her future. Some two decades later, Krauss would be declared “the best known bluegrass singer in the world” by *The Wall Street Journal*. And she became a multi-million selling recording artist, both solo and in tandem with her band Union Station — singing and playing bluegrass, no less — and the most Grammy-winning female in the history of the Awards (among many other awards and honors).
But Krauss’s latest triumph would no doubt have left those aficionados of the high lonesome sound who sensed her promise years ago scratching their heads, befuddled and amazed: Winning a Grammy — her 21st to date — for Best Pop Collaboration with Vocals for “Gone Gone Gone (Done Moved On),” sung with Led Zeppelin front man Robert Plant on their already gold and soon-to-be-platinum album *Raising Sand*. But the creative union with Plant wouldn’t have seemed such a surprising stretch back then to Krauss.
“I love hard rock. It’s just the greatest,” she says. “That’s basically what I grew up with.” And even though she is the heroine of contemporary acoustic roots music, she and her brother, noted bassist Viktor Krauss, sometimes like to strap on electric guitars and turn the amps up to 10 for fun at home.
The 37-year-old Krauss was raised in Champaign, Illinois, and started studying classical violin at the age of five, “but not really long enough to do any damage,” she quips. She soon became enamored of bluegrass fiddling, won herself a deal with Rounder Records at 14 and debuted on album with *Too Late To Cry* in 1987. Not long after she also joined the band Union Station, with whom she continues to record and tour.
Since then, Krauss has forged a career that has taken bluegrass music to new commercial heights as well as expanded its artistic range, all without forsaking the genre’s roots and integrity. And the 21 Grammy Awards she has won along with earning two double-platinum and four gold albums on her own and with Union Station tell only part of her impressive musical journey.
She discovered and produced the young progressive bluegrass stars Nickel Creek and produced country superstar Alan Jackson’s *Like Red on a Rose*, hailed as “a masterpiece” by *The Chicago Sun-Times*. She appeared on the groundbreaking Grammy-winning *O Brother, Where Art Thou?* soundtrack album and the subsequent Down from the Mountain Tour, and earned Oscar nominations for her two contributions to the *Cold Mountain* soundtrack (“The Scarlet Tide” and “You Will Be My Ain True Love”) and performed on the telecast of the 75th annual Academy Awards Ceremony.
Krauss has sung and/or played on bluegrass, country, pop, jazz, classical and polka albums, and shared vocals on recordings with such diverse artists as Sting, James Taylor, Vince Gill, John Waite, The Chieftains and Brad Paisley. She has had a number of albums and singles ascend to the upper reaches of the country charts, and also landed an album in the pop Top 10 with her 2007 collection, *A Hundred Miles or More*.
Her collaboration with Plant came about after the two met at a Leadbelly tribute concert where they both performed. “There’s so much romance in contrast,” she says of recording *Raising Sand*. “It was a real life-changing experience.” The week the disc was released last fall, it was the second-best-selling album in America, and the duo will follow their Grammy win with a spring 2008 tour.
No matter how wide and far-flung her musical experiences have been, for Krauss it still all finally comes down to the song. And her tastes run towards material that expresses sadness, heartbreak and melancholy. “I’ve just always been drawn to the sadder ones, and not because I want a sad song,” she explains. “It just seems like they’re more believable to me. I always look for tunes that I can relate to, and I always say if they make you feel like crap, you oughta do ‘em. That’s pretty much the approach.”
Yet for all her stunning achievements, Krauss remains modest about her musical ambitions other than aspiring to create the highest quality music. “My goal is to make good records. I never had any big dreams about doing something on a huge scale,” she confesses. “But I have dreamt about liking my records. That’s the kind of stuff I dreamt about.”
Rob Patterson is a 30-plus year veteran of the rock journalism wars who lives in Austin, TX.
Celebrating Three Years
of breaking new artists on the music industry’s longest running podcast.
Here are just a few success stories of artists who were featured on BMI’s podcast:
ALEJANDRA ALBERTI
Recent People En Español featured artist Alejandra Alberti garnered a 2007 Latin Grammy nomination for Best New Artist, while the rising star’s debut single, “Quiero,” garnered iTunes Song of the Week bragging rights, and her “Dignidad de Mujer” jumped into rotation on MTV Tr3s.
NEWTON FAULKNER
U.K. crooner, songwriter and guitarist Newton Faulkner’s debut, Hand Built by Robots, already climbed to the top of the U.K. charts; Aware/Columbia released Faulkner’s acclaimed album in the U.S. on April 29.
JUSTIN NOZUKA
Pop-soul wunderkind Justin Nozuka recently signed with Glassnote Records. After joining VH1’s elite “You Oughta Know Artist on the Rise” ranks and enjoying “Large” Video Rotation on the channel, Nozuka released the anticipated album Holly April 15.
LUDO
Wry buzz-band Ludo inked a five-album deal with Island Records and released You’re Awful, I Love You in February 2008, a spot on MTV’s TRL and regular rotation of their video “Love Me Dead” on mtvU have catapulted the former indie darlings into the mainstream spotlight.
BMI PODCAST ALUMNI TO WATCH IN THE COMING YEAR:
PRISCILLA AHN • CAGE THE ELEPHANT • DOES IT OFFEND YOU, YEAH?
MONTE NEGRO • ALISSA MORENO • TRENT SUMMAR • THUNDERKATZ
CHOICE OF THE WORLD’S BEST SONGWRITERS
BMI.COM/PODCAST
BMI®, bmi.com® and Broadcast Music, Inc.® are registered trademarks of Broadcast Music, Inc.
Rock and pop album sales may have been slumping for the past several years; rap and hip-hop receipts are in a downward spiral. But one category continues to mine gold and platinum-level sales, seemingly without effort: the "tween pop" genre, dominated by acts like Miley Cyrus, Aly & AJ, the Jonas Brothers, and the Naked Brothers Band.
That these acts rarely appear on Top 40 radio or MTV has hardly made a difference, as most of them are featured regularly on Nickelodeon and the Disney Channel. In fact, 15-year-old Cyrus — still best known to her legions of fans as the title character of the hit Disney series *Hannah Montana* — is well on her way to being a billionaire within three years, according to a recent MSNBC report.
The 3-D film *Hannah Montana and Miley Cyrus: Best of Both Worlds Concert* stunned some observers when it debuted as the #1 film in the country in February, earning $31.1 million in three days. But those observers probably hadn’t been paying attention to the steadily mounting Mileymania, which saw the titular tour garnering $36 million in ticket revenues in 2007, making it the 15th highest-grossing concert tour in North America for the year.
Her two albums, 2006’s *Hannah Montana: Songs from and Inspired by the Hit TV Series* and 2007’s *Hannah Montana 2: Meet Miley Cyrus*, have collectively sold well over seven million copies worldwide.
All this from a sitcom about an average teenage girl who lives a double life as a famous pop singer? Well, yes, when you consider that *Hannah* is the #1 cable show among the target 6-14 “tween” group. (When you factor in all broadcast shows, it’s behind only *American Idol* for that demographic.)
The daughter of country singer/actor Billy Ray Cyrus, Miley beat out some 1,000 other girls to land the *Hannah* role. “I’ve always loved singing, and I’ve always loved acting and dancing,” she says. “Getting this opportunity with Disney, I get to do it all. They let you do everything you love.”
While young girls have always had a collective voice in just what makes a pop act popular — ranging from Frank Sinatra’s notorious bobbysoxers to Beatlemania’s screaming and fainting multitudes to SRO shows by New Kids on the Block — it’s been the rise of the Disney Channel and Radio Disney that have helped fuel this current wave. The 2006 premiere of *High School Musical* on the TV network was the shot heard ‘round the pop world — a shot whose repercussions are still being felt via its various spinoffs, including a made-for-television sequel and a big-screen third edition, due out in October. (It should come as no surprise that Cyrus had a cameo in *High School Musical 2.*)
Meanwhile, Radio Disney has become the driving audio broadcaster for tweens, heavily featuring such Disney Channel talent as Cyrus and *Phil of the Future* co-star Alyson Michalka, who with her sister Amanda formed the tween-pop duo Aly & AJ. And as was the case with Cyrus, the pair started at an early age. “We’ve been performing and role-playing since before we can remember,” Aly says.
The sisters’ debut album, 2005’s *Into the Rush*, went platinum,
and last year’s *Insomniac* won favorable reviews for its state-of-the-art dance production. (Both albums were released on Disney’s Hollywood imprint.) Aly & AJ also opened several dates on Cyrus’ *Both Worlds* tour, as did the Jonas Brothers, three siblings who also record for Hollywood.
The latest album by the pop trio (Kevin, Joe, and Nick), 2007’s *Jonas Brothers*, went platinum and led to the group’s solidifying its Disney relationship: In addition to appearing in the *Both Worlds* film, the Jonases will perform a Disney Channel concert special, movie (*Camp Rock*, airing in June) and TV series, *J.O.N.A.S!* (*Junior Operatives Networking As Spies*), due to premiere in 2008. A new album is tentatively scheduled for the summer.
Again, starting young — and maintaining a busy-bordering-on-hectic schedule — have been key factors in the act’s success. “My whole family was [made up of] music lovers,” says Kevin. “We were always into the old-school rockin’ music. When we’re sitting at home, we don’t want to be there. We want to be out playing or writing songs. This is what we want to do.”
While Disney may be a powerhouse presence in the tween pop scene, it’s not the only one. Nickelodeon got into the act with its acquisition of the 2005 indie film *The Naked Brothers Band: The Movie* and subsequent TV series. *Naked Brothers* tells the story of two brothers, Nat and Alex (played by real-life brothers Nat and Alex Wolff), once members of a successful group called the Silver Boulders that breaks up. The boys decide to form a new group with an attention-getting name — see title — and misadventures and hilarity ensue. (Older viewers may be reminded of the original *Monkees* series, while younger ones could probably only identify “I’m a Believer” as “that song from *Shrek*.”)
“Real Brothers, Real Music, Not Really Naked,” is the tagline for both the original film and the series, which launched in 2007. The project began when actress Polly Draper, best known for the series *Thirtysomething*, started filming a Christopher Guest-styled mockumentary about her sons Nat and Alex’s band.
Recalling a memory of the two when they were very young, emerging from a bath and declaring “We’re the Naked Brothers Band!,” Draper helped shape the film into the multi-media project it’s become, even going so far as casting her husband, former *Arsenio Hall* bandleader Michael Wolf, as the boys’ TV father.
“It’s all based on reality,” Nat says. “It’s not like work. It’s things we might say or do or want to say or do. I like the feeling of creating something that wasn’t there. If we have another season, I’m totally getting ideas.”
A self-titled album came out in late ’07, with all songs written by the brothers. With the predictable merchandising spinoffs — DVDs, books, etc. — coming down the pike, the Naked Brothers seem poised to become tween pop’s next big thing.
For his part, Nat says he’s encouraged by the recent gains made by his tween pop peers. “Now,” he says, “kids can actually make their mark.”
*Kevin Zimmerman has covered pop music for such publications as Spin, Music Business International, The Chicago Tribune and MOJO. He lives in Connecticut with his wife and son, both of whom are huge fans of the Backyardigans.*
utter the name “Dolly Parton,” and music critics, historians and pop culture addicts indulge in gushing career retrospectives. Awards made of gold and other precious metals line Parton’s shelves, linear and harsh when compared to the warmth and insuppressible life that radiates from their honoree. These trophies are reserved for the creative community’s elite and, typically, its elders. Walking canes and faces etched by time accompany most “living legend” award recipients; a youthful 62 years old, Parton defies the status quo. But then, that’s how she won those awards in the first place.
While some may view her new album as an effort to reenter the mainstream country sphere, upon closer inspection, it becomes clear that her relevance and ubiquitous presence never dimmed in the world she arguably helped create.
Parton’s success caroms off her penchant for experimentation. She takes risks, both musically and in business, with the bravado and wry confidence of an artist both comfortable with and in need of constant growth.
Dubbed *Backwoods Barbie*, Parton’s latest release masterfully couples artistic chances with mainstream appeal. Stacked with Dollyisms — sly one-liners, for the uninitiated — her new songs pierce heartbreak, praise Jesus and glorify new love with originality and vigor. Her signature phrasing, provocative and tender, appears thrillingly ageless and capable. Many of the standout songs on the album, including “I Will Forever Hate Roses” and “Made of Stone,” tackle heartache with tearful country panache, while the quirky honky-tonk rendition of Fine Young Cannibals’ “She Drives Me Crazy” recalls Parton’s other recent creative rolls of the dice, which include bluegrass spins on Collective Soul’s contemporary rocker “Shine” and the Led Zeppelin classic “Stairway to Heaven.”
*Backwoods Barbie*’s droll title track actually alludes to heavier subject matter. The importance and legacy of Parton’s ascendency in a male-dominated industry cannot be overstated. She has found conventional barriers utterly inconsequential, deftly using them as comedic fodder as she simultaneously knocks them down. Early in her career, Parton established her own publishing company and today, she controls all the rights to her compositions. She owns her own label, and, in the past, has leased her albums to other labels during new-release promotional time windows; she and her album receive the leasing company’s strategic marketing and distribution hives, while Parton retains both ownership of the project and the creative license to make her music her way.
Sharp business acumen in high heels and rhinestones, Parton shunned convention with unequalled foresight and confidence. Further, and perhaps most iconically, she has embraced her strength without forsaking her femininity: The two are intertwined and harmoniously co-dependent, providing the catalyst for her success.
From escaping rural poverty to charming Hollywood, her gumption, talent and grace are legendary. America discovered Parton through country icon Porter Wagoner; the Thin Man from the West Plains recognized the sassy young blonde’s potential, and their well-known story revolves around the charged power of two stubbornly brilliant artists.
Lucrative film and television production company executive, entrepreneur, philanthropist and actress, her résumé extends broadly and deeply. In one respect, Parton has literally taken her business full circle. Through the ever-expanding Dollywood and its restaurant, water-park and other subsidiaries, she transformed the hills and valleys of her hardscrabble Sevier County upbringing into one of the nation’s top tourist destinations. According to dollypartonmusic.net, her theme park draws approximately 4.5 million visitors annually to Pigeon Forge, Tennessee. Her ventures don’t just entertain: The Smokey Mountains haven’t employs more than 3,000
people, providing economic stability to an area once awash in poverty.
As a philanthropist, Parton has a very real sense of purpose and subsequent impact. Her most visible altruistic endeavor, the Dollywood Foundation, promotes children’s literacy throughout the United States and Canada. The organization provides one new book each month for preschool children in more than 800 communities and 41 states; in 2007 alone, the foundation distributed more than five million books.
Named a BMI Icon in 2003, Parton’s songwriting catalog provides the structural base of her empire. Songs including “Nine to Five,” “Coat of Many Colors,” “Jolene,” “I Will Always Love You,” “Joshua,” “Two Doors Down” and “Yellow Roses” are enduring classics, written by Dolly alone. Amidst contemporary country music’s distinct collaborative approach to songwriting, her well-documented propensity to write alone provides empirical insight into her intelligence and depth. The Songwriters Hall of Fame welcomed her in 2001, and in 2007 bestowed its prestigious Johnny Mercer Award upon her.
Her buoyancy in an industry that consumes both its young and old underscores her brilliance. The Country Music Hall of Famer has earned seven Grammys, ten Country Music Association Awards, five Academy of Country Music Awards and three American Music Awards, while Tinsel Town honored the *Best Little Whorehouse in Texas*, *Steel Magnolias* and *Nine to Five* star with a home on the Hollywood Walk of Fame.
However, Parton’s contributions transcend time and industry, evidenced by her numerous honors reserved for architects of the cultural fabric of a nation: The Library of Congress recognized her with the Living Legend Award in 2004; in 2005, she received a National Medal of Arts. The following year, the Kennedy Center for the Performing Arts also touted her considerable accomplishments.
Legend. Icon. A lifetime of singular achievement. These retrospective honors pay fitting homage but also imply a finality that neglects Parton’s contemporary potency. In short, Parton still creates, both relevantly and feverishly. She is frighteningly prolific. In addition to promoting *Backwoods Barbie*’s release and no. 2 debut on the *Billboard* country charts, she is composing the original music and lyrics for Broadway’s production of *Nine to Five*. An aura of expectancy surrounds her.
When asked about her tangential successes in film and other media, she once told *Rolling Stone*, “Everything is based on a song.” Songs are her therapy, her inspiration and her gifts to the entire world. Her newest autobiographical gem offers humble glimpses into Dolly Parton’s iconic life — a life unlike any other:
“I’m just a ‘Backwoods Barbie,’
Too much makeup, too much hair
Don’t be fooled by thinkin’
That the goods are not all there
Don’t let these false eyelashes
Lead you to believe
That I’m as shallow as I look
Because I run true and deep”
*Elisabeth Dawson is on the editorial staff of MusicWorld.*
BMI Educates and Entertains at SXSW 2008
The South By Southwest Music Conference and Festival commandeered the streets and venues of Austin, Texas March 7-16. BMI sought to educate and entertain through indie-endowed showcases, insightful panels in both the film and music portions of the conference and invitation-only industry mixers. BMI firmly underscored its widespread presence at the festival with a red-letter bill on Friday, March 14, at the newly refurbished Austin Music Hall. The marquee lineup featured revered singer/songwriter Bruce Robison, the incomparable Shelby Lynne, wry swing-king Junior Brown and twang-rock favorites Reckless Kelly.
BMI’s Doreen Ringer Ross moderated SXSW’s “Conversation with Moby” on Tuesday, March 11. The internationally distinguished musician discussed his music’s relationship with cinema, the challenges and rewards accompanying the composition of original scores and his new project, “Moby Gratis,” which seeks to offer his music to independent filmmakers free of charge. Pictured are (l-r): Kobalt Music Publishing’s Suzanne Moss and Moby, with BMI’s Doreen Ringer Ross and Anne Cecere.
Nashville’s American Bang brought their boisterous southern rock to the BMI-sponsored Girls Rock Camp Austin showcase March 12. Pictured are (l-r): American Bang’s Ben Brown, Jaren Johnston and Neil Mason, BMI’s Beth Mason and American Bang’s Kelby Ray.
Junior Brown’s rollicking set at BMI’s Friday night Austin Music Hall show was a highlight of the festival.
After a successful panel on March 9 traversing the contemporary issues surrounding music and film, BMI’s Doreen Ringer Ross hosted her annual dinner at Austin favorite, Manuel’s. Pictured at the intimate gathering are (l-r): panel participant and composer Alex Wurman, Doreen Ringer Ross, director and panel contributor Jody Lambert, with Woodstock Film Festival co-founder Laurent Rejto, songwriter and panel participant Dennis Lambert and filmmaker Ron Mann seated in front.
BMI presented popular SXSW panel “Songwriters Tell Tales,” Thursday, March 13. Moderated by BMI’s Jody Williams, the in-depth discussion delved into the business and art of both intellectually and lucratively successful songwriting. The panel relied on a diverse hive of creative minds, including Kelly Willis, Shawn Phillips and Chip Taylor. Pictured below are (l-r): Jody Williams, Chip Taylor, Kelly Willis, Shawn Phillips and BMI’s Phil Graham.
Passionate Latin rockers Circo graced BMI’s Club de Ville showcase stage Thursday, March 13. Pictured after the performance are (l-r): BMI’s Marissa Lopez, Circo’s Fote and Orlando, BMI’s Porfirio Pina, with Circo’s Javier Romero and Tristan Reyes.
Los Angeles trio the Dollyrots brought hearty doses of sass and spunk to the BMI Club de Ville showcase. Pictured below are (l-r): BMI’s Tracie Verhinde, the Dollyrots’ Chris Black and Kelly Ogden, BMI’s Myles Lewis and the Dollyrots’ Luis Cabezas.
Twangy roots rockers Reckless Kelly delivered a signature scorching set at the Austin Music Hall. Pictured at the show are (l-r): Reckless Kelly’s Jimmy Mcfeeley, ME Television’s Kevin Conner, Reckless Kelly’s Willy Braun, Jay Nazz and Cody Braun, with BMI’s Mark Mason.
Shelby Lynne delivered a scorching set, stacked with tunes from her recent release, Just A Little Lovin’, a tribute to Dusty Springfield.
Little Jackie delivered savvy contemporary r&b during her set at Club de Ville. Pictured (l-r) are BMI’s Charlie Feldman, Little Jackie, S-Curve Records’ Steve Greenberg and BMI’s Nick Robinson.
BMI’s Acoustic Brunch offered fresh brunch fare and warm acoustic sounds, as ten up-and-coming BMI singer/songwriters performed 15-minute snap-shot sets on the lawn of the Four Seasons Friday. Pictured are (l-r): BMI’s Casey Robison, Billboard’s Brian C. Kennedy and Jonathan Cohen, performers Kaki King and Eldar, with BMI’s Samantha Cox.
Mark Ronson was still a teenager when he began doing DJ work around Manhattan’s club scene, and within a few short years, the unique mix sensibilities of the London-born, Soho-based producer made Ronson one of the most in-demand names in hip-hop circles, garnering party invites from the likes of Tom Cruise (for whom Ronson remixed the *Top Gun* theme). While the exposure may have been good for business, Ronson realized that “music is too important to me to be known eternally as that ‘celebrity DJ guy’” and he soon began devoting his full attention to recording and producing.
In 2003, Ronson issued his first collection, *Here Comes the Fuzz*, a smattering of hip-hop sides that included the single “Ooh Wee” featuring Ghostface Killah and Nate Dogg, which reached the UK’s Top 20. When his label, Elektra, was swallowed up as part of a merger a year later, Ronson formed his own imprint, Allido Records.
Rather than immediately issue a follow-up, however, Ronson went to work mixing for others. In 2006, a Ronson-produced cover of Lewis Taylor’s “Lovelight” for Brit star Robbie Williams made it all the way to the UK Top 10. That track served as a prelude to Ronson’s biggest credit to date: Amy Winehouse’s sophomore effort *Back to Black* and its worldwide smash “Rehab,” which wound up scoring a trio of Grammy awards including Record of the Year and Song of the Year, while giving Ronson himself the coveted title of Producer of the Year.
“I was really inspired when I first met Amy,” says Ronson of the *Back to Black* sessions. “I asked her what she wanted her record to sound like and she said, ‘All I listen to is ’60s jukebox pop music.’ Some of it I knew, like the Shangri Las, and some of it was really obscure. That was really just an interesting thing to embark on to start. We were just sitting in my little studio in New York, demoing all this stuff and being excited because we liked it.”
After a four-year pause, last spring Ronson finally issued his second solo album, *Version*, which finds the producer expanding his cover territory to include everything from Coldplay (“God Put a Smile on My Face”) to The Jam (“Pretty Green”) and featuring guest vocals from a star-studded cast of clients, including Williams, Dirt McGirt (aka ODB) as well as songwriter Lily Allen. *Version* has since gone double-platinum in the UK (with sales of over 600,000), enabling Ronson to snag a Brit Award for Best Male Artist.
The grab-bag of styles that distinguishes *Version* is reflective of Ronson’s diverse musical background (the stepchild of Foreigner guitarist Mick Jones, Ronson grew up with one ear on British rock and the other hip-hop and electronica). “I’ve always tried to skip genres and incorporate different styles,” he says, “and with *Version*, I’ve taken these songs that I love and turned them into Motown/Stax ’70s versions. I keep the utmost respect and appreciation for the original songs I use. I’m just trying to find something in it, add something to the arrangement or change a groove.”
Case in point: Ronson’s notable remix of Bob Dylan’s 1966 *Blonde on Blonde* cut “Most Likely You’ll Go Your Way (And I’ll Go Mine),” which appeared as a limited bonus disc for the three-disc *DYLAN* set issued in late 2007. Initially, the track’s old-school production value proved to be something of a challenge for Ronson, as Dylan’s lead vocal included ample leakage from the live backing. His solution: Make all the new ingredients much louder with added percussion thrown in for good measure. The resulting mix lends a distinct funkiness to the 40-year-old classic (and garnered an enthusiastic thumbs-up from the Bard himself).
“I didn’t want to make it like, ‘Oh check it out, Bob Dylan goes hip-hop,’ that would have been really cliché,” Ronson recently told *Rolling Stone*. “I’m under no illusions that it’s better than the original. It’s just another approach to that song. There’s always gonna be people who cry sacrilege . . . but I like to think that I did something interesting and cool with the track.”
Dave Simons is a faculty advisor for Songwriter101.com and is the author of “Studio Stories: How the Great New York Records Were Made” and “Read the Beatles: Classic and New Writings on the Beatles, Their Legacy, and Why They Still Matter.”
After 10 years and a half-dozen gold and platinum albums to its credit, in 2004 Radiohead approached its label, looking to renegotiate its contract. “We didn’t ask for a load of cash to re-sign,” said songwriter/guitarist Thom Yorke, leader of Britain’s electronic-pop kingpins. “What we wanted was some control over our work and how it was used in the future by them; that seemed reasonable to us, as we cared about it a great deal.”
But when the two parties couldn’t see eye to eye, Radiohead decided to venture into the world of Internet independence. With the release of the much-anticipated seventh effort, *In Rainbows*, the Oxfordshire-based band is seemingly none the worse for wear. Initially offered as a digital download only, *In Rainbows* reportedly moved 1.2 million copies on its first day online (a physical package arrived in stores a short time later). Removing themselves from the big-label chain of command allowed the group to have their album up and running within days of completing the mastering job.
In reality, Radiohead’s latest mode of delivery is perfectly in keeping with a band that has long maintained an accessible online presence, including faithfully blogging to fans about upcoming shows and other news (notice of a free *In Rainbows* release performance even sported an interactive London street map). Perhaps the most eye-raising move was allowing fans to select their own price for the music they purchased, a highly egalitarian concept conceived by the band’s manager that even Yorke initially had qualms with. “But it was really good,” Yorke told Talking Head David Byrne in a recent *Wired* magazine interview. “It wasn’t nihilistic, implying that the music isn’t worth anything at all; it was the total opposite. And people took it as it was meant. Maybe that’s just people having a little faith in what we’re doing.”
Radiohead — Yorke, brothers Johnny Greenwood (lead guitar) and Colin Greenwood (bass), guitarist Ed O’Brien and drummer Phil Selway — formed in the mid-‘80s as Oxfordshire high-school students under the moniker On a Friday. Signing with EMI in 1991, the band changed its name to Radiohead (from a title of a Talking Heads tune) and released its debut album, *Pablo Honey*, two years later. Though slow out of the gates, the unexpected success of the debut single, “Creep,” eventually made *Pablo Honey* a platinum seller.
The band continued the trend with 1995’s *The Bends*, featuring the MTV-rotated “Fake Plastic Trees” and “Just,” also aided by a triumphant tour with heroes REM. With 1997’s *OK Computer*, Radiohead exploded into the global mainstream. Employing a more experimental and moody sound, *OK Computer* remains one of the definitive pop works of the past 20 years and marked a creative turning point for songwriter Yorke, whose tracks “No Surprises,” “Karma Police” and “Paranoid Android” would serve as stylistic touchstones for artists like Coldplay and Muse. A concerted effort to deviate from the commerciality of *OK Computer*, the challenging, heavily electronic *Kid A* (2000) yielded no hit singles yet still went platinum and scored a Grammy nod for Best Alternative Album, while 2001’s *Amnesiac*, which included tracks remaindered from the *Kid A* sessions, provided the band with its biggest single to date, the Top 20 smash “Knives Out.”
Two years in the making, *In Rainbows* marks a return to a more organic, guitar-based sound, and has garnered unanimously positive reviews in the process. “Jigsaw Falling into Place,” the album’s lead-off single, is fast and propelling, and is matched by aggressive, riff-based tracks like “Bodysnatches,” as well as the ethereal “Weird Fishes/Arpeggi” and “Reckoner.” As Yorke explained to *The Independent*’s Christoph Dallach, *In Rainbows* was a conscious effort “to describe in 45 minutes, as coherently and conclusively as possible, what moves us. It is, at least in our opinion, our classic album, our *Transformer*, our *Revolver*, our *Hunky Dory*.”
While touting the benefits of Internet marketing, Yorke freely admits that working outside of the industry mainstream is much less daunting, given Radiohead’s massive fan base. “The only reason we could even get away with this . . . is the fact that we’ve gone through the whole mill of the business in the first place. It’s not supposed to be a model for anything else. We’re out of contract, we have our own studio, and we have this new server. It was the obvious thing. But it only works for us because of where we are.”
Dave Funis is a freelance columnist and producer/owner of Funisound Studios, a New England-based recording facility.
BMI Showcases Provide a Forum for Top New Talent
BMI hosts more than 200 showcases across the U.S. and in the U.K. each year as part of its affiliate support programs. Showcasing the talents of its songwriters, composers and bands in acoustic and electric settings, these events include the Pick of the Month series in both Los Angeles and New York, BMI Sessions and Wavelength showcases in London, 8 off 8th in Nashville, BMI Presents in Nashville and Atlanta, Acoustic Lounge in Los Angeles and Noche Bohemia in New York. The songwriter/artist pictured here represent a cross-section of the extraordinary talent who performed for enthusiastic audiences at these events.
Shown at the London Wavelength showcase in February are songwriter Nick Ingram (l) of The Yeah You’s and BMI’s Brandon Bakshi.
The Duke Spirit’s Liela Moss performs live at BMI’s Pick of the Month in Los Angeles.
Latin Grammy nominee Kinky performs at a BMI showcase prior to the Latin Grammy awards in Las Vegas.
Atlanta’s Manchester Orchestra meets BMI execs prior to their BMI Pick of the Month in Los Angeles (l-r): BMI’s Tracie Verlinde, Manchester Orchestra’s Jeremiah Edmond, Robert McDowell, Andy Hull and Jonathan Corley, BMI’s Casey Robison and Joe Maggini, and the band’s Chris Freeman.
Singer/songwriter Joselyn and BMI's Porfirio Piña are pictured, below, at the BMI Presents: Noche Bohemia showcase in New York.
New group The Mores, above, delivered their delicately penned, string-lead melodies at the March edition of the BMI Sessions showcase in London.
Shown at the Travis County Troubadours showcase in Nashville are (l-r): BMI's Jody Williams, "Crossfire" co-writers Ruth Ellsworth Carter, Bill Carter and Reese Wynans, Sunny Sweeney, Bruce Robison and Monte Warden.
Mandi Perkins performs.
BMI singer/songwriter Joshua James (second from right) celebrates after his performance at BMI Presents in Utah with (l-r) BMI's Samantha Cox, Casey Robison and Tracie Verlinde.
Young composers interested in writing music for films, television and video games often ask the pros how to get started, what to do to get their music heard, how to become successful. Here’s what they should do: Study the career of Christopher Lennertz.
Lennertz, 36, is one of the fastest-rising composers in Hollywood. He scored one of last year’s top-10 grossing films, *Alvin and the Chipmunks*; has an Emmy nomination for his work on the Warner Bros. series *Supernatural*; and has achieved prominence in the game world with music for *The Simpsons*, the James Bond installment *From Russia with Love* and three of the popular *Medal of Honor* games.
It’s not just the diversity of media that Lennertz loves; he also relishes the chance to write in every genre of music. *Alvin’s* filmmakers, for example, didn’t want their score to be cartoony despite the presence of animated characters. “This was about three young orphan boys in search of a family,” he explains. “Lush, beautiful strings worked best.”
Meanwhile, on *Supernatural* — Lennertz’s third season on the hit CW series — he’s writing “ambient, orchestrally flavored horror music with a touch of world influence and a touch of electronics,” he says.
And in the ever-growing world of video-game music, Lennertz is already a superstar. Says Steve Schnur, music executive at Electronic Arts: “Chris is one of my go-to guys. He is not only a forward-thinking musical genius but a reliable, technologically minded, diverse composer whose work goes well beyond interactive media. Simply put, he understands the medium and its audience but writes music that goes beyond ‘just games.’”
Lennertz grew up in Pennsylvania playing trumpet and guitar. He traces his passion for film music to a 1992 encounter with Henry Mancini, who was scoring *Tom & Jerry: The Movie* on the old Universal scoring stage. Lennertz’s USC composition teacher was friends with the pianist on the date and suggested a visit.
“In one day, Mancini was able to do classical styles, bluegrass, big-band,” Lennertz recalls. “I thought, ‘that’s what I want to do.’ The next day, I knocked on the door of Buddy Baker,” the veteran Disney composer who was then in charge of the film-scoring program at USC. Before long, Lennertz was completing a bachelor’s degree in composition while also taking classes with such film-music luminaries as Elmer Bernstein, Bruce Broughton and Christopher Young.
The ambitious Lennertz was also interning at Roger Corman’s film company, getting on-the-job experience by writing music for low-budget thrillers. Meanwhile, friends he had made at USC’s Cinema school called him as they began getting their own first films as directors.
A fan of composer Basil Poledouris, he offered to help the composer of *Lonesome Dove* move into a new studio and wound up working for him for over two years, orchestrating and programming synthesizers. A similar gig, transcribing music for Michael Kamen on *101 Dalmatians* quickly led to orchestration work and an eight-month apprenticeship.
A music executive he met while lunching with Poledouris remembered Lennertz and called him for a 1998 Warner Bros. TV series called *Brimstone*. He got the job, and although the show was short-lived, another series, *The Strip*, followed, as did other TV projects, including *America!*, a Hallmark Channel documentary series that demanded a grand-scale orchestral approach.
That music was precisely the style sought by the producers of the *Medal of Honor* videogames, one of which (2003’s “Rising Sun”) won Lennertz the Interactive Academy Award for best original score.
His breakthrough movie was the direct-to-video *Dr. Dolittle 3*, which so impressed 20th Century-Fox executives that Lennertz subsequently landed such big-screen features as *The Comebacks* (which needed a triumphal sports anthem) and *Alvin and the Chipmunks* (including fascinating orchestral choices involving wooden mallets and reverse-tracking of percussion sounds designed to evoke the sound of falling pine needles in the forest).
Lennertz sums up his feelings about the job: “Music is a language, and I’m the member of the filmmaking team that speaks music. To me, the biggest payoff is when you feel like you’ve answered their questions — you’ve translated their story into music. You’ve added the musical piece of the puzzle to make it whole.”
Jon Burlingame writes about film music for *Daily Variety* and *The New York Times*.
Composer/producer/musician and Surco Records co-founder Gustavo Santaolalla is at the axis of a swirling sonic universe.
“Right now I’m recording on a track with Bajofondo Tango Club, working on an album with Javier García; also, a project called Terraplane, a mixture of Argentinean and Latin folk/ethnic music with electronica, and I’m trying to finish some paperwork because I’m going to Mexico tomorrow to play with Bajofondo,” he confirms.
This year’s BMI Latin Icon, he is also in the early stages of formulating the score to *On the Road*, a long-awaited film of the Jack Kerouac classic that defined the beat era of American counterculture. While the book is filled with references to Charlie Parker and bebop, Santaolalla is considering how to avoid the obvious. “I’m thinking of a different kind of score,” he laughs, “but I’m not going to tell you.” To date, Santaolalla has scored only seven films. “I’m very picky,” he concurs. These credits include two Oscar-winning scores: *Brokeback Mountain* and *Babel*, as well as *Amores Perros*, *21 Grams* and *The Motorcycle Diaries*.
Defying convention, Santaolalla will often create the music before the film is shot, with director Ang Lee’s *Brokeback Mountain* the most extreme example of this approach. “I met Ang Lee only once before I did the music. I find it better to work from a more abstract side rather than scoring ‘When the guy comes out of the car and goes into the house and we’re supposed to be scared.’ I prefer to work from what the story makes me feel, or makes me think about, and, obviously, listening to how the director perceives the story.”
The taciturn director offered few verbal clues. “Ang Lee is not a director who talks too much, and you can probably certify this with actors who have worked with him. When I met with him I had already read the story, and we were talking about guitar and strings. We were in sync, and I added it should have dissonant elements. Then I went to the studio and did it. In an interview he said he put together the narrative of the movie to the music, but it was his genius. When he did his first cut, it was magic to watch the film and see how he blended the music with the images and the story.”
Santaolalla’s signature cinema sound includes silence. “That’s been one of my trademarks. I don’t discount the possibility of doing a big symphonic piece or something more beefy because I like to explore everything. But so far I’ve tried to develop a style using an approach that [features] a minimalistic use of instruments, use of textures, and space and silence. I think you will find that in every score. *Brokeback* is not like *Babel*, but they have that in common.”
Born in Argentina in 1952, Santaolalla, while still a teenager, co-founded Arco Iris, a group that pioneered the fusion of rock and Latin American folk. In the mid-’70s, his band Soluna, which included future hitmaker Alejandro Lerner, recorded one album before Santaolalla departed for Los Angeles. In California, he played with Wet Picnic with his future Surco partner Anibal Kerpel, then briefly returned to Argentina, where he tracked his first solo record. Emerging as Latin alternative music’s preeminent record producer, Santaolalla subsequently worked with Mexican acts Fobia, Molotov, Café Tacuba, Julieta Venegas, the Colombian superstar Juanes and Argentine rock bands Divididos and Bersuit Vergarabat among many others.
Accolades, Oscars, Grammy Awards and gold and platinum records notwithstanding, Santaolalla divines a deeper purpose to his creative endeavors. “As a kid, I was going to be a priest. I had my first spiritual crisis at 14; I came with questions that had to do with if God was almighty and infinitely kind, then how could eternal punishment exist? And if the devil and hell could exist, and God couldn’t take care of it, then maybe the devil was on God’s payroll. They wanted to send me to an exorcist! But my parents were very understanding.”
“Then I started studying Eastern religion, and I joined a community and lived a monastic life between 18 and 24 years old. I was celibate, I fasted once a week and I meditated. Then I split from that and regained all of the time that I had lost at full throttle!” His creative gifts, Santaolalla shares, come with deep responsibilities. “I’ve always been on that sort of quest, that search, and I have a powerful connection. It’s a big part of who I am and why I do what I do. To affect people in a positive way is a spiritual task.”
Frequent MusicWorld contributor Dan Kimpel is a Los Angeles-based author, journalist and educator whose latest book, “Electrify My Soul: Songwriters and the Spiritual Source,” explores the axis of creativity and spirituality. Visit www.dankimpel.com.
BMI Celebrates 15 Years at Sundance Film Festival
BMI participates in the Sundance Film Festival and Sundance Composers Lab to help further the dialogue between composer and director regarding the role or character that music plays in independent film. Through its ongoing relationship with the Institute and its programs, BMI maintains a pivotal position in furthering education for both directors and composers regarding music’s role in film. Celebrating 15 years of creative input at the festival, BMI presented its annual composer/director roundtable, Music & Film: The Creative Process; its annual BMI Sundance Snowball; and its third year of programming music at Turning Leaf Vineyards Leaf Lounge.
The Black List’s director Timothy Greenfield Sanders, composer/songwriter Neal Evans and producer Elvis Mitchell with Doreen Ringer Ross.
The BMI Composer/Director Roundtable (l-r, front row): composer John Frizzell, Henry Poole Is Here; director Amy Redford, The Guitar; composer Mervyn Warren, A Raisin in the Sun; director Alex Gibney, Gonzo: The Life and Work of Dr. Hunter S. Thompson; composer Christopher Young, Sleepwalking; Sundance Composer Lab advisor George S. Clinton; director Timothy Greenfield Sanders, The Black List; composer Neal Evans, The Black List; (back row) director Patrick Creadon, I.O.U.S.A.; composer Peter Golub, I.O.U.S.A.; producer Neil Meron, A Raisin in the Sun; director Jan Schuette, Love Comes Lately; composer David Schwartz, Gonzo: The Life and Work of Dr. Hunter S. Thompson; BMI’s Doreen Ringer Ross, composer Henning Lohner, Love Comes Lately; composer Mark de gli Antoni, Roman Polanski: Wanted and Desired; and composer Christopher Anderson Bazzoli, The Wind and the Water.
Songwriter Steve Smith with singer and Sundance Composer Lab Fellow Gingger Shankar.
BMI’s Casey Robison and Tracie Verlinde, songwriter Nick Urata from the band DeVotchKa, and BMI’s Samantha Cox and Ray Yee.
Composer and Sundance Board member Kurt Bestor, Doreen Ringer Ross and Sundance Institute Executive Director Ken Brecher.
BMI’s Linda Livingston, composer/songwriter Michael Penn (Sunshine Cleaning, American Teen), Doreen Ringer Ross and agent Laura Engel.
Director Patrick Creadon, Doreen Ringer Ross and composer/Sundance Composers Lab director Peter Golub.
Director Amy Redford speaks at the BMI Composer/Director Roundtable.
Doreen Ringer Ross, Henry Poole Is Here’s composer John Frizzell and director Mark Pellington, and actress Adriana Barraza.
BMI saluted gospel greats Vanessa Bell Armstrong, Mighty Clouds of Joy and Pastor Marvin Winans at its ninth Annual Trailblazers of Gospel Music Awards Luncheon on Friday, Jan. 11, 2008. Hosted by gospel queen Dorinda Clark Cole and BMI Vice President, Writer/Publisher Relations Catherine Brewton at Rocketown in Nashville, the invitation-only celebration attracted gospel music’s premier songwriters, recording artists, music industry executives and legends.
Guests enjoyed an afternoon of fellowship and praise as live musical performances paid homage to the honorees. BMI President & CEO Del Bryant also presented an award to esteemed songwriter Percy Bady for penning gospel’s most-performed song of 2007, “Um Good.” Recorded by Grammy Award-winner Smokie Norful, the tune is the first single from Norful’s critically acclaimed October 2007 release *Life Changing*. Top gospel artists J. Moss, Kelly Price and Dave Hollister performed tributes to contemporary and traditional gospel bridge-builder Vanessa Bell Armstrong; legendary Mighty Clouds of Joy received musical laudation through performances by Keith “Wonderboy” Johnson and Rance Allen, who was also joined on stage by the Mighty Clouds members for an encore; and Pastor Marvin Winans received his musical salute courtesy of Grammy-nominated vocalist Anthony Hamilton, songwriter/musician Tommy Simms, 2007 Trailblazers honoree Fred Hammond and Lowell Pye. Performances by Marvin “Coconut” Winans, Jr., Dorinda Clark Cole, Smokie Norful and Juan Winans were also among the event highlights, while elite musical director Donald Lawrence led an all-star background choir.
BMI’s Catherine Brewton praised the dedication of the guests and honorees, saying, “BMI is extremely proud of you and all that you do to advance the Kingdom of God through gospel music. The Mighty Clouds of Joy, Vanessa Bell Armstrong and Pastor Marvin Winans: We come together to salute these trailblazers — pioneers who continue to bring us the truth of gospel music.”
Trailblazer honorees gathered onstage for a group shot (l-r): Pastor Marvin Winans; Mighty Clouds of Joy members Michael Cook, John Valentine, Richard Wallace, Ron Staples and Joe Ligon; Vanessa Bell Armstrong; BMI’s Catherine Brewton and Wardell Malloy; “Um Good” songwriter Percy Bady; and BMI’s Malik Levy.
Co-host Dorinda Clark Cole carries the audience through the presentations and performances.
BMI President & CEO Del Bryant, Catherine Brewton, Pastor Marvin Winans and Wardell Malloy (above).
J. Moss performs Vanessa Bell Armstrong's "Look Beyond My Faults." (at right).
Kindred vocalists Rance Allen (left) and Mighty Clouds of Joy's Joe Ligon (right) treat guests to a rare collaborative performance. (below).
Marvin "Coconut" Winans, Jr. gives a stirring performance in tribute to his father, Pastor Marvin Winans (above).
Keith "Wonderboy" Johnson kicks off the musical tribute to Mighty Clouds of Joy, performing "I Came to Jesus."
Anthony Hamilton (l) and Tommy Simms perform "Question Is" in tribute to Pastor Marvin Winans.
If there were an award for the comeback of the year, The Clark Sisters would be picking up the trophy. After all, the Detroit-based siblings have been steadily gathering accolades since they burst back on the scene last year with the EMI Gospel release *Live... One Last Time*.
In February, they won three Grammys: Best Gospel Performance, Best Traditional Gospel Album and Best Gospel Song. A month earlier, they swept the Stellar Awards, winning four honors, including Artist of the Year, Traditional Group/Duo, and CD of the Year for *Live... One Last Time*. "We kept saying 'If we just get one, we'll be happy'," says Jacky Clark Chisholm of the Stellar honors.
The Clark Sisters also earned four nominations for the Gospel Music Assn. Dove Awards, including Artist of the Year, scheduled for April 23 at Nashville's Grand Ole Opry house and aired live on the Gospel Music Channel.
"We had no idea this would happen," says Elbermita "Twinkie" Clark of the group's current success. "The Stellar Awards were so gratifying and then there were the Grammys. We hadn't won a Grammy. That's something my mama always wanted for us. It's something we dreamt of having and finally it happened."
"[The Grammy Awards were] something we dreamt of having," says Twinkie Clark. "And finally it happened after all of these years. It just shows that hard work pays off."
Twinkie and her siblings — Clark Chisholm, Dorinda Clark Cole, and Karen Clark Sheard — were all powerfully influenced by their mother, Dr. Mattie Moss Clark. A legendary songwriter, arranger and choir director, she founded the Clark Conservatory of Music in Detroit and was State Minister of Music for the Church of God in Christ.
"It starts with mom," says Clark Sheard, who penned the Grammy-winning hit "Blessed and Highly Favored." "Mom was a great songwriter, an anointed songwriter. . . . It was an amazing thing to see my mother developing a song. She would have six tape recorders around the around the house because when God would give her a melody, she'd have to tape it right away. She taught us, 'You'll loose that melody if you don't get it down.' When Twinkie began to write she always had a tape recorder close by the same way mom did."
Following in her mother's footsteps, Twinkie became the producer, arranger and songwriter who propelled the group's early success. She became a highly regarded songwriter in an era when there weren't many female gospel writers.
In the '70s and '80s, the group exploded with such songs as "Expect Your Miracle" and their signature tune "You Brought the Sunshine." In the years that followed, the group splintered and each sister went on to record solo projects.
In July 2006, the Clark Sisters recorded *Live... One Last Time* in Houston with producer Donald Lawrence. The project was released in April 2007 and was followed by a special edition CD/DVD release in June. The sisters then hit the road on a highly successful reunion tour, which continues through this summer.
Clark Sheard, whose daughter KiKi is continuing the family's legacy with her own recordings on EMI Gospel, says she and her sisters were initially nervous about how their reunion record would be received. "We were just thinking, 'Are they going to accept us with the new music they are hearing? Are they going to accept us doing praise and worship? Are they going to accept us doing the contemporary music?' We thought about the new generation but didn't want to lose the old listeners," she says, crediting Lawrence with helping them strike the right balance. "Having songs that appealed to all ages was a total success. It helped us to be remembered and to be accepted."
The Clark Sisters continue to work on solo projects (Clark Cole's new solo effort, *Yesterday*, was scheduled for April release) and also plan on another album together. Twinkie says the group would like to tour overseas sometime in the coming year and she'd love to see the Clark Sisters score a crossover hit. "When 'You Brought The Sunshine' crossed over, it was extremely powerful," she says. "We had no idea that people were getting saved listening to the music in clubs, bars and things like that. We're hoping that this is going to continue to happen. While there's a lot of excitement in the air and while God is blessing, we really want to try to walk in all the doors we can."
*A freelance writer based in Nashville, Deborah Evans Price covers Christian/gospel music for Billboard and is a frequent contributor to Country Weekly, CCM and other publications.*
BMI singer/songwriter Alissa Moreno was the featured entertainment at New Northwest Broadcasting’s Annual President Awards Banquet in Seattle, where each year they honor the company’s most productive sales executives. Alissa entertained the award winners as well as NNB management with songs from her new album, which includes cuts that have appeared in a number of television shows, including *Laguna Beach*, *The Hills*, *Hope and Faith*, *Wonderfalls*, *The Drive*, *How I Met Your Mother* and a variety of other projects. After her performance, the entire NNB group posed for a photo (below) with Alissa (c). Also pictured are her manager, Felice Keller (to Alissa’s right), BMI’s Dan Spears (top left) and author/coach/motivational speaker Bill Resler (to the right of Dan Spears).
Emmis Communications held its annual managers meeting recently in Indianapolis where they were treated to an intimate concert by two of BMI’s most prolific country songwriters, Dean Dillon and Scotty Emerick. The pair entertained the Emmis executives with some of their biggest hits while telling the stories behind their creations which have been recorded by the likes of George Strait, Toby Keith, Kenny Chesney and George Jones. Pictured above are (l->): BMI’s Mason Hunter, Emmis Communications Radio Division President Rick Cummings, Dean Dillon, Scotty Emerick and Emmis Communications’ CEO Jeff Smulyan.
Alissa Moreno Delivers Powerful Performance to New Northwest Broadcasters
BMI/RAB FastStart Minority Scholarship Recipient Elizabeth A. Cannon, CRMC Recruitment & Marketing Specialist, Cumulus Media-Huntsville, addresses radio industry executives during the RAB Awards breakfast this past February. Cannon thanked BMI and the RAB for providing her with the opportunity to develop and enhance her sales skills in radio industry and her personal growth.
RAB and BMI Continue ‘FastStart’ Minority Scholarship Program
BMI entered its seventh year as a sponsor of the Radio Advertising Bureau (RAB) FastStart to Radio Sales Success Minority Scholarship Program, where each year, 25 sales training scholarships are awarded to minorities in the radio industry.
Recipients may choose to attend the RAB Radio Training Academy in Dallas; the two-and-a-half-day off-campus Academy Extension course, conducted around the U.S.; or the online “Foundations,” “Selling Internet Advertising,” or “Advanced” courses. Over 150 BMI-funded scholarships have been awarded since the program’s inception seven years ago.
“We are delighted to provide these scholarships that will give 25 minorities in radio sales training from the RAB,” noted Mike O’Neill, BMI Senior Vice President, Licensing.
“With their steadfast support, BMI continues to champion diversity and training in radio,” observed Mike Mahone, Executive Vice President, Member Services, RAB. “We are grateful for their ongoing commitment to our industry and to this very important scholarship program.”
BMI Boosts NABOB Reception
BMI co-sponsored the pre-dinner reception at NABOB’s 24th Annual Communications Award Dinner. This year’s honorees included BMI songwriters Eartha Kitt, Nancy Wilson and Louis Gossett, Jr. Also honored were Idris Elba and Ne-Yo. The evening’s performance featured BMI artists Kool and the Gang. Pictured (l-r): Idris Elba; BMI’s Michael Steinberg and Jose Gonzalez; NABOB Dinner Chairperson Lois E. Wright; Louis Gossett, Jr.; Ne-Yo; BMI’s Catherine Brewton; NABOB Chairman Pierre M. Sutton; BMI’s Michael O’Neill; and NABOB’s Executive Director and General Counsel James L. Winston.
BMI Boosts RAB Convention Events
BMI songwriters Sarah Buxton and Maia Sharp recently entertained a group of 40 radio industry group executives during the RAB 2008 Convention held in Atlanta. Pictured below (l-r): BMI Board member Susan Davenport Austin, Sarah Buxton, Maia Sharp, BMI’s Michael O’Neill and NAB Executive Vice President John David.
BMI also co-sponsored the RAB’s Mentoring and Inspiring Women in Radio (MIWR) reception during the recent RAB 2008 Convention. Pictured above (l-r): BMI’s Mark Barron; Southern California Broadcasters Association President and MIWR Radio Group Executive Committee member Mary Beth Garber and RAB’s Mary Bennett and Rene Cassis.
BMI was invited to provide the musical entertainment at the Cox Television Sales Training Conference, held in Orlando, where BMI songwriter, Rock & Roll Hall of Fame inductee and founding member of The Byrds Roger McGuinn sang his hits and told the stories behind his songs to some 300 Cox executives. McGuinn wrote a number of The Byrds’ biggest tunes, including “You Showed Me,” “Eight Miles High” and “Mr. Spaceman.” Pictured after the show are (below, l-r): Cox TV’s Pat Abel, former Cox TV VP of Sales Bill Spell, Roger McGuinn, Cox TV VP of Sales Jane Williams and BMI’s Mason Hunter.
CRS New Faces Show Features BMI Talent
BMI talent dominated the lineup for the annual CRS New Faces show Friday, March 7 in Nashville. Golden girl Taylor Swift, Georgia-crooner Luke Bryan, “Alyssa Lies” scribe and singer Jason Michael Carroll and “Yee Haw” singer/songwriter Jake Owen staked their claim as the conduits for country music’s rosy future by performing before an audience of industry heavyweights and radio VIPs. Pictured above are (l-r): BMI’s Dan Spears, Eric Church, Jennifer Hanson, Casey Beathard, Dean Dillon and BMI’s Mark Barron.
McGuinn Makes Musical Magic at Cox TV Conference
BMI Continues To Connect with Associations Across the Nation
BMI sponsored an in-the-round performance by renowned songwriters Stephony Smith and Lee Thomas Miller at the Schermerhorn Symphony Center in Nashville, entertaining IMLA members (International Municipal Lawyers Association) and their new General Counsel & Executive Director Chuck Thompson. Pictured (l-r) in the first photo are BMI's Michele Reynolds and Jessica Frost; Mary Vlach, Associate Director, Membership Services, IMLA; Roger Horner, City Attorney, Brentwood, TN; Veronica Kleffner, Deputy Executive Director, IMLA; Stephony Smith; Trina Shropshire-Paschal, Associate Director for Events, IMLA; BMI's Jack Flynn and Cleve Murphy; and Lee Thomas Miller. In the second photo, Chuck Thompson greets Stephony Smith.
BMI sponsored the American Hotel & Lodging Association (AH&LA) CEO dinner attended by more than 150 of the top hotel names in the U.S. David Pack, leader of pop/rock group Ambrosia, provided entertainment for the hoteliers. Pictured (l-r) are: Shannon Nicko Adaway, Director, Convention & Events, AH&LA; David Pack; and BMI's Michele Reynolds.
In January, BMI provided the musical-entertainment for the Florida Restaurant & Lodging Association (FR&LA) Winter Board Meeting & Installation Banquet, attended by new National Restaurant Association (NRA) President & CEO Dawn Sweeney. Pictured above (l-r): Carol Dover, President & CEO, FR&LA; Dawn Sweeney; BMI's Cleve Murphy; and Richard Turner, General Counsel, FR&LA.
In February, BMI made a presentation to restaurateurs at the International Blues Challenge (IBC) in Memphis. The world's largest gathering of blues acts represents an international search by The Blues Foundation and its affiliated organizations for the blues band and solo/duo blues artists ready to take their act to the international stage. IBC Executive Director Jay Sieleman (r) is pictured here with BMI's Jack Flynn.
Song Stars. BMI and *The Los Angeles Times* held their second annual "How I Wrote That Song" songwriter panel in Los Angeles on Saturday, February 9 at the Key Club. The sold-out event featured an elite cross-section of established hitmakers, including Rodney Jerkins, Chris Daughtry, Fat Joe, Ben Moody of Evanescence, Polow Da Don, Anthony Hamilton and Brian Howes. Pictured at the event are (l-r, front): BMI's Myles Lewis and Barbara Cane; Chris Daughtry; BMI's Catherine Brewton, the LA Times' Ann Powwers, Anthony Hamilton; BMI's Tracie Verlinde and Byron Wright; (back row) BMI's Samantha Cox; Hinder's Cody Hanson; Rodney Jerkins; Hinder's Austin Winkler; BMI's Ian Holder; Polow Da Don; Brian Howes; Ben Moody; Fat Joe; BMI's Phil Graham and Malik Levy.
Putting The Wammie On Them. BMI was once again a key sponsor of WAMA's (the Washington Area Music Association) annual Wammies in February, celebrating the top talent in the Washington, DC area. Pictured at the event are (l-r): WAMA's Mike Schreibman, SAW's (Songwriter Association of Washington) Jean Bayard and BMI's Fred Cannon, who praised the organization for its "long record of support for the Washington-area music community."
Praising Famous Men. BMI proudly sponsored the after party for the inaugural Musicians Hall of Fame induction ceremony in Nashville. After honoring the members of the A Team, the Blue Moon Boys, The Tennessee Two, the Funk Brothers, The Memphis Boys and the Wrecking Crew at the Schermerhorn Symphony Center, the revelers moved to the Musicians Hall of Fame to continue the celebration. Pictured at the event are (l-r): host Creed Batton, the Musicians Hall of Fame's Joe Chambers, guitar legend Scotty Moore and BMI's Jody Williams.
Ghent Fest. A major part of the 34th Ghent Film Festival was the seventh edition of the World Soundtrack Awards, which bestowed BMI's Clint Mansell with its Best Original Soundtrack of the World and People's Choice Award for *The Fountain*. Also included in the evening was The Flemish Radio Orchestra, conducted by Dirk Brosse, who performed top quality film music for a sold out concert hall. Both the ceremony and the concert were hosted by world famous composers such as David Arnold, Alberto Iglesias, Clint Mansell, Maurice Jarre and Daniel Tarrab. Pictured (l-r) are: composer Steve Barton, agent Rob Messinger, Clint Mansell, BMI's Doreen Ringer Ross, and composers David Arnold, Mychael Danna and Harry Gregson-Williams.
Viva Las Vegas. BMI, along with Heineken and NocheLatina.com, hosted the second annual “Noche de Estrella” bash in Las Vegas, celebrating BMI’s 2007 Latin Grammy nominees. The event, held the night before the Latin Grammy’s at the Jet nightclub at the Mirage resort, featured live performances by Kinky and Alejandra Pastrana, and appearances by Heineken’s “Estrella” contest winners. Pictured in the photo above are (l-r) are Kinky’s Ulises Lozano, S1TV’s Malverde, Kinky’s Gilberto Cerezo, BMI’s Porfirio Piña, Kinky’s Omar Gongora and Cesar Pliego, BMI’s Marissa Lopez and Kinky’s Carlos Chairez. The photo at right shows (l-r): Alejandra Alberti, Porfirio Piña, Latin Grammy winner Sebastian Krys, Marissa Lopez, and Christina Castrillon.
Beautiful People. Singer/songwriter James Blunt (r) received his 2007 BMI Internet Award for the song “You’re Beautiful,” co-written with Amanda Ghost and Sacha Skarbek, during a visit with BMI’s Nick Robinson. “You’re Beautiful” received the most plays on BMI-licensed websites for the past year and was the first song to receive this honor at BMI’s London Awards. Blunt was also presented with BMI Pop Awards for the songs “High” and “Goodbye My Lover.”
Lounging Around. BMI rang in the New Year in true acoustic fashion at The Acoustic Lounge, held January 7 at Genghis Cohen. The showcase, which is free and open to the public, is held on the first Monday of the month. BMI presented four talented singer/songwriter at this year’s first installment: Nicholas Alan, Xolie Morra, Leslie of Leslie and the Badgers and Audra Hardt. Shown after an SRO are (l-r): BMI’s Joe Maginni, Nicholas Alan, Xolie Morra, Leslie, BMI’s Anne Cecere, Audra Hardt and and BMI’s Casey Robison.
Hitmakers. Well-wishers and hardy revelers gathered at BMI's Music Row offices to cheer one of Nashville's most beloved singer/songwriters, Ronnie Bowman. A powerful bluegrass vocalist and prolific BMI songwriter, Bowman co-penned Kenny Chesney's recent No. 1 hit, "Never Wanted Nothing More," with good friend and fellow versatile talent Chris Stapleton. Pictured are (l-r): Sony ATV's Troy Tomlinson, BMI's Jody Williams, Chris Stapleton, Ronnie Bowman and Kenny Chesney.
Enemy Troops. BMI sponsored a Recording Academy screening of the documentary Public Enemy: Welcome to the Terrordome at the Director's Guild in New York. Following the screening, BMI's Charlie Feldman moderated a Q&A featuring some of the film's principals. Pictured (l-r) are: Terrordome producer Walter Leaphart, Public Enemy's Professor Griff, Charlie Feldman and Public Enemy's Chuck D.
Keynoters. BMI was a sponsor of the Billboard/Hollywood Reporter Film & TV Music Conference, held at the Beverly Hills Hilton in Los Angeles. BMI sponsored the opening keynote with composer Alan Menken and moderator Richard Kraft of Kraft-Engel management. Pictured (l-r) are: BMI's Linda Livingston, Richard Kraft, Billboard magazine's Tamara Conniff and Alan Menken.
They Got To Woodstock. BMI hosted a "Music for Film" panel at Utopia Studios in the Bearsville Theater Complex in Woodstock, NY. The panel was one of many events surrounding the annual Woodstock Film Festival, held in the Catskills in upstate New York, which presented a full line-up of 150 "fiercely independent" films, panels, concerts, parties and special events. Pictured (l-r, back): composers Brett Morgan and William Ross, animator Bill Plympton, director Todd Kwiat, singer/songwriter John Sebastian, (seated) composer/producer David Torn, BMI's Doreen Ringer Ross, who moderated the panel, and Woodstock Film Festival founder Meira Blaustien.
**Excellent Event.** Univision’s 20th Anniversary of Premio Lo Nuestro (Excellence in Latin Music), held at the American Airlines Arena in Miami, attracted Latin music’s biggest stars. The televised live event, considered one of the most prestigious award ceremonies in the world to honor Latin music, feted such BMI luminaries as Ricky Martin (Album of the Year), BMI Icon Juan Luis Guerra (Best Male Artist and Song of the Year, “Bendita La Luz,” with Mana), Intocable (Regional Mexican Album of the Year, Band or Duo of the Year), Sergio Vallin of Mana (Artist of the Year for Mana) and AB Quintanilla III presents: Kumbia Kings (Best New Artist Nominee). Shown at the event are award nominee and presenter Gloria Estefan and BMI’s Jake Cavazos.
**Inner Circle.** BMI hosted the Songwriter’s Circle at New York’s famed Bitter End in March, with guest songwriters John Oates, Hugh Prestwood, Kylie Sackley and Jeff Cohen. Pictured at the SRO event are (l-r, seated): Kylie Sackley, Songwriter’s Circle creator Tina Shafer, Jeff Cohen, John Oates, (standing) singer/songwriter Rickie Trudeau, the Songwriter’s Circle’s Shai Navon, guest, Hugh Prestwood, and BMI’s Charlie Feldman.
**Snowed In.** Moments before stepping onstage at their “Little Noise Sessions” acoustic gig at the Union Chapel in north London, Snow Patrol’s Gary Lightbody and Nathan Connolly were presented with BMI Awards for achieving over a million combined U.S. performances of their hits “Chasing Cars” and “Hands Open.” The performance was held to benefit Mencap, the United Kingdom’s leading learning disability charity. Pictured backstage are (l-r): BMI’s Nick Robinson, Gary Lightbody, Nathan Connolly and BMI’s Tabitha Capaldi.
**Like Father, Like Son.** Salvador Santana, son of legendary Grammy winner and BMI Icon Carlos Santana, paid a visit to BMI’s Los Angeles office to talk about his forthcoming album, *558*. Since forming in early 2004, the Salvador Santana Band (SSB) has been on a mission to take its music to the people. Much like his father’s band, Salvador’s group is dedicated to the art of fusion, both culturally and musically. Pictured are (l-r): BMI’s Marissa Lopez, Santana, and BMI’s Casey Robinson.
**Good Folks.** The 2008 edition of the Folk Alliance Conference took up residency at the Marriott hotel in downtown Memphis February 20-25. BMI’s showcase featured a slew of clever troubadours, including Los Angeles’ Bill Reveles, New York City’s Natalia Zukerman, Brooklyn’s Nels Andrews, Memphis’s Giant Bear, Nashville’s Garrison Starr and Ford Turrell, along with Madisonville, Kentucky’s Tommy Womack. Pictured are (l-r): singer/songwriters Ford Turrell and Tommy Womack, manager Mary Sack and BMI’s Bradley Collins.
Spreading Holiday Cheer. Songwriter Eric "Bluetooth" Griggs of Underdog Entertainment joined BMI in co-hosting a festive holiday party in Los Angeles on December 10, 2007. Along with the holiday cheer, the BMI holiday event brought forth a giving atmosphere, as donations were made to the Toys for Tots Organization. Griggs is pictured in the photo at top right with BMI's Catherine Brewton. Shown in the photo above with Catherine Brewton are (l-r) Capitol recording artist Latoya and Geffen recording artist Slim Thug, while in the photo at bottom right, Brewton greets songwriter Makeba Riddick.
Hallmarks. Bob DiPiero, Lester Flatt & Earl Scruggs and Hank Williams, Jr. were honored for their songwriting contributions and welcomed to the esteemed ranks of the Nashville Songwriters Hall of Fame during the 38th Annual Hall of Fame Dinner and Induction Ceremony held Sunday, October 14. In addition to the Nashville Songwriters Hall of Fame inductions, the hall's sister organization, the Nashville Songwriters Association International (NSAI), presented its annual Songwriter Achievement Awards, and the BMI winners jumped together for a class of 2007 photo. Pictured at the ceremony are (l-r, back row) Bobby Pinson, BMI's Jody Williams, Bob DiPiero, Taylor Swift, Earl Scruggs, Bill Anderson, Jamey Johnson, Flatt's widow Gladys Flatt and granddaughter Tammy Brumfield, with Shawn Camp; (front row) Chairman of the Nashville Songwriters Hall of Fame Foundation Roger Murrah, Luke Bryan, Jeff Hanna, Sarah Buxton and Bobby E. Boyd.
Eclectic Event. BMI's March edition of the Acoustic Lounge series boasted a provocative lineup of soul, folk and Latin-tinged artists poised for a breakthrough. Held at Genghis Cohen in Hollywood, the event featured singer/songwriters Nettie Rose, Ignacio Val, Duane Neillson and Richard Harris. BMI's Acoustic Lounge takes place the first Monday of each month, is free and open to the public. Pictured at the March event are (l-r, back) BMI's Barbara Cane, Ignacio Val, BMI's Marissa Lopez, Duane Neillson, Nettie Rose, Richard Harris, BMI's Casey Robinson; (front) BMI's Myles Lewis and Tracie Verlinde.
London Bridge. BMI saluted Europe's premier songwriters, composers and music publishers at its most recent London Awards, held in the Grand Ballroom of London's Dorchester Hotel. During the Film & Television Awards portion of the evening, Alexandre Desplat (SACEM) garnered multiple awards in recognition of his composing skills for *The Queen* and *The Painted Veil*, while David Arnold (PIAS) was honored for scoring the latest in the James Bond series, *Casino Royale*. Pictured at the event are (l-r): BMI's Del Bryant and Doreen Ringer Ross, Alexandre Desplat, David Arnold and New Line Cinema's Paul Broucek.
Riding High with Ramon. Superstar Norteño songwriter, accordionist and vocalist Ramon Ayala recently performed a sold-out show at the Los Angeles Gibson Amphitheatre, where he was greeted backstage by BMI's Delia Orjuela and Marissa Lopez. Ayala has defined Norteño music with the signature songs and definitive instrumental stylings that have made him a superstar on both sides of the Rio Grande. Shown backstage after the show are (l-r): Marissa Lopez, songwriter Antonio Zamora, Ramón Ayala, and Delia Orjuela.
Starstruck. Los Horoscopos de Durango — Vicky and Marisol Terrazas — met with BMI executives, peermusic publishing execs, radio execs and songwriters after their Los Angeles show at the Nokia Theatre, where they opened for Conjunto Primavera. Pictured (l-r): songwriters Oswaldo Villareal and Adrian Pieragostino, BMI's Delia Orjuela, Vicky Terrazas, BMI's Marissa Lopez, peermusic's Yvonne Gomez, Marisol Terrazas, songwriter Manelik Martinez, and (kneeling) songwriters Ernesto Cortazar and Edgar Cortazar.
Fest Faves. BMI proudly sponsored the 22nd Annual Frank Brown International Songwriters Festival this year in Gulf Shores, Alabama, offering showcases featuring a tiptop grab-bag of Nashville country and innovative pop songwriters, including Bob DiPiero, Bobby Pinson, Rodney Clawson, Trent Tomlinson, Max T. Barnes, Tim James, Kendall Marvel, John Leventhal, Vic Young, Trent Dabus, Sam Ashworth, and Betsy Roo. Pictured are (l-r, back row): BMI's Perry Howard, Bobby Pinson, Bob DiPiero, Rodney Clawson and Jeff Stevens; (front row) BMI's Harry Warner, Max T. Barnes and Tim James.
Grusin Honored. Composer Dave Grusin was honored as a Society of Composers & Lyricist (SCL) Ambassador at the organization’s holiday party in Los Angeles. The SCL Ambassador Program was created to recognize and acknowledge a select group of composers and lyricists whose musical contributions have greatly developed, strengthened and influenced the artistic community, while wholly benefiting our society. Their achievements are used as standard for future generations of film composers and songwriters. Shown at the event are (l-r): SCL's Ray Colcord, BMI's Doreen Ringer Ross, Dave Grusin, and BMI's Alison Smith.
Studio Session. Puerto Rican siren and merengue superstar Melina León recently made her way to peermusic studios in Miami for a writing session with Sony BMG Columbian rocker Alicastro for her upcoming album. Shown in the studio are (l-r): Alicastro, Melina Leon, BMI's Jake Cavazos.
Master-Full. Writers who participated in this year’s BMI Lehman Engel Musical Theatre Workshop Master Class got together recently for a group shot. Pictured (l-r): are Diane Daltner; Andy Karl, John Kander, composer of Chicago, Cabaret and Curtains; David Yazbek, composer-lyricist of Dirty Rotten Scoundrels and The Full Monty; moderator and Workshop Steering Committee member David Spencer; Robert Yarnall; Fred Thaler and BMI's Jean Banks.
Carrie On. Hit recording artist Carrie Underwood may now add the moniker “hit songwriter” to her bejeweled resume, as the pop culture phenomenon celebrated her first self-penned No. 1 hit, “So Small,” at BMI’s Music Row offices. Underwood co-wrote the uplifting tune with fellow BMI songwriter Luke Laird and Hillary Lindsey, and it marks her fifth consecutive residency atop the charts. During the presentation, BMI’s Jody Williams praised the dedication and skill of Underwood’s behind the scenes team, which includes Ogleby Writer Management’s Chris Ogleby, producer Mark Bright, Joe Galante and his staff, 19 Management’s Ann Edelblute and all of Edelblute’s 19 Management colleagues. Pictured are (l-r): Ogleby Writer Management’s Chris Ogleby, Luke Laird, Hillary Lindsey, Carrie Underwood, BMI’s Shelby Kennedy and Jody Williams, producer Mark Bright, RCA’s Joe Galante and CMA’s Tammy Genovese.
Casey Connects. BMI hosted a lively party in its Music Row lobby for serial hitmaker Casey Beathard and the rest of the creative hive behind Kenny Chesney’s multi-week no. 1 hit, “Don’t Blink,” co-penned with Chris Wallin. Pictured at the late afternoon bash are (l-r): BMI’s Jody Williams, co-writer Chris Wallin, Casey Beathard, producer Buddy Cannon and Sony ATV’s Troy Tomlinson.
KT Connects. Singer/songwriter KT Tunstall was presented with two BMI Million-Air awards when her songs “Black Horse and the Cherry Tree” and “The Way I See” achieved a combined total of 12 million U.S. performances. The awards were presented before one of two sold out shows at The Roundhouse in London in support of her second album, Drastic Fantastic. Tunstall (c) is pictured receiving her awards from BMI’s Nick Robinson and Tabitha Capaldi.
Riding The Wave. The March BMI Wavelength showcase, held at The Regal Room in London’s The Distillers club, continued its history of showcasing the finest acoustic singer/songwriters in the UK. Catherine Tran, pictured in the photo at left with BMI’s Nick Robinson, played an intricate acoustic set. Brown Music served up a blend of urban feel-good music. Pete du Pon delivered a moving set of introspective melodies while Kamilla Thompson, pictured in the photo above with Nick Robinson, paid homage to her musical tradition with a striking performance.
Sing-ular Event: Critically acclaimed singer/songwriter Jim Bianco recently made a stop at the BMI L.A. office to serenade the staff with songs from his new album, Sing. Bianco’s music has also been aired on radio, placed in movies such as Waitress, and on Bravo and HBO. Pictured (l-r): Dan Berliant and Josh Sanderson of Black Sand Music; BMI’s Joe Maggini, Linda Livingston, Myles Lewis and Barbara Cane; Jim Bianco; and co-producer and bandmate Brad Gordon.
They Know The Score. BMI Film/TV executives Doreen Ringer Ross and Ray Yee were guest speakers at the University of Southern California’s (USC) Scoring for Motion Pictures and Television class taught by author Jon Burlingame. BMI composer Chris Lennertz joined the two in speaking about the role of the composer as well as his career. Pictured after the class are (seated) Chris Lennertz and Ray Yee with (standing) Brian King, USC, Director, Scoring for Motion Pictures & Television, Doreen Ringer Ross and Jon Burlingame.
‘Easy’ Does It. Music Row gathered in a wintry sport paradise to celebrate Dierks Bentley’s fifth No. 1 hit, “Free and Easy Down the Road I Go.” Co-writers Robbie Harrington and Brett Beavers were on hand along with conspirators Rodney Janzen and Bentley, as well as a slew of industry well-wishers. The Sommet Center’s ready-and-waiting hockey rink provided the unique backdrop, and revelers were treated to a hockey match featuring Bentley himself following the party. Pictured are (l-r): BMI’s Jody Williams, Robbie Harrington, Brett Beavers, Dierks Bentley, Capitol’s Mike Dungan and BMI’s Bradley Collins.
Big Picture. Celebrated composer David Newman recently raised his baton to conduct the Hollywood Bowl Orchestra for “The Big Picture: The Films of Paramount Pictures.” The event, held at the Hollywood Bowl, commemorated the 95-year legacy of the movie house giant with film music performed live. Featured were works from movies ranging from 1927’s Wings to 2006’s Dreamgirls. Pictured (l-r) are: Carol Goldsmith (widow of Jerry Goldsmith), BMI’s Doreen Ringer Ross, event host Leonard Nimoy, and David Newman.
Speaking of Music. BMI sponsored a panel entitled “Los Artistas Hablan” (The Artists Speak) at the inaugural Puerto Rico Music Business Conference, the first music business-oriented event in Puerto Rico. The panel, which featured BMI’s Delia Orjuela, Jerry Vila and Joey Mercado along with Randy Luna of Randy Luna Entertainment, drew participants from around the globe. Shown after the panel are (l-r): Delia Orjuela, Randy Luna, Jerry Vila and Joey Mercado.
Party On. BMI celebrated a record-breaking year by spreading the holiday spirit with some of the Latin music community's finest singer/songwriters and industry professionals, marking the first annual holiday soiree held by the BMI Miami office. The event was held at South Beach Macarena, and featured performances by artists such as Jacob Groten and Manolo & Los de Lucia. Pictured (l-r): BMI's Jake Cavazos, Billboard's Lolla Cobo and songwriter/producer Sebastian Krys, winner of Latin Grammy Award for Producer of the Year.
Big Deal. The Big State Festival invaded Texas World Speedway in Bryan/College Station, Texas, and BMI proudly sponsored the inaugural event, which married country lifestyle and music through two days of non-stop barbeque, stock-car racing and performances by over 50 artists, including BMI's Willie Nelson, Tim McGraw, Roger Eardle, Keen and Miranda Lambert. BMI presented a stage featuring Monte Warden, the Ginn Sisters, the Barbwires, the Gougers, Drew Kennedy, Colin Gilmore, Mark McKinney, Blue Mother Tupelo, Jerrod Niemann, Sunny Sweeney and Granger Smith. Pictured in the photo at left are (l-r) BMI's Bradley Collins and Mark Mason, with Blue Mother Tupelo's Ricky and Micol Daniels. Pictured in the photo above are (l-r): CMT's Craig Shelbourne and BMI's Mark Mason with Reckless Kelly's Willy and Cody Braun.
Finn-tastic. New Zealand's Liam Finn was feted by BMI as its February choice for the Pick of the Month showcase, held at Hotel Cafe. Finn, whose debut, I'll Be Lightning (Yep Roc), has won raves from critics and fans alike, was hand-picked for the opening slot on Eddie Vedder's west coast tour. Pictured (l-r) are: BMI's Casey Robison and Barbara Cane, Finn, and BMI's Joe Maggini and Myles Lewis.
Tractor Pull. BMI and thriving indie publisher Big Tractor mingled over Mexican food during an informal lunch at Nashville's U.S. Border Cantina. Big Tractor's impressive writers have penned songs for contemporary country's elite, including Tim McGraw, Faith Hill, George Strait, Toby Keith, Brooks & Dunn, Trace Adkins and LeAnn Rimes. Pictured are (l-r): BMI's Mark Mason, Big Tractor's Madeleine Parlatoire, BMI's Shelby Kennedy, Big Tractor's Jason Krupke, songwriter Monty Criswell, Big Tractor's Cynthia Anderson, songwriter Clint Ingersoll, BMI's Jody Williams, Perry Howard and Thomas Cain, songwriters Wade Kirby and Mike Willis, with (front) songwriter Misty Loggins and BMI's David Preston, Beth Mason and Bradley Collins.
BMI Staff/Titles
For your convenience, the following is a list of the names and titles of BMI staffers whose pictures may appear in this issue.
Del Bryant
President & CEO
John Cody
Executive Vice President & COO
Robbin Ahrold
Vice President, Corporate Communications & Marketing
Tom Annastas
Vice President, General Licensing
Brandon Bakshi
Executive Director, Writer/Publisher Relations, Europe & Asia
Jean Banks
Senior Director, Theatre & Jazz
Mark Barron
Assistant Vice President, Corporate Marketing
Marvin Berenson
Senior Vice President & General Counsel
Catherine Brewton
Vice President, Writer/Publisher Relations, Atlanta
Thomas Cain
Senior Director, Writer/Publisher Relations, Nashville
Barbara Cane
Vice President & General Manager, Writer/Publisher Relations, Los Angeles
Fred Cannon
Senior Vice President, Government Relations
Bradley Collins
Associate Director, Writer/Publisher Relations, Nashville
Richard Conlon
Vice President, New Media & Strategic Development
Samantha Cox
Senior Director, Writer/Publisher Relations, New York
Antonella Di Saverio
Director, Performing Rights
Charlie Feldman
Vice President, Writer/Publisher Relations, New York
Emily Good
Director, Classical Administration
Phil Graham
Senior Vice President, Writer/Publisher Relations
Ian Holder
Associate Director, Writer/Publisher Relations, New York
Perry Howard
Associate Director, Writer/Publisher Relations, Nashville
Ralph Jackson
Assistant Vice President, Classical Music Relations
Shelby Kennedy
Director, Writer/Publisher Relations, Nashville
Malik Levy
Director, Writer/Publisher Relations, Los Angeles
Myles Lewis
Executive Director, Writer/Publisher Relations, Los Angeles
Linda Livingston
Senior Director, Film/TV Relations, Los Angeles
Marissa Lopez
Associate Director Latin Writer/Publisher Relations
Joe Maggini
Associate Director, Writer/Publisher Relations, Los Angeles
Wardell Malloy
Director, Writer/Publisher Relations, New York
Beth Mason
Associate Director, Writer/Publisher Relations, Nashville
Mark Mason
Director, Writer/Publisher Relations, Nashville
Glenda Miller
Associate Director, Writer/Publisher Relations, New York
Michael O'Neill
Senior Vice President, Licensing
Delia Orjuela
Assistant Vice President, Writer/Publisher Relations, Latin
Hanna Pantle
Assistant Vice President, Corporate Communications & Media Relations
Barbara A. Peterson
Assistant Vice President, Classical Music Administration
Porfirio Piña
Director, Latin Music, New York
David Preston
Director, Writer/Publisher Relations, Nashville
Doreen Ringer Ross
Vice President, Film/TV Relations, Los Angeles
Nick Robinson
Senior Executive, Writer/Publisher Relations, London
Casey Robison
Associate Director, Writer/Publisher Relations, Los Angeles
Gary Roth
Assistant Vice President, Legal & Business Affairs, Performing Rights
Judith Saffer
Assistant General Counsel
Alison Smith
Senior Vice President, Performing Rights
Ron Solleveld
Senior Vice President, International
Dan Spears
Assistant Vice President, Sales & Marketing, Media Licensing
Ben Tischker
Associate Director, Writer/Publisher Relations, New York
Tracie Verlinde
Senior Director, Writer/Publisher Relations, Los Angeles
Jerry Vila
Associate Director, Latin Music, Puerto Rico
Jody Williams
Vice President, Writer/Publisher Relations, Nashville
Byron Wright
Associate Director, Writer/Publisher Relations, Atlanta
Ray Yee
Senior Director, Film/TV Relations, Los Angeles
BMI OFFICES
New York
320 West 57th Street
New York, NY 10019
(212) 586-2000
Fax: (212) 245-8986
email@example.com
Nashville
10 Music Square East
Nashville, TN 37203
(615) 401-2000
Fax: (615) 401-2707
firstname.lastname@example.org
Los Angeles
8730 Sunset Boulevard
Third Floor West
Los Angeles, CA 90069
(310) 659-9109
Fax: (310) 657-6947
email@example.com
Miami
1691 Michigan Ave
Suite 350
Miami Beach, FL 33139
(305) 266-3636
Fax: (305) 266-2442
firstname.lastname@example.org
Atlanta
3340 Peachtree Road NE
Suite 570
Atlanta, GA 30326
(404) 261-5151
Fax: (404) 816-5670
email@example.com
London
84 Harley House
Marylebone Road
London NW1 5HN
England
011-44-207-486-2036
Fax: 011-44-207-224-1046
firstname.lastname@example.org
Puerto Rico
Bank Trust Plaza
Suite A-262/East Wing
255 Ponce De Leon Ave.
San Juan, PR 00917
(787) 754-6490
Fax: (787) 753-6765
email@example.com
GET A GIG.
BOOK A BAND.
sonicbids®
www.sonicbids.com
evolve.
DON'T BE PART OF MUSIC HISTORY.
Berkleemusic is the online continuing education division of Berklee College of Music. Learn to adapt with forward-thinking online music business courses and programs taught by Berklee's world-renowned faculty.
Online Music Business Courses & Certificates
Now Enrolling For June 30th Term
- Music Marketing 101
- Music Marketing 201
- Artist Management
- Master Certificate in Music Business (9-course program)
10% Discount for BMI Members!
www.bmi.com/discounts
Call Our Advisors Today
1.866.BERKLEE
Berklee music
learn music online
|
OMGE PRACTICE GUIDELINE ON
MANAGEMENT OF ACUTE VIRAL HEPATITIS
Views on the Irritable Bowel Syndrome, Treatment of Crohn’s disease, and the Treatment of Hepatitis C
Brilliant Successes with the Train-The-Trainers Program
Endoscope Disinfection: Quality Assurance is Key
Official Newsletter of the World Gastroenterology Organisation (OMGE/WGO) and the World Organisation of Digestive Endoscopy (OMED)
© 2004
OMGE / OMED / Marathon International
All rights reserved. No part of this publication may be reproduced, stored in a retrieval system or transmitted in any form or by any means, electronic, mechanical, photocopying, recording or otherwise, without the prior permission of the copyright owner.
No responsibility is assumed by the Publisher for any injury and/or damage to persons or property as a matter of products liability, through negligence or otherwise, or from any use or operation of any methods, products, instructions or ideas contained in the material herein. Because of rapid advances in the medical science, the Publisher recommends that independent verification of diagnoses and drug dosages should be made.
The World Gastroenterology Newsletter is published by Marathon International B.V. in association with OMGE and OMED.
Marathon International.
Printed in the Netherlands
## CONTENTS
### EDITORIAL BOARD
**EDITOR-IN-CHIEF**
J.D. Waye (USA)
**SENIOR EDITORS**
M. Classen (Germany)
A. Montori (Italy)
**MANAGING EDITOR**
B. Bariberi (Germany)
**PUBLISHER**
K. Foley (The Netherlands)
**EDITORIAL COMMITTEE**
H. D. Allescher (Germany)
H. Cohen (Uruguay)
G. Costamagna (Italy)
M. Crespi (Italy)
Angelia Habr-Gama (Brazil)
M.J.G. Farthing (UK)
M. Rizzetto (Italy)
T. Rösch (Germany)
Esmat A. Sheba (Egypt)
C. Tzeuton (Cameroon)
C. Yurdaydin (Turkey)
Qi-lan Zhang (China)
**INTERNET SECTION EDITORS**
J. Krabshuis (Scotland)
A. Grassi (Italy)
**INTERNET SITES**
www.worldgastroenterology.org
www.omed.org
**EDITORIAL OFFICE ADDRESS**
Medconnect
Bruennsteinstrasse 10
81541 Munich
Germany
Tel.: + 49 89 4141 92 40
Fax: + 49 89 4141 92 45
E-mail: firstname.lastname@example.org
**PUBLISHING/ADVERTISING ADDRESS**
Marathon International
Westerdijk 1R
1621 LC Hoorn
The Netherlands
Tel.: +31 229 211 980
Fax: +31 229 211 241
---
### EDITORIAL
Message from the Editor-in-Chief — Jerome D. Waye
Message from the Senior Editor — OMED at the Beginning of the 21st Century — Alberto Montori
### CONGRESS NEWS
Lagniappe from the Big Easy — DDW 2004
### SCIENTIFIC NEWS
Integrated Approach To Irritable Bowel Syndrome — Douglas A. Drossman
Management of Crohn’s Disease — William J. Sandborn
Current Status of HCV Therapy — K. Rajender Reddy
NASH and NAFL in 2004 — Keith D. Lindor
Gastrointestinal Effects of Bisphosphonates — Frank L. Lanza
The Cox-2 Inhibitors — Are They Really Safer? — Frank L. Lanza
Complications of Polypectomy and their Treatment — J.R. Armengol-Miró
### EDUCATION AND TRAINING
The Launch of the Cairo Center
Who Trains the Trainers Who Train the Trainers? — James Tooili
What the Participants Thought of Train the Trainers 2003
OMED/OMGE Outreach Program Initiated — James DiSario
### AROUND THE WORLD
### SPECIAL SECTION: IDCA
Prevention of Colorectal Cancer — Robert Sandler
Letter of Support from His Holiness Pope John Paul II
The Role of the Gastroenterologist in the Management of Patients with Digestive Cancers — Position Paper from an OMGE Working Party, chaired by Sidney J. Winawer
First National Working Party Conference on Colorectal Cancer Screening (Berlin, Germany) — Meinhard Classen
### OMGE MEMBER SOCIETIES
Brazilian Federation of Gastroenterology — Fernando Cordeiro
### OMED INSIGHT
Endoscopy: Surgical or Medical? — Sydney Chung
Gastrointestinal Endoscopists and Minimally Invasive Surgeons: a Relationship in Evolution — Jeffrey L. Ponsky
### OBITUARIES
Kunio Okuda, 1921–2003 — Francisco Vilardell
Douglas B. McGill, 1929–2004
### GASTROENTEROLOGY ON THE INTERNET
Endoscope Disinfection: Quality Assurance is Key and MeSH is a Must — Justus Krabshuis
### NEWS FROM THE INDUSTRY
---
The World Congress of Gastroenterology will be held in Montreal less than 2 years from now. It is time for gastroenterologists from every specialty: medicine, surgery, pathology, hepatology, pediatrics, and radiology to clear our calendars for the quadrennial meeting which will bring everybody together in Montreal for great science, great education, and great fun. Let’s everybody get behind this congress in Montreal, Canada to make it the best ever.
This issue brings you science, information, and updates in the field of gastroenterology. We have invited world experts who presented papers at the annual meeting of the American College of Gastroenterology in Baltimore (October 2003) to share with us their views on the Irritable Bowel Syndrome, treatment of Crohn’s disease, and the treatment of Hepatitis C. We have also enlisted the aid of Dr. Henry Cohen, Secretary General of the World Congress of Gastroenterology who was the director of a course in gastroenterology in Uruguay (28 September to 2 October, 2003) who directed us to some of the speakers who were invited to present talks at the Uruguay Congress of Gastroenterology meeting. These lectures concerned NASH, cox-2 inhibitors, and bisphosphonates used for bone integrity. We also have special articles on complications of colonoscopic polypectomy, and on colon cancer prevention. The ICDA has completed a survey of gastroenterologists in the management of patients with colon cancer, and there is a report on a new initiative on colon cancer screening in Germany. The cancer articles are part of the overall GI cancer initiative by the OMGE-sponsored “International Digestive Cancer Alliance”. There are meaningful comments from two surgical endoscopists, and sadly, there is an obituary by Professor Vilardell concerning the death of world-renowned Professor Kunio Okuda. The combined OMGE/OMED education and training committee continues to achieve brilliant successes with the Train-The-Trainers program, and with an endoscopic outreach program spearheaded Dr. DiSario, appointed through OMED. Once again we are publishing an OMGE practice guideline. This one, on the management of Acute Hepatitis, is packed with useful information.
Lastly, we bring you an interesting article which will help every gastroenterologist interface with PubMed (a free website published by the US National Library of Medicine). This article and the one in the next issue will vastly improve the capability of finding all the articles possible by using various search strategies that are relatively straightforward, but not widely known.
It is uplifting to share with you the exciting advances that OMGE and OMED are continuing to develop in the field of gastroenterology as we explore new frontiers and take the lead in establishing standards for education and training throughout the world.
Jerome D. Waye, MD
Clinical Professor of Medicine
Mt. Sinai Medical Center
New York, USA
E-mail: email@example.com
The Organisation Mondiale d’Endoscopie Digestive/World Organization of Digestive Endoscopy (OMED) has been very active in the last two years under the chairmanship of its President, Professor H. Niwa. Thanks to the invaluable support provided by the technical secretariat, with their dedication to the work of our members and colleagues, and thanks to the generosity of our partners, OMED is able to continue its quest for excellence in endoscopy and is continuing to be a driving force in the field.
Recent activities included the first OMED Spring Meeting, held in Rome on 4–5 May 2003 at the same time as both the fifth International Gastric Cancer Congress and a meeting of the International Digestive Cancer Alliance (IDCA; see the OMED web site, www.omed.org). The international colorectal screening campaign has been a real challenge, and thanks to Paul Rozen, it has been possible for the Ad Hoc Committee to discuss results obtained in this field all over the world. The joint meetings with the IDCA in Rome and in Orlando were very successful, and this type of cooperation appears to be promising for the future.
OMED has been strongly involved in the following efforts:
- Further developing the internationally accepted standard terminology for endoscopy reporting.
- Issuing international guidelines for endoscopic procedures.
- Supporting research in endoscopy.
- Extending the availability of endoscopy training.
- Improving the standard of care in areas of great need throughout the world.
- Improving understanding and collaboration between gastroenterologists, endoscopists and laparoscopic surgeons.
- Expanding the OMED web site as a vehicle for exchanging information among endoscopists.
Cooperation with the Organisation Mondiale de Gastro-Entérologie/World Organization of Gastroenterology (OMGE) is excellent, and we have already merged a number of initiatives: the educational programs, the Train the Trainers Workshops, the Gastro-Pro web portal, and *World Gastroenterology News* with Jerry Waye as Editor-in-Chief.
Following this policy of development and cooperation, OMED has expanded enormously, to the benefit of everyone in the endoscopic community, and has also been fully involved in many specific events throughout the world.
The second OMED Spring Meeting will be held in Yokohama, Japan, on 4–5 May 2005 in conjunction with the sixth International Gastric Cancer Congress. While of course OMGE and OMED continue to maintain their own distinctive identities, these joint meetings show that cooperating rather than working in isolation is easier and more productive – saving time, reducing costs and effort, and achieving the best possible results.
Alberto Montori, MD, FACS
Chairman and Professor of Surgery,
La Sapienza University,
Viale Regina Elena 324,
00161 Rome, Italy
E-mail:
firstname.lastname@example.org
The ‘Big Easy’, otherwise better known as New Orleans, has a strange local word ‘lagniappe’ (pronounced lan-yap), which means ‘a little something extra’. During the period of 15–20 May, that little something extra will take the form of Digestive Disease Week (DDW®). DDW is the largest gathering of gastroenterological professionals in the world and, although a long way from being little, it will bring that something extra to the city and be the place for gastroenterologists for a few days.
Sponsored by four of the world’s premier medical societies, the American Association for the Study of Liver Diseases (AASLD), the American Gastroenterological Association (AGA), the American Society for Gastrointestinal Endoscopy (ASGE) and the Society for Surgery of the Alimentary Tract (SSAT), DDW continues to provide a diverse and comprehensive programme for participants from around the globe.
Educational offerings are provided in a variety of formats and settings to meet the varied objectives of attendees—from small group settings that facilitate the participation of attendees and interaction with faculty to larger, classroom style settings. With nearly 5 000 abstracts and six full days of educational programming, DDW and the DDW societies’ postgraduate courses promise a wide selection of topics designed for clinicians and researchers alike. Each of the four sponsoring societies will offer programming unique to their specialties as well as collaborate on joint programming.
AASLD is hosting state-of-the-art lectures on topics such as treatment of hepatitis B, management of ascites and hepatorenal syndrome and alcoholic liver disease as well as three highly focused plenary sessions, where the best scientific papers in the areas of liver biology, clinical hepatology and viral hepatitis will be presented. Clinical symposia on a number of topics, including hepatocellular carcinoma and apoptosis will be offered, as well.
AGA’s highlights at DDW 2004 in New Orleans include some new, restructured and returning program elements. New for this year are Focused Research Roundtables, where expert moderators review and preview selected basic science abstracts from the DDW program. Restructured for 2004 is the plenary session, where major developments in basic science and clinical research will be reviewed. Back by popular demand are the clinical track, Focused Clinical Updates and Problem Based Learning Luncheons, all focusing on a wide array of topics in the fields of gastroenterology and liver disease.
ASGE will offer some new and expanded educational programming, as well. The hands-on learning course on anti-reflux devices, using animal models, focusing on endocinch, NDO (full thickness plicator), stretta and entryx techniques, will likely be popular, as should the poster tours lead by experts in the field of endoscopy. This year’s “Test your Knowledge” session has been expanded to include three topic areas: luminal endoscopy, ERCP and EUS.
SSAT offers a new opening session with introduction of new members, reports on the society and foundation, recognition of foundation donors, the Presidential Address and the Presidential Plenary Session. Additional SSAT program highlights include a state-of-the-art conference on management of radiation induced intestinal injury, a video breakfast session featuring colorectal reconstruction, hepatic ablation techniques and respective procedures for rectal cancer. A public policy session, titled “Physician Competency: Teaching an Old Dog New Tricks” is also part of the SSAT programme.
As ever, you can find all of the information about DDW at www.ddw.org. For more on this famous host city, go to www.neworleanscb.com, where you’ll find out more about its cute nicknames – the Crescent City and the Big Easy – and learn that the ‘neutral ground’ is the local term for the median or middle of the road. Sounds more like a challenge!
GLOBAL GOALS IN GASTROENTEROLOGY
Expanding Horizons in the 21st Century
Our detailed Advance Program will be available as of MAY 1, 2004
www.wcog2005.org
CONTACT email@example.com to receive your copy
Integrated Approach To Irritable Bowel Syndrome
Douglas A. Drossman
Classification and definition
The understanding of the pathophysiology of irritable bowel syndrome (IBS) has evolved from an etiological concept – that it is a disorder of abnormal motility – to a more integrated understanding consistent with a biopsychosocial framework. It is a composite of several physiological components: dysmotility, visceral hypersensitivity, and abnormalities in brain–gut regulation. IBS is defined as a functional gastrointestinal disorder of the lower bowel characterized by abdominal pain associated with disturbed defecation (diarrhea or constipation), often with feelings of bloatedness and/or distension. Psychosocial disturbances are not a part of the definition, and in fact are not present in most persons with IBS.
IBS is seen primarily in young to middle-aged women (M : F ratio 1 : 2). In the USA, it has been reported that the disorder represents 12% of family practice work and 28% of cases in gastroenterology practice. Recent studies in the USA have looked at the cost of IBS to society. This is estimated at $1.6 billion (primarily due to inpatient hospitalizations and clinic visits), with an additional $20 billion due to indirect costs (lost workdays owing to health-care visits and illness in general).
IBS patients differ from normal individuals in the degree of physiological response to various stimuli; however, there is no specific stimulus or response pattern that is characteristic of IBS.
Symptom-based criteria, known as the Rome criteria, for the diagnosis of IBS have been established by multinational consensus (Rome II). They are based on epidemiological and clinical studies, as well as factor-analytic studies (Table 1).
Recent interest has also focused on basing more invasive diagnostic studies on the presence of historical information from simple laboratory studies, “alarm signs” or “red flags” such as: weight loss, blood in stools, nocturnal symptoms, abnormal physical examination, anemia, or a family history of cancer or inflammatory bowel disease. Thus, the presence of Rome II criteria and the absence of red flags reduces the need to carry out more invasive diagnostic tests. This view was supported in one study, in which the positive predictive value for IBS was 98–100% when patients were screened in this manner.
Treatment
Treatment is directed toward ameliorating symptoms, modifying factors that aggravate the disorder, and helping the patient adapt to the condition.
General approach. Continuity of care is needed to minimize unneeded diagnostic procedures, to offer symptomatic treatment, and to educate, counsel, and provide psychological support. An effective physician–patient relationship is at least as important as any specific treatment.
Addressing the predominant symptom. For example, after excluding other medical disorders, a patient with predominant diarrhea might receive antidiarrheal agents (such as loperamide or cholestyramine), while a patient with predominant constipation would be treated with fiber or osmotic cathartics (such as sorbitol or lactulose). However, because many patients with constipation-predominant IBS may also have visceral hypersensitivity, they may develop more bloating or discomfort with fiber. In these cases, it might be better to use a nonosmotic agent, such as polyethylene glycol (PEG) solutions or the new 5-hydroxytryptamine4 (5-HT₄) agonists (eg, tegaserod) that increase colonic transit rate and reduce pain.
The treatment of predominant pain or discomfort varies with the severity of the symptoms. If the pain/discomfort is mild or infrequent and is clearly meal-related (ie, occurring about 20 min after a meal), an anticholinergic or antispasmodic agent can be considered and should be taken about 20–
30 min before the meal. If the pain is associated with diarrhea, a 5-HT₃ antagonist (alosetron) may be considered. If the pain is more constant and severe (see below), an antidepressant – tricyclic antidepressant (TCA) or selective serotonin reuptake inhibitor (SSRI) – can be prescribed for central analgesic effect and for treatment of psychiatric comorbidity (e.g., depression, panic), if present.
The majority of patients with IBS most often seen in primary care have mild or infrequent symptoms and no significant functional impairment or psychological difficulties. The physician should offer education and reassurance. Patients should eliminate offending food items and increase dietary fiber if constipation is present.
A smaller proportion of patients have moderate symptoms that occur intermittently and occasionally result in functional impairment (such as missing work or school, etc.). These patients often identify a close relationship between symptoms and inciting events (e.g., dietary indiscretion, distressing experiences). It is helpful to have the patient keep a symptom diary in which the time, severity, and presence of associated factors are recorded over several weeks. Pharmacotherapy directed at the gut should also be considered when symptoms flare (see above). In addition to the supportive psychotherapy inherent in listening and providing explanation and reassurance, these patients may benefit from stress management advice. Recent evidence favors the use of cognitive-behavioral treatment for moderate to severe IBS.
A very small subset of IBS patients (less than 5%) have severe, refractory symptoms. The pain does not always correlate with meals, activity, or other physiological changes. Because symptoms are severe, patients may be convinced that a serious disease is being overlooked. There is usually concomitant psychological distress (anxiety, depression) and impaired daily functioning. The patients may request more diagnostic studies or even narcotics, in the hope of finding an “answer” or obtaining relief. Here the physician also must help the patient find ways to understand the disorder and to learn ways of adapting to and coping with the symptoms. For this group of patients, ordering tests to provide reassurance is counter-therapeutic. It is best to state clearly that the focus of care is on management rather than diagnosis. Usually, pharmacotherapy directed at the gut alone is not sufficient. Treatment must also include: a) setting realistic goals; b) not reinforcing illness-related behaviors; c) when needed, withdrawing the patient from narcotics; d) developing behavioral techniques for pain control (e.g., stress management, biofeedback, exercise); and e) the use of centrally acting psychopharmacological agents for mood disturbance and pain control. In the most severe cases, referral to a pain treatment center may be needed. Continuing care needs to be provided through brief, regular appointments with the primary care physician, and less frequently with the consultant.
- Consider a 5-HT₄ agonist (e.g., tegaserod) for constipation-predominant symptoms and a 5-HT₃ antagonist (e.g., alosetron) for diarrhea-predominant symptoms.
Management of Crohn’s Disease
William J. Sandborn
Treatment agents
A number of different medications that are currently available for clinical use in the United States have been studied in randomized controlled trials for the treatment of Crohn’s disease. The efficacy of these agents will be reviewed here.
Sulfasalazine. Sulfasalazine was shown to be effective at a dosage of 1 g/15 kg body weight (4.7 g for a 70-kg patient), compared to placebo, for active Crohn’s disease. However, a subgroup analysis suggested that only patients with colonic involvement benefited from sulfasalazine therapy.
Mesalamine. Three large trials compared mesalamine (Pentasa) 4 g/day to placebo for active Crohn’s disease. Pentasa was somewhat better than the placebo, but the small absolute difference is of dubious clinical significance. A meta-analysis of 10 studies showed that oral mesalamine is not consistently effective for maintenance of medically induced remission, and that the overall benefit is minimal.
Metronidazole. Significant toxicity from metronidazole has been recorded. Studies demonstrate that metronidazole is not effective in inducing remission in patients with active Crohn’s disease, and that it did not maintain clinical remission after 1 year when administered for postoperative remission maintenance.
Prednisone. Studies demonstrate that although high-dose conventional corticosteroids are very effective in inducing remission,
Centrally acting analgesics (antidepressants) are recommended, using low-dose tricyclic antidepressants, particularly for symptoms of pain and diarrhea and serotonin reuptake inhibitors if there is a high level of anxiety, obsessional behaviors, or other psychiatric comorbidities.
**Prognosis**
With an adequate (and usually minimal) diagnostic evaluation, the likelihood of overlooking a serious medical disorder is very small (0–3%). Outcome studies of patients followed for a mean of 6 years indicate a missed diagnosis rate of 3–5%. Yet, when followed over this period of time, the majority will still have symptoms. The physician’s effort is to help the patient manage a chronic or recurrent disorder with a minimum of diagnostic studies and a cost-effective plan of care.
Note: This paper was presented at the American College of Gastroenterology annual meeting held in Baltimore, Maryland, USA on October 10–15, 2003. The full-length version of this article and an accompanying reference list are available in the online version of World Gastroenterology News (www.worldgastroenterology.org).
**Douglas A. Drossman, MD**
Professor of Medicine and Psychiatry,
Co-Director of UNC Center for Functional GI and Motility Disorders,
Division of Gastroenterology and Hepatology,
University of North Carolina,
Chapel Hill,
NC 27599, USA
E-mail: firstname.lastname@example.org
---
**William J. Sandborn**
**Azathioprine and 6-mercaptopurine.** Azathioprine and 6-mercaptopurine are immunosuppressive drugs with a relatively slow onset of action, requiring 4–12 weeks to achieve a therapeutic effect. They are clearly effective in maintaining steroid-induced remission. Uncontrolled studies have also suggested possible efficacy for fistula closure.
**Methotrexate.** Methotrexate, an immunosuppressive drug administered intramuscularly or subcutaneously at a dosage of 25 mg/week, is effective in inducing remission in patients with steroid-dependent and steroid-refractory Crohn’s disease. It is also effective for maintaining remission in patients with steroid-dependent Crohn’s disease who have previously responded to methotrexate.
**Infliximab.** Infliximab is a chimeric monoclonal antibody to tumor necrosis factor (TNF). It is effective for inducing remission in patients with active Crohn’s disease and for closing fistulas in patients with fistulizing Crohn’s disease. Infliximab administered every 8 weeks is effective for maintaining remission and for maintaining fistula closure in patients with inflammatory Crohn’s disease who have previously responded to infliximab.
**Treatment indications**
**Induction of remission.** Sulfasalazine is modestly effective for inducing remission in patients with active Crohn’s disease, with the benefit confined largely to patients with Crohn’s colitis. Mesalamine and metronidazole are not consistently effective for inducing remission. Budesonide is more effective than mesalamine and as effective as, but safer than, prednisone. Budesonide is therefore the first-line treatment of choice for inducing remission in patients with mild to moderately active Crohn’s disease involving the terminal ileum or right colon, whereas sulfasalazine is the optimal first-line therapy in patients with Crohn’s colitis. Figure 1 shows an evidence-based treatment algorithm for first-line therapy of Crohn’s disease.
For patients who have disease that is moderate to severe, and in patients in whom budesonide or sulfasalazine treatment has failed, the next step is second-line therapy.
with prednisone. Azathioprine, 6-mercaptopurine, and methotrexate are of limited value as induction agents in patients with significantly active Crohn’s.
**Maintenance of medically induced remission.** Sulfasalazine is not effective for maintenance of medically induced remission, and mesalamine is not consistently effective. Low-dose prednisone is not effective for maintenance of remission; patients treated with steroids for active Crohn’s disease often become steroid-dependent. Azathioprine, 6-mercaptopurine, and methotrexate are all effective for maintenance of remission, particularly steroid-induced remission. Infliximab is effective for maintenance of remission in patients refractory to other therapies. Concomitant immunosuppression is required.
**Conclusions**
The conclusions regarding therapy for different treatment indications in patients with Crohn’s disease are summarized in Table 1.
*Note: This paper was presented at the American College of Gastroenterology annual meeting held in Baltimore, Maryland, USA on October 10–15, 2003. The full-length version of this article and an accompanying reference list are available in the online version of World Gastroenterology News (www.worldgastroenterology.org).*
**William J. Sandborn, MD**
Inflammatory Bowel Disease Clinic, Division of Gastroenterology and Hepatology, Mayo Clinic, 200 First Street SW, Rochester, MN 55905, USA
E-mail: email@example.com
### Table 1. Indications for treatment in patients with Crohn’s disease.
| Drug | Mildly to moderately active | Refractory | Fistulizing | Severely active | Remission maintenance |
|-----------------------------|-----------------------------|------------|-------------|-----------------|-----------------------|
| Sulfasalazine | Yes | ? Yes² | No | No³ | ? Yes¹ |
| Oral mesalamine | ? Yes¹ | ? Yes² | No | No³ | ? Yes¹ |
| Antibiotics | ? Yes¹ | ? Yes² | ? Yes¹ | No | ? Yes¹ |
| Oral corticosteroids | Yes | Yes² | No | No | No |
| Intravenous corticosteroids | No | Yes⁴ | No | Yes | No |
| Azathioprine/6-mercaptopurine| No | Yes | Yes | No | Yes |
| Methotrexate | No | Yes | No | No | Yes |
| Ciclosporin | No | No | ? Yes³ | ? Yes⁵ | No |
| Infliximab | No | Yes | Yes | ? Yes | ? Yes |
| Surgical resection | No | Yes | Yes | Yes | No |
1. Controlled trials do not consistently show benefit, but the treatment is commonly used in clinical practice.
2. Typically continued as a carry-over of treatment for mildly to moderately active disease when additional agents are added.
3. Typically discontinued because of the possibility of intolerance to sulfasalazine or mesalamine.
4. Some patients in whom oral corticosteroid treatment fails will respond to hospitalization with intravenous administration of corticosteroids.
5. No controlled trials conducted; uncontrolled studies suggest benefit.
Current Status of HCV Therapy
K. Rajender Reddy
Major advances have been made in the treatment of chronic hepatitis C during the last 10 years, but major challenges remain, since treatment with pegylated interferons and ribavirin is effective in only around 55% of patients. Newer therapies are needed for the increasing numbers of patients who do not respond to or relapse after current treatments with pegylated interferons and ribavirin.
Polyethylene glycol (PEG) is a nontoxic polymer that can be attached to interferons, a process termed “pegylation”. Modification of proteins by pegylation can lead to prolonged absorption, delayed clearance, and reduced immunogenicity. Their delayed clearance and their longer half-life allow once-weekly rather than three times weekly dosages with standard interferon (IFN).
Two PEG-IFN formulations have been developed. Pegylated interferon alfa-2b uses a 12-kDa polyethylene glycol, and pegylated interferon alfa-2a has a branched-chain PEG. Both are given with ribavirin in the treatment of chronic hepatitis C (HCV) infection. Pegylated interferon alfa-2b is administered as a weight-based regimen, whereas pegylated interferon alfa-2a is a fixed-dose regimen.
In several clinical trials, the response rates with pegylated interferon monotherapy have been twice as high as those with unmodified interferon. Combinations of PEG-IFNs and ribavirin are the current standard of care for the treatment of hepatitis C, as this regimen has been shown to be more effective and equally well tolerated as unmodified IFN/ribavirin.
The variables that have been associated with improved response rates include genotypes other than 1, lower pretreatment viral loads, lower body weight of 75 kg or less, younger age, and to a lesser extent the absence of cirrhosis. A post-hoc analysis of the virological data from the two large pivotal trials has led to the concept of evaluating an early virological response (EVR) in predicting the subsequent response to ongoing therapy. The absence of an EVR (defined either as a drop of 2 log or more in HCV RNA or negative HCV RNA findings at week 12 of therapy) has been associated with a very low probability of achieving a sustained virological response with continuing therapy. Overall, approximately 80% of patients receiving therapy achieve an EVR. More importantly, less than 2% of patients who do not achieve an EVR go on to have a sustained viral response (SVR) with ongoing therapy. Thus, it is reasonable to apply a “stop therapy” rule at week 12 in patients who do not achieve an EVR.
A multicenter global trial focusing on several important issues relevant to genotype, viral load, duration of therapy, and dose of ribavirin has validated the post-hoc analysis of PEG-IFN alfa-2b and ribavirin therapy and supports the use of a higher dosage of ribavirin in genotype 1 patients, particularly those with a high viral load, as opposed to the lower dose of 800 mg used in the clinical trial.
Increasing numbers of patients receiving the combination therapy with pegylated interferon and ribavirin do not respond, or relapse after treatment. Recognizing that there is a potential histological benefit from interferon therapy, the issue of maintenance therapy arises in virological nonresponders – particularly those with advanced fibrosis. The hypothesis that fibrosis can be reversed – particularly with a favorable impact on certain end points of cirrhosis, such as liver failure and liver cancer – is currently being tested in a large multicenter trial (the HALT-C trial). Preliminary data have shown that treatment with pegylated interferon alfa-2a (180 µg/week) and ribavirin (1000–1200 mg/day) in previous nonresponders to interferon treatment or interferon and ribavirin treatment led to an overall sustained virological response rate of 18%.
Ribavirin-like drugs
The mode of action of ribavirin is not well understood, but it is an effective drug in the treatment of chronic hepatitis C when used in combination with interferon. A combination of actions of the drug may exist – inhibiting viral replication and also enhancing the host’s immune response. The use of ribavirin is limited by the development of anemia, which not infrequently leads to dose reduction or discontinuation of the drug. Levovirin, a second-generation L-isomer of ribavirin, is associated with less anemia, presumably due to a lack of conversion of the agent in the erythrocytes to monophosphate, diphosphate, and triphosphate intermediates. Clinical trials with this compound are awaited. Viramidine, a prodrug of ribavirin, has a longer residence time in the liver and produces less hemolysis owing to a comparatively lower uptake by the erythrocytes. Phase II trials are
currently under way with viramidine in combination with pegylated interferon.
Clinical trials of several therapies for HCV are currently in progress, including molecular-based therapies. Direct inhibitors of HCV enzymes (protease, helicase, and polymerase) intuitively offer the best chance of clearing HCV infection. Several compounds are being evaluated in the replicon systems that have targeted inhibition against HCV polymerase, NS3 helicase, and NS2-3 and NS3-4A proteinases. These compounds have not entered clinical trials, although it is expected that these drug groups will provide the next line of treatment for chronic hepatitis C, particularly with the goal of eradicating hepatitis C infection.
**Summary**
Treatment with pegylated interferon (either alfa-2b or alfa-2a) and ribavirin is the current standard of care for patients with chronic hepatitis C. To achieve the best response, genotype 1 patients need a longer period of therapy, at 48 weeks, with a higher dose of ribavirin of 1000/1200 mg. Genotype 2 and 3 patients respond as well to a combination of pegylated interferon alfa-2a 180 µg/week and ribavirin 800 mg/day orally for 24 weeks as compared to 48 weeks of such combination therapy, even at a higher dose of ribavirin of 1000–1200 mg; 24 weeks of therapy are therefore adequate in these patients. Current therapies are effective in approximately 55% of the overall population of patients with chronic hepatitis C. There are a number of special population groups in whom the role of treatment is less well established. In addition, there is a significant number of nonresponders to current therapy for whom improved treatments need to be developed. A lack of an early virological response (defined either as a drop of 2 log or more in HCV RNA or negative HCV RNA findings at week 12 of therapy) is an important negative predictor of a sustained virological response to continued therapy.
---
**Note:** This paper was presented at the American College of Gastroenterology annual meeting held in Baltimore, Maryland, USA on October 10–15, 2003. The full-length version of this article and an accompanying reference list are available in the online version of *World Gastroenterology News* (www.worldgastroenterology.org).
---
**K. Rajender Reddy, MD**
Professor of Medicine and Surgery,
Director of Hepatology,
Medical Director of Liver Transplantation,
GI Division, 3 Ravdin,
Hospital of the University of Pennsylvania,
3400 Spruce Street,
Philadelphia, PA 19104, USA
E-mail: firstname.lastname@example.org
---
**NASH and NAFL in 2004**
**Keith D. Lindor**
**Introduction**
Nonalcoholic steatohepatitis (NASH) is characterized by elevated serum aminotransferases with hepatic steatosis, inflammation, and occasionally fibrosis that may progress to cirrhosis. This condition is part of a spectrum of nonalcoholic fatty liver disease (NAFL). No established treatment exists for this potentially serious disorder. Small, uncontrolled studies have shown biochemical and histological improvement in patients with NASH who are treated with pioglitazone or rosiglitazone.
**Background**
Nonalcoholic steatohepatitis (NASH) refers to the development of histological changes in the liver that are comparable to those induced by excessive alcohol intake, but in the absence of alcohol abuse. Macroviscicular and/or microvesicular steatosis, lobular and portal inflammation, and sometimes Mallory bodies with fibrosis and occasionally cirrhosis characterize NASH. NASH is commonly associated with hyperlipidemia, obesity, and type II diabetes mellitus, but this is not always the case. Other clinical conditions characterized by hepatic steatosis and inflammation include excessive fasting, jejunointestinal bypass, total parental nutrition, chronic hepatitis C, Wilson’s disease, and adverse drug effects such...
as those from corticosteroids, calcium-channel blockers, high-dose synthetic estrogens, methotrexate, and amiodarone. The term “non-alcoholic steatohepatitis” is used to describe patients with the previously described biopsy findings and a lack of significant alcohol consumption, previous surgery for weight loss, a history of drugs associated with steatohepatitis, and evidence of genetic liver disease or chronic hepatitis C infection.
**Pathogenesis of nonalcoholic steatohepatitis**
The pathogenesis of NASH is unknown. A correlation seems to exist between the degree of steatosis and the degree of fibrosis. Steatotic livers secondary to alcohol abuse and type II diabetes mellitus contain predominantly triglycerides, and to a lesser extent cholesterol esters. Elevated free fatty acids have been identified in liver specimens from patients with fatty liver of pregnancy, alcoholic hepatitis, and morbid obesity.
The metabolism of triglycerides in adipose tissue leads to the release of free fatty acids into the circulation with uptake by hepatocytes. Insulin inhibits the metabolism of triglycerides in adipose tissue, increases the hepatic synthesis of free fatty acids and triglycerides, and inhibits the beta-oxidation of free fatty acids in hepatocytes. Obesity and type II diabetes mellitus are hyperinsulinemic states with decreased tissue sensitivity to insulin. This resistance to the effects of insulin seems to be an almost universal underlying feature of NAFL. In-vitro studies have shown that free fatty acids are potentially cytotoxic. Cellular damage may result in cellular death and subsequent fibrosis. Reduction of hepatic free fatty acids could decrease hepatocellular injury. Elevated hepatocellular free fatty acids cause membrane injury with subsequent inflammation, possible cholestasis, and subcellular organelle dysfunction. Cell death and fibrosis follow persistent inflammation, and cirrhosis occurs if the injury continues.
Bacterial overgrowth may contribute to higher levels of endotoxin-inducible cytokines such as tumor necrosis factor (TNF), which have been implicated in NASH. The role of hepatic iron remains controversial. Elevated iron levels may contribute to oxidative stress. On the other hand, we and others have not found evidence of excess iron or any correlation between hepatic iron levels and the histological severity of NASH.
**Natural history**
The natural history of NASH is incompletely defined. There are no symptoms specific for the disease. Patients with nonalcoholic steatohepatitis frequently have evidence of fibrosis at the time of initial liver biopsy, with an incidence ranging from 14% to 100%. Cirrhosis, though less common, may be present in 0–38% cases. Among 42 patients followed up for a median of 4.5 years, 13 patients had serial biopsies over a period of 1–9 years. Approximately 30% had evidence of disease progression – a figure similar to the numbers of patients with hepatitis C who develop progressive liver disease. Older age, obesity, diabetes mellitus, and an aspartate aminotransferase/alanine aminotransferase (AST/ALT) ratio greater than 1 were independent predictors of liver fibrosis in NASH.
Steatohepatitis is now regarded as an important cause of end-stage liver disease and may be the cause of an unknown number of cases of cryptogenic cirrhosis. Unfortunately, once cirrhosis has become established, the only therapeutic modality available for advanced disease is orthotopic liver transplantation. However, after liver transplantation for NASH, the disease may recur.
**Treatment**
Because the etiology is unknown, empirical approaches have been used, based primarily on findings of hyperlipidemia, the presence of diabetes, iron overload, or presence of inflammation. Weight loss is usually advocated as an initial treatment; however, the value of this has not been well substantiated. More recently, a study showed that diet and exercise led to a reduction in AST, ALT, serum lipids, and body weight in patients with NASH; however, less than 5% of obese patients seem to be able to sustain weight loss. Lipid-lowering agents have been tested. The fat in hepatocytes usually consists of triglycerides, and hypertriglyceridemia is a common coexisting condition. A pilot study of clofibrate treatment in 16 patients with hyperlipidemia did not lead to any beneficial effects in liver biochemistry or histology, and side effects were common. Gemfibrozil potentiates lipoprotein lipase in the same way as clofibrate. In a clinical study of 46 patients who received the drug for 1 month, improvements in transaminases and lipid levels were found. Orlistat, a lipase inhibitor, was administered for 6 months in eight obese patients with NASH. The drug reversed fat completely in six patients and improved inflammation and fibrosis.
Oxidant stress has also been proposed as a mechanism of liver injury in these patients. Metformin has been tested in pilot studies and led to normal liver tests after treatment in some patients, with
an improved liver biopsy at 1 year. This interesting finding was further pursued in a study with 20 patients treated for 4 months, who showed biochemical improvement. The insulin sensitizers proglitazone and rosiglitazone also appear promising in uncontrolled trials.
Cytoprotective agents have been used as well. Ursodeoxycholic acid (UDCA) is potentially cytoprotective, may prevent membrane injury, and has been useful in primary biliary cirrhosis. In a pilot study, in patients with NASH, the use of ursodiol led to improvement in alkaline phosphatase, ALT, and gamma-glutamyl transferase (GGT), as well as the grade of fat on biopsy. A long-term randomized controlled trial was recently completed, but failed to confirm the benefits of UDCA.
Another recent abstract suggested that low-dose prednisone led to improvement in transaminase levels. Most recently, homocysteine levels have been found to be higher in patients with nonalcoholic steatohepatitis. Betaine, the drug used to treat homocystinuria, was tested in 10 patients with NASH for 1 year of therapy. Seven of the 10 completed the year’s treatment. Of these, three showed normalization of liver biochemistry, another three had greater than 50% improvement, and histological improvement by two or more points was seen in half of the patients – suggesting that this is a very promising new therapy.
**Liver transplantation**
As mentioned above, NASH is becoming an increasingly important reason for liver transplantation. NASH can recur aggressively after transplantation, which suggests that the metabolic defect underlying the development of the condition is not principally controlled by the native liver.
*Note: This paper was presented at the Gastro 2003 Meeting held in Punte del Este, Uruguay, on September 23–October 2, 2003. The full-length version of this article and an accompanying reference list are available in the online version of World Gastroenterology News (www.worldgastroenterology.org).*
for 3 years, with a similar matched number of patients receiving a placebo; no differences in the incidence of gastrointestinal side effects were seen between the two groups. A recent case-controlled cohort study of over 6000 alendronate users revealed no increase in gastrointestinal bleeding, perforation, or ulcer hospitalizations for the alendronate-exposed group in comparison with a control group having osteoporosis and osteoporotic fractures.
**Conclusions**
Erosive esophagitis is a significant problem with bisphosphonate drugs. It can be avoided by following the recommended dosage instructions and by not administering these agents to patients with reflux disease or motility disorders of the esophagus. The acute ulcers seen in the stomach and duodenum of patients taking these agents are self-limited in duration, and are not associated with the symptoms or complications of peptic ulcer disease.
*Note:* This paper was presented at the Gastro 2003 Meeting held in Punte del Este, Uruguay, on September 23–October 2, 2003. The full-length version of this article and an accompanying reference list are available in the online version of *World Gastroenterology News* (www.worldgastroenterology.org).
---
**The Cox-2 Inhibitors – Are They Really Safer?**
**Frank L. Lanza**
The cyclooxygenase-2 (Cox-2) inhibitors are a relatively new class of nonsteroidal anti-inflammatory drugs (NSAIDs) that selectively inhibit the form of cyclooxygenase that catalyzes prostaglandin production at sites of inflammation. Theoretically, these drugs offer a significant advantage over the older traditional NSAIDs, which are nonselective in that they inhibit both Cox-1 and Cox-2. Cox-1 is found in almost all tissues, including the stomach, where it facilitates the production of mucosal protective prostaglandins. Inhibition of Cox-2 leads to mucosal injury and ulceration in 20–30% of all patients using these drugs chronically. Two to four percent of these patients develop gastrointestinal bleeding or other complications of ulcer disease.
The Cox-2 inhibitors that have been evaluated most extensively are rofecoxib and celecoxib. Numerous clinical trials have evaluated these two drugs in comparison with the older nonselective NSAIDs with regard to the rates of erosive gastropathy and ulcer in both normal volunteers and arthritic patients. All of these studies have shown conclusively that the degree of injury seen with the Cox-2 agents is much less than that with the nonselective agents. Two large outcome trials have also been reported, each evaluating over 8000 patients for gastrointestinal bleeding and other complications of ulcer disease. In one trial, rofecoxib 50 mg/day was compared with naproxen 500 mg b.i.d., and in the other, celecoxib 400 mg b.i.d. was compared with either ibuprofen 800 mg t.i.d. or diclofenac 75 mg b.i.d. Both studies showed an approximately 50% reduction in the occurrence of complicated ulcers in patients receiving the Cox-2 inhibitors in comparison with patients receiving the traditional nonselective inhibitors. However, both studies left unanswered questions concerning the concurrent use of low-dose aspirin with the Cox-2 inhibitors. In the rofecoxib study, in which patients receiving low-dose aspirin were excluded, there was a significant increase in the number of myocardial infarctions in the group receiving rofecoxib – which, unlike its comparator, naproxen, does not inhibit thromboxane. In the celecoxib study, low-dose aspirin was allowed in 21% of the patients, and the advantage for the reduction in the rate of complicated ulcers with celecoxib versus the comparator drugs disappeared when the aspirin users were analyzed separately.
**Conclusions**
From the point of view of gastrointestinal safety, Cox-2 inhibitors are safer than traditional nonselective NSAIDs. The increased level of safety seen with Cox-2 inhibitors may be qualified by the concurrent use of low-dose aspirin.
*Note:* This paper was presented at the Gastro 2003 Meeting held in Punte del Este, Uruguay, on September 23–October 2, 2003. The full-length version of this article and an accompanying reference list are available in the online version of *World Gastroenterology News* (www.worldgastroenterology.org).
Colonoscopic polypectomy is the most common therapeutic procedure performed in most endoscopy units. It is a safe technique when conducted by experts using a cautious technique and equipment that is in proper working order. In these conditions, complications should be uncommon. Most of the situations regarded as complications after polypectomy, especially immediate bleeding, should be termed “incidental events” rather than complications, as they can often be successfully treated at the time of polypectomy.
**Complications**
**Bleeding.** The most common complication after polypectomy is bleeding, which occurs in about 0.3–6% of cases. The risk is increased when blended current is used and when the snare is pulled through the polyp without cautery being used. Bleeding that occurs immediately after polypectomy can usually be stopped endoscopically, and transfusion is rarely needed. Delayed bleeding can occur in 2% of cases, often more than 1 week after the polypectomy procedure. Most patients in whom this complication occurs can also be managed endoscopically, and only a few require surgery.
**Perforation** occurs in 0.3% of polypectomies. It can appear when the whole thickness of the intestinal wall is captured within the snare. Perforations are usually seen immediately by the endoscopist, but can appear later due to the spread of thermal injury to the deeper layers of the bowel.
**Postpolypectomy coagulation syndrome** is seen in 0.5–1% of patients. It results from a transmural burn causing irritation of the serosa, with a localized inflammatory response in the absence of frank perforation, and occurs 6 h–5 days after polypectomy. It is important to recognize this syndrome in order to avoid unnecessary laparotomy, since it resolves with conservative treatment in most patients. The patient complains of abdominal pain and tenderness, and sometimes fever and leukocytosis. Twenty percent of patients will have an acute presentation, with guarding, rigidity, and fever. All symptoms usually disappear in 2–5 days. Computed tomography can exclude free intraperitoneal air or retroperitoneal air.
**Prepolypectomy procedures**
Coagulation status should be optimized in patients who are scheduled to undergo colonoscopy with possible polypectomy.
**Epinephrine injection.** The efficacy of this has not been demonstrated. Because of the low risk of immediate bleeding, most endoscopists do not pre-inject the stalk of pedunculated polyps with epinephrine.
**Loop.** A detachable nylon loop has been developed that can be placed over the stalk in the same way as a wire snare, and tightened. It may be placed over the polyp head or onto the bleeding stalk after transection. The loops spontaneously slough in 4–7 days.
**Two-snare technique.** One wire snare is placed on the pedicle near
*Use of detachable loop placed on the residual stalk after polypectomy to ensure hemostasis.*
the colon wall, and after tightening, the snare handle is cut off and the scope is removed. When the instrument is reintroduced, another snare is used to transect the polyp. The original snare, left in place, sloughs within 4 days, after which it is expelled.
**Hemoclips.** These can also be placed to prevent bleeding from pedunculated polyps, but they are more useful for bleeding after polypectomy.
**Immediate bleeding**
The technique for controlling bleeding depends on the severity of the bleeding, the type of polyp, and preference of the endoscopist. A combination of techniques is frequently required.
**Pedunculated polyps.** Immediate bleeding after resection of a pedunculated polyp can usually be stopped by regrasping the pedicle with a snare and holding it on the pedicle for 5 min to stop the blood flow. Once active bleeding is controlled, there is usually no need for additional hemostatic measures. When bleeding cannot be stopped by regrasping the pedicle, several additional methods used alone or in combination can be effective. Epinephrine at a dilution of 1 : 10 000 can be injected. A thermal probe can be used, but the current delivery should be decreased by approximately 50%, as the colon wall is very thin. Bleeding can also be controlled by placing Hemoclips on the pedicle.
Band ligation has been used to control massive postpolypectomy bleeding, but the high suction pressure may entrap the muscularis propria and serosa within the band, leading to full-thickness necrosis and perforation.
**Sessile polyps.** There are several options for controlling bleeding after the excision of a sessile polyp. The bleeding site can be injected with dilute epinephrine (1 : 10 000). The hot biopsy forceps can be used as a cautery probe by direct application of monopolar current. Hemoclips can be placed directly on the bleeding site in an attempt to occlude the bleeding vessel. Spurting or oozing can be controlled using the argon plasma coagulator.
**Delayed bleeding**
Most polypectomy bleeding can be managed endoscopically, with only unusual cases requiring surgery. Therapy is usually with epinephrine injection, often in combination with a thermal method. Swelling and induration at the polypectomy site within 1–2 days of polypectomy, resulting in increased thickness of the wall, makes it safer to use thermal modalities, so that repeated applications of current can be used to achieve hemostasis. Hemoclips can also be effective.
**Perforation**
If the perforation is immediately seen after polypectomy and it is small and localized, it can be managed endoscopically, as the colon is usually clean and Hemoclips can be placed. If a large perforation occurs or the perforation happens several days later, surgery is recommended.
**Postpolypectomy electrocoagulation syndrome**
Treatment is conservative, consisting of intravenous fluids, a nil-by-mouth regimen, bed rest, and antibiotic treatment until the symptoms improve. In one report, hospitalization was required in approximately 20% of patients, all of whom responded to the above treatment. Outpatient management with clear liquids and oral antibiotics is reasonable in patients with mild symptoms. In the presence of free intraperitoneal air, treatment is directed toward a perforation.
---
**Note:** The full-length version of this article and an accompanying reference list are available in the online version of *World Gastroenterology News* (www.worldgastroenterology.org).
---
**Prof. José R. Armengol-Miró**
Hospital General Universitario,
Vall d’Hebron,
Pg. Vall d’Hebron 119–129,
08035 Barcelona, Spain
E-mail: email@example.com
OMGE and OMED have designated the development of Training Centers, in areas of need as a major component of their Education and Training platform, the core of our mission. Thus, our support of the training program in Soweto and the initiation of the program in Rabat, Morocco; the latter to serve Francophone Africa. Now the spotlight turns to Cairo and the launch of the Cairo training Center.
In the presence of the Prime Minister of Egypt and the Ministers for Health and Population, Higher Education and Scientific Research, Tourism and International Cooperation of the Government of Egypt the Center was officially launched in Cairo and an agreement, pertaining to the Center signed by Professor Eamonn Quigley, representing OMGE and the Minister for Higher Education and Scientific Research. To promulgate the launch a multidisciplinary conference in gastroenterology was held simultaneously and attended by gastroenterologists from Egypt, the Middle East and Africa. The real focus, however, was on the trainees; drawn from 15 countries throughout the Middle East and Africa, these young physicians enjoyed exclusive sessions at the conference, participation in all of the conference sessions and, most importantly, and once the other attendees had departed, several days of intensive “hands-on” and didactic training at the Theodor Bilharz Institute, in Cairo.
All of this would not have been possible without the tremendous efforts of Professor Hussein Abdel-Hamid, the Center Director, Professor Ibrahim Moustafa, the co-director, and the entire team in Cairo who worked so hard in putting this course together and in ensuring that such a diverse representation of trainees from throughout the Middle East and Africa could be present. We are all indebted to the Prime Minister and the Government of Egypt as well as to the President of the Theodor Bilharz Institute and her faculty for making all of this possible.
The focus of the first training session was on portal hypertension and its management, a most appropriate topic given the importance of this issue in the region, whether related to schistosomiasis or chronic hepatitis. The Cairo Training Center could not have enjoyed a more appropriate launch; a success which reflects the strengths of Egyptian gastroenterology and which augur well for the center as a focal point for education and training in gastroenterology throughout the region.
OMGE and OMED look forward to a long and productive partnership with our friends in Egypt and are eager to establish contact with those who practice, or who aspire to practice, gastroenterology throughout the Middle East and Africa. Our goal is the same: to promote the highest standards in the care of patients with gastrointestinal disorders.
Who Trains the Trainers Who Train the Trainers?
James Toouli
The above title was a question asked in jest by a colleague participating in the recent workshop held in Queenstown, New Zealand. However, it is a pertinent and quite appropriate question.
Underlying it is the fundamental issue of the qualifications that the faculty members of the Train the Trainers program have for running the workshop, and in addition where and how the standard for the curriculum was developed.
The answer to the question is simple. The trainers who train the trainers have had no specific training – but indeed nor have the majority of teachers in medicine and, more specifically, in the fields of gastroenterology and gastrointestinal surgery. The workshop evolved from ideas derived from undergraduate and postgraduate teaching currently practiced at the universities in which the faculty members work. I am particularly indebted to the many curriculum conferences I have attended with my faculty colleagues for providing many of the ideas for the structure that is used in the Train the Trainers (TTT) meetings. Furthermore, ideas have been adopted from a variety of sources, including the writings of Sackett and colleagues, as well as similar programs run in the UK for the College of Surgeons and in the Netherlands for the training of gastrointestinal surgeons. However, without doubt much of the content of what is currently being offered has been developed out of faculty discussions and from interchanges between the participants and faculty members.
TTT has evolved since its beginnings to become an educationally framed workshop that is highly rated by the participants because it gives them an opportunity to share with colleagues their ideas on medical education. Over time, faculty members have acquired extensive expertise in teaching methods, and within the format of the TTT meetings they share this with the participants. It is a workshop that is relevant to all educators in gastroenterology and gastrointestinal surgery, whether they work in major tertiary referral centers in the heart of London or New York or rural outposts in Sudan or Indonesia. The issue that is common to all is education of colleagues and students and techniques are applicable to all levels of medical specialist practice.
Thus, the trainers who train the trainers have been self-trained, and the validity of their training is attested to by the enthusiastic support and acclaim received from the colleagues who have contributed to all of the past workshops. I am very grateful for their support and, more importantly, for their contribution to what I and many of my colleagues have learned from the association. Many of our colleagues have written to us after the workshop when asked to record their experience. Below is a collection of some of these responses following the TTTs in Queenstown.
These testimonials from the world’s leaders in the field of gastroenterology have been very important to our association with regard to raising financial support for the Train the Trainers program. I am delighted to welcome Altana, Inc. as a partner in the future running of Train the Trainers. Altana have recently committed a substantial financial grant in support of this educational activity.
James Toouli, MD
Co-Chairman, OMGE-OMED
Education and Training Committee
Flinders Medical Centre,
Department of General and Digestive Surgery,
Bedford Park,
SA 5042, Adelaide, Australia
E-mail: firstname.lastname@example.org
Train the Trainers on the move again!
Train the Trainers 2004 in Crete, Greece, was fully subscribed. A registration list has been opened for applicants wishing to participate in Train the Trainers 2005. TTT 2005 will take place in Punta del Este, Uruguay, on 16–18 March 2005. For further information on the application process, please refer to our web site (www.worldgastroenterology.com) or contact the OMGE Executive Secretariat at:
Medconnect, Bruennsteinstrasse 10, 81541 Munich, Germany
Tel.: +49-89-4141 92 40, fax: +49-89-4141 92 45
E-mail: email@example.com
What the Participants Thought of Train the Trainers 2003
New Zealand
“I was not disappointed. From the start, the emphasis on a casual informal atmosphere in a convivial ‘resort-style’ atmosphere where learning would be amongst peers was what I had hoped for. There was the right amount of semi-formal presentation from well-recognized experts that set up the vital break-out sessions. The caliber of the faculty was first-class and had to be. With the level of seniority and experience of the workshop participants, anything less than the best would have been worthless.
Since returning to ‘normal life’, the Train the Trainers participants from New Zealand have embarked on establishing an ‘Introduction to Flexible Gastrointestinal Endoscopy’ course aimed at basic medical and surgical trainees. This course will be based on many of the principles emphasized at the Train the Trainers Workshop.”
Dr. David Theobald, New Zealand
Malaysia
“One would hope that the workshop would be held more frequently, so that more trainers could benefit from the course. One should also not underestimate the value of the camaraderie engendered between trainers from all corners of the world. The Train the Trainers workshop is an outstanding contribution by the OMGE to the future of gastroenterology training. Long may it continue.”
Dr. Jayaram Menon, Malaysia
New Zealand
“The most important take-home message for me would be the Pendleton Rules for assessing performance: what the person thought went well, what the observer thought went well, what the person thought could be improved and what the observer thought could be improved. This is a much more supportive and constructive way to critique performance and it can be applied to many situations.”
Dr. John Wyeth, New Zealand
South Africa
“There was such good camaraderie, it was hard not to be positive about the whole experience. There was lots we can take and apply now to our teaching methods. The next step is for a couple more to go to Crete next year and then for us to organize one in South Africa. If the New Zealanders can do it, then so can we.”
Dr. Sandie Thomson, South Africa
New Zealand
“We have had initial meetings from all those from our region who attended Train the Trainers, with a view to establishing an Endoscopy Skills Training Course, by starting a basic foundation course 2004. Without the Train the Trainers workshop in Queenstown, I do not think we would have had the empowerment and ideas to allow us to proceed, and we received excellent direction for future training programs.”
Dr. David Morris, New Zealand
Pakistan
“The endoscopy training models were superb and the hands-on training was conducted very well. The session by Eamonn Quigley on publishing was one of the best parts of the workshop. During the workshop, I did mention that the statistical part of conducting any significant research was missing, and I was told that it itself is a big topic and needed more time.”
Dr. S.M. Wasim Jafri, Pakistan
Indonesia
“It is very useful for improving the gastroenterology services in our hospital in Balikpapan, East Borneo, Indonesia. As we are far from Indonesia’s capital city, we have to try to develop our skills and our instruments with more effort. We hope that this course will continue...”
and provide more opportunity for participants from developing countries.”
Dr. Lukman Hatta Sunaryo, Balikpapan, Indonesia
New Zealand
“Such a buzz to be surrounded by keen – and often young – gastroenterologists and surgeons from all round the world. A great opportunity to meet similar people from such different ways of life with such different types of gastrointestinal practice. That has to be the highlight of the whole experience – the people. And not just the other participants, the faculty – dedicated, enthusiastic, and believers. And it’s contagious. I caught whatever was going and came back enthused – not just about improving myself as a trainer, but my whole country, and enthused not just about training but about Gastro in general. Please can we have a workshop on how to stay enthused!”
Dr. Judith Collett, New Zealand
Australia
“For me the course was a huge success and met and exceeded all my expectations.
Following the course, I was more confident in providing feedback to advanced trainees in gastroenterology. The general consensus among them was that they were previously not accustomed to feedback sessions, and they were generally positive about this procedure. I therefore wondered why this course is not more widely publicized or even compulsory for any potential departmental heads, directors of endoscopy, or anyone with similar interests. I am also most interested in upcoming moves toward introducing simulators as part of training for gastroenterology trainees.
I appreciated the full 4 days of the course, and it was one of the best-organized workshops I have ever attended.”
Dr. Rupert Leong, Australia
Latvia
“Train the Trainers course gave me new experience, both professional and intellectual. The good aura of the TTT is thanks to your input.”
Dr. Aldis Pukistis, Latvia
Kenya
“The course was gratifying. The modules were well chosen, the faculty was excellent. There is a need to either reduce the syllabus content or reduce the module numbers. There is a need to give more time to discussion sessions after the break-away sessions. I feel that they were rushed a lot. The time allotted for the teaching skills on procedures was inadequate.”
Dr. Elly Ongutu, Kenya
India
“When I first received the invitation to attend the course, I was skeptical regarding its usefulness. I always thought teaching is an art, an inborn talent – either you have it or you do not. What can this type of workshop teach us? But this turned out to be one of the best conferences I have ever attended. Minute details of organization were worked out meticulously. The venue was great, and the people were friendly. But above all, a great deal of thought had been put into selecting the discussion topics and preparing the syllabi. There was the right mixture of educational lectures and interactive sessions. The idea of group presentations was great, and it showed how people can be creative, given the chance.”
Dr. Ajay Kumar, India
A hands-on endoscopy workshop module.
A new OMED/OMGE Outreach Program, designed to introduce or restore endoscopic services to areas in need, was started at the Eva Perón Teaching Hospital in Rosario, Santa Fe province, Argentina, in September 2003, under the direction of Dr. James DiSario of Salt Lake City, Utah, USA. The program, administered by the Combined Education and Training Committee, is a bold humanitarian step by OMED/OMGE to help those lacking specialized medical care due to economic hardships.
The site was chosen on the basis of a request-for-proposals system and was reviewed by an international committee. The selected proposal was submitted by Dr. Diego Murature, a surgeon and endoscopist at the Eva Perón Teaching Hospital. The Olympus Corporation donated the endoscopic equipment and supplies to OMED and the site was provided by the OMED/OMGE Combined Education and Training Committee. Dr. James DiSario and Dr. Roque Saenz of Santiago, Chile, representing the Combined Education and Training Committee, and Roberto Grau and Elsa Waku of Olympus/Latin America presented the equipment to the hospital. Dr. Jose Lopez, Hospital Director, and Mr. Fernando Bondeson, Minister of Health for the Province of Santa Fe, formally received the donation in a public ceremony on 26 September 2003. An overflow crowd of local dignitaries, medical staff and trainees, and members of the public attended the opening ceremony, and a number of local broadcasting and print media covered the event.
The Eva Perón Teaching Hospital is a 120-bed public facility that services a large and economically disadvantaged population. Currently, there are five trained medical and surgical endoscopists on the staff and trainees at all levels. The hospital has a history of excellence in digestive surgery, counting Professors Juan Miguel Acosta and Carlos Pellegrini among its former distinguished faculty members. However, due to a struggling economy and a disastrous flood of the nearby Paraná River, the facility had deteriorated and basic endoscopic services were not reliably available.
An important aspect of this project was governmental, institutional, and community support, which are the key to continued success. Because of the donation, a wing of the hospital was remodeled for the new endoscopy unit and includes an intake and processing area, the endoscopy room, a recovery area, and a combined endoscope-processing space and nurses’ area. Community volunteers carried out the construction work, and there is a community activities office adjacent to the endoscopy suite. In addition, because of the formal educational program associated with this project, a new auditorium was constructed that will
The official certificate of donation. Translation: “For the benefit of the people of Argentina, the Organisation Mondiale d’Endoscopie Digestive (OMED) and Organisation Mondiale de Gastro-Entérologie (OMGE), in conjunction with Olympus Latin America, Inc., hereby equip the Gastrointestinal Endoscopy Unit at the Hospital Escuela Eva Perón in Granadero Baigorria in the city of Rosario in the Province of Santa Fe, Argentina.”
Formal presentation of the certificate of donation by (left to right): Mr. Roberto Grau (Olympus), Dr. Roque Saenz, Dr. James DiSario, and Ms. Elsa Waku (Olympus), with Dr. Diego Murature in attendance.
be used for continuing medical education and future regional medical conferences. The Provincial Minister of Health pledged that an appropriate budget will be provided to maintain the endoscopy unit at its current state of function, and Dr. Lopez sent several nurses and technicians to be trained in Buenos Aires.
Dr. DiSario and Dr. Saenz provided on-site training, including practical discussions with the medical and nursing staff on topics such as unit management, safety procedures, and appropriate handling of complications. Following the ceremony, Dr. DiSario and Dr. Saenz presented talks on endoscopic approaches to gastrointestinal bleeding, endoscopic therapy for gastrointestinal cancers, and an update on Barrett’s esophagus. Dr. Murature then displayed video-endoscopy demonstrations and provided commentary. The auditorium was filled to capacity with the hospital medical staff, regional physicians and surgeons, and trainees.
In the 3 months following the opening of the Endoscopy Unit, 129 upper endoscopies, 60 colonoscopies and sigmoidoscopies, and 21 ERCPs were performed for a wide variety of diagnostic and therapeutic indications. Regarding the OMED/OMGE Outreach Program, Dr. Murature commented, “You are doing great work, and your project is helping a lot of people in my country.”
Dr. DiSario said, “This project was a success by all measures, and a win-win initiative for all parties involved. It will ensure endoscopic services to the community and a venue for medical and surgical education for years to come. We are grateful for the generosity of the Olympus Corporation and look forward to continuing this program in other areas in need throughout the world.”
The next Outreach Program donation site is intended for Sub-Saharan Africa, and the selection will then rotate to the Asia and Pacific zone the following year (see the accompanying box for details on how to present a proposal).
---
**Request for Proposals**
Proposals are now being accepted for the new OMED/OMGE Outreach Program, designed to donate endoscopic equipment to areas in need. The next Outreach Program donation site is to be located in Sub-Saharan Africa.
To meet the program’s requirements, a candidate site has to be a public facility with adequate space for the unit, with a defined need for services, with one or more trained endoscopists, with nursing and technical personnel who are or can be trained, and with an appropriate guaranteed operational budget for supplies and maintenance. Proposal details for the Sub-Saharan Africa project can be obtained online at [www.omed.org](http://www.omed.org) or [www.omge.org](http://www.omge.org) and should be submitted to Bridget Barbieri (address below) and received by 30 April 2004.
Contact: **OMGE Executive Secretariat**
Bridget Barbieri, Medconnect, Bruennsteinstrasse 10, 81541 Munich, Germany
E-mail: firstname.lastname@example.org
---
*The medical staff from the Eva Peron Teaching Hospital with Dr. James DiSario and Dr. Jose Lopez (hospital director) at the center.*
The camera pill for kids – more ‘sci-fi endoscopy’
A further step in the acceptance of the camera pill was made recently, when the US FDA approved its use in children. The M2A® Capsule Endoscope, produced by Given Imaging, uses a disposable miniature video camera located inside a capsule, similar in size to a large vitamin. The procedure is already being used successfully in adults. The capsule is effective because it can view more of the small bowel than physicians have ever been able to see before.
The mini capsule marks just another milestone in the path being taken by the major device companies towards alternatives in endoscopic techniques. Chromoendoscopy is already starting to be clinically employed, but other newer ideas are the subject of ‘sci-fi’ in the GI world. Raman spectroscopy and fluorescence endoscopy are both techniques, similar in nature, where light is used in different forms and wavelengths.
Zorbite gets approval after orphan status
Serono’s Zorbite (somatropin), a recombinant human growth hormone for use in the treatment of short bowel syndrome (SBS) has been given approval by the FDA. This approval came despite concerns that the positive clinical data could not be repeated in a larger population. Zorbite, administered with specialised nutritional support significantly reduced patient dependence on parenteral nutrition in a double-blind, controlled study. Serono already markets the drug as Serostim for treating severe AIDS-related weight loss and the rapid decision came as a surprise to many.
Erbitux finally gets its US nod
The troubled years of Imclone’s history with Erbitux now appear to be behind them. After years of failed starts with the regulatory authorities and internal financial scandals, FDA approval has now been given to the drug which is indicated for the treatment of advanced colorectal cancer. It is the first in a series of expected approvals of similar drugs, to be marketed by Bristol-Myers Squibb in the US and Merck KGa in Europe. Erbitux will shortly be followed by launches from Genentech and Roche (Avastin) and from Sanofi-Synthalabo (Eloxatin).
Roche rebound helped by Hepatitis drugs
Roche, one of the two big pharmaceutical companies based in Basel, Switzerland, has rebounded in 2003 with promising growth from its hepatitis drug unit, seeing a 13% increase in sales of Pegasys. Pegasys has been stealing market share from Schering-Plough’s competing product Peginteron. All of this adds to the improving fortunes of Roche, who is also a major shareholder in Genentech and the marketing partner for Avastin (see above) awaiting and expecting approval in 2004. Avastin is expected to be a multi-billion dollar earner for the company.
Double dosing; PPI’s and Cox-2’s
A study published late last year found that drugs such as TAP’s Prevacid or AstraZeneca’s Nexium are often prescribed along with Cox-2 inhibitors such as Pfizer’s Celebrex and Merck’s Vioxx. This is somewhat unexpected, since this class of pain relievers is often touted as not being the cause of gastrointestinal problems compared to other pain treatments. The double prescribing is likely to help fuel sales of all of these drugs.
Long-term study to test role of aspirin and Nexium
A news source is reporting that British scientists are embarking on a 10-year study of 5000 men to see whether a combination of aspirin and AstraZeneca’s Nexium (esomeprazole) can prevent cancer of the oesophagus. Scientists are keen to examine the possible role of aspirin’s anti-inflammatory properties in cancer prevention.
Zelnorm (Zelmac) shows overall symptom relief for IBS
A study published in the Scandinavian Journal of Gastroenterology and released by Novartis, showed that Zelnorm significantly improved overall symptoms and showed efficacy in providing relief from irritable bowel syndrome. The study included 600 participants from Nordic countries and patients using the drug “were 78 percent more likely to experience satisfactory relief of their symptoms over a period of 12 weeks than patients taking placebo”.
Colorectal cancer is a preventable disease. When people migrate from low-incidence countries, such as Japan or Africa, to a high-incidence country such as the United States, the rates of disease among their offspring increase to those of their adopted country. This indicates that there is something in the environment that is responsible. If we could identify and modify these environmental factors, we could prevent colorectal cancer.
**Diet**
There have been a large number of studies of diet and colon cancer. Unfortunately, it has been difficult to draw firm conclusions about the association between diet and colorectal cancer.
**Red meat.** The majority of studies have shown an increased risk of colorectal cancer with high intakes of red meat. Heterocyclic amines and polycyclic aromatic hydrocarbons are produced when red meat is cooked at high temperature. These compounds may be carcinogenic.
**Fiber.** Burkitt advanced the hypothesis that fiber prevents colorectal cancer almost 40 years ago. Although the hypothesis is appealing, recent studies indicate that it may not be correct. A large, carefully conducted cohort study found no protective effect of fiber from any source – cereals, fruits, or vegetables. Two randomized trials of fiber in post-polypectomy patients did not show that fiber prevented new adenomas during the 3-year study period.
**Fruits and vegetables.** There are a large number of studies of fruits and vegetables in connection with colorectal cancer, and virtually all of them demonstrate a moderate protective effect. One exception is a report from the Nurses’ Health Study, which did not find a protective effect against colon or rectal cancer. While the mechanism for protection by vegetables is not known, there are a large number of chemicals from the plant kingdom that have been found to be anticarcinogenic or antimutagenic in test systems. These chemicals operate at a number of different sites in the carcinogenic pathway.
**Calcium.** A large randomized controlled trial has shown that 1200 mg per day of calcium, in the form of calcium carbonate, resulted in a 19% reduction in the development of new adenomas and a 24% reduction in the number of new adenomas in comparison with a placebo. The end point in the study was adenomas, rather than cancer, but because virtually all cancers are thought to arise from adenomas, the protective effect is thought to extend to cancer. The mechanism for protection by calcium is not known.
**Selenium.** Trace metals such as selenium, zinc, iron, and fluoride may be capable of influencing the risk of colorectal cancer. A large randomized trial of selenium administration to prevent skin cancer found that colorectal cancer deaths were 60% less frequent in individuals who were assigned to the selenium group. These results are quite surprising and need to be confirmed.
**Micronutrients.** Because fruits and vegetables are associated with a lower risk of colorectal cancer, one might speculate that the protective effect might be due to vitamins, particularly the antioxidant vitamins A, C, and E. Antioxidants can inhibit free-radical reactions and thereby prevent oxidative damage to DNA. Unexpectedly, clinical trials of antioxidant vitamins have not shown an effect against colonic neoplasms. In the large Nurses’ Cohort, women who took multivitamins that contained folic acid for at least
15 years were about 75% less likely to develop colon cancer than women who never took multivitamins. Protection required vitamin use for 15 years or more; a shorter duration of use conferred no protection. The protective effect seen in the Nurses’ study was primarily due to the folic acid component of the multivitamins, rather than the antioxidant vitamins.
**Smoking and alcohol.** The majority of studies demonstrate an increased risk of colorectal cancer and adenomas with cigarette smoking.
Alcohol has been linked with an increased risk for both adenomas and cancer. The data are more consistent for adenomas, but the majority of studies also support an association between alcohol and cancer. The effect of alcohol may relate to its antagonism of methyl group metabolism, and the effects appear to be increased by low levels of the folic acid, a methyl donor.
**Physical activity.** Physical activity has consistently been shown to protect against colorectal cancer. Both leisure-time and occupational activities appear to be important.
**Obesity.** The amount of food, rather than the type, may be important. Obesity has been linked to colon cancer in both men and women. Recent cohort studies have shown that obese women were 50% more likely to develop colon cancer, and obese men 80% more likely.
**Constipation.** There has long been speculation that constipation might be responsible for large-bowel cancer, due to more prolonged contact with the mucosa by carcinogenic substances in feces. However, neither constipation nor the use of laxatives appears to be an important risk factor for colorectal cancer.
**NSAIDs.** Aspirin and nonsteroidal anti-inflammatory drugs appear to be protective against colorectal neoplasia, based on evidence from a variety of different types of studies. In a randomized trial of polyposis patients, sulindac has been shown to result in polyp regression. The mechanism is not known, but it could be related to increased apoptosis in transformed mucosa. There has been speculation that the effect could be due to inhibition of the cyclooxygenase-2 pathway to prostaglandin production, since Cox-2 is up-regulated in colon tumors. Celecoxib has been shown to decrease the numbers of polyps in polyposis patients. Three recent randomized controlled trials have shown that daily aspirin can decrease the risk of recurrent colorectal adenomas. Taken together, the three studies, along with extensive observational studies, show that aspirin is an effective chemopreventive agent.
Despite the compelling evidence of a protective effect of aspirin and conventional NSAIDs, these drugs have well-known adverse effects. Drugs in this class can increase the risk of hemorrhagic strokes and gastrointestinal bleeding. Because of an unfavorable cost–benefit ratio, these drugs should not be recommended for routine prevention in low-risk individuals.
**Hormone use.** Postmenopausal hormones have been shown to be associated with a decreased risk of colorectal cancer. A meta-analysis has shown that postmenopausal women who had taken hormone replacement were 20% less likely to develop colon cancer. A recent study showed that hormone replacement reduces the overall risk of colon cancer.
**Practical recommendations**
Sensible modifications in diet and lifestyle could have a favorable impact on the development of colorectal cancer. At the same time, it is important to recognize that the benefits of screening for colorectal cancer completely overshadow the effects of primary prevention. In discussing strategies for cancer prevention with our patients, it is very important to make it clear that the most important strategy is screening.
Practical, evidence-based recommendations for primary prevention might include the following:
- Eat a sensible diet, high in vegetables and fruits; limit red meat (less than two servings per week).
- Avoid obesity (body mass index < 26 kg/m²).
- Take regular exercise – 30 min/day, moderate or vigorous.
- Consider supplements with calcium (1200 mg/day) and folic acid (1 mg).
- Limit alcohol consumption; don’t smoke.
- Participate in regular screening.
- Avoid health claims and fads based on weak data.
*Note: This paper was presented at Digestive Disease Week, Orlando, Florida, 2003.*
**Robert S. Sandler, MD, MPH**
Professor of Medicine and Epidemiology,
Chief, Division of Gastroenterology and Hepatology,
CB#7555, 4111 Bioinformatics Building,
University of North Carolina,
Chapel Hill, NC 27599-7555, USA
E-mail: email@example.com
The Holy Father is pleased to have been informed of the International Colorectal Cancer awareness month being promoted for March this year. He sends prayerful best wishes and heartfelt encouragement to all those participating in his initiative.
His Holiness is appreciative of the work of the International Digestive Cancer Alliance, which steadfastly seeks to promote screening for the early detection and primary prevention of digestive cancers throughout the world. The Church is always open to genuine scientific and technological progress, and she values the efforts and sacrifices of those who, with dedication and professionalism, help to improve quality of service rendered to the sick, and who seek to reduce factors which adversely affect human life and health (cf. No. 4 Message for the World Day of the Sick, 2003). The Holy Father reminds the members of the international medical community of the increasingly urgent need to close the unacceptable gap that separates the developing world from the developed in terms of preventive health care education and treatment. In this regard he is confident that they will address the question of access to the health care programmes and structures, lacking in many parts of our world.
Entrusting the activities of the International Colorectal Cancer awareness month to the guidance of Mary, Seat of Wisdom, His Holiness invokes God’s abundant blessings upon all those involved and he cordially imparts his Apostolic Blessing.
With every good wish, I am
Yours sincerely,
Leonardo Sandri
Substitute
Results of an OMGE International Survey
The Role of the Gastroenterologist in the Management of Patients with Digestive Cancers
Position Paper from an OMGE Working Party*, chaired by Sidney J. Winawer
Digestive cancers as a group have the highest incidence of all cancers worldwide. More than 3 million new cases occur each year, with 2.2 million deaths. A Working Party was organized by OMGE to evaluate the role of the gastroenterologist in the overall management of patients with digestive cancers and to make recommendations for improving the management and continuity of care of these patients.
A survey was developed and sent to OMGE’s member organizations. The survey asked questions in four main areas: practice directly related to these patients, including prevention, treatment, follow-up, and administration of chemotherapy; training of fellows in gastrointestinal programs in the area of digestive cancer; postgraduate education in digestive cancer; and society interactions in digestive cancer. Ninety surveys were distributed to leaders of member societies of OMGE worldwide.
Results
Of the 90 surveys, 47 responses were received from 47 countries. Collated responses to the survey are listed below.
- Gastroenterologists administer chemotherapy often/occasionally (30%) or rarely/never (69%).
- Gastrointestinal cancer treatment is administered by a multidisciplinary team of medical oncologists, gastroenterologists, radiation oncologists, and surgeons often/occasionally (57%) or rarely/never (40%).
- Gastrointestinal cancer treatment is planned by a multidisciplinary team of medical oncologists, gastroenterologists, radiation oncologists and surgeons often/occasionally (71%) or rarely/never (27%).
- Gastrointestinal cancer prevention programs are organized by gastroenterologists occasionally/often (68%) or rarely/never (30%).
- The top two components of cancer prevention programs are educational lectures for a medical audience and cancer screening guidelines, regardless of whether gastroenterologists or other individuals organize the programs.
- Among respondents with a gastrointestinal training program, fellows are trained most often in screening (94%), pathology of gastrointestinal cancer (94%), and follow-up of gastrointestinal cancer patients (91%), and least often trained in surgical oncology (51%), radiation oncology (20%), and alternative medicine (14%).
- The top five topics that respondents believe should be presented at postgraduate courses and clinical symposia are: new therapeutic approaches (97%), chemoprevention (90%), screening (88%), palliative care (85%), and the biology of gastrointestinal cancer (84%). Low scores were given for alternative medicine (48%) and lifestyle and cancer (75%).
- Ninety-one percent of respondents believed there should be more interactions between gastrointestinal and oncology societies.
Discussion
The management of patients with cancer has become exceedingly complex. Patients with digestive cancers are faced with an enormous increase in the range of options available for diagnosis and treatment. This usually works to the patient’s advantage, providing a benefit that has strikingly reduced the likelihood of deaths from cancer. However, patients may become lost in the maze of specialty medicine without a doctor who provides continuity of care throughout their illness. This can be disconcerting to the patient and family, and counterproductive for the specialists involved in the case. It was this perception that led OMGE to organize a working party to evaluate the role of the gastroenterologist in the management of patients with digestive cancers. The gastroenterologist is often the first physician to see the patient and make the diagnosis, and refer the patient for treatment. Often, however, the gastroenterologist does not remain involved during a long course of treatment, but may be called back to help in diagnosis or palliation at a later stage.
The purpose of the international survey reported in this paper is to evaluate the gastroenterologists’ role, and serve as a basis for making recommendations to
OMGE. The recommendations that this working party has made to OMGE are listed below. Others have also addressed this issue. A dialogue with other interested societies regarding this issue would be a good beginning, with a matrix provided by the newly formed International Digestive Cancer Alliance, whose mission is to raise awareness of digestive cancers worldwide.
**OMGE Working Party Recommendations**
- More interaction among physicians in the management of patients
- Gastroenterologists should be part of a digestive cancer team
- Gastroenterologists should be involved with patients throughout their management
- Fellowship training should include the full range of cancer management
- Postgraduate meetings should include multidisciplinary sessions on digestive cancers
*OMGE Working Party:*
S. Winawer, Chair (USA); J.R. Armengol-Miró (Spain);
D.K. Bhargava (India); M. Bushey (USA);
M. Classen (Germany); M. Crespi (Italy);
E.V. Cutsem (Belgium); W. Fleig (Germany);
R. Fujita (Japan); J. Geenen (USA); S.J. Konturek (Poland);
A. Kulakowski (Poland); S. Labib (Egypt); B. Levin (USA);
P. Rouger (France); P. Rozen (Israel);
W. Schmiegel (Germany); B. Wong (China);
S.-D. Xiao (China); G. Young (Australia); A. Zauber (USA)
*Note:* The full-length version of this working party report is available at [www.worldgastroenterology.org](http://www.worldgastroenterology.org). Readers are encouraged to refer to this full publication, which also contains suggested reading.
**Corresponding author**
Prof. Sidney J. Winawer, MD
Memorial Sloan-Kettering Cancer Center,
1275 York Avenue,
New York, NY 10021, USA
E-mail: firstname.lastname@example.org
---
**First National Working Party Conference on Colorectal Cancer Screening (Berlin, Germany)**
**Meinhard Classen**
Germany is the first country to offer its population an early detection program for colorectal cancer that includes colonoscopy (available since 1 October 2002). Although the number of screening colonoscopies increased by 500% over the past year, the compliance rate remains low. The first National Working Party on Colorectal Cancer (meeting on 25 and 26 February 2004) brought together 120 representatives from 100 professional fields for one and a half days’ intensive discussion and consensus searching. Politicians, doctors from various disciplines, epidemiologists, naturopathic and homeopathic doctors, corporations, union representatives, press and media – and, last but by no means least, colorectal cancer patients – took part in this interactive meeting.
The following topics were dealt with simultaneously by five sub-committees:
- Information and motivation in the healing professions
- The informed patient
- Colorectal cancer screening in large corporations
- Model projects in neighboring countries
- Identification of relatives in high-risk groups
The conference was hosted and organized by German Cancer Aid (*Deutsche Krebshilfe*) and the Network against Colorectal Cancer (*Netzwerk gegen Darmkrebs*). The conference’s patrons were the President of the Cancer Research and Prevention Foundation (CRPF), Ms. Carolyn Aldigé from the USA, and the International Digestive Cancer Alliance (IDCA) represented by Prof. S. Winawer. The CRPF’s Dialogue for Action program provided the inspiration for this national conference.
The working party is now busy compiling the results of this conference, which will be published as a position paper to be presented to authorities, government bodies, and organizations concerned with colorectal cancer, as well as any other interested parties. The workshop participants are expected to commit themselves to the implementation of the decisions taken at this conference, and these will be reported on in more detail in the next issue of *World Gastroenterology News*. We are convinced that all of these measures will lead to increased participation in colorectal cancer screening programs.
**Prof. Meinhard Classen, MD**
Dept. of Medicine,
Technical University of Munich,
Ismaninger Strasse 22,
81675 Munich, Germany
E-mail: email@example.com
The Brazilian Confederation of Gastroenterology (CBG) was founded on December 12, 2003. It comprises the following associations:
- **Brazilian Federation of Gastroenterology** (*Federacao Brasileira de Gastroenterologia*, FBG)
*President*: Fernando Cordeiro, M.D.
- **Brazilian College of Digestive Surgery** (*CBCD*)
*President*: Paulo Roberto Savassi Rocha, M.D.
- **Brazilian Society of Gastrointestinal Endoscopy** (*SOBED*)
*President*: Flávio Antonio Quilici, M.D.
- **Brazilian Society of Hepatology** (*SBH*)
*President*: Edna Strauss, M.D.
- **Brazilian Society of Coloproctology** (*SBCP*)
*President*: Raul Cutait, M.D.
- **Brazilian Society of Digestive Motility** (*SBMD*)
*President*: Ary Nasi, M.D.
The main aims of the new confederation are to promote and organize the Brazilian Digestive Disease Week and to devote itself to enhancing the understanding and prestige of the speciality of gastroenterology in all its aspects. It will not interfere with the internal organization of its constituent bodies or undermine their autonomy in any way.
The President of the Brazilian Federation of Gastroenterology, Dr. Fernando Cordeiro, was elected coordinator of the Confederation.
---
**Information about advertising**
*World Gastroenterology News* is currently distributed twice a year to 48,000 gastroenterologists worldwide.
If you would like information about advertising in this publication please contact Marathon International, Westerdijk 1R, 1621 LC Hoor, The Netherlands, tel.: +31 229 211 980, fax: +31 229 211 241
For information regarding editorial content, please contact Bridget Barbieri at Medconnect, Bruennesteinstrasse 10, 81541 Munich, Germany, tel: +49 89 4141 92 40 or telefax: +49 89 4141 92 45, e-mail: firstname.lastname@example.org
Surgery and internal medicine, by their very nature, attract different types of personality. Extrovert types who enjoy the manual satisfaction and immediate gratification of an operation well done will be attracted to surgery, whereas the more intellectually inclined, who derive more pleasure out of solving a difficult diagnostic puzzle, may gravitate toward internal medicine. The stereotypes of the blood-and-guts, knife-happy Sir Lancelot and the cerebral, pipe-smoking Sherlock Holmes may be archaic, but we are all influenced by the traditions of our chosen specialty, ingrained into us during long years of training by our mentors and icons. Add the turf battles, issues of resource allocation and reimbursement for competing procedures, is it really surprising that surgeons and gastroenterologists never really see eye to eye?
Nonetheless, important advances in endoscopy are more often than not made in units that are the exceptions to the rule, in which gastroenterologists and surgeons enjoy a congenial working relationship. Indeed, to practice current state-of-the-art medicine, gastroenterologists and surgeons must work as a team. The advent of laparoscopic surgery has increased our reliance on accurate preoperative diagnosis, as there is no longer the luxury of an “exploratory laparotomy” in which the surgeon palpates all the abdominal organs as a first step after opening the abdomen. Localization of colonic tumors prior to laparoscopic colectomy is a cogent example. The advent of mucosectomy for early cancer, on the one hand, and up-front adjuvant chemotherapy for advanced tumors on the other, underlined the importance of accurate staging by endoscopic ultrasonography. As therapeutic endoscopy advances into territories that are traditionally surgical, the boundaries between the two specialties are becoming increasingly blurred. Such advanced procedures also carry significant risks of complications such as bleeding and perforations; close cooperation between endoscopists and surgeons are necessary for peace of mind of the pioneers of these new techniques and for the safety of patients.
The flexible endoscope, the laparoscope, or indeed the scalpel are but tools we use for the benefit of our patients. They should not be viewed as competing technologies. The patient should be managed by a multidisciplinary team, with the most suitable techniques according to the patient’s clinical condition. Ideally, the training of a digestive disease specialist should encompass molecular biology, clinical gastroenterology, endoscopy, laparoscopy, gastrointestinal surgery, and interventional radiology, with specialization in one of these areas.
In the meantime, how do we engender a closer working relationship under the present system? As a first step, the “us” and “them” attitude must be dispelled, and this needs to come from the top. Senior staff must be careful about making disparaging remarks about colleagues from a different background, as juniors tend to emulate our worst behavior. Joint meetings and clinics in which management decisions are made in consultation may evolve into joint care by a multidisciplinary team according to common protocols. Combined gastroenterology and gastrointestinal surgery wards mean that patients do not need to be transferred to a different part of the hospital when referrals are made. It is also easier for the referring team to follow the progress of their patients and to appreciate at first hand how safe and effective modern surgery can be. Evolution into a dream team – working together under one administrative roof – would, however, require radical revamping of our system of training and credentialing for gastroenterologists and surgeons, as well as a major restructuring of hospital departments based on organ systems rather than traditional specialties.
Prof. S.C. Sydney Chung, MD
The Chinese University of Hong Kong,
Prince of Wales Hospital Endoscopy Center
Shatin, N.T., Central Hong Kong, Hong Kong
E-mail: email@example.com
Surgeons were critically involved in the development of early flexible endoscopic procedures such as colonoscopy, ERCP, control of hemorrhage, and gastrostomy. Yet, despite its leadership in these areas, the American surgical community has not enthusiastically embraced endoscopic practice in the past few decades. The reasons for this are multifactorial and involve economic competition with gastroenterologists, who discovered that these methods were invaluable in the diagnosis and treatment of the maladies they encountered in their daily practice. Frequently, they would discourage surgical practice of endoscopy by withholding referrals from surgeons who chose to undertake these procedures. Equally, few surgeons embraced the techniques as a primary part of their practice, but rather regarded them as being ancillary to the major interventional procedures of traditional surgery. With few exceptions, gastroenterologists became the leaders in gastrointestinal endoscopy, both diagnostic and therapeutic, calling on surgeons to assist with complications or to manage therapy outside the boundaries of endoscopic practice. In a few institutions, gastrointestinal surgeons and gastroenterologists work side by side in combined endoscopy units, complementing each other with their individual skills. These situations, however, are the exception rather than the rule.
With the emergence of laparoscopic cholecystectomy and the field of minimally invasive surgery in the past decade, it seemed initially that surgeons would pursue intracavitary endoscopic procedures such as thoracoscopy and laparoscopy, while gastroenterologists would maintain their dominance in endoluminal endoscopic practice. The two disciplines occasionally combined to share in complex “laparo-endoscopic” procedures such as excision of large colonic polyps, drainage of pancreatic pseudocysts, and excision of gastric stromal tumors. More recently, recognizing the tremendous potential to extend the capabilities of their traditional techniques, a number of surgeons have once again involved themselves in endoluminal methods in order to facilitate minimally invasive approaches to gastrointestinal disease. Such endeavors have been noted in the areas of colorectal surgery, pancreatic, esophageal, biliary, and bariatric surgery.
At the same time, aggressive, imaginative, and thoughtful gastroenterologists have been extending the boundaries of traditional endoluminal endoscopy. Mucosal resection of premalignant and early malignant disease has become commonplace, and full-thickness resection with subsequent suture closure will soon follow. Endoscopic methods of controlling reflux esophagitis and morbid obesity are rapidly emerging. New techniques that will allow transluminal intra-abdominal surgery are also being developed. Soon, the world of minimally invasive surgery will no longer belong exclusively to the traditional surgeon. Yet gastroenterologists will need to have surgeons’ skills and background in order to address the challenges associated with tissue dissection, resection, and anastomosis. Surgeons and gastroenterologists must, and will, come together in order to develop and practice these emerging methods. The old paradigms of surgical and gastroenterological practice will dissolve as new minimally invasive therapies evolve. In the end, both patients and physicians will benefit.
Jeffrey L. Ponsky, MD
Director, Endoscopic Surgery,
Department of General Surgery,
The Cleveland Clinic Foundation,
9500 Euclid Avenue,
Cleveland,
OH 44195, USA
E-mail: firstname.lastname@example.org
first met Kunio Okuda in 1953, when we were both taking an introductory course on American culture at Columbia University in New York, as part of our Fulbright scholarships. It was the beginning of a long friendship. After the 2-month course, Okuda went to Johns Hopkins University, where he worked for several years doing research on vitamin B₁₂ and was awarded a Ph.D. After publishing several important papers on his thesis topic, he returned to Japan, where he was soon appointed professor at Kurume University, and a few years later at Chiba University, where he remained for the rest of his career. At Chiba University Hospital, he established a center for the study of hepatic disease that earned him wide international recognition. He was a tremendous worker and left an outstanding legacy both in the fields of hepatology and hematology – as shown by his 553 published papers in English and 14 books on a variety of subjects such as idiopathic portal hypertension, hepatocellular carcinoma, intrahepatic lithiasis, and imaging techniques in hepatobiliary disease.
Among his scientific achievements, particular mention should be given to his research on vitamin B₁₂; his original technique for isolating intestinal loops in the rabbit to study intestinal absorption; and his investigations on liver cancer and other hepatic diseases. He was particularly interested in techniques of imaging diagnosis, and among other instruments, he designed the “Chiba needle” for percutaneous transhepatic cholangiography.
Kunio Okuda played an important role in the International Association for the Study of the Liver (IASL), of which he was president from 1978 to 1980. He received the IASL’s Distinguished Service Award in 1990. He was also very active in the Asian–Pacific Association for the Study of the Liver (APASL), of which he was President in 1980–1982. From 1996 to 2002, he served as Editor-in-Chief of the Journal of Gastroenterology and Hepatology. He also contributed substantially to OMGE, of which he was Vice-President in 1982–1986. In 1998, he was awarded the Bockus Medal by the OMGE’s Governing Council, and he gave the Bockus Lecture at the World Congress of Gastroenterology held in Vienna in 1998. He also received honors in his own country; the Emperor of Japan nominated him a Commander of the prestigious Order of the Rising Sun.
Kunio had an excellent command of English, which enabled him to edit several manuals and audio devices on medical English for Japanese physicians. He traveled a great deal, and visited 83 different countries, while himself welcoming many distinguished leaders in the fields of hepatology and gastroenterology to Chiba. He was a man with wide cultural interests, an expert fisherman, an able wildlife photographer, and an accomplished violinist who was capable of giving concerts of Mozart violin sonatas (when we were in New York together, he used to play the violin for me in the evenings).
He leaves an important scientific as well as human legacy. His son Hiroaki and daughter Keiko are both physicians. During the last months of his life, when he was bearing with fortitude the severe pain caused by his terminal condition, he was able to finish his autobiography, which has just been published by his son Hiroaki. He was an example to all of us, and he will not be easily forgotten by his many friends and students.
Douglas B. McGill, 1929–2004
Douglas McGill, President of the American Gastroenterological Association (AGA) in 1986 died in Rochester MN on February 21, 2004 from viral pneumonia. Dr. McGill was a distinguished gastroenterologist who had worked at the Mayo Clinic since 1961 and was Professor of Medicine and the Director of the Division of Gastroenterology from 1974 to 1982. His unexpected death came as a great loss to his many friends and colleagues throughout the world who appreciated his charm, his wisdom, his liberal views, and his many talents as a physician, as a researcher, and as a statesman.
Dr. McGill had served the AGA and the discipline of gastroenterology in many ways including Chairman of the Scientific Committee of the World Congress of Gastroenterology that was held in Los Angeles in 1994.
Dr. McGill was born in New York City, and educated at Phillips Andover Academy, Yale University, and the Tufts School of Medicine. He interned at the Boston City Hospital and pursued his subsequent residency and subspecialty training at the Mayo Clinic.
Dr. McGill had a variety of research interests and made substantial contributions in each. His earliest research work was concerned with bilirubin and hepatic secretory function. With Al Newcomer, he characterized lactase deficiency biochemically, analyzed its clinical significance, and validated new diagnostic procedures. He worked with David Ahlquist to define the most sensitive method for detecting fecal occult blood. With Juergen Ludwig, the pathologist, and his colleague Keith Lindor, he described non-alcoholic steatohepatitis, a condition that is rapidly becoming one of the most common liver diseases in America, given the increasing prevalence of obesity. He took an interest in percutaneous liver biopsy, summarized the vast Mayo Clinic experience, and became a national expert on its indications and utility.
Dr. McGill was known as a man of catholic tastes, and an articulate defender of liberal values. His hospitality was legendary. He had lived in France as a child, spoke fluent French and served on the Editorial board of Gastroenterologie Clinique et Biologique. He was a citizen of the world and for the World Congress of Gastroenterology, he worked effectively with Melvin Schapiro to develop the Young Scholars Program that brought promising young gastroenterologists from underdeveloped countries to the congress and had them interact personally with the luminaries in world gastroenterology. He also had a deep interest in medical economics and was the first AGA president to have an economist speak at its plenary session.
This obituary was edited and excerpted from one written by Dr. Alan Hofmann, a friend and colleague.
ABBREVIATED PRESCRIBING INFORMATION: Nexium® (esomeprazole magnesium). See local prescribing information for full details.
PHARMACODYNAMIC PROPERTIES:
Nexium® reduces gastric acid secretion through a highly targeted mechanism of action by being a specific inhibitor of the acid pump in the parietal cell.
INDICATIONS AND DOSAGE: Treatment of erosive reflux esophagitis: Nexium® 40 mg once daily for 4–8 weeks. Long-term management of patients with healed esophagitis to prevent relapse: Nexium® 20 mg once daily. Symptomatic treatment of gastro-oesophageal reflux disease: Nexium® 20 mg once daily in patients without esophagitis. Once symptomatic relief is achieved, an oral dose of 20 mg once daily or 40 mg once daily may be continued to control symptoms and prevent further pylori-associated peptic ulcer disease: Healing of H pylori-associated duodenal ulcer: Nexium® 40 mg twice daily, with or without clarithromycin 500 mg twice daily, all for 14 days. H pylori-associated peptic ulcer disease: Healing of H pylori-associated gastric ulcer: Nexium® 40 mg twice daily, with or without clarithromycin 500 mg twice daily, all for 14 days. CONTRAINDICATIONS: Known hypersensitivity to esomeprazole, substituted benzimidazoles or any other components of the formulation. WARNINGS AND PRECAUTIONS: In the presence of any alarm symptoms, such as dysphagia, vomiting, weight loss, or hematemesis, the possibility of gastric malignancy should be excluded before treatment is initiated. INTERACTIONS: Due to the decreased intragastric acidity, the absorption of ketoconazole and itraconazole can decrease during esomeprazole treatment. Concomitant administration of esomeprazole resulted in a 43% decrease in clearance of diazepam. Concomitant administration of esomeprazole resulted in a 33% increase in trough plasma levels of phenytoin in epileptic patients, but dose adjustments were not required in this study. In patients receiving warfarin, concomitant therapy with esomeprazole did not result in clinically significant changes in the international normalized ratio. There was no significant increase in peak plasma levels of cisapride. Concomitant administration of 40 mg esomeprazole to warfarin-treated patients showed that, despite a slight elevation in the trough plasma concentration of the less potent R-isomer of warfarin, the coagulation times were within the accepted range. However, as with all patients receiving warfarin, monitoring is recommended during concomitant treatment with esomeprazole. PREGNANCY AND LACTATION: Caution should be exercised when using Nexium® during pregnancy. Nexium® should not be used during pregnancy. UNDESIRABLE EFFECTS: The most common adverse drug reactions have been identified or suspected in the clinical trials programme. None was found to be dose related. Common: Nausea/vomiting, diarrhoea, constipation, abdominal pain, flatulence and headache. Uncommon: Dermatitis, pruritus, urticaria, dizziness and dry mouth. From marketed use, there have been rare reports of increased liver enzymes and of hypersensitivity reactions e.g. angioedema, anaphylactic reaction. For further information please contact AstraZeneca, SE-431 83 Mölndal or the local AstraZeneca office.
Nexium® is a registered trademark of the AstraZeneca group of companies.
References: 1. Richter JE et al. Am J Gastroenterol 2002;97:656–65. 2. Kalirias PJ et al. Aliment Pharmacol Ther 2000;14:549–58. 3. Castell DO et al. Am J Gastroenterol 2002;97:575–83. 4. Labenz J et al. Can J Gastroenterol 2004; vol 18 Suppl A. 5. Miner P et al. Am J Gastroenterol 2003;98:2616–20.
Endoscope Disinfection: Quality Assurance is Key and MeSH is a Must
Justus Krabshuis
All the evidence suggests that cleaning and disinfection procedures and protocols are perfect – well, almost. There are few real differences between guidelines. To be sure, there are some problem areas – for example, the inability of 2% glutaraldehyde to cope with *Helicobacter pylori* (*Endoscopy*, 2003; 35: 295–299; PMID: 12664384) or with prion diseases such as new-variant Creutzfeldt–Jakob disease (CJD). However, the overwhelming evidence in the very few cases that have been published points to what the United States “multi-society” endoscopy disinfection guideline and the Centers for Disease Control describe as a “breach in adhering to guidelines”, to what Douglas B. Nelson referred to as a “compliance” problem – and what the British Society of Gastroenterology (less diplomatically) terms “malpractice”!
So quality assurance is key!
**Endoscope disinfection web sites**
To familiarize ourselves with the issues, let’s look up a key expert in the field and consult the introduction and clinical update by Douglas Nelson for the American Association of Gastroenterological Endoscopy (ASGE) – available at:
http://www.asge.org/gui/clinical_info/updates/cu_trans_infect_endo.asp
Now you know the issues – let’s look at the top four guidelines available.
**ESGE** (http://www.esge.com). This very recent guideline (summer 2003) from the European Society of Gastrointestinal Endoscopy (ESGE) and European Society of Gastroenterology and Endoscopy Nurses and Associates (ESGENA), entitled “Technical Note on Cleaning and Disinfection” is easy to read and offered as a PDF file to all those interested in endoscopy – this is true “open-access” publishing. The ESGE/ESGENA author team was headed by Dr. Rey and Dr. Kruse, leading experts in this field. The guideline (http://www.esge.com/index.php?page=guidelines) compares the advantages and disadvantages (but not the availability globally or price) of the principal disinfection products used. It also lists who is using what in Europe; 22 European countries replied to a questionnaire on cleaning and disinfection practices, with almost every country using glutaraldehydes.
The following disinfectants are reviewed:
- 2% glutaraldehyde (GA)
- Orthophthalaldehyde (OPA)
- Peracetic acid (PAA)
- Peroxygen compounds
- Electrolyzed water (EAW)
- Chlorine dioxide
- Quaternary ammonium compounds
- Amine compounds/glucoprotamine
In their introduction to the list of “Available Products”, they write: “GA is the most widely used chemical germicide in endoscopic reprocessing. The standard method is a 20 minute soak in GA. Major players such as Olympus, Pentax and Fujinon list GA as compatible with their endoscopes.”
The ESGE/ESGENA guideline makes a major effort to publish options for different products and procedures, but they are not as strictly “evidence-based” as the American guideline below.
**The United States “multi-society” guideline** – an idea worth pursuing. In a splendid spirit of cooperation (science knows no borders!), the American Society for Gastrointestinal Endoscopy (ASGE) and the Society for Healthcare Epidemiology of America (SHEA) convened a consensus conference on endoscope disinfection. The resulting paper was published at around the same time (July 2003) as the ESGE one (science does know some borders!). The “Multi-Society Guideline for Reprocessing Flexible Gastrointestinal Endoscopes” is
available at:
http://www.asge.org/gui/resources/manual/gea_inf_cont.asp
The 34 recommendations, all categorized according to “strength of supporting evidence”, were endorsed by key players such as the American College of Gastroenterology, American Gastroenterological Association, ASGE, SHEA, American Society of Colon and Rectal Surgeons, Society of American Gastrointestinal Endoscopic Surgeons, Society of Gastroenterology Nurses and Associates, Association for Professionals in Infection Control, and Federated Ambulatory Surgery Association.
BSG (http://www.bsg.org.uk). In October 2003, The British Society of Gastroenterology (BSG) published “Guidelines for Decontamination of Equipment for Gastrointestinal Endoscopy”:
http://www.bsg.org.uk/clinical_prac/guidelines/disinfection.htm
Like the ASGE/SHEA multi-society paper, these recommendations are categorized according to “strength of evidence” grades (the ESGE guideline does not do this). There are no major differences from the American “multi-society” guideline (according to the BSG), other than the recommendation for the use of single-use accessories to reduce the transmission risks for new-variant CJD – “a pathogen more relevant to gastrointestinal practice in the UK”. But will that change, since late in 2003 the first cases of bovine spongiform encephalopathy (BSE) were discovered in the United States?
SGNA (http://www.sgna.org/resources/s&g.cfm). The Society of Gastroenterology Nurses and Associates (SGNA) has a freely available text entitled “Guidelines for the Use of High-Level Disinfectants and Sterilants for Reprocessing of Flexible Gastrointestinal Endoscopes” (2003). It is very thorough and written particularly from the nursing point of view.
OMGE/OMED (http://www.omge.org). At the Madrid United European Gastroenterology Week (UEGW) meeting in November 2003, it was decided to establish a joint OMED/OMGE team to produce worldwide guidelines on endoscope disinfection. The document is to be sensitive to Third World issues such as disinfection in difficult conditions and low-resourced settings – possibly the conditions readers are working in. If you have special problems you would like to see discussed, why not write to the joint OMED/OMGE guideline review team, chaired by Dr. Bjorkman, at email@example.com. The guideline is scheduled for publication in summer 2004. In line with the global focus, there will be French, English, Spanish, Russian, Arabic and Chinese versions of the OMGE guidelines in order to reach a world audience.
Endoscope disinfection in PubMed – “MeSH” is a must
The research that provides the basis for guidelines of this type is usually a few years old, due to the long and complex process involved in developing guidelines. The 79 references cited in the American multi-society guideline mostly date from before 2001, while the 39 references in the ESGE document are mostly from before 2002.
If you want to stay well-informed and really up-to-date, therefore, you need to bridge the gap and find the latest published research on endoscope disinfection on MedLine – for free, of course (www.pubmed.org)
Medical Subject Headings (MeSH) is the controlled vocabulary (or thesaurus) used by the National Library of Medicine (NLM) to index articles in MedLine. The MeSH terminology provides a consistent way of retrieving information from sources that may use different terminology for the same concepts. The MeSH database can be used to find MeSH terms and build a search strategy.
Anybody searching MedLine – on whatever topic – should use MeSH. Each of the 15 million or so articles listed in Medline is indexed using this controlled vocabulary. The problem in this case is that the MeSH thesaurus does not have a single term representing “endoscope disinfection”.
Every article that has anything to do with endoscope disinfection – whatever the terms used by the authors in the article – is likely to be indexed using the MeSH terms “disinfection” and “endoscopes”. Using the MeSH vocabulary ensures that the searcher will find every article in MedLine dealing with this topic – assuming, of course, that you want to find all relevant articles and not just a few reviews.
If you want your search to be “evidence-based”, then MeSH is a must! Click on “MeSH Database” in the left-hand bar under “PubMed Services”. Let’s type in the term “endoscopes”. The results screen below gives you two options. Click on “Endoscopes” to review all of the MeSH terms associated with the word.
Table 1 shows the list of terms that will be searched if you search for “Endoscopes” as a MeSH term (“endoscopes [MH]”).
To illustrate how you can miss a substantial amount of research if you do not use MeSH, let’s search for endoscope disinfection research published since 1 January 2002 (20020101; click on limits and fill in the publication date 20020101).
**Set 1:** endoscope* disinfection (the * is the wildcard character).
**Set 2:** endoscopes [MH] AND disinfection [MH] (always use CAPITALS for the Boolean operators AND, OR and NOT. Putting [MH] means you are searching the term as a MeSH heading.
**Set 3:** #1 OR #2 (click on “history” and use the search “history” screen to combine sets).
**Set 4:** #3 NOT #1 (click on “history” and use the search “history” screen to combine sets).
Are you still with me? All right then …
**Set 1.** This is the “free text” search. It will pick up any records including the words (endoscope or endoscopes or endoscopic) AND disinfection, anywhere in the article. You could click on “limits” and specify that these words should only occur in the “title” field. That would make your search very precise, if not sensitive.
**Set 2.** This is the MeSH search. We are using the MeSH terms “endoscopes” and “disinfection”. Put them in square brackets [] to tell PubMed you want these terms searched as MeSH terms and not as free text.
**Set 3.** This set combines the unique records of set 1 and set 2 with the Boolean operator OR. Now you have found all records in PubMed/Medline combining free text (set 1) and indexing (set 2).
**Set 4.** By asking for all records in set 3 that were not found in set 1 (#3 NOT #1), we can see what we would have missed if we had only searched using the free-text terms in set 1. Fortunately, we used indexing (set 2), and all of the unique records in set 2 are present in set 3.
**Table 1. MeSH browser postings for “endoscopes”**
| All MeSH Categories |
|---------------------|
| Analytical, Diagnostic and Therapeutic Techniques and Equipment Category |
| Equipment and Supplies |
| Surgical Equipment |
**Endoscopes**
- Angioscopes
- Arthrosopes
- Bronchoscopes
- Colposcopes
- Culsoscopes
- Cystoscopes
- Endoscopes, Gastrointestinal
- Colonoscopes +
- Duodenoscopes
- Esophagoscopes
- Gastrosopes
- Proctoscopes
- Fetoscopes
- Hysteroscopes
- Laparoscopes
- Laryngoscopes
- Mediastinoscopes
- Neuroendoscopes
- Thoracoscopes
- Ureteroscopes
If you had only used free-text terms, you would have missed 10 articles included in set 4, because the articles did not include the words “endoscopes” or “endoscope” or “endoscopic” (free-text terms).
But they did discuss disinfection of colonoscopes and laryngoscope disinfection, so that the indexing system picked them up.
I have a list here of the 10 (and the 50) results (in case you still have trouble doing this) – e-mail me at firstname.lastname@example.org and I will send you the results.
Happy searching, and remember … MeSH is a must!
Note: All of the hyperlinks given above are clickable in the electronic version of this article (www.omge.org).
Justus Krabshuis,
Highland Data
url: http://www.highland-data.com
E-mail: email@example.com
Major private-sector prize for OMGE
World Gastroenterology Organization President, Guido Tytgat (second from right) and Vice President, Eamonn Quigley (second from left) collected an $85,000 dollar prize in The Netherlands on March 17, 2004, on behalf of the entire organization. The prize, one of the Dutch private sector’s most prestigious, was handed to Prof. Tytgat and Prof. Quigley by Prof. Lammert Leertouwer (far right), board chairman of the Helffer-Kootkar Prize Foundation, which has regularly awarded socially significant achievements of individuals and organizations since 1981. OMGE was recognized for its “pioneering work and concrete achievements over several decades in the organization of public-private sector medical training services in emerging nations”, said Prof. Leertouwer at a ceremony hosted at Amsterdam’s Royal Tropical Institute by Institute President Jan Donner (left). “This is terrific recognition for the work of OMGE’s leadership, the national associations and the individuals who did the hard work over the years”, OMGE Vice-President Eamonn Quigley told participants at the event. “It’s also greatly encouraging for the OMGE education and training programme still ahead.”
New Frontiers in Managing Gastroesophageal Reflux Disease (GERD) – Revealing the Facts
Are patients with GERD controlled effectively? There is still an unmet need in the treatment of GERD patients. According to a multinational survey, the level of dissatisfaction is reflected by the number of patients who supplement their therapy with additional prescription medication or over-the-counter drugs – 22% and 21%, respectively [1].
How should patients be controlled? Keeping intraesophageal pH above 4 is crucial to reduce the amount of damage that gastric acid can do to the esophagus. Proton-pump inhibitors (PPIs) are highly effective in controlling gastric acid and gastric reflux into the esophagus. PPI treatment is therefore recommended as the first-line treatment in all patients with GERD [2].
Are all PPIs equally effective? Suppressing gastric acid secretion is vital for the clinical effectiveness of PPIs in the treatment of GERD. Many patients do not obtain adequate symptom resolution from prescribed PPI medication and may be switched to an alternative PPI in the search for a satisfactory symptomatic response.
What role can esomeprazole (Nexium®) play in the management of GERD? Esomeprazole (Nexium®) is the first PPI developed as an isomer. Nexium has an advantageous metabolism compared with omeprazole. It has been shown to provide more effective acid control than all other PPIs and consequently faster and higher healing rates in GERD patients, as well as symptom resolution, than omeprazole, lansoprazole, or pantoprazole [3–8, 10] (Fig. 1).
Assessing the differences between PPIs with regard to the effectiveness of gastric acid suppression – the primary determinant of clinical efficacy – is vital to ensure rational switching of patients from one PPI therapy to another. Nexium has been shown to be more effective in reducing intragastric acidity than all other PPIs. These findings provide clear evidence that switching patients to Nexium from other PPIs that have not fully resolved their symptoms may translate into improved efficacy in relieving the symptoms of GERD.
Nexium’s acid-reducing power has also been demonstrated in a single-center study comparing standard doses of Nexium, lansoprazole, pantoprazole, and rabeprazole in which GERD patients were switched between treatments to establish the most effective method of maintaining gastric pH above 4 for the longest period of time. Nexium achieved highly significant acid-reducing effects in more patients than all of the other PPIs. Nexium also provided more effective acid control after
**Fig. 1.** Nexium keeps the pH above 4 for significantly longer on day 5 than all of the other proton-pump inhibitors (PPIs). In this five-way cross-over study, *H. pylori*-negative GERD patients received each PPI for 5 days, with appropriate washout periods between treatments [3].
GERD patients had been switched between PPIs [9].
**Is Nexium the most effective PPI?** In a multicenter trial including more than 5000 patients, Nexium was shown to achieve significantly higher rates of healing of esophagitis than a competitor PPI, lansoprazole. Nexium produced significantly higher healing rates for all patients with esophagitis, regardless of severity (patients with mild as well as severe esophagitis) [10].
Nexium is also associated with significantly higher remission rates after healing than lansoprazole during 6 months of maintenance therapy in patients with initially healed esophagitis, verified by endoscopy [11]. It is therefore able to provide a considerable improvement in patients’ quality of life (Fig. 2).
In a head-to-head study in patients with reflux esophagitis, Nexium 40 mg achieved significantly higher healing rates and sustained resolution of heartburn throughout the 4 weeks of treatment in comparison with pantoprazole 40 mg. Patients in the Nexium treatment group also achieved sustained resolution of heartburn significantly faster than those treated with pantoprazole [8]. The more effective acid control provided by Nexium offers patients faster and more sustained relief from GERD symptoms such as heartburn, as well as offering a significantly better response with regard to acid regurgitation, epigastric pain, and upper abdominal bloating.
**References**
1. Jones R. A multinational survey of activities of daily living and GERD in clinical practice: is prescription therapy adequate? [abstract 1022115]. Paper presented at Digestive Disease Week, Orlando, Florida, 20 May 2003.
2. Dent J, Brun J, Fendrick AM, et al. An evidence-based appraisal of reflux disease management: the Geneva Workshop Report. Gut 1999; 44 (Suppl 2): S1–S16.
3. Miner P, Katz PO, Chen Y, Sostek M. Gastric acid control with esomeprazole, lansoprazole, omeprazole, pantoprazole, and rabeprazole: a 5-way crossover study. Am J Gastroenterol 2003; 98: 2616–20.
4. Lind T, Rydberg L, Kyleback A, et al. Esomeprazole provides improved acid control vs. omeprazole in patients with symptoms of gastro-oesophageal reflux disease. Aliment Pharmacol Ther 2000; 14: 861–7.
5. Röhrs K, Hasselgren G, Hedenström H. Effect of esomeprazole 40 mg vs omeprazole 40 mg on 24-hour intra-gastric pH in patients with symptoms of gastroesophageal reflux disease. Dig Dis Sci 2002; 47: 954–8.
6. Richter JE, Kahrlas PJ, Johansson J, et al. Efficacy and safety of esomepraGastro-Pro, the gastroenterology learning website, to launch special DDW 2004 edition
Fresh for DDW
World Gastroenterology News talks to production coordinator Timothy Nater about the line-up.
**WGN:** What’s happened since you launched Gastro-Pro at WCOG 2002?
**Nater:** We’ve been busy building the web platform, getting our editorial bearings and raising money. We’re developing a curriculum of seven content sections and cross-disciplinary areas. Five of these are already up: endoscopy, GERD, GI cancer, functional bowel disease/IBS and IBD. We’re refining interactive e-tests. We’re running an CME-accredited learning series with the AGA. We’ve also launched conference news coverage to help keep our home-page fresh. As before, all of it is edited, peer-reviewed and presented by hands-on GE professors and practitioners.
**WGN:** What is ‘learning’, for you?
**Nater:** In our case, it’s medical learning on the internet, which has to be easy to find, quick to absorb and practically useful, or users won’t use it. It’s still early days, but the demand and technical means are there. Almost 50 million new users of broadband went online in the last half of 2003 in the USA alone. Going online for CME credit is a real option for hundreds of thousands of US physicians, and medical practice and law are moving the same way in Europe, as well. In medicine as in many other sciences, this means faster dissemination and use of best practice. The OMGE-OMED Education Committee, which is a great source of editorial guidance and content for us, is following this closely.
**WGN:** So what’s on the Gastro-Pro menu for DDW?
**Nater:** High-magnification video for the Barrett’s module in the GERD section, interactive knowledge testing on colonic obstruction, fresh chunks of up-to-date, practice-oriented information about PPIs from an AGA forum, new endoscopic images of ileitis plus an exclusive newswatch in IBD.
---
**Contact details:**
**Karl Friberg**
Global Brand Manager, Nexium Product Strategy & Licensing
AstraZeneca, Mölndal, Sweden
Email: firstname.lastname@example.org
Website: www.gastrosource.com
**Gastro-Pro:** www.gastro-pro.org
Claim a free learning CD featuring the video case, ‘Mucosectomy for Barrett’s esophagus’, with Christopher Gostout, MD, Mayo Clinic (stock limited).
Please send your full name, title, and correct email and postal addresses to email@example.com.
|
The Spiritual Brain: Intimations or Hallucinations of God?
Evan Fales,
University of Iowa
Abstract: Do mystical experiences make it rational to believe in God? A fair number of theistic philosophers have thought so, and, for the mystic who is ignorant of current scientific findings, perhaps that conclusion is correct.\(^1\) But the ignorant are not best qualified to judge: let us see how science might inform judgment. Here I will focus most particularly on the neurological basis of mystical experiences (MEs). It might initially seem that the evidence for such a basis is theologically benign—neutral on the question whether MEs may reasonably be considered veridical perceptions of the divine. I shall argue that this is a mistake.
Keywords: Mystical Experience, Hallucination, Naturalistic Explanation, Sense Perception
Causal Mechanisms:
Sense Perception vs. Mystical Experience
Faced with the growing body of evidence that distinctive neural processes mediate ME, a theist will naturally be inclined to observe that ordinary perceptual experience is also so mediated. Why expect ME to be any different? Short of embracing radical skepticism, we presume in favor of the deliverances of our senses. A similar presumption should be accorded to MEs. In neither case is the presumption vitiated by lack of knowledge of the neural mechanisms, or even by failure to understand that there are such mechanisms, or that things going well perceptually depends upon things going well neurally. It is acknowledged on all hands, to be sure, that a finding of significant malfunction in the relevant mechanisms may undermine the evidence they seem to deliver.
---
\(^1\) See e.g., Wainwright, *Mysticism*; Alston, *Perceiving God*; Yandell, *The Epistemology of Religious Experience*; and Gellman, *Experience of God and the Rationality of Religious Belief*. Others include Broad, “Arguments for the Existence of God,” 157–67; Hick, “Mystical Experience as Cognition”; Swinburne, *The Existence of God*, 293–327; Gutting, *Religious Belief and Religious Skepticism*; and Davis, *The Evidential Force of Mystical Experience*.
This, in its broadest outline, is a common theistic argument. Whatever the relationship between brain processes and conscious states generally, it should come as no surprise that MEs are similarly related to a neural substrate. That goes no distance toward showing that MEs are not perceptual experiences of God. The theme that an ME is a type of perceptual experience that has good *prima facie* epistemic credentials has been elaborated within the framework of a variety of theories of perception, though not generally with attention to neurophysiological findings.
But it should occur to one that there is a potential challenge to a theistic understanding of MEs that is raised by such findings. In the case of ordinary sense perception—visual or auditory perception, for example—we know of a neurological basis, and we are beginning to understand something of the way in which the relevant brain circuits process signals from the eyes and ears. But we know more: we know in some detail how the eyes and ears themselves are stimulated by physical things—light and sound—that carry in their form the imprint of those parts of the environment from which they originate: the objects seen and heard. We know, in short (mainly by using these very sensory modalities, among others) how information about the objects of perception is transmitted, via sense organs, to the brain. To be explicit: we have a growing body of empirical findings and theory that explain sense perceptions and the conditions under which they are dependable, that indicates how ordinary sense experiences provide a basis for informed judgments about the physical world, how and why our sense organs must be abetted in various ways to extend the range of features of our environment that we can investigate, and so on.\(^2\) Moreover, the discoveries we make through the use of any one sensory modality can be (and regularly are) confirmed by the deliverances of other sensory modalities. All of this, taken as knowledge of ourselves, relies, of course, upon the general veracity of the senses. So as not to beg any questions here, we may observe that, although we have no non-sensory access to sensory mechanisms, and no non-sensory basis for judgments of reliability, we do nevertheless find, remarkably enough, that all of our evidence—our ordinary perceptual judgments, empirical findings concerning the structure and function of our
\(^2\) I do not mean to suggest that all this has allowed us to make much progress with the *deep* mind/body questions—e.g., the problems of *qualia* and of intentionality. But that shortcoming, though a deeper understanding of the brain may ultimately play a role in helping us rectify it, is not a weakness for my present case. All that case requires is the recognition that the pervasive and detailed correspondences between brain activity and mental processes confirm the essential role that the production of brain states plays in the production of mental states, and hence the essential explanatory relevance of facts about the operations of the brain.
sensory mechanisms, physical theory, and input from all the sensory modalities—can be fit together into a single, highly coherent picture of our perceptual environment, and our perceptual relations to it.\(^3\)
We now are beginning to understand the neurological episodes that underlie theistic MEs (hereafter, TMEs) as well; but we are not similarly able to trace the causal ancestry of those episodes to God—or to any supernatural thing whose character can independently be ascertained to be reflected in the experiences these episodes generate.\(^4\) Indeed, although the causal ancestry, at the physical level, of MEs is largely unknown in detail, what is known suggests a purely physical explanation for the brain activity that generates mystical consciousness. I shall flesh this out shortly. But first, we should observe that the threat posed by this circumstance is an instance of a general sort of way in which hypotheses can be disconfirmed.
The mystic no more ordinarily thinks of God’s presence as the *explanation* for his or her ME than the casual birdwatcher thinks of the presence of the bird as the explanation for his or her bird-experience. Both just take themselves to perceive the respective objects, however distinctive the respective perceptual modalities may be. Nevertheless, it seems indisputable that unless the presence of a bird is causally responsible for the bird-experience—unless, therefore, it figures in the right way in the explanation of that experience—it won’t be the case that a bird is being perceived. And similarly, *mutatis mutandis*, the mystic won’t be perceiving God unless God’s “presence” or activity causally explains the mystic’s experience in the right way.
**Non-Veridicality and Alternate Explanations of Experience**
To ascertain what a perceiver perceives on a given occasion is to determine what, if anything, is in the right way causally responsible for the perceptual experience. God might in *some* way be causally responsible for *any* experience—for example, if he created the birder and the bird—but that won’t
---
\(^3\) This fact, taken by itself, does not provide much ammunition against radical skepticism concerning the senses. But here we need to “bracket” that kind of skepticism and assume that we have the ordinary sort of empirical knowledge, in order to examine the relevance of neurophysiology to the epistemic *bona fides* of mystical experiences.
\(^4\) Nor are there procedures *within* mystical practice comparable to those that permit one sense experience to corroborate another. See Fales, “Mystical Experiences as Evidence,” 19–46.
BIBLIOGRAPHY
Alper, Matthew. “The Evolutionary Origins of Spiritual Consciousness.” In *NeuroTheology: Brain, Science, Spirituality, Religious Experience*, edited by R. Joseph, 293–304. San Jose, CA: University Press, 2002.
Alston, William P. *Perceiving God: The Epistemology of Religious Experience*. Ithaca, NY: Cornell University Press, 1991.
Avila, Teresa of. “Life.” In *The Collected Works of St. Teresa of Avila*, Translated by K. Kavanough and O. Rodriguez. Vol. I. Washington, D.C.: ICS Publications, 1976.
Azari, Nina P. “The Cognitivity of Religious Experience and Emotion: Evidence from Neuroimaging.” In *Brain—Religion—Experience: Multidiscipline Encounters*, edited by C. Jäger. New York: Springer, forthcoming.
Boyer, Pascal. *Religion Explained*. London: William Heinemann, 2001.
Broad, C.D. “Arguments for the Existence of God, II.” *The Journal of Theological Studies* 40, (1939): 157–67.
Burton, Thomas. *Serpent-Handling Believers*. Knoxville, TN: University of Tennessee Press, 1996.
d’Aquili, Eugene, and Andrew B. Newberg. *The Mystical Mind: Probing the Biology of Mystical Experience*. Minneapolis, MN: Fortress Press, 1999.
Davis, Caroline Franks. *The Evidential Force of Mystical Experience*. Oxford: Clarendon Press, 1989.
Dretske, Fred I. *Naturalizing the Mind*. Cambridge, MA: MIT Press, 1995.
Fales, Evan. “Scientific Explanations of Mystical Experiences: The Challenge of Theism.” *Religious Studies* 32, (1996): 297–313.
———. “Mystical Experiences as Evidence.” *International Journal for Philosophy of Religion* 40, (1996): 19–46.
Farmer, Herbert H. *Towards Belief in God*. London: Student Christian Movement Press, 1942.
Forman, Robert K.C. *Mysticism, Mind, Consciousness*. Albany, NY: SUNY Press, 1999.
Gellman, Jerome. *Experience of God and the Rationality of Religious Belief*. Ithaca, NY: Cornell University Press, 1997
Gerard, Nathan L. “The Serpent-Handling Religions of West Virginia.” *Trans-Action* 5, (1968): 22–28.
Gutting, G. *Religious Belief and Religious Skepticism*. Notre Dame.: Notre Dame University Press, 1982.
Hick, J. “Mystical Experience as Cognition.” In *Mystics and Scholars: The Calgary Conference on Mysticism, 1976*, edited by H. Coward and T. Penelhum. Waterloo, Ont.: Wilfrid Laurier University Press, 1977.
Katz, Steven. T. ed. *Mysticism and Philosophical Analysis*. New York: Oxford University Press, 1978.
La Barre, Weston. *They Shall Take Up Serpents: Psychology of a Southern Snake-Handling Cult*. New York: Schocken Books, 1969.
Millikan, Ruth Garett. *White Queen Psychology and Other Essays for Alice*. Cambridge, MA: MIT Press, 1993.
Musgrave, Ian. “Evolution of the Bacterial Flagellum.” In *Why Intelligent Design Fails*, edited by T. Edis, 72–84. New Brunswick, NJ: Rutgers University Press, 2004.
Oakes, Robert A. “Biochemistry and Theistic Mysticism.” *Sophia* XV, (1976): 10–16.
Otto, Rudolf. *The Idea of the Holy: An Inquiry into the Non-Rational Factor in the Idea of the Divine and Its Relation to the Rational*, 2nd ed. Translated by John W. Harvey, London: Oxford University Press, 1950.
Persinger, M. A. “Experimental Simulation of the God Experience: Implications for Religious Beliefs and the Future of the Human species.” In *Neurotheology: Brain, Science, Spirituality, and Religious Experience*, edited by R. Joseph, 279–92. San Jose, CA: University Press, 2002.
Ramachandran, V. S., and Sandra Blakeslee. *Phantoms in the Brain: Probing the Mysteries of the Human Mind*. New York: Quill, 1998.
Schwartz, Scott W. *Faith, Serpents, and Fire: Images of Kentucky Holiness Believers*. Jackson, MS: University Press of Mississippi, 1999.
Swinburne, Richard. *The Existence of God*. Oxford: Oxford University Press, 1979.
Taves, Ann. *Fits, Trances, & Visions: Experiencing Religion and Explaining Experience from Wesley to James*. Princeton, NJ: Princeton University Press, 1999.
Trimble, M. “Epilepsy and Hyperreligiosity: The Contribution of Neurological Disorders to an Understanding of Religious Experiences.” In *Brain—Religion—Experience: Multidiscipline Encounters*, edited by C. Jäger. New York: Springer, forthcoming.
Wainwright, William J. *Mysticism: A Study of its Nature, Cognitive Value and Moral Implications*. Madison, WI: University of Wisconsin Press, 1981.
Yandell, Keith E. *The Epistemology of Religious Experience*. New York: Cambridge University Press, 1993.
Zaehner, R.C. *Drugs, Mysticism, and Make-Believe*. London: Collins, 1972.
**ABOUT THE AUTHOR**
Evan Fales, Associate Professor in the Department of Philosophy, University of Iowa, has published various articles on the nature of mystical experience and the question to what extent such experiences could provide evidence for the existence and nature of supernatural beings.
MORE FROM THE AUTHOR
Reading Sacred Texts
Charity, Structure, Gospel
Evan Fales
GCRR Press, 2020
Divine Intervention
Metaphysical and Epistemological Puzzles
Evan Fales
Routledge, 2010
RELIGIOUS STUDIES CERTIFICATION COURSES
Affordable and Accessible College Level Courses available to anyone seeking to expand their personal horizons or boost their professional resume and credentials
ONLINE
• PHILOSOPHY OF RELIGION
• RELIGIOUS TRAUMA STUDIES
• COUNTER-APOLOGETICS
• PLUS MORE!
gcerr.org/courses
|
Faculty Satisfaction with Start-up Packages: Gender Differences in a Public University in the Southeastern U.S.
Alena Höfrová
*Czech University of Life Sciences*
Arelis Moore de Peralta
*Clemson University*, email@example.com
Follow this and additional works at: [https://tigerprints.clemson.edu/languages_pubs](https://tigerprints.clemson.edu/languages_pubs)
Part of the Education Commons
**Recommended Citation**
Höfrová, A. & Moore De Peralta, A. (2019). Faculty satisfaction with start-up packages: gender differences in a public university in the southeastern U.S. *Proceedings of the 16th International Conference Efficiency and Responsibility in Education* 2019, 68 – 75. Prague, Czech Republic, EU.
This Conference Proceeding is brought to you for free and open access by the Languages at TigerPrints. It has been accepted for inclusion in Publications by an authorized administrator of TigerPrints. For more information, please contact firstname.lastname@example.org.
PROCEEDINGS
16th INTERNATIONAL CONFERENCE
EFFICIENCY AND RESPONSIBILITY IN EDUCATION
6th - 7th June 2019
FACULTY SATISFACTION WITH START-UP PACKAGES: GENDER DIFFERENCES IN A PUBLIC UNIVERSITY IN THE SOUTHEASTERN U.S.
1,2 Alena Höfrová, 2 Arelis Moore de Peralta
1 Department of Youth, Family and Community Studies, College of Behavioral, Social and Health Sciences, Clemson University, South Carolina, United States of America, email@example.com
2 Department of Psychology, Faculty of Economics and Management, Czech University of Life Sciences Prague, Czech Republic
2 Departments of Languages, and Youth, Family and Community Studies, Clemson University, South Carolina, United States of America
ABSTRACT
Start-up packages are time limited financial and material resources offered by universities to incoming faculty during the hiring process. Previous research findings on gender equity within the start-up packages are mixed. Therefore, this study is examining the role of gender on the content of start-up packages, satisfaction with the packages, university honoring start-up packages, and contribution of start-up packages to faculty professional development. Data corresponds to a Start-Up Package Satisfaction Survey of faculty at all ranks (N = 96) administered in an American Southeastern public research university in 2018. Results from this study indicated that there are significant differences between male and female faculty in the overall satisfaction with the start-up packages, and in faculty perception on university honoring their start-up packages offers. Specifically, female faculty were less satisfied with start-up packages and were more likely to perceive that the university did not honor their start-up packages.
KEYWORDS
Benefit satisfaction, faculty professional development, gender equity, hiring process, start-up packages
INTRODUCTION
Start-up packages can be defined as time limited financial and material resources offered by universities to new faculty during the hiring process (Hamann, 2013). Universities are competing with each other to recruit the best faculty by providing attractive start-up packages (Callie and Cheslock, 2008; Committee on Partnership for Emerging Research Institutions, 2009; Ehrenberg, Rizzo, and Condie, 2003). Start-up packages should help faculty to establish their research projects until they are able to secure further funding (Rancourt, 2010). Therefore, it is essential that new faculty obtain benefits that help them to be successful and productive (Bralower, 2005). The negotiation of start-up packages is dependent on the administrative structure of the college; the start-up packages are usually negotiated with the department chair or with both the dean of college and the department chair (Reis, 1997). The duration of start-up packages is usually a few years (one to two years), and the specific number of years for which the package is available to the faculty should be negotiated during the interview as well (Bralower, 2005; Hamann, 2013).
Hiring processes are influenced by gender inequalities within organizations (Stamarski and Son Hing, 2015). Research has shown that female faculty perceive more gender discrimination during hiring processes within university settings and are less satisfied with the overall hiring processes than male faculty (Faculty of Arts and Sciences Gender Equity Committee, 2002;
Langley et al., 2013). In addition, female faculty receive less benefits in their start-up packages and are less likely to perceive that departments did the best to obtain resources for them than male faculty (Langley et al., 2013; Van Delinder et al., 2015). Similarly, Layne (2006) showed that female faculty received less average value of start-up packages at all academic ranks at the College of Engineering and the College of Science at Virginia Tech University in the academic year 2005/2006. Analysis conducted by the University of Virginia (2014) showed that male faculty received a higher mean value of start-up packages than female faculty in Science, Technology, Engineering, Mathematics disciplines (STEM) and Social and Behavioral Sciences disciplines (SBS) at the University of Virginia; nonetheless, the mean difference was not statistically significant. However, in the academic year 2004/2005, female faculty received higher average value of start-up packages at all academic ranks at the College of Engineering at Virginia Tech University (Layne, 2005). In addition, the National Research Council (2010) found that start-up packages were comparable between female and male faculty. These findings are in accordance with an experiment conducted by Allen, Smith, and Ransdell (2019) which showed that candidates’ gender does not influence the hiring evaluator’s decision-making process with regard to the amount of salary, start-up funding, or research space allocation. Therefore, findings on gender differences within the content of start-up packages are mixed.
Overall, female faculty have been found to be less satisfied with their jobs at universities than male faculty (Callister, 2006). Specifically, Rosser (2004) found that female faculty were less satisfied with the quality of benefits and their salary level than male faculty. Additionally, female faculty have been found to be less satisfied with their start-up packages at the time of hire at the University of Southern Maine (Langley et al., 2013). Gender differences within university settings have also been found in the perception of university fair treatment. Female faculty perceive that they are treated less fairly at the institutional level as well as by their superiors than male faculty (Holliday et al., 2015; Jagsi et al., 2017; Martin, 2011). Unfair treatment can also be seen in unfair workload distribution and its effect on faculty professional development. Female faculty were more likely to have less teaching free periods than male faculty; therefore, they had less time to conduct research and to work on publications (Kjeldal, Rindfleish, and Sheridan, 2005).
This paper presents findings of a study that explored the following research question: What is the role of gender on obtained benefits in start-up packages, satisfaction with start-up packages, perception of university honored start-up packages, and contribution of start-up packages to professional development? In addition, the following null hypotheses were tested.
Hypothesis $0_1$. Number of obtained benefits does not significantly differ by faculty gender.
Hypothesis $0_2$. Satisfaction with benefits at the time of hire does not significantly differ by faculty gender.
Hypothesis $0_3$. Satisfaction with benefits at the time of the study does not significantly differ by faculty gender.
Hypothesis $0_4$. Satisfaction with the overall start-up packages does not significantly differ by faculty gender.
Hypothesis $0_5$. Faculty perception if the university honored the start-up packages does not significantly differ by faculty gender.
Hypothesis $0_6$. Contribution of start-up packages to faculty professional development does not significantly differ by faculty gender.
Following, methods and procedures used to conduct the study will be explained including data collection, participants, measures, and data analysis. Further, results are presented, followed by a discussion of the findings, conclusions, and recommendations.
Materials and Methods
Data Collection
The current study utilizes data from the Start-Up Package Satisfaction Survey administered in a Southeastern university from April 2018 to June 2018. The survey focused on faculty attitudes towards start-up package offers, negotiation, satisfaction, and obtained benefits. Prior to data collection, Institutional Review Board approval was obtained. Tenure-track and tenured faculty (N = 989) at a research public university in the Southeastern U.S. received an email, and further a reminder, to participate in the survey using a web-based Qualtrics platform. One hundred and twenty-seven opted for completing the survey; the response rate was 13%. Participants read and signed an informed consent by agreeing to complete the survey.
Participants
Participants who were considered as the sample for this study were participants who obtained a start-up package and also chose to respond to the demographic question about their gender by indicating their gender as male or female. Those who chose “I prefer not to answer”, “I don’t identify myself with any of the above”, or did not answer this question were filtered out of the analyses. To secure participants’ confidentiality, demographics questions were voluntary. This study analyzes data from a sample of (n = 96) tenure and tenure-track faculty were 51% (n = 49) males and 49% (n = 47) females.
Measures
The number of overall obtained benefits was calculated based on participants’ responses to 34 items from the survey where respondents indicated whether one of each 17 specific benefits were offered to them, or not offered to them, and also if they obtained the benefit through negotiation of their start-up package. The benefits were classified in four groups (i.e., terms of employment, equipment, moving expenses, and other benefits). The response options were “yes”, “no”, and “I don’t know” for 17 items assessing if the benefit was offered to them and “yes”, “no”, and “N/A” for 17 questions asking if participants negotiated for the specific benefit. The items were recoded as “0” if they did not obtain a benefit through offer or through negotiation and if they did not remember or did not answer the question; and as “1” if they obtained the specific benefit regardless if it was offered to them or if they negotiated for the specific benefit. The final number of obtained benefits was a sum of the recoded 17 variables.
The variable “number of benefits satisfied with at the time of hire” was assessed by summing responses of two sets of questions in regard to 17 benefits. The first set of questions asked if participants were satisfied at the time of hire with the specific benefit which was offered to them; the response options were “yes” and “no. The second set of questions asked if respondents were satisfied at the time of hire with benefits which they negotiated; the response options were “yes”, “no”, and “N/A”. The variables were recoded as “0” if participants were not satisfied with a specific benefit offered or negotiated, when they did not respond, or their response was “N/A”; the variables were recorded as “1” if participants were satisfied with the specific offered or negotiated benefit. The final variable of number of benefits satisfied with at the time of hire is a sum of the 17 recoded items.
The variable “number of benefits satisfied at the time of the study” was computed by summing the two sets of questions across 17 benefits. In the first set of questions, participants indicated if they are now satisfied with the benefit which was offered to them; the response options were “yes”, “no”, and “N/A”. The second set of the questions asked if respondents are now satisfied with the benefit which they negotiated for; the response options were “yes”, “no”, and “N/A”.
The variables were recoded as “0” if participants were not satisfied with the specific offer or negotiated benefit and when they did not respond, or their response was “N/A”; the variables were recorded as “1” if participants were satisfied with the specific offered or negotiated benefit. The final variable of number of benefits satisfied with at the time of the study is a sum of the 17 recoded items.
Satisfaction with the overall start-up packages was measured with two items. Participants responded to items rated on a satisfaction scale from 1 (extremely dissatisfied) to 5 (extremely satisfied). The estimated Cronbach’s alpha of this scale was .84. Questions included asked about satisfaction with the original start-up offer and about satisfaction with the result of negotiation for the start-up package.
Honored start-up packages were measured by a single item asking to rate the level of agreement if the university honored all aspects of the start-up package on an agreement scale of 1 (strongly disagree) to 5 (strongly agree).
The variable “contribution to professional development” was a single-item measure on an agreement response scale ranging from 1 (strongly disagree) to 5 (strongly agree). The question asked participants to rate the level of agreement that the start-up package helped or contributed to faculty professional development.
**Data Analysis**
Collected data were analyzed using IBM SPSS Statistics Version 24.0. Data analyses included descriptive statistics, analysis of variance (ANOVA), and correlation analysis. Descriptive statistics were used for participant demographics. Univariate ANOVA was conducted to compare the means of major study variables to determine if statistically significant differences existed based on gender (Tabachnick and Fidell, 2013). Levene’s test for equality of variances was used to test the homogeneity of variance assumption. Pearson correlation matrix was calculated to further examine the relationships between study variables.
**Results**
Of the 96 faculty who completed the survey, 51% were males, most were self-identified as White non-Hispanic (80.2%), were in the Assistant professor rank (42.7%), and were in a STEM discipline (50%). A summary of the demographic information of the participants can be found in Table 1.
Descriptive statistics were calculated for the number of overall obtained benefits in start-up packages, satisfaction with the benefits at the time of hire, satisfaction with benefits at, overall satisfaction with start-up packages, packages honored by university, and contribution of start-up packages to faculty professional development. The mean value of the number of obtained benefits in the start-up packages was 6.94 ($SD = 3.06$). In addition, results revealed that faculty in the sample generally expressed that they were overall satisfied with their start-up packages ($M = 2.83$, $SD = 1.26$), the university honored their packages ($M = 3.60$, $SD = 1.45$), and that their start-up packages contributed to their professional development ($M = 3.72$, $SD = 1.51$). A summary of descriptive statistics of major study variables are shown in Table 2.
Results of bivariate correlation analysis of the study variables is presented in Table 3. The Correlation matrix shows that number of overall obtained benefits in start-up packages, satisfaction with the benefits at the time of hire, satisfaction with benefits at the time of the study, overall satisfaction with start-up packages, packages honored by university, and contribution of start-up packages to faculty professional development were significantly and positively associated with each other.
| Variable | Categories | n | % |
|---------------------------|-------------------------------------------------|----|-----|
| Gender | Male | 49 | 51.0|
| | Female | 47 | 49.0|
| Race and/or ethnicity | Asian, Asian-American, or Pacific Islander | 5 | 5.2 |
| | White (non-Hispanic) | 77 | 80.2|
| | Black or African-American | 3 | 3.1 |
| | Hispanic or Latino | 5 | 5.2 |
| | I prefer not to answer | 4 | 4.2 |
| | Other | 1 | 1.0 |
| Current academic rank | Professor | 26 | 27.1|
| | Associate Professor | 25 | 26.0|
| | Assistant Professor | 41 | 42.7|
| | I prefer not to answer | 4 | 4.2 |
| | Other | | |
| Disciplines* | STEM | 48 | 50 |
| | SBE | 11 | 11.5|
| | Non-S&E | 4 | 4.2 |
| | Professional/Other | 4 | 4.2 |
| | Other | 21 | 21.9|
* Categories of disciplines were made based on the U.S. National Science Foundation’s requirement for data reporting; STEM (science, technology, engineering, and mathematics), SBE (social, behavioral, and economic sciences), Non-S&E (non-science and engineering), Professional/Other (e.g. communications, parks/recreation/leisure/fitness).
Table 1: The demographics of the sample
| Variable | Min | Max | Mean | SD | Skew |
|-----------------------------------------------|-----|-----|------|-----|------|
| Number of obtained benefits | 0 | 14 | 6.94 | 3.06| 30 |
| Satisfaction with the benefits – time of hire | 0 | 14 | 5.47 | 3.13| .68 |
| Satisfaction with the benefits – time of study| 0 | 12 | 3.77 | 3.10| .83 |
| Overall satisfaction with the packages | 1 | 5 | 2.83 | 1.26| -.01 |
| Honored packages | 1 | 5 | 3.60 | 1.45| -.56 |
| Contribution to professional development | 1 | 5 | 3.72 | 1.51| -.83 |
Table 2: Descriptive statistics of study variables
| Variable | 1 | 2 | 3 | 4 | 5 | 6 |
|-----------------------------------------------|-----|-----|-----|-----|-----|-----|
| 1. Number of obtained benefits | - | .84*** | .70*** | .38*** | .44*** | .52*** |
| 2. Satisfaction with the benefits – time of hire | - | .78*** | .52*** | .52*** | .55*** |
| 3. Satisfaction with the benefits – time of study | - | .41*** | .50*** | .43*** |
| 4. Overall satisfaction with the packages | - | .48*** | .74*** |
| 5. Honored packages | - | .59*** |
| 6. Contribution to professional development | - | |
*** $p < .001$
Table 3: Pearson’s correlation coefficients between variables
Levene’s test verified the equality of variances in the samples, in other words, the homogeneity of variance assumption was not violated ($p > .05$). There was one case of missing data in variables included in the analysis; this one case of missing data was handled with pairwise deletion. The results from univariate ANOVA that examined the gender mean differences in the start-up packages are presented in Table 3. Female faculty reported lower number of obtained benefits in the start-up packages ($M = 6.45; SD = 3.03$) than male faculty ($M = 7.50; SD = 3.02$). However, the difference
in the number of obtained benefits in the start-up packages between female and male faculty was not statistically significant, $F(1, 93) = 2.88, p = .093, \eta^2 = .030$. Therefore, Hypothesis 0$_1$ was not rejected. Female faculty were less satisfied with the benefits at the time of hire ($M = 4.91; SD = 2.88$) than male faculty ($M = 6.10; SD = 3.25$). Nevertheless, the mean difference between female and male faculty satisfaction with the benefits at time of hire was not significant, $F(1, 93) = 3.56, p = .062, \eta^2 = .037$. Thus, Hypothesis 0$_2$ was not rejected. Female faculty were currently less satisfied with the benefits that they obtained in their start-up packages ($M = 3.32; SD = 2.94$) than male faculty ($M = 4.23; SD = 3.22$). Notwithstanding, the mean difference between female and male faculty current satisfaction with the benefits obtained in the start-up packages was not significant, $F(1, 93) = 2.06, p = .154, \eta^2 = .022$. Hypothesis 0$_3$ was not therefore rejected. Female faculty reported lower levels of overall satisfaction with the start-up packages ($M = 2.49; SD = 1.16$) than male faculty ($M = 3.21; SD = 1.25$). There was a significant mean difference in the overall satisfaction with start-up packages between female and male faculty, $F(1, 93) = 8.45, p < .01, \eta^2 = .083$. Hence, Hypothesis 0$_4$ was rejected. Female faculty expressed lower levels of honored start-up packages by university ($M = 3.28; SD = 1.49$) than male faculty ($M = 3.92; SD = 1.35$). There was a significant difference in the level of honored start-up packages by university between genders, $F(1, 93) = 4.84, p < .05, \eta^2 = .049$. Hypothesis 0$_5$ was rejected. Female faculty perceived that their start-up packages contributed less to their professional development ($M = 3.47; SD = 1.56$) than male faculty ($M = 4.02; SD = 1.39$). However, the mean difference between female and male faculty in contribution of the start-up packages to professional development was not significant, $F(1, 93) = 3.33, p = .071, \eta^2 = .035$. Therefore, Hypothesis 0$_6$ was not rejected.
| Variable | Male (n=48) | Female (n=47) | F | $\eta^2$ | p |
|-----------------------------------------------|-------------|---------------|-----|----------|------|
| Number of obtained benefits | 7.50 | 3.02 | 6.45| 3.03 | 2.88 | .030 | .093 |
| Satisfaction with the benefits – time of hire | 6.10 | 3.25 | 4.91| 2.88 | 3.56 | .037 | .062 |
| Satisfaction with the benefits – time of study| 4.23 | 3.22 | 3.32| 2.94 | 2.06 | .022 | .154 |
| Overall satisfaction with the packages | 3.21 | 1.25 | 2.49| 1.16 | 8.45 | .083 | <.010|
| Honored packages | 3.92 | 1.35 | 3.28| 1.49 | 4.84 | .049 | <.050|
| Contribution to professional development | 4.02 | 1.39 | 3.47| 1.56 | 3.33 | .035 | .071 |
Table 4: Mean differences by gender
**Discussion**
Gender inequality can influence hiring processes and faculty careers (Carr et al., 2019; Stamarski and Son Hing, 2015). However, little is known about how gender influences start-up packages within academia and findings about gender differences in start-up packages are mixed. Results from this study indicated that there are significant differences between male and female faculty in the overall satisfaction with the start-up packages and in faculty perception if university honored their start-up packages. Specifically, female faculty were less satisfied with the start-up packages and were more likely to perceive that the university did not honor their start-up packages. These findings are consistent with previous research which showed that female faculty are less satisfied with the overall hiring processes (Langley et al., 2013), and that female faculty are less likely to perceive that the university treats them fairly (Holliday et al., 2015; Martin, 2011). However, the findings are not consistent with the study conducted by Robst, VanGilder, and Polachek (2003) that found that majority of male and female faculty believe that female faculty are treated fairly. The implication for the universities is that they should offer packages that are attractive for new faculty and would satisfy them. In addition, universities should offer only packages which they can deliver to prevent the perception of unfair treatment, especially by female faculty. Even though, in this study, male faculty
obtained higher number of benefits in their start-up packages, the difference was not statistically significant. Therefore, research which concluded that there are no significant differences between female and male start-up packages was supported (Allen, Smith, and Ransdell, 2019; Layne, 2005; National Research Council, 2010; University of Virginia, 2014). In addition, although there were no significant differences between male and female faculty on the number of obtained benefits in the start-up packages, satisfaction with the packages at the time of hire, satisfaction with the packages at the time of study, and contribution of the start-up packages to the professional development; all the study variables were positively correlated with contribution of the start-up packages to faculty professional development. Future inquiry on these relationships by accounting for a bigger sample size would potentially yield significant results portraying the hypothesized differences in this study.
**Conclusion**
The present study showed that females are significantly less overall satisfied with start-up packages and start-up packages are significantly less likely to perceive that the university honored their start-up packages. On the other hand, there were no significant differences between female and male faculty in terms of number of obtained benefits in the packages, satisfaction with the benefits at the time of hire, satisfaction with benefits at the time of study, and contribution of the start-up packages to faculty professional development. In addition, the study revealed positive correlation among all study variables. Therefore, future research should examine the directionality of those relationships, by considering a bigger and more diverse sample.
**Acknowledgements**
The financial support for this work was through the National Science Foundation (HRD-1629934).
**References**
Allen, J., Smith, J.L. and Ransdell, L.B. (2019) ‘Missing or seizing the opportunity? The effect of an opportunity hire on job offers to science faculty candidates’, *Equality, Diversity and Inclusion: An International Journal*, vol. 38, no. 2, pp. 160-177. [http://dx.doi.org/10.1108/EDI-09-2017-0201](http://dx.doi.org/10.1108/EDI-09-2017-0201)
Bralower, T. (2005) *Negotiating a job offer*, [Online], Available: [https://serc.carleton.edu/NAGTWorkshops/careerprep/jobsearch/Bralower_negotiation.html](https://serc.carleton.edu/NAGTWorkshops/careerprep/jobsearch/Bralower_negotiation.html) [1 Mar 2019].
Callister, R.R. (2006) ‘The impact of gender and department climate on job satisfaction and intentions to quit for faculty in science and engineering fields’, *The Journal of Technology Transfer*, vol. 31, no. 3, pp. 367-375. [http://dx.doi.org/10.1007/s10961-006-7208-y](http://dx.doi.org/10.1007/s10961-006-7208-y)
Callie, T.M. and Cheslock, J.J. (2008) ‘The hiring and compensation practices of business school deans’, *The Review of Higher Education*, vol. 32, no. 1, pp. 25-49. [http://dx.doi.org/10.1353/rhe.0.0021](http://dx.doi.org/10.1353/rhe.0.0021)
Carr, P.L., Helitzer, D., Freund, K., Westring, A., McGee, R., Campbell, P.B., Wood, C.V. and Villalblanca, A. (2019) ‘A summary report from the research partnership on Women in Science Careers’, *Journal of General Internal Medicine*, vol. 34, no. 3, pp. 356-362. [http://dx.doi.org/10.1007/s11606-018-4547-y](http://dx.doi.org/10.1007/s11606-018-4547-y)
Committee on Partnerships for Emerging Research Institutions, National Academy of Engineering, National Research Council (2009) *Partnerships for emerging research institutions: Report of a workshop*. Washington, D.C: National Academies Press.
Ehrenberg, R. G., Rizzo, M. J. and Condie, S.S. (2003) *Start-up costs in American research universities*. Cornell University: Working papers, vol. 38), [Online], Available: [http://digitalcommons.ilr.cornell.edu/workingpapers/38](http://digitalcommons.ilr.cornell.edu/workingpapers/38) [1 Mar 2019].
Faculty of Arts and Sciences Gender Equity Committee. (2002) *A study of gender equity in the faculty of arts and sciences in New-Brunswick Rutgers university*, [Online], Available: [http://sas.rutgers.edu/documents/reports-and-resolutions/gender-equity-committee-reports/39-executive-summary-gender-equity-report/file](http://sas.rutgers.edu/documents/reports-and-resolutions/gender-equity-committee-reports/39-executive-summary-gender-equity-report/file) [3 Mar 2019].
Hamann, D.L. (2013) *On staff: A practical guide to starting your career in a university music department*, US: Oxford University Press.
Holliday, E., Griffith, K., De Castro, R., Stewart, A., Ubel, P. and Jagsi, R. (2015) ‘Gender differences in resources and negotiation among highly motivated physician-scientists’, *Journal of General Internal Medicine*, vol. 30, no. 4, pp. 401-407. [http://dx.doi.org/10.1007/s11606-014-2988-5](http://dx.doi.org/10.1007/s11606-014-2988-5)
Jagsi, R., Griffith, K.A., Jones, R.D., Stewart, A. and Ubel, P.A. (2017) ‘Factors associated with success of clinician–researchers receiving career development awards from the National Institutes of Health: A longitudinal cohort study”, *Academic Medicine*, vol. 92, no. 10, pp. 1429-1439. [http://dx.doi.org/10.1097/ACM.0000000000001728](http://dx.doi.org/10.1097/ACM.0000000000001728)
Kjeldal, S.E., Rindfleish, J. and Sheridan, A. (2005) ‘Deal-making and rule-breaking: Behind the façade of equity in academia’, *Gender and Education*, vol. 17, no. 4, pp. 431-447. [https://doi-org.libproxy.clemson.edu/10.1080/09540250500145130](https://doi-org.libproxy.clemson.edu/10.1080/09540250500145130)
Langley, Turnbaugh, S., Anderson, A., Gibson, J., Lynn, D. and Zollitsch, B. (2013) *Advance project: USM faculty work climate survey-preliminary report*, [Online], Available: [https://digitalcommons.usm.maine.edu/cgi/viewcontent.cgi?article=1001&context=women_advance](https://digitalcommons.usm.maine.edu/cgi/viewcontent.cgi?article=1001&context=women_advance) [2 Mar 2019].
Layne, P. (2005) *AdvanceVT annual report: Year 2: September 2004-June 2005*, [Online], Available: [https://vtechworks.lib.vt.edu/bitstream/handle/10919/72154/advancevt_annual_report_2004_05.pdf?sequence=1&isAllowed=y](https://vtechworks.lib.vt.edu/bitstream/handle/10919/72154/advancevt_annual_report_2004_05.pdf?sequence=1&isAllowed=y) [2 Mar 2019].
Layne, P. (2006) *AdvanceVT annual report: Year 3: September 2005-August 2006*, [Online], Available: [https://vtechworks.lib.vt.edu/bitstream/handle/10919/72158/advancevt_annual_report_2005_06.pdf?sequence=1&isAllowed=y](https://vtechworks.lib.vt.edu/bitstream/handle/10919/72158/advancevt_annual_report_2005_06.pdf?sequence=1&isAllowed=y) [2 Mar 2019].
Martin, C.L. (2011) Gender differences in career satisfaction among postsecondary faculty in STEM disciplines. PhD thesis. The University of Memphis.
National Research Council (2010) *Gender differences at critical transitions in the careers of science, engineering, and mathematics faculty*. National Academies Press, [Online], Available: [https://sites.nationalacademies.org/cs/groups/pgasite/documents/webpage/pga_161620.pdf](https://sites.nationalacademies.org/cs/groups/pgasite/documents/webpage/pga_161620.pdf) [1 Mar 2019].
Rancourt, D. (2010) ‘Leading your research enterprise – part 2’, *The Post: Your Newsletter*, vol. 1, no. 2, pp. 9-10, University of Calgary.
Reis, R.M. (1997) *Tomorrow’s professor: Preparing for academic careers in science and engineering*, IEEE Press Marketing.
Robst, J., VanGilder, J. and Polachek, S. (2003) ‘Perceptions of female faculty treatment in higher education: Which institutions treat women more fairly?’, *Economics of Education Review*, vol. 22, no. 1, pp. 59-67. [http://dx.doi.org/10.1016/S0272-7757(01)00056-5](http://dx.doi.org/10.1016/S0272-7757(01)00056-5)
Rosser, V.J. (2004) ‘Faculty members’ intentions to leave: A national study on their worklife and satisfaction’, *Research in Higher Education*, vol. 45, no. 3, pp. 285-309. [http://dx.doi.org/10.1023/B:RIHE.0000019591.74425.f1](http://dx.doi.org/10.1023/B:RIHE.0000019591.74425.f1)
Stamarski, C.S. and Son Hing, L.S. (2015) ‘Gender inequalities in the workplace: The effects of organizational structures, processes, practices, and decision makers’ sexism’, *Frontiers in Psychology*, vol. 6. [http://dx.doi.org/10.3389/fpsyg.2015.01400](http://dx.doi.org/10.3389/fpsyg.2015.01400)
Tabachnick, B.G. and Fidell, L.S. (2013) *Using multivariate statistics* (6th ed.), Boston, MA: Pearson.
University of Virginia (2014) *Analysis of start-up package equity among men and women in STEM and SBE fields at the University of Virginia, NSF ADVANCE annual report project Year 2, June 1, 2014*, [Online], Available: [http://www.advance.virginia.edu/images/2014-Start-up-Package-Study.pdf](http://www.advance.virginia.edu/images/2014-Start-up-Package-Study.pdf) [2 Mar 2019].
Van Delinder, J., Deng, S., Verchot, J., Madewell, A. and Delano, D. (2015) ‘FORWARD Oklahoma State University: Building an academic toolkit for women at a land-grant institution’, in Heller, R.S., Mavriplis, C. and Sabila, P.S. (2015) *FORWARD to Professorship in STEM: Inclusive Faculty Development Strategies that Work*, London, UK: Academic Press is an imprint of Elsevier.
|
On the environmental impact of a repository for spent nuclear fuel
Otto Brotzen
Stockholm, Sweden April 1983
ON THE ENVIRONMENTAL IMPACT OF ACTINIDES FROM SPENT NUCLEAR FUEL EMPLACED IN FRACTURED ROCK
Otto Brotzen
Stockholm, Sweden December 1983
This report concerns a study which was conducted for SKBF/KBS. The conclusions and viewpoints presented in the report are those of the author(s) and do not necessarily coincide with those of the client.
A list of other reports published in this series during 1983 is attached at the end of this report. Information on KBS technical reports from 1977-1978 (TR 121), 1979 (TR 79-28) 1980 (TR 80-26), 1981 (TR 81-17) and 1982 (TR 82-28) is available through SKBF/KBS.
# TABLE OF CONTENTS
| Section | Page |
|------------------------------------------------------------------------|------|
| Summary | 1 |
| Introduction | 3 |
| Nuclear fuel | 4 |
| Practical aspects | 5 |
| Functional aspects | 7 |
| Dissolution of the fuel | 8 |
| Reprecipitation of uranium and coprecipitation of actinides | 9 |
| Aspects of groundwater flow | 13 |
| Time of trace reentry | 17 |
| Comparison with uncontaminated groundwaters | 20 |
| Discussion | 22 |
| Conclusions | 27 |
| Acknowledgements | 29 |
| Table 1: Radioactivity from Radon (Rn), Radium (Ra) and Uranium (U) in water from springs and wells in Sweden | 30 |
| References | 31 |
| Figure texts | 36 |
| Figures | |
ON THE ENVIRONMENTAL IMPACT OF ACTINIDES FROM SPENT NUCLEAR FUEL EMPLACED IN FRACTURED ROCK
SUMMARY
An estimate is presented of the contamination of groundwater discharging at the surface with actinides from spent nuclear fuel emplaced at depth in fractured, water-saturated, crystalline rock. No engineered barriers are considered, and the fuel in this case is free to interact with the groundwater and the host rock. The contaminated groundwater is assumed to reach the surface via a highly water-conducting fracture zone in the rock.
A sequence of processes and factors controlling the final concentration of actinides in the water is considered.
First, oxidative dissolution of spent fuel takes place due to radiolysis of the water. Next, reductive precipitation of uranium, with coprecipitation of the other actinides, results from interaction with reductants in the host rock. The maximum uranium concentration then remaining in solution is about 0.2 microgram per litre. The ratio of other actinides to uranium will reflect the proportions in the fuel.
Only 0.1 per cent or less of the groundwater finally reaching the surface at a local spring or well will come from a properly located repository at depth. The contamination from spent fuel in the groundwater brought to the surface will therefore, after natural mixing en route, amount to 0.0002 microgram of
uranium per litre. This uranium is accompanied by a proportional concentration of harmful actinides. Their radiotoxicity is a function of the time between discharge of the fuel from the reactor and their reentry into the surface environment.
Most of this time is spent in transit to the surface from the depth of emplacement. With parallel linear flow in a zone of high conductivity and a retardation of the actinides under reducing conditions, this takes more than 300 000 years. Radioactive decay during this time reduces the radiotoxic contamination of surfacing groundwater with actinides to a level corresponding to a natural uranium content of 0.05 microgram per litre. This corresponds to less than one per cent of the average concentrations of uranium and radium in water from springs and wells in granitic areas uncontaminated by nuclear installations. Even if instantaneous reentry could take place, the environmental impact of the actinides would only be of the same magnitude as that from natural sources of uranium and radium in the average spring, provided reductive precipitation of uranium has taken place before mixing with shallow groundwater.
Introduction
If spent nuclear fuel in a deep-seated repository is exposed to water, traces of radioactive substances may be carried into the surface environment. Engineered barriers have therefore been developed that will completely isolate the fuel until it has lost, by its own radioactive decay, more than 99.5% of its harmfulness.
An attempt is nevertheless made here to outline briefly, and without any regard to such barriers, the main mechanisms which would control a release of radioactive substances to the surface from a repository in fractured crystalline rock. In this case the spent fuel would be free to interact with the surrounding groundwater and host rock. The groundwater is then assumed to reach the surface via a water-conducting fracture zone.
The analysis is presented in the form of a highly simplified calculation of what contamination of natural waters would result from such a situation. In spite of the inherent approximations and extrapolations, it is hoped that this analysis will provide a basically realistic picture of the mechanisms involved. If so, it could be used in the evaluation of different technical concepts and of the benefits obtained from alternative isolation arrangements. It also identifies key areas for additional research and development.
Before embarking on the main subject, the paper presents a brief review for non-specialists of some practical and functional aspects, reflecting in part the repository concept currently being studied in Sweden (1). The main analysis, however, aims at a
more general situation, and is not confined to any particular repository concept.
**Nuclear fuel**
Nuclear fuel, in the present context, consists of cylindrical bodies, pellets, of crystalline uranium dioxide (UO$_2$), which are assembled into fuel-rods contained in heat- and water-resistant closed tubes of a zirconium alloy. The radioactivity of new fuel is weak enough to permit handling with rather limited radiation protection, see figures 1 and 2. After irradiation in a reactor, however, the radioactivity of the fuel is much increased and requires substantial protective measures for safe handling, see figure 3. This is due to the formation in the reactor of fission products, such as strontium-90 and caesium-137, and of transuranic elements, such as the actinides americium, plutonium and neptunium. It is this great increase in radioactivity and the long time required for its decay to lower levels, that calls for special approaches to the terminal disposal of spent nuclear fuel.
The uranium content of spent fuel is about 80 weight per cent. The main radioactive elements in spent fuel, their radioactivity and decay with time are shown in figure 4. On the right, the figure shows how many times more radioactive the spent fuel and its components are than an equivalent amount of natural uranium (without daughter products).
The radiation from each constituent of the spent fuel has its own specific energy and health effect (2). Figure 5 therefore shows the radiotoxicity or harmfulness of spent fuel, here expressed as how many times more toxic spent fuel and its main constituents are than an equal amount of fresh nuclear fuel (before irradiation).
The toxicity of the latter for practical purposes is equivalent to that of an equal amount of natural uranium. It is seen in figure 5 that spent fuel after removal from the reactor is about 60,000 times more toxic than an equal amount of natural uranium, and that the toxicity decreases rather rapidly after about hundred years. Up to that time strontium-90 and caesium-137 are most important. Thereafter, different isotopes of americium, plutonium and neptunium are predominant for a period of about ten million years. They are therefore given special attention in the following. The toxicity of iodine-129 and technetium-99 is below the range of this diagram.
The expression of radiotoxicity as a ratio versus that of natural uranium is a key element in the following presentation. It facilitates order-of-magnitude assessments and reflects the fact that uranium is chemically the predominant constituent of spent fuel. Furthermore, the chemical behaviour of americium, plutonium and neptunium in many respects closely resembles that of uranium. Finally the behaviour of uranium in the natural environment, notably in shallow and deep natural waters, is fairly well understood.
Practical aspects
When nuclear fuel is taken out from a reactor it is highly radioactive, and also generates considerable heat. It is therefore first stored in a special facility at the reactor site, which allows effective cooling, radiation shielding and close surveillance. In the Swedish concept this stage of monitored storage, which is presently being successfully practiced at reactors in all parts of the world, is
foreseen to last about forty years, in order to allow the radioactivity and heat to decline sufficiently to facilitate further handling of the fuel. Thereafter, according to present plans, the spent fuel will be encased in canisters of highly resistant materials, such as metallic copper.
Practical tests have demonstrated the feasibility of this encapsulation of the fuel, and experimental, thermodynamic and geological evidence indicates that such canisters may last millions of years in the protected environment offered by a deep-seated repository (3,4). The canisters thus provide complete containment and protection of the environment, and therefore constitute a highly efficient engineered barrier to the dispersal of radioactive substances.
The canisters with the spent fuel will after appropriate quality checks, be finally disposed of by emplacement in a repository constructed in crystalline bedrock at a depth of several hundred metres. Each canister will there be placed in a separate hole in the rock. These holes, as well as the tunnels and shafts of the repository, will be backfilled by appropriate blends of clays and soil materials, which are stable in the environment. By virtue of their capacity to swell, the clays will provide a tight seal and the backfill will attain a permeability to water that is equal to or less than that of the surrounding rock (5). Large scale practical tests of backfilling techniques and materials are presently being carried out under realistic conditions in the Stripa mine (6). The repository, after any period of control and monitoring, may thus be permanently closed and sealed, with no responsibility for monitoring or surveillance being imposed on future generations.
Functional aspects
The fundamental purpose of the entire system is to protect man and his environment both now and in future. From this point of view, the procedures just outlined represent two different phases. The first phase covers the period of active handling of the spent fuel and the canisters, as well as operation of the repository, including its preparation for final closure. During this stage, all operations have to meet existing national and international regulations on radiation protection and special legislation on occupational hazards and safety.
The second phase begins when a repository has been finally closed and no further direct human involvement with the fuel is required. Effective general shielding to prevent human exposure to radiation from the fuel must then be provided and reentry of radioactive substances from the fuel into the human environment must be restricted to very low levels.
Complete shielding of the radiation coming from the fuel requires less than five metres of intervening solid material such as bedrock. In many flat areas, undisturbed by recent volcanism, violent earthquakes and ongoing mountain-building, rates of erosion are less than ten metres per one million years. A repository located at depth in such areas will not be uncovered for many millions of years. Some portions of the precambrian Shields, where man today can walk on intact erosional surfaces formed more than 500 million years ago, provide perhaps the most impressive evidence of the limited effects of subsequent erosion in such areas. These conditions provide full protection against human injury due to direct exposure to radiation from spent fuel in properly located deep repositories, over periods of time far in excess of
those required for the decay of its harmful radioactive elements.
Reentry of radioactive substances from the repository into the human environment through natural or induced groundwater flow rather than erosion therefore constitutes the remaining, and hence crucial, problem in the management of spent fuel.
An environmental impact of a repository would thus require an extensive breach of the engineered barriers, e.g. perforation of a large fraction of the canisters, and would thereafter be directly controlled by the capacity of the groundwater to transport the radioactive substances to the surface.
It may be interesting to compare a specific repository concept, such as the one outlined above, with a basic reference case not bound by particular features of design, construction and emplacement. The following analysis therefore considers a case where the spent fuel is exposed to the groundwater and free to interact with it and the host rock, as if emplaced in the natural rock unchanged by engineering activities. This degree of exposure defines what in short may be called a leaky repository. More strictly speaking, it should perhaps be called a zero-case leaky repository, since different engineering measures could reduce or increase its leakiness.
**Dissolution of the fuel**
The groundwater contained in a fractured host rock, will, upon contacting the highly radioactive spent fuel, undergo partial decomposition into its components, hydrogen and oxygen, as a result of radioysis. Recombination, leading to the formation of both water and hydrogen peroxide, also occurs. The
extent of radiolysis is sensitive to variations in the content of dissolved substances, to the extent and geometry of the contact with the fuel and to preferential escape of hydrogen through the fractured rock. The overall effect would be local oxidation. The possible extent of radiolysis has been investigated theoretically (7,8) and on the basis of evidence from the natural reactors at Oklo (9) with reasonable agreement in the results.
The oxidation resulting from radiolysis of the groundwater is an important factor in the dissolution of the spent fuel. It leads to the formation of hexavalent uranium, the pertinent compounds of which are much more soluble than the uranium(IV) oxide of the fuel (10). The americium and plutonium in the fuel are less easily brought into solution by oxidation than uranium, as shown by thermodynamic calculations (11) and leaching experiments (12,13). Although these studies do not quantitatively represent the conditions in a leaky repository, they show clearly that a preferential leaching of uranium is to be expected. The water leaving the repository will therefore carry a lower ratio of the other actinides to uranium than that present in the spent fuel. To make our presentation easy to follow, the proportion of actinides in solution will nevertheless be taken to be the same as in the spent fuel.
Reprecipitation of uranium and coprecipitation of actinides
It is well known that hexavalent uranium, dissolved in oxidizing groundwater, will be reprecipitated upon encountering more reducing conditions along the flowpath of the water. This process in Nature gives rise to special types of uranium ore deposits, and its bearing on the underground disposal of spent
nuclear fuel has been discussed repeatedly, e.g. (14, 15, 16). Uranium from spent fuel dissolved in groundwater will also be reduced to the tetravalent state by ferrous iron and other reductants in the host rock beyond the realm of radiolysis (17). It will thereby be reprecipitated at a redox front, i.e. the interface between oxidizing and reducing conditions along the flowpath. This entails a return to natural conditions away from the spent fuel.
A large body of data exists on the uranium content of natural waters, mainly from geochemical prospecting (18). Unfortunately, most of these data are of limited value due to a lack of vital information on the pH, Eh and carbonate content of the analyzed waters, and on their possible interaction with organic matter, (19). Simplifying geochemical assumptions cannot readily serve as a substitute for such information. Significant results are instead available from studies of the isotopic fractionation of uranium found in many waters (20). Figure 6, adapted from the presentation by Osmond and Cowart, summarize these findings. It can be seen that both surface waters and groundwaters show a very wide range of uranium concentrations, from 0.01 to more than 100 micrograms per litre. The diagrams also show that there is a marked difference between surface waters and groundwaters with regard to their activity ratios, i.e. the ratio of the alpha-activity from uranium-234 to that from uranium-238. In waters with a high activity ratio, the ratio of uranium-234 to uranium-238 is much higher than at radioactive equilibrium. This is most marked in groundwaters with a uranium content of less than 0.2 micrograms per litre. Obviously specific conditions exist in the environment of such waters which favour a displacement of the normal ratio between the two uranium isotopes.
The uranium in the waters originates from the surrounding rocks, but extensive studies (21) show that the activity ratio in rock generally show much less variation. This leads to the conclusion that a preferential release of uranium 234 sometimes takes place in the interaction between the rock and the groundwater. Theoretical considerations, experimental evidence and careful case studies in Nature show that the isotopic fractionation of uranium is due to atomic recoil effects. These occur when a 234 atom is formed by radioactive disintegration, in two steps, from a 238 atom. The recoil effects enhance the mobility of the 234 atoms, and may aid in their transfer from the uranium-bearing solid to the water (20).
The isotopic fractionation effects are negligible as long as uranium is transferred to the groundwater by chemical dissolution of the uranium present in the rock, and as long as the uranium content of the water is relatively high. This situation characteristically prevails under oxidizing conditions in the crust, and reflects the solubility of many compounds of hexavalent uranium, in particular in the presence of complexing agents such as carbonate and sulphate ions. Under reducing conditions, the insolubility of uranium(IV) compounds leads to low uranium contents in the water even at saturation. Only at this point, when the tendency of uranium to enter into solution is practically zero, will the higher mobility of uranium-234 due to recoil give rise to high activity ratios in the water. The actual observation of a low uranium content and a high activity ratio in a groundwater is therefore evidence of saturation with uranium under reducing conditions.
Inspection of figure 6 shows that the concentration of uranium in reducing groundwaters varies between 0.01 and 0.2 microgram per litre. This variation
probably reflects differences in other factors, such as pH and the concentration of uranium complexing compounds, in the investigated groundwaters. The large body of available data suggests that the normal chemical variation in reducing groundwaters should be adequately covered. Therefore, 0.2 microgram of uranium per litre would seem to represent a fair estimate of the maximum concentration to be expected in groundwaters that reduce uranium to its tetravalent state under a wide variety of natural conditions. This conclusion is confirmed for groundwater in crystalline rock by recent data from different test sites in Sweden, cf figure 7. It shows that higher uranium contents in shallow sections, representing oxidizing conditions, become drastically reduced to values below 0.2 microgram per litre at greater depths.
As far as the other actinides are concerned, it must be remembered that this entire group of elements shows great similarities between its members with regard to their ionic radii, valence states and reactions with many natural complexing agents and precipitants. They may therefore be expected to be scavenged from solution by coprecipitation with uranium, even if they are not present at their individual saturation concentrations in the groundwater. So far it has been shown experimentally that hexavalent uranium in aqueous solution, when precipitated by reduction, will coprecipitate traces of plutonium present in solution. The ratio of plutonium to uranium in the precipitate was found to be about the same as in solution (22). Extending this to americium and neptunium suggests that the ratio of the three actinides to uranium remaining dissolved in groundwater after reductive precipitation will not differ greatly from that prevailing in the oxidized
solution. On this basis the radiotoxicity of groundwater contaminated by spent fuel may be estimated as a function of its uranium content and time. It can be seen, for instance, in figure 5 that spent fuel one thousand years after removal from the reactor is about 10 000 times more harmful than the equivalent amount of natural uranium. Reducing groundwater, which carries the maximum concentration of 0.2 microgram of uranium per litre, coming from such fuel and carrying a proportional concentration of the other actinides will at that point in time be as harmful as water containing $10 \times 0.2 = 2000$ micrograms (2 mg) of natural uranium per litre. These relationships are fully represented in figure 8.
**Aspects of groundwater flow**
Figure 8 describes the radiotoxicity of groundwater at depth, that has passed the repository and a redox front in the rock. Its impact on the biosphere will be determined by how and when the radioactive substances dissolved in the water eventually reach the surface. The flow and volumes of groundwater that could transport radioactive substances from depth to the surface will therefore be considered next.
The flow of groundwater in fractured crystalline rocks reaching great depths on a regional scale is normally sustained entirely by surface infiltration of rainfall and other forms of precipitation. At first, the water seeps vertically through the superficial layers of the ground, until it joins the groundwater. This constitutes the continuous body of water that fills all the interconnected pores and cracks in the ground and bedrock. Its upper boundary is often called the free groundwater table. If a given point within this body of water is connected to an otherwise isolated tube, open to the atmosphere,
the water will rise in the tube to a steady-state level, called the hydraulic head or hydraulic potential at that point. Groundwater will flow, if unconfined by physical barriers, from loci of higher potential to points of lower potential, in direct analogy to the flow of electrical currents. A classical picture of such a flow system (23) is shown in figure 9A. It may be taken to represent flow in a vertical section of the ground between two equal wells, and also through a topographical ridge between two equal valleys. The dashed curves in the diagram join points of equal potential and actually represent intersections of the plane of the diagram with surfaces of equal potential underground. Free flow always takes place perpendicularly to such surfaces, as illustrated by the curved flowlines, marked by arrows, in the diagram.
The diagram illustrates a number of important aspects. It can be seen that all flowlines converge towards the points of minimum potential in the valleys (wells), which actually mark the loci of groundwater discharge to the surface environment. Thus all the water infiltrated through the surface of the land included in the section will here return to the surface, although it arrives there along different flowpaths, which ideally are fully determined by the distribution of hydraulic potentials. The flowlines entering from the left and right sides of the diagram indicate that one half of the groundwater issuing at the surface is derived from infiltration from outside the central section hosting the repository. In a three-dimensional symmetrical model the central area will only provide one quarter of the total groundwater flow. Furthermore, most of the infiltration will be drained by the shallow portions of the section (shaded). Only that small part of the total flow that infiltrates close to the summit of the ridge, near
the so-called groundwater divide, will actually reach a repository located in the deeper parts of the central section.
Figure 9A represents a very simple situation, where hydraulic conductivity is the same everywhere in the ground. In reality, however, the uppermost parts, including unconsolidated soils and the weathered and disintegrated top section of the bedrock, show conductivities much higher than those in the deeper sections. The higher conductivities generally prevail to depths of one hundred metres or more even in glacially eroded areas, where fresh rock is present close to the surface. This is thought to reflect various surface influences, notably the decrease in the load imposed by overlying rock sections, on approaching the surface, allowing more fractures to open up and to increase in size. Hydraulic conductivity in crystalline rocks, as measured in 25 m long sections at Swedish sites, covers the full range between $10^{-11}$ to $10^{-5}$ m/s (24). This distribution of hydraulic conductivities in the ground channels even more of the groundwater through the shallow sections and further reduces the amount of water flowing through the deeper parts, cf figure 9B.
Crystalline rocks generally contain marked zones of increased fracturing. They are often manifested at the surface as linear depressions. Even at great depth they may occur as narrow zones of increased hydraulic conductivity, comparable to that otherwise found near the surface. They tend to transmit the hydraulic potentials from near the surface into the interior of the bedrock. Fracture zones reaching the surface in areas of infiltration will therefore conduct groundwater into the deeper parts of the rock, and fracture zones reaching loci of groundwater
discharge will drain the adjacent less conductive rock mass. Fracture zones may thus considerably alter the distribution of hydraulic potentials and the flow pattern in the deeper parts of the bedrock from the picture given in figure 9A. However, their cross-sectional areas are small in comparison to that of the total flow system. They therefore do not radically change the ratio of deep to shallow groundwater discussed in the preceding section. This is substantiated by recent 3-D model calculations of groundwater conditions at four Swedish test sites, using site-specific data and including a number of conductive fracture zones reaching great depths (25). They show that the overall groundwater flow at depths below 450 m is at all sites less than 0.1 litre per m$^2$ and year. Groundwater recharge by infiltration at the surface is, on the other hand, known to be around 100 litres or more per m$^2$ and year. It has already been shown above that the total infiltration area sustaining the local flow of groundwater to the surface is several times larger than the cross-section of the repository itself. The contribution of water that has actually passed a repository to the total flow of groundwater discharging at a point at the surface will therefore be less than one per mil. Figure 10 shows the radiotoxic contamination from the spent fuel of the issuing groundwater, using this proportion of 1:1000, as a function of the time between removal of the fuel from the reactor and reentry of traces of actinides into the surface environment.
It may be added for clarity that the fracture zones discussed above play an entirely different role when they intersect an open tunnel at depth. Such a fracture zone will then conduct water into the tunnel in response to a difference in hydraulic potential.
(hydraulic head) corresponding to the difference in elevation between the tunnel and the groundwater table, where it is intersected by the fracture zone. Inflow into the tunnel therefore takes place even when the conductive zone reaches a place of normal groundwater discharge at the surface. These conditions lead to substantial localized inflows into a tunnel (26), which after some time of drainage are largely sustained by newly infiltrated water with a high tritium content (27). Such inflows greatly facilitate recognition of waterbearing zones during the construction of a repository, and aid in the selection of suitable disposal areas within a repository site. After terminal closure of a repository, however, conditions slowly revert to normal and the fracture zones lose much of their overall significance.
**Time of trace reentry**
The lapse of time between removal of fuel from a reactor and the actual reentry into the surface environment of radioactive traces from a deep repository leads to a natural reduction of radiotoxicity by progressive radioactive decay, cf figures 5,8 and 10. Probably around one hundred years will pass between the discharge of fuel and the water-saturation of a repository. This time-span includes all the handling, interim storage and final emplacement of the fuel, as well as backfilling and closing the repository. Extensive contact with the groundwater may perhaps be further delayed for several hundred years by the zircaloy tubing enclosing the fuel. Such lengths of time would be sufficient to eliminate strontium-90 and caesium-137, but they will not significantly affect the actinides in the fuel. Instead, the time required for groundwater transport of the actinides to the surface is of greater interest.
Experimental study of groundwater transport involves the introduction of some tracer substances at one point along the flowpath and observation of their time of arrival and concentration at another point (28, 29). Pumping is often performed to ensure recovery of the tracers and to shorten the duration of the experiments. Results of such tests in crystalline rocks are illustrated in figure 11. It is found that different tracers, although introduced at the same time and moving along the same flowpath, arrive at different times. The slower tracers also arrive at greatly reduced concentrations, cf. figure 11D. It can in fact be shown that their retardation is due to sorption by the rock. The passage of dissolved substances through the bedrock may thus be seen as a kind of chromatography, where the rock along the flowpath takes the place of the sorption column.
Such tests have been performed in fractured zones in granitic rocks and gneiss, with hydraulic conductivities of between $10^{-5}$ and $10^{-7}$ m/s, over distances of between 10 and 51 m (30-34). The flow porosity in the zones is around $10^{-3}$, as obtained from tests with tracers such as tritium, iodide and bromide, which show no or insignificant retention. Strontium and caesium were used as tracers to study retardation. The former, at concentrations of $10^{-4}$ M and at hydraulic conductivities around $10^{-7}$ m/s, showed transit times about 20 times longer than bromide and iodide. Caesium did not arrive within the duration of the experiment (5000 h). Supplementary laboratory studies concern the migration of actinides of different oxidation states in natural rock fractures and the determination of distribution coefficients between the groundwater and crystalline rocks and
their minerals for different radioactive nuclides (35, 36). They show that in reducing groundwater environments, the actinides will travel more than a thousand times slower than strontium.
These results may be used for simple estimates of travel times for actinides migrating from a repository to the surface. Consider for instance a fracture zone with a hydraulic conductivity of $10^{-7}$ m/s and a flow porosity of $10^{-3}$ that connects a repository to a point of groundwater discharge at the surface. Let the distance be 500 m and the difference in hydraulic head 5 m (a gradient of 0.01). The average velocity of groundwater flow in this zone, according to Darcy's law, would be 30 m/year. Strontium would thus migrate 1.5 m/year. The velocity of the actinides, in a reducing groundwater, would be 1.5 mm/year or less. The time of reentry of actinides along this zone therefore would be around 300 000 years or more.
No comparable data are available for fractured crystalline rocks outside such conductive fracture zones. Here the hydraulic conductivity is below $10^{-10}$ m/s (24) but the flow porosity is poorly known. Tracer experiments in such rocks are underway. It has been pointed out, however, that the speed of migration of substances being retarded in a given medium should be directly proportional to the hydraulic conductivity and independent of porosity (37). If the ratio of porosity available for flow to porosity available for diffusion does not change radically, the migration of actinides in the rock surrounding a fracture zone under the same hydraulic gradient would be a thousand times slower. A retardation of three million years would then result over a distance of 5 m of such rock.
This last statement is speculative, and also disregards the rate of diffusion, which, over such short distances and under appropriate concentration gradients, would be greater than the rate of migration due to the hydraulic gradient (38). On the other hand, the time of reentry along the fracture zone is based on considerable evidence. The validity of such transport calculations has recently been demonstrated for groundwater flow in a sandstone (39). A time of reentry of 300 000 years for the actinides therefore appears realistic or conservative. It corresponds to a travel time of the groundwater of only 17 years. It can be seen in figure 10 that a time to reentry of this length reduces the radio-toxicity contributed by the repository to the discharging groundwater to an equivalent uranium concentration of about 0.05 microgram/litre.
Comparison with uncontaminated groundwaters
The content of radon-222, radium-226 and uranium in water from 41 springs and wells in Sweden has been investigated (40). The data are summarized in table 1. All these waters are uncontaminated by nuclear installations. Their radioactivity is instead derived from the naturally occurring radioactive substances found practically everywhere in the bedrock and its overburden.
To illustrate characteristic variations, median values and averages are given here for the complete set as well as for samples from drilled wells in bedrock and from all wells and springs in areas underlain by granitic rocks. It can be seen that the averages are much higher than the median values. This indicates that a majority of samples show low concentrations and that the averages reflect the influence of high concentrations found in a small number of samples. To reduce this influence somewhat,
averaging has been carried out after omission of the single highest values for uranium, radium and radon from the complete set.
For the present purpose the median values may be taken to indicate roughly what concentration levels may most frequently be expected in individual springs and wells, since half of the investigated cases show lower and the other half higher values than the median. The median values in these data are close to the most frequent ones.
The averages, on the other hand, indicate what concentrations at equal flows should be present in each well to maintain the overall concentration levels in the water brought to the surface environment. In this respect, the contributions from the few wells with high concentrations are, of course, rather important.
The different levels of radioactivity from radium and uranium can be translated into conventional weight-volume-based concentrations and further be expressed as equivalent concentrations of natural uranium, allowing for differences in their radiotoxicity. This has been done for each group of samples in table 1 to express for each of them averages and medians and the difference between these two values. This difference should represent an interesting aspect of the variation in these waters, indicating how much the concentration of uranium might increase in a modal well or spring before reaching the average. This difference is seen to correspond to about 10 micrograms of uranium per litre.
The radioactivity of radon-222 alone in these waters is usually about one thousand times higher than that
of either uranium or radium. Natural radon therefore provides the main contribution of radioactivity to the surface environment from underground via the groundwater. Being a gas, however, its environmental impact differs radically from that of the other, non-volatile radioactive substances dissolved in groundwater. Radon levels are therefore not simply expressed as equivalent uranium concentrations.
Only the concentrations of radium and uranium are compared here with the release from spent fuel. Their concentration in the average spring is equivalent to about 10 micrograms of uranium per litre, see table 1. The radiotoxicity of actinides from spent fuel arriving at the surface after about 300 000 years would thus at most represent less than one per cent of that of the radium and uranium constantly brought into the surface environment from natural sources by the average uncontaminated spring or well.
**Discussion**
This brief outline deals with a complex subject in highly simplified terms. Already the use of standard radiotoxicities is a substitute, far from perfect, for detailed consideration of the biological and physiological fate and effects of the individual radioactive nuclides. On the other hand, it greatly facilitates comparison and evaluation of the concentration of the different nuclides in the groundwater discharging at the surface. This discharge represents the last focal point on their way back into the surface environment. It therefore constitutes a natural point for an estimate of their environmental impact. The approximations inherent in the use of standard radiotoxicities may even be seen as matching the range of natural variations in the other input data used in the analysis.
The effects of radioactive heating of the bedrock and groundwater have so far been disregarded completely. These effects reflect technical parameters, such as the duration of interim storage and the pattern of emplacement in the repository, which are not part of our central subject. It may be stated, however, that most crystalline rocks are rather stable at elevated temperatures. Low-temperature minerals, such as fracture-filling clays, may be affected, but this would not substantially change the present calculations. The high sorption of such minerals has not been allowed for in the estimate of the retardation of actinides in transit to the surface.
Heating of the groundwater would lead to a decrease in its density and hence to a buoyancy that could lead to a reduction of the gravity-controlled groundwater circulation or even to a reversal or other changes in the flow pattern. These conditions may become rather complex, cf (41, 42). The buoyancy would be counteracted, however, by an increase in groundwater salinity with depth, which seems to be a general feature in crystalline rocks (43). It has also been suggested that the heat-induced rise of groundwater in fractured rock is a threshold effect (44). Above all, the heating could be controlled to give hydraulic gradients that would only locally exceed the value of 0.01 used in the present calculation of the time of trace reentry. The overall effects of heating therefore do not jeopardize the validity of our estimates.
Rockmechanics also has been disregarded in the present analysis. The primary effect of the heating would be a tendency for the rock surrounding a repository to expand. The ensuing compression of the existing fractures would lower the hydraulic
conductivity of the rock and thus further reduce the proportion of groundwater passing the heated portion of the bedrock hosting the spent fuel.
The effects of the construction process itself do not have to be considered for our zero-case repository. They would reflect the design and techniques used in an actual case. It is difficult to envision any reasonable practical arrangement that would seriously affect rock quality beyond a limited distance from the actual emplacement. The functional role of a fracture zone and the far-field host rock, which in the present analysis are the crucial natural barriers, would not be impaired. It should be recalled at this point that the time to trace reentry is calculated by considering transport along a highly conductive 500 m long fracture zone and not through the normal host rock surrounding the fuel.
In view of the uncertainty and safety margins related to the factors that have been considered, the following comments may be in order.
Preferential release of uranium by a factor of ten over americium and plutonium in connection with the oxidative dissolution of the spent fuel is suggested by the available evidence. This would also reduce their environmental impact by a factor of ten. Further experimentation on the ratios between the actinides brought into solution under conditions approaching those prevailing in a repository would seem to be most desirable.
There is little reason to expect any great changes in the maximum saturation concentration of uranium in reducing groundwater, or in the proportion of actinides remaining in solution after reductive
precipitation of uranium and coprecipitation. No significant upward changes in our estimate are therefore expected due to variations in these factors. It should be pointed out, however, that only limited experimental evidence is as yet available on the latter point. It is furthermore restricted to coprecipitation of plutonium. Additional experimental evidence on the coprecipitation of actinides is called for.
The ratio of 1:1000 for the volume of groundwater passing a repository to the total volume discharging at the surface represents a rather rough, and perhaps unduly pessimistic, estimate. Little change would be expected in the underlying distribution of hydraulic conductivities, but consideration of reasonable proportions between the total area of infiltration and the cross-sectional area of a repository may suggest that perhaps ten to a hundred times more groundwater is actually bypassing the repository. This is further supported by recent calculations of the influx to a well drilled right on top of a repository (45). Such changes in the proportions of flows would imply a corresponding relative reduction in the influx of radionuclides to the surface environment. Instrumentation for direct measurement of groundwater flows at depth would provide most valuable evidence on this question.
Finally, our estimate of the time of trace reentry is in itself complex. Considering first the hydrodynamic properties of the fracture zone, they appear to be well founded. In fact, the recent data from site investigations in Sweden show that a hydraulic conductivity of $10^{-7}$ m/s was found at depths below 200 m in only three sections out of a total of about one thousand. It follows that only in extreme cases would a repository be drained by such a fracture.
zone, and this zone would only drain a limited part of it. A major part of the repository would be surrounded by less conductive rock, unless adversely affected by construction activities.
The calculated groundwater velocity, 30 m/year, and the total transit time for the water of only 17 years reflect the values chosen for the hydraulic conductivity of the zone and for the hydraulic gradient. The calculation assumes the simplest case of parallel linear flow, whereas in reality more intricate, partly convergent, flow patterns are more likely. This could easily be improved on by more site-specific calculations; our example serves only to illustrate principles and the type of input at hand.
Regarding the retardation factors, it seems fair to state that they are based on extensive experimental evidence supported by basic physicochemical analysis. Recent work (46) further indicates that dissolved nuclides, on prolonged contact with the host rock, will diffuse into its micropores and thus be retarded even stronger. On the other hand, site-specific effects are poorly known and field experiments at each repository site seem called for. Perhaps they should ideally follow a sequence such as simple push-pull tests for orientation (47) - interpretation and prediction - extended tracer tests for verification. It may be added that in the situation considered here, the existence of reducing conditions along the flowpaths draining a repository is perhaps the single most important aspect of a repository site. It will control both precipitation and retardation of the actinides. In fact, as long as reducing conditions prevail, the time for trace reentry is not really critical. Comparison of
Figure 10 with Table 1 shows that there is no point in time where the radiotoxicity from the actinides in the groundwater would exceed that from natural sources of radioactivity in the average well or spring.
**Conclusions**
The main points of the present study are tentatively summarized in the following conclusions:
* The harmfulness of spent nuclear fuel is dominated, for a time span from one hundred to ten million years after removal from the reactor, by the three actinides americium, plutonium and neptunium.
* Upon contact with the groundwater, spent fuel will gradually pass into solution due to oxidation caused by radiolysis.
* The ratios of the actinides to uranium in solution will resemble those in the spent fuel.
* The actinides will be coprecipitated with uranium upon interaction of the solutes with reductants in the host rock, leading to a maximum concentration of uranium in the groundwater of about 0.2 microgram per litre. The proportions between the actinides will not be radically changed by this process.
* A properly located, deep-seated repository in fractured crystalline rock will be affected by less than 0.1 per cent of the total groundwater discharging locally at the surface.
The time between removal of fuel from a reactor and the trace reentry into the surface environment of the actinides from such a repository at a depth of 500 m will be about 300,000 years or more.
The factors listed so far lead to an estimate of the environmental impact of actinides from spent fuel emplaced in fractured and water-saturated crystalline rock. Unless some major factor has been overlooked, this impact would, at most, be equivalent to that of a small fraction of the radium and uranium that is constantly being brought into the local surface environment from natural sources by the average spring or well in areas underlain by similar rocks. This overall conclusion is rather insensitive to changes in the time to trace reentry of actinides. Key factors are the extent of radiolysis, the restoration of natural redox conditions, and the small fraction of deep groundwater in the water reaching the surface environment.
Acknowledgements
A first version of this paper was prepared for Mr N Rydell, NAK, in 1981. Its complete rewriting has greatly profited from information and comments provided by L Carlsson, C E Klockars and J Smellie, SGAB, and H G Forssström and T Papp, SKBF/KBS. Mr Å Nässil aided greatly in the processing of the text and illustrations. The work was funded by Svensk Kärnbränsleförsörjning AB, and friendly encouragement and support have been provided by Mr L B Nilsson and Dr E Svenke of that organization.
Table 1. Radioactivity from Radon (Rn), Radium (Ra) and Uranium (U) in water from springs and wells in Sweden
| Samples | Number | Rn-222 | Ra-226 | Uranium | Ra + U | Difference |
|--------------------------|--------|--------|--------|---------|--------|------------|
| | | Ave. Med. | Ave. Med. | Ave. Med. | Ave. Med. | Ave.-Med |
| | | (Bq/l) | (mBq/l) | (mBq/l) | (eq.U µg/l) | (eq.U µg/l) |
| All | 40 | 99 | 55 | 22 | 3.9 | 79 | 14 | 8 | 1.5 | 6.5 |
| Wells in bedrock | 19 | 109 | 29 | 40 | 3.7 | 86 | 14 | 13 | 1.5 | 11.5 |
| Wells and springs in granite areas | 13 | 213 | 92 | 41 | 6.8 | 150 | 35 | 15 | 3 | 12 |
REFERENCES
Note: Swedish Nuclear Fuel Supply Co, Stockholm is abbreviated SKBF in the following list, and KBS TR stands for KBS Technical Report.
1 SKBF/KBS
Final storage of spent nuclear fuel - KBS-3, I,
General. SKBF 1983.
2 JOHANSSON L
Oral intake of radionuclides in the population.
A review of biological factors of relevance for
assessment of absorbed dose at long term waste
storage. KBS TR 82-14. SKBF 1982.
3 LÖNNERBERG B, LARKER H, AGESKOG L
Encapsulation and handling of spent nuclear fuel
for final disposal. KBS TR 83-20. SKBF 1983.
4 THE SWEDISH CORROSION RESEARCH INSTITUTE and its
REFERENCE GROUP
Corrosion resistance of a copper canister for
spent nuclear fuel. KBS TR 83-24. SKBF 1983.
5 PUSCH R
Use of clays as buffers in radioactive repositories
KBS TR 83-46. SKBF 1983.
6 PUSCH R, BÖRGESSON L, NILSSON J
Buffer mass test - buffer materials.
Stripa Project TR 82-06. SKBF 1982.
7 CHRISTENSEN H, BJERGBAKKE E
Radiolysis of groundwater from spent nuclear
fuel. KBS TR 82-18. SKBF 1982.
8 NERETNIEKS I, ÅSLUND B
Two dimensional movement of a redox front down-
stream from a repository for spent nuclear fuel.
KBS TR 83-68. SKBF 1983.
9 CURTIS D, GANCARZ A
Radiolysis in Nature: Evidence from the Oklo
natural reactors. KBS TR 83-10. SKBF 1983.
10 PAQUETTE J, LEMIRE R J
A description of the chemistry of aqueous
solutions of uranium and plutonium to 200°C
using potential pH diagrams. Nucl. Sci. Eng.
79, 26, 1981.
11 GRENTHE I, PUIGDOMENECH I, BRUNO, J B
The possible effects of alfa and beta
radiolysis on the matrix of spent nuclear fuel.
KBS TR 83-02. SKBF 1983.
12 JOHNSON L H, BURNS K I, JOLING H, MOORE G H
The dissolution of irradiated UO$_2$ fuel under
hydrothermal conditions. Atomic Energy of
Canada Ltd, TR-128, 1981.
13 FORSYTH R
The KBS UO$_2$ leaching program. KBS TR 83-26.
SKBF 1983.
14 AKA-UTREDNINGEN
Använd kärnbränsle och radioaktivt avfall. II,
kapitel 10. Statens offentliga utredningar
1976:31, Industridepartementet.
15 KÄRNRÄNSLESÄKERHET (KBS)
Handling of spent nuclear fuel and final storage
of high level reprocessing waste, II, Geology,
Ch. 6. SKBF 1978.
16 KÄRNRÄNSLESÄKERHET (KBS)
Handling of spent nuclear fuel and final storage
of unprocessed spent fuel, II, Technical,
Ch. 5. SKBF 1978.
17 TORSTENFELT B, ALLARD B, JOHANSSON W, ITTNER T
Iron content and reducing capacity of granite
and bentonite. KBS TR 83-36, 1983.
18 BOYLE R W
Geochemical prospecting for uranium and thorium
deposits. Atomic Energy Rev. 18, 3-72, 1980.
19 LANGMUIR D, CHATHAM J R
Groundwater prospecting for sandstone-type
uranium deposits. J. Geochem. Explor. 13,
201-219, 1980.
20 OSMOND J K, COWART J B
The theory and uses of natural uranium
isotopic variations in hydrology.
Atomic Energy Rev. 14, 621-679, 1976.
21 ROSHOLT J N
Isotopic composition of uranium and thorium in
crystalline rocks. J. Geophys. Res. 1983.
22 BRUNO J B, GRENTHE I
Coprecipitation of plutonium with uranium on
reduction. Report in Swedish. SKBF 1982.
23 HUBBERT M K
The theory of groundwater motion. *J.Geol.* 48, 785-944, 1940.
24 CARLSSON L, WINBERG A, ROSANDER B
Investigations of hydraulic properties in crystalline rock. Material Research Soc., Scientific Basis for Nuclear Waste Management VII, preprint, Boston 1983.
25 SKBF/KBS
Final storage of spent nuclear fuel - KBS-3, IV Safety, Ch. 18. SKBF/KBS, 1983.
26 OLSSON T
Hydraulic properties and groundwater balance in a soil-rock aquifer system in the Juktan area, Northern Sweden. *Striae*, 12, 1-72, 1979.
27 FONTES J-CH, BORTOLAMI G C, QUIJANO L
Infiltration rate through the crystalline massif of Mont Blanc evidenced by environmental isotope measurements. Low flow, low permeability measurements in largely impermeable rocks. *Proc. NEA/IAEA Worksh*. Paris 1979.
28 DAVIS S N, THOMPSON G M, BENTLEY H W, STILES G
Groundwater tracers - a short review. *Ground Water*, 18, No 1. 1980.
29 VALOCCHI A J, STREET R L, ROBERTS P V
Transport of ion exchanging solutes in groundwater: Chromatographic theory and field simulation. *Water Resources Research*, 17, 1517-1527, 1981.
30 LANDSTRÖM O, KLOCKARS C-E, HOLMBERG K-E, WESTERBERG S
In situ experiments on nuclide migration in fractured crystalline rocks. KBS TR-110. SKBF 1978.
31 GUSTAFSSON E, KLOCKARS C-E
Studies on groundwater transport in fractured crystalline rock under controlled conditions using non-radioactive tracers. KBS TR 81-07. SKBF 1981.
32 KLOCKARS C-E, PERSSON O
The hydraulic properties of fracture zones and tracer tests with non-reactive elements in Studsvik. KBS TR 82-10. SKBF 1982.
33 GUSTAFSSON E, KLOCKARS C-E
Studies on the migration of strontium and caesium in crystalline rock. Manuscr. 1984.
34 LANDSTRÖM O, ANDERSSON K, TULLBORG E-L
Migration experiments in Studsvik.
KBS TR 83-18. SKBF 1983.
35 ERIKSEN T E
Radionuclide transport in a single fissure.
KBS TR 83-01. SKBF 1983.
36 SKBF/KBS
Final storage of spent nuclear fuel - KBS-3,
III Barriers, Ch. 12. SKBF 1983.
37 BROTZEN O
Bergförvaring av högaktivt avfall. (In Swedish).
Ingenjörsvetenskapsakademien, IVA-rapport 96, 1976.
38 NERETNIEKS I
Retardation of escaping nuclides from a final
repository. KBS TR 30, 1977.
39 ANDREWS R W, PEARSON F J Jr.
Transport of $^{14}$C and uranium in the Carrizo
aquifer of South Texas, a natural analog of
radionuclide migration. Material Research Soc.,
Sci. Basis for Nuclear Waste Management, VII,
preprint, Boston 1983.
40 AASTRUP M
Naturligt förekommande uran-, radium- och
radonaktiviteter i grundvatten. (In Swedish).
KBS TR 81-08, SKBF 1981.
41 THUNVIK R, BRAESTER C
Hydrothermal conditions around a radioactive
waste repository. 1 & 2, KBS TR 80-19.
SKBF 1980.
42 THUNVIK R, BRAESTER C
Hydrothermal conditions around a radioactive
waste repository. 3. KBS TR 82-01. SKBF 1982.
43 FRITZ P, FRAPE S K
Saline groundwaters in the Canadian Shield.
Chem. Geol. 36, 179-190, 1982.
44 COMMITTEE ON RADIOACTIVE WASTE MANAGEMENT
An evaluation of the concept of storing
radioactive wastes in bedrock below the
Savannah River plant site. National Academy
of Sciences, Washington DC, 1972.
45 THUNVIK R
Calculation of fluxes through a repository
caused by a local well. KBS TR 83-50. SKBF 1983.
46 BIRGERSON L, NERETNIEKS I
Diffusion in the matrix of granitic rock.
Field test in the Stripa mine. 2.
KBS TR 83-39. SKBF 1983.
47 DREVER J I, McKEE C R
The Push-Pull test. In Situ 4 (3), 181-206, 1980.
48 LAURENT S
Analysis of groundwater from deep boreholes in Gideå. KBS TR 83-17. SKBF 1983.
49 LAURENT S
Analysis of groundwater from deep boreholes in Fjällveden. KBS TR 83-19. SKBF 1983.
50 LAURENT S
Analysis of groundwater from deep boreholes in Svartboberget. KBS TR 83-41. SKBF 1983.
FIGURE TEXTS
1 Fresh nuclear fuel - a cylindrical pellet of crystalline uranium dioxide - can be handled with very modest protection. Photo courtesy C-E Wikdahl, M Witt/OKG.
2 Assembly of fresh nuclear fuel rods of uranium dioxide pellets within zircaloy tubing being emplaced in the reactor. The radioactivity is low enough to allow handling without extra shielding. Photo courtesy C-E Wikdahl, M Witt/OKG.
3 Container, 70 tonnes of steel and water, required for adequate cooling and radiation protection when spent fuel is taken out of the reactor. Photo courtesy C-E Wikdahl, M Witt/OKG.
4 The radioactivity of spent nuclear fuel and its main constituents, and its decay with time.
5 The radiotoxicity, on oral intake, of spent nuclear fuel and its main constituents expressed as a ratio versus the radiotoxicity of natural uranium (without daughter elements).
6 Left: Uranium content and activity ratio for uranium-234 to uranium-238 in surface waters. Right: Uranium content and activity ratio for uranium-234 to uranium-238 in groundwaters. Diagram after Osmord and Cowart, ref. 20. Approximate position of border line between oxidizing and reducing conditions indicated by present writer.
7 Uranium content versus depth in three boreholes at three different Swedish sites, G = Gideå, F = Fjällveden, S = Svartboberget. Range of HCO₃⁻-concentrations in the samples is also indicated. Data from Laurent, rrs. 48, 49, 50.
8 The radiotoxicity of groundwater after contamination by spent nuclear fuel and reaching reducing conditions. The toxicity is here expressed as the corresponding concentration of natural uranium (without daughters), that would give rise to an equivalent radiotoxicity. The diagram is not valid for strontium-90, caesium-137 and radium-226, which would not be coprecipitated with uranium in the same way as the actinides.
9A Diagram of groundwater flow in a vertical section through the ground, assuming uniform hydraulic conductivity. After Hubbert, ref. 23. Shallow portions, carrying groundwater not reaching a deepseated repository are indicated by present writer.
9B Order-of-magnitude estimates of hydraulic head and flow volumes per year in a one metre thick vertical section through ground with a schematic, yet semirealistic, distribution of hydraulic conductivities. A horizontal fracture-zone, as indicated in the diagram, would channel all groundwater contacting spent fuel above it, to the surface. An inclined or vertical fracture-zone would only affect part of the inventory.
10 The radiotoxicity of groundwater reaching the surface environment after contamination by spent fuel at depth and passing reducing conditions on its way. Not valid for strontium-90, Caesium-137 and radium-226.
11 Examples of tracer tests illustrating groundwater transport of nuclides in fracture zones in granitic and gneissic rocks.
A Breakthrough curve for iodide (nonsorbing) in a pulse test. Distance between points of injection and observation 30 m. Horizontal axis is time (hours) after injection, vertical axis observed concentration as fraction of the injected concentration. Transport is found to occur along two main channels in the rock. After ref. 31, figure 6.2.3a.
B Breakthrough curve for iodide at continuous injection, which more closely represents conditions pertaining to contamination from emplaced fuel. Same condition as in A, same reference, fig 6.2.3b.
C Breakthrough curve for a pulse test with bromide (Br-82), nonsorbing, corrected for radioactive decay. Distance between points of injection and observation 52 m. From ref 30, redrawn after figure 13.
D Breakthrough curve for strontium-85, corrected for radioactive decay. A nuclide susceptible to sorption injected simultaneously with the bromide shown in C. Retardation as well as reduction in concentration is observed. From ref 30, redrawn after figure 12.
Figure 1
Figure 2
Figure 3
Figure 4
Bq/tonne uranium
Activity Ratio versus uranium
Time after discharge from reactor, years
Figure 5
Toxicity Ratio versus uranium
Time after discharge from reactor, years
10^2 10^3 10^4 10^5 10^6 10^7
Total Sr 90 Cs137 Am241 Pu240 Pu239 AM243 Np237 Th229 Ra226 U234
Figure 6
Uranium Concentration (microgram/l)
(A.R.)
(Activity U-234/Activity U-238)
Figure 8
Equivalent concentration of uranium microgram/l
Total Sr 90 Cs137 Am241 Pu240 Pu239 AM243 Np237 Th229 Ra226 U234
Time after discharge from reactor, years
Figure 9
HYDRAULIC HEAD
GROUNDWATER TABLE
FLOW VOLUME PER YEAR
HYDRAULIC HEAD
-30 m
k = $10^{-6}$ m/s
150 m
200 m$^3$
0.2 m$^3$
0.2 m$^3$
+5 m
k = $10^{-10}$ m/s
450 m
0.2 m$^3$
+2 m
k = $10^{-7}$ m/s
10 m
1000 m
B
Figure 10
Equivalent concentration of uranium microgram/l
Time after discharge from reactor, years
Figure 11
- **Br -82**
- Experimental points
- Theory-total curve
- Theory-partial curves
- **Sr -85**
- Experimental points $I^-$
- Theory
- Top and base lines on the partial curves
List of KBS's Technical Reports
1977–78
TR 121
KBS Technical Reports 1 – 120.
Summaries. Stockholm, May 1979.
1979
TR 79–28
The KBS Annual Report 1979.
KBS Technical Reports 79-01 – 79-27.
Summaries. Stockholm, March 1980.
1980
TR 80–26
The KBS Annual Report 1980.
KBS Technical Reports 80-01 – 80-25.
Summaries. Stockholm, March 1981.
1981
TR 81–17
The KBS Annual Report 1981.
KBS Technical Reports 81-01 – 81-16.
Summaries. Stockholm, April 1982.
TR 82–28
The KBS Annual Report 1982.
KBS Technical Reports 82-01 – 82-27.
1983
TR 83–01
Radionuclide transport in a single fissure
A laboratory study
Trygve E Eriksen
Department of Nuclear Chemistry
The Royal Institute of Technology
Stockholm, Sweden 1983-01-19
TR 83–02
The possible effects of alfa and beta
radiolysis on the matrix dissolution of
spent nuclear fuel
I Grentne
I Puigdomenech
J Bruno
Department of Inorganic Chemistry
Royal Institute of Technology
Stockholm, Sweden, January 1983
TR 83–03
Smectite alteration
Proceedings of a colloquium at State
University of New York at Buffalo,
May 26–27, 1982
Compiled by Duwayne M Anderson
State University of New York at Buffalo
February 15, 1983
TR 83–04
Stability of bentonite gels in crystalline
rock – Physical aspects
Roland Pusch
Division Soil Mechanics, University of Luleå
Luleå, Sweden, 1983-02-20
TR 83–05
Studies in pitting corrosion on archeo-
logical bronzes – Copper
Ake Bresle
Jozef Saers
Birgit Arrhenius
Archaeological Research Laboratory
University of Stockholm
Stockholm, Sweden 1983-01-02
TR 83–06
Investigation of the stress corrosion
cracking of pure copper
L A Benjamin
D Hardie
R N Parkins
University of Newcastle upon Tyne
Department of Metallurgy and engineering Materials
Newcastle upon Tyne, Great Britain, April 1983
TR 83–07
Sorption of radionuclides on geologic
media – A literature survey.
I: Fission Products
K Andersson
B Allard
Department of Nuclear Chemistry
Chalmers University of Technology
Göteborg, Sweden 1983-01-31
TR 83–08
Formation and properties of actinide
colloids
U Olofsson
B Allard
M Bengtsson
B Torstenfelt
K Andersson
Department of Nuclear Chemistry
Chalmers University of Technology
Goteborg, Sweden 1983-01-30
TR 83–09
Complexes of actinides with naturally
occurring organic substances –
Literature survey
U Olofsson
B Allard
Department of Nuclear Chemistry
Chalmers University of Technology
Goteborg, Sweden 1983-02-15
TR 83–10
Radilysis in nature:
Evidence from the Oklo natural reactors
David B Curtis
Alexander J Ganczar
New Mexico, USA February 1983
TR 83–11
Description of recipient areas related to final storage of unprocessed spent nuclear fuel
Björn Sundblad
Ulla Bergström
Studsvik Energiteknik AB
Nyköping, Sweden 1983-02-07
TR 83–12
Calculation of activity content and related properties in PWR and BWR fuel using ORIGEN 2
Ove Edlund
Studsvik Energiteknik AB
Nyköping, Sweden 1983-03-07
TR 83–13
Sorption and diffusion studies of Cs and I in concrete
K Andersson
B Torstenfelt
B Allard
Department of Nuclear Chemistry
Chalmers University of Technology
Göteborg, Sweden 1983-01-15
TR 83–14
The complexation of Eu (III) by fulvic acid
J A Marinsky
State University of New York at Buffalo
Buffalo, NY 1983-03-31
TR 83–15
Diffusion measurements in crystalline rocks
Kristina Skagius
Ivars Neretnieks
Royal Institute of Technology
Stockholm, Sweden 1983-03-11
TR 83–16
Stability of deep-sited smectite minerals in crystalline rock – chemical aspects
Roland Pusch
Division of Soil Mechanics, University of Luleå
Luleå 1983-03-30
TR 83–17
Analysis of groundwater from deep boreholes in Gideå
Sif Laurent
Swedish Environmental Research Institute
Stockholm, Sweden 1983-03-09
TR 83–18
Migration experiments in Studsvik
O Landström
Studsvik Energiteknik AB
C-E Klockars
O Persson
E-L Tullborg
S Å Larson
Swedish Geological
K Andersson
B Allard
B Torstenfelt
Chalmers University of Technology
1983-01-31
TR 83–19
Analysis of groundwater from deep boreholes in Fjälldveden
Sif Laurent
Swedish Environmental Research Institute
Stockholm, Sweden 1983-03-29
TR 83–20
Encapsulation and handling of spent nuclear fuel for final disposal
1 Welded copper canisters
2 Pressed copper canisters (HIPOW)
3 BWR Fuel Can in Concrete
B Lonnerberg, ASEA-ATOM
H Larker, ASEA
L Ageskog, VBB
May 1983
TR 83–21
An analysis of the conditions of gas migration from a low-level radioactive waste repository
C Braester
Israel Institute of Technology, Haifa, Israel
R Thunvist
Royal Institute of Technology
Stockholm, Sweden November 1982
TR 83–22
Calculated temperature field in and around a repository for spent nuclear fuel
Taivo Tarandi, VBB
Stockholm, Sweden April 1983
TR 83–23
Preparation of titanates and zeolites and their uses in radioactive waste management, particularly in the treatment of spent resins
A Hultgren, editor
C Airola
Studsvik Energiteknik AB
S Forberg, Royal Institute of Technology
L Faith, University of Lund
May 1983
TR 83–24
Corrosion resistance of a copper canister for spent nuclear fuel
The Swedish Corrosion Research Institute and its reference group
Stockholm, Sweden April 1983
TR 83–25
Feasibility study of electron beam welding of spent nuclear fuel canisters
A Sanderson, T F Szluha, J L Turner, R H Leggatt
The Welding Institute Cambridge
The United Kingdom April 1983
TR 83–26
The KBS UO$_2$ leaching program
Summary Report 1983-02-01
Ronald Forsyth, Studsvik Energiteknik AB
Nyköping, Sweden February 1983
TR 83–27
Radiation effects on the chemical environment in a radioactive waste repository
Trygve Eriksen
Royal Institute of Technology, Stockholm
Arvid Jacobsson
University of Luleå
Luleå, Sweden 1983-07-01
TR 83–28
An analysis of selected parameters for the BIOPATH-program
U Bergström
A-B Wilkens
Studsvik Energiteknik AB
Nyköping, Sweden 1983-06-08
TR 83–29
On the environmental impact of a repository for spent nuclear fuel
Otto Brotzen
Stockholm, Sweden April 1983
TR 83–30
Encapsulation of spent nuclear fuel – Safety Analysis
ES-konsult AB
Stockholm, Sweden April 1983
TR 83–31
Final disposal of spent nuclear fuel – Standard programme for site investigations
Compiled by
Ulf Thorngren
Swedish Geological
April 1983
TR 83–32
Feasibility study of detection of defects in thick welded copper
Tekniska Röntgencentralen AB
Stockholm, Sweden April 1983
TR 83–33
The interaction of bentonite and glass with aqueous media
M Mosslehi
A Lambrosa
J A Marinsky
State University of New York
Buffalo, NY, USA April 1983
TR 83–34
Radionuclide diffusion and mobilities in compacted bentonite
B Torstenfelt
B Allard
K Andersson
H Kipatsi
L Eliasson
U Olofsson
H Persson
Chalmers University of Technology
Göteborg, Sweden 1983-12-15
TR 83–35
Actinide solution equilibria and solubilities in geologic systems
B Allard
Chalmers University of Technology
Göteborg, Sweden 1983-04-10
TR 83–36
Iron content and reducing capacity of granites and bentonite
B Torstenfelt
B Allard
W Johansson
T Ittner
Chalmers University of Technology
Göteborg, Sweden April 1983
TR 83–37
Surface migration in sorption processes
A Rasmuson
I Neretnieks
Royal Institute of Technology
Stockholm, Sweden March 1983
TR 83–38
Evaluation of some tracer tests in the granitic rock at Finnsjön
L Moreno
I Neretnieks
Royal Institute of Technology, Stockholm
C-E Klockars
Swedish Geological
Uppsala April 1983
|
SAMPEY ON PROPORTIONAL
The year 1963 saw true proportional control come into its own, establishing the world altitude record, winning the Nationals and the World Championship. Several systems are on the market—more will be announced soon.
By HARRY SAMPEY
Editor's Note: When reed systems first appeared manufacturers had difficulties educating the consumer to use them properly. Proportional now is in the same stage. GL readers who have toiled to advance proportional do have an advantage in understanding the exotic multi-proportional systems now being manufactured but, in general, hobbyists have only a hazy idea of how these things work and how one system differs from another. Proper use, installation, care, maintenance, are important. For these reasons GL has invited an outstanding authority to discuss the field and explain his equipment.
Since the first model plane was "controlled" by radio, man has envisioned himself as master over machine. From that first day on the flying field, he has dreamed of proportional control. He has explored every known region in an effort to equip himself with tools that would place him closer to achieving his results—a device that would be the utmost in the control of models. Many attempts were made, but though some were successful within their concept, none, however, was true proportional control as we know it now.
With the advent of reliable, inexpensive transistors and miniaturized components, men with creative talent in the field of electronics began to develop systems. Hours of hard work turned into months, and months into years, for the development of such a system that would provide necessary reliability and, at the same time, lend itself to modern production techniques. Years were spent in planning, developing and testing before the product was ready for production.
The developments of 1963 will inspire trends for the next decade. During the past year, proportional control demonstrated its superiority by establishing a new world's altitude record, winning first place at both the National and International contests. Several manufacturers are producing true proportional systems and others soon will be making their bid.
What is true proportional remote control? It is a system composed of three basic elements: Transmitter, receiver, and electromechanical servo.
The transmitter is so designed that the quantitative output of the transmission is directly related to the quantity of the manual movement for which the mind has directed the desired displacement. The receiver is so designed that the reciprocal directions of the transmission can be formulated into data that has been originally requested by the desired displacement.
The servo system, which now has been determined to be the end result of the desired displacement, is an error-reducing closed-loop automatic control device so designed that the output element or output quality follows as closely as desired, the input to the system. The output is caused to follow the input by the action of the servo controller upon the output element in such a way as to cause the instantaneous error of difference between output and input to approach zero. The servo system is a dynamic system containing at least one feedback loop which provides an input signal proportional to the deviation of the actual output from the desired output displacement.
It is simple enough to demonstrate this logically, without going into further technical details. A true proportional operating system in most cases is assumed to be one in which the control surface of the aircraft is in direct displacement as to the displacement of the control handle. As the control handle is moved to any position of degrees, the aircraft control surface follows smoothly and exactly, the amount of degrees that the
handle has been displaced from its center position (center being considered as neutral). Probably playing the most important roll in this operation is the closed-loop servo. For, as the decoded information from the receiver requests the servo to move, a potentiometer (commonly called a feedback pot located in the servo) records the error signal. The servo at all times seeks to reduce this error signal (voltage) to zero. Therefore, if the output error signal from the receiver is at zero potential, our servo will be at a neutral position.
However, if we cause the error from the receiver to be at a different potential other than zero, the servo will rotate because there is now an error potential existing and it wishes to neutralize this condition. When the servo has accomplished this task, the actuator will have been displaced from its neutral position in direct proportion to the displacement of the control handle. Closed-loop servos, unlike reed servos, must rely upon balanced battery voltages for maintaining their neutral position. This property permits the closed-loop proportional servo to be a much more versatile instrument than the present day reed-type actuators.
Since most modelers couldn't care less about what goes on inside the radio gear, let's take a short flight with a proportional equipped airplane.
Our model is all fueled up and ready for flight. All radio equipment is off. We manually move the throttle to a full open position and, with a flip of the prop, the engine begins to wind up to full rpm. As soon as the receiver is turned on, the engine throttle reduces immediately to idle and our control surfaces are in neutral. (In the Model 404 System, the pre-program
condition of the servos, when the transmitter is off, is slow motor and neutral control surfaces).
With frequency clearance established, the throttle knob is rotated to about 15 percent power and our plane begins to taxi. Now for a little left turn out onto the runway. No left turn? Forgot to press the start button! Now all controls are operating. Don't want to ever forget to press that start button again. (The 404 uses a start button for full operation, other systems provide similar or different methods.) Wind about 5 mph and about 3 degrees of up trim should provide a nice takeoff.
Rotating the throttle to 100 percent power, our plane zooms down the runway and takes off. Moving the stick a few degrees to the left, we begin a gentle turn, coming back overhead. Still climbing, we rotate the Pitch Trim knob for a little down trim. Now she's on the step, grooving perfectly. Seems like we might have a little bit of a right turn, so in with a little left trim. Now she's trimmed out.
A few rolls, Some cuban eights, and some more practice on those side slips. Fuel running low, ready for landing. Power reduced to about 30 percent, maintaining altitude at 100 feet. Gently banking into the cross-wind leg, another graceful turn into the final leg, altitude still 100 feet. Reducing power now to 15 percent with about 5 degrees of up trim, 200 feet from touch-down, altitude 10 feet. She's lined up perfectly. 100 feet from touch down, altitude 5 feet. Reduce power to zero, ease gently back on the stick, a little more now, stick all the way back . . . . touch down. Nose high, our plane touches on her main gear, slowly rotating nose down until the nose wheel touches 50 feet farther down the runway. Only now do you begin to appreciate the realism of proportional control.
Amazing as it may seem, many people are not fully aware of the difference between the operation of proportional control and reed systems. The most asked question is: "How many channels does a proportional system have?" Naturally, if it is a "full-house" simultaneous system, it employs four channels. However, this can be misleading since a proportional channel cannot be related to a reed channel. It becomes difficult to properly answer such a question. The common proportional system available is an analog system whereas the reed system is a digital system. (There may be arguments over this definition.)
Let's analyze the number of channels that are available in our Model 404. Basically, there are four channels that can be operated simultaneously. These are Motor, Pitch, Roll and Yaw. These functions can now be compared to an eight-channel reed system. Also available with the 404 system is Pitch Trim, Roll Trim and Yaw Trim. With these additional functions the reed system must now have 14 channels to be equivalent. The biggest advantage really is within the airborne package, for here, only four servos are equipped to accomplish the same operations that a 14-channel reed system with seven servos would provide.
If we were technical about it we could start an argument by saying that the average true proportional system, mathematically speaking, is equal to 480 or more channels. True or false, it would depend upon who had the longest slide rule.
Another question is: "Why does proportional control equipment cost so much?" Proportional offers much more in a smaller package than do present-day reed systems and with much more reliability, contrary to current belief. Incorporated into each system are more components than two television sets put together and, unlike the television receiver, the modelers equipment must withstand the
(Continued on next page)
rigid environmental conditions of temperature, vibration, and 50,000-G force crashes. Unless there is a major break-through in electronics, it is difficult to see how the price of proportional equipment can be reduced from what it is today.
Choosing the proper model for proportional is not as easy as one may think. For example, the Taurus is not a very good airplane on proportional. The Taurus was designed to perform smoothly as possible with reed equipment—which it does very well. The airplane does not detect the jerkiness as would a more sensitive airplane. Since proportional systems are not jerky and we have control over the amount of degrees that the control surfaces deflect, we need a more sensitive type of airplane. Three good examples of really fine flying proportional airplanes are Jim Kirkland's Beachcomber and Jerry Nelson's Sultan and Safari.
Every modeler who owns, or hopes to own, a proportional system should educate himself to the differences in maintenance and flying between proportional equipment and reeds. It has been said that it is easier to train a man to fly who has never flown than to teach an old dog new tricks. This is proving true now that we are entering into the day of proportional control.
When reed systems first became available the manufacturers were plagued with the task of educating the modeler to use the equipment. With the advent of proportional control, the manufacturers again are faced with the same problem.
The past several years have brought out a few basic problems that most proportional flyers have experienced. For precision flying or just Sunday flying, all movable control surfaces and linkages should be free of frictional drag. A closed-loop servo must have these conditions met before it can perform satisfactory.
In some model installations an electrical noise condition may be present that will cause momentary loss of signal during flight. It is important that the user be aware of the possibility of this condition even though RF range tests have indicated normal range. Static noise is an odd phenomenon of radio and when it occurs near an R/C receiver, the result is an ever increasing problem whose origin may never be suspected.
Proportional operating receivers require the reception of signal information 100 percent of the time and when this signal is interrupted for any period, deviations will begin to occur. Although this condition may not always be evident it can exist during certain propagated attitudes of flight and certain engine vibrations. The rate at which this condition exists will, of course, depend upon the amplitude of static noise being created within the area of the receiver. It is therefore important that all necessary steps be taken to eliminate any potential areas that may be suspected of being capable of generating static noise.
It is recommended that the following precautions be taken during the installation of the equipment prior to flight:
A. Do not use long lengths of metal push rods.
B. Always connect metal to metal with some sort of insulator such as a nylon clevis.
C. Never allow metal to come in contact with other metals that may be capable of generating static noise.
D. Keep the receiving antenna as far from metal as possible.
Periodic checks should be made of the servo feedback potentiometer. It should be cleaned occasionally and replaced when evidence of wear is noted.
Transmitter Section: In the transmitter, resistor elements R-10 through R-26 make up the voltage divider chain. Incorporated into each divider is the control-axis potentiometer, a trim control potentiometer, and a broad-tune potentiometer that provides wider voltage adjustments utilized in tuning to different multiplex receivers. All four dividers are connected directly to the 135-volt buss.
The output control voltages from the dividers are connected directly to the heart of the system, the commutator. The commutator operates as a ring counter and is very simple in operation since all four stages are identical in circuitry. This circuitry is made up of four separate one shot multivibrators. The one shot multivibrator, also called a univibrator, differs from the conventional multivibrator (which is free running) and the flip-flop (which is bistable) in that it is a monostable circuit. That is, the univibrator may be pulsed into operation, it after delivering one output pulse, it reverts to its zero output resting state after the actuating pulse has passed. Thus, the one-shot multivibrator delivers an output signal pulse each time it is triggered into operation by an input signal pulse.
To reduce some of the circuit description, only one of the common circuits will be analyzed. When the circuit is in its quiescent state, transistor Q2 conducts current because of the connection of its base to the negative terminal of the DC supply through series resistor R1; transistor Q1 is biased in the opposite direction by resistor R2. Since capacitor C2 is now in a charged state, transistor Q1 remains off. Coil L1 makes up the collector load for transistor Q1. Enclosed within this coil is a very small magnetic reed switch, which has gold plated contacts and is encapsulated in glass. As the magnetic field of the coil increases from collector current, the switch snaps closed and remains so until the collapse of this field.
When a positive pulse is applied to the collector of Q1, this reduces the negative potential at the base of Q2 and reduces the charge on C2. Transistor Q1 begins to draw collector current through coil L1. The transition is rapid, Q2 switching on and Q2 off. The reed switch is now closed.
Immediately after this switching operation, Capacitor C1 begins to discharge and as it does, the negative voltage on the base of Q2 begins to rise once more toward the supply potential. At the end of this discharge interval, Q2 again is conducting and Q1 nonconducting, the quiescent condition of the circuit. As we begin to
approach our quiescent state (Q2 on) a positive pulse is generated at the collector of Q2. This pulse is coupled to the second univibrator circuit by capacitor C3 causing it to flip-flop as did the first circuit when a positive pulse was applied to its collector. Each stage is coupled together as described and so the sequence begins. First, circuit one, then two and so on until the end of circuit four. Here we do the same thing. The final positive pulse is coupled back to the first circuit and the sequence is started over and the chain reaction continues endlessly. Since the flip-flops are not free running, a starting pulse must be applied somewhere to start the operational sequence. This pulse is easily provided by coupling B voltage through capacitor C13. When the start switch is depressed, this shock is enough to jolt the commutator into operation.
With the values indicated on the schematic, the commutator operates at an average of 25 pulses per second (samples per second); however, none of the multiplex systems is considered critical. Therefore, operation of the commutator from 15 to 40 samples per second would not impair the final performance.
In the transmitter each control voltage is series connected through steering diodes which provide proper isolation for each voltage channel. Channel 1 (motor) does not pass through a switch. The reason for this is that the channel 1 is the lowest voltage and can be supplied directly since all other channel voltages are higher in potential. So, if channels 2, 3, or 4 are activated, they will override the motor channel voltage, although, it must be mentioned, that the motor control time interval still must be maintained by the commutator time sequence. By employing this method the need for an additional coil and reed switch are eliminated. All control voltages, after passing through the commutator, are connected to a common buss which is connected directly to the control oscillator circuit.
The control oscillator consists of a single voltage controlled electron coupled multivibrator circuit employing two 3V4 tubes. The derived frequency of this circuit is directly proportional to the quantity of applied voltage.
Multiplex Receiver Section: The purpose of this multiplex (Continued on page 29)
Sampey on Proportional
(Continued from page 7)
receiver is the same as with any receiver except that in this case, there has been added a few extra stage discriminators. The first function of my receiver is to demodulate the incoming radio frequency signal. However, in the multiplex receiver no important circuit changes are required since one important feature of sequence transmission of each tone is the ability of the receiver system to maintain an effective 100 percent modulation for each channel transmitted. A second feature sidesteps the problem of audio harmonic generation that is present with systems transmitting more than one tone simultaneously.
The limiter stage of the receiver plays a very important function. It provides a constant output signal whether it be from plain noise or a high-powered 50,000 microvolt RF signal, even though AGC may be employed elsewhere within the receiver circuitry.
From the limiter stage, the clipped signal is connected through series resistor R2 to the input buss of the four discriminator stages. Resistive coupling is used instead of capacitive coupling because the capacitor charging and discharging current would result in a transient bias on the input to the discriminators when the effective signal level changed.
The most important design consideration is the ability of the discriminator to select only the channel it is interested in and to retain, for a period of time, what information it has decoded. This is evident since each channel is provided with information only 25 percent of available time.
The clipped signal is applied through isolation resistors R4 and R5 to the two filters in the discriminator. Each of these filters are tuned so they will resonate at a given frequency. As an example, the center frequency of motor channel is 1150 cps. To provide discrimination filter L3 is tuned to resonate at 1100 cps. Filter L4 is adjusted to 1200 cps. When the input frequency is 1150 cps, there will be equal transfer of energy to the following stages by each filter. Or in other words, a balanced condition will exist. But if we shift the incoming motor channel frequency more toward the resonant frequency of L4, then L3 passes a smaller portion of signal than before, while L4 passes a larger amount of signal. To allow these filters to operate at their maximum efficiency, they are followed in the circuit by transistors Q20 and Q21. These transistors operate in a normal emitter follower circuit that provides a high impedance for the tuned filters. Transistors Q22 and Q23 provide the necessary amplification for their respective filters. Connected between the collector of these two transistors is potentiometer R12. Since Q22 is a PNP transistor, a negative potential is present on one side of R12. On the other side of R12 is a positive potential derived from NPN transistor Q23. With no input signal to the discriminator, and R12 adjusted for a balanced condition between Q22 and Q23, the output voltage is zero. As long as the input frequency applied is exactly between the filter resonant frequencies, the output voltage will still be zero. But, if we shift the input frequency toward the frequency of one filter or the other, it will shift the discriminator output voltage polarity proportionally. Electrolytic capacitors C1 and C2 are charged by the burst of incoming information that is passed by the filters and will remain in a near charged state, thereby allowing the circuit to retain a derived voltage over the time period between the frequency burst.
Servo System Section: A typical linear servo system is composed of an error-sensing circuit, amplifier, motor and load.
|
Evaluating awareness and perception of botnet activity within consumer Internet-of-Things (IoT) networks.
MCDERMOTT, C.D., ISAACS, J.P., PETROVSKI, A.V.
2019
Evaluating Awareness and Perception of Botnet Activity within Consumer Internet-of-Things (IoT) Networks
Christopher D. McDermott *, John P. Isaacs and Andrei V. Petrovski
School of Computing Science and Digital Media, Robert Gordon University, Aberdeen AB10 7GJ, UK; email@example.com (J.P.I.); firstname.lastname@example.org (A.V.P.)
* Correspondence: email@example.com; Tel.: +44-1224-262709
Received: 30 November 2018; Accepted: 11 February 2019; Published: 18 February 2019
Abstract: The growth of the Internet of Things (IoT), and demand for low-cost, easy-to-deploy devices, has led to the production of swathes of insecure Internet-connected devices. Many can be exploited and leveraged to perform large-scale attacks on the Internet, such as those seen by the Mirai botnet. This paper presents a cross-sectional study of how users value and perceive security and privacy in smart devices found within the IoT. It analyzes user requirements from IoT devices, and the importance placed upon security and privacy. An experimental setup was used to assess user ability to detect threats, in the context of technical knowledge and experience. It clearly demonstrated that without any clear signs when an IoT device was infected, it was very difficult for consumers to detect and be situationally aware of threats exploiting home networks. It also demonstrated that without adequate presentation of data to users, there is no clear correlation between level of technical knowledge and ability to detect infected devices.
Keywords: Internet of Things; situational awareness; threat detection; IoT Security; botnet; DDoS
1. Introduction
The Internet of Things (IoT) is expected to usher in an era of increased connectivity, with an estimated 50 billion devices expected to be connected to the Internet by 2020 [1]. At its core, the aim of the IoT is to connect previously unconnected devices to the Internet [2], thus creating smart devices capable of collecting, storing and sharing data, without requiring human interaction [3,4]. Many of these IoT devices are aimed at non-technical consumers, who value low cost and ease of deployment, leading to some IoT manufacturers omitting critical security features, and producing swathes of insecure Internet connected devices, such as IP cameras and Digital Video Recorder (DVR) boxes. Such vulnerabilities and exploits are often derived and epitomized by inherent computational limitations, lack of convenient user interface, use of default credentials and insecure protocols. The rapid proliferation of insecure IoT devices and ease by which attackers can locate them using online services, such as shodan [5], provides an ever-expanding pool of attack resources. By comprising multitudes of these vulnerable IoT devices, attackers can now perform large-scale attacks such as spamming, phishing and Distributed Denial of Service (DDoS), against resources on the Internet [6].
The rise in IoT-based DDoS attacks, witnessed in recent years, will likely continue until IoT manufacturers accept responsibility and manufacture devices with security inherently built in. Until such a time, the IoT has the potential to become a new playground for future cyber-attacks and therefore presents several challenges. Since an increasing number of DDoS attacks seek to leverage consumer level IoT devices, the issues highlighted previously, coupled with a lack of technical knowledge or awareness of inherent vulnerabilities, by owners of these devices, presents a challenge
and area of investigation for security researchers. This purpose of this study is to evaluate user awareness and perceptions of security and privacy challenges facing the IoT. In doing so an online survey is used to gather empirical evidence and evaluate user ability to detect if an IoT device is infected with malware. Thus, the main contributions of this paper are:
1. Evaluation of user perceptions towards security and privacy within smart devices found in the IoT;
2. Analysis of user situational awareness and ability to detect threats in consumer IoT networks.
The rest of the paper is organized as follows: Section 2 introduces previous studies and work, relating to human aspects of information security. Section 3 describes the experimental setup and methods used to collect empirical data, with results presented in Section 4. In Sections 5 and 6 we discuss the findings and provide comments on the limitations of the research. Finally, in Section 7 we provide concluding remarks and suggestions for future research directions.
2. Literature Review
Many studies exist relating to human-centered security and the perception of risk. Understanding how users perceive risk, is an important consideration when attempting to evaluate and promote better situational awareness of risks relating to security and privacy.
It is increasingly acknowledged that many threats facing computer systems within an organization, can be attributed to the behavior of their users [7]. In this research the authors developed a survey *Human Aspects of Information Security Questionnaire (HAIS-Q)*, to examine the relationship between knowledge of policy and procedures, attitude towards them, and user behavior when using a computer. They found that knowledge of policy and procedures had a stronger influence on their attitude towards policy and procedures, than self-reported behavior. They extended their work in [8] where 112 university students completed the HAIS-Q and took part in a phishing experiment. Results showed that participants who scored highly in the questionnaire performed better in the experiment, demonstrating the validity and reliability of the HASI-Q questionnaire as an instrument to measure security awareness in users. A similar study was carried out in [9] which assessed user behavior using four criteria, *Risky Behavior Scale (RBS), Conservative Behavior Scale (CBS), Exposure to Offence Scale (EOS)*, and *Risk Perception Scale (RPS)*. They demonstrated significant differences between user groups (*academics, admin staff and students*) for three of the criteria *RBS, CBS, EOS*, but no difference between user groups in the *RPS* criteria. The findings showed that the better respondents perceived threats, the more proactive their behavior became.
In [10] the authors explored consumer awareness of privacy risks relating to Smart TVs. The results of an online study of 200 participants, demonstrated a low level of general awareness, with only 16% demonstrating an awareness of associated risks. They further found that users were more likely to deploy a privacy-protection method, if the implemented measure did not reduce the functionality of the Smart TV.
An online survey was used in [11] to assess the risk perception and aversion of 1299 respondents, towards security policy compliance within a company. The level of risk an individual can tolerate versus the degree of loss they could receive was measured. When presented with a scenario of whether anti-virus software should be installed, when only a 1% risk of infection was present, 52.7% of respondents indicated the software should be installed. The motivating factors for compliance with company security policies was explored, and found *happiness, peer perception, career progression, and profit* to be the main motivating factors for compliance. In a similar study [12] of 3000 households in Spain, users were asked to install anti-virus software, and complete a quarterly questionnaire. Interestingly, the study found that installing the anti-virus software instilled a false perception of safety towards security risks. Many users appeared to neglect previously good security habits after installing the software, which could ultimately increase their exposure to risk. In a similar study [13] the knowledge, attitude and behavior of 203 employees towards information security was assessed. The
results showed that although most employees scored highly in their knowledge of information security, suggesting good awareness, this did not always translate to good security behaviors. The authors suggested that remedial action should be directed towards training, rather than awareness building.
The use of security warnings to alert users about events that occur on their computer, that could compromise their security and privacy, was researched in [14–16]. In [15] the authors suggest that users tend to ignore security warnings due to a lack of attention, understanding or motivation. A survey was used to gain understanding of user perception and understanding towards security warnings. They investigated if a correlation existed between perception of risk and individual variables such as gender, education level or technical ability. They demonstrated that alerts using certain phrases or graphical icons, a relationship existed between technical ability and a user’s understanding of the warning. These individual variables were also investigated for their relationship to security awareness in [17]. Age was found to have a linear relationship with security awareness. The study also found that variables such as conscientiousness, agreeableness, emotional stability and risk-taking propensity, also had a significant impact on the variance of security awareness among users. In [16] a combined monitoring and affective feedback system is proposed to promote better general awareness of online security. On automatic detection of risky security behavior, a browser extension was used to deliver affective feedback to the user, warning users about their actions. Behaviors such as short password lengths, personal information (in a password) or malicious links on a page, were used to trigger the system and provide automatic feedback. Results showed that providing inline affective feedback improved overall awareness of security risks online, and allowed users to consider, at the time of execution, whether their online behavior could be perceived as risky.
A small-scale study was conducted in [18] to establish the views of non-expert users (NEU) on personal cyber security. Participants reported perceiving bank fraud, spam emails and malicious hyperlinks as being the greatest threats they faced, with 63% reporting they were concerned about security when using the Internet. Despite an obvious concern, they found that users had little grasp of their own security habits, and only a small percentage used tools to monitor their exposure to risk. To address the lack of awareness, they present a threat visualisation tool to better support user understanding and perception of cybersecurity concerns.
Authentication plays a vital role in user security. Eight authentication technologies were compared in [19] to assess which method(s) participants preferred, and how they perceived security relating to each. A variety of methodologies were presented namely, *text password*, *graphical password*, *iris scan*, *facial recognition*, *ear shape*, *gesture*, *fingerprint*, and *speech*, and participants instructed to use a selection of the authentication technologies to log into a system. Results showed that the largest percentage of participants preferred to use *text passwords* due to personal habit, simplicity and protection of their personal data. Interestingly, although this was the preferred method, it was not rated the most secure, with *fingerprint* perceived as being the most secure technology, due to its uniqueness and protection against forgery. Despite being rated securely, participants had concerns surrounding their personal data when using bio-metric authentication methods, suggesting a possible paradox between desired and actual security and privacy.
### 3. Methods and Data Collection
To collect the necessary data for the research presented in this paper, the University’s Research Ethics Policy was followed to establish and promote good ethical practice in the undertaking of this study. In doing so, consent to participate was implied when participants decided to engage in the research and complete the online survey.
A cross-sectional study design was used to allow multiple relevant variables to be compared. An online survey instrument was produced, and convenience sampling initially employed, with subjects selected due to their convenient accessibility and proximity to the author. The link to the online survey was therefore initially shared with a local student population, and later shared more widely via LinkedIn and Facebook. The online survey was split into two sections comprised of
17 questions in total. Section one collected information relating to user awareness and requirements of security and privacy in smart devices contained within the IoT. Section two evaluated user ability to identify when a smart device had been infected, and was being used to perform attacks on the Internet.
To evaluate user perception and awareness of threats facing the IoT, a secure sandboxed environment was created in section two, as shown in Figure 1. The Mirai botnet malware was downloaded from GitHub and recompiled to build a functioning botnet environment. This consisted of a command and control (C&C) server, a Scan/Loader server and an additional utilities server to handle Domain Name System (DNS) queries and reporting. A soft tap (Tap0) SPAN port was created to mirror all relevant traffic to a packet sniffing device, and allow recording of botnet activity within the network. Two Sricam AP009 IoT IP cameras running Busybox utilities were infected and used as bots to attack a target Raspberry Pi. To ensure a true representation of an infected IoT device, amendments to the Mirai source code were kept to a minimum however, some configuration changes were required to comply with ethical and legal regulations.
For our survey, four attack scenarios were created and recorded, including a DNS flood attack, Synchronize (SYN) flood attack, Generic Routing Encapsulation over IP (GREIP) flood attack, and normal traffic generated by an uninfected camera. The four recorded scenarios were presented to users and each asked to identify when an attack had taken place.
A representative sample ($n = 158$) of users across a varied range of ages and levels of technical knowledge and experience was achieved. Univariate statistics was initially employed and categorical data summarized using frequency distributions. Bivariate analysis was employed to crosstabulate categories and look for possible associations. Chi square tests were used to investigate whether distributions of categorical variables differ from one another, and if a positive association exists between the knowledge level of a user and their ability to detect infected IoT devices. Data was analyzed using MS Excel and Minitab, with $p$-values < 0.05 considered statistically significant.
4. Results
A representative sample ($n = 158$) of users responded; 17 (11%) aged [under 18], 52 (33%) aged [18–24], 54 (34%) aged [25–39], 29 (18%) aged [40–59], and 6 (4%) aged [60+]. When asked to indicate their level of technical knowledge 23 (15%) self-identified as [Novice], 70 (40%) as [Intermediate], 57 (36%) as [Advanced], and 8 (5%) as [Expert]. Participants had a varying range of computing experience with 42 (27%) currently working within a computing related environment,
86 (54%) currently studying, and 30 (19%) not currently studying or working within a computing related environment.
Results presented in this study are considered statistically significant since clear differences in detection rates between the four tested scenarios are demonstrated within each technical knowledge group: Novice ($p < 0.001$), Intermediate ($p < 0.001$), Advanced ($p < 0.001$) and Expert ($p < 0.05$) (see Table 1).
**Table 1.** Detection accuracy within knowledge level (all scenarios).
| Knowledge | Scenario 1 (no) $n$ (%) | Scenario 2 (dns) $n$ (%) | Scenario 3 (syn) $n$ (%) | Scenario 4 (greip) $n$ (%) | $p$ |
|-----------|-------------------------|--------------------------|--------------------------|---------------------------|-----|
| Novice | 19 (83) | 0 (0) | 11 (48) | 2 (9) | <0.001 |
| Intermediate | 39 (56) | 15 (21) | 41 (59) | 28 (40) | <0.001 |
| Advanced | 30 (53) | 15 (26) | 37 (65) | 23 (40) | <0.001 |
| Expert | 7 (88) | 1 (13) | 6 (75) | 5 (63) | <0.050 |
### 4.1. Section One Results
In Section one of the online survey participants were asked a series of questions relating to their awareness and perception of security and privacy considerations and requirements in IoT devices. Firstly, as shown in Figure 2a, participants were asked if they owned any IoT devices; 70 (44%) responded that they did not own any IoT devices, 57 (36%) owned one device, with *Amazon Echo* being the most popular with 47 (30%) respondents. 31 (20%) respondents indicated they owned two or more IoT devices.
(a) Devices owned by participants
(b) Level of concern
**Figure 2.** Exposure to IoT devices and level of security concern.
To measure perception and importance placed on security and privacy, respondents were asked to rate the importance of various features related to IoT devices. As shown in Figure 3 security 102 (65%) and privacy 100 (63%) were clearly considered very important features by a large percentage of the population. However, interestingly when asked to rank the features in order of priority, cost was ranked higher than both security and privacy by the largest percentage of respondents 53 (34%) (see Figure 4). Although compatibility and ease of setup were considered very important features as shown in Figure 3, again when asked to rank features in order of priority they were very clearly ranked less important (see Figure 4).
To assess whether respondents ranked security and privacy highly in theory, but not in practice, respondents were asked how concerned they would be if a smart device they owned was infected with a virus, but was still functioning as expected. Figure 2b shows that over three quarters of respondents 91 (58%) and 41 (26%) respectively said they would be very concerned or concerned.
4.2. Section Two Results
In section two of the online survey respondents were presented with the four recorded scenarios in Section 3. Scenario 1 and 2 were presented as live video feeds from an IoT IP camera. In scenario 1 the camera was not infected, and no attack was performed. In scenario 2 the camera was infected and
performed a DNS flood attack against a victim device in the sandboxed environment (see Figure 5). Scenario 3 and 4 were presented as recorded outputs from a popular packet capture tool (wireshark). In scenario 3 the camera was infected and performed a SYN flood attack against a victim device in the sandboxed environment. In scenario 4 the camera was infected and performed a GREIP flood attack (see Figure 6).
**Figure 5.** IoT IP Camera Video Feed (scenario one and two).
**Figure 6.** IoT Camera Video Feed (scenario three and four).
Results for the four scenarios are presented in Tables 2–5 with time periods highlighted bold indicating when the associated attack took place. In scenario 1 97 (61%) of respondents indicated they could not tell if the IoT IP camera was infected and an attack took place (see Table 2). Respondent responses were consistent across all time periods. In scenario 2 an attack took place during time period [31–50 s]. Again, most respondents 94 (59%) indicated they could not tell if the IoT IP camera was infected and an attack took place. Respondent responses were again consistent across all time periods. When asked how easy it was to identify when the IoT IP camera was infected, 32 (38%) indicated very difficult, 25 (29%) difficult (see Figure 7a), indicating that it was not easy to detect if the device was infected from the presented live video feed shown in Figure 5. This was consistent with our own observations that during the infection process and attacks, the camera did not display any adverse symptoms of infection, and continued to function as expected. Remote access to the device was still possible, and performance did not appear to be degraded. Live video streaming continued to be as responsiveness as prior to the attacks. Therefore, without any clear signs of an infection it was confirmed that detection or awareness or botnet activity proved very difficult within consumer networks.
**Table 2.** Scenario one detection rate (no attack).
| Detected | 0–10 s | 11–20 s | 21–30 s | 31–40 s | 41–50 s | 51–60 s | Dont Know |
|----------|--------|---------|---------|---------|---------|---------|-----------|
| Yes | 22 (14)| 24 (15) | 26 (16) | 23 (15) | 24 (15) | 13 (8) | 97 (61) |
| No | 136 (86)| 134 (85)| 132 (84)| 135 (85)| 134 (85)| 145 (92)| 61 (39) |
Table 3. Scenario two detection rate (dns attack).
| Detected | 0–10 s | 11–20 s | 21–30 s | 31–40 s | 41–50 s | 51–60 s | Dont Know |
|----------|--------|---------|---------|---------|---------|---------|-----------|
| | n (%) | n (%) | n (%) | n (%) | n (%) | n (%) | n (%) |
| Yes | 35 (22)| 26 (16) | 33 (21) | 29 (18) | 30 (19) | 23 (15) | 94 (59) |
| No | 123 (78)| 132 (84)| 125 (79)| 129 (82)| 128 (81)| 135 (85)| 64 (41) |
Table 4. Scenario three detection rate (syn attack).
| Detected | 0–10 s | 11–20 s | 21–30 s | 31–40 s | 41–50 s | 51–60 s | Dont Know |
|----------|--------|---------|---------|---------|---------|---------|-----------|
| | n (%) | n (%) | n (%) | n (%) | n (%) | n (%) | n (%) |
| Yes | 36 (23)| 76 (48) | 92 (58) | 53 (34) | 30 (19) | 27 (17) | 38 (24) |
| No | 122 (77)| 82 (52)| 66 (42)| 105 (66)| 128 (81)| 131 (83)| 120 (76) |
Table 5. Scenario four detection rate (greip attack).
| Detected | 0–10 s | 11–20 s | 21–30 s | 31–40 s | 41–50 s | 51–60 s | Dont Know |
|----------|--------|---------|---------|---------|---------|---------|-----------|
| | n (%) | n (%) | n (%) | n (%) | n (%) | n (%) | n (%) |
| Yes | 44 (28)| 34 (22) | 39 (25) | 47 (30) | 51 (32) | 30 (19) | 65 (41) |
| No | 114 (72)| 124 (78)| 119 (75)| 111 (70)| 107 (68)| 128 (81)| 93 (59) |
(a) No Attack and DNS Attack
(b) SYN and GREIP Attack
Figure 7. User perception of detection difficulty.
In scenario 3 an attack took place during time period [11–30 s] and participants were shown the recorded *wireshark* output (see Figure 6a). The use of the packet capture tool significantly improved detection of the infected IoT IP camera with 120 (76%) of respondents now indicating they knew when an attack took place. Results in Table 4 confirm this, with 76 (48%) [11–20 s] and 92 (58%) [21–30 s] correctly identifying the time period when the attack took place. In scenario 4 an attack took place during time period [21–40 s] and participants were shown the recorded *wireshark* output (see Figure 6b). In this scenario the packet capture tool did not appear to improve detection, as results presented in Table 5 show respondent responses were varied across all time periods. The number of respondents who indicated they knew when the attack took place dropped with 93 (59%) of respondents now indicating they knew when an attack took place.
Bivariate analysis was employed to cross tabulate between variables and look for possible associations. To determine if an association exists between level of knowledge and ability to detect an attack, a cross tabulation between these variables was undertaken. Frequency distributions were calculated and are presented in Tables 6–9. Scenario 1 was used as a control, however since users were not informed of this, attempts were still made and are presented in Table 6. Since an attack did not exist, if a user selected ‘No’ against each time scale and indicated they ‘Don’t Know’ if the
device was infected, this was used as evidence of a correct detection. It was not possible to analyze whether an association existed between knowledge level and the ability to detect an infected device, for this scenario. In scenario 2, a dns attack was performed, but a clear association between level of knowledge and ability to detect an infected device, was not evident. In scenario 3, a syn attack was performed, and participants were shown output from a packet capture tool wireshark (see Figure 6a). Detection rates across all knowledge levels increased substantially and a positive association was evident between knowledge level and a user’s ability to detect an attack. Finally, in scenario 4, a greip attack was performed, and participants were shown output from a packet capture tool wireshark (see Figure 6b). Although there appeared to be a positive trend, frequency distributions in Table 9 again do not indicate a clear association between the level of knowledge and a user’s ability to detect attacks. Except for scenario 3, the results do not demonstrate a clear and obvious positive association between knowledge level and a user’s ability to detect an infected IoT device.
Table 6. Detection accuracy by knowledge level (no attack).
| Knowledge | Novice | Intermediate | Advanced | Expert |
|-----------|----------|--------------|----------|--------|
| | n (%) | n (%) | n (%) | n (%) |
| Yes | 19 (83) | 39 (56) | 30 (53) | 7 (88) |
| No | 4 (17) | 31 (44) | 27 (47) | 1 (13) |
$n = 158$, $p = 0.026$
Table 7. Detection accuracy by knowledge level (dns attack).
| Knowledge | Novice | Intermediate | Advanced | Expert |
|-----------|----------|--------------|----------|--------|
| | n (%) | n (%) | n (%) | n (%) |
| Yes | 0 (0) | 15 (21) | 15 (26) | 1 (13) |
| No | 23 (100) | 55 (79) | 42 (74) | 7 (88) |
$n = 158$, $p = 0.054$
Table 8. Detection accuracy by knowledge level (syn attack).
| Knowledge | Novice | Intermediate | Advanced | Expert |
|-----------|----------|--------------|----------|--------|
| | n (%) | n (%) | n (%) | n (%) |
| Yes | 11 (48) | 41 (59) | 37 (65) | 6 (75) |
| No | 12 (52) | 29 (41) | 20 (35) | 2 (25) |
$n = 158$, $p = 0.423$
Table 9. Detection accuracy by knowledge level (greip attack).
| Knowledge | Novice | Intermediate | Advanced | Expert |
|-----------|----------|--------------|----------|--------|
| | n (%) | n (%) | n (%) | n (%) |
| Yes | 2 (9) | 28 (40) | 23 (40) | 5 (63) |
| No | 21 (91) | 42 (60) | 34 (60) | 3 (38) |
$n = 158$, $p = 0.013$
5. Discussion
This study was undertaken to investigate user awareness and perception of security and privacy within the IoT. In addition, with reference to this study, the problem of botnet activity and proliferation
within the IoT will be discussed. This discussion emphasizes the difficulty of making users situationally aware of threats facing consumer level IoT devices.
5.1. Botnets in the Internet of Things
Some of the most extensive and destructive cyber-attacks deployed on the Internet have been DDoS attacks. Several of these attacks, some the largest ever to be recorded, occurred in the second half of 2016, fueled in full or part by the IoT. During this time, attacks of over 100 Gbps were up by 140%, with three attacks reaching over 300 Gbps. The severity of the attacks continued in 2017, evidenced in Verisign’s annual DDoS Trends report, which reported that 82% of recorded DDoS attacks in quarter 4 of 2017, also now employed a multi-vector attack strategy [20]. The evidence would suggest IoT botnets are becoming increasingly more sophisticated in their effectiveness and ability to exploit basic security vulnerabilities, and obfuscate their activity. In [21] the authors present MalwareMustDie as a botnet example which uses iptables rules to protect its infected devices, while Hajime uses fully distributed communications and makes use of the BitTorrent protocol for peer discovery. BrickerBot was also presented, which leverages SSH default credentials to perform a permanent denial-of-service (PDoS) attack. However, one of the most prominent examples of a DDoS attack emanating from the IoT in recent times, is presented in [22–24]. Mirai is a piece of malware that attempts to find and infect IoT devices to establish and propagate a network of robots (botnet) consisting of the infected IoT devices (bots). An attacker (botmaster) then uses a command and control (C&C) server to remotely control the bots, forcing them to participate in DDoS attacks against targets on the Internet. On 20 September 2016, the Mirai botnet was used to perform an unprecedented 620 Gbps DDoS attack on security journalist Brian Krebs website krebsonsecurity.com [25]. Shortly after it was also responsible for a series of additional DDoS attacks peaking at over 1.2 Tbps against French hosting company OVH and DNS provider DYN, who estimated that up to 100,000 infected IoT devices (bots) were involved in the attack. The severity of the DYN attack was sufficient to cause major disruption on the Internet, and render several high-profile websites such as GitHub, Twitter, Reddit, Netflix, inaccessible.
Since the Mirai malware predominately targeted consumer IoT devices, it was chosen for use in our experimental setup. In the process of building the experimental setup shown in Figure 1 it became clear how easily botnet malware can spread, and new variants and mutations of existing botnets appear on the Internet. Indeed, this is evident in [26,27] where satori, masuta, wicked, and JenX are presented as new variants of the original Mirai botnet. Sharing the original basecode with Mirai, these new variants are enhanced to allow direct control of compromised devices, making other malicious actions possible, including running trojan viruses, redirecting traffic for man-in-the-middle attacks, and delivering other viruses to devices on the network by proxy. The last point being particularly concerning, since devices which were not originally vulnerable, could now be infected. In our study, 56% of respondents indicated they owned an IoT device, with 20% owning one more device. The study found the Amazon Echo to be the most popular IoT device (30%); however, many IoT devices leveraged by the above botnets, such as smart lightbulbs (16%) and IP cameras (8%), were also popular. Despite IP cameras only accounting for 8% of devices, if they could be leveraged and used as a proxy to infect other devices in home networks, the potential impact from IoT botnets, could be significantly greater than already experienced. Clearly, early detection and mitigation of such attacks is vital. This has led to much research in the area of botnet detection, which will be discussed in the next section.
5.2. Situational Awareness of Threats Facing the IoT
The first contribution of this paper is a study of attitudes towards security and privacy in the IoT. To assess whether respondents ranked security and privacy highly in theory, but not in practice, respondents were asked how concerned they would be if a smart device they owned was infected with a virus, but was still functioning as expected. In asking this question, the aim was to assess whether the well documented phenomenon known as the Privacy Paradox, was evident in the context of attitudes towards IoT devices. The privacy paradox has been well documented in papers such
as [28, 29], and although mainly in the context of online security, demonstrates that user attitudes towards security and privacy, often differ from the actions they take or decisions they make. Indeed, this has been highlighted in studies such as [10, 13] discussed in Section 2. In our study, Figure 2b shows that given a scenario where a device was infected with malware, but still functioning normally, over three quarters of respondents indicated that they would still be very concerned. When asked to rate the importance of various features related to IoT devices (as shown in Figure 3), security 102 (65%) and privacy 100 (63%) were clearly considered very important features. However, interestingly when asked to rank the features in order of priority, cost was ranked higher than both security and privacy by the largest percentage of respondents 53 (34%) (see Figure 4). In [30] it is suggested, while many users show theoretical interest in their privacy and maintain a positive attitude towards privacy-protection behavior, this rarely translates into actual protective behavior. Our results could confirm this, and suggest a possible dichotomy between privacy attitudes and actual behavior, in terms of procurement of IoT devices.
The second contribution of this paper is the evaluation of user ability to detect threats in consumer IoT networks. In doing so, a sandboxed botnet environment was used to infect an IoT IP camera, and leverage it to perform four attacks against a target. Respondents of the online survey were presented with video recordings of the four recorded attack scenarios, and their situational awareness and ability to detect infections recorded. Situational Awareness (SA) can be defined as “the state of being aware of circumstances that exist around us, especially those that are particularly relevant to us and which we are interested about” [31]. Applied in a cyber context the author further presents an adapted SA model comprised of four levels where perception, deals with evidence gathering of situations in the network. Comprehension refers to the analysis of evidence to deduce threat level, type and associated risk. Projection deals with predictive measures to address future incidents, and resolution deals with controls to repair, recover and resolve network situations [32]. Our study evaluates the first of these levels (perception), and clearly demonstrates the difficulty users face in detecting threats found in IoT consumer networks. In scenario 1 and 2 users were presented with video recordings as shown in Figure 5. During the infection process and attacks, participants indicated that the camera did not display any adverse symptoms of infection, and continued to function as expected. This was evident from the results in Tables 2 and 3 where 61% and 59% of respondents reported not being able to detect any unusual activity in the video. Comments from respondents included:
“There wasn’t any clear evidence” (Advanced Respondent)
“I could not tell at all if the camera was infected” (Intermediate Respondent)
In [32] the author suggests that perception in the context of Cyber SA also refers to knowledge of the elements in the network, and awareness of alerts such as those reported by intrusion detection systems, firewall logs, and scan reports. However, while this is true of security analysts, this information is likely not available in consumer networks, therefore would not be a contributing factor in achieving SA in consumer networks. In these environments the user would only have information displayed by the IoT device, in the case of scenarios 1 and 2 in our study that would be the live video feed. Since there were no adverse symptoms of infection, and the IP camera continued to function as expected, it is understandable that 32 (38%) indicated it was very difficult, and 25 (29%) difficult, to detect the device was infected from the presented live video feed.
In scenarios 3 and 4 users were presented with recorded outputs from a popular packet capture tool (wireshark) as shown in Figure 6. The use of the packet capture tool significantly improved detection in scenario 3 with 120 (76%) of respondents now indicating they knew when an attack took place. Results in Table 4 confirm this, with 76 (48%) [11–20 s] and 92 (58%) [21–30 s] correctly identifying the time period when the attack took place. However, in scenario 4 the packet capture tool did not appear to improve detection, as results presented in Table 5 show respondent responses were varied across all time periods. The number of respondents who indicated they knew when the attack took place also dropped to 93 (59%).
In [33] the author presents the need for greater online awareness and protection for NEUs. The author undertook a study to establish the views of NEUs on personal cyber security and suggests a lack of technical knowledge and ability to explore network communication, results in little or no awareness of security issues. To test this statement, we derive a null and alternate hypothesis as follows:
**Hypothesis 1.** Accuracy of detecting IoT botnets in consumer networks increases as technical knowledge increases.
**Hypothesis 2.** Accuracy of detecting IoT botnets in consumer networks does not increase as technical knowledge increases.
Previous studies such as [15] have demonstrated relationships between the technical ability of a user, and the ability to be perceive and be aware of risks. To our knowledge, this paper presents the first study to assess the ability of users to perceive and detect threats (botnets) facing the IoT. The results in Table 6 show that for scenario 1, where no attack was performed, detection accuracy across the four knowledge levels did not demonstrate any association between knowledge level and ability to detect an infected device. Novice (83%) and Expert (88%) demonstrated similar accuracy, and better than that of both Intermediate (56%) and Advanced (53%). The results are considered significant \((p = 0.026)\) and the null hypothesis is rejected. In Table 7, the results for scenario 2 again show that detection accuracy across the four knowledge levels did not demonstrate any association between knowledge level and ability to detect an infected device. The evidence is considered weak \((p = 0.054)\) but again the null hypothesis is rejected. For both these tests the alternate hypothesis is accepted *Accuracy of detecting IoT botnets in consumer networks does not increase as technical knowledge increases*.
The results in Table 8 do however demonstrate an association between knowledge level and ability to detect an infected device. As technical knowledge increases from Novice to Expert, so does the ability to detect an infected device: Novice (48%), Intermediate (59%), Advanced (65%) and Expert (75%). Presenting network communication as shown in Figure 6a to participants appeared to greatly improve SA of a threat, and the ability to correctly detect when an attack took place. Comments from respondents included:
“Program code went red”, “Bulk black lines appeared”, “Maybe the black bits with red writing may be something bad?” (Novice Respondents)
“yes wire shark made it easier to see that it was infected by all the random traffic”, “there were red warnings on the screen”, “Vast number of red highlighted addresses” (Intermediate Respondents)
“On the first the red warning messages were visible”, “I saw a lot of areas highlighted in red, red highlights usually denotes a problem, so by deduction, those were errors”, “Red text black blocks” (Expert Respondents)
It was clear from respondent comments that the way information is presented, and importantly the colors used, helped to aid better detection. This was evident even among Novice participants, who appeared not to fully understand what the information was showing, but were able to use it to become more situationally aware of what was happening with the IoT device. There is no evidence \((p = 0.423)\) to disprove the null hypothesis, therefore it is accepted.
In scenario 4, participants were again shown network communication as shown in Figure 6b; however, the results in Table 9 again do not demonstrate an association between knowledge level and ability to detect an infected device. Although a positive trend is evident, the evidence against the null hypothesis is statistically strong \((p = 0.013)\), therefore the null is rejected. Data presentation differed from the network traffic in scenario 3, and appeared to be a contributing factor in detection rates, particularly within the Novice knowledge group where the detection rate significantly dropped to (9%). We can therefore conclude that the authors assertion in [33] that “a lack of technical knowledge,
and the ability to explore network communication, results in little or no awareness of security issues”, is true in part. The results in this study show that a lack of network communication can result in little or no awareness of security issues; however, if presented with data, SA can be improved. Presentation of the data is however also vitally important, otherwise the presence of the additional data, can have little impact. This point is recognized by the author and a security visualization framework is proposed to support NEUs to engage with network traffic analysis to better support their perception and comprehension of cyber security concerns. The work is extended in [18] where the visualization tool is further developed and used to assess participant ability across two case studies involving malware identification and home network monitoring. Participant feedback was positive, although the results were limited since only a single radial visual representation was used, leaving room for future research in the area.
6. Limitations
On conclusion of this study several limitations have been identified. Firstly, the study is limited by the use of self-report data. Since respondents undertook the survey without researcher interference, bias could be present. Socially desirable knowledge, skills and attitudes towards IoT security and privacy many have been provided and socially undesirable equivalents under reported. Ranking security and privacy highly because it is generally accepted as important, rather than because they believe it, could have introduced bias. The initial use of convenience sampling may have contributed to an over representation of student respondents (54%) in the total sample population. Since many were also studying a computing related course, this may also have contributed to the largest samples of technical knowledge levels being Intermediate (44%) and Advanced (36%). Finally, only one type of malware has been investigated. The use of other malware types may return different results, and provide a basis for further research in this area.
7. Conclusions
This paper presents a cross-sectional study of how users value and perceive security and privacy in smart devices found within the IoT. It analyzed which features users value most important in an IoT device, and where security and privacy rank within this list. An experimental setup was used in the context of technical knowledge and experience, to assess user ability to detect threats facing the IoT. It clearly demonstrated that due to the limited information users can extract from many IoT devices, and without any adverse symptoms of infection, a device can be infected and continue to function as expected. Without any clear signs when an IoT device is infected, it was very difficult for users to detect and be situationally aware of threats exploiting home networks. The paper also explored the relationship between technical knowledge and the ability to detect threats in IoT devices. It demonstrated that presenting users with additional information such as network communication could improve SA of IoT threats, but only if adequate presentation of the additional data was performed. Without this, there was no clear correlation between the level of technical knowledge and ability to detect infected devices. This study has provided a snapshot of user awareness and perception of security and privacy with the IoT. The results have provided evidence that further research is required in this area. Future research could address the limitations of this study, in particular the self-report nature of the online survey, and use of only one malware sample. The study could be repeated with other malware types and IoT devices, within a wider cross section of consumer backgrounds.
Author Contributions: This paper describes research undertaken by C.D.M. towards the award of Doctor of Philosophy, under the supervision of J.P.I. at Robert Gordon University. Data collection, analysis, and formulation of research paper was undertaken by C.D.M. J.P.I. supervised research methodology and reviewed paper formulation. A.V.P. also provided supervision and reviewed paper formulation
Funding: This research received no external funding.
Conflicts of Interest: The authors declare no conflict of interest
Abbreviations
The following abbreviations are used in this manuscript:
| Abbreviation | Description |
|--------------|-------------|
| IoT | Internet of Things |
| NEU | Non-Expert Users |
| SA | Situational Awareness |
| DDoS | Distributed Denial of Service |
| DNS | Domain Name Service |
| SYN | Synchronize flood attack |
| GREIP | Generic Routing Encapsulation over IP |
References
1. Aazam, M.; St-Hilaire, M.; Lung, C.H.; Lambadaris, I.; Huh, E.N. *IoT Resource Estimation Challenges and Modeling in Fog*; Springer International Publishing: Cham, Switzerland, 2018.
2. Atzori, L.; Iera, A.; Morabito, G. The Internet of Things: A survey. *Comput. Netw.* **2010**, *54*, 2787–2805. [CrossRef]
3. Mosenia, A.; Jha, N.K. A Comprehensive Study of Security of Internet-of-Things. *IEEE Trans. Emerg. Top. Comput.* **2017**, *5*, 586–602. [CrossRef]
4. McDermott, C.D.; Petrovski, A.V. Investigation of Computational Intelligence Techniques for Intrusion Detection in Wireless Sensor Networks. *Int. J. Comput. Netw. Commun. (IJCNC)* **2017**, *9*, 45–56. [CrossRef]
5. Shodan. 2018. Available online: https://www.shodan.io/ (accessed on 28 November 2018).
6. Moganedı, S.; Mtsweni, J. Beyond the convenience of the internet of things: Security and privacy concerns. In Proceedings of the IST-Africa Week Conference (IST-Africa), Windhoek, Namibia, 30 May–2 June 2017; pp. 1–10.
7. Parsons, K.; McCormac, A.; Butavicius, M.; Pattinson, M.; Jerram, C. Determining employee awareness using the Human Aspects of Information Security Questionnaire (HAIS-Q). *Comput. Secur.* **2014**, *42*, 165–176. [CrossRef]
8. Parsons, K.; Calic, D.; Pattinson, M.; Butavicius, M.; McCormac, A.; Zwaans, T. The Human Aspects of Information Security Questionnaire (HAIS-Q): Two further validation studies. *Comput. Secur.* **2017**, *66*, 40–51. [CrossRef]
9. Öğütü, G.; Özlem, M.T.; Chouseinoglou, O. Analysis of personal information security behavior and awareness. *Comput. Secur.* **2016**, *56*, 83–93. [CrossRef]
10. Ghigliari, M.; Volkamer, M.; Renaud, K. Exploring Consumers’ Attitudes of Smart TV Related Privacy Risks. In *Human Aspects of Information Security, Privacy and Trust*; Tryfonas, T., Ed.; Springer International Publishing: Cham, Switzerland, 2017; pp. 656–674.
11. Takemura, T. Empirical Analysis of Behavior on Information Security. In Proceedings of the International Conference on Internet of Things and 4th International Conference on Cyber, Physical and Social Computing, Dalian, China, 19–22 October 2011; pp. 358–363.
12. San-José, P.P.; de la Fuente Rodriguez, S. Study on Information Security and e-Trust in Spanish Households. In Proceedings of the First Workshop on Building Analysis Datasets and Gathering Experience Returns for Security, Salzburg, Austria, 10 April 2011; pp. 1–6.
13. Parsons, K.; McCormac, A.; Pattison, M.; Butavicius, M.; Jerram, C. An Analysis of Information Security Vulnerabilities at Three Australian Government Organisations. In Proceedings of the European Information Security Multi-Conference, Lisbon, Portugal, 8–10 May 2013; Springer International Publishing: Cham, Switzerland, 2013; pp. 34–44.
14. Zaaba, Z.F.; Furnell, S.M.; Dowland, P.S. A study on improving security warnings. In Proceedings of the 5th International Conference on Information and Communication Technology for the Muslim World (ICT4M), Kuching, Malaysia, 17–18 November 2014; pp. 1–5.
15. Amran, A.; Zaaba, Z.F.; Singh, M.M.; Marashdih, A.W. Usable Security: Revealing End-Users Comprehensions on Security Warnings. *Procedia Comput. Sci.* **2017**, *124*, 624–631. [CrossRef]
16. Shepherd, L.A.; Archibald, J.; Ferguson, R.I. Assessing the Impact of Affective Feedback on End-User Security Awareness. In *Human Aspects of Information Security, Privacy and Trust*; Springer International Publishing: Cham, Switzerland, 2017; pp. 143–159.
17. McCormac, A.; Zwaans, T.; Parsons, K.; Calic, D.; Butavicius, M.; Pattinson, M. Individual differences and Information Security Awareness. *Comput. Hum. Behav.* **2017**, *69*, 151–156. [CrossRef]
18. Legg, P.A. Enhancing cyber situation awareness for Non-Expert Users using visual analytics. In Proceedings of the International Conference on Cyber Situational Awareness, Data Analytics and Assessment (CyberSA), London, UK, 13–14 June 2016; pp. 1–8.
19. Zimmermann, V.; Gerber, N. “If it Wasn’t Secure, They Would Not Use It in the Movies”—Security Perceptions and User Acceptance of Authentication Technologies. In *Human Aspects of Information Security, Privacy and Trust*; Springer International Publishing: Cham, Switzerland, 2017; pp. 265–283.
20. Verisign. Verisign Distributed Denial of Service Trends Report. *Comput. Netw.* **2017**, *4*, 3–6.
21. Kolias, C.; Kambourakis, G.; Stavrou, A.; Voas, J. DDoS in the IoT: Mirai and Other Botnets. *Computer* **2017**, *50*, 80–84. [CrossRef]
22. McDermott, C.D.; Majdani, F.; Petrovski, A.V. Botnet Detection in the Internet of Things using Deep Learning Approaches. In Proceedings of the International Joint Conference on Neural Networks (IJCNN), Rio de Janeiro, Brazil, 8–13 July 2018; pp. 1–8.
23. Jerkins, J.A. Motivating a market or regulatory solution to IoT insecurity with the Mirai botnet code. In Proceedings of the IEEE 7th Annual Computing and Communication Workshop and Conference (CCWC), Las Vegas, NV, USA, 9–11 January 2017; pp. 1–5.
24. Sinanović, H.; Mrdovic, S. Analysis of Mirai malicious software. In Proceedings of the 25th International Conference on Software, Telecommunications and Computer Networks (SoftCOM), Split, Croatia, 21–23 September 2017; pp. 1–5.
25. Krebs, B. KrebsOnSecurity Hit with Record DDoS. 2016. Available online: https://tinyurl.com/jfkk7yp (accessed on 28 November 2018).
26. Cooley, L. The Evolution of Mirai Botnet Source Code Presents Increased Risk of Large-Scale DDoS Attacks, 2018. Available online: http://www.mondaq.com/unitedstates/x/732962/ (accessed on 28 November 2018).
27. Pierluigi Paganini. Mirai Botnet Evolution Since Its Source Code Is Available Online. 2018. Available online: https://resources.infosecinstitute.com (accessed on 28 November 2018).
28. Dienlin, T.; Trepte, S. Is the privacy paradox a relic of the past? An in-depth analysis of privacy attitudes and privacy behaviors. *Eur. J. Soc. Psychol.* **2015**, *45*, 285–297. [CrossRef]
29. Barth, S.; De Jong, M. The Privacy Paradox—Investigating Discrepancies between Expressed Privacy Concerns and Actual Online Behavior—A Systematic Literature Review. *Telemat. Inform.* **2017**, *34*, 1038–1058. [CrossRef]
30. Potzsch, S. Privacy Awareness: A Means to Solve the Privacy Paradox? In *The Future of Identity in the Information Society*; Springer: Berlin/Heidelberg, Germany, 2009; pp. 226–236.
31. Onwubiko, C.; Owens, T. Review of Situational Awareness for Computer Network Defense. In *Situational Awareness in Computer Network Defense: Principles, Methods and Applications*; IGI Global: Hershey, PA, USA, 2012.
32. Onwubiko, C.; Owens, T. Functional Requirements of Situational Awareness in Computer Network Security. In Proceedings of the IEEE International Conference on Intelligence and Security Informatics, Dallas, TX, USA, 8–11 June 2009; pp. 209–213.
33. Legg, P.A. Visualizing the insider threat: Challenges and tools for identifying malicious user activity. In Proceedings of the IEEE Symposium on Visualization for Cyber Security (VizSec), Chicago, IL, USA, 25 October 2015; pp. 1–7.
|
Jávea Xàbia
www.xabia.org
Costa Blanca
www.costablanca.org
Comunitat Valenciana
JÁVEA * XÀBIA
GUIA TURÍSTICA * GUIA TURÍSTICA
El pasado medieval de la población salta a la vista en cada uno de los rincones del Centro Histórico. Jávea fue una villa sólidamente amurallada con un trazado que, incluso en la actualidad, podemos recorrer con facilidad. El núcleo central ofrece un sabor antiguo, rústico y monumental que le confiere la piedra tosca, roca arenisca que enmarca puertas, ventanas y balcones y que se extraía del litoral. La villa se distingue por sus calles estrechas señoreadas por una peculiar arquitectura. Los edificios y los portales arqueados, los ventanales góticos y las rejas de hierro forjado le dan un aire noble. Además, también observaremos un buen número de hornacinas dedicadas a los santos con más devoción en el municipio: San José, San Juan, San Sebastián.
No obstante, la edificación más importante es la iglesia fortaleza de San Bartolomé, que todavía conserva su poderío defensivo con matacanes sobre bellos pórticos, saeteras y vanos para los morteros. Esta singular creación conjuga admirablemente la adecuación defensiva del edificio con una exquisita concepción estética. Es una gran construcción de piedra tosca y uno de los ejemplos más bellos y curiosos del estilo llamado gótico isabelino. Además, la iglesia es escenario habitual y privilegiado de conciertos de música clásica al abrigo de la sonoridad especial que le confieren sus bóvedas.
El passat medieval de la població salta a la vista per cadascun dels racons del Centre Històric. Xàbia va ser una vila sòlidament emmurallada amb un traçat que, inclús en l'actualitat, podem recórrer amb facilitat. El nucli central ofereix un sabor antic, rústic i monumental que li confereix la pedra tosca, roca arenosa que emmarca portes, finestres i balcons i que s'estreia del litoral. La vila es distingeix pels seus carrers estrets senyorejats per una peculiar arquitectura. Els edificis i els portals arquejats, els finestrals gòtics i les reixes de ferro forjat li atorguen un aire noble. A més, també observarem un bon nombre de fornícules dedicades als sants amb més devoció en el municipi: Sant Josep, Sant Joan, Sant Sebastià, ...
No obstant això, l'edificació més important és l'església fortalesa de Sant Bertomeu, que encara conserva el seu poder defensiu amb matacans sobre bells pòrtics i vans per als morters. Esta singular creació conjuga admirablement l'adequació defensiva de l'edifici amb una exquisida concepció estètica. És una gran construcció de pedra tosca i un dels exemples més bells i curiosos de l'estil anomenat gòtic isabelí. A més, l'església és escenari habitual i privilegiat de concerts de música clàssica a l'abric de la sonoritat especial que confereixen les seues voltes.
Sunset over the sea, with a wooden railing leading down to the water.
The orchestra is performing on stage with a palm tree in the background.
The Jazz Band performs at the 2013 Festival of the Arts in Dubai.
Jávea es una ciudad costera, a la orilla del Mediterráneo, situada en la Marina Alta, Comunitat Valenciana.
Sus latitudes son 38°47' N y 0°10' E. Su temperatura media es de 18°.
A 110 km. al Sur de la ciudad de Valencia y a 100 km. al Norte de Alicante.
Parque Natural del Montgó.
Reserva Marina Cap de Sant Antoni.
25 Km de variada costa.
Xàbia es una ciutat costanera, a la vora del Mediterrani,
Parc Natural del Montgó.
Reserva Marina Cap de Sant Antoni.
25 Km de variada costa.
Situada en la Marina Alta, Comunitat Valenciana.
Latitud: 38°47' N i 0° 10' E. Temperatura mitja es de 18°.
A 110 km. al Sud de la ciutat de Valencia y a 100 km. al Nord d'Alacant.
Frente a la fachada sur del templo, encontramos el ayuntamiento. Un sobrio edificio levantado sobre una necrópolis de época cristiana, cuyos restos se pueden visitar en el interior de la Oficina de Turismo. El origen del consistorio data del siglo XIV, si bien la fachada -de cierta influencia neoclásica- se debe a la restauración de finales del XVIII, que alteró bastante el edificio original. En su fachada posterior encontramos varios porches sobre arcos de medio punto. Detrás de la iglesia se encuentra el Mercado de Abastos, bello edificio inspirado en la arquitectura del gótico civil catalán-aragonés y que fue construido en 1946 sobre el solar del antiguo Convento de las Agustinas.
Enfront de la façana sud del temple, trobem l'ajuntament. Un sobri edifici alçat sobre una necròpolis d'època cristiana, les restes de la qual es poden visitar en l'interior de l'Oficina de Turisme. L'origen del consistori data del segle XIV, si bé la façana -d'una certa influència neoclàssica- es deu a la restauració de finals del XVIII, que va alterar prou l'edifici original. En la seua façana posterior trobem uns quants porxes sobre arcs de mig punt. Darrere de l'església es troba el Mercat d'abastos, bonic edifici inspirat en l'arquitectura del gòtic civil català-aragonés i que va ser construït en 1946 sobre el solar de l'antic Convent de les agustines.
A full moon rises over a historic stone tower and palm trees in a nighttime scene.
El Arenal, lugar de ocio
En el centro de la bahía de Jávea se sitúa la Playa del Arenal, sin duda la más conocida y frecuentada por los bañistas al ser la única de arena del municipio y la que ha experimentado un mayor crecimiento durante los últimos años. Paralela al paseo existe una amplia oferta restauradora -variada y de calidad- y de ocio, que ejerce de centro neurálgico de la zona, especialmente durante el período estival. Las noches de verano en el Arenal son extraordinariamente animadas y concurridas porque es el lugar tradicional de concentración de los jóvenes en los distintos establecimientos de ocio.
L'Arenal, lloc d'oci
Al centre de la badia de Xàbia es situa la platja de l'Arenal, sens dubte la més coneguda i freqüentada pels banyistes al ser l'única d'arena del municipi i la que ha experimentat un major creixement durant els últims anys. Paral·lela al passeig hi ha una àmplia oferta restauradora - variada i de qualitat- i d'oci, que exerceix de centre neuràlgic de la zona, especialment durant el període estival. Les nits d'estiu a l'Arenal són extraordinàriament animades i concorregudes doncs és el lloc tradicional de concentració dels joves presents en els distints establiments d'oci.
BIAJAZZ
Cultura todo el año
Jávea ofrece a lo largo del año una programación cultural de calidad, variada y para todos los públicos. El festival Xàbia Folk, en el mes de mayo, es ya una referencia en el panorama de la música tradicional. Otra cita ineludible es el Xàbia Jazz, un acontecimiento que ha alcanzado una gran repercusión internacional. Y también hay que citar el programa de conciertos de Música a l'estiu, un curso internacional de gran prestigio.
Durante la misma temporada veraniega, vecinos y visitantes disfrutan del Ajedrez Viviente, una mezcla entre el teatro y el deporte, que ostenta la categoría de Fiesta de interés turístico nacional. Por otra parte, en el mes de junio se organiza el Festival Internacional.
Además, Jávea cuenta con dos espacios expositivos polivalentes, la Casa de Tena en el Centro Histórico y Casa del Cable en Aduanas de la Mar, que acogen exposiciones todo el año.
Cultura tot l'any
Xàbia ofereix al llarg de l'any una programació cultural de qualitat, variada i per a tots els públics. El festival Xàbia Folk, al mes de maig, és ja una referència en el panorama de la música tradicional. Una altra cita ineludible és el Xàbia Jazz, un esdeveniment que ha assolit una gran repercussió internacional. I també cal anomenar el programa de concerts de Música a l'estiu, un curs internacional de gran prestigi.
A la mateixa temporada estiuenca, veïns i visitants disfruten dels Escacs Vivents, una barreja entre el teatre i l'esport, que ostenta la categoria de Festa d'interès turístic nacional. D'una altra banda, al mes de juny s'organitza el Festival Internacional.
A més, Xàbia compta amb dos espais expositius polivalents, la Casa de Tena al Centre Històric i Casa del Cable a Duanes de la Mar, que acullen exposicions tot l'any.
Jávea, sublime e inmensa...
... Así de impactante fue la primera imagen que percibió Joaquín Sorolla al descubrir, a finales del siglo pasado, este maravilloso enclave de la costa. Y así permanece aún Jávea: heredera de historia, ligada a las costumbres marítimas y, sobre todo, orgullosa de ser uno de los escenarios naturales más singulares de todo el litoral mediterráneo.
Enmarcada por los cabos de Sant Antoni y de La Nao, Jávea está ubicada al norte de la Costa Blanca, bañada por el Mediterráneo y resguardada de los vientos fríos por la barrera montañosa del Montgó. Un paisaje diverso, tanto en la costa como en el interior, un clima suave durante todo el año y una amplia oferta turística, le esperan en esta bella localidad.
Xàbia, sublim i immensa...
... Així d'impactant va ser la primera imatge que va percebre Joaquim Sorolla en descobrir, a finals del segle passat, aquest meravellós enclavament de la costa. I així roman Xàbia: hereva d'història, lligada als costums marítims i, sobretot, orgullosa de ser un dels escenaris naturals més singulars de tot el litoral mediterrani.
Emmarcada pels caps de Sant Antoni i de La Nau, Xàbia està ubicada al nord de la Costa Blanca, banyada per la Mediterrània i resguardada dels vents freds per la barrera muntanyenca del Montgó. Un paisatge divers, tant en la costa com en l'interior, un clima suau durant tot l'any i una àmplia oferta turística, l'esperen en aquesta bonica població.
En el mismo Centro Histórico, en el Carrer d’Avall se conserva un pequeño edificio de estilo gótico conocido como la Capella de Santa Anna, en la que estuvo ubicado el antiguo hospital de Jávea. Y todavía dentro de la villa histórica destacan también las casas y portadas góticas de las calles Major, Sor Caterina Bas y Sor María Gallart.
Ya en época moderna y gracias a la producción, elaboración y exportación de la uva pasa surgió una burguesía mercantil local que eligió los alrededores de la iglesia para construir edificios de gran interés arquitectónico como la Casa dels Bolufer, la Casa de Tena, la Casa d’Arnauda y la Casa de les Primícies.
La Placeta del Convent fue, en el siglo XIX y hasta bien avanzado el XX, una encrucijada de caminos. Los agricultores partían al alba a los campos del valle y del Pla. Esta plaza debe su nombre al actual Convento de las Agustinas, que anteriormente fue de Mínimos. En la actualidad, en el edificio destaca la iglesia de gran belleza, en cuya entrada se sitúan columnas labradas en una única pieza y dos lienzos del pintor Soler Blasco.
Ejemplo de arquitectura tradicional de Jávea es El Riurau dels Catalá d’Arnauda, uno de los mejores conservados en la Marina y que ha sido trasladado recientemente desde su originaria ubicación hasta el Parque Muntaner. Aunque no se conoce la fecha concreta de su construcción, podemos situarla en el tercer cuarto del siglo XIX, momento álgido de la producción y comercio de la uva pasa. Estas edificaciones, caracterizadas por los arcos de los laterales –denominados “ojos” popularmente– servían de cobijo a los cañizos donde se extendía la uva pasa para que se secara, cuando la lluvia o el rocío amenazaban con pudrirla.
En el mateix Centre Històric, al carrer d'Avall es conserva un xicotet edifici d'estil gòtic conegut com la capella de Santa Anna, en la qual va estar ubicat l'antic hospital de Xàbia. I encara dins de la vila històrica destaquen també les cases i portades gòtiques dels carrers Major, sor Caterina Bas i sor Maria Gallart.
Ja en època moderna i gràcies a la producció, elaboració i exportació del raïm pansa va sorgir una burgesia mercantil local que va triar els voltants de l'església per a construir edificis de gran interès arquitectònic com la Casa dels Bolufer, la Casa de Tena, la Casa d'Arnauda i la Casa de les Primícies.
La placeta del Convent, per la seua banda, va ser, en el segle XIX i fins ben avançat el XX, un encreuament de camins. Els agricultors partien a l'alba als camps de la vall i del Pla. Aquesta plaça deu el seu nom al Convent de les agustines actual, que anteriorment va ser de Mínims. En l'actualitat, a l'edifici destaca l'església de gran bellesa, a l'entrada de la qual es situen columnes llaurades en una única peça i dos llenços del pintor Soler Blasco.
Exemple d'arquitectura tradicional de Xàbia és el Riurau dels Català d'Arnauda, un dels millors conservats de tota la Marina i que ha estat traslladat recentment des del seu lloc d'origen fins al Parc Muntaner. Tot i que no coneixem la data concreta de la seua construcció, podem situar-la en el tercer quart del segle XIX, moment àlgid de la producció i comerç de la pansa. Aquestes construccions, caracteritzades pels arcs dels costats -anomenats popularment “d'ulls”- servien d'aixopluc als canyissos en què s'escampava la pansa per a que s'assecara quan la pluja o les rosades nocturnes amenaçaven de podrir-la.
The beach is located in the heart of the city, with easy access to all the services and facilities that the city has to offer. The beach is also close to the city center, making it an ideal location for those who want to enjoy the beach and the city at the same time.
The beach is also close to the city center, making it an ideal location for those who want to enjoy the beach and the city at the same time.
The beach is clean and sandy, with gentle waves lapping at the shore. In the background, there are palm trees and a large building, possibly a hotel or resort. The sky is clear and blue, indicating a sunny day. A person can be seen wading in the water, enjoying the beach.
Un privilegio para el deporte
El excelente clima y la situación geográfica, entre mar y montaña, hacen de Jávea un lugar idóneo durante todo el año para los amantes del deporte. Deportes como el golf, la hípica, el tenis y el senderismo son muy frecuentes. El mar y sus costas repletas de acantilados, islotes, calas y fondos marinos de aguas transparentes también permiten un sinfín de posibilidades para las actividades náuticas, como la vela, el buceo, el windsurf o el esquí acuático.
Un privilegi per a l’esport
L’excellent clima i la situació geogràfica, entre mar i muntanya, fan de Xàbia un lloc idoni durant tot l’any per als amants de l’esport. Esports com el golf, la hípica, el tenis i el senderisme són molt freqüents. El mar i les seues costes repletes de penya-segats, illots, cales i fons marins d’aigües transparents també permeten una infinitat de possibilitats per a les activitats nàutiques, com la vela, el busseig, el windsurf o l’esquí aquàtic.
Palm trees and pampas grass against a clear blue sky.
Montgó
Almond trees in bloom, viewed through an archway.
The ruins of an old aqueduct in the countryside, with almond trees in bloom in the background.
Entorno
Fuera de los núcleos de población y dentro del término municipal de Jávea nos aguardan otros tesoros como son los 11 molinos de viento, que aún se conservan dentro del Parc Natural del Montgó, cerca del Cap de Sant Antoni, y que constituyen el conjunto de molinos de viento más importante de la Comunidad Valenciana. Estas estructuras de piedra y de forma cilíndrica, destinadas a moler trigo y en menor medida otros cereales, utilizaban la energía eólica para girar sus grandes brazos y muelas circulares y de este modo transformar el grano en harina, alimento básico para la subsistencia del hombre hasta épocas bien recientes.
También en esta zona encontramos el Santuario de la Mare de Déu dels Àngels, construido en los años 60 sobre el antiguo monasterio medieval de los frailes jerónimos del siglo XIV. A principios de agosto aquí se celebran las fiestas en honor a la virgen con una misa, música de dulzaina y bailes populares.
La devoción popular también se manifiesta en las numerosas ermitas repartidas por todo el municipio. Ermitas como la de Santa Llúcia y la del Pòpul, pertenecientes al gótico rural, construidas entre los siglos XIV y XVII y cuya belleza radica en la sencillez y armonía de su austera arquitectura. O la del Calvario, edificada en 1849 sobre un templo anterior, cuya particularidad es la cúpula de color azul y que custodia la imagen de Jesús Nazareno, muy venerada por los habitantes.
Entorn
Fora dels nuclis de població i dins del terme municipal de Xàbia ens esperen altres tresors com són els 11 molins de vent que encara es conserven dins del Parc Natural del Montgó, prop del Cap de Sant Antoni i que constitueixen el conjunt més important de la Comunitat Valenciana. Aquestes estructures de pedra i de forma cilíndrica, destinades a moldre blat i d'altres cereals, utilitzaven l'energia eòlica per a girar els seus grans braços i moles circulars i d'aquesta manera transformar el gra en farina, aliment bàsic per a la subsistència de l'home fins èpoques ben recents.
També en aquesta zona trobem el santuari de la Mare de Déu dels Àngels, construït en els anys 60 sobre l'antic monestir medieval dels frares jerònims del segle XIV. A principis d'agost ací es celebren les festes en honor a la verge amb una missa, música de dolçaina i balls populars.
La devoció popular es manifesta igualment en les nombroses ermites repartides per tot el municipi. Ermites com la de Santa Llúcia i la del Pòpul, pertanyents al gòtic rural, construïdes entre els segles XIV i XVII i la bellesa dels quals radica en la senzillesa i harmonia de la seua austera arquitectura. O la del Calvari, edificada en 1849 sobre un temple anterior, la particularitat del qual és la cúpula de color blau i que custodia la imatge de Jesús Natzaré, molt venerada pels habitants.
A bicycle leans against a wall, framed by an archway that leads to a grassy field and trees in the distance. The scene is bathed in sunlight, casting shadows on the red-tiled floor. In the background, there's a glimpse of a forested area with green foliage and a stream of water flowing through it.
Hiking is a great way to get outdoors and enjoy nature, but it can also be a challenge for your feet. Here are some tips to help you avoid foot pain while hiking:
1. Choose the right shoes: Make sure your hiking shoes have good support and cushioning, and that they fit well. You should be able to wiggle your toes in them.
2. Break in your shoes before you go: If you're planning on wearing new shoes for a long hike, break them in beforehand by wearing them around the house or on short walks.
3. Wear socks: Socks can help protect your feet from blisters and other injuries. Look for socks made of moisture-wicking materials like cotton or synthetic fibers.
4. Take breaks: Hiking can be tiring, so make sure to take breaks when you need them. This will give your feet a chance to rest and recover.
5. Stay hydrated: Dehydration can lead to foot problems, so make sure to drink plenty of water during your hike.
6. Check your feet regularly: Before starting your hike, check your feet for any cuts, blisters, or other injuries. If you notice anything, treat it immediately.
7. Use proper technique: When hiking, use proper technique to avoid putting too much pressure on your feet. This includes keeping your knees bent and your feet flat on the ground.
By following these tips, you can help ensure that your feet stay healthy and happy while you're out enjoying nature.
Jávea es una población de gran belleza, paisajes mágicos, un refugio de paz y serenidad. Cabos, acantilados, calas, playas, montañas arropadas por el Mar Mediterráneo; en definitiva, un medio natural singular por su distinta morfología. Aquí, la naturaleza ha sido benigna.
Los colores invaden la retina del visitante: el azul intenso del mar, el verde de los bosques de pinos, de las viñas y de los naranjos, los ocres de los acantilados y el suave blanco de los almendros en flor.
Jávea mira al mar y lo hace desde 15 escenarios diferentes, acondicionados y señalizados convenientemente para el deleite y la contemplación. Son los Miradores; estratégicamente ubicados a lo largo de los 25 km. de costa y entre los que destacan los del Cap de Sant Antoni, els Molins, el Mirador del Portitxol, el Cap Negre y el Cap de la Nau.
Xàbia és una població de gran bellesa, paisatges màgics, un refugi de pau i serenitat. Caps, penya-segats, cales, platges, muntanyes abrigades per la Mar Mediterrània; en definitiva, un medi natural singular per la seua distinta morfologia. Ací, la naturalesa ha sigut benigna.
Els colors envaeixen la retina del visitant: el blau intens del mar, el verd dels boscos de pins, de les vinyes i dels tarongers, els ocres dels penya-segats i el suau blanc dels ametlers en flor.
Xàbia mira a la mar i ho fa des de 15 escenaris diferents, preparats i senyalitzats convenientment per al deler i la contemplació. Són els Miradors, estratègicament ubicats al llarg dels 25 km. de costa i entre els quals destaquen els del Cap de Sant Antoni, els Molins, el Mirador del Portitxol, el Cap Negre i el Cap de la Nau.
Museo Arqueológico de Córdoba
En Jávea se percibe el peso de la historia y el paso de numerosos pueblos y civilizaciones por su geografía. De ahí la importancia de una visita al Museo Arqueológico y Etnográfico Soler Blasco, ubicado en el Palacio de Antoni Banyuls, vecino ilustre que llegó a ser mayordomo de los reyes Felipe III y Felipe IV. El edificio de tosca del siglo XVII cuenta con una galería superior de clara influencia aragonesa. En las diferentes salas observaremos vestigios que van desde la Prehistoria hasta nuestros días, destacando restos arqueológicos como algunos con más de 16.000 años de antigüedad y también útiles de la edad del Bronce. Uno de los más valiosos es la reproducción del Tesoro ibérico de Jávea, compuesto por varias piezas de oro y plata y que fue descubierto por un labrador en 1904. El museo también dispone de una rica colección de ánforas romanas y púnico-fenicias, una variada muestra de cerámicas de época cristiana, y materiales y exposiciones etnográficas.
A Xàbia es percep el pes de la història i el pas de nombrosos pobles i civilitzacions per la seua geografia. D'ací la importància d'una visita al Museu Arqueològic i Etnogràfic Soler Blasco, ubicat al Palau d'Antoni Banyuls, veí il·lustre que va arribar a ser majordom dels reis Felip III i Felip IV. L'edifici de tosca del segle XVII compta amb una galeria superior de clara influència aragonesa. En les diferents sales observarem vestigis que van des de la Prehistòria fins els nostres dies, destacant-hi restes arqueològiques de més de 16.000 anys d'antiguitat i també estris de l'edat del Bronze. Un dels més valuosos és la reproducció del Tresor ibèric de Xàbia, compost per diverses peces d'or i plata i que va ser descobert per un llaurador en 1904. El museu també disposa d'una rica col·lecció d'àmfores romanes i punico-fenícies, una variada mostra de ceràmiques d'època cristiana, i materials i exposicions etnogràfiques.
The stunning landscapes of the Costa Blanca, with its rugged mountains and picturesque towns, offer a perfect backdrop for your next adventure. Whether you're looking to hike through the hills or relax on the beach, there's something for everyone in this beautiful region.
The island of Sicily is a unique blend of diverse landscapes, from the rugged coastline to the lush interior. The left image captures the serene beauty of the countryside, with rolling hills and verdant fields stretching towards the horizon. The right image showcases the dramatic cliffs that line the island's coast, offering breathtaking views of the deep blue sea below. This combination of natural wonders makes Sicily a truly captivating destination for travelers seeking both tranquility and adventure.
Un sinfín de sabores
La gastronomía es uno de los grandes atractivos de Jávea. Prueba de ello son los numerosos restaurantes en los que se pueden degustar los platos principales de la cocina mediterránea, compuesta por pescados, mariscos y arroces.
La rica tradición culinaria local se conserva en toda su pureza en el seno familiar, pudiéndose degustar en forma de tapas en algunos bares y restaurantes especialmente del Centro Histórico y del Puerto. Descubrir esta riquísima herencia gastronómica en platos como “les coques”, los salazones y el embutido es exquisito.
No olvidemos además la gran oferta en restaurantes de cocina internacional que podemos encontrar en la Playa del Arenal. Además, la población cuenta con una gran variedad de establecimientos de alta cocina que elaboran platos combinando productos locales con las más sofisticadas técnicas.
Una infinitat de sabors
La gastronomia és un dels grans atractius de Xàbia. Prova d'això són els nombrosos restaurants en què es poden degustar els plats principals de la cuina mediterrània, composta per peixos, mariscos i arrossos.
La rica tradició culinària local es conserva en tota la seua puresa en el si familiar i es pot degustar en forma de tapes en alguns bars i restaurants, especialment al Centre Històric i a Duanes de la Mar. Descobrir aquesta riquíssima herència gastronòmica en plats com les coques, les saladures i l'embotit és una exquisidesa.
No oblidem a més la gran oferta en restaurants de cuina internacional que podem trobar a la platja de l'Arenal. A més, la població compta amb una gran varietat d'establiments d'alta cuina que elaboren plats combinant productes locals amb les més sofisticades tècniques.
Además, una gran variedad de calas y playas salpican el litoral de norte a sur. Por un lado, la Playa del Arenal, que dispone de todo tipo de servicios, y, por otro lado, las pequeñas calas de aguas transparentes y cristalinas, donde se combinan piedra y roca y se dan cita la tranquilidad y la belleza natural del paisaje. Una red de espacios naturales con una vegetación frondosa y singular complementa la costa. Prevalece sobre el resto el macizo del Montgó que se eleva sobre el valle alcanzando una altura máxima de 753 metros sobre el nivel del mar.
A pesar de su altura modesta, su cercanía al mar causa un abrupto descenso y un importante impacto visual en el visitante. Nos encontramos ante una impresionante mole rocosa que parece surgir del mar y se eleva hasta el cielo acariciando las nubes que a menudo coronan su cima. Las características geológicas, la intrincada orografía y las particulares condiciones climáticas del Montgó determinan la existencia de una gran variedad de parajes.
Descubrir el Montgó y los espacios naturales de la Granadella y la Bahía del Portitxol es una experiencia que, además, se puede disfrutar a pie a través de una amplia red de senderos.
A més, una gran varietat de cales i platges esguiten el litoral de nord a sud. D'una banda, la platja de l'Arenal, que disposa de tot tipus de serveis, i, d'altra banda, les xicotetes cales d'aigües transparents i cristal·lines, on es combinen pedra i roca i s'ajunten la tranquil·litat i la bellesa natural del paisatge.
Una xarxa d'espais naturals amb una vegetació frondosa i singular complementa la costa. Hi preval el massís del Montgó, que s'eleva sobre la vall aconseguint una altura màxima de 753 metres sobre el nivell del mar. Malgrat la modesta alçada, la proximitat a la mar causa un abrupte descens i un important impacte visual en el visitant. Estem davant d'una impressionant mola rocosa que pareix sorgir de la mar i s'eleva fins al cel acariciant els núvols que sovint coronen el seu cim. Les característiques geològiques, la intricada orografia i les particulars condicions climàtiques del Montgó, hi determinen l'existència d'una gran varietat de paratges.
Descobrir el Montgó i els espais naturals de la Granadella i la Badia del Portitxol és una experiència que, a més, es pot disfrutar a peu a través d'una àmplia xarxa de sendes.
The beach is located in the heart of the city, making it easily accessible to both locals and tourists. The beach is known for its clear blue waters and fine sand, which make it an ideal spot for swimming, sunbathing, and water sports. There are also several restaurants and bars along the beachfront, offering a variety of food and drinks to suit all tastes.
In addition to the beach, there are several other attractions in the area that visitors can enjoy. The city has a rich cultural heritage, with many historic buildings and landmarks to explore. There are also several parks and gardens where visitors can relax and enjoy the natural beauty of the region.
Overall, the beach is a popular destination for those looking to escape the hustle and bustle of everyday life and enjoy some time by the sea. With its beautiful surroundings and range of activities on offer, it's no wonder that so many people choose to visit this picturesque location.
The sea is calm and blue, with gentle waves lapping against the shore. In the distance, a rocky cliff rises steeply from the water, its surface rugged and uneven. The sky above is a clear, vibrant blue, with only a few wispy clouds scattered across it. The overall scene is serene and peaceful, evoking a sense of tranquility and natural beauty.
The sun sets over a field of tall grass and rocks, casting a warm glow across the landscape.
The Rock of Gibraltar, a prominent feature of the British Overseas Territory of Gibraltar, is a limestone formation that rises dramatically from the Mediterranean Sea. The rock's unique geological composition and strategic location have made it an important site throughout history. Today, it continues to be a symbol of Gibraltar's resilience and identity.
A silhouette of a person standing on a rocky outcrop, with a natural archway framing the sunset over the ocean.
Un paseo por el puerto de Jávea
El Puerto -Aduanas del Mar- nació como barrio de pescadores pero con el tiempo se ha convertido en uno de los principales centros turísticos del municipio al amparo del puerto deportivo y de una pujante actividad del sector servicios. El conjunto arquitectónico combina la construcción moderna al abrigo del puerto con los antiguos arrabales de calles estrechas y sencillas casitas de pescadores encaladas y con voladizos de caña, hoy convertidos en uno de los lugares predilectos de ocio de esta zona del municipio. En medio de este barrio marinero se levanta, majestuosa, la vanguardista estructura de la iglesia de la Mare de Déu de Loreto. Sorprendentes son la altura, la imagen compacta y el riesgo arquitectónico de sus esbeltos tirantes que sustentan su cubierta en forma de barco, apreciable en todas sus magníficas dimensiones desde el interior sobrio, cuya luz cenital consigue a la perfección un ambiente de recogimiento y espiritualidad.
Un passeig pel Port de Xàbia
El Port -Duanes de la Mar- va nàixer com a barri de pescadors però amb el temps ha esdevingut un dels principals centres turístics del municipi a l'empar del port esportiu i d'una creixent activitat del sector serveis. El conjunt arquitectònic combina la construcció moderna a l'abric del port amb els antics ravals de carrers estrets i senzilles casetes de pescadors emblanquinades i amb volades de canya, hui convertites en un dels llocs predilectes d'oci d'aquesta zona. Enmig d'aquest barri mariner s'alça, majestuosa, l'avantguardista estructura de l'església de la Mare de Déu de Loreto. Sorprenents són l'altura, la imatge compacta i el risc arquitectònic dels seus esvelts tirants que sustenten la seua coberta en forma de vaixell, apreciable en totes les seues magnífiques dimensions des de l'interior sobri, la llum zenital de les quals aconsegueix a la perfecció un ambient de recer i espiritualitat.
La Alhambra, la ciudad de los Reyes Católicos y el Generalife, es un conjunto monumental que se encuentra en Granada, España. Fue declarado Patrimonio de la Humanidad por la UNESCO en 1984.
La Alhambra es un palacio y fortaleza que fue construido por los reyes nazaríes entre los siglos XIII y XIV. El palacio está compuesto por tres partes: el Palacio de Comares, el Palacio de los Leones y el Palacio de los Baños. La fortaleza, por otro lado, está compuesta por una serie de murallas y torres.
La Alhambra es famosa por su arquitectura mudéjar, que combina elementos árabes y cristianos. Los jardines del Generalife son también muy conocidos por su belleza y su tranquilidad.
La Alhambra es un lugar imprescindible para visitar en Granada, ya que ofrece una experiencia única y fascinante.
Sunset over the sea with a mountain in the background.
A diferencia de muchos otros destinos turísticos, Jávea está configurada por tres núcleos de población: el Centro Histórico, el Puerto o Aduanas del Mar y el Arenal. Estos tres cascos, diferentes y a la vez complementarios entre sí, son un ejemplo de la amplia oferta turística del municipio.
A diferència de moltes altres destinacions turístiques, Xàbia està configurada per tres nuclis de població: el Centre Històric, el Port o Duanes de la Mar i l'Arenal. Aquests tres concentracions urbanes, diferents i alhora complementàries entre si, són un exemple de la ingent oferta turística del municipi.
Recorreguts urbans
El paseo por la zona portuaria se convierte en un verdadero deleite si se aprovecha la hora de la subasta del pescado, que coincide con la caída de la tarde y de la llegada al muelle de los barcos pesqueros, acompañados de las siempre bulliciosas gaviotas. En las estribaciones del Cap de Sant Antoni se percibe una especial luminosidad y unos atardeceres que invitan a contemplar una y otra vez este paisaje marinero.
El passeig per la zona portuària es converteix en un verdader goig si s'aprofita l'hora de la subhasta del peix, que coincideix amb la caiguda de la vesprada i de l'arribada al moll de les embarcacions pesqueres, acompanyades de les sempre escamoses gavines. En els contraforts del Cap de Sant Antoni es percep una especial lluminositat i uns capvespres que conviden a contemplar una vegada i una altra aquest paisatge mariner.
Jávea, motivo de fiesta
Jávea ofrece un amplio abanico de celebraciones ligadas a las tradiciones marineras y mediterráneas. Festejos religiosos y civiles serpentean el calendario festivo con un denominador común: la participación del pueblo que aprovecha para exhibir su carácter abierto y extrovertido.
Destacan las fiestas de Jesús Nazareno a finales de abril y principios de mayo, les Fogueres de Sant Joan en junio, los desfiles de Moros y Cristianos en julio y las fiestas de la Mare de Déu de Loreto en septiembre. El resto del año diferentes celebraciones, actos culturales y eventos populares animan la vida de esta acogedora población.
Xàbia, motiu de festa
Xàbia ofereix un ampli ventall de celebracions lligades a les tradicions marinera i mediterrània. Festejos religiosos i civils serpentejen el calendari festiu amb un denominador comú: la participació del poble que hi aprofita per a exhibir el seu caràcter obert i extravertit.
Destaquen les festes de Jesús Natzaré a finals d'abril i principis de maig, les Fogueres de Sant Joan a juny, les desfilades de Moros i Cristians a juliol i les festes de la Mare de Déu de Loreto a setembre. La resta de l'any diverses celebracions, actes culturals i esdeveniments populars animen la vida d'aquesta acollidora població.
Fireworks light up the night sky over the harbor, creating a spectacular display of colors and light.
Oficines de Turisme Xàbia
TOURIST INFO XÀBIA CENTRE.
Pl. Esglesia, 4
firstname.lastname@example.org
Telf. 965794356–Fax. 965796317
TOURIST – INFO XÀBIA PORT.
PL. Almirante Bastarreche, ll.
email@example.com
Telf. 965790736–Fax. 965796057
TOURIST – INFO XÀBIA ARENAL.
Ctr. Cabo La Nao, Urb. La Plaza. Playa del Arenal.
firstname.lastname@example.org
Telf. 966460605–Fax. 965796258
Disseny: Tintoreria
Impressió: Imprenta Botella
Fotos: Departament Turisme
Traducció text: César Palazuelos
Edició 2010
Jávea
Valencia
Aeropuerto Manises
Alicante
Aeropuerto El Altet
Madrid
Aeropuerto Barajas
PORTUGAL
FRANCIA
MAR MEDITERRÁNEO
The cave is located on the coast, offering stunning views of the sea and cliffs.
|
VEER SURENDRA SAI UNIVERSITY OF TECHNOLOGY BURLA, ODISHA,
DEPARTMENT OF PRODUCTION ENGINEERING
Lecture Notes on
NON-TRADITIONAL MACHINING (NTM) COURSE CODE: BMS 401
7th Semester B. Tech in Production Engineering
MOODULE- I
Introduction: Need for Non-Traditional Machining, Classification, Process Selection
Ultrasonic Machining: Principle, Transducer, Magnetostrictive material, Analysis for material removal rate by Shaw, Effect of process parameters, Application.
1.1 INTRODUCTION
The industries always face problems in manufacturing of components because of several reasons. This may be because of the complexity of the job profile or may be due to surface requirements with higher accuracy and surface finish or due to the strength of the materials.
In the early stage of mankind, tools were made of stone for the item being made. When iron tools were invented, desirable metals and more sophisticated articles could be produced. In twentieth century products were made from the most durable and consequently, the most un-Machinable materials. In an effort to meet the manufacturing challenges created by these materials, tools have now evolved to include materials such as alloy steel, carbide, diamond and ceramics. A similar evolution has taken place with the methods used to power our tools. Initially, tools were powered by muscles; either human or animal. However as the powers of water, wind, steam and electricity were harnessed, mankind was able to further extend manufacturing capabilities with new machines, greater accuracy and faster machining rates.
Every time new tools, tool materials, and power sources are utilized, the efficiency and capabilities of manufacturers are greatly enhanced. Since 1940’s, a revolution in manufacturing has been taking place that once again allows manufacturers to meet the demands imposed by increasingly sophisticated designs and durable but in many cases nearly unmachinable, materials.
In the above figure Merchant had displayed the gradual increase in strength of material with year-wise development of material in aerospace industry. This manufacturing revolution is now, as it has been in the past, centered on the use of new tools and new forms of energy. The result has been the introduction of new manufacturing processes used for material removal, forming and joining, known today as non-traditional manufacturing processes.
Non-traditional manufacturing processes harness energy sources considered unconventional by yesterday’s standards. Material removal can now be accomplished with electrochemical reaction, high temperature plasmas and high-velocity jets of liquids and abrasives. Materials that in the past have been extremely difficult to form, are now formed with magnetic fields, explosives and the shock waves from powerful electric sparks. Material-joining capabilities have been expanded with the use of high-frequency sound waves and beams of electrons and coherent light. During the last 55 years, over 20 different non-traditional manufacturing processes have been invented and successfully implemented into production.
1.2 CLASSIFICATION OF UNCONVENTIONAL MANUFACTURING PROCESSES
The non-conventional manufacturing processes are not affected by hardness, toughness or brittleness of material and can produce any intricate shape on any workpiece material by suitable control over the various physical parameters of the processes.
The non-conventional manufacturing processes may be classified on the basis of type of energy namely, mechanical, electrical, chemical, thermal or magnetic, apply to the workpiece directly and have the desired shape transformation or material removal from the work surface by using different scientific mechanism.
Thus, these non-conventional processes can be classified into various groups according to the basic requirements which are as follows:
(i) Type of energy required, namely, mechanical, electrical, chemical etc.
(ii) Basic mechanism involved in the processes, like erosion, ionic dissolution, vaporisation etc.
(iii) Source of immediate energy required for material removal, namely, hydrostatic pressure, high current density, high voltage, ionised material, etc.
(iv) Medium for transfer of those energies, like high velocity particles, electrolyte, electron, hot gases, etc. On the basis of above requirements, the various processes may be classified as shown.
Non-conventional manufacturing processes
| Energy type | Mechanical | Electro-chemical | Chemical | Thermo-electrical |
|-------------|------------|------------------|----------|-------------------|
| Basic mechanism | Shear | Erosion | Ion displacement | Ablative action | Vaporisation | Fusion | Ionised material |
| Source of immediate energy | Cutting tool | Pneumatic or hydraulic pressure | High current | Chemically reactive agent | High voltage amplified light | Electron Radiation | Hot gases |
| Transfer energy medium | Physical contact | High velocity particles | Electrolyte | Environment | |
| Processes | Mechanical contour grinding | Whirling jet machining | Chemical etching | Chemical hot chlorine machining | Laser beam machining | Electron beam machining | Ion beam machining | Plasma arc machining |
In these processes, as the machining mechanisms are quite different from each other shown in the figure below, the controlling parameters for machining differ from each other.
1.3 COMPARATIVE ANALYSIS OF UNCONVENTIONAL MANUFACTURING PROCESSES
A comparative analysis of the various unconventional manufacturing processes should be made so that a guide-line may be drawn to find the suitability of application of different processes. A particular manufacturing process found suitable under the given conditions may not be equally efficient under other conditions. Therefore, a careful selection of the process for a given manufacturing problem is essential. The analysis has been made from the point of view of
(i) Physical parameters involved in the processes;
(ii) Capability of machining different shapes of work material;
(iii) Applicability of different processes to various types of material, e.g. metals, alloys and non-metals;
(iv) Operational characteristics of manufacturing
(v) Economics involved in the various processes.
1.3.1 Physical parameters
The physical parameters of non-conventional machining processes have a direct impact on the metal removal as well as on the energy consumed in different processes. (Table 1.2)
| Parameters | USM | AJM | ECM | CHM | EDM | EBM | LBM | PAM |
|------------------|---------|---------|---------|---------|---------|---------|---------|---------|
| Potential (V) | 220 | 220 | 10 | — | 45 | 150000 | 4500 | 100 |
| Current (Amp) | 12 (A.C.) | 1.0 | 10000 (D.C.) | — | 50 (Pulsed D.C.) | 0.001 (Pulsed D.C.) | 2 (Average 200 Peak) | 500 (D.C.) |
| Power (W) | 2400 | 220 | 100000 | — | 2700 | 150 | — | 50000 |
| Gap (m.m.) | 0.25 | 0.75 | 0.20 | — | 0.025 | 100 | 150 | 7.5 |
| Medium | Abrasive in water | Abrasive in gas | Electrolyte | Liquid chemical | Liquid dielectric | Vacumm | Air | Argon or hydrogen |
From a comparative study of the effect of metal removal rate on the power consumed by various non-conventional machining processes shown in figure below.
It is found that some of the processes (e.g. EBM, ECM) above the mean power consumption line consume a greater amount of power than the processes (e.g. EDM, PAM, ECG) below the mean power consumption line. Thus, the capital cost involved in the processes (EBM, ECM etc.) lying above the mean line is high whereas for the processes below that line (e.g., EDM, PAM, MCG) is comparatively low.
### 1.3.2 Capability to shape
The capability of different processes can be analysed on the basis of various machining operation point of view such as micro-drilling, drilling, cavity sinking, pocketing (shallow and deep), contouring a surface, through cutting (shallow and deep) etc.
**TABLE 1.3. Shape Application of Non-conventional Processes**
| Process | Holes | Trough cavities | Surfacing | Trough cutting |
|---------|-------|-----------------|-----------|---------------|
| | Precision small holes | Standard | Precision standard | Double contouring | Surface of revolution | Shallow deep |
| | Dia < .025 mm | Dia > .025 mm | Length < 20 mm | Length > 20 mm | | |
| USM | — | — | good | poor | good | poor | — | poor |
| AJM | — | — | fair | poor | fair | — | — | good |
| ECM | — | — | good | good | good | good | fair | good |
| CHM | fair | fair | — | — | poor | — | — | good |
| EDM | — | — | good | fair | fair | — | — | poor |
| LBM | good | — | fair | poor | poor | — | — | good |
| PAM | — | — | fair | — | poor | — | fair | good |
---
**Figure:** Effect of metal removal rate on power consumption.
For micro-drilling operation, the only process which has good capability to micro drill is laser beam machining while for drilling shapes having slenderness ratio L/D < 20 the process USM, ECM and EDM will be most suitable. EDM and ECM processes have good capability to make pocketing operation (shallow or deep). For surface contouring operation, ECM process is most suitable but other processes except EDM have no application for contouring operation.
1.3.3 Applicability to materials
Materials applications of the various machining methods are summarised in the table 1.4 and table 1.5. For the machining of electrically non-conducting materials, both ECM and EDM are unsuitable, whereas the mechanical methods can achieve the desired results.
**TABLE 1.4**
| Process | Aluminium | Steel | Super alloy | Titanium | Refractory material |
|---------|-----------|-------|-------------|----------|---------------------|
| USM | Poor | Fair | Poor | Fair | Good |
| AJM | Fair | Fair | Good | Fair | Good |
| ECM | Fair | Good | Good | Fair | Fair |
| CHM | Good | Good | Fair | Fair | Poor |
| EDM | Fair | Good | Good | Good | Good |
| EBM | Fair | Fair | Fair | Fair | Good |
| LBM | Fair | Fair | Fair | Fair | Poor |
| PAM | Good | Good | Good | Fair | Poor |
USM is suitable for machining of refractory type of material while AJM are for super alloys and refractory materials.
**TABLE 1.5**
| Process | Ceramics | Plastic | Glass |
|---------|----------|---------|-------|
| USM | Good | Fair | Good |
| AJM | Good | Fair | Good |
| ECM | — | — | — |
| CHM | Poor | Poor | Fair |
| EDM | — | — | — |
| EBM | Good | Fair | Fair |
| LBM | Good | Fair | Fair |
| PAM | — | Poor | — |
1.3.4 Machining characteristics
The machining characteristics of different non-conventional processes can be analysed with respect to
(i) Metal removal rate
(ii) Tolerance maintained
(iii) Surface finish obtained
(iv) Depth of surface damage
(v) Power required for machining
The process capabilities of non-conventional manufacturing processes have been compared in table 1.6. The metal removal rates by ECM and PAM are respectively one-fourth and 1.25 times that of conventional whereas others are only a small fractions of it. Power requirement of ECM and PAM is also very high when compared with other non-conventional machining processes. This involves higher capital cost for those processes. ECM has very low tool wear rate but it has certain fairly serious problems regarding the contamination of the electrolyte used and the corrosion of machine parts. The surface finish and tolerance obtained by various processes except PAM is satisfactory.
| Process | MRR (mm$^3$/min) | Tolerance ($\mu$) | Surface ($\mu$) CLA | Depth of surface damage ($\mu$) | Power (watts) |
|---------------|------------------|-------------------|---------------------|---------------------------------|---------------|
| USM | 300 | 7.5 | 0.2–0.5 | 25 | 2400 |
| AJM | 0.8 | 50 | 0.5–1.2 | 2.5 | 250 |
| ECM | 15000 | 50 | 0.1–2.5 | 5.0 | 100000 |
| CHM | 15 | 50 | 0.5–2.5 | 50 | — |
| EDM | 800 | 15 | 0.2–1.2 | 125 | 2700 |
| EBM | 1.6 | 25 | 0.5–2.5 | 250 | 150 (average) |
| | | | | | 2000 (peak) |
| LBM | 0.1 | 25 | 0.5–1.2 | 125 | 2 (average) |
| PAM | 75000 | 125 | Rough | 500 | 50000 |
| Conventional | 50000 | 50 | 0.5–5.0 | 25 | 3000 |
| machining | | | | | |
1.3.5 Economics of the processes
The economics of the various processes are analysed on the basis of following factors and given in Table 1.7.
Capital cost, Tooling cost Consumed power cost, Metal removal rate efficiency Tool wear.
| Process | Capital cost | Tooling cost | Power consumption cost | Material removal rate efficiency | Tool wear |
|---------|--------------|--------------|------------------------|---------------------------------|-----------|
| USM | L | L | L | H | M |
| AJM | VL | L | L | H | L |
| ECM | VH | M | M | L | VL |
| CHM | M | L | H* | M | VL |
| EDM | M | H | L | H | H |
| EBM | H | L | L | VH | VL |
| LBM | L | L | VL | VH | VL |
| PAM | VL | L | VL | VL | VL |
| MCG | L | L | L | VL | L |
* indicates cost of chemicals.
The capital cost of ECM is very high when compared with traditional mechanical contour grinding and other non-conventional machining processes whereas capital costs for AJM and PAM are comparatively low. EDM has got higher tooling cost than other machining processes. Power consumption is very low for PAM and LBM processes whereas it is greater in case of ECM. The metal removal efficiency is very high for EBM and LBM than for other processes. In conclusion, the suitability of application of any of the processes is dependent upon various factors and must be considered all or some of them before applying non-conventional processes.
2.1 PROCESS
This is also an impact erosion process to machine materials where the work material is removed by repetitive impact of abrasive particles carried in a liquid medium in the form of slurry under the action of a ‘shaped’ vibrating tool attached to a vibrating mechanical system "Horn". The word ‘shaped’ explains that the process is capable of producing 3D, profiles corresponding to the tool shape. Basic scheme is as shown in Fig. 2.1.
3.2 WORKING PRINCIPLE
The working principle is schematically shown in Fig. 2.2, where a shaped tool is given a mechanical vibration. This vibration causes the abrasive particles in the slurry to hammer against a stationary work piece to cause micro-indentations to initiate fracture in work material, observed as stock removal of the latter. The abrasives outside the domain of the tool remain inactive and so the removal process is an impact form machining process. The machined surface is approximately the inverse profile of the tool form. The machining rate is mainly dependent on the amplitude and frequency of impact.
The range of particle size used in the process generally lies between 10 and 150 microns, the amplitude of vibration is selected between 5 and 75 microns. The removal rate of material is also dependent on the rate at which the abrasive particles are hammered, i.e. the frequency of operation. Higher the frequency of operation better is the material removal rate. Higher frequency has some adverse effect on human being in shop floor. However, higher frequency of about 430 KHz was tried to produce vigorous agitation in the liquid, which in turn affected stray cutting effects on the work piece, whereas lower frequency does not have this effect. But higher frequency is utilised effectively to grind small parts.
Ultrasonic machining of hard materials in classified into two groups:
1. Working with freely directed abrasives using high frequency (grinding).
2. Precision ultrasonic machining under the purview of present deliberation.
The much more safer zone of ultrasonic machining is between 19 kHz and 25 KHz. So, the tool is to be vibrated with an amplitude of vibration of 5 to 75 microns at a frequency between 19 and 25 kHz.
Abrasive in a slurry form is more effective compared to abrasives in loose form, since the liquid would help removal of material due to cavitation effect during return stroke of the tool. Moreover, the liquid will help evenly distribution abrasive particles into the working gap.
Vibration to the tool is imparted from a transducer (Fig. 3.2) which is energised by a electronic generator. The transducer converts the electrical energy to mechanical vibration whose frequency corresponds to the electrical supply frequency.
Since the vibration amplitude achievable from the transducer generally does not exceed 3 to 5 microns., it needs to be amplified on the principle of mechanical resonance by the concentrator (velocity transformer), between. The transducer and tool. This connector also serves as the tool holder. It has amplitude of vibration at about 3 to 5 micron corresponding to the transducer at one end required vibration amplitude of about 5 to 75 microns at tool end. The transducer along with the concentrator and tool is known as "ACOUSTIC HEAD"
Hence working principle of the machine tool will depend on:
Transducer : Type of material and its operational characteristics.
Concentrator : Shape, material property.
Tool : Material, shape and wear rate.
Abrasive slurry: Material, shape and size.
Operating parameters: Frequency, amplitude of vibration, static load.
Others: Mounting, feed mechanism, working temperature, etc.
The cutting process employs the mechanical vibration of the tool. The process cannot be of high efficiency unless most of the input electrical energy to the transducer and the resulting mechanical energy thus produced in the vibrator (horn) suffers minimum losses. And thereby the energy transmitted to the working zone and via the vibrator itself is dependent on the load to which it is coupled. The maximum efficiency is obtained by a proper matching of the two; the transducer and the vibrator.
Major working parts of this machine is the acoustic head (Fig. 3.3). The main function of this is to produce and propagate vibration in the tool. Energy is being drawn from the generator in electrical form and is converted to mechanical form either by of Piezoelectric or Magnetostriction method.
Though the former is easier for design, yet due to its non-availability, latter has been tried. The periodical shortening and lengthening of the transducer in synchronism with the generator frequency initiates the vibration. The inadequacy of this amplitude of vibration necessitates the use of a concentrator (Horn). The concentrator is simply a convergent wave-guide for designed amplitude at its far end. The two together form the vibrating system.
**Fig. 3.3 Scheme of Acoustic Head.**
vibrator is made resonating to obtain sufficient amplitude. The length of propagation is made half-wavelength (or occasionally a multiple of this). The concentrator becomes a
volume resonator tuned to the same frequency which produces best condition for maximum power transfer.
There is always a second channel for the energy to dissipate as waste through the holder 6 and the fixed part 6 of the feed-mechanism. To minimise the loss it is advisable to fix the holder at any nodal point of the vibrating system. From the above considerations it is seen that proper care must be taken while designing the different accessories of the machine in order to achieve maximum attainable efficiency of the machine.
3.2.1 Magnetostrictive transducers
There are some materials which exhibit change in dimension when they are magnetised. This property is known as magnetostriction or piezomagnetism. The change can be either positive or negative in a direction parallel to the magnetic field and is also independent of the direction of magnetic field.
Magnetostriction can be explained in terms of Domain theory. Domains are very small elements of material in the order of $10^{-8} - 10^{-9}$ cm$^3$, called as dipoles. The forces cause the magnetic moments of the atoms to orient in a direction easier for magnetisation, coinciding with the directions of the crystallographic axes. In the cubic-lattice crystals (ferromagnetic) like iron and nickel there are six directions of easier magnetostriction. During unmagnetised condition all these axes remain in equal number causing the magnetic moment order less and unoriented domains, compensate one another. Under sufficient magnetic field, the magnetic dipoles (domains) orient themselves in the direction of magnetic field. This causes the material either to expand or contract till all the magnetic domains become parallel (magnetically saturated). When the material expands on the application magnetic field irrespective of its direction is called as positive-magnetostriction and similarly for negative- magnetostriction when it contracts.
Thus the strain produced (positive or negative) i.e. $\Delta l / l$ is very small of the order of $10^{-6}$ to $10^{-5}$. The magnetostrictive curves for few commonly used materials are shown in Fig. 3.4 (a).
It is observed that most of the material exhibits positive-striction but for nickel it is negative. Some materials like iron and cast cobalt exhibit dual characters i.e. below about 350 Oersted of field intensity they behave positive and above that their properties reverse.
Practical materials, iron-cobalt, iron-aluminium (Alfer), and nickel have the highest magnetostriction. An alloy of platinum (32%) and iron (68%) has exhibited highest magnetostriction of all ($\Delta l / l = 1.8 \times 10^{-4}$) but of no use in practice for its high cost.
However, the property deteriorates at higher temperature and completely ceases above Curie-temperature of individual material. So consideration is to be provided while designing and developing the cooling system for magnetostrictive transducers, otherwise the natural frequency of the magnetostrictive core may change to detain the system from resonance.
Iron-aluminium alloy, Alfer displays similar magnetostriction as Nickel but owing to its higher resistivity its hysteresis loss is lower. Moreover, Alfter is stronger mechanically than nickel. Permendur has a special feature of high brittleness, cracks are to be avoided after stamping and should not be subjected to shocks or bending after annealing. It has got higher hysteresis loss than Alfer.
The magnetic properties of rolled sheets of magnetostrictive materials are anisotropic, particularly Permendur in the rolling direction and least in the perpendicular direction. Therefore, sheets cut at 45° to the rolling direction are best for making transducers.
3.2.2 Transducer Amplifications
Piezoelectric or Electrostrictive transducer developed so are for very high frequency application because of its growth size. If it is required to use this type of transducers with large radiating surface or at low frequency, it runs into difficulties since in the first case it is to obtain large enough crystals or manufacture large enough crystals units and in the second case similar considerations apply along with the fact that the radiation impedance becomes extremely high so that matching of the transducer to the generator becomes impossible. Both the difficulties may be overcome by using a sandwich transducers which consists of piece or pieces of transducer.
Fig. 3.4 Magnetostrictive Property of some Materials
materials cemented between two plates of non-piezoelectric materials. Using several pieces of transducer materials side by side the radiating surface can also be increased. Since the complete sandwich system (Fig. 3.3a) now form the resonating system, the operating frequency comes down mismatching with discrete transducer materials resonant frequency. However, this type of transducers are preferred for low power applications of ultrasonic machining and good quality factors are not achievable by these types of transducer. For high power applications (intensity > 0.5 watt/cm$^2$) the performance is not satisfactory. For very high power (above about 500 watt) the cost also becomes very high. For better quality and cheaper transducers, magnetostrictive types are preferred.
Magnetostrictive transducers are used in nearly all good quality ultrasonic machine tools. Their advantages are their high efficiency, easier manufacturability and higher reliability in the range of 15-30 kHz. It also needs cooperatively very low voltage supply. Unlike previous type of transducers, this type of transducer requires a closed magnetic path, hence a window type (Fig. 3.5) transducer is commonly preferred.
A magnetostrictive material in an alternating field vibrates at twice the frequency of field (frequency doubling) as follows from the symmetry of the magnetostrictive curve (Fig. 3.4b). Besides this the amplitude of mechanical vibration is small since the slope near zero magnetic field is very small. The system becomes non-linear and increases loss. All these undesired qualities are removed by shifting the excitation to one side of the linear portion of the electrostriction curve, i.e. by providing a steady field or a biasing magnetization. So a steady field superimposed on the alternating field would provide a steady undistorted and matched frequency mechanical vibration is obtained from the transducer (but with $180^\circ$ out of phase).
Whatever type of transducers may be used, the losses in them are kept to minimum when the amplitude of vibrations are limited not to exceed 3-5 microns.
Since the required level of vibration at the tool end is more, the transducer vibration needs to be amplified many fold. This is done by means of the concentrator or the resonator which is nothing but a mechanical amplifier.
3.2.3 Concentrator
The concentrator provides the link between the transducer and tool and its main function is to amplify the amplitude of vibration as per requirements. This is also achieved through the principle of resonance (Fig. 3.2). If a proper length of any material whose natural frequency $\omega$ matches with the excitation frequency $\omega_0$ with amplitude $x_0$, then at resonance, i.e. at $\omega / \omega_0 = 1$ the ratio $x / x_0$ increases, if it is not critically damped.
Now if a straight rod, preferably of a ductile material (Fig. 3.2) is chosen with length equal to its half wavelength of sound and allowed to resonate the free ends will vibrate with an amplitude $x > x_0$. The point will be at the center of the rod, i.e. at $0^\circ$. But then the end which will be connected to the exciter, i.e. the transducer, will suffer from amplitude mismatch which does not allow the system to work smoothly.
If a taper rod is chosen in place (Fig. 3.3b) then the nodal point will be shifted from point 0 to 0' because change of center of mass, shifted towards the larger end. This provides the smaller and to vibrate at higher amplitude $x$ while the larger and is at $x_0$ to match comfortably with the transducer. Thus a gain in amplification is achieved for amplitude of vibration and for this reason the concentrator, sometimes, is called as a mechanical amplifier or resonator and because of its taper shape and amplification, commonly known as a ‘HORN’.
3.2.4 Nodal Point Clamping
Method of fixing the vibratory system as discussed earlier (consisting of transducer, horn and tool) to form the acoustic head is of very importance. It should be done in such a way that it makes a rigid system without enough loss in the mounting, so it has to be damped at the nodal points. Otherwise, losses are increased and fatigue failure is inhabitable. The dampening at nodal point at the transducer is not permitted because of electrical supplies and hence clamped at other nodal points are maintained as shown in Fig. 3.3.
3.2.5 Feed Mechanism
Feed system is to apply the static load between the tool and work piece during machining operation. The precision and sensitivity are of high importance. Feed may either be given to the acoustic had or to the work-piece as per the designer’s choice, but in general, the feed motion is given the acoustic head so as to permit x-y positioning facility to the work piece (Fig. 3.6). In the figure (a) and (b) are for gravity feed devices where counter weights are used to apply the load to the head though a pulley and lever device respectively. In
(c), a spring loaded system is shown; for high feed rate conditions either pneumatic or hydraulic system as shown in (d) may be preferred.
3.3 SELECTION OF PROCESS
Selection of the tool for particular profile generation are to be made from the material of the work-piece, tool and the abrasives used responsible for different types of wear occurring on the tool which is schematically explained in the Fig. 3.7.
The application and performances are given in Table 3.1.
Table 3.1 Typical Performance Characteristics (Obtained from a 700 W USM with a cold rolled steel and 32 micron boron carbide abrasive)
| Material | Ratio of MRR to TWR | Max. machining area (cm²) | Average penetration rate (mm/min) |
|---------------------------|---------------------|---------------------------|----------------------------------|
| Glass | 100: 1 | 25.8 | 3.81 |
| Ceramic | 75: 1 | 19.4 | 1.51 |
| Germanium | 100 :: 1 | 22.6 | 2.16 |
| WC | 1.5 :: 1 | 7.7 | 0.25 |
| Tool Steel | 1 :: 1 | 5.6 | 0.13 |
| Mother of Pearl | 100 : 1 | 25.8 | 3.81 |
| Synthetic Ruby | 2 : 1 | 5.6 | 0.51 |
| Carbon-graphite | 100 : 1 | 19.4 | 2.00 |
| Ferrite | 100 : 1 | 22.6 | 3.18 |
| Quartz | 50 : 1 | 19.4 | 1.65 |
| B₄C | 2 : 1 | 5.6 | 0.20 |
| Glass bonded mica | 100 : 1 | 22.6 | 3.18 |
3.4 MATERIAL REMOVAL RATE (MRR)
3.4.1 An Empirical Approach
This method is adopted in practice when the theory of analysis for MRR is not known. In this approach let us consider the following parameters that influence MRR:
(i) Abrasive grit (R).
(ii) Packing density (\(\eta\)), i.e. how closely the abrasives are packed in the slurry.
(iii) Amplitude of vibration \((y_0)\) of the tool.
(iv) Frequency of vibration \((f)\) or angular frequency \((\omega)\) of the tool; \((\omega = 2\mu f)\).
(v) Stress \((\sigma)\) developed in the tool.
(vi) Hardness \((H)\) of the work material.
Hence MRR can be expressed as a combined function of the above parameters as:
\[ MRR = \theta(say) = \phi(R, \eta, y_0, f, \sigma, H) \]
(3.1)
To get the relation experimentally one must go through dimensionless parameters generated out of these variables
\[ \left[ \frac{Y}{Y_0 f} \right], \left[ \frac{Y_0}{R} \right], \left[ \frac{\sigma}{H} \right] \text{ and } [YI] \]
Fig. 3.7 USM Operating Terminology
Keeping \([Y_0 / R]\) and \([\eta]\) constant one must plot the relation between \([\vartheta / Y_0 R]\) and \([\sigma / H]\) as given below (say, but actually seen in experiments). This is done under a constant static load and slurry conditions. MRR observed for varying work hardness \(H\) and the experiment is repeated for different values of \(Y_0\). The curves are generally non-linear, so assuming first order non-linearity the log-log plot is given as (Fig. 3.8):
From the curves intercept [C] against \([Y_0 / R]\) we get
\[
\log \left[ \frac{\vartheta}{Y_0 R} \right] = n \log \left[ \frac{\sigma}{H} \right] + \log C
\]
\[\begin{align*}
\text{Increasing} & \\
\left[ \frac{v}{y_0 f} \right] & \\
\left[ \frac{Y_0}{R} \right] & \\
\left[ \frac{\sigma}{H} \right] & \\
\end{align*}\]
\[\begin{align*}
\text{Increasing} & \\
\log \left[ \frac{v}{y_0 f} \right] & \\
\left[ \frac{Y_0}{R} \right] & \\
\log \left[ \frac{\sigma}{H} \right] & \\
\end{align*}\]
\[\begin{align*}
[C] & \\
\eta & \\
\text{Slope} = m & \\
\left[ \frac{Y_0}{R} \right] & \\
\end{align*}\]
Fig. 3.8 Effect of Operating Parameters on MRR
or \[ \left[ \frac{\vartheta}{Y_0 f} \right] = C \left( \frac{\sigma}{H} \right)^n \] (3.2)
Now, the curves intercept [C] is plotted against [Y₀/R] to get their relations.
This procedure may be conducted for different packing density (\(\eta\)) as follows. Hence relation of \(C\) with \((Y_0/R)\) can be written (Fig. 3.8) as:
\[ C = K(\eta) \left( \frac{Y_0}{R} \right) \] (3.3)
where \(K\) is a function. Rewriting eq. 3.2, we get
\[ \frac{\vartheta}{Y_0 f} = K(\eta) \left( \frac{Y_0}{R} \right) \left( \frac{\sigma}{H} \right)^n \]
\[ = K_1 \left( \frac{Y_0}{R} \right) \left( \frac{\sigma}{H} \right)^n \]
or \[ \vartheta = K_1 \left( \frac{Y_0^2}{R} \right) \left( \frac{\sigma}{H} \right)^n . f \] (3.4)
where \(K_1 =\) is a constant.
3.4.2 An Analytic Approach (Cook’s Model)
This model is based on the brittle fracture of the work materials and under following assumptions:
(i) The abrasive grits are spherical in nature.
(ii) Material removal (Fig. 3.9) is based on hemispherical fracture mechanism due to the indentation.
(iii) Tool and abrasive are rigid.
If $R$ is the radius of the abrasive grit (average), $r =$ radius of circular indentation and $H$ the hardness of work material, then the volume of the material removed per impact $t$) is given by (Fig. 3.10):
$$\vartheta = \frac{1}{2} \left( \frac{4}{3} \pi r^3 \right) = \frac{2}{3} \pi r^3$$
(3.5)
Hence MRR/grit = $\vartheta . f = \frac{2}{3} \pi r^3 f$
(3.6)
where, $f =$ frequency of operation.
From the geometry of above figure, substituting the value of $r$, eq. 3.6 can be rewritten as:
$$\text{MRR/grit} = \frac{2}{3} \pi (2R\delta)^{3/2} f$$
(3.7)
If there are $N$ number of grits per unit area, then total
\[
MRR = \frac{2}{3} \pi (2R\delta)^{3/2} N f
\]
(3.8)
Since the abrasives are not of same size to create actual indentation depth 5 and number of abrasive particles per unit area are unpredictable, it becomes difficult to find the actual MRR. To eliminate these two terms, a force analysis is to be done as these are two contributing factors for forces on both tool and work. Figure 3.11 shows how the indentation will vary with movement of tool.
Actually, the force generated on the tool, and work due to a grit, is because of the tool movement from $\theta_1$ to $\pi / 2$. Hence, the average force per grit is given by
\[
2\pi P_{avg} = \int_{\theta_1}^{\pi/2} P d\theta
\]
(3.9)
where $P =$ instantaneous force due to $\delta$ penetration.
But $P = \pi r^2 H = \pi 2R\delta H = K\delta$
where, $k = 2\pi RH$ is a constant, and
$\delta = y - y_1 = Y_0 \sin \theta - Y_0 \sin \theta_1$
(assuming a sinusoidal vibration of the tool).
So, $2\pi P_{avg} = \int_{\theta_1}^{\pi/2} (Y_0 \sin \theta - Y_0 \sin \theta_1) d\theta$
or \[ \frac{2\pi P_{avg}}{KY_0} = \int_{\theta_i}^{\pi/2} (\sin \theta - \sin \theta_i, \theta) d\theta = [-\cos \theta - \sin \theta_i, \theta]_{\theta_i}^{\pi/2} \]
or \[ \frac{2\pi P_{avg}}{KY_0} = \left[ \cos \theta_i - \sin \theta_i \left( \frac{\pi}{2} - \theta_i \right) \right] \] (3.10)
Now, right hand side of the expression is a function of 0., i.e.:
\[ \phi(\theta_i) = \cos \theta_i - \sin \theta_i \left( \frac{\pi}{2} - \theta_i \right) \]
Here \( \phi(\theta_i) \) is a mathematical function and can be solved numerically. Again, maximum indentation \( \delta_{\text{max}} \) is given by
\[ \delta_{\text{max}} = Y_0 - y_1 = Y_0 (1 - \sin \theta_i) \]
\[ \sin \theta_i = 1 - \left[ \frac{\delta_{\text{max}}}{Y_0} \right] \]
or \[ \theta_i = \sin^{-1} \left[ 1 - \frac{\delta_{\text{max}}}{Y_0} \right] \theta_i = \sin^{-1} \left[ 1 - \frac{\delta_{\text{max}}}{Y_0} \right] \] (3.11)
Assume different ratios of \( \left( \frac{\delta_{\text{max}}}{Y_0} \right) \) to obtain values of \( \theta_i \), to calculate the values of \( \phi(\theta_i) \). If plotted as in Fig. 3.12, it will give a relation between \( \phi(\theta_i) \) and \( \left( \frac{\delta_{\text{max}}}{Y_0} \right) \) as:
\[ \phi(\theta_i) = \left( \frac{\delta_{\text{max}}}{Y_0} \right)^{3/2} \]
Hence, \[ \frac{2\pi P_{avg}}{KY_0} = \left( \frac{\delta_{\text{max}}}{Y_0} \right)^{3/2} \] (3.12)
Now, consider the reaction forces on the tool. If the stress developed in the tool is \( \sigma \) due to the impacts, then average force per grit,
\[ P_{avg} = \sigma / N \]
Substituting above value in eq. 3.12
\[ \frac{2\pi \sigma}{KY_0 N} = \left( \frac{\delta_{\text{max}}}{Y_0} \right)^{3/2} \]
or \[ N = \frac{2\pi \sigma}{2\pi RH Y_0} \left( \frac{Y_0}{\delta_{\text{max}}} \right)^{3/2} = \frac{\sigma}{RH} \frac{Y_0^{1/2}}{\delta_{\text{max}}^{3/2}} \] (3.13)
Total MRR is obtained by substituting the value of \( N \) in eq. 3.8 and rearranging as
\[ \text{MRR} = 5.9 R^{1/2} Y_0^{1/2} \left( \frac{\sigma}{H} \right) f \text{ mm/sec} \] (3.14)
where \( R \) and \( Y_0 \) are in mm.
or \[ \text{MRR} = 4.17 D^{1/2} Y_0^{1/2} Y_0^{1/2} \left( \frac{\sigma}{H} \right) f \text{ micron/sec} \] (3.15)
where, \( D \) is the abrasive grit size in micron (\( 10^{-3} \text{ mm} \)) and \( Y_0 \) the amplitude of vibration in micron (\( 10^{-3} \text{ mm} \)).
3.5 HORN DESIGN
The horn or the mechanical resonator is designed on the basis of axial vibration of an elastic member with varying cross-section. Let us consider a free-free vibration of a non-uniform bar, in general as shown in Fig. 3.13, assuming (i) Plane wave propagation in the rod along the axial direction and (ii) Wave propagation along lateral directions are neglected.
An elementary section taken at distance $x$ from one end of thickness $dx$ will be subjected to different stress level due to a stress gradient of $(5GX/5X)$ which will produce a strain in the elementary strip as
$$\text{Strain} = \frac{[U + (\partial U / \partial x) dx] - U}{dx} = \frac{\partial U}{\partial x} = \frac{\sigma_x}{E}$$
where $U$ is the displacement of section $x$ and $\sigma_x$ is the stress level on the section at $x$ of area $S$.
Hence $\sigma_x = E \frac{\partial U}{\partial x}$ \hspace{1cm} (3.16)
Due to vibration the elementary strip shall be acted upon by an accelerating force as
$$F_a = \rho \frac{g}{2} \left( S + \frac{\partial S}{\partial x} \right) dx + S dx \frac{\partial^2 U}{\partial t^2}$$
neglecting $(dx)^2$ term,
\[ F_a = \frac{\rho}{g} S \, dx \frac{\partial^2 U}{\partial t^2} \]
(3.17)
where \( \rho \) is the density of the material, and \( g \) the acceleration due to gravity. The constraining force acting on the elementary strip
\[ F_c = \left( \sigma_x + \frac{\partial \sigma_x}{\partial x} \, dx \right) \left( S + \frac{\partial S}{\partial x} \, dx \right) - \sigma_x S \]
neglecting \( (dx)^2 \)
\[ F_c \simeq S + \frac{\partial \sigma_x}{\partial x} \, dx + \sigma_x + \frac{\partial S}{\partial x} \, dx \]
(3.18)
Equating eqs. 3.17 and 3.18
\[ S \frac{\partial \sigma_x}{\partial x} + \sigma_x + \frac{\partial S}{\partial x} = \frac{\rho}{g} S \frac{\partial^2 U}{\partial t^2} \]
(3.19)
Substituting the value of \( (\sigma_x) \) and \( \frac{\partial \sigma_x}{\partial x} \) from eq. 3.16 in eq. 3.19
\[ SE \frac{\partial^2 U}{\partial x^2} + E \frac{\partial U}{\partial x} \frac{\partial S}{\partial x} = \frac{\rho}{g} S \frac{\partial^2 U}{\partial t^2} \]
(3.20)
Now, the displacement equation for angular frequency \( w \) can be written as:
\[ U = A \sin (wt) + B \cos (wt) \]
from which \( \frac{\partial^2 U}{\partial t^2} = \omega^2 U \)
\[ \frac{\partial^2 U}{\partial x^2} + \frac{1}{S} \frac{\partial U}{\partial x} \frac{\partial S}{\partial x} + \frac{\omega^2}{c^2} U = 0 \]
(3.21)
Where \( c = \sqrt{\frac{Eg}{\rho}} \) = velocity of sound in the material.
**Case Study**
For a uniform cylindrical rod, as \( \left( \frac{\partial S}{\partial x} \right) = 0 \), eq. 3.21 takes the form
\[ \frac{\partial^2 U}{\partial x^2} + \frac{\omega^2}{c^2} U = 0 \]
The solution of which is given by
\[ U = A \sin \left( \frac{\omega}{c} x \right) + B \cos \left( \frac{\omega}{c} x \right) \]
Putting the boundary values as \( U = 0 \) at \( x = 0 \) and \( x = L \),
\[ L = \frac{n\pi}{\omega} \sqrt{\frac{E_g}{\rho}} \] (where \( n = 1, 2, 3, \ldots \))
First fundamental resonant frequency \( f_1 \) is given by
\[ f_1 = \frac{1}{2L} \sqrt{\frac{E_g}{\rho}} \]
The length of resonating rod with a full wavelength is shown in Fig. 3.14.
To obtain maximum vibration at the two extreme ends of the rod, the length should be half the wavelength, i.e. \( \lambda / 2 \). Since the amplitude at both the ends are equal giving a gain value of the amplitude amplification as 1 (one) and in ultrasonic applications there must be some gain for the amplification of the amplitude of vibration from the transducer end to the required level at the tool end.
For the above said reason, the horn is made from a tapered rod following a certain area variation law. Hence, the solution for the length of the horn is to be designed using area variation law in eq. 3.21. The solution for different horns used are given in Table 3.2.
### 3.6 ACOUSTIC HEAD CLAMPING
In order to avoid transmission losses of the generated vibration, it is desirable that the acoustic head must be clamped at one of its nodal points of the vibrating members constituting the acoustic head. This would enable the system to run smoothly without any high frequency vibration in the structural
| TYPE OF CONCENTRATOR | FORMULA OF CURVE | THEORETICAL AMPLIFICATION FACTOR, $k_a$ | RESONANCE HALF WAVE LENGTH, $l_c$, cm | CO-ORDINATE OF DISPLACEMENT NODE, $x_0$, cm |
|----------------------|------------------|----------------------------------------|----------------------------------------|------------------------------------------|
| **CONICAL** | $D_x = D_0 \left(1 - \alpha' x^2 x\right)$; $\alpha' = \frac{D_0 - d}{D_0 x l_0}$ | $k_0 = \sqrt{1 + \left(\frac{2\pi l_c}{\lambda}\right)^2}$ where $k_0 < N$ | $l_c = \frac{\lambda}{2} \times \frac{|\alpha' l_c|}{\pi}$, where $(\alpha' l_c)$ roots of equation $\tan (\alpha' l_c) = \frac{|\alpha' l_c|}{(1 - N)^2 + 1}$ | $x_0 = \frac{1}{\pi} \times \arctan \left(\frac{\alpha'}{\alpha}\right)$ $\alpha = \frac{\omega}{V_S}$ |
| **EXPONENTIAL** | $D_x = D_0 \times e^{-3x}$; $\beta = \frac{\omega}{c_1} \times \frac{\ln N}{\sqrt{x^2 + (\ln N)^2}}$ $N = \frac{D}{d}$ | $k_0 = \frac{D_0}{d} = N$ | $l_c = \frac{Vs}{2\beta} \sqrt{1 + \left(\frac{\ln N}{\pi}\right)^2}$ | $x_0 = \frac{l_0}{\pi} \arctan \left(\frac{\ln N}{\lambda}\right)$ |
| **CATENOIDAL** | $D_x = d \times \text{ch} Y (l_0 - x)$; $Y = \frac{l}{l_0} \times \text{Arch} N$ | $k_0 = \frac{N}{\cos (k l)}$ where $k_0 > N$ | $l_c = \frac{\lambda}{2} \sqrt{(k l)^2 + (\text{Arch} N)^2}$ | $x_0 = \frac{1}{k} \times \arctan \left(\frac{k'}{y} \times \coth Y \times l_c\right)$ where $k' = \sqrt{\alpha'^2 - y^2}$ |
| **STEPPED CYLINDRICAL** | $D_x = D_0$ when $0 \leq x \leq l_0/2$; $D_x = d$ when $l_0/2 \leq x \leq l_c$ | $k_0 = \left(\frac{D_0}{d}\right) = N^2$ | $l_c = \frac{\lambda}{2} = \frac{V_S}{2 \times f}$ | $x_0 = \frac{l_0}{2} = \frac{V_S}{4 \times f}$ |
components of the machine ensuring longer and safer life time. Any one out of the total twelve methods of clamping shown in Fig. 3.15 may be used as per the designer's choice.
3.7 APPLICATIONS
Ultrasonic machining finds its application in processing material that cannot be machined by conventional cutting tool. Generally, it is used for conducting or non-conducting brittle materials. In recent years the use of ultrasonic machining in industries (ultrasonic welding in electronics industries as well) is increasing day by day.
Currently, principal fields of application are in the following areas:
- Manufacture of hard alloy wire drawing, punching and blanking dies, also making small complicated dies and punches of steel.
- Machining semi-conducting materials such as germanium and silicon.
- Machining ferrite and other special metallo-ceramic materials used in electrical installations.
- Making instruments and optical parts of glass, quartz, fluoride and barium titanate.
- Making components of porcelain and special ceramics.
- Cutting accurate shallow holes of rectangular or other section in cemented and nitrided steel.
- Cutting of industrial diamonds.
- Grinding glass, quartz and ceramics.
- Cutting holes with curved or spiral center line and cutting threads in glass and mineral or metallo-ceramic.
Following materials have been successfully machined by ultrasonic:
Agale Formica Quartz
Aluminium Garnet Ruby
Aluminium Oxide Germanium Sapphire
Barium Titanate Glass Silicon
Beryllium Oxide Glass-bonded Mica Silicon Carbide
Boron Carbide Graphite Silicon Nitrate
Boron Composites Hardened Steel Stainless Steel (hardened)
Brass High Pressure Laminates Stealite
Calcium Limestone Tool Steel
Carbides Lithium-Fluoride Ti-alloys
Carbon Micarta Tungsten
Ceramics Molybdenum Tungsten Carbide
Composite Molybdenum disilicate Thorium Oxide
Cutting power or the ability to cut using different abrasives ultrasonically is shown in Table 3.3.
| Abrasive | Knoop hardness | Relative cutting power |
|---------------------------|----------------|------------------------|
| Diamond | 6500-7000 | 1.0 |
| Cubic Boron Nitride (CBN) | 4700 | 0.95 |
| Boron Carbide (B₄C) | 2800 | 0.50-0.60 |
| Silicon Carbide (SiC) | 2480-2500 | 0.25-0.45 |
| Aluminium Oxide (Al₂O₃) | 2000-2100 | 0.14-0.16 |
### 3.8 OPERATIONAL SUMMARY
Typical values of USM operating parameters:
| Parameter | Value |
|----------------------------|--------------------------------------------|
| Power | 200-4000 watts |
| Frequency | 15-30 kHz (most common -20 kHz) |
| Abrasive | |
| Type | Boron carbide (frequently) SiC (most common) |
| | Al₂O₃ (may also be used) |
| Size | mesh: 120-1200 |
| | µm: 142-6 |
| Concentration | 20-60% by volume with water. Sometimes oil may be used for finishing operation |
| Flow | Ample (20~5°C) 2-5°C in desirable |
| Amplitude of vibration | 5-70 µm |
| | (amplitude approx should remain between half to equal mean diameter of abrasive) |
| Tool tip force | 0.45 to 45 kg. But generally 4.5 kg |
| Tool material | Mild steel, 303 stainless steel, monel, Molybdenum |
| Overcut and cutting gap | Twice the grit size (approx) |
| Parameter | Value |
|---------------------------|--------------------------------------------|
| Area of cut | up to about 90 mm |
| Accuracy | ± 25 µm (± 5 µm is possible) |
| Taper | 5 µm per mm |
| Surface roughness, Ra | 0.5 to 1.0 µm |
### 3.9 LIMITATIONS
The USM process does not compete with conventional material removal operations on the basis of stock removal. Non-metal because of poor electrical conductivity that cannot be machined by EDM and ECM can very well be machined by USM.
MODULE-II
Abrasive Jet Machining: principle, Application, Advantage and disadvantages, variables in AJM,
Water jet machining, Jet cutting equipment’s, principle, advantage, Practical application.
Water Jet Machining: Jet Cutting Equipment’s, principle, Advantages, Practical Applications.
Electrochemical machining: Principle Faraday’s Law, Material Removal rate, Dynamics of ECM, processes, Tool Design, Advantages, Applications, Limitations, Electrochemical grinding, Deburring and Honing.
1 PROCESS
Abrasive jet machining can be used to cut hard and brittle materials (e.g., germanium, silicon, mica, glass, and ceramics) in a large variety of cutting and deburring applications, and the process is smooth and free from vibration. This is a process of removal of materials by impact erosion through the action of a concentrated, high-velocity stream of grit abrasives entrained in a high-velocity gas stream. It differs from conventional sand blasting processes for its fineness of particle size and controllable machining parameters. The operating elements in AJM are Abrasive, Carrier Gas, and Nozzle, as schematically shown in Fig. 1.1.
1.2 OPERATING PRINCIPLES
The variables that affect the cutting phenomena are:
(a) Abrasive: composition, strength, shape, size, and mass flow rate.
(b) Carrier gas: composition, pressure, and velocity.
(c) Nozzle: geometry, composition, nozzle-tip distance (stand-off distance and its orientation).
The most common abrasives are Al₂O₃ and SiC available in 10, 27, 50 micron nominal diameters, and the usage of the abrasives are given in Table 1.1.
Table 1.1 Recommended Use of Abrasives
| Abrasives | Grain size micron | Operation |
|--------------------|-------------------|----------------------------|
| Al₂O₃ | 10, 27, 50 | Cutting grooving |
| SiC | -do- | -do- |
| Sodium Bicarbonate | 27 | Light polishing below 50°C |
| Dolomite | 66 | Etching and polishing |
| Glass beads | 0.635-1.27 mm | Light polishing and fine deburring |
The surface finish achieved by the process is dependent on the abrasive particle size and the materials machined as shown in Table 1.2.
Table 2.2 Surface Roughness Achievable
| Mark Material | Abrasive Hardness | Grit size (micron) | Ra (micron) |
|---------------------|-------------------|--------------------|-------------|
| Glass | Al₂O₃ | 10 | 150-200 |
| | 1800 H.V. | 28 | 360-510 |
| | | 50 | 970-1400 |
| Stainless steel | Al₂O₃ | 10 | 200-500 |
| annealed | 1800 H.V. | 25 | 250-530 |
| | | 50 | 380-960 |
| | SiC | 20 | 300-500 |
| | 2600 H. V. | 50 | 430-860 |
| | Glass bead 500 H. V.| 50 | 300-960 |
The material removal rate is governed by the mass flow rate and velocity of the abrasive particles uniquely related to gas mass flow rate. These are well explained from Fig. 1.2 and typical data as shown in Figs. 1.3 and 1.4.
Again the jet coming out of the nozzle remains straight for some time and then flares out. So the accuracy and the cut area depends on the nozzle-tip-distance (NTD) from the work piece and the typical data are as shown in Figs. 1.5 and 1.6.
1.3 EQUIPMENT
The basic unit is schematically shown in Figs. 1.7 and 1.8. It consists of gas supply unit, filter, pressure regulator, mixing chamber, nozzle assembly and the dust collecting chamber along with the work holding device. In the mixing chamber, the abrasive is allowed to flow into the gas stream. The mixing ratio is generally controlled by a vibrator. The particle and gas mixture comes out of the nozzle inside the machining chamber of the machine tool unit. The feed motion can be given either to the work holding device or to the nozzle.
1.4 MATERIAL REMOVAL RATE
The material is removed from work piece due to impact erosion of the high velocity particles. The Kinetic Energy of the particle is utilised to cause the micro-indentation in the work material and the material removal is a measure of the indentation.
**Fig. 1.5 Effect of NTD on Material Removal**
**Fig. 1.6 Effect of NTD on Machining Accuracy**
The model is based on the following assumptions:
- The abrasive particles are considered to be rigid and spherical bodies of diameter equal to the average grit size (Fig. 1.9a.).
• In case of a ductile work material, the material removed is equal to the volume of the indentation (Fig. 1.9b); and in case of a brittle work material, the volume of material removed is hemispherical whose diameter is equal to the chord length of the indentation.
1. Compressor
2. Drain
3. Relief valve
4. Air filter cum drier
5. Pressure gauge
6. Opening valve
7. Pressure regulator
8. Mixing chamber
9. Abrasive powder
10. Air + Abrasive
11. Pressure gauge
12. Nozzle
13. Workpiece
**Fig. 1.7 Scheme of the AJM Set-up**
From the geometry of Fig. 1.9, it can be proved that the relation between abrasive particle size $d$, indentation depth $\delta$ and half of the chord length $r$ is
$$r^2 \square 2R\delta = d\delta \quad (1.1)$$
So the volumetric material removal per particle impact $v$ is given by: For Brittle Materials (hemispherical brittle fracture)
$$v(\text{brittle}) = \left( \frac{2}{3} \right) \pi r^3 = \left( \frac{2}{3} \right) \pi (d\delta)^{3/2} \quad (1.2)$$
For ductile work material (material removal is equal to the indentation volume)
$$v(\text{ductile}) \simeq \pi \delta^2 \left[ \left( \frac{d}{2} \right) - \left( \frac{\delta}{3} \right) \right], \text{ and neglecting } \delta^3 \text{ terms } \simeq \left( \pi d\delta^2 \right)/2 \quad (1.3)$$
So, if there are $N$ number of particle impacts per unit time the material-removal-rate (MRR) equations are obtained from eqs. 2.2 and 2.3 as
$$\text{MRR (brittle)} = \left( \frac{2}{3} \right) \pi (d\delta)^{3/2} N$$ \hspace{1cm} (1.4)
$$\text{MRR (ductile)} = \left[ \left( \pi d\delta^2 \right) / 2 \right] N$$ \hspace{1cm} (1.5)
The unknown factors in the above two equations are $\delta$ and $N$. The estimation of $\delta$ can be derived from the energy balance equation as
K.E. = W.D. in the indentation of work material
Now K.E. possessed by the particle of mass $m$ and density $\rho$, moving with a velocity ‘$U$’ just before the impact is
$$\text{K.E.} = \left( \frac{1}{2} \right) mU^2 = \left( \frac{1}{2} \right) \left[ \left( \pi / 6 \right) d^3 \rho \right] U^2 = \left( \frac{\pi}{12} \right) d^3 \rho U^2$$ \hspace{1cm} (1.6)
The energy of impact will introduce a force $P$ on the indenter to cause an indentation depth $\delta$ in work material of hardness $H$. So W.D. in the indentation
$$\text{W.D.} = \left( \frac{1}{2} \right) P\delta = \left( \frac{1}{2} \right) (\pi r^2 H) \delta$$ \hspace{1cm} (1.7)
Substituting the value of $r$ from eq. 2.1 in 2.7 and equating to eq. 2.6
\[
(\pi/12) d^3 \rho U^2 = (1/2)(\pi d \delta H) \delta \\
= (1/2)\pi d H \delta^2 \\
\delta^2 = (\rho/6)\left[(dU)^2/H\right]
\]
(1.8)
The number of particles \( N \) striking the target can be estimated from the known value of abrasive mass flow rate, \( M \) as
\[
N = \frac{M}{\text{Mass of each particle}} = \frac{6M}{\pi d^3 \rho}
\]
(1.9)
The MRR equation can be determined by substituting the values of \( \delta \) and \( N \) in the eqs. 2.4 and 2.5, as
\[
\text{MRR(brittle)} = 1.04 \frac{MV^{3/2}}{\rho^{1/4} H^{3/4}}
\]
(1.10)
Similarly for ductile materials:
\[
\text{MRR (ductile)} = 0.5 \frac{MV^2}{H}
\]
(1.11)
Equations 2.10 and 2.11 give the maximum possible material removal rate in case of AJM process for machining brittle materials and ductile materials respectively. The equations show that the velocity effects are more predominant than mass flow rate on material removal rate. It is interesting to note (Fig. 2.10) that under lower velocity conditions ductile material show lower
material removal rate for an angle of impingement of 90° (degree) than brittle materials. But at certain velocity $U^*$, both material may exhibit similar property for impact erosion rate and above this velocity, ductile materials may erode very fast.
**Fig. 1.10 Effect of Velocity on Material Removal Rate**
### 1.5 APPLICATION
(a) This is used for abrading and frosting glass more economically as compared to etching or grinding.
(b) Cleaning of metallic smears on ceramics, oxides on metals, resistive coatings etc.
(c) Cutting and machining of fragile material like germanium, silicon etc.
(d) Register treaming can be done very easily and micro module fabrication for electrical contact, semiconductor processing can also be done effectively.
(e) It is a good method for debarring small hole like in hypodermic needles and for small milled slots in hard metallic components.
### 1.6 LIMITATIONS
The limitations in applicability of the process arise from the following reasons:
(a) The volumetric or stock removal rate is very low.
(b) Elastomers or soft plastics are not amenable to abrasive jet treatment.
(c) The accuracy of cutting is hampered by tapering effect and stray cutting]
(d) A dust collecting chamber is a basic requirement to prevent atmospheric pollution to cause health hazards.
(e) Abrasive powders cannot be reused.
(f) Short stand-off distance when used for cutting, damages the nozzle.
(g) Abrasive particles may be embedded in the workpiece sometimes.
2.1 PROCESS
This employs a fine, high pressure (1500-4000 MN/cm²), high velocity (up to twice the speed of sound) jet of water, which when bombarded on the work piece erodes the material.
High-pressure water jet has two properties which make it potentially useful in industries. They are, its destructive power and its application as a precision cutting tool.
A high-velocity water jet when directed at a target in such way that, its velocity in virtually reduced to zero on striking the surface. Practically, most of the kinetic energy of the jet of water is converted to very high pressure. In fact, at the initial phase (within first few milli-seconds) the transient pressure reaches several times greater than the normal stagnation pressure. This causes erosion if the local fluid pressure exceeds the strength of target material or in other words, the water jet will make a hole in the material if the pressure is high enough.
2.2 OPERATING PRINCIPLE
Many variables such as nozzle orifice diameter, water pressure, cutting feed rate and the stand distance affect the performance.
Generally, high cutting quality would be the result of the conditions: high pressure, large nozzle orifice, low feed rate and narrow stand off distance.
The equipment (Fig. 2.1) consist of three main units: (1) pump along with a intensifier to generate very high pressure (1-10 kbar); (2) cutting unit consisting nozzle and work table movement and (3) filtration unit to remove the debris from water after use.
A polymer (glycerin, polyethylene oxide) is added to the working fluid to prevent freezing and provide lubricating action in the intensifier plunger type pump.
2.3 MECHANISM OF JET CUTTING
Water-jet cutting or water-jet machining (WJM) is similar to laser beam machining (LBM) and electron beam machining (EBM) in the respect that a given amount of energy $10^{10}$ watt/mm$^2$ is concentrated onto a very small Point to cause material removal.
When a high velocity water-jet is directed to a target in such a way that on striking the surface its velocity is virtually reduced to zero then most of the kinetic energy of the water is converted into pressure energy (called stagnation pressure). In fact, in the first few milliseconds after the initial impact the transient pressure generated may be as high as three times the normal stagnation pressure.
Thus the mechanism of water-jet cutting is erosion caused by localised compressive failure which occurs when the local fluid pressure exceeds the strength of the target material. In some ductile materials, it is involved with a shearing action caused by the high speed radial flow of the jet along the work piece. When quality cutting is not required, such as tunneling, other mechanisms like spalling caused by stress waves and the effect of stagnation pressure caused by cutting fluid penetrating cracks and pores are expected. Some are of the opinion that cavitation in
the jet also plays a role in eroding the target material. It is well known that a considerable localised damage, caused by erosion, can result from a cavitation bubbles collapsing against a solid.
2.4 PROCESS PARAMETERS
For successful utilisation of WJM process, it is necessary to analyse the following process criteria:
(i) Material Removal Rate (MRR).
(ii) Geometry and finish of work piece.
(iii) Wear rate of the nozzle (as nozzle is a costly item).
However, the process criteria are greatly influenced by various process parameters as enumerated below:
(i) MRR depends on the reactive force $F$ of the jet.
Again,
Reactive force = Mass flow rate ($m$) x Jet velocity ($V$)
Hence, $\text{MRR} \propto m \propto V$
and the velocity depends on fluid pressure whereas mass flow rate depends on both - nozzle diameter $d$ and fluid pressure $P$.
Hence, $\text{MRR} \propto d \propto P$
British Hydromechanic Research Association have found following empirical relationships:
$$v = 14.1P^{1/2}$$ \hspace{1cm} (2.1)
$$Q = 0.67K N d^2 P^{1/2}$$ \hspace{1cm} (2.2)
$$\text{HHP} = 1.11 K N d^2 P^{3/2}$$ \hspace{1cm} (2.3)
$$F = 0.079 K N d^2 P$$ \hspace{1cm} (2.4)
Where
$V =$ maximum water jet velocity at nozzle outlet (m/s),
$Q =$ water flow rate through nozzle (l/min),
$\text{HHP} =$ hydraulic horsepower of jets (W),
$F =$ reactive force of jet nozzle (N),
$K =$ nozzle discharge co-efficient (dimensionless),
$N =$ number of nozzles used (dimensionless),
$P =$ pressure differential across the nozzle (bar),
$d =$ nozzle orifice diameter (mm).
Apart from these, MRR is also greatly influenced by stand-off distance (SOD) of the nozzle tip from the surface of the material being cut.
It is found that MRR increases with the increase of SOD up to a certain limit after which it remains unchanged for a certain tip distances and then falls gradually. This is explained as follows. Small MRR at low SOD is due to a reduction in nozzle pressure with decreasing distance, whereas a drop in MRR at large SOD is due to a reduction in the jet velocity with increasing distance.
A large SOD affects accuracy and quality. Water flares out because of a peeling off’ effect caused by air friction. Theoretically, any divergence causes the jet to cut less effectively and less accurately.
(ii) Geometry and finish of work piece of depends on three factors:
(a) Nozzle design.
(b) Jet velocity, cutting speed and depth of cut
(c) Properties (especially hardness) of the material being cut.
(iii) Wear rate of the nozzle depends mainly on the hardness of the nozzle material, pressure (hence, velocity) of the jet and nozzle design.
From above it is clear that for a given material, the rate of cut, depth of cut and quality (keeping in mind the sealing problems, nozzle wear rate, etc.), a compromise has to be made and optimum values of various parameters discussed above are to be found out and used.
2.5 APPLICATIONS
1. WJM is used to cut many nonmetallic materials like Keplar, glass epoxy, graphite, boron, F.R.P. corrugated board, leather and many other brittle materials.
2. It is used mostly in shoe making industry and now has entered into steel plant to descale the chilled layer of steel ingots, in aircraft industries to profile cutting of FRP aircraft structures even glass windows.
3.1 PROCESS
This is a process of anodic dissolution of work material by high current flowing through an electrolyte between shaped tool and work piece.
The principle is exactly same as electroplating where the anode goes into solution expecting the cathode deposition. In ECM, the electrolyte is so chosen that there is no plating (decomposition of metals) on the cathode (tool) so the tool shape remains unchanged and if a close gap (0.1-0.2 mm) is maintained between the tool and work, the machined surface takes the replica of the tool shape. The scheme is shown in Fig. 3.1.
(a) Beginning of ECM
(b) Final Shape of ECM
Fig. 3.1 The ECM Scheme
3.2 PRINCIPLE OF OPERATION
In the electrolyte cell (ECM) the reactions take place at different levels electrolyte, cathode and anode (Figs. 3.2 and 3.3).
It is evident from the above schemes that when current is flown through a solution of NaCl in water, the ions formed and will proceed to produce the desired effects as:
\[ \text{NaCl} \leftrightarrow \text{Na}^+ + \text{Cl}^- \]
\[ \text{H}_2\text{O} \leftrightarrow \text{H}^+ + (\text{OH})^- \]
The positive ions move towards the cathode (tool) while negative ions move towards anode (work piece) to react. Let us analyse the two possible reactions at the cathode and anode.
1. Cathode Reaction
\[ \text{Na}^+ + e^- = \text{Na} \]
\[ \text{Na} + \text{H}_2\text{O} = \text{Na(OH)} + \text{H}^+ \]
\[ 2\text{H}^+ + 2e^- = \text{H}_2 \uparrow \]
It shows that there is no deposition on tool but only gas is formed, whereas, in cathode in machining an iron specimen for example:
Fig. 3.2 An Electrolyte Cell
2. Anode Reaction
(iron) \( \text{Fe} \leftrightarrow \text{Fe}^{++} + 2e^- \)
\[ \text{Fe}^{++} + 2\text{Cl}^- \leftrightarrow \text{FeCL}_2 \]
\[ \text{Fe}^{++} + 2(\text{OH})^- \leftrightarrow \text{Fe(OH)}_2 \]
\[ \text{FeCl} + 2(\text{OH})^- \leftrightarrow \text{Fe(OH)}_2 + 2\text{Cl}^- \]
It shows metal (work piece), i.e. Fe goes into solution and hence machined to produce reaction products as iron-chloride and iron-hydroxide as a precipitate. Interesting part is that the removal is an atom by an atom, resulting in higher finish with stress and crack free surface, and independent of the hardness of the work material.
**Fig. 3.3 Anodic Dissolution Proc.**
As current flows, several phenomena occur at the electrode surfaces to oppose the very cause of it (make the above reactions to proceed). These emf opposing the flow are termed as anode and cathode overvoltage (Fig. 3.4) and include activation polarisation, concentration polarisation and ohmic vervontag. When no current flows, electrochemical reactions occurring at an electrode are in equilibrium. However, to make the dissolution proceed, one has to apply a voltage in excess of electrode and activation polarisation potentials, i.e. about 2 volts maximum.
**Fig. 3.4 Potential Profile in the Machining Gap**
3.3 THE EQUIPMENT
An ECM system consists of a machining unit with a suitable fixture, electrolyte flow system, electrolyte filtration unit and the DC power source with feed control devices (Fig. 3.5).
**Fig. 3.5 A Basic Scheme of the Machine**
The unit is more explicitly elaborated in Fig. 3.6. A tool (may require an insulation at the sides to prevent undesired machining on the sides) is mounted on the tool holder. The tool, in most of the cases are hollow, is to allow electrolyte to flow into the working gap. The tool holder is given a feed drive. The work is mounted on a fixture, insulated from the main body of the machine. The electrolyte is allowed to flow into the system at a high pressure and the reaction product along with the electrolyte flow into a tank and then the reaction product is separated from the electrolyte through the help of micro-filter or a centrifuge. Then the filtered electrolyte is pumped with metered quantity into the system. A DC voltage of 2 to 30 V is applied in between the tool and the work for machining operation. A fan is to be provided to constantly remove the gas evolved within the working gap at the cathode. However, the ECM machines may be of universal or special-purpose. Since the machining is done by electrical energy, the power supply has the most critical role in the system which needs further explanations.
3.4 POWER SUPPLY AND CONTROL
Power supply for an ECM machine is usually the most expensive single item of the installation and may account for substantial part of the total extremely high cost of the complete machine.
The unit is a low voltage DC supply capable of delivering high current (10,000A or more) requirement. Since the power requirement is too high the three phase high voltage is stepped down through transformer and rectified (Fig. 3.7). It is also essential to provide adequate protective circuits for the transformer, rectifier and the machine itself against overload and short circuit conditions. The short circuit conditions can occur accidentally for various reasons since the gap between the tool and work is maintained too low (0.1 to 0.2 mm), mishandling or wrong fitting of the electrode or work piece, accumulation of conductive debris in the working gap or malfunction of the gap control system. It is also necessary to monitor the voltage and current continuously to quantify the MRR.
Fig. 3.7 Schematic Block Diagram of a Typical Power Supply for an ECM Machine
3.5 ANALYSIS OF MATERIAL REMOVAL
3.5.1 Basic Theory (Faraday’s Laws)
The rate of dissolution (material removed) can be analysed from the basic fundamentals of electrochemistry given by Michael Faraday in his laws.
(a) The first law states that “the amount of chemical changes $W$ produced (i.e. dissolved or deposited) is proportional to the amount of charge $Q$ passed through the electrolyte”, i.e.
$$W \propto Q$$ \hspace{1cm} (3.1)
(b) The second law proposes that the amount of change produced in the material is proportional to its electrochemical equivalent, of the ECE material, i.e.
$$W \propto \text{ECE}, \text{but } \text{ECE} = \frac{M}{v}$$ \hspace{1cm} (3.2)
where $M$ is the atomic weight and $v$ the valency.
From the two laws it can be written
$$w = \frac{1}{F} (\text{ECE}) Q$$
$$= \frac{1}{F} \frac{M}{v} Q$$ \hspace{1cm} (3.3)
or $$W = \frac{1}{F} \left( \frac{M}{v} \right) It$$ \hspace{1cm} (3.4)
where $F$ is the Farday’s constant = 96500 coulombs = 26.8 amp-hr, $Q$ the charge (coulomb), $I$ the current (ampere) and $t$ the dissolution period.
Equation 6.4 gives the idea about the rate of dissolution of a single elemental material. Since most of the materials machined by this process are difficult-to-machine alloys of metals, the Faradic eq. 6.4 needs modification accordingly.
3.5.2 Dissolution of an Alloy
Generally an engineering material is in the form of an alloy consisting of different elements. So to find out the rate of dissolution, one must consider each element separately and combine them for the whole alloy. To start with, let us consider the alloy consisting of:
$l - n$ = number of elements
$M_1, \ldots, M_n$ = atomic weights of individual elements
\( v_1 \ldots \ldots v_n = \) valency of the respective elements
\( X_1 \ldots \ldots X_n = \) percentage of the element present in the alloy
Now, if \( \rho \) is the density of the alloy and \( V_a \) the volume that goes into solution in a given time \( t \), then the weight \( W \) of the first element present in the alloy is given by
\[
W_1 = \frac{V_a \rho X_1}{100}
\]
Similarly,
\[
W_2 = \frac{V_a \rho X_2}{100}
\]
\[
W_n = \frac{V_a \rho X_n}{100}, \text{ and so on.}
\]
The charge \( (Q_1 - Q_n) \) taken by each element present in the alloy can be given by eq. 6.3 as:
\[
Q_1 = \frac{W_1 F v_1}{M_1} = \frac{V_a \rho F}{100} \frac{v_1 X_1}{M_1}
\]
Similarly,
\[
Q_2 = \frac{W_2 F v_2}{M_2} = \frac{V_a \rho F}{100} \frac{v_2 X_2}{M_2}
\]
\[
Q_n = \frac{W_n F v_n}{M_n} = \frac{V_a \rho F}{100} \frac{v_n X_n}{M_n} \text{ and so on}
\]
Now, the total charge, required for removing all the elements from the alloy will be
\[
Q_{total} = Q_1 + Q_2 + \ldots + Q_n
\]
(3.5)
or
\[
Q_{total} = \frac{V_a \rho F}{100} \left[ \frac{X_1 v_1}{M_1} + \frac{X_2 v_2}{M_2} + \ldots + \frac{X_n v_n}{M_n} \right]
\]
or
\[
Q_{total} = \frac{V_a \rho F}{100} \sum_{i=1}^{i=n} \frac{X_i v_i}{M_i}
\]
(3.6)
Hence, volumetric material removal rate \( V_m \) per unit charge is given by
\[ V_m = \frac{V_a}{Q_{\text{total}}} = \frac{100}{\rho F} \sum_{i=1}^{i=n} \frac{X_i v_i}{M_1} \]
(3.7)
If current \( I \) flows for time \( t \) sec, then from eq. 6.6
\[ Q_{\text{total}} = It = \frac{V_a \rho F}{100} \sum_{i=1}^{i=n} \frac{X_i v_i}{M_1} \]
or \[ \text{MRR} = \frac{V_a}{t} = \frac{100}{\rho F} \sum_{i=1}^{i=n} \frac{X_i v_i}{M_1} \]
(3.8)
### 3.6 DYNAMICS OF ECM PROCESS
One has an idea of how much material will be removed in a given time from a work piece for given current flowing through the electrolyte between the tool (electrode) and work piece. Now the problem arises whether one should allow the machining without any feed or give a feed. To solve this, let us consider an electrolyte flowing through a parallel gap \( h \) between the tool and work piece (Fig. 3.8)
**Fig. 3.8 ECM with No Feed**
If the constant voltage \( V \) is supplied across the gap one should find out how the gap change takes place.
3.6.1 Zero Feed Rate
In other words, if no feed is given to the tool, how far dissolution would proceed. This would decide whether no-feed or if feed then how much of it.
Now if \( dh \) is the change in gap in a given time \( dt \), area of cross section of tool (reaction area) is \( A \) and density of the material \( \rho \), then the weight dissolved,
\[
dw = \rho \ A \ dh = \frac{1}{F} \frac{M_x}{v_x} I dt \quad \text{(from eq. 6.4)}
\]
\[
\frac{dh}{dt} = \frac{1}{F} \frac{M_x}{\rho v_x} \frac{I}{A}
\]
(3.9)
i.e. the rate of change of gap is proportional to current density (\( I/A \)).
Now, if \( V \) is the applied D.C. voltage, \( R \) the resistance of electrolyte and \( r \) the specific resistance of the electrolyte, then,
\[
I = \frac{V}{R_e} = \frac{V}{rh} \frac{VA}{rh} \frac{A}{A}
\]
(3.10)
On substituting the value of \( I \) from eq. 6.10 in 6.9, one can rewrite
\[
\frac{dh}{dt} = \frac{1}{F} \frac{M_x}{\rho v_x r} \frac{v}{h}
\]
and for a constant voltage source
\[
\frac{dh}{dt} = \frac{C}{h}
\]
(3.11)
where,
\[
C = \frac{1}{F} \frac{M_x V}{\rho v_x r}
\]
or \[ C = \frac{100}{r \rho F} \sum_{i=1}^{i=n} \frac{X_i v_i}{M_i} \]
for an alloy which shows that the rate of change of gap is inversely proportional to gap length, i.e. with time the rate of change of gap or the dissolution rate falls.
Now let us examine if no feed is given, i.e. under zero feed rate condition how the gap varies with time.
We know
\[
\frac{dh}{dt} = \frac{C}{h} \quad \text{or} \quad h dh = C dt
\]
Integrating this within the limits
\[
\int_{h_0}^{h_1} h dh = \int_0^t C dt
\]
or \[ \left( h_1^2 - h_0^2 \right) / 2 = Ct \]
or \[ h_1^2 - h_0^2 = 2Ct \] \hspace{1cm} (3.12)
**Fig. 6.9 Variation of Gap Length with Time**
which gives the parabolic variation of gap shown in Fig. 3.9.
It shows that if we do not give any feed to the tool, the dissolution rate falls. Hence, it is necessary to give a feed to the tool.
### 3.6.2 Dynamics Under Given Feed Condition
If feed \( S \) is given to the tool, then eq. 3.11 is modified to
\[
\frac{dh}{dt} = \frac{C}{h} - S \] \hspace{1cm} (3.13)
It is necessary to establish the feed rate because if \( S \) is high compared to rate of change of gap, then short circuit will result in stoppage of electro-chemical reaction. Hence, to establish a
relation for feed a steady state condition of electro-chemical reaction is to be established. Under this steady state condition
\[
\frac{dh}{dt} = 0. \quad \text{Hence } S = \frac{C}{h}
\]
(3.14)
The gap under steady state condition \( h_e \) is
\[
h_e = \frac{C}{S}
\]
(3.15)
i.e. in steady state or equilibrium condition with a constant feed, the gap remains constant.
Now it is necessary to know how and when the equilibrium condition is reached. To establish this one must find out the behaviour of eq. 6.13 with respect to feed. The approach to the equilibrium gap can be found out by method of substitution of the equation, by reducing the variables to ECM units since they are not dimensionally balanced.
In ECM units we can assume the equilibrium gap \( h_e \) to an unit for conversion of gap and time units.
\[
\text{gap}, \quad h' = \frac{h}{h_e} = \frac{Sh}{C}
\]
\[
\text{gap}, \quad t' = \frac{St}{h_e} = \frac{S^2 h}{C}
\]
(3.16)
Hence,
\[
\frac{dh'}{dt'} = \frac{C}{S} \cdot \frac{C}{S^2} \cdot \frac{dh}{dt} = \frac{1}{S} \cdot \frac{dh}{dt}
\]
(3.17)
Hence,
\[
\frac{dh}{dt} = S \cdot \frac{dh'}{dt'}
\]
(3.18)
Therefore, 6.13 is converted and expressed as
\[
S \frac{dh'}{dt'} = \frac{S}{h'} - S
\]
or
\[
S \frac{dh'}{dt'} = \frac{1 - h'}{h'}
\]
(3.19)
Now,
\[
dt' = \frac{h'}{1 - h'} dh'
\]
On integration
\[ \int_0^{t'} dt' = \int_{h'_0}^{h'} \frac{h}{1-h'} dh' \]
or \( t' = \left[ (1-h') - \log(1-h') \right]_{h'_0}^{h'} \)
or \( t' = (h'_0 - h'_1) + \log \frac{h'_0 - 1}{h'_1 - 1} \) \hspace{1cm} (3.20)
The plot of above equation is shown in Fig. 6.10.
This shows that whatever the initial gap is given, it tends to a unit gap, i.e. equilibrium is reached, since the gap approaches the gap asymptotically.
Hence
\[ h' = 1 \text{ or } \frac{Sh}{C} = 1 \]
From which,
**Fig. 3.10 Variation of Gap Length in ECM with Feed**
\[ S = \frac{C}{h} = \frac{M_x V}{v_x F \rho r} \cdot \frac{1}{h} \]
Where \( C = \frac{M_x V}{v_x F \rho r} \)
or \( S = \frac{M_x}{v_x F \rho r h} \cdot \frac{1}{h} = \frac{M_x}{v_x F \rho A} \cdot \frac{I}{A} \)
i.e. \( S = \frac{M_x}{v_x F \rho A} \cdot \frac{I}{A} = \text{MRR} \) \hspace{1cm} (3.21)
It is seen that, in a constant feed rate ECM system, the machining process is inherently self-regulated since the MRR tend to approach the feed rate.
Another interesting phenomena is that a highest feed condition (for a limiting value of current) the equilibrium gap is minimum and produces a closer tolerance between the tool and the work surface, i.e. as production rate is increased the accuracy maintained is higher in ECM operation. Hence, it can be considered as one of the high production system.
### 3.7 HYDRODYNAMICS OF ECM PROCESS
It is clear that the material removal rate increases with current and the machine can be operated at the highest feed rate condition. The increased current will produce more heat in the electrolyte (Joule heating) that might reach a boiling condition and prevent the electrolytic reactions further. So it is necessary to allow sufficient flow of electrolyte through the gap schematically shown in Fig. 3.11 for a pair of parallel electrodes.
Now the heat produced in the electrolyte due to the current $I$ flowing through it
$$H = I^2 R_e = \frac{I^2 r h_e}{A}$$
If $C_{pe}$ is the average specific heat of the electrolyte and specific resistance $r$ is assumed to be constant
$$I^2 R_e = 4.187 \ q \ \rho_e C_{pe} (\theta_0 - \theta_i)$$
where $q$ is the flow rate of the electrolyte, $\rho_e$ the density of the electrolyte, $\theta_0$ the outlet temperature of the electrolyte and $\theta_i$ the inlet temperature of the electrolyte.
It is also preferred that $\theta_0$ should be as close to boiling temperature $\theta_b$ but never in excess for accelerated reaction.
Hence,
$$I^2 R_e = 4.187 \ q \ \rho_e \ C_{pe} (\theta_b - \theta_i) \quad (3.22)$$
Now if we consider the current density in the gap, $J$ is given by
$$J_c = \frac{I}{A}$$
where, $A$ is the area of the tool.
Then,
$$\left( J_c^2 A^2 \right) \frac{r h_e}{A} = 4.187 q \ \rho_e \ C_{pe} (\theta_b - \theta_i)$$
or
$$J_c^2 = \frac{4.187 q \ \rho_e \ C_{pe} (\theta_b - \theta_i)}{h_e A} \quad (3.23)$$
from which the flow rate of electrolyte to prevent boiling
$$q = \frac{I^2 r h_e}{4.187 A \ \rho_e \ C_{pe} (\theta_b - \theta_i)} \quad (3.24)$$
In the case of a rectangular electrode if the velocity of the electrolyte flow is $U$, then
$$q = U \ b \ h_e$$
Hence \( U = \frac{I^2 r}{4.187 A \rho_e (\theta_b - \theta_i) b} \)
Again, if \( V \) is the applied voltage
\[
I = \frac{V}{R_e} = \frac{VA}{rh_e}
\]
(3.25)
Since, \( A = b l \), therefore
\[
U = \frac{V^2 l}{4.187 rh_e^2 \rho_e C_{pe} (\theta_b - \theta_i)}
\]
(3.26)
### 3.8 TOOL DESIGN
The first encounter with the process is that drilling a straight hole (Fig. 3.12a) involves a bare tool, while drilling the side of the tool also contributes to the machining process. Hence, taper is observed and the side takes of parabolic profile since machining on the side is for zero-feed rate condition (Sec. 3.6.1). The solution is to provide side insulation is shown in Fig. 3.12b.
Moreover, it has so far been assumed that the process of ECM to be of ideal in nature, i.e. the theory involved considers electric field solely within the limits of the gap and assumes that it obeys Ohm’s and Faraday’s laws.
With the flow of the electrolyte and machining at the highest feed-rate conditions, the work surface does not copy the replica (inverse profile) of the tool. The errors in machining are observed because:
**Fig. 3.12 Error due to Machining on Side and its Solution**
• the electrolyte is heated up as it moves past the working gap and the temperature effect on the specific resistance of the electrolyte reflects on the machining rate at any point:
• flow of the electrolyte causes the reaction products at the cathode (gas bubbles) to move along affecting the change in resistance of the electrolyte.
• flow of the electrolyte once again causes the reaction products* produced at the work-surface (sludge and wear debris) to flow along to affect the change in resistance of electrolyte:
• the gap length along the curved surface changes, since the feed is given in a particular direction.
3.8.1 Heating of Electrolyte
Heating of the electrolyte (Joule heating) brings a change in the specific resistance. Assuming a linear variation of specific resistance with temperature as (Fig. 3.13).
\[ r_x = r_i \left(1 \pm \alpha \theta_x\right) \]
(3.27)
the surface takes a parabolic profile with linear temperature variation. So the tool needs a corresponding change in profile to make a plane work surface (Fig. 3.13).
**Fig. 3.13 Effect of Temperature on Surface Profile**
3.8.2 Variation in Gas Bubble Concentration
Electrolyte induces the variation in gas-bubble concentration along its flow direction. The void fraction will produce a change in the resistance of the electrolyte in a way,
\[ r_x = r_t (1 \pm \beta x) \] \hspace{1cm} (3.28)
where \( \beta \) is the coefficient of the change in resistance due to void fraction.
The corresponding machining error and necessary correction needed in the tool profile is shown in Fig. 6.14.
### 3.8.3 Variation in Sludge Concentration
The dielectric flow again induces the reaction products produced at the anode (work) surface to flow along with it. This causes the sludge concentration to increase continuously along the flow direction again bringing a change in the resistance of the electrolyte as
\[ r_x = r_t (1 \pm \gamma x) \] \hspace{1cm} (3.29)
where \( \gamma \) is the coefficient in the change in resistance due to variation in sludge concentration.
Hence, the necessary correction needs to be provided.
### 3.8.4 Combined Effect
The combined effect of errors discussed above is summarised in Fig. 3.15.
In quantitative terms, electrolyte temperature and gas and sludge contents affect the distribution of local material removal rate in a plane parallel gap. The hydrogen evolving at the tool and sludge at the work piece produces three-phase layer (consisting of sludge, electrolyte and gas bubbles) at the electrode gaining in depth in the direction of the electrolyte flow.
Changes in the properties of the medium filling the gap entail change the pattern of heat generation (Fig. 6.16b), that affect the machined profile. So suitable correction is needed as shown above.
Fig. 3.15 Effect of Sludge Concentration
Fig. 3.16 Effect of Heat Build-up in the Electrolyte and Amount of Gas and Sludge in the Gap on the Distribution of Removal Rate in ECM Process
A point is to be noted here that the movement of the bubbles and sludge affects the coherency in machining process in a plane perpendicular to the flow as shown in Fig. 3.17. So flow lines, equivalent to lay-lines as in the case of conventional machining processes, are observed along the electrolyte flow direction. This might be taken into advantage while orienting such lines in a desired direction so as to make the electrolyte flow in the same direction.
3.8.5 Effect of Feed Variation
While machining a contour (Fig. 3.18) the gap at different surfaces changes under equilibrium condition. Thereby, the rate of machining will affect the surfaces. So care must be taken to prevent inaccuracy under such conditions. One can redesign tool profile as discussed below.
The two surfaces inclined at an angle $\alpha$ and $\theta$ with the feed direction (Fig. 3.18) will produce unequal gap lengths of ‘$h$’ and $y$ respectively. The machining on the surface inclined at an angle ‘$\gamma$’ will be more compared to the other (eq. 3.11). So the surface needs a correction of ‘$x$’ so as to maintain an equilibrium gap of ‘$z$’, say. The correction needed for the surface can be estimated as follows.
From the geometry of the two $\Delta$s ABC and ABD,
\[
\frac{h}{\sin \alpha} = \frac{y}{\sin \gamma}
\]
or \( y = h \csc \alpha \sin \gamma \) \hspace{1cm} (3.30)
again, since (eq. 6.11)
\[
\frac{dh}{dt} = \frac{C}{h}
\]
and if \( \delta h \) and \( \delta z \) are the machining rates achieved at the two surfaces under equilibrium conditions, then,
\[
\frac{\delta h}{\delta z} = \frac{z}{h} \hspace{1cm} (3.31)
\]
But from geometry of the triangles containing \( \delta h \) and \( \delta z \)
\[
\frac{\delta h}{\sin \alpha} = \frac{\delta z}{\sin \gamma}
\]
since both contain a side equal to the length \( S \), feed-rate
or \( \frac{\delta h}{\delta z} = \frac{\sin \alpha}{\sin \gamma} \) \hspace{1cm} (3.32)
from eqs. 6.31 and 6.32
\[
\frac{z}{h} = \frac{\sin \alpha}{\sin \gamma}
\]
or \( z = h \csc \gamma \sin \alpha \) \hspace{1cm} (3.33)
Hence, the necessary correction can be drawn from 6.30 and 6.33 as
\[
x = z - y = h(\cos \gamma \sin \alpha - \cos \alpha \sin \gamma) \hspace{1cm} (3.34)
\]
So, when \( \alpha = 90^\circ \), i.e. first surface perpendicular to the feed direction, the correction needed for the second surface is
\[
x = h(\cos \gamma - \sin \gamma) = h \frac{\cos^2 \gamma}{\sin \gamma} = h \cot \gamma \cos \gamma \hspace{1cm} (3.35)
\]
Any curved surface to be generated need not be produced by trial and error, but can be corrected by finite-element methods considering the difference in slope between the element with respect to preceding element to give a solution (Fig. 6.19).
3.9 APPLICATION
This process is highly versatile to process extremely difficult-to-machine metals and its alloys (electrically conductive) not possible by conventional methods. Though the stock removal is lower as compared to conventional machining (since ECM needs removal atom by atom), yet proves to be more economical when machining very hard materials with hardness above 420 BHN value (Fig. 6.20). Moreover, this process directly gives the surface quality which does not require further finishing operations and machining can be done even after heat-treatment process.
**Fig. 3.19 Variation in Tool Profile with Respect to Work Surface**
The ECM is used for die-sinking, profiling and contouring, multi hole drilling, trepanning, broaching, honing, steel mill applications, surfacing, sawing, contour machining of hard and hard-to-machine materials. It operates on constant feed system and the required motions are given depending upon the variety of difficult processing operations (Fig. 3.21).
As can be seen, this process has no tool wear, the machining rate is directly proportional to current (power) and the machining rate does not affect the surface finish (since reaction is at atomic level) unlike conventional and other processes. It is considered to be a high production machining system, and it does not require a finishing operation. Another biggest advantage of this process is that to produce crack and stress-free surfaces (excepting intergranular attack), there is no thermal damage. It is independent of hardness of work material and the machine operates at high unidirectional feed (for 3D profile also).
Fig. 3.20 Comparison of Penetration Rates in Conventional Drilling and ECM Process
Fig. 3.21 Types of ECM Operation.
Another advantage of this process is that lay lines (here flow lines) of the roughness is along the liquid flow direction. Hence, the desired lay line orientation can be achieved easily and it also generates a burr-free surface.
The disadvantages, apart from considering its suitability for use in a specific work, lie in:
- Difficulty in learning to use the process.
- Heavy initial investment.
- Difficulty in designing a proper tooling system.
- Corrosion-free material requirement for the structure and electrolyte handling systems.
- Though the process provides high surface finish and stress-free surfaces, preferential etching of highly dissolving impurities present at the inter-granular boundaries may result in tunneling effect.
- Hydrogen liberation at the tool surface may cause hydrogen-enbrittlement of the surface.
- Spark damage may become sometimes more problematic.
- Fatigue property of the machined component may reduce as compared to conventional techniques, so may need further treatments.
3.10 OPERATIONAL SUMMARY
**Power Supply**
| Parameter | Value |
|-----------------|------------------------|
| Type | Direct Current |
| Voltage | 2 to 30 V |
| Current | 50 to 40,000 A |
| Current density | 10 to 500 A/cm² |
**Electrolyte (Type and concentration)**
| Parameter | Value |
|-----------------|------------------------|
| Mostly used | NaCl 50 to 250 g/L |
| Frequently used | NaNO₃ at 120 to 500 g/L|
| Occasionally used| Proprietary mixtures |
| Temperature | 26° to 50°C |
| Flow rate | 16 lit/min/LOOA |
| Velocity | 1,500 to 3000 m/min |
| Inlet pressure | 130 to 2200 KPa |
| Parameter | Range |
|---------------------------|------------------------|
| Outlet pressure | 0 to 300 KPa |
| Frontal working gap | 0.075 to 0.75 mm |
| Side overcut | 0.125 to 1 mm |
| Feed rate | 0.50 to 13 mm/min |
| Electrode material | Copper, Brass, Bronze |
| Tolerance | |
| 2-D shape | 0.025 mm |
| 3-D shape | 0.050 mm |
| Surface Roughness, Ra | 0.2 to 1.5 μm |
### 3.11 SOME TYPICAL APPLICATION NOTES [5]
- Electrochemical sinking of the Disc for Turbine Rotor Blades.
- Thin wall mechanical slotting of the Collets, makes it difficult for manufacturing and costly, can be replaced by EC-sinking where the parts could be finished in one operation without burrs, deformation and stress.
- Difficult to machine Hollow Shafts are easier and faster by ECM.
- Chain Pinions (Sprockets) are processed in 50 sec with cycle time of 65 sec by 300 amp/part.
- EC-sinking is possible for machining internal profile of Internal Cams.
- Driving Joints are processed in two shapes within 44 sec (cycle time 28 sec) with 80 amp/part.
- Pump Glands are processed within 10 sec (cycle time 15 sec) with 250 amp/part.
- Connecting Rod is processed within 18 sec with cycle time of 46 sec.
- Splined Rear Axle Joint is processed in 30 sec and cycle time of 33 sec with 500 amp/part.
- Hydraulic Spools are processed in two steps within 50 sec with current of 280 amp/part.
- Gear Wheels are processed in 25 sec (cycle time of 28 sec) with 400 amp/part.
4.1 INTRODUCTION
Conventional grinding produces components with good surface finish and dimensional tolerances but such components are also associated with burrs, comparatively large heat affected zone (HAZ), and thermal residual stresses. These defects are not found in electrochemically ground workpieces (anodes). During electrochemical grinding (JECG), material is removed by mechanical abrasive action (about 10%) and by electrochemical dissolution (about 90%) of anodic workpiece. As in any other electrochemical dissolution based process, workpiece should be electrically conductive. Electrolyte is recirculated in ECG, hence, an effective and efficient electrolyte supply and filtration system is needed. The commonly used electrolytes are sodium chloride (NaCl) and sodium nitrate (NaNO₃).
In ECG, there is a grinding wheel (cathode) similar to a conventional grinding wheel except that the bonding material is electrically conductive. Electrolyte is supplied through inter electrode gap (IEG) between the wheel and the workpiece. The height of abrasive particles protruding outside bonding material of the wheel helps in maintaining a constant IEG because the abrasive particles act as spacers. Life of the ECG wheel is about ten times more than that of the conventional grinding wheel. Two factors are responsible for such a high wheel-life: only 10% contribution by abrasive action towards the total material removal, and very small length of arc of contact.
In ECG, the area in which machining is taking place can be divided into 3 zones (named as, zone I, zone II, and zone III) as discussed in the following. Fig. 4.1 shows a schematic diagram for ECG set-up.
In zone I (Fig. 4.2), material removal is purely due to electrochemical dissolution and it occurs at leading edge of the ECG wheel. Rotation of the ECG wheel helps in drawing electrolyte into the IEG. As a result of electrochemical reaction in zone I, reaction products (including gases) contaminate electrolyte resulting in lower conductivity. In fact, presence of sludge, to some extent, increases conductivity of the electrolyte [Jain et al, 1990], while that of gases decreases it. Net result is a decrease in the value of conductivity of the electrolyte. It yields a lower value of IEG. As a result, abrasive particles touch the workpiece surface and start removing material by abrasive action. Thus, a small part of material is removed in the form of chips. Further,
electrolyte is trapped between the abrasive particles and workpiece surface, and it forms a tiny electrolytic cell as shown in Fig. 4.2. In each electrolytic cell, small amount of material from the workpiece is electrochemically dissolved.
The electrolyte is being forced into the IEG in zone II by rotational motion of the wheel. As a result, local electrolyte pressure increases in this part of the IEG (zone II). It suppresses formation of gas bubbles in the gap yielding higher MRR. Chemical or electrochemical reaction may result in the formation of passive layer on the workpiece-surface. In this zone II, abrasive grains remove material from the work surface in the form of chips and also remove non-reactive oxide layer. Most of the metal oxides formed are insoluble in water, and electrically nonconductive.
Removal of non-reactive oxide layer promotes electrolytic dissolution. It exposes fresh metal for further electrolytic action. Hence, it is also called [Bhattacharyya, 1973] as “mechanical assisted electrochemical grinding” process.
In zone III, material removal is totally by electrochemical dissolution. Zone III starts at the point where wheel lifts off the work-surface. In this zone, pressure is released slowly. This zone contributes to the removal of scratches or burrs that might have formed on the workpiece in zone
### 4.1 ECG MACHINE TOOL
The ECG systems are very similar to conventional grinders (Fig. 4.3). In ECG system, machining area is made up of non-corrosive materials. Power is supplied through spindle either
with the help of brushes or mercury coupling. The latter can carry more current than the previous one. The probability of short circuiting during ECG is very low because of the presence of protruding abrasives which create a positive IEG. Hence, in this system, there is less need of having short circuit cut-off devices.
Fig. 4.2 Three machining zones and tiny electrochemical cell formation in ECG.
Five different kinds of ECG operations can be performed, viz electrochemical (EC) cylindrical grinding, electrochemical form grinding, EC surface grinding, EC face grinding and EC internal grinding. EC cylindrical grinding is the slowest process because of the limited area of contact between the...
Fig. 4.3 Electrochemical grinder [Hammond Machinery, USA]
wheel and the workpiece. However, EC face grinding is the fastest process because of maximum area of contact between the anode and the cathode. Uneven wheel wear can be controlled by providing oscillating motion to the workpiece. In EC surface grinding, the workpiece reciprocates. EC internal grinding and EC form grinding are the same as conventional internal and form grinding operations except that the ECG wheel is electrically conducting and the electrolyte is present in the IEG. Metal bonded grinding wheels have many advantages over resinoid bonded wheels. In ECG wheel, the commonly used bonding materials are copper, brass, nickel, or copper impregnated resin. Such metal bonded wheels are effectively dressed using electrochemical process. To prepare (or dress) them, reverse the current (or make the wheel as anode) and do the grinding on the scrap piece of metal. It will deplate the metal bond. The commonly used abrasive is alumina (grit mesh size 60-80). ECG does not require frequent wheel dressing. Dissolution of bond metal usually makes mechanical shear unnecessary. Trueing of the metal bonded grinding wheel is done, in-process, during electrochemical dressing. Further, the electrolyte used in ECG should be chemically inert to the conductive wheel bond material and workpiece. Current rating of these machines is usually 50-3000 A.
4.2 PROCESS CHARACTERISTICS
Performance of ECG process depends on various process parameters such as wheel speed, workpiece feed, electrolyte type, concentration and delivery method, current density, wheel
pressure, etc. By selecting appropriate values of these parameters, MRR and surface finish obtainable during the process can be varied over a wide range [Kuppuswamy, 1976].
Current density is one of the most important parameters that influences the process performance. Material removal rate (MRR) in ECG is also governed by current density. With higher current density, both MRR and surface finish improve. If the applied voltage is very high (usual range is 4-15 V), it may deteriorate surface finish of the machined workpiece as well as damage the tool (grinding wheel). Presence of such condition is perceived by spark formation at the front of the wheel. Selection of an appropriate feed rate to the tool is important. If it is higher than the required one, the abrasive particles will prematurely detach from the wheel, leading to excessive wheel wear. If it is lower than the required one, a large overcut (or poor tolerances) and poor surface finish will result. The IEG is usually a quarter of a millimetre while using a freshly dressed wheel. Surface speed of the wheel is in the range of 1200-1800 m/min. The depth of cut is usually below 2.5 mm and it is limited by the wheel contact arc length, which should never exceed 19 mm; otherwise electrolyte becomes ineffective because of higher concentration of H\textsubscript{2} gas bubbles and sludge [Benedict, 1987]. MRR achieved during ECG may be high as 10 times compared to conventional grinding on hard materials (hardness > 65 HRC). But tolerances obtained in ECG are poorer (\pm 0.0025 mm). Minimum inside corner radius of 0.25 mm and outside corner radius of 0.025 mm can be produced by this process. Abrasive particles maintain electrical insulation between cathode and anode, and determine the effective gap between them (may be as low as 0.025 mm). Surface finish obtained by ECG ranges from 0.12 and 0.8 \mu m. The surface produced by ECG is free of grinding scratches and burrs. Surface finish produced on nonhomogeneous materials during ECG is better than that produced during conventional grinding. In spite of more initial investment, the cost of EC grinding is lower than that of conventional grinding due to much higher MRR during ECG. Risk of thermal damage is also reduced. Electrochemical grinding of WC-Co has been reported [Levinger and Malkin, 1979]. The initial specific etching rate of cobalt phase is higher than that of WC phase. In addition to the direct dissolution of material, the electrolysis process in ECG weakens the cermet material by selective removal of cobalt. When the in-feed rate during ECG is less than the initial specific etching rate of cobalt phase, selective etching of cobalt occurs that reduces mechanical power requirement for machining. At higher in-feed velocities, the reduction in mechanical power requirement is marginal. Study of surface roughness produced during ECG [Geva et al., 1976]
clearly indicates that there is selective electrochemical etching of the metal phase (Cobalt). It weakens the composite material and, thereby, reduces the forces required for mechanical grinding. Kuppuswamy and Venkatesh [1979] conducted experimental study to investigate the effect of magnetic field on electrolytic grinding using diamond, SiC, and Al\textsubscript{2}O\textsubscript{3} wheels. It has been found that the magnetic field in case of a diamond wheel, improves the process performance but the same is not true for Al\textsubscript{2}O\textsubscript{3} wheel. In case of SiC wheel, the improvement obtained is marginal. The magnetic field interacts with the moving charged particles and may affect the rates of both mass transport and charge transfer processes [Dash and King, 1972]. The magneto-hydrodynamic force leads to stirring of electrolyte particularly in the neighbourhood of electrodes. It leads to enhanced mobility and hence an increased rate of electro-chemical reactions. Gedam and Noble [1971] concluded that fine grits and low concentration wheels show a tendency to draw more current and thereby achieve greater MRR than coarse grits and high concentration wheels. ECG is a cold process (bulk temperature < 100°C), thus prevents structural damage and grinding cracks. However, electrochemically ground specimens show relatively poor fatigue strength, possibly due to stray current attack of the surface, which leaves a series of ‘pits’ that would act as sites for fatigue crack initiation [DeBarr and Oliver, 1968].
Declogging of the grinding wheel can be done by reversing its polarity (making the tool as anode) for a short period. It may, however, result in longer machining time and degeneration of the wheel-shape.
4.3 APPLICATIONS
Electrochemical grinding is economical for grinding carbide cutting tool inserts. Microscopic study of electrochemically ground surfaces of the cemented carbide do not reveal any damage to the microstructure, microcracks, or any other defects. This process is also used to reprofile worn locomotive traction motor gears. Usually wear marks from the gear tooth surfaces are removed by removing as much as 0.38 mm thick layer of material. ECG does not have any effect on gear hardness. ECG is also used for burr-free sharpening of hypodermic needles, grinding of superalloy turbine blades, and form grinding of fragile aerospace honeycomb metals.
5.1 INTRODUCTION
A designer during the design phase of a component usually considers the aspects like material, form, dimensional accuracy, surface texture and heat treatment, but not the surface integrity and edge quality [K. Takazawa, 1988]. However, the last two factors are very important from the point of view of performance and the life of the product. Fig. 5.1 shows the concepts of surface technology. In this chapter, some discussion on how to achieve the desired edge quality (shape, dimension, tolerance and surface roughness) through electrochemical deburring is presented.
When a component is processed by a conventional machining method, usually, it is left with burrs specifically along the two intersecting surfaces. Such burrs are undesirable from the viewpoint of performance of a component as well as safety of an operator, or for that matter whosoever works with this component. Such burrs can be removed by one of the deburring processes. Deburring is an important phase for manufacturing quality products, especially in large scale industries. The problems of burrs are still persisting and unsolved in many industries. Attempts are made to reduce burr level by various means, viz. by fixing speed, feed rates, and tool life, but this could not be achieved for certain reasons. Hence, the quality of the products is affected.
Fig. 5.1 Concepts of surface technology [K. Takazawa, 1988]
5.2 Definition of Burr:
Burr are three-dimensional in nature (Fig. 5.2) having length ($l$), height ($h$) and thickness ($t$) as described in the following:
1 (Burr length): length of the edge along the burr axis.
$h$ (Burr height): distance of the burr projected above the parental surface.
$t$ (Burr thickness): thickness or width of the burr where it joins the parental surface.
Burr Hardness: Hardness of the burr in the vicinity of the base of the bun.
![Fig. 5.2 Terminology of a burr [Naidu, 1991].](image)
Types of Burrs Formed During Different Manufacturing Methods:
| Types of Burrs | Figure of the Burr | Remarks |
|-------------------------|--------------------|------------------------------------------------------------------------|
| Compressive burr |  | The burr produced in blanking and piercing operations in which slug separates from the parent material under compressive stress. |
| Cutting off burr |  | A projection of material left when the workpiece falls from the stock. |
| Type of Burr | Diagram | Description |
|----------------------|---------|--------------------------------------------------|
| Corner burr | ![Diagram] | Intersection of three or more surfaces. |
| Edge burr | ![Diagram] | Intersection of two surfaces |
| Entrance burr | ![Diagram] | Cutting tool enters in the workpiece. |
| Exit burr | ![Diagram] | Cutting tool exits the workpiece. |
| Feather burr | ![Diagram] | Fine or thin burr. |
| Flash burr | ![Diagram] | Portion of flash remaining on the part after trimming. |
| Hanging burr | ![Diagram] | Loose burr not firmly attached to the workpiece. |
| Roll over burr | ![Diagram] | Burr formed when it exits over a surface and allows the chips to be rolled away. |
| Tear burr | ![Diagram] | Formed from the sides of the tool as the tool tears the edge. |
5.3 Basic Approach on Deburring
In the modern industrial technology, the deburring process has attained great importance because of rigid quality standards. In analyzing the specific situations, one has to know ‘why deburring is required?’ Burrs, to some extent, can be reduced by controlling cutting conditions, but cannot be eliminated completely. Hence, deburring becomes inevitable. However, deburring cost should not be very high. This requires careful considerations regarding effects of the presence of burrs.
on functional, physiological and aesthetic requirements [Naidu, 1991], as outlined in the following chart.
5.4 CLASSIFICATION OF DEBURRING PROCESSES
Deburring processes can be classified (Fig. 5.3) as:
1. Mechanical deburring,
2. Abrasive deburring,
3. Chemical and Electro-chemical deburring, and
4. Thermal deburring.
5.3.1 **Mechanical deburring**, using cutting tools, brushes, scrapers, belt sanders, etc., is generally unreliable as it is labour oriented and is only a burr-minimizing process. It does not meet the requirements of high edge quality because of the existence of fine burrs even after mechanical deburring operation.
5.3.2 **In abrasive deburring** like tumbling, barrel finishing, vibratory deburring, liquid abrasive flow, sand blasting^etc, the selection of abrasive medium, its shape and quantity play an important role. Deburring by this method generally affects other areas on the component where deburring is not required and has limitations on edge quality. The reliability, uniformity and MRR of these processes are low, and tend to charge the workpiece with grits.
5.3.3 **In thermal deburring** (TDe), components to be deburred are placed in the deburring chamber. The chamber is closed and filled with combustible gas mixture of oxygen and hydrogen. After ignition by an electric spark, the gas burns in few milliseconds and the temperature attained is over 3500°C. Due to this short heat wave, burrs and sharp edges on the component burn away.
5.3.4 **Chemical deburring** is the process where the burrs are dissolved in chemical media. It also may affect the areas where material removal is not required.
Principle of anodic dissolution (ECM) has also been applied [Benedict, 1987; Rumyantsev and Davydev, 1989] for the removal of burrs. However, in case of electrochemical deburring (ECDe) as compared to ECM, magnitude of current, electrolyte flow rate, and electrolyte pressure are all low. Secondly, tool is stationary. Fig. 14.4 shows an ECDe system.
5.3.5 **Electrochemical deburring** is generally employed for far away located as well as inaccessible places where other deburring processes are not effective. This process involves the use of flowing electrolyte for conducting electric current for the electrochemical reaction to take place. The current rating and duration of the current flow to suit a particular component are determined after extensive trials for each type of the component. The electrolyte commonly used is either sodium chloride or sodium nitrate. Because of the corrosive nature of the electrolyte
5.4 **DEBURRING PROCESS**
Much of this research and development has now made the transition from the laboratory into the production.
and ferrous hydroxide released by the process, machines are built with noncorrosive materials.
**Electro polishing deburring (EPDe)** is different from EC deburring. The metal removal and polishing simultaneously take place on all the surfaces in EPDe, whereas in ECDe, the metal removal is localised. In this process, a component which has roughness and some burrs, is subjected to selective electrochemical attack. As a result, microprofile is smoothened and levelled.
Selection of a process depends on the edge quality and other requirements of the component. Most of the modern industries are switching over to modern technologies like ECDe, EPDe and TDe due to obvious advantages including cost savings.
### 5.5 ELECTROCHEMICAL DEBURRING (ECDe)
This process has been tried out successfully on contours where the conventional deburring tools can not be used. The performance of the process is improved with higher current intensities. It requires specially engineered equipment for its use as manufacturing unit. It consists of:
1. Electrolyte system which provides high velocity to the electrolyte flow,
2. Electrical power system which supplies the electrolyzing current,
3. Mechanical structure which locates and provides movement/mounting to the electrodes, and
4. Separator which separates the sludge.
5.6 Principle of working
When a voltage is applied between two metal electrodes immersed in an electrolyte, current flows through the electrolyte from one electrode to the other. Unlike the conduction of electric current in the metals in which only the electrons move through the structure of the material, ‘ions’ (electrically charged groups of atoms) physically migrate through the electrolyte. The transfer of electrons between the ions and electrodes completes the electrical circuit and also brings about the phenomenon of metal dissolution at the positive electrode or anode (workpiece). Metal detached atom by atom from the anode surface appears in the main body of the electrolyte as positive ions, or as precipitated semi-solid of the metal hydroxide, which is more common in electrochemical deburring process.
The tool is usually insulated on all surfaces except a part which is adjacent to the burr(s). Instead of insulated tool, a bit type of tool [Jain and Pandey, 1982] can also be used. The electrolyte is made to flow through inter electrode gap. However, setting of dimensions of the bare part of the tool, time of machining, and other machining conditions are all decided by ‘trial and error’ method. The inter electrode gap (IEG) is usually kept in the range of 0.1-0.3 mm. The deburring tool-tip should normally overlap with the area to be worked by 1.5 to 2.0 mm.
5.7 ECDe machine tool (M/T) is usually designed with multiple work stations served from a single power supply. The electrolyte is properly filtered out before its re-circulation. Criteria for selection of tool material used is the same as for general ECM.
It is considered as a high-tech method when compared to the conventional methods of deburring. Before applying ECDe method for a particular type of job, one should know about thickness, shape, and repeatability of burrs on the job in hand. Almost identical shape and size of the burrs should be on the job otherwise efficient burr removal may not take place. Further, the part of the tool supposed to remove burrs should be shaped as a replica of the contour of the work. Fig. 5.5 shows a tracing from the micrograph of a sample deburred electrochemically.
In some cases, deburring can also be done with the help of a movable ECDe unit [Rumyanstev and Davydov, 1989] consisting of deburring gun, electrolyte supply tank, and power supply unit (= 50 A max. current). The deburring gun is supplied with electrodes of different diameter and length so that it can be used to deburr hard-to-get places. However, in some cases, tool of varying length may be needed. For this purpose, a flexible tool is used which consists of wire coiled into a closely wound spring. The details of the tool are shown in Fig. 5.6 (1-insulating
spherical tip, 2-copper tip with a hole for electrolyte supply, 3-spring, 4-PVC sleeve, 5-copper shank press fitted to the spring. The flexible electrode is attached to the gun by means of shank 5). The deburring gun is also used to deburr edges of sheet metals. Deburring speed may be as 400-500 mm/min.
The data in the following table may be useful for practical deburring purposes:
![Fig. 5.6 A tool for a movable electrochemical deburring unit [Rumyantsev and Davydev, 1989].](image)
| Material | Electrolyte | Applied Voltage | Current Density | Deburring Time |
|---------------------------|----------------------|-----------------|-----------------|---------------|
| Carbon and low carbon steel| 5-15% NaNO₃ | | | |
| Copper alloys | + 2-5% NaNO₂ | | | |
| Aluminium alloys | 5-15% NaNO₃ | 12-24V | 5-10 A/cm² | 5 -100 s |
| Stainless Steels | 5% NaNO₃+NaCl | | | |
ECDe is found suitable for removing burrs from tubes and pipes widely varying in configuration, length and cross-sectional area.
**5.8 Functions of Electrolyte and its Importance**
Depending upon the requirements of the process, sodium chloride (NaCl) and sodium nitrate
(NaNO₃) are generally used as electrolytes. The other electrolytes like hydrochloric acid, potassium chlorate, etc. have certain disadvantages in the process application. Sodium nitrate and sodium chloride have certain variations in usage [Naidu, 1991] which are as follows:
| Details | Sodium Nitrate | Sodium Chloride |
|----------------------------------------------|----------------|-----------------|
| 1. Voltage requirements | High | Low |
| 2. Reaction | Normal | Aggressive slow |
| 3. Increase of pH value | Fast | Slow |
| 4. Machining efficiency | | |
| • Low carbon steel | 60-80% | 80-100% |
| • High carbon steel | Good | Poor |
| • Aluminium | Good | Poor |
| 5. Machined surface | | |
| • Roughness | About 5 µm | About 1 µm |
| • Colour | Dark grey | Bright grey |
| • Edges | Sharp & distinct | Blunt & dull |
| • Dimensional accuracy | Accurate | Not accurate |
| • Reach | Up to 1 mm | Up to 5 mm |
| • Effect on surrounding surface | Limiting stray machining and pitting of adjacent areas | Removes material from surrounding areas and pitting damages adjacent areas. |
| 6. Cost | Costly | Not very expensive. |
The deburred component shows a localized deposit (dark grey) which is a reaction product of the process. The composition of the reaction product while deburring ferrous component is Fe₃O₄. It is a magnetic oxide of iron and its thickness is less than 1 pm. The adhesion of the deposit is very strong and it can be removed only mechanically. In specific cases, this deposit can be removed from unhardened components (urialloyed or low alloyed steels) as follows:
1. Anneal under air flow for more than 40-60 min at 430°C,
2. Pickle in hydrochloric acid for 1/2 min,
3. Anodically clean in alkaline bath for about 2 min.
In most of the cases, the deposit is electrochemically conductive and does not come in the way of galvanic deposits. This deposit disappears during heat treatment of the components.
5.9 APPLICATIONS
ECDe has applications in industries like consumer appliances, biomedical, aerospace, automobile, etc. ECDe is used for the components like gears, splines, drilled holes and milled components, fuel supply and hydraulic system components, etc. It is very successful even in the situations where two holes cross each other like crank shaft. Apart from economics of the process, it gives higher reliability, reduced operation time, and more uniformity. This process can be automated in an easier way than other processes. Fig. 14.7 shows a gear before and after deburring.
5.10 SPECIFIC FEATURES OF ECDe M/C
Specific features of an ECDe M/C are summarized as follows:
1. **Application**: Removal of thin and thick burrs at inaccessible and irregular areas within the restricted zone, and wherever edge rounding is required.
2. **Principle**: High velocity electrolyte (sodium chloride/sodium nitrate) is passed through the IEG between the tool-cathode and the component-anode connected to the electric potential. The undesired superfluous projections on the component are dissolved electrochemically within a preset cycle time of a few seconds. The dissolved burrs in the form of hydroxides settle down and the electrolyte is regenerated. The hydroxide is disposed through outlet drain.
3. **Equipment**: Consists of specially designed DC-power pack, working station, storage tank, and necessary controls. All the controls and safety requirements are interlocked in a logic system.
4. **Capacity**: It is decided based on the area of deburring and production quantity. Approximately 200 mm diameter gear with the tooth profile and spline slots are deburred within 45-60 s cycle time on a 500 A capacity machine.
5. **Consumables**: A 500 A capacity machine requires approximately 20 kg of electrolyte salt per week, working in two shifts. The cathode electrode wears out at the insulating areas where the component has heavy burrs, hence the life of the electrode is approximately
3000-25000 components per electrode. The cost of such electrode varies from Rs. 1000 to 5000.
6. **Adoption**: It can be adopted to any material through the selection of an appropriate electrolyte. Generally sodium nitrate (NaNO₃) is used on steels, cast iron and aluminum for a precise deburring, and sodium chloride (NaCl) is used on steels for an aggressive deburring.
![Fig. 5.7 A gear before and after deburring [Courtesy, EleChem Technik, Bangalore].](image)
7. **Pollution**: Electrolyte is a domestic salt and solution is free from health hazard. The hydroxide removed from the drain valve is extensively being used as a raw material for the lapping paste.
8. **Quality**: The component having the burr root thickness less than 0.2 mm and the height less than or equal to 1 mm, can be precisely deburred by maintaining the edge rounding from 0.2-0.5 mm radius, and the cycle time for approximately 20-30s. If the burr size is larger than the above stated one, the edge quality after deburring would be of approximately 0.5-1.5 mm radius and cycle time required will be 66-90s depending upon the burr level. There will be discoloration at the adjacent area but no material removal; however, as the cycle time increases more than 30s, there will be slight material removal (approximately 0.05 mm) on a width of 1-2 mm adjacent to the deburred area. It can be controlled through tooling, if desired.
9. **Components Cleaning**: Before deburring, the components should be free from loose burrs which damage the electrodes, and from grease/oil which contaminates the electrolyte. Hence, it is preferred to thoroughly wash the components just before deburring. After
deburring, it should be dipped immediately in running water followed by dewatering fluid, thus protecting against corrosion.
*Deburring is advised to be done usually before any surface treatment. There will be no hydrogen embrittlement.*
6.1 INTERDUCTION
ECH is one of the most potential micro-finishing process in which material is removed by anodic dissolution combined with mechanical abrasion of bonded abrasive grains (capability to machine material of any hardness, production of stress-free surface with good finish and higher MRR) with the capabilities of mechanical honing (ability to correct shape/geometry-related errors, controlled generation of functional surfaces having cross-hatch lay patterns and compressive residual stresses) in a single process. At the same time, it overcomes some limitations of ECM along with certain limitations of mechanical honing (reduced tool life, low productivity due to frequent failure of honing sticks, inability to finish hardened workpiece and possibility of mechanical damage to the workpiece). ECH, therefore, provides a higher productivity alternative with many benefits that may produce surfaces that are not attainable by either of the processes when used individually.
Electrochemical honing (ECH) has capabilities and potential to be developed as an alternative of conventional gear finishing processes and can play an important role as high-precision gear finishing method because being a hybrid machining process it has potential to overcome most the limitations of conventional gear finishing methods and at the same time offers most of the capabilities of the conventional gear finishing methods. Electrochemical Honing (ECH) is one of the most potential hybrid electrochemical-mechanical process, is based on the interaction of Electrochemical Machining (ECM) and mechanical honing. In ECH, most of the material is removed by electrolytic dissolution action of ECM. But during ECM, a thin micro-film of metal oxide is formed on the workpiece. This film is insulating in nature and protects the workpiece surface from further being removed. With the help of bonded abrasives, honing acts as scrubbing agent to remove the thin insulation layer from high spots and thus produces fresh metal for further electrolytic dissolution. The typical range of process parameters for ECH is given below in Table 2.
| Power Supply | Electrolyte |
|--------------|-------------|
| Type: DC | Type: NaNO₃, NaCl |
| Voltage: 6-30 V | Concentration: 120 g/L (NaNO₃), 240 g/L (NaCl) |
| Current: 100-3000 A | Temperature: 25-38°C |
| Current density: 15.5-465 A/cm² | Pressure: 500-1000 kPa |
| | Flow rate: Upto 95 L/min |
| | IEG: 0.076-0.25 mm |
Table 1: Typical value of ECH parameters.
6.2 Equipment and working principle:
Honing is a subtractive type manufacturing process in which material is removed by the cutting action of bonded abrasive grains and is used to improve the form, dimensional precision and surface quality of a workpiece under constant surface contact with the tool. Different honing techniques namely *longitudinal stroke honing* is used for connecting rod holes, brake drum, cylinder liners, etc.; *short stroke honing* is used for crank shaft, rotor shaft; *profile honing* is used for tracks of inner and outer ball bearing rings; *surface honing* for finishing roller guideways, guide rails; *gear honing*, etc. are commonly used in Industries.
1 Electrolyte settling tank; 2 Flow control valve; 3 1st stage filter cum magnetic separator; 4 Electrolyte storage tank; 5 Temperature control system; 6 Stainless steel electrolyte supply pump; 7 Pressure gauge; 8 Flow meter; 9 2nd stage filter cum magnetic separator; 10 Mist collector; 11 DC power source; 12 Carbon brush and slip ring
assembly; 13 Copper connector; 14 Seal hub; 15 Hydraulic cum mechanical seal; 16 Tool body; 17 Honing sticks; 18 Workpiece; 19 Electrolyte exit holes; 20 Work chamber; 21 Fixture cum electrolyte inlet sleeve
Figure 6.1 presents a schematic of the ECH set-up for finishing of an internal cylinder. It consists of five major subsystems: (i) DC power supply; (ii) tool for ECH process; (iii) the kinematic system for tool motion; (iv) electrolyte supply and cleaning system; and (v) machining chamber for holding and positioning workpiece. A power supply unit provides a DC voltage (3–40 V) and constant current (up to 200 A) across the electrolyte flooded inter-electrode gap. The positive terminal of the power supply is connected to the workpiece by means of a carbon-brush and slip ring assembly, while the negative terminal is directly connected to a brass ring mounted over the axle of the cathodic tool. An ECH tool for finishing of cylindrical workpieces typically consists of a Teflon (PTFE) body over which a hollow stainless steel sleeve is placed having provision for an even number of equally spaced honing sticks to protrude out circumferentially by a light spring mechanism which can be used to adjust the required honing pressure. These honing sticks being electrically non-conducting maintain a uniform inter-electrode gap and preferentially remove the non-conductive passive layer of metal oxide from the high spots to correct errors/deviations in geometry/shape of the cylindrical workpiece. The tool is provided a precisely controlled combination of rotation and reciprocation simultaneously. Rotary motion is provided by a speed-controlled DC servo motor, while the reciprocating motion is provided by a microprocessor-controlled stepper motor.
6.3 Advantages, Limitations and Applications
6.3.1 ECH offers many useful advantages as follows:
(i) Material of any hardness (but electrically conducting) can be finished by ECH;
(ii) It produces surfaces with a distinct cross-hatch lay pattern that is beneficial for oil retention;
(iii) ECH not only produces high-quality surface finish and surface integrity but also has the ability to correct errors/deviations in geometry/shape such as out of roundness or circularity, taper, bell-mouth hole, barrel-shaped hole, axial distortion and boring tool marks for cylindrical surfaces and the ability to correct form errors (i.e. deviations in lead and profile) and location errors (i.e. pitch deviations and run-out) for cylindrical and conical gears;
(iv) It is faster when compared to ECM and mechanical honing. ECH can finish materials up to 5–10 times faster than mechanical honing and four times faster than internal grinding. The benefit is more pronounced for higher material hardness;
(v) Low heat generation thus making it suitable for the processing of parts that are susceptible to heat distortions;
(vi) increased life of abrasive sticks/tool due to the limited contribution of mechanical honing to the process; and
(vii) Low working pressure implies less distortion while finishing thin-walled sections. Despite the numerous advantages,
6.3.2 ECH does exhibit some limitations as follows:
(i) It can be used for finishing electrically conductive materials only;
(ii) It is more costly than the mechanical honing due to the cost of the electrical and fluid handling elements, need for corrosion protection, costly tooling and longer set-up time. This makes ECH more economical for longer production runs than for tool room and job-shop conditions;
(iii) It cannot finish blind holes easily; and
(iv) ECH cannot correct location of hole or perpendicularity.
Materials that can be finished by ECH include cast tool steels, high-alloy steels, carbide, titanium alloys, Incoloy 901, 17-7PH stainless steel, Inconel and gun steels. ECH is an ideal choice for superfinishing, improving the surface integrity and increasing the service life of the critical components such as internal cylinders, transmission gears, carbide bushings and sleeves, rollers, petrochemical reactors, moulds and dies, gun barrels and pressure vessels, which are made of very hard and/or tough wear-resistant materials, most of which are susceptible to thermal distortions. Therefore, ECH is widely used in the automobile industry, aerospace, petrochemical industry, power generation and fluid power industries. It has been successfully used for finishing bore sizes ranging from 9.5 to 300 mm and length up to 600 mm, ECH can achieve surface roughness up to 50 nm and tolerances of ±0.002 mm.
MODULE-III
Electro Discharge Machining: Mechanism of Material removal, Basic EDM circuitry and principle of operation, Analysis of relaxation circuits, Concept of critical resistance, Machining accuracy and surface finish, Tool Material, Dielectric Fluid, Application and limitations.
Introduction to Wire Cut Electrodischarge Machine (WEDM)
Laser Beam Machining: Lasing process and principle, Population Inversion, Principle of Ruby laser, Nd:YAG Laser and CO₂ Laser, Power Control and laser output.
Electro Discharge Machining
1.1 PROCESS
Electrical Discharge Machining (spark erosion machining!) is mainly a technique used for the manufacture of a multitude of ever changing geometries very often produced as unit jobs or in small batches. Controlled machining by electrical sparks was first introduced by Lazarenko in Russia in 1944. The first British patent was granted to Rudorff in 1950. USA, Japan and Switzerland developed their machines around 1950. A machine for spark machining by ‘method x’ was patented in USA in 1952.
The basic concepts of EDMing process is cratering out of metals (Fig. 1.1) affected by the sudden stoppage of the electron beam by the solid metal surface of the anode. The portion of the anode facing the direct electrical pulse reaches the boiling point. Even in the case of medium long pulse the rate of temperature increase in tens of millions of degree per second which means dealing with an explosion process (Fig 1.2). The shock wave produced spreads from the centre of the explosion inside the metal and on its way crushes the metal and deforms crystals. In the very small duration of the process the entire energy can only be expended in the surface layers of the anode. Actually, the mechanism of thermal conductivity has no time to start before the violent process of energy transfer is completed. When a suitable unipolar (pulsed) voltage is applied across two electrodes separated by a dielectric fluid, the latter breaks down. The
**Fig. 1.1 Scheme of EDM Process (Single Discharge Condition)**
electrons, so liberated, are accelerated in presence of the electric field collide with the dielectric molecules, causing the latter to be robbed off their one or two electrons each and immunize. The process grows and multiplies with secondary emission followed by an avalanche of electrons and ions. The resistance of the dielectric layer drops as it is ionized resulting into ultimate breakdown. The electric energy is discharged into the gap and multifarious actions take place- electrodynamic waves set in and travel at high speed causing shock-impact and high temperature rise at the electrode surfaces. The instantaneous temperature may reach as high as 10,000°C causing localized vaporization of the electrodes. The whole process can be represented as shown in Jig. 8.3. To machine some of the hardest materials, electrical discharge machining process has following important advantages which make it widely used in practice:
1. The process can be applied, in general, to any electrically conductive material. Other properties like strength, brittleness, etc. do not impose any restrictions to the application of the process.
2. The process provides a simple and straightforward method of form producing drop-forging, drawing and extruding dies and complex cavities in moulds and dies for plastics, die casting, glass and ceramic manufacturing.
3. Though the process involves temperature rise at the local spots to about 10,000° C which can vaporise the localised material to machine, there is no heating of the bulk materials. However, the ‘heat-affected-zone’ (HAZ) surrounding the local points extends in the bulk to a depth of about few microns.
4. The high rates of heating and cooling at the treated surface renders some extrahardness (Case-hardening) to the surface and this becomes a point of advantage in favour of the process.
5. Simple geometrical shape configurations can easily be produced by piercing or die-sinking in hardened die-plates with required accuracy and surface finish. Thus elimination of much complicated grinding and lapping is possible.
6. No mechanical stress is developed in the work material as there in no physical contact between the tool and work-piece. This permits machining fragile and slender work-pieces.
7. The process reduces time of machining in comparison with conventional grinding, honing or contour grinding, etc.
8. The crater-type non-directional (layless) surface pattern is said to retain lubricants, rendering the process particularly suitable for the finishing operations.
9. The surface finish produced by EDM process can be controlled to the required extent, minimising the extra cost involved in additional operation for achieving improved surface-finish.
10. Wire-cut EDMing process has revolutionized the production of hard surfacing on soft tough and cheaper backing material for blanking/ piercing die and punches. The hard surfacing materials are cut out of thin sheets of hard and wear resisting materials end enables to maintain proper clearance while cutting.
All these advantages enumerated above emphasise the importance of EDM in modern manufacturing technology. Yet, the process is not free from drawbacks and successful utilization of the process requires careful preparation of workpiece, proper planning of electrode and choice of dielectric even when the machining is to be done in the best available machine.
1.2 OPERATING PRINCIPLES
The EDMing process involves finite discrete periodic sparks between tool-electrode and conductive work-electrode separated by a thin film of liquid dielectric that causes the removal of work material. For consideration of mechanism of material removal, there exists three different theories briefly discussed as follows:
1.2.1 Theories of Material Removal Concepts
(a) High Pressure Theory
In this, due to sudden stoppage of electrodynamic waves, high impulsive pressure responsible for the erosion of electrodes is released on the electrode surface.
Pressure of electrical discharge reported might be as high as 1,000 kgf/mm² was predicted, but expected plastic deformation was not found on the surface. From the energy distribution of discharge spectrum, the pressure in the arc column remain between 10 and 100 kgf/cm². Actually the pressure is less than that reported because the acting area of discharge pressure is thought to be wider than the crater area. It is obtained that duration during which pressure acts is longer than discharge periods. Later as the maximum force was measured to be about 60 kgf and that the impose was proportional to the discharge power. To conclude, in smaller energy discharges, the discharge pressure alone would not be sufficient to erode the material, but in conjunction with some other factor, such as heat, the pressure might blow out molten metal from the electrode surface.
(b) Static Field Theory
Two charged electrodes experience an electrostatic force according to Coulomb’s law. Accordingly, the force between the electrodes produce stress on the electrodes which, when the gap is very small, may cross the ultimate stress limit of the electrode material resulting in a tensile rupture.
For discharge durations less than 2 μsec during initial intervals, the tensile rupture hypothesis of Williams correlates well with the experimental erosion results. The forces involved in tensile rupture erosion arise because the extremely high current densities beneath the surface of the anode produce a strong electric field gradient, which acts on the positive ions of the crystal lattice. When this force reaches the tensile strength of the material, a tensile fracture occurs removing one or several particles. For discharge durations greater than a few micro seconds, it is found that the tensile rupture theory does not explain the observed electrode erosion. However, this field theory is found to be incorrect because forces into metal lattice due to colliding electrons belong to the force created by the static field.
The observational data of Williams lead one to set aside thermal action as the primary factor in anode erosion in metals with melting points above 600°C at low currents. The possibility of explosive force or a cathode ‘flare’ action remains to be explored. The crater form at the anode is primarily dependent on the current distribution under the anode surface. This current distribution, for a given discharge area, can vary only as a result of skin effect which is a negligible factor in non-ferromagnetic materials but not in ferromagnetic ones, where the magnitude of current below the anode surface is substantially decreased. Quantitative data show that an ionic force can be sufficient to cause rupture. It is possible that explosive forces play some part and these data supply some confirmation for an electric field force hypothesis, especially for low discharge durations.
(c) High Temperature Theory
According to this theory, due to the bombardment of high energetic (kinetic) electrons on the electrode surface, the spot attains high temperature (about 10,000°C) especially with materials of
low thermal conductivity. At this high temperature, material at that spot instantaneously melts and vaporises leaving a crater on the surface. The ratio between the energy expended at the anode and the total discharged energy are related to various parameters like gap between the electrodes mean-free-path-of electrons, cathode and anode work-functions etc. This high temperature is not generated by electron bombardments alone. The joule-heating by high density current is also considered to contribute.
Gradually high temperature theory became promising. Many experiments were carried out for exploring this theory. Dependence of discharge voltage on gap length was found out. Single discharge experiments were carried out and short-time contest between electrode was found to occur quite often. It is also observed that contract occurs about 1-5 ms after the end of the discharge by the formation of crater rime and high temperature and high pressure prevail till that time.
In the mechanism of electrical erosion by considering electron bombardment [10], the anode spot is melted, vaporised and blown off producing a crater. It was established that the energy given to anode per unit area ($W_a$) and whole discharge energy ($W_0$) bear the following relation
$$\frac{W_a}{W_0} = l - \left[ \frac{3}{8} \left( \frac{d}{\lambda} - b \right) \frac{m}{m_g} - \frac{F_c - F_a}{V_c} \right]$$ \hspace{1cm} (1.1)
where $d$ is the gap between electrodes, $\lambda$ the mean free path of electron, $b = l / \lambda$, $l$ the cathode fall area, $m$ the mass of electron, $m_g$ the mass of gas molecule, $F_a, F_c$ are anode and cathode work-functions, respectively and $V_c$ the cathode fall.
This equation coincides with experimental results qualitatively and by increasing the ratio $W_a/W_0$, the erosion rate is increased while electrode wear decreased. It is also reported 50-50 share remain between electron bombardment and Joule heating in causing high temperatures. Many calculated the melting depth, vaporising depth and heat efficiency when a constant energy was given on the surface.
Williams observed cathode-crater volume dependence on the melting point of cathode material. Melting-point and discharge duration effects suggested on involvement of thermal energy irrespective of ferro and non-ferromagnetic cathode materials in contrast to his earlier field theory and tensile rupture theory on anode erosion.
Above theories give no exact individually and realistic view of the spark machining phenomena; however, these can be combined for the description of the process, the high temperature theory being the predominating one.
However, the thermal theory is quite acceptable which can take care to explain the major portion of the stock removal phenomenon and the figure below shows the evidence of vaporisation during sparking (thermal).
But any thermal model developed so far could only from the gap during explain about 25-80% of the material removal. However, the first two postulations cannot fully be disregarded but might contribute towards the unaccountable material removal through thermal model. So works one still on progress to determine an agreeable combined model with the practice.
The present state-of-art deals with a thermal metal removal mechanism (Fig. 1.2) explicitly given in the flow diagram (Fig. 8.3) and the power distribution scheme (Fig. 1.4) which contribute to the material removal mechanism are given below.
**Fig 1.4 Electrical Power Distribution in the Spark Gap**
### 1.3 DIELECTRIC FLUID
Since the process of removal of materials (both from work and tool) mainly depends on thermal evaporation and melting, the presence of oxygen in the atmosphere surrounding the spark would lead to formation of metal oxides which adversely affect the continuation or generation of repetitive sparks (most of metal oxides are bad conductors). Hence, it is pertinent to use a dielectric fluid which contains no oxygen for liberation during the process, to help ionization, without disturbing the process. But the performance (mainly the failure) of the dielectric to suit the purpose is extremely important.
The failure of dielectrics under electric stress, termed as breakdown, is found to spread over a wide range of applied stresses, depending upon its environment and mode of use.
In general, the main basic mechanism of dielectric breakdown in the three states of matter are: (i) intrinsic, (ii) thermal and (iii) discharge or avalanche.
1.4 Breakdown Mechanism
The earlier theories of breakdown in liquids have assumed that it occurs by avalanche ionization of the atoms induced by conduction electrons accelerated in the applied field. The cathode electrode is assumed to be source of these electrons which are emitted either by field-effect or by Schottky-effect. The electron liberated from the cathode gains from the applied field more energy than it loses in vibrational collisions with the molecules of the liquid dielectric. These electrons are accelerated until they gain sufficient energy to ionize the liquid molecules and initiate an electron avalanche. Considering this mechanism, Lawis analytically showed that the vibrational collisions account for the major energy loss in the hydrocarbons where bond vibration is the main absorbent.
The applied field $E$, at which an avalanche can be initiated and is given as
$$eE\lambda = ch\nu$$ \hspace{1cm} (1.2)
where $\lambda$ is the mean free path of electron of charge $e$, $c$ the velocity of light and $h\nu$ ionization quantum for the liquid molecule.
The theory satisfactorily predicts the order to magnitude of the breakdown strength of hydrocarbons. But this does not account for the ignition-delay observed between the application of a pulse of voltage greater than the breakdown voltage and the actual onset of breakdown. Horaten et al showed experimentally that ignition delay depends on the energy per unit volume added to the gap. Breakdown in gas is introduced by collisional ionization of the molecules. But collisional ionization of liquid molecules by electrons is not possible due to insufficient kinetic energy of the electrons. During the ignition delay a pre-breakdown electron current flows from the cathode to anode. This low current heats the liquid to form a vapour bubble of sufficient pressure in between the electrodes. Then a spark takes place in the vapor bubble, according to the high pressure gas-discharge mechanism. With changing gap width, amount of pre-breakdown energy changes, thus influencing the ignition delay.
1.5 ELECTRODE MATERIAL
As already discussed, the tool electrode in EDM process is the means of providing electrical energy to the work-material, as well as the necessary form to the latter. The work-surface sometimes being the inverse profile of the tool, its accuracy depends on the form stability of the tool under the severe, electrical and flushing stress conditions. Moreover, the share of heat that the tool receives (Fig. 1.4) from the plasma channel, is to be dissipated away faster unlike work-material in order to reduce surface temperature to minimise evaporation and melting of the tool material responsible for its wear rate. So it is necessary to be made of highly thermal conductive materials over and above its first character of higher electrical conductivity. Then it is evident that the tool material should have high melting point to reduce its wear-rate, as shown in Fig. 1.5.
However, from the material science point of view, higher thermal conductivity and higher melting point are sometimes two contradicting characters for pure elements. So a proper choice is necessary to be made, since the electrode cost can represent more than 50% of the total machining cost.
Therefore, the basic desirable characters of the tool-material are:
- High electrical conductivity
- High thermal conductivity
- High melting temperature
- Cheapness
- Easier manufacturability
Theoretically, any material that is a good electrical conductor can be used as a tool with more or less advantages. In general, tool or electrode materials can be classified into four groups:
(i) Metallic electrodes: Electrolyte copper
Tellurium or chromium copper
Copper tungsten
Brass
Aluminium
Aluminium alloy (Silumin)
Tungsten (mostly coated or wire)
Silver tungsten
Steel
(ii) Non-metallic : Graphites
(iii) Combined metallic and non-metallic : Copper-graphite
(iv) Metallic coating as insulators : Copper on moulded plastic and Cooper on ceramic.
1.5.1 Metallic Electrodes
Copper Electrodes: It is one of the oldest and commonly preferred as tool material. Its melting point at 1083°C density = 8.9 g/cm³ and electrical resistivity of 0.0167 ohm mm²/m, coefficient of expansion of 4.318 x 10⁻⁴ mm mm/K and its abundant availability is the reason behind its use.
Copper being difficult to cast for tool material and since at its molten state it tends to absorb oxygen from oxides, the tool is preferred to be made out of rolled or forged forms, generally marketed in four forms: tough, pitch, oxygen free, phosporized or arsenised. Most copper marketed for commercial use contains traces of silicon or other hardeners (impurities as well) and small percentage of arsenic (0.4%). These affect to reduce the conductivity of copper seriously.
Oxygen-free copper is about 99.9% pure and exhibits extremely high conductivity. Phosporized copper contains residual phosphorus and exhibits lower conductivity than electrolytic tough pitch copper.
Cold forgings/rolling products are preferred. Hot forging, however, is to be cold forged to restrike copper electrodes at room temperature to resume final size, shape and accuracy. It is to be noted that the tool electrodes must be annealed to make them more malleable before each forming operation. So precautions are to be taken to prevent oxide formation on the surface of copper. A suggested method is to heat the electrode to 500-600°C and then quickly quenched in rubbing alcohol. This will also keep the surface absolute clean.
Copper is machinable but wheel loading in grinding seriously affect surface finish and accuracy. Copper is most often used when higher surface finish in work-material is required. The tool can be polished to about 0.25 micron Ra to provide best surface integrity in the work-material.
However, high porosity of copper electrode and hydrogen entitlement of copper during operation are to be avoided.
Electrolytic copper can be machined as readily as coppers containing selenium, lead or tellurium. The recommended materials for better machining are:
- **Tellurium Copper** - 99.5% copper and 0.6% tellurium
- **Leaded Copper** - 99% copper and 0.1% lead
- **Selenium Copper** - 99.4% copper and 0.6% selenium
These three coppers are utilized for most EDMing applications. The amount of temper applied to each determines the best performance of a given EDMing operation. Copper with half-hard temper exhibits the best overall performance. Under high current, soft copper will temper and begins to warp. So it is required to put chillers at the hot spots when softer electrodes are used.
Copper-tungsten electrodes (Cu : W varies between 50 : 50 and 20 : 50), however, do not exhibit warpage problems. This is used when small holes are to be drilled using a tubular tool. Although, expensive Cu-W can be used for those applications where the use of alternate electrode material would be impractical. Because of its low flexural strength and high rigidity, it is a preferred material for slots. Small pieces of Cu-W can be silver soldered an steel shanks to form intricate tool shapes.
Copper-tungsten has high density (15-18 gm/cm$^3$) along with high strength (BHN : 85 - 240 kg/mm$^2$ Rb 94), good thermal and electrical conductivity (resistivity : 0.045 ~ 0.55 ohm mm$^2$/m) high density enables it impart high surface finish. It is commonly recommended for EDMing of dies with fine contoured details.
**Brass Electrodes**: Free machined brass is often used as an electrode material. Because of its high wear-rate it is not preferred for generation of 3-D surfaces. It has been seen to be one of the best tool materials for machining titanium-alloys at low material-removal-rate conditions.
The high wear rate is attributed by the presence of low melting alloy of element Zn. However, the plasma channel stability (machining stability) is achieved nicely with brass tool since its high-rate or erosion allow zinc-vapours in the plasma channel might reduce arc resistance and helps quicker ionization also.
**Silver Tungsten**: This has very similar characteristics to those of the Cu-W. It contains very high percentage of tungsten and hence extremely costly which restricts applications. However, the
lower corner wear helps to produce very sharp corners (small corner radius) if required and is better than Cu-W.
**Tungsten:** Because of its high melting point exhibit extremely low erosion rate but its high cost only restricts it for use in producing fine holes or wire cutting operations where high order accuracy is required. Wire electrodes of Tungsten of less than 0.01 mm are available for use owing to its high strength character. To enable its use Tungsten coated electrodes are being developed for use.
**Aluminium:** In spite of high thermal and electrical conductivity and low density it has not found a suitable place in EDMing tool because of its low melting temperature and higher tarnishing property.
When machining large 3D cavities which do not require higher surface finish, one can use aluminium alloy known as SILUMIN as tool material.
It has a composition of about
A1: 85%; Si: 11%; Mg: 0.4% to 0.6 %; Zn: 1% ;
Ti: 1%; Mo, Fe and Cu: 1%.
This is easily castable. Shrinkage of about 1% can be off-set by cold-forming preceded by annealing at 540°C followed by water cooling. It is also easily machinable.
**Steel:** Steel sometimes is used as electrodes even if it has lower efficiency as compared to copper or graphite.
In case of irregular parting lines for plastic moulds and die casting dies are matched to prevent flash by using upper part of the mould or die as an electrode.
### 1.5.2 Non-metallic Electrode
Since the introduction of pulse generator, graphite has become the most important electrode material.
It has electrical resistivity in between 5 and 10 ohm mm²/m and low density between 1.6 and 1.85 g/cm³. Its high vaporisation temperature of about 3600°C makes it possible for its use to achieve high stock removal. Moreover, it has low thermal coefficient of expansion 2 to 4 x 10⁻⁴°C, i.e. 1/6 that of Cu.
One has to be careful, since graphite electrode materials are available in various types and grades. These can be broadly classified into three major categories having grain sizes ranging between 10 and 45 micron.
Low or coarse density: 1.6 to 1.7 gm/cm³ — used for forging dies
Medium density: 1.7 to 1.8 gm/cm$^3$ — production applicant
High or fine density: 1.8 to 1.85 gm/cm$^3$ — for moulds and dies
Since these are manufactured by isostatic compression, the density is dependent on the pressure. The coarse density graphites are anisotropic whereas high density graphites are isotropic, which seriously affects the electrode-wear-rate. Coarse graphite is normally used for large-volume EDMing operation requiring few or no fine details of the contour. Fine graphites are to be used when fine details are required on the work surface.
These tools are generally used for machining steel, to give high stock removal with high surface integrity (will be discussed later). While machining tungsten-carbide, a satisfactory result is obtained with good flushing conditions to prevent micro-cracks. This is because excessive carborization and uncontrollable arcing during EDMing operations. The excess deposition of carbon on work-surface leads to hot spots which does not allow deionization process of the dielectric in use. So it is recommended to use higher-density graphite electrodes below 20 amp. for machining of tungsten-carbides.
But graphites must be kept free from moisture and not allowed to become saturated with dielectric or any other petrochemical contaminants. These precautions insure longer life and reliable optimization of EDM parameters.
One should not use carbon in place, since it is amorphous to produce excessive arcing and tool wear, carbon exists in three allotropic forms: amorphous, graphite and diamond. Since carbon has ability to chemically self-bond can be easily converted to crystalline form graphite under high isostatic pressure. It is an excellent conductor with higher melting point as compared to metals and has no reaction to highly corrosive chemicals.
It is inexpensive and easily machinable as well. Graphite is made from petroleum coke, a prime raw material. The coke is subjected to very high temperatures to remove impurities. It is then crushed and mixed with coal-tar pitch and various other additives. This mixture is then compressed and shaped by moulding or extruding into bars, rods or plates. The carbon is then converted into graphite by heat treatment at 2760°C. The result is a solid porous mass of graphite capable of being impregnated with other materials, such as copper, tin, etc. Moreover, graphite is easily machinable by turning, milling and even grinding. Surface finish in the order of about 0.51 micron Ra is achievable for medium to fine density graphite electrodes to impart higher surface finish in the work material. When machining work pieces in large numbers using graphite electrodes it is economical to use moulded graphites electrodes of specialized forms, reducing its machining costs.
Advantages of graphites are:
1. It is not affected by thermal shocks and can return mechanical properties (rigid, tough)
2. It does not distort because of high melting point and chemically does not react.
3. Easily machinable by conventional methods.
4. Lower density provides higher size of the electrode.
5. Low cost operation.
The disadvantages are:
1. It being a brittle material special cares must be taken at sharp corners during manufacture.
2. It is an abrasive material. So precaution must be taken to protect slides of machine-tools from graphite dust.
3. Machining in graphite produce dust of carbon to pollute the atmosphere.
4. It being acid resistance or chemically inert, cannot be etched to produce finer surfaces on the tool.
5. High porosity allows the dielectric to saturate the tool which produces internal stress when fluids inside evaporates.
6. High porosity also allows moisture entrapped inside the tool which affects the machining performance if care is not taken.
1.5.3 Combined Metallic and Non-metallic Electrode
The graphite tools are highly efficient for EDMing operation with fewer drawbacks. These can be easily eliminated by taking the advantage of its capability of being impregnated by copper, tin, etc. to make it less porous and brittle. If impregnated with copper to form copper-graphite under vacuum to form a less brittle material, it possesses an electrical resistivity of 3 to 5 ohm mm²/m, density between 2.4 and 3.2 g/cm³ and ultimate strength of 700 to 900 kg/m² as compared to copper having ultimate strength of 200 to 700 kg/cm². It has some added advantages over graphite as already discussed, however bit costlier. Coated copper graphite tools are tried to make it more inexpensive as compared to the above. The quality of surface contour or graphite easily achievable and the added advantage of copper tools for higher surface finish operations can be achieved in a combined form by thin type tools.
1.5.4 Electroformed Electrodes
In the electroforming of copper spark erosion electrodes, the electrode having once been electrodes (cathodes) in the electroforming bath, become electrodes again in another electrical but not electrolytic process.
These electrodes are much like moulds or dies in helping to shape metal. Also, the majority of the spark machining work which uses intricate electrodes (rather than simple rods for piercing holes) is aimed at the manufacture of moulds and dies in wider scene. Unlike die electroforming (a
building-up process) die EDMing is a scooping-out procedure but is also based on a positive. Electrode making like master-making when die electroforming is, therefore, technically and economically a key problem of spark eroding. This is accentuated by the fact that, through electrode wear, several identical electrodes are needed for each cavity, though there is some re-use of worn masters for the roughing stages of identical repeat cavities. We may consider (copper) electroforming as a solution to the electrode problem—though immediately bring in a master problem. Of course, some intricate cavities are eroded in stages by the use of several succeeding electrodes of simpler shape, thus making electrode manufacture easier.
**More recent developments**
Meanwhile spark erosion technology has progressed. Copper was first superseded by harder tungsten copper as a most favoured electrode material. An electroformed P.R. copper even hardened than the usual Rockwell B/C boundary area (180-220 Vickers), achieved by adding traces of molybdenum to the electrolyte, did not overcome its teething troubles. Spark erosion machines change from using relaxation circuits to faster and more efficient (ratio of work erosion : electrode wear) impulse circuits. Though some descriptions of this change do not exclude the continued use of sprayed and electroformed electrodes, it is generally accepted that only the special purpose high thermal/electrical conductivity graphite fired at 2,000°C and then machined into the required electrode shape will do justice to the fast machines, though there now appears to be a possibility of moulding these graphite (new field for electroformed moulds?). For special cases the use of electroforming, or of heavy deposition are still reported. When spark eroding round holes of exceptional accuracy into semiconductors, wear on the costly stainless steel electrodes was prevented by grinding these just under size and building them up by acid copper plating, using the principles of wave-guide making skills and facilities. This copper layer wears quickly in use but, before it is entirely burnt away, erosion is interrupted, the remaining copper is stripped off. The report points out that the throwing power limitations of acid copper are not as restrictive as usual. Electroformed nickel electrodes for electrochemical machining are a possibility, e.g. for forging dies for turbine blades.
### 1.5.5 Observations
An important parameter influencing the wear of the tool electrode is the polarity of workpiece and tool. Observations of this on different work-tool pairs indicate that the behaviour of metals vary differently on this point. However, this depends on kind of electrode metal, pulse current, pulse duration and also on the average voltage. A report published by Cincinnati Milling Machine reveals the effect of polarity on machining performance. Of course, the data sampling were through an Electrojet Drilling Machine from the same company which used Relaxation type power supply. However, the facts remain but the quantitative data may differ with modern EDM machines which needs verification. The result is shown in Fig. 8.6 which makes that for case of machining Fe with Cu (tool) in direct polarity (Cu-negative and Fe-positive) the machining stability is with wear-ratio of 0.5 at 12 Amp current setting whereas in reverse-polarity (Fe-negative and Cu-positive) the
machining stability is ‘Good’ but with higher wear ratio of 1.3 for the same current setting. It is also observed for other materials as well. Before an explanation is sought let us see how other researchers feel about it.
1.5.6 Explanation
It has been explained that since the anode temperature is higher than the cathode, unipolar pulses are struck between tool and work. The loss of energy from cathode in the form of electron emission (cold cathode emission) are accelerated in the applied electric field to strike the work surface to impart the kinetic energy to generate high temperature. The entire process is dependent on the emission of electrons, striking of electrons to cause any change.
It has de-referred and according to T-F theory the electron emission will depend on the work-function of the emitter (and its temperature) and
Fig. 1.6 Electro-discharge Machining Characteristics of Various Electrode Material Combinations
the field strength. In case of similar electrode and work material, the electron emission in general, is from cathode. But in case of dissimilarity, the electron emission, since depends on work-function of the materials for electron emission from it, will be from the electro-negative materials. In case of machining Fe with Cu, the electron emission will start from Fe since it is electro-negative to Cu. So under direct polarity tool wear should be higher. To avert the phenomenon the polarity is to be reversed to have the electron emission from Cu (tool). However, this may change under very high voltage conditions.
After the electrons are liberated, the process of ionisation starts to break-down the dielectric medium to produce the spark. The spark causes the evaporation of the work material. The evaporated material will produce metal ions. The material removed is proportional to the energy supplied which can be written in the form
\[ MR \propto \frac{1}{2} \text{Total energy of the string electrons} \]
\[ MR \propto \frac{1}{2} n_e m_e v_e^2 \]
where \( MR = \) material removed per pulse
\( n_e = \) number of electron striking the work during sparking period
\( m_e = \) mass of the electron
\( v_e = \) velocity of electron dependent on field strength.
This evaporation of work material will produce equivalent amount of positive ions which will in turn might move to the tool and will strike the tool with some energy equal to its kinetic energy which in turn cause some tool wear. Hence,
\[ TR \propto \frac{1}{2} n_+ m_+ v_+^2 \]
where \( TR = \) tool wear per pulse
\( n_+ = \) number of positive ion striking the work during sparking period.
\( v_+ = \) velocity with which the positive metallic ion strike the tool.
However, \( m_+ \gg mg; v_+ \ll v_e \) for the same applied voltage.
So a conditional equation may be written in the form
\[ MR \geq \text{or} \leq TW \]
or, \[ \frac{1}{2} n_e m_e v_e^2 \leq \text{ or } \geq \frac{1}{2} n_+ m_+ v_+^2 \]
\( n_+ \) will depend on \( n_e \) and \( n_+ \) is small for lower pulse width conditions, i.e. \( MR > TW \). Increase in the pulse width, since \( n_+ \) goes on increasing, so that both sides are equal showing wear ratio equal to unity. On further increase in pulse width right hand side of the equation may exceed the left hand side showing the wear ratio more than unity (Fig. 1.7). Under this condition if one would try to change the polarity, the wear-ratio will again try to reverse i.e. less than unity and the machining ought to be due to positive ions bombardment rather than electron bombardment.
**Fig. 1.7 A scheme of MRR and TWR as a Function of Pulse Width**
### 1.6 EQUIPMENT
The basic units constituting an EDM equipment are (Fig. 1.8):
- Machine tool structure with work positioning unit.
- Servo head and for tool feed.
- Power supply.
- Dielectric fluid system.
The machine tool structure will depend on the work-tool configuration to perform the required activities. The table below shows the three main categories into which spark-machining operations can be divided:
- Die sinking by EDM.
- Cutting by EDM.
- Grinding by EDM.
All the operations are explicitly shown in Fig. 1.9. Each operation is unique of its nature. So the system must accommodate suitable fixture for work as well as tool and at the same time provide the required motions to the tool as well as to the work.
Fig. 1.8 Scheme of an EDM Equipment
The servo head is necessary to bring in the stability in the EDMing. It is never meant to maintain uniform gap but to maintain gap voltage or gap.
Fig. 1.9 (b) Different EDM Operations
energy constant since the dielectric parameter constantly fluctuate because of pollution and temperature changes. The dielectric fluid system consists of a dielectric tank, a pumping unit, and a filtering unit to handle basically two types of dielectric used:
Hydrocarbons (i) Mineral oil — With low viscosity (5 - 20 cts) at 20°C without any aromatics or other additives. Roughing operations with heavy oils are efficient.
(ii) White spirit or kerosene — Very low viscosity (2 cst at 20°C). This is well suitable for finishing and superfinishing operations recommended for machining WC when short duration charges are required.
Water: Deionized water is a dielectric mainly reserved for micro-machining and for wire cutting. However, when water is used as a dielectric fluid and an additional accessory is a deionizing unit.
1.6.1 Power Generator
Power Generator is one of the most important parts of an EDM system. Its primary function is to convert an alternating current (AC) into a pulsed direct current (DC) required to produce the unidirectional spark discharges between the gaps of a tool and work serving as the electrode.
Fig. 8.10 A Pulse Generator-Basic Concept
(a) Impulse generator
Fig. 1.11 Scheme of Different Pulse Generators for EDM
This pulsing unit in practice is of four different types (Fig. 8.11) as:
- Rotary Impulse Generator
- Relaxation Generator
- Pulse Generator
- Hybrid Generator.
(a) *Rotary Impulse Generator*
It supplies the voltage waveform based on the principles as in the case of DC Generators, given by
\[
E = \frac{\phi z N}{60} \times \frac{P}{A}
\]
(1.3)
where \(p\) is the flux per pole, \(z\) the total number of armature conductors, \(N\) the armature rotation (rpm), \(P\) the number of poles and \(A\) the number of parallel paths.
Here the frequency of operation is limited by \(N\) and \(P\) and cannot be increased much because of the limitation in \(N\). Moreover, the wave form is near sinusoidal. This leads to arcing unless the poles are asymmetrically staggered to provide off time for deionization. The circuit is modified using a half wave rectified AC output from a AC generator, where the frequency of operation is denoted by
\[
f = \frac{PN}{120} \text{ Hz}
\]
(1.4)
where \(P\) is the total number of magnetic poles and \(N\) the rotational speed of rotor, rpm.
In half wave rectification the frequency remains same but the pulse off time is half of the cycle time controlled by \(N\) and \(P\). However, the voltage waveform remains as before sinusoidal.
This type of generator supplies very high voltage in excess of 110 V. Arcing is frequent since the voltage waveform is uncontrollable, so the tool-wear-rate is extremely high, more than 100% of MRR. This type of generators are still in vogue in some Russian and Japanese machines. The use is being restricted since uneconomical, high inaccuracy in machining process and high surface damage.
(b) *Relaxation Type Generator*
This type of generators are quite common because of its simplicity and lowest cost. This uses a ‘resistance’ and a ‘condenser’ to generate a nearly a saw tooth voltage wave form (Fig. 8.11b). The condenser gets charged from no voltage to a required voltage when it is connected to a DC source. Then the charged condenser is connected to the machine to discharge its charge to the
spark gap is the machine and so relaxed to zero voltage (voltage which cannot sustain the spark). The next discharge will not occur unless the condenser is charged again. The switch is replaced by the resistance which varies the charging current. This helps in controlling the idle period (charging time), discharge period and the pulse energy content.
 
**Fig. 1.12 Relaxation Generator**
\[ E_p = \frac{1}{2} C V^2 \]
where \( E_p \) is the pulse energy, \( C \) the condenser value and \( V \) the voltage to which the condenser is charged.
**Mechanism of Relaxation Generator**
In Fig. 1.12 (a), \( R_c \) is the charging or Balast resistance and \( C \) stores the charge during the idle period (i.e. when there is no discharge in the spark gap) and delivers it to the spark gap when a threshold voltage to produce the spark is reached. To analyse the circuit, consider each side of the circuit separately.
Let us consider the charging circuit (Fig 1.12b).
If,
- \( V_o \) = D.C. source voltage, volts,
- \( i_c \) = value of charging current at any instant of time \( t \), amp.,
- \( V_c \) = condenser voltage achieved at the same time \( t \), volt,
- \( C \) = condenser value, Farad,
- \( R_c \) = charging resistance, ohm.
Now, from circuit theory
\[ i_c = \frac{V_0 - V_c}{R_c} = C \frac{dV_c}{dt} \]
or \[ \frac{dV_c}{V_0 - V_c} = \frac{1}{CR_c} dt \]
Integrating between the limits, i.e., \( v = 0 \) and \( v = V_c \) at \( t \) at \( t = 0 \) at \( t = t_c \)
\[ \int_0^{v_c} \frac{dv}{V_0 - v} = \frac{1}{CR_c} \int_0^{t_c} dt \]
or, \[ \left[ \log (V_0 - V_c) \right]_0^{V_c} = -\frac{1}{CR_c} t_c \]
or, \[ \log \left( \frac{V_0 - V_c}{V_0} \right) = -\frac{1}{CR_c} t_c \]
or, \[ \frac{(V_0 - V_c)}{V_0} = e^{-(1/CR_c)t_c} \]
or, \[ V_c = V_0 \left( 1 - e^{-(t_c/CR_c)} \right) \] \hspace{1cm} (1.6)
This shows the experimental rise of condenser voltage and
\[ i_c = \frac{V_0 - v}{R_c} = \frac{V_0 - V_0 \left( 1 - e^{-(t/CR_c)} \right)}{R_c} \]
or, \[ i_c = \frac{V_0}{R_c} e^{-(t/CR_c)} \] \hspace{1cm} (1.7)
This shows the exponential decaying of charging current (Fig. 8.13).
**Discharging ckt**
Let us assume the load (machine) is \( v_0 \) purely a resistive load (Fig. 8.14) and the condenser is charged to voltage \( V_{co} \) which is sufficient to breakdown the dielectric to create a discharge. If \( V_d \) is the value of condenser voltage at any instant of time \( t \) and \( R \) the load Resistance, then
\[ \frac{V_d}{R} = i_d = -C \frac{dV_d}{dt} \]
(since the condenser voltage is full)
or, \( \frac{dV_d}{V_d} = -\frac{1}{CR} dt \)
integrating this between the limits,
i.e. \( V_d = V_{co} \) at \( t_d = 0 \) and \( V_d = V_d \) at \( t = t_d \)
\[ \int_{V_{co}}^{V_d} \frac{dV_d}{V_d} = -\frac{1}{CR} \int_0^1 dt \]
or, \[ \left[ \log V_d \right]_{V_{co}} = \left[ \frac{t}{CR} \right]_{0}^{t_d} \]
or, \[ \log \frac{V_d}{V_{co}} = -\frac{t_d}{CR} \]
or, \[ V_d = V_{co} e^{-\left(\frac{t_d}{CR}\right)} \] (1.8)
This shows exponential decaying of condenser current and voltage,
or, \[ i_d = \frac{V_d}{R} \]
or, \[ i_d = \frac{V_{co}}{R} e^{-\left(\frac{t_d}{CR}\right)} \] (1.9)
This also shows an exponential decaying of discharge current (Fig. 1.15).
**Fig. 1.15 Charging and Discharging Wave-form for a Pure Resistive Load**
Had we assumed an inductive (pure) load then the \( i_d \) curve would have been as shown by the dotted line, i.e. inductance would oppose the discharge current. So the \( i_d \) will be equal to zero when condenser voltage
is maximum at $V_{co}$ whereas id is maximum at $V_{co}$ for resistive load when the condenser voltage is maximum and id is zero for resistive load when the condenser voltage reaches zero.
**R-L-C ckt**
Let us see how the nature of voltage and current variation is seen in actual, relaxation type EDM (Fig. 1.16).
It is seen that the charging characteristics remain the same but the discharging characteristics with a *negative voltage in the discharging ckt.* shows the inductive load ($R-L$). So the discharging circuit as assumed earlier is neither resistive nor pure inductive but the combination as shown.
Now if e is the back E.M.F. generated in the circuit, then,
$$\frac{V_c - e}{R} = i = -C \frac{dV_d}{dt}$$
But, $$e = L \frac{di}{dt} = LC \frac{d^2V_d}{dt^2}$$
or, $$\frac{d^2V_d}{dt^2} + \frac{R}{L} \frac{dV_d}{dt} + \frac{1}{L} V_c = 0$$ \hspace{1cm} (1.10)
This equation is a case of damped vibration. If it is a pure inductive ckt, i.e. $R = 0$, then eqn. 1.10 takes the form
$$\frac{d^2V_d}{dt^2} + \frac{1}{LC} V_c = 0$$ \hspace{1cm} (1.11)
This is a case of simple harmonic fluctuation of voltage with a time period of $\sqrt{\frac{1}{LC}}$.
So the condenser once charged will not recharge and the voltage will oscillate between $V_{co}$ and $-V_{co}$ (Fig. 1.17) showing a deterioration of material removal and increased tool wear. Hence the vibration has to be damped effectively to prevent reversal of spark and also to allow continuous charging and discharging of the condenser. This means the introduction of $R$ in the circuit is a primary requirement, and the more the value of $R$, it is better in reducing reversal of spark (tool wear). But,
$$R = R_l + R_s$$
where $R_l$ is the line resistance and $R_s$ the spark resistance.
Here the spark resistance cannot be changed but the line resistance can be increased to reduce the tool wear. Which in the other way proves that when Relaxation generators are used for high power generation, i.e. for higher MRR the tool wear rate becomes very high, so that they are not prescribable for high production rate, though they are simple and less costly at the initial stage. For this reason the electronic pulse generators have come into the market for its higher eroding capacity with less tool wear. However, no one can eliminate the relaxation generator for its simplicity and is seen in most machines.
**Condition for maximum power generation in Relaxation Generator**
The material removal depends on the pulse energy. Now the energy supplied to the spark gap to cause erosion is equal to $\left\{\frac{1}{2} \right\} (C V_{co})$. We see that energy supply is maximum when $V_{co} = V_a$ (source voltage). But from eqn. 3.
$V_{co} = V_o$ when $t = \infty$
i.e. we have to wait for infinite time to dissipate maximum energy to the spark-gap. So, the MRR would not be considered on the basis of maximum energy condition but on the basis of maximum power dissipated in the spark-gap. In order to determine this let us start with the energy gain by the condenser while charging it for time $dt$ as
$$dE_c = i_c v_c dt$$ \hspace{1cm} (1.12)
or, $$dE_c = \frac{V_o}{R_c} \left[ e^{-\{t/(R_cC)\}} \right] V_o \left[ 1 - \left\{ e^{-\{t/(R_cC)\}} \right\} \right] dt$$ \hspace{1cm} (1.13)
$$= \frac{V_o^2}{R_c} \left[ e^{-\{t/(R_cC)\}} - e^{-\{2t/(R_cC)\}} \right] dt$$
Now, we can obtain the total energy gain during the time $t$ by integrating between the limits, i.e. $E_c = 0$ at $t - 0$ and $E_c = 0$ at $t - t_c$.
$$\int_0^E dE_c = \frac{V_o}{R_c} \int_0^{t_c} \left[ e^{-\{t/(R_cC)\}} - e^{-\{2t/(R_cC)\}} \right] dt$$
where $\gamma_c$ is the time constant of the charging circuit $= R_cC$
$$E = \frac{V_o}{R_c} \left[ -\gamma_c e^{-(t/\gamma_c)} + \frac{\gamma_c}{2} - e^{-(2t/\gamma_c)} \right]_{0}^{t_c} dt$$
$$E = \frac{V_o}{R_c} \left[ \frac{\gamma_c}{2} - e^{-(t/\gamma_c)} + \frac{\gamma_c}{2} e^{-(2t/\gamma_c)} \right]$$
$$= \frac{V_o}{R_c} \gamma_c \left[ \frac{1}{2} - e^{-(t/\gamma_c)} + \frac{1}{2} e^{-(2t/\gamma_c)} \right]$$
Now average power stored
$$P_{avg} = \frac{E}{t_c} = \frac{V_o}{R_c} \left( \frac{\gamma_c}{t_c} \right) \left[ \frac{1}{2} - e^{-(t_c/\gamma_c)} + \frac{1}{2} e^{-(2t_c/\gamma_c)} \right]$$ \hspace{1cm} (1.14)
putting \((t_c/\gamma_c) = x\), and for maximisation of average power, i.e
\[
\frac{dP_{avg}}{dx} = 0
\]
or,
\[
\frac{1}{2x} - (1 + \frac{1}{x}) e^{-x} + (1 + \frac{1}{2x}) e^{-2x} = 0
\]
This transcendental equation has two solutions: \(x = 0\) and \(x = 1.26\). In first case.
\[
\frac{t_c}{\gamma_c} = 0 \quad \text{or} \quad t_c = 0 \tag{8.15}
\]
To make charging time \(t_c = 0\) means the charging resistance \(R_c\) to approach zero, below its critical value, when the voltage across the gap will (Fig. 8.18) stay at the supply level and a large current will flow, the gap will not relax. Hence, it would result in arcing.
**Fig. 1.18 Effect of Decrease in Charging Time**
In second case, the power dissipation is maximum when \(\frac{t_c}{\gamma_c} = 1.26\),
which proves that \(V_{co} = 0.716\).
Therefore, the maximum power to the spark gap is dissipated if the condenser is allowed to charge to about 3/4th of source voltage.
This implies that if the nature of pulses is to be changed from the saw-tooth shape to the rectangular one (for maximisation of power transfer), the circuit should be made to relax at fixed intervals of time. This is difficult to achieve hence, the adoption of electronic pulse generators.
**Frequency of Operation in Relaxation Circuit**
The charging time $t_c$ can be calculated from eq. 1.15 as
$$t_c = \frac{R_c C}{\log \left( 1 - \frac{V_{co}}{V_o} \right)} \quad (1.16)$$
This charging time (Fig. 8.19) is the idle time for EDM.
**Fig. 8.19 Actual Operation**
Again the discharge period or the pulse width can be calculated from eq. 8.16 and may be written as,
$$t = \frac{R_c C}{\log \left( \frac{V_d}{V_{co}} \right)} \quad (1.17)$$
One thing must be clear here, that for effective discharge, i.e. for maximum power dissipation, $V_{co} = V_s$ and $V_d$ is to be assumed to be equal or less than the deionisation voltage (i.e. voltage at which the ion column collapse).
So the frequency of operation can be written as (1.18)
\[ f = \frac{1}{t_c + t_d} = \frac{1}{\frac{R_c C}{\log \left( 1 - \frac{V_{co}}{V_o} \right)} + \frac{RC}{\log \left( \frac{V_d}{V_{co}} \right)}} \]
(1.18)
But for higher condenser setting and higher charging resistance value in R-C type generator the discharge period is very small compared to the charging period, i.e. \( t_d \ll t_c \). So
\[ f = \frac{\log \left( 1 - \frac{V_{co}}{V_o} \right)}{R_c C} \]
(1.19)
(c) **Electronic Pulse Generator**
It has been observed that the Relaxation Generator with its simplicity could not meet the demand for higher production which reflected in high amount of tool wear, so restricted only for low removal-rate machining system.
To search for higher production with lower tool wear rate there were innumerable circuit modifications of Relaxation Generators using diodes and inductances in different forms, but were of no use and the use of electronic pulse generators were tried.
*Electronic Amplifiers:* This was tried with valves as well as solid state devices in class A and B operations. Different waveforms were tried to see the effect on productivity and improved wear ratio. These were found to be much more better as compared to R-C type generators. However, as shown in Fig. 1.11c the load current is taken care by the amplifier since the operate on linear mode operations of the amplifier. So the machine power has to be taken care by the amplifier itself, i.e. if it is required to have a 1 kW machine the amplifier should be designed to handle 1 kW at least. Then the cost of the amplifier type generator would escalate with power. For this reason designer thought of switching the operation from linear mode to saturation mode of the devices.
*Rectangular Pulse Generator:* This uses the principle of switching a valve or a solid state devices (transfer) in saturation mode as shown in the configurations as shown in Fig. 1.1 Id. These are electronic switches which can be operated at high frequency to give rectangular pulses swinging between zero and supply voltage, \( E \).
In the configuration, it is evident when we apply no voltage on the grid the valve or base of the transistor, or allow no grid current or base current, the resistance across plate and base or collector and emitter is infinity representing the switch in the off-position. So the voltage across the machine is zero. Now if small voltage is applied to a saturation current to flow through grid or base, the resistance across plate and base or emitter and collector becomes extremely small = zero representing the switch to be in on position. So the voltage across the machine is \( E \) and allowing
the discharge current $i_d$ to flow to erode the material. This $i_d$ will flow till the switch is on i.e. when the resistance across the electronic switch is practically zero. So during the machining process there is hardly any loss of power across the electronic switch. But the current is limited by the handling capacity of the electronic switch. Now, if the handling power of the operation is to be increased, use an electron switching bank as shown in Fig. 1.20.
In this, there are banks of transistors (or valves) of similar character, say $V_{CEO} = 100 \text{ V}$ and $I_{CE} = 10 \text{ Amp}$. If the mechanical switch 5, is on the transistor $T_R$ is operated by the switching pulse, so that a voltage pulse of 100 V is applied across the machine. The resistance R is so chosen that the current flow is limited by 10 amp so that the transistor $T_{R_1}$ is safe. Now if switches $S_1$, and $S_2$ are ‘on’, transistors $T_{R_1}$ and $T_{R_2}$ simultaneously switched on by the same switching pulse to give a voltage pulse of 100 V across the machine to allow 20 amp of current to flow to throw the machine to work at double the power, likewise the handling capacity of the machine can be increased by paralleling required number transistors in the active circuit. Thus the rectangular pulse generators have flourished in the EDM market with controllable tool wear phenomenon through easily programmable pulses.
Now, review the different pulsing conditions by different generators to observe the gradual improvements in the generator performance to decide if any further developments is required to idealise the process.
### 1.6.2 Waveforms in EDM Process
Different wave forms supplied by different generator are schematically shown in Fig. 8.21. In the case of rotating impulse-generators the rectified sinusoidal voltage wave form is given across the spark gap to produce the spark. Due to the inductive circuitry (generator as well as the sparking load) there is a spark oscillation even after the pulse is withdrawn give rise to extremely high tool
wear and arcing becomes frequent if the second pulse comes before complete dampening of the oscillation. So the inherent problem with this type of generator is to allow low frequency operation. Even if the material removal per pulse can be made high by increasing the peak voltage, the flow frequency operation makes the MRR low with high thermal distortion of the work material.
In case of a relaxation generator (Fig. 1.21b) the spark oscillation is much more reduced, however, there will be a negative kick due to inductive load. So the tool wear will be less than the previous. The negative kick can be dampened easily as discussed in the previous sections. One can go for higher frequency. The charging time is equal to ignition delay, so the ionization process is slower and depends on charging time constant. If one tries to reduce the charging time, it might lead to arcing once again. By the square pulse generators, the pulse waveform is much more defined and easily controllable, and phenomena of sparking arc are easily predictable. But a part of pulse width $t_d$ is spoiled for ionizing the fluid.
(a) Impulse generator
(b) Relaxation generator
(c) Rectangular pulse generator
(d) Hybrid pulse generator
Fig. 1.21
N.B.: Dotted line gives the actual wave form supplied to the spark gap and firm line shows the wave form in actual machinery conditions
$t_p$ – Pulse cycle time
$t_o$ – Pulse interval
$U_f$ – Average gap voltage = $\frac{1}{t_f} \int_{t_f} dt$
$t_i$ – Pulse duration
$t_r$ – Pulse rise time
$i_f$ – Average pulse current = $\frac{1}{t_f} \int_{t_f} i_d \, dt$
$t_d$ – Ignition delay time
$E_t$ – Instantaneous pulse voltage
$i_a$ – Instantaneous pulse current
$t_f$ – Discharge duration
$i_d$ – Instantaneous pulse current
$i_b$ – Final current
Moreover even after the removal of the voltage waveform is withdrawn suddenly, the deionisation of the fluid will lead to persist the spark for a period of $t_d$. So if $t_o \leq t_d$, even if the pulse is off, the sparking will continue to produce arcing. However, the tool wear is controllable easily since negative voltage is not present as before. The application of sudden voltage to the gap, along with electron and a sudden discharge formation, might lead to a phenomenon of mass transfer from tool to cause tool wear. So the tool wear cannot be completely eliminated but can be controlled to a minimum. The difficulty with this is that the voltage waveform does not match with the current waveform. So there is a necessity of slope control of the voltage waveform to take care of the ionisation and deionisation characteristics of the dielectric fluid.
### 1.6.3 Hybrid Generator
The hypothetical waveforms for this type of generators are shown in Fig. 1.21d. This type of generator uses a trapezoidal waveform in place of a square waveform. Instead of a sudden rise of voltage, a slope is provided to match with the ionisation characteristic of the dielectric fluid. The voltage pulse is withdrawn by a time factor of $t_{dc}$ so that the condenser discharging character matches with the deionisation characteristic of the fluid, so that we get a pulse waveform matching with ionisation sparking and deionisation characteristics of the dielectric fluid. The voltage waveform matches with the current waveform. This becomes easier to predict the ideal performance of an EDM machine. Moreover, with the change of dielectric fluid properties with time of machining (because of pollution and temperature, etc.) the waveform can be changed through charging resistance or condenser value or both to match with the stochastic change of the dielectric fluid (Fig. 1.22).
**Fig. 1.22 An Ideal Pulse Generator**
Fig. 1.23 Required controlled and monitored quantities in an EDM machine
generator, it is easier to use a microprocessor or computer based process controller to vary the waveform as per the machining character requirements.
Hybrid generators can give zero-tool wear conditions for all times to come.
1.6.4 Control System
The use of pulse generators with a wide frequency range makes it possible to combine both variation (pulse width and pulse interval) in one common electrical discharge machining process, based on optimum pulse duration, duty cycle and polarity of pulses with an independent generator whilst using the same machine and automation equipment. A general diagram showing the interrelation of control devices is given in Fig. 8.23. Such control devices make it possible to correct the physical process of electrical discharge machining which occurs naturally, that is without any external influences like servo-sensitivity, fluid pressure variations etc. Process with external feedback (manual or automatic) should be considered separately from the processes with external control. For instance, working with a controlled spark gap allows the range of self regulation of the process to be widened by altering the rate of evacuation of erosion products. The same trend is utilised in processes in which an essentially unstable process is made stable by vibrating the electrode, introducing planetary motion, rotation pumping of fluids, tool relaxation, etc.
These systems of control and stabilization convert an electrical discharge machine into a semi-automatic machine, making it possible to partially automate the planning of electrical discharge machining operations. More extensive developments are needed into the problem of maintaining stability artificially makes it possible to increase the output, accuracy, reliability and stability of the process as a whole.
1.6.5 Requirements of Modern EDM
So, as has been summarised above, the efficiency of machining is dependent on a large number of variables including
- tool and work materials
- nature of dielectric fluid
- flushing efficiency
- servo mechanism response speed
- the parameters of machining pulse.
These variables are to some extent interdependent and to try to generalise about the effects each is of little value. The best that can be done, at the present time, is to characterise the efficiency of the process by recording empirical data on a number of different jobs. Statistical attempts have been
made to evaluate the relative importance of each variable and these have thrown some light on the subject, but considerable research needs to be done on the physical mechanisms which are responsible for material removal.
The net result of the variability of the process has led to commercial equipment with a large number of controls to optimise the cutting on any particular job and inevitably EDM equipment is expensive. In its simplest form, a modern EDM has the following facilities.
(1) It should have a power supply capable of switching current of 1-100 A at 100 V at frequencies of 500-250 kHz. At the higher frequencies, the required current is the lowest, for the finishing cuts. Automatic reduction of switched current (when machining becomes difficult owing to flushing inadequacies) is advantageous. A basic requirement of EDM generator is that it must provide a pre-spark over-voltage to define spark gap length.
(2) It must have vertical (in case of die sinking) or horizontal (in case of wire-cut) feed-control servomechanism which must maintain the tool near the optimum distance from the work-piece so that spark can occur and cause useful erosion. If the gap is too small, there are frequent short circuits between the tool and workpiece, causing loss of machining pulses, and possible ‘burning’ of the workpiece because of overcurrent and mechanical forces on the electrodes. Too large gap causes loss of potential machining pulses, since the available voltage unable to breakdown the dielectric fluid. Since the gap is being fed down, it cannot be sensed with an ordinary transducer, but is usually sensed by measuring the average voltage $U_f$ and while this voltage is within certain limits, no correction signal is fed to the feed drive(s).
(3) It has a dielectric fluid-filtering and flushing system. A liquid, as opposed to a gaseous, dielectric will provide higher accuracy cutting, flushing away of debris and concentration of the discharge (enhancing its erosive effect), as well as serving as a cooling fluid in high current cutting. Flushing is necessary to remove debris which tends to short circuit the electrodes, particularly in the case of deep cavities, where pressure flushing is essential.
(4) It must have a lateral-positioning mechanism, x and y co-ordinate slides are usually provided to position the workpiece relative to the electrode, which is generally on a vertical feed axis above the work-table.
(5) In addition to the above the following features are often provided on commercial machine:
(a) Vibrator — providing very low amplitude oscillations in the tool axis, to assist flushing.
(b) Tool rotation — with circular holes, more accurate shape is produced if the tool is slowly rotated during machining.
(c) Independent adjustment of short-circuit and open-circuit limits. In some machines, it is possible to preset and adjust the mean gap voltages at which short circuit lift and open
circuit feed drives operate. These controls are sometimes known as ‘gap and feed-rate’ controls respectively.
(d) Dampening control — A hydraulic damper to assist stabilising during difficult machining periods e.g. at the start of a cut.
1.6.6 Generalised Electronic System
Based on the above consideration a modern EDM machine should have provisions to interrelate the functions necessary to implement the requirements. The electronic system in general is schematically shown in Fig. 1.24.
The system centers on the bank of transistors or thyristers which are sequentially switched so as to apply a series of voltage pulses from the power pack to the electrodes. In a thyristorised generator, the major difficulty associated is that of turning of each thyristor at a suitable time after fixing however is not at all any problem for a transistorized one. The switching is controlled by a logic network which is programmed so that both the pulse rate and pulse width may be manually controlled within the speed limits imposed by the spark-gap characteristics.
1.6.7 NC Control
The use of numerical control with EDM machines is recognized as a method to increase table-positioning efficiency, such as that used in the case of multiple cavity work, and to cut dies and punches with travelling wire EDM. Numerical control is also in orbit—EDM machine tables, especially for large-mold workpieces. The addition of NC to the vertical ram movement makes it possible to EDM at different angles. Using an automatic electrode changer with the NC machines makes the EDM process completely automatic from roughing to finishing operation.
Fig. 1.24 Block Diagram of Electronic System
2. Introduction
Sometimes called travelling wire EDM electrical discharge wire cutting is a process that is similar in configuration to bandswing except in the case of WEDM the “saw” is a wire electrode of small diameter. Material removal is affected as a result of spark erosion as the wire electrode is fed (from a spool) through the workpiece. In most cases, horizontal movement of the worktable, controlled by CNC on modem machines, determines the path of cut as illustrated in Fig. 8.26. However, some WED machines move the wire horizontally to define the path of cut, leaving the part stationary. On both types of machining configurations, the wire electrode moves vertically over sapphire or diamond wire guides, one above and one below the workpiece. The electrode wire is used only once, then discarded because the wire looses its form after one pass through the workpiece. A steady stream of deionized water or other fluid is used to cool the workpiece and electrode wire and to flush the cut area.
Viewed from above, the electrode wire cuts a slot or “kerf”. The width of the kerf is the wire/diameter plus EDM overcut as illustrated in Fig. 8.27.
**Fig. 2.1 Definition of Kerf in Wire-cut EDM**
Strater or threading holes are required. In steel or other material a drilled hole suffices for carbide; the hole may have to be produced by EDM or micro EDM.
2.1 PROCESS PARAMETERS AND THEIR EFFECTS
2.1.1 Operating Parameters
Operating process involves the removal of work and tool as a measure of electrical energy input.
\[ MRR = \phi(E) f = \phi \int_0^{\tau_p} v i \, dt \]
Eq. 2.1
where \( \phi = \text{function}, E = \text{electrical energy}, v = \text{voltage}, i = \text{instantaneous current}, d_t = \text{time interval}, \tau_p = \text{pulse width and } f = \text{torque}. \)
And,
\[ TWR = \text{Tool wear out} = \psi(E) \cdot f = \psi \int_0^{\tau_p} v i \, dt \]
Eq. 2.2
Based on the above considerations, it is well understood that the objective functions, i.e. MRR, TWR and topological parameter are governed by the energy content of the pulses and the rate at which they are supplied. In addition to these some other controlling parameters like servo sensitivity, gap width and dielectric parameters etc. also contribute to the objective functions.
So under unknown-or unpredictable circumstances i.e. when appropriate science to describe the process is absent, one tries with empirical formulae generated through insito experimental procedures.
2.1.2 Evaluation
(a) Experimental Approach
Material Removal Rate: Metal is removed from work in the form of crater (Fig. 8.2) and can be estimated for single pulse and rate at which it is given, i.e. \( f \).
Considering the volume of a crater as part of sphere, the crater parameter can be estimated as a measure of energy.
\[ h_c = K_1 W_p^n \]
(2.3)
\[ D_c = K_2 W_p^n \]
(2.4)
where
$W_p = \text{pulse energy, Joule}$
$h_c = \text{height of crater, mm}$
$D_c = \text{diameter of crater, mm}$
$K_1, K_2 = \text{constants depending on electrode materials and dielectric}$
$n = \text{constant depending on work tool combination}$
So the volume of crater $V_c$ from simple geometry
$$V_c = \frac{\pi}{6} h_c \left( \frac{3}{4} D_c^2 + h_c^2 \right) \text{mm}^3$$ \hspace{1cm} (2.5)
$$= \frac{\pi}{6} K_1 \left( \frac{3}{4} K_2^2 + K_1^2 \right) \text{mm}^3$$ \hspace{1cm} (2.6)
So $K_1, K_2$ and $n$ values are to be determined from experiments and the material removal rate can be written in the form
$$MRR = V_c \cdot f \cdot \eta$$ \hspace{1cm} (2.7)
Where $f$ is the frequency of operation and $\eta = \text{efficiency of the machine at any setting}$.
Tool Wear Rate: Similarly the tool wear can be determined. This is required to account for tooling cost, machining accuracy and estimate the time of machining for a desired depth of cut.
However, there are three types of wear observed in an electrode, end, corner and side wear explicitly defined in Fig. 8.29.
Taper: In this process tapering effect is observed due to side sparks (Fig. 2.4). Sometimes it is more pronounced as compared to frontal sparks under high dielectric pollution.
In this case, overcut at any instant is given by
\[
\delta = K_3 \left( \frac{\pi}{4} d^2 \right) h
\]
(2.8)
where \( h \) is the depth of machining at any instant.
Hence
\[ \delta_{\text{max}} = K_3 \left( \frac{\pi}{4} D^2 \right) h \]
(2.9)
So, taper \( T_p = \frac{D - d}{2H} = \frac{\delta_{\text{max}}}{H} = K_3 \frac{\pi}{4} D^2 \)
(2.10)
The taper is observed for a bare tool for straight hole drilling. However, this can be eliminated with side electrical insulation.
**Surface Finish:** The quality of the machine surface mainly depends on the energy of the pulse and frequency of operation. The roughness is generally observed as (Fig. 2.5),
\[ H_m \propto h_c \]
\[ \propto \frac{1}{f} \]
Therefore
\[ H_m = K_4 \frac{h_c}{f} = \frac{K_4 K_1 W_p^n}{f} \]
(2.11)
However, roughness is observed within a bandwidth depending on single or multispark conditions. In the experimental approach it is very difficult to predict some of the very important parameters like surface integrity problems associated with the process, e.g. recast layer, structural transformation, micro crack etc. evident from the Fig. 2.6.
To analyse these microscopic parameters in addition to the microscopic surface topological phenomena one has to take the shelter under analytical approach.
(b) Analytical Methods
In EDM process a thermal balance as per Fig. 2.7 can be made as given below (ref. Snoyes and Van Dijck).
Fig. 2.7 Thermal Balance of EDM Process
To analyse the process, there are several thermal models with different techniques for the analytical or numerical solution with relevant boundary conditions. However, in general the thermal analysis for cycles of the EDM process is based on two dimensional transient heat conduction in a body of the work piece subjected to the uniform heat flux over a small circular portion on its upper surface (Fig. 2.8).
From the above representation, the governing equation from the axi-symmetric form is given by,
\[
\rho C_p(T) \frac{\partial T}{\partial t} = \left[ \frac{1}{r} \frac{\delta}{\delta r} (k \cdot r) \frac{\delta T}{\delta r} + \left( \frac{\delta}{\delta z} \right) + \frac{\delta}{\delta z} (k \cdot \frac{\delta T}{\delta z}) \right]
\]
(2.12)
with the initial condition
\[T(r, z, 0) = 0\]
and boundary conditions,
The easiest way to arrive at the solution for such an equation is through numerical analysis. Generally, the solution yields to a temperature distribution in work and tool material as mentioned below (Fig. 2.9).
For the above case, one can predict material removal and as well as structural damage or changes.
Further, the temperature can also be predicted within the bulk of the material as mentioned below considering different thermal properties of different materials (Fig. 2.10).
With the availability of computation facilities, numerical solutions even for complicated situations like simultaneous conductive, convective, and radiative heat transfer (cooling) arising out of the presence of liquid dielectric can easily be made to realize the actual situation.
### 2.3 GAP FLUSHING
The effectiveness of flushing has a large effect on MRR $V_w$, tool wear $V_v$ and conference accuracy.
The different effects on flushing are easier to understand from the action of the dielectric fluid discussed earlier and its most important properties in relation to EDM process are:
Fig. 2.9 Temperature Rise in Work Material
(a) For pulse width of 440 ps
(b) For pulse width of 880 ps
Fig. 2.10 Melting Point Isotherm in Steel and Copper (Stochastic)
• Electrical breakdown strength stability
• Viscosity
• Specific heat
• Thermal conductivity
• Temperature stability and distillation range
• Gas absorbing and solid solvency properties Health hazards
• Fire risk
• Cost
The effect of inlet pressure $P_{in}$ of the dielectric liquid on both metal removal rate $V_w$ and volumetric wear $V_v$ are schematically shown in Fig. 8.37 [13]. With copper tool of positive polarity, the change in both $V_w$ and $V_v$ are greatest in range of 1 to 1.5 bar. When machining with low discharge energy $W_e$ pulses for finishing, the metal removal rate $V_w$ exhibits a local maximum between 0 and 1 bar of inlet pressure. As the pulse discharge energy is increased the maximum moves towards the left of the graph, that is towards lower inlet pressures, until the local maximum disappears and the curve is one of a monotonously
decreasing shape. The variations in electrode wear with increasing pulse energy are very similar to those of the metal removal rate.
When finishing [13], there is very little self-cleaning of the gap due to shock waves from the discharges, because pulse energies are low. Small local products can quickly develop in which erosion pocket accumulate, causing short circuits and generally impairing working efficiency. If the dielectric fluid is forced at low velocity through the gap, then these local pockets are flushed and accumulation of erosion products is prevented, thus short circuit pulses become rarer, working efficiency rises and metal-removal-rate increases. For some reason, cooling of the tool is improved and tool wear reduces.
Higher flushing (higher velocity) hinders the formation of ionized bridges across the gap and results in higher ignition delay. Consequently, the energy (or frequency) of the discharges decreases and so balance the effect of increased working efficiency. Where these opposing effects balance each other a minimum value of MRR (and, often, nearly a minimum for tool wear ratio) is observed. Further increases in flow rate long then the ignition delay time with consequent reductions in MRR.
The effects of increasing pulse energy are stronger shock waves and larger forward gaps produced by reductions in the breakdown strength of the more contaminated dielectric fluid. This explains why the self-clearing effect in roughing EDM is more effective than in finishing with lower discharge energies.
If clean fluid is pumped into the gap, the breakdown strength of the gap increases and the forward gap dimension decreases. With increasing discharge energy, metal particles accumulate faster and adhere to one another in increasing the incidence of spontaneously occurring short circuits, so that working efficiency reduces and metal removal rate falls rapidly. Increased numbers of short-circuit pulses locally heat the tool surface and rapidly increase the wear ratio.
From these observations the following practical rule can be formulated: the gap flushing should be continuous for finishing and intermittent for roughing.
2.3.1 Practical Flushing Techniques
With modern controlled pulse generators, the kinetic energy of the fluid shock wave produced by the collapse of the discharge channel is not sufficient to self clear the gap for longer than a few minutes. Therefore, in all cases, as uniform flushing conditions as possible should be attempted. An essential condition for this is that the machining allowance all around the periphery of the tool should be equal.
Flushing methods can be classified according to:
1. Time, i.e. continuous or intermittent,
2. Flow, i.e. pressure, vacuum or displacement.
2.3.2 Pressure (or Injection) Flushing
Pressurized clean dielectric is pumped into the EDM gap via either a predrilled hole in the tool (Fig. 8.12a) or the workpiece (Fig. 12b). The liquid flows upwards in the peripheral gap sweeping the erosion products into the open work tank. Occasionally, debris builds up in the gap on either tool or workpiece surface and so-called “evacuation-discharges” result. The gap gradually enlarges because of this kind of discharge; with more of these discharges taking place in the “down-stream” part of the gap, because of the higher debris content of the dielectric fluid having passed further through the gap, a tapered hole is always, produced even though the tool used is parallel sided.
2.3.3 Vacuum (or Suction) Flushing
In contrast to pressure flushing, vacuum flushing sucks used dielectric fluid laden with erosion products either through the electrode (directly or indirectly through the electrode holder) Fig2.12a) or through the workpiece (Fig. 2.12b). Clean dielectric fluid from the work tank flows into the peripheral gap to replace the used dielectric sucked out. Since this peripheral gap is flushed with clean (or at worst only slightly contaminated) fluid, very few evacuation discharges occur down the sides of the tool, though some taper may occur at the bottom of the cavity. Obviously, vacuum flushing produces an almost constant side gap.
2.3.4 Side Flushing
There are some applications in which the drilling of flushing holes through tool or workpiece are not possible (for example when EDMing coining dies or deep narrow slots or processes in plastics molding dies). In these cases the gap has to be flushed using carefully adjusted nozzles forcing sets of fluid to flow evenly around the periphery of the tool electrode (Fig. 2.14a). The nozzle surrounds between a sixth to a third of the tool periphery. The direction of the jet of dielectric fluid has to be carefully adjusted to coincide with the angle of the gap so that the flow is directed parallel to the surfaces which define the gap (Fig. 2.15a)
If the direction of flushing is not parallel with the electrode surface (Fig. 2.15a) and (b), then turbulence results and only a small proportion of the dielectric fluid actually enters the gap, so that the actual flushing will be inadequate. Another disadvantageous result of the fluid jet being applied perpendicular to the side of a tool is that deflection and/or vibration of the tool may occur (Fig. 2.15b).
An important working rule is to avoid directing the jets of fluid symmetrically to opposite sides of a tool since the flows will tend to cancel each other at the bottom of the cavity with the consequence that erosion products are not flushed away (Fig. 2.15c).
Figure 2.16 shows a special application of side flushing in which clean dielectric fluid is assisted into the EDM gap by rotation of the electrode and the viscosity of the fluid. Many geometrical variations of this technique are possible and commonly used, particularly in wire cut EDM where the longitudinal feed of the wire introduces fresh dielectric fluid into the EDM gap.
8.8.5 Reciprocating Electrode Flushing
When EDMing deep cavities, the tool can be moved periodically up and down, thus, introducing fresh dielectric fluid into the gap and expelling contaminated dielectric fluid from the gap respectively. At each cycle (Fig.
2.17) fresh liquid is mixed with contaminated fluid by the upward movement of the electrode and the mixture is partially expelled from the cavity by the downward movement. So at each stroke the contamination of the dielectric fluid by the EDM debris is reduced.
Side flushing and reciprocating electrode flushing may be used together so that erosion debris leaves from the opposite side of the gap from the inlet jet. Evaluation discharge cause tapering similar to that experienced in pressure flushing, though the flushing is less effective and the side tapering rather larger with this method than with pressure flushing.
.............2.4 OPERATIONAL SUMMARY
Independently Controlled Parameters
| Parameter | Details |
|----------------------------------|-------------------------------------------------------------------------|
| Open circuit voltage | 50 to 300 V |
| Frequency | 50 Hz to 500 kHz or equivalent duty-cycle setting of on and off times per pulse |
| Dielectric type | Hydrocarbon (petroleum) oils, deionized water, kerosene, gas (dry) (see table 12.3-10) |
| Dielectric flow pressure | 711 mm vacuum to 480 kPa pr. |
| Electrode materials | Graphite, copper, brass, zinc-tin, steel, copper-tungsten, copper-graphite, silver-tungsten, tungsten |
| Servo drive gap | 0.013 to 0.13 mm |
| Sensitivity Control Capacitance | (on some style machines) from trial cuts |
|---------------------------------|------------------------------------------|
| Polarity | “Standards” is positive on workpiece, negative on electrode |
| Dependent Variables and Results Average current | 0.1 to 500 A (A few large machines use multiple 500 A power packs, with separate leads.) |
| Spark gap | 0.013 to 0.13 mm |
| Overcut | 0.005 to 0.50 mm per side |
| Material removal rate | 0.05 to 24.5 cm³/hr |
| Wear ratio (ratio of workpiece erosion to electrode erosion) | 0.5:1 to 100:1 |
| Source roughness | R₀, 0.2 to 6.3 µm |
| Depth of recast and affected zone | 0.005 to 0.13 mm |
| Corner radius | 0.025 mm or equal to overcut |
| Taper | 0.0005 to 0.005 mm/mm/side. With proper tooling, taper can be eliminated. |
3.1 PROCESS
Laser is acronym for the phenomenon called light amplification by stimulated emission of radiation. The phenomenon was first developed by Albert Einstein. However, the first laser was made possible only in 1960 by Maiman. Since then the laser has seen developments.
A laser beam can melt and vaporise diamond when focused by lens system, the energy density being of the order of $100,000 \text{ kW/cm}^2$. Such tremendous energy release is due to certain atoms which have higher energy level and oscillate with particular frequency. When such atoms impinge with electromagnetic waves having resonant frequency. The waves absorb energy from the atoms and become highly powerful. Such waves with increased energy are called “Maser” (Microwave amplification by stimulated emission of radiation). Laser was invented amplifying ordinary light waves on similar principles, i.e. to transmit the light waves with constant frequencies and wavelengths throughout without interference. Such light waves, i.e. laser may be concentrated for the release of tremendous energy.
3.2 BASIC MECHANISM OF LASER GENERATION
Laser light is generated by the transitions between high and low level of energy in various media. The mechanism deals with lasers converting electrical energy into a high energy density beam of light through stimulation and amplification. In addition, population inversion is another necessary condition for the lasing medium. Stimulation occurs when electrons in the lasing medium are excited by an external source such as electrical arc or flash lamp, resulting in emission of photons shown in Fig.3.1. The energy required to raise an electron from one energy state to another is provided by an excitation process or pumping. This achieved by lasing medium’s absorption of energy from mechanical, chemical and light sources. The lasing medium typically contains ions, atoms and molecules whose electrons are conducive to change in energy level.
Amplifications of light in laser are accomplished by an optical resonator, which is composed of cavity with the lasing medium set between two high precision aligned mirrors. One mirror is fully reflective and other mirror is partially transmissive to allow output of the beam. Mirror channel the light back into the lasing medium as photon passes back and fourth through the lasing medium, they stimulate more and more emissions. Photons that are not aligned with the resonator are not redirected by the mirror to stimulate more emission, so that the cavity will only amplify those photons with proper orientation, and a coherent beam develop quickly. The details of the amplification phenomenon are shown in the Fig.3.2.
Population inversion is a prerequisite for laser light generation. The distribution of population of atoms at normal temperature is such that majority of atoms are in ground state with
few atoms in the higher excited state. Population inversion mechanism is shown in the Fig.3.3. Population distribution at thermal equilibrium can be changed by applying external energy to atoms such that there are selectively large no of atoms in some higher excited state than in the lower energy level as shown in the figure. This situation is called population inversion. As the population inversion is non-equilibrium state, the situation will not exist for long time and atoms form the higher excited state soon transformed to lower energy levels following the thermal equilibrium population distribution. Therefore, the stimulation emission is required for continuous population inversion.
The action of stimulation, amplification and population inversion is to produce a stream of photons with common characteristics, namely laser beam. This laser beam possesses temporal, spatial and energy properties that are different then diffuse light. These properties make the laser beam useful for many applications such as communication, measurement and materials processing, etc.
Fig. 3.1 Stimulation emission process
Fig. 3.2 Amplification, (a) Laser off, (b) & (c) Initial random states, (d) Initial stimulation, (e) Amplification, (f) Coherent beam
3.2 LASING PROCESS
Operation of the laser depends on the utilization and, to some extent, manipulation of the naturally occurring transitions between the energy levels of a quantified system, such as atom.
In the Bohr-Sommerfeld model of the atom, negatively charged electrons orbit along specific paths (orbital) around a positively charge nucleus. The positions of the discrete orbitals depend upon a complex set of conditions, such as the number of electrons surrounding the nucleus, the existence of nearby atoms, and the presence of electric and magnetic fields. Each orbital defines a unique stationary energy state in the atom. The atom is said to be in its ground state when all the electrons occupy orbitals that have lowest potential energies. At absolute zero ($0^\circ$K) all electrons are in ground state. The electrons at the ground state can be excited to higher-energy state by absorbing energy of various form (Table 3.1) such as through vibrations at elevated temperature, by collision with other atoms or free electrons, via chemical reactions with other atom, or through absorption of photons (Fig. 3.4).
**Fig. 3.4 Energy Diagram from an Atom Showing Level-to-Level Transition**
For example, by the absorption of photon when the electrons are excited to higher state, they will almost immediately decay back to the ground state in about 10 ns and happens spontaneously. Spontaneous decay often results in spontaneous emission of photons. These have exactly the same frequency as the exciting photons. Light created from atoms may be in random direction but at well-defined wavelengths called “emission lines”. These emission lines can intensify when more electrons are pumped (excited) to the higher energy state.
In an atom, some transitions are possible than the other. There are well established selection rules in quantum mechanics that predicts the probability of any given transition under various circumstances. This ultimately would determine the intensity of an absorption or emission line. However, sometimes the excited atom may be trapped in an energy state forbidding it for any downward transition. So the atom can linger in this so-called metastable state from micro to milliseconds range before decaying to a lower energy state.
The existence of metastable states can upset the thermodynamic equilibrium which normally prevails in atomic system. If enough electrons get hung up in a metastable state, its population would exceed the population of atoms in ground state. Thus creating a condition for “Population Inversion”, which is thermodynamically unstable. When more energy at higher energy state is available for an avalanche waiting to happen, all that needed is some kind of stimulus to set the downward transition. Like stimulated absorption and spontaneous emission, Einstein proposed the powerful thermodynamic argument for the third kind of transition-stimulated emission (Fig. 3.5). Any device left to itself as considered above, the medium becomes a super-radiant mixture of spontaneous emission and stimulated emission, but
**Fig. 3.5 Spontaneous and Stimulated Emission**
is not a laser in customary sense of the word since the light radiates in all possible directions. Even if the population inversion persists, the medium will have a small gain, albeit the radiation has the laser-like qualities. To achieve more efficient stimulated emission, the most effective way is to contain the radiation inside a Fabry-Perot (Fig. 3.6) interferometer.
The resonant condition transforms the interferometer into a highly selective filter. The selectivity depends on the reflectivities of the mirrors. At resonant wavelengths, the reflectivity inside the cavity can be very high and create an excellent feedback environment for the laser gain medium.
Under the condition, the population inversion is high enough to overcome all the losses inside the cavity. The so-called threshold condition would be met and lasing will begin. To couple light out of the cavity, one of the mirrors is usually made partially reflective (a small hole in an otherwise totally reflective mirror would also suffice).
Because laser light consists mostly of stimulated emission with each pass through the gain medium, it is
- coherent—spatial and temporal
- high collimation—high directional property
- intense—for any material processing application.
### 3.3 LASING MATERIALS
Many materials exhibit lasing action. However, only a limited number is used in metal working. Solids, liquids, and gases can be used as lasing materials. The lasers are also classified according to the type of material used. In metal working, the solid-state and gas lasers are generally used. Table 3.1 shows the classification and their functional relationships.
Solid state lasers consist of a host material which may be crystalline solid or glass doped with an active material whose atoms provide the lasing action. For example, the Nd-YAG lasers consist of a single Neodymium. In ruby laser the aluminium oxide contains Cr$^{3+}$ ions as active material.
Solid state lasers are pumped optically, generally by flash tube (Fig. 3.7). The flash tubes are mounted in a reflecting cavity parallel to the lasing rod.
In one of the arrangements, two flash or even more flash tubes are maintained on the foci of an elliptical reflecting cavity with the lasing rod parallel to the central axis. Gas lasers consist of optically transparent tube fitted with a single gas or a mixture of gases of the lasing material (Fig. 3.8). The gases used commercially are He-Ne, Argon, CO$_2$ etc. i.e power source is the electric discharge between electrodes or flash tubes.
**Table 3.1 Laser Classification and their Relationships**
The power output is dependent on the length of the laser tube. Thus CO2 laser can develop about 50 W for every meter length of tube. The problem of length could be overcome by arranging the short length tubes in a
Fig. 3.7 Solid State Laser- A Schematic Diagram
Fig. 3.8 Schematic Diagram of a Gas Laser
zigzag fashion with a reflecting surface at each end. Thus Ferranti Electric Inc. developed 400 W CO₂ laser in a length of 120 m.
A typical high power CO₂ laser contains three gases, namely CO₂, N₂ and He. CO₂ gives the molecular action to generate photons, N₂ reinforces and sustains this action and He provides intra-cavity cooling. In gas lasers, stabilization of discharge is very necessary which requires cooling of gas. There are also other types of gas lasers with axial gas flow and cross gas flow arrangements. Lasers are now available in a variety of power ratings, i.e. from a few milliwatts to 20 kW in the continuous wave (CW) mode and much higher intensity in pulsed form (Table 3.2).
**Table 3.2 Typical Laser Systems**
| Gas Lasers | Type | Wavelength (μm) | Beam divergence (mr ad) | Beam diameter (1/e² pt, mm) | Operating mode | Ripit rate (pps) | Pulse Width (s) | Power (W) TEM00 | Multi mode |
|------------|----------|-----------------|-------------------------|----------------------------|----------------|------------------|-----------------|-----------------|------------|
| | H₂N₂ | 0.6328 | 0.8 | 1.1 | CW | | | 0.001 | |
| | | | 1.0 | 1.4 | | | | 0.005 | |
| | | | 2 | 10 | | | | 200 | 250 |
| | CO₂ | 10.6 | 2 | 10 | Pulsed | 1000 | 0.001 | 600 | |
| | | | 2 | 10 | Q-Switch | | 0.5X10⁻⁶ | 100000 | |
| | | | 30 | | CW | | | 1000 | |
| | CO₂ (Tea)| 0.25 | | | Pulsed | 400 | 0.4x10⁻⁶ | 100000 | |
| Solid State Lasers | Output Characteristics | Max pulse Engy (J) | Peak Power (W) | Pulse width (μs) | Rep rate (pps) |
|--------------------|------------------------|-------------------|----------------|------------------|----------------|
| Ruby | Pulsed | 80 | 10³ | 300-600 | 1 |
| Cr³⁺Al₂O₃ | Q-Switch | 20 | 10⁹ | 0.015 | 2 (ppm) |
| Laser Type | Wavelength (nm) | Frequency (Hz) | Photon Energy (eV) |
|-----------------|-----------------|----------------|--------------------|
| Nd³⁺ glass | 1.06 | 3 | Q-Switch | 30 | $10^9$ | 0.015 | 2 (ppm) |
| | 3 | 4 | | 0.005 | $5 \times 10^3$ | 0.1 | 500000 |
| Nd³⁺ YAG | 1.64 | 8 | Pulsed | 30 | | 20 | |
| | 3 | 4 | CW (TEM₀₀-20W, Multi Mode-150W) | | | | |
Laser action can be obtained over the entire frequency range from ultraviolet to infrared. Figure 9.6 shows some of the lasing materials and their frequency range. Lasers commonly used in metal working have wavelengths ranging from 0.6 to 10.6 μm.
Fig. 3.9 Typical Available Lasers and their Radiation Properties
3.4 PROCESSING WITH LASERS
The general arrangement of using a laser for material processing is shown in Fig. 9.7.
Fig. 3.10 A Schematic Representation of a Material Processing Laser Work Station
Because of their special characteristics, lasers give rise to certain advantages in metal processing. Table 3.3 lists these advantages.
Table 3.3 Characteristics of Laser Beam and Laser Beam Machining
| SI. No. | Special characteristics of laser beam | Cutting process characteristics |
|---------|--------------------------------------|---------------------------------|
| 1. | Can be focused to maximum intensity or to lower intensity as needed | High cutting speed narrow kerf straight sides little affect |
| 2. | Can be moved rapidly on the work | Cutting of complex shapes No tool/work contact, precision location |
| 3. | When projected some distance from the lens | Remote cutting over long stand-off distances |
| 4. | Dedicated to an on-line process | No re-routing necessary |
| 5. | Time shared between stations | Cut, then weld using same beam use for additional cutting stations |
| 6. | Power shared on a job or between stations | Two or more cuts simultaneously |
3.5 Nd:YAG Laser Generation Process
Solid state lasers use ions suspended in a crystalline matrix to produce laser light. Nd:YAG laser is one of the most widely accepted solid state laser used for micro machining. The name of this laser represents the composition of the crystal gain material i.e. Neodymium (Nd) doped Yttrium Aluminum Garnet (YAG). In Nd:YAG lasers, Neodymium atoms (lasing media) are embedded in a YAG crystal host ($\text{Y}_3\text{Al}_5\text{O}_{12}$). The Neodymium atoms are doped in this host. The concentration Nd in YAG crystal is 1% by weight.
The YAG crystal has excellent thermal, mechanical and optical properties to produce efficiently a high quality coherent laser beam. The Nd:YAG laser’s strongest advantage over other lasers is its ability to produce a continuous beam at room temperature, which allows the laser to be used in typical workplace environments without any major modifications. These properties have all contributed to the wide acceptance of the Nd:YAG laser in cutting, micro-machining and other processing applications. It is operated at 1064 nm wavelength. There are two types of YAG lasers, continuous wave and pulse mode. This is having distinctly different output characteristics and material processing capabilities. Peak power, pulse energy and pulse repetition rate are useful indicators for determining the processing speed and capability of pulsed Nd:YAG lasers. The efficiency of this laser is comparatively high. To achieve high power and low divergence from Nd:YAG rod it is necessary to cascade several rods and to pump each optically. A typical schematic Nd:YAG laser diagram is shown in fig. 3.11
The solid-state laser usually uses krypton or xenon flash lamps for optical pumping. Krypton lamps have low operating current and high-energy efficiency, so they are useful for continuous wave operation. Two mirrors are provided in case of Nd:YAG laser; the back mirror has reflectivity of 100% and the front mirror has reflectivity of about 80%. To improve the beam-quality, aperture is used in the resonator to eliminate highly amplified divergent light when it is operated on fundamental mode (TEM$_{00}$). The safety shutter is provided to block the lasing action for long periods. To control the heat generation, a cooling system is provided for operation of Nd:YAG lasers. With an efficiency of 3%, a typical Nd:YAG produces thirty times as much waste heat as laser output.
The output characteristics of a Nd:YAG laser can be altered by varying the pumping discharge waveform. Laser beam pulse frequency and shape can be tailored by using Q-switching, where a shutter moves rapidly in and out of the path of the beam. In this manner, beam output is
interrupted until a high level of population inversion energy storage is achieved in the resonator. Fiber optics materials for beam delivery and transportation can be used for Nd:YAG laser radiation.
**Fig. 3.11 General Construction of Nd:YAG Laser**
### 3.6 Carbon dioxide
Gas lasers based on molecules emitting light on transitions between vibrational energy levels differ in important ways from the electronic-transition gas lasers. The most important functional differences are their longer wavelengths in the infrared and the higher efficiency of some irrational transition lasers. The best known of this large family of lasers is the carbon dioxide (CO2) laser, widely used in industry and medicine. Chemical lasers also are vibrational lasers, but their different characteristics make them more important as potential high-energy laser weapons. The commercial importance of the CO2 Laser comes from its combination of high efficiency and high output power. Typically 5-20% of input power emerges in the output beam, the highest of any gas laser, although lower than some semiconductor lasers. This high efficiency limits both power consumption and heat dissipation, so industrial CO2 Lasers can generate continuous powers from 1 W to 10 kW. Typical powers are below 1 kW.
In addition to being efficient, the CO2 laser lends itself to efficient removal of waste heat left over from laser excitation. Flowing gas through the laser can remove waste heat efficiently, by transferring the heat to flowing air surrounding the tube, flowing water, or in some cases, exhausting the laser gas directly to the atmosphere. CO2 Lasers emit at wavelengths between 9 and 11 Um. The strongest emission is near 10.6 um which is often listed as the nominal
wavelength. These wavelengths are strongly absorbed by organic materials, ceramics, water, and tissue; therefore, tens of watts often suffice for applications such as cutting plastics or performing surgery. By contrast, most metals reflect strongly at 10 nm, so metal working requires higher powers at that wavelength than at shorter wavelengths. Years of engineering development have made the CO₂ laser a practical tool for moderate-to-high-power commercial application. Laser weapons require considerably higher powers—officially classified, but unofficially at powers of 100 kW and greater—available from various chemical lasers.
3.6.1 EXCITATION
The standard technique for creating a population inversion in CO₂ and most other vibrational lasers is to apply an electric discharge through the gas. Typical voltages are kilovolts or more, and as in electronic-transition lasers, a higher voltage may be needed to break down the gas and initiate the discharge. Total gas pressure must be kept below about one-tenth of atmosphere to sustain a stable continuous discharge, and this is the standard operating mode for most commercial CO₂ lasers.
The addition of other gases aids in energy transfer to and from CO₂ molecules. Molecular nitrogen absorbs energy from the electric discharge more efficiently than CO₂ does. Because nitrogen's lowest vibrational mode has nearly the same energy as the upper laser level of CO₂, it readily transfers the energy to the CO₂ during a collision. Thus, adding nitrogen to the CO₂ in the laser discharge enhances the excitation process.
Helium is added to the gas mixture in a CO₂ laser because its thermal conductivity is much higher than CO₂ so it can efficiently remove waste heat from the gas mixture. He also plays a role in depopulating the lower laser level, thereby increasing the population inversion.
An alternative way of exciting CO₂ is by thermal expansion of a hot laser gas, in what is called a gas-dynamic laser. Very rapid expansion of hot gas at temperatures of about 1100°C and pressures above 10 atm through a fine nozzle into a near vacuum produces a population inversion in the cool, low-pressure zone. This approach can generate high powers in the laboratory but has not found commercial application.
3.6.2 TYPES OF CO₂ LASERS
Several types of CO₂ lasers have been developed for particular applications. Like other gas lasers, commercial CO₂ lasers usually generate a continuous beam, but they also can be pulsed by modulating the discharge voltage.
The simplest type is a sealed-tube CO₂ laser with longitudinal discharge passing along the length of the tube, as shown in figure below.
Waveguide CO₂ lasers are a variation on sealed CO₂ lasers in which the discharge and laser gas are concentrated in a laser bore a few millimeters across, which functions as a waveguide for
10-nm light, The wave guide design reduces the diffraction losses that otherwise would occur in a laser with output aperture a relatively small number of wavelengths across.
**Flowing gas CO₂ lasers** can provide higher powers than static sealed lasers because the gas is blown through the tube. The heated gas in the tube is constantly being replaced new, cool gas. The key variables in flowing-gas CO₂ laser are the speed and direction of flow. Typically flow is longitudinal, along the length of the laser. Because this gas flow through a wide aperture, it does not have to flow as fast as in a **longitudinal-flow laser**.
**Gas-dynamic CO₂ lasers** are quite distinct from other CO₂ lasers because they rely on a different excitation mechanism. Hot CO₂ at high pressure is expanded through a small nozzle into a near-vacuum, a process that produces a population inversion as the expanding gas cools.
**Transversely excited atmospheric (TEA) CO₂ lasers**, unlike other types, are designed for pulsed operation at gas pressures of 1 atm or more the electrodes are placed on opposite sides of the laser axis. As in other transversely excited lasers, but the discharge fires pulses into the gas lasting nanoseconds to about 1 ns, producing laser pulses of the same length. TEA CO₂ lasers cannot generate a continuous beam, but they are attractive sources of intense pulses of 40 ns to about 1 ns.
3.12 Sealed tube CO₂ laser with Longitudinal discharge
### 3.8 MACHINING APPLICATIONS OF LASER
Besides the usual applications in communications, ranging navigation, meteorology, metrology etc. laser has a wide range of machining applications. Metal processing by laser may categorised as follows:
(a) Material removal (drilling, trimming, and evaporated),
(b) Material shaping (cutting, scribing and controlled fracturing,
(c) Welding,
(d) Thermokinetic change (annealing, photo-chemistry, grain size controls, diffusion. Zone melting etc.
3.8.1 Drilling Holes by Laser
Micro sized holes can be laser drilled in difficult to machine or refractory materials. This is the biggest area of application in laser machining.
Hole drilling by lasers is a process of melting and vaporising unwanted material by means of narrow pulsed laser operating at 2 to 100 pulses/s. Because of the very nature of melting and vaporisation processes, very high accuracy is not possible. The shape of the hole drilled by laser is shown in Fig. 3.13.
 
(a) Cross section (b) Axial section
**Fig. 3.13 Quality of Hole Drilled by Laser**
It is essentially a tapered hole, bell shaped at the top. The hole generally has on its surface a layer of material which had melted and later cooled and solidified. In case of brittle materials this layer have cracks as well.
3.8.2 Advantages of Laser Drilling
The advantages of laser drilling are:
1. No physical contact between work-tool pair, hence there is no possibility of breakage or wear of tool.
2. Precision location is ensured by focusing of the beam.
3. Large aspect ratio (depth to diameter) can be achieved.
4. Very small holes can be drilled in very hard materials like diamond in seconds.
Further, it has been suggested to use unidirectional multiple pulses for deep hole production. The reasons are:
1. Single shot vaporisation and material removal by laser in punching a deep hole would require much more energy than that contained in the single pulse.
2. Time required for heat transmission through the hole thickness is much longer than the short timed pulse.
3. Uniform diffusion of heat in all directions would occur instead of concentration in the drilled out cylindrical volume.
### 3.9 OPERATING SUMMARY
**Selection**
| Application | Type of laser |
|--------------------------------------------------|--------------------------------|
| Large holes up to 1.5 mm dia. Large holes | Ruby, Nd-glass, Nd-YAG |
| (trepanned) | Nd-YAG, CO₂ |
| Small holes > 0.25 mm dia. | Ruby, Nd-glass, Nd-YAG |
| Drilling (punching or percussion) | Nd-YAG, Ruby |
| Thick cutting | CO₂ with gas assist |
| Thin slitting of metals | Nd-YAG |
| Thin slitting of plastics | CO₂ |
| Plastics | CO₂ |
| Metals | Nd-YAG, Ruby, Nd-Glass |
| Organics, Nonmetals | Pulsed CO₂ |
| Ceramics | Pulsed CO₂, Nd-YAG |
**Relative Power to Evaporate Equal Volumes in Equal Time**
| Material | Power Ratio |
|--------------|-------------|
| Aluminium | 1.0 |
| Titanium | 1.5 |
| Iron | 1.8 |
| Molybdenum | 2.2 |
| Tungsten | 2.9 |
### Operating Parameters
| Lasing Materials | Ruby | Nd-YAG | Nd-Glass | CO₂ |
|------------------|------|--------|----------|-----|
| Type | Solid state | Solid | Solid | Gas |
| | Smallest spot, High state peak power, high absorption for metals. | | | High efficiency |
| Composition | 0.03-0.07% Nd in Al₂O₃ | 1% Nd doped Yttrium Aluminium Garnet | 2-6% Nd in Glass | CO₂+He +N₂ (Typically 3:8:4) |
| Wavelength (radiation) | 0.69 µm | 1.064 µm | 1.064 µm | 10.6 µm |
| Efficiency | 1% max. | 2% | 2% | 10-15% |
| Beam Mode | Pulsed or CW | Pulsed or Cw | Pulsed | Pulsed or CW |
| Spot Size | 0.015 mm | 0.015 mm | 0.025 mm | 0.075 mm |
| Pulse Reptn. Rate (Normal operation) | 1-10 pps | 1-300 pps or CW | 1-3 pps | CW |
| Beam Output | 10-100 W | 10-1000 W | 10-100 W | 0.1-10 kW |
| Peak Power | 200 kW | 400 kW | 200 kW | 100 kW |
| Beam Divergence Excitation | 5-7 mRad. | 1-5 m Rad | 5-7 mRad | 0.1-10 mRadian |
| Optical Pumping through Krypton, Elect. Xenon or Tungsten-halogen lamps Discharge. |
**Process Capability**
- **Drilling Diameter**: 0.005 to 1.25 mm but larger may be achieved by trepanning)
- **Drilling Depth**: up to 20 mm
- **Drilling Angle to Surface**: 15 to 90°
- **Drilling Taper**: 5-20% of hole diameter.
- **Drilling L/D Ratio**: Up to 50 : 1
- **Drilling Length, trepanning**: Up to 6.5 mm
| Drilling Tolerance | ± 5-20% of hole diameter |
|-------------------|--------------------------|
| Minimum Corner Radius | 0.25 mm |
MODULE – IV
Electron Beam Machining: Basic Principle, Controlling Parameters and focal distance, Application
Ion Beam Machining: Principle and Mechanism, Application
Plasma Arc Machining: Generation of Plasma, Equipment’s, Torch, Classification, Direct and indirect torches and application, parameters effecting cutting, Advantages.
1.1 INTRODUCTION
A comparatively recent innovation in the field of metal processing has been the use of high energy density beams. Electron beam is one of the three such sources. The major user of this beam has been the field of welding technology where the high concentration of energy provided considerable advantages like deep penetration, low distortion and clean welds. However the facilities provided by these heat sources, particularly the electron and laser beams, made these very suitable for other applications also. Some of these are the availability of energy in the form of controlled energy pulses, the capability to vary the current density at will, very fine beam focusing to small diameters to a longer focal length as compared to laser beam, if required and clean atmosphere of evacuated electron beam chamber.
The other applications of electron beam, besides welding, are:
(a) High speed perforation of small dia holes
(b) Through thickness cutting of any kind of material
(c) Engraving of metals and ceramics
(d) Thin film machining
(e) Surface treatment including surface alloying.
The various hole drilling and surface machining capabilities of electron beam are:
(i) High speed perforation in any kind of material.
(ii) Perforation of small diameter holes in thick materials.
(iii) Drilling of tapered holes
(iv) Perforation of inclined holes
(v) Non-circular hole drilling
(vi) Engraving of metal, ceramic and vaporised layers
(vii) Machining of thin films to produce resistor network in IC chip manufacture.
These capabilities of electron beam have been utilized in specific applications and in some applications the process has shown definite advantages over the other competing processes. One major drawback in some of these applications has been the requirement of high degree of vacuum essential or satisfactory operation of this process because of degassing.
However, in the field of welding, negligible distortion and very narrow and deep welds produced by electron beam have made it suitable for many applications.
1.2 PROCESS TECHNOLOGY
The process involves generation of a beam of rapidly moving electrons in an electron gun. High velocity of electrons is achieved by use of accelerating voltage of the order of 100 kV. The narrow beam so produced moves inside a vacuum (of the order of $10^{-6}$ torr) the beam retains its narrow configuration over a long distance. When this beam hits the work piece it results in the development of intense heat resulting in fusion and partial vaporisation of material. Depending upon the beam strength it may penetrate up to considerable depth. Either the work piece can be moved under the beam using a numerically controlled table or the beam itself can be deflected using a magnetic deflection coil. Generally deflection method is used only for small movements. The scheme is shown in Fig. 1.1.
Fig. 1.1 Electron Beam Gun Construction Scheme
1.3 GUN CONSTRUCTION
The main features of the welding gun, first constructed by Steigerwald are shown in Fig. 1.1. It consists of a tungsten cathode which is heated by a low voltage current. On heating it emits electrons mainly by thermionic emission. These electrons move towards the anode which is kept at a potential difference of 30-200 kV. Such high voltage accelerates the electrons to a high velocity. The use of a grid around the cathode helps in further narrowing the beam and this grid is also used for controlling the beam current. The beam passes through central hole in the anode. A tungsten diaphragm, with a small central hole, separates this portion of the gun from the rest of it. Light microscope helps in focusing the beam on work piece initially. The magnetic lens further converges the beam into a narrow spot on the work piece. A beam deflection coil can be used to deflect the beam further either onto a different spot on the work piece or for moving it along a contour.
The parameters which have significant influence on the beam intensity are the beam current, the beam diameter when it is focused on the work piece (normally known as spot diameter) and the focal distance of the magnetic lens. Every electron beam machine has provision for adjusting these three parameters. However, the limit of these adjustments should be clearly understood in order to use these wisely.
1.4 CURRENT CONTROL
The heated cathode emits electrons depending upon the thermionic emission capability of the cathode given by Richardson-Dushman equation, i.e.
\[ J = AT^2 e^{-(EW/KT)} \]
(1.1)
where
\[ J = \text{current density (amp/cm}^2\text{) of the emitted current} \]
\[ W = \text{work function of the material of the cathode (volts)} \]
\[ T = \text{absolute temperature of cathode (K-Kelvin)} \]
\[ E = \text{electronic charge (coulomb)} \]
\[ K = \text{Boltzmann constant (1.3 x 10}^{-23}\text{ J/K)} \]
\[ A = \text{constant ( } \perp 120 \text{ amp/cm}^2 \text{ (degree)}^2 \text{)} \]
Although the above equation gives the density of the current emitted by the cathode in free space, the presence of electric field around the cathode alters this current density very much. Thus one factor which controls the beam current is the grid voltage. The more negative the grid
is with respect to the cathode, the more it restricts the emission of electrons. This charges the area on the cathode from where the electrons are emitted besides changing the magnitude of total beam current which is dependent on the electrons emitted from cathode. Thus a decrease in beam spot size is not independent of beam current and it is generally associated with a decrease in beam current. The design of grid bias and its shape itself affects the electron gun performance appreciably. However, we thus conclude that a simple way of controlling beam current is to change grid bias voltage.
1.5 CONTROL OF SPOT DIAMETER
The spot size is a complex function of beam current, accelerating voltage, magnetic lens, ampere turns, distance between gun and work piece (throw-distance) etc. Following are the three effects which contribute to change in spot diameter.
(a) **Effect of thermal velocities**: It is well known that all the electrons associated with the electrons will be distributed around some mean value. This will result in different electrons converging at different points along the longitudinal axis of the beam. Hence the spot size will get spread out and the minimum spot size thus obtained is given by
\[
\delta T = 2r_t = \left(2r_c / r_i\right) \xi \sqrt{KT / EV}
\]
(1.2)
where \( \delta T \) is the minimum spot diameter, \( r_c \) the cathode spot radius, \( r_i \) radius of beam at magnetic lens, \( \xi \) the throw distance, \( V \) is anode voltage and \( K, T \) are Boltzmann constant and cathode temperature, respectively.
(b) **Space charge spreading of target**: Electrons converging in a conical beam to a point at the target will be subjected to mutual repulsion which limits the minimum spot size attainable. The repulsion becomes increasingly severe with increasing current in the beam. An approximately formula for the minimum spot size at the target is as follows:
\[
\delta_s / 2 = r_s = 5.9 \times 10^4 \xi^{5/2} I^{5/4} V^{-15/8} r_i^{-3/2}
\]
(1.3)
where distances are in cm, potential in volts and current in ampere.
(c) **Spherical aberration of the focusing lens**: Spherical aberration results in the marginal rays crossing the axis at a different position from the rays.
This causes an ideal point image to be confused in a disc whose minimum diameter is given by
\[
\delta_s = 2.5 r_i^3 \left[ \xi / \left\{ f(S + D) \right\}^2 \right]
\]
(1.4)
where $S$ and $D$ are lens pole piece separation and bore diameter, respectively, in the case of magnetic lens and $f$ is the focal length of the magnetic lens.
The combined effect of the three degradation in spot leads to the following formula for minimum spot diameter
$$\delta = \sqrt{\delta_T^2 + \delta_S^2 + \delta_S^2}$$ \hspace{1cm} (1.5)
### 1.6 CONTROL OF FOCAL DISTANCE OF MAGNETIC LENS
The general formula for the focal length of a magnetic lens is
$$f / (S + D) = 25V / (NT)^2$$ \hspace{1cm} (1.6)
where $V$ is the electron accelerating voltage (150 kV or so) and $NT$ is the ampere turns in the lens winding.
The discussion above briefly explains how the three different gun parameters like beam current, spot diameter and focal length of focusing lens are controlled and what are the limits imposed on these. However, an exact theoretical determination of these parameters for a particular setting on a machine is very difficult. This demands some trial runs on the machine to find out spot diameter, focal length and beam current under different settings of machine. The above mentioned equations can be used as a guide for knowing the trend in variation of these values with changes in operating parameters.
### 1.7 CURRENT PULSING
In many applications like hole drilling and perforation, a current pulse having a fixed amount of energy is required. As has been explained earlier, the increase in grid bias (or the negative voltage at the grid) reduces the beam current and decreases the spot size. The grid bias can be increased to an extent so as to reduce the beam current to zero. This effect is used to supply constant energy electron beam pulses. A pulse of high negative bias is applied at the grid which in turn produces an electron beam pulse by switching on and off the beam.
### 1.8 APPLICATION
The areas where electron beam machining has found application are drilling of large numbers of small diameter holes at a very rapid rate such as perforated screens used for filters, drilling of large numbers of cooling...
holes in the leading edges of a turbine blade. Another application reported is drilling holes in spinning head for the production of glass fiber. There were 6000 holes of 0.8 mm dia. on the periphery of 3 mm thick 200 mm j dia. spinning head. The drilling speed was 20 poles/sec.
Engraving of resistor network for production is for production of thin film hybrid circuits and also such machining of thin films used for production IC’s are some other application examples.
A machine for electron beam machining reported in the literature had a 1 kW rating. It had highly stabilized voltage supply to give very small spot diameter. The capabilities of this machine reported were: (1) Pulse generation of 10 ps to 20 ps duration up to a frequency of 10 kHz. (2) Range of possible hole size between 25 pm dia. in 20 (im thick foil to 1 mm hole in 5 pm thick sheet.
The machine had the provision of complex numerical control like with facilities for monitoring the current pulse etc. so that proper coordination of hole positioning, pulsing etc. can be done. With this a high drilling rate of few hundred holes per second can be attained. In fact, for application like perforation of synthetic leather, a machine with the capacity of producing few tens of thousand holes per second has been reported. Figures 10.3 and 10.4 give some of the data on the hole drilling capabilities of such machines.
Fig. 1.3 Capability Range of Perforations Valid for Steel Nickel Alloys
Fig. 1.4 EB Perforation EB Rate of Steel and Nickel Alloys
2.1 INTRODUCTION
Ion-Beam Machining (IBM) is an electro-thermal process, which in real sense uses charged particles in vacuum to remove the material from the work surface. This process is different from other thermal-thermal processes like E.B.M. and E.D.M. since it uses sputtering of ions primarily as the method to remove material from the work-surface, whereas, the bombardment of electrons in EDM and EBM, bombardment of heated ions in PAM or bombardment of photons in LBM shall heat, melt and vaporise work materials.
In the process, sputtering is the main phenomenon widely used to remove the work-material from any surface. In the process, the surface atoms are dislodged from incident bombarding ions. Thus it is not a thermo-electric process. Here ions are formed by knocking of electrons from the atoms and are accelerated in an electric field which collide with the work surface. A transfer of kinetic energy takes place on the work surface to its atoms to finally dislodge it off the surface atoms. Energetic ions cause rearrangement of atoms of the solid in displacement cascades, remove near surface atoms by sputtering and may be incorporated with over turn or back off the work surface.
The foregone explanation reveals that by sputtering a high yield of ions is required since that well increase the sputtering yield and remove work more faster. Sputtering ions is also assisted by striking of metals but since they have comparatively low velocities, they cannot be used to dislodge sizable quantities of work. Thus sputtering coefficient or sputtering yield $Y$, is defined as,
$$Y = \frac{\text{Number of atoms removed}}{\text{Number of striking ions}}$$ \hspace{1cm} (2.1)
The yield can increase if the atomic weight of the bombarding ion is more due to high momentum transfer and the angle of grazing or incidence, i.e. the angle of incidence on the work surface material. It is found that disordering of atoms transforms crystalline structure into amorphous phase as observed in covalently bonded elements.
2.2 BEAM SOURCE
Since the primary element of interest is ion, it is necessary to get an ion by knocking out electrons to get cations or for anions. Here the principle of electron discharge through a gas or Glow-discharge characterized by high voltage is used as a source of energetic electrons.
To generate a glow-discharge the primary setup comprises of two electrodes in an enclosure. Pressure of the gas inside the glass chamber is specified reduced pressure ranging from $10^{-3}$ to $10^{-5}$ atm. This range is termed as “soft vacuum”. The voltage across the two electrodes is of the order of 1 kV to 100 kV range. This results into an electron beam. The beam power can be varied over a wide range. The ability of soft vacuum to produce varied glows and spaces need be exploited for two reasons.
- It is technically advantageous in material processing, and
- economically advantageous in engineering.
Thus a true optimization is required to increase effectiveness of the system.
However, for an optimality of the process the following are searched and expedited.
(a) Electrode Characteristics
Two electrodes mounted in a vessel (glass or metallic) at reduced pressure have a voltage characteristics at a specified current. This is given by,
$$EC = pd \quad (2.2)$$
where $p =$ pressure of gas in torr ($1 \text{ torr} = 1 \text{ mm Hg}$) and
$d =$ dimension between the electrodes, cm.
The actual function depends on (i) nature of the gas, (ii) material of electrodes, (iii) electrode geometry and (iv) time and temperature.
Usually, plant or hollow cathode type arrangements are made, the latter being more useful for thin beam glow discharge sources. Scaling of a given geometry does not change the characteristics when plotted and is used to engineer a source of specified beam. However limitations come from heating, which causes density decrease of plasma and gas.
(b) Discharge Mechanism
Ionized gas emit positive ions (Fig. 2.1) which are accelerated in the electric field of the “cathode face” towards the cathode. Most of the applied voltage appears in the region. Its dimension mostly depends upon the applied voltage, ion current density, mass of ions.
• The fast ions may interact with natural gas molecules by charge exchange to become fast neutrals (possibly exited) and both may go on to strike the cathode. The energy ranges from zero to maximum and cause secondary electrons to be emitted there. Photons invalid in the plasma or elsewhere like at the anode due to electron bombardment and after striking the cathode cause electron bombardment and after striking the cathode cause electron (secondary) release. This process is termed responsible for high efficiency of hollow cathode.
**Fig. 2.1 Scheme of Discharge Mechanism**
• Secondary electrons are accelerated towards the plasma in the cathode fall. Either they or further secondary electrons released are responsible for maintaining plasma ionization of gas. The degree of ionization can be augmented by means of an auxiliary discharge to a second anode at different potential to the first. In this way regulation or control of the main discharge may be obtained. As trajectories of fast ions and electrons are normal to the cathode surface, cathode curvature can be employed to focus fast electrons in a specified way.
• When the separation of side ways boundaries is of the same order as the cathode fall dimension, the plasma boundary becomes concave towards cathode causing concentrated thin beam of electrons, fast in nature. Division of broad and thin beams are based on cathode fall dimensions. As voltage is increased and pressure reduced, the beam becomes more penetrating due to reduced collisions and reduction in gas density.
(c) **Cathode Electron Emission**
Electron emissions at the cathode occurs due to neutrals, photons and ions so that effective coefficient of secondary electron emission gives total yield per bombarding ion and depends on voltage,
gas, geometry and cathode material. The general increase of voltage tends to make ion gems efficient at low voltage.
(d) **Cathode Sputtering**
Role of cathode emission cannot be precisely assessed due to complexity of the glow. The sputtered atoms collide with the gas present and are transported by diffusion. Ionized are subjected to electric field. Rate of cathode erosion depends on the distribution of ion bombardment over the cathode. Cathode is rotated to reduce erosion. Corrosion are obtained to the order of $10^{-7}$ cc/sec/kW. It can be reduced by light gases like Hydrogen and Helium. Condensation causes a need to maintenance.
(e) **Regulating and Control Electrodes**
An auxiliary cathode (+ve or -ve with respect to main anode). Acceleration of the electrons should take place at an appropriate boundary of plasma. Effectiveness depends on influence to increase discharge at anode boundary. Position, shape, polarity and electrical characteristics are parameters for optimization. Reduced working pressure by hollow electrodes can be exploited to reduce probability of change exchange collisions accelerated in the main cathode fall.
2.3 **ION GUNS**
Guns are designed to correct the target in some desired direction. Energies range for 1 keV to 100 keV current from milli amps to amps.
Ion guns are less penetrating, less homogenous and difficult to manipulate magnetically. They are similar in design to electron guns. Broad and thin beams are available. Auxiliary anode provides regulation. Ion guns require a special electrode outside the cathode to stabilize discharge. The ions coming out will form a plasma after ionizing the gas. Types are as shown in Fig. 2.2.
2.4 **ION BEAM SET-UP**
(a) **The Unit**
The gun and its associated equipment are shown in Fig. 2.3. The gun is intended to work in the range 1 to 10 kV (or more depending on the insulator) to continuous power consumption of 10 to 100 watt/cm$^2$ of cathode. The electrode geometry may be spherically or cylindrically or cylindrically curved to produce a spot or line focus, or it may plane or convex downwards to
produce a parallel beam. The anode guard ring may be adjusted to obtain the best beam shape under given conditions.
(a) Broad beam guns: wire mesh for cathode. Restricted geometry only if they modify cathode fall.
(b) Hollow anode structure: thin pencil beam, rotation produces beam geometry.
(c) Thin beam hollow: relatively large cathode ionization is independently maintained to get non-energetic beam.
**Fig. 2.2 Different Types of Ion-Gun**
Metal parts of the gun are conveniently made from stainless steel because of its low thermal conductivity. Thin sheet construction permits operating temperature to be established quickly. Heat dissipation in the cathode is radiated away. The gun stem (cryogenic stainless steel tubing) and insulator assembly may be longer than shown, in order to avoid heating of the rubber seals. The cathode voltage dropper resistor should be chosen to drop about 20% of the applied voltage. It should be connected close to the cathode support rod in order to minimise stray capacitance.
The whole assembly should be mounted in an interlocked enclosure to protect the operator from electrical hazard or X-radiation.
The characteristics shown in the figure (Fig. 2.4) indicate the strong dependence pressure. Practical operation is facilitated by employing adequate pumping speed at the chamber (at least one litre per second).
Fig. 2.3 A Scheme of Ion Beam Unit
Fig. 2.4 Current and Voltage Dependence on Pressure in Milli-bar
Gassy applications are difficult to undertake with simple system of this type, but heat-treatment, melting and moderate evaporation work are possible (particularly if the pumping speed is high). Electrical characteristics with auxiliary anode may be determined and closed loop regulation may be adopted (a signal can be taken from the cut-out or a series resistor in the positive conducted) with or without an ambient discharge by switching in a charged capacitor through an appropriate charging resistor (few hundred ohms) connected to the cathode.
(b) Getter Ion Pumps
High vacuum pumps that employ chemically active material layers which are continuously/intermittently deposited on the wall of the pump and when chemisorb (chemically absorb) active gases while inert gases are cleaned up by ionizing them in an electric discharge and during +ve ions to the walls where neutralized ions are buried by fresh deposits of material.
2.5 SPUTTERING RATE (MRR)
\[ W = 6.24 \times 10^{15} Y.J.S. \text{ atoms/sec} \]
(for single energetic ions)
where \( Y \) = sputtering yield atom/ion, \( J \) = ion current density mA/cm\(^2\) and \( S \) = sputtering area in cm\(^2\).
2.6 APPLICATIONS
(a) Rates poor in
Good in
Fair in
(b) Rating
(c) M.R.R
Tolerance
Surface finish, CLA
Surface damage
Comer radius
Safety
Micro drilling $D < 0.03$ mm
Small hole drill $0.15 > D > 0.3$
(d) Widely used for:
(a) Cleaning
(b) Polishing glass
(c) Etching
(d) Micromachining
(e) Sputter deposition
- Drilling
- Shallow contouring
- Deep cutting
- Al, Steel, Super alloys, Titanium, Refractory plastics and glass
- Ceramics
- $2 \times 10^{-4}$ mm/min
- 0.005 m
- Super
- 0.005 m
- 0.002 mm
- Fair
- Fair
- Good
- Removing surface contamination
- Not to crystalline
- Study of micro structure wire dies
- Integrate circles, bearings
- atomic deposition i.e. thin film metal deposition
2.7 ADVANTAGES
(a) Process is almost universal.
(b) No chemical reagents etchants.
(c) No undercutting.
(d) Etching rates and controllable.
2.8 DISADVANTAGES
(a) Relatively expensive.
(b) Slow etching rates.
(c) Little possibility of some thermal or reaction damage.
3.1 PROCESS
Plasma arc cutting began in the early 1950s when it was discovered that the performance of an electric gas cutting arc could be greatly improved if it was directed through a water-cooled copper nozzle (Fig. 11.1) located between an electrode (cathode) and the work piece (anode). The nozzle constricted the arc into a small cross-section which increased both the arc temperature and voltage. After passing through the nozzle, the arc emerged as a high velocity, intensely hot plasma jet.
(a) The system
(b) The nozzle
**Fig. 3.1 Scheme of Plasma Arc Cutting System**
The cutting action of the torch is provided by this plasma jet. Often called the fourth state of matter, plasma is an extremely hot gas in a highly ionized state, produced by passing a high voltage electric arc through a gaseous mixture consisting of hydrogen, nitrogen, argon, etc. Unlike Oxy-fuel cutting, this method does not make use of the heat of chemical reaction (oxidation). It uses the energy of plasma to melt the metal and thereby cut. Plasma arc has, therefore, emerged as a method of cutting of stainless steel, aluminium and nonferrous metals which, because of the chemical reaction produced were impossible to cut with any oxy-gas flame.
3.2 PRINCIPLES (PLASMA ARC)
An arc is a stable form of electric discharge between two electrodes in a gaseous medium. A feature of a gaseous conduction is a continuous interchange of energy between electrons, ions and neutral particles, the interchange occurring during the collision resulting from their
disorderly movement caused by beating. Structurally, in an arc there are anode, cathode and a column of quasi neutral plasma. Due to thermionic or auto electronic emission, electrons are discharged by the cathode. The electrons lose part of their energy to the ions, neutral atoms and molecules in multiple collisions causing ionization as well as dissociation of the gaseous medium. There is a consequent rise of temperature in the gaseous plasma varying from $4 \times 10^3$ to $20 \times 10^3$ deg. K or more.
An attempt to artificially increase the temperature of the arc has led to the development of plasmatrons or plasma torches and their extensive use in industry. The plasmatrons are based on the forced cooling and construction of the arc column with steam, or gas flow. There are two types of plasmatrons direct and indirect arcs. In both types (Fig. 11.2) of plasmatrons, one of the electrodes (cathode) is in the form of a rod with refractory tip attached to it.
**Fig. 3.2 Schematic Diagram of Plasmatron: (a) Direct Arc System and (b) Indirect Arc System**
In the indirect arc type, the nozzle is the anode while the work piece is the anode in the direct type.
3.3 PLASMA ARC TORCHES (PLASMATRON)
3.3.1 Indirect Arc Plasma Torches
The arc established between the electrode and the torch is forced through the nozzle by the working gas fed into the chamber. The anode spot of the arc moves on the inside wall of the nozzle passing, whereas the column if firmly stabilized along the axis of the electrode and torch. In passing through the nozzle, part of the working gas becomes heated, ionized, and emerges from the torch as the plasma jet. The outer layer of the gas flowing around the arc column remains relatively cool and forms an electric and thermal insulation between the plasma jet and nozzle bore, thus protecting the nozzle from erosion. In addition, the external coat of gas intensively cools the arc column due to which the cross-section of the column decreases and the current density diameter of the column the constricting action of the arc intrinsic magnetic field also increases:
\[ p_m = \frac{36 \times 10^{13}}{\pi} \times \frac{I^2}{D_{con}^2 C^2} \text{ N/cm}^2 \]
(3.1)
where \( P \) is the inward pressure of the magnetic field, \( I \) the arc current (Amp), \( D \) the conductive diameter of column and \( C \) the speed of light (\( = 3 \times 10^{10} \text{ cm/s} \)).
Thus the thermal constriction in the plasmatron (thermal pinching effect) induces an increased magnetic constriction (magnetic pinch effect). The current density reaches 100A/mm and the temperature reaches several thousand degrees. Emerging from the torch the plasma jet widens slightly. This leads to the appearance of an axial pressure gradient of the arc magnetic field, accelerating the plasma jet to supersonic speeds.
3.3.2 Direct Arc Plasmatrons Torches
In direct arc plasma torches the work piece is the anode, whereas the nozzle is electrically neutral, being used for the construction and stabilization of the arc only. In contrast to the indirect-arc plasma torches, the plasma jet of the direct-arc type is brought into coincidence with the arc column and for that reason has a higher temperature and thermal power. Since it is difficult to strike an arc between the electrode and work piece directly through the narrow torch passage, first an auxiliary arc is commonly excited between the electrode and the nozzle and then, as soon as the arc flame reaches the work piece, it automatically strikes the main arc between the electrode and the work piece, while the auxiliary arc is switched off.
Indirect-arc plasmatorches are used for working non-conducting materials (for flame spraying, spheroidizing, heating, etc.). Direct-arc torches have a higher efficiency and are preferred for cutting, welding, depositing, etc. In this case, gas is admitted into the chamber through tangential holes and flows spirally, enveloping the arc column in a vortex flow.
In many cases plasma torches with a double or combined gas flow are used for welding and cutting. They have two nozzles. The gas applied to the internal nozzle can be termed the primary, and the external nozzle can be termed the secondary, and the external nozzle gas, the secondary. Primary and secondary gases can differ in the designation, composition and flow rate. In the cutting process the primary (usually inert) gas protects the tungsten cathode from the environment, the secondary (usually active, molecular) in the plasma forming, cutting gas. In welding, the gas applied to the external nozzle additionally constricts the plasma jet found by the primary gas and protects the weld zone from the environment.
A number of plasmatron types (26 types) are explicitly schematically described in Fig. 3.3
Fig. 3.3 (Contd.)
IV. BY THE TYPE OF THE ELECTRODE-CATHODE
- **ROD-TYPE**
- Consumable (10)
- Gas-Shielded (11)
- Film-Shielded (12)
- **HOLLOW**
- Gas (13)
- **DISK-TYPE**
- Water (14)
- **RING-TYPE**
- Gas (15)
V. BY PLASMA-FORMING MEDIUM
- **INERT**
- Ar (16)
- He
- **REDUCING**
- H₂ (17)
- N₂
- CₙH₂ₙ₊₂
- NH₃
- **OXIDIZING**
- O₂ (18)
- CO₂
- H₂O
- (H₂ + O₂)
VI. BY THE TYPE OF CURRENT
- **ON DIRECT CURRENT**
- Gas (19)
- **ON ALTERNATING CURRENT**
- Gas (20)
- Water (21)
- **COMBINED**
- Gas (23)
- Water (24)
- **HIGH FREQUENCY**
- HF (25)
- SHR (26)
**Fig. 3-3 Classification of Plasma torches**
3.4 PARAMETER AFFECTING CUTTING
3.4.1 Plasma-Forming (Cutting) Gases
The quality and the speed of cutting, far from being fully dependent on the power parameters of plasma arc, are much influenced by thermo-physical and chemico-metallurgical properties of the plasma-forming (cutting) gases. Natural and artificial mixture which are various combinations of the four principal gases, argon, nitrogen, hydrogen and oxygen have been used as plasma-forming media. Thermophysical properties of these gases as well as those of air and water (steam) are shown in Table 3.1.
Due to high heat capacity, hydrogen has the maximum heat content enthalpy at a comparatively low temperature of plasma, and due to high heat conductivity it makes it possible to achieve the best conditions for the transfer of the plasma arc column power to the metal (\(i.e.\eta_u\)). That is why, the arc power being the same, the cutting speed will be higher in hydrogen and in mixtures based on hydrogen than in other gases. The plasma jet with hydrogen as the basic agent pressures high energy of gas at the maximum arc length. For this reason hydrogen-containing mixtures should be used for cutting thick, high-alloy steel plates and such good heat conductors as copper and aluminium. In addition, hydrogen provides for a smooth cutting surfaces. From the economy point of view most advantageous is the use of cheap hydrogen containing gases such as ammonia, consisting of 75% H and 25% N. In contrast to pure hydrogen, ammonia is explosion proof, cheap and easily available. The consumption of hydrogen containing gases depends on the cutting current and is 2 to 4 m³/hr. However, hydrogen containing gases also possess significant disadvantages. As a consequence of the high thermal conductivity of hydrogen, the thermal and electrical insulation of the plasmatron nozzle from the arc column is disrupted even at comparatively small power supply, which results in the nozzle destruction. Sometimes a gas mixture containing hydrogen and a maximum of 20% argon is also used. It has been suggested that due to the thermal diffusion, argon, being much heavier than hydrogen, accumulates at the nozzle walls, providing for a thermal protection of the nozzle, since its electric and thermal conductivity” is comparatively low. Cutting of carbon steels, stainless steels and aluminium of medium thickness in many cases is performed with the use of commercial nitrogen. The quality of plasma cutting in nitrogen is somewhat worse and the speed is considerably less than in hydrogen-containing gases. In addition, an appreciable increase in nitrogen content was noted in the fused layer of the cut at a depth of 0.15 mm. Commercial nitrogen is cheap.
The simplest and most economical is the use of air plasma. Air has oxygen and nitrogen. Its maximum heat conductivity (at 7000 K) is higher than that of hydrogen (at 3800 K). Therefore,
the air-plasma jet is noted for a higher concentration of energy and greater as compared with the hydrogen jet.
With oxygen in the plasma, heat is applied to the cut not from the arc alone but also due to heat of oxidation reaction. Furthermore, dross adherence on the bottom edge of the cut is substantially reduced. The speed of cutting steels with the air plasma is 1.5 to 2.5 times greater than with the use of nitrogen as the cutting gas and ensures better quality. The plasmatron is to be specially designed (normally zirconium cathode) to operate on compressed air. Air plasma can be advantageously employed for cutting non-ferrous alloyed metals but at a sacrifice of the quality of the cut surface. With thicknesses in excess of 40-50 mm for copper and 80-100 mm for aluminium the air plasma cutting process cannot compete with the cutting in hydrogen containing mixtures because of a decrease in the cutting speed.
Water is an ideal plasma-forming medium which is a cheap combination of hydrogen and oxygen. Despite long-period research work carried out to determine the feasibility of using water for plasma cutting, plasmatrons with the water stabilization of the arc have not yet found wide application since they are rather complicated and unreliable. From the economy point of view the least efficient plasma-forming gas is argon, since it is scarce, expensive and low-enthalpic. However, for the reason of the low voltage of the arc, at present it is extensively used for the manual cutting of non-ferrous metals and alloyed steels of small and medium thicknesses both as a sole agent or in conjunction with commercial nitrogen.
3.4.2 Stand-off Distance
Increase of the stand-off distance reduces the depth of the penetration, and hence narrows the cut width at the bottom. With an excessive reduction of the stand-off distance, the plasmatron can be damaged by the metal spatter. The optimum stand-off distance depends on the thickness of the metal being cut and varies between 5 and 10 mm.
3.4.3 Speed of Cutting
There exists an optimum correlation between the metal thickness, arc power and speed of cutting. The increase of the cutting speed leads to a reduced depth of immersion of the arc column and of the anode region, to
Fig. 3.4 (a) Cut Formation and (b) Cut Cross-section in PAM
a lag of melting front at the bottom, and consequently to a narrowing of the cut in the lower portion and, in case of excessive speed, to incomplete cutting. Figure 11.4 shows the cut formation when the speed is higher than the optimum speed. On the other hand, the reduction of speed below the optimum will cause the opening of the cut at the cut bottom. Usually the optimum cutting speed is approximately one and a half to two times below the maximum one.
Table 3.2 shows typical plasma cutting parameters.
| To cut 25 mm thick | Orifice dia (mm) | Current DCSP (amp) | Cutting speed (mm/s) | Power (KW) |
|--------------------|-----------------|-------------------|---------------------|------------|
| Aluminium alloys | 4 | 400 | 38 | 80 |
| Stainless steel | 4 | 400 | 21 | 80 |
| Carbon steel | 4 | 425 | 21 | 85 |
The optimum parameters of cutting can be selected proceeding from the balance of heat power spent on the melting and evaporation of a volume of metal equal to the volume of cut formed per unit time:
\[ \eta_u I V = \gamma b_{av} \delta \Delta S V W / S \]
(3.2)
where
\[
\eta_a = \text{factor of arc power utilization} = 0.4 \text{ (usually)}
\]
\[
\gamma = \text{metal density, g/cm}
\]
\[
b_{av} = \text{average width of cut} = \text{thickness of metal cut, cm/s}
\]
\[
V = \text{maximum speed of cutting, cm/s}
\]
\[
\Delta S = \text{amount of heat spent on a unit of mass of metal removed from cut, J/g.}
\]
### 3.5 ADVANTAGES OF PLASMA ARC CUTTING
1. In plasma arc cutting, the material being cut becomes molten and is either blown away by the high velocity gas stream or is evaporated due to the high temperature of the plasma arc. The method can, therefore, be applied to any metals and even to non-conducting materials like concrete etc.
2. Carbon steels thinner than 50 mm can be cut at accelerated speeds (10 times faster than oxy-fuel cutting).
3. Due to the high speed of cutting, the deformation of sheet metals is reduced while the width of the cut is minimum and the quality is high.
4. Owing to the high productivity of the plasma-arc cutting and the emerging tendency to use cheap and easily available plasma-forming media (air, water, ammonia, and others), plasma-arc cutting is finding ever-increasing application. Arc plasma-arc cutting is finding ever-increasing application. Arc plasma torches give the highest temperature (around 14000°C) available for many practicable sources.
5. Metal cutting is performed with the direct plasma arc which has a highly constricted arc column and, therefore, a greater concentration of the thermal flux. The penetration is high and starts cutting almost at once (there is no need for the local heating of the metal to its ignition temperature).
6. With the optimum correlation between the metal thickness, arc power, and speed of cutting, the plasma arc column penetrates the entire metal thickness, and its anode region is at the level of the lower surface of the sheet. The cut is near perfect with vertical side edges without dross adherence. It leaves a narrower kerf.
7. Plasma cutting can be used for stack cutting, plate beveling, shape cutting, and piercing. It can also be used for underwater cutting.
## 3.6 OPERATIONAL SUMMARY
### Power Supply
| Type | Direct Current |
|-----------------------|----------------|
| Wattage | Up to 200 kW |
| Current | 50 to 1000 A |
#### Primary Gas
| Type | Argon-nitrogen (4 : 1), Hydrogen |
|-----------------------|----------------------------------|
| Flow | 0.40 to 5.65 m³/hr |
#### Shielding Gas
| Type | Nitrogen, oxygen, air, CO² and water |
|-----------------------|--------------------------------------|
| Flow | Up to 11 m³/hr |
| Water Shield Flow | Up to 60 L/hr |
#### Plasma Temperature
- 20,000 to 50,000 °F or 11,000 to 30,000 °C
#### Cutting Speed
- 50 to 6000 mm/min
#### Standoff Distance
- 6 to 10 mm
#### Nozzle Orifice Size
- 1.5 to 6.5 mm
#### Kerf Width
- 1.5 to 3 mm for thin plate
- 4.75 mm for 25 mm plate
- 19 mm for 150 mm plate
#### Kerf Angle
- **Normal**: 2° to 7°
- **Special**: 1° to 2°
#### Accuracy
- ± 0.8 mm on 6 to 35 mm
- ± 3.0 mm on 150 to 200 mm
#### Corner Radius
- 4 mm min. but increases with cutting speeds up to 38 mm at 6000 mm/min
Reference’s
1. Advance machining process, V K Jain, Allied publishing Pvt. Ltd
2. Ghosh & Mallik, Manufacturing Science, EWP, East West press Pvt. Ltd.
3. Paday and Hsan, Morden machining process, TMH.
4. P K Mishra, Nonconventional Machining process, Narosa publication House.
5. Manufacturing Technology, HMT
6. Manufacturing process, Amstesd, ostwaed and Begemen, John wiley & sons.
7. Processes and materials of Manufacturing – Lindberg, PHI
8. Laser Machining, George Chryssolouris, Mechanical Engineering Series, Springer
9. Introduction to Laser Technology, Hitz, IEEE press.
10. www.newagepublishers.com/samplechapter/001566.pdf
11. Lavoi, F.J., Abrasive Jet Machining, Machine Design, September, 1973, pp 135-159.
12. LaCourte, N., Abrasive-jet Machining-A Solution for Problem Jobs, Tooling and Prodn., Nov. 1979, pp 104-106.
13. Neema, M.L. and P.C. Pandey, Erosion of Glass when Acted upon by a Abrasive Jet, Proc. Int. Conf. on Wear of Mat., April 1977, pp. 387—391.
14. Engel, P.A., Impact Wear of Mateirals, Elsevier Scientific Publishing Co., Amsterdam, 1976.
15. Goldsmith, W., Impact'. The Theory and Physical Behaviour of Colliding Bodies, Edward Arnold Pb. Ltd., 1960.
16. Kinslow, R.C. (Ed), High Velocity Impact Phenomena, Academic Press, New York, 1970.
17. Rozenberg, L.D. et al, Ultrasonic Cutting, CB Publication, N.Y., 1964.
18. Markov, A.I. (ed. Neppiras, E.A.), Ultrasonic Machining of Intractable Materials, London Iliffe Book Ltd., 1966.
19. Lavoi, F.J., Water Jet Machining, Machine Design, Feb. 1973, pp. 89-93.
20. BHRA, Jet Cutting Technology.
21. Sringer, G.S., Erosion by Liquid Impact, John Wiley & Sons, 1974.
22. Preece, C.N. (ed), The Mechanics of Liquid Impact, Treatise on Material Science and Technology, Vol. 16, Academic Press, 1979.
23. De Barr, A.E., Electrochemical Machining, Macdonald Pb., London, 1968.
24. Wilson, J.F., Practical and Theory of Electrochemical Machining, Wiley—Interscience, New York, 1971.
25. McGeogh, J.A., Principles of Electrochemical Machining, Chapman and Hall, London, 1974.
26. Rumyantsev, E. and Davydev, A., Electrochemical Machining of Metals, MIR Pb., Moscow, 1989.
27. BOSCH report.
28. Lazarenko, B.R. and Lazarenko, N.I., Electrical Erosion of Metals, No. 1, Gosenergoizdat, 1994.
29. Ruderft, D.W., Electric Spark Erosion as Applied to Metal Machining Engineers’ Digest, Vol. 14, No. 10, Oct. 1953, pp. 373-377.
30. Lazarenko, B.R. and Lozorenko, N.I. The Physics of the Electric Spark Method of Machining Metals; Pb of ministry of Elect. Industry, USSR, Moscow, 1946. 4. Lazarenko, B.R. (Ed), Electrospark Machining of Metals; Vol. 2, Consultant Bureau Pb., New York, 1964.
31. Brume, M., Advances in Electroerosion, Discovery, 20(3), 1959, 126.
32. Kurafuji, H., Development of Researches and Applications of Spark Erosion and Electrolytic Machining in Japan; Annals of 14th CIRP Gen. Assembly, Sept. 1964.
33. Williams, E.M. Woodford, J.B. and Smith, R.E., Recent Development in Theory and Design of Electrical Spark Machine Tools; Tr. AIEE, Vol. 73, IGA Pt. II, May 1954, pp. 83-88.
34. Anderson, J.C., Dielectric, Chapman & Hall, UK, 1964.
35. Lewia, T.J., Jn. of Electrochemical Society, 107, 185, 1960.
36. Horsten, H.J.A. et at., Annals CIRP 20,43, 1971.
37. Thija, A., Van Dijck, F. and Snoeys, R., Investigation of polarity effects in EDM, Paper No. 73, p.7, CIRP, Feb. 1973.
38. Motoki, K. and Hashiguchi, K., Energy Distribution at the Gap in Electric Discharge Machining, Annals of CIRP, Vol. XIV, 1967, pp. 485-489.
39. Lee, T.H., T.F. Theory of Electron Emission in High-current Arcs, Jn. Appl. Phys., Vol. 30, No.2, Feb. 1959, pp. 166-171.
40. Kaldes, F., Flushing the Gap in EDM, Pt. I EDM Digest Jan/Feb 1983.
41. Application of High Power Laser, SPIE Pb., Vol. 527, 1984.
42. Manufacturing Application of Laser, SPIE Pb., Vol. 621, 1986.
43. High Power Lasers & Their Industrial Applications, SPIE Pb., Vol. 650, 1986.
44. Laser Technologies in Industries, SPIE Pb., Vol. 952 (Pt. II), 1988.
45. High Power Lasers & Laser Machining, SPIE Pb., Vol. 1132, 1989.
46. Lasers in Industries, Charschan, S.S. Van Nostrand, 1972.
47. Laser Machining, by G. Chryssolous; Springer Pb., 1991.
48. Laser Material Processing, by W.M. Steen; Springer Pb., 1991.
49. Laser in Manufacturing, Ed. by A. Quenzer, 1986, Proc. 3rd. Int. Conf., Paris; ISBN 3-540-16326-3.
50. Laser in Manufacturing, Ed. by W.M. Steen, 1987, Proc. 4th Int. Conf., Birmingham; ISBN 3-540-17854-6.
51. Laser in Manufacturing, Ed. by H.H.gel, 1988, Proc. 5th Int. Conf., Stuttgard; ISBN 3-540-50310-2.
52. Laser in Manufacturing, Ed. by W.M. Steen, 1989, Proc. 6th Int. Conf., Birmingham; ISBN 3-540-51241-1.
53. Laser in Manufacturing, by J.A. Luxon, D.E. Parker and P.D. Plotkwaski; ISBN 3-540-17427-3.
54. The Changing Frontiers of Laser Material Processing, Ed. by C.M. Banas, G.L. Whitney, Proc. ICALEO’86, Arlington, 1986; ISBN 3-540-17563-6.
55. Laser Material Processing, Ed. G. Bruck, Proc. ICALEO’88 USA, 1988; ISBN 3-540-51537-2.
56. Laser in Manufacturing, Ed. A. Gomersall, 1986; ISBN 3-540-16678-5.
57. Fundamentals of Laser Interaction II, Ed. F. Ehlotzky, 1989; ISBN 3-540-51430-9.
58. Electron Beam Welding by Maleka, McGraw-Hill Book Co., Lond. 1971.
59. Handbook of Electron Beam Welding-by R. Bakish and S.S. White, 1964.
60. Proceedings of 3rd Electron Beam Processing Seminar 1974 by R.M. Silva; publisher Universal Technology Corporation, Dayton, Ohio.
61. State of art of electron beam technology for metal removal, welding and heat treatment processes by K.H. Steigerwald in Proceedings of 20th IMTDR Conference 1980.
62. Arata, A., Plasma, Electron and Laser Beam Technology, ASM Pb., 1985.
63. Esibyan, E.M., Plasma-Arc Equipment, MIR Pb., 1973.
64. Anisimovich, L.A., A Physicist ABC on Plasma, MIR Pb., 1985.
65. Arata, A., Plasma, Electron and Laser Beam Technology, ASM Pb., 1985.
66. Dugdale, R.A., Glow Discharge material Processing, MB Mon. ME/5, Mills & Boon Ltd., London, 1971.
67. Benedict G.F. (1987), Non-traditional Manufacturing Processes, Marcel Dekker Inc., London.
68. Bhattacharyya A. (1973), New Technology, The Institution of Engineers (I), Calcutta.
69. Buttner A. and Lindenback D.A. (1969), Electrolytic dressing of diamond wheels for use in steel grinding, Ind. Diamond Rev., pp. 450-454.
70. Dash J. and King W.W. (1972), Electrothinning and electrodeposition of metals in magnetic fields, J. Electrochem Soc., Vol. 119, pp. 51-56.
71. DeBarr A.E. and Oliver D.A. (1968), Electrochemical Machining, MacDonald, London.
72. Gedam A. and Noble C.F. (1971), An assessment of the influence of some wheel variables in peripheral electrochemical grinding, Int. J. Mach. Tool Des. Res., Vol. 11, pp. 1-12.
73. Kuppuswamy G. (1976), Electrochemical grinding: an investigation of the metal removal rate, Proc. 7th AIMTDR Conf. held at Coimbatore (India) pp. 337-340.
74. Kuppuswamy G. and Venkatesh V.C. (1979), Wheel parameters and effect of magnetic field on electrolytic grinding, J. Inst. Engrs. (I), Part ME(I), Vol. 60, pp. 17-20.
75. Levinger R. and Malkin S. (1979), Electrochemical grinding of WC-Co cemented carbides, ASME Paper No. 78-WA/PROD-26, WAM, San Francisco, pp. 1-10.
76. McGeough J.A. (1988), Advanced Methods of Machining, Chapman and Hall, London.
77. Pandey P.C. and Shan H.S. (1980), Modern Machining Processes, TataMcGrawHill, New Delhi.
78. Jain V.K., Tandon S. and Kumar Prashant (1990), Experimental investigation into electrochemical spark machining of composites, Trans. ASME, J. Engg. Ind., Vol. 12, pp. 194-197.
79. Verma M.M. (1981), A study of process parameters in electrochemical grinding, M. Tech. Thesis, IIT Kanpur (India).
80. Benedict G.F. (1987), Non-traditional Manufacturing Processes, Marcel Dekker Inc., New York.
81. Naidu M.G.J. (1991), Electrochemical deburring for quality production, Proc. Winter School on AM T (Eds.: Jain V.K. and Choudhury S.K.), IIT Kanpur (India).
82. Pandey P.C. and Shan H.S. (1980), Modern Machining Processes, TataMcGraw Hill, New Delhi.
83. Pramanik D.K., Dasgupta R.K. and Basu S.K. (1982), A study of electrochemical deburring using a moving electrode, Wear, Vol. 82, pp. 309-316.
84. Rumyantsev E. and Davydev A. (1989), Electrochemical Machining of Metals, Mir Publishers, Moscow.
85. Takazawa K. (1988), The challenge of burr technology and its worldwide trends, Bull. JSPE, Vol. 22, No. 3, pp. 165-170.
86. Tool Design Manual for Electrochemical Deburring, Chemtoal Inc., Minnesota, U.S.A.
Reference’s
1. Advance machining process, V K Jain, Allied publishing Pvt. Ltd
2. Ghosh & Mallik, Manufacturing Science, EWP, East West press Pvt. Ltd.
3. Paday and Hsan, Morden machining process, TMH.
4. P K Mishra, Nonconventional Machining process, Narosa publication House.
5. Manufacturing Technology, HMT
6. Manufacturing process, Amstesd, ostwaed and Begemen, John wiley & sons.
7. Processes and materials of Manufacturing – Lindberg, PHI
8. Laser Machining, George Chryssolouris, Mechanical Engineering Series, Springer
9. Introduction to Laser Technology, Hitz, IEEE press.
10. www.newagepublishers.com/samplechapter/001566.pdf
11. Lavoi, F.J., Abrasive Jet Machining, Machine Design, September, 1973, pp 135-159.
12. LaCourte, N., Abrasive-jet Machining-A Solution for Problem Jobs, Tooling and Prodn., Nov. 1979, pp 104-106.
13. Neema, M.L. and P.C. Pandey, Erosion of Glass when Acted upon by a Abrasive Jet, Proc. Int. Conf. on Wear of Mat., April 1977, pp. 387—391.
14. Engel, P.A., Impact Wear of Mateirals, Elsevier Scientific Publishing Co., Amsterdam, 1976.
15. Goldsmith, W., Impact'. The Theory and Physical Behaviour of Colliding Bodies, Edward Arnold Pb. Ltd., 1960.
16. Kinslow, R.C. (Ed), High Velocity Impact Phenomena, Academic Press, New York, 1970.
17. Rozenberg, L.D. et al, Ultrasonic Cutting, CB Publication, N.Y., 1964.
18. Markov, A.I. (ed. Neppiras, E.A.), Ultrasonic Machining of Intractable Materials, London Iliffe Book Ltd., 1966.
19. Lavoi, F.J., Water Jet Machining, Machine Design, Feb. 1973, pp. 89-93.
20. BHRA, Jet Cutting Technology.
21. Sringer, G.S., Erosion by Liquid Impact, John Wiley & Sons, 1974.
22. Preece, C.N. (ed), The Mechanics of Liquid Impact, Treatise on Material Science and Technology, Vol. 16, Academic Press, 1979.
23. De Barr, A.E., Electrochemical Machining, Macdonald Pb., London, 1968.
24. Wilson, J.F., Practical and Theory of Electrochemical Machining, Wiley—Interscience, New York, 1971.
25. McGeogh, J.A., Principles of Electrochemical Machining, Chapman and Hall, London, 1974.
26. Rumyantsev, E. and Davydev, A., Electrochemical Machining of Metals, MIR Pb., Moscow, 1989.
27. BOSCH report.
28. Lazarenko, B.R. and Lazarenko, N.I., Electrical Erosion of Metals, No. 1, Gosenergoizdat, 1994.
29. Ruderft, D.W., Electric Spark Erosion as Applied to Metal Machining Engineers’ Digest, Vol. 14, No. 10, Oct. 1953, pp. 373-377.
30. Lazarenko, B.R. and Lozorenko, N.I. The Physics of the Electric Spark Method of Machining Metals; Pb of ministry of Elect. Industry, USSR, Moscow, 1946. 4. Lazarenko, B.R. (Ed), Electrospark Machining of Metals; Vol. 2, Consultant Bureau Pb., New York, 1964.
31. Brume, M., Advances in Electroerosion, Discovery, 20(3), 1959, 126.
32. Kurafuji, H., Development of Researches and Applications of Spark Erosion and Electrolytic Machining in Japan; Annals of 14th CIRP Gen. Assembly, Sept. 1964.
33. Williams, E.M. Woodford, J.B. and Smith, R.E., Recent Development in Theory and Design of Electrical Spark Machine Tools; Tr. AIEE, Vol. 73, IGA Pt. II, May 1954, pp. 83-88.
34. Anderson, J.C., Dielectric, Chapman & Hall, UK, 1964.
35. Lewia, T.J., Jn. of Electrochemical Society, 107, 185, 1960.
36. Horsten, H.J.A. et at., Annals CIRP 20,43, 1971.
37. Thija, A., Van Dijck, F. and Snoeys, R., Investigation of polarity effects in EDM, Paper No. 73, p.7, CIRP, Feb. 1973.
38. Motoki, K. and Hashiguchi, K., Energy Distribution at the Gap in Electric Discharge Machining, Annals of CIRP, Vol. XIV, 1967, pp. 485-489.
39. Lee, T.H., T.F. Theory of Electron Emission in High-current Arcs, Jn. Appl. Phys., Vol. 30, No.2, Feb. 1959, pp. 166-171.
40. Kaldes, F., Flushing the Gap in EDM, Pt. I EDM Digest Jan/Feb 1983.
41. Application of High Power Laser, SPIE Pb., Vol. 527, 1984.
42. Manufacturing Application of Laser, SPIE Pb., Vol. 621, 1986.
43. High Power Lasers & Their Industrial Applications, SPIE Pb., Vol. 650, 1986.
44. Laser Technologies in Industries, SPIE Pb., Vol. 952 (Pt. II), 1988.
45. High Power Lasers & Laser Machining, SPIE Pb., Vol. 1132, 1989.
46. Lasers in Industries, Charschan, S.S. Van Nostrand, 1972.
47. Laser Machining, by G. Chryssolous; Springer Pb., 1991.
48. Laser Material Processing, by W.M. Steen; Springer Pb., 1991.
49. Laser in Manufacturing, Ed. by A. Quenzer, 1986, Proc. 3rd. Int. Conf., Paris; ISBN 3-540-16326-3.
50. Laser in Manufacturing, Ed. by W.M. Steen, 1987, Proc. 4th Int. Conf., Birmingham; ISBN 3-540-17854-6.
51. Laser in Manufacturing, Ed. by H.H.gel, 1988, Proc. 5th Int. Conf., Stuttgard; ISBN 3-540-50310-2.
52. Laser in Manufacturing, Ed. by W.M. Steen, 1989, Proc. 6th Int. Conf., Birmingham; ISBN 3-540-51241-1.
53. Laser in Manufacturing, by J.A. Luxon, D.E. Parker and P.D. Plotkwaski; ISBN 3-540-17427-3.
54. The Changing Frontiers of Laser Material Processing, Ed. by C.M. Banas, G.L. Whitney, Proc. ICALEO’86, Arlington, 1986; ISBN 3-540-17563-6.
55. Laser Material Processing, Ed. G. Bruck, Proc. ICALEO’88 USA, 1988; ISBN 3-540-51537-2.
56. Laser in Manufacturing, Ed. A. Gomersall, 1986; ISBN 3-540-16678-5.
57. Fundamentals of Laser Interaction II, Ed. F. Ehlotzky, 1989; ISBN 3-540-51430-9.
58. Electron Beam Welding by Maleka, McGraw-Hill Book Co., Lond. 1971.
59. Handbook of Electron Beam Welding-by R. Bakish and S.S. White, 1964.
60. Proceedings of 3rd Electron Beam Processing Seminar 1974 by R.M. Silva; publisher Universal Technology Corporation, Dayton, Ohio.
61. State of art of electron beam technology for metal removal, welding and heat treatment processes by K.H. Steigerwald in Proceedings of 20th IMTDR Conference 1980.
62. Arata, A., Plasma, Electron and Laser Beam Technology, ASM Pb., 1985.
63. Esibyan, E.M., Plasma-Arc Equipment, MIR Pb., 1973.
64. Anisimovich, L.A., A Physicist ABC on Plasma, MIR Pb., 1985.
65. Arata, A., Plasma, Electron and Laser Beam Technology, ASM Pb., 1985.
66. Dugdale, R.A., Glow Discharge material Processing, MB Mon. ME/5, Mills & Boon Ltd., London, 1971.
67. Benedict G.F. (1987), Non-traditional Manufacturing Processes, Marcel Dekker Inc., London.
68. Bhattacharyya A. (1973), New Technology, The Institution of Engineers (I), Calcutta.
69. Buttner A. and Lindenback D.A. (1969), Electrolytic dressing of diamond wheels for use in steel grinding, Ind. Diamond Rev., pp. 450-454.
70. Dash J. and King W.W. (1972), Electrothinning and electrodeposition of metals in magnetic fields, J. Electrochem Soc., Vol. 119, pp. 51-56.
71. DeBarr A.E. and Oliver D.A. (1968), Electrochemical Machining, MacDonald, London.
72. Gedam A. and Noble C.F. (1971), An assessment of the influence of some wheel variables in peripheral electrochemical grinding, Int. J. Mach. Tool Des. Res., Vol. 11, pp. 1-12.
73. Kuppuswamy G. (1976), Electrochemical grinding: an investigation of the metal removal rate, Proc. 7th AIMTDR Conf. held at Coimbatore (India) pp. 337-340.
74. Kuppuswamy G. and Venkatesh V.C. (1979), Wheel parameters and effect of magnetic field on electrolytic grinding, J. Inst. Engrs. (I), Part ME(I), Vol. 60, pp. 17-20.
75. Levinger R. and Malkin S. (1979), Electrochemical grinding of WC-Co cemented carbides, ASME Paper No. 78-WA/PROD-26, WAM, San Francisco, pp. 1-10.
76. McGeough J.A. (1988), Advanced Methods of Machining, Chapman and Hall, London.
77. Pandey P.C. and Shan H.S. (1980), Modern Machining Processes, TataMcGrawHill, New Delhi.
78. Jain V.K., Tandon S. and Kumar Prashant (1990), Experimental investigation into electrochemical spark machining of composites, Trans. ASME, J. Engg. Ind., Vol. 12, pp. 194-197.
79. Verma M.M. (1981), A study of process parameters in electrochemical grinding, M. Tech. Thesis, IIT Kanpur (India).
80. Benedict G.F. (1987), Non-traditional Manufacturing Processes, Marcel Dekker Inc., New York.
81. Naidu M.G.J. (1991), Electrochemical deburring for quality production, Proc. Winter School on AM T (Eds.: Jain V.K. and Choudhury S.K.), IIT Kanpur (India).
82. Pandey P.C. and Shan H.S. (1980), Modern Machining Processes, TataMcGraw Hill, New Delhi.
83. Pramanik D.K., Dasgupta R.K. and Basu S.K. (1982), A study of electrochemical deburring using a moving electrode, Wear, Vol. 82, pp. 309-316.
84. Rumyantsev E. and Davydev A. (1989), Electrochemical Machining of Metals, Mir Publishers, Moscow.
85. Takazawa K. (1988), The challenge of burr technology and its worldwide trends, Bull. JSPE, Vol. 22, No. 3, pp. 165-170.
86. Tool Design Manual for Electrochemical Deburring, Chemtoal Inc., Minnesota, U.S.A.
|
Original citation:
Winkler, Anderson M., Webster, Matthew A., Brooks, Jonathan C., Tracey, Irene, Smith, Stephen M. and Nichols, Thomas E.. (2016) Non-parametric combination and related permutation tests for neuroimaging. Human Brain Mapping. doi: 10.1002/hbm.23115
Permanent WRAP url:
http://wrap.warwick.ac.uk/76502
Copyright and reuse:
The Warwick Research Archive Portal (WRAP) makes this work of researchers of the University of Warwick available open access under the following conditions.
This article is made available under the Creative Commons Attribution 4.0 International license (CC BY 4.0) and may be reused according to the conditions of the license. For more details see: http://creativecommons.org/licenses/by/4.0/
A note on versions:
The version presented in WRAP is the published version, or, version of record, and may be cited as it appears here.
For more information, please contact the WRAP Team at: firstname.lastname@example.org
Non-Parametric Combination and Related Permutation Tests for Neuroimaging
Anderson M. Winkler,1* Matthew A. Webster,1 Jonathan C. Brooks,2 Irene Tracey,1 Stephen M. Smith,1 and Thomas E. Nichols1,3
1Oxford Centre for Functional MRI of the Brain, University of Oxford, Oxford, United Kingdom
2Clinical Research and Imaging Centre, University of Bristol, Bristol, United Kingdom
3Department of Statistics & Warwick Manufacturing Group, University of Warwick, Coventry, United Kingdom
Abstract: In this work, we show how permutation methods can be applied to combination analyses such as those that include multiple imaging modalities, multiple data acquisitions of the same modality, or simply multiple hypotheses on the same data. Using the well-known definition of union-intersection tests and closed testing procedures, we use synchronized permutations to correct for such multiplicity of tests, allowing flexibility to integrate imaging data with different spatial resolutions, surface and/or volume-based representations of the brain, including non-imaging data. For the problem of joint inference, we propose and evaluate a modification of the recently introduced non-parametric combination (NPC) methodology, such that instead of a two-phase algorithm and large data storage requirements, the inference can be performed in a single phase, with reasonable computational demands. The method compares favorably to classical multivariate tests (such as MANCOVA), even when the latter is assessed using permutations. We also evaluate, in the context of permutation tests, various combining methods that have been proposed in the past decades, and identify those that provide the best control over error rate and power across a range of situations. We show that one of these, the method of Tippett, provides a link between correction for the multiplicity of tests and their combination. Finally, we discuss how the correction can solve certain problems of multiple comparisons in one-way ANOVA designs, and how the combination is distinguished from conjunctions, even though both can be assessed using permutation tests. We also provide a common algorithm that accommodates combination and correction. *Human Brain Mapp 00:000–000, 2016. © 2016 The Authors Human Brain Mapping Published by Wiley Periodicals, Inc.
Key words: permutation tests; non-parametric combination; multiple testing; conjunctions; general linear model
Additional Supporting Information may be found in the online version of this article.
*Correspondence to: Anderson M. Winkler, Oxford Centre for Functional MRI of the Brain, University of Oxford, Oxford, United Kingdom. E-mail: email@example.com
Contract grant sponsor: Brazilian National Research Council (CNPq); Contract grant number: 211534/2013-7; Contract grant sponsor: MRC; Contract grant number: G0900908; Contract grant sponsor: NIH; Contract grant numbers: R01 EB015611-01, NS41287; Contract grant sponsor: Wellcome Trust; Contract grant numbers: 100309/Z/12/Z, 098369/Z/12/Z; Contract grant sponsor: Marie Curie Initial Training Network; Contract grant number: MC-ITN-238793; Contract grant sponsors: GlaxoSmithKline plc, The Dr. Hadwen Trust for Humane Research, and the Barrow Neurological Institute.
Received for publication 5 August 2015; Revised 15 December 2015; Accepted 3 January 2016.
DOI: 10.1002/hbm.23115
Published online 00 Month 2016 in Wiley Online Library (wileyonlinelibrary.com).
© 2016 The Authors Human Brain Mapping Published by Wiley Periodicals, Inc. This is an open access article under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in any medium, provided the original work is properly cited.
INTRODUCTION
In this paper we show that permutation tests can provide a common solution to seemingly disparate problems that arise when dealing with multiple imaging measurements. These problems refer to the multiplicity of tests, and to the combination of information across multiple modalities for joint inference. We begin by describing each of these problems separately, then show how they are related, and offer a complete and generic solution that can accommodate a myriad of designs that can mix imaging and non-imaging data. We also present an algorithm that has with amenable computational demands for treating these problems.
Multiple Tests — but Not the Usual Multiplicity
Because in neuroimaging one statistical test is typically performed at each of many thousands of imaging units (e.g., voxels or vertices), the problems related to such multiplicity of tests were recognized almost as early as these techniques were developed [for pioneering examples, see Fox et al., 1988; Friston et al., 1991]. There is now a comprehensive body of literature on multiple testing correction methods that include those based on the random field theory, on permutation tests, as well as on other strategies that control the familywise error rate ($FWER$) or the false discovery rate ($FDR$) [for reviews, see Nichols and Hayasaka, 2003; Nichols, 2012]. However, the multiplicity of tests in neuroimaging can appear in other ways that are less explicit, and most importantly, that have not been fully appreciated or made available in software packages. In the context of the general linear model [GLM, Scheffé, 1959], these *other* multiple tests include:
A. *Multiple hypotheses in the same model*: Testing more than one hypothesis regarding a set of explanatory variables. An example is testing the effects of multiple variables, such as presence of a disease along with its duration, some clinical score, age and/or sex of the subjects, on a given imaging measurement, such as maps from functional magnetic resonance imaging (fMRI) experiments.
B. *Multiple pairwise group comparisons*: Often an initial global (omnibus) test is performed, such as an $F$-test in the context of analysis of variance (ANOVA), and if this test is significant, subsequent (post hoc) tests are performed to verify which pairwise difference(s) drove the global result, thus introducing a multiple comparisons problem.
C. *Multiple models*: Testing more than one set of explanatory variables on one given dataset, that is, assembling and testing more than one design matrix, each with its own set of regressors, which may differ across designs, and each with its own set of contrasts. An example is interrogating the effect of distinct seeds, one at a time, in a resting-state fMRI experiment; another is in an imaging genetics experiment, testing multiple candidate polymorphisms.
D. *Multiple modalities*: Testing separately, in the same study, more than one imaging modality as the response variable, such as fMRI and positron-emission tomography (PET), or different metrics from the same modality, such as various measurements from diffusion tensor imaging (DTI), as fractional anisotropy (FA), mean diffusivity (MD), or radial diffusivity (RD), or the effect of various networks identified using independent component analysis (ICA).
E. *Imaging and non-imaging*: Testing separately, in the same study, imaging and non-imaging measurements as response variables. An example is studying group effects on fMRI and on behavioral or cognitive scores, such as IQ, or disease severity scores, among countless other non-imaging measurements.
F. **Multiple processing pipelines**: Testing the same imaging modality multiple times, each time after a different processing pipeline, such as using filters with different widths for smoothing, or using different strategies for registration to a common space.
G. **Multiple multivariate analyses**: Testing more than one multivariate hypothesis with the GLM in repeated measurements designs, such as in profile analyses, in which the same data allows various different hypotheses about the relationships between explanatory and response variables.
In all these cases, the multiple tests cannot be assumed to be independent, so that the simple FWER correction using the conventional Bonferroni method risks a considerable loss in power. Modelling the degree of dependence between these tests can be a daunting task, and is suboptimal by invariably requiring the introduction of assumptions about the data, which, if at all valid, may not be sufficient. By contrast, robust, generic, multistep procedures, which do not depend as much on assumptions, or on independence among tests, such as the Benjamini-Hochberg procedure that controls the false discovery rate (FDR) [Benjamini and Hochberg, 1995; Genovese et al., 2002], do not guarantee that the spatial relationship between voxels or vertices within test is preserved when applied across these multiple tests, therefore being not as useful as in other settings. More specifically, the difficulty relates to correcting across various distinct imaging tests, while maintaining control across space within any given test, as opposed to controlling only within a single imaging test as commonly done. For the same reason, various multiple testing approaches that are applicable to many particular cases can hardly be used for the problems we discuss here; extensive details on these tests can be found in Hochberg and Tamhane [1987] and in Hsu [1996].
We call the multiple tests that arise in situations as those listed above “multiple testing problem ii” (MTP-II), to allow a distinction from the usual multiple testing problem due to the many voxels/vertices/faces that constitute an image, which we denote “multiple testing problem i” (MTP-I). Methods that can be used in neuroimaging for the MTP-I not always can be considered for the MTP-II, a problem that has remained largely without treatment; for two rare counter examples in which the MTP-II *was* considered, we point to the studies by Licata et al. [2013] and Abou Elsoud et al. [2014].
**Combination of Imaging Modalities**
Acquisition of multiple imaging modalities on the same subjects can allow the examination of more complex hypotheses about physiological processes, and has potential to increase power to detect group differences. Such combination of modalities can refer strictly to data acquired from different instruments (e.g., MRI, PET, EEG), or more broadly, to data acquired from the same instrument using different acquisition parameters (e.g., different MRI sequences, different PET ligands); for overviews, see Uludag and Roebroek [2014], Zhu et al. [2014] and Calhoun and Sui [2016]; for example applications, see Hayasaka et al. [2006] and Thomas et al. [2015]. Irrespective of which the modalities are, the options in the context of the GLM rest in testing for a single multivariate hypothesis, or in testing for a combination of multiple univariate hypotheses. Single multivariate tests encompass various classical tests, known in particular cases as multivariate analysis of variance (MANOVA), multivariate analysis of covariance (MANCOVA), or canonical correlation/variates analysis (CCA/CVA); these tests will be referred here as *classical multivariate tests*, or CMV.
The combination of multiple univariate hypotheses requires that each is analyzed separately, and that these results are grouped together to test, at each voxel (or vertex, or face) a joint null hypothesis (JNH); in this context, the separate tests are termed *partial tests*. Different criteria to decide upon rejection of the JNH give rise to three broad categories of combined tests: (i) reject if any partial test is significant; (ii) reject if all partial tests are significant; and (iii) reject if some aggregate measure from the partial tests is significant. The first of these can be traced back to Tippett [1931], and in current terminology, could be defined as rejecting the joint null hypothesis if any partial test is rejected at the FWER level using the Sidák correction [Sidák, 1967]; it also corresponds to a union-intersection test [UT, Roy, 1953]. The second is the intersection-union test [IUT, Berger, 1982], that in neuroimaging came to be known as conjunction test [Nichols et al., 2005]. The third offers a trade-off between the two other approaches, and gives rise to a large number of possible tests, each with a different rejection region, and therefore with different sensitivity and specificity profiles; some of these tests are popular in meta-analyses, with the method of Fisher [Fisher, 1932] being one of the most used, and new approaches are continually being developed. A summary is shown in Table I, and a brief overview of these and yet other tests, along with bibliographic information, is in Appendix A.
Both cases — a single multivariate test or the combination of multiple univariate tests — can be assessed parametrically when the asymptotic distribution of the test statistic is known, which may sometimes be the case if various assumptions about the data are met. These generally refer to the independence or common dependence between observations and between tests, to the distribution of the error terms, and for brain imaging, to yet other assumptions regarding the relationship, across space, between the tests. However, if the observations are exchangeable, that is, if their joint distribution remains unchanged after shuffling, then all such assumptions can be eschewed at once, and instead, permutation tests can be performed. The p-values can then be computed for either the classical multivariate tests, or for the combination of univariate tests; when used in the last case, the
### TABLE I. A list of various functions for joint inference.
| Method | Test statistic ($T$) | p-value ($P$) |
|-------------------------|-------------------------------------------------------------------------------------|-------------------------------------------------------------------------------|
| Tippett | $\min(p_k)$ | $1 - (1-T)^K$ |
| Fisher | $-2 \sum_{k=1}^{K} \ln(p_k)$ | $1 - \chi^2_{\text{df}}(T; \ v=2K)$ |
| Stouffer | $\frac{1}{K} \sum_{k=1}^{K} \Phi^{-1}(1-p_k)$ | $1-\Phi(T; \ \mu=0, \ \sigma^2=1)$ |
| Wilkinson | $\sum_{k=1}^{K} I(p_k \leq \alpha)$ | $\sum_{k=1}^{K} \binom{K}{k} \alpha^k \left(1-\alpha\right)^{K-k}$ |
| Good | $\prod_{k=1}^{K} P_k^{\alpha_k}$ | $\sum_{k=1}^{K} \alpha_k^2 e^{-1} T^{1/\alpha_k} \left(\prod_{i=1}^{k-1} (w_k-w_i)^{-1}\right) \left(\prod_{i=k+1}^{K} (w_k-w_i)^{-1}\right)$ |
| Lancaster | $\sum_{k=1}^{K} w_k F_k^{-1}(1-p_k)$ | $1-G(T)$ |
| Winer | $\sum_{k=1}^{K} r_{\text{cdf}}^{-1}(1-p_k; \nu_k)/\sqrt{\sum_{k=1}^{K} \frac{\nu_k}{\nu_k-2}}$ | $1-\Phi(T; \ \mu=0, \ \sigma^2=1)$ |
| Edgington | $\sum_{k=1}^{K} p_k$ | $\sum_{j=0}^{\lfloor T \rfloor} (-1)^j \binom{T}{j} \frac{(T-j)^K}{K!}$ |
| Mudholkar–George | $\frac{1}{4} \left(\frac{3/5K+4}{K/5K+2}\right) \sum_{k=1}^{K} \ln \left(\frac{1-p_k}{p_k}\right)$ | $1-t_{\text{cdf}}(T; \ v=5K+4)$ |
| Darlington–Hayes | $\frac{1}{r} \sum_{k=1}^{r} \Phi^{-1}(1-p_{(k)})$ | Computed through Monte Carlo methods. Tables are available. |
| Zaykin et al. (TPM) | $\prod_{k=1}^{K} P_k^{I(p_k \leq \alpha)}$ | $\sum_{k=1}^{K} \binom{K}{k} (1-\alpha)^{K-k} \left(I(T > \alpha^k) \alpha^k + I(T \leq \alpha^k) T \sum_{r=0}^{k-1} \frac{(k\ln(\alpha)-\ln T)^r}{r!}\right)$ |
| Dudbridge–Koelemen (KTP)| $\prod_{k=1}^{K} p_k$ | $(r+1)(r+1) \int_0^1 (1-t)^{K-r-1} A(T, t, K) dt$ |
| Dudbridge–Koelemen (DTP)| $\max \left(\prod_{k=1}^{r} p_{(k)}, \prod_{k=r+1}^{K} P_k^{I(p_k \leq \alpha)}\right)$ | $\sum_{k=1}^{r} \binom{K}{k} (1-\alpha)^{K-k} A(T, \alpha, k) + I(r < K) \binom{K}{r+1} (r+1) \int_0^1 (1-t)^{K-r-1} A(T, t, K) dt$ |
| Taylor–Tibshirani (TS) | $\frac{1}{K} \sum_{k=1}^{K} (1-p_{(k)} \frac{K+1}{K})$ | $1-\Phi(T; \ \mu=0, \ \sigma^2 \approx \frac{1}{K})$ |
| Jiang et al. (TTS) | $\frac{1}{K} \sum_{k=1}^{K} I(p_k \leq \alpha) (1-p_{(k)} \frac{K+1}{K})$ | Computed through Monte Carlo methods. |
Various functions are available for joint inference on multiple tests. For each method, both its statistic ($T$) and associated p-value ($P$) are shown. These p-values are only valid if, for each method, certain assumptions are met, particularly with respect to the independence between tests, or sometimes also, with respect to underlying distributions. Under exchangeability, the p-values can be computed using permutation tests, and the formulae in the last column are no longer necessary. The tests are shown in chronological order; see Appendix A for details and bibliographic information. $T$ is the statistic for each method and $P$ its asymptotic p-value. All methods are shown as function of the p-values for the partial tests. For certain methods, however, the test statistic for the partial tests, if available, can be used directly. $K$ is the number of tests being combined; $p_k$, $k=\{1, 2, \ldots, K\}$ are the partial p-values; $w_k$ are positive weights assigned to the respective $p_k$; $p_{(k)}$ are the $p_k$ with rank $r$ in ascending order (most significant first); $\alpha$ is the significance level for the partial tests; $I(\cdot)$ is an indicator function that evaluates as 1 if the condition is satisfied, 0 otherwise; $\lfloor \cdot \rfloor$ represents the floor function; $\chi^2_{\text{df}}$ is the cumulative distribution function (cdf) for a chi-squared distribution, with $v$ degrees of freedom; $t_{\text{cdf}}$ is the cdf of the Student’s $t$ distribution with degrees of freedom $v$, and $t_{\text{inv}}$ its inverse; $\Phi$ is the cdf of the normal distribution with mean $\mu$ and variance $\sigma^2$, and $\Phi^{-1}$ its inverse; and $F$ and $G$ are the cdf of arbitrary, yet well chosen distributions. For the two Dudbridge-Koeleman methods, $A(T, a, b)=I(T > a^b) a^b + I(T \leq a^b) T \sum_{r=0}^{b-1} (\delta \ln a - \ln T)^r / r!$.
### Overview of the Article
We show that a single, elegant permutation solution is available for all the situations described above, addressing the comparisons of response variables when these can be put in comparable scale, the correction of p-values, via adjustment to allow exact control over $FWER$ in the various multiple testing scenarios described above, and the combination of multiple imaging modalities to allow for joint inference. The conjunction of multiple tests is a special case in which the null hypothesis differs from that of a...
combination, even though it can be approached in a similar fashion; because the distinction is quite an important one, it is also discussed.
In the next section, we outline the notation used throughout the paper. We then use the definition of union-intersection tests, closed testing procedures, and synchronized permutations to correct for multiple hypotheses, allowing flexibility to mix in the same framework imaging data with different spatial resolutions, surface and/or volume-based representations of the brain, and even non-imaging data. For the problem of joint inference, we propose and evaluate a modification of the NPC, such that instead of two phases and large data storage requirements, the permutation inference can be performed in a single phase, without prohibitive memory needs. We also evaluate, in the context of permutation tests, various combining methods that have been proposed in the past decades, and identify those that provide the best control over error rate and power across a range of situations. We also exemplify the potential gains in power with the reanalysis of the data from a pain study. In the Appendices, we provide a brief historical review of various combining functions and discuss criteria of consistency and admissibility. In the Supporting Information we provide an algorithm that allows combination and correction in a unified framework.
**THEORY**
**Notation and General Aspects**
For a given voxel (or vertex, or face), consider a multivariate GLM:
\[
Y = X\beta + \epsilon
\]
where \( Y \) is the \( N \times K \) matrix of observed data, with \( N \) observations of \( K \) distinct (possibly non-independent) variables, \( X \) is the full-rank \( N \times R \) design matrix that includes explanatory variables (i.e., effects of interest and possibly nuisance effects), \( \beta \) is the \( R \times K \) matrix of \( R \) regression coefficients for each of the \( K \) variables, and \( \epsilon \) is the \( N \times K \) array of random errors. Estimates for \( \hat{\beta} \) can be computed by ordinary least squares, i.e., \( \hat{\beta} = X^{-1}Y \), where the superscript \( (^\top) \) denotes a pseudo-inverse. One generally wants to test the null hypothesis that a given combination (contrast) of the elements in \( \hat{\beta} \) equals to zero, that is, \( H^0 : C\hat{\beta}D = 0 \), where \( C \) is a \( R \times S \) full-rank matrix of \( S \) contrasts of coefficients on the regressors encoded in \( X \), \( 1 \leq S \leq R \) and \( D \) is a \( K \times Q \) full-rank matrix of \( Q \) contrasts of coefficients on the dependent, response variables in \( Y \), \( 1 \leq Q \leq K \). Often more than one such standard multivariate hypothesis is tested, each regarding different aspects of the same data, and each using a different pair of contrasts \( C \) and \( D \). Not uncommonly, even different sets of explanatory variables are considered, sometimes arranged in entirely different designs. We denote the set of such design matrices as \( \mathcal{X} = \{X\} \), the set of pairs of contrasts for each hypothesis related to that design as \( \mathcal{C}_X = \{(C, D)\} \), and the set of sets of such contrasts as \( \{\mathcal{C}_X\} \).
Depending on the values of \( K \), \( Q \), and \( S \), \( H^0 \) can be tested using various common statistics. If \( K = 1 \), or if \( K > 1 \) and \( Q = 1 \), the problem reduces to the univariate case, in which a \( t \) statistic can be used if \( S = 1 \), or an \( F \)-statistic if \( S \geq 1 \). If \( K > 1 \) and \( Q > 1 \), the problem is a multivariate proper and can be approached via cMv when respective multivariate Gaussian assumptions are satisfied; in these cases, if \( S = 1 \), the Hotelling’s \( T^2 \) statistic can be used [Hotelling, 1931], whereas if \( S > 1 \), various other statistics are available, such as the Wilks’ \( \lambda \) [Wilks, 1932], the Lawley–Hotelling’s trace [Hotelling, 1951; Lawley, 1938], the Roy’s largest root(s) [Kuhfeld, 1986; Roy, 1953], and the Pillai’s trace [Pillai, 1955]; the merits of each in the parametric case are discussed in various textbooks [Anderson, 2003; e.g., Christensen, 2001; Johnson and Wichern, 2007; Timm, 2002], and such tests have been applied to neuroimaging applications [Chen et al., 2014].
The model in Eq. (1) can be rewritten as \( \tilde{Y} = X\tilde{\beta} + \tilde{\epsilon} \), where \( \tilde{Y} = YD \), \( \tilde{\beta} = \beta D \) and \( \tilde{\epsilon} = \epsilon D \). If \( Q = 1 \), this is a univariate model, otherwise it remains multivariate, with \( \tilde{Y} \) having \( \tilde{K} = Q \) columns, and the null hypothesis simplified as \( H^0 : C\tilde{\beta}\tilde{D} = 0 \). This null is equivalent to the original, and can be split into multiple partial hypotheses \( H^0_k : C\tilde{\beta}_k\tilde{D} = 0 \), where \( \tilde{\beta}_k \) is the \( k \)-th column of \( \tilde{\beta} \), \( k = 1, \ldots, \tilde{K} \). This transformation is useful as it defines a set of separate, even if not independent, partial hypotheses, that can be tested and interpreted separately. We drop heretofore the “\( \sim \)” symbol, with the modified model always implied.
Non-parametric inference for these tests can be obtained via permutations, by means of shuffling the data, the model, the residuals, or variants of these, in a direct extension from the univariate case [Winkler et al., 2014, Table 2]. To allow such rearrangements, some assumptions need to be made: either of exchangeable errors (\( \text{EE} \)) or of independent and symmetric errors (\( \text{ISE} \)). The first allows permutations, the second sign flippings; if both are available for a given model, permutations and sign flippings can be performed together. We use generically the terms rearrangement or shuffling when the distinction between permutations or sign flippings is not pertinent. These are represented by permutation and/or sign flipping matrices \( P_j \), \( j = 1, \ldots, J \), where \( J \) is the number of such rearrangements.
---
**TABLE II. Joint hypotheses tested with union–intersection and intersection–union of \( K \) partial tests**
| | UIT | IUT |
|------------------|--------------|--------------|
| Null hypothesis | \( \bigcap_{k=1}^{K} H^0_k \) | \( \bigcup_{k=1}^{K} H^0_k \) |
| Alternative hypothesis | \( \bigcup_{k=1}^{K} H^1_k \) | \( \bigcap_{k=1}^{K} H^1_k \) |
In the UIt, the null is also called global null hypothesis, whereas in the IUt, the null is also called conjunction null hypothesis.
Another aspect that concerns permutation tests refers to the use of statistics that are pivotal, i.e., that have sampling distributions that do not depend on unknown parameters. Most statistics used with parametric tests (and all the uni- and multivariate examples from the previous paragraph) are pivotal if certain assumptions are met, especially homoscedasticity. Their benefits in non-parametric tests are well known [Hall and Wilson, 1991], and for neuroimaging, pivotal statistics are useful to allow exact correction for the MTP-I.
**Union–Intersection and Intersection–Union Tests**
Consider the set of p-values \( \{p_k\} \) for testing the respective set of partial null hypotheses \( \{H_0^k\} \). A union–intersection test [Jiří, Roy, 1953] considers the \( \text{NIH} \) corresponding to a global null hypothesis that all \( H_0^k \) are true; if any such partial null is rejected, the global null hypothesis is also rejected. An intersection–union test [Jiří, Berger, 1982] considers the \( \text{NIH} \) corresponding to a conjunction null hypothesis (also termed disjunction of null hypotheses) that any \( H_0^k \) is true; if all partial nulls are rejected, the conjunction null hypothesis is also rejected. In the \( \text{UII} \), the null is the intersection of the null hypotheses for all partial tests; the alternative is the union of the alternatives. In the \( \text{UUT} \), the null is the union of the null hypotheses for all partial tests; the alternative is the intersection of the alternatives. A \( \text{UII} \) is significant if the smallest \( p_k \) is significant, whereas an \( \text{IUT} \) is significant if the largest \( p_k \) is significant. Figure 1 illustrates the rejection regions for \( \text{UII} \) and \( \text{IUT} \) cases based on two independent t-tests, in which the statistic larger than a certain ‘critical level’ is considered significant. Table II shows the null and alternative hypotheses for each case.
Enlarging the number of tests affects \( \text{UII} \)s and \( \text{IUT} \)s differently. For the \( \text{UII} \) with a given statistic threshold, more tests increase the chances of false positives, and correction for this multiplicity needs to be applied. In fact, it can be shown that a \( \text{UII} \) at a significance level \( \alpha \) is equivalent to controlling the \( \text{FWER} \) at \( \alpha \) for the same tests. In other words, a union-intersection procedure is an \( \text{FWER} \) procedure. For an \( \text{IUT} \), in contrast, the procedure does not change with more tests. The conjunction null hypothesis is composite, consisting of different parameter settings. For the extreme case that exactly one partial null is true and \( K - 1 \) effects are real, an \( \text{IUT} \) is exact for any \( K \); if two or more partial nulls are true, an \( \text{IUT} \) becomes increasingly conservative with larger \( K \).
The null hypothesis of the \( \text{UII} \) can be rejected if the smallest \( p_k \) is significant or, equivalently, its corresponding statistic, that is, the extremum statistic. For tests in which larger statistics provide evidence against the null hypothesis, the relevant extremum is the maximum. Conversely, for tests in which smaller statistics provide evidence against the null, the extremum is the minimum. Clearly, if the most extreme statistic is significant, at least one partial hypothesis is rejected, therefore the global null hypothesis can be rejected without the need to continue testing the other \( K - 1 \) partial hypotheses. The null hypothesis of the \( \text{IUT} \) can be rejected if the largest \( p_k \) is significant or, equivalently, its corresponding least extreme statistic. Clearly, if the least extreme statistic is significant, all partial hypotheses can be rejected, therefore the conjunction hypothesis can be rejected without the need to continue testing all other \( K - 1 \) partial hypotheses.
In brain imaging, the term conjunction refers to a test performed when one wants to localize regions where there is signal in all partial tests, that is, a logical AND of all alternative hypotheses [Nichols et al., 2005], and is synonymous with the \( \text{IUT} \). In noting the lack of power of such a proper conjunction test, Friston et al. [2005] suggested a partial conjunction, in which fewer than all alternatives need to intersect. Using the same notation of Table I, both approaches have the same statistic, \( T = \max(p_k) \), but the p-value of the latter can be computed as \( T^{K - v + 1} \), so that the
test is a conjunction of at least $v$ alternative hypotheses; if $v = K$, it is an $\text{uT}$, and if $v = 1$ the null is equivalent to that of a $\text{uT}$ (such a test, however, is inconsistent for a $\text{uT}$; see Appendix B). Benjamini and Heller [2008] further generalized the procedure by allowing the combination of the largest p-values using any of various possible combining functions, such as those we present in Table I and in Appendix A.
**Closed Testing**
In a closed testing procedure ($\text{ctp}$), each $\mathcal{H}_k^0$ is rejected if, and only if, it is significant in its own right at a certain level $\alpha$, and if all possible sub-$\text{jnh}$s that include the same $\mathcal{H}_k^0$ and comprise some or all of the partial hypotheses (that is, subsets of the global $\text{jnh}$ formed by some of the partial tests) are also rejected at $\alpha$ using a suitable test. Various such tests can be considered, including $\text{cmvs}$ and $\text{npc}$ (next section).
A $\text{ctp}$ guarantees strong control over $\text{fwer}$ [Marcus et al., 1976]. To produce adjusted p-values, the original method requires that all $2^K - 1$ sub-$\text{jnh}$s are tested\(^1\), a requirement that is computationally onerous, even for a moderate number of tests, a problem aggravated by the large number of tests that are considered in an imaging experiment. There exists, however, a particular test for the sub-$\text{jnh}$s that obviates the need for such a gargantuan computational venture: the union–intersection test. In a $\text{uT}$ using the extremum statistic, the most extreme of the global $\text{jnh}$ that comprises all the $K$ partial tests is also the most extreme of any other sub-$\text{jnh}$ that includes that particular partial hypothesis, such that the other joint subtests can be bypassed altogether. As a $\text{uT}$ is also an $\text{fwer}$-controlling procedure, this raises various possibilities for correction of both $\text{mtp-I}$ and $\text{mtp-II}$. While such a shortcut can be considered for both parametric [Holm, 1979] and non-parametric cases [Westfall and Young, 1993], for the non-parametric methods using permutation, one additional feature is needed: that the joint sampling distribution of the statistic used to test each of the sub-$\text{jnh}$s is the same regardless whether the null is true for all the $K$ partial tests, or just some of them. This property is called subset pivotality [Westfall and Troendle, 2008; Westfall and Young, 1993], and it constitutes the multivariate counterpart to the univariate pivotality.
**Non-Parametric Combination**
The $\text{npc}$ consists of testing each of the $\mathcal{H}_k^0$ using shufflings that are performed synchronously for all $K$ partial tests. The resulting statistics for each permutation are recorded, allowing an estimate of the complete empirical null distribution to be constructed for each partial test. In a second stage, the empirical p-values for each statistic are combined, for each permutation, into a joint statistic. As such a combined joint statistic is produced from the previous permutations, an estimate of its empirical distribution function is immediately known, and so the p-value of the unpermuted statistic, hence of the joint test, can be assessed. The method was proposed by Pesarin [1990; 1992], and independently, though less generically, by Blair et al. [1994]; a thorough description is available in Pesarin [2001] and Pesarin and Salmaso [2010a]. An early application to brain imaging can be found in Hayasaka et al. [2006], its use to combine different statistics within the same modality in Hayasaka and Nichols [2004], and a summary description and practical examples are presented in Brombin et al. [2013]. The $\text{jnh}$ of the combined test is that all partial null hypotheses are true, and the alternative that any is false, which is the same null of a $\text{uT}$, although the rejection region may differ widely from the example in Figure 1a, depending on the combining function.
The only two requirements for the validity of the $\text{npc}$ are that the partial test statistics have the same direction suggesting the rejection of the null hypothesis, and that they are consistent (see Appendix B). For the combining function, it is desirable that (i) it is non-decreasing with respect to all its arguments (which are the p-values $p_k$, or $1 - p_k$, depending on the combining function), (ii) that it approaches its maximum (or minimum, depending on the function) when at least one of the partial tests approaches maximum significance (that is, when at least one p-value approaches zero), and (iii) that for a test level $\alpha > 0$, the critical significance threshold is smaller than the function maximum value. These requirements are easily satisfied by almost all functions shown in Table I, which therefore can be used as combining functions in the framework of $\text{npc}$ (see Appendix B for a discussion on the few exceptions).
One of the most remarkable features of $\text{npc}$ is that the synchronized permutations implicitly account for the dependence structure among the partial tests. This means that even combining methods originally derived under an assumption of independence, such as Tippett or Fisher, can be used even when independence is untenable. In fact, modifications to these procedures to account for non-independence [e.g., Brown, 1975; Kost and McDermott, 2002 for the Fisher method] are made redundant. As the p-values are assessed via permutations, distributional restrictions are likewise not necessary, rendering the $\text{npc}$ free of most assumptions that thwart parametric methods in general. This is why $\text{npc}$ methods are an alternative to $\text{cmv}$ tests, as each of the response variables in a $\text{MANOVA}$ or $\text{MANCOVA}$ analysis can be seen as an univariate partial test in the context of the combination.
**Transformation of the Statistics**
While $\text{npc}$ offers flexibility in a simple and uncomplicated formulation, its implementation for brain imaging applications poses certain challenges. Because the statistics
\(^1\)From the Pascal triangle: $\sum_{r=1}^{K} \binom{K}{r} = 2^K - 1$.
for all partial tests for all permutations need to be recorded, enormous amounts of data storage space may be necessary, a problem further aggravated when more recent, high resolution imaging methods are considered. Even if storage space were not a problem, however, the discreteness of the p-values for the partial tests becomes problematic when correcting for multiple testing, because with thousands of tests in an image, ties are very likely to occur among the p-values, further causing ties among the combined statistics. If too many tests across an image share the same most extreme statistic, correction for the mtp-l, while still valid, becomes less powerful [Pantazis et al., 2005; Westfall and Young, 1993]. The most obvious workaround — run an ever larger number of permutations to break the ties — may not be possible for small sample sizes, or when possible, requires correspondingly larger data storage.
However, another possible approach can be considered after examining the two requirements for the partial tests, and also the desirable properties (i)–(iii) of the combining functions, all listed earlier. These requirements and properties are quite mild, and if the sample size is reasonably large and the test statistics homogeneous, i.e., they share the same asymptotic permutation distribution, a direct combination based not on the p-values, but on the statistics themselves, such as their sum, can be considered [Pesarin and Salmaso, 2010a]. Sums of statistics are indeed present in combining functions such as of Stouffer, Lancaster, Winer, and Darlington–Hayes, but not others listed in Table I and Appendix A. In order to use these other combining functions, most of them based on p-values for the partial tests, and under the same premises, the statistics need to be transformed to quantities that behave as p-values. In the parametric case, these would be the parametric p-values, computed from the parametric cumulative distribution function (cdf) of the test statistic. If the parametric assumptions are all met for the partial tests, their respective parametric p-values are all valid and exact; if the assumptions are not met, these values are no longer appropriate for inference on the partial tests, but may still be valid for npc, for satisfying all requirements and desirable properties of the combining functions. As they are not guaranteed to be appropriate for inference on the partial tests, to avoid confusion, we call these parametric p-values “u-values”.
Another reason for not treating u-values as valid p-values is that they do not necessarily need to be obtained via an assumed, parametric cumulative distribution function for the statistics of the partial tests. If appropriate, other transformations applied to the statistics for the partial tests can be considered; whichever is more accurate to yield values in the interval [0;1] can be used. The interpretation of a u-value should not be that of a probability, but merely of a monotonic, deterministic transformation of the statistic of a partial test, so that it conforms to the needs of the combining functions.
Transformation of the statistic to produce quantities that can be used in place of the non-parametric p-values effectively simplifies the nvc algorithm, greatly reducing the data storage requirements and computational overhead, and avoiding the losses in power induced by the discreteness of p-values. This simplification is shown in Figure 2, alongside the original nvc algorithm.
Regardless of the above transformation, the distribution of the combined statistic, T, may vary greatly depending on the combining function, and it is always assessed non-parametrically, via permutations. Different distributions for different combining functions can, however, pose practical difficulties when computing spatial statistics such as cluster extent, cluster mass, and threshold-free cluster enhancement [tfce, Smith and Nichols, 2009]. Consider for instance the threshold used to define clusters: prescribed values such as 2.3 or 3.1 [Woo et al., 2014] relate to the normal distribution and are not necessarily sensible choices for combining functions such as Tippett or Fisher. Moreover, for some combining functions, such as Tippett and Edgington, smaller values for the statistic are evidence towards the rejection of the null, as opposed to larger as with most of the others. To address these practical issues, a monotonic transformation can be applied to the combined statistic, so that its behavior becomes more similar to, for instance, the z-statistic [Efron, 2004]. This can be done again by resorting to the asymptotic behavior of the tests: the combined statistic is converted to a parametric p-value (the formulas are summarized in Table I) which, although not valid for inference unless certain assumptions are met, particularly with respect to the independence among the partial tests, are useful to transform, at each permutation, the combined statistic to the z-statistic, which can then be used for inference using cluster extent, mass, or tfce.
**Directed, Non-Directed, and Concordant Hypotheses**
When the partial hypotheses are one-sided, i.e., \( H_0^k : C^T \theta_k > 0 \) or \( H_0^k : C^T \theta_k < 0 \), and all have the same direction (either), the methods presented thus far can be used as described. If not all have the same direction, a subset of the tests can be scaled by −1 to ensure a common direction for all.
If the direction is not relevant, but the concordance of signs towards one of them (either) is, a new combining test can be constructed using one-sided p-values, \( p_k \), and another using \( 1 - p_k \), then taking the best of these two results after correcting for the fact that two tests were performed. For example, for the Fisher method, we would have:
\[
T = \max \left( -2 \sum_{k=1}^{K} \ln(p_k), -2 \sum_{k=1}^{K} \ln(1-p_k) \right)
\]
where \( T \) is the combined test statistic, with its p-value, \( P \), assessed via permutations.
The original NPC algorithm combines non-parametric p-values and, for imaging applications, requires substantial amount of data storage space. Two modifications simplify the procedures: (1) the statistic $t_k$ for each partial test $k$ is transformed into a related quantity $u_k$ that has a behavior similar to the p-values, and (2) the combined statistic is transformed to a variable that follows approximately a normal distribution, so that spatial statistics (such as cluster extent, cluster mass, and TFC) can be computed as usual. The first simplification allows the procedure to run in a single phase, without the need to retrieve data for the empirical distribution of the partial tests. [Color figure can be viewed in the online issue, which is available at wileyonlinelibrary.com.]
If direction or concordance of the signs are not relevant, two-sided (non-directed) tests and p-values can be used before combining, that is, ignoring the sign of the test statistic for the partial tests, or using a statistic that is non-directional (e.g., with F-tests for the partial hypotheses). It worth mentioning, however, that it is not appropriate to simultaneously ignore directions of the partial tests \textit{and} use a combination that favors concordant signs. Such a test would lack meaning and would be inadmissible, with examples shown in Appendix C.
Rejection regions for these three cases, for four different combining functions, are shown in Figure 3, as functions of the partial p-values, for $K=2$ partial tests.
Upper row: Rejection regions for the combination of two partial tests using four different combining functions, and with the p-values assessed parametrically (Table I). The regions are shown as function of the p-values of the partial tests ($p_k$). Middle row: Rejection regions for the same functions with the modification to favor alternative hypotheses with concordant directions. Lower row: Rejection regions for the same functions with the modification to ignore the direction altogether, that is, for two-tailed partial tests. [Color figure can be viewed in the online issue, which is available at wileyonlinelibrary.com.]
**The Method of Tippett**
From the various combining functions listed in Table I, consider the combining function of Tippett [1931], that has statistic $T = \min(p_k)$ and, when all partial tests are independent, a p-value $P = 1 - (1 - T)^K$. This test has interesting properties that render it particularly attractive for imaging:
- It defines a **UIT** test: If the minimum p-value remains significant when all tests are considered, clearly the global null hypothesis can be rejected.
- It controls the **FWER**: Controlling the error rate of a **UIT** is equivalent to an **FWER**-controlling procedure over the partial tests.
- If the partial tests are independent, it defines an exact **FWER** threshold: The function is closely related to Šidák [1967] correction: set $P = \alpha^{\text{FWER}}$, then $T^{\text{FWER}} = 1 - (1 - \alpha^{\text{FWER}})^{1/K}$; one can retain only the partial p-values that satisfy $p_k \leq T^{\text{FWER}}$. Adjusted p-values can be obtained similarly through the Šidák procedure, that is $p_k^{\text{FWER}} = 1 - (1 - p_k)^{1/K}$.
- If the partial tests are not independent, it still defines an **FWER** threshold and adjusted p-values: As a **UIT**, the Tippett function can be used in a closed testing procedure. Further, it is the function that makes **CTP** with large $K$ feasible in practice; adjusted p-values are obtained with the distribution of the minimum p-value (or of the extremum statistic).
- Because it subsumes correction using the extremum statistic that is already in use in imaging to account for **MTP-I**, the correction for the **MTP-II** can be done by
pooling the maximum statistics across both space and the set of partial tests. This allows algorithmic advantages that we exploit in the proposed implementation shown in the Supporting Information.
- It can be used as the combining function with NPC, thus providing a common procedure for correction and for combination of p-values.
- It is fast to compute: Taking the extremum statistic or minimum p-value is trivial compared with other functions that require cumulative sums or products, multiple parameters, integrations, or that depend on Monte Carlo simulations.
While the Tippett function is advantageous for all these reasons, note that, even when other combining functions are used for NPC, the extremal statistic (equivalent to the Tippett combining function) is also used for the MTP-I to control FWER over space.
**A Unified Procedure**
Armed with these concepts, and with the modifications to the original NPC algorithm, we are positioned to tackle the various problems identified in the Introduction:
**Combination of multiple modalities**
With $K$ modalities, all in register and with the same spatial resolution, each is tested separately, using synchronized permutations, and their statistics converted to u-values for each shuffling. These are combined using a suitable combining function, such as one from those shown in Table I. The p-values for the combined statistic are produced using the same set of permutations used to assess each test separately. This is the modified NPC algorithm that we propose, shown in Figure 2.
**Correction for multiple modalities**
With $K$ modalities, which are not necessarily in register, nor with the same resolution, nor of the same type (e.g., some from volumetric, some from surface representations of the brain), or which may not necessarily be all related to imaging (e.g., some imaging and some non-imaging data), each is tested separately using a suitable test statistic. The permutation distribution of the extremum statistic across all tests is produced and used to compute FWER-adjusted p-values that simultaneously address the MTP-I and MTP-II.
**Correction for multiple designs and contrasts**
Each pair of contrasts defined by $(C,D)$ allows the corresponding design matrix to be partitioned into effects of interest and nuisance effects [Winkler et al., 2014, Appendix A], and also the redefinition of the response variables (Section “Notation and general aspects”). Thus, multiple designs and their respective contrasts can be tested separately. Differently than for the correction for multiple modalities, however, with different contrasts, their respective statistics may possess different asymptotic behavior (due to, e.g., the contrasts having different ranks, or the designs having different degrees of freedom), thus precluding the use of the distribution of the extremum statistic. When known, the asymptotic behavior can be used to convert these statistics — univariate or multivariate — to a z-statistic. The distribution of the maximum across the results of the various designs and contrasts can then be computed and used for correction.
**Correction for multiple modalities, designs, and contrasts**
Following the same principles, it is also possible to account for the multiplicity of input modalities, each tested with their respective design and set of contrasts, or each tested versus all designs and contrasts. Each test is applied separately, statistics converted to a z-statistic based on their asymptotic behavior, and the distribution of the extremum used to obtain adjusted p-values for all in a CTP using a UUT. It is not necessary that all are in register, neither that all use the same kind of image representation of the brain (i.e., volume or surface), nor that they are even all (or any) imaging-related, and can therefore include clinical or behavioral, biomarkers, and other types of data.
**Conjunctions**
An iUT can be assessed through permutations simply by computing $\max(p_k)$, which is, in its own right, the p-value of the iUT, such that there is no need for transformation into u-values for the assessment of the combined statistic. In the context of imaging, such conjunctions can be used with statistics at every voxel (or vertex or face), thus allowing also certain spatial statistics such as tFCE.
Since combinations and conjunctions are performed at each individual image point, it is necessary that all images have been registered to the same common space and possess similar spatial resolution [Lazar et al., 2002]. This can be accomplished through intrasubject and intersubject registration, and resampling. By contrast, correction for the multiplicity of tests uses the maximum statistic across such tests, thus not requiring that the tests match on space, or even that they are all related to imaging. However, they explicitly require pivotal statistics [for pivotality in this context, see Winkler et al., 2014], so that the extreme is taken from statistics that share the same sampling distribution. The statistics used with CMV and NPC are all pivotal and therefore can be used. Spatial statistics, however, lack this property and require similar search volumes and resolutions, even for correction. Moreover, by including information from neighboring voxels, such as
using spatial smoothing or spatial statistics like fTCE [Smith and Nichols, 2009], subset pivotality is lost, meaning that strong control of FWER cannot be guaranteed. In practice, though, the power gained by pooling information over space is essential. In the Supporting Information we provide an algorithm that generically implements the combination and correction methods presented.
**EVALUATION METHODS**
**Validity of the Modified NPC**
To assess the validity of the proposed modification to the NPC, we consider one of the simplest scenarios that would have potential to invalidate the method and reduce power: this is the case of having a small number of partial tests, small sample size, and with each partial test possessing substantially different distributions for the error terms. We investigated such a scenario with $K=2$, varying sample sizes $N=\{8, 12, 20, 30, 40, 50, 60, 70, 80, 120, 200\}$, and different error distributions. Using the notation defined in Section “Notation and general aspects”, response variables were generated for each simulation using the model $Y=X\beta+\varepsilon$, with $Y$ sized $N\times K$. Each modality was simulated as having 500 points, these representing, for instance, voxels or vertices of an image representation of the brain. The errors, $\varepsilon=[\varepsilon_1, \varepsilon_2]$, were simulated following either a Gaussian distribution with zero mean and unit variance, or a Weibull distribution (skewed), with scale parameter 1 and shape parameter $1/3$, shifted and scaled so as to have expected zero mean and unit variance. Different combinations of error distributions were used: Gaussian for both partial tests, Weibull for both partial tests, or Gaussian for the first, and Weibull for the second partial test.
The response data $Y_i$ were constructed by adding the simulated effects, $X_i\beta_i$, to the simulated errors, where $\beta=[\beta_1, \beta_2]$, with $\beta_1=[\beta_{11}, 0]^T$, $\beta_1$ being either 0 (no signal) or $t_{\text{crit}}(1-\alpha; N-\text{rank}(X))/\sqrt{N}$ (with signal), where $\alpha=0.05$ is the significance level of the permutation test to be performed. This procedure ensures a calibrated signal strength sufficient to yield an approximate power of 50% for each partial test, with Gaussian errors, irrespective of the sample size; for non-Gaussian errors this procedure does not guarantee power at the same level. The actual effect was coded in the first regressor of $X$, constructed as a vector of random values following a Gaussian distribution with zero mean and unit variance; the second regressor was modelled an intercept. All four possible combinations of presence/absence of effect among the $K=2$ partial tests were simulated, that is, (1) with no signal in any of the two partial tests, (2) with signal in the first partial test only, (3) with signal in the second partial test only, and (4) with signal in both partial tests.
The simulated data was tested using the Tippett and Fisher methods. The case with complete absence of signal was used to assess error rates, and the others to assess power. The p-values were computed with 500 permutations, and the whole process was repeated 500 times, allowing histograms of p-values to be constructed, as well as to estimate the variability around the heights of the histogram bars. Confidence intervals (95%) were computed for the empirical error rates and power using the Wilson method [Wilson, 1927]. The p-values were also compared using Bland–Altman plots [Bland and Altman, 1986], modified so as to include the confidence intervals around the means of the methods.
**Performance of Combined Tests**
We also took the opportunity to compare the combining functions shown in Table I. While other comparisons have been made in the past (for a list of references, see Appendix A), none included all these functions, nor explored their performance under permutation or NPC, and therefore, did not consider the modifications that we introduce to the procedure to render it feasible for imaging applications. In addition, we investigate the performance of two classical multivariate tests, the Hotelling’s $T^2$, and the Wilks’ $\lambda$, both assessed through permutations.
Four different simulation sets were conducted, named a–d; in all, the number of partial tests being combined could vary in the range $K=2,\ldots,16$, and the number of partial tests containing true, synthetic signal could vary in the range $K_s=0,\ldots,K$. In simulation a, $K$ varied, while $K_s$ was held fixed at 0, that is, no synthetic signal was added. In simulation b, $K$ varied, while $K_s$ was held fixed at 1, that is, just one partial test had signal added. In simulation c, $K$ was held fixed at 16, while $K_s$ varied. Finally, in simulation d, $K$ varied, and $K_s$ was set as equal to $K$, that is, all partial tests had synthetic signal added. Figure 4 shows graphically how $K$ and $K_s$ varied in each simulation.
The response variables $Y$ had size $N\times K$, $N=20$, that is, simulating measurements for 20 subjects, each with $K$ image modalities (partial tests). Each modality was simulated as having 500 points, these representing, for instance, voxels or vertices. The errors were simulated following either a Gaussian distribution with zero mean and unit variance, or a Weibull distribution, with scale parameter 1 and shape parameter $\frac{1}{3}$, shifted and scaled so as to have expected zero mean and unit variance. The response data were constructed by adding to the errors the simulated effects — either no signal, or a signal with strength calibrated to yield an approximate power of 50% with Gaussian errors, irrespective of the sample size, as described above for the simulations that tested the validity of the modified NPC; for the Weibull errors, the signal was further decreased, in all these four simulations, by a factor $\frac{3}{5}$, thus minimising saturation at maximum power in simulation d. The actual effect was coded in the first regressor only, which was constructed as a set of random values following a Gaussian distribution with zero mean and unit variance; the second regressor was modelled as an intercept.
The simulations A–D. Each was constructed with a set of $K$ partial tests, a number of which ($K_i$) had synthetic signal added. [Color figure can be viewed in the online issue, which is available at wileyonlinelibrary.com.]
The simulated data was tested using 500 shufflings (permutations, sign-flippings, and permutations with sign-flippings). For all the simulations, the whole process was repeated 100 times, allowing histograms of p-values to be constructed, as well as to estimate the variability around the heights of the histogram bars. Confidence intervals (95%) were computed for the empirical error rates and power using the Wilson method.
**Example: Pain Study**
While the proposed correction for the MTP-II has a predictable consequence, that is, controlling the familywise error rate at the nominal level, the combination of modalities, designs, and contrasts may not be quite as obvious. In this section we show a re-analysis of the data of the pain study by Brooks et al. [2005]. In brief, subjects received, in separate tests, painful, hot stimuli in the right side of the face (just below the lower lip), dorsum of the right hand, and dorsum of the right foot. The objective was to investigate somatotopic organization of the pain response in the insular cortex using fMRI, and the complete experimental details, stimulation and imaging acquisition protocols, analysis and conclusions can be found in the original publication. Here we sought to identify, at the group level, in standard space, areas within the insula that jointly respond to hot painful stimuli across the three topologically distinct body regions. We used the modified NPC, comparing the combining functions of Tippett, Fisher, Stouffer and Mudholkar–George, as well as the Hotelling’s $T^2$ statistic, and an iUT (conjunction). At the group level, the design is a one-sample t-test, for which only sign flippings can be used to test the null hypothesis. We used twelve of the original subjects, and performed exhaustively all the 4096 sign flippings possible.
**RESULTS**
A large number of plots and tables were produced and are shown in the Supporting Information. The Figures below contain only the most representative results that are sufficient to highlight the major points.
**Validity of the Modified NPC**
Both the original and the modified NPC methods controlled the error rates at exactly the level of the test. Such validity was not limited to $\alpha=0.05$, and the histograms of uncorrected p-values under complete absence of signal were flat throughout the whole [0;1] interval for both the original and modified NPC methods, using either the Tippett or the Fisher combining functions. A representative subset of the results, for the Fisher method only, and for sample sizes $N=\{8, 12, 20, 40\}$, is shown in Figure 5.
When considering the uncorrected p-values, the modified NPC yielded a mostly negligible increase in power when compared with the original NPC, with the difference always within the 95% confidence interval. Although this slight gain can be hardly observed in the histograms and Bland–Altman plots for the uncorrected p-values, they are clearly visible in the Bland–Altman plots for the p-values corrected across the 500 tests. In these plots, the predominance of smaller (towards more significant) p-values can be seen as a positive difference between the original and modified NPC p-values. A representative subset of the results is shown in Figure 6.
**Performance of Combined Tests**
Representative results demonstrating the performance of the methods of Tippett, Fisher, Stouffer, Mudholkar–George, as well as Hotelling’s $T^2$, is shown in Figure 7. The remaining results are browsable in the Supporting Information. In the absence of signal (simulation A), all combining functions controlled the error rate at the level of the test or below it, never above, thus confirming their validity. With normally distributed (Gaussian) errors, most functions yielded uniformly distributed p-values, although some functions seemed to converge towards uniformity only as the number of partial tests is increased; this was the case for the methods of Wilkinson, Zaykin, Dudbridge–Koeleman (DTP) and Jiang. With skewed (Weibullian) errors, the error rate was controlled at the test level with the use of permutations; with sign-flippings or permutations with sign-flippings, the combined results tended...
Histograms of frequency of p-values for the simulation without signal in either of the two partial tests (upper panel, blue bars) or with signal in both (lower panel, green bars). The values below each plot indicate the height (in percentage) of the first bar, which corresponds to p-values smaller than or equal to 0.05, along with the confidence interval (95%, italic). Both original and modified NPC methods controlled the error rates at the nominal level, and produced flat histograms in the absence of signal. The histograms suggest similar power for both approaches. See also the Supporting Information. [Color figure can be viewed in the online issue, which is available at wileyonlinelibrary.com.]
Bland–Altman plots comparing the original and modified NPC, for both uncorrected and corrected p-values, without signal in either of the two partial tests (upper panel, blue dots) or with signal in both (lower panel, green dots). The values below each plot indicate the percentage of points within the 95% confidence interval ellipsoid. For smaller sample sizes and non-Gaussian error distributions, the methods differ, but the differences become negligible as the sample size increases. In the presence of signal, the modification caused increases in power, particularly for the corrected p-values, with dots outside and above the ellipsoid. See the Supporting Information for zoomed in plots, in which axes tick labels are visible. [Color figure can be viewed in the online issue, which is available at wileyonlinelibrary.com.]
Performance of the modified NPC with four representative combining functions (Tippett, Fisher, Stouffer, and Mudholkar–George) and of one cMW (Hotelling’s $T^2$), using normal or skewed errors, and using permutations (ee), sign flippings (ise), or both. All resulted in error rates controlled at or below the level of to be conservative, and more so for the Hotelling’s $T^2$ statistics (and likewise the Wilks’ $\lambda$).
With signal added to just one of the partial tests (simulation a), the method of Tippett was generally the most powerful, followed by the methods of Fisher and Dudbridge–Koelman (both RTP and DTP variants). As the number of tests was increased, predictably, the power was reduced for all tests. The method of Stouffer did not in
Without combination, and with correction across voxels (MTP-i), no significant results were observed at the group level for any of the three tests. Combination using the methods of Fisher, Stouffer and Mudholkar–George (M–G), however, evidenced bilateral activity in the insula in response to hot, painful stimulation. A classical multivariate test, Hotelling’s $T^2$, as well as the Tippett method, failed to identify these areas. An intersection-union test (conjunction) could not locate significant results; such a test has a different null hypothesis that distinguishes it from the others. Images are in radiological orientation. For cluster-level results, comparable to Brooks et al. [2005], see the Supporting Information. [Color figure can be viewed in the online issue, which is available at wileyonlinelibrary.com.]
general have good performance with skewed errors, presumably because the dependence on z-statistics strengthens the dependence on the assumption of normality of the statistics for the partial tests in the modified NPC. The CMV did not deliver a good performance either, being generally among the least powerful.
With the number of partial tests held fixed, as the number of tests with signal was increased (simulation c), the
power of the method of Fisher increased more quickly than of the other methods, although when most of the partial tests had signal, most of the combining functions reached similar power, all close to 100% for both normal or skewed errors. Hotelling’s $T^2$ test was considerably less powerful than any of the combining functions used with the modified NPC.
As the total number of partial tests and the number of partial tests with signal were both increased (simulation D), almost all combined tests had similar power, and reached saturation (100% power) quickly, particularly for the Weibullian errors, in which the calibration, even after reduction with the $\frac{1}{2}$ factor, yielded power above 50% for each partial test. With Gaussian errors, in which calibration ensured average 50% power, two tests had considerably lower sensitivity: Tippett’s and Hotelling’s $T^2$, the last with the remarkable result that power reached a peak, then began to fall as the number of tests kept increasing.
**Example: Pain Study**
Using a conventional, mass univariate voxelwise tests, assessed through sign flipping, and after correction for multiple testing (MTD-U), only a few, sparse voxels could be identified at the group level for face, hand, and foot stimulation separately, in all cases with multiple distinct foci of activity observed bilaterally in the anterior and posterior insula. However, the joint analysis using the modified NPC with Fisher, Stouffer and Mudholkar–George evidenced robust activity in the anterior insula bilaterally, posterior insula, secondary somatosensory cortex (SII), and a small focus of activity in the midbrain, in the periaqueductal gray area. The combining function of Tippett, however, did not identify these regions, presumably because this method is less sensitive than the others when signal is present in more than a single partial test, as suggested by the findings in the previous section.
The Hotelling’s $T^2$ was not able to identify these regions, with almost negligible, sparse, single-voxel findings in the anterior insula, bilaterally. The conjunction test, that has a different NH$_0$, and searches for areas where all partial tests are significant, identified a single, barely visible, isolated voxel in the right anterior insula.
The above results are shown in Figure 8. Cluster-level maps that can directly be compared to the original findings of Brooks et al. [2005] are shown in the Supporting Information.
**DISCUSSION**
**Validity of the Modified NPC**
The modified NPC combines u-values, which are simply parametric p-values here renamed to avoid confusion. The renaming, however, emphasizes the fact that the conversion to u-values via a parametric approximation should only be seen as a data transformation, in which the interpretation as a p-value is not preserved because of unsound assumptions. The combination method continues to be non-parametric as the combined statistic is assessed non-parametrically. More importantly, irrespective of the validity of parametric assumptions, any dependence between the tests is accounted for, implicitly, by the combination procedure, without the need of any modelling that could, at best, introduce complex and perhaps untenable assumptions, and at worst, be completely intractable.
The results suggest that, even in the cases in which the modified NPC could have failed, i.e., with small sample sizes and different distributions, the combined statistic controlled the error rate at the level of the test. This control, maintained even in such difficult scenarios, supports the notion that the modified NPC controls the error rates in general. The results also suggest that the modification increases power, even if such increase is minute in some scenarios. The Bland–Altman plots indicate that gains in sensitivity are more pronounced in the results corrected for the MTD-U, suggesting that the modified method is appropriate not merely due to its expediency for imaging applications, but also for having increased sensitivity compared to the original NPC.
**Performance of Combined Tests**
The results also demonstrate that the NPC method is more powerful than the Hotelling’s $T^2$. The superiority of combined permutation tests when compared with classical multivariate tests has been observed in the literature [Blair et al., 1994], and the fact that power increases as the number of partial tests with signal increases is one of its most remarkable features. While cMv depends on the positive-definiteness of the covariance matrix of the vectors of residuals, such limitation does not apply to NPC [Pesarin and Salmaso, 2010b]. As a consequence, although in the comparisons only the Hotelling’s $T^2$ and the Wilks’ $\lambda$ statistics were used (in the simulations, rank(C)=1), and had their p-values assessed through permutations, similar behavior can be expected when using other cMVs, such as Pillai’s trace (and with rank(C) > 1). With effect, NPC can be used even when the number of variables equals or even greatly exceeds the number of observations, that is, when $K \geq N$. In the results shown in Figure 7, this can be noted as a reduction in power that can be seen with the Hotelling’s $T^2$, particularly for simulation D, and this is the case even considering that the test is assessed through permutations.
Regarding the different combining functions, the simulations show that the method of Tippett is the most powerful when signal is present in only a small fraction of the partial tests. For other cases, other combining functions, particularly that of Fisher, tend to be considerably more powerful.
The results also indicate that the use of sign flipping when the errors are not symmetric (a violation of assumptions) tends to produce a conservative test, with error rates below the nominal level, even if the power eventually remained unaltered when compared with permutations. While permutations together with sign flippings did alleviate conservativeness, at least for the Tippett method, the error rate remained below the nominal level. In general, if the errors are known to be skewed, only permutations should be used; if sign flippings are used, the error rate can be expected to be below the test level.
**Interpretation of Combined Tests**
The key aspect of the NPC is that these tests seek to identify, on the aggregate of the partial tests, a measure of evidence against the null, even if only some or none of them can be considered significant when seen in isolation, just as originally pointed out by Fisher [1932]:
*When a number of quite independent tests of significance have been made, it sometimes happens that although few or none can be claimed individually as significant, yet the aggregate gives an impression that the probabilities are on the whole lower than would often have been obtained by chance. It is sometimes desired (...) to obtain a single test of the significance of the aggregate.*
This is the logic and interpretation of all of these combining statistics, with the exception of the conjunction inference. Combination of information is known to be able to answer questions that could otherwise not be answered be at all, or be answered less accurately if each information source were considered separately [Draper et al., 1992]. Here the simulations and the pain study exemplify these aspects, and the improved sensitivity compared to each partial test when seen in separate.
As they depend on fewer assumptions than classical multivariate tests, NPC can be considered whenever the validity of the former cannot be guaranteed. Even when parametric CMV assumptions hold, note that the NPC can have superior power when sample size is small and prevents precise estimation of a covariance.
It should be noted that the aggregation of information follows a different principle than using different measurements separately to interrogate particular aspects of the brain (or of any other experiment or physiological phenomenon). Used judiciously, NPC provides a complete framework that can be used for both the aggregate and for the correction of tests separately, with the valuable feature of being based on minimal assumptions.
**Correction over Contrasts and over Modalities**
Correction over contrasts using synchronized permutations provides a novel solution to the multiple comparisons problem for certain common experimental designs, in particular, for the popular one-way ANOVA layout, that is, when the means of multiple groups are compared. The classical Fisher’s protected least significant difference (LSD), that consists of performing an omnibus F-test and only proceeding to the group-wise post hoc tests if this initial test is significant, is known to fail to control the error rate if there are more than three groups [Hayter, 1986; Hsu, 1996; Meier, 2006], and the failure can be by a wide margin, that grows as the number of groups being compared increases. Even though the same may not happen with other correction methods [e.g., Tukey’s range test, Tukey, 1949], the correction done non-parametrically also renders these older, parametric methods, redundant.
The correction over contrasts further obviates methods that are based on what has been termed “logical constraints” among hypotheses [Hochberg and Tamhane, 1987; Shaffer, 1986], as the dependencies among the tests are implicitly taken into account by the correction using the distribution of the extremum across contrasts, with or without concomitant combination or correction across multiple K variables. In fact, the use of an omnibus F-test as a way to guard against multiple testing becomes quite unnecessary.
In the same manner, while combination across multiple modalities is a powerful substitute for classical multivariate tests as shown earlier, the correction across such modalities can replace the post hoc tests that are usually performed after significant results are found with CMVs.
**Pain Study**
Joint significance is an important consideration when trying to interpret data such as these, that are distinct in some aspects (here, the topography of the stimulation), but similar in others (here, the type of stimulation, hot and painful), strengthening the case for distinct representations in some brain regions, but not in others. In terms of identifying areas with significant joint activity, the results suggest involvement of large portions of the anterior insula and secondary somatosensory cortex. The Fisher, Stouffer and Mudholkar–George combining functions were particularly successful in recovering a small area of activity in the midbrain and periaqueductal gray area that would be expected from previous studies on pain [Petrovic et al., 2002; Reynolds, 1969; Roy et al., 2014; Tracey et al., 2002], but that could not be located from the original, non-combined data.
**Relationship with Meta-Analysis**
Most of the combining functions shown in Table I were originally defined based on p-values, and some of them are popular in meta-analyses, such as those of Fisher and Stouffer [Borenstein et al., 2009]. Although there are commonalities between these meta-analytical methods and NPC, it is worth emphasising that the two constitute
distinct approaches to entirely different problems. In the NPC, the objective is to interrogate joint significance across the multiple observed variables (or multiple designs and contrasts if these are instead combined) when the data for each individual observation is readily available to the researcher. Meta-analyses methods based on p-values, while sometimes using the same combining functions, attempt to identify a joint effect across multiple studies that not have necessarily been performed on the same experimental units, and when the data for the individual observations are not available. Moreover, the p-value of the combined statistic in the NPC is produced through permutations, a procedure that is not available for ordinary meta-analytical methods.
The fact that NPC and meta-analysis form different approaches to separate problems also imply that certain criticisms levelled at the use of certain combined functions in the context of meta-analysis do not extend trivially to NPC. As the simulations show, various of the combining functions more recently developed did not in general outperform older combining methods, such as Fisher and Stouffer, even though these were developed precisely for that purpose, in the context of meta-analyses, or for problems framed as such.
CONCLUSION
We proposed and evaluated a modified version of Non-Parametric Combination that is feasible and useful for imaging applications, and serves as a more powerful alternative to classical multivariate tests. We presented and discussed aspects related multiple testing problems in brain imaging, and proposed a single framework that addresses all these concerns at once. We showed that combination and correction of multiple imaging modalities, designs, and contrasts, are related to each other in the logic of their implementation, and also through the use of the simplest and the oldest of the combining functions, attributed to Tippett.
An open-source working implementation, that can be executed in MATLAB [The MathWorks Inc., 2013] or Octave [Eaton et al., 2015], is available in the tool Permutation Analysis of Linear Models (PALM), available for download at www.fmrib.ox.ac.uk/fsl.
APPENDIX A: BRIEF OVERVIEW OF COMBINING FUNCTIONS
Below are a few details and references for the methods shown in Table I, plus a few others, presented in chronological order. A number of studies comparing some of these functions in various scenarios have been published [Berk and Cohen, 1979; Bhandary and Zhang, 2011; Birnbaum, 1954; Chang et al., 2013; Chen, 2011; Lazar et al., 2002; Loughin, 2004; Oosterhoff, 1969; Rosenthal, 1978; Westberg, 1985; Whitlock, 2005; Won et al., 2009; Wu, 2006; Zaykin, 2011; Zwet and Oosterhoff, 1967]. Some of these are permutationally equivalent to each other, that is, their rejection region under permutation is the same, and it becomes immaterial which is chosen.
Tippett
This is probably the oldest, the simplest, and the most intuitive of the combination methods, having appeared in the first edition of Tippett’s book The Methods of Statistics [Tippett, 1931]. The combined test statistic is simply the minimum p-value across all partial tests, and Tippett shows its distribution has a simple closed form.
Fisher
This method appeared in the fourth edition of Statistical Methods for Research Workers [Fisher, 1932], and follows the idea of treating the joint probability as the expectation of all partial tests, which is given by their product $\prod_{i=1}^{K}$. This product, however, is not uniformly distributed, even if the global null hypothesis is true. Using a few properties of the uniform distribution, Fisher showed that twice the negative logarithm of the products follows a $\chi^2$ distribution, with degrees of freedom $2K$.
Stouffer
This method appeared in footnotes in the extensive report of the sociological study conducted among veterans of the World War II by Stouffer et al. [1949, footnote 15, and page 151, footnote 14]. The idea is to sum z-scores, normalize the variance of this sum, and from this statistic obtain a p-value for the joint hypothesis.
Wilkinson
The probability of observing $r$ significant p-values at the level $\alpha$ can be computed using a binomial expansion, as proposed by Wilkinson [1951]. The statistic is simply $r$, and the probability does not depend on the actual p-values for the partial tests, but only on $r$ and $\alpha$.
Good
A generalization of the Fisher method that assigns arbitrary, unequal positive weights $w_i$ for each of the partial tests, was suggested by Good [1955]. The weights are defined according to some criteria, such as the sample size for each of the partial test, the number of degrees of freedom, or some other desirable feature, such as ecological or internal validity [Rosenthal, 1978].
Lipták
Another generalized combined statistic can be produced using the inverse cdf, $F^{-1}$, of the $p_i$s, summing the values of the statistics, and computing a new p-value for the global null using the cdf $G$ of the sum of the statistics, a
method proposed by Lipták [1958]. Each summand can be arbitrarily weighted, as in the Good method. In principle, any continuously increasing function with support in the interval \([0; 1]\) can be used for \(F\), albeit a more obvious choice is the cdf of the normal distribution, which can be used as both \(F\) and \(G\), and which equals the approach to the Stouffer method if all weights are 1.
**Lancaster**
While the Lipták method generalizes combining strategies such as Fisher and Stouffer, the Lancaster method [Lancaster, 1961] further generalizes the Lipták approach by allowing different \(F^{-1}\) for each partial test. Choices for \(F^{-1}\) include, for instance, the cdf of the gamma distribution with scale parameter \(0=2\), possibly with different shape parameters taking the place of the weights for each partial test. If the weights are all positive integers, the p-values can be assessed from the cdf of a \(\chi^2\) distribution with degrees of freedom \(v=2\sum_i v_k\) [Berk and Cohen, 1979].
**Winer**
A combination strategy that resembles the Stouffer method, but uses the Student’s \(t\) statistic, was proposed by Winer [1962], albeit not found in later editions of the book. The idea is to sum the \(t\) statistics for all the partial tests, then normalize the sum so that the resulting statistic follows a standard normal distribution. The normalization is based on the fact that the variance of the \(t\) distribution can be determined from its degrees of freedom \(v\) as \(v/(v-2)\). The method cannot be applied if \(v_k \leq 2\) for any of the partial tests. Moreover, \(v_k\) should not be too small for the normal approximation to be reasonably valid (e.g., \(v_k \geq 10\)). The Winer method is a particular case of the Lancaster method.
**Edgington**
The probability of observing, due to chance, a value equal or smaller than the sum of the partial p-values was proposed by Edginton [1972] as what would be a more powerful alternative to the Fisher method. The method however, lacks consistency (see Appendix B).
**Mudholkar–George**
It is possible to use a simple logit transformation to compute a statistic that approximates a scaled version of the Student’s \(t\) distribution, as shown by Mudholkar and George [1979]. If the scaling is taken into account, the combined statistic follows a \(t\) distribution.
**Darlington–Hayes**
In a discussion about pooling p-values for meta-analysis, Darlington and Hayes [2000] raised a number of limitations of these methods, and proposed a modification over the method of Stouffer that would address some of these concerns. The modified method, called by the authors as *Stouffer-max*, uses as test statistic the mean of the \(r\) highest z-scores, rather than the normalized sum of all the z-scores as in the original method. When \(r=1\), it is equivalent to the Tippett method, whereas when \(r=K\), is equivalent to the original Stouffer. The p-values for intermediate values of \(r\) can be computed through Monte Carlo simulation, and the authors provided tables with critical values.
**Zaykin et al.**
This method, called truncated product method (TPM) was proposed by Zaykin et al. [2002] as a way to combine features of the Fisher and Wilkinson methods. The statistic is the product of only the partial p-values that are significant at the level \(\alpha\), whereas in the Fisher method, all p-values are used. If all \(p_k < \alpha\) (\(p_k\)), the approach is equivalent to the Tippett method. If \(\max(p_k) > \alpha = 1\), the approach is equivalent to the Fisher method. An expression for the p-values that produces exact values was provided by the authors. The expression, however, is prone to over/underflows for certain combinations of large \(K\) and \(\alpha\), and when p-values cannot be obtained analytically, Monte Carlo methods can be used.
**Dudbridge–Koeleman**
While the Zaykin method combines only the partial tests that are significant at the level \(\alpha\), it is also possible to create a statistic that combines only the most \(r\) significant tests, where \(r\) is specified in advance. This method was proposed by Dudbridge and Koeleman [2003] and called rank truncated product (RTP). The main benefit of this strategy is that it depends only on a predetermined number of partial tests to be rejected, rather than on their p-values, which are random quantities. As with the Zaykin method, for certain combinations of \(r\) and large \(K\), the p-values need to be computed through Monte Carlo methods. In the same article, the authors also introduced a combination of the TPM and RTP, and named it rank-and-threshold truncated product or dual truncated product (DTP). The statistic is the largest of either if these two, and its p-value can be computed analytically or via Monte Carlo methods.
**Taylor–Tibshirani**
If the p-values are sorted in ascending order, these ranked p-values can be compared to their expectations under the global null hypothesis. Large deviations from the expected values indicate the presence of the effect among the tests. Taylor and Tibshirani [2006] suggested that a measure of size of this deviation could be used to infer the overall significance of the tests. The corresponding statistic was termed tail strength (ts), and under the assumptions that the global null is true and that the tests are independent, it follows a normal distribution with zero mean and a variance that can be approximated as \(\frac{1}{K}\) for large \(K\), from which the p-value can be assessed. When these assumptions are not met, non-parametric methods can be used.
Jiang et al.
The statistic of the Taylor–Tibshirani method has a variance that depends asymptotically only on the number of tests. However, the value of the statistic can be small when effect is truly present in only a few partial tests, therefore potentially reducing power. By analogy to the Zaykin method, Jiang et al. [2011] proposed to compute the tail strength using only partial tests with p-values smaller than a certain level $\alpha$. The method is called truncated tail strength (TTS). The analytical form for the distribution is not known, and the authors propose computing the p-value using Monte Carlo or permutation methods.
Li–Tseng
Li and Tseng [2001] proposed a modification of the Fisher method that is used not to test the JNH (hence not shown in Table I), but to identify which of the partial tests contribute the most to the resulting combined statistic. The
Examples of inconsistent combining functions for testing the global null hypothesis: (a) Addition of p-values for the partial tests [Edgington 1972]; (b) Maximum of p-values for the partial tests, with the p-value computed as $T^c$ [Friston et al., 2005]; (c) Maximum of p-values for the partial tests, but with the p-value computed as $T$ [Nichols et al., 2005]. While the last is not appropriate for testing the global null, it is appropriate for the conjunction null. [Color figure can be viewed in the online issue, which is available at wileyonlinelibrary.com.]
authors define a quantity $A_W = - \sum_{k=1}^{K} w_k \ln(p_k)$, where $w_k$ is a weight that can be either 0 or 1. All possible $2^K - 1$ non-trivial combinations $W = [w_1, \ldots, w_K]$ are evaluated to produce a value for $A_W$. The respective p-values $p_W$ are computed via permutations, and the $W$ that yields the smallest such p-value over all possible combinations of weights, is the one that identifies the subset among the $K$ tests that contributes the most to the combined p-values.
**APPENDIX B: CONSISTENCY OF COMBINED TESTS**
A hypothesis test is said to be consistent if, for a fixed test level, its power goes to unity as the sample size increases to infinity. The use of a non-consistent combining function to form an NPC test is problematic, as the rejection region may not be reached even if the p-value for one or more of the partial tests approach zero, thus violating the second of the three desirable properties of the combining functions, presented in Section “Non-Parametric Combination”.
Among the functions shown in Table I, the notable non-consistent combining functions are the Edgington and Wilkinson (see Appendix A). Also, it should be noted that functions that define conjunctions (i.e., such as those based on $\max(p_k)$), are likewise not consistent in the context of NPC, as the latter serves to test the global null hypothesis. Figure B1 shows rejection regions for some inconsistent combining functions, and variants, similarly as for the (consistent) shown in Figure 3.
**APPENDIX C: ADMISSIBILITY OF COMBINED TESTS**
A combined hypothesis test is said to be admissible if there exists no other test that, at the same significance level, without being less powerful to all possible alternative hypotheses, is more powerful to at least one alternative [Lehmann and Romano, 2005]. This can be stated in terms of either of two sufficient conditions for admissibility: (i) that rejection of the null for a given p-value implies the rejection of the null for all other p-values smaller or equal than that, or (ii) that the rejection region is convex in the space of the test statistic.
Combinations that favor tests with concordant directions (Section “Directed, non-directed, and concordant hypotheses”), if used with of non-directional partial tests, create tests that are inadmissible, that is, tests that are not optimal in the sense that there exist other tests that, without being less powerful to some true alternative hypotheses, are more powerful to at least one true alternative.
*Figure C1.*
Upper row: Inadmissible versions of the four consistent combining functions shown in Figure 3 (in the same order). Lower row: Inadmissible versions of the three inconsistent combining functions shown in Figure 9 (in the same order). These inadmissible functions arise if one attempts to favor alternatives with the same sign while performing two-tailed partial tests. [Color figure can be viewed in the online issue, which is available at wileyonlinelibrary.com.]
Inadmissibility implies that the test cannot be used, as certain combinations of partial tests lead to nonsensical results, such as rejecting the $JNH$ for some partial p-values, and failing to reject for some p-values that are even smaller. Figure C1 shows rejection regions of inadmissible versions of the combining functions considered in Figures 3 and B1; clearly none of the two conditions above are satisfied. The particular combining function shown in Equation (2) is the product of Pearson [1933] and used by David [1934], but after a paper by Birnbaum [1954], it was for decades thought to be inadmissible. However, it is in fact admissible [Owen, 2009].
Admissibility is important in that it allows, for more than just two partial tests, combined tests that favor alternative hypotheses with the same direction. Other possibilities favoring alternatives with common direction, such as multiplying together the partial test statistics to produce a combined statistic, do not extend trivially to more than two tests [Hayasaka et al., 2006].
ACKNOWLEDGEMENT
The authors declare no conflicts of interest.
REFERENCES
Abou Elsoud A, Nissilä J, Lietaa A, Remes J, Jokelainen J, Takala T, Ainuo A, Starck T, Nikkinen J, Kaponen H, Zang YF, Terwanto O, Timonen M, Kivimäki V (2014): Altered resting-state activity in seasonal affective disorder. Hum Brain Mapp 35:161–172.
Anderson TW (2003): An Introduction to Multivariate Statistical Analysis. Hoboken, NJ: Wiley.
Benjamini Y, Hochberg Y (1995): Controlling the false discovery rate: A practical and powerful approach to multiple testing. J R Stat Soc Ser B 57:289–300.
Benjamini Y, Heller R (2008): Screening for partial conjunction hypotheses. Biometrics 64:1215–1222.
Berger RL (1982): Multiparameter hypothesis testing and acceptance sampling. Technometrics 24:295–300.
Berk RH, Cohen A (1979): Asymptotically optimal methods of combining tests. J Am Stat Assoc 74:812–814.
Bhandari M, Zhang X (2011): Comparison of several tests for combining several independent tests. J Modern Appl Stat Meth 10:436–446.
Birnbaum A (1954): Combining independent tests of significance. J Am Stat Assoc 49:559–574.
Blair RC, Higgins JJ, Karniski W, Kromrey JD (1994): A study of multivariate permutation tests which may replace Hotelling’s $T^2$ test in prescribed circumstances. Multivariate Behav Res 29:141–163.
Bland JM, Altman DG (1986): Statistical methods for assessing agreement between two methods of clinical measurement. Lancet 2:327-307–310.
Borenstein M, Hughes LV, Higgins JPT, Rothstein HR (2009): Introduction to Meta-Analysis. West Sussex, UK: Wiley.
Brombin C, Midena E, Salmaso L (2013): Robust non-parametric tests for complex-repeated measures problems in ophthalmology. Stat Meth Med Res 22:643–660.
Brooks JCW, Zambranu L, Godinez A, Craig ADB, Tracey I (2005): Somatotopic organisation of the human insula to painful heat studied with high resolution functional imaging. NeuroImage 27:201–209.
Brown MR (1975): A method for combining non-independent, tested claims of significance. Biometrics 31:987–992.
Calhoun VD, Sui J (2016): Multimodal fusion of brain imaging data: A key to finding the missing link(s) in complex mental illness. Biological Psychiatry: Cognitive Neuroscience and Neuroimaging (in press). doi:10.1016/j.bpsc.2015.12.005.
Chang L-C, Lin H-M, Sibille E, Tseng GC (2013): Meta-analysis methods for combining multiple expression profiles: Comparisons, statistical characterization and an application guideline. BMC Bioinformatics 14:368.
Chen G, Adleman NE, Saad ZS, Leibenluft E, Cox RW (2014): Applications of multivariate modeling to neuroimaging group analysis: A comprehensive alternative to univariate general linear model. NeuroImage 95:571–588.
Chen Z (2014): Is the weighted z-test the best method for combining probabilities from independent tests? J Eval Biol 24:826–930.
Christensen R (2001): Advanced Linear Modelling, 2nd ed. New York, USA: Springer.
Darlington RB, Hayes AF (2000): Combining independent p values: Extensions of the stouffer and binomial methods. Psychol Meth 5:496–515.
David FN (1934): On the $P_{\alpha}$ test for randomness: Remarks, further illustration, and table of $P_{\alpha}$ for given values of $-\log_{10} \lambda_{\alpha}$. Biometrika 26.1: 1 – 11.
Draper D, Gaver DP, Goel PK, Greenhouse JB, Hedges LV, Morris CN, Waternaux C (1992): Combining information: Statistical issues and opportunities for research. Washington, DC: National Academy Press.
Dudbridge F, Kostem BPC (2003): Rank truncated product of P-values, with application to genomewide association scans. Gene Epidemiol 25:360–366.
Eaton JW Bateman D, Hauberg S, Wehrbring R (2015): GNU Octave: A highlevel interactive language for numerical computations. Samurai Media Ltd, Hong Kong, PRC. Available at: https://www.gnu.org/software/octave/octave.pdf.
Edgington ES (1972): An additive method for combining probability values from independent experiments. J Psychol 80:351–363.
Efron B (2004): Large-scale simultaneous hypothesis testing. J Am Stat Assoc 99:966–104.
Fisher RA (1932): Statistical Methods for Research Workers, 4th ed. Edinburgh: Oliver & Boyd.
Fox PT, Mintun MA, Reiman EM, Raichle ME (1988): Enhanced detection of focal brain responses using intersubject averaging and change-distribution analysis of subtracted PET images. J Cerebral Blood Flow Metab 8:642–653.
Friston KJ, Frith CD, Liddle PF, Frackowiak RS (1991): Comparing functional (PET) images: The assessment of significant change. J Cereb Blood Flow Metab 11:690–699.
Friston KJ, Penny WD, Glaser DE (2005): Conjunction revisited. NeuroImage 25:661–669.
Genovese CR, Lazar NA, Nichols T (2002): Thresholding of statistical maps in functional neuroimaging using the false discovery rate. NeuroImage 15:870–878.
Gosset J (1908): On the weighted combination of significance tests. J R Stat Soc Series B 17:264–267.
Hall P, Wilson SR (1991): Two guidelines for bootstrap hypothesis testing. Biometrics 47:757–762.
Hayasaka S, Du A-T, Duarte A, Kornak J, Jahng G-H, Weiner MW, Schuff N (2006): A non-parametric approach for coanalysis of multi-modal brain imaging data: Application to alzheimer’s disease. NeuroImage 30:768–779.
Hayasaka S, Nichols TE (2004): Combining voxel intensity and cluster extent with permutation test framework. NeuroImage 23:54–62.
Hayter AJ (1986): The maximum familywise error rate of Fisher’s least significant difference test. J Am Stat Assoc 81:1000–1004.
Hochberg Y, Tamhane AC (1987): Multiple Comparison Procedures. New York, NY: Wiley.
Holm S (1979): A simple sequentially rejective multiple test procedure. Scand J Stat 6:65–70.
Hotelling H (1951): A generalized T test and measure of multivariate dispersion. In: Neyman, J, editor. Proceedings of the second berkeley symposium on mathematical statistics and probability. Berkeley: University of California Press. 042 pp 23–41.
Hotelling H (1931): The generalization of Student’s ratio. Ann Math Stat 2:360–378.
Hsu JC (1996): Multiple Comparison: Theory and Methods. Boca Raton, FL: Chapman & Hall/CRC.
Jiang B, Zhong L, Zuo Y, Kang G (2011): A powerful truncated tail strength method for testing multiple null hypotheses in one dataset. J Theoretical Biol 277:67–73.
Johnson RA, Wichern DW (2007): Applied Multivariate Statistical Analysis, 6th ed. Upper Sadle River, NJ: Pearson Prentice Hall.
Kost JT, McDermott MP (2002): Combining dependent p-values. Stat Probab Lett 60:183–190.
Kuhtfeld WF (1986): A note on Roy’s largest root. Psychometrika 51:479–481.
Lancaster HO (1961): The combination of probabilities: An application of orthonormal functions. Aus J Stat 3:20–33.
Lawley DN (1938): A generalization of Fisher’s z test. Biometrika 30:180–187.
Lazar NA, Luna B, Sweeney JA, Eddy WF (2002): Combining brain maps: A survey of methods for statistical pooling of information. NeuroImage 16:538–550.
Lehmann EL, Romano JP (2005): Testing Statistical Hypotheses, 3rd ed. New York, NY: Springer.
Li J, Tseng GC (2011): An adaptively weighted statistic for detecting differential gene expression when combining multiple transcriptomic studies. Ann Appl Stat 5:994–1019.
Licata SC, Nickerson LD, Loven SB, Trksak GH, MacLean RR, Lukas SE (2013): The hypnotic zolpidem increases the synchrony of BOLD signal fluctuations in widespread brain networks during a resting paradigm. NeuroImage 70:211–222.
Lipták T (1958): On the combination of independent tests. A Magyar Tudományos Akadémia Matematikai Kutató Intézetének Közlényeinei 3:171–197.
Loughin T (2004): A systematic comparison of methods for combining p-values from independent tests. Comput Stat Data Anal 47:467–485.
Marcus R, Peritz E, Gabriel KR (1976): On closed testing procedures with spatial reference to ordered analysis of variance. Biometrika 63:655–660.
Meier U (2006): A note on the power of Fisher’s least significant difference procedure. Pharm Stat 5:253–263.
Mudholkar GS, George EO (1979): The logit statistic for combining probabilities. In: Rustagi, J, editor. Symposium on Optimizing Methods in Statistics. New York: Academic Press. pp 345–366.
Nichols T (2012): Multiple testing corrections, nonparametric methods, and random field theory. NeuroImage 62:811–815.
Nichols T, Brett M, Andersson J, Wager T, Poline J-B (2005): Valid conjunction inference with the minimum statistic. NeuroImage 25:653–660.
Nichols T, Hayasaka S (2003): Controlling the familywise error rate in functional neuroimaging: A comparative review. Stat Meth Med Res 12:419–446.
Oosterhof K (1969): Combination of One-Sided Statistical Tests. Amsterdam, The Netherlands: Mathematisch Centrum.
Owen AB (2009): Karl Pearson’s meta-analysis revisited. Ann Stat 37:3867–3892.
Pantazis D, Nichols TE, Baillet S, Leahy RM (2005): A comparison of random field theory and permutation methods for the statistical analysis of MEG data. Neuroimage 25:383–394.
Pearson K (1933): On a method of determining whether a sample of size n supposed to have been drawn from a parent population having a known probability distribution has probably been drawn at random. Biometrika 25:397–410.
Pesarin F (1999): On a nonparametric combination method for dependent permutation tests with applications. Psychother Psychosom 54:172–179.
Pesarin F (1992): A resampling procedure for nonparametric combination of several dependent tests. J Italian Stat Soc 1:87–101.
Pesarin F (2001): Multivariate Permutation Tests, with Applications in Biostatistics. West Sussex, England, UK: Wiley.
Pesarin F, Salmaso L (2010a): Permutation Tests for Complex Data: Theory, Applications and Software. West Sussex, England, UK: Wiley.
Pesarin F, Salmaso L (2010b): Finite-sample consistency of combination-based permutation tests with application to repeated measures designs. J Nonparametr Stat 22:669–684.
Petersen P, Kalso E, Petersson KM, Ingvar M (2002): Placebo and opioid analgesics—Imaging a shared neuronal network. Science 295:1737–1740.
Pillai KC (1955): Some new test criteria in multivariate analysis. The Annals of Mathematical Statistics 26:117–121.
Reynolds DV (1969): Surgery in the rat during electrical analgesia induced by focal brain stimulation. Science 164:444–445.
Rosenthal R (1978): Combining results of independent studies. Psychol Bull 85:185–193.
Roy M, Shohamy D, Daw N, Jeppma R, Wimmer CE, Wager TD (2014): Representation of aversive prediction errors in the human periaqueductal gray. Nat Neurosci 17:1407–1412.
Roy SN (1930): On a heuristic method of test construction and its use in multivariate analysis. Ann Math Stat 24:220–238.
Scheffé H (1959): The Analysis of Variance. New York: Wiley.
Shaffer JP (1986): Modified sequentially rejective multiple test procedures. J Am Stat Assoc 81:826–831.
Smith SM, Nichols TE (2009): Threshold-free cluster enhancement: Addressing problems of smoothing, threshold dependence and localisation in cluster inference. NeuroImage 44:83–98.
Stouffer SA, Suchman EA, DeVinney LC, Star SA Jr, Robin MW (1949): The American Soldier: Adjustment During Army Life (Vol. 1). Princeton, NJ: Princeton University Press.
Sidak Z (1967): Rectangular confidence regions for the means of multivariate normal distributions. J Am Stat Assoc 62:626–633.
Taylor J, Tišlerjanir R (2006): A tail strength measure for assessing the overall univariate significance in a dataset. Biostatistics 7:167–181.
TheMathWorks Inc. (2013): MATLAB version 8.1 (r2013a). Natick, Massachusetts.
Thomas AG, Dennis A, Rawlings NB, Stagg CJ, Matthews L, Morris M, Kolind SH, Foxley S, Jenkinson M, Nichols TE, Dawes H, Bandettini PA, Johansen-Berg H (2015): Multi-modal characterization of rapid anterior hippocampal volume increase associated with aerobic exercise. NeuroImage (in press).
Timm NH (2002): Applied Multivariate Analysis. New York: Springer.
Tippett LHC (1931): The Methods of Statistics. London: Williams; Northgate.
Tracey I, Ploghaus A, Gati JS, Clare S, Smith S, Menon RS, Matthews PM (2002): Imaging attentional modulation of pain in the periaqueductal gray in humans. J Neurosci 22:2748–2752.
Tukey JW (1949): Comparing individual means in the analysis of variance. Biometrics 5:99–114.
Uludag K, Roebroek A (2014): General overview on the merits of multimodal neuroimaging data fusion. NeuroImage 102:3–10.
Westberg M (1985): Combining independent statistical tests. Statistician 34:287–296.
Westfall PH, Troendle JF (2008): Multiple testing with minimal assumptions. Biom J 50:745–755.
Westfall PH, Young SS (1993): Resampling-Based Multiple Testing: Examples and Methods for P-Value Adjustment. New York: Wiley.
Whitlock MC (2005): Combining probability from independent tests: The weighted z-method is superior to Fisher’s approach. J Evol Biol 18:1268–1272.
Wilkinson B (1951): A statistical consideration in psychological research. Psychol Bull 48:156–158.
Wilks SS (1932): Certain generalizations in the analysis of variance. Biometrika 24:471–494.
Wilson EB (1927): Probable inference, the law of succession, and statistical inference. J Am Stat Assoc 22:209–212.
Winer BJ (1962): Statistical Principles in Experimental Design. New York: McGraw-Hill.
Winkler AM, Ridgway GR, Webster MA, Smith SM, Nichols TE (2014): Permutation inference for the general linear model. NeuroImage 92:381–397.
Won S, Morris N, Lu Q, Elston RC (2009): Choosing an optimal method to combine p-values. Stat Med 28:1537–1553.
Woo C-W, Krishnan A, Wager TD (2014): Cluster-extent based thresholding in fMRI analyses: Pitfalls and recommendations. NeuroImage 91:412–419.
Wu SS (2006): Combining univariate tests for multivariate location problem. Commun Stat 35:1485–1494.
Zaykin DV, Zhivotovsky LA, Westfall PH, Weir BS (2002): Truncated product method for combining p-values. Genetic Epidemiology 22:170–185.
Zaykin DV (2011): Optimally weighted z-test is a powerful method for combining probabilities in meta-analysis. J Evol Biol 24:1836–1841.
Zhu D, Zhang T, Jiang X, Hu X, Chen H, Yang N, Lv J, Han J, Gao L, Liu T (2014): Fusing DTI and fMRI data: A survey of methods and applications. NeuroImage 102:184–191.
Zwet W, van Oosterhoff J (1967): On the combination of independent test statistics. Ann Math Stat 38:659–680.
|
Broadening horizons
Celebrating our international staff community – page 6
All the world’s a stage
In pictures: the University and the Edinburgh Festival Fringe – page 12
Cutting it on equality?
Examining the role of women in politics, from past to present – page 14
Built for success
Talking to Royal Society Hauchsbee winner Dr Sharon Hannah – page 20
Competitions and noticeboard
Win a gift from Walker Slater or find a new flat or holiday apartment – page 22
The University of Edinburgh takes pride in its global reputation and in our cover story (pages 6–9), we celebrate the contribution of our international staff community in helping the University make its impact worldwide.
We also explore the ways in which the University is enhancing its provision of academic feedback to students (pages 10–11), and speak to Dr Sue Rigby about marketing postgraduate study (page 17).
In our opinion section (pages 14–16) politics is placed under the spotlight, as two of our academics analyse women’s representation in the field.
You can also enter our Spot the Difference competition (page 24) for the chance to win a prize from Scottish tweed specialist Walker Slater (www.walkerslater.com).
Keep up with the latest University news at www.ed.ac.uk/news/staff-bulletin, where you can sign up to receive the headlines to your inbox.
The Confucius Institute for Scotland brought the Beijing Film Academy’s *A Midsummer Night’s Dream* to the McEwan Hall last year as part of the Edinburgh Festival Fringe. Turn to page 12 for more Festival images.
Four champions enter Sports Hall of Fame
An Olympic shooter, a world champion orienteer, a record-breaking swimmer and a Commonwealth-medal-winning diver are the latest sporting champions to be inducted into the University’s Sports Hall of Fame.
Joining the roll call of high-achieving athletes associated with the University are shooter Bob Brathwaite, orienteering champion Jon Duncan, swimmer Ian Edmond and diver Sir Peter Healy.
The University’s Sports Hall of Fame was launched in 2008 to mark the achievements of our sporting alumni. To date seven leading names in sport have been inducted into the hall. These include Olympic cyclist Sir Chris Hoy; iconic athlete Eric Liddell and world champion rower Katherine Grainger.
The Sports Hall of Fame is open only to students, graduates and staff of the University. Inductees are recommended by the University’s Sports Awards Committee and approved by the Principal.
To be considered for selection, individuals must have achieved medal success at the very highest level, received more than 100 senior international caps, or made an exceptional and sustained contribution to the administration of sport at the University.
From sports union to world stage
Spanning four decades of success between them, the new inductees to the Hall of Fame all honed their talents while they were students at the University.
Bob Brathwaite (BSc Vet Med/MRCVS, 1947)
Bob, who came to study at Edinburgh at the age of 16, has won many national and international accolades in clay shooting, including, a gold medal at the 1968 Mexico Olympic Games.
Jon Duncan (BSc Geology, 1998)
Jon, a former University sports bursar, has twice won the Vancouver Quaich in orienteering and became the sport’s first British world champion in 2008.
Ian Edmond (MBChB, 2007)
Ian, who took two years out of study to focus on swimming, has held multiple records for breaststroke including two Commonwealth, one European, two British and eight Scottish.
Sir Peter Healy (BSc Civil Engineering, 1945)
Self-taught diver Sir Peter was a gold medallist at three Commonwealth Games tournaments. He also developed a distinguished career in sports management.
The University Court appoints new Secretary
The University Court has appointed Dr Kim Waldron as the University’s new Secretary.
Dr Waldron joins Edinburgh from Colgate University, New York, where she has been Secretary since 2003. An American citizen, Dr Waldron joined Colgate as Assistant Professor of Geology in July 1992, where she held a range of academic and support roles prior to her appointment as Secretary. The geologist has a PhD from Yale University and was a Postdoctoral Research Fellow at the University of Edinburgh from 1990 to 1992.
She said: “I am thrilled and honoured to be appointed to this very exciting role. I’m very much looking forward to working with new colleagues and returning to Edinburgh.”
As University Secretary and Head of the Student and Academic Services Group (SASG), Dr Waldron will have overall responsibility for the central secretariat, governance and planning functions, the registry and student services, as well as Student Recruitment and Admissions, the International Office, Communications and Marketing and Development and Alumni.
Dr Waldron succeeds Mr Melvyn Cornish who is retiring from the University having served as University Secretary and Head of SASG since 2002. She will take up her post in August.
The University’s Principal, Professor Sir Timothy O’Shea, said: “I was extremely pleased to have such a strong field of candidates for this position. I warmly congratulate Kim on her appointment and look forward to working with her and welcoming her to Edinburgh.”
Leading literary names selected for prizes
Four former Man Booker Prize winners and a debut novelist have been shortlisted for the £10,000 fiction award in the University’s James Tait Black Memorial Prizes.
Literary heavyweights AS Byatt, Anita Brookner, Kazuo Ishiguro and Hilary Mantel have all been nominated alongside newcomer Reif Larsen.
Contenders for the £10,000 biography prize include works on literary figures John Cheever, William Golding, Muriel Spark and Thomas De Quincey, as well as an account of the life of British ballet choreographer Sir Kenneth MacMillan.
The Prizes, the oldest literary awards in Britain, are the only book awards to be judged by scholars and students of literature. This year’s winners will be announced at the Edinburgh International Book Festival in August.
THE JAMES TAIT BLACK MEMORIAL PRIZES: THE SHORTLISTS
The fiction award
- *Strangers* by Anita Brookner (Fig Tree)
- *The Children’s Book* by A S Byatt (Chatto)
- *Nocturnes* by Kazuo Ishiguro (Faber)
- *The Selected Works of T S Spivet* by Reif Larsen (Harvill Secker)
- *Wolf Hall* by Hilary Mantel (Fourth Estate)
The biography award
- *Cheever: A Life* by Blake Bailey (Picador)
- *William Golding: The Man who Wrote Lord of the Flies* by John Carey (Faber)
- *Muriel Spark: The Biography* by Martin Stannard (Weidenfeld)
- *Different Drummer: The Life of Kenneth MacMillan* by Jaan Parry (Faber)
- *The English Opium-Eater: A Biography of Thomas De Quincey* by Robert Morrison (Weidenfeld)
Senate approves merger
The proposal for a merger between the University of Edinburgh and Edinburgh College of Art (eca) has been approved by Senate.
In working more closely together, both institutions can potentially benefit from additional income streams, enhanced facilities and services, increased public impact and new programmes of study.
If the merger goes ahead, a joint programme board co-convened by the principals of each institution will oversee the project. Each institution will also have its own steering group, and joint working groups in diligence/transition, communications/consultation and legal issues will support the project.
The work of these groups will culminate in a recommendation to the governing body of each institution at the beginning of session 2010–11. There will then be a formal proposal to the Scottish Funding Council and the Scottish Government. The earliest date for a merger would be 1 August 2011.
Reception celebrates long-serving staff
Around 120 long-serving staff members attended a reception held in their honour at the Informatics Forum earlier this year. The event recognised the contribution of employees who have been with the University for 25 years or more. There are 518 employees at the University who hold a minimum 25 years service. The University’s longest serving members of staff are Gordon Turnbull of the School of Physics & Astronomy and Brian Cameron of the School of GeoSciences. The pair share a 46-year anniversary having started employment at the University on the same day.
Students select best in teaching
The School of Informatics has been named Best Department in the second annual EUSA Teaching Awards.
The award was one of 13 given out in celebration and recognition of teaching excellence at the University. Other categories included Best Course, Best Overall Performer, Best Feedback and Best Research Supervisor.
A student panel selected the winners from 3,262 nominations made exclusively by students. A total of 420 academic staff, 155 courses and 55 departments were nominated for awards.
Professor Dai Hounsell, Vice-Principal Academic Enhancement, said: “This is an absolutely magnificent initiative. I think it’s helped change the way that we look at teaching in the University. It’s nudged us into recognising the absolutely outstanding teaching that’s done by many of our colleagues, but it’s also compelled us to acknowledge just how many excellent teachers there are across the University.”
Winners and runners-up
**Best Department**
Informatics (winner)
Chemistry (runner-up)
**Best Course**
Financial Services Marketing (winner)
Environmental and Community Biology (runner-up)
**Teaching in an International Context**
Yoko Takahashi, Japanese (winner)
David Price, Centre for International Public Health Policy (runner-up)
**Best Feedback**
Fabian Hilfrich, History (winner)
Paul McLaughlin, Biological Sciences (runner-up)
**E-Learning**
Phil Scott, Informatics (winner)
Simon Bates, Physics (runner-up)
**Innovative Teaching**
Mark Aspinwall, Politics and International Relations (winner)
Sarah Calvin, German (runner-up)
**Vitae Best Postgraduate Who Tutors**
Sean Brocklebank, Economics (winner)
Richard Brodie, Social Policy (runner-up)
**PricewaterhouseCoopers Teaching Employable Skills**
David Reay, GeoSciences (winner)
Tonks Fawcett, Nursing Studies (runner-up)
**Best Research Supervisor**
Richard Taftter, Business School (winner)
Jan Penrose, Geography (runner-up)
**Robert Kendell Award for Teaching in Medicine and Veterinary Medicine**
Susan Kerrison, Preclinical Veterinary Sciences (winner)
Graham Pettigrew, Veterinary Biomedical Sciences (runner-up)
**Simon van Heiningen Award for Teaching in Science and Engineering**
Paul McLaughlin, Biological Sciences (winner)
Colin Anderson, Engineering (runner-up)
Tom Bruce, Engineering (runner-up)
**Ian Campbell Award for Teaching in the Humanities and Social Sciences**
Dimitri Tsivillis, Social Anthropology (winner)
Lotte Hoek, Social Anthropology (runner-up)
**Overall High Performer**
Richard Milne, Biological Sciences (winner)
Claire Hagget, Geography (runner-up)
TEACHING REVIEWS
The following programmes will be reviewed during the academic year 2010/2011: Asian Studies; Ecology; European Languages & Cultures; Islamic & Middle Eastern Studies; Linguistics & English Language; Medicine; Nursing Studies; and Social Work. The review’s focal point is the Information support team in the School. Staff members or students with concerns about the review can contact Dr Tina Harrison, Director of Academic Standards and Quality Assurance (firstname.lastname@example.org).
AWARDS DEADLINES
The closing date for nominations for both the Tam Dalyell Prize and the Principal’s Medal is 10 September. The Tam Dalyell Prize rewards staff members who have demonstrated excellence in engaging the public with science. Nomination details are available from Deepthi de Silva Williams (email@example.com).
The Principal’s Medal recognises individuals or teams who have made a significant contribution to support or benefit the city community or beyond. More information is available from Jenny Buchanan (firstname.lastname@example.org).
BICYCLES+ EXTENDS AVAILABILITY
The University’s Bicycles+ scheme is now open to staff all year round. Bicycles+ is the University’s cycle-to-work scheme and is now being run with the assistance of Government initiative Cyclescheme. It enables employees to hire bike and safety equipment worth up to £1,000 over a 12-month period, by making tax-free payments from their monthly salary.
CLARIFICATION
In the 2010 spring edition of *bulletin*, we reported that robotic project Cybrathon had received a BAFTA Scotland award. The project was created by the FOUND Collective, which included Professor Simon Kirby and Barry (Zigg) Campbell from the School of Philosophy, Psychology and Language Sciences.
The fresh talent
Natalia Vergara Camelo (Colombia), Publications Assistant, the International Office
“My background in Colombia is in industrial design, although I was more involved with graphic design. I wanted to explore web design and new technologies, so I applied to the University’s MSc in Design and Digital Media. I always dreamt of doing a masters degree abroad and I wanted to improve my English. While I was doing my masters I worked as a clerical assistant in the International Office. I had the option of staying in Edinburgh after my degree because of the Fresh Talent scheme, so when the Office advertised for a publications assistant, I applied for the job and got it.
“The fact I was a student at the University means I can offer some input into student matters like immigration-related topics, for example. I can also relate to the perception of international students when they attend recruitment fairs.
“From what I’ve seen of Scotland, I think Edinburgh is the best place to live. The quality of life is very different from where I’ve lived before – Bogota, the biggest city in Colombia, and London. I’m not a big-city person.”
Broadening horizons
Our internationally diverse staff community makes a vital contribution to the University’s respected global reputation. Claire Simpson explores the benefits of being an international employer and talks to six employees from five different continents.
From Argentina to Armenia, Senegal to Saudi Arabia, the University’s staff community of almost 8,000 is recruited from more than 130 countries worldwide. The University’s ability to attract the best global talent helps it to maintain its position as one of the top 25 higher education institutions in the world. In recognition of this, the University has outlined in its Strategic Plan 2008–12 that increasing the number of international applications for academic posts is an important priority.
Sheila Gupta, the Director of Human Resources, explains: “It is vital for a research-led, global university to be able to attract the very best staff and students, and to do this you need to recruit as widely as possible. There’s a strong business case to be made for drawing staff from as wide a talent pool as possible to build a critical mass of knowledge. The more first-class staff you have, the more you are able to attract.”
The 2007 Universities UK report Talent Wars states that the outflow of senior-level UK academics slightly exceeds the number of those entering the UK higher education sector, demonstrating why it is crucial that the University can compete for the best international talent. The report also identifies that a programme of education reforms across a wide range of countries offers increased competition from the universities within the home nations of sought-after academic talent.
The University’s Human Resources team is looking at new and innovative ways to develop a more targeted recruitment strategy to attract the very best international staff and to support them from early on in the recruitment process right through to their first few working months with the University and beyond. This will include the provision of a dedicated and tailored website to provide a wide range of information and guidance for staff as well as a more comprehensive and structured relocation assistance programme.
Melanie Macpherson, who joined the University’s HR team in April as a Policy Lead in Recruitment, says, “At the moment we are looking to develop a more consistent and comprehensive strategy targeted at this group of staff and one which can be broken down into a suite of policies and practices specifically designed to attract and support the international staff agenda.”
Melanie commends the current provision for welcoming international students to the University and is hoping to implement similar support for new international staff. “It’s about performance,” she explains. “If we can help employees and their families get up to speed and be comfortable quickly with life in the UK, they’re going to perform at work better in a shorter space of time.”
Melanie adds: “While we are not yet experiencing widespread recruitment and retention difficulties, there are growing areas where recruitment is becoming more challenging and in the longer term skills shortages may become a very real factor. We are not just competing against our UK university peers but against other world leaders. It is an enormous global playing field and we need to continue to ensure we are in a position to compete with the very best.”
Sethu Vijayakumar (India), Professor of Robotics, the School of Informatics
“As an undergraduate I studied applied maths and computer science in India. Then I did a masters and PhD at the University of Tokyo, Japan, and I was a postdoctoral researcher for a year there at the RIKEN Brain Science Institute. I moved to Los Angeles in 2000 and was based at the University of Southern California for nearly four years before I came to Edinburgh.
“Moving from the US to Europe is a big step for an academic, particularly in the field of robotics and computer science, and Edinburgh, I felt, was a cut above the rest. Edinburgh has one of the top schools in the world. It is renowned as the place where artificial intelligence research originated and therefore has a very strong history in the subject, and also a strong culture of interdisciplinary research.
“My diverse academic trajectory across different cities and cultures has held me in good stead because now I have collaborators all around the world. As a professor in a leading institution like Edinburgh, your research is constantly being judged on an international standing and you have got to cut it with the rest of the world.
I think Edinburgh feels a bit like home now. I have a large research group here and I have an exciting and engaging group of academic peers. I’m very happy with where I’m going both academically and socially.”
The settled scholar
Shenxiao Tong (China), Liaison Librarian, the School of Languages, Literatures and Cultures
“I came here in May 1993 under Chinese Government funding to do research and improve my knowledge of English language and literature. By the end of my one-year visit, I received scholarship assistance to enable me to do a PhD in English Literature. Towards the end of my studies I was employed by the University to look after the East Asian collection.
“My work mainly involves supporting Chinese and Japanese studies and I am especially responsible for developing Japanese and Chinese collections. The role makes best use of my own cultural background and also my knowledge of the English language. I enjoy the cross-cultural contact.
“I maintain a close connection with China. In 2007, the University went to Beijing for a ceremony to mark the achievements of Chinese graduates. I helped with the communication and interaction with Peking University.
“I am impressed by the peacefulness and beauty of the Scottish landscape and the friendliness of the people. Scotland is my second home.”
The people person
Anne Sofie Laegran (Norway), Knowledge Exchange Manager, Edinburgh Research and Innovation
“I did a PhD at the Norwegian University for Science and Technology, also known as NTNU. In Norway, as a PhD student you’re a member of staff and some of the work I did was engagement-type activity and CPD development. With Norway being a small and wealthy country, you get a good grant to go abroad, so I came to Edinburgh. My supervisor had connections here with the Research Centre for Social Sciences, which is hosted within the University’s Institute for Science Technology and Innovation Studies.
“I fell in love with the city and a colleague and decided to stay. After my postdoc I also decided I didn’t want to continue an academic career. I wanted to do something with shorter deadlines and quicker results and I wanted to work with people more.
“I got a job at Edinburgh Research and Innovation as Research Development Officer and then moved on to knowledge exchange after a couple of years. I encourage academic staff to engage more with the wider world, which includes policymakers, practitioners, business and the public.
“There’s a lot we can benefit from in engaging globally, particularly as a small country. A university should operate on a global scale. In Norway, Edinburgh is perceived as an international university, and a world-leading university. I’m proud to be working here.”
The flourishing fellow
Amy Buck (US), Advanced Research Fellow, Centre for Infection, Immunity and Evolution
“I did my PhD at the University of Colorado, working on the biophysical properties and functions of ribonucleic acid (RNA). I wanted to move this work into the area of virology and infectious diseases and was interested in doing a postdoc abroad. I made contact with Professor Peter Ghazal who is the head of the University’s Division of Pathway Medicine.
“Peter hired me on a project related to nucleic acid biosensors, which was right up my alley and helped me gain more experience in technologies at the Division of Pathway Medicine. While I worked on the biosensor project I wrote a Marie Curie International Fellowship.
“I’ve recently been awarded an Advanced Fellowship through the Wellcome Trust Centre for Immunity, Infection and Evolution. This has been a very fun role because the Centre is aimed at bridging different disciplines. It’s very rewarding when other people are interested in your work and you can feed off each other, learning about other people’s systems and sharing ideas. It takes everybody further.
“I thought Edinburgh would be a wonderful place to live for a couple of years. I hadn’t planned on staying but the city and the University both have a lot of appeal.”
The sought-after specialist
Afeosemimi Adogame (Nigeria), Professor of World Christianity, the School of Divinity
“My connection to the University of Edinburgh began when I was involved in research and teaching in Germany. On a London fieldwork trip in the mid-1990s, I was looking for literature about different African churches in the UK and Europe. I visited all the major academic libraries in the UK – the University of London, King’s College, Oxford, Cambridge – but found nothing. My last stop was the University of Edinburgh because I’d heard of its Centre for Christianity in the Non-Western World. I found a lot of what I was looking for here.
“It was actually in 2005 that I got to hear about the World Christianity Lectureship. Strangely I heard about it in Tokyo, where I was attending a conference. Colleagues from Edinburgh approached me and said they’d been thinking of me for the role. It was a big transition to go from a very obscure university town, Bayreuth in Germany, to a bigger city but it was a good one.
“I’m presently the General Secretary of the African Association for the Study of Religions, which is a transnational organisation that cuts across all continents. It gives me the chance to network. The Association is interested in collaboration between scholars on both sides of the Atlantic, building networks and relationships and intellectual exchange.”
Quality and regular evaluation of a student’s work plays a vital role in their academic growth. Claire Simpson reports on the University initiatives designed to support teaching staff to further the potential of their students.
The labyrinthian second floor of the University’s William Robertson Building belies the open and accessible teaching environment that its resident History teaching staff are striving to create. While visitors may find the building’s series of interlinking corridors difficult to navigate, once they reach their destination an open-door policy is immediately apparent.
Fabian Hilfrich, a lecturer in American History, remarks: “In general we are very accessible and although some colleagues are more so than others, we do encourage students to come and talk to us if they have any questions.”
History’s Fabian Hilfrich has been credited by students for his efforts in delivering constructive feedback. He received the student-nominated EUSA Teaching Award for Best Feedback as a result of introducing non-written skills assessment into his United States and Vietnam course. He marks students on their presentations in class, as well as their general verbal participation.
“I’ve given students extensive feedback on their non-written skills and I do think they’ve found it helpful,” he explains. “Non-written skills have traditionally been very hard to second mark and externally examine, which is why colleagues have shied away from doing this, but with the encouragement from our Director of Undergraduate Studies and the College, some of us have started experimenting with it, and students like it.”
Student feedback is of specific concern for EUSA, which is working alongside the University’s senior officials to improve satisfaction in this area. The University has, in the past, underperformed in the National Student Survey in this area and, as Evan Beswick, EUSA’s Vice-President for Academic Affairs, explains, long turnaround times and variability of quality are anecdotally areas that need to be improved.
“Students who have been part of really positive feedback processes recognise how valuable it is,” he adds. “The value of feedback is in the professional and experienced analysis of a student’s work.”
Conflicting pressures brought on by research commitments, administrative tasks and teaching responsibilities can sometimes present obstacles to staff who would like to devote more time to developing feedback processes.
Professor Dai Hounsell, Vice-Principal Academic Enhancement, acknowledges this and has placed the improvement of feedback at the heart of his agenda.
“Part of me thinks student dissatisfaction with academic feedback reflects the changing nature of universities. We’ve got staff who are under various kinds of pressures to achieve in many different ways. Our student population has increased significantly too. When I came here in 1985, there were about 8,000 students and now there are about 27,000 students. That’s a huge difference.”
For the past 18 months, the Vice-Principal has been driving a number of measures to help support Schools in this area, beginning with encouraging Heads to create a feedback action plan, specific to their subject’s own academic needs. “The results are deeply impressive,” says Dai. “Schools are introducing an imaginative array of strategies to strengthen and enlarge the opportunities for students to get quality feedback on their work.”
To support teaching staff, the University is launching a Feedback Standards & Guiding Principles document, which sets out an expected standard for preparing and delivering feedback. It will be supported by a planned online resource that will share examples of best practice.
Additionally, a review of the University’s academic structure could help to factor feedback into the learning process at points when the student can really benefit.
“You can improve the feedback you’re giving without making additional demands upon yourself. Feedback is intrinsic to the learning process.”
Professor Dai Hounsell
Vice-Principal Academic Enhancement
“With our semester-based teaching structure, what classically happens is that assessments crowd towards the end of the semester, which can create problems for feedback because often it does not come back in time for the exam,” Dai points out. “So what we’re encouraging staff to explore is making feedback ‘feed-forward’, as it does in doctoral supervision.”
Dai is also keen to promote teaching methods that build feedback into the learning process. Examples of this include elective feedback, where students have the option to request comments on specific areas of their work when handing in an assignment; peer and self-generated feedback, where students are encouraged to support and evaluate each other’s work in class; and exemplars, model exam answers or essays.
“It’s about working smarter rather than harder,” Dai comments. “You can improve the feedback you’re giving without making additional demands upon yourself. Feedback is intrinsic to the teaching and learning process.”
EUSA’s Evan Beswick adds: “We’re long overdue an institution-wide refresh of courses to make them much more relevant to the 21st century and to a large and diverse student body, and now is a great time to do that.”
Seven feedback standards
1. Every course will provide opportunities for students to receive feedback on their performance and achievements.
2. Feedback will be prompt, informative and helpful.
3. Course and programme documentation must inform students when, where and how feedback is offered.
4. Assessment expectations, standards and marking criteria should be clearly communicated to and discussed with students.
5. Students are expected to take careful note of feedback and apply it to their learning.
6. All teachers and assessors are expected to reflect upon, review and update their expertise.
7. The provision of feedback must be regularly monitored in quality assurance procedures and issues identified must be acted upon.
Taken from the University of Edinburgh’s Feedback Standards & Guiding Principles. For more information, visit www.tla.ed.ac.uk/feedback.htm.
The University’s connection to the Edinburgh Festival Fringe can be traced to the 1950s when a group of students opened a drop-in centre, which was used by many performers in need of cheap food and a bed for the night. The following year, the students set up in Old College a central box office and café for performers. Today, the University offers space and venues for Fringe productions from all over the world. Last year, **666,431** University campus festival tickets were sold by tenants including Underbelly, Pleasance, Assembly and C Venues. Also in 2009, **19,473** attendees passed through Fringe Central at Appleton Tower.
The University’s involvement in the Edinburgh International Festival, the Edinburgh Festival Fringe and also the Edinburgh International Science Festival is coordinated by the Festivals Office. Based at Pollock Halls, this team of three works all year round, ensuring the smooth transition from University campus to a bustling centre for one of the world’s biggest arts events.
Clockwise from above: the Informatics Forum is at the heart of the action; performers promoting their shows; Bristo Square illuminated, ready for the drama of Festival nightlife.
Clockwise from top left: shows aplenty at Bristo Square; the University plays host to the Underbelly Hullabaloo; Chinese lanterns brighten up George Square; the Beijing Film Academy’s 2009 production of *A Midsummer Night’s Dream*; the McEwan Hall gains a new neighbour.
Cutting it on equality: are women
Yes, says Dr Fiona Mackay (School of Social and Political Science) who argues that UK political parties need to demonstrate a greater commitment to gender diversity, while Dr Esther Breitenbach (School of History, Classics, and Archaeology) charts the historical progress of women in politics.
“There is substantial international research evidence that women candidates face significant barriers in the political recruitment process.”
Illustration: Harvey Dingwall, Edinburgh College of Art
It was an election that seemingly rewrote UK politics and promised a ‘new politics’. But, in one respect at least, the face of British politics has remained unchanged: It is largely white and male. The new Prime Minister and Deputy Prime Minister are white men, as are all but four members of the new coalition Cabinet. The number of women elected to Westminster did rise to a record high, but in the overall context of women’s minority status in politics, that is not saying much: it adds up to an increase of just 16 female MPs, and a total of 142 (22 per cent). In other words, 78 per cent of the new parliament is male.
The 2010 election campaign was marked by the curious absence of female politicians: there were no women promoting party manifestos, making speeches or representing their parties in the media. Senior Westminster figures such as Labour’s Harriet Harman and Yvette Cooper, and the Conservative’s Theresa May, were largely invisible in the campaign. The same was true in Scotland where high-profile candidates such as former Scottish executive ministers Margaret Curran and Cathy Jamieson received little coverage. The invisibility of political women was much discussed by feminist media commentators and women’s organisations, but with little discernible impact on the political parties.
Much of the blame rests with the ‘presidential-style’ campaign for relegating female politicians and women’s issues to the sidelines. The 2010 election was dominated by the televised leaders’ debates. Based on the US Presidential television debates, they were introduced to inject ‘new life’ into the election campaign process. They were groundbreaking as a UK media ‘first’ but were depressingly familiar in other respects. The all-male UK political leaders and the all-male Scottish political leaders were put through their paces by...
I wasn’t until 1928 that the UK achieved universal franchise. In 1918 only women over 30 got the vote, and this partial enfranchisement was the culmination of decades of campaigning for women’s suffrage. During this landmark year, women were also enabled to stand for Parliament, a right they have exercised ever since, although women’s representation in Parliament remained low throughout the 20th century. Only in 1997 did significant advance occur, with women comprising 18.2 per cent of all MPs elected, almost doubling the 9.2 per cent achieved in 1992.
In 1918 several suffragettes stood for election, among them Christabel Pankhurst in Smethwick and Eunice Murray in Glasgow, though both were unsuccessful. The first woman elected to Westminster was Constance Markievicz, in December 1918, but as a Sinn Féin member she did not take her seat. Nancy Astor, elected at a by-election in 1919, was the first woman to do so. Megan Lloyd George and the Duchess of Atholl became Wales’ and Scotland’s first women MPs in 1922 and 1923 respectively. Margaret Waring, elected in 1929, was Northern Ireland’s first woman MP. Though there were few female MPs in the inter-war years, several became government ministers, with Margaret Bondfield, appointed in 1929 as Minister of Labour, being the first female Cabinet Minister.
The record of women serving in governments is thus a long one, and the UK has of course achieved the distinction of having a female Prime Minister, even if the legacy of Margaret Thatcher is an ambiguous one. She herself was no active promoter of gender equality, though other women MPs have been prominent champions of policies benefiting women – for example, Eleanor Rathbone, who fought for family allowances, Barbara Castle, who saw the Equal Pay Act through Parliament, and, more recently, Labour MPs, such as Harriet Harman, who have been active advocates of policies to combat violence against women.
Historically, women’s representation in formal political institutions has been the focus of organised action by women across the UK. Many suffrage societies became Women Citizens’ Associations or Societies for Equal Citizenship after 1918, aiming to secure votes for all women, and to ensure women’s representation in Parliament and local government. At the same time women’s membership of political parties increased. As fundraisers, organisers of social events and political propagandists, women played a crucial role in sustaining party organisation. Nonetheless, a distinct gender division of labour remained within parties, and women seeking selection as candidates were often discriminated against.
Recently, the issue of women’s representation has become increasingly salient. The Scottish devolution campaign of the 1990s brought it particularly to the fore, resulting in measures which led to a Scottish Parliament with 37.2 per cent...
all-male media presenters. Most of the campaign media coverage concentrated on the party leaders, or the outfits and activities of their wives. Headlines such as ‘Disparate Housewives’ and ‘Election War of the Wives’ signalled a step change in media interest in political spouses, and the deliberate and high-profile deployment of wives as campaigning tools by political parties. On the one hand this is modern and further evidence of a new presidential style; it is also the case that the ‘First Ladies’ involved are more Michelle Obama than Laura Bush. However, the predominant portrayal of women as spouses, playing subsidiary, traditional gender roles marks a new nadir. It does an injustice to the female politicians airbrushed out of this campaign, and it belies the variety and diversity of women’s lives in modern UK society.
This was an election that could have been so different and the failure to make significant headway on this issue is a wasted opportunity. The unusually high number of MPs leaving Parliament at this election – around one in five – presented a once-in-a-generation chance to improve the diversity of the Commons, including greater gender balance. All political parties espoused their support and the number of women selected for winnable seats was higher than ever before. The overall outcome is, however, less impressive: across the parties, the average percentage of female candidates fielded rose only marginally from 20 per cent to 21 per cent. The percentage of women MPs elected has risen from 19.5 per cent to 22 per cent. Although the Conservatives almost doubled its percentage of women MPs from 9 per cent to 16 per cent, the party fell far short of its 30 per cent target.
The issue of women’s representation is internationally viewed as ‘shorthand’ for the normative goals of inclusive, modern democracy, social justice and development. There is substantial international research evidence that women candidates face significant barriers in the political recruitment process, and that strong ‘equality guarantee’ measures such as quotas are most likely to result in improvements in women’s political representation. The results of the 2010 General Election demonstrate how far there is to go to achieve gender parity at Westminster, or even the levels of representation at the Scottish Parliament and Welsh Assembly. If political parties in the UK are serious about making real advances, then they must make a firm commitment to further action, including the greater use of equality guarantees such as all-women shortlists (at present only used by the Labour Party). A first step would be to revisit the recommendations of the recent all-party Speaker’s conference on parliamentary representation. Until then, new politics Westminster-style will fail to deliver its promise.
Fiona Mackay is a Senior Lecturer in Politics & International Relations. She also serves as Director of the Graduate School of Social and Political Science. Her most recent book, a co-edited collection entitled *Gender, Politics, and Institutions: Towards a Feminist Institutionalism* (Palgrave) will be published in November. Her piece draws upon a longer election report co-written with her colleague Dr Meryl Kenny.
In Scotland, Wales and Northern Ireland, women used the opportunity of constitutional change to good effect. Now that the 2010 UK election has provoked renewed debate about constitutional change – concerned both with voting systems and the distribution of powers within and between political institutions – new opportunities to claim equality of representation are likely to arise. Feminist historians have mounted a determined challenge to the previous historical orthodoxy that women’s gaining of the vote had little impact on political life in the UK until the late 20th century. Women in fact demonstrated throughout the century a continuing commitment to active citizenship both within the sphere of formal political institutions and political parties and within the wider sphere of civil society, and for this reason we can expect the demand for parity in political representation to continue to be a feature of UK politics.
Dr Esther Breitenbach is a Research Fellow. She is a committee member of Women’s History Scotland. Her most recent book, co-edited with Pat Thane, is *Women and Citizenship in Britain and Ireland in the Twentieth Century* (Continuum).
Mastering marketing
As Assistant-Principal for Taught Postgraduate Programmes, Dr Sue Rigby is responsible for developing the University’s portfolio of masters programmes. To support academic staff develop postgraduate provision, Sue worked with Communications and Marketing to create the Developing Successful Edinburgh Masters Toolkit. Here, she talks us through that process.
Why is the Toolkit necessary?
I think it’s now widely recognised that part of the University’s strategic plan is to develop new postgraduate programmes. It’s not that we don’t already have lots of successful masters – we’re very good at providing them – it’s just that many appeared from valuable ideas within academic niches that are now filled. So what’s left is the next set of masters waiting to be developed, and that process will involve working with Schools and Colleges and using and applying market analysis.
Many academics are very skilled at teaching but are less experienced when it comes to assessing what the market can bear. So, we had to take the specialist expertise available in Communications and Marketing and port it much more widely in a form that we hoped academics and senior administrators could absorb and apply.
How did you develop and promote the Toolkit?
We spent about 10 months working on a series of guiding principles that would help people set up masters programmes. We did that with colleagues from all three Colleges and lots of different interest groups.
We set up a workshop and invited academics from all the Schools who are involved in running masters provision. Colleagues from Communications and Marketing gave presentations, as did academics who had recently set up successful projects. We started to see a synergy between what those academics had done and what others wanted to do, and with what Communications and Marketing had generated with this document they’d written.
How can people access the Toolkit?
The document can be downloaded from the Communications and Marketing website. We also ran a second event in Science and Engineering, offering to talk it through with anyone who wants to use it. It’s the IKEA-style ‘how to put together your masters programme’, so for it to be useful it needs some contextualisation.
How have academics reacted to it?
People instantly wanted more. We’ve identified a hunger in the University for more short documents that help people do things. The University has become a lot more complicated in the past few years, and everybody’s jobs have become more complicated as a response to that, so it’s useful to have navigating tools.
Will there be follow-up work with Communications and Marketing?
A lot of academics have identified that while it’s worthwhile to do market research and discover a potential market for a new interdisciplinary masters, there is still a need to make people outside the University aware that it’s running.
We’ve produced a generic marketing package that’s available to anybody who runs masters programmes. Communications and Marketing will offer it on demand to anyone for low cost. It’s a minimum package but it means that if somebody is interested in trying marketing or advertising to help their recruitment, they can use it to assess whether a little change can help and then decide whether a School budget might be charged with a more intensive marketing campaign.
How important was the involvement of Communications and Marketing in this project?
It’s been absolutely vital. What it’s begun to do is give us one model where a very large university can use a very small set of experts without overwhelming them.
We live in silos in this University. Academics do one thing, administrators do another, and people who work for the central support services in these expert capacities do something else. I think if the University is to be all that it can be, it needs to break these silos down because otherwise we’re not making the most of the talent that we have.
The Developing Successful Edinburgh Masters Toolkit is available for download from the Communications and Marketing website. If you would like help and advice in launching or promoting your programme, contact Dr Sue Rigby (email@example.com) or Deepthi de Silva Williams (firstname.lastname@example.org).
Professor Currie named ‘Woman of Influence’
Candace Currie (pictured first on the left), Professor of Child and Adolescent Health, was named a ‘Woman of Influence’ by leading children’s charity Action for Children Scotland. She was one of 10 female Scottish public figures to be awarded the accolade in celebration of the charity’s 10th anniversary. Professor Currie is the Director of the University’s Child and Adolescent Health Research Unit. She is also the International Coordinator for the Health Behaviour in School-aged Children, a research study conducted in collaboration with the WHO Regional Office for Europe.
Green champion listed
David Somervell, Sustainability Adviser with Estates and Buildings, has been named as one of Scotland’s most inspirational individuals in making Scotland more sustainable. He been selected for the Scottish Green List 2010, a roll call of the top 20 individuals who steer initiatives that help our environment.
From more than 100 nominations, the final 20 were selected by a judging panel that included representatives from business, academia, community projects and the media. Those who made the list will be invited to join the Scottish Sustainable Development Forum and the Scottish Green List Network, which will enhance opportunities for sharing, developing and lobbying ideas.
The University of Edinburgh was one of 25 universities to receive a first-class award in the People and Planet Green League 2010, and was ranked 13th out of 133 UK universities.
Margaret ‘Mags’ Jordan retires from KB House
At the age of 76, Margaret Jordan, receptionist at EUSA’s King’s Buildings House, has retired after many decades of service. Her manager, Margaret Gray, pays tribute to her service.
There are few individuals that are so well known, so well regarded, that they surpass the need for a surname, but to the thousands in King’s Buildings House that have over the years known Margaret Jordan, she will always be known simply as Mags.
Mags first came to work at the University of Edinburgh in 1967. Her influence and character were present even in those early days and she quickly made friends with many undergraduate students of whom she fondly talks and with whom she still keeps in touch. EUSA took over King’s Buildings House in 1994 and a young Mags, then aged 60, chose to remain working.
Length of service may be admirable, but it is Mags’ attitude that is outstanding. She was recently awarded an honorary life membership from EUSA, and will always be held in great affection not only by those who have known her in the past but by those students and staff who attend KB today.
Mags’ future plans involve spending time with her own family and possibly her adopted family of the hundreds of graduates who regularly invite her to visit them worldwide. She is certainly one of a kind and will be sorely missed at KB. We wish her continual happiness in her retirement.
Celebrated physicist views garden tribute
Peter Higgs, the University’s Emeritus Professor of Theoretical Physics (pictured centre), visited the Dumfries-based science-themed garden of landscape architect Dr Charles Jencks, where a sculpture of the Standard Model of Physics pays tribute to his groundbreaking work.
Professor Higgs was accompanied by Professor Rolf-Dieter Heuer, Director General of the European Organisation for Nuclear Research (CERN), who is in discussions with the architect to design a similar garden at CERN.
Leadership honour for the Principal
The University’s Principal, Professor Sir Timothy O’Shea has been presented with the 2009 CASE Europe Leadership Award.
He received the award in recognition of the leadership ability he has demonstrated throughout his career, notably through achievements while at Edinburgh, such as the creation of the position of Vice-Principal Development, and the launch of the University’s £350 million fundraising campaign, the largest of its kind in Scottish higher education.
Kate Hunter, Executive Director for CASE Europe, said: “Professor Sir Timothy O’Shea is passionately committed to helping students gain access to a quality education and has worked assiduously to enhance the image of the institutions he has led by implementing development and marketing programmes.”
Role play
Name: Lorna Sinclair
Role: Director, Leadership Development
Department: Corporate Human Resources
What is your role at the University?
My role is to initiate, develop and advise on initiatives and programmes to help staff develop their skills and expertise in leading and managing people.
Why does the University need someone to do your job?
To enhance the overall performance of the University’s employees and help them realise their potential.
What essential qualities and skills does a person need to do your job?
Good listening skills, discretion, the ability to influence and versatility.
What are the best elements of your job?
Working with a diverse range of interesting people across the whole University and realising that some initiative or programme has helped someone to do their job better and more confidently or has contributed to a department moving forward.
And the worst…?
Not having enough time to deal with all the demands for leadership development.
In another life, what job would you do?
Sue Barker!!! As a sports interviewer or commentator I could go to all the world-class sports events.
If you would like to nominate yourself or a colleague for this slot, please email email@example.com.
Ensuring that things go smoothly in a research institute with hundreds of scientists is no small feat. Yet, this is something that is all part of Dr Sharon Hannah’s working day.
As well as being the Centre Manager for the Centre for Inflammation Research, Sharon plays a role in the running of the Queen’s Medical Research Institute within which the Centre is based and where some 600 researchers work.
Originally a biomedical scientist, she completed her PhD at the University of Edinburgh in 1992 before becoming a Postdoctoral Research Assistant for Professor Chris Haslett. Yet, her career took on a different path when she was appointed Laboratory Manager at what was the University’s then Respiratory Medicine Unit.
“I enjoyed my time as a research scientist and fondly remember that bench science inspires feelings of incredible highs when things go well but incredible lows, followed by defiance, when they don’t, so I can empathise with my colleagues who are following a research career path,” she says. “I enjoy the organisational side of science so management was a natural step for me but my favourite moments are those that involve the award of a grant or the publication of a paper, against the odds, to colleagues in the Centre”.
Sharon has played a major role in encouraging many young scientists both at pre-doctoral and postdoctoral level, offering advice on overcoming problems, in addition to managing an annual research budget of more than £10 million.
Sharon also played an instrumental role in setting up the £50 million Queen’s Medical Research Institute (QMRI) at Little France, which opened in 2005. This included liaising with designers, architects, technical teams and researchers and applying for funding.
“The ethos for the QMRI was to bring together groups who were separated by geography but who could be inspirational to each other if the boundaries could be bridged, and it is lovely to see researchers, who were previously based across sites and did not see each other, now meet up and go for coffee to discuss ideas,” she explains.
“It has also been a pleasure and an honour to see how Professor Haslett’s and Professor Sir John Savill’s original idea and dream of the Institute has worked.
“The move to QMRI was viewed by everyone as a goal not a challenge and we bonded together and created an Institute despite tight deadlines. Without exception, everyone who moved pitched in and made the process a joy to manage, plus set the standard that we are an Institute and we work together.”
Sharon was also selected to receive the Royal Society Hauksbee Award. The award, named in honour of Isaac Newton’s assistant Francis Hauksbee, was given out for the first time this year to 10 ‘unsung heroes’ in science as part of celebrations marking the Society’s 350th anniversary.
However, she stresses that it is the teamwork of those around her that has helped her achieve this recognition.
“I have the privilege to work with many great people, often behind the scenes, and the award is very much a reflection of the unique teamwork by all the support staff, which takes place within the University, Medical Research Council units, the Roslin Institute and associated units. I am very proud of all the teams which help me to do my job. The award belongs to all of us,” she says.
My favourite moments are those that involve the award of a grant or the publication of a paper, against the odds, to colleagues in the Centre.
DR SHARON HANNAH: CV
1984–1988: BSc Biochemistry, Heriot-Watt University
1988–1992: PhD, the University of Edinburgh
1992–1997: Postdoctoral Research Associate, Respiratory Medicine Unit, the University of Edinburgh
1998: Laboratory Manager, Respiratory Medicine Unit, the University of Edinburgh
1999–2007: Centre Manager, MRC/The University of Edinburgh Centre for Inflammation Research
2007–present: Senior Laboratory Manager and Business Manager, MRC/The University of Edinburgh Centre for Inflammation Research
James Scott Robson (1921–2010)
James Scott Robson, Emeritus Professor of Medicine at the University of Edinburgh, died on 14 March 2010, aged 88. His achievements resulted from his outstanding abilities as a clinician, research worker, teacher and administrator.
James came to Edinburgh to study medicine at the outbreak of war in 1939. Three years later he was awarded a Rockefeller Foundation Studentship and sailed to America to complete his medical training, surviving a torpedo attack off the Canadian coast.
In 1944 he graduated MD from New York University Medical School and continued his studies in Edinburgh, gaining his MBChB with honours in 1945 and MD with commendation 18 months later.
From 1945 to 1948 he served as a Captain with the Royal Army Medical Corps in India, Palestine and Egypt, and following demobilisation he worked briefly at Edinburgh Royal Infirmary Clinical Chemistry Laboratories.
During the 1950s James carried out extensive research before helping to establish Edinburgh’s renal biopsy service and the Acute Renal Failure Service at Edinburgh’s Royal Infirmary. He became Reader in Therapeutics in 1961, Reader in Medicine in 1969, and Professor of Medicine in 1977. During this time he helped modernise Edinburgh’s undergraduate medical curriculum and made a significant contribution to postgraduate education and training.
James was a superb bedside teacher, an excellent lecturer and a gifted writer. He died quietly at home following a period of hospitalisation. He is survived by his wife, Mary, and two sons.
His colleagues
John Adamson (1947–2010)
John Adamson died on 5 February 2010. He joined the University in 1980, as a Dental Instructor in the University’s former Department of Preventative Dentistry in the then Faculty of Medicine, following 13 years as an orthodontic technician with the Edinburgh Dental Hospital.
John contributed greatly to the orthodontic technical teaching of BDS students and also gave technical support to the research activities of clinical colleagues in the department, as well as pursuing his own research activities in the area of development of novel types of orthodontic appliance for specific treatments.
When the dental school closed, John embarked on his second university career, successfully re-training to become the University’s first professional Occupational Hygienist. John’s role, to which he took like a duck to water, allowed him to address a wide variety of issues across all campuses of the University.
Whatever task came his way, John could be relied upon to bring to bear the same combination of dedicated professionalism, attention to detail, and commitment to the wellbeing of our staff and students. These qualities helped him to become a valued member of the British Occupational Hygiene Society, for which he was latterly Scottish Coordinator.
We’ll all miss the great friend and sterling colleague who was John. On a personal level, I’ll sorely miss the comfort of knowing that any task I asked John to perform would be carried out entirely professionally with the utmost competence.
Tom Stevenson, Operations Director, Scottish Microelectronics Centre
Alastair Reid, Director of Health and Safety
Alec Ruthven (1953–2010)
Alec Ruthven died at home on 4 February 2010. He had more than 40 years of service at the University, having joined the department of Electrical Engineering as a junior technician after leaving school in 1969.
The Wolfson Microelectronics Liaison Unit was set up the previous year, establishing a research activity in microelectronics that continues to this day. Alec became involved with microelectronics during his training and rapidly became a key player in the group, specialising in the bonding and packaging of devices.
In addition, he helped to establish a series of clean rooms to provide the controlled environment and support facilities for microfabrication, culminating in the custom-designed building for the Scottish Microelectronics Centre (SMC).
At SMC, Alec helped to ensure the smooth running of the clean room facilities and provided technical support for the research activity. Alec helped hundreds of PhD students, academics and research staff to advance their careers. His considerable technical knowledge was always freely shared and he was happy to help anyone and everyone.
Outside the University, Alec had a very rich social life. He was an Honorary Life President of Carrick Knowe Bowling Club, and his tales from sea angling expeditions to far-flung ports such as Kinlochbervie and Arbroath were legendary.
Alec was larger than life in every sense. He had an uncanny knack for getting things done in a cheerful way, and his contribution to SMC was immense.
Spot the difference
Win a unique tweed tie, courtesy of Walker Slater, by identifying the differences in our Spot the Difference puzzle. Compare the two pictures on the right. The image on the far right differs from the one on its left. You are looking for five differences. Circle each one and send your entry in by Monday 16 August. All correct responses will be placed in a draw and a winner will be selected at random and notified by email. Send your entry and email details to our address on page 2. The previous winner was Fiona Mackintosh, the School of Literatures, Languages and Cultures.
Walker Slater
Tweed and fine tailoring
20 Victoria Street
0131 220 2636
walkerslater.com
The University of Edinburgh Visitor Centre
Next time you’re in Edinburgh, drop in and see us at the University’s Visitor Centre.
Full of great gift ideas and University merchandise, there’s also a bookshop, free information and a great exhibition packed with interesting facts about the history of your University. We’re just next to Potterrow, between Bristo Square and George Square, at:
2 Charles Street
Edinburgh EH8 9AD
T 0131 650 2252
F 0131 650 2253
E firstname.lastname@example.org
noticeboard
It costs £5 to advertise in bulletin, which is published three times a year.
Please email your ad, maximum of 40 words, to email@example.com and send a cheque payable to the University of Edinburgh to Small Ads, Communications and Marketing, C Floor, Forrest Hill Building, 5 Forrest Hill, Edinburgh EH1 2QL.
Only current members of staff and students are eligible to place an ad.
Holiday let
Austrian mountains
Three-floor traditional chalet built in south-facing meadow at 950m in a rural location in the Dachsteins; close to lakes, forests, and walks. 15 minutes to downhill ski-slopes, well equipped for all seasons, sleeps 10+.
Tel 0131 447 2231
firstname.lastname@example.org
www.mirlhofchalet.co.uk
To let
Self-contained furnished flat
Self-contained furnished flat in detached Newington house. Double and twin bedrooms, lounge, dining room, new kitchen, bath/shower room, GCH, microwave, washer and drier, garden. Available from August–September.
Tel 0131 667 5189
email@example.com
Beautiful family house
Roomy Georgian house close to schools, shops, walk to theatres, cinemas, etc. 15 minutes’ walk from University. Mature walled garden. Beautiful, live-in, kitchen-diner, lounge, study, four bedrooms, two bathrooms. Available (furnished) for year 2011.
Tel 0131 229 4898
firstname.lastname@example.org
For sale
Two-bedroom flat
Light and airy two-bedroom flat for sale, £127,000, fixed price for quick sale as family is growing. Great views of Firth of Forth. Great bus service. Good schools. Viewings Thurs 6-8pm, Sun 2-4pm.
Contact Katie Morgan
Tel 0131 242 9123
www.espc.com/buying/286320.html
Accommodation wanted
Canadian academic couple plus young child seek a quiet flat or small house for any 10 months in 2011. Ideally within reasonable walking distance of the Botanical Gardens or George Square. Our dates are flexible.
email@example.com
Couple with two small children looking for three-bedroom property to let, for a minimum of six months from end of July/beginning of August. Ideally with access to garden and good transport links to city centre.
Tel 07824 305 887
firstname.lastname@example.org
Showcase
In every issue of bulletin we profile an item from the University Collections.
Dawn and Night
Workshop of Antonio Susini after Michelangelo c.1600
This is one of a pair of reduced versions of Michelangelo’s Dawn and Night from the Medici Chapel, San Lorenzo, Florence. The originals are paired with male figures, Dusk and Day. Many small bronze versions of these sculptures from all periods exist. These are good copies, and although previously catalogued as by an unknown sculptor, were convincingly reattributed by Sotheby’s in 1992 to the workshop of Susini.
Dawn and Night are part of the Torrie Collection held within the University of Edinburgh Fine Art Collection and will feature in a forthcoming exhibition of Torrie sculptures in the Main Library.
|
PETITION FOR JUDICIAL REVIEW OF A DECISION OF THE KANSAS DEPARTMENT OF HEALTH AND ENVIRONMENT
Comes now Petitioner, Stephanie Mott, and pursuant to K.S.A. 77-601, et seq., by and through her attorneys of record, hereby petitions the District Court for judicial review of a final agency action of the Kansas Department of Health and Environment ("KDHE"). The final agency action at issue is the denial of Petitioner’s December 14, 2015 request for an amendment to the gender marker on her birth certificate (the “Request”) by KDHE Secretary Susan Mosier, MD (the “Secretary”) dated January 22, 2016, and received in the mail by Petitioner on February 1, 2016 (the “Denial Order”).
PARTIES
1. The names and addresses of the Petitioner and the Respondent agency whose action is at issue are as follows:
Petitioner:
Stephanie Mott, [redacted]
Respondents:
Kansas Department of Health and Environment, Curtis State Office Building, 1000 SW Jackson St., Topeka, Kansas 66612-1367.
Susan Mosier, MD, Secretary, Kansas Department of Health and Environment, Curtis State Office Building, 1000 SW Jackson St., Suite 540, Topeka, Kansas 66612-1367.
2. Petitioner has been notified by KDHE that the agency officer to receive service of a petition for judicial review on behalf of the agency, pursuant to the KJRA, is Elizabeth Saadi, State Registrar, Kansas Department of Health and Environment, Curtis State Office Building, Suite 110, 1000 SW Jackson, Topeka, Kansas 66612. Accordingly, Ms. Saadi will be served with the instant Petition.
**JURISDICTION AND VENUE**
3. This Court has jurisdiction over this action pursuant to K.S.A. 77-606, 77-607(a), and 77-609(a).
4. Pursuant to K.S.A. 77-609(b), venue is proper in Shawnee County because that is the county in which the Denial Order was entered and is effective.
**AGENCY ACTION AT ISSUE**
5. The agency action at issue is the Secretary’s issuance of the Denial Order, a true and correct copy of which is attached hereto as Exhibit “A.”
6. A true and correct copy of Petitioner’s Request as submitted to KDHE on December 14, 2015, is separately filed as Exhibit “B,” and the arguments and authorities therein are incorporated herein by reference.
ENTITLEMENT TO JUDICIAL REVIEW
7. Petitioner is entitled to judicial review under K.S.A. 77-607(a). Petitioner has standing to bring this action because she is a person to whom the agency action is specifically directed. *See* K.S.A. 77-611(a). The Denial Order pertains to Petitioner’s request for an amendment to her birth certificate and is expressly directed at Petitioner. Petitioner also has standing to bring this action because she was a party to the agency proceedings that led to the agency action. *See* K.S.A. 77-611(b). Petitioner made the request for an amendment to her birth certificate, which led to the Denial Order.
8. Pursuant to K.S.A. 77-612, Petitioner has exhausted all available administrative remedies.
9. This Petition for Review is timely filed pursuant to K.S.A. 77-613(b) and (e) because it is filed within 33 days after service by mail of the Denial Order. KDHE’s prior correspondence to Petitioner did not qualify as a final agency action because it failed to state the agency officer to receive service of a petition for judicial review on behalf of the agency, as required for all final agency actions under the Kansas Judicial Review Act, K.S.A. 77-613(e).
*See* Heiland v. Dunnick, 270 Kan. 663, 671-72 (2001); Reifschneider v. State, 266 Kan. 338, 342 (1998).
FACTS RELEVANT TO ISSUES PRESENTED
A. Petitioner’s Request to Obtain a Gender Marker Amendment Pursuant to K.A.R. 28-17-20(b)(1)(A)(i)
10. Petitioner was born in Kansas and holds a Kansas birth certificate. Petitioner is a woman. She is also transgender. That means she was designated as “male” on her Kansas birth certificate, but her true sex, in accordance with her gender identity, is female. The gender designation on Petitioner’s Kansas birth certificate thus inaccurately identifies her as male. As
set forth more fully in Exhibit B, incorporated herein by reference, this is because the medical knowledge of what a person’s sex is has evolved significantly in recent decades.
11. In April 2006, Petitioner was first diagnosed with gender identity disorder (“GID”), a diagnosis, recognized by the American Psychiatric Association’s Diagnostic and Statistical Manual of Mental Disorders (“DSM”), that refers to the profound distress many transgender people experience as a result of the incongruence between the sex they were assigned at birth and their gender identity. Petitioner worked closely with a therapist for about 18 months, during which she began the process of transitioning to live as a woman. By 2007, while under the treatment of her therapist, Petitioner began living full-time as a woman. In May 2012, Petitioner traveled to Bangkok, Thailand, and underwent sex reassignment surgery. In order to obtain the surgery, Petitioner was required to provide documentation from a medical provider of her GID diagnosis.
12. Petitioner’s Kansas driver’s license, social security card, and United States passport accurately reflect her true sex of female. However, because her Kansas birth certificate reflects a male sex, her birth certificate is inaccurate and her identification documents are inconsistent.
13. Having inconsistent identification documents and identification documents that are incongruent with her gender regularly subjects Petitioner to embarrassment and harassment and exposes her to an increased risk of violence. Many of the people with whom Petitioner interacts on a daily basis do not otherwise know that she is transgender, and the incongruity between the gender marker on her birth certificate and her female gender remains one of the last remaining indications of her incorrect birth-assigned gender. Both the reality of having an
incorrect gender marker on her birth certificate, and the fear of this information being disclosed, negatively impact Petitioner’s mental health, causing her significant distress on a daily basis.
14. On November 18, 2013, Petitioner submitted to the Office of Vital Statistics (“OVS”) a request for an amendment to her birth certificate, accompanied by a medical certification substantiating her anatomical change, as required by K.A.R. 28-17-20(b)(1)(A)(i) (the “Regulation”). Despite the fact that Petitioner’s request complied with the Regulation, Timothy Keck, Deputy Chief Counsel for KDHE, responded by letter dated November 20, 2013, stating that the request would be denied, and further stating: “We do on occasion receive requests for correction under circumstances where gender misidentification has occurred. We will process these requests for correction when we can establish through documentation of a medical provider and affidavit that misidentification occurred at or around the time of birth.” The letter invited Petitioner to contact Mr. Keck should she “have any questions or concerns.” The letter did not notify Petitioner of the agency officer who was to receive service of a petition for judicial review on behalf of the agency, as required by K.S.A. 77-613(e) if the letter was intended to be notification of a final order.
15. On December 14, 2015, Petitioner submitted her Request, in which she responded to Mr. Keck’s invitation for her to share her questions and concerns, submitted additional evidence that misidentification of her gender had occurred at her birth, and sought a final agency determination of her request for an amendment to the gender marker on her birth certificate. The Request, submitted separately as Exhibit B, outlined KDHE’s legal obligations—particularly in light of intervening developments in binding Tenth Circuit and United States Supreme Court case law—and enclosed expert declarations and evidence in support of Petitioner’s request.
16. By letter dated January 22, 2016, KDHE issued its final decision, denying Petitioner’s Request and notifying Petitioner of the agency officer to receive service of a petition for judicial review on behalf of the agency. *See* Exhibit A. Petitioner’s counsel received the Final Order in the mail on February 1, 2016.
B. **Background of KDHE’s Enforcement of the Regulation and Subsequent Unilateral Internal Policy Change**
17. In 2001, the Court of Appeals issued *In re Estate of Gardiner*, 29 Kan. App. 2d 92 (2001), *aff’d in part, rev’d in part*, 273 Kan. 191 (2002). In that decision, the Kansas Court of Appeals acknowledged that “Kansas law allows individuals to change the sex designation on their birth certificates ‘with a medical certificate substantiating that a physiological or anatomical change occurred.’” *Id.* at 120 (citing K.A.R. 28-17-20(b)(1)(A)(i)). However, the court went on in dicta to state:
[I]t appears likely that, to the extent the regulation appears to allow for the change of a sex designation on a Kansas birth certificate to respond to anatomical changes, it oversteps. It is highly unlikely a fundamental change of that nature was contemplated by the legislature when it passed K.S.A. 2000 Supp. 65–2422c on “minor corrections.”
*Id.* at 123-24. The court expressly did not reach that question, however, and ultimately concluded that in any event the Regulation was not relevant to its analysis:
Regardless, J’Noel’s effort to rely on K.A.R. 28-17-20 to determine Kansas public policy in this case fails. The legislature sets public policy, not administrative agencies. We read the Kansas regulation as neutral, favoring neither J’Noel’s nor Joe’s positions on the effect of the Wisconsin birth certificate.
*Id.* at 124. At no point did the Court of Appeals rule on the validity of the Kansas Regulation, nor could it have, since no amendment pursuant to the Regulation was at issue in the case.
18. The Kansas Supreme Court accepted review, affirming in part and reversing in part. *See* *In re Estate of Gardiner*, 273 Kan. 191 (2002). The Supreme Court held that the
Kansas statute prohibiting same-sex couples from marrying also prohibited marriages involving transgender people. *See id.* at 213-14. The Supreme Court’s lengthy decision did not comment on the Court of Appeal’s dicta regarding the Regulation, K.A.R. 28-17-20(b)(1)(A)(i).
19. Shortly after the *Gardiner* Court of Appeals decision was issued, KDHE considered its impact on the state policy of allowing gender marker amendments if a medical certificate is provided as evidence of an anatomical change. In June 2002, Robin Wolfe (the Amendment Unit Supervisor) requested a meeting with counsel, Martha Cooper, to discuss the impact of *Gardiner*. It appears that information was gathered about the sex reassignment surgery process, but there was apparently no effort to change the agency’s policies.
20. There apparently was no further discussion of the matter until March 2004, when there was an email exchange between Ms. Wolfe and Lorne Phillips, then State Registrar. This communication, too, centered on information gathering about sex reassignment. However, Mr. Phillips suggested that Ms. Wolfe write up the process into “a ‘policy and procedure’ statement so that we will always be consistent in how we respond to requests or questions related to this issue.” He further suggested that they schedule a meeting with Ms. Cooper.
21. Ms. Cooper drafted an “attorney-client privileged” memorandum, dated April 23, 2004, to Mr. Phillips analyzing the Supreme Court decision, *In re Estate of Gardiner*, 273 Kan. 191 (2002). In the April 23, 2004 memorandum, Ms. Cooper concluded that “[i]n light of the *Gardiner* decision and to avoid any confusion on what is allowed to be amended or not, it is my recommendation that this regulation be amended to delete the second option [for amendment based on sex reassignment surgery].” Notably, while the memorandum recommended that the regulation be amended, it did not conclude that the regulation had been expressly overruled by *Gardiner* and was no longer valid.
22. For almost 10 years after the *Gardiner* decision and for almost six years after the April 23, 2004 memorandum, KDHE, pursuant to the Regulation, continued to allow gender marker amendments for individuals who provided a medical certificate substantiating a physiological or anatomical change, apparently at the rate of about one amended certificate under the provision per year. From 2003 to 2011, KDHE sent several email responses to inquiries, which contained affirmative representations of the policy as set forth in the Regulation.
23. A year after Samuel Brownback became governor of Kansas on January 10, 2011, however, KDHE again considered the impact of the 2001 *Gardiner* Court of Appeals decision, and—although there had been no intervening change in law—unilaterally and by way of purely internal communications decided to cease enforcing the Regulation.
24. Specifically, on February 20, 2012, Mr. Keck drafted a memorandum to Dr. Robert Moser, (then KDHE Secretary), that purported to “follow[] up our conversation of last week concerning the historical policy of allow[ing] ‘correction’ to a birth certificate of a transsexual individual.” Although the Regulation and the effect of *Gardiner* had been previously analyzed in 2001 and 2004, Mr. Keck nonetheless stated in the memorandum that this “issue recently came to our attention.” The 2012 memorandum then analyzed the *Gardiner* Court of Appeals decision, stating that the Court “addresses KDHE’s authority to adopt the regulation and strongly supports the proposition that KDHE is without authority to allow a ‘correction’ of the birth certificates as provided in K.A.R. 28-17-20(b)(1)(A)(i).” The memorandum concluded:
The birth certificate reflects an event in time. It is my opinion that KDHE does not have the authority under statute to have the regulation in place. I would recommend that we remove any reference to this issue from the agency website and if asked, we refuse to grant a corrected birth certificate for a physiological or anatomical change. We should also explore the concept of repealing the regulation since we believe it to be unauthorized and inconsistent with the purpose of issuing the certificates.
25. Despite the February 20, 2012 memorandum’s recognition that the Regulation would need to be repealed, it never was.
26. On February 22, 2012, the policy was apparently changed internally. This decision to no longer enforce the Regulation was evidently documented only on internal handwritten notes, which stated that KDHE would no longer allow gender marker amendments following sex reassignment surgery. For example, a handwritten note dated February 22, 2012 read: “KDHE is no longer changing certificates for gender reassignment. – It has been determined by our Legal Counsel that the Regulation is not in effect (it is not supported statutorily).” Another handwritten note of the same date reads: “Per Tim Keck – We are not enforcing the Reg. re: changing gender on birth cert. upon completion of gender re-assignment surgery. . . . KDHE Legal Decision- The Reg. for changing birth cert. is not supported statutorily. Therefore, the Reg. is not in effect.”
27. On February 23, 2012, the website of the OVS was apparently ordered changed to delete FAQs about changing certificates based on sex reassignment surgery.
28. In summary, KDHE’s longstanding policy based on a duly enacted regulation was changed internally, apparently over the course of less than a week, and documented on intra-office post-it notes. The public was not notified of the possible change and was not afforded an opportunity for a hearing before the new “policy” went into effect, and KDHE never prepared a statement of the principal reasons for adopting the policy, as required under K.S.A. 77-421(a)(1), (b)(1), and K.S.A. 77–425.
29. Following this internal decision to refuse to enforce the Regulation in late February 2012, KDHE has denied virtually all requests for birth certificate changes submitted by
transgender individuals under the Regulation, citing *In re Estate of Gardiner*, 29 Kan. App. 2d 92 (2001).
30. Even after the decision not to enforce the Regulation, however, KDHE did not deny all requests for gender marker amendments. KDHE continued to allow amendments where it deemed the sex had been incorrectly recorded at birth. It also appears to have considered a gender marker change back to one’s original gender. KDHE has also allowed changes based on sex reassignment surgery where there is support that the person’s genitalia at birth was “ambiguous” (*i.e.*, for intersex individuals).
**GROUNDS FOR GRANTING RELIEF**
31. Relief is warranted under K.S.A. 77-621(c)(1), (2), (4), (5), and (8). The grounds on which Petitioner seeks review of the Denial Order and appropriate relief are as follows:
A. **KDHE is Statutorily Required to Grant Petitioner’s Request**
32. The Regulation, K.A.R. 28-17-20(b)(1)(A)(i), which was enacted pursuant to K.S.A. 65-2402(a)(5), provides that:
The items recording the registrant’s sex may be amended if the amendment is substantiated with the applicant’s affidavit, or a parent’s affidavit if the registrant is under the age of 18, that the sex was incorrectly recorded, or with a medical certificate substantiating that a physiological or anatomical change occurred.
K.A.R. 28-17-20(b)(1)(A)(i).
33. Pursuant to the Regulation, in order to correct the inaccuracy on her birth certificate, Petitioner requested that KDHE amend her birth certificate and correctly designate her sex as female, and she provided the requisite medical certificate substantiating that a physiological or anatomical change occurred.
34. KDHE has a statutory duty to enforce regulations that have been enacted under enabling statutes. *See* K.S.A. 65-2402(a)(5). The Regulation was duly adopted under the authority of K.S.A. 65-2422c.
35. Notwithstanding its statutory duty, KDHE issued the Denial Order, denying Petitioner’s request for an amendment to the gender marker on her birth certificate and refusing to enforce the Regulation in reliance on *In re Estate of Gardiner*, 29 Kan. App. 2d 92 (2001).
36. KDHE’s internal decision to stop enforcing the Regulation does not comply with the required procedures for revocations or amendments. *See* K.S.A. 65-2402(a)(4); K.S.A. 77-421; K.S.A. 77-415(c)(4). Because the Regulation has not been revoked or amended pursuant to applicable statutory procedure, it remains in effect, and KDHE must enforce it. *See* K.S.A. 77-425.
37. Contrary to KDHE’s contention, the Kansas Court of Appeals decision in *In re Estate of Gardiner*, 29 Kan. App. 2d 92 (2001), *aff’d in part, rev’d in part*, 273 Kan. 191 (2002), did not invalidate the Regulation because: (1) the Court of Appeals’ holding in *Gardiner* regarding the weight to be afforded the amended birth certificate was not based on the validity of the Kansas Regulation, and thus is merely dicta without the force of law; (2) the Court of Appeals’ discussion of the Regulation in *Gardiner* holds no persuasive value because the central issue in that case (whether the Kansas marriage between the petitioner’s father and the father’s spouse, a “post-operative male-to-female transsexual,” was valid under the Kansas statute that prohibited marriages between persons of the same sex) has been decided differently by intervening cases at all levels of the federal courts, *see* Bishop v. Smith, 760 F.3d 1070, 1080-81 (10th Cir.), *cert. denied*, 135 S.Ct. 271 (2014); Kitchen v. Herbert, 755 F.3d 1193, 1229-30 (10th Cir.), *cert. denied*, 135 S.Ct. 265 (2014). Obergefell v. Hodges, 576 U.S. __, 135 S.Ct. 2584,
2589 (June 26, 2015); and (3) *Gardiner’s* analysis of the Regulation is not well reasoned, and thus is not persuasive.
38. In summary, the Regulation was duly adopted and has not been revoked or repealed. *Gardiner*, on the other hand, has been stripped of its central reasoning by intervening federal authority, and in any event, its analysis of the Regulation is poorly reasoned dicta. Therefore, KDHE’s refusal to enforce the duly adopted Regulation is an action beyond the jurisdiction conferred on KDHE by statute, is an erroneous application of the law, demonstrates a failure by KDHE to follow prescribed procedure, and is unreasonable, arbitrary, and capricious. *See* K.S.A. 77-621(c)(2), (4), (5) (8).
39. In addition to allowing for an amendment “with a medical certificate substantiating that a physiological or anatomical change occurred,” the Regulation also states: “The items recording the registrant’s sex may be amended if the amendment is substantiated with the applicant’s affidavit . . . that the sex was incorrectly recorded.” K.A.R. 28-17-20(b)(1)(A)(i).
40. As expert declarations and other evidence submitted to KDHE and attached hereto as Exhibit B demonstrate, Petitioner was at birth, and is now, female. As a result, the gender marker on her birth certificate is incorrect and should be changed to female. Under K.A.R. 28-17-20(b)(1)(A)(i), KDHE is required to amend Petitioner’s birth certificate based on the affidavit she submitted to KDHE substantiating that her sex was incorrectly recorded.
41. KDHE’s refusal to amend Petitioner’s birth certificate based on the affidavit she submitted to KDHE substantiating that her sex was incorrectly recorded is an action beyond the jurisdiction conferred on KDHE by statute, is an erroneous application of the law, demonstrates a failure by KDHE to follow prescribed procedure, and is unreasonable, arbitrary, and capricious. *See* K.S.A. 77-621(c)(2), (4), (5), (8).
B. The Constitution Requires that KDHE Grant Petitioner’s Request
1. KDHE’s Actions Violate Petitioner’s Rights to Privacy and Autonomy under the Due Process Clause
42. The constitutionally protected due process right of privacy “protects two kinds of privacy interests: the individual’s interest in avoiding disclosure of personal matters and the interest in being independent when making certain kinds of personal decisions.” *Eastwood v. Dep’t of Corr.*, 846 F.2d 627, 630-31 (10th Cir. 1988) (citing *Whalen v. Roe*, 429 U.S. 589, 599 (1977)).
43. Several federal circuit courts have recognized that a person has a right to maintain the privacy of his or her transgender identity. *See Powell v. Schriver*, 175 F.3d 107, 111 (2d Cir. 1999) (“The excruciatingly private and intimate nature of transsexualism, for persons who wish to preserve privacy in the matter, is really beyond debate.”); *see also Franklin v. McCaughtry*, 110 F.App’x 715, 719 (7th Cir. 2004) (citing *Powell* with approval); *Moore v. Prevo*, 379 F.App’x 425, 428 (6th Cir. 2010) (same).
44. By preventing Petitioner from obtaining a birth certificate that is congruent with her gender identity and expression, KDHE is forcing disclosure of Petitioner’s transgender status to any person to whom she is required to show her birth certificate. KDHE’s action thus infringes on Petitioner’s constitutional privacy right not to have personal information disclosed, in violation of the Due Process Clause of the Fourteenth Amendment.
45. The Tenth Circuit has recognized the privacy interest in the confidentiality of one’s medical information. *See Herring v. Keenan*, 218 F.3d 1171, 1175 (10th Cir. 2000) (recognizing a constitutional right to privacy in the non-disclosure of information regarding one’s HIV status by a government official); *A.L.A. v. West Valley City*, 26 F.3d 989, 990 (10th Cir. 1994) (“There is no dispute that confidential medical information is entitled to constitutional
Whether someone is transgender and whether someone has been diagnosed with GID or gender dysphoria constitutes confidential medical information. *See Brown v. Zavaras*, 63 F.3d 967, 969 (10th Cir. 1995) (“The medical term for transsexuality is ‘gender dysphoria,’ and gender dysphoria is a medically recognized psychological disorder resulting from the ‘disjunction between sexual identity and sexual organs.’”) (citations omitted).
46. KDHE’s refusal to amend Petitioner’s birth certificate infringes Petitioner’s privacy interest in the confidentiality of her medical information because when Petitioner is required to show a birth certificate with a male sex marker, she is forced to disclose the medical information that she is transgender and/or has gender dysphoria.
47. The Supreme Court recognized in *Obergefell v. Hodges* that the liberties protected by the Due Process Clause “extend to certain personal choices central to individual dignity and autonomy, including intimate choices that define personal identity and beliefs.” 135 S.Ct. at 2589. Among the “intimate and personal choices” that the fundamental right to autonomy forbids the state to compel is the right of a transgender person to self-determine his or her gender identity and live in accordance with that identity without undue interference from the state.
48. KDHE’s refusal to amend Petitioner’s birth certificate impermissibly abridges her liberty interest in defining her own identity without undue interference from the state.
2. **KDHE’s Actions Violate Petitioner’s Right to Equal Protection of the Laws**
49. As a transgender person, Petitioner is a member of a protected class. Transgender status qualifies as a suspect classification under the Equal Protection Clause because transgender persons meet the indicia identified by the United States Supreme Court that indicate a “suspect” or, at a minimum, “quasi-suspect” classification. *See Frontiero v. Richardson*, 411 U.S. 677, 686 (1973); *United States v. Carolene Prods. Co.*, 304 U.S. 144, 152-53 n.4 (1938).
50. Because KDHE’s birth certificate amendment policy singles out the class of transgender individuals for particular deprivation of equal treatment, the policy is subject to heightened scrutiny.
51. Alternatively, discrimination against transgender individuals must, at a minimum, receive intermediate scrutiny as it is a form of sex discrimination. *See Price Waterhouse v. Hopkins*, 490 U.S. 228, 250-51 (1989); *Glenn v. Brumby*, 663 F.3d 1312, 1317 (11th Cir. 2011).
3. **KDHE’s Policy Cannot Survive Any Level of Scrutiny**
52. In order for KDHE’s infringement of Petitioner’s fundamental rights to be constitutional under the Due Process Clause, it must pass strict scrutiny. *See Kitchen*, 755 F.3d at 1218 (*citing Reno v. Flores*, 507 U.S. 292, 302 (1993)). Similarly, because KDHE’s action “classifies individuals using a suspect classification,” under the Equal Protection Clause, it must pass strict scrutiny. *See Price-Cornelison v. Brooks*, 524 F.3d 1103, 1109 (10th Cir. 2008) (*citing Johnson v. California*, 543 U.S. 499, 505 (2005); *Save Palisade FruitLands v. Todd*, 279 F.3d 1204, 1210 (10th Cir. 2002)).
53. KDHE’s action cannot survive strict scrutiny because KDHE has no compelling state interest to justify its refusal to amend Petitioner’s birth certificate, and because its refusal to amend the birth certificates of transgender individuals is not narrowly tailored because it is, among other defects, significantly underinclusive.
54. KDHE’s action also cannot survive intermediate scrutiny because no “important” objective is advanced by subjecting transgender individuals to uniquely disfavored treatment under KDHE’s birth certificate amendment policy, denying them access to corrected birth certificates when all other people born in Kansas can obtain records that accurately reflect their lived gender.
55. KDHE’s action cannot survive even rational basis review because KDHE permits birth certificate amendments to non-transgender individuals whose gender marker sex is incorrect, as well as to intersex individuals with ambiguous genitalia whose gender marker is incorrect, yet it does not permit such amendments for transgender individuals whose assigned gender marker is incorrect. KDHE can advance no rational basis for differentiating among transgender, non-transgender, and intersex individuals in this way.
56. Because KDHE’s refusal to amend Petitioner’s birth certificate violates Petitioner’s due process rights and her right to equal protection of the laws and cannot survive under any level of scrutiny, it is unconstitutional. See K.S.A. 77-621(c)(1).
**RELIEF REQUESTED**
57. For the reasons stated above, Petitioner respectfully requests that, pursuant to K.S.A. 77-622(b), this Court grant the Petition for Review, and grant the following relief:
(a) set aside the Denial Order;
(b) enter an order requiring the KDHE to approve the amendment to the gender marker on Petitioner’s birth certificate;
(c) enter an order enjoining KDHE from denying requests for amendments that comply with the Regulation;
(d) render a declaratory judgment confirming the validity of the Regulation;
(e) award Petitioner her attorneys’ fees and costs to the extent authorized by law; and
(f) grant all other relief the Court deems proper.
By Pedro L. Irigonegaray, #08079
Elizabeth R. Herbert, #09420
1535 SW 29th Street
Topeka, KS 66611
785-267-6115; 785-267-9458 fax
firstname.lastname@example.org; email@example.com
Attorney for Petitioner Stephanie Mott
January 22, 2016
Pedro Irigonegaray
Irigonegaray and Associates
1535 S.W. 29th Street
Topeka, Kansas 66611-6115
Re: Stephanie Mott – Request for Amendment to Gender Marker on Birth Certificate
Dear Mr. Irigonegaray:
The Kansas Department of Health and Environment (KDHE) received your request, dated December 14, 2015, to amend Stephanie Mott’s birth certificate. The KDHE previously responded to the request from Ms. Mott to amend the “gender marker” on her birth certificate in the attached letter dated November 20, 2013. As previously indicated, based on the information provided, the KDHE does not have the authority to amend the gender on Ms. Mott’s birth certificate based on K.S.A. 65-2422c and *In re Estate of Gardiner*, 29 Kan. App. 2d 92 (2001). Ms. Mott did not file a petition for judicial review in response to the November 20, 2013 denial.
You have also requested, if Ms. Mott’s request is denied, that the KDHE provide the agency officer to receive service of a petition for judicial review on behalf of the agency, pursuant to the KJRA. Any petition for judicial review filed in response to an agency order denying an amendment to a birth certificate shall be served upon Elizabeth Saadi, State Registrar, Kansas Department of Health and Environment, Curtis State Office Bldg., Ste. 110, 1000 SW Jackson, Topeka, Kansas 66612.
Sincerely,
Susan Mosier, MD, Secretary
cc: Eugene Lueger, Attorney, KDHE
November 20, 2013
Stephanie Mott
RE: Request for Reissuance of Birth Certificate
Ms. Mott:
We have received your letter requesting an amendment to your birth certificate pursuant to K.S.A. 65-2422c changing the “gender marker” on the birth certificate from male to female. You make this request pursuant to a gender reassignment surgery you had in Thailand in May of 2013.
The Kansas Department of Health and Environment denies your request. Based on K.S.A. 65-2422c and *In re Estate of Gardiner*, 29 Kan.App.2d 92 (2001), the Kansas Department of Health and Environment does not have the authority to amend a birth certificate for the reason of gender reassignment surgery.
We do on occasion receive requests for correction under circumstances where gender misidentification has occurred. We will process these requests for correction when we can establish through documentation from a medical provider and affidavit that misidentification occurred at or around the time of birth.
Please let me know if you have any questions or concerns.
Sincerely,
Timothy E. Keck
Deputy Chief Counsel
Kansas Department of Health and Environment
|
Literary Tourism and La maison de Colette: An Interview with Frédéric Maget
Tama L. Engelking
*Cleveland State University*, email@example.com
Follow this and additional works at: [https://engagedscholarship.csuohio.edu/clmlang_facpub](https://engagedscholarship.csuohio.edu/clmlang_facpub)
Part of the French and Francophone Language and Literature Commons
**How does access to this work benefit you? Let us know!**
**Recommended Citation**
Engelking, Tama Iea. "Literary Tourism and La maison de Colette: An Interview with Frédéric Maget." *French Review* 92.1 (Oct. 2018): 184-97.
This Article is brought to you for free and open access by the Department of World Languages, Literatures, and Cultures at EngagedScholarship@CSU. It has been accepted for inclusion in World Languages, Literatures, and Cultures Faculty Publications by an authorized administrator of EngagedScholarship@CSU. For more information, please contact firstname.lastname@example.org.
In France, where writers often have the status of rock stars, literary tourism is big business. As the most visited tourist destination in the world, with 84.5 million foreign visitors in 2015, France invests heavily in its patrimoine culturel by supporting the development of heritage sites: <entreprises.gouv.fr/files/files/directions_services/etudes-et-statistiques/stats-tourisme/chiffres-cles/2016-key-facts-tourism.pdf>. Among these are the sites associated with authors or books that comprise literary tourism. The growth of a more educated class of tourists, who are increasingly interested in using their leisure time to seek out cultural experiences, has contributed to the popularity of literary tourism sites such as les maisons d’écrivains—houses where writers were born, lived, or wrote, houses they frequently visited or those used as settings for their work (Mansfield 43). Although literary tourism dates back to classical antiquity, when it was common for travelers to make pilgrimages to the grave sites of great authors, the appeal of writers’ houses is really a twentieth-century phenomenon. The 1980s and 1990s account for a quarter of the 201 maisons d’écrivains officially recognized by the Fédération nationale des maisons d’écrivains et des patrimoines littéraires.
The house in the village of Saint-Sauveur-en-Puisaye, where Sidonie Gabrielle Colette was born and spent the first 18 years of her life (1873–1891), is one of the newest to join the Fédération. La maison de Colette, which first opened its doors to the public in 2016 and has since welcomed over 30,000 visitors, has also been recognized with the prestigious label of Maison des illustres. In the 2017 edition of Le guide vert Bourgogne, Michelin awarded a star to Colette’s house, thus signaling that La maison de Colette is an “interesting” tourist destination according to nine
different criteria that range from the first impression and the notoriety of the site to the quality of the visit and the reception given to visitors.
Although the fact that Colette grew up in a small village in Burgundy is an accident of history, the development of her house into an officially recognized *monument historique* was an act of tenacious commitment on the part of the Société des amis de Colette, which purchased the house in 2011. This is especially true of Frédéric Maget, the director of *La maison de Colette* and president of the Société. Maget was the driving force behind *Colette en scène*, a fund-raising gala held in Paris at the Théâtre du Châtelet in 2010, which featured 18 artists who volunteered to perform texts by Colette. Among them were Leslie Caron, who played Gigi in the 1958 film based on Colette’s novella, the singer Juliette, and the actress Carole Bouquet. The success of that event, which raised enough money to secure the purchase of Colette’s house, highlights the place that Colette still holds in the hearts of the French, as well as the important role that Maget, along with the association he directs, is playing to keep that interest alive and well.
As the first and only woman ever honored by the French government with a state funeral when she died in 1954, Colette enjoys an elevated status in *le patrimoine littéraire*. Maget’s vision for *La maison de Colette* included restoring the house and gardens as authentically as possible in order to recreate the experience of the house as Colette would have known it when she lived there from 1873 to 1891. This project also has a larger scope—to leverage Colette’s reputation as a modern woman writer in order to serve as a bridge linking works from the past to works of the present. Centered around *La maison de Colette*, this effort aims to raise the status and visibility of women’s participation in history and culture in the form of festivals, conferences, concerts, and exhibits, some of which have already taken place.\(^3\)
The task of restoring *La maison de Colette* was a daunting undertaking for Maget and the team of restoration specialists he assembled, which included Pascal Prunet (*architecte en chef des monuments historiques*), Françoise Phiquepal (*architecte-paysagiste*), and the decorator Jacques Grange. The restoration was a five-year €1.5 million project, which included 18 months of renovation characterized by an excruciating attention to detail in order to recreate the house as authentically as possible. This process, which is ongoing, includes locating and recovering some of the actual items owned by the Colette family—currently about 30% of the objects in the house—finding similar items, and recreating the lighting, wallpaper, flooring, blown glass window panes, hand-sewn curtains, garden design with the same configuration and variety of plants that Colette’s mother Sido grew, and even the smells that would have permeated the rooms during Colette’s childhood. A book specialist was charged with locating nineteenth-century editions of books that the family was known to possess, as well as journals to which Colette’s father subscribed. Four hundred books are currently on display on the shelves lining
the library, including Colette’s personal set of Balzac’s complete works with her extensive handwritten annotations.\(^4\)
Perhaps the biggest challenge facing Maget before opening the doors of Colette’s house was deciding how to present the house to visitors—how to stage the actual guided tour of the rooms and garden. As David Herbert has noted, literary places are “social constructions, created, amplified, and promoted to attract visitors” who come to these sites for a variety of reasons and with many different expectations for what they will experience there (313). How will the material reality of walking in Colette’s footsteps, of seeing the same view of the village she saw from her bedroom window as a little girl, affect the literary tourist? What new understanding of Colette will visitors to her house have when they leave? And when they exit through the gift shop, will they leave with a book by Colette in hand? Although studies show that many visitors to writers’ houses are enthusiastic readers who are drawn to places associated with the writers they admire, tourists often visit literary places “for some broader and deeper emotion than the specific writer or the story” (Herbert 314). Statistics indicate that as many as one-third of the visitors to a writer’s house may have never read a word of the author’s works: <litterature-lieux.com/multimedia/File/publications/2008-etude-publics-lieux-litteraires.pdf>. Some may have seen a reference in a guide book or online, and others may be visiting the region for other reasons and decide to tour a writer’s house based on recommendations by friends or the proximity to other places on their itinerary. Whatever the case, the managers of these sites have an opportunity to create a specific image of the writer by choosing to highlight certain aspects of the writer’s life and work and connecting these to the physical space and objects in the house the writer once inhabited.
To create the narrative framework of the guided visits to *La maison de Colette*, Maget reread all of Colette’s works and let himself be guided by the words of Colette, who was, above all, a storyteller. Encouraged by her stepson Bertrand de Jouvenel, with whom she had visited the house in Saint-Sauveur in 1920, Colette wrote down the stories she was fond of telling about her childhood. The result was *La maison de Claudine* (1922), a collection of freestanding anecdotes about the house, garden, village, and family members, which Anne Freadman calls the first of Colette’s *livres-souvenirs* (58). Freadman describes the vignettes that make up the chapters of this book as “scattered fragments of memories” that Colette assembled to tell stories about her past. Maget has reassembled many of these fragments and others gleaned from Colette’s writings to make *La maison de Colette* come alive for visitors. Maget and his team of professional guides draw on Colette’s storytelling legacy by integrating quotes from Colette into every aspect of the visit. They’ve staged Colette’s house as a sort of “maison-livre” with the experience of moving from room to room comparable to turning pages in a book.
In *Writers’ Houses and the Making of Memory*, Harald Hendrix reminds us that writers’ houses are “highly susceptible to manipulation” by both the writer and the manager responsible for transforming a private space into a public space (3). As an expressive medium, a writer’s house can be used by the author who lived there as a means of self-fashioning, which Colette certainly did.\(^5\) Although she never wrote during the years she spent in Saint-Sauveur, and, to the contrary, insisted quite emphatically that during her childhood she felt she was precisely born *not* to write, numerous scholars have linked the origins of Colette’s vocation to the sensibilities she developed in the rich sensory world of her childhood.\(^6\) By titling her collection of childhood reminiscences *La maison de Claudine*, Colette created an explicit link between her natal home and her first published work, *Claudine à l’école* (1900), which she set in a thinly disguised version of her hometown. As Joan Hinde Stewart has remarked, the past that Colette treats in *La maison de Claudine* is a *literary* past, and its very title “places it under the sign of the author’s entrance into literature” (266).
Visitors to *La maison de Colette* come to Saint-Sauveur-en-Puisaye with many different expectations and motivations. They may or may not be seeking insights into Colette’s work and her origins as a writer, but they are all seeking an experience that is unique to this specific place. One quality that makes writers’ houses so alluring is what Hendrix calls the “through-the-looking-glass” effect that allows visitors, through contact with physical space and objects, to fuse the real and imaginary, fact and fiction, and to “come into contact with the imaginative world created by the author, and thus to participate in his imagination” (239). Specialists in literary tourism identify the tripartite “auteur-œuvre-lieux” as an evocative combination that creates a resonance between the imaginary and an individual’s memories and perceptions when they visit a writer’s house: “À travers cette expérience, le visiteur relie l’œuvre au lieu et relit l’œuvre, le lieu ajoute du sens et même un double sens, à la fois signifiant et sensoriel” (Bonniot-Mirlou and Blasquiet 16). In her study of the nineteenth-century bourgeois interiors of writer’s houses, Diana Fuss finds a relationship between interior spaces and the subjective identities that writers create “through a sensory identification with things” (15). Sensory knowledge, she suggests, serves as a bridge between the architectural and the psychological, which explains the impact that physically experiencing a writer’s house can have on literary tourists when an author, her house, and her works resonate together, as is the case with Colette. The authenticity of the spaces and objects staged in a writer’s house can heighten this impact. The concept of authenticity in tourism studies recognizes the special nature of original objects, which have a special ‘aura’ that is lost by mass production (Fawcett and Cormack 700). Authenticity is also viewed as a subjective experience, “a combination of the developers’ intentions, the consumers’ interpretations, and the interactions among
them” (Herbert 317). Whatever the intended message, tourists are active consumers who, much like readers, interpret their personal experiences in diverse ways.
*La maison de Colette* seems specifically staged to enhance the tripartite combination and the authentic aspects of the site, an observation reinforced by my own experience there. I had the pleasure of visiting *La maison de Colette* on a sunny spring day in 2017, where I was treated to a guided tour by Maget. Our group included a dozen middle-school students who had never read Colette but were assigned to find a personal connection to the author and write about it. During my stay in Saint-Sauveur, I also toured Colette’s house with other groups that ranged from members of a local hiking club to middle-aged couples, families, and older women who, like me, seemed to know Colette’s work well. According to Maget, the average age of visitors to *La maison de Colette* is 50–55. Although French visitors in this demographic are likely to have read Colette in school, her works are no longer required reading. Maget hopes to change this through outreach efforts to local schools and by developing pedagogical materials for students who visit *La maison de Colette*.
I interviewed Maget in Saint-Sauveur-en-Puisaye in April 2017 and asked him about his vision for *La maison de Colette*, its unique features, and what a visit to Colette’s house can offer to her readers. If my own experience is any indication, the personal connection I made with Colette’s world during my visits to *La maison de Colette* and the village of Saint-Sauveur-en-Puisaye has convinced me of the value of literary tourism, and especially how physically experiencing a writer’s house can provide insights and enhance our understanding of an author and her works.
Q: Frédéric Maget, professeur de lettres modernes, président de la Société des amis de Colette, directeur de *La maison de Colette*, auteur et rédacteur de plusieurs œuvres sur Colette, notamment *Cahier Colette* (L’Herne, 2011), *Colette journaliste* (2014), *Colette: lettres à Missy* (2009), vous avez consacré une grande partie de votre vie professionnelle à Colette. On peut parler d’une vocation ou même d’une passion de faire redécouvrir la personne et l’œuvre de Colette. D’où vient cette passion?
R: Comme toutes les véritables passions, ma passion pour Colette a des origines multiples et sans doute, pour partie, inconscientes. J’ai découvert Colette à l’âge de 13 ou 14 ans. J’étais alors au collège et je passais beaucoup de temps à la bibliothèque de ma commune. Au hasard de mes lectures, je suis tombé sur *La vagabonde*. Mon choix n’était motivé par aucune raison intellectuelle ou littéraire puisque j’appartiens à une génération qui n’a pas étudié Colette à l’école. Ma famille, plus scientifique que littéraire, ne m’avait elle-même transmis aucune représentation la concernant. L’enchantement, le charme—au sens étymologique du terme—agit puissamment. Je ne saurai démêler, même aujourd’hui, la somme
d'impressions qui accompagnèrent ma lecture. La langue, le style, le personnage de Renée Néré, sa solitude, son stoïcisme, une forme de sagesse dans la façon de parler des êtres et de l'amour, la langue, le choix des mots. Tout cela m'a immédiatement séduit. Ce fut le début d'un compagnonnage qui dure depuis bientôt trente ans. La passion, bien sûr, doit être entretenue et s'enrichir de rencontres. J'ai eu la chance de croiser sur ma route des passeurs, comme Alain Brunet, Marguerite Boivin, Michel Remy-Bieth ou Gérard Bonal, qui m'ont encouragé et m'ont donné envie d'approfondir mes connaissances. Petit à petit le simple lecteur s'est transformé en commentateur et en éditeur, en secrétaire général puis en président des amis de Colette, aujourd'hui en directeur de la maison natale. C'est finalement un parcours assez linéaire, cohérent et simple.
Q: Dans votre rôle comme président de la Société des amis de Colette et directeur de La maison de Colette (un fonds de dotation) à laquelle la maison natale de Colette appartient, vous devez porter de nombreuses casquettes—publicitaire, homme d'affaires et politique qui maintient des liens avec des associations régionales et nationales (la mairie de Saint-Sauveur-en-Puisaye, le Conseil départemental de l'Yonne, le Conseil régional de Bourgogne-Franche-Comté, le ministère de la Culture et de la Communication, des institutions telles que la Fédération des maisons d'écrivains, etc.), gérant d'un projet culturel qui comprend La maison de Colette ainsi que les activités académiques, touristiques, pédagogiques associées (Festival des écrits de femmes, conférences, spectacles, visites scolaires, etc.). J'ai l'impression que toutes ces activités sont assez loin de votre formation universitaire en lettres modernes, même si votre connaissance et appréciation des œuvres de Colette sont à la base de tout ce que vous faites. Parlez-moi de vos rôles divers, des défis et des plaisirs que ces rôles vous ont apportés, et de ce qu'on appelle en anglais votre "learning curve" (courbe d'apprentissage) en ce qui concerne La maison de Colette.
R: J'ai, en effet, beaucoup de "casquettes", comme on dit. J'exerce des tâches diverses qui vont de l'événementiel à la gestion des stocks d'une librairie, en passant par les ressources humaines, les relations avec les collectivités, les mécènes, les éditeurs, la presse. Des activités qui sont à mille lieux de ce que j'ai appris en classes préparatoires ou à l'université. J'ai heureusement la chance d'être entouré de gens de grande qualité qui me font partager leur expérience. Nous sommes une toute petite équipe. Nous fonctionnons sans aides publiques. La polyvalence est donc une nécessité. Pourtant, j'ai le sentiment qu'il y a, au fond, une continuité avec mon ancien métier d'enseignant—je suis d'ailleurs toujours officiellement fonctionnaire de l'Éducation nationale. Dans tout ce que je fais, il y a toujours le même souci du partage et de la transmission. Mon expérience auprès des élèves et des étudiants, dans des milieux très différents, m'a été très utile pour concevoir la visite de la
maison et même, au moment des travaux de réhabilitation, dans le choix des meubles et des objets, car j'avais constamment en tête ce que les guides pourraient en faire et ce qu'ils pourraient apporter aux visiteurs. La maison de Colette est, comme le dit Julia Kristeva, une "initiation à la lecture" de l'œuvre, et mon plus grand plaisir est de voir les visiteurs acheter les ouvrages de Colette en quittant la maison.
Q: Vous avez indiqué que Nohant (la maison de George Sand), Monk’s House (la maison de Virginia Woolf) et Vulaines (la maison de Stéphane Mallarmé) ont servi de modèles pour La maison de Colette. Qu’est-ce qu’elles ont en commun, et qu’est-ce qui distingue la maison de Colette des autres maisons d’écrivains?
R: Le premier point commun est sans doute l’importance de ces maisons dans la vie et l’œuvre des trois écrivains. Le second est le parti pris muséographique de chacun des lieux. À Monk’s House comme à Nohant, comme à la maison de Colette aujourd’hui, on rentre dans chaque maison comme si les occupants venaient de s’absenter. Pas de fils, de cordons ni de barrières, on circule à travers les pièces au plus près des meubles et objets qui ont constitué le quotidien de chacune des créatrices. À Vulaines, chez Mallarmé, l’intervention muséographique a été plus poussée (il y a des fils et des aménagements contemporains pour l’éclairage), mais j’y ai retrouvé le même souci de restituer au plus près l’intimité du lieu. Autre point commun, l’importance des jardins et, au-delà, du cadre et de l’environnement, qui jouent beaucoup dans l’appréciation que l’on peut avoir du lieu. Le parc et le petit village de Nohant, les jardins fleuris avec l’ouverture sur le village dans le cas de Monk’s House, le verger et la proximité de la Seine dans le cas de Mallarmé. Tout cela se retrouve chez Colette à un degré à mon sens—mais je ne suis pas objectif—supérieur encore: importance cruciale des jardins, ouverture sur le village et la campagne environnante devenus eux-mêmes sources d’inspiration pour l’écrivaine. Du point de vue de la médiation, la maison de Colette se rapproche de Nohant, puisque comme chez George Sand on ne visite la maison de Colette que par le biais d’une visite guidée qui permet d’accompagner la découverte des lieux de récits et d’anecdotes. Dans le cas de Monk’s house, qui reste pour moi la réussite absolue, il n’y avait—du moins lorsque je l’ai visitée—pas de guide mais, dans chaque pièce, réparties discrètement, des petites notices éclairant tel ou tel détail du décor. À Vulaines, on peut également visiter librement les espaces avec un guide imprimé ou quelques notices plus “professionnelles” réparties tout au long du parcours de visite.
En évoquant pour vous ces trois lieux fondateurs dans mon imaginaire de “la maison d’écrivain”, je me dis également que leur point commun—avec leurs différences que je viens de signaler—c’est que chacun propose une expérience de visite où la sensibilité et l’émotion jouent un rôle essentiel. C’est bien cela que nous essayons de proposer à la maison de Colette: “une expérience” de visite, un moment
privilégié, un peu hors du temps, en compagnie des textes de Colette. Mais il me semble néanmoins que la maison de Colette se différencie des trois autres lieux sur un point fondamental. Nohant, Monk’s House, Vulaines ont été des lieux de création et, en tout cas pour Monk’s House et Vulaines, pensés comme tels, éloignés de la ville, de la foule et du bruit, conçus pour offrir à l’écrivaine ou à l’écrivain le cadre idéal favorable à son travail. Nohant est de ce point de vue plus proche de la maison de Colette, car il s’agit d’une maison liée à l’histoire familiale, mais Nohant fut pour Sand un lieu de sociabilité littéraire et un lieu d’écriture. Or Colette n’a pas écrit dans sa maison. Abandonnée alors que Colette avait dix-huit ans, récupérée quand elle en avait cinquante sans qu’elle puisse s’y installer de nouveau, la maison (et ses jardins) fut à jamais pour Colette un Éden perdu, un paradis qu’il fallait reconquérir par l’écriture et l’imagination. La maison n’est pas le lieu de la création: elle est la création, un véritable personnage dans l’œuvre et même un rouage de l’écriture. “Une maison-livre” pour reprendre l’expression de Jérôme Garcin (20). En cela la maison de Colette est unique et ne peut se comparer qu’à Illiers-Combray pour Marcel Proust, sauf que le jeune Marcel n’y a peut-être passé en tout et pour tout que deux mois et que malgré l’importance fondatrice du lieu, il n’innervé pas, au point où c’est le cas pour Colette, toute une œuvre.
Q: Pour reprendre les mots de Kristeva, sauver la maison natale de Colette “participe non pas d’un culte, mais d’une initiation à la lecture de son œuvre” (36). Quel est le lien entre la maison de Colette et ses œuvres? Quel rôle ont-elles joué dans la reconstitution de sa maison et la visite guidée que vous avez mise en place pour les visiteurs? Pour un visiteur “typique” à la maison de Colette, quelle valeur cette expérience est-elle censée contribuer au lecteur de ses œuvres?
R: J’ai retrouvé un écho récent de cette affirmation de Kristeva dans un entretien avec Jean-Michel Leniaud: “La maison de Colette, à Saint-Sauveur-en-Puisaye […] mérite d’être sauvegardée si l’on veut comprendre son œuvre” (8). Le lien entre la maison de Colette et l’œuvre de Colette est consubstantiel. On peut légitimement estimer que Colette n’aurait pas écrit Claudine à l’école, son premier roman, paru en 1900, si elle n’avait pas ressenti le besoin—la nécessité—de réparer littérairement le traumatisme du départ de Saint-Sauveur à l’automne 1891. C’est encore vers la maison qu’elle se tourne à l’approche de la cinquantaine pour renouveler son œuvre, alors principalement consacrée, en dehors des Claudine, aux cocottes et aux artistes du music-hall. La maison de Claudine, parue en 1922, va initier un nouveau cycle dans la création: l’évocation du monde de l’enfance, et bien sûr le personnage de Sido qui fait sa première apparition sous son nom dans ce recueil et qui va devenir, pour reprendre les mots de Colette, “le personnage principal de toute ma vie”. Des chefs-d’œuvre comme Sido (1930) ou La naissance du jour (1928) doivent tout à ce retour vers la maison natale. Ce n’est d’ailleurs pas un hasard si la plupart des héroïnes de Colette, jusqu’à Julie de Carneilhan, dans le
roman éponyme, en 1941, prennent également "le chemin du retour". Au total, ce sont des dizaines de pages réparties dans l'œuvre pendant près d'un demi-siècle depuis le premier roman jusqu'au dernier texte publié, *Ces dames anciennes* (1954). Je ne connais d'autre exemple dans l'histoire de la littérature française d'un auteur qui ait consacré autant de pages, autant d'énergie créatrice, à recomposer un lieu aussi étroitement lié à la vie du créateur. Le plus étonnant pour nous, lorsque nous avons entrepris la restauration de la maison, fut de constater l'extrême précision de ces souvenirs. Colette nous avait offert une sorte de mode d'emploi décrivant le motif et la couleur des papiers peints et des tentures, l'ameublement des pièces, depuis la matière et les motifs.
Q: Dans l'introduction au numéro du *Cahier de l'Herne* que vous avez rédigé sur Colette avec Gérard Bonal, vous présentez Colette comme une femme moderne et subversive. Pour certains, Colette représente le modèle d'une femme libre, dont le comportement, parfois scandaleux, souvent révolutionnaire, exprime sa volonté de faire ce qu'elle voulait tout au long de sa vie. Selon ses propres mots, qui servent de sous-titre à la biographie écrite par Gérard Bonal: "Je veux faire ce que je veux". Cependant, d'autres l'identifient avec ses racines bourguignonnes et son rapport avec la nature et les animaux. Ces images de Colette sont-elles en conflit? La maison de Colette, qu'est-ce qu'elle contribue à notre compréhension du trajet qui mène de la jeune fille poyaudine à la grande écrivaine Colette?
R: Je crois, tout d'abord, qu'il ne faut pas nécessairement chercher à résoudre les contradictions et les paradoxes d'un être ou d'une œuvre. Une des richesses de Colette et ce qui fait, peut-être, que sa vie et son œuvre résistent au temps, c'est qu'elle n'est pas une, mais multiple. Toutes les images de Colette—la nature, les chats, les scandales, la liberté, le féminisme avant l'heure, etc.—sont exactes et partielles à la fois. Michèle Sarde avait sous-titré sa biographie "Libre et entravée", soulignant ainsi les contradictions qui sont au cœur de l'œuvre. Bourgeoise par ses aspirations au confort et à la reconnaissance sociale, Colette est aussi provocatrice, se moque des conventions de la bien-pensance, chante les mérites et la poésie du petit-monde des théâtres et de la rue. Elle incarne à la fois la Parisienne et la Bourguignonne, attachée à sa terre natale, faisant sonner son accent rocailleux jusque dans ses dernières années.
En parcourant la maison, le visiteur découvre au fur et à mesure des pièces et des anecdotes la vie de Gabrielle Colette et de sa famille, la personnalité atypique de ses parents, Sido et le Capitaine, l'hostilité du village, le contact privilégié avec la nature, notamment dans les jardins. Tout est déjà là: un décor bourgeois de province menacé par la ruine, la haine des habitants de Saint-Sauveur à l'égard de la mécréante Sido, "l'étrangère" dans le village, la conduite provocatrice de Sido, notamment à l'église où elle emmène son chien aboyer à la messe, l'attention de Sido aux plus humbles, aux filles-mères, l'éducation de Sido qui apprend à ses
enfants la valeur de la différence ("ne pas chercher à ressembler aux autres"), la bibliothèque où Colette pourra puiser très librement, sa découverte de Balzac, dont on n’a pas encore assez dit l’influence, les “pages blanches” du Capitaine qui sont pour partie dans la vocation littéraire de sa fille, et puis les jardins, bien sûr, où Colette apprend au contact de Sido l’art du regard, le respect de la vie animale, l’attention aux éclosions. Tout est là, je le répète. À l’état brut. La vie et le difficile métier d’écrire feront de tout ce matériau une œuvre qui compte parmi les plus évocatrices et les plus singulières de notre littérature.
Q: L’ouverture de la maison de Colette au public n’est que la première étape d’une vision plus large. Quels sont les projets futurs associés à la maison de Colette?
R: J’ai souhaité que la maison de Colette, conformément à ce que je viens de dire, ne fixe pas une image unique de Colette, celle du paradis de l’enfance et du bonheur provincial. C’est pourquoi j’ai développé, en plus du projet patrimonial, un projet culturel dont l’objectif est de confronter l’œuvre de Colette à celle d’autres créateurs, et notamment d’autres créatrices, du passé et du présent. Des conférences, des projections, des festivals sont organisées tout au long de l’année, dans la maison ou dans d’autres lieux du village, qui partent de l’univers de Colette et ouvrent sur d’autres univers, comme le festival “Comme ça me chante!” qui met en valeur le goût de la musique et l’écriture musicale de Colette en faisant se rencontrer sur scène musiciens et comédiens, ou bien encore le Festival international des écrits de femmes, qui propose de redécouvrir les grandes figures féminines de notre histoire.
La maison elle-même deviendra, dans les mois ou les années qui viennent, un lieu de transmission, par l’accueil du public scolaire et l’organisation des ateliers culinaires pour les enfants dans la cuisine de Sido, et avec l’aménagement, dans les combles de la maison, d’un lieu de conservation et de consultation d’archives concernant Colette, associés à un studio pour accueillir un auteur ou un chercheur en résidence. Le projet pourrait également, dans les années qui viennent, fédérer tout un village. Nous avons déjà créé, dans Saint-Sauveur, un parcours “Sur les pas de Colette”, qui permet de découvrir derrière une trentaine de façades les personnages et les anecdotes racontées par Colette dans son œuvre. Nous travaillons à repenser avec les élèves du collège “le sentier Colette”, qui part dans la campagne environnante à la découverte des paysages décrits dans l’œuvre. Nous essayons de persuader la commune de la nécessité d’un fonctionnement commun et intégré avec le musée Colette qui se trouve dans le château, un lieu complémentaire puisqu’on peut, notamment, y découvrir une partie du mobilier du Palais-Royal, la dernière demeure de l’écrivain. Saint-Sauveur deviendrait alors un village littéraire offrant la possibilité de passer tout un week-end sur les pas de Colette.
Restored façade of *La maison de Colette*. Used with permission from *La maison de Colette* and Nicolas Castets.
Postcard with Colette’s handwritten labels identifying the rooms in her home. Used with permission from *La maison de Colette*.
Notes
1 France is particularly rich in *maisons d’écrivains*, which draw over one million visitors each year. Some of the best known include Victor Hugo’s house on Place des Vosges in Paris and George Sand’s house in Nohant. For an interactive map of *les maisons d’écrivains*, see <litterature-lieux.com>. Only certain writers’ houses meet the criteria to qualify for the more prestigious label of *Maison des illustres*.
2 *Maison des illustres* is a label created by the ministère de la Culture in 2011 in order to draw public attention to “les lieux dont la vocation est de conserver et transmettre la mémoire de femmes et d’hommes qui les ont habitées et se sont illustrés dans l’histoire politique, sociale et culturelle de la France.” There are currently only 212 houses with this label: <culturecommunication.gouv.fr/Aides-demarches/Protections-labels-et-appellations/Label-Maisons-des-Illustres>.
3 “Le Festival international des écrits de femmes” (FIEF), which debuted at *La maison de Colette* in 2012, is part of that effort. The 2016 festival, organized around the theme of “Féminismes,” included a roundtable discussion of Colette’s feminism and talks by writers such as Julia Kristeva, who devoted the third volume of *Le génie féminin* to Colette. For *La maison de Colette* and related activities, see <maison decolette.fr>.
4 For photos and details about the process of rehabilitating the house and gardens, see the special issue of *Connaissance des arts* devoted to *La maison de Colette*.
5 Proust’s apartment on the Boulevard Haussmann is a much-studied example (Kear; Fuss).
6 Delacour-Hennart considers *La maison de Claudine* as “l’œuvre fondatrice de la vocation de Colette” (95). Other scholars who develop this connection include Freadman, Hinde Stewart, and Schechner.
7 Maget’s comparison of Colette’s house with Nohant has another dimension. Although Nohant rates among the ten most visited sites in France, the guided tour of the house concentrates primarily on the life of George Sand. Consequently, as Bonniot-Mirloup and Blasquiet point out, a visit to Nohant “n’évoque l’œuvre qu’à travers son contexte d’écriture. Il faut s’éloigner de la maison pour trouver des références à l’imaginaire des œuvres un peu partout sur le territoire” (15). A personal anecdote bears out this difference with Colette’s house. I visited *La maison de Colette* in the company of a friend who had never read Sand or Colette. Following our tour, she asked me to recommend one of Colette’s books. She admitted that although she has visited Nohant three times, she has never felt moved to read any of Sand’s works.
8 I would like to thank the staff of *La maison de Colette*, Samia Bordji, head of the Centre d’études de Colette, and especially Frédéric Maget, directeur de *La maison de Colette*, for their generosity and patience in answering all my questions about the house and guided tour. This research was made possible by funding from a Faculty Scholarship Initiative grant provided by Cleveland State University.
Works Cited
Bonal, Gérard. *Colette: “Je veux faire ce que je veux”*. Perrin, 2014.
Bonal, Gérard, et Frédéric Maget, éd. *Colette*. L’Herne, 2001.
———. *Colette journaliste: chroniques et reportages, 1893–1955*. Seuil, 2010.
Bonniot-Mirloup, Aurore, et Hélène Blasquiet. “De l’œuvre aux lieux: la maison d’écrivain pour passerelle (France)”. *Territoire en mouvement. Revue de géographie et d’aménagement* 31 (2016): 1–19. <tem.revues.org/3722>.
Colette. *Œuvres*. Éd. Claude Pichois et al. 4 vols. Gallimard 1984–2001.
*Connaissance des arts hors-série. La maison de Colette* 789 (septembre 2017).
Delacour-Hennart, Audrey. “De Claudine à l’école à *La maison de Claudine*: aux origines de la vocation de Colette”. *Roman* 20-50 6 (2016): 87–100.
Fawcett, Claire, and Patricia Cormack. “Guarding Authenticity at Literary Tourism Sites.” *Annals of Tourism Research* 28.3 (2001): 686–704.
Freadman, Anne. *The Livres-Souvenirs of Colette: Genre and the Telling of Time*. Legenda, 2012.
Fuss, Diana. *The Sense of an Interior: Four Writers and the Rooms that Shaped Them*. Routledge, 2004.
Garcin, Jérôme. “La maison-livre de Colette”. Programme pour *Colette en scène* au Théâtre du Châtelet, Paris, Playbill, 2010. 20–21.
Hendrix, Harald, ed. *Writers’ Houses and the Making of Memory*. Routledge, 2012.
———. “Epilogue: The Appeal of Writers’ Houses.” Hendrix 235–43.
———. “Writers’ Houses as Media of Expression and Remembrance: From Self-Fashioning to Cultural Memory.” Hendrix 1–12.
Herbert, David. “Literary Places, Tourism and the Heritage Experience.” *Annals of Tourism Research* 28.2 (2001): 312–33.
Leniaud, Jean-Michel. “On peut aimer le patrimoine sans être réactionnaire”. Entretien. *L’express thémá: trésors cachés de France* 4 juillet 2017: 6–11.
Kear, Jon. “‘Une chambre mentale’: Proust’s Solitude.” *Writers’ Houses and the Making of Memory*. Ed. Harald Hendrix. Routledge, 2012. 221–34.
Kristeva, Julia. “Colette, ou la chair du monde”. Programme pour *Colette en scène* au Théâtre du Châtelet, Paris, Playbill, 2010. 36–37.
———. *Le génie féminin: les mots—Colette ou la chair du monde*. Vol. 3. Fayard, 2002.
Maget, Frédéric, et Samia Bordji, éd. *Colette: lettres à Missy*. Flammarion, 2009.
Mansfield, Charlie. *Researching Literary Tourism*. Shadows, 2015.
Sarde, Michèle. *Colette, libre et entravée*. Stock, 1991.
Schechner, Stephanie. “A Delicate Balance: Becoming a Woman and a Writer in Colette’s *Claudine à l’école* and *La maison de Claudine*.” *Dalhousie French Studies* 67 (Summer 2004): 75–87.
Stewart, Joan Hinde. “The School and the House.” *Women’s Studies* 8.3 (1981): 259–72.
|
Characterization of a Non-Contact Imaging Scintillator-Based Dosimetry System for Total Skin Electron Therapy.
Irwin I. Tendler
*Dartmouth College*
Petr Bruza
*Dartmouth College*
Michael Jermyn
*Dartmouth College*
Xu Cao
*Dartmouth College*
Benjamin B. Williams
*Dartmouth College*
*See next page for additional authors*
Follow this and additional works at: [https://digitalcommons.dartmouth.edu/facoa](https://digitalcommons.dartmouth.edu/facoa)
Part of the Medical Biophysics Commons
**Dartmouth Digital Commons Citation**
Tendler, Irwin I.; Bruza, Petr; Jermyn, Michael; Cao, Xu; Williams, Benjamin B.; Jarvis, Lesley A.; Pogue, Brian W.; and Gladstone, David J., "Characterization of a Non-Contact Imaging Scintillator-Based Dosimetry System for Total Skin Electron Therapy." (2019). *Dartmouth Scholarship*. 3966.
[https://digitalcommons.dartmouth.edu/facoa/3966](https://digitalcommons.dartmouth.edu/facoa/3966)
Authors
Irwin I. Tendler, Petr Bruza, Michael Jermyn, Xu Cao, Benjamin B. Williams, Lesley A. Jarvis, Brian W. Pogue, and David J. Gladstone
This article is available at Dartmouth Digital Commons: https://digitalcommons.dartmouth.edu/facoa/3966
Characterization of a non-contact imaging scintillator-based dosimetry system for total skin electron therapy
To cite this article: Irwin I Tendler et al 2019 *Phys. Med. Biol.* 64 125025
View the [article online](#) for updates and enhancements.
Recent citations
- Assessment of imaging Cherenkov and scintillation signals in head and neck radiotherapy
Daniel A Alexander et al
Characterization of a non-contact imaging scintillator-based dosimetry system for total skin electron therapy
Irwin I Tendler, Petr Bruza, Mike Jermyn, Xu Cao, Benjamin B Williams, Lesley A Jarvis, Brian W Pogue and David J Gladstone
1 Thayer School of Engineering, Dartmouth College, Hanover, NH, United States of America
2 DoseOptics LLC, Lebanon, NH, United States of America
3 Department of Medicine, Geisel School of Medicine, Dartmouth College, Hanover, NH, United States of America
4 Norris Cotton Cancer Center, Dartmouth–Hitchcock Medical Center, Lebanon, NH, United States of America
5 Author to whom any correspondence should be addressed.
E-mail: firstname.lastname@example.org
Keywords: surface dosimetry, scintillator, optical imaging, optical imaging, non-contact, remote
Supplementary material for this article is available online
Abstract
Surface dosimetry is required for ensuring effective administration of total skin electron therapy (TSET); however, its use is often reduced due to the time consuming and complex nature of acquisition. A new surface dose imaging technique was characterized in this study and found to provide accurate, rapid and remote measurement of surface doses without the need for post-exposure processing.
Disc-shaped plastic scintillators (1 mm thick × 15 mm Ø) were chosen as optimal-sized samples and designed to attach to a flat-faced phantom for irradiation using electron beams. Scintillator dosimeter response to radiation damage, dose rate, and temperature were studied. The effect of varying scintillator diameter and thickness on light output was evaluated. Furthermore, the scintillator emission spectra and impact of dosimeter thickness on surface dose were also quantified. Since the scintillators were custom-machined, dosimeter-to-dosimeter variation was tested. Scintillator surface dose measurements were compared to those obtained by optically stimulated luminescence dosimeters (OSLD).
Light output from scintillator dosimeters evaluated in this study was insensitive to radiation damage, temperature, and dose rate. Maximum wavelength of emission was found to be 422 nm. Dose reported by scintillators was linearly related to that from OSLDs. Build-up from placement of scintillators and OSLDs had a similar effect on surface dose (4.9% increase). Variation among scintillator dosimeters was found to be 0.3 ± 0.2%. Scintillator light output increased linearly with dosimeter thickness (~1.9 × /mm). All dosimeter diameters tested were able to accurately measure surface dose.
Scintillator dosimeters can potentially improve surface dosimetry-associated workflow for TSET in the radiation oncology clinic. Since scintillator data output can be automatically recorded to a patient medical record, the chances of human error in reading out and recording surface dose are minimized.
Introduction
Surface dosimetry is widely used in radiotherapy. Specifically, in the case of total skin electron therapy (TSET), treatment efficacy is dependent on administration of a uniform radiation field across the body (Hensley et al 2013). Ensuring effective treatment delivery requires measurement and verification of surface dose (Kumar et al 1977, Desai et al 1988). Multiple systems which provide estimates of the delivered dose within a small surface area for verification of beam delivery are available commercially. The most common limitation of these devices is the need to keep track of where each probe is placed, since dose is read out and inserted into the patient record manually. The labor and time involved in this process comes at a high resource cost, and so while many centers
have them, most limit their use because of the high level of human involvement in the processes (Butson et al 1996, Marre and Marinello 2004, Bufacchi et al 2007, Ben et al 2013, Desrosiers 2014, Schütttrumpf et al 2018).
There exists a clinical need for a completely electronic system which does not require manual manipulation, post-exposure processing, or coupling of dose and corresponding anatomical location into the patient record. Thus, this study examines a number of technical issues associated with measuring surface dose by imaging scintillation emission from plastic targets directly attached to human tissue and tissue-mimicking phantoms during TSET (Bruza et al 2018, Tendler et al 2018).
The main tools used for surface dosimetry have been thermoluminescent dosimeters (TLDs) or newer systems like optically stimulated luminescence dosimeters (OSLDs) (Yusof et al 2015, Bourland 2016). Even more recently, some centers have shifted to MOSFET, diode detectors or fiber coupled point scintillator detectors (Sengupta et al 2016, Fabregat Borrás et al 2017, Wang et al 2018). It is notable though, that the clinical value of surface radiation detectors remains high and continues to grow (Kry 2016, Beaulieu and Beddar 2016, Eyadeh et al 2017). Historically, TLDs ($\pm 5\%$ error) (Kirby et al 1992, Allisy-Roberts and Williams 2008) and OSLDs ($\pm 3\%$ error) (Reft 2009) have served as standards in the clinic even though their use can be affected by problems like high variation in dose estimates, manual location tracking error, and a laborious readout process. The value of diodes and scintillator fibers is that they are easier to place, and the readout is immediate after treatment. Recent development of fiber coupled scintillators offers smaller temperature, humidity and energy dependence than the previously mentioned methods (Beaulieu et al 2013, Beaulieu and Beddar 2016, Carrasco et al 2016, Dimitriadis et al 2017). However, like diodes, semiconductor and optical fiber-coupled dosimeters are placed on the patient skin with long cables, and the output values must still be entered into the patient record manually. Radiotherapy as a field, has been converging towards automated processes where tools should feed data to and from electronic systems seamlessly. Ideally, this could be accomplished with imaging systems where patient position and dosimetry information could be captured simultaneously—potentially enabling automation of the dose verification process. The scintillator whole-body imaging approach discussed in this study, combined with automated readout, could meet this goal (Bruza et al 2018, Tendler et al 2018).
This scintillator-based surface dosimetry method was clinically deployed for monitoring surface dose in patients being treated with TSET (Bruza et al 2018, Tendler et al 2018). The technique is based on the linac-synchronized (time-gated) imaging of small plastic scintillating discs that are attached directly to the skin surface. Images are collected remotely, in real-time, and could be automatically saved to the patient medical record. Use of this novel dosimetry technique can potentially allow for time savings and improvement in clinical dosimetry-related workflow. Importantly, it was shown that the scintillation images can accurately report surface dose for TSET delivery, when compared against standard OSLD dosimeters. As such, this data has served as motivation for this study (Tendler et al 2018).
The primary purpose of this current study was to evaluate the physical characteristics of scintillator dosimeters that are essential for clinical TSET utilization. Namely, we characterize the emission spectrum, dependence on temperature, dose rate, radiation damage, and the influence of thickness and diameter on light output. Given that each dosimeter is custom-machined, scintillator-to-scintillator variation was also evaluated. Considering that these plastic dosimeters are placed directly on the skin surface in the path of the beam, the impact of dosimeter thickness on deposited surface dose was quantified.
**Methods**
**Scintillator dosimeters and imaging setup**
Scintillators were custom-manufactured by Elijen Technologies. The disc-shaped dosimeters are composed of EJ-212 plastic and painted with EJ-510 reflective paint (Elijen Technologies, Sweetwater, TX) on both the rear face and edge. The TSET scintillators measured 1 mm in thickness and 15 mm in diameter, with these dimensions being chosen based upon previous tests of the ability to resolve them with the camera system. Scintillation emission was captured by an intensified CMOS camera, C-Dose (DoseOptics LLC, Lebanon NH), whose intensifier was gated to signal from the linac klystron (KL1, 4.5 $\mu$s intensifier gate pulse width). A gate delay of 1.7 $\mu$s and 100 $\mu$s was used for scintillation and background image acquisition, respectively. The images were captured at a frame rate of 11 fps. Considering a standard 360 Hz linac pulse repetition rate and alternating scintillation/background frame acquisition, each frame was composed of accumulation of 16 scintillation pulses. The camera was placed behind and to the side of the gantry head at a camera-to-scintillator distance of 4 m. A fiber optic communication cable was routed to a computer located outside of the treatment vault. Images are collected using online background and darkfield subtraction; online median and spatial filters are also utilized. These image processing steps have been previously described in detail (Bruza et al 2018, Tendler et al 2018).
A Varian 2100 CD linac (Varian Medical Systems, Palo Alto, CA) was used for irradiation during all characterization studies. The experimental setup used to collect phantom measurements in this study was identical to that previously utilized for patient imaging (Tendler et al 2018). TSET treatments were delivered with a High Dose
Total Skin Electron protocol (HDTSe, 6 MeV @ 66 cGy min$^{-1}$, measured at the patient). This same procedure was used to irradiate samples at a source-to-surface distance (SSD) of 3 m for several of the studies, referred to as the TSET setup. Figure 1 presents a schematic of the entire imaging setup.
**Dose estimation from scintillator intensity values**
The dose estimation process fits an analytical model of scintillator emission to experimental data within a region of interest (ROI) using a minimization algorithm. This technique assumes that scintillator radiance is proportional to imparted dose (Birks 1964). The model considers a case where photon emission of an arbitrarily angled scintillator results in a scaled, rotated, ellipsoidal disk. Importantly, the pixel intensity amplitude $b$ of this disk is proportional to scintillator radiance.
$$F = \begin{cases}
b & \text{if } \left( \frac{(x-x_c)\cos\theta + (y-y_c)\sin\theta)^2}{w^2} + \frac{(x-x_c)\sin\theta + (y-y_c)\cos\theta)^2}{h^2} \leq 1 \\
0 & \text{otherwise}
\end{cases}. \tag{1}$$
The scintillator model function $F$ can then be expressed as:
where $x(m)$ and $y(n)$ are pixel coordinates (indices $(m,n)$ of the pixels in the image ROI), $(x_c, y_c)$ are centroid coordinates; $w, h,$ and $\theta$ are width, height, and angle of the ellipse. In addition, to account for image blurring due to camera and lens imperfections, a 2D Gaussian point spread function $G$ is considered with standard deviation $\sigma$:
$$G = \frac{1}{2\pi\sigma^2} \exp \left( -\frac{x^2}{2\sigma^2} - \frac{y^2}{2\sigma^2} \right). \tag{2}$$
Thus, the final model function takes the following form:
$$M = a + (b * G) \tag{3}$$
where $a$ is an offset value due to Cherenkov emission from the skin, $b$ is the amplitude of the fitted scintillator model function, and $*$ denotes a multiplication operation. As mentioned above, amplitude $b$ is a scaled value of scintillator radiance and is expected to be directly proportional to the dose $d$, received by the scintillator:
$$d = k_c b. \tag{4}$$
The factor $k_c$ is derived from a calibration scintillator image in which reference dose measurements are acquired concurrently using an OSLD, as described in section 2.1 below. The fitting algorithm, implemented in MATLAB (Mathworks, Natick, MA), finds the best fit of the model function (3) to the observed image intensities (pixel-wise) $I_{m,n}$ by minimizing the error functional $\chi^2$, representing the sum of the squared residuals:
\[
\chi^2 = \sum_{m,n} (I_{m,n} - M(b, \beta_{\text{psf}}))^2.
\]
(5)
\( \beta_{\text{psf}} = [x_c, y_c, w, h, a, b, \sigma, \theta] \) is a vector that holds the fitting parameters where psf represents ‘per scintillator and image frame’.
The dose estimation workflow goes as follows:
1. The patient image stack is imported and flat-field corrected.
2. Approximate coordinates of the centroid of each scintillator are entered.
3. Initial guesses and bounds for \( \beta \) corresponding to the first frame of the image stack are entered.
4. The model function \( M \) is fit to pixel intensities within a pre-defined scintillator ROI—established using \((x_c, y_c)\) coordinates—per image frame. The optimization algorithm utilized is trust-region reflective with a convergence tolerance of \( 1 \times 10^{-10} \).
5. The resulting \( \beta \) produced per frame are extracted.
6. To improve the accuracy of fitting algorithm, step 4 is repeated. However, now the mean values of each fitting parameter (obtained from the matrix of \( \beta \)'s in step 5) are used as the initial guess and bounds.
7. Upon completion, final values of \( b \) are summed across all frames, per scintillator, and corrected by \( k_c \) yielding the cumulative dose per scintillator—herein referred to as scintillator output.
The parameters of \( \beta \) are computed on a per frame basis. This greatly reduces the impact of motion artifacts, which are inevitable and occasionally rather large (\( \sim 10 \text{ cm s}^{-1} \) observed) in a typical TSET session. The size of the scintillator ROI (user-selected and fixed) in our measurements was \( 40 \times 40 \) pixels, corresponding to a physical dimensions of \( 1.5 \times 1.5 \text{ cm} \). Sample outlines of the ROI are shown as red boxes in figure 1, an ROI is created per scintillator and frame; thus, the number of ROIs in each frame will correspond to the number of scintillators. Therefore, a dosimeter can move approximately 1 cm between frames without necessitating reassignment of the centroid ROI. The motivation for selecting these functions (equations (1)—(5)) was based on minimizing the effects of angular dependency between incident radiation, scintillator discs, and the camera. By utilizing the function described in equation (1), surface dose can be computed with no angular dependency in the angles of \( 0^\circ–55^\circ \) (Tendler et al 2018). In earlier versions of this research, scintillator light emission was related to surface dose by: (1) Thresholding the cumulative scintillator image (2) selecting and ROI inside the scintillator (3) taking the average of the pixel intensities in the ROI. A number of correction factors (lens throughput, camera-scintillator angle, etc) were then applied to yield the energy fluence within the scintillator ROI (Bruza et al 2018). See supplemental material (stacks.iop.org/PMB/64/125025/mmedia) for MATLAB image analysis code.
1. Analysis of scintillator physical properties
1.1. Impact of temperature on scintillator output
Scintillators (\( n = 4 \), thickness = 1.08, 1.09, 1.09, and 1.09 mm, diameters = 1.5 cm) were mounted on the custom phantom shown in figure 2(A) and 600 ml of water was added. The phantom was placed at a 3 m SSD and 4 m away from the camera. The temperature of the water was measured using a Fisherbrand 150415C thermometer (Fisher Scientific, Hampton, NH). Initially, 10 °C water was added to the container and stirred to ensure temperature homogeneity throughout the phantom. Data was obtained by using the TSET imaging setup and administering 300 monitor units (MU). Temperature of the water was increased by placing the phantom on a hot plate (kept at a constant 45 °C), again, the water was stirred during this process. Scintillator output data was obtained at temperatures of 15, 20, 25, 30, 35, 37, and 40 °C.
1.2. Scintillator emission spectra
The emission light spectra of the scintillators was recorded using an Ocean Optics USB4000 Spectrometer (Halma PLC, Amersham, UK). A scintillator was attached to a flat-faced phantom and irradiated with 6 MeV using the TSET imaging setup with 100 MU. The spectrometer probe was placed such that the tip was nearly touching the surface of the scintillator (figure 2(B)). A 5 s exposure time was used for acquisition. Background signal was collected by acquiring data with no active radiation field. Furthermore, native signal (Cherenkov and scintillation) generated in the fiber optic probe itself was evaluated by removing the scintillator and taking a measurement while irradiating the fiber optic only. Native spectra were obtained for a 6 MeV beam. These spectra were then subtracted from the scintillator emission data and the results were smoothed using a Savitzky–Golay filter in MATLAB.
1.3. Scintillator light output versus dose rate
To determine whether dose rate of the incident beam influences scintillator output, \( n = 5 \) scintillators were attached to a flat-faced phantom and imaged using the TSET setup. Dose rates of 100, 200, 300, 400, 500, 600, and
1000 MU min$^{-1}$ were used to irradiate samples to 300 MU. Scintillator output was normalized to the mean of all values obtained in this experiment.
2. Scintillator performance
2.1. Scintillator-to-scintillator variation and calibration factor
Dosimeter variation was evaluated by comparing scintillator-to-scintillator output from a batch of 29 TSET scintillators. Given that each scintillator was custom machined and painted, thickness and diameters of scintillators ranged from 1.04 to 1.09 mm and 14.9 to 15.1 mm, respectively. The scintillators were mounted to a flat-faced phantom and imaged using the TSET geometry and exposed to a dose of 500 MU. Scintillator output was computed per dosimeter; percent difference from the mean output value was calculated for each scintillator. In addition, following previously described methodology, this experiment was re-run to obtain a TSET scintillator calibration factor for converting dosimeter light output to dose (Tendler et al 2018). Six OSLDs were attached to the phantom directly adjacent to scintillators and exposed to doses of 25–200 cGy. A linear trend line was fit to a plot of average dose reported by OSLD versus scintillator output.
2.2. Scintillator output versus lifetime radiation exposure
To determine whether scintillator light output is influenced by lifetime exposure to radiation, 4 new (previously unexposed to radiation) TSET scintillator dosimeters were subjected to doses of 0, 1300, 2700, 4100, 8500, and 15 000 Gy. Scintillators were first irradiated with 300 MU using the TSET imaging setup to obtain a baseline output reading. Then, scintillators were placed at 60 SSD and irradiated to the doses listed above. After each intended dose was administered, the dosimeters were placed in the TSET imaging setup and irradiated with 300 MU to obtain incremental scintillator output measurement. Following completion of this test, scintillator output was re-verified after a period of 20 d (dosimeters were kept in a radiation-free environment) by using the TSET imaging setup and irradiating with 300 MU.
2.3. Impact of scintillator thickness on surface dose
Scintillators of different thicknesses (0.65, 0.80, 1.08, 1.34, 1.51, 1.75, 2.11, 2.28, 2.57, 2.85, and 3.13 mm) were placed directly on top of a calibrated PTW 23342 ionization chamber (IC) (PTW, Freiburg, Germany). Scintillator samples of varying thickness are shown side-by-side in figure 2(E). It should be noted that this specific chamber has a sensitive volume with a diameter of 3 mm which is smaller than the 15 mm diameter of the TSET scintillators—the disc was able to completely cover the entrance window of the IC, figure 2(C). A stack of 10 cm of solid water was used to provide backscattering, the top-most block had a cut-out insert for the IC—the surface of the chamber was flush with the top of the stack figure 2(D). Scintillators were irradiated at a SSD of 100 cm with a 10 cm $\times$ 10 cm field using a 6 MeV for 100 MU (1000 MU min$^{-1}$). For reference, the effect of an optically stimulated luminescence detector (nanoDOT, Landauer Inc. Glenwood, IL) on surface dose was also evaluated. The percent change in surface dose caused by placing an OSLD and scintillators with varying thicknesses on-top of an IC were computed.
2.4. Scintillator output versus thickness
To evaluate the impact of dosimeter thickness on scintillator output, scintillators used in section 2.3 were mounted to a flat-faced phantom and irradiated with 300 MU using the TSET imaging setup. Scintillator output was obtained for each dosimeter. Data was normalized to output from the thinnest (0.65 mm) dosimeter to determine how relative output changes with thickness.
2.5. Scintillator output versus diameter variation
Scintillators of 1 mm thickness and diameters of 5, 10, 15, 20, 25, and 30 mm were attached to a flat faced phantom, figure 2(F). OSLDs were also attached to the phantom directly adjacent to scintillators to provide reference surface dose measurements. The phantom was irradiated using the TSET imaging setup with doses of 100, 300, 500, 700, 900, and 1100 (MU) corresponding to 31, 67, 104, 144, 182, and 223 cGy, as measured by OSLD. Scintillator output was compared to surface dose measured by OSLD.
3. Results
3.1. Scintillator physical properties
3.1.1. Impact of temperature on scintillator output
Scintillator output was evaluated over a range of temperatures (10, 15, 20, 25, 30, 35, and 40°) for $n = 5$ TSET scintillators using 6 MeV. For a change in temperature of 30 °C (10 °C–40 °C) it was found that average output increased by 0.69 ± 0.02%. Scintillator output near body temperature (35 °C), compared to room temperature (~25 °C), was found to be 0.21 ± 0.03% higher on average. Figure 3(A) presents data for average scintillator output (normalized percent difference to the baseline output at 10 °C) across the tested temperature range. A linear fit was generated for this data set with an $R^2 = 0.95$ and RMSE = 0.05, shown in figure 3(A).
3.1.2. Scintillator emission spectra
The emission light spectra of the TSET scintillators when irradiated with 6 MeV electrons is shown in figure 3(B). The scintillators were found to have a maximum wavelength of emission of 422 nm; emission spectra were normalized to this wavelength. Scintillator spectra had ≥20% light emission in the bandwidth of 403–492 nm.
3.1.3. Scintillator light output versus dose rate
The relationship between dose rate and cumulative scintillator light output is shown in figure 4. Scintillator output was normalized to the mean of all measured data points in this experiment, depicted as a horizontal red dotted line. Each data point represents an average of the $n = 5$ scintillators utilized in this experiment, 1 standard deviation error bars (vertical cyan colored) are also provided in this figure. Scintillators reported data within 0.05% of the mean across all dose rates tested—dose rate had no impact on scintillator light output.
3.2. Scintillator performance
3.2.1. Scintillator-to-scintillator variation and calibration factor
For a group of $n = 29$ TSET scintillator dosimeters, output per scintillator is shown as percent difference from mean, per scintillator, in figure 5(A). It was found that the mean percent difference was 0.3% ± 0.2%; 29/29 and 23/29 scintillators had output within 1% and 0.5% of the mean, respectively.
Upon plotting scintillator output for all 29 dosimeters versus dose reported by OSLD (range of exposures were 20–200 cGy), a linear fit was calculated ($R^2 = 0.99$) and a dose conversion calibration factor of 7530 a.u. cGy$^{-1}$ was derived, figure 5(B).
### 3.2.2. Scintillator output versus lifetime radiation exposure
To determine whether cumulative radiation exposure influences scintillator light output, $n = 4$ TSET scintillators were exposed to a total of 15 000 Gy. Figure 6 shows scintillator output as a function of total radiation exposure. Compared to scintillators having received no prior dose, scintillators showed an average 0.2% decrease in signal output after exposure to 15 000 Gy. Furthermore, the same batch of dosimeters underwent verification testing 20 d post-15 000 Gy exposure, less than an average 0.1% difference in scintillator output was noted. Given that we have previously shown that the camera system was stable within 2% ± 1% over a 6-month testing period (Tendler et al 2018), we can reasonably say that there was no detectable impact of radiation exposure on scintillator output.
### 3.2.3. Scintillator thickness versus surface dose
Scintillators of different thicknesses were placed directly on-top of an IC to evaluate the effect of increasing scintillator thickness on surface dose (figure 7(A)). For scintillators of thicknesses ranging from 0.66 mm (thinnest tested) to 3.13 mm (thickest tested), surface dose was found to increase by an average of 2.6% and 6.6%, respectively, when compared to a baseline reading with no scintillator present. The impact of TSET scintillators (1 mm thick) on surface dose was compared to that of a standard nanoDot OSLD (2 mm thick), both dosimeters increased surface dose, on average, by 4.9%. All scintillator thickness < 1.26 mm increased surface dose by < 5%.
### 3.2.4. Scintillator output versus thickness
The relationship between scintillator thickness and normalized output is shown in figure 7(B). By normalizing dosimeter output to the thinnest scintillator (0.66 mm), it was found that scintillator output follows a linear trend with an $R^2 = 0.99$. Thus, for every mm increase in scintillator thickness, output increase by approximately 1.9 times—compared to the thinnest scintillator, the thickest scintillator (3.13 mm) had 5.7 times greater output.
### 3.2.5. Scintillator output versus diameter
Scintillator output, as a function of exposed dose, for dosimeters of varying diameters (thickness of 1 mm) is shown in figure 8. The custom fitting algorithm was able to successfully produce values for scintillator output in all dosimeters tested; all dosimeters responded to increased amounts of dose in a linear fashion. It should be noted that scintillator output was converted to dose by using surface dose measurements reported by OSLDs. The slopes of the curves reported in figure 8 correspond to calibration factors for dosimeters of varying diameter.
## 4. Discussion
The purpose of scintillator dosimeters is to provide a surrogate dose measurement that enable estimation of absolute dose at a point of interest. We have shown that the response of scintillator dosimeters is independent of dose rate, radiation damage, and temperature, within clinically relevant range of values. Furthermore, TSET scintillators were found to have a similar impact on surface dose compared to OSLDs, a standardized surface
Figure 5. (A) Scintillator-to-scintillator variation for 29 dosimeters. Mean of all percent differences, ± 0.5% and ± 1.0% are shown red, light green, and dark green, respectively. (B) Scintillator output versus dose reported by OSLD. Linear fit, OSLD STD, and scintillator STD are shown in blue, red and yellow, respectively. Equation for trendline, $R^2$, and RMSE are also provided.
Figure 6. Scintillator output for a group of 4 new scintillators after being exposed to a cumulative dose of 15000 Gy. Data is presented as percent difference from overall mean of all data collected (solid red line). A verification measurement taken 20 d post-15000 Gy exposure is also shown. Mean percent difference from overall mean per exposed dose is displayed as a dotted red line. ±0.5% and ±1.0% are in dotted light and dark green lines, respectively.
Figure 7. (A) Impact of scintillator thickness on surface dose measured by IC. All data points are normalized to IC reading obtained with no dosimeter present (baseline). 5% from baseline is shown as a dotted red line. IC measurements obtained with scintillators and an OSLD place upon the IC are shown in hollow blue circles and filled pink dots, respectively. (B) Scintillator light output as a function of thickness. All data points are normalized to the thinnest dosimeter (0.66 mm). Linear fit, as well as corresponding $R^2$ and RMSE are shown.
dosimetry technique. We have previously demonstrated that within the context of TSET, scintillator dosimeters are distance and angle independent (Tendler et al 2018). The current manufacturing methodology has been able to produce dosimeters with sufficiently low ($0.3\% \pm 0.2\%$) scintillator-to-scintillator variation; thus, a bulk calibration factor can be utilized for light output to dose conversion.
The emission spectra and light output response to changes in thickness and diameter of scintillators is presented above. Thus, knowing this information, one could adapt the scintillator dosimetry system for situations where a smaller treatment field (with large dose gradients) is utilized. For example, dosimeter diameter and thickness can be reduced, the camera system, meanwhile, can be modified to have higher sensitivity to scintillator light output.
The addition of automatic scintillation detection capability to the acquisition software provided with the C-Dose camera system is currently under development. This technique will utilize computer vision algorithms to assess properties of potential scintillator locations (based on a range of thresholded images), including intensity, area, circularity, inertia, and convexity. Scintillation centroid locations are thereby automatically determined in each frame and tracked over time through the course of treatment. The fitting model is then used to determine dose values in cGy from scintillation intensity accumulation. In the case of false positive or negative identification of scintillators, the user can add or remove locations, respectively.
To eliminate the need for individually wrapping scintillators in cellophane, testing is underway to create a protective coating for scintillator dosimeters. Combined with their resistance to radiation damage (tested up to 20000 Gy), we envision these dosimeters have the potential for long-term reusability. The protective coating would enable dosimeter cleaning with alcohol-based chemical agents in between uses and prevent scratching or chipping of the reflective paint.
In addition to TSET, these dosimeters can be used in estimating surface dose during treatment scenarios where static open fields are utilized. For example, there is utility in estimating surface dose during clinical situations such as electron fields. Due to their modest size and stable dose response, scintillator dosimeters can be used to practically and efficiently provide this information.
5. Conclusion
This report serves as reference material for the time-gated imaging of scintillator dosimeters in determining surface dose of patients undergoing TSET. Combined with a previous successful human pilot trial (Tendler et al 2018), the data presented in this study shows that scintillator dosimeters are a viable alternative to currently existing surface dosimetry techniques.
Acknowledgments
This work was sponsored by NIH grants R44 CA199836, R01 EB023909, and P30 CA023106.
The authors have confirmed that any identifiable participants in this study have given their consent for publication.
Conflict of interest statement
M Jermyn is an employee and B Pogue is a president of DoseOptics LLC. P Bruza is principal investigator in SBIR subaward B02463 (prime award NCI R44CA199681, DoseOptics LLC).
ORCID iDs
Irwin I Tendler @ https://orcid.org/0000-0001-7535-264X
Petr Bruza @ https://orcid.org/0000-0002-6196-5872
References
Allisy-Roberts P and Williams J 2008 Radiation hazards and protection Farr’s Physics for Medical Imaging 2nd edn, ed P Allisy-Roberts and J Williams (Philadelphia, PA: WB Saunders) ch 2, pp 23–47
Beaulieu L and Beddar S 2016 Review of plastic and liquid scintillation dosimetry for photon, electron, and proton therapy Phys. Med. Biol. 61 R305–43
Beaulieu L, Goulet M, Archambault L and Beddar S 2013 Current status of scintillation dosimetry for megavoltage beams J. Phys.: Conf. Ser. 444 012013
Ben M, Sam B, Joanna I and Chester R 2013 In vivo dosimetry in external beam radiotherapy Med. Phys. 40 070903
Birks J 1964 The Theory and Practice of Scintillation Counting (New York: Elsevier)
Bourland JD 2016 Radiation oncology physics Clinical Radiation Oncology 4th edn, ed I L Gunderson and J E Tepper) (New York: Elsevier) ch 6, pp 93–147
Bruza P et al 2018 Time-gated scintillator imaging for real-time optical surface dosimetry in total skin electron therapy Phys. Med. Biol. 63 095009
Bufacchi A et al 2007 In vivo EBT radiochromic film dosimetry of electron beam for total skin electron therapy (TSET) Phys. Med. 23 67–72
Butson M J et al 1996 A new radiotherapy surface dose detector: The MOSFET Med. Phys. 23 655–8
Carrasco P et al 2016 Characterization of the Exradin W1 scintillator for use in radiotherapy: characterization of Exradin W1 for radiotherapy Med. Phys. 42 297–304
Desai K R et al 1988 Total skin electron irradiation for mycosis fungoides: relationship between acute toxicities and measured dose at different anatomic sites Int. J. Radiat. Oncol. Biol. Phys. 15 641–5
Desrosiers M F 2014 Post-irradiation study of the alanine dosimeter J. Res. Natl Inst. Stand. Technol. 119 277–95
Dimitriadias A et al 2017 Characterisation of a plastic scintillation detector to be used in a multicentre stereotactic radiosurgery dosimetry audit Radiat. Phys. Chem. 140 373–8
Eyadeh M M, Wierzbicki M and Diamond K R 2017 Measurement of skin surface dose distributions in radiation therapy using poly(vinyl alcohol) cryogel dosimeters J. Appl. Clin. Med. Phys. 18 153–62
Fabregat Borrás R et al 2017 PO-0943: evaluation of a recent in vivo dosimetry methodology for HDR prostate BT using MOSFET detectors Radiatther. Oncol. 123 S522–3
Hensley P W, Major G, Edel C, Hauswald H and Bischof M 2013 Technical and dosimetric aspects of the total skin electron beam technique implemented at Heidelberg University Hosp. Rep. Pract. Oncol. Radiatther. 19 135–43
Kirby T H, Hanson W F and Johnston D A 1992 Uncertainty analysis of absorbed dose calculations from thermoluminescence dosimeters Med. Phys. 19 1427–33
Kry S 2016 MO-A-BRB-01: TG191: clinical use of luminescent dosimeters Med. Phys. 43 3690
Kumar P P, Henschke UK and Nihbanupudy J R 1977 Problems and solutions in achieving uniform dose distribution in superficial total body electron therapy J. Natl.Med. Assoc. 69 645–7
Marre D and Marinello G 2004 Comparison of p-type commercial electron diodes for in vivo dosimetry Med. Phys. 31 50–6
Reft C S 2009 The energy dependence and dose response of a commercial optically stimulated luminescent detector for kilovoltage photon, megavoltage photon, and electron, proton, and carbon beams: energy dependence of optically stimulated luminescent detector Med. Phys. 36 1690–9
Schütttrumpf L et al 2018 Dose optimization of total or partial skin electron irradiation by thermoluminescent dosimetry Strahlenther. Onkol. 194 444–53
Sengupta A et al 2016 Surface dosimetry of patients undergoing total body irradiation (TBI): a retrospective analysis for quality assurance Radiatther. Oncol. 120 S79
Tendler I et al 2018 Rapid multi-site remote surface dosimetry for total skin electron therapy; scintillator target imaging Int. J. Radiat. Oncol. Biol. Phys. 103 767–74
Wang X et al 2018 Verification of eye lens dose in IMRT by MOSFET measurement Med. Dosim. 44 107–10
Yusof F H et al 2015 On the use of optically stimulated luminescent dosimeter for surface dose measurement during radiotherapy PLoS One 10 e0128544
|
From: brian frosh <firstname.lastname@example.org>
Sent: Tuesday, March 5, 2019 10:37 AM
To: Tong, William
Subject: Fwd: see attached for key messages
Attachments: State Impact Center Special Report Key Messaging -- 3-4 Final.docx
--------- Forwarded message --------
From: David J. Hayes <email@example.com>
Date: Mon, Mar 4, 2019, 9:10 PM
Subject: see attached for key messages
To: Brian Frosh <firstname.lastname@example.org>
--
David J. Hayes
Executive Director
State Energy & Environmental Impact Center
1015 15th Street, NW, Suite 600
Washington, D.C. 20005
office: (202) 846-0247
cell: (202) 258-3909
email: email@example.com
twitter: @djhayes01
www.law.nyu.edu/centers/state-impact
The State Impact Center is part of the NYU School of Law
Special Report: Climate & Health Showdown in the Courts:
State Attorneys General Prepare to Fight
Key Messaging
Because the Trump administration has failed in so many of its initial attempts to stall the Obama administration’s environmental progress, it has been difficult for the public to appreciate the full scope and scale of the Trump administration’s deregulatory agenda. In 2019, the Trump administration is preparing to take final action to water-down or repeal six essential federal rules critical to the health and welfare of all Americans, as well as the planet.
These rollbacks give a pass to the largest climate polluters in the United States, setting national efforts to combat climate change back by many years. If successful, the rollbacks will result in annual emissions increases of more than 200 million metric tons of CO₂e, while also significantly increasing emissions of conventional air pollutants that severely endanger the health and welfare of millions of Americans, especially disadvantaged communities. This new Special Report from the State Impact Center focuses on the following misguided and unlawful rollbacks:
- Coal Industry: Clean Power Plan (CO₂)
- Automotive Industry: Clean Car Standards (CO₂)
- Automotive Industry: Glider Truck Pollution (CO₂)
- Oil & Gas Industry: Methane emissions (new and existing sources)
- Oil & Gas Industry: Methane emissions (public lands)
- Landfills: Methane emissions
1. The four industries these rollbacks benefit the most account for nearly 50 percent of national greenhouse gas emissions.
The four industries that stand to benefit the most from the Trump administration’s climate change rollbacks contributed nearly 50 percent of national greenhouse gas emissions in 2017. This is according to the EPA’s own data. At a time when the Fourth National Climate Assessment has made it clear that now is the time to act to stave off the worst impacts of climate change, the Trump administration is doing everything it can to give the core drivers of U.S. emissions a pass.
2. The rollbacks carry an enormous cost, representing hundreds of billions of dollars in foregone economic, health and environmental benefits.
The Trump administration has tried to justify its deregulatory agenda with economic arguments tied to cost savings to industry, but the existing rules have all been identified as reasonable and achievable, and the cost savings to industry are minuscule in comparison to the public costs of these rollbacks.
- The Clean Power Plan has an estimated **$49 billion in economic net benefits by 2030** from reductions in greenhouse gas emissions and other pollutants.
- Rolling back national Clean Car Standards will cost American drivers between **$193 and $236 billion dollars** in added fuel expenses by 2035, in addition to eliminating as much as **$18 billion** in climate and public health benefits each year.
- Rolling back current methane emissions standards for new, reconstructed or modified oil and gas drilling operations will result in economic costs up to **$170 million by 2025** in the form of forgone net benefits.
- Repealing the Bureau of Land Management’s Waste Prevention Rule will cost the public **$203 million in foregone environmental and economic benefits by 2026** and $824 million in foregone cost savings **by 2028**.
- Delaying implementation of methane emissions reductions from landfills will cost an estimated **$1.5 billion** over the next four years.
3. **The public health impact of these rollbacks will be severe, and long lasting.**
Because the economic and health-related costs of the Trump administration’s environmental rollbacks arise from different pollutants and occur at different time-scales, the public has not been made fully aware of the magnitude of their impacts. Nevertheless, when they are evaluated on a rule-by-rule basis, the results are staggering, including thousands more premature deaths, hundreds of thousands more asthma attacks, and countless additional missed days of school for children and adults. For instance:
- The Trump administration’s proposal to replace the Clean Power Plan would generate increases in air pollution that could lead to **1,630 premature deaths, 120,000 additional asthma attacks, 140,000 missed school days** and **48,000 lost work days** by 2030.
- Failing to address methane leakage from both new and existing oil and gas operations will generate dangerous, localized pollution that will cause **1,900 premature deaths, 1.1 million asthma attacks**, and **3,600 emergency room visits** each year in 2025.
- Reinstating a loophole for the sale of “glider trucks” would put an estimated 120,000 environmentally non-compliant trucks on the road by 2025, causing **9,000 to 21,000 premature deaths** and untold numbers of asthma attacks, emergency visits and lost work days every year.
Finally, the Trump administration’s own analysis has found that these impacts will disproportionately fall on already vulnerable populations and environmental justice communities, including low-income and minority communities across the United States.
4. **Through these and other rollbacks, the Trump administration is unleashing a direct attack on states’ rights.**
While Trump administration officials, such as recently confirmed EPA Administrator Andrew Wheeler, have claimed that they are committed to working cooperatively with states, their actions
are designed to undermine state efforts to ensure cleaner air and a successful transition to clean energy. By targeting common sense regulations like our national Clean Car Standards and attempting to strip California’s legal right to set vehicle greenhouse gas emissions standards, the Trump administration is fundamentally disregarding states’ rights.
This amounts to a systemic attack on our nation’s bedrock environmental laws, and it is why state attorneys general are mounting an essential legal defense of common-sense regulations protecting human health and the environment.
5. **The Trump administration is turning its back on its legal obligation to act on climate change.**
The Trump administration is legally obligated to act on climate change under the Clean Air Act because of EPA’s own finding that greenhouse gases endanger human health and welfare. For the past two years, it has pursued a strategy of avoiding implementation and enforcement of climate rules, but state attorneys general have stepped in, challenged the legality of its delay tactics, and stopped it.
Now the Trump administration has finally come forward with proposed rules of its own, but rather than reducing greenhouse gas emissions, these proposals would either return emissions to previous levels or increase them even further. State attorneys general are fighting to ensure that their local policies, which have successfully reduced emissions for their states, will continue.
Brian,
Thanks for including me in the press conference this week. Great to see you and catch up. You mentioned that you'd be willing to share your office's application for the fellowship. Can you forward to me at this email? Thanks.
William
WILLIAM TONG
Attorney General
Office of the Attorney General, P.O. Box 120, 55 Elm Street, Hartford, CT 06106
Phone: (860) 808-5314 | URL: http://portal.ct.gov/ag/
Confidential Information: The information contained in this e-mail is confidential and protected from general disclosure. If the recipient or the reader of this e-mail is not the intended recipient, or person responsible to receive this e-mail, you are requested to delete this e-mail immediately and do not disseminate or distribute or copy. If you have received this e-mail by mistake, please notify us immediately by replying to the message so that we can take appropriate action immediately and see to it that this mistake is rectified.
From: brian frosh [mailto:firstname.lastname@example.org]
Sent: Tuesday, March 5, 2019 10:37 AM
To: Tong, William
Subject: Fwd: see attached for key messages
-------- Forwarded message --------
From: David J. Hayes <email@example.com>
Date: Mon, Mar 4, 2019, 9:10 PM
Subject: see attached for key messages
To: Brian Frosh <firstname.lastname@example.org>
David J. Hayes
Executive Director
State Energy & Environmental Impact Center
1015 15th Street, NW, Suite 600
Washington, D.C. 20005
office: (202) 846-0247
cell: (202) 258-3909
email: email@example.com
twitter: @djhayes01
www.law.nyu.edu/centers/state-impact
The State Impact Center is part of the NYU School of Law
William
I am tracking it down. There is a version that has been made public, and I need to send you that one. I’ll have it by tomorrow.
It was great to see you, too. I hope we have some more opportunities soon.
Best,
Brian
On Thu, Mar 7, 2019 at 1:32 PM Tong, William <firstname.lastname@example.org> wrote:
Brian,
Thanks for including me in the press conference this week. Great to see you and catch up. You mentioned that you'd be willing to share your office's application for the fellowship. Can you forward to me at this email? Thanks.
William
Confidential Information: The information contained in this e-mail is confidential and protected from general disclosure. If the recipient or the reader of this e-mail is not the intended recipient, or person responsible to receive this e-mail, you are requested to delete this e-mail immediately and do not disseminate or distribute or copy. If you have received this e-mail by mistake, please notify us immediately by replying to the message so that we can take appropriate action immediately and see to it that this mistake is rectified.
From: brian frosh [mailto:email@example.com]
Sent: Tuesday, March 5, 2019 10:37 AM
To: Tong, William
Subject: Fwd: see attached for key messages
-------- Forwarded message --------
From: David J. Hayes <firstname.lastname@example.org>
Date: Mon, Mar 4, 2019, 9:10 PM
Subject: see attached for key messages
To: Brian Frosh <email@example.com>
--
David J. Hayes
Executive Director
State Energy & Environmental Impact Center
1015 15th Street, NW, Suite 600
Washington, D.C. 20005
office: (202) 846-0247
cell: (202) 258-3909
email: firstname.lastname@example.org
twitter: @djhayes01
www.law.nyu.edu/centers/state-impact
The State Impact Center is part of the NYU School of Law
William
Attached is the public version of our application to the NYU Impact Center. Please call if you have any questions.
Warm regards,
Brin
Good Afternoon,
Thank you for the opportunity to submit this application on behalf of the State of Maryland for additional support to defend environmental protections. Please see attached the Maryland Office of the Attorney General’s grant application for the purpose of hiring special assistant attorneys general (SAAGs). Please contact our Office with any questions or concerns about the application at the contact information below. Thank you again for this opportunity.
Sincerely,
Grace
Grace O’Malley
Executive Assistant to
Attorney General Brian E. Frosh
State of Maryland
Office of the Attorney General
200 St. Paul Place
Baltimore, MD 21202
Ph: 410-576-6311 | email@example.com
1. **Program Eligibility and Narrative**
State attorneys general should describe the particular scope of needs within their offices related to the advancement and defense of progressive clean energy, climate change, and environmental matters. Relevant details include the extent to which funding or other capacity constraints have limited the ability to work on these issues or how additional dedicated support could help advance the work of the state attorney general on behalf of his or her constituents.
Priority consideration will be given to state attorneys general who demonstrate a commitment to and acute need for additional support on clean energy, climate change, and environmental issues of regional or national importance, such as those matters that cross jurisdictional boundaries or raise legal questions or conflicts that have nationwide applicability.
I. The Maryland Office of the Attorney General’s Need for Additional Capacity
Our Office has used, and will continue to use, its authority\(^4\) newly
---
\(^4\) Md. Legis.S.JR0001. Reg. Sess. 2017. Maryland State Legislature. Sept. 6, 2017. [http://mgaleg.maryland.gov/webmga/frmMain.aspx?pid=billpage&tab=subject3&stab=01&id=sj0005&vs=2017rs](http://mgaleg.maryland.gov/webmga/frmMain.aspx?pid=billpage&tab=subject3&stab=01&id=sj0005&vs=2017rs)
granted by the Maryland legislature to take legal action to defend against the federal government’s efforts to turn the clock back on environmental protections and the battle against climate change (see Appendix A).
Since taking office, President Trump has attempted to rollback, freeze, eliminate, or revoke no less than 23 regulations and/or Executive Orders promulgated under President Obama and previous administrations.\(^5\) The Maryland OAG is already involved in multiple lawsuits challenging these actions.
---
\(^5\) Popovich, Nadja and Schlossberg, Tatiana, “23 Environmental Rules Rolled Back in Trump’s First 100 Days.” *The New York Times*, May 2, 2017.
II. Attorney General Frosh and the Maryland Office of the Attorney General’s Commitment to the Environment
Attorney General Frosh has demonstrated a commitment to clean energy, climate change, and the environment over nearly 30 years of public service as a Maryland legislator, and he has continued to act as an environmental advocate as Attorney General.
As a Maryland legislator, Attorney General Frosh consistently championed environmental causes through legislation and advocacy. Mr. Frosh served as a member of the Green Caucus (1996-2015), the Task Force on Energy Conservation and Efficiency (2001), the U.S. Clean Air Act Advisory Committee (1996-2002), the Chesapeake Bay Commission (1995-2001), the Governor’s Commission on Climate Change (2007-2015), and chaired the Environment subcommittee (1995-2003). Even early on, in 1998, the Washington Post lauded his legislative leadership, saying, “Frosh has risen to become the most prominent advocate for the environment in Annapolis and perhaps the most influential member of the county’s legislative delegation.”
As a senator and chair of the Judicial Proceedings Committee, Mr. Frosh authored and sponsored legislation that increases accountability for polluters; promotes energy efficiency and clean energy alternatives; and combats the sources of climate change. For example, he authored the Omnibus Oil Spill Protection Act, which increases liability and penalties for oil spills and allows the state to set standards for the transport and storage of petroleum products. He also sponsored the Energy Conservation and Efficiency Act of 2009, which requires the state and counties to adopt international energy conservation standards, and a second bill requiring utility companies to implement energy conservation programs before constructing new power plants. To combat climate change, he sponsored the Clean Cars Act of 2007, which requires Maryland to work with other states to promote the regional adoption of Low Emissions Vehicle programs, as well as the Greenhouse Gas Emissions Reduction Act 2009, which requires the
---
7 Attorney General.” Brian E. Frosh, Maryland Attorney General, Maryland State Archives, Aug. 3, 2017, http://msa.maryland.gov/msa/mdmanual/08conof/attorney/html/msa12167.html
8 Goodman, Peter S. “Montgomery Senator Takes Powerful Role on Farms, Ecology.” The Washington Post, Mar. 9, 1998, pp. C1, C5. Maryland State Archives. Sept. 6, 2017. http://msa.maryland.gov/megafile/msa/speccol/sc3500/sc3520/012100/012167/pdf/post_9mar1998.pdf
9 Md. Legis. Assemb. Ch 294, House Bill 190, Reg. Sess. 1992. Archives of Maryland Online, Sept. 6, 2017. http://aomol.msa.maryland.gov/megafile/msa/speccol/sc2900/sc2908/000001/000808/html/am808--2547.html
10 Md. Legis. S. Ch 294, Senate Bill 625. Reg. Sess. 2009. Maryland State Legislature. Sept. 6, 2017. http://mgaleg.maryland.gov/webmga/frmMain.aspx?ys=2009rs/billfile/SB0625.htm
11 Md. Legis. S. Ch 631, Senate Bill 631. Reg. Sess. 2007. Maryland State Legislature. Sept. 6, 2017. http://mgaleg.maryland.gov/webmga/frmMain.aspx?ys=2007RS%2fbillfile%2fsb0562.htm
12 Md. Legis. S. Fiscal and Policy Note, Senate Bill 51. Reg. Sess. 2007. Maryland State Legislature. Sept. 6, 2017. http://mlis.state.md.us/2007RS/fnotes/bil_0001/sb0051.pdf
State to implement a strategy to reduce statewide greenhouse gas emissions by 25% from 2006 levels by 2020.\textsuperscript{13} Thus, Mr. Frosh continually used his position to advance a progressive environmental agenda.
Political commentators and longtime environmental activists took note of Mr. Frosh’s commitment; in 2003, the Washington Post described Mr. Frosh as a ‘Giant Killer’ in reference to his penchant for challenging powerful corporations and the political establishment to increase environmental protections\textsuperscript{14}. He was also recognized through numerous awards, including 1989 “Conservationist of the Year” from the Sierra Club, 1999 “Public Official of the Year” from the Audubon Naturalist Society, the “John V. Kabler Memorial Award” from the Maryland League of Conservation Voters in 2003, and “Legislator of the Year” from 1000 Friends of Maryland.\textsuperscript{15}
As the chief legal officer of the State, Mr. Frosh has continued his environmental advocacy by defending environmental protections of regional and national significance. During the 2017 Maryland Legislative Assembly, the legislature passed a joint resolution, the Maryland Defense Act of 2017, which authorized the Attorney General to pursue legal action without prior authorization from the Governor when federal action threatens the public interest and welfare of Marylanders.\textsuperscript{4} Since the passage of this resolution, our Office has submitted multiple comments on federal regulatory action, joined amicus briefs in litigation challenging actions taken by the Trump Administration, and intervened with other states as parties in multiple lawsuits. We have also authored or signed multi-state letters urging Congress and the President to promote environmental interests. Examples include the January 17, 2017, letter to the U.S. Senate opposing the confirmation of then-Oklahoma Attorney General Scott Pruitt as Administrator of the Environmental Protection Agency\textsuperscript{16}, and the April 25, 2017, letter urging the Trump Administration to reconfirm the United States’ commitment to the Paris Agreement on climate change\textsuperscript{17}. Our Office has also demonstrated its commitment to combatting climate change and promoting clean energy through its involvement in litigation defending the Clean Air Act and its regulations, such as the Clean Power Plan. Specific examples of litigation in which the OAG has been involved are attached as Appendix A.
\textsuperscript{13} Md. Legis.S. Ch 172, Senate Bill 278. Reg. Sess. 2009. Maryland State Legislature. Sept. 6, 2017. http://mgaleg.maryland.gov/webmga/frnMain.aspx?ys=2009rs/billfile/sb0278.htm
\textsuperscript{14} Mosk, Matthew. “Frosh Goes From Backbencher to ‘Giant Killer.’” The Washington Post, Mar. 16, 2003. Maryland State Archives. Sept. 6, 2017. http://msa.maryland.gov/megafile/msa/speccol/sc3500/sc3520/012100/012167/pdf/post_16mar2003.pdf
\textsuperscript{15} “Archives of Maryland (Biographical Series).” Brian E. Frosh, MSA SC 3520-12167, Maryland State Archives, 4 Dec. 2014. Sept. 6, 2017. http://msa.maryland.gov/megafile/msa/speccol/sc3500/sc3520/012100/012167/html/12167bio.html
\textsuperscript{16} “AG Multistate Letter to US Senate.” Received by Chairman Barrasso & Ranking Member Carper. AG Multistate Letter to US Senate, Attorneys General of Delaware, District of Columbia, Hawai’i, Maryland, Massachusetts, New York, Oregon, Rhode Island. Jan., 17, 2017. http://www.marylandattorneygeneral.gov/News%20Documents/AG_Multistate_Letter_to_US_Senate_EPW_Jan17_2017.pdf
\textsuperscript{17} “Paris Climate Agreement Letter.” Received by President Donald Trump. AG Multistate Letter to President Trump, Attorneys General of Maryland, Delaware, Iowa, Massachusetts, Connecticut, District of Columbia, Maine, Minnesota, New York, Oregon, Vermont, North Carolina, Rhode Island, American Samoa. April 25, 2017. http://www.marylandattorneygeneral.gov/News%20Documents/Paris_Climate_Agreement_Letter.pdf
Therefore, Attorney General Frosh and the Maryland Office of the Attorney General have consistently demonstrated a commitment to enhancing and protecting environmental laws and regulations for the purpose of combating climate change and promoting clean energy.
2. Program Structure
Applications should include specific details about the scope of expertise the state attorney general needs in a SAAG to advance his or her priorities. Details should also be provided about how the SAAG would be incorporated into the Office of the Attorney General, including the relevant internal reporting structure.
The SAAGs would work in the central office in Baltimore rather than at a satellite site with current attorneys representing state environmental agencies. This central location would enable frequent direct contact among the SAAGs, Attorney General Frosh, and senior staff as they collaborate.
Ideal candidates will have a minimum of five years of legal experience, membership in the Maryland Bar and the US District Court for the District of Columbia, and substantial experience working with environmental law and regulation. If not members of the Maryland Bar, candidates would at minimum become members of the US District Court for the District of Columbia within the first months of employment.
Candidates should also have a demonstrated working knowledge of legal issues related to . As noted previously, the SAAGs would be instrumental in implementing . Position responsibilities would also include legal and regulatory advice, and litigation before state, federal, and appellate courts, as well as administrative agencies. SAAGs would report to a member of the Attorney General’s senior staff within the Executive Division.
3. Budget Proposal and Confirmation of Authority
To be considered complete, applications must identify a proposed salary (or range) for a SAAG, with an explanation of how it would conform with the existing salary structure in the state AG office.
Applications also should identify any state-specific limitations or requirements governing the appointment of an employee paid by an outside funding source, and include a written confirmation that the attorney general has the authority to hire an NYU Fellow as a SAAG (or equivalent title).
The proposed salary for an SAAG would depend upon the candidate’s experience, but it could be as high as $125,000.
Maryland does not have any state-specific limitations or requirements governing appointment of an employee paid by an outside funding source. Attorney General Brian Frosh has the authority to hire an NYU Fellow as a SAAG.
APPENDIX A
Our Office has demonstrated its commitment to reducing emissions of pollutants that cause climate change by intervening in *North Dakota v. EPA* and *W. Virginia v. EPA* in 2015 to defend the Clean Power Plan, which regulates emissions from new and existing power plants. Maryland intervened in *North Dakota v. EPA* in November of 2015, joining California and other states in defending §111(b) of the Clean Air Act, which requires certain new or modified power plants to achieve emissions limits and to use a carbon capture system that has been demonstrated to be the best system of emissions reduction.
Similarly, in November of 2015, Maryland joined New York and other states in support of another Clean Power Plan regulation, §111(d), that requires states to enact more stringent limits on greenhouse gas emissions from existing fossil fuel-fired power plants.
Our office has also intervened to defend regulations limiting mercury and air toxic emissions from power plants. Our Office initially joined with Massachusetts and other states in 2012 to defend standards that limit mercury and other toxic emissions from coal-fired power plants. This rule and the EPA’s supplemental finding that the rule was “appropriate and necessary,” were challenged by Murray Energy Corporation. Throughout the litigation Maryland has continued as an intervenor in support of the rule to limit mercury and other toxic emissions from power plants.
In addition, our Office recently intervened in *Clean Air Council, et al. v. Pruitt*, on June 21, 2017, *et al. v. Pruitt*. The methane oil and gas rule was adopted by the EPA in 2016 and immediately challenged by the oil and gas industry. Maryland initially intervened in support of the EPA’s rule in *American Petroleum Institute, Inc. v. EPA*. On June 2, 2017, however, while the case was being held in abeyance by the U.S. Court of Appeals for the District of Columbia, the EPA sought an administrative stay to halt the implementation of the methane oil and gas rule. In response, NGOs such as the Clean Air Council, Natural Resources Defense Council, Sierra Club, and others filed a petition for judicial review of the administrative stay. This time, Maryland and other states intervened in support of the NGOs’ position in opposition to the EPA’s administrative stay. The U.S. Court of Appeals for the District of Columbia issued a mandate vacating the EPA’s administrative stay, and the EPA’s request for a rehearing on the mandate was denied.
Maryland again demonstrated its commitment to defending environmental regulations by joining a Notice of
Intent to Sue (“NOI”) EPA for its failure to issue emissions guidelines for methane gas from existing oil and gas operations under the Clean Air Act §111(d). The NOI, sent on June 28, 2017, explained that by not issuing these standards, the EPA has failed to carry out its mandatory duty or it has subjected its issuance to an unreasonable delay.
|
Internal Bulletin
No. 34
More background material for 1975 conference.
"PROFITS, CAPITAL & OUTPUT" - GRAPHS TO ACCOMPANY ARTICLE ON THE ECONOMIC CRISIS IN I.B. 25.
On the -
Fourth International
More reprints from the 1972/3 discussion in WF:
"WORKERS FIGHT AND THE FOURTH INTERNATIONAL" - January 1973 Rock round Document.
MINUTES OF DECEMBER 3rd 1972 NATIONAL COMMITTEE DISCUSSION
DATES, NAMES, SPLITS AND FUSIONS: A SKELETON DIAGRAM OF THE HISTORY
WORKERS FIGHT & THE FOURTH INTERNATIONAL - JUNE 1973 PAMPHLET
Portugal
MINUTES OF DISCUSSION BETWEEN WORKERS FIGHT STEERING COMMITTEE AND PORTUGUESE WORKERS' COORDINATING COMMITTEE
Also:
WF NATIONAL COMMITTEE MINUTES 19-7-75
10p.
Profits, Capital and Output
Net Capital stock
normal output
United States of America
Net capital stock
normal output
Australia
Normal rate of profit
(Fig. 3)
We are communist internationalists: we know of no communist programme that can be realised or confined to any one country, or regional group of nations. Capitalism is not national, but an organic world system. Our battle for socialism is necessarily part of a world struggle. The proletariat is either a world revolutionary class or it is not revolutionary.
For this reason we take the international dimension of the working class struggle in Britain as self-evident. In Britain we oppose and set ourselves intransigently against all manifestations of reactionary British nationalism, British insularity, British chauvinistic narrow-mindedness.
The struggle for the dictatorship of the proletariat in Britain is merely a part of a world-wide struggle of the working class for socialism. As WF's "Where We Stand" says: "British workers have—fundamentally—more in common with every single worker throughout the globe, irrespective of race, religion, nationality, or colour, than with the whole of the British ruling class." We are firmly convinced that Trotskyism, revolutionary communism, in the epoch of imperialism and of global politics, is the doctrine of proletarian internationalism par excellence, and that there is no Trotskyism without internationalism.
WF is the only ostensibly communist group to have refused the disingenuous 'soft option' of publicly 'opposing' Common Market entry, in a situation where the Labour leaders and a section of the ruling class were noisily campaigning against the Common Market and for 'Little England', and taking refuge in the privately understood communist reason that we oppose capitalism in all its specific manifestations. We took seriously Trotsky's warning: "...never play with slogans that are not revolutionary by their own content but that can play a quite different role according to the political conjuncture, the relationship of forces, etc..." (p. 90, writings 1934/35, my emphasis).
We have publicly called for the defeat of the British army in Ireland—an army seen as 'its' army by the masses of that section of the international working class of which WF is a part. We have publicly supported the right of the IRA to strike at military targets within Britain itself. We take the whole international history of our class as our guide and attempt to transmit its lesson to the section of our class which we reach directly—as on the question of the general strike, on which WF was the single group to escape from both the crippling limitations of the memory of the one catastrophic British general strike, and simultaneously from reformism.
* * * * * *
Logically internationalism requires an organised International, a recognition of the need for a revolutionary Bolshevik party constructed to the scope and dimensions of its task—the world revolution; with the local national parties as sections of the International. Any 'Trotskyist' grouping that does not adopt this (Trotsky's) concept of an International party built on the communist internationalist programme of permanent revolution, and take up as its starting point the fight for such a party, is a regression to the level of the Second International.
On the other hand, any small grouping, based, in fact, in one country, which does not coldly assess its prospects and possibilities, and its primary responsibility to build a base for communist internationalist ideas in that
section of the working class which it can reach, is substituting an abstract and largely worthless 'internationalism' for real communist practice in the class struggle.
Writing in 1954, James P Cannon, the founder, after Trotsky, of 'Trotskyism', explaining the degeneration of the CPUSA, put it like this: "The degeneration of the CP began when it abandoned the perspective of revolution in this country, and converted itself into a pressure group and cheering squad for the stalinist bureaucracy in Russia - which it mistakenly took to be the custodian of a revolution 'in another country'... what happened to the CP would happen without fail to any other party, including our own, if it should abandon its struggle for a socialist revolution in this country, as the realistic perspective of our epoch, and degrade itself to the role of sympathiser of revolutions in other countries. I firmly believe American revolutionaries should indeed sympathise with revolutions in other lands, and try to help them in every way. But the best way to do that is to build a party with a confident perspective of a revolution in this country. Without that perspective, a communist or socialist party belies its name. It ceases to be a help and becomes a hindrance to the revolutionary workers' cause in its own country. And its sympathy for other revolutionaries isn't worth much either." (p. 37-38, 'First Ten Years of American Communism'). Romantic self-abnegation before a fetish is a bad service to the International that must be built.
WF, with its tiny forces, cannot build the full FI (organisationally and politically). It could conceivably build or make a serious contribution to the building of a revolutionary party in Britain. The ultimate responsibility for our role in this, and to the international working class for the development of communism in Britain, is ours. We cannot abdicate it, and we must approach the problem of international organisation in the light of it.
Our primary immediate task is the one we can actually apply ourselves to now, that is to build a revolutionary communist organisation within the British working class. A major element of our assessment of the USFI must be what its discipline and WF's amalgamation with the IMG would mean for that work. It is sham internationalism that does not fight for the international communist programme, and use the international communist experience on its own home ground. It is toy internationalism which subordinates doing that to cheering on revolutions and revolutionary movements in other parts of the globe (which we should do also), or which fetishises the bare bones of an international organisation in the way the CP used to fetishise the "great Socialist Fatherland".
* * * * * *
But is not this, in essence, nationalism decked out in empty pseudo-internationalist phrases, or at best the platonic 'internationalism' of the centrists: "having proclaimed the necessity of the Fourth International, (the centrist) will work for the building of a Two and a half international" (Trotsky: Centrism and the Fourth International)? If the centrist "...does not understand that in the present epoch a national revolutionary party can be built only as part of an international party" (ibid) is not our attitude a centrist attitude?
For two reasons, the answer is NO. Trotsky addressed himself on such occasions to the programmatic basis of the FI, and to organisational affiliation only as a product of this. He addressed himself to groups which
stopped short of the programme, or had another programme, or did not understand the need for the FI, that is, for reconstructing the Communist International on the blueprint of 1919. We base ourselves on the internationalist programme; we proclaim the need for the FI. Beyond that it becomes a matter of answering responsibly a series of concrete questions: the state of the FI groupings to which we must relate; the state of the major (USFI) segment; the state of its British section - and the relationship of that British section to the work we have done and do in our struggle for the communist internationalist programme in the working class movement, a struggle without which international organisations become ritual incantations and internationalism a private attitude - and a political irrelevance. "A revolutionary organisation does not mean a paper and its readers. One can write and read revolutionary articles day in and day out and still remain in reality outside of the revolutionary movement. One can give the labour organisations good advice - from the sidelines. That is something. But that still does not make a revolutionary organisation..... It is the task of the revolutionary party to weld together the correct ideas with the mass labour movement. Only in this manner can an idea become a driving force."(our emphasis: p. 33, Trotsky writings 1934/35).
Responsible determination to do what it is within our power to do for the programme of communism in the British labour movement demands that we reject the discipline of the USFI whose political and organisational reality we have examined. The local struggle is not higher than the international - it is merely that which is possible to us given the state of the FI. Internationalism does not 'absolve' internationalists of responsibility for assessment of different spheres, different countries. The pursuit of internationalism and an international organisation can become pernicious, can act against the revolutionary essence of communist internationalism if it is destructively counterposed to the struggle in one's own arena, or becomes a 'compensation' for defeats and inadequacies within that arena. If subordination to the IMG and all it stands for in the British labour movement is the practical implication of WF's becoming part of an International now - then international organisation is destructively counterposed to the struggle where we do have forces. We must recognise that fact.
* * * * * *
Capitalism has drawn the world together politically, in the wake of its economic intermeshing. But still the class struggle is within national arenas, or groups of nation states - to begin with. Polemicising against the theory of Socialism in one Country, Trotsky outlined the relationship of the socialist revolution on the international and the national arenas thus:
"...The Marxist doctrine... posits that the socialist revolution can begin only on a national basis, while the building of socialism in one country is impossible....."(p. 21, Third International after Lenin).(our emphasis)
It is this which gives ground for belief that revolutionary practice by a nationally limited group is possible in a national arena, on the basis of the international communist programme. While it could be greatly aided and even transformed by integration into a genuine communist International, that link is not a logical necessity. Nor in any case should communists ever pretend that the situation regarding communist internationalism organisationally, or for that matter programmatically, is other than it is. The party which led the Russian Revolution was part of no International in 1917 - nor did it allow its internationalist programme and its struggle for a communist
international to lead it into fantasies concerning the organisational situation of an international, or a reactionary surrender of its responsibilities in its own arena of struggle. For laying solid organisational foundations for the 3rd International the crucial initial battle was one fought out in the arena of a single state - Czarist Russia. (Though the programme of the Bolsheviks was not drawn only from Czarist Russia). For Lenin, rebuilding the proletarian International, like building the Bolshevik party, and making the Russian Revolution, was a matter of finding at each moment, at each stage, the concrete link in the chain - not abstract proclamations of intention or pious recognition of 'necessities', historical or other. Our task too is to find the concrete links of revolutionary practice and judge every existing organisation from this point of view.
The extremely sharp language of the 1938 Congress of the Fourth International regarding the 'reactionary' character of the Workers International League did not prevent the WIL of 1938 from becoming the major force, the most healthy force of British Trotskyism then and for the following decade. Organisational formalities in themselves were not the decisive criteria even in 1938. Peddlers of "the International" as a panacea to which, once it exists even in a shadowy and programmatically undernourished form, all judgment, initiative and responsibility must be surrendered, should recall the Chinese experience of 1927. It was international instructions carried through too loyally, against their own judgment, that derailed the Chinese revolution and led to its defeat.
Today the USFI as an organisation is a tertiary consideration, absolutely secondary to the question of the programme and how the communist internationalist programme is to be fought for. These truths must be proclaimed bluntly and even brutally in Britain today. They are the necessary antidotes to the pernicious organisational fetishism of groups like the IMG and the SLL (whose 'fetish' is largely a projection of its leaders' imaginations), and the romantic 'internationalism' that goes with it. The USFI today cannot claim to be the 'general staff' of the revolution - or in any case cannot vindicate such a claim. We look at the freaks and mutilations hobbling along the road behind us (the RSL, the SLL, and even the RCL) and recognise that these are the children and stepchildren of the Fourth International. We remember it when we are told that unless we accept the International's democratic centralist discipline and the discipline of the IMG, we will degenerate. The USFI leadership has only the authority of its persuasiveness, its record, and its known abilities. The truth is that its advice on any subject can for us only have the weight of advice from overseas comrades, and, on their record, not an especially heavy weight. Why, therefore, given also the 'actuality' of the IMG, should we place ourselves in a relationship to them where their discipline would have the character of instructions (such as their attempted dictat of 14 months ago)? Because of the mystification regarding the FI in Britain and the consequent loss of sight of the concrete questions of political authority and responsibility, this too must be said brutally.
How do we dare, as internationalists, to assert that we must start from Britain? Because we start programmatically and conceive of communist internationalism as programmatic internationalism, to be grounded in practical activity. For Marxists the tasks are concrete; that which the whole condition is the parts, the local; thus we judge its effects on the struggle to build a revolutionary group on Leninist principles. The existing situation in the ostensible Trotskyist left in Britain demands that we forego dreams and
fantasies and wish fulfillment. No adequate revolutionary party exists in Britain. Of the existing groups the USFI's British section is by no means the best in the struggle for the communist programme within the working class; and separate, apart from that struggle, any organisation, no matter how international it may be, has no meaning for us, or for the working class.
* * * * * *
WF's turn toward the USFI, despite all the USFI's opportunist faults, has meant for WF fundamentally an ideological break with the "anti-Pabloites" and all they stand for. As such it was progressive, and as such it has been defended at a number of Aggregates. It would be disastrous to change the substance of it now.
Our rejection of USFI organisational discipline is both an expression of profound unease about its political history and much of its current politics, and also of the peculiar situation we face in Britain, given the nature, history, role and likely future of the IMG, which is closer to Bordigism than Trotskyism. We neither lie about the USFI nor say it doesn't exist, merely because we differ with it. (Though we insist that what exists is not what it pretends to be, nor can it have the rights and powers it lays claim to). We do not look towards it as a source of salvation for British based revolutionaries; nor, above all, do we treat the tasks of revolutionaries in Britain with contempt, by throwing off responsibilities which are ours and for which we will be answerable to the revolutionary working class militants of the future, onto a small body of people whose history (and current theory and practice) gives no grounds for such implicit organisational/political confidence - because collectively they wear the badge of the Fourth International of Leon Trotsky.
For us the Fourth International is the banner and the programme under which we fight. Its surviving organisational reality, with all its glaring inadequacies, is not a fetish on whose altar we will gratefully lay down our responsibilities.
WF, emerged from the SLL and RSL, groups irrationally hostile to the USFI and incapable of educating their members in the real history of the FI. We arrived at the position of recognising the USFI as the most healthy segment and indeed the mainstream of the Fourth International, slowly, empirically; and reluctantly, given its record in Britain and the existence of the IMG. The understanding that the real dividing line in the history of the post-war Fourth International was in the discussion pre-1951, and not 1953, which we gained in the confrontation with the state capitalists, decided us to declare critical support for the USFI, despite our differences and criticisms. It was a decision based on our fundamental agreement with the basic codifications of 1951, as opposed to the new class theories, but which left open the question of organisational affiliation. It was a decision which treated WF's own record of orientation to the working class, and within that orientation to rank and file activity (and, therefore, of conflict with the British section of the USFI) as only of secondary importance for the issues then posed. For WF as an independent organisation this can no longer be left open. To answer the question of orientation and practical activity otherwise than with a refusal to subordinate to the USFI, would be political irresponsibility.
In addition the bare understanding of the significance of 1951, and the USFI strand emerging from 1951 as being its politically most serious outcome, was far from an adequate appreciation of what a communist programme is.
Trotsky wrote: "The importance of a programme does not lie so much in the manner in which it formulates general theoretical conceptions (in the last analysis, this boils down to a question of 'codification', i.e., a concise exposition of the truths and generalisations which have been firmly and decisively acquired); it is to a much greater degree a question of drawing up the balance of the world economic and political experience of the last period, particularly of the revolutionary struggles of the last five years - so rich in events and mistakes ..." (3rd International After Lenin, p. 3). Given the nature of the post-war political crisis, the codification of 1951, whatever criticism one makes of it, is fundamental. But it is not enough. To understand that it is not enough is to understand the inadequacy of WF's conclusions on the Fourth International in 1969. The other questions posed have not been answered adequately by the USFI. The incontestable inadequacies of the present, and the past, British sections, as well as the divisions which now rend the USFI, as on Vietnam - cannot be understood apart from this question.
* * * * * * *
WF will build a Fourth Internationalist group within the working class. We will defend the fundamental programmatic positions of the Fourth International against the Bordigist IMG as against its other enemies. We will recruit and educate in the real traditions of Lenin and Trotsky and we will build a democratic centralist organisation of active proletarian militants, not an intellectualist discussion club, which is what the IMG is.
That which we proposed to IS regarding the USFI, we will ourselves take up: the establishment of contact, collaboration and dialogue where possible. This will, of course, depend on an end by the USFI and its local section of any pretence that it has organisational jurisdiction over WF, or ever can have until we decide so. Simultaneously we must not limit our international contacts to the USFI, and should aim for closer relations with Lutte Ouvriere, 'Spark', and other organisations, excepting only the hardened organisations of the ICs, which represent the pathological strand in post-1951 'Trotskyism'. From the FI discussion, having decided on organisational conclusions, WF must map out a whole programme of theoretical research and self-education, covering a whole period. The USFI's political contribution, which, despite all its inadequacies, incompleteness, and mistakes, has been the most serious, cannot but be one of our major starting points.
WORKERS' FIGHT NATIONAL COMMITTEE MEETING. 3 December 72.
Present: SM, RR, MT, RM, PS, SC, KS, PL, DS, plus ND, TD, J?, HC, TB, ST, JS, MK, OD (non-member). Absent: JW (wife in hospital), TC (ill present instead), AH (morning only - at Indochina Solidarity Conference).
Minutes of last meeting; detailed notes had been lost by one responsible meeting approved rough minutes made from memory.
Discussion on Fourth International.
SM introduced. Why are we interested in the International? Because it is impossible to be a 'national' revolutionary in the modern period.
The high point reached by Marxism was the CI from 1919-23. The FI did not develop its own independent theory, it basically rested on the program of the CI supplemented by a number of analyses, eg of Stalinism.
The start of the Trotskyist movement dates from 1923/4 - opposition to bureaucracy in the Russian CP, to theory of socialism in one country, to the bureaucracy's economic policy. Later, issues of Britain (Anglo-Russian Committee) and China. In the '20s, the Trotskyists were essentially a Russian national grouping.
In 1929 there was a three-way split among the Russian Trotskyists. People like Pyatakov and Preobrazhensky went over to Stalin after his turn in economic policy, other people went state capitalist, while Trotsky maintained definition of USSR as workers' state while insisting in relation to Stalin's economic policies that it wasn't just a question of what was done, but of who did it.
1929-33 - initial formation of Trotskyism as an international tendency. 1930 - first international conference of Left Opposition. Basic question was whether Trotskyists should be a faction of the CI or not. Trotsky argued for position as a faction, on grounds that (1) the CI was a mass revolutionary workers' vanguard, grouped round the banner of the October revolution, and it was impossible to go to the masses over the head of this vanguard; (2) to write the CI off as dead was to write off the prospects of revolution in the near future, since an alternative leadership would take time to build.
After Hitler came to power, the Trotskyists called for a new German CP and then for a new International. At this stage, they only called for the new International, they didn't declare it. The perspective was one of developing a new International when Trotskyism had gained some sort of substantial mass base. The US and Belgian sections were gaining some sort of minimal base in the class, but all the other sections were petty bourgeois in composition and totally isolated.
But by 1936 Trotsky called on the FIist movement to declare the FI, and in 1938 FI actually was declared. A serious change in perspective was involved - we can't suppose that Trotsky was unaware of the effect of the serious class defeats - his aim can no longer have been an immediate mass International.
In 1938 there were 10 groupings in the FI. The most important was the SWP (800 to 1000 members). The Belgian grouping had some base, but all the other groups were insignificant. Soon the SUP split almost 50/50 (Birnbaum/Schachtman). Almost all the Belgian leadership renegaded during World War 2 and the section had to be rebuilt round Leon and Mandel, the French movement almost collapsed.... The structure of the FI broke down completely during the war.
In 1943-48 new problems arose, and all the real issues which vex us today were posed. In this period, the fact that the FI's Marxism was basically inherited, a defence of the CI's Marxism, became a weakness.
Trotskyists expected a mass working class upsurge. It came - in Italy, France, etc - but was kept under CP control. The USSR bureaucracy was thought likely to fall - but it proved much more solid. Stalinist expansion, the economic assimilation of E. Europe, the Yugoslav revolution and the Chinese revolution, also posed problems. These events, together with big upsurges in the colonies, passed by, and the Trotskyists were still small and isolated.
The problem of the nature of Stalinism was raised. The 1948 Second World Congress showed a very different approach from later. It talked about doing
ing "what was left" in Russia, described the situation in E. Europe as state capitalist* and reactionary, advised Trotskyists in E. Europe to join the Social Democratic parties to fight against the Stalinists. There was a clear state capitalist logic to the ideas. (The Healyites sometimes echo the ideas of 1948). The 1948 Congress said that the theory of Permanent Revolution had been substantiated negatively in Vietnam, and even described the struggle as led by the bourgeoisie. None of the later mealy-mouthedness about the murder of the Vietnamese Trotskyists.
But soon after the Congress the Yugoslav CP broke with Moscow, and in 1948-50 moved importantly to the left. This forced a reassessment by the FI, and a decision that Yugoslavia was a workers' state. In 1948 to late 1949 there was an intense (but non-factional) discussion in the FI, in which three essential views were represented:
1) Haston and Grant argued early on that E. European countries were workers' states. They tended to identify nationalisation with a workers' state.
2) Mandel held that the E. European countries were state capitalist.*
3) Pablo held that the E. European countries were workers' states, but stressed the (limited) mobilisation of the masses and the smashing of the bourgeoisie as important criteria.
By 1951 Pablo's views were almost universally accepted. But meanwhile the SWP (which had gone up to 3000 or 4000 members immediately postwar) was losing membership rapidly (it went down to 100 - 150 in the late '50s), and the European sections were more and more isolated with the left turn of the CPs.
The 1951 Third World Congress was really the founding conference of the FI as we know it today. There was unanimity on the main questions except for the French majority (today's OCI), and even they agreed on the analysis and only differed on the tactical conclusions.
But now we begin to hear of 'Pabloism' (the term being originally coined by the state-capitalist Johnson tendency in the SWP). In early 1952 the International Executive Committee proposed the tactic of entrism sui generis. The immediate post-war perspective of mass Trotskyist parties was abandoned and there was a turn to deep entry work. This may have been a wrong tactic, it may have reflected tendencies to vulgar economism in the FI's thinking, but it was not an abandonment of the building of independent revolutionary parties. The IEC instructions even called for the retaining of independent groups alongside entrist sections, though this didn't always happen. Everyone at the time expected world war III, and it was quite reasonable to expect that there would be mass pressure on the CPs. The FI did not say that the CPs would be forced into revolution.
In fact, entrism sui generis had already been practised since 1948 by Healy. But in 1952 the IEC proposal led to the split of the majority of the French section, who opposed entry to the French CP while the International Secretariat insisted, and eventually expelled them. The French majority's opposition was largely based on an orientation to the 'easier' Socialist Party and Force Ouvriere (even though the SP had largely lost its proletarian base in the 1940s).
In 1952 the first draft of Pablo's "Rise and Decline of Stalinism" was circulated. It specifically did not call for the overthrow of Tito or Mao. Its ideas alarmed the SWP. Meanwhile the Cochran-Clarke tendency had developed in the SWP, a coalition of conservatised trade unionists who wanted out and people arguing for an orientation to the American Stalinist party (at the time totally isolated and discredited). This tendency fought for the "Rise and Decline of Stalinism" document, and was to split in 1953. Its impact forced the SWP majority into a dynamic fundamentalist position on Stalinism. Meanwhile the British section (Healy group) had also split, with Lawrence's group entering the CP as the official British section.
So in 1953 the SWP issued its Open Letter to the world Trotskyist movement, declaring a split from Pablo, and stating that the FI had not called for the withdrawal of Soviet troops from E. Europe in 1953.
* The theories of 'state capitalism' involved were quite different from Cliff
This led to the "International Committee" regroupment, a curious alliance of the Healy group (the pioneers of entirism sui generis, a group which for a considerable period did not have their own paper and instead pushed Tribune), the Lambert group (which had broken with the FI on the issue of entirism sui generis), and the SWP (which had, right up to the split, described the Lambert group as the right wing of the French section).
Pablo's documents on the "Rise and Decline of Stalinism" and later on the "Decline and Fall of Stalinism" rested on three postulates. (1) Stalinism = the regime of Stalin; (2) Stalinism was a peculiar Russian phenomenon; (3) Stalinism was caused by the isolation of the USSR. Thus the sort of tidal wave of socialism which Pablo saw as coming in the post-war period had swept away the objective bases of Stalinism. So Stalinist expansion was in fact not Stalinist expansion at all, but Stalinist disintegration! This view was totally metaphysical, abstracted Stalinism entirely from its social base. Thus the FI said Mao was not a Stalinist, and up to 1967 did not call for political revolution in China. In 1965 Pablo started to argue that Mao was Stalinist, but Mandel argues to this day that he is not.
The ICFT never really existed as an international tendency. In fact, the Healy group in this period was a totally social-democratic tendency.
In 1954 the Fourth World Congress was held. The British (Lawrence), French (Mestre), and US (Clark-Cochrane) minorities, which had been supported by Pablo, turned up and proposed the dissolution of the FI, then walked out. This did at least mean that the genuine 'circuitutors to Stalinism' had been purged from the FI.
Also in 1954 the Algerian war broke out. It was started by a 'right-wing' split of the Algerian nationalist movement (of the Provos in Ireland). The FI supported those fighting, and thus lived up to the basic principles of communism. The ICFT groups, led by the French group, (and also I.S.) supported the 'left-wing' MNA, even after it was quite obvious that the MNA was reactionary. The FI stands entirely vindicated on its stand on the Algerian war.
From 1955 the LSSP of Ceylon was definitely involved in parliamentary deals with the bourgeois SLFP. One of the most disturbing things about the FI is that the LSSP, effectively a mass social-democratic party, was the pride of the FI for many years. Meanwhile Healy belabours the FI over the "Great Betrayal" of 1964 - but the LSSP had been one of the sections opposed to Pablo's theses on Stalinism, and Healy had cursed it for many years even while it was totally social-democratic.
The Hungarian revolution created mass ferment in many CPs, and vindicated Pablo's prediction that layers of the bureaucracy would come out in support of the workers.
Over the Cuban revolution of 1959/60, the ICFT split, with the SWP majority (as well as the FI) stating that Cuba was a workers' state, while the OCI (Lambert tendency) and the Healy group (SLL) said it was still bourgeois. The OCI/SLL arguments, coupled with their acceptance of the deformed workers' state characterisation of China, actually rest on a glorification and fetishisation of Stalinism, supposedly capable of creating deformed workers' states while non-proletarian leaderships cannot.
In 1960, Pablo and the Dutch Trotskyist leader Sauton were arrested for aiding the Algerian revolution. The 1961 World Congress took place without Pablo, and was a niddling Congress. Previously Pablo had used an alliance with Posadas to dominate the FI, but with Pablo in jail there was a split, Posadas advocated total concentration by the FI on orientation to the colonial revolution, and caricatured Pablo's vulgar evolutionist tendencies to the point of lunacy. There was a great tidal wave of socialism and every colonial struggle would lead to socialism. Posadas ended up advocating world war III. He split in 1962, and initially had a solid base in Argentina, which is now dissipated.
In 1963 there was a reunification Congress of the FI and the SWP. The document of this Congress, 'Dynamics of World Revolution Today' was very
inadequate, or rather was an adequate expression of the muddle of the FI's ideas. Just one example - the document states that China, Cuba, Vietnam etc "confirm Permanent Revolution to the hilt" "To the hilt"? This is crazy, a totally stunted conception of socialism, a nadir for the FI.
From 1963, the reorganised IC (OCI and SLL) launched a virulent attack on the FI, with a totally incoherent reiteration of dogmas, coupled with mystical bombast about "developing theory". They use lies, a myth of Pablo as the evil ghost in the machine of the FI, and a total Eurocentrism, a concept of class struggle as only really existing in a classical, straight-up form of workers vs. bosses, which is quite inconsistent with their position on China being a deformed workers' state.
But it is necessary to recognise that in the USFI the unresolved ideas of the Third World Congress have led to an internal instability and uncertainty, an internal collapse of the ideas of Trotskyism. Examples are the IMG/Ligue Communiste position on the recent Vietnam peace proposals, reflecting a totally speculative confidence in the PRG, their equally speculative, passive confidence in Ben Bella in Algeria. Deep entry led to serious deviations, for example the virtually left-reformist position advocated under the name of 'structural reforms' by Mandel in his "Introduction to Marxist Economic Theory" pamphlet. There was serious adaptation, though it is important to note that the FI has been able to swing left since.
The 8th World Congress of 1965 was not notable, but the 1969 Congress marked a turn away from deco entry to "primitive cadre accumulation". "Primitive cadre accumulation" is not in principle ridiculous, but in practice it has meant a turn away from the working class and ultra-leftism. Eg IMG. There has, however, been large scale growth of the FI.
However, today's FI is quite clearly federalist. The SWP is clearly opposed to the majority, but has protege groups in South America, India, and Ireland. The situation in Ceylon is still disturbing. The Spartacists, who are usually truthful, have published what purport to be minutes of the 9th World Congress of the FI reporting on an inquiry on the LSSP(R). Both minority and majority reports say that the LSSP(R) is falling short of revolutionary politics and tends to be an appendage of the Ceylon Mercantile Union, of which its general secretary, Bala Tampoe, is also gen. sec., and many of its 50 members are officials. The minority report proposes that the LSSP(R) should be disaffiliated from the FI, the majority that Bala Tampoe's dual role should be ended. But Bala Tampoe still fills his dual role.
WF needs to be much more critical of the FI than we have been, but we must make no concessions to the idiotic "anti-Pabloites".
FI and Britain: the FI's role has been throughout utterly pernicious and disruptive. In 1938, the RSL, a hastily patched together fifty-five groups was recognised as the British section while the WIL was condemned as a "nationalist deviation, in essence reactionary". During the war the RSL mulledered in sectarian stagnation, while the WIL grew to 300/400 members (from 12 in 1938). The WIL and RSL merged in 1944 to form the RCP, which continued to grow up to the beginning of the cold war. G. Healy soon developed a perspective of Labour Party entry on the grounds that war and revolutionary crisis was soon coming, and there would be no time to build a revolutionary leadership outside the LP. His perspective was rejected by the RCP, but supported by the FI. In 1948 Healy's (small) minority split to join the LP, and for a time there were two FI sections in Britain. In 1949 the RCP collapsed into the LP. Healy was still in small minority, but the FI insisted that he should have a majority in the leadership of the now-reunited group. Internal SLL-type terror and expulsions followed, giving rise to the Cliff and Grant groups. Soon Lawrence's CP entry group was made the official section, and after that disintegrated there was no official section.
After 1956, the biggest break in any European CP was in the British CP. The SLL made big gains, but the FI had no section. So Pablo snatched out Grant, who had been expelled from the FI in 1950-51 as a right-wing bum, and offered him the franchise. The RSL was never really a section, and was finally expelled from the FI in 1965.
The present IMG began to organise separately from the RSL around 1961. The FI has acted as a cover from the IMG, the romantic appeal of the FI covering over the IMG's stupidities.
FI and WF: A) There are many unresolved problems, on which we need a serious programme of theoretical work. B) We must not capitulate to romantic internationalism, sacrificing our possibilities of real revolutionary work to some abstractions about the FI. C) However, WF's move to critical support of the FI was the major political breakthrough for the group. It enabled us to free ourselves from the myths of the "anti-Pablitites".
KS read out the section of his document dealing with the FI.*
KS's disagreements with SM not on level of disagreement over this or that fact. Overall, SM's account a rationalisation of the history of the Pablitite tendency.
The FI was destroyed by the spread of revisionism from the centre of the International. This revisionism, adaptation to Stalinism, penetrated every section of the Trotskyist movement. The FI does not exist, but the work of the ICFI is a basis for rebuilding the FI.
The crucial struggle is the crisis of leadership, the struggle of the FI against the Stalinists and Social Democrats. The crisis of leadership can be solved only internationally, and on the basis of the leading role of the proletariat.
Since 1933 no Stalinist has been revolutionary. The Stalinists are our mortal enemies.
The 1938 FI was democratic centralist, and continued as such through the war and to 1945, though in 1945 the leadership was Pablo, a functionary, and Germain, a young intellectual.
The Transitional Programme of the Fourth International is the summation of the already accumulated experience of the Leninist movement. It can only be understood in the battle to use it. To fail to use/indicates the wrong method. The TPFI itself cannot be revised without changing the method on which it was founded. It is based on reality, and cannot be negated or refuted by ideas. There is not a single idea of Marxism which is outside the struggle for power.
The post-war boom indicates a revival of capitalism. The statement "mankind's productive forces stagnate" cannot be understood statically. New techniques arrived since the war are only form, the content, the way they have been applied, is totally anti-social. Booms & slumps are surface phenomena.
Trotsky never said power could be seized under the banner of the FI. But there are revolutions and revolutions. The proletariat can fight for its interests only under the banner of the FI.
We can't sacrifice this or that demand from the TPFI without negating the basis of the whole. Unity with reformists or stalinists can only be practised as a tactic. There is no excuse for WF's fusion with IS. The only possible party for entry work in Britain is the Labour Party.
France 1968 was part of a struggle which never stops - the struggle over who controls state power. There are no longer any purely economic struggles. Every struggle leads to the question of power. There is no excuse for debates over whether we are not too small to lead the class. Disaster and defeat is the only alternative if we do not lead.
In 1946 the FI had a perspective of immediate economic crisis and the world centre of revolution being in the advanced capitalist countries. This perspective was correct. But the CBs sold out the struggle. In 1948 there were no significant changes in perspective, but in 1948-51 drastic revisions were put out by Pablo - the Stalinists would be forced to take power, 3rd world war was certain, and there was no time to build the FI. Today the politics of the USFI are a combination of contemplation and adventurism.
The majority of the French PCI opposed the liquidationism of Pablo, although deep entry into a Social Democratic party can be practised without
*The minutes here are fairly sketchy, since KS's document will be out soon.
liquidationism, does entry into a Stalinist party cannot. But for Pablo all the FI could do is act as an observer, recognising it could not act independently.
Pablo's 1951 document "Where Are We Going?" is impressionistic and counter to the TPEI. It calls Stalinism "roughly revolutionary". We must remember that the Trotskyist party of Vietnam, smashed by the Stalinists, was a mass party, at the head of the proletariat in that country.
E Europe, Chinese, and Vietnamese revolutions are in no way comparable with October. But the FI has not learned the lesson of the counter-revolutionary nature of Stalinism from Vietnam, Hungary etc. The Chinese Communist Party is and was Stalinist.
Capitalism forces the proletariat to struggle. The content of this struggle is the drive to overthrow capitalism, its form is support of the trade union struggle and the traditional parties of the working class.
Discussion:
MT put three questions to KS:
1) KS says he supports the OCI's OCRFI, but does he support the OCI's line that the United Front is a strategy. OCT's line leads to blatant rightist practice. Eg in the presidential elections of 1969, the OCI called for a united CP-SP candidate against Krivine. The CP said that a common programme would be necessary for a united candidate. But the OCI said "never mind about the programme" - to quote, "in the precise circumstances, the development of the programme of a government of the united workers' organisations flowed from this candidature. The working class, in struggling for the defence of the candidates of the bourgeoisie, would have charged the united candidacy of the workers' organisations with a class content..."
2) KS supports the OCI's view that big (anti-social) arms expenditure since world war II means that in fact the forces of production have not grown. But this is mystical moralism, which works only by glibly redefining terms. Makes nonsense of any attempt at scientific Marxism.
3) KS says the trade unions and the traditional workers' parties express the will of the working class to take power. This organic conception is taken by the OCI to the point of denial of the Leninist theory of the party, stating that (to quote) "Proletarian class consciousness is not carried to the proletariat "from outside", it proceeds from the development of the whole class struggle", etc etc.
and three questions to SM:
1) SM's criticism of Pablo's theses on Stalinism perhaps not justified. Pablo pointed quite accurately at numerous tendencies to disintegration in Stalinism. And the Chinese revolution (for example) must have been conscious on some level on Mao's part. It seems to lead to a more useful analysis of the Chinese revolution if we analyse the specific ways in which the CCP had relative independence of the Kremlin bureaucracy, rather than relying in our analysis (as does the SWP) on a mystical 'tidal wave' of 'mass pressure'.
2) In the FI's documents, we find the word 'revolution' used in a peculiar fashion. It doesn't refer to an event, but to a historical subject, which "advances" - "exerts pressure" on this or that, etc. Thus the subject of history is located in a hypothesised abstraction, which detracts from the recognition of the working class as subjective factor.
Moreover, the concept of 'dual power' which the FI use to describe the situation in E Europe between 1944 and 1949 is very strange. How is there dual power when the proletariat is generally subdued and brutally suppressed? Seems to be just an attempt to fit events in E Europe into a traditional mould.
3) One aspect of the FI's politics that needs investigating is its view of party and class. The FI documents operate in terms of a simple polarity of 'vanguard' and 'masses'. 'Vanguard' is systematically ambiguous, often used to denote what the CP call "the broad left", thus allows the FI to follow opportunist, adaptationist relation to left-reformist and contrist currents.
KS is ambiguous for a start in saying that the FI doesn't exist, and also that the ICFI has laid a basis for reconstruction.
He says that the crucial question is method. But the ICFI was a totally unprincipled alliance of three national groups with radical differences. The talk about method is pure bombast.
If booms and slumps are 'surface phenomena', this makes nonsense of any attempt at a scientific appreciation of reality.
Have the productive forces been declining? If they have really (not just in mysticism) then the chief productive force, the working class, has also been declining, there has been massive unemployment, starvation etc. Has this happened?
Every struggle of the working class raises the question of power? This statement totally ignores the specific dynamics of specific struggles.
The FI never said that the CPs would be forced to take power. KS is making an amalgam between the FI and Cochran. But one can always take strands from a body of thought, blow them up, and use them to discredit the main body of ideas.
It is true that the CPs were sometimes forced to side with the colonial revolution against imperialism.
AH KS's position is sectarian - but not the classic "abstract propagandist passivity" Bordigist sectarinnism. It is sectarian in the sense of imposing dogmatic schemas on the real movement of the class struggle, but it leads not, or not only, to isolated passivity, but to sluggish adaptationism. It is similar to the sectarinnism of the SLL ('adoption = the 'general strike for a general election', 'Labour to power with socialist policies' lines) and of the RSL. It is marked by a totally fetishistic attitude to the traditional organisations of the labour movement.
This sectarianism is exemplified by KS's rightist, semi-racialist position on the Middle East (ie, the Israeli working class is the main force for socialism). Because of the closer conformity of the Israeli working class to certain traditional schemas of proletarian organisation (trade unionisation, etc), they are elevated above the Arab masses.
The OCI's approach on the development of consciousness (as quoted by MT) is an example of sluggish adaptationism, a regression to Second Internationalist thought or worse.
KS talks about "the conquest of the masses" - Pablo had a similar perspective. With Pablo, there was conjunctural misestimation; but in any case the "conquest of the masses" formulation could only lead to voluntarism or adaptationism. It is quite clearly contrary to WF's formulations on Fusion of Education and Organisation - and, as can be seen when KS has been persuaded to state his position in the London branch, KS also opposes Fusion of Ed. and Org.
KS It is not true that saying that the Labour Party reflects the will of the working class to take power leads to Pabloism. KS stresses the question of the revolutionary party, while Pablo played it down.
It is true historically that Marxism comes to the working class from outside, in the sense that Marx and Engels were not workers, but since that time it is not true. The OCI is right, the question of "consciousness from outside" is metaphysical. Marxism can only develop in the struggles of the working class. KS now wishes to withdraw some of the statements in his IB article on Rank and File papers, since they reflect the wrong "consciousness from outside" idea.
KS is opposed to the slogan of General Strike, so AH is wrong to try to make an amalgam of KS and the SLL.
PS is right to say that the 1953 IC break was empirical. But the content of the break was to defend the programme and the organisations of Trotskyism.
SM Unfortunately KS's contribution has de-centred the discussion.
KS fetishises the Transitional Programme, and condemns any talk of "progressive trends in Stalinism". But look at what the T.P. says about the "faction of Butenko" (proto-fascist) and "faction of Reiss" (proto-Bolshevik) in the bureauKS says the T.P. is based on codified experience - yes, but experience up to 1938 only!
In KS's world view, China, Yugoslavia, Vietnam, &c can feature only as petty marginal details. Logic of this idea is state capitalism or bureaucratic collectivism.
On MT's contribution - The Chinese and Yugoslav CPs did have a degree of independence of the Kremlin, but the point is that they maintained the ideology and procedures of Stalinism.
MT is right on "the revolution" - the USFI uses the term teleologically, to describe a whole process starting in 1917 and sweeping ever onwards.
---
**FOURTH INTERNATIONAL**
- **1938**
- Founding Congress
- **1939**
- L.O.
- **1948**
- 2nd World Congress
- New class groups: Cliff, Chaulieu & Co
- 1951 3rd World Congress (Cordam)
- Feb. 1952 Entrismusui generis
- **1952**
- SWP 1952 Letter
- SLL (ICFI)
- **1953**
- SWP 1953 Letter
- SLL (ICFI)
- **1954**
- Mestre, Cochran, Lawrence, &c
- **1962**
- Posadas
- **1963**
- SWP 1963 Reunification
- 7th World Congress
- 'Dynamics of World Revolution Today'
- **1972**
- SLL (ICFI) (OCRFI)
- OCI (OCRFI)
- USFI
---
**THE BRITISH MOVEMENT**
- **RSL* (1938)**
- 1944 Unification: RCP*
- 1946 'Left fraction' (ex-RSL) expelled
- 1948 Healy into L.O.
- 1949 RCP* into L.O.
- **Cliff**
- 1950
- 1951 Grant
- 1953 Lawrence* Healy
- **1957**
- RSL* becomes British section
- **1955 1965**
- WF
- 1966 WF
- SLL WF RSL IMG*
- **1965**
- IMG*
meant IMPOSING the norms of the advanced countries on the backward; its opposition to nationalism meant compliance in the national slavery of the colonizer.
Communist internationalism passionately championed the national rights and interests of the oppressed peoples of the world, distinguishing the nationalism of the oppressors from the nationalism of the oppressed.
TROTSKYISM
The first four Congresses of the Communist International were a great communist renaissance, which codified experience and analysed reality.
The Fourth International was founded by Trotsky to defend the communist programme and rekindle the flame missing in internationalism after the rise of Stalin's bureaucracy had led to the degeneration of the CI. It suffered overwhelming defeats, but succeeded in one with thing - it preserved the programme, the unfulfilled tradition and the banner of communism, implanting opposition to the counter-revolutionary "socialist" regimes through the mud and covered with the blood of honest revolutionaries.
THE CRISIS OF TROTSKYISM
After the second world war, the Trotskyists had to make a new analysis of the world, where vast changes had taken place. Capitalism was entering an expansionary boom. Forces other than those of Trotskyism carried through a major part of the programme of the Fourth International (in Eastern Europe and in China).
Beginning with the Yugoslav revolution in 1947, Trotskyism entered a period of crisis. Up to 1945 and with increasing doubt until the end of the decade, the Fourth International could regard itself as a movement based on a given "Marxism" which grided practice and interpreted reality in the present and clearly indicated alternatives for the future. The philosophers had interpreted history and proletariat experience.
But from the mid-'40s and after 1948 it became a matter of an increasingly desperate effort to catch up with events in reality which had not been expected, and at first sight appeared to CONFIRM the expectations and also to invalidate the connection between the bourgeoisie and the proletariat as Marxists had understood it.
In January in the '30s the movement's correctness and its growth of forces outside it which, as in Yugoslavia, China, Vietnam, and later Cuba, carried through a major part of its programme.
The task was now to analyse the new events like the Stalinisation of Eastern Europe and the rise of a revolutionary socialist movement of power by a non-Marxist leadership had been anticipated by Trotsky before World War II. But it was necessary to analyse how these Stalinist developments had taken place, and how Trotskyists were relating to the forces carrying through these changes.
This is never adequate, though analyses - we believe correct analyses - can be made leading to the designation of present reality, though often distorted socialist states. These analyses were not limited to the "new socialist realities" and either, but form the foundation of all modern Trotskyism. But, as Trotsky explains in the following passage, codification, fundamental as it may be, is not all:
"The importance of a programme does not lie so much in the manner in which it formulates several theoretical conceptions in the last analysis, this boils down to a question of codification, i.e., a precise expression of the truths and generalisations which have been firmly and decisively acquired; it lies to a much greater degree a question of drawing up the balance of the world economic and political experience of the last period, particularly of the revolutionary struggles of the last five years - so rich in events and mistakes..."
Following the rise of Stalinism, Trotskyism has been dogged by a real contradiction. An essential part of its perspectives, of its concept of the epoch, has been the exceptional position which the Comintern and its leadership occupy with respect to the whole MECHANICS OF THE PRESENT HISTORICAL PROCESS (Trotsky, our emphasis). Yet the Trotskyists, the defenders of the revolutionary programme, have been isolated from the mass revolutionary forces.
At the end of the '30s the contrast between the
size until the scope of its ambitions and aspirations, between what it wanted and believed needed doing and what it itself was able to do, rent the then Russian-based Trotskyist movement into three segments:
Those who saw only WHAT the industrialisation turn in Russia was doing and ignored how it was done and by whom it was done - Preobrazhensky, Plekhanov, and the administrators;
Those who placed themselves entirely on the semi-syndicalist grounds of the effect on the working class, that is, concerning themselves exclusively with HOW and BY WHOM the new industrialisation turn was carried out, and what the effects on the lives and rights of the Russian people were - neglecting and dismissing WHAT was done - the State capitalists;
And those, like Trotsky, who resisted the decomposition, the mutually repulsive one-sidedness, ignoring neither WHAT nor WHOM, nor HOW. The pattern was a recurring one.
This conflict has generated constant pressures towards over-idealised ideological developments. Some write off the exceptional position of the revolutionary leadership in the mechanics of the epoch. The perspectives and the concept of the epoch thus become an 'objective' schema with objective', moreover, understood in a vulgar economistic sense. This leads to an 'evolutionism' which is entirely vulgar and non-Marxist. The role of leadership, and even of the working class itself, comes in as an external factor, motivated only by dogma.
Some place totally speculative hopes in the established mass organisations and their leaderships, or construct hopeful scenarios for the rapid ascent of Trotskyism to the leadership of those organisations. Such is the 'trotskyist' who denies the sharp tasks of today in the name of dreams about soft tasks of the future... Theoretically, it means to fail to base oneself on the developments now going on in real life, to detach oneself from them in the name of dreams" (Lenin).
Some junk the 'global' side of the perspectives, the concept of the organic univocence of 'wars and revolutions', and dismiss the actual revolutions as marginal details. They retreat into subjectivism, reducing perspectives to the level of daily tasks. As their historic criterion, their yardstick by which to judge events and developments, they over-emphasise the immediate effects on and involvement - or non-involvement - of the working class, brushing aside the titanic 'objective' - economic, social - effects of these events in our epoch.
The developments driven by the Stalinist ruling party crisis of Trotskyism have been of that character, and have reproduced those trends.
The fundamental dividing line in the Trotskyist movement is that between the 'new class' tendencies and those committed to a description of the Stalinist societies similar to Trotsky's description of Russia, but with a few labels changed - and with an implicit perspective of growing, deepening, extending the whole Marxist conception of the necessary development of capitalism and from capitalism. In its major organisational manifestation - the US 'subjectivists' - the tendency became a variant of ex-Marxist utopian socialism.
The 'state capitalist' tendencies remained formally within the discipline of Marxist categories - again with a wide range of 'scope' for purely subjective opinions, such as illusions, etc. They are characterised by a crude Marxism plus a not best explained by those 'pessimists' (such as the BSP), who insist on seeing the working class as only part of a whole unfolding social process and actually lose sight of working class activity as the SUBJECT of history. Nonetheless it IS crucial for an understanding of the world outside the metropolitan countries. (See note 1)
IMPLICITLY this theory says that we are living in an era of expanding capitalism, of new organic growth, with massive implications for revolutionary practice. It means that Third World struggles can lead only to new repressive regimes (and in the case of IS there is a totally arbitrary approach to such struggles: FDR the Vietnamese; neutral on Korea; implicitly hostile to China.) In fact, the specific theory of (most important for us) is a disguised form of bureaucratic collectivism, as Grant demonstrated already in 1949.
The capitalist nature of the USSR is not, in Cliff's theory, ultimately derived from MARXIST categories - communistic exchange values - but from competition of USSR-values between the USSR and the West (arms competition). This turns basic Marxist economics on its head, and in fact prever a picture of a New society, with a New and
unexpected dynamic. More rigorous analysis of the situation (i.e., called a picture like that characteristic of capitalism (i.e., society X). Cliff chooses to try to cram it within familiar terms and to return to the Marxist categories, motivated by a shallow dogmatism.
The unsatisfactory nature of "anti-capitalist" theory is especially clear in the analysis of Third World state capitalism. It defines the "state capitalist" class in the USSR by its role and function, which is said by analogy to be capitalism. Yet regarding the revolutionary struggles in China, for example, they talk of an embryonic class of "capitalists" without any comparable functions. Again they divorce consciousness and organisations from any analysis of what they arbitrarily call state capitalism.
In my own way it is a negative demonstration that the solution to the problems of the movement in the late '40s did not lie with the "new class" groups. Rejecting the 1938/39 conclusions of the Fourth International as a break with the programmatic traditions of the movement, they quite logically dismiss the FI as only an Allied political tendency. Unfortunately, in addition, the IS group campaigns against the libertarian content of internationalism, thus breaking not only with a tendency but with a principle.
TWO TENDENCIES
The 1951 codification proved inadequate to answer the subsequent questions of simple military analysis, orientation and tactics posed by the movement and two distinct trends emerged from the forces represented at the Third World Congress.
One subided into a primitive dogmatism based on a historically uprooted version of 1934 Trotskyism without relation to any problems or developments in the world since. Implicitly it became a tendency to liquidate Trotskyism back into utopian socialism, based on timeless dogmas - to cut its roots. In Britain this has been the Socialist Labour League; in France the Organisation Communiste Internationaliste.
The second genuinely attempted to come to grips with the real problems, to draw conclusions from the confrontations of 1951 and after; but normally did this by political stand and adaptation - to left social democracy, Maoism, etc. It APTERMS the basic ideas of Trotskyism but doesn't always seem to have a use for them. This is now the USFI; its current British representative is the International Marxist Group.
Both strands arise from the failure to INTEGRATE the post-war experience into Marxist theory, and the resulting DESTRUCTURING of that theory.
THE INTERNATIONAL COMMITTEE
The SI/PCI tendency are not just sectarian bigots who just happen to have developed a totally incoherent world outlook, which, for example, saw Mao as China as a workers' state and refused to admit that China was, too. All their politics even formally correct "arguments" have had their roots in rational analysis of reality out of touch.
Their version of the history and problems of Trotskyism, the myth of "Pabloism", is a lying mystification. "Pabloism" is the name given by the SI/PCI to a very wide range of post-war aberrations, allegedly a tendency to "capitalist" Stalinism/social democracy/centrism/anti-theory/anti-Communist bourgeoisie etc. and to all kinds of other anti-Communist fads myth created by one section of the Trotskyist current after 1951 to explain all the errors, inadequacies, and failures common to the whole movement by ascribing them to a selection of it which is defined FUNCTIONALLY, ORGANISATIONALLY, and ABSTRACTLY.
The concept of "Pabloism" tells us as much about the history and problems of Trotskyism as the term "Marxist-Leninist" tells about the history of the Stalinist current. Revolutionism tells about the history involved in the term in both cases the encapsulated history involved in the term makes it impossible to know precisely what is meant. And not accidentally. The essence in both cases is that such terms and procedures are NECESSARY to avoid a more precise attempt at accounting which would look too closely at the specific features of those using the swear word in question (the "anti-Pabloites" or the Maoists) and their affinities with those denounced.
Not a single one of the alleged traits of "Pabloism", her support for guerrilla struggle, was absent from one or other of the "anti-Pabloite" tendencies. Far from explaining anything, the myth of "Pabloism", though given a certain apparent credibility by the opportunistic tactics of the USFI, like all superstition fairly takes HAMMER understanding of
The real problems - and substitutes fictional for real solutions.
The systematic lying of the SLI/OCI tendencies is merely a conscious substitution of the self-deception and rejection of all rational politics which is at the root of their 'solution' to the problems of post-war Trotskyism. Their internal decay and consequent fear of free discussion and questions result in the dictatorship of a priestly caste led by a Jew or a 'nabard' - essentially a negation of everything Trotskyism stands for - the subordination of the world to national working class control.
The tragic joke against these gangsters is that they developed internationally AFTER 1951 in political opposition to the UFI (then the KPI) which, in a period of stagnation of the workers movement in the metropolitan countries, tried with meagre resources to carry a basic principle of Lenin's (Leninism): that revolutionaries in the colonies (Indochina, Algeria) tried with meagre resources to carry a basic principle of Lenin's (Leninism): that revolutionaries in the advanced countries must ACTIVELY aid the revolution in the colonies.
In self-defence but also out anger against the 'policing', and some of their one-sidedness on the colonial question, the SLI/OCI wound up disbanding the struggles in the Third World in an explicit way that even the Second International before 1914 would have found shameful!
There is a peculiar TENDENCY in the International Secretariat groups (OCI, SLI) towards filling the degenerated forms of degenerating Trotskyist ideas with Second International content.
This is almost total in the French OCI, whereas the SLI has a revolutionary position on the Middle East: the OCI actually sanctions Israel (a racist state comparable to South Africa) and the Arab states. The OCI supporters in Zionist-occupied Palestine (Israel) accommodate to Zionism in the name of promoting Jewish-Arab working class unity. This is equivalent to South African Trotskyists trying to ignore apartheid, the better to promote working-class unity!
Uniformly, the OCI's positions, pseudo-Trotskyist in appearance, are a giant step backwards. They disdain Third World struggles, they reject the idea that there is a Marxist method, and talk in terms of an organic ripening of working-class consciousness. They discount the ideological struggle, and the question of Marxism's consciousness being brought to the working class from outside. They explain the
The Fourth International has tended to dissolve all concrete questions of communist practice into a grand picture of the Revolution, as a stationary but powerful historical factor, marching relentlessly across the world, a historical hidden hand. Analysis of the colonial revolution has tended to collapse into emphasis on class wall-gazing.
The FI has made correct, though incomplete, explanations of the Ukraine and other revolutions in terms of the overall IMPENDING United World relationship to imperialism; of the class structure of those countries; and of the survival of the non-capitalist state in Russia. It has repeatedly emphasized the IMPENDINGNESS of the revolution in these
even the FI has made bureaucratic formations such as the Chinese CP, and sometimes has explicitly denied the need for a complete political revolution in these states, which have never known workers' democracy and suffer all the contradictions of Stalinist misrule.
In practical politics, the FI has shown a totally exaggerated confidence in various petty-bourgeois leaderships, and a dissolving of many of the theoretical 'norms' of Trotskyism, even while they are maintained formally.
It is true that the Fourth International's record of solidarity work with the Algerian revolution stands in shining contrast to the record of the anti-Publicis Tendances Prolétaires does not and cannot justify the exaggerated confidence granted to the FI. At the 1963 World Congress, it was stated as a simple fact that Algeria was shortly to become a workers' state, and the "socialist orientation" of Ben Bella and Boumedienne was hailed without criticism.
Now Algeria probably was one of the few places where a repeat of the Cuban experience was possible. But a simple assertion of faith that a repeat would happen was not enough for revolutionaries.
On Vietnam, likewise, the Fourth International has a good record of solidarity work. But the attitude of the FI majority (exemplified by the Ligue Communiste) to the peace settlement of 1973 has been one of unqualified trust in the political judgment and ability for political struggle of the NLF and DRV leaderships. What has happened to the Trotskyist programme of workers' councils? Certainly, the NLF, the DRV, and the Vietnamese CP, despite their heroic military struggle, do not fight for that programme.
For a whole period, propaganda for the political revolution virtually disappeared from the press of the FI. The programme of political revolution was in fact explicitly renounced for Yugoslavia and (until at least as 1967) China. The FI gave its confidence to, for example, the boasts of the Chinese bureaucracy about the Great Leap Forward.
To this day, the attitude of the Fourth International to China is extremely muddled. Hailcrin writes that the
---
**WORKERS FIGHT AND THE I.W.G.**
General appreciations of the International - though necessary - are not sufficient. For Lenin, rebuilding the proletarian making the Russian revolution was a matter of finding, at each moment, at each stage, the concrete link in the chain - not abstract proclamations of intention or pious recognition of "necessary" historic or otherwise. This task too is to find the concrete links of revolutionary practice.
and judge every existing organisation from that point of view.
When WORKERS FIGHT first appeared in October 1967, we were primarily involved in rank-and-file struggles in the party.
The programme was homophobia which the Workers' Control movement with Jack Jones - who was actually challenging the Cock Sixties of that period. Their paper carried no criticism, and only a veiled hint of disapproval, without mentioning Jones by name.
The IMG behaved with gross irresponsibility indeed. Ideological and political cowardice in refusing to enter the inchoate centrist regroupment that was the 1968 International Socialists. The creation of the present bureaucratised IS, and the consolidation of the control of the Cliff tendency, was not inevitable, but the result of a defeat for Trotskyism, in 1968 and afterwards.
Our expulsion from IS, in December 1971, posed sharply the issue of our ORGANISATIONAL relations with the USI. Was it possible to maintain a serious relationship towards the working class, to continue the positive work we had done in IS, as part of the IMG?
Negotiations with the IMG (which had helped the IS leaders with factional material information against us in November 1971) proved its vacuity. We proposed to them a preliminary period of discussion coupled with action in producing a joint workers' weekly paper. They refused. Numerous attempts to exploit the question of the Fourth International in a petty factional way - that was their main concern.
We resumed contact after a six months' gap in December 1972, while still in the process of working out a full assessment of the USI. We asked for access to the major draft documents for the forthcoming 10th World Congress (which were anyway soon to be made public). We needed the documents so as to base our discussion on the FT on the fullest knowledge of the latest balance sheet by the USI of the serious shifts in its positions over the last years. We naturally offered the necessary guarantees regarding control of circulation, etc.,
In response it was demanded that we allow participation in our discussion by a 'representative of the USI', only than would the necessary documents for a full POLITICAL assessment of the USI today be made available to us. This presented us with a very serious problem. Having decided to continue to function in the class struggle during the course of the thorough discussion of the history, politics, and current trends within the broad Fourth Internationalist movements, we had to take steps to prevent the discussion from disrupting the agitation activity. Especially so given that two of the main organisers of the
---
for whose politics and organisation WP has taken stings in the last six years. Objectively the possibility existed that the internal differentiation and disputes that might emerge in assessing the diverse currents of international Trotskyism could cripple this group and tear it apart. WP's only involvement in the IMG (or by the USI on behalf of the IMG) could not do other than lead to a disruption of the discussion on the International and its probable transformation into a factional conflict. Regardless, given the IMG's record of shortsighted and petty factionalism, nothing was to be expected other than that they would use any pretence they were given not to engage in a serious political discussion with us, but to continue the policy of trying to conduct organisational raids on WP. (Their efforts had been inept, to be sure; but their intention at least was clear enough.) In addition any special rights for the USI or the IMG in our internal affairs would place in question the organisational integrity of the group and partially pre-empt the group conference and usurp its powers; after all, the organisation was being called on the authority of the IMG to be convened to decide on our International affiliation. If any, we refused the USI/IMG any special rights in the discussion. In response they withheld the documents. Here, of course, there were within their formal rights "except that their National Committee had final say" a resolution in favour of THE FUSION of the two groups. Nothing can demonstrate the IMG's organisational fetishism in resuscitating - attributes to the FT more clearly than this combination of talk of organisational fusion together with REFUSAL to allow a discussion of the proposed political basis for that fusion - the politics of the USI in the period before the 10th World Congress. They tried to reduce the documents necessary for any assessment of the existing state of the USI into tantalising chintzes to leave their way past our organisational distrust of them, into the internal affairs of a group whose organisational integrity they had promised to respect before discussion opened.
Over the last year we have watched the IMG in amazement - gambling, not rhetorical! Their preoccupations have been determined by the dynamics of the development of its own insignificant and muddled ideas, not by the dynamics of the class struggle erupting round them.
They stood Lenin's ideas on propaganda, agitation, and calls to action on their head. Just when the class struggle rendered them vital. They stood theory on its head again by declaring that Lenin's analysis of imperialism, the theory of capitalism in its period of decay and peroration - this analytical FLORED FROM the concept of the epoch!
It was this same concept that explained opposition to
'Popular Fronts' - subordination of communists to alliances with 'left' bourgeois politicians. That was one in the eye for poor old Marx, who insisted as long ago as 1870, way before the epoch of imperialism, on the POLITICAL INDEPENDENCE of the working class as a basic principle.
And so on, and so on. The ISM is an unhealthy tendency, and it is only the latest example of the inability of the International which fosters it to build a serious organisation in the British working class. The dynamic of the leadership is not that of a group which seriously assesses and learns from its own mistakes, JUMPING THE ACHES AND THE EXPERIENCE OF THE CLASS SINGLE, but that of an intellectual clique dominated by the periodic rush of 'brilliant' new ideas to the head.
To fuse with that tendency would be to adopt the existence of an opposition tendency, one of a number, within an unhealthy organisation, whose size and importance in the working class, even compared to our own small size, does not recommend such a policy. There are many excellent comrades in the IMG. We think they are wasted there - and the British working class cannot afford such waste.
Marx's fight will fight for the communist internationalist proprax as in the British working class. The IMG, so far, has been nothing but a diversion from this work.
Not a single voice, except that of a non-member of the group, a visitor, was raised at the conference in favour of fusion with the ISM.
DEGENERATION
We will contribute to the necessary REGENERATION of the Fourth International by building in Britain and by attempting to contribute to the clarification of the political problems that have beset the movement since the war. We seek dialogue, discussion, and exchange of material with the USFI - and with other tendencies. Internationalism is a basic political principle but it is not an organisational fetish. Where an international ORGANISATION, with the weaknesses and faults of the USFI, is the best that exists, the task of those who disagree is neither to hide in a nationalism shell nor to prostrate themselves before a fetish - but to seek dialogue, political and ideological clarification, and on the basis of that clarification, international co-thinkers.
By referring to 'regeneration' we do not mean that the USFI has degenerated. On the contrary, in 1947 it was regenerated by the influence on Lenin. We agree that the degeneration of the last quarter century of the FI's history is that it has been a DEGENERATE form of Trotskyism. The basis of this degeneration has been the destructing (in the case of much of the SWP/GCI material), the complete reduction to non-rational gibberish discussed above.
We regard ourselves as striving organisationally apart from the USFI. We do not oppose the necessity of an International, nor (like IS) do we break with a basic principle under guise of separating ourselves from a tendency.
But it is by internationalism which sacrifices fighting for the communist internationalist programme amongst the working class it can react to a bare organisational fetish - or which ignores the ideological and political roots of the inadequacy of the FI in the post-war period out of deference to the subsidiary organisational reality of the USFI. This sham internationalism - the attitude that with dialectic that we must join the IMG at the expense of our practical work - is possible only for self-indulgent romanticists who feel little responsibility to the working class they live amongst.
Feeling their responsibility, the IMG comrades face no choice but to vote the way it did.
ENDNOTES
Note 1.
The French group, Latte (orriere), holds that the USSR is a degenerate workers state and that all the other Stalinist states are capitalist, states because they underwent no classic workers revolution such as that of October 1917 in Russia (Though LO has a creditable record of support for third world struggles which stands in sharp contrast to the dishonourable record of IS in Britain). Concentrating exclusively on the evolution and character of the state machine in these countries LO ignores the fact that their social structure is identical with that of the USSR (and historically inseparable from the existence of the USSR and their interaction with it). The unbreakable and totally incoherent nature of the theoretical position of LO becomes obvious if we apply the analytical method they use on states like Cuba, China and E. Germany to the USSR itself. For Trotsky at the end of the 1930s the character of the USSR as a degenerated workers' state was not at all determined by the character of the state machine (he believed that a political counter-revolution had in fact occurred) but by the structure and nature of the post-capitalist society surviving from the Revolution, despite the transformation of the actual state machine into an instrument for oppressing the working class in the interests of the stalinist bureaucracy. In fact Trotsky said that, in his opinion the stalinist state "time [was] a something social conjuncgests of the October Revolution would be nothing less than fascist states. Only in that it guarded and defended these social remains of the revolution (in its own way and for the reason that the privileges and interests of the bureaucracy were tied inseparably to the post capitalist society established by the October Revolution) could the USSR be still considered a Workers State, even a degenerated one. This applies also to Poland for China, Cuba, etc., to the USSR itself.
It must cease to hold the degenerated workers state position; and if it applies the actual considerations which underpin Trotsky's analysis of the USSR to the other Stalinist states then it must cease to consider them as capitalist.
Note 2.
As the League For A Workers Republic, an Irish group we were once associated with was torn into three pieces during a similar discussion in 1970. Three groups resulted: an LWR (SLR) grouping, a group in critical support of the USL, and a small rump consisting of the majority of the old leadership, hanging together on a clique basis. After the SLR/SL split in the LC in 1971, this rump joined the OCL-dominated Uniting Committee for the Reconstruction of the Fourth International (UCFI), because it appeared still to be fighting the good fight against "Trotskyism". Initially they did not even know the SPECIFIC politics of the OCL, and in any case would have been incapable of critically assessing them. Its paper, SPEAKERS REPUBLIC now introduces a full blooded version of "Trotskyism" to the English speaking world. During the period of the many elections it demonstrated its bankruptcy strikingly. Its slogans were as follows: VOTE LABOUR! NO COALITION!
LABOUR TO POWER! SOCIALIST POLITICS SUPPORTED BY THE TRADE UNIONS! Since the possibility of a coalition depended on the small Labour Party, which had pledged itself to a coalition, every vote for Labour was a vote for coalition, and it was impossible in reality to vote Labour without voting bourgeois coalition, without helping the Labour leadership make it possible. The main emphasis, the only directive to action was "VOTE LABOUR". By any one of the basic Marxist tenets on the class nature of the state and the Fourth International, it is a product of social-democratized "Trotskyism" in its most degenerate state of political and intellectual embarrassment (See for instance "IN DEFENCE OF MARXISM" where Trotsky upholds Max Shachtman for spreading or having similar illusions in the US Socialist Party in the late 1930's).
As for the trade unions, it is the ELEMENTARY duty of revolutionaries to fight implacably against Trade Union support for any Government administering capitalism; only if it is really expected that Labour COULD come to power and promote socialist policies.
Note 3.
The leaders of the LWR are in their intention revolutionary, but their emphasis on the scope of the repressive - almost to the point of the Second International - involved in the USSR, of course it shows also the backwardness of the people who run the LWR, thinking it is possible to operate as revolutionaries without bothering to master even the ABC of Trotskyism, operating almost without an eye for a minimum composed of half unorganized, perhaps, than that SL/SL/SL of these groups' comrades have demonstrated that the road to Hell - in their case to inadvertent fascism - is paved with the best "anti-Trotskyist" and "anti-revolutionary" intentions. And especially where the anti-Trotskyists take as a substitute for a serious and politically responsible approach to the history and problems of the Trotskyist movement.
Sean MacCormac
June 1973
MINUTES OF N.C. MEETING (19th July)
PRESENT: PR/FE/ML/SW/JBX/NW/NS/DS DECEIVERS: AH/RL/PS/BH
OBSERVERS: CB/EV/GK/JD ABSENT: JS/SC
CHAIRMAN: NS MINUTES: DS START: 12 Noon (1 hour late) Finish: 5.45.
MINUTES OF LAST N.C., SECRETARIAT ETZ.
PR- There had been a good discussion on Portugal and Ireland at the May N.C.
Where were the minutes?
NW- Had taken minutes but couldn't understand them.
AGREED: NW to send notes to MT for deciphering.
DS- Had May N.C. corrected April N.C. minutes on 'Priorities'? AH's resolution
is not mentioned in the minutes. Worse still - AH's resolution had been
passed!
NS- The May N.C. had decided the minutes were correct.
DS- Question on the Sect. Minutes. Why can we not afford to send a comrade to
the L.O. Conference? Paris is no further from London than Manchester.
MT- The L.O. Conference is a waste of time as he had reported previously.
SM- This was not the reason why the Sect. decided not to send anybody. It is
a question of priorities.
NS- We can discuss this under the item 'Fourth International' on the agenda.
AGREE
NW- Moved Next Business.
DS- Opposed. Why do Comrades object to matters being raised? Ten minutes is
not long enough for the Minutes, if we take the Group seriously.
MT- Notice of one week should be given for any item on the N.C. agenda and
any question on the minutes. Proposed a resolution on those lines.
DS- Then the N.C. Minutes and Agenda should be produced well in advance,
not on the day of the N.C.!
SM- Proposed that plenty of time be allowed at future N.C. meetings for
raising issues on the Minutes.
AGREED to SM's proposal.
DS- A number of points had recently been raised on the issue of demonstrations
e.g. banners, who marches with who. Also we need to learn from the PTA
demo. Proposed SC commission article for I.B. on Demonstrations -
How to prepare, how to behave on the demo, how to follow up etc.
AGREED to DS's proposal.
DS- Question on the purpose of the Solidarity Bulletin.
SM- A) We use it to organise in TCN
B) We co-ordinate all forces agreeing on this one issue.
C) We aim to gain a presence for W.F.
REGROUPMENT AND THE SITUATION ON THE REVOLUTIONARY LEFT (See MT's document)
JBX- Question on the CP.
MT- The CP will build. They appear to have got up and go. They made many
contacts on the Common Market issue. Victory in Vietnam will help them.
The CP in industry has influence over the Labour Left, particularly now
the Labour gov. are attacking the working class.
JBX- Surely 'Militant' should be included in Section 6
MT- Most people joining 'Militant' are not revolutionaries. They don't want
to bite the head off the bourgeoisie!
NS- There had been confusion in comrades' minds. Were we asking people to join
Workers' Fighter creating something new.
PR- Thought Section 5 was contradictory. Surely large splits from the big
groups are bound to be compromised by their history.
SM - Point 7 is not critical enough. The NC had been too vague. We should have hammered away at the tendencies. Instead we substituted diplomacy for propaganda.
On point 5 - all the elements are there but the focus is wrong. Our focus must be on 1 to 1 recruitment and vigorous propaganda.
DS - Questions to MT. How does he see us operating in relation to a likely Left current in the LP? Does Section 5 mean that future growth in WF is to be expected from drop-outs from other groups?
MT ANSWERS
To NS - It is not a contradiction to aim to recruit groupings as well as individuals within a grouping. With IS-LO, regroupment should have been in the background.
To PR - We are not going to overtake IS by one to one recruitment. We hope whole sections will join us. These new people will have to face up to their history.
To SM - We never had an ecumenical point of view. We never dropped any political points to gain signatures.
To DS - Tribune's letter columns have been full recently of the need to build Tribunes groups. With SDA forming, the Left will organise. These groups will suck in many non-aligned elements, ex-revolutionary members etc. We want to see an open movement in which we can intervene.
AH - MT evades SM's point. Diplomacy was not in the letter itself but in our approach. It caused disorientation in WF branches. We related to leaderships instead of to individuals. We need to emphasise once again that we are a propaganda group.
SM - The document is too innocuous, too complacent. True I'm jaundiced. Just to think of all those endless, pointless discussions makes me sick. But the focus of the document is all wrong. For example, the mention of the Labour Lefts - we are not in favour of regroupment with them!
JBx - SM is taking an unproductive experience and generalising. Regroupment was and is the correct tactic.
MT - What is SM on about? SM is jaundiced - not a good basis for a political judgement.
SM - PROPOSED Sections 5 & 7 to be remitted to the SC.
AGREED to SM's proposal (6 to 4 for S.5/5 to 3 for S.7)
PASSED the rest of the document unanimously.
POLITICAL PERSPECTIVES (See A.D. 30)
PR - Disgruntled that we should have to change sections after one month. Also, Sections 5 and 6 underpin the rest - the whole thing is now off balance. Let's not be light-minded.
AH - We were wrong on the LP and on the Jones plan. But these are not basic theoretical errors - our assessments are too journalistic. Why? Because we have too few connections. We have to recognise the sharpening struggles on the Left. Right Tribunites do not want to lose new alliance with the T.U.C. (on the Common Market), so Huckfield saying, 'Look the T.U.C. want it'.
SM - Astonishing re-enactment of the history of Social Democracy in encapsulated form. Remarkable putting down of roots in the working class - even some involvement in real struggles. Then real compromise to help capitalism solve its problems. We can surely expect more feverish series of struggles to result from the speeded up nature of the crisis. Those people who are even now going along with the government will be radicalised. There are very good prospects for revolutionaries in the next period.
PR - Agreed with SM. If Tories had done a Healey, there would have been a General Strike or calls for one. This inconceivable now. But surely decisive struggles must be coming up.
MT - PROPOSAL: SC to produce a supplementary document to the Pol. Perspectives.
AH - PROPOSAL: We refer the document back.
AGREED (5 to 5 - NS for) to MT's proposal.
RANK AND FILE COMMS. & MOVEMENTS (See LB. 30 and attached points)
MT- Introduced his new points. IS-R&F had become almost like the ATUA of the WRP. The R&F papers had declined because of IS pandering. R&F movements come and go, there is nothing permanently structured. We need regular industrial bulletins and pamphlets.
AH- MT's document is eclectic. By focussing on generalities it loses focus. PROPOSED that the LB document be rejected. The section on Our Policy has no direction and no priorities. The new points would improve matters but only marginally. Apologised for not producing an alternative.
SM- Bewildered. How can we carry on this discussion? MT has patched up his document as a result of yesterday's School. Yet AH's views are unclear. R&F activity is not a matter of ideas - it is permanent either at a low-key or mass and spontaneous. History in U.K. - spontaneous, no political tendency with hegemony in Shop Stewards' movement before WWI, Revival under influence of CP after 1921 defeats. In 1950s unofficial movements and action. It exists as a reflection of the divorce between the machinery of the T.U.C. bureaucracy and the Rank and file. WF is a propaganda group. We are proletarian. We need a programme for our comrades. We need a general policy for industry as a whole and specific policies for specific industries. We have an exaggerated presence in various industries BUT we have no trained cadres integrating militancy with WF politics. Nothing is focussed, nothing is concrete. We need to prepare a discussion.
AGREED: To be discussed at the next NC - AUGUST 9th
NEW CONSTITUTION FOR WF (See document from BH)
BH- Explained various sections that had been altered and added to.
AGREED: To discuss at August NC.
FOURTH INTERNATIONAL (See SM's forthcoming document)
SM- Introduced his document which he later read. At our special Conference in 1973, we decided we could not join or accept the discipline of the USFI. This document is intended to draw out conclusions implicit in the 1973 decisions. (Basically, I think SM was saying: 1) No F.I. exists 2) We are in the 1933 Trotsky situation of the need to rebuild 3) Ideologically the situation is worse than 1914 where at least there was the healthy practice of the Bolsheviks.)
FS- We need a full Group discussion on this.
MT- The NC should decide then have educationalists on the matter.
AH- Agreed with MT. No point in having re-discussion. Actually this did not take place in 1973. The word got around about the conclusions before the documents came out and we were treated to some pretty asinine anecdotes at IMG's expense. Few people had anything political to say. We need to have fundamental analyses of F.I. Congress documents with which comrades are familiar and can argue for. This resolution must not substitute for analysis. SM has done the work - great, but we haven't.
RL- This is a very serious issue. If we make a decision, we have the duty to carry it through, to set aside priorities, time etc., to begin a whole programme of work.
AGREED: NC to decide. SM to introduce a session at the Aggregate, on the issue.
DS- What about the L.O. Conference in this context?
AGREED: To refer this to the SC.
ECONOMIC PERSPECTIVES (See PS's document)
PS- Answered questions on his document.
NW- Why will capitalism recover?
PS- Capitalism will not grind to a halt. Already the Run-down is slowing down. A number of countries have re-flated, others have reduced the rate
of unemployment. There is likely to be an upturn in output in some count countries. Nevertheless the situation is very stagnant. Keynesian measures are less and less effective.
NS- Why is inflation still rising in the U.K.?
PS- Capitalists still put up prices because of various pressures and forces. Output falls, overheads increase. State expenditure rises - non-productive. Sterling has devalued 5% in 3 months - thus we pay more for imports. Working class combativity keeps up standard of living, comparatively.
MT- Will U.K. recover from recession less fully than other Western countries, or later, or both?
PS- The structural crisis of British capitalism has been aggravated by the relative impasse of world capitalism. British re-investment pattern is later than elsewhere. The world monetary situation is unstable. There has been a slower and slower growth rate in U.K. The need is to increase the rate of exploitation, yet the British working class is very combative. The £6 a week policy will solve nothing. We can expect a harder core of unemployment. The recovery of World market will have an effect but less in U.K. than elsewhere.
JBr- The WRP say this is the worst of all economic crises. Is this true?
DS- Claimed to have SLL perspectives document from 1962 Conference saying the same things.
PR- PROPOSED: Next NC to discuss how to discuss economic perspectives. Referred to KK and economic bible-punchers.
AGREED to PR's proposal.
JBx- PROPOSED: Remit document to next N.C. AGREED (MT & DS against)
LABOUR PARTY (See attached proposals from MT)
MT- Introduced his proposals.
DS- PROPOSED 2 amendments to MT's proposals.
1) Add to section on tasks for LPYS Conference:
We start now to build new LPYS branches - to get WF delegates to next year's Conference.
2) Add to section on our work in LP Left:
We aim to gain contacts for WF on the basis of 'Entrism' (i.e. fighting in the LP with us on our policies)
We have heard of impending struggles and good prospects for revolutionaries. Put forward the view that gains for WF would come from new forces, particularly youth, not from other left groups. We need to drive LPYS out in practice i.e. build our own branches. On 'entrism', we need to stop people leaving LP in disgust, at the same time getting people from one issue campaigns (e.g. W.W. Charter, TQM) to join LP to fight with us.
PR) Agreed with DS on building our own LPYS branches. East Midlands had proved this. We had made 12 new members. Now we had a presence, we can fight Militant more effectively.
We must distinguish between Tribune in adult Party and in LEYS. At East Midlands, Tribuneites had circulated anti-Trot leaflet, then Dennis Skinner spoke at the Militant meeting in the evening!
SM- Worried about MT's focussing on the Militant. Like the 4 men in U.S.A. 'most dangerous enemies of the Spattacist League'. Could be last year's war.
AH- We must be far more open with YS paper. Last copy impossible to sell outside LPYS. Attack on sell-out correct, but surely inside pages.
The co-ordination of our LP work has been disgracefully inadequate.
NW- Agreed with criticism of latest YS. We do need to be careful about security. But no martyrdom yet. Militant hacks deny squashing Irish campaign.
PS- There are a large number of LP issues workers relate to. WF paper should reflect these. For example, why not an interview with somebody involved in Newham North East?
Agreed that best way to fight Militant was to build own branches, recruiting youth to take in and fight Militant.
AGREED: DS's Amendments. AGREED: MT's Proposals.
THE LABOUR PARTY (Proposals and amendments accepted by July NC.)
1) Two SG to prepare a document on political perspectives in relation to LP. The YS-EB to draft one for submission to SG on practical details of work. Both these documents to be submitted within 2 weeks.
2) We recognise the possible development of a major Tribuneite Left current in the LP. We fight for revolutionary politics within an open left current. At the moment we should investigate while keeping our heads down. We recognise that we ourselves cannot structure the Left in the LP. We can only intervene. We aim to gain contacts for WF on the basis of 'Entrism' tactic.
3) On the LPYS:
A. We prepare now for the next LPYS Conference
a. New LPYS branches - to get WF delegates.
b. Resolutions on - the economic struggle, Ireland, S.Africa, Women's Lib., racialism.
c. A YS meeting at the Conference
d. Intervention at pre-Conference Regional meetings and elections.
e. Leaflets on our resolutions
f. A follow-up YS day school.
WF comrades on YS-EB to organise this, in consultation with Sect.
B. We aim to become the serious challenger to Militant in the LPYS.
C. We need to focus our LPYS work round centralised campaigns e.g., on the ban on the Irish Campaign.
D. We approve the proposals to open out YS. We should not, however co-opt a member of the Chartists on to the YS-EB at the moment.
E. We endorse the Secretariat proposals about structuring LPYS work through regular YS-EB and Regional YS supporters' meetings. YS should appear every 6 months.
F. We instruct the WF-EB to increase coverage of LP and LPYS in the paper.
RANK AND FILE MOVEMENTS (Additions to MT's IB article - remitted to next NC)
A. To stay as it is.
B. The IS-R&F. This movement could have had real possibilities if it had had clear political backbone and had pursued an energetic United Front policy with the Liaison Committee, Building Workers' Charter etc. (and had been accompanied by a political struggle in those groups). We intervened advocating that policy. In practice IS preferred political tail-ending and an attempt to keep out of the way of the CP. The IS-R&F is now little more than an IS version of the ATUA.
C. The IS-R&F papers have now largely collapsed, with the exception of the white collar Unions where there is a social base for a militant minority among an ex-student layer. This collapse is of course partly due to IS's flabby opportunism. But we recognise the possible value of short-lived R&F papers as an attempt to capitalise on a R&F feeling which turns out to be short-lived.
D. Our own R&F papers were also short-lived. Our faults were:
1) Failure to combine industrial work with cadrecdevelopment
2) Unrealistic attempts to extend them to national coverage.
We should aim for regular industrial bulletins and serious pamphlets.
E. We need more ideological centralisation to our industrial work. To that end we should produce pamphlets and campaign around them.
F. We should work within the various loose R&F groupings that exist - e.g. Redundancies in the Media.
G. Ad hoc United Fronts, One-off Conferences etc. can be useful. But to make of them a strategy in place of ongoing R&F movements is a formula for opportunism.
H. to K. as previous B. to E.
Dear comrades,
I am writing to confirm the points discussed at the LO fête and the international conference of 8/9 June.
(1) You said that you disagreed with our reply to the 'Necessary International Initiative' on the question of the crisis of the Fourth International.
We argue that the crisis of Trotskyism arose essentially from a failure to analyse adequately the Stalinist-led revolutions in Yugoslavia, China, etc. As a result all currents of the Trotskyist movement since the 1940s - International Committee as well as International Secretariat/United Secretariat - have tended to combine formal proclamations of the ideas of the Trotskyism of 1938 with adaptationism in relation to a supposed ongoing objective revolutionary process. The term 'Pabloism' is a mythical concept, blocking understanding of the real problems.
You maintained that the Fourth International was destroyed through the pressure of the class enemy in the early period of the war. This destruction was manifested in the failure to maintain an international centre consistently propagating a revolutionary internationalist line. After the war, the comrades attempting to rebuild the Fourth International failed to do so. They fell into adaptationism. In your view, 'Pabloism' is the name of one period of this adaptation.
We agreed to continue the discussion on this point in writing, around the FMR's document on "The Crisis of the Fourth International".
(2) Discussion to be carried out through an International Discussion Bulletin. The International Discussion Bulletin will be produced in English, by the I-CL as a fraternal service to the Spartacusbund, FMR and IKL. The first issue will be produced around the end of July. Articles for it should be ready in translation by early July.
The articles for the first issue will be:
a) FMR document on the 'Crisis of the FI', to be translated from Italian into English by the I-CL.
b) Document of the IKL, to be sent to the I-CL soon.
c) FMR document on the Origins of Centrisu Sui Generis, to be translated from French into English by the I-CL.
d) I-CL reply to the International Initiative and I-CL fusion resolution on the Fourth International. (We shall also try to produce German translations of these documents).
e) The International Initiative, in an improved English translation.
One more article may possibly be included:
f) Spartacusbund document on the post-war crisis of the Fourth International. The Spartacusbund will inform us if this is to be included.
The International Discussion Bulletin will be circulated to the members and periphery of SP, FMR, IKL and I-CL, and also, we would suggest, as widely as possible to other groups, including dissident factions in USFI sections.
(3) We also discussed exchange of comrades and documents. The I-CL invited comrades from the Spartacusbund, the FMR and the IKL to visit Britain for a period including the I-CL conference. (We have since postponed the conference from 9/11 July to August or September to allow a longer pre-conference discussion period. We may have a pre-conference on 9/11 July nonetheless, and in any case comrades would be welcome to visit us then). We also said that I-CL comrades would be visiting Germany for a period in the summer.
The I-CL also proposed exchange of internal documents. We have already given copies of some of our internal bulletins to the Spartacusbund. A Spartacusbund comrade mentioned the possibility of giving the I-CL copies of a Spartacusbund internal document on Spain.
We hope to hear from you soon on these points. We also propose that we should plan to hold a proper International Conference, including the Spartacusbund, the FMR, the IKL, the I-CL, and any other groups accepting the general spirit of the International Initiative, after one or two issues of the International Discussion Bulletin have been produced. The aim of the discussions (in our view) should be to work towards the elaboration of an international platform, similar in form to the 1930 eleven-point platform of the International Left Opposition.
We suggest also discussion on common intervention in the LO international confer1. We do not take our international work seriously enough. We must take it more seriously. We should devote sizable resources - not mere tokens, as at present - to translation of material, and to travel overseas.
2. From the discussions with the Spartacusbund and the FMR (and the IKL) over the weekend, our impression of a degree of political agreement with them was confirmed. They were convinced by discussions that the RCG are a petty-bourgeois academic sect, and nationalist as well. In the forums they dealt with the Spartacists very well, distinguishing themselves clearly from Spartacist-type "anti-Pabloite" arguments.
We also discussed our reply to the 'International Initiative', Portugal, and Spain. We disagreed on the historical question of the crisis of the Fourth International (see letter to the SB/FMR/IKL draft). I was not sure about the way they linked the slogans of General Strike and Constituent Assembly in Spain, and I felt they tended to a too-schematic view of the situation and an overestimation of the tempo of events. (The SB should be sending us a document on Spain).
3. We should press forward relations with the SB/FMR/IKL as vigorously as we can. Even if the conclusions should be that we have principled disagreements with them preventing collaboration, the experience will be positive in terms of our own clarification and of establishing a presence on the international scale.
3. We should get texts on our position on the FI published in the following languages (in order of priority):
- German (we already have a translation of the 1973 pamphlet)
- French
- Portuguese
- Italian.
Gunther, Foster and Parnell should be asked to concentrate their efforts heavily on translations and international work, if necessary being relieved of other work.
Our present texts are written in a very nuanced and complex literary style, such as to make them extremely difficult to translate. A comrade (Walsh, for example) should be commissioned to do a brief and simply condensation which can be translated (and which will also be useful for our own comrades' and our periphery's education).
5. Price, Gunther and/or Foster should visit Germany for a period during the summer to discuss with the Spartacusbund. If possible we should also arrange for comrades (Murphy or Parnell plus a PC member) to visit Italy.
6. We should see the discussions as aiming towards the production of an international platform of the model of the 1930 platform of the International Left Opposition. We should ourselves, after the I-CL conference, produce a first draft (it will be no more than that) of such a platform.
7. We should also commission Price, Gunther and/or Foster to write a commentary, for our discussions on Manifesto and Action Programme, on the Grundsatzerklarung and the Kampfprogramm of the Spartacusbund. We should ask the Spartacusbund for comments on our Manifesto and Action Programme.
8. We should prepare our interventions at LO conferences. For the next one or the one after, we should propose:
* campaign on the question of the Vietnamese Trotskyists (having written to them first)
* document on the question of the workers' government (extracted from Manifesto)
* document on the crisis of Trotskyism.
We should liaise with the SB/FMR/IKL on this. Obviously there is no question of us forming a common international tendency with the LO/CO/UACI/Spark, but we have everything to gain from additional contact with them. They are trying to use us, but we can use them.
9. 'I.C.' no. 2 should carry:
- LO's Address, our reply, and a report on the last Conference;
- NII, plus our reply, and a short introduction.
C. Reynolds, June 1976.
What struck me most forcibly at the Lutte Ouvriere Fete was that our own lackadaisical attitude towards "international work" put us in immediate danger of becoming a "nationalist" grouping.
When the Trotskyist Tendency was expelled from IS, the IMG immediately read out the writing on the wall that they thought we couldn't understand: "You will not be able to withstand the pressure to become a nationalist sect." They had two things in mind: we wouldn't be able to avoid inventing differences with them in order to maintain our separateness (hence the term "sect"); and we wouldn't be able to come to grips with the burning world-political questions simply on the basis of our activity, however good, in one country.
The solution for these two ailments was in the eyes of the IMG quite obvious: we needed only to join the IMG and thereby the United Secretariat of the Fourth International. Our ideas didn't matter; it was like those body-building courses that advertise themselves with the words, "No equipment needed." The IMG's record and the USFI's record since then (and of course before then too) has confirmed our choice.
However, there can be little doubt that we did not take the warning seriously enough. Answering that joining the USFI wouldn't solve the problem was true; answering that we saw the need to develop an ideological tendency which really did stand in the tradition of the Fourth International of Leon Trotsky was perfectly right. But what did we do?
Here the record is not entirely negative: we have the work on the FI, we have our own attempts to come to grips with world-political questions. But weighed in the balance with what we should have done and what we could have done, we did scandalously little. Despite a long-time "relation" with Spartacusbund in Germany, we have not once tried to intervene in the life of that organisation, we have not until very recently tried to systematise these relations. In many ways this showed a refusal to learn from some of the mistakes of the relation with the LIR in Ireland. In both cases relations were largely at the personal level, nothing was set down, nothing systematised and the members consequently kept in the dark.
Before I return to the Lutte Ouvriere Fete itself, let me make it quite clear that I consider myself not simple co-responsible for these shortcomings with other leading members of WF/I-CL but more responsible (as certain linguistic abilities do play an important role in this process).
At one of the discussion "forums" held at the LO Fete the RCG intervened to give an outline of what they saw as the process by which an international is built. They said - in the safety of a meeting where most of the participants didn't know to what degree they stand outside the working class - that the first tasks of the development of an international tendency was for each of the national groupings that claim to be internationalists to wage a struggle against chauvinist currents within "their own" working class.
I was immediately struck by four things:
1) there is here a confusion between those tasks which serve as a test for an organisation's being free from seeing matters from the point of view of the interest of the national capitalist class (chauvinism) and those which show that an organisation is free from seeing matters solely from within the framework of the "national experience."
2) logically, according to the RCG view, an international programme is the synthesis of different national programmes instead of vice versa.
3) the RCG, for all their ideological pretensions, simply carry over the ideas of IS on the building of an international. The chief difference being that the RCG are "armchair workers" while IS does at least put into practice the idea of taking the struggle into the working class.
4) while the RCG conception is the diametrical opposite of our conception, our practice actually conforms to their conception (while their practice does not).
Of course if a revolutionary tendency capitulates to its "own" nation's chauvinism, no end of protestations of internationalism will save it from condemnation. In this sense, the struggle against British chauvinism, in particular in relation to the acid tests of the Irish question and the question of blacks and immigration, is decisive.
On the other hand, any tendency which sought to define itself as internationalist on the basis of carrying out this struggle and this alone, simply makes itself ridiculous. When Trotsky denounces the Bordighists for failing to develop an international programme he didn't accuse them of capitulating the Italian chauvinism!
One of the lessons we learn from the history of the FI (and for that matter of the early Comintern, the Bolshevik party etc.) is the crucial nature of a cadre capable of the assimilation of the necessary lessons of the class struggle and their transformation into revolutionary programmatic positions. No party can fulfill its revolutionary mission without such a cadre.
Now none of this is unusual. It can be read in lots of different texts. In Trotsky, Cannon. But it is something we have to integrate into our practice. We, like the KCG according to its verbal position, have rested satisfied with our struggle against national chauvinism.
The document "A necessary international initiative" has been signed by the German Spartacusbund, the Austrian IML and the Italian RCP. Possibly it has been signed also by the recent split-away from the Portuguese section of the USFL. There is a lot in the document which might be changed; a lot of truisms; and there is a lot missing from the document. Nevertheless the production of this document is, in some ways, an example for us. Certainly there is a huge gulf between this initiative and our complacency.
Behind the decision to publish the document is a conception to which we pay lip-service, but needs to be far further to the fore in our practical work: that the building of an international tendency demands the training of a cadre "at the international level", that is, in the systematic attempt to understand and intervene in the central internationally important political situations.
It would be instructive - in order to give some idea of what this means concretely - to look at the history of the SWP's understanding (or lack of understanding) of its international tasks. For us certain things are obvious: we have not tackled the question of the development of a group sympathetic to our political line in Ireland with any urgency - indeed, we have hardly done it at all. Secondly, while the developments in Portugal have dominated the concerns of revolutionaries for two years, we have still to produce a polemical account, that is, an account of the development of events which at every major juncture analyses the positions of rival political tendencies and contrasts them with our own. Far from having done this (though there is an article in the journal which is at present being printed which deals with some of this material, though I don't know how it approaches it) we have rarely had even PC discussions, let alone MC and group-wide discussions, on Portugal and those that we have had have been lacking in serious preparation. (Once again I am at least co-responsible for this state of affairs). Through the Rice it would be possible also to monitor the Portuguese revolutionary press - even to have some dialogue with those organisations.
What lies at the root of these near-criminal complacency? I think it is an implicit distinction between party-building and the building of an international tendency. Fundamentally this distinction is a revision of the very founding ideas of Trotskyism, indeed of post Second International Marxism. The idea is that we go about our daily work and in addition to that, when forces allow, we see what forms and degrees of collaboration can be achieved with other organisations in other countries.
Firstly for a small organisation the pressure to commit all forces to the domestic struggle inevitably turns this "international project" into a bottom-of-the-list "priority" which no one ever gets round to dealing with. Incidentally, the fact that the fusion has meant that the PC and NC need to devote an inordinate amount of time to knitting the organisation together and seeing to its smooth function means that the pressure on committing all attention to the domestic struggle is even greater. (In this context it is a good sign that the I-CL's "international work" has been better than WP's though still grossly deficient.)
Secondly this dichotomy fails to see that "national" party-building is only valid on the basis of an internationally valid programme. As a matter of fact, far from this being a generally true but practically not very meaningful idea, this conception has a very obvious daily relevance to a propaganda group (or sub-propaganda group as I think we are). After all, seen on the simplest level, we are not going to recruit from IS, IMG, WSM etc. to any large extent on the basis of being models of proletarian activity. These groups are bigger than we are, they are - at least the first two, superficially organisationally far more impressive than we are. Gains are going to be made on the basis of sharp political-ideological struggle. Of course, this could occur over a domestic issue, even a tactical issue; but the most serious comrades are going to be won not on the basis of our better position on this or that domestic issue, but on the basis of a qualitatively superior analysis and set of positions such as distinguish a revolutionary organisation from a centrist or reformist organisation.
!*!*!*
It would be useful if, next year, we approached this Fete differently. While it is in no sense a major political event, unless there are reasons which make it impossible, a group of about a dozen should be assembled, who would be trained prior to going in discussing the major international issues with the different national and international tendencies. This would be a useful device both for developing a cadre and also for projecting ourselves internationally.
J. Price
The following is a list of the most important and frequently used terms in the field of computer science:
1. Algorithm: A step-by-step procedure for solving a problem or performing a task.
2. Data Structure: A way of organizing data that allows efficient access, modification, and manipulation.
3. Database: An organized collection of data stored in a computer system.
4. Database Management System (DBMS): Software that manages databases and provides an interface for users to interact with them.
5. Encryption: The process of converting information into a code so that only authorized parties can understand it.
6. Hashing: A process of converting data into a fixed-size string of characters, typically used for data integrity checks.
7. Interface: A way for two systems to communicate with each other.
8. Network: A collection of computers and devices connected together to share resources and communicate.
9. Operating System (OS): A software program that manages computer hardware and software resources and provides common services for computer programs.
10. Programming Language: A formal language designed to be used by humans to express instructions to a computer.
11. Query: A request for information from a database.
12. Security: The protection of data and systems from unauthorized access, use, disclosure, disruption, modification, or destruction.
13. Software: A set of instructions that tell a computer what to do.
14. System: A collection of interrelated components that work together to achieve a common goal.
15. User Interface (UI): The part of a computer system that interacts with the user, allowing them to input commands and receive feedback.
16. Virtual Machine (VM): A software implementation of a computer system that runs on top of another computer system.
17. Web Application: A software application that runs on a web server and is accessed through a web browser.
18. Wireless Network: A network that uses radio waves to transmit data between devices.
19. XML: eXtensible Markup Language, a markup language that defines a set of rules for encoding documents in a format that is both human-readable and machine-readable.
20. YAML: Yet Another Markup Language, a data serialization language that is easy to read and write, and is commonly used for configuration files.
|
Theses Digitisation:
https://www.gla.ac.uk/myglasgow/research/enlighten/theses/digitisation/
This is a digitised version of the original print thesis.
Copyright and moral rights for this work are retained by the author
A copy can be downloaded for personal non-commercial research or study, without prior permission or charge
This work cannot be reproduced or quoted extensively from without first obtaining permission in writing from the author
The content must not be changed in any way or sold commercially in any format or medium without the formal permission of the author
When referring to this work, full bibliographic details including the author, title, awarding institution and date of the thesis must be given
AN INTEGRAL EQUATION DESCRIBING A MAGNETIC CONFINEMENT SYSTEM
by
Eleanor M. Graham
Department of Natural Philosophy,
University of Glasgow.
Presented to the University of Glasgow, August 1966, as a thesis for the degree of Master of Science.
ProQuest Number: 10647268
All rights reserved
INFORMATION TO ALL USERS
The quality of this reproduction is dependent upon the quality of the copy submitted.
In the unlikely event that the author did not send a complete manuscript and there are missing pages, these will be noted. Also, if material had to be removed, a note will indicate the deletion.
ProQuest 10647268
Published by ProQuest LLC (2017). Copyright of the Dissertation is held by the Author.
All rights reserved.
This work is protected against unauthorized copying under Title 17, United States Code
Microform Edition © ProQuest LLC.
ProQuest LLC.
789 East Eisenhower Parkway
P.O. Box 1346
Ann Arbor, MI 48106 – 1346
## CONTENTS
| Chapter/Section | Page No. |
|-----------------------------------------------------|----------|
| Contents | 1 |
| Preface | 3 |
| **CHAPTER 1 MIRROR MACHINES** | |
| 1.1 Introduction | 4 |
| 1.2 Basic Principles of Mirror Machines | 5 |
| 1.3 Injection Mechanisms | 8 |
| 1.4 The Sine-Wave Modulated Mirror Machine | 9 |
| 1.5 The Square-Wave Modulated Mirror Machine | 11 |
| **CHAPTER 2 THE GENERAL INTEGRAL EQUATION** | |
| 2.1 Derivation of General Integral Equation | 13 |
| 2.2 Calculation of Containment Time | 16 |
| **CHAPTER 3 THE KERNEL** | |
| 3.1 Introduction | 18 |
| 3.2 Equations of Motion | 18 |
| 3.3 Equations for Square-Wave Model | 19 |
| 3.4 Internal Reflection at a Boundary | 22 |
| 3.5 Calculation of Kernel | 23 |
| 3.6 Method of Numerical Calculation | 25 |
| 3.7 Particles Reflected Without Entering the Modulation | 28 |
| 3.8 Normalisation of the Kernel | 30 |
| 3.9 Results | 31 |
| **CHAPTER 4 SOLUTION OF THE GENERAL INTEGRAL EQUATION** | |
| 4.1 Solution of the Homogeneous Equation | 33 |
| 4.2 Solution of General Integral Equation | 37 |
| CONTENTS (Continued) | Page No. |
|----------------------|----------|
| 4.3 Method of Solution of (4.1) | 39 |
| 4.4 The Source Function $g_0(\xi)$ | 40 |
| 4.5 Numerical Solution of the General Integral Equation | 41 |
| CHAPTER 5 RESULTS | 44 |
| 5.1 A Statistical Treatment | 44 |
| 5.2 A Diffusion Equation Treatment | 45 |
| 5.3 Discussion of Results | 48 |
| 5.4 Comparison of Results | 49 |
| 5.5 Further Work | 50 |
| Acknowledgements | 51 |
| References | 52 |
PREFACE
In chapter one some of the work done on attempts to confine plasmas by means of magnetic fields is summarised. The non-adiabatic magnetic mirror machine which is the subject of this work is also described, along with how it came to be suggested.
In chapter two the general integral equation for a system of this type is derived. This work is due to Drs D.A. Dunnett and E.W. Laing. The solution of this general integral equation is a distribution function which is a function of the velocities of the particles in the system. The theory of how the mean containment time of the particles in this confinement system can be calculated is described.
In chapter three the equations necessary to calculate the kernel of the integral equation are derived from the general equations for a charged particle in a magnetic field. The method of calculating this kernel numerically from these equations is then described and discussed. Some of the results of kernels obtained in this way are given. This method, and the subsequent work are due to the author in collaboration with Drs D.A. Dunnett and E.W. Laing. Chapter four describes the method used to solve numerically the integral equation of chapter two. The method of solution is described algebraically and then the numerical calculations involved and some of the results of these calculations are given.
In chapter five more of the results produced by this method are presented. These are compared with the results obtained by a purely numerical method of dealing with the system, and with those obtained from a diffusion equation treatment of the integral equation of chapter two.
CHAPTER 1
MIRROR MACHINES
1.1 Introduction
Work has been in progress for a great many years on the study of the properties of plasmas, or hot ionised gases, but this study has been intensified in the last 20 years in the hope that a method will be found of confining plasmas for long enough to allow fusion of nuclei to take place.
Many reactions involving light nuclei result in the liberation of energy, and these are the reactions which are utilised in attempts to produce energy by means of fusion. The reactions which are most practicable are those which do not need an extremely high temperature or a very high density of particles in order that the probability of the reaction occurring is large enough for the reaction to be at least self-sustaining, i.e., for it to produce enough energy for the reaction to occur again. Various measurements of probability have been made, and it has been concluded that the most practicable reactions are those involving the heavy isotopes of hydrogen, namely deuterium and tritium.
In order that the reactions can occur the particles must be contained in some type of system. Many possible methods of confinement by means of a magnetic field have been suggested, but these have been to some degree or another unsuccessful, in that various instabilities have built up before the correct criteria of density and temperature have been established.
1.3 Basic Principles of Mirror Machines
We shall be concerned in this work with plasmas which are confined by means of magnetic fields, and among the many devices which have been suggested for this purpose is the magnetic mirror machine. (A magnetic mirror is a region of locally high magnetic field.)
The so-called "mirror effect" is based on one particular quantity associated with a charged particle, namely its magnetic moment. The magnetic moment of a charged particle moving in a magnetic field is defined in a way analogous to that of a current flowing round a loop. If a current $I$ is flowing round a loop of area $\delta S$, then the magnetic moment of the current loop is defined to be $I\delta S$.
In a uniform magnetic field a charged particle with mass $m$ and charge $e$ gyrates helically with radius $r_L$ (Larmor radius) and frequency $\omega$ about a magnetic field line. The quantities $\omega$ and $r_L$ are connected by the equation $v_\perp = r_L \omega$, where $v_\perp$ is the velocity of the particle perpendicular to the magnetic field line and $\omega$ is the gyro-frequency of the particle (Larmor frequency). The latter is related to the magnetic field strength $H$ by $\omega = \frac{eH}{mc}$, where $c$ is the speed of light.
If the gyrating particle is treated as a current loop, its magnetic moment $\mu$ may be defined as
$$\mu = \frac{e \omega}{2\pi c} \cdot \pi r_L^2$$ \hspace{1cm} (1.1)
On substitution for $r_L$, equation (1.1) becomes
\[ \mu = \frac{\frac{1}{2}mv^2}{H} \]
\[ \mu = \frac{W_\perp}{H} \] \hspace{1cm} (1.2)
In (1.2) \( W \) is the particle energy perpendicular to the magnetic field line.
The motion of a particle is said to be "adiabatic" if it is moving in a field which satisfies the following two criteria
\[ \frac{1}{wH} \left| \frac{\partial H}{\partial t} \right| \ll 1 \] \hspace{1cm} (1.3)
if the field is time dependent,
or
\[ \frac{T_L}{H} |\nabla H| \ll 1 \] \hspace{1cm} (1.4)
if the field is spatially variable.
These criteria are necessary because in a variable magnetic field particles tend to drift across magnetic field lines, but for fields satisfying (1.3) and (1.4) this drift is small and can be neglected.
It has been shown by Hellwig (1) that in any field satisfying these criteria, \( \mu \) is, to a good degree of approximation, a constant. We shall consider only fields for which (1.3) and (1.4) hold, and therefore in which \( \mu \) is an adiabatic invariant.
In such a field, and with no electric field present, \( W = \frac{1}{2}mv^2 \), the total energy of the particle, is a constant. If \( W_{||} \) is the energy corresponding to the particle's motion parallel to the magnetic field line then
\[ W = W_\perp + W_{||} \]
If \( H \) increases in such a way that conditions (1.3) and (1.4)
are still obeyed then the constancy of $\mu$ implies that $W_\perp$ also increases such that
$$\frac{W_\perp}{H} = \frac{W_0}{H_0}$$ \hspace{1cm} (1.5)
where $H_0$ is the initial magnetic field, and $W_0$ is the initial energy perpendicular to the magnetic field. If the maximum value of $H$ is $H_{\text{max}}$ then
$$W_\perp < \frac{H_{\text{max}} W_0}{H_0}$$
In order that the particle should be reflected $W_\parallel$ must become zero, and this will only occur when
$$W < \frac{H_{\text{max}} W_0}{H_0}$$ \hspace{1cm} (1.6)
This is therefore the criterion for reflection. Substituting $\frac{1}{2} m v^2$ for $W$ and $\frac{1}{2} m v_\perp^2$ for $W_0$, (1.6) can be written
$$\frac{v_\perp^2}{v^2} > \frac{H_0}{H_{\text{max}}}$$
If $\theta$ is the angle between the velocity vector $v$ and the magnetic field line, and if the mirror ratio $R$ is defined as $\frac{H_{\text{max}}}{H_0}$, the criterion for reflection becomes
$$\sin \theta \geq \sqrt{\frac{H_0}{R}}$$
The normalised magnetic moment of a particle is defined as $\xi = \frac{v_\perp^2}{v^2}$, and in terms of this the reflection criterion becomes $\xi \geq \sqrt{\frac{1}{R}}$.
A magnetic mirror machine consists basically of two regions of high magnetic field $H_{\text{B}}$, separated by a region of weaker magnetic
field $H_0$, as is shown in figure 1.1.
The machine makes use of the adiabatic invariance of the magnetic moment of a charged particle in the following way. If in the central region of the machine the particle has total energy $W$ and energy $W_0$ perpendicular to the magnetic field then, using the invariance of the magnetic moment of the particle, it can be seen that the particle is reflected on reaching a mirror if $\mu = \frac{W}{H_0} > \frac{W}{H_m}$. In this way particles are trapped in the system.
### 1.3 Injection Mechanisms
One of the biggest problems of the simple mirror machine of fig.1.1 is the difficulty of injecting particles into it. If a particle has a sufficiently low magnetic moment to penetrate a mirror and enter the machine then it will be lost when it next encounters a mirror. Various injection devices have been suggested to overcome this problem, among them the following.
1. **Time-Varying Field**
There are various types of time-varying field (see 2), but the simplest of these is the field involving change of the mirror ratio.
The principle of this is that after a particle has entered the machine, the mirror ratio of the machine is changed in accordance with (1.3), i.e., so that the magnetic moment of the particle is unchanged. There is then a non-zero probability that the particle will be reflected when it meets a mirror. The condition for trapping has been given by Post (5).
2. Collision Mechanisms
There will always be some collision between particles in a mirror machine, which will change the magnetic moments of some of the particles enough for them to be trapped, but this can be stimulated artificially by firing beams of particles simultaneously from both ends of the machine. This method traps a high proportion of the plasma (3).
3. Change of Charge-to-Mass Ratio
Particles can be trapped if once inside the machine they have their charge-to-mass ratio changed. This can be done by causing either neutral atoms or molecular ions to dissociate. Neutral atoms dissociating can produce ions with most of their energy in the transverse direction and therefore more liable to be reflected at a mirror.
These systems have been investigated both theoretically and experimentally and are described in various sources e.g. (2). The rest of this work will however be concerned with a different type of injection mechanism described in section 1.5.
1.4 The Sine-Wave Modulated Mirror Machine
A new system of injection was suggested and investigated experimentally by Sinelnikov et al (4). This consists of a mirror
machine the field of which is modified in the central region by a small sine wave modulation.
In the central region the field is
\[ H = H_0 \left\{ 1 + h \sin \frac{2\pi z}{\lambda} \right\}, \]
where \( h \ll 1 \) and \( \lambda \) is the wavelength of the modulation. This is shown diagrammatically in figure 1.2.
This is a spatially varying field which deliberately does not satisfy the criterion (1.4), i.e., it is a non-adiabatic modification to the system.
Particles can be injected into this system along magnetic field lines, i.e., with zero magnetic moment.
Provided a particle's initial conditions satisfy
\[ 2\pi v = \omega \lambda, \]
where \( v \) is the injection velocity, \( \omega \) is the Larmor frequency in the background field, i.e., \( \omega = \frac{eH^0}{m_0} \), and \( \lambda \) is the wavelength of the modulation, then there is a resonant interaction with the field, and parallel energy is transferred into transverse energy. This only occurs when the particle is injected off the axis of the system.
If the particle gains transverse energy then its magnetic moment is altered, and this means that there is now a non-zero probability that the particle will be reflected when it comes into contact with a magnetic mirror. The fact that the magnetic moment of the particle is changed every time it passes through the modulation means, however, that eventually the magnetic moment may become so small that the particle is lost when it next meets a mirror. This is how particles are lost from this device.
Ining and Robson (5) have made detailed numerical calculations of orbits in this type of trap, but found that because of rounding-off errors and the computing time necessary, it was not practicable to compute more than about 25 transits of the system. It was to overcome these difficulties caused by the fact that the modulations were sinusoidal that the model with which this thesis is concerned was suggested. This is described in the next section.
1.5 The Square-Wave Modulated Mirror Machine
In this model the sinusoidal modulation of the previous section is replaced by a step function which takes alternately the values $H_0(1 + h)$ and $H_0(1 - h)$ with $h \ll 1$. This is shown in figure 1.5.
This system is unphysical, owing to the discontinuities in the field, but it has nevertheless been shown by Dunnett et al. (6) to have closely similar properties to the sinusoidal system. This is because when the characteristic length over which the field varies is already of the order of the Larmor orbit diameter, further reduction in the characteristic length does not significantly alter the effect of the field change on the magnetic moment of the particles (7).
This square wave system has been investigated numerically (6) and the theory of this type of trap has been studied by Dunnett and Laing (8). In this thesis some of this theoretical treatment is given and then the work done in solving numerically the resulting integral equation is described.
CHAPTER 2
THE GENERAL INTEGRAL EQUATION
2.1 Derivation of General Integral Equation
The magnetic mirror machine described in section 1.5 can be represented symbolically by the system shown in figure 2.1.
In this system A and B are magnetic mirrors both with mirror ratio $M$, and C is some type of symmetric modulation in which the magnetic moment of a particle is changed. This is the system considered in (8).
On coming in contact with a mirror a particle will be transmitted if its magnetic moment is less than $\frac{1}{M}$, and will be reflected with its magnetic moment unchanged if it is greater than $\frac{1}{M}$.
The quantity $g_0(\xi)d\xi$ is the number of particles per second reaching a mirror with magnetic moment in the range $(\xi, \xi + d\xi)$. This flux is incident from outside the machine and it is assumed that it has such a magnetic moment that it will all be transmitted.
The quantity $g_1(\xi)d\xi$ is the number of particles per second entering the modulation across a plane at right angles to the z-axis in the range $(\xi, \xi + d\xi)$ and $g_2(\xi)d\xi$ is the number of particles per second leaving the modulation in the range $(\xi, \xi + d\xi)$.
The behaviour of a particle in the modulation is dependent not
only on its magnetic moment but also on the phase with which it enters the modulation. The phase of a particle is a measure of the position which the particle has reached in its circular orbit. It is therefore necessary to consider the effect which the phase of the particles has on the functions $g_0(\xi), g_1(\xi)$ and $g_2(\xi)$. The phase of the particles forming $g_0(\xi)$ is a matter of choice, as this is an input function, but to calculate the phases of the particles forming $g_1(\xi)$ and $g_2(\xi)$ it is necessary to consider the change of phase of a particle passing through a mirror or being reflected by one.
Laing and Robson have given a method of calculating the phase change on reflection by an adiabatic mirror in an appendix to (5). For a parabolic mirror, which is taken as representative, this method shows that the phase change is proportional to $L$, the length in which the field doubles in strength. If $L$ is sufficiently large the phase change is a large multiple of $2\pi$, and this is the usual condition for a mirror to be adiabatic.
If this criterion is satisfied then a group of particles with magnetic moment between $\xi$ and $\xi + d\xi$ will have a spread in phase of greater than $2\pi$ after reflection at a mirror if the following condition, which is derived in (6), holds
$$L \frac{d\xi}{v} > 4\xi^{\frac{3}{2}}(3 + \xi)^{-1}$$
In any physical experiment $L$ usually satisfies this condition, as in order that the mirror should be adiabatic $L$ must be reasonably large. Therefore a small spread in magnetic moment produces phase randomisation on reflection from a mirror. We can therefore assume that the
phases of the particles in any flux which has been reflected by a mirror are completely random. This assumption has been made by Wingerson et al. (9) and by Dunnett et al. (6).
Then $g_1(\xi)$ and $g_2(\xi)$ are independent of the phases of the particles forming them. We therefore choose that the phases of the particles forming the input flux $g_o(\xi)$ are completely random.
$Q(\xi, \xi') d\xi$ is defined to be the probability that a particle entering C with magnetic moment in the range $(\xi, \xi + d\xi)$ will be transmitted through C and emerge with magnetic moment equal to $\xi'$.
$P(\xi, \xi') d\xi$ is defined to be the probability that a particle entering C with magnetic moment in the range $(\xi, \xi + d\xi)$ will be reflected in C and emerge with magnetic moment equal to $\xi'$.
Then $P(\xi, \xi') d\xi + Q(\xi, \xi') d\xi$ is the probability that a particle entering C with magnetic moment in the range $(\xi, \xi + d\xi)$ will emerge, having been either transmitted or reflected, with magnetic moment equal to $\xi'$.
Therefore
$$\int_0^1 [P(\xi, \xi') + Q(\xi, \xi')] d\xi' = 1$$
Since the system is entirely symmetric, then $P(\xi, \xi') = P(\xi', \xi)$, that is, the probability that a particle entering C with magnetic moment $\xi$ is transmitted with magnetic moment $\xi'$ is the same as the probability that a particle entering C with magnetic moment $\xi'$ is transmitted with magnetic moment $\xi$.
Also $Q(\xi, \xi') = Q(\xi', \xi)$.
Using these definitions we can write
$$g_1(\xi) = g_o(\xi) + O(\xi - 1/\lambda) g_2(\xi)$$ \hspace{1cm} (2.1)
and
\[ g_2(\xi') = \int_0^1 Q(\xi, \xi') g_1(\xi) d\xi + \int_0^1 P(\xi, \xi') g_1(\xi) d\xi \quad (2.2) \]
where
\[ O(\xi - 1/M) = \begin{cases}
0 & \xi < 1/M \\
1 & \xi > 1/M
\end{cases} \]
Then, substituting for \( g_1(\xi) \), (2.2) becomes
\[ g_2(\xi') = \int_0^1 \left[ P(\xi, \xi') + Q(\xi, \xi') \right] g_0(\xi) d\xi \]
\[ + \int_0^1 \left[ P(\xi, \xi') + Q(\xi, \xi') \right] O(\xi - 1/M) g_2(\xi) d\xi \]
This can be written
\[ g_2(\xi') = O_0(\xi') + \int_0^1 K(\xi, \xi') O(\xi - 1/M) g_2(\xi) d\xi \quad (2.3) \]
where
\[ K(\xi, \xi') = P(\xi, \xi') + Q(\xi, \xi') \]
and
\[ O_0(\xi') = \int_0^1 K(\xi, \xi') g_0(\xi) d\xi \]
Incorporating \( O(\xi - 1/M) \) in the limits of integration (2.3) becomes
\[ g_2(\xi') = O_0(\xi') + \int_{1/M}^1 K(\xi, \xi') g_2(\xi) d\xi \quad (2.4) \]
This is the general integral equation which has to be solved for the system.
### 2.2 Calculation of Containment Time
The most useful quantity which can be derived from the solution of (2.4) is the mean containment time of a particle in the machine, and this can be done as follows.
The number of particles in the region between a mirror and the modulation \( C \) is
\[ \int_0^1 \frac{\rho_{\text{rad}}(\xi)}{u(\xi)} d\xi \quad (2.5) \]
where $u(\xi)$ is the axial velocity of a particle with magnetic moment $\xi$, and $L$ is the length of the region between a mirror and the modulation.
Then (2.5) becomes
$$\int_0^1 \frac{L g_2(\xi)}{\Psi (1 - \xi)^{3/2}} d\xi$$
The number of particles in a length of the injected beam equal to the length between a mirror and the modulation is $L/v$ if the particles have zero magnetic moment.
Therefore the density increase in the machine is
$$\int_0^1 \frac{g_2(\xi)}{(1 - \xi)^{3/2}} d\xi$$
This is equivalent to the containment time normalised to $T_0$, which is the time a particle would take to traverse the system along the axis if its velocity was all parallel to the field.
Therefore the mean containment time = $T_0 \int_0^1 \frac{g_2(\xi)}{(1 - \xi)^{3/2}} d\xi$
CHAPTER 3
THE KERNEL
3.1 Introduction
As defined in section 2.1, the kernel of the general integral equation (2.4) is
\[ K(\xi, \xi') = P(\xi, \xi') + Q(\xi, \xi') \]
Then \( K(\xi, \xi') d\xi \) is the probability that a particle entering the modulation with magnetic moment in the range \((\xi, \xi + d\xi)\) will leave the modulation with magnetic moment equal to \(\xi'\) having been either reflected or transmitted.
To calculate this probability it is necessary to consider in detail the actual form of the modulation. In this chapter the equations necessary to calculate this probability are derived, and the numerical calculation of the probability is described.
3.2 Equations of Motion
These have been derived by Laing and Robson (5) for the sine wave modulation of section 1.4, and by Durnett, Laing, Robson and Roberts (6) for the square wave modulation of section 1.5.
Using cylindrical polar coordinates \((r, \theta, z)\), then the non-adiabatic magnetic field can be represented by the vector potential \( A = (0, \frac{1}{2} r H_0 f(z), 0) \). For the sine wave model \( f(z) = 1 + h \sin z \), and for the square wave model \( f(z) = 1 + h \) or \( f(z) = 1 - h \) depending on the region of the modulation.
Then the magnetic field is \( \vec{H} = (-\frac{1}{2} r H_0 \frac{df}{dz}, 0, H_0 f(z)) \).
Then as in (5), the equations in such a field for a charged particle of charge $e$ mass $m$ are
$$\frac{d^2 x}{dt^2} = \frac{ne^2}{m^2 r^3} - \frac{e^2 H_0^2}{4m^2 v^2} x r^2$$ \hspace{1cm} (3.1)
$$\frac{d^2 y}{dt^2} = \left\{ ne - \frac{eH_0^2}{2mv} \right\} \frac{\partial H_0}{\partial x} \frac{df}{ds}$$ \hspace{1cm} (3.2)
$p_0$, a constant of the motion, is given by
$$p_0 = mv^2 \frac{d\theta}{dt} + \frac{e}{2v} x^2 H_0 f.$$ \hspace{1cm} (3.3)
By substituting $t = \frac{1}{2} \omega t$, where $\omega = \frac{eH_0}{mv}$, (3.3) becomes
$$C = \frac{2mv}{m\omega} x^2 \left( \frac{d\theta}{dt} + f \right)$$
therefore $C$ is also a constant of the motion.
Equations (3.1) and (3.2) have as a first integral
$$\left( \frac{dx}{dt} \right)^2 + \left( \frac{dy}{dt} \right)^2 + \left( \frac{C}{r} - rf \right)^2 = v^2$$ \hspace{1cm} (3.4)
where $v = \frac{2|V|}{\omega}$, if $V =$ total velocity of the particle.
These are the general equations for any $f_i$. In the next section these equations are applied to the square wave model.
### 3.3 Equations for Square Wave Model
If these equations are applied to the system of figure 1.3, the central modulations are given by
$$f_i = \begin{cases}
1 + h & i \text{ even} \\
1 - h & i \text{ odd}
\end{cases}$$
as in figure (3.1).
Then for the $i$th region the equation for radial motion is
$$\frac{d^2 r}{dt^2} = \frac{G}{r^3} - r \dot{x}_i^2$$
and this has the general solution
$$r^2 = a_i + \beta_i \cos(2x_i t + \psi_i)$$ \hspace{1cm} (3.5)
where $a_i^2 - \beta_i^2 = G^2/x_i^2$.
At the boundary between the $i$th and the $(i+1)$th regions both $r$ and $\frac{dr}{dt}$ are continuous. $\frac{dr}{dt}$ is continuous because the discontinuity is a singular radial field, which does not affect motion parallel to it. Then $r^2$ and $r \frac{dr}{dt}$ are continuous.
Applying these last two conditions and using (3.5) gives
$$a_i + \beta_i \cos \theta_i = a_{i+1} + \beta_{i+1} \cos \psi_{i+1}$$
$$\beta_i \sin \theta_i = \beta_{i+1} \sin \psi_{i+1}$$ \hspace{1cm} (3.6)
letting $t = 0$ on the boundary.
In (3.6) $\theta_i =$ phase at the end of the $i$th region
$\psi_i =$ phase at beginning of the $i$th region
Then $\theta_i = \psi_i + \theta_i$, where $\theta_i$ is the phase change in the $i$th region.
$\theta_i$ is given by $\theta_i = \frac{2l_i u_i}{u_i}$, where $l_i$ is the length of the $i$th region, and $u_i$ is the axial velocity in the $i$th region. In this treatment the unit of length is $\lambda/2\pi$, where $\lambda$ is the wavelength of the corresponding sinusoidal modulation. Therefore
in order to match the two modulations $l_i = \pi$.
Also $u_i^2 = \left( \frac{dz}{d\tau} \right)^2$
But by (3.4)
$$u_i^2 = v^2 \# \left( \frac{C}{x} - xz_i \right)^2 - \left( \frac{dr}{d\tau} \right)^2$$
Differentiating (3.5) with respect to $\tau$ this reduces on substitution to
$$u_i^2 = v^2 + 2Cf_i - 2a_i f_i^2$$
Then
$$\theta_i = \frac{2\pi f_i}{\sqrt{v^2 + 2Cf_i - 2a_i f_i^2}} \quad (3.7)$$
Substituting $S_i = \beta_i \cos \psi_i$ and $h_i = \beta_i \sin \psi_i$, then equations (3.6) become
$$\begin{align*}
a_{i+1} + S_{i+1} &= a_i + S_i \cos \theta_i - h_i \sin \theta_i \\
h_{i+1} &= k_i (S_i \sin \theta_i + h_i \cos \theta_i)
\end{align*} \quad (3.8)$$
where $k_i = f_i / f_{i+1}$
If $\sigma_i$ is defined by
$$\sigma_i = a_i + S_i \cos \theta_i - h_i \sin \theta_i$$
then (3.8) gives
$$\begin{align*}
S_{i+1} &= \frac{1}{2} \left[ \sigma_i - \frac{1}{\sigma_i} (h_{i+1}^2 + \frac{C^2}{f_{i+1}^2}) \right] \\
a_{i+1} &= \frac{1}{2} \left[ \sigma_i + \frac{1}{\sigma_i} (h_{i+1}^2 + \frac{C^2}{f_{i+1}^2}) \right]
\end{align*} \quad (3.9)$$
These equations also hold for a particle going through the modulation from right to left, because of the symmetry of the system, but with $i + 1$ replaced by $i - 1$.
The normalized magnetic moment $\tilde{\Sigma}$ of the particle is given by
$$\tilde{\Sigma} = \frac{v^2}{v^2} = 1 - \left( \frac{dz}{d\tau} \right)^2$$
Then in the $i$th region
$$\xi_i = 1 - \frac{u_i^2}{v^2}$$
Substituting for $u_i$ this becomes
$$\xi_i = \frac{-2\xi_i + 2a_i f_i^2}{v^2} = \frac{2f_i}{v^2}(r_i a_i - c)$$
Therefore
$$a_i = \frac{v^2}{2f_i^2} \xi_i + \frac{c}{f_i}$$ \hspace{1cm} (3.10)
Since the change of phase in passing through each region can be calculated from the magnetic moment in that region, it is therefore possible to calculate the magnetic moment of any particle leaving the modulation knowing its magnetic moment and phase on entering the modulation.
### 3.4 Internal Reflection at a Boundary
Since $\xi_i$ is a normalised magnetic moment, then by definition $\xi_i \leq 1$.
Therefore
$$a_i \leq \frac{v^2}{2f_i^2} + \frac{c}{f_i}$$ \hspace{1cm} (3.11)
Then, if on calculation of some value of $a_i$ from the $a$ of the previous region the value of $a_i$ is greater than $\frac{v^2}{2f_i^2} + \frac{c}{f_i}$ where $f_i$ is the value of $f$ in the $i$th region, then physically this means that the particle is reflected at one of the internal discontinuities.
Particles are reflected from an internal boundary with an unchanged magnetic moment but with a change in phase. This change of phase is the change produced by the particle travelling through the region before the boundary from which it is reflected. The particle is trapped between two successive discontinuities until its phase is such that it can penetrate through into one of the adjacent regions. It has been postulated that it is this process which traps most of the long-lived particles in the machine.
3.5 Calculation of Kernel
The theory developed in the previous sections makes it possible to calculate the magnetic moment of a particle in any region from the magnetic moment and phase of the particle in the previous region.
For one particular input magnetic moment i.e., the magnetic moment with which the particles enters the modulation, it is possible to calculate the output magnetic moment i.e., the magnetic moment with which the particle leaves the modulation, for each input phase, and the variation of this is shown in figs. F1 and F2. The region in fig. F2 which has output magnetic moment constant and equal to the input magnetic moment corresponds to the phases which are such that, by (3.11), the particle is reflected at the first barrier, and therefore never enters the modulation. This category of particles requires special treatment which will be described in a later section.
For a particle entering the modulation with magnetic moment $\xi$, what is required is $K(\xi, \xi')$, where $K(\xi, \xi') d\xi$ is the probability that the particle entering the modulation with magnetic moment in the range $(\xi, \xi + d\xi)$ will leave the modulation with magnetic moment $\xi'$, and this can be calculated from the graph of $\xi'$ against input phase $\phi$. (This is referred to in future as a $(\xi', \phi)$ diagram.
Suppose that a particle enters the modulation with magnetic moment $\xi$, and random phase, i.e. all phases have an equal probability of occurring.
Suppose for simplicity that the $(\xi', \phi)$ diagram of this input $\xi$ is as shown in fig. 5.2.
$K(\xi, \xi_1) d\xi_1$ is the probability that a particle entering with magnetic moment $\xi$ will leave with magnetic moment in the region $(\xi_1, \xi_1 + d\xi_1)$. Defining $PR(\xi, \xi_1)$ as the probability that a particle entering with magnetic moment $\xi$ will leave with magnetic moment greater than $\xi_1$, then
$$K(\xi, \xi_1) d\xi_1 = PR(\xi, \xi_1) - PR(\xi, \xi_1 + d\xi_1)$$
Then
$$K(\xi, \xi_1) = \lim_{d\xi_1 \to 0} \left[ \frac{PR(\xi, \xi_1 + d\xi_1) - PR(\xi, \xi_1)}{d\xi_1} \right]$$
\[ K(\xi, \xi_1) = -\left[ \frac{d}{d\xi'} H(\xi, \xi_1') \right]_{\xi' = \xi}, \quad (5.12) \]
Since all phases have the same probability of occurring, then
\[ H(\xi, \xi_1) = \frac{b - a}{2\pi} \quad (5.13) \]
We can generalize (5.13) to the case where \( \xi \) becomes greater than \( \xi_1 \) at \( a_1, a_2, \ldots, a_n \) and becomes less than \( \xi_1 \) at \( b_1, b_2, \ldots, b_n \), with \( a_1 < b_1 < a_2 < b_2 < \ldots < a_n < b_n \).
Then
\[ H(\xi, \xi_1) = \frac{b_1 - a_1}{2\pi} + \frac{b_2 - a_2}{2\pi} + \ldots + \frac{b_n - a_n}{2\pi} \]
\[ = \sum_{i=1}^{n} \frac{b_i - a_i}{2\pi} \]
\( H(\xi, \xi_1) \) is a function of \( \xi_1 \), which varies from 1 when \( \xi_1 = 0 \) to 0 when \( \xi_1 = 1 \).
We thus have a procedure for calculating \( K(\xi, \xi_1) \) which can be used numerically, and how this is done is described in the following section.
### 5.6 Method of Numerical Calculation
Using equations (5.7) to (5.10) the output magnetic moment \( \xi' \) of a particle for any input magnetic moment \( \xi \) and phase \( \theta \) can be calculated. This is done by first calculating \( u_1 \) from the input magnetic moment \( \xi \) by 5.10, then calculating \( S_1 = \beta_1 \cos \theta \) and \( h_1 = \beta_1 \sin \theta \), where \( \beta_1^2 = u_1^2 - C^2 \), and \( C \) is the constant defined in 5.4 and is equal to 4. \( \theta \) is also calculated from 5.7. Using these, \( h_2 \) and then \( u_2 \) are calculated by 5.8 and 5.9. \( u_2 \) is compared with \( \frac{\gamma^2}{2E^2} + \frac{C}{u_2} \), and if it is greater than this the particle is considered to
have been reflected at the first boundary. If $a_2 \leq \frac{y^0 + C}{2f_2} \frac{\xi_2}{\xi_2}$, the particle will penetrate into the second region, and $\xi_2$ and $\theta_2$ are calculated. The whole process is repeated until the last boundary is crossed, then $\xi' = 2 \frac{a_n - C}{y_n}$, where $a_n$ is the $a$ in the region after the last boundary. If the particle is reflected at any internal boundary the process is repeated in reverse until the initial region is reached, or another reflection occurs.
Initially a regular interval $d\xi$ of magnetic moment, and a regular interval $d\theta$ of phase is chosen, and the output magnetic moment is calculated for $\xi$ going from 0 to 1 by steps of $d\xi$, and for $\theta$ going from 0 to $2\pi$ by steps of $d\theta$. The size of $d\xi$ and $d\theta$ can be varied, and in practice they are made progressively smaller until the results obtained converge to a limit. Then for any particular input magnetic moment we have a series of output magnetic moments corresponding to different input phases, and this is what is shown graphically in fig. F1 and fig. F2. For each $\xi$, $M(\xi, \xi')$ is calculated for $\xi'$ going from 0 to 1 in steps of $d\xi$, i.e., the values of $\xi'$ are the same as the values of $\xi$ already used. For a fixed $\xi$ the values of output magnetic moment are in ascending order of the phase giving rise to them, i.e., they go from $\theta = 0$ to $\theta = 2\pi$. Then to calculate one entry of the square matrix $M(\xi, \xi')$ we consider the magnetic moments for a fixed $\xi$. The first of these is compared with $\xi'$, and if it is less than $\xi'$ the second is compared with $\xi'$, and so on until an entry is found which is greater than $\xi'$. Then to find $\theta$, which is the phase at which the magnetic moment is equal to $\xi'$, linear interpolation is used between the point just reached and the one before it. The comparison is then continued.
until an entry is found which is less than $\xi'$, and $b_i$ is found by linear interpolation. This process is continued until the last entry is reached and then $\sum_{i=1}^{n} \frac{b_i - a_i}{2}$ is calculated. If the first entry is greater than $\xi'$, then $a_1 = 0$ is inserted, and if the last entry is greater than $\xi'$ then $b_n = 2\pi$ is inserted. This gives $R(\xi', \xi')$.
One problem which arises in calculating this probability is what to do if, as in fig. F2, many successive entries give an output equal to the input magnetic moment and to $\xi'$, then since a computer cannot recognise the absolute equality of numbers which are not integers the results obtained do not make sense, as the output cannot be classed strictly as less than or greater than $\xi'$. To cope with this we calculate $R(\xi, \xi_1)$ and $R(\xi, \xi_2)$, where $\xi_1 = \xi' + 0.0001$ and $\xi_2 = \xi' - 0.0001$. We take $R(\xi, \xi')$ to be $R(\xi, \xi_1)$ and store the difference
$$R(\xi) = R(\xi, \xi_1) - R(\xi, \xi_2)$$
to be dealt with separately, as this corresponds to the probability that a particle will be reflected without entering the modulation, and therefore with its magnetic moment unchanged.
The result of having calculated $R(\xi, \xi')$ is a square array of numbers, each row of which (corresponding to a constant input magnetic moment) has first entry equal to 1 and last entry equal to zero. For a fixed $\xi'$, the graph of $R$ against $\xi'$ is of the form shown in fig. 5.3, and the graphs of various $R(\xi)$s are shown in figs. F3 and F4. What is really required is the derivative of the function at each entry in the row, and this has to be done numerically.
This is done by different methods in different regions of the range of $\xi'$ because of the shape of the curve.
In region 1 $PR(\xi, \xi') = 1$ for all $\xi'$, therefore
$$K(\xi, \xi') = -d \frac{d PR(\xi, \xi')}{d \xi} = 0.$$
Similarly, in region 3, $PR(\xi, \xi') = 0$ for all $\xi'$, therefore $K(\xi, \xi') = 0$. In region 2 $K(\xi, \xi')$ is calculated using the first three terms of Stirling's formula, as given on page 208 of (11). Various formulae were considered, but for this particular shape of curve this formula gave the most rapid convergence for the smallest number of terms. In this way the array $K(\xi, \xi') = -d \frac{d PR(\xi, \xi')}{d \xi'}$ is formed. This is a square matrix of numbers, with the number of terms in it controlled only by the size of the interval $d\xi$.
### 3.7 Particles Reflected without entering the Modulation
Section 3.6 describes how, for certain input phases, particles are reflected at the first boundary of the modulation and therefore leave the modulation with magnetic moment unchanged. This phenomenon only occurs at fairly high magnetic moments, unless the step is very high. This range of $\xi$ for which output $\xi'$ is equal to $\xi'$
creates a problem, as it produces in effect a discontinuity of height $R(\xi, \xi')$ in the graph of $R(\xi, \xi')$ for this value of $\xi$, as shown in Fig. 14, and complicates the numerical differentiation. This is solved in the following way.
$R_A(\xi)$ is the probability that a particle with magnetic moment $\xi$ will be reflected without entering the modulation and with magnetic moment unchanged.
We define $R'(\xi, \xi')$ so that $R'(\xi, \xi') d\xi$ is the probability that a particle which enters the modulation with magnetic moment in the region $(\xi, \xi + d\xi)$ leaves it with magnetic moment greater than $\xi'$.
Then for $\xi' < \xi$
$$R'(\xi, \xi') = R(\xi, \xi') - R_A(\xi)$$
This removes the discontinuity in $R(\xi, \xi')$, and the curve $R'(\xi, \xi')$ has the same derivative as $R(\xi, \xi')$ with respect to $\xi'$, except at the point $\xi = \xi'$.
Also, a new matrix $R(\xi, \xi')$ is defined by
$$R(\xi, \xi') d\xi'$$ is the probability that a particle which enters the modulation with magnetic moment $\xi$ will be reflected or transmitted with magnetic moment in the range $(\xi', \xi' + d\xi')$.
Then the entries of $R$ are given by
$$R(\xi, \xi') = -d \frac{R'(\xi, \xi')}{d\xi'}$$
This matrix is the same as $K(\xi, \xi')$, with the exception of the diagonal terms, which are connected by the equation
$$R(\xi, \xi) + R_A(\xi) = K(\xi, \xi).$$
In this way $K(\xi, \xi')$ can be found for all values of $\xi$ and $\xi'$, and we can proceed to solve the general integral equation 2.6 for any particular input parameters. How this is done is described in the next chapter.
3.8 Normalisation of the Kernel
As a particle which enters the modulation with magnetic moment $\xi$ must emerge with some value of magnetic moment, and conversely a particle emerging from the modulation with magnetic moment $\xi'$ must have entered with some value of magnetic moment, then the following normalisation conditions must hold for $K$.
$$\int_0^\infty K(\xi, \xi') d\xi' = 1 \quad (3.14)$$
$$\int_0^\infty K(\xi, \xi') d\xi = 1 \quad (3.15)$$
These can be checked for the calculated kernels using various techniques for numerical integration, and they have been found to be approximately correct, but it is important for the solution of the integral equation that this normalisation should be exact.
It is impossible to achieve complete normalisation of both rows and columns of the matrix, but it will be shown in the next chapter that it is more important that (3.14) should be satisfied than that (3.15) should be satisfied.
Satisfying equation (3.14) is equivalent to normalising the rows of the matrix $K(\xi, \xi')$.
The method of normalization is to integrate the row using the trapezoidal rule, as this is the integration procedure used in the subsequent work. The reason for choosing this integration procedure is explained in the next chapter. All the entries in the row are then divided by the integral of the row. Equation (3.14) is then satisfied.
5.9 Results
The kernel has been calculated for many values of the initial parameters, but to show the general characteristics we choose a typical case. This is the system shown in fig. 5.4 with $n = 11$.
**fig. 5.4**
We choose the other initial parameters $h = 0.042$, $\nu = 2.21$. Calculations have shown that the kernel has converged when $\delta \xi \leq 0.025$ and $\delta \phi \leq 0.1$.
Figs. F1 and F2 show two typical sets of output $\xi^i$s for a fixed input $\xi$ and varying input phase $\phi$.
Figs. F3 and F4 show $R(\xi, \xi')$ for the same input $\xi^i$s as in F1 and F2.
Figs. F5, F6 and F7 show three rows of the final kernel $R(\xi, \xi')$ for fixed input $\xi^i$s.
Now that we have developed a technique for calculating the kernel for any set of input parameters we can proceed to use this
in the solution of the integral equation derived in chapter 2. This is done in the next chapter.
NORMALISED MAGNETIC MOMENT $\xi'$
VS INPUT PHASE $\phi$
$h = 0.042, n=11, \xi = 0.1$
FIGURE F2
NORMALISED MAGNETIC MOMENT $\xi'$
VS INPUT PHASE $\phi$
$h = 0.042, n = 11, \xi = 0.9$
FIGURE F3
PROBABILITY $PR(\xi, \xi')$
VS OUTPUT MAGNETIC MOMENT $\xi'$
$h = 0.042$, $n = 11$, $\xi = 0.1$
FIGURE F4
PROBABILITY PR(Σ, Σ') VS OUTPUT MAGNETIC MOMENT Σ'
h = 0.042, n = 11, Σ = 0.9
FIGURE F5
$R(\xi, \xi')$
$0 \quad 0.2 \quad 0.4 \quad 0.6 \quad 0.8 \quad 1.0$
$\xi'$
KERNEL $R(\xi, \xi')$ VS OUTPUT MAGNETIC MOMENT $\xi'$
$h = 0.042$, $n = 11$, $\xi = 0.1$
FIGURE F6
$R(\xi, \xi')$
$0 \quad 0.2 \quad 0.4 \quad 0.6 \quad 0.8 \quad 1.0$
$\xi'$
KERNEL $R(\xi, \xi')$ VS OUTPUT MAGNETIC MOMENT $\xi'$
$h = 0.042$, $n = 11$, $\xi = 0.55$
FIGURE F7
KERNEL $R(\xi, \xi')$ VS OUTPUT MAGNETIC MOMENT $\xi'$
$h = 0.042$, $n = 11$, $\xi = 0.9$
CHAPTER 4
SOLUTION OF THE GENERAL INTEGRAL EQUATION
In chapter 2 the general integral equation for this non-adiabatic mirror machine was derived, and in this chapter the method which was used to solve it is described.
4.1 Solution of the Homogeneous Equation
The general integral equation for the system is
\[ g_2(\xi') = G_0(\xi') + \int_{\xi_1}^{\xi_2} K(\xi, \xi') g_2(\xi) d\xi \]
(4.1)
where \( g_2(\xi') d\xi' \) is the number of particles leaving the modulation in the range \((\xi', \xi' + d\xi')\).
We solve first the equation
\[ g_2(\xi') = \int_{\xi_1}^{\xi_2} K(\xi, \xi') g_2(\xi) d\xi \]
(4.2)
Since \( K(\xi, \xi') \) is a symmetric matrix the solution of the general equation (4.1) can be calculated quite simply from the solution of this equation. The connection between these two solutions is derived in the next section.
The method used in the solution of this equation is that described on page 442 of (10). This is the method of finding characteristic values or eigenvalues, and characteristic functions or eigenfunctions, for the kernel. This method discovers the characteristic value with the smallest absolute value and then, by subtracting out the
corresponding eigenfunction gives successively larger eigenvalues.
If the eigenvalues are $\lambda_1, \lambda_2, \ldots, \lambda_\infty, \ldots$ arranged in order, with $\lambda_1 < \lambda_2 < \lambda_3 < \ldots < \lambda_r < \ldots$, and the corresponding eigenfunctions are $g^{(1)}(\xi), g^{(2)}(\xi), \ldots, g^{(r)}(\xi), \ldots$, then any trial function $y_1(\xi)$ can be expressed as a linear combination of these eigenfunctions plus a function $p(\xi)$ which satisfies
$$\int_{-\infty}^{\infty} K(\xi, \xi') p(\xi) d\xi = 0$$
Then
$$y_1(\xi) = \sum_{r=1}^{\infty} a_r g^{(r)}(\xi) + p(\xi)$$
where each $g^{(r)}(\xi)$ satisfies the integral equation
$$g^{(r)}(\xi) = \lambda_r \int_{-\infty}^{\infty} K(\xi, \xi') g^{(r)}(\xi) d\xi$$ \hspace{1cm} (4.5)
Substituting this trial function into the right-hand side of equation (4.2), this gives a new trial function
$$y_2(\xi) = \sum_{r=1}^{\infty} \int_{-\infty}^{\infty} K(\xi, \xi') a_r g^{(r)}(\xi) d\xi$$
using equations (4.5) this gives
$$y_2(\xi) = \sum_{r=1}^{\infty} \frac{a_r g^{(r)}(\xi)}{\lambda_r}$$
Continuing this process of substitution gives, on the $n$th iteration
$$y_n(\xi) = \sum_{r=1}^{\infty} \frac{a_r g^{(r)}(\xi)}{(\lambda_r)^n}$$
$$= a_1 g^{(1)}(\xi) + \left(\frac{\lambda_1}{\lambda_2}\right)^n a_2 g^{(2)}(\xi) + \left(\frac{\lambda_1}{\lambda_3}\right)^n a_3 g^{(3)}(\xi) + \ldots$$
As $n$ increases then $\left(\frac{\lambda_1}{\lambda_r}\right)^n$ tends to zero for all $r > 1$.
Then the ratio $\frac{y_n(\xi)}{y_{n+1}(\xi)}$ tends to $\lambda_1$.
A more efficient ratio to calculate $\lambda_1$ is
\[ \lambda_1 = \frac{\int_A y_n(\xi) y_{n+1}(\xi) d\xi}{\int_A [y_{n+1}(\xi)]^2 d\xi} \]
which can be derived using a variational principle, and this is the ratio which was used in this problem.
When \( \lambda_1 \) has converged to the accuracy which is needed then the eigenfunction corresponding to it is normalized. The normalized eigenfunction is known as \( y^{(1)}(\xi) \). This eigenfunction is subtracted out from the trial function and the whole process is repeated, this time giving \( \lambda_2 \). It is necessary to take the additional precaution of subtracting out any remnants of \( y^{(n)}(\xi) \) from each successive iteration produced.
The process is repeated to give successive eigenvalues and corresponding eigenfunctions until enough eigenvalues have been obtained. This depends entirely on the relative magnitudes of the eigenvalues, as will be shown in the next section.
This method becomes successively more clumsy as the number of eigenfunctions to be subtracted out increases. At this stage the method is not accurate, and the number of iterations necessary for convergence increases greatly at each step. It therefore takes too much computer time to calculate more than about 10 eigenvalues, but this is usually considerably more than is necessary.
Before proceeding, it is necessary to show why it is more important that (3.14) should be satisfied than (3.15).
\( y^{(n)}(\xi) \) satisfies the integral equation
\[ y^{(n)}(\xi') = \lambda_n \int_A K(\xi, \xi') y^{(n)}(\xi) d\xi \]
Integrating this from 0 to 1 with respect to $\xi'$
$$\int_0^1 y^{(n)}(\xi') \, d\xi' = \lambda_n \int_0^1 d\xi' \int_0^1 K(\xi, \xi') y^{(n)}(\xi) \, d\xi$$
$$= \lambda_n \int_0^1 y^{(n)}(\xi) \, d\xi \int_0^1 K(\xi, \xi') \, d\xi'$$
Then $\lambda_n$ is inversely proportional to $\int_0^1 K(\xi, \xi') \, d\xi'$.
Therefore the eigenvalues of (4.2) are directly dependent on $\int_0^1 K(\xi, \xi') \, d\xi'$, and so we ensure that this integral is equal to 1.
It can also be shown in the following way that the smallest eigenvalue $\lambda_1$ is greater than 1.
The eigenfunction $g^{(1)}(\xi)$ satisfies the equation
$$g^{(1)}(\xi') = \lambda_1 \int_0^1 K(\xi, \xi') g^{(1)}(\xi) \, d\xi$$
Then integrating this over $\xi'$ from 0 to 1
$$\int_0^1 g^{(1)}(\xi') \, d\xi' = \lambda_1 \int_0^1 d\xi' \int_0^1 K(\xi, \xi') g^{(1)}(\xi) \, d\xi$$
Changing the order of integration
$$\int_0^1 g^{(1)}(\xi') \, d\xi' = \lambda_1 \int_0^1 g^{(1)}(\xi) \, d\xi \int_0^1 K(\xi, \xi') \, d\xi'$$
But $\int_0^1 K(\xi, \xi') \, d\xi' = 1$,
so $\int_0^1 g^{(1)}(\xi') \, d\xi' = \lambda_1 \int_0^1 g^{(1)}(\xi) \, d\xi$.
Now $g^{(1)}(\xi)$ must be positive, as the trial function used to obtain it is always positive, and also the kernel is positive. Therefore, if $g^{(1)}(\xi)$ is positive for every value of $\xi$, then
$$\int_0^1 g^{(1)}(\xi) \, d\xi \geq \int_0^1 g^{(1)}(\xi) \, d\xi.$$
Therefore
\[ \lambda_1 = \frac{\int_0^1 g^{(1)}(\xi) d\xi}{\int_0^1 g^{(2)}(\xi) d\xi} > 1 \]
Then \( \lambda_1 > 1 \) unless \( \int_0^1 g^{(1)}(\xi) d\xi = 0 \)
4.2 Solution of General Integral Equation
This method is described in (10). If the eigenvalues of (4.2) are \( \lambda_1, \lambda_2, \ldots, \lambda_n, \ldots \) with corresponding normalised eigenfunctions \( y^{(1)}(\xi), y^{(2)}(\xi), \ldots, y^{(n)}(\xi), \ldots \), then the general solution of (4.2) is
\[ g_2(\xi) = \sum_{n=1}^{\infty} a_n y^{(n)}(\xi). \]
\( a_n = \int_0^1 g_2(\xi) y^{(n)}(\xi) d\xi \), since the eigenfunctions are orthogonal and normalised, i.e., they satisfy
\[ \int_0^1 y^{(i)}(\xi) y^{(j)}(\xi) d\xi = \begin{cases}
0 & i \neq j \\
1 & i = j
\end{cases} \]
Equation (4.1) is
\[ g_2(\xi') = g_0(\xi') + \int_0^1 K(\xi, \xi') g_2(\xi) d\xi. \]
Then
\[ g_2(\xi') - g_0(\xi') = \int_0^1 K(\xi, \xi') g_2(\xi) d\xi. \]
The solution of this is
\[ g_2(\xi') - g_0(\xi') = \sum_{n=1}^{\infty} a_n y^{(n)}(\xi') \quad (4.4) \]
where
\[ a_n = \int_0^1 [g_2(\xi') - g_0(\xi')] y^{(n)}(\xi') d\xi'. \]
Let
\[ a_n = \int_0^1 g_2(\xi') y^{(n)}(\xi') d\xi' \]
and
\[ b_n = \int_0^1 g_0(\xi') y^{(n)}(\xi') d\xi'. \]
Then \( a_n = c_n - f_n \) \hspace{1cm} (4.5)
Multiplying (4.1) by \( y^{(n)}(\xi') \) and integrating from \( \frac{1}{M} \) to 1 with respect to \( \xi' \), it becomes
\[
\int_{\frac{1}{M}}^{1} g_2(\xi) y^{(n)}(\xi') d\xi' = \int_{\frac{1}{M}}^{1} G_0(\xi) y^{(n)}(\xi') d\xi' + \int_{\frac{1}{M}}^{1} y^{(n)}(\xi') \left[ \int_{\frac{1}{M}}^{1} K(\xi, \xi') g_2(\xi) d\xi \right] d\xi'
\]
Changing the order of integration in the last integral, and using the relationship
\[
y^{(n)}(\xi) = \lambda_n \int_{\frac{1}{M}}^{1} K(\xi, \xi') y^{(n)}(\xi') d\xi'
\]
the equation (4.5) becomes
\[
c_n = f_n + \frac{c_n}{\lambda_n}
\]
Eliminating \( c_n \) between (4.5) and (4.7) gives
\[
a_n = \frac{1}{\lambda_n - 1} f_n
\]
On substituting this value for \( a_n \) in (4.6) the solution becomes
\[
g_2(\xi) = G_0(\xi) + \sum_{n=1}^{\infty} \frac{f_n}{\lambda_n - 1} y^{(n)}(\xi)
\]
where \( f_n = \int_{\frac{1}{M}}^{1} G_0(\xi) y^{(n)}(\xi) d\xi \).
This gives the complete solution of the general integral equation (4.1) in terms of the eigenfunctions of the homogeneous integral equation (4.2).
4.3 Method of Solution of (4.1)
The integral on the right hand side of equation (4.1) is an integral over the range $1/M$ to 1 and the function $g_2(\xi')$ is defined over the total range 0 to 1. Consideration of the integral equation shows that the values of $g_2(\xi')$ for $\xi'$ less than $1/M$ are entirely dependent on the values of $g_2(\xi')$ for $\xi'$ greater than $1/M$. Because of this the equation (4.1) can be divided into two parts, one for $\xi'$ greater than $1/M$ and the other for $\xi'$ less than $1/M$.
We can define
$$g_2(\xi') = g_3(\xi') + g_4(\xi')$$
where
$$g_3(\xi') = \begin{cases}
g_2(\xi') & 0 \leq \xi' < 1/M \\
0 & 1 \geq \xi' \geq 1/M
\end{cases}$$
and
$$g_4(\xi') = \begin{cases}
g_2(\xi') & 1/M \leq \xi' \leq 1 \\
0 & 0 \leq \xi' < 1/M
\end{cases}$$
$G_0(\xi')$ can be similarly subdivided into
$$G_0(\xi') = G_3(\xi') + G_4(\xi')$$
where
$$G_3(\xi') = \begin{cases}
G_0(\xi') & 0 \leq \xi' < 1/M \\
0 & 1/M \leq \xi' \leq 1
\end{cases}$$
and
$$G_4(\xi') = \begin{cases}
G_0(\xi') & 1/M \leq \xi' \leq 1 \\
0 & 0 \leq \xi' < 1/M
\end{cases}$$
Then equation (4.1) becomes
$$g_3(\xi') + g_4(\xi') = G_3(\xi') + G_4(\xi') + \int_{1/M}^{1} K(\xi, \xi') [g_3(\xi) + g_4(\xi)] d\xi.$$
But
$$\int_{1/M}^{1} K(\xi, \xi') g_3(\xi) d\xi = 0,$$
since $g_3(\xi) = 0$ over the range of integration, so (4.9) becomes
\[ g_3(\xi') + g_4(\xi') = 0_3(\xi') + 0_4(\xi') + \int_{\frac{1}{M}}^{\xi'} K(\xi, \xi') g_4(\xi) d\xi \quad (4.10) \]
If \( \frac{1}{M} < \xi' < 1 \), (4.10) becomes
\[ g_4(\xi') = 0_4(\xi') + \int_{\frac{1}{M}}^{\xi'} K(\xi, \xi') g_4(\xi) d\xi \quad (4.11) \]
and if \( 0 < \xi' < \frac{1}{M} \), (4.10) becomes
\[ g_3(\xi') = 0_3(\xi') + \int_{\frac{1}{M}}^{\xi'} K(\xi, \xi') g_4(\xi) d\xi \quad (4.12) \]
From (4.12) it can be seen that the solution for \( \xi' \) in the range \( (0, \frac{1}{M}) \) is entirely dependent on the solution for \( \xi' \) in the range \( (\frac{1}{M}, 1) \).
In practice the eigenvalues and eigenfunctions of the homogeneous equation corresponding to (4.11)
i.e. \( g_4(\xi') = \int_{\frac{1}{M}}^{\xi'} K(\xi, \xi') g_4(\xi) d\xi \)
are found, and then the solution of (4.11) calculated using the formula (4.8). From this solution \( g_3(\xi') \) is calculated using (4.12). This gives the total solution of \( g_2(\xi') \) for all \( \xi' \) in the range \( (0, 1) \).
From this solution the mean containment time of the particles in the modulation can be calculated by means of the formula derived in section 2.2.
### 4.4 The Source Function \( g_o(\xi) \)
There remains the problem of the initial input distribution function \( g_o(\xi) \), and the function \( G_o(\xi) \) which is derived from it.
In section 2.1 we made the restriction that \( g_o(\xi) \) consists of particles which will all enter the modulation. Then \( g_o(\xi) = 0 \) for \( \xi > \frac{1}{M} \). Also, it has been shown in (5) that the maximum gain in magnetic moment at each step for a particle going
through the modulation is of the order of $h$. Therefore if a particle has too low a magnetic moment on entering the modulation then it may not gain sufficient magnetic moment to be trapped, and may therefore pass straight through the machine.
The choice of the distribution function is arbitrary, but usually we choose a unit flux function with a fixed magnetic moment and completely random phase. This fixed magnetic moment $\xi_1$ is less than $1/M$, but is high enough for some of the particles to reach, in one transit of the system, a magnetic moment such that they are trapped.
Then
$$g_0(\xi) = \delta(\xi - \xi_1)$$
where $\delta(\xi - \xi_1)$ is the Dirac Delta Function.
$$\theta_0(\xi') = \int_0^1 K(\xi, \xi') g_0(\xi) d\xi$$
then
$$\theta_0(\xi') = K(\xi_1, \xi')$$
From this, each of the $f_n$ can be calculated.
4.5 Numerical Solution of the General Integral Equation
A trial function is chosen, and the iterative procedure described in section 4.1 is used to find successive approximations to the first eigenvalue $\lambda_1$. This is considered to have converged sufficiently when the difference between the $\lambda$'s produced by two successive iterations is less than $10^{-10}$. The eigenfunction corresponding to this eigenvalue is then normalised, and subtracted out from the trial function, and the process repeated to give the
second eigenvalue.
This process can be repeated to give as many eigenvalues as are desired, but in practice no more than about 5 are necessary. For example, for a typical case with $M = 10$, $h = 0.042$, $n = 17$, and $\nu = 2.21$, then the first five eigenvalues are
$$\lambda_1 = 1.03439$$
$$\lambda_2 = 1.19633$$
$$\lambda_3 = 1.49471$$
$$\lambda_4 = 1.65988$$
$$\lambda_5 = 2.14303$$
The term depending on $\lambda_n$ is proportional to $\frac{1}{\lambda_n - 1}$, so that it is the relative magnitudes of $\frac{1}{\lambda_n - 1}$ for increasing $n$ which is important. In this case these ratios are
$$40.17; \quad 5.093; \quad 2.028; \quad 1.516; \quad 0.8745.$$
Therefore the relative importance of the terms drops off sharply with each successive eigenvalue.
Another problem which arises in this numerical calculation is the choice of an integration procedure. Some of the quantities to be integrated have sharp peaks at certain points, and therefore any integration procedure which weights points unequally is liable to give answers which depend on the choice of weighting factors. Simpson's formula (see page 234 of (11)) which uses unequal weighting was rejected for this reason after it had proved to be numerically impracticable to obtain a fine enough mesh to overcome the problem. It was finally found by experiment that the procedure which gave the most consistent results was the simple trapezoidal rule (see page 232 of (11)). Since this method of integration was used in the solution of the integral equation it
was also chosen as the integration procedure for normalising the kernel, in order to obtain consistency between the two parts of the solution. Since the first eigenvalue is usually very close to 1, anything which changes the value of $\lambda$, slightly makes correspondingly a much larger change in $\frac{1}{\lambda - 1}$. Since the total solution depends on this ratio it is extremely important that the normalisation, which affects $\lambda$, should be correct.
There remains the problem of integrating $K(\xi, \xi') g(\xi)$ with respect to $\xi$, since
$$K(\xi, \xi') = R(\xi, \xi') + B(\xi) S(\xi - \xi')$$
where $S(\xi - \xi')$ is the Dirac Delta function.
Then
$$\int_{M}^{I} K(\xi, \xi') g(\xi) d\xi = \int_{M}^{I} \left[ R(\xi, \xi') + B(\xi) S(\xi - \xi') \right] g(\xi) d\xi$$
$$= \int_{M}^{I} R(\xi, \xi') g(\xi) d\xi + B(\xi') g(\xi')$$
(4.13)
Then (4.13) gives the method of integration of $K(\xi, \xi') g(\xi)$.
From the solution of the general integral equation the mean containment time of particles in the machine is calculated, and it is this mean containment time which can be compared with the results obtained by other methods of dealing with the system. The results of this treatment and those with which they can be compared are given in the next chapter.
TABLE 1
Comparison of results from this treatment with those from the statistical treatment
\[ \xi_1 = 0.5 \]
| \( n_1 \) | \( n_2 \) | \( h \) | \( v \) | \( t_1 \) | \( t_2 \) |
|----------|----------|--------|--------|---------|---------|
| 11 | 10 | 0.042 | 2.21 | 30.5 \( T_0 \) | 27 \( T_0 \) |
| 7 | 6 | 0.064 | 2.15 | 23.1 \( T_0 \) | 22 \( T_0 \) |
| 15 | 14 | 0.033 | 2.24 | 37.5 \( T_0 \) | 42 \( T_0 \) |
\( n_1 = \) no. of steps in this treatment
\( n_2 = \) no. of steps in statistical treatment
\( t_1 = \) mean containment time in this treatment
\( t_2 = \) mean containment time in statistical treatment
Comparison of results from this treatment with those from the diffusion equation treatment
\[ v = 2.15 \quad h = 0.039 \]
| \( n \) | \( M \) | \( t_1 \) | Range of \( t_2 \) |
|--------|--------|-----------|-------------------|
| 11 | 10 | 6.1 \( T_0 \) | 18\( T_0 \) - 49\( T_0 \) |
| 7 | 10 | 5.2 \( T_0 \) | 32\( T_0 \) - 35\( T_0 \) |
| 7 | 8 | 5.8 \( T_0 \) | 14\( T_0 \) - 16\( T_0 \) |
\( t_1 \) = mean containment time for diffusion equation treatment
\( t_2 \) = mean containment time for this treatment
$g_2(\xi)$ and contribution to $g_2(\xi)$ from $g^{(n)}(\xi)$ vs $\xi$
$n = 11, h = 0.042, \delta = 2.21, M = 10, S_c = 0.5$
FIGURE F9
\[ \frac{1}{\lambda} = 7, \quad h = 0.039, \quad \alpha = 8.15, \quad M = 10 \]
Average Flux Function (diffusion treatment)
CHAPTER 5
RESULTS
In order to discuss the significance of the results obtained using the method described in the previous chapters, it is necessary to describe briefly the other methods which have been used to treat this type of system, and the results which have been obtained using those methods.
These other methods give results with which to compare the results obtained in this thesis. The purely numerical treatment will be described first, and then the diffusion equation treatment.
5.1 A Statistical Treatment
This is described in (6). The method consists basically of taking a particle with a fixed input magnetic moment and a completely random phase, and tracing the history of the particle using the equations derived in chapter 3. The assumption is made that the phase of the particle is completely randomised every time it is reflected at a mirror; this is shown in (6) to be a justifiable assumption. By tracing the path of the particle while it is in the machine the containment time of the particle can be calculated.
In order to find the general behaviour of particles in this system, a statistically significant number of particles is taken, i.e. 1000 particles or more, each with the same input magnetic moment and with a phase chosen by some method producing random numbers. From the containment times of each of these particles, the mean containment time
of the particles in the system is calculated, for this input magnetic moment.
It is not possible to compare exactly the results obtained by this method and those obtained by the method described in this thesis. This is because those in (6) have been obtained for a non-symmetric modulation, i.e. for a complete number of periods of modulation, whereas the method described in this thesis depends entirely on the consideration of a symmetric system which produces a symmetric kernel for the integral equation of chapter 2.
We can, however, compare the results obtained in (6) with the results from the method in this thesis for a system with one fewer step, i.e. we compare $n = 11$ for this thesis with $n = 5$ periods (10 steps) for (6).
With this condition, the comparable results are shown in table 1.
5.2 A Diffusion Equation Treatment
Another method of dealing with this type of system has been devised by Dunnett and Ising, and is described in (8).
This involves initially deriving a set of coupled integral equations, each one of which is similar to equation (4.1), but refers only to transmission from one region of the modulation to the next region, and not to transmission through and reflection from the whole modulation.
If the distribution functions $g$ in the various regions are those indicated in fig. 5.1, then a typical member of the set of integral equations is as follows.
$$g_i^-(\xi) = \int_0^\infty Q_{i,i+1}(\xi, \xi') g_{i+1}^-(\xi') d\xi' + p_{i,i+1}(\xi) g_i^+(\xi)$$
(5.1)
Since the modulation is totally symmetric, and since a total symmetry is imposed on the system by injection through both mirrors of the system, then
$$g_i^+(\xi) = g_{n+1-i}^-(\xi)$$
so equation 5.1 becomes
$$g_i^-(\xi) = \int_0^\infty Q_{i,i+1}(\xi, \xi') g_{i+1}^-(\xi') d\xi' + p_{i,n+1-i}(\xi) g_{n+1-i}^-(\xi)$$
(5.2)
Where $p_{i,i+1}(\xi)$ is the probability that a particle with magnetic moment $\xi$ in the $i$th region is reflected at the boundary between the $i$th and the $(i+1)$th region.
$Q_{i,i+1}(\xi, \xi') d\xi'$ is the probability that a particle with magnetic moment in the range $(\xi', \xi' + d\xi')$ will be transmitted into the $(i+1)$th region with magnetic moment $\xi$.
It can be shown that $\xi' - \xi$ is small compared with $\xi'$ for all $\xi'$ which contribute to the integral in 5.2. Then by letting $y = \xi' - \xi$, (5.2) becomes
$$g_i^{-}(\xi) = \int_0^\infty Q_{i,i+1}(\xi, \xi') g_{i+1}^{-}(\xi + y) d\xi' + P_{i,i+1}(\xi) g_{n+1-i}^{-}(\xi)$$ \hspace{1cm} (5.3)
The assumption is made that $g_{i+1}^{-}(\xi)$ is a slowly varying function of $\xi$, and as a result $g_{i+1}^{-}(\xi + y)$ can be expanded in a Taylor series about $\xi$, i.e.
$$g_{i+1}^{-}(\xi + y) = g_{i+1}^{-}(\xi) + y \frac{dg_{i+1}^{-}(\xi)}{d\xi} + \frac{y^2}{2} \frac{d^2 g_{i+1}^{-}(\xi)}{d\xi^2} + \ldots$$
Then equation (5.3) becomes
$$g_i^{-}(\xi) = a_{i,i+1} g_{i+1}^{-}(\xi) + \beta_{i,i+1} \frac{dg_{i+1}^{-}(\xi)}{d\xi} + \gamma_{i,i+1} \frac{d^2 g_{i+1}^{-}(\xi)}{d\xi^2} + P_{i,i+1}(\xi) g_{n+1-i}^{-}(\xi)$$
where
$$\begin{bmatrix}
a_{i,i+1} \\
\beta_{i,i+1} \\
\gamma_{i,i+1}
\end{bmatrix} = \int_0^\infty Q_{i,i+1}(\xi, \xi') \begin{bmatrix}
1 \\
(\xi' - \xi) \\
(\xi' - \xi)^2
\end{bmatrix} d\xi'$$
The set of equations thus produced is capable of being solved numerically, whereas the solution of the original set of coupled integral equations becomes very complicated for more than 3 regions.
Since the diffusion equations depend on a symmetric modulation, the results can be compared with those obtained for the same number of steps by the method of this thesis.
The results obtained using the diffusion equation treatment were calculated with a more complicated source function than the simple source function used in this treatment, but it is nevertheless possible to compare the orders of magnitude of the results obtained by the two
5.3 Discussion of Results
It is interesting to look at the eigenvalues produced by this method, and at the form of the corresponding eigenfunctions and of the resulting distribution function.
As we have seen in chapter 4, the eigenvalues are greater than 1, and become progressively larger. We have also shown that the relative importance of the term involving $\lambda_n$ is proportional to $\frac{1}{\lambda_n - 1}$, and not directly proportional to $\lambda_n$. For small values of $h$, the eigenvalues are reasonably close to one another, but this is compensated for by the fact that the smallest eigenvalue $\lambda_1$ is very close to 1, and it therefore makes a very large contribution to the resulting distribution function. For large $h$ the eigenvalues become comparatively large quite rapidly, but the smallest eigenvalue is usually not so close to 1. Thus the smaller $h$ is, the greater the contribution the first eigenfunction makes to the total distribution function.
It is interesting to look at the shape of the distribution function $g_2(\xi)$. A typical one of these is shown in fig.(78) and also shown in the figure is the contribution made to the distribution function by the first eigenfunction $g^{(1)}(\xi)$. It can be seen that the contribution of $g^{(1)}(\xi)$ is less than the total distribution function in the lower ranges of $\xi$, i.e. $\xi < 0.7$, but is greater in the higher ranges of $\xi$. The peak at high values of $\xi$ is almost certainly due to particles of high magnetic moment being internally reflected in the
modulation and thus spending longer in the modulation than those with lower magnetic moments. It is this high peak which contributes greatly to the high containment times obtained by this method.
It seems likely from the shapes of the eigenfunctions that the first eigenfunction represents almost all the particles which spend a long time in the machine, as there is no sign of this peak at high values of $\xi$ appearing in any of the subsequent eigenfunctions. This is a possible area for further investigation.
Another interesting feature which appears in the distribution function $g_2(\xi)$ is a peak at a very low value of $\xi$, in the case of this example at $\xi = 0.25$. This is probably due to the fact that there is a reflecting barrier in $\xi$ at $\xi = 0$. This will always be a small peak, as these particles have such small magnetic moments that they will be lost when they meet a mirror.
3.4 Comparison of Results
From table 2 it can be seen that the results from this method are very different from those obtained by the diffusion equation treatment. The difference is one of an order of magnitude, and not just of a few times $t_o$. Since the results of the diffusion equation treatment have been calculated, Dunnett and others have postulated that the low values obtained by this method may be due to the fact that the distribution functions $g_2(\xi)$ vary too rapidly for high values of $\xi$ for them to be accurately expressed by means of a Taylor series expansion. This is borne out by comparison of an average flux function
derived from the diffusion equation treatment with a total flux function for the method outlined in the previous chapters with the same initial parameters (fig.79).
From the results in table 1 it can be seen that, allowing for the additional step in the results from (6), the results from the statistical treatment and from the method described in this work are very similar. Therefore, assuming that the statistical results are correct, the method outlined in this thesis gives an accurate description of the system, and also a means of finding mean containment times for particles in a modulated mirror machine, with the particles treated as an ensemble, rather than simply as individual particles.
5.3 Further Work
There are various further investigations which might be made along the lines of the method outlined in this thesis. It has been suggested that it might be instructive to make some investigation into the structure of the eigenvalues produced. Another possibility would be to look at the results obtained by varying the parameters $h$ and $v$.
There are various other problems to which a diffusion equation approach has yielded results which are incompatible with those obtained by experimental methods. It is possible that an approach similar to that described in this thesis may give results compatible with the experimental data for such problems.
Acknowledgements
The author would like to thank Professor J.C. Gunn for his interest in the problem and for the provision of facilities in the Department of Natural Philosophy, University of Glasgow.
The author is extremely indebted to Drs. E.W. Laing and D.A. Dunnett for suggesting the problem and for their help and encouragement throughout the work.
Thanks are due to the Science Research Council for a Research Studentship during the period of this research.
References
1) G. Hallwig, Z. Naturforschung 10a (1955), 503.
2) S. Glasstone and R.E. Lovberg, "Controlled Thermonuclear Reactions", (1960) Van Nostrand.
3) K.F. Post, Proc. of the Second U.N. Conference on the Peaceful Uses of Atomic Energy, 32 (1958), 245.
4) K.D. Sinelnikov et al., Zh. tekh. Fiz. 30, 249; Sov. Phys. Tech. Phys. 5 (1960), 229,
and Zh. tekh. fiz. 30, 256; Sov. Phys. Tech. Phys. 5 (1960), 236.
5) E.W. Laing and A.E. Robson, Journal of Nuclear Energy Part C (Plasma Physics) 5, (1961), 146.
6) D.A. Dunnett et al., Plasma Physics (Journal of Nuclear Energy Part C) 7, (1968), 359.
7) F. Hartweck and A. Schluter, Z. Naturforschung 12a (1967),
844-849, Translated for Oak Ridge National Laboratory by the Technical Library Research Service.
8) D.A. Dunnett and E.W. Laing, Plasma Physics (Journal of Nuclear Energy Part C) 5, (1966)
9) Wingerson et al., Phys. Fluids, 7, (1964), 1475
10) F.H. Hildebrand, "Methods of Applied Mathematics" (1952)
Prentice-Hall.
11) Berezin and Zhidkov, "Computing Methods" Volume 1, Pergamon Press, (1965)
12) W.B. Thompson, "An Introduction to Plasma Physics" (1962)
Pergamon Press.
13) L. Spitzer Jr., "Physics of Fully Ionized Gases", (1956) Interscience.
|
Air-Cooling Methods for Gas-Turbine Combustion Systems
By
F. J. Bayley, M.Sc.
© Crown copyright 1959
LONDON: HER MAJESTY'S STATIONERY OFFICE
1959
TWELVE SHILLINGS NET
Air-Cooling Methods for Gas-Turbine Combustion Systems
By
F. J. Bayley, M.Sc.
Communicated by the Director-General of Scientific Research (Air),
Ministry of Supply
Reports and Memoranda No. 3110*
August, 1951
Summary.—This paper presents an account of the whole of the work which has been done at the National Gas Turbine Establishment on the problem of air cooling gas-turbine combustion systems. Each of the different methods of wall cooling is discussed separately and the theory and mechanism of the cooling process is developed from first principles. Certain of the methods have been the subjects of experimental investigations and in such cases a brief description of the test arrangements is given and the results are analysed and discussed. Sufficient information is given to enable any of the various methods to be applied to practical wall-cooling problems and, in a conclusion to the report, their relative advantages and disadvantages for different gas-turbine applications are considered. It is shown that 'sweat', or effusion cooling, is by far the most effective and efficient method, while the use of 'louvred' surfaces represents the nearest practical approach to this ideal which is feasible while suitable cooling materials remain available. The remaining methods (convective cooling by external airflow, localised air injection to form a protective blanket of coolant, and a combination of these two), are all less effective, but provide means whereby conventional combustion systems may be conveniently cooled without the need for porous materials or the weight increases associated with louvred walls.
1. Introduction.—The advantages to be gained by the use of higher gas temperatures in internal-combustion turbines are now well established and have been comprehensively dealt with in the literature. Equally well established, however, are the difficulties associated with the use of these higher temperatures, and considerable research effort is going into attempts to solve them. The turbine, especially the highly stressed rotor blades, has naturally been the object of most of this effort, but a component which has hitherto received much less attention has been shown by recent experience to present difficulties almost as critical as those of the turbine. This component is the combustion system.
It follows from the arrangement of a typical gas-turbine combustion system that the flame tube will be subjected to temperatures considerably higher than prevail at the turbine inlet, and although not highly stressed, experience has shown that severe distortion and even complete failure of flame tubes can be expected in periods of less than one thousand hours. While this is of less importance in aircraft-engine practice, where frequent complete overhauls and renewal of major components are usual, it makes some form of cooling essential for the combustion systems of industrial gas-turbine plant required to operate continuously and reliably for long periods.
Air appears as the logical coolant for gas-turbine combustion systems, and its use is assumed in each of the wall-cooling methods which are discussed in this paper. There is always an excess available over the amount of air required to burn efficiently the fuel in the primary zone of a combustion chamber, and a proportion of this may be used most conveniently for cooling purposes. The main advantage to be gained by so doing is that no heat is lost from the main working cycle.
* Previously published as C.P. 133.
of the engine, as is necessarily the case with, for instance, water-cooling. The gas temperatures associated with the air-cooling system may be so arranged that after the last of the coolant has mixed with the main stream, the resultant temperature corresponds with the maximum acceptable to the turbine.
The several alternative methods of achieving wall cooling are considered separately in the text which follows. It is assumed in all cases that the necessary airflow is independently metered, and this will have to be arranged by the designer of a particular system, who must ensure that the fluid static-pressure drops in the coolant and the main stream, from the initial point of separation to where they finally merge again, are equal.
2. Convective Cooling by External Airflow.—This method of cooling is the most simple and convenient to arrange and is commonly used. It is especially suitable for ‘straight-through’ combustion-chamber flame tubes, in which the dilution air is made to flow in an annular passage, one bounding wall of which is the surface to be cooled. There is a convective heat-transfer process between the air and the hot wall and the latter attains an equilibrium temperature which is dependent upon the ratio of the heat-transfer rates upon its two sides. The cooling-air passage need not necessarily be annular and, in fact, is only so in the case of the cylindrical combustion chamber, but it is very conveniently formed between the flame tube or a similar liner and an outer pressure casing, the gap being dimensioned by pressure-drop considerations as shown later.
2.1. Theory of Operation.—The temperature of the wall at any point in the cooling system, assuming infinite radial conduction and none in a longitudinal direction, is given by the equation:
\[ h_a F_a (\theta_w - \theta_a) = h_g F_g (T_g - \theta_w). \]
(1)
If the heat-transfer coefficients are referred to the base surface, then \( F_a = F_g = F \), say, in which case we may write:
\[ h_a (\theta_w - \theta_a) = h_g (T_g - \theta_w). \]
(1a)
The temperature of the cooling air, \( \theta_a \), is a variable which depends upon the thermal capacity of the airflow and the heat-transfer rate. Consider a short length of the system, \( \delta x \), distant \( x \) from the origin where \( \theta_a = T_a \). The heat balance may be written down as
\[ C_p W_a \delta \theta_a = h_a \sigma F (\theta_w - \theta_a). \]
(2)
In most cases \( F \) is a linear function of \( x \), the constant being the perimeter, which for the cylindrical surface is \( \pi d \). Thus in the limit, for the cylindrical surface, equation (2) becomes:
\[ \frac{d\theta_a}{dx} = K_1 (\theta_w - \theta_a), \]
(2a)
where
\[ K_1 = \frac{h_a \sigma d}{C_p W_a}. \]
Substituting for \( \theta_w \) from equation (1a) gives:
\[ \frac{d\theta_a}{dx} = \frac{K_1}{K_2} \theta_a + \frac{K_1}{K_2} T_G, \]
(2b)
where
\[ K_2 = 1 + \frac{h_a}{h_g}. \]
Therefore
\[ \frac{K_1}{K_2} = \frac{\pi d}{C_p W_a} \frac{h_a h_g}{h_a + h_g}, \]
\[ = \frac{h' \pi d}{C_p W_a}, \]
radially, finally emerging to mix with the main gas stream. This may be achieved by constructing a circular flame tube, for instance, from a series of annular discs, clamped so that there is a gap between each pair to form the air passages. The inner circumferences form the bounding wall of the main gas stream. A detailed description of a combustion chamber with the flame tube so constructed is given in Ref. 5, although in this case, to reduce the number of rings required to make up the flame-tube length, they are stamped to form conical frustra, and hence the passages are inclined to the true radial direction.
3.1. Theory of Operation.—To determine the temperatures in such a system, in which temperature variations through the fin thickness are neglected, consider an elementary length of fin which is distant $x$ from the point of entry of the cooling air to the passages. There is a balance between the heat convected to the air over the length being considered and that conducted into and out of it, which may be written as:
$$h_a \delta F_a (\theta_w - \theta_a) = \lambda_w C_m \left[ \frac{d}{dx} \left( \theta_w + \frac{d\theta_w}{dx} \delta x \right) - \frac{d\theta_w}{dx} \right],$$
$$= \lambda_w C_m \frac{d^2\theta_w}{dx^2} \delta x.$$
(7)
If $f$ is the heat-transfer area per unit length of fin, it may be regarded in most cases as independent of $x$ without serious error.
Thus rewriting equation (7) we get:
$$h_a f (\theta_w - \theta_a) = \lambda_w C_m \frac{d^2\theta_w}{dx^2}.$$
(7a)
Now consider the heat balance of the air in passing the length $\delta x$
$$C_p W_a \delta \theta_a = h_a f (\theta_w - \theta_a) \delta x.$$
(8)
$W_a$ is, in this case, the flow of air per passage. In the limit, equation (8) becomes:
$$\theta_w = \theta_a + \frac{C_p W_a}{h_a f} \frac{d\theta_a}{dx}.$$
(8a)
Substituting in equation (7a) for $\theta_w$ from equation (8a) and writing $K_3$ for $C_p W_a / hf$ and $K_4$ for $C_p W_a / \lambda_w C_m$, we get
$$K_3 \frac{d^2\theta}{dx^2} + \frac{d^2\theta_a}{dx^2} - K_4 \frac{d\theta_a}{dx} = 0.$$
(9)
The solution of this differential equation has the form
$$\theta_a = A + A_1 e^{a_1 x} + A_2 e^{a_2 x},$$
(10)
where $a = a_1$, $a_2$ are the roots of the auxiliary equation
$$K_3 a^2 + a - K_4 = 0,$$
(11)
and $A, A_1, A_2$, are constants of integration. Substituting in equation (8a) for $\theta_a$ from equation (10) gives the complete solution for the wall temperature at any point $x$ as:
$$\theta_w = A + A_1 (1 + a_1 K_3) e^{a_1 x} + A_2 (1 + a_2 K_3) e^{a_2 x}.$$
(12)
To apply this equation to a given design we need three separate end conditions with which to evaluate the constants of integration, $A$, $A_1$, $A_2$. The three most convenient conditions are:
(a) At the hot end of the fin, at $x = L$, all the heat passes by conduction through the surface, i.e.,
$$\left[ \frac{d\theta_w}{dx} \right]_{x=L} = \frac{H_i}{h_a C_p}. \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad (12a)$$
$H_i$ is the heat input to the inner surface of each fin from the hot gases.
(b) At entry to the passages, $x = 0$, the cooling air temperature is known, i.e.,
$$T_a = A + A_1 + A_2. \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad (12b)$$
(c) If heat losses from the cold side of the system are neglected, then the air receives $H_i$ heat units per second in its passage through the wall, and knowing its mass-flow rate and specific heat, the exit temperature is known, i.e.,
$$T_a + \frac{H_i}{W_a C_p} = A + A_1 e^{A_1 t} + A_2 e^{A_2 t}. \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad (12c)$$
In using this method of calculation it will be found most convenient to obtain the values of $A$, $A_1$, $A_2$ in terms of the unknown $H_i$. Then since it is the value of $\theta_w$ at the hot end of the fin, at $x = L$, say, $T_w$, which is usually required, a final equation can be obtained which has only $T_w$ as an unknown since we have:
$$H_i = h_a F_e (T_a - T_w). \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad (13)$$
$F_e$ in this equation is, of course, the effective area available for heat transfer from the hot gases to each fin.
3.2. Estimation of the Heat-Transfer Coefficients in the System.—The evaluation of the heat-transfer coefficient on the gas side presents difficulties similar to those described in the previous Section, with the additional complication of the unknown effect upon the convective heat-transfer process of the discontinuous nature of the wall and of the injection of the cooling air. With the lack of more precise experimental evidence, all that can be done to allow for the effects of these factors, is to assume that they cancel each other out.
In the air passages, with the necessarily small gaps, the air flow is likely to be laminar in which case the Nusselt number should be taken as 8·2, which is the theoretical value given by Smith in Ref. 3. Should the Reynolds number exceed 2,000, as previously described, equation (4) may be used, with the equivalent diameter $d_e$ taken as twice the passage height.
3.3. Some Calculated Results.—Fig. 2 shows the results of some calculations made according to the theory described in this Section, for a typical hot-gas duct similar in construction to that described in Ref. 5. The effect of a varying air flow upon the maximum temperatures reached by the wall when constructed from either stainless steel or copper is shown by Fig. 2a, while the effect of the different thermal conductivities of these two metals upon the temperature distribution in the system is shown by Fig. 2b. Although the maximum temperature reached by the copper wall (coefficient of conductivity = 216 C.H.U./hr.ft.$^2$C), is less than that obtained with stainless-steel fins (coefficient of conductivity = 11 C.H.U./hr.ft.$^2$C), the metal temperature for 80 per cent of the fin length is actually higher.
3.4. The Pressure Drop through the System.—To estimate the pressure drop associated with the flow of air through the passages in a louvred wall, equation (6) may be used with the factor $C/Re$ replacing $0·316/Re^{0·29}$ if the Reynolds number is less than 2,000, as explained in the footnote to Section 2.4. Unlike the difficulty met with in the method of cooling discussed in the previous Section with regard to pressure drop, the problem with the louvred wall is usually to make the pressure drop sufficiently large for there to be any control of the distribution of the air over the surface to be cooled. If the gaps between each element of the wall are too big, and the throughway ratio excessive, the pressure drop across the wall is so low as to be of the order of that in the main
gas stream resulting from its viscid flow down the duct. In such a case, most of the air will flow through the wall at the downstream end of the duct, while the upstream surface will receive an inadequate supply of coolant. It is usually necessary with practical louvred walls to use far more air than would really be necessary for cooling, were it possible to distribute a lesser amount uniformly over the surface.
4. The Use of Porous Walls.—'Sweat' Cooling.—With the louvre method of construction for a cooled wall, as discussed in the last Section, a surface was obtained which contained a number of passages for cooling-air flow, in which a convective heat-transfer process removed the heat that was conducted back through the metal of the wall from its hot inner surface. The porous wall may be considered as working on the same principle carried to its ultimate extreme, i.e., the pores in the wall provide the many small passages, and hence a very large area over which heat transfer between the wall and the cooling air may take place. In addition, since there are so many small passages scattered uniformly over the surface of the wall, the air jets emerging from each immediately coalesce to form a continuous cool boundary layer which, under certain conditions, drastically reduces the rate of heat transfer from the hot gas, and so adds to the cooling effect.
The earliest experimental evidence of the effectiveness of 'sweat' cooling, as cooling by means of porous walls is commonly called, was published by Duwez and Wheeler in Ref. 6. Their porous test section was, however, only 1·5 in. long by 1 in. diameter and the need was therefore felt for some additional experimental data obtained from tests on a porous-walled duct comparable in size to the gas-turbine components to which it was hoped eventually to apply the technique of sweat cooling. A brief description of these tests and the apparatus used for them is given below.
4.1. Test Arrangements and Results.—The arrangement of the porous-walled test section is shown by Fig. 3. It was supplied with hot gas at varying temperatures from a combustion chamber some 8 ft upstream, while the cooling air supply was led to the airtight box which surrounded it, and which served to damp out pressure fluctuations transmitted from the blower. The airflow rate was measured by an independent standard orifice plate, and the gas mass flow was obtained by difference between the air mass flow and the total value as given by a measuring section in the main supply line from the blower. The gas temperature was measured by means of a single shielded chromel-alumel thermo-couple just upstream of the test section, while the two used for measuring the air temperatures are shown in the sketch.
The porous duct itself, which was 6·4 in. in diameter and 21 in. long, was rolled from two sheets of a porous bronze, which was originally developed as a filtering medium, and which therefore left much to be desired in the way of strength and resistance to high temperature. The necessary joints in the duct were made by brazing, a method which was not very satisfactory in that it led to appreciable areas of the surface becoming blocked near the joints, and the inevitable overheating caused embrittlement of the metal. The line of eleven thermo-couples used to measure wall temperatures, and which were plugged into the wall in the manner shown in the small sketch in Fig. 3, was placed diagonally opposite the longitudinal brazed joint, so that the non-porous, and hence uncooled, areas should have as little effect as possible upon the observations of wall temperature.
In the course of the experiments, readings of wall temperature were taken for various gas stream temperatures and gas and air mass flows. The results are shown plotted in Fig. 4 as cooling efficiency vs. the ratio, cooling-air mass flow per unit surface area/gas flow per unit duct cross-sectional area, a correlation suggested by Duwez and Wheeler in Ref. 6. The cooling efficiency, $\eta$, is defined by
$$\eta = \frac{T_w - \theta_w'}{T_g - T_a},$$
$\theta_w'$ being the mean of the observed wall-temperature readings, those at each end of the duct being neglected, however, because of the large effect upon them of the uncooled areas under the flanges.
The gas temperatures used in the tests ranged between 300 and 700 deg C, while the main-gas-stream Reynolds numbers were between 110,000 and 220,000. Over this range the correlation suggested by the authors of Ref. 6 is quite successful, as is shown by Fig. 4, from which it is apparent how easily cooling efficiencies of the order of 90 per cent are obtainable under the conditions of the tests, with quite small air mass flows.
4.2. Analysis and Discussion of the Test Results.—Since there is a very large area for heat transfer within the wall of a porous duct, and since the airflows are quite small, it is justifiable to assume that in passing through the pores, the cooling-air temperature is raised to that of the inner surface of the wall. By making this assumption and knowing the rate of cooling-air flow, it is possible to calculate the heat-transfer coefficient between the gas stream and the porous duct, but any errors that are incurred by so doing will be such as to make the coefficients obtained higher than those actually prevailing.
The results obtained with the porous-bronze duct in the test rig which has been described, were analysed in this way, and they showed that the Nusselt number, based on the mean of the wall and gas temperatures, was independent of the rate of cooling-air flow, and for a given mainstream Reynolds number, sensibly constant at a value considerably less than that which would be predicted for similar conditions of developed turbulent flow. Analysis of the tests of Ref. 6 yielded a similar result, as is shown by Fig. 5, but the reduction in Nusselt number is not so marked, and in fact, at the higher Reynolds numbers is negative due probably to the extension of entry-length flow conditions to include that part of the wall in which was inserted the single thermo-couple used to measure the cooled surface temperature.
Now with the assumption that the cooling-air flow of $Q$ lb/sec ft$^2$ is raised to the inner wall temperature we have that the heat input to the wall is:
$$H_i' = QC_p(\theta_w' - T_a),$$
where $H_i'$ is the heat flow per unit inner-wall surface area. But also we have that:
$$H_i' = h_g(T_g - \theta_w').$$
From these two equations we get:
$$\frac{T_g - \theta_w'}{\theta_w' - T_a} = \frac{QC_p}{h_g}$$
$$= K_5 \quad \text{(say)}.$$
But by definition the cooling efficiency, $\eta$, is given by
$$\eta = \frac{T_g - \theta_w'}{T_g - T_a},$$
$$= \frac{K_5}{K_5 + 1}. \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad (13)$$
Thus the cooling effect in a porous wall is an explicit function of $Q/h_g$, if variations in specific heat are neglected.
Now suppose it is assumed that the rate of heat transfer to a porous wall is defined by an equation of the form:
$$Nu = B Re^n, \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad (14)$$
Thus from the curves of Fig. 6 it is possible to calculate the values of $B$ in equation (15). The values of this constant to which the lines drawn through the results of the two series of tests correspond are $4 \cdot 72 \times 10^{-8}$ for the N.G.T.E. tests and $3 \cdot 58 \times 10^{-8}$ for those of Duwez and Wheeler. In other words the rate of heat transfer between the hot gases and the porous duct in the two cases can be represented by:
\[
N u = 4 \cdot 72 \times 10^{-8} \quad Re^{1 \cdot 8}, \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad (16)
\]
\[
Duwez's \text{ and Wheeler's tests: } \quad Nu = 3 \cdot 58 \frac{Re}{1000}. \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad (17)
\]
The discrepancy between the rates of heat transfer and the variation of these with Reynolds number in the two test series is believed due to the difference in sizes of the respective porous ducts. Now it is shown in Appendix II that if $h_g$ is the heat-transfer coefficient between a moving gas stream and a surface, between which there is a laminar boundary layer of thickness $\delta$ and conductivity $\lambda_L$, through which heat transfer can take place by conduction alone, then $h_g$ is given by
\[
h_g = \frac{1}{1 + \delta h_s / \lambda_L} h_s, \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad (A.6)
\]
where $h_s$ is the true convective heat-transfer coefficient as is used in Reynolds analogy. This heat-transfer coefficient, $h_g$, is approximately a linear function of Reynolds number and it is probable that in Duwez's and Wheeler's short test section there was no effective boundary layer due to the effects of both the thermal and fluid entry length, and therefore the overall coefficient, $h_g$, was virtually equal to $h_s$. In the long porous duct used by the author, however, in which developed turbulent-flow conditions prevailed, it is believed that the injection of the cooling air led to the formation of a relatively thick boundary layer, the equilibrium thickness of which was a function of the gas-stream Reynolds number alone, and it is the nature of this function that determines the manner of variation of $h_g$, and therefore of the Nusselt number, with the Reynolds number. Although no quantitative values of $h_s$ and $\delta$ are available, if the term $\delta h_s / \lambda_L$ is large compared with unity, for the observed variation of Nusselt number with Reynolds number as given by equation (16) to be correct, would require that the boundary-layer thickness in a sweat-cooled duct is inversely proportional to the 1-8 power of the Reynolds number under conditions of developed turbulent flow.
The foregoing analysis of the sweat-cooling process has, of necessity, been somewhat empirical because of the complexities of the transfer processes involved. There have been, however, several theories of sweat cooling published, all of which involved certain simplifying assumptions. Rannie, in Ref. 7, for example, has developed a theory of porous-wall cooling which assumes that the laminar boundary-layer thickness is the same over a sweat-cooled wall as for flow through an ordinary pipe. The results of this theory are shown on Fig. 4, in which the predicted cooling effects are considerably less than those observed in the tests made by the author and described in this paper, and this discrepancy appears to confirm that the injection of the air through the wall under developed turbulent-flow conditions does result in an appreciable thickening of the laminar boundary layer.
Grootenhuis and Moore, in Ref. 8, give a theory which they have developed by solving, by an approximate method, the fundamental equations of fluid motion with the boundary conditions appropriate to flow over a porous flat plate through which air is injected. It will be noted that these authors use the parameter $(V_a / V_g)^2 Re$ to correlate their calculated cooling effects, which is equivalent to $(V_a / V_g) \sqrt{Re}$. This parameter is equal to the parameter given by equation (15) with $n = 0 \cdot 5$ for the isothermal case and the value of one-half for $n$ corresponds to the theoretical figure for laminar flow over a plate, which is the condition assumed by the authors. In Ref. 9 Grootenhuis and Moore have compared the values of sweat-cooling effects which their theory predicts, with the experimental observations of Duwez and Wheeler, and the author, and although their calculated curve makes a fair mean through both sets of results (between which, upon the
correlation of this report, there is a large discrepancy) the scatter of the points about the curve, especially in the horizontal direction, is so large as to make inconclusive any comparison made between the theoretical and experimental values.
4.3. Sweat Cooling in Practice.—While the results with the test rig previously described may be considered as applicable to sweat-cooled walls under conditions of developed turbulent flow, and in which radiation is negligible, these conditions rarely occur in gas-turbine combustion systems. They may, however, be assumed, in certain cases, in turbine inlet sections where there is likely to be a stable boundary layer such as is associated with accelerating flow.
In general, however, the ideal conditions that prevailed in the test rig do not apply in practical problems. In combustion-chamber flame tubes in which the highest cooling effects are needed, there is usually the violent swirl used to stabilise the flame, and often the effects of radiation from the burning fuel to be taken into consideration. After the completion of the tests upon the porous-bronze duct which have been discussed, this was operated as a combustion chamber by inserting a flame stabilising baffle at its upstream end through which fuel was injected and burnt within the duct. It was not possible to obtain exact results of quantitative value from the rig under these conditions, but the measurements that were made indicated that about two and a half times as much air was required for equal cooling effects as compared with the original tests. This increase may be regarded as resulting from a larger convective rate of heat transfer, since the flame within the duct was not very luminous, being of the type usually associated with distillate fuels, and radiation could therefore be neglected. Where radiation is likely to be appreciable, its effect may be taken into account by adding the rate of radiant heat transfer to that given by equation (15), or a modification of it to allow for the effect of swirl, and equating the heat input to that picked up by the air in its passage through the wall, assuming that its temperature is raised to that of the inner surface, i.e.,
\[ Nu = 4 \cdot 72 \times 10^{-8} \times Re^{1.9} \]
for developed turbulent flow. If the factor of 2·5 is accepted to allow for the effect of swirl as observed in the reported tests on the porous-bronze duct when operating as a flame tube, then equation (15) can be modified to:
\[ Nu = 1 \cdot 2 \times 10^{-7} \times Re^{1.8}. \]
Thus
\[ h_g = 1 \cdot 2 \times 10^{-7} \times Re^{1.8} \frac{\lambda_T}{d}. \]
The heat input by convection, \( H_c \), is thus
\[ H_c = h_g(T_g - T_w)F_g. \]
By radiation, the heat input \( H_r \) is given by
\[ H_r = h_r(T_g - T_w)F_g \]
as explained in Appendix I. Therefore the heat balance to be solved for \( T_w \), or \( Q \), whichever is required is:
\[ H_c + H_r = F_cC_pQ(T_w - T_a). \]
This method of calculation is, of necessity, only empirical and liable to considerable errors from inexact estimate of the requisite heat-transfer coefficients, but it may be used to assess approximately the cooling effects likely to be experienced with porous walls working under conditions similar to those described.
The greatest single difficulty in the way of the universal application of sweat cooling is the lack of a suitable porous metal having the necessary properties of tensile and fatigue strength, ductility, resistance to moderate temperatures and controllable permeability. These requirements
are of course formidable, but considerable progress has been made towards overcoming them, and the rewards to be gained from so doing will warrant the effort required. However, the metallurgical problems associated with the technique of sweat cooling are outside the scope of this report.
4.4. The Pressure Drop in Porous Walls.—The pressure drop for conditions of laminar flow through a porous material is given by D'Arcy's equation which is given in Ref. 10 as:
\[
\frac{QL}{P_1^2 - P_0^2} = \frac{\gamma}{144.2P_{gh}} \cdot \sigma_0
\]
(19)
\(P_1\) and \(P_0\) are the air pressures in lb/ft\(^2\) on either side of the porous wall and \(\gamma\) is the coefficient of permeability and has the dimensions of an area, usually square inches. Where turbulent flow occurs (no exact criterion for the point of transition appears to have been decided), a more complicated and general equation by Rose in Ref. 11 should strictly be used, but it will be found that for most gas-turbine applications of sweat cooling D'Arcy's equation applies with sufficient accuracy. For small pressure differences this equation may be simplified to:
\[
\frac{QL}{AP} = \frac{\gamma}{144} \cdot \frac{\sigma_0}{\mu}
\]
(19a)
from which it is apparent that the flow rate is proportional to the pressure drop.
It has been suggested that over long periods of operation in industrial atmospheres, the permeability of a porous metal used for sweat cooling will decrease due to the deposition in the pores of solid matter previously suspended in the air. If this were to prove the case, and no successful antidote were found, it would provide a serious objection to the use of sweat cooling for many gas-turbine applications.
Tests made to determine the susceptibility of porous metals to blockage by atmospheric deposits have shown conflicting results. Observations of permeability made upon the porous-bronze duct used for the original sweat-cooling tests described in this paper, showed it to drop off rapidly during the first few hours of operation, after which it became steady at about 40 per cent of the original value. Later pressure-drop tests upon various small porous specimens in, however, a very oily atmosphere, showed the permeability to drop off more and more rapidly until, finally, complete blockage occurred. These and other observations showed that the rate of blockage of a porous wall depended very much upon the nature of the particles suspended in the cooling air, and oiliness in particular was a thing to be avoided. From all the observations, also, two other important, and general, observations could be drawn. Firstly, that deposits in a porous material can, in most cases, be removed by an air blast from the downstream side, and secondly, that a comparatively crude filter (a thickness of rag was very effective in the case of the oily atmosphere) is sufficient to remove the offending particles from the air stream and to prevent any decrease in permeability over long operating periods.
5. Cooling by Localised Air Injection.—The object of this method of cooling is to reduce the rate of heat transfer to a surface by creating over it a layer of comparatively cool fluid. The ideal of the laminar boundary layer through which heat transfer can take place by conduction, or radiation, only, as was achieved with a porous wall, cannot be attained by injection through orifices of a practical size in an ordinary metal wall. However, by careful choice of injection velocities and arrangements of the inlet ports, it is possible to form a protective blanket of a mixture of cooling air and hot gas which, although moving with the main stream, does restrict the convective rate of heat transfer to the surface over which it is formed.
The most effective way of creating this 'boundary layer', as it is called, although the term does not apply in its strict aerodynamic sense, is to inject the cooling air through rows of suitable ports, arranged around the perimeter of the surface to be cooled. The layer thus formed moves downstream over the wall of the duct, 'decaying', i.e., increasing in temperature, as it does so, as a result of a process of both mass and heat transfer from the main hot gas stream.
5.1. Theory of Operation.—A theory of the operation of the ideal boundary layer formed by localised injection of air through rows of ports is given in Appendix III, but a less rigorous alternative, which involves a major simplifying assumption, is better suited to explain the mechanism of the cooling process and to analyse observed experimental results.
Consider an elementary length of the wall to be cooled, distant \( x \) from the point of injection, and the heat balance between the heat transferred to that part of the wall and that conducted along it becomes:
\[
h_L f \delta x (\theta_L - \theta_w) = - \lambda_g f \left\{ \frac{d}{dx} \left( \theta_w + \frac{d\theta_w}{dx} \delta x \right) - \frac{d\theta_w}{dx} \right\},
\]
\( f \) is, in this case, the perimeter of the surface. Rearranging this equation gives:
\[
\theta_L - \theta_w = - K_g \frac{d^2\theta_w}{dx^2},
\]
where
\[
K_g = \frac{\lambda_g f}{h_L}.
\]
This is similar to equation (7) of Section 3, but in this instance, to solve equation (20a), an assumption must be made as to the form of the function that \( \theta_L \) is of \( x \). Now, if the mass flow of cooling air is small compared with that of the main stream, it may be assumed that, after being initially formed at some temperature, say \( T_g - \Delta \theta \), which is between the air and gas temperatures, the boundary layer will move in the direction of increasing \( x \) with its temperature approaching that of the main gas stream. It is suggested by the form of the general solution of the ideal boundary layer given in Appendix III that the temperature distribution along the duct follows an exponential law, and the simplest possible equation of this form satisfies the conditions assumed above, i.e.,
\[
\theta_L = T_g - \Delta \theta e^{-\alpha x}.
\]
The use of this equation in which \( \alpha \) is assumed constant, to solve equation (20a), represents the major simplifying assumption that was mentioned previously, but which, however, appears to be justified by the experimental results as shown later.
The value of the boundary-layer temperature at any point, \( \theta_L \), as given by equation (21), may now be substituted into equation (20a) to give:
\[
T_g - \Delta \theta e^{-\alpha x} - \theta_w = - K_g \frac{d^2\theta_w}{dx^2},
\]
which may be integrated to:
\[
T_g - \theta_w = A_3 e^{x/\sqrt{K_g}} + A_4 e^{-x/\sqrt{K_g}} + \frac{\Delta \theta e^{-\alpha x}}{1 - K_g \alpha x^2}.
\]
\( A_3 \) and \( A_4 \) are the constants of integration to be calculated from the end conditions.
5.2. An Experimental Investigation.—The method of wall cooling under discussion in this Section was the subject of an experimental investigation undertaken by the author. The test rig shown in Fig. 3 and described in the previous Section was used. The porous duct was replaced by one rolled from 22 s.w.g. stainless steel sheet in which were formed the different injection-port arrangements to be tested. Wall-temperature measurements for various conditions of air and gas flow were made with thermo-couples which were welded to the test section, beneath the lagging with which it was surrounded to reduce external heat losses from the wall to the incoming cooling air.
There is an infinity of shapes and sizes of injection ports which could be used, all producing their different cooling effects but, in general, an arrangement of holes is the most convenient to use in gas-turbine ducting, and the effect of injection through these was studied in detail. Three separate arrangements were used, all having the same area:
1. A single row of $\frac{1}{4}$-in. holes (Test Series A).
2. A double row of $\frac{1}{8}$-in. holes (Series D).
3. Four rows of $\frac{1}{16}$-in. holes (Series F).
All the holes were pitched circumferentially, and in the arrangements (2) and (3), axially as well, two diameters apart. Where more than one row was used, the holes in adjacent rows were staggered with respect to one another, so as to form a complete injection ring around the circumference.
The additional arrangement for achieving boundary-layer cooling, which suggests itself for application to combustion-chamber flame tubes in particular, that is in which the air is injected axially through an annulus. It was not found possible, however, to maintain an annulus of accurately known dimensions during the tests because of thermal distortion, but it was known, and is in fact obvious, that the air-injection velocity should equal that of the main gas stream for the optimum cooling effect, and it was felt that the data upon boundary-layer decay rates obtained from the tests with injection through holes were applicable with sufficient accuracy to the annular-injection case.
5.3. Analysis of the Test Results.—The form of the wall-temperature distribution associated with boundary-layer cooling by localised radial air injection is shown by Fig. 7. It will be seen how the temperature rises rapidly immediately after the injection axis, the rate of increase falling off, however, until at a comparatively short distance downstream, the temperature is rising very slowly along the duct.
This form of temperature distribution is represented by equation (23), and the unknown coefficients in this equation may be evaluated from the test results. For the case of a single axis of injection only, the coefficient $A_3$ must be zero since the left-hand side of the equation does not tend to infinity with $x$. The value of $K_4$ may be calculated if a value is taken for the heat-transfer coefficient $h_0$, and since developed turbulent-flow conditions applied, the value given by equation (4) was taken as giving the best estimate possible and one sufficiently accurate for the purposes of calculation, since $K_4$ is used only as its square root and its effect is not very critical. Thus there remain only three unknowns to be calculated from the temperature distribution observations, i.e., $\Delta \theta$, $\alpha$ and $A_4$. These were determined by drawing mean curves through the experimental points of wall temperature plotted against distance from the point of injection, taking three typical stations on each of these curves, and solving the equations obtained by making the appropriate substitutions in equation (23). The values of the three factors so obtained will be considered separately.
(i) The Initial Temperature of the Boundary Layer.—According to equation (21), at the injection axis, i.e., at $x = 0$, the temperature of the boundary layer is given by
$$\left(\theta_L\right)_{x=0} = T_g - \Delta \theta.$$
Thus it follows that, upon passing through the injection ports, the air, initially at a temperature $T_a$, mixes almost instantaneously with sufficient of the hot gas to raise its temperature to that of the boundary layer as given by equation (21a) above. From the values of $\Delta \theta$ calculated from the test results in the manner described, a mixing factor $N$ was derived, which is defined as the number of pounds of gas at a temperature $T_g$ required to mix with one pound of air at a temperature $T_a$ to produce an initial boundary-layer temperature of $T_g - \Delta \theta$. This factor $N$ was found to plot against the ratio of the mean axial gas velocity to the radial air-injection velocity based on total port area, as is shown by Fig. 8, and it appears to reach a minimum dependent upon the port arrangement, when this ratio is unity. For the single row of holes the minimum value of
the mixing factor is two, for the double row, one, and for the quadruple row, a half. The relation between these minima is quite logical, for, if the minimum value for $N$ of 2 is accepted for the single row of injection ports pitches at two diameters, which occupy half the circumference, then a minimum value of 1 would be expected for the double row which takes up the whole circumference, and a value of a half follows for the quadruple row which is equal to two complete circumferences occupied by injection ports.
(ii) *The Rate of Decay of the Boundary Layer.*—After the period of mixing between the injected cooling air and the hot gas near the surface is completed, the boundary layer moves down the duct wall, increasing in temperature as it does so, according to equation (21):
$$T_g - \theta_L = A\theta e^{-ax}. \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad (21)$$
The increase in temperature is due to heat exchange between the main gas stream and the cooler boundary layer, partly through further mixing and partly as a result of the usual processes of convection and conduction. The rate of heat exchange would therefore be expected to depend primarily upon the degree of turbulence in the gas stream, and hence, for developed flow, upon the Reynolds number, and the associated rise in temperature within the boundary layer, upon the inverse of its mass.
These expectations are to some extent confirmed by the experimental results. Fig. 9 shows the variation of the exponential index $\alpha$, which is a measure of the rate of decay, with the mass of the boundary layer at a substantially constant Reynolds number. In spite of the scatter, it is found that the mean line through the points is a reciprocal curve, being a straight line with a slope of minus unity when plotted on logarithmic co-ordinates.
The results of the laborious calculations necessary to analyse the experimental observations were very sensitive to inaccuracies in wall temperature measurement, and this condition was greatly magnified in the case of the index $\alpha$, because of the narrow range of values of this factor which were covered during the tests, due to the limitations in the airflow available to the test rig. However, an attempt has been made to correlate the observed values of this decay factor with a parameter $Re \cdot d/(N + 1)W_s$ and the result of so doing is shown by Fig. 10. In spite of the scatter of the points about the mean line, a distinct trend in the results is apparent. The use of this parameter involves the assumption about the linear effect of the Reynolds number upon the rate of heat transfer from the gas stream to the boundary layer, an effect which was observed in the last Section in connection with the sweat-cooling results. There is, however, no experimental justification for the inclusion of the duct diameter to allow for the effect of surface area upon the rate of decay of the boundary layer which covers it. It appears, however, reasonable to assume as a first approximation a linear variation between the surface area and the mass of the boundary layer required to cover it to produce a given cooling effect. It will be found that the range of the parameter $Re \cdot d/(N + 1)W_s$ covered by the experiments reported here includes most gas-turbine duct applications, and that the curve of Fig. 10 gives an indication of the values of the decay factor to be expected under similar conditions of developed turbulent flow. The general prediction of these decay factors is subject to the same limitations and difficulties as those met with when attempts are made to estimate heat-transfer coefficients under conditions of undeveloped flow.
(iii) *The Additional Cooling Effect at the Injection Axis.*—Fig. 7 shows the wall temperature distribution associated with localised air injection, and upon the same Figure has been drawn the curve of boundary-layer temperature calculated from the appropriate values of $A\theta$ and the decay index $\alpha$. It will be seen that, in addition to the difference marked A, between the gas-stream temperature and that of the boundary layer at the injection axis, there is a further reduction in wall temperature, B. Now at this point, i.e., at $x = 0$, the wall temperature is given by equation (23a) as:
$$T_g - \theta_w = A_3 + A_4 + \frac{A\theta}{1 - K_\delta \alpha^2}, \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad \ldots \quad (23a)$$
Thus, since in most practical cases $K_a \propto^2$ can be neglected compared with unity without incurring an error of more than 2 per cent, $A_3 + A_4$, or $A_4$, when there is a single axis of injection only, represents the additional degree of cooling produced by the heat extraction of the air in flowing through the injection ports. As Fig. 7 shows, the effect is a rapidly disappearing one, and except when the injection axes are very close together, since the maximum temperature reached by the wall is the value of most importance, it is sufficient for the calculation of cooling effects to estimate the boundary-layer temperature distribution from the terms $\Delta \theta$, i.e., $N$, and the decay index $\alpha$. The cooling effect at the axis remains of importance, though, since by it the structure is kept coolest at the point where it is weakened by the drilling of the injection ports.
5.4. The Practical Application of the Method of Cooling.—By using a sufficient number of injection axes suitably spaced, any length of wall of a hot-gas duct may be cooled by the formation of a protective cooled boundary layer, providing that sufficient air is available. The best effect is obtained by initially forming the boundary layer by axial injection of air at the gas-stream velocity through an annulus, as may be conveniently formed between the baffle and the flame tube of a combustion chamber, and then renewing the layer by radial injection through rows of holes where necessary. An injection axis consisting of a double row of holes staggered with respect to one another to form a complete injection ring is the most suitable arrangement, and the hole diameter should be chosen so that the available air supply gives the requisite injection velocity. In some instances, however, and this is especially the case at the point of first forming the boundary layer and where axial injection is not easily arranged, it will be necessary to use a quadruple row of holes whereby less mixing, and therefore a cooler boundary layer, results than is the case with the double row. Diagrams of a combustion chamber which is intended for long-life operation, the walls of which are maintained at temperatures less than 530° C, with a mean gas outlet temperature of 750° C, are given in Ref. 12. Boundary-layer cooling as discussed in this Section is used to achieve the low wall temperatures of this chamber, a succession of axial injection stages being used for the flame tube, while the outlet section in which, as is general, the heat-transfer conditions are less severe, is cooled by a boundary layer formed by radial air injection.
The only pressure drop associated with cooling by localised air injection is that necessary to accelerate the air up to the required injection velocity in the ports. This is given by:
$$\Delta P = \frac{1}{2} \frac{\sigma}{g} \left( \frac{V}{0.61} \right)^2,$$
where $V$ is the velocity based on total port area and the coefficient of discharge is taken as 0.61, the value for negligible velocity of approach. The pressure drop given by equation (24) is in many cases very low, and in order to control the rate of flow of air it is often necessary to insert a secondary controlling restriction in the cooling system. An example of this is found in the combustion chamber, to which reference has already been made above.
6. The Effect of Combined Convective Cooling by External Airflow and Localised Air Injection.—The boundary layer formed by the method of localised injection as described in the previous Section, although reducing the convective rate of heat transfer to a surface offers no, or very little, resistance to radiant heat transfer, and this reduces the effectiveness of the cooling system when it is required for a combustion-chamber flame tube in which an intensely luminous flame is expected. However, prior to injection, the air may be made to flow over the outer surface of the wall to be cooled, thereby producing a cooling effect as described in Section 2. In this way a two-fold effect is achieved, in that the boundary-layer method of cooling, with its low pressure-loss requirements, reduces the rate of convective heat transfer to the wall, thus increasing the effectiveness of the external circulation cooling process without adding appreciably to the associated pressure loss, which, as explained in Section 2, is usually the limiting factor with this method alone.
6.1. Theory of Operation.—To examine mathematically the method of cooling, consider the rate of heat transfer to and from the wall to be cooled. When equilibrium conditions have been attained we have:
\[ h_a (\theta_w - \theta_a) = h_L (\theta_L - \theta_a) + h_r (T_g - \theta_w). \]
(25)
But according to equation (21), in the previous Section, \( \theta_L \) is given by:
\[ T_g - \theta_L = \Delta \theta e^{-\alpha x}, \]
(21)
where \( x \) is measured from the point of injection. If, in the arrangement under discussion, the air in the cooling passages and the boundary layer over the hot surface of the wall, flow in opposite directions, as is necessary for the best cooling effect, and \( x \) is measured from the point of entry of the air to the cooling passages, which are of length \( L \), equation (21) becomes:
\[ T_g - \theta_L = \Delta \theta e^{\alpha (x - L)}. \]
(21b)
Substituting for \( \theta_L \) in equation (25) gives:
\[ h_a (\theta_w - \theta_a) = h_L (T_g - \Delta \theta e^{\alpha (x - L)} - \theta_w) + h_r (T_g - \theta_w). \]
(25a)
From this point the theory of the cooling process follows closely that developed for external convective cooling alone in Section 2. Substitution for \( \theta_w \) in equation (25a) is made from equation (2a), i.e.,
\[ \frac{d \theta_a}{dx} = K_1 (\theta_w - \theta_a). \]
(2a)
The substitution gives
\[ \frac{h_a}{K_1} \frac{d \theta_a}{dx} = T_g (h_L + h_r) - h_L \Delta \theta e^{\alpha (x - L)} - \frac{h_L}{K_1} \frac{d \theta_a}{dx} - h_r \theta_a - \frac{h_r}{K_1} \frac{d \theta_a}{dx} - h_r \theta_a. \]
(25b)
Rearrangement of this equation gives:
\[ \frac{d \theta_a}{dx} + K_7 \theta_a = K_7 T_g - K_8 \Delta \theta e^{\alpha (x - L)}, \]
(25c)
where
\[ K_7 = \frac{h_r + h_L}{h_a + h_r + h_L} K_1, \]
\[ K_8 = \frac{h_a}{h_a + h_r + h_L} K_1. \]
Integrating this equation with the aid of the factor \( e^{K_7 x} \) and inserting the end condition that \( \theta_a = T_a \) when \( x = 0 \), gives:
\[ T_g - \theta_a = \frac{\Delta \theta K_8}{K_7 + \infty} e^{\alpha (x - L)} + \left( T_g - T_a - \frac{K_8 \Delta \theta e^{-\alpha L}}{K_7 + \infty} \right) e^{-K_7 x}. \]
(26)
A similar process with the case in which there is no radiant heat transfer, or in which it can be neglected, i.e., \( h_r = 0 \), gives:
\[ T_g - \theta_a = \frac{\Delta \theta K_9}{K_9 + \infty} e^{\alpha (x - L)} + \left( T_g - T_a - \frac{\Delta \theta K_9}{K_9 + \infty} e^{-\alpha L} \right) e^{-K_9 x}, \]
(27)
where \( K_9 = K_1 / K_2 \), i.e.,
\[ = \frac{h' \pi d}{C_p W_a}. \]
Neither equation (26) nor (27) can be solved explicitly since it is necessary to know the air temperature at the point of injection, i.e., at $x = L$, in order to calculate the initial boundary-layer temperature from the appropriate mixing factor $N$. But a value may be assumed to start with, and the corresponding value of $\Delta \theta$ substituted into either equation (26) or (27). If the calculated value of the air temperature at $x = L$ does not then agree with the assumed value the process must be repeated until agreement is obtained. Having thus derived the final equation needed to evaluate the air temperature, $\theta_a$, at any point in the cooling system, values of this may be substituted into equation (25a) and the wall temperature distribution calculated.
As is apparent from the foregoing theory of the cooling process, the method is very similar to that involving external airflow alone (as described in detail in Section 2). To estimate the associated pressure drop, the value given by equation (6) should be added to that given by equation (24), while if necessary to increase the rate of heat extraction from the air side of the system, secondary surfaces may be used in the manner described in Section 2.3. The only difference between the method of cooling described in this Section and that of Section 2 is that in this case the gas side of the wall is swept by the comparatively cool boundary layer instead of by the hot gases, an effect which is simply achieved by dividing the air passage into lengths to correspond with the injection axes, and drilling injection ports of the requisite area in the wall at the end of each section.
7. Conclusion.—A Comparison between the Different Methods of Wall Cooling.—In this report several methods of cooling surfaces which are swept by hot gases have been considered, in all of which, since the principal application of the methods is to gas-turbine combustion systems, air is used as the coolant. Each of the methods has certain advantages and disadvantages which are of varying relative importance, depending upon the duties of the gas turbine for which the cooled combustion system is intended.
A comparison between the different methods of cooling which have been discussed is made in Fig. 11, which shows the results of some calculations undertaken to assess the cooling effects possible in a typical, but hypothetical, hot-gas duct, the walls of which were cooled by varying airflows used in each of the methods described.
It is apparent from Fig. 11 that by far the most efficient and effective of these methods is sweat cooling, which uses the porous wall with its large area for heat extraction and which produces, in certain instances, the additional effect of a reduction in heat transfer to the cooled surface by virtue of a thickening of the laminar boundary layer, through which heat can pass by conduction alone. The uniform distribution of coolant and cooling effect associated with sweat cooling make it, thermodynamically, the ideal method, since no cooling effect is wasted by maintaining one point of the surface at some excessively low temperature in order that a second shall not exceed its allowable maximum. This factor, coupled with the effect of the large internal surface area which makes resistance to heat flow on the air side negligible, maintains sweat cooling as still the most effective method even when the hot-gas flow conditions, as in the entry lengths associated with abrupt discontinuities in flow, are such that no appreciable reduction in the rate of heat transfer to the wall is caused by the injection of the cooling air.
Unfortunately full advantage of the merits of sweat cooling cannot yet be taken, because the porous metals commercially available all need cooling to temperatures which are, in engines which include a high-efficiency heat exchanger, lower than those prevailing at entry to the combustion system. As was pointed out in Section 4, however, the advantages to be gained from the availability of a porous material having properties suitable for gas-turbine ducting warrant any metallurgical effort required in its development, because the need for such an effective and efficient means of wall cooling will become increasingly urgent as combustion-chamber outlet temperatures increase, and thus make less air available for wall cooling.
For reasons similar to those given in explaining the effectiveness of sweat cooling, the louvred wall supplies the second most efficient method of those considered. It falls short of sweat cooling with no 'blanketing' effect only because it is not practicable to construct a louvred surface
containing as many air passages, and hence as large an internal surface, as is found in the truly porous wall. The louvred combustion-chamber flame tube, as described by Lubbock in Ref. 5, is in effect the result of an attempt to create artificially a porous wall.
The calculations on which Fig. 11 is based assumed that the mode of heat transfer from the hot gas to the surface to be cooled was by convection alone, and the performance curve of the louvred wall given in this Figure is, apart from that of the external airflow method alone, as described in Section 2, the only one which is not lowered by replacing part of the convective by radiant heat transfer. This is because the louvred wall depends for no part of its calculated cooling effect upon a reduction in heat transfer by blanketing, and the effectiveness of the cooling method which still results makes the louvred wall particularly suitable for the flame tubes of large low-velocity combustion chambers in which the intensely luminous flames associated with the combustion of heavy fuel oils or coal are expected, and wherein radiant heat transfer far outweighs that resulting from convection. The main disadvantage associated with the louvred form of construction (its relatively great weight and bulk), may only be of secondary importance in such cases, which are likely to be either marine or power-station gas-turbine applications, in which savings in weight and space can be sacrificed in the interests of reliability.
Each of the remaining three methods of wall cooling, results in non-uniform surface temperature distributions and therefore, since it is the highest temperature reached in a system which must be used to assess the cooling effect, they are necessarily less efficient than those which use either the porous or the louvred wall. Of the three methods, as would be expected, that described in Section 6, which is a combination of the other two, is the most effective and should be used whenever it is necessary to obtain the highest degree of cooling with a given airflow and allowable pressure drop without resorting to either porous materials or the louvred form of construction. The remaining two means of wall cooling, those which involve either a controlled external flow of air, or localised boundary-layer injection, produce roughly equal cooling effects, the actual relative values depending upon the allowable pressure drops in the system. Both require the minimum of complication in constructional arrangements and are especially suited for moderate outlet temperature combustion systems in which there is a large mass flow of air in excess of that required to obtain efficient primary zone combustion.
Briefly, reviewing the available methods of wall cooling for gas-turbine combustion systems as described in this report, we have, firstly, sweat cooling, which with the development of a suitable porous material would become the universal method. Secondly, there is the heavy and expensive louvred wall which should only be used as a last resort for flame tubes subjected to the most arduous heat-transfer conditions in which reliability and length of life are of supreme importance. Thirdly, there is the less efficient but still effective cooling method which involves both external airflow and localised injection, which can be used to increase the working life of ordinary types of combustion system, while either of the remaining two methods, although not capable of high cooling effects, each possess the virtue of extreme simplicity. Finally, however, from a study of all or any of the cooling systems which have been described, one conclusion emerges which is almost obvious; that is, that in any cooling problem, the associated difficulties, like the quantity of coolant required, increase with the size of the surface exposed to the hot gases, and therefore it should be the aim of the designer of any combustion system to keep the area of the walls to an absolute minimum.
8. Acknowledgments.—The author is indebted to Mr. W. A. Pennington who was responsible for some of the tests upon which Section 5 is based, and to Mr. P. S. Lamb for assistance with the laborious calculations necessary for the analysis of the results of these tests.
| Symbol | Description | Unit |
|--------|-----------------------------------------------------------------------------|---------------|
| $A, A_1, A_2, \text{etc.}$ | Constants of integration used in various equations, and defined appropriately in the text | — |
| $a_1, a_2, b_1, b_2$ | Exponential indices obtained in the solution of various equations, and defined in the text | — |
| $B$ | A constant | (dimensionless) |
| $C_m$ | Area available for the conduction of heat in the metal of a wall | (ft$^2$) |
| $C_p$ | Specific heat at constant pressure | (C.H.U./lb °C) |
| $d$ | Diameter of a duct | (ft) |
| $d_e$ | Equivalent diameter as defined in the text | (ft) |
| $E$ | Emissivity | (dimensionless) |
| $F$ | Surface area for heat transfer | (ft$^2$) |
| $f$ | Heat-transfer area per unit length | (ft$^2$/ft) |
| $G$ | Mass velocity | (lb/sec ft$^3$) |
| $g$ | Acceleration due to gravity (32·2) | (ft/sec$^2$) |
| $H$ | Rate of heat flow | (C.H.U./sec) |
| $h$ | Coefficient of heat transfer | (C.H.U./ft$^2$ sec °C) |
| $h_r$ | Equivalent coefficient of heat transfer due to radiation (see App. I) | (C.H.U./ft$^2$ sec °C) |
| $K_1, K_2, \text{etc.}$ | Coefficients used to facilitate the solution of various equations and defined appropriately | — |
| $L$ | Length of a flow passage | (ft) |
| $Nu$ | Nusselt number ($hd_e/2$) | (dimensionless) |
| $\Delta P$ | Pressure drop | (lb/ft$^2$) |
| $P_f$ | Fin pitching | (ft) |
| $Q$ | Cooling-air mass flow per unit cooled-surface area | (lb/sec ft$^2$) |
| $Re$ | Reynolds number ($d_e G/\mu g$) | (dimensionless) |
| $T$ | A known and constant temperature | (°C) |
| $t$ | Metal thickness | (ft) |
| $V$ | Velocity | (ft/sec) |
| $W_a$ | Cooling-air mass flow | (lb/sec) |
| $x$ | Distance from an arbitrary origin | (ft) |
| $y_f$ | Fin height | (ft) |
| $\alpha$ | Exponential index used as a measure of the rate of decay of a boundary layer | (ft$^{-1}$) |
| Symbol | Description | Unit |
|--------|-----------------------------------------------------------------------------|---------------|
| $\beta_1, \beta_2$ | Constants of integration used in the solution of equation (A.9a) | — |
| $\gamma$ | Coefficient of permeability of a porous wall | (in.$^2$) |
| $\delta$ | Boundary-layer thickness | (ft) |
| $\theta$ | A temperature at any point in a system | ($^\circ$C) |
| $\Delta\theta$ | The temperature difference between the boundary as formed initially by localised air injection, and the main gas stream | ($^\circ$C) |
| $\sigma$ | Specific weight | (lb/ft$^3$) |
| $\mu_s$ | Coefficient of viscosity | (lb-sec/ft$^4$) |
| $\lambda$ | Coefficient of thermal conductivity | (C.H.U./ft sec $^\circ$C) |
| $\phi$ | A parameter used to define the efficiency of secondary surfaces, and defined in the text | (dimensionless) |
| $\eta$ | Cooling efficiency, defined in the text | (dimensionless) |
**Suffix**
- $g$: Refers to the hot gas stream
- $a$: Refers to the cooling air
- $w$: Refers to the wall being cooled
- $L$: Refers to the boundary layer associated with certain of the cooling methods
| No. | Author | Title, etc. |
|-----|-------------------------------|-----------------------------------------------------------------------------|
| 1 | F. J. Bayley | The cooling of a hot-gas duct by injection of air at the wall. N.G.T.E. Report R.62. A.R.C. 13,339. January, 1950. |
| 2 | F. J. Bayley | Notes on wall cooling. N.G.T.E. Memo. M.90. A.R.C. 13,340. July, 1950. |
| 3 | A. G. Smith | Heat flow in the gas turbine. Proc. Inst. Mech. Eng. Vol. 159. W.E.P. 41. 1948. |
| 4 | K. A. Gardner | The efficiency of extended surfaces. Trans. A.S.M.E. p.621. November, 1945. |
| 5 | I. Lubbock | Combustion problems in the gas turbine. Trans. N.E.C.I.E.S. Vol. 67. p. 131. 1951. |
| 6 | P. Duwez and H. R. Wheeler | Experimental study of cooling by injection of a fluid through a porous material. J.Ae.Sci. Vol. 15. No. 9. 1948. |
| 7 | D. W. Rannie | A simplified theory of porous wall cooling. Paper presented at Los Angeles Fluid Mech. Inst. June, 1948. (Quoted in Ref. 8.) |
| 8 | P. Grootenhuis and N. P. W. Moore | Some observations on the mechanism of sweat cooling. Proc. VIIth International Congress of Applied Mechanics. 1948. |
| 9 | P. Grootenhuis and N. P. W. Moore | Sweat cooling. The Engineer. p. 230. February, 1950. |
| 10 | M. Muskat | The Flow of Homogeneous Fluids Through Porous Media. McGraw-Hill Book Co. 1937. |
| 11 | H. B. Rose | Fluid flow through beds of granular materials. Proc. Inst. Mech. Eng. Vol. 153. p. 141. 1945. |
| 12 | H. Constant, P. Lloyd and R. P. Probert | Two papers in a symposium on internal combustion turbines. Proc. Inst. Mech. Eng. Vol. 163. W.E.P. 60. 1950. |
absorptivity under operating conditions, coupled with the difficulty of accurately assessing the gas (or flame) temperatures, it is not believed that the use of the complicated equation (A.2) is warranted, and a simpler alternative can be used with equal confidence:
\[ H = F_g \cdot 2.8 \times 10^{-12} \cdot E_M (T_g^4 - T_w^4), \]
(A.3)
in which \( E_M \) is an equivalent emissivity for the gases and walls. Values of this are not known with any accuracy, but it is recommended that to estimate the order of the rate of radiant heat transfer, \( E_M \) is taken as 0.1 for distillate fuels, such as gas oil, burning under luminous flame conditions and radiating to normal oxidised metal surfaces having an emissivity of about 0.8, as 0.2 for the heavier industrial fuel oils such as are burned under boilers, and as 0.3 for the heaviest residual oils and pulverised coal, which are, however, not yet commercially used in gas turbines.
In order to convert equation (A.2) into a more convenient form, use may be made of an equivalent heat-transfer coefficient, \( h_r \), which is based upon the temperature difference between the wall and the gas (or flame), and which is given by
\[ h_r = 2.8 \times 10^{-12} \cdot E_M \left( \frac{T_g^4 - T_w^4}{T_g - T_w} \right). \]
(A.4)
The use of this equation requires a knowledge of \( T_w \), but since the effect of this is much less critical in practical cases than that of \( T_g \), an initial estimate of the wall temperature which is not too greatly in error will enable \( h_r \) to be calculated, and it may then be combined with \( h_c \), the overall convective heat-transfer coefficient, unless the cooling system which is being used for the wall in question involves the use of a blanketing layer of air, which offers no resistance to radiant heat flow.
involved make it impossible to estimate the rate of heat exchange between the main gas stream and the boundary layer, and hence $K_{10}$. Thus to solve completely the equation associated with boundary-layer cooling, it is necessary to make an assumption such as that made in the less rigorous theory of Section 6. The solution given by equation (23) and obtained by assuming that the boundary-layer temperature distribution follows the simple exponential equation (equation (21)), compares with the general solution given by equation (A.10), and is identical if:
\[
b_1 = \frac{1}{\sqrt{K_g}} \quad \beta_1 = - A_3 \\
-b_2 = - \frac{1}{\sqrt{K_g}} \quad \beta_2 = - A_4 \\
b_3 = - \infty \quad \beta_3 = - \frac{\Delta \theta}{1 - K_g \infty^2}.
\]
GAS TEMPERATURE -750°C; COOLING AIR TEMPERATURE -350°C
FIN DIMENSIONS: LENGTH $10^{-2}$ FT., THICKNESS $10^{-3}$ FT., GAP $4 \times 10^{-3}$ FT.
\[ \phi = \frac{\tanh \left( \frac{w}{\lambda_m b} \right)}{u_f} \]
\[ \phi = \text{AVERAGE TEMPERATURE DIFFERENCE OVER FIN} \]
\[ u_f = \text{AVERAGE TEMPERATURE DIFFERENCE AT BASE} \]
\[ w = \text{FIN HEIGHT} \quad \sim \text{FT.} \]
\[ h = \text{COEFFICIENT OF HEAT TRANSFER} \quad \sim \text{CH/ft}^2\text{SEC}^\circ\text{C} \]
\[ \lambda_m = \text{THERMAL CONDUCTIVITY OF FIN} \quad \sim \text{CH/ft SEC}^\circ\text{C} \]
\[ b = \text{HALF BASE THICKNESS OF FIN} \quad \sim \text{FT.} \]
Fig. 1. Efficiency of secondary surfaces.
Figs. 2a and 2b. The cooling effect in a louvred wall.
Fig. 3. Test rig for porous-walled duct.
Fig. 4. Observed cooling effect compared with the theory given by Rannie (Ref. 7).
Fig. 5. Effect of cooling-air flow on the rate of heat transfer to a porous wall.
Figs. 6a and 6b. An improved correlation for the cooling effects in porous-walled ducts.
Fig. 7. Calculated wall and boundary-layer temperature-distribution curves.
Fig. 8. The effect of injection velocity ratio on the initial degree of mixing in the boundary layer.
Figs. 9 and 10. The effect of gas-stream Reynolds number and mass of the boundary layer upon its rate of decay.
Fig. 11. A comparison between the different methods of wall cooling.
COOLING EFFICIENCY = \frac{T_g - \theta_{w_{\text{max}}}}{T_g - T_a}
Publications of the Aeronautical Research Council
ANNUAL TECHNICAL REPORTS OF THE AERONAUTICAL RESEARCH COUNCIL (BOUNDED VOLUMES)
1939 Vol. I. Aerodynamics General, Performance, Aircrews, Engines. 50s. (52s.)
Vol. II. Stability and Control, Flutter and Vibration, Instruments, Structures, Seaplanes, etc. 63s. (55s.)
1940 Aero and Hydrodynamics, Aerofoils, Aircrews, Engines, Flutter, Icing, Stability and Control, Structures, and a miscellaneous section. 50s. (52s.)
1941 Aero and Hydrodynamics, Aerofoils, Aircrews, Engines, Flutter, Stability and Control, Structures. 63s. (55s.)
1942 Vol. I. Aero and Hydrodynamics, Aerofoils, Aircrews, Engines. 75s. (77s.)
Vol. II. Navigation, Engines, Stability and Control, Structures, Vibration, Wind Tunnels. 47s. 6d. (49s. 6d.)
1943 Vol. I. Aerodynamics, Aerofoils, Aircrews. 80s. (82s.)
Vol. II. Engines, Flutter, Materials, Parachutes, Performance, Stability and Control, Structures. 90s. (92s. 6d.)
1944 Vol. I. Aero and Hydrodynamics, Aerofoils, Aircraft, Aircrews, Controls. 84s. (86s. 6d.)
Vol. II. Flutter and Vibration, Materials, Miscellaneous, Navigation, Parachutes, Performance, Plates and Panels, Stability, Structures, Test Equipment, Wind Tunnels. 84s. (86s. 6d.)
1945 Vol. I. Aero and Hydrodynamics, Aerofoils. 130s. (132s. 9d.)
Vol. II. Aircraft, Aircrews, Controls. 130s. (132s. 9d.)
Vol. III. Flutter and Vibration, Instruments, Miscellaneous, Parachutes, Plates and Panels, Propulsion. 130s. (132s. 6d.)
Vol. IV. Stability, Structures, Wind Tunnels, Wind Tunnel Technique. 130s. (132s. 6d.)
Annual Reports of the Aeronautical Research Council—
1937 2s. (2s. 2d.) 1938 1s. 6d. (1s. 8d.) 1939-48 3s. (3s. 5d.)
Index to all Reports and Memoranda published in the Annual Technical Reports, and separately—
April, 1950 - - - R. & M. 2600 2s. 6d. (2s. 10d.)
Author Index to all Reports and Memoranda of the Aeronautical Research Council—
1909—January, 1954 R. & M. No. 2570 15s. (15s. 8d.)
Indexes to the Technical Reports of the Aeronautical Research Council—
December 1, 1936—June 30, 1939 R. & M. No. 1850 11. 3d. (11. 5d.)
July 1, 1939—June 30, 1945 R. & M. No. 1950 11. (11. 2d.)
July 1, 1945—June 30, 1946 R. & M. No. 2050 11. (11. 2d.)
July 1, 1946—December 11, 1946 R. & M. No. 2150 11. 3d. (11. 5d.)
January 1, 1947—June 30, 1947 R. & M. No. 2250 11. 3d. (11. 5d.)
Published Reports and Memoranda of the Aeronautical Research Council—
Between Nos. 2251-2349 R. & M. No. 2350 11. 9d. (11. 11d.)
Between Nos. 2351-2449 R. & M. No. 2450 2s. (2s. 2d.)
Between Nos. 2451-2549 R. & M. No. 2550 2s. 6d. (2s. 10d.)
Between Nos. 2551-2649 R. & M. No. 2650 2s. 6d. (2s. 10d.)
Between Nos. 2651-2749 R. & M. No. 2750 2s. 6d. (2s. 10d.)
Prices in brackets include postage
HER MAJESTY'S STATIONERY OFFICE
York House, Kingsway, London W.C.2; 231 Oxford Street, London W.I; 134 Castle Street, Edinburgh 2; 39 King Street, Manchester 2; 2 Edmund Street, Birmingham 3; 109 St. Mary Street, Cardiff; Tower Lane, Bristol 1; 80 Chichester Street, Belfast, or through any bookseller.
S.O. Code No. 23-3110
|
"I'm going to hang at the bar and put out the vibe"
-Lloyd Christmas
BUILD YOUR OWN SALAD
$13.50
Iceberg Mixed Greens Romaine
PICK ONE
PICK FOUR
Want Extra? +$.99 Each
Mozzarella Strawberries Celery
Provolone Red Onion Tomatoes
Feta White Onion Jalapenos
Parmesan Green Peppers Black Olives
Cheddar Cucumbers Sunflower-Seeds
Pepper Jack Bacon Bits
Blue Cheese Crumbles
Mushrooms
Banana Peppers
Hard Boiled Egg
Candied Pecan
Walnuts
Craisins
Croutons
YOUR CHOICE
Base Price + Protein
Chicken...$4.25 Grilled/Fried/Blackened
Shrimp....$4.75 Grilled/Fried/Blackened
CAB Shaved Ribeye...$4.75
Ham-Turkey-Provolone Pinwheel...3.99
Pepperoni-Salami-Provolone Pinwheel...3.99
Freshly Sliced Turkey...3.99
Freshly Sliced Ham...3.99
Fresh Pepperoni...3.25
Fresh Salami...3.25
Impossible Burger...6
PICK ONE
Want Extra? +$.99 Each
Peppercorn Ranch 1000 Island Strawberry Vin
Honey Mustard Blue Cheese Balsamic Vin
Caesar Cabernet Vin
Vegan & Vegetarian Approved Below
Greek Vin
Blended-Oil & Vin
FAMOUS WINGS
Smoked wings may contain a pink hue. Due to caramelization while cooking wings may come out darker than expected. Monk wings are not traditional Buffalo wings. Please no all drum or flat requests.
See Server For Pricing 8 Wings Per Order
Savory
Garlic-Parm
Thai-Honey Butter
Vanilla Rum BBQ
General Tso
Carolina Tang
Spicy
Teriyaki M1 Sauce
BBQ
Chili-Garlic Tsunami
Monk Fire
Hot-Yaki
Hot-Lemon Pepper
Dry Rub
Hot
Mild
Hot-Parmesan
Sweet Bourbon Hot
Mango Habanero
Lemon Pepper
Old Bay
Double House Rub
*Consumer Advisory - Consuming raw or undercooked food may increase your risk of foodborne illness
"Did we just become best friends?"
"Yup"
-Brennan Huff & Dale Doback
BURGERS
INCLUDES ONE SIDE
WELCOME TO BURGER SCHOOL
RARE - Barley cooked, red mooin
MED-RARE - Somewhat cooked, reddish-pink, kinda mooin
MED - Most common, some pink, flavorful & juicy
MED-WELL - Tiny bit pink..if any. Approaching the dry side
WELL - Woof. Don't do it. Hocky Puck. So long flavor.
PLEASE DO NOT ORDER A WELL DONE BURGER AND SAY IT DOESN'T HAVE ANY FLAVOR
*RED WHITE AND BLUE
Classic American cheeseburger with lettuce, tomato, American cheese and onion
14.99
CHIPOTLE BLACK BEAN BURGER
Black bean burger topped with spicy aioli, lettuce, tomato and onion
13.50
*FAMOUS MONK BURGER
Pepperjack cheese, Applewood bacon, lettuce, tomato, onion and a creamy blend of peanut butter
15.99
*AMERICAN PRIDE
Classic American cheeseburger with lettuce, tomato, American cheese and onion served with fries and five famous monk wings with your choice sauce
See Server
MAC DADDY BURGER
House made Mac and cheese, Applewood bacon
15.99
*RODEO BURGER
Dry rub seasoned burger topped with bacon, cheddar, spicy aioli, BBQ sauce and onion rings
15.99
*POGUELANDIA BURGER
Caribbean seasoning, pepper jack cheese, tropical pico, banana peppers, lettuce, tomato, onion, vanilla rum BBQ sauce
15.99
*BACON MUSHROOM SWISS
Sautéed mushrooms, bacon, Swiss cheese, lettuce, tomato, onion
15.99
*HANGOVER BURGER
Cheddar cheese, Applewood bacon, lettuce, tomato, onion and an over easy egg
15.99
HANDHELDS
INCLUDES ONE SIDE
THE "DOUGIE"
(2) Hand breaded chicken tenders lightly fried and tossed in Buffalo sauce, covered in provolone and stuffed in a toasted hoagie with lettuce, tomato, onion and mayo
14.99
*FRENCH DIPPER
Shaved Certified Angus Beef Ribeye, Swiss cheese, and sautéed onions, served in a toasted hoagie with a side of au jus
15.99
PULLED PORK SAMMICH
Slow roasted pork with sweet BBQ sauce and house made cole slaw on a brioche bun
13.99
ATLANTIC FLOUNDER
Fresh Atlantic flounder lightly fried and served with tomatoes, lettuce, and house tartar sauce on a toasted hoagie
15.99
MONK BUFFALO
Choice fried or grilled chicken breast tossed in Buffalo sauce, provolone cheese, lettuce, tomato and onion
14.99
*MONK WENT UP TO PHILLY
Cheddar cheese, peppers and onions. Choice of chicken or CAB shaved ribeye
15.99
THE DOUBLE MAHI
Blackened Mahi Mahi, lettuce, tomato and onion served on Brioche with a side of tartar sauce
15.99
SOUTHERN TRADITION
Pecan breaded fried chicken stuffed between two house made waffles, served with lettuce, tomato and drizzled in honey with a side of maple syrup
14.99
OLD MACDONALD'S GIANT CLUB
Double decker club stuffed with freshly sliced turkey, ham, bacon, lettuce, tomato, American cheese, mayo, and onion served on toasted white bread
14.99
INCLUDED
Fries, Tots, Cole Slaw,
Side Salad, Caesar Salad
OPTIONAL +$1.50
Mac & Cheese, O-Rings,
Daily Vegetable or Starch
GRUMPY MONK CO.
EST. 2015
"You don't smell like Santa. You smell like beef and cheese"
- Buddy The Elf
VEGAN & VEGETARIAN
SOUTHERN PICKLES 8.99
Fresh pickle chips hand battered and fried served with house made ranch
CHIPS & QUESO 10.38
Tortilla chips, house made queso
FRIED GREEN TOMATOES 9.99
(5) Cut fresh in house, hand battered, lightly fried and served with sweet and spicy aioli
BIG OL’ PRETZEL 13.5
Huge Bavarian pretzel topped with pure Bavarian salt. Served with yellow mustard and house queso. Share with friends!
IMPOSSIBLE BURGER 14.99
Impossible Burger, lettuce, tomato, onion
BYO SALAD OPTION
See salad page for offerings
CHIPOTLE BLACK BEAN BURGER 13.50
Black bean burger topped with spicy aioli, lettuce, tomato and onion
Note: To be vegan remove aioli
Vegetarian = 🥕 Vegan = 🥑
Gluten Free?
No problem!
Switch any bun to a gluten free bun +$1.50
ENTREES
INCLUDES TWO SIDES
SMOTHERED CHICKEN 17.99
(2) Grilled freshly blackened chicken breasts smothered in cheddar cheese, sautéed onions, peppers and mushrooms
CALABASH SEAFOOD PLATTER 22.99
A fresh plate of hand battered, East coast Calabash style shrimp and flounder
TERIYAKI GLAZED SALMON 21.99
6oz Atlantic salmon drizzled with Teriyaki sauce and covered with a pineapple-mango salsa
GREEK CHICKEN 17.99
Grilled chicken covered in roasted red peppers, black olives, spinach, tomatoes, feta cheese and greek dressing
BIG KID CHICKEN FINGERS 15.99
(5) All white chicken tenders freshly dipped in buttermilk, hand breaded and golden fried. Add choice wing sauce…50
MAHI-MAHI TACOS 18.99
(2) Blackened Mahi-Mahi tacos covered tropical pico and served over tequila-lime cabbage slaw
CAROLINA CRAB CAKES 21.99
(2) Blue lump crab cakes made from scratch and served with a side of tartar sauce
LOBSTER ROLL 21.99
Lobster chunks, mayo, lemon zest, assorted seasonings on a split top brioche bun
Note: These are not Maryland Style
SIDE ITEMS
Fries, Tots, Cole Slaw, Side Salad, Caesar Salad
Mac & Cheese, O-Rings, Daily Vegetable or Starch
"It's not a purse. It's called a satchel and Indiana Jones wears one"
-Alan Garner
GRILLED CHEESE
INCLUDES ONE SIDE
PHILLY CHEESE GRILLED CHEESE 14.99
CAB Shaved steak, peppers, onions, cheddar cheese
CALIFORNIA BLT GRILLED CHEESE 14.99
Avocado, bacon, lettuce, tomato, ranch, mozzarella
MAC & CHEESE GRILLED CHEESE 14.99
Creamy house made mac and cheese, bacon bits, toasted white bread
SEAFOOD TRAYS
SERVED FRIED WITH FRIES & SLAW 15.99
Shrimp
Oysters
Mahi Bites
Scallops
Flounder
FOR THE KIDS
Kids 10 & Under 8.40
PICK ONE
Hamburger
Cheeseburger
Chicken Fingers
Mac & Cheese
Grilled Cheese
INCLUDED
Soda
Tea
Water (Free Refills)
PICK ONE
Fries
Tots
Apple Sauce
OPTIONAL
+.25 Shirley Temple
+$2 Milk (No Free Refills)
WRAPS
INCLUDES ONE SIDE
CLUCK OINK RANCH WRAP 14.99
Fried chicken, bacon, cheddar cheese, lettuce, tomato, onion and house made ranch all rolled in a soft tortilla
BLT WRAP 13.52
Applewood smoked bacon, lettuce, tomato, spicy aioli
TURKEY WRAP 13.52
Freshly sliced turkey, lettuce, tomato, onion, Swiss cheese, house made pesto-mayo
INCLUDED
Fries, Tots, Cole Slaw, Side Salad, Caesar Salad
OPTIONAL +$1.50
Mac & Cheese, O-Rings, Daily Vegetable or Starch
DID YOU KNOW?
Each Grumpy Monk location has a hidden Buffalo Bills logo inside
|
DON'T MISS IT!
Sept 21 & 22
BAYSHORE INN
VANCOUVER
CANADA
RPM Weekly
COMMUNICATION NINE
DISTRIBUTION CHANGES FOR MUSHROOM LABEL
The Vancouver-based Mushroom Records has shifted its eastern Canadian distribution to A&M Records, which has also been granted exclusive rights to distribute Mushroom product in Ontario, Quebec and the Maritimes. In addition, Shelly Siegel, national sales and promotions manager for Mushroom has also formed a deal with A&M to handle Mushroom product in Denver, Michigan, Ohio and Pennsylvania, taking over for other U.S. distribution territories.
Mushroom is now distributed by Emerson Music/British Columbia, Taylor Pearson & Carson/Alberta and Laura Records/Ontario, Siegel is just wrapping up a cross country tour of Mushroom that has resulted in eastern Canadian radio stations jumping on his single, "I Love Will Get You", produced by George Struth. The single has received exceptional support in radio and has received showing signs of success in the Decca/Columbia (CKCM) market. Just released on Mushroom is Songbird's "Lay Me Down" and "I'm Gonna Be Your Dirty Work", produced at Can-Casie by Mike Flicker. Alexs is back on the scene again with "Crazy Love", a reworking of a song originally published through B.C. Music-BMI. Production chores for this Can-Cassie session were handled by Steve Douglas with arrangements by George Struth.
"Ain't Two's none record label, taped "live" at Vancouver's Gaspar Jackie will be ready for release in Vancouver in conjunction with an eastern Canadian tour. He is set for Montreal, Toronto, New Brunswick and Halifax by Mt. Allison/U.Sackville, N.S., [1], Acadia, Sackville, N.S., [2], Dalhousie, U/Halifax, N.S., [3], St. Francis Xavier/U Antigonish [16], Xavier Jr./College/Sydney [17], Memorial U/S. John's [19].
QUALITY PREPARES ARGUE PROMOTION
Quality Records recently announced the signing of Mitch Argue, who is an exciting recording artist and producer. Almost immediately after the signing, Quality's Mitch Argue, Bob Owen and Gary Slaght, mapped out a national promotion campaign to tie-in with Argue's initial recordings.
The recording deal was firmied by Argue and Quality's management and general manager, George Struth, and the label's A&R director, Bob Morten. The latter will be Argue's producer.
Argue has, until now, relegated himself to behind-the-scenes position, writing material for artists and groups and taking on duties as studio engineer and singer with groups like Argue who, with a member of Argue's wife, wrote the group's big hit of '73, "Make My Life A Little Bit Brighter" which was produced by Quality and released on the Celebration (Quality) label.
The new deal between Argue and Quality's CAPS/ACM publishing, Shadac Music, was finalized by Bill Kearns, manager of Capitol Records and Quality-BMI publishing companies.
Argue and his manager Wayne Thompson of Capitol Records Music (along with Celebration Records) are currently putting together a backup group for a fall tour, dates of which will be announced when firmied.
Cinema Outremont/Montreal [21], Grand Theatre, Quebec City [23] and Ottawa [25-28].
A total of five albums are being scheduled for release by Mushroom before Christmas.
JONES' "LOVIN'" SINGLE RELEASED IN S. AFRICA
Barry Haugen, A&R manager (country) for RCA, reports the South Africa release of Lynyrd Skynyrd's "Loving You" and "I Love Your Kind Of Love". The Tony Wilson original will be released on the RCA label.
A regional radio tour (jumping in back into A&R status) with arrangements for John Arpin, cut to several sides which should see a single release within the next few weeks. A new album is expected by late fall.
PROPHET PROMOTING BROWN & GINO SINGLE
Mitch Prophet has been working well with his self promotion of his Columbia single, "Eastbound Highways", now on an extended country tour. He has been featured recording the Lee Kerslake version of "I'm Gonna Canuck" for use in the theme of a Canadian production, "180 Rooms", filmed at the Grand Central Station in St. Thomas, Ontario. The film series is presently being shown at Grey Buck at Toronto's Mama's Sound Studios.
Prophet has also been doing fairly well with his own schedule of club dates and only nightclubs. He is now appearing with Jeanne Shrimpton at Toronto Café, the Royal York Memorial Gardens [18], the Kitchener/Waterloo Arena and the Maple Leaf Arena in Toronto [19]. He is off to Frankfurt, Germany for a promotion/holiday trip [22].
Pumpkin's Shirley Brown is a twenty-one year old Montreal student of philosophy who has travelled extensively in Canada and Europe, using much of his present knowledge to write his own compositions. His initial single is described as "a traditional song, a story of home". A student of the violin at the age of six, Shirley began her study at the Quebec Conservatory of Music and at the age of 14, she began to compose during this transitional period when he became aware of his writing talents which he found himself expressing on the guitar.
Gay is also a young Montreal singer/composer who is well-known within the Quebec rock circle. He has been playing guitar and has headed up several rock bands and finally decided to record.
Pumpkin Records is Mark Goldman, a twenty-eight year old Montreal music producer, musician and writer, who has taken the first step towards one of the toughest markets in North America and put them to use in the formation of his own company.
As it turned out, "Crazy Life" didn't make any great impact on the market but there was enough interest in it that it was released instead of Gino and Joe virtually playing all the instruments on the session, they had returned to Montreal and picked up four other musicians: Richard Barker, a bassist who had just played local Montreal clubs in the summer, and three members of the semi-successful Canadian band Natural Gas: Andy Gillis on organs and John Marshall on percussion who had just joined. With these new musicians the band went into the studio again and recorded their second album of powerful Powerpop that did justice to its title. It was powerful alright but it didn't sell, it wasn't selling, it wasn't selling. Gino is a very talented guy but he would rather not button hole his style. He is the kind of guy who would say - let me just say that to this writer's ears anyway, he has managed a perfect blend of bossa nova, rock and pop, and he sounds sounding as fresh as anything to come along in the last few years. But the fact remains, Vannelli is the father of "bonoraiarib".
As it became more and more obvious that they weren't going anywhere in the U.S., Richard Burkhardt, who is Herb Alpert's as well as Vannelli's manager, began lining up clubs and concerts for them. He even got official American debut recording contracts for both to Liza Minnelli for two weeks where they was booked for a couple of weeks into Lake Tahoe and Las Vegas.
It was while they were in Las Vegas that I first spoke to Vannelli and was surprised by his very quiet and polite manner when we talked about his uncredited performance. It was just about the time also that CKGM in Vancouver had announced that they were the first club to confirm a Vannelli engagement for him to play in Vancouver on October 1st. At his Vancouver opening A&M invited all of the local press and radio people in the area and they were very impressed. The Kego Club reports that everyone was thoroughly impressed by what they saw and heard.
Soon other stations across Canada started to go on air with the news of the plentiful of Vannelli singles. As the action continued to grow, Burkhardt decided that it was time to look into radio bookings in the Canadian market. The Canadian Broadcasting Corp. was the first club to confirm a Vannelli engagement for him to play in Vancouver on October 1st. At his Vancouver opening A&M invited all of the local press and radio people in the area and they were very impressed. The Kego Club reports that everyone was thoroughly impressed by what they saw and heard.
The past week Vannelli was in Colonial in Toronto, playing at the Royal York and making his debut in that city was so successful that A&M Records, through the offices of Charlie Preve, it was a champagne party and all of the club's 250 seats were bought up by the record company's representatives. Some prominent journalists were flown in from the U.S. and other parts of Canada to see what was happening. Levy one of the editors of the Ft. Lauderdale, Florida-based music paper Zoo World which is the largest music paper of its kind of Canadian talent in the U.S.
In October, Vannelli was in the Concert Circuit, A&M's tour yet to be announced in Ottawa. A North American tour is being considered, the magnitude of which will likely depend on the reaction that Vannelli gets in Canada in the next month.
At the moment, Vannelli stands a good chance of being the next Canadian artist to make a significant impact on the international charts. He is very high on my list of prospects anyway. There are very few others on the roster that are making gains as Vannelli is. He is a very talented guy that certainly has to make him an even bigger favorite. At any rate make that $10, to show Mr. Bookmaker, Martin Melhusky/Billboard
VANNELLI CAPTURES VANCOUVER MARKET
Aug. 25/74
Just finished working with Gino Vannelli and his band. Gino is one of the most talented artists in the music business today. He played one week at the Kego Club here in Vancouver. What a promotion! It's so easy to get blue towards many artists especially when the artist isn't an established act. Gino Vannelli, at the present time, isn't a household word, but I predict that he will be a house word, maybe even before the year is out.
Gino is like a breath of fresh air - his music and vocals are truly unique and fresh. He has put together a band that doesn't have a lot of experience, etc., and they are all excellent musicians. They've also worked on their stage presence - lighting sound and it's all very tight and truly professional.
I can't say enough in regard to Vannelli's music. He's a well-rounded entertainer who's taking the time to really learn the business.
Bruce Bisel
A&M Records
Vancouver
SEE YOU AT C9 - VANCOUVER
Some interesting facts about the record business
The record business has been getting a big boost lately because the growth of the record business and of the phonograph industry have made good reading as the public learns about the enormous strides being made within the industry.
Record sales in North America will hit a record high over $10 billion dollars this year, according to some sources, which have been compared to movies, estimated at $2.5 billion, and professional sports with approximately one-third the two billion. It has made interesting reading to the public and is an excellent promotional hype for the industry.
According to the latest population figures United States and Canada, this country should experience two hundred million dollar record sales this year. Recent figures have indicated an industry of one hundred and thirty million or, six and a half percent of the North American market.
The gigantic growing words have been properly stretched out, but the public becomes more and more interested in records and record companies with more feature films available to North America, the record industry continues to grow.
Record "superstars" will earn more than two million dollars this year, whereas this year and a million dollar LP (dollar gross) is now making way for a million seller (units sold).
CAPITOL MUSCLE GIVEN TO STAMPEDEERS U.S. RELEASE
Canada-U.S. has launched one of the most aggressive, most unique, promotions ever afforded a Canadian group, The Stampedeers, with a major U.S. release on their own Music World Creations label in Canada distributed by Quality), and now off Capitol Records. The reasons for the label and indications that are this one, "New Day" album, are many for them. Their first release, "From The Fire," turned them into focus as having much FM appeal and tremendous radio airplay all over, the Canadian-critic-muth, that the Stampedeers "strictly for home poopers." Peter Goddard, Fredrickson, (Toronto) who produced and toured their recent Forum (Ontario Place) concert and discovered the band's new material, "New Day," that tunes were played in concert but were not emphasized. Instead of being with a major label, they have seen an increased importance, constructing the music totally, their own way.
The U.S. market is now a pretty ripe time for the Stampedeers and their "new sound". The group and their manager, Mel Shaw, flew into Los Angeles last week to sign with Capitol Inc., execs and then up to San Francisco Aug. 23rd to sign with Capitol's Bill Graham, Dates in Portland (27) and Seattle (28) followed, the group returning to the east coast of the Americas. The tour which, at least reports was being held in Nashville, Tennessee (Aug. 29).
Television specials were also on tap including "Music World Creations" (Sept.) and the syndicated "Rock Concert" (11).
Concert dates, arranged by Premier, have been set in the meantime. The Stampedeers have signed a bill with one of the top men in the business, including the James Gang, Gary Puck, Oak-Akane, Slick, Memphisville Station, and others. Their dates have taken them throughout the United States and Canada.
Their "New Day" album, released on the Music World Creations label in Canada, has been getting a lot of play on the Canadian promotion network. "New Day" breakfast kits, which include the group's new single (orange juice, Kellogg's "K", melba toast, marmalade) have been shipped to programmers, along with other items, to be used by a heavy concentration of hype in the major markets. In the U.S., according to George, Gary Slaight and Joe Owens, will be matching, if not bettering, the south of the border campaign for "New Day".
Carole King's "Tapestry" LP has reportedly grossed $75 million dollars.
During the sixties the Beatles made $100 million dollars in record sales alone.
Add to this the money earned by artists from tours and appearances and the stars of rock are the biggest grossers in the history of entertainment. Many of these stars live today in the mansions that were the homes of movie stars during the heyday of the movie industry.
According to the consumer press, rock stars are becoming the heroes of the seventies, stars of music, with 150 millionaires among the airline pilots to take them to their tours. They are also surrounding themselves with their own private jets. The days when the Hollywood stars became known for, during the fifties and sixties, their expensive movie stars. The actual recording artists are getting the biggest boost in the consumer press, but music producers, concert entrepreneurs, songwriters and record company owners are doing equally as well and living in the same manner.
As a weekly to the trade, we indulge very little in this kind of "puff."
In the consumer press, this kind of publicity can't harm the business, the more you give them to write about, the bigger the publicity they get and the more record sales are assisted by this kind of press.
As the movie business killed off their star system, so the record business killed off the record business acquired it. With all its advantages, the superstar status of the industry could have been a disaster.
In Canada, although we haven't had artists who have become great superstars, we have produced a number of big hits internationally.
With the growth of the industry, Canada could continue to build supremacy in the international market. The industry is growing and the timing seems to be right for a Canadian superstar to happen, but it would have to happen in Canada first. It's something to work for and better than just sitting back and waiting to see what is happening. We could and should make something happen.
KAYE'S TIGER PEOPLE
RELEASED ON POLYDOR
Now that Kaye Koyd, the Montreal-based Tiger People, have given the red carpet promo treatment by Polydor for their released single, "Gimmeechawoochie" (Grammy Award winner), the plug side was written and arranged by Art Phillips and produced in Montreal by Ben Kaye.
The Tiger People release is part of the production agreement between Polydor and Ben Kaye Associates. The first single, "Singing A-Lang" by Tinker's Moon, a group of Montreal musicians, who have already captured several markets across Canada, and has picked up U.S. action where the group has been signed to the Polydor label.
The Tiger People single has been scheduled for release in the U.S. by the end of August, and that time, Mark Berman, the singles program manager for Polydor, hopes to have his national Canadian picture set for the group.
Some interesting facts about the record business
The record business has been getting a big boost lately, because of the growth of the music industry. Many of the people working in the industry have made good reading as the public learns about the enormous strides being made within the industry.
Record sales in North America will hit a record well over one billion dollars this year, coming to some surprising results. This has been compared to movies, estimated at $1.5 billion (two-thirds of all professional sports with approximately one-third the two billion). It has made interesting reading to the public and is an excellent promotional hype for the industry.
According to the proportion of population in Canada and the United States, this country should experience two hundred million dollars worth of record sales this year. Recent figures have indicated that the industry of one hundred and thirty million or six and a half percent of the North American market.
The gigantic growth of records has been prompted by the rock revolution, but the public becomes more and more interested in records of all types each year, and with more interest time available. In the United States, the record industry continues to grow.
Rock's "superstars" will earn as much as two million dollars each year this year and a million dollar LP (dollar gross) is now making way for a million seller (units sold).
CAPITOL MUSCLE GIVEN TO STAMPEDERS' U.S. RELEASE
Capital U.S. have signed one of the most talented and unique, promotions ever afforded a Canadian group, The Stampeders, who have just released their first single on their own Music World Creations label in Canada distributed by Quality. Now off to the United States, the release for the label and indications are that this one, "New Day", will be a major hit for them. Their first release, "From The Fire" brought them into focus as having much F M appeal and even though, after all, the Canadian-circlu-myth, that the Stampeders were "strictly for teeny-boppers". Peter Goddard, Fredrickson, and the rest of the group, took out their recent Forum (Ontario Place) concert and discovered the band's new major appeal. The group was then engaged to play concerts but were not enough to warrant a record deal. But, Martin Rich Doolan showing an increased importance, constructed new music, "tootin' their own horn".
The U.S. market is now extremely ripe for the Stampeders and their "new sound", the group and their manager, Mel Shaw, have left Los Angeles for a meeting with Capitol Inc. execs and are up to San Francisco (Aug 23) to complete the deal. Bill Graham, Dates in Portland (27) and Seattle (28) followed, with the group returning to the east and playing at the Saratoga Ballroom, which, at last reports, was being held in Saratoga (Aug 29) and Boston (Sept 2).
Television specials were also on tap including "The Midnight Special" (Sept 10) and the syndicated "Rock Concert" (11).
Concert dates arranged by Premier, have been on the itinerary. The Stampeders have been offered a bill with many of the top names in the business including the James Gang, the Doors, the Kinks, the Grateful Dead, Jefferson Starship, and others. Their dates have taken them throughout the southern states, and the group is now in the process of booking their "New Day" album, released on the Music World Creations label in Canada, has been given a major push by Quality's promotion network. "New Day" breakfast kits, which include the group's new single (orange juice, Kellogg's "K", melba toast, marmalade), have been shipped in large quantities, along with a letter to the album, to be followed by a heavy concentration of hype in the major markets. The group's manager, Gary Slaight and Joe Owens, will be pushing, if not bettering, the south of the border campaign for "New Day".
Carole King's "Tapestry" LP has reportedly grossed $75 million dollars.
During the sixties the Beatles made $100 million dollars in record sales alone.
Add to this the money earned by artists from tours and appearances and the stars of rock are the biggest grossers in the history of entertainment. The places they live today in the magazines that were the homes of the movie big shots during the heyday of the movie industry.
According to the consumer press, the stars have become the big stars of the seventies and living in much the same style as the stars of motion pictures, with limousines and private jets, and a lot of their own. They are surrounding themselves with the trappings of success. The old Hollywood stars became known for, during the fifties and sixties, as the movie boom. The actors recording albums and getting the biggest boost in the consumer press, but many record producers, concert entrepreneurs, songwriters, and record company owners are doing equally as well and living in the same style.
As a weekly to the trade, we indulge very little in this kind of "puff".
In the consumer press, this kind of publicity can't hurt the record sales and the more you get them to write about, the more the interest in your product grows. Record sales are assisted by this kind of press.
As the music business killed off their star system for the conglomerate, the record business acquired it. With all its advantages, the superstar status of the industry could have been disastrous.
In Canada, although we haven't had artists who have become great superstars, we have produced a number of big stars internationally.
With the growth of the industry in Canada could come up with a formula for the international market. The industry is growing and the timing seems to be right for a Canadian superstar. It could happen, but it would have to happen in Canada first. It's something to work for and better than just sitting around and complaining about what is happening. We could and should make something happen.
KAYE'S TIGER PEOPLE
RELEASED ON POLYDOR
New to the Ben Kaye fold, the Montreal-based group, The Tiger People, received the red carpet promo treatment by Polydor for their just released single, "Gone Wenchawoochie". The group, which is from Miami, the plug side was written and arranged by Art Phillips and produced in Montreal by Ben Kaye.
The Tiger People release is part of the production agreement between Polydor and Ben Kaye Associates. The group, "Gone Wenchawoochie-A-Lang" by Tinker's Moon, a group of friends, has been on the airwaves and already captured several markets across Canada and has picked up U.S. action where the single has been released on the Polydor label.
The Tiger People single has been scheduled for release in the U.S. by the end of August. At that time, the group's manager, Art Phillips, hopes to have his national Canadian picture set for the group.
### RPM Top 100 Singles (51-100)
| Rank | Artist | Title | Label | Catalog |
|------|--------|-------|-------|---------|
| 51 | SWEET HOME ALABAMA | Lynyrd Skynyrd | MCA 40238-J | |
| 52 | FINDER'S KEEPERS | The Beach Boys | MCA 40239-J | |
| 53 | MOST LIKELY YOU'LL GO YOUR WAY (AND I'LL GO MINE) | Bob Dylan and The Band | Warner Bros. 12163-W | |
| 54 | ROCK THE BOAT | The Beach Boys | RCA APMO-432-N | |
| 55 | MACHINE GUN | Manowar | 1307-Y | |
| 56 | THAT'S JUST HOW IT GOES | Elton John | 1308-Y | |
| 57 | EYES OF SILVER | Diodore Brothers | Warner Bros. 1352-P | |
| 58 | RIVER'S RISIN' | The Beach Boys | Epic 11143-M | |
| 59 | MOONLIGHT SPECIAL | Paul Revere & The Raiders | Bambi 601-T | |
| 60 | STEPPIN' OUT (DONNA BOOGIE TONIGHT) | Donny Osmond and Dawn | Warner Bros. WB 7038-P | |
| 61 | HAPPINESS IS JUST AROUND THE BEND | Man Impalas | RCA 13052-D | |
| 62 | DON'T KNOW MY LOVE | Country Joe & The Fish | Warner Bros. 1309-P | |
| 63 | CAN'T GET ENOUGH | Del Shannon | Atlantic 70615-P | |
| 64 | EMBRACE MY EYE | The Beach Boys | Warner Bros. WB 7038-P | |
| 65 | DON'T CHANGE HORSES (IN THE MIDDLE OF STREAM) | Tower Of Power | Warner Bros. WB 7038-P | |
| 66 | I WANT YOU TO LOVE ME | Jackie Jackson | ABC 40238-J | |
| 67 | GOOD DAY | The Beach Boys | MCA 40239-J | |
| 68 | LOVE WILL GET YOU | The Beatles | MCA 40238-J | |
| 69 | I'LL BUY YOU | The Monkees | MCA 40239-J | |
| 70 | A NEW ROCK & ROLL | Kool & The Gang | Kool & Kool 4562-U | |
| 71 | IT COULD HAVE BEEN ME | MGM | SMG 7034-Q | |
| 72 | LOVER'S CROSS | The Beach Boys | MCA 40239-J | |
| 73 | ROSES ARE RED | Westerly | 1360-V | |
| 74 | CAREFREE HIGHWAY | Gordon Lightfoot | Warner Bros. WB 7038-P | |
| 75 | NEVER MY LOVE | The Beach Boys | Capitol/EMI 3938-F | |
### RPM Top 100 Singles
| Rank | Artist | Title | Label | Catalog |
|------|--------|-------|-------|---------|
| 76 | IRMY MACK | Charly Brown | ABUM 37-V | |
| 77 | NEEDS FOR THE STALLION | Charlie Rich | 2155-F | |
| 78 | SLUGGAR LUMP | Little River Band | Warner Bros. WB 21033-T | |
| 79 | TELL HER LOVE HAS FELT THE NEED | Michael McDonald | Motown 54266P-Y | |
| 80 | SURFIN' U.S.A. | Beach Boys | Capitol 3504-F | |
| 81 | LETTERS | The Beach Boys | Warner Bros. WB 7038-P | |
| 82 | LOVE YOU BACK TO GEORGIA | Bob Seger | Warner Bros. WB 7038-P | |
| 83 | SECOND AVENUE | The Beach Boys | Small Record Company SRA.0901-T | |
| 84 | KALIMBA STORY | Kalimba | Columbia 46070-H | |
| 85 | THIN MAN | David Bowie | Warner Bros. WB 7038-P | |
| 86 | STOP AND SMELL THE ROSES | Cat Stevens | Columbia 3-10163-H | |
| 87 | SKIN TIGHT | Cher | Mercury 73089-G | |
| 88 | CLICHES | Clutch | Polydor 1429-Q | |
| 89 | TRAVELLER'S PRAYER | Cat Stevens | Columbia 3-10163-H | |
| 90 | WOMAN IN SUMMER PARTY | Cat Stevens | Columbia 3-10163-H | |
| 91 | LOVE ME FOR A REASON | Otis Redding | MCA 40740-Q | |
| 92 | THE BITCH IS BACK | The Beach Boys | MCA 40239-J | |
| 93 | ROCK & ROLL HEAVEN | The Beach Boys | MCA 40239-J | |
| 94 | LOVE IS THE ANSWER | Van Morrison | ABC 40238-J | |
| 95 | STRAIGHT SHOOTIN' WOMAN | Shania Twain | Warner Bros. WB 7038-P | |
| 96 | ANOTHER LOVE | Kama Sutra | 694-M | |
| 97 | LOVER'S GONE | The Beach Boys | MCA 40239-J | |
| 98 | ROCK MY ROLL | Bill Armstrong | Warner Bros. WB 7038-P | |
| 99 | FALLIN' IN LOVE | Southern Hilltop, Furry Band | Atlantic 70615-P | |
| 100 | THE NEED TO BE FREE | The Beach Boys | Buddah 420-M | |
### Capitol/EMI Canada
Capitol/EMI Canada have stepped activity in their A&R department where they have been winning the most battles to bring their artist roster into its proper perspective. The signing recording and developing of many Canadian artists is the responsibility of Paul White, the label's director of artists and repertoire and executive vice president.
Says White: "We have developed a completely new look as far as our artist's roster goes, and as a company, we are restructuring our thinking, too." Capitol/EMI are apparently far ahead of the music industry last year, "Capitol/EMI Canada is now more totally involved at all levels of an artist's career development," claims White, adding: "We are there to assist in developing an artist who wants to gain exposure, attract prospective managers, and bookers, and we are there to help further the overall expansion of someone creative who has faith in Capitol when they sign with us."
White reports that the actual studio time used by the label in July and August this year was the most it has used in the first six months of last year, although he can't any indication of a trend, which could account for 1974 Capitol's biggest year in the studios. White's of the opinion that by early Winter, Capitol will have one of the strongest line-up of potential international talent from any company - Canadian or otherwise.
White explains: "My main objective is to let the artists who sign with us go into the studio and express themselves on tape with the freedom of freedom, creative support and the freedom of having such acts get to work with a producer, and if both sides like what they hear, then we let them go into the studio and create. We do demos with our acts and various producers, but we also do 'actual recordings'. Producers have become very important to us. In the past, traditionally, producers are so important to my function as anyone. We have come up with people at Capitol who are the independent producers who work on projects for us, more financial rewards, as the company and our artists do."
There has been a great deal of comradeship among the staff and Capitol's A&R department. What has been happening on the Canadian group seem would appear to have been found in the Capitol camp team spirit. White has found: "For example, we find our artists are starting to drop into the studio sessions and are staying to add something to a track. Sessions are also coming back, long after their job is completed, just to see how a particular song sounds. What we're doing is getting along."
New artists signed to Capitol/EMI Canada include West Egg, a pop vocal group; Peter Donato, a potentially powerful songwriter/performer; and the five-piece instrumental rock/jazz group from Montreal who were showcased at the Capitol/CHUM Youth Day concert in Montreal. Donato is a bar singer who will shortly bow the scene with his album "The Last Time."
Christopher Keeney, although with Capitol for several years, is considered a new artist. He is now signed directly to Capitol, having a new single which is ready to roll off "in a new direction."
French Canadien have also been busy with French language product. Top of their list is Suzanne Stevens, who recently struck a happy chord with French and English programmers with "La Soleil". Reaction was enough for Capitol to go on an English language tour with "La Soleil Of U.K.", which established the young bilingual star with programmers throughout the country. A French language album is to be released shortly, to be given to her with her new distribution.
Other Capitol hopefuls ready for the market are Karel, Bob Dommage, New Potatoes, Alanis and others.
Edward Bear are off and looking good with their "I Freedom For My Sister" single. Anne Murray's latest album, "Anne Murray Country" has been released to coincide with her major U.S. tour with her single, "Just Like Me". Her new single, "I'm Not Afraid" and "Son Of A Rotten Gambler" (her country debut) will roll out soon.
Waiting in the wings is Gene MacLellan, off the scene for sometime, but now readying an album for release.
As a footnote, White points out that: "most of the new acts are still in the process of recording, adding that "we've looked over all of the labels and sitting back, but as people can see by the new names and the amount of money we've put in, we've been working even harder in this past year to find talent, enthusiasm, and the right marketing, and sales running higher than when we first cracked into the international scene a few years ago. You know, our job at Capitol is to discover and nurture Canadian talent, and the international market for them. We are still on the lookout for new signings to our label. We're going into a new era at Capitol Canada".
### U.S. RELEASE FOR STONE ON PRIVATE STOCK LABEL
J.C. Stone's "Carrie's Gone" is being scheduled for release in the U.S. on the private stock label, Lao Records. The deal was formed by Leo's president Robert Lao and his brother, Michael Lao Stock. The Vancouver-based Lao label, part of a complex comprising UBC Records, has been releasing a number of Canadian sessions are produced at Little Mountain Sound. Initial releases included the Stone single, now a hit in Canada, and Capitol's "Ain't Nothin' But A Heartache", and "Candy Baby" by Strongheart. The latter was released on the UBC label and, like the Stone single, has received heavy play throughout the west.
### RPM Top 100 Singles (51-100)
| Rank | Artist | Title | Label | Catalog |
|------|--------|-------|-------|---------|
| 51 | SWEET HOME ALABAMA | Lynyrd Skynyrd | MCA-4028-F | |
| 52 | SYMPHONY OF ANGELS | Foster's Mood | RCA-239-0 | |
| 53 | MOST LIKELY YOU GO YOUR WAY (AND I'LL GO MINE) | Bob Dylan and The Band | Warner Bros. 7932-P | |
| 54 | ROCK THE BOAT | Harry Nilsson | RCA-APRO-032-N | |
| 55 | MACHINE GUN | Morisset 130-Y | |
| 56 | THIS IS HOW IT GOES | Bluegrass Revival | Atlantic 7016 | |
| 57 | EYES OF SILVER | Doobie Brothers | Warner Bros. 7932-P | |
| 58 | RIVER'S RISIN' | Foghat | Epic 5-11143-H | |
| 59 | MOONLIGHT SPECIAL | Surfin' Safari | Barnaby 60-H | |
| 60 | STEPPIN' OUT (GINNA BOOGIE TONIGHT) | Tom Jones and Dawn | Warner Bros. 7816-P | |
| 61 | HAPPINESS IS JUST AROUND THE BEND | Man In Plastic | RCA-239-0 | |
| 62 | DON'T KNOW MY LOVE | Cliff Davis & Marvin Gaye | Murren 1289-E | |
| 63 | CAN'T GET ENOUGH | Del Shannon | Atlantic 7016-P | |
| 64 | BREAKER MY EYE | Chuck Berry | Capitol 4003-T | |
| 65 | DON'T CHANGE HORSES (IN THE MIDDLE OF STREAM) | Town Of Poolesville | Warner Bros. 7816-P | |
| 66 | I WANT YOU TO LOVE ME | Susan Jacks | Columbia 10013-H | |
| 67 | GOOD DAY | Cliff Richard | CBS 12357-T-T | |
| 68 | LOVE WILL GET YOU | The Beatles | Apple 5003-T | |
| 69 | DO IT BABY | The Miracles | Motown 130-Y | |
| 70 | A NEW ROCK & ROLL | Kurt & Kist | 4022-U | |
| 71 | IT COULD HAVE BEEN ME | Gerry & The Pacemakers | MGM South 7034-Q | |
| 72 | LOVER'S CROSS | Nino Tempo | Neophonic 4215-M | |
| 73 | ROSES ARE RED | Weezerland | Vee Jay 190-V | |
| 74 | CAREFREE HIGHWAY | Gordon Lightfoot | Warner Bros. 7816-P | |
| 75 | NEVER MY LADY | The Beatles | Apple 5003-T | |
| 76 | FREEDOM FOR THE STALLION | Marty Robbins | MGM 5714-F | |
| 77 | SUGAR LUMP | John Hiweswood | Warner Bros. 7934-T | |
| 78 | TELL HER LOVE HAS FELT THE NEED | Montrose | Mute 56249-F | |
| 79 | SURFIN' U.S.A. | Beach Boys | Capitol 3554-F | |
| 80 | LETTERS | Alvin Lee | A&M 371-F | |
| 81 | I LOVE YOU BACK TO GEORGIA | Jimi Hendrix | AM 1001-H | |
| 82 | SECOND AVENUE | The Beatles | Apple 5003-T | |
| 83 | KALIMBA STORY | Small Record Company SRA.0001-T | |
| 84 | MAN | The Beatles | Capitol 4003-T | |
| 85 | STOP AND SMELL THE ROSES | Cliff Davis & Marvin Gaye | Murren 1289-E | |
| 86 | SKIN TIGHT | Osiris Players | MGM South 7039-Q | |
| 87 | CLICHES | The Beatles | Apple 5003-T | |
| 88 | TRAVELLIN' MAN | The Beatles | Capitol 4003-T | |
| 89 | WONDERLAND PARTY | Wreckless Eric | Columbia 5 10013-H | |
| 90 | LOVE ME FOR A REASON | Cliff Davis & Marvin Gaye | Murren 1289-E | |
| 91 | THE BITCH IS BACK | The Beatles | Apple 5003-T | |
| 92 | ROCK & ROLL HEAVEN | The Beatles | Apple 5003-T | |
| 93 | LOVE IS THE ANSWER | Van McCoy | A&M 371-F | |
| 94 | STRAIGHT SHOOTIN' WOMAN | Sherrill Milnes | MGM South 10023-H | |
| 95 | ANOTHER LOVE | Kama Sutra 504-M | |
| 96 | CARLIE'S GONE | Lou Reed | Columbia 10013-H | |
| 97 | LOOK MY ROLL | Dick Armey | Vee Jay 190-V | |
| 98 | FALLIN' IN LOVE | Southern Hilltop, Furry Band | Atlantic 7016 | |
| 99 | THE NEED TO BE | Bobbie Gentry | Buddah 420-M | |
### RPM Top 100 Singles ALPHABETICALLY BY TITLE
| Title | Artist | Label | Catalog |
|-------|--------|-------|---------|
| All Stuck Up | (50) | | |
| Annie's Song | (42) | | |
| Another Saturday Night | (16) | | |
| Baby I'm Yours | (43) | | |
| The Bitch Is Back | (92) | | |
| Can't Get Enough | (63) | | |
| Call On Me | (41) | | |
| Can't Stop | (50) | | |
| Can't Stop Laughin' | (63) | | |
| Can't Get Enough | (74) | | |
| Can't Stop Laughin' | (12) | | |
| Carrie's Gone | (93) | | |
| Carry On | (74) | | |
| Catch Me | (15) | | |
| Clutching At Straws | (69) | | |
| Come On, Horses... | (85) | | |
| Don't Knock My Love | (62) | | |
| Don't Let Me Be Misunderstood | (25) | | |
| Earache My Eye | (64) | | |
| Easy Rider | (47) | | |
| Fallin' In Love | (99) | | |
| Feelin' Good | (77) | | |
| Free Man In Paris | (50) | | |
| Free As A Bird | (77) | | |
| Good Day | (61) | | |
| Goodbye | (There Baby) | (6) | |
| Goodbye To The World | (61) | | |
| Having My Baby | (You're) | (12) | |
| Have You Ever Been | (44) | | |
| Honesty Love You | (31) | | |
| I Can't Stop Laughin' | (46) | | |
| I Saw A Man And He Danced | (46) | | |
| I Want You | (65) | | |
| I Want You to Love Me | (66) | | |
| I'm Gonna Be Your Baby | (67) | | |
| I'm Only Rock 'N Roll | (23) | | |
| I'm So Glad | (50) | | |
| Kalimba Story | (84) | | |
| Keep On Running | (50) | | |
| Kung Fu | (34) | | |
| Let's Go All Together | (19) | | |
| Letters To The Answer | (94) | | |
| Let's Go To Bed | (81) | | |
| Love Will Get You | (68) | | |
| Love Is The Answer | Georgia | (82) | |
| Lover's Cross | (72) | | |
| Love Me For A Reason | (43) | | |
| Moonlight Special | (58) | | |
| Never My Lady | (Your Way) | (53) | |
| Need to Be | (The) | (100) | |
| Night Rock & Roll | (7) | (70) | |
| Night Rock & Roll | (18) | (70) | |
| Night Rock & Roll | (48) | (70) | |
| People Don't Move | (25) | (70) | |
| People Don't Move | (10) | (70) | |
| Radar Love | (42) | | |
| Rock & Roll That Number | (49) | | |
| Rings | (30) | | |
| Rock & Roll Heaven | (93) | | |
| Rock & Roll Heaven | (4) | | |
| Rock My Roll | (54) | | |
| Rock My Roll | (54) | | |
| Rock My Roll | (73) | | |
| Rub It | (58) | | |
| Shang-A-Lang | (52) | | |
| Sidewalk | (29) | | |
| Steppin' Out | (Gonna Boogie Tonight) | (60) | | |
| Stop And Smell The Roses | (86) | | |
| Straight Shoutin' Woman | (95) | | |
| Sweet Home Alabama | (88) | | |
| Sure As I'm Sittin' Here | (24) | | |
| Sweet Home Alabama | (51) | | |
| That's Not How It Goes | (56) | | |
| That's Not How It Goes | (79) | | |
| This Flight Tonight | (27) | | |
| Time For Livin' | (39) | | |
| Travelin' Prayer | (89) | | |
| What On Earth | (17) | | |
| Who Do You Think You Are | (17) | | |
| Wildwood | (3) | | |
| Wildwood | (3) | | |
| Wonderland Party | (90) | | |
| You & Me Against The World | (11) | | |
| You Can't Stop Laughin' | (44) | | |
| You Haven't Done Nothin' | (24) | | |
| You Little Trustmaker | (48) | | |
### CAPITOL'S A&R TEAM EFFORT CREATES EASY ATMOSPHERE
Capitol/EMI Canada have stepped activity in their A&R department where they have been winning over the young Canadian music scene. The roster into its proper perspective. The signing recording and developing of new Canadian artists is one of all the high points for White, the label's director of artists and repertoire and executive producer.
Says White: "We have developed a completely new look as far as our artist's roster goes, and as company, we are restructuring our thinking, too". Capitol/EMI are apparently now find our artists are starting to drop into place. We've been trying to stay to adding something to a track. Some artists are also coming back, long after their job is completed, just to see how a particular song or artist is doing. We do with is getting along."
New artists signed to Capitol/EMI Canada include: Paul Egg, a pop vocal group; Peter Donato, a potentially great soul singer/performer; Marcia, a fine piece of instrumental rock/jazz group from Montreal who were showcased at the Capitol/CHUM Youth Day at the Forum; and the Caribou, a bar singer who will shortly bow the scene with an album release.
Christopher Kearns, although with Capitol for several years, is considered a new artist. He is now signed directly to Capitol, has a new single out, and is ready to "roll" in a new direction.
The Capitol team have also been busy with French language product. Top of their list is Suzanne Stevens, who has made a quick happy impression on both French and English programmers with "La Soleil". Reaction was enough for Capitol to go with an English language version, "I'm In Love With You", which established the young beauty star with programmers throughout the country. A French language album is to be released shortly, to be given a boost with her new single, "La Soleil".
Other Capitol hopefuls ready for the market are Kathy Beau Domange, New Potatoes, Alain Ouellet, and Lise Lamontagne.
Edward Bear is off and looking good with their "Freedom For The Stallion" single. There is a new album by Anne Murray "Country" has been released to coincide with her major U.S. tour with her single, "Just As Long As You Love Me". Her second, "Son Of A Rotten Gambler" (her country side) is due out as well.
Waiting in the wings is Gene MacLeellan, off the scene for sometime but now reading an album for the market.
As a footnote, White points out that "most of the new acts are still in the process of recording", adding that "we have looked at if the label has been sitting back, but as people can see by the new names and the amount of new artists being active, been working even harder in this past year to find talent. We're doing a lot more marketing, and Sales is running higher than when we first cracked open the international scene a few years ago. Our main goal at our job at Capitol is to discover and nurture Canadian talent, and to develop them into the international market for them. We're going into a new era at Capitol Canada".
### U.S. RELEASE FOR STONE ON PRIVATE STUDIO LABEL
J.C. Stone's "Carrie's Gone" is being scheduled for release in the U.S. on the Capitol label. The deal was brokered by Leo's president Robert L. Sales, who bought the rights to the track. The Vancouver-based Leo label, part of a complex comprising UBC Records, has been handling the distribution. The sessions are produced at Little Mountain Sound. Initial releases included the Stone single, now being reissued as part of Capitol's A&R department. What has been done most on the Canadian group scene would appear to have been found in the Capitol camp - team spirit. While has found "For example, we..."
WINNIPEG FOLK FESTIVAL TO BE AN ANNUAL EFFORT
"It was a success", to use the words of Alitch Podolak, "The 'It' being the Winnipeg Centennial Folk Festival, held August 9-11. Birds Hill Provincial Park, on the outskirts of the city, Mitch and Colin Gorrie were co-ordinators, and prime movers, behind the festival.
The performers liked the festival, the crowds were appreciative and enthusiastic, and hassles were kept to a bare minimum. Attendance, however, was disappointing, though estimated at 30,000 with 20,000 actually attended, and hoped for, 100,000 (RPM, August 5).
Highlights of the evening concerts, as judged by audience response, included Bruce Cockburn, the Allman Brothers Band, Whitey and virtuoso fiddler Jean Carignan (Fri., Aug. 9); Murray McLauchlan and the Canadian Brass (Sat., Aug. 10), and Leon Lendebone (Sun., Aug. 11).
Michael Coombs delighted and charmed the audience in his "Sunday morning Carpenter's Workshop". That workshop along with the Saturday afternoon concert by Victoria yson and showcasing the talents of Mimi Maries Shirley Elkhart among others made the festival a success.
Several relatively unknown performers also received what was probably their first national exposure to large audiences. Included in this group were: a singer/songwriter from Toronto, Winnipeg's Carol Brant, and Jim and Dona Donald, also from the Winnipeg area.
Friday evening's crowd, estimated at 5,000, was the largest festival attendance ever. A list, rated at 12,000, was the most appreciated the performers, "because the liquor stores were closed and we had to get there early."
This year's festival was free due to Winnipeg's centennial and the sponsorship of the city of Winnipeg, the province of Manitoba, the Canada Council, and Coca Cola Canada Ltd.
The CBC's Peter Gwoski, co-host of the show with Winnipeg native Oscar Brand, urged the festival's audience to contribute to next year's proposed continuation of the festival as a major international folk festival in western Canada.
About $2,000 was collected from the Saturday and Sunday crowds. This is at least a start to finding a continuing festival -- a desire of both organizers and performers. Doug Powers
CANADIAN ARTISTS ACTIVE WITH LONDON RECORDS
London Records' Vancouver branch reported increased activity on their product by Canadian artists. The new Chilliwack album, "Chilliwack", has been marketed as selling strongly in the Vancouver area, particularly in the affluent Kitsilano B&B Sound. Stock of the new April Wine album, "April Wine Live" is now hitting the branch. Sales are expected to be brisk as a result of interest in the group's recent appearance on "Fire For You Baby", last week No. 14 at rocker CKLG.
Murray said he intended to put out a country album featuring the pedal steel, played by Olive Strong.
"So far, the song has had a fairly big impact on country and western stations", he added, "I think that's partly because of the fact that country listeners, in general, are more lyric oriented than the pop audience."
Murray's manager, Bernie Finkelstein, said that Murray writes good country songs "so why not put out a country single ... but the song isn't written to be a hit, radio makes the hits."
Murray also admits that the country feel of his new "Shining Star" was probably influenced by the fact that: "The Farmer's Song", his first major hit, first broke in the country charts.
"I have sort of a half-assed loyalty to some country stations and country jocks on the radio", he said. "Also, I like country and western music; I grew up on it, partly. Basically, our music is the same -- Scottish and Irish ballads."
The song has recently crossed over to the pop markets and only time (or history) will tell of its success. Doug Powers
CANADIAN BRASS RECORD IN PARIS
When in France representing Canada at the Festival of the Arts, the Canadian Brass recorded their second album. The session was arranged by Elizabeth Sridhara who produced the group's first album. During the recording of the album's Manta Sound was flown to Paris to act as sound engineer on the session which took place at the famous Studio D'Orsay.
Besides being the first Canadian classical group to record abroad, the session also marked the first time a Canadian technician has been called in to assist in the production of an album recorded in Europe. Greg Henson was also involved in the production of the group's first album.
The Canadian Brass album, produced by Mrs. Sridhara and Dave Green, has been the most successful classical album ever produced in Canada. Their new album, as yet untitled, will be released this coming fall.
Opening night (14) will be a gala evening, sponsored by the Club of Ontario for their special charities.
CKLG promotion inviting contest giveaways and interviews by the giant west coast rockers. His current single, "Moonlight Serenade" is an excellent example of the market.
A chance to dine with the DeFranco Family after the lucky winner of one hundred albums went to a lucky CKNW listener. The single, "Write Me A Letter" would appear to be breaking first on the west coast.
Emerson's fireball promo rep Netupsky with the DeFranco Family.
McLAUCHLAN WAS HIGH ON "SHOESHINE" DECK
"Honesty will vindicate me", was Murray McLauchlan's comment following an altogether overwhelming response to "Shoeshine Working Song", his latest single release.
The populations, in particular, have not been particularly receptive to picking up on the song, either because of its "shoeshine" (sic) or the conspicuous use of pedal steel guitar.
Murray said he intended to put out a country album featuring the pedal steel, played by Olive Strong.
"So far, the song has had a fairly big impact on country and western stations", he added, "I think that's partly because of the fact that country listeners, in general, are more lyric oriented than the pop audience."
Murray's manager, Bernie Finkelstein, said that Murray writes good country songs "so why not put out a country single ... but the song isn't written to be a hit, radio makes the hits."
Murray also admits that the country feel of his new "Shining Star" was probably influenced by the fact that: "The Farmer's Song", his first major hit, first broke in the country charts.
"I have sort of a half-assed loyalty to some country stations and country jocks on the radio", he said. "Also, I like country and western music; I grew up on it, partly. Basically, our music is the same -- Scottish and Irish ballads."
The song has recently crossed over to the pop markets and only time (or history) will tell of its success. Doug Powers
EMPRY HANDLES PR FOR BENNETT & HORNE DATES
Lena Horne and Tony Bennett have teamed up for a special concert tour across the cities only. One of these is Toronto where Ginno Empry will be looking after their PR for the 19th, with two shows on the last date.
Opening night (14) will be a gala evening, sponsored by the Club of Ontario for their special charities.
STRINGBUSTERS TO TOUR ACROSS CANADA
The Stringbusters, a group of young Maritimers who got together at the School for the Deaf in Halifax, are back on the scene after a successful tour. The Dean Turner of Showman Productions (Toronto) brought them to the attention of the Ontario market last year on the heels of their Marshall album. They released four albums on the RPM chart, three of which were fairly successful but the group split up on their return home.
Turner got them together again and they have been touring the Atlantic provinces since then. They are based in the Toronto area the first of September and will be in Toronto at their base of operations for several months. On the horizon is a tour in conjunction with a tour of Western Canada in the spring of next year.
The Stringbusters are comprised of: Gary Trenholm, bass; Ivan Martin, drums; Francis Drake, twelve string guitar, Terry Kelly, electric and steel, and Steve, lead steel, and Ed Perrier, lead singer.
CKLG promotion inviting contest giveaways and interviews by the giant west coast rockers. His current single, "Moonlight Serenade" is an excellent example of the market.
A chance to dine with the DeFranco Family after the lucky winner of one hundred albums went to a lucky CKNW listener. The single, "Write Me A Letter" would appear to be breaking first on the west coast.
Emerson's fireball promo rep Netupsky with the DeFranco Family.
CANADA'S ONLY NATIONAL ALBUM SURVEY
Compiled from record sales, radio station and record company reports.
WINNIPEG FOLK FESTIVAL TO BE AN ANNUAL EFFORT
"It was a success", to use the words of Mitch Podolak, "The 'II' being the Winnipeg Folk Festival held August 9-11 at Birds Hill Provincial Park. The festival, the city, Mitch and Colin Gorrirre were co-owners, and prime movers, behind the festival.
All the performers liked the festival, the organizers were appreciative of the positive response and hassles were kept to a bare minimum. Festival attendance, though, estimated at 35,000, was not as high as hoped for, hoped for, 100,000 (RPM, August 3, 1973).
Highlights of the evening concerts, as arranged by popular response, included Bruce Cockburn, John Allan Cameron, John Carigian (Fri., Aug. 9), Murray McLauchlan, White and virtuoso fiddler Jean Carigian (Fri., Aug. 9), Murray McLauchlan, Stock of the new Canadian Wine label, April Wine Live! in now hitting the branch, Sales are expected to be brisk as a result of interest generated by the current single, "Fire For You Baby", last week No. 14 at rocker CKLG.
Workshop that workshop along with the Saturday afternoon concert by Sylvia Tyson and showcasing the talents of Jim Kirin and Shirley Elkhard among others were also highlights of the festival.
Several relatively unknown performers, also received what was probably their first national exposure to large audiences. Included in this group were Jeffery and his brother from Toronto, Winnipeg's Carol Brant, and the folk duo, Duck Donald, also from the Winnipeg area.
Friday evening's crowd, estimated at 5,000, was the festival's smallest audience, yet estimated at 12,000, was the most appreciated by the performers because the liquor stores were open, allowing for a late start on Sunday.
This year's festival was free due to Winnipeg's centennial and the sponsorship of the city of Winnipeg, the province of Manitoba, the Manitoba Canada Council, and Coca Cola Canada Ltd.
The CBC's Peter Growski, co-host of the festival along with Winnipeg native Oscar Brand, urged Saturday's audience to contribute to next year's proposed continuation of the city's major international folk festival in Western Canada.
About $2,000 was collected from the Saturday and Sunday crowds. This is at least starting towards a continuing festival—a desire of both organizers and performers.
Doug Powers
CANADIAN ARTISTS ACTIVE WITH INDIE RECORDS
London Recording Vancouver has reported increased activity on their product by Canadian artists. The new Chilliwack album, "Chilliwack", has been well received as selling strongly in the Vancouver area, particularly since the influential A&B Sound Stock of the new Canadian Wine label, April Wine Live! in now hitting the branch, Sales are expected to be brisk as a result of interest generated by the current single, "Fire For You Baby", last week No. 14 at rocker CKLG.
Murray said he intended to put out a country song, but the pedal steel, played by Ollie Strone.
"So far, the song has had a fairly big impact on country and western stations," he added. "I think that's partly due to the fact that country listeners, in general, are more lyric oriented than the pop audience."
Murray, who is married to Finistain, said that Murray writes good country songs "so why not put out a country single ... but the song wasn't written to be a hit, radio makes the hits."
Murray also admitted that the country feel of "Country Working Man" was probably influenced by the fact that "The Farmer's Song", his first major hit, first broke in the country charts.
"I have sort of a half-assed loyalty to some of my old string band country jocks," he went on. "Also, I like some country and western music; I grew up on it, partly. Basically, our music is the same — Scottish and Irish ballads."
The song has recently crossed over to the pop markets and one time (or history) will tell of its success. Doug Powers
CANADIAN BRASS RECORD IN PARIS
While the Canadian Brass recording at the Festival Estival, the Canadian Brass recorded their second album. The session was arranged by Elmer Robinson, who produced the brass's first album. David Gilmour of Toronto's Manta Sound was flown to Paris to act as sound engineer on the session which took place at the famous Studio D'Orsay.
Besides being the first Canadian classical group to record abroad, the session also marks the first time a Canadian technician has been called in to assist in the production of a classical recording in Europe. Gilmour was also involved in the production of the group's first album.
The new Canadian Brass album, produced by Mr. Robinson and Dave Green, has been the most successful classical album ever produced in Canada. The album, as yet untitled, will be released this coming fall.
CKLG promotion inviting contest giveaways and interviews by the giant west coast rocker. His current single, "Moonlight Serenade" is doing well in the western market.
A chance to dine with the DeFranco Family and the DeFranco Family were given a special private trip by Memphis-based owner of Emerson Records. Both records have been receiving good play on rock contemporary and pop stations, particularly with CKLG and CKNW.
The Stevens appearance was tied-in with a
McLAUCHLAN WAS HIGH ON "SHOESHINE" DECK
"History will vindicate me", was Murray McLauchlan's comment after the vote, altogether overwhelming response to "Shoe Shine Working Song", his latest single release.
The pop station, in particular, have not been particularly enthusiastic in picking up on the song, either because of its title (1915?) or the conspicuous use of pedal steel guitar.
Murray said he intended to put out a country song, but the pedal steel, played by Ollie Strone.
"So far, the song has had a fairly big impact on country and western stations," he added. "I think that's partly due to the fact that country listeners, in general, are more lyric oriented than the pop audience."
Murray, who is married to Finistain, said that Murray writes good country songs "so why not put out a country single ... but the song wasn't written to be a hit, radio makes the hits."
Murray also admitted that the country feel of "Country Working Man" was probably influenced by the fact that "The Farmer's Song", his first major hit, first broke in the country charts.
"I have sort of a half-assed loyalty to some of my old string band country jocks," he went on. "Also, I like some country and western music; I grew up on it, partly. Basically, our music is the same — Scottish and Irish ballads."
The song has recently crossed over to the pop markets and one time (or history) will tell of its success. Doug Powers
EMPRY HANDLES PR FOR BENNETT & HORNE DATES
Les Bennett and Tony Bennett have earned a spot on a concert tour of five cities only. One of these is Toronto where Gino Emery will look after their PR for the O'Keefe. They will be touring through the 19th, with two shows on the last date.
Opening night (14) will be a gala evening, sponsored by the City of Ontario for their special charities.
STRINGBUSTERS TO TOUR ACROSS CANADA
The Stringbusters, a group of young Maritimers who got together at the School for the Blind in Halifax, are back on the scene after a long absence. The group, Ron Turner of Showman Productions (Toronto) have signed them to a contract to tour the Maritimes market last year on the heels of their Marathons album. They released four albums on the label, three of which were fairly successful but the group split up on their return.
Turner got them together again and they have been touring the Atlantic provinces since mid-June. They came to Toronto area the first of September and will use Toronto as their base for operations for several months. On tap for the group is an appearance and a tour of Western Canada in the spring of next year.
The Stringbusters are comprised of: Gary Trenholm, bass; Ivan Martin, drums; Francis Drake, twelve string guitar, Terry Kelly, piano, organ, duiker, lead and steel; and Ed Perrier, lead singer.
CANADA'S ONLY NATIONAL ALBUM SURVEY
Compiled from record store, radio station and record company reports.
RPM Top 100 Albums (51-100)
| Rank | Artist | Title | Label | Date |
|------|--------|-------|-------|------|
| 51 | CAT STEVENS | Buddha In The Chocolate Box (A&M) | SP 3623-W | 8T 3623-W |
| 52 | CLIMAX BLUES BAND | Song Of Direction (Sire) | 75071 | |
| 53 | JOHN MITCHELL | - | CBS 1001-P | BAS-1001-P |
| 54 | GRAND FUNK | Silver On Gold (Capitol) | 75091 | |
| 55 | JESSE COLIN YOUNG | Light My Fire (Warner Bros.) | 413-3 | BWM 2790-P |
| 56 | THE STING | The Sting (MCA) | MCA 380 | MCAC-380-J |
| 57 | THE SPINNERS | Sugar Pie (Atlantic) | SD 7269-P | ABTC 7269-P |
| 58 | DIANA ROSS & THE SUPREMES | Aint No Mountain High Enough (Motown) | M-863-3 | |
| 59 | RUFUS | Play To The Game (ABC) | ABC 406-3 | |
| 60 | LYNYRD SKYNYRD | Sweet Home Alabama (MCA) | 413-3 | BWM 2790-P |
| 61 | BEACH BOYS | Thriller (Polydor) 20/20 (Reprise) | SMI 2168-2 | |
| 62 | BILLY JOEL | Arkansas (Columbia) | 413-3 | |
| 63 | DIANA ROSS | Diana Ross (Motown) | M-863-3 | |
| 64 | FRANK ZAPPA | Apostrophe (Decca) | 256 2175-P | BBA-2175-P |
| 65 | MARIA MULDAUR | Maria Muldaur (CBS) | MS 2148-P | BWH 2148-P |
| 66 | THE FOUR INGREDIENT | The Four Ingredient (RCA Victor) | APS1-0336-N | |
| 67 | EARTH, WIND & FIRE | Corner Of The World (Columbia) | 413-3 | |
| 68 | THE GUESS WHO | No Time For Dreaming (MCA) | APL-1006-2-N | APK1-0405-N |
| 69 | JIM STAFFORD | I'm Gonna Miss You (RCA) | SE 4917-2 | EB 4947-Q |
| 70 | DOUBLE BROTHERS | Double Brothers (Crazy Horse Are Now Habits (Warner Bros.) | W-2570-P | CWX-2750-P | BWM 2750-P |
| 71 | DARR | We've Got The Arrives (A&M) | 413-3 | |
| 72 | BREAD | The Last Road (Elektra) | FKS 75094-2 | |
| 73 | BILLY COBHAM | - | SD 7309-P | ABTC 7300-P |
| 74 | AMERICAN GRAFFITI SOUNDTRACK | - | TURBO 10-40-T | |
| 75 | NEW ENGLAND CONSERVATORY RAGTIME ENSEMBLE | The Pine Tree Book (Angel) | S-3302-2 | |
RPM Top 100 Albums
| Rank | Artist | Title | Label | Date |
|------|--------|-------|-------|------|
| 76 | LEON RUSSELL | Singin' That Jazz (Stelter) | 413-3 | |
| 77 | GLADYS KNIGHT AND THE PIPS | I'm Coming (RCA) | BOS 5114-1-M | BDS 81514-1-M |
| 78 | LED ZEPPELIN | Led Zeppelin II (Epic) | SD 7208-P | AC 7208-P | ABTC 7208-P |
| 79 | SEALS & CROFTS | Seals & Crofts (A&M) | 413-3 | |
| 80 | HERBIE HANCOCK | Headhunters (Columbia) | 413-3 | CA 32731-H |
| 81 | OZARK MOUNTAIN DAREDEVILS | Ozark Mountain Daredevils (MGM) | SP 4411-W | CS 4411-W | BT 4411-W |
| 82 | PINK FLOYD | Dark Side Of The Moon (Harvest) | SMAS 1162-3 | 4XW11162-3-P | EXW11162-3-P |
| 83 | EMERSON LAKE & PALMER | Brain Salad Surgery (EMI) | EMI 0036-P | BMC 6669-P |
| 84 | KOOL & THE GANG | Soulful & Peaceful (St. Clair) | DE 101-2 | 8088 2013-1-T |
| 85 | SEALS & CROFTS | Seals & Crofts (Warner Bros.) | W 2761-P | CWX 2761-P | BWM 2761-P |
| 86 | TOWER OF POWER | Tower Of Power (Warner Bros.) | RS 2748-2 | |
| 87 | STEVIE WONDER | Stevie Wonder (Warner Bros.) | 413-3 | |
| 88 | DAWN & TONY ORLANDO | Groove Riders (Bell) | 413-3 | |
| 89 | VARIOUS ARTISTS | Gold & Gold (Decca) | 3074-2 | ST 1001 |
| 90 | TRUMPHARIA | Triumpharia (Double Dimple (Harvest) | ST 1131-1 | |
| 91 | JOHN DENVER | John Denver (RCA) | LP 1711-N | PRS-1711-N |
| 92 | JIM CROCE | You Don't Mess Around With Jim (ABC) | ABCX-8756-N | |
| 93 | JAMES BROWN | James Brown (Columbia) | PGS 0001-Q | |
| 94 | JIM CROCE | First Time Ever I Saw Your Face (ABC) | ABCX-797-N | ABCX 797-N | ABCX 797-N |
| 95 | NAZARETH | - | SP 3641-W | CS-SP 3641-W | BT SP 3641-W |
| 96 | BABE RUTH | First Team (Capitol) | 413-3 | |
| 97 | MARIE OSMOND | - | SE 4944-O | EB 4944-O |
| 98 | CHARLIE RICH | Charlie Rich (RCA) | KE-2242-H | EA 32242-H |
| 99 | BO DIDDLEY & THE DOORS | Turn On Your Television (ABC) | 413-3 | |
| 100 | MOUNTAIN | Avalanche (Columbia) | KC 30089-1 | |
Record promotion is very important
Strangely enough, we are seeing some results from this series of columns that have appeared in RPM this week. I would like to answer some requests.
As an explanation, the series was really not intended to continue beyond a couple of columns that would deal with promotion.
Reaction to the first few columns was so good, that RPM asked me to continue and make it a series. Consequently the series was not numbered and a few people have asked if they could have the titles of the series and indicate the number of instalments to date.
(1) Volume 21 No. 17 June 15/74 A Promo for Promos
(2) No. 18 June 22/74 The Role of the Promo Man is Changing
(3) No. 19 June 29/74 Window Display Window
(4) No. 20 July 6/74 Those Were "The Good Old Days"
(5) No. 21 July 13/74 Imagery & Imagination
(6) No. 22 July 20/74 The Campaign and the Invasion
(7) This is #8 on 10/10/74 This is a Press Release
(8) No. 24 August 3/74 Advertising Makes Hits
(9) No. 25 August 10/74 Do's and Don'ts for Promos
(10) No. 26 August 17/74 Cocktail Parties Receptions, Cocktail Nights
(11) Volume 22 No. 1 August 24/74 Useful Tips for Approach Promo Men
(12) No. 2 August 31/74 Walt Craigie Talks About Promotion
GENE PETER JAMES RELEASES ON GAETY
Thunder Bay resident, Gene Peter James (real name Gene Fitzgerald) has entered the record business with his latest single, "The Pine Trees" on the Gaety label. The plug side and flip is "Believe Me" and were written by him and published through Silvatic Music-CAPAC. Promotion for the single is being handled on the rock, R&B, pop, and country markets, through Don Grashaw and Chuck Williams of Gaety Records.
WARREN MAKING COUNTRY NEWS
Jerry Warren, a Canadian country artist for many years and now releasing on the United Artists label, has been on a promotional trip across Canada. Purpose of his trip was to promote his single, "I'm Just Lonesome Feelin'," and to get airplay. From radio stations now playing the single, Warren has established a list of over 100 names of winners. The success of his single prompted a rush release of his album followed by an 8-track tape.
Warren's mini-tour of the west brought him face to face with many country radio personalities. One of the most extensive interviews dropped in at Jerry Brown's Town Pump in Regina to chat with Gary Busc and found himself booked for a two-night, 10-week engagement now set for the latter part of September. Warren will be appearing with Jerry and Jay-Way Productions of Alberta for a grandstand and roadie tour of western Canada in 1975.
Niagara Falls resident Jerry Warren keeps himself busy with studio work and recording artists as well as publishing material which is published through his publishing house, Side Man Music. He has written several compositions on his album, "From The Falls To The Coast" which is Warren originals.
This session was taped at Winnipeg's Century 21 Studio with Jerry Warren on vocals, Jack Capadore, piano; Dave Yost, bass; drummer, and Richard Riggy, bass with Peter James on lead and rhythm guitar, Jack Hildebrand of Winnipeg on organ, and Bob McLeod production as well as co-writing the string parts with Jerry Warren. The strings add a lot of harmony to the sound. Ronnie Halderson, well known local musician, plays the fiddle can be heard on the "Pine Trees" side.
Peter James, "The Trees" is a fast introduction to what he has to offer. It's a song in twenty minutes and is ready with more original material to keep the Peter James image rolling.
RPM Top 100 Albums
ALPHABETICALLY BY ARTIST
| Artist | Album | Label |
|--------|-------|-------|
| America (30) | BOS 5141-1 | BOS 5141-1 |
| Bachman-Turner Overdrive (4) | BOS 5141-2 | BOS 5141-2 |
| Beach Boys (6) | SD 7208-F | AC 7208-F |
| Black Oak Arkansas (62) | SD 7209-F | AC 7209-F |
| Bowie, David (50) | SD 7210-F | AC 7210-F |
| Brown, James (93) | SD 7211-F | AC 7211-F |
| Clapton, Eric (1) | SD 7212-F | AC 7212-F |
| Crosby, Stills & Nash Band (92) | SD 7213-F | AC 7213-F |
| Cobham, Billy (73) | SD 7214-F | AC 7214-F |
| Davis, Mac (14) | SD 7215-F | AC 7215-F |
| Denver, John (20) | SD 7216-F | AC 7216-F |
| Donovan, Bob & The Heywoods (99) | SD 7217-F | AC 7217-F |
| Dylan, Bob & The Band (7) | SD 7218-F | AC 7218-F |
| Earth, Wind & Fire (67) | SD 7219-F | AC 7219-F |
| Emerson, Lake & Palmer (83) | SD 7220-F | AC 7220-F |
| Golden Earring (27) | SD 7221-F | AC 7221-F |
| Grateful Dead (17) | SD 7222-F | AC 7222-F |
| Hancock, Herbie (80) | SD 7223-F | AC 7223-F |
| Hues Corporation (35) | SD 7224-F | AC 7224-F |
| John, Elton (5) | SD 7225-F | AC 7225-F |
| Knight, Gladys and the Pips (77) | SD 7226-F | AC 7226-F |
| Led Zeppelin (78) | SD 7227-F | AC 7227-F |
| Loggins & Messina (8) | SD 7228-F | AC 7228-F |
| Lynyrd Skynyrd (64) | SD 7229-F | AC 7229-F |
| Mitchell, Joni (53) | SD 7230-F | AC 7230-F |
| Mulcair, Maria (65) | SD 7231-F | AC 7231-F |
| McCartney & Wings, Paul (25) | SD 7232-F | AC 7232-F |
| Nazareth (98) | SD 7233-F | AC 7233-F |
| New York Contemporary Ragtime Ensemble (75) | SD 7234-F | AC 7234-F |
| Nitty Gritty Dirt Band (47) | SD 7235-F | AC 7235-F |
| O'Jays (40) | SD 7236-F | AC 7236-F |
| Osmond, Marie (97) | SD 7237-F | AC 7237-F |
| Ozark Mountain Daredevils (81) | SD 7238-F | AC 7238-F |
| Presley, Elvis (28) | SD 7239-F | AC 7239-F |
| Rich, Charlie (98) | SD 7240-F | AC 7240-F |
| Ross, Diana & The Supremes (58) | SD 7241-F | AC 7241-F |
| Rufus (59) | SD 7242-F | AC 7242-F |
| Santana (24) | SD 7243-F | AC 7243-F |
| Sinatra, Frank (75) | SD 7244-F | AC 7244-F |
| Stone, Family (23) | SD 7245-F | AC 7245-F |
| Soundtrack, American Graffiti (74) | SD 7246-F | AC 7246-F |
| Souther, Hillman, Furay Band, The (45) | SD 7247-F | AC 7247-F |
| Stafford, Jim (69) | SD 7248-F | AC 7248-F |
| Stevens, Cat (51) | SD 7249-F | AC 7249-F |
| Taylor, James (16) | SD 7250-F | AC 7250-F |
| Tower of Power (86) | SD 7251-F | AC 7251-F |
| Troubadour (50) | SD 7252-F | AC 7252-F |
| Trower, Robin (3) | SD 7253-F | AC 7253-F |
| Various Artists (89) | SD 7254-F | AC 7254-F |
| Warren, Warren (73) | SD 7255-F | AC 7255-F |
| Winter, Edgar (48) | SD 7256-F | AC 7256-F |
| Woodstock (12) | SD 7257-F | AC 7257-F |
| Young, Jesse Colin (55) | SD 7258-F | AC 7258-F |
| Z.Z. Top (37) | SD 7259-F | AC 7259-F |
| Zappa, Frank (64) | SD 7260-F | AC 7260-F |
Record promotion is very important
Strangely enough, we are seeing some results from this series of columns that have appeared in RPM this week. I would like to answer some requests.
As an explanation, the series was really not intended to continue beyond a couple of columns that would deal with promotion.
MUSIC Biz stan kiles
Reaction to the first few columns was so good, that RPM asked me to continue and make it a series. Consequently the series was not numbered and a few people have asked for the numbers. I will now number the series and indicate the number of installments to date.
(1) Volume 21 No. 17 June 15/74 A Promo For Promotion
(2) Volume 21 No. 18 June 22/74 The Role of the Promoter Man is Changing
(3) Volume 21 No. 19 June 29/74 Window Display Men
(4) Volume 21 No. 20 July 6/74 Those Were "The Good Old Days"
(5) Volume 21 No. 21 July 13/74 Imagery & Imagination
(6) Volume 22 No. 22 July 20/74 The Campaign and the Invasion
(7) This is an 8 by 10 Photo. This is a Press Release.
(8) Volume 22 No. 24 August 3/74 Advertising Makes Hits
(9) Volume 22 No. 25 August 10/74 Do's and Don'ts of Promotion
(10) Volume 22 No. 26 August 17/74 Cookin' Parties, Press Receptions, Gaming Nights
(11) Volume 22 No. 1 August 24/74 Useful Tips for Aggressive Promo Men
(12) Volume 22 No. 2 August 31/74 Walt Greilis Talks About Promotion
GENE PETER-JAMES RELEASES ON GAETY
Thunder Bay resident, Gene Peter-James (real name Gene Olivaggio) has altered the record business with his latest release, "The Pine Trees" on the Gaety label. The plug slide and the title "I Belong Here" were written by him and published through Savoyage Music-CAPAC. Promotion for the single is being handled in the U.S.A., Canada and country markets, through Don Grashaw and Chuck Williams of Gaety Records.
WARREN MAKING COUNTRY NEWS
Jerry Warren, a Canadian country artist for many years and now releasing on the United Artists label, has been on a promotional trip across Canada. Purpose of his trip was to promote his single "I'm Lovin' Feelin'", and to have it appear on the playlist of stations now playing the single, Warren was able to get a lot of radio play and a lot of winners. The success of his single prompted a rush release of his album followed by an 8-track tape.
Warren's mini-tour of the west brought him face to face with country music radio personalities and made a great impression. We dropped in at Jerry Brown's Town Pump in Regina to meet with Buck and found him self on stage for a set. He had a week engagement now set for the latter part of September. Warren also met up with Jerry and Jay-Way Productions of Alberta for a grandstand and rodeo tour western Canada in 1975.
Niagara Falls resident Jerry Warren keeps himself busy with studio work for himself as well as writing songs which is published through his publishing house, Side Man Music. All of the compositions on his album, "From The Falls To The Coast" are Warren originals.
The session was taped at Winnipeg's Century 21 Studio with backing by Jack Bratberg, piano; Dave Yaeger, drums; and Richard Rigby, bass with Peter-James on lead and rhythm guitar, Jack Hildebrand on bass, and Gary Kinnear on production as well as co-writing the string parts with Warren. Warren also did all the harmony for three of the compositions. Two young 'Peg female singers were used for the vocals on the two instrumental sections adding to the sound. Ronnie Halderson, who plays the electric bass player can be heard on the "Pine Trees" side.
Peter-James' "Pine Trees" is a fast introduction to what he has to offer. He wrote the song in twenty minutes and is ready with more original material to keep the Peter-James image rolling.
June 1, 1974, Island Records, Inc. Goes Independent in the United States.
August 1, 1974, Island Records, Inc. Goes Independent in Canada.
We Proudly Present Our First Album Releases For Canada.
**JIM CAPALDI**
**WHALE MEAT AGAIN**
Includes: It's All Right
*Whale Meat Again*
*Jim Capaldi of Traffic*
**KIMONO MY HOUSE**
Includes the Hit:
"This Town Ain't Big Enough for Both of Us."
*Kimono My House*
*Sparks — "Hottest Band in England"*
**HERE COME THE WARM JETS**
Includes: Cindy Tells Me / Blank Frank
*Here Come the Warm Jets*
*ILPS 9268*
*Eno — Ex Roxy Music*
**SPOOKY TOOTH**
**THE MIRROR**
Includes: The Hoofer / Hell or High Water
*Mirror*
*Spooky Tooth — "Another Smash Album"*
*ILPS 9292*
Coming Soon From Island Records!
| LP Number | Artist/Album |
|-----------|--------------|
| ILPS 9061 | Mr. Fantasy/Traffic |
| ILPS 9070 | The Best of Spencer Davis/Spencer Davis |
| ILPS 9071 | It's All About/Spooky Tooth |
| ILPS 9081 | Traffic/Traffic |
| ILPS 9089 | Tons of Sobs/Free |
| ILPS 9097 | Last Exit/Traffic |
| ILPS 9098 | Spooky Two/Spooky Tooth |
| ILPS 9103 | Stand Up/Free |
| ILPS 9105 | Free/Free |
| ILPS 9107 | Crazy Train/Spooky Tooth |
| ILPS 9108 | Mott the Hoople/Mott the Hoople |
| ILPS 9112 | Best of Traffic/Traffic |
| ILPS 9116 | John Barleycorn Must Die/Traffic |
| ILPS 9117 | The Last Puff/Spooky Tooth |
| ILPS 9119 | Mad Shadows/Mott the Hoople |
| ILPS 9120 | Fire and Water/Free |
| ILPS 9121 | Free/Free |
| ILPS 9130 | Live/Free |
| ILPS 9166 | Welcome to the Canteen/Traffic |
| ILPS 9178 | Brain Capers/Mott the Hoople |
| ILPS 9215 | You Broke My Heart So I Busted Your Jaw/Spooky Tooth |
| ILPS 9227 | Rock and Roll Queen/Mott the Hoople |
| ISLD 3 | The Free Story (Limited Edition)/Free |
**Toronto**
Quality
**Montreal**
Quality
**Winnipeg**
Quality
**Vancouver**
Taylor, Pearson & Carson
**Calgary**
Taylor, Pearson & Carson
For Promotion Information Call: (416) 654-1906
Order Now!
June 1, 1974, Island Records, Inc. Goes Independent in the United States.
August 1, 1974, Island Records, Inc. Goes Independent in Canada.
We Proudly Present Our First Album Releases For Canada.
**JIM CAPALDI**
*Whale Meat Again*
Includes: It's All Right
*Whale Meat Again*
Jim Capaldi of Traffic
**KIMONO MY HOUSE**
Includes the Hits:
"This Town Ain't Big Enough for Both of Us"
Kimono My House
Sparks — "Hottest Band in England"
**HERE COME THE WARM JETS**
Includes: Cindy Tells Me / Blank Frank
*Here Come the Warm Jets*
ILPS 9268
Eno — Ex Roxy Music
**SPOOKY TOOTH**
*THE MIRROR*
Includes: The Hooter / Hell or High Water
*Mirror*
Spooky Tooth — "Another Smash Album"
**Coming Soon From Island Records!**
| Album | Artist | Title |
|-------|--------|-------|
| ILPS 9061 | Mr. Fantasy | Traffic |
| ILPS 9070 | The Best of Spencer Davis | Spencer Davis |
| ILPS 9075 | It's All About | Spooky Tooth |
| ILPS 9081 | Traffic | Traffic |
| ILPS 9089 | Tons of Sobs | Free |
| ILPS 9097 | Last Exit | Traffic |
| ILPS 9098 | Spooky Two | Spooky Tooth |
| ILPS 9103 | Stand Up | Free |
| ILPS 9104 | Free | Free |
| ILPS 9105 | Mad Shadows | Spooky Tooth |
| ILPS 9108 | Mott the Hoople | Mott the Hoople |
| ILPS 9112 | Best of Traffic | Traffic |
| ILPS 9116 | John Barleycorn Must Die | Traffic |
| ILPS 9117 | The Last Puff | Spooky Tooth |
| ILPS 9119 | Mad Shadows | Mott the Hoople |
| ILPS 9120 | Fire and Water | Free |
| ILPS 9121 | Brain Capers | Free |
| ILPS 9160 | Live | Free |
| ILPS 9166 | Welcome to the Canteen | Traffic |
| ILPS 9178 | Brain Capers | Mott the Hoople |
| ILPS 9215 | You Broke My Heart So I Busted Your Jaw | Spooky Tooth |
| ILPS 9227 | Rock and Roll Queen | Mott the Hoople |
| ISLD 3 | The Free Story (Limited Edition) | Free |
**Toronto**
Quality
**Montreal**
Quality
**Winnipeg**
Quality
**Vancouver**
Taylor, Pearson & Carson
**Calgary**
Taylor, Pearson & Carson
For Promotion Information Call: (416) 654-1906
Order Now!
**GORDON SINCLAIR**
**ON "EX CANADIANS"**
The following letter, written by well-known Canadian broadcaster, Gordon Sinclair, was published in *Canadian Radio-Stats* (21/87/4). He expresses his feelings about Canadians living abroad and still being regarded as "ex" when they return to the arts. This has been a sore point to many in the Canadian music and broadcasting industries. Permission was obtained from Mr. Sinclair for the reprint.
I was pleased to hear your review of Percy Faith, who conducted a concert here last week. I am sure that John Kenneth Galbraith who continues to tell us about inflation, I also feel that Toronto-born Percy Faith has not really been out of bed in the last seven years.
Ottawa-born Lionel Green is going into a new phase of his career. I hope that Roy Hill has not been renewed in his role of Owen Marshall in *The Sullivans*, who says everything without sending a bill.
This constant reference to people born here and abroad, and the implication that we are a generation or longer ago, is demeaning to many Canadians who were born here, but have never left Canada and are making their lives. They are not one of us. They quit us. They turned their backs.
I see no reason why Canadian-born hooligans or riff-raff or tarts; but when something is of meaning and recognition, even Art Linkletter, who left Canada at the age of 77 days, he is "a Canadian-born".
Come on, Canadians! Are Canadians, Exiles are men.
Gordon Sinclair
Toronto
---
**CLOMPIN' CLOD ATTRACTS LARGE CROWD AT CNE**
Although the CNE was criticized for "presenting a same old pirate imitator", Clompin' Clog drew a crowd of 30,000 to Toronto's transit strike to his CNE Bandshell performance. The Canadian Broadcasting Agency is not pretentious about their young artist - in fact they bill him as "the worst band in the world". Clompin' Clog and his backup group as rejects from the Sally Brown Band, were recently employed for patrons of a bar where he was playing recently which read "We saw the Clompin' Clog and he was terrible". The bar's management warned customers not to complain to the management.
In spite of all the downers, Clompin' Clog is emerging as a novelty act with much potential. He's not only good in the business, having released product on the distribution label and generated a sizeable following throughout Ontario, but he has also played Canada's "Greatest Exhibition" is another feather in his cap and an obvious honor. With the CBC's Canadian program attracted radio and TV press comments and articles. With the recent death of Star's Frank Rasky was showing, it's possible that Clompin' Clog could become the subject of a feature story.
Babe Ruth is led by "gusty vocalists" Janita Hanl whose choreography has been criticized as "clogging, tap dancing ballet and some obscure martial arts". The Hanl exclamation is a result of the recent demise of Alan Shacklock who matches the Hanl "intensity with screaming vocals and fiery guitar work".
---
**BABA RUTH SCORES HEAVILY IN QUEBEC**
Not only do French Canadian productions embarrass English Canadians but so does Quebec province's knack for discovering other English Canadians. Babe Ruth, this British group, is released on the Hanl label and has already chalked up sales on their "First Base" album of more than 35,000 in the province of Quebec alone. It's top 10 hit "I'm Going to the Tour of Quebec, both of which pulled good housekeeping ratings. They were spotted for patrons of a bar where he was playing recently which read "We saw the Clompin' Clog and he was terrible". The bar's management warned customers not to complain to the management.
---
**"FUNNY FARM"**
**THIS FALL - CTV**
CTV's new show, "The Funny Farm" to be the network's "This Country" in the fall, premieres September 12. The fall line-up includes: Dwayne, a very efficacious coward; the Preacher, a man who reads the news; Clem, the village idiot; the Painter, Daisy Mae; the Little Girl; a Jew; a Princess, a man who reads the news; a hippie; Shirley Will, the classic dumb blonde, and many others. First-time regulars include: the Canadian Gordon, John Evans, Monica Park, Tank Zalfman, and Leslie Lerner. Regulars will include an animated character of Old MacDonald, who keeps vanishing in the midst of cowpitters and other farmyard characters. The show will be produced by Blake Emmons and the band, Maple Leaf.
Scheduled guests for the season include Sylvain Leroux, Peter Dyke, Red Zeigler and De Revere. The Funny Farm features a cast of 160, including 100 regulars and 50 irregulars. The show will be filmed in the works to take advantage of the growing publicity.
---
**SEE YOU AT C9 - VANCOUVER**
---
**CAB suggests delay in commercial regulations**
The powerful Canadian Association of Broadcasters (CAB), representing 217 AM, 57 FM and 54 television stations, filed a brief with the Canadian Radio-Television and Telecommunications Commission (CRTC) supporting the Commission's proposed regulations calling for a five month delay in the effective date and the exemption of locally-created commercials with all commercials of Canadian companies, and the creation of new ones that specialize in the production of commercials. "In doing so, these companies should be able to increase their production, thus making them more competitive with their U.S. counterparts. It will also allow the Commission to continue to honour long-term commercial commitments while working with inexpensively made-in-the-U.S.A."
Peter Camu, president of the CAB, found no fault with the proposed regulations, but did have some reservations. He stated: "Fortunately, it is in the best interest of all Canadians to make it possible, commercial messages to be produced in Canada and make use of Canadian talent. We believe that the production of Canadian commercials is comparable, of all forms of broadcasting, including television, to the production of commercials of a distinctly Canadian broadcasting system. We have been told that all possible means be exploited to encourage and develop Canadian talent. The Canadian Association of Broadcasters is committed to these goals."
It was Camu's suggestion however, that "In the case of locally-created commercials, the use of production aid from a variety of sources be permitted as long as there is a predominantly Canadian input through creative writing, talent and technical production." The CAB also suggested a delay in the effective date and the exemption of locally-created commercials with all commercials of Canadian companies, and the creation of new ones that specialize in the production of commercials. "In doing so, these companies should be able to increase their production, thus making them more competitive with their U.S. counterparts. It will also allow the Commission to continue to honour long-term commercial commitments while working with inexpensively made-in-the-U.S.A."
Insofar as television is concerned, the CAB has asked that the above proposal become effective March 1, 1978. All other proposals should be excluded. Dr. Camu explains that "Commercial advertising is an important part of the service to local customers. Retail advertisers are accustomed to, and often require extensive fast-turnaround service for both scheduling and commercial production. This service is a major source of revenue benefits the advertiser, but creates additional employment opportunities in stations, and permits the use of expensive production equipment", adding that "Many television stations have reached their maximum production capacity to the demand for local commercial production". Dr. Camu went on to say that "One of the great attributes of broadcasting as an advertising medium is its ability to reach a wide audience. It would be unfortunate to see these curtailed by a registration procedure for locally-produced commercials."
The CAB will be appearing at the CRTC public hearing which has been set at October 8, 1974 in Ottawa.
---
**NOBLEMAN/YORK MOVE ON CBC BUDGET CUTS**
North York Alderman, Ben Nobleman, recently elected as president of the Toronto branch of ACTRA, has enlisted the aid of York Borough Council to have the CBC recider its recent budget cuts.
Nobleman presented his resolution to the Council (Aug. 20) based on the 1974 submission to the CBC to the CRTC which they promised "to place priority on its commitment to Canadian programming". Nobleman's resolution, seconded by Mayor Philip Gluckstein, requested that "the CBC and the Federal Government consider a recent cut of $1,200,000 in the CBC programming budget which will seriously affect the work opportunities of Canadian performers". The resolution was passed by Council.
"Misty Memories", a regular series at CKWD, will be hosted by Lark Ruth and will be aired 7:30-9PM, every week featuring such greats of the '40's, '50's and early '60's as Frank Sinatra, Ray Charles, Rob McConnell's Boss Brass, Tony Orlando, etc. Listener response to the show has been very good with many listeners requesting their favourites to be showcased.
"THOLOS", Thursday's three-weekly in-house show on Saturday, September 24, 1:0PM. The show has been made available to the public via CFLO by Lee Jean, and will be sponsored by the "CITY TV" series, "The Nightly News". Featured on the series will be such stars as Shari Lewis, The Magic Nights, Gladys Knight and The Pips, etc. The show was the winner of three NBC Peabody Awards.
Darryl Russell of CJLC/Thunderbird, N.B., returns goodreads to Larry King, who will be joined by George Lovejoy. Also returning calling the station and comparing Johnny Rodd's "The Country Music Show" to Murray McLauchlan's "Farmer's Song".
Jack Cookshaw has been appointed assistant producer at CFWL-AM & FM/Winnipeg. Vinnie Cookshaw comes to CFWL from CFSL/Weyburn.
Bill Hennesick, formerly with CKGM/Montreal, returns to CFWL AM & FM/Winnipeg as Production Manager. Bill's first assignment is programming. You haven't Seen Nothing yet from the new Chuck Turner album, "No Tangle" (RCA). Chuck soon will be back with "The Ballad Of Evel Knievel"!
Harry Boon of CJCA/Edmonton assumes program Manager duties, September 1, at CJVC/Victoria. Ed McKenzie, formerly of CJCA/Calgary, is now in the newsroom of CJVC.
A new radio station, CKTA/Talbot, Alberta, will commence broadcasting September 1, 1974. Format will consist of 24 hours Town & Country. General Manager for the station is John Seeley, formerly of CJOC and CHNC/Lethbridge, where he will be until taking over his new duties.
As of September 9, new line-up at CFPL/London, Ont. includes: Joe 6-10AM; Terry McConnell 1-3AM;PM; Bob McKenzie 3-5PM; and Mike O'Neil 5-8PM. Specialized programs 8PM-MN; Bob McKenzie 10PM-MN.
CITY TV's Gene Taylor, also known as Victor Voitse, performs "Speedy" Sept. 7 between 1 and 4PM, just one day before Evel Knievel jumps the Snake River Canyon on a rocket powered motorbike. He will leap over a wading pool located on Douglas Island, B.C. He will then ride a JHP Solex motor bike, and traveling at the incredible speed of 213 MPH. During the jump, he will make television pledges, and after the jump, the Solex bike will be presented to one of the persons making a pledge.
Arland Cisile, formerly of CKMR/Mississauga, is now the new morning man at CKLB/Oshawa.
Ron Foster at CKWL-FM/Windsor would like to hear from record companies about record companies with regard to their Canadian country and cross-country product.
During a recent engagement at Winnipeg's Town & Country, CTV's ART McGowan and Maureen McGowan, took time from her busy day to stop by the studios of CITY TV's Gar Pitts to promote her latest release, "Give Me A Reason To Be Gone". Maureen is pictured here with CITY TV's Art Pitts (Producer) (L) and CFPL Noon 3PM Jack Steve Kelly.
Opening coming up for small men at Manitoba Country leader. Returns there for experience. Also looking for newsman-leader. Takes and resume to John Aune, CFRY-Portage La Prairie, Manitoba, R1N 0NG.
CJCH/Halifax expanding air staff. Looking for experienced man to fill vacancy. Send check and resume to Chris Morgan, CJCH, 2885 Robi Street, Halifax, N.S.
FM GIVEAWAY KICKS OFF TO 10 CC RELEASE
London Records' Vancouver branch is kicking off its promotion of the new album on UK Records by 10 CC "Street Music" with a special FM promotion. On September 1, London's Mike Herstel has arranged with 1G FM for album and tee shirt giveaways. This will be followed by similar displays in various retail accounts throughout the city.
The group's follow up to their "Headline Hustler" single, "Wall Street Shuffle", is currently seeing FM action in the west and is expected to cross over to AM.
"Music Memories," a regular series at CKLG, will be hosted by J. Miken Ruth and aired 7:30-10 p.m. Sunday evenings featuring such greats of the 40's, 50's and early 60's as Jack Kent, Kay Charles, Rob McConnell, Bob Brass, and Bill Wardour. Listener response to the show has been so enthusiastic that many are requesting their favourites to be showcased.
CHLO/57, Thunder Bay, is weekly in the air on Saturday nights from 9-11 p.m. The show has been made available to CHLD by Lee Jean, and will be sponsored by the local chapter of the Girl Guides. Features on the series will be such things as "The Story of the Girl Guides," Gladys Knight and The Pips, et al. The show has been the winner of three NBC Peabody Awards.
Charlie Russell of CJCA/Woodstock, N.B., returns to his radio roots at Lake Kingston's CKMG/Montreal. Also returning to the station and comparing Johnny Roddick's "Gone" to the new single by Murray McLauchlan's "Farmer's Song."
Jack Cookshaw has been appointed assistant program director at CFW AM & FM Winnipeg. Cookshaw comes to CFW AM from CTSL/Weyburn.
Bill MacLean, formerly with CKGM/Montreal, returns to CFWR AM & FM Winnipeg to assume duties as Production Manager.
CKLW/Toronto is promoting its independent record companies with regard to their Canadian country and cross-country product.
During a recent engagement at Winnipeg's Town & Country, CRTC's Regina Christina McCourt, took time from her busy day to stop by the studios of CJCA/Woodstock to interview and promote their latest release, "Give Me A Reason To Be Gone." McCourt is pictured here with CJCA Program Director, Jack Russell (l) and CFWR Noon 3PM Jack Steve Kelly.
Opening coming up for one-man at Manitoba Country Radio. Returning there for experience. Also looking for newsman-later, tapes and resume to John Aune, CRTC, P.O. Bag La Prairie, Manitoba, RIN 0N6.
CJCH/Halifax expanding air staff. Looking for experienced man to fill the Senior Check and resume to Chris Morgan, CJCH, 2885 Robi Street, Halifax, N.S.
SEE YOU AT
FM GIVEAWAY KICKS OFF - 10 CC RELEASE
London Records' Vancouver branch is kicking off the release of the new album on UK Records by 10 CC "Sheet Music" with a promotion called "10 CC Action." London's Mike Hertslet has arranged with "LG FM for an album and tee shirt giveaways. This promotion will also include displays in various retail accounts throughout the city.
The group's follow-up to their "Headline Hustler" single, "Wall Street Shuffle", is currently being FM action in the west and is expected to cross over to AM.
BILL HENNES/CKLW Windsor
• Haven't Seen Nothing/Buchman-Turner
93 Can't Get Enough/Bad Company
• Ballad of Evel Knievel/John Culliton
• 47 Forever & Ever/Kurtis Hampshire
TRUDY CHAMBERLAIN/CFGO Ottawa
15 I'm Just An Empty Shiny White
2 (7-14) I Shot the Sheriff/Eric Clapton
76 (13-10) Do It Baby/The Miracles
• 47 Forever & Ever/Kurtis Hampshire
58 (27-16) Honestly Love You/Olivia Newton-John
50 (new-17) Haven't Done Nothin'/Stevie Wonder
10 (new-21) I'm Living Billy Preston
48 (new-22) Nothing/Billy Preston
• 47 Forever & Ever/Kurtis Hampshire
H. HART KIRCH/CME Regina
58 (new-17) Haven't Done Nothin'/Stevie Wonder
50 (new-17) Haven't Done Nothin'/Stevie Wonder
LEN THIEU/UNIFIED Edmonton
• Then Came You/Warwick/Spinners
29 Night My Love/Blue Swede
• 70 Earache/Cheech & Chong
NEVIN GRANT/COKC Hamilton
• Bitch Is Back/Elton John
• 47 Forever & Ever/Kurtis Hampshire
26 Free Man/Jim Mitchell
• 47 Forever & Ever/Kurtis Hampshire
20 Saturday Night/Cat Stevens
38 Then Came You/Warwick/Spinners
29 Night My Love/Blue Swede
• 47 Forever & Ever/Kurtis Hampshire
48 Nothing/Billy Preston
11 Hang On/Johnny Bristol
• 47 Forever & Ever/Kurtis Hampshire
BOB WOOD/CHAM Hamilton
19 Wild Thing/Panics
• 47 Forever & Ever/Kurtis Hampshire
KEN SEBASTIAN SINGER/CKCKC Regina
• 47 Forever & Ever/Kurtis Hampshire
TRUDY CHAMBERLAIN/CFGO Ottawa
6 (No. 1) Chicken/Paper Lace
30 (new-17) Haven't Done Nothin'/Stevie Wonder
68 (HB-29) Super Baby Love/Rubettes
• 47 Forever & Ever/Kurtis Hampshire
39 People Gotta Move/Gino Vannelli
LEN THIEU/UNIFIED Edmonton
39 People Gotta Move/Gino Vannelli
29 Who Do You Think/Bo Donaldson
57 (HB-29) Super Baby Love/Rubettes
GREG STEWART/CKGM Montreal
3 (HB-26) Wildwood Willy/Jim Stafford
38 (HB-29) Then Came You/Warwick/Spinners
50 (HB-30) Haven't Done Nothin'/Stevie Wonder
BOB GIBBONS/CKC Winnipeg
• 47 Forever & Ever/Kurtis Hampshire
12 You & Me/Helen Reddy
28 Something Good/Rufus
PALAMARE/CKCKC/CKUEF/Montreal
• 47 Forever & Ever/Kurtis Hampshire
• Les Belles Amnees/J. Dassin
• 47 Forever & Ever/Kurtis Hampshire
4 Boston/Dave Loggins
36 Super Baby Love/Rubettes
BRUCE DE VINCENT/CKC Winnipeg
38 Then Came You/Warwick/Spinners
50 Haven't Done Nothin'/Stevie Wonder
• 47 Forever & Ever/Kurtis Hampshire
BRUCE DE VINCENT/CKC Winnipeg
57 Little Trustmaker/Tymes
• 47 Forever & Ever/Kurtis Hampshire
94 Carlisle Highway/Gordon Lightfoot
The following singles are projected to reach the top 25 on the respective charts, based on early radio station action among the stations in the RPM sample.
Contemporary
SECOND AVENUE
Barbara Streisand (CBS)
MEET ME ON THE CORNER
Peter Noone (Casablanca)
I'M A DREAMER
Scrubabobs Caine (RCA)
Adult
YOU CAN'T GO HALFWAY
James Taylor (Elektra)
LOVE IS THE FEELIN'
Blues & Ward (Yorkville)
I'VE GOT THE MUSIC
Kiki Dee Band (MCA)
Country
I WOULDN'T WANT TO LIVE
Don Williams (RCA)
JUST ONE NIGHT OF LOVE
R. Harlan Smith (GRT)
SUMMER SONG
Tommy Ambrose (RCA)
CJVI'S COUNTRY SPECIAL - A BIG SUCCESS
A hard-carry crowd jammed Victoria's Royal Theatre Auditorium for the long-promoted "Country Special". The program, featuring Johnny Duncan, Bob Luman, Frank Sutton, and the Suttons, packed CJVI's first such attempt and was considered a huge success. The paying customers to have been a success.
VI's Gary Pigden took advantage of the situation to do some interviews with Johnny Duncan and Gunilla Huston and interview-studios with Freddy Weiler and Ruth Ann. He also arranged a draw with a dinner at a local restaurant, the Wig 'n' Dickie, and tickets to the show for fifteen couples.
For further information regarding special position and colour ads, contact Sam Romanoff in Toronto (416) 425-0257 or John Watts in Vancouver (604) 921-9123.
Drew & Stirling to speak at C9
RPM's Two day Communication Nine meet will be held at Vancouver's Bayshore Inn, September 21st and 22nd. The two days of events will commence with a one day session of speeches by outstanding people in the radio and record industries. Speakers who have confirmed to date are: George Stirling, Chairman of the Board, Spacecraft International Corporation (Canada); and Paul Drew (KJH Los Angeles; Vice-President, Warner Bros. Records, Tokyo, Los Angeles. Other speakers will be announced as they are firmied. The morning session will begin at 10AM (21) in the Thompson/MacKenzie Room.
After a break for lunch, speeches will continue for the remainder of the afternoon.
At 8:30PM Saturday evening, RPM will host a cocktail party to which all C9 registrants are invited.
Record companies, independent labels and production firms will be hosting hospitality suites (product and artist presentations) which will be opened at 6PM. Those firmsed for hospitality suites are: A&M, Columbia, GRT, Goldfish, Leo, London, Motown, Mushroom, RCA, and Warner Bros.
Registration for the two days is:
Regular Registration $30 per person, or $35, which includes your guest for the cocktail party.
Registrations after September 13th will be $35, and $40. PAYABLE AT THE DOOR on the morning of September 21st. REGISTER EARLY and reserve your place. Arrive at the Bayshore Inn as soon as possible. Rooms are at a premium. See you at C9 Vancouver.
COMMUNICATION NINE
Sunday morning, Leo Records have scheduled a breakfast for C9 registrants at the Bayshore Inn, followed by a tour of Vancouver recording studios.
"RON NIGRINI"
September 12 - Saskatoon - Centennial Auditorium
September 13 - Regina - Centre Of The Arts
September 14 - Edmonton - Jubilee Auditorium
September 15 - Calgary - Jubilee Auditorium
"LETTERS"
IAT 101
RPM Top 100 Singles - No. 81
RPM Pop - No. 17
RPM Country - No. 48
Distributed by London Records
Regular registration $30.00
Registration including your guest for the RPM Cocktail Party $35.00
(YOU MUST ENCLOSE YOUR CHEQUE)
Name ...........................................
Firm ............................................
Address ..........................................
City ..............................................
Telephone ........................................
(You must enclose cheque with your registration)
Send to: RPM C8, 6 Brentcliffe Road, Toronto, Ontario M4G 3Y2
BACHMAN-TURNER OVERDRIVE’S
THIRD ALBUM, “NOT FRAGILE”
GET A LOAD OF IT.
SHIPPING
GOLD
Mercury SRM-1-1004
B-Truck MCB-1-1004
Musicsette MCR4-1-1-1004
Distribution: Polydor Ltd.
|
Life’s Jigsaw:
A Medical Man Finds the Pieces
by
JOHN RICHMOND
CBE, MD, FRCPE, FRCP, FRSE
Emeritus Professor of Medicine
University of Sheffield and
Past President Royal College
of Physicians of Edinburgh
The Memoir Club
© John Richmond 2001
First published in 2001 by
The Memoir Club
Whitworth Hall
Spennymoor
County Durham
All rights reserved.
Unauthorised duplication contravenes existing laws.
British Library Cataloguing in Publication Data.
A catalogue record for this book is available from the British Library.
ISBN: 1 84104 025 8
Typeset by George Wishart & Associates, Whitley Bay.
Printed by Bookcraft (Bath) Ltd.
To Jenny
© 2001
First published 2001 by
The Penguin Club
35-41 Pall Mall
London SW1Y 5JH
www.penguin.co.uk
All rights reserved.
No part of this publication may be reproduced, stored in or introduced into a retrieval system, or transmitted, in any form or by any means (electronic, mechanical, photocopying, recording or otherwise) without the prior written permission of the publisher.
ISBN 0 7181 258
Contents
Foreword .................................................. xiii
Preface .................................................... xv
Acknowledgements ........................................ xvii
Chapter 1 Origins and Early Childhood, 1926-36 .... 1
Chapter 2 Doncaster Grammar School, 1936-43 ....... 13
Chapter 3 Undergraduate Days at University of Edinburgh Medical School and First Hospital Appointment, 1943-8 ............. 23
Chapter 4 Military Service in Africa, 1949-50 .......... 41
Chapter 5 Rural General Practice, 1950-2 ............. 58
Chapter 6 The Later 1950s and the Path of Postgraduate Development ....................... 68
Chapter 7 Commitment to Clinical Medicine, Teaching and Research in the University Sphere ....................... 86
Chapter 8 The 1970s and 1980s. The Sheffield Medical School and the Royal College of Physicians of London ....................... 103
Chapter 9 Presidency of the Royal College of Physicians of Edinburgh, 1988-91 ............. 120
Chapter 10 Winding Down, Retirement and Reflections ....................... 143
Illustrations
Four generations with Mother and Family ............... 3
Four generations with Father and his Family ............ 4
With parents in summer 1927 .......................... 5
First primary school class, summer 1931 ................ 6
The first bicycle for school ............................. 8
First swimming certificate in 1935 ...................... 9
The Christmas pantomime in 1935 ...................... 10
Doncaster Grammar School .............................. 14
With parents and younger brother in 1937 .............. 15
Summer 1941. Form 5A (the School Certificate or ‘O’ level year) ........................................... 16
Summer 1943. The prefects with Headmaster .......... 18
Summer 1943. The Senior Swimming Champion ....... 20
The Medical School in Teviot Place, Edinburgh ....... 24
The door we entered in our first days in 1943 .......... 25
Family group in 1946, now with sister .................. 27
A typical senior clinique at the outbreak of the Second World War ............................................. 30
Swimming team year of obtaining ‘blue’ for diving .... 32
University Union Committee of Management 1947-8 .... 34
Graduation day 12 July 1948 ............................. 36
Deaconess Hospital, Edinburgh .......................... 38
Aboard SS Dunera en route to Port Said in 1949 ....... 42
My team at the Military Mission to Ethiopia in Addis Ababa, 1949 ........................................... 44
The staff at the Military Hospital, Mackinnon Road, Kenya in 1949 ........................................... 47
1st (Ny) Bn King's African Rifles .......................... 48
Corporal Jonathan ............................................. 49
Jenny at the end of my time in Lusaka .................... 54
The author on last evening in Lusaka, 1950 .............. 55
Corporal Jonathan’s letter to me in Southern Rhodesia . 56
Aerial picture of the Isle of Whithorn ....................... 59
Our wedding in September 1951 ............................ 64
The wedding in September 1951 ............................ 65
The Royal Infirmary of Edinburgh .......................... 69
The Royal Infirmary of Edinburgh .......................... 70
Sir Stanley Davidson receiving his Knighthood in 1956 . 74
Early studies using radioactive Chromium-51 (51Cr) .... 75
The Memorial Sloan Kettering Cancer Center,
New York ......................................................... 77
Jenny with two sons David and Michael in
Central Park, New York ....................................... 79
Jenny with the two boys in Disneyland ..................... 81
The Grand Canyon, USA ...................................... 82
Family picture with David, Michael, Virginia,
Granny Richmond and Jenny, 1964 ....................... 88
Mulago Hospital, Uganda ..................................... 90
Large spleens ..................................................... 92
Crocodiles on the White Nile ................................. 93
The author standing on the equator in south-west
Uganda ............................................................ 94
The Newington Ward of the High Constables of
Edinburgh ....................................................... 100
The (Royal) Hallamshire Hospital, Sheffield .............. 106
On the Crocodile River at Nelspruit near the
Mozambique border ........................................... 114
Hospital ward for children in Uganda ....................... 116
Prisoners in Uganda ............................................. 117
Jenny and the author ........................................... 118
Jenny and the author ........................................... 119
A family portrait .................................................. 120
The author in the garden ....................................... 121
The author in the garden ....................................... 122
Crest of the University of Edinburgh ......................... 123
Royal College of Surgeons ..................................... 124
Jenny with her grandchildren ................................. 125
University of Edinburgh ....................................... 126
Sloane Street ...................................................... 127
Jenny with her grandchildren ................................. 128
Jenny with her grandchildren ................................. 129
HRH The Prince of Wales ...................................... 130
A brief history of the hospital ................................. 131
Rubber ducks ....................................................... 132
Out in the garden .................................................. 133
Jenny and the author ........................................... 134
Tryphena and the author ........................................ 135
A beautiful garden ............................................... 136
Jenny and the author ........................................... 137
The author in the garden ....................................... 138
Bridgeton House .................................................. 139
| Page | Description |
|------|-------------|
| 47 | Mackinnon Road, Hong Kong, 1987. With the examiners for the overseas clinical and oral examinations of the MRCP (UK) Part II, Hong Kong |
| 48 | Jenny and me installed as ‘King and Queen’ at the Jumbo Floating Restaurant, Hong Kong |
| 54 | A farewell cake in Sheffield, 1989 |
| 55 | The Cutlers’ Feast in Sheffield in 1989 |
| 56 | The Royal College of Physicians of Edinburgh |
| 59 | Crest of Royal College of Physicians of Edinburgh |
| 64 | Royal College of Physicians of Edinburgh in Queen Street |
| 69 | Jenny and me with Professor and Mrs Rab, Pakistan |
| 70 | Unveiling plaque on wall of College of Physicians and Surgeons of Pakistan to commemorate our visit in September 1990 |
| 74 | Jenny and I on sightseeing bus tour of Karachi |
| 75 | Jenny at Chinese border on Karakoram Highway |
| 77 | HRH Princess Anne, the Princess Royal on the evening of receiving Honorary Fellowship of the College |
| 82 | A bronze bust kindly undertaken by Mrs Elsie McPhie about 1980 |
| 88 | Ruby wedding celebration September 1991 |
| 93 | Outside Holyrood Palace Edinburgh in July 1993 with Jenny and two sons after being awarded the CBE |
| 100 | Trying to be helpful in retirement |
| 106 | A bottle of Chateau Chasse-Spleen |
| 114 | Jenny with the owner of the chateau |
| 115 | The ten grandchildren about to go hill walking on Boxing Day 1998 |
If Walton himself was *The Compleat Angler*, read on and judge whether this biography was written by a man who might well be regarded as *The Compleat Physician*... because John Richmond has served with distinction in so many of the fields of Medicine.
He was assuredly held in high regard as a family doctor in Whithorn. Before that, he acquired a truly outstanding range and quality of experience as a (National Service) Army Doctor in Africa. He went on to be a most successful hospital physician and was successively Lecturer, Senior Lecturer and Reader in Medicine at Edinburgh. And he then proceeded to embellish the Chair of Medicine at Sheffield, taking the Deanship there in his stride and with prestigious senior status accorded to him in the London College of Physicians. He returned to Edinburgh where his term as President of the Royal College of Physicians of Edinburgh was a great success. It is a pleasure to write a foreword to this all-too-brief biography of a remarkable man who has been my close friend for forty eventful years. The challenge is to do justice to his character without overindulgence in superlatives, because my admiration will be obvious.
John’s personal account in the following pages reflects much of his typically guarded understatement. But his readers cannot fail to be impressed by his record of so much achievement and his daunting combination of industry,
determination and great ability. His patients, his friends, his colleagues, his guests and his students will all testify to the constancy of his authority, his courtesy, his gentleness, his unyielding integrity and his strength. I have cast this paragraph almost as a reference, because the style of the biography is unassuming but these points must be made.
Here is the story of a dedicated doctor, a gifted teacher and a man of uncompromising honesty who has never lost his friendly nature, his warmth and his human touch. These qualities have survived, despite the need (increasingly evident in these difficult years) for the determined competitiveness that he displayed in sport – in his swimming and diving, and on the rugby field – and in his very successful academic studies. He has also been able to develop and display firmness and to hold to his high principles in his teaching, his clinical management, and notably in his senior committee work. He makes light of his courageous responses to many of the very demanding challenges that he faced. And he sprinkles his biography nicely with anecdotes that reveal his grand sense of humour and love of good stories. He is, himself, an accomplished raconteur.
John Richmond has won the acclaim and unreserved respect of his professional colleagues across the world for his outstanding contributions to Medicine and to medical education at undergraduate and postgraduate levels. He holds many honours. His personal friends will warm to his many fine tributes to Jenny, his wife, and they will join me in applauding this modest chronicle of his remarkable career.
Gerald Collee
(Emeritus Professor of Medical Microbiology, University of Edinburgh)
Edinburgh 2001
IT IS AN APPROPRIATE approach to demurral and trepidation that it might be something that only those who would be his colleagues would do.
There are times when hospital life can be unexpectedly happy moments. There are times when we have chatted and contented voices.
I have never known colleagues who have offended me.
Finally, I am aware of his extraordinary staff of friends and encomiasts.
Preface
IT IS AN HONOUR, but also somewhat embarrassing, to be approached with the invitation to write one’s memoirs. I demurred two or three times but eventually, with some trepidation, decided to proceed. The main concern was that it might all read like self-aggrandisement, which is the last thing that I would want to happen. Also I had to wonder who would be interested apart from family, close friends and colleagues.
There is quite a lot about climbing the ladder in teaching hospital and postgraduate medicine and about doors opening unexpectedly. However I have tried to pepper the story with happy memories, anecdotes and my enjoyment of humour. There are many quotations and while the odd word may have changed with the passage of time, I am sure that the content is close to the original; indeed, I can still hear the voices.
I have purposely not mentioned many friends and colleagues by name and I sincerely hope that no one will be offended by any significant omission of a piece of the jigsaw.
Finally I want to thank my good friend Gerald Collee for his extraordinarily generous Foreword and also the many staff of the Memoir Club who have given me so much help and encouragement.
Acknowledgements
1. The Richmond Surname Society.
2. The Head Teacher, Hall Cross School, Doncaster, formerly Doncaster Grammar School.
3. Air Images, Haltwhistle, Northumberland NE49 0DG.
4. Blackwell Science Ltd.
5. President and Council, Royal College of Physicians of Edinburgh.
6. *A History of the Royal College of Physicians of London*, Vol I, by Sir George Clark, Clarendon Press, Oxford, for the Royal College of Physicians 1964.
7. The Medical Pilgrims.
8. The Public Relations Office, University of Sheffield.
9. Emeritus Professor Donald H. Girdwood.
10. ‘Bicentenary of the Faculty of Medicine 1726-1926’ by University of Edinburgh.
Origins and Early Childhood, 1926-36
The family name ‘Richmond’ is believed to have originated in the eleventh century. It may be derived from ‘Riche-monte’ meaning fine or noble hill, of which there were many in northern France. It was a splendid term for the Richmond Castle site in North Yorkshire on the River Swale.
The first Constable of Richmond Castle was Rhasculpus Musard de Richemont born in 1070, his father being Roaldus Musard de Richemonde born in 1028, and the surname may have evolved from that time. One particular family tree has been traced right back to that period. After Rhasculpus the name Musard seems to have been abandoned but ‘de Richmonte’ continued until the fourteenth century when in succeeding generations it became Rychemonde, Rycheman, Richman and finally a John Richmond was born in 1561. Another fascinating feature of this particular family pedigree is that Oliffe Richmond was born in 1881; he became Professor of Humanity in the University of Edinburgh and actually ‘capped’ me at my own graduation.
There are Richmonds all over the world and of course there could be many sources of the name other than North Yorkshire. My own family goes back for many generations in Ayrshire, Scotland. Indeed one of Robert Burns’s best friends was a John Richmond, but I cannot claim any direct connection.
My father was born in 1899 and might have been caught up in the First World War had he not been plagued with the asthma/eczema syndrome from infancy. His own father, John Richmond, had gained a Colliery Manager’s Certificate in Glasgow and moved the family to Larkhall, Lanarkshire in 1912 when he became General Manager of a group of collieries in south Lanarkshire owned by the Darngavil Coal Company. The collieries were to be mostly ‘worked out’ by the late 1930s and early 1940s, but this background is possibly why my father took a BSc in mining engineering at Glasgow University. In 1923 he migrated to Doncaster in South Yorkshire to start a Department of Mining in the College of Technology. I believe that the original thirty students studying for various coal mining certificates was later to increase in number to around 600 because of the great expansion and importance of the South Yorkshire coalfield. Father was later to become Principal of a very large College which had grown to embrace many disciplines.
He married Janet Hyslop Brown in 1924, also from Larkhall and daughter of James Brown the Gas Manager. While my father had four sisters, my mother’s mother had died at her birth and she had been brought up by her father and a maiden aunt.
I was born on 30 May 1926. It is not a particularly notable anniversary although Joan of Arc was burned at the stake on 30 May. I was to grow up in a nice friendly area, Wheatley Hills, on the eastern outskirts of Doncaster. Then it was next to open farming country and there were two nearby golf courses. Indeed, I can recall in the 1930s peeping through the hedge bordering one of the golf courses, watching a slightly disabled man who was playing. Then I
might have been caught up in the depression that had been plagued with the coal mining industry. His own father, who had a Gas and Electricity Manager’s Certificate, moved the family to Larkhall, where he became General Manager of a gasworks in Warwickshire owned by the South Wales Coal Mines. It was to be mostly a happy time until the early 1940s, but this was not to last. My father took a BSc in mining engineering and in about 1923 he migrated to Australia to start a Department of Mining at the University. I believe that the number of students in various coal mining courses grew from 50 or so number to around 600 over the years. The importance of the South Wales Coal Mines led him to become Principal of the University, a position to embrace many more years.
My mother was born in 1924, also from a mining background, as the Gas Manager. Her father’s mother had been brought up by her father and her mother.
I remember a particularly notable event when I was burned at the stake on the lawn of our very friendly area, Wheatley Park, in the city of Lancaster. Then it was the war years and there were two nearby golf courses. In the late 1930s peeping through the trees of the golf courses, I could see what my dad was playing. Then I
was married to my mother, and he was a very good man with his art.
Another of my father’s brothers, my Uncle John, had a lovely wife and family. They lived in a house on the way to York, and they were very close friends of my parents. The Toronto area was a very good place for him to be a gentleman farmer, and he was very successful in his cattle business. He was also a very good friend to my father and the rest of us.
Scholars’ Hall was a very important building at the time, and it was the primary school for the area.
was most surprised to see him knock out his pipe on one of his artificial legs; it was the great Douglas Bader.
An old stone quarry in the area was converted into a lovely boating lake which reminds me of an early addiction to Yorkshire humour. It was rumoured that at a meeting of the Town Council, a Councillor had proposed that it would be a good idea to put a gondola on the lake, and then one of his colleagues went on to suggest that they should have two and then they could ‘breed off ’em’!
Schooling started early in 1931 when I was still aged four, at the new Intake Junior Mixed School. It was in fact a primary and junior school. ‘Mixed’ was a good adjective
because I was the only one near the front and I was so small, I was able to manage to be in the front row.
In the assembly we had to recite the Lord’s Prayer which had three rows of children. The Lord’s Prayer was our first lesson in the worthy man.
We also had lessons which were very interesting and serious. We had to learn today’s lesson by heart and sing a solo song. We also had sandwiches for tea which we might have every day.
After school, my father and I walked home together furthering our education. He usually stopped at a shop in London Bridge to buy his newspaper and a cup of coffee. He would then relax and read the paper. At the same time, he would sit beside me and listen to my heart beat.
because while it was in the middle of a large council estate near the racecourse it drained a wide area and the social mix was splendid. Although the Head Teacher was a delightful man, nearly all the teachers were women and they were outstanding.
In my first few days I was greatly moved by the morning assembly conducted by the Head Teacher. We all had to recite together the Lord’s Prayer, but the young at the front had to pick up the words from the older children in the rows behind. My parents were delighted to hear about the Lord’s Prayer but were not impressed when I gave them my first version; ‘Our Father who shot in Heaven, Harold be thy name . . .’
We were in A and B streams in the junior school, by which time the average class size was fifty pupils, seated in serried ranks, something which would be unacceptable today. Another recollection is that from an early age I cycled solo from home to school through a field and the fringe of a sand quarry 2 miles to and fro’, including lunch time. This might cause concern today.
Apart from schooling it was a happy childhood, in which I was joined after a few years by a brother and then after a further few years by a sister. With my father being in education we had generous family holidays in the summer, usually at some sea resort and ending up with the relatives in Larkhall. Sadly my maternal grandfather died in 1932 in his fifties. It was then the custom in Scotland that the coffin would be lowered into the grave by the nearest eight relatives and friends, the closest taking the cord at the head. At the age of six I was the senior mourner on my mother’s side and having led the cortege behind the horse-drawn hearse to the cemetery, I had to take the head of grandThe first bicycle for school. From 1932 I would travel approximately eight miles per day.
father Brown’s coffin, assisted by grandfather Richmond. I had to do the same two years later when the maiden aunt died. These were memorable events that have left no scars.
Around this time in Doncaster we were fortunate to have an outstanding Secretary to the Education Committee, Mr Danby. Through him a programme of weekly swimming lessons was started for all junior school children at the Corporation Swimming Baths. I obtained my first certificate for swimming one length and then three lengths in 1935, and through this initiation, swimming was to become a major sporting interest in later years.
Having mentioned the Lord’s Prayer, I should mention that my childhood was in a strict and deeply religious home. My parents had been brought up in the Plymouth Brethren,
I would like to thank my mother Richmond. She was a woman of great faith, and when the maiden of her family, she left behind her many that have left no trace.
I was fortunate to have the support of the Education Committee, Mr H. W. Smith, who arranged for weekly swimming lessons at the baths for all the children at the school. I received my first certificate for swimming one length in 1935, and from then on I was to become a regular swimmer.
I should mention that I had a very religious home. My parents were Plymouth Brethren,
which was very strong in the west of Scotland. I still greatly enjoy hearing rousing gospel hymns. Also in 1935 we went for the first time to the cinema because my parents were particularly keen to see King George V’s funeral on Pathé News. My mother was convulsed with laughter during the main film, Laurel and Hardy in *Bonnie Scotland*, and things were never quite the same again.
What came next was to begin the shaping of my whole career. In Doncaster then, children around ten and eleven years of age sat the ‘Scholarship Examination’ in the spring of the last year at the junior school. This would be the precursor of the ‘Eleven +’. For reasons not very clear, a few of us in form 3A, the penultimate year, were allowed to take the examination a year early. I was only nine years old, shortly to be ten, and to my surprise I passed. Also in those days there was streaming into the secondary schools. The boys who passed the examination went to Doncaster Grammar School, and the girls to the Girls’ High School. Depending on examination performance, a second group went to the Central School where they followed a similar curriculum and from where it was possible to gain promotion to the Grammar School or High School if there was later academic improvement. The third group went to my father’s college where there was available a wide range of training, not only in the ‘three R’s’, but also in technical skills for the boys, and for the girls, an introduction to other subjects such as domestic science and secretarial work. While the fourth group did have comprehensive schooling one can imagine that these children may have found it more difficult than the children in the other groups to go on to the next stage.
Over the years, primary and secondary education has
been the subject of much change and controversy and the debate for and against early streaming and selection still continues.
Dear Don,
I left school in 1958, leaving a complex of memories. School was a place to celebrate and to learn, but in the end, it was over on 19 March 1958.
I can remember the following teachers who had many influences on me from that time.
Again, I am writing my second letter after my trip to Australia. This is most certainly due to my trip to Hobart and then to Australia. I have met the best people there including John and Pat O’Reilly, and also Don and Pat. It was an occasion to visit the School and to see the events that were going on with swimming.
Doncaster Grammar School, 1936-43
DONCASTER GRAMMAR SCHOOL was a boy’s school with long-standing traditions. In recent years it has become a comprehensive co-educational school known as Hall Cross School. However the Grammar School was recently able to celebrate its 650th anniversary having had its first mention in the time of Edward III in the York Chapter Act Book of 19 May 1350.
I cannot praise enough the dedicated schoolmasters who followed the grand teachers of the previous school. Indeed many of the attitudes and values I now have were absorbed from these men. The same social mix continued.
Again I have many happy memories and select a few from my second year. One was a most detailed and informative trip to London by train and then a coach tour, which took in most of the sights. In the summer of 1938 a group was taken to Headingley to watch the Fourth Test Match against Australia and spent the day sitting on the grass just outside the boundary. The many well-known figures on the field included Hammond, Verity, Fleetwood-Smith, Farnes and O’Reilly, although the outstanding event was the innings of Don Bradman, 103 not out. But I need to add one other occasion, the swimming contest against Barnsley Grammar School. At the risk of sounding immodest, I won the diving event and then was awarded my Half-Colours for swimming, in the bus on the way home!
Doncaster Grammar School prior to the Second World War.
Some years later, at the end of the war, there was a change between the two schools and I did not return to Doncaster Grammar. This was in 1947 when I was fifteen. Then I went to the local secondary fourteen-year-old school, the Technical Certificate School, which had three Levels of study, each with six subjects.
I had to take the Leaving Certificates but also had to sit for the Higher Form 5 Subjects.
Some rather critical academic landmarks followed. At the end of the 3rd year (now aged thirteen) we had to decide between the subjects of German, Greek and Chemistry. I do not recall seeking any advice but Chemistry it had to be. This was when the Second World War was about to begin. Then in the summer term of the 5th year (now aged fourteen and soon to be fifteen) we sat the School Certificate Examination, the present equivalent being ‘O’ Levels and GCSEs. Like the rest of my class I took nine subjects with pleasing results.
I had many good pals at this time not only in the school but also among neighbours. Looking at a photograph of Form 5A (the School Certificate Year) some of the boys
appear a little later in the picture. Mr Brooks was the late Sir Roy Waits, who joined BEA, then BEA Airways, and was an outstanding sportsman. He enjoyed sports such as rugby (scrum-half), football, swimming and was a Champion archer.
In 1938-40, the school had a library and a number of other rooms, laboratories etc., but we now had a new school building ready access to. I can still clearly recall many of the out-of-hours activities: the school troop and a band, and the performing arts, which were much in acclaim.
Because of the need for ‘fire watch’ during the war, the new school was not used for cider, apparently, and there was a lot of alcohol consumed at the Training Corps and the drill sessions that followed, and these inns.
In my last year, I was made School Captain, one of seven others in my mind, which was used by the school very minor
appear a little older than fifteen and sixteen. One dear friend was the late Sir Roy Watts, one-time Chief Executive of BEA, then British Airways, then head of Thames Water. He was an outstanding cricketer and rugby player but most of us enjoyed sport and I myself was honoured with Colours in rugby (scrum-half), athletics and, of course, swimming. The swimming included getting the cup as Junior Swimming Champion and then Senior Swimming Champion.
In 1938-40, the school was rebuilt, but retaining the old library and cloisters and apart from excellent new classrooms, laboratories, gymnasium and swimming pool we now had a squash court and a fives court, and of course ready access to the adjacent playing fields on Town Moor. I also recall many schoolmasters devoting themselves to out-of-hours activities, which apart from sport included a scout troop and a very enthusiastic choir. The choir got as far as performing the whole of Handel’s *Messiah* in public to great acclaim.
Because of the war we used to take it in turns in groups to ‘fire watch’, supervised by a schoolmaster, in the tower of the new school. My group used to drink large volumes of cider, apparently without realising that cider contained quite a lot of alcohol. We also had, compulsorily, to join the Air Training Corps in the 5th and 6th Forms. Apart from regular drill sessions we had interesting visits to local RAF stations and these included some short flights in warplane cockpits.
In my last year in 1942-3, I was enormously honoured to be made School Captain and enjoyed the loyalty and support of seven other prefects. One punishment comes into my mind, which has certainly changed in recent years. The cane was used by the masters from time to time, sometimes for very minor offences, and no one seemed to object. I myself
had four pairs of slippers for ‘talking’. I wore one slipper in the classroom with constraints.
The new school was built during the war period 1940-45. Encouragement to use the hall quite extensively was part of the Headmaster’s policy, particularly that of Mr. F.C. Lay, Benno Hess and Mark Hambourg. When Mark Hambourg had been put on the stage. His record player was learned to play. I still remember that Mark Hambourg set up the record at the time. When Mark Hambourg said to him that the record edition were playing it just right.
I was now at the Higher Levels (in which English and Mathematics seemed most important) education in Drawing and Art had to be completed at fifteen. The school was somewhat brusque like a Scottish High School.
One sad element in my memories of the school was the
had four painful strokes on the ‘derrière’, on one occasion for ‘talking’. Prefects were also allowed to give bad boys the slipper in the School Captain’s room, and they did, albeit with constraint.
The new school hall was very effectively blacked out in the war period. Because of this the Council for the Encouragement of Music and the Arts (CEMA), used the hall quite extensively for concerts. These included one by part of the London Philharmonic Orchestra but I recall particularly the many pianists who came, including Myra Hess, Benno Moiseiwitsch, Pouischnoff and Nina Milkina. When Mark Hambourg came from Leeds I happened to have been put in charge of the lights in the wings of the stage. His recital included *The Moonlight Sonata*, which I had learned to play myself. Those who know the piece will remember that the left hand is mostly octave chords but Mr Hambourg seemed to have all five fingers busy for most of the time. When he came off the stage mopping his brow, I said to him rather impertinently, ‘Excuse me, sir, which edition were you playing from?’ to which he replied, ‘I was playing it just as Beethoven would have liked it, lad’!
I was now approaching Higher School Certificate (now ‘A Levels) in which my subjects would be Chemistry, Physics and Mathematics with subsidiary Biology. In retrospect it seems most inappropriate that our general secondary education in English, History, Geography, Latin, French and Art had to be left behind at such a young age; I was only just fifteen. The same is true today, whereas in Scotland, a somewhat broader band of subjects tends to be taken in Scottish Highers, up to the point of leaving school.
One sad embarrassment remains as I conclude my memories of Doncaster Grammar School. I do not know
how it ended, but I do remember that there was a Mr I.G. Jones who gave me a coach me to take the final exams in May. This then followed shortly after I was delighted with my clinical work and finally graduated instead of having met my fate to become a doctor.
Although I did not pay much attention years after leaving school, the church was very dedicated.
Then I think of Mr Jones and remember his rejection of me. I am very happy to know how much he
how it emerged that I might make my career in Medicine, as there was no family tradition in this profession but there was encouragement. My Chemistry master, the late Mr I.G. Jones thought that I should try for Cambridge. Mr Jones gave up all the mornings of his Easter vacation to coach me personally in Organic Chemistry so that I could take the first MB Examination at Cambridge externally in May. This I did and was successful, and was interviewed and then followed the offer of a place at St John’s College, which I was delighted to accept. I cannot explain what followed but shortly afterwards I turned down the place at Cambridge in favour of going to Edinburgh. Perhaps I was influenced by the family’s Scottish traditions and of course the Edinburgh Medical School had a distinguished reputation. I could have done both, gone to Cambridge first, then to Edinburgh for my clinical years. However, had I done this I would have finally graduated a year later (six years as an undergraduate instead of five years), and if this had happened I would not have met my wife. As will emerge later, my wife Jenny was to become an absolutely critical part of my life.
Although I was much in Yorkshire in subsequent years, I did not pay a full pilgrimage to Doncaster until 1993, fifty years after leaving school. I had a memorable escorted tour of the school, a visit to childhood homes, then to a country church where as School Captain I had shared in the dedication of a stained-glass window.
Then I made, nervously, a pre-arranged visit to the home of Mr Jones. He was now aged ninety-five, but he remembered only too well Richmond’s bad behaviour and rejection of Cambridge. However we were able to have a very happy time together, sharing reminiscences. He knew how much I respected and owed to him and all was forgiven.
When I left Doncaster Grammar School, the Second World War was still at its height. On the night of the first day of the war, 3 September 1939, the air-raid sirens startled us all so we jumped out of bed and hurried into the depths of the cold cellar of the house where we were later to set up bunks. Father said, ‘They will be over in their thousands,’ but nothing was heard until the ‘all clear’. Doncaster fortunately escaped much bombing but we had multiple nocturnal alerts because the town was in line with Hull, Sheffield and Manchester, a regular path for overhead bombers. Apart from this I think my main memories are Mr Chamberlain’s declaration of war on the wireless on Sunday morning, 3 September, the sight of hundreds of sad and bedraggled army survivors of Dunkirk on Doncaster racecourse, the Battle of Britain, the North Africa and Italian campaigns and the invasion of Russia. The horror of the Holocaust did not emerge until later.
The 20th century was a time when doctors were always in demand. I was born in Edinburgh in the year of the Armistice, 1918, and grew up from 1924 to 1939 in the shadow of the University of Edinburgh, which was my home for 50 years and beyond. I have always been a man of action, thinking, doing, working, and I have never felt a feeling of boredom. I was born in the flat above my bedroom in the old Royal Infirmary, a hospital course for medical students. My parents resided in the large house next door in the top-floor flat. My father was a doctor who died after being wounded in the First World War. In the First World War he was a cook, and his last meal prior to his death was a roast beef dinner lunch; he was 26 years old.
Teaching was a way of life in the 19th and early 1400s. Sir James Young Simpson, Professor of Surgery at the University of Edinburgh, and the late Sir John McEwen, President of the Royal College of Surgeons, were both members of the Chapter of the Royal College of Surgeons.
Chapter 3
Undergraduate Days at University of Edinburgh Medical School and First Hospital Appointment, 1943-8
The entry to Edinburgh Medical School was some 200, a quarter of which were girls. Being wartime, we were all young; a few were still aged sixteen but most were in the seventeen to nineteen bracket. There were a few boys from Accra in West Africa. There were large numbers of Edinburgh schoolboys still retaining their school loyalties and being a lone boy from South Yorkshire, I remember thinking that they were a bit of a ‘shower’. However that feeling quickly abated and very many were soon to become my best friends and have remained so. Many students of course lived at home, others in halls of residence but some resided like me in ‘digs’. I stayed for my whole five years in a top-floor flat in a tenement in the Marchmont area, looked after by a delightful old lady who had been widowed in the First World War. Apart from breakfast, I had every evening meal provided and on Saturdays and Sundays I also received lunch; the cost was £2 2s per week, rising to £2 5s.
Teaching of medicine in Edinburgh went back into the 1400s. Significant events followed with the Incorporation of Surgeons and Barber Surgeons being established in 1505. In the late 1500s a Town’s College was founded and in 1681 the Royal College of Physicians of Edinburgh followed (see Chapter 9). Some of the physicians were much involved in
The Medical School in Teviot Place as it was in my time and as it is today. This houses the main departments of the preclinical and paraclinical subjects.
the creation of the Edinburgh Medical School but it is not widely known that it was the first to be established as a formal teaching Faculty in a University outside Oxford and Cambridge and this was in 1726. In those days in order to enter Oxford or Cambridge aspirants had to be members of the Church of England and so in the 1700s and 1800s students came in their droves from all parts of the United Kingdom, continental Europe and North America. Moreover in the 1700s Edinburgh was a particularly exciting place to be during ‘The Enlightenment’.
The first professors had been mostly trained in Leiden, Holland and many of the early traditions had been inducted in them by the famous Professor Boerhaave. The first Professor of Medicine in the new University Medical School was John Rutherford, maternal grandfather of Walter
The door we used to enter the School when I was a student, then of Anatomy.
The door we entered in our first days which illustrates the importance then of Anatomy compared with Surgery and the Practice of Physic.
Scott and it was he who started teaching clinical skills on living patients. There is a delightful recorded extract from Rutherford’s first clinical lectures:
The method I propose to pursue is to examine every patient before you, lest any circumstances should be overlooked. I shall conduct this by a plan which will be the most useful I can think of. I shall give you the history of this disease in general; second enquire into the cause of it; third give you my opinion how the disease is likely to terminate; lay down the indication of cure which will arise... If you find me mistaken I hope you will excuse me for the art of physic is not infallible... I shall make as accurate observations and as just conclusions as I can. I hope this will produce a good result and help to make you real physicians.
Clinical teaching was even more developed by the third Professor, William Cullen in the late 1700s. Indeed the founders of the first medical school in North America, in Philadelphia, received their medical training in Edinburgh in Cullen’s time.
The early 1800s saw the evolution of Anatomy as an important discipline but sadly this period included the infamous ‘body snatching’. Later, Surgery was to improve, particularly under Syme but aided by Lister’s introduction of antisepsis and by the appearance of ether and then by the discovery of chloroform by the Professor of Midwifery, James Young Simpson.
In my time, the first year included Medical Chemistry, Physics, Zoology and Botany and in the second year there were three terms of Physiology. However both years were dominated by five terms of Anatomy when in pairs we dissected every part of the human body. The Professor of Anatomy was Professor Brash, who along with our Professor
clinical skills on the patient, and I learned extract from the urine.
I was taught to examine every patient carefully, and nothing was overlooked. I was told that the three most useful I should know about this disease in the first place; the second third give you a good chance to differentiate; lay down the fourth rule, and if you find me wrong, I am wrong. The art of physic is based on observation and as a result you will produce a good diagnosis.
The art of medicine developed by the third quarter of the nineteenth 1900s. Indeed the art of medicine spread throughout North America, in particular to the University of Edinburgh in Scotland.
The teaching of Anatomy as an undergraduate course included the study of the human body. It was to improve, however, with the teacher’s introduction of the dissection room, and then by the introduction of the Professor of Midwifery, Dr. John Macleod.
In the course of Medical Chemistry, we had to do practical work. In the second year there were two practical classes, and both years were held in the same room. When in pairs we had to work with the Professor of Medical Chemistry, and with our Professor of Physiology.
of Forensic Medicine and Dean, Sydney Smith, had had much to do with unravelling the Buck Ruxton murder case in the 1930s, a pioneering investigation. Our main dissecting room presence was the great Shetlander, Dr E.B. Jamieson. Indeed we were the last class to have him in his formal appointment, although he stayed around and continued to inspire succeeding classes of students.
Because of my English Higher School Certificate and Mr Jones, I was able to coast through my first year and concentrate on Anatomy. This led to my being awarded at the end of my second year the Cunningham Medal, so named after the famous Professor of Anatomy, Daniel Cunningham, father of the distinguished Second World War sailor, Admiral Cunningham. My head is still stuffed with all sorts of anatomical minutiae which I have never needed to use.
Being wartime, all the men had to belong compulsorily to the Senior Training Corps, the equivalent of the OTC. This lasted for our first two years and was quite a commitment. Every Wednesday afternoon we marshalled in High School Yards and after collecting our rifles were ordered by the Sergeant Major to get ‘fell in three thick’. After inspection we would run at the double down the Cowgate and do three hours of manoeuvres near Holyrood Palace in King’s Park on the slopes of Arthur’s Seat. It was said that we would be expected to defend Daireith in the event of invasion but of course fortunately this never happened. However once a term we were marched to Dalkeith to ‘recce’ the area and then returned to Edinburgh by coach with blistered feet.
Another memory I have of the STC was our having to take part in frequent parades along Princes Street such as ‘Wings for Victory’ and ‘Salute the Soldier’. This would be in the summer and the Waterloo Regiment contingent, the nurses and WAAFs and the Boy Scouts, Girl Guides etc., would be there.
On one occasion about 100 of us marched behind up to the top of the dozen or so steps on the east side of the street skipping along. I well remember that the ‘Jings is Jings’ of our fellows damped our spirits.
The third year Medicine and Therapeutics, Gynaecology, Medicine of the Chest and throat, was during the final year.
We all had to attend parturition clinics and childbirth clinics at the Maternity Hospital. Some of us opted to work either at the maternity childbirth clinic or in the city hospital and arrive with a wall of one wall
in the summer of 1944. The parades would marshal in Waterloo Place, near St Andrew’s House, and would include contingents from the Navy, Army, Air Force, Wrens, ATS and WAAFS and then us, and after us there would be Boy Scouts, Girl Guides, Boys Brigade and others. The parades would be about a mile long.
On one occasion, after setting off, our pipe band was about 100 yards ahead of the company that I was in and just behind us the Boy Scouts were blowing their bugles ten to the dozen. Passing the General Post Office, as we entered the east end of Princes Street we were all hopping and skipping to get into step, with our rifles at the slope. I remember very clearly hearing a voice from the pavement, ‘Jings is thaes fellies dancin’?’ (Goodness me are these fellows dancing?)!
The third year of the medical course was mainly Medicine and Surgery with collateral Pathology, Bacteriology and Therapeutics. Fourth year was mainly Obstetrics and Gynaecology, Psychiatry, Paediatrics and Public Health Medicine, together with so-called ‘specials’, ENT (ear, nose and throat), Ophthalmology and ‘skins’ (Dermatology). In the final year we returned mainly to Medicine and Surgery.
We all had to have delivered twelve babies in normal parturition but also had to have observed complicated childbirth during six weeks residence near the Simpson Maternity Pavilion of the Edinburgh Royal Infirmary. Many of us opted to do our normal midwifery based in Dublin either at the Coombe or the Rotunda Hospital. The childbirth experience was mostly in rather humble homes in the city and I recall occasions waiting for the baby to arrive with a picture of De Valera watching over me from one wall and the Sacred Heart from another. The group I
was with we get down to Patrick’s Da then Good everyone we memory is of ‘PPH’. We the haemorrhage hospital’ and closed.
Many skilled hospital war the Edinburgh we had long hospitals near doctors were.
I once reme the late Bruc Doncaster R 1946 or 1947 event because British Heavy.
The sport on rugby, try half. Unfort Black, was all XV only when afternoon I prestigious R modest margi Edinburgh Eve that ‘Had A W
was with went out by boat from Glasgow and we did not get down to business for several days. We arrived on St Patrick’s Day, which was followed by Holy Thursday and then Good Friday. But Saturday was committed also – everyone went to the races at Phoenix Park! One other memory is of the tavern next to the hospital known as the ‘PPH’. We thought at first that this must mean ‘post partum haemorrhage’ but were soon to learn that it was ‘pub past hospital’ and it seemed to be highly accessible even when closed.
Many skills were learned ‘junioring’ at nights in the hospital wards of the main teaching hospitals, particularly the Edinburgh Royal Infirmary. Perhaps more importantly we had long summer vacations and many of us worked in hospitals near our homes where, because of the war, young doctors were in short supply.
I once removed a small piece of steel from the thumb of the late Bruce Woodcock in the casualty department of Doncaster Royal Infirmary. This would be in the summer of 1946 or 1947. Fortunately it must have been a very minor event because he was then at the height of his career as British Heavyweight Boxing Champion.
The sporting interests continued. At first I concentrated on rugby, trying to stay in my favoured position as scrum half. Unfortunately the scrum half for Scotland, Angus Black, was also in my class and so I got to play for the first XV only when he was busy on a higher plain or unwell. One afternoon I was included when we played against a rather prestigious Royal Australian Air Force XV and we lost by a modest margin. The next day in ‘Sporting Titbits’ in the *Edinburgh Evening Dispatch* there was a brief note to the effect that ‘Had A.W. Black been playing ’varsity might well have
won’, but we were a plucky group.
I felt that I had recruited for the Inter-University event. *The News* had been kind and reliable, and for the first time in my life I went out to the Common Room delighted with my standing.
Apart from the other dignitaries, most of us began to gather after lunch. The roast beef was being dropped off at the Saloon room, and snooker was puzzling the snooker players’ vision. We had a Men’s Union Manager, and several matches with other Universities Saturday afternoon.
I have always been exposed to a lot of time more than I
won’, but happily went on to say, ‘Richmond played quite a plucky game.’
I felt it wise to return to swimming and was soon recruited into the university team. In 1947 we were the Inter-University Swimming Champions, winning every event. I had won the high board diving and the *Varsity Athletic News* had the nice entry, ‘In J. Richmond we found a neat and reliable diver who got us honours in this event for the first time since P. Heatly graduated.’ Peter Heatly of course went on to win the gold medal for diving in the Commonwealth Games. I did not get as far as this but was delighted with the award of a University ‘Blue’. Now if I am standing three feet above the ground I feel dizzy!
Apart from these sporting interests, there were many other digressions. In the third year particularly, I recall many of us being bored by the Pathology lectures, immediately after lunch, important as they were. Lunch was usually a roast beef rissole and chips costing 10 old pence! Instead of dropping off to sleep a group would repair to Jack’s Billiard Saloon nearby and we soon became quite expert at billiards and snooker. This perhaps explains why my sons were so puzzled by my knowing where the coloured balls were in snooker contests, when we still had black and white television. We also had a good billiard room in the University Men’s Union. I enjoyed being on the Union Committee of Management in the Final Year. The Committee included several members of staff but also encouraged much mixing with other students and attendance at the regular jolly Saturday evening dances – the ‘Union Palais’.
I have to reflect again on the many outstanding teachers I was exposed to in the Edinburgh Medical School and at that time most of the bedside clinical teaching was done by the
most senior, Dr Stanley Davidson, Learmouth, who used to give endless lectures on Stanley Davidson from a patient's point of view that might not be true.
I passed the examination and we had the first inception of what became many of us have thought meant, or was meant.
A few other things like cortisone was used for pernicious anaemia, we had sulphonamides, antibiotics were used, barbiturates and other medicines were used.
In Edinburgh the Medical Council had Officer jobs in which some of us would join the Royal Defence Union and pay subscription for medical appointments in January and April. If I remember correctly, we were only permitted to work eighteen months because there were some great difficulties because of illness and death all over the country.
most senior. My class and near contemporaries had the great Stanley Davidson, Derrick Dunlop, Rae Gilchrist, James Learmouth, David Henderson and many others all prepared to give endless time to their clinical work and their teaching. Stanley Davidson used to say that if you took a good history from a patient and then did a careful examination, the rest might not be too difficult or too expensive. This is still true.
I passed the Final Professional Examination with Distinction and we graduated on 12 July 1948 one week after the inception of the National Health Service. I do not think that many of us had much idea what the National Health Service meant, or was going to mean.
A few other things happened in 1948. For example, cortisone was introduced and vitamin B12, the treatment for pernicious anaemia was isolated from liver. We already had sulphonamides and following penicillin, other antibiotics were beginning to emerge. We also had digitalis and barbiturates and morphine and aspirin, but the range of medicines was fairly limited.
In Edinburgh at that time one registered with the General Medical Council on graduation and pre-registration House Officer jobs in hospital had not become obligatory. Most of us would join the MDDUS, the Medical and Dental Defence Union of Scotland, for which the annual subscription was then one guinea (£1 1s). House Officer appointments lasted for six months and began in October and April. If I remember correctly, I believe that in 1948 we were only permitted to do one job before being called up for eighteen months (later two years) military service, but there were some grounds for deferment and of course exclusion because of ill health. Many of my class went into hospitals all over the country and some for a time went straight into
generally, and I was sent to Edinburgh to do my surgical training.
I found that the work was not so good as I had expected. The Sanaa hospital was a general hospital with a large number of patients, but the surgical group was small. There were three beds reserved for me in the surgical ward, one abdominal, one chest and diaphragmatic, and one thoracic. I was the only doctor at the hospital, and I was also responsible for the nursing staff.
The first night I was on the Death Row ward, a patient died. The next morning, the Chief of Surgery, Dr David MacLennan, came to talk about the case. He was very kind and supportive. He told us that we set aside a certain number of casualties each day, and if any of us died, we would be replaced by three new doctors. This was a shock to us all, and we were all very worried about our future.
Graduation day 12 July 1948. This was one week after the National Health Service started on 5 July.
general practice. I opted to do a House Officer job in Edinburgh in a small hospital sharing duties with a classmate, Lindsay Davidson.
I filled in part of the August and September months by doing a few weeks in a locum appointment in Baguley Sanatorium in Cheshire near Manchester. This was a large hospital and it was a revelation indeed to see so many patients with active tuberculosis, mostly in the younger age groups, and to experience the level of mortality. At that time there were no curative medicines and the treatment involved bed rest, with rest of the affected lung by pneumothorax (air in the pleural space), pneumoperitoneum (air in the abdomen), phrenic nerve crush in the neck to paralyse the diaphragm and sometimes mutilating surgery termed thoracoplasty when ribs were removed. Apart from assisting at thoracoplasties I had to undertake the other procedures and the many patients with air in their body spaces had to receive refills every week.
The House Officer job began on 1 October in the Deaconess Hospital, Edinburgh. This was a remarkable period and perhaps in retrospect a most unusual experience. The hospital had been associated with the Church of Scotland but was now embraced by the NHS. Lindsay Davidson and I were of course resident and we looked after about 120 acute hospital beds which included adult medical and surgical wards, a children’s ward and a number of beds set aside for gynaecology and ENT patients. There was a casualty department which could be quite busy. The two of us did three months predominantly on the medical side and three months on the surgical side. Our consultant staff to whom we were responsible were all primarily based in the Edinburgh Royal Infirmary, but were all readily available if
called upon. They all did regular ward rounds and there were several operating sessions each week. At that time no undergraduate students were being taught in the hospital which meant that they could not share some of the tasks. A few young doctors leaving the Services attended the hospital primarily as observers but they did stand in for us and support us in times of pressure. The two House Officers therefore carried considerable responsibility. They had to do minor surgery and reduce simple fractures in the casualty department, where they might also have to give simple anaesthetics. We also gave the anaesthetics to children in tonsil operations. We worked late into the night counting blood cells, staining blood films and bone marrow smears, and testing urine samples. Major investigations were done at the Infirmary. None of this would have been possible without the help of the nurses who were, without exception, the outstanding workers I have ever met. They were my entire support and I am sure that they were an essential part of my training.
Looking back on those days I am beginning to understand why the first major development was a medical emergency unit (coronary care) and why the Department of Medicine was the first to be developed at that time with its own cardiac monitor and electrocardiograph.
My pay was £100 per annum and I shared the new North Lodge with two other doctors. The lodging became a home away from home and I seldom abdicated my responsibilities even though I however rarely slept.
One evening I was called out to a patient who went out to the garden and died. I was so shocked that I did not realise that the patient was not breathing until I was being resuscitated by the ambulance crew. I had to be taken to the Infirmary in Edinburgh and Dalkeith and I was not allowed to drive myself home with me.
The other doctors were all very busy and often days peptidised. They were all very good surgeons and often in charge of the operating theatre. I was not a surgeon and I was not allowed to take any partment in hospital work. I was told that the patient was a soldier and that he had been wounded that he had been in the Services and that he had served in the First World War. I was rather a
without the help, advice, assistance and even instruction by the outstanding ward sisters and staff nurses. Throughout my entire professional life the nursing profession has been an essential partner.
Looking back, one particular medical problem was beginning to emerge which I do not recall being taught on when I was a medical student, and that was myocardial infarction (coronary thrombosis). Dr Ian Hill (later Professor of Medicine in Dundee), was very interested in cardiology and at that time was pioneering the further development of electrocardiography. He was our senior physician.
My pay for the first month was £4 1s 6d later adjusted to the new NHS scales. We did of course have free board and lodging but the salary did not matter because we were seldom able to get out of the hospital to spend it. I will however recall two outings.
One evening my opposite number held the fort while I went out to the Royal Infirmary to see some old pals. I did not realise that every time my glass of beer was half empty it was being filled up and the result was that around midnight I had to be returned to the Deaconess Hospital in the Dalkeith ambulance. The Night Sister was not very pleased with me.
The other outing also upset the Night Sister. In those days peptic ulcer, particularly duodenal ulcer, was common and often intractable. Many patients ended up having gastric surgery and often had a month of intensive medical treatment in hospital before surgery was decided upon. One patient was a general practitioner but I seem to remember that he had disguised the fact that he was a young doctor and had served in RAF aircrew during the war. In any case he was rather an unusual chap.
After a few days of milk and alkali, milk puddings and steamed fish he said, ‘Richmond, I cannot stand this any longer’. I had to say, ‘I am not at all surprised but what am I to do?’ ‘Well,’ he said, ‘Chico Marx is on at the Empire Theatre and I would love to go.’ To cut a long story short my colleague again held the fort while my doctor patient and I slipped out through the boiler house, because I, of course, had to take him. We had a grand evening but Sister caught us soon after returning through the boiler house. However there were no harsh words because she was so relieved to find her missing patient alive and well. I think that the patient’s symptoms were much better next day.
At a medical examination at the Cowglen Military Hospital in Glasgow early in 1949, I was passed fit for military service. My time at the Deaconess Hospital ended on 31 March and I was called into the Royal Army Medical Corps two weeks later. I was still only twenty-two years old but I think Colonel Keyes was only twenty-two when he led the raid on Rommel’s headquarters and Guy Gibson was only twenty-four when he led ‘the Dambusters’!
CHAPTER 4
Military Service in Africa, 1949-50
After six weeks' induction at Crookham near Aldershot and at Millbank in London our first postings began. Many were assigned to the United Kingdom. I volunteered to go to the Middle East and a most maturing experience followed.
Those going to the Middle East and Far East went out on the troopship SS Dunera, later to be named the SS Uganda. Six of us were crammed into a cabin meant for three. We rounded Cape St Vincent at Gibraltar to our first stop at Port Said. One of our six spent most of his time sitting on his bunk blowing a chanter (the musical part of bagpipes), and he nearly ended up going through the porthole into the Mediterranean. Quite fortuitously the piper and I were to become close collaborators in research in the 1960s.
We arrived at Port Said in the dark and anchored offshore. Almost immediately we were surrounded by scores of little rowing boats known as 'bum boats', whose occupants were selling their wares up and down ropes to the troops hanging over the side or through portholes. On board was a battalion of the Argyll and Sutherland Highlanders en route to Hong Kong. I happened to look out of my porthole to see a kilted Highlander standing up on the ship's rail. At the same time one of his mates from a porthole low down shouted up to him, 'Pee on them, Jock', and he did, much to the consternation of the visitors.
Next morning we were on our way to Port Said (spelling then was different) and the SS Dunera produced a very smart uniform for us, a khaki gown. We were given a small suitcase each and a small bag for our personal effects. The steward said ‘You like to have a drink?’ and we were off across the transom.
After a few days we arrived in Massawa, Ethiopia. I had never been there before but I think several of my colleagues had been stationed in the Italian colony. It was a place where people travelled by train, and there was much political unrest at that time. We were billeted in a hotel in uniform and we were taken to the railway station where we were met by a group of very many people. We were taken to a restaurant and managed to get a table. We had a good meal and eventually we were taken back to the hotel. A stocky gentleman came up to me and asked “Are you sitting still?” I said “Yes” and he said “So did he not?” “So and so” I replied. “He’s been back from Eritrea, hasn’t he?” “Yes” I said. “And we’ve got to go there too” he said. “We’ll have a restaurant there.”
The following day we were taken to the airport first at Jeddah and then at Aden. The planes were old airports with no runways and the planes were broken-down. We were told that we would be able to see the Red Sea and the mountains of Eritrea, but we couldn’t.
I did not know what to expect when we arrived in Eritrea. I had heard that it was a hot country and that the people were very poor. I was also told that the people were very friendly and that they were very welcoming. When we arrived in Eritrea, I was surprised to find that the people were very friendly and that they were very welcoming. I was also surprised to find that the people were very poor. I was also surprised to find that the people were very poor.
Next morning before disembarking a ‘Gilligilli’ man (spelling uncertain), came on board and as part of his act, produced scores of little chickens from under his white gown. Then after getting off the boat, we were greeted by small boys, ‘Hello Mr Churchill’, ‘Hello Harry Lauder’, ‘You like meet my sister?’ But we were soon on our way to the transit camp down the west side of the Suez Canal.
After two weeks I was posted to the Military Mission in Ethiopia to relieve its Medical Officer for two months, I think selected because of the brief but very varied experience in the Deaconess Hospital. I was a little nervous, not having travelled overseas before and because of continuing local unrest after the Palestine conflict, I was not allowed to travel in uniform. The train to Cairo left from Ismailia where the station was swarming with people. When the train came in, many passengers were hanging on the outside, but I managed to get on board. After walking up and down, I eventually found a compartment full of packing cases with a stocky gentleman sitting in one corner. There was a little sitting space in another corner and I asked in slow English did he mind if I joined him. ‘Not at all, lad, come in. I’m Mr “So and so” from Bayswater, travelling for Burberry’s, just back from China.’ Mr ‘So and so’ was a good companion and we had dinner together that evening at the famous restaurant in Cairo, Groppi’s, before I caught my plane.
The flight to Ethiopia was in a noisy Dakota, stopping first at Jeddah, which now has one of the most sophisticated airports in the world, but in 1949 the airport was like a small broken-down English cricket pavilion. From the air one could see overland trails to Mecca. Then on to Asmara in Eritrea, and over the mountains to Addis Ababa.
I did not have much opportunity to travel widely in
Ethiopia. I was there when Haile Selassie’s son, Lij Iyasu, died (at my time), and the country had to have a railway system built before it could become viable.
I often went to Ethiopia with the Military Mission, which was large and many of us were from the Imperial Service. We travelled all over the country, visiting hospitals and also attending conferences. There was one occasion when I think I would have preferred to be in Nairobi watching the football in Egypt after the Suez Canal disasters. I had a bad operation for a procedure called a tonsillectomy and anaesthesia, and I was operated on badly, and the surgeon who did it could do no more than say that he had jumped out of bed and had had a test. I was very ill afterwards. Interesting times, but I don’t remember much of them.
I flew to Addis Ababa with British Airways which was then still crewed by men. I was a passenger, and I was sitting next to a man when I was asked to put pressure on my ear, ‘We’re going up to Mount Kenya’, said the British air hostess.
Ethiopia. The capital had some fine buildings such as Haile Selassie’s Palace (and Haile Selassie was in residence at the time), and the Koptik Church. The Italians had left behind a railway station and an opera house but Via Mussolini had become Via Churchill.
I often look back on those few weeks with alarm. The Military Mission comprised a Major General, senior officers and many NCOs whose purpose seemed to be to train the Imperial Ethiopian Army. I was the only British doctor in the country, although there were a few Scandinavian doctors and also a small Russian hospital, where I was not welcome. There was also quite a large Russian legation. I wonder how I would have handled a serious medical problem because Nairobi was 400 miles away and British military hospitals in Egypt a good deal further. Fortunately there were no disasters. I did however have two rather challenging surgical procedures on very large dogs, each of which required anaesthesia. The first dog had buckled its big tail rather badly, and the owners asked me if it could be corrected. All I could do was to perform an amputation. The second dog had jumped over a barbed-wire fence, torn the scrotum and had a testis hanging out. Again, fortunately, all was well. Interestingly, reflecting on the Russian presence in 1949, much of that ‘Horn of Africa’ later became Marxist.
I flew to Nairobi on another noisy Dakota of Ethiopian Airlines with the Lion of Judah painted on the tail and crewed by Trans World Airlines. There were few passengers and I was sitting at the back, minding my own business, when I was aware above the noise of someone shouting in my ear, ‘We are crossing the equator right now and that is Mount Kenya on the left there.’ As I turned round the lovely air hostess was kneeling beside me and unfortunately the top
of her dress had fallen rather far forward. Although this may sound indelicate I am afraid that I was temporarily distracted from the scenery that I was supposed to admire!
The time at the military hospital at Mackinnon Road between Voi and Mombasa was most educational and rewarding. There were several very good medical officers and Queen Alexandra nursing sisters. We had a commanding officer and supervisory physician. My own job was to do three large sick parades in surrounding camps each morning and also to be in charge of a medical ward. Some Swahili had to be mastered fairly quickly for the sick parades. ‘Nahara’ (diarrhoea) was common and treated from the so-called MI Rooms with ‘Mist. kaolin sed’. ‘Nahara damu’, diarrhoea with blood, usually meant dysentery, and admission to the hospital. When the sick Askaris got to know how I handled this, I one day caught a group queuing up to see me with their obligatory stool samples and some were pricking their finger to add some ‘damu’! My memory of Swahili may not be quite the same as in present-day dictionaries.
A major event was a large outbreak of typhoid fever, despite all the troops having received TAB vaccination. The mortality was rising to high levels when fortunately the new and effective antibiotic, chloramphenicol, became available and helped to stop the epidemic.
There were one or two interesting trips to Nairobi and Mombasa, and one to Moshi to view the snow-capped Mount Kilimanjaro. On all these journeys wild animals of all kinds were numerous. One duty which I had to undertake personally was to travel north once a month to the River Tsavo to inspect the source of our water supply. There was plenty of wild life in that area and the book, *The*
Although this may have temporarily distracted me, I must admire!
Mackinnon Road had educational and medical officers. We had a common room. My own job was to visit the landing camps each day in the medical ward. Some came quickly for the sick and taken and treated from ‘tobolin sed’. ‘Nahara’ meant dysentery, and the Askaris got to know the group queuing up to the latrines and some were ‘naharas’! My memory of these days in present-day Kenya.
Cases of typhoid fever, and B vaccination. The fortunately the new vaccine became available
Travels to Nairobi and the snow-capped mountains wild animals of which I had to once a month to our water supply. And the book, *The*
Man Eaters of Tsavo, was based on some lion attacks on the early railway workers.
Christmas was approaching and I was looking forward to having a role in the pantomime. Then out of the blue, I was posted to be the Medical Officer to the 1st Nyasaland Battalion of the King's African Rifles, based in Lusaka, Northern Rhodesia. Again this was to be another great part of life’s tapestry. The King’s African Rifles were extensively involved in the Second World War, but were now reduced to a few security battalions in Africa. Idi Amin was later to be a Sergeant Major in the Uganda battalion.
My duties were less onerous than in Mackinnon Road, but nonetheless enhanced my further training. The British Officers and NCOs and their families presented few problems, and the same was true of the Africans. I did a sick parade at 06.30 hours every morning and because of the general fitness of the troops (and their families), much of
1st (Ny) Bn King's African Rifles.
...on attacks on the
Looking forward to
of the blue, I was
the 1st Nyasaland
ased in Lusaka,
another great part
were extensively
now reduced to
was later to be a
ackinnon Road,
ing. The British
presented few
icans. I did a sick
because of the
families), much of
Corporal Jonathan.
the day’s work could be achieved by breakfast time or soon after. I had a little sick bay of my own, with a few beds for minor illness and there were very good if small European and African hospitals in Lusaka which gave support. Indeed I often assisted at operations in the European hospital in the mornings. There were few doctors in Lusaka and most in Northern Rhodesia at that time were based in the copper belt in the north.
My greatest fan was the battalion cook, Corporal Jonathan. Goodness knows how old he was. He wore a medal dated 1908 which was from one of the Mad Mullah’s uprisings in Somalia, but I never liked to ask him if it had really been awarded to him.
Among Jonathan’s particular requests was that I would deliver his granddaughter of his first great-grandchild in my little hospital. This of course occurred early one morning without difficulty and I went back to see her an hour or two later only to find that she had gone to the market with the baby on her back. Jonathan was delighted and told me that that afternoon the family had made ‘Merry Christmas from 2 p.m. to 4 p.m.’
I had my first involvement with witchcraft. The sergeant in the Officers’ Mess occasionally helped me with some of the ailments that appeared to be non-organic, with all sorts of strange herbal remedies. However the event that sticks in my memory most strongly related to a particular soldier, Chibaya. He had learned that for some reason the elders of his tribe in Nyasaland had put a spell on his beer. Gradually he began to fade away and in the little sick bay he lay in bed with face turned to the wall awaiting death. With some difficulty I persuaded the Commanding Officer to let my dying patient return to Nyasaland on one of the convoys so that Chibaya might be able to drink and the spell lifted.
Some months later I was invited to the most critical party in the Officers’ Mess and at the end of the evening he would say, ‘I’ll buy you a drink.’ As we were leaving he would be having a glass of brandy in the bar and his favourite drink was a ‘White Lady’, brandy and Cointreau and he would order it as it was 1:2:3.
I spent the afternoon in the mess and at 4 o’clock I went out to the bar. I was feeling quite tipsy and went into the party. There were about twenty people, mostly Country Club members.
I had a glass of brandy and went to the dance floor and sat in the back seat. I was dancing with a strange hand. I was dancing with an unknown man who was dancing with unjustified confidence with K. I had done before. I was dancing with my patient of the morning.
Then on the way home I was in the corner of the car and I was thinking on something and I fell across the road.
that Chibaya could make peace with the elders and have the spell lifted. He returned fully restored a month or so later.
Some months into my time in Lusaka there followed a most critical event. I was the bar member in the Officers’ Mess and one day the Commanding Officer intimated that he would like to have a cocktail party on the Saturday evening. Apart from the officers and their wives, we would be having some guests from Government and the local hospitals and the police. He requested that I would prepare his favourite cocktail, something that I had never heard of: a ‘White Lady’. With difficulty I discovered that it was gin and Cointreau and lemon squash, but no one seemed to know if it was 1:2:3, or 2:1:3 or whatever.
I spent the Saturday afternoon finding out and by 4 o’clock I was ‘legless’. However after an hour or so in bed, I was feeling normal again and able to attend the cocktail party. Then as usually happened on a Saturday evening, a fair number of us chose to go to the weekly dinner dance at the Country Club.
I had a girlfriend who had a wobbly old car and she and I went to the Club with another officer and his wife in the back seat. I was still feeling my normal self, but the first strange happening was that a police officer slipped on the dance floor and dislocated his shoulder. I made the diagnosis with unjustified confidence and then reduced the dislocation with Kocher’s manoeuvre, something that I had never done before, and have not done since. However, although my patient did look a little pale, all was well.
Then on the way home, I was driving and as we rounded the corner outside Government House the car skidded, I think on sand, and I was thrown out onto the road; the car fell across me. If I had been smoking I would not have
survived because I was soaked in petrol. Fortunately my passengers were unharmed. However it took half an hour or so to get help to lift the car from me, and because I was having trouble with sensation and movement in my legs I was taken into the local hospital. Happily there was no serious injury, and on recovery one of my mates came to collect me at the hospital in my own little army 'buggy', so that I could drive back to the barracks and restore my confidence. However the first thing that I had to do was go to the bank.
Everyone in the small European community in Lusaka knew that the army doctor had made a fool of himself and the next person in the bank queue was a most attractive young lady whom I had met briefly once before. Her greeting was, 'You should take more water with it next time.' This was Jenny aged twenty, who was later to become a marvellous wife, companion, and consort. I was to discover that her parents also came from the west of Scotland where she had been born, but she had been brought up in Hertfordshire to where her father had moved his farming in the early 1930s. She had been preceded in Africa by an older sister, and Jenny had gone out some two years later staying for one year in Johannesburg and working with the Anglo-American Company and then moving to Lusaka, to friends, where she was to be in government service.
Shortly our friendship was to be interrupted because with an infantry officer and a transport officer, I was sent off into the south-west of Northern Rhodesia to assist in the recruitment of 200 men for the Northern Rhodesia Regiment, currently in Tanganyika. Each officer had a 15 cwt truck with driver and batman, and we were followed by 16 three-ton trucks for the recruits. We went south down the Livingstone road to the village of Namwala.
I do not remember the village coming alive when we arrived; young men and women would give a short cheer when they saw us join us too. I had been away for three years and only a few of the few belonged to the age group of examination age.
We three officers camped beside an earth wall which we could climb over. We were fed mainly on maize meal porridge and little salt fish, and we had some large tins of bully beef. We shot most of our own provisions and had a good supply. We also had a lot of beer.
By Namwala we had twelve trucks and a tractor at Sesheke on the north side of the Zambezi River. Paramount Chief Mwale was anxious that we should be aware of a mud bath for his graduate!
Unfortunately we had to cross the river and we were on the Caprivi Strip, which is now Victoria Falls.
Fortunately my leg was better after half an hour or so, but because I was still very stiff in my legs I could not walk and there was no one to help. The natives came to my rescue with my ‘buggy’, so I was able to restore my dignity. All that we had to do was go back.
The beauty in Lusaka was quite out of himself and he was the most attractive woman I have ever seen. Her words were, ‘I’ll do it next time.’ She was going to become a missionary and was to discover that she was from Scotland where her father had been brought up in the country and his farming in South Africa by an older brother, and was later staying with us at which the Anglo-Indian in Lusaka, to friends, was a ‘bushman’.
This was because with the recruits sent off into the bush for the recruitment of the Natalia Regiment, we had a 15 cwt truck followed by 16 men south down the Livingstone Road to Chomo and then westwards to Namwala, an area that had not been recruited for some time.
I do not know how the ‘bush telegraph’ functioned, but the villages on our journey seemed to know that we were coming and the local Chief had arranged a congregation of young men. Charlie Matthews, the infantry officer, would give a short address, the Chief would advise the men not to join us too light heartedly because they would be away for three years and then some would rise and go and collect a few belongings. After I had made a superficial medical examination, off we would go.
We three officers slept in the open under mosquito nets beside an enormous fire. Although we did not see any lions, we could certainly hear them roaring not too far away. We fed mainly on guinea fowl, spur-wing geese, snub-nose duck and little sucking pigs. As we went on, accumulating men, some large animal such as a kudu or a wildebeest had to be shot most days, usually by Charlie. We had brought a lot of provisions with us, which I remember included Booth’s gin. We also had a battery radio with fairly clear reception.
By Namwala we had a large number of recruits and so twelve trucks were sent back to Lusaka. We went on to Sesheke on the Zambesi expecting to get along the north side of the river to return to base. Here we met the Paramount Chief in all his splendid robes, and he was anxious that we should meet his son. The son appeared out of a mud hut, in Savile Row suit and hat, an Oxford graduate!
Unfortunately we could not get along the north side of the river and had to cross cautiously on pontoons into the Caprivi Strip and from there eastwards. We arrived at the Victoria Falls on the night of a full moon to witness the
famous lunar rainbow in the spray. Then back to Lusaka into the embrace of my new lady.
I had given Charlie Matthews a £5 float when we set off and to my astonishment I got £4 change after our month’s absence. We had had to buy only a few eggs and chickens. I, in addition, had had my army stipend doubled with one month’s ‘hard living allowance’! I also reflect on how we had all survived the water supply, because all we could do was to boil large volumes every day from rivers and small lakes.
Soon I was on my way home to the UK via a two-month camp in Southern Rhodesia where we had a busy spell of manoeuvres with troops from Kenya and Nyasaland but mainly Southern Rhodesia Territorials. It was yet another new experience.
The author on last evening in Lusaka, 1950. Not exactly ‘on the rocks’!
Corporal Jonathan’s letter to me in Southern Rhodesia.
‘Both’ in the penultimate line of the letter is because my successor as MO had now arrived.
One nice event was to receive a letter from Corporal Jonathan; I had to admit his wife into the African hospital in Lusaka with pneumonia before our departure. It is the only testimonial that I can recall seeing and I still have the original.
I was due to return to the UK via Mombasa but my Commanding Officer managed to get dispensation for me to return home via Cape Town on RMS *Stirling Castle*. Jenny and I had been in frequent contact and by the time I got to Cape Town, although we had known each other for quite a short time, it was clear that we had reached ‘an understanding’.
Just as I was about to depart I learned that my period of service was to be extended for six months because of the Korean War, and I ended up as a supernumerary medical officer in an Ordnance depot near Nottingham.
Chapter 5
Rural General Practice, 1950-2
After about six weeks wasting time in Nottingham I got an SOS from my father. A young uncle running a single-handed general practice in the Machars of Galloway in south-west Scotland had taken his wife and daughters to the pantomime in Glasgow and had had a major heart attack. This would be in December 1950. The SOS was to ask if I could possibly get two or three days leave to temporarily hold the fort in this remote area. I was able to get away and arrived the following evening in my uniform. A very elderly retired general practitioner from some distance away had looked after the practice for the two days, he had done the evening surgery and on my arrival, he gave me the list of visits for the following day, put on his coat and left me.
The practice was based in Whithorn in the Burrowhead peninsula between Kirkcudbrightshire and the Mull of Galloway. In addition to the historic village of Whithorn it embraced the villages of Kirkinner, Garlieston, Sorbie, the Isle of Whithorn and the whole population in the countryside. The main occupations were farming, the creameries and fishing. There were some 2,500 patients in the practice and the nearest other doctors were some miles away in Wigtown and Port William. The Isle of Whithorn at the tip of the peninsula was not only a delightful fishing port but it was also traditionally associated with St Ninian, the first Christian missionary in Scotland, who settled in the area in
1950-2
In Nottingham I got to know an uncle running a farm near Stranraer in Galloway and his wife and daughters to whom he had had a major heart attack.
The purpose of his visit was to ask if I would be willing to temporarily take over the farm so that he could get away and have some medical attention. A very elderly woman living a short distance away had been looking after him while he had done the work. She gave me the list of things to do and left me.
I drove up the Burrowhead road, past the island and the Mull of Galloway and on to the town of Whithorn it was a long drive. Creeton, Sorbie, the village where I lived in the countryside, was one of the creameries that had closed down in the practice of centralisation 30 miles away in Stranraer. Whithorn at the tip of the peninsula is a fishing port but it is also the birthplace of Ninian, the first Christian missionary in the area in AD 400 and began to evangelise the southern Picts.
the late fourth century on his return from Rome and set about evangelising the southern Picts. This was some 150 years before St Columba arrived in Iona from Ireland.
The uncle’s family were to remain in Glasgow for a few days and I was quite alone but still full of youthful confidence and was not giving much thought to my rather awesome responsibility. There was a small cottage hospital in Stranraer but the main acute hospital was about 70 miles away in Dumfries.
During the first night I was called to two confinements. The family had gone to Glasgow by train and so uncle’s car was in the garage; I had to get the young maid out of bed to find the car key, accompany me and show me the way. However Sister Robertson, a splendid district nurse from the Highlands, had preceded me in both homes and was in attendance when I got there.
I could not get away from Whithorn to return to the Army and with the help of the local MP I was eventually demobilised over the telephone. In those days a heart attack usually meant some six weeks in hospital and a long spell of convalescence, and so I was in charge and single handed for three to four months before my uncle returned to part-time work.
I reflect on the enormous respect in which the family doctor was then held. Within a few weeks I had been in almost every home because shortly after arrival there was a flu epidemic and then a measles epidemic, the latter being the first for about twenty years. Some time ago I enjoyed an after-dinner speech given by Dr Yellowlees of Aberfeldy in the Royal College of Physicians at the 50th reunion dinner of his 1941 Edinburgh class. He was remarking on how the esteem of the medical profession was so sadly declining but he was still a very highly respected doctor. He was called to a house call that had been arranged and the patient was a wife who had just discovered that she was pregnant for the first time. She was in the best of health and the country doctor was delighted.
Later in life the country doctor was called to the home of his patient who had had some difficulty in passing a serious stone and was now requiring hospital treatment.
I do not know whether this and other similar stories are somehow related to the good old days when the country doctor was called on a Wednesday morning to make a house call, required to attend the local church on Sunday and that the patient was often an elderly woman getting on in years in Dumfries.
he went on to say that this was not true of the country doctor. Apparently a country general practitioner had been called out to certify the death of an elderly patient who had been ailing for some time. He finished his evening meal and went out to examine his patient. He said to his patient’s wife, ‘Jessie, I am afraid that Willie has slipped away.’ With that Willie opened one eye and said, ‘Jessie I’m no’ away yet.’ Jessie then admonished him and said, ‘Wheesht Willie, the doctor kens best’ (‘Be quiet Willie, the doctor knows best’)! That was the sort of regard which prevailed for the country doctor in 1951.
Looking back, I must have been rather busy. However the doctor was not pestered with trivia and if he was called out of his bed at night, which was not common, it was for something that needed his help. It could be something serious and urgent or the relatives were anxious and required reassurance.
I did a surgery morning and evening, Monday to Saturday and the Saturday evening attendance might be quite large if some had travelled in from the surrounding villages to see a good film at the local cinema! Home visits were requested in the mornings usually by telephone and I also divided domiciliary practice into three sections: the Isle of Whithorn and environs on Monday and Thursday afternoons, Garlieston on Tuesdays and Fridays and Sorbie on Wednesdays and Saturdays, and in each of these places, requests for visits were also left in a particular shop or the local Post Office. The visits were always made possible on that day although sometimes a few had to be done after the evening surgery. I do not remember any difficulty about getting urgent hospital admissions into the infirmary in Dumfries, or in getting outpatient appointments. The latter
was helped by the senior physician and the senior surgeon from Dumfries each doing a clinic in Newton Stewart, some 18 miles away, once per month.
No doubt there were problems but fortunately I escaped any serious catastrophe. One Saturday evening after my surgery had finished, I was a little tired and also a little cross when a patient rang the front-door bell while I was having supper. I did however think from what I found that my visitor might have perforated a peptic ulcer and although the ambulance had to come from Newton Stewart he was on the operating table in Dumfries before midnight.
Midwifery was a major commitment but thankfully I always had Sister Robertson who was my main mentor and support. Indeed there were one or two occasions when I had to start some ‘open’ chloroform and Sister Robertson would keep it going while I scrubbed my hands hurriedly to get on with the business. Again I was lucky that this aspect of work, while sometimes a little worrying, did not cause too many difficulties.
Some three times a week letters had been exchanged with Jenny in Northern Rhodesia. My aunt once remarked that I must be obsessed with her, and indeed I was. Then in spring 1951, there was a major event – Jenny had returned home and I was able to get away briefly to meet her in London. Shortly afterwards she came to Whithorn and it became known that a young lady from Africa was coming to visit the doctor. It was said that most of the local populace, maybe two-thirds, had never been out of the area. I heard a rumour that a lot of my patients expected that the young lady would be black.
I went up to Newton Stewart to meet her off the train and a more gorgeous sight would be hard to imagine, albeit a little incongruous with her flowing hair and a 1930s style waist. The only car she got into was mine and she was so enormous that I drove her around on occasion. She was appointed to work at my Edinburgh hospital.
In the meantime, in the Trust in Dumfries, the first of four major driving disasters had to explain to me about ‘knot’ and ‘bend’ and about all the other things I was well aware of from a church school and parents’ meetings. I had to have regular visits to patients.
I have mentioned births out of hospital to be accepted and I used to pass them by as I was passing through without any immediate need for a lady in her room. However, Mary had a baby and I was not sure of the sex.
little incongruous for Whithorn. She had on a mustard cape and a 1920s style hat with feathers dangling down to her waist. Then halfway down on the drive to Whithorn in the car she got out a long cigarette holder and lit a cigarette – and she was not a smoker. She was of course soon to be enormously popular, and to remain so. After this first visit I drove her down to Doncaster to meet my parents. On this occasion and on other short absences a locum had to be appointed and the first was an old friend who had been in my Edinburgh medical class (as had his wife).
In the summer, as I was now doing compulsory service in the Territorial Army as Medical Officer to the 5th Dumfries and Galloway Battalion KOSB, I had to do the first of four summer camps and I took the opportunity of driving down to Jenny’s home in Hertfordshire. I had to explain to her father that Jenny and I wished to ‘tie the knot’ and he seemed to spend several minutes telling me about all the chaps that she might have had! However all was well and we had a delightful wedding in September in a church in St Albans and then a reception at Jenny’s parents’ farm at Wheathampstead. It was embarrassing to have received so many nice gifts from the Whithorn patients.
I have not so far mentioned that there was a high rate of births outside marriage, perhaps one in three, but it seemed to be acceptable and part of the local culture of the time. I used to pay pastoral visits to some of the elderly patients if I was passing near their homes although they might not have any immediate medical problem. I called on one particular lady in her eighties almost every week; we will call her Mary. Mary had had eight children and she told me that she was not sure of the father of any of them. However they had all
Our wedding in September 1951.
The wedding in September 1951. Jenny’s parents are to the left and my parents to the right. Best man, brother James, is on Jenny’s right and Nancy, Jenny’s younger sister on his right. My sister, Elizabeth is in front of me.
done well and she lived with one son, and his family, who was a farm manager.
One afternoon I took my future wife with me on my round of home visits and we called on Mary who was delighted to entertain us with a cup of tea in the kitchen. Then she began to relate how she had brought up her children and had got to number three and could not afford the price of a pair of shoes to get the child to school. She was called in front of the school board and went in fear and trembling because she would be confronted at least by the Headmaster, the Laird, the Minister, the Town Clerk and the Bank Manager, and she fully expected that the child would be taken from her. She recalled that the first question was, ‘Mary, how is it that you have managed the first two so well and this last yin’s [one’s] giving you so much trouble?’ Mary responded by saying, ‘How do you ken [know] it’s the last yin when I dinna ken myself?’ The Minister said, ‘You have answered well, Mary,’ and they all put their hands in their pockets to provide funds for the shoes.
I speak about Mary because I called to see her shortly before leaving to get married to thank her for the gift of a lovely water jug which we still have. She was in bed but jumped out, rolled back the mattress and gave me £2 in small silver coins which she had saved and which I was not allowed to refuse.
The first spell of marriage was of course delightful. My uncle was now back in harness and Jenny and I both began to feel that perhaps we would not wish to stay in Whithorn for the rest of our lives. It was then that I realised astonishingly that I seemed to have given no thought at all to my long-term career. This had been prompted a little earlier at my first Territorial Camp in the previous summer with the
Lowland Brigade when I discovered that several of my Edinburgh contemporaries had taken the Membership Examination of the Royal College of Physicians of Edinburgh. At that time, I did not seem to have any idea what the MRCP Ed was all about.
Rather to my uncle’s displeasure we decided to move on and I thought that I should go and consult my former Professor of Medicine, Stanley Davidson. I had learned that he had two Assistant Lectureships in the University Department of Medicine which seemed to be the ideal appointment for someone at my stage, but I discovered that the posts were occupied and likely to be for some time. However the Professor indicated that I could not possibly know enough medicine to be considered for these posts and it would be a good plan to go for a year to the ‘salt mines’ in England. And so it was that I became a Senior House Officer in Kettering in Northamptonshire.
|
Cheer Leaders Unite In Newly Formed Club
Women To Lead Cheers For First Time At Colby
Rally Planned Friday Evening
A new cheering club has recently been organized by Vic Malins and Mike Spina for the purpose of making Colby's cheering section one of the best in the country. The new club will at all the college athletic events and have complete charge of the cheering at rallies. Already 20 men and 16 women have expressed a desire to join the new organization. All candidates will be tested, tryouts and according to the present plans two from each class will be selected for the club.
The club has made plans for many innovations in the cheering section of the school. For the first time ever, an all lead cheerers. Dressed in white skirts and sweaters with a blue "C," they will present something new for Colby fans at games. Beginning this Saturday, all students will be seated in the center section of the grandstand to allow more companies in cheering. The club hopes to institute a system of card cheering such as is used in larger colleges throughout the country later this season.
The club has made extensive plans for the game this Saturday. Friday evening there will be a big rally on the back campus with Coach McCoy and Captain "Lop" Hershey as the principal speakers. The freshmen (Continued on page 6)
Oracle Begins Year's Work
Last Wednesday the first organized meeting of the Oracle staff was held. During the meeting the assistant editors and assistant managers were elected. A new post, photography editor, was announced. Mac Stevens was chosen to fill the position. It was announced that a greater variety of pictures will be made as well as ones of better quality.
Kenneth Stanley announced that a large amount of work was done during the summer. This gives the staff remarkably early start for production of the book. Contracts are already made for engraving, photographing and publishing the book.
An entirely new format type of Oracle will be printed. However, the editor would not reveal what sort of changes will be made.
The staff is as follows: Editor, Kenneth Stanley; assistant editor, Harley Bubar; business manager, John Pewars; managing editor, Dwight Carll; assistant managing editor, Carl Gravew; women's editor, Ruth Buchanan; assistant women's editor, Patricia Thomas; assistant business manager, Edward Jenson; photography editor, Machael Stevens.
Boost Band
(An Editorial)
Our football team has done its part this year in sending the mercantilist shaft of Colby spirit skyward. While they were in the fight for Colby we held down Woodman stadium and let a few brave musical souls do their best to encourage the team. It is ridiculous for such a small band to make a powerful and well organized team. Surely a football team such as ours merits the complement of an equally powerful band.
Playing in the band has been made one of the most desirable and most profitable avocations. Not only would the band fellow the Mules to all games, but band men will be awarded two hours credit toward graduation each semester. Each band member also pulls in twenty points for his fraternity toward the coveted Sprague Trophy. But do not let us attempt bribery. Our appeal is to your honor and college spirit.
Incidentally it would be great to snatch the band contest laurels as well as the State Series. We have plenty of talent, we have a good double bar and a very competent and willing director, Mr. Thomas. Now we only need the talented. We need the next band making sees fifty men reporting. We trust next week's headlines can say:
BAND OF 50 MEMBERS HELP MULES LICK N.-H., U.
Greater Representation Elects Student Council
Voting On Thursday And Saturday Under New Ballot System
Christian Movement Plans Coming Year
Last week-end the General Committee of the New England Student Christian movement met at Babson Institute in Wellesley Hills, Mass., to discuss plans for the coming year. Over fifty delegates from the various New England colleges and universities attended the sessions.
The pressing business concerned the Summer Out-lets Conference. A planning committee was appointed and one basic change in method of procedure was proposed and approved.
The General Committee decided after much deliberation to divide up the students into groups according to their Biblical scholarship, in order to grade the depth of the Christian outlook study groups, and to make all divisions neither too simple nor too deep for those who participated in them.
Nat Mills, Amherst student who has done so much to Jewish religious education, placed in the New England colleges was appointed to the Christian Outreach committee to facilitate this group in handling the project for the year.
Thursday morning, at Chapel period, the non-frats will elect their one representative to the Student Council, while the fraternity men will have between 9 o'clock and 12, Saturday morning, to vote for their four representatives. These elections will be held in the Chapel, and will be only for the upperclassmen.
The election of the members of the Student Council has more than passing importance this year, for Maynard Briss, senior class president, will be putting in operation the new system created last year. The primary motive behind the change was to provide a more representative body and a more effective agency in the college government. This motive has been met by the provision of dividing the men's division into two groups: one composed of non-frats; the other, of fraternity members. In this way, the non-frat men will have the same proportional representation in the Student Council as they have on the campus.
In a proportional basis, the non-fraternity men will be represented by one man chosen from the following: Philip Charbonneau, Earl Higgins, (Continued on page 3)
Hunter Heads Outing Club
The Colby Outing Club held its organization meeting Monday evening, Oct. 3. Ronald Brown showed motion pictures of last year's trip to Shrewsbury and Colby's ski skiers. Plans to elect a president of the club was cancelled, as few men were present due to physical examinations in the men's division. Cider and cookies were served.
There was a meeting of the Governing Board Tuesday evening, at which it was decided to change the Mount Bigelow trip from October 16 to October 23, because of the interference of fraternity and sorority rushing during the middle of the month. Richard Novos was appointed chairman in charge of the October 23 trip.
At the meeting of the Governing Board Tuesday evening, Albert Hunter was elected the new president taking the place of Conrad Nelson. He will, of course, this year. "All" is from Westbrook, Me., and a very popular man on the campus. He has already taken steps to lead the growing club on to a better year, and has a number of trips over a hundred miles far. Ellis Mott was elected treasurer to fill the office left vacant by the election of Hunter.
Outstanding in the club's activities will at eaves be the Winter Carnival on February 10 and 11. There is also the fifth annual Spring trip to the White Mountains and eight other outings are planned.
The following is the club schedule for 1938-39:
October 23, Two trips: (a) Mt. Bigelow, 4068 feet; (b) Mt. Saddleback, 4116 feet.
November 18, Meeting.
December 2, Meeting.
Dec. 3-4, Mount Katahdin, (winter vacation trip for men).
Christmas vacation trip to White (Continued on page 6)
DeGeer Celebration Is Headed By Dr. Lougee
Department Head Is Busy During Summer
Dr. Richard J. Lougee, head of the Geology department, entered into many fascinating scientific discussions among which included a tour of the West, heading an anniversary conference in honor of Gerard De Geer, and assisting Dr. Esa Hyypma, the famous geological time detective, and bringing back the prized fish from a deep sea fishing trip.
After six weeks tour of the West where Mrs. Lougee was visiting her parents, Dr. and Mrs. Lougee returned to New England and spent a long summer in geologic work. Dr. Esa Hyypma, a Finnish scientist studying here on a fellowship, sought the assistance of Dr. Lougee while studying the post-glacial history of Maine. Dr. Hyypma has perfected a method of studying the beginnings of post-glacial (Continued on page 6)
Radio Sketches Are Sought For WMAS
News of further opportunities in radio writing has just reached the ECHO from Miss Doris Benner of Holyoke, Mass. Miss Bonner is conducting a program known as Campus Carryall, which will be heard on WMAS in Springfield, Mass., beginning October 2nd. Each Sunday night, an original playlet or skotch, written by a college (Continued on page 6)
Twelve Needed In Mule Band
The first rehearsal of the Colby band was held Monday night in the music room of the Alumnus Building. Director Thomas and Leader Bennie Burbank succeeded in organizing the twenty-four players present into the nucleus of a good band.
There was evidence of much real talent among the few attending this initial rehearsal. There are at least six more who are planning to play in the band who have not yet presented themselves. Mr. Burbank stated that he needs twelve more men than those Monday night to make up the necessary number of players. This will make eight more than the twenty-eight in last year's band.
The next rehearsal of all members and players will be Thursday night at 7:00 sharp in the Alumnus Building.
Powder And Wig Makes Plans
The Powder and Wig, Colby's play-club, renews its activities this year under new stimulus. President Wendell Hall has made plans for a wide program of events for the coming year. Already the club has revised and rewritten their constitution.
(Continued on page 3)
Mary Ellen Chase Speaks In Opening Lecture Series
Warren Aids In Job Finding
Talented Writer Lived And Schooled In Maine
On Friday evening, Oct. 14, Mary Ellen Chase, eminent author and educator, will open the 1938 Colby College Lecture Series when she comes to the University College in Northampton, Mass., where she is professor of English Literature.
Miss Chase, whose topic will be "The Larger Life in Books," is a native of Maine. She was born in Blue Hill, Maine, on February 24, 1889, and in "A Good Heritage," her story of her childhood in Maine, tells of her part in the daily chores, of her early reading, of weeklong fun and Sunday solitariness during her years in the village school and in the country. She began writing at the age of sixteen but her perishable poetry and short stories were responded to with little slips of rejection from the editors of the magazines to whom she had sent her writings. Her first success in writing, a short story dealing with folkways, was sold to the "American Boy." She was then a twenty-one year old college student.
Is U. of M. Graduate
She received her Bachelor of Arts from the University of Maine in 1909 and her Master of Arts from the University of Minnesota in 1918 and the degree of Doctor of Philosophy in 1922 from the same university. In 1920 the University of Maine awarded her the honorary degree of Doctor of Letters followed by a similar degree from Bowdoin College. Colby College (Continued on page 6)
In This Edition
Male Kicks ........................................... 2
Turtable Talks ........................................ 3
Pepper-Pot ............................................ 3
Today's History ....................................... 4
Editorials ............................................. 4
Ye Olde Sleuth ......................................... 5
MULE-KICKS
By RALPH DELANO
Last Saturday in the game with Vermont the fact was dramatized again that there is the human element in football. Though sports writers may dub football teams as "powerful machines" or "Juggernauts," the true reality is that men are clever, hard-working men out on the field with the little white stripes. They are subject to all the freaks of human nature and you can never tell what to expect. That's what makes football the game that it is.
— C —
Hard Words
Bud Stevens, who writes "Sport Sidelight" for the Bowdoin Orient, gave out the following paragraph in his column last week:
"While we are on the subject of Colby and Bowdoin, it might be timely to review the relations between the two colleges as far as their football associations concerned. Probably the outstanding game of the Maine series is the Maine-Bowdoin game. This has been so ever since I have known of the Maine State Magazine. It probably has been the same for many many years. The question, of course, is just how and why this game has appeared to out-shine the other state contests. It would be because Maine is always strong, or maybe the answer can be found in the sportsmanship and cordiality that has always prevailed throughout the Maine-Bowdoin series. Any man that has played against the Maine Bears will admit that the Pale Blue put forth the cleanest and most sportsmanlike team among our Maine opponents."
— C —
Hallelujah!
The above paragraph has caused a good deal of comment in sport circles. Jack Moran of "The Bangor Daily News" picked out this bit and wrote as follows:
"Now, I don't know whether that young man is fully aware of it, or not, but the above paragraph is far more significant than it appears.
"And brushing aside the superfluous back-patting, the gist of the yarn is simply this:
"'Colby, we expect clean play and sportsmanship when we play at Waterville this month.'"
— C —
Gentle-Play
You'll have to admit that taken in itself this paragraph of Bud Stevens looks like a severe criticism of the way Colby men play football. But in reading over the rest of the Boston writer's column I can't jibe with the amiable Mr. Moran. The reference is more particularly to student demonstrations, such gentle-play as goalpost fighting, snowball throwing. Remember that peaceful struggle over the goal posts when Bowdoin played here two years ago? A repeat of the demonstration, down there, is evidently not wanted. Such horseplay is an expensive and dangerous proposition for any college athletic department. Bowdoin probably has put the back of her head to protect the 14-ton marble statue of her mascot, the Polar Bear, which was recently placed in front of the Sargent Gymnasium. Good sport, Stevens, and it may be sure that Colby officials are thumbing down on student demonstrations.
— C —
Trophy Talk
Now resting on the Delta Upsilon mantelpiece is the Albert Sprague Trophy for inter-collegiate sports. The previous year the Zetas were in possession, before that the Lambda Chi's and the first winners were none other than the Zetas. Given for winning the most points in all inter-sorority sports, band, and the like counting also, it is to rest permanently with the fraternity first winning it three times. Now the key lies with the inter-fraternity rushing committees to get hardest after the pledges who can play touch football, volleyball, or the piccolo.
Bobcats Beat Varsity Harriers
A strong Bates cross country squad, defending Maine State championship, showed its power last Monday afternoon, taking the Colby harriers in a one-sided race, 18-50. The Blue and Gray team managed to take only three places out of the first ten in the race that was postponed from last Friday.
Former Captain Jim Chase put in the best performance for the Mules, running in fourth position. Bridges of Bates came across the finish first, negotiating the four mile course in twenty-three minutes, fifty seconds. Wallace and Rollins of the Bates Bobcats passed the finish matching stride for stride and were accorded a tie for second. Chase came in close fourth. Sheppard of Bates finished fifth, followed by Charley Card of Colby, who holds the freshman course record. Card is a transfer from Farmington Normal. Downing of Bates, Captain Phil Chase of Bates, and Charlie Grichan of Bates finished in that order to fill out the first ten places.
The squad faces the Boston University harriers here a week from today, in the annual meet.
First: Bridges (B), 23:37; second, Wallace, (B), Rollins, (B), 23:57; Fourth, Chase, (C), 24:04; fifth, Sheppard, (B), 24:10; sixth, Card, (B), 24:15; seventh, Downing, (B), 24:21; eighth, Grichan, (B), 24:21; ninth, Coffin, (B), 25:39; tenth, Grichan, (B), 25:41; eleventh, Stevens, (C), 26:02; twelfth, Furrald, (C), 27:39; thirteenth, Gooch, (C), 28:02; fourteenth, Fitts, (C), 28:22.
Mules Face N.H. Here Saturday
Encouraged by Maine's last week massacre of New Hampshire, but still hampered from 3 to 0 defeat at the hands of a heroic Vermont eleven, the Colby White Mules play a somewhat inexperienced New Hampshire aggregation on Seaver's Field Saturday.
With ample strength in offense but weakness in defensive work, the Mules will hold presumably the same element that submerged Tufts two weeks ago, when the possible reception of Jim Daly, regular guard who is suffering from a wrench ankle.
Lost from the New Hampshire team is Jack Hankon, regular fullback, who was recently sent to the infirmary with a broken blood vessel in his leg. Hankon will probably be replaced by a capable triple threat, "Ace" Perkins.
Last week Coach Sauer used Art Firetti at left guard while Matt Pincertty started at left tackle. Ed Preble is the choice for the signal calling duty.
Colby Has Fast Attack
Colby has in Dague, Hatch, Bruce and White, a potentially splendid backfield in many moves. Although light with the exception of White, the Mules have displayed an especially dangerous ground and rushing attack aided by halfbacks Bruce and Hatch and receivers Bubar, Burrill and Maguire. Led by Captain Lot Horsey the line should come into its own Saturday and repel any damaging thrust which may be thrown at them.
Colby men seem to be expected to return with the win scoring by at least two touchdowns if paper indications mean anything.
Many feel that the worm has finally turned that at Al McCoy's backballers will wind up the current season on the right side of the ledger. Tentative starting lineup for the Mules will probably find Burrill and Maguire at ends, Horsey and Bridges, center, and Daley and Daley, guards, Daley, center, and White, Dague, Hatch, and Bruce in the backfield.
White Mules Loses Late
Last Period Proves Fatal
After leading 6-0 throughout the first three periods, Colby surrendered to a furious fourth period attack by the Granite Staters, to lose 9-6. Starting off on an end run, Johnny Duggett was tackled by Frank Taylor, Vermont fullback, whose vicious tackle sent the ball into his arms and into the hands of an alert Vermont end. With no interference, Bill Pye scored the touchdown, and the conversion was good giving Vermont the lead 7-0.
The game contained a few decisions in which the officials were as confused as some of the players. After Colby completed 3 out of 4 passes in the first period, the aerial attack faded out for the game.
Colby scored the first touchdown in the first quarter, as a result of an 80 yard march down the field led by Johnny Daggett, Clyde Hatch and Charlie Maguire. Daggett's 35 yard run from his own 10 yard pass for the three completed passes from Hatch to Maguire which put the ball on Vermont's nine yard line. Hatch scored through a tight tackle scoring the touchdown, but the try for the point was unsuccessful and Colby led 6-0.
Vermont penetrated Colby territory 3 times in the second period but was halted on three tries, a fight by Colby eleven. Vermont nearly scored in the fourth period on a "break" which in the final analysis meant the ball game. The recovery of Daggett's fumble, and its conversion into a touchdown gave the Granite State lead they never lost. The final two points were scored on a safety, which came as a result of Hatch being tackled behind his own goal line.
Frosh Harriers Open With Lee
Friday afternoon the frosh cross-country team meets Lee Academy for their opener. Coach Perkins said today that he had a very inexperienced squad but that he felt the possibilities of improvement were great. Yet, the material is rather good.
Optimism was evident during the trials Tuesday. DiPompo came in first by a wide margin. Then followed a rapid one-two, Rosenberg, Pizzi, Palmer, Johnson, Haines, and Doe. These men will constitute the squad. Burbank and LaPlage have a good chance of being included as they stand close to the leaders.
The team has been sadly depleted due to illness and bad health, but none have been dropped and no one has quit.
Colby looked good even in defeat, and should give New Hampshire a great battle next week.
The summary:
| COLBY | VERMONT |
|-------|---------|
| Salmon, R. | Maguire, (P. Bench) |
| Daggett, R. | Taylor, (P. Bench) |
| Rosenberg, R. | Daley (Home) |
| Curlett, s. | Daley (Maguire, Unpiv) |
| Haines (Maguire), r. | Haines, Baum (Maguire) |
| Pizzi, s. | Haines, Baum (Maguire) |
| Palmer, r. | Haines, Baum (Maguire) |
| Johnson, s. | Burrill (Davenport, ob., ob. White (Burden)) |
| Haines, s. | Burrill (Davenport) |
| Doe, s. | Burrill (Davenport) |
| LaPlage, s. | Burrill (Davenport) |
| Burbank, s. | Haines, Hatch (Dolan) |
| Treglia, d. | Haines, Bruce (Gilmore, Haines) |
Score by periods:
- First: 0 0
- Second: 6 0
- Third: 0 0
- Fourth: 0 0
TECHNICAL: Hatch, Pye, Maguire, Daggett, Taylor, Rosenberg, Pizzi, Johnson, Doe.
Referee—C. W. Olser, Cursell. Umpires—P. Pizzi, Tuffo, Head Linesman—H. R. Gorman, Burden. Field Judge—H. E. Edwards, Norcross.
Jeff's Tap Room
Dine and Dance
Opp. Stadium
We Still Have Your Favorite LUNCHES and DRINKS
For a Complete Line of Footwear
Stop at YOUR
Endicott - Johnson Shoe Store
Waterville, Maine
F. Hubbard, Mgr.
Colby "Student Specials"
IN EFFECT
Now!
No Better Values Anywhere
SEE FOR YOURSELF
Carleton D. Brown
Official ORACLE Photographer
"Portraiture Plus"
JOIN THE CROWD AT THE PURITAN SWEET SHOP
For Dinner or Supper
Tasty Sandwiches of All Kinds at Any Time
Opera House
Waterville
FRI.-SAT., OCT. 14-15
Continues From 1:30 P.M.
2 Big Action Hits
Bob Balser in
"WESTERN TRAILS"
2nd Hit
"DANGEROUS ADVENTURE"
Don Terry Rosalind Keith
Plus Chapter 5
"DICK TRACY RETURNS"
MON.-TUES., OCT. 17-18
2 Big Features
SHIRLEY TEMPLE
"LITTLE MISS BROADWAY"
2nd Hit
"MEN ARE SUCH FOOLS"
Wayne Morris Priscilla Lane
THIRFT M.D. TUES. 10c
WED.-THURS., OCT. 19-20
2 Big Features
THE MAUCH TWINS
in
"PENROD'S DOUBLE TROUBLE"
2nd Hit
"TARZAN'S REVENGE"
Glen Morris Eleanor Holm
Play Serenade Every Mon. and Wed. Night
$25 To 14 Sure Winners Plus Giant of $50 or More
15c , 500 Seats Always 15c
"Remembrances last longer than present realities; I have preserved blossoms for many years, but never fruits" - Richter.
Preserve these memories in a Memory Book. Price $3.00
Colby College Bookstore
Turntable Talks
By R. H.
Why Doesn’t Somebody Tell Me These Things?
Lambeth Walk.
(Decca) Ross Morgan and “Music in the Morgan Mannin” didn’t do so well with this one. After a complete, lively, and effective introduction, Lambeth finally gets under way, but the melody is the only thing that saves it from being all bad.
You Never Know
At Long Last Love
(Decca) Maybe I’m prejudiced, but I like Glenn Gray. The tunes are both by Cole Porter, and they are typical of his best work. The arrangements are both A-1, being in the approved Casa Loma style. Then there is Kenny Sargent to do the singing.
Palestina
Slow Mood
(Decca) Palestina is a good hot number, not counting a little mean, insidious siren which Nancy Larue runs through, and the end of the vocal marks the beginning of some very nice sax work by Eddie Miller. Slow Mood is really something. Bob Crewe has a bar’s worth of notes, and solo material, and in this one Eddie Miller and Bob Zarke are featured. Miller takes the first chorus with a style all his own. Then comes Zarke on the piano. This record is really a good one to have around the house.
Love Is Where You Find It
When Romance Of A Fella Meets A Cinderella
(Decca) Swinging along with the Andrews Sisters is really a pleasure these days. Those girls get more from a song than any trio I’ve heard, and when they do the arranging it is to be congratulated. When A Prince it is hard to sit still and listen to one. Love is a good one too, but fails to come up to the standard set on the other side of the disc. Take a listen and you’ll take it with you.
Wacky Dust
Spinnin’ The Webb
(Decca) Bound to be popular. The tune (Wacky Dust) is good and Chick Webb isn’t the one to spend a good tune. Ellington does things like this and it’s a joy to hear. The only thing I didn’t care for about the disc was the lack of some of the hot Chick Webb drumming. Spinnin’ is a straight instrumental record and rather uninteresting.
Mrs. Bridges Directs New Boutelle House
Twenty-seven fortunate Colby girls are living this year at the Boutelle house on College avenue. Located just north of the residence of President Franklin W. Johnson, this house was long the home of the late George K. Boutelle, and has been leased by Colby College to accommodate a part of this year’s influx of freshman girls.
Of the twenty-seven students living in Boutelle House, twenty are freshmen, two are sophomores, two transfers, and eight upperclassmen. The house director is Mrs. Cleora Bridges, who has served in that capacity for one year at Alden House, new freshman dormitory last year. She previously conducted a private school in Waterville.
Some of the attractive features of Boutelle House are: a fire-place in each of the girl’s rooms, as well as in other rooms of the house; window-seats in all rooms; a kitchenette where food is used by the residents; a fine old hall-carpeted with a velvet carpeting of dark red. The newel post is of mahogany and the stair-rail of birdseye-maple, but brand new maple furniture will soon eventually find its way to the new Mayflower Hill campus, has been purchased for the girls’ individual rooms.
At Alden House, Mrs. Bridges has been succeeded as director by Miss Nellie Davis of Worcester, Mass. A native of Cambridge, Miss. B. has formerly attended Colby college. She has served as dean at Mount Ida School in Newton, Mass., and for one year as dean of Fairmont Junior College in Washington, D. C.
Welcome Amazes Exchange Student
Gabriel Lapique Enjoys Colby
“I’ve been amazingly surprised to see how an American college welcomes a foreign exchange student,” says Gabriel Lapique, exchange student from France this year. “Everybody has been so wonderful to me and I thoroughly enjoy being at Colby. Everything here seems so quiet and peaceful after the hazardous five days which led me to get from New York to Waterville, during the hurricane and flood.”
Monsieur Lapique is very much impressed with the difference between French institutions of learning and American colleges. All secondary schools in France are called colleges, and the higher institutions of learning are called universities. Friendships among the student body do not take place as readily as in America in America, because over there the subjects require the young men and women to spend so much time in preparation and research as to occupy all of their time not taken up by class-room recitations and sleepless nights. This remark Monsieur Lapique expressed a great interest in Colby’s athletic program, as participation in France is very limited, owing to the time element.
He is interested in Franciscanism. He appears to be most interested in the college fraternities. This is something which they do not have in the schools he attended in France, the French students learning more to associate with them to group functions. Last year Monsieur Lapique taught French and Psychology in Nancy, France, and also taught English to beginners. He has also had experience in giving lectures in Psychology and Philosophy. He is a graduate of the University of Nancy and has attended King’s College in England.
Impressed By Libraries
Amazement was expressed over the fact that there are so many public libraries, even in our small towns and villages. He also spoke about the value to the student of college libraries, the like at one by Colby; because the French student is compelled to buy many books owing to the fact that libraries are so scarce that country and free books are not accessible for research work.
When asked his reaction to the German invasion, the man who is liked Germany, he felt that the democracies of the world should have stood by the Czechs. Hitler should have been stopped from crossing the Rhine, he said, and most assuredly should not have been given into the Czech situation. Germany could not afford a war.
Relative to his own war service, he stated that he will have to serve sometime, but he is now holding a temporary commission in the German army for a year. When his term for service comes he will be in the Officers Reserve, as all teachers and professors are thus classified.
He is studying English Literature, Psychology, and Education at Colby, and adapting himself to American customs—and slang.
The Camera Club Travels To Moxie
Fifteen members of the Camera Club held an interesting and successful week-end outing at the camp of Mac Stevens on Lake Moxie last Saturday and Sunday.
The party left Waterville at early Saturday morning and made an approximately miles to the lake. From there the group took to a motor boat and enjoyed a breezy nine mile trip to the camp.
During the two days stay many excellent photos were snapped. The surroundings supplied plenty of subject matter for the group returning the students of Colby a great favor after Christmas, sittings to the camera. One look at the portraits in their attractive metal frames is evidence that the photographer is a master. The backgrounds are up to the minute, such as seen in Hollywood and New York magazines. Harper’s, Harper’s Bazar and Vogue.
The Preble Studio is equipped to get both man and woman in their lightings and classic and artistic posing. All kinds of drapes are shown in the selection of the feminine attire.
“Rooses this summer” Pacheco Agency pictures, and six mounted portraits of standard size and large size. The frame is gold or silver plated and has a velvet back.
The Preble Studio makes a set of six permanent poses. It is advantageous to have photographed during the month to get the $1.00 price which will be given only during October. They will not drop into The Preble Studio and talk with Mr. Bendery!—Adv.
Giguere’s Barber Shop and Beauty Parlor
Tel. 680 140 Main Street
Phone 212-W
Rose’s Flower Shop
over McLellan’s
Corsages Our Specialty
Colby Pepper Pot
“By PERK”
CLASS HOROSCOPE: According to a current astrology magazine, “Your Days Are Counted.” (“To your problems add your age together, digit of the current date.”) —Well, Lumpkins of ’42, we’re got your number: 7, a combination of Mercury and Neptune. “This is the year for SILENCE. Retire from activity in your problems and analyze your whole. Stress peace, peace and faith has “all right with the world,” no matter how things seem. Refrain from comments, criticisms, arguments, explanations, and suggestions. Stay by yourselves as much as possible. Sleep well, and think a lot. Use your high or mind. Sign no papers, seek no bargains, do no buying or selling. Pause before you take another step and see that ‘all is well!’”
THUMBNAIL SKETCH OF A GENTLEMAN: Wrists, ankles, Adam’s apple.
CAPITULATION: They were not altogether unfriendly, that imposing tribe of upper-classmen who surrounded him on his arrival. But he knew their strength and their nurture; and removing his bowler and ascot, he changed to a plain cap and green tie, resolving on “peace with honor.”
VERSAILE CO-ED:
In place of curly brows
Were parallel antennae.
She mingled with high-brows
And danced on a penny.
Beneath parasol-knife,
Demure little face-lent
With orbs that brewed mischief.
Her voodooish bracelet
Was laden with charms
To ward off disaster
Or call men to arms.
Devout puffs beat faster
When Mary Louise
Used her lipstick in chapel.
Sniffs genuflected knees
When she did the Big Apple.
BEGINNING MY STUDIES, the first step pleased me so much, I was mere act, circumstance, these few the mover of nations. The least insect or animal, the sense, eyesight, love,
The first step I saw, aved me so much, I have hardly gone and hardly wished to go any further.
Pot—so-called because everything goes into it—even trips!
The Camera Club Travels To Moxie
(Continued from page 1)
It covers a wider scope of play activities than ever before as expressed in the alumni membership. Powder and wig playing and play-reading are counted as requirements of associate membership.
The following is the new constitution:
I. The purpose of the society shall be: (1) to unite and organize the dramatic interests of the college; (2) to serve as a producing group; (3) to honor those who have done effective work in drama and production in college; (4) to promote interest and experience in dramatic work in the college in any way feasible—as holding meetings of instruction, review, business, and general consideration; (5) to promote the production of productions, exhibitions; supporting local movements as far as wise; furnishing directors, actors, and technical workers where practicable.
II. There shall be two grades of membership: active, and associate.
(1) Associate membership may be won by doing acceptable work in any form of dramatic activity at the college. Puppetry, radio playing, and play-reading may be considered acceptable regular work in official productions. Any who have made some place for themselves may upon payment of dues become associate members of Powder and Wig.
(a) Associate members shall have the right to attend all meetings, to enter into the discussions, but not to vote or hold office.
(2) Active membership may be won by doing effective work of an important sort in two recognized productions, or by three minor productions. (Where there is a combination of work in major and minor productions, the larger number—three—shall be held to apply.)
(b) The work may be in acting, in producing, or in business.
(a) In acting, active membership may be won by taking major roles in two major productions, or three roles in major and minor productions.
(b) In producing, active membership may be won by work on three recognized college productions.
(c) In business, active membership may be won by work of a business nature, such as managing publicity, selling tickets, or aiding in the business of production in any important way—on three recognized college productions.
(d) Active membership may be won by any combination of work on three recognized college productions.
(4) Especially effective work in less productions may win membership at the discretion of the Executive Committee.
(5) The recognized college productions at present are:
Powder and Wig plays.
Commencement Play.
Dramatic Art productions (Workshops).
“N” plays for public presentation (minor productions).
Recognized student productions for public presentation.
Initiation:
(1) Before the annual business meeting, in the spring, invitations shall be formally issued to all who have met the requirements for membership.
(2) A certificate of membership shall be issued to all active members.
(3) Some brief ceremony of initiation shall be the first business of the annual business meeting. New members after initiation shall have full rights, including the right to vote and hold office.
IV. Meetings.
(1) Meetings shall be held at stated times during the year. It is suggested that they be held every month.
(2) The first meeting shall be held before the middle of October. All students in the college who are interested in Powder and Wig shall be invited to be present. At this meeting, the purposes and standards of Powder and Wig shall be explained, and the program for the year outlined.
(3) The last meeting shall be held shortly before Commencement. This shall be a business meeting for receiving new members, hearing reports, and electing officers.
V. Officers.
Warren On Jobs
(Continued from page 1)
a vocation, keeping in mind one’s qualification for the work desired.”
Class Job Talkers
Professor Warren cited several common fallacies in choosing work, chief of which is the apparent wealth, happiness and freedom from worry of the position coveted.
“Every applicant must keep firmly in mind that any position has hours of drudgery compared to its moments of brilliance.” Stressing that “one should not feel secure for any unprofessional job, he said, “it is much better to be responsible to a good plumber than to be an inefficient doctor.”
“Do not write letters for jobs but for interviews,” he emphasized. “It is much easier for an employer to write a letter than to read it in an interview. Remember that your letter reflects yourself—it is you in appearance, grammar, truthfulness and courtesy. Facts modestly expressed are more convincing while opinion counts for nothing.”
Reads Faulty Letters
The Professor read several letters which exemplified glaring errors made by applicants for jobs: “The fault is in the tone of talk about one’s record and ability makes the greatest impression on a prospective employer. Adopt the ‘U’ attitude and state your qualifications by showing what you are interested in—you can record what you cannot do. Do not write an autobiography of yourself, nor make exaggerated claims of your ability as these very seldom make an impression. Be sure you address your letter to the proper individual and sign your name with your address and telephone number,” he continued.
Be Confident in Interview
When the interview is granted do not approach it in fear but with confidence, since your interviewer is only interested in you. Be as natural as you can during the talk, naturalness is most impressive. Be well groomed, nothing that you say can take the place of neatness and cleanliness. Discrepancies of clothes, wearing of jewelry, use of too much or flashy make-up and for the men socks at “half mast” are bound to offset any good impressions that you might otherwise make in the interview.
“Interviewers will be most interested in your scholastic record, your ability to handle human beings and your business judgment. Intellectual curiosity and your ethical standards mean a great deal more than you might think,” Professor Warren said in closing his talk.
Student Council
(Continued from page 1)
William Pinansky, Jack Logan. The non-frats will include their choice at an election, held in the Chapel, Thursday, at Chapel period.
As four out of every five men on the fraternity men, the frats will have four representatives in the Student Council.
The ballot which the frat men have made is as follows: Ernest Harvey, Nathaniel Gifford, Vincent Allen, George George, Robert Bruce, Lee Kreagy, Edward Cleghorn, Raymond Sinchfield.
The fraternity men will have from 9 o’clock to 12, Saturday morning to indicate their choices; and, if it is necessary to add, the election will take place in the Chapel. The new representatives will be chosen from the results of this election on a proportional basis.
(2) The officers of Powder and Wig shall be a President, a Vice President, a Secretary-Treasurer, a Business Manager, and a Stage Manager.
(2) Their duties shall be those indicated by their titles.
(3) These officers, with the Faculty Advisor, shall constitute the Executive Committee.
VI. Quorum. A quorum shall be more than half of the active membership.
VII. Dues. The dues shall be fifty cents a year, payable after admission.
VIII. Amendments. This Constitution may be amended by a two-thirds vote of the active membership. Any amendment must be presented to a quorum of the members at least a week before adoption.
TODAY'S HISTORY
By Spencer Winsor
As Britain's prime minister headed for Scotland's Tweed on a fishing trip, historians sought to evaluate the events of the past few weeks. Czechoslovakia, besides losing its Slovaks in the autonomous state of Slovakia, found that the German and Polish occupation had cut the country into two sections by severing both transportation and communication lines. It had also cut off either major source of raw materials for what industries the broken spirit Czechs had left.
President Benes resigned to a pro-German government. "That Russia, Yugoslavia and other nations will not be easily frightened," said the Soviet's New York Times. "This restoration of Hanno, was Baldwin's statement in the Times a week earlier: 'The stones thrown into the pond of international politics at Munich will spread world-wide ripples for years to come.'"
It is hard to measure out the effect of such political arrangements into German dominated countries but also renewed German interests in South America. This is verified to some degree by the presence of Chile of Dr. Rudolf Grossman, president of the Spanish American Institute of Brazil, in New York Times which showed interest in the statement, "Because Alexander (of Chile) owed much to the Germans. All teachers in government schools had to study in the institute created by German experts."
Dr. Grossman said Germany's growing interest in South America was shown by the fact that Spanish was compulsory language in German high schools. Can it be in peaceful interests that Germany is fondling Chile, a country whose chief wealth is its saltipper, the main constituent of high explosives?
Mayflower Hill, Hey, Hey, Now?
Time Magazine for October 10 hailed the peaceful settlement—"For the first time in history, a major conflict had been settled by talking instead of shooting first." But in this sentence was the question that faced all the countries in the world. Had the peaceful conference been a trick? Or would Hitler try to carry out what he had in his Mein Kampf which mentions the "push to the East"; would he try to complete this phase as he has completed the re-militarization of the Rhineland, the incorporation into the Reich of the Sudeten minorities, and the rape of Austria? A great deal of talk has been going on about Hitler's domain greatly enriched by the coal, iron, industrial sections and munitions works of Czechoslovakia together with the growing Pro-German attitude of countries in the path of the "Fuehrer's" eastern push. If he were to go back what resistance would he meet? Would his people support him in a war? Could he control the authorities which new conquests would bring? Only history can give us the answer.
Comment On Manners
Editor's Note: This communication appeared recently in the Bowdoin Orient. What Miss No-Ed of Brunswick thinks of Bowdoin students may well be thought of Colby men on occasions and in some of the particulars she mentions.
Dear Boys:
Please pardon the familiarity as we haven't been formally introduced. However, there are so many things done around Brunswick without formality I feel sure that my breach of etiquette will be considered as mild and forgiven readily.
Even since one night last week when one of the college students sarcastically remarked, "We students have the pick of the town," I have been itching to grab up a pen and write a few lines to tell you boys what some of the local girls really think of you.
Rah! Rah! Rah! College boys, long may they wave, or to be more exact should say "waver," as it seems to be the only way to get young boys to get half tight and leap upon your apparently lack of co-ordination. You consider smart saund sophisticated. We girls think you most dull and farmarish.
Before I write further, I wish to state that my epistle is pointed towards those of you who are in Bowdoin just now, not your wunder-boys in college, and one might add, not necessarily for an education in life.
I do not pay tuition to live in Brunswick as do you students, but I do think that year round residents should be granted the civil right of walking on the sidewalks without being compelled to step from it to avoid being jostled by "farmarishness" and "smartness" realms of highbrow learning as they "truck on down." I speak from experience as I write this. Not long ago, while walking with a friend from Topsham to Brunswick, we saw a group of students approaching (they were easily identified by their sweat suits) and they were discussing the nature of the fall, but as they drew nearer, I could see that they had no mention of granting us the same courtesy. Maybe it is the Irish in me, or perhaps just a mean disposition popping up anyways, I stuck to my half of the sidewalk and let the mass burst from the "Boyscouts" in the white sweaters as they passed. And now a person begged.
As far as I can see, the Brunswick boys who have not graduated from the local high school accord a girl more respect and courtesy than the boys in college.
If my identity is ever found out by you fellows, I may well expect to be halved and quartered and maybe tarred and feathered as a good measure.
However, this opportunity to let you college boys know the reaction of some of the local girls is well worth the stake.
So, I shall sign this—
A NO-ED.
NOTICES OF THE WEEK
Identification pictures of all new students, both freshmen and transfers, will be taken next week in Chem Hall, Room 24, as follows: Men, Tuesday, Oct. 18, from 1 to 2 P.M.; Women, Wednesday, Oct. 19, from 1 to 2 P.M.
Students with 1.30 classes should present themselves promptly at 1, and others are requested to wait until 1:15 or thereafter.
Freshmen are relieved of the gown tie requirement for Tuesday afternoon and are requested to wear ordinary ties and suit coats.
These identification pictures are used by the administration offices and are required part of the registration procedure. No expense to the student is involved if the pictures are made at this time.
Elmer C. Warren,
Registrar.
The four members of the Student Council to be chosen by general ballot of all men students in the three upper classes will be elected Saturday morning, Oct. 15, at the college chapel. The polls will be open from 9:30 A.M. until 12 noon. The voting will be by the proportional method, each voter marking first, second, third, and fourth choice on his ballot. Under no circumstances are candidates for the four council positions are nominated by the eight fraternities, one candidate by each fraternity. The following men have been nominated: Vincent Allen, Robert Bruce, Edward Cushing, Nathaniel Gupill, Ernest Harvey, Leo Krasky, Paul Kittredge, Raymond Stinchfield.
The election of a non-fraternity member of the Student Council will be held on Saturday, Oct. 15, at 10 A.M. in the College Chapel. The following men have been nominated: Philip Charbonneau, Earl Higgins, Jack Logan, William Phansaky. The election will be by proportional voting, each voter marking first, second, and third choice on his ballot.
INTERNATIONAL RELATIONS CLUB
The governing board of the International Relations club met with Professor William J. Wilkinson and Dr. Norman D. Palmer last Thursday evening to discuss the club program. In addition to the officers announced in the last Forum, the club has added that Elizabeth and Eleanor Davis, '29, and Spencer Winsor, '40, have been made members of the executive committee.
The club intends to hold a meeting every three weeks. Although their plans are not as yet definite, they are including among their speakers for club meetings Doctor Isaac J. Schoenberger, Professor John Franklin McCoy, and the French and German exchange students who will give a firsthand account of the European situation as they have seen it.
OUTING CLUB
The Outing Club will run two trips on October 23rd. The first especially for freshmen women and any men interested, will be a repeat of the annual Mt. Blueview trip. The second will be to Mt. Saddleback, and will be conducted by Mr. Lougoue, expressly for upperclass women and all men interested. Richard Noyes is Trip Chairman in charge of these trips.
EWART EDWARD TURNER
On the week-end of the twenty-third the campus will have an opportunity that will be of great interest to all those who hear Mr. Ewart Edmund Turner, for four years master of the American Church in Berlin, Germany. Mr. Turner will speak on the forum on the timely subject to be announced later.
Mr. Turner has been in Germany intermittently for the past decade and as an office holder in Berlin has a first hand picture of the nature of the epoch making events of the last few years. He has just returned from Europe, having been an eye witness to some of the historic occurrences of the last summer and fall. He comes here to Colby has been negotiated by the Joint efforts of the Forum and the Meetings and Extension Courses Draw Interest
Again this year over one hundred high school teachers from Waterville and vicinity are taking advantage of the extension courses being offered by Colby College.
About half the students are from Waterville, the rest being from such Kennebec and Somerset county towns as Oakland, Fairfield, Augusta, Holliswell, Gardiner, Winthrop, Clinton, Farmington, Shogehwan, Belgrade, and Farmington.
Dean E. C. Marriner, Director of the Extension Courses, has arranged a group of five interesting and stimulating courses, all of which are well-represented by the Colby faculty.
Most popular is Dr. Wilkinson's course entitled "Backgrounds of the Modern World." This course deals with the explanation of the recent epoch-making events in Europe and the Far East, and its unusual timeliness accounts in part for its popularity.
No less interesting and instructive are the other courses offered this year. Miss Morse teaches "Educational Psychology," a practical course to help teachers in the classroom. Dr. Turner will lecture on his subject "The Written Word." Its purpose is to help those students who feel that they need to develop greater ability in written expression.
Professor Howard C. Libby is again conducting his ever popular "Public Speaking." This year Dr. Libby is devoting much of the classroom time to the preparation of short addresses. Dean Marriner has added a course for teachers from every grade, kindergarten through high school. Although titled "Experience Curriculum in English," this course is for all teachers, because "reading, writing and speaking in the native language must be the foundation of all instruction in our schools." In presenting the course the Dean will follow the principles suggested by the National Council of Teachers of English.
The extension courses are now in their third week, and they will run for seven more sessions, Monday evenings, the last class being on Monday, Dec. 5.
Vesper Committee of the S. C. M., and it will be a valuable chance to get some first hand views of Europe today.
Anyone having copies of the following numbers of the ECHO is requested to leave them with Professor Smith, Room 25 Chemical Hall.
Volume XXXI, Number 25 (April 27, 1938).
These copies are needed to complete our files.
Evelyn John Strachey, one of the guest speakers on the new Colby Lecture Series for this year is being held at Emory University by the President, for further questioning on his admission into this country. It is alleged that Mr. Strachey is a staunch communist and propagator of un-American ideas.
October 31st "Chuck" Taylor will conduct a basketball clinic at the Field House, starting at 7:45. Coaches and all interested persons are invited to attend this special feature.
As in the past the season's tickets for the concert series are on sale at this time. It is hoped that sufficient numbers will subscribe to make it possible to have a roster of artists as fine as in the past.
The ECHO staff are invited to a social meeting at the home of Mr. Joseph C. Smith, Park street, at 7:30 P.M. on Thursday. Plans for the coming year will be discussed, and all members, both women and men, should find time to be present.
Colby at the Microphones, Colby's own radio program, is broadcast each week over the Maine Broadcasting System, both WLBZ and WRDO, at 6:15-6:45. Next week we hope to broadcast from the Alumni Building, and of course this is open to the public.
Professor Griffiths Urges Religion
Professor Thomas M Griffiths of the History department spoke on the close association of religion with life, at chapel on Wednesday, Oct. 5.
He pointed out that religion is not mere formal practice, but rather a thing which we live in our relations with other people. It is concerned for the rights, human and justice, and the practice of religion in one's everyday life. "Let religion," said Professor Griffiths, quoting David Livingston, "be an everyday affair, and not a thing of fits and starts."
The first game of six-man football was played on the Hebron College gridiron.
Women's Chapel Hears Wilkinson
"Ask an American student why he or she attends college," said Professor William Wilkinson, head of the History department, at the women's chapel on Monday, "and he or she will answer that it is to get ahead in the world and to increase one's earning possibilities. Ask an English student and he or she will answer thus it is to improve the intellectual and cultural standards of soul and mind."
The object of the social sciences is to help the individual to understand the personal problems of today.
Professor Wilkinson quoted the words of Hamlet, "The time is out of joint." He pointed out the chaos of the political, economic, and international situation today and advised the students that a study of economics would enable them to understand better the difficult problems that they will have to face in later life.
The present condition of the world is responsible for this confusion. It has resulted in destroying the Lecarano spirit and has given rise to dictators. France, because of its inadequate economic conditions, voted only the other day to give Premier Daladier dictatorial powers for three months.
Who can say that we in America may not be tempted to do in a similar crisis, Professor Williamson said. Therefore, he urged each student to prepare himself to face the problems which everyone must soon face and to stand loyal to the principles and the ideals of the founders of our country.
Frosh Eleven Take Ricker
A powerful Fresh eleven edged a heavy and also powerful Ricker eleven, 14-7, Saturday afternoon at Horton Community Park.
Ricker opened the scoring in the second quarter, but the young Mules fought harder and harder and retaliated with a six-pointer in the third period through a 20-yard run by Schieltz.
Two successive penalties, one for five yards and the other for 15, put the ball on Ricker's five yard line late in the fourth period. In three plays the Freshman rushed around the wide-righting touchdown with Schieltz again doing the scoring.
Bublar and King played a brilliant game for Ricker, while Winkler, Conlon, Schieltz, Brooks and Clark played hard in the backfield for the young Mules while O'Neal, Stevens, Basinger and Farnham played the major roles in the line. Wilkins, in his backfield flush, received a knee injury mid-way of the game which may keep him out of the Colburn game this coming Friday.
Doctor Mary Marshall Returns From Europe
Professor Mary H. Marshall returned from September 19 from Europe, where she spent four weeks last summer packing about among the ruins of medieval England and France. In England she was interested mainly in visiting medieval churches, abbeys, and ancient cathedrals. After the four exciting weeks passed in this manner Dr. Marshall climaxized her trip with a week in France. She speaks with especial enthusiasm of the Cluny Museum, in Paris and of Notre Dame. The enthusiasm which she left behind with a vivid memory of the indelible beauty of its famous stained glass windows.
Present conditions in Europe being what they are, it would have been difficult for Professor Marshall to concentrate her attention wholly upon the relics of the past. Nor did she try to. She felt the wartime tension, constantly passing through restaurants where she saw people looking over their newspapers discussing the vulnerability of London to air raids. One point of the talk was that bombs could inflict more damage without as much cover, for if a bomb strikes from directly overhead there are very few things under heaven that can ward it off. The chief value of bomb-collars is in resisting the lateral waves that go from the shock of the bomb's impact. Thus went the conversation that Professor Marshall heard throughout England.
She reports that one detail of her most informative and worthwhile visit to Europe. After spending three weeks of eating English food, which is decidedly inferior to French food, she had a forward capacity to enjoying the supposition cooking of the French. But immediately upon arrival in France, she caught a cold that deprived her of her sense of taste. However, this may be regarded as a minor tragedy, although it was really isn't, and Professor Marshall sums up her trip very adequately by, "It was fun."
History of the Collegiate Review
James Tuman, Clark, '37, now at Princeton Graduate School was the originator of the idea. Robert I. Brigham, Clark, '38, has edited the Review, as a quarterly for one year while the present editor, a competent staff grouping around the editor, the Board of Directors grew, evolving the present magazine. Interpolation procedure and money program will make the Colgate Review one of the youngest successful business on the books, with a good many officials senately old enough to vote. This young magazine has gone far during its one year of existence—its future is exceedingly bright.
In 14 years Rensselaer Polytechnic Institute's radio station has given intensive radio training to more than a thousand students.
W. A. A. Holds Annual Picnic
One hundred and twenty-five undergraduates attended the annual Women's Athletic Association picnic held Saturday afternoon in the yard at the end of Morrill avenue. After a supper of hot dogs, coffee, and doughnuts, the group sang songs, led by Ada Vinecourt '41.
The committee consisted of the W. A. A. board: Miss Corinne Van Norman, Miss Marjorie Duffy, Mildred Colwell, Virginia Gray, Helen Gugliel, Barbara Towle, Fern Bruaker, and Ada Vinecourt.
Eleven juniors and seniors have registered for hockey. They will practice Monday, Wednesday and Friday at 3:30.
Radio Sketches
(Continued from page 1)
student is enacted by college players. The music is played by college musicians—it is in short, an all-college program.
The first play to be presented is by an Amherst student and Amherst and Smith players will present it. The author of these scripts is given recognition in public and in private on the program when his or her play is used. This offers those who are interested in this field of radio writing a chance to have their literary talents put to a practical test before the microphone.
If any Colby student is interested one may send his manuscripts to 81 Columbus Ave., Holyoke, Mass. Miss Bonner will then give them due consideration and criticism drawn from her wide experience while an undergraduate at Tufts college.
Christian Movement
(Continued from page 1)
coordinators was appointed to raise money for Far Eastern Student Relief.
An editorial board was given instructions to prepare a periodical and billlets for the use of the Christian Organizations. This would help everyone to keep abreast of latest events.
Announcements were made concerning several conferences and committee meetings to be held this fall.
The Maine conference will be held November 15 week-end. All Colby students who are interested in attending this conference should contact the religion office. We want as big a delegation as possible.
Outing Club
(Continued from page 1)
Mountains (Franconia Notch or Gorham) or Adirondack Mountains.
January 15, Winter Carnival plans, general meeting.
January 15, One day ski trip (Camden).
February 7, General meeting for Winter Carnival plans.
February 10-11, WINTER CARNIVAL.
February 22, One day ski trip.
March 7, General meeting.
March 11-12, Overnight ski trip.
April 11, General meeting.
April 15-16, FIFTH ANNUAL SPRING SKIING TRIP TO WHITE MOUNTAINS.
May 5, 6, 7, I. O. C. A. Conference.
Lecture Series
(Continued from page 1)
presented her with the degree of Doctor of Philosophy Letters in 1937.
Miss Chase became instructor of English at the University of Minnesota in 1918 and held that position until 1922 when she was appointed assistant professor in the same department. In 1926 she went to Smith college where the chair of associate professor of English literature awaited her. She has been the professor of English literature there since 1926.
She is known as a first-rate literary critic. And earlier than this, "Mary Peters," of 1934, was classed as one of the most durable of her best-sellers. Her newest best-seller is "Dawn in London" which is concerned with the life of Mary Peters. Miss Chase's knowledge of England in its vivid descriptions. Her reviews have appeared in such leading periodicals as Harper's Bazaar, Atlantic Monthly and Yale Review.
Miss Chase will be introduced by President Johnson, and the lecture will begin promptly at 8:30 P. M. at the First Baptist Church.
Cheer Leaders
(Continued from page 1)
will make a huge bonfire for this occasion. At the game the freshman men dressed in their caps and ties and the freshman women wearing their caps will march in a body to the grandstand. A high feature of the game will be a baby parade for the freshman men. Prizes will be awarded to the best babies of the class by Stern's Department Store, William Levine & Sons, and Dunham's, the judges will be composed of members of the faculty.
The new club has the backing of the Student Council and all other organizations of the college. With the backing of a large band and an enthusiastic student body, this new organization should do much to improve the caliber of the Colby cheering section.
Dr. Lougee
(Continued from page 1)
He does this by taking samples of dirt at varying depths and by using acid and boiling which destroys all vegetable matter but the ancient pollen grains. Then he classifies them according to the depth in which they occurred and derives the order of development of plant life. Dr. Hyppa will have the results of their experiments this winter.
Head Celebration Conference
At the head of a conference called to celebrate the 80th birthday of Gerard De Geer, Swedish scientist, on October 2, Dr. Lougee gave a public demonstration at Hanover, N. H., to illustrate the method of determining climate conditions in prehistoric time by measuring varved clay. By measuring the thickness of the layers, and counting them, the history can easily be determined and compared with that of other parts of the world. This method was developed by Gerard De Geer. Dr. Lougee measured three clay banks in the vicinity and showed how they were correlated. The conference was shown a movie made by Dr. Lougee entitled "Glaciation and Glaciatlats," which included pictures of Gerard De Geer. A cablegram from the conference was sent to Mr. De Geer in Sweden and cablegrams were sent to the conference from three different parts of the world. The conference was attended by representatives from Cornell, Syracuse University, Yale University of New Hampshire, University of Vermont, Mount Holyoke Dartmouth, and the Maine Mineralogical Society.
Catches Prize Fish
But the prize achievement of the summer for the Doctor, was the fish, ("I had to cut off the head and the tail and cut it in two to get it in the ice box"), which won the prize on a fishing trip in August. It was a group of faculty men, including and grounds man who went out to fish the ocean dry. The pool collected for a prize amounted to $1.20 and it looked like a sure thing for old Charlie Rowe. The captain, taking money on the head, said, "Here, let me change your bait." Chopping up a freshly caught fish, he cut his thumb, but placed the piece of bloody fish on the hook quite successfully. Immediately after the Doctor had reeled out, felt a jerk which almost rocked the boat. Lacking the assistance of a winch and windlass he laboriously hauled the fish up until it came overboard—he had to cut off the head and tail and cut it in two to get it in the ice box.
Caron's Barber Shop
53 Main Street Waterville
More smokers everywhere are turning to Chesterfield's refreshing mildness and better taste.
It takes good things to make a good product. That's why we use the best ingredients a cigarette can have—mild ripe tobaccos and pure cigarette paper—to make Chesterfield the cigarette that smokers say is milder and better-tasting.
LIGGETT & MYERS TOBACCO CO.
|
SUPREME COURT OF THE STATE OF NEW YORK
COUNTY OF QUEENS: CIVIL TERM: PART 5
CANDITA DIEGO and ROBERTO DIEGO,
Plaintiffs,
-against-
Index No. 20252/05
TRIAL
LIN ZHU, L.L.C., PANDA STORE FRONT & GATE,
NEW YORK HOSPITAL MEDICAL CENTER of QUEENS,
Defendants.
Supreme Courthouse
88-11 Sutphin Boulevard
Jamaica, New York 11435
September 24, 2008
BEFORE: HONORABLE JAMES P. DOLLARD,
Supreme Court Justice
(and a jury of six plus one alternate.)
APPEARANCES:
WINGATE, RUSSOTTI & SHAPIRO, LLP
Attorney for Plaintiffs
420 Lexington Avenue
New York, New York 10170
BY: PHILIP RUSSOTTI, ESQ.
GEISLER & GABRIELE, LLP
Attorneys for Defendant New York
Hospital Medical Center of Queens
100 Quentin Roosevelt Boulevard
Garden City, New York 11530
BY: MICHAEL H. HOLOHAN, JR., ESQ.
AUDREY KEISER
NORA CAMPISI
Official Court Reporters
THE COURT CLERK: All rise. Part 5 is now in session. The Honorable James P. Dollard presiding. The jury is not present. The attorneys are present.
THE COURT: Good morning. I understand there is an application at this time?
MR. RUSSOTTI: Well your Honor, the defendant submitted a memorandum of law yesterday with respect to the issue of precluded two parts of PA Lau's testimony that he has departed from proper emergency practice and that departure was a cause of the deviation of the emergency room. So since Lau is here to testify, I would ask to be heard on that issue. I ask your Honor to make a ruling before Lau gets on the stand.
THE COURT: All right. Proceed.
MR. RUSSOTTI: First of all, it is clear and basic law and I have the case. I am sure your Honor is familiar with McDermott against Manhattan Eye and Ear, a seminole case, Court of Appeals. It says that a defendant is allowed to be asked questions, expert questions about whether or not the defendant departed from proper medical practice. The Court explained that even though this was a medical doctor, the questions really were not expert but really matters of "fact", as are the diagnosis and examination he made.
or the treatment upon which he settled. Even though such questions call for the expertise of an expert opinion, the Courts do no more than conform to the obvious purpose underlying adverse parties rule. That purpose of course is to permit the production of in each case, of all pertinent and relevant evidence that is available to the parties in the action. In the community still quoting there is a surety. The issue of whether the defendant deviated from proper practice customarily adopted by physicians in communities to be sure of the pertinent and relevant malpractice acts. They go on to say nothing fair about the practice of asking a defendant which Lau is. He is the employee and person whose conduct is under--
THE COURT: I don't think there is any dispute what the general rule is with regard to a physician, but it seems to me the argument being made by defendant that PA Lau is not qualified by his training or duties to testify.
MR. RUSSOTTI: There could be nothing more wrong about that, your Honor. First of all, the cases they cite say that you have to lay a foundation for an expert to testify regarding deviation. If he is testifying in an area other than his expertise, those are the cases. They don't quote that in the
memorandum of law. That is the rule. Even if an expert or doctor or a nurse or whatever is going to testify within their area of expertise, no foundation is necessary.
Now, let me just tell you the background here. Under the Education Law of the state of New York a physician's assistant this is Section 6542 of the Education Law: Performance of "medical services". Notwithstanding any other provision of law a physician's assistant may perform medical services when it is under supervision of a physician, and when it is within the scope of practice, the supervising physician. It goes on to Paragraph 3: Supervision shall be continuous but shall not be construed as necessarily requiring the physical presence of a supervising physician at the time and place where such services are performed.
So a physician's assistant can perform medical services on his own. That is the Education Law. The rules and regulations in the state of New York. 10, New York Code Rules and Regulations 94.2. That talks about what a physician's assistant can do. A registered physician's assistant may perform without medical services", but only under the supervision of a physician. They talk about what physician's assistants
can do. He can prescribe medications.
He can write medical orders, prescriptions and medical orders may be written by a physician's assistant as provided in this subdivision. That is 10 New York Code Rules and Regulations, 94.2. 94.2E6 says: A register physician's assistant employed or extended privileges by a hospital as we have here if permissible under the by rules and regulations of the hospital can write medical orders, including things for controlled substances. Countersignature orders may be required if deemed necessary by the hospital but in no event shall countersignatures be required prior to execution.
So a physician's assistant can issue an order and the order be executed before the supervising physician only countersigns the order. That is how much authority is given to a physician's assistant for the practice of without "medical laws". Finally is that physician's assistants and doctors do the same thing the disciplinary rule, Public Health Law Section 230 sets up the state Board of Professional Conduct. That has a committee on professional conduct, that committee. 230 of the Public Health Law. That adheres to the charge of professional misconduct against doctors and physician's
assistants. Nurses are handled elsewhere but doctors and physician's assistants are specifically, there is a charge of professional misconduct handled under the committee of professional conduct.
Now that goes to show how a physician's assistant and medicine is related. Now the issue is the physician's assistant in this case acting within his area of expertise. He certainly is. He is acting as an emergency room physician. If you look at--
MR. HOLOHAN: Objection, your Honor. He is not acting as an emergency room physician.
MR. RUSSOTTI: As emergency room physicians assistant. Let's look at his experience. He graduated school in 1990. He obtained a Bachelor's of Science. Then he went on and got a degree as a physician's assistant. He has been working and this is in his deposition by the way and I intend to elicit it when he testifies. He has been working in the emergency room as a physician's assistant specifically since 1990. That would be 14 years before the incident in this case. He worked in four different hospitals. He testified at Page 178 of the deposition that he was trained, part of his training medical diagnosis and treatment. That he prescribed medicine, diagnosis and orders tests. Now, that was his education and
background. He testified here that he ordered the CAT scan. Now, in this case which is the subject of the lawsuit at Page 112. He testified about his knowledge of why he ordered the CAT scan and the physical conditions for which he was trying to prevent. The reason he ordered the CAT scan of the brain is because:
QUESTION: Were you concerned about bleeding in her brain?
ANSWER: Yes.
QUESTION: Because you had a woman who had fallen down 12 flights of stairs?
ANSWER: Yes.
QUESTION: You know about bleeding in the brain what potentially can happen with that, correct?
ANSWER: Yes.
QUESTION: As an emergency room doctor, you know that bleeding in the brain is a medical emergency, right?
ANSWER: Yes.
QUESTION: And that bleeding in the brain can cause death of brain tissue, right?
ANSWER: Yes.
QUESTION: It can cause death of brain tissue in a number of cases?
ANSWER: Correct.
QUESTION: It can cause death of brain tissue of the blood. That is in and of itself, right?
ANSWER: Yes.
QUESTION: Or it can cause death of circulating edema, correct?
ANSWER: Yes.
QUESTION: And that is swelling in edema can cause increased pressure of the brain, correct?
ANSWER: Yes.
QUESTION: And that can cause death of brain tissue, correct?
ANSWER: Yes.
QUESTION: And this process goes on. It can cause mass effect of the brain, correct?
ANSWER: Yes.
QUESTION: It can. There are two hemispheres in the brain?
ANSWER: Yes.
QUESTION: There is a midline?
ANSWER: Yes.
QUESTION: And that mass effect can cause the shift mass effect can cause midline of shift over to the other side of the brain, right?
ANSWER: Yes.
QUESTION: That can cause death of brain tissue?
ANSWER: Yes.
QUESTION: That is called midline shift?
ANSWER: Yes.
QUESTION: And if that were allowed to continue, that can cause herniation of the part of the brain, correct?
ANSWER: Yes.
QUESTION: You have heard of unco herniation?
ANSWER: Yes.
QUESTION: That is a very common type of brain herniation, correct?
ANSWER: Yes.
QUESTION: That is where part of the brain that is next to the temporal lobe gets pushed into the midbrain, right?
ANSWER: Yes.
QUESTION: It can cause if that happens that can cause a patient to become unconscious?
ANSWER: Yes.
QUESTION: It can cause ultimately if allowed to go on the patient could die?
ANSWER: Yes.
QUESTION: And you are not in a position to evaluate when that might happen in any given patient, correct?
ANSWER: Yes.
QUESTION: That might happen very quickly, correct?
ANSWER: Yes.
QUESTION: Or it might take some period of time?
ANSWER: Yes.
QUESTION: If it took a period of time a patient can deteriorate very quickly, right?
ANSWER: Yes.
QUESTION: There is no way to predict that. I understand.
ANSWER: Yes.
QUESTION: So you were rightfully concerned about this bleed, potential for bleeding in the brain, right?
ANSWER: Yes.
QUESTION: Because of all these things that we have just gone over, right?
ANSWER: Yes.
QUESTION: Because this was potentially a deadly situation for this woman, right?
ANSWER: Right. Yes.
QUESTION: Despite the fact that she appeared normal to you?
ANSWER: Yes.
QUESTION: Right. The fact that she appeared normal did not mean she could not have a process going on in the brain that later in the afternoon could have killed her, correct?
ANSWER: Yes.
QUESTION: The only way to tell if she had a bleed in the brain was to do a CAT scan?
ANSWER: Yes.
QUESTION: If there was a bleed in the brain, can either be treated if it was small or be treated medically, right?
ANSWER: Yes.
QUESTION: Or if it was larger, it could be treated surgically by a neurosurgeon, correct?
ANSWER: Yes.
QUESTION: And the only way to tell what needed to be done was to get the CAT can?
ANSWER: Yes.
QUESTION: And the pressure that gets built up in the brain, the way to treat the pressure is to relieve it, right?
ANSWER: Yes.
QUESTION: That is the only way to deal with this, right?
ANSWER: Yes.
QUESTION: This intracranial pressure?
ANSWER: Yes.
QUESTION: And the way to deal with it as soon as possible, right?
ANSWER: Yes.
QUESTION: Because that gives the patient the best outcome to relieve the pressure as soon as possible, right?
ANSWER: Yes.
QUESTION: And to relieve the pressure as soon as possible you have to get a CAT scan done?
ANSWER: Yes.
Your Honor will recall this is exactly what the expert testified to, the neurosurgeon. He has just demonstrated his knowledge. PA Lau, his knowledge of bleeding in the brain, how it works, the potential complications and whether he is there to look out for and why he ordered the CAT scan.
So that shows that he knows about the process. Page 117, he continues and explains what he found in his examination that was consistent with this
process developing. I can read it to your Honor or show it to your Honor.
THE COURT: Are you objecting to the testimony that has been read?
MR. HOLOHAN: Yes, your Honor.
THE COURT: Let's break it down into pieces.
MR. HOLOHAN: All right. Your Honor, PA Lau is just that, a physician's assistant. He is not a physician first of all. His education primary care and medicine, physician's assistant medicine. In this case, the testimony in the case is that when he ordered the CAT scan, he went and talked to Dr. Green thereafter and got the supervisor's--
MR. RUSSOTTI: No testimony that happened, only the custom and practice. Nobody knows if there was a conversation in this case. No documentation of that in the record and nobody has any recollection.
MR. HOLOHAN: It is their custom and practice to go and speak to Dr. Green. Dr. Green would make the determination whether the CAT scan had to be done any quicker or not. The seminole question your Honor, it is not the fact that whether PA Lau can order a CAT scan or not.
The question is: Can he render an opinion
how soon it can be done. There is nothing in the testimony. He is not qualified to give that opinion.
THE COURT: We have not gotten to that. He hasn't given the opinion in the testimony. He just read. I am trying to break it down into elements. Just as to--
MR. HOLOHAN: You are right, your Honor. I apologize.
THE COURT: Pages 112 to 117.
MR. HOLOHAN: I move to strike the testimony. That should be asked by a physician, not a PA.
MR. RUSSOTTI: There couldn't be anything further from the truth, your Honor.
THE COURT: All right. That objection is overruled. You have an exception.
MR. RUSSOTTI: Next issue. Page 130, PA Lau, Line 23.
QUESTION: Whose responsibility was it to make sure that this CAT scan got done right away, you or Dr. Green?
ANSWER: Me and Dr. Green both.
QUESTION: Both of you?
ANSWER: But me primarily. I saw the patient and wrote the chart. Me.
QUESTION: Well, he was a supervisor, wasn't he?
ANSWER: Yes.
QUESTION: So I am just trying to understand the protocol. Whose responsibility was it, was it yours or was it his to make sure this got done STAT?
ANSWER: It is my responsibility and he supervised me.
QUESTION: So it is his responsibility too?
ANSWER: Some, yes but I primary. It is my patient. I saw the patient.
QUESTION: So you were telling us then that primarily it was your responsibility to make sure this got done STAT?
ANSWER: Yes.
QUESTION: Done within 15 minutes, right?
ANSWER: Yes.
So he is there working in the emergency department which they have hired him to do. He has been there for 12 years at that point. He told us under oath that it was his primary responsibility to get this thing done STAT. It can't be any clearer. I am entitled to elicit testimony from him. That thereafter I asked him at Page 133, Line 21.
QUESTION: You know what the standard of care
in an emergency room is right, emergency room practice?
ANSWER: Yes.
That came after these questions, your Honor. I started this line of questioning at Page 132, Line 23.
QUESTION: PA Lau, wasn't it a departure from proper emergency room practice and I specifically used the term emergency room practice, not medical practice because that is what we are dealing with in this case emergency room practice as it is conducted by doctors and physician's assistants which is what he was paid to do, trained to do?
THE COURT: Reading from the transcript or are you extrapolating?
MR. RUSSOTTI: All right. Page 132, Line 23.
QUESTION: PA Lau, wasn't it a departure from proper emergency room practice not to get the CAT scan done STAT?
ANSWER: From my examination she was neurologically stable. From my examination the pupils were equal, reactive. She was conversing with me and moving her extremities. From my examination she was neurologically stable.
QUESTION: I understand. You told us earlier
that you couldn't rule out she could have had a bleed in the brain, that could have killed her later that afternoon, right?
ANSWER: Right.
QUESTION: You knew that?
ANSWER: Yes.
QUESTION: So that was the most serious thing that this woman potentially had, right?
ANSWER: Right.
QUESTION: Wasn't it a departure from proper emergency room practice not to get the CAT scan done within 15 minutes of this woman?
ANSWER: You have to rephrase your question.
QUESTION: Let me rephrase it this way. You know what the standard of care in the emergency room is, right, emergency room practice?
ANSWER: Yes.
QUESTION: Wasn't this a deviation from the standard of care in a patient with a head trauma patient with a potential bleed in the brain can kill her not to get this done STAT. Wasn't that a deviation from the standard of care?
ANSWER: She was getting a CAT scan done.
QUESTION: Wasn't it a deviation not to get it done sat within 15, 20 minutes?
ANSWER: Yes.
QUESTION: It was, right?
ANSWER: Yes.
Now, it can't be any clearer that under the law he is practicing within his specialty. He is authorized under the law to practice "medicine under the education law". He wrote the order. He told us it was his responsibility to make sure that the order got done. He testified that he was familiar with the standard of care for emergency room practice. He had been practicing in the hospital for 12 years. There is no question that I can ask him under McDermott or any of the other cases: Did he depart from a standard of care? If he says yes, they are stuck with that answer. I have a right to elicit that.
THE COURT: Mr. Holohan on this?
MR. HOLOHAN: Again it is our position that PA's that physician's assistants, he works under the supervision of a physician. That he does not establish the standard of care in the emergency room. That is done by the primary attending physician in the facility at that particular time. His expertise not at the level where he can give this jury what time that CAT scan should have been done. I have no objection that he could have ordered one. How quickly
it would have been done. The expert said half an hour. He said 15 minutes. Not the same standard of care. He is mistaken in the testimony. He should not be able to testify because he is not at that level of expertise. He is not a physician, emergency room physician board certified to come in here and give you the standards of care. I move that this issue be stricken.
THE COURT: He testified as to his own standard of care, standard of care of a PA?
MR. HOLOHAN: That is not what he was asked. He was asked in this case the standard of care in the emergency room. That is not what his standard of care is.
MR. RUSSOTTI: That is ridiculous. He was asked about emergency room practice, what he was doing. He testified it was his responsibility. He knew what the standard of care was.
MR. HOLOHAN: There is no foundation offered in this case as to this PA being qualified to testify to give this opinion. There is no foundation whatsoever. He didn't go through his education with him.
MR. RUSSOTTI: He worked there for 12 years.
MR. HOLOHAN: That is a different situation.
He worked under the supervision of a physician. He is not there to establish a standard of care in the ER. He can't testify to the standard of care in the ER with regard to timing of the CAT scan.
THE COURT: What about his only personal standard of care here than the general standard of care? Then he is--
MR. HOLOHAN: Only if it is established that that is what it is. We never established that. We have no foundation in this case of this PA ever taking standard of care of practice. He never did this.
MR. RUSSOTTI: This is absurd, your Honor. He worked there in this emergency room for 12 years. He is licensed by the state of New York to order tests, prescription medications. They employed him to practice emergency room medicine. For them to stand up and say that he is not qualified as to what goes on in the emergency room, the standard of care is clearly not necessary. Where he is saying that we can't say that he is committing malpractice. That is what he is saying. That we can't show that the PA committed malpractice which we can which was done here and we can have the PA admit to malpractice under his own mouth, by his own mouth. The fact that he did is just they are trying it avoid it. We have the right to do
it.
MR. HOLOHAN: There is no foundation for this individual being qualified to testify as an expert in this case. It is not done in this case, your Honor.
THE COURT: I am not going to strike that testimony. The only part I would consider striking is his testimony as a responsibility of Dr. Green. I think he is qualified to talk about his own responsibility, not Dr. Green.
MR. HOLOHAN: But your Honor, that is an interesting issue. What he is saying is that he does not work independently. It is, he and Dr. Green decides when to do the CAT scan. It is he and Dr. Green decides when, what time to do the CAT scan. He is not working independently. You can't get them apart on this issue. The ER doctor sets the standard of care. He does not.
MR. RUSSOTTI: Maybe he is talking about a different case, your Honor. I just read so it is his responsibility to, referring to Dr. Green, Page 131.
ANSWER: Some yes, but I primary.
He said he had the primary responsibility to determine when the CAT scan should be done.
MR. HOLOHAN: It goes back and forth.
MR. RUSSOTTI: No. Listen to the testimony
of your witness. Some yes, but quote I primary. It is my patient. I saw the patient.
QUESTION: So you are telling us that primarily it was your responsibility to make sure this got done STAT?
ANSWER: Yes.
I don't know what could be any clearer.
THE COURT: I am not going to strike the testimony. I will if you wish I will tell the jury to disregard the statement by PA Lau as to Dr. Green.
MR. HOLOHAN: Thank you, your Honor. I take exception.
THE COURT: Now the second part had to do with causation. Tell me how he is qualified to give causation.
MR. RUSSOTTI: I have read his knowledge of bleeding in the brain and what bleeding in the brain can do, how it can cause damage.
THE COURT: He testified as to his knowledge.
MR. RUSSOTTI: He testified as to his knowledge. That is the basis.
THE COURT: Now make it specific to this case.
MR. RUSSOTTI: I will. Well, he testified
about everything that he testified to was corroborated by the expert neurosurgeon who explained that that was the physiology of how bleeding can affect the brain. The neurosurgeon and emergency room medicine expert. You know my point is--
THE COURT: You are specific as to this case, not as to what generally happens.
MR. RUSSOTTI: Well, specifically as to this case the neurosurgeon testified---
THE COURT: The neurosurgeon was called to offer an opinion. I will let that stand. You are talking about whether PA Lau is qualified to offer an opinion.
MR. RUSSOTTI: I know, your Honor. I am showing you that his fund of knowledge is sound. That he knows what he is talking about in this context. Then I asked him about the particulars of the examination.
Page 150, Line 18.
QUESTION: The chart notes she went into a coma and had to be intubated at about 4:10 that afternoon?
ANSWER: I wrote the patient to be intubated.
QUESTION: You wrote that?
ANSWER: Yes.
So obviously it was there when this event happened.
QUESTION: That was at 4:10?
ANSWER: I didn't write a time.
QUESTION: Well, the nurse wrote the time right, 1615 patient intubated?
ANSWER: Yes.
QUESTION: So that is 4:15 in the afternoon?
ANSWER: Yes.
QUESTION: She was in a coma, right?
ANSWER: Yes.
THE COURT: This is all information.
MR. RUSSOTTI: You asked me specifically in this case. We know he knows what a coma is.
QUESTION: That coma, referring to this examination, this is what can happen if the pressure is allowed to build up in the brain, right?
ANSWER: Yes.
QUESTION: This is exactly what you were trying to prevent, right?
ANSWER: Yes.
QUESTION: Later on were you aware that later on she was rushed to the operating room for neurosurgery?
ANSWER: Yes.
QUESTION: She deteriorated further at that time?
ANSWER: Not from my recollection.
QUESTION: Not from your recollection. Dr. Levine, I am reading from Dr. Levine's note: Glasgow coma scale 3 to 4 with a pupil of 8 millimeters on the left, right pupil 5 millimeters.
ANSWER: Yes.
QUESTION: Pupils are asymmetric?
ANSWER: Yes.
Talking about this case.
QUESTION: That is an indication of herniation in the brain?
ANSWER: Yes.
We have heard it from other witnesses. We know it is right.
QUESTION: This is a herniation that was caused from the increase in the pressure in the brain, right?
ANSWER: Yes.
Same thing with what the neurosurgeon said.
QUESTION: This is a herniation you were trying to avoid?
ANSWER: Yes.
QUESTION: That is why she had to be rushed to the operating room, right?
ANSWER: Yes.
MR. RUSSOTTI: Your Honor, this is exactly what the neurosurgeon explained.
QUESTION: At that point a Glasgow Coma Scale of 3 to 4 that is near death, right?
ANSWER: Yes.
QUESTION: So what you are concerned about deterioration and possibly from a bleed going from a Glasgow Coma Scale of 15 to having a bleed that can kill you. That is what happened to this woman?
ANSWER: Yes. Exactly.
THE COURT: I will hear you on this.
MR. HOLOHAN: Your Honor, this is so far fetched. PA testified as to causation of neurological injury. His expert didn't testify to this. He brought in a neurosurgeon to testify to this. This is so far fetched.
THE COURT: I am going to strike the testimony of causation.
MR. RUSSOTTI: Your Honor, he explained that he knows how this works. He explains that he knows the process.
THE COURT: He may know the training as to
what can happen at different times. I don't find that he is qualified to say that is what happened in this case.
MR. RUSSOTTI: What about he has been in the emergency room for 12 years?
THE COURT: Or offer an opinion or knowledge either way. I don't think he is qualified to say. I think that is up to the neurosurgeon.
MR. RUSSOTTI: What about, that since everything he said is exactly what the neurosurgeon said. We know that he is right.
THE COURT: He may be right but he is not qualified.
MR. RUSSOTTI: How can he not be qualified? He testified earlier he was trying to prevent it. He knew this could happen. He knew the potential complications in the earlier testimony. If he said: Gee, I don't know what happened to the bleed or increased pressure. He said he knows from his years of experience in training. Now we have in this case with this patient and what he said can happen happened. How could you say he is not qualified? He has explained his knowledge. We show him what happened in this case and he says: Yes.
THE COURT: I am going to strike that. You
have an exception.
MR. HOLOHAN: Thank you, your Honor.
THE COURT CLERK: Come to order.
THE COURT: All right. Let's bring down the jury.
THE COURT OFFICER: All rise. Jury entering.
THE COURT CLERK: Case on trial continues. The attorneys are present. The jury is present. You may be seated.
THE COURT: Good morning. Mr. Holohan, do you have a witness?
MR. HOLOHAN: The defendant calls David Lau.
THE COURT CLERK: Step up, please.
D A V I D L A U, P A, having been duly sworn, was examined and testified as follows:
THE COURT CLERK: State your full name.
THE WITNESS: David Lau.
THE COURT CLERK: Give us your address.
THE WITNESS: 86-09 Wexford Terrace, Queens, New York, 11432.
THE COURT CLERK: You may be seated.
THE COURT: You may inquire.
DIRECT EXAMINATION
BY MR. HOLOHAN:
Q. Good morning, Mr. Lau. Please keep your voice up and talk to the jury so they can hear what you have to say.
A. Yes.
Q. In this case you ordered the CAT scan, correct?
A. Yes.
Q. After you ordered the CA scan, what did you do next with regard to a conversation with Dr. Green? What is your custom and practice?
A. I discussed the case with Dr. Green.
Q. Why would you do that?
A. He is my supervising doctor.
Q. In a decision to have a CAT scan done within 30 minutes ultimately who makes the decision?
A. Dr. Green.
Q. Why is that?
A. He is my supervising doctor.
Q. Mr. Lau on Monday you testified "Wasn't it a deviation not to get it done STAT within 15, 20 minutes. Do you remember answering that question?
A. Yes.
Q. Have you ever been to Court before?
A. No.
Q. Have you ever been cross-examined before?
A. No.
Q. Could you tell the jury why you gave that answer?
A. I was confused. STAT could mean any there are more than 30 minutes.
Q. Are there certain types of brain trauma presentations that require CAT scans within 30 minutes?
A. Yes.
Q. What type are they?
A. Patients have dilated pupils, unequal pupils. People cannot move their extremities, or patients have incontinence.
Q. Did Mrs. Diego have any of those signs or symptoms when you saw her at 1:30?
A. No.
MR. HOLOHAN: Nothing further, your Honor.
MR. RUSSOTTI: Can I have a moment, your Honor? I am just looking for one thing, your Honor. Please bear with me.
THE COURT: Yes.
CROSS-EXAMINATION
BY MR. RUSSOTTI:
Q. PA Lau, just with respect to your last testimony about the word STAT.
A. Yes.
Q. You testified last week. When you testified last
week and I asked you about the meaning of STAT you weren't confused about that, were you?
A. I was confused.
Q. You were confused by that. Well, let me read your testimony and ask you to tell us where you were confused. Now before I do that, you have been an emergency room PA since 1990, right?
A. Yes.
Q. You graduated school I think that year?
MR. HOLOHAN: Your Honor, objection. We have done this before.
THE COURT: It is a preclude to a question. Go on. Overruled.
Q. You worked in emergency rooms from 1990 up to 2004, right?
A. Yes.
Q. You worked at four different hospitals before--
A. Yes.
Q. Before 2004, right?
A. Yes.
Q. You have seen thousands of head trauma patients before 2004?
A. Yes.
Q. Probably more than thousands of patients, right?
A. Possibly.
Q. And there are a lot of different situations in emergency rooms where the term STAT is used, right?
A. Yes.
Q. Mr. Lau, could you look at me and not look at your counsel, please.
A. All right.
Q. Please so you have a lot of experience before 2004 and before you testified here about the meaning of the word STAT, didn't you?
A. Yes.
Q. STAT is a common word. In the emergency room things need to be done quickly, right?
A. Yes.
Q. So STAT is a common word in the emergency room, right?
A. Yes. Right.
Q. Now tell me what you were confused about, Page 127, Line 7.
QUESTION: Now in this case this CAT scan needed to be done STAT, correct?
ANSWER: Yes.
So you understood that right, Mr. Lau?
A. Yes.
Q. QUESTION: And STAT, excuse me. STAT is a specific medical term, right?
ANSWER: Yes.
You understood that question PA Lau?
A. Yes.
Q. All right.
QUESTION: Okay. STAT means to do something right then, right?
ANSWER: Yes.
You understood that question, PA Lau?
A. Yes.
Q. QUESTION: In a hospital when orders are given or they are done in a hospital some can wait longer than others, right?
ANSWER: Yes.
QUESTION: But when a doctor or PA like yourself gives an order for something to be done STAT, that means drop everything, do it right now, right?
ANSWER: Yes.
You understood that question, Mr. Lau?
A. I was confused about the question.
Q. That question you were confused about?
A. Yes.
Q. You didn't say you were confused, did you?
MR. HOLOHAN: Objection.
THE COURT: Overruled.
Q. Did you PA Lau?
A. No, I did not.
Q. When a doctor or PA like yourself gives an order for something to be done STAT, that means drop everything do it right now, right?
ANSWER: Yes.
What was confusing about that question to you with your 14 years of experience, PA Lau?
A. STAT the word can mean more than 30 minutes. I was confused because the question was phrased in a way that you know STAT means right away.
Q. In your experience STAT does mean right away, right?
A. STAT can mean up to more than 30 minutes.
Q. You didn't say that last week?
A. Yes, I did not.
Q. QUESTION: That is the, that is test response time you can get in a hospital, right?
ANSWER: Yes.
That was correct Mr. Lau?
A. Yes.
Q. So this CAT scan because of the potential for bleed in the brain being high risk for bleeding needed to be done right away, right?
ANSWER: Yes.
Were you confused about that question too?
A. No.
Q. So you were correct about that question?
A. Yes.
Q. Now you said your custom and practice was to discuss this with Dr. Green. You don't have any recollection of discussing the case with Dr. Green, do you?
A. No, I do not.
Q. All right. There are times when you may not discuss something with Dr. Green right away, right?
A. Possible.
Q. You don't know if that was one of the times in this case, right?
A. Possible.
Q. Now you said today it was Dr. Green's responsibility to get this CAT scan done, right?
A. Yes.
Q. Let me ask you if you remember being asked these questions and giving these answers last week, PA Lau.
MR. HOLOHAN: Your Honor, can you ask the attorney to go behind the podium, please?
MR. RUSSOTTI: I think I can stand right here, your Honor.
THE COURT: Please move back counsel. Don't approach the witness.
MR. RUSSOTTI: All right, your Honor.
Q. Page 130, Line 25.
QUESTION: Whose responsibility was it to make sure that this CAT scan got done STAT, right away you or Dr. Green?
ANSWER: Me and Dr. Green both.
QUESTION: Both of you? And did you understand that question, PA Lau?
A. Yes.
Q. I asked both of you?
ANSWER: But me primarily. I saw the patient and wrote the chart. Me. Now you volunteered that answer, didn't you?
A. Yes.
Q. You said you volunteered. You said that you were primarily responsible, didn't you?
A. Yes.
Q. I didn't put that word in your mouth, did I?
A. No.
Q. Now you are changing that or do you want to stick with that testimony that you were primarily responsible for getting a CAT scan done?
A. A CAT scan is ordered by the physician in charge, Dr. Green. I ordered the CAT scan.
Q. PA Lau, I am asking you a question about your testimony last week. Today you are telling us it was Dr.
Green's responsibility. I am reading your testimony of last week.
A. But on the first question---
Q. Listen to the question.
QUESTION: Whose responsibility was it to make sure that this CAT scan, this case, this CAT scan got done STAT, right away you or Dr. Green?
ANSWER: Me and Dr. Green both.
QUESTION: Both of you?
ANSWER: But me primarily.
MR. HOLOHAN: Objection. Asked and answered.
Q. ANSWER: I saw the patient and wrote in the chart.
THE COURT: He answered the question.
MR. RUSSOTTI: He answered the question?
Q. Didn't you say last week that you were primarily the one that was responsible for making sure it got done STAT?
MR. HOLOHAN: Objection, your Honor. He asked that five minutes ago.
THE COURT: Overruled.
A. Yes.
Q. And then I even pressed you on it.
QUESTION: Well, he was the supervisor,
wasn't he?
ANSWER: Yes.
QUESTION: So I am just trying to understand the protocol. Whose responsibility was it, yours, was it his to make sure this got done STAT?
ANSWER: It was my responsibility. He supervised me.
That was the correct answer, wasn't it?
A. Yes.
Q. QUESTION: So it is his responsibility too?
ANSWER: Some.
That is your answer. Yes, but I primarily. It is my patient. I saw the patient.
QUESTION: So you are telling us then that primarily it was your responsibility to make sure this got done STAT?
ANSWER: Yes.
QUESTION: Done within 15 minutes, right?
ANSWER: Yes.
These questions and answers were correct when you gave them, weren't they?
A. Yes. STAT was confusing, about the word STAT.
Q. Well this morning you said it wasn't your responsibility. It was Dr. Green's you said?
A. If the patient needs to get the CAT scan right
away, Dr. Green would have to bring the patient to or Dr. Green would have to call the radiology technician or the radiology attending to help the patient go right away.
Q. Last week you told us you could do all that too, right?
A. Yes.
Q. Last week you told us that was your primary responsibility to make sure that the CAT scan got done, right?
A. Yes.
Q. So you accept the responsibility for that last week, right?
A. Right.
Q. Did something change between last week and this week, PA Lau?
A. No.
Q. Now you last said in response to your attorneys questioning that you were confused. I think you said that. You answered the question about whether or not it was a deviation from standard of care not to get this CAT scan done within 20 minutes, right? I think that is what you told your attorney?
A. Greater than 30 minutes.
Q. You were confused about that question and answer?
A. Yes.
Q. That you have never been in Court before, you have never been crossed. Well that is a good thing PA Lau.
MR. HOLOHAN: Objection, your Honor.
THE COURT: Sustained.
Q. Now, you have had a lot of experience. You told us that you have seen thousands of minor head trauma patients in four hospitals that you worked in 14 years prior to this, right?
A. Right.
Q. So you know what the standard of care is in dealing with minor head trauma patients, right?
A. Yes.
Q. I am talking about emergency room standard of care. You know that as a PA what the standard of care is from your experience in 14 years dealing with the thousands of minor head trauma patients. You know the standard of care?
A. Yes, but I am not an expert.
Q. You know the standard of care of what a PA is supposed to do, right?
A. Yes.
Q. You have seen what doctors do in hospitals?
A. Right.
Q. With respect to minor head trauma patients?
A. Right.
Q. You know minor head trauma patients what is supposed to be done right?
A. Yes.
Q. That what is what you get paid to do?
A. Yes.
Q. That is what New York Hospital is paying you to do, right?
A. Yes. Right.
Q. Now since you know what the standard of care is, then you know when there is a deviation from the standard of care, correct?
A. Yes.
Q. Now I am going to read from your testimony of last week. Page 132. You tell me what you were confused about, Line 23. PA Lau, last week PA Lau my voice is loud. I was talking very softly to you, wasn't I?
MR. HOLOHAN: Objection, your Honor.
THE COURT: Sustained.
Q. Page 132, Line 23.
QUESTION: PA Lau, wasn't it a departure from proper emergency room practice not to get this CAT scan done STAT?
ANSWER: From my examination she was neurologically stable. From my examination the pupils
were equal reactive. She was conversing with me. She was moving her extremities. I mean from my examination she was neurologically stable.
So you understood my question, right?
A. Yes.
(Whereupon, the following was transcribed by Official Court Reporter Nora Campisi.)
Q The next question: "I understand. You told us earlier that you couldn't rule out she could have a bleed in the brain that could have killed her later that afternoon, right?
"Answer: Right."
You understood that question, didn't you?
A Yes.
Q "Question: You knew that?
"Answer: Yes.
"Question: So that was the most serious thing that this woman potentially had, right?
"Answer: Right."
You understood that question, didn't you?
A Yes.
Q "Question: Wasn't it a departure from proper emergency room practice not to get the CAT scan done within 15 minutes in this woman?
"Answer: You have to rephrase your question."
So you asked me to rephrase that, right?
A Okay.
Q Okay, and then I said: "Question: Let me rephrase it this way, you know what the standard of care in the emergency room is right, emergency room practice?
You said "yes," right?
A Yes.
Q Just like you said yes a couple of minutes ago, right?
A Right.
Q "Question: Wasn't this a deviation from the standard of care in a patient that, a head trauma patient with a potential bleed in her brain that could kill her, not to get this done stat, wasn't that a deviation from the standard of care?
"Answer: She was getting a CAT scan done."
You understood that question, didn't you?
A Yes.
Q And then I said: "Question: Wasn't it a deviation not to get it done stat, within 15 or 20 minutes?
"Answer: Yes."
You understood that question, didn't you?
A Yes, possible, yes.
Q "It was, right?
Answer: Yes."
Two times you said to yes to that question, right, P.A. Lau?
A Yes.
Q P.A. Lau, you are an honorable man, aren't you?
MR. HOLOHAN: Objection, your Honor.
THE COURT: Sustained.
Q You took an oath to tell the truth, didn't you, P.A. Lau?
A Yes.
Q You believe in that oath to tell the truth?
A Yes.
Q When you testified here last week you told us the truth, didn't you?
A Yes.
MR. RUSSOTTI: I have no further questions, thank you.
REDIRECT EXAMINATION
BY MR. HOLOHAN:
Q In Mrs. Diego, in this case, is -- withdrawn. All of the head trauma cases you have seen, minor head trauma cases you have seen in your years of experience, Mrs. Diego fits in that experience, correct?
A Yes.
Q With her presentation to you, did this CAT scan have to be done within 30 minutes?
MR. RUSSOTTI: Objection to the form.
A No.
THE COURT: Overruled.
Q And why not?
A She was neurologically stable. We examined the
patient, what we call SOAP, subjective, what the patient tell us, objective, how we examine the patient, physical exam, vital signs, and assessment and plan. Assessment is what we think the patient had, and plan is what we are going to do.
MR. RUSSOTTI: I move to strike this as beyond the answer to the question.
THE COURT: No, motion denied.
A I examined the patient, patient comes in, her vital signs were stable, she was conversing with me, from reading the chart that she spoke Spanish, and probably I will say translator available, I don't have the chart in front of me, there was a translator in front of me to translate. She was moving her extremities, pupil was equal from examination, I mean she was neurologically stable, she does not require a CAT scan in 30 minutes.
MR. HOLOHAN: Nothing further, thank you.
RECROSS EXAMINATION
BY MR. RUSSOTTI:
Q How about an hour, within an hour?
MR. HOLOHAN: Objection, your Honor, it is beyond the scope of the examination.
MR. RUSSOTTI: You just --
THE COURT: No, overruled.
Q How about within an hour, is she required within
an hour?
A Sure.
Q Wasn't done within an hour either, was it?
A No.
Q No; that was a deviation from proper emergency room practice, correct, not to get it done within an hour?
MR. HOLOHAN: Objection.
THE COURT: Overruled.
Q It was, wasn't it?
A Possible.
Q You could have told this jury last week what you just said now in response to your attorney's questions, couldn't you?
MR. HOLOHAN: Objection, your Honor, beyond the scope of direct.
THE COURT: Sustained.
Q Did you have -- was there any pressure exerted on you to change your testimony, P.A. Lau?
A Absolutely not.
MR. RUSSOTTI: All right, I have no further questions.
THE COURT: You may step down, thank you.
(Whereupon, the witness stepped down)
THE COURT: You have your next witness?
MR. HOLOHAN: At 3:00 o'clock.
|
Questioning the Counter-Majoritarian Thesis: The Case of Torts
Richard L. Abel
Follow this and additional works at: https://via.library.depaul.edu/law-review
Recommended Citation
Richard L. Abel, *Questioning the Counter-Majoritarian Thesis: The Case of Torts*, 49 DePaul L. Rev. 533 (1999)
Available at: https://via.library.depaul.edu/law-review/vol49/iss2/19
This Article is brought to you for free and open access by the College of Law at Digital Commons@DePaul. It has been accepted for inclusion in DePaul Law Review by an authorized editor of Digital Commons@DePaul. For more information, please contact email@example.com.
QUESTIONING THE COUNTER-MAJORITARIAN THESIS: THE CASE OF TORTS
Richard L. Abel*
Liberal polities are built on the bedrock of separation of powers. Legislatures make laws, executives implement them, and courts apply them. Criticism of judicial activism and calls for judges to defer to legislatures rest on this axiom. Yet those normative postulates depend upon unexamined empirical claims. This article uses contemporary tort cases to argue that these assumptions are certainly dubious and probably false. I will begin by articulating the Counter-Majoritarian Thesis ("CMT") as it is advanced in tort judgments.\(^1\) Then I will survey two kinds of confrontations between court and legislature, which appear to contradict the thesis.\(^2\) In the first, innovative tort decisions justified in terms of general societal interests are overturned by legislation serving special interests.\(^3\) In the second, statutes serving special interests force courts to choose between deferring to legislatures or subjecting their actions to critical scrutiny.\(^4\) I will conclude by inverting the CMT, arguing that courts tend to be populist and deliberative, whereas legislatures tend to be captured by special interests, secretive, hasty, and unwilling or unable to offer reasons for their actions.\(^5\) This conclusion frees courts to reform the common law and justifies narrow interpretation and strict scrutiny of legislation that sacrifices general societal interests to special interests.
I. The Counter-Majoritarian Thesis in Tort Decisions
Although the CMT originates in federal constitutional law,\(^6\) judges often invoke it when declining to modify the common law or con-
* Connell Professor of Law, University of California, Los Angeles. I am grateful for comments at a UCLA faculty colloquium (especially Dan Bussel, Ken Karst, Bill Klein, and Bill Rubenstein) and at the conference on "Insurance, Risk & Responsibility" at the University of Connecticut School of Law (especially Ross Cheit).
1. See infra Part I.
2. See infra Part II.
3. See infra Part II.
4. See infra Part II.
5. See infra Part III.
6. See Alexander M. Bickel, The Least Dangerous Branch: The Supreme Court at the Bar of Politics 16-23 (1962); Jesse Choper, Judicial Review and the National
demning a majority for doing so. They typically advance the following claims:
1. Legislatures make law; courts apply it.\textsuperscript{7} “This court must not assume the role of a super general assembly which can be called into session to enact a rule of law whenever the proponents of that rule are unable to secure its passage in the proper forum.”\textsuperscript{8}
2. Legislative inaction expresses an intent that the common law remain unchanged.\textsuperscript{9} The majority “rejects over 100 years of tort law” and “long established tort principles.”\textsuperscript{10}
a. This intent is clearer when the legislature modifies related rules, explicitly declines to modify the rule in question, or is still considering modification.\textsuperscript{11}
b. Once legislation has been integrated into a common law domain, courts cannot change the components \textit{they} created, because this might affect the legislation.\textsuperscript{12}
3. Changes in the bench, far from providing an opportunity for judicial innovation, detract from its legitimacy.\textsuperscript{13}
4. The popular will is better expressed by the legislature than the judiciary.\textsuperscript{14}
a. Legislators hear \textit{all} the affected interests, judges hear only the interests of the parties before them.
b. Legislators are democratically responsible because they are elected for short terms; judges are either appointed or elected to long terms in non-partisan races that are devoid of issues and rarely contested.
5. The legislature is better suited to innovate than the judiciary.\textsuperscript{15}
---
\textsuperscript{7} \textit{Political Process} 4-12 (1980); \textit{John Hart Ely, Democracy and Distrust: A Theory of Judicial Review} 73-104 (1980); \textit{Stephen C. Halpern & Charles M. Lamb, Supreme Court Activism and Restraint} 386-92 (1982); \textit{Sterling Harwood, Judicial Activism: A Restrained Defense} 19-25 (1996); \textit{Donald Horowitz, The Courts and Social Policy} 1-12 (1977); \textit{John E. Nowak & Ronald D. Rotunda, Constitutional Law} 374-80 (4th ed. 1991); \textit{Michael J. Klarman, Majoritarian Judicial Review: The Retrenchment Problem}, 85 Geo. L.J. 491, 492-94 (1997); \textit{Herbert Wechsler, Toward Neutral Principles of Constitutional Law}, 73 Harv. L. Rev. 1, 6-7 (1959).
\textsuperscript{8} \textit{Vater v. County of Glenn}, 323 P.2d 85, 88 (Cal. 1958).
\textsuperscript{9} \textit{Alvis v. Ribar}, 421 N.E.2d 886, 903 (Ill. 1981) (Ryan, J., dissenting).
\textsuperscript{10} \textit{Li v. Yellow Cab}, 532 P.2d 1226, 1246-47 (Cal. 1975) (Clark, J., dissenting).
\textsuperscript{11} \textit{Sindell v. Abbott Labs.}, 607 P.2d 924, 939-40 (Cal. 1980) (Richardson, J., dissenting).
\textsuperscript{12} \textit{See id.} at 943; \textit{Muskopf v. Corning Hosp. Dist.}, 359 P.2d 457, 463-64 (Cal. 1961) (Schauer, J., dissenting); \textit{Alvis}, 421 N.E.2d at 902-03; \textit{Kelly v. Gwinnett}, 476 A.2d 1219, 1232-33 (N.J. 1984) (Garibaldi, J., dissenting).
\textsuperscript{13} \textit{See Alvis}, 421 N.E.2d at 902.
\textsuperscript{14} \textit{See Muskopf}, 359 P.2d at 464.
\textsuperscript{15} \textit{See Rowland v. Christian}, 443 P.2d 561, 569 (Cal. 1968) (Burke, J., dissenting).
a. Superior investigative resources allow the legislature proactively to gather evidence; courts must passively rely on the parties to create the record.\textsuperscript{16} Courts should not act upon “seemingly scant knowledge.”\textsuperscript{17} The “[l]egislature can collect information . . . .”\textsuperscript{18}
b. Legislatures can define problems themselves; courts must allow parties to define the problems for them.
c. Legislatures deal with problems comprehensively; courts do so in a piecemeal fashion. “Policy choices . . . are, it seems to me, best left to the judgment of a General Assembly staffed and equipped to explore, consider, and resolve simultaneously these many-faceted questions.”\textsuperscript{19} “[I]t is for the Legislature to create new causes of action and to fix the limits of recovery. . . .”\textsuperscript{20} “Only the Legislature, if it deems it wise to do so, can avoid such difficulties by enacting a comprehensive plan for the compensation of automobile accident victims in place of or in addition to the law of negligence.”\textsuperscript{21}
II. Populist Courts, Captured Legislatures
The assertion that legislatures are more democratic than courts willfully ignores everything we know about those institutions.\textsuperscript{22} Money is essential to gaining and retaining legislative office. A great deal of
\begin{itemize}
\item See Li v. Yellow Cab, 532 P.2d 1226, 1247 (Cal. 1975).
\item See Kelly v. Gwinnett, 476 A.2d 1219, 1232 (N.J. 1984).
\item Id. at 1233.
\item See Alvis v. Ribar, 421 N.E.2d 886, 900 (Ill. 1981) (Underwood, J., dissenting).
\item Molien v. Kaiser Found. Hosps., 616 P.2d 813, 823 (Cal. 1980) (Clark, J., dissenting).
\item Maloney v. Rath, 445 P.2d 513, 515 (Cal. 1968); Hammontree v. Jenner, 20 Cal. App. 528, 532-33 (Cal. Ct. App. 1971) (quoting Maloney and citing Clark v. Dziabas, 445 P.2d 517, 518 (Cal. 1968)).
\end{itemize}
\textsuperscript{22} See William B. Greider, Who Will Tell the People: The Betrayal of American Democracy 35-158 (1992); David R. Mayhew, Congress: The Electoral Connection 13-77 (1974); Gary S. Becker, A Theory of Competition Among Pressure Groups for Political Influence, 98 Q. J. Econ. 371, 372-73 (1983); Michael Klarman, The Puzzling Resistance to Political Process Theory, 77 Va. L. Rev. 747, 768-819 (1991); William M. Landes & Richard A. Posner, The Independent Judiciary in an Interest-Group Perspective, 18 J.L. & Econ. 875, 877-87 (1975); Jonathan R. Macey, Promoting Public-Regarding Legislation Through Statutory Interpretation: An Interest Group Model, 86 Colum. L. Rev. 223 (1986); Sam Peltzman, Toward a More General Theory of Regulation, 19 J.L. & Econ. 211, 213-31 (1976); George Stigler, The Theory of Economic Regulation, 2 Bell J. Econ. & Mgmt. Sci. 3, 10-13 (1971).
The locus classicus, of course, is Mancur Olson Jr., The Rise and Decline of Nations 75-117 (1982); Mancur Olson Jr., The Logic of Collective Action: Public Goods and the Theory of Groups 132-67 (rev. ed. 1971). See also George J. Stigler, Free Riders and Collective Action, 5 Bell J. Mgmt. Sci. 359, 359 (1974).
Others draw similar conclusions from decision theory. See Laurence H. Tribe, American Constitutional Law § 1-7, 12 n.6 (2d ed. 1988); William N. Eskridge, Jr., Overriding Supreme Court Statutory Interpretation Decisions, 101 Yale L.J. 331, 353-71 (1991); William H. Riker &
legislator behavior is governed by the fundraising imperative.\textsuperscript{23} Tortfeasors make far larger campaign contributions than victims. True, the plaintiffs' bar can represent victims, sometimes very effectively: witness the failure of tort "reformers" over several decades to pass federal legislation limiting product liability.\textsuperscript{24} But the influence of plaintiffs' lawyers can be neutralized by the defense bar, which is organized and financed at least as well and probably better than the plaintiff's bar.\textsuperscript{25} Furthermore, though the interests of victims and their lawyers overlap, they are far from identical. Trial lawyers have
\begin{quote}
Barry R. Weingast, \textit{Constitutional Regulation of Legislative Choice: The Political Consequences of Judicial Deference to Legislatures}, 74 Va. L. Rev. 373, 379-98 (1988).
For critiques, see generally Daniel A. Farber & Philip P. Frickey, \textit{The Jurisprudence of Public Choice}, 65 Tex. L. Rev. 873 (1987) (noting that reports of the "death of public interest" are greatly exaggerated); Herbert Hovenkamp, \textit{Legislation, Well-Being, and Public Choice}, 57 U. Chi. L. Rev. 63 (1990) (attempting to dispel misconceptions regarding the relationship between legislative enactments and social well-being created by the economic approach); Mark Kelman, \textit{On Democracy-Bashing: A Skeptical Look at the Theoretical and 'Empirical' Practice of the Public Choice Movement}, 74 Va. L. Rev. 199 (1988) (discounting the "public choice" tradition for its contempt of the legislative process); Edward L. Rubin, \textit{Beyond Public Choice: Comprehensive Rationality in the Writing and Reading of Statutes}, 66 N.Y.U. L. Rev. 1 (1991) (questioning the explanatory power of public choice theory and its ability to aid in the judicial construction of statutes).
\textsuperscript{23} Robert L. Jackson, \textit{Ethics Often Sidestepped in "Citizen Legislatures"}, L.A. Times, Mar. 4, 1999, at A5.
\textsuperscript{24} That may be about to change. Neil A. Lewis, \textit{Optimism This Time for Bill to Lower Liability Awards}, N.Y. Times, June 21, 1999, at 18; Neil A. Lewis, \textit{Chances Good for Caps on Damage Awards}, N.Y. Times, Apr. 20, 1997, at 20. The battle continues over limiting liability for Y2K computer lawsuits. Jeri Clausing, \textit{Legislation Limiting Year 2000 Liability Is Introduced}, N.Y. Times, Feb. 24, 1999, at C2; David E. Rosenbaum, \textit{Bill on Year 2000 Liability Is Set Aside in the Senate}, N.Y. Times, Apr. 20, 1999, at C20; Jube Shiver, \textit{House Backs Bill Limiting Y2K Lawsuits}, L.A. Times, May 13, 1999, at A6.
\textsuperscript{25} In 1975, Chicago lawyers devoted an estimated 6% of their time to plaintiffs and 6% to defendants in personal injury cases. John P. Heinz & Edward O. Laumann, \textit{Chicago Lawyers: The Social Structure of the Bar} 24, Table 2.1 (rev. ed. 1994). Twenty years later they devoted 6% to plaintiffs and 7% to defendants. John P. Heinz et al., \textit{The Changing Character of Lawyers' Work: Chicago in 1975 and 1995}, 32 L. & Soc'y Rev. 751, 765 (1998).
In the 1998 California electoral campaigns, the insurance industry contributed $6.7 million, while trial lawyers contributed $5.5 million. Dan Morain, \textit{Wealth Buys Access to State Politics}, L.A. Times, Apr. 18, 1999, at A1. The latter figure included contributions from securities litigator Bill Lerach, the only personal injury lawyer among the 20 largest individual donors. These figures \textit{omit} the $30.4 million contributed by the tobacco industry, $11.1 million by development, real estate and construction, $4.9 million by health care, and $2.4 million by agriculture. \textit{Id}. According to Public Campaign, the gun lobby spent $15.5 million on candidates, parties, and issue advertising between 1991 and 1999. Advertisement, Public Campaign, N.Y. Times, May 27, 1999, at A14.
On influence in Maryland tort "reform" in 1985-1986, see Paul Erik Parker, \textit{The Liability Shortage of 1985-1986: A Study in Legislative Capacity}, Ph.D. dissertation, political science, University of Maryland, 1989.
On the influence of group size and structure, see Dennis Mueller, \textit{Public Choice II} 135-45 (1989); Robert E. McCormick & Robert D. Tollison, \textit{Politicians, Legislation, and the Economy} 103-12 (1981).
\end{quote}
successfully obstructed true no-fault automobile accident compensation schemes, which arguably would be better for car owners and accident victims than the outrageously wasteful fault-based scheme.\textsuperscript{26} Organization is more essential to influencing legislatures than courts. Tortfeasors are well organized, first by the corporate form, then by industry associations. Victims are individuals who cannot be identified in advance and rarely engage in collective action after the fact. Mothers Against Drunk Driving ("MADD") is the exception. Tortfeasors also have better access to the expertise necessary to influence legislators. The following analysis of the \textit{outcomes} of tort adjudication and legislation tends to falsify the CMT.\textsuperscript{27}
\subsection*{A. Dramshop Act Cases}
Most jurisdictions impose liability on commercial enterprises that serve alcohol to obviously intoxicated persons who injure others. In the name of the generally accepted tort goals of deterrence, loss-spreading, and moral judgment, four state supreme courts (California, New Jersey, Iowa, and Minnesota) extended liability to social hosts.\textsuperscript{28} In each state, the legislature then eliminated, or substantially curtailed, that liability.\textsuperscript{29} In one, the court reasserted \textit{common law} liability, prompting the legislature to abrogate that liability as well.\textsuperscript{30} Courts reluctantly acquiesced in these actions, while reiterating the policy arguments for liability.\textsuperscript{31} When a lower court declared that "imposing civil liability discourages the illegal furnishing of liquor to minors,"\textsuperscript{32} the state supreme court conceded that "no one would seriously disagree" but added ruefully: "We incorporated that policy in both \textit{Ross} and \textit{Trail}, only to have their full impact nullified by legisla-
\begin{itemize}
\item \textsuperscript{26} See Ross Cheit, \textit{State Adoption of Model Insurance Codes: An Empirical Analysis}, 23 \textit{Publius} 49, 62 (Summer 1993); Edward L. Lascher, Jr., \textit{Loss Imposition and Institutional Characteristics: Learning from Automobile Insurance Reform in North America}, 31 \textit{Canadian J. Pol. Sci.} 143, 150 (1998); Edward L. Lascher, Jr., \textit{The Politics of Automobile Insurance Reform: Ideas, Institutions, and Public Policy in North America} 38-39 (1999).
\item \textsuperscript{27} Evidence about \textit{process} is also relevant to my argument: actual influence on both litigation (amicus briefs) and legislation (campaign contributions, role in drafting, participation in hearings, advertising, media coverage, lobbying, etc.). I am engaged in research on those topics.
\item \textsuperscript{28} Coulter v. Superior Court, 577 P.2d 669, 671 (Cal. 1978); Williams v. Klemesrud, 197 N.W.2d 614 (Iowa 1972); Trail v. Christian, 214 N.W.2d 618 (Minn. 1973); Ross v. Ross, 200 N.W.2d 149 (Minn. 1972); Kelly v. Gwinnell, 476 A.2d 1219 (N.J. 1984).
\item \textsuperscript{29} Cal. Bus. & Prof. Code §§ 25602(b), (c) (West 1997); Iowa Liquor and Beer Control Act, First Session, 64th General Assembly, ch. 131, § 152; Act of June 2, 1977, ch. 390, § 1, 1977 Minn. Laws 887; N.J. Stat. Ann. § 2A:15-5.5-.8 (West 1987).
\item \textsuperscript{30} See Iowa Code Ann. § 123.49(1)(b) (West 1997) (abrogating Clark v. Mincks, 364 N.W.2d 226, 229 (Iowa 1985)).
\item \textsuperscript{31} Cole v. City of Spring Lake Park, 314 N.W.2d 836, 840 (Minn. 1982).
\item \textsuperscript{32} Holmquist v. Miller, 352 N.W.2d 47, 52 (Minn. Ct. App. 1984).
tive amendments." The California Supreme Court sorrowfully noted that "notwithstanding the clear documentation of the appalling nature of the nationwide drunk driving problem, the Legislature with the Governor's approval enacted legislation which was expressly designed to 'abrogate' each of our three foregoing decisions." The exceptions to liability were "a patchwork of apparent inconsistencies and anomalies," not "wise, sound, necessary, or in the public interest." Dissenters continued to insist that liability would reduce drunk driving accidents.
Judges differed in their attitudes toward legislatures. Some found legislative preemption, even in inaction. Others perceived no such intent, viewing inaction as a license for judicial creativity. "If we were to restrict this section of the Act to 'licensees'... we would nullify the very purpose of the Act" to protect "the public welfare, health, peace and morals of the people of the Commonwealth." The latter refused to read the repeal of the state Dramshop Act as precluding common law remedies, arguing that the legislature had to do this explicitly. Some attributed greater institutional competence to legislatures: "[A]ny extension of liability should be carefully considered after all the factors have been examined and weighed in our legislative process, that is, after extensive hearings, surveys and investigations." But among the many legislatures curtailing liability, only New Jersey actually held hearings. Other judges declared that "[i]t requires no legislative fact-finding to establish that risk-creating conduct existed on the facts alleged." Indeed, courts were better suited to modify the law.
Adaptation of the law of torts to the myriad risk-creating agencies and devices of modern society requires continuous application of easily understood basic principles to a plethora of divergent and continually emerging factual combinations. The task is singularly suited to the judicial process and in the grand tradition of the com-
33. Holmquist v. Miller, 367 N.W.2d 468, 471-72 (Minn. 1985).
34. Cory v. Shierloh, 629 P.2d 8, 10 (Cal. 1981).
35. Id. at 12-13.
36. See Clark v. Mincks, 364 N.W.2d, 226, 232-33 (Iowa 1985) (McGiverin, J., dissenting); Runge v. Wattes, 589 P.2d 145, 147 (Mont. 1979).
37. See Coulter v. Superior Court, 577 P.2d 669, 673 (Cal. 1978).
38. Klein v. Raysinger, 470 A.2d 507, 513-14 (Pa. 1983) (Roberts, C.J., dissenting).
39. See Halvorson v. Birchfield Boiler, Inc., 458 P.2d 897, 901-03 (Wash. 1969) (Finley, J., dissenting).
40. Edgar v. Kajet, 375 N.Y.S.2d 548, 552 (N.Y. App. Div. 1975).
41. State of New Jersey, Commission on Alcoholic Beverage Liability, Final Report (Sept. 18, 1985).
42. Halvorson, 458 P.2d at 902 (Finley, J., dissenting).
mon law. . . . The resolution of the problems involved would be a task requiring impracticable prodigies of legislative effort.\textsuperscript{43}
They also pointed to the collective action problem faced by victims seeking to influence legislatures.
[It is almost a rule-of-thumb—worthy of judicial notice—that the legislative branch usually reacts only to organized vocal public interest. There is no such organized vocal interest or effort on the part of the socially significant number of miscellaneous persons injured today through the drunkenness of a socially significant number of motor vehicle operators.\textsuperscript{44}
\textbf{B. Automobile Guest Statutes}
As automobiles proliferated after World War I, the insurance industry persuaded legislatures to make recklessness a prerequisite for driver liability to a gratuitous guest. A half century later, victims challenged those statutes. Some judges viewed even \textit{judicial} protection of owners as “settled law amenable only to the legislative power . . . . [R]ejection now, by this court, would constitute judicial intrusion upon the lawmaking function.”\textsuperscript{45} Others humbly acknowledged their limited ability to “play the prophet” in devising the rule originally.\textsuperscript{46} If time did not verify the prophecy then “the power which generated the rule must be exerted to correct it.”\textsuperscript{47} Judges who invalidated automobile guest statutes justified such activism by reference to both legislative action (adoption of comparative fault,\textsuperscript{48} policies favoring liability, and compulsory insurance) and inaction (following restrictive judicial interpretations of the guest statutes). Some felt compelled to sustain the statute if it tended to advance any conceivable goal.\textsuperscript{49} Such judges took judicial disagreements about legislative purpose as grounds for concluding that the legislation could serve multiple purposes.\textsuperscript{50} Others ridiculed this approach. If the legislature made its objectives clear, courts could not create fictitious alternatives, such as protection of the uninsured guest driver, or an analogy between owners who themselves drove negligently and owners who failed to control negligent drivers. “Although by straining our imagination we could possibly derive a theoretically ‘conceivable,’ but totally unrealis-
\begin{itemize}
\item \textsuperscript{43} \textit{Id.}
\item \textsuperscript{44} \textit{Id.}
\item \textsuperscript{45} Lippman v. Ostrum, 123 A.2d 230, 234 (N.J. 1956).
\item \textsuperscript{46} \textit{See} Cohen v. Kaminetsky, 176 A.2d 483, 486 (N.J. 1961).
\item \textsuperscript{47} \textit{Id.}
\item \textsuperscript{48} \textit{See} McConville v. State Farm Mut. Auto. Ins. Co., 113 N.W.2d 14, 19-20 (Wis. 1962).
\item \textsuperscript{49} \textit{See} Schwalbe v. Jones, 534 P.2d 73, 84 (Cal. 1975) (Sullivan, J., dissenting).
\item \textsuperscript{50} \textit{See} Cooper v. Bray, 582 P.2d 604, 614 (Cal. 1978) (Richardson, J., dissenting).
tic, state purpose that might support this classification scheme, we do not believe our constitutional adjudicatory function should be governed by such a highly fictional approach to statutory purpose."51 Critical judges saw automobile guests as an inherently suspect category.52 Judicial modification of the law — creating loopholes through strict construction,53 rendering anomalous the denial of claims by owner passengers by striking down the basic law — introduced irrationality, which courts then used to invalidate the entire statute.54 Legislative re-enactment of portions not invalidated was an admission of "political realities," which invited the court to invalidate the rest.55 Requiring a relationship between the statute and the end by which it was justified, these judges found that guest statutes neither encouraged hospitality nor discouraged fraud.56 Both deferential and critical judges supported their arguments with evidence outside the record (suggesting that their votes reflected views about substance rather than process).57
C. Other Legislative Restrictions of Judicially Expanded Tort Liability
In a variety of other areas, courts expanded liability to unorganized victims, only to have organized defendants persuade legislatures to curtail it. When California held that psychotherapists could be liable for injuries inflicted by a patient,58 the therapeutic community convinced the legislature to limit liability to situations "where the patient has communicated to the psychotherapist a serious threat of physical violence against a reasonably identifiable victim."59 When an intermediate California appellate court said in dictum that a parent might be liable to a Tay-Sachs infant for wrongful life,60 the legislature promptly banned any action "against a parent of a child based upon the claim that the child should not have been conceived or, if conceived, should not have been allowed to be born alive."61 When California eliminated the distinctions between the duties owed to
---
51. Brown v. Merlo, 506 P.2d 212, 219 n.7 (Cal. 1973).
52. Id. at 216 n.2.
53. Id. at 215.
54. Schwalbe v. Jones, 546 P.2d 1033, 1041 (Cal. 1976) (Tobriner, J., dissenting).
55. See id. at 1046.
56. See id. at 1034-38, 1045.
57. See id. at 1036-37.
58. Tarasoff v. Regents of Univ. of California, 551 P.2d 334, 340 (Cal. 1976).
59. CAL. CIV. CODE § 43.92 (West Supp. 1999).
60. See Curlender v. Bio-Science Labs., 106 Cal. App. 3d 811, 829 (Cal. 1988).
61. CAL. CIV. CODE § 43.6 (West Supp. 1999).
trespassers, licensees, and invitees,\textsuperscript{62} the legislature immunized landowners from negligence liability to victims convicted of one of twenty-five felonies.\textsuperscript{63} When the Wisconsin Supreme Court followed California’s lead, lumber companies persuaded the legislature to immunize landowners from negligence liability to gratuitous users for recreational purposes.\textsuperscript{64} When Wisconsin courts construed the statute narrowly, the legislature excluded consideration of less than $150 and included public lands that charged an entrance fee.\textsuperscript{65} When Hawaii allowed recovery for negligent infliction of emotional distress mediated by damage to property,\textsuperscript{66} the legislature added the requirement of consequential physical injury or mental illness.\textsuperscript{67} When New Jersey subjected products to a “risk-utility” analysis and held asbestos manufacturers liable for risks they could not have known at the time of manufacture,\textsuperscript{68} the legislature significantly limited both rules.\textsuperscript{69} Legislatures overturned decisions in four states extending product liability to the sale of blood,\textsuperscript{70} and the Maryland legislature precluded such claims before they were made.\textsuperscript{71}
Liability for gunshot injuries vividly illustrates the relative influence of victims and the National Rifle Association (“NRA”) in judicial and legislative fora. When the Maryland Supreme Court held a gun maker liable for a shooting,\textsuperscript{72} the legislature overturned the rule.\textsuperscript{73} Although the District of Columbia court declined to follow its neighbor,\textsuperscript{74} District voters did so by referendum—a political process less easily corruptible by money than legislation.\textsuperscript{75} When Atlanta (like four other cities) sued gun manufacturers for the costs of treating gunshot victims, the lobbying arm of the NRA promptly persuaded the Georgia
\begin{itemize}
\item \textsuperscript{62} See Rowland v. Christian, 443 P.2d 561, 565 (Cal. 1968).
\item \textsuperscript{63} Cal. Civ. Code § 847 (West Supp. 1999).
\item \textsuperscript{64} See Dean P. Laing, Comment, Wisconsin’s Recreational Use Statute: A Critical Analysis, 66 Marq. L. Rev. 312, 322 (1983).
\item \textsuperscript{65} Id. at 341.
\item \textsuperscript{66} Campbell v. Animal Quarantine Station, 632 P.2d 1066, 1071 (Haw. 1981); Rodrigues v. State, 472 P.2d 509, 520 (Haw. 1970).
\item \textsuperscript{67} Haw. Rev. Stat. Ann. § 663-8.9 (Michie 1988).
\item \textsuperscript{68} O’Brien v. Muskin Corp., 463 A.2d 298 (N.J. 1983); Beshada v. Johns-Manville Prods. Corp., 447 A.2d 539 (N.J. 1982).
\item \textsuperscript{69} N.J. Stat. Ann. §§ 2A:58C-1-7 (West 1987).
\item \textsuperscript{70} Miles Labs., Inc. v. Doe, 556 A.2d 1107, 1120 (Md. 1989).
\item \textsuperscript{71} 1987 Md. Laws 493; 1986 Md. Laws 259; 1982 Md. Laws 21.
\item \textsuperscript{72} Kelley v. R.G. Indus., Inc., 497 A.2d 1143 (Md. 1985).
\item \textsuperscript{73} Md. Ann. Code, art. 27 § 36-1 (1996).
\item \textsuperscript{74} Delhanty v. Kinckley, 686 F. Supp. 920 (D.D.C. 1986).
\item \textsuperscript{75} D.C. Code Ann. § 6-2382-84 (1999); Daniel H. Lowenstein, Campaign Spending and Ballot Propositions: Recent Experience, Public Choice Theory and the First Amendment, 29 UCLA L. Rev. 505 (1982).
legislature to abort such lawsuits. The lobby bragged that “we are going to devote a lot of time and resources” to similar efforts in other jurisdictions.\textsuperscript{76} “In the next year, I think we can probably get 25 or 30 more states to do the same thing.”\textsuperscript{77} The gun industry pulled its annual Shot Show (which draws some 30,000 people) out of New Orleans after that city filed suit.\textsuperscript{78} A bill pending in Florida would make it a felony for a local official to sue the gun industry. In June, 1999, Texas Governor George W. Bush signed a bill outlawing gun lawsuits by cities and counties.\textsuperscript{79} A Georgia Republican (and NRA board member) has introduced a bill into Congress to bar such suits.\textsuperscript{80} Nevertheless, the massacre of thirteen at Columbine High School in Littleton, Colorado, in April 1999, has prompted a host of gun-control bills in state legislatures and Congress.\textsuperscript{81}
Laws limiting medical malpractice liability were passed at the behest of health care providers and their insurers.\textsuperscript{82} The Illinois Civil Justice Reform Amendments of 1995 were supported by local governments, school and park districts, the National Federation of Independent Businesses, the Illinois Farm Bureau, the not-for-profit sector, the Illinois State Medical Society, and the “more than 30,000 Illinois businesses . . . and more than 20,000 professionals” of the Illinois Civil Justice League.\textsuperscript{83} The bill, which began as “a technical change in a provision relating to product liability actions,”\textsuperscript{84} and which merely substituted “a” for “any,” had grown to sixty-seven pages when it was released to the House as “amended” two months later. It was approved by the House Executive Committee the next day without change and passed the House a day later.\textsuperscript{85} After two days of hearings, the Senate Judiciary Committee adopted it without change, and
\begin{itemize}
\item \textsuperscript{76} David Firestone, \textit{Gun Lobby Begins Concerted Attacks on Cities’ Lawsuits}, N.Y. Times, Feb. 2, 1999, at A1.
\item \textsuperscript{77} \textit{Id.}
\item \textsuperscript{78} \textit{Id.} A total of nine cities, Wayne County (Michigan), and two groups of cities led by Los Angeles and San Francisco had sued as of May 1999. \textit{See} Fox Butterfield, \textit{California Cities to Sue Gun Makers Over Sales Methods}, N.Y. Times, May 25, 1999, at A20.
\item \textsuperscript{79} \textit{Bush Signs Bill Banning Anti-Gun Lawsuits}, N.Y. Times, June 19, 1999, at A11.
\item \textsuperscript{80} Lizette Alvarez, \textit{A Republican Seeks to Ban Suits Against Gun Makers}, N.Y. Times, Mar. 10, 1999, at A16.
\item \textsuperscript{81} Mike Allen, \textit{Gun Owners Fear Connecticut Bill on Gun Seizures}, N.Y. Times, May 25, 1999, at A9; Frank Bruni, \textit{The New Politics of Gun Control}, N.Y. Times, May 30, 1999, § 4, at 4; Sam Howe Verhovek, \textit{Gun Control Laws Gaining Support in Many States}, N.Y. Times, May 31, 1999, at A1.
\item \textsuperscript{82} \textit{See infra} Part III.
\item \textsuperscript{83} \textit{See} Kirk W. Dillard, \textit{Illinois’ Landmark Tort Reform: The Sponsor’s Policy Explanation}, 27 Loy. U. Chi. L.J. 805, 807 n.11 (1996); \textit{infra} Part III and accompanying text.
\item \textsuperscript{84} Best v. Taylor Mach. Works, 689 N.E.2d 1057, 1065 (Ill. 1997).
\item \textsuperscript{85} \textit{Id.}
the Senate passed it a few days later without any of the seventy amendments offered by opponents.\textsuperscript{86}
Perhaps the most notorious example is the 1987 “back-of-the-napkin” deal in which the California legislature eliminated product liability for “inherently unsafe” “common consumer” products that are “intended for personal consumption” and “known to be unsafe by the ordinary consumer who consumes the product with the ordinary knowledge common to the community.”\textsuperscript{87} At a meeting in Frank Fats Restaurant in Sacramento, Assembly Speaker Willie Brown brought together the California Trial Lawyers Association, insurance industry, California Medical Association, California Chamber of Commerce, and manufacturers’ lobbyists (including the Association for California Tort Reform). The notes scrawled on the back of a napkin were turned into a bill in less than forty-eight hours and brought to a vote on the last night of the legislative session, after Brown refused the request of consumer groups for further discussion.\textsuperscript{88} Ten years later, when California wanted to join the twenty-two states suing tobacco companies, it amended the act to exclude tobacco from common consumer products.\textsuperscript{89} Using Orwellian language, it declared that the act had “never applied to, an action brought by a public entity” and did not apply even if “the injured individual’s claim against the defendant may be barred by a prior version of this section.”\textsuperscript{90} The state’s share of the settlement was about $25 billion.\textsuperscript{91}
\textit{D. Immunities}
Immunities usually protect discrete, organizable categories of tortfeasors at the expense of dispersed, prospectively unidentifiable, hard-to-organize victims. However, courts have curtailed or eliminated most of the immunities they originally created: charitable, intrafamilial, and sovereign.\textsuperscript{92} Soon after California abolished common law sovereign immunity, however, the legislature enacted a complex
\begin{itemize}
\item \textsuperscript{86} Illinois Civil Justice Reform Amendments of 1995, Ill. Pub. Law No. 89-7 (1995); \textit{Best}, 689 N.E.2d at 1065, 1067-79.
\item \textsuperscript{87} \textit{See Cal. Civ. Code} § 1714.45 (West 1998); \textsc{James Richardson, Willie Brown: A Biography} 348-49 (1996).
\item \textsuperscript{88} \textsc{Richardson, supra} note 87, at 347-49.
\item \textsuperscript{89} \textsc{Cal. Civ. Code} § 1714.45 (West 1998).
\item \textsuperscript{90} \textit{Id.}
\item \textsuperscript{91} Barry Meier, \textit{Tobacco Windfall Begins Tug-of-War Among Lawmakers}, \textsc{N.Y. Times}, Jan. 10, 1999, at A1.
\item \textsuperscript{92} In California, see, for example, Klein v. Klein, 376 P.2d 70 (Cal. 1962) (family); Muskopf v. Corning Hosp. Dist., 359 P.2d 457 (Cal. 1961) (sovereign); Malloy v. Fong, 232 P.2d 241 (Cal. 1951) (charitable); Silva v. Providence Hosp. of Oakland, 97 P.2d 798 (Cal. 1939) (charitable).
web of specific immunities.\textsuperscript{93} The year after the New Jersey Supreme Court abrogated charitable immunity,\textsuperscript{94} the legislature reinstated it.\textsuperscript{95} When a twelve-year-old boy committed suicide after being sexually abused by his parochial school teacher and scoutmaster, the court felt compelled to respect the immunity.\textsuperscript{96} The three dissenting justices invoked “the strong policy reasons that withhold immunity to a charitable entity from liability for wrongful conduct not related to the charity’s legitimate purpose or with respect to a victim who does not otherwise benefit from the works of the charity. . . .”\textsuperscript{97}
In all the examples above, courts protected plaintiffs and legislatures protected defendants. But this article is not a brief for constantly expanding tort liability. Rather, my argument is that, in confrontations with organized interests, disorganized interests are more disadvantaged in legislatures than in courts because of immutable institutional characteristics. Sometimes courts contract liability to protect unorganized tortfeasors and legislatures expand it at the behest of organized victims. After the New York Court of Appeals created the “firefighter rule,” denying those injured in fighting fires recovery against property owners whose negligence caused the conflagration,\textsuperscript{98} the legislature abrogated it (presumably at the instance of the powerful firefighters’ union).\textsuperscript{99} When the court reaffirmed the rule with respect to police officers,\textsuperscript{100} the legislature again allowed actions based on statutory violations.\textsuperscript{101} When the court construed the statute as prospective,\textsuperscript{102} the legislature made it retroactive.\textsuperscript{103} When the court rejected a claim based on violation of a statute codifying common law duties,\textsuperscript{104} the legislature allowed such an action.\textsuperscript{105} When courts denied claims unless police service was distinct from the statu-
\begin{itemize}
\item \textsuperscript{93} See Arvo Van Alstyne, Governmental Tort Liability: Judicial Lawmaking in a Statutory Milieu, 15 Stan. L. Rev. 163, 163 (1963); James A. Cobey, The New California Governmental Liability Statutes, 1 Harv. J. Legis. 16, 18 (1964).
\item \textsuperscript{94} See Benton v. YMCA, 141 A.2d 298 (N.J. 1958); Collopy v. Newark Eye & Ear Infirmary, 141 A.2d 276 (N.J. 1958); Dalton v. St. Luke’s Catholic Church, 141 A.2d 273 (N.J. 1958).
\item \textsuperscript{95} See N.J. Stat. Ann. § 2A:53A-7 (West 1987).
\item \textsuperscript{96} See Schultz v. Roman Catholic Archdiocese of Newark, 472 A.2d 531, 532, 536 (N.J. 1984).
\item \textsuperscript{97} Id. at 543 (Handler, J., dissenting).
\item \textsuperscript{98} See Kenavan v. City of New York, 517 N.E.2d 872, 874 (N.Y. 1987).
\item \textsuperscript{99} See N.Y. Gen. Mun. Law § 205-a (McKinney 1989).
\item \textsuperscript{100} See Santangelo v. State, 521 N.E.2d 770, 771 (N.Y. 1988).
\item \textsuperscript{101} See N.Y. Gen. Mun. Law § 205-e (McKinney 1989).
\item \textsuperscript{102} See Guadagno v. Baltimore & Ohio R.R. Co., 548 N.Y.S.2d 966, 967 (N.Y. App. Div. 1989).
\item \textsuperscript{103} 1994 N.Y. Laws c. 644, 1; 1992 N.Y. Laws c. 474, 2; 1990 N.Y. Laws c. 762, 1.
\item \textsuperscript{104} See Ramos v. Doesn’t Matter Realty Corp., 579 N.Y.S.2d 541, 543 (N.Y. App. Div. 1991).
\item \textsuperscript{105} See N.Y. Gen. Mun. Law § 205-e(3) (McKinney 1989).
tory violation, the legislature abrogated that requirement, observing angrily that
our courts have continued to differ on the scope of the remedy afforded . . . . This act is intended to ensure once and for all that section 205-e of the general municipal law is applied by the courts in accordance with its original legislative intent to offer an umbrella of protection for police officers. . . .
Although this had some effect, courts continued to protect landowners against suits by employees of the New York City Transit Authority (because it was a public benefit corporation rather than a government division) and to construe narrowly the requirement of a statutory violation.
E. Agreements Not to Sue
The CMT maintains that legislatures are inherently superior rule-making institutions, to which courts always must defer. By contrast, I see both institutions as flawed, democratically and technically, but in different ways. The New York experience with agreements not to sue illustrates this mixed picture. Courts declined to enforce agreements reflecting gross imbalances in bargaining power: with public transportation and utilities (both monopolies) and in employment. Many of the agreements they did enforce were the outcomes of relatively equal bargaining power: commercial landlords and tenants, landowners and builders, or maintenance firms. But courts also seemed ideologically committed to freedom of contract, disregarding the actual bargaining power of patrons of parking garages, gyms, and other recreational facilities. Legislatures, for their part, seemed quite solici-
106. See St. Jacques v. City of New York, 633 N.Y.S.2d 97, 101 (N.Y. App. Div. 1995); Zanghi v. Niagara Frontier Transp. Comm'n, 611 N.Y.S.2d 407, 408 (N.Y. App. Div. 1993); Sciarrotta v. Valenzuela, 581 N.Y.S.2d 351, 352 (N.Y. App. Div. 1992); Sledge v. City of New York, 570 N.Y.S.2d 134, 135 (N.Y. App. Div. 1992).
107. N.Y. Gen. Mun. Law § 205-e(3) (McKinney 1989).
108. See Stella v. New York City Transit Auth., 657 N.Y.S.2d 702, 703 (N.Y. App. Div. 1997).
109. See, e.g., Desmond v. City of New York, 669 N.E.2d 472 (N.Y. 1996) (holding that internal police department guideline that established a general policy against high speed vehicular pursuit where safety risks outweigh law enforcement was not a "requirement" under the relevant statute).
110. See Conklin v. Canadian-Colonial Airways, 194 N.E. 692 (N.Y. 1935); Johnston v. Fargo, 77 N.E. 388 (N.Y. 1906); Emery v. Rochester Tel. Corp., 282 N.Y.S. 280 (N.Y. App. Div. 1935).
111. See Sutton Hill Assocs. v. Landes, 775 F. Supp. 682, 684 (S.D.N.Y. 1991).
112. See Board of Ed., Union Free Sch. Dist. No. 3, Town of Brookhaven v. Valden Assoc., Inc., 400 N.Y.S.2d 152 (N.Y. App. Div. 1977).
113. See Florence v. Merchants Cent. Alarm Co., 412 N.E.2d 1317, 1318 (N.Y. 1980).
114. See Ciofalo v. Vic Tanney Gyms, Inc., 177 N.E.2d 925 (N.Y. 1961) (gym); Baschuk v. Diver's Way Scuba, Inc., 618 N.Y.S.2d 428 (N.Y. App. Div. 1994) (recreational facility); cf. Geise
tous of parties with weak bargaining power: tenants, car owners, party givers, home owners, and exercisers. Sometimes, however, their abrogation of exculpatory clauses may have been influenced by defendants, such as landowners, who are better organized than victims. This complex interaction suggests that neither institution can demand deference from the other.
III. Wholesale Legislative Abridgement of Tort Claims: Medical Malpractice, Product Liability, and Beyond
Each of the previous sections addressed a narrow area of tort law in which courts typically championed unorganized interests in the name of basic tort principles (deterrence, loss-spreading, moral judgment), while legislatures typically responded to organized special interests without offering principled justification. In the last two decades the battleground has widened. The stakes are higher: first medical malpractice, then product liability, and now the entire universe of tort law. Powerful, well-financed organizations of tortfeasors and insurers have waged an ongoing campaign to convince the public that there is a "tort litigation crisis," whose cause is tort law and jury verdicts, not negligence and injuries, and to persuade legislators to restrict liability. Judges are split between adopting a deferential stance and subjecting such legislation to critical scrutiny.
A. Deference
Writing both for majorities upholding statutes and as dissenters from judgments invalidating them, many judges deferred to legislation curtailing tort remedies. They accepted legislative findings of a tort
v. Niagara County, 458 N.Y.S.2d 162 (N.Y. App. Div. 1983) (refusing to uphold an expulatory clause signed by the plaintiff in suit against parking garage).
115. See N.Y. Real Prop. Law § 234 (McKinney 1989).
116. See N.Y. Gen. Oblig. Law § 5-325 (McKinney 1989).
117. See id. § 5-322.
118. See id. § 5-322.1.
119. See id. § 5-326.
120. See N.Y. Real Property Law § 235 (McKinney 1989).
121. See Stephen Daniels & Joanne Martin, Jury Verdicts and the "Crisis" in Civil Justice, 11 Just. Sys. J. 321, 322 (1986); Stephen Daniels, The Question of Jury Competence and the Politics of Civil Justice Reform: Symbols, Rhetoric, and Agenda-Building, 52 L. & Contemp. Probs 269, 273 (Autumn 1989); Marc Galanter, Real World Torts: An Antidote to Anecdote, 55 Md. L. Rev. 1093, 1094 (1996); Marc Galanter, The Day After the Litigation Explosion, 46 Md. L. Rev. 3, 5 (1986); Marc Galanter, An Oil Strike in Hell: Contemporary Legends about the Civil Justice System, 40 Ariz. L. Rev. 717, 717 (1998); Robert Hayden, The Cultural Logical of a Political Crisis: Common Sense, Hegemony and the Great American Liability Famine of 1986, 11 Stud. L., Pol. & Soc'y 95, 112 (1991); Fred Strasser, Tort Tales: Old Stories Never Die, Nat'l L.J., Feb. 16, 1987, at 39.
liability or insurance crisis. "[I]t is not the judiciary's function . . . to reweigh the 'legislative facts' underlying a legislative enactment."\(^{122}\) As evidence of the emergency, some simply repeated claims by the medical and insurance industries that insurance companies were withdrawing or setting prohibitive rates and that health care providers, unable to obtain insurance at reasonable cost, were going bare or limiting or terminating practice.\(^{123}\) Judges invoked commentators and pointed to the concurrence of other states.\(^{124}\) Some judges declined to decide whether the crisis actually existed, insisting that doubtful findings of fact had to be accepted, and criticized their judicial brethren for citing empirical data questioning the crisis.\(^{125}\) "Whatever flaws exist in the legislative findings, the proper forum to correct them is the Texas legislature and not this court."\(^{126}\)
Judges declared that promoting public health by making medical care available at reasonable prices was obviously a legitimate state purpose.\(^{127}\) Judges held that the legislation was in the "public interest" and not intended to relieve the burden on health care providers.\(^{128}\) Some judges saw no need to determine the legislative purpose.
Judges also deferred to the legislature's explanation for the causes of the problem it had defined. The Indiana Medical Malpractice Act "reflects a specific legislative judgment that a causal relationship existed at the time between the settlement and prosecution of malpractice claims against health care providers and the actual and threatened diminution [sic] of health care services."\(^{129}\) Judges declined to question whether the costs of medical negligence should be paid by malpractice or workers compensation insurance. "Policy judgments of this nature are clearly within the legislative prerogative."\(^{130}\) Judges found it "obvious" that increases in the number and size of malpractice claims raised the cost of medical services and encouraged defen-
\(^{122}\). American Bank & Trust Co. v. Community Hosp. of Los Gatos-Saratoga, Inc., 683 P.2d 670, 678 (Cal. 1984).
\(^{123}\). See Smith v. Department of Ins., 507 So. 2d 1080, 1086-87 (Fla. 1987); Taylor v. Karrer, 244 N.W.2d 201, 204 (Neb. 1976); Morris v. Savoy, 576 N.E.2d 765, 775-76 (Ohio 1991) (Holmes, J., dissenting); Mominee v. Scherbarth, 503 N.E.2d 717, 736-40 (Ohio 1986) (Holmes, J., dissenting).
\(^{124}\). Mominee, 503 N.E.2d at 736-40.
\(^{125}\). Moore v. Mobile Infirmary Ass'n, 592 So. 2d 156, 178-93 (Ala. 1991) (Maddox, J., dissenting).
\(^{126}\). Lucas v. United States, 757 S.W.2d 687, 701 (Tex. 1988) (Gonzalez, J., dissenting).
\(^{127}\). Prendergast v. Nelson, 256 N.W.2d 657, 662 (Neb. 1977); Beatty v. Akron City Hosp., 424 N.E.2d 586, 594 (Ohio 1981).
\(^{128}\). Prendergast, 256 N.W.2d at 669; Lucas, 757 S.W.2d at 701.
\(^{129}\). Johnson v. St. Vincent Hosp., Inc., 404 N.E.2d 585, 590 (Ind. 1980).
\(^{130}\). Barme v. Wood, 689 P.2d 446, 451 (Cal. 1984).
sive medicine.\textsuperscript{131} They acquiesced in the legislative choice of remedy.\textsuperscript{132} “In addressing complicated social and economic problems, the Legislature must be free to attempt a remedy even when the results are uncertain.”\textsuperscript{133} Judges accepted legislative assertions that abrogation of the collateral source rule and damage caps would reduce the cost of premiums, and thus of medical care. “The reduction in verdicts would presumably result in a reduction in premiums for malpractice insurance, making it affordable and available, helping to assure the public of continued health care services.”\textsuperscript{134} Mandatory arbitration was a rational response.\textsuperscript{135} Limiting contingent fees would reduce frivolous suits and unrealistic settlement demands.\textsuperscript{136} The legislature “could have reasonably believed that without some measure of cost reduction, future medical malpractice claimants would experience difficulty in obtaining collectible judgments . . . .”\textsuperscript{137} To do so would revive the discredited substantive due process of the 1930s United States Supreme Court.\textsuperscript{138} Given profound disagreements about the best response, judges declined to question particular choices. “Any ten professionals . . . would have ten different proposals to attempt to resolve the problems existing.”\textsuperscript{139} The Florida Medical Malpractice Reform Act “bears a reasonable relationship to the legitimate state interest of protecting the public health by ensuring the availability of adequate medical care for the citizens of this state.”\textsuperscript{140} Indeed, “the Legislature is free to experiment and to innovate and to do so at will, or even ‘at whim.’”\textsuperscript{141}
Judges reiterated the two conventional arguments for deference. First, the court contended that invalidating the Alabama Medical Liability Act
would empower this Court to supplant its own concept of what is good or bad for what the legislature has decreed, and, by judicial interpretation, to violate that great principle that is the bedrock of
\begin{itemize}
\item \textsuperscript{131} Fein v. Permanente Med. Group, 695 P.2d 665, 680 (Cal. 1985).
\item \textsuperscript{132} Eastin v. Broomfield, 570 P.2d 744, 752 (Ariz. 1977).
\item \textsuperscript{133} Lucas v. United States, 757 S.W.2d 687, 720 (Tex. 1988).
\item \textsuperscript{134} Rudolph v. Iowa Methodist Med. Ctr., 293 N.W.2d 550, 558 (Iowa 1980).
\item \textsuperscript{135} Beatty v. Akron City Hosp., 424 N.E.2d 586, 595 (Ohio 1981).
\item \textsuperscript{136} Roa v. Lodi Med. Group, Inc., 695 P.2d 164, 170-71 (Cal. 1985).
\item \textsuperscript{137} Lucas, 757 S.W.2d at 701.
\item \textsuperscript{138} Mominee v. Scherbarth, 503 N.E.2d 717, 737 (Ohio 1986). For an argument that the cases from \textit{Lochner} to \textit{Parrish} were invalidating “special legislation,” see G. Edward White, \textit{The Myths of Substantive Due Process: Revisiting Lochner v. New York} (University of Virginia School of Law Working Paper Series 98-25, Winter 1998).
\item \textsuperscript{139} Kansas Malpractice Victims Coalition v. Bell, 757 P.2d 251, 267 (Kan. 1988) (McFarland, J., dissenting).
\item \textsuperscript{140} Pinillos v. Cedars of Lebanon Hosp. Corp., 403 So. 2d 365, 368 (Fla. 1981).
\item \textsuperscript{141} Prendergast v. Nelson, 256 N.W.2d 657, 668 (Neb. 1977).
our government, that there are three co-equal branches of government, and that the legislature makes the laws, the executive enforces the laws, and the judiciary interprets the laws.\textsuperscript{142}
“For us to ‘unfind’ that there is a crisis on the state of this record is to act like a ‘super legislature’ in violation of the separation of powers doctrine.”\textsuperscript{143} “No member of this court or of any other court in this nation can question the right of the elected representatives of the people . . . to create or abolish within certain limitations a cause of action under the common law.”\textsuperscript{144} Legislation expressed the “people’s right of self-government.” Were courts
to strike down those classifications which a majority of judges felt unwise or unsound, the constitutionally mandated division of powers between such branches of our government would be substantially altered. . . . The least democratic branch of government would become the most powerful, with a resulting diminution in the people’s right of self-government.\textsuperscript{145}
Second, whereas courts were limited to the “isolated vantage of the litigation process,” legislatures deliberated, creating study commissions and debating and amending bills.\textsuperscript{146}
\textit{B. Critical Scrutiny}
If some judges were content to mouth clichés about deference to the legislature, others engaged in critical scrutiny. Improved access to health care was uncertain. “[O]ne can only speculate, in an act of faith, that somehow the legislative scheme will benefit the tort victim. We cannot embrace such nebulous reasoning when a constitutional right is involved.”\textsuperscript{147} “In the context of persons catastrophically injured by medical negligence, we believe it is unreasonable and arbitrary to limit their recovery in a speculative experiment to determine whether liability insurance rates will decrease.”\textsuperscript{148} It was “logically perverse” to pursue this goal by inflicting a “palpable burden” on victims, especially minors and the most seriously injured.\textsuperscript{149} There was “no logically supportable reason why the most severely injured mal-
\textsuperscript{142}. Moore v. Mobile Infirmary Ass'n, 592 So. 2d 156, 183 (Ala. 1991) (Maddox, J., dissenting).
\textsuperscript{143}. Lucas v. United States, 757 S.W.2d 687, 701 (Tex. 1998) (Gonzalez, J., dissenting).
\textsuperscript{144}. Mominee v. Scherbarth, 503 N.E.2d 717, 738 (Ohio 1986) (Wright, J., dissenting).
\textsuperscript{145}. \textit{Lucas}, 757 S.W.2d at 705 (Phillips, C. J., dissenting).
\textsuperscript{146}. \textit{Id.} at 707; \textit{Moore}, 592 So. 2d at 182; Kansas Malpractice Victims Coalition v. Bell, 757 P.2d 251, 266-67 (Kan. 1988).
\textsuperscript{147}. Smith v. Department of Ins., 507 So. 2d 1080, 1089 (Fla. 1987).
\textsuperscript{148}. \textit{Lucas}, 757 S.W.2d at 691.
\textsuperscript{149}. Fein v. Permanente Med. Group, 695 P.2d 665, 701 (Cal. 1985) (Bird, C.J., dissenting); Arneson v. Olson, 270 N.W.2d 125, 135-36 (N.D. 1978).
practice victims should be singled out to pay for special relief to medical tortfeasors and their insurers."¹⁵⁰ "This imprudent legislation provides benefits to the wrongdoer at the expense of his victim."¹⁵¹ The statutes were special legislation: insufficiently evenhanded, underinclusive, and making arbitrary distinctions among victims.¹⁵² The Illinois damages cap "contains three arbitrary classifications that have no reasonable connection to the stated legislative goals."¹⁵³ The "prohibition against special legislation does not permit the entire burden of the anticipated cost savings to rest on one class of injured plaintiffs."¹⁵⁴ A notice requirement was "special treatment afforded medical care providers."¹⁵⁵ Abrogation of the collateral source rule "arbitrarily and unreasonably discriminates in favor of health care providers."¹⁵⁶ Caps must apply to "all plaintiffs and all defendants . . . evenhandedly. The familiar figure holding the scales of justice wears a blindfold. She should not be required to peer around it to ascertain whether the defendant is a 'health care provider' before deciding what judgment to pronounce."¹⁵⁷
[T]he state has neither a compelling nor a legitimate interest in providing economic relief to one segment of society by depriving those who have been wronged of access to, and remedy by, the judicial system. If such a hypothesis were once approved, any profession, business, or industry experiencing difficulty could be made the beneficiary of special legislation designed to ameliorate its economic adversity by limiting access to the courts by those whom they have damaged. Under such a system, our constitutional guarantees would be gradually eroded, until this state became no more than a playground for the privileged and influential.¹⁵⁸
Although there was no justification for limiting these modifications to medical malpractice, the statutes offered special treatment to health care providers, thereby benefitting wrongdoers. This "panic motivated legislation" was passed at the behest of special interests, just like the automobile guest statutes a half-century earlier, which were
---
¹⁵⁰ Fein, 695 P.2d at 701 (Bird, C.J., dissenting); see also Morris, 576 N.E.2d at 771 (quoting Nervo v. Pritchard, Stark App. No. CA-6560, June 10, 1985).
¹⁵¹ American Bank & Trust Co. v. Community Hosp. of Los Gatos-Saratoga, Inc., 683 P.2d 670, 689 (Cal. 1984) (Mosk, J., dissenting).
¹⁵² Fein, 695 P.2d at 703-05 (Bird, C.J., dissenting).
¹⁵³ Best v. Taylor Mach. Works, 689 N.E.2d 1057, 1075 (Ill. 1997).
¹⁵⁴ Id. at 1077.
¹⁵⁵ Arneson, 270 N.W.2d at 135-36.
¹⁵⁶ Id.
¹⁵⁷ Etheridge v. Medical Ctr. Hosp., 376 S.E.2d 525, 539 (Va. 1989) (Russell, J., dissenting).
¹⁵⁸ Kenyon v. Hammer, 688 P.2d 961, 976 (Ariz. 1984).
now being invalidated.\textsuperscript{159} "The special protection granted to the narrowly defined class of 'health care providers' stands alone: a unique monument to the effectiveness of a particularly vocal group, which sought and found a privileged position in the courts."\textsuperscript{160} Judges even expressed "considerable doubt if the purpose of the limitations as declared in the Act," "to assure that a liability insurance market be available . . . at a reasonable cost," was "in fact the true object of legislative concern."\textsuperscript{161} "It is irrational to grant special immunities for the purpose of providing cheaper negligence insurance for health care providers, when, unlike several other states, Iowa does not even require them to carry malpractice insurance."\textsuperscript{162} Far from deferring to legislatures, these judges subjected such facially discriminatory statutes to strict scrutiny, demanding a "fair and substantial relation" to a "compelling state interest."\textsuperscript{163} "Under the strict scrutiny test" adopted by Arizona, a compelling state interest "must be found from legislative or adjudicative facts and not from hypothesis, speculation or 'deference' to some unspecified legislative conception."\textsuperscript{164} These judges refused to accept the legislative finding of a "crisis."\textsuperscript{165}
If saying so could make it so, unquestioning acceptance of the legislative findings that a medical malpractice crisis did and does exist in Florida would be understandable, if not warranted. But this Court, in making its determination of constitutionality, is not bound by whatever preamble the legislature decides to attach to justify a statute . . . .
[W]e are remiss in simply accepting legislative findings without question, because if no crisis exists, no statute could rationally relate to its alleviation as justification for special treatment of the medical malpractice case.\textsuperscript{166}
A federal report found it "highly doubtful that any established carrier has not entered the malpractice field because of weakness in the reinsurance market."\textsuperscript{167} The Iowa legislature "itself was in no way persuaded by the factual data gathered and the conclusions reached by
\begin{itemize}
\item Rudolph v. Iowa Methodist Med. Ctr., 293 N.W.2d 550, 561 (Iowa 1980) (Reynoldson, C.J., dissenting).
\item Etheridge v. Medical Ctr. Hosps., 376 S.E.2d 525, 538 (Va. 1989) (Russell, J., dissenting).
\item Jones v. State Bd. of Med., 555 P.2d 399, 409-10 (Idaho 1976).
\item Rudolph, 293 N.W.2d at 564.
\item Kenyon v. Hammer, 688 P.2d 961, 975 (Ariz. 1984).
\item \textit{Id.} at 979.
\item Jones, 555 P.2d at 412; Prendergast v. Nelson, 256 N.W.2d 657, 675 (Neb. 1977) (White, J., dissenting).
\item Pinillos v. Cedars of Lebanon Corp., 403 So. 2d 365, 369-70 (Fla. 1981) (Sundberg, C.J., dissenting).
\item Jones, 555 P.2d at 413 (citing U.S. DHEW, Report to the Secretary's Commission on Medical Malpractice (1973)).
the two committees."¹⁶⁸ Other legislatures relied on data that did not support their conclusions.¹⁶⁹ Some did not even try to substantiate the assertion that claims were driving up premiums, forcing insurers to leave the market. "[T]he Legislature had before it no evidence that the immense sacrifices of victims would result in appreciable savings to the insurance companies" nor any "access to data specifically relating to noneconomic damages" (which it had capped).¹⁷⁰ Some legislatures relied on national statistics, which were inapplicable to that state.¹⁷¹ Judges invoked evidence both in the record and outside, as well as the authority of commentators, for the propositions that: there were few tort claims and even fewer large ones;¹⁷² premiums were low and not rising rapidly (perhaps even falling);¹⁷³ they were a small, even insignificant, proportion of medical costs;¹⁷⁴ insurers were not withdrawing; and health care providers had ample access to insurance coverage and were not engaging in defensive medicine or curtailing or terminating practice.¹⁷⁵ "One commentator in this state has claimed that the 'crisis' was a creation of the insurance interests . . . ."¹⁷⁶ A crisis could not be chronic and might have diminished or ended since passage of the legislation.¹⁷⁷ In any case, even a crisis could not justify unconstitutional legislation. "We will become a court of men instead of a court of law, guided by an alleged crisis instead of the wording of the Constitution. The legislature interpreted our prior decisions as saying 'Do whatever you want to do, as long as your decision is buttressed by a crisis.'"¹⁷⁸
Judges also doubted the legislative explanation for any difficulties in insuring health care providers. There were multiple causes: the actual incidence of medical negligence;¹⁷⁹ changes in substantive law (the real "tort reform"), leading to increases in the number and size of
---
¹⁶⁸. Rudolph v. Iowa Methodist Med. Ctr, 293 N.W.2d 550, 564 (Iowa 1980).
¹⁶⁹. Jones, 555 P.2d at 412; Morris v. Savoy, 576 N.E.2d 765, 770 (Iowa 1991).
¹⁷⁰. Fein v. Permanente Med. Group, 695 P.2d 665, 700 (Cal. 1985).
¹⁷¹. Jones, 555 P.2d at 416; Arneson v. Olson, 270 N.W.2d 125, 136 (N.D. 1978).
¹⁷². Morris, 576 N.E.2d at 770-71.
¹⁷³. American Bank & Trust Co. v. Community Hosp. of Los Gatos-Saratoga, Inc., 683 P.2d 670, 693-94 (Mosk, J., dissenting).
¹⁷⁴. Moore v. Mobil Infirmary Ass'n, 592 So. 2d 156, 181 (Ala. 1991); Kansas Malpractice Victims Coalition v. Bell, 757 P.2d 251, 267-68 (Kan. 1988) (McFarland, J., dissenting).
¹⁷⁵. Mominee v. Scherbarth, 503 N.E.2d 717, 725-26 (Ohio 1986).
¹⁷⁶. Pinillos v. Cedars of Lebanon Corp., 403 So. 2d 365, 371 n.4 (Fla. 1981).
¹⁷⁷. Id. at 371.
¹⁷⁸. Smith v. Department of Ins., 507 So. 2d 1080, 1099 (Fla. 1987) (Adkins, J., concurring in part, dissenting in part).
¹⁷⁹. Jones v. State Bd. of Med., 555 P.2d 399, 414 (Idaho 1976).
judgments;¹⁸⁰ juror evaluations of injuries; actuarial problems in predicting small numbers of events;¹⁸¹ interest rate fluctuations; bad investments;¹⁸² and profiteering by insurance companies.¹⁸³ Some commentators attributed the “alleged ‘liability crisis’” to “a conspiracy by insurers to increase rates to cover faulty investment and underwriting decisions.”¹⁸⁴
If the diagnosis was wrong, so was the prescription. Although judges denied questioning the wisdom of the legislation,¹⁸⁵ they did require legislatures to demonstrate that statutes actually would solve the problem. “To permit the legislature to act as the sole arbiter of such juxtaposition [of the $400,000 damages cap to the goal of reducing the cost of health care] would be to vacate our judicial role.”¹⁸⁶ The Texas Medical Professional Study Commission, relied on by the legislature, “could not conclude there was any correlation between a damage cap and the stated legislative purpose of improved health care. . . . One independent study has concluded that there is no relationship between a damage cap and increases in insurance rates . . . .”¹⁸⁷ Legislatures had to offer data showing the size of noneconomic damages and the insurance savings if these were capped. “[T]he lack of wisdom of a statute which shifts the risk of practicing medicine from a health-care provider to the health-care recipient who is required to subsidize the provider’s costs in spite of the fact that he is the party least able to bear such costs is self-evident.”¹⁸⁸ The Illinois Supreme Court was “unable to discern any connection between the automatic reduction of one type of compensatory damages awarded to one class of injured plaintiffs and a savings in the systemwide costs of litigation.”¹⁸⁹ The North Dakota Supreme Court (claiming the support of Wisconsin, Kansas, and Nebraska) insisted on a “close correspondence between statutory classification and legislative goals.”¹⁹⁰ The damage cap did not promote the “assurance of availability of competent medical and hospital services at reasonable
---
¹⁸⁰. Samsel v. Wheeler Transport Servs., Inc., 789 P.2d 541, 559-60 (Kan. 1990) (Herd, J., dissenting).
¹⁸¹. Jones 555 P.2d at 414.
¹⁸². Id. at 413; Rudolph v. Iowa Methodist Med. Ctr., 293 N.W.2d 550, 564 (Iowa 1980).
¹⁸³. Moore v. Mobile Infirmary Ass’n, 592 So. 2d 156, 166 (Ala. 1991).
¹⁸⁴. Etheridge v. Medical Ctr. Hosps., 396 S.E.2d 525, 538 (Va. 1989) (Russell, J., dissenting).
¹⁸⁵. Moore, 592 So. 2d at 168; Mominee v. Scherbarth, 503 N.E.2d 717, 728 (Ohio 1986).
¹⁸⁶. Moore, 592 So. 2d at 168; Mominee, 503 N.E.2d at 728.
¹⁸⁷. Lucas v. United States, 757 S.W.2d 687, 689-92 (Tex. 1988).
¹⁸⁸. Mominee, 503 N.E.2d at 728; (Brown, J., concurring); see also Morris v. Savoy, 576 N.E.2d 765, 770 n.4 (Ohio 1991).
¹⁸⁹. Best v. Taylor Mach. Works, 689 N.E.2d 1057, 1077 (Ill. 1997).
¹⁹⁰. Arneson v. Olson, 270 N.W.2d 125, 133 (N.D. 1978).
cost . . ." The Alabama Supreme Court asked "whether the benefit sought to be bestowed upon society outweighs the detriment to private rights occasioned by the statute." "It clearly appears that [the Alabama Medical Liability Act], by balancing the direct and palpable burden placed upon catastrophically injured victims of medical malpractice against the indirect and speculative benefit that may be conferred on society, represents an unreasonable exercise of the police power." Because the trial court was entitled to find there was no "availability or cost crisis" in North Dakota, the "drastic limitation on recovery . . . is a violation of the Equal Protection provision . . . ." The damage cap "lacks any 'reasonable and substantial relation' to the legislative objective." "We are unable to find . . . any evidence to buttress the proposition that there is a rational connection between awards over $200,000 and malpractice insurance rates. There is evidence of the converse, however."
Judges questioned each empirical claim by the legislature. Both premiums and medical costs continued to rise rapidly despite these laws. "[E]xperience since 1975 has demonstrated the fallacy of the Legislature's assumption that the reduction of malpractice premiums paid by hospitals would result in a meaningful containment of hospital costs." Indeed, the legislation might have the perverse effect of raising premiums. These laws reduced compensation but failed to discourage unmeritorious cases, encourage meritorious ones, or facilitate settlement. There was no evidence that refusing to toll the statute of limitations for minors or incompetents lowered insurance premiums, especially since the insurance industry's own data showed that such claims were very rare; the Superintendent of Insurance was not even required to determine the statute's effect. Because of the infrequency of large awards, damage caps would not significantly lower premiums. Instead, these laws might perversely reduce the
---
191. Id. at 135.
192. Moore v. Mobile Infirmary Ass'n, 592 So. 2d 156, 166 (Ala. 1991).
193. Id.
194. Arneson v. Olson, 270 N.W.2d at 136.
195. Etheridge v. Medical Ctr. Hosps., 376 S.E.2d 525, 538 (Va. 1988).
196. Morris v. Savoy, 576 N.E.2d 765, 770 (Ohio 1991).
197. See Moore, 592 So. 2d at 165-71; Kenyon v. Hammer, 688 P.2d 961, 961-79 (Ariz. 1984); Rudolph v. Iowa Methodist Med. Ctr., 293 N.W. 2d 550, 561-68 (Iowa 1980) (Reynoldson, C.J., dissenting); Mominee v. Scherbarth, 503 N.E.2d 717, 736-40 (Ohio 1986) (Wright, J., dissenting).
198. American Bank & Trust Co. v. Community Hosp. of Los Gatos-Saratoga, Inc., 683 P.2d 670, 686 (Cal. 1984) (Mosk, Associate J., dissenting).
199. Roa v. Lodi Med. Group, Inc., 695 P.2d 164, 181-83 (Bird, C.J., dissenting).
200. Kenyon, 688 P.2d at 976-79; Arneson v. Olson, 270 N.W.2d 125, 135-36 (N.D. 1978).
201. Kenyon, 688 P.2d at 976-79; Arneson, 270 N.W.2d at 135-36; Mominee, 503 N.E.2d at 274-76.
quality of medical care by lowering the liability incentive.\textsuperscript{202} It was bad policy to burden workers compensation insurers rather than medical malpractice insurers. “[T]o shift the burden of those rising [medical malpractice] costs to employers . . . is not a rational approach to achieve the purported goal of better health care for the residents of California. Indeed, from a public policy perspective, it is counterproductive.”\textsuperscript{203}
These judges saw themselves championing weak, powerless, individual victims against organized wealthy defendants’ lobbies. Where deferential judges allowed legislatures to act “at whim,” these judges refused to subordinate the “constitutional right of access to the courts for redress of injuries” to “majoritarian whim.”\textsuperscript{204} They felt an “obligation . . . to protect the Kansas Constitution from encroachment by legislative action.”\textsuperscript{205} During the preceding bicentennial year “our people have learned the importance of protecting the individual from encroachment by the majority of those in positions of power, no matter how well-meaning. Without the concept of equal justice for all, our basic liberties would have disappeared from the scene years ago.”\textsuperscript{206} The state and federal bills of rights “are there to protect every citizen, including a person who has no clout, and the little guy on the block. They are there to protect the rights of a brain-damaged baby, a quadriplegic farmer or business executive, and a horribly disfigured housewife who is a victim of medical malpractice.”\textsuperscript{207} A limit on plaintiffs’ lawyers’ contingency fees without a comparable limit on the fees of defense lawyers “implicates the fairness of the judicial process itself.”\textsuperscript{208} The power to cap (damages) was the power to destroy (causes of action). “[I]f the legislature may constitutionally cap recovery at $450,000, there is no discernible reason why it could not cap the recovery at some other figure, perhaps $50,000, or $1,000, or even $1.”\textsuperscript{209} Far from deliberating, legislatures rushed through unamended long, complicated bills drafted by industry representatives.\textsuperscript{210} Judges claimed, paradoxically, that it was more “respectful” to invalidate an
\begin{itemize}
\item Rudolph v. Iowa Methodist Med. Ctr., 293 N.W.2d 550, 561-68 (Iowa 1980) (Reynoldson, C.J., dissenting).
\item Barme v. Wood, 689 P.2d 446, 452 (Cal. 1984) (Mosk, J., dissenting).
\item Smith v. Department of Ins., 507 So. 2d 1080, 1089 (Fla. 1987).
\item Kansas Malpractice Victims Coalition v. Bell, 757 P.2d 251, 256 (Kan. 1988).
\item \textit{Id.} at 257.
\item \textit{Id.} at 258.
\item Roa v. Lodi Med. Ctr. Group, Inc., 695 P.2d 164, 186 (Bird, C.J., dissenting).
\item \textit{Smith}, 507 So. 2d at 1089.
\item Best v. Taylor Machine Works, 689 N.E.2d 1057, 1067-69 (Ill. 1997).
entire statute and let the legislature rewrite it than to engage in "ad hoc adjustments."\textsuperscript{211}
IV. How Should Courts Deal with Tort Legislation?
The assertion that courts should defer to legislatures in making tort law is fatally flawed. True, judges are less responsive to the electorate than legislators. In practice, however, the need to raise money for re-election drives legislators into the pockets of special interests. Judges, by contrast, often come to conceive of themselves as guardians of a general interest.\textsuperscript{212} Their relative electoral irresponsibility, paradoxically, protects them from capture by special interests.\textsuperscript{213} (Recognizing this, organizations of tortfeasors and insurers are planning to use their considerable muscle to influence the election of state supreme court justices).\textsuperscript{214} Statutes are rarely accompanied by a persuasive, even a good-faith, attempt to demonstrate their contribution to the general good. Judicial decisions, by contrast, always try to do so, however imperfectly they may succeed.\textsuperscript{215} Legislatures sometimes deliberate, commissioning research to identify problems and alternative solutions, holding hearings to encourage public input, amending bills to recognize divergent interests and views, and producing comprehensive responses to social problems. More often, however, they do nothing of the sort. The numerous state statutes limiting medical malpractice liability in the 1970s were rushed through with little discussion and a great deal of mindless and inappropriate imitation. Special interests conduct much of what passes for "research" and perform much of the legislative drafting. Many legislators know little about the bills on which they are voting. The process is often invisible. By contrast, major law reform cases often attract considerable publicity. A wide range of amicus briefs allows many viewpoints to be expressed.\textsuperscript{216} Majority opinions, concurrences, and dissents present thorough analy-
\textsuperscript{211}. Fein v. Permanente Med. Group, Inc., 695 P.2d 665, 668 (Bird, C.J., dissenting).
\textsuperscript{212}. For examples of this in the unlikely setting of South Africa, see Richard L. Abel, Politics By Other Means: Law In The Struggle Against Apartheid, 1980-1994 (1995).
\textsuperscript{213}. Richard Posner, Economic Analysis of Law 501-02, & n.1 (3d ed. 1986).
\textsuperscript{214}. Illinois Tort "Reform" Controversy Illustrates Partisan Movement to Restrict Court's Jurisdiction, Civil Justice Digest, Winter 1998, at 1.
\textsuperscript{215}. For 30 years I have vigorously criticized tort law, both in the classroom and in writing. See, e.g., Richard L. Abel, Torts, in The Politics of Law: A Progressive Critique, chap. 20 (D. Kairys ed., 3d ed. 1998).
\textsuperscript{216}. But the very characteristics that advantage groups in the legislative process may also advantage them in litigation. Stephen M. Bundy & Einer R. Elhauge, Do Lawyers Improve the Adversary System? A General Theory of Litigation Advice and Its Regulation, 79 Cal. L. Rev. 313 (1991); Marc Galanter, Why the "Haves" Come Out Ahead: Speculations on the Limits of Legal Change, 9 L. & Soc'y Rev. 95 (1975).
ses of the issues. The numerous decisions critically scrutinizing legislation limiting tort liability represent an approach to judicial review of state constitutionality embraced by a large number of diverse, respected jurisdictions.\textsuperscript{217}
How, then, should courts make tort law?\textsuperscript{218} A strong critique of the CMT would invert it, declaring that courts \textit{always} favor unorganized interests and legislatures the organized. This is neither true\textsuperscript{219} nor necessary to my argument. I think it incontrovertible, however, that in confrontations between organized and unorganized interests, legislatures sometimes favor the former and courts the latter. Several propositions follow from this, in order of increasing controversy (and correlative tentativeness).
1. Judges must continue to refine the common law of torts.
a. The age of the rule being modified is irrelevant.
b. Legislative silence signifies nothing about legislative intent.
c. Legislative modification signifies no legislative intent about common law rules not modified.
2. Judges may narrowly construe legislation whose wisdom they question, since the legislature can always correct an interpretation with which it disagrees.
\textsuperscript{217}. See supra Part III.B and accompanying text.
\textsuperscript{218}. A number of scholars have advanced arguments for more stringent judicial review. \textit{See, e.g.,} Richard A. Epstein, \textit{Takings} (1985); Martin Shapiro, \textit{Freedom of Speech: The Supreme Court and Judicial Review} 14-17 (1966); Bernard H. Siegan, \textit{Economic Liberties and the Constitution} 318-26 (1980); Erwin Chemerinsky, \textit{The Supreme Court, The 1988 Term Foreword: The Vanishing Constitution}, 103 \textit{Harv. L. Rev.} 43, 85-86 (1989); Frank H. Easterbrook, \textit{The Supreme Court, The 1983 Term Foreword: The Court and the Economic System}, 98 \textit{Harv. L. Rev.} 4, 42-45 (1984); Jerry L. Mashaw, \textit{The Economics of Politics and the Understanding of Public Law}, 65 \textit{Chi.-Kent L. Rev.} 123, 153-56 (1989). \textit{See also} Richard A. Epstein, \textit{Toward a Revitalization of the Contract Clause}, 51 \textit{U. Chi. L. Rev} 703, 748-50 (1984); William N. Eskridge, Jr., \textit{Politics Without Romance: Implications of Public Choice Theory for Statutory Interpretation}, 74 \textit{Va. L. Rev.} 275, 303-05 (1988); Macey, \textit{supra} note 22; Jerry L. Mashaw, \textit{Constitutional Deregulation: Notes Toward a Public, Public Law}, 54 \textit{Tul. L. Rev.} 849, 867-72 (1980); Richard A. Posner, \textit{Economics, Politics, and the Reading of Statutes and the Constitution}, 49 \textit{U. Chi. L. Rev.} 263, 290-91(1982); Cass R. Sunstein, \textit{Interest Groups in American Public Law}, 38 \textit{Stan. L. Rev.} 29, 65 (1985); Cass R. Sunstein, \textit{Naked Preferences and the Constitution}, 84 \textit{Colum. L. Rev.} 1689, 1729-30 (1984); Cass R. Sunstein, \textit{Interpreting Statutes in the Regulatory State}, 103 \textit{Harv. L. Rev.} 405, 475-76 (1989). For an argument that interest-group and public choice theories, even if empirically verified, offer no support for revising standards of judicial review, see Einer R. Elhauge, \textit{Does Interest Group Theory Justify More Intrusive Judicial Review?}, 101 \textit{Yale L.J.} 31, 105-09 (1991).
\textsuperscript{219}. With Sacramento controlled by Democrats for the first time in decades, trial lawyers hope to raise the damage caps on medical malpractice awards established in 1975. Dan Morain, \textit{Bills Would Lift Some Caps on Malpractice Awards}, \textit{L.A. Times}, Mar. 20, 1999, at A3. They also hope to impose liability on HMO's for denial of care. Carl Ingram, \textit{Senate Panel OKs Bill on HMO Liability}, \textit{L.A. Times}, Apr. 7, 1999, at A3, \textit{available in} 1999 WL 2146767.
3. In reviewing the constitutionality of legislation modifying the common law of torts:
a. Judges may expect the legislature to declare its purpose explicitly and may weigh the legislation in terms of its contribution to that purpose.
b. If the legislation rests on factual propositions, judges may evaluate the evidence supporting them (perhaps with a strong presumption of validity).
c. If the legislation facially discriminates against unorganized interests, even though they are diffuse dispersed majorities, and in favor of organized ones, scrutiny should be more critical.
If courts cease to hide behind legal process shibboleths based on insupportable normative positions and unsubstantiated empirical assumptions, perhaps they will devote more energy to devising and testing substantive justifications for the rules they create and apply.
220. Contrast the solicitude extended to "discrete insular minorities" in United States v. Carolene Prods., 304 U.S. 144, 152 n.4 (1938); cf. Bruce Ackerman, Beyond Carolene Products, 98 Harv. L. Rev. 713 (1985).
|
TOP 100 CD's
TOP 100 HIT TRACKS
## 100 HIT TRACKS & where to find them
### Canada's Only National 100 Hit Tracks Survey
| TW | LW | WO | APRIL 26, 1989 |
|----|----|----|----------------|
| NO SCRUBS | TLC - Fan Mail | 3 | 8 |
| LOVE SONG | Sky - Piece of Paradise | 2 | 14 |
| EVERY MORNING | The B-52s - 1428 | 3 | 2 |
| KISS ME | Steppenwolf - The Richer - Self Titled | 4 | 4 |
| THE ANIMAL SONG | Savage Garden - The Other Sister O.S.T. | 5 | 5 |
| KEEP A LID ON THINGS | The Dunes - Give Yourself A Hand | 6 | 6 |
| THAT DON'T IMPRESS ME MUCH | The Dunes - Come On Over | 7 | 33 |
| 12 YEARS OLD | The Dunes - 12 Years Old | 8 | 7 |
| PRAISE YOU | Faithless - You've Come A Long Way, Baby | 9 | 28 |
| THE HARDEST THING | 98 Degrees - 98 Degrees And Rising | 10 | 36 |
| RUN | Collective Soul - Dotage | 11 | 9 |
| MILLENIUM | The Dunes - The Egg Has Landed | 12 | 10 |
| WE LIKE TO PARTY | Verbalab - Upstairs (The Party Album) | 13 | 17 |
| GIRLFRIEND/BOYFRIEND | Blackstreet - Janet - Finally | 14 | 26 |
| EVERYBODY'S FREE | The Dunes - Somewhere In Everybody | 15 | 12 |
| WHAT'S IT ALL ABOUT | Emmylou Harris - The Blues | 16 | 13 |
| BOBCAGEYNE | The Tragically Hip - Phantom Power | 17 | 14 |
| HEARTBREAK HOTEL | Whitney Houston - My Love Is Your Love | 18 | 37 |
| ANGEL OF MINE | Arista '9011 (pro single) - N | 19 | 11 |
| FREE GIN NOW | The Dunes - The Breakers - Echo | 20 | 8 |
| BABY ONE MORE TIME | Britney Spears - Baby One More Time | 21 | 19 |
| UNSENT | Alanis Morissette - Supposed Former ... Mover | 22 | 18 |
| SHE'S SO HIGH | Tal Bachman - Self Titled | 23 | 41 |
| DOWN SO LONG | Jewel - Spirit | 24 | 15 |
| BELIEVE | The Dunes - 47310 (CD Track) - P | 25 | 35 |
| BABY ONE MORE TIME | Britney Spears - Baby One More Time | 26 | 16 |
| NOTHING REALLY MATTERS | Madonna - Ray Of Light | 27 | 47 |
| BACK 2 GOOD | The Dunes - Tell Yourself Or Someone Like You | 28 | 22 |
| HEAVY | Collective Soul - Dotage | 29 | 21 |
| SLIDE | Go Go Dolls - Dizzy Up The Girl | 30 | 23 |
| BUT DOWN | The Dunes - 47310 (CD Track) - P | 31 | 29 |
| WAITING FOR THE TIDE | The Dunes - Queen's Rio | 32 | 30 |
| FLY AWAY | Lenny Kravitz - Fly Away (pro single)-F | 33 | 24 |
| GIRL OF MY DREAMS | The Moffatts - Chapter 1: A New Beginning | 34 | 46 |
### NEW
| 35 | 62 | 11 | SUCKS TO BE YOU | Prozzack - Hot Shot |
|----|----|----|------------------|---------------------|
| 36 | NEW | I DRIVE MYSELF CRAZY | N Sync - Self Titled |
| 37 | 86 | 2 | SOMETIME | The Dunes - Baby One More Time |
| 38 | NEW | STRONG ENOUGH | Cher - Believe |
| 39 | 60 | 2 | SQUEEZE TOY | Boomerang Toys - Square Toy |
| 40 | 20 | 11 | WHY DON'T YOU GET A JOB | Offspring - Give Yourself A Hand |
| 41 | 32 | 8 | YOU'LL BE IN MY HEART | Phil Collins - Jarrett (O.S.T.) |
| 42 | NEW | I WANT IT THAT WAY | Backstreet Boys - Millennium |
| 43 | NEW | MY NAME IS | Eminem - The Slim Shady LP |
| 44 | 38 | 9 | I STILL BELIEVE | Michael Jackson - #1's |
| 45 | 31 | 11 | ANGEL | McLaughlin - Surfacing |
| 46 | 34 | 21 | ONLY A FOOL | The Black Crowes - By Your Side |
| 47 | 25 | 9 | THERE GOES THE NEIGHBOURHOOD | Shiny Crow - The Globe Sessions |
| 48 | 39 | 16 | WHAT'S SO DIFFERENT | Ginuwine - 90% Ginuwine |
| 49 | 45 | 4 | ALIEN NIGHTINGALE | Faithless - Keep The Faith |
| 50 | 40 | 9 | HOME ALONE | R. Kelly - 1201 |
| 51 | 67 | 14 | CLOUD #9 | Bryan Adams - On A Day Like Today |
| 52 | NEW | SHIMMER | Collective Soul - Soulful Core |
| 53 | 27 | 16 | WHEN YOU'RE GONE | Bryan Adams w/ Mel C. - On A Day Like Today |
| 54 | 49 | 9 | MARIA | Blondie - No Salt |
| 55 | 63 | 11 | YOU GOT ME | The Roots w/ Erykah Badu - Things Fall Apart |
| 56 | 72 | 4 | C'EST LA VIE | B*Witched - B*Witched |
| 57 | 48 | 12 | SECRET SMILE | The Dunes - Feeling Strange |
| 58 | 42 | 9 | HANDS | Jewel - Spirit |
| 59 | 50 | 27 | IT'S ALL BEEN DONE | The Barenaked Ladies - Shunt |
| 60 | 71 | 25 | STAY THE SAME | Jazzy McHenry - Stay The Same |
| 61 | 55 | 10 | FIVE ALIVE | The Dunes - Tell Yourself Or Someone Like You |
| 62 | 74 | 5 | I'M NOT RUNNING ANYMORE | John Mellencamp - John Mellencamp |
| 63 | 53 | 11 | YOU GET WHAT YOU GIVE | New Radicals - Maybe You've Been Brainwashed Too |
| 64 | 43 | 26 | BELIEVE IN YOU | Amanda Marshall - Cry Of Angels O.S.T. |
| 65 | 57 | 22 | DIZZY | Go Go Dolls - Dizzy Up The Girl |
| 66 | 44 | 10 | FREAK OF THE WEEK | Marvelettes - Hey! Album |
| 67 | 61 | 10 | JOINING YOU | Alanis Morissette - Supposed Former ... Mover |
| 68 | 51 | 14 | UNTIL YOU LOVED ME | The Moffatts - Never Been Kissed O.S.T. |
| 69 | NEW | ONE | My Own Prison |
| 70 | 59 | 14 | WRITTEN IN THE STARS | Etta James & LaShae Rhimes - Adia |
| 71 | 54 | 3 | PRECIOUS TIME | Van Morrison - Back On Top |
| 72 | 52 | 2 | YOU STEPPED ON MY LIFE | Philosopher Kings - Famous, Rich and Beautiful |
| 73 | 70 | 12 | NO MERCY | Kool - Dance Watching |
| 74 | 80 | 14 | SAVE TONIGHT | The Doors - The Endless |
| 75 | 81 | 36 | MIAMI | Wyclef Jean - Big Willie Style |
| 76 | 92 | 24 | FAITH OF THE HEART | Rod Stewart - When We Were The New Boys |
| 77 | 76 | 13 | COME FOR A RIDE | David Bowie - This Mess |
| 78 | 65 | 5 | DO YOU RIGHT | Jose - Myth |
| 79 | 56 | 10 | LULLABY | Bon Jovi - ED TV Soundtrack |
| 80 | 58 | 14 | AT THE STARS | Wyclef Jean Ibra - How Does Your Garden Grow? |
| 81 | 64 | 24 | MALIBU | Hole - Celebrity Skin |
| 82 | 69 | 14 | CAN I GET A ... | Jay-Z w Amiri - Hard Knock Life |
| 83 | 88 | 33 | REAL LIFE | Bon Jovi - ED TV Soundtrack |
| 84 | 86 | 14 | CONTACT | Brooklyn Bounce - Re-Mixed Collection |
| 85 | 96 | 27 | BETTER GET USED TO IT | Big Star - Headless |
| 86 | 78 | 14 | ALCOHOL | The Doors - The Endless |
| 87 | 84 | 26 | HAVE YOU EVER ... | Bon Jovi - ED TV Soundtrack |
| 88 | 90 | 14 | THE SWEETEST THING | U2 - Best Of 1980-90 |
| 89 | 93 | 11 | PRETTY FLY (FOR A WHITE GUY) | The Offspring - Americana |
| 90 | 82 | 8 | FIREWORKS | Tragically Hip - Phantom Power |
| 91 | 91 | 31 | FROM THIS MOMENT | Savage Garden - 12 Years Old |
| 92 | 68 | 22 | I'LL BE YOUR ANGEL | Kelly & Celene - Lion |
| 93 | 77 | 7 | SONGS OF THE SOUTH | The Dunes - 47310 (CD Track) - P |
| 94 | 79 | 13 | CONTACT | Brooklyn Bounce - Re-Mixed Collection |
| 95 | 87 | 59 | HAVE YOU EVER ... | Bon Jovi - ED TV Soundtrack |
| 96 | 98 | 27 | PRETTY FLY (FOR A WHITE GUY) | The Offspring - Americana |
| 97 | 75 | 25 | FIREWORKS | Tragically Hip - Phantom Power |
| 98 | 73 | 21 | FROM THIS MOMENT | Savage Garden - 12 Years Old |
| 99 | 83 | 33 | I'LL BE YOUR ANGEL | Kelly & Celene - Lion |
Reshaping CBC Radio
by Warren Cosford
The CRTC recently conducted a series of mini-hearings across Canada and invited interested parties to express their views on the future of CBC radio. I was asked to appear before the committee in Toronto, and I was pleased to be able to speak about the future of CBC radio.
One of the issues that came up during the hearings was the role of CBC radio in providing a forum for political debate. I believe that CBC radio has an important role to play in this regard, and I was pleased to hear from several people who expressed similar views.
Another issue that came up was the question of whether CBC radio should be more closely aligned with private networks. I believe that CBC radio should remain independent and not be subject to the same pressures as private networks. However, I also recognize that CBC radio can benefit from affiliation with private and public networks throughout the world. For example, BN has an affiliation with a private US network for much of its US and even international news.
Traditionally, CBC has also been equipped to be a source of international news through a variety of means, including its own correspondents and affiliates. I believe that CBC radio should continue to play a key role in providing international news and analysis, and I was pleased to hear from several people who expressed similar views.
WALT SAYS . . .
with Elvira Capreese
Just when you thought it was safe!!!! Every time the industry hits a major slump . . . it happens! Disco rears its ugly head and makes the industry a pisspot full of money! It's that time again. And the super promo people are working hard to make it happen and the record companies will jump right in! (EC: This little booty is not going to shake yours!!!)
Apropos!!! (EC: Is that a new group???) Soon to hit Broadway! A new musical on stage produced by Robert Stigwood called Saturday Night Fever! (EC: What would that be about???) If this is a hit, just watch the booties shake!!! $$$$$$$$$ Need I say more? (EC: Disco! You already said it!!!)
We were there!!! If you want to know the true story of disco! Arty's, Chubby, the PL in NYC, Joey and all the undercurrents that manufactured that era . . . you'll have to wait for my book! (EC: And the second coming . . . of disco! Of course!!!)
Sheila battles on!!! Some Canadians working for those foreigners have proposed that Canada should subsidize Canadian magazines so that foreign split run magazines can take a big profit out of Canada! (EC: Very creative!!!)
Canadians get under their skin!!! Bonnie Richardson, vice-president of trade and federal affairs for the Motion Picture Association of America, said recently "You underestimate the effect you Canadians have on we Americans . . . you can really get under our skin. In the past you have threatened to do some terrible things to us. We're afraid to lose the small battles because we are afraid of what you'll do next." (EC: The mouse that rolled over!!!) Wait there's more! "Canada's systems of protections and subsidies will be increasingly less effective as new technologies emerge." In that case, the split runs will have nothing to worry about! No contest! No more Celine Dions, Shania Twains, Anne Murrays, Bryan Adams, Barenaked Ladies! (EC: I'm afraid of what they'll do next!!!)
As I write!!! Just got off the phone after talking to Ex-Blue Jay Paul Molitor who is presently doing baseball commentary for the Minnesota Twins. Paul and wife Linda got a chance to see a couple of Bruce Springsteen concerts in Europe and Paul told me he continues to wear his Roots jacket with the Tom Cochrane insignia that's a constant reminder of his stint in Toronto. Truly one of the really great people I have met over the years! (EC: Namedropper!!!)
Reshaping CBC Radio??? Longtime private radio guy Warren Cosford has some ideas on "reshaping CBC Radio." I take exception to his suggestions that CBC Radio should cancel all local CBC magazine style radio programming and shut down its music service. Quite frankly, I find for the most part, CBC Radio's magazine style programs give me a human interest look at what's happening not only in Canada but around the world. And, as far as their music service goes, I like their Cancon approach. I get to hear recordings from every nook and cranny in this great country, a cultural mosaic that we should try to hang onto. Some of these recordings may not be up to par with what you hear on private radio, but whose to judge? It's public service radio and CBC Radio listeners seem content. So why fix something that ain't broke? (EC: There are known forces of evil at work trying to break it so it can wither away and die for good!!!)
The Canadian way??? Among that clutch of Quebecers who want to go it alone are some who want to kick their friendly separatists in the balls. And they're picking on the biggest star Quebec has ever had. In fact, Celine Dion, who one Quebec politician is complaining about, is considered the biggest Canadian star ever. The complaint seems to be that Celine doesn't sing about things Quebec, like maple syrup (EC: They don't like to use the word maple!!!), or the toque-wearing north woodsmen. Yes! It's that silly, and enough to cause Celine some concern about her place in the Quebec entertainment business. It used to be that Quebecers went to the wall for their artists. It was the other Canadians who complained about the success of Canadian business and entertainment figures. It's quite revealing to see that it's rubbed off on Quebecers. (EC: A sign of the times? I hope not!!!)
Shania and Mutt had enough!!! Apparently the people who run the parks system down in the Lake Placid area of New York State, where Shania Twain and her husband R.J. "Mutt" Lange had a little ol' estate, have been giving them such a tough time over environmental regulations, they've packed up and moved to Switzerland. The neighbours aren't too happy. Shania was quite a local benefactor, supplying the school with p.a. equipment, and she even bought a fire truck for the local fire brigade. They dropped their asking price about a million and half just to get rid of the place. In the meantime, Shania has become the first female recording artist, pop or country, to chalk up sales of 10 million units for her back-to-back albums, The Woman In Me, which was released in 1995 and Come On Over, her current album. (EC: She'll be able to buy Switzerland!!!)
TOP 30
1. What Can I Do - The Corrs
2. Hotel - Whitney Houston
3. Maria - Blondie
4. Break The Chain - Corey Hart
5. Down So Long - Jewel
6. Fragile - Jesse Cook
7. The Stars - John/Himes
8. Real Life - Bon Jovi
9. Everything - Adam Cohen
10. On The Run - Paul McCartney
11. Not Running - John Mellencamp
12. Free - Baz Luhrmann
13. Livin' La Vida - Ricky Martin
14. Neighbourhood - Sheryl Crow
15. 12 Years - Kim Stockwood
16. Ex-Factor - Lauym Hill
17. Oasis - Lennie Gallant
18. Cloud #9 - Bryan Adams
19. Strong Enough - Cher
20. Eden - Sarah Brightman
21. Believe - Cher
22. The Lights - Big Sugar
23. Daysleeper - R.E.M.
24. Trouble - Jim Cuddy
25. Don't Impress - Shania Twain
26. Shelter - Stones/Matthew
27. Hands - Jewel
28. Bobcaygeon - Tragically Hip
RPM
published weekly since February 24th, 1964, by
RPM Music Publications LTD.
6 Brentcliffe Road
Toronto, Ontario
M4G 3Y2
416-425-0257 FAX : 416-425-8629
E-MAIL ADDRESS
firstname.lastname@example.org
Walt Grealis, O.C.
Publisher
Sean LaRose
Editor-in-Chief
Rachel Buddel
Chart Editor
Stan Kless
Movies, Theatre, Books & Advertising
Bill Watt
Classical & Jazz
MAPL Cancon
The MAPL logo was created by Stan Kless for RPM in 1970 and is available to Canadian record companies to identify the quantity of Cancon on label copy.
M - Music was composed by a Canadian
A - Artist who is featured is a Canadian citizen
P - Production was wholly recorded in Canada
L - Lyrics were written by a Canadian
Advertising rates supplied upon request.
Second class postage paid in Toronto.
Publications Mail Registration No. 1351
Printed by Hayes Printing Services
Richmond Hill, ON, L4C 3G4
PRINTED IN CANADA
be his daughter sitarist Anoushka Shankar, and on the tabla Bikram Ghosh and Sameer Chatterjee. Shankar has been concentrating most of his efforts over the past few years on his daughter’s career. She released her debut album, simply titled Anoushka, in 1998 on EMI. The Toronto date is sponsored by CBC Radio.
The Toronto date is sponsored by CBC Radio. The band has been working on CBC Radio’s web site for kids (CBC4Kids).
**Britney Spears and guest Michael Fredo** will play the Molson Amphitheatre in Toronto on April 24 and the WordPerfect Theatre at the Corel Centre on April 25. The show is part of Britney’s first tour.
KATH THOMPSON
FREAK OF THE WEEK
Marvelous 3
BRUCE LEPERRE
BRANDON
**SUSANNAH McCORKLE** - Popular
*From Broken Hearts To Blue Skies*
Concord Jazz-4857
Ms. McCorkle's chief talent is as a vocalist which is arguably a simplistic explanation for her fidelity to the intention of popular composers. She is, however, a student of language and that probably explains how she consistently achieves maximum mileage from lyrics no matter what languages in which she sings them. She weaves her vocal and interpretive magic again here with a nice range of virtual standards ranging through Strayhorn's *Something To Do With Forte* to Ben's *Blue Skies*. She's ably backed by musicians under the direction of ubiquitous Allan Farnham, no mean popmeister himself. Though he quite properly keeps to the background, it's difficult to escape the blandishments of his fine piano no matter what the tune or the mood. We especially enjoy his seemingly inspired noodling on *Laughing At Life*.
-BW
**KASAROVA/FLOREZ** - Classical
*MUNICH RADIO ORCHESTRA/FAGEN*
Rossini Arias & Duets
RCA Victor Red Seal-74321-57131-N
When Rossini was writing his opera, there was thankfully, no longer any point in writing parts for castrati. So he wrote them for mezzo-sopranos in order to achieve the castrati purity of high notes and relative-relativé sonority of the lower. Mezzo-soprano Vesselina Kasarova possesses the requisite richness of tone to ensure the fullness of his intentions and demonstrates same on this album of arias and duets from seven of his many operas. Miss Kasarova's partner in the duets is the tenor Juan Diego Florez. They are accompanied by the Munich Radio Choir and Orchestra conducted by Arthur Fagen. The selections are from *Bianca E Faillero*, *L'Italiana In Algeri*, *La Cerentola*, *Semiramide*, *Armidela*, *Otello* and *La Donna Del Lago*. One is hesitant to suggest that her readings of these are definitive but they certainly are acceptable such. Taken all in all it's a most enjoyable album. One now awaits Miss Kasarova presenting the same programme in contralto, a voice of which she would seem to be capable. Let the wait be not too long.
-BW
**BOSTON SYMPHONY** - Classical
*RCHESTRA/ERICH LEINSLOD*
Baratok, Concerto/Kodaly: Peacock Variations - High Performance/BMG
Classical-09026-63309-N
High Performance is the label title elected by BMG to describe its 24/96 technology of enhancing older recordings to their full intention. We leave the technical details to our younger readers at RPM. Heck, we're still changing needles every eight plays of our old 78s! (Just foolin' Walt, Honest). We can say however that the "restored" sound on these recordings made in 1962 and 1964 is almost orgasmically lush. The Bartok Concerto For Orchestra is as powerful or dissonant as is usually the case with Bartok and each listener may decide for himself. We'll only hazard, as we have before, that the composer was wearying of his enterprise by the time he reached the Intermezzo-Allegretto. How else to explain its pronounced similarity to fellow countryman Franz Lehar's Aux Maxims from *The Merry Widow?* Kodaly's variations on the Hungarian folk song *The Peacock* have generated a considerable challenge to Erich Leinsdorf and his preference for "the long line". Nevertheless, he carries off the short pieces with skill and even, élán. One hopes only that listeners admiring the skill of the BMG engineers will not overlook the excellence of Mr. Leinsdorf.
-BW
**MONTGOMERY GENTRY** - Country
*Tattoos & Scars*
Columbia-69156-H
These two Kentuckians, Eddie Montgomery and Troy Gentry, literally bolted out of the blue with Hillbilly Shoes, the first single that had an immediate impact at Radio. They allow that Vengaboys, for instance, have a smash hit with *We Like To Party*, and it's here. And, not too shabby, are tracks from Jay-Z (*Hard Knock Life*), All Saints (*Lady Marmalade*), YBZ (*Now That I Found You*), De Klubkids (*Theme From Magnum*), Karen Corbin (*Gotta Have Your Love*) DMX & Method Man (*Grande Finale*), Jeep Gritz (*Re-Wired*) and much more. Also includes the Hot Hectic version of *Because Of You* and the Mamas & Papas's *Stick To Your Woman*. Interesting too is that 13 of the 18 tracks can't be found on any other compilation. Tailor-made for club-goers, which is why this series is so successful.
-WG
**KATHERINE WHEATLEY** - Alternative/Folk
*Habits and Heroes*
Hook Records-2001
Wheatley, whether by design or accident has a disarming vocal approach that demands attention. Tagging her music as "alternative folk" might seem off-hand or at best a "catch all", but it would be a disservice to suggest she is pop, country, rock or heaven forbid, just plain folk. Her music is a blend of styles and is mindful of the old coffee house days where customers could get close to the performer and bury themselves in the lyrics. Her method of pressing her message into the mind makes each track memorable. Her projection and vocal attacks keep the ear on guard for more directional changes, which obviously adds to the entertainment value. The balancing of Wheatley's vocals with the instrumental bed is extremely professional under the production hand of David Travaglini who used Toronto studios, Mercury Music Complex and Found Sound for the recording. Guests, Blue Rodeo's Bazil Donovan, Richard Bell and Colin Linden, bring even more professionalism to the instrumental backing. Among the key tracks are *My Last Breath*, a duet with Stephen Fearing, the bluesy *He Keeps Calling Me Baby*, the hard rockin' *Jimmy* and *Forty-Nine Free Of Sorrow*, the simplistic cushioning of Rob Pitlch's keyboards and acoustic guitar, all of which fit nicely into the "alternative folk" mold. Actually, there isn't a clunker in the bunch. Oh yes! The *Silent* track is just that. Perhaps a reviewer's test. The release party will be held at the Arts & Letters Club on May 12.
-WG
**RICK SPRINGFIELD** - Rock
*Platinum-15095-9561*
What a great title. The reincarnation of one of the big rock'n'pop voices of the '70s and '80s. Springfield first charted on the RPM 100 in October of 1972 with *Speak To The Sky*, which opened the door to the success of *Jessie's Girl* and *Don't Talk To Strangers*. That Springfield vocal feature is all over this new release, his first since *Rock Of Life* in 1988. The title track was his last hit on the charts. Interesting too is that Springfield has maintained his connection with Bill Dresser, who produced his 1981 album *Working Class Dog* and who co-produced this album with Springfield. Half of the songs here are Springfield originals, the other half are collaborations with obviously proven tunesmiths, among them Vancouver's Jim Vallance, who did so much in getting the career of Bryan Adams started. No Cancan cigar here though, but *The White Room* is a key track. Also key is Springfield's solo penning of *It'saway asymmetry* (proper word structuring), which he actually took on the first draft. Also key is his writing of *Act Of Faith* with Bob Marlette and Tim Pierce and with Jeff Silverman on *Religion Of The Heart*. But don't overlook the title track, a Springfield solo penning. There's also a hidden bonus track. An impressive return for his many record, big screen and little screen fans. Demands a front rack slot.
-WG
**PURE DANCE 4** - Dance
*Various Artists*
Universal-740 1st-i
This is the fourth release from this PolyMedia label. It showcases the multi-platinum plus Pure Dance, the success of which leaves no doubt that "disco" (Sorry to offend the airheads), is going to make a comeback. The people who compiled this release have gone out, way out to get what they feel is the best from the world of dance. They may have stretched it a bit, but each track is memorable. Her projection and vocal attacks keep the ear on guard for more directional changes, which obviously adds to the entertainment value. The balancing of Wheatley's vocals with the instrumental bed is extremely professional under the production hand of David Travaglini who used Toronto studios, Mercury Music Complex and Found Sound for the recording. Guests, Blue Rodeo's Bazil Donovan, Richard Bell and Colin Linden, bring even more professionalism to the instrumental backing. Among the key tracks are *My Last Breath*, a duet with Stephen Fearing, the bluesy *He Keeps Calling Me Baby*, the hard rockin' *Jimmy* and *Forty-Nine Free Of Sorrow*, the simplistic cushioning of Rob Pitlch's keyboards and acoustic guitar, all of which fit nicely into the "alternative folk" mold. Actually, there isn't a clunker in the bunch. Oh yes! The *Silent* track is just that. Perhaps a reviewer's test. The release party will be held at the Arts & Letters Club on May 12.
-WG
**ALBUM PICK**
**BAD CO.** - Rock
*The Original Bad Co. Anthology*
Elektra-62340-2
A well thought out compilation from a band that captured an era as some bands only dream of. Paul Rogers (formerly with Free) couldn't have possibly imagined the group would have such an impact in rock'n'roll history in the early seventies when he and Mick Ralphs, Simon Kirke and Boz Burrell started toying with the idea of putting a band together. This 2 CD set complements the best of the original Bad Co., including the classic tracks which were virtual rock anthems in their respective time periods, *Rock Steady, Bad Company, Feel Like Making Love* and *Rock And Roll Fantasy*. The previously unreleased material on this effort is equally as potent, which is evident on the *Superwoman* and *I Can Do Right By Your Baby*. The Original Anthology also boasts *Tracking Down A Runaway, Ain't It Good, Hammer Of Love* and *Hey Hey*, the 4 new songs penned by Ralph and Rogers. Collectively there is 137 minutes of down to earth rock'n'roll and the original Bad Co. is set to make an impact on yet another decade.
-SL
Top 100 CDs
Compiled from all the industry's top sources.
Creating the Star System in Canadian Country Music
FRIDAY
MAY 28TH
RPM BIG COUNTRY AWARD
HONOURING DISTINGUISHED ACHIEVEMENT IN THE CANADIAN COUNTRY MUSIC INDUSTRY
AWARDS BANQUET
Friday ~ May 28TH
Canadian Ballroom
Royal York Hotel ~ Toronto
Cocktails 7PM
(Host Bar)
Dinner 8PM
(Host Wine)
Tables of 10 available
The Canadian Country Music Industry Event of the Year
BIG COUNTRY AWARDS
BE THERE!!
THEN WATCH IT ON CTV!
Send cheque or credit card endorsement to:
$100.00 per person (+7% GST = $107)
Make cheque payable to RPM Big Country
Card No. ____________________________
Signature ____________________________ Expires ____________
Name(s) ______________________________________________________
Company _____________________________________________________
Address _____________________________________________________
City __________________________ Province ______ Postal Code ______
Phone ___________________________
Paul Brandt is proving that Warner Music’s Randy Stark was right in predicting That’s The Truth as a major chart happening. The latest Brandt single enters the chart at #55, the most added single this week. Brandt wrote the song with Nashville writer/producer John Shanks and it was produced by Tim “Fuzzy” Fussell.
The Wilkinsons are making excellent chart moves with their latest single Boy Oh Boy which jumps from #22 to #14. The single was produced by Steve St. Pierre who also co-wrote the song. St. Pierre’s previous single, I’m Not A Man, was produced by Tim “Fuzzy” Fussell and was a #3 hit on CHYR. The Wilkinsons’ single was also produced out to be a door opener into CHYR in Leamington. His single was aired on the morning show where he was also interviewed. The single, a St.Pierre original, was self-produced at Windsor’s Conservatory of Music. He is currently enrolled at the Trebas Institute of Media Arts in Toronto.
COUNTRY continued from page 11
MacIntosh, Lou Garscadden and Frank Bartolleti. Background vocals were supplied by Vassos, Gowan, Garscadden, Bartolleti, Wyles, Mich Seekins, Alea Dikos, Anthony Mifsud and Dona and back to Winnipeg (July 31-August 2). The title track has been taken as the first single and video. The video was produced by Moetion Pictures in Stoney Creek. For more information contact First Herd Promotions at 905-689-2191, fax 905-689-3686.
Montgomery Steele has been getting good response for the release of Debbie Darlene, his latest single release. Latest to confirm adding the single is the Canadian Broadcasting Corporation. The single, the follow-up to Still The One which recently had a run up the RPM Country 100.
Patricia O'Callaghan showcases in Toronto
1. Toronto's Top O'The Senator was the setting for the launch of Patricia O'Callaghan's Marquis/EMI album, Slow Fox, where she gave an emotional delivery to the packed house.
2. O'Callaghan with her Marquis family Earl Rosen, her music teacher Carole Forte and Dinah Hoyle. The album has already met with critical acclaim (RPM New Releases - April 12/99).
3. O'Callaghan and her biological family, mom Rosemarie and brother Brandon.
4. O'Callaghan with CBC on-air personality Evan Solomon and brother Brandon.
photos by Barry Roden
RPM
Adult Contemporary TRACKS
ORDER YOURS TODAY!
SESSION TOUR GUIDE 1999/2000
Over 300 Pages of Directory Listings, Phone Numbers & important Music Industry information in one affordable directory.
Canada's Recording and Touring Industry Source Book
Cherry Beach Sound, BASF & Studer Behind the scenes of Leahy Smash Hit debut CD
Includes:
AUDIO
- Audio Post & Recording Studios
- Mastering Facilities
- Mobile Recording Services
- Producers & Engineers
- Session Musicians & Vocalists
TALENT & BOOKING
- Artists & Personal Managers
- Booking Agents & Rosters
- Concert Promoters/Talent Buyers
TOURING ATLAS
- Maps and Mileage Charts
- Facilities and Venues
- Local Suppliers & Services
VIDEO
- Video Post Studios
- Video Production Companies
- Producers, Editors & Directors
- Video/Film Products Suppliers
CONCERT PRODUCTION & SERVICES
- Sound, Lighting & Staging
- Trucking, Coaches, Limousines
- Merchandising, Security, Insurance
- Tour Personnel, Accountants & Brokers and more...
FOR MORE INFORMATION CONTACT:
Phone: (416) 695-9236 • Fax: (416) 695-9239
E-Mail: email@example.com
VISIT US AT OUR WEB SITE
www.cmw.net
|
JOHN WILCOCK
Village Voice, East Village Other,
Los Angeles Free Press,
Other Scenes
I was one of the five people who started the Village Voice. After five years, a guy called Walter Bowart, in the East Village, figured the Voice was kind of passé, so he started the East Village Other. I went and became the first editor of that, and while we were sitting around in the office of the East Village Other, we realized that there were five papers by then which were basically alternative papers—which were really the first alternative papers. Up to that time, any paper that wasn’t a regular weekly paper just covered the Mother’s Institute or, you know, boring things. The five original papers were: the Los Angeles Free Press, with Art Kunkin; Max Scherr’s Berkeley Barb; the Fifth Estate, The Paper, in [East] Lansing, Michigan; and our own paper, the East Village Other. And as a result of that, we put together the Underground Press Syndicate [UPS]. Any underground paper anywhere in the world was allowed to join on one condition: they had to send a copy of the paper to every other paper in the UPS. And the way we initially made money was to sell subscriptions to Time magazine, but that didn’t bring in much. Then this guy Tom Forcade turned up (he later started High Times after a dope run). He took over UPS and sold the rights to Bell & Howell to microfilm all the underground papers. So that’s what initially financed the underground papers. And there were six hundred papers at one time, all over the world. Everywhere I went in the world I was interviewed because people were interested in this phenomenon, these American underground papers. And every underground paper I ever went to believed in two things: they wanted to end the Viet Nam War and to legalize marijuana.
PAUL KRASSNER
The Realist
I was working for Lyle Stuart (I started in 1953, and it was in 1958 when I started The Realist), who edited a paper called The Independent. It was the precursor to the underground press and was essentially against censorship, but it was in the tradition of I.F. Stone’s Weekly and George Seldes’s In Fact and, you know, there was a whole tradition, in that time, of publications going back to Tom Paine. I started out just filling envelopes with issues of The Independent, mailing them out—and I ended up as their managing editor. That’s where I got my journalistic apprenticeship. At that point our office was a tiny, tiny office on Forty-Second Street in New York right off, I think it was, Sixth Avenue. Lyle was a big fan of MAD Comics and Rat Subterranean News, vol. 2, no. 14 (1969).
Wilcock surveys the scene.
Opposing page: East Village Other, vol. 2, no. 5 (1967). “Roll up, roll up . . . Ladies and gentlemen take your seats for the greatest show in America since Joe McCarthy did his famous TV pratfall, It’s the Angry Arts Festival and it’s all over New York City—now!” —Lead paragraph in Dick Preston’s cover story on Angry Arts Week.
We were a group that had representatives in a variety of schools, in dozens and dozens and dozens, probably hundreds, of schools. We distributed this newspaper all over the city. At the height of its publication we printed forty thousand copies a month.
I was a student in Queens, New York, at John Bowne High School. We all had our little papers going in our various schools. I was printing a paper in my school called *John Bowne Was a Pacifist*. We all had our little copies of different newspapers that we published. Some were more or less elaborate than others. We knew each other because we were working together in the antiwar movement originally, and out of the experiences we had in the summer of 1968 at the Democratic Convention in Chicago, among other places, we became progressively more interested in other issues besides the war.
If you were white, chances are you came to this through the antiwar movement, opposition to the Viet Nam war. We had been doing this for a couple of years already, most of us. New York City had a very active opposition to the war in Viet Nam. There was an organization in New York called the Fifth Avenue Vietnam Peace Parade Committee on Seventeenth Street, and a lot of us would go there after school. They provided us with facilities to publish our little antiwar newspapers. You would meet students from all over the city there—from Bronx Science, from Seward Park, Brooklyn Tech, you name it. And there was an antiwar organization focused on high school students called the High School Student Mobilization Committee, and a number of us were active in that.
In 1968, where the genesis of this paper occurs, we were a mixed group of kids, white and black, male and female, and from all over the city in New York. Since we were breaking new ground, doing something that hadn't necessarily been done before, we had all kinds of access to equipment and money and resources that we probably would not have if this happened again today. For example, there was a newspaper in New York called the *New York Free Press*, and it was published out of an office on West Seventy-Second Street off Broadway. They gave us access to their facilities at night, after they went home. Professional typesetting equipment, a fully equipped office, and they actually had a woman who was selling advertising for the *New York Free Press* and she sold advertising for us. We had full-page advertisements from Columbia Records. I don't think that would happen today. On the front page we had “Anarchist Calls to Insurrection,” and inside you had full-page advertising from record companies, movies and clothing stores in the city, etc. This office was also producing a pornographic newspaper, the *New York Review of Sex*, a high-class version of *Screw*. We also were exposed to a lot of stuff that was going on there that people would be sensitive about today.
A lot of the members of our staff and activists in our organizations were
*East Village Other*, vol. 3, no. 39 (1968).
Following page spread, left: *Gothic Blimp Works*, no. 3 (1969). “I wanted to do something sexy, basically, and I love cats and I love lions. The sexiest thing I could think of was actually, if it were actually possible, to have sex with a lion and have a baby that was part lion; it was just a great concept. Of course, I've always been a real fan of the jungle comics and jungle girls, so she [Panthea] was kind of a jungle girl character.” —Trina Robbins.
Following page spread, right: *New York High School Free Press*, no. 8 (1969).
new york
HIGH SCHOOL
FREE PRESS
"Of, by, and for liberated High School Students"
A mother pleads for her son's freedom at Erasmus High School. hs freephoto by Miriam Bokser
HAPPY MOTHER'S DAY
what we called red diaper babies. I wasn’t one of those. I was an All-American boy—I was a Boy Scout and an honor student. I lived in Queens and had no connection with the cosmopolitan world in Manhattan. I played in the local band and went to a little provincial high school in Queens, so all of this was new to me. I didn’t understand the nuances of the left—the Trotskyists and the Communists, or any of that. I wasn’t interested either. I was doing this because I felt that the principles that this country was founded on were being violated by the Viet Nam War, and I had a certain kind of antiauthoritarian streak in me that is very American, you see it today among the Libertarians on the right more than you might see it on the left. That was my thing. We had a variety of perspectives, but what we all shared was this kind of exuberance and antiauthority.
Then of course the African-American students were already in conflict with the authorities over civil-rights issues and over cultural issues that were specific to them. That was already going on before we became active and aware, and we made alliances with them. We started getting very sophisticated about our roles and our power struggles, and we made alliances with African-American students, with Latin students, and we developed a fairly sophisticated degree of coordination by the spring of 1969.
One of the things I left out was that there was a teacher strike in New York in September of 1968.* This gave us all kinds of free time to develop our talents, to build organizations, which we did. That fall was really important because we devoted all of our efforts to building this student organization and this student newspaper.
We went around the city opening up schools in alliance with the black student organizations, and we had the newspaper to give out to students who were milling around or in the buildings conducting freedom classes. We now had this very impressive newspaper and, of course, the strike and our reaction to the strike was on the front page of our newspaper and we started to make connections between all of the stuff that was going on. It was very natural that all this stuff started to fall into place.
*The strike stemmed from a May 1968 dispute between the United Federation of Teachers (UFT), led by Albert Shanker, and the administration in the Ocean Hill–Brownsville school district over the dismissal of thirteen teachers there. The Ocean Hill–Brownville area of Brooklyn was one of three newly decentralized school districts in the city, part of a pilot program initiated by mayor John Lindsay to test the efficacy of community-led school boards. Though once a predominately Jewish neighborhood, the area was, in 1968, a mostly black community, and the newly formed, community-elected school board voted to dismiss thirteen teachers who were all white and almost all Jewish. Albert Shanker and the UFT protested this action as a violation of the teachers’ rights and a long, protracted battle ensued. In a series of strikes that took place between September and November 1968 there was a citywide shutdown of the public school system for a total of thirty-six days. During this period, parents and sympathetic teachers and administrators would routinely go around opening schools, but it was only the students who were able to actually keep the schools open and functioning for any length of time. Though the union ultimately prevailed, the strike was widely seen to be a racist denial of the wishes of the Brownsville community and served as a unifying issue for student-activists all over the city.
section of the movement, including people like Tom Hayden and other key SDS people. So we went to this thing and met with representatives of the Viet Cong, the NLF [National Liberation Front]. It was funny. We had a chartered plane and it had barely taken off when Malcolm Boyd—he was the first one that I saw—broke out a joint. It ended up there were people smoking dope on that entire airplane—the air was just green. At that time, that was a revolutionary thing.
I don’t think that there is such a thing as objectivity. We just thought we were advocacy journalists, but we made our biases clear. One of the important things about the underground press was that it was a collective, communal experience, and everybody came in and got involved and became a part of it, and got politicized through the process.
BEN MOREA
Black Mask, The Family (Up Against the Wall/Motherfucker)
I went to see the Diggers and stayed with them a couple weeks in about 1963, before Black Mask. Peter Berg, Peter Coyote, and Emmet Grogan were the main three. I went out there and stayed with them and tried to understand where we were similar and where we were different. I was friends with them, I liked them, but we were very different. They came out of theater, the Mime Troupe, and we came out of art and evolved to be more political than they did. We were much more action freaks than they were; we became stone street fighters. Everything else fell to the wayside, at some point that’s all we were doing. We had evolved from artists to warriors. We were part of that “hip community.” We did a lot of LSD and were completely comfortable with hip culture, but we, at the same time, were political and saw ourselves as warriors. So there was always this gap—we were not hippies but we were definitely not political. We were some other entity, an amalgam.
Rag, vol. 3, no. 6 (1968).
Opposing page: San Francisco Express Times, vol. 1, no. 33 (1968). Photos by Jeffrey Blankfort. “He didn't hit me in the head because I was wearing a helmet. I had a kind of bicycle helmet. Cops don't like hitting people on the head if they're wearing helmets.”
Following page spread, left: Helix, vol. 6, no. 5 (1969). The San Francisco Mime Troupe comes to Seattle.
Following page spread, right: Berkeley Barb, vol. 7, no. 16 (1968).
WE ARE OUTLAWS!
THERE IS NO LONGER ANY DISTINCTION BETWEEN THEORY AND ACTION
A NEW MANIFESTO:
THERE ARE NO LIMITS TO OUR LAWLESSNESS
We defy law and order with our bricks, bottles, garbage, long hair, filthy obscenity, drugs, games, guns, bikes, fire, turf, & fucking — The future of our struggle is the future of crime in the streets.
— We are all criminals in the band eyes of pig America — In order to survive we steal, cheat, lie, forge, deal, hide & kill — The future belongs to the free spirit of the outlaw — And we take the outlaw’s oath:
ALL PROPERTY IS TARGET
ALL LAWMEN ARE ENEMY!
From now on — Total Disregard for the men’s homes, jobs, pubs, streets, stores, churches, daughters, sons, pets, media, culture, games, goals, laws, & others.
WE ARE THE FORCES OF CHAOS AND ANARCHY
WE ARE EVERYTHING THEY SAY WE ARE AND WE ARE PROUD OF IT — WE ARE OBSCENE, LAWLESS, HIDEOUS, DANGEROUS, DIRTY, VIOLENT & YOUNG.
WANTED
BAMN
by any means necessary
up against the wall / MOTHERFUCKERS
The Free Store was on Tenth Street on the uptown side of Tompkins Square Park. Well, let me correct that, we had two of them. We had one also on Tenth Street, I believe, around Third Avenue. I’m not sure which came first. It was a community center, it had clothing, and we had access to other tools. For instance, if a person who was AWOL came in we would have clothing to give them, would get them ID printed (the printing press wasn’t there, we had a mimeograph machine, but we would take them to the printer). We had a doctor and two lawyers under retainer. So if you came in the Free Store needing medical or legal help, we would send you. We had six crash pads that we rented so that we would have a place to put runaways who came in to the Free Store. The Lower East Side was very dangerous for young people. There were a lot of hippie kids, or runaways, or whatever you want to call them, who would come to the Lower East Side thinking it was a nirvana, and it was a dangerous ghetto. A lot of kids were getting beat up, getting raped, so we would protect them, take care of them. It was just a logical outgrowth. We were a community organization, we felt.
We would also disseminate free food out of the Free Store. We had working relationships with Judson Memorial Church, which was a liberal, left-leaning church. They would give us papers saying we were nonprofit so we could go to Dannon Yogurt and get all the yogurt for a week that was mismarked. We would get thousands of yogurts every week, and we had, like, fifty-five-gallon drums or garbage cans that we would fill with yogurt, and we would distribute it in the streets. We had a free dinner night once or twice a week and we would use those same papers to go to the Hunt’s Point Market so we could get food that was a little old but yet still edible; we could get it free. We could go to the Fulton Fish Market and get free fish that was marginal whether they could sell it, but it was still good. Once or twice a week we would have a feast that would feed around four hundred. See, one of our things was there was a certain cultural antagonism between the ghetto-dweller and the youth, the hippie. They didn’t quite have the same background, so our role was always to try and ease that tension. So our meals had ghetto and hippie youth. Then we would have free concerts. We’d have black bands or steel drum bands, rock bands, and Latin bands all playing together so the audience would be all three. I mean, that was our goal, it was conscious. We would try to bring together art and politics or ghetto and hippie—we were always trying to bridge gaps.
We mostly printed our own stuff, but the machine was open to the public. I mean, we’re anarchists, we’re not going to say, “You can’t use the machine.” But generally we printed our own daily stuff, twice a day, three times a day, once every other day. It was not by schedule. A lot of the flyers we put out, like say somebody got busted, we’d put out a flyer, “Hey, such and such happened.” Or say there was some bad LSD on the street, we’d put out a flyer saying, “Be careful of this purple acid.” It wasn’t just political, we were never just political and that’s why the politicos didn’t like us. They couldn’t figure it out. Either we were wasting our time or we were being frivolous. We didn’t see it that way; we were neither wasting our time nor being frivolous. We were being total. Warning people about bad acid was just as important as fighting
the tactical police force, to us. That was the difference between us and everybody else, and there was no one else like that. The conclusion we came to then [was that] it was a full time occupation. We were almost suicide warriors. We'd wake up in the morning and say, "Well, maybe this is our day." It was just that's how it was; there was no, "Maybe we'll wait for politics, or we'll wait for this election." Each day it was like, "Maybe this'll be our day, maybe we won't make it."
That sense of absolute struggle was in everything. It wasn't just the demonstration, "OK, next Saturday we're gonna go out and demonstrate." Our life was a demonstration, morning till night every day, in whatever form. For instance, we cut the fences at Woodstock. To me, that was no less important than storming the Pentagon. See, that's the difference between us and all them Leninists and Maoists and horseshit ideologues: we didn't think one was more important than the other. Life was important. What was happening at Woodstock was an affront to us, to the culture. That was as important as going into the Pentagon, but no politico would ever think that. They had this hierarchy of beliefs. If we were walking down the street and we saw an assault and we interfered and we were killed, that would be as important as dying in the struggle. That was the struggle. That's what the politicos never understood about us.
HOWARD SWERDLOFF
New York High School Free Press,
John Bowne Was a Pacifist
Franklin K. Lane High School, which was on the border of Brooklyn and Queens, was a place where there was a lot of tension between the white and black students. Of course we had a guy there, a *High School Free Press* guy, who wrote a big article about it. There was a full-blown riot over a Confederate flag being put up and black students trying to take it down. These things all kind of merged into one another. We didn't see ourselves as journalists; we saw this as part of our total existence. We weren't just putting out a newspaper we were encouraging rebellion with this newspaper.
The SDS chapter up at Columbia University, which was near our headquarters on West Eighty-Fifth Street, tried to give us advice. Mark Rudd, Nick Freudenberg, all these characters from Columbia University used to come down and try to give us advice. We thought they were a joke. They would come down and try to get us to read Che Guevara's diaries or Mao Tse-tung. We listened to them politely but we thought they were idiots. We were so full of ourselves that there was no telling us anything. If you were over twenty years old, you couldn't give us any advice. We were very arrogant. We were charming because we were young, but if we had been a little bit older I don't think we would have been so charming.
Because of our young exuberance and our attractiveness to the media people, we had a guy who was making a movie about us following us. He had a Land Rover and so we took advantage of that. No subways for us. We had a film crew that drove us from school to school and provided us with lunches and, of course, some of us would go out with the filmmaker to Times Square at three o'clock in the morning and see Clint Eastwood movies and smoke cigars. We were big shots, we
Following page spread: *Rat Subterranean News*, vol. 2, no. 19 (1969).
format for pages, or whatever. We typed on an IBM Selectric and would type the stories twice so we would justify them. I don’t know why we decided to do that, it was a lot of work. Then we would cut and paste—this was back when cut and paste meant cut and paste. It was a big event. Sometimes we worked for two days and two nights, straight through, with a little bit of chemical assistance, but primarily just on our adrenaline and energy because we were really so excited, and it was so much fun.
We had a lot of gall and a lot of chutzpah. We were fearless, and we just went out and did it. We learned as went along; we taught ourselves how to do it. It was never really slick, but it’s remarkable that it came out as good as it was. *Rag* always had excellent writing, political analysis and cultural coverage. It was always very, very well written, and that was one of the things that pulled people. Also, when we started it we decided that we weren’t going to be boring, we weren’t going to be heavy, we were always going to have a lot of humor and a lot of cultural stuff, and in that sense, we sort of reflected the Austin community. We always had a lot of arts, art coverage and *actual* art in the paper, but we weren’t like some of the papers that got so McLuhanesque that you couldn’t even read it. *The San Francisco Oracle* . . . frequently you couldn’t read the copy!
It was a high school paper, distributed all over New York . . . fifty to sixty thousand copies.
My job was selling ads. I was really good at getting full-page ads from the record companies. We were actually their target audience, if they thought about it for ten seconds, which of course I asked them to think about for ten seconds. We were their test market—they loved us. We were getting all these freebies because we were from the press. They had parties, [we’d] go see shows, they’d get you into all the movies you could see. It was quite a racket, actually.
What money we had went right back into what we were doing. We had our own storefront on St. Mark’s Place, eventually. We grew into the White Panther Party—we didn’t want to be Yippies. We were Communists and we weren’t afraid to say it or admit it in our approach back then. We had a three-point program: dope, rock ’n’ roll, and fucking in the streets.
We shut down the whole New York City fucking school system one year. We all went to Stuyvesant High School. Back then only boys went. We were the class that integrated it with girls. We shut down that school three or four times, but we shut down the whole city in 1970. We led a march from Manhattan over the Brooklyn Bridge and met Boys High and all those dudes coming from Brooklyn, and then came back, took over the New School on Fifth Avenue and made that the headquarters. You don’t even understand: there was barricades in the street, people were ready for war.
|
INSLAW Affair
Screened by NARA (RD-F) 08-14-2018 FOIA # none (URTS 16306) DOCID: 70105136
February 7, 1995
The Honorable Kenneth W. Starr
Independent Counsel
Office of the Independent Counsel
Suite 490 North
1001 Pennsylvania Avenue, N.W.
Washington, D.C. 20004
Dear Judge Starr:
Public revelations to date in the Independent Counsel's investigation indicate that the so-called Whitewater Affair is a banking industry scandal with as yet unexplained links to the Rose Law Firm of Little Rock and to two of its former partners, Webster Hubbell, who served as Associate Attorney General, and Vincent Foster, who served as Deputy White House Counsel, in the Clinton Administration.
Such are the apparent implications of guilty pleas thus far obtained in the investigation from individuals described as "cooperating witnesses," including pleas by two persons associated with Arkansas banking and financial services institutions, David Hale and Robert Palmer, and pleas by Hubbell for billing and expense frauds while a partner at the Rose Law Firm. It is also the apparent implication of the continuing investigation into the unexplained sudden depression and death of Vincent Foster.
One common thread linking the Rose Law Firm, Hubbell and Foster with the banking industry is Little Rock-based Systematics, a $700 million-a-year Rose Law Firm client in which Hubbell and Foster each had financial interests. Systematics is one of the leading vendors in the United States and, reportedly, in some 40 foreign countries, of computer software and services for the banking industry.
Systematics' banking industry work is not, however, limited to the work it performs for its bank customers, according to statements made to INSLAW by individuals knowledgeable about Allied covert intelligence initiatives during the Reagan and Bush Administrations. These individuals say that, at the behest of the U.S. National Security Agency (NSA) and its partner in Israeli intelligence, Systematics has covertly implanted into the computers of its bank customers a technical capability that permits Allied intelligence agencies surreptitiously to track and monitor the flow of money through the banking system.
According to the same sources, Systematics created this special technical capability by adapting a computer software system originally designed for tracking litigants and their cases through the court system, to the task of tracking depositors and their electronic funds transfers through the banking system. This is the software that the Reagan Justice Department misappropriated from INSLAW, Inc. "through trickery, fraud and deceit," according to the fully-litigated findings of fact of two lower federal courts, later confirmed and supplemented by the investigative findings of the House Judiciary Committee.
Hubbell spearheaded the Clinton Justice Department's review of the INSLAW affair, and Hubbell and Foster were in communication about the INSLAW affair during this review, according to disclosures to INSLAW by an individual closely associated with Foster in the White House.
The technical capability that Systematics allegedly implanted in its customers' computer systems to support Allied intelligence agencies has also been used to support another initiative, according to some of the same sources: the laundering of money, especially drug profits, through direct access to the computers of the mainstream banking and financial system.
This alleged criminal use of the intelligence community's secret technical capability in the banking system may explain some of the actions of the Clinton Justice Department in the INSLAW case.
Hubbell's Justice Department aides, in the course of Hubbell's review of the INSLAW affair appear, for example, to have obstructed a related, on-going federal criminal investigation by the U.S. Customs Service. The focus of the Customs investigation was whether a U.S. Government Contracting Officer, who served successively as Contracting Officer for the Customs Service's drug interdiction program along the Mexico-United States border and as the Justice Department's Contracting Officer during the misappropriation of INSLAW's software, had committed perjury when he denied under oath having undisclosed business relationships with two other private-sector individuals.
One of these private-sector individuals is a businessman who served in the California cabinet of Governor Ronald Reagan and who, immediately following the election of Ronald Reagan as President, bought several companies that provided contractual services to the Customs Service's drug interdiction program. The other individual is the former research director of a California-based intelligence front organization set up immediately after President Reagan's election to provide clandestine logistical support for the Contras in Nicaragua.
The former research director, who is currently in federal prison for drug trafficking, claims that the California-based intelligence front organization was part of a network of secret Contra-support organizations, including one in Mena, Arkansas. According to the former research director, both the Government's Contracting Officer and the politically-connected businessman were regular visitors to the California-based Contra-support intelligence front organization, which was also trafficking in stolen copies of INSLAW's software and other contraband. Financing for this and other Contra-support intelligence facilities came in part from the sale of cocaine brought into the United States from Latin America on the very aircraft that flew the weapons to the Contras, according to this source. The Contra-support intelligence facility in Mena, Arkansas was the hub for the drug smuggling aspect of this covert intelligence operation, according to this source. The businessman with ties to the highest level of the Reagan Administration allegedly facilitated the success of the drug smuggling operation by compromising the Customs Service's drug interdiction program, according to the same source.
Hubbell's aides reportedly refused an official, written request from the U.S. Customs Service, supported by a detailed memorandum summarizing circumstantial evidence obtained in their two-year-old investigation, for access to a federal grand jury in order properly to complete their investigation. The Customs investigation reportedly encountered strong resistance among witnesses who were fearful of reprisals. Customs, therefore, needed the authority and secrecy of a federal grand jury in order to compel cooperation.
One of the companies that reportedly shipped war matériel to the Contras through the Mena, Arkansas Contra-support facility was another Rose Law Firm client, POM, Inc., for whom Hubbell performed legal services, according to his Financial Disclosure Report. Mrs. Hubbell's family reportedly owns POM, Inc.
According to the report on Foster's death by former Independent Counsel Robert Fiske, Hubbell and Foster spent a considerable amount of time together in the final several days of Foster's life. Earlier in that final week of Foster's life, INSLAW had submitted a report to Hubbell that, *inter alia*, discussed several witnesses who would be willing, under certain circumstances, to come forward and give sworn testimony about the secret intelligence use of INSLAW's software in the banking industry. None of the witnesses was willing, however, to authorize INSLAW to
give his or her name to the Justice Department. As noted in the INSLAW report to Hubbell, some of the witnesses had, nevertheless, volunteered to come forward if an Independent Counsel were appointed.
The enclosed Memorandum and its Attachment, prepared by William and Nancy Hamilton, the principal owners and officers of INSLAW, Inc., summarize much of what is known about the alleged connections between Systematics, Hubbell and Foster and the INSLAW affair.
It is our recollection that you announced in early 1990, while serving as Solicitor General of the United States, that you had decided to recuse yourself from the decision on whether to authorize the Justice Department to make a further appeal of the judgment of the U.S. Bankruptcy Court in the INSLAW case to the U.S. Court of Appeals for the District of Columbia. Since I do not know the reason for your earlier recusal, neither do I know whether or not it has any relevance to the issues discussed in this letter and its enclosures. I will be pleased to approach the matter in whatever way you deem appropriate.
The Attachment makes reference to 44 exhibits. These are voluminous documents which I will furnish to you or Deputy Independent Counsel Tuohey, upon request.
I would also be pleased to make Mr. and Mrs. Hamilton available for questioning by Mr. Tuohey or members of your staff, should you decide to pursue these matters.
With best wishes,
Sincerely yours,
Elliot L. Richardson
CC: Deputy Independent Counsel Mark Tuohey, III
Enclosures as stated
MEMORANDUM FOR THE RECORD
Date: January 23, 1995
From: William A. and Nancy Burke Hamilton
Subject: Questions That Should Be Asked of Former Associate Attorney General Webster Hubbell About His and Possibly Vincent Foster's Involvement in an Apparent Arkansas Component of the INSLAW Affair
In its lead editorial on December 7, 1994, following the felony guilty pleas by former Associate Attorney General Webster Hubbell, *The New York Times* noted as follows:
But as our colleague William Safire observes, the prosecutor and Congress must review Mr. Hubbell's work at Justice in light of what we now know about his standards as an attorney.
In its lead editorial the next day, *The Wall Street Journal* stated in part as follows:
Under those circumstances, some appropriate venue must be found to let voters form opinions about the political meaning of a confessed crook's tenure at Justice.
Webster Hubbell, as Associate Attorney General, spearheaded the Clinton Administration's review of an investigative report on the INSLAW affair that had been commissioned by and conducted under the auspices of the Bush Administration. Justice released the results of the Hubbell review in September 1994, about six months after Hubbell had resigned from Justice. This report is hereafter referred to as the Hubbell Report, although it bore the names of none of its authors or contributors when finally released by Justice. The Clinton Administration thereby formally accepted the conclusions of the Bush Administration's *Bua Report*, including its conclusion that the Reagan Justice Department had not stolen the PROMIS computer software product from INSLAW "through trickery, fraud and deceit," notwithstanding the fully litigated findings to the contrary by two sitting federal judges\(^1\), and its conclusion that the Reagan and Bush
---
\(^1\)The U.S. Bankruptcy Court for the District of Columbia in January 1988 and the U.S. District Court for the District of Columbia in November 1989. Based on a jurisdictional technicality, the U.S. Court of Appeals for the District of Columbia overturned the two lower courts' findings in May 1991, without having disturbed the findings of fact.
Justice Departments had not obstructed Congressional investigations into the matter, notwithstanding investigative findings to the contrary by two Congressional Committees.\(^2\)
Prior to joining the Clinton Administration, Hubbell and/or his family had had financial and/or professional relationships with Arkansas companies that evidently profited from various covert intelligence initiatives of the Reagan and Bush Administrations, including the alleged secret initiative to "follow the money" in international banking by arranging for stolen copies of PROMIS to be implemented in the electronic funds transfer arena, and the secret initiative to supply the Contras in Nicaragua with weapons. Hubbell had a financial interest in and provided legal services to Systematics, a $700 million a year computer services company that is one of the leading vendors in the United States of computer software and services for international banking. Systematics has secretly assisted the NSA and Israeli Intelligence in the implementation and support of PROMIS in international banking, according to INSLAW's confidential sources and fragmentary corroborative evidence. Additionally, Hubbell's in-laws own and Hubbell provided legal services for POM, Inc., a parking meter manufacturing company in Arkansas, that also manufactured war matériel for the Contras under U.S. Government contracts, according to an article in the *Nation* Magazine on April 6, 1992. The war matériel produced by POM was flown to the Contras from a U.S. intelligence facility in Mena, Arkansas, the relevance of which fact will be explained later in the memorandum.
Hubbell's apparent conflicts of interest led to a number of decisions by the Clinton Justice Department that, taken at face value, appear to have been designed to obstruct justice, especially with regard to Earl W. Brian, a long time crony of Edwin Meese who is believed to play a central role in the scandal, and Israeli intelligence, a partner of the U.S. Government in the world-wide PROMIS intelligence initiative. These are explained on pages 4 and 5 of this memorandum.
Brian and Hubbell had connections to two very large Arkansas corporations; these two corporations are closely connected and both appear to be involved with PROMIS. One of the companies, Systematics, also appears to have connections with both the NSA and Israeli intelligence. The $700 million a year Systematics is one of the largest banking industry software companies in the world, with large international banks as customers in as many as 40 countries. The other company is Beverly Enterprises, a $2 billion a year nursing home operator.
According to confidential sources, Systematics has provided implementation and support services to the NSA for the use of PROMIS in international banking organizations. The NSA arranged for stolen copies of PROMIS to be implemented in 1983 at the Washington, D.C. headquarters of the World Bank and the International Monetary Fund, according to two investigative articles published by the *International Banking Regulator* in January 1994. U.S. intelligence also arranged for stolen copies of PROMIS to be implemented during the 1980's in
---
\(^2\)The September 1989 Staff Report of the Senate Permanent Investigations Subcommittee and the September 1992 Investigative Report of the House Judiciary Committee. The latter Congressional investigation also independently confirmed the theft of PROMIS by the Reagan Justice Department and supplemented the findings of the two lower federal courts, with evidence suggesting that private sector friends of the Reagan Justice Department had sold and distributed stolen copies of PROMIS within the United States and abroad for their own financial gain and in support of the foreign policy and intelligence objectives of the United States.
the London operational headquarters of the Bank of Credit and Commerce International (BCCI), in such international wire transfer clearinghouses as FEDWIRE, CHIPS, SWIFT and SPRINT, and in international banks worldwide, according to confidential INSLAW sources. Systematics, which had a prior involvement with BCCI in which Hubbell served as one of Systematics' lawyers, as described in the next paragraph, presumably assisted the NSA in some or all of the aforementioned PROMIS banking industry implementations.
Hubbell has a financial interest in Systematics through his ownership of common stock in AllTel, the Little Rock-based telephone holding company that wholly owns Systematics, as evidenced by Hubbell's Financial Disclosure Report. Hubbell also performed legal services for Systematics in connection with a plan by BCCI to take over a Washington, D.C. bank in the late 1970's and force it to replace its software with software supplied by Systematics. In 1978, Hubbell and Hillary Rodham Clinton were attorneys of record in the Rose Law Firm's representation of Systematics in federal district court in Washington, D.C. The SEC had filed a lawsuit against BCCI and others for colluding in what, in retrospect, was the initial BCCI effort to take control of First American Bank in Washington, D.C., then known as Financial General Bankshares.
The Little Rock-based Systematics is also alleged by INSLAW's confidential sources to have an affiliated operation in Israel that directly supports unlawful PROMIS implementations on behalf of Israeli intelligence. There is, in fact, a Systematics computer software company in Israel that, like the Little Rock Systematics, sells software both to banks and to telephone companies. In early 1987, this Israeli Systematics company twice contacted INSLAW to obtain marketing and product brochures on PROMIS. The two brothers who direct the operations of Systematics in Israel are allegedly contractors for the Israeli Mossad intelligence service, according to a former Israeli intelligence officer. The ownership of the Israeli Systematics is held by what appears to be a front company in Worcester, Massachusetts. The Massachusetts entity appears to consist of nothing more than an answering machine and a mail drop. The head of the parent company in Massachusetts is evidently a former U.S. intelligence official whose name appears in the 1979 Membership Directory of the Association of Former Intelligence Officers.
Hubbell also provided legal services to Beverly Enterprises, as evidenced by his Financial Disclosure Report, and Beverly Enterprises is a company with close connections to PROMIS, Brian, and Systematics. Beverly Enterprises is, in fact, a licensed customer of INSLAW's software. Furthermore, Systematics provides computer systems support to Beverly Enterprises under a long-term "outsourcing" contract. Additionally, executives of Beverly Enterprises had helped finance Brian's unsuccessful 1974 Republican primary campaign in California for the U.S. Senate. Prior to that campaign, Brian, as Secretary of Health under Governor Ronald Reagan, had regulated the amount of fees that Beverly Enterprises could charge the State of California for the nursing home care of its indigent citizens. Finally, Jackson Stephens, an Arkansas billionaire who was a major contributor to the 1992 Presidential campaigns of both President Bush and Governor Clinton, was the chief financial backer of both Systematics and Beverly Enterprises during the Reagan and Bush Administrations. In January 1995, a Little Rock journalist told INSLAW that, according to a source employed at Beverly Enterprises, Systematics shares office
space with Beverly Enterprises in several cities, exposing the Beverly Enterprises source to the fact that the Little Rock-based Systematics owns the Israeli Systematics and its corporate parent in Massachusetts.
Hubbell's financial and professional interests, prior to joining the Clinton Administration, may provide a possible motivation for several very anomalous actions involving his staff.
For example, Hubbell's aides reportedly refused a formal, written request from criminal investigators at the U.S. Customs Service for access to a federal grand jury in order to complete their two year investigation into whether Peter Videnieks, who served as Justice's PROMIS Contracting Officer and who was sharply criticized by the two lower federal courts for his role in the theft of PROMIS through "trickery, fraud and deceit," committed perjury when he denied under oath having a prior, undisclosed business relationship with Brian. Videnieks, who transferred from U.S. Customs to Justice to serve as PROMIS Contracting Officer, had by then returned to Customs with a promotion to head its Operations Procurement Division.
A second example concerns Brian, who has himself reportedly been under federal criminal investigation by the U.S. Attorneys Office in Los Angeles for securities fraud associated with the collapse several years ago of Financial News Network (FNN) at a time when Brian was the Chief Executive Officer (CEO). In early 1994, a lawyer assisting Hubbell on the review of the INSLAW affair, became Principal Assistant U.S. Attorney in Los Angeles. The investigation, which has reportedly been underway for several years, has never managed to reach closure. Brian tacitly acknowledged the seriousness of his exposure from the collapse of FNN by signing a consent agreement with the Securities and Exchange Commission (SEC) on the same day in June 1993 when the SEC filed a civil lawsuit against Brian and others for securities fraud connected to the collapse of FNN. The SEC had, inter alia, accused Brian of fabricating and backdating corporate records at FNN and of suborning subordinates to do likewise.\(^3\) Without admitting such criminal activity, Brian resolved his part of the lawsuit by promising the SEC not to commit the same kinds of fraud in the future.
Another example concerns Hubbell's staff's handling of information about an eyewitness who saw a man leave the hotel room of investigative journalist Danny Casolaro shortly before Casolaro's body was discovered. During a meeting between us, several members of Hubbell's staff, and three of our lawyers, an FBI Agent confirmed that the Martinsburg, West Virginia police had taken a statement from a maid at the Sheraton Hotel describing a man she claims to have seen leaving Casolaro's room immediately before his body was discovered. In a subsequent exchange of correspondence between one of Hubbell's aides and one of INSLAW's lawyers, both of whom were present during the aforementioned admission, the Hubbell aide sought to deny that the FBI Agent had made any such admission. Moreover, the Hubbell Report is not only silent
---
\(^3\)The SEC filed its suit against Brian about one week after the Clinton Administration issued the Bua Report which fully exonerated Brian and endorsed his credibility based on observations about his demeanor during the secret Bua investigation and also based on the existence of records maintained by a corporate subordinate of Brian that corroborated Brian's alibi for not having attended the Contra-support weapons demonstration with Michael Riconosciuto as discussed on page 7 of this memorandum.
about the existence of this witness but also affirmatively declares that no witness has ever come forward who claims to have seen anyone enter or leave Casolaro's hotel room the morning of the death.
The fourth example concerns the attempt of the Hubbell Report to discredit statements by two problematical witnesses who claim that Brian and Israeli intelligence colluded in 1986 to incapacitate INSLAW from pursuing its litigation about the theft of PROMIS, and the Hubbell Report's silence about the existence of a third and highly reputable corroborative witness, whose existence is known to Hubbell's aides. The Hubbell Report noted that a controversial former Israeli intelligence officer, and the former controller of the law firm that originally represented INSLAW, had each given consistent information about a scheme in 1986 to oust INSLAW's lead counsel from the law firm by secretly infusing almost $600,000 into the law firm to finance a severance agreement between the law firm and INSLAW's lead counsel. The Hubbell Report dismisses the allegations by citing questions about the veracity of the former Israeli intelligence officer, and by noting that the former controller of the law firm is himself currently serving time in federal prison for embezzling money from the firm. The Hubbell Report, however, is silent about the fact that one of Hubbell's aides had interviewed a former partner in the law firm who told INSLAW that he is in a position to corroborate the claims about this scheme to obstruct justice, as well as about the alleged roles of Brian and Israel in the scheme. The former partner is a member in good standing of the District of Columbia Bar. During a meeting with one of Hubbell's aides, a lawyer representing the former partner reportedly explained that the former partner is barred from voluntarily answering questions about the matter because he and other partners, associates and paralegals had been obliged to sign a non-disclosure agreement. Hubbell's aides reportedly never attempted to obtain a copy of the agreement nor to use a federal grand jury to compel the former partner to tell what he knows about the obstruction of justice.
The final example concerns a former associate of Casolaro who claims to know with whom Casolaro was scheduled to meet in Martinsburg, West Virginia the night before his death and the purpose of the meeting. The witness, William Turner, gave INSLAW a sworn affidavit stating that he had met with Casolaro in Martinsburg the afternoon before his death and that Casolaro had told him that he was planning to have his final, follow up meeting later that evening with Videnieks and others in order to confront them with certain evidence. According to Turner, the evidence consisted of PROMIS computer printouts from the World Bank Headquarters in Washington, D.C. and from the London operational headquarters of BCCI reflecting wire transfers of the proceeds of illicit sales to offshore bank accounts controlled by Videnieks and others. According to Turner, he had been present when Casolaro obtained copies of such documents from an NSA employee. Turner told INSLAW that an FBI Agent working for Hubbell on the review of the INSLAW affair had spoken to him briefly by telephone but failed to follow up with a face-to-face interview after Turner declined to answer questions without an opportunity to verify the FBI Agent's credentials in the course of a face-to-face meeting.
Justice released the Hubbell Report on September 28, 1994, almost six months after Hubbell's departure as Associate Attorney General. The release coincided with a hearing before the House Judiciary Subcommittee on Administrative Law and Governmental Relations to mark up and vote on the INSLAW Congressional Reference Bill. Shortly before the hearing, Justice
hand-delivered to all members of the Subcommittee a letter from Attorney General Janet Reno requesting that they vote against the INSLAW Congressional Reference Bill because her Administration would be releasing later that day a report accepting the *Bua Report* as dispositive of the INSLAW affair. Thereafter, Reno and former Reagan Attorney General Edwin Meese who, as noted earlier, is a long time close friend of Brian, each personally lobbied Congress against passage of the INSLAW Congressional Reference Bill, according to an article in the *Texas Observer*, dated November 11, 1994. All the Congressional Reference Bill would have accomplished is to give INSLAW another day in court by waiving technical defenses available to the Government, such as statutes of limitations and sovereign immunity, and facilitating a trial on the merits in an appropriate federal court.
The aforementioned actions by the Clinton Administration could be explained by a desire to preclude any further unraveling of the INSLAW scandal because of the alleged hidden roles in the INSLAW affair of Systematics and such Arkansas political insiders as Hubbell. Affixing the *imprimatur* of a Democratic Administration to an investigation conducted by a Republican Administration could have been a reasonable strategy for putting the INSLAW affair to rest, while avoiding any disclosure of the existence of an Arkansas dimension to this Reagan and Bush Administration scandal. The broad scope and forcefulness of the aforementioned Clinton Administration efforts, however, imply the existence of additional ramifications for the alleged role of Systematics and Arkansas political insiders in the INSLAW affair, beyond secretly supporting Allied intelligence agencies.
Our hypothesis, based on fragmentary evidence, is that one such ramification may be a connection between the alleged intelligence world use of PROMIS in the international banking system for the passive monitoring of money flows, and the use of the same software for the proactive laundering of money, especially drug money, through direct computerized access to the mainstream international banking system.
The first suggestion of the possibility that PROMIS is being used in money laundering, in general, and in the laundering of drug money, in particular, came to us in a question from an investigator for the House Judiciary Committee shortly after the Committee published its September 1992 *Investigative Report*. We were asked whether any of our sources had ever alleged that PROMIS is used in money laundering. Years later, we learned that the question had been prompted by the Committee's receipt of information that the Columbian drug cartels were using PROMIS to launder money.
There was, moreover, an alleged drug trafficking connection to at least one Reagan/Bush Administration covert intelligence operation in Arkansas. The same aircraft that flew war matériel, including matériel manufactured by the Hubbell family's POM, Inc., to the Contras from a U.S. intelligence facility in Mena, Arkansas, regularly returned to the United States laden with cocaine, according to reports in 1994 on the *CBS Evening News* and in *The Wall Street Journal*.
There have also been similar allegations about other secret Reagan/Bush Contra-support facilities, including one in Indio, California that allegedly involved not only trafficking in drugs
but also trafficking in stolen copies of PROMIS. Brian and Videnieks were, moreover, allegedly associated with this latter Contra-support facility. The Indio, California facility was a joint venture between the tiny Cabazon Indian tribe headquartered there and the giant Florida-based Wackenhut Corporation. The House Judiciary Committee linked Brian to the latter Contrasupport facility through a Riverside County, California law enforcement document whose existence it made public in its September 1992 *Investigative Report*. Brian and others, including Michael Riconosciuto, the Joint Venture's director of research, had been observed attending a September 1981 demonstration for leaders of the Contras of weapons that the Joint Venture would be producing for the Contras. Riconosciuto confirmed to INSLAW his and Brian's attendance at this Indio, California weapons demonstration for the Contras. Riconosciuto also told INSLAW that drug smuggling profits helped to defray the cost of the secret Contra supply network,\(^4\) and that Brian helped to facilitate the alleged Contra-support drug trafficking by compromising the United States Government's anti-smuggling plans.\(^5\) Riconosciuto, who is currently in federal prison for drug trafficking, claims also to have made modifications to the PROMIS software under the auspices of this secret Contra-support facility and to have had frequent visits from Brian and Videnieks because of this PROMIS work. Until Videnieks became Justice's PROMIS Contracting Officer in September 1981, he had administered U.S. Customs' contracts for its drug interdiction program.
The *Bua Report* attempted to debunk the local law enforcement report linking Brian and Riconosciuto, as well as Riconosciuto's claimed relationship with Videnieks. The U.S. Customs Service, however, obtained evidence that challenges such conclusions by the *Bua Report*. The Director of Administration at the Financial News Network (FNN) in Los Angeles, at a time when Brian was the Chief Executive Officer, gave a sworn statement to the U.S. Customs Service in which she claimed to have taken telephone calls from both Riconosciuto and Videnieks for Brian and/or FNN's Chief Financial Officer. She also claims in her affidavit to have seen a file of Hadron, Inc. correspondence at FNN Headquarters relating to the PROMIS software. Hubbell's staff, however, effectively precluded any effective challenge to the *Bua Report*'s pronouncements on such matters when Hubbell's aides, as noted earlier, refused a request from Customs investigators for access to a federal grand jury in order to pursue evidence and leads.
Brian, Videnieks and Riconosciuto were part of a profiteering confederation of current and former intelligence operatives who made money during the Reagan and Bush Administrations by selling various kinds of contraband, including weapons, drugs, stolen software such as PROMIS, and precious metals, according to statements made to INSLAW by Casolaro, an investigative reporter who had spent a year in full-time fact finding about the INSLAW affair before he was
---
\(^4\) The late CIA Director William Casey, who is widely believed to have been the mastermind of the Reagan Administration's privatized and self-financing covert intelligence initiatives, was outside counsel to the Wackenhut Corporation until he became CIA Director.
\(^5\) Brian's government contracting company, Hadron, Inc., was a major contractor of the U.S. Customs Service's anti-smuggling program along the Mexico-United States border throughout the 1980's. According to Hadron's 10-K Reports to the Securities and Exchange Commission, Hadron began acquiring U.S. Customs' anti-smuggling contractors the month after Ronald Reagan's election as President. Videnieks administered the U.S. Customs Service's anti-drug smuggling contracts with Hadron until Justice recruited him to administer the PROMIS procurement.
found dead in Martinsburg, West Virginia. Casolaro had gone to Martinsburg for a final, follow up meeting with sources on the INSLAW affair.
The prerequisites to using the banking industry version of PROMIS for money laundering would presumably be knowledge of the bank's current computer and telecommunications systems, including the security subsystems, a detailed understanding of how electronic funds transfers are made, and a detailed knowledge of how the PROMIS software has been adapted to support the wire transfer process. In view of Systematic's role as a vendor of computer systems and operational support services to the largest banks in the United States and in some 40 foreign countries, and in light of its alleged role as a secret contractor for U.S. and Israeli intelligence in the implementation of stolen copies of PROMIS for tracking and monitoring wire transfers, Arkansas would represent a logical choice for the expertise needed to support any computerized money laundering initiative.
In 1994, a former partner at Lehman Brothers, the Wall Street investment bank, published *Black Money*, a partially fictionalized account of how computer software, secretly implanted into the electronic funds transfer arena of the international banking system at the behest of U.S. intelligence, had been surreptitiously made to perform double duty as a giant electronic washing machine for the profits of the international drug cartels. According to *Black Money*, the journalist Casolaro was murdered to preclude his exposure of the link between this intelligence software and the worldwide laundering of drug profits.
The late Associate White House Counsel Vincent Foster, who had been a partner of Hubbell in the Rose Law Firm in Little Rock, also had a financial interest in Systematics, as evidenced by Foster's Financial Disclosure Report.\(^6\) Foster died on Tuesday, July 20, 1993 after an unexplained and unprecedented depression that, according to the Report of Independent Counsel Robert Fiske, developed during the week of Monday, July 12, 1993. Hubbell and Foster each separately journeyed to different vacation destinations on the Eastern Shore of Maryland later that same week on Friday, July 16, 1993, a fact attributed to coincidence in the Fiske Report. Thereafter, Mr. and Mrs. Foster checked out of the inn where they had stayed on Friday night and, on Saturday morning, joined Mr. and Mrs. Hubbell for the balance of the weekend at the Eastern Shore country home of a couple with whom both the Fosters and Hubbells had been friends, according to the Fiske Report.\(^7\) Hubbell also paid a visit to Foster's White House office on Monday, July 19, 1993, the day after their weekend together on the Eastern Shore and the day before Foster's death, according to the Fiske Report. Finally, Hubbell was with President Clinton Monday evening when the President telephoned Foster at his home and tried to persuade Foster
---
\(^6\) As with Hubbell's Financial Disclosure Report, Foster's stock ownership is in AllTel, the Little Rock telephone holding company that owns Systematics.
\(^7\) The couple, Michael H. and Harolyn Cardozo, do not appear to have any property on the Eastern Shore of Maryland, according to tax records and telephone records. Mrs. Cardozo's father, Nathan Landau, however, has a multi-million dollar country estate on Bailey's Neck Road in Trappe, Maryland according to tax records. Trappe is about 10 miles east of Oxford, Maryland where Earl Brian has his principal residence. Michael Cardozo is the Executive Director of President Clinton's legal defense fund. His father-in-law, Nathan Landau, one of the leading fund raisers for the Democratic Party nationally, is a lawyer and real estate developer whose principal residence is in Bethesda, Maryland.
to return to the White House to visit and watch a movie with his friends, according to press accounts of Fiske's deposition of the President. The Fiske Report stated that the Whitewater Affair does not seem to have been a factor in Foster's sudden depression. Fiske was unable, however, to identify why Foster became seriously depressed for the first time in his life during the week of July 12, 1993.
On Monday of the week in question, i.e., on July 12, 1993, INSLAW had submitted to Hubbell a 90-page Analysis and Rebuttal of the Bua Report, exposing glaring deficiencies in Bua's investigation. Calling attention to the pervasive fear of reprisal that had been independently confirmed by both of the Congressional Investigations into the INSLAW affair, the Rebuttal's Exhibit B summarized the statements that 11 different responsible witnesses have told INSLAW they would make under oath if the investigation were totally independent of the Justice Department. Each of the first three witnesses in Exhibit B is quoted about the collusion between Justice and U.S. intelligence on the secret use of PROMIS in the international banking system. If Foster's connection to Systematics went beyond a mere equity interest in its corporate parent, he may have had an additional worry that the Rebuttal might lead someone in Congress or the press to pursue these very kinds of leads and thereby discover the hidden Arkansas component of the INSLAW affair. Hubbell and his staff made repeated demands for the names of these witnesses even though Justice was in a position to determine the truth or falsity of many of the statements attributed to the unnamed witnesses simply by comparing the PROMIS source code with the source code of alleged clones of PROMIS in various offices.
In addition to the attached set of questions for Hubbell, we believe that both the Office of Independent Counsel and the appropriate Congressional oversight committee(s) should also seek evidence about the following questions:
- Has Systematics provided PROMIS implementation and support services to the NSA in the international banking arena, as alleged by a number of INSLAW's sources?
- Did either Foster and/or Hubbell provide legal services to this Rose Law Firm client in connection with its alleged PROMIS work for the NSA?
- Did the dates and dollar amounts of any such services oblige Foster and/or Hubbell to disclose such services on their Financial Disclosure Reports at the beginning of the Clinton Administration?
- Have Hubbell or Foster ever directly communicated with or met Brian whose principal residence is on the Eastern Shore of Maryland?
- Is there any White House record of Foster having received copies of the Bua Report or of the INSLAW Rebuttal?
- Were documents relating to Systematics among the documents removed from Foster's White House office immediately following his death?
• Did Hubbell influence actions by the Clinton Justice Department to obstruct justice through any of the following:
■ denying grand jury support needed to complete an on-going federal criminal investigation by the U.S. Customs Service into whether Videnieks, currently an employee of the U.S. Customs Service, committed perjury when he denied under oath that he had had an undisclosed business relationship with Brian while serving as the Justice Department's PROMIS Contracting Officer;
■ arranging for one of Hubbell's aides in the review of the INSLAW affair to become Principal Assistant U.S. Attorney in Los Angeles in order to manipulate an on-going criminal investigation by that office of Brian for securities fraud in connection with the collapse of Financial News Network (FNN) of Los Angeles at the time that Brian was the FNN Chief Executive Officer;
■ attempting to retract an earlier admission by an FBI Agent about the existence of an eyewitness description of a man seen leaving Casolaro's hotel room shortly before Casolaro's body was discovered, and affirmatively declaring in the Hubbell Report that no witness ever came forward who claims to have seen anyone entering or leaving Casolaro's hotel room on the morning of the death;
■ concealing in the Hubbell Report the existence of a reputable corroborative witness on the alleged collusion between Brian and the Israeli Government in a scheme in 1986 secretly to infuse over half-a-million dollars into a law firm representing INSLAW with the objective of incapacitating INSLAW from litigating the Justice Department's theft of PROMIS;
■ refusing to petition the U.S. Court of Appeals for the appointment of an Independent Counsel in the INSLAW affair when requested to do so in writing by a credible witness, former Attorney General Elliot Richardson, detailing specific allegations of apparent obstruction of justice in the Hubbell review of the INSLAW affair; and,
■ lobbying Congress in an effort to preclude INSLAW from being able to submit its claim against the Justice Department for discovery and trial before an appropriate federal court.
Attachment: Following is a Set of 20 Suggested Topics, Each Topic Preceded by a Background Summary, for Use in Questioning Former Associate Attorney General Webster Hubbell Concerning His Apparent Financial and Professional Conflicts of Interest in Directing the Clinton Administration's Review of the INSLAW Affair. Also Included is a List of 43 Exhibits for the Background Summaries. The Actual Documents on the Exhibit List May be Obtained from INSLAW, Inc.
Background Summary for Topic #1
U.S. Justice Department officials, in effect, committed felony theft by stealing INSLAW's PROMIS computer software product in the winter and spring of 1983 "through trickery, fraud and deceit." These were among the fully-litigated findings of fact of two sitting federal judges, U.S. Bankruptcy Judge George F. Bason, Jr. in January 1988 (Exhibit #1) and Senior U.S. District Judge William B. Bryant, Jr. in November 1989 (Exhibit #2). The courts found that the Justice Department had stolen over $6 million of the PROMIS software for use in the 42 largest U.S. Attorneys Offices.
When the U.S. Court of Appeals for the District of Columbia overturned the two lower court decisions in May 1991 (Exhibit #3), it did so on the basis of a jurisdictional technicality, and did not address the merits of the findings of fact.
Still later, in September 1992, the House Judiciary Committee issued its own Investigative Report, entitled *The INSLAW Affair* (Exhibit #4), which independently confirmed the principal findings about the Justice Department's theft of PROMIS, on the basis of a three year-long investigation. The House Judiciary Committee further reported that the software theft that was litigated before the two lower federal courts may have been only the tip of the iceberg because stolen copies of PROMIS may have been disseminated outside the U.S. Attorneys Offices, in explicit contravention of the contract. The alleged sales and distributions of PROMIS were, according to the House Judiciary Committee, to U.S. Government and foreign government intelligence agencies through private sector friends of the leadership of the Department of Justice for their own personal financial gain and in support of the intelligence and foreign policy objectives of the United States.
All 21 Democrats on the House Judiciary Committee signed a letter to Attorney General William P. Barr, Jr. on September 10, 1992 (Exhibit #5), demanding that the Attorney General petition the U.S. Court of Appeals, Special Division on Independent Counsel, for the appointment of an Independent Counsel to investigate the INSLAW affair, including the possible obstruction of Congressional oversight by Reagan Administration Attorneys General. In September 1989, the Senate Permanent Investigations Subcommittee had also alleged possible Reagan Justice Department obstruction of Congressional oversight in the INSLAW affair in a *Staff Report* (Exhibit #6) that stated that Justice had refused to allow the Subcommittee access to many of the documents and Justice employees it sought to access.
On June 17, 1993, Attorney General Janet Reno publicly released an investigative report on INSLAW that had been prepared by Justice Department Special Counsel Nicholas J. Bua (Exhibit #7), a former federal district court judge in Chicago, and his staff of salaried Justice Department prosecutors and investigators. That report contradicted the fully-litigated findings of fact of the two lower federal courts, as well as the investigative findings of the House Judiciary Committee, and purported to clear the Department of Justice of any criminal wrongdoing against INSLAW. Bua and his staff had delivered the Report to Attorney General Reno in March 1993, shortly after her swearing in as Attorney General, and had simultaneously briefed on the Report.
In a letter to INSLAW Counsel Elliot Richardson dated June 17, 1993 (Exhibit #8), Hubbell conveyed a copy of the Bua Report and announced as follows:
Attorney General Reno has asked me to review Judge Bua's report as part of the process of bringing the INSLAW matter to a final resolution.
Deputy Attorney General Philip Heyman had primary responsibility for the Department's criminal investigative and prosecutive resources, and Hubbell, as Associate Attorney General, had primary responsibility for civil justice matters.
Questions for Topic #1
Who made the decision to assign the INSLAW case to you for review?
What was the logic for assigning the INSLAW matter to you rather than Deputy Attorney General Heyman?
What role, if any, did you play in the Reno Justice Department's review and release of the Bua Report?
Were any White House officials involved in any way in the review and release of the Bua Report?
Attorney General William Barr had recused himself on INSLAW right before he left the Justice Department because he was returning to his former law firm which was representing Earl W. Brian in the Bua investigation, but why did Judge Bua not submit the Bua Report to Acting Attorney General Stuart Gerson?
Did you have any participation in the decision for Judge Bua to defer delivery of the Bua Report until the Clinton Administration had its own Attorney General in place?
Did Associate White House Counsel Vince Foster play any role in the Clinton Administration's decisions on the Bua Report or on the assignment of the INSLAW case to you at the Justice Department?
Did Bruce Lindsey have any role in the Clinton Administration's review of or decisions on the Bua Report, or on the decision to assign the INSLAW case to you as Associate Attorney General?
When John Dwyer left the White House to join your staff as Assistant Associate Attorney General, had it already been decided that you would be assigned the INSLAW case?
What kinds of changes, if any, were made to the *Bua Report* at the behest of the Clinton Justice Department between Bua's delivery of his report to Attorney General Reno in March 1993 and the Clinton Administration's release of the *Bua Report* in June 1993?
Did you have any communications with Bua prior to his delivery of the Bua Report to Attorney General Reno in March 1993?
Were you present during the briefing of Attorney General Reno by Bua and his staff in March 1993? If so, who else was present?
On July 12, 1993, and on February 15, 1994, INSLAW Counsel Elliot Richardson had hand-delivered to Hubbell letters of transmittal (Exhibits #9 and #10) for five copies of *INSLAW's Analysis and Rebuttal of the Bua Report* and an *Addendum* to that rebuttal, respectively (Exhibits #11 and #12).
Hubbell announced his resignation as Associate Attorney General on March 14, 1994 which was apparently effective around the middle of April 1994.
On September 28, 1994, Attorney General Janet Reno released her Administration's review of the Bua Report, dismissing INSLAW's criticisms in the Rebuttal and the Addendum and endorsing the Justice Department's complete exoneration of itself through the Bua Report.
Attorney General Reno released her Administration's review of the INSLAW case on the same afternoon when the House Judiciary Subcommittee on Administrative Law and Governmental Relations was meeting to "mark up" a Congressional Reference Bill for INSLAW which would automatically waive any statute of limitation questions and enable the dispute between INSLAW and the Justice Department to be adjudicated in the U.S. Court of Federal Claims. This report, believed to be the Hubbell Report, bore no names of authors or contributors, including Hubbell himself.
On the same day, Attorney General Reno had a letter hand-delivered to the members of the subcommittee (Exhibit #13), urging them to vote against the pending INSLAW Congressional Reference Bill.
The *Bua Report* declared that the Reagan Justice Department had not stolen PROMIS from INSLAW in the winter and spring of 1983, notwithstanding the fully-litigated findings to the contrary by two sitting federal judges, findings that were later independently confirmed and supplemented by the three-year investigation conducted by the House Judiciary Committee.
The *Bua Report* declared that the Reagan and Bush Justice Departments had not obstructed Congressional oversight of the INSLAW affair, notwithstanding investigative findings to the contrary by the Senate Permanent Investigations Subcommittee in its September 1989 *Staff Report* and by the House Judiciary Committee in its September 1992 *Investigative Report*. For example, on his last day as Attorney General, Meese had in fact ordered Justice officials who had been subpoenaed to testify on INSLAW before the Senate Permanent Investigations Subcommittee not to testify.
Although the Bua Report stated that the Justice Department had "bargained away" many of its rights when it negotiated Modification #12 to INSLAW's PROMIS Implementation Contract in April 1983 and thereby obtained a copy of the proprietary version of PROMIS from INSLAW, the Reno Administration's report dismisses any such concern by declaring that INSLAW is not owed any money. It was this very modification to the contract that the two lower federal courts and the House Judiciary Committee had found had been negotiated with the objective of stealing the proprietary version of PROMIS "through trickery, fraud and deceit."
Attorney General Reno and former Attorney General Edwin Meese each personally lobbied members of Congress to block the INSLAW Congressional Reference Bill and prevent INSLAW from obtaining another day in court, according to an article in the *Texas Observer* on November 11, 1994 (Exhibit #14).
Hubbell was still working on the Reno Justice Department's report on INSLAW in mid-April 1994, according to the April 9, 1994 column by nationally syndicated columnist Robert Novak (Exhibit #15).
After leaving his position as Associate Attorney General in approximately mid-April 1994, Hubbell continued for a number of months thereafter to work at the Justice Department several days a week, according to the *New York Post* of October 19, 1994, which attributes the information to New York County District Attorney Robert Morgenthau (Exhibit #16).
Questions for Topic #2
Did you ever submit to Attorney General Reno your report on the INSLAW case?
If so, approximately when did you submit it?
Did you consult with the Justice Department on your INSLAW report during the summer of 1994 after you were no longer the Associate Attorney General?
Do you know why the Attorney General waited until the very afternoon in late September 1994 when the House Judiciary Subcommittee on Administrative Law and Governmental Relations was meeting to mark up the INSLAW Congressional Reference Bill before releasing her Administration’s report on INSLAW?
Do you believe that it was appropriate for the Justice Department, as a party in interest in INSLAW’s litigation, to have the Attorney General of the United States seek to use her office to lobby against allowing the INSLAW disputes to be adjudicated in court?
If the report released by the Attorney General on September 28, 1994 was substantially the Hubbell Report prepared under your auspices, how do you explain Justice’s failure to reveal the names of the authors and contributors?
Background Summary for Topic #3
INSLAW Counsel Elliot Richardson, INSLAW Counsel Charles Work, and INSLAW's owners, Mr. and Mrs. William A. Hamilton, met with Attorney General Janet Reno on June 12, 1993 to discuss the INSLAW case. Justice Department Special Counsel Nicholas J. Bua and his staff had delivered the *Bua Report* to Attorney General Reno and briefed her on it within days of her swearing in as Attorney General in March 1993.
The Attorney General reportedly made no mention of the Bua Report during the meeting, even though her release of the Bua Report was imminent and the Bua Report totally contradicted the record in the case to that date. The Attorney General reportedly made no mention of the fact that the INSLAW case had already been assigned to Hubbell, although INSLAW had reportedly been told of that assignment, weeks prior to the meeting with the Attorney General, by sources connected to the Central Intelligence Agency.
The official calendars of the top Justice Department officials for the day of the INSLAW meeting with the Attorney General reportedly indicated that both Hubbell and Deputy Attorney General Heyman were scheduled to join Attorney General Reno in the INSLAW meeting, but neither Hubbell nor Heyman was present during the Attorney General's meeting with INSLAW.
It its Rebuttal and Addendum to the *Bua Report*, INSLAW depicts the National Security Agency (NSA) as, in effect, the senior partner of the U.S. Justice Department in the alleged illegal dissemination of PROMIS, Israeli intelligence as a cutout for the U.S. Government in the alleged PROMIS intelligence initiative, and Earl W. Brian and the late British publisher Robert Maxwell as two of the principal PROMIS sales people for U.S. and Israeli intelligence.
Questions for Topic #3
Is it true that you and Mr. Heyman were scheduled to participate in the meeting? If so, what happened to cause you and Mr. Heyman not to attend?
Why did Attorney General Reno release the Bua Report a week after meeting with INSLAW but without having even mentioned the Bua Report to INSLAW?
During his confirmation hearing, Deputy Attorney General Heyman testified that the Bua Report would be reviewed in draft form by INSLAW's lawyers before being released by the Reno Justice Department. Why did this not happen?
Is it true that the INSLAW case had been assigned to you before Attorney General Reno had her meeting with INSLAW and, if so, why did she not disclose that fact to INSLAW during the meeting?
Was a draft of the *Bua Report* provided to any of the following prior to its release by the Justice Department?
- The NSA
- The White House
- Associate White House Counsel Vince Foster
- Bruce Lindsey
- The Government of Israel
- Earl Brian
- Peter Videnieks
Background Summary for Topic #4
In Hubbell's Financial Disclosure Report (Exhibit #17), Hubbell lists Beverly Enterprises as one of 17 Rose Law Firm clients for which Hubbell performed in excess of $5,000 of legal services.
In 1974, executives of Beverly Enterprises reportedly helped to finance the U.S. Senate Republican Primary campaign in California of Earl W. Brian (Exhibits #18 and #19). Immediately before seeking the Republican nomination for U.S. Senate, Brian, as Governor Ronald Reagan's Secretary of Health and Welfare, had regulated the amount of fees that Beverly Enterprises could charge the State of California for the health-care of indigent persons in its nursing homes.
In January 1991, Beverly Enterprises purchased from INSLAW, Inc. a version of its case management software product newly produced by INSLAW for operation on a popular new IBM mid-range computer, known as the AS/400.
Later in 1991, Beverly Enterprises relocated its corporate headquarters from Pasadena, California to Ft. Smith, Arkansas. In 1992, Beverly Enterprises entered into a long-term contract with Systematics of Little Rock for computer data processing support. Jackson Stephens, a major financial contributor to the 1992 Presidential campaigns of both President George Bush and Governor Bill Clinton, was the chief financial backer during the 1980's of both Beverly Enterprises and Systematics, Inc.
In July, 1990, approximately six months before Beverly Enterprises bought the AS/400 version of INSLAW's case management software, Systematics set up the Mid-Range Systems Division in Orlando, Florida to market its bank software for operation on AS/400 computers. This division was created out of Systematics' acquisition of HORIZON Financial Software Corporation of Orlando in July, 1990.
Questions for Topic #4
What year did you begin performing legal services for Beverly Enterprises?
Were you performing legal services for Beverly Enterprises in 1990, the year of its negotiations with INSLAW over the purchase of a license to the new AS/400 version of INSLAW's computer software product?
Were you performing legal services for Beverly Enterprises in 1991, the year of the software license sale to Beverly Enterprises?
As a lawyer for Beverly Enterprises, did you have any contemporaneous knowledge of the purchase of the license to the INSLAW software product?
Had you ever met or heard of Earl W. Brian in connection with your legal representation of Beverly Enterprises?
Did you ever have any business or social dealings with Earl W. Brian before joining the Clinton Administration?
Were you still representing Beverly Enterprises when it "outsourced" its computer data processing to Systematics?
Did you have any contemporaneous knowledge of or involvement in the outsourcing contract?
Do you know whether Systematics ever acquired access to the AS/400 version of INSLAW's case management software from Beverly Enterprises?
Do you know whether Systematics' Mid-Range Systems Division of Orlando, Florida, has ever marketed, sold, implemented or supported PROMIS or PROMIS-derivative software products for operation on IBM AS/400 mid-range computers?
Do you know, from any source whatsoever, whether the National Security Agency or Systematics had any role in the decision by Beverly Enterprises to buy the AS/400 mid-range computer version of INSLAW's case management software?
Hubbell did not list Systematics in his Financial Disclosure Report (Exhibit #17) as one of the Rose Law Firm clients for whom he did at least $5,000 worth of legal work, although the Rose Law Firm is the outside counsel for Systematics according to Moody's (Exhibit #20) and Hubbell and Hillary Rodham Clinton were attorneys of record for Systematics in at least one matter, i.e., litigation in federal district court in Washington, D.C., according to the *Wall Street Journal* (Exhibit #21).
According to the same Financial Disclosure Report, Hubbell has a financial interest in Systematics by virtue of ownership of stock in AllTel, the Little Rock telephone holding company that has wholly owned Systematics since some point in the early 1990's.
Systematics is reportedly one of the leading vendors of computer software products and services to banks in the United States and abroad, and currently has bank customers in as many as 40 different countries.
In January 1994, the *International Banking Regulator* published two investigative articles (Exhibits #22 and #23) claiming that the U.S. National Security Agency has been using stolen copies of INSLAW's PROMIS software to tap into foreign banks' computer data. According to these articles, the NSA and the Justice Department colluded in June 1983 on the implementation of stolen copies of INSLAW's PROMIS in the World Bank and the International Monetary Fund. These were copies of the same version of PROMIS that the two lower courts ruled the Justice Department had stolen from INSLAW in April 1983 "through trickery, fraud and deceit," i.e., the version of PROMIS for operation on the then new and popular VAX mid-range computer from Digital Equipment Corporation.
According to INSLAW, other confidential sources have stated that the U.S. Government also arranged for the implementation of a stolen copy of PROMIS in the Bank of Credit and Commerce International (BCCI) in support of its London operational headquarters, in the major wire transfer clearinghouses such as FEDWIRE, CHIPS, SWIFT and SPRINT, and in major commercial banks throughout the world.
Hubbell's aforementioned legal representation of Systematics was in connection with litigation in 1978 arising out of the initial effort by BCCI to take over First American Bank in Washington, D.C., then called Financial General Bankshares. The Securities and Exchange Commission (SEC) brought a civil suit in federal district court in Washington, D.C. against BCCI and others, including Jackson Stephens, a major financial backer of both Systematics and Beverly Enterprises. In the complaint (Exhibit #24), the SEC alleged that Jackson Stephens had attempted to force the bank to replace its computer software with software sold by Systematics.
According to his Financial Disclosure Report (Exhibit #25), the late Vincent W. Foster also had a financial interest in Systematics by virtue of owning shares of common stock in its corporate parent, AllTel.
Questions for Topic #5
Did you do more than $5,000 worth of legal work for Systematics in the final two years before becoming Associate Attorney General?
If so, why did you fail to disclose Systematics on your Financial Disclosure Report as one of the Rose Law Firm clients for whom you performed at least $5,000 in legal work?
Did you provide legal services to Systematics during the 1980's and 1990's prior to joining the Clinton Administration?
What is your estimate of the amount of fees you billed to Systematics in the years prior to becoming Associate Attorney General?
To your knowledge, has Systematics ever done work for or in connection with the National Security Agency, the World Bank, the International Monetary Fund, BCCI, or any of the leading wire transfer clearinghouses (FEDWIRE, CHIPS, SWIFT and SPRINT)?
To your knowledge, has Systematics ever sold, distributed, adapted or implemented INSLAW's PROMIS software or any derivative thereof?
To your knowledge, did the late Associate White House Counsel Vince Foster ever have any professional or financial connection to Systematics or to NSA beyond his ownership of shares in AllTel?
To your knowledge, were documents about Systematics in Little Rock among the documents removed from Mr. Foster's White House office shortly after his death?
Have you ever had any other professional or financial connections with Systematics, beyond those already discussed?
Have you ever had any professional or financial connections with NSA?
Did either you or Vincent Foster ever represent NSA's alleged interests in Systematics in any fashion, and, if so, did either of you ever receive any compensation for such services from any source whatsoever?
Background Summary for Topic #6
There are two Systematics companies in Israel that, as with the Systematics company in Little Rock, reportedly sell computer software and services to banks and telephone companies. These Israeli Systematics companies, Systematics, Ltd. and Systematics Technologies, are located at the same address in Ramat-gan, a suburb of Tel Aviv. Systematics, Ltd. is headed by Oded Leventer; the other Systematics is headed by his brother, Yoav.
Oded Leventer contacted INSLAW twice in early 1987 (Exhibit #26 and #27) for product and marketing brochures on PROMIS.
In 1979, the Leventer brothers and Dr. Harry C. Wechsler co-founded another Systematics company, Boston Systematics of Worcester, Massachusetts, along with Dr. Harry C. Wechsler who lives in Weston, Massachusetts, a suburb of Boston (Exhibit #28). Boston Systematics reportedly wholly-owns the two Israeli Systematics companies but is itself little more than an answering machine and a mail drop. In fact, the message on the Boston Systematics answering machine refers callers to Farboil Company in Baltimore, Maryland, which, like Boston Systematics, is headed by Dr. Harry C. Wechsler.
Dr. Harry C. Wechsler is reportedly the same person as Henry C. Wechsler, who is listed as a member of the Association of Former Intelligence Officers, according to its 1979 membership directory (Exhibit #29).
The Leventer brothers are allegedly contractors for Israel's Mossad intelligence service.
The controversial former Israeli intelligence officer, Ari Ben Menashe, claims that the Leventer brothers implemented INSLAW's PROMIS in Guatemala after it was sold there by the late British publisher Robert Maxwell on behalf of Israeli intelligence. According to Ben Menashe, Guatemala uses PROMIS to monitor and control political dissidents. Ben Menashe also claims that the two Israeli Systematics companies are affiliated with the Little Rock Systematics company, and that Hubbell has had an interest in the PROMIS intelligence business of those companies.
According to Rodney Bauer, a reporter with the Arkansas Democrat-Gazette, a confidential source, currently employed at Beverly Enterprises, sent word to Bauer in January 1995 through an intermediary that Systematics shares office space with Beverly Enterprises in various locations in the United States and that as a consequence of the proximity in the operations of the two companies, the Beverly Enterprises employee had learned that Systematics of Little Rock owns Boston Systematics in Worcester, Massachusetts and the Systematics in Israel.
Questions for Topic #6
Have you ever had any knowledge of or relationship with any of the following:
- Harry C. Wechsler
- Henry C. Wechsler
- Oded Leventer
- Yoav Leventer
- Boston Systematics
- Systematics, Ltd.
- Systematics Technologies
Are you aware of any connection between the Little Rock Systematics and either of the Israeli Systematics companies or the Boston Systematics company?
Have you ever had a financial interest or professional connection with Boston Systematics or either of the Israeli Systematics companies?
If stolen copies of PROMIS have been, as alleged, implemented in international banks and wire transfer clearinghouses in order to enable the NSA surreptitiously to monitor the flow of money, the intelligence information would presumably help the United States combat drug trafficking, international terrorism, illegal campaign contributions and so forth.
In theory, the same software could be used by insiders, whether in the intelligence community itself or among the contractors who implement and support such software for the NSA, to launder their own money by entering data directly into the computer systems of the banks about fictitious commercial transactions between various companies.
The CBS Evening News (Exhibit #30), the Wall Street Journal's editorial page (Exhibits #31 and #32) and other media published articles in 1994 about Mena, Arkansas allegedly serving as a point of supply of weapons for the Contras in Nicaragua during the Reagan and Bush Administrations, and as a point of entry into the United States for large volumes of illegal drugs from South America. On January 3, 1995, The Washington Times published a front-page story on allegations about massive trafficking through Mena, Arkansas of cocaine from the Columbian cartels (Exhibit #33). The same pilots and aircraft that flew weapons to the Contras from Mena, Arkansas returned to the United States filled with illegal drugs from South America.
According to Hubbell's Financial Disclosure Report, POM, Inc. is one of the Rose Law Firm clients for whom you did at least $5,000 worth of legal work. According to an article in Nation Magazine on April 6, 1992 (Exhibit #34), Mrs. Hubbell's family owns POM, Inc., which is a manufacturer of parking meters that also had U.S. government contracts during the Reagan and Bush Administrations to manufacture casings for shells being flown to the Contras in Nicaragua through a special U.S. intelligence facility in Mena Arkansas.
Earl Brian's government contracting company, Hadron, was a U.S. Customs Service contractor throughout the 1980's in the U.S. Government's primary program to interdict airborne drug smuggling from South America. After the election of 1980, Brian acted quickly to put Hadron in a position to take advantage of his ties to Meese and others in the newly elected administration. Hadron's first post-election move, was to acquire companies supporting federal law enforcement efforts to control the smuggling of drugs across the Mexican border. According to Hadron's 10K report to the Securities and Exchange Commission in 1981, Hadron purchased Universal Systems, Inc., in December 1980, the month after Ronald Reagan was elected, and purchased T-Systems, Inc., in February 1981, the month after Ronald Reagan's inauguration. In its 10K report for 1984, Hadron refers to its contract with the U.S. Customs Service "in the field of the enforcement of anti-smuggling of contraband drugs."
Peter Videnieks administered these U.S. Customs Service anti-smuggling contracts with Hadron. According to his deposition by INSLAW in 1987, Videnieks left the U.S. Customs Service for the Justice Department after being recruited specifically to administer the PROMIS procurement and the PROMIS implementation contract.
In 1994, Michael Thomas, formerly a partner of Lehman Brothers, a Wall Street Investment Bank, published a novel on organized crime's unauthorized access to sophisticated bank industry software to launder $300 billion dollars annually in drug profits. In this partially fictionalized account, a U.S. law enforcement agency, fictionally called Joint Expedited Data Interface or JEDI, had initially arranged for this software to be implemented in wire transfer clearinghouses and banks so that U.S. intelligence and law enforcement agencies could secretly monitor wire transfers of money and, thereby, combat money laundering, drug trafficking and, terrorism. In the novel, organized crime directly penetrated the banks' computers and used the same software to record data about fictitious commercial transactions in order to launder the profits from illegal drug trafficking.
The description of the fictional JEDI agency closely matches what is publicly known about a federal agency, FINCEN, the Financial Crimes Enforcement Network of the U.S. Department of Treasury.
In the novel, two journalists, free-lance investigative reporter Danny Casolaro and Hispanic editor Sr. Manuel de Dios, were murdered because they got too close to exposing organized crime's access to this software for money laundering. Casolaro was found dead in his hotel room in Martinsburg, West Virginia on August 10, 1991, the morning after he was scheduled to have a final, follow-up meeting with sources on the INSLAW scandal.
At about the time when the House Judiciary Committee released its September 1992 Investigative Report, *The INSLAW Affair*, one of the Committee's investigators asked INSLAW if any of INSLAW's confidential sources had ever alleged that PROMIS is used in money laundering. INSLAW learned years later that the question had resulted from the Committee's receipt of allegations that the Columbian drug cartels were using PROMIS to launder their profits.
Michael Riconosciuto, who served as Director of Research for another secret Contra supply facility during the Reagan Administration, i.e., the Joint Venture in Indio, California between the giant Wackenhut Corporation of Florida and the Cabazon Indian Tribe, told INSLAW that profits from drug smuggling were used to finance the secret Contra supply network, including the Mena, Arkansas operation. Riconosciuto, who is himself currently in federal prison for drug trafficking, further told INSLAW that Earl Brian and Peter Videnieks, the Justice Department's PROMIS Contracting Officer, were frequent visitors together to the Joint Venture in Indio because the Joint Venture was making modifications to PROMIS preparatory to Brian's sale of PROMIS abroad. According to Riconosciuto, Brian also directly assisted the related drug smuggling operation by compromising the U.S. Customs Service electronic program along the Mexican border to detect and interdict aircraft smuggling drugs into the United States.
Questions for Topic #7
Have you ever heard, from any source whatsoever, of a connection between money laundering and the PROMIS software?
Have you ever heard, from any source whatsoever, of the use of PROMIS in laundering drug profits, including but not limited to the profits from any transactions through Mena, Arkansas?
Have you ever heard of any connection between the PROMIS software and the mission of FINCEN?
Had you ever had any awareness, prior to joining the Clinton Administration, of the involvement of Earl Brian or Hadron, Inc. as a contractor for the U.S. Customs Service in the government's anti-smuggling program?
On September 20, 1993, Hubbell Wrote to INSLAW Counsel, Elliot L. Richardson, (Exhibit # 35) regarding his review of the Bua Report and INSLAW's July 12, 1993 Analysis and Rebuttal of the Bua Report. This was Hubbell's first response to the Rebuttal and most of it is devoted to Hubbell's effort to obtain, no later than October 15, 1993, the names and telephone numbers of INSLAW's confidential sources, including those 11 witnesses whose statements are summarized in the Rebuttal's Exhibit B.
INSLAW explained in the Rebuttal that the 11 confidential witnesses are unwilling to come forward because of fear of reprisal. INSLAW, however, provided background information in the Rebuttal's Exhibit B so it would be clear that most of the witnesses have held responsible government positions.
In his letter, Hubbell appears to express some doubt about the legitimacy of the witnesses' fear of reprisal:
At the same time, I understand and am sensitive to the need to overcome the fear, whether justified or not, that some witnesses may have of reprisals.
The fear of reprisal among witnesses in the INSLAW affair has, however, been independently confirmed by two Congressional investigations.
The September 1989 Staff Report of the Senate Permanent Investigations Subcommittee stated, for example, that a number of Justice employees, with apparent knowledge about the INSLAW affair, told the staff that they would like to reveal what they know, but are fearful of the consequences of doing so.
The September 1992 House Judiciary Committee Investigative Report stated that there were even indications that Justice had attempted to intimidate an active duty FBI agent who gave 11 hours of sworn testimony to the Committee's investigators.
On March 9, 1993, Hubbell's aide, John C. Dwyer, wrote a letter to INSLAW Counsel Charles R. Work (Exhibit #36) in which he reiterated the importance of obtaining the names of INSLAW's confidential witnesses.
Finally, I am interested to hear how your efforts at getting your sources to come forward have fared. As I informed you during our meeting, I believe they represent the most important potential source of new information at this point in time.
In actuality, Justice could have independently established the truth or falsity of much of the information attributed to INSLAW's confidential sources in the Rebuttal's Exhibit B without knowing the identity of the sources.
The following witnesses, for example, were quoted as making claims that various organizations were using stolen copies of PROMIS, claims that are uniquely susceptible to independent verification through a comparison of the source code of PROMIS and the source code in the alleged clone system. The first three witnesses described an implementation of stolen copies of PROMIS in June 1983 at the World Bank Headquarters and International Monetary Fund Headquarters in Washington, D.C. Witness #5 stated that the FBI's FOIMS system is based on PROMIS; witnesses #4 and #8 alleged a direct connection between the Justice Department's Justice Command Center and stolen copies of PROMIS. Witness #9 claimed that stolen copies of PROMIS are used in the Office of the Attorney General of the United States, at the CIA and
FOIA(b)(3) - 50 USC 3024(i)(1) - Intelligence Sources and Methods
Questions for Topic #8
In your first letter to INSLAW following its submission to you of the July 12, 1993 Analysis and Rebuttal of the Bua Report, you emphasized the critical importance of immediately obtaining the names and telephone numbers of INSLAW's 11 confidential sources whose statements are described in Exhibit B of the Rebuttal.
Your aide, John C. Dwyer, reiterated this point in a letter to INSLAW dated November 9, 1993.
Justice could have independently established the truth or falsity of much of the statements attributed to these witnesses simply by doing source code comparisons between PROMIS and various alleged clone systems, including systems in various offices of the Justice Department such as the Office of the Attorney General and the FBI, and other U.S. Government offices, such as the CIA.
Why were you and Dwyer so insistent on obtaining the names of the confidential witnesses when you could have investigated most of the claims without knowing the identities of the claimants?
In your letter to INSLAW, you exhibited skepticism about the legitimacy of the witnesses' fear of reprisal. Why were you skeptical about this in light of the fact that two Congressional investigations into the INSLAW affair had already independently confirmed a pervasive fear of reprisal among witnesses?
Background Summary for Topic #9
In a letter to INSLAW Counsel Elliot Richardson dated September 20, 1993 (Exhibit #35), Hubbell stated that he had designated one of his assistants, John Dwyer, "to receive, in confidence, information bearing on INSLAW's claims."
Mr. Dwyer is a young lawyer from a law firm in San Francisco, Jackson, Tufts, Cole & Black, who initially went to work in the White House at the beginning of the Clinton Administration and then went to work for Hubbell at the Justice Department.
Mr. Dwyer does not appear to have had any prior experience as a prosecutor or investigator.
Questions for Topic #9
How did Dwyer come to your attention as a candidate for appointment as Assistant Associate Attorney General?
What is it about Mr. Dwyer's background and/or experience that, in your opinion, made Dwyer an appropriate person to be your chief investigator on your review of the INSLAW affair?
Did you ever attempt to find out whether Dwyer had any pre-existing relationship with Californians allegedly involved in the INSLAW affair such as D. Lowell Jensen, Edwin Meese or Earl Brian?
At the time you brought Mr. Dwyer from the White House to the Justice Department, did you already intend to assign him to assist you in the INSLAW case?
The Justice Department's PROMIS Contracting Officer, who was harshly criticized in the fully-litigated findings of fact of the two lower federal courts, is reportedly currently working at the U.S. Customs Service as the director of a procurement division. The House Judiciary Committee found some corroboration for allegations that the individual in question, Peter Videnieks, had had a relationship with Earl W. Brian, before being named as the Justice Department's PROMIS Contracting Officer.
The U.S. Customs Service Internal Affairs organization conducted a federal criminal investigation for over two years to determine whether this individual had committed perjury in denying under oath any prior relationship with Earl Brian.
In a letter to Attorney General Reno dated August 26, 1994, INSLAW Counsel Elliot Richardson asks that the Attorney General look into the possibility that Mr. Dwyer obstructed justice by refusing to honor a formal, written request from U.S. Customs investigators for help in completing their investigation. The Customs investigators reportedly furnished to Mr. Dwyer a written summary of the evidence they had developed during the two-year-long field investigation, without benefit of a federal grand jury, and requested access to grand jury subpoenas to compel testimony from two dozen enumerated individuals in order to complete the investigation. The federal investigators also asked for authority to compare the sworn statements they took from selected witnesses with sworn statements made by the same witnesses before the Bua grand jury.
Mr. Dwyer reportedly refused to grant access to federal grand jury subpoenas or access to the transcript of the Bua grand jury investigation of the INSLAW affair.
Questions for Topic #10
Were you advised of or consulted about these reported decisions by Mr. Dwyer?
In view of the fact that the Justice Department is itself the defendant in the INSLAW affair and that the individual in question was a key Justice Department official involved in the INSLAW affair, do you not believe that Mr. Dwyer's refusal to honor the aforementioned requests from experienced federal criminal investigators contributes to the public cynicism that surrounds the Justice Department's self-examinations of its conduct in the INSLAW affair?
Do you know, from any source whatsoever, whether Peter Videnieks and Earl Brian ever had any direct communications or business dealings?
Background Summary for Topic #11
The U.S. Customs Service investigators reportedly submitted their written requests to Mr. Dwyer, together with their memorandum summarizing the evidence thus far collected without assistance of a grand jury. These submissions to Mr. Dwyer reportedly occurred after Peter Videnieks' lawyers, including lead counsel Charles Ruff of the Washington, D.C. law firm of Covington and Burling, had allegedly tried unsuccessfully, through direct contact with the U.S. Customs investigators, to find out what evidence had been collected on Videnieks.
The very same day that the U.S. Customs investigators declined to disclose their evidence to Videnieks' lawyer, the Customs investigators allegedly received telephone calls, seeking the same information, from Hubbell's office and Deputy Attorney General Heyman's office. The Customs investigators reportedly declined to furnish the information to Hubbell's office or to Heyman's office, whereupon Attorney General Reno allegedly called the Commissioner of Customs in an effort to arrange for Mr. Dwyer to attend a scheduled deposition of Mr. Videnieks.
Charles Ruff, of the law firm of Covington and Burling in Washington, represented Videnieks during the House Judiciary Committee's three-year investigation of the INSLAW affair. The Justice Department reimbursed Videnieks' legal fees for this representation and waived the usual ceiling on government-reimbursable legal fees (see Exhibit #37).
According to published press accounts at the start of the Clinton Administration, Mr. Ruff was instrumental in preparing Janet Reno for her confirmation hearings as Attorney General and was originally slated to be appointed Deputy Attorney General. Ruff reportedly failed to obtain the appointment because of concern about unpaid taxes on someone who provided household help to him. Heyman testified at his own confirmation hearing that it was Charles Ruff who telephoned him while he was visiting Israel to ask him whether he would be interested in the position of Deputy Attorney General.
Peter Videnieks is reportedly married to Barbara Videnieks, the long-time top aide to Democratic Senator Robert Byrd of West Virginia.
Questions for Topic #11
Did you or Mr. Dwyer disclose the contents of any of the written materials submitted to Mr. Dwyer by U.S. Customs investigators to Charles Ruff or anyone else at Covington and Burling?
Did the close relationship between Charles Ruff and top officials of the Reno Justice Department influence Mr. Dwyer's refusal to permit experienced federal criminal investigators at the U.S. Customs Service to complete their two-year-long investigation by having access to grand jury subpoenas and records?
Did the relationship between the Videnieks family and Senator Robert Byrd of West Virginia influence Mr. Dwyer's refusal to provide Justice Department support for the then-pending federal criminal investigation of Peter Videnieks?
Background Summary for Topic #12
William Turner, who was an associate of Danny Casolaro, in that investigative reporter's investigation of the Justice Department's conduct in the INSLAW affair, prepared a sworn affidavit (Exhibit #38), the gist of which is as follows:
Through an employee at the NSA, Casolaro had obtained access to top secret code word documents on wire transfers of proceeds from the illegal sales of PROMIS software to off-shore bank accounts belonging to U.S. Government officials and others. Among the U.S. Government officials who allegedly received such funds in off-shore accounts were Peter Videnieks and a U.S. Army Special Forces covert intelligence operative, who was reportedly one of Videnieks' closest friends. NSA had obtained this wire transfer data by surreptitiously accessing stolen copies of PROMIS which it had implemented at BCCI in London and at the World Bank Headquarters in Washington, D.C. Casolaro secretly stored many of his most sensitive documents on INSLAW in a safe in Mr. Turner's home in Winchester, Virginia. On the afternoon before Casolaro was found dead in Martinsburg, West Virginia, Turner delivered some of these sensitive documents to Casolaro at Casolaro's request. Casolaro told Turner that he intended to show these documents to people he was scheduled to meet with later that evening in Martinsburg, West Virginia, including Peter Videnieks and Joseph Cuellar, the aforementioned Army Special Forces Major. Casolaro was found dead in his hotel room in Martinsburg the next morning.
Turner claims that [redacted] interviewed him briefly by telephone after he had relocated from Winchester, Virginia to Tennessee but that Turner had declined to answer [redacted] questions unless [redacted] came to his home in Tennessee where he could verify [redacted] credentials. According to Turner, neither [redacted] nor anyone else from the Justice Department ever again contacted him about Casolaro's death or INSLAW.
Questions for Topic #12
Were you ever made aware of the existence of William Turner as a potential witness in the INSLAW affair?
How do you explain the failure of either Special Counsel Nicholas J. Bua, in his 17-month investigation or your own and Mr. Dwyer's 18-month investigation, ever to interrogate Mr. Turner?
Background Summary for Topic #13
According to letters addressed to Mr. John C. Dwyer on March 14, 1994 (Exhibit #39) and March 24, 1994 (Exhibit #40) from INSLAW Counsel Charles R. Work, [redacted] made the following admission during a meeting on March 1, 1994 at Mr. Work's office attended by Mr. Dwyer and Mr. Zipperstein from the Justice Department, three INSLAW counsel, Charles R. Work, Philip Kellogg and Michael Friedlander, and Mr. and Mrs. Hamilton:
The local Martinsburg, West Virginia police took a statement from a small blond maid at the Sheraton Hotel about an eyewitness description of a man seen exiting Danny Casolaro's hotel room shortly before his body was discovered on the morning of Casolaro's death on August 10, 1991.
In a reply letter to Mr. Work dated March 17, 1994 (Exhibit #41), Mr. Dwyer appeared to deny that [redacted] had made any such admission during the meeting:
I am troubled by the statement in that letter regarding the "confirmation" by [redacted] of certain facts. In fact, neither [redacted] nor Steve Zipperstein confirmed any such details.
The Reno Justice Department's report on INSLAW states that no witness came forward to claim to have seen anyone entering or exiting Mr. Casolaro's hotel room.
Background Summary for Topic #14
In a letter to Attorney General Janet Reno dated August 26, 1994, INSLAW Counsel Elliot Richardson summarizes evidence of collusion between the Meese Justice Department, Earl W. Brian and the Government of Israel in an attempt in the Fall of 1986 to incapacitate INSLAW from litigating the Government's theft of its PROMIS software product.
A central element of the alleged conspiracy was the firing of INSLAW's lead counsel from the law firm where he had been a partner for a decade. Earl Brian is alleged to have obtained about $600,000 from the Government of Israel and to have funnelled the money to the law firm in question in order to finance the firm's severance agreement with the partner who had been serving as INSLAW's lead counsel.
Ari Ben Menashe, a controversial former Israeli intelligence officer, had published an account of this alleged transaction in a book entitled *Profits of War* in the Fall of 1992. Justice Department Special Counsel Nicholas Bua had stated in the Bua Report that he had declined to look into the allegations because of his low assessment of the credibility of Ben Menashe.
According to Mr. Richardson's letter, INSLAW located two additional witnesses who corroborated essential elements of the published allegations: a former partner in the law firm in question, who is a member of the bar of the District of Columbia in good standing; and the former controller of the law firm who is serving time in federal prison for having embezzled money from the law firm.
The Reno Justice Department's report on INSLAW dismisses the allegations largely because Ari Ben Menashe has allegedly been discredited as a witness in other investigations and because the former law firm controller is currently in prison. The Reno Justice Department report fails, however, even to acknowledge the existence of the untainted corroborative witness, i.e., the former partner in the law firm in question.
According to Mr. Richardson's letter, during Hubbell's investigation of the INSLAW matter, Mr. Dwyer contacted both the former partner and a lawyer representing the former partner. Mr. Dwyer allegedly asked the former partner to discontinue his communications with INSLAW. Mr. Dwyer allegedly subsequently met with a lawyer representing the former partner and was told that the former partner could not voluntarily answer any questions about the circumstances surrounding the departure of INSLAW's lead counsel from the law firm because all of the partners, associates and paralegals in that law firm had been obliged to sign an agreement never voluntarily to disclose anything they may know on that subject. Mr. Dwyer allegedly made no effort to overcome the bar to such testimony by use of a federal grand jury, and he allegedly failed even to ask the lawyer for the former partner to see a copy of the referenced agreement.
Questions for Topic #14
Were you ever made aware of the existence of the additional corroborative witness in the person of a reputable former partner at Dickstein, Shapiro and Morin, the law firm in question?
How do you account for the Reno Justice Department's failure even to acknowledge the existence of such an arguably credible witness on a matter that goes to the heart of the question of whether the Justice Department engaged in fraud against INSLAW?
Did you have, directly or indirectly, any unofficial input into the refusal of Attorney General Janet Reno to accede to the written request made by Elliot Richardson in August 1994 to petition the U.S. Court of Appeals for the appointment of an Independent Counsel in the INSLAW affair?
Background Summary for Topic #15
In a letter to INSLAW Counsel Charles Work, dated March 17, 1994 (Exhibit #41), Mr. Dwyer dismissed concerns that Mr. Work had raised in a letter to Mr. Dwyer dated March 14, 1994 (Exhibit #39) about the background of another Justice Department lawyer who was assisting Hubbell in his review of the INSLAW affair, Mr. Steven Zipperstein:
With regard to the concerns raised in your letter, you should know that Associate Attorney General Hubbell has complete confidence in Mr. Zipperstein's competence and integrity.
Mr. Zipperstein evidently began working for Hubbell on his review of the INSLAW matter sometime in 1993, when Zipperstein was working in the Criminal Division in Washington, D.C. on loan from the U.S. Attorney's Office in Los Angeles. Zipperstein returned to the U.S. Attorney's Office in Los Angeles in early 1994, as the First Assistant U.S. Attorney.
The Bua Report made favorable comments about the credibility of Earl W. Brian whom INSLAW has alleged was a private sector partner of the U.S. Justice Department in the theft of PROMIS and a financial beneficiary of the theft through the sale and dissemination of stolen copies of PROMIS. The *Bua Report*, for example, notes that Brian's credibility is enhanced by the fact that a corporate subordinate of Brian's had business records that tended to corroborate Brian's statements. Within a week of the release of the Bua Report, the U.S. Securities and Exchange Commission (SEC) filed a 60-page civil complaint against Earl Brian and others in federal district court in Washington, D.C. for securities fraud in connection with Financial News Network (FNN) in Los Angeles (Exhibit #42). The SEC accused Brian, *inter alia*, of fabricating corporate records and of suborning corporate subordinates to fabricate records. On the same day, Earl Brian signed a consent agreement not to engage in the future in the kinds of securities fraud that the SEC's complaint alleged he had committed in the past.
The U.S. Attorneys Office in Los Angeles has, for the past several years, been conducting a federal criminal investigation of Earl Brian's alleged securities fraud in connection with FNN. This is evidently the criminal counterpart to the aforementioned SEC civil fraud action against Earl Brian.
Questions for Topic #15
Did you play any role in Steven Zipperstein's appointment as First Assistant U.S. Attorney in Los Angeles?
Do you have any knowledge about whether Mr. Zipperstein has played any role in the pending criminal investigation of Earl Brian by the U.S. Attorney's Office in Los Angeles?
How did you happen to choose Mr. Zipperstein for a role in the review of the INSLAW case?
What was the basis for your reported "complete" confidence in Mr. Zipperstein's competence and integrity?
What do you know, if anything, about the following issues that Mr. Work raised in his letter to Mr. Dwyer but to which Mr. Dwyer did not specifically respond?
- What involvement, if any, has Mr. Zipperstein had with the Criminal Division's Office of Special Investigations (OSI) in general or Mr. Neil Sher, in particular?
- What involvement, if any, has Mr. Zipperstein had with the Justice Command Center?
- What involvement, if any, has Mr. Zipperstein had with the Justice Department's Office of Security and Emergency Planning or Mr. D. Jerry Rubino?
- What involvement, if any, has Mr. Zipperstein had with either the PROMIS software, the INSLAW affair, or any investigation by the Justice Department or an external agency into any aspect of the INSLAW affair?
- What involvement, if any, has Mr. Zipperstein had with either of two former top Criminal Division officials from California: D. Lowell Jensen and Stephen Trott?
Background Summary for Topic # 16
In early 1994, INSLAW obtained approximately 20 pages of classified and highly-redacted documents from the FBI concerning a 1984 FBI counterintelligence investigation in New Mexico of the late British publisher Robert Maxwell for selling computer software (Exhibit #43). INSLAW has been told that Maxwell was a cutout for Israeli intelligence in the sale of stolen copies of INSLAW's PROMIS. The FBI furnished the documents to INSLAW in response to a Freedom of Information Act (FOIA) inquiry for documents relating to Maxwell's involvement "in the dissemination, marketing or sale of computer software systems, including but not limited to the PROMIS computer software product, between 1983 and 1992."
Mr. Dwyer, in a letter to INSLAW Counsel Elliot Richardson dated March 9, 1994 (Exhibit #44), stated that he had carefully reviewed all of the redacted portions" of the documents and had concluded as follows:
There is no mention of INSLAW, PROMIS or any alleged PROMIS derivative in any of the redacted portions.
Questions for Topic #16
Did you personally read the unredacted version of the documents in question?
Did Mr. Dwyer consult with you on the content of the documents in question?
Did it strike you as peculiar that the FBI would conduct a counterintelligence investigation of someone for selling software in New Mexico?
Do you know whether the FBI conducted a counterintelligence investigation because Maxwell sold software to highly classified U.S. nuclear facilities in New Mexico, the Los Alamos National Laboratory and the Sandia National Laboratory?
Were you ever told by any source of any connection between Maxwell's sale of software in New Mexico and Jonathan Pollard's use of a computer terminal at Navy Intelligence to spy for the Israeli Government by accessing computerized nuclear intelligence files at the Los Alamos and Sandia National Laboratories?
To your knowledge, is Mr. Dwyer's aforementioned statement true and accurate?
According to the report of the Independent Counsel in Re. Vincent W. Foster, Jr., dated June 30, 1994, Foster became noticeably agitated during the week of July 12, 1993, telling his wife on July 13, 1993 that he was thinking about resigning, telling his wife during the same week that his heart had been "pounding," going to the White House medical unit to have his blood pressure checked on Friday of the same week, and, on the same day, telling his sister that he was "battling depression for the first time in his life and did not know what to do about it." To alleviate the depression, Mr. and Mrs. Foster checked into an inn on the Eastern Shore of Maryland on Friday, July 16, 1993. Mr. and Mrs. Hubbell were also vacationing that weekend on the Eastern Shore of Maryland at the country home of a couple who were friends of both the Fosters and the Hubbells, a fact that the Fiske Report described as coincidental. On Saturday morning, Hubbell telephoned Foster and persuaded the Fosters to check out of the Inn and join the Hubbells as house guests of their mutual friends.
That Saturday and Sunday, July 17 and 18, 1993, Mr. and Mrs. Foster joined Mr. and Mrs. Hubbell at the home of Michael and Harolyn Cardozo on the Eastern Shore of Maryland, according to the June 30, 1994 Report of the Independent Counsel. Hubbell stopped by Foster's White House office the following Monday, according to the Fiske Report. Hubbell and Bruce Lindsey were with President Clinton that Monday night when the President attempted by telephone to persuade Mr. Foster to return to the White House to watch a movie, according to press accounts of Independent Counsel Fiske's deposition of President Clinton.
One of the three major sections of INSLAW's rebuttal to the Bua Report which INSLAW delivered to Hubbell on July 12, 1993 concerns "the indications of a more widely-ramified conspiracy involving Earl Brian and the intelligence and law enforcement agencies of the United States and foreign governments." Mr. Brian's principal residence is an estate on the Eastern Shore of Maryland at Oxford, Maryland.
In the Fall of 1993, Bruce Lindsey initiated a meeting with INSLAW counsel Ronald Platt and Webster Hubbell at the Associate Attorney General's Justice Department office ostensibly to tell Mr. Hubbell of the President's interest in having a Justice Department decision on INSLAW by the end of 1993.
There is no record of Eastern Shore, Maryland property belonging to Mr. or Mrs. Cardozo, according to tax records and telephone records. Mrs. Cardozo's maiden name was Harolyn Landau, according to the Cardozo's 1981 District of Columbia marriage license. Her father, Nathan Landau, owns a multi-million dollar country estate on Bailey's Neck Road in Trappe, Maryland, on the Eastern Shore, according to tax records. Nathan Landau is a major fund raiser for the Democratic Party nationally, and is a lawyer and real estate developer whose principal residence is in Bethesda, Maryland. Michael H. Cardozo is the Executive Director of President Clinton's legal defense fund.
Questions for Topic #17
Did you discuss the INSLAW case or rebuttal with Mr. Foster or Mr. Lindsey at any point during the week of July 12th?
Did you or anyone else at the Justice Department give a copy of the INSLAW rebuttal to Mr. Foster or Mr. Lindsey or anyone else at the White House?
Is the Eastern Shore, Maryland home of Michael and Harolyn Cardozo V, at which you and the Fosters stayed on Saturday and Sunday, located on Bailey's Neck Road in Trappe, Maryland?
Is that home owned by Mrs. Cardozo's father, Nathan Landau, one of the leading fund raisers for the Democratic party nationally?
Are you aware that the principal residence of Earl W. Brian is at 5833 Deep Water Drive in Oxford, Maryland, approximately 10 miles west of Trappe, Maryland?
Did anyone in your party during the weekend in question meet with or talk to Earl W. Brian or his representatives?
Do you have any knowledge about whether Mr. or Mrs. Michael Cardozo or Mr. Nathan Landau have ever had any business or social dealings with Earl W. Brian?
How is it that you and Foster and your wives went separately to different destinations on the Eastern Shore of Maryland on the weekend of July 16, 1993 and then came together on Saturday and Sunday, July 17 and 18, 1993 at the house of the Cardozo's who were friends of both the Fosters and the Hubbells?
Was this purely coincidental as characterized in the Fiske Report?
Background Summary for Topic #18
In a letter to Hubbell dated February 15, 1994, INSLAW Counsel Elliot Richardson informed Hubbell that a former senior Reagan White House official had recently confirmed "the decision by the Reagan Administration to give INSLAW's PROMIS software to the Government of Israel for use in a wide-ranging intelligence initiative."
Questions for Topic #18
Did you ever obtain any independent knowledge of this alleged decision by the Reagan Administration? If so, how and when did you learn about it?
Questions for Topic #19
Prior to going to the Clinton Administration, did you ever have any financial or professional interest in any of the following companies?
- Boston Systematics of Worcester, Massachusetts
- Farboil Company of Baltimore
- Systematics, Ltd. of Israel
- Systematics Technologies of Israel
- Pergamon-Brassey's International Defense Publishers of McLean, Virginia
- Pergamon International of London
- Eurame Trading Company of Nicosia, Cypress
- I.P. Sharp of Toronto
- PROMIS Systems Corporation of Toronto
- Strategic Software Planning Corporation of Cambridge, Massachusetts
Questions for Topic #20
Prior to going to the Clinton Administration, did you ever have any meetings or communications with any of the following individuals?
Earl W. Brian
Robert Maxwell of Great Britain
Dr. Harry C. Wechsler
Henry C. Wechsler
Oded Leventer of Israel
Yoav Leventer of Israel
Rafi Eitan of Israel
Dr. Ben Orr of Israel
Shlomo Gubberman of Israel
Jonathan Ben Cnaan of Israel
Nathan J. Lindsay of G.E. Aerospace of Herndon, Virginia
Nicholas J. Bua
Peter Videnieks
| Exhibit #1 | Findings of Fact and Conclusions of Law of The Honorable George Francis Bason, Jr., United States Bankruptcy Court for the District of Columbia on January 25, 1988 |
|------------|----------------------------------------------------------------------------------------------------------------------------------|
| Exhibit #2 | Memorandum and Order of The Honorable William B. Bryant, United States District Court for the District of Columbia of November 1989 |
| Exhibit #3 | United States Court of Appeals for the District of Columbia Circuit Decision of May 7, 1991 |
| Exhibit #4 | The INS LAW Affair, Investigative Report by the Committee on the Judiciary, United States House of Representatives, House Report 102-857 of September 10, 1992 |
| Exhibit #5 | U.S. House of Representatives, Committee on the Judiciary, letter to Attorney General William P. Barr, Jr. of September 10, 1992 (signed by all 21 Democrats on the Committee) |
| Exhibit #6 | United States Senate Memorandum of September 29, 1989 Re: Staff Study on the Permanent Subcommittee on Investigations' Inquiry of the INS LAW Matter |
| Exhibit #7 | March 1993 Report of Special Counsel Nicholas J. Bua to the Attorney General of the United States Regarding the Allegations of INS LAW, Inc. |
| Exhibit #8 | Associate Attorney General Webster L. Hubbell letter to Elliot L. Richardson, Esq. of June 17, 1993 |
| Exhibit #9 | Elliot L. Richardson letter to Associate Attorney General Webster L. Hubbell of July 12, 1993 |
| Exhibit #10 | Elliot L. Richardson letter to Associate Attorney General Webster L. Hubbell of February 15, 1994 |
| Exhibit #11 | July 12, 1993 INS LAW's Analysis and Rebuttal of the Bua Report |
| Exhibit # | Description |
|-----------|------------------------------------------------------------------------------|
| #12 | February 14, 1994 Addendum to INSLAW's Analysis and Rebuttal of the Bua Report |
| #13 | September 27, 1994 letter of Attorney General Janet Reno to the Members of the Subcommittee on Administrative Law and Governmental Relations, House Judiciary Committee |
| #14 | The Texas Observer article by Richard L. Fricker of November 11, 1994 "Brooks vs. the Justice Department" |
| #15 | San Diego Union-Tribune column of Robert D. Novak of April 9, 1994, "Powell wows 'em as Perle purrs" |
| #16 | New York Post article by Richard Johnson of October 18, 1994 "Durable Webb" |
| #17 | Executive Branch Public Financial Disclosure Report signed by Webster L. Hubbell on April 9, 1993, filed on April 15, 1993 |
| #18 | Los Angeles Times article of May 27, 1974 by William Endicott, "Cranston Amasses War Chest of $621,000 for Reelection Bid" |
| #19 | Sacramento Bee article by John Berthelson of February 28, 1974, "State Health Chief Lauds Beverly Homes" |
| #20 | Moody's OTC Industrial Manual of 1990 re: Systematics, Inc. |
| #21 | The Wall Street Journal editorial of August 1, 1994, "Who Is Jack Ryan?" |
| #22 | International Banking Regulator article by Anthony Kimery of January 17, 1994, "U.S. Spy Agency May Be Tapping Foreign Banks' Computer Data" |
| #23 | International Banking Regulator article by Anthony Kimery of January 24, 1994, "Congress Backs Claims That Spy Agencies Bugged Bank Software" |
| Exhibit # | Description |
|----------|-------------|
| #24 | Securities and Exchange Commission Civil Action Against BCCI and Others, Including Jackson Stephens, filed March 17, 1978 |
| #25 | Executive Branch Public Financial Disclosure Report signed by the late Vincent W. Foster on February 19, 1993 |
| #26 | INSLAW letter to Mr. O. Leventer of Systematics (Ramat-gan, Israel) of February 25, 1987 |
| #27 | INSLAW letter to Mr. Oded Leventer of Systematics (Ramat-gan, Israel) of March 12, 1987 |
| #28 | Boston Systematics, Inc., Articles of Organization; Filed in The Commonwealth of Massachusetts on December 12, 1979 |
| #29 | Association of Former Intelligence Officers 1979 Membership Directory cover page and pages 44 and 45 |
| #30 | Letter to the Editor by Bill Plante, CBS News Correspondent, and Michael Singer, Producer, CBS News, captioned, "Still a Strong Scent on the Mena Trail" *The Wall Street Journal* |
| #31 | *The Wall Street Journal* article of June 29, 1994 by Micah Morrison, "Mysterious Mena" |
| #32 | *The Wall Street Journal* article of October 18, 1994 by Micah Morrison, "The Mena Coverup" |
| #33 | *The Washington Times* article of January 3, 1995 by Hugh Aynesworth, "A trail of persistent rumors leads to Mena" |
| #34 | *The Nation Magazine* article of April 6, 1992 by Alexander Cockburn, "Beat The Devil" |
| #35 | Associate Attorney General Webster Hubbell letter to The Honorable Elliot L. Richardson of September 20, 1993 |
| #36 | Assistant Associate Attorney General John C. Dwyer letter to Charles R. Work, Esquire of November 9, 1993 |
| Exhibit # | Description |
|-----------|-------------|
| #37 | Assistant Attorney General, Civil Division, Stuart M. Gerson letter to Charles F.C. Ruff, Esq., of September 25, 1990 |
| #38 | Handwritten and sworn statement of William R. Turner of March 15, 1994 |
| #39 | Charles R. Work letter to Assistant Associate Attorney General John C. Dwyer of March 14, 1994 |
| #40 | Charles R. Work letter to Assistant Associate Attorney General John C. Dwyer of March 24, 1994 |
| #41 | Assistant Associate Attorney General John C. Dwyer letter to Charles R. Work, Esq., of March 17, 1994 |
| #42 | Securities and Exchange Commission Civil Complaint Filed Against Former Officers of Financial News Network, Inc. of June 28, 1993 |
| #43 | INSLAW's File of FBI Documents Obtained Under the Freedom of Information Act (FOIA) Regarding the Sale of Computer Software "Including But Not Limited to the PROMIS Computer Software Product" by the Late British Publisher, Robert Maxwell |
| #44 | Assistant Associate Attorney General John C. Dwyer letter to The Honorable Elliot L. Richardson of March 9, 1994 |
|
Major Market Quick Starters
1 NO NUKES
N S M W
WBUF ZETA 7 WMET KROQ
WAAP WJAX WWW KSAN
WCCC KTXQ KMET
DC-101 WRNO KISW
WLMD WDIZ KLAY
WHFS WKLS
2 IAN McLAGAN
N S M W
WNEW KZEW KSHE KSJO
WCOZ ZETA 4 WRIF KROQ
WLIR ZWTA 7 KNAC
WPIX WKDF KDBK
WMMR WJAX KSAN
KFML KMEL KWST KLAY
3 CLIFF RICHARD
N S M W
WLMD WNOE KFML
WCMP KTXQ
WCCC WRNO
WBUF ZETA 4
*Richard has been quietly accumulating significant airplay for several weeks.
4 PAT METHENY
N S M W
WHCN WNOE WQFM
WYSP WRNO
WCMF WSHE
WLIR WHFS
5 BETTE MIDLER
N S M W
WIOQ WKDF KSHE KSAN
WNEW WCOZ
WBAB WLIR
WHFS
6 GARRISON/VAN DYKE
N S M W
WCMP IJOL WMMS KSJO
WAAP KTXQ
WEAB WHFS
7 ROY SUNDHOLM
N S M W
WBCN WLDL WMMS KROQ
WCCC WJAX WLUP KQFM KSJO
JOAN ARMATRADING
GOOD PHONE
ROCK LP #27
ALBUM NETWORK
HOTTEST #34
NMR ALBUM CHART
DEBUT 48
"HOW CRUEL"
SP3302
38-SPECIAL
ROCKIN' INTO THE NIGHT
38 SPECIAL
NMR ALBUM CHART #32
TOP FIFTY CUTS
"ROCKIN' INTO THE NIGHT" DEBUT AT 30
CASHBOX FM AIRPLAY
DEBUT AT 30
BILL HARD
AIRPLAY INDEX #30
GOOD PHONE
ROCK LPs #32
TOP TRACKS "ROCKIN' INTO THE NIGHT" 58 TO 38
SP4782
An Exciting End To A Sleepy Decade
A vain search for the next Beatles was what the 1970's, through 1979, was all about. The superstars on the wings of whom the record and radio businesses would soar to new heights was elusive. That search establishes the mind set, but the result was largely musical disappointment, a decade which was essentially a boring repetition of past triumphs.
It did soar economically. Until 1979 the pattern was a direct descendant of two forces: the Beatles and Bob Dylan. The Beatles established groupism while Bob Dylan established the singer/songwriter lineage. What followed was level by tedious level of compounding. The layers affected the music, moving it more and more away from the street. Music became a product, the product of producers, arrangers, product managers, artist development people and marketeers of all sorts. In theory, this refining process should have produced something near perfection. However, as with sugar, the refining process is not always a good thing. For it is the streetness, the rough edge which has always been the charm of rock and roll.
Back in the beginning Chuck Berry and Elvis Presley and Jerry Lee Lewis were not refined images. It was that same packaging process which converted these three, who immediately followed them, into the marketing tools they became by the early sixties. Fabian and Frankie Avalon were the height of that processing period. All of which set the stage for a rock and roll cultural revolution. So the Beatles came out of the streets of Liverpool with nice tunes, set in 4/4 time. They took rock music back to the beginning, back to the basics with a spare, almost innocent sound. "I Want To Hold Your Hand."
1979
In the beginning of this year, the string had just about run out for the compounded sound of the formerly self-contained bands. The singer/songwriters sounded just plain old fashioned. 1979 is the year that rock and roll went back to the streets again. Back to nice tunes, set in 4/4 time. By this summer 5 of the top 10 radio records were with music: The Knack, The Cars, Dire Straits, Nick Lowe and Bram Tchaikovsky, not to mention The Police, Joe Jackson and Talking Heads, were effectively changing the sound of radio across the whole country. And after you allow for regional differences. Still, the point cannot be honed too sharply. After all, Supertramp, Foreigner, Fleetwood Mac and Eagles are doing or have done pretty well at making new music and they can't be called new music. What is significantly different is the percentage of radio time taken up by newer music bands, check below. Yet, another piece of significance is how little time new names doing old style music got. That's a hidden statistic.
New music didn't just happen this year; its roots go back to the radical break of Sex Pistols a couple years ago. Even then and their sorta reach back to Velvet Underground's musical tradition. So, nothing is absolutely new. What can be felt are the ebbs and flows. This year the tide of new music tends to be coming in as the Beatles/Dylan tide tends to be receding.
A side issue in this year's musical life was a shift in tastes in the South. Traditional Southern rock bands like The Allmans and Marshall Tucker didn't die. They did well quickly, among the die-hards, but they didn't show their previous staying power. Instead, it was Blackfoot and Molly Hatchet who would not go away.
Radio itself went through an adjustment. The old, old days of album radio was a loose confederation of people doing whatever they wished. They were challenged, first by the early 70's Top 40 album approach of the ABC/RCA chain and then by the undisputed king of research, Lee Abrams. For a while, research dominated.
Now, with the coming of new music, we have evolved to the best of both worlds. There is a great breadth growing in radio today, and it is a sense that both information and instinct are necessary in programming a radio station. A tuned in programmer with good information is downright dangerous.
Another trend, one on the negative side, is the often noted discrepancy between the intensity of radio play and the intensity of record sales. The downturn in record sales, sadly, has meant that an estimated 1000 people have been cut out of the record company payrolls this year. The record industry may be leaner and stronger because of it, but the destinies of many people have been changed forever.
The record industry could not have conspired to put all of the negative economic elements together which came together this year:
1. The year began with high expectations, largely because of Saturday Night Fever's implications for disco.
2. Thereupon the record industry changed its entire distribution system in the first two months of the year. Companies merged, companies disappeared and companies shifted from independent to branch distribution.
3. In an obviously weakened economy, prices for records had been raised to a consumer resistance point. And resist they did.
4. Finally, few of the really big name groups released albums in the first nine months of the year. We still haven't heard from Masters. Springsteen, Jagger, and Seger.
Point number 4, of course, is partly responsible for allowing so many new names to surface. Even in bad times, good things can emerge.
In dynamic terms, 1979 was an exciting end to a sleepy decade. Everything changed; the music, the music business, the sound of radio and the style by which it's managed. Ah, for some stability.
---
**TOP 10**
**Airplay Artists of '79**
1. Dire Straits .336
2. Supertramp .287
3. The Cars .285
4. Doobie Bros. .259
5. Cheap Trick .249
6. Joe Jackson .225
7. The Knack .208
8. Led Zeppelin .206
9. The Police .197
10. Neil Young .194
**1st Release Artists of '79**
1. Joe Jackson .225
2. The Knack .208
3. The Police .197
4. Rickie Lee Jones .165
5. Bram Tchaikovsky .086
6. 'N' The Tears .082
7. Fabulous Poodles .079
8. Flash & The Pan .076
9. The Records .061
10. Ian Gomm .061
Highest Percentage of '79 .873 Tom Petty Issue #281
## SOUTH
### SECONDARIES
**LAKE CHARLES, LA.**
- KGRA (KNOA 104)
- JANEL DOLAN
#### HEAVY AIRPLAY:
- J.D. Souther
- Fleetwood Mac
- Kenny Loggins
- Fleetwood Mac
- ZZ Top
- Tom Petty
- Tom Johnston
- Toto
#### MODERATE AIRPLAY:
- Pat Benatar
- J. Armstrong
- Duncan Brown
- Bob Dylan
- Little Feat
- Steve Forbert
- Aerosmith
- Dwight Twilley
#### SINGLES:
- Queen
- Graham Nash
- Styx
- Alan Parsons
- The Knack
- Stevie Wonder
- Dire Straits
- Pink Floyd
- Native Son
- No Nukes
- Fleetwood Mac
#### CORPUS CHRISTI, TEX.
- C-101 (KNCR)
- CHARLIE PALMER
#### HEAVY AIRPLAY:
- Eagles
- Styx
- Foreigner
- Tom Petty
- ZZ Top
- Pink Floyd
- Kenny Loggins
- Fleetwood Mac
#### MODERATE AIRPLAY:
- Dan Fogelberg
- Joe Jackson
- Little Feat
- Bonnie Raitt
- New East
- Jean-Luc Ponty
- Neil Young
#### SINGLES:
- Walter Egan
- Awe
- Dire Straits
- Richie Furay
- Lauren Wood
- Alan Parsons
- J. Starship
- Alan Parsons
- The Knack
- Stevie Wonder
- Dire Straits
- Pink Floyd
- Native Son
- No Nukes
- Fleetwood Mac
---
## MIDWEST
### MAJORS
**CLEVELAND, OHIO**
- WWSM
- KID LEO
#### ADDS:
- Sylvain Sylvain
- Garrison/VanDyke
- Boy Root Sly
- Hoy Sundholm
- Bonnie Pointer
#### HEAVY AIRPLAY:
- Aerosmith
- Pat Benatar
- Blondie
- Boontown Rats
- Cheap Trick
- Eagles
- Fleetwood Mac
- Dan Fogelberg
- Foreigner
- Hall & Oates
- The Headboys
- The Immates
- ZZ Top
- Led Zeppelin
- J.D. Souther
#### MODERATE AIRPLAY:
- April Wine
- The Beach Boys
- Rick Derringer
- Fab, Poodles
- Fingerpintz
- Foghrt
- Steve Forbert
- Joe Jackson
- Nicolette Larson
- Molly Hatchet
- Alan Parsons
- Bonnie Raitt
- 20/20
- The Who
#### SINGLES:
- Queen
- Alex Harvey
- Hansie
---
## MIDWEST
### SECONDARIES
**URBANA/CHAMPAIGN, ILL.**
- WGCU
- PHIL PRIEST
#### HEAVY AIRPLAY:
- Hounds
- The Beat
- Balkin' Heads
- The Police
- Joe Jackson
- Tom Petty
- J. Starship
- MODERATE AIRPLAY:
- Interview
- 20/20
- Boontown Rats
- Horslips
- The Immates
- E. L. & P.
- Fab, Poodles
---
## WEST
### MAJORS
**DENVER, COLO.**
- KBPI
- JUDY MC NUTT
#### HEAVY AIRPLAY:
- Pat Benatar
- Blondie
- Karla Bonoff
- Fleetwood Mac
- Dan Fogelberg
- Led Zeppelin
- Little Feat
- MODERATE AIRPLAY:
- Aerosmith
- The Police
- Boontown Rats
- Cheap Trick
- Steve Forbert
- The Immates
- Jethro Tull
- Molly Hatchet
- No Nukes
---
## WEST
### SECONDARIES
**DENVER, COLO.**
- KFML
- IRA GORDON
#### ADDS:
- Eddy Grant
- Gene Parsons
## Hot Songs
### Top Songs of 1979
| Rank | Artist | Song |
|------|----------------------|-------------------------------|
| 1 | Dire Straits | Sultans Of Swing |
| 2 | Doobie Brothers | What A Fool Believes |
| 3 | Supertramp | Logical Song |
| 4 | Blondie | Dreaming |
| 5 | The Cars | Let's Go |
| 6 | Rod Stewart | Do Ya Think I'm Sexy |
| 7 | Bad Company | Rock 'n' Roll Fantasy |
| 8 | The Knack | Good Girls Don't |
| 9 | The Knack | My Sharaona |
| 10 | Eagles | Heartache Tonight |
| 11 | Headboys | Shapes Of Things |
| 12 | Joe Jackson | Different For Girls |
| 13 | Little Feat | Down On The Farm |
| 14 | ZZ Top | Cheap Sunglasses |
| 15 | Eagles | Heartache Tonight |
| 16 | Flying Lizzards | Money |
| 17 | Tom Petty | Here Comes My Girl |
| 18 | Pat Benatar | Heartbreaker |
| 19 | Blondie | The Hardest Part |
| 20 | XTC | Making Plans For Nigel |
### New Songs
| Rank | Artist | Song |
|------|----------------------|-------------------------------|
| 1 | Pat Metheny Group | American Garage |
| 2 | Joan Armatrading | (I Guess The) Heartland |
| 3 | Joan Armatrading | Rosie |
| 4 | George Harrison | Blow Away |
| 5 | Talking Heads | Life During Wartime |
| 6 | Billy Joel | Big Shot |
| 7 | BRAM TCHAIKOVSKY | Girl Of My Dreams |
| 8 | Fleetwood Mac | Tusk |
| 9 | The Kinks | Starry Eyes |
| 10 | Blues Brothers | Soul Man |
| 11 | Charlie Daniels Band | Devil Went Down... |
| 12 | Poco | Crazy Love |
| 13 | Supertramp | Goodbye Stranger |
| 14 | Rickie Lee Jones | Danny's All-Star Joint |
| 15 | Cheap Trick | Dream Police |
| 16 | Dire Straits | Lady Writer |
| 17 | The Police | Message In A Bottle |
| 18 | MC Guinn, Clark & Hillman | Don't You Write... |
| 19 | Frank Zappa | Dancin' Fool |
| 20 | Kansas | People Of The Southwind |
| 21 | John Stewart | Gold |
| 22 | Van Halen | Dance The Night Away |
| 23 | Sniff 'N' The Tears | Driver's Seat |
| 24 | The Babys | Every Time I Think |
| 25 | Pointer Sisters | Fire |
| 26 | Toto | Hold The Line |
| 27 | Billy Joel | Big Shot |
| 28 | The Kinks | Starry Eyes |
| 29 | Blondie | Heart Of Glass |
| 30 | Charlie Daniels Band | I Want You To Want Me |
| 31 | Little River Band | Lonesome Loser |
| 32 | Bob Dylan | Gotta Serve Somebody |
| 33 | Rickie Lee Jones | Hey St. Peter |
| 34 | Foreigner | Head Games |
| 35 | Dire Straits | Lady Writer |
| 36 | The Police | Message In A Bottle |
| 37 | MC Guinn, Clark & Hillman | Don't You Write... |
| 38 | Kansas | People Of The Southwind |
| 39 | Nicolete Larson | Local Love |
| 40 | Jay Ferguson | Shakedown Cruise |
| 41 | Allman Brothers | Crazy Love |
| 42 | The Babys | Every Time I Think |
| 43 | Pointer Sisters | Fire |
| 44 | Toto | Hold The Line |
| 45 | Billy Joel | Big Shot |
| 46 | Fleetwood Mac | Tusk |
| 47 | The Kinks | Starry Eyes |
| 48 | Blondie | Heart Of Glass |
| 49 | Charlie Daniels Band | I Want You To Want Me |
| 50 | Little River Band | Lonesome Loser |
| 51 | Bob Dylan | Gotta Serve Somebody |
| 52 | Rickie Lee Jones | Hey St. Peter |
| 53 | Foreigner | Head Games |
| 54 | Dire Straits | Lady Writer |
| 55 | The Police | Message In A Bottle |
| 56 | MC Guinn, Clark & Hillman | Don't You Write... |
| 57 | Kansas | People Of The Southwind |
| 58 | Nicolete Larson | Local Love |
| 59 | Pat Travers | Boom Boom |
| 60 | Tom Petty | Don't Do Me Like That |
## Chart Analysis by George Meier
Given the time of year, the activity in Quick Starters is nice to see. It means that at a time when radio can get stale for lack of new albums filtering in, there is hope. The No Nukes album and Ian McLagan spark the action. Also, quietly building over the last few weeks is the Cliff Richard LP. It has been accumulating call letters consistently, but in insufficient numbers to put it on the cover. It warrants mention now.
Further, there are several other items moving into our airplay charts with Dire Straits, Floyd, Neil Young, Dan Fogelberg, Little Feat, Joan Armatrading, Stevie Wonder and Fingerprints are finding places on the air. All of which means that the dearth of music for the next month may be lived through.
Many of the standard regional patterns are holding up. For example, when you look to see which acts are doing best on both coasts, you see a familiar list which includes: Tom Petty, The Police, Joe Jackson, Boontown Rats, The Inmates, Blondie, Bonnie Raitt and Joan Armatrading.
Likewise, a very standard 10% of the charts show stronger retail intensity than radio.
In the world of standards one is moved to look for the anomalies so that the relative weakness of The Eagles, Led Zeppelin, Little Feat and Outlaws in the Midwest is curious. It might be explained by the play-through effect. Since that region would tend to start fastest on some of these groups they would simply not be slow airplay first. That Foreigner and Styx are strong in the South though they are in the Midwest speaks to the point made earlier in the year about the changes taking place in the South. It is looking more and more like the Midwest, conservative and rocky.
On the retail side, things tend to follow patterns too. Metheny and Raitt do best on the coasts while ZZ Top is weaker there. It is interesting to note that The Eagles' weakness in the radio Midwest is followed closely with a retail weakness in the same region.
Now, it is time to cruise into the new year. Look for it to be less musically exciting. Look for a solidification of new music and a process of sophistication to set in.
| ARTIST | SONG TITLE | NATIONAL FLOW | CURRENT REGIONALS |
|--------|------------|---------------|-------------------|
| 1 | ARIANNE SPITTI | REFUGEES / DON'T ME LIKE THAT | 6WK -4WK -2WK TW N S M W |
| 2 | 12THFLOOR DWINSHIP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 3 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 4 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 5 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 6 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 7 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 8 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 9 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 10 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 11 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 12 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 13 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 14 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 15 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 16 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 17 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 18 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 19 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 20 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 21 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 22 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 23 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 24 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 25 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 26 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 27 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 28 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 29 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 30 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 31 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 32 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 33 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 34 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
| 35 | ARTIST GROUP | THE LAST TIME I SAW YOU | 6WK -4WK -2WK TW N S M W |
**SPECIAL MENTION ALBUMS**
High Artistic Achievement
(NONE)
**STRONGLY MERITORIOUS**
Consistently Striking at Excellence
PINK FLOYD
THE WALL/Columbia PC 2 36183
This update of the "Blows Against The Empire" musical philosophy is classic, and carries deep meaning of the composer. The Wall rocks hard but at a relatively slow pace. Nonetheless these studio masters have engineered yet another entry for the heady pantheon of fame. (Now, Mumm, there's a Pink Floyd up in the sky.) (D.S.)
R.T.'s "Any Brick In The Wall"
- Round Dust
- One Of My Turns
- Hey You
- Run Like Hell
- Waiting For The Worm
- (If you haven't noticed, side 3 is mis-sequenced on the label.)
VARIOUS ARTISTS - NO NUKES
Asylum ML 801
I was lucky enough to attend three of their first Muse concerts. For me, this is a very special album because it captures the feeling quite well. Most of the selections are at the very least familiar to all of us. But never since Woodstock has there been so important a reason for such an event. The intent of the artists is presented here in this music sound better than ever. (D.S.)
R.T.'s Devil W...Blue Dress Medley
Honey Don't Leave L.A.
Long Time Gone
Runway
Stay
(More)
**MERIT PLUS ALBUMS**
Component Lps with Some Special Element
JOHN CALE
SHOOTING LIVE/IRS (Spy) SP 004
Some say Cale is an acquired taste. Well, he's been around long we should all get into him by now. Just because he accentuates the darker side of life, that's no reason to be shy. His metal attack is like a magnet. Just give him a chance and he'll pull you in. The only flaw here is that some tunes end too abruptly, as if incomplete.) (D.S.)
R.T.'s Baby You Know
Evolve
Sabotage
Mercenaries
IAN MC LAGAN
TROUBLEMAKER/Mercury SRM-L-3786
A very live sound dominates this demonstration by a star-studded line-up. The lyrics are purposely corny but the melodies are natural with a variety of styles all held together by Ian's sweet rasp. (D.S.)
R.T.'s Headlines
Movin' Out
Little Troublemaker
La De La
THE B-52'S
Warner Bros. BSK 3355
To be sure, this is the hardest one to eat. I have hated The B-52's, beginning with the single of "Rock Lobster" and ending with their latest Orchestra Luna. But on the basis that they're only having fun, playing primarily dance music, and since they have helped to initiate some new trends, I think they at least deserve a Merit instead of my vengeful "Satisfactory" review.-Gulp: Ahhhh - Inner Sanctum! (D.S.)
BLONDIE
EAT TO THE BEAT/Chrysalis OHF-1225
I liked this album a lot when I first heard it. Since then I haven't been able to stop playing it. It's some of the dullest fare from their last, and shows major growth since their first with one fine song after another. Anyway, I haven't gotten tired of it with it at all - and that's some compliment coming from me. (Up from Merit Plus to Strongly Meritorious.) (D.S.)
DUROC'S
Capitol CP 11981
Originally a Merit Plus, but by the time the review was in print I knew I was wrong. This album is superb, and without a doubt one of the ten best of 1979. Unfortunately, this review means something to only the Nashi, Scotts, and myself and me. (Strongly Meritorious.) (D.S.)
DAVE EDMUNDS
UPON WHEN NECESSARY/Swansong SS 19507
(Originally Merit.) There's just no excuse for that, other than sheer stupidity or manic depression. Even on a bad day, Dave Edmunds couldn't make a merely Merit album. Cut for cut, it may not have been an AOR standard, but certain tracks are classics. Sorry Dave, kick me hard. (Merit Plus.) (D.S.)
FABULOUS POODLES
QUEEN STARS/Epic JE 35666
T-'s original review mentioned their wit and their clever use of borrowed licks. In short, it's a new world where the vitality of performance should have been recognized and should have propelled the common factor in the critical/mass acceptance of The Moody Blues, Yes, Undersound and The Stones. The Reds' ideas are twisted - as twisted as life itself. And as each day in this life goes by we must come to grips with the fact that the heroes we grew up with cannot last forever. Jon Landau realized it when he said, "I have seen the future of rock 'n' roll. And his name is Bruce Springsteen." Jon's vision was correct - but short sighted. He didn't see far enough. I have experienced the ultimate future of rock 'n' roll. And believe me, it's The Reds. (D.S.)
THE REDS
&N
As most of you know, I think highly of The Reds. Hence, the review of Special Mention (only on this year.) My error was not in the grading of the lp, but in the lack of an explanation for such a review. First of all, my friendship with this band is a direct result of my unquestionable understanding of and need for their music. Now view, versus. The Reds manifest in their art the endearing violence of frustrated protestation which was a
**PHILIP RABOW**
SHOOTING GALLERY/EMI EMC 3304
With an infectious nasal twang, thumping rhythms, spirited performance and some pretty hot street songs, Rabow has made his first American release. Merit Plus. (D.S.)
R.T.'s Strange Destinies
Fallen
Your Lust
Don't Call Me Tonto
The Sound And The Fury
**THE SEARCHERS**
Sicq TKK 6082
This is the original - the gold - the band which started early Beat. So isn't it ironic that they should do covers by The Records, Mickey Jupp and Tom Petty...to matter. The ringing guitars, the clean British textures, the R&B pop power - the sound of The Searchers supersedes. Merit Plus. (D.S.)
R.T.'s No Daring
Love's Gonna Be Strong
Hearts On Her Eyes
It's Too Late
**RADIATORS**
GHOSTOWN/Chiswick CWK 3003
CHERRY VANILLA
VENUS D'VINYL/NCA PL 25217
ZONES
UNDER INFLUENCE/Arista New 1
**JAZZ**
WALTER BISHOP, JR.
HOT HOUSE/Muse MR 5183
ARTHUR BLYTHE
METAMORPHOSIS/India Navigation Co. IN 1038
FLAIRCK
VARIATIONS ON A LADY/Polydor FD-16242
CHICO FREEMAN
SPIRIT SENSITIVE/India Navigation Co. IN 1045
GALAXY ALL-STARS
LIVE UNDER THE SKY/Galaxy Records GXY-95001
STEVE GIORDANO
DAYBREAK/Muse MR 5211
MARK GOLDSBURY
ANTHROPO-LGIC/Muse MR 5194
L.A.4
LIVE AT MONTREUX/Concord Jazz CJ100
CHARLES LLOYD
BIG SUR TAPESTRY/Stern Records PAC7-139
DAVE MC KENNA
GIANT STRIDES/Concord Jazz CJ-99
DAVID MURRAY
LIVE VOLUME 2/India Navigation Co. IN 1044
HORACE PARLIN TRIO
BLUE PARLIN/Steeplechase SCS-L124
ART PEPPER
STRAIGHT LIFE/Galaxy GXY-5127
DON STERNBERG
ROSETTA/Flying High Records FH 9502
**EATING CROW FOR XMAS**
Some people say that there's no right and wrong when it comes to music. They say it all comes down to personal taste. Personally, I think that theory is full of shit. After all, I was wrong about the following albums - in one way or another. Radio airplay and retail activity (+ or -) have no effect. I judge the music for what it is - to me. In the case of these six albums, I simply 'o-ked up. No strokes. (D.S.)
Fabulous Poodles into a higher than Merit category. Sorry. (G.B.M.)
JOE JACKSON
LOOK SHARP!/A&M SP 4743
We've missed this one. Don't laugh - you've missed some too. Still, missing the spirit of Joe Jackson is shameful. "Is She Really Going Out With Him?" alone is enough to make Joe sound sharp! (G.B.M.)
THE REDS
&N
As most of you know, I think highly of The Reds. Hence, the review of Special Mention (only on this year.) My error was not in the grading of the lp, but in the lack of an explanation for such a review. First of all, my friendship with this band is a direct result of my unquestionable understanding of and need for their music. Now view, versus. The Reds manifest in their art the endearing violence of frustrated protestation which was a
**THE SINCEROS**
THE SOUND OF SUNBATHING/Columbia JC 36134
For some strange reason, this album didn't hit me through my Sennheisers which I use for every album. But on the radio or through my home system, The Sound of Sunbathing offers more than a few thrills. A Merit lp?
Jeez guys, how can I mak' it up to you? (Should have been Merit Plus.) (D.S.)
MIDWEST
George Duke Stix Hooper
Prime Is The Key INDIVIDUALS
John Klemer Michael Walden
Herbie Hancock #Steve Kahn
Roy Ayers
SELLING SINGLES:
Styx J. Starship
Donna Summer J.D. Souther
Kenny Rogers Commodores
SELLING IMPORTS:
The Ramones Dick Kennedys
The Clash The Presidents
Gang of Four Shoes
Gary Numan
COMMUNICATORS:
Thanks Chuck Ollier, the people at Cincy Branch Offices of CBS, WEA & MCA. For the tours: Dale Libby (CBS) and Jim Cox (WEA). And my friend Avril Smith at MCA, and along with scores of others who got the axe. Well, that's show biz - I hope not. Good luck and stay in touch.
The Who at Cincy wasn't a tragic mess - no blame should lay with the band or rock 'n' roll. The show must go on and will.
---
MIDWEST
STARK/CAMELOT
"LEN GARRETT"
(Representing 94 stores...)
NEW REACTION:
Pink Floyd Dan Fogelberg
E.L.O. Willie Nelson
Toto Dr. Hook
Stevie Wonder Tom Petty
Neil Young Bay-Boys
TOP 15:
Bee Gees Kenny Rogers
Eagles Lee Ritenour
Styx Barry Manilow
Donna Summer Denver/Muppets
Barbra Streisand J. Starship
Iodine Dwarf Fleetwood Mac
Commodores Kenny Loggins
MUPPET MOVIE
SELLING IMPORTS:
The Stranglers Emmylou Harris
E.L.O. The Beatles
Kenny Rogers Summer/Strisland
SELLING SINGLES:
Rupert Holmes KC/Sunshine Md.
Michael Jackson
---
FT. WAYNE, IND.
SOUTHBOUND, INC.
"MICHAEL JOHNSON"
NEW REACTION:
Pink Floyd #Bob Welch
Faith Ban! Tom Browne
Tony Banks Neil Young
#Frank Zappa
TOP 15:
Dan Fogelberg Kenny Loggins
ZZ Top Santana
Little Feat J. Starship
Aerosmith Tom Petty
Toto Gamma
Styx Molly Hatchet
Led Zeppelin Donna Summer
Eagles
TOP 15 JAZZ:
Jean-Luc Ponty Brav! x
Tom Scott Herbie Hancock
Walter Hampert Herb Alpert
Donald Byrd David Valentine
James/Klugh Tom Brown
Matrix Flora Purim
Pat Metheny
COMMUNICATORS:
Floyd is great! All you Genesis followers on the new Floyd album - excellent. Home taping could be a problem here, both AOR FM stations feature entire LP's nightly - come on give us retailers a break.
---
CHICAGO, ILL.
SOUNDS GOOD
(Representing 5 stores...)
NEW REACTION:
Parliament KC
Neil Young George Jones
Diva Gray Alda Reserve
---
TOP 15 JAZZ:
Pat Metheny McCoy Tyner
Herb Albert Miles Davis
Jean-Luc Ponty Stix Hooper
James/Klugh Art Pepper
Ruthie Rushen Wayne Bofill
Corea/Burton Von Freeman
NY Jazz Quartet Lenny White
Weather Report
SELLING SINGLES:
Styx B. Streisand
Kool & The Gang Herb Albert
M Blondie
Commodores J. D. Souther
Fleetwood Mac Crystal Gayle
SELLING IMPORTS:
LP's... Martha/Muffins
Skids Local Operator
The Jam Random Hold
The Tamp Ampex/Upstarts
The Adverts Avengers
Popol Vuh Expelaires
Hybrid Kids Interview
Labels Unlimited The Specials
45's...
SELLING SINGLES:
Flying Lizards Robert John
Donna Summer downtown Bats
m Bryson/Cole
Journey Styx
J.D. Souther Commodores
Bobby Bland KC/Sunshine Bd.
Ski... Swingers
Tom Petty Dynasty
TOP 15 JAZZ:
Pat Metheny Jeff Lorber
George Duke Weather Report
Roy Ayers Johnny Griffin
Dave Valentin L. Shankar
Dave Brubeck Sonny Rollins
Cockroaches Patrice Rushen
Crusaders L.A. 4
McCoy Tyner
TOP 15:
Pink Floyd Cheap Trick
Led Zeppelin Aerosmith
Styx Michael Jackson
Tom Petty Ian Fogelberg
Bee Gees Bryson/Cole
AC/DC Prince
Little Feat B. Streisand
Journey Rufus
Stevie Wonder
TOP 15 JAZZ:
Pat Metheny McCoy Tyner
James/Klugh John Klemer
Pat Metheny Crusaders
Styx Starguard
Robert John Dynasty
Prince Isaac Hayes
TOP 15:
B. Streisand Anna Murray
Streisand/Summer 12"
M Streisand/Summer
Styx Robert John
Prince Starguard
Isaac Hayes
TOP 15:
B. Streisand Barry Manilow
Fleetwood Mac Herb Alpert
Styx Commodores
Tom Petty Tom Petty
Donna Summer J. Starship
B. Streisand Stevie Wonder
Michael Jackson
COMMUNICATORS:
Cliff Richard STILL strong. A lot of stations picking up on this record. I give it *****,s.
---
CHICAGO, ILL.
FLIP SIDE
CARL ROSENBAUM
(Representing 12 stores...)
NEW REACTION:
Steve Fortbert Kool & The Gang
The Police Pablo Cruise
TOP 15:
Led Zeppelin Cheap Trick
Journey Barbra Streisand
Eagles Tom Petty
E.L.O. Fleetwood Mac
Styx Donna Summer
Supertramp Foreigner
Aerosmith Dan Fogelberg
Molly Hatchet Rounds
SELLING SINGLES:
Styx Journey
m The Knack
E.L.O. Dionne Warwick
---
LIBERTYVILLE, ILL.
DOG EAR RECORDS
"MARK HOLLINGSWORTH"
(Representing 6 stores...)
NEW REACTION:
#Pat Metheny #John Cougar
#Rounds Steve Fortbert
Boontoon Rats #Pablo Cruise
A.R.S. #The Headjays
#A. L. & P. #Bob Welch
#Frank Zappa #Rupert Holmes
#Gilda Radner #Pink Floyd
#Jean-Luc Ponty #Peaches & Herb
TOP 15:
Neil Young Little Feat
Styx Dan Fogelberg
B. Streisand Donna Summer
Led Zeppelin Commodores
Eagles Aerosmith
Journey Supertramp
Tom Petty ZZ Top
Molly Hatchet
TOP 15 JAZZ:
Pat Metheny Lenny White
Jean-Luc Ponty John Klemer
Herb Albert Fleetwood Mac
Jeff L. Fusion Spyro/Gyra
Tom Scott Corea/Innocock
Herbie Hancock Lonnie L. Smith
Brank X L. Shankar
James/Klugh
SELLING SINGLES:
Styx Cheap Trick
"No More Tears" "Escapade"
Journey Supertramp
"Can't Let Go" Stevie Wonder
---
MILWAUKEE, WISC.
1812 OVERVIEW
"BONNIE BEIGEL"
(Representing 6 stores...)
NEW REACTION:
April Wine Angela Bofill
Hexx East Bryson/Cole
Rupert Holmes The Invaders
Cliff Richard Joe Bank
Michael Walden
TOP 15:
Pink Floyd Eagles
Tom Petty Molly Hatchet
J. Starship Stevie Wonder
Neil Young Frank Zappa
Rufus Kenney Rogers
Led Zeppelin Dan Fogelberg
Fleetwood Mac Styx
SELLING SINGLES:
Kool & The Gang Rupert Holmes
KC/Sunshine #Anne Murray
Alan Parsons Blondie
J. Starship Little River Bd.
Michael Jackson Prince
Stevie Wonder #Tom Scott
TOP 15 JAZZ:
Angela Bofill Pat Metheny
James/Klugh Crusaders
Herb Alpert Patrice Rushen
Lenny White George Duke
Fleetwood Mac Lonnie L. Smith
Donald Byrd Earl Klugh
Jean-Luc Ponty Pressure
N.M. Walden
Rock 'n' Roll is twenty five years old. During the last ten years it has gone through puberty, struggled through adolescence and suffered through its shaky early twenties. It experimented with sex—the back seat of any car. It became addicted to drugs—"This is the best part of the trip—this is the way the best parts really like." Then, rock got super serious on us with Tales of Topographic Oulieht.
Obviously, a revolution just had to happen. And it did—in the nick of time. But as we go into the big countdown to the 80's, what do we remember the 70's? And how important was the 70's?
Mark McEwen from W4 in Detroit remembers the decade like this: "Musically, we went from being electronically experimental to being bloated with electronics. About midway through, we started playing mainstream music and started making jukebox music, ala Styx and Kansas. And I don't think that there's anything from that genre of music which in ten years we'll look back to and wish those days were here again. We peaked commercially '75 with "Born To Run." But since then I don't think anything major has been done. What we had in the 70's was sort of the 'flash in the pan' kind of thing—more commercially than artistically. People were just trying to make those bucks. And I think a lot of people shot their wads. Everybody had one hit album. There weren't too many who had a string of them. And as the buck affected the music, it also affected radio. All of a sudden, FM became a money maker. And anytime that happens, things change. And before they went from artistic to commercial. And on the other hand, at the same time, it seemed that people didn't want to be exposed to new music. When they listened to the radio they wanted the gratification of knowing that the albums that they recently bought were good albums because if radio wasn't playing it, it must be a good album. They wanted reassurance of their own tastes. But all of that is turning around lately. People want the new stuff. The jukebox period is dying. By which I look back at the 70's in general. I call it the "How will we make a lot of money on this shit" decade."
Steve Sutton, PD at WYSF in Philly says, "Where did those ten years go? All I can remember are the 15 stations where I've been who told me I'd never work in those towns again. My biggest disappointment is that I thought the drugs would have gotten better."
Dave Einstein from WHFS in D.C. says, "The 70's? It's been all down hill. It's been a straight ride to the bottom. Just cross your fingers for the 80's. Musically, it's been pretty steady, except for this last year. Nothing has happened in rock'n'roll since Buddy Holly died—a couple of guys took acid and went out a little bit, but not much beyond that. I was more bored in '75 and '76 than any other time. I can't even remember those years. The early 70's were hip, but then Nixon came along and that's when the whole thing started to slide."
Karen Kline, MD at WBCN in Boston offers her analysis: "The whole thrust of this last year has served to bring mass appeal music to a level of social consciousness again. It's sort of been a cycle since the late 60's. But some of the real importance of this decade lies in the fact that radio was the only medium available everywhere in America. Before the 70's only certain markets had stations which even played rock'n'roll, outside of Top 40. But what we've seen in the 70's is the growth of the research approach, with the American idea of station rating so pervasive in the realm of how many listeners they have. They're huge. So AOR became, in the 70's, what Top 40 was in the 60's and 50's. And just as there's a parallel between the two eras of radio, there's a parallel in what happened to music. During the 60's music was going into a dance, or disco, type of thing. Then the Viet Nam war opened up the social issues, thus the demise of dance music and the rise of psychedelic rock. What happened in the 70's is that we got into disco, or dance music and then regressed, this time full circle back to the roots—the same thing that was happening in '64, the mod sound."
Last but in no way least is Sky Daniels from the Loop: "The 70's—for a while there, I was worried. I didn't have to have to credit the New York scene of '76-'77 and the English punk scene from that same period for what's happening today. Even back then I knew that if that movement caught hold at least a little bit, it would give the impetus for the critics and some of the more straight forward and essential radio people to have a foundation to build on to take the whole business back to the essence of rock'n'roll. And that's what happened. Even though the main stream is a long way from coming home, it may have come home a lot in the ears of the critics and radio people, it still hasn't manifested itself to any great degree in the real audience. They're still into Styx, Kansas, Boston. But more and more they are orienting themselves towards, at least, the Cars, Joe Jackson and Tom Petty. I think '79 was the greatest year of the 70's. It was clearly a transitional year in which the new bands had renewed confidence and actually felt that they were on top with their superiors. The Fleetwood Macs were having the same difficulties making money as some of the younger bands. Albeit, in larger scale, but they were still fighting for their rock'n'roll dollars.
"Now everyone's realizing that the party's over. It's back to playing great rock'n'roll and not doing it for money's sake. They have to do it from honest motivation. I think that after '79 we're going to see one of the most fertile periods rock has ever had because we've learned from our past mistakes and we're going to improve upon the original essential rock period—the mid 60's and late 50's.
"The 70's as a whole, especially in radio, were thoroughly disgusting. Either it was being forced in by progressive programming or else calculating in its mass appeal that nothing had any natural, spontaneous life to it. It was all someone's idea of how they'd impress a listener rather than just living it and doing it and thereby gaining the respect of the audience. But this year has started to turn that around too. So, looking at the entire decade I'd say 1970 to 1978—not so good, 1979—THE BEST."
I'd like to take this opportunity to thank everyone out there who offered help and support during this past year. There are a hell of a lot of real nice people in radio who have made this smart-mouthed, wise ass of a newcomer feel accepted and welcome. Actually, before I even thank God I must thank George Meier who was never my boss, but always my friend. So, here come the 80's. My advice is simply 'Keep on rockin' til your jeans explode.'
Call Anytime
(212) 877-4500
The WALRUS! staff takes this opportunity to wish our entire readership warmest Season's Greetings. This issue marks the end of our publishing year and we plan to begin publication in the second week of January.
During this brief interval, our staff will be busy at work compiling the WALRUS! ANNUAL which should reach each subscriber in January.
Once again, Happy Holidays!
BY DEAN SCIARRA
Reggatta de Blanc
I'M THE MAN
GET THE NEW ALBUM...
JOE JACKSON
I'M THE MAN
INCLUDES THE SINGLE "I'M THE MAN"
JOE JACKSON
I'M THE MAN
ON A&M RECORDS & TAPES.
JOE JACKSON
I'M THE MAN
JOE JACKSON
The Police album... REGGATTA DE BLANC... SP-175
The Police single... MESSAGE IN A BOTTLE... SP-176
ON A&M RECORDS & TAPES.
Produced by The Police and Nigel Gray. Agency: Frontier Booking International. 1979 A&M Records, Inc. All Rights Reserved.
Produced by David Kershenbaum. Agency: William Morris/Wayne Forte. 1979 A&M Records, Inc. All Rights Reserved.
World Radio History
|
David J. Mattson, Ph.D.
Wyoming Wildlife Advocates
Comments on the
US Fish & Wildlife Service proposal to remove grizzly bears in the Yellowstone ecosystem from the list of endangered and threatened wildlife protected under the US Endangered Species Act (ESA); Federal Register 81(48): 13174-13227
And Related Materials
May 5, 2016
Introduction
On behalf of Wyoming Wildlife Advocates, this package of materials constitutes my review of the Rule and related materials (hereafter the Rule) issued by the US Fish & Wildlife Service (the Service) covering a proposal to remove grizzly bears in the Yellowstone ecosystem from the list of endangered and threatened wildlife protected under the US Endangered Species Act (ESA). The Rule itself was published in the Federal Register 81(48): 13174-13227; I obtained additional related materials from the Service’s web site under Docket no. FWS-R6-ES-2016-0042: FXES111309000000C6-156-FF09E42000. These additional materials include the draft 2016 Conservation Strategy plus appendices (hereafter the CS) and the draft Grizzly Bear Recovery Plan Supplement: Revised Demographic Criteria (hereafter the RP).
Together, these materials comprise an astounding 675 plus pages (not counting cover pages), of which 54 pages are triple column, 9-point font, with a provision in the Rule for a mere 60 days within which to submit any comments. Up front, this allocation of such limited time to come to terms with such a large amount of highly complicated materials defies any explanation that invokes a genuine interest on the part of the Service in revision and improvement. That being said, my intent here is provide comments and critiques in hopes that the Service will genuinely engage with the substance of what I offer.
The package of materials assembled by the Service in support of its proposed Rule clearly represents a huge effort on the part of what I am sure are well-intentioned people. However, I see room for major improvement ranging from revision of framing concepts, to inclusion of major bodies of currently neglected research, to improved interpretation of the science that is referenced, to remedy of the many points of internal illogic. My comments cover this entire spectrum.
My Credentials
I am currently Lecturer and Visiting Senior Scientist at the Yale School of Forestry and Environmental Studies, Adjunct Faculty at Northern Arizona University, Science Advisor for Wyoming Wildlife Advocates, and Research Associate with the Northern Rockies Conservation Cooperative. My former positions, prior to retirement from the U.S. Geological Survey, included Research Wildlife Biologist, Leader of the Colorado Plateau
Research Station, and Western Field Director of the MIT-USGS Science Impact Collaborative, all with the USGS. I hold degrees in Forest Resource Management and Forest Ecology. My doctorate is in Wildlife Resource Management from the University of Idaho.
I have studied large carnivores for over 30 years. This research has included the incorporation of ecological information from mountain lions and grizzly bears into demographic, habitat, and risk management models as well as investigations of foraging, predation, and relations with humans. My human-dimensions research spans nearly 23 years and has focused on social, political, and organizational dynamics that shape policies and practices of carnivore and other conservation programs. As part of this focus I routinely teach classes on relations between science and policy. My research has been reported in over 120 peer-reviewed publications, including work featured in *Science* and *Ecology* and as part of invited talks at the Smithsonian, American Museum of Natural History, the American Institute of Biological Sciences, and International Conferences on Bear Research and Management.
Of more direct relevance to these comments, I have studied grizzly bears in the Yellowstone ecosystem since 1979. I was part of the Interagency Grizzly Bear Study Team 1979-1993 and held primary responsibility for field investigations of the IGBST between 1984 and 1993. During this 16-year period I spent most of March-October documenting grizzly bear foraging behavior and involved in other related field projects. My grizzly bear-focused research resulted in over 60 publications, including several that are considered classics in the field of bear research. I continue to closely follow grizzly bear research in the Yellowstone ecosystem with an interest in improving not only the science, but also the use of scientific results in authoritative decision-making.
1. Given current monopolistic scientific arrangements, the Service should use a much more cautious tone when invoking IGBST science in the Rule and remove what is currently a pattern of systematically inflated claims based on this body of science. They also need to give serious consideration to patterns of evidence that call into question IGBST science, many of which are described in this review.
1.1. Virtually none of the most recent science published in peer-reviewed journals by the IGBST and used by the Service in this Rule is reliable.
This problem follows from the simple fact that the IGBST, in concert with the Service, has maintained a monopoly on virtually all of the data of direct relevance to the Rule. There is only one Yellowstone grizzly bear population and only one set of data that has been collected from this population; and none of these data, but a pittance, have been available to any researchers or research teams other than the IGBST and those scientists whom the Team has invited to collaborate. A monopoly such as this debars replication, disallows alternative models and hypotheses, provides ample scope for bias, and cannot be corrected by peer review (see my following point).
Transparency and open access to data and/or to relevant systems is at the core of scientific advancement (e.g., Popper 1959, Merton 1973, Pickering 1992, Maxwell 1998, Losee 2004, and many more). There is no substitute or sufficient remedy when such conditions are lacking. In the absence of ample opportunity for others to independently check, test, replicate, contest, and advance a body of research, those who enjoy a monopoly predictably fall prey to well-documented phenomena, including confirmation bias and groupthink, especially when they are part of a closed or mostly closed research team. They can also more easily fall prey to political influence and the sway of money, especially when there are those involved in crafting or internally reviewing the research who have an outside vested interest, and doubly so when such people provide substantial funds. All of this holds for the IGSBT and the science it has produced during the last decade, which is the purported foundation for this Rule.
These intrinsic problems are further amplified by the fact that most of the science produced by the IGBST and invoked by the Service entails complex models and complex assumption-ridden statistical methods. Such is the case for all of the results germane to judging the demographic and genetic plight of Yellowstone’s grizzly bears. Yet it is well known to even half-way thoughtful scientists that there is no one correct model, and that model-building is perhaps the most vagarious and bias prone of scientific undertakings (see Point 4.2 below). The best we can collectively hope for is that a range of relevant models are produced by as many truly independent researchers as possible for collective deliberations. Unfortunately, what we have is the opposite of this: a closed enterprise under IGBST and Service auspices, privileged with fielding a few chosen models produced under predictably biasing circumstances. Again, as I describe in my next key point, no amount of peer review can correct for this.
I anticipate that the Service’s response to this critique will be to list all of the scientists who have been invited by the Service and the IGBST to collaborate on scientific undertakings. Such a list would be largely irrelevant to the basic point I make here, which is that scientific progress and reliability require free and unhindered access to systems and/or data for use by independent investigators as part of independent inquiry.
There are potentially several ways to interpret what appear to be patterns of systematic bias in public statements made by IGBST scientist—and patterns there are. But there is little doubt about the highly problematic structural configurations of the environment within which IGBST scientists have produced the science relied upon disproportionately by the Service in this rule, and which virtually guarantee the production of unreliable science. Put another way, the burden should be on the Service to articulate a compelling argument for how and why a veritable monopoly on the relevant scientific enterprise guaranteed or even increased the odds of reliable scientific outcomes.
1.2. Peer review is unlikely to detect much less correct for bias in IGBST science introduced by monopolistic arrangements.
The IGBST operates under the auspices and authority of the US Geological Survey (USGS). In its various policy documents, the USGS makes many claims regarding the efficacies of peer review, including the assertion that “peer review...insures the scientific quality of USGS information (USGS Manual, 502.4, Fundamental Science Practices) and “peer review, as cornerstone of scientific practice, validates and ensures the quality of published USGS science” (USGS Manual, 502.3, Fundamental Science Practices). It is these claims that apparently undergird the Service’s and the IGBST’s defense of a monopolistic scientific enterprise. In keeping with these policy statements by USGS, the Service and IGBST commonly claim in public that peer review will detect error and ensure, if not guarantee, the quality and reliability of the IGBST’s science. In fact, these assumptions appear to be behind the Service’s elicitations of peer review by three select reviewers as a presumed corrective for error during further development of the Rule.
Put bluntly, the claims made on behalf of peer review by the Service, USGS, and IGBST are not empirically substantiated. The corpus of scientific inquiry into the efficacies and problems of peer review (e.g., Burnham 1990, Armstrong 1997, Campanario 1998, Bacchetti 2002, Biagioli 2002, Benos et al. 2007, and many more) has shown that error is detected at about a rate one would expect by chance, and that, if anything, peer review is about adhering to dominant paradigms and drawing support from the predictably commonplace reviewers who adhere to them as well. (Not coincidentally, the IGBST has published over 75% of its research since 2004 in *The Journal of Wildlife Management* and *Ursus*, both of which could be considered bastions of dominant paradigms.)
Because of empirically-based concerns about peer review, there has been a corresponding groundswell of criticism of peer review in the scientific community. About the best that thoughtful defenders of peer review can say for this practice is something akin to what Winston Churchill said about democracy: “Democracy is the worst form of government, except for all the others.” Although defenses—and critiques—such as this still allow a constructive place for peer review, they are hardly a basis for putting faith in this process as some sort of guarantor of scientific quality.
Peer review clearly functions as a mechanism for censorship, improvement, maintenance of identify amongst a community of self-styled elites, and a device to be used for political advantage. Unfortunately, claims on behalf of peer review by the Service, the USGS, and the IGBST bespeak a political enterprise more than they reflect any objective and empirically-based assessment of what peer review has to offer (see Appendix 2 for an elaboration of this argument). As above, the burden should be on the Service to provide an empirically-based and compelling argument for how, in fact, peer review corrects for the potential bias-inducing effects at play in this situation. This burden weighs all the heavier because of the monopolistic arrangements I describe immediately above.
2. The frames currently used by the Service and the IGBST to organize information about the interrelations of food quality and quantity, hazards, and birth and death rates are deficient and do not reflect the best available science.
2.1. The Service fails to coherently address the joint dimensions of diet that include food quality and the characteristic hazards associated with consumption of a given food. Because of this failure, the Service’s representation and analysis of the interaction of hazards with quality/quantity is haphazard and prone to selective manipulation in service of the immediate argument. This translates into patently deficient logic and analysis throughout the Rule and CS.
The demographic implications of consuming a given food will be defined at a population level by effects on both birth and death rates. Effects on fecundity will be predictably mediated by effects on the condition of reproductive females and the extent to which those effects translate into reproductive rate. Effects on death rate will be dictated by the characteristic hazards associated with using a particular food. A high quality food with positive effects on birth rates can either be associated with foraging opportunities concentrated in highly secure habitat or the opposite. This latter set of circumstances, where a high-quality food lures an animal into a highly lethal environment, has become the focus of scientific inquiry organized under the rubric of “ecological traps” (e.g., Delibes et al, 2001, Schlaepfer et al. 2002, Hale & Swearer 2016), which is interrelated with but distinct from source-sink dynamics (Kristan 2003).
The concept of ecological traps is not new to bear researchers. Most notably, Joe Northrup and Scott Nielson deployed this concept (with Nielson using slightly different terminology) in geospatial conservation assessments for grizzly bears in Alberta (Nielson et al 2006, 2009; Northrup et al. 2012). Moreover, there have been several highly congruent landscape-level assessments of hazards for Yellowstone grizzly bears (Carroll et al 2001, 2003; Merrill & Mattson 2003; Johnson et al 2004; Schwartz et al. 2010) which have been directly relevant to judging the hazards of using different foods with different geographic distributions (e.g., livestock, whitebark pine, and cutthroat trout), albeit without explicit integration of hazards and productivity under rubrics such as ecological trap.
Yet the Service does not deploy the concept of ecological traps; nor do they, in fact, deploy any explicit framework by which the nutritional benefits and entailed hazards of any given diet or dietary shift are simultaneously considered. Throughout the Rule and CS, nutritional aspects are examined in isolation from effects on survival. This is a major failing given that the Rule and CS devote much text to presumably assessing the consequences of the dietary changes afoot with Yellowstone’s grizzly bears, related to the loss of most whitebark pine and cutthroat trout, and the apparent shift of surviving bears to eating more army cutworm moths and meat from terrestrial mammals—among other things. The integration of hazards with nutrition needs to occur if for no other reason than the overwhelming evidence for variation of the hazards incurred by adults when using foods of otherwise similar nutritional quality: e.g., much lower for bears eating whitebark pine seeds and trout compared to bears consuming a diet of meat from ungulates, or any other food that brings bears near and into conflict with people.
At a minimum, the Service needs to differentiate major grizzly bear foods according to some sort of matrix that distinguishes high-quality foods entailing characteristically high hazards from high-quality foods entailing characteristically low hazards, and furthermore differentiate whether the hazards are born primarily by dependent young, independent bears (adults and adolescents), or both. This latter distinction is important to any assessment because 80-90% of all independent-aged grizzlies die from human-related causes (e.g., Schwartz et al. 2006) whereas many dependent young bears die for “natural” reasons, including predation by other bears. Hazards associated with humans are thus thrown into sharper relief in any assessment of dietary shifts among adult bears, whereas hazards associated with potential “natural” predators are a more prominent
consideration in assessing changes for cubs and yearlings. Parenthetically, the Service also needs to assess the hazard-related consequences of shifts in consumption of lower-quality foods (e.g., any roots or foliage).
2.2. The Service fails to adequately frame and address the many environmental changes that have occurred in Yellowstone’s grizzly bear range during the last 15 years. As a result, the Service has no basis for judging the effects of any single change, including loss of whitebark pine. This problem partly derives from the fact that the Service relies almost exclusively on science produced by the IGBST, which is similarly deficient in its conceptualizations.
All of Yellowstone’s grizzly bear data have been collected as part of an observational study, which translates into serious demands on analysts if they are to arrive at even half-way defensible conclusions regarding cause and effect. Observational studies are almost invariably beset by a host of causal dynamics, many of which interact or are correlated in time and space. As a result, isolating the effect of one factor on an outcome of interest—say, the effect of whitebark pine seed consumption on grizzly bear birth rates—requires somehow accounting for and controlling the effects of all other casual factors of any probable significance.
In practical terms, this requires building replete conceptual models of the system of interest that incorporate as much knowledge about prospective ecological drivers as possible; identifying valid measurable surrogates for each of these drivers; and then incorporating them into some kind of model as covariates or causal variables. Sir Ronald Fisher, the father of modern statistics, was amongst the first to recognize this imperative when he stated “make your theories elaborate” as a precondition for taking the step from association to causation in observational studies. William Cochran, who elaborated on the use of covariates in analyzing data collected from observational studies of complex systems, laid the foundation for following seminal work (e.g., Dawid 1979, Rosenbaum 1984, Hilborn & Mangel 1997) on the importance of having considered enough factors to ensure that the resulting models were sufficient; that is, not likely to substantially change with the introduction of additional covariates. And so on.
Given the extent to which the Service depends upon science produced by the IGBST, this issue of sufficiency raises the question of whether the conceptual and statistical models produced by the IGBST were defensible—or not; whether they adequately attended to all of the factors that prior knowledge would suggest were drivers of variation in, say, birth and death rates of Yellowstone’s grizzly bears. If the conceptual underpinnings of the analyses undertaken by the IGBST were *prima facie* inadequate, there is all the more reason for skepticism of their results, especially in the face of contradictory evidence.
In short, the conceptual models and resulting statistical results produced by the IGBST have been patently inadequate. The Study Team has failed to address a number of potential drivers of birth and death rates, and has not adequately dealt with the high degree of spatial and temporal correlation that besets many of these factors. To date, the IGBST has only considered routine effects (bear sex and age class), plus whether a bear was trapped for research or management purposes (as a surrogate for whether the bear was food-conditioned, habituated, or not); management jurisdiction and nearness to roads (as a surrogate for human lethality and exposure to humans); bear density (through suspect indices; see my later comment on this); and, in earlier analyses, size of whitebark pine cone crops (Schwartz et al. 2006). Spatial representations of whitebark pine forests and density were added recently by Van Manen et al. (2015).
At a minimum, by slavishly relying on the IGBST’s science, the Service has failed to address in any sort of integrated way the effects of on-going increases in use of army cutworms and the sites where these insects aggregate; the effects of losing virtually all of the cutthroat trout spawning in streams tributary to Yellowstone Lake since the mid-1990s; the effects of major declines in most elk and some bison herds, also since the mid-1990s; the effects of a severe drought between 1998 and 2008; the effects of a short-term masking trend towards increased
per tree cone crops on whitebark pine since roughly 1997; increasing exploitation of livestock and the remains of hunter-killed elk since roughly 2006; and the extent to which trout losses, ungulate herd declines, losses of whitebark pine, increases in cone crops, increases in availability of moths, and putative increases in bear density were highly correlated in time, sometimes in space, and sometimes as an interaction of both. This multitude of tangled effects probably constitutes as severe an analytic challenge as any analysts have faced trying to divine cause and effect in an ecological system. This complexity also increases the odds that bias can and will be introduced in the necessary simplifications made by the IGBST, its collaborators, and the Service—by the choices of what effects to consider, and how.
At this point I need to clarify my critique with reference to the standard practice reported by the IGBST in virtually all of its publications, which is to generate *pro forma* lists of rote models containing permutations of variables that they considered, along with AIC values for each. Such lists do not address the IGBST’s and Service’s failure to consider certain effects altogether and the Study Team’s consistent under-use of useful measures of model goodness-of-fit and predictive value. As I noted above, these are all critically important considerations in the production of models designed to address the complexities of open ecological systems, which, if neglected, can result in nothing more than misleading if not useless results (see Pilkey & Pilkey-Jarvis 2009).
In fact, bias is amply evident in the extent to which the IGBST structured its post-2009 inquiry into grizzly bear vital rates as an artificially simplified contest between the extent of whitebark pine forests, on the one hand, and bear density (e.g., density dependence), on the other (see also my comment below on use of the density-dependence concept by the Service and the IGBST). It hardly seems a coincidence that the 2009 and 2011 Court rulings over-turning the Service’s 2007 delisting rule were based on the extent to which the Service was perceived to neglect and misrepresent the body of science showing a major effect of whitebark pine seed availability on grizzly bear vital rates. And even during the period of litigation, the Service was contending that bear density alone was driving changes in vital rates, and that losses of whitebark pine were minor. It is hard to avoid concluding that the post-2009 science produced by the IGBST was (and is) merely the fulfillment of a politically-driven agenda.
As a bottom line, this problem of deficient conceptualization of the ecological system debars any confidence in how the Service represents or otherwise uses science produced by the IGBST. One option would be to put the Rule on hold and allow for additional investigations of alternative models by independent researchers. Another option would be, at a minimum, for the Service to acknowledge the limitations of the science they rely on, clarify the resulting uncertainties and ambiguities, and adopt a suitably precautionary approach.
But regardless of deficiencies in the research produced by the IGBST, this does not excuse the Service from deploying a conceptual framework sufficient to the complex and demanding task of assessing the effects on Yellowstone grizzly bears of all the environmental changes that have occurred since the time of Listing. In fact, nowhere is there any evidence of the Service deploying such a frame.
### 2.3. The Service fails to use the best available science in its conceptualization of factors driving levels of human-caused grizzly bear mortality. As a result, the Service conflates static spatial delineations of so-called secure habitat with what is, in fact, a highly dynamic set of factors driving current increases in human-caused mortality.
The Service repeatedly states in both the Rule and the CS that maintenance of a select number of GIS-delineated spatial habitat attributes at 1998 levels within the PCA will insure that rates of human-caused mortality will be no higher in the future than those that occurred during roughly 1988-1998. These spatial attributes include road densities, the extent of areas >500m away from human infrastructure (so-called “secure” habitat), and numbers of livestock allotments.
These arguments are substantively deficient in several regards. First, the Service fails to recognize that humancaused mortality is driven by two distinct phenomenon, one with a major geospatial dimension, the other largely without: the simple distinction between how often bears encounter people (frequency of contact) and the likelihood that the encounter will end up lethal for the involved bear (lethality of encounter). Second, and related to the first, the equivalence of static landscape features with main drivers of human-caused mortality is simple-minded and thereby misses several other key factors that render a static geospatial analysis patently deficient.
Taking each of these failings in turn, first, Mattson et al. (1996a, 1996b) provide a clear articulation of the logic behind and implications of distinguishing between frequency and lethality of human-bear encounters as determinants of total human-caused bear mortality. Numbers of deaths can be high under conditions of low-frequency contact, as typified by encounters between grizzly bears and big game hunters or grizzly bears and wildlife managers operating at the behest of livestock producers; and numbers of deaths can be low under conditions of high-frequency contact, as typified by encounters between habituated bears and masses of tourists along National Park roads. It is human lethality, not frequency of encounter as such, that differentiates these kinds of scenarios.
Interestingly, the Service awkwardly and tacitly implies these distinctions in its references to research that has purported to explain variation in grizzly bear mortality rates on the basis of management jurisdictions or delineations (NPS lands versus the PCA versus outside the PCA; Schwartz et al. 2006, 2010). Without explicitly saying so, these effects derive almost wholly from variation in human lethality, which varies, in turn, as a function of whether people tend to be well-armed (e.g., big game hunters), associated with features that generate conflict (e.g., livestock allotments), and tolerant (or not) of grizzly bears (e.g., most amenity migrants versus most livestock producers). And, importantly, human lethality can vary by orders of magnitude over time, as between the 1800s-early 1900s and the period after which grizzly bears were protected under the ESA (Mattson & Merrill 2002). Likewise, the Service tacitly argues in its many claims for the efficacies of its ESA-mandated management that declines in human lethality were a result of better garbage management, food storage, and education.
The main point here is that human lethality can vary widely in time and space as a function of human attitudes and behaviors. It is a highly dynamic phenomenon that contributes every bit as much as frequency of human-bear contact to total grizzly bear mortality. The Service does not recognize this, which results in other deficiencies in its argument that I refer to elsewhere.
Second, and related, a static spatial representation of absolute lethality of the Yellowstone landscape (which the Service tacitly does through its invocation of a static spatial baseline) fails to recognize that grizzly bears may spend more or less time near people—both inside and outside of so-called secure areas—as a function of social interactions amongst bears and changes in the abundance and distribution of key foods. As important, these redistributions of bears can expose them to people of varying lethality. Grizzly bears can encounter highly lethal people in so-called secure areas at varying rates depending on factors that motivate the bears. The main example of this is grizzly bears encountering elk hunters in the backcountry at frequencies that vary depending upon how strongly the bears orient to the offal left behind from elk kills by hunters (Haroldson et al. 2004). All of this plays out in so-called “secure” areas. And, as I point out elsewhere, bear mortalities resulting from conflicts with elk hunters have skyrocketed since roughly 2007, again, mostly located in what the Service is calling “secure” habitat.
The main point here is that grizzly bears are free agents motivated by a search for preferred food (e.g., Mattson et al. 1992, Haroldson et al. 2004) as well as avoidance of other bears (Mattson et al. 1987, McLellan & Shackleton 1988). These movements and resulting redistributions with respect to humans can systematically change over time (as claimed by Costello et al. 2014), at various scales, with resulting changes in exposure of even the same numbers of bears to varying hazards and levels of risk associated with humans—resulting in varying levels of human-caused mortality even with the same amount of so-called “secure” habitat. The Service essentially ignores all of this in its unqualified claims that maintaining a static spatial baseline dating back to 1998
will somehow insure the security of grizzly bears (e.g., pages 13182 & 13184).
For this and other reasons articulated in my critique, the Service needs to account in its habitat management prescriptions for all of the social and dietary changes since 1998 that have resulted in increased exposure of grizzly bears to human hazards synchronous with no net change (or increase) in livestock allotments and human infrastructure.
3. The Service employs a simple-minded and unsubstantiated conception of carrying capacity as a basis for in turn making unsubstantiated claims regarding the number of bears able to be sustained in the PCA and DMA, and past and likely future effects of food quality and quantity on Yellowstone’s grizzly bear population.
The Service’s representation of carrying capacity ($K$) throughout the Rule and CS is almost wantonly simple-minded and seemly constructed to serve the sole purpose of supporting assertions that (1) there is no more room for grizzly bears in the PCA (and DMA), (2) that no deleterious habitat trends are afoot that might compromise current conditions, and, because of that, (3) the population is secure, recovered, and ready to be delisted.
The gratuitous figure on page 10 of the Rule is emblematic of the Service’s problematic use of the carrying-capacity concept. Here, they show $K$ as being static and unchangeable, with population size fluctuating around it—presumably as a representation of what has happened and will continue to happen with Yellowstone’s grizzly bear habitat and population. In fact, this representation is utterly at variance with both reality and the several references that the Service cites as if for substantiation.
In fact, carrying capacity not only changes from year to year, but also exhibits long-term trends as a function of long-term changes in availability of critical resources—most importantly, food. As I have pointed out throughout my critique (and as the Service tacitly admits in many places), carrying capacity has changed for grizzly bears in the Yellowstone ecosystem as a function of changes in food availability. Since the mid-1990s positive changes can readily be attributed to increasing consumption of moths in the Absaroka Mountains and increases in the Northern Range bison herd. The more numerous negative changes can be attributed to functional extirpation of cutthroat trout in Yellowstone Lake; 50-70%+ loss of mature cone-producing whitebark pine throughout the ecosystem; major declines in virtually all of the ecosystem’s elk herds; and major recent declines in the Central Yellowstone Park bison herd. A major decade-long decline is also plausibly attributable to the epic drought that lasted 1998-2008 (see the graphs I present under point 10). In the net, $K$ almost certainly declined during the last 20 years. Put another way, it defies reason and all available evidence to credibly argue otherwise—which is what the Service tries to do in the Rule.
Another key point is that, when reckoned against total size of a population that is expanding in distribution, $K$ must be assessed not only for a given area, but also for the cumulative area occupied by the expanding population. This is relevant for Yellowstone’s grizzly bear population given that its distribution has apparently expanded by 30-40% (Bjornlie et al. 2013) at the same time that the population was “stable”; i.e., not increasing in numbers. In other words, approximately the same number of grizzly bears was sustaining themselves by occupying an ever-larger area, which presumably cumulatively encompassed an equal or greater amount of food; increasingly including livestock on the periphery of the ecosystem (see my point 9).
Figure 3.1 encapsulates all of these points in graphic form and is presented as a corrective for the egregiously misleading figure offered by the Service in the Rule. Here carrying capacity for the core of the ecosystem is shown by a dark gray line as an annually highly variable value, but with a long-term decline over the long run. The effect of bears expanding into new areas is shown by the light-gray-shaded area above, constituting a mitigating offset for losses in the core. Population size is shown by the red
arrow, and actually exhibits less variation than occurs in $K$ itself. This arises from the fact that grizzly bears can buffer themselves somatically and behaviorally from inter-annual variation in habitat productivity (e.g., Herrero 1972), and because grizzly bear populations are subject to potentially long lags between when habitat change occurs and when this change is manifest in population size (Doak [1995], McLellan [2015]; see my point 5 about lag effects).
As a bottom line, $K$ for Yellowstone’s grizzly bear habitat has certainly varied widely and has probably declined substantially. To the extent that the bear population has reached “carrying capacity,” this probably has more to do with declines in $K$ than to increases in population size, as such. Understood this way, being at carrying capacity is not an argument for current or long-term security, but rather an argument for current and long-term vulnerability. By itself, a population at $K$ is not an argument one way or another for judging recovery.
The Service needs to correct its misleading and simple-minded representations of carrying capacity along with relations of $K$ to population size in its risk assessment. In service of this end, the Service has my permission to use the graphic above in the Rule and related materials.
4. The Service employs “density-dependent effects” in this Rule with little apparent understanding of the concept and with no reference to, and in contravention of, the most reliable and straight-forward scientific reckoning of trends in grizzly bear density in the Yellowstone ecosystem.
The Service claims throughout the Rule that changes in the demography of Yellowstone’s grizzly bear population since the mid-1980s have been driven largely (if not solely) by changes in population density, entraining “density-dependent effects.” On this basis the Service then goes on to dismiss effects attributable to changes in abundance of whitebark pine—or any other food. The primary basis for this oft-repeated claim is Van Manen et al. (2015), although with parenthetical reference to Schwartz et al. (2006), who also purport to have detected “density-dependent effects.” The Service, citing Van Manen et al. (2015), attributes declines in survival rates of cubs and yearlings to increasing bear densities, but otherwise flags few other effects of density on either birth or death rates.
The Service’s claims suffer from an invocation of naive if not downright misleading conceptions of density-dependence and from critical—even fatal—failings of the cited research. Its claims that density has increased since around (or even before) 2000 are also contradicted by straight-forward and unambiguous scientific data, and otherwise have little scientific credibility. In short, the Service’s invocation of density is one of many slender broken reeds upon which its arguments are based.
Starting with the most straight-forward point first: grizzly bear densities almost certainly did not increase in the Yellowstone ecosystem during the 2000s and after. As the Service frequently asserts, the population “stabilized” during this period, meaning few if any increases in numbers of bears. A trend line fit to MarkResight-based estimates of population size (a less bias-prone method compared to the Chao2-based approach) substantiate this assertion, with the added possibility of population declines since around 2006-2007 (see the bottom graph in figure 5.3.1). At the same time, the distribution of the population increased by roughly 40% (Bjornlie et al. 2013). Simple math shows that if you have the same number of individuals spread out over a substantially larger area (n/area), density axiomatically decreases. To the extent that demographic rates of the Yellowstone grizzly bear population have changed at all during the last 15 years, it is almost certainly not because of increased bear densities—at least by our most straight-forward and unambiguous reckonings of density.
Turning more specifically to the methods employed by Schwartz et al. (2006) and Van Manen et al. (2015): In the case of Schwartz et al. (2006), they used a time-specific population-wide index of “density” based explicitly on annual counts of females with COY. As I point out elsewhere (my point 19), this index of population size almost perfectly mirrors changes in efforts by researchers and managers to find bears, along with changes in the intrinsic sightability of the bears they were seeking. By contrast, the correlation between annual counts of females with COY and actual population size is unknown and almost certainly meaningless if not deceptive. Moreover, the index used by Schwartz et al. does not account for steady increases in the distributional extent of the population (e.g., Schwartz et al. 2006b, Bjornlie et al. 2013), which introduces further unaccounted-for bias. Compounding these intrinsic problems is the fact that Schwartz et al. (2006), like Van Manen et al. (2015), did not control for a number of major temporal changes in abundance of key foods that were correlated with their purported index of bear density (e.g., cutthroat trout, elk, bison, and army cutworm moths), which debars any isolation of a density effect—even assuming a valid index—and introduces major statistical problems related to covariance of explanatory variables.
In contrast to Schwartz et al. (2006a), Van Manen et al. (2015; and Bjornlie et al. 2014) used a purported index of population density that varies not only by year, but also with respect to a grid of cells sized to approximate the extent of female home ranges. Because of this spatial and temporal resolution, the Bjornlie/Van Manen index gives the reassuring impression of high-resolution precision to those looking at their results with an uncritical eye—which seems to be the case for the Service.
In fact, this index is yet another instance of a metric with no known relationship to the parameter it purports to indicate (i.e., bear density), and almost certainly substantially contaminated by, in this case, efforts of researchers and managers to capture and collar grizzly bears. Briefly, the density index is directly based on the number of bears trapped and radio-marked in a given area during a given year, weighted by rote survival rates to “extrude” [sic] these bears forward and backward through time, after which the “extruded” bears are stacked and added to come up with a purported index of density. Van Manen and Bjornlie attempt to “validate” this index, *prima facie* biased by trapping effort, by correlating it with two other metrics that have no known relationship to density—other than what Van Manen and Bjornlie assert through argumentation. More tellingly, the population-level results of the arcane and unsubstantiated Van Manen/Bjornlie density index contradict the straight-forward calculation I describe immediately based on estimates of total population size and distribution.
And, again, because both Bjornlie et al. (2014) and Van Manen et al. (2015) fail to account for numerous other major changes in Yellowstone’s grizzly bear habitat—also correlated in both time and space with their purported density index (see my point 10)—they have no basis for isolating any density effect, even assuming the index they use is valid. Given all of these problems with the Van Manen/Bjornlie density index, the burden is clearly on the Service to reconcile the contradictions between, on the one hand, the best available science regarding population size and distribution and, on the other, grossly deficient science that uses a *prima facie* problematic unproven index of density in context of patently inadequate analyses that fail to account for most of what is likely to affect grizzly bear birth and death rates (as per most of my review here). More to the point, the Service does not, in fact, use the best available science regarding density effects and, instead, relies almost solely on science of comparatively little merit.
Finally, the Service and the IGBST research that it invokes employ a simple-minded and often misleading conception of “density-dependence” that offers little insight of relevance to the deliberations of this Rule. As one insightful and well-respected population ecologist put it: "Density is not a mechanism" (this from Charles Krebs [1995, 2002]). What he meant by this is that birth and death rates of animals are driven by levels of predation, disease, and intra- and interspecific competition, along with the quality and abundance of foods, especially those eaten by females. If population density has any effect at all, it is through somehow modifying these critical factors. There is no direct effect of density, even in New York on a subway. Invoking density as an explanation for anything is equivalent to assuming that animals are ping-pong balls moving at random, with each ball equal in all of its effects.
To the extent that density has any effect, it necessarily interacts with carrying capacity and changes in the microscale and mesoscale distributions of individual bears in reflection of dietary changes driven by changes in availability of foods. In other words, at the same exact density, the frequency and lethality of interactions among bears can vary substantially depending on total abundance of food and the extent to which these foods are concentrated in time and space—as with differences in British Columbia between coastal areas with salmon spawning runs and interior areas with abundant by widely-distributed berries. The upshot of this is that a simple shift in diet among Yellowstone’s female grizzly bears from pine seeds to terrestrial meat (see my comments under point 9) could substantially modify levels of interactions with other bears, especially males, and without any change in bear densities.
Parenthetically, as I point out elsewhere (point 17), changes in cub and yearling survival rates can be plausibly explained simply by changes in foraging behaviors of female bears, and without needing to resort to poorly conceptualized and unsubstantiated claims regarding density. Survival rates of cubs and yearlings have probably declined simply because adult female grizzlies are eating more meat and incurring substantially more hazards for their dependent offspring; hazards primarily, but not solely, related to increasing odds of predation by other adult bears and wolves.
The Service needs to upgrade its conceptualization of density effects; recognize deficiencies in the science it currently invokes to justify its density-related arguments; adopt, instead, the best available science; and, finally, realize that changes in demography and trend of Yellowstone’s grizzly bear population are almost certainly a result of changes in food availability, diet, carrying capacity, and distributions—not increasing densities and presumed “density-dependent” effects.
5. The Service fails to adequately address the issue of lag effects in the Rule. There are no habitat-based standards proffered by the Service that would trigger reviews by the IGBST or Service; nor is there any history of the IGBST seriously engaging in its research with the existing suite of monitored habitat indicators; nor is there any history of managers or researchers in the Yellowstone ecosystem seriously considering any habitat trends except in response to litigation or threat posed by research published by other researchers.
On page 13224 of the Rule the Service addresses the issue of lags between changes in habitat and manifestation of these changes in population size and trend by asserting: “…the IGBST will monitor a suite of indices simultaneously to provide a highly sensitive system to monitor the health of the population and its habitat and to provide a sound scientific basis to respond to any changes or needs with adaptive mgmt. actions. This “lag effect” is only a concern if the sole method to detect a change in habitat is monitoring changes in population size. … [W]e feel confident that we will be able to detect the consequences of significant changes in habitat.”
This treatment of an important even critical issue by the Service is deficient in several regards. First, the only standards proffered by the Service that would trigger an authoritative review by the IGBST or Service are linked
solely to population size—or mortality rates as a partial function of population size. Second, the history of how habitat trends have historically been treated by the IGBST and the Service provides no basis for trust. Third, there is no indication that the IGBST or the Service are responding to current evidence of unfolding lag effects with anything other than dismissal. And, fourth, the current suite of habitat indicators is lacking. Parenthetically, “feeling” confident seems a poor substitute for concrete authoritative measures and a history of competence and attention. Taking each issue in turn:
5.1. The Service does not describe any habitat-based standards in the Rule that would trigger authoritative reviews by the IGBST or Service.
According to the Rule, the only standards that would trigger an authoritative review by the IGBST or Service are linked to population size—or mortality rate as a partial function of population size. There are no triggers that link to trends in foods or other important features of habitat; all such effects are presumably filtered through population responses before warranting some sort of significant response by either state or federal managers.
In other words—and contrary to the Service’s current innuendo—the provisions of the Rule that fundamentally matter ignore lags effects and solely invoke lagged population responses as a basis for triggering any meaningful management response.
5.2. The IGBST and Service have responded historically to lag-inducing trends in food and habitat with inattention or dismissal, and almost solely in reaction to litigation or threats posed by independently-published research. This is not a basis for trust.
The Service deploys what is essentially a “trust us” argument in its description of how the IGBST and managers will respond to trends in the “suite of indicators”—and this in the absence of any authoritative provisions for triggering a response (as per 5.1). Put bluntly, history provides no basis for trust.
In fact, history shows that the IGBST and Service and have responded to changes in foods and habitat (e.g., whitebark pine) either with inattention, dismissal, and, if attentive, only in response to litigation or research that threatens current hegemony. For example, nowhere in any of the IGBST research published during the last 10 years is there evidence that this research group has explicitly considered trends in the existing suite of habitat indicators that it monitors—with the exception of cone counts on whitebark pine transects (more on this later). Trends related to cutthroat trout, moths, spring carrion, and numbers of hunters and park visitors are reported each year in IGBST Annual Reports, and then essentially ignored in any analyses of grizzly bear movements or demography.
On a more positive note, the IGBST and Service have seriously engaged with the effects of changes in whitebark pine abundance on grizzly bear movements and demography. However, as I describe elsewhere in these comments, these efforts are fatally flawed and seemingly politically motivated. As evidence, the science on whitebark pine effects undertaken by the IGBST—at the behest of the Service—has almost solely been in response to either litigation or a challenge by independent researchers. The Service describes on pages 13175-1376 how rulings by the Montana federal District Court and 9th Circuit Court of Appeals motivated the current crop of whitebark pine-focused science. Prior to that, the treatise by Schwartz et al. (2006) covering whitebark pine effects did so primarily in response to a publication (Pease & Mattson 1999) that authoritatively flagged the issue as something to be considered.
Likewise, improvements in methods for monitoring population and mortality occurred in response to outside research that flagged shortcomings in current approaches: Keating et al. (2002) and Cherry et al. (2007) in response to Mattson (1997c); and Cherry et al. (2002) in response to Mattson (1998). Spatially-explicit appraisals of habitat suitability and hazards by Schwartz et al. (2010, 2012) occurred in response to Merrill & Mattson (2003) and Johnson et al. (2004). The point here is that, during the last 15 years, the IGBST and Service have not demonstrated an interest in proactively addressing potentially lag-inducing habitat trends—or other science issues of import for that matter.
5.3. The IGBST and Service have shown no response to current evidence of lagged environmentally-driven changes in population size and trend; if anything, the response has been dismissal and denial.
Over 20 years ago Doak (1995) explicitly related the concept of lag effects to dynamics of the Yellowstone grizzly bear population. More recently, McLellan (2015) demonstrated lag effects of this nature for a grizzly bear population in the North Fork of the Flathead River drainage of British Columbia and Montana. A sustained crash in huckleberry production began in 1996 followed by the beginning of a correspondingly sustained decline in population growth rate the year after. However, tellingly, a definitive and dramatic decline in population size did not manifest until 11 years later—beginning in 2007—after which the population declined substantially.
Lag effects are highly relevant to judging the current status of Yellowstone’s grizzly bear population given the major declines in major food sources that have occurred during the last 15 years, most notably, the terminal decline in whitebark pine seed availability beginning in 2007. Yet, if anything, the Service portrays a static world for Yellowstone’s grizzly bears in its portrayal of carrying capacity (see my comment 3), while at the same time claiming that all changes will be subsumed by the bears’ remarkable—even magical—absorptive omnivory and resilience.
Figure 5.3.1 is illustrative of unfolding lag effects for Yellowstone’s grizzly bear population, referenced to data from the Flathead study taken from McLellan (2015). At top I’ve presented trend data for population size and growth rate for the Flathead grizzly bear population; my representation of growth rate is based on a 6-year moving average of proportional change in population size from one year to the next (i.e., $\lambda = \text{lambda}$). Green dots represent population density and gray squares represent growth rate. The take-away from the Flathead data is that population growth rate began to decline almost as soon as berry production tanked around 1996, but didn’t turn negative until roughly 5-years later. More importantly, population size, as such, didn’t begin a substantial long-term decline until 10-11 years after the berry drought started.
I show Yellowstone data in the bottom graph of figure 5.1. The darker green dots represent estimates of population size using the Mark-Resight (MR) method, which is less biased than the flawed Chao2 method adopted by the Service (see my point 19). The dark gray squares represent a running average of population growth rate based on MR population estimates. I also show population estimates using the Chao2 method (in light yellowish-green) and derivative estimates of growth rate (in light gray). The take-away point here is that average population growth began to decline around 2008, shortly after the onset of terminal declines in whitebark pine seed availability, and became negative (i.e, showing decline) only in 2012. Meanwhile, total population size has appeared more-or-less-static, with the slight suggestion of a down-turn during recent years.
Trends unfolding for Yellowstone’s grizzly bear population bear an uncanny resemblance to trends that unfolded in the North Fork of the Flathead between 1996 and 2006, which substantiates concerns about on-going lag effects in Yellowstone, with worse yet to come. More to the point, the IGBST and Service show no evidence of, first, acknowledging these dynamics or, second, responding to them.
5.4. The foods and habitat features currently monitored by the IGBST, and presumably comprising the suite referenced by the Rule, are inadequate.
The IGBST currently monitors and reports on availability and grizzly bear use of moth sites, cutthroat trout streams, and spring carrion on ungulate winter ranges, along with numbers of cones on whitebark pine at fixed transects.
These monitoring efforts are inadequate because they fail to include foods or aspects of foods that are of unambiguous importance to detecting early signals of change in Yellowstone’s grizzly bear habitat. More specifically, the IGBST needs to add numbers of elk and bison in various ecosystem herds as well as aerial extent of whitebark pine to its suite of indicators. The IGBST itself shows that meat from ungulates is becoming increasingly important to Yellowstone’s grizzly bears (Schwartz et al. 2014, Ebinger et al. 2016) and that aerial extent of whitebark pine forests is a critical dimension of grizzly bear habitat (Bjornlie et al. 2014, Van Manen et al. 2015).
5.5. The Service needs to make substantial revisions to the Rule to insure that lag effects are adequately dealt with.
The Service needs to make several substantive changes to the Rule designed to remedy the short-comings that I describe here. For one, the Service needs to set meaningful standards linked to monitored foods and habitat features that will authoritatively trigger reviews by the IGBST and Service. These standards and associated triggers should be designed to anticipate and help mitigate for unfolding changes that will likely drive lagged responses in population size and trend. For another, the Service needs to add numbers of elk and bison in the ecosystem as well as aerial extent of mature whitebark pine to the suite of habitat features to be monitored by the IGBST. Finally, The Service needs to demonstrate that it takes the issue of lag effects seriously by acknowledging and accounting for unfolding trends—in contrast to its current pattern of denial and dismissal.
6. The Service fails to use the best available science when describing the taxonomy and evolutionary biogeography of Yellowstone’s grizzly bears. Instead, the Service uses outdated science to categorize Yellowstone’s grizzly bears as part of a purported continent-spanning subspecies when the best available science clearly shows that the Yellowstone population is part of a clade (Clade 4) with an ancient and unique history, a restricted distribution, and warranting consideration as an evolutionarily unique and threatened genetic lineage.
The Service makes reference in the Rule to an antiquated research paper (Rausch 1963) as a basis for lumping Yellowstone’s grizzly bears in with a presumed subspecies that spans the entirety of western North America. The best available science, comprised of a large body of post-1995 research, clearly and emphatically shows that Yellowstone’s grizzlies are, instead, part of the Clade 4 lineage. This matters because Clade 4 brown bears have a unique and ancient history and a current distribution that is restricted to central-western North America and an isolate on the island of Hokkaido. In North America, Clade 4 bears probably extend no farther north than central Alberta and British Columbia, which makes them the most fragmented Clade in North America, and collectively as threatened as the Clade 1 bears of Europe and Clade 5 and 6 bears of southern and southeastern Asia. The details of all this are elaborated in Attachment 2, which I have included both as substantiation for my comments and to assist the authors of the Rule, who are apparently unacquainted with the referenced body of literature on brown bear taxonomy and biogeography.
As brief background, Clade 4 brown bears were probably the first representative of *Ursus arctos* to migrate across Beringia into North America, certainly before 30,000 years before present, and perhaps as early as 70,000+ years ago. By all indications, bears of this clade were then isolated south of the continental ice-sheets for 10s of thousands of years. As the ice sheets melted during the early Holocene, Clade 4 bear migrated north where they encountered more recently arrived Clade 3 brown bears moving south from Beringia. With arrival of Europeans, Clade 4 grizzlies bore the brunt of post-1800 extirpations, and are unique among all North American Clades in being the most diminished of all. Yellowstone’s grizzlies currently represent the southernmost relic of Clade 4 brown bears.
The Service does not make reference to this unique evolutionary and biogeographic circumstance of Yellowstone’s grizzly bears anywhere in the current delisting package. This is a major omission. Nor does the Service anywhere make mention of the unique and much diminished status of Clade 4 grizzly bears. If duly considered, all of this information would logically support a larger vision for recovery of this Clade, including explicit provision for connectivity of Yellowstone’s grizzlies with other Clade 4 populations farther north, which the Rule does not currently include. Moreover, such a perspective would lead to recognition of the special taxonomic and historical status of Yellowstone’s grizzly bears, all of which would argue for a more cautious approach than is currently being taken by the Service.
In short, the Service needs to update its taxonomic reference for Yellowstone’s grizzly bears; describe the unique evolutionary and biogeographic status of this population; develop an explicit plan for recovery of at least the US portion of Clade 4 grizzly bears, including an explicit provision for connectivity amongst all representative populations; and put the move to delist Yellowstone’s grizzly bear population on hold until such plans and provisions have been developed.
In making this recommendation I realize that I am calling into question the very standards by which the Service has chosen to judge recovery of Yellowstone’s grizzly bears, which is a logical consequence of the Service’s failure to update the Recovery Plan for this population so as to reflect the massive amount of “best available science” that has been produced since the early 1990s. In other words, this critique is a commentary on the Service’s failure to exercise due diligence, including following through with its own 2011 recommendation to update and revise the Yellowstone grizzly bear Recovery Plan.
7. The Service fails to account for the nutritional ecology of grizzly bears in its assessment of recent dietary shifts because it inaccurately, incompletely, and erroneously represents the best available science. This arises from the extent to which the Service engages in tortuous logic and selective even grossly incomplete representations of relevant research. Because of this, the Service reaches patently erroneous conclusions.
The Service’s representation of nutritional ecology is a critical aspect of its overall argument that historical and prospective food losses, and resulting dietary shifts, “do not and will never pose a threat” to Yellowstone’s grizzly bears. The Service claims that grizzly bears are not just omnivorous, but “extremely omnivorous,” and, on top of that, “display great diet plasticity.” As evidence of this claim, the Service then cites Gunther et al. (2014), that Yellowstone’s grizzlies are documented to eat over “260 species of foods…representing 4 of the 5 kingdoms of life.” Thereafter the Service asserts outright or by innuendo that one food is basically as good as another—this despite giving lip service on page 13178 to the fact that energy concentration and nutrient content vary among foods—and that Yellowstone’s grizzly bears are thereby well able to substitute one food for another. The Service then goes on to presumably substantiate this assertion by offering presumed evidence for how losses of whitebark pine and cutthroat trout have not affected birth and death rates of the population.
Put bluntly, the Service’s treatment of nutritional ecology reads more like propaganda than it does like a deliberative consideration of the best available science to arrive at a prudent conclusion. In other words, the Service misconstrues, misrepresents, and altogether
misses a considerable body of relevant science in apparent service of reaching a preordained/pre-decisional outcome. The shortcomings of the Services representations are so egregiously deficient that I feel compelled to offer a corrective primer on nutritional ecology (hereafter, the Primer; Attachment 3) as an attachment to these comments. But more specifically:
The nutritional quality of foods available to and eaten by grizzly bears in the Yellowstone ecosystem varies by orders of magnitude. Mattson et al. (2004) as well as the Primer provide a summary of digestibilities and protein content for Yellowstone’s bear foods. In other words, all foods are not equal insofar as digestible protein and energy are concerned. Moreover, and perhaps more importantly, bear foods are especially disparate in concentrations of dietary fat. Fat is perhaps the most important of all nutrients to bears (Erlenbach et al. 2014), and is uniquely abundant in army cutworm moths, whitebark pine seeds, and late-season ungulates such as elk and bison (Mattson et al. 2004, Erlenbach et al. 2014).
On top of this, the density, architecture, and comparative nutrient contents of foods have a major effect on foraging efficiencies, efficiencies of weight gain, and accretion of fat versus lean body mass among bears, with subsequent effects on mass dynamics during and after hibernation (The Primer; e.g., Farley & Robbins 1995; Atkinson et al. 1996; Welch et al. 1997; Hilderbrand et al. 1999a, 1999b; Rode & Robbins 2000; Rode et al. 2001; Felicetti et al. 2003; Robbins et al. 2007; McLellan 2011; Robbins et al. 2012; Erlenbach et al. 2014). Generally speaking, smaller bears fare better than larger bears on fleshy fruits and grazed foliage, whereas larger bears disproportionately benefit from eating meat (The Primer). Even so, all bears are beset by a need to balance the energy and protein concentrations of their diet to maintain lean body mass and accrue fat (The Primer). On top of this, the energetic costs of extraction vary among foods substantially, to the extent that extraction costs largely negate the greater digestible energy available in most root foods (Holcroft & Herrero 1984, Mattson 1997a, Mattson et al. 2004). In other words, foods are of varied relative benefit to bears based on body mass, sex, and overall diet composition. Not all foods are equal, nor are all foods equal to different bears.
Parenthetically, and at risk of stating the obvious, bears are not Latin taxonomists. In other words, bears are not wandering around in the woods with a copy of the *Flora of the Pacific Northwest* keying out different foods before they eat them—say, differentiating one Poa from another, or Poa from wheatgrass. In other words, taxonomic distinctions have little or no relevance for grizzly bears. As per what I outline immediately above, differences among foods arise from characteristic densities and architectures at foraging sites, the energetic expenses of extraction, and per gram densities of energy and nutrients—and how all of this varies seasonally and from one year to the next. In other words, the fact that Yellowstone’s grizzly bears eat “260 species of foods…representing 4 of the 5 kingdoms of life” is largely irrelevant, disingenuous, and prey to artificial inflation based on the resolution of taxonomic distinctions employed (e.g., should we be talking about genera, or species, or even subspecies?).
With this as background, it is worth looking critically at where Yellowstone’s grizzly bears obtained most of their energy and nutrients—say, between 1977 and 2003—and the comparative importance of vegetal foods that the Service in places features so prominently as potential generic dietary alternatives to whitebark pine seeds and cutthroat trout; and elk, for that matter (see below).
Figure 7.1 immediately below offers a seasonal picture of relative contributions of different foods to digested energy and ingested protein and fat of Yellowstone’s grizzly bears for the period 1977-1993, differentiating contributions from large herbivores (elk and bison; Mattson 1997b), cutthroat trout, and whitebark pine seeds. This representation is based on a sample of >6000 bear feces collected over a 16 year period throughout the Yellowstone ecosystem, and corrected for differential detectabilities (Hewitt & Robbins 1996) and digestibilities (Mattson et al. 2004) of each food, and then further adjusted to reflect the proportional numbers of bears out of dens (Haroldson et al. 2002) as well as varied levels of monthly feeding activity (Mattson et al. 1991a). But this comes with a proviso. Consumption of army cutworm moths is underrepresented in this sample of feces because of the remoteness of the sites where this food is eaten by grizzlies.
The key point of this graph is that ungulate meat, cutthroat trout, and whitebark pine seeds (plus army cutworm moths, more on that later) historically contributed the overwhelming majority of energy and nutrients to Yellowstone’s grizzly bear diet. This representation is broadly consistent with similar estimates corrected for detection, digestibility, and prevalence made by Mattson et al. (2004:26-28) and Lopez-Alfaro et al. (2013). Parenthetically, the major contribution of ungulate meat to Yellowstone’s grizzly bear diet correlates well with other independent estimates made on the basis of feeding site examinations (Mattson 1997b) and analysis of isotopes in tissues collected from captured or killed bears (Jacoby et al. 1999; Schwartz et al. 2014).
Insofar as army cutworm moths are concerned, the evidence for their dietary importance is more circumstantial, but nonetheless compelling. First, when the composition of feces collected on or near moth sites is corrected for differential passage through the digestive tract, moths comprise 80–90% of the total (Mattson et al. 1991b). Second, the numbers of bears seen on moth sites has climbed steadily since the mid-1980s and currently accounts for hundreds of sightings (300–400 recently) and, since 1996, roughly 15–45% of all initial sightings of unduplicated females with cubs-of-the-year (IGBST 2015), the range depending on the specific year. Third, high levels of bear activity on moth sites are sustained over a 2-month period, from roughly mid-July through mid-September (see my point 11.5). Taken together, this evidence is consistent with moths being a major food for grizzly bears within range of moth sites.
Put another way, given the overwhelming reliance by Yellowstone’s grizzly bears on essentially four foods (lumping elk and bison together as ungulates), major losses of any one are almost certainly to have major impacts. The Service confesses to major losses of cutthroat trout and whitebark pine. Moreover, as I point out below, elk populations have declined substantially since the mid-1990s, with prospects of army cutworm moths being hit hard by climate warming (see my point ). This begs the question of whether plausible alternative foods are (and would be) of sufficient quality, simply from a nutritional perspective, to compensate for the losses of the euphemistic “big 4” that we’ve seen.
Figure 7.2 summarizes information on the net digested energy estimated to be obtained by Yellowstone grizzly bears from five different groups of foods on a per gram basis and from a given feeding bout (or feeding site). These data come from (Mattson et al. 2004) and differentiate the ‘big 4’ (ungulates, cutthroat trout, whitebark pine seeds, and army cutworm moths) from other categories including foods that might be included in dietary shifts in response to losses of current dietary mainstays.
*Figure 7.2. Box and whisker diagrams showing the energetic benefits of different categories of foods, including the “big 4” (ungulates, army cutworm moths, whitebark pine seeds, and cutthroat trout) and other categories of foods that include items plausibly turned to in compensation for losses among the “big 4.”*
The pattern is pretty obvious. Even accounting for outlier items, the “big 4” are energetically superior to any other foods that might be used by bears in compensation for losses, including other animal foods (e.g., rodents and ants) and fruits and fungi (i.e., sporocarps); and this without taking into account the landscape-level abundance of foods or the extent to which they occur at sites in such a way as to favor efficient use (which relates to the density, architecture, and ease of extraction issues).
There is another important point that further belies any tacit or outright claims by the Service that changes in food abundance can be blithely accommodated by “extremely omnivorous” and “resilient” grizzly bears. This point relates to continent-wide differences in grizzly bear densities and the extent to which these densities reflect differences in habitat productivity. Perhaps the seminal paper putting all of this together is Mowat et al. (2013). These authors show that grizzly bear densities systematically vary by orders of magnitude as a direct function of habitat productivity. The most obvious difference is between coastal areas with spawning salmon and interior areas without. But, even in interior areas, densities can, again, vary by orders of magnitude in reflection of various factors that are surrogates for overall productivity.
The final point of relevance here is that the Service’s argument of potential last resort has no merit. In other words, these comments extensively cover the Service’s numerous fatal errors and failings that debar any dismissal of changes in foods and diet as drivers of historical and prospective future changes in demography of Yellowstone’s grizzly bears. In fact, there is ample evidence for detrimental effects arising from losses of whitebark pine, cutthroat trout, and elk, including major increases in mortality arising from the greater reliance of bears on meat—which has included consumption of livestock.
8. The Service fails to account for the effect of recent widespread losses of whitebark pine by its reliance on fatally flawed science produced by the IGBST. This IGBST research fails to account for temporal and spatial variation in availability of whitebark pine seeds as well as temporal and spatial variation in other critically important bear foods. As a result, no confidence can be placed in conclusions reached by the Service regarding the effects any driver of grizzly bear birth and death rates, including losses of whitebark pine.
8.1. The Service fails to accurately account for the spatial distribution of cone-producing whitebark pine trees when making its many claims regarding the lack of historical importance of pine seeds. This failure follows, in part, from the Service’s near exclusive reliance on spatial analyses produced by the IGBST that were based on a map of whitebark pine distribution containing substantial errors of omission.
The IGBST used a map of whitebark pine distribution for its spatial representation of whitebark pine forests that was derived from remote sensing. This map was used for analyses of grizzly bear demography, home ranges, and habitat selection (Costello et al. 2014, Bjornlie et al. 2014, Van Manen et al. 2015), and was the basis for the Service’s claims that roughly 23-33% of all recent bear ranges were comprised of <1% whitebark pine forest.
Put succinctly, the map of whitebark pine distribution used by the IGBST is contaminated by large errors of omission. Even more egregiously, this map shows large areas as being without mature whitebark pine which, in fact, contained significant enclaves of mature cone-producing trees. These omissions are the entire basis for claims made by Bjornlie et al. (2014), Costello et al. (2014) and later by the Service in its Rule and CS that a significant percentage of grizzly bear ranges lacked access to cones produced by mature whitebark pine trees. Quite simply, these claims are unfounded and false.
I base this conclusion on comparing the distribution map used by the IGBST with the distribution of sites where grizzly bears were documented by the IGBST to feed on whitebark pine seeds between 1977 and 1996 (Fig. 8.1.1). Feeding on whitebark pine seeds was documented by field crews during the course of investigations that involved humans beings standing on the ground, looking at the remains of whitebark pine cones savaged by grizzly bears, and then looking upwards at the canopy, almost invariably to observe mature whitebark pine trees. Or, put another way, compared to remotely-sensed maps, these ground observations are a more definitive reckoning of, not only the presence of cone-producing whitebark pine, but also the presence of these trees in sufficient numbers to support grizzly bear consumption of pine seeds.
**Fig. 8.1.1.** *This map shows the distribution of known instances where grizzly bears fed on whitebark pine seeds (dark brown dots) relative to the mapped distribution of whitebark pine used by the IGBST in recent analyses relied upon by the Service (in green). The numerous feeding sites far outside the mapped distribution correspond with the central plateaus of Yellowstone National Park.*
The map in Figure 8.1.1 shows the distribution of known grizzly bear feeding on pine seeds as dark brown dots superimposed on the map of whitebark pine distribution that the IGBST used in analyses undertaken by Bjornlie et al. (2014), Costello et al. (2014), and Van Manen et al. (2015) shown in green. The mapped distribution contains
only 42% of all known instances of grizzly bear feeding on pine seeds. Being generous and assuming, for inexplicable reasons, that IGBST field crews had a systematic tendency to erroneously locate feeding sites as much as 200 m outside the mapped distribution of whitebark pine, the level of inclusion increases to only 63%. Fully 25% of feeding sites are located >650 m away from the nearest mapped whitebark pine. Importantly, almost all of the pine seed feeding sites missed by the mapped distribution are located at lower elevations, and of those missed by the farthest distance, almost all are on the central plateaus of Yellowstone National Park, which is precisely where Bjornlie et al. (2014), Costello et al. (2014), and the Service (repeatedly) claim that grizzly bear home ranges contained little or no mature whitebark pine.
In short, Bjornlie et al. (2014), Costello et al. (2014), and the Service, in turn, are simply wrong in claiming that 23-33% of historic grizzly bear ranges contained little or no whitebark pine and, from that, further claiming that whitebark pine was unimportant to a corresponding percentage of bears. In fact, very few grizzly bear home ranges probably contained little or no whitebark pine. The exact percentage is still unknown given that I do not have access to the home range delineations used by IGBST scientists, but this percentage is almost certainly trivial. In addition to the error made by Bjornlie et al. (2014) in their temporal representations of pine seed availability (see below), this additional error makes the Bjornlie research and related Service claims based on it baseless. Furthermore, the major errors of omission in the map of whitebark pine distribution used by Costello et al. (2014) and Van Manen et al. (2015) introduce yet more error and bias into these researchers’ analyses, on top of the fatal errors introduced by their treatment of annual variation in availability of whitebark pine seeds (see below).
8.2. The Service fails to account for the impacts of recent widespread losses of whitebark pine on Yellowstone’s grizzly bears because it relies on science that is fatally flawed. This IGBST science conflates the extent of whitebark pine forests with levels of cone and seed availability, thereby misrepresenting periods of pine seed abundance as periods of pine seed shortage, and periods of pine seed shortage as periods of pine seed abundance.
At the risk of stating the obvious, Yellowstone’s grizzly bears do not eat whitebark pine trees, as such. Rather, they eat the seeds contained in whitebark pine cones, most of which they obtain by raiding larders made by red squirrels (e.g., Mattson & Reinhart 1997). As a result, any annual or even multi-annual representation of whitebark pine seed availability to Yellowstone’s grizzly bears needs to be in terms of cone or seed production, not the number of cone-producing trees, as such, or even the aerial extent of forests containing mature whitebark pine. Yet the IGBST conflates temporal trends in abundance of mature trees with seed production in its recent analyses of the effects of whitebark pine on grizzly bear demography (e.g., Van Manen et al 2015).
This matters because during and after massive numbers of mature trees had died from an outbreak of mountain pine beetles, median annual cone production apparently increased by as much as 2.5-fold on surviving trees. Figure 8.2.1 shows counts of cones on whitebark pine trees monitored on fixed transects by the IGBST, averaged per annum over all monitored trees. The running three-year average of annual values is shown as a yellow-green line, which is relevant because of the somatic and behavioral averaging that goes with the three-year reproductive cycle of Yellowstone’s female grizzly bears. In addition, I show medians of annual averages for three time periods corresponding with breaks in long-term trends. Of relevance to my point here, the median for the period 2006-2014 is roughly 2.5-times greater than the median for either 1982-1995 or 1997-2004. In other words, at the same time that we were losing—or had lost—perhaps the majority of cone-producing trees in the ecosystem (Macfarlane et al. 2013), cone production on the remaining trees increased by over 2-fold.
As noted before, the IGBST purports to represent availability of pine seeds with remotely-sensed estimates of the aerial extent of mature whitebark pine trees. These estimates are shown in Figure 1 of Van Manen et al. (2015). One way to integrate information about the size of cone crops on surviving trees with an estimate of the numbers of such survivors is to simply multiply the index generated by Van Manen et al. (2015) by the average number of cones on live trees at fixed transects, as per Figure 8.2.1. This logically produces an index of the total landscape-level abundance of seed-containing cones available to Yellowstone’s grizzly bears during any given year. This is, in fact, the relevant metric for use in any analysis of bear demography or movements given that, as I noted before, bears eat seeds not trees. The results of this metric, along with an annually averaged representation of the data in figure 1 of Van Manen et al. (2015), are shown in Figure 8.2.2: the index of cone availability as the dark yellow-green line and the index of tree abundance as the gray line.
There is one important error to note even in the way that Van Manen et al. (2015) represent the aerial extent of whitebark pine forests: they neglected to include the considerable losses that occurred during 1988 as a result of massive wildfires. The constant abundance that they show between 1983 and roughly 2000 should actually drop by around 17% (3-50%, depending on the precise area; Mattson 2000) between 1988 and 1989. In addition to blatantly ignoring cone production, this is itself a non-trivial error even in the metric they do use—an error that I correct in generating the estimate of total seed availability.
But more importantly, the index of cone availability shows a dramatically different inter-annual pattern compared to the index of rote tree availability. More specifically, pine seeds were least available during two early periods that the IGBST claimed were typified by the greatest abundance of whitebark pine. By contrast, the large average increase in cone crops on surviving trees largely mitigated losses to bark beetles that occurred during the early 2000s. It was only after 2006 that losses of trees to beetles began to swamp the effects of larger cone crops, resulting in the onset of a terminal decline. More to the point here, the IGBST under-represented availability of pine seeds during the early 2000s by its reliance on an index of tree abundance.
These errors are fatal and, more specifically, render the results of Bjornlie et al. (2014) and Van Manen et al. (2015) meaningless if not downright wrong. Both papers are central to the Service’s arguments in the Rule and CS. The IGBST misrepresented early periods of cone shortage as periods of cone abundance and later periods of cone abundance as periods of cone shortage. They and the
Service got things pretty much entirely backward, barring the terminal decline beginning in 2006.
Figure 8.2.2 shows in more detail the implications of this problem for the three referenced papers. The analysis of home ranges by Bjornlie et al. (2014) was based on the premise that the period 1988-1989 was a period of pine seed abundance, and the period 2007-2012 a period of pine seed dearth. In reality there was greater pine seed availability during the later period compared to the earlier periods. They got it entirely backwards. Likewise, the analysis of demography by Van Manen et al. (2015) grossly over-estimated pine seed abundance during 1983-1989 and substantially underestimated pine seed abundance during 2005-2010, which turned their assumptions upside down.
Having made this point in reference to the veracity of recent IGBST analyses and the Service’s arguments that derive from them, I need to at the same time make clear that losses of mature whitebark pine trees are real and on-going (e.g., Logan et al. 2014). Looking to the future, even though losses have been largely masked by increases in per tree cone production—especially during the early 2000s—such natural mitigations will eventually run the course. When that happens, consequences will almost certainly unfold that are even more dramatic than any we have so far seen. In fact, the record number of grizzly bears dying during 2015 is a likely preview of more of the same to come.
9. The Service fails to account for—or even acknowledge—convincing evidence of major deleterious consequences arising from losses of whitebark pine in the Yellowstone ecosystem. Most prominently, these consequences include compensatory increases in consumption of meat from ungulates by Yellowstone’s bears and, with that, dramatic increases in meat-related bear-human conflicts and resulting human-caused bear deaths.
Throughout the Rule and the CS the Service freely asserts that losses of whitebark pine have had little impact on the Yellowstone grizzly bear population. These assertions are based wholly on fatally-flawed IGBST science and on the Service’s own misrepresentations of the nutritional ecology of bears. I critique the Service’s deficient representation of what we know about nutritional ecology elsewhere (point 7). Points 8 and 10, immediately before and following, describe fatal flaws in recent IGBST research that renders this science useless at best, but which the Service liberally invokes as a primary basis for its many correspondingly flawed arguments. In short, the Service has no basis for dismissing the potential impacts of losing whitebark pine in the Yellowstone ecosystem.
Perhaps more important, the Service does not acknowledge nor present the compelling body of evidence showing major deleterious changes in grizzly bear behavior and demography coincident with terminal losses of whitebark pine—and cutthroat trout—in the Yellowstone ecosystem. These changes include increasing consumption of meat from terrestrial sources and, along with this, a dramatic increase in meat-related conflicts with people, leading to increases in numbers of human-caused deaths. Moreover, the decline in cub and yearling survival rates that the Service attributes to “density-dependent effects” (citing IGBST [2012] and Van Manen et al. [2015]) is more plausibly attributable to the consequences of reproductive females eating more meat in the wake of trout and whitebark pine losses. All of these changes have ultimately manifested in a dramatic rise in known and probable grizzly bear deaths that correlates perfectly with terminal losses of whitebark pine, and which amounts to a substantial increase in grizzly bear death rates at a time when the population has reached stasis and even begun to decline (see point 19.4).
Taking each of these points in turn, there is ample evidence of grizzly bears eating more terrestrial meat coincident with losses of whitebark pine and cutthroat trout. Mattson (1997) first noted that grizzlies in Yellowstone tended to eat more meat during years of poor whitebark pine seed crops—this at a time when Jacoby et al. (1999), and Mattson (2000) showed that,
compared to females, male grizzly bears ate up to twice as much terrestrial meat, and all of this prior to widespread losses of whitebark pine that began during the early 2000s.
In short, grizzly bears in the Yellowstone ecosystem seem to be eating more meat from elk and livestock, with most livestock consumption concentrated on the ecosystem periphery, and with little current difference in dietary meat between males and females. And meat now potentially accounts for the majority of energy and nutrients for both sexes.
Nutritionally, this dietary shift has probably not been detrimental. Mattson et al. (2004) and the Primer on Nutritional Ecology attached to these comments clearly show that meat is a high-quality bear food, and that during fall ungulates can offer bears a substantial quantity of fat. As a result, there is no reason to expect major changes in female fecundity, which is consistent with recent data on reproduction (e.g., litter sizes as reported in IGBST Annual Reports).
The problem with meat consumption arises from the entailed hazards for any grizzly bears engaging in this activity (see my point related to a frame that jointly accounts for both hazards and nutrition). Figure 9.2 shows, at top, trends in numbers of grizzly bears dying because of conflicts with big game (primarily elk) hunters together with trends in number of hunters afield and, at bottom, trends in numbers of livestock-related human-bear conflicts and numbers of bear dying because of these conflicts. All of these data come from IGBST databases or Annual Reports. Each figure also shows terminal declines in whitebark pine cone/seed availability that I describe more fully under point 8.2.
The temporal correlation between declines in cone availability and stark increases in meat-related conflicts and deaths is quite good. Given that bears seem to be compensating for losses of whitebark pine by eating more meat, these astounding increases in meat-related grizzly bear deaths can hardly be considered a coincidence.
is equally clearly driven by the consequences of dietary shifts entrained by loss of whitebark pine, as per the shift to eating more meat.
**Figure 9.2.** Trends in numbers of grizzly bears killed (top) because of conflicts with big game hunters (red dots) and (bottom) conflicts over livestock (red dots as well). Gray dots in the top graph show numbers of hunters afield and pink dots in the bottom graph, total numbers of livestock-related conflicts. The black dotted lines show trends in whitebark pine cone availability since onset of losses to bark beetles.
On top of this, rather than being ascribed to “density-dependent effects,” the increased death rates of cubs and yearling seen recently in Yellowstone are more plausibly ascribed to the increased hazards for these vulnerable young bears arising from their mothers eating more meat. (Parenthetically, see my critique of how the Service uses the concept of density-dependence under point 4). These hazards for young bears derive partly from the human-associated hazards incurred by their mothers, but also from hazards associated with increased predation by wolves and other bears (for more on this, see my point 17).
As a bottom line, dramatic increases in **total** known and probable grizzly bear deaths in the Yellowstone ecosystem—both natural and human-caused—are clearly correlated with terminal declines in availability of whitebark pine seeds (Figure 9.3). Much of this increase
**Figure 9.3.** Trends in total numbers of known-probable human-caused grizzly bear deaths, top, and probable natural deaths, bottom. The gray lines are annual counts and the red trend lines running 3-year averages. The black dotted lines show trends in whitebark pine cone availability since onset of losses to bark beetles.
Taken together, this constitutes compelling evidence for substantial deleterious population-level effects arising from loss of whitebark pine (and cutthroat trout) in the Yellowstone ecosystem, with more foreseeable negative effects yet to come (see my critique of the Service’s treatment of trout, ungulates, whitebark pine, and moths, especially in relation to climate change). Quite simply, the Service has no credible basis for dismissing losses of whitebark pine as being inconsequential. In fact, the Service’s representation of this issue appears arbitrary and capricious. The Service needs to correct what amounts to an egregious error in its analysis supporting this Rule.
10. The Service fails to account for major changes in abundance of other key bear foods besides whitebark pine because of its reliance on unsubstantiated rhetorical arguments and fatally deficient IGBST research in the Rule. This IGBST research does not include any explicit consideration of an epic decade-long drought or variation in abundance of cutthroat trout, elk, bison, and army cutworm moths in its analyses of movements and demography. The Service consequently has no scientific basis for any claims regarding drivers of change in the demography and movements of Yellowstone’s grizzly bears.
The Service relies heavily—almost exclusively—on recent research published by the IGBST. The Service invokes this research as its primary basis for claiming that recent losses of whitebark pine have not resulted in any changes in the demography of Yellowstone’s grizzly bears. The three seminal papers cited repeatedly on pages of the Rule are Bjornlie et al. (2014), Costello et al. (2014), and Van Manen et al. (2015), the first dealing with changes in home ranges, the second, changes in movements and habitat selection relative to whitebark pine and secure habitats, and, the third, changes primarily in death rates. The first and last conclude that losses of whitebark pine to bark beetles, 2001–2012, had no effect, and that all changes could be attributed to changes in bear densities. Notably, these papers claim to have looked at both spatial and temporal variation—but limited only to considerations of density and extent of whitebark pine forests.
Elsewhere I address fatal errors in how the IGBST—and Service—addressed availability of whitebark pine seeds to grizzly bears both in space and time (point 8). I also cover problems with both the IGBST’s density argument and density index under a different comment (point 4). Here I point out another fatal flaw in the IGBST’s and Service’s analysis that is rooted in lack of attention to a number of major changes in Yellowstone’s grizzly bear habitat—in addition to changes in whitebark pine abundance. All of these ignored dynamics are of prima facie importance given that they pertain to availability of patently important grizzly bear foods, including elk, bison, cutthroat trout, army cutworm moths, and foods affected by levels of drought (also see my point 11.1).
Before delving into particulars of the neglected factors, it is worth reiterating my first comment (1.1): most of the science produced by the IGBST and invoked by the Service entails complex models and complex assumption-ridden statistical methods. Such is the case for all of the results germane to judging the demographic plight of Yellowstone’s grizzly bears. Yet it is well known to even half-way thoughtful scientists that there is no one correct model, and that model-building is perhaps the most vagarious and bias prone of scientific undertakings. Moreover, any credible inference based on complex models of open ecological systems depends almost entirely on insuring that all factors likely to have had a significant effect on outcomes of interest (i.e., changes in demography) were accounted for. Isolating the effect of any single factor such as bear density or whitebark pine abundance depends upon controlling for the effects of every other factor of plausible importance.
In other words, by failing to account for a number of plausibly important changes in Yellowstone’s grizzly bear habitat, the IGBST—and Service—have no basis for making any claims about affects of density or whitebark pine on grizzly bear birth and death rates, and this aside from the fatal flaws in how they putatively addressed the factors they did consider.
Figures 10.1 and 10.2, below, provides some specifics. I show trends in known important foods over time, encompassing the span of relevance to the various analysis undertaken by the IGBST. These foods, top to bottom, include size of whitebark pine cone crops (not extent of whitebark pine forests), bear use of army cutworm moth sites, numbers of spawning cutthroat trout, numbers of elk in the ecosystem’s two largest herds, and, finally, at bottom, numbers of bison in Yellowstone’s two herds.
These figures also show how time period was treated in the three seminal IGBST papers, denoted by the vertical bars shaded different colors of orange. Bjornlie et al. (2014) assumed two time periods, one before (pre) and one after (post) major losses of whitebark pine to beetles, assuming that the only changes in the Yellowstone environment between these two periods were extent of whitebark pine forests and bear density.
The vertical shading in the graph farther right shows how Van Manen et al. (2015) approximated the presumed decrease in whitebark pine forests with ever-darker hues of orange—and again, without considering any other environmental trends. Finally, the center graph shows the time period addressed by Costello et al. (2014) as a shaded vertical box, and, again, this researcher assumed that the only change afoot pertained to whitebark pine.
Figure 10.1. Trends in indicators of abundance for key Yellowstone grizzly bear foods are shown by rows, from top to bottom, intersected with rows denoting how three different analyses reported by the IGBST treated time periods, show as vertical boxes shaded various hues of orange. Progressively darker hues of orange denote less versus more whitebark pine, at least as treated in the IGBST analyses.
The takeaway from figure 10.1 is pretty straight-forward. The IGBST failed to account for major unfolding trends in food abundance. Bjornlie et al. (2014) failed to account for the fact that elk and cutthroat trout had declined and moth site use and whitebark pine cone crop sizes had increased between the ‘pre’ and ‘post’ periods. Likewise, Van Manen et al. (2015) neglected to account for these very same trends as continuous temporal (and spatial) phenomena. Costello et al. (2014) failed to account for trends towards increasing sizes of whitebark pine seed crops, increasing levels of moth site use, and decreasing numbers of elk. All of these failures fatally compromise these analyses.
Figure 10.2, below, makes the added point that these three IGBST papers not only failed to account for trends in abundance of important foods, but also neglected to account for some longer-term trends in weather, with near certain effects, in turn, on other vegetal and animal foods. More specifically, Bjornlie et al. (2014) failed to account for a higher average summer temperatures during their ‘post’ period; Van Manen et al. (2015) for an epic drought and for a trend towards progressively higher summer temperatures; and Costello et al. (2014) for the gradual recovery from deep drought. All of these patterns plausibly affected grizzly bear movements and diet.
Finally, in addition to fatal neglect of temporal trends, the IGBST’s science—and Service’s derivative claims—fail to account for potential interactions between spatial distributions of and temporal trends in key food resources. This specific critique is relevant both because the IGBST pretends to deal with spatial aspects of food availability (albeit limited to whitebark pine) and because interactions among environmental factors in space and time are a very real consideration in any analysis of complex ecological systems. And, in fact, there are many potential interactions that were altogether neglected in analyses by the IGBST and Service.
Figure 10.3 illustrates a subset of potential interactions (the legend for this figure explains the various map features). For one, moth sites (the grayish-green blobs) correspond almost exactly with where we have seen the greatest losses of whitebark pine (in gray). In other words, availability of moths has very likely partially compensated for the severe losses of whitebark pine that occurred in this area. For another, as per trends for Yellowstone’s two bison herds shown in figure 10.3, bison have declined in precisely the same areas (the Central herd) where near extirpation of cutthroat trout also occurred, resulting in an amplification of the effects of trout losses. By contrast, the Northern Range bison herd (in green) has increased, with some likely compensation for losses of whitebark pine and declines in elk numbers in the northern part of the ecosystem.
As a bottom line: by failing to account for both the temporal and spatial aspects of major changes in the environment of Yellowstone’s grizzly bears the Service fatally compromises its assessment of past and prospective future changes in demography and behavior of Yellowstone’s grizzly bears. A prudent course of action would be for the Service to withdraw this draft Rule and remedy the profound deficiencies in its analysis and the science it has so far relied upon.
10. The Service’s assumption that maintenance of a simplistic version of the 1998 human footprint will insure sustainable future human impacts is flawed for a number of reasons, including failure to account for changes in bear behavior in response to habitat conditions, changes in human lethality, and changes in edge effects attributable to development on lands adjacent to the PCA.
In multiple places the Service asserts that maintenance of certain GIS-delineated human features within the PCA will insure conservation of the Yellowstone grizzly bears into the indefinite future by maintaining demographic characteristics that ostensibly prevailed during a period of sustained population growth. The spatial attributes that presumably govern grizzly bear demography include road densities, the extent of areas >500m away from human infrastructure (so-called “secure” habitat), and numbers of livestock allotments.
This all-critical assumption that a static few GIS-delineated landscape features will insure anything into the indefinite future fails for numerous reasons, including (1) over-stated population growth during the invoked benchmark period of 1988-1998; (2) failure to account for a critical sources of human-caused mortality that can vary independently of the chosen few landscape features; (3) failure to account for changes in bear behavior driven by changes in diet and food availability that will affect how often bears encounter the mapped lethal human features—Independent of any change in these features; (4) changes in the lethality and behavior of people both in relation to and independent of mapped and monitored features; (5) changes in numbers of people on, off, and nearby to the mapped features, with resulting effects on encounter rates between bears and people; and (6) related edge effects associated with human population growth and residential and recreational developments on private lands near and inside the PCA. Taking each one of these in turn:
1. As I describe in my critique of the currently-adopted Chao2 method for monitoring trend of Yellowstone’s grizzly bear population (point 19.1), this method has almost certainly overstated growth, including for the
period 1988-1998. Which means that, although some growth was very likely happening, is of a lesser magnitude than being asserted—and relied upon—by the Service in the Rule. As a practical matter, this translates into less of a buffer on this basis alone than the Service would have us believe (but see all my following points).
Perhaps more importantly, the 1998 footprint has, in fact, been associated with a range of demographic conditions, including (according to the Service) a decline in population growth rate to the point where the population has not changed in size for roughly 15 years. In fact, as I argue elsewhere (point 5.3), the population has likely declined during the last decade and has perhaps passed a tipping point. The entire premise of the Service’s argument is rendered implausible by the fact that a wide range of human-caused grizzly bear mortality rates has been encompassed by a set of landscape conditions presumably designed to guard against such amplitude (see 19.4).
2. Currently, the primary human-related causes of grizzly bear mortality in the Yellowstone ecosystem are: availability of attractants at residences and recreational developments; conflicts over livestock; and conflicts with big game hunters. Additional minor causes include collisions with vehicles and removals because of more direct human-safety concerns. *As a spatial phenomenon*, most of these causes are covered by the Service’s monitored features, but with the important exception of big game hunters. Hunters are particularly lethal to grizzly bears and, more importantly, often distributed in a way that is poorly correlated with roads, “secure” habitat, and livestock allotments. The upshot is that the monitoring spatial features provide a poor basis for monitoring what’s happening with numbers and distributions of a certain class of human that is a major cause of grizzly bear mortality.
3. As I describe at length elsewhere in this critique (and as the Service also avers), the diet of Yellowstone’s grizzly bears has changed substantially, with prospects of even more change to come. These changes organize around loss of cutthroat trout and whitebark pine seeds in some of the most secure habitats in the ecosystem, along with prospective losses of army cutworm moths, also in remote secure areas. There is little doubt that, among other things, grizzly bears are turning to eating more meat, including livestock and scavenged offal left by hunters. As a consequence, grizzly bears are spending more time in highly lethal environments typified by grazing allotments and areas used by big game hunters (e.g., my points below; Haroldson et al. 2004). Use of alternate foods also seems to draw bears more often into less secure habitat nearer roads and other human facilities (Haroldson & Gunther 2013, Costello et al. 2014), as has been the case since the 1980s (Mattson et al. 1992). Even farther back in time, closure of garbage dumps in and around Yellowstone National Park during 1959-1962 had profound impacts on how grizzly bears distributed themselves relative to a comparatively static human infrastructure, but with catastrophic consequences for the bear population (Craighead et al. 1994). The main point here is that grizzly bears can end up being exposed much more often to lethal human-associated features as a result of habitat and diet changes and without any spatial change in the extent of human facilities or livestock grazing allotments—as per the 1998 human footprint.
4. Augmenting issue 3, a given number of people can change how they orient to mapped and monitored spatial features and, perhaps more important, can become more or less per capita lethal to bears. This point is historically emphasized by the fact that grizzly bears would have probably come closer to near-total extirpation in the Yellowstone ecosystem during the early to mid-1900s but for the fact that aggregate human lethality changed, and in spite of increasing human numbers (Mattson & Merrill 2002). More recently, as the Rule describes, human lethality has been reduced by instituting measures that reduce availability of human-associated foods around human facilities, thus reducing human lethality—all without any explicit correlation with roads and grazing allotments. We can only hope that humans continue to become ever less lethal, ever more assiduous in managing attractants, and continue to concentrate as much on roads, but simply monitoring roads and livestock grazing allotments will not provide any information on this critical dimension of the human footprint.
5. As the IGBST recognizes through its monitoring of big game hunters afield on national forest lands, and human recreational activity in Yellowstone and Grand Teton
National Parks, numbers of people matter to grizzly bear conservation, even given a fixed human infrastructure. It is thus probably relevant that numbers of visitors to Yellowstone Park increased by roughly 400,000 between the 1990s and 2010s, although remaining nearer the same in Grand Teton (IGBST 2015). But of perhaps even greater relevance is that visitation to these parks has trended ever upward from 2005 to the present (2,868,317 to 4,097,710 in Yellowstone; 2,463,442 to 3,149,921 in Grand Teton), meaning ever more people on roads and at recreational facilities, which no doubt creates mounting challenges for managers attempting to control attractants and risky human behaviors—but with no change in the physical infrastructure. Here, again, numbers alone matter. More directly, the management challenges that sheer numbers pose matter, with prospects of affecting grizzly bears that are exposed to areas near the human infrastructure.
It perhaps goes without saying (and as the Rule describes), population growth and associated development on private lands in the Yellowstone ecosystem continues at a rapid but, more recently, accelerating pace, with development disproportionately concentrated near protected areas and in productive riparian habitats (e.g., Gude et al. 2006). Strangely, the Service fails to feature research by Schwartz et al (2012) that explicitly estimates the impacts of projected exurban development on Yellowstone’s grizzly bears, differentiating impacts by whether they will occur in the PCA or outside in occupied grizzly bear habitat. “Boom” or even status quo growth could bring major loss of source habitats, contributing to even more habitat fragmentation than exists now (see my comments under point 14). These results are summarized in figure 10.1 immediately below.
**Figure 10.1.** Figures extracted from Schwartz et al. (2012) pertaining to projected effects of exurban development on Yellowstone’s grizzly bear habitat. The beige in the map at left corresponds to projected human-impaired habitat. The bar graph to the right shows loss of source grizzly bear habitat in and out of the PCA under four different scenarios for growth of the human footprint.
The Service liberally employs the notion of ‘edge effects’ as a basis for excluding habitat near sheep allotments in the Wind River Range from its classification as “suitable” habitat. The Service’s usage in that circumstance is problematic. However, edge effects are a very real consideration in relation to on-going and foreseeable exurban development adjacent to the PCA, with the possibility of transboundary effects plausibly attributable to the boundary-spanning movements of both bears and people. The map at left in figure 10.1 shows this potential in graphic form, with projections of lethal habitat shown in beige. The point of this being that effects of mounting human activity on private lands in and near the PCA will engender largely negative effects that will not be accounted for in the 1998 benchmark pegged to federally-managed lands. The Service engages in what largely amounts to a bunch of hand-waving on pages 13199-13200 of the Rule about how extrajurisdictional activities on the part of state and federal managers will somehow mitigate for this. Such claims are unsubstantiated. Moreover, there is precedent for federal managers undertaking mitigation on public lands for harm arising from activities on nearby private holdings (e.g., the 1997 Swan Valley Grizzly Bear Conservation Agreement). In other words, the Rule’s current arm-waving is not good enough in light of prospective trends in private land development in the Yellowstone ecosystem.
Parenthetically, the Service will probably assert in response to my critique of their 1998 benchmark that, even if valid, there are other safeguards in place in the form of methods for monitoring and managing mortality. As I hope is clear from the remainder of my critique, there are, in fact, critical failings and shortcomings affecting all of these safeguards that debar them from providing a reliable backstop.
11. The Service fails to meaningfully account for past changes in major Yellowstone grizzly bears foods; this on top of the problems with its analysis regarding whitebark pine. Among key foods that the Service essentially dismisses out of hand are elk, bison, cutthroat trout, army cutworm moths and all of the vegetal foods that are affected by growing season drought. In short, not only does the Service fail to provide any useful basis for assessing past and prospective future changes in natural foods, but, even more problematic, fails to acknowledge and address clear scientific evidence that the Yellowstone grizzly bear population is in trouble and threatened by further deterioration of habitat conditions.
11.1. The Service fails to use or even acknowledge scientific evidence showing that there is *prima facie* reason to expect that availability of ungulates, army cutworm moths, cutthroat trout, and drought have affected grizzly bear death rates, with prospects of leading to elevated death rates over the next decade to century.
On page 13212 of the Rule the Service references a single research paper of only peripheral relevance (Schwartz et al. 2010) as a basis for asserting that “…only whitebark pine seeds are known to have an influence on grizzly bear mortality risk and reproduction. There is no known relationship between grizzly bear mortality risk or reproduction and any other individual food.” The Service then uses this assertion to dismiss out-of-hand any serious consideration of demographic consequences arising from past and likely future trends in any food source other than whitebark pine. In rushing through these bemusing leaps of logic the Service altogether ignores a trove of scientific information relevant to judging whether other foods might—or even do—have an effect on birth and death rates of Yellowstone’s grizzly bears. When taken seriously, this body of science paints a fundamentally different picture—which is the picture I paint here in my following points as well as throughout the rest of my comments.
It is first worth noting that the Service fails to explain how “…some of the highest calorie food sources available to grizzly bears in the GYE”—and of enough importance to be monitored by the IGBST (page 13212)—can be dismissed essentially out of hand. Or, related, why the ample trend data from foods important enough to be monitored year-after-year by multiple state and federal agencies is not worth the Service’s consideration (as with army cutworm moths, cutthroat trout, and ungulate carrion). Even without pursuing this issue any further, these twists of logic suggest an up-front disinterest by the Service in seriously engaging with the effects of foods such as elk, bison, army cutworm moths, and cutthroat trout—or all of the other foods that might be affected by drought.
Moreover, it takes convoluted logic to conclude that “there is no known relationship” simply because the Service chooses to rely solely on fatally flawed science that failed to consider the possibility of such relationships in the first place (see my points 2.2 & 10 above). Failure on the part of a few scientists to exercise adequate scientific rigor does not constitute a thorough and sufficient examination of the science relevant to judging why birth and death rates of Yellowstone’s grizzly bears might have changed in the past, and how these rates might be affected in the future.
Beyond these logical problems, one important point to reiterate (see my point 7) is one that the Service itself makes in several places, including on page 13212. There are, in fact, only a handful of foods from which Yellowstone’s grizzly bears historically obtained perhaps as much as 80% of their energy and nutrients: meat from elk and bison; meat from cutthroat trout; seeds from whitebark pine; and army cutworm moths. As the Service notes in its (far from adequate) review of nutritional ecology, other foods the bears ate aplenty, but none came even close to providing the same amount of energy, protein, or fat as the four dominant foods. On this basis alone there is ample reason to expect that all of the four key foods—not just whitebark pine seeds--affected birth and death rates of Yellowstone’s grizzly bears in some measure. Certainly, on the basis of energetics and nutritional considerations alone, such a conclusion is more defensible than any other, including the conclusion hastily reached by the Service.
And, as I point out in numerous other places, it is fundamentally problematic that ALL but one of the analyses relating food abundance to grizzly bear
demography in the Yellowstone ecosystem failed to even consider the effects of moths, trout, elk, or bison—or any other food for that matter (Mattson et al. 1992, Pease & Mattson 1999, Schwartz et al. 2006, Van Manen et al. 2015). The only food effect that was entertained by these researchers was that of whitebark pine seeds. It is no wonder that if you don’t look for or otherwise even consider additional effects, you probably won’t document any. And, importantly, such a failure of scientific rationality does not equate to the absence of such effects—such as potentially those of trout or moths or elk or bison on grizzly bear birth and death rates. In fact, the single more replete analysis (Mattson 2000), detected effects of meat-eating on cub survival and root consumption on litter size.
More positively, though, there is evidence that death rates of Yellowstone’s grizzly bears have varied in reflection of moth, elk, and trout abundance—also perhaps as a function of drought—especially between 1990 and 2005. Elsewhere I present definitive evidence that an increase in consumption of meat by Yellowstone’s grizzlies as compensation for losses of whitebark pine seeds led to the sharp increases in natural and human-caused mortality since 2006 (see my points 9, 17, & 18). But here I focus on 1990-2005 using publicly available data from the IGBST, the National Park Service, the states of Wyoming and Montana, and NOAA, realizing that a rigorous analysis of all data currently sequestered by the Service would also entail spatial and temporal interactions.
**Figure 11.1.1.** These four panels superimpose trends in total known-probable grizzly bear mortality on trends in abundance of four foods plus drought for the period 1986-2015. Mortality is shown in red as a 3-year running average, with natural mortality (lower red line) differentiated from total mortality (top red line). The gray lines show trends, left to right, in number of bears seen on moth sites; numbers of elk in the Northern Range and Greater Jackson herds; average per stream numbers of trout counted in spawning streams around Yellowstone Lake; and an inverted representation of the Palmer Drought Index for the highest-elevation drainages of the Yellowstone ecosystem (i.e., peaks in the trend line indicate greater drought severity).
Figure 11.1.1 shows trends in total known and probable grizzly bear deaths in red as a 3-year running average superimposed on trends in foods, or food proxies, all of which are currently neglected by the Service.
Put simply, trends in human-caused and total grizzly bear deaths can be largely explained in terms of trends in availability of key foods. For example, a simple regression model containing trends in elk populations and availability of whitebark pine seeds (see my point 8.2) explains 74% of total and 76% of human-caused mortality (with P-values <0.0001)—with both food effects negative, as one would expect. A similar model including elk, trout (also negative), and drought (positive) explains 70% of human-caused mortality (also with P<0.0001). Another model yet, in which I used latent variables to deal with the high degree of temporal correlation among covariates (i.e., principal components), explains 70% of total deaths and 72% of human-caused mortality, with elk, trout, and whitebark pine all having negative effects, and moths and drought, positive effects.
Parenthetically, I suspect that the anomalous *positive* relationship between grizzly bear death rates and use of moth sites is related to geography. As shown in Figure 11.1.2., all of the moth sites are on the east side and towards the periphery of the ecosystem, in areas where we have seen expansion of the grizzly bear population, and a burgeoning of livestock-related conflicts and resulting grizzly bears deaths (see my point 9). Emblematic of this, the cow skulls in figure 11.1.2 each represent a grizzly bear-livestock conflict for one representative year, of which a disproportionate number
are figuratively just downslope from a moth site. The point of this being that moth sites are spatially correlated with an emerging major cause of grizzly bear deaths, and thus probably positively correlated with temporal trends in deaths largely as an artifact of this geography.
As a bottom line, there is strong evidence that all of the key grizzly bear foods have had a strong if not dominant effect on death rates, enough so that essentially all of the trends in total and human-caused grizzly bear deaths since roughly 1990 can be explained by availability of elk, cutthroat trout, whitebark pine seeds, army cutworm moths, and drought (as a proxy for other vegetal foods). On the basis of straight-forward nutritional considerations, there is also good cause to expect that these same foods have had, and will continue to have, strong effects on grizzly bear birth rates.
Quite simply, there is no excuse other than perhaps prejudice, laziness, and limited imagination for the Service’s failure to consider the effects of all nutritionally important foods on birth and death rates of Yellowstone’s grizzly bears. The Service needs to remedy its currently deficient analysis and seriously address past effects and future prospects for army cutworm moths, cutthroat trout, elk, and bison—as I outline in more detail in my following points.
11.2. The Service fails to meaningfully account for declines in elk populations and foreseeable threats to this source of bear food in its assessment of current and prospective threats to Yellowstone’s grizzly bear population. This failure further compromises the Service’s attempt to disentangle drivers of recent and prospective near-future changes in demography of the bear population.
Meat from terrestrial sources has contributed between 25% and >60% of the energy and nutrients obtained by Yellowstone’s grizzly bears from their environment, the range depending on the sex and age cohort and time period (Mattson 1997, Jacoby et al. 1999, Fortin et al. 2013, Schwartz et al. 2014). During the 1970s-early 1990s, elk were the source of the majority (c. 53%) of this meat (Mattson 1997). Moreover, terrestrial meat has been invoked as an important compensatory substitute for losses of cutthroat trout and whitebark pine seeds (Fortin et al. 2013, Middleton et al. 2013, Ebinger et al. 2016; the Rule). For all of these reasons—in addition to the *prima facie* evidence I present under 11.1.1 above for strong effects of elk availability on death rates—past and prospective future trends in elk populations necessarily factor into any assessment of current and future prospects for Yellowstone’s grizzly bear population. Negative trends would axiomatically constitute a threat.
Despite this, the Service fails to address the past, present, and future prospects for Yellowstone’s elk populations in any meaningful way. Its analysis amounts to nothing more than a patently superficial and rushed treatment on page 13212 of the Rule. Moreover, this failing is non-trivial given unfolding trends and foreseeable threats.
Moreover, declining elk populations have almost certainly driven a decline in availability of spring carrion (figure 11.2.3), which historically has been a disproportionately important food for Yellowstone’s female grizzly bears (Mattson 1997, 2000). The Service fails altogether to even recognize its own trend data regarding this phenomenon, and instead merely speculates that a reduction in spring carrion could happen, citing two papers that don’t directly address these well-documented trends in carrion availability. All of this in service of rush to its ill-substantiated conclusion that “fluctuations” (euphemistically) in ungulate populations are not a threat to GYE grizzly bears.
Looking to the future, prospects are not good for Yellowstone’s elk populations. If declines have indeed been driven partly by lower-quality summer forage and increased bear predation, the future can only hold worse to come. Bears are a classic case of subsidized predators when it comes to predation on ungulates calves, best documented in the case of moose and elk (e.g., Gasaway et al. 1992, Ballenberghe & Ballard 1994, Testa 2004, Zager & Beecham 2006). Which means that bear predation can persist at unsustainably high levels even as elk populations continue to decline. Climate change also promises to bring ever worse summer drought (Chang & Hansen 2015)—with predictably negative effects on the quality of elk summer forage. Moreover, despite being dismissed out of hand by the Service on page 13212, Chronic Wasting Disease looms as a potentially major catastrophe for elk and elk scavengers in Yellowstone’s ecosystem (e.g., Jennelle et al. 2009; Wyoming Game & Fish Department 2015, 2016). Future prospects for Yellowstone’s elk populations are not bright.
superficial analysis apparently on its way to a foregone conclusion.
That being said, my brief assessment here of status and trends for Yellowstone’s elk populations is merely a preview of what is incumbent on the Service in support of this proposed Rule. The Service needs to critically assess past effects of and future prospects for this important grizzly bear food rather than breeze through a
11.3. The Service fails to meaningfully account for changes in bison populations and foreseeable threats to this source of bear food in its assessment of current and prospective threats to Yellowstone’s grizzly bear population. This failure further compromises the Service’s attempts to disentangle drivers of recent and prospective near-future changes in demography of the bear population.
Mattson (1997) and Green et al. (1997) documented the disproportional importance of bison as a source of meat for Yellowstone’s grizzly bears primarily owing to the large mass of and related abundance of meat on bison carcasses. Mattson (1997) estimated that bears obtained nearly a quarter of all ungulate meat from bison. Given the increasing importance of terrestrial meat in the Yellowstone grizzly bear diet (Schwartz et al. 2014, Ebinger et al. 2016), bison have very likely become more rather than less important to this bear population. In fact, even as total number of carcasses from winter-killed elk and bison has decreased on Yellowstone’s ungulate winter ranges, bison have comprised an ever-larger percentage of the total (Figure 11.3.1).
Figure 11.2.2. Cow:calf ratios for three of Yellowstone’s elk herds, with each herd denoted by a different color.
Figure 11.2.3. Ungulates carcasses counted per km of transects surveyed during spring on Yellowstone ungulate winter ranges. Gray dots are annual values and pink dots represent a 3-year running average..
Figure 11.3.1. Results from annual spring surveys of carcasses on Yellowstone National Park winter ranges. The top graph shows number of carcasses detected per km of survey, with annual values in gray and a 3-year running average in pink. The bottom graph shows the proportion of all elk and bison carcasses that were of bison.
As with elk, because bison are such an important bear food, the Service needs to critically assess past, present, and future likely trends for bison as part of its risk assessment for Yellowstone’s grizzly bear population. Yet the Service fails to present such an analysis anywhere in the Rule other than its superficial treatment on page 13212, primarily in reference to management of brucellosis in bison.
Given the extent to which state and federal management of Yellowstone’s bison has been driven by concerns about brucellosis, any assessment of future prospects for bison necessarily needs to meaningfully consider prospective future management regimes for control of brucellosis. The Service’s encapsulation of this issue in a blithe and meaningless reference to the objective of the current brucellosis management plan (“maintain a wild, free-ranging population of bison” [US National Park Service & USDA Animal and Plant Health Inspection Service 2000]), is grossly insufficient to the Service’s analytic task. In fact, the dramatically negative recent trend of the Central Yellowstone bison herd no doubt reflects the current brucellosis management regime, more than factors such as decreasing winter severity (Geremia et al. 2011, White et al. 2011). The Service has no basis for its flip dismissal of brucellosis management as a factor in bison abundance and as a potential threat to Yellowstone’s grizzly bears.
### 11.4. The Service fails to meaningfully assess past (and future) threats posed by major declines in populations of Yellowstone Lake cutthroat trout by its use of convoluted logic organized around a distorted and selective representation of the best available science. The Service’s distortions and omissions are so strikingly egregious that I devote a considerable amount of space here to rectifying these deficiencies.
On Pages 13212 and 13213 of the Rule the Service devotes 1 paragraph to summarily dismissing the past, present, and prospective future threat posed to Yellowstone’s grizzly bears by the functional extirpation of cutthroat trout in Yellowstone Lake. All of this is based on a selective and distorted reading of essentially two scientific references. In fact, an adequately thorough and less distorted review of relevant scientific information reveals a fundamentally different picture in which trout constituted an important bear food; loss of trout resulted in harm to Yellowstone’s grizzly bears; with prospects for harm continuing.
Put succinctly, spawning cutthroat trout were a major source of energy and nutrients for grizzly bears living within range of Yellowstone Lake between the mid-1970s and late 1990s (see below). Roughly 15% of the bear population exploited this resource between mid-May and late July (Reinhart & Mattson 1990, Haroldson et al. 2005), although few grizzlies still consume trout. These percentages are based on estimates from the two referenced studies of 45 and 70 trout-consuming bears, and estimates of roughly 325 and 500 total bears in the population for the two corresponding time periods (Eberhardt & Knight 1995, IGBST 2003). Or put another way, the Service’s bald assertion that “only a small portion of the GYE grizzly bear population uses cutthroat trout” is mystifying and unsubstantiated, especially given that the Service references the somewhat dated work by Haroldson et al. (2005) as its authority.
Nonetheless, it is not altogether clear to what extent cutthroat trout were an important source of energy and nutrients for female versus male grizzlies. The main contradictions arise from the results of Mattson & Reinhart (1995) and that of Felicetti et al. (2004). Felicetti’s results suggest that male grizzlies made roughly five times more use of trout compared to female grizzlies (135g/kg versus 26g/kg), whereas Mattson & Reinhart (1995) suggest otherwise. A critically important contextual distinction pertains to the status of trout populations when the research supporting each result happened. The research reported in Mattson & Reinhart (1995) occurred during the peak of Yellowstone's cutthroat trout population (1985-1987); Felicetti’s when the population was at low ebb, albeit during a minor resurgence (1997-2000; see my discussion of trends below).
Figure 7.1., under Point 7 above, summarizes the estimated monthly contribution of cutthroat trout to dietary energy and nutrients of the Yellowstone grizzly bears between the late 1970s and early 1990s. These estimates are based on an analysis of fecal material ("scats") deposited by grizzly bears throughout the Yellowstone ecosystem during 1977-1993, weighted by average nutrient and energy contents, adjusted for digestibilities, and corrected for differences between ingested and fecal volumes (as per Mattson et al. 2004, Lopez-Alfaro et al. 2015; see my comments under point 7). Monthly variation in total amounts varies substantially because of seasonal differences in overall levels of feeding activity (low in the spring, high in the fall and late summer; Mattson et al. 1991a), as well as differences in numbers of bears out of their dens early and late in the active season (Haroldson et al. 2002).
Figure 7.1 shows that trout were an especially important source of energy and protein, provided in pulses that peaked during June and July. There is little doubt that the functional extirpation of trout in a number of spawning streams has left a major nutritional hole during these months that bears have needed to fill, apparently by preying more heavily on elk calves (which are particularly vulnerable this time of year) and by more heavily consuming lower-quality vegetal foods (Fortin et al. 2013, Middleton et al. 2013, Ebinger et al. 2016).
**Figure 11.4.1.** (A) Proportion of adult female and adult male telemetry locations concentrated within 2-km of Yellowstone during cutthroat trout spawning season, only considering bears with ranges overlapping spawning streams; (B) Proportion of all individuals and tracks documented along spawning streams during spawning season (in green) relative to the proportion of each expected by the total in the population; and (C) percent contribution of various foods to the ingested diet of bears concentrated along spawning streams during spawning season.
Some key results from the mid-1980s are summarized in figure 11.4.1. Of the bears strongly suspected of consuming cutthroat trout, females spent nearly 1.6 as much time near spawning streams as did males (during the spawning season; left above, Panel A), although females with dependent young were present in proportions less than one might expect (indicated by the discrepancy between the gray and green bars in panel B).
Moreover, analysis of scats collected within 500 m of spawning streams suggests that the bears that were present had a diet comprised of 90%+ cutthroat trout (corrected to reflect ingestion; Panel C). Although scats dropped by females couldn't be distinguished from scats dropped by males, the overwhelming conclusion is that any bear near a spawning stream during the spawning season was eating almost wholly cutthroat trout. The logical conclusion is that females were eating more trout than were males, at least during the mid-1980s. The only way this could not be the case is if females were concentrating near spawning streams, but not eating trout, which seems implausible in light of everything know about what motivates the foraging behavior of animals.
Another interesting paradox arises from the fact that Felcetti et al. (2004) estimated the median consumption of trout by bears during 1997-2000 to be around 0.024-1.09 kg per individual, at the same time that Haroldson et al. (2005; from whom she obtained her samples) estimated that bear activity around spawning streams--including fishing--had not dramatically diminished from highs during the mid-1980s (see my discussion of trends below). But the claims by Felcetti and Haroldson find little support in independent observations. For one, trout populations had declined substantially--if not catastrophically--between the 1980s and late 1990s (see below). Given the strong relationship between trout densities and bear fish activity (Reinhart & Mattson 1987), it seems implausible that such a decline in trout populations would have had a minor effect on bear activity. The claim by Felcetti that trout were roughly 5-times more important a source of energy for males compared to females is also in stark contradiction of the results described immediately above. Finally, the fact that grizzly bears have been documented to consume roughly 6 kg of trout in a single 41-minute bout of fishing suggests that any bear spending any amount of time fishing streams under favorable circumstances would have consumed many kg of trout during a single season--not something less than 1 kg.
An explanation for contradictions between the results of the mid-1980s and late-1990s studies potentially takes two forms. One is that the differences are simply a result of starkly different numbers of spawning cutthroat trout (see below), with related changes in relative access to streams by females versus males. There is ample evidence that adult male grizzlies can dominate concentrated food resources such as spawning trout, especially to the exclusion of security-conscious animals such as females with dependent young (the case two years out of three for Yellowstone females). Thus, if prime fishing opportunities had become increasingly spatially restricted, males would have become the primary winners, and females the losers. The result would have been a shift from disproportional use of the trout resource by females to disproportional use by males—leaving females bearing most of the harm arising from losses of cutthroat trout.
And, indeed, Yellowstone Lake's cutthroat trout population has exhibited huge ups and downs since the 1940s, when the Park Service first began to track trout numbers. Consumption of trout by bears has correspondingly varied. The composite figure below (figure 11.4.2) summarizes these key trends.
Figure 11.4.2. Trends in numbers of Yellowstone Lake cutthroat trout and related trends in related levels of bear fishing and other activity, with reference to the various studies that I reference here.
Panel A shows trends in numbers of spawning trout censused in Clear Creek, a major spawning stream on the east side of Yellowstone Lake (the blue line); the average length of trout captured in trawl nets (gray line); and numbers of fish killed by human anglers (all of these data can be found in Kaeding 2010 and other public archives). Key trends in numbers of spawning trout have been: a major increase during the 1960s, a substantial dip in the early 1980s, a resurgence in the late 80s, and a subsequent sustained decline to the present. Average size of trout has consistently varied inversely to population trends, indicating lack of recruitment of fish into smaller size classes during periods of decline.
Panel C shows levels of bear activity along spawning streams since 1989 (transects are located on streams concentrated on the west and northwest shores of the Lake; from IGBST Annual Reports). During 1989-1998 bear activity was substantial but varied. However, beginning in 1999, activity declined to the point where, now, bears rarely fish for spawning trout. This decline in bear activity is self-evidently related to the decline in numbers of spawning trout shown in blue in Panel D. Panel D also shows, in brown, numbers of lake trout captured in gill nets, standardized to reflect level of effort. Non-native lake trout were first documented in Yellowstone Lake in 1994, after which their numbers increased, then declined, and then increased again to the present. Lake trout prey on cutthroat trout and are implicated in the decline of cutthroat numbers.
One important feature of Panels A, C, and D is the denotation, as gray vertical bars, of different grizzly bear studies of relevance to documenting consumption of trout around Yellowstone Lake; each study is labeled with the name of the lead investigator(s). The Hoskins,
Reinhart, Haroldson, and Fortin (Fortin et al. 2013) studies surveyed tributary streams specifically to document bear activity along with size and duration of spawning runs. Panel B at the very top summarizes the results of each of these studies in terms of: number of streams with spawning runs (SSs, dark blue bar), with bear activity of any sort (BA, dark gray bars), and with sign of bear fishing (BF, light gray bars). As Fortin et al. (2013) and Middleton et al. (2013) document, although there has been a decline in numbers of bears active around Yellowstone Lake, the decline has not been catastrophic.
But, as I point out above, the brunt of declines in trout has probably been born by female grizzly bears, resulting in a turn to eating more terrestrial meat, especially in the form of predated calves, resulting in a probable increase in cub and yearling death rates (see my point 17) and a related overall increase in total grizzly bear mortality, especially during 1993-1997 and again during 2000-2003 (see my point 11.1 above).
Perhaps more importantly, it would stretch the bounds of plausibility to conclude that carrying capacity *has not* declined in areas around Yellowstone Lake occupied by bears that had made heavy use of cutthroat trout—which is what the Service strongly implies. Carrying capacity has almost certainly declined and, more importantly, this decline has occurred in the most protected core of the ecosystem centered on the southern part of Yellowstone National Park. Combined with the effects of increasing moth site use on the eastern periphery of the ecosystem (see below), this geographic redistribution in carrying capacity will predictably draw grizzly bears into more lethal environments outside of the National Parks, in comparatively less protected parts of Wyoming.
Given the picture that I present here based on the preponderance of evidence and associated logical deductions, the Service needs to undertake a more rigorous and less patently biased assessment of the threats posed directly and indirectly by losses of cutthroat trout.
**11.5. The Service fails to adequately address the effect of army cutworm moths on birth and death rates of Yellowstone’s grizzly bears, and thereby fails to account for the past effects of dramatic increases in consumption of moths by bears and prospective future effects of losses of this food on Yellowstone’s grizzly bear population.**
Army cutworm moths are amongst the highest-quality of grizzly bear foods in the Yellowstone ecosystem (Erlenbach et al. 2014). By summer’s end, oversummering moths can consist of 50-80% fat (Kevan & Kendall 1997, White et al. 1998b). This high concentration of fats predictably accelerates accumulation of body fat amongst female grizzly bears that eat them (Robbins et al. 2007, Robbins et al. 2012, Erlenbach et al. 2014) and, with that, the odds that these females will achieve the substantial body fat—in excess of 20%—needed to produce and sustain cubs (Farley & Robbins 1995, Hilderbrand et al. 2000, Robbins et al. 2012).
Moreover, the sites where grizzly bears consume moths are located in areas that are amongst the most remote from people of any in the Yellowstone ecosystem (Mattson et al. 1991b, French et al. 1994, Gunther et al. 2014). And remoteness from people has repeatedly been shown by researchers to be one of the most important spatial factors affecting survival of adult grizzly bears in and near the Yellowstone ecosystem (Mattson et al. 1996; Merrill et al. 1999; Carroll et al. 2001, 2003; Merrill & Mattson 2003; Johnson et al. 2004; Schwartz et al. 2010).
Consumption of moths by grizzly bears, which occurs primarily between mid-July and mid-September, has increased dramatically from essentially nil during the mid-1980s to high levels that have been sustained since the late 1990s (Mattson et al. 1991b, IGBST 2015:42-43). Individual sightings of grizzly bears on moth sites have numbered between 240 and 350 during the last three years (IGBST 2015:42-43), which strongly suggests that a substantial number of individual bears use this food resource—perhaps the majority of those living in eastern
portions of the ecosystem. All of the 31 known sites where grizzlies consume moths are located on US Forest Service lands in the Absaroka Mountains east and southeast of Yellowstone National Park (Gunther et al. 2014). Six of these sites are located outside of the Primary Conservation Area (Van Manen, F.; personal communication).
Nowhere in the proposed Rule or CS does the Service address the prospective effects of past increases and future losses of army cutworm moths on grizzly bear demography, other than through patently convoluted logic transparently designed to sidestep this issue. None of the demographic analyses relied upon and referenced by the Service (e.g., Schwartz et al. 2006, Van Manen et al. 2015) have in any way explicitly incorporated the effects of army cutworm moth consumption in their analyses of grizzly bear birth or death rates. Lacking this foundation in analysis of prospective past effects, the Service has no basis for representing or judging what those effects have been or might be in the future. Nor do they have any basis for differentiating effects that they attribute to “density,” as such, from effects of increasing consumption of cutworm moths given that both are highly correlated in time, as well as correlated in space (Gunther et al. 2014, IGBST 2015:42-43, Van Manen et al. 2015)
Lack of attention to this issue by Schwartz et al. (2006) and Van Manen et al. (2015) does not obviate the burden on the Service to consider the available relevant science, which is summarized here. Using this available science, and in the absence of anything more definitive, the preponderance of evidence supports concluding that increased availability and consumption of moths has very likely led to increased birth rates and decreased late-summer deaths rates amongst bears with access to this food, and that future loss of moths would lead to the opposite. Certainly, this conclusion is better supported than either of the two alternatives: that availability or consumption of moths has resulted in either no effect or negative effects, and that past and future abundance of this food is of little or no consequence to long-term conservation—which is essentially what the Service has claimed.
12. The Service disregards and misrepresents the best available scientific information in its assessment of the impact of wolves on Yellowstone’s grizzly bears on page 13212 of the Rule—in fact, the Service essentially disregards wolves altogether as a factor to be considered in their own right.
On page 13212 of the Rule the Service presents a superficial and otherwise inadequate mini-assessment of the past and prospective future impacts of wolves on Yellowstone’s grizzly bears in an apparent rush to reach its hasty conclusion that “fluctuations” in ungulate populations have not nor will ever threaten grizzly bears in this ecosystem. In fact, a clear-eyed reading of the best available science shows that wolves have very likely harmed Yellowstone’s grizzly bears, albeit to an unknown extent.
Female grizzly bears historically consumed a disproportionate amount of the terrestrial meat that they ate by scavenging carrion during the spring, in contrast to adult male bears that ate disproportionately more meat during summer and fall and, of that, more by outright predation (Mattson 1997, 2000). Since the reintroduction of wolves, amounts of spring carrion have declined (figure 12.1), primarily as a result of declining elk populations (see my point 11.2 above). These declines in elk have probably been driven by a combination of unsustainable sport harvest, adverse weather, grizzly bear predation on calves, and wolf predation on elk of all sex and age classes (Vucetich et al. 2005, Evans et al. 2006, Eberhardt et al. 2007, Barber-Meyer et al. 2008, Griffin et al. 2011, Brodie et al. 2013, Proffitt et al. 2014). The point being that wolf predation has very likely played a part in very real declines in spring carrion, especially because of selection by wolves for the older and weaker elk that almost certainly would have otherwise died overwinter and been available to female grizzlies as carrion (Evans et al. 2006, Wright et al. 2006).
The Service concludes its putative mini-assessment of wolves by asserting that grizzly bears have probably benefitted from the extent to which they have been able to appropriate wolf kills for their own consumption, citing research conducted in Alaska (Ballard et al. 2003), while entirely overlooking highly relevant research undertaken in Yellowstone (Gunther & Smith 2004). These Yellowstone researchers found that females very rarely if ever usurped wolf kills. In fact, adult male grizzlies—which are of little relevance to population-level productivity—were essentially the sole beneficiaries of wolf kills. In other words, whatever meat wolves were directly provisioning for bears was going almost entirely into the bellies of adult males.
In short, wolves have been and will probably continue to be a detrimental feature of Yellowstone’s grizzly bear habitat, thereby constituting a threat; and the Service utterly fails, first, to give this issue due regard and, second, to sufficiently and accurately represent the relevant best available science. If considered properly, wolves will probably threaten grizzly bears directly through predation on young bears and indirectly through effects on ungulate populations, now and for the foreseeable future.
13. The Service fails throughout the Rule to account for the effects of climate change on past, present, and prospective future changes in habitat and demography of Yellowstone’s grizzly bears. The Service neglects most of the relevant best available science; distorts what little it does cite; deploys otherwise faulty logic; and relies, instead, largely on a single workshop publication and related assertions regarding the opinions of an amorphous “majority” of bear scientists.
The Service is remarkably obtuse in its assessments of how climate change has, is, and will foreseeably affect Yellowstone’s grizzly bear population. Much of its argument is presented on pages 13197, 13216, 13217 of the Rule, from which I have extracted the following synoptic quotes:
On page 13197, the Service cursorily states its central conclusion: “Most grizzly bear biologists in the United States and Canada do not expect habitat changes predicted under climate change scenarios to directly threaten grizzly bears (Servheen and Cross 2010, p. 4). These effects may even make habitat more suitable and food sources more abundant.”
On page 13216 and 13217 the Service marches through several paragraphs in which it acknowledges the obvious fact that unprecedented climate change is happening; that the western United States will be warmer; and that hydrologic regimes will change. After this pro forma recitation, the Service then leaps to again conclude: “Most grizzly bear biologists in the United States and Canada do not expect habitat changes predicted under climate change scenarios to directly threaten grizzly bears (Servheen and Cross 2010, p. 4). These changes may even make habitat more suitable and food sources more abundant.”
On page 13217 the Service perambulates through another pro forma acknowledgment that climate change will, indeed, affect the abundance and distribution of plant and animal species only to repeat a variant of its emerging mantra: “While the extent and rate to which individual plant species will be impacted is difficult to foresee with any level of confidence (in their entirety: Walther et al. 2002; Fagre et al. 2003), there is general consensus that grizzly bears are flexible enough in their dietary needs that they will not be impacted directly by ecological constraints such as shifts in food distributions and abundance (Servheen and Cross 2010, p. 4; IGBST 2013, p. 35).
Finally, on page 13217 the Service again marches through yet another pro forma discussion of prospective changes in fire regimes to reach its master conclusion regarding prospective effects of climate change on Yellowstone’s grizzly bears: “Because grizzly bears have shown resiliency to changes in vegetation resulting from fires, we do not anticipate altered fire regimes predicted under most climate change scenarios will have significant negative impacts on grizzly bear survival or reproduction, despite its potential effects on vegetation. Therefore, we conclude that the effects of climate change do not constitute a threat to the GYE grizzly bear DPS now, nor are they anticipated to in the future.”
The short-comings of the Service’s treatment of climate change are striking—and consistent with a track record of disregard recently highlighted by the US Montana District Court’s ruling on the Service’s failure to list wolverines under the ESA.
Emblematic of its failure to address Yellowstone’s specific conditions, the Service (barring once) almost totally ignores the large body of research that directly addresses climate change in Yellowstone, including projections for climate, vegetation, and wildfire. In the one instance where the Service does cite regionally-specific research (i.e., Romme & Turner 1991), the results are misrepresented in an apparent attempt to dismiss the threat posed by climate change to army cutworm moths (for more on this, see my comments specific to moths). But perhaps most problematic, the Service fails to address what we do know about grizzly bear behavior, diet, and habitat in the Yellowstone ecosystem and instead substitutes platitudes such as “most grizzly bear biologists” and “general consensus.”
13.1. The Service fails to adequately represent the best available science of direct relevance to projecting environmental change in the Yellowstone ecosystem.
The Service’s at times lengthy recitation of literature that forecasts generic effects of climate change is clearly *pro forma*, as evidenced by the fact that the Service doesn’t even pretend to explicitly link such effects to the particulars of Yellowstone’s bears and bear habitat.
Briefly, climate has warmed and will continue to warm substantially in the Yellowstone ecosystem, with a net projected increase in growing season drought, albeit mitigated by some projected increase in precipitation. Without being exhaustive, Pedersen et al. (2010), Rice et al. (2012), Chang & Hansen (2015), and Tercek et al. (2015) provide what is probably the most relevant and up-to-date information on past and prospective future changes in climate of the Yellowstone ecosystem. Temperatures have already increased substantially, especially since the late 1940s, and will continue to increase at a rapid rate under all plausible forecast scenarios (Figure 13.1.1). Total precipitation has been stable during the last 60 years or so, but is projected to increase modestly with climate change, with offsets by warming resulting in a net projected increase in droughty conditions, especially late in the growing season. For various reasons, snowpack has declined significantly since 1980, but in large measure due to warmer winter and spring conditions—consistent with broad-scale west-wide trends (Clow 2010, Pederson et al. 2013). The resulting hydrologic changes have been detrimental to cold-water fish such as cutthroat trout (Williams et al. 2009; Isaak et al. 2010, 2012, 2015; Wenger et al. 2011). The magnitude of these historical and forecasted changes is non-trivial and potentially even catastrophic—and at variance with implications made by the Service in the Rule that uncertainty is perhaps a defining feature. It is not. The forecasts are thematically unambiguous, convergent, and consistent with recent historical trends.
Numerous researchers have projected climate-driven changes in the distributions of either vegetation formations or individual plants species at a resolution meaningful to regional assessments for the Yellowstone ecosystem (e.g., Romme & Turner 1991; Bartljen et al. 1997; Shafer et al. 2001; Schrag et al. 2007; Crookston et al. 2010; Coops & Waring 2011; Diaz & Eischeid 2007; Westerling et al. 2011; Bell et al. 2013, 2014; Gray & Hamann 2013; Chang et al. 2014; Hansen & Phillips 2015; Rehfeldt et al. 2006, 2012). Again, unlike some of the Service’s innuendo in the Rule, the projections are unambiguous and consilient. We can expect massive changes in the distributions and abundance of plant species, including the prospective loss of most (90% plus) alpine and high subalpine environments. Among the species expected to experience major declines are subalpine fir, Engelmann spruce, and whitebark pine, with invasion of higher elevations by Douglas-fir and lodgepole pine—continuing trends that have been underway for the last 13,000 years (Iglesias et al. 2015).
Fire regimes are expected to change substantially. Westerling et al. (2011), Luo et al. (2013), Stavros et al. (2014), Barbero et al. (2015), and others project an increase in fire frequency and/or extent perhaps sufficient to essentially eliminate forest conditions from most of the Yellowstone ecosystem—albeit with a potentially progressive lessening of fire intensity (Parks et al. 2016). These future fire regimes will likely amplify the rote effects of climate change in driving an increase in the extent of non-forest conditions (Rice et al. 2012, Chang & Hansen 2015), but with an additional likely CO2-driven trend towards increasing concentration of biomass on shrubs such as *Artemisia* sp. (e.g., Harte & Shaw 1995, Polley et al. 1997, Morgan et al. 2007).
This very brief review emphasizes the extent to which the Rule neglects high-relevant regionally-specific research, provides a backdrop of prospective change, and provides an opportunity to actually examine (in brief) what climate change might bring—and has already brought—for Yellowstone’s grizzly bears; and with reference to the particulars of grizzly bear research in
this ecosystem instead of resort to platitudes and figurative arm-waving.
13.2. The Service fails to adequately account for the prospective terminal loss of whitebark pine as a functional part of Yellowstone’s grizzly bear habitat.
There is little doubt that climate warming has been a major driver of devastating—even catastrophic—losses of mature whitebark pine to bark beetles, especially since the early 2000s (Logan et al. 2010, Macfarlane et al. 2013). In fact, these losses are the very premise of the IGBST research that the Service cites so extensively (e.g., Bjornlie et al. 2014, Van Manen et al. 2015; but see my other comments regarding the fatal flaws of this work). Looking to the future, virtually every study that has been done projects terminal losses of virtually all whitebark pine in the Yellowstone ecoregion from a combination of climate warming, increased fires, insidious spread of white pine blister rust, continued outbreaks of bark beetles, and competition from lower-elevation species such as lodgepole pine and Douglas-fir (e.g., Romme & Turner 1991, Bartlein et al. 1997, Warwell et al. 2006, Schrag et al. 2007, Coops & Waring 2011, Coops et al. 2011, Hatala et al. 2011, Jewett et al. 2011, Simard et al. 2012, Gray & Hamann 2013, Weed et al. 2013, Chang et al. 2014, Miller et al. 2015). The preponderance of evidence unambiguously supports the conclusion that whitebark pine will continue to be lost and will not return as a functional part of Yellowstone’s grizzly bear habitat. This conclusion holds, the apologia of Mahalovich (2013) notwithstanding, especially given that this author would have us believe that something never before achieved is possible: i.e., the artificial selection (or engineering) of a new species that is simultaneously highly resistant to blister rust and beetles, a better competitor under warmer drier conditions, with continued production of ample nutritious seeds, and, as a practical matter, able to be propagated in sufficient numbers to make any functional difference. Unlikely at best.
And recent, on-going, and foreseeable losses of whitebark pine have had and will almost certainly continue to have major negative impacts on Yellowstone’s grizzly bears. As I point out elsewhere, bear mortality, in general, and in relation to use of human-associated meat, has sky-rocketed coincident with terminal declines in whitebark pine seed availability beginning 2006–2007. Moreover, whitebark pine seeds were unambiguously an important source of dietary fat—a critical diet nutrient—and, historically, of roughly twice the importance to females as to males (Mattson 2000, Felicetti et al. 2003).
13.3. The Service fails to adequately account for the prospective terminal loss of army cutworm moths as a functional part of Yellowstone’s grizzly bear habitat.
On page 13213 of the Rule, the Service invokes a single publication to claim that, because “vegetation types in Yellowstone have a wide elevational range,” alpine tundra and other alpine communities will not be adversely affected by climate warming. They then go on to claim, based on an additional single citation, that army cutworm moths will not be adversely by climate warming, not only because alpine environments will somehow survive intact, but also because moths will somehow otherwise adapt. These claims are not substantiated nor are they logical.
For one, alpine environments are, in fact, defined by a very specific climatic envelope, as is the corresponding domain of the plants that comprise alpine tundra (Lütz 2011, Körner 2013). Moreover, every single scientific projection for alpine environments under different plausible scenarios of climate change predicts (or projects) major if not catastrophic losses (e.g., Grace et al. 2002, Pauli et al. 2003, Walther et al. 2005, Grabherr et al. 2010, Dullinger et al. 2012, Elmendorf et al. 2012, Gottfried et al. 2012). Projections specific to the alpine zone in the western United States are no exception (Romme & Turner 1991, Diaz & Eischeid 2007). These projections are consistent with the climatic and physiological factors that sustain alpine plants in the face of competition from other species better adapted to less harsh lower-elevation environments (for example, see a rich scientific literature dating back to Tranquillini [1964] and Billings & Mooney [1968]).
On top of this, every instance where bears have been documented to feed on aggregations of army cutworm moths in the northern Rocky Mountains ha been restricted to alpine fellfields near alpine tundra: the Mission Mountains, Scapegoat Mountains, Glacier
National Park, and the Absaroka Mountains (Chapman et al 1955, Craighead et al. 1982, Mattson et al. 1991b, French et al. 1994, O’Brien & Lindzey 1998, White et al. 1998a). As a corollary, every study of summer cutworm moth ecology has demonstrated that the moths subsist on the nectar of tundra flowers (French et al. 1994, O’Brien & Lindzey 1994, Kevan & Kendall 1997, White et al. 1998b). It is somewhat mysterious, then, as to how and why grizzly bears would shift to feeding on moths in an environment where feeding on moths has never before been documented and where moths have never before been documented to thrive. The Service not only fails to reference any of the highly relevant literature listed here, but also convolutes and contradicts all available evidence.
Whereas it is true that no one can say for sure how over-summering army cutworm will respond to loss of alpine environments, this does not in any way substantiate the assertions made by the Service that alpine environments will somehow be unaffected by climate warming, that moths will somehow adapt, and that grizzly bear foraging will be minimally affected. Such claims, in fact, defy not only the weight of evidence, but also everything we do know about grizzly bears, cutworm moths, and prospective effects of climate change on the habitats that over-summering moths currently depend on.
**13.4. The Service fails to adequately account for the prospective terminal loss of cutthroat trout as a functional part of Yellowstone’s grizzly bear habitat.**
Yellowstone cutthroat trout are a cold-water-adapted species that is, together with bull trout, amongst the most vulnerable of any fish to prospective warming of aquatic habitats (Bear et al. 2007, Kaeding 2012). Although cutthroat trout will grow more quickly in warmer waters (Bear et al. 2007, Kaeding 2012, Al-Chokhachy et al. 2013), this advantage is offset by elevated competition, incidence of disease, spread of non-native species, and worsening flow regimes that typically accompany warming—which is also often coincident with drying (Koel et al. 2006, Gresswell 2009). In Yellowstone Lake, the primary threats from non-natives species are in the form of whirling disease (at a 20% plus infection rate among native cutthroat trout), New Zealand mud snail (as near as the Madison River), and Lake trout—a highly piscivorous predator on cutthroat trout first detected in Yellowstone Lake during 1994.
There is no doubt that Yellowstone Lake cutthroat trout populations have declined catastrophically since the late 1970s, to the point where this species has been functionally extirpated as a source of food for Yellowstone’s grizzly bears (see my comments under above). There is likewise no doubt that predation by Lake trout played a major role in this decline (Ruzycki et al. 2003, Koel et al. 2005). However the role of worsening hydrologic conditions is under-appreciated. Kaeding (2010) presents convincing evidence that hydrologic conditions (indexed by total annual air degree-days) drove declines in cutthroat trout populations perhaps even more than Lake trout predation, explaining the fact that the beginning of substantial declines in the cutthroat trout population predated detection of Lake trout by roughly 15 years.
Looking to the future, there is also little doubt that climate change will bring worsening rather than improving conditions for Yellowstone Lake cutthroat trout, including elevated water temperatures, early peak flows in spawning streams, worsening late-summer low flows, increasing blockage of spawning stream outlet channels, and less thermal buffering because of more prevalent wildfires (e.g., Williams et al. 2009; Isaak et al. 2010, 2012, 2015; Wenger et al. 2011; Tercek et al. 2015). The basis for this prognosis is consistent and strong. Insofar as threats from non-native species are concerned, even though there is evidence for the efficacies of recent efforts to control Lake trout in Yellowstone Lake (Syslo et al. 2011, Koel et al. 2015), such efforts will likely need to be sustained indefinitely, with virtually no prospect of ever completely eliminating Lake trout (Koel et al. 2006, 2015; Gresswell 2009). Moreover, there is no plan in place with prospects of ever controlling whirling disease or preventing the eventual introduction of New Zealand mud snails. In other words, the long-term prospects for Yellowstone Lake cutthroat trout are bleak, albeit with the possibility of modest positive trends in the next several decades. More certainly, cutthroat trout will not return as a major grizzly bear food in the most protected core of the ecosystem.
13.5. The Service fails to adequately account for the prospective effects of climate change on populations of elk and bison in the Yellowstone ecosystem.
Belying the cursory treatment of elk and bison by the Service on page 13212 of the Rule, an assessment of how climate change might affect these ungulates, along with consequent effects on grizzly bears, is perhaps the most complicated of any for foods of recent importance to bears. Certainly, the Service’s hasty conclusion that “fluctuations in the availability of ungulates are not a threat to the GYE grizzly bear population now, or in future” is irresponsible and simple-minded.
Elk populations in the northern Rocky Mountains, including the Yellowstone ecosystem, are limited and regulated by a combination of factors, most notably sport hunting, winter severity, summer forage, and predation. The Service would claim that sport hunting is discretionary and therefore entirely under the control of managers. Without questioning any assertions about control over sport harvest, climate *is not* controllable by wildlife managers.
Not surprisingly, a number of publications have implicated winter severity as a limiter of elk populations, primarily through effects on survival of short-yearling and senescent animals (Garrott et al. 2003, Lubow & Smith 2004, Vuvetich et al. 2005, Brodie et al. 2013, Proffitt et al 2014)—something that the Service acknowledges in the Rule. But an even larger body of research implicates summer forage conditions, primarily through effects on female pregnancy and early calf survival (Merrill & Boyce 1991, Coughenour & Singer 1996, Cook et al. 2004, Lubow & Smith 2004, Vucetich et al. 2995m Parker et al. 2009, Griffin et al. 2011, Middleton et al. 2013, Proffitt et al. 2014) —something the Service does *not* acknowledge. And calf survival is increasingly recognized to be a driver of elk population growth (Raithel et al. 2007).
Compared to elk, much less is known about the limitation or regulation of bison populations, especially in Yellowstone’s unique environment. Perhaps the best synopses of this information can be found in the Elsevier Press book “The Ecology of Large Mammals in Central Yellowstone,” specifically in Bruggeman et al. (2009), Fuller et al. (2009), Geremia et al. (2009). All of these researchers found that winter severity reduced bison survival rates, but in a way that entailed complex interactions with anthropogenic factors and bison population densities.
In short, winter severity (e.g., Snow-Water-Content [SWE]) and summer weather (e.g., late-season forage conditions) have strong effects on elk populations, whereas winter severity seems to be the dominant climate/weather effect on bison. With those themes in mind, it is relevant to look at projections for SWE on Yellowstone’s elk and bison winter ranges, drought (i.e., summer precipitation and temperature) effects on summer ranges, and the likely extent and nature of non-forest conditions—which, on the face of it, would be tied to the extent of favorable forage conditions for both ungulates.
As it turns out, the amount and extent of severe winter conditions, at least as indexed by SWE, are not projected to change much, if at all, on Yellowstone’s winter ranges for the next 75 years or so (Marcus et al. 2012: 126-127)—this because most nearer-term effects of winter warming will be experienced at lower elevations below the rising elevational threshold of the rain-snow transition (Klos et al. 2014). Thus, at least for the foreseeable future, there is not likely to be much mitigation of limiting effects attributable to winter severity—and, thus, no related positive population responses.
The forecast for summer drought and related decreases in forage quality is less certain for the Yellowstone ecoregion (Rice et al. 2012, Chang & Hansen 2015). But, to the extent that drought effects manifest later in the growing season, and are driven by an offset of less certain precipitation forecasts by more certain temperature ones (Marcus et al. 2012: 126-127), odds are better that incidence and severity of drought will increase rather than decrease. In fact, such a prognosis is consistent with West-wide spatially-explicit forecasts of drought (Guzler & Robbins 2011, Gai 2012), especially the incidence of severe episodes (Strzepek et al. 2010).
This weight-of-evidence prognosis needs to be considered in the balance with likely increases in non-forest conditions. As I note earlier, this increase probably
will not be of a simple nature, with the prospect of more biomass being concentrated on woody shrubs compared to forbs and grasses, to the detriment of both elk and bison.
All of this constitutes a basis for reaching some provisional conclusions regarding climate-driven prospects for elk and bison in the Yellowstone ecoregion. Carrying capacity for bison will probably not increase in the foreseeable future simply because winter severity will not likely diminish. By contrast, carrying capacity for elk will likely increase, primarily as a function of an increase in non-forest conditions, but to an extent strongly conditioned on the prevalence of growing-season drought. As a bottom line, there is no simple prognosis for elk and bison, especially given that populations of both are strongly affected by anthropogenic forces such as sport hunting (elk) and, increasingly, incidence and management of disease (elk and bison). In other words, there is no basis here for the Service’s blithe conclusion.
13.6. The Service fails to adequately account for nature, quality, and potential effects of alternate foods that may be used more heavily by Yellowstone’s grizzly bears in response to losses of currently-important foods.
All of this begs the question whether Yellowstone’s grizzly bears will find alternative foods to eat that are of sufficient quality and quantity to offset past and prospective future losses of foods that were (and are) known to be important sources of energy and nutrients: whitebark pine seeds, cutthroat trout, army cutworm moths, elk, and bison. Perhaps as important, will bears likely end up eating these alternative foods under circumstances where risk of death is elevated?
Answering these questions requires more than what the Service currently offers in the Rule, which amounts to assertions and platitudes based on invocations of “omnivory,” “resilience,” and the ill-framed opinions of bear researchers who probably know little about climate change and even less about the Yellowstone ecosystem (for more on this see my comments related to nutritional ecology, point 7).
So, what evidence is there to draw on? Perhaps the most comprehensive evidenced-based forecast of climate-driven dietary changes for Yellowstone’s grizzly bears was done by Mattson (2000). Because this is the sole example of such an effort, I quote extensively from it as follows, noting that some citations are dated simply because of this dissertation’s 2000 publication date:
“There is evidence from this study that grizzly bear foraging is temperature and moisture sensitive. The abundance and related use of ants by grizzly bears clearly seem to be dependent on ambient warmth [see also Mattson 2001] as, to a lesser extent, do growth and use of dandelions and thistles. It is likely that use of these foods by bears will increase with climate warming, assuming that moisture relations remain unchanged. However, use of many vegetal foods was sensitive to amounts of precipitation. The likelihood that bears would excavate a food declined during dry months, as did the likelihood that they would graze many of the forbs and grasses. All else equal, it is likely that grazing and root grubbing would be less common if climate warming caused drier soils during the growing season. In addition, the sensitivities of grubbing for biscuitroots and rodents to total winter precipitation suggest that use of biscuitroots would decline and use of rodents would increase if winters became drier.
Currently, it is strictly a matter of speculation whether total amounts of vegetal foods would change in bear range, aside from whether these foods would be used by bears or not as a function of proximal conditions. Compared to use of biscuitroots, use of yampa is conceivably more sensitive to widespread drying because yampa is restricted to moist sites (Mueggler & Stewart, 1980; Mattson, 1984) and is typically more difficult to extract (Mattson et. al. 1999 [2004]). It also is likely that consumption of clover by Yellowstone’s grizzly bears will be more sensitive to changes in ambient conditions than many other bear activities because use of this food is so strongly associated with dense swards on moist soils. Otherwise, use of mushrooms and *Sheperdia* may increase because bear use of these foods is strongly linked to low-elevation lodgepole pine-dominated types (LPICO and LPIEN; Table 3; [see also Mattson 1997]). These types will likely become more extensive under warmer conditions (Romme & Turner, 1991).
Fire had a number of effects on the behavior of Yellowstone’s grizzly bears that would likely ramify if climate warming induced more frequent and extensive burns. Grizzly bears were more likely to graze dandelions and early-season graminoids after the 1988 wildfires compared to before. On the other hand, the likelihood that they would excavate osmorhiza roots or whitebark pine seeds declined substantially along with the intensity of excavations for pine seeds. The former activities were more likely to occur in recent burns, while the latter were not (Blanchard & Knight, 1990; Mattson, 1997a; Table 3). All of these consequences are logically related to fire-caused increases or declines in these foods (Blanchard & Knight, 1990; Singer & Harter, 1996; Mattson, 1997a). The post-1988 decline in bear use of rodents and rodent food caches during Spring and Estrus could have been a consequence either of fire-caused pocket gopher mortality or bears choosing to graze instead. Unfortunately, there is little research on the consequences of fires to pocket gophers that might provide insight into which was a greater effect. Even so, the increase in post-fire use of rodents during Hyperphagia suggests that pocket gopher mortality was not a factor and that the explanation lies in trade-offs with opportunities to graze graminoids, year-round.”
As a bottom line, though, any invocation of ants, hornets, foliage, rodents, or roots as substitutes for foods that have been lost—and will prospectively continue to be lost—has no *prima facie* merit simply on the basis of nutritional and energetic considerations (e.g., Mattson et al. 2004). I cover this in more detail under my comments related to nutritional ecology. In other words, contrary to assertions (or innuendo) by both the Service and Gunther et al. (2014), dandelions or roots of various types quite simply will not provide compensation, especially at a population level. Likewise, remarks such as those by Fortin et al. (2012) suggesting that fungi have, and will, compensate for on-going losses of foods such as cutthroat trout and whitebark pine seeds has little merit. Fungi offer little fat (a critical nutrient for bears), and consumption of false truffles (and other mushrooms) has largely been confined to a limited portion of the ecosystem concentrated in lodgepole pine forests on the rhyolite plateaus of Yellowstone National Park (Mattson 1997, 2000; Mattson et al. 2002, 2004; Fortin et al. 2013). And, when fungi in the feces collected by Fortin et al. (2012) are corrected for the differential passage and digestibilities of various foods, the overall dietary contribution of false truffles and other fungi is trivial (Lopez-Alfaro et al. 2015).
There is a chance that high-quality foods from warmer climes could migrate to the Yellowstone ecosystem with time. The most obvious candidate is Gambel’s oak—a source of acorns and a high-quality bear food in areas where it does occur, the nearest of which is roughly 130 miles south of Yellowstone’s occupied grizzly bear habitat. In fact, several projections suggest that suitable climatic environments will emerge for Gambel’s oak in the Yellowstone ecosystem over the next 100 years (e.g., Rehfeldt et al. 2006). That still begs the question of how long it would take oaks to colonize newly opened environments over a 100 miles distant, especially given that migration rates have emerged as a major prospective consideration amongst those projecting changes in plant distributions (e.g., Pearson 2006). Perhaps more to the point of these deliberations: we can be more certain of what will happen with *in situ* foods compared to speculative foods relocating from a considerable distance.
**13.7. The bottom line when it comes to the prospective effects of climate change:**
The Services does a grotesquely inadequate job of assessing the prospective effects of climate change on Yellowstone’s grizzly bears and, to the extent that it does attend to this task, the Service’s intent seems to be out-of-hand dismissal of such effects in service of rushing to a preordained/pre-decisional conclusion. When given due regard, the net assessment is one of continued major losses of known high-quality foods, dietary shifts among surviving bears to greater reliance on lower-quality foods, and a substantial decline in unit area carrying capacity of the Yellowstone ecosystem. Moreover, grizzly bears will likely be spending more time foraging in high-risk environments, especially to the extent that they eat more foods at lower elevations nearer people—or foods such as livestock that bring them into greater conflict with people. It is certainly the case that past, on-going, and prospective future losses of whitebark pine and moth foraging sites will deprive grizzly bears of foods in some of the most remote and secure parts of the Yellowstone ecosystem. By contrast, essentially all prospective replacement foods (including Gambel’s oak, should it ever arrive) tend to occur in more hazardous lower-elevation habitats. The preponderance of evidence
clearly supports a different conclusion from that reached by the Service. Climate change has had and will continue to have devastating impacts on Yellowstone’s grizzly bears.
14. The Service’s assertion on page 13197 of the Rule that “there are no data to indicate habitat fragmentation within this population is occurring [sic]” is wrong because it contradicts the totality of best available science. There is, in fact, ample evidence of habitat fragmentation within the current distribution of Yellowstone’s grizzly bears, which renders the Service’s assertion both wrong and arbitrary.
On Page 13197 of the Rule the Service asserts that “The GYE grizzly bear population is currently a contiguous population across its range, and there are no data to indicate habitat fragmentation within this population is occurring [sic].” Realizing that fragmentation and contiguity often come in degrees rather than as absolutes, this statement by the Service flatly contradicts the best available science as well as its own representations of “secure” habitat. In other words, this assertion is unsubstantiated and wrong.
Figure 14.1. This figure presents three maps extracted from the most recent assessments of habitat fragmentation and impairment in the Yellowstone ecosystem (top), with the areas of fragmented and impaired habitat extracted and uniformly shown in red in the bottom array (e.g., Schwartz et al. [2010] invert their color scheme and show the most impaired habitat in blue and the least impaired in red). The PCA boundary is shown in yellow in the three bottom maps.
Figure 14.1, immediately above, shows the mapped results of three out of the total of six studies that have explicitly looked at contiguity and fragmentation of grizzly bear habitat in the Yellowstone ecosystem. The six include Merrill et al. (1999), Carroll et al. (2001), Merrill & Mattson (2003), Johnson et al. (2004), U.S. Forest Service (2006), and Schwartz et al. (2010). The results above are from the three latest studies, with areas of fragmentation or contiguous impaired habitat extracted and shown in red in the three images arrayed left to right at the bottom. Parenthetically, the map produced by Schwartz et al. (2010) purports to represent odds of survival for grizzly bears, with the red denoting all of the areas were modeled survival rates are well below what is considered to be sustainable. The map produced by the U.S. Forest Service is based explicitly on delineations of “secure” habitat as defined by the Service. The PCA is delineated in yellow in the three bottom images.
The results of all of these studies constitute a remarkable consensus, including the three not explicitly represented in figure 14.1. All show high degrees of fragmentation and substantial areas of impaired or otherwise deficient habitat. Within the PCA, these areas are concentrated in the west on the Targhee and Gallatin National Forests (NFs), in the far south on the Bridger-Teton NF, and in the northeast on the Shoshone and Gallatin NFs. Immediately adjacent to the PCA, there is a substantial zone of fragmented habitat separating the PCA from a sizable chunk of suitable habitat in the Wind River Range. Not coincidentally, a large fraction of conflicts between livestock and grizzly bears are currently concentrated in this fracture.
Even allowing for different and shaded definitions of fragmentation, the Service is egregiously deficient in its representation of this substantial body of convergent scientific results. The Service needs to acknowledge and adequately represent this literature, provide a functional and justified definition of “fragmentation,” and then reconcile that definition with the scientific results referenced here.
15. The Service’s assertion that “we do not expect such development [of mining claims] inside the PCA will constitute a threat to the GYE grizzly bear DPS now, or in the future” is unsubstantiated, counter to the primacy of the 1872 General Mining Law, and thus arbitrary.
The Service asserts on page 13196 of the Rule that the CS ensures that habitat security will not be compromised or “threatened” by the development of mining claims. The rule goes on to state that there are 28 mining claims with operating plans in the PCA. The Rule then asserts that federal land and minerals managers (primarily the U.S. Forest Service) will somehow allow for operation of only one new mine at a time, forestalling the operations of any others—and thus “ensuring” no net loss of habitat security. At the end of the section devoted to Mineral and Energy Development, the Service concludes “we do not expect such development [of mining claims] inside the PCA will constitute a threat to the GYE grizzly bear DPS now, or in the future.”
These claims and assertions are unsubstantiated and belie the history of mining claim development, including the impacts on grizzly bears that were anticipated and documented by regulatory agencies during previous evaluations of proposed mining operations. For one, the CS will not trump provisions of the 1872 General Mining Law. As the U.S. Forest Service states in its 2006 EIS covering Forest Plan revisions for management of Yellowstone’s grizzly bear habitat: “Projects would be permitted according to the requirements of the 1872 Mining Law” (p. 208) and “Processing of mineral operations under the 1872 General Mining Law is not discretionary” (p. 271). Barring major political intervention, any proposed mining operations will proceed. And there are currently two mining operations in the process of development in and near the PCA (the Crevice Mine and the Emigrant Mine). The New World Mine dating from the early 1990s was deemed to have major potential impacts on grizzly bears (e.g., Mattson 1995) and did not pass regulatory review only because of
Presidential intervention and a special Congressional allocation to purchase the entailed mineral claims.
In short, a long history of legal precedent, together with realities on the ground, cannot be over-turned or otherwise magically transformed simply by the Service’s unsubstantiated assertion. The Service needs to recognize the primacy of the 1982 Mining Law, the implications of this primacy, the fact that mining claims are being and will continue being developed, and that these realities will likely constitute some degree of threat to the Yellowstone grizzly bear population.
16. The definition of “secure” habitat adopted by the Service is unsubstantiated by any referenced scientific research, roughly 72-times smaller than the compilation of best available science would recommend, and thus arbitrary. This gross underestimation of the dimensions of a secure area leads to inflated estimates of total secure habitat in Yellowstone’s Bear Management Units. Moreover, the Service argues against its own definition of secure habitat in excluding certain areas from being deemed “suitable.”
The Service defines “secure habitat” on page 13194 of the Rule as “those areas with no motorized access that are at least 4 ha (10 ac) in size and more than 500 m (1,650 ft) from a motorized access route or recurring helicopter flight line…” The cited authority for this definition is the U.S. Forest Service’s 2006 EIS for revision of Forest Plans in the Greater Yellowstone Ecosystem. Yet this document contains no justification for the adopted definition of secure habitat other than a reiteration of the dimensions given in the Rule. As a result, the Service does not provide nor reference any justification grounded in the best available science for this key facet of current and prospective habitat management under terms of the CS. Moreover, the asserted definition of secure habitat is ill-conceived and substantially at odds with the best available science, and thus amounts to an arbitrary determination.
By contrast, a compilation of the best available science by Mattson (1993), referenced to a thoroughly articulated justification, recommends that “microscale” security areas contain a core roughly 290 ha (716 ac) in size, roughly 2-4 km from the nearest road or other human facility. The resulting area, including core and buffer, would be 28.3 km$^2$ (c. 7000 ac) in size. The recommended core would be roughly 72-times larger than the 4 ha used by the Service and roughly 4-8 times farther from the nearest significant human facility. The secure core recommended by Mattson (1993) corresponds to the size of 24-48 hr foraging areas documented for Yellowstone’s grizzly bears, whereas the buffering distance from human facilities attends to not only to the extent of characteristic habitat alienation, but also the characteristic zone within which human-caused mortality has been documented to concentrate. There has been essentially no science since 1993 that would support a change in the recommendations made by Mattson (1993).
Perhaps as important, the standards developed by Mattson (1993) have been codified through litigation and through a US Fish & Wildlife Service Biological Opinion on the 1997 Revised Forest Plan for the Targhee National Forest. The Service fails to address this discrepancy between its past and present deliberations.
Interestingly, the Service tacitly refutes its own definition of secure habitat in its argument on page 13185 of the Rule for excluding fragments of habitat adjoining sheep allotments in the Wind River Range from “suitable” habitat. The Service’s argument rests on an ill-defined invocation of “edge effects”; i.e., that edges of an unspecified dimension are somehow unsecure enough to warrant exclusion from “suitable” habitat. Without being privy to the exact dimensions of these “edges,” they are almost certainly larger, each, than the 4 ha (plus 500 m buffer) threshold that the Service argues elsewhere is sufficient to ensure “security.” The Service thus presents us with a prospective logical contradiction that needs to be reconciled.
In short, given the importance of habitat security to grizzly bear conservation, the Service needs to provide a readily-accessible and coherent justification for its
definition that is grounded in the best available science rather than bald assertion. If such a justification is not forthcoming, the Service needs to revise its standard for secure habitat to reflect the best available science and then uniformly apply that definition in its delineations and deliberations.
17. The Service disregards and misrepresents the best available scientific information in its dismissal of natural predation as a threat to Yellowstone’s grizzly bears on page 13205 of the Rule.
The Service claims that natural predation of grizzly bears is rare and then recites the number of bears known to have been killed by other bears (28 between 1986-2012, roughly 1 per year) and by wolves (a total of 8 during an unspecified period of time) in the Yellowstone ecosystem as a basis for then concluding “…this source of mortality does not constitute a threat to the GYE grizzly bear DPS now, or in the future.” These statements constitute a selective and distorted representation of the best available science which would, in fact, support a different conclusion.
Most of the grizzly bears that die because of natural predation are cubs and yearlings (for substantiation, see the Service’s own referenced literature). Most of these deaths are not documented because of the very nature of natural predation, which is very opaque to researchers. In the large majority of cases, young bears are noted to have disappeared between one sighting of the mother and the next, without any clue as to the cause. Only rarely do investigators get on the ground in a timely enough way to “document” the natural cause of death, which is almost invariably predation—rarely senescence or a natural accident. Nonetheless, a large number of cubs and yearlings disappear, almost all likely because of predation.
When all potential natural deaths are considered—again, most likely attributable to predation—a different picture emerges compared to the one painted by the Service. Drawing on IGBST data, the median number of bears that likely or almost certainly died from predation is actually nearer 3 per year rather than 1 per year for the period 1986-2015. Perhaps of more relevance to the Rule, these numbers have increased substantially over time, as shown by figure 17.1. Whereas the per annum median was 1 between 1986 and 1996, the median since 2010 has been 6. Throughout the period 1986-2015, 66% were
In fact, this jump in known and probable deaths, likely attributable to predation, coincides almost exactly with the dramatic decline in cub and yearling survival rates documented by Van Manen et al. (2015), which they also attribute to bear predation (but under the rubric of “density-dependence,” a causal claim that is unsubstantiated for reasons that I articulate elsewhere). Regardless of the cause, Van Manen et al. (2015)
attribute the stalling of population growth beginning in the early 2000s in large part to this jump in deaths of young bears. In other words, this increase in deaths has had non-trivial effects on population trajectory.
As a bottom line, weight of evidence supports concluding that natural predation on especially cubs and yearlings has increased at the same time that survival rates of these younger bears has substantially declined, all with demonstrable effects on population growth rate. As such, weight of evidence would support concluding that natural predation does, in fact, pose a “threat” to the population, especially given that weight of evidence further supports concluding that increases in natural predation are due primarily to a deteriorating environment—shifts in diet driven by losses of key foods such as whitebark pine seeds.
18. The claim by the Service on page 13207 of the Rule that “Because human-caused mortality has been reduced...this source of mortality does not constitute a threat to the GYE grizzly bear DPS now, or in the future” is a completely arbitrary unempirical assertion.
The Service deploys a number of bald assertions together with varying degrees of tortured logic on page 13206 and 13207 of the Rule in an effort to dismiss the threat posed by human-caused mortality to Yellowstone’s grizzly bear population as a basis for then concluding that “‘Because human-caused mortality has been reduced...this source of mortality does not constitute a threat to the GYE grizzly bear DPS now, or in the future.’” This conclusion and its supporting arguments are not only unsubstantiated by any empirical evidence, but also contradict the best available scientific information.
My claim is illustrated by a simple graph and derivative calculation using publicly-available scientific information obtained from the IGBST and the Service. Figure 18.1 shows the number of human-caused grizzly bear deaths in the Yellowstone ecosystem (i.e., the PCA, DMA, and proposed DPS) for each year, 1986-2015. The gray dots represent tallies for each year and the red line a 3-year running average of the same to emphasize trend. The result is unambiguous and in stark contrast to claims made by the Service in the Rule.
Total human-caused mortality has risen steadily since roughly 1994, and risen dramatically since 2007. More succinctly, human-caused mortality rose by 8.9% per year 1986-2015 and, even more remarkably, by 7.0% per year 2002-2015. This most recent period is especially relevant because the Service states in multiple places that “the population stabilized” during this approximate 15-year period. In other words, at the same time that the Service claims that the population did not increase, human-caused mortality was increasing by 7% per annum. If true, then human-caused mortality rates axiomatically substantially increased between 2002 and the present.
Parenthetically, if mortality rates were increasing during this 15-year period, one would expect the beginnings of a population decline. Elsewhere I present evidence that such a decline is, in fact, evident. But my point here takes the Service’s assertions regarding population growth and the data pertaining to human-caused mortality at face value. The inescapable conclusion is that all of the
management actions referenced by the Service on pages 13206 and 13207 of the Rule at best kept increases in human-caused mortality from being worse than they already were, but not enough to prevent the major observed increases.
As a bottom line, the only defensible conclusion to be drawn from the best available scientific information is that past (and prospective future) management actions were not sufficient to curb increases in human-caused mortality and, for that reason, human-caused mortality constitutes a threat to the GYE grizzly bear DPS now and in the future.
19. The Service employs methods for monitoring population trend and mortality rates that are unreliable, optimistically biased, insensitive to unfolding conditions, and prone to producing nonsensical results. These methods do not provide dependable information regarding status and trend of Yellowstone’s grizzly bear population now or when prospectively applied after proposed removal of ESA protections. Moreover, the Service’s methods are likely to allow for over-killing.
19.1. The Chao2 method adopted by the Service for monitoring population trend does not represent the best available science and is, moreover, beset by biases that have introduced systematically inflated and overly-optimistic estimates of trend for the Yellowstone grizzly bear population.
The Service repeatedly asserts throughout the Rule, CS, and Recovery Plan Appendix that the so-called Chao2 method is “the best available science” for estimating population size and, from that, population trend. These assertions are unsubstantiated and contradicted by what is, in fact, the best available science. Even more mystifying and problematic, the Service fails to acknowledge ample of evidence of bias affecting the Chao2 method, which results in systematically inflated estimates of trend for the Yellowstone grizzly bear population.
Doak and Cutler (2014a, 2014b) present a compelling critique of the Service’s approach to estimating population trend based on counts of females with COY, adjusted by the Chao2 method. Doak and Cutler show that essentially all of the positive population trend presumably exhibited by Yellowstone’s grizzly bear population between the early 1990s and the present is likely to have been an artifact of biases introduced by increased search effort and increased intrinsic sightability of bears. Van Manen et al. (2014) attempted to refute Doak and Cutler’s original critique, but were refuted, in turn, by Doak and Cutler’s more recently published paper (2014b), which constitutes the last word insofar as the best available science is concerned. Interestingly, the IGBST itself admits to the very bias identified by Doak and Culter in Table 2.1 of the Workshop Report (IGBST 2012) that the Service invokes throughout the Rule.
The figures below are illustrative of the major problems besetting the Service’s Chao2 method. For one, the Chao2 calculation introduces an implausibly small adjustment to presumably account for unseen undocumented females with COY—on average, only an additional 6, or 19% more, per year. In other words, the Service is essentially claiming that roughly 81% of all females with COY are seen and documented, which is prima facie, unlikely. Similarly, as figure 19.1.1 illustrates, adjusted and underlying counts are 0.92 correlated, which means, not only that underlying counts of females with COY explain 84% of the total variation in resulting
estimates of the cohort total, but also that the Chao2-adjustment introduces essentially no additional information. As a bottom line, it is highly unlikely that the Chao2-adjustment corrects for much of anything, meaning that the resulting estimates of total population size are driven almost entirely by counts of females with COY alone. Importantly, these underlying counts are based on all sightings from all sources, without accounting for any factors that might influence such sightings.
Figure 19.1.1. The relationship between annual numbers of unduplicated females with COY (x-axis) and the total number of females with COY after adjustments introduced by the Chao2 estimator (y-axis). Each gray dot represents one year’s data; the dashed line represents a perfect 1:1 relationship.
Figure 19.1.2., to the right, illustrates perhaps the central problem with the Chao2/females with COY method. The top graphic in this figure shows long-term trends in numbers of females with COY (dark gray dots) along with the minor adjustments introduced by the Chao2 calculation (the light gray line above). This trend is the primary (but not sole; see my comments below) basis for the Service’s claims regarding increases in Yellowstone’s grizzly bear population. Then notice the trend lines in the graphic at bottom. The burgundy dots show the numbers of hours flown by researchers and managers in efforts explicitly designed to sight females with COY, which matters because roughly 66% of all sightings of females with COY are made from the air. The yellowish-green dots show the number of sites known to be used by bears feeding on army cutworm moths, which matters because, unlike any other feeding activity, essentially all of the bears engaged in this activity are seen by aerial observers (O’Brien & Lindzey 1998). In other words, levels of feeding on moth sites are indicative of intrinsic sightability of the bears being sought out by researchers and managers.
Figure 19.1.2. The top graphic shows annual counts of females with COY (gray dots) and presumed adjustments by the Chao2 method to account for unseen undocumented females. The bottom graphic shows aerial search effort by managers and researchers as part of observation flights (burgundy dots) and number of moth sites used by grizzly bears (yellow-green dots).
The parallels are striking. Presumed trends in counts of females with COY almost perfectly mirror search effort and moth site use, the latter (as I point out immediately above) an indicator of overall sightability. Figure 19.1.3 puts this in more literal terms by relating annual counts of females with COY to aerial effort (top) and number of exploited moth sites (bottom). The take-away here is that, depending on which relationship you want to consider, search effort could explain 70% and moth site use 80% of the total variation in annual counts of females with COY—which leaves little residual variation to reflect much of anything happening with underlying true population trend. These relationships simply reiterate in graphic form the main critique of the Chao2 method made by Doak and Cutler (2014a, 2014b).
Unfortunately, Chao2 estimates and underlying counts of females with COY have continued to be contaminated with bias during the last 20 years from increases in search effort and sightability—despite claims by the Service and IGBST that search effort has more-or-less stabilized. Illustrative of my point, figure 19.1.4. shows trends in aerial search effort, moth site use, counts of females with COY, and Chao2 adjustments for this period.
Parenthetically, the IGBST has argued that aerial search effort increased simply as a function of the increased distribution of Yellowstone’s grizzly bear population. As it turns out, even when standardized to distribution of the population at any given point in time, aerial search effort per unit area doubled between the mid-1990s and late 2000s.
In short, if you have a compelling argument showing that most variation in annual estimates produced by the Chao2 method is an artifact of bias—as I have demonstrated here—any assertion that the method produces reliable and useful indicators of trend is essentially arbitrary, if not capricious—as with the Service’s assertions that this method is reliable and “the best available science.”
Having made this point, deficiencies in the Chao2-based approach could be partly remedied by having the Service insure that search effort and search distribution remain constant in the future, while at the same time relinquishing any claims to being able to estimate past trend in population size using this method (see my comments 20.4 and 20.5).
19.2. The so-called “model-averaged” approach adopted by the Service to produce estimates of population size and, from that, estimates of population trend, is insensitive to unfolding problematic conditions. Estimates of trend from this approach are also vulnerable to manipulation depending on the time period adopted for model specification.
Even taking the egregiously deficient Chao2 method at face value, the so-called “model-averaged” approach adopted by the Service contributes to an overall method that is remarkably insensitive to rapidly unfolding conditions in the Yellowstone ecosystem. This matters because, as I document extensively in my comments, environmental conditions are, at best, rapidly changing and, much more likely, substantially deteriorating.
The model-averaged approach basically fits a regression model to Chao2-adjusted annual estimates of total females with COY, and then uses the intercept and slope from the model to, in turn, estimate the current year’s total. This approach presumably “smooths” short-term trends. Moreover, the regression model is fitted to data going back to 1983, presumably to produce a “reliable” estimate of trend with narrower confidence intervals, this as a consequence of employing a larger $n$.
The logic behind this approach is inane. The Service is basically substituting statistical precision for ecological relevance by inflating sample size through inclusion of annual data that have long since become irrelevant to judging status of the population. Why include annual counts of females with COY from 1983-1995, or even from 1995-2000, given the dramatic changes that have occurred and continue to occur in the Yellowstone ecosystem since the mid-1990s and early 2000s (see my comments elsewhere)? This conflation of precision with ecological importance is an error that most textbooks on biostatistics warn against—but apparently to no avail with the Service. More specifically, for the regression methods employed by the Service (and IGBST) to be valid, the distributional relationship of females with COY to time is assumed to be “stationary”—in essence meaning that underlying system dynamics are not changing. This assumption clearly does not hold here.
Moreover, results of the “model-averaged” approach depend substantially on the time period being modeled—not only in generating an estimate of trend, but also in producing an estimate of population size (as a function of the $\beta$ coefficient indicating trend). This matters because, the farther back you go in time with Yellowstone’s grizzly bear data, the more optimistically you bias your results. So the Service (or whomever) can more-or-less arbitrarily generate different results by basing estimates on different periods of time.
Figure 19.2.1 illustrates this problem. I show annual Chao2-adjusted estimates of females with COY as gray dots in the background. I also show trend lines fit by regression to natural-log transformed values, with each line corresponding to results using different relevant periods of time: 1983-2015 (the Service’s default); 1995-2015 (when we began to see major declines in trout and elk as per my comments elsewhere); 2000-2015 (when we first started to see major beetle-caused whitebark pine mortality); and 2007-2015 (when we saw the terminal decline in availability of whitebark pine seeds, also as per my earlier comments). The numbers above each line are the trends estimated for each period, represented as annual percent change. The point is pretty basic: population trend declines as you
progressively truncate the included years, which, in turn, yields a lower estimate of current total population size.
Finally, the Service’s use of a model-averaged approach is flawed because it makes a further nonsensical assumption: that there is some theoretically-justified intrinsic relationship between counts of females with COY and time that can be specified mathematically and statistically in terms of an underlying model. A relationship between numbers and density? Perhaps. A relationship between numbers and food abundance? Yes. But not a relationship between numbers and the mere passage of time.
Even if one were to buy off on this unsupported assumption, one then needs to justify the form of the model adopted for estimating trend as a basis, in turn, for estimating total numbers of females with COY. Linear? Quadratic? Cubic? Asymptotic? Logistic? A different choice will yield a different model-based estimate of current population size. And yet the Service employs linear and quadratic models, without statistical or theoretical justification. In short, this aspect of the method, like choice of time frame, entails arbitrary and capricious decisions on the part of the Service.
The Service needs to abandon its “model-based average” approach given the insensitivity of this method to rapidly changing environmental conditions in Yellowstone and because it does not constitute the best available science. An approach based on a running average of annual growth rate over a sensible number of preceding years—say six—would probably service the purpose instead.
19.3. The mortality rates presented by the Service in Tables 1 and 3 of the Rule as benchmarks for managing mortality are liberal and thereby allow for over-killing of grizzly bears relative to objectives keyed to different population sizes.
The basis for this concern arises from the recent critique of IGBST estimates of population trend by Doak & Cutler (2014a, 2014b). They showed that there was good reason to think that population growth rate had been over-estimated by the IGBST using both the Chao2-based method and more complex calculations using death and birth rates estimated from known fates of radio-marked grizzly bears. More specifically, Doak & Cutler found that Schwartz et al. (2006) and IGBST estimations thereafter had not accounted for senescence in both birth and death rates of female grizzly bears, and that when accounted for, female survival rates and population growth rate (as estimated by Harris et al. 2006) dropped significantly.
Van Manen et al. (2014) claimed to have rebutted the original Doak & Culer (2014a) analysis. Aptly enough, the response of Doak & Cutler (2014b) to this presumed rebuttal was entitled “Doth Protest too Much.” More specifically, Doak & Cutler found that the Van Manen et al. response was larger confirmatory of their original critiques. To quote Doak & Cutler: “[the Van Manen et al.] results show that incorporating senescence sharply reduces previously estimated population growth from 1983 to 2001”; and “[the Van Manen et al.] study shows that there is so much uncertainty in population estimates that inferences about population trends are extremely weak.” In other words, the collective results presented, not only by Doak & Cutler (2014a, 2014b), but also by Van Manen et al. (2014) show that population growth rate from 1983-2001 was over-estimated by the IGBST, and that all of the methods used by the IGBST for monitoring the Yellowstone grizzly bear population provide an “extremely weak” basis for inference.
Insofar as the Rule is concerned, the best available science shows that the mortality benchmarks in Tables 1 and 3 are too liberal by virtue of being linked to inflated estimates of population growth—which means that purported management objectives will not be achieved by employing these rates. More specifically, a 7.6% and 15% mortality rate for females and males, respectively, will not maintain a stable population, but rather yield unintended declines. And given all of the other problems with methods for monitoring and responding to mortality rates that I describe in my comments 19 and 20, there is a good chance that such declines will not be detected nor addressed in a timely manner, and certainly not in a way that would allow a meaningful response to prospective lags between environmental degradation and demographic responses (my point 5).
Given these considerations, the Service needs to: (1) acknowledge rather than glibly dismiss the unreliability
of all its current indicators of mortality and population growth rates; (2) revise all of the benchmark mortality rates in Tables 1 and 3 downward by several percentage points to acknowledge and account for the liberal bias of the rates they currently use—for example, from 7.6% down to 5.6% for females at a population size of ≤674; and (3) put its move to delist Yellowstone’s grizzly bear population on hold until it has a better basis for managing mortality.
19.4. The Service employs a method for indexing annual mortality rates that has no known or unbiased relationship to the mortality standards/thresholds presented in Tables 1 and 3 of the Rule. As a result, allowable levels of mortality calculated using the Service’s proposed methods for post-delisting management entail a non-trivial risk of over-killing Yellowstone’s grizzly bears, and thereby pose a threat.
The mortality rates codified in tables 1 and 3 of the Rule are presented by the Service as if they were reliable guidelines for managing grizzly bear mortality to achieve either population stability, increase, or even declines. The rates associated with maintaining a stable population (for example, 7.6% per annum for independent-aged females) are assumed to be sufficient for the purpose because they are associated with presumed population increases. But there are major problems with this approach sufficient to nullify it as a reliable guide for management.
The Service proposes to manage grizzly bear mortality so as to achieve various population goals by comparing the ratio for a given year of estimated total dead to total live bears against a benchmark rate calculated from the known fates of radio-marked bears. In other words, an estimated total number of dead bears ($D$) is divided by an estimated total population size ($N$) for a given year to yield a purported estimate of death rate (i.e., a ratio of dead to live bears)—this for each of the monitored sex-age classes of grizzly bears. Total dead bears are estimated using methods described in Cherry et al. (2002) and total live bears using the Chao2-based estimation of total reproductive females, coupled with multipliers to account for dependent young, pre-reproductive females, and independent males. This purported rate is then compared against a benchmark rate billed as being selected so as to achieve the management purposes attached to a given population size: e.g., ≤675, 675-747, or >747.
The benchmark rate was calculated as (essentially) the probability that a given radio-marked bear would have died during a given year at a given age—in other words, based on known fates of bears that had been captured and ratio-tracked. Any given rate based on known fates is related to a prospective population objective (growth, stasis, or reduction) based on simulations of population growth using a range of birth and death rates. In other words, if the population was estimated to be growing or stable, then the death rates computed from fates of radio-marked bears are estimated to be those compatible with any future population growth or stasis.
One key assumption in the management approach described in the Rule and MOA is that there is equivalence between population growth rate and death rates. This assumption is tenuous at best because it does not deal with variation in birth rates: population growth is, axiomatically, the difference between birth and death rates. In other words, one half of the equation is left out of any explicit consideration. The only presumed corrective is allowances made in both the Rule and MOA for a reevaluation of demographic rates by the IGBST should the grizzly bear population be declining for reasons that don’t comport with applied death rate guidelines. And this is to happen only if prescribed death rates are exceeded 3 years in a row (for problems with that provision see my comments under 20.3).
But the other important assumption is that the calculation used to estimate annual death rates ($\hat{D} / \hat{N}$) correlates perfectly with the benchmarks estimated from known fates of radio-marked bears—and with a 1:1 slope. As it turns out, the exact relationship between the benchmarks and the index being used to monitor death rates is unknown. Certainly—emphatically—there is no equivalence between the methods underlying each. Put another way, even if we calculate a putative death rate
of 7.6% for adult females in the population during a given year, we don’t know whether that 7.6% is either “real” or unambiguously equivalent to the rate being proffered as a standard and a guideline.
This is a case where apples are being compared to oranges and where, moreover, the Service is either not identifying this discrepancy or even cognizant of it in the first place. But, again, as with lack of attention to birth rates, the presumed corrective will be some sort of management review if and when a mysterious population decline were to occur—but then almost certainly much delayed because of the current provision for review only if mortality standards are violated three years in a row (and, again, see my point below).
What makes this situation all the more risk-ridden is the fact that the methods by which total deaths and total live bears are calculated are prone to substantial bias (\(\hat{D}\) and \(\hat{N}\) are merely biased estimators)—of a nature that can both amplify or dampen bias in a relationship with benchmarks that is already unknown. Hence, the nature and magnitude of change in bias from one year to the next is, and will continue to be, unknown, with the distinct possibility of unintentionally over-killing bears.
More specifically, as the IGBST (2012) notes in table 2.1 of a recent review of population monitoring, the method for estimating total mortality is “Slightly Low (slightly more deaths may have occurred than estimated because heterogeneity in data greater than accounted for in estimator; effect would lead to underestimating total mortality)” (see my comment immediately below). And, if “Low” is approximately of the same magnitude as “Low” (in the same report) for the Chao2 estimator, then there are major problems. Likewise, the Chao2-based estimator of total population size is likely to vary with search effort (as I document in my point 19.1). In other words, if there is little effort invested by managers in finding bears, then estimates of population size will probably be increasingly biased low, in ways that could partially offset or mitigate for underestimates of total mortality. But—importantly—the Service doesn’t know exactly how these biases interplay. And search effort to document females with COY has increased dramatically, so the bias towards a low estimate of population size is lessening at the same time that our estimates of total mortality are varying in unknown ways relative to biases introduced by “heterogeneity” (Cherry et al. 2002, USGS 2012). In other words, bias is varying all over the place in unknown and undocumented ways, with potentially major effects on a metric central to monitoring the Yellowstone grizzly bear population, now, and in the future.
Finally, estimates of total population size are substantially affected by the multipliers used to account for dependent young, pre-reproductive independent females, and independent males, all with the potential for introducing yet more bias. As I point out below (my point 19.4), the multiplier used to account for independent males was increased substantially during and after 2012, according to the IGBST because death rates for independent males had decreased—substantially. Yet, as I point out below (point 19.4), survival rates of independent males very likely did not increase, but rather decreased—the opposite. Which is to say that a bogus multiplier was applied resulting in an artificial inflation of total population size by around 100 bears, with this biased estimate of total population size then used as the denominator for indexing death rate—with predictably yields a lower “rate.” And this on top of the systematic inflation of total population estimates introduced by continuing increases in search effort and sightability of bears (see my point 19.1).
As a bottom line, the method being billed by the Service as insurance against over-“harvest” of grizzly bears is beset by a substantial amount of uncorrectable bias that introduces non-trivial risk of over-killing bears. This arises from multiple causes, including (1) using a method for estimating death rates that has no known relationship to the standards being used to guide management (the apples and oranges problem); (2) substantial biases affecting methods for estimating both total numbers of annual deaths (the death rate numerator) and females with COY during a given year (the root of the death rate denominator); and (3) bias and outright error affecting multipliers used to derive estimates of total population size. The chain of potentially compounding errors debars any confidence in the Service’s method for monitoring grizzly bear death rates.
If there is a corrective, it entails, at a minimum: (1) standardizing search effort for females with COY (as per my points 19.1 & 20.5); (2) further developing the
method for estimating total numbers of deaths so as to account for biasing “heterogeneity”; (3) rigorously account for variation in birth rates as part of an on-going (versus discretionary and episodic) analytic process; and (4) employing a precautionary (rather than incautious)
19.5. The Service produces inflated estimates of population size and trend that are largely an artifact of implausibly high estimates of survival rates for male and female bears 2+ years old. Moreover, these survival rates are also insensitive to rapidly changing conditions. Together, these shortcomings constitute a methodological threat to the Yellowstone grizzly bear population.
As I preview in my comments above under point 19.3., the Service uses estimates of death rates derived from fates of radio-marked bears at several critical junctures in its proposed and current methods for monitoring and managing mortality of Yellowstone’s grizzly bears. For one, these rates are the basis for the seminal benchmarks presented in Tables 1 and 3 of the Rule for achieving either population increase, stasis, or decline—depending on estimated population size. The mortality rates are also directly used to determine the proportions of different sex-age classes in the population, in turn, the basis for multipliers used to arrive at total population estimates. The estimated proportions of independent males, pre-reproductive independent females, and dependent offspring are essentially inverted and each used to multiply annual Chao2-based estimates of total reproductive females.
These multipliers obviously can have major effects on total population estimates. For example, beginning in 2012 the IGBST began using a larger multiplier to account for number of independent males, this because they claimed that the most recent estimate of death rates for males, using data from 2002-2011, had decreased. Hence there were presumably more males in the population than had been thought. In fact, the difference between population estimates using the old and new multipliers averaged 107 for 2012-2014, which amounted to an instantaneous 17% increase in total population size. Axiomatically, this substantial increase in the denominator for calculating the index of mortality rate translated into decrease in this rate—by roughly 15%. In other words, depending on the multipliers, you can be either substantially over or under a given mortality rate threshold such as those presented in Tables 1 and 3 of the Rule.
For these reasons the estimates of death rates derived from fates of radio-marked bears need to be unimpeachable. But there are two major problems with these rates, one of which is chronic, and the other particularly evident during the last 15 years.
The chronic problem has to do with the inherent extent to which death (and birth) rates calculated from fates of radio-marked bears are insensitive to rapidly changing conditions. This arises from the fact that reliable estimates depend on large sample sizes, and the only way one can come up with a large sample size is to include data that span a number of years—a decade or so. In other words, these death rates (or, inversely, survival rates) are slaved to the past and, in an environment such as Yellowstone’s, 10 years can rapidly become irrelevant to the present and near future. In fact, this problem holds for all estimates obtained from fates of radio-marked bears, including birth rates. As a result, episodic future reviews of demography by the IGBST, through the lens of data from ratio-marked bears, will stand little chance of offering critical insights needed to remedy deteriorating population-level conditions—contrary to assertions in both the Rule and the MOA.
But the more important problem is the extent to which death rates derived from fates of radio-marked bears are not only discrepant from, but also fundamentally at odds with, straight-forward and unambiguous trends in numbers of grizzly bears dying in the Yellowstone ecosystem.
Figure 19.4.1 illustrates this problem. The red lines show three-year running averages for numbers of known-probably deaths of female (top) and male (bottom)grizzly bears >2 years old. The black dashed line towards the top
of each graph shows what is probably our most reliable annual estimates of total population size derived from the Mark-Resight method (a less biased although less precise estimator compared to Chao2). I show the two trends in juxtapose for good reason given that death rate (as above) is essentially the number of bears dying as a fraction of the number of bears alive. In other words, if the number of live bears is static or declining at the same time numbers of dead bears are increasing dramatically, then death rates must be increasing. And, in fact, numbers of male and female deaths were increasing at an astounding rate of 9-10% per annum for the period 2002-2011, at the same time that total population size was essentially static. In other words, death rate must have been increasing dramatically during this period of time for both sexes.
Yet, as I noted above, the IGBST claims (in its 2012-2014 Annual Reports), not only that death rates of male bears were decreasing during 2002-2011, but also that death rates of female bears remained unchanged. It is as if the data I present in figure 19.4.1 and the data the IGBST used to calculate revised death rates were drawn from two different universes. Which are to be believed? I would argue that the data I present here (all from IGBST databases and Annual Reports) are straight-forward and virtually impossible to refute, whereas the death rates estimated by the IGBST from fates of radio-collared bears derive from assumption-ridden, complex, and refutable models. There is good reason to believe the unambiguous trend data.
**Figure 19.4.1. Trends in annual numbers of known-probable grizzly bear deaths for females (top) and males (bottom) juxtaposed with trends in annual estimates of total population size using the Higgs et al. (2013) Mark-Resight method. The red lines are 3-yr running averages of deaths and the light gray lines behind the annual numbers. Total population size is shown by the dashed black line. I’ve also included trends lines and associated estimates for deaths, 2002-2011.**
In short, the death rates that the Service draws on so heavily in the Rule and that the states employ so centrally in the MOA stand impeached. At the very least the Service needs to adequately explain the contradictions that I high-light here. Moreover, the Service’s frequent assertions that current mortality rates do not threaten Yellowstone’s grizzly bear population are unsubstantiated and, in fact, contradicted by the best available science.
**19.6.** The method adopted by the Service for estimating total numbers of grizzly bear mortalities during a given year tends to under-estimate this total and is insensitive to unfolding trends that have likely increased rather than decreased the magnitude of this under-estimation.
The Service repeatedly invokes the method developed by Cherry et al. (2002) as its basis for estimating total number of grizzly bear deaths, a value which is then used in the numerator of the calculation used to annually index death rates in the Yellowstone ecosystem. This rate index is compared to the benchmarks in Tables 1 and 3 of the Rule to determine whether numbers of deaths were compatible with different management objectives. I describe other problems with the Service’s overall method for monitoring and managing mortality under
other points but focus here on problems with its adopted method for estimating total numbers of dead bears.
There are two basic and relatively well-recognized problems with the Cherry et al. (2002) method. First is a tendency to under-estimate total mortality. Second is a related vulnerability to systematic bias interjected over time as a result of changes in cause of death as well as capture and radio-collaring efforts.
The risk-inflating tendency of this method to underestimate mortality is noted in Table 2.1 of the seminal 2012 IGBST Workshop Report: “Slightly Low (slightly more deaths may have occurred than estimated because heterogeneity in data greater than accounted for in estimator; effect would lead to underestimating total mortality).” This is a chronic problem that is exacerbated or mitigated by changes in bias affecting estimates of total population size—which is the denominator in calculations of annual indices of death rate.
But there is a second problem, prominently noted by Cherry et al. (2002): “The assumption of a constant reporting rate for radio-collared bears over time was important in our specification of the prior and in application of the method to the count data. This assumption could be violated if, for example, the probability of a death being reported depended on the cause of death and these causes changed over time. Mattson (1998) argued that this has in fact occurred…there is some evidence that reporting rates have declined in recent years.” In other words, if causes of death are trending towards those that are less likely to be reported, then the Cherry et al. (2002) method will be prey to an ever-increasing under-estimation of total deaths.
Moreover, estimates of total deaths will be further biased by level of effort to capture and radio-collar grizzly bears in the Yellowstone ecosystem. This bias arises from the fact that deaths of radio-collared bears are not subject to the multiplier introduced by Cherry et al. (2002) to presumably account for unreported-unknown mortalities. In other words, if ever more effort is being exerted to capture bears, resulting in ever-more radio-marked bears, you are likely to end up with a larger number of deaths each year attributable to marked bears and thus not subject to any adjustment to account for unknown mortalities—this simply as a function of effort on the part of researchers and managers and without any intrinsic relationship to numbers of bears dying.
Figure 19.5.1. shows that grizzly bear captures have in fact increased at a far more rapid rate than any probable change in total population size, which is consistent with capture effort alone magnifying the extent to which total grizzly bear mortality is being under-estimated. As shown by the yellowish-green dots, numbers of bears captured and then monitored have increased at 5% per annum since 2002, at the same time that estimates of total population size based on the Mark-Resight method have essentially not changed (the gray dots). Ergo, a larger fraction of the population is being marked, predictably yielding a larger number of dead bears that were radio-collared—which is, in fact, the case, at a rate of roughly 4% per year since 2002.
In short, the Service fails to acknowledge the several problematic biases affecting its promoted method for estimating total numbers of dead bears in the Yellowstone grizzly bear population. On top of this, the Service fails to acknowledge that these biases amplify risk and, perhaps more importantly, that these biases have probably increased over time resulting in an ever more pronounced under-estimation of total mortality. As a result, death rate is probably being increasingly underestimated, leading to increased errors by managers regarding the sustainability of current levels of mortality.
The Service needs to acknowledge these biases affecting estimation of total grizzly bear deaths and the risks that they bring. Related, the Service needs to surrender any of its claims regarding past trends in mortality rates and focus, instead, on efforts to improve methods so as to reduce bias. At a minimum these include upgrading the current Cherry et al. (2002) method to account for changes in cause of death for unmarked bears, and standardizing capture efforts so as to not introduce bias arising simply from increased exertions on the part of managers and researchers.
20. The Rule and the accompanying Memorandum of Agreement (MOA) developed by the states for managing Yellowstone’s grizzly bears post-delisting are inadequate in provisions for calculating and managing total allowable mortality. Moreover, both the MOA and the Rule are deficient in terminology and provisions for managing grizzly bear distribution.
20.1. The methods described in the Rule to account for ‘background’ mortality are not only discrepant with methods described in the MOA, but also fail to account for unknown-unreported grizzly bear deaths, thus constituting a major methodological threat to the Yellowstone grizzly bear population.
On page 13203 of the Rule the Service walks the reader through an example of how ‘discretionary’ mortality will be calculated—of which presumably all could be provisionally allocated by the states at the beginning of a given year for sport hunting. The example calculations purport to account for ‘background’ mortality, which is defined in the previous paragraph as including various causes, including “unknown/unreported calculations.” Yet the example given by the Service, fails, in fact to account for “unknown/unreported” mortalities, leading to an inflated estimate of the number of bears candidate for ‘discretionary’ mortality. This is a major error given that discretionary mortality for independent females and males ends up being over-estimated by approximately 75% and 200%, respectively. In other words, this is a non-trivial even fatal mistake on the part of the Service.
The Service needs to account for unknown-unreported mortalities in its calculations. Given the current IGBST method used to estimate unknown-unreported deaths, this foreseeable cause needs to be subtracted before other foreseeable ‘non-discretionary’ deaths are deducted. Given that the unknown-unreported fraction during 2010-2014 has averaged 39% of the total known-probable deaths for independent females and 37% of the same for independent males, these fractions need to be the first to be subtracted from the initial calculation of allowable mortality. After that, other ‘non-discretionary’ causes can be deducted.
The other major missing piece in the Service’s proposed method for estimating and allocating ‘discretionary’ mortality is its lack of provision for the National Park Service. This is especially glaring in the MOA, which presumably further codifies methods described in the Rule. In other words, all of the ‘discretionary’ mortality is assumed to go to jurisdictions managed by the states of Wyoming, Montana, and Idaho, and none to National Park Service-managed lands. Recent history would suggest that this NPS fraction is roughly 10% of the ‘discretionary’ total. In other words, explicit provision needs to be made for this foreseeable mortality occurring on NPS jurisdictions, with corresponding
deductions from the states’ share of ‘discretionary’ up for grabs as a prospective sport hunt.
By way of clarification, figure 20.1.1, illustrates the nature of the stepdown that needs to occur in the Service’s calculations; first accounting for unknown-unreported, then other ‘non-discretionary’, then the NPS share—this for a population of roughly 717. The percentages I use are approximations. Exact percentages (or at least transparent methods for calculating exact percentages) for each stepdown need to be calculated and presented by the Service.
Finally, the methods described in the MOA for calculating ‘discretionary’ mortality are considerably discrepant from those described in the Rule. This discrepancy needs to be corrected, along with other corrections that I have outlined here.
20.2. A guideline for total mortality rate, with the intent of producing population growth, is needed in both the Rule and the MOA for an estimated population size of ≤600 bears.
The rationale for this recommendation is pretty straightforward. Managers should set a goal, expressed in terms of total mortality rates, that will likely produce growth in the Yellowstone grizzly bear population should it drop below the basement number of 600. Even taken at face value, the mortality guidelines currently set for any population less than or equal to 674 are, by the Service’s own admission, rates associated with a stable population at best.
The agencies may argue that they already have a provision for eliminating virtually all ‘Discretionary’
mortality once 600 is reached—tantamount to a drop in total mortality rate. This is not enough. An explicitly named target rate would provide incentive to reduce what the agencies are currently calling ‘Non-discretionary’ mortality once the population is at or near 600; and this mortality rate should be several percentage points below the 7.6% and 15% caps applied to males and females when the population is <675. Given that there are a 1.4% and 5% drops in the benchmark mortality rates for females and males, respectively, once the population drops below 675, it would be logical to apply a commensurate drop in benchmark rates once the population drops below 600, to around 6% for females and 10% for males. (Also, see my 20.6, below, for more on the problems of using ‘Discretionary’ and ‘Non-discretionary’).
20.3. Review of current management approaches should be mandated whenever mortality guidelines are exceeded during any two consecutive years, for any of the three specified cohorts of bears, rather than the standard of three consecutive years specified in the current Rule and MOA.
Both the Rule and the MOA specify that a review of management leading to potential changes in harvest would occur only if recommended mortality rates were exceeded in 3 consecutive years. If the sequencing was right (e.g., 2 years of excess followed by one year within bounds, followed by two more sequences of this nature), this protocol would allow the states to kill bears in excess of recommended guidelines for 7 out of 10 years, which, taking all of the other elements of the MOA at face value, would be a recipe for producing a declining population—and without provision for introducing a timely change in management. Under the current approach, a check would only be introduced if estimated population size dropped below 600, at which point, options for reversing course would be intrinsically limited.
With the change recommended here (review after 2 rather than 3 successive years of violated mortality rate targets), timely review would be triggered much more often and with the prospect of actually reversing course prior to excessive declines in the bear population. Certainly, the current proposed approach is not precautionary nor in any other way conservative.
20.4. Both the Rule and the MOA need to commit to resetting or recalibrating all aspects of the methods used to monitor trend, calculate allowable total mortality, and trigger various outside reviews if and when new methods are adopted for estimating total population size. Without this provision, the existing approach constitutes a methodological threat to the population.
The Rule and MOA describe methods for calculating total allowable mortality (‘Discretionary’ plus ‘Non-discretionary’) that are highly sensitive to estimates of total population size. Given that different estimators of total population size can yield numbers that vary by as much as 40%—even using the same inputs (e.g., Mark-Resight versus Chao2; Higgs et al. [2013] and IGBST [2015])—the Service needs to include language in the Rule that explicitly guards against state agencies introducing a new method that dramatically increases estimates of total population size without any commensurate adjustments in reckonings of trend, methods for estimating total allowable mortality, or thresholds that trigger outside reviews—all of which is currently allowed in both the Rule and the MOA.
As is, state management agencies could (for example) adopt the existing Mark-Resight method for estimating total population size as soon as Yellowstone’s grizzly bears are delisted, and produce a dramatic purported “increase” in the population. This would instantaneously translate into a markedly positive increase in putative population trend along with numbers of bears available for ‘discretionary’ mortality—without any change whatsoever in the underlying population or on-the-ground conditions.
Allowance for such a scenario not only introduces substantial risk, but also, even more importantly, emasculates and otherwise renders immaterial all of the presumed safeguards against over-exploitation described by the Service in the current Rule. A population that the Service currently represents as numbering around 675 could suddenly be inflated to over 925, thereby allowing for a potential sport harvest of, not 15, but rather nearer 25, a 67% increase. Likewise, a population at a threshold of 600 that would debar all sport harvest could be inflated to over 800, with instantaneous allowance for harvest of 15 or so bears. And, even more problematic, a population at the threshold of 500, that the Rule claims might trigger a status review by the Service, could be suddenly increased to 700, well above such a trigger.
Whether such scenarios came to pass intentionally or unintentionally, they would unambiguously pose a serious threat to the population embedded in methods currently contained in the Rule. The Service needs to remedy this unacceptable risk. There are several options, amongst which the least ambiguous and straight-forward would be to commit to continued use of the Chao2 method for estimating total population size, but with an accompanying commitment to rigorously standardize search effort and distribution (see my comment 20.5 below). This would help control for the bias that besets the Chao2 method. Another option would be to commit in the Rule and MOA to use the lower bound of uncertainty intervals for estimates of total population size generated by the Mark-Resight method, should it be adopted. This would presumably mitigate for the major short-coming of this method identified by IGBST (2015), which is the large uncertainty in annual estimates.
20.5. The MOA and the Rule need to explicitly specify that population monitoring will continue indefinitely at the same intensity (neither more nor less) and according to the same design as occurred during the 5 years prior to delisting.
Given vulnerabilities of the Chao2 method—or any other foreseeable method—to bias introduced by search effort and intrinsic sightability of bears (see my comments under 19.1), the Rule and MOA both need to contain a commitment to maintaining the current exact intensity and distribution of search effort devoted to documenting the presence of females with COY. Such a commitment would help curb any tendencies on the part of management agencies to temporarily inflate population estimates through increased search effort, especially if such an increase were coupled with greater orientation towards areas where grizzly bears are most easily seen.
20.6. Terminology for referring to bear mortality should be changed in the Rule and MOA from ‘Discretionary’ versus ‘Non-discretionary’ to ‘Management’ versus ‘Other’.
The semantics of the current distinction between ‘Discretionary’ and ‘Non-discretionary’ mortality in the Rule and the MOA lead to confusion. Moreover, the distinction is disingenuous. By using these terms, the Service and state managers lead both themselves and their readers to assume that they have no control or influence over so-called ‘Non-discretionary’ mortalities—that this category of mortalities “needs” to happen or is the result of some act of God. This is not the case.
History has shown (as the current Rule would claim) that managers do, in fact, have substantial influence over the so-called ‘Non-discretionary’ mortalities through activities such as law enforcement, education, and sanitation. The Rule even strongly implies that managers have influence over “natural” mortalities to the extent that sport harvest of specific cohorts of bears can amplify or dampen levels of mortality caused by conspecifics—especially infanticide (e.g., Swenson et al. 2001a, 2001b; , Bellemain et al. 2006; Bischof et al. 2009; Gardner et al. 2014). In other words, ‘Non-discretionary’ mortalities can, in fact, be ‘Discretionary’.
When you look at the more concrete categories of bear deaths that the Rule and MOA are allocating to ‘Discretionary’ versus ‘Non-discretionary’, it turns out that the distinction is fairly straight-forward distinction. ‘Discretionary’ deaths are simply those that will be directly sanctioned by managers and meted out by either uniformed employees of a state agency, by Wildlife Services, or by those licensed to act on a state agency’s behalf (e.g., licensed hunters). ‘Non-discretionary’ deaths are simply all others resulting from the actions of those (including other animals) who are not explicitly and directly authorized, in any immediate sense, to kill grizzly bears.
In fact, the current category of ‘Discretionary’ correlates closely with historical deaths of grizzly bears caused by managers responding to conflict situations, including threats to human safety—in other words, ‘management’ removals. ‘Non-discretionary’ correlates with all of the other historical categories. For the sake of clarity and in service of reducing ambiguity, I recommend that the Service revise the Rule so as to refer to ‘Discretionary’ kills as ‘Management’ kills and ‘Non-discretionary kills’ as simply ‘Other’.
21. Occupancy provisions for adult females need to apply to all portions of the DMA, not just the PCA, stratified on the basis of what are currently called ‘Flight areas’.
The current approach outlined in the Rule and the MOA essentially loads all of the ‘Discretionary’ mortality allotted for independent females on those without dependent young (lone females) outside of National Parks. Under current provisions, no sport harvest of females accompanied by dependent young would be allowed. This amounts to the brunt of ‘discretionary’ human-caused deaths among females being borne by lone bears on the periphery of the DMA.
On average, only 1 of 3 adult females will be without young during a given year. Moreover, some percentage of these lone females will be inside National Parks where they will not be subject to hunting. As a result, something less than 33% of the adult females in the population (say, 25%), all concentrated on the ecosystem periphery, will be subject to most of the planned killing each year. And, importantly, the current approach essentially uses females inside National Parks to subsidize calculations of allowable sport harvest outside.
The end result will be patently unsustainable killing of females on the periphery. Source-sink population dynamics would also certainly be amplified which, according to Doak (1995), could lead to increased vulnerability of the population to unintended and long-lagged declines.
Preferentially killing females that would otherwise have given birth to cubs the following year could introduce yet other unpredictable amplifications of population trends. On the face of it, amplified oscillations might be curbed by the fact that, with fewer females giving birth to cubs any following year, estimates of total population size based on observations of females with COY would be smaller, which might then lead to a lower ‘Discretionary’ kill the year after. But there would then be a pulse of cubs from females that were subsequently subject to a light harvest, which would lead to an inflated estimate of population size and a resulting inflated sport harvest the year after…and so on. In short, the approach described in the Rule and the MOA will lead to fewer females living on the ecosystem periphery and less predictability regarding the consequences of management actions.
A requirement by the Service for occupancy of all management units by reproductive females, including ‘flight areas’ outside the DMA (see figure 21.1 below), would introduce a curb on excesses built into the Rule and MOA, which currently have punitive implications for females outside National Parks. Alleviating these current excesses would result in proportionately greater numbers of females on the periphery, which would foster eventual connectivity between Yellowstone and the NCDE.
**Figure 21.1.** Map A, above, shows the PCA (delineated by red, as shown in map B) relative to the full extent and partitioning of the DMA (in yellow). The Rule and current MOA only provide for insurance of occupancy by adult females within the units contained by the PCA and leaves occupancy of all the other units (‘Flight Areas’) in the DMA up in the air when it comes to presence of reproductive females.
Attachments
David J. Mattson, Ph.D.
Wyoming Wildlife Advocates
Comments on the
US Fish & Wildlife Service proposal to remove grizzly bears in the Yellowstone ecosystem from the list of endangered and threatened wildlife protected under the US Endangered Species Act (ESA); Federal Register 81(48): 13174-13227
And Related Materials
May 5, 2016
Al-Chokhachy, R., Alder, J., Hostetler, S., Gresswell, R., & Shepard, B. (2013). Thermal controls of Yellowstone cutthroat trout and invasive fishes under climate change. Global change biology, 19(10), 3069-3081.
Armstrong, J. S. (1997). Peer review for journals: Evidence on quality control, fairness, and innovation. Science and engineering ethics, 3(1), 63-84.
Bacchetti, P. (2002). Peer review of statistics in medical research: the other problem. British Medical Journal, 324(7348), 1271.
Ballard, W.B., L.N. Carbyn, & D.W. Smith. 2003. Wolf interactions with non-prey. Pages 259-271 in Mech,L.S. & L. Boitani (eds.) Wolves: ecology, behavior, and conservation. The University of Chicago Press.
Ballenberghe, V. V., & Ballard, W. B. (1994). Limitation and regulation of moose populations: the role of predation. Canadian Journal of Zoology, 72(12), 2071-2077.
Barber-Meyer, S. M., Mech, L. D., & White, P. J. (2008). Elk calf survival and mortality following wolf restoration to Yellowstone National Park. Wildlife Monographs, 169(1), 1-30.
Barbero, R., Abatzoglou, J. T., Larkin, N. K., Kolden, C. A., & Stocks, B. (2015). Climate change presents increased potential for very large fires in the contiguous United States. International Journal of Wildland Fire, 24(7), 892-899.
Bartlein, P.J., Whitlock, C., & Shafer, S.L. (1997). Future climate in the Yellowstone National Park region and Its potential impact on vegetation. Conservation Biology, 11(3), 782-792.
Bear, E. A., McMahon, T. E., & Zale, A. V. (2007). Comparative thermal requirements of westslope cutthroat trout and rainbow trout: implications for species interactions and development of thermal protection standards. Transactions of the American Fisheries Society, 136(4), 1113-1121.
Bell, D.M., Bradford, J.B., Lauenroth, W.K. (2013). Early indicators of change: divergent climate envelopes between tree life stages imply range shifts in the western United States. Glob. Ecol. Biogeogr. 23, 168–180.
Bell, D.M., Bradford, J.B., Lauenroth, W.K. (2014). Mountain landscapes offer few opportunities for high-elevation tree species migration. Glob. Change Biol. 20, 1441–1451.
Bellemain, E., Swenson, J. E., & Taberlet, P. (2006). Mating Strategies in Relation to Sexually Selected Infanticide in a Non-Social Carnivore: the Brown Bear. *Ethology*, 112(3), 238-246.
Benos, D. J., Bashari, E., Chaves, J. M., Gaggar, A., Kapoor, N., LaFrance, M., ... & Qadri, Y. (2007). The ups and downs of peer review. *Advances in physiology education*, 31(2), 145-152.
Biagioli, M. (2002). From book censorship to academic peer review. *Emergences: Journal for the Study of Media & Composite Cultures*, 12(1), 11-45.
Billings, W.D. & H.A. Mooney (1968). The ecology of arctic and alpine plants. *Biol. Rev.*, 43, 481-529.
Bininda-Emonds, O. R., Gittleman, J. L., & Purvis, A. (1999). Building large trees by combining phylogenetic information: a complete phylogeny of the extant Carnivora (Mammalia). *Biological Reviews of the Cambridge Philosophical Society*, 74(2), 143-175.
Bischof, R., Swenson, J. E., Yoccoz, N. G., Mysterud, A., & Gimenez, O. (2009). The magnitude and selectivity of natural and multiple anthropogenic mortality causes in hunted brown bears. *Journal of Animal Ecology*, 78(3), 656-665.
Bjornlie, D. D., Thompson, D. J., Haroldson, M. A., Schwartz, C. C., Gunther, K. A., Cain, S. L., ... & Aber, B. C. (2013). Methods to estimate distribution and range extent of grizzly bears in the Greater Yellowstone Ecosystem. *Wildlife Society Bulletin*, 38(1), 182-187.
Bjornlie, D. D., Van Manen, F. T., Ebinger, M. R., Haroldson, M. A., Thompson, D. J., & Costello, C. M. (2014). Whitebark pine, population density, and home-range size of grizzly bears in the Greater Yellowstone Ecosystem. *PloS one*, 9(2), e88160.
Brodie, J., Johnson, H., Mitchell, M., Zager, P., Proffitt, K., Hebblewhite, M., ... & Gude, J. (2013). Relative influence of human harvest, carnivores, and weather on adult female elk survival across western North America. *Journal of Applied Ecology*, 50(2), 295-305.
Bruggeman, J. E., White, P. J., Garrott, R. A., & Watson, F. G. (2009). Partial migration in central Yellowstone bison. Pages 217-235 in Garrott, R.A., P.J. White & F.G.R. Watson (eds.). *The ecology of large mammals in central Yellowstone*. Elsevier Press.
Burnham, J.C. (1992). How journal editors come to develop and critique peer review procedures. Pp. 55-62 in Mayland, H.F. & R.E. Sojka. *Research ethics, manuscript review, & journal quality*.
Cahill, J. A., Stirling, I., Kistler, L., Salamzade, R., Ersmark, E., Fulton, T. L., ... & Shapiro, B. (2015). Genomic evidence of geographically widespread effect of gene flow from polar bears into brown bears. *Molecular ecology*, 24(6), 1205-1217.
Campanario, J. M. (1998). Peer review for journals as it stands today—Part 1. *Science Communication*, 19(3), 181-211.
Carroll, C., Noss, R. F., & Paquet, P. C. (2001). Carnivores as focal species for conservation planning in the Rocky Mountain region. *Ecological applications*, 11(4), 961-980.
Carroll, C., Noss, R. F., Paquet, P. C., & Schumaker, N. H. (2003). Use of population viability analysis and reserve selection algorithms in regional conservation plans. *Ecological applications*, 13(6), 1773-1789.
Chang, T., Hansen, A. J., & Piekielek, N. (2014). Patterns and variability of projected bioclimatic habitat for Pinus albicaulis in the Greater Yellowstone Area. *PloS one*, 9(11), e111669.
Chang, T., & Hansen, A. (2015). Historic & Projected Climate Change in the Greater Yellowstone Ecosystem. *Yellowstone Science*, 23(1), 14-19.
Chapman, J.A., J.I. Romer, & J. Stark (1955). Ladybird beetles and army cutworm adults as food for grizzly bears in Montana. *Ecology*, 36 (1), 156-158.
Cherry, S., White, G. C., Keating, K. A., Haroldson, M. A., & Schwartz, C. C. (2007). Evaluating estimators of the numbers of females with cubs-of-the-year in the Yellowstone grizzly bear population. *Journal of agricultural, biological, and environmental statistics*, 12(2), 195-215.
Clow, D. W. (2010). Changes in the timing of snowmelt and streamflow in Colorado: a response to recent warming. *Journal of Climate*, 23(9), 2293-2306.
Cook, J. G., Johnson, B. K., Cook, R. C., Riggs, R. A., Delcurto, T. I. M., Bryant, L. D., & Irwin, L. L. (2004). Effects of summer-autumn nutrition and parturition date on reproduction and survival of elk. *Wildlife Monographs*, 155(1), 1-61.
Coops, N.C., & Waring, R.H., 2011. Estimating the vulnerability of fifteen tree species under changing climate in Northwest North America. *Ecol. Model.*, 222, 2119–2129.
Coops, N. C., Waring, R. H., Beier, C., Roy-Jauvin, R., & Wang, T. (2011). Modeling the occurrence of 15 coniferous tree species throughout the Pacific Northwest of North America using a hybrid approach of a generic process-based growth model and decision tree analysis. *Applied Vegetation Science*, 14(3), 402-414.
Costello, C. M., Manen, F. T., Haroldson, M. A., Ebinger, M. R., Cain, S. L., Gunther, K. A., & Bjornlie, D. D. (2014). Influence of whitebark pine decline on fall habitat use and movements of grizzly bears in the Greater Yellowstone Ecosystem. *Ecology and evolution*, 4(10), 2004-2018.
Coughenour, M. B., & Singer, F. J. (1996). Elk population processes in Yellowstone National Park under the policy of natural regulation. *Ecological Applications*, 573-593.
Craighead, J.J., J.S. Sumer, & G.B. Scaggs (1982). A definitive system for analysis of grizzly bear habitat and other wilderness resources. Monograph 1, Wildlife-Wildlands Institute, University of Montana Foundation, Missoula.
Cronin, M. A., & MacNeil, M. D. (2012). Genetic relationships of extant brown bears (Ursus arctos) and polar bears (Ursus maritimus). *Journal of Heredity*, ess090.
Crookston, N.L., Rehfeldt, G.E., Dixon, G.E., Weiskittel, A.R. (2010). Addressing climate change in the forest vegetation simulator to assess impacts on landscape forest dynamics. *For. Ecol. Manage.*, 260, 1198–1211.
Dai, A. (2013). Increasing drought under global warming in observations and models. *Nature Climate Change*, 3(1), 52-58.
Davison, J., Ho, S. Y., Bray, S. C., Korsten, M., Tammeleht, E., Hindrikson, M., … & Cooper, A. (2011). Late-Quaternary biogeographic scenarios for the brown bear (Ursus arctos), a wild mammal model species. *Quaternary Science Reviews*, 30(3), 418-430.
Dawid, A. P. (1979). Conditional independence in statistical theory. *Journal of the Royal Statistical Society. Series B (Methodological)*, 1-31.
Delibes, M., Gaona, P., & Ferreras, P. (2001). Effects of an attractive sink leading into maladaptive habitat selection. *The American Naturalist*, 158(3), 277-285.
Diaz, H. F., & Eischeid, J. K. (2007). Disappearing “alpine tundra” Köppen climatic type in the western United States. *Geophysical Research Letters*, 34(18), L18707.
Doak, D. F. (1995). Source-sink models and the problem of habitat degradation: general models and applications to the Yellowstone grizzly. *Conservation Biology*, 9(6), 1370-1379.
Doak, D. F., & Cutler, K. (2014a). Re-Evaluating Evidence for Past Population Trends and Predicted Dynamics of Yellowstone Grizzly Bears. *Conservation Letters*, 7(3), 312-322.
Doak, D. F., & Cutler, K. (2014b). Van Manen et al., Doth Protest too Much: New Analyses of the Yellowstone Grizzly Population Confirm the Need to Reevaluate Past Population Trends. *Conservation Letters*, 7(3), 332-333.
Dullinger, S., Gattringer, A., Thuiller, W., Moser, D., Zimmermann, N. E., Guisan, A., … & Caccianiga, M. (2012). Extinction debt of high-mountain plants under twenty-first-century climate change. *Nature Climate Change*, 2(8), 619-622.
Eberhardt, L. L., White, P. J., Garrott, R. A., & Houston, D. B. (2007). A Seventy-Year History of Trends in Yellowstone's Northern Elk Herd. *The Journal of wildlife management*, 71(2), 594-602.
Ebinger, M. R., Haroldson, M. A., van Manen, F. T., Costello, C. M., Bjornlie, D. D., Thompson, D. J., ... & White, P. J. (2016). Detecting grizzly bear use of ungulate carcasses using global positioning system telemetry and activity data. Oecologia, Online access, 1-14.
Elmendorf, S. C., Henry, G. H., Hollister, R. D., Björk, R. G., Boulanger-Lapointe, N., Cooper, E. J., ... & Gill, M. (2012). Plot-scale evidence of tundra vegetation change and links to recent summer warming. Nature Climate Change, 2(6), 453-457.
Erlenbach, J. A., Rode, K. D., Raubenheimer, D., & Robbins, C. T. (2014). Macronutrient optimization and energy maximization determine diets of brown bears. Journal of Mammalogy, 95(1), 160-168.
Evans, S. B., Mech, L. D., White, P. J., & Sargeant, G. A. (2006). Survival of adult female elk in Yellowstone following wolf restoration. Journal of Wildlife Management, 70(5), 1372-1378.
Farley, S. D., & Robbins, C. T. (1995). Lactation, hibernation, and mass dynamics of American black bears and grizzly bears. Canadian Journal of Zoology, 73(12), 2216-2222.
Felicetti, L. A., Schwartz, C. C., Rye, R. O., Haroldson, M. A., Gunther, K. A., Phillips, D. L., & Robbins, C. T. (2003). Use of sulfur and nitrogen stable isotopes to determine the importance of whitebark pine nuts to Yellowstone grizzly bears. Canadian Journal of Zoology, 81(5), 763-770.
Felicetti, L. A., Robbins, C. T., & Shipley, L. A. (2003). Dietary protein content alters energy expenditure and composition of the mass gain in grizzly bears (Ursus arctos horribilis). Physiological and Biochemical Zoology, 76(2), 256-261.
Felicetti, L. A., Schwartz, C. C., Rye, R. O., Gunther, K. A., Crock, J. G., Haroldson, M. A., ... & Robbins, C. T. (2004). Use of naturally occurring mercury to determine the importance of cutthroat trout to Yellowstone grizzly bears. Canadian Journal of Zoology, 82(3), 493-501.
Fortin, J. K., Schwartz, C. C., Gunther, K. A., Teisberg, J. E., Haroldson, M. A., Evans, M. A., & Robbins, C. T. (2013). Dietary adjustability of grizzly bears and American black bears in Yellowstone National Park. The Journal of Wildlife Management, 77(2), 270-281.
French, S.P., M.G. French & R.R. Knight (1994). Grizzly bear use of army cutworm moths in the Yellowstone Ecosystem. Ursus, 9, 389-399.
Fuller, J. A., Garrott, R. A., & White, P. J. (2007). Emigration and density dependence in Yellowstone bison. The Journal of Wildlife Management, 71(6), 1924-1933.
Fuller, J. A., Garrott, R. A., & White, P. J. (2008). Emigration and density dependence in Yellowstone bison. Pages 237-254 in Garrott, R.A., P.J. White & F.G.R. Watson (eds.). The ecology of large mammals in central Yellowstone. Elsevier Press.
Gardner, C. L., Pamperin, N. J., & Benson, J. F. (2014). Movement patterns and space use of maternal grizzly bears influence cub survival in Interior Alaska. *Ursus*, 25(2), 121-138.
Garrott, R. A., Eberhardt, L. L., White, P. J., & Rotella, J. (2003). Climate-induced variation in vital rates of an unharvested large-herbivore population. *Canadian Journal of Zoology*, 81(1), 33-45.
Gasaway, W. C., Boertje, R. D., Grangaard, D. V., Kelleyhouse, D. G., Stephenson, R. O., & Larsen, D. G. (1992). The role of predation in limiting moose at low densities in Alaska and Yukon and implications for conservation. *Wildlife monographs*, 3-59.
Geremia, C., White, P. J., Wallen, R. L., Watson, F. G., Treanor, J. J., Borkowski, J., … & Crabtree, R. L. (2011). Predicting bison migration out of Yellowstone National Park using Bayesian models. *PLoS one*, 6(2), e16848.
Geremia, C., White, P. J., Garrott, R. A., Wallen, R. W., Aune, K. E., Treanor, J., & Fuller, J. A. (2009). Demography of central Yellowstone bison: effects of climate, density, and disease. Pages 255-279 in Garrott, R.A., P.J. White & F.G.R. Watson (eds.). *The ecology of large mammals in central Yellowstone*. Elsevier Press.
Gottfried, M., Pauli, H., Futschik, A., Akhalkatsi, M., Barančok, P., Alonso, J. L. B., … & Krajčí, J. (2012). Continent-wide response of mountain vegetation to climate change. *Nature Climate Change*, 2(2), 111-115.
Grabherr, G., Gottfried, M., & Pauli, H. (2010). Climate change impacts in alpine environments. *Geography Compass*, 4(8), 1133-1153
Grace, J., Berninger, F., & Nagy, L. (2002). Impacts of climate change on the tree line. *Annals of Botany*, 90(4), 537-544.
Gray, L.K., Hamann, A., 2013. Tracking suitable habitat for tree populations under climate change in western North America. *Clim. Change* 117, 289–303.
Gresswell, R.E. (2009). *Yellowstone cutthroat trout (Oncorhynchus clarkii bouvieri): a technical conservation assessment*. USDA Forest Service, Rocky Mountain Region.
Griffin, K. A., Hebblewhite, M., Robinson, H. S., Zager, P., Barber-Meyer, S. M., Christianson, D., … & Johnson, B. K. (2011). Neonatal mortality of elk driven by climate, predator phenology and predator community composition. *Journal of Animal Ecology*, 80(6), 1246-1257.
Gude, P. H., Hansen, A. J., & Jones, D. A. (2007). Biodiversity consequences of alternative future land use scenarios in Greater Yellowstone. *Ecological Applications*, 17(4), 1004-1018.
Guilday, J. E. (1968). Grizzly bears from eastern North America. *American Midland Naturalist*, 247-250.
Gunther, K. A., & Smith, D. W. (2004). Interactions between wolves and female grizzly bears with cubs in Yellowstone National Park. *Ursus*, 15(2), 232-238.
Gunther, K. A., Haroldson, M. A., Frey, K., Cain, S. L., Copeland, J., & Schwartz, C. C. (2004). Grizzly bear-human conflicts in the Greater Yellowstone ecosystem, 1992-2000. *Ursus*, 15(1), 10-22.
Gunther, K. A., Shoemaker, R. R., Frey, K. L., Haroldson, M. A., Cain, S. L., van Manen, F. T., & Fortin, J. K. (2014). Dietary breadth of grizzly bears in the Greater Yellowstone Ecosystem. *Ursus*, 25(1), 60-72.
Gutzler, D. S., & Robbins, T. O. (2011). Climate variability and projected change in the western United States: regional downscaling and drought statistics. *Climate Dynamics*, 37(5-6), 835-849.
Hailer, F., Kutschera, V. E., Hallström, B. M., Klassert, D., Fain, S. R., Leonard, J. A., ... & Janke, A. (2012). Nuclear genomic sequences reveal that polar bears are an old and distinct bear lineage. *Science*, 336(6079), 344-347.
Hale, R., & Swearer, S. E. (2016). Ecological traps: current evidence and future directions. *Proc. R. Soc. B*, 283, 1824, pp. 20152647.
Hansen, A. J., & Phillips, L. B. (2015). Which tree species and biome types are most vulnerable to climate change in the US Northern Rocky Mountains?. *Forest Ecology and Management*, 338, 68-83.
Hansen, A., Piekielek, N., Chang, T., & Phillips, L. (2015). Changing Climate Suitability for Forests in Yellowstone & the Rocky Mountains. *Yellowstone Science*, 23(1), 36.
Hansen, A., Ireland, K., Legg, K., Keane, R., Barge, E., Jenkins, M., & Pillet, M. (2016). Complex Challenges of Maintaining Whitebark Pine in Greater Yellowstone under Climate Change: A Call for Innovative Research, Management, and Policy Approaches. *Forests*, 7(3), 54.
Harington, C. R., Cournoyer, M., Chartier, M., Fulton, T. L., & Shapiro, B. (2014). Brown bear (*Ursus arctos*)(9880±35 BP) from late-glacial Champlain Sea deposits at Saint-Nicolas, Quebec, Canada, and the dispersal history of brown bears. *Canadian Journal of Earth Sciences*, 51(5), 527-535.
Haroldson, M. A., Ternent, M. A., Gunther, K. A., & Schwartz, C. C. (2002). Grizzly bear denning chronology and movements in the Greater Yellowstone Ecosystem. *Ursus*, 13, 29-37.
Haroldson, M. A., Schwartz, C. C., Cherry, S., & Moody, D. S. (2004). Possible effects of elk harvest on fall distribution of grizzly bears in the Greater Yellowstone Ecosystem. *Journal of Wildlife Management*, 68(1), 129-137.
Haroldson, M. A., Gunther, K. A., Reinhart, D. P., Podruzny, S. R., Cegelski, C., Waits, L., ... & Smith, J. (2005). Changing numbers of spawning cutthroat trout in tributary streams of Yellowstone Lake and estimates of grizzly bears visiting streams from DNA. *Ursus*, 16(2), 167-180.
Haroldson, M. A., & Gunther, K. A. (2013). Roadside bear viewing opportunities in Yellowstone National Park: characteristics, trends, and influence of whitebark pine. *Ursus*, 24(1), 27-41.
Harris, R. B., Schwartz, C. C., Haroldson, M. A., & White, G. C. (2006). Trajectory of the Yellowstone grizzly bear population under alternative survival rates. *Wildlife Monographs*, (161), 44.
Harte, J., & Shaw, R. (1995). Shifting dominance within a montane vegetation community: results of a climate-warming experiment. *Science*, 267(5199), 876-880.
Hatala, J. A., Dietze, M. C., Crabtree, R. L., Kendall, K., Six, D., & Moorcroft, P. R. (2011). An ecosystem-scale model for the spread of a host-specific forest pathogen in the Greater Yellowstone Ecosystem. *Ecological Applications*, 21(4), 1138-1153.
Herrero, S. (1972). Aspects of evolution and adaptation in American black bears (*Ursus americanus* Pallas) and brown and grizzly bears (*U. arctos* Linne.) of North America. *International Conference on Bear Research & Management*, 2, 221-231.
Higgs, M. D., Link, W. A., White, G. C., Haroldson, M. A., & Bjornlie, D. D. (2013). Insights into the latent multinomial model through mark-resight data on female grizzly bears with cubs-of-the-year. *Journal of Agricultural, Biological, and Environmental Statistics*, 18(4), 556-577.
Hilborn, R., & Mangel, M. (1997). *The ecological detective: confronting models with data* (Vol. 28). Princeton University Press.
Hilderbrand, G. V., Schwartz, C. C., Robbins, C. T., Jacoby, M. E., Hanley, T. A., Arthur, S. M., & Servheen, C. (1999). The importance of meat, particularly salmon, to body size, population productivity, and conservation of North American brown bears. *Canadian Journal of Zoology*, 77(1), 132-138.
Hilderbrand, G. V., Jenkins, S. G., Schwartz, C. C., Hanley, T. A., & Robbins, C. T. (1999). Effect of seasonal differences in dietary meat intake on changes in body mass and composition in wild and captive brown bears. *Canadian Journal of Zoology*, 77(10), 1623-1630.
Hilderbrand, G. V., Schwartz, C. C., Robbins, C. T., & Hanley, T. A. (2000). Effect of hibernation and reproductive status on body mass and condition of coastal brown bears. *The Journal of wildlife management*, 178-183.
Hirata, D., Mano, T., Abramov, A. V., Baryshnikov, G. F., Kosintsev, P. A., Vorobiev, A. A., ... & Fukui, D. (2013). Molecular phylogeography of the brown bear (*Ursus arctos*) in northeastern Asia based on analyses of complete mitochondrial DNA sequences. *Molecular Biology and Evolution*, 30(7), 1644-1652.
Hirata, D., Abramov, A. V., Baryshnikov, G. F., & Masuda, R. (2014). Mitochondrial DNA haplogrouping of the brown bear, *Ursus arctos* (Carnivora: Ursidae) in Asia, based on a newly developed APLP analysis. *Biological Journal of the Linnean Society*, 111(3), 627-635.
Iglesias, V., Krause, T. R., & Whitlock, C. (2015). Complex Response of White Pines to Past Environmental Variability Increases Understanding of Future Vulnerability. *PloS one*, 10(4), e0124439.
Interagency Grizzly Bear Study Team (2012). Updating and evaluating approaches to estimate population size and sustainable mortality limits for grizzly bears in the Greater Yellowstone Ecosystem. Interagency Grizzly Bear Study Team, U.S. Geological Survey, Northern Rocky Mountain Science Center, Bozeman, Montana.
Isaak, D. J., Luce, C. H., Rieman, B. E., Nagel, D. E., Peterson, E. E., Horan, D. L., ... & Chandler, G. L. (2010). Effects of climate change and wildfire on stream temperatures and salmonid thermal habitat in a mountain river network. Ecological Applications, 20(5), 1350-1371.
Isaak, D. J., Muhlfeld, C. C., Todd, A. S., Al-Chokhachy, R., Roberts, J., Kershner, J. L., ... & Hostetler, S. W. (2012). The past as prelude to the future for understanding 21st-century climate effects on Rocky Mountain trout. Fisheries, 37(12), 542-556.
Isaak, D. J., Young, M. K., Nagel, D. E., Horan, D. L., & Groce, M. C. (2015). The cold-water climate shield: delineating refugia for preserving salmonid fishes through the 21st century. Global change biology, 21(7), 2540-2553.
Jacoby, M. E., Hilderbrand, G. V., Servheen, C., Schwartz, C. C., Arthur, S. M., Hanley, T. A., ... & Michener, R. (1999). Trophic relations of brown and black bears in several western North American ecosystems. The Journal of wildlife management, 921-929.
Jennelle, C. S., Samuel, M. D., Nolden, C. A., & Berkley, E. A. (2009). Deer carcass decomposition and potential scavenger exposure to chronic wasting disease. The Journal of Wildlife Management, 73(5), 655-662.
Jewett, J. T., Lawrence, R. L., Marshall, L. A., Gessler, P. E., Powell, S. L., & Savage, S. L. (2011). Spatiotemporal relationships between climate and whitebark pine mortality in the Greater Yellowstone Ecosystem. Forest Science, 57(4), 320-335.
Johnson, C. J., Boyce, M. S., Schwartz, C. C., & Haroldson, M. A. (2004). Modeling survival: application of the Andersen-Gill model to Yellowstone grizzly bears. Journal of Wildlife Management, 68(4), 966-978.
Kaeding, L. R. (2010). Relative contributions of climate variation, lake trout predation, and other factors to the decline of Yellowstone Lake cutthroat trout during the three recent decades. Dissertation, Montana State University, Bozeman.
Kaeding, L. R. (2012). Are Yellowstone Lake temperatures more suitable to nonnative Lake Trout than to native Cutthroat Trout?. North American Journal of Fisheries Management, 32(5), 848-852.
Keating, K. A., Schwartz, C. C., Haroldson, M. A., & Moody, D. (2002). Estimating numbers of females with cubs-of-the-year in the Yellowstone grizzly bear population. Ursus, 13, 161-174.
Keis, M., Remm, J., Ho, S. Y., Davison, J., Tammeleht, E., Tumanov, I. L., … & Margus, T. (2013). Complete mitochondrial genomes and a novel spatial genetic method reveal cryptic phylogeographical structure and migration patterns among brown bears in north-western Eurasia. *Journal of Biogeography*, 40(5), 915-927.
Kevan, P. G., & Kendall, D. M. (1997). Liquid assets for fat bankers: summer nectarivory by migratory moths in the Rocky Mountains, Colorado, USA. *Arctic and Alpine Research*, 478-482.
Klos, P. Z., Link, T. E., & Abatzoglou, J. T. (2014). Extent of the rain-snow transition zone in the western US under historic and projected climate. *Geophysical Research Letters*, 41(13), 4560-4568.
Koel, T. M., Bigelow, P. E., Doepke, P. D., Ertel, B. D., & Mahony, D. L. (2005). Nonnative lake trout result in Yellowstone cutthroat trout decline and impacts to bears and anglers. *Fisheries*, 30(11), 10-19.
Koel, T. M., Bigelow, P. E., Doepke, P. D., Ertel, B. D., & Mahony, D. L. (2006). Conserving Yellowstone cutthroat trout for the future of the GYE. *Yellowstone Science*, 14(2), 20-28.
Koel, T.M., J.LL. Arnold, P.E. Bigelow, C.R. Detjens, P.D. Doepke, B. D. Ertel, & M.E. Ruhl (2015). Native fish conservation program, *Yellowstone Fisheries & Aquatic Sciences 2012–2014*, Yellowstone National Park. National Park Service, Yellowstone Center for Resources, Yellowstone National Park, Wyoming, USA, YCR-2015-01.
Krause, J., Unger, T., Noçon, A., Malaspinas, A. S., Kolokotronis, S. O., Stiller, M., … & Bray, S. C. (2008). Mitochondrial genomes reveal an explosive radiation of extinct and extant bears near the Miocene-Pliocene boundary. *BMC Evolutionary Biology*, 8(1), 220.
Krebs, C. J. (1995). Two paradigms of population regulation. *Wildlife Research*, 22(1), 1-10.
Krebs, C. J. (2002). Two complementary paradigms for analysing population dynamics. *Philosophical Transactions of the Royal Society of London B: Biological Sciences*, 357(1425), 1211-1219.
Körner, C. (2013). *Alpine Plant Life: Functional Plant Ecology of High Mountain Ecosystems*. Springer.
Kutschera, V. E., Bidon, T., Hailer, F., Rodi, J. L., Fain, S. R., & Janke, A. (2014). Bears in a forest of gene trees: phylogenetic inference is complicated by incomplete lineage sorting and gene flow. *Molecular biology and evolution*, 31(8), 2004-2017.
Leonard, J. A., Wayne, R. K., & Cooper, A. (2000). Population genetics of Ice Age brown bears. *Proceedings of the National Academy of Sciences*, 97(4), 1651-1654.
Lindqvist, C., Schuster, S. C., Sun, Y., Talbot, S. L., Qi, J., Ratan, A., … & Miller, W. (2011). Complete mitochondrial genome of a Pleistocene jawbone unveils the origin of polar bear. *Proceedings of the National Academy of Sciences*, 107(11), 5053-5057.
Liu, S., Lorenzen, E. D., Fumagalli, M., Li, B., Harris, K., Xiong, Z., … & Wray, G. (2014). Population genomics reveal recent speciation and rapid evolutionary adaptation in polar bears. *Cell*, 157(4), 785-794.
Logan, J. A., Macfarlane, W. W., & Willcox, L. (2010). Whitebark pine vulnerability to climate-driven mountain pine beetle disturbance in the Greater Yellowstone Ecosystem. *Ecological Applications*, 20(4), 895-902.
López-Alfaro, C., Coogan, S. C., Robbins, C. T., Fortin, J. K., & Nielsen, S. E. (2015). Assessing Nutritional Parameters of Brown Bear Diets among Ecosystems Gives Insight into Differences among Populations. *PloS one*, 10(6), e0128088.
Loreille, O., Orlando, L., Patou-Mathis, M., Philippe, M., Taberlet, P., & Hänni, C. (2001). Ancient DNA analysis reveals divergence of the cave bear, Ursus spelaeus, and brown bear, Ursus arctos, lineages. *Current Biology*, 11(3), 200-203.
Loring, S., & Spiess, A. (2007). Further documentation supporting the former existence of grizzly bears (Ursus arctos) in northern Quebec-Labrador. *Arctic*, 7-16.
Losee, J. (2004). *Theories of scientific progress: An introduction*. Psychology Press.
Lubow, B. C., & Smith, B. L. (2004). Population dynamics of the Jackson elk herd. *Journal of Wildlife management*, 68(4), 810-829.
Luo, L., Tang, Y., Zhong, S., Bian, X., & Heilman, W. E. (2013). Will future climate favor more erratic wildfires in the western United States?. *Journal of Applied Meteorology and Climatology*, 52(11), 2410-2417.
Lütz, C. (ed.) (2011). *Plants in Alpine Regions: Cell Physiology of Adaption and Survival Strategies*. Springer.
Macfarlane, W. W., Logan, J. A., & Kern, W. R. (2013). An innovative aerial assessment of Greater Yellowstone Ecosystem mountain pine beetle-caused whitebark pine mortality. *Ecological Applications*, 23(2), 421-437.
Mahalovich, M. F. (2013). Grizzly bears and whitebark pine in the Greater Yellowstone Ecosystem. Future status of whitebark pine: blister rust resistance, mountain pine beetle, and climate change. Report 2470 RRM-NR-WP-13-01. US Department of Agriculture Forest Service, Northern Region, Missoula, MT.
Marcus, W. A., J.E. Meacham, & A.W. Rodman (2012). *Atlas of Yellowstone*. Berkeley and Los Angeles: University of California Press.
Matheus, P., Burns, J., Weinstock, J., & Hofreiter, M. (2004). Pleistocene brown bears in the mid-continent of North America. *Science*, 306(5699), 1150-1150.
Matsuhashi, T., Masuda, R., Mano, T., Murata, K., & Aiurzaniin, A. (2001). Phylogenetic relationships among worldwide populations of the brown bear Ursus arctos. *Zoological Science*, 18(8), 1137-1143.
Mattson, D. J., Knight, R. R., & Blanchard, B. M. (1987). The effects of developments and primary roads on grizzly bear habitat use in Yellowstone National Park, Wyoming. International Conference on Bear Research & Management, 7, 259-273.
Mattson, D. J., Blanchard, B. M., & Knight, R. R. (1991a). Food habits of Yellowstone grizzly bears, 1977-1987. Canadian Journal of Zoology, 69(6), 1619-1629.
Mattson, D. J., Gillin, C. M., Benson, S. A., & Knight, R. R. (1991b). Bear feeding activity at alpine insect aggregation sites in the Yellowstone ecosystem. Canadian Journal of Zoology, 69(9), 2430-2435.
Mattson, D. J., Blanchard, B. M., & Knight, R. R. (1992). Yellowstone grizzly bear mortality, human habituation, and whitebark pine seed crops. The Journal of wildlife management, 432-442.
Mattson, D.J. (1993). Background and proposed standards for managing grizzly bear habitat security in the Yellowstone ecosystem. Cooperative Park Studies Unit Report. University of Idaho, Moscow.
Mattson, D. J. (1995). New World Mine and Grizzly Bears: A Window on Ecosystem Management, The. J. Energy Nat. Resources & Envtl. L., 15, 267.
Mattson, D. J., & Reinhart, D. P. (1995). Influences of cutthroat trout (Oncorhynchus clarki) on behaviour and reproduction of Yellowstone grizzly bears (Ursus arctos), 1975-1989. Canadian Journal of Zoology, 73(11), 2072-2079.
Mattson, D. J., Herrero, S., Wright, R. G., & Pease, C. M. (1996a). Science and management of Rocky Mountain grizzly bears. Conservation Biology, 10(4), 1013-1025.
Mattson, D. J., Herrero, S., Wright, R. G., & Pease, C. M. (1996b). Designing and managing protected areas for grizzly bears: how much is enough. National parks and protected areas: their role in environmental protection. Cambridge, MA: Blackwell Science, 133-164.
Mattson, D. J. (1997a). Sustainable grizzly bear mortality calculated from counts of females with cubs-of-the-year: an evaluation. Biological Conservation, 81(1), 103-111.
Mattson, D. J. (1997). Use of ungulates by Yellowstone grizzly bears Ursus arctos. Biological Conservation, 81(1), 161-177.
Mattson, D. J., & Reinhart, D. P. (1997). Excavation of red squirrel middens by grizzly bears in the whitebark pine zone. Journal of Applied Ecology, 926-940.
Mattson, D. J. (1998). Changes in mortality of Yellowstone's grizzly bears. Ursus, 10, 129-138.
Mattson, D. J. (2000). Causes and consequences of dietary differences among Yellowstone grizzly bears (Ursus arctos). Dissertation, University of Idaho, Moscow.
Mattson, D. J., & Merrill, T. (2002). Extirpations of grizzly bears in the contiguous United States, 1850–2000. Conservation Biology, 16(4), 1123-1136.
Mattson, D.J., Barber, K., Maw, R., & Renkin, R. (2004). Coefficients of productivity for Yellowstone’s grizzly bear habitat. US Department of the Interior, US Geological Survey.
Maxwell, N. (1998). The Comprehensibility of the Universe: A New Conception of Science. Oxford University Press.
McLellan, B. N., & Shackleton, D. M. (1988). Grizzly bears and resource-extraction industries: effects of roads on behaviour, habitat use and demography. Journal of Applied Ecology, 25, 451-460.
McLellan, B. N. (2011). Implications of a high-energy and low-protein diet on the body composition, fitness, and competitive abilities of black (Ursus americanus) and grizzly (Ursus arctos) bears. Canadian Journal of Zoology, 89(6), 546-558.
McLellan, B. N. (2015). Some mechanisms underlying variation in vital rates of grizzly bears on a multiple use landscape. The Journal of Wildlife Management, 79(5), 749-765.
Merrill, T., Mattson, D. J., Wright, R. G., & Quigley, H. B. (1999). Defining landscapes suitable for restoration of grizzly bears Ursus arctos in Idaho. Biological Conservation, 87(2), 231-248.
Merrill, T., & Mattson, D. (2003). The extent and location of habitat biophysically suitable for grizzly bears in the Yellowstone region. Ursus, 14, 171-187.
Merton, R. K. (1973). The sociology of science: Theoretical and empirical investigations. University of Chicago press.
Middleton, A. D., Morrison, T. A., Fortin, J. K., Robbins, C. T., Proffitt, K. M., White, P. J., ... & Kauffman, M. J. (2013). Grizzly bear predation links the loss of native trout to the demography of migratory elk in Yellowstone. Proceedings of the Royal Society of London B: Biological Sciences, 280(1762), 20130870.
Middleton, A. D., Kauffman, M. J., McWhirter, D. E., Cook, J. G., Cook, R. C., Nelson, A. A., ... & Klaver, R. W. (2013). Animal migration amid shifting patterns of phenology and predation: lessons from a Yellowstone elk herd. Ecology, 94(6), 1245-1256.
Miller, C.R., Waits, L.P., & Joyce, P. (2006). Phylogeography and mitochondrial diversity of extirpated brown bear (Ursus arctos) populations in the contiguous United States and Mexico. Molecular ecology, 15(14), 4477-4485.
Miller, B. W., Frid, L., Chang, T., Piekielek, N., Hansen, A. J., & Morisette, J. T. (2015). Combining state-and-transition simulations and species distribution models to anticipate the effects of climate change. AIMS Environ Sci, 2, 400-426.
Morgan, J. A., Milchunas, D. G., LeCain, D. R., West, M., & Mosier, A. R. (2007). Carbon dioxide enrichment alters plant community structure and accelerates shrub growth in the shortgrass steppe. *Proceedings of the National Academy of Sciences*, 104(37), 14724-14729.
Mowat, G., Heard, D. C., & Schwarz, C. J. (2013). Predicting grizzly bear density in western North America. *PloS one*, 8(12), e82757.
Nakagome, S., Mano, S., & Hasegawa, M. (2013). Ancestral polymorphisms and sex-biased migration shaped the demographic history of brown bears and polar bears. *PloS one*, 8(11), e78813.
Nielsen, S. E., Stenhouse, G. B., & Boyce, M. S. (2006). A habitat-based framework for grizzly bear conservation in Alberta. *Biological Conservation*, 130(2), 217-229.
Nielsen, S. E., Cranston, J., & Stenhouse, G. B. (2009). Identification of priority areas for grizzly bear conservation and recovery in Alberta, Canada. *Journal of Conservation Planning*, 5, 38-60.
Northrup, J. M., Stenhouse, G. B., & Boyce, M. S. (2012). Agricultural lands as ecological traps for grizzly bears. *Animal Conservation*, 15(4), 369-377.
Nyakatura, K., & Bininda-Emonds, O. R. (2012). Updating the evolutionary history of Carnivora (Mammalia): a new species-level supertree complete with divergence time estimates. *BMC biology*, 10(1), 1.
O’Brien, S.L., & F.G. Lindzey (1994). Grizzly bear use of moth aggregation sites and summer ecology of the army cutworm moth in the Absaroka Mountains, Wyoming: final report. Laramie, Wyo.: Wyoming Cooperative Fish and Wildlife Research Unit, University of Wyoming
O'Brien, S.L., & F.G. Lindzey (1998). Aerial sightability and classification of grizzly bears at moth aggregation sites in the Absaroka Mountains, Wyoming. *Ursus*, 10, 427-435.
Pages, M., Calvignac, S., Klein, C., Paris, M., Hughes, S., & Hänni, C. (2008). Combined analysis of fourteen nuclear genes refines the Ursidae phylogeny. *Molecular phylogenetics and evolution*, 47(1), 73-83.
Parker, K. L., Barboza, P. S., & Gillingham, M. P. (2009). Nutrition integrates environmental responses of ungulates. *Functional ecology*, 23(1), 57-69.
Parks, S. A., Miller, C., Abatzoglou, J. T., Holsinger, L. M., Parisien, M. A., & Dobrowski, S. Z. (2016). How will climate change affect wildland fire severity in the western US?. *Environmental Research Letters*, 11(3), 035002.
Pauli, H., Gottfried, M., & Grabherr, G. (1996). Effects of climate change on mountain ecosystems—upward shifting of alpine plants. *World resource review*, 8(3), 382-390.
Pauli, H., Gottfried, M., & Grabherr, G. (2003). Effects of climate change on the alpine and nival vegetation of the Alps. Journal of mountain ecology, 7(Suppl), 9-12.
Pearson, R. G. (2006). Climate change and the migration capacity of species. Trends in Ecology & Evolution, 21(3), 111-113.
Pease, C. M., & Mattson, D. J. (1999). Demography of the Yellowstone grizzly bears. Ecology, 80(3), 957-975.
Pederson, G. T., Graumlich, L. J., Fagre, D. B., Kipfer, T., & Muhlfeld, C. C. (2010). A century of climate and ecosystem change in Western Montana: what do temperature trends portend?. Climatic change, 98(1-2), 133-154.
Pickering, A. (1992). Science as practice and culture. University of Chicago Press.
Pilkey, O. H., & Pilkey-Jarvis, L. (2007). Useless arithmetic: why environmental scientists can't predict the future. Columbia University Press.
Polley, H. W., Mayeux, H. S., Johnson, H. B., & Tischler, C. R. (1997). Viewpoint: atmospheric CO2, soil water, and shrub/grass ratios on rangelands. Journal of Range Management, 50, 278-284.
Popper, K. R. (1959). The logic of scientific discovery. London: Hutchinson.
Proffitt, K. M., Grigg, J. L., Hamlin, K. L., & Garrott, R. A. (2009). Contrasting effects of wolves and human hunters on elk behavioral responses to predation risk. The Journal of Wildlife Management, 73(3), 345-356.
Proffitt, K. M., Cunningham, J. A., Hamlin, K. L., & Garrott, R. A. (2014). Bottom-up and top-down influences on pregnancy rates and recruitment of northern Yellowstone elk. The Journal of Wildlife Management, 78(8), 1383-1393.
Raithel, J. D., Kauffman, M. J., & Pletscher, D. H. (2007). Impact of spatial and temporal variation in calf survival on the growth of elk populations. The Journal of wildlife management, 71(3), 795-803.
Rausch, R. L. (1963). Geographic variation in size in North American brown bears, Ursus arctos L., as indicated by condylobasal length. Canadian Journal of Zoology, 41(1), 33-45.
Rehfeldt, G. E., Crookston, N. L., Warwell, M. V., & Evans, J. S. (2006). Empirical analyses of plant-climate relationships for the western United States. International Journal of Plant Sciences, 167(6), 1123-1150.
Rehfeldt, G. E., Crookston, N. L., Sáenz-Romero, C., & Campbell, E. M. (2012). North American vegetation model for land-use planning in a changing climate: a solution to large classification problems. Ecological Applications, 22(1), 119-141.
Reinhart, D. P., & Mattson, D. J. (1990). Bear use of cutthroat trout spawning streams in Yellowstone International Conference on Bear Research & Management, 8, 343-350.
Rice, J., Tredennick, A., & Joyce, L. A. (2012). Climate change on the Shoshone National Forest, Wyoming: a synthesis of past climate, climate projections, and ecosystem implications. US Forest Service, General Technical Report RMRS-GTR-264.
Robbins, C. T., Fortin, J. K., Rode, K. D., Farley, S. D., Shipley, L. A., & Felicetti, L. A. (2007). Optimizing protein intake as a foraging strategy to maximize mass gain in an omnivore. Oikos, 116(10), 1675-1682.
Robbins, C. T., Lopez-Alfaro, C., Rode, K. D., Tøien, Ø., & Nelson, O. L. (2012). Hibernation and seasonal fasting in bears: the energetic costs and consequences for polar bears. Journal of Mammalogy, 93(6), 1493-1503.
Rode, K. D., & Robbins, C. T. (2000). Why bears consume mixed diets during fruit abundance. Canadian Journal of Zoology, 78(9), 1640-1645.
Rode, K. D., Robbins, C. T., & Shipley, L. A. (2001). Constraints on herbivory by grizzly bears. Oecologia, 128(1), 62-71.
Romme, W.H., & M.G. Turner (1991). Implications of global climate change for biogeographic patterns in the Greater Yellowstone Ecosystem. Conservation Biology, 5(3), 373-386.
Rosenbaum, P. R. (1984). From association to causation in observational studies: The role of tests of strongly ignorable treatment assignment. Journal of the American Statistical Association, 79(385), 41-48.
Ruzyccki, J. R., Beauchamp, D. A., & Yule, D. L. (2003). Effects of introduced lake trout on native cutthroat trout in Yellowstone Lake. Ecological Applications, 13(1), 23-37.
Saarma, U., Ho, S. Y., Pybus, O. G., Kaljuste, M., Tumanov, I.L., Kojola, I., ... & Lyapunova, E. A. (2007). Mitogenetic structure of brown bears (Ursus arctos L.) in northeastern Europe and a new time frame for the formation of European brown bear lineages. Molecular Ecology, 16(2), 401-413.
Salomashkina, V.V., Kholodova, M.V., Tuten’kov, O.Y., Moskvitina, N.S., & Erokhin, N.G. (2014). New data on the phylogeography and genetic diversity of the brown bear Ursus arctos Linnaeus, 1758 of Northeastern Eurasia (mtDNA control region polymorphism analysis). Biology Bulletin, 41(1), 38-46.
Schlaepfer, M. A., Runge, M. C., & Sherman, P. W. (2002). Ecological and evolutionary traps. Trends in Ecology & Evolution, 17(10), 474-480.
Schrag, A. M., Bunn, A. G., & Graumlich, L. J. (2008). Influence of bioclimatic variables on tree-line conifer distribution in the Greater Yellowstone Ecosystem: Implications for species of conservation concern. Journal of Biogeography, 35(4), 698-710.
Schwartz, C. C., Haroldson, M. A., Gunther, K. A., & Moody, D. (2006). Distribution of grizzly bears in the Greater Yellowstone Ecosystem in 2004. *Ursus*, 17(1), 63-66.
Schwartz, C. C., Haroldson, M. A., White, G. C., Harris, R. B., Cherry, S., Keating, K. A., … & Servheen, C. (2006). Temporal, spatial, and environmental influences on the demographics of grizzly bears in the Greater Yellowstone Ecosystem. *Wildlife Monographs*, 161(1).
Schwartz, C. C., Haroldson, M. A., & White, G. C. (2010). Hazards affecting grizzly bear survival in the Greater Yellowstone Ecosystem. *The Journal of Wildlife Management*, 74(4), 654-667.
Schwartz, C. C., Gude, P. H., Landenburger, L., Haroldson, M. A., & Podruzny, S. (2012). Impacts of rural development on Yellowstone wildlife: linking grizzly bear *Ursus arctos* demographics with projected residential growth. *Wildlife Biology*, 18(3), 246-257.
Schwartz, C. C., Fortin, J. K., Teisberg, J. E., Haroldson, M. A., Servheen, C., Robbins, C. T., & Van Manen, F. T. (2014). Body and diet composition of sympatric black and grizzly bears in the Greater Yellowstone Ecosystem. *The Journal of Wildlife Management*, 78(1), 68-78.
Shields, G. F., Adams, D., Garner, G., Labelle, M., Pietsch, J., Ramsay, M., … & Williamson, S. (2000). Phylogeography of mitochondrial DNA variation in brown bears and polar bears. *Molecular phylogenetics and evolution*, 15(2), 319-326.
Simard, M., Powell, E. N., Raffa, K. F., & Turner, M. G. (2012). What explains landscape patterns of tree mortality caused by bark beetle outbreaks in Greater Yellowstone?. *Global Ecology and Biogeography*, 21(5), 556-567.
Sommer, R. S., & Benecke, N. (2005). The recolonization of Europe by brown bears *Ursus arctos* Linnaeus, 1758 after the Last Glacial Maximum. *Mammal Review*, 35(2), 156-164.
Stavros, E. N., Abatzoglou, J. T., McKenzie, D., & Larkin, N. K. (2014). Regional projections of the likelihood of very large wildland fires under a changing climate in the contiguous Western United States. *Climatic Change*, 126(3-4), 455-468.
Stokes, C. R., Tarasov, L., & Dyke, A. S. (2012). Dynamics of the North American Ice Sheet Complex during its inception and build-up to the Last Glacial Maximum. *Quaternary Science Reviews*, 50, 86-104.
Strzepek, K., Yohe, G., Neumann, J., & Boehlert, B. (2010). Characterizing changes in drought risk for the United States from climate change. *Environmental Research Letters*, 5(4), 044012.
Swenson, J. E., Sandegren, F., Brunberg, S., Segerström, P., & Segerstrøm, P. (2001a). Factors associated with loss of brown bear cubs in Sweden. *Ursus*, 12, 69-80.
Swenson, J. E., Dahle, B., & Sandegren, F. (2001b). Intraspecific predation in Scandinavian brown bears older than cubs-of-the-year. *Ursus*, 12, 81-91.
Syslo, J. M., Guy, C. S., Bigelow, P. E., Doepke, P. D., Ertel, B. D., & Koel, T. M. (2011). Response of non-native lake trout (*Salvelinus namaycush*) to 15 years of harvest in Yellowstone Lake, Yellowstone National Park. *Canadian Journal of Fisheries and Aquatic Sciences*, 68(12), 2132-2145.
Taberlet, P., & Bouvet, J. (1994). Mitochondrial DNA polymorphism, phylogeography, and conservation genetics of the brown bear *Ursus arctos* in Europe. *Proceedings of the Royal Society of London B: Biological Sciences*, 255(1344), 195-200.
Teisberg, J. E., Haroldson, M. A., Schwartz, C. C., Gunther, K. A., Fortin, J. K., & Robbins, C. T. (2014). Contrasting past and current numbers of bears visiting Yellowstone cutthroat trout streams. *The Journal of Wildlife Management*, 78(2), 369-378.
Tercek, M., Rodman, A., & Thoma, D. (2015). Trends in Yellowstone’s Snowpack. *Yellowstone Science*, 23(1), 20.
Testa, J. W. (2004). Interaction of top-down and bottom-up life history trade-offs in moose (*Alces alces*). *Ecology*, 85(5), 1453-1459.
Tranquillini, W. (1964). The physiology of plants at high altitudes. *Annual Review of Plant Physiology*, 15, 345-362.
US Forest Service (2006). Forest plan amendment for grizzly bear habitat conservation for the Greater Yellowstone area National Forests: Final Environmental Impact Statement. US Department of Agriculture, Forest Service.
Valdiosera, C. E., García, N., Anderung, C., Dalén, L., Cregut-Bonnoure, E., Kahlke, R. D., ... & Götherström, A. (2007). Staying out in the cold: glacial refugia and mitochondrial DNA phylogeography in ancient European brown bears. *Molecular Ecology*, 16(24), 5140-5148.
van Manen, F. T., Ebinger, M. R., Haroldson, M. A., Harris, R. B., Higgs, M. D., Cherry, S., ... & Schwartz, C. C. (2014). Re-Evaluation of Yellowstone Grizzly Bear Population Dynamics not Supported by Empirical Data: Response to Doak & Cutler. *Conservation Letters*, 7(3), 323-331.
van Manen, F. T., Haroldson, M. A., Bjornlie, D. D., Ebinger, M. R., Thompson, D. J., Costello, C. M., & White, G. C. (2015). Density dependence, whitebark pine, and vital rates of grizzly bears. *The Journal of Wildlife Management*, 80, 300-313.
Vucetich, J. A., Smith, D. W., & Stahler, D. R. (2005). Influence of harvest, climate and wolf predation on yellowstone elk, 1961-2004. *Oikos*, 111(2), 259-270.
Waits, L., Paetkau, D., Strobeck, C., & Ward, R. H. (1998). A comparison of genetic diversity in North American brown bears. *Ursus*, 307-314.
Waits, L. P., Sullivan, J., O'Brien, S. J., & Ward, R. H. (1999). Rapid radiation events in the family Ursidae indicated by likelihood phylogenetic estimation from multiple fragments of mtDNA. *Molecular phylogenetics and evolution, 13*(1), 82-92.
Walther, G. R., Beißner, S., & Burga, C. A. (2005). Trends in the upward shift of alpine plants. *Journal of Vegetation Science, 16*(5), 541-548.
Warwell, M. V., Rehfeldt, G. E., & Crookston, N. L. (2006). Modeling contemporary climate profiles of whitebark pine (Pinus albicaulis) and predicting responses to global warming. *Proceedings of the Conference Whitebark Pine: A Pacific Coast Perspective, US Forest Service R6-NR-FHP-2007-01*, 139-142.
Weed, A. S., Ayres, M. P., & Hicke, J. A. (2013). Consequences of climate change for biotic disturbances in North American forests. *Ecological Monographs, 83*(4), 441-470.
Welch, C. A., Keay, J., Kendall, K. C., & Robbins, C. T. (1997). Constraints on frugivory by bears. *Ecology, 78*(4), 1105-1119.
Wenger, S. J., Isaak, D. J., Luce, C. H., Neville, H. M., Fausch, K. D., Dunham, J. B., … & Hamlet, A. F. (2011). Flow regime, temperature, and biotic interactions drive differential declines of trout species under climate change. *Proceedings of the National Academy of Sciences, 108*(34), 14175-14180.
Westerling, A. L., M. G. Turner, E. A. Smithwick, W. H. Romme, & M. G. Ryan. 2011. Continued warming could transform greater Yellowstone fire regimes by mid-21st century. *Proceedings of the National Academy of Sciences, 108*(32), 13165-13170.
Williams, J. E., Haak, A. L., Neville, H. M., & Colyer, W. T. (2009). Potential consequences of climate change to persistence of cutthroat trout populations. *North American journal of fisheries management, 29*(3), 533-548.
White, D., Jr., K.c. Kendall, H.D. Picton (1998a) Grizzly bear feeding activity at alpine army cutworm moth aggregation sites in northwest Montana. *Can J Zool 76*: 221-227.
White, Jr., D., Kendall, K. C., & Picton, H. D. (1998b). Seasonal occurrence, body composition, and migration potential of army cutworm moths in northwest Montana. *Canadian journal of zoology, 76*(5), 835-842.
White, P. J., Wallen, R. L., Geremia, C., Treanor, J. J., & Blanton, D. W. (2011). Management of Yellowstone bison and brucellosis transmission risk—Implications for conservation and restoration. *Biological Conservation, 144*(5), 1322-1334.
Wright, G. J., Peterson, R. O., Smith, D. W., & Lemke, T. O. (2006). Selection of northern Yellowstone elk by gray wolves and hunters. *Journal of Wildlife Management, 70*(4), 1070-1078.
Wyoming Game & Fish Department (2015). Draft Wyoming Game and Fish Department chronic wasting disease management plan. Wyoming Game & Fish Department, Cheyenne.
Wyoming Game & Fish Department (2016). Wyoming Game and Fish Department 2015 Chronic Wasting Disease Surveillance. Wyoming Game & Fish Department, Wildlife Health Laboratory, Cheyenne.
Yu, L., Li, Q. W., Ryder, O. A., & Zhang, Y. P. (2004). Phylogeny of the bears (Ursidae) based on nuclear and mitochondrial genes. Molecular phylogenetics and evolution, 32(2), 480-494.
Zager, P., & Beecham, J. (2006). The role of American black bears and brown bears as predators on ungulates in North America. Ursus, 17(2), 95-108.
Attachment 2. Primer on Nutritional Ecology of Bears
to accompany
David J. Mattson, Ph.D., Wyoming Wildlife Advocates, Comments on the US Fish & Wildlife Service proposal to remove grizzly bears in the Yellowstone ecosystem from the list of endangered and threatened wildlife protected under the US Endangered Species Act (ESA); Federal Register 81(48): 13174-13227; And Related Materials
Digestion
Bears are omnivores, which simply means that they eat a varied diet potentially comprised of either almost wholly meat or almost wholly vegetation. Yet they have the simple monogastric digestive tract of a carnivore lacking specialized chambers able to sustain anaerobic fermentation by symbiotic microbes. More to the point, they lack a rumen and a cecum, although there is evidence of some microbial fermentation in the bears' simple large intestine. As a result, they obtain little nutritional benefit from the fiber that they ingest. This fiber can comprise 10-30% of the foliage they graze or browse, which means, in turn, that their most digestible foods consist of those rich in either digestible protein or fat or containing high concentrations of simpler carbohydrates such as fructose, sucrose, or starch.
Comparative digestion in bears & herbivores
Figure 1 illustrates the general digestive plight—or strategy—of bears in contrast to fore- and hindgut fermenters (i.e., ruminants and non-ruminants), as well as in comparison to other carnivores. This graph illustrates the relative digestibility of several broad categories of foods by bears and other taxa (with percent digestibility shown as medians and interquartile ranges). For the purposes here, bears are parsed out in different ways, with giant pandas and grizzly bears differentiated for illustrating digestion of foliage and roots, and all bears lumped together as "ursids" for illustrating digestion of meat. These data come from multiple sources.
The basic patterns are pretty obvious. Bears are as well able as any other carnivore to digest most of the meat they eat--around 90% plus. By contrast, grizzly bears digest roughly 20% less of the foliage they consume compared to ruminants and 10% less when compared to non-ruminant herbivores. Starchy roots are digested by grizzly bears with about the same efficiency as foliage is digested by ruminants—which makes roots a comparatively beneficial vegetal food for bears, at least when reckoned simply in terms of digestibility.
But the other key element of a digestive strategy is not just how well an animal can digest a given gram of ingested food, but also how many grams are being ingested in total. In other words, an animal can compensate to some extent for low digestibility by increasing the throughput of ingested food, which seems to be the strategy adopted by bears, especially giant pandas.
Figure 2 illustrates this pattern. Again, broad categories of animals are differentiated with non-ruminant herbivores separated by whether most fermentation of fiber occurs is the cecum versus the colon. Bears (i.e., ursids) are differentiated by whether they are ingesting foliage and fruit versus wholly meat. The top graph shows the rate at which these different types of animals ingest food, standardized to metabolism-corrected body mass, whereas the bottom graph shows the mean time that digesta is retained in the digestive tract (i.e., gut; the inverse of the rapidity of transit).
All of this suggests that, when possible, bears ingest vegetal material at a higher rate and retain it for a far shorter period of time compared to specialized
herbivores, especially in contrast to foregut fermenters (i.e., ruminants). This would partly compensate for the lower efficiency with which bears digest most vegetal food. By contrast, bears ingest meat at a slow rate and retain it for roughly twice as long as they do their vegetal food. For the high digestibility of meat to be realized, bears probably need to retain it longer in the digestive tract, but still not as long as herbivores dependent on fermentation retain foliage or browse. Meat also probably passes through the gut more slowly simply because there is less accompanying fiber to hasten it along compared to when bears eat vegetation.
**Specific foods**
In keeping with the broad patterns described above, the digestibilities of specific bear foods vary widely. Emblematic of this, Figure 3 shows the percent of energy contained in different foods that is digested by grizzly bears (the black, gray, and white dots). The varying shades of gray, from black to white, correspond to digestibilities during different seasons in instances where there is documented seasonal variability: black for spring, dark gray for estrus, light gray for early hyperphagia, and white for late hyperphagia. The reddish dots represent the percent of each food that is comprised of protein, again with seasonal variation denoted by varying shades: bright red for year-round or spring values; burgundy for mid-season; and white for late-season. All of these foods are specific to the Yellowstone ecosystem.
**Figure 3.** Percent digestible energy and percent protein for different grizzly bear foods common to the Yellowstone ecosystem.
Meat from any source is more digestible than other types of food. Roots, insects, and fruits and seeds are of comparable digestability, but with roots and fruits offering far less protein. Most of the digestable energy in these vegetal foods is contained in sugars and starches, with the proviso that much of the protein in ants, in particular, is bound up in chitin. Finally, the digestible energy in foliage varies widely, with forbs such as clover, fireweed, and dandelion offering the most, and elk thistle, horsetail, and grasses and sedges (i.e., graminoids) the least.
As a final note on Figure 3: The pinkish horizontal band corresponds to the optimal level of protein in bear diets; the point being that grizzlies would be hard-pressed to maintain an optimal level of protein intake if they subsisted solely on vegetal foods, especially roots, fruits, and seeds.
Protein & Energy Effects
Nutrition obviously entails more than just the digestibilities of different foods. The absolute and relative amounts of various macronutrients (e.g., proteins, lipids, and carbohydrates) are critical elements of nutrition, as are the absolute and relative amounts of digestible energy. Even though all of these additional nutrient-related aspects of nutrition are correlated with the digestion of various foods in the gut, there are additional consequences that play out through metabolic processes involved in the creation and use of body protein, fat, and glucose—i.e., protein biosynthesis and proteolysis, lipogenesis and lipolysis, and gluconeogenesis and glycolysis. Moreover, the density of digestible energy in foods matters for reasons that transcend simple nutrient composition. Resting metabolism varies widely in close synchrony with nutrient-specific processes and related energy expenditure—with consequences for levels of heat production in the body (i.e., thermogenesis).
The net result of all of this is not only variation in the efficiencies of energy, protein, lipid, and glucose metabolisms, but also variation in the composition, efficiency, and total level of body mass accretion or loss. Different combinations of relative and absolute amounts of protein, fat, carbohydrates, and digestible energy in the diet can determine whether an animal gains or loses body mass, and whether that mass gain or loss is comprised of lean body mass or fat reserves.
With respect to bears, then, this amounts to a lot of complexity when it comes to understanding the ramifications of different diets.
Efficiencies, protein, & growth
Given that a bear eats a diet containing ample digestible energy (say 800 kcal per kg raised to the 0.75 power per day), it turns out that there can be both too little and too much protein when it comes to efficiencies of gain in body mass. The graphs in figure 4 are relevant to this point, adapted from those in a paper on which Joy Erlenbach was lead author—a paper in which she synthesized a lot of research specific to bear nutrition. Each figure features a bunch of dots of two different colors corresponding to the metabolic and accretional consequences for bears fed diets comprised of different macronutrients, including diets rich in protein or carbohydrates (salmon colored) as well as diets rich in protein or fat (burgundy).
Figure 4. Effects of dietary protein content on (A) efficiency of mass gain, (B) energetic maintenance costs, and (C) rate of mass gain by grizzly bears fed diets of different protein content.
The main points? The top figure (A) shows that the efficiency of weight gain rises rapidly to a peak as diet protein increases from roughly 1% to 15% and then gradually declines, all of this with the density of diet energy remaining roughly the same. Correspondingly, the middle figure (B) illustrates a decline in resting metabolism (i.e., energetic costs of maintaining the body) as diet protein increases from 1% to roughly 30%, after which maintenance costs increase. When you put these two trends together you get the bottom figure (C) which shows the predicted total rate of gain per kg of body mass, standardized to the expected basal metabolic rate for carnivores (i.e., raised to the 0.75 power); a rapid rise as diet protein increases, followed by a steady decline.
It turns out that the predicted level of diet protein at which rates of gain in body mass peaks (roughly 21%) corresponds almost exactly with the mean diet protein content of diets selected by bears when given a free choice of what to eat (22% plus or minus 6%)—shown by the large burgundy dot and horizontal error bars in figure 4C.
From this a person could conclude that the optimal protein content of a bear’s aggregate diet is around 22%, at least as far as growth of body mass is concerned—and without considering whether that growth is primarily in terms of lean body mass or fat; but with some important provisos. This rule of thumb for diet protein holds for a given energy concentration in the diet (in this case, around 800 kcal/kg 0.75/day) and for bears of intermediate body size. But bear size does affect nutrition in several ways, as does energy concentration of the diet (see below).
This all begs the question of why a diet protein content of around 20% yields greater growth rates than, say, 60%—all of this, of course, standardized to a given volumetric intake and to the metabolic rate expected at a given body mass. As a start, all else equal, elevated diet protein causes greater heat production in the body compared to elevated carbohydrates or fats. This thermic effect is called diet-induced thermogenesis (DIT). Much of this elevation in metabolic rate (as shown in figure 4B, above) is attributable to the thermic properties of protein synthesis, including increased heat production and reduced energetic efficiency. Depending on total diet composition, some of the increased heat production associated with a high-protein-content diet can be attributable to heightened formation of glucose (gluconeogenesis) above and beyond what would occur with a high-carb diet.
What about the effects of too little protein? Generally speaking, if a bear’s diet is deficient in protein, it compensates by increasing the volume of intake, usually of foods rich in carbohydrates (think berries and roots; see Digestion). But the results above pertain to an isocaloric intake, that is, a constant or equal intake of calories. So the results explicitly pertain to differences in diet composition, not amount of energy intake. As figure 4B above shows, the metabolic rate of bears fed a low-protein diet increases substantially, which, because of the resulting increased energy expenditure, leads to decreased absolute and relative rates of gain in body mass. Why? Ultimately, because an increased proportionate consumption of fats or carbohydrates when bears are fed a diet low in protein leads to a chain of energy consumptive phenomena. The sympathetic nervous system is stimulated, which increases production of the hormone norepinephrine, which stimulates brown adipose tissue metabolism, which results in an elevated metabolic rate; in the end, more energy expenditure and less weight gain.
**Intake, protein, and growth**
At this point it is worth looking at what happens (unlike above) when the amount of dry matter ingested and digested by bears varies, adding to this variation in diet protein content. And, of course, the complement to variation in diet protein is complementary variation in diet fat or carbohydrates.
The graphs in figure 5 summarize the results of several studies done in Charlie Robbins’ lab, unified by a design that allowed bears to eat different amounts of digestable dry matter (the horizontal or x axis) while measuring responses in terms of change in body mass—i.e., growth (the vertical or y axis). All of this is standardized to the metabolism-corrected mass of the involved bear and considers diets with different amounts of protein, ranging from berries (3-4%) to deer and salmon (nearer 70% or more). In addition to the data points and curves describing the response in mass gain to variation in dry matter intake I’ve also benchmarked where each curve transitions from mass loss to mass gain (the vertical gray line).
The basic patterns are pretty obvious. In all instances weight gain tends to plateau (i.e., tends towards an asymptote) as intake increases. At some point, increased intake does not yield increased mass gain; the bears reach the limits imposed by internal metabolic processes. But this plateau is considerably higher (45-60 g per kg raised to 0.75 per day) for meat diets (B) compared to vegetal diets (nearer 20 g; A). Even so, the transition from weight loss to weight gain is similar (around 20-40 standardized ingested grams) for meat diets and vegetal diets having at least 12-18% protein content, the latter of which is within the lower range of optimal (see above). The biggest deviant is the low-protein-content diet comprised of berries. Weight gain only occurs when the standardized volumetric intake is high—in excess of 80 g, which is roughly 2-4 times higher than for other diets.
The implications? Even given the standardized metabolic inefficiencies associated with a protein-rich diet shown in figure 4, bears can grow much more rapidly on such a diet, especially if they have access to large volumes. The most notable example of this circumstance would be along salmon spawning streams during the height of spawning runs, which is why we see very large coastal brown bears. By contrast, bears with access primarily to berries have to eat relatively large volumes to gain mass and, even so, the potential for growth is relatively limited. This holds for bears in the interior regions of British Columbia, northeast Washington, northern Idaho, and northwest Montana. One important proviso to all of this is that there is no distinction made regarding the tissues in which weight gain occurs, principally whether in fat or lean body mass, which introduces the next topic.
**Intake, protein, energy, & composition of growth**
So a key question is whether the location of accreted (or lost) of body mass is as fat or lean tissue. Of relevance to this question, the graphs in figure 6 show differences in allocation of gain (or loss) for diets of two different protein contents: a berry diet comprised of 1.6-3.5% protein in A, and a mixed diet comprised of 15.4% protein in B. The red dots and associated trend line show changes in lean body mass (LBM) for each diet; the orange dots and associated trend line, changes in body fat.
All of the gain in body mass at a very low diet protein is as fat (A), whereas the majority of gain at moderate diet protein is in lean body mass (B). Moreover, bears eating a very-low-protein diet consistently lose lean body mass, which is an untenable situation. An important note: These patterns are as much a reflection of the fact that a vegetal diet low in protein (as in A) is necessarily rich in carbohydrates, whether glucose, sucrose, or starch (see Digestion). So the patterns in these figures reflect not only protein metabolism but also metabolic processes associated with varying concentrations of digestible carbohydrates, especially related to lipogenesis and protein biosynthesis.
The implication? If a bear, eat a diet rich in carbohydrates and get fat while potentially losing lean body mass. Admix some amount of protein in the diet and you will maintain if not gain lean body mass. So a carbohydrate-rich diet with enough protein to maintain LBM makes more sense for a female needing to put on fat to reproduce; protein more sense for a male needing to grow physically large, which fits patterns of dimorphism among bears.
So now bring *diet energy*, as such, into the picture, and slightly recast the dynamics of total intake per day, at least for protein. Figure 7 shows the relation between standardized accretion of body fat and standardized ingestion of energy—regardless of the contributing macronutrient. And this for various diets comprised of very low (1.6-3.5%, the pink dots) and closer to optimum (15.4%, the red dots) concentrations of protein. In short, as intake of energy increases, so does accumulation of body fat. But more importantly, bears tend to gain more
body fat (as above) on diets low in protein content, which is tantamount to saying on diets rich in either carbohydrates or fats. In fact, high-fat diets contain the highest concentrations of digestible energy, which translates into high rates of body fat gain.
Figure 8 illustrates an interesting phenomenon. Even when bears eat a diet increasingly rich in calories, overall intake of energy, standardized to body mass, doesn't correspondingly increase, especially once a threshold of 1 kcal of digestible energy per gram of fresh food is reached. This is most clearly illustrated in figure 8B; figure 8A shows the same trend standardized to body mass as percent of total mass.
Just to be clear, larger bears can and do ingest more absolute amounts of digestible energy during a given day, even as the digestible energy in the food they eat increases from 1 to 2 and even 4 kcal per gram. The point is that the energy *per kg of mass* doesn't increase and, as a percentage of total mass, even decreases, which pertains to efficiencies as much as anything.
To put this another way, a diet richer per gram in digestible energy--as would be the case with a diet rich in fat or protein--doesn't necessarily translate into a lot more digested energy for any kg of mass that a bear might be carting around. Related back to digestion, this pattern fits the much lower rates of transit and accompanying higher rates of digestion for ingested food for bears fed a diet of meat.
I conclude this section on the effects of nutrients, per se, with a few points that are either not adequately encompassed by the data presented above or that simply need additional clarification, and then end by quoting an elegant synopsis of nutritional fundamentals for bears that was included by Joy Erlenbach in her 2014 paper.
First, diets comprised solely of fruit are a potential problem for bears, especially if the involved bear is large in size. The low protein content and high glucose or fructose content of fruit diets require bears to eat exceptionally large volumes just to maintain LBM, but with resulting high rates of energy intake. This energy either needs to be dissipated as heat (diet-induced thermogenesis) or converted to body fat through lipogenesis, which is notably elevated on diets rich in fructose--one of the main sugars in blue- and blackberries. Large bears are notably much less efficient than small bears at harvesting any given concentration of fruit, which means that mass standardized consumption of fruit is maximized for large bears at rates far less than what they need to meet protein and even energy requirements. Hence, fruit-eating is more often a strategy of smaller bears or bear species (e.g., juveniles, females, and black bears) than it is of those that are larger (e.g., adult males and grizzly bears; for more on
the implications of size see *Foraging efficiency* and *Body mass effects* below).
Second, bears prefer fat-rich foods and diets. In instances where captive bears had free access to diets of different composition they ended up eating diets from which they obtained roughly 68% of metabolisable energy from fats. Fats provide the highest concentrations of digestible energy of all macronutrients and are, in turn, the most efficiently converted of any to body fat. And ample body fat, to the point of obesity, is a center-piece of the bear life strategy. Moreover, unlike diets rich in protein or carbohydrates, diets rich in fat do not trigger auto-regulatory reductions in intake, which also contributes to high rates of body fat accumulation on high-fat diets. Or, put another way, diets comprised mostly of protein or carbohydrates are not optimal for most bears.
Third, related to the points immediately above, bears are energy maximizers. In fact, as noted by Joy Erlenbach,
bears exhibit some of the highest levels of standardized energy intake observed for any mammal. When offered unlimited access to food these rates can be twice what some early researchers such as James Kirkwood considered to be the maximum rate likely or possible, and up to 18 times greater than the expected basal metabolic rate for carnivores, which is a lot of energy.
In conclusion, quoting Joy Erlenbach, bears live by three "rules" when it comes to intake of energy and nutrients:
(1) Maximize energy intake while optimizing dietary protein intake.
(2) Select lipids over digestible carbohydrates, which reduces dietary protein while maximizing food energy density.
(3) If lipids are not available, use digestible carbohydrates to optimize diet protein.
**Body Mass Effects**
The relationship shown in figure 9 is an interesting and compelling introduction to the effects of body mass on foraging efficiencies and weight gain of bears. Each dot represents the results of a controlled experiment involving one bear allowed free access to different kinds of foods. All of these data, again, are thanks to research by Dr. Charles Robbins and his graduate students at Washington State University.
**Figure 9. Total ad libitum fresh food intake as a function of mass of the involved bear.**
At one level, figure 9 shows something that might be considered self-evident: larger bears tend to ingest greater volumes when given unlimited access to food. But, then, they would need to given their greater energetic needs, even accounting for the lower rate at which metabolic needs increase relative to each increment of body mass (at roughly the 0.75 power). Energy consumption, even at rest, increases nonetheless.
But the interesting thing is that the rate at which intake increases varies substantially among foods, but especially for berries in contrast to everything else. You might expect intake of protein-rich foods such as deer or salmon to increase at a lesser rate as body mass increases. Each gram of such a food delivers a substantial amount of digested energy entailing a comparatively slow rate of passage through the gut, with gut length and passage rate scaling at less than a 1:1 rate with body size (see *Digestion*). And intake of deer is probably less than intake of salmon at any given body mass because of the comparatively greater effort required to process a gram of tissue from a deer compared to a more easily ingested and chewed gram of fish.
It would be reasonable to expect that intake of foliage would increase at roughly the same rate as intake of berries given that both of these are vegetal foods. So, why is the intake of foliage so depressed compared to berries for large bears? For the answer, see the section below on *Foraging Efficiencies*. But, in short, when bears graze, ingestion is partly limited by the time it takes to chew a mouthful of fibrous foliage, which means that bite rate drops as a function of bite size; which means
that bears need large standing volumes of tall-statured foliage to increase total ingested volumes in defiance of the limits imposed by chewing time—which rarely happens.
Insofar as berries are concerned, figure 9 only pertains to bears offered unlimited access to food. Which begs the question of why such large volumes are ingested as body mass increases? Unlike with foliage, processing time for berries, once ingested, is not of great consequence. Moreover, bears are highly motivated to ingest large volumes of protein-deficient berries (see Digestion) in an effort to meet their protein requirements, but with a resulting glut of digested energy which is either expended as heat or stored as body fat (see the section above on Protein and Energy Effects).
But where things get really interesting is when you look at per day rates of gain in body mass as a function of bear size—especially under circumstances where the involved bears did or did not have access to unlimited amounts of different kinds of food.
The graphs in figure 10 summarize this relationship for a number of individual bears that ate fruit (A), grazed foliage (B), and consumed meat from either deer or salmon (C). The open circles denote the results for captive bears; the brown dots, results for grizzly bears in the wild; and the gray squares, for black bears in the wild. Importantly, the captive bears had access to unlimited amounts of the various foods, whereas the wild bears typically did not.
Going over these graphs in reverse order, from bottom to top starting with meat: notice that, unlike with foliage and fruit, the trend lines for captive (dotted) and wild (solid) bears increase without reaching a plateau or peak, which means that bears are able to grow increasingly large even as their body mass increases. When fed unlimited amounts of meat, these gains can be phenomenal—upwards of 4 kg per day for a 300 kg bear. Moreover, no bear lost body mass eating a diet comprised mostly of meat. And, it is worth emphasizing that these gains were mostly as lean body mass, and despite the depressed per kg energetic efficiencies of a high protein diet (see Protein and energy effects).
With foliage, it is perhaps not surprising that a number of wild bears seemed to lose body mass when subsisting almost wholly on such a food. Foliage is not very nutritious or digestible (see Digestion). No wild bear but one gained much weight. But, the important trend is the one documented for captive bears with access to unlimited amounts of foliage (the dashed line). These captives were able to gain weight up until around 125 kg of body mass, after which gains declined, even into negative territory around 250 kg. In other words, the modest increases in ingested volumes of foliage that occurred at large body masses (see above) could not offset the increased energetic needs of a large bear, even given a less than 1:1 scaling of unit volume metabolic rate with body mass.
Something very similar was evident for wild bears subsisting on berries. Gains increased, peaking for bears of around 100 kg mass, and thereafter declined, even into negative territory for one c. 150 kg grizzly. To explain this pattern requires additional explanation of figure 10A. The ascending dotted red and blue lines denote the theoretical maximum rates of gain for bears eating unlimited quantities of serviceberries and huckleberries;
that is, for captive bears. But this theoretical maximum is obviously not achieved, primarily because of the limits imposed by foraging inefficiencies under field conditions; for example bite sizes and bite rates. These limits are described by the descending gray lines--the farthest left associated with a bite size of 1.7 berries and a bite rate of 55 per minute, the farthest right with a bite size of 2.5 berries and a rate of 90 per minute. The point being that foraging efficiencies take a major toll on what bears can realize from eating berries, with major implications for even modest-sized bears. Notably, though, at peak, daily gains for wild bears eating berries were over three times greater than gains for wild bears eating foliage: roughly 0.5 versus 0.15 kg per day.
There are some important implications of all this: Most important, if you are a bear weighing much in excess of 100 kg, weight gains are going to be greatest on a meat diet, not a berry or foliage diet. And much of these gains will be in lean body mass (see Protein and energy effects). So, given the consistently greater size of adult males compared to other bears--typically in excess of 150 kg--you would expect adult males to eat disproportionate amounts of meat, which is indeed the case. And, adopting such a strategy, you would expect males to grow ever larger over time, which seems to be the case as well. But all of this is with an important proviso: If you are female weighing somewhere between 100-150 kg, rates of body fat accumulation will probably be greatest on an energy-rich but protein-poor berry diet, as long as you can eat large volumes, closer to 2.5 berries per bite, at 90 bites per minute.
One important additional proviso: None of the graphs above deal with foods rich in fat, but containing adequate protein. More concretely, we don’t have a clear picture of the nutritional benefits entailed for bears eating army cutworm moths and whitebark pine seeds: two of the most important bear foods in the Yellowstone ecosystem. Even so, it is not too hard to imagine that these foods are among the best bear foods of all.
Diet Meat Effects
Meat is handy shorthand for denoting a food comprised mostly of protein and fat. As I describe in the section devoted to digestion, protein and fat are the most digestible of all nutrients and, because of that, the essential ingredients of an energy-rich diet. Put a slightly different way, meat is the most concentrated form of protein and fat commonly eaten by bears. Given that we can only rarely directly measure the nutrient composition of bear diets, it is useful at times to use the fraction of meat (or berries, for that matter, to denote little protein) as a proxy and, from that, get a general sense of how a protein- and energy-dense diet affects outcomes such as body size and female reproduction, which is what I address below.
It is worth noting that not all meat is equal. Fractions of water, protein, and fat vary with the season and from prey animal to prey animal. Emblematic of this variability, I’ve created a summary in figure 11 of variation in the mass of edibles, including body fat and metabolisable energy, for a representative source of meat: female mule deer.
The amount of edibles increases (obviously) with animal age, up to around age 4 in the case of mule deer; the fraction of body fat varies with the season; and, with all of this, the amount of metabolisable energy available to a carnivore such as bears varies substantially seasonally and with age of the prey animal.
The graphs in figures 12 and 13 show data that I assembled from North American study areas reporting both the body mass of grizzly bears captured for research purposes as well as information sufficient to determine the percent of the bear diet that was
comprised of meat. On the meat front, Garth Mowat was the primary source, based on either direct measures or estimates derived from interpolation of one form or another. I differentiate adult males from adult females, and areas where bears had access to abundant spawning salmon from those where the primary source of meat was land-dwelling herbivores. I also denote the Yellowstone area with a white-centered dot.
Figure 12 shows trends towards larger size among populations of grizzlies that consume more meat, but more so for males than for females. The trend among females that eat terrestrial meat is barely discernable, and that of salmon-eating bears is substantially greater than the trend among populations of grizzlies that eat terrestrial herbivores.
Figure 12. Population-averaged body mass of female (A) and male (B) grizzly bears as a function of population-averaged meat in the diet.
Figure 13 shows an increase in the ratio of male body mass to female body mass as the percentage of meat in the collective bear diet increases. In other words, size dimorphism of the sexes is greater where bears eat more meat, especially terrestrial meat (the burgundy dots). This is just a different way of representing the lesser response of females versus males to increasing amounts of dietary meat, noting, again, that the trend is greater among interior versus coastal salmon-eating populations. The dampened trend for all populations, including coastal ones, is shown by the solid line whereas the trend for interior populations alone is shown by the dashed line.
Figure 13. Ratio of population-averaged male and female body mass as a function of population-average meat in the diet.
The different responses of males versus females and of coastal versus interior populations to increased dietary meat beg for explanation. I can only speculate, but I suspect that differences between the sexes have to do with differences in diet within any given population, as well as differences in sex-linked physiological responses to dietary protein—all driven, in turn, by differences in the reproductive strategies of male versus female grizzlies.
More specifically, although responses of the two sexes to dietary protein have not been explicitly studied (or at least reported) for bears, we do know a fair amount about this phenomenon in two other omnivores: swine and humans. In both *Sus scrofa* and *Homo sapiens*, males and females fed the same amount of protein differ in the efficiency with which they accumulate lean body mass. Not surprisingly, males are more efficient than females. So if such were true for bears as well, this phenomenon could plausibly contribute to the greater population-level response of male versus female grizzly bears to elevated dietary meat.
Moreover, study after study has shown that, on average, male grizzlies eat more meat compared to female grizzlies in any given population. This could partly be a result of motivation and resulting dietary preferences. It could also partly be the consequence of on-average larger males being better able to dominate a
concentrated food source, as is typical of packages of meat. So, differences in diet between males and females could also explain some differences in population-averaged body size between the sexes.
But what about the differences between coastal and interior ecosystems; between areas with spawning salmon compared to areas without? As I describe in the section devoted to the effects of diet protein, bears fed as much salmon as they can eat can grow to a much larger size (albeit at a slower rate) compared to bears fed deer. As the research in that section also shows, a diet exceedingly rich in protein (as would be the case with salmon) actually leads to less efficient accretion of body mass. But this lesser efficiency (as perhaps manifest in the lesser rate of gain among salmon-fed bears) can be more than offset by access to large volumes of food, as would certainly be the case—and for sustained periods of time—in most of the Pacific coastal areas with multiple runs of spawning salmon. So, the point here is that the greater response of population-averaged body mass to increasing dietary meat among grizzlies with access to salmon may simply be a consequence of these bears having access to a veritable glut of energy-rich food perhaps more than it has anything to do with protein content of salmon, as such.
Foraging Efficiency
The rate at which a bear of a given size can ingest, masticate, and swallow food is a critical aspect of nutrition. It sets the stage for how much can be passed through the gut, which is particularly important when it comes to vegetal foods. Bears depend upon passing large volumes of foliage through their digestive tract if they are to stay ahead energetically when eating such a fibrous food (see Digestion). And, when it comes to berries and roots, they likewise need to ingest large volumes to compensate for the very low protein content of these foods—but with the derivative benefit of ingesting relatively high concentrations of digestible energy (see Protein & energy effects).
Given this imperative to ingest large volumes when bears eat vegetal foods, it is with such foods that the consequences of fine-scale variation in foraging efficiency are starkest—at the scale of bite size and bite rate, which is why researchers such as Charlie Robbins and Lisa Shipley have focused on berries and foliage in their investigations of foraging efficiency by bears. And it is their research that I feature here, most of which was executed under Dr. Robbin’s tutelage by Christy Welch and Karen Rode.
Effects of forage density & stature
Figure 14 shows the effects of berry density on the size and rate of bites by bears. Bite rate and size are perhaps self-evidently the two immediate determinants of the total rate at which food is ingested, at least as far as the mouth cavity. After that, the rate and efficiency of mastication take over; e.g., chewing.
The two graphs in figure 14 feature two berry-producing species that are of widespread importance to bears: serviceberry (*Amelanchier alnifolia*; salmon-colored dots) and huckleberry (*Vaccinium membranaceum*; blue dots). There are substantial differences between these two species in how berries are presented to a potential forager. Serviceberries grow in attenuated terminal bunches which allow large-mouthed foragers such as bears to harvest multiple berries in a single bite. By contrast, huckleberries tend to grow singly and dispersed, which means that bears need to employ a strategy of taking numerous small bites that are often contaminated with the accompanying detritus of leaves.
These morphologic differences are clearly evident in the relations of bite rate (A) and bite size (B) to variations in berry density for each species, where each dot represents one feeding trial involving a single bear. Put succinctly, bite size, but not bit rate, increases substantially as densities of serviceberries increase. The opposite is true for huckleberry. Bite rate, but not bite size, increases with density. More to the point, different strategies are imposed on bears by physical configurations of the berries they eat. As a result, morphologic features are as important as digestible energy in determining the overall energetic benefits of exploiting different patches of berries.
The same is true for grazed foliage. Figure 15 shows how bite sizes of clover vary with both the size of the involved bear and, more to the point here, with stature of the grazed plant—this under circumstances where the clover is uniformly dense. Basically, the relatively small sizes of bites taken by small bears are essentially unaffected by the stature of the grazed plant. By contrast, even though large bears are constrained to bites no larger than those of small bears when grazing plants <9–13 cm (3.5–5") tall, they reap huge comparative benefits (at least in terms of bite size) if they can find patches of herbaceous plants that average >15 cm (6") tall.
say, they typically can’t, whereas small bears more commonly can (see Body mass effects).
**Bite rate vs Bite size**
The relationship between bite size and bite rate further elucidates the basic mechanics of bear grazing and, along with this, some fundamental constraints imposed on bears trying to subsist on foliage. Figure 16 shows this relationship; again, each dot represents a single trial involving a single bear.
The inverse relationship is not surprising. A larger bite requires more processing time, which intrinsically constrains bite speed (i.e., bite rate). But the important feature here is the rapid diminishment in bite rates with increases in bite size.
**Figure 14.** Bite rate and size of serviceberry and huckleberry by bears as a function of berry density.
**Figure 15.** Size of bites of clover as a function of clover height and mass of the involved bear.
In short, the small dentition and jaws of small bears mean that they don’t benefit from increases in the stature of grazed foliage, whereas the larger dentition and jaw of large bears allow them to exploit and benefit from greater vertical expression of biomass; which amounts to a constraint imposed by foliage stature on large but not small bears. This, in turn, exacerbates the intrinsic energetic problems for large bears when they try to subsist on a diet of stems and leaves. Which is to
**Figure 16.** Bite rate as a function of bit size of clover for bears of a given size and clover of a given stature.
The implications? If a bear, it probably makes more sense to seek out patches of foliage to graze that allow for small rapid bites. And, if you are large, you are probably not going to benefit much in the end from being able to take larger bites of taller-statured foliage (as above), which partly explains why, in places such as Yellowstone, smaller bears seek out and heavily graze very dense short-statured patches of clover and bluegrass--commonly referred to as “grazing lawns.”
**Total rate of intake**
Regardless of proximal biomechanics, the bottom line for bears is the total rate at which they can ingest foliage, berries, or any other vegetal food. Again, total rate of intake is especially critical for bears when it comes to vegetal foods (see above), in contrast to when they eat foods such as meat.
The graphs in figure 17 show total rate of intake (grams of dry matter per minute) as a function of key constraining factors. In the case of both serviceberry and huckleberry (B) intake (not surprisingly) increases with the density of each type of berry in a given patch. But the response for serviceberry is dramatically greater than the response for huckleberry because serviceberries (as I describe above) grow in terminal clumps that make it much easier for bears to harvest when compared to the more dispersed single berries of a huckleberry bush. That being said, huckleberry is considerably more digestible than serviceberry (see Digestion), which probably negates the benefits of the latter species rooted solely in ingestible volumes.
**Figure 17. Intake rate of (A) clover and of (B) serviceberry and huckleberry as a function of bite size and berry density, respectively.**
Figure 17A shows intake rate as a function of bite size for clover, one of the choicest of grazed bear foods. Why bite size rather than forage density? Simply because the research that produced these data essentially held density constant by insuring that bears had access to thick patches of foliage within which researchers varied composition and stature. Perhaps the point of this is that anything less would presumably be a non-starter for a food as fibrous and relatively indigestible as foliage (see Digestion). But the key point of graph A is that ingested volumes increase with bite size at first, but then rapidly reach a plateau (i.e., asymptote). This pattern is consistent with the depressive effect of bite size on bite rate (see above), ultimately rooted in the limits imposed by a need to chew foliage and then, after that, rate of passage through the gut.
Figure 1 illustrates what taxonomists call a "consensus tree" describing relationships and timing of divergence among species within the family Ursidae, as well as (in the inset) relationships and divergence times for various subgroups of the species *Ursus arctos* (the brown and grizzly bears). The polar bear *Ursus maritimus* is included here for reasons that will be addressed shortly. This so-called consensus has been reached only within the last few years, and may be revised in light of new research. But the main part of it will likely hold over time. An important feature to be noted, in addition to the main branching, is the green arrows. These arrows indicate on-going gene flow between "species," which has led to some of the confusion and disagreements over relations and dates of divergence among different species. Note the gene flow from polar bears to grizzly bears, and from...
grizzly bears to black bears, which suggests inter-fertile breeding, albeit under presumably rare circumstances.
Surviving bear species of the family Ursidae are, for the most part, relatively recent in origin. The most ancient surviving derivative is the giant panda (*Ailuropoda melanoleuca*) which, although most closely related to bears, is so different as to have led taxonomists to put into a separate family, or even cluster it with raccoons. Another main split is between species of the subfamilies Tremarctinae and Ursinae. This split happened about 6-13 million years ago (mya), giving rise to bear species that evolved and survived mainly in North America (the Tremarctine bears), and those that evolved primarily in Eurasia (the Ursine bears). The only surviving bear of the Tremarctine lineage is the Spectacled bear (*Tremarctos ornatus*) of South America, although prior to the end of the last Ice Age a number of Tremartine bears had existed and flourished. Perhaps the most spectacular of these bears was the Giant short-faced bear (*Arctodus simus*), which was a giant as much as 6 feet tall at the shoulder that survived until roughly 13,000 plus or minus 300 years ago (this in years corrected for bias in carbon dating).
But the main focus here is the species *Ursus arctos*, which encompasses the grizzly bears living in Yellowstone. Grizzlies and their kin the Polar bear and Eurasian cave bear (*U. spelaeus*) split from the lineage giving rise to the American black bear (*U. americanus*) roughly 3 mya. These species all shared a common ancestor called *U. minimus*, which gave rise as well to an intermediary form called *U. etruscus*. Barring the American black bear, these species are all best represented by fossils that have been found in Europe and western Asia.
More recently, the branch giving rise to the cave bears split from the brown bear lineage in Eurasia roughly 1-3 mya and, more recent yet, the polar bear lineage split from brown bears about 200-500 thousand years ago (kyBP). There is persisting disagreement among those who study phylogeny regarding when "the" polar bear split happened—some arguing as long as a million years ago, others as recent as 300 thousand years ago. The waters remain muddy because this so-called split has continued to be blurred by interbreeding among brown and polar bears. Whatever the conclusion, polar bears are closely related to brown bears.
But even before the divergence of polar bears, brown bears began to diversify into lineages, or clades, most of which have survived to the present. The major split between brown bears that live in Europe (Clade 1, along with an anomalous bunch on the ABC Islands of Alaska—Clade 2a) and brown bears that live elsewhere (Clades 3-6) occurred around 300-900 kyBP. The reasons for this complex of Clades has a lot to do with how various lineages of brown bears were split and more-or-less isolated during the course of the Ice Ages, which is covered immediately below under Evolutionary biogeography. Of particular relevance to Yellowstone's grizzlies: all of them belong to Clade 4, which appears to have been isolated in central North America when, according to Chris Stokes and collaborators, the Pleistocene ice sheets of North America coalesced across the northern span of the continent for the last time roughly 70 kyBP, albeit with what seems to have been a temporary opening around 55 kyBP. Clade 4 split from the various lineages of Clade 3 (currently concentrated in Asia and Alaska) around 200-350 kyBP. Clade 4 currently survives nowhere other than the in the center of North America and on the island of Hokkaido, which testifies to the Eurasian ancestry of all brown bears, including bears of this clade.
Information in this section is based on a host of sources, including for the carnivoran supertree, Bininda-Emonds et al. (1999) and Nyakatura & Bininda-Emonds (2012); phylogeny of Ursidae writ large, Waits et al. (1999), Lorielle et al. (2004), Yu et al. (2004), Krause et al. (2008), Pages et al. (2008), and Kutschera et al. (2014); the unrelenting discourse on relations between polar bears and other bear species, Lindqvist et al. (2011), Cronin & MacNeil (2012), Hailer et al. (2012), Miller et al. (2012), Nakagome et al. (2013), Liu et al. (2014), and Cahill et al. (2015); and on divergence and nature of brown bear clades, Waits et al. (1998), Leonard et al. (2000), Shields et al. (2000), Matsuhashi et al. (2001), Miller et al. (2006), Hirata et al. (2013, 2014), and Solomashkina et al. (2014).
Evolutionary biogeography
Figure 2. A somewhat speculative reconstruction of the Pleistocene biogeography of *Ursus arctos*, with (A) a reconstruction of Northern Hemispheric vegetation during the Last Glacial Maximum (LGM); (B) the LGM distribution of *Ursus arctos*, by Clade, including glacial refugia and subsequent recolonizations; and (C) the distribution of *U. arctos* circa 10,000 year bp.
The three maps in figure 2 attempt to summarize much of what’s relevant to understanding the current population-level genetic diversity evident among today’s brown and grizzly bears—all included within the single species *Ursus arctos*. Most of what’s presented in these maps is a result of the synthesis published by Davison and his colleagues in 2011. Parenthetically, the notion of “subspecies” has passed out of favor in application to brown bears, and been replaced instead with the concept of “clades,” each of which represents enough genetic differentiation to warrant speculations about reasons for the divergence. This recent convergence by taxonomists on the notion of clades is in stark contrast to a 1918 publication of C.H. Merriam in which he described over 70 "species" of grizzly bears.
in North America alone. The shift has been a result of both increased reliance on information from the genome along with increased appreciation for how plastic brown bear morphology can be (morphology of the skull was the main basis for Merriam’s distinctions).
One key to understanding the current genetic diversity of brown bears resides in understanding the distribution of this species during the last Ice Age, which was, in turn, a reflection of vegetation and climate—especially the distribution of ice sheets and exceptionally harsh polar climates. Geneticists speculate that the main explanation for current differences in genomes of bears living in different parts of Eurasia and North America has to do with where their ancestors found refuge—often in isolation—during the different Ice Ages of the Pleistocene, and how they moved and mixed during warmer intervals, especially the current warm period that led to terminal melt of ice sheets between 18,000 and 6,000 years ago.
With that in mind, the map in Panel A, above, shows a plausible reconstruction of ice sheets and vegetation during the height of the last glaciation, roughly 25,000–15,000 years ago. You can see that much of the main range of brown bears in Eurasia was covered by polar desert and what many have called steppe tundra—a kind of tundra with substantially more grass than is common in boggy shrub-dominated tundras of today. This abundance of grass meant that a corresponding abundance of large herbivores could live there, including horses, mammoths, rhinos, giant bison, and more. Overall, though, the main range of Eurasian brown bears (the vast majority of the brown bears alive at the time) was quite dry and bitterly cold.
The map in Panel B shows a speculative reconstruction of the Ice Age distributions of the various modern-day clades, each denoted by its own number (see Evolutionary relations for more details). As you can see, Clade 1 was hunkered down in the southern part of Europe while Clade 3 was distributed throughout the steppe tundra of Asia. Clades 5 and 6, which persist as the genetically and morphologically distinct bears of the Tibetan Plateau and Gobi Desert, were thought to be more or less isolated in high-elevations of south-central Asia. Note that Clade 4 is the sole representative south of the North American ice sheet. More on where and when Clade 4 got there a little later. Also of interest, the green arrows in Panel B show how each of the clades spread and colonized during the late Pleistocene and early Holocene (our current warm period). Clade 1 moved north to occupy most of Europe, but Clade 3 was the big winner, with bears of this lineage spreading into eastern Europe and surging once again into Alaska via Beringia. Clade 3 bears also moved south in North America to mingle with Clade 4 bears moving north in what is now Alberta.
The final map above, in Panel C, shows (in green) how the distribution of brown bears settled out after all of the surges and retreats that occurred with warming and ice melt--by roughly 1000-2000 years ago. Of note, brown bears occurred in the Atlas Mountains of Africa as well as in Mediterranean coastal mountains of the Middle East. They also spread south into Mexico in North America and ended up retreating to an eastern boundary on this continent that aligned with the Great Plains.
Figure 3. Somewhat speculative routes and timings of migrations by Ursus arctos Clades from Eurasia to North America during the late Pleistocene along with a reconstruction of ice sheets prior to the Last Glacial Maximum, including a potential ice-free corridor that could have allowed for early passage of Clade 4 bears south.
The map in Figure 3 provides a little more detail on when and how the various clades of grizzly bears represented in North America arrived. The earliest colonists were apparently of Clades 2 and 4, along with a sprig of Clade 3 called 3c. Clade 4 continued south, occupying west-central North America prior to closure of the last ice-free corridor, which some think might have happened as early as 70,000 years ago (kyBP), although with a brief opening perhaps around 55 kyBP. During this same period bears of Clade 2 (specifically, 2a) made it to the ABC (Admiralty, Baranof, Chichigof) Islands of Alaska. The early southward movement of brown bears into the region encompassing Yellowstone is evidenced by current distributions of the various clades, as well as by a single find of skeletal remains near Edmonton, Alberta, that dates to roughly 32 kyBP (corrected for bias in carbon dating).
Interestingly, of these early colonizing clades, 2a and 4 survived in their interior continental and island refuges whereas 2c and 3c eventually disappeared.
The final colonists, all across Beringia into and via Alaska, were of Clade 3. Clade 3b comprised an earlier wave of colonization that occurred perhaps during and immediately after the last glacial maximum, whereas Clade 3a represents the most recent and last wave of migrants, arriving just prior to when the land bridge of Beringia disappeared. (Remember from the Map in Panel B above, Clade 3a bears had farther to go compared to Clade 3b bears before reaching Beringia.) Modern-day grizzly bears in eastern Alaska consist of descendants of the Clade 3b colonists, whereas those in western Alaska consist of descendants of the Clade 3a new-comers.
The main source of information for the material in this section is Davision et al. (2011), but augmented by the numerous publications that describe Pleistocene refugia and related brown bear lineages in Eurasia, including Taberlet & Bouvet (1994), Matsuhashi et al. (2001), Saarma et al. (2007), Sommer & Benecke (2005), Valdiosera et al. (2007), Keis et al. (2013), Kutschera et al. (2014), and Salomashkina et al. (2014). Mathues et al. (2001) describe the *U. arctos* remains found near Edmonton, Alberta. Stokes et al. (2012) are the source for delineations of ice sheet margins prior to the Last Glacial Maximum.
---
**Early prehistory: 70,000-10,000 years ago**
Up until the early 2000s most scientists thought that grizzlies had not arrived in the middle part of North America until after the last continental Ice Sheets had melted enough to allow passage of bears from Beringia (which included all of modern-day Alaska) through an ice-free corridor along the eastern edge of the Rocky Mountains (see the maps below)—probably around 13,000 years ago (all of the ages here are corrected for biases in radiocarbon age). However, the discovery of grizzly bear remains near Edmonton, Alberta, dating to roughly 32,000 (or 32k) years ago turned this assumption on its head. Recent analyses of genetic material from North American grizzly bears have reinforced the idea that grizzlies arrived much earlier, probably during the last opening in the Alberta ice-free corridor, prior to closure at the height of the last Ice Age, roughly 55,000-18,000 years ago. Recent research by Chris Stokes and his colleagues suggests that a long-lasting opening between the Cordilleran (to the west) and Laurentide (to the east) continental ice sheets occurred between 80k and 65k years ago, with a possible brief opening again around 55k years ago. So, grizzlies probably arrived—and presumably then persisted—as early as 70k or as late as 55k years ago.
As I noted in the previous section, figure 3, above summarizes current thinking about the several migrations of brown bears from Asia into and through North America (parenthetically, grizzlies are brown bears, all *Ursus arctos*). An early wave of bears carrying genetic material identified with Clades 2a, 2c, 3c, and 4 (roughly the equivalent of subspecies) arrived in eastern Beringia around 70k years ago, having successfully crossed over the Bering Land Bridge. Of those bears, those of Clade 4 managed to successfully complete the journey into the middle part of the continent, presumably along the eastern edge of the Rocky Mountains. They were then isolated with closure of the ice-free corridor, intermingling with other grizzlies of the newly-arrived Clade 3b only after reopening of the ice-free corridor around 14-11k years ago (see the maps below). Shortly after, the Bering Land Bridge was
closed to additional migrants by rising sea levels. Parenthetically, some researchers have theorized that grizzlies also got to the mid-continent by following ice-free coastal areas of modern-day Alaska and British Columbia—prior to the opening of Alberta’s ice-free corridor. Land levels at these ice free margins were dramatically elevated as a compensatory (“forebulge”) response to depression of the Earth’s crust by the ice sheet farther inland. Migrating coastal grizzlies presumably subsisted largely on marine resources.
Figure 4 shows the distributions of grizzly bear remains from two different periods: In panel A, from 32–10k years ago, with all but the ones near Edmonton dating to less than 15.5k years ago; and, in panel B, from 10k to 200 years ago—up to essentially historical times. In panel A the extent of the ice sheets and bordering glacial melt lakes are shown at 13.5 and 11.5k years ago. Note Lake Agassiz (see the discussion above about climate). Most of the remains are not radiocarbon-dated.
The map in panel A constitutes pretty conclusive evidence that grizzly bears occurred in eastern North America between roughly 15.5 and 11k years ago. But by 10k years grizzlies seem to have been gone in the East. All of the specimens post-10k roughly coincide with the historical distribution of grizzlies. The one exception is the Utz site in Missouri. This specimen was apparently found during excavations of a prehistoric Indian settlement. I tried to track down the original publication documenting this find, but without success. My current suspicions are that either: (1) the specimen was misidentified or, if authentic, then (2) the result of a series of trades among tribes that transported grizzly bear remains from farther west to this site in Missouri.
In addition to the sources that I mention in the section on biogeography, I also reference Guilday (1968), Loring & Spiess (2007) and Harington et al. (2014) for more information on *Ursus arctos* in eastern North America. The Utz site is described by Berry & Chapman (1942).
**Figure 4.** Locations of *Ursus arctos* remains in central North America for two different time periods: (A) 32-10k years bp; and (B) 10k-200 years bp. Locations are shown as either white dots or white squares.
The following materials consist of blogs that I have written commenting on various topics of direct relevance to the US Fish & Wildlife Service’s proposal to remove Yellowstone’s grizzly bear population from the list of endangered and threatened wildlife species. Please consider these writings as additional comments to be considered in revisions of the Service’s proposal and supporting documents.
These documents can be independently retrieved by accessing the following urls:
http://www.grizzlytimes.org/#!/The-Politspeak-of-Social-Carrying-Capacity/c1ou2/568ea44a0cf21dc8b1901891
http://www.grizzlytimes.org/#!/Let-Them-Eat-Grizzly-Cake/c1ou2/56a95e840cf22a61ccd51d28
http://www.grizzlytimes.org/#!/Partisan-Scientists-in-Public-Service-I-The-Strange-Case-of-the-Interagency-Grizzly-Bear-Study-Team/c1ou2/56fd9f780cf2b279cdbaa208
http://www.grizzlytimes.org/#!/Partisan-Scientists-in-Public-Service-II-The-Strange-Case-of-the-Interagency-Grizzly-Bear-Study-Team-continued/c1ou2/570687bd0cf2ecf50ee72e04
http://www.grizzlytimes.org/#!/The-Wonderful-Wizard-and-His-Dancing-Grizzly-Bear-Numbers/c1ou2/572b68760cf2094051e5b921
The Politspeak of Social Carrying Capacity
January 7, 2016 | David Mattson
As a scholar and social scientist I get really annoyed when concepts are deployed for partisan purposes without regard for intellectual integrity. Having said that, I suspect that most politicians would find my distress silly...which is to be expected of a breed that exists to promote partisan ends using whatever rhetoric serves the immediate purpose. More to the point, politicians specialize in propaganda, one definition of which is: "Official government communications to the public that are designed to influence opinion. The information may be true or false, but it is always carefully selected for its political effect." So...politspeak.
But I expect something totally different from public servants working for administrative agencies. These people are tasked with implementing legislated policy as honestly and faithfully as possible, and, through that, maximizing benefits for the broad public they serve. Policy relevant information is to be obtained, used, and communicated openly with as little prejudice as possible. In other words, public communications by folks working for government bureaus should not be in the form of propaganda. Not politspeak. At least in a democratic society, at least ideally.
Which brings me to public statements made during recent years by spokespeople for the federal and state agencies that manage our wildlife. More specifically, the use of a particular concept by grizzly bear managers in the Yellowstone ecosystem: that of "social carrying capacity." Although, to be fair, this usage is nested within a broader movement among wildlife managers who invoke "social carrying capacity" as justification for killing all sorts of animals.
And that's the point. "Social carrying capacity" is invariably used to justify killing more animals. Here's a sampling: by the Florida Wildlife Commission to institute a sport hunt on the threatened Florida black bear and increase lethal control of the endangered Florida panther; by the Maine Department of Inland Fisheries & Wildlife to increase levels of sport hunt on black bears in Maine; by Montana Fish, Wildlife & Parks to increase the harvest of mountain lions; by David Mech, a USGS wildlife scientist, to justify hunting wolves in Oregon and Wisconsin; and by the US Fish & Wildlife Service and state wildlife management bureaus of Montana and Wyoming to remove Endangered Species Act (ESA) protections and institute a sport hunt on grizzly bears in the Yellowstone Ecosystem...which is my focus here.
So what do wildlife managers seem to be saying when they invoke "social carrying capacity" as justification for killing these animals? Basically, it comes down to this: the assertion that "people" will not
tolerate any more of these large carnivores (read grizzly bears for Yellowstone), which means that “we’ve” reached the limits for how many can be supported in a given area, which means that “we” need to start reducing numbers by killing more animals. In the case of Yellowstone’s grizzlies, the preferred method for killing these bears is through a sport hunt. “People” are viewed as a homogeneous blob, and socially-defined “carrying capacity” as some kind of objective fixed reality.
As I intimated before, I am annoyed not only by how poorly wildlife managers have conceptualized “social carrying capacity,” but also by the extent to which this concept has been employed as part of a propaganda campaign, which is a wholly inappropriate undertaking for the public servants managing our wildlife. It is also worth noting here that none of the wildlife managers deploying the concept of “social carrying capacity” have any obvious expertise in conceptualizing, assessing, or otherwise measuring social phenomena. They are certainly not social scientists.
At this point some background is needed on the academic roots of “social carrying capacity.” This concept was first developed by social scientists thinking about the numbers of people that could recreate in an area before their collective enjoyment was critically compromised. Alan Graefe, currently at Penn State, and Jerry Vasek of Colorado State University wrote an article in 1984 that reviewed “social carrying capacity” applied to recreation and concluded that it was “…not an absolute value waiting to be discovered, but rather a range of values which must be related to specific management objectives for a given area.” Bill Burch, of the Yale School of Forestry & Environmental Studies, wrote the concept off as being essentially useless in papers that he published during 1981 and 1984 in the journal Leisure Sciences. One of his articles was aptly titled “Much Ado About Nothing.”
Nonetheless, Dan Decker and Ken Purdy, both at Cornell, wrote a paper in 1988 that extended the concept to wildlife management, modifying the term to read “wildlife acceptance capacity.” Various academics have since tried to apply this wildlife-specific concept, resurrecting the appellation of “social carrying capacity.” Ben Peyton of Michigan State University recently related the concept to wolves in the Upper Peninsula of Michigan. Not surprisingly, he concluded that there were four subpopulations of people typified by differing degrees of “tolerance” for wolves (from highly tolerant to highly intolerant), and that these levels of tolerance were rooted in basic beliefs about the benefits of wolves as well as concerns about negative impacts. He was not brash enough to construe from this how many wolves might be able to live in the Upper Peninsula. Rather, he noted that there was a wide range of highly fungible ideas about what that number might be.
To be fair, the concept of “social carrying capacity” gets at something fundamentally important, which is that people hold different perspectives about animals such as grizzly bears, which might translate into different ideas about how many of these animals they want, as well as willingness to encounter them or sustain some kind of material harm.
But there are huge problems with trying to package all of this in a concept such as “social carrying capacity” which implies an ability on the part of wildlife managers to derive an unambiguous estimate of how many animals—say, grizzly bears—can live in an area, and from that arrive at some unimpeachable justification for deciding how many of these animals to kill. As has been the presumption in virtually every instance where a wildlife manager has deployed the concept of “social carrying capacity.”
More to the point, people have perspectives that engender different attitudes and expectations, with implications for how wildlife are managed. And these perspectives vary widely in reflection of different world views, different life experiences, and different external circumstances…all of which can be related to demographic proxies such as gender, age, race, place of residence, level of education, type of employment, and so on.
Which is to say, social science research has shown over and over again that white males with less education, living in rural areas, and employed in agriculture have notoriously little tolerance for large carnivores such as grizzly bears. Interestingly, most of these guys are hunters. And, of direct relevance to the drama of Yellowstone’s grizzly bears, these guys dominate wildlife management by holding the purse strings and controlling wildlife commissions. Moreover, they are amongst the politically best connected of all in the states of Wyoming, Idaho, and Montana…where we are trying to sustain the few grizzly bears left in the contiguous United States.
Put another way, “people” are not a homogeneous blob when it comes to political power or perspectives about grizzly bears. Nor is there an unambiguous number of grizzlies (or any other wildlife) that can be sustained given these human perspectives. In reality, peoples’ perspectives are way too varied and fungible to be translated into anything like an estimate of “carrying capacity,” including for grizzlies in Yellowstone. Different people want different things, with only inexact notions of how that might translate into size and distribution of a wildlife population, or what that means for levels of conflict or rates of encounter.
In fact, people can have huge effects on these more concrete outcomes by how they behave and whether they chose to modify those behaviors. For example: whether ranchers in the Upper Green river basin of Wyoming chose to employ husbandry practices know to substantially reduce conflicts with grizzlies, or whether the US Forest Service chooses to revoke grazing permits for regressive ranchers who don’t make a good faith effort.
So, what the heck is going on with our wildlife managers? More specifically, what’s going on with state and federal managers charged with managing grizzly bears in Yellowstone?
The answer is pretty straight-forward. Grizzly bear managers are using “social carrying capacity” as rhetorical cover for maintaining the status quo. And the status quo is all about serving political masters (read conservative white male hunters, ranchers, or energy executives) who dominate wildlife commissions and have direct-line access to congressional delegations, state legislatures, and governor’s offices controlled by fellow regressive conservatives.
In fact, wildlife managers are talking about political carrying capacity configured by their assessment of career prospects and the budgetary or other special interests of the wildlife management agencies they work for. To be fair, agency culture is also a major factor, including a deep-seated prejudice against predators that kill animals that would otherwise generate agency revenues through the sale of hunting licenses...at least according to agency myth.
Which brings me back to my annoyance. I am aggravated, not just by the betrayal of intellectual integrity implicit to how Yellowstone's grizzly bear managers are using "social carrying capacity," but also by the extent to which this usage is clearly part of a propaganda campaign that serves the partisan interests of wildlife management agencies and the politically well-connected few that they serve. Not the broader public interest. It is especially egregious that a federal bureau such as the US Fish & Wildlife Service is so fully complicit in this betrayal of the public interest when an agency such as this should be representing the interests of all people in the United States, not just ranchers and hunters in states such as Wyoming.
Social carrying capacity? Orwellian Politspeak.
Let Them Eat Grizzly Cake
January 28, 2016 | David Mattson
According to popular history, Marie Antoinette, Queen of pre-Revolution France, quipped “Let them eat cake” when told that her subjects were starving. The peasants shortly thereafter rendered their verdict on her purported behavior by applying a very sharp blade to the back of her neck.
Fast forward to the present, and we have managers of the Yellowstone grizzly bear population offering us their version of “Let them eat cake.” This in response to the recent collapse of some critical bear foods, served up as propaganda, and without any prospect of pitchfork-waving crowds demanding some form of accountability.
A Little Background
By way of background, between the 1970s and early 2000s Yellowstone’s grizzlies got the vast majority of their calories and nutrients from just four foods; seeds of whitebark pine excavated from squirrel middens in high-elevation forests, meat from elk and bison, cutthroat trout spawning in streams tributary to Yellowstone Lake, and army cutworm moths in concentrations among alpine rocks.
And then a series of catastrophes. Most seed-producing whitebark pine was killed by an outbreak of bark beetles unleashed by a warming climate (roughly 2003 to the present). Virtually all of the cutthroat trout in Yellowstone Lake were killed off by the one-two punch of predation by lake trout, a non-native, and deteriorating conditions of spawning streams (the mid-1990s to the present). On top of this, all of Yellowstone’s elk herds but one suffered serious declines, as has one of Yellowstone’s two bison herds (starting, as with cutthroat trout, in the mid-1990s). The only bright spot for the nonce is cutworm...
moths, but with the near-certain prospect of losing this food source to attrition of alpine environments as our climate continues to warm.
**Houston, We Have No Problem**
And what about the response of those whom we have entrusted with the welfare of Yellowstone's grizzlies? Well...indifference, denial, propaganda, spin, even glee. And, even more alarming, backed by the systematic promulgation of partisan science by the Interagency Grizzly Bear Study Team (IGBST) backed, in turn, by a monopolistic death-grip on all of the relevant data (for more, follow [this link](#)). This monopoly alone calls into question the government's science, on top of the obvious bias evident in which questions the IGBST asks, how they frame these questions, how they deal with uncertainty, and the extent, overall, to which scientific results are selectively represented (or even misrepresented) by government spokespeople (for a sampler, follow [this link](#) and [this link](#)).
Perhaps to the credit of the government's scientists, they fervently protest that they are objective and unbiased. And, by all indications, they truly believe so. But protestations of this sort rarely if ever guarantee objectivity. In fact, I would argue that such professions are more a sign that those making them have little capacity for self-reflection than they are an indication of reality. We are all biased and captive to our subjectivity. I suspect that the only path to something that even approximates objectivity is through acute awareness of this basic fact.
But enough of that. My main focus here is on the claims being made by agency spokespeople as part of a rhetoric of denial.
And what are they saying? A number of things.
**A Salad Equals a Steak**
First, they claim that loss of foods doesn't matter because grizzly bears are omnivores. Which is to say, if the bears lose one food source they can simply substitute another. Or, put another way, omnivory somehow equals indifference to food quality and quantity. This rather interesting claim has been made by government scientists and managers alike, including Frank van Manen and Chuck Schwartz before him of the US Geological Survey, but more notably by Chris Servheen, the long-time US Fish & Wildlife Service Recovery Coordinator—charged with insuring recovery of grizzly bears in the lower 48 states.
Well...I hardly know where to begin. Up front, I probably need to confess my amazement given that these college-educated people are implicitly or even explicitly claiming that being an omnivore (as grizzly bears are) somehow inures you to your food. But clearly that isn't so. As fellow omnivores, we know that a salad does not equal a steak and that, at some point, a person could starve no matter what volume of leafy greens they eat. As is the well-proven case for bears, thanks to a wealth of research by Dr. Charles Robbins of Washington State University (for more on his work follow [this link](#)).
In fact, the nutritional value of bear foods varies by orders of magnitude, driven by differences in protein, fat, sugar, starch, and fiber content and, with that, differences in concentrations of digestible energy and nutrients. Foliage from things such as dandelions and grass offers bears the least, starchy roots and carbohydrate-rich mushrooms somewhat more, sugary berries and fatty seeds somewhat more yet, and proteinaceous and fat-rich animal foods the most of all. The landscape-level abundance of a given food also matters, but, as I pointed out above, bears could starve even with access to a super-abundance of dandelions or grass and, by contrast, do quite well with only episodic access to something like a bison carcass (for more see this page on [Digestion](#)).
And do we have direct evidence that the quality and quantity of food matters to bears and bear populations? Absolutely. Bears that eat lots of meat grow larger. Females that eat energy-rich diets get fatter and have more cubs. And populations with access to abundant high-quality foods can be packed into a landscape at densities 5, 10, even 50 times greater than populations trying to eke out an existence in barrenlands of the arctic (for more, see [this link](#)).
**Grizzly Bears are Latin Taxonomists**
Second, government apologists claim that grizzlies in Yellowstone are somehow further inured to losses of key foods because these bears are known to eat "≥266 species within 200 genera from 4 kingdoms, including 175 plant, 37 invertebrate, 34 mammal, 7 fungi, 7 bird, 4 fish, 1 amphibian, and 1 algae species as well as 1 soil type." Wheew. As if this kind of recitation means anything at all, or as if one food on such a list is freely substitutable for another. But, then, the scientists who wrote the paper reporting this result and the agency spokespeople who widely flogged it were clearly trying to convince their audience that such an enumeration somehow, again, translated into indifference on the part of grizzlies to the exact composition of foods in their environment as well as a non-effect of food on individuals or populations.
Again I confess to being amazed. This litany does not translate into any kind of equivalence of energy, nutrients, or landscape-level abundance among these "foods." And all of these things matter to grizzlies. Moreover, such a list is constructed based on taxonomic distinctions made by humans, not bears. And the finer-grained the taxonomic distinctions, the more you can inflate such a litany—as the authors of this paper did. Or, to put it another way, bears orient to foods, not on the basis of some Latin nomenclature developed and sustained by a bunch of academic taxonomists, but rather on the basis of functional traits such as nutrient composition, digestibility, architecture, characteristic density, ease of capture, and so on. Bears are not wandering around with a Vascular Plants of the Pacific Northwest under their arms, keying out the particular bluegrass they are about to eat, proclaiming "It's Poa pratensis!" prior to nipping off a leaf or two.
**It's Meat, No It's Mushrooms, No, It's Dandelions!**
Third, there is the phenomenon of government scientists trotting out the latest “food fad.” You see evidence of this especially during the last 5 or so years as debate over the implications of losing whitebark pine has heated up. Which is to say that agency spokespeople have been scrambling to come up with content for the public relations campaign they are promulgating to dismiss our unfolding food crisis.
More specifically, two years ago Kerry Gunther of Yellowstone Park was quoted as claiming that grizzlies were doing fine because they were filling themselves up on dandelions. The year before that IGBST scientists were proclaiming that grizzlies were compensating for food losses in the core of the ecosystem by eating quantities of false truffles. And the years before that, Chuck Schwartz, then of the IGBST, was asserting that all was fine because Yellowstone’s grizzlies were eating more meat. And, of course, Chris Servheen of the USFWS echoed all of these claims as they came and went.
Never mind that dandelions are, at best, a starvation food (see my comment above). Or that, as my friend Doug Peacock observed, you could also quite handily starve trying to subsist exclusively on false truffles, or any other mushroom for that matter. Or that government spokespeople were conveniently skipping over the fact that elk and bison populations had declined in the Yellowstone ecosystem and that, even if not, consumption of meat is an incredibly hazardous undertaking for any grizzly that embarks on that course (More on that later). So…whatever served the immediate political purpose—invoking sparse and often transient evidence, and with utter disregard for nutritional basics.
Hmm…
**Meat? No Problem**
Finally, you have the IGBST rushing to produce a 2013 white paper in which the government’s appointed scientists provided an advance summary of a large smooch of data analysis presumably showing that loss of whitebark pine seeds didn’t matter to Yellowstone’s grizzlies. Never mind that little of what they reported had not yet been published in scientific journals. Never mind that the methods, assumptions, data, and results were only cursorily described. Never mind that there was a large body of scientific evidence published prior to this white paper showing, in fact, that whitebark pine did matter…did affect the birth and death rates of Yellowstone’s grizzlies. Never mind that whitebark pine had been shown to be a particularly important food of Yellowstone’s female grizzly bears, the reproductive engine of the population.
Never mind that publication of this white paper was perfectly timed to serve the political agenda of rushing to remove Endangered Species Act protections from Yellowstone’s grizzly bears (i.e., delisting). Never mind that immediately following release of this white paper, the cabal of government employees managing Yellowstone’s grizzly bears voted to support delisting. A political ploy on the part of purportedly neutral government scientists? Naah…really?
But, then, what about the substantive merits of this science, aside from the obviously political circumstance and imperative that flies in the face of any claims to objectivity? A full critique is beyond what I can present here. And there is much that could be said. Which is to say: I will limit myself to just one point related to compensatory increases in consumption of meat by Yellowstone’s grizzlies.
There are several compelling lines of evidence supporting the idea that grizzlies in this ecosystem are eating proportionately more meat from large herbivores—elk, bison, and livestock. I have little doubt that this turn to meat has, indeed, happened. And, as I pointed out above, meat—comprised primarily of highly digestible protein and fat—is a nutritionally fine food. Such, for a while, were the points being made by Yellowstone’s grizzly bear managers and scientists.
But…there’s more to the story. As it turns out, eating meat comes at a price. For young bears—cubs and yearlings—it means running into more wolves and unrelated adult grizzlies, which has translated into a lot more of these young bears dying from predation. For all bears, young and old, it means running into a lot more people and, as a result, dying at a much higher rate from lead poisoning.
Why? If you are a bear eating meat you will end up following elk hunters around and, as a consequence, either accidentally running into them at close quarters or contesting the carcass of an elk they may have killed and carelessly left out overnight. Either way, you typically end up dead. Or, increasingly, given the decline in elk and bison populations, you will end up on the periphery of the ecosystem in the midst of cows and sheep. To a bear, these livestock are not any different from any other large herbivore, except that they are ill-equipped to defend themselves as a consequence of our breeding for docility. So you end up killing calves or sheep and shortly thereafter, dead, usually because you are killed by a wildlife manager or a hired gun from Wildlife Services.
In fact, the numbers of grizzlies dying as a result of run-ins with hunters or conflicts over livestock have sky-rocketed since the mid- to late-2000s, hard on the heels of losing cutthroat trout and whitebark pine and coincident with declines in elk populations (see the graphs [here](#)).
And, of course, our wildlife managers never feature this highly problematic aspect of grizzlies eating more human-related meat as compensation for losing natural foods. If conflicts with ranchers or hunters are mentioned by state managers such as Wyoming’s Dan Thompson, it is only to be blamed on presumed increases in the grizzly bear population—an oft repeated myth in its own right (for more, follow [this link](#)). There is never any connection made with the progressive unraveling and impoverishment of the ecosystem.
**Let Them Eat Cake…On Somebody Else’s Dime?**
I end by pointing out what may be painfully obvious. I am upset and distressed by what I see as a
profound betrayal of the public trust by those who are the supposed trustees—those public employees, paid very generous salaries (for example, the GS-14 pay rate), who should be speaking truth as part of an assiduously neutral and non-partisan implementation of public policy. Rather than this, what we get is an endless parade of propaganda that serves both a partisan political agenda (premature delisting of Yellowstone's grizzly bear population) and, not coincidently, the career prospects of those who serve it up.
But, more than this, I am profoundly distressed by what I see as a betrayal of the potentially important service that science might otherwise provide to society. And this on the part (again) of well-paid government scientists who hold a monopoly on all of the relevant data. A situation that precludes independent inquiry that might otherwise be a corrective for often unconscious bias, or just simple error. A situation that the involved scientists assiduously perpetuate as part of a self-stated interest in advancing their careers (follow this link). Moreover, a situation that is supported by the full resources of the US Geological Survey and US Fish & Wildlife Service. Not to mention the involved state wildlife management agencies.
The solution? Perhaps as a start, we could create a more open scientific arena. Concurrently, we could put the brakes on the rush to delist Yellowstone's grizzly bear population until we have a more reliable picture of what's going on, produced by a more reliable and independent process of inquiry. Then we could educate our public employees about the role they ideally play in a democratic society. And, perhaps, in addition, we could encourage the retirement of those of our presumed public servants who have contributed in such a major way to corrupting the arena of grizzly bear conservation and management.
Partisan Scientists in Public Service I: The Strange Case of the Interagency Grizzly Bear Study Team
March 31, 2016 | David Mattson
Researchers radio-collar an immobilized grizzly bear in this undated IGBST photo.
The Interagency Grizzly Bear Study Team, hereafter the IGBST, was established in 1973 to provide managers and other stakeholders with reliable scientific information relevant to managing Yellowstone's grizzly bears. The impetus for constituting this research group grew from a period of stormy and often strident controversy arising from a decision by the National Park Service to cut bears off from access to human garbage. The famous grizzly bear researchers, Frank and John Craighead, were on one side, advocating a titrated closure of garbage dumps whereas Park Service managers, led by Glen Cole, were on the other, staunchly supporting a cold turkey approach (follow this link for more on this history).
Without going into excruciating details of this controversy, suffice it to say, blood was probably not literally shed only because of our laws against murderous mayhem. The involved guys hated each other. Or more directly to the point of what follows, all sorts of less than objective emotions and motivations seethed under the covering rubric of objective science, which was freely invoked by all involved.
Grizzly bear science in litigation
Fast forward to around 2005. After more than a decade of political and scientific maneuvering that began in the early 1990s, the US Fish & Wildlife Service's (USFWS) Grizzly Bear Recovery Coordinator, Chris Servheen, oversaw a bid to remove Endangered Species Act (ESA) protections for Yellowstone's grizzly bears. The population had been listed under the ESA in 1975 because of grave concerns about population viability on the heels of a slaughter resulting from closure of Yellowstone's garbage dumps. The USFWS released the official Rule to delist Yellowstone's grizzlies in 2007 only to see the Rule overturned in 2009 by Judge Malloy of Montana's federal District Court, upheld in 2011 by the federal 9th Circuit Court of Appeals (see the original ruling here).
Why? Because in a virtually unprecedented move, the Courts serially ruled that the USFWS had disregarded or misrepresented a large body of relevant science. The Courts rarely rule on the substance of the science in matters such as this one; they almost always defer to the expertise of the involved federal agencies, which made these rulings truly remarkable.
More specifically, the District and Appeals Courts both concluded that the USFWS, or more specifically, Chris Servheen, had flubbed or otherwise spun the science regarding the effects of a critically important grizzly bear food: whitebark pine seeds. A number of more-or-less definitive scientific studies linked birth and death rates of Yellowstone's grizzlies to the amount of fat-rich pine seeds they had eaten, which mattered all the more because, during the process of judicial review, whitebark pine was being close to functionally extirpated by an unprecedented outbreak of lethal bark beetles driven, in turn, by a
warming climate (see this article by Macfarlane et al 2013). The USFWS denied not only the importance of this tree species to grizzlies, but also the magnitude of the tree’s losses.
Interestingly enough, Chris Servheen has a doctorate in wildlife ecology. Moreover, the IGBST scientists at the time, led by Dr. Charles Schwartz, were deeply involved with and fully complicit in, not only putting together the 2007 delisting Rule, but also in crafting court briefs. In other words, ignorance or lack of education can’t be plausibly invoked as an explanation for why the government scientists involved in authoring the 2007 Rule so egregiously misrepresented the relevant science.
**Grizzly bear science as politics**
So, what followed the Courts’ rulings? Something equally amazing. The USFWS’s Grizzly Bear Recovery Coordinator, Dr. Servheen, publicly castigated the federal judges, including reference to them in agency meetings and in media interviews as “activist judges with an agenda.” Chris Servheen made additional public statements around this time (and since) to the effect that Yellowstone’s grizzly bears needed to be delisted as part of a strategy to thwart those in Congress who wanted to gut or otherwise dramatically change the ESA (see this blog for some context). In other words, a low-level federal bureaucrat in an administrative agency charged with implementing policy was baldly confessing to playing electoral and legislative politics—paradoxically enough, an “activist bureaucrat.”
This alone should alarm anyone who cares about the integrity of our government. But, of more relevance to my thesis here, Dr. Servheen also publicly stated that his response to the Courts’ rulings would be to simply go back and, in essence, fix the scientific record so as to demonstrate that whitebark pine didn’t matter to Yellowstone’s grizzly bears—as opposed to another alternative he considered, which was to simply damn the Courts and reissue the exact same Rule (for example, see this email and this draft of a USFWS letter to Wyoming’s governor Matt Meade). In other words, he had already decided what any follow-on science would show. This by someone who works for an agency—the USFWS—singled out in virtually every study that’s looked at scientific integrity as being the most prone to subvert science in service of political ends (for example, see this UCS report).
All of this matters to my story because guess who paid for most of the follow-on science? Yep, the USFWS, at the behest of Chris Servheen. And, getting back to where I started, guess who executed all of the paid-for science? Yep, the IGBST, the same guys who helped create the overturned 2007 Rule. And guess who was deeply involved in crafting research questions and reviewing pre-published research results? Yep, Dr. Servheen again (for example, see this IGBST study plan that Dr. Servheen annotated). And guess what all of the resulting science was interpreted to show? Yep, that whitebark pine didn’t matter to Yellowstone’s grizzlies (for example, see this recent paper Van Manen et al 2016). And, finally, guess who produced in unprecedented fashion a white paper summarizing the unpublished new science, timed to serve the purposes of rushing ahead with a new delisting rule? Yep, the IGBST, hand-in-glove with Dr. Servheen (see this more-or-less ecstatic press release by the IGBC).
In fact, the group charged with overseeing management of Yellowstone’s grizzly bears—the Interagency Grizzly Bear Committee—voted almost immediately upon receiving the IGBST’s white paper to support a new delisting Rule, which was released by the USFWS in due course during March 2016.
Which is to say, this brief history is one that I would argue provides clear evidence of science corrupted to serve political ends, which can happen even when the involved people have the best of intentions (more on this next week). And the political ends are not hard to divine.
**The political imperative**
Both the USFWS and politicians and wildlife managers from the states of Wyoming, Montana, and Idaho have made clear that they are committed to stripping ESA protections from Yellowstone’s grizzly bears and transferring management authority to the states—no matter what (see this relevant blog). In the process, the USFWS, which has authority over the delisting process, has assiduously ignored any and all who have expressed concerns, including 40 plus Tribes who have demanded that they be consulted. The USFWS seems to be slaved to a narrative wherein they perversely “save” the ESA by removing protections for currently listed species, including Yellowstone’s grizzlies. In contrast, the states seem to be obsessively driven by a largely ideological need to control all wildlife management, coupled with a visceral hostility to any semblance of federal authority.
These diverse motives have produced some pretty strange outcomes, including a pro-delisting op-ed in a regional newspaper co-authored by Dan Ashe, the USFWS Director charged with implementing the ESA, and Matt Meade, Wyoming’s Governor and vitriolic critic of the ESA (see a comment here). As with Ashe’s minion Chris Servheen, this coupling of a federal bureaucrat with an elected official to advance a political agenda should be alarming to anyone who cares about the integrity of our public servants. But my main point is the extent to which the USFWS and the involved states are joined at the hip when it comes to delisting Yellowstone’s grizzlies.
**Next week…**
So, with the stage set, next week I delve into current circumstances that virtually guarantee subversion of Yellowstone’s grizzly bear science. Even though there are other plausible interpretations of the history I summarized above, it is the constellation of factors influencing Yellowstone’s grizzly bear scientists that makes corruption of the scientific endeavor virtually inevitable. Stay tuned.
Judy Lenoir · Volunteer at Emerald Coast Wildlife Refuge
Incredible...but not surprising....
Like · Reply · Mar 31, 2016 7:25pm
Carol Deech
I would have assume that the IGBST was a check and balance watching over the USFW, this cannot happen if the person working for USFW is also on the committee for IGBST. Instead we have one person guiding both groups, which can be very influential. Mr. Seervhan should be removed from the IGBST and replace with a true bear wildlife biologist that actually looks at the science and not the political agenda of others
Like · Reply · Apr 1, 2016 6:03am
Load 1 more comment
Partisan Scientists in Public Service II: The Strange Case of the Interagency Grizzly Bear Study Team (continued)
April 7, 2016 | David Mattson
Another grizzly being collared to then be followed (undated IGBST photo)
Last week I painted a picture of corrupted science behind the current push to remove Endangered Species Act (ESA) protections from Yellowstone's grizzly bears. On the face of it, there are other possible interpretations. But what makes the case for corruption particularly compelling is the extent to which this scientific endeavor is beset by a perfect storm of influences that in combination virtually guarantee subversion of the entire undertaking—even with participating scientists who have the best of intentions.
The ingredients of corruption
Any useful explanation of my claim necessarily starts with some basic observations about the human condition. Most fundamentally, all people are captive to their subjectivity, which axiomatically debars any of us from being truly "objective." With that, we are prey to bias. This fundamental psychological truth makes us additionally prey to a phenomenon called "groupthink," which arises when we surround ourselves with like-minded people who reinforce our prejudices and perspectives. Most of us are also notoriously vulnerable, directly or indirectly, to the sway of money, which becomes all the more potent when we are subsumed in a system that rewards us for bringing money in the door. Finally, given all of these powerful bias-inducing forces, science only truly progresses—or produces "reliable" results—when done under circumstances of the utmost transparency and openness, including ample provision for the attempted independent replication (or refutation) of any research results.
With these basics in mind, it is pretty easy to compile a list of hugely problematic circumstances that beset the government scientists producing the information being used by the US Fish & Wildlife Service (USFWS) and regional state politicians to advance the agenda of delisting Yellowstone's grizzly bears. Seven toxic ingredients...
1. Self-delusion: Every Interagency Grizzly Bear Study Team (IGBST) scientist that I've known, past or present, has at some time publicly claimed that they are "objective"—sometimes fervently and defensively so. As often as not, they also claim that they merely "let the data speak for themselves." And I truly believe that they truly believe what they say. This certainly holds for the current IGBST Leader, Frank van Manen, as well as his predecessor, Chuck Schwartz.
But putting beliefs aside, whenever I hear anyone make such claims red flags go up. Rather than
providing reassurance, I typically end up being convinced instead that the person making such assertions has little self-reflective capacity—which is a big problem. I contend that the only way any of us can attain even some measure of objectivity is by being acutely aware of the inevitable biases that arise from our immersion in subjectivity. Without such awareness, I suspect that people such as Frank and Chuck are (or were) all the more vulnerable to the biasing forces that pervade their professional practice. And, in fact, “confirmation bias” in research is such a widespread phenomenon that it has spawned its own body of scientific literature.
2. **Groupthink:** Put succinctly, the IGBST’s scientists and their invited collaborators are pretty much holed up in a private clubhouse with guns pointed outward ready to blast away at anyone who questions their science. A recent critique of the IGBST’s primary method for monitoring Yellowstone’s grizzly bear population by Dan Doak and Kerry Cutler was met with a putative rebuttal by the IGBST that, at least to my eye, relied more on the cumulative biomass of authors than on any particularly cogent arguments. Doak and Cutler’s rebuttal of their rebuttal was aptly entitled “Doth Protest too Much.”
The point of all this being that the IGBST and its helpmates have existed for years in a sort of echo chamber, which is perfect recipe for “groupthink” typified by conformity and an inability to imagine alternatives. In fact, sociologists who study scientists have long noted the prevalence of groupthink among research teams or lineages, most compellingly Thomas Kuhn in his work on scientific paradigms. Of relevance here, I see ample evidence of entrenched groupthink among the IGBST’s research group, made all the more problematic by the aggressively defensive response of this cabal to any perceived threat to their scientific hegemony and the deliberate exclusion of any public critics.
3. **Monopoly:** Under normal circumstances a research team afflicted by groupthink and populated by scientists prey to delusions of objectivity wouldn’t be a particularly big problem for the advancement of our collective understanding of the world. But this holds true only when all who might be interested have free access to the same physical system (as in physics or chemistry) or, in the absence of opportunities for exact replication, have unimpeded access to the same data, which holds for most wildlife field studies, including those of relevance to Yellowstone’s grizzly bears. Or put another way, any kind of monopoly on inquiry is antithetical to scientific integrity and the production of reliable information. Period. (The literature substantiating this basis point is beyond summary, but see Philip Kitcher’s 2002 book for an interesting perspective).
In the case of Yellowstone’s grizzly bears, the IGBST maintains a stranglehold on virtually all of the relevant data (Fischman and Meretsky provide context and background on this). There is only one Yellowstone grizzly bear population, only one dataset of direct relevance to management of these bears, and only one research team privileged with access to it. And this monopoly doesn’t exist by chance. The IGBST’s scientists, aided by the USFWS, have fought tooth and nail to maintain this monopoly and, in the one instance where a Freedom-of-Information-Act (FOIA) request forced them to disgorge some data, they have since worked hard, politically, to dismiss the resulting science. Even more egregiously, the current IGBST Leader, Frank van Manen, publicly stated that he needed to perpetuate a monopoly to advance his career (follow this youtube link). Mind you, all of the data as well as Frank himself are paid for with taxpayer dollars. A monopoly is a huge problem.
4. **Lack of replication:** I invoked replication immediately above, and I did so because replication of research, or the opposite (lack of replication) is the foundation of any scientific progress—or reliable information. And attempted replication is best undertaken by an independent team of preferably cantankerous and critical scientists, or at least scientists who have a burning desire to genuinely understand how the world works. Peer review is sometimes invoked as THE cornerstone of science, but it isn’t (more on that immediately following). Independent attempts at replication are.
In the case of Yellowstone’s grizzly bears, where you have messy data collected under messy field conditions, this amounts to independent analysis that deploys alternative models and statistical methods given that modeling is the only means by which useful insight into environmental change—e.g., loss of whitebark pine—can be achieved. But there are numerous possible models parameterized by a number of possible statistical methods, and none are “correct.” In fact, different models will give you different results, even using the same data and asking the same question. Illustrative of this, a recent article in Science featured what happened when 29 research teams were given the same dataset and asked to determine whether a particular effect was “significant,” not unlike loss of whitebark pine. You got essentially 29 different answers, ranging from non-significant, to slightly significant, to highly significant. In application to any complex system, there are multiple possible models and multiple possible outcomes and, in any situation that is contested and consequential, as many of these models and results as possible need to be on the table for consideration.
My point? The deliberately perpetuated monopoly that I described above debars replication, diverse analytic perspectives and, with that, any reliable science.
5. **Politicization of peer review:** But what about peer review? This question matters because the USFWS, the IGBST, and its parent organization, the US Geological Survey (USGS), constantly assert that peer review is not only the cornerstone, but also the guarantee of quality science (for example...). In other words, invocation of peer review is a primary means by which these invested federal agencies skirt the monopoly issue in the case of Yellowstone’s grizzly bears. Don’t worry about independent inquiry; we’ve got the bases covered with peer review—as an article of faith. And so on. But do they?
As it turns out, the research on peer review shows that it guarantees nothing (the literature on this is vast, but see these two emblematic papers). The best that any half-way objective person can say for peer review is something similar to what Winston Churchill said about democracy: “Democracy is the worst form of government, except for all the others.” Hardly reassuring. One could say that peer review serves roughly four functions: censorship; improvement; maintenance of identity; and political advantage. On the censorship front, peer review works just about as good as flipping a coin for detecting and excluding egregious errors. Insofar as identity is concerned, it clearly constitutes a
cleansing ritual that helps sustain the self-ascribed elite status of most scientists. It works perhaps best as a means of improving scientific endeavors and products. But in the case of Yellowstone’s grizzlies, it is clear that peer review is used primarily for political purposes by the involved bureaucracies, primarily by making inflated claims for its efficacy as a basis for maintaining control over scientific inquiry, and, with that, advancing the delisting agenda.
6. **Corrupting money:** Almost all scientists scramble for money to do research, which holds for IGBST scientists as well. They have their salaries more-or-less covered by agency budgets, but rely on outside money to hire consultants, recruit other outside help, and execute many field studies. But with money comes the potential for often tacit corruption, especially when the research is highly politicized, the money fronted by an entity with a vested interest, and where there is explicit provision for this party to have a seat at the table when shaping research questions and vetting research results—all of which holds true for the post-2007-litigation science produced by the IGBST. Chris Servheen of the USFWS ponied up most of the taxpayer dollars to support this research, along with a mandate to target the whitebark pine issue at the heart of the Courts’ 2009-2011 rulings, and a timeline for cranking out the science in support of a delisting rule prior to the 2016 elections (for example, see the IGBST study plan which explicitly targeted whitebark pine and was signed off on by Servheen). Moreover, email traffic obtained through a FOIA shows that Dr. Servheen was deeply involved in crafting, reviewing, and flogging this science. As I described last week, Recovery Coordinator Servheen is hardly a neutral civil servant. At a minimum, he pretends to play legislative politics.
7. **Business models of science:** And if this weren’t bad enough, the IGBST’s federal scientists are subsumed in an agency—the USGS—that has adopted a business model of science. Which means what? For one, those (such as the USFWS’s Chris Servheen) who pony up money for USGS scientists are referred to as “customers.” This implies that the IGBST is producing a product to satisfy the customer, which is, in fact, a highly prioritized outcome in the USGS. Amazingly enough, the USGS sends out questionnaires to “customers” asking whether they are satisfied, which is to say, asking whether the science served their purposes? (For example, follow this link). In a case such as Yellowstone’s grizzly bears, all of this predictably amplifies the corruptive potential attached to the money that the IGBST received in recent years from the USFWS, which, like all government bureaus, has its special interest agendas.
Perhaps for some readers who are sold out heart and soul to the capitalist model of everything, the notion of a business model is prima facie a good thing. But it is actually a bad thing when, in fact, the “customer” of a federal science agency is (as it should be) that amorphous blob of people called “the public,” and where the ultimate purpose being served is fulfillment of the public trust, not the expectations of a privileged few (see this recent insightful paper by Adrian Treves on the public trust doctrine with reference to predators such as grizzlies).
**What to do? Some recommendations**
What to do about all of this? Perhaps seven antidotes for seven toxic ingredients…
First, without intending to sound flip, I would recommend that leaders of the USGS, and most members of Congress for that matter, go back and take a civics course, and perhaps even bother to read some of the original texts authored by Adam Smith. A little Max Weber might not hurt either. And then they should root out the corruptive business model—“pay to play”—that has taken hold in the USGS and other federal government bureaus.
Second, the monopoly that plagues Yellowstone’s grizzly bear science absolutely needs to be broken; which means that all of the data, bar none, should be made freely available to scientists and citizens for multiple independent inquiries. The argument advanced by the USFWS that these data need to be sequestered to protect Yellowstone’s grizzlies from poachers should be recognized as the ruse it is.
Third, the move to delist Yellowstone’s grizzly bears should be put on hold until there is, in fact, some modicum of reliable science upon which to base deliberations. As is, I would argue that there is none to be had, for all of the reasons listed here.
Fourth, it might not hurt for the current crop of IGBST scientists and their compadres to sit through a class or two devoted to social-psychology and, better yet, the sociology and philosophy of science. There is clearly a knowledge deficit on this front.
Fifth, it also might not hurt for all of the involved scientists to dig into the research that has focused on the efficacy (or inefficacy) of peer review, the critical importance of replication, and the problems of model-based inquiry into messy data. The current naïveté and faith-based approaches to scientific practice are, quite frankly, staggering.
Sixth, it might improve matters if some of those in the USFWS who have overstepped the bounds of ethical behavior were appropriately chastised for their overreach. Clearly, people as high as Dan Ashe and as low as Chris Servheen don’t have a good grip on what is and is not appropriate behavior for a civil servant in an administrative agency. Perhaps clearing house might be in order.
Finally, seventh, I strongly recommend humility and caution on the part of those managing and studying Yellowstone’s grizzly bears. No matter how good our science, we will always be dealing with a huge amount of uncertainty rooted in the massive global changes afoot.
Once again thank you David for your invaluable insight.
Like · Reply · Apr 7, 2016 3:12pm
ALL GRIZZLY
READ THE SCIENCE!
Find out everything you ever wanted to know about the biology and ecology of grizzly bears. Authored by world-renowned bear biologist Dr. David Mattson, this site summarizes and synthesizes in beautiful graphic form the science of grizzly bears.
WYOMING WILDLIFE ADVOCATES
Promoting rational, science-based wildlife management that maintains a sustainable balance between species.
BEARS FOREVER
Bears Forever brings together elected leaders, scientists, and stewardship personnel from four communities in the heart of the Great Bear Rainforest: the Wuikinuxv Nation in Rivers Inlet, the Heiltsuk Nation in Bella Bella, the Kitasoo/Xai'xais Nation in Klemtu, and the Nuxalk Nation in Bella Coola.
GOAL TRIBAL COALITION
GOAL is a coalition of nearly 50 tribes (and counting) who object to the federal and state plans to delist grizzly bears prematurely and allow trophy hunting of this sacred being. GOAL advocates for the tribes’ legal right to meaningful consultation and also for the reconnection of tribal peoples to their traditional homelands.
The Wizard of Oz is a great story full of the classic characters and elements of a good fantasy. A hardy troupe of protagonists, aided by a self-proclaimed powerful wizard, embarks on quest beset by an evil witch. The 1930's Hollywood derivative of this story was one of my favorite movies as a kid. CBS aired the show annually during 1959-1967, which meant that each year my family gathered around our modest-sized black and white television with (of course) a tub of popcorn to watch Dorothy and her companions defeat the Wicked Witch of the West.
One interesting aspect of this story is the allegorical journey undertaken by Dorothy and her friends through which they arrive at a more empowered and confident sense of themselves. Tellingly, this evolution triangulates against, first, their dependency on and, then, their unmasking of the (mostly good-hearted) Great and Powerful Wizard of Oz, who turns out to be a charlatan, a salesman, and the owner of a useful hot air balloon. The climax comes when Toto, Dorothy's dog, pulls back the curtain of the antechamber to the Wizard's audience hall to reveal a very human man industriously pulling levers and chains to generate the intimidating façade of a great wizard.
Frank Baum wrote the Wizard of Oz stories partly for pure entertainment, but also partly as an instructive metaphor. Without delving into Baum's metaphorial aspirations, I see some of my own.
Hopefully without stretching a point too far, The Wizard reminds us about the perennial plight of citizens in a democratic society. We frail humans are all too often seduced by the self-proclaimed and culturally-enshrined wizards of our day, to whom we look for wisdom, answers, and direction. At least in the U.S., these "wizards" include scientists, technocrats, and other experts who we ascribe privileged access to mystical insights and powers. But, of course, the moral is that a vibrant democracy requires that we empower ourselves through self-education and a healthy level of skepticism that includes periodically peeking behind the curtain to see who is pulling what levers and why.
Which brings me to my point. There are currently a number of government officials industriously
pushing and pulling on levers and chains, veiled by their self-proclaimed expertise, shrouded in a cloud of bureaucratic smoke—preaching a seductively simple story about Yellowstone’s grizzly bears. And the story is clearly intended to support removal of federal Endangered Species Act protections and transfer management authority to the states of Wyoming, Montana, and Idaho.
**A Just-So Bedtime Story**
In a nutshell, this is their story.
The Yellowstone grizzly bear population has grown and grown until there isn’t any more room for any more bears. The population has reached carrying capacity. The hotel is fully booked, the sardine can is full. And, of course, this burgeoning of bears is almost wholly due to the efforts of the hero-protagonist technocrats—our figurative all-powerful wizards. Changes in the natural environment—changes in abundance of foods—had nothing to do with it. After all, grizzly bears are resilient omnivores that can just as easily subsist on salad greens as on steak.
As part of this story, the government’s ordained scientific experts assert that they assiduously looked at the potential effects of foods…well, actually, food. Which is to say, they looked at the effects of changes in abundance of a single food source—whitebark pine trees (a source of fat-rich seeds)—and found nothing. Trees were being decimated by bark beetles but the rates at which grizzly bears died didn’t change, barring that of young bears that were being killed by mean older bears that they were randomly bumping into more often because there were so many more bears running around on any given acre. In other words, if there were changes, they were solely because of increasing densities of bears.
As a corollary, the government’s technocrats claim that “carrying capacity” is fixed and unchanging for Yellowstone’s grizzly bears. The population has increased to this food-determined level and has been hovering there since; hence, the more-or-less static death rates that the scientists claim to have documented—even including a decrease in death rates for male bears. And, of course, the argument depends on accepting that grizzly bears are indifferent to changes in quality and quantity of foods—including the foods from which they historically obtained over 80% of their energy and nutrients. Yellowstone’s grizzlies were presumably unaffected by the virtual extirpation of cutthroat trout, loss of over 70% of seed-producing whitebark pines, and 50-90% declines in the ecosystem’s elk herds. Never mind that government scientists didn’t even bother to look for an effect of elk or trout losses—or a millennial drought, or major increases in bear consumption of army cutworm moths (another important food) for that matter. Grass and dandelions and mushrooms will presumably do just fine.
Well. Yes. Ahem. Probably not.
**Now for the Rest of the Story**
The just-so story being promulgated by government technocrats--most notable the Interagency Grizzly Bear Study Team (IGBST) and the US Fish & Wildlife Service's recently retired Chris Servheen--fails on just about every count. The government's simple-minded and convoluted reckonings of carrying capacity and nutritional ecology are, well, simple-minded and convoluted. Carrying capacity—that is, the food-determined capacity of any given acre to support a bear—clearly varies enormously from one season or one year to the next. It fluctuates all over the place. Moreover, carrying capacity can exhibit long-term upward and downward trends.
There is good reason to believe that carrying capacity for grizzly bears within the confines of Yellowstone's Primary Conservation Area has actually declined, probably substantially so. Grizzlies historically got most of their energy and nutrients from elk, bison, cutthroat trout, whitebark pine seeds, and army cutworm moths. As I mentioned immediately above, we lost a significant amount of all these foods—barring moths—and, as it turns out, livestock. If Yellowstone's grizzlies are up against carrying capacity, it probably has more to do with them bumping their figurative heads against a ceiling that's collapsing on them.
And then there's the notion that one food is as good anther, sold under the rhetorical billing of "resilience" and "omnivory." As one omnivore talking to another, it is patently ridiculous to claim that we can do just as well on salad as we can on steak, or even on rice and potatoes—or to claim the same for grizzly bears. Burke and Wills, the famous European explorers of the Australian outback, managed to starve to death while feasting on an aquatic fern called nardoo. Interestingly, there are some people who are willing to believe just about anything offered up by the technocrats.
**Including a Look at the Data**
But in addition to the intrinsic implausibility of the government's story, there are publicly-available data by which one can independently judge the story's veracity. These data include annual estimates of grizzly bear population size, reckonings of population distribution, tallies of grizzlies known to have died, and estimates of abundance for all of the important foods, whether direct measures or proxies. And when you look at these data, a radically different picture emerges.
Starting with the easiest point: The government does claim (mostly) that Yellowstone's grizzly bear population hasn't increased much or at all since the early 2000s. So we have nearly as many bears now as we did, say, 15 years ago. Of course, at times you will hear claims of 2% per annum increases, typically whenever convenient. But this doesn't change the fact that the latest "official" claims are of no increase. Actually, the best available estimate of trend based on the best available estimates of population size show no change or, if there is change, a slight increase from 2002-2006 and then a slight decrease thereafter. I show these population trends based on what's called the Mark-Resight method in figure 1 below.
Interestingly, during the same time that numbers of bears were static, the population's distribution...
increased by 30-40%, mostly to the east and southeast into Wyoming. The key point here is that the same number of bears ended up being spread out over an ever-larger area beginning in the early 2000s. Axiomatically, population-level density declined (number of animals divided by the extent of their distribution). So density couldn’t have increased. Density as such, especially increasing density, doesn’t explain anything.
So let’s look at what’s been going on with known and probable deaths of grizzly bears in the Yellowstone ecosystem. Trends in these numbers are enlightening in their own right, but especially intriguing when compared to numbers of live bears. This kind of comparison gives you a direct indication of what’s been going on with death rates (death rate is essentially numbers of deaths divided by numbers of live bears for a given period of time).
I show these trends in figure 1 immediately below as well. The red wavy lines are a smoothed representation of deaths, with females shown at top and males at bottom. The black dashed and dotted line represents annual estimates of population size. Notice the stark increase in deaths of both males and females during the same time that population size remained more-or-less flat. Ergo, death rates of both males and females must have been increasing dramatically, especially from the mid-2000s on—which flatly contradicts the government’s assertion that death rates have remained the same, or, in the case of males, even improved. How can this be? I don’t know, but I’m inclined to believe some pretty straight-forward and robust data more than obscure and closely guarded complex models promulgated by a chosen few technocrats.
*Figure 1. These graphs show numbers of known and probable grizzly bear deaths in red, differentiating females (top) from males (bottom), this for bears 2+ years old. The light gray line shows annual values in contrast to the red lines which show a 3-year moving average. Total population estimates are shown by the black dots and dashed line fit to a trend indicated by the thick gray line. A trend line is also fit to numbers of deaths for the period 2002-2011, a period when the government claims that death rates were stable or improving.*
It seems especially egregious that the government asserts stable or improving death rates at the same time that the grizzly bears deaths we know about were increasing at a rate of 9-11% per annum—during 2002-2011. This is an astounding rate of increase.
If you accept what seems obvious, that we’ve had major increases in grizzly bear death rates, at the same time that the surviving bears were spreading out over a larger area, then the question becomes: Why? If density is not the explanation, what is?
I think the answer emphatically has to do with foods—and the extent to which consumption of those foods exposes bears to people. And exposure to humans matters because roughly 80% of all adult bears that die do so because a human kills it—especially humans with bad attitudes and guns.
I put together the trends relevant to this point in figure 2. There are three graphs, each showing trends in total numbers of dead bears (the top red lines) superimposed on trends in an important food; elk on the left, cutthroat trout in the middle, and drought (as a proxy for a number of other vegetal foods) on the right. I don’t show abundance of whitebark pine seeds, but I’ll get around to that shortly. Parenthetically, the lower red line tracks numbers of bears dying from natural causes, with the remainder attributable to humans.
*Figure 2. This triptych of graphs each repeat the same trend lines for total grizzly bear deaths (the top red line).*
The trends are striking. Deaths started to increase at about the same time as we began to see major declines in trout and elk numbers. The sharp uptick in deaths starting around 2007 further correlates with major declines in availability of pine seeds (you can see trends in availability of pine seeds as dotted lines in figure 3 below). We can explain over 70% of the annual variation in numbers of grizzly bear deaths in Yellowstone simply on the basis of food availability. As simple as that, and in stark contradiction to the government’s assertion that food has played no role.
**A Plot Twist Related to Whitebark Pine**
There is an another key point to be made about the effect of whitebark pine losses in all of this. Grizzly bears made a major shift to eating more meat as compensation for losing pine seeds—and meat is an energy-rich nutritious food. But there are two big problems with meat. First, wild meat on the hoof has declined substantially (e.g., elk), which leaves bears scrambling for other sources. Second, meat is a particularly hazardous food for bears when it brings them into contact with hostile and well-armed people…which is precisely what’s happened since roughly 2007.
Figure 3 shows trends in numbers of grizzly bears killed by humans because of conflicts associated with meat (the red dots), with numbers killed by big game hunters in the top graph and numbers killed because of conflicts over livestock in the bottom. Parenthetically, hunter kills have increased at the same time that numbers of hunters afield have declined (the gray dots), with lethal encounters often arising from surprise encounters or because bears are contesting possession of an hunter-killed elk. So there is no particular mystery about where bears are increasingly turning to find meat; its livestock, largely on the ecosystem’s periphery, in areas only recently colonized by bears. Because they are looking for food? Probably. And do the government technocrats even acknowledge a connection between loss of pine seeds and the hazardous consequences of eating more meat? Of course not. It doesn’t fit the just-so story.
So I have one final and important point to make about whitebark pine. The government’s anointed researchers in the IGBST claim to have accounted for availability of whitebark pine seeds in the science they’ve been pumping out during the last 5 years or so. They haven’t. In fact, they messed up their representation of whitebark pine seed availability so badly that it renders their analyses nonsense.
The problem is simply this, and it consists of two parts. First, the most straight-forward part: Their map of whitebark pine distribution misses roughly 60% of the places where we know for a fact that grizzly bears ate pine seeds. The map was generated from satellite data whereas the information on where bears ate pine seeds was collected by people standing on the ground. I know which I would believe.
But the second fatal problem is that the government’s scientists confused pine trees with pine seeds. Or, put another way, grizzly bears don’t eat trees, or leaves, or bark, they eat pine seeds. This distinction is hugely important because pine cone (and seed) crops vary enormously from one year to the next—even with the same number of trees there. The government failed to account for this simple fact and, instead, represented availability of “whitebark pine” as a satellite-reckoned estimate of the extent of whitebark pine forests in the ecosystem, declining as a presumed function of the massive kills by bark beetles that commenced in the early 2000s. They didn’t account for size of the cone crop and, as it turns out, we had a pine cone drought during a period of maximum whitebark pine forest extent, and a relative abundance of pine seeds during a period of major bark beetle kills. The surviving trees were producing roughly twice as many cones. Why? Who knows, but the fact remains.
The point of this is that the government got their reckonings of pine seed abundance ass backwards in pretty much all of their analyses simply because they conflated the aerial extent of whitebark forests...
with annual abundance of seeds. In other words, aside from all of the other paradoxes, contradictions, and problems I describe, the government failed to actually accomplish the single task they set themselves.
**A Story for Thinking Adults**
So, here is a more plausible and alarming story...
Carrying capacity in the Yellowstone ecosystem is declining, and has declined since the mid-1990s, triggering a spread of the grizzly bear population out over an ever-larger area in search of food. Declines in carrying capacity, largely in the core of the ecosystem, commenced with losses of elk and cutthroat trout, were amplified by a period of drought during 1999-2009, and further escalated by declines in availability of Whitebark pine seeds beginning around 2006. These losses triggered an increase in death rates that has been amplified in recent years by an increasing reliance of bears on meat in situations that bring them into contact with intolerant and well-armed people. As a consequence, the population has reached a tipping point. Future prospects are not good.
This is a population of grizzly bears that’s in trouble. Now is not the time to lessen protections and contemplate any increases in mortality—certainly not to accommodate the crass motivations of those who want to trophy hunt Yellowstone’s grizzly bears. And, in case you missed it, our state wildlife management agencies are pretty much slaved to the purposes of such people.
It is time to draw back the curtain...
---
**2 Comments**
**Sort by:** [Oldest](#)
**Doug Peacock · Emigrant, Montana**
Another great goddamned analysis by Dr. Mattson. Dave, we couldn’t wage these battles to keep Yellowstone’s grizzlies on the ESA without your data.
**Like · Reply** 3 · May 5, 2016 4:15pm
**Dan Sullivan · University of San Francisco**
I’m a Mattson ditto head. You should be too.
**Like · Reply** 1 · May 6, 2016 6:17am
---
Find out everything you ever wanted to know about the biology and ecology of grizzly bears. Authored by world-renowned bear biologist Dr. David Mattson, this site summarizes and synthesizes in beautiful graphic form the science of grizzly bears.
Promoting rational, science-based wildlife management that maintains a sustainable balance between species.
**Bears Forever** brings together elected leaders, scientists, and stewardship personnel from four communities in the heart of the Great Bear Rainforest: the Wuikinuxv Nation in Rivers Inlet, the Heiltsuk Nation in Bella Bella, the Kitasoo/Xai’xais Nation in Klemtu, and the Nuxalk Nation in Bella Coola.
---
**GOAL TRIBAL COALITION**
GOAL is a coalition of nearly 50 tribes (and counting) who object to the federal and state plans to delist grizzly bears prematurely and allow trophy hunting of this sacred being. GOAL advocates for the tribes' legal right to meaningful consultation and also for the reconnection of tribal peoples to their traditional homelands.
|
ROYAL NATIONAL BANK
Official Publication of
THE TEXAS SOCIETY OF ARCHITECTS
The Texas Regional Organization of
The American Institute of Architects
James D. Pflugar, AIA Editor
Don Edward Legge, AIA Managing Editor
904 Perry-Brooks Building, Austin, Texas
Published monthly by the Texas Society of Architects in Austin. Subscription price, $3.00 per year, in advance. Copyrighted 1951 by the T.S.A. and title registration applied for with the U.S. Patent Office.
Editorial contributions, correspondence, and advertising invited by the Editor. Due to the nature of the publication, editorial contributions cannot be purchased. Publisher gives permission for reproduction of all or parts of editorial material herein, and requests publication credit be given THE TEXAS ARCHITECT, and author of material when indicated. Publications which normally pay for editorial material are requested to give consideration to the author of reproduced by-lined feature material.
Appearances of names and pictures of products and services in either editorial copy or advertising does not constitute an endorsement of same by either the Texas Society of Architects or the American Institute of Architects.
TEXAS ARCHITECTURAL FOUNDATION
904 Perry-Brooks Building, Austin, Texas
TSA OFFICERS FOR 1970
Douglas E. Steinman, Jr., Beaumont President
Thomas A. Bullock, Houston President Elect
Clinton McCombs, El Paso Vice President
Pat Y. Spillman, Dallas Vice President
Alan Taniguchi, Austin Vice President
Jay Barnes, Austin Secretary-Treasurer
Daniel Boone, Abilene Regional Director
Howard R. Barr, Austin Past President
Reginald Roberts, San Antonio President TAF
Don Edward Legge, Austin Executive Director
TSA DIRECTORS FOR 1970
Richard Buzard Abilene Chapter
Fred W. Day Austin Chapter
W. R. [Dede] Matthews Brazos Chapter
John M. Olson Corpus Christi Chapter
Harold Box Dallas Chapter
David E. Hilles El Paso Chapter
Robert Chambers Fort Worth Chapter
Preston M. Bolton Houston Chapter
Marvin L. Boland, Jr. Lower Rio Grande Valley Chapter
Marvin L. Stiles Lubbock Chapter
Ann Bintiff Northeast Texas Chapter
Vernon Helms San Antonio Chapter
Charles Bullock Southeast Chapter
Jimmy E. Bailey Texas Panhandle Chapter
David Carnahan Waco Chapter
John W. Gary West Texas Chapter
Charles Harper Wichita Falls Chapter
INDEX
3 Strong, simple forms combined with crisp details result in the jewel like Royal National Bank, Texas Architecture 1969 selection.
11 The Soaring Sixties took-off like a rocket and finished like a dud in the construction industry. What happened? What will the Super Seventies accomplish? George A. Christie, Chief Economist, F.W. Dodge Co. in A Review: Construction in the Sixties, predicts changes needed and action required.
16 The Texas Architect in its Texas Historic Architecture series visits The University Y.M.C.A., Austin, for the last time. A new Y will soon replace the memories of the past fifty-eight years.
7 HUD Secretary, George Romney in Housing address outlines solutions and predicts policies that will be required to produce 26 million new housing units by 1978.
Texas Architect Advertisers:
P. 22 Jones-Blair Co.
P. 22 Josam Manufacturing Co.
P. 23 Mosher Steel Company
ROYAL NATIONAL BANK
DALLAS
TEXAS
HARWOOD K. SMITH & PARTNERS ARCHITECTS
DALLAS
TEXAS
TEXAS ARCHITECTURE 1969
PHOTOGRAPHS BY JOHN ROGERS
MARCH, 1970
The Golden Gate Bridge, San Francisco, California, 1937
PROBLEM:
A NEIGHBORHOOD BANK TO BE CONSTRUCTED AS PART OF A "PLANNED DEVELOPMENT DISTRICT" FOR SMALL OFFICE BUILDINGS ON A 90'x120' SITE. PARKING AREAS IMMEDIATELY ADJACENT TO BUILDING WILL BE FURNISHED BY THE PLANNED DEVELOPMENT DISTRICT.
BANK REQUIREMENTS:
APPROXIMATELY 10,000 S.F. BUILDING WITH FIVE DRIVE-IN WINDOWS AND PNEUMATIC TUBE SYSTEM, ESCALATOR SERVICE TO SECOND FLOOR, 8 TELLER STATIONS, OFFICERS PLATFORM, BOOKKEEPING AREA, SAFE-DEPOSIT VAULT, BOARD OF DIRECTORS ROOM, AND COMMUNITY ROOM.
SOLUTION:
A TWO-STORY STRUCTURE WITH DRIVE-IN BANKING BELOW AND THE MAIN BANKING AREA ABOVE WITH ESCALATOR SERVICE CONNECTING THE TWO.
MATERIALS AND CONSTRUCTION:
MATERIALS:
EXTERIOR: ROMAN TRAVERTINE, SOLAR BRONZE GLASS, ALUMINUM WITH STATUARY BRONZE FINISH, BLACK GASKETS AND PLASTER SOFFITT.
INTERIOR: TEAKWOOD PANELING, CARPET, VINYL FABRIC, ACOUSTICAL TILE CEILING AND VERTICAL BLINDS.
CONSTRUCTION:
REINFORCED CONCRETE FRAME WITH BUILT-UP ROOF AND DRY WALL PARTITIONS.
ROYAL NATIONAL BANK
article layout by V. Raymond Smith
Meeting our nation's housing needs—26 million more units by 1978—is the biggest peacetime production job this country has ever faced. We are determined to meet it. It can be done provided we can convince the nation it should be done. We have a long way to go. The present housing shortage is grave, and the immediate outlook is not encouraging.
Overall housing vacancy rates have dropped by one-third since 1965, to the lowest levels in over 10 years. The rental vacancy rate in all metropolitan areas is an unhealthy 4.4 percent. New housing starts are declining rapidly. From January to December, the seasonally adjusted annual starts rate dropped 34 percent, from 1.9 million to 1,245,000. In the last five years, the cumulative housing deficit, excluding mobile homes, has risen to over 2.5 million.
Looking ahead, some estimates anticipate that starts will soon fall to an annual rate near one million and stay there through mid 1971. But let me tell you this. An annual starts rate of one million or less through 1970 is not enough and not acceptable to me or to this Administration. Housing production must be substantially higher, and with your help we intend to see that it is.
The current crises in housing is compounded by another crisis—the crisis of inflation. Each of them makes the other worse. On the one hand, the housing shortage feeds inflation. Consumer prices have increased 14 percent since October 1966; but shelter costs have risen 19 percent, and homeownership costs have jumped 23 percent—10 percent in the last year. More and more American families cannot afford decent housing. Half cannot afford to buy a new home. The general shortage raises the cost of all housing, old as well as new.
And on the other hand, inflation dangerously compounds the housing shortage. Inflation draws investments away from mortgages, with their fixed long-term rate of return, into more attractive equities. Rising interest rates reduce the impact of Federal subsidies for low-income housing. And some needed anti-inflationary steps—high interest rates and tight money—hit housing harder than any other industry, and months ago reached counter-productive levels in curbing inflation. Inflation and the credit crunch are much worse than in any period since World War II. Housing is bearing far more than its share of the burden of fighting inflation. Despite the worst credit crunch in modern times—and unlike previous tight money periods—we were able to keep enough
capital flowing into the mortgage market in 1969 to sustain housing production at about the same level as 1968. In addition, through vigorous implementation of housing assistance programs, we broke every record for housing construction for low- and moderate-income families. 1969 subsidized housing production for these families was up 13 percent over the previous all-time record set in 1968.
But these efforts were not enough, and the chief question facing all of us is how we move from where we are today to reach our housing goal.
To reach a goal, it is necessary first to identify and then apply pertinent sound principles. One basic principle which helped our nation achieve greatness is that public policies should encourage maximum private effort to meet basic human needs. For example, this principle powered the success and publicly encouraged, privately executed efforts like railroad building in the last century; the Homestead program; the great decision to premise our industrialized economy on competition, rather than monopoly and state control; and the vast expansion of home-ownership opportunity through FHA. But all too commonly in recent years, private responsibility has been eroded by excessive reliance on governmental action. As a result, government has become too occupied with sponsoring programs—rather than initiating and reshaping policies that will encourage maximum private action in meeting human needs. From 1960 to 1968, the number of Federal domestic programs leaped from 45 to 435.
This Administration is committed to developing sound policy, not just spawning programs: sound policies that will provide the stable and reliable framework within which you and your housing industry associates can work effectively to meet the nation’s housing needs.
The Administration is making steady progress in its efforts to overcome demand-pull inflation. The President has pursued a responsible fiscal policy—holding the line on Federal spending and maintaining a budget surplus. Without this, the Federal Reserve Board’s monetary policy would have had to have been even tighter than it is to cool off hyper-expansion of the economy.
But the battle is not won. The depth of inflationary forces was greater than was realized. As a result, we must have a hard, credible federal budget for the coming fiscal year, with a solid surplus, because monetary control has pushed interest rates to counter-productive levels. Furthermore, experience makes it clear that over-reliance on tight money policies to curb inflation distorts the economy. Only with an incontestable budget surplus for fiscal 1971 will it be prudent to undertake the needed easing of monetary policy without running the risk of losing the fight against inflation.
To meet our housing needs we not only need an end to inflation but a huge annual increase in money—private money—invested in housing. Consequently, our Department has been in the forefront of the fight to end inflation, to bring basic changes in the financial structure which will prevent housing from being the victim of inflation in any future credit crunches, and to generate budget surpluses.
The construction industry particularly feels the pinch of both interest rates and the wage-cost push. Construction wage rates are rising faster than any others. The increases last year were outrageous, and there is no assurance the increases this year will not be even more indefensible. Construction wage settlements have more than tripled those in oil, trucking, and rubber. They have run five times higher than settlements in the automobile and cannery industries. Exorbitant wage demands and settlements far in excess of productivity increases can cripple any industry. For an industry like yours—together with the exorbitant and equally indefensible increases in land and money costs which you already face—they could prove fatal to our housing efforts. For the economy as a whole, they could perpetuate inflation despite sound fiscal and monetary policy, or cause it to return.
In my opinion, this nation cannot afford to neglect the wage-cost-price spiral. We are in danger of going down the same basic economic road Great Britain traveled—the inflationary cost-push road that led ultimately to frozen wages, frozen prices, devaluation, and government control of collective bargaining. After 3½ hard years, Britain is only now in a position to begin relaxing the iron controls that were required as a last resort to avert economic catastrophe. America should learn from Great Britain’s harsh experience and Canada’s current effort. Our people must become more aware of the costs of continuing to seek unrestrained increases in wages and
prices. I hope we can find some acceptable means to curb these demands before the hard logic of sheer economic survival forces us to turn away even temporarily from our free competitive economy, and turn instead to government dictation and control.
Thus curbing inflation must be the foundation not only of a viable national housing policy but of our nation's future economic health and economic freedom.
Now let me touch quickly on the other ingredients of a national housing policy.
A second ingredient of such a policy is to foster and maintain a steadily expanding economy. Our national economic resources are abundant but not inexhaustible. Economically, we will never be able to do all at once all the things that we might like to do—either in government or in the private sector. We will have to set priorities among our many goals and allocate resources prudently.
Government monetary, fiscal and economic policy will play an important part in those decisions. If we can keep our economy growing smoothly—if we can avoid wide swings between inflation and recession, between deficit and surplus, between tight and easy money—then we will have created the conditions within which housing can receive its rightful share of America's economic resources.
Giving housing a higher national priority than it now receives is the third basic element of a sound national housing policy. We need your help in developing the industry-wide consensus and public support needed to achieve this goal.
A fourth ingredient of a national housing policy is to assure a much greater continuing supply of mortgage capital. In this tight money period, only vigorous federal action has kept the mortgage market situation from becoming worse than it is. The Federal National Mortgage Association activity is a prime example. Since last January, I have authorized increases in FNMA's borrowing authority which enabled it to make mortgage commitments totaling $6.5 billion. As you know, FNMA's activity alone has supported three-fourths or more of the entire FHA-VA market. FNMA's activity is obviously the principal reason that housing starts financed under the FHA and VA programs rose 20 percent in the ten months after January, 1969, in the face of a 37 percent drop in conventionally financed starts. In the past year, the Home Loan Banks increased their advances to member savings and loan associations by more than $4 billion, and an additional $1.3 billion was released for investment in mortgages by two cuts in associations' liquidity requirements. The recent tax reform measure removes accelerated depreciation except as a stimulus to newly constructed housing. Interest rate ceilings on FHA and VA mortgages were raised. Many opposed this move, but to have failed to increase FHA-VA interest rates to competitive levels would have been to ignore the realities of the marketplace and to allow existing sources of mortgage money, including the Federal National Mortgage Association, to dry up or slip away.
FNMA and GNMA instituted the $650 million Tandem Plan last November. It provides for a par price on mortgages for non-profit and cooperative sponsors of interest or rent subsidy multi-family projects, with GNMA absorbing any points if the price falls below par.
I am glad to announce today the authorization of an additional $500 million for a similar joint effort of GNMA and FNMA for Section 235 interest subsidy mortgages for single-family units. GNMA will commit for these mortgages at a price of 96, with such commitments ultimately sold to FNMA at the then current FNMA auction price. GNMA thus absorbs any discount below 96.
We are prepared to release this new special homeownership assistance program as early as next Monday. For any week thereafter, when FNMA's most recent average auction price for proposed construction is below 96, anyone needing a mortgage commitment for a Section 235 home may get one at a 96 price by coming to GNMA. Of course, when the auction price is above 96, we would expect builders to obtain their commitments directly through the auction system.
Thus you and your industry associates have no need to rush to the FNMA auction for money for any 235 project. The talk I have been hearing about getting money while it lasts is nonsense. GNMA has resources to absorb excessive discounts and FNMA can and will continue to provide the basic capital so long as it is needed.
And we are continuing to seek still other ways to assure a continuing and expanded future flow of mortgage capital. With them, we must tap the big new sources of savings such as pension funds.
A fifth ingredient of a national housing policy is to revise and strengthen land use policies. Our HUD programs for comprehensive area-wide planning are one example. Another is our New Communities program. We are working with the Urban Affairs Council to revise, expand and strengthen this program. But an ultimate key to better land use lies with state and local action to remedy the adverse effects of unduly restrictive local zoning regulations. All too generally, these exclusionary practices foster and perpetuate artificially isolated enclaves, distort the natural and needed balanced development of metropolitan areas, and prevent the efficient and effective use of land for meeting the legitimate housing needs of all our people.
Sixth in a national housing policy is assistance for housing low-income families. A program is underway to cut down FHA processing time so that we can increase subsidized housing starts in 1970 by 120% over the all-time record set in 1969.
A seventh ingredient is property tax reform. The local property tax structure generally falls more heavily on buildings than on land and penalizes rehabilitation, renovation and modernization. It encourages land holding and speculation. Improved assessment and incentives for property maintenance, rehabilitation and modernization are desperately needed.
Eighth, we must have efficient government administration and prompt processing. We have organized our entire Department for faster, better service. We are carefully weighing each of our multitude of housing programs, many of them overlapping, to determine the most efficient way to concentrate our resources and our energies on those which get the best results. It may be possible to reduce the number of programs and thus increase our overall effectiveness and our total capacity to serve.
A ninth element of a national housing policy is spearheaded by Operation Breakthrough: developing and applying new methods for quality housing in volume to meet the people's needs. You know as well as I what great industry interest Breakthrough has aroused, and how much innovative thinking it has already stimulated. It can help introduce not only new technology, but also new methods of financing, land use, marketing, and management. It can help remove such restraints as unwieldy code requirements, rigid labor practices, and restrictive zoning.
Meeting our housing needs can be the nation's greatest economic opportunity in the years ahead. This can be the principal stimulant of future sound, economic growth when inflation has been curbed. It can provide the new jobs needed when our involvement in Vietnam is over. We must expand the base of the housing industry. There is enough work to be done to keep all of us busy for years to come. For our biggest undeveloped domestic market is housing.
And finally, a total national policy for housing must include vigorous emphasis and effective concern for the economic and social implications of housing. We must and will continue to insist on equal job and enterprise opportunity for minority citizens. In HUD, we are providing urban study fellowships for minority individuals, conducting a systematic survey of minority building contractors, and opening up the construction trades increasingly to minority citizens. And we must be certain that the right to live in the community of their choice is available and open to all Americans. Excluding any Americans from their just share of any of the vast economic and social benefits which can result from our housing efforts would doom our total housing policy to failure. Worse still, it would threaten our very survival as a free people in a free society. For the most explosive threat to the future of this nation is the confrontation between the poor and the minority groups who are concentrated in the central cities, and the middle income and affluent who live in the surrounding and separate communities. This confrontation is divisive. It is explosive. It must be resolved.
Meeting our housing needs can trigger the regeneration of our national sense of community—the renewal of our national conviction that this is one America, not two—that we are what we say we are: one people and "one nation, under God, indivisible, with liberty and justice for all."
A REVIEW
CONSTRUCTION IN THE SIXTIES
"THE SOARING SIXTIES" WHAT HAPPENED?
"WAIT 'TIL NEXT DECADE"
The Sixties began in a mood of great expectations and ended on a note of "Wait 'til next decade". Waiting and priorities were what the 1960's were mostly about, especially in matters concerning the nation's construction needs.
Just the same, the statistics of the accomplishments of the past decade are quite impressive. For the first half of the period, that highly overworked term, "The Soaring Sixties," looked almost appropriate. It was only around mid-decade that soaring turned to souring. As a nation we spent, all in all, some $700 billion on the construction of new housing, industrial and commercial buildings, schools and hospitals, highways, and other facilities. That works out to just about one-tenth of the entire Gross National Product for the ten year period. But big as that total sounds, it fell short of its potential in two ways:
First, we just didn't spend enough. Not enough dollars were channeled into construction during the Sixties to come even close to meeting the nation's needs for housing and other facilities. In the face of growing needs and accelerating deterioration of the existing stock of buildings—especially in urban areas—we actually invested a smaller share of GNP in construction than we did in the Fifties. Had we spent the same share of our national income on construction in the Sixties as in the previous decade (and even that would have been too little in relation to larger needs) we'd have had the equivalent of an entire additional year's building output.
Second, we didn't get all we paid for. Inflation reduced the effectiveness of the $700 billion that was spent by some $85 billion—the equivalent of another year's output that was paid for but never received.
To understand why the Sixties turned out as they did, and perhaps gain insight into the Seventies at the same time, it's necessary to examine how some of the key developments of the past decade worked to shape construction markets. The four critical ones were: economic conditions; demographic change; the urban crisis; the Vietnam war.
ECONOMIC CONDITIONS
The economy of the Sixties was born in one recession and ended on the brink of another. Between those two brief setbacks was a period of uninterrupted business expansion which covered almost the entire decade. The durability of this long, recessionless span was certainly the outstanding economic feature of the Sixties. It had both a positive and a negative impact on construction activity.
One large block of construction is directly related to business activity. The factories, offices, stores, and other industrial and commercial building that represents capital spending for business corporations makes up about one-fifth of total construction activity. During the Sixties, this was construction's best growth market.
What made it so was a departure from the boom-bust cycle that is normally associated with capital spending. It boomed all right in the Sixties, especially during the first half of the decade as the economy moved out of recession and into full employment, but it never busted. Instead of dropping off sharply as the rate of business growth slackened around mid-decade, the high level of capital spending was sustained throughout the balance of the Sixties.
The long, uninterrupted stretch of prosperity was an important support of this high volume of business investment, but it took more than that. Two additional forces came into play: inflation, or more properly, the expectation of higher prices and profits; and a gradual but significant change in business investment planning. During the Sixties corporate investment policy matured, becoming more farsighted and less cyclical—even to the extent of planning for a strong volume of capital outlays through the period of economic slowdown that is now anticipated for 1970.
While the economic conditions of the Sixties led to a strong growth of industrial and commercial construction, they had quite a different effect on housing and some other types of building. Once the expansion of the early years of the decade turned into the severe inflation that blighted the final years, one of prosperity's unpleasant side effects came into play. Recurring periods of credit scarcity greatly restricted the financing of housing and other types of construction which rely on an ample supply of loanable funds.
With conventional housing output seriously curtailed by tight money, some of the demand for housing (especially at the lower-cost end of the scale) was met by a large increase in the sale of mobile homes. While conventional homebuilding was actually declining from the middle to the end of the decade, mobile home output doubled.
On balance, the long, unbroken period of economic expansion of the Sixties turned out to be as much a problem for some parts of the construction industry as it was a boom for others. One undisputed effect was to alter the composition of the nation's construction output between 1950 and 1960 away from residential building and toward business-related construction. The decade of the Seventies is almost certain to produce a swing back in the direction of greater emphasis on housing.
DEMOGRAPHIC TRENDS
The structure of the nation's population underwent an important change during the past ten years. It was the decade in which the postwar babies finally came of age. And as the kids of the Forties and Fifties became the young adults of the Sixties, they left their mark on construction as well as on most other social and economic institutions.
Between 1960 and 1970 almost half of the entire population growth of 26 million took place within the 15 to 24 year age group. Meanwhile, the group between ages 20 and 39 actually shrank by about two million over the decade. Looked at another way, when the Sixties began, the 15-24's just about equalled the 30-39's in number; by the time it ended, there were three young adults for every two people in their thirties.
This turn of events led to some quite natural and highly predictable consequences. College enrollments, for example, shot up from $3\frac{1}{4}$ million in 1960 to 7 million in 1970; elementary school enrollment growth slowed noticeably. The marriage rate, which had been declining during the Fifties, began to rise again in the Sixties. The rate of family formation—a critical gauge of the demand for housing—started increasing around mid-decade after a period of stability.
Each of these changes drew a response from the construction industry. The impact on the school building market was a big one. After an almost insatiable demand for elementary and secondary school facilities during the Fifties and early Sixties, growth of this market ceased. A rapid expansion of higher educational facilities filled the gap, but it was a different kind of construction—a lot more varied, and more costly, too. Out of nowhere came a surge of demand for dormitories, something that doesn't go along with K-12 building.
The rising marriage rate and an increase in the number of young adults living alone brought two key changes in the housing market of the Sixties. The first had to do with the kind of housing that was required to meet the needs of the new generation. In the Fifties, when most housing was being purchased by thirties-aged households that were the mainstay of the great suburban exodus of that decade, demand ran heavily to the single-family unit with an expansion attic and a VA mortgage. In the mid-Fifties, four out of five newly-built dwelling units were one-family houses. In the Sixties, a much higher proportion of home seekers wanted something different—a garden-type apartment for the newlywed, perhaps, or a unit in the city for those off on their own. That shrinking group in their thirties had become less of a force in the housing market.
Add the fact that financial conditions of the late Sixties gave apartment construction a strong edge over one-family building and you get the result: a shift in the composition of the housing market to the extent that by the end of the decade apartment units accounted for more than 40 per cent of all conventionally-built housing. By this time, the mobile home had also captured a sizeable share of the shelter market, too, and it was quite a different business than it was when the Sixties began.
The second major change in the housing market of the Sixties was the direct result of the increase in the total number of homeseekers. At the start of the decade a moderate surplus of housing existed as the formation of new families lagged. By 1970, this surplus had become a severe shortage in most parts of the nation. Vacancy rates for both single-family units and apartments were reduced below accepted minimum levels as the rapid growth in young households and a high rate of demolition of substandard dwellings outstripped production of new housing.
Housing is expected to be the fastest-growing major construction market of the Seventies as we tackle the goal of providing some 26 million dwellings to meet the needs of a growing population and replace more than ten million existing units that are, or will become, substandard. As in the Sixties, the form that this housing will take will continue to change along with the requirements of its buyers and renters. Equally important, there will have to be a great deal more innovation in the way this housing is produced so that future demand can be met at a realistic cost.
THE URBAN CRISIS
A far-reaching episode of the Fifties was the vast movement of population to the suburbs. For most of those who made the move, it was a happy experience. In the Sixties, the urban problems that had been left behind were thrust into the national limelight. There was nothing pleasant about it. Urban decay, poverty, and violence were the harsh domestic issues of the past ten years.
One indication of the kinds of problems that were demanding attention during this period is found in a cross section of the many special commissions that were formed to examine urgent matters and recommend courses of action. A partial list includes national committees on: civil rights; equal employment opportunity; violence; consumer interests; voting rights; civil disorders; law enforcement; urban problems; hunger. These were measures of a troubled decade.
Not all of these problem areas required solutions involving construction, but a surprisingly large number of them did. In response, Congress passed a prodigious volume of legislation aimed at upgrading the status of the nation's poor and making the city a better place in which to work and live. Out of this came some major new programs for construction.
Housing, where the need is most urgent, drew Congress' greatest attention. Two major laws, the 1965 and 1968 Housing Acts, shifted the focus of our long sequence of housing legislation to bear on the problem of providing more urban housing at lower cost. The creation of the Department of Housing and Urban Development (HUD) and the formulation—for the first time—of a national housing plan for eliminating substandard housing over the next decade while providing some 26 million dwelling units indicated the thrust of this legislation. Related programs, such as Model Cities, rent and interest supplements, rehabilitation of sound existing structures, and Operation Breakthrough (the scheme to mass produce low-cost housing using "factory methods") all fit into the overall plan.
Transportation, which until recently has been synonymous with the Federal highway program, now has more of an urban character as the result of legislation passed in the Sixties to provide for the development of mass transit systems in the nation's cities.
Environmental pollution, a long-neglected problem, became a hot issue in the last decade. Two new laws, the Water Quality Act ('65) and the Clean Water Restoration Act ('66) authorized Federal funds to deal with pollution.
The decade of the Sixties might be considered a period of awakening to the urgency of these great urban problems—housing, mass transportation, environmental pollution. Their solution involves construction in massive doses. An important first step in coping with these problems was to provide the legislative programs that will direct more resources into these areas, and to that extent some real progress was made during the Sixties. What was lacking was the money to make these programs work. Since 1966, the war in Vietnam has had first claim on the nation's resources, and most domestic programs—new ones and old ones alike—have been severely curtailed as a result.
THE VIETNAM WAR
Last of the four major forces which helped to shape construction markets in the Sixties was the war in Vietnam. The "guns-and-butter" economy of the second half of the Sixties had two
effects on construction—one direct, and one indirect—both of them negative.
The direct impact of the war was the competition for available Federal appropriations between the Department of Defense and the other Government agencies which administer the many ongoing programs for housing, education, health and welfare, transportation, and other domestic needs. As the annual amount committed to military use jumped from $50 billion in 1965 to $80 billion by 1969, these agencies had to settle for what was left. It was considerably short of the amount needed to cope with the social problems that were mounting at home. In particular, it was the newer programs—the product of the wave of urban-oriented legislation passed during the mid-Sixties—that were hardest hit by this conflict of priorities. For lack of adequate financing, few of them are yet beyond the planning stage.
The indirect effect of the war on construction has been felt through inflation and its remedies. The seeds of the severe inflation in the final years of the Sixties were sown when the rapid increase in military spending was financed by huge government deficits. Efforts to offset these inflationary pressures by restraining the economy—first by tight money and later by deep cuts in Federal non-military spending—had a disproportionately heavy impact on construction. Almost all construction work needs either private lending or public spending to move it along.
Housing was hardest-hit. The 1966 "credit crunch" brought on a severe contraction of home building, and after only a brief period of recovery a second round of tight money in 1969 led to another housing "recession". Publicly sponsored construction was curtailed by budget cuts and very high municipal borrowing costs, and only industrial and commercial building was expanding vigorously in the late Sixties.
Even in the industrial and commercial building market, large apparent gains were illusory. In the generally inflationary conditions that prevailed, construction costs were rising by as much as seven per cent a year compared with the 4½ per cent composite of all prices throughout the economy at the end of the decade. It meant that growth of construction in real terms, which had been averaging close to five per cent per year during the first half of the decade, had leveled off to less than one per cent annually during the final years. The amount spent on construction went up 27 per cent between 1965 and 1969; all but three or four per cent of that rise was due to inflated costs.
THE TASK AHEAD
An economic climate of uninterrupted prosperity and a shift in the composition of the population which put more people in the young adult age group, were sources of a strong rate of construction growth during the first half of the Sixties.
The real challenge of the Sixties, however, was the urban problem, and it has gone largely unsolved. Progress in this area was limited largely to recognizing the problem—often brought to light in a violent way—and to developing the programs and technologies to deal with it. This challenge established the potential for even greater growth of construction during the second half of the decade than was realized in the opening half. It didn't happen, mostly because war and inflation took precedence.
This left an enormous backlog of construction work—the task of rebuilding the nation's cities—to be done in the Seventies. It will take more than a decade to do the job, but it's essential that we get started.
There are signs of change in the making. The war has not ended, but it is at least being de-escalated. Military spending is still a burden, but it has been reduced in the latest Federal budget. Inflation is still rampant, but there is hope that we will soon see some fruits of a year's restraint on the economy.
The elimination of these impediments are only the first steps to reaching the goals of urban reconstruction. They are not the only barriers. Congress must be willing to back its new programs with enough Federal money to do the job. Local governments must remove the barriers that exist in the form of outdated building codes and restrictive zoning regulations. The financial community must develop new avenues for channeling more private capital into the undernourished mortgage market.
The construction industry faces a difficult task: to develop the capacity—in manpower, materials, technology, and managerial skill—to expand its output by nearly two-thirds the current volume in only the next ten years.
Some big changes are needed. This nation cannot afford another decade like the Sixties.
THE UNIVERSITY Y.M.C.A.
TEXAS HISTORICAL ARCHITECTURE
EXCERPTS FROM AN ESSAY BY ROBERT AYERS, UNIVERSITY OF TEXAS
The history of the University Y.M.C.A. dates back to 1892. In the charter it is stated that the Y.M.C.A. is founded, “for the improvement, spiritual, intellectual, and physical, of the young men attending the University and the support of other benevolent undertakings that may be conducive to the elevation of these young men.
The property on which the University Y.M.C.A. building is located is on the corner of Guadalupe and Twenty second Street. The property was purchased in 1907 and construction was started in 1910. The building was occupied in January of 1912 by the University Y.M.C.A. and is presently still occupied by them. The architects were George A. Endress and Fredrick M. Mann.
The program of the Y.M.C.A. during this period consisted of Bible study groups, benevolent and charitable enterprises, and in general, trying to raise the moral tone of the campus. This was the era in which youth had as its purpose “to evangelize the world in this generation.” With the only swimming pool in Austin at the time of the building’s opening plus the largest auditorium in the University area, it would appear that the Y.M.C.A. building fulfilled the functions of the student union for the University. A 1914 report states “hardly a night passed when all rooms on the second floor were not in use by student groups.”
When the war hit the facilities of the Y. were used to their fullest extent. Soldiers en route to training camp in San Antonio continually poured in and out of the building. After the war, the Y.M.C.A.’s greatest burden was “keeping the students’ visions clear.” The students showed loss of faith in the validity of religious and moral norms which had hitherto been held sacred. During the period following the war, the Associations program was slowly drifting away from the emphasis of religious values “in the general streams of thought of the day, toward emphasis of material values and of success.”
The following article taken from the 1912 *Cactus* Pp. 177, 178 gives a good description of the interior of the building at the time it was completed.
The Y.M.C.A. building is at last completed and has taken its place permanently as an integral part of University life—a part so vital that students find themselves wondering how they did without it so long. It is situated just across the street from the campus, only two minutes from the Main Building and is a club room, chapel, and swimming pool combined, besides containing rooms for a small number of students. It is a three-story structure, with a basement, simple in style, but at the same time, imposing and inviting. The over-hanging eaves protect the windows just below from the rain, and give the entire building an air of coolness and hospitality which is seconded by the large windows, and broad, ample front porch.
The third floor is devoted to the roomers. There are about twenty double rooms on this floor, with shower baths close by. The apartments are not elaborate but are attractively finished and well furnished.
The second floor contains the chapel and various committee and Bible study rooms. These smaller rooms are neatly furnished with a view to their utility.
The chapel, or auditorium, will accommodate between four and five hunThe building was originally constructed in 1890 and served as a private residence for many years before being converted into a public library in 1962. The building features a distinctive architectural style with ornate details and a prominent front porch. It has been well-maintained over the years and continues to be a popular landmark in the community.
The main entrance to the school, located on the corner of 10th and Main Streets, was the first thing that greeted students when they arrived at St. Mary's.
hundred people. It is large and airy with a high ceiling and large windows on both sides of the room. The platform is of medium size, set back in the wall; above, there is a white drop-curtain for use in giving illustrated lectures. Opposite the platform and just above the entrance, is a hanging balcony with a rest for a lantern, so that the auditorium can be, and often is, used for public lectures given under the auspices of the University.
The auditorium is finished in tan and the woodwork is all stained oak to harmonize with the walls. The chairs, made in pairs, are of the same material as the woodwork and can be folded up and removed. During the Y.M.C.A. convention, the auditorium was converted into a banquet hall and served the purpose admirably. The floor is of polished hardwood and the windows are of stained glass, so that the effect of the whole is decidedly pleasing.
The ground floor is even more attractive than the others. In front is the spacious uncovered porch; as one crosses it and enters the building he is struck by the plain, but artistic interior. Straight ahead, at the end of a broad passage is a huge fireplace with seats on either side. On both sides of the passage, just inside the building, large reading rooms are situated, each having a fireplace at the end. A large table piled with magazines and daily papers is in the center of each room and all about are large, easy chairs, inviting the loiterer to rest and recreation.
The lobby is lighted in a novel fashion. Suspended from the cross beams of the ceiling by three chains of bronze are bowls of the same material in which are the lights, thus casting in the rooms only the soft glow of reflection. The system is not only exceedingly pleasing, but is quite unique.
Just beyond the reading rooms are the offices, opposite which are the stairs leading to the upper floors. Past these are two committee rooms, and then the passage opens out on the game rooms. In the center are four pool tables and on
each side of the room is a kind of raised balcony, one devoted to chess and checkers, the other to dominoes and similar games.
In the basement is a large swimming pool, forty feet long and lockers for the bathers. The pool is lined with white tile and has varying depth, so that all may be accommodated. There is an arrangement for having a constant flow of water through the pool, and on one side are shower baths for the prospective swimmers.
The new building is complete in every detail and furnishes a lounging place in which the students find associations with moral companions, and those means of relaxation which are so necessary to college life, being at the same time in the wholesome environment of the Y.M.C.A.
The importance of the University Y.M.C.A. in relationship to other architecture of the time is not as important as the influence which it was to have in the future.
Many characteristics of the building have influenced the architecture on the University of Texas campus a great deal. The low hipped roof with the half round red tile has been repeated on many of the University buildings. The handling of the area under the eaves is just about the only characteristic which can be traced to all the University buildings. Not that all of the eaves are handled the same but all of them seem to have had special consideration given to them even up to the most recent buildings. The expression of the beam under the eaves is characteristic of most University buildings.
The use of the red tile roof can probably be traced to the Spanish influence in the Southwest. But the use of the low hipped roof with wide overhang seems to have been influenced by some of Frank Lloyd Wright's houses.
The University Y.M.C.A. building came at a time when Frank Lloyd Wright had started to make his influence felt. The grouping of windows on the third floor is very similar to the way Frank Lloyd Wright had done on the Coonley Residence in 1908. When this is put into the context of Austin, the University Y.M.C.A. seems to be a bold example of the new movement of architecture at that time. The interior of the building also reflects some of Wright's residential work. All the ceilings have exposed wood beams. The other wood detailing does not have near the quality or sophistication you would expect from Wright.
In comparing the Y to other Austin and Texas architecture, it seems to have the character of a residence but has very little similarity to the style prevalent to the Southwest at that time. It must, therefore, have been a very bold statement at its time. Whether it influenced the architecture on the University campus or whether the campus architecture was influenced by the same things as the Y is conjecture. But the fact that the Y was completed before the other building lends some influence to the belief that the Y had a lot to do with setting the style of the University of Texas campus.
Layout by B. CANIZARO
HELP!
The Division of Architecture of Hampton Institute will seek national accreditation this spring. Our five year undergraduate program has an enrollment of almost 100 students, young Negro men and women whom we feel will make a major contribution to the design professions. They need architectural books and periodicals in order to support their studies. I am asking your assistance in helping to build a meaningful library that will contribute to the program and will meet the standards for accreditation.
The staff of the Division and the administration at the College know that a qualitative program in architectural education is needed at Hampton and that it can serve the nation as a whole. Because of limited resources, the curriculum cannot be continued unless some form of participation in its development comes from the profession. Our library numbers fewer than 1,000 books and a few thousand slides. As I am sure you know, this does not begin to meet the needs of the students. We must add material to this collection. Donations of money, books, 35 MM slides or back periodicals would help us reach our goal of 5,000 books and 20,000 architectural slides.
No doubt you are besieged with requests for assistance. I hope you will give this one every consideration and let me send you more information about the school, its students and our program, should you wish it. Your response will be greatly appreciated.
Sincerely yours,
Bertram Berenson, AIA, Director
Division of Architecture
Hampton Institute, Hampton, Virginia 23368
THE Texas Architectural Foundation offers scholarships in architectural education and sponsors research in the profession. Contributions may be made as memorials: a remembrance with purpose and dignity.
TEXAS ARCHITECTURAL FOUNDATION
904 PERRY-BROOKS BUILDING
AUSTIN
PARTNERS IN PROGRESS
Jones-Blair Paints/Architectural Services
THESE JONES-BLAIR ARCHITECTURAL SERVICES ARE AVAILABLE TO ARCHITECTS
* Personal assistance in the selection of painting specifications and color plans for all types of buildings.
* Specifications for unusual or problem surfaces.
* Preparation of sample panels in selected finishes with specifications for reproducing the finish.
* Cooperation and assistance at any stage of work development.
ARCHITECTURAL SERVICE DEPARTMENT
JONES-BLAIR COMPANY
DALLAS, TEXAS 75235
TELEPHONE (214) 357-1838
or Contact Our Architect Representatives
DUNNE-WHITE AND ASSOCIATES
John F. Stadelman
P. O. Box 35208
Dallas, Texas 75235
Telephone (214) 350-1802
Richard P. Hurley
3311 W. Alabama—Suite 105
Houston, Texas 77004
Telephone (713) 578-3071
355 Students and faculty have recently attended the Fifteenth Annual Student Forum of the A.I.A. Student Chapters. Seventy Eight of the nation's ninety two schools or departments of architecture were present at the meeting held on Rice University Campus. Texas Director Russell King of Texas A & M University turned over his duties to newly elected Director H. Keith Jones, University of Texas at Arlington. Mike A. Interbartolo, Jr., Boston, succeeded Taylor Culver as President of the 17,000 member student organization.
Major statements from the conference included the fact that student architects want a professional investigating team to discover and help eliminate barriers to housing for the poor. A team of licensed architects and other design professionals should work like consumer advocate Ralph Nader to examine and expose constraints which prevent construction of housing for low and middle income Americans. The team would also stimulate public opinion to overcome the obstacles.
Students have lacked commitment in the past but are now ready to put into operation a network of communication across the nation to help fuse students with practicing architects. One place such co-operation should emerge is in neighborhood or community design centers sprouting across the country. The centers seek to bring design help to citizens who ordinarily wouldn't get it and to make architecture serve the needs of people.
The Expanding Picture Of Mosher
HERE'S THE PLANT TO PROVE IT!
Mosher is on the grow again, expanding plate shop facilities to meet customer demand.
A new Pre-Heat and Heat-Treat Furnace with a new larger set of rolls provides a capability to form thick wall vessels.
A new Heavy Assembly Bay with crane capacity to lift million pound vessels.
Put us on the top of your thick wall inquiry list and find out what these new facilities can mean to your next job.
TEXAS ARCHITECT
P.O. Box 152
AUSTIN, TEXAS
RETURN REQUESTED
BULK RATE
U.S. POSTAGE
PAID
AUSTIN, TEXAS
PERMIT NO. 1301
|
Dear Mr. Krupp,
Thank you for the information you sent me regarding your efforts in conjunction with the Maimonides Research Institute. I remember you well from the parish of St. Thomas the Apostle and I am happy to hear that all is going well with you and your project. I am particularly pleased with regard to your correspondence with Fr. Farina, the Prefect of the Vatican Library, and especially with the generous response of the Maimonides Institute. News of any undertaking which advances interreligious relations must certainly be enthusiastically received.
I pray that God may continue to bless you and these efforts.
With best wishes, I am always
Sincerely yours in Christ,
Edmund Cardinal Szoka
Gary L. Krupp, KCSG
President
Pave the Way Foundation, Inc
Suite 3805
350 Fifth Avenue
New York, NY 10118
April 11, 2003
Dear Mr. Krupp,
Allow me to thank you for your efforts on behalf of the Israeli people and the Palestinian people. Your work with Pave the Way Foundation and the prosperity plan, which you sent me, are examples of a realistic attempt to build a better economic future for the Palestinian people, and consequently benefit Israel.
Israel fully appreciates the need for a viable economy to exist in the Territories, in order to hopefully help in stemming the hostilities that exist today.
Your prosperity plan is different because it will allow the gradual building of an economic structure today, irrespective of political progress. Twinning Israeli companies, with newly formed Palestinian business is an intriguing method of benefiting all parties. The fact that each Palestinian will own each business and each building, will make the project more acceptable, because it is not just giving a man a job but giving him a real potential future.
While I cannot commit on an official basis, since the final plan has not yet been formulated and submitted to the relevant Israeli authorities, I believe you are certainly on the right track and I encourage you to move ahead with this. As I mentioned to you at our earlier meeting, Israel Defense Forces authorities must approve this or any plan dealing with movement from Israel to the Territories. Keeping this in mind, I will pledge my personal help to you in all aspects of this most noble project.
Alon Pinkas
Consul General of Israel
New York
8 May, 2003
Mr. Gary Krupp, KCSG, President
Pave the Way Foundation
The Empire State Building, Suite 3805
350 Fifth Avenue
New York, New York 10118-7896
Dear Mr Krupp,
We very much appreciated the presentation you made during your visit to London in April to the religious leaders who are working in association with the World Economic Forum.
With the publication of the “Road Map” for Middle East peace, the kind of plan developed by the Pave the Way Foundation for a comprehensive economic strategy in the area takes on a new significance.
Certainly, the idea of twinning small Palestinian owned businesses with Israel firms would provide mutual benefit and a platform on which to build real working relationships between the two peoples.
Lord Carey, as former Archbishop of Canterbury, initiator of the Alexandria Declaration and religious adviser to the World Economic Forum, and I as a member of that Forum, appreciated your support for the Alexandria Declaration and will remain actively interested as you push forward with your endeavour.
Yours sincerely,
[Signature]
Lord Carey of Clifton
[Signature]
Sir Sigmund Sternberg
February 17, 2004
Mr. Gary L. Krupp KCSG
President
Pave the Way Foundation
Suite 3805
350 5th Avenue
New York, NY 10118
USA
Dear Mr. Krupp,
I am sending this letter of support to express my deep appreciation for your remarkable work to promote good relations and cooperation between the Holy See and the State of Israel.
In particular your efforts to galvanize Israeli compliance with its commitments made in the Fundamental Agreement and to demonstrate gestures of goodwill to the Vatican are of enormous importance, both for the bilateral relations themselves and for Catholic-Jewish relations around the world.
This moment in time is of particular significance as we draw close to the conclusion of John Paul II’s pontificate, requiring us to do all we can to ensure that the new era will continue on the historic path that the present Pope has forged for Catholic-Jewish relations.
I fervently hope that Israel’s leadership will recognize the wisdom of your approach and pray the Almighty will strengthen your hand in all your endeavors.
Behatzlachah,
[Signature]
Israel/Middle East Office: Beit Moses, 11 Mesilat Yesharim St. • P.O. Box 37068 Jerusalem 91370
Tel: 972-2-6255281 • Fax: 972-2-6256527 • E-mail: firstname.lastname@example.org
Head Office: The Jacob Blaustein Building, 165 E.56 St., NY, NY 10022-2746 • Tel: 212-751-4000 • Fax: 212-891-4555
Mr. Gary L. Krupp, KCSG
President
Pave the Way Foundation, Inc
Suite 3805
350 Fifth Avenue
New York, NY 10118
Dear Mr. Krupp,
I am writing you today to lend my support to the Pave the Way Foundation. As the first Ambassador of the State of Israel to the Holy See, I am keenly aware of the importance that the relations between Israel and the Holy See be strengthened. This is not only very important for the well being of Israel but for the situation of the Jewish People throughout the world in combating anti-semitism. As many of the individual items you are working on may seem difficult, I encourage you to persevere in your efforts. The notion of arranging cultural exchanges as the exhibits you hope to launch here in Israel and the return of religious property to the Church, will most assuredly promote gestures of goodwill between the religions and will ultimately be extremely beneficial. Additionally, we hope to see the prosperity plan you submitted, be implemented one day between the Israelis and the Palestinians to contribute to create an economic foundation which the peace we all long for can be built upon.
As an advisor for Intercultural Cooperation of the Peres Center for Peace, I am happy to submit the package you gave me in New York, to the Center for possible consideration as well.
If you believe I can be of further assistance to you and the projects of Pave the Way Foundation, please feel free to contact me at any time. I look forward to seeing you again soon.
Best regards,
Ambassador Shmuel Hadas
April 14, 2005
Mr. Gary L. Krupp KCSG
Pave the Way Foundation
Suite 3805
350 Fifth Avenue
New York, NY 10118
Dear Mr. Krupp,
I would like to take this opportunity to thank you for including me in the historic audience with Pope John Paul II on January 18, 2005, which was arranged by Pave the Way Foundation. Myself, along with the other Rabbis, Cantors and Jewish leaders were very glad to have had the opportunity to simply thank this great man of peace for all he has done for the Jewish people and for the State of Israel. Although our history with the Catholic Church has not always been positive, prior to the second Vatican Council’s declaration Nostra Actate, certainly one must acknowledge the major changes in theology and diplomacy that have occurred. I also very much enjoyed the historic Cantorial concert the evening before at the Great Synagogue of Rome.
Sadly, with the Pope’s passing we pray that this relationship will continue in the same spirit that Pope John Paul II invigorated by his meaningful gestures. I would like to thank you again for the insight to have been able to deliver this message of thanks thereby setting the precedence that the Jewish people do appreciate acts and gestures of kindness and are not afraid of expressing this.
Please keep up the good work of Pave the Way Foundation in your quest to end the use of religion for justifying acts of violence and for your work in initiating repatriation of Hebrew manuscripts and other cultural and educational projects.
Sincerely,
Shlomo Riskin
September 15, 2005
Dear Mr. Gary L. Krupp, KCSG
Deputy Prime Minister and Minister of Foreign Affairs, MK Silvan Shalom, received with thanks your letter of August 22, 2005.
Your offer of assistance is deeply appreciated. With your permission, the Minister and his professional staff will reserve the right to take you up on your offer at the most opportune moment.
We acknowledge your efforts in paving the way for better relations between Jews and Christians, and the Minister and the entire Ministry of Foreign Affairs attribute great importance to such an important mission. We wish you success in your activity.
We also understand that you do maintain excellent contacts with members of our ministry, especially with Mr. Zvi Tal, responsible for inter-religious affairs. We encourage you to continue with these contacts, and suggest that you discuss with Mr. Zvi Tal future strategies.
We remain indebted to you for your concern and care.
Yours Sincerely,
Hillel Newman
Mr. Gary L. Krupp, KCSG
President
Pave the Way Foundation
The Empire State Building suite 3805
350 Fifth Avenue
NY, NY 10118-7896
Dear Msgr. Sambi:
I am writing to share with you the excellent news of the approval of the Vatican Library, just received, to lend to the Israel Museum four important Jewish manuscripts for display during September, 2005 - January, 2006, as part of our series of "Beauty and Sanctity" exhibitions celebrating our upcoming 40th Anniversary.
We will be in touch with you as our planning progresses, and particularly with regard to our opening events -- tentatively planned for Tuesday, September 27, 2005 -- in connection with the display of these important works, which will be seen for the first time in Israel and which represent a uniquely significant loan from the Vatican Library to us.
In the meantime, it is my pleasure to share this happy news with you, together with my warmest wishes for the coming holiday season.
Sincerely,
James S. Snyder
Director
cc: Ambassador Oded Ben-Hur, Vatican City
Ambassador Sandro de Bernardin, Tel Aviv
Mr. Gary L. Krupp, KCSG
09 December 2004
Don Raffaele Farina
Biblioteca Apostolica Vaticana
Cortile Belvvedere
V-00120 Citta del Vaticano
Italy
Via telefax: 00399-06-6988-5327
Dear Don Farina:
I am writing in response to the wonderful news conveyed by your letter of December 2, 2005, regarding the approval by the Vatican Library of our request to borrow four important Jewish manuscripts for display in Jerusalem in celebration of our Museum's 40th Anniversary in 2005.
These manuscripts will play a central role in our anniversary year of exhibitions of "Beauty and Sanctity," and we are deeply grateful for your consent to their loan.
We realize that you have made special exceptions to enable us to bring these manuscripts to Israel. Their loan to us, representing an historic first occasion to show such treasures from your collection in Israel, carries great significance in many ways, and we are most deeply grateful to you.
We will be returning all of your completed loan documents shortly.
With warmest regards, together with our deep gratitude, in the meantime.
Sincerely,
James S. Snyder
Director
April 14, 2005
Mr. Gary L. Krupp KCSG
Pave the Way Foundation
Suite 3805
350 Fifth Avenue
New York, NY 10118
Dear Mr. Krupp,
I would like to take this opportunity to thank you for including me in the historic audience with Pope John Paul II on January 18, 2005, which was arranged by Pave the Way Foundation. Myself, along with the other Rabbis, Cantors and Jewish leaders were very glad to have had the opportunity to simply thank this great man of peace for all he has done for the Jewish people and for the State of Israel. Although our history with the Catholic Church has not always been positive, prior to the second Vatican Council’s declaration Nostra Actate, certainly one must acknowledge the major changes in theology and diplomacy that have occurred. I also very much enjoyed the historic Cantorial concert the evening before, at the Great Synagogue of Rome.
Sadly, with the Pope’s passing we pray that this relationship will continue in the same spirit that Pope John Paul II invigorated by his meaningful gestures. I would like to thank you again for the insight to have been able to deliver this message of thanks thereby setting the precedence that the Jewish people do appreciate acts and gestures of kindness and are not afraid of expressing this.
Please keep up the good work of Pave the Way Foundation in your quest to end the use of religion for justifying acts of violence and for your work in initiating repatriation of Hebrew manuscripts and other cultural and educational projects.
Sincerely,
Shlomo Riskin
May 24, 2005
Mr. Gary L. Krupp, KCSG
President, Pave the Way Foundation, Inc.
The Empire State Building
350 Fifth Avenue
Suite 3805
New York, New York 10118-7896
Dear Mr. Krupp,
I was honored to meet you at the Shomrim Society Breakfast of Nassau County on Sunday, 22 May 2005. You gave me your card and told me to look at your website concerning the work that you do. I have and I must tell you how impressed I am.
You don’t need me to tell you this, but your work is so important. Without organizations like yours, our world would be far worse than it is and religious intolerance would be so rampant. I only pray that G-d gives you the strength to continue this important work.
I do not know how if I can ever help you directly, but I do try in my own way through talks and articles to let anyone who will listen know that we are all connected. I try to let them know that all roads by people of good faith lead to G-d. Enclosed please find an article that “Islamic Horizons” published about my work in Iraq. It is interesting that an Islamic publication published an article by a Rabbi.
There are many people of good faith like you out there working quietly, but with great determination, behind the scenes to heal the rifts between us. May G-d continue to bless you in your work.
Carlos C. Huerta
Chaplain (Major) United States Army
Jewish Community Chaplain
Email: email@example.com
12 July 2005
Mr. Elliot M. Hershberg
Chairman
Pave the Way Foundation
350 Fifth Avenue, Suite 3805
New York, NY 10118-7896
USA
Via telefax: 001-516-432-7561
Dear Elliot:
I am writing in response to your letter of June 13, 2005, and also to update you regarding our plans for the forthcoming opening of our display of "Rome to Jerusalem: Four Jewish Masterpieces from the Vatican Library."
You will recall that this very special loan is coming to the Museum in the context of our series of "Timeless Masterpieces," being singular loans in Art, Archeology, and Judaica, from major world museums, celebrating our Museum's three curatorial wings on the occasion of our 40th Anniversary. "Rome to Jerusalem" will be the last in this series, opening in Jerusalem on Tuesday, September 27, 2005, at 6:30 p.m. We would be happy to have representatives of the Foundation among our guests on that occasion.
We are grateful to the Pave the Way Foundation for its assistance in introducing our project to the Vatican and in helping to initiate our loan request of the Vatican Library, and our appreciation will be acknowledged in our press materials, in the exhibition's accompanying publication, and in the exhibition galleries.
Please let me know of any further questions at this time, and please also let me know if you will be joining us in Jerusalem in September.
With warm regards in the meantime.
Sincerely,
James S. Snyder
Director
November 4, 2004
Dear Friends:
It is a pleasure to welcome everyone to this evening’s reception of the Pave the Way Foundation.
On behalf of the residents of New York City, I congratulate Russ and Angelica Berrie, Bishop Ignatius Catanello, C. Raymond Radigan and Rabbi Jack Bemporad upon being honored here tonight. Their exemplary leadership within their communities and strong commitment to making a difference in the lives of others are commendable. The efforts of tonight’s honorees are a tribute to the Pave the Way Foundation’s mission to unify people of all religions and improve the quality of life in communities throughout the world.
Please accept my best wishes for an enjoyable evening and continued success.
Sincerely,
Michael R. Bloomberg
Mayor
September 10, 2004
Mr. Gary L. Krupp
President
Pave the Way Foundation
47 Farrell Street
Long Beach, NY 11561
Dear Mr. Krupp,
I am writing to say that it was a pleasure to meet you at last night’s reception hosted by the Conference of Presidents at B’nai Zion. It was a distinguished honor to meet a Papal Knight, let alone one of the Jewish faith.
I am in receipt of your letter dated August 20th, in which you describe the Pave the Way Foundation and the upcoming event being held on November 4th. Fostering the cooperation between the Vatican and Israel, as well as the Jewish and Catholic communities at large, is an important undertaking, and I commend you for your efforts.
I look forward to learning more about your organization. Until then, please accept my best wishes for a Happy and Healthy New Year.
Sincerely,
[Signature]
Ambassador Arye Melech
Dear Mr. Krupp,
His Holiness Pope Benedict XVI has asked me to acknowledge the thoughtful message of good wishes which you sent to him on the occasion of his election to the See of Peter.
He is most grateful for the devoted sentiments which you expressed and he thanks you for the support of your prayers as he begins his ministry as Supreme Pastor of the universal Church.
Assuring you of a remembrance in his own prayers, the Holy Father cordially invokes upon you, your wife and all your associates in Pave the Way Foundation an abundance of joy and peace in the Lord.
With every good wish, I am
Yours sincerely,
+ Leonardo Sandri
Substitute
Mr. Gary L. Krupp, KCSG
President of Pave the Way Foundation
The Empire State Building, suite 3805
350 Fifth Avenue
New York, NY 10118-7896
April 4, 2005
Mr. Gary Krupp
Pave the Way Foundation
The Empire State Building
350 Fifth Avenue Suite 3805
New York, NY 10118
Dear Mr. Krupp,
I read with great interest the feature story in The Jewish World about the good deeds of your foundation. Your goal of having Christian, Jew, and Muslim living together in harmony is truly worthwhile.
In our small way, I believe that we are accomplishing that goal at JFK Airport. In IAT/Terminal 4, we have four chapels side-by-side. The Catholic chapel shares a wall with the shul; the Protestant church is to the left of the Catholic, and the Multi-faith chapel (converted into a mosque) is alongside the Protestant church. Each chapel can accommodate approximately fifty people.
All the clergy members are friendly. We each have our own approach to God, but we are tolerant of our differences. The lobby outside the chapels is common holy space. Our parishioners learn to be tolerant. We are all children of one God.
I only wish that every town, village, and city would have their houses of worship on the same block so that everyone could interact with each other. When we recognize our similarities, our vulnerabilities, our common-ness, then we will no longer feel superior one over the other.
I invite you to visit the International Synagogue, Our Lady of the Skies Chapel (Catholic), Christ for the World Chapel (Protestant), and the Multi-Faith Chapel (which appears as a mosque but is meant to serve the Muslim, Sikh, Hindu, Buddhist worshipers).
Truly yours,
Bennett M. Rackman
Rabbi
HONORARY BOARD
Rabbi Louis Frishman
Rabbi Norman Kahan
Rabbi Alvin Kass
* Rabbi Israel Mowshowitz
Rabbi Gilbert Klaperman
Rabbi Irving Lehrman
Rabbi Emanuel Rackman
Rabbi Herschel Schacter
Rabbi Marc Schneier
Rabbi Saul Teplitz
Rabbi Judah Washer
Rabbi Mordecai Waxman
November 4, 2004
Dear Friends:
It is a pleasure to welcome everyone to this evening’s reception of the Pave the Way Foundation.
On behalf of the residents of New York City, I congratulate Russ and Angelica Berrie, Bishop Ignatius Catanello, C. Raymond Radigan and Rabbi Jack Bemporad upon being honored here tonight. Their exemplary leadership within their communities and strong commitment to making a difference in the lives of others are commendable. The efforts of tonight’s honorees are a tribute to the Pave the Way Foundation’s mission to unify people of all religions and improve the quality of life in communities throughout the world.
Please accept my best wishes for an enjoyable evening and continued success.
Sincerely,
Michael R. Bloomberg
Mayor
20 April 2005
Dear Mr. Krupp:
I write to acknowledge that I am in receipt of your kind letter on the sad occasion of the passing of His Holiness Pope John Paul II on 2 April last. I am very appreciative of your expressions of condolence and solidarity. It is a great comfort to learn in these days of the respect and admiration the Holy Father was held by so many.
It was my pleasure to have been able to facilitate the arrangement for you to meet with Rabbis and the Holy Father before he passed away. I am heartened by the memories you have of that privileged encounter as were all your other meetings with him.
I concur with the sentiments you expressed in that one never left an encounter with John Paul II the same as when one entered to meet with him.
We pray that the good works begun by Pope John Paul II in Catholic-Jewish relations continue under this new pontificate.
With cordial regards and best wishes, I remain
Sincerely yours,
Archbishop Celestino Migliore
Apostolic Nuncio, Permanent Observer of the Holy See
to the United Nations
Mr. Gary L. Krupp, KCSG
President
Pave the Way Foundation
The Empire State Building
Suite 3805
New York, NY 10118
September 15, 2005
Dear Mr. Gary L. Krupp, KCSG
Deputy Prime Minister and Minister of Foreign Affairs, MK Silvan Shalom, received with thanks your letter of August 22, 2005.
Your offer of assistance is deeply appreciated. With your permission, the Minister and his professional staff will reserve the right to take you up on your offer at the most opportune moment.
We acknowledge your efforts in paving the way for better relations between Jews and Christians, and the Minister and the entire Ministry of Foreign Affairs attribute great importance to such an important mission. We wish you success in your activity.
We also understand that you do maintain excellent contacts with members of our ministry, especially with Mr. Zvi Tal, responsible for inter-religious affairs. We encourage you to continue with these contacts, and suggest that you discuss with Mr. Zvi Tal future strategies.
We remain indebted to you for your concern and care.
Yours Sincerely,
Hillel Newman
Mr. Gary L. Krupp, KCSG
President
Pave the Way Foundation
The Empire State Building suite 3805
350 Fifth Avenue
NY, NY 10118-7896
2 November, 2005
Mr. Gary L. Krupp, President
Pave the Way
The Empire State Building, Suite 3805
350 Fifth Avenue
New York, NY 10118-7896
USA
Dear Mr. Krupp,
The Prime Minister’s Office is fully aware of the proceedings regarding the direct negotiations between Israel and the Holy See.
The State of Israel and the Prime Minister’s Office attach the greatest importance to their relations with the Holy See, and therefore hope to settle the unresolved issues as quickly as possible.
Sincerely,
Ilan Cohen
Dear Gary,
Once again I come away inspired by your dedication and articulation to a cause that is so worthwhile. I admire people like you who can maintain such a focus and determination despite the overwhelming obstacles you must encounter all the time. Please accept this small contribution toward your much worthwhile work and I wish you continued success in the future.
Best Wishes,
Paul Allen
December 12, 2005
Gary L. Krupp, KCSG, President
Pave the Way Foundation
47 Farreell Street
Long Beach, NY 11561
Dear Gary:
Just a brief note to thank you officially, on behalf of the Tanenbaum Center, for Pave the Way's participation in our Nostra Aetate commemorative program at the Center for Jewish History, November 16th. I am sorry that a conflict of schedules prevented you from attending the event, but I understand you did send a representative to the program, and he was acknowledged from the podium by Rabbi Potasnik.
While the heavy rains may have cut back on the anticipated turnout, I trust your representative reported that it was a high-quality program. The evaluations were extremely positive. I hope your trip to Washington was equally productive.
Once again, thanks for your contribution. I look forward to further cooperation and collaboration with Pave the Way.
With warmest good wishes,
Judith Banki
Director of Special Programs
Dear Mr Krupp,
Forty years ago, on October 28, 1965, the Second Vatican Council’s Declaration *Nostra Aetate* was promulgated. This groundbreaking document opened new ways for the Catholic Church to relate to other religious traditions. Of particular importance is Section 4 of the Declaration which paved the way for new relations and strongly recommends dialogue with the Jews in order to discover the great religious heritage which Jews and Christians have in common: “Since the spiritual patrimony common to Christians and Jews is thus so great, this sacred Synod wishes to foster and recommend that mutual understanding and respect which is the fruit above all of biblical and theological studies, and of brotherly dialogues”.
In the year of the 40th anniversary of *Nostra Aetate* we can look back with gratitude and satisfaction because during the last four decades the dialogue between Jews and Christians has made much progress. Under the leadership of Pope John Paul II, and thanks to the commitment of many people engaged in this important dialogue, understanding between Jews and Christians has improved in a way we never expected forty years ago.
Therefore our Commission for Religious Relations with the Jews wishes to celebrate this anniversary. On Thursday, October 27, 2005 at 6:00 p.m. in the “Palazzo della Cancelleria” (Piazza della Cancelleria, 1 – 00186 Roma) we plan to hold a commemorative event to which we warmly invite you. An evaluation of *Nostra Aetate* after forty years will be offered from a Jewish viewpoint by Rabbi David Rosen, Jerusalem, and from a Catholic viewpoint by Cardinal Jean-Marie Lustiger, Paris. The speakers have been asked to offer future perspectives for the Jewish-Christian dialogue. A reception will follow. We would be most pleased if you could accept this invitation, and we ask you to give us a response as soon as convenient.
With my very best wishes and cordial regards, I remain
Sincerely yours,
Walter Cardinal Kasper
President
Mr Gary L Krupp KCSG
President
Pave the Way Foundation
The Empire State Building Suite 3805
350 Fifth Avenue
New York, NY 10118-7896 USA
Dear Gary,
I received your fax of August 28, 2004, with the interesting proposal of George Blumenthal to offer the Vatican Library the digital technology for reproducing the manuscripts and the software which would allow the possibility of consulting the reproductions via Internet.
The size and implications of such a project requires that it be discussed by the Library Council, which will meet sometime between the end of September and beginning of October of this year.
I will keep you informed.
I take this occasion to extend once again my deep respect and my very warmest greetings.
Don Raffaele Farina, sdb
Prefect
Mr. Gary KRUPP, KCSC
President
Pave the Way Foundation
The Empire State Building, suite 3805
350 Fifth Ave.
NEW YORK, NY 10118-7896
USA
August 19, 2006
Gary L. Krupp, KCSG
President
Pave the Way Foundation
350 5th Avenue, Suite 3805
New York, NY 10118
Dear Gary,
It is with sincere appreciation that I acknowledge your interest in my work on Pope Pius XII and the Catholic Church. In particular, I thank you wholeheartedly for your letter to the Board of Directors of Yad Vashem, dated June 7, 2006, in an effort to correct the misrepresentation of the contribution of this Pontiff toward saving the lives of hundreds of thousands of Jews during the Holocaust. I believe there is a pattern of deliberate exclusion of the truth in the media. Only organizations like Pave the Way Foundation are in a position to counteract the past calumnies that have been presented to the general public. I want to assure you that Pius XII will bless your efforts to promote the truth.
Jews firmly believe in justice and truth. They were unanimous in their praise of Pius XII and expressed their gratitude. I agree with you that the statement below the portrait of Pope Pius XII in Yad Vashem, must be repudiated. It is contrary to the truth and is unjust. With your insistence, I am sure Yad Vashem will correct the following errors beneath this photo. My comments follow in italics: “Pius XII’s reaction toward the killing of Jews during the period of the Holocaust is controversial. In 1933, as the Vatican Secretary of State, in order to maintain the rights of the Church in Germany, he signed a Concordat with the Nazi regime even at the price of recognizing the racist Nazi regime. When he was elected Pope in 1939, he put aside an encyclical against racism and anti-Semitism prepared by his predecessor.” *Pius XII wrote his own encyclical, Summi Pontificatus, which did deal with racism.* “Although reports about the assassination of Jews reached the Vatican, the Pope did not protest either by speaking out or in writing.” *This is not true. Whenever Pius XII spoke out, there was immediate retaliation by the Nazis. There were more than 60 protests!* “In December of 1942, he did not participate in the condemnation by members of the Allies regarding the killing of Jews. Even when the Jews were being deported from Rome to Auschwitz, the Pope did not intervene.” *The Pope did indeed intervene. After that first day, the SS were ordered to stop the deportation of the Jews in Rome.* “He maintained a neutral position except toward the end of the war when he appealed on behalf of the government of Hungary and of Slovakia. His silence and the absence of directives obliged the clergy in Europe to decide independently how they should behave toward the persecuted Jews.” *This is not true. Members of the Church were ordered to protect all refugees and Jews.*
Again, I thank you and Pave the Way Foundation. With kind regards, I am
Affectionately,
Sr. Margherita Marchione, Ph.D.
|
Relentless and complex transits from a planetesimal debris disc
J. Farahi\textsuperscript{1,*}, J. J. Hermes\textsuperscript{2}, T. R. Marsh\textsuperscript{3}, A. J. Mustill\textsuperscript{4}, M. C. Wyatt\textsuperscript{5}, J. A. Guidry\textsuperscript{6}, T. G. Wilson\textsuperscript{7,8}, S. Redfield\textsuperscript{9}, P. Izquierdo\textsuperscript{10}, O. Tolola\textsuperscript{11}, B. T. Gänsicke\textsuperscript{12}, A. Aungwerojwit\textsuperscript{13}, C. Kaewmanee\textsuperscript{11}, V. S. Dhillon\textsuperscript{12,13} and A. Swan\textsuperscript{1}
\textsuperscript{1}Department of Physics and Astronomy, University College London, London WC1E 6BT, UK
\textsuperscript{2}Department of Astronomy & Institute for Astrophysical Research, Boston University, Boston, MA 02215, USA
\textsuperscript{3}Department of Physics, University of Warwick, Coventry CV4 7AL, UK
\textsuperscript{4}Lund Observatory, Department of Astronomy & Theoretical Physics, Lund University, SE-221 00 Lund, Sweden
\textsuperscript{5}Institute of Astronomy, University of Cambridge, Cambridge CB3 0HA, UK
\textsuperscript{6}School of Physics and Astronomy, University of St. Andrews, St. Andrews KY16 9SS, UK
\textsuperscript{7}Astronomy Department and Van Vleck Observatory, Wesleyan University, Middletown, CT 06459, USA
\textsuperscript{8}Departamento de Astronomía, Universidad de La Laguna, E-38205 La Laguna, Spain
\textsuperscript{9}Departamento de Física, Universidad Técnica Federico Santa María, Casilla 110-V, Valparaíso, Chile
\textsuperscript{10}Department of Physics, Naresuan University, Phitsanulok 65000, Thailand
\textsuperscript{11}Department of Mathematics, Naresuan University, Phitsanulok 65000, Thailand
\textsuperscript{12}Department of Physics and Astronomy, University of Sheffield, Sheffield S3 7RH, UK
\textsuperscript{13}Instituto de Astrofísica de Canarias, E-38205 La Laguna, Spain
Accepted 2021 November 26. Received 2021 November 26; in original form 2021 September 13
ABSTRACT
This article reports quasi-continuous transiting events towards WD 1054–226 at $d = 36.2$ pc and $V = 16.0$ mag, based on simultaneous, high-cadence, multiwavelength imaging photometry using ULTRACAM over 18 nights from 2019 to 2020 March. The predominant period is 25.02 h and corresponds to a circular orbit with blackbody $T_{\text{eff}} = 323$ K, where a planetary surface can nominally support liquid water. The light curves reveal remarkable night-to-night similarity, with changes on longer time-scales, and lack any transit-free segments of unocculted starlight. The most pronounced dimming components occur every 23.1 min – exactly the 65\textsuperscript{th} harmonic of the fundamental period – with depths of up to several per cent, and no evident colour dependence. Myriad additional harmonics are present, as well as at least two transiting features with independent periods. High-resolution optical spectra are consistent with stable, photospheric absorption by multiple, refractory metal species, with no indication of circumstellar gas. \textit{Spitzer} observations demonstrate a lack of detectable dust emission, suggesting that the otherwise hidden circumstellar disc orbiting WD 1054–226 may be typical of polluted white dwarfs, and detected only via favourable geometry. Future observations are required to constrain the orbital eccentricity, but even if periastron is near the Roche limit, sublimation cannot drive mass loss in refractory parent bodies, and collisional disintegration is necessary for dust production.
Key words: circumstellar matter – planetary systems – stars: individual (WD 1054–226) – white dwarfs.
1 INTRODUCTION
Evidence of planetary systems orbiting hundreds of white dwarf stars is indirect but compelling, where the telltale signature of metal pollution is consistent with the accretion of rocky planetesimals for isolated stars, and indicative of closely orbiting debris compatible with planetary tidal disruption events (Koester, Gänsicke & Farahi 2014; Farahi 2016). In a growing number of these systems, the geochemical hallmarks of atmospheric pollution (Jura & Young 2014; Doyle et al. 2019) are joined by irregular transit or dimming events (Guidry et al. 2021; Vanderbosch et al. 2020, 2021). In two cases, including one lacking atmospheric pollution, there may be actual giant planets in evidence (Gänsicke et al. 2020; Vanderburg et al. 2020).
The well-studied system and prototype transiting system, WD 1145+017, exhibits dimming events with associated periodicities concentrated near 4.5 h, consistent with disintegrating, minor planetary bodies orbiting near the Roche limit (Vanderburg et al. 2015; Rappaport et al. 2016). In addition to the variable stellar occultations, the debris disc surrounding this star is detected via infrared emission and also by evolving gaseous absorption along the line of sight (Xu et al. 2016; Redfield et al. 2017). The disc has been shown to process (Cauley et al. 2018) and is therefore at least mildly eccentric (Miranda & Rafikov 2018; Fortin-Archambault, Dufour & Xu 2020) and in this respect similar to other debris discs orbiting white dwarfs (Manser et al. 2016; Dennihy et al. 2018).
Eccentric orbits are in line with theoretical predictions (Malamud & Perets 2020; Nixon et al. 2020). It is expected that extant planetary bodies orbit outside the radius of the prior first-ascent and asymptotic giant branch stellar radii and are perturbed into close stellar approaches by major planets via dynamical instabilities (Bonsor, Mustill & Wyatt 2011; Debes, Walsh & Stark 2012; Frewen & Hansen 2014; Mustill et al. 2018; Smallwood et al. 2018). The process of orbital compaction and circularization is...
almost certainly driven by collisions (Li, Mustill & Davies 2021; Malamud, Grishin & Brouwers 2021), as Poynting–Robertson drag is far too feeble across the bulk of parameter space for white dwarf luminosities, particle sizes, and initial orbits (Veras, Leinhardt & Eggl 2015). In contrast, infrared and complementary wavelength disc observations indicate that most, if not all known discs, have compact radii that are in the neighbourhood of the Roche limit, with no cooling age dependence on the shape of the dust spectral energy distribution (Farhihi, Jura & Zuckerman 2009; Rocchetto, Farhihi & Gänßicus 2015).
Collisions appear responsible for the infrared brightening and dimming variability that is observed nearly ubiquitously towards polluted and dusty white dwarfs (Swan, Farhihi & Wilson 2019). Because the magnitude of infrared variability is strongest among sources where both circumstellar dust and gas are found, and yet is clearly part of a continuum of infrared changes among the larger population of dusty white dwarfs (Xu & Jura 2014; Swan, Farhihi & Wilson 2020), sublimation cannot be responsible for the liberation of the detected gas. The infrared observations require both dust replenishment and removal, as both increases and decreases in dust emission have been observed (Farhihi et al. 2018b). Collisions provide a mechanism for both of these processes, as well as producing gas in debris disc models (Kenyon & Bromley 2017b; Malamud et al. 2021; Swan et al. 2021). The rate of dust and gas production has direct bearing on the size distribution of particles and the largest parent bodies within evolving debris discs (Wyatt 2008) and ultimately for the accretion rate on to the stellar surface (Metzger & Rafikov 2012; Wyatt et al. 2014).
It is not yet known whether white dwarf transit detections are related to dynamical activity such as ongoing collisions or catastrophic fragmentation, or purely the result of viewing geometry. A heightened dynamical state of dust and gas production may lead to a dramatic increase in disc scale height (e.g. Kenyon & Bromley 2017a) and favour detection via increased transit cross-section. Alternatively, the dimming may simply be a result of favourable inclination with respect to the observer and where the inferred scale height of transiting structures is typical of all circumstellar discs orbiting white dwarfs. X-ray upper limits for WD 1145+017 do not favour a heightened state of dust and gas production in that system (Farhihi et al. 2018a; Rappaport et al. 2018a).
The number of known white dwarfs with transits has grown; the second was reported in 2020 (Vanderbosch et al. 2020) and seven total are now known (Gudry et al. 2021). There appears to be a variety of orbital periods and transit depths, where only WD 1145+017 exhibits periodicity near that expected of the Roche radius. ZTF J013906.17+524536.9 (Vanderbosch et al. 2020; hereafter ZTF0139) has deep dimming events similar to the prototype, but the orbital period of the material is orders of magnitude larger where $p \sim 100\,\text{d}$. This transiting material may partially orbit within the Roche limit, as transits are more probable near periastron, and tidal disruption is likely to be ultimately responsible for the evolving clouds of orbiting debris. Nevertheless, the source of the planetary material is clearly further out and on a scale of au rather than solar radii. ZTF J032833.52−121945.3 (Vanderbosch et al. 2021; hereafter ZTF0328) presents two independent but notably similar, recurrent transit signals, where both are $\sim 10\,\text{h}$, and thus closer to the prototype, but the transit depths in this system are on the order of 10 per cent.
These transiting systems provide further signposts on the road from planetesimal to debris disc to atmospheric pollution; e.g. the size of the occulting bodies, constraints on compositions and particle sizes, orbital periods, and source regions. Using high-cadence imaging photometry, this paper reports the discovery and detailed characterization of transiting events towards the polluted white dwarf WD 1054−226 (=LP 849-31), a $16^{\text{th}}$ magnitude star within the local 40-pc volume. The observations and data are presented in Section 2, the time series, spectroscopic, and infrared data analysis are presented in Section 3, and inferences based on the data are discussed in Section 4. An outlook is provided in Section 5.
### Table 1. Published and calculated parameters of WD 1054−226.
| Parameter | Value |
|----------------------------|----------------|
| Spectral type | DAZ |
| $V$ (mag) | 16.0 |
| Distance (pc) | 36.17 ± 0.07 |
| $v_{\text{tan}}$ (km s$^{-1}$) | 52.9 ± 0.1 |
| $T_{\text{eff}}$ (K) | 7910 ± 120 |
| $\log g$ (cm s$^{-2}$) | 8.05 ± 0.08 |
| $M_\star$ ($M_\odot$) | 0.62 ± 0.05 |
| $R_\star$ ($R_\odot$) | 0.012 ± 0.001 |
| $\log(L/L_\odot)$ | −3.27 ± 0.09 |
| Cooling age (Gyr) | 1.3 ± 0.2 |
Note. Stellar parameters are those derived from spectroscopy (Gianninas, Bergeron & Ruiz 2011), apparent brightness and spectral type from an earlier census of nearby white dwarfs (Subasavage et al. 2007), and distance from Gaia EDR3 (Gaia Collaboration 2021). The remaining quantities are calculated, with cooling age based on white dwarf evolutionary models (Fontaine, Brassard & Bergeron 2001).
## 2 OBSERVATIONS AND DATA
WD 1054−226 is a relatively cool and nearby, hydrogen atmosphere, white dwarf star that displays a classical DA spectrum (Subasavage et al. 2007), and its properties are summarized in Table 1. The Gaia EDR3 parallax places the source at $d = 36.17 \pm 0.07\,\text{pc}$, and with $G = 16.0\,\text{mag}$ (Gaia Collaboration 2021), it is brighter than other transiting white dwarfs by a factor of around 2 or more. At modest resolution, the stellar spectrum exhibits a typical signature of external pollution by heavy elements via Ca K absorption, yielding a spectral type of DAZ with $T_{\text{eff}} = 7910\,\text{K}$ as determined by atmospheric modelling (Gianninas et al. 2011). At higher spectral resolution, there are photospheric absorption lines from multiple metal species of Mg, Al, Ca, and Fe, at fairly typical abundances relative to the known population of similarly polluted stars (Vennes & Kawka 2013). WD 1054−226 was targeted as part of an ongoing effort to identify transit events towards metal-enriched white dwarfs.
### 2.1 Time-series photometry with ULTRACAM
The primary photometry and light curves for WD 1054−226, including the discovery of the transiting features, were obtained with ULTRACAM, a triple-channel, frame-transfer CCD imaging camera with 24-ms dead time between exposures (Dhillon et al. 2007). The observations were carried out at La Silla Observatory on the NTT telescope, using filters similar to standard $ugr$ bandpasses but with higher throughput. The design of ULTRACAM allows the use of three filters simultaneously, which were $ugr$ for all nights excepting 2020 March 1–3 where $ugr$ filters were in place. High-speed imaging was performed with exposure times per frame of 0.03 s in each band, with the bluest channel typically co-added every three
Table 2. Summary of ULTRACAM observing runs.
| Run (#) | Date | Coverage (h) | Phase Range | Filter Set |
|---------|---------------|--------------|---------------|------------|
| 1 | 2019 Mar 24 | 8.4 | 0.00–0.34 | ugr |
| 1 | 2019 Mar 25 | 8.3 | 0.96–0.29 | ugr |
| 1 | 2019 Mar 26 | 8.3 | 0.91–0.25 | ugr |
| 1 | 2019 Mar 27 | 7.6 | 0.89–0.19 | ugr |
| 1 | 2019 Mar 28 | 4.9 | 0.98–0.17 | ugr |
| 1 | 2019 Mar 29 | 3.7 | 0.80–0.95 | ugr |
| 1 | 2019 Mar 30 | 4.3 | 0.91–0.08 | ugr |
| 1 | 2019 Mar 31 | 8.0 | 0.72–0.03 | ugr |
| 2 | 2019 Apr 10 | 2.4 | 0.50–0.59 | ugr |
| 3 | 2019 May 03 | 6.0 | 0.36–0.60 | ugr |
| 3 | 2019 May 04 | 6.4 | 0.30–0.56 | ugr |
| 3 | 2019 May 05 | 6.2 | 0.25–0.50 | ugr |
| 3 | 2019 May 07 | 2.6 | 0.17–0.27 | ugr |
| 4 | 2020 Feb 28 | 9.3 | 0.12–0.49 | ugr |
| 4 | 2020 Feb 29 | 9.6 | 0.07–0.46 | ugr |
| 4 | 2020 Mar 01 | 9.4 | 0.04–0.42 | ugi |
| 4 | 2020 Mar 02 | 9.5 | 0.99–0.37 | ugi |
| 4 | 2020 Mar 03 | 9.3 | 0.95–0.32 | ugi |
Note. The phases shown are for the 25.02-h, fundamental period.
frames to overcome readout noise. Observations were made during 2019 March, April, May, and 2020 February–March under variable conditions with coverage and filters as documented in Table 2. Useful light curves were obtained on 18 nights, where the total time on the science target is approximately 124.2 h.
All science frames were corrected for bias, and flat-fielded using normalized sky flats obtained in a continuous spiral (to remove stars) during evening twilight each night. All three arrays had readout noise that was typically 2–3 ADU in the bias frames taken each night. Differential photometry of the science target was measured relative to nearby field stars, using instrument-dedicated software to measure fluxes using apertures. The target and comparison star apertures, which tracked the position of the stars, had radii that were scaled to $2 \times$ the mean full width at half-maximum of the stellar profiles for each exposure. The sky annuli were fixed to span the region 8.75–15.75 arcsec from the stars, where a clipped mean was used to determine the background. Signal-to-noise (S/N) values for the science target in an individual exposure were typically near or above 200 for the red ($r$ or $i$ band) and green ($g$ band) channels, and around 150 for the blue ($u$ band) channel. The entire ULTRACAM data set has been reduced using a uniform set of comparison stars, where in the end, two field stars were used for normalization; these are Gaia EDR3 3549471169391629568 with $G = 13.6$ mag, and Gaia EDR3 3549473402774675712 with $G = 14.5$ mag (cf. $G = 16.0$ mag for WD 1054–226).
Supplemental observations were obtained with ULTRASPEC (Dhillon et al. 2014) mounted on the 2.4-m Thai National Telescope on the nights starting 2019 March 25 and 26. The runs were of duration 5.2 and 4.7 h, and exposure times of 8.1 and 18.4 s were used on the two nights, respectively. Thailand is 168° of longitude east of Chile, so these observations took place largely during Chilean daytime, with the first run obtained in between the first two nights of ULTRACAM data. A broad filter spanning $u$, $g$, and $r$ was used for maximum signal, although the data were badly affected by clouds. The data were reduced in the same manner as for ULTRACAM, and despite poor weather, the ULTRASPEC data proved helpful in eliminating possible period aliases (as described later).
All timestamps were converted to Barycentric Julian Day (BJD) using Barycentric Dynamical Time (TDB), following published methods that yield a precision better than 1 ms (Eastman, Siverd & Gaudi 2010).
2.2 TESS data
The Transiting Exoplanet Survey Satellite (TESS) collected 120-s cadence observations of WD 1054–226 in Sector 9 (GI program G011113) as target TIC415714190 ($T = 15.8$ mag). These observations span 2019 February 28 to March 25, and cover 24.2 d with a duty cycle of 91.4 per cent. Almost all of the TESS coverage is a continuous series of 120-s exposures, with a 2-d gap in the middle caused by the mid-sector data downlink. Additionally, TESS observed WD 1054–226 just over 2 yr later in Sector 36 with the fastest cadence possible, using 20-s exposures (GI programs G03124 and G03207). These observations span 2021 March 7 to April 1, and cover 23.7 d with a duty cycle of 89.0 per cent.
Light curves were extracted by the Science Processing Operations Center (SPOC) pipeline, which corrects for long-term instrumental systematics (Jenkins et al. 2010, 2016). The SPOC-processed light curve has not been significantly altered, except by application of a 5σ clip to remove the most discrepant points. Crowding in the large TESS pixels is problematic for such faint stars, and in both sectors, the SPOC pipeline estimates that the target contributes only half the total flux in the extracted aperture. This flux dilution has automatically been compensated for in the PDCSAP_FLUX values from the SPOC pipeline.
The average point-to-point scatter for the 120-s observations in Sector 9 is roughly 9.8 per cent, and for the 20-s observations in Sector 36, it exceeds 12.4 per cent. This large scatter prevents the direct identification of any features in the light curve, but the dense, long-baseline observations are highly useful for periodogram analysis.
2.3 High-resolution spectroscopy with UVES
WD 1054–226 was observed with the Ultraviolet and Visual Echelle Spectrograph (UVES; Dekker et al. 2000) using four observing blocks carried out on three nights, 2019 May 10, 28, and 30, based on an ESO DDT award. Two standard dichroic settings were used to capture the bulk of optical wavelengths, with one setting at $\lambda_c = 3460/5640$ Å, and the other centred on 3900/7600 Å. All spectra were acquired using the 1.0-arcsec slit and $2 \times 2$ binning on the arrays for a nominal resolving power $R \approx 40 000 – 50 000$. Observations with each of these instrument settings were performed twice, with 1.0-h individual exposures and a total of 4.0 h per setup. In this way, each wavelength is covered in either four or eight total exposures.
The raw science and calibration frames were reduced using the standard REFLEX UVES pipeline. Following best practices and parameter optimizations recommended in the REFLEX (Freudling et al. 2013) documentation, the spectra were flat-fielded, bias and dark subtracted, and wavelength calibrated. Optimal extraction was conducted utilizing the various profiles available in the pipeline to produce the highest S/N spectra. The observations were taken in pairs with identical observational setups, were combined via weighted average, and subsequently the spectra were normalized in each arm. Two pairs of (four total) observations were obtained for both instrumental setups, yielding two co-added spectra for each setup at the four distinct epochs. For the 3460/5640 Å setup, the calculated S/N for the two co-added spectra are 28 and 30 in the blue, and 63 and 67 in the red, as measured in the ranges 3500–3550 Å and 5450–5550 Å, respectively. For the 3900/7600 Å setup, the S/N in the
4420–4470 Å and 6000–6100 Å regions are 44 and 50 in the blue, and 52 and 62 in the red.
### 2.4 Infrared photometry with warm *Spitzer* IRAC
WD 1054−226 was observed with the *Spitzer Space Telescope* (Werner et al. 2004) on 2019 May 11 in both the 3.6-μm and 4.5-μm channels of warm IRAC (Fazio et al. 2004). The target was observed using 30-s exposures in the medium step size, cycling dither pattern, with 42 frames acquired and just over 20 min on-source at each infrared wavelength. Both 0.6 arcsec pixel$^{-1}$ mosaics and 1.2 arcsec pixel$^{-1}$ individual basic calibrated data frames were processed with pipeline S19.2.0 and downloaded from the archive. The source is detected at $S/N \approx 150$ in channel 1, and $S/N \approx 100$ in channel 2.
The target flux was measured using both aperture photometry in IRAF on the image mosaics and with the APEX module within MOPEX to perform point spread function fitting photometry on individual frames, all following observatory recommendations. There are two neighbouring and fainter IRAC sources located between 5.1 and 5.4 arcsec of the white dwarf. Aperture photometry with $r = 3$ native pixels (3.6 arcsec) yielded fluxes that are 2–4 per cent higher than with $r = 2$ native pixels (2.4 arcsec), suggesting negligible flux contamination from the nearby sources in the smaller apertures. The resulting mean fluxes for the 42 measurements on the individual frames agree with the smaller aperture, mosaic photometry to within 0.5 per cent, and thus the latter values were adopted. Because both measurements have $S/N \gtrsim 100$, the uncertainty is dominated by an assumed 5 per cent calibration error. The IRAC fluxes are $212 \pm 11$ μJy and $134 \pm 7$ μJy at 3.6 μm and 4.5 μm, respectively.
### 3 DATA ANALYSIS
The following sections outline the analyses performed on each of the data sets, with some basic inferences.
#### 3.1 ULTRACAM: 25 h repeating structures
There are a number of striking features in the ULTRACAM light curves, where the full data set is plotted in Fig. 1 (the nightly light curves are also displayed individually in the Appendix). One of the notable light curve characteristics is that there are no confidently identified sections that are baseline, out-of-transit starlight; not on any night, nor in any bandpass. While there are some light curve sections that appear nearly flat for a short time, there are always higher flux peaks found on the same night. The dimming events are modest in depth, and while it is not possible to precisely establish a reference
Figure 2. The first three nights of ULTRACAM observations for WD 1054–226, shown as an average of the $g$- and $r$-band fluxes. The $x$-axes of the plots are structured so that the same orbital phase occurs at the same $x$ position and highlights the vertical alignment of the recurring features every 25.02 h. The grey points are portions of the light curves with no corresponding phase coverage in the other two nights. The nearly exact replication of the transit structures each night is striking.
point for transit depth, the components typically exhibit a drop of only a few per cent relative to the flux both pre- and post-dimming. There are a small number of features that have a depth greater than around 5 per cent from the surrounding, quasi-baseline flux.
The nightly ULTRACAM light curves illustrate that the dimming structures repeat every 25.02 h. Shorter-period aliases of 12.5 h and 8.3 h were initially ruled out with data taken from a different longitude using ULTRASPEC (not shown here) and the fact that some light curves span over 9-h duration. The 25.02-h period seen in ULTRACAM has been subsequently confirmed by TESS (see below) to be the fundamental recurrence time-scale in WD 1054–226.
While there are some modest changes in the precise shape of some transit components, the entire light curve structure repeats with remarkable fidelity from night-to-night. A more detailed look at this recurrence behaviour is shown in Fig. 2, which plots a close-up of the first three nights of ULTRACAM data, and where many individual transiting components can be co-identified between nights.
A notable and easily recognized recurring feature, for example, is the double-dip structure that occurs just before hours 2, 27, and 52 in Fig. 2. Using this structure as a visual anchor, the adjacent, antecedent, and subsequent transits can all be seen to have the same morphology over all three nights. The same is true for any portion of the light curve on any set of a few to several consecutive nights. In fact, the aforementioned, double-dip structure recurs on all nights of the first observing run, where that orbital phase was observable based on weather, with six manifestations in total during the eight-night run. This feature first appears on 2019 March 24, and last appears March 30, where on the eighth consecutive night, the corresponding phase is beyond morning twilight (see Fig. 1 and Appendix).
The consecutive, individual dimming events occur with a cadence of 23.1 min, which can be visualized in Fig. 2 or in any of the individual light curves shown in the Appendix, but is more clearly seen via the co-added light curves and periodogram analysis (see below). Because the 25.02-h period is essentially derived by lining up all the individual, 23.1-min events, they form an exact ratio, and the higher-frequency individual events are thus a harmonic of the fundamental period.
In Fig. 3, the data taken in 2019 and 2020 are re-sampled into 4000 total, evenly distributed phase bins, and separately co-added at the same orbital phase. This re-sampling reduces the temporal cadence to around 23 s. The bulk of phase bins include data that span several consecutive nights, yet preserve remarkably sharp features in the combined data, and this is possible only if the 23.1-min transiting structures are stable over this time span. Comparing the two separate years, the structures change substantially, and based on these as well as the individual light curves, it is clear that distinct transits that repeat on consecutive nights are nevertheless morphologically evolving. The ULTRACAM observing runs are never longer than several nights with excellent temporal coverage, so the time-scale for significant changes in the light curve features is constrained to be more than several nights and less than roughly 1 yr (i.e. somewhere between several orbits and a few hundred orbits). It thus appears to be the case that the underlying transit structures, and the occulting bodies and debris responsible, persist for at least several orbits.
3.2 TESS: confirmation of the 25-h orbit, a strong 65th harmonic, and independent signals
The repetition of the complex dimming event pattern, on a period of 25.02 h as seen by ULTRACAM, inevitably implies a large series of harmonics of the fundamental frequency. This is simply a result of Fourier series, where a multitude of sinusoids are necessary to reproduce such a spectacularly non-sinusoidal pattern. As described below, both ULTRACAM and TESS corroborate the 25.02-h orbital period of the transiting debris, where all light curve data reveal notable strength in the 65th harmonic. Additionally, TESS uncovers evidence for a second period near 11.4 h.
The nearly continuous TESS observations provide a reliable census of the periodicities present in WD 1054–226, free from aliases caused by gaps in the ground-based data collection. These data can be exploited by constructing a Lomb–Scargle periodogram, which is calculated here using the software package PERIOD04 (Lenz & Breger 2005). The frequencies of the TESS data can be determined to high precision, using uncertainties derived from a linear least-squares fit...
Figure 3. Combined and phase-folded light curves for all 13 nights of ULTRACAM data in 2019, and all five nights of data in 2020. The fluxes are phased with respect to the 25.02-h period, where zero phase in both cases corresponds to the first exposure obtained on 2019 March 24 ($T_0 = 2458567.49292$ BJD$_{\text{TDB}}$). Both plotted curves are the result of co-adding and re-sampling nightly data into 4000 evenly spaced phase bins, which corresponds to a reduction in temporal sampling from 6 s to 23 s. The individual transiting features are remarkably coherent in both shape and phase over at least several nights, but their morphology can change drastically from one year to the next. Both curves shown are the average of either $g$- and $r$-band, or $g$- and $i$-band data.
Figure 4. Lomb-Scargle periodograms of the TESS data collected in Sector 9 (120-s cadence, upper panel), and the data collected in Sector 36 (20-s cadence, lower panel). Many harmonics of the dominant, 25.02-h period ($f_1 = 11.101646$ µHz) are present; all integer multiples of this fundamental frequency are marked with red dots and amplitudes at the 0.1 per cent false-alarm probability threshold, above which any peaks are formally significant.
(Montgomery & Odonoghue 1999). An annotated periodogram of all TESS data can be found in Fig. 4.
Potential periods longer than 2 d have been ignored, based on the likelihood that the longest period signals correlate with orbital motion of the spacecraft or other systematics. Following the method outlined in Hermes et al. (2015), a 0.1 per cent false-alarm probability is computed by keeping the same timestamps but randomly shuffling the fluxes to create 10 000 synthetic light curves. The highest amplitude peak in the periodogram of each synthetic data set is noted, and also the amplitude above which 99.9 per cent of the data sets do not have a peak. Using these, any peaks with amplitudes exceeding the 0.1 per cent false-alarm probability are considered significant; these amplitudes are 0.411 per cent in Sector 9, and 0.370 per cent in Sector 36. These significance thresholds are marked as red dotted lines in Fig. 4.
There are many signals in the TESS periodogram of Sector 9 that are simply integer harmonics of the recurrent 25.02-h (11.1 µHz) period in the ULTRACAM data. More importantly, in Sector 9 there is a significant peak at an apparently unrelated frequency of $24.391 \pm 0.038$ µHz, which corresponds to $11.388 \pm 0.018$ h (cf. the strongest signal in the periodogram of $12.544 \pm 0.015$ h, the second harmonic of the fundamental). More than 2 yr later, TESS re-observed WD 1054–226 in Sector 36 with higher cadence, providing a lower significance threshold in these data compared to Sector 9 (and again with many harmonics of the fundamental frequency). The Sector 36 data also reveal a significant frequency at a value apparently unrelated to the 25.02-h period. This independent signal is the highest in the Sector 36 periodogram, at $48.521 \pm 0.033$ µHz ($5.7249 \pm 0.0039$ h), and is consistent with being a harmonic of another significant peak in the periodogram at $24.223 \pm 0.042$ µHz ($11.467 \pm 0.020$ h). This Sector 36 signal differs by only around 2σ from the $11.388 \pm 0.018$ h signal present in Sector 9, and these two independent detections suggest that there is at least one additional periodicity, independent from the 25.02-h fundamental signal, and that
Figure 5. An example of ULTRACAM, summed $g$- and $r$-band, light-curve residuals that result from the removal of the phase-folded and co-added signal shown in Fig. 3. The plot $x$-axes are constructed analogously to Fig. 2, where the plotted flux residuals are vertically aligned at the same orbital phase, each 25.02 h from the previous night. This plot shows the two most prominent residuals – highlighted in darker colour – that recur on time-scales that are distinct from the primary orbital frequency. On the left (in blue) is a transit component that recurs more rapidly, and arriving earlier by roughly 2.1 h, and on the right (in green) is a component that recurs more slowly, and arriving later by around 0.5 h (see text). Over the entire set of residual flux light curves (see Appendix), there are many transient features that cannot be confidently re-identified in adjacent nights. It is important to note that not all light curve phases have been effectively co-added and removed in these residuals, owing to a lack of coverage at some phases (e.g. forward of 7 h on 2019 March 24, where the drifter first appears).
is physically associated with the transiting debris clouds surrounding WD 1054–226.
A likely alias of the 11.4-h periodogram signal, near 22.9 h, is found in the ULTRACAM data by visual co-identification of a repeating, individual transit feature (see Section 3.3). If 22.9 h were in fact the true period, then its second harmonic would be expected near 24.2 µHz (11.5 h), and a third harmonic should appear around 36.3 µHz (7.6 h); the former is present and significant, but there is no signal corresponding to the latter. These facts, together with the strongest signal in the periodogram at 48.52 µHz (5.72 h) – consistent with the second harmonic of 24.2 µHz (11.5 h) – imply that the 11.4-h signal is the true independent period, and the 22.9-h repeating transit feature is an alias.
Both the Sector 9 and 36 data reveal the fundamental recurrence time-scale (and via multiple harmonics) seen first in the ULTRACAM data, and the 65th harmonic (that occurs at a period of 23.0966 min) has a formally significant amplitude in all data sets (Fig. 4). This can be understood readily as follows: the individual dimming events have ingresses and egresses that occur every 23.1 min, yet each temporally aligns with its own idiosyncratic counterpart every 25.02 h. Therefore, mathematically speaking, it is unavoidable that there will be an exact commensurability of the fundamental period with the 23.1-min signal, and they cannot be independent.
Although the physical nature of the 65th harmonic is as yet unknown, it can be used to refine the fundamental period by performing a linear least-squares fit to all TESS and ULTRACAM data, using the periodogram peak from Sectors 9 and 36 as an initial guess. Such a calculation assumes a unique phasing, which is uncertain, and so instead the nearest convincing alias in the TESS and ULTRACAM periodogram of the 65th harmonic was used for a more robust determination. This leads to a marginally more conservative estimate of the error than assuming a unique phasing and yields $25.0213147 \pm 0.0000051$ h.
3.3 ULTRACAM: orbiting drifters and transients
In this section, evidence is presented for two additional orbital periods based on features in the ULTRACAM data, where these repeating transit features were seen to recur on time-scales within several per cent of the 25.02-h orbital period. However, as noted earlier, one of these possesses a 22.9-h periodicity that is consistent with an alias of the formally significant TESS signal at 11.4 h seen in both Sectors 9 and 36. The other independent period does not have a counterpart in any periodogram, but it should be acknowledged that it could also be an alias of a shorter period.
On 2019 May 4, the ULTRACAM observers noted a prominent transit seen in the light curve of the previous night that did not repeat at the expected time but instead appeared roughly half an hour later (see Figs A2 and A3, panels dated 2019 May 3–5). Weather was poor on the following night of 2019 May 5, but again this distinct feature – dubbed a drifter – is seen around 30 min later than expected based on the 25.02-h period. In order to highlight this outstanding event, and to discover potential dimming events of a transient nature, or with periodicities distinct from the 25.02-h period, the co-added and phase-folded light curves were subtracted from the nightly data to create light curve residuals, part of which are highlighted in Fig. 5.
The full set of light curve residuals is shown in the Appendix, where, overall, these data demonstrate that multiple dimming structures persist after removal of the primary recurring signals. There are a number of dips that are either transient or cannot be confidently shown to recur, which are thus challenging to quantify. It is important to note that the process of creating the residuals can only effectively remove recurring signal where multiple-night coverage is available at a given phase. Thus, some phases will suffer artefacts in this process, especially where coverage – either in the light curve or subtracted data – includes only a single night. Thus, not all light-curve residual structures are real.
nights. To examine the data for colour trends in further detail, the light curves taken the first night (2019 March 24) were fitted with a five-knot, least-squares-fit, cubic spline, (with knots distributed evenly), which was then subtracted from the data, resulting in $\Delta m$ values for the light curves in all three filters. This step guards against hourly or longer-term variations, driven by telluric extinction colour terms with respect to the comparison stars. Next, a straight line was fitted to the $\Delta r$- versus $\Delta g$-band data, where the gradient implies that the dips in WD 1054–226 have an extinction coefficient of the form $\Delta(g - r)/\Delta g = -0.017 \pm 0.010$. This can be compared to a typical interstellar extinction $\Delta(g - r)/\Delta g = 0.287$ (Wang & Chen 2019).
This analysis was then applied to all nights in a similar manner, with similar results obtained. For the purposes of display, the data taken on 2019 May 4 were analyzed and shown in Fig. 6. This run was chosen not only because it is highly representative of the entire ULTRACAM data set but also because it contains the first transit event that was discovered to recur on a period clearly different from all other transit events (referred to previously as a drifter). The drifting transit component has an observed period of around 25.52 h, which has been determined by visual alignment of the events, as it was observed only on three occasions (2019 May 3, 4, and 5). While the true period could be shorter, the importance of this drifting transit feature is that it is the deepest transiting event yet witnessed, and thus provides further phase–space coverage in the calculation of the extinction coefficient.
The 2019 May 4 data lead to $\Delta(g - r)/\Delta g = -0.005 \pm 0.009$ and $\Delta(u - g)/\Delta g = -0.009 \pm 0.021$, both consistent with zero at high precision. Not only are these values completely different from what is expected from interstellar extinction – $\Delta(g - r)/\Delta g = 0.287 \pm 0.005$ and $\Delta(u - g)/\Delta g = 0.315 \pm 0.014$, but they are also inconsistent with a 7900-K blackbody that varies because of surface temperature fluctuations (0.211 and 0.329, respectively), thus demonstrating that the observed variability cannot be stellar (spots or pulsations). Data from 2019 March 25 were also of excellent quality and result in coefficients of $\Delta(g - r)/\Delta g = -0.007 \pm 0.009$ and $\Delta(u - g)/\Delta g = -0.020 \pm 0.020$. The implications of these grey transits are discussed further in Section 4.3.
### 3.5 UVES: apparent lack of circumstellar gas absorption
The UVES spectra reveal broad Balmer absorption and narrow, photospheric metal lines. In Fig. 7, the UVES spectra in the Ca II K line region are compared with medium-resolution (resolving power $R \approx 9000$), archival X-shooter spectra taken 6 yr earlier (Vennes & Kawka 2013). No significant differences can be seen in this line or any of the various metal absorption lines between 2013 May and 2019 May. The same is true for the UVES data itself; each line detected in multiple (either four or eight) observing runs is unchanging. It is noteworthy that Vennes & Kawka (2013) inferred the presence of a subtle, circumstellar absorption component in the Ca II K line, 20 km s$^{-1}$ blueshifted as compared to predictions of their atmospheric model but not in any other detected lines of this element or other photospheric metal species. The UVES data do not confirm this finding despite 4× higher spectral resolution compared to X-shooter.
The high-resolution, optical spectral lines of WD 1054–226 are distinct from the unambiguous circumstellar absorption exhibited by WD 1145+017 (Xu et al. 2016; Redfield et al. 2017). Fig. 8 plots the $R \approx 40\,000$ spectra of both stars, where WD 1145+017 has multiple, broad circumstellar features in addition to sharp photospheric components. In contrast, WD 1054–226 has only narrow photospheric metal lines. Further analysis of the UVES data, includ-
**Figure 6.** Lack of colour variations as demonstrated by ULTRACAM data taken on 2019 May 4. The top panel plots colour-coded and labelled $\Delta u$-, $\Delta g$-, and $\Delta r$-band light curves in blue, green, and red, respectively, binned to equivalent time intervals after removal of a five-knot spline fit. To match the co-added $r$-band data, this process requires a factor of 3 reduction in the number of $g$- and $r$-band points, and the resulting $u - g$ and $g - r$ colours are plotted in grey and labelled. The dashed black lines indicate the location of the drifter on this night. Points falling between these two lines are highlighted in red in the lower panel, which plots $\Delta r$ versus $\Delta g$, where the resulting slope is consistent with one as delineated by the dashed red line, and thus no colour term is present (and similarly for $\Delta u$ versus $\Delta g$, not shown).
At least two drifting transits may be seen to recur over three or more nights. Fig. 5 highlights these two repeating events, one apparently recurring more rapidly (left-hand panel) and the other apparently recurring more slowly (right-hand panel), than the main periodic set of features. The faster drifting component shown in Fig. 5 (and possibly a weaker dip not shown but present in the Appendix plots) is estimated to have a period of 22.9 h and thus co-identified with the TESS periodogram signal near 11.4 h. This transit event is seen in at least four nights of ULTRACAM data, and if the true period is twice as fast, then it persisted for at least eight orbits. The more slowly drifting feature, and the strongest transit in the entire ULTRACAM data set, has no periodogram peak in any data but has an observed period of 25.5 h; shorter-period aliases for this transit feature cannot yet be ruled out.
### 3.4 ULTRACAM: lack of colour during transits
Visual examination of the raw, normalized flux ratios, for any pair of bandpasses, reveals that they are flat and featureless across all
The Ca II K line in WD 1054–226 as seen during two epochs of UVES spectroscopy in 2019 May, as compared with data taken in 2013 May using X-shooter (Vennes & Kawka 2015). The resolution of the UVES data has been reduced by a factor of 4 so that the resolving power of both instruments is similar.
The UVES data provide an upper limit of \( \upsilon \sin i \leq 5 \text{ km s}^{-1} \) based on the absence of line broadening by stellar rotation. A line width analysis was applied to three isolated and relatively strong Fe I lines (3647.8, 4045.8, and 4404.8 Å). These are lines for which photospheric absorption has been detected in cool white dwarfs with metal polluted atmospheres (e.g. Kawka & Vennes 2012), and that have relatively weak circumstellar absorption in WD 1145+017, particularly compared to the Ca II K line (Redfield et al. 2017). For these reasons, the absorption profiles of these lines in WD 1054–226 are likely purely photospheric and provide an excellent constraint on stellar rotation. The resulting upper limit of 5 km s\(^{-1}\) implies a lower limit on the stellar rotation period of \( p > 3.0 \text{ h} \), using the parameters from Table 1.
### 3.6 Spitzer: lack of infrared excess emission
Fig. 9 displays the multiwavelength, photometric spectral energy distribution of WD 1054–226 including the 3–5 μm fluxes as measured by *Spitzer* and *WISE*. It is important to note that all available, multiwavelength photometry is likely subject to the intrinsic variability of the dimming events, and thus there is some additional uncertainty in the absolute flux level of the stellar photosphere. However, the spectroscopically derived \( T_{\text{eff}} \) and log \( g \) used here should remain unaffected by the grey transits. The stellar images shown in Fig. 10 suggest that the *WISE* fluxes are contaminated by one or more neighbouring sources, while the more reliable *Spitzer* fluxes are within 1σ (5 per cent, calibration-limited) of the photospheric model expectations. Barring the above caveat, the data do not support any infrared excess emission.
## 4 DISCUSSION
This section provides some inferences based on the observed transits and ancillary data for WD 1054–226, where the data are interpreted as obstruction by clouds of dust or related structures ultimately derived from orbiting planetary bodies.
### 4.1 Characteristics of the light curve
The following is a summary of the WD 1054–226 light curve:
(i) The source is highly variable, showing quasi-continuous dimming events of a few to several per cent depth.
(ii) The events occur roughly every 23.1 min, but not always every 23.1 min, and are variable in depth, shape, and duration.
(iii) The entire detailed pattern of depth, shape, and duration repeats nearly perfectly every 25.02 h for at least several orbital cycles.
(iv) The exact morphology of the light curve evolves significantly over longer time-scales but retains significant variability at many integer harmonics of the 25.02-h orbit, especially the 65\(^{\text{th}}\) harmonic at 23.1 min.
(v) There appears to be at least one, and possibly two additional periodicities, partly evidenced by drifting transit features.
(vi) There is no significant colour seen in the \( ugriz \) bands to less than 0.02 mag.
(vii) There is no portion of the light curve that appears consistent with out-of-transit starlight.
The light curve of WD 1054–226 is unusual in that the star remains occulted for the entire orbital period of the transiting matter. This is consistent with the observer looking through a ring of debris, where the occluded fraction of the stellar disc is always non-zero, and, based on the grey transits, consistent with a viewed disc edge that is opaque. The shapes of the transits are broadly similar to some of the dippers observed towards main-sequence stars where secondary, planetesimal debris structures are suspected to cause the light curve dimming events (Gaidos et al. 2019; Melis et al. 2021), in contrast to the primordial disc structures suspected in the case of many dippers around younger, pre-main-sequence stars (Ansdell et al. 2016; Kennedy et al. 2017). And although the transit shapes of WD 1054–226 are more complex, and potentially overlapping, there are some features that resemble the exocometary transiting structures seen by *Kepler* (Rappaport et al. 2018b; Ansdell et al. 2019).
### 4.2 Orbital geometry
The period of 25.02 h places the semimajor axis at 3.69 R\(_\odot\) for a \( M_\star = 0.62 M_\odot \) host star, while for \( T_{\text{eff}} = 7910 \text{ K}, R_\star = 0.012 R_\odot \), and circular orbits the equilibrium temperature of blackbodies is 325 K and thus in the habitable zone of WD 1054–226. The geometry of the orbit remains uncertain and cannot be directly inferred from the data in hand. While the circumstellar debris is strikingly clear from the dimming events, there is currently no evidence for the \( T \approx 1000 \text{ K} \) dust emission that is commonly seen around polluted white dwarfs (e.g. Xu, Lai & Dennihy 2020), where the debris is generally inferred to be located within or near the Roche limit (Farhi 2016).
Two possible orbital geometries are explored, either circular in a disc-like configuration or highly eccentric with a periastrom near or within the Roche limit. On the one hand, a circular or low-eccentricity orbit would imply the underlying parent bodies and their debris are distant from the polluted surface of the star, where ongoing or recent accretion is necessary. An orbiting ring of debris within the habitable zone would emit at a narrow range of dust temperatures near the equilibrium temperature corresponding to the semimajor axis. On the other hand, if the observed transiting debris is currently passing within the Roche limit, then the orbital eccentricity is \( e \gtrsim 0.7 \) (Fig. 11), and there will be signatures of both warmer and cooler dust emission from material as it orbits...
Figure 8. Two segments of the UVES spectra for WD 1054–226 plotted in blue, where narrow, photospheric Mg\text{I} and Fe\text{I} lines can be seen. In contrast, while many of these same lines are present in the HIRES spectrum of WD 1145+017 plotted in green, there are numerous Fe\text{II} lines of circumstellar origin (Xu et al. 2016; Redfield et al. 2017). Both spectra have similar instrumental resolving power ($R \approx 40\,000$) and comparable S/N.
Figure 9. Ultraviolet through infrared, photometric spectral energy distribution of WD 1054–226. The dotted black line is a hydrogen atmosphere, $T_{\text{eff}} = 8000\,\text{K}$ white dwarf model (Koester 2010), and the coloured error bars are ultraviolet, optical, and infrared photometry with the sources labelled in the plot (and realistic error estimates for Galex and SDSS where only formal errors are given). The Spitzer IRAC measurements are the average of 42 individual 30-s exposures in each channel, taken consecutively in the 3.6-\(\mu\)m channel 1 and subsequently in the 4.5-\(\mu\)m channel 2. Across the frame-by-frame exposures in each IRAC channel, there is no evidence for variation more than 3\(\sigma\) above the photometric error, nor standard deviation of the measurements.
Figure 10. Warm Spitzer IRAC images of WD 1054–226 with a 30 \(\times\) 30 arcsec\(^2\) field of view. The 2.4-arcsec apertures used for the flux measurements are shown in blue, while a 7.8-arcsec red circle is shown representing 1.3 \(\times\) the WISE W1 point spread function that is representative of photometric contamination (Dennihy, Farihi & Fusillo 2020) for faint sources such as white dwarfs. It is thus likely that WISE photometry for this star suffers from source confusion, and this is consistent with the lower fluxes measured using the IRAC data.
Figure 11. Plot demonstrating the minimum eccentricity versus planetesimal density for orbits with semimajor axis corresponding to 25.02 h and periastra within the Roche limit. The densities plotted are from water ice up to the bulk Earth, and the limit for catastrophic fragmentation is calculated for when self-gravity (no rotation, no material strength) is equal to the tidal force.
Figure 12. The sensitivity to single-temperature dust emission at strength $L_{\text{IR}}/L_*$. as a function of dust temperature (left-hand panel) and orbital radius (right-hand panel) for WD 1054–226. The red and orange curves show the parameters of dust discs that would have been detected with Spitzer IRAC at 3.6 and 4.5 μm for this particular host star, while the green and blue curves trace the cool dust sensitivity with JWST MIRI at 7, 11, and 15 μm (using 18.5 min of total integration per bandpass). The grey dotted lines are the expected dust temperature (323 K) and circular orbital radius in the habitable zone. The grey dashed line is the expected dust temperature (230 K) and corresponding orbital radius (roughly twice the semimajor axis) for cooler emission from an eccentric orbit (Wyatt et al. 2010); in this case, a transiting debris disc near periastron is also expected. The 32 star symbols are what dwarf dust discs with well-determined $L_{\text{IR}}/L_*$ (Rocchetto et al. 2015). Note that some of the plotted symbols in the right-hand panel cannot be plotted in the left-hand panel due to higher dust temperatures that place them beyond the plot range. Furthermore, the coloured curves are specifically calculated for WD 1054–226 whose luminosity is significantly lower than the host stars with plotted dust $L_{\text{IR}}/L_*$ values. Because the conversion from dust temperature to orbital radius depends on the actual host $L_*$ and $T_{\text{eff}}$, the plotted symbols move relative to the lines of detectability for WD 1054–226.
Sensitive observations in the infrared with JWST can distinguish these two possibilities. This fact is demonstrated in Fig. 12, which plots the sensitivity to single-temperature dust emission at strength $L_{\text{IR}}/L_*$ as a function of dust temperature and orbital radius for WD 1054–226. Using the relationship between the fractional dust luminosity, the level of dimming, and orbital radius during transit (Wyatt et al. 2018), 32.3-K dust causing 5 per cent dimming should have $L_{\text{IR}}/L_* \approx 6 \times 10^{-4}$ if all the debris is within a narrow annulus in the habitable zone. However, if the dust is optically thick and observed edge-on, then the disc will appear fainter because emission will be largely obscured within the plane of the disc. Moreover, Section 4.3 suggests that the material is indeed likely optically thick and must be viewed edge-on to cause transits. Nevertheless, Fig. 12 shows that the optically thin case is achievable with a relatively modest integration time in at least two of the longer wavelength filters of MIRI.
For the eccentric orbit case, the precise periastron distance has implications for the subsequent evolution of debris generated initially via tidal disruption. Specifically, the potential production of gaseous debris, via sublimation or collisions, can assist in disc compaction (Malamud et al. 2021) and provide material for surface pollution on viscous time-scales (Farhi et al. 2012), thus providing a means of dust removal, or possibly re-condense into solids that comprise the opaque transiting clouds (Metzger & Rafikov 2012). In the case that periastron corresponds to the Roche limit for material of density 3 g cm$^{-3}$, the corresponding blackbody temperature is just under 680 K, and no refractory planetary material would effectively sublimate under these conditions. Therefore, unless the underlying parent bodies of the transiting structures are composed of water or similarly volatile ices – which is not reflected in the photospheric metal pollution – it is likely that any ongoing dust production and planetesimal disintegration are driven by collisions. While 1400 K is often cited as a temperature where silicates are rapidly sublimated in, e.g. hydrogen-rich protoplanetary discs, it has been shown that for volatile-poor debris orbiting white dwarfs, there should be high metal gas pressure (no hydrogen) and a typical benchmark temperature that is 300–400 K higher (Rafikov & Garmilla 2012). In this case, periastron would need to lie at roughly 0.1 R$_{\odot}$, requiring $e > 0.96$ and is thus dynamically less likely.
4.3 Occulting clouds
There is no evidence for solid-body transits in any of the data, and the underlying transit sources are presumably relatively small but with extended comae of dust and gas. It cannot yet be determined what fraction of the stellar disc is constantly occluded, which could be significant. But taking a typical transit depth for WD 1054–226 as 3 per cent, this corresponds to a spherical blocking radius of around 1480 km and would be between the mean radii of Solar system moons Triton and Europa. However, the duration of the transit events provides clear indications that the occulting clouds are non-spherical.
Transit durations range from narrow events lasting 4–8 min to broader dips whose widths are 12–15 min. Together with the Keplerian speed for a circular, 25.02-h orbit, this implies that the clouds are vastly spread along the orbit, on the order of several $10^4$ km up to $10^5$ km, and typically an order of magnitude larger than the stellar radius. This implies that the scale height of the optically thick clouds is better approximated assuming a rectangular shape, where at any given time the entire stellar diameter is occluded along the orbit. For an eccentric orbit of $e \approx 0.7$, the above approximation needs modification for the varying orbital speed, where if viewed at periastron or apastron, the implied length of a typical transiting cloud would be roughly twice as long or twice as short, respectively. Using this crude shape estimate for the transit geometry and a circular orbit, a typical 3 per cent transit depth results in a blocking height of 400 km along the stellar equator (and thus larger for higher impact parameters). For comparison, the stable arcs in the Adams ring of Neptune are $10^3$ km up to $10^4$ km in arc length (Porco 1991) but are unlikely to have a vertical height significantly larger than the ring particles (Esposito 2002).
It is tempting to try and estimate the total fraction of the stellar disc that is constantly occulted, but this is not possible even from the sensitive light curves presented here. This fraction is at least a few per cent, based on the fact that a typical ULTRACAM light curve has maximum flux values that are a few per cent above the normalized, nightly mean. Another method would be to compare the predicted absolute brightness of the star with that observed, for example based on the spectroscopically derived $T_{\text{eff}}$ and $\log g$ from model fits to Balmer lines (unaffected by the grey transits) versus those calculated from photometry and parallax. But it is important to note that such comparisons are well known to be fraught with systematic offsets in derived parameters (e.g. Bergeron, Leggett & Ruiz 2001; Genest-Beaulieu & Bergeron 2014; Tremblay et al. 2019) and thus must be viewed with caution. That being said, comparing the luminosity predicted by spectroscopy (Gianninas et al. 2011) and that observed by Gaia photometry and parallax (Gentile Fusillo et al. 2019) results in an observed luminosity that is 10 per cent fainter than predicted. Numerous stars in this range of $T_{\text{eff}}$ and $\log g$ show similar or even larger deviations (in both directions), and therefore any difference in WD 1054–226 may be indicative, yet far from conclusive.
The lack of colour, as determined from the ULTRACAM data, supports optically thick dust clouds or large particles, similar to findings for WD 1145+017 (Alonso et al. 2016; Izquierdo et al. 2018). However, there is no efficient way to remove small particles around a white dwarf as cool as WD 1054–226, and thus an optically thick configuration is more likely, and thus the underlying dust mass is unconstrained by transit observations. Detection of dust emission in the infrared would place important constraints on the properties of the circumstellar material. For example, the range of detected emission temperatures would yield the periastrom and apastron distances of the dust distribution, and the shape of the emission would indicate the optical depth and possibly the disc orientation (Wyatt et al. 2018). Such observations would thus have broad implications for the overall population of polluted white dwarfs, as WD 1054–226 is a rather ordinary member of this class, and the evolution of its circumstellar disc is likely relevant to the entire population.
The lack of detectable circumstellar gas is still somewhat surprising, as the scale height of gas is expected to be larger than that of dust (or the same if physically coupled). However, if the configuration is simply opaque to the line of sight, then no conclusions can be drawn from the non-detection. In the case of WD 1145+017, it appears that circumstellar gas absorption is reduced during transits, leading to an increase in blue-wavelength fluxes where a multitude of lines are seen (Hallakoun et al. 2017; Karjalainen et al. 2019). This is consistent with opaque transiting clouds that (partly) block the line of sight through the circumstellar gas (Xu et al. 2019).
In WD 1054–226, one might speculate that the analogous transiting bodies block all such material, and this would be consistent with the utter lack of out-of-transit starlight, whereas in contrast, WD 1145+017 seems to have out-of-transit flux observed in its light curve as evidenced by relatively flat regions (Gänsicke et al. 2016; Rapaport et al. 2016). It is noteworthy that ZTF0139 and ZTF0328 may have circumstellar features, although the evidence is currently less compelling (Vanderbosch et al. 2020, 2021) than for WD 1145+017. If true, WD 1054–226 would be unique among transiting systems for its lack of circumstellar absorption.
### 4.4 Non-canonical disc orbiting a typical polluted white dwarf
The IRAC data are consistent with stellar emission only and provide the first clear case where a debris disc is not detected via infrared photometric excess, yet whose presence is revealed by the transiting events. There also does not appear to be any significant infrared excess towards either ZTF 1039 or ZTF0328, although the data available for those stars are not comparable to the sensitivity of the Spitzer images analyzed here. All four white dwarfs with irregular transits and optical spectroscopy display metal absorption lines, and thus their surfaces are externally polluted by planetary material.
Among metal-rich white dwarfs, WD 1054–226 does not stand out in mass, temperature, detected element species, or abundances. Its lack of infrared excess at warm Spitzer and WISE is also unremarkable, as the vast majority of isolated and metal-lined white dwarfs exhibit only photospheric emission at wavelengths of 3–4 μm (Rocchetto et al. 2015). However, there are some differences in the disc-detection statistics between warmer (younger) and cooler (older) polluted white dwarfs, albeit with some observational bias that results primarily from the spectroscopic sensitivity to photospheric metal abundance (and hence the implied accretion rate of circumstellar matter).
For hydrogen-rich white dwarfs with sinking time-scales of days or weeks at most ($T_{\text{eff}} \gtrsim 14\,000$ K), and sensitive ultraviolet detections of photospheric metals, around 10 per cent also display infrared excess from their circumstellar discs. The majority remain undetectable (e.g. with Spitzer), but some circumstellar material must be present based on the requirement for ongoing accretion (Wilson, Farhi & Gänsicke 2019). For similar infrared observations of those stars with ground-based, optical detections of metals, the fraction with observed dust emission is significantly higher and ranges from 20 per cent to as high as 50 per cent, depending on the temperature and age range (Farhi et al. 2009). This contrast is understood to be a bias favouring infrared dust detection towards stars with higher metal abundances (and accretion rates) that can be more easily detected via optical spectroscopy (Kilic & Redfield 2007; Girven et al. 2012). The same is not true for metal-rich white dwarfs with $T_{\text{eff}} \lesssim 10\,000$ K, including WD 1054–226 (Farhi 2016; Bonsor et al. 2017). There are dozens of relatively nearby and bright DAZ and DZ stars in this temperature and age range known, including many with metal abundances (and time-averaged accretion rates) similar to their warmer counterparts. Nevertheless, only two dusty and polluted stars have been unambiguously identified among those stars with reliable infrared data and represent a fraction smaller than 4 per cent (Farhi, Zuckerman & Becklin 2008; Bergfors et al. 2014; Debes et al. 2019; Lai et al. 2021).
If WD 1054–226 is representative of polluted white dwarfs with $T_{\text{eff}} \lesssim 10\,000$ K, then it suggests that this population harbours discs, but they are not readily detectable in the infrared for exactly the reasons illustrated in Fig. 12. The orbital period clearly shows that the material is, at least most of the time, more distant than the 1–2 $R_\odot$ found for stars with dust emission detected with Spitzer or similarly WISE at 3–4 μm. A search for cooler dust around polluted white dwarfs, at more distant orbital radii, using sensitive infrared instruments, appears valuable on the basis of WD 1054–226.
It should be noted that at least 30 polluted white dwarfs were targeted using the MIPS 24-μm camera aboard Spitzer during the cryogenic mission. The nearest and brightest DZ white dwarf, vMa2, was found to have a 24-μm flux consistent with photospheric emission, but otherwise only those stars with infrared excesses at IRAC wavelengths were detected with MIPS (Farhi et al. 2009). Only two polluted white dwarfs have published observations at longer wavelengths, G29–38 and GD 362 (Xu et al. 2013; Farhi et al. 2014), both observed with Herschel PACS and the former observed also with ALMA, and all resulting in upper limits. A rigorous analysis of non-detections at wavelengths longer than 3–4 μm has not yet been investigated (Bonsor et al. 2017). Together with results
for the warmer stars where ongoing accretion from circumstellar matter is required, the transit detections support a picture where photospheric metal pollution is nearly equivalent to the detection of extant circumstellar debris (Farahi, Gainscicle & Koester 2013).
The overall data indicate that the transiting material has significant scale height of at least a few hundred kilometres and is thus not in a canonical disc configuration that is vertically opaque yet thin (Jura 2003). Such a dynamically relaxed disc may be favoured, at least in part, for the most closely orbiting debris discs where, e.g. baseline dust emission is always present despite significant infrared variability observed on time-scales of months to over a decade (Swan et al. 2020), and the inferred, ongoing accretion rates are well matched by evolutionary models of irradiated flat discs (Rafikov 2011; Farahi 2016). As in the rings of Saturn, flat disc constituents share the same inclination to the observer, and the scale height is comparable to the largest particles.
However, large bodies can stir up an otherwise-flat disc to a height that has been found to extend nearly to a Hill radius in the rings of Saturn (Hoffmann et al. 2015). Using this approximation, to achieve a scale height of 400 km towards WD 1054–226, the largest bodies would need to be $\sim 50$ km in radius for typical asteroid densities. This calculation is based on a circular orbit, but does not change drastically for the eccentric case, where the instantaneous Hill radius scales as orbital distance. In the extreme case of high eccentricity at apastron, a 400-km Hill radius corresponds to a body of radius $\sim 25$ km. It is noteworthy that 400 km is an order of magnitude smaller than some predictions of a collisional cascade in a narrow annulus around white dwarf (Kenyon & Bromley 2017a), where analogous processes set the scale height.
If transit activity seen towards white dwarfs were caused by an order of magnitude or more increase in a typical disc scale height, due to dynamically activated dust production (i.e. tidal disruption, collisions, outgassing), then those debris discs would become more amenable to infrared detection (Bonsor et al. 2017; Kenyon & Bromley 2017a) regardless of disc inclination. While transits are necessarily observed near to edge-on, the surface area presented by the substantial dimming events can be sufficient to result in detectable dust emission (Vanderburg et al. 2015; Wyatt et al. 2018), but the actual orbital radius during transit (temperature), and optical depth, are also important. The data are insufficient to form any conclusions at present, but given that only one of four well-studied transiting systems has an infrared excess implies that the transits result from favourable geometry, and the scale height of the occulting clouds is typical (and undetectable in the infrared for both transiting and non-transiting systems).
### 4.5 Origin of regular dimming events
The origin of the 23.1-min period is puzzling. It may be notable that the temperature of circumstellar material with such an orbital period would be close to 1300 K. This is 300–400 K cooler than where the bulk of planetary solids would sublimate in the presence of metal-dominated vapour pressure (Rafikov & Garimalla 2012), but certainly where volatiles would be rapidly lost to the gas phase and be prone to viscous accretion on to the star.
This suggests the possibility of a connection between two spatially distinct regions, where it is possible to imagine a close orbit affecting material further out. For example, Manser et al. (2019) identified a clump near the inner edge of a white dwarf debris disc that is extended azimuthally to roughly 0.4 of the orbit at that location. While that clump is slightly further out and hotter than that implied by the 23.1-min period here, that paper describes how clumps could form from vortices at the inner edge of white dwarf discs, and such clumps could lead to variable illumination of the outer disc. However, the exact commensurability between the 23.1-min period and that at 25.02 h argues that the dimming events have a more distant origin.
Another possibility that was ruled out is that the 23.1-min scale transits arise from individual fragments created in the breakup of a large parent body, all of which remain on a 25.02-h orbit. The 23.1-min periodicity would then correspond to the regular spacing of the resulting fragments, motivated by the ‘string of pearls’ seen in the fragmented comet Shoemaker-Levy 9 (Weaver et al. 1994). However, while the fragments of a tidal disruption might be expected to be separated by some characteristic radius (set by the velocity imparted to the fragments), they would neither be expected to be exactly regular nor to extend to so many clumps all yielding similar transit depth.
A period of 23.1 min could arise naturally within material orbiting at 25.02-h period if 23.1 min is the difference between two similar orbital periods. This could arise from mean motion resonances in which the material causing the transits orbits the star 65 times for every 66 orbits of an unseen perturber. Such resonances are implicated in a variety of structures seen in planetary rings, where the perturbers are moons. For example, eccentricity (radial) or inclination (bending) waves in a disc, such as those seen in the rings of Saturn, can be relatively regularly spaced. However, these are also critically damped in both the leading and trailing directions from the perturber (Borderies, Goldreich & Tremaine 1984; Porco & Nicholson 1987; Weiss, Porco & Tiscareno 2009), and there is no evidence of such in the light curve of WD 1054–226. Furthermore, the light curve dimming is clearly not sinusoidal as are the models of undamped edge waves in planetary rings.
An external, 66:65 mean-motion resonance with a planet orbiting at 25.02 h is plausible and would result in an exact commensurability between individual resonant structures and period as observed. In this case, the entire pattern of clumps rotates around the star, following the planet, at sub-Keplerian speeds (Wyatt 2003). For such a resonance to be stable, i.e. to fall outside the resonance overlap criterion established by Wisdom (1980), two cases are considered. For a collisionless N-body, the unstable region around a perturber is given by the width of the chaotic zone of overlapping resonances (Duncan, Quinn & Tremaine 1989) and yields a mass of 0.0055 M$_\oplus$ if the 66:65 resonance is the fast that is stable. It has been predicted that such small planets can form close to a white dwarf, following the tidal disruption of a sufficiently massive body such that viscous disc evolution dominates (van Lieshout et al. 2018), although these do not migrate outward to account for the current observations.
Using a fluid approximation instead, assuming the collisional disc viscosity replenishes particles in the chaotic zone, material will spread to up to the Hill sphere of the perturber (similar to opening a gap in a gaseous protoplanetary disc). If the 66:65 mean-motion resonance lies at the edge of the Hill sphere, this results in a significantly higher perturber mass of 0.66 M$_\oplus$. However, in either case, while the resulting arrangement of clumps may be highly regular in such a resonance, this interpretation would require individual particles to move between clumps, and therefore the observer would see different material at subsequent apparitions of a recurring transit event. In contrast, e.g. the double-dip feature observed to repeat on several nights toward WD 1054–226 has been interpreted to be the same occulting material and similarly for essentially all other transit features.
One possibility that has been invoked in planetary rings to account for the lack of radial or azimuthal spread in ring arcs and clumps
is resonant confinement. This has been invoked to account for the stable ring arcs of Neptune, via the eccentricity of its moon Galatea (Namouni & Porco 2002), and it is speculated that Metis may confine km-sized particulate clumps found in the rings of Jupiter (Showalter et al. 2007). The transiting events seen towards WD 1054–226 have significant arc length and may more than superficially resemble planetary ring structures such as those observed in the Adams ring. Broadly speaking, planetary ring resonant formations require perturbations by a body that has comparable mass to the rings they perturb, opening up the possibility that a major planetary body orbits within the habitable zone of WD 1054–226.
All the above (inadequate) scenarios assume a circular orbital geometry, but neither are any solutions apparent for an eccentric ring. At present, the exact cause of the overarching transit sub-structure remains unknown.
### 4.6 Drifting transits
It is noteworthy that the 25.5-h period, as traced by one of the drifting transit components, may be similar to the orbit of the primary transits (though shorter-period aliases remain possible). This also appears to be the case for WD 1145+017 (Gary et al. 2017) and ZTF 0328 (Vanderbosch et al. 2021). In WD 1145+017, it appears that all the drifting transit features orbit more rapidly than the fundamental period and are thus closer to the star, leading to an interpretation that these more rapidly orbiting structures are due to tidal disruption at the L1 point (Rappaport et al. 2016). This may not be the case for WD 1054–226, where the deepest transiting event appears to recur more slowly and is potentially located further from the star. In ZTF 0328, it is not clear if either of the two observed periodicities is dominant, but their similarity is unlikely to be coincidental. The overall picture emerging from transiting white dwarfs appears consistent with a single, dynamically related family of orbital elements in each case.
The number of underlying parent bodies on the 25.02-h period of WD 1054–226 is unknown; they may be legion, waves, or resonant structures in a debris disc, or dust clouds held in resonant confinement. Regardless, there is as yet no evidence for any single parent body that is undergoing disintegration.
In both WD 1054–226 and WD 1145+017, the data are consistent with optically thick clouds of debris, and it should be remarked that these would potentially occult any shorter-period transits with identical inclinations. The 25.5-h drifting transit component seen towards WD 1054–226 does not appear to block the 25.02-h signal where it occurs in the light curves. This inference comes from the co-added light curve, which is not adversely affected in the relevant phases where the slower drifter is present. But more acutely, if the 25.02-h period transits are optically thick, the 11.4 (22.9) h transiting bodies are likely to have a different inclination (i.e. both corresponding signals are detected in TESS).
For WD 1054–226, in order to simultaneously view the full height (e.g. 400 km) of occulting, optically thick clouds at different orbital radii require that a flat disc is inclined towards the observer, whereas the transits themselves require a nearly edge-on view. While the uncertain orbital geometry and line of sight preclude further numerical constraints, it is unlikely that the transiting components at different periods all share a single inclination. This is consistent with a process that alters the orbits of transiting bodies and underscores a dynamical environment. As WD 1054–226 shares this property with at least WD 1145+017, it is tempting to identify slightly different periods with slightly different inclinations in transiting white dwarf systems.
It may be the case that planetary debris is generated from the interaction of numerous fragments from an initial tidal disruption, where ensuing collisions are primarily responsible for the evolution (Kenyon & Bromley 2017a; Malamud & Perets 2020; Malamud et al. 2021), and perhaps the observed transits with different periodicities. It is noteworthy that the main Jovian ring is thought to be generated by sufficiently continuous impact events on the two ring moons Metis and Adrastea (De Pater et al. 2018), where trailing clumps of debris have been observed by New Horizons, and possibly held by resonant confinement (Showalter et al. 2007). Similar impacts could be ongoing for analogous parent bodies orbiting white dwarfs, if the environment is sufficiently rich in potential impactors.
### 5 OUTLOOK
If one assumes that 25 h is crudely representative of the orbital periods where transits might be detected, then the transit probability for a typical white dwarf is $R_s/a \approx 0.4$ per cent. If the orbital geometry passes through the Roche limit and so $e \gtrsim 0.7$, then this increases to $R_s/a(1-e) \gtrsim 1.2$ per cent for transits seen at periastron (Barnes 2007). There are 1048 high-probability white dwarfs within 40 pc (Gentile Fusillo et al. 2019), including WD 1054–226, and it is well established that at least 30 per cent of white dwarfs are polluted with photospheric metals that originate as circumstellar, planetary material. While highly uncertain, this would imply that there should be $1048 \times 0.3 \times 0.004=0.012 \approx 1–4$ transiting and polluted white dwarfs within the local 40-pc volume, if the debris surrounding WD 1054–226 is representative of all polluted white dwarfs. It is notable that ZTF 0328 lies not far outside this volume, but it seems plausible that there are other local volume examples to be found, especially for smaller semimajor axes and higher eccentricities. A statistically robust lack of transits, at a given frequency for polluted white dwarfs, would imply that the source regions of the parent bodies responsible come from relatively distant orbits.
The transiting events detailed here for WD 1054–226 are unprecedented in detail and coverage and paint a picture of material that is constantly occluding the star and at least partly orbiting outside the Roche limit (and in this sense similar to ZTF 1039 and ZTF 0328). From a dynamical and evolutionary perspective, the origin of the large occulting clouds is likely the result of tidal disruption or collisions in the vicinity of the Roche limit, where there is a narrow range of periastra for the material. However, other possibilities cannot be ruled out, and JWST is necessary to detect and characterize the debris disc.
Prior work has made it clear that circumstellar discs are often (or always) present around polluted white dwarfs, via the need for ongoing accretion of circumstellar matter to account for photospheric metals. And because the infrared detection of this orbiting material is typically curbed by sensitivity limits, the transits presented here provide additional insights that are not available otherwise. Thus, WD 1054–226 provides potential evidence of a typical white dwarf debris disc. That is, these data are consistent with previous work that indicates that typical infrared dust emission is significantly less luminous than those detected to date, well beyond the sensitivity of WISE and even Spitzer, but amenable to longer wavelength observations.
### ACKNOWLEDGEMENTS
The authors thank the reviewer S. Rappaport for an enthusiastic and careful report. The team acknowledges the European Southern
Observatory for the award of telescope time via programs 0102.C-0700 and 0103.C-0247 (PI Farahi), and the La Silla Observatory for the support to carry out the ULTRACAM observations. The UVES spectra were obtained via DDT award 2103.C-5013, and the *Spitzer* observations were carried out under a time-critical DDT program 14261 (PI Farahi). This paper includes data collected by the *TESS* mission, whose funding is provided by the NASA Explorer Program. This work has made use of the ESA *Gaia* mission, processed by the *Gaia* DPAC. J. Farahi thanks C. J. Nixon and J. E. Pringle for useful discussions and acknowledges support from STFC grant ST/R000476/1. J. J. Hermes acknowledges support through *TESS* Guest Investigator Program 80NSSC20K0592. T. R. Marsh acknowledges the support of STFC grant ST/T000406/1, and from a Leverhulme Research Fellowship. A. J. Mustill acknowledges support from the Swedish Research Council (starting grant 2017–09455). T. G. Wilson acknowledges support from STFC consolidated grant number ST/M001296/1. A. Augwerojwit and C. Kaewmanee received support from Thailand Science Research and Innovation grant FRB640025 contract no. R2564B006. V. S. Dhillon and ULTRACAM are supported by the STFC.
**DATA AVAILABILITY**
Data acquired at ESO facilities for the PI programs listed above are available through their archive, with the exception of ULTRACAM data, which are available on request to the instrument team. Space-based data from *Spitzer*, *TESS*, and *WISE* are available through the relevant NASA archives.
**REFERENCES**
Alonso R., Rappaport S., Deeg H. J., Palle E., 2016, *A&A*, 589, L6
Ansdel M. et al., 2016, *ApJ*, 816, 69
Ansdel M. et al., 2019, *MNRAS*, 483, 3579
Barnes J. W., 2007, *PASP*, 119, 986
Bergeron P., Leggett S. K., Ruiz M. T., 2001, *ApJS*, 133, 413
Bergfors C., Farahi J., Dufour P., Rocchetto M., 2014, *MNRAS*, 444, 2147
Bonsor A., Mustill A. J., Wyatt M. C., 2011, *MNRAS*, 414, 930
Bonsor A., Farahi J., Wyatt Mark C., van Lieshout R., 2017, *MNRAS*, 468, 154
Borderies N., Goldreich P., Tremaine S., 1984, *ApJ*, 284, 429
Cauley P. W., Farahi J., Redfield Seth Bachman S., Parsons Steven Gännsicke B. T., 2018, *ApJ*, 852, L22
De Pater I., Hamilton D.P., Bowles M. R., Throop H. B., Burns J. A., 2018, *The Rime of Jupiter*, Cambridge University Press, Cambridge, p. 125
Debes J. H., Walsh K. J., Stark C., 2012, *ApJ*, 747, 148
Debes J. H. et al., 2019, *ApJ*, 872, L25
Dekker H., D’Odorico S., Kaufer Andreas Delabre B., Kotzlowski H., 2000, in Iye M., Moorwood A. F. eds, Proc. SPIE Conf. Ser. Vol. 4008, Optical and IR Telescope Instrumentation and Detectors, SPIE, Bellingham, p. 534
Dennihy E., Clemens J. C., Dunlap B. H., Fanale S. M., Fuchs J. T., Hermes J. J., 2018, *ApJ*, 854, 40
Dennihy E., Farahi J., Gentile F., Nicola P., Debes J. H., 2020, *ApJ*, 891, 97
Dhillon V. S. et al., 2007, *MNRAS*, 378, 825
Dhillon V. S. et al., 2014, *MNRAS*, 444, 4009
Doyle A. E., Young E. D., Klein B., Zuckerman B., Schlichting H. E., 2019, *Science*, 366, 356
Duncan M., Quinn T., Tremaine S., 1989, *Icarus*, 82, 402
Eastman J., Siverd R., Gaudi B. S., 2010, *PASP*, 122, 935
Esposito L. W., 2002, *Rep. Prog. Phys.*, 65, 1741
Farahi J., 2016, *New A Rev.*, 71, 9
Farahi J., Zuckerman B., Becklin E. E., 2008, *ApJ*, 674, 431
Farahi J., Jura M., Zuckerman B., 2009, *ApJ*, 694, 805
Farahi J., Gännsicke B. T., Wyatt M. C., Girven J., Pringle J. E., King A. R., 2012, *MNRAS*, 424, 464
Farahi J., Gännsicke B. T., Koester D., 2013, *MNRAS*, 432, 1955
Farahi J., Wyatt M. C., Greaves J. S., Bonsor A., Sibthorpe B., Panić O., 2014, *MNRAS*, 444, 1821
Farahi J. et al., 2018a, *MNRAS*, 474, 947
Farahi J. et al., 2018b, *MNRAS*, 481, 2601
Fazio G. G. et al., 2004, *ApJS*, 154, 10
Fontaine G., Brassard P., Bergeron P., 2001, *PASP*, 113, 409
Fortin-Archambault M., Dufour P., Xu S., 2020, *ApJ*, 888, 47
Freudling W., Romaniello M., Bramich D. M., Ballester P., Forchi V., García-Díaz A. F., Moehler S., Neiner C. J., 2013, *A&A*, 559, A96
Freyer S. F. N., Hambleton B. M. S., 2014, *MNRAS*, 439, 2442
Gaia Collaboration, 2021, *A&A*, 649, A1
Gaidos E. et al., 2019, *MNRAS*, 488, 4465
Gännsicke B. T. et al., 2016, *ApJ*, 818, L7
Gännsicke B. T., Rodríguez-Gil Pablo Fusillo N. P. G., Inight Keith Schreiber M. R., Pala Anna F., Tremblay P.-E., 2020, *MNRAS*, 499, 2564
Gary B. L., Rappaport S., Kaye T. G., Alonso R., Hambisch F. J., 2017, *MNRAS*, 465, 3267
Genest-Beaulieu C., Bergeron P., 2014, *ApJ*, 796, 128
Gentile Fusillo N. P. et al., 2019, *MNRAS*, 482, 4570
Gianninas A., Bergeron P., Ruíz M. T., 2011, *ApJ*, 743, 138
Girven J., Brinkworth C. S., Farahi J., Gännsicke B. T., Hoard D. W., Marsh T. R., Koester D., 2012, *ApJ*, 749, 154
Guidry J. A. et al., 2021, *ApJ*, 912, 125
Hallakoun N. et al., 2017, *MNRAS*, 469, 3213
Hermes J. J. et al., 2015, *MNRAS*, 451, 1701
Hoffmann S., Sato M., Salo H., Spahn F., 2015, *Icarus*, 252, 400
Izaguirre P. et al., 2018, *MNRAS*, 481, 703
Jenkins J. M. et al., 2018, *ApJ*, 713, L87
Jenkins J. M. et al., 2016, in Chiozzo G., Guzman J. C., eds, Proc. SPIE Conf. Ser. Vol. 9913, Software and Cyberinfrastructure for Astronomy IV, SPIE, Bellingham, p. 99133E
Jura M., 2003, *ApJ*, 584, L91
Jura M., Young E. D., 2014, *Annu. Rev. Earth Planet. Sci.*, 42, 45
Karjalainen M., de Mooij E. J. W., Karjalainen R., Gibson N. P., 2019, *MNRAS*, 482, 999
Kawka A., Vennes S., 2012, *A&A*, 538, A13
Kennedy G. M., Kenworthy M. A., Pepper J., Rodriguez J. E., Siverd R. J., Stassun K. G., Wyatt M. C., 2017, *R. Soc. Open Sci.*, 4, 160652
Kenyon S. J., Bromley B. C., 2017a, *ApJ*, 844, 116
Kenyon S. J., Bromley B. C., 2017b, *ApJ*, 850, 50
Kilic M., Redfield S., 2007, *ApJ*, 660, 641
Koester D., 2010, Mem. Soc. Astron. Italiana, 81, 921
Koester D., Gännsicke B. T., Faria J., 2014, *A&A*, 566, A34
Lai S. et al., 2021, *ApJ*, 925, 156
Lebreu X., Bregman M., 2005, *Commun. Asteroseismology*, 146, 53
Li D., Mustill A. J., Davies M. B., 2021, *MNRAS*, 508, 5671
Malamud U., Perets H. B., 2020, *MNRAS*, 493, 698
Malamud U., Grishin E., Brouwers M., 2021, *MNRAS*, 501, 3806
Manser C. J. et al., 2019, *MNRAS*, 455, 4467
Manser C. J. et al., 2016, *Science*, 364, 66
Melis C., Olfsson J., Song I., Sarkis P., Weinberger A. J., Kennedy G., Krumpe M., 2021, *ApJ*, 923, 90
Metzger B. D., Rafikov Roman R. Bochkarev K. V., 2012, *MNRAS*, 423, 505
Miranda R., Rafikov R. R., 2018, *ApJ*, 857, 135
Montgomery M. H., Odonoghue D., 1999, Delta Scuti Star Newsl., 13, 28
Mustill A. J., Villaver E., Veras Dimitris Gännsicke B. T., Bonnor A., 2018, *MNRAS*, 476, 3939
Namouni F., Porco C., 2002, *Nature*, 417, 45
Nixon C. J., Pringle J. E., Coughlin E. R., Swan A., Farahi J., 2020, preprint (arXiv:2008.08339)
Porco C. C., 1991, *Science*, 253, 995
Porco C. C., Nicholson P. D., 1987, *Icarus*, 72, 437
Rafikov R. R., 2011, *ApJ*, 732, L3
Rafikov R. R., Garniulla J. A., 2012, *ApJ*, 760, 123
Rappaport S., Gary B. L., Kaye T., Vanderburg A., Croll B., Benni P., Foote J., 2016, MNRAS, 458, 3904
Rappaport S., Gary B. L., Vanderburg A., Xu S., Pooley D., Mukai K., 2018a, MNRAS, 474, 933
Rappaport S. et al., 2018b, MNRAS, 474, 1453
Redfield S., Farhi J., Cauley P. W., Parsons S. G., Gänsicke Boris T., Duvuri G. M., 2017, ApJ, 839, 42
Rocchetto M., Farhi J., Gänsicke B. T., Bergfors C., 2015, MNRAS, 449, 574
Showalter M. R. et al., 2007, Science, 318, 232
Smallwood J. L., Martin R. G., Livio M., Lubow S. H., 2018, MNRAS, 480, 37–51
Subasavage J. P., Henry T. J., Bergeron P., Dufour P., Hambly N. C., Beaulieu T. D., 2007, AJ, 134, 252
Swan A., Farhi J., Wilson T. G., 2019, MNRAS, 484, L109
Swan A., Farhi J., Wilson T. G., Parsons S. G., 2020, MNRAS, 496, 5233
Swan A., Kenyon S. J., Farhi J., Demihly E., Gänsicke B. T., Hermes J. J., Melis C., von Hippel T., 2021, MNRAS, 506, 432
Tremblay P. E., Cukanovaite E., Gentile Fusillo N. P., Cunningham T., Hollands M. A., 2019, MNRAS, 482, 5222
van Lieshout R., Kral Q., Charnoz S., Wyatt M. C., Shannon A., 2018, MNRAS, 480, 2784
Vanderbosh Z. et al., 2020, ApJ, 897, 171
Vanderbosh Z. P. et al., 2021, ApJ, 917, 41
Vanderburg A. et al., 2015, Nature, 526, 546
Vanderburg A. et al., 2020, Nature, 585, 363
Vennes S., Kawka A., 2013, ApJ, 779, 70
Veras D., Leinhardt Z. M., Eggl Siegfried Gänsicke B. T., 2015, MNRAS, 451, 3453
Wang S., Chen X., 2019, ApJ, 877, 116
Weaver H. A. et al., 1994, Science, 263, 787
Weiss J. W., Porco C. C., Tiscareno M. S., 2009, AJ, 138, 272
Werner M. W. et al., 2004, ApJS, 154, 1
Wilson T. G., Farhi J., Gänsicke Boris T. Swan A., 2019, MNRAS, 487, 133
Wisdom J., 1980, AJ, 85, 1122
Wyatt M. C., 2003, ApJ, 598, 1321
Wyatt M. C., 2008, ARA&A, 46, 339
Wyatt M. C., Booth M., Payne M. J., Churcher L. J., 2010, MNRAS, 402, 67–81
Wyatt M. C., Farhi J., Pringle J. E., Bonsor A., 2014, MNRAS, 439, 3371
Wyatt M. C., van Lieshout R., Kennedy G. M., Boyajian T. S., 2018, MNRAS, 473, 5286
Xu S., Jura M., 2014, ApJ, 792, L39
Xu S., Jura M., Klein B., Koester D., Zuckerman B., 2013, ApJ, 766, 132
Xu S., Jura M., Dufour P., Zuckerman B., 2016, ApJ, 816, L22
Xu S. et al., 2019, AJ, 157, 255
Xu S., Lai S., Demihly E., 2020, ApJ, 902, 127
APPENDIX A: SUPPLEMENTARY LIGHT-CURVE DATA AND FIGURES
For completeness and reader interest, the full set of ULTRACAM light curves is shown here in the Appendix and including data for individual bandpasses for the first and last nights.
Figure A1. ULTRACAM multiwavelength light curves for WD 1054–226, taken on the first and latest nights of observation, as labelled in the figure panels. The data are normalized and offset for clarity, where the blue points are $r$ band, the green points are $g$ band, the red points are $r$ band, and the maroon points are $i$ band.
Figure A2. All ULTRACAM light curves obtained as detailed in Table 2. The plotted data are the average of either $g$- and $r$-band or $g$- and $i$-band observations.
Figure A2 – continued
Figure A3. All ULTRACAM light curve residuals after removal of phase-averaged data where possible, all performed with an average of either $g$- and $r$-band or $g$- and $i$-band data. It is important to note that not all light curve phases are effectively co-added and removed in these residuals, owing to a lack of sufficient coverage at some phases. This incomplete coverage can introduce artefacts in these light-curve residuals, some of which mimic long transits (e.g. on 2019 March 31).
Figure A3 – continued
This paper has been typeset from a \TeX/\LaTeX\ file prepared by the author.
|
Subsets and Splits
No community queries yet
The top public SQL queries from the community will appear here once available.